PROCEEDINGS OF THE INTERNATIONAL SYMPOSIUM OF THE INTERNATIONAL SOCIETY FOR

ROCK MECHANICS, EUROCK 2006, 912 MAY 2006, LIGE, BELGIUM

Eurock 2006
Multiphysics Coupling and Long Term
Behaviour in Rock Mechanics

Edited by
Alain Van Cotthem
Tractebel, Brussels, Belgium

Robert Charlier
Universit de Lige, Belgium

Jean-Franois Thimus
Universit Catholique de Louvain, Belgium

Jean-Pierre Tshibangu
Facult Polytechnique de Mons, Belgium

London/Leiden/New York/Philadelphia/Singapore

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 BALKEMA Proceedings and Monographs
in Engineering, Water and Earth Sciences

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 Copyright 2006 Taylor & Francis Group plc, London, UK

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 EUROCK 2006 Multiphysics Coupling and Long Term Behaviour in Rock Mechanics
Van Cotthem, Charlier, Thimus & Tshibangu (eds)
2006 Taylor & Francis Group, London, ISBN 0 415 41001 0

Table of Contents

Preface XIII
Organising Committee XV
Scientific Committee XV

Keynote lectures
Tunnel stability and deformations in water-bearing ground 3
G. Anagnostou
An overview of long-term HM measurements around HADES URF 15
W. Bastiaens, F. Bernier & X.L. Li
A three-dimensional constitutive law for rock salt including transient, steady state and
accelerated creep, failure and post-failure behaviour and applications in rock engineering 27
C. Erichsen
Response of a saturated mudstone under excavation and thermal loading 35
A. Gens, J. Vaunat, B. Garitte & Y. Wileveau
Coupled processes involved in post-mining 45
M. Ghoreychi

1 Multiphysics coupling

1.1 Theoretical concepts

Similarity solutions for a shallow hydraulic fracture 57
E. Detournay & A.P. Bunger
Experimental and theoretical investigations of the behaviour of a partially frozen cement paste 63
A. Fabbri, T. Fen-Chong, O. Coussy & A. Azouni
Sorptive storage of CO2 on coal dust and flotation waste from coal processing in
abandoned coal mines 69
T. Kempka, M. Waschbsch, T. Fernndez-Steeger & R. Azzam
Analysis of wellbore stability in under-balanced drilling 75
S.A.I. Khan & D.H.S. Zou
Mechanical impacts of acid gas leakage in caprock 81
M. Mainguy & A. Onaisi
Incorporating chemoporoelasticity in wellbore stability Part I: Parameter estimation 87
N.P.R. Rubio, S.A.B. Fontoura, E.M.P. Arajo, E.S. Muniz & R.F.T. Lomba
Incorporating chemoporoelasticity in wellbore stability Part II: Computational analysis 93
E.M.P. Arajo, S.A.B. Fontoura, N.P.R. Rubio, E.S. Muniz & C.J. Gonalves
A probabilistic model for the formation of crack networks in rocks under CO2 injection 99
M. Seyedi, A. Mushtaq & F. Hild

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 Effect of pore pressure on failure mode, axial, lateral and volumetric deformations of rock
specimen in plane strain compression 105
X.B. Wang

1.2 Laboratory experiments

Laboratory measurement of hydraulic conductivity of rocks from Lakeview borehole 115
L.C. Areias & K.Y. Lo
Poromechanical behaviour of Meuse-Haute Marne argillite: laboratory evidences and modeling 121
D. Hoxha, F. Homand, A. Giraud, C. Auvray & K. Su
Preliminary results of air permeability test under tensile stress condition using a hollow
cylindrical rock specimen 127
T. Ishida, S. Miyazaki, T. Ishii, K. Amemiya & Y. Mizuta
Impact of brine composition on the mechanical strength of chalk at high temperature 133
R.I. Korsnes, M.V. Madland & T. Austad
Void space against fracture hydro mechanical behavior at sample scale 141
P. Lopez, I. Rahmani, O. Buzzi, M. Boulon, A. Thoraval & M. Escuredo-Rodriguez
Prediction of impact strength index, slake durability index and schmidt hammer rebound
number from P-wave velocity 149
P.K. Sharma & T.N. Singh
Hydro-mechanical behavior in sandstone during from brittle to ductile deformation and
its relation to inner structural change 155
M. Takahashi, K. Tanaka, X. Li & M. Kwasniewski
Mechanical and chemical properties changes in sedimentary rock during immersion in hot water 163
T. Takemura, M. Takahashi, M. Manaka & K. Tanaka
Analyzing the influence of the water saturation on the strength of sandstones 169
B. Vsrhelyi & P. Vn
Study on the variation on microstructure and mechanical properties of water-weakening slates 173
C. Yang, H. Mao, X. Huang & X. Wang

1.3 Field experiments and case studies

Acoustic emission analysis of biaxially loaded rock 185
M.C. Btournay, M. Cot & H.S. Mitri
In situ ultrasonic wave measurements in clay: comparison between velocity, frequential
attenuation and energy 193
P. Ganne, A. Vervoort & W. Bastiaens
Impact of THM constitutive behavior on the rock-mass response: case of HE-D experiment
in Mont Terri Underground Rock Laboratory 199
D. Hoxha, Z. Jiang, F. Homand, A. Giraud, K. Su & Y. Wileveau
Interpretation of fracture geometry from excavation induced microseismic events 205
J.M. Reyes-Montes & R.P. Young
Design, construction, supervision and long-term behaviour of tunnels in swelling rock 211
M. Wittke

1.4 Numerical simulations

A fully coupled poroviscoelastic model for in-situ stress determination in the oil industry 219
M. Bloch, S.M.S. Freitas & F.R. Custodio

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 Modeling of water uptake and swelling in highly compacted bentonite for environmental
sealing barriers laboratory and large-scale experiments and numerical simulation 227
J. Gattermann
Numerical modelling of the effect of weathering on the progressive failure of underground
limestone mines 233
S. Ghabezloo & A. Pouya
Investigation of sand production mechanisms using DEM with fluid flow 241
L. Li, E. Papamichos & P. Cerasi
A coupled approach for the simulation of hydro-mechanical fracturing in porous rocks 249
J.M. Segura & I. Carol
Hydromechanical behaviour during CO2 injection 255
S. Vidal-Gilbert, E. Bemer, C. Barroux & E. Brosse
Bonded-particle model of thermally fractured granitic rock 261
T.S. Wanne & R.P. Young

2 Long term behaviour

2.1 Theoretical concepts and laboratory studies

Experimental study on strength weakening characteristics of soft rock subject to wetting 269
S. Cai & S. Ming
Intelligent analysis of rheological characteristic of rock materials 275
X.-T. Feng, B.-R. Chen, C. Yang & H. Zhou
Short- and long-term constitutive model for porous rocks 281
D. Grgic, F. Homand & D. Hoxha
From a natural stress profile to rheological properties at geological scale 287
Y. Gunzburger, F.H. Cornet & Y. Wileveau
Poromechanical modeling of a deep shaft excavation and comparison with experimental results 293
X.C. Song, Y. Jia, G. Duveau, J.F. Shao & K. Su

2.2 Field experiments and case studies

Collapse/subsidence: evolution of the overburden massivity according to the geomorphology
in the Lorraine iron mines case 301
J. Fougeron, F. Homand, M. Souley, M. Bennani & J.P. Josien
A case study of failure mechanism and support measures of slopes against sliding and
toppling failure 309
A.H. Ghazvinian & Z.A. Moradian
Ground heave induced by mine water recovery 315
M. Heitfeld, M. Mainz, M. Mhlenkamp, K. Schetelig & H. Sahl
200 years coal mining in New South Wales (Australia), the elasto-static behavior of the
continental crust, and the 1989 M5.6 Newcastle earthquake 321
C.D. Klose
Prediction of long-term behavior for a large underground cavern 325
T. Koyama, K. Ishibashi, Y. Suzuki, M. Minami, S. Okubo & K. Fukui
Long-term deformation processes in the wider area of the closed Idrija Mercury Mine 331
J. Likar, M. Cigale & B. Reun

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 Swelling a geotechnical problem at the Adler Tunnel, Switzerland monitoring results and
their interpretation 337
H.-P. Noher, B. Vgtli & B. Kister
Creep analysis by the velocity method 343
A.K. Parkin
Analysis of delayed convergences in a carbon zone of the Ltschberg Tunnel 351
F. Sandrone, J.-P. Dudt, V. Labiouse & F. Descoeudres
Rock rheology time dependence of dilation and stress around a tunnel 357
P. Vn & Z. Szarka

2.3 Numerical simulations

The feasibility analysis of abandoned salt caverns for underground gas storage facility 367
W.Z. Chen, G.J. Wu, J.P. Yang & C.H. Yang
Semi-analytical models for predicting the amount and rate of sand production 373
C. Detournay & B. Wu
Salt pillar creep analysis 381
F. Laouafa & M. Ghoreychi
Using scaled seismic studies to validate 3D numerical models of the rock barrier
around a deep repository 389
W.S. Pettitt, J.R. Haycox & R.P. Young

3 Multiphysics coupling and long term behaviour

3.1 Laboratory experiments and theoretical concepts

Weathering and strength of partially saturated soft rock 397
C. Bnsch
Multiscale analysis and analytical modeling of creep and damage in argillaceous rocks 403
G. Fabre & F. Pellet
Instability and possible liquefaction of high porosity chalk 411
R.E. Flateb & R. Risnes
Wellbore strengthening in low-permeability formations 417
I.R. Gil & J.-C. Roegiers
Development of an experimental device to carry out tests on thick-walled hollow cylinders 421
M. Hosseini, C. Rousseau, J. Desrues, P. Bsuelle & G. Viggiani
Does the chemical interaction between seawater and chalk affect the mechanical properties of chalk? 427
R.I. Korsnes, S. Strand, . Hoff, T. Pedersen, M.V. Madland & T. Austad
The change of P-wave velocity with temperature and humidity in granite 435
Y. Nara & K. Kaneko

3.2 Field experiments and case studies

Hydro-thermo-mechanical over-closure of joints and rock masses and potential effects on the
long term performance of nuclear waste repositories 445
N. Barton & A. Makurat
Swelling mechanisms in sulphate-bearing rocks 451
I.R. Berdugo, E.E. Alonso & E.E. Romero

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 A salt-cavern abandonment test in an LPG storage facility 455
P. Brest, B. Brouard, P. de Lagurie, T. You, D. Fourmaintraux & J.Y. Has

Mechanical decay and degradation of marble slabs 461

C.A. Garzonio & E. Cantisani
The hydromechanical behaviour of the Boom Clay observed during excavation of the connecting
gallery at Mol site 467
X.L. Li, W. Bastiaens & F. Bernier

Influence of topographic roughness on the stress state in a sloped rock-mass 473

V. Merrien-Soukatchoff, J. Sausse & C. Dnner
Failure mechanisms of the Opalinus Clay around underground excavations 479
T. Vietor, P. Blmling & G. Armand

3.3 Numerical simulations

Physical modelling and numerical simulation of long-term deformation behaviour of indurated
clay with special consideration of anisotropic effects and in situ measurements 487
O. Czaikowski & K.-H. Lux
Poro-hypoplastic analysis of the progressive excavation of the Mol URL connecting Gallery 493
J. Desrues, P. Bsuelle, C. Coll, F. Collin & X.L. Li

Discrete particle modelling as a tool in petroleum rock mechanics 499

R.M. Holt, L. Li, I. Larsen, S. Gorodkov & H.T.I. Alassi
Thermo-hydromechanical modeling in unsaturated hard clay and application to nuclear waste storage 505
Y. Jia, G. Duveau, J.F. Shao, K. Su & Y. Wileveau
Modeling by homogenization of water drainage in double-porosity soils 513
J. Lewandowska, T.D. Tran Ngoc, M. Vauclin & H. Bertin
Suction and time effects on the behaviour of a reservoir chalk 519
G. Priol, V. De Gennaro, P. Delage, F. Collin & R. Charlier
Modelling of the hydro-mechanical processes around excavations in rock salt 527
A. Pudewills

4 Related topics

4.1 Theoretical concepts

Dimensionless charts for the GRC for rock masses exhibiting strain-softening behaviour 533
E. Alonso, L.R. Alejano, F. Varas & G. Fdez-Manin

The New Geophysics: a new understanding of fluid-rock deformation 539

S. Crampin
An automated procedure to build failure envelopes and model the Mohr-Coulomb criterion in the
three-dimensional principal stresses space from polyaxial test data 545
F. Descamps, E. Rodriguez & J.-P. Tshibangu

Geomechanical properties of fractured carbonate rock mass determined by geophysical methods 551
A.F. Idziak & I. Stan-Keczek

Predicting the physico-mechanical properties of igneous rocks from electrical resistivity measurements 557
S. Kahraman, E. Ogretici, M. Fener & T. Yeken

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 4.2 Laboratory experiments
Development of a new experimental protocol to estimate the shear strength of concrete-rock joints 563
G. Ballivy, C. Gravel & T. El Malki
Field applications for the scratching test 571
F. Dagrain & C. Germay
On the influence of PDC wear and rock type on friction coefficient and cutting efficiency 577
F. Dagrain & T. Richard
Petrophysical deformation in faulted white chalk in Belgium 585
A. Darquennes, C. Schroeder & S. Vandycke
Roughness characterization of rock fractures surfaces 591
H. Legrain & J.-P. Tshibangu
Dynamic frictional behavior of rough rock joints by shaking table test 597
B.-K. Park, S. Jeon, J.-J. Song & C.-I. Lee
Point load strength determination of anisotropic rocks 603
H. Saroglou & G. Tsiambaos
A new procedure to analyse the wear of cutting elements 609
F. Van Quickelberghe, F. Dagrain, J.-P. Tshibangu & T. Richard

4.3 Field experiments and case studies

Different approaches to fracturation of marble rock the case study of the St Beat tunnel
(French Pyrenees) 619
M. Gasc-Barbier, D. Virely, J. Guittard & V. Merrien-Soukatchoff
A case study of determining orientations of in-situ horizontal principal stresses based on
electrical images of borehole failures at a deep drilling project 625
W. Lin, E.-C. Yeh, W. Soh, M. Kinoshita, H. Ito & J.-H. Hung
The role of rock mechanics in analysing overbreak: application to the Soumagne tunnel 631
R.M. Schmitz, S. Viroux, R. Charlier & S. Hick
Parametric study on the friction angle and dilation angle of intact rock and discontinuities
presented in the Siah Bisheh pumping storage hydro-electric power project (HEPP) 637
N. Shafiezadeh & M. Bagheri
TBM Tunneling in adverse rock mass with emphasis on TBM Jamming accident in
Ghomrud water transfer tunnel 643
M. Sharifzadeh & A. Hemmati Shaabani
Foundation of a highway in a post-mining area by dynamic intensified compaction,
geotextile-reinforcement and piles 649
M. Wittke
Long term behaviour and upgrading the stability of old dams 655
M. Wittke
TBM performance prediction based on rock properties 663
S. Yagiz
Stress-released slope movement induced by excavation in fault zone 671
Z. Y. Yang, J.Q. Hsiao & H.H. Chen

4.4 Numerical simulations

Hydrogeological modelling of rock mass by MDS-IDW technique 677
K. Aoki & Y. Mito

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 Numerical borehole breakout analysis using FRACOD2D 683
T. Backers, O. Stephansson, I. Moeck, H.-G. Holl & E. Huenges
Discontinuum and continuum modeling of Masjed E Soleyman Power House Cavern 689
M. Bagheri, N. Shafiezadeh & H.R. Hajihassani
Mechanical modeling of rock using a non-local elastoplastic damage model 695
A. Mohamad-Hussein & J.F. Shao
Numerical analysis of structural breakdown of compressed rock samples 701
M. Rinne, B. Shen & O. Stephansson

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 EUROCK 2006 Multiphysics Coupling and Long Term Behaviour in Rock Mechanics
Van Cotthem, Charlier, Thimus & Tshibangu (eds)
2006 Taylor & Francis Group, London, ISBN 0 415 41001 0

Preface

Rock mechanics typically involve complex, often time dependant multi parameter phenomena at all scale, from
classical discontinuum at the engineering structure size to more intricate chemical and physical changes at
microscopic levels. Each and everyone contribute to transitional and final state knowledge of rock behaviour.
The development of new software and faster hardware as well as new investigations tools, both on site and
in laboratory paves the way to unlimited new potentialities for characterization and prediction of rock mass
response to human interference.
It offers new possibilities as calculation can now be used to convince and to provide robustness to otherwise
too complex technical solutions for the non-scientific communities and deciders. A typical example is the need
to understand and explain long term behaviour for deep radioactive waste disposal structures, which involve
delayed effects spanning several generations.
These new tools, although not yet available in one batch, incorporate all phases (liquid, solid and gaseous) as
well as phase changes, time dependant, chemical, partial saturation and temperature effects. Coupling possibilities
between these aspects increase with time.
Fractal theory, stochastic approach and particle flow codes help to apprehend fracture and microfissuration
patterns and clarify previously unapproachable behaviour.
But humility must still prevail and sensivity calculation remains the essential tool to manage the still unavoid-
able ranges of parameters, often difficult to obtain. The representativeness of laboratory tests results, extrapolated
at the project scale, will still be debated for many years.
The objective of EUROCK 06 is dedicated to span todays achievement in these fields. The topics include
oil engineering, underground waste storage, post mine behaviour and long term performance of road and rail
infrastructures.
The organising committee would like to address its warm and sincere gratitude to every contributor for
their support, and in particular to members of the scientific committee and of the French ISRM group. Special
appreciation goes for the administrative work performed by the Lige University staff.

Alain Van Cotthem

Chairman, EUROCK 2006

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 EUROCK 2006 Multiphysics Coupling and Long Term Behaviour in Rock Mechanics
Van Cotthem, Charlier, Thimus & Tshibangu (eds)
2006 Taylor & Francis Group, London, ISBN 0 415 41001 0

ORGANISING COMMITTEE

Alain Van Cotthem President Tractebel, Brussels

Jean-Pierre Tshibangu Treasurer Facult Polytechnique de Mons
Robert Charlier Secretary Universit de Lige
Medhi Goreychi INERIS
Vronique Merrien-Soukatchoff INPL, Nancy
Frdric Pellet Universit J. Fourrier de Grenoble
Jean-Pol Radu Universit de Lige
Jian-Fu Shao Universit des Sciences et Techniques de Lille
Christian Schroeder Universits de Lige, Bruxelles et Louvain
Jean-Francois Thimus Universit Catholique de Louvain
Christian Trve CFE, Brussels
Andr Vervoort Katholiek Universiteit Leuven

SCIENTIFIC COMMITTEE

Giovanni Barla Italy

Frdric Bernier Belgium
Peter Blueming Switzerland
Emmanuel Detournay USA
Claus Erichsen Germany
Sergio Fontura Brazil
Dominique Fourmaintraux France
Antonio Gens Spain
Robert Hack The Netherlands
Rune Holt Norway
Vincent Labiouse Switzerland
Roberto Nova Italy
Marc Panet France
Euripide Papamichos Greece
Jack-Pierre Piguet France
Jean-Claude Roegiers USA
Ove Stephansson Sweden
Nielen van der Merwe South Africa
Feng Xia-Ting China

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 EUROCK 2006 Multiphysics Coupling and Long Term Behaviour in Rock Mechanics
Van Cotthem, Charlier, Thimus & Tshibangu (eds)
2006 Taylor & Francis Group, London, ISBN 0 415 41001 0

An overview of long-term HM measurements around HADES URF

W. Bastiaens, F. Bernier & X.L. Li

EIG EURIDICE, Mol, Belgium

ABSTRACT: The underground research facility HADES was constructed to enable various in-situ experiments
on Boom Clay to study the feasibility of high-level radioactive waste (HLW) disposal. Since the operational start
of HADES about 25 years ago numerous instruments were placed in the gallery lining and the surrounding
host rock. The paper discusses representative set-ups allowing studying the HM behaviour of Boom Clay.
Some set-ups are operational for over 20 years measuring pore water pressure, total pressure or displacements.
These HM measurements are important to assess the long-term response of the Boom Clay in HLW disposal.
Displacement measurements around HADES give quantitative information and enable to assess the displacement
during and after excavation works; construction and lining techniques have an important influence on the amount
of displacement. The short-term response of the host rock during gallery excavation and the subsequent evolution
put into evidence a strong HM coupling. An anisotropic response and evolution of pore water pressure was
observed; this phenomenon was attributed to anisotropy of in-situ stress conditions and hydraulic conductivity
although other contributing parameters are not excluded. The ground pressure on the gallery lining was recorded
during several years; it increases fast during the first months after construction and a more gradual increase
occurs afterwards. The measured values depend on the excavation technique and the lining type. Measurements
of hydraulic conductivity (k) were carried out using several methods at different locations, times and scales. The
results of in-situ and laboratory tests are consistent; k is of the order of 1012 m/s and kH is about two times
kV . Around the connecting gallery, observations two year after its construction indicate a maximal increase of
hydraulic conductivity of one order of magnitude. A hydraulic conductivity increase is observed up to some
6 m into the host rock and is attributed to lower effective stress-levels experienced in this zone due to stress-
redistribution following the excavation.

1 INTRODUCTION

1.1 Context
The production of nuclear electricity implies the man-
agement of the generated radioactive waste. In Bel-
gium, the R&D programme on this topic was initiated
at SCKCEN (the Belgian nuclear research centre) in
1974. A tertiary clay formation, the Boom Clay,
present under the Mol-Dessel nuclear site between at a
depth of 190 m and 290 m, was selected as a potential Figure 1. Construction history of the HADES URF.
host for the disposal of High Level and Long Lived
Radioactive Waste. Preliminary laboratory research NIRAS (Belgian national agency for radioactive waste
yielded promising results, consequently it was decided and enriched fissile materials).
to construct the underground research facility HADES
(High-Activity Disposal Experimental Site) at a depth
of 223 m. 1.2 Hades URF
The primary purpose of HADES is to enable in-situ The first construction phase of the underground
experiments on geomechanics, corrosion, migration, research facility started in 1980 and since then HADES
etc to study the feasibility of HLW disposal in has been expanded several times (Figure 1).
Boom Clay. It is currently managed by EURIDICE During the first construction phase, which ended
(European Underground Research Infrastructure for with the construction of the Test Drift in 1987, the
Disposal of nuclear waste In Clay Environment), an excavation process was semi-manual. Progress rates
economic interest grouping between SCKCEN and were rather low (at most 2 m per week) and only

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 Table 1. Undrained characteristics of Boom Clay.

Parameter Unit Value

Youngs modulus (E) MPa 200400

Poisson coefficient () / 0.40.45

Friction angle () 4
Cohesion (c) MPa 0.51
Hydraulic conductivity (k) m/s 1012
Porosity / 0.39
Water content % vol 3040

Tangential, at the origin.

Figure 2. Tunnelling equipment for the connecting gallery.

TOP: Schematic view. 1: clay face; 2: cutting head; 3: tun-
nelling shield; 4: roadheader; 5: hydraulic jack; 6: bird-wing
erector; 7: wagon; 8: wedge-block lining. BOTTOM: Test
assembly on surface.

limited effort was made to limit the disturbance of the
host rock: large overexcavations and non-continuous
working regimes were applied.
The second construction phase comprises the sec-
ond shaft and the connecting gallery. Industrial excava-
tion techniques were used in order to demonstrate the
feasibility of such techniques for the future construc-
tion of a repository. During the construction of the
connecting gallery an average rate of 3 m per day was
achieved. By using appropriate techniques, the distur-
bance of the host rock was reduced and controlled;
resulting in good knowledge of boundary conditions
for modelling. The tunnelling equipment is shown in
Figure 2. The construction of HADES and the tech-
niques used are detailed in Bastiaens et al. (2003) and
Bastiaens & Bernier (2006).
1.3 Boom Clay
The Boom Clay layer is almost horizontal (it dips
12% towards the NE) and water bearing sand layers
are situated above and below it. Total and pore water
pressures are respectively some 4.5 and 2.2 MPa at
the level of HADES. Vertical stress is estimated to be
slightly higher than horizontal stresses: K0 0.9. The
overconsolidation ratio (OCR) is about 2.4 (Horseman
et al. 1987, Coll 2005) and the compressive strength
is some 2 MPa.
Table 1 shows the undrained geomechanical char-
acteristics of undisturbed Boom Clay at the level of
Figure 3. Distofor extensometer above the experimental
drift.
HADES (223 m). Some other important parame-
ters such as hydraulic conductivity, porosity and water
content are shown as well (NIRAS 2001).
1.4 Structure of the paper
Since the operational start of HADES, numerous
instruments were placed in the gallery lining and the
surrounding host rock. This paper focuses on some
representative set-ups allowing studying the (long-
term) evolution of HM behaviour of Boom Clay.
Measurements of displacement, pore water pressure,
total stress (in the host rock and the lining) and
hydraulic conductivity will be dealt with. Other related
topics such as direct fracture observations and seismic
measurements are not covered in this paper; they are
dealt with in Bastiaens et al. (in prep.).
The paper comprises three sections. Firstly, the con-
sidered measurement set-ups are detailed (Figures 3,
4, 5 and 6). The next section describes the measure-
ment results and finally these are discussed in the third
section. Reference will often be made to specific parts
of HADES URF; their names and locations can be
found in Figure 1.
This paper mainly focuses on long-term measure-
ments. However, when studying long-term behaviour,
knowledge of the short-term response is important.

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 HYDRAULIC SENSOR
INCLINOMETER FOR ANGLE MEASUREMENT
deformations. One of these instruments was a five-
HORIZONTAL INCLINOMETER
SECTION FOR CONVERGENCE MEASUREMENT point extensometer, a so-called Distofor, installed
PIEZOMETRIC SENSOR 5,60

-214,70
from the existing URL (see Figure 3). This device
-215,25
-216,25
4,00
provided data about the total vertical movements that
-217,50

5,80
occurred above the horizontal experimental drift dur-
60 50 40 30 20 10
ing and after its construction. Reliable measurements
-222,90
are available from mid 1984 up to 1994.
-226,50
-227,00
-227,50
Displacement data was also obtained by sensors
GLOETZL PIEZOMETERS
-229,30 installed above the Test Drift prior to its excavation.
DISTOFOR They were placed in the framework of the so-called
IN-HOUSE DESIGNED PIEZOMETER Mine-by Test (Bonne et al. 1992) and are shown on
Figure 4. A hydraulic tassometer and two inclinome-
Figure 4. Schematical overview of the Mine-by Test around
ters were placed, respectively some 8.7, 6.7 and 5.4 m
the Test Drift. Before the excavation of the Test Drift, dis- above the axis of the future Test Drift, having an exter-
placement and pore water pressures sensors were installed nal diameter of 4.7 m. Immediately after completion
respectively above and below the future gallery. A vertical of the first phase of the Test Drift (July 1987), a seven-
Distofor device was installed shortly after the completion of point Distofor extensometer was anchored in a 20 m
the first phase of the Test Drift. deep downward borehole (Figure 4). Sensors were
installed between 0.3 and 5.8 m and displacements
were measured with respect to a fixed point at the
bottom of the 20 m long casing.
The EC CLIPEX project (Bernier et al. 2002) aimed
at measuring the HM response of the host rock dur-
ing excavation of the connecting gallery. Amongst
others, an inclinometer was installed from the second
shaft as shown in Figure 5. It was placed some 5.5 m
above the axis of the future gallery; the gallery has an
Figure 5. Schematical overview of the CLIPEX instruments external diameter of 4.8 m.
around the connecting gallery. Further, the evolution of the internal lining diameter
is measured in the different sections of HADES, giving
an indication about the movement of the clay at the
gallery extrados.
Convergence in Boom Clay comprises immediate
convergence and time-dependent convergence. During
the excavation of the connecting gallery, the imme-
diate convergence was measured for the first time.
The radius at the front of the tunnelling shield was
35 mm larger than at its rear. After each excavation
step, the radial distance between the tunnelling shield
and the excavated clay wall was measured, providing
the immediate convergence.
Figure 6. Lay-out of the reference piezometric network
around the connecting gallery; two sections (labelled R55 2.2 Pore water pressure
and R13) were instrumented with 5 piezometers in total.
When studying the behaviour of an argillaceous host
The CLIPEX project (Bernier et al. 2002) aimed at rock, good knowledge of pore water pressures is of
studying the short-term response of the Boom Clay key importance. Indeed, a strong HM coupling exists
upon gallery excavation; the results from this and in this type of material due to the low hydraulic
related projects are discussed in Li et al. (in prep.). diffusivity; changes in stress conditions and the result-
ing displacements will change pore water pressures.
For most short-term phenomena, the host rock will
behave as if under undrained conditions. When looking
2 MEASUREMENT SET-UPS at long-term behaviour however (from several months
up to several decades), galleries will act as a drain
2.1 Displacement for the surrounding host rock and phenomena such as
Before the excavation of the experimental works creep will become important.
started, instruments were placed in and around the Pore water pressure around HADES is mainly mon-
zone that would be excavated, mainly measuring itored by in-house designed piezometers. The main

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Copyright 2006 Taylor & Francis Group plc, London, UK

 advantage of this technique is that the sensors (usu-
ally DRUCK pressure transducers) are located in
the gallery and remain accessible for calibration or
replacement. Small diameter tubes connect each sen-
sor to a porous filter in the host rock. This technique is
used for over 20 years and provides robust and reliable
data. The first piezometers were installed over 20 years
ago and some of them are still providing reliable data.
This paper will discuss the results of the piezometers
from four projects:
Mine-by Test: three inclined piezometers were
installed under the Test Drift prior to its construc-
tion (see Figure 4), the two piezometers closest to
the gallery used GLTZL cells, the third one was
made following the in-house design.
Rings 41 & 48: two sections of the Test Drift were
equipped with horizontal and downward piezome-
ters some 1.5 years after the construction of the Test
Drift. The sensors were installed between 0.3 and
19 m into the host rock.
CLIPEX: five piezometers were installed in and
around the zone of the future connecting gallery.
As shown in Figure 5, four of them were installed
from the Test Drift (A, B, C and D); one from the
second shaft (E).
Reference piezometers: two sections of the connect-
ing gallery (labelled R13 and R55) were equipped
with piezometers; their orientations and depths are
shown in Figure 6. Their purpose is providing a ref-
erence of the pore pressure distribution around
HADES for the design and interpretation of in-situ
experiments.
2.3 Total stress
Direct measurement of total stress in argillaceous for-
mations and at the interface between host rock and
lining is a difficult task. The results seem to be heav-
ily influenced by installation related issues. Several
techniques were used, amongst others Gltzl cells,
miniature Kulite cells and bi-axial stress meters. The
absolute values of the measurements are not always
guaranteed but their relative evolution is equally inter-
esting. As an example, the results of total pressure cells
installed at the lining extrados of the northern start-
ing chamber at the bottom of the second shaft will
be discussed. Cells were placed in direct contact with
the excavated clay and were installed at four different
locations; they consist of a flat jack, connected to a
vibrating wire transducer.
Several indirect measurements such as pressureme-
ter, dilatometer, hydrofracturing and self-boring pres-
suremeter tests were carried out (Bernier et al. 2002).
This paper will discuss the results of two series of self-
boring pressuremeter tests carried out in April 2002
and August 2004. The connecting gallery was com-
pleted in March 2002, so the first series was carried
out shortly after its completion. The equipment, per-
sonnel, drilling orientation and methods were the same
for both series hence the only major difference between
them is the elapsed time since the construction of the
gallery.
Measurement of stress and strain evolution in the
lining proves to be easier and can be used to evaluate
the pressure exerted by the host rock on the lining. Six
sections of the Test Drift were equipped with load cells
between lining segments; at each location one cell is
placed close to the gallery intrados and a second one
is placed close to the gallery extrados. Vibrating wire
strain gauges were embedded in the lining segments of
three sections of the connecting gallery; again, some
gauges were placed close to the intrados and others
close to the extrados.
2.4 Hydraulic conductivity
Throughout the years, the hydraulic conductivity (k)
of Boom Clay has been determined in several ways
and at several scales:
Laboratory tests on core samples. In one of the
campaigns, hydraulic conductivity was determined
on cores from the so-called Mol-1 borehole, a sur-
face borehole covering amongst others the entire
thickness of the Boom Clay layer (Wemaere et al.
2002).
Small scale in-situ tests. The piezometers described
under section 2.2 can also be used to determine
hydraulic conductivity, either in single point tests
or in interference tests. Numerous tests were con-
ducted around the URL and the Test Drift during the
80s and 90s. More recently, tests in the framework
of the EC SELFRAC project studied the evolution
of hydraulic conductivity with time. Two campaigns
were performed around the connecting gallery with
a one-year interval, each using one horizontal
(R55E) and one downward (R55D) piezometer.
Large scale in-situ test. During about three years,
the exploratory works were used as a macroper-
meameter: they were sealed off from ventilation
and the inflow of water was monitored, allowing
calculation of hydraulic conductivity and storage
coefficient (Ortiz et al. 1996).
3 MEASUREMENT RESULTS
3.1 Displacement
The displacements of the Distofor extensometer above
the experimental drift are shown in Figure 7. The first
graph shows the measurements during the excavation
of the experimental drift, the alternate sequence of
excavation and lining phases are reflected in the mea-
surements. The second graph shows the displacement
profile at the end of the construction, displacements

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Copyright 2006 Taylor & Francis Group plc, London, UK


Figure 7. Results of the extensometer above the experimen-
tal drift. TOP: measurements during the excavation phase.
MIDDLE: displacement profile at the end of the construc-
tion. BOTTOM: long-term behaviour; after about 9.5 years a
problem arose with the experimental set-up.
increase with decreasing distance to the drift. The
third graph shows the long term evolution, the sensors
closest to the drift measured continued displacements
during several years. At the end of 1994, some prob-
lems arose with the experimental set-up (cf. drop in
graphs) so the measurements are not reliable from that
point on.
Figure 8 shows the evolution of displacements of
the host rock beneath the Test Drift. The graph shows
combined data from the vertical Distofor extensometer
beneath the Test Drift and diameter measurements of
the lining. The results show that displacements are still
19
Copyright 2006 Taylor & Francis Group plc, London, UK
Figure 8. Displacement profiles at several moments in time:
1, 2, 4 and 7.5 years after construction of the gallery mid
1987. The graph combines data from the vertical Disto-
for extensometer beneath the Test Drift and from diameter
measurements of the lining.
Figure 9. Diameter reduction at four sections located in
the central part of the Test Drift. Up to 1999 measure-
ments were performed with an INVAR-wire system, optical
measurements were used afterwards.
increasing in the host rock 7.5 years after construction
and as deep as 5.8 m into the clay. Two differences exist
between these measurements and those in Figure 7:
The Distofor device is located above the experi-
mental drift whereas it is placed beneath the Test
Drift. Due to the applied construction technique an
important overexcavation (filled with grout) was
present above the gallery and this influenced the
displacements.
The main difference is the fact that the instrument
above the experimental drift was installed before
gallery construction and by consequence measures
total displacements, before during and after the
excavation face passes the sensor. The instrument
beneath the Test Drift was placed after construc-
tion of the gallery so displacements could only be
measured from that moment on.
Figure 9 shows diameter reductions of 4 sections
from the central part of the Test Drift. Up to 1999 these
 Distance from excavation face [cm]
0 25 50 75 100 125 150 175 200 225 250
0
2002-03-03
model
5
Radial convergence [mm]

10

15

20

25

30
Figure 11. Pore pressures measured during the Mine-by Test
35 (most inclined piezometer). The depths of the filters in the
borehole are given; the radial distances between the filters
Figure 10. Immediate radial convergence of the sidewalls and the Test Drift extrados are respectively 9.5, 8.4, 7.3, 6.1
during excavation of the connecting gallery. and 5.0 m.

100
were measured by means of an INVAR-wire, since
2000 optical measurements are used. The decrease of 90
the lining diameter is fastest during the first year after 80
pp [% of undisturbed value]

construction. It slows down afterwards but still goes

70
on; currently (some 18 years after construction) at a
rate of about 0.5 mm/year. Since the measurements 60
started, the diameter was reduced by some 60 mm. 50
The same type of measurements was performed during
40
13 years on the lining of the experimental drift, during
this period a diameter reduction of about 15 mm was 30
HOR_1990
measured. The evolution of the convergence was sim- 20 DOWN_1990
ilar. In the connecting gallery, no diameter variation HOR_2004
10
was measured since its construction. DOWN_2004

During the construction of the Test Drift (external 0

diameter of 4.7 m) displacements of 3.5 and 5.5 cm
were measured at respectively 8.7 and 6.7 m above the
gallery axis. During the construction of the connecting
gallery (external diameter of 4.8 m), a displacement of
some 5 cm was measured at 5.5 m above the gallery
axis; this value remained almost unchanged since.
Figure 10 shows the comparison of modelled and
measured immediate convergence during the excava-
tion of the connecting gallery. Although these mea-
surements concern the very short-term behaviour,
knowledge and control of the immediate convergence
is important to improve long-term modelling and
optimise the excavation process.
3.2 Pore water pressure
Figure 11 shows the measurements of the most inclined
piezometer of the Mine-by Test. After installation an
increase of pore water pressure is measured due to
re-equilibrium of the instrument with the surrounding
host rock. The influence of the first shaft is visible:
higher values are measured with increasing distance to
the shaft. The excavation of theTest Drift started before
full equilibrium was reached, certainly for the filters
closest to the shaft. The excavation induced a pore
0 2 4 6 8 10 12 14 16 18 20
Depth from extrados [m]
Figure 12. Results of the piezometers installed at sections
41 and 48 of the Test Drift. The filters are located in horizontal
and downward boreholes, for each direction the pore water
pressure profile at two moments is shown. The values are
expressed as a percentage of the undisturbed in-situ value of
pore water pressure at each location.
water pressure drop. For each sensor, pore pressure
starts to increase again once the gallery under con-
struction has passed above the sensor. Several months
later, the increase slows down but gradually contin-
ues for several years. The other two piezometers of the
Mine-by Test gave similar results.
Figure 12 shows the results of the piezometers
installed at sections 41 and 48 of the Test Drift. To
be able to compare the values obtained from hori-
zontal and vertical boreholes, the measurements are
expressed as a percentage of the undisturbed in-situ
pore pressure at each filter position. Some 2.5 years
after excavation, pressures measured in horizontal
boreholes are relatively higher than those in vertical
boreholes but this relation is inversed with time. Over
time, pore pressures below the gallery have increased

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Copyright 2006 Taylor & Francis Group plc, London, UK

 Figure 13. Pore pressures (CLIPEX). TOP: results of
piezometer C located above the connecting gallery. BOT-
TOM: results of piezometer D located next to the connecting
gallery.
slightly, this is consistent with the data from Fig-
ure 11. The results from horizontal boreholes show
the opposite evolution: a decrease with time.
The results of two CLIPEX piezometers are shown
in Figure 13; radial distances between the sensors and
the connecting gallery extrados are indicated. The first
graph shows the results of piezometer C, located above
the connecting gallery. The second graph shows the
results of piezometer D, located next to the gallery.
Both instruments were installed from the Test Drift
well before the excavation of the connecting gallery
so they were at equilibrium at that moment. The pres-
ence of the Test Drift influences the measurements as
can be observed from the equilibrium values before
the excavation which took place in FebruaryMarch
2002. The short-term response on the excavation is dis-
cussed by Bernier et al. (2002) and Li et al. (in prep.).
Summarising, a progressive increase was observed as
the excavation face came closer, followed by a sharper
drop as the excavation face approached very closely.
Up to this point all piezometers responded in a
similar way. The sensors inside the excavation profile
(piezometers A and B) were lost once the excavation
face reached the piezometric filters but piezometers C
and D could be reconnected once the gallery was com-
pleted. A tendency towards re-equilibrium was regis-
tered at those filters. Once the excavation face passed
underneath piezometer C, pore pressures started to
21
Copyright 2006 Taylor & Francis Group plc, London, UK
Figure 14. Pore pressure distribution around the connecting
gallery, expressed as percentages of the undisturbed in-situ
values. The graphs show the situation of December 2004.
TOP: profiles measured by the reference piezometers and the
CLIPEX piezometers C and D. BOTTOM: contour plot based
on the measurements of the reference piezometers.
increase gradually and they are doing so up to this
moment. After the excavation face passed next to
piezometer D, a sharp increase was observed during
several days, followed by a gradual decrease which is
still ongoing.
Figure 14 shows the results of the reference
piezometers some 2.75 years after excavation of the
connecting gallery; they are different for each orienta-
tion. This is in agreement with the observations around
the Test Drift in 1990 (Figure 12): relatively higher
pore pressures are observed in horizontal boreholes
than in vertical ones. The results of the inclined bore-
hole are intermediate.The piezometers installed before
the construction of the connecting gallery (CLIPEX
piezometers C and D) are shown as well. The dis-
tance between the two instrumented sections (R13 and
R55) is about 42 m but the measurements of the two
 downward piezometers are almost identical, indicating
a good repeatability of the measurement.
The contour plot in Figure 14 clearly shows that
the pore pressure distribution around the connect-
ing gallery is anisotropic; furthermore the extent of
the hydraulic disturbed zone (HdZ) is larger verti-
cally (>40 m) than horizontally (20 m). In other
directions, the extent is intermediate.

3.3 Total stress

Figure 15 shows the results of the total pressure cells
Figure 15. Total pressures measured at the extrados of the
at the extrados of the northern starting chamber of the northern starting chamber of the second shaft. Cells were
second shaft. A gradual increase is measured after their placed in direct contact with the excavated clay and were
installation. In September 2001, the starting chamber installed at four different locations; they consist of a flat jack,
was enlarged to enable the assembly of the tunnelling connected to a vibrating wire transducer.
shield and afterwards the excavation of the connect-
ing gallery started from there. The excavation works
took place in FebruaryMarch 2002 (cf. Figure 5). The
subsequent excavations of the mounting chamber and
the gallery itself both induced an increase of ground
pressure on the starting chamber lining.
Figure 16 shows the best estimate of total stress
measured by the self-boring pressuremeter; the val-
ues are likely to be more representative of the ver-
tical component of the in-situ stress. Total stress
seems to be influenced up to about 68 m into the
host rock. Between the two tests, total stress close to
the gallery wall has risen, indicating stress build-up
(re-equilibrium) around the excavation. The obtained
value in the far field (55.5 MPa) is somewhat higher
than the expected value.
Figure 17 shows the average strains measured by
embedded strain gauges in a segment of section 30 of
the connecting gallery. The strains increase rather fast Figure 16. Best estimate of total (vertical) stress based upon
after installation of the lining; the rate of increase slows two series of self-boring pressuremeter tests conducted from
the connecting gallery in 2002 and 2004.
down after 12 months. From the strain measurements,
stresses in the lining were calculated and these were in
turn valuated to determine the pressure exerted by the
host rock on the lining; actual placement tolerances,
thick tube effect and curvature variation were taken
into account. Moreover, it is important to take into
account creep phenomena in the concrete lining; tests
were carried out on samples taken from the lining to
evaluate the creep behaviour and in this case creep is
responsible for 2040% of the total experienced strain
and is thought to be the main cause of the continuous
strain increase currently observed. Taking into account
all these considerations, the ground pressure is com-
prised between 2.1 and 3.1 MPa (Ramaeckers & Van
Cotthem 2003).
The stresses in the Test Drift lining were directly
measured by load cells. Again, a rapid increase was
observed during the first months, followed by a more Figure 17. Results from embedded strain gauges near the
or less equilibrium state. The results were used to cal- intrados and extrados of a lining segment of the connecting
culate the pressure on the lining: it ranges between 1.6 gallery. Measurements were started during installation of the
and 2.4 MPa (De Bruyn et al. 1995). section.

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Copyright 2006 Taylor & Francis Group plc, London, UK


Figure 18. Hydraulic conductivity around the connecting
gallery; measured on a horizontal (R55E) and a vertical
(R55D) piezometer in 2004 and 2005.
3.4 Hydraulic conductivity
The average vertical (kV ) and horizontal (kH )
hydraulic conductivity determined on cores of the
Putte-Terhagen unit of the Boom Clay layer taken from
the Mol-1 borehole were respectively 1.9 1012 m/s
and 4.6 1012 m/s. The considered unit is 66 m thick
and hosts the URF HADES.
Ortiz (1997) gives an overview of the results of
small scale in-situ tests around the URL and the Test
Drift. Hydraulic conductivities determined from sin-
gle point measurements are always a combination of
kV and kH . The results around the URL range from
2.0 to 6.3 1012 m/s and those around the Test Drift
from 1.6 to 4.5 1012 m/s. Two multi point interfer-
ence tests were carried out around the Test Drift and
gave values of 1.7 and 2.3 1012 m/s for kV and 4.1
and 5.2 1012 m/s for kH .
The macropermeameter test ran for about three
years and based on the inflow of the last year, an
average hydraulic conductivity of 1.4 1012 m/s was
obtained.The storage coefficient was found to be lower
than 8 106 m1 .
Figure 18 shows the results of single point steady
state measurements around the connecting gallery
(SELFRAC). An increase of hydraulic conductivity is
observed up to about 6 m. Values of 6 1012 m/s
and 4 1012 m/s were obtained outside the influ-
enced zone, respectively on the vertical and the
horizontal piezometer. About 1 year after the first mea-
suring campaign on R55D the first 5 filters were tested
again. The results were systematically lower, although
not much. The first five filters of R55E were tested
again as well; the results were almost identical to those
obtained one year before (slightly lower in the first two
filters).
4 DISCUSSION AND CONCLUSIONS
Host rock displacements were measured during and
after gallery construction. It was shown that an
23
Copyright 2006 Taylor & Francis Group plc, London, UK
important part of the displacement at a specific loca-
tion takes place before the excavation face passes this
location and another part takes place until the gallery
lining is installed. From that moment on, the evolution
of the displacements is dependant on the lining type.
Several lining types were used so different behaviour is
to be expected. The lining of some sections of HADES
are designed to allow deformation and this will influ-
ence the displacements of the surrounding host rock.
The lining of the experimental works and the Test Drift
consist of concrete segments separated by compres-
sive wooden plates. A gradual diameter reduction is
observed in these sections since their construction.
Compared with the Test Drift, total diameter varia-
tion for the experimental drift is roughly a factor 4
less although the external diameter is only 2.35 times
smaller. During the first few years after the construc-
tion of the experimental drift, displacements of the
host rock were observed at distances up to 23 times
the gallery radius. In the Test Drift, displacements were
still increasing after 7.5 years at a distance of 2.5 times
the gallery radius. The more important displacements
around the Test Drift than around the experimental
drift could be explained by the different diameter, the
geological setting (the experimental works are situ-
ated some 20 m deeper) or by issues related to the
measurement set-up (e.g. reference point).
During the construction of the connecting gallery,
efforts were made to limit convergence. Compared to
the displacements above the Test Drift, the displace-
ments during the construction phase (up to the moment
the lining is installed) above the connecting gallery are
somewhat smaller but not that much. It is clear that dur-
ing gallery construction the convergence ahead of the
face will be difficult to limit and furthermore, a certain
amount of immediate convergence will always occur
after excavation. An important reduction in total con-
vergence was however gained by changing the lining
system. Indeed, due to the presence of wooden plates
between the concrete segments of the Test Drift a radial
convergence of up to 3 cm was observed whereas in
the connecting gallery, no additional convergence is
possible.
The short-term evolution of pore pressures dur-
ing and after excavation can be explained by the
undrained behaviour of the clay; a strong HM cou-
pling was evidenced. The increase of pore pressures
ahead of the excavation face of the connecting gallery
(cf. CLIPEX) corresponds to the undrained contractant
plastic behaviour of the material: due to the pressure
peak ahead of the face, pore pressure rises because the
low hydraulic conductivity impedes the dissipation of
pore water overpressure. No peak was observed dur-
ing the mine by test however, possibly because the
excavation rate was about 10 times lower. The drop
phenomenon is linked to decompression and fracturing
of the massif around the face.
 When looking at longer term behaviour, drained
conditions should be considered but even at a time
scale of several years the effects of the short-term
undrained response play an important role. For
instance, the pore pressure anisotropy observed around
the Test Drift and the connecting gallery can be
explained by stress redistribution due to gallery exca-
vation. At the level of the URF, K0 is about 0.9: the
vertical stress is slightly higher than the horizontal
ones. As a consequence of the undrained behaviour
during stress redistribution, pore pressures increase
left and right of the gallery, and decrease above and
below (Bastiaens et al. in prep.). This behaviour was
illustrated by the pore pressures measured once the
excavation face passed the sensors and the lining was
installed. Re-equilibrium of the pore pressures (dis-
sipation of over- and under-pressures) takes several
years and depends mainly on the hydraulic diffusiv-
ity. This is why pressures above and below the gallery
show an increasing trend during the years following the
excavation and a decreasing trend next to the gallery.
Equilibrium has not yet been reached at this moment
and some additional years are estimated necessary.
This phenomenon could also explain why shortly after
gallery excavation, pore pressure at a given distance
from the connecting gallery is higher in a horizontal
piezometer than in a vertical one. Other possible con-
tributing factors are the influence of fracturation and
fracture shape (Mertens et al., 2004) and the influence
of the anisotropy of the properties of Boom Clay.
As shown by the measurements around the Test
Drift, the HdZ does not become isotropic during the
re-equilibrium phase, but the anisotropy is inversed.
This effect is attributed to the anisotropy of the
hydraulic conductivity in Boom Clay (kH 2.kV )
which causes a larger draining effect horizontally. We
can therefore conclude that the HdZ profiles are dom-
inated in the short-term by the anisotropy of the initial
stress state (undrained instantaneous response) and
in the long-term by the anisotropy of the hydraulic
conductivity.
Regardless of anisotropy discussed above, the
extent of the HdZ is larger than expected. The impor-
tant extent of hydraulic perturbations around an exca-
vation was also evidenced during the excavation of
the second shaft. The diameter of the shaft at the level
of HADES is 8 m; an influence on pore pressure was
observed at a distance of 70 m. Elasto-plastic models
underestimate the observed extent of the zone where
pore pressure is influenced by gallery or shaft exca-
vation, even after introducing the phenomena linked
with stress anisotropy discussed above. Other factors
that are being investigated are anisotropy of mate-
rial parameters of Boom Clay, influence of excavation
induced fractures (Mertens et al., 2004), skeleton
viscosity and the effect of using not-perfect elasto-
plastic constitutive laws. Barnichon & Volckaert
24
Copyright 2006 Taylor & Francis Group plc, London, UK
(2003) describe the poromechanical formulation used
to express the strong HM coupling, including skeleton
viscosity.They apply the following rate-form relations:
where
is the effective stress tensor, the total stress
tensor, uw the pore pressure, I the unit tensor, the
strain tensor, Kw the water bulk modulus, m the fluid
mass content, n the porosity and the superscripts e, p
and vp respectively standing for the elastic, plastic and
viscoplastic part.
The measurement of total stresses in the host rock
remains a difficult task. However, measurements evi-
denced the load transfer on existing structures due to
stress redistribution after additional excavation. Other
measurements lead to the conclusion that ground pres-
sure on gallery lining builds up quite fast (12 months)
and that total stresses in the vicinity of galleries tend
to increase during the first years after excavation.
Stresses on the connecting gallery are higher than
those on the Test Drift lining. This can be explained by
the larger convergence allowed during the construction
of the Test Drift; during excavation (slow excava-
tion rate and a large overexcavation) but also after-
wards (diameter reduction due to compressive material
inserted between the lining segments). The measured
total stress profiles show a gradual increase and the
influenced zone is estimated to be 68 m. Measure-
ments were performed up to a depth of some 1012 m.
No clear total stress peak was observed; this is an argu-
ment in favour of the not-perfect elasto-plastic laws
mentioned above. Moreover, models using this type of
law do indicate the presence of a peak, although a much
lower and broader one and at a larger distance from
the gallery than predicted by elasto-perfectly-plastic
models; this implies the possibility that this broad and
relatively low peak -if present- was not observed due
to the limited depth of the measurements.
A large variety of in-situ tests to determine the
hydraulic conductivity were carried out. Although
they were carried out at different locations and times
and although they were conducted using different
methods and at different scales, the in-situ and labo-
ratory results are consistent. The recent measurements
(cf. SELFRAC) show the influence of gallery exca-
vation on hydraulic conductivities. The values outside
the influenced zone are consistent with in-situ data
obtained in previous experiments, although slightly
higher. When measuring on a vertical piezometer, kH
 is dominant; when measuring on a horizontal piezome-
ter, kH and kV are more or less equally important. This
explains the larger values obtained from the vertical
piezometer.
Combining the total stress measurements of the
self-boring pressuremeter with the pore pressure mea-
surements of the horizontal reference piezometer
R55E gives an estimation of (vertical) effective stress
as a function of depth. In the influenced zone, it varies
from about 1.5 MPa to 3.5 MPa. This zone of influ-
ence is more or less the same as that of the hydraulic
conductivity. Coll (2005) and Volckaert et al. (1995)
describe laboratory permeability tests on Boom Clay
samples as a function of effective isotropic stress.
Over the effective stress range mentioned above, a
decrease of hydraulic conductivity of about a factor
two is reported. This is in good agreement with the
in-situ k measurements on the horizontal piezome-
ter R55E which vary between 8 1012 m/s and
3.5 1012 m/s. We can therefore conclude that
effective stress variation alone can account for the vari-
ation of hydraulic conductivity measured around the
connecting gallery and that there is no important influ-
ence of fractures. This hypothesis is in agreement with
laboratory experiments to determine hydraulic con-
ductivity on fractured Boom Clay samples (Ortiz &
Van Geet in prep.). Moreover, the fracture extent
around the connecting gallery was estimated to be
about 1 m (Mertens et al. 2004); all but the closest mea-
suring points to determine the hydraulic conductivity
were situated beyond this zone.
The link between k and effective stress implies that
if a total stress peak is present (cf. above), it would
indeed be low and broad based on the conductivity
profile measured by the horizontal piezometer.
It is important to notice that even at the measur-
ing points closest to the gallery, k is still only one
order of magnitude larger than the undisturbed value.
The observed decrease of k with time is thought to be
caused by a slight increase of effective stress with time.
The fact the decrease is only observed in measure-
ments on the vertical piezometer could be linked with
the anisotropic stress redistribution and dissipation of
pore pressure.
ACKNOWLEDGEMENT
Many of the results presented in this paper
were obtained in cooperation with other institutes
and organisations. This collaboration is gratefully
acknowledged as is the support of the European Com-
mission for the CLIPEX and SELFRAC projects,
respectively in the fourth and fifth framework
programme.
25
Copyright 2006 Taylor & Francis Group plc, London, UK
REFERENCES
Barnichon, J.-D. & Volckaert, G. 2003. Observations and
predictions of hydro-mechanical coupling effects in the
Boom Clay, Mol Underground Research Laboratory,
Belgium. Hydrogeology Journal, Vol 11-1, 193202.
Berlin: Springer.
Bastiaens, W., Bernier, F., Buyens, M., Demarche, M.,
Li, X.L., Linotte, J.-M. & Verstricht, J. 2003. The connect-
ing gallery the extension of the HADES underground
research facility at Mol, Belgium. EURIDICE report
03-294. Mol: EIG EURIDICE.
Bastiaens, W. & Bernier, F. 2006. 25 years of underground
engineering in a plastic clay formation: the HADES
underground research laboratory, In Bakker et al. (eds.)
Geotechnical aspects of underground construction in soft
ground. London: Taylor & Francis Group.
Bastiaens, W., Bernier, F. & Li, X.L. In preparation.
SELFRAC: experiments and conclusions on fractura-
tion and self-healing and self-sealing processes in clays.
Applied clay science, Clays in Natural & Engineered Bar-
riers for Radioactive Waste Confinement; Proc. intern.
symp., Tours, 1418 March 2005. Amsterdam: Elsevier.
Bernier, F., Li, X.L., Verstricht, J., Barnichon, J.D.,
Labiouse, V., Bastiaens, W., Palut, J.M., Ben Slimane, K.,
Ghoreychi, M., Gaombalet, J., Huertas, F., Galera, J.M.,
Merrien, K., Elorza, F.J. & Davies, C., 2002. CLIPEX.
Report EUR 20619, Luxembourg: Commission of the
European Communities.
Bonne, A., Beckers, H., Beaufays, R., Buyens, M.,
Coursier, J., De Bruyn, D., Fonteyne, A., Genicot, J.,
Lamy, D., Meynendoncks, P., Monsecour, M.,
Neerdael, B., Noynaert, L., Voet, M. & Volckaert, G. 1992.
The HADES demonstration and pilot project on radioac-
tive waste disposal in a clay formation. Final report. Report
EUR 13851. Luxembourg: Commission of the European
Communities.
Coll., C. 2005. Endommagement des roches argileuses et
permabilit induite au voisinage douvrages souterrains.
Doctoral thesis, Grenoble: Universit Grenoble I.
De Bruyn, D., Labat, S. & Moerkens, K. 1995. Geologi-
cal Disposal of Conditioned High-Level and Long-Lived
Radioactive Waste- Task 4.2: Continuation of the geotech-
nical measurements in the HADES underground facilities.
SCKCEN report R-3080. Mol: SCKCEN.
Horseman, S.T., Winter, M.G. & Entwistle, D.C. 1987.
Geotechnical characterisation of Boom Clay in relation
to the disposal of radioactive waste. Final report. Report
EUR 10987. Luxembourg: Commission of the European
Communities.
Li, X.L., Bastiaens, W. & Bernier, F. In preparation. The
hydromechanical behaviour of the Boom Clay observed
during excavation of the connecting gallery at Mol site.
Multiphysics coupling and long term behaviour in rock
mechanics; Proc. intern. symp., Lige, 912 May 2006.
Mertens, J., Bastiaens, W. & Dehandschutter, B. 2004.
Characterisation of induced discontinuities in the Boom
Clay around the underground excavations (URF, Mol,
Belgium). Applied Clay Science 26, 413428. Amster-
dam: Elsevier.
NIRAS, 2001. SAFIR-2, Safety Assessment and Feasibility
Interim Report 2. Brussels: NIRAS.
 Ortiz, L., Put, M., De Bruyn, D., Moerkens, K. & Bernier, F.
1996. Geological Disposal of Conditioned High-Level
and Long-Lived Radioactive Waste- Task 4.4: Large Scale
Measurement of the Hydraulic Conductivity of the Boom
Clay, Final Report 19941995. SCKCEN report R-3095.
Mol: SCKCEN.
Ortiz, L. 1997. Etudes de performance long terme: Analyse
des donnes hydrauliques dans la zone perturbe autour du
laboratoire souterrain HADES. SCKCEN report R-3162.
Mol: SCKCEN.
Ortiz, L. & Van Geet, M. In preparation. Self-healing
capacity of argillaceous rocks: review of laboratory
results obtained from the SELFRAC project. Applied
clay science, Clays in Natural & Engineered Barriers
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for Radioactive Waste Confinement; Proc. intern. symp.,
Tours, 1418 March 2005. Amsterdam: Elsevier.
Ramaeckers, C. & Van Cotthem, A. 2003. Analysis of the
instrumented rings. Belgatom report N002_a. Brussels:
Belgatom.
Volckaert, G., Ortiz, L., De Cannire, P., Put, M., Horseman,
S.T., Harrington, J.F., Fioravante, V. & Impey, M., 1995.
MEGAS. Modelling and experiments on gas migration in
repository host rocks. Report EUR 16235, Luxembourg:
Commission of the European Communities.
Wemaere, I., Marivoet, J., Labat, S., Beaufays, R. & Maes, T.
2002. Mol-1 borehole (AprilMay 1997) Core manipula-
tions and determination of hydraulic conductivities in the
laboratory. SCKCEN report R-3590. Mol: SCKCEN.
 EUROCK 2006 Multiphysics Coupling and Long Term Behaviour in Rock Mechanics
Van Cotthem, Charlier, Thimus & Tshibangu (eds)
2006 Taylor & Francis Group, London, ISBN 0 415 41001 0

A three-dimensional constitutive law for rock salt including transient,

steady state and accelerated creep, failure and post-failure behaviour
and applications in rock engineering

C. Erichsen
WBI W. Wittke Consulting Engineers for Tunneling and Geotechnical Engineering Ltd., Aachen/Stuttgart,
Germany

ABSTRACT: A three dimensional elastic constitutive model for rock salt is proposed. This stress strain law
takes into account the three phases of creep (transient, steady state and accelerated creep), dilatancy, as well as
the failure and post failure behaviour. The model was implemented into a finite element program and validated
on the results of laboratory tests and in situ measurements. A good qualitative and quantitative agreement with
the test and measurement results is achieved. A stability analysis for an underground repository in rock salt is
presented.

1 INTRODUCTION

World wide, salt deposits are not anymore used only for
mineral exploitation, but to an increasing extent also
for the underground storage of gases and fluids and as
underground repositories for hazardous or radioactive
waste. Because of this, the importance of questions
regarding the excavation and stability of openings in
salt rock increases continuously. The design and the
stability analysis for openings in salt rock necessitates
a model for the realistic description of the stress-strain
behaviour of rock salt. In the following, a constitute
law is presented, which has been developed by Kiehl
et al. (1998) and is an extension and advancement of
the constitutive laws of Wallner (1983) and Dring &
Kiehl (1996). Figure 1 schematically illustrates the
Figure 1. Primary, secondary and tertiary creep in an
form of creep curves as obtained with uniaxial creep uniaxial creep test.
tests, which are unconfined compression tests with a
constant load ( = const.). The stress leads to elas-
tic deformations el not depending on time as well as
to creep deformations c depending on time. If the secondary or steady component of the creep deforma-
creep stress is smaller than a stress F , the so-called tion s ; it increases linearily with time in an uniaxial
uniaxial yield stress, the increase of the creep defor- creep test (s = const.).
mation with time, i. e. the creep rate c is largest after If the creep stress is larger than the yield stress
applying the creep stress and then converges to a con- F , the creep curve usually has a point of inflection.
stant value. The creep deformation can, in this case, be After a delayed creep at the beginning, an accelerated
subdivided into two components. One is the so-called creep process starts as soon as the inflection point is
primary component of the creep deformation p , which passed, finally leading to a creep failure (Fig. 1). This
converges to a constant value and does practically not behaviour can be interpreted by a tertiary creep portion
anymore increase after a certain time. t , increasing overproportionally with time and being
Therefore, the primary creep is also called transient superimposed to the elastic, primary and secondary
(nonsteady) creep. The other component is known as deformation components.

27

Copyright 2006 Taylor & Francis Group plc, London, UK

 2 STRUCTURE OF THE MODEL
Formulating the constitutive law, an analytical sep-
aration of different strain components is assumed
to describe the stress-strain behaviour of rock salt
as explained above. It is distinguished between five
strain components, the summation of which yields the
total strain. The structure of the model in its one-
dimensional form can therefore be described with the
Figure 2. Structure of rheological model.
Table 1. Primary and secondary creep: strain rates and characteristic parameters.
28
Copyright 2006 Taylor & Francis Group plc, London, UK
aid of the rheological model represented in Figure 2,
this consisting of a series arrangement of five differ-
ent rheological bodies each of these corresponding to
a strain component:
A linear elastic strain component (spring) to
describe the elastic behaviour el .
A viscoplastic strain component (strain-hardening
frictional element with a parallel damping element)
to describe primary creep p .
A viscose strain component (damping element) to
describe secondary creep s .
A viscoplastic strain component (strain-softening
frictional element with a parallel damping element)
to describe tertiary creep t .
A viscoplastic strain compontent (a further strain-
softening frictional element with a parallel damping
element) to describe the behaviour after a shear
failure (creep failure) NS or tensile failure NZ .
All strain components except the elastic component
el are irreversible and volumetric strains only occur
in the elastic range, during tertiary creep and during
tensile failure processes.
 This constitutive law has been implemented into
the three dimensional Finite-Element-Code FEST03
(Wittke 1990, Wittke 2000).
3 PRIMARY AND SECONDARY CREEP
In Table 1 the mathematically formulations of the elas-
tic behaviour of rock salt and of the primary and
secondary creep are summarized.
The equations to determine the strain compo-
nents are given for the general three-dimensional
case. Because of the time dependence of the stress-
strain behaviour these equations are formulated as rate
equations.
The plastic potential eff is an invariant of the devia-
toric stress tensor, describing the deviation of the state
of stress from the hydrostatic or petrostatic state of
p
stress 1 = 2 = 3 . eff is the corresponding invariant
of the deviatoric strain tensor. It is to be noted that the
The convergencies have been backanalysed using the
finite element code FEST03.
The computed displacements fit well with the mea-
sured convergencies taking into account primary and
secondary creep only (Fig. 3).
4 TERTIARY CREEP
Tertiary creep is described by the viscoplastic rate
equation given in Table 2. Five parameters are required
to describe tertiary creep. These are the viscosity t for
tertiary creep, the uniaxial yield stress F , the angle of
flow F , the strain-softening modulus M and the angle
of dilatancy .
Figure 4 shows the result of a triaxial creep test
carried out on a halite sample with a confining pressure
of 3 = 15 MPa and six stages of load, the stage of load
next to the last representing an unloading.
During the first four stages of load, only primary
and secondary creep deformations occur. After the last
definition of this quantity is only valid for the given
case, in which no volume strains occur due to primary
p
creep (v = 0, Figure 2).
According to Table 1 three parameters are neces-
sary to describe primary creep, these being called
viscosity p , strain-hardening modulus Ep and stress
exponent m.
The three-dimensional formulation of secondary
creep is equivalent to the approach of Wallner (1983).
Two parameters a and n are sufficient to model
secondary creep (Table 1).
In Figure 3 the horizontal and the vertical conver-
gencies measured over a period of three years in a
drift which was excavated in rock salt are illustrated.
The deformations converge to a constant increase, thus
only primary and secondary creep occured in this case.
Figure 3. Excavation of a drift in rock salt: comparison of
measured and computed convergencies.
29
Copyright 2006 Taylor & Francis Group plc, London, UK
and highest loading ( = 1 3 = 22 MPa), a very
steep increase of the axial strain with time was mea-
sured. The reason for these accelerated creep rates are
tertiary creep deformations.
The comparison of the strains computed with the
parameters shown in Figure 4 with the measured values
shows that a good agreement between measurement
and analysis results can be achieved for all loading
stages.
5 FAILURE AND POST-FAILURE
BEHAVIOUR
For the failure criterion for shear failure D > 0 a
Drucker & Prager (1952) equation with strain-
softening is used. As softening parameter the plastic
volumetric strain tv is introduced (Table 3). The math-
ematical formulation of the viscoplastic strain rates
after a shear failure {NS } is presented in Table 3 (upper
part).
A tensile failure occurs, when the tensile strength
t 0 is exceeded by the smallest principal normal
stress 3 . The strain rates arising after a tensile failure
are described by the flow rule given in Table 3 (lower
part).
Seven characteristic parameters are required to sim-
ulate the failure and the post-failure behaviour in case
of shear and tensile failure (see Table 3).
6 APPLICATION TO STABILITY
ANALYSIS OF UNDERGROUND
OPENINGS
The above mentioned finite element code FEST03,
in which the constitutive law for rock salt was
 Table 2. Tertiary creep: strain rates and characteristic parameters.
implemented, was applied to various problems related
to the stability of underground openings in rock salt
(Erichsen & Werfling 1998, Wittke et al. 1998, Wittke
2000).
The example of an underground repository with a
large volume is used in the following to illustrate the
stability analysis as well as the effect of supporting
measures (Erichsen & Werfling 1998).
A three-dimensional computation section was cho-
sen for the stability analyses for the repository (Fig. 5).
It has a length of 550 m, a height of 475 m and a
width of 50 m. The finite element mesh consists of sev-
eral slices and is subdivided into 14,308 isoparametric
elements with a total of 64,184 nodal points. Thus, the
system of equations to be solved to get the nodal point
displacements has a number of approximately 180,000
unknowns.
The concept for support is to reduce the degree of
volume of excavation by filling selected openings with
a supporting backfill (partial filling, Fig. 7) and to
ensure the stability of the remaining system of cavities
30
Copyright 2006 Taylor & Francis Group plc, London, UK
as well as the integrity of the salt barrier against the
caprock in the long run. The filled openings together
with the salt rock form pillars, along which the loads
resulting from the overburden can be transfered.
For the first step of the analyses, a petrostatic in-
situ state of stresses in the salt rock was assumed. In a
second step, the excavation of the openings as well as a
standing time of approximately 64 years up to the year
2000 were simulated. In the year 2000, the filling of
selected cavities was simulated. Then, a creep time of
several thousand years was considered in the analyses.
The parameters used in the analyses were derived
from laboratory tests, in situ tests and in situ
measurements and the corresponding numerical
interpretations.
In Figure 6 the horizontal convergencies com-
puted for the opening 2n on the 2nd mining level are
exemplarily compared with the measurement results.
From 1970 to 1996, a horizontal convergency of
approximately 5 mm was measured in this opening.
The results of two two-dimensional (2D) and one
 Table 3. Failure and post-failure behaviour: strain rates and characteristic parameters.
three-dimensional (3D) analyses are plotted in com-
parison with this. In the two two-dimensional analyses
the creep parameter a was varied. A creep parameter of
a = 2.57 1010 %/h leads to larger computed displace-
ments than measured. A reduction of this parameter to
a = 1.67 1010 %/h results in a very good agreement
with the measuring results.
The simulation with a three-dimensional model and
the same creep parameters leads to smaller displace-
ments than the corresponding two-dimensional analy-
sis (Fig. 6). The reason for this is the load transfer in the
longitudinal direction of the mining chamber which is
simulated in the three-dimensional analysis. On the
other hand the large mining chambers are assumed
to be indefinitely long in the two-dimensional analy-
ses. By this, the load-bearing capacity of the salt rock
is reduced in comparison with the three-dimensional
analysis. This leads to larger displacements.
The subsidence rates computed for the salt surface
are quickly reduced due to the supporting mea-
sures (Fig. 7). Here also, the influence of the three-
dimensional load transfer in the longitudinal direction
of the mining chambers is recognizable. The three-
dimensional load transfer leads to a reduction of the
31
Copyright 2006 Taylor & Francis Group plc, London, UK
displacements at the salt surface of more than 50% as
compared with the two-dimensional analysis.
7 CONCLUSION
A three-dimensional constitutive law for the simu-
lation of the elastic, the creep and the post failure
behaviour of salt rock is presented. 19 parameters are
required for the description of the complete stress-
strain behaviour:
Two parameters to describe elastic behaviour.
Three parameters to describe primary creep.
Two parameters to describe secondary creep.
Five parameters to describe tertiary creep.
Seven parameters to describe the failure and post-
failure behaviour.
However, not every problem requires the determina-
tion of all parameters. As already mentioned, stresses
smaller than the yield stress only lead to elastic as
well as primary and secondary creep deformations. In
such cases, the stress-strain behaviour of the salt rock
is completely described by the parameters E, , Ep ,

Figure 4. Triaxial creep test carried out on halite with
several loading stages including unloading.
Figure 5. Three-dimensional finite element mesh for stabil-
ity analyses (Erichsen & Werfling 1998).
p , m, a and n. In long-term studies, the secondary
creep often prevails, because the stress alterations due
to an openings excavation and, thus, the elastic and the
primary creep deformations are limited with respect
to time. In such cases, the elastic and the primary
32
Copyright 2006 Taylor & Francis Group plc, London, UK
Figure 6. Convergencies in the mine: comparison of mea-
sured and computed displacements (Erichsen and Werfling,
1998).
Figure 7. Subsidence at the salt surface (Erichsen and
Werfling, 1998).
creep deformations may be neglected so that only the
two parameters a and n are necessary to describe the
stress-strain behaviour.
This constitutive law has been implemented into the
three-dimensional finite elemente code FEST03. The
results of laboratory tests have been back-analysed
successfully. In Chapter 6 a stability analysis for an
existing underground repository in rock salt, carried
out with this model, is presented.
REFERENCES
Dring, T.; Kiehl, J.R. (1996): Das primre, sekundre und
tertire Kriechen von Steinsalz Ein dreidimensionales
rheonomes Stoffgesetz. Geotechnik 1996/3, 194199.
 Drucker, D.C.; Prager, W. (1952): Soil Mechanics and Plastic
Analysis on Limit Design. Quartl. Appl Math., No. 10,
157165.
Erichsen, C.; Werfling, J. (1998): Rumliche Berechnungen
zur Untersuchung der Standsicherheit und der Wirkung
von Sttzmanahmen fr eine Untertagedeponie im Stein-
salz. Geotechnik 1998/3, 217220.
Kiehl, J.R.; Dring, T.; Erichsen, C. (1998): Ein rum-
liches Stoffgesetz fr Steinsalz unter Bercksichtigung
von primrem, sekundrem und tertirem Kriechen, Dila-
tanz, Kriech- und Zugbruch sowie Nachbruchverhalten.
Geotechnik 1998/3, 254258.
Kiehl, J.R.; Reim, J. (1999): A three-dimensional constitu-
tive law for rock salt including transient, steady state and
accelerated creep, failure as well as post-failure behaviour.
Proc. 9th ISRM Congress, Vol. 2, Paris, 917920.
33
Copyright 2006 Taylor & Francis Group plc, London, UK
Wallner, M. (1983): Standsicherheitsberechnungen fr die
Pfeilerdimensionierung im Salzbergbau. 5. Interna-
tionaler Kongre ber Felsmechanik, Melbourne 1983,
D8D14.
Wittke, W. (1990): Rock Mechanics Theory and Appli-
cations with Case Histories. Springer Verlag, Berlin,
Heidelberg, New York, Tokyo.
Wittke, W. (2000): Stability Analysis for Tunnels, Fundamen-
tals. Geotechnical Engineering in Research and Practice,
WBI-Print 4, Verlag Glckauf GmbH, Essen.
Wittke, W.; Schmitt, D.; Gattermann, J. (1998): Ver-
schliekonzepte fr Untertagedeponien Entwurf und
geotechnische Nachweise. Geotechnik 1998/3, 212216.
 EUROCK 2006 Multiphysics Coupling and Long Term Behaviour in Rock Mechanics
Van Cotthem, Charlier, Thimus & Tshibangu (eds)
2006 Taylor & Francis Group, London, ISBN 0 415 41001 0

Response of a saturated mudstone under excavation and thermal loading

A. Gens, J. Vaunat & B. Garitte

Department of Geotechnical Eng. and Geosciences, Universitat Politcnica de Catalunya, Barcelona, Spain

Y. Wileveau
ANDRA, Service Scientifique, Bure, France

ABSTRACT: The paper addresses the issue of the description of the coupled thermo-hydro-mechanical
behaviour of argillaceous rocks. A theoretical formulation is first briefly described followed by a constitu-
tive law, developed for this type of materials, in which an elastoplastic approach is combined with damage
concepts. Theoretical formulation and constitutive law are then used to analyze and interpret the observations
gathered during the performance of an in situ heating test carried out in an underground laboratory. As a result of
the analysis, a better understanding of the relationship between the various interacting phenomena is achieved.

1 INTRODUCTION drawback is the fact that the strength is generally not

Argillaceous rocks (mudstones, claystones, marls,
shales) result from mechanical, chemical and/or bio-
logical alteration of clay sediments during diagenesis.
After deposition, sediments are compacted as they
are buried beneath successive layers of sediment and
cemented by minerals that precipitate from solution.
Porosity usually decreases during diagenesis while
grains of sediment, rock fragments and fossils can
be replaced by other minerals. All these phenomena
result generally in a complex history reflected, in turn,
in complex mechanical behaviour. Some challenging
aspects of the behaviour of these materials are related
to their low porosity, significant bonding, marked
anisotropy, stiffness reduction upon loading, brit-
tle behaviour during shearing, crack opening during
unloading, and mechanical degradation upon wetting.
Argillaceous rocks are often encountered in mining
and civil engineering works. Open mining excavations,
road and canal construction, tunnelling, and landslide
remediation are typical examples. It is therefore not
surprising that studies have been periodically reported
in the literature since the pioneering works done on
Cucaracha shale during the construction of the Panama
Canal.
More recently, interest in argillaceous rock has been
enhanced by the fact that they are a geological medium
being considered as host rock for a deep underground
repository for high level radioactive waste. They have
attractive properties such as low permeability, signif-
icant retardation properties for solute (and therefore
radionuclide) transport, a degree of self-healing capac-
ity and no foreseeable economic value. A possible
high, so some measure of support of the openings may
be required. Argillaceous materials may also be sen-
sitive to chemical changes, such as oxidation, and to
desaturation effects.
If an argillaceous rock is selected as the geologi-
cal host medium to house a repository of high level
radioactive waste, it is necessary to examine the rock
under very generalised loading conditions. The rock
will be subjected to drying from tunnel ventilation and,
possibly, from the suction of the engineered barrier
surrounding the waste. This drying will be in turn com-
pensated, at least partially, by water inflow from the
outer reaches of the rock mass. High level radioactive
waste is heat emitting, so a significant thermal loading
will also be applied to the rock. Those hydraulic and
thermal changes will in turn bring about mechanical
and chemical changes.
The phenomena outlined above interact strongly
with each other resulting in a complex coupled system.
Consequently, a proper analysis of the situation must
be placed in a multi-physics context and requires
the establishment of appropriate coupled formulations
and the performance of numerical analysis that incor-
porate, in a realistic manner, the thermal, hydraulic,
mechanical and chemical aspects of the problem.
The formulation and analysis must also include a
constitutive model capable of reproducing the most
salient behaviour features of the behaviour of argilla-
ceous rock. An important consideration in this field
is the size of the Excavation Damaged Zone (EDZ)
as well as the degree of damage because such a zone
may provide a preferential pathway for radionuclide
migration.

35

Copyright 2006 Taylor & Francis Group plc, London, UK

 Some rocks have been especially investigated in
this context, particularly those associated with exist-
ing underground laboratories: Boom Clay in the Hades
laboratory in Mol, Callovo-Oxfordian mudstone in
the ANDRA underground laboratory of Meuse/Haute
Marne (France) and Opalinus clay in the Mont Terri
laboratory located in northern Switzerland. Under-
ground laboratories allow, by the performance of
appropriate in situ tests, to observe the rock response
in complex situations mimicking some of the condi-
tions likely to be encountered in a deep geological
repositories.
In this paper a coupled thermo-hydro-mechanical
(THM) formulation is first briefly presented. After-
wards a constitutive model for argillaceous rocks
incorporating elasto-plastic and damage features is
summarily described. Formulation and constitutive
model are then applied to the modelling of an in
situ heating test performed on Opalinus clay in the
Mont Terri laboratory. Neither chemical nor desatura-
tion phenomena are considered in the work presented
herein.
2 FORMULATION
The formulation is based on a multiphase, multispecies
approach. It is assumed that the porous medium is
composed of three species: mineral (), water (w) and
air (a), distributed in three phases: solid (s), liquid (l)
and gas (g). In the particular form presented here, the
mineral species and solid phases coincide. The for-
mulation is based on the simultaneous solution of the
equations for the balance of solid mass, the balance of
water mass, the balance of internal energy and equi-
librium. Although it is formulated in a general way to
include unsaturated materials, the analyses presented
in the paper involve only saturated media; therefore
the equation for the balance of air mass is not taken
into account.
The following balance equations are therefore
considered:
Balance of solid:
Balance of water mass:
Balance of internal energy:
36
Copyright 2006 Taylor & Francis Group plc, London, UK
Equilibrium:
The notation used is as follows: , porosity, , density,
j, total mass flux, i, non-advective mass flux, q, advec-
tive flux, u, solid displacement vector, , stress tensor,
b, body forces vector, , mass fraction, , mass con-
tent per unit volume of phase ( = ), Sl , degree of
saturation of liquid phase, E, specific internal energy,
ic , conductive heat flux, jE , energy fluxes due to mass
motion. The superscript refers to the species and the
subscript to the phase.
The formulation must be completed with a number
of constitutive laws that describe the various phenom-
ena under consideration.They have been presented and
discussed elsewhere (e.g. Gens and Olivella, 2000).
Special consideration should be given, however, to the
constitutive law describing the mechanical behaviour
of argillaceous rocks, as described in the next section.
In fact, before solving the set of equations indi-
cated above, the solid balance equation is eliminated
by introducing it in the rest of balance equations, mak-
ing use of the concept of material derivative. It can be
shown that, considering the change of porosity caused
by the solid grain deformation induced by temperature
and total stress, the formulation presented is equivalent
to Biots in the case of linear mechanical constitutive
laws. When the laws become nonlinear, this approach
introduces an automatic variation of Biots coefficient
and Biots modulus consistent with the constitutive law
adopted.
The formulation presented allows the description of
the coupling existing between the process of heat flow
conduction, heat flow advection, change in internal
energy due to phase changes, advective flow of liquid
water, diffusive flow of vapour, changes in effective
stresses, and changes in porosity due to deformation
and solid thermal expansion.
3 A CONSTITUTIVE MODEL FOR
ARGILLACEOUS ROCK
3.1 General
The basis of the model consists in considering the pres-
ence of two different materials inside the medium: the
argillaceous matrix and the bonds (Figure 1). When a
load is externally applied to the medium, part of the
stresses will be carried by the bonds and part by the
matrix. The two materials will then experience differ-
ent local values of stresses and strains. These values
are constrained by the condition that local strains must
be compatible with externally applied deformations,
by the stress-strain relationships of the matrix and the
bonds and by the fact that local stresses must be in
equilibrium with the external load.

Figure 1. Schematic arrangement considered for a bonded
argillaceous material.
The model must therefore include a constitutive
model for the matrix, a constitutive model for the
bonds and a stress partitioning criterion to specify the
way in which the applied stresses are shared. For sim-
plicity, the equations are expressed in triaxial space.
3.2 Matrix
The model assumes that bonds are responsible of the
main structuring effects. The argillaceous matrix has
therefore the same local behaviour (expressed in terms
of strains and stresses existing inside the matrix), inde-
pendently of the level of bonding. In this paper, a
hardening elasto-plastic model based on the Hoek &
Brown (1980) failure criterion has been adopted.
3.3 Bonding and stress/strain partitioning
The additional structuration caused by cement depo-
sition is accounted for in the model through the
introduction of second material component, called
bond, endowed with a behaviour typical of quasi-brittle
materials.
Let us suppose that bonding occurs at a given
time during deposit history t0 , characterized by in
situ stress state ( pb0 , qb0 ) and strain (v0 , q0 ). At
that time, part of the void ratio will be occupied by
the cementing material. Denoting e = VV /VS the void
ratio, eb = Vb /VS the amount of volume occupied by
bonds and eM = (Vb + VV )/VS the amount of volume
not occupied by clay particles per unit volume of solid
material, the following equality holds:
Changes in e, eb and eM are measured by
the following volumetric strains: dv = de/(1 + e),
dvb = deb /(1 + e) and dvM = deM /(1 + e). dv
is related to the change in porosity, dvb to the change
Copyright 2006 Taylor & Francis Group plc, London, UK
in bond volume and dvM is the strain measured
externally on a sample of cemented material.
From equation (5), it follows that the three strain
increments are related by:
Equation (6) expresses the fact that change in
porosity is not equal to the external volumetric strain
because of bond deformability. It is extended to the
shear strain increments by the expression:
Integration of Equations (6) and (7) from time t0
gives the following relationships between strains:
since vM = v = v0 and qM = q = q0 at t0 .
Any load applied to an element of cemented mate-
rial after the time of bond deposition will distribute
itself between the soil matrix and the bonding accord-
ing to a ratio that depends on the geometric arrange-
ment of both components. Cordebois & Sidoroff
(1982) proposed to use the energy equivalence princi-
ple that establishes the equality between the energy of
the composite material and the sum of energies for all
components. For the case of a cemented material, this
principle leads to the expression:
Defining v = vb /(v v0 ) and q = qb /(q q0 ),
and using Equation (8), Equation (9) becomes:
Equation (10) provides a relationship between the
external stresses ( p, q), the stresses inside the bonds
and effective stresses ( pM , qM ) acting at the contact
between clay particles. ( pM , qM ) are related to vM and
qM by the constitutive law of the clay matrix described
in section 3.1.
Relationship between ( pb , qb ) and (vb , qb ) is pro-
vided by the constitutive law of the bonding. Damage
elasticity is considered as the modelling framework
for this material. More specifically, the damage model
37
 established by Carol et al. (2001) has been selected
where a logarithmic damage measured is proposed:
Equations defining this law are:
D is a measure of damage or fissuring of the mate-
rial and is equal to the ratio of bond fissures over the
whole area of bonds. Fissures are assumed to have
null stiffness while bond material between the fis-
sures is considered as linear elastic with bulk and
shear moduli Kb0 and Gb0 . When D = 0, the mate-
rial is intact and bond stiffness is determined by Kb0
and Gb0 . As D increases, fissures develop and mate-
rial stiffness decreases progressively. When D = 1,
no more resisting area exists inside the bonding and
bond stiffness is equal to 0. In that modelling frame-
work, bond response is totally determined if Kb0 ,
Gb0 and evolution of D with load are known. Fol-
lowing Carol et al. (2001) proposal, change of D is
linked to the energy increment input to the bonds dub
(equal to ( pb pb0 ) dvb + (qb qb0 ) dqb in triaxial
conditions). The following expression has been used:
The current bond damage locus is defined in the
stress space as a threshold of equal energy r, corre-
sponding to the maximum energy input to the bond
during its history. This condition draws an ellipse in
the pb qb space. For a stress state moving inside the
ellipse, no further damage develops. When the ellipse
is reached by the current stress state, damage occurs.
v and q define the part of load ( p, q) carried
respectively by bonds and matrix. With the assumption
that the strains prevailingin the unfissured part of the
bonds (vb , qb ), equal to 1 D times the strains (vb ,
qb ) in the framework of Carol et al. (2001) model, are
directly proportional to (v v0 , q q0 ), v and q
can be rewritten as:
where 0 is a coefficient related to bonding intensity.
According to Equation (14), v and q evolve from
0 to 0 during the process of bond damage. This
mechanism is accompanied by a destructuration of the
material and a progressive transfer of load from bonds
to clay matrix. Figure 2 shows a graphic summary of
the model.
Copyright 2006 Taylor & Francis Group plc, London, UK
Figure 2. Schematic graphic description of the constitutive
model.
4 THE HE-D EXPERIMENT
The HE-D experiment has been carried out byANDRA
in the Mont Terri Underground Laboratory, excavated
in Opalinus clay, a shale of Lower Aalenian age (Mid-
dle Jurassic). Opalinus clay may be described as a stiff
overconsolidated clay with a strong bedding struc-
ture. The HE-D test is located in the shaly facies, that
contains a higher proportion of clay minerals.
To perform the experiment, a niche was excavated
from the main laboratory tunnel from which a 30 cm
diameter borehole has been drilled with a total length
of 14 m. In the section close to the end of the borehole,
two heaters have been installed. The heaters are 2m
long and can be pressurized to ensure a good contact
with the rock. The separation between heaters is 0.8 m.
In addition, a number of auxiliary boreholes have been
constructed to install a variety of instruments for the
monitoring of the test. Figure 3 shows a schematic
layout of the test.
Approximately one month after installation and
pressurization, the heaters were switched on with a
total power of 650 W (325 W per heater). The heaters
were then left under constant power during 90 days.
Afterwards the power was increased threefold, to
1950 W (975 W per heater) and maintained at that
level for 248 days more. At the end of this second
heating stage, the heaters were switched off and the
rock allowed to cool. Temperatures, pore pressures and
deformations were measured throughout.
5 FEATURES OF ANALYSIS
5.1 Type of analysis, discretization and
computer code
The numerical analyses have been performed in 2-D
axisymmetric conditions, with the axis of symmetry
centred on the main borehole axis. This hypothesis
obviously prevents the consideration of the anisotropy
of material (mainly due to the presence of the bedding)
and of the in situ stresses. Full 3D analyses are being
carried out at present but are not presented here. In any
38
 Figure 4. Discretized domain and mesh used in the numer-
ical analysis.

Table 1. Material properties.

Material properties Value

Solid grain density s0 = 2700 kg/m3

Solid grain compressibility sT = 1.6 105 MPa1
Figure 3. Layout of the HE-D experiment. Linear thermal expansion of sT = 9.6 106 K1
solid grain
case, the overall behaviour of the test is adequately rep- Water compressibility w
l0 = 1002.6 kg m3
w w (pl pl0 ) w T
resented by the axisymmetric model. The mesh used lw = l0 e e pl0 = 0.1 MPa
and the extent of the domain modelled are presented w = 3.4 104 K1
w = 4.5 104 MPa1
in Figure 4. The analyses have been performed using
Water viscosity l = l0 e/T l0 = 2.1 1012 MPa s
the computer programme CODE BRIGHT (Olivella = 1808.5 K
et al., 2000) that incorporates the formulation outlined
Mechanical
above.
Young modulus E = 7000 MPa
Poissons ratio = 0.23
5.2 Boundary and initial conditions Biots coefficient b = 0.6
Uniaxial compression strength Rc = 10 MPa
The following stages are considered in the analysis:
Tensile strength Pt = 3.3 MPa
(i) excavation of the borehole, (ii) heater pressurization Strength reduction parameter sT = 0.6
to 1 MPa, (iii) application of the first stage of heater Damage threshold ro = 104 MPa
power (325 W/heater), (iv) application of the second Damage evolution parameter r1 = 107 MPa
stage of heater power (975 W/heater), and (v) switch- Hydraulic
ing off the heaters. Saturated hydraulic conductivity Kw = 5 1013 m/s
Initial stresses are assumed to be 4.28 MPa (an aver-
Thermal
age value of the measurements made in the area).
Linear thermal expansion of clay = 9 106 K1
Initial pore pressures are set at 0.9 MPa in accordance Thermal conductivity of clay T = 2.2 W m1 K1
with the observations made before the experiment. Heat capacity of solid grain C s = 840 J kg1 K1
The initial temperature is 17 C and initial porosity is
equal to 0.137 throughout the domain.
from previously available information. However, the
material stiffness value and the saturated hydraulic per-
5.3 Material properties meability have been determined from the evolution of
The main material properties are summarized in pore pressures measured during the drilling of the main
Table 1. Most of the properties have been obtained borehole. Figure 5 shows the comparison between

39

Copyright 2006 Taylor & Francis Group plc, London, UK

 0 3.00

-50
S0
Pore pressure (kPa)

-100
2.00

-150
1.00
-200

z-axis
-250 H2-2
PBHE-D14 PBHE-D15 PBHE-D16 0.00
PR14(simul) [kPa] PR15(simul) [kPa] PR16(simul) [kPa]
H2-3 r=0.15m
-300 Pres D03
0 10 20 30 40 50 60 70 80 90 100 r=1.1m
-1.00
Pres D14
Time (days from start of excavation)
r=0.775m
Figure 5. Observed and computed pore pressures during Pres D17
-2.00
borehole excavation after parameter adjustment. r=2.96m

-3.00
-3.00 -2.00 -1.00 0.00 1.00 2.00 3.00
x-axis

Figure 7. Observation points. Coordinate (0,0) corresponds

to the main borehole axis. The line indicated by so represents
the bedding orientation.

hierarchical arrangement of the various coupled phe-

nomena identified. Relevant couplings are, by order
of importance:
(a) Thermo-hydraulic coupling: thermal expansion of
Figure 6. Strength data for Opalinus clay determined in tri-
water and solid grain due to changes in temperature
axial tests (Schnier, 2004). The assumed Hoek & Brown (HB)
failure criteria are shown for comparison. generate a build-up in water pressure. Because the
increase in water pressure at one point of the massif
depends basically on the increase in temperature,
observed and computed pore pressures after adjusting the development of thermal gradients is accompa-
the parameters. Also, thermal conductivity has been nied by the generation of hydraulic gradients.
selected from a backanalysis based on 3D thermal (b) Hydro-mechanical coupling: pore pressures gen-
modelling.As expected, thermal conductivity turned to erated by the thermo-hydraulic coupling dissipate
be anisotropic with values of 2.8 and 1.6 W m1 K1 with time. This process is often referred as thermo-
parallel and perpendicular to the bedding planes, consolidation and it causes further deformation of
respectively.An average value of 2.2 W m1 K1 has the medium.
been used in the axisymmetric analyses.
Although there is a fair amount of scatter, laboratory The low porosity of Opalinus clay and the fact that
tests on Opalinus clay show that there is a notice- it remains saturated during the test implies that neither
able reduction of strength with temperature (Figure 6). pore pressure changes nor deformations cause notice-
This has been taken into account in the analysis by able changes in rock thermal properties; in particular
introducing a reduction of strength with temperature the rock thermal conductivity remains almost constant.
according to the expression (Laloui & Cekeravac, Thus, the temperature field is not affected by water
2003): pressures or displacements and, therefore, the cou-
pling from hydro-mechanical to thermal is negligible.
Consequently, the interpretation of the measurements
will be made in the following order: (i) temperatures
and pore pressures and (ii) deformations and other
mechanical variables.

6 RESULTS AND DISCUSSION

6.2 Temperatures and pore pressures
6.1 Coupled phenomena The evolutions of the observed and computed temper-
Test observations and results obtained from the cou- atures at two points adjacent to Heater 2 (Figure 7) are
pled numerical analyses discussed below show a presented in Figure 8. The two heating stages can be

40

Copyright 2006 Taylor & Francis Group plc, London, UK


Figure 8. Evolution of temperatures at two points adjacent
to Heater 2.
Figure 9. Evolution of temperatures at point D03. Observed
and computed values.
clearly seen. It can also be noted that and the temper-
atures reached maximum values just above 100 C at
the end of the second heating stages. There are some
differences between the temperatures at the two points
reflecting the thermal anisotropy of the Opalinus clay.
About 200 days after switching off the heaters, the
initial temperature is practically recovered and the
experiment was terminated. The analysis reproduces
well the observed variation of temperature throughout
the test, although, naturally, an axisymmetric model
can not account for any anisotropic effects.
Figures 9 to 14 present the evolution of tempera-
tures and pore pressures for three points (D03, D14,
41
Copyright 2006 Taylor & Francis Group plc, London, UK
Figure 10. Evolution of pore pressures at point D03.
Observed and computed values.
Figure 11. Evolution of temperatures at point D14.
Observed and computed values.
Figure 12. Evolution of pore pressures at point D14.
Observed and computed values.
D17), the locations of which are also shown in Figure 7.
Again, the two stages of heating and the cooling phase
are clearly visible. Points D03 and D14 are located at
different distances from the heater but they reach a sim-
ilar temperature, about 50 C (Figures 9 and 11). This
again reflects the effect of thermal anisotropy. How-
ever, the reproduction of temperatures is globally quite
satisfactory. Temperatures are of course lower at point
D17, located further away from the heater (Figure 13).
 Figure 13. Evolution of temperatures at point D17.
Observed and computed values.

Figure 15. Temperature contours at the end of the second

stage of heating. Maximum temperature adjacent to the heater
is 109 C.

Figure 14. Evolution of pore pressures at point D17.

Observed and computed values.

Observations of pore pressures demonstrate quite

clearly the connection between temperature variation
and pore pressure response. An increase of tempera-
ture leads to an immediate increase of pore pressure.
However, the relationship between the two variables is
not straightforward. To illustrate this, the time at which
the maximum of pore pressure is reached has been
indicated in both the temperature and pore pressure Figure 16. Pore pressure contours at the end of the second
plots. It can be clearly noted that the pore pressure peak stage of heating.
corresponds to a first increase of temperature. How-
ever, as time passes and temperature keeps increasing, pore pressure maximum has moved significantly away
pore pressures in fact reduce because of hydraulic due to the dissipation phenomena mentioned earlier.
dissipation. Naturally, the degree and rate of dissipa-
tion depend strongly on rock permeability. The pore
pressure response of point D17 (Figure 14), further
away from the heater, is much less sharp, indeed it is 6.3 Mechanical variables
even more gradual than analysis predicts. Deformations have been measured along borehole
A global perspective of the distribution of temper- BHE-D5. This observation borehole has been drilled
atures and pore pressures can be obtained using the perpendicular to the main borehole and it crosses
results of the analysis to plot the contours presented the area between the two heaters. Deformations have
in Figures 15 and 16. They represent the values at the been measured between a series of observation points
end of the second stage of heating just before the start along the borehole (Figure 17). Figures 18 and 19 show
of the cooling stage. It is interesting to note that maxi- the deformations measured in the sections 23 and
mum temperatures occur on the heater surface but the 1213 together with the analysis results. It can be noted

42

Copyright 2006 Taylor & Francis Group plc, London, UK

 Figure 17. Location of the various measuring sections in
borehole BHE-D5. Coordinate (0,0) corresponds to the bore-
hole axis. The line indicated by so represents the bedding
orientation.

Figure 20. Radial displacement contours at the end of the

second stage of heating.

Figure 18. Evolution of deformation in section 23 in

borehole BHE-D5. Observed and computed values.

Figure 21. Damage parameter (L) contours at the end of the

Figure 19. Evolution of deformation in section 1213 in
borehole BHE-D5. Observed and computed values.
that in the first stage of heating the computed results
show a reasonable agreement with observations. How-
ever, this agreement breaks down from the start of the
second stage of heating. Although the pattern of the
evolution of deformations is quite similar, the observed
magnitudes are much larger than the computed ones.
second stage of heating.
The reason for the difference is not apparent and is
being investigated; in particular the effect of the pres-
ence of steel and plastic tubing installed inside the
borehole.
Figure 20 shows the overall distribution of com-
puted radial displacements at the end of the second
stage of heating, just before the heaters were switched

43

Copyright 2006 Taylor & Francis Group plc, London, UK


Figure 22. Damage parameter (L) contours at the end of the
cooling phase.
off. Displacements are the combined effect of heat-
induced expansion and the movements caused by the
pore pressure dissipation.
It is also interesting to check what is the extent of the
EDZ predicted by the analysis. To that end contours of
the damage parameter L have been plotted. Figure 21
shows the contours at the end of the second stage of
heating, when the effects of temperature increase are
expected to be a maximum. It can be observed that
the predicted EDZ is very restricted, affecting basi-
cally only the first row of elements adjacent to the
heater. Figure 22 indicates that damage has increased
at the end of the test after cooling. Although the size of
the EDZ has not changed noticeably, the intensity of
damage has become somewhat larger. Of course, the
limited extent of the EDZ is very much related to the
small diameter of the cavity considered in this case.
7 CONCLUSIONS
The development of a coupled formulation and an
appropriate constitutive law provides a useful the-
oretical tool to examine rationally the response of
argillaceous rocks to a variety of thermal, hydraulic
and mechanical phenomena that interact with each
other in a complex manner.
The approach has been applied to the analysis and
interpretation of an intensively instrumented in situ
heating test carried out on Opalinus clay in the Mont
44
Copyright 2006 Taylor & Francis Group plc, London, UK
Terri underground laboratory. It can be stated that
that the model developed reproduces adequately the
main phenomena observed in the experiment. Quan-
titative comparisons are largely satisfactory with the
exception of deformations measured during the second
heating stage. As a result of the study, a consistent set
of parameters for Opalinus clay have been validated
and can be used for the prediction of future works and
experiments.
A detailed examination of the results allows the
classification of the couplings between phenomena a
hierarchical manner. The most important one is the
thermo-hydraulic coupling, i.e. the generation of pore
pressures by temperature. The pore pressures gener-
ated in this way dissipate subsequently giving rise to
deformations and displacements by hydro-mechanical
coupling. Naturally, displacements are also affected
by the thermal expansion associated with temperature
changes. In contrast, hydro-mechanical phenomena
have little effect on thermal observations as no rock
desaturation takes place and the thermal conductivity
is largely unchanged throughout the experiment.
ACKNOWLEDGEMENT
The Authors gratefully acknowledge the technical and
financial contribution of ANDRA to this research.
REFERENCES
Carol., I., Rizzi, E. & Willam, K. 2002. On the formulation
of anisotropic elastic degradation. I. Theory based on a
pseudo-logarithmic damage tensor rate. Int. J. Solids and
Struct., 38: 491518
Cordebois, J.P. & Sidoroff, F. 1982. Endommagement
anisotrope en lasticit et plasticit. J. de Mcanique
Thorique et Applique, Numro Spcial: 4560
Gens, A. & Olivella, S. 2000. Non isothermal multiphase
flow in deformable porous media. Coupled formulation
and application to nuclear waste disposal. In D.W. Smith
& J.P. Carter (eds.), Developments on Theoretical Geome-
chanics The John Booker Memorial Symposium, Sidney,
Rotterdam: Balkema: 619640
Hoek, E. & Brown, E.T. 1980. Empirical strength criterion
for rock masses. Journal of the Geotechnical Engineering
Division, ASCE, 106: 10131035
Laloui, L. & Cekeravac, C. 2003. Thermo-plasticity of clays:
an isotropic yield mechanism. Computers and Geotech-
nics, 30: 649660
Olivella, S., Gens, A., Carrera, J. & Alonso, E. E. 1995.
Numerical formulation for a simulator (CODE_BRIGHT)
for the coupled analysis of saline media. Engineering
Computations, 13: 87112
Schnier, H. 2005. LT experiment: Strength tests on cylindrical
specimens, documentation and evaluation, (Phases 6 and
7), Mont Terri Project: Technical Note, TN 2002-50
 EUROCK 2006 Multiphysics Coupling and Long Term Behaviour in Rock Mechanics
Van Cotthem, Charlier, Thimus & Tshibangu (eds)
2006 Taylor & Francis Group, London, ISBN 0 415 41001 0

Coupled processes involved in post-mining

M. Ghoreychi
INERIS (Institut National de lEnvironnement Industriel et des Risques), Verneuil-en-Halatte, France

ABSTRACT: Long term evolution of abandoned underground mines in terms of stability and environmental
impacts depends on hydro-mechanical and geochemical processes involved in the interactions between rocks,
water and air. These coupled effects are discussed on the basis of the results of field investigations, in situ and
laboratory experiments as well as modeling. In particular the closing-induced mine flooding effects on ground
movement, overburden collapse and ambient air composition are analyzed. It comes out from this analysis
that mine flooding can result in ground uplift. This phenomenon is explained by poro-elastic behavior of the
overburden. Moreover re-distribution of effective stresses can induce some convergence of cavities walls and
reduction of mechanical properties of rocks. Besides, flooding may lead to a change in the composition of air
present in mining reservoirs. Connected to surface through fractures and other pathways, air poor in oxygen
and eventually containing undesirable gases (methane, radon) can be harmful for the persons staying in the
insufficiently ventilated buildings. These results allow to conclude that appropriate comprehension of hydro-
mechanical and geo-chemical coupled mechanisms involved in mine closing and post-mining is essential for
prevention and management of hazards.

1 INTRODUCTION basin (Aubou in 1996, Moutiers in 1997, Moyeuvre-

During a few centuries, many industrial countries have
largely extracted their underground mining resources.
This was the case in France. In Lorraine iron ore basin,
almost one milliard tons of iron ore was extracted.
More than 40 000 km of galleries were excavated and
several hundreds millions m3 of underground void
were left out.
In the Nord et Pas-de-Calais coalfield, between
1750 and 1990, about 600 shafts were excavated.
Almost 100 000 km of galleries were excavated for the
extraction of 2400 millions tons of coal resulting in
200 millions m3 of residual void.
These numbers permit to measure the importance
of mining activity and the potential impact of min-
ing activity in terms of surface collapse, subsidence,
changes in flow and pollution of surface or groundwa-
ter, gas emissions connected to the surface, landscape
modification, etc.
Once the mining resources exhausted or due to
the reduction of the extractive industry profit, mining
activity ceased. The mines were closed up and aban-
doned without paying enough attention to the resulting
security, environmental, economic, and social impacts.
Subsequently, nowadays many regions and towns
are exposed to the so-called post-mining hazards.
A few significant cases of extended collapse or sur-
face subsidence causing serious damage to buildings
and structures were encountered in Lorraine iron ore
Grande in 1998, Roncourt in 1999). They show up del-
icate problems associated with post-mining. Beyond
the risks for inhabitants, buildings, water resources,
etc., a decreasing acceptance of the population can be
noticed clearly. This situation is natural: mining indus-
try is no longer an income source for the town and the
inhabitants while the need for a sustainable develop-
ment of the concerned regions is increasing every day.
Taking account of the growing sensitivity of the
concerned population to the security and the environ-
mental issues, French administration felt essential to
take special regulatory measures related to mine clos-
ing and post-mining. In this regard the mining law was
modified in March 1999 giving to the public author-
ities new responsibilities in terms of prevention and
management of post-mining risks. In parallel, mining
companies were requested to fulfill some obligations
with respect to mine closing.
In spite of the fact that the nature and the extent of
post-mining impact may change in each case and many
factors (hydro-geological context, mining method,
mine characteristics, extracted ore, etc.) may play a
significant role, the basic impacts can be the following:
Overburden instability (extended collapse, sink-
hole, surface subsidence) causing damage to people,
houses and structures.
Pollution and/or flow change of water resources
(groundwater, surface water).

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Copyright 2006 Taylor & Francis Group plc, London, UK

 Change in air composition in confined structures
(houses, buildings, etc.) subjected to gas emissions
coming from underground mines (oxygen-deficient
air, rich in CO2 and likely in CH4 , H2 S, radon, etc.)
Risks associated with the facilities connected to the
surface (shafts, galleries and adits).
Impact of mine surface installations and buildings.
Tailings, breakwaters (dikes) and industrial mining
residuals.
In the following, a review of some hydro-
mechanical and geochemical processes involved in
post-mining is presented, on the basis of the results
of field investigations, in situ experiments, laboratory
tests and modeling. The paper focuses on the effects
associated with flooding of closed mines that is to say
while water pumps are switched off. We will see in
which way the coupled phenomena associated with
mine flooding can play a role on the post mining
impacts mentioned above.
2 HYDRO-MECHANICAL EFFECTS
ASSOCIATED WITH MINE FLOODING
In deep active mines, groundwater is usually pumped
out prior to the mining works. Subsequently water table
is kept below the infrastructure level and the overly-
ing rocks may become unsaturated. In principle, the
saturation degree depends on hydro-geological and
mine ventilation conditions. In particular, the relative
humidity of the ventilated air has a significant effect
on the saturation of the excavations near-by.
The situation is different for the closed mines:
groundwater is no longer pumped out. The water table
rises gradually leading to a re-saturation of the strata.
The transient flooding of the voids and the overbur-
den is accompanied by coupled hydro-mechanical and
geochemical phenomena influencing the mechanical
behavior of both underground facilities and the sur-
face. The flooding-induced stress re-distribution can
result in the deformation/displacement of the exca-
vations and the surface. These effects are discussed
below referring to in situ and laboratory data as well
as modeling results.
as soon as the rock mass is flooded. Its value is then
increased gradually (Pw > 0) as a function of water
rising. The maximum pressure (Pmax ) is given by the
static level of water table at the end of flooding (Hw ).
This pressure build-up is accompanied by a decrease
of mean effective stress (m
) in absolute value lead-
ing to the expansion (volume increase) of the flooded
strata. This phenomenon can provoke a ground uplift
(surface heave), during the transient flooding period.
2.1.1 Poro-elastic effect
Such a phenomenon can be explained easily in the
framework of poro-elasticity (Coussy, 1995):
=
bP 1 and
= H:e (Elastic constitutive law)
div( ) + Fvol = 0 (Equilibrium equation): z = gz
and
: respectively total stress tensor and effective
stress tensor
e : elastic strain tensor
b: Biot coefficient (0 < b < 1)
1: unit tensor
div: divergence operator
: specific mass of the overburden depending on sat-
uration
g: gravity acceleration
Fvol : body force density given by gravity
z: depth of a given level
Note: sign convention is < 0 in compression, < 0
in compression and P > 0.
These equations can be simplified as follows con-
sidering the mean values of total stress (m ) and
effective stress (m
), which are two scalars:
Ko : Undrained compressibility modulus
Ko = Eo/[3(1 2o )] in isotropic medium
Eo and o : respectively undrained Youngs modulus
and Poissons ratio
In terms of variation, we have:
m and m
: mean values of variations in total and
2.1 Flooding-induced ground uplift effective stress respectively
P: Change in water pressure, in average
As it was mentioned previously, mine flooding is V/Vo: flooding-induced volume change
a transient stage during which, in most cases, the
strata state changes from partially saturated to fully-
saturated. At the beginning, the rocks may be subjected
to a suction related to the capillary pressure (Pc ) which
is given by the difference between air pressure (Pa ) and
water pressure (Pw ): (Pc = Pa Pw ).
The partially saturated rock can be assimilated to a
medium with a negative water pressure (Pc is <0 and
Pa is negligible) while water pressure jumps to zero
Variation of total stress () is deduced from the equi-
librium equation. In the view of simplicity, let the stress
tensor be isotropic, then:

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Copyright 2006 Taylor & Francis Group plc, London, UK

 s , sat , w : specific mass of solid, saturated rock and
water, respectively. Flooding
n = overburen porosity

Assuming that water pressure changes linearly in the

overburden, the average value Pm = w g Hw /2.
Besides, volume change can be taken as:

Then we have:
a- Vertical displacement at the surface monitored by interferometer technique.

Finally, the ground uplift (H) can be expressed as

follows:

The following remarks can be made from this

relationship:
1. Considering in first approximation that flooding b- Water rise monitoring.
level reaches ground level, ground uplift becomes
proportional to H2 that is to say strongly depth- Figure 1 (a and b). Results of surface displacement moni-
dependent: H = w gH2 (n + 0.5)(1 2o )/Eo
2. Ground uplift is inversely proportional to the over-
burden stiffness.
3. For a rough estimation of order of magni-
tude of ground uplift, let us consider H = Hw =
500 m, Eo = 3000 MPa, o = 0.25, n = 0.25, w g =
toring co-related with water rise induced by mine flooding in
Blanzy coalmine (France), (Carnec et al, 2001).
fresh water but with saturated brine unless in case of
an accidental flooding (very frequent in salt mines).
0.01 MPa/m. Then H = 0.3 m. This value suggests
that the order of magnitude of flooding-induced
ground uplift is a few decimeters. In practice, a
part of overburden expansion tends to close (con-
vergence) underground voids. As a result the rela-
tionship given above may lead to an over-estimation
of the ground uplift.
2.1.2 Field data
In general, the overall ground movement including
both flooding and mining works effects is a downward
displacement. In other words, mining-induced subsi-
dence is the dominate effect compared to flooding-
induced heave (Daupley & Vinkler, 2000). This fact
is visible in figure 1 showing ground movement
measured over Blanzy coalmine (France) using inter-
ferometer monitoring technique (Carnec et al, 2001).
The effect of mine flooding on subsidence has
also been observed in other mines. In some cases,
a decrease in the subsidence rate has been noticed
without any ground uplift. For example, this was the
case in Jeferson Island salt mine, in USA (Kupfer
1976, Thomes & Gehle 1994, Brouard, 2002). Atten-
tion has to be focused on the specificities of evaporite
mines especially due to the solubility in water of these
rocks. Indeed halite (Na Cl) mines are not flooded with
47
Copyright 2006 Taylor & Francis Group plc, London, UK
Nevertheless, even saturated brine has results in the
modification of mechanical properties of rock salt
(creep and strength). These effects have to be con-
sidered in the view of mine closing and post-mining
(Ghoreychi & Daupley, 2004).
Other cases of mine flooding effect reported in the
literature for the mines excluding evaporate mines
highlight that surface uplift takes place after stabi-
lization of the residual subsidence induced by mining
works.
An interesting example is the case of Limburg
coalfield in the Netherlands (Bekendam & Pttgens,
1995). As shown in figure 2, in this case, the flooding-
induced ground uplift is well co-related with the
mining-induced subsidence. Meanwhile, the surface
heave does not exceed 12 cm while the mining-induced
subsidence reaches 7 m. In addition, ground movement
takes place in an extended area, nearly 10 km long.
Therefore the curvatures and the horizontal strains
induced by flooding remain negligible in comparison
with the threshold values that can result in the struc-
tures damage. This can be the case unless flooding
provokes a collapse of the underground facilities. Such
a situation may occur in case the mechanical strength
of the rocks is decreased considerably due to the rock
immersion in water. This point is discussed further.
 Figure 2. Flooding-induced surface heave and mining-
induced subsidence measured in Limburg coalfield, the
Netherlands (Nekendam & Pttgens, 1995).

2.2 Flooding effects on the underground facilities

These effects are discussed thanks to the results of
a pilot flooding experiment performed in France, in
the framework of GISOS, a scientific group dedi-
cated to the research on post-mining (group founded
by INERIS, BRGM, INPL and Paris Mining School).
The purpose of this pilot test was to investigate,
in the context of Lorraine iron ore basin, the impacts Figure 3. Lorraine iron ore basin, in the East of France.
of mine flooding on the stability of the excavations,
water quality and gas emission. This research was
motivated by the necessity of a good comprehension of
mechanisms involved in the overburden collapse and
subsidence occurred in the past in this basin, probably
in relation with mine flooding.
It may be useful to remind that Lorraine iron ore
basin is one of biggest mining basins in France, 120 km
long (from Luxembourg border to the North of Nancy)
and 30 km large (figure 3). The depth of mine workings
does not exceed 250 m. The mining began in the end of
19th century and lasted until 1980. The central basin
and the southern one have already been flooded but
the flooding of the northern basin has just begun in
November 2005. It will last several years.
A monitoring system composed of geotechnical,
geophysical and geochemical sensors is currently
under operation in this basin in order to follow contin-
uously hydro-mechanical behavior and water quality
during flooding. The pilot experiment was performed
prior to the decision taken on flooding of the Northern
basin flooding.
The experiment was conducted in Tressange mine
(Moselle Departement), extracted by room and pillar
method. In order to be sure of the site stability dur- Figure 4. Geological formations at Tressange site (Lorraine
ing the experiment, an area with large stable pillars iron ore basin, France).
was selected. It is located 220 m below the surface.
Three iron ore layers called yellow, grey and brown rooms was isolated by setting up tight dams, 3 m high
were mined out in this area. Two successive layers are (figure 5).
separated with an intercalary marl and limestone, 7 m The volume of this isolated space subjected to flood-
thick (figure 4). ing is about 3700 m3 . Flooding began in March 2002
The experiment was performed in the brown layer, and water level reached the roof three months later
the deepest one. A part of the mine, 60 m 60 m, because of high leakage within the fractured inter-
surrounding two rectangular pillars and connecting calary marl. The flow rate of leakage reached 9 l/s. The

48

Copyright 2006 Taylor & Francis Group plc, London, UK


Figure 5. Views of Tressange experimental site (Lorraine
iron ore basin, France).
residence time of water was between 5 and 10 days.
The evacuation of water from the site began in August
2003.
The site was equipped with different sensors mon-
itoring geophysical, mechanical, hydraulic, thermal
and geochemical behavior and properties of rocks
prior, during and after flooding as well as after water
evacuation from the site.
The basic results of Tressange pilot experiment are
presented below.
2.2.1 Rock desiccation prior to flooding
As mentioned in section 2, due to water pumping and
mine ventilation, water pressure is negative prior to
flooding.
Considering that the relative humidity of the venti-
lated air was 70% to 90%, the related capillary pressure
can be estimated between 13.9 and 47 MPa (the higher
value corresponds to the lower humidity).
Besides, the saturation degree of the rock mass can
be estimated on the basis of the retention curve (sat-
uration versus suction or relative humidity), obtained
by laboratory tests (Figure 6 after Grgic et al, 2006).
One can notice that Lorraine iron ore samples become
unsaturated easily as soon as the air is not fully sat-
urated any more. For example, a relative humidity of
90% corresponds at most to 40% of saturation, that is
to say the material is almost dried!
The fact that the rock subjected to mine ventilation
could be found in a more or less dry condition, has
49
Copyright 2006 Taylor & Francis Group plc, London, UK
Figure 6. Retention curve of Lorraine iron ore determined
in laboratory (Grgic et al, 2006).
Figure 7. Distribution of saturation degree around the exca-
vations, given by numerical modeling (Souley & Thoraval,
2004).
also been confirmed by numerical modeling (Souley &
Thoraval, 2004, Grgic, 2006). In the model, the rock
has been assimilated to a partially saturated porous
medium subject to hydro-mechanical coupled effects
(Lassabatre, 1994, Coussy & Lassabatre, 1995).
The retention curve (figure 6) was fitted using Van
Genuchten model.
The values of porosity and permeability of Lorraine
iron ore are respectively 2030% and 1019 1018 m2 .
Figure 7 presents the distribution of calculated satu-
ration induced by the excavations (for more detail, see
Souley & Thoraval, 2004, Grgic, 2006). One can notice
the significant decrease of saturation on the excavation
wall where as the extent of the partially saturated zone.
2.2.2 Flooding effects on the material properties
The distribution of P waves velocity monitored in a pil-
lar using seismic tomography is presented in figure 8.
The velocity is systematically low at the peripheral
of the pillar. This is due to the so-called Excavation
Damaged Zone induced by blasting. This result can
be interpreted in terms of efficient pillar width taking
part in the overall equilibrium of the mine. In fact, the
mobilized width of the pillar supporting the overbur-
den pressure is smaller than the apparent width. This
 Figure 8. Increase in P waves velocity induced by flooding
measured by seismic tomography of a pillar (Balland et al,
2002, GISOS, 2005).
Figure 9. Evolution of P waves velocity induced by
flooding-drying monitored by seismic diagraphy within the
intercalary marl (Balland & Mazire in GISOS, 2005).
suggests that the effective extraction ratio is greater
than the apparent value.
Further more, an increase in velocity values has
been detected systematically after flooding took place.
This result is explained by the increase of P wave veloc-
ity as a function of saturation. The same trend has
been found in laboratory by testing the rock samples.
It has also been confirmed in situ within the inter-
calary marl layer in the roof (figure 9). These results
have been obtained by seismic diagraphy carried out
in the intercalary layer. One can see that P wave veloc-
ity increases first as a function of saturation before
decreasing during water evacuation phase.
2.2.3 Flooding-induced displacement of the
excavation
As it was mentioned previously, in case the rock is
partially saturated, flooding results in a jump of water
pressure from negative values to zero before increasing
gradually due to water rising.
This phenomenon is accompanied by a jump of wall
closure of the galleries, as it is shown in figure 10.
50
Copyright 2006 Taylor & Francis Group plc, London, UK
Figure 10. Closure measurement during flooding and water
evacuation inTressange pilot experiment (Souley &Thoraval,
2004).
Figure 11. Flooding-induced closure jump modeled in par-
tially saturated porous medium (Souley & Thoraval, 2004).
Such a phenomenon can be explained in the frame-
work of poro-mechanics of partially saturated media
(Lassabatre, 1994, Coussy & Lassabatre, 1995), as
it has been found by modeling Tressange test (Souley
& Thoraval, 2004). Nevertheless, the closure jump
(figure 11) associated with the drainage of the site
at the end of the experiment cannot be reproduced by
numerical model unless the discontinuous behavior of
the fractured intercalary layer is modeled.
2.2.4 Flooding-induced micro-cracking
During Tressange experiment, seismic emissions due
to micro-cracks generated by flooding and final water
evacuation have been investigated using geophones (in
the rock) and hydrophones (in water). The results are
presented in figure 12. One can see that both flooding
and water evacuation generate mico-cracks detected
by microseismic monitoring. This phenomenon is
explained by the two following factors:
1. Reduction of uniaxial compression strength of the
iron ore as a function of humidity and water content,
as it is shown in figure 13 (Grgic et al, 2006).

Figure 12. Micro-cracks induced by flooding and drainage
of Tressange pilot site, monitored by geophones and
hydrophones.
Figure 13. Reduction of uniaxial compression strength as
a function of relative humidity for Lorraine iron ore (Grgic
et al, 2006).
2. High sensitivity of fractured intercalary marl to
saturation (provoking swelling) and desiccation
(leading to shrinkage).
3 GAS EMISSION AND MIGRATION TO THE
SURFACE
Catastrophic mining accidents (i.e. recently in China)
generated by explosion, especially in coalmines, high-
light the danger of mine gases like methane (CH4 ).
However the hazards related to the other gas emissions
are much less known and less considered. An example
is the air poor in oxygen that can be present in the non
ventilated underground cavities. Another example is
the radon concentration in such cavities.
Ambient air usually contains 20.9% of oxygen and
0.03% of carbon dioxide. These proportions may vary
in the underground cavities because of various factors,
especially in presence of geochemical interactions and
bacteriological activities. Two common processes are
51
Copyright 2006 Taylor & Francis Group plc, London, UK
a. Decrease of O2 and increase of CO2 induced by flooding.
b. Water rise induced by flooding versus time.
Figure 14 (a and b). Change in air composition associated
with hydro-chemical reaction induced by flooding: results of
Tressange pilot experiment (Pokryszka et al, 2004).
oxidation and solution-precipitation that can lead to
a reduction in oxygen content whereas CO2 content is
increased.
For example, flooding of abandoned mines can be
accompanied by oxidation of pyrite (FeS2 ) and disso-
lution of calcium carbonate (CaCO3 ) according to the
following chemical reaction:
This reaction corresponds to a coupled hydro-chemical
process in which the interactions between rock
(CaCO3 ), air (O2 ) and water are involved. In other
words, such a reaction cannot take place unless oxy-
gen (air), water, calcite and pyrite are all four present
in the medium.
This oxygen-consuming hydro-chemical reaction
accompanied by generation of CO2 has been investi-
gated by Pokryszka et al (2004) from INERIS in the
framework of Tressange pilot flooding test presented
above. The results given in figure 14 show that the
chemical reaction is activated as soon as the flooding
begins.
The consequence of such a phenomenon for the
exposed persons health depends on the values of O2
and CO2 . For instance, 34% of CO2 associated with
1416% of O2 provokes headache while less than 6%
of oxygen and more than 10% of CO2 result in death.
 This is why the access to the abandoned mines can be
harmful due to the lack of ventilation.
The risks associated with harmful gas emissions are
not limited only to the case of access to the under-
ground space, the inhabitants of buildings over the
mines can also be threatened. In fact in closed mines,
the air being poor in oxygen and sometimes contain-
ing an excessive concentration of radon, it may be
connected to buildings and structures at the surface.
Even if the entrances of galleries and shafts have been
closed up, their tightness to gas emissions is not per- a- Surface temperature in C.
fect. Moreover pathways may exist. This may be the
case of fractures induced by mining works.
A short review of a real case may be useful: this case
is that of Moyeuvre-Grande, a small town in Lorraine
Department, East of France, in the Lorraine iron ore
basin. Following the problems revealed by the inhabi-
tants confronted with a bad functioning of their heating
installation in the building basement, INERIS was
requested to investigate the case, to highlight its origin
and to propose a solution (Pokryszka et al, 2004). The
situation can be understood thanks to the investiga-
tion results plotted in figure 15. Its comes out that the b- Airflow rate (in l/s): negative values correspond to inflow.

surface temperature is subject to a seasonal change

whereas the temperature inside the mine is more or
less constant. In winter, mine temperature is higher
than surface temperature. Then the airflow is oriented
towards the surface and the mine gases present in the
mine air are conducted to the surface. The situation
is reversed in summer since the surface temperature
is higher than that of mine reservoirs. This situation
leads to an air transfer from outside to the mine.
One can notice that the measured values of tem-
perature, air flow rate and radon concentration are
c- Radon concentration (in Bq/m3).
well co-related. Moreover in warm periods, radon con-
centration in the underground air connected to the
surface is very high, up to 10 000 Bq/m3 . Such values
being much higher than the reference admissible value
of 400 Bq/m3 , a special attention has to be focused
on this problem. Indeed special measures have to be
taken to reduce considerably radon concentration in
the air. Although an efficient ventilation of the exposed
buildings becomes essential.
We remind that except for some mines (i.e. ura-
nium mines), radon emission is not generated by mine d- Mechanism of temperature-induced free convection of air and gas transfer
to the surface.
and mining. In fact any insufficiently ventilated under-
ground space can be affected by a radon concentration Figure 15 (a, b, c and d). Measurements and mechanism
since this gas can migrate easily. Under the pressure related to gas emissions induced by the temperature dif-
head effect, any present gas can migrate from the rocks ference between mine reservoir and surface The case of
naturally containing (more or less) radioactive ele- Moyeuvre-Grande old iron mine, East of France (Grabowski
ments to the underground spaces or towards any other et al, 2003, Pokryzska et al, 2004).
free surface. This is why radon is always present at
surface, indeed at low concentration. In fact radon cor-
responds to the principal way of natural exposure of the air (222 Rn is generated by radium 226 Rd which
man to radioactivity. is produced itself by uranium 238 U). Its half-life, 3.8
Among the three isotope of this radioactive gas days, is long enough to let radon migrate and reach the
(219 Rn, 220 Rn, 222 Rn), 222 Rn is the most present in surface.

52

Copyright 2006 Taylor & Francis Group plc, London, UK

 4 CONCLUSION
Long term impact of closing of underground mines
in terms of security of people and structures and pro-
tection of environment has to be evaluated and man-
aged carefully. In this view the interactions between
water, air and rocks have to be well understood and
considered. The transient period of mine flooding
can be accompanied with an activation of coupled
hydro-mechanical and geo-chemical processes. They
may have a significant effect on the quality of water
resources and air and upon the long-term stability
of the overburden. The change in the pore pres-
sure induced by water rising may result in different
effects: ground uplift, cavities closure and weaken-
ing of mechanical properties of rocks. Moreover, the
underground air, poor in oxygen but rich in carbon
dioxide, radon and sometimes explosive gases can be
in connection with the buildings through the existing
pathways and fractures.
All these hazards have to be investigated, under-
stood and managed, in the view of efficient prevention
and mitigation of risks for the people, possessions and
ecosystems.
REFERENCES
Balland, C., Forney, F., Petitt, W. 2002. Technique
dinstrumentation ultrasonique applique la carac-
trisation de lendommagement douvrages souterrains,
Journes AGAP Qualit, Nantes, 78 novembre 2002,
LCPC
Bekendam, R.F. & Pttgens, J.J. 1995 Ground movements
over the coal mines of southern Limburg, The Netherlands
and their relation to rising mine waters, Land Subsidence,
Proc. of the fifth International Symposium on Land
Subsidence, The Hague, Oct; 1995 (IAHS Publisher),
234:312
Brouard, B. 2002 Etude bibliographique sur les accidents dans
les bassins salifres rsultant dune dissolution volontaire
ou non, Brouard Consulting report, 14 mars 2002
Carnec, C., King, C., Raucoules, D., Guise, Y., Paquette, Y.
2001. Suivi de mouvements rsiduels sur sites miniers
53
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par interfromtrie radar : perspectives et applications,
Environnement (Socit Industrie Minrale) N 14 : 2123
Coussy, O. 1995. Mechanics of porous continua, 2nd ed.
(Wiley)
Coussy, O., Lassabatre, T., 1995. Mechanical behaviour
of partially saturated media-modelisation of desiccation
shrinkage. Mechanics of porous media (Chrlez), Balkema,
Rotterdam, 245264
Ghoreychi, M. & Daupley X. 2004. Devenir long terme
dexploitations abandonees de sel, Revue Franaise de
Gotechnique, N 106107: 121129
Grabowski, D. & Pokryszka, Z. 2003. Noxious gas emis-
sions from the closed iron mines to the built-up areas in
the surface. Proc. Of the 10th International Congress of
the ISRM Technology Roadmap for Rock Mechanics,
Sandton city, South Africa, 812 september 2003, vol. 1:
409413
Grgic, D., Homand, F. & Giraud, A. 2006. Modeling of the
drying and flooding of underground iron mines in Lor-
raine (France), International Journal of Rock Mechanics
and Mining Sciences, 43: 388407
Daupley, X. & Vinkler, F. 2000. Impact de la remonte des
eaux au sein des travaux miniers souterrains sur la stabilit
de la surface, Report INERIS-DRS-21681/R05, August 8,
2000
Kupfer, D.H. 1976. Shear zones inside Gulf Coast salt
stocks help to delineate spines of movement. American
Association of Petroleum Geology, Bull. 60: 14341447
Pokryszka, Z. & Grabowski, D. 2004. Emissions gazeuses
partir des vides miniers dans le basin ferrifre lorrain,
Revue Franaise de Gotechnique, N 106108: 3139
Lassabatre, T., 1994. Couplages hydromcaniques en milieu
poreux non satur avec changement de phase: applica-
tion au retrait de dessiccation. PhD thesis, Paris, Ecole
Nationale des Ponts et Chausses
Souley, M. & Thoraval, A. 2004. Modlisation hydrom-
canique de lennoyage partiel dun site exprimental dans
une mine de fer de Lorraine, Journes Natioales de
Gotechnique et de Gologie de lIngnieur (JNGG), Lille
2830 juin, 493502
Synthses des travaux de recherche aprs-mine fer 2004,
(GISOS), Fvrier 2005
Thoms, R.L. & Gehle, R.M. 1994. The Jeferson Island
mine flooding revisited In Proc. Solution Lining Research
Institute Spring Meeting, Huston
 1 Multiphysics coupling
1.1 Theoretical concepts

Copyright 2006 Taylor & Francis Group plc, London, UK

 EUROCK 2006 Multiphysics Coupling and Long Term Behaviour in Rock Mechanics
Van Cotthem, Charlier, Thimus & Tshibangu (eds)
2006 Taylor & Francis Group, London, ISBN 0 415 41001 0

Similarity solutions for a shallow hydraulic fracture

Emmanuel Detournay
University of Minnesota, USA

Andrew P. Bunger
CSIRO Petroleum, Australia

ABSTRACT: This paper deals with the plane strain problem of a shallow fluid-driven fracture propagating
parallel to a free-surface in an impermeable elastic rock. This problem has applications into magma-driven
fractures such as sills, conditioning of ore masses by hydraulic fracturing to enhance caveability, and excavation
of hard rocks by hydraulic means. We present two similarity solutions for cases when the fracture length is
large compared to its depth: (i) the O solution with only a small fraction of the fracture occupied by the injected
fluid, and (ii) the K solution with the fracture completely filled by the fluid. It is shown that the O solution captures
an intermediate episode of the fracture propagation under conditions of small toughness and confining stress
and that the K solution corresponds to the large time asymptotic evolution of the fracture.

1 INTRODUCTION and Hozlhausen 1979; Murdoch 1993;Wang et al.

Modeling of fluid-driven fractures has been an ongo-
ing effort over the past 50 years, starting with the pio-
neering work of Khristianovic and Zheltov (1955).
This activity has been mainly motivated by hydraulic
fracturing, a method widely applied in the petroleum
industry to stimulate oil and gas wells. Hence, the main
thrust of the modeling effort has been directed towards
solving the problem of a deep hydraulic fracture
in an infinite elastic medium, either homogeneous
(Perkins and Kern 1961; Barenblatt 1962; Geertsma
and de Klerk 1969; Spence and Sharp 1985) or non-
homogeneous (Wang and Clifton 1990; Siebrits and
Peirce 2002).
However, hydraulic fracturing has recently been
applied to contaminant spill remediation (Murdoch
2002), excavation of hard rocks (Young 1999), and
cave inducement in mining (Jeffrey and Mills 2000),
which involve growth of a fracture near a free sur-
face. Furthermore, hydraulic fracturing is an important
mechanism in a number of near-surface geological
processes (Pollard and Hozlhausen 1979), such as the
formation of saucer-shaped sills. For these cases, the
hydraulic fracturing problem must then be formulated
in a half space to account for the effect of the free sur-
face. Few models incorporate, however, the influence
of a free surface on the propagation of a fluid-driven
fracture, and with some exceptions (Zhang et al. 2005;
Bunger 2005) these models are restricted to the lim-
iting case of a uniformly pressurized fracture (Pollard
1994; Bunger and Detournay 2005).
The presence of a free surface affects in several ways
the propagation of a fluid-driven fracture. First, the
reduced normal stress across the near-surface fracture
plane generally implies the existence of a fluid lag.
Fluid lag is the non-wetted zone that exists between
the tip and the fluid front in a hydraulic fracture and
its size depends in a sensitive manner on the normal
stress o acting across the fracture plane (Garagash and
Detournay 2000). Second, a fracture initially parallel
to the free surface will eventually curve towards the
free surface as the mode II stress intensity factor KII is
non-zero, with the curvature
of the fracture controlled
by the parameter =  H /KIc (Zhang et al. 2002;
Bunger et al. 2004).
In this paper, we consider the plane strain propa-
gation of a fracture growing at a distance H from the
free surface in an impermeable elastic rock charac-
terized by Youngs modulus E, Poissons ratio , and
fracture toughness KIc , see Fig. 1.The fracture is driven
by an incompressible Newtonian fluid of viscosity ,
injected at a constant rate Qo . This problem is further
characterized by o , the preexisting normal stress act-
ing across the fracture plane. Finally, it is assumed that
is large enough to not influence the solution, other
than to cause the fracture to propagate parallel to the
free surface. The confining stress o , which generally
arises from gravity, could be either compressive or ten-
sile, depending on the orientation of the half-plane.
Here we restrict consideration to compressive or zero

57

Copyright 2006 Taylor & Francis Group plc, London, UK


Figure 1. Shallow hydraulic fracture propagating parallel to
a free-surface.
initial stress (o 0), i.e. for cases where the fracture
is below the horizontal free surface (Fig. 1).
The solution of the hydraulic fracturing problem
consists of the fracture aperture w(x, t), the net pres-
sure p(x, t) = pf (x, t) o (where pf (x, t) is the fluid
pressure), the fracture half-length (t), and the half-
length f (t) of the fluid-filled region. The functions
w(r, t), p(r, t), (t), f (t) depend on the injection rate
Qo , on the confining stress o , and on three material
parameters E
, K
, and

where E and are the rock Youngs modulus and Pois-
sons ratio respectively, KIc is the rock toughness, and
is dynamic viscosity of the Newtonian fluid.
This paper focuses on presenting scaling laws and
two similarity solutions for a fracture propagating
under conditions when the ratio of the fracture half-
length  over the depth H is large. (The fracture is
assumed to propagate symmetrically with respect to
the injection point, and  is thus the length of a fracture
wing). A large /H ratio implies that the opening of
the fracture can be analyzed using beam theory. The
similarity solutions, which will be shown to evolve
according to a power law, correspond to two particu-
lar episodes of the propagation of a hydraulic fracture
parallel to a free-surface.
First we summarize previous results showing that
the evolution of such a fracture takes place relative to
three different time scales and that the general solu-
tion can be represented in prismatic parametric space
denoted as OMKOMK (Bunger and Detournay 2006).
Then we derive two similarity solutions, which can be
identified with the O and K vertex of that space. The
O solution is characterized by a large lag between the
fluid front and the crack tip and by a fluid fraction
f = /f (with f denoting the half-length of the fluid-
filled region) increasing according to a power law,
while the K solution pertains to fracture completely
filled by the injected fluid (zero lag).
58
Copyright 2006 Taylor & Francis Group plc, London, UK
2 REGIMES OF PROPAGATION
2.1 Scaling and similarity solutions
As discussed below within the restricted context of a
shallow fracture, the solution w(x, t), p(x, t), (t) and
f (t) is governed by a set of equations derived from
elasticity, fracture mechanics, and lubrication theory,
and the relevant initial and boundary conditions. For
the following discussion, it is useful to introduce a
scaling factor W for the aperture and a scaling factor
P for the net pressure
as well as the time scale T
together with a dimensionless toughness K and a
dimensionless confining stress S (Zhang et al. 2005)
It can be shown that the system of equations accepts
several similarity solutions of the form (Spence and
Sharp 1985; Garagash 2006; Detournay 2004)
where the functions denoted by an asterisk and the time
exponents depend on the similarity solution. These
similarity solutions can be classified either as early
time, large time, or intermediate asymptotic solutions.
2.2 Deep fractures
Consider first the restricted case of a deep fracture
(/H  1). It can be shown that the deep fracture solu-
tion evolves from an early time similarity solution
(Garagash 2006) characterized by the time exponents
 = 1/3, a = 1/3, a = 2/3, a = 2/3 and a finite
lag, to a large time similarity solution with same time
exponents but with zero lag (Spence and Sharp 1985;
Detournay 2004). Large time is here to be understood
within the context of the deep fracture case only; i.e.
the time is large with respect to the time scale that char-
acterizes the progressive disappearance of the lag, but
is still small compared with T , a measure of the tran-
sition time from a deep to a shallow fracture. Thus, in
 the context of the general problem, this second sim-
ilarity solution is actually an intermediate similarity
solution, which can be reached under the condition
S 1 (Zhang et al. 2005).
At early time, the position of the crack edge and of
the fluid front evolves according to
with the functions ok (K) and ok (K) known either
in a tabulated form, or in closed-form asymptotically
for small K (Garagash 2006). (The significance of the
subscript ok will be clarified below.) Within the con-
text of a deep fracture, the fluid fraction f = f /
increases with time from an early time value given
by f ok = ok /ok to 1.
2.3 Parametric space
It is useful to track the evolution of the fracture in
the prismatic parametric space OMKOMK, depicted
in Fig. 2 (Detournay and Garagash 2006; Bunger
and Detournay 2006). For the moment, we consider
the face OMK which pertains to a deep fracture
(/H  1). A line parallel to the OM-edge within the
face OMK represents solutions characterized by a con-
stant K, with the OM-edge corresponding to K = 0
and the K-vertex to K = . The OK- and the MK-
edge represent, respectively, locus of small time and
intermediate time similarity solutions. For a given K
the solution evolves, therefore, from a point A on the
OK-edge to a point A
on the MK-edge along the line
AA
, with an associated growth of the relative size of
the fluid-filled region from a minimum value along
OK to 1 along MK.
The OK- and MK-edges represent also the loci of
solutions for o = 0 and o = , respectively. Hence,
the solution remains self-similar (same point on the
OK-edge) if o = 0 as long as /H  1, which implies,
for example, that both the length of the fracture and
the size of the fluid-filled region grows according to
t 2/3 . Similarly, for o = , the solution is always on
a point of the MK-edge, where it evolves in a self-
similar manner. Strictly speaking, the case o =
should be understood as the limit of large o , with the
evolution from the OK- to the MK-edge taking place
increasingly rapidly with o .
It is straightforward to analyze the influence of the
free-surface, using this parametric space. Indeed, con-
sider now the face OMK, which represents the space
of the solution for the limiting case /H 1, when the
layer between the fracture and the free-surface behaves
as a beam (with the fracture aperture equated to the
transverse deflection of the beam). Now, only the solu-
tions at the three vertices are self-similar as discussed
below, with each similarity solution symbolizing a
different physical situation. The O-vertex solution
59
Copyright 2006 Taylor & Francis Group plc, London, UK
Figure 2. Parametric space OMKOMK with the OMK-face
corresponding to a deep fracture (/H  1) and the OMK to
a shallow one (/H O(1)).
is characterized by a very small fluid-filled region
f  1, which is growing according to f 5/8 ; i.e.
the fluid front is moving faster than the fracture front.
Also the power law exponents in (5) are given by  =
4/9, a = 7/9, a = 2/9, a = 5/36. The M-vertex
solution is either the large time solution if K
= 0
or another intermediate solution under certain condi-
tions. At the M-vertex, there is a zero lag (f = 1) and
the time exponents take the following values  = 5/9,
a = 11/9, a = 4/9, a = 1/3. Finally the K-vertex
is the large time solution if K
> 0 and is character-
ized by zero lag, a uniform pressure and by  = 2/3,
a = 2/3, a = 1/3, a = 1/3.
The prismatic space is the general domain of solu-
tion, with the solution point departing the face OMK
when the effect of the free-surface becomes notice-
able and heading towards the face OMK. The three
other faces of the prism also correspond to restricted
cases. The solution space is reduced to the face OOKK
if o = 0, to the face MMKK if o = , and to the
face OOMM if K
= 0. (In particular, the solutions
on the face OOMM can be interpreted as reopen-
ing of a preexisting discontinuity parallel to the free
surface.)
3 SHALLOW FRACTURES
3.1 Governing equations and boundary conditions
We now turn towards a formulation of the problem,
specific for shallow hydraulic fractures. In view of the
problem symmetry, we consider only one half of the
fracture 0 < x < .
Elasticity equation:
 This equation is not appropriate for scaling purposes
when the fracture fluid-filled fraction f / is small
(which entails a large p/E
). Under these conditions,
we rewrite (7) after taking into account the boundary
condition in the lag region as
where (x) denotes the Dirac Delta function, and
F(t) is a net force equal to
Lubrication equation:
Inlet condition:
Condition in the lag zone:
Condition at the fluid front:
where the dot implies differentiation with respect
to time.
Tip conditions and propagation criterion:
See Dyskin et al. (2000) for a justification of this
criterion.
In the above, we have introduced the parameters E

and K
for the shallow case, which are related to their
full space equivalents E
and K
, respectively, by
with KM1 = 1.932.
3.2 Scaling
Following the scaling approach developed for deep
fractures (Detournay 2004), we introduce the dimen-
sionless crack opening , net pressure , flux , as
60
Copyright 2006 Taylor & Francis Group plc, London, UK
well as the fracture half-length and the half-length
f of the fluid-filled region as
With these definitions, we have introduced the scaled
coordinate = x/(t) (0 1), a characteristic open-
ing W (t), a characteristic pressure P(t), and two length
scales L(t) and Lf (t) of the same order of magnitude
as (t) and f (t), respectively. Also two dimensionless
evolution parameters P1 (t) and P2 (t), which depend
monotonically on t, have been introduced.
It is in fact necessary to define the alternate coordi-
nate
= x/f (the position along the fracture scaled by
the length f of the fluid-filled region), for situations
where the size of the fluid-filled region is small com-
pared to the crack length. We also define the dimen-
sionless parameter = Lf /L as a measure of the
relative size of the fluid-filled region over the crack
length. The two coordinates and
are evidently
related by
= /f . Note that the true fluid frac-
tion f = f / and that f asymptotically only
at small and large time (since and f depend in
general on P1 and P2 ).We denote by a prime the
field quantities expressed in terms of
. In other
words, F
(
) = {, f , 
(
), 
(
)} and F
(
) =
F(
f /).
Five dimensionless groups emerge from express-
ing the system of equations (7)(15) in terms of the
dimensionless quantities defined in (17). For solutions
characterized by a large lag (  1) the four unknown
quantities P, L, W , and , have to be determined by
setting four of these groups to 1, while for zero lag
scalings ( = 1), only P, L, W have to be determined
by setting three of these groups to 1.
Although various scalings can be devised by set-
ting different groups or monomial containing to some
dimensionless groups to 1, we are here essentially
motivated by physical arguments in defining the O,
M, and K scalings. See the expressions for P, L, and
for these three scalings in Table 1. Finally, the two
Table 1. Scaling factors P and L as well as for the three
scalings introduced for shallow hydraulic fractures.
Scaling P L

 19
1

K
12 H 6
E
5 H 6 Qo3 t 2 9
O K
E
4 Qo6 t 7 K
6

1

3 3 4  19

5 E
4 H 12 9 E H Qo t
M 1
Qo6 t 11



10 3  16

2 3 2 2  16
K H E H Qo t
K 1
E
4 Qo4 t 4 K
2
 evolution parameters P1 and P2 are identified with the
two remaining dimensionless groups for the M and K
scalings or the remaining group and for the O scaling.
In particular,
O scaling:
K scaling:
Rather than to view the solution as evolving in terms
of P1 and P2 (which can be interpreted as an evolution
relative to two distinct time scales), it is convenient to
express the solution in terms of the dimensionless time
= t/T and the trajectory parameter (corresponding
actually to a ratio of time scales) with
Thus the evolution parameters can be written as
3.3 Similarity solutions
It can be demonstrated that the system of equations
(7)(15) accepts three similarity solutions, which are
conceptually represented by the three vertices of the
OMK face of the space shown in Fig. 1. Each sim-
ilarity solution takes a finite value in the associated
scaling, with the corresponding evolution parameters
degenerating either to 0 or to . Within the restricted
context of a shallow fracture, the O and the K sim-
ilarity solutions represents the small and large time
asymptotics, respectively. The life path from the O-
to the K-vertex depends on : the trajectory = 0
corresponds to the path O-M-K characterized by two
separated time scales, while the trajectory = is
associated with the direct path O-K (corresponding,
for example, to o = 0.) Thus the M solution is an
intermediate asymptotics, experienced only if  1.
Consider first the solution at the O-vertex (K = 0
and So = ). The fluid fraction f is small but increas-
ing as 1/3 , as can be surmised from = K = 1/3 .
The O solution is of the form Fo0 () = {o0 , f o0 ,
o0 (), o0 ()}. The fracture aperture corresponds to
a force dipole at the origin and is given by o0 =
o0 (0)(1 3 2 + 2 3 ). This expression implies that
the fracture aperture in the fluid-filled region can sim-
ply be set to the inlet opening o0 (0) with an error
Copyright 2006 Taylor & Francis Group plc, London, UK
of order O() at most. With this simplification, the O
solution can readily be completed using the lubrication
equations and remaining boundary conditions
The solution at the K-vertex (M = 0 and Sk = )
is of the form Fk0 () = {k0 , k0 (), k0 }. As the pres-
sure in the fracture is uniform, the aperture field is here
given by k0 = k0 (0)(1 2 )2 . This equation com-
bined with the volume balance and the propagation
criterion yields the K solution
4 CONCLUDING REMARKS
The O and K similarity solutions for a shallow
hydraulic fracture outlined in this paper represent par-
ticular episodes in the life of a hydraulic fracture that
propagates at a constant depth H , which is large com-
pared to the nucleation length of the fracture. Within
this more general context, the K solution corresponds
the large time asymptotics; however, the O solu-
tion represents an intermediate time asymptotics only
under conditions of small toughness K  1 and small
stress S  1. Under these particular conditions, the
solution evolves in the parametric space OMKOMK
(Fig. 1) by first closely following the OO-edge, then
heading towards the K-vertex essentially following the
OK-edge. In this case, the solution is characterized by
the existence of three similarity regimes.
Figure 3 illustrates the results of a numerical simu-
lation conducted for K = 0.1 and S = 0, starting from
a point close to the OK-edge until the vicinity of the
O-vertex (Zhang et al. 2005). Such a path roughly
Figure 3. Evolution of fracture length and fluid fraction
f for K = 0.1 and S = 0 (Zhang et al. 2005). The numeri-
cal simulation captures the transition between the small time
similarity OK solution and a solution close to the intermedi-
ate asymptotic O solution. (The asymptotes are represented
by the dashed lines.)
61
 approximates the OO-edge. It can be seen from Fig. 3
that the numerical algorithm captures well the transi-
tion between the two asymptotic regimes, which takes
place approximately between  2 103 to 1. Fig-
ure 3 also shows the interesting result that the fluid
front recedes in relative terms during the transition
period.
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 EUROCK 2006 Multiphysics Coupling and Long Term Behaviour in Rock Mechanics
Van Cotthem, Charlier, Thimus & Tshibangu (eds)
2006 Taylor & Francis Group, London, ISBN 0 415 41001 0

Experimental and theoretical investigations of the behaviour of a

partially frozen cement paste

A. Fabbri, T. Fen-Chong, O. Coussy & A. Azouni

Institut Navier, L.M.S.G.C., 2, alle Kepler, Champs sur Marnes

ABSTRACT: An experimental device, in which a cement specimen is submitted to freezing-thawing cycles

under a thermal gradient, has been developed. This study reveals that, unlike some authors opinions, skin damage
(called scaling) can occur without a brine layer in contact with the frozen surface. In order to explain this
behaviour, a poroelastic model is built up. It is based on the coupling between liquidice crystal thermodynamic
equilibrium, Darcean water transport, thermal conduction and elastic properties of the different phases that
form the porous material. The stress on the solid matrix is calculated through the liquid water content versus
temperature experimental curve. A maximum of tensile stress near the surface submitted to frost action is
predicted for low permeable cement pastes. This could be at the origin of scaling.

1 INTRODUCTION Table 1. Signification of main symbols used in this study.

Index i refers to phase i (solid matrix (i = m), ice crystal
All the liquid water within a porous medium sub- (i = c) or liquid water (i = l)).
mitted to frost action does not freeze at the same
temperature. This is commonly attributed to water Symbols Signification
confinement, impurity or supercooling (Scherer 1993;
i Dielectric constant
Dash, Fu, and Wettlaufer 1995). As a consequence, Sl , Sc liquid (l) or ice (c) saturation
an initially water-saturated porous material remains Lagrangian porosity
filled with both ice and liquid water down to at least Sf Volumetric entropy of fusion
40 C (Jehng, Sprague, and Halperin 1996). Nowa- pi Pressure
days, the mechanical response of a porous material pcap Capillary pressure = pc pl
is generally attributed to the combination of the 9% i Mass density
volumic liquid to solid expansion, the transport of m Matrix hydrostatic stress
unfrozen liquid water through the porous network and Ci Volumetric heat capacity
i Thermal conductivity
the thermomechanical properties of all the phases.
Permeability
A poromechanics-based approach has been recently Ki , Gi Bulk and shear elastic moduli
developed to understand and quantify all these phe- b Biot coefficient = 1 K/Km
nomena both at the pore scale (Coussy and Fen-Chong i Volumetric thermal coefficient
2005) and at the material scale (Coussy 2005). The
latter includes the effect of air voids, as experimen-
tally studied in (Wang, Monteiro, Rubinsky, and Arav
1996). internal frost, scaling, and the macroscopic poroelastic
Surface scaling results in the unsticking of local properties of the structure.
pieces from the surface. The mechanisms underly-
ing this phenomenon are still imperfectly understood.
Here, the occurrence of scaling in a specimen under
an unidimensional thermal gradient and submitted to 2 EXPERIMENTAL STUDY
freezing-thawing cycles is investigated. First, an exper-
imental study is carried out in order to emphasize that, 2.1 Tested materials and related properties
unlike some authors opinions (Verberk and Klieger Cement pastes, with 0.4 water-cement mass ratio
1957; Valenza and Scherer 2005), scaling can occur (called W/C ratio), are prepared with a 5-liter mortar
without any salts nor brine layer. Then, a porome- mixer, and cast in 150 mm high cubic moulds. Ordi-
chanic model is built up to establish a link between the nary Portland Cement CEM I CPA 52.5 N CP2 and

63

Copyright 2006 Taylor & Francis Group plc, London, UK

 Table 2. Cement paste characteristics: 0 is the water poros-
ity (i.e. evaluated from the sample mass difference between
dried and saturated states), MIE is the porosity from a
mercury injection experiment and 0 the Katz-Thompson
permeability.

Param. 0 MIE 0
Unit m3 /m3 m3 /m3 1021 [m2 ]

1&2 0.28 0.17 4.3

3d & 4d 0.29 0.19 41.0

distilled water are used. One day after casting, speci-

mens are removed from their mould and stored in moist
condition (relative humidity rh = 95% 5%) during Figure 1. Comparison between experimental data and fitted
6 months. They are further cut and cored in 20 mm curves for the Sl () curves for 1 and 2 samples.
thick and 40 mm diameter slices and remained in water
before tested. Some specimens (index d) are dried in
an oven at 55 C then saturated with degassed distilled
water at 3 kPa air pressure before being tested.
For each kind of specimen (i.e. previously dried
or virgin) the permeability is estimated using a mer-
cury injection experiment through the Katz-Thompson
relation (Katz and Thompson 1987) and the relation
between the amount of water which remains liquid
(Sl ) versus temperature () is determined using the
capacitive method described bellow. Cement paste
characteristics are reported in table 2 and Sl () rela-
tions on figures 1 and 2. In all that follows, stands for
Celsius temperature and T for absolute temperature in
Kelvin (T [K] = [ C] + 273.15).

2.2 Amount of unfrozen water

The experimental curve Sl () is estimated using a home
made capacitive sensor apparatus. The full description
of the experimental set up and calibration are reported
in (Fen-Chong, Fabbri, Guilbaud, and Coussy 2004)
and (Fabbri, Fen-Chong, and Coussy 2005). In short,
this technique relies upon the dielectric properties of
liquid water, ice, air, and mineral substrate in the radio-
frequency range. The estimation of the liquid water
content versus the temperature in freezing cement
pastes is based upon the Lichtenecker multi-scale
model which furnishes a relation between the mea-
sured global dielectric constant of the medium (global ),
the liquid saturation and the dielectric constants of all
the phases:
Figure 2. Comparison between experimental data and fitted
curves for the Sl () curves for 3d and 4d predried samples.
As it is sketched on figures 1 and 2, in the [30 C,
0 C] temperature range, Sl () varies linearly, except
for two particular temperatures on cooling, around
5 C and 20 C, and one, around 5 C on heating,
where the slope changes significantly. These freezing-
thawing temperatures are related to the confinement
where the phase change take place (Brun, Lallemand,
Quinson, and Eyraud 1977). This kind of behaviour,
also observed for water retention capillary curves, is
well described by the following Van- Genuchten-like
(Van Genuchten 1980) sigmoidally functions:

The dielectric constants of the in-pore solution (l )

and solid matrix (m ) are evaluated from the compar-
ison between tests of fully saturated specimens and
dried ones. The ice dielectric constant (i ) is taken
from literature data.

64

Copyright 2006 Taylor & Francis Group plc, London, UK

 where Sl, frost () and Sl,thaw () are the liquid satura-
tion ratio on freezing and thawing, while k stands
for the number of freezing peaks, i for the tem-
perature at which each of them happens, for the
temperature at which the thawing peak happens and
nf = 1 ki=1 i for the non-freezable water content.
These coefficients can be evaluated from the analysis
of the Sl () derivative curve. Because the liquid sat-
uration ratio is a continuous function, Sl, frost (th ) and
Sl,thaw (th ) are equal and the coefficient T must be:
   1 n
with fn, () = 1 + n 1n and th the temper-
ature at which the thawing begins.
Finally coefficients i , ni and n, which are the
amplitude and the shape factor of the ith freezing sig-
moidally function and the shape factor of the thawing
curve, remain to be fitted. It must be emphasized that
and n appear to be independent of th on all tested
cement pastes (six Ordinary Portland Cement Pastes
with W/C ratio from 0.3 to 0.5). Thus, the fit of only
one thawing curve is sufficient for building up all the
thawing curves.
Figures 1 and 2 show the comparison between the
experimental data and the fitted curves using (2) dif-
ferent thawing temperatures (the green, red and black
curves respectively stand for thawing stages that begin
at 30 C, 20 C and 15 C) keeping and n
constant for each thawing curves.
2.3 Experimental set-up
The tested sample is inserted between two hollow pis-
tons each filled with a fluid from a cryostat. Their
temperature is controlled thanks to a PT100 sensor.
The one in contact with the specimen bottom side is
hold at constant temperature equal to 10 C. The other
one is subjected to 56 cycles from 0.1 C 0.1 C to
20 C 0.1 C. The temperature rate is 10 C/hour.
Freezing is stopped at 20 C and thawing at 0.1 C.
A one-hour temperature step is made at the end of
freezing and a two-hour one at the end of thawing.
The thermal insulation of the specimen lateral sur-
faces is made thanks to an expanded polystyrene
ring. In order to avoid surface desaturation during
freezing-thawing cycles, each specimen is wrapped by
a moisture resistant Parafilm sheet. The surface sub-
mitted to frost action in not in contact with a frost layer
(i.e. a water or brine layer).
Each fourteen cycles, the specimen is weighed in
order to verify that no water supply nor evaporation
have occurred during the test. Then, the Parafilm sheet
is removed and scales are sampled, dried at 50 C
during 4 days and weighted.
Copyright 2006 Taylor & Francis Group plc, London, UK
Table 3. Scaling tests experimental results. The scales
masses are in [g/m2 ].
1 2 3d 4d
14 cycles 4 27 Destroyed Destroyed
28 cycles 117 145 * *
42 cycles 152 154 * *
56 cycles 168 182 * *
2.4 Results
Table 3 shows the evolution of scales mass per unit of
surface. As we can see, no scaling occurs on previously
dried 3d and 4d cement pastes. Indeed, these two spec-
imens are totally crushed by internal cracking during
the fourteen first cycles. On the contrary, a significant
scaling occurs on 1 and 2 ones. This result clearly indi-
cates that scaling can occur without a frozen brine layer
in contact with the surface submitted to frost action.
In all cases, the external actions are the same and
the differences rely on the intrinsic characteristic of
the tested media (i.e. amount of ice formed versus tem-
perature, permeability, and thermo-mechanical prop-
erties). In order to understand how these parameters
determine the mechanical response of the sample, the
material behaviour law developed in (Coussy 2005) is
adapted and applied to our case. Then, using the same
boundary conditions as the experimental ones, results
from the model will be compared to experimental
observation.
3 POROMECHANICS OF FREEZING
MATERIALS
The specimen is modelled as an axisymetric structure
made up of an isotropic medium, of length L and lateral
surface S, ideally insulated on its bottom and lateral
surfaces. The Cartesian coordinate system (O, x, y, z)
is used, with O the center of the surface which is sub-
mitted to frost action and x following the symmetry
axis from the top to the bottom of the specimen. At
the macroscopic scale the flow of heat and liquid only
happens in the direction x and no water flux (w) hap-
pens through the x = 0 and x = L surfaces. The further
analysis will be made using the elementary volume
d = Sdx.
The specimen bottom side (x = L) is initially
at Tb = 283.15 K, while its top side (x = 0) is at
Tt = 273.25 K. The permanent state is reached before
the beginning of the test. Thus, the initial temperature
of the sample is T0 (x) = Tt + (Tb Tt )x/L. At t = 0,
the x = 0 surface is submitted to a progressive decrease
of temperature while the x = L surface is held at Tb .
In this study, no external loading is applied to
the structure. Noting  the external surface of
65
 the specimen, n the outward unit vector perpen-
dicular to this surface and the stress tensor, the
mechanical boundary condition can be expressed as
n = 0 on .
The thermodynamic equilibrium between water in
liquid form and its ice crystal requires the equality of
their specific chemical potentials. Its differentiation,
combined with liquid-crystal constitutive equations
and considering a small density difference between
liquid and crystal phases of water furnishes (Coussy
2004):
where Sf = c0 (sl0 sc0 ) and Cf = c0 (cp,l
0
cp,c
0
) are
respectively the entropy of fusion and the heat capac-
ity difference between water and ice per unit of crystal
volume while pcap = pc pl stands for the capillary
pressure.
Due to the temperature gradient along the struc-
ture, the pressure field is not uniform and a supposed
Darcean liquid flow is created. Then, neglecting the ice
flow, considering a small density difference between
liquid and crystal phases of water and under the small
deformation assumption, the overall mass conserva-
tion of water (m = ml + mc ), in both liquid and crystal
forms leads to the first order following expression:
the self-consistent differential scheme (Dormieux and
Bourgeois 2003) as = 0 (Sl )2/3 , where 0 is the con-
stant initial permeability, while the term (Sl )2/3 stands
for the relative permeability accounting for the change
in porous volume due to the solidification of liquid
water. l (T , pl ) is evaluated from a recent empirical
relation proposed by (Harris and Woolf 2004).
Following the Fouriers Law, the heat flow can be
expressed as q = (Sl ) T x
x, with (Sl ), the isotropic
thermal conductivity. (Sl ) is estimated from each
phases conductivities using the well-known (n + 1)-
phase multi-scale scheme developed in (Herv 2002).
Under these conditions, the second law of thermody-
namic applied to the porous medium for a reversible
evolution leads to:
where T 0 (Sf + Cf ln T /Tf ) Sc /T stands for the
latent heat of solidification (resp. fusion) of water,
Cpl = l0 cp,l
0
for the heat capacity of water per unit
of volume while Cm + 0 (Cpl Sc Cf ) represents the
average heat capacity of the porous medium.
Numerical application is made with l0 = 9.97
10 MN/m3, c0 = 9.17 103 MN/m3, 0l = 68.7
3

with A = 0 Sc (1/Kc 1/Kl ) + b2 /K + (b 0 )/Km +
0 /Kl . The source term of liquid pressure is divided
106 K1 and l = 24.732 106 K2 , 0c = 160
106 K1 , Kl = 1970 MPa, Kc = 4310 MPa, l =
0.56 + 0.0017(T T0 ) W/(mK), c = 2.15 0.0123
(T T0 ) W/(mK) (Lide 2001), Sf = 1.2 MPa/K, Cf =
2.14 MPa/K, Cpl = 4 MPa/K (Brun, Lallemand,
Quinson, and Eyraud 1977), Cm = 1.36 MPa/K
(?), = m = 30 106 K1 (Ulm, Acker, and Lvy
1999), K = 14100 MPa, Km = 31800 MPa, b = 0.55
into three distinct contribution. The first,  =
0 Sc (c0 /l0 1) is a positive term during cooling
which expresses the effect of expansion which hap-
pens when liquid water freeze due to the mass density
difference between liquid and solid phases of water.
T = 0 [ l + Sc (l c )](T T0 ) accounts for
the liquid pressure source due to the relative thermal
contraction between the solid matrix and the in-pore
constituent. And finally, pcap = pcap (0 Sc (1/Km
1/Kc ) bc (b/K + 1/Km )) is a negative decreasing
function of cooling (1/Km < 1/Kc ) and account for the
liquid pressure source due to flows at the microscopic
scale which drives liquid water to the already frozen
sites, in order to meet at any time the (4) liquid-crystal
equilibrium condition.
Finally, (Sl ) and l (T , pl ) are respectively the
permeability of the porous medium and the viscos-
ity of liquid water. Since no liquid flow can occur
through ice crystal, (Sl ) can be easily estimated using
Copyright 2006 Taylor & Francis Group plc, London, UK
(Ulm, Constantinides, and Heukamp 2004), m =
1.9 W/(mK) (deduced from the experimental values of
saturated and a dried cement pastes conductivity given
by (Kim, Jeon, Kim, and Yang 2003)).
Finally, the x = 0 temperature is the same as the
experimental one, thus Ts (t) = 273.15 0.002792 t
for t [0, 7200], Ts (t) = 253.15 for t [7200, 10800]
and Ts (t) = 253.15 + 0.002792 (t 10800) for
t [10800, 18000] where T is expressed in Kelvin and
t in second.
4 NUMERICAL CALCULATIONS AND
DISCUSSION
The (56) system is solved using the Newton-
Raphson method on a structure discretised accord-
ing to the finite volume method implicit scheme
(Eymard, Gallouet, and Herbin 2000). In order to
66

Figure 3. Hydrostatic stresses profiles at different times
predicted from the numerical calculation for P4-E-1&2 (left
graph) and P4-E-3d&4d (right graph) cement pastes.
evaluate the susceptibility of the porous media to
be damaged, the hydrostatic part of the stress ten-
sor m = 1/3tr(m ) will be studied. As reported in
(Chateau and Dormieux 2002), neglecting the influ-
ence of the interfacial tension between liquid water
and pore walls, m can be linked to the skeleton
stress and the equivalent pressures of liquid and crystal
by the relation (1 0 )m = + (l pl + c pc )1. Then,
m can be expressed through (4) as:
The m profiles, calculated from (7), are reported on
figure 3.
67
Copyright 2006 Taylor & Francis Group plc, London, UK
The maximum elastic tensile strength of a mature
Ordinary Portland Cement Paste with a 0.4 water-to-
cement ratio, t , is about 4 MPa (Taylor 1997). For
3d and 4d cement pastes, as sketched on figure 3, the
tensile stress predicted is much higher than t all over
the specimen which is consequently destroyed.
For 1 and 2 cement pastes, the tensile stress
predicted is around t only near x = 0. This latter,
enhanced by a poor surface quality and an increas-
ing number of freezing-thawing cycles, can explain
the observed damage on the skin surface. Actually, in
case of the low permeability of cement pastes, the liq-
uid flow expulsion is not important enough to relax the
whole local overpressure caused by thermal stresses
and the liquid-ice difference of density. Thus, this pore
overpressure, which produces a local tensile stress on
the matrix, remains localized near the x = 0 surface
where the ice formation is the most important. The
high difference in tensile strength amplitude between
the two kinds of specimen is due to the large amount of
ice formed in 3d and 4d (Sc 0.55 for T = 253.15 K)
compared with 1 and 2 (Sc 0.1 for T = 253.15 K),
while the shape difference is due to the contrast in their
initial permeability (k0 = 4.3 1021 m2 for 1 and 2
while k0 = 41.0 1021 m2 for 3d and 4d).
Indeed, in case of initial and boundary conditions
which force the top surface temperature to be lower
than the bottom one, water will first freeze near the
skin (x = 0) surface. If the amount of ice formed is
important enough and the permeability is too small
to relax pore overpressure, scaling will occur. This
latter appears to be an internal frost-like damage
enhanced by the x = 0 surface boundary condition.
Consequently, likewise the experimental observations,
the poromechanic model predicts an internal frost
damage for the pre-dried specimens and scaling for
the other ones although they are submitted to the same
external actions.
5 CONCLUSION
First, an experimental device, in which a cement spec-
imen is submitted to freezing-thawing cycles under
a thermal gradient, has been developed. This study
reveals that, unlike some authors opinions, scaling can
occur without a brine layer in contact with the frozen
surface. Then, in order to explain this behaviour, a
poroelastic model has been developed. Then, the stress
on the solid matrix has been calculated and a max-
imum of tensile stress, which can be at the origin
of frost-scaling, has been predicted near the surface
submitted to frost action. Finally, the two key param-
eters are found to be permeability and the amount of
ice formed. The former one influences the difference
between the surface and the core mechanical response
 while the latter acts rather on the global amplitude of
pore overpressure and tensile stress in the matrix.
REFERENCES
Brun, M., A. Lallemand, J. Quinson, and C. Eyraud (1977).
A new method for the simultaneous determination of
the size and the shape of pores : The thermoporometry.
Thermochimica Acta 21, 5988.
Chateau, X. and L. Dormieux (2002). Micromechanics of
saturated and unsaturated porous media. International
Journal for Numerical and Analytical Methods in Geome-
chanics 26, 831844.
Coussy, O. (2004). Poromechanics. John Wiley & Sons.
Coussy, O. (2005). Poromechanics of freezing materials.
Journal of the Mechanics and Physics of Solids 53,
16891718.
Coussy, O. and T. Fen-Chong (2005). Crystallization, pore
relaxation and micro-cryosuction in cohesive porous
materials. Comptes Rendus Mecanique 333, 507512.
Dash, J. G., H.-Y. Fu, and J. S. Wettlaufer (1995). The premelt-
ing of ice and its environmental consequences. Reports on
Progress in Physics 58, 115167.
Dormieux, L. and E. Bourgeois (2003). Introduction la
micromcanique des milieux poreux. Presses de lEcole
Nationale des Ponts et Chausses.
Eymard, R., T. Gallouet, and R. Herbin (2000). The
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P.G. Ciarlet and J.L. Lions editor.
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tric capacity, liquid water content, and pore structure
of thawing-freezing materials. Cold Region Science and
Technology 44, 5266.
Fen-Chong, T., A. Fabbri, J.-P. Guilbaud, and O. Coussy
(2004). Determination of liquid water content and dielec-
tric constant in porous media by the capacitive method.
Comptes Rendus Mecanique 332, 639645.
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Harris, K. and L. Woolf (2004). Temperature and volume
dependence of the viscosity of water and heavy water at
low temperatures. Journal of Chemical and Engineering
Data 49(4), 10641069.
Herv, E. (2002). Thermal and thermoelastic behaviour of
multiply coated inclusion-reinforced composites. Interna-
tional Journal of Solids and Structures 39, 10411058.
Jehng, J., D. Sprague, and W. Halperin (1996). Pore struc-
ture of hydrating cement paste by magnetic resonance
relaxation analysing and freezing. Magnetic Resonance
Imaging 14(7/8), 785791.
Katz, A. and A. Thompson (1987). Prediction of rock elec-
trical conductivity from mercury injection measurement.
Journal of Geophysical Research 92(B1), 599607.
Kim, K.-H., S.-E. Jeon, J.-K. Kim, and S. Yang (2003). An
experimental study on thermal conductivity of concrete.
Cement and Concrete Research 33, 363371.
Lide, D. R. (Ed.) (2001). Handbook of Chemistry and Physics
2001-2002 (82nd ed.). CRC Press.
Scherer, G. (1993). Freezing gels. Journal of Non Crystalline
Solids 155, 125.
Taylor, H. (1997). Cement Chemistry 2nd Edition.
Ulm, F.-J., P. Acker, and M. Lvy (1999, march). The chun-
nel fire. ii: Analysis of concrete damage. Journal of
Engineering Mechanics, 283289.
Ulm, F.-J., G. Constantinides, and F. Heukamp (2004). Is
concrete a poromechanics material? a multiscale investi-
gation of poroelastic properties. Material and structures/
Concrete Science Engineering 37, 4358.
Valenza, J. and G. Scherer (2005). Mechanisms of salt scaling.
Materials and Structures 38, 479488.
Van Genuchten, M. (1980). A closed form equation for pre-
dicting the hydraulic conductivity of unsaturated soils.
Soil Science Society of America Journal 44(5), 892898.
Verberk, G. and P. Klieger (1957). Studies of salt scaling of
concrete. Highway research board bulletin no 100.
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Microscopic study of ice propagation in concrete. ACI
Materials Journal, 370377.
 EUROCK 2006 Multiphysics Coupling and Long Term Behaviour in Rock Mechanics
Van Cotthem, Charlier, Thimus & Tshibangu (eds)
2006 Taylor & Francis Group, London, ISBN 0 415 41001 0

Sorptive storage of CO2 on coal dust and flotation waste from coal
processing in abandoned coal mines

T. Kempka, M. Waschbsch, T. Fernndez-Steeger & R. Azzam

Chair of Engineering Geology and Hydrogeology, RWTH Aachen University, Aachen, Germany

ABSTRACT: The processing of mined hard coal and lignite subsequently leads to a high amount of mining
waste. Laboratory sorption experiments on this material revealed high CO2 adsorption capacities. The sorptive
storage of CO2 on mining waste offers an approach for CO2 sequestration with the favourable secondary effects
of mining waste disposal and reduction of mining damage. Different storage scenarios and disposal techniques
depending on the regional mining techniques are studied.

1 INTRODUCTION abandoned mine cavities with stabilising material and

The reduction of anthropogenic CO2 emissions is
of major importance with respect to sustainability
towards the world climate concerning the green-
house effect. Several ideas of CO2 sequestration
using submontane techniques have been suggested
and discussed. The different strategies will be finally
evaluated by their cost, technical feasibility and reli-
ability towards the permanent fixation of CO2 in the
geological formations.
The CO2 Trap project is funded by the German
Federal Ministry of Education and Research (BMBF,
under grant 03G0614A) and part of the German
research program Geotechnologien (Investigation, use
and protection of the underground). At the present time
two technologies are taken into account to research
the mineral and physical trapping of CO2 and its
geological storage (Khn et al. 2005).
The described project is part of technology II which
intends to examine the physical trapping of CO2 on
residual coal and coal waste material. It focuses on
sorption of CO2 on waste coal dust and flotation sludge
from coal processing plants and the productive future
use of abandoned coal mines as storage spots.
A large amount of waste material like flotation
sludge is being produced during the coal processing
of mined hard coal and lignite. The CO2 sorption rates
of this fine coal material are quite high. In compar-
ison to compact coal it appears to result from the
significant concentration of organic carbon, the high
specific surface and the high porosity of the coal dust
and sludge material. This technology offers an eco-
nomic way for disposal of waste material from coal
processing, discontinuation of mine waste storage in
aboveground heaps, reduction of subsidence by filling
also additional sorption capabilities for CO2 .
The project is subdivided into work packages which
cover the sample acquisition and characterisation, CO2
sorption experiments on mining products and min-
ing waste, development of underground storage tech-
niques for CO2 and mining waste as well as estimation
of storage potentials for CO2 .
2 SAMPLE AQUISITION
Flotation waste and flotation headings samples were
taken in July 2005 at the coal processing plant Pros-
per in Bottrop/Germany run by Deutsche Steinkohle
AG (DSK). The raw fine coal sample from the coal
processing plant Prosper in Bottrop and coal dust sam-
ples from coal mine Bergwerk West/Germany were
obtained by DSK at the end of July 2005. Further-
more, the DSK Anthrazit Ibbenbren GmbH provided
samples of flotation waste, flotation headings and raw
fine coal. Finally lignite dust samples were taken at
the strip mining Hambach/Germany, retrieved by the
RWE Power AG.
All mentioned samples represent products and
waste material from coal processing facilities of the
German mining industry.
It is planned to increase the number of flotation
waste samples to increase the reliability of assessment
concerning available coal processing remainders of
the German coal industry. Furthermore, samples of
aboveground disposed flotation waste material will be
taken to examine the sorption capabilities of long term
stored material. A further emphasis of sample acqui-
sition will concentrate on lignite waste material from
strip mining.

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Copyright 2006 Taylor & Francis Group plc, London, UK

 3 SAMPLE CHARACTERISATION Table 1. Geotechnical parameters of flotation waste sam-
ples taken at Prosper/Bottrop and Ibbenbren.
A detailed sample characterisation is essential for the
interpretation of sorption experiments with CO2 as Flotation waste Flotation waste
well as the conceptual design of underground storage. Parameter Unit Prosper/Bottrop Ibbenbren
Therefore a mineralogical, geotechnical and petro-
Soil type U, t*, fs U, ms, fs, t
graphical analysis of the received samples has been
conducted within the scope of this project. Grain size T% 40 8
distribution U% 47 57
Based on the results of geotechnical, petrographi-
S% 13 35
cal and mineralogical examination activities a standard
method for sample characterisation will be evaluated Particle density g/cm3 2.23 2.36
to accelerate the examination process and to admit Ignition loss % 27.0 20.9
quick allocation of samples in preparation of sorption TOC % 18.43 9.55
experiments and numerical simulations. Moisture % 23.0 29.4
content
Flow limit % 32.34 27.08
3.1 Geotechnical properties Plastic limit % 22.62 19.11
Plasticity index % 9.72 7.97
All geotechnical properties of the received sam- Consistency 0.96 0.32
ple material were examined in repeat determination index
according to DIN (2003a & 2003b). The grain size State Stiff Liquid
distribution was determined for both materials and is Friction angle 26.24
displayed in table 1. Figure 1 shows the curves of Cohesion kN/m2 15.85
respectively two samples of Prosper and Ibbenbren
flotation waste.
Based on the grain size distribution the soil type
may be termed as heavy clayish silt for the Prosper
sample and middle sandy silt for the Ibbenbren sam-
ple. The particle density of both samples was measured
by the use of a capillary pyknometer and additionally
with the volumetric method in the sorption appara-
tus with identical results as shown in table 1. Ignition
loss and total organic carbon content of the Ibbenbren
sample are slightly lower than of the Prosper sample.
According to the analysis the condition limits of the
characterised samples differ notably in their moisture
content due to differences in the drying procedure of Figure 1. Granulometric curves of flotation waste samples
both processing plants. The flotation waste of Ibben- taken in Prosper/Bottrop and Ibbenbren.
bren is dried in sedimentation tanks in contrast to
the dehumidification in chamber filter presses of the characteristics, design of a quick test to verify state
Prosper material. Therefore, the Prosper sample may conditions of the examined soil samples using the
be classified as stiff and the Ibbenbren sample as vane apparatus and analysis of proctor compactness
liquid. to investigate the moisture contentdensity correlation
In preparation of storage and logistic concepts as of the sample material.
well as numerical simulations of transport, interme-
diate bearing and final underground storage of the
named materials the shear parameters of the Prosper 3.2 Petrographical properties
flotation waste were examined. The petrographical properties of the sample mate-
In the upcoming phase of the project adaptation rial were determined in order to correlate specific
the following geotechnical studies in respect of trans- parameters to the sorption properties of the material.
port, short-term storage and long-term disposal of the As shown in table 2 the parameters of the flotation
materials will be conducted: water absorption abil- material as well as the raw fine coal from Ibbenbren
ity to examine the moisture expansion ability of clay and Prosper differ up to 15% in regard to volatile mat-
minerals in the flotation waste material, compressibil- ter, TOC (total organic carbon) and also TIC (total
ity and permeability experiments to study the time inorganic carbon).These parameters are mainly depen-
subsidence behaviour of the named sample materials, dent on the constitution of the mined coal seams
increase number of shear stress tests on all flota- and also on the method of coal processing used at
tion waste samples to determine the stability evidence the processing plant. The coal dust materials from

70

Copyright 2006 Taylor & Francis Group plc, London, UK

 Table 2. Petrographical parameters of the taken samples (TC = total carbon; TOC = total
organic carbon; TIC = total inorganic carbon; waste = flotation waste; headings = flotation
headings; rf coal = raw fine coal).

Ash Volatile Moisture

content matter content TC TOC TIC
Sample (%) (%) (%) (%) (%) (%)

Waste1 79.77 7.54 0.18 14.43 9.55 4.88

Waste2 72.93 14.27 0.91 19.26 18.43 0.83
Headings1 38.48 6.27 0.17 71.53 55.53 15.99
Headings2 14.18 26.36 0.37 70.21 69.16 1.06
Rf coal1 51.68 6.61 2.76 52.64 32.90 19.73
Rf coal2 38.25 22.93 2.16 50.71 48.60 2.11
Coal dust3 25.28 23.37 4.90 58.67 57.35 1.32
Coal dust4 21.31 14.73 5.39 69.36 65.15 4.21
Fly ash5 95.96 1.48 0.15 1.98 1.63 0.35
Fly ash6 77.09 25.87 3.48 16.36 16.19 0.17

1
sampled at Ibbenbren.
2
sampled at Prosper/Bottrop.
3
medium volatile coal dust from coal mine Bergwerk West.
4
low volatile coal dust from coal mine Bergwerk West.
5
as incineration product of lignite coal mixture.
6
as incineration product of Hambach coal.

Bergwerk West show the estimated high TOC matter

of bituminous coals.
The Hambach fly ash sample is also of further
interest for this project due to its relatively high TOC
content and waste properties as product of the lignite
combustion at the power plants.
In addition to further examinations of TC (total car-
bon), TOC and TIC as well as volatile matter for future
samples the study of maceral composition and vitrinte
reflectance are scheduled for the taken samples.

Figure 2. CO2 Excess sorption on flotation waste from

3.3 Mineralogical properties
First results of x-ray fluorescence analyses of all
named samples indicate a mineral composition mainly
consisting of quartz, muscovite, kaolinite, illite,
ankerite, clinochlore, hematite, calcite and dolomite.
An upcoming analysis by the x-ray diffraction method
will indicate the total allotment of these minerals in
the sample materials.
Prosper/Bottrop (TOC = 18.43%) with varying water content
at 45 C.
and therewith calculation of achievable CO2 storage
potentials by the use of this technology.
The CO2 adsorption isotherms have been deter-
mined by experiments in a single-gas adsorption appa-
ratus as described by Busch et al. (2004 & 2005) at a
temperature of 45 C and pressures up to 200 bar.

4 ADSORPTION OF CO2 ON MINING WASTE

AND MINING PRODUCTS
One of the main objectives of this project is the
determination of adsorption behaviour of different
mining products and waste materials in regard to
their mineral composition, specific surface, poros-
ity and granulometric properties. This knowledge
is crucial for an estimation of adsorption capacity
4.1 Mining waste
Figure 2 shows CO2 excess adsorption isotherms for
flotation waste from Prosper/Bottrop with varying
water content. The main isotherm characteristics are
identical. Beyond 85 bar hitherto not known volumet-
ric effects (e.g. coal swelling and density variations of
the adsorbed phase) lead to a decrease of the excess
sorption graph. CO2 adsorption capability does not

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Copyright 2006 Taylor & Francis Group plc, London, UK

 Table 3. CO2 sorption capacity of flotation waste from
Ibbenbren (dried at 60 C) in regard to certain pressure
fields.
Excess sorption Sorption capacity
Pressure field (mmol/g) (kg/t)
Low 0.100.35 8.815.4
(5 to 40 bar)
Medium 0.350.40 15.417.6
(40 to 70 bar)
High 0.400.48 17.621.12
(70 to 100 bar)
Figure 3. CO2 Excess sorption on coal dust (Bergwerk
West), lignite coal dust (Hambach) and raw fine coal (Pros-
per/Bottrop) at 45 C.
decrease below the adsorption peak of 85 bar at these
higher pressures.
Higher CO2 adsorption rates correlate with lower
water content in the low pressure range between 0 and
40 bar. Water content becomes a negligible factor
for adsorption capacity above the low pressure range.
The maximum of CO2 excess adsorption capacity on
the flotation waste sample dried at 60 C is around
0.45 mmol/g at 85 bar. The CO2 adsorption capacities
of flotation waste from Ibbenbren are slightly higher
with a maximum of 0.48 mmol/g at 85 bar.
The whole pressure range may be subdivided into
three pressure fields (low, medium and high) as shown
in table 3 to illustrate the sorption capacities at various
ranges.
4.2 Coal processing products
Coal processing products offer significantly higher
CO2 adsorption capacities in comparison to coal pro-
cessing waste showing maxima above 1.0 mmol/g for
hard and lignite coal dust (figure 3).
This is based on the high TOC content of these mate-
rials. The maximum of the raw fine coal adsorption
isotherm is slightly lower with about 0.6 mmol/g
72
Copyright 2006 Taylor & Francis Group plc, London, UK
(85 bar). This effect is supposed to depend on particle
size and porosity of the flotation waste materials.
5 UNDERGROUND STORAGE CONCEPTS
FOR CO2 AND FLOTATION WASTE
The underground storage reliability of CO2 on flota-
tion waste mainly depends on durability of pressure
and temperature as well as other parameters which will
be discussed later. The temperature in a depth between
500 and 1000 m is nearly constant contingent on the
depth-factor of 3 C per 100 m. Therefore, the crucial
point is the pressure stability until the flooding of the
abandoned mine which is supposed to be the storage
spot.
After mine abandonment the cost-intensive water
drainage is shut down and the mine becomes flooded.
The flooding process lasts about 3 to 5 years. Accord-
ing to this a water level rise of 50 m which corresponds
to a hydrostatic pressure of around 5 bar would be
reached within 3 to 6 months. This time span equals
the necessary duration of maintaining constant pres-
sure conditions in the storage section to avoid CO2
desorption from the material before completion of the
flooding phase. Three approaches of mining waste and
CO2 injection order will be discussed.
5.1 Concurrent CO2 and mining waste injection
This injection technique is based on physiochemical
linkage of CO2 to flotation sludge material with
following disposal in terms of stowing material
replacement during longwall mining. Basically, the
techniques of pneumatic and hydraulic stowing as
described by Jger et al. (1990) may be used in com-
bination with longwall mining.
Assuming the ability of CO2 to adsorb to moist
material under certain conditions and regarding oper-
ational safety during the mining process the hydraulic
stowing method will be considered for this technology.
The mining proceeds with the aid of a coal cutting
machine with trailed shields that sustain the mining
cavity. The overburden layers collapse and subside
behind the shield in accordance to its progressive
movement through to the overlying bedrock pressure.
The suspension will be injected via drag pipes with a
pressure up to 200 bar into the cavities of the mined
area.
A drift corollary barrage is created at the borders
of the mining area to act as first safety barrier for
the injected stowing material. The sorption process
takes place in an aboveground sorption reactor at low
pressures around 5 bar. Afterwards, the CO2 -charged
material is stored at low pressure due to equilibration
at atmospheric pressure conditions behind the shield.
 5.2 Pre-flooding CO2 injection Table 4. Estimation of storage potential by use of concurrent
mining waste and CO2 injection.
Pre-flooding CO2 injection is based on charge of min-
ing drifts with flotation waste by the use of a dry Parameter Allotment Reference
stowing solution, like e.g. pneumatic stowing, at a
medium pressure around 30 bar. Longwall mined coal 60 Mt (DSK,
Multiple parallel drainage pipes are installed at var- material pers. comm.)
ious heights in the drift before the charging process to (Germany 2004)
ensure sufficient gas transmissibility of the stowing Density of mined 1.65 g/cm3 estimated
material throughout its entire thickness. After stow- coal seams
ing process completion the drift is sealed by a barrage Equivalent mined 36.4 Mm3 /a calculated
volume
including a gas injection pipe that should be sealed as
Volume usable for 30% (DMT,
well. The barrage construction needs to be pressure hydraulic stowing pers. comm.)
consistent up to 50 bar until the hydrostatic pressure during longwall
reaches the estimated level of about 30 bar during the mining
flooding phase of the mine. CO2 adsorption 20.8 kg/m3 measured
The installation and preparation of the injection capacity flotation
infrastructure begins following to mine abandonment waste Ibbenbren
before water management is shut down and the flood- (at 5 bar)
ing process begins with the already discussed ascent. Particle Density 2.38 g/cm3 measured
The CO2 injection process into the sealed drifts should flotation waste
Ibbenbren
be finished before the flooding phase sets in to ensure Estimated total 226,260 t/a calculated
a high pore space accessibility of the flotation waste CO2 storage potential
material. After CO2 injection the pipe has to be sealed
at height of the barrage. This may be realised by the
use of a pump capable plug as closing-off the injec-
tion. The pipe infrastructure remains in the abandoned
mine. The final storage pressure level reaches up to A total storage potential of around 230,000 t/a is avail-
100 bar. able by use of concurrent CO2 and mining waste
injection during longwall mining operation (table 4).
The material appearance dependent sorption poten-
tial capacity based on the German mining waste pro-
5.3 Post-flooding CO2 injection duction since 1980 amounts to around 50 Mt CO2 . A
This scenario demands the installation of trans- general review of the accessibility of this aboveground
port infrastructure and barrage systems to applicable disposed material is required.
deposits in abandoned mines before cessation of water
management. CO2 is fixated to mining waste in a
sorption reactor aboveground under high pressure con-
ditions around 85 bar which is consistent with the 7 SUMMARY AND DISCUSSION
determined excess sorption peak for all materials. The
injection of the originated CO2 mining waste suspen- Waste material from coal processing plants offers high
sion begins when a hydrostatic pressure equal to the CO2 adsorption capabilities. A synergetic effect is
fixation pressure is reached at the aimed applicable reachable by underground storage of CO2 adsorbed
deposit as a result of the flooding process. to flotation waste by simultaneous reduction of CO2
emissions, reduction of mining subsidence through
hydraulic stowing techniques and subsurface disposal
of mining waste.
6 ESTIMATION OF STORAGE CAPACITIES The sorption capacity mainly depends on TOC
content, porosity, grain size, coal rank and vitrinite
An exemplaric estimation of the storage capacity has reflection (Prinz 2004). An assessment of sorption
been made for use of the concurrent CO2 injection sce- capacity based on geotechnical, petrographical and
nario (table 4) based on mining specific information mineralogical properties of the materials is one of
retrieved by DSK and Deutsche Montan Technologie the study objectives. Therefore, a wide range of sam-
GmbH (DMT) and the results from the experiments ple analyses is conducted and correlated with the
described above. measured excess sorption isotherms.
The total CO2 storage potential primarily depends Adsorption rates around 0.5 mmol/g are achievable
on the adsorption capacity of the flotation waste mat- at an experimental stage. The development of a new
erial and the volume usable for hydraulic stowing. sorption reactor is scheduled in order to examine the

73

Copyright 2006 Taylor & Francis Group plc, London, UK

 equilibration properties of CO2 -charged material in
mine water.
Different techniques for CO2 and mining waste stor-
age are discussed at this moment. The final storage
technique may be adapted to the regional established
mining techniques e.g. longwall or pillar mining to
ensure maximal use of storage capacities.
Assuming the measured adsorption rates, storage
potential in combination with longwall mining has
been estimated to around 260,000 t CO2 /a. Accord-
ing to the availability of aboveground disposed mining
waste since 1980 a CO2 storage potential of about 50
Mt is theoretically available in Germany by the use of
mining waste as CO2 storage medium.
A further important aspect of this study is the deter-
mination of export potentials of the mentioned tech-
nologies. Based on the amount of mined coal North
America offers 30 and Asia even 50 times as much
CO2 storage potential in comparison to Germany.
REFERENCES
Busch, A., Gensterblum, Y., Krooss, B.M., Littke, R. 2004.
Methane and carbon dioxide adsorption/diffusion Exper-
iments on coal: An upscaling- and modeling approach.
International Journal of Coal Geology 60, 151168.
74
Copyright 2006 Taylor & Francis Group plc, London, UK
Busch, A., Gensterblum Y., Krooss B.M., Siemons N.
2005. Investigation of high-pressure selective adsorp-
tion/desorption behaviour of CO2 and CH4 on coals: An
experimental study. International Journal of Coal Geology
(in press).
DIN Taschenbuch Nr. 36 2003a. Beuth (ed). Erd- und
Grundbau.
DIN Taschenbuch Nr. 113 2003b. Beuth (ed). Erkundung und
Untersuchung des Baugrunds.
Khn, M., Asmus, S., Azzam, R., Back, M., Busch, A.,
Class, H., Clauser, C., Dengel, A., Dose, T., Ewers, J.,
Helmig, R., Jger, K., Kempka, T., Kroo, B.M., Littke, R.,
Peiffer, S., Schlter, R., Stanjek, H., Strobel, J.,
Vosbeck, K.,Waschbsch, M. 2005. CO2 Trap - develop-
ment and evaluation of innovative strategies for mineral
and physical trapping of CO2 in geological formations
and of long-term cap rock integrity. In: Stroink, L. (ed).
GEOTECHNOLOGIEN Science Report: Investigation,
utilisation and protection of the underground, 144 p.
Jger, B., Obermann, P., Wilke, F.L. 1990. Studie zur
Eignung von Steinkohlebergwerken im rechtsrheinis-
chen Ruhrkohlenbezirk zur Untertageverbringung von
Abfall- und Reststoffen. 4 Text - 1 appendix volume,
unpubl. feasibility study on behalf of North Rhine -
Westphalia State Environment Agency (LUA NRW),
Dsseldorf.
Prinz, D. 2004. Die Porenstruktur von Kohlen, Ph.D. - thesis
2004, RWTH Aachen University, Faculty of Georesources
and Materials Engineering.
 EUROCK 2006 Multiphysics Coupling and Long Term Behaviour in Rock Mechanics
Van Cotthem, Charlier, Thimus & Tshibangu (eds)
2006 Taylor & Francis Group, London, ISBN 0 415 41001 0

Analysis of wellbore stability in under-balanced drilling

S.A.I. Khan & D.H.S. Zou

Dalhousie University, Halifax, Nova Scotia, Canada

ABSTRACT: Underbalanced drilling (UBD) is one of the fastest growing drilling techniques in the petroleum
industry for the past two decades. Since the bottomhole pressure is always kept below the formation pore pressure
in UBD, there is an increased risk of wellbore instability, which must be addressed at both planning and drilling
phases. The operating bottomhole pressure is limited by the lower limit (the collapse pressure) and the upper
limit (the pore pressure) in UBD. It is important to estimate the collapse pressure with sufficient accuracy and to
operate the drilling pressure within the allowable range. In this paper, several computational models are used to
analyze the collapse pressure at various depths in a case study incorporating the field stress around the wellbore
wall into a Mohr-Coulomb failure criterion. They include linear elastic models with isotropic stress field and
poroelastic models with permeable and impermeable borehole wall.

1 INTRODUCTION values allow the evaluation of the stability. Dur-

The application of underbalanced drilling techniques
has been increasing due to its advantages in specific
situations. In underbalanced drilling the bottomhole
pressure is maintained between two pressure limits,
which determine the underbalanced drilling pressure
window. The formation pore pressure gives the upper
limit while the wellbore stability pressure or collapse
pressure gives the lower limit (McLennan et al. 1997).
Maintaining a stable borehole is the uppermost in
drilling, whether a well is being drilled with overbal-
anced or underbalanced drilling techniques. Wellbore
instability can lead to higher than necessary drilling
cost. The stability of wellbore during drilling is gen-
erally maintained by the mud weight or bottomhole
circulating pressure, which exert radial compression
on the wellbore wall. Generally wellbore instability
during drilling can be caused by two sets of factors:
1. The mechanical factors; the stresses around the
wellbore walls, pressure acting on wellbore wall and
rock mechanical properties.
2. The physico-chemical factors; the rock chemical
properties, the interaction between the drilling fluid
and the shale exposed on the wellbore wall.
Quantitative analysis of wellbore stability is based on
mechanical aspects. It requires the information of new
stresses, strains and pore pressures in the rock mass
around the wellbore after a well has been drilled. The
new stresses around the wellbore can be determined
from the application of the principles of continuum
mechanics. A careful study and interpretation of these
ing underbalanced drilling the bottomhole-circulating
pressure is the only controllable variable (McLellan &
Hawkes, 2001). The collapse pressure or minimum
mud weight required to prevent wellbore wall failure is
often estimated using elastic brittle models (Aadnoy &
Chenevert, 1987), which assume that failure occurs
when the peak strength of the rock is reached. (Bradley,
1979) worked out a semi empirical approach, which is
helpful for predicting the limit of elastic behavior of
rock.
The fundamentals for studying the environment
around the wellbore were done by Westergaard in 1940,
based on Terzaghis effective stress theory. Later Biot
in 1941 developed these theories further and clearly
explained the role of pore pressure and fluid flow
(Cheatham, 1984). Since then, several authors have
contributed to the effect of pore pressure on stress
distribution around a wellbore (Paslay & Cheatham,
1963) by applying poroelasticity theory to analyze
the wellbore stability. (Gnirk, 1972) Gnirk realized
the plastic zone around the wellbore and calculated
wellbore pressure required to prevent plastic yielding
of the wellbore. (Bratli & Risnes, 1981), (Risnes &
Bratli, 1982) applied the theory of elasticity and
plasticity together with the supposition that the rock
obeys Coulomb criterion. (McLellan & Wang, 1994)
developed a poro- elastoplastic well stability model.
2 WELLBORE STABILITY ANALYSIS
Conventionally wellbore stability analyses are based
on either elasticity or the poro elasticity theory, where

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 the formation is assumed homogeneous with or with-
out pore fluid. However, such solutions may result in
erroneous conclusions for naturally fractured porous
formations because fractures introduce important
heterogeneities.
Mainly two elements are required in wellbore stabil-
ity analyses, the constitutive model to compute stresses
around the wellbore and the failure criterion.
In this study we have computed the stresses around
the wellbore based on the in-situ stresses and pore
pressure by using linear elastic/poroelastic methods
at various scenarios. The computed stresses are com-
pared with Mohr-Column failure criterion whereby the
collapse pressure, below which rock failure can occur,
is estimated. The major step for the analyses is to cal-
culate the well pressure required to avoid the wellbore
collapse. In the UBD situation the failure will occur
first at the wellbore wall when the stress concentration
will exceed the limits at the wellbore wall. Therefore,
our main area of interest for the stress solution is at the
wellbore wall.
2.1 Wellbore failure mechanism
Drilling changes, the initial stress state in the formation
to be drilled and redistributes stresses near the wellbore
region. The redistributed stress state may exceed the
rock strength and hence, failure can occur. A wellbore
fails either by exceeding the tensile strength of the
rock or by exceeding shear/compressive strength of
the rock.
2.2 Failure criteria
A Mohr-Coulomb failure criterion is widely used for
predicting shear failure of wellbore. The concept of
Mohr-Coulomb criterion is that failure occurs if the
maximum shear stress on any plane in a rock reaches
its shear strength. It can be represented in terms of
the minimum and the maximum principal stresses as
(Fjaer et al. 1992):
Where 1 = Maximum principal stress; 3 = Minimum
principal stress; CO = Uniaxial compressive strength;
So = Cohesion; = Internal friction angle; and
= Failure angle (angle between the normal of the
failure plane and the major principal stress axis).
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Copyright 2006 Taylor & Francis Group plc, London, UK
2.3 Stresses around the wellbore in linear
elastic formation
In linear elastic formation it is assumed that: (1)
Stresses around the borehole are under a plain strain
condition; the components of stress are the linear
function of the components of strain. (2) The forma-
tion with or without pore fluid is homogeneous and
isotropic.
In linear elastic formation, the borehole wall is the
area where the largest stress differences occur, there-
fore the borehole failure is expected to start or initiate
at the wellbore wall. For a vertical hollow borehole
in a formation with horizontal isotropic stress (equal
horizontal stresses), then stresses at a point of the wall
of the wellbore are (Fjaer et al. 1992):
Where pw = Wellbore pressure; h = Minimum hori-
zontal stress component; v = Vertical stress compo-
nent; r = Radial stress; = Tangential stress; and
z = Axial stress.
2.4 Stresses around a wellbore in poroelastic
formation
In a field situation, normally the wellbore is sur-
rounded by porous rock, so the pore pressure has to
be included by applying effective stresses concept.
Effective stresses mainly control both compressive
and tensile failure in poroelastic formations. Terzaghi
(1923) argued that increasing the external hydrostatic
pressure produces the same volume change of the
material as reducing the pore pressure with the same
amount and shear stress depends only on the difference
between the normal stress and pore pressure pf .
Where
= Effective stress; = Biots poroelasticity
constant; pf = Pore pressure; and = Normal stress.
Stresses around the wellbore in poroelastic forma-
tion can be further characterized into: (1) Permeable
wellbore wall and (2) Impermeable wellbore wall.
2.4.1 Permeable wellbore wall
The total stresses around the wellbore wall can be
obtained by superposing in-situ stresses and the pore
pressure at the wall of the wellbore. Total stress com-
ponents at the wellbore wall are given as (Hasio, 1988),
(McLean & Addis, 1990):

Where PF = Far field formation pressure; and
v = Poissons ratio.
2.4.2 Impermeable wellbore wall
If the wellbore wall is impermeable, there will be no
fluid penetration into the wellbore wall, then we have
PF = pf pore pressure assumed to be constant and the
stress solution around the wellbore becomes identical
as expressed in Equations (4, 5 & 6) (Fjaer et al. 1992).
2.5 Estimation of collapse pressure
In order to predict the collapse pressure, computed
stresses will be compared with Mohr-Coulomb failure
criterion.
2.5.1 Linear elastic dry formation
case(a) > z > r
Where the tangential stress is the maximum, axial
stress is the intermediate and radial stress is the mini-
mum. Substituting tangential and radial stresses from
Equations (4) and (5) in Equation (1), we can get the
value of wellbore pressure:
Equation (11) states that if the wellbore pressure is less
than the above-calculated value then a shear failure
will occur at the wellbore wall.
2.5.2 Linear elastic dry formation
case(b)z > > r
Where axial stress is the maximum principal stress and
radial stress is the minimum principal stress. Substi-
tuting the axial and radial stresses from equations (5)
and (6) in Equation (1) we get:
Thus, if the well pressure values fall below the value
obtained by equation (12), shear failure will occur at
the wellbore wall.
2.5.3 Poroelastic formation permeable
wellbore wall
For permeable wellbore wall the pore pressure at the
wellbore wall is equal to the well pressure, wellbore
collapse pressure can be calculated by comparing com-
puted stresses into the failure criterion, at condition
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Copyright 2006 Taylor & Francis Group plc, London, UK
( > z > r ). Substituting and r from Equations
(8) & (9) in Equation (7) then in Equation (1) we get:
Equation (13) provides the minimum pressure
required to prevent wellbore collapse for a permeable
wellbore wall.
2.5.4 Poroelastic formation impermeable wellbore
wall
The collapse pressure for impermeable wellbore wall
is calculated at the same condition ( > z > r ).
Putting and r from equations (4) & (5) in Equation
(7) then in Equation (1) we get:
Equation (14) provides the minimum wellbore pres-
sure for the case of impermeable wellbore wall.
2.6 Safe UBD pressure window
In order to avoid instability problems during under-
balanced drilling, it is important to determine the safe
pressure window; the range of pressure value can be
used, the upper limit is set by the formation pore pres-
sure while the lower limit is the collapse pressure,
which has been discussed earlier for various scenar-
ios. In order to determine the safe pressure window
for the field application, the above-derived expressions
are applied to the case study. The input parameters
are listed in Table 1 and Table 2 obtained from one of
the Louisiana offshore well (Wellstab database, 2005).
The collapse pressures are calculated using linear elas-
tic and poro elastic methods. The results are shown in
Figures (14).
It is observed that expressions (11) and (12) for
linear elastic dry formation provide the most optimistic
results. A wider safe pressure window exists for deeper
depths as shown in Figures 1, 2.
Figure 3, shows the operating range of UBD oper-
ations by using poroelastic approach for permeable
wellbore wall (Equation 13), it indicates that underbal-
anced operation can be performed until the depth of
1050 meter for this particular well and below this depth
it is not possible to continue underbalanced drilling
operation as collapse pressure exceeds the pore pres-
sure. The safe pressure window becomes gradually
narrower with increasing depth.
The expression (14) for poroelastic formation with
impermeable wellbore wall gives narrower safe pres-
sure window as shown in Figure 4, for UBD. It is
observed that underbalanced drilling operations can
only be applicable to the depth of 910 meter for this
well, in case the wellbore wall is impermeable.
 Table 1. Input parameters (in-situ stresses and pore pressure).

Measured Depth Minimum Maximum

below Kelly True vertical Pore pressure Vertical stress horizontal horizontal
bushing (MD) depth (TVD) (pf ) (v ) stress (h ) stress (H )
(m) (m) (MPa) (MPa) (MPa) (MPa)

585.216 0 0 0 0 0
737.616 152.4 1.59 3.41 2.42 2.72
890.016 304.8 3.02 6.87 4.7 5.41
1042.416 457.2 4.65 10.38 7.24 8.15
1194.816 609.6 6.38 13.9 9.71 11.25
1347.216 762 8.05 17.16 12.29 13.98
1499.616 914.4 9.13 21.01 14.39 16.52
1652.016 1066.8 10.99 23.95 17.07 19.36
1804.416 1219.2 12.2 27.28 19.67 22.29

Table 2. Input parameters (rock mechanical properties).

Measured depth Internal

below Kelly True vertical friction Cohesion Biots
bushing (MD) depth (TVD) Poissons angle () (So ) constant
(m) (m) ratio (v) (Deg) (MPa) (a)

585.216 0 0 44 0.98 0.96

737.616 152.4 0.2 46.2 1.25 0.96
890.016 304.8 0.21 44.5 1.49 0.96
1042.416 457.2 0.22 45.2 1.62 0.96
1194.816 609.6 0.21 44.7 1.82 0.96
1347.216 762 0.22 43 1.97 0.96
1499.616 914.4 0.22 41.6 2.15 0.96
1652.016 1066.8 0.22 41.7 2.44 0.96
1804.416 1219.2 0.22 42.4 2.57 0.96

Pressure (MPa) Pressure (MPa)

0 4 8 12 0 4 8 12
0 0
Pore pressure (MPa) Pore pressure (MPa)
Collapse pressure (MPa)
Collapse pressure (MPa)

400
400
TVD (m)
TVD (m)

800
800

1200

1200
Figure 2. Safe pressure window for linear elastic dry
formation case (b) z > > r .
Figure 1. Safe pressure window for linear elastic dry
formation case (a) > z > r .
rock strength can be determined by comparing the sen-
sitivity results with base results. Sensitivity tests were
2.7 Sensitivity analysis done for cohesion and internal friction angle.
In order to address and rank the influence of material Sensitivity analysis was performed only for poro-
strength on the predicted safe pressure, the effects of elastic formation and permeable wellbore wall, to

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Copyright 2006 Taylor & Francis Group plc, London, UK

 Pressure (MPa) Pressure (MPa)
0 4 8 12 0 4 8 12
0 0 Pore pressure (MPa)
Pore pressure (MPa)
Collapse pressure base case
Collapse pressure (MPa)
(MPa)
Collapse pressure with 5%
400 increase in cohesion
TVD (m)

Collapse pressure with 10%

400 increase in cohesion
Collapse pressure with 15%
800 increase in cohesion

TVD (m)
1200
800

Figure 3. Safe pressure window for poroelastic formation

(Permeable wellbore wall).

Pressure (MPa)
0 4 8 12
0 1200
Pore pressure (MPa)
Collapse pressure (MPa) Figure 5. Effects on collapse pressure with increase in
cohesion.
400
TVD (m)

Pressure (MPa)
0 4 8 12
0 Pore pressure (MPa)
800
Collapse pressure base case
(MPa)
Collapse pressure with 5%
decrease in cohesion
1200 Collapse pressure with 10%
decrease in cohesion
Figure 4. Safe pressure window for poroelastic formation 400 Collapse pressure with 15%
(Impermeable wellbore wall). decrease in cohesion
TVD (m)

calculate a minimum pressures that keeps the well

stable.
Cohesion values are varied by increasing and
decreasing 5%, 10% and 15% respectively of origi- 800
nal values listed in Table 2. The effects on the collapse
pressure are shown in Figures 56.
The values for internal friction angle are also
varied by increasing and decreasing 5%, 10% and
15% respectively of base values listed in Table 2.
Figures 78 indicate the effects on the collapse
pressure. 1200
It is observed that the safe pressure window
becomes wider as the rock strength parameters Figure 6. Effects on collapse pressure with decrease in
increase and narrower while decrease. The variation in cohesion.
results is significant and it indicates that both the cohe-
sion and internal friction angle are the key governing 3 CONCLUSION
factors in maintaining the stability during the drilling.
Correspondingly, the effective depth at which UBD The most important factors affecting the wellbore sta-
can be used increased and decreased respectively. bility during underbalanced drilling are the in-situ

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Copyright 2006 Taylor & Francis Group plc, London, UK

 Pressure (MPa)
0 4 8 12
0 Pore pressure (MPa)
Collapse pressure base case
(MPa)
Collapse pressure with 5%
increase in internal friction angle
Collapse pressure with 10%
400 increase in internal friction angle
Collape pressure with 15%
increase in internal friction angle
TVD (m)
Linear elastic/poroelastic modeling can be used to
predict the optimal range of bottomhole circulating
pressure that is high enough to avoid severe wellbore
collapse and low enough to maintain underbalanced
situation.
This study indicates that rock failure depend on
the effective stresses and strength of the formation.
Cohesion and internal friction angle affect the well-
bore stability; the higher values of both rock strength
parameters lower the risk of wellbore instability.
Additional enhancement should be considered to

the analytical techniques discussed in this paper, in

800
1200
Figure 7. Effects on collapse pressure with increase in
internal friction angle.
Pressure (MPa)
0 4 8 12
0 Pore pressure (MPa)
Collapse pressure base case
(MPa)
Collapse pressure with 5%
decrease in internal friction angle
Collapse pressure with 10%
decrease in internal friction angle
400 Collapse pressure with 15%
decrease in internal friction angle
TVD (m)
order to improve the accuracy and practical applicabil-
ity of the results. These enhancements might include
the effects of fluid flowing into the wellbore, three
dimensional rock yielding, thermal effects on rock
failure, time dependent effect, well orientation and
inclination effect, physico-chemical interactions and
wellbore hydraulics that account for erosion.
ACKNOWLEDGEMENT
We appreciate the support of Maurer Technology Inc.
for providing us with data.
REFERENCES
Aadnoy, B.S. & Chenevert, M.E. 1987. Stability of Highly
Inclined Boreholes. SPE J 16052.
Bradley, W.B. 1979. Mathematical Stress Cloud can Predict
Borehole Stability. Oil & Gas Journal., Vol.77, No 8.
Bratli, R.K. & Risnes, R. 1981. Stability and Failure of Sand
Arches. SPE J 8427.
Cheatham, J.B. Jr.1984. Wellbore Stability. SPE J 13340.
Fjaer, E., Holt, R.M., Horsrud, P., Raaen, A.M. & Risnes, R.
1992. Petroleum Related Rock Mechanics: 109127,

800
1200
Figure 8. Effects on collapse pressure with decrease in
internal friction angle.
stress state, pore pressure, wellbore pressure and rock
properties. Amongst all these factors wellbore pres-
sure is the only controllable or variable factor during
underbalanced drilling operation.
Wellbore instability must be addressed at both
planning and drilling phases of a well with accurate
monitoring of bottomhole pressure and using various
predictive techniques individually or in combination.
Elsevier.
Gnirk, P.F. 1972. The Mechanical Behavior of Uncased. Well-
bores Situated in Elastic/Plastic Media under Hydrostatic
Stress. SPE J 3224.
Hsiao, C. 1988. A Study of Horizontal-Wellbore Failure. SPE
J 16927.
McLean, M.R. & Addis, M.A. 1990. The Effect of Strength
Criteria on Mud Weight Recommendations. SPE J 20405.
McLellan, P.J. & Hawkes, C.D. 2001. Borehole Stability
Analysis for Underbalanced Drilling Advanced Geo-
Technology Inc. JCPT Paper: 9907.
McLellan, P.J. & Wang,Y. 1994. Predicting the Effects of Pore
Pressure Penetration on the Extent of Wellbore Instability:
Application of a Versatile Poro- Elasto Plastic Model. SPE
J 28053.
McLennan, John et al., 1997. Underbalanced Drilling Man-
ual: 48, Gas Research Institute, GRI Reference No:
97/0236.
Paslay, P.R. & Cheatham, J.B. 1963. Rock Stresses Induced
by Flow and Fluids into Boreholes. SPE J 482.
Risnes, R., Bratli, Rolf K. & Horsud, P. 1982 Sand Stresses
Around a Wellbore. SPE J 9650.
WellStab-Plus 2005. Advanced Wellbore Stability Model,
(data base). and Users Manual Version 1. Maurer Tech-
nology Inc.

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Copyright 2006 Taylor & Francis Group plc, London, UK

 EUROCK 2006 Multiphysics Coupling and Long Term Behaviour in Rock Mechanics
Van Cotthem, Charlier, Thimus & Tshibangu (eds)
2006 Taylor & Francis Group, London, ISBN 0 415 41001 0

Mechanical impacts of acid gas leakage in caprock

M. Mainguy
Institut Franais du Ptrole France

A. Onaisi
Total France

ABSTRACT: Caprock integrity is of primary importance for a safe storage of acid gas in underground reser-
voirs. This paper analyses the mechanical impact of acid gas leakage in the caprock when the reservoir pressure
overpasses the capillary entry threshold. We propose analytical expressions for the effective stress changes result-
ing from gas and capillary pressure changes under particular stress paths. These expressions make possible to ana-
lyze the fracturing conditions of the caprock and to quantify the effective stress changes resulting from gas leakage
into a caprock. A synthetic model of H2 S leaking through a caprock reveals minor water saturation decrease with
very low effective stress changes in the caprock. Actually, significant mechanical effects are only possible at very
low water saturation levels that might hardly be reached due to the particular fluid flow conditions of the model.

1 INTRODUCTION saturation in the caprock. Actually, capillary effects

The petroleum industry plans to re-inject acid gases
after being separated from hydrocarbon back into the
underground. The injection horizons might be either
aquifers or depleted hydrocarbon reservoirs.The injec-
tion will give rise to several coupled physical and
chemical processes that raise concern about the safety
of the storage sites over a long period of time. The
integrity of the bounding seal (i.e. caprocks and wells)
that constitutes the barrier against acid gas migration is
a major concern for a successful storage (Jimenez &
Chalaturnyk 2002, Hawkes et al. 2004). Injection of
acid gases produces an increase of pore pressure which
in turn changes the stress field and causes defor-
mation in the reservoir and surrounding formations
(Rutqvist & Tsang 2003). The change in stress can
affect the hydraulic integrity of the caprock leading
to leakage and failure of the seal. The caprock may
be discontinuous and may contain preexisting discon-
tinuities such as fault and fractures of various sizes.
These discontinuities constitute a preferential path for
the acid gas to leak through the caprock (Gurevich
et al. 1993).
Gas leakage in the caprock is likely to occur when
the pressure difference between the gas phase and the
liquid phase in the pores adjacent to the caprock is
higher than the capillary entry pressure of the caprock.
This phenomenon has been experimentally studied
on fine grained rocks by Horseman et al. (1999)
and Hildenbrand et al. (2002). This paper aims at
evaluating the mechanical effects, especially fractur-
ing conditions, resulting from the decrease of water
might reduce the compressive stresses in the caprock
(e.g. Schmitt et al. 1994). In turn, pre-existing fractures
could be activated and gas flow could develop along
preferential pathways. Such a process is thought to be
self maintaining or even accelerating due to enhanced
permeability in the invaded zone.
No analysis of the mechanical impact of the caprock
water saturation decrease has been realized because
the capillary entry pressure of the caprock is gen-
erally thought to be sufficient to prevent from gas
leakage. Therefore, this work provides a qualitative
and a quantitative analyses of the mechanical impact
of gas leakage in the caprock. The qualitative approach
is based on an effective stress approach using the
equivalent pore pressure proposed by Coussy (2004).
The results of the effective stress approach are com-
pared with the effective stress changes predicted by the
Barcelona model (Alonso et al. 1990). The quantitative
approach is based on a fluid flow simulation that mod-
els H2 S leaking through a shale caprock. Pressure and
saturation changes are used to estimate the effective
stress change using the analytical expressions derived
with the effective stress approach.
2 QUALITATIVE APPROACH USING
ANALYTICAL EXPRESSIONS
This section analyses the risk of rock fracturing
that may result from gas leakage in caprocks. The
analysis is based on analytical expressions of the stress
changes induced by gas pressure and capillary pressure

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Copyright 2006 Taylor & Francis Group plc, London, UK

 changes using first an effective stress approach for par-
tially saturated porous media, and then the Barcelona
model developed for partially saturated soils. The
first approach makes possible to analyze the influence
of stress paths, gas pressure and capillary pressure
changes on rock fracturing. Then, the results on the
second model are compared with the effective stress
approach on an oedometric stress path.
2.1 Effect of stress path
The effect of stress path on rock fracturing is analyzed
using the framework developed by Coussy (2004) for
partially saturated porous medium. Under the assump-
tions of no hysteresis in the capillary pressure curve,
that this curve does not depend on strain and that the
skeleton free energy can be divided in a solid matrix
free energy and an interfacial energy U , Coussy (2004)
defines an equivalent pore pressure of the form:
with Sw = water saturation, pw = water pressure, Sg =
gas saturation and pg = gas pressure. Coussy (2004)
shows that this equivalent pore pressure replaces the
pressure used in the poroelastic constitutive law of sat-
urated porous medium. This makes possible to define
an effective stress on the form ij
= ij bij where
ij = the total stress, bij = Biots tensor and using the
convention of rock mechanics. Using the differential
form of the interfacial energy, the following expression
of the incremental effective stress is derived (Coussy
et al. 1998):
where pc = pg pw = capillary pressure. In what fol-
lows and for sake of simplification the Biots tensor is
fixed to Kronecker delta ij . Assuming linear elastic-
ity, the incremental effective stress tensor is related to
the incremental strain using the drained bulk modulus
Kd and the shear modulus G:
Equations 2 and 3 can be used to investigate the
effect of stress path on the effective stress change due
to water saturation decrease. Three stress paths are
considered in what follows. First, assuming no volu-
metric changes (i.e. dii = 0), it is straightforward from
Equation 2 that the mean total stress change is directly
related to the equivalent pore pressure change:
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Copyright 2006 Taylor & Francis Group plc, London, UK
Second, oedometric conditions are supposed (i.e.
dh = 0 and dz = 0). These conditions make possible
to express the horizontal total stress change as a
function of the equivalent pore pressure changes:
Third, for plane deformation (i.e. dz = 0) with no
variations of the horizontal total stresses (i.e. dh =
dH = 0) the vertical stress change reads
Equations 4 to 6 show that the total stress change
is proportional to the equivalent pore pressure change.
However, the gas and capillary pressures will simulta-
neously increase during gas leakage through a caprock.
The gas pressure increase at constant saturation and
capillary pressure leads to an increase of the total
stress. In contrast, capillary pressure increase at con-
stant gas pressure triggers a decrease of the total stress.
This last effect is partially attenuated by the water sat-
uration decrease associated with the capillary pressure
increase. Therefore, the two effects act in different
ways so that the global effect on stresses is not easy to
forecast.
In order to investigate the fracturing conditions for
the different stress paths highlighted previously, the
evolutions of the Mohr circles are drawn for the cases
where the gas pressure effect dominates (i.e. d > 0)
and where the capillary pressure effect dominates (i.e.
d < 0). To do so, the initial rock stress state is defined
with the 3 principal total stresses v , h and H with
0 < h < H < v . These stresses and the initial equiv-
alent pore pressure define the initial effective stresses
v
, h
and H
. Using Equation 2 and expressions 4
to 6 of the total stress changes, the effective stress
changes associated with the different stress paths are
expressed as a function of equivalent pore pressure
change. These expressions are used to plot on Figures 1
and 2 the changes in Mohr circles resulting from pos-
itive and negative changes in equivalent pore pressure
respectively. Therefore, the fracturing conditions can
be assessed when assuming that the rock failure can
be detected using a Mohr Coulomb failure criterion
(i.e. straight lines on Figures 1 and 2). For sake of sim-
plicity, the vertical and horizontal components of the
effective stress changes are fixed at zero in the case of
no volumetric change. Therefore, for that stress path,
the Mohr circles are unchanged with respect to the
initial configuration.
Figure 1 shows that, when the gas pressure effect
dominates, the diameter of the larger Mohr circle
between h
and v
decreases for the oedometric stress
path and increase for the plane deformation stress path.

Figure 1. Mohr circles evolution for d > 0 (gas pressure
effect dominates).
Figure 2. Mohr circles evolution for d < 0 (i.e. capillary
pressure effect dominates).
Furthermore, both circles are translated toward the
region of tensile stresses so that the risks of tensile fail-
ure and shear failure increase for oedometric and plane
deformation respectively. Figure 2 shows that, when
the capillary pressure effect dominates, the diameter
of the larger Mohr circle between h
and v
behaves in
an opposite manner as in the previous case. Therefore,
only the oedometric stress path leads to shear fractur-
ing conditions when the Mohr circles are translated
toward the region of compressive stresses. In what fol-
lows, we only consider the oedometric stress path that
carries the higher risk of fracturing. For this stress path,
we compare the results obtained with linear elasticity
using the effective stress principle with the result of
the Barcelona model on the same stress path.
2.2 Comparison with Barcelona model
The Barcelona model is a constitutive model that
describes the stress-strain behavior of partially sat-
urated soils (Alonso et al. 1990). Contrarily to the
effective stress approach, the Barcelona model uses
independent variables (net mean stress, deviatoric
stress and soil suction) to model the soil behavior.
Therefore, the Barcelona model makes possible to
reproduce the phenomenon of soil collapsing under
wetting that failed to reproduce the effective stress
approach under linear elasticity.
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Copyright 2006 Taylor & Francis Group plc, London, UK
We first use the assumption of constant total verti-
cal stress to express the deviatoric stress change as a
function of the gas pressure change and the net mean
stress p (with p = mean total stress pg ). Then, using
the assumption of uniaxial vertical strain and the elas-
tic constitutive law, the change in horizontal total stress
can be expressed on the form:
where G = shear modulus, v = specific volume, =
elastic stiffness parameter for change in net mean
stress, s = suction or capillary pressure, s = elastic
stiffness parameter for change in suction and patm =
atmospheric pressure. The terms in factor in the right-
hand side of Equations 5 and 7 are similar when
considering that the drained bulk modulus of the linear
elastic law is equal to the term vp/ of the linear log-
arithmic law used in the Barcelona model. Therefore,
for the oedometric stress path, the Barcelona model
can be interpreted as an effective stress model such
as the Bishops effective stress (Bishop 1959) with the
Bishops parameter defined by:
A similar result can be derived when considering
an elasto-plastic behavior of the rock due to suction
change. Actually, using the hardening law of the suc-
tion yield surface, the following expression of the
change in horizontal total stress can be derived:
where s = elasto-plastic stiffness parameter for
change in suction. This last parameter is the only one
that distinguishes Equation 7 from Equation 9. For
soils, s is larger than s so that the capillary effects
on the total stress changes are enhanced in the elasto-
plastic case. Last, as for the elastic case, Equation 9
can be interpreted using the Bishops effective stress
but with a Bishops parameter defined with Equation
8 with s replaced by s .
As for the effective stress approach, Equations 7
or 9 provide a qualitative comprehension of the stress
changes induced during gas leakage in caprocks. How-
ever, these equations require the stiffness parameters
for changes in suction that have not been identified for
caprocks. For that reason, the effective stress approach
that requires less parameters is preferred and used in
the following section to estimate the range of effective
stress changes induced by acid gas re-injection in a
reservoir.
 Table 1. Fluid flow properties for reservoir and caprock.

Property Reservoir Caprock

Porosity () 0.125 0.05

Permeability (1017 m2 ) 200 0.11
Irreducible water saturation 0.3 0.66
Entry capillary pressure (MPa) 0 0.27
Maximum capillary pressure (MPa) 1.0 6.37

70

Capillary pressure (bar)

Figure 3. One dimensional H2 S flow in a reservoir-caprock
system.
3 QUANTITATIVE APPROACH USING
FLUID FLOW SIMULATIONS
This section quantifies the effective stress changes
induced by H2 S injection into a porous reservoir
located beneath a low permeable caprock. The prob-
lem is simplified to a one-dimensional vertical column
of a reservoir-caprock system as displayed on Fig-
ure 3. The reservoir is 460 m thick with a top located at
3500 m. The reservoir rock is overlayered with a 100 m
thick caprock of low permeability. The reservoir and
the caprock are initially fully saturated with water and
H2 S is massively injected in gas phase at the bottom
of the reservoir during 80 years. The injection rate at
surface conditions is constant and fixed at 2 millions
m3 per day.
A fluid flow model is set to compute the pressure
and saturation changes associated with H2 S flow-
ing in the reservoir and leaking into the caprock.
Fluid flows are modeled with a reservoir simulator
assuming two phases (gas and liquid) with two con-
stituents in each phase (H2 S and water). The fluid flow
model accounts for diffusion in the liquid and gaseous
phases. The reservoir caprock system is meshed with
cells of dimension 2000 m 5000 m 10 m, the latter
size being the vertical one. The fluid flow simulation
stops after 1200 years when the acid gas reaches the
top of the caprock. The reservoir rock is a carbon-
ate rock whereas the caprock is shale. Table 1 gives
the reservoir rock and caprock fluid flow properties.
The fluid flow properties of the caprock are deduced
from the values measured by Schlmer & Krooss
(1997) on a caprock coming from the Smrbukk
field, Haltenbanken area, offshore mid-Norway. The
caprock lithology is an alternate bedding of quartz-
free clay layers and coarse grained silt (sample H13
from Schlmer & Krooss 1997). The capillary pres-
sures have been converted from the air/mercury system
60
50
40
30
20
10
0
0,6 0,7 0,8 0,9 1,0
Water saturation (-)
Figure 4. Capillary pressure cure for the caprock.
to the gas/water system using an interfacial tension of
the gas/water equal to 11.5 mN/m and a contact angle
equal to 60 degrees.
Figure 4 displays the capillary pressure curve of
the caprock for the acid gas/liquid system. It shows
that when the water saturation decreases from 1 to the
irreducible water saturation, the capillary pressure
increases by more than 6 MPa. Therefore, a high
decrease of the water saturation in the caprock rep-
resents a threat for the caprock integrity if fracturing
conditions are reached. The capillary pressure curve of
the reservoir rock remains equal to the entry capillary
pressure until the water saturation tends to the irre-
ducible water saturation in the reservoir rock. When
the irreducible water saturation is reached, the capil-
lary pressure in the reservoir rock equals the maximum
capillary pressure. For the sake of simplicity, linear
laws are used to model the relative gas and water
permeability curves.
Figures 5 to 7 display the gas saturation, capillary
pressure and gas pressure changes in the top of the
reservoir (3500 m down to 3700 m) and in the caprock
(3400 m to 3500 m) at four time values (i.e. after 42,
80, 400 and 1200 years). H2 S injection starts at time
2000 and the acid gas accumulates by buoyancy at the
top of the reservoir. The capillary pressure reaches the
entry capillary pressure of the caprock at time 2042
(see Fig. 6). Therefore, after this time, the acid gas
starts to leak in the caprock. H2 S injection stops at
time 2080 when the gas column height is about 110 m
(see Fig. 5). After this time, the gas column continues

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Copyright 2006 Taylor & Francis Group plc, London, UK

 0.8 3.0
cap rock reservoir

Effective stress change (bar)

2.0
Gas saturation (-)

0.6
2042
2080 1.0
0.4
2400
0.0
3200 vertical
0.2
-1.0 horizontal

0.0
-2.0
3400 3500 3600 3700
2000 2300 2600 2900 3200
Depth (m)
Time (years)

Figure 5. Gas saturation changes with depth at different

times. Figure 8. Effective stress changes since beginning of gas
leakage at the bottom of the caprock.
5
cap rock reservoir an oedometric stress path. Therefore, the horizontal
Capillary pressure (bar)

4 and vertical effective stress changes are expressed as a

2042 function of the equivalent pore pressure change with:
3 2080
2400
2
3200
1 where = drained Poisson ratio of the caprock is fixed
to 0.3 in what follows. Equations 10 are based on linear
0
3400 3500 3600 3700 elasticity and assume a simplistic stress path. There-
Depth (m) fore, it can be seen as a rough estimation of the effective
stress changes resulting from water saturation decrease
Figure 6. Capillary pressure changes with depth at different in the caprock. This approach is very easy to apply
times. because it only requires one mechanical parameter and
one fluid flow variable: the equivalent pore pressure.
350
This variable integrates simultaneously the effects of
cap rock reservoir the gas pressure changes and of the capillary pressure
Gas pressure (bar)

340
330
320
3400
Figure 7. Gas pressure changes with depth at different
times.
to grow up to about 140 m because of gas migration
from the injection zone to the reservoir top. The gas
leakage into the caprock is not easy to observe on Fig-
ure 5 because of a very small water saturation decrease
in the caprock. H2 S leakage in the caprock can be
more easily observed on Figure 6 that shows the cap-
illary front penetrating towards the top of the caprock.
The fluid flow simulation stops at time 3200 when the
acid gas reaches the top of the caprock. Last, Figure 7
shows that the gas pressure is not significantly affected
between times 2042 and 3200.
To evaluate the mechanical impact of gas leakage
into the caprock, we use the analytical expressions of
the effective stress changes derived in section 2.1 for
changes.
Figure 8 displays the evolution with time of the hor-
2042 izontal and vertical effective stress changes computed
2080 with Equations 10 using the equivalent pore pressure
2400 change given by the fluid flow simulations. The effec-
3200 tive stress changes are plotted at the bottom of the
caprock (i.e. lower cell in the caprock) where the cap-
3500 3600 3700 illary pressure changes are maximal (see Fig. 6). The
Depth (m)
effective stress changes are computed since time 2042
at which the gas starts to leak in the caprock. The verti-
cal effective stress change is the opposite in sign of the
equivalent pore pressure change. Therefore, the equiv-
alent pore pressure change is first positive between
times 2042 and 2080 and then negative after time
2080. Between times 2042 and 2080, the equivalent
pore pressure increase is mainly due to the gas pres-
sure increase and the stress evolution can be illustrated
with Figure 1. H2 S injection stops at time 2080 and the
gas pressure drops after this time leading to a decrease
of the equivalent pore pressure. This effect is enhanced
with the capillary pressure increase so that the equiva-
lent pore pressure change is negative after time 2080.
Therefore, after time 2080, the stress evolution can be
illustrated with Figure 2. Nevertheless Figure 8 shows
that the maximal values of the effective stress changes
are minor. On the one hand, the maximum effective

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Copyright 2006 Taylor & Francis Group plc, London, UK

 stress decrease due the gas pressure increase is only of
1 bar. On the other hand, the maximum effective stress
increase observed for a negative value of the equiva-
lent pore pressure is of 2 bar. Therefore, these ranges of
effective stress changes are too small to have a marked
mechanical impact on the caprock. Especially, these
changes appear not to be sufficient to trigger some
fracturing mechanisms in the caprock.
If the water saturation decrease in the caprock can
trigger significant capillary pressure increase, this
effect does not take place in the present analysis.
This is due to the fluid flow model that shows a lim-
ited decrease of the water saturation in the caprock.
Indeed, at the end of the simulation, the gas satura-
tion at the bottom of the caprock is only limited to
0.035 (see Fig. 5) whereas the maximum gas saturation
is approximately ten times bigger. Even if this result
may strongly depends on the reservoir parameters and
laws used for the fluid flow simulations, the capillary
pressure increase in the caprock seems to be restricted
because of the fluid flow conditions. Actually, the gas
pressure increase appears to be limited because of the
acid gas injection conditions whereas the liquid pres-
sure decrease is restricted by the hydrostatic pressure
gradient. These conditions are far from the conditions
usually considered in soil mechanics and where the gas
pressure remains at atmospheric pressure and signif-
icant suction stress developed in the porous network.
Such conditions do not occur in the present modeling
of acid gas sequestration so that the risk of fracturing
induced by water saturation decrease in the caprock is
low. Higher risk could result from a higher increase of
the gas pressure in the reservoir. However, such situa-
tion is not likely to occur because it will be associated
with a possible fracturing in the reservoir.
4 CONCLUSIONS
Caprock integrity is of primary importance for a safe
storage of acid gas in underground reservoirs. This
paper analyses the mechanical impact of acid gas
leakage in the caprock when the reservoir pressure
overpasses the capillary entry threshold.
Analytical expressions for the effective stress
changes are derived under particular stress path using
an effective stress approach. These expressions show
that the fracturing conditions of the caprock are
controlled by the equivalent pore pressure change.
During gas leakage in the caprock, one may expect
gas pressure and capillary pressure increase. Analyti-
cal expressions derived for an oedometric stress path
shows that the fracturing conditions will differ depend-
ing of the main mechanism. If the gas pressure effect
dominates, tensile failure is likely to occur whereas
shear failure might occur when the capillary pres-
sure effect dominates. The relevance of the analytical
expression derived under oedometric stress path is
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Copyright 2006 Taylor & Francis Group plc, London, UK
also discussed in regard of the Barcelona model. The
result shows that, for the oedometric stress path, the
Barcelona model can be seen as an effective stress
model with a Bishop coefficient depending on the
stiffness parameters for change in suction.
The effective stress changes resulting from gas leak-
age into a caprock is quantified on a synthetic model of
H2 S leaking through caprock. The model provides the
equivalent pore pressure change that is used to estimate
the effective stress change for an oedometric stress
path. Fluid flow simulations show a very small water
saturation decrease in the caprock due to the particu-
lar fluid flow conditions. Therefore the capillary effect
and the equivalent pore pressure changes are not suffi-
cient to trigger significant effective stress changes and
thus activate pre-existing fractures.
REFERENCES
Alonso, E.E., Gens, A. & Josa, A. 1990. A constitutive
model for partially saturated soils. Geotechnique 40(3):
405430.
Bishop, A.W. 1959. Teknisk Ukeblad, 39, 859863.
Coussy, O. 2004. Poromechanics, Chichester: John Wiley &
Sons Ltd.
Coussy, O., Eymard, R. & Lassabatre, T. 1998. Constitutive
modelling of unsaturated drying deformable materials.
Journal of Engineering Mechanics 124(6): 658667.
Gurevich, A.E., Endres, B., Robertson, J.O. & Chilingar, G.V.
1993. Gas Migration From Oil and Gas Fields and
Associated Hazards. J. Petrol. Sci. Engr. 9: 223238.
Hawkes, C.D., McLellan, P.J., Zimmer, U. & Bachu, S. 2004.
Geomechanical Factors Affecting Geological Storage of
CO2 in Depleted Oil and Gas Reservoirs: Risks and Mech-
anisms. Proc. of Gulf Rocks 2004, the 6th North America
Rock Mechanics Symposium (NARMS): Rock Mechanics
Across Borders and Disciplines, Houston, Texas, 59 June
2004.
Hildenbrand, A., Schlmer, S. & Krooss, B.M. 2002. Gas
breakthrough experiments on fine-grained sedimentary
rocks. Geofluids 2(1): 323.
Horseman, S.T., Harrington, J.F. & Sellin, P. 1999. Gas
migration in clay barriers. Engineering Geology 54(1):
139149.
Jimenez, J.A. & Chalaturnyk, R.J. 2002. Integrity of Bound-
ing Seals for Geological Storage of Greenhouse Gases.
SPE/ISRM Rock Mechanics Conference, Irving, Texas,
2023 October 2002.
Rutqvist, J. & Tsang, C.-F. 2003. TOUGH-FLAC: a
Numerical Simulator for Analysis of Coupled Thermal-
Hydrological-Mechanical Processes in Fractured and
Porous Geological Media under Multi-phase Flow Condi-
tions. Proc.TOUGH Symposium 2003, Lawrence Berkeley
National Laboratory, Berkeley, 1214 May 2003.
Schlmer, S. & Krooss, B.M. 1997. Experimental characteri-
sation of the hydrocarbon sealing efficiency of cap rocks.
Marine and Petroleum Geology 14(5): 565580.
Schmitt, L., Forsans, T. & Santarelli, F.J. 1994. Shale test-
ing and capillary phenomena. International Journal of
Rock Mechanics and Mining Sciences and Geomechanics
Abstracts 31(5): 411427.
 EUROCK 2006 Multiphysics Coupling and Long Term Behaviour in Rock Mechanics
Van Cotthem, Charlier, Thimus & Tshibangu (eds)
2006 Taylor & Francis Group, London, ISBN 0 415 41001 0

Incorporating chemoporoelasticity in wellbore stability Part I:

Parameter estimation

N.P.R. Rubio, S.A.B. Fontoura, E.M.P. Arajo & E.S. Muniz

Pontifical Catholic University of Rio de Janeiro, Brazil

R.F.T. Lomba
Petrobras, Brazil

ABSTRACT: Shales are argillaceous rocks that present a complex geomechanical behavior. Due to their very
low intrinsic permeability and very tight pores, the determination of the parameters that control pore fluid
pressure diffusion and solute transport is not a simple matter. In this paper we present a practical methodology to
determine the chemoporoelastic parameters necessary to model the coupled chemoporoelastic wellbore stability
in shales. The methodology combines experimental tests and analytical modeling. In order to determine the
chemoporoelastic parameters, offshore shale samples from Campos Basin (Brazil) were submitted to hydraulic
and chemical gradients in a diffusion cell. Examples of application to wellbore stability in shales are presented
in a companion paper submitted to this Conference referred to as Part II.

1 INTRODUCTION The chemoporoelastic parameters are obtained by

Drilling through shales can become a very difficult
operation. When drilling for oil and gas, more than
75% of the drilled sections contain shales, which are
the major source (90%) of wellbore instability prob-
lems. Wellbore instability, hole enlargement, stuck
pipe, high torque and drag, and side tracking are some
of the most challenging drilling problems related to
shale formations (Al-Bazali, 2003).
Wellbore stability problems are caused primarily by
changes in the near wellbore pore pressure and rock
stresses. The excess of rock effective stresses over the
rock strength can cause collapse (shear) or breakdown
(tensile) failure of the drilled formation. Pore pressure
alterations due to osmotic effects are a function of the
water activity in the drilling fluid and the membrane
efficiency of the shale.
This paper deals with the determination of chemo-
poroelastic parameters of shales that are to be used
for wellbore stability purposes. Herein, we present the
analytical model to simulate the experimental test to
evaluate rock-drilling fluid interaction and a practi-
cal methodology to determine the chemoporoelastic
parameters of shales. The methodology combines
experimental tests (Muniz et al. 2004 & Muniz et al.
2005) and analytical modeling. In order to determine
the chemoporoelastic parameters, shale samples from
Campos Basin (Brazil) were submitted to hydraulic
and chemical gradients in a diffusion cell.
solving the inverse problem in such a way that the
differences between the experimental data and the pre-
dicted results are minimized. Three parameters are
obtained: the fluid diffusion coefficient, c, the effective
solute coefficient, De, and the reflection coefficient or
membrane efficiency.
Chemoporoelastic analysis must be used in prob-
lems such as wellbore stability, nuclear waste man-
agement and contaminant barrier. Examples of appli-
cation to wellbore stability in shalles are presented in
paper submitted to this Conference referred as Part II.
Initially, the governing equations and their solu-
tions for the chemoporoelastic problem in 1-D are
presented. Next, a brief description of the solution used
for the inverse problem is given. The method is applied
to pressure transmission tests carried out on offshore
shale samples and saline solutions.
2 GOVERNING EQUATIONS
2.1 Constitutive equations
The constitutive equations for the poroelastic material
can be described in terms of total stress (ij ) and pore
pressure ( p) (see Equations 1 and 2),

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Copyright 2006 Taylor & Francis Group plc, London, UK


where K is the drained bulk modulus of elasticity, e is
the solid volumetric strain, ij is the Kronecker delta,
G is the shear modulus, eij is the solid strain tensor,
is the Biot coefficient, B is Skemptons pore pressure
coefficient, is the increment of fluid content and
and u are the drained and undrained Poissons ratio,
respectively (Detournay & Cheng 1993).
The last term in Equation 1 represents the effect of
the swelling behavior of the shale. This term was not
considered in this study mainly due to the fact that the
volumetric expansion observed in our experiments has
been associated to a reduction in effective stress. Fur-
ther experiments are under way in order to investigate
this matter a bit deeper.
2.2 Transport law
The fluid transport through shale is expressed as:
Where f is the fluid density, k is the intrinsic per-
meability, is the fluid viscosity,  is the reflection
coefficient; R is the universal gas constant; T is the
temperature; Ms is the solute molar mass; d is the
solute dissociation factor and C is the concentration
of solute. The reflection coefficient characterizes the
efficiency of the membrane. It ranges between  = 0
(no membrane) to  = 1 (ideal membrane).
2.3 Balance laws
Two balance laws are needed to describe the problem:
total stress equilibrium equation, (4) and the continuity
equation, (5).
2.4 Diffusion equations
Combination of Darcys law, the continuity equation
and the constitutive relation (2) yields the diffusion
equation for p. The diffusion of pore pressure is thus
coupled with the rate of change of the volumetric strain
to yield Equation 6 that is the governing equation for
the pore fluid diffusion.
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Copyright 2006 Taylor & Francis Group plc, London, UK
In the experimental tests, in order to evaluate the
shale-drilling fluid interactions, hydraulic and ionic
gradients were imposed through shale samples. Con-
sidering the particular case of the irrotational displace-
ment field in semi-infinite domain, for the uniaxial
strain problem, and maintained constant the stress
(xx ), the analytical model for the pressure diffusion
phase becomes,
Where the fluid diffusion coefficient is given by:
The initial and boundary conditions for simulating
the experimental tests, in the pressure diffusion phase,
are given by,
Equation 6 was solved by Laplace transform. Thus,
the value of p as a function of time is,
The pressure diffusion phase of experimental test is
representing by (9). In this phase the parameter c (fluid
diffusion coefficient) is obtained through the inverse
analysis.
3 ION DIFFUSION AND CHEMICAL OSMOSIS
3.1 Governing equations: ion diffusion
Chemical diffusion was considered to be caused only
by differences in ion concentration. This movement
is governed by Ficks law and depends on the effec-
tive solute coefficient De . We have assumed that ion
transport due to advection is negligible in face of the
extremely low permeability of the shales. This is in
agreement with other studies, for instance, (Heidug &
Wang (1996) and Ghassemi and Diek (2003)). Con-
sidering the experimental tests configuration the fol-
lowing equations were particularized for 1D problem:
The solute flux Js is given by,
where C is the concentration of the solute. According
to the continuity equation,
 Considering Ficks law and the continuity equation,
we have that:
4 CHEMOPOROELASTICITY
4.1 Ion diffusion, chemical osmosis and
pressure diffusion coupling
Considering the Darcys law for the case the full fluid
transport through shale (3), the Ficks law and the con-
tinuity Equation 11, we obtain the governing equation
for the coupled chemohydromechanical problem in 1D
see Equation 13.
The boundary conditions for simulating the exper-
imental tests, are given by,
Equation 14 was solved by Laplace transform.Thus,
the value of p as a function of time is:
with:
The ion diffusion phase of the pressure transmis-
sion test is described by Equation 15. In this phase
the parameters: De (effective solute coefficient) and
 (reflection coefficient) are obtained through the
inverse analysis.
5 INVERSE PROBLEM
The objective is to identify the unknown parameters
characterizing a shale-drilling fluid system that best
fits the experimental curves. In order to determine
the chemoporoelastic parameters, shale samples from
Campos Basin (Brazil) were submitted to hydraulic
and chemical gradients in a diffusion cell. Details
about the experimental tests are encountered in Muniz
et al. (2004).
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Copyright 2006 Taylor & Francis Group plc, London, UK
Initial guess
Mathematical External
model perturbation
Parameter Objective
update function
Optimization Criteria
algorithm No achieved?
Yes
End
Figure 1. General algorithm: inverse problem.
The identification of parameters from experimental
data is a typical inverse problem (see Figure 1). The
inverse problem can be divided in three main parts (see
Vanderplaats 1984 & Arora 1989):
(a) Establish the mathematical model that describes
the problem in question. In our case, the chemo-
poroelastic 1D problem.
(b) Define an objective function to help obtain the
set of parameters that best approximates the
experimental results considering the mathemati-
cal model. In order to measure the agreement and
minimize the discrepancy of both responses, an
objective function must be constructed. The objec-
tive function with most extensive use in inverse
problems is the weighted least squares:
Where x is a set of parameters and ri is the differ-
ence between the observed data and the resulting
data generated by the mathematical model.
c) Objective function minimization: The central
requirement is to minimize the objective function
to find a set of parameters (c, De , ), that is,
This work applied the Newton (Nocedal & Wright
1999) and conjugate gradient algorithm (Atkinson
1988) for parameter estimation. For the cases analyzed
herein, the results obtained using the two algorithms
were about the same.
6 PARAMETERS ESTIMATION
The shale samples used during the experimental tests
were obtained from wells drilled in Brazilian offshore
 Table 1. Data set used in analytical simulations.
Experimental
2
Analytical

Pressures (MPa)
Data description
1.5
Universal gas constant (Pa m3 /k mol) 8.31451
Temperature ( K) 295.15 1
Solute molar mass (Kg/mol) 0.111
Solute dissociation factor 2.601 0.5

0
0 20 40 60 80 100
Time (h)
2
Pressure (MPa)

Figure 3. Experimental and Analytical simulations: CP31.

1.5

1 2.5
Experimental
2

Pressure (MPa)
0.5 Analytical
1.5
0
0 20 40 60 80 1 Experimental
Time (h) Analytical
0.5
Figure 2. Experimental and Analytical simulations: CP-30. 0
0 10 20 30 40 50
Time (h)
area at about a depth of 3500 m and under 2000 meters
of water. Rabe (2003) presents the description of this Figure 4. Experimental and Analytical simulations: CP-33.
shale.
The 1D chemoporoelastic model and inverse prob-
Table 2. Parameters estimated in the inverse analysis.
lem solution was applied to obtain a set of parameters
that describe the behavior of this shale in three differ- Samples
ent samples. Each tests used different concentration of
CaCl2 saline solution. The data set displayed in Table 1 Parameters CP-30 CP-31 CP-33
was used in all analytical simulations.
Figure 2 presents the results of the pressure trans- c (108 m2 /s) 2.0 4.0 4.1
mission test carried out on sample CP-30. Two stages De (1011 m2 /s) 2.75 2.95 3.75
 0.0324 0.0466 0.0250
can be identified in this figure: Stage number 1 cor-
responds to the pressure diffusion phase where only
pressure gradient is applied to the sample. This stage
took about 24 hours to be completed for this sam- the inverse analyse using the optimization algorithms,
ple and fluid used. The pressure at the top of the adopting Equation 17 which simulates the ion diffu-
sample was increased from 0.4 MPa to 2.1 MPa. The sion phase and the experimental data obtained from
parameter c (fluid diffusion coefficient) was deter- sample CP-30. This samples has 41.26% of porosity.
mined through the inverse analyse, adopting Equation The Figures 3 and 4 present the pressure versus
9 which simulates the pressure diffusion phase and the time generated during the pressure transmission test on
experimental data obtained from sample CP-30, using samples CP-31 and CP-33 where were used concentra-
the optimization algorithms. Stage number 2 corre- tions of 35 and 25% of CaCl2 . The porosity of samples
sponds to the ion diffusion phase where a chemical 31 and 33 are, respectively, 40.41% and 40.40%.
potential is applied to the sample. Thus, the fluid in It is possible to notice in all these figures that the
contact with the top of the sample is changed from curves from analytical model are very close to the
water to saline solution (in this case 25% CaCl2 ). Pres- experimental curves, indicating that the methodology
sure transducer was used to monitoring the pressure adopted can simulate very well the acting mechanisms.
variation at the bottom of the sample with time. During The obtained parameters are shown in Table 2.
this stage there will be ion diffusion and the devel- The osmotic pressure can be expressed by van
opment of osmotic pressure. The overall result is a Hoffs equation assuming that the membrane is an
decrease in pressure such as indicated in Figure 2. ideal one (ions movement isnt allowed) and the sin-
The parameters De (effective solute coefficient) and gle binary fluid is considered, i.e., a solvent and only
 (reflection coefficient) were determined through one solute. However, that equation cannot be directly

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Copyright 2006 Taylor & Francis Group plc, London, UK

 applied to represent osmotic pressures in clays and
shales, because these materials present weak osmotic
membrane properties (Fritz 1986 and Al-Bazali,
2003). The ions movement is not fully restricted and
the osmotic pressure should be corrected through the
reflection coefficient. Also, due to the solute dissoci-
ation the dissociation factor must be considered (d).
Thus the osmotic pressure can be expressed as:
For the sample CP-31, using the reflection coef-
ficient obtained in the inverse analysis, the osmotic
pressure is Po 1.2 MPa and the mean value obtained
from the experimental test was Po 1.1 MPa. In spite
of the very low reflection coefficient obtained it is
possible to generate considerable osmotic pressure by
using a high solute concentration.
7 DISCUSSIONS AND CONCLUSIONS
In order to describe the shale saline solution interac-
tion, a chemoporoelastic model was used. The interac-
tion between fluid and shale was investigated through
a pressure transmission test where pore fluid pres-
sure is monitored when both hydraulic and chemical
gradients are applied to a shale sample.
The 1D chemoporoelastic model was used to obtain
a set of parameters that describe the behavior of
the shale. First of all, the fluid diffusion coefficient
obtained was around 4 108 m2 /s, which is within
the order of magnitude of other shales tested in Brazil.
The experimental data was well represented by this
parameter.
The effective solute coefficient, De, is around
4 1011 m2 /s and the membrane efficiency was very
low for this shale: less than 5%. The membrane
efficiency obtained in the sample CP-31 is the approx-
imately 5%. This value agrees with that obtained by
van Oort (2003) when testing a Pierre type I shale also
with 35% CaCl2 . For Pierre type II shale, Tan et al.
(1996), using 20% w/w NaCl obtained membrane
efficiency in the range from 6% to 10%. For Brazil-
ian shale, Muniz et al. (2005) using also 35% w/w
CaCl2 obtained membrane efficiency in the range
from 1% to 1.5%. Other shales have been tested and
higher membrane efficiency has been obtained. How-
ever, it is important to notice that the chemoporoelastic
model used represents very well the overall behavior of
the shale. As conclusion, the methodology presented
herein seems to be a strong mean to obtain chemo-
poroelastic parameters of shales. Finally, this study is
similar to the research developed by Sarout (2003).
91
Copyright 2006 Taylor & Francis Group plc, London, UK
ACKNOWLEDGEMENT
The authors would like to thank Petrobras for sponsor-
ing this project and to grant permission to publish the
results.
REFERENCES
Al-Bazali, T.M. 2003. Membrane Efficiency Behavior of
Shales. M.Sc. Thesis, University of Texas at Austin,
Austin, 58 pp.
Arajo, E.M.P. de 2006. Coupled Termochemoporoelastic
Model for Wellbore Stability Analysis in Shales. PhD The-
sis (in Portuguese), Pontifical Catholic University of Rio
de Janeiro, Brazil.
Arora, J.S. 1989. Introduction to optimun design. McGraw-
Hill, Inc.
Atkinson, K. 1988. An introduction to numerical analysis.
2nd Edition. Section 8.9, John Wiley & Sons.
Carslaw, H.S. & Jaeger, J.C. 1959. Conduction of heat in
solids. 2nd. Edition. Oxford University Press.
Detournay, E. & Cheng, A.H.-D. 1993. Fundamentals of
Poroelasticity. In: J.A. Hudson (Editor), Comprehen-
sive Rock Engineering: Principles, Practice & Projects.
Pergamon Press, Headington Hill Hall, pp. 113171.
Ghassemi, A. & Diek, A. 2003. Linear chemo-poroelasticity
for swelling shales: theory and application. Journal of
Petroleum and Engineering 38, pp. 199212.
Heidug, W. & Wong, S.-W. 1996. Hydration swelling of
water-absorbing rocks: a constitutive model. Interna-
tional Journal for Numerical and Analytical Methods in
Geomechanics, Vol. 20, 403430.
Kreyszig, E. 1993. Advanced engineering mathematics.
USA: John Wiley & Sons, Inc.
Muniz, E., Fontoura, S.A.B. & Lomba, R.F.T. 2004. Devel-
opment of equipment and testing methodology to evalu-
ate rock-drilling fluid interaction. GulfRocks04, The 6th
North America Rock Mechanics Symposium (NARMS);
Houston, Texas, Paper 599.
Muniz, E., Fontoura, S.A.B. & Lomba, R.F.T. 2005a. Rock-
drilling fluid interaction studies on the diffusion cell.
LACPEC, LatinAmerican and Caribbean Petroleum Engi-
neering Conference, Rio de Janeiro, Brazil, Paper SPE:
94768.
Muniz, E., Duarte, R.G., Fontoura, S.A.B. & Lomba, R.F.T.
2005b. Evaluation of shale-drilling fluid interaction
for studies of well stability. Alaska-Rocks05, 40th
U.S. Rock Mech. Symp. (ARMS/USRMS), Anchorage,
Alaska.
Neuzil, C.E. 1994. How permeable are clays and shales?
Water Resources Research, Vol. 30, No. 2, pp. 145150.
Nocedal, J. & Wright, S.J. 1999. Numerical Optimization.
Springer-Verlag.
Rabe, C. 2003. Experimental study of the drilling-fluid-
shale interaction through immersion tests. PhD Thesis (in
Portuguese), Pontifical Catholic University of Rio de
Janeiro, Civil Engineering Department, 290 p.
Sarout, J. 2003. Experimental identification of chemo-
poroelastic parameters for reactive shales. M.Sc. Thesis,
University of Minnesota, 120 p.
Tan, C.P., Richards, B.G. & Rahman, S.S.: Managing
physico-chemical wellbore instability in shales with the
 chemical potential mechanism, Paper SPE 36971 pre-
sented at the 1996 Asia Pacific Oil and Gas Conference,
Adelaide, 107116.
Vanderplaats, G.N. 1984. Numerical optimization tech-
niques for engineering design: with applications. New
York McGraw-Hill, Inc.
van Oort et al. 1996. Transport in shales and the design
of improved water-based shale drilling fluids. Annual
Technical Conference and Exhibition, 1994, SPE 28309,
New Orleans, 137146 p.
van Oort 2003. On the physical and chemical stability of
shales. Journal of Petroleum Science and Engineering 38
(2003), 213235.

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Copyright 2006 Taylor & Francis Group plc, London, UK

 EUROCK 2006 Multiphysics Coupling and Long Term Behaviour in Rock Mechanics
Van Cotthem, Charlier, Thimus & Tshibangu (eds)
2006 Taylor & Francis Group, London, ISBN 0 415 41001 0

Incorporating chemoporoelasticity in wellbore stability Part II:

Computational analysis

E.M.P. Arajo, S.A.B. Fontoura, N.P.R. Rubio, E.S. Muniz

Pontifical Catholic University of Rio de Janeiro, Brazil

C.J. Gonalves
PETROBRAS, Brazil

ABSTRACT: This paper is Part II of a series of two papers concerned with incorporating chemoporoelasticity in
wellbore stability analysis in shales. The main goal is to incorporate chemoporoelastic effects in wellbore stability
design in shales using realistic parameters, which were determined by applying the described methodology in
Part I. The governing equations for the evaluation of stresses, pore pressure and solute concentration around
the wellbore are presented. These equations are integrated in the Laplace domain and back inverted to the time
domain through a numerical algorithm. In addition, a practical methodology for computing the collapsed area
around the borehole was applied, which allows a better specification of mud weight window. The model and
the methodology were used to investigate the impact of chemoporoelasticity in wellbore stability analysis. The
results show that an adequate specification of the solute concentration in the drilling fluid composition generates
an efficient time-dependent control of the borehole stability.

1 INTRODUCTION methodology. The solution takes into account the

For the oil industry, designing wells in shales repre-
sents a great challenge because more than 90% of
stability problems during the drilling occur in this kind
of rocks. Moreover, the annual costs due to instability
problems overcome US$ 500 million.
This paper is Part II of a series of two papers
concerned with incorporating chemoporoelasticity in
wellbore stability analysis in shales. In spite of the the-
oretical and experimental studies in the last few years
about this theme (Chenevert & Pernot 1998, Ewy &
Stankovich 2002, Ghassemi & Diek 2001, van Oort
1994), the use of chemoporoelasticity in the oil indus-
try has not become a current practice yet. The main
difficulty in applying coupled models is the lack of the
parameters required as data set.
In order to contribute with the dissemination of
chemoporoelasticity into the practice of wellbore sta-
bility analysis in shales, this paper shows how to spec-
ify the density of the drilling fluid taking into account
its solute concentration. The stability analysis is car-
ried out using realistic chemoporoelastic parameters
of a shale, which were obtained in Part I.
The closed-form solution presented herein was
developed to compute the changes of stress, pore pres-
sure and solute concentration around the borehole
when drilling through shales, using a fast and robust
coupling between the poroelastic and chemical effects.
The pore pressure field around the borehole is
deeply impacted by the chemical gradient between the
drilling fluid and the shale, due to the osmotic effect.
This way, an adequate specification of the solute con-
centration in the drilling fluid composition slows down
the pore pressure penetration, maintaining safe the
stability window for a large time, and consequently,
reducing the cost of wellbore construction.
2 GOVERNING EQUATIONS
In spite of the importance of thermal forces on the sta-
bility of shales during drilling (Arajo 2005), herein
we consider shales only as chemoporoelastic materials
in isotermic situations.
2.1 Constitutive equations
A chemoporoelastic material can be described by a set
of constitutive equations to total stress (ij ) and pore
pressure ( p), respectively:

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where ij and eij denote the total stress and strain ten-
sors, respectively; e is the volumetric strain; ij is the
Kronecker delta; f is the fluid density, is the
swelling parameter, C is the solute concentration,
is the increment of fluid content; G is the shear mod-
ulus, and u are the drained and undrained Poissons
ratio, respectively, B is Skemptons pore pressure coef-
ficient, and is Biots coefficient.
2.2 Transport laws
The fluid transport (Jf ) and solute transport (Js ) equa-
tions are expressed, respectively, as follows:
where k is the intrinsic permeability, is the fluid
viscosity,  is the reflection coefficient, R is the gas
constant, Ms is the solute molar mass, T is the absolute
temperature, d is the solute dissociation factor and De
is the effective solute diffusion coefficient.
where c is the fluid diffusion coefficient. Notice that in
Equation 9 pore pressure is uncoupled from the strain
field, due to the irrotational displacement field around
the borehole in a semi-infinite domain (Wang, 2000).
2.4 Problem description
Drilling a wellbore through shale results in a redistri-
bution of its original stress, pore pressure and solute
concentration. In order to compute these changes, the
set of Equations 810 must be solved. Let us con-
sider an inclined borehole with radius a, drilled in
anisotropic stress field as showed in Figure 1. The
problem is treated in the borehole coordinate sys-
tem formed by x-y-z axis. Notice that this system is
obtained by a rotation and an inclination  from the
far-field stress coordinate system X-Y-Z.
The boundary conditions at the far-filed, r ,
where r is the radial distance from the borehole
axis, are:

2.3 Balance laws

A complete description of the chemoporoelastic
behavior of shales must also take into account the
balance laws. The mechanical equilibrium equation
states:

The conservation equations for fluid flow and solute

flow, respectively, are also necessary:

where n is the porosity. Combining Equations 14

with Equations 57, the following set of equations is
obtained:

Figure 1. Borehole configuration.

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Copyright 2006 Taylor & Francis Group plc, London, UK

 At the borehole wall, r = a, the boundary conditions
become:

where H denotes the Heaviside unit step function.

2.5 Solution methodology

Due to the linearity, the problem is decomposed in
three sub-problems: a plane strain problem, a uniaxial
problem and anti-plane shear problem (Cui et al. 1997,
Detournay & Cheng, 1988). The plane strain problem
is solved in the Laplace domain and considering three
individual modes, for each the boundary conditions at
the borehole wall are:

Mode 1:

Mode 2:

where:
Mode 3:

3 COLLAPSE MANAGEMENT

where: Traditionally, wellbore stability analysis is performed

The solutions for modes 1 and 3 can be found else-
where (Cui et al. 1997). Here, for brevity we show
only the solution for mode 2:
considering only the borehole wall, in other words, the
stability window is constrained between the pressures
that generate ruptures either by compression (collapse)
or tensile (fracture) at the borehole wall. However, col-
lapse rupture is often not catastrophic and does not
adversely affect drilling.This way, it is possible to man-
age the collapse development around the borehole in
order to improve the stability window determination.
In addition, drilling with pressures close to the fracture
limit it is also dangerous, because this kind of rupture
always results in serious problems to the borehole.
A practical methodology was developed by (Arajo
et al. 2005), which allows to determine collapsed area

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 Table 1. Data set used in the computational analysis.

Vertical depth 1800 m

Overburden gradient 21.07 kPa/m
Maximum horizontal stress gradient 16.85 kPa/m
Minimum horizontal stress gradient 15.32 kPa/m
Pore pressure gradient 9.58 kPa/m
Geothermal gradient 4.5 102 C/m
Original solute concentration 20 kg/m3
Wellbore diameter 0.20 m
Young modulus 2200 MPa
Drained Poissons ratio 0.22
Fluid diffusion coefficient 4 108 m2 /s
Porosity 0.40
Biots coefficient 0.9
Solute molar mass (CaCl2 ) 0.111 kg/mol
Figure 2. Collapsed area around the borehole versus drilling Reflection coefficient 0.046
fluid pressure. Solute dissociation factor (CaCl2 ) 2.601
Pore fluid density 1000 kg/m3
Swelling coefficient 0 MPa
values around the borehole corresponding to a given
Effective solute diffusion coefficient 2.95 1011 m2 /s
drilling fluid pressure range. Figure 2 shows schemati- Cohesion 3 MPa
cally the methodology. Ay represents the ratio between Friction angle 28.4
the collapsed area and the borehole area, which devel-
ops due to drilling fluid pressure Pw .
In Figure 2 LCP indicates the lower collapse pres-
sure, UCP the upper collapse pressure and UFP
the upper fracture pressure. Traditionally, the mud
weight window (MWW) is constrained between LCP
and UFP. Basically, the methodology allows drilling
the borehole with a mud pressure less than LCP, which
will generate a specific collapsed area. Notice that the
traditional mud weight window is narrower than the
proposed using the methodology.
In addition, it is important to mention that the meth-
odology allows the use of any stress model and failure
criterion. In this work, pore pressure and stresses
are calculated through the chemoporoelastic model
described in the previous section, and the failure
criterion used was the modified Lade (Ewy 1999).

4 COMPUTATIONAL ANALYSIS Figure 3. Collapsed area as a function of the drilling fluid

A borehole drilled through a shale in an anisotropic
stress field is taken as example. The main goal of the
analysis is to determine the benefits of dimensioning
the solute concentration in the drilling fluid composi-
tion on the pore pressure penetration, and consequently
on the borehole stability. Table 1 shows the data set
used in the analysis. The fluid diffusion coefficient,
reflection coefficient and effective solute coefficient
were determined in Part I, using the sample CP31.
Figure 3 shows the collapsed area as a function of
the drilling fluid pressure, 30 min after drilling. Notice
that in this particular case, collapse will occur for
any drilling fluid pressure. Therefore, it is impor-
tant to select the minimum value of the drilling fluid
pressure based on the maximum allowed value of
the collapsed area. Notice that the chemoporoelastic
pressure 30 min after drilling.
simulation results in a safer situation than the poroelas-
tic simulation.This occurs due to the chemical gradient
between the drilling fluid and the shale, which gener-
ates an osmotic pressure that slows down the pore pres-
sure penetration into the shale as shown in Figure 5.
In a similar way, Figure 4 shows the collapsed area
around the borehole, as a function of the drilling fluid
pressure, 1 day after drilling. Notice that the poroelas-
tic simulation shows a significant growth of the col-
lapsed area, now, larger than 5% for any drilling fluid
pressure. Actually, the situation could be even worse,
because if the solute concentration in the drilling
fluid is less than the solute concentration in shale, the
osmotic flow will reverse, and as a consequence, the
pore pressure penetration will increases.

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 Figure 4. Collapsed area as a function of drilling fluid
pressure 1 day after drilling.
Figure 5. Pore pressure penetration into the shale 30 min
after drilling.
In an opposite way, chemoporoelastic simulation
shows that an adequate specification of the solute
concentration in the drilling fluid results in the main-
tenance of the wellbore stability. Even 1 day after
drilling, there are values of drilling fluid pressure that
maintain the collapsed area less than 5%. Figure 6
clearly shows that the mechanical support from the
drilling fluid pressure, when applying chemoporoelas-
tic model, does not dissipate, because the pore pressure
penetration is avoided.
5 CONCLUSIONS
A wellbore stability analysis in shale was carried
out incorporating chemoporoelasticity. The chemo-
poroelastic effects were incorporated through realistic
parameters determined from shale samples.
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Copyright 2006 Taylor & Francis Group plc, London, UK
Figure 6. Pore pressure penetration into the shale 1 day after
drilling.
The results clearly show how chemical effects can
improve wellbore stability. A solute concentration in
the drilling fluid high than the solute concentration
in the shale generates an osmotic pressure that slow
down the pore pressure penetration. Even one day
after drilling, the osmotic pressure contributes to main-
tain the mechanical support on the borehole wall, and
consequently its stability.
The analysis also pointed out that if chemical
effects are neglected the wellbore stability problems
can increase, mainly, as the time progress, in agree-
ment with the industry practice, that always report that
wellbore stability in shales are time-dependent.
In addition, the results indicate that wellbore stabil-
ity problems in shales cannot be solved just specifying
the drilling fluid pressure, because when using water-
based fluids the pore pressure penetration always
occurs, and can only be reduced controlling other prop-
erties of the drilling fluid, in particular, the solute
concentration.
ACKNOWLEDGMENTS
This paper was developed during the PhD work of the
first author, who would like to thank FAPERJ (Foun-
dation of Support to the Research of the State of Rio de
Janeiro) for the scholarship granted during his course.
Thanks are extensive to PETROBRAS for the finan-
cial support to wellbore stability project at Pontifical
Catholic University of Rio de Janeiro.
REFERENCES
Arajo, E.M.P. 2005. A Coupled Thermochemoporoelastic
Model for Wellbore Stability Analysis in Shales. PhD
Thesis (in Portuguese). Rio de Janeiro: Pontifcia Univer-
sidade Catlica do Rio de Janeiro.
 Arajo, E.M.P., Fontoura, S.A.B. & Pastor, J.A.S.C. 2005. A
Methodology for Drilling Through Shales in Environ-
ments with Narrow Mud Weight Window (NMWW). IX
SPE Latin American and Caribbean Petroleum Engineer-
ing Conference. Rio de Janeiro, Rio de Janeiro, Brazil,
Paper SPE 94769: Society of Petroleum Engineers.
Chenevert, M.E. & Pernot, V. 1998. Control of Shale
Swelling Pressures Using Inhibitive Water-Based Muds.
SPE Annual Technical Conference and Exhibition. New
Orleans, Louisiana, Paper SPE 49263: Society of
Petroleum Engineers.
Cui, L., Cheng, A.H.-D. & Abousleiman, Y. 1997. Poroelas-
tic Solution for an Inclined Borehole. ASME Journal of
Applied Mechanics, 64: 3238.
Detournay, E. & Cheng, A.H.-D. 1988. Poroelastic response
of a borehole in a non-hydrostatic stress field. Int. J. Rock
Mech. Min. Sci. & Geomech. Abstr., 25(3): 171182.
Ewy, R.T. 1999. Wellbore Stability Predictions by Use of a
Modified Lade Criterion. SPE Drilling & Completion,
14(2).
98
Copyright 2006 Taylor & Francis Group plc, London, UK
Ewy, R.T. & Stankovich, R.J. 2002. Shale-Fluid Interac-
tions Measured Under Simulated Downhole Conditions.
SPE/ISRM Rock Mechanics Conference. Irving, Texas,
Paper SPE/ISRM 78160: Society of Petroleum Engineers.
Ghassemi, A. & Diek, A. 2001. Effects of Ion Transfer on
Stress and Pore Pressure Distributions Around a Bore-
hole in Shale. Rock Mechanics in the National Interest.
Washington, D.C., USA. Swets & Zeitlinger Lisse: 8591.
van Oort, E. 1994. A Novel Technique for the Investigation
of Drilling Fluid Induced Borehole Instability in Shales.
SPE/ISRM Rock Mechanics in Petroleum Engineering,
Delft, The Netherlands, Paper SPE 28064: Society of
Petroleum Engineers.
Wang, H.F. 2000. Theory of Linear Poroelasticity with Appli-
cations to Geomechanics and Hydrogeology. Princeton:
Princeton University Press.
 EUROCK 2006 Multiphysics Coupling and Long Term Behaviour in Rock Mechanics
Van Cotthem, Charlier, Thimus & Tshibangu (eds)
2006 Taylor & Francis Group, London, ISBN 0 415 41001 0

A probabilistic model for the formation of crack networks in

rocks under CO2 injection

M. Seyedi
BRGM/ARN, Orlans, France

A. Mushtaq
BRGM/ARN, Orlans, France & LMT-Cachan , Cachan, France

F. Hild
LMT-Cachan, Cachan, France

ABSTRACT: Injection of CO2 into geologic formations is being practiced today to decrease the greenhouse
gas effect, but it is not yet possible to predict with confidence storage volume, formation integrity and long term
reliability. Potential CO2 leakage towards the surface can be associated to the cracking state of the rock mass
through the permeability-fracturing state relationship. A probabilistic method based on the initial distribution of
defects is proposed to describe different aspects of the formation of crack networks in rocks under CO2 injection
conditions. Propagation of single cracks is discussed by studying the stress intensity factor variation and the
possibility of crack network formation is shown. The interaction between cracks is modeled by considering
obscuration zones corresponding to shielding effects created by each crack.

1 INTRODUCTION sealing units (caprocks and wells) of the reservoir. In

Increasing concentrations of carbon dioxide (CO2 ) and
other gases in the earth atmosphere are aggravating the
natural greenhouse gas effect and leading to unwanted
climate changes, with risks of extreme weather, ris-
ing sea level and adverse effects on agriculture and
biodiversity.
The storage of CO2 in major geological formations
such as the oil and gas tanks, deep saline reservoirs,
unminable coal beds and deep oceans is a promising
solution to decrease the effect of pollution by CO2 .
Injection of CO2 into geologic formations is being
practiced today by the petroleum industry for enhanc-
ing oil reservoirs, but it is not yet possible to predict
with confidence storage volume, formation integrity
and storage performance over long time periods.
Potential CO2 leakage towards the surface can be
associated to specific local stress states in the caprock
and sealed wells due to the heterogeneity of rock
masses, the regional stress state and the pressure
change in the reservoir. It is worth noting that all these
different aspects are coupled with each other and a
detailed study of the integrity of the reservoir requires
taking into account the hydro-mechanical behavior
of the sealing rocks and their potential cracking as
well as the long term change of temperature, pres-
sure states and physical geochemical properties of the
the present work, the crack formation due to added
pressure caused by gas injection is studied.
The failure of a rock sample has a random charac-
ter. The failure stress is scattered and the average level
decreases with the volume of the sample. The effect
of this scatter on the mass stability and its capacity to
store gas must be taken into account. In this frame-
work, the study of cracking states in the vicinity of the
reservoir is of crucial importance. The direct relation-
ship between the cracking state of the ground and its
permeability bring us to the development of models
for cracking prediction and its change with time.
The rock mass heterogeneity can be described by
the presence of defects with a random distribution.
The scatter of failure stress for rock samples can be
explained by the presence of micro-fractures (i.e. ini-
tial defects) that are at the origin of crack initiation,
causing the possible failure of the sample. A proba-
bilistic model based on a Poisson point distribution of
micro-fractures is used to describe this random char-
acter by relating the material microstructure and its
macroscopic behavior.
First, the probabilistic aspects are studied for an iso-
lated crack nucleated on the inner surface of a hollow
cylinder with an internal pressure increase. Nucleation
and propagation of an isolated crack is discussed and
an arrest probability of the crack is investigated.

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Copyright 2006 Taylor & Francis Group plc, London, UK

 Second, we focus on the formation of multiple
cracks in a network. The existence of each crack modi-
fies the stress field. Shielding and amplification zones
are created around the crack. The shielding effect can
be explained by considering the influence of these
zones on the propagation of the other cracks (e.g., the
compliance of a structure is strongly influenced by a
crack loaded in mode I; conversely, it is not influenced
in the crack direction). The possible interaction bet-
ween initiated cracks is modeled by introducing a
shielding probability for each initiated crack based on
the material heterogeneity.

2 CRACK INITIATION CONDITION

2.1 General assumptions

Figure 1. Reservoir or injection well idealized as a hollow
Two phases can be distinguished during the gas storage cylinder under internal pressure.
process.The first one is the injection phase. During this
phase the internal pressure of the reservoir increases. where Y is a dimensionless geometry parameter and
This pressure reaches its maximum value at the end of the applied stress. The propagation occurs when K
the injection phase and then remains constant during is greater than the fracture toughness KIc . By con-
the second phase.To study how this added pressure will sidering the above-mentioned definition of the stress
change the mechanical equilibrium of the rock mass intensity factor, the initiation stress i of each crack
and what will be the change of crack and fracture net- can be related to its initial size a by
works existing in the rock following the injection, two
hypotheses can be considered for the crack network
formation.
The first one assumes that the cracks start to prop-
agate from initial flaws. In this case, crack initiation is Let us idealize the geometry of an injection well and
defined as the onset of propagation of an existing flaw the reservoir as a hollow cylinder (Fig. 1) to demon-
(modeled as an existing crack) when the injection pres- strate the initiation conditions in these two cases with
sure increases. No new crack initiation occurs after the the closed-form solutions. The stress components read
end of the injection phase, only sub critical propagation
can start when the pressure is maintained. The second
hypothesis consists of continuous crack initiation as
well as propagation after the application of pressure.
In the present work, we consider the first hypothe-
sis to model the formation of crack networks in a
rock mass.
By considering rocks as a brittle material, the weak-
est link hypothesis (Freudenthal 1968) can be made
and a two-parameter Weibull model (Weibull 1939) where pint is the internal pressure, R and Q the internal
can be used to describe the scatter of failure stresses and external radii of the cylinder, r the radial coordi-
nate and the Poissons ratio. The stress heterogeneity
factor characterizes the effect of the load pattern on the
cumulative failure probability (H = 1 when a domain
is loaded in pure tension). By considering that the hoop
where PF is the failure probability, H a stress hetero- stress is the main cause of cracking, the stress het-
geneity factor, S the surface, S0 0m the Weibull scale erogeneity factor can be obtained from the following
parameter, the applied stress and m the Weibull equation
modulus.
Let us assume that the initial size of crack is a.
Its propagation is driven by the stress intensity factor
(SIF)
where d = rdrd and f the failure stress in ten-
sion. On the inner surface of the cylinder (i.e., r = R),

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Copyright 2006 Taylor & Francis Group plc, London, UK

 Figure 2. Stress heterogeneity factor as a function of m Figure 3. The effect of the Q/R ratio on the initiation
and Q/R. probability.

Equation (5) can be integrated as a series expansion

when m is an integer

where i is the coefficient of the series expansion and

equals

The values of H as a function of m and the ratio Q/R

are plotted in Fig. 2. The results show that when Q/R
tends to one, H also tends to one. In other words,
a quasi-uniform stress field exists. Conversely, when
Q/R increases, the stress field becomes more hetero-
geneous and the value of H decreases. This trend is
more important for larger values of m.
Figure 4. The effect of the S/S0 ratio on the initiation
probability.
2.2 Crack initiation probability
Equation (1) defines the failure probability when the
field is more heterogeneous, the initiation probability
weakest link condition can be considered. Let us con-
decreases.
sider that the crack initiation process at each point is
Figure 4 shows the variation of the initiation prob-
independent of the other points. The crack initiation
ability as a function of the normalized failure stress in
probability can be described by Equation (1). Substi-
tension for different values of S/S0 . This plot exem-
tuting the value of H in Equation (1), the initiation
plifies the scale effect on the initiation probability.
probability is plotted for different values of Q/R and
The initiation probability increases with an increasing
S/S0 as a function of normalized failure stress in Fig. 3
loaded surface for the same pressure level.
and 4. For a given value of m, H decreases when Q/R
increases. Consequently, for the same pressure level,
the crack initiation probability is smaller for the big- 2.3 Average crack radius
ger values of Q/R. When the stress heterogeneity is Let us now find the average radius of cracking in
close to one, all points are loaded in the same manner. a hollow cylinder submitted to an internal pressure.
On the other hand, when Q/R increases, i.e. the stress The survival probability of all elements for an inner

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Copyright 2006 Taylor & Francis Group plc, London, UK


Figure 5. The effect of material heterogeneity on the average
cracking radius.
pressure equal to pint is (Oh & Finnie 1970)
where pr is the failure probability of the element
located at ri and PF the failure probability that can
be rewritten from Equation (1) as
By substituting the definition of the stress hetero-
geneity factor (H ) in Equation (9) and considering
only the first order terms, the derivative of the failure
probability becomes
If Equation (10) is integrated as a function of inter-
nal pressure pint and the polar coordinates r and , the
average crack radius is expressed as
where r/R is the normalized average crack radius in a
hollow cylinder submitted to an internal pressure and
x = Q/R. Figure 5 shows the variation of the average
crack radius as a function of the Q/R ratio for different
values of the Weibull modulus m. When the Weibull
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Copyright 2006 Taylor & Francis Group plc, London, UK
modulus decreases, the average crack radius increases.
A high value of m corresponds to a small scatter in
the material properties. The cracks will initiate where
the stress level is the highest. Thus by increasing the
value of m, the average cracking radius tends to one,
which means close to the inner surface of the cylinder.
These results show that in all analyzed cases, initiation
is concentrated close to the inner surface because of
the stress heterogeneity. In the following analyses it is
assumed that initiation occurs on the inner surface.
3 CRACK NETWORK FORMATION
In this paragraph, first, we study the propagation of a
single crack through the thickness of a hollow cylin-
der. With this study, it is shown that a crack network
will be formed as a consequence of an applied internal
pressure if a crack can be initiated. Second, a proba-
bilistic model is introduced to study the formation of
crack networks.
3.1 Propagation of a single crack
Let us consider an edge crack on the inner surface of a
thick hollow cylinder submitted to an internal pressure
pint . The stress intensity factor K can be considered as
the main factor that governs the propagation of the
crack. To study whether a crack will grow or stop,
the SIF value is compared with the fracture toughness
KIC for different crack lengths as the applied internal
pressure increases. Finite element calculations were
performed and the results are plotted in Fig. 6. Two
opposite trends can be distinguished in the change of
the stress intensity factor as a function of the crack
length. This trend change is the result of a compe-
tition between the effects of crack length and stress
level in the studied body. The stress intensity factor
is a function of the square root of the crack length
and the applied stress. As the crack length a increases,
the stress level decreases. In the first part, the crack
length effect is predominant and K increases when a
increases. However in the second part, the stress level
predominates and K decreases when a increases. Fig-
ure 6 shows that a crack will be initiated as soon as
the K value reaches the fracture toughness. The cracks
will grow by increasing the inner pressure. When the
applied pressure reaches the maximum value, the crack
continues to propagate and stops when K becomes less
than KIC .
These results show that a single crack will stop after
propagating up to a given length for which the stress
intensity factor becomes less than the fracture tough-
ness. As a first crack stops, another one can be initiated
on a second initiation site. The second crack will stop
for the same length and a third one can be initiated and
this series can continue. It means that a crack network
will be formed.

Figure 6. Study of the propagation of single cracks through
the comparison between stress intensity factor and fracture
toughness.
3.2 Probabilistic treatment of crack network
formation
Let us assume that all cracks will initiate at one of the
initial defects randomly distributed within the mate-
rial. A power law of the applied stress can model the
density of the defects
where m and 0m /0 are material-dependent parameters
and <> the Macauley brackets. By making the weak-
est link assumption, a two-parameter Weibull model in
which m is the Weibull modulus and 0m /0 the scale
parameter (Gulino & Phoenix 1991; Jeulin 1991) can
be used to find the failure probability. In this setting,
the material microstructure is modeled by the Weibull
parameters.
Of all the defects, potential crack propagation sites,
only a fraction will actually propagate. When the local
stress intensity factor K > KIC , it is assumed that a
crack will start to propagate. When a crack is initi-
ated in mode I, the local stress state is modified in
its vicinity. To understand why a crack nucleates, one
has to model the interaction of the zone (i.e. volume,
surface or length) affected by the stress decrease and
other defects that would nucleate. The behavior of a
flaw around a nucleated crack can be described by two
different cases:
the flaw is far from the nucleated crack and the
microscopic stress state is not affected,
the flaw is in the relaxation zone and the microscopic
tensile stress is less than the applied stress, i.e. no
crack is emanating from this potential initiation site.
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Copyright 2006 Taylor & Francis Group plc, London, UK
The obscuration (i.e. relaxation) zone is the key
quantity that describes the interaction between ini-
tiated cracks and defects. The obscuration zone can
be defined as a zone in which the local stress is
smaller than applied stress. Finite element calculations
(Mushtaq 2005) show that its size is proportional to the
applied pressure pint and a power function can be used
as a first estimation of the obscuration zone size Zobs
where A is a constant and n the space dimension (n =
1, 2 or 3). The initial defect distribution characterized
by t can be split into two parts and the average density
of cracks can be written as
where Zb ( p) denotes the mean number of cracks in a
zone of measure Z for an applied pressure less than or
equal to p. The subscripts indicate the cracking density
(b), the obscured density (obs), and the total defect
density (t).
Furthermore, we assume that the total defect dis-
tribution is modeled by a Poisson point process of
intensity t . New cracks will initiate only if a defect
exists in the considered zone and if no cracks obscure
it, so that
where 1 Pobs is the probability that no cracks obscure
the defect. The variable 1 Pobs can be split into an
infinity of events defined by the probability of finding
at p a new defect during a stress increment dp in an
obscuration zone Zobs ( p). This probability increment
is written by using a Poisson point process of inten-
sity dt /dp. These independent events can be used to
obtain an expression for Pobs
At the beginning of loading, no interaction occurs and
b ( p) = t ( p) and as more and more cracks nucleate,
b ( p)  t ( p). It is expected that the crack density
saturates when p + even though the total defect
density may approach infinity.
One can define a characteristic density c and a
characteristic pressure pc as follows
and

Figure 7. Obscuration probability and normalized crack
density as functions of the normalized applied pressure
(m = 10).
Figure 8. Effect of the Weibull modulus on the cracking
density.
from the condition
Using these characteristic quantities, an analytical
solution is given for the differential equation (15)
where is the incomplete gamma function and the
subscript c denotes characteristic quantities. Figure 7
shows the saturation phenomenon and the obscuration
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Copyright 2006 Taylor & Francis Group plc, London, UK
probability change as the considered pressure becomes
greater than the characteristic pressure. The density of
cracks at saturation can be derived from Equation (20)
and is only dependent on the Weibull modulus m and
the space dimension n when normalized by c .
Figure 8 shows the effect of the Weibull modulus
on the cracking density. With a high Weibull modulus
m, the density of cracks will increase significantly in a
small stress step when the stress becomes greater than
c . Because of the stress dependence of the saturation
mechanism, many cracks nucleate before any signifi-
cant interaction and the material will be fully cracked.
If m is small, there is much more time between two
crack initiations. The first nucleated crack obscures
others before their own nucleation and only few defects
eventually nucleate cracks.
4 CONCLUSION
By using a study on the propagation of single cracks,
the possibility of the formation of crack networks
around a gas injection well or in the caprock is studied.
A probabilistic method based on a random distribu-
tion of defects considered as potential initiation sites
is proposed to describe different aspects of the forma-
tion of crack networks in rocks under CO2 injection
conditions. The total defect distribution is modeled by
a Poisson point process and the interaction between
cracks is accounted for by considering obscuration
zones. A closed-form solution was presented to cal-
culate the obscuration probability and the density of
the formed cracks in a network.
ACKNOWLEDGMENT
This work was funded by the BRGM research pro-
gramme.
REFERENCES
Freudenthal,A. M., 1968. StatisticalApproach to Brittle Frac-
ture. Fracture. H. Liebowitz (Eds.). New York (USA),
Academic Press. 2: 591619.
Gulino, R. & Phoenix, S. L., 1991. Weibull Strength Statistics
for Graphite Fibres Measured from the Break Progres-
sion in a Model Graphite/Glass/Epoxy Microcomposite.
J. Mater. Sci. 26(11): 31073118.
Jeulin, D., 1991. Modles morphologiques de structures ala-
toires et changement dchelle. Thse dtat. Universit
de Caen.
Mushtaq, A., 2005. Probabilistic model for formation and
propagation of crack networks in rock mass. MSc. thesis.
Ecole Normale Suprieure de Cachan.
Oh, H. L. & Finnie, I., 1970. On the Location of Fracture in
Brittle Solids-I Due to Static Loading. Int. J. Fract. Mech.
6(3): 287300.
Weibull, W., 1939. A Statistical Theory of the Strength of
Materials, 151, Roy. Swed. Inst. Eng. Res.
 EUROCK 2006 Multiphysics Coupling and Long Term Behaviour in Rock Mechanics
Van Cotthem, Charlier, Thimus & Tshibangu (eds)
2006 Taylor & Francis Group, London, ISBN 0 415 41001 0

Effect of pore pressure on failure mode, axial, lateral and volumetric

deformations of rock specimen in plane strain compression

X.B. Wang
Department of Mechanics and Engineering Sciences, Liaoning Technical University, Fuxin, PR China

ABSTRACT: FISH functions were written and embedded in FLAC to calculate the axial, lateral and volumetric
strains as well as the ratio of negative lateral strain to axial strain (called the calculated Poissons ratio in plane
strain compression, which is different from Poissons ratio in elastic stage) of rock specimen in plane strain
compression. The influence of pore pressure on pattern of shear band and entire deformational characteristics
was numerically investigated. In elastic stage, the adopted constitutive relation of rock was linear elastic. Beyond
the peak stress, a composite Mohr-Coulomb criterion with tension cut-off was used and the post-peak constitutive
relation was linear softening. Numerical results show that higher pore pressure leads to larger failure zone, steeper
shear bands inclination closer to Arthurs predictions, lower peak stress, lower absolute values of axial, lateral
and volumetric strains corresponding to the peak stress. Lower pore pressure has not an influence on the slopes
of stress-axial strain curve and stress-lateral strain curve beyond the peak stress since the failure mode of the
specimen is independent of pore pressure. However, for higher pore pressure, the number of failed elements is
greatly increased, leading to less steep post-peak stress-axial strain curve and stress-lateral strain curve. For higher
pore pressure, higher lateral deformation and higher calculated Poissons ratio as well as negative volumetric
strain can be reached at the same axial strain. No apparent difference in precursors to unstable failure of rock
specimen is observed with an increase of pore pressure. In strain-softening stage, the slopes of lateral strain-axial
strain curve, Poissons ratio-axial strain curve and volumetric strain-axial strain curve are not influenced by pore
pressure; owing to the apparent lateral expansion, the calculated Poissons ratio can exceed 0.5, as is consistent
with some experimental measurements.

1 INTRODUCTION
Fluids play an important role in some seriously natural
hazards, such as reservoir-induced earthquake, land-
slide, liquefaction and gas outburst. In areas where
potentially active faults are already close to failure,
the increased pore pressure resulting from fluid injec-
tion or, alternatively, the massive extraction of fluid or
gas, can induce sufficient stress and/or strain changes
that, with time, can lead to sudden catastrophic failure
in a major earthquake (Nicholson & Wesson 1992).
Injection-induced earthquakes typically result from
the reduction in frictional strength along preexisting
faults. For overconsolidated clays, earthquake loading
can generate significant excess pore water pressures at
depth, which can bring the slope to a state of instabil-
ity during the event or at a later time as a result of
pore pressure redistribution within the soil profile
(Biscontin et al. 2004). Liquefaction is a result of
increased pore pressure which decreases effective
stress.
Some researchers have investigated the effect of
pore pressure on mechanical properties of rock and
coal specimens (Yao & Zhou 1992, Liang et al. 1995,
Lu et al. 2001). However, usually only stress-axial
strain curves for different pore pressures are measured.
Moreover, since experimental tests are carried out in
a pressure chamber, it is difficult to monitor the pro-
cesses of deformation and failure within the specimen.
Numerical simulation can overcome the shortcomings
of experimental tests.
FLAC is an explicit finite-difference code that
can effectively model the behaviors of geomaterials,
undergoing plastic flow as their yield limits are
reached. Compared with the conventional finite-
element methods, FLAC has some marked advan-
tages: the plastic flow is accurately modeled because
mixed discretization scheme is adopted; the phys-
ically unstable processes and strain localization are
simulated without numerical distress partly due to
the use of full dynamic equations of motion; and
the arbitrary nonlinearity in constitutive relations are
solved numerically using an explicit finite difference
approach so that no any matrices needs to be saved.
To obtain a further understanding of the local-
ized failure of a rectangular specimen composed of

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Copyright 2006 Taylor & Francis Group plc, London, UK

 isotropic strain-softening material beyond the peak v0
stress in plane strain compression with or without
material imperfections, Wang et al. (2001 ab, 2002
ac, 2003 a) and Wang & Li (2005) numerically
investigated the effects of height and width of rock
specimen, strain rate, shear dilatancy, pore pressure
and end-constraint on pattern of shear bands, fields of
velocity and displacement, macroscopically mechan-
ical behaviors and distribution of plastic zone. Wang
et al. (2002 d, 2004 a) numerically investigated shear
bands of borehole and seismic model composed of
blocks. The numerical results (Wang 2005 a) in biax-
ial plane strain and dynamic compression reveal a
few seismic phenomena, such as shear localization,
anomaly in shear strain rate and its evolution, gap,
migration and periodicity in earthquake activities,
field precursor and source precursor. In addition, the
Material
lateral deformational characteristics of rock specimen
imperfection
with a material imperfection (Wang 2005 b), the end-
restraint effect of three-dimensional rock specimen
(Wang 2005 c), the deformation and failure processes
for shear band-elastic body system (Wang 2004 c)
and the effect of dilation angle on deformation, failure
and stability of the system (Wang 2004 b) have been
Figure 1. Model geometry and boundary conditions.
modeled.
Wang et al. (2001 a) studied the effect of pore pres-
sure on stress-strain curve and pattern of shear bands with the same area of 0.00125 m 0.00125 m. To trig-
of rock specimen in plane strain compression. The ger the asymmetrical deformational modes, no any
following conclusions were drawn: (1) higher pore material property is provided for the four elements
pressure leads to steeper shear band (increase of incli- near the lower-left corner of the specimen.
nation angle of shear band); (2) two conjugate shear In elastic stage, the constitutive relation is lin-
bands become less apparent with an increase of pore ear elasticity. Shear and bulk moduli are 11 GPa and
pressure; (3) for higher pore pressure, the tensile fail- 15 GPa, respectively. The adopted failure criterion is
ure occurs within the specimen so that no shear band a composite Mohr-Coulomb criterion with tension
is observed; and (4) pore pressure decreases the peak cut-off and the tension strength is 0.2 MPa. Beyond
stress. However, the modeled specimen is loaded at the the yield strength, a linear strain-softening relation
top and base of the specimen. Only the axial stress of is selected and the variation of cohesion and friction
an element at the top of the specimen is monitored. angle with plastic strain is shown in Fig. 2.
In addition, the specimen is intact and no material Five schemes for calculation are adopted in the
imperfection is prescribed. present paper. From scheme 1 to 5, pore pressure is
In the paper, the effect of pore pressure on fail- 0, 0.05, 0.1, 0.15 and 0.175 MPa, respectively. Rock
ure process and mode, axial, lateral and volumetric generally appears weaker when the pore spaces con-
strains of rock specimen with a material imperfection tain a pore fluid under pressure. This is represented in
in plane strain compression were numerically investi- FLAC by the incorporation of an effective stress that
gated. Some FISH functions were written and embed- accounts for the presence of pore pressure in a zone.
ded in FLAC to calculate the entire characteristics of The pore pressures in FLAC are taken to be positive in
deformations. compression. Thus, the effective stress
(negative in
compression) is related to the total stress and pore
2 CONSTITUTIVE RELATION AND MODEL pressure p by

See Fig. 1, the height and width of rock specimen is

L = 0.1 m and B = 0.05 m, respectively. The specimen
in plane strain condition is loaded at a constant veloc-
ity of v0 = 4 1010 m/timestep at the top. At the base,
the vertical displacement boundary fixes the vertical
freedom. At the top and base no horizontal friction
exists. The specimen is divided into square elements
In each scheme, all elements have the same pore pres-
sure remaining a constant. Moreover, the fluid does not
flow. That is to say, the present numerical predictions
are more applicable to rapid or dynamic compressive
test.

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Copyright 2006 Taylor & Francis Group plc, London, UK

 0.3
0.25
Cohesion/MPa

0.2
0.15
0.1
0.05
0
0 1 2 3 4 5
Plastic strain/10-3
(a)

46
Friction angle /Degree

44
42
40
38
36
0 1 2 3 4 5 Figure 3. Effect of pore pressure on failure process and pat-
Plastic strain/10-3
tern of rock specimen (ab) 0 MPa; (cd) 0.05 MPa; (ef )
(b) 0.1 MPa; (gh) 0.15 MPa; (ij) 0.175 MPa.

Figure 2. Post-peak constitutive relation of concrete

between plastic strain, friction angle and cohesion.
displacement. Using the total displacement and n, we
can get the average displacement. Next, the average
lateral strain l can be obtained if the average dis-
3 FISH FUNCTIONS CALCULATING AXIAL, placement is divided by the width of the specimen.
LATERAL AND VOLUMETRIC STRAINS AS In Equation 3, l is negative for lateral expansion.
WELL AS POISSONS RATIO Volumetric strain v is calculated as

Functions with which axial, lateral and volumetric

strains as well as Poissons ratio are calculated in
FLAC are not provided, leading to inconvenience in
investigating the deformation, failure and instability. The Poissons ratio v in plane strain compression is
Herein, FISH functions are written and then embed- expressed as
ded into FLAC to calculate the entire deformational
characteristics of rock specimen.
Axial strain a of rock specimen is defined as

4 RESULTS AND DISCUSSIONS

where L is the length of the specimen; and a is positive
for axial contraction.
Experiments show that lateral deformation of rock
specimen in compression is nonuniform. Herein, the
average lateral strain l is
where B is the width of the specimen; and n is the
number of nodes at one lateral edge of plane spec-
imen. Parameters ui and vi are displacements at the
same height at left and right edges of the specimen,
respectively. ui vi is the relative horizontal displace-
ment. Summing the displacement leads to the total
4.1 Effect of pore pressure on pattern of failure
Figs. 3(aj) show the influence of pore pressure on
failure process and pattern of rock specimen. Black
elements mean that these elements have yielded, while
white elements always remain elastic state.
Timesteps of each picture are also given in Fig. 3.
For example, the timesteps t of Fig. 3(a) are 10000.
According to the timesteps, we can calculate the axial
strain (a ). For example, in Fig. 3(a), a = v0 t/L =
4 1010 104 /101 = 4 105 .
The yielded elements always initiate in the vicinity
of material imperfection. For lower pore pressure, see
Figs. 3(b) and (d), the yielded elements from a narrow
and inclined shear band intersecting the specimen. In

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Copyright 2006 Taylor & Francis Group plc, London, UK

 other words, for lower pore pressure, the observed fail-
ure mode of the specimen is a single shear failure and
the influence of pore pressure is negligible.The present
numerical predictions agree with the previously exper-
imental results (Liao 1983) showing that the effect of
water on failure formation is less apparent for lower
porosity and higher strength rock.
For higher pore pressure, see Figs. 3(f ), (h) and ( j),
the failure patterns are complex. Many elements yield
so that larger area of plastic zone is expected. Not
only some elements within rock specimen yield, but
also some elements at the two edges of the specimen
enter the stage of plastic deformation. Since a number
of yielded elements appear for higher pore pressure,
much energy will be absorbed or dissipated by the
specimen.
According to Coulombs, Roscoes andArthurs incli-
nations (Ord et al. 1991, Vardoulakis 1980, Vermeer Figure 4. Stress-axial strain curves for different pore
1990), shear bands inclination depends on the initial pressures.
friction angle and dilation angle of rock. Herein, they
are 44 and 0 , respectively. The predicted inclinations
by the three theoretical expressions are 67 , 45 and
56 , respectively. Apparently, shear bands inclination
of 62 is closer to Arthurs inclination that is believed
to be closer to the experimental data.

4.2 Characteristics of axial and lateral strains

Figs. 46 show the effect of pore pressure on stress-
axial strain curve, stress-lateral strain curve and lateral
strain-axial strain curve, respectively. The black point
corresponds to the onset of strain-softening behavior
of stress-axial strain curve.
The peak stress and the corresponding axial strain
decrease with an increase of pore pressure. The abso-
lute value of lateral strain corresponding to the peak
stress also decreases with pore pressure. These pre- Figure 5. Stress-lateral strain curve for different pore
pressures.
dicted results are consistent with many experimental
measurements.
Prior to the peak stress, the stress-axial strain curve
and the stress-lateral strain curve exhibit a certain fluc-
tuation; no obvious difference in the slopes of the two
curves is observed for different pore pressures.
For lower pore pressure (0 p 0.1 MPa), the
slopes of the post-peak stress-axial strain curve and
stress-lateral strain curve are independent of pore
pressure. For higher pore pressure (0.15 MPa p
0.175 MPa), the post-peak slopes of the two curves
become less steep with an increase of pore pressure.
The reasonableness of the obtained numerical
results can be explained by the previously analytical
solutions of the post-peak stress-axial strain curve and
stress-lateral strain curve for rock specimen in uniaxial
compression subjected to shear failure (Wang & Pan
2003, Wang et al. 2003 b, 2004 b). The two solutions
show that the post-peak slopes of the two curves are Figure 6. Lateral strain-axial strain curves for different
influenced by constitutive parameters of rock (elastic pore pressures.

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Copyright 2006 Taylor & Francis Group plc, London, UK

 modulus, softening modulus, shear bands number and
thickness dependent on characteristic length of rock),
geometrical size of rock specimen (height and width)
and orientation of shear band.
As mentioned before, for lower pore pressure the
failure mode of the specimen is not influenced by pore
pressure. That is to say, the width and the orientation of
shear band are independent of pore pressure. Hence,
for lower pore pressure the post-peak slopes of stress-
axial strain curve and stress-lateral strain curve are not
concerned with pore pressure.
For higher pore pressure, see Figs. 3(h) and ( j), the
plastic zone becomes wider as pore pressure increases,
leading to much dissipated energy. Moreover, lower
peak stress is reached for higher pore pressure, see
Figs. 4 and 5. Consequently, the softening branches
of stress-axial strain curve and stress-lateral strain
curve will become less steep. Thus, a great deal
of energy consumed by many elements undergoing
plastic deformations can be provided.
See Fig. 6, the pre-peak and post-peak slopes of
lateral strain-axial strain curve are not influenced by
pore pressure. For higher pore pressure, the value of
lateral strain corresponding to the peak stress is higher.
4.3 Pre-peak and post-peak Poissons ratios
Fig.7 shows the influence of pore pressure on Poissons
ratio-axial strain curve. The black point corresponds
to the peak of stress-axial strain curve.
The Poissons ratio-axial strain curve can be clas-
sified into three stages. The first stage corresponds
to the initial loading stage. For lower axial strain, the
deformed region within the specimen is near the top of
the specimen. Undeformed part progressively dimin-
ishes with an increase of axial strain until it vanishes.
At the two edges of the undeformed region, no lat-
eral expansion can be monitored. Thus, the average
Figure 7. Possions ratio-axial strain curves for different
pore pressures.
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Copyright 2006 Taylor & Francis Group plc, London, UK
lateral expansion will be underestimated according to
Equation 3 before a certain timesteps.
In the second stage, Poissons ratio remains a con-
stant, reflecting the uniform deformation within the
specimen.
In the third stage, Poissons ratio rapidly increases
owing to the apparent lateral expansion of the speci-
men; the slope of the Poissons ratio-axial strain curve
does not depend on pore pressure. For higher pore pres-
sure, rock specimen can obtain higher Poissons ratio at
the same axial strain. Poissons ratio beyond the black
point can be called the post-peak Poissons ratio that
can exceed 0.5. Some researchers have reported the
unusual experimental phenomenon (Zhu et al. 2001).
Wang (2004 a) derived an analytical solution of the
post-peak Poissons ratio for rock specimen in uniax-
ial compression subjected to shear failure in the form
of shear band. The solution shows that the post-peak
Poissons ratio can exceed 0.5.
4.4 Characteristics of volumetric strain
Figure 8 depicts the effect of pore pressure on volumet-
ric strain-axial strain curve. Black point corresponds
to the onset of strain-softening stage. With an increase
of pore pressure, the peak of volumetric strain and
the corresponding axial strain decrease. Therefore, dry
rock specimen ( p = 0) can reach the minimum volume.
Rock specimen under higher pore pressure dilates
earlier than that subjected to lower pore pressure. The
present numerical results are consistent with the pre-
vious experiments (Wu 1981) showing that saturated
rock expands earlier than dry rock. At pre-peak and
post-peak, the effect of pore pressure on the slope of
volumetric strain-axial strain curve is less apparent.
For lower pore pressure, the volumetric strain is
always positive. That is to say, the deformed rock
specimen is smaller than the undeformed specimen.
However, for higher pore pressure, the deformed rock
specimen finally can exceed the initial volume so that
the volumetric strain is negative. That is to say, the
shear dilatancy is more apparent for the specimen
subjected to higher pore pressure. The present results
agree with the previously experimental observations
(Wu 1981).
4.5 Precursors to unstable failure
As we know, the unstable failure of rock specimen
takes place in strain-softening stage of stress-axial
strain curve once the post-peak stiffness of testing
machine is lower than that of rock specimen. As men-
tioned before, stress fluctuates prior to the peak stress
so that it is difficult to identify the precursors to
the unstable failure from stress-axial strain curve and
stress-lateral strain curve.

Figure 8. Volumetric strain-axial strain curves for different
pore pressures.
It is found from Figs. 68 that before the peak stress
is reached, lateral strain-axial strain curve, Poissons
ratio-axial strain curve and volumetric strain-axial
strain curve obviously deviate from linear states. The
deviation can be seen as precursors to the unstable
failure. Larger deviation leads to more apparent pre-
cursors. Figs. 68 show that that no apparent difference
in the precursors is observed with an increase of pore
pressure.
5 CONCLUSIONS
The increased pore pressure leads to the transition of
failure modes from a single shear fracture to complex
shear failure. The number of yielded elements also
increases with an increase of pore pressure. For differ-
ent pore pressures, shear bands inclinations are closer
to Arthurs theory.
For lower pore pressure, the post-peak slopes of
stress-axial strain curve and stress-lateral strain curve
are not concerned with pore pressure. According to
the previously analytical solutions, this is due to the
failure mode independent of pore pressure.
For higher pore pressure, many elements within
rock specimen and at the two edges of the specimen
yield; lower peak stress is expected. The numer-
ically predicted post-peak stress-axial strain curve
and stress-lateral strain curve exhibit slightly ductile
behaviors.
With an increase of pore pressure, peak stress, axial
and volumetric strains corresponding to the peak stress
and the absolute value of lateral strain corresponding
to the peak stress decrease. For higher pore pressure,
rock specimen can reach larger lateral expansion at the
same axial strain. Thus, higher Poissons ratio can be
110
Copyright 2006 Taylor & Francis Group plc, London, UK
expected and the deformed volume of the specimen
can exceed the initial volume.
Beyond the peak stress, the slopes of lateral strain-
axial strain curve, Poissons ratio-axial strain curve and
volumetric strain-axial strain curve are not influenced
by pore pressure. No apparent difference in precursors
to unstable failure of rock specimen is observed with
an increase of pore pressure.
The present numerical predictions confirm the fol-
lowing experimental phenomena concerned with pore
pressure: higher pore pressure leads to lower peak
stress; saturated rock specimen dilates earlier than dry
specimen; saturated rock specimen has more apparent
shear dilatancy; and failure mode of higher strength
rock is not influenced by pore pressure.
ACKNOWLEDGEMENTS
The study is funded by the National Natural Science
Foundation of China (50309004).
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 EUROCK 2006 Multiphysics Coupling and Long Term Behaviour in Rock Mechanics
Van Cotthem, Charlier, Thimus & Tshibangu (eds)
2006 Taylor & Francis Group, London, ISBN 0 415 41001 0

Effect of pore pressure on failure mode, axial, lateral and volumetric

deformations of rock specimen in plane strain compression

X.B. Wang
Department of Mechanics and Engineering Sciences, Liaoning Technical University, Fuxin, PR China

ABSTRACT: FISH functions were written and embedded in FLAC to calculate the axial, lateral and volumetric
strains as well as the ratio of negative lateral strain to axial strain (called the calculated Poissons ratio in plane
strain compression, which is different from Poissons ratio in elastic stage) of rock specimen in plane strain
compression. The influence of pore pressure on pattern of shear band and entire deformational characteristics
was numerically investigated. In elastic stage, the adopted constitutive relation of rock was linear elastic. Beyond
the peak stress, a composite Mohr-Coulomb criterion with tension cut-off was used and the post-peak constitutive
relation was linear softening. Numerical results show that higher pore pressure leads to larger failure zone, steeper
shear bands inclination closer to Arthurs predictions, lower peak stress, lower absolute values of axial, lateral
and volumetric strains corresponding to the peak stress. Lower pore pressure has not an influence on the slopes
of stress-axial strain curve and stress-lateral strain curve beyond the peak stress since the failure mode of the
specimen is independent of pore pressure. However, for higher pore pressure, the number of failed elements is
greatly increased, leading to less steep post-peak stress-axial strain curve and stress-lateral strain curve. For higher
pore pressure, higher lateral deformation and higher calculated Poissons ratio as well as negative volumetric
strain can be reached at the same axial strain. No apparent difference in precursors to unstable failure of rock
specimen is observed with an increase of pore pressure. In strain-softening stage, the slopes of lateral strain-axial
strain curve, Poissons ratio-axial strain curve and volumetric strain-axial strain curve are not influenced by pore
pressure; owing to the apparent lateral expansion, the calculated Poissons ratio can exceed 0.5, as is consistent
with some experimental measurements.

1 INTRODUCTION
Fluids play an important role in some seriously natural
hazards, such as reservoir-induced earthquake, land-
slide, liquefaction and gas outburst. In areas where
potentially active faults are already close to failure,
the increased pore pressure resulting from fluid injec-
tion or, alternatively, the massive extraction of fluid or
gas, can induce sufficient stress and/or strain changes
that, with time, can lead to sudden catastrophic failure
in a major earthquake (Nicholson & Wesson 1992).
Injection-induced earthquakes typically result from
the reduction in frictional strength along preexisting
faults. For overconsolidated clays, earthquake loading
can generate significant excess pore water pressures at
depth, which can bring the slope to a state of instabil-
ity during the event or at a later time as a result of
pore pressure redistribution within the soil profile
(Biscontin et al. 2004). Liquefaction is a result of
increased pore pressure which decreases effective
stress.
Some researchers have investigated the effect of
pore pressure on mechanical properties of rock and
coal specimens (Yao & Zhou 1992, Liang et al. 1995,
Lu et al. 2001). However, usually only stress-axial
strain curves for different pore pressures are measured.
Moreover, since experimental tests are carried out in
a pressure chamber, it is difficult to monitor the pro-
cesses of deformation and failure within the specimen.
Numerical simulation can overcome the shortcomings
of experimental tests.
FLAC is an explicit finite-difference code that
can effectively model the behaviors of geomaterials,
undergoing plastic flow as their yield limits are
reached. Compared with the conventional finite-
element methods, FLAC has some marked advan-
tages: the plastic flow is accurately modeled because
mixed discretization scheme is adopted; the phys-
ically unstable processes and strain localization are
simulated without numerical distress partly due to
the use of full dynamic equations of motion; and
the arbitrary nonlinearity in constitutive relations are
solved numerically using an explicit finite difference
approach so that no any matrices needs to be saved.
To obtain a further understanding of the local-
ized failure of a rectangular specimen composed of

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Copyright 2006 Taylor & Francis Group plc, London, UK

 isotropic strain-softening material beyond the peak v0
stress in plane strain compression with or without
material imperfections, Wang et al. (2001 ab, 2002
ac, 2003 a) and Wang & Li (2005) numerically
investigated the effects of height and width of rock
specimen, strain rate, shear dilatancy, pore pressure
and end-constraint on pattern of shear bands, fields of
velocity and displacement, macroscopically mechan-
ical behaviors and distribution of plastic zone. Wang
et al. (2002 d, 2004 a) numerically investigated shear
bands of borehole and seismic model composed of
blocks. The numerical results (Wang 2005 a) in biax-
ial plane strain and dynamic compression reveal a
few seismic phenomena, such as shear localization,
anomaly in shear strain rate and its evolution, gap,
migration and periodicity in earthquake activities,
field precursor and source precursor. In addition, the
Material
lateral deformational characteristics of rock specimen
imperfection
with a material imperfection (Wang 2005 b), the end-
restraint effect of three-dimensional rock specimen
(Wang 2005 c), the deformation and failure processes
for shear band-elastic body system (Wang 2004 c)
and the effect of dilation angle on deformation, failure
and stability of the system (Wang 2004 b) have been
Figure 1. Model geometry and boundary conditions.
modeled.
Wang et al. (2001 a) studied the effect of pore pres-
sure on stress-strain curve and pattern of shear bands with the same area of 0.00125 m 0.00125 m. To trig-
of rock specimen in plane strain compression. The ger the asymmetrical deformational modes, no any
following conclusions were drawn: (1) higher pore material property is provided for the four elements
pressure leads to steeper shear band (increase of incli- near the lower-left corner of the specimen.
nation angle of shear band); (2) two conjugate shear In elastic stage, the constitutive relation is lin-
bands become less apparent with an increase of pore ear elasticity. Shear and bulk moduli are 11 GPa and
pressure; (3) for higher pore pressure, the tensile fail- 15 GPa, respectively. The adopted failure criterion is
ure occurs within the specimen so that no shear band a composite Mohr-Coulomb criterion with tension
is observed; and (4) pore pressure decreases the peak cut-off and the tension strength is 0.2 MPa. Beyond
stress. However, the modeled specimen is loaded at the the yield strength, a linear strain-softening relation
top and base of the specimen. Only the axial stress of is selected and the variation of cohesion and friction
an element at the top of the specimen is monitored. angle with plastic strain is shown in Fig. 2.
In addition, the specimen is intact and no material Five schemes for calculation are adopted in the
imperfection is prescribed. present paper. From scheme 1 to 5, pore pressure is
In the paper, the effect of pore pressure on fail- 0, 0.05, 0.1, 0.15 and 0.175 MPa, respectively. Rock
ure process and mode, axial, lateral and volumetric generally appears weaker when the pore spaces con-
strains of rock specimen with a material imperfection tain a pore fluid under pressure. This is represented in
in plane strain compression were numerically investi- FLAC by the incorporation of an effective stress that
gated. Some FISH functions were written and embed- accounts for the presence of pore pressure in a zone.
ded in FLAC to calculate the entire characteristics of The pore pressures in FLAC are taken to be positive in
deformations. compression. Thus, the effective stress
(negative in
compression) is related to the total stress and pore
2 CONSTITUTIVE RELATION AND MODEL pressure p by

See Fig. 1, the height and width of rock specimen is

L = 0.1 m and B = 0.05 m, respectively. The specimen
in plane strain condition is loaded at a constant veloc-
ity of v0 = 4 1010 m/timestep at the top. At the base,
the vertical displacement boundary fixes the vertical
freedom. At the top and base no horizontal friction
exists. The specimen is divided into square elements
In each scheme, all elements have the same pore pres-
sure remaining a constant. Moreover, the fluid does not
flow. That is to say, the present numerical predictions
are more applicable to rapid or dynamic compressive
test.

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Copyright 2006 Taylor & Francis Group plc, London, UK

 0.3
0.25
Cohesion/MPa

0.2
0.15
0.1
0.05
0
0 1 2 3 4 5
Plastic strain/10-3
(a)

46
Friction angle /Degree

44
42
40
38
36
0 1 2 3 4 5 Figure 3. Effect of pore pressure on failure process and pat-
Plastic strain/10-3
tern of rock specimen (ab) 0 MPa; (cd) 0.05 MPa; (ef )
(b) 0.1 MPa; (gh) 0.15 MPa; (ij) 0.175 MPa.

Figure 2. Post-peak constitutive relation of concrete

between plastic strain, friction angle and cohesion.
displacement. Using the total displacement and n, we
can get the average displacement. Next, the average
lateral strain l can be obtained if the average dis-
3 FISH FUNCTIONS CALCULATING AXIAL, placement is divided by the width of the specimen.
LATERAL AND VOLUMETRIC STRAINS AS In Equation 3, l is negative for lateral expansion.
WELL AS POISSONS RATIO Volumetric strain v is calculated as

Functions with which axial, lateral and volumetric

strains as well as Poissons ratio are calculated in
FLAC are not provided, leading to inconvenience in
investigating the deformation, failure and instability. The Poissons ratio v in plane strain compression is
Herein, FISH functions are written and then embed- expressed as
ded into FLAC to calculate the entire deformational
characteristics of rock specimen.
Axial strain a of rock specimen is defined as

4 RESULTS AND DISCUSSIONS

where L is the length of the specimen; and a is positive
for axial contraction.
Experiments show that lateral deformation of rock
specimen in compression is nonuniform. Herein, the
average lateral strain l is
where B is the width of the specimen; and n is the
number of nodes at one lateral edge of plane spec-
imen. Parameters ui and vi are displacements at the
same height at left and right edges of the specimen,
respectively. ui vi is the relative horizontal displace-
ment. Summing the displacement leads to the total
4.1 Effect of pore pressure on pattern of failure
Figs. 3(aj) show the influence of pore pressure on
failure process and pattern of rock specimen. Black
elements mean that these elements have yielded, while
white elements always remain elastic state.
Timesteps of each picture are also given in Fig. 3.
For example, the timesteps t of Fig. 3(a) are 10000.
According to the timesteps, we can calculate the axial
strain (a ). For example, in Fig. 3(a), a = v0 t/L =
4 1010 104 /101 = 4 105 .
The yielded elements always initiate in the vicinity
of material imperfection. For lower pore pressure, see
Figs. 3(b) and (d), the yielded elements from a narrow
and inclined shear band intersecting the specimen. In

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Copyright 2006 Taylor & Francis Group plc, London, UK

 other words, for lower pore pressure, the observed fail-
ure mode of the specimen is a single shear failure and
the influence of pore pressure is negligible.The present
numerical predictions agree with the previously exper-
imental results (Liao 1983) showing that the effect of
water on failure formation is less apparent for lower
porosity and higher strength rock.
For higher pore pressure, see Figs. 3(f ), (h) and ( j),
the failure patterns are complex. Many elements yield
so that larger area of plastic zone is expected. Not
only some elements within rock specimen yield, but
also some elements at the two edges of the specimen
enter the stage of plastic deformation. Since a number
of yielded elements appear for higher pore pressure,
much energy will be absorbed or dissipated by the
specimen.
According to Coulombs, Roscoes andArthurs incli-
nations (Ord et al. 1991, Vardoulakis 1980, Vermeer Figure 4. Stress-axial strain curves for different pore
1990), shear bands inclination depends on the initial pressures.
friction angle and dilation angle of rock. Herein, they
are 44 and 0 , respectively. The predicted inclinations
by the three theoretical expressions are 67 , 45 and
56 , respectively. Apparently, shear bands inclination
of 62 is closer to Arthurs inclination that is believed
to be closer to the experimental data.

4.2 Characteristics of axial and lateral strains

Figs. 46 show the effect of pore pressure on stress-
axial strain curve, stress-lateral strain curve and lateral
strain-axial strain curve, respectively. The black point
corresponds to the onset of strain-softening behavior
of stress-axial strain curve.
The peak stress and the corresponding axial strain
decrease with an increase of pore pressure. The abso-
lute value of lateral strain corresponding to the peak
stress also decreases with pore pressure. These pre- Figure 5. Stress-lateral strain curve for different pore
pressures.
dicted results are consistent with many experimental
measurements.
Prior to the peak stress, the stress-axial strain curve
and the stress-lateral strain curve exhibit a certain fluc-
tuation; no obvious difference in the slopes of the two
curves is observed for different pore pressures.
For lower pore pressure (0 p 0.1 MPa), the
slopes of the post-peak stress-axial strain curve and
stress-lateral strain curve are independent of pore
pressure. For higher pore pressure (0.15 MPa p
0.175 MPa), the post-peak slopes of the two curves
become less steep with an increase of pore pressure.
The reasonableness of the obtained numerical
results can be explained by the previously analytical
solutions of the post-peak stress-axial strain curve and
stress-lateral strain curve for rock specimen in uniaxial
compression subjected to shear failure (Wang & Pan
2003, Wang et al. 2003 b, 2004 b). The two solutions
show that the post-peak slopes of the two curves are Figure 6. Lateral strain-axial strain curves for different
influenced by constitutive parameters of rock (elastic pore pressures.

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Copyright 2006 Taylor & Francis Group plc, London, UK

 modulus, softening modulus, shear bands number and
thickness dependent on characteristic length of rock),
geometrical size of rock specimen (height and width)
and orientation of shear band.
As mentioned before, for lower pore pressure the
failure mode of the specimen is not influenced by pore
pressure. That is to say, the width and the orientation of
shear band are independent of pore pressure. Hence,
for lower pore pressure the post-peak slopes of stress-
axial strain curve and stress-lateral strain curve are not
concerned with pore pressure.
For higher pore pressure, see Figs. 3(h) and ( j), the
plastic zone becomes wider as pore pressure increases,
leading to much dissipated energy. Moreover, lower
peak stress is reached for higher pore pressure, see
Figs. 4 and 5. Consequently, the softening branches
of stress-axial strain curve and stress-lateral strain
curve will become less steep. Thus, a great deal
of energy consumed by many elements undergoing
plastic deformations can be provided.
See Fig. 6, the pre-peak and post-peak slopes of
lateral strain-axial strain curve are not influenced by
pore pressure. For higher pore pressure, the value of
lateral strain corresponding to the peak stress is higher.
4.3 Pre-peak and post-peak Poissons ratios
Fig.7 shows the influence of pore pressure on Poissons
ratio-axial strain curve. The black point corresponds
to the peak of stress-axial strain curve.
The Poissons ratio-axial strain curve can be clas-
sified into three stages. The first stage corresponds
to the initial loading stage. For lower axial strain, the
deformed region within the specimen is near the top of
the specimen. Undeformed part progressively dimin-
ishes with an increase of axial strain until it vanishes.
At the two edges of the undeformed region, no lat-
eral expansion can be monitored. Thus, the average
Figure 7. Possions ratio-axial strain curves for different
pore pressures.
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Copyright 2006 Taylor & Francis Group plc, London, UK
lateral expansion will be underestimated according to
Equation 3 before a certain timesteps.
In the second stage, Poissons ratio remains a con-
stant, reflecting the uniform deformation within the
specimen.
In the third stage, Poissons ratio rapidly increases
owing to the apparent lateral expansion of the speci-
men; the slope of the Poissons ratio-axial strain curve
does not depend on pore pressure. For higher pore pres-
sure, rock specimen can obtain higher Poissons ratio at
the same axial strain. Poissons ratio beyond the black
point can be called the post-peak Poissons ratio that
can exceed 0.5. Some researchers have reported the
unusual experimental phenomenon (Zhu et al. 2001).
Wang (2004 a) derived an analytical solution of the
post-peak Poissons ratio for rock specimen in uniax-
ial compression subjected to shear failure in the form
of shear band. The solution shows that the post-peak
Poissons ratio can exceed 0.5.
4.4 Characteristics of volumetric strain
Figure 8 depicts the effect of pore pressure on volumet-
ric strain-axial strain curve. Black point corresponds
to the onset of strain-softening stage. With an increase
of pore pressure, the peak of volumetric strain and
the corresponding axial strain decrease. Therefore, dry
rock specimen ( p = 0) can reach the minimum volume.
Rock specimen under higher pore pressure dilates
earlier than that subjected to lower pore pressure. The
present numerical results are consistent with the pre-
vious experiments (Wu 1981) showing that saturated
rock expands earlier than dry rock. At pre-peak and
post-peak, the effect of pore pressure on the slope of
volumetric strain-axial strain curve is less apparent.
For lower pore pressure, the volumetric strain is
always positive. That is to say, the deformed rock
specimen is smaller than the undeformed specimen.
However, for higher pore pressure, the deformed rock
specimen finally can exceed the initial volume so that
the volumetric strain is negative. That is to say, the
shear dilatancy is more apparent for the specimen
subjected to higher pore pressure. The present results
agree with the previously experimental observations
(Wu 1981).
4.5 Precursors to unstable failure
As we know, the unstable failure of rock specimen
takes place in strain-softening stage of stress-axial
strain curve once the post-peak stiffness of testing
machine is lower than that of rock specimen. As men-
tioned before, stress fluctuates prior to the peak stress
so that it is difficult to identify the precursors to
the unstable failure from stress-axial strain curve and
stress-lateral strain curve.

Figure 8. Volumetric strain-axial strain curves for different
pore pressures.
It is found from Figs. 68 that before the peak stress
is reached, lateral strain-axial strain curve, Poissons
ratio-axial strain curve and volumetric strain-axial
strain curve obviously deviate from linear states. The
deviation can be seen as precursors to the unstable
failure. Larger deviation leads to more apparent pre-
cursors. Figs. 68 show that that no apparent difference
in the precursors is observed with an increase of pore
pressure.
5 CONCLUSIONS
The increased pore pressure leads to the transition of
failure modes from a single shear fracture to complex
shear failure. The number of yielded elements also
increases with an increase of pore pressure. For differ-
ent pore pressures, shear bands inclinations are closer
to Arthurs theory.
For lower pore pressure, the post-peak slopes of
stress-axial strain curve and stress-lateral strain curve
are not concerned with pore pressure. According to
the previously analytical solutions, this is due to the
failure mode independent of pore pressure.
For higher pore pressure, many elements within
rock specimen and at the two edges of the specimen
yield; lower peak stress is expected. The numer-
ically predicted post-peak stress-axial strain curve
and stress-lateral strain curve exhibit slightly ductile
behaviors.
With an increase of pore pressure, peak stress, axial
and volumetric strains corresponding to the peak stress
and the absolute value of lateral strain corresponding
to the peak stress decrease. For higher pore pressure,
rock specimen can reach larger lateral expansion at the
same axial strain. Thus, higher Poissons ratio can be
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Copyright 2006 Taylor & Francis Group plc, London, UK
expected and the deformed volume of the specimen
can exceed the initial volume.
Beyond the peak stress, the slopes of lateral strain-
axial strain curve, Poissons ratio-axial strain curve and
volumetric strain-axial strain curve are not influenced
by pore pressure. No apparent difference in precursors
to unstable failure of rock specimen is observed with
an increase of pore pressure.
The present numerical predictions confirm the fol-
lowing experimental phenomena concerned with pore
pressure: higher pore pressure leads to lower peak
stress; saturated rock specimen dilates earlier than dry
specimen; saturated rock specimen has more apparent
shear dilatancy; and failure mode of higher strength
rock is not influenced by pore pressure.
ACKNOWLEDGEMENTS
The study is funded by the National Natural Science
Foundation of China (50309004).
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 1.2 Laboratory experiments

Copyright 2006 Taylor & Francis Group plc, London, UK

 EUROCK 2006 Multiphysics Coupling and Long Term Behaviour in Rock Mechanics
Van Cotthem, Charlier, Thimus & Tshibangu (eds)
2006 Taylor & Francis Group, London, ISBN 0 415 41001 0

Laboratory measurement of hydraulic conductivity of rocks from

Lakeview borehole

L.C. Areias
Ghent University, Laboratory of Geotechnics, Ghent, Belgium

K.Y. Lo
Professor Emeritus, University of Western Ontario, London, Canada

ABSTRACT: This paper presents laboratory test methods for measuring hydraulic conductivity (k) of low
permeability rocks. The methods described include tests for vertical (kv ) and radial (kr ) flow measurements
under both convergent and divergent flow conditions. Experimental tests performed on rock samples from a deep
borehole drilled in Southern Ontario, Canada using these methods indicate that they performed satisfactorily in
measuring k values ranging from 1.1 1012 to 3.8 109 cm/s in reasonably short periods of 3 to 5 days. The
results further suggest that the limits of these tests approach 1012 cm/s.

1 INTRODUCTION From Darcys original experiment (Fig. 1), in which

1.1 Deep borehole
This paper presents results of laboratory hydraulic con-
ductivity tests performed on rock cores from a 390 m
deep borehole drilled at the Lakeview Power Gener-
ating Station in Port Credit, Ontario. Areias (1988)
presents additional test results including compressive
and tensile strength, and compressive wave velocity;
and Lee (1988) gives swelling potential test results for
these rocks.
In total, 25.9 m of rock cores were selected for test-
ing. These rock cores were collected immediately after
drilling, wrapped in protective plastic foil and placed
in tubes with end caps to preserve moisture and reduce
rate of deterioration. They were placed in a control
room kept at 100% moisture and 21 C until ready for
testing. Table 1 gives the geological column and sam-
ple locations of hydraulic conductivity tests performed
for this study.
a constant head of water at the upper surface permeates
vertically through a column of sand of thickness l and
cross-sectional area A, the quantity of water q flowing
through the soil in time t can be expressed in terms of
a permeability constant k, by:
Equation 1 may be written in the more familiar form:
where Q = flow rate (also known as volumetric flux)
through the sand (L3T1 ), k = hydraulic conductiv-
ity or coefficient of permeability (L/T), i = hydraulic
gradient (h1 + l h2 )/l (L/L), and A = cross-sectional
area at right angles to the direction of flow (L2 ).
The flow of water through a permeable material may
also be expressed in terms of discharge velocity (v) by:

where v = Q/A is the quantity of water that percolates

1.2 Test description
Permeability may be defined as an expression of the
freedom of movement of a fluid through or within a
medium. In a rock mass, permeability is controlled
mainly by discontinuities such as fractures, fissures
and joints present in the rock. Laboratory samples
of intact rock cores are usually too small to con-
tain any such discontinuities and, for these tests, the
laws of flow in porous media originally defined by
Darcy (1856) apply.
in a unit of time across a unit of area. It is also called
specific discharge or Darcy velocity.
Since the volumetric flux Q in Equation 2 is divided
by the total cross-sectional area (including both voids
and solid material), the discharge velocity defined
by Equation 3 applies to the macroscopic contin-
uum approach (Freeze & Cherry 1979). The discharge
velocity given in Equation 3 is not to be confused with
seepage velocity vs , which refers to the average linear
velocity at which water percolates through the voids

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 Table 1. Geological column and sample locations.
of the material divided by the porosity n, i.e. vs = v/n.
This vs , however, is not the average velocity through
the pore spaces. These microscopic velocities are gen-
erally larger than vs because the water particles must
travel along irregular paths that are longer than the
linearized path assumed by vs .
It is useful to distinguish between permeability and
hydraulic conductivity. Permeability (K) is a prop-
erty of the porous media and is independent of the
properties of the permeating fluid, i.e. viscosity and
density. Hydraulic conductivity (k), on the other hand,
expresses the interaction between the permeating fluid
and the media. It is given by the proportionality
constant k in Darcys Equations 1 and 2 and has dimen-
sions of velocity (LT1 ). The relationship between k
and K is given by:
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Copyright 2006 Taylor & Francis Group plc, London, UK
Figure 1. Darcys permeability apparatus (adapted from
Gray 1973).
Table 2. Viscosity ratios using 20 C as standard.
C T /20
10 1.3
15 1.1
20 1.0
25 0.9
30 0.8
Source: Terzaghi and Peck (1967).
where and are the fluid viscosity and density, and
g is the gravitational acceleration.
The value of hydraulic conductivity k depends on
the temperature at which the test is performed because
k is a function of fluid density and viscosity (Eq. 4).
Both of these quantities vary with temperature.Assum-
ing negligible variation of density in comparison with
viscosity, the value of k for a given temperature (kT )
may be computed as:
where k1 is the measured value of k corresponding
to the test temperature and 1 is the corresponding
viscosity. It is customary to express k at a standard
temperature of 20 C. Table 2 gives values of T /20
for a range in temperature between 10 C and 30 C.
Three methods are commonly used to measure
hydraulic conductivity in the laboratory. They are:
(a) constant head permeation, (b) variable head per-
meation and (c) transient pulse testing.
 The first two methods make use of the techniques
first developed to measure permeability in soils. In
these tests, a fluid, usually water, is allowed to per-
meate through the interconnected pores and cracks
in a rock core. When steady state flow is established
through the specimen the permeability is calculated,
using Darcys equation, from the measured flow rate
and hydraulic gradient. With the constant head test,
the level of the water on the upstream (high pressure)
side is kept constant, whereas in the variable head test
its level is monitored as it is allowed to fall. The most
widely used laboratory test method, and the one used in
this study, is the constant head test. This method is suit-
able to measure hydraulic conductivity values of the
order of 1012 cm/s in a reasonable (3 to 5 days) time.
When testing nearly impermeable rocks, the tran-
sient pulse method is sometimes used (see for example
Hsieh et al. 1981 and Brace et al. 1968). The arrange-
ment consists of a cylindrical rock sample connected
to two fluid reservoirs, namely an upstream and a
downstream reservoir. The rock specimen in this test is
equivalent to a resistor in an electric circuit whereas the
reservoirs behave like capacitors. Before starting the
test, the pressure in both reservoirs is the same. At
the start of the test the fluid pressure in the upstream
reservoir is suddenly increased by a small amount.
As fluid flows from the upstream reservoir, across
the sample, to the downstream reservoir, the pressure
decay in the upstream reservoir is monitored.
The procedure for calculating permeability with the
transient pulse method is given by Brace et al. (1968)
and Hsieh et al. (1981). This test requires measur-
ing compressive storage of the upstream and down-
stream reservoirs, the specific storage of the specimen
and maintaining constant temperature during testing.
These parameters, however, are difficult to measure
and control accurately.
2 TEST PROCEDURE
2.1 One-dimensional axial flow tests
A schematic diagram showing the experimental
arrangement of one-dimensional (1-D) axial flow tests
is presented in Figure 2. The setup consists of a tri-
axial cell with an aluminium base and reinforced
plexiglas cylinder designed for a maximum working
cell pressure of 1700 kPa. Cylindrical rock specimens,
measuring between 15 and 20 mm in thickness and
45 mm in diameter, were cut and their surfaces ground
smoothly and parallel.
The sample is placed between two fully-saturated
porous stones as shown in Figure 2. A thin coating of
high vacuum silicone grease is applied over the whole
length of the sample, pedestal and porous stones to
ensure good contact between the rubber sleeve and
the specimen. A rubber sleeve (0.7 mm and 46 mm
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Copyright 2006 Taylor & Francis Group plc, London, UK
Figure 2. 1-D permeability test setup.
diameter) is placed over the assembly using a cylin-
drical stretcher and a second layer of silicone grease
is applied over the surface of the rubber membrane.
A second rubber sleeve is placed over the first sleeve
and, finally, the whole assembly is sealed at the top and
bottom with four rubber O-rings. This method of seal-
ing worked well in preventing any water from leaking
along the surface of the rock specimen.
The triaxial cell is filled with de-aired tap water
and pressurized to 350 kPa. At the same time, a back
pressure of 350 kPa is applied and maintained constant
throughout the test. The back pressure helps speed up
the initial saturation process in the specimen.
At the start of the test, the upstream or cell pres-
sure is increased to 1350 kPa (or another desired value
depending on the type of test) and maintained constant
thereafter. A compensating mercury column system is
used to maintain the back and cell pressures constant.
2.2 Radial permeability tests
Two types of radial permeability tests were performed:
(a) convergent tests, where all stresses are compressive
and flow takes place from the outer walls into the inner
cavity of the specimen and (b) divergent tests in which
the sample is subjected to tensile stresses while water
is injected into the inner cavity of the specimen and
forced to flow radially outward. A schematic of the
experimental setup used for the radial permeability
tests is presented in Figure 3. The tests were carried
out in a triaxial cell similar to that used for the 1-D
tests except that the height of the cell is greater to
accommodate the larger samples.
Rock specimens measuring 45 mm in diameter and
112 mm in length are cut and their ends ground smooth
and parallel. An axial hole 11.2 mm in diameter is
drilled from one end of the specimen to a depth of
92 mm, leaving the bottom 20 mm as a solid cylinder.

Figure 3. Radial flow test setup.
The top 17 mm and the bottom 20 mm outer cylin-
drical sections of the sample are sealed with three
coatings of acrylic (Gagekote no. 8) compound over
their circumferential surfaces. This leaves a central
hole with 75 mm in length; this is here referred to
as the effective length, over which water will be able
to permeate during testing. The reason for creating
these dead flow zones at the ends of the specimen is
to achieve a condition of axi-symmetric radial flow
by eliminating the influence of conditions as much as
possible.
The pedestal is first coated with a layer of high vac-
uum silicone grease. Two rubber sleeves (0.7 mm and
0.3 mm thick and 46 mm in diameter) with grease in
between are fitted over the pedestal and their bottoms
secured to the pedestal with 2 O-rings as shown in
Figure 3. The sleeves are cut so that their tops rise
20 mm above the pedestal. The bottom 20 mm of the
sample (previously coated with acrylic compound) is
greased and the sample inserted into the protruding
rubber sleeves and tightly seated on the pedestal. The
sleeves are fastened to the specimen by placing an
O-ring at the top of the sleeves.
The top of the specimen is sealed tightly using three
rubber O-rings with diameters 20.6 mm, 28.6 mm and
38.1 mm and a brass outer ring measuring 42.9 mm in
diameter. A plexiglas cap fitted with a connecting tube
is placed on top of the seal rings and a small load of
approximately 500 N (314 kPa) is applied to the cap to
provide an effective seal and to keep the cap in place
during the remainder of the assembling process. Filling
and pressurizing of the cell are performed following
the same procedure described earlier for the 1-D tests.
In the convergent flow test, the cell pressure is kept
higher than the pressure in the central hole that con-
nects to the back pressure, and which is maintained
constant throughout the test. In this case, all internal
stresses are compressive and the flow is said to be
118
Copyright 2006 Taylor & Francis Group plc, London, UK
Figure 4. Typical results of leakage control test.
convergent. In the divergent test the pressure in the
central hole is kept higher than the cell pressure.
3 CONTROL TESTS
3.1 Leakage
The experimental setups in Figures 2 & 3 were checked
for leakage to determine their suitability for usage in
the laboratory measurements. The procedure was sim-
ilar to the 1-D test described earlier except that a brass
dummy specimen was used in place of a rock spec-
imen. The objective of these tests was to determine
the effectiveness of the rubber sleeves at preventing
leakage along the walls of the specimens.
The results of one of the tests are presented in
Figure 4 for a dummy sample and a sample from the
Georgian Bay shale. The results show no detectable
flow over a test period of 6 days. The initial small
(0.006 cc) outflow that was observed in the first 20 to
30 hours of testing for the dummy test is due to the
initial compression of the system. The outflow curve
becomes essentially flat thereafter.
3.2 Temperature
Besides its effects on viscosity and density of the
permeating fluid mentioned earlier, which can be eas-
ily corrected, temperature changes can also affect
measurement readings by causing expansion and con-
traction of the test equipment, which are much more
difficult to correct for. To determine the effects of
temperature on measurement readings, tests were per-
formed on rock specimens following the 1-D proce-
dure described earlier. The tests were carried out with
an initial back pressure of 350 kPa and a cell pressure
of 1350 kPa. During the tests, the cell pressure was
kept constant while the back pressure had been closed
off. A pressure transducer was installed to monitor the
downstream pressure.
The results of a typical test are presented in
Figure 5. They show that pressure is sensitive to tem-
perature changes, increasing when temperature rises
 Figure 7. Typical outflow versus time curve (1D-2).

Figure 5. Effect of temperature on pressure readings. Table 3. 1-D kv results.

Pressure * Q (cc/hr)
Sample difference (kPa) 103 kv (cm/s)

1D-1 1000 2.5 7.7 1012

1D-2 1000 5.9 2.0 1011
1D-3 1000 3.8 1.1 1011
1D-4 1000 1.8 6.2 1012
1D-5 1000 15.7 4.7 1011
1D-6 1000 13.4 3.5 1011
1D-7 1000 5.9 2.0 1011
1D-8 1350 2.9 7.0 1012
1D-9 1000 1.7 5.0 1012
1D-9a 1000 0.4 1.1 1012
Figure 6. Creep measurements of volume change device. 1D-10 1000 0 0
1D-10a 100 135.0 3.6 109
and decreasing when it falls. Temperature fluctuations 1D-10a 1000 1417.0 3.8 109
have no effect on pressure readings in the 1-D tests 1D-11 1000 21.4 5.4 1011
performed in this study because both cell and back 1D-12 1000 0 0
pressures are kept constant throughout the tests by 1D-13 1000 63.0 1.6 1010
a self adjusting pressure system. They will, however, 1D-14 1000 29.0 7.9 1011
1D-15 1000 16.4 4.3 1011
affect the general performance of the test equipment.
1D-16 1000 156.0 2.8 1010
For this reason, tests should be carried out in con-
trolled temperature environments where temperature * Back pressure = 350 kPa in all tests.
fluctuations are limited to less than 2 C.
4 RESULTS

3.3 Effect of creep 4.1 1-D tests

The volume change device used to measure flow in this
study consists of plexiglas and nylon tubing. Under
sustained pressures, this system undergoes creep. A
test was performed to measure the amount of creep
in the system and its effect on flow readings. The test
consisted of closing the inflow line at the bottom of
the device and applying different pressures to the sys-
tem to simulate back pressures applied during testing.
The results, shown in Figure 6, indicate two creep fac-
tors: (a) 3 104 cc/hr for increasing pressure and
(b) 2 104 cc/hr for decreasing pressures. They
compare with typical readings of greater than 2
103 cc/hr for most of the tests, which is equivalent
to an effect on k values of less than 15%.
Figure 7 shows typical results of flow as a function of
time for 1-dimensional vertical flow tests. In general,
the results show that outflow conditions become lin-
ear after approximately 20 hours of permeation. This
period represents the time required to establish full sat-
uration and Darcy flow conditions.Values of kv are cal-
culated using the linear portion of the outflow curve.
Table 3 presents a summary of the results of vertical
1-D tests performed for this study. The results indicate
kv values between 1.1 1012 cm/s for sample P-1D-
9a in the Lindsay limestone to 3.8 109 cm/s for
P-1D-10a in the Verulam limestone. Two samples (P-
1D-10 and P-1D-12) yielded no flow after 5 and 7 days
of testing and were stopped.

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Copyright 2006 Taylor & Francis Group plc, London, UK

 Table 4. Radial convergent test results. Table 5. Radial divergent flow test results.

Pressure * Q (cc/hr) kr Pressure * Q (cc/hr) kr

Sample difference (kPa) 103 (cm/s) Sample difference (kPa) i 103 (cm/s)

RD-1 1000 8.5 6.8 1012 RD-3 25 150 3.3 1.1 1010
RD-2a 1000 58.9 4.6 1011 50 300 7.6 1.2 1010
RD-2 1000 7.1 5.8 1012 100 600 14.0 1.1 1010
RD-3 1000 98.3 8.0 1011 250 1500 32.9 1.1 1010
RD-4 1000 1.9 1.9 1012 400 2400 55.3 1.1 1010
RD-5 1000 1000 7.7 1010 RD-6 25 150 18.0 5.8 1010
100 77.5 6.0 1010 50 300 26.0 4.2 1010
10 7.9 6.3 1010 100 660 47.0 3.8 1010
RD-6 1000 1020 8.2 1010 250 1500 114.0 3.6 1010
RD-7 1000 150.0 1.2 1010
100 11.4 9.3 1011 * Back pressure = 350 kPa in all tests.
RD-8 1000 375.0 3.1 1010
100 38.5 3.1 1010 5 CONCLUSIONS
* Back pressure = 350 kPa in all tests. This paper describes test setup and methods to mea-
sure hydraulic conductivity in rocks with low perme-
4.2 Convergent radial tests ability values. Tests described include 1-dimensional
Radial permeability (kr ) is computed using the expres- test for vertical permeability and two types of radial
sion given by Bernaix (1967) for flow across a coaxial permeability tests to measure horizontal flow under
cylinder of radius r: different stress conditions. Results of permeability
measurements obtained with these tests are also pre-
sented. The values of hydraulic conductivity obtained
with these tests ranged between 3.8 109 cm/s to
1.1 1012 cm/s. It is concluded that the test meth-
where Q is the flow rate, L the effective length of ods presented can be used to provide satisfactory k
the specimen, hw the difference in hydraulic head, and measurements in rock to as low as 1012 cm/s in a
R1 and R2 the respective inner and outer radii of the reasonable time period of 3 to 5 days.
specimen.
Table 4 contains the summary of the radial perme-
ability test results. Most of the tests were performed on REFERENCES
samples taken as close as possible to those used in the Areias, L. 1988. The laboratory measurement of hydraulic
1-D tests (see Table 1) so that the results of the two tests conductivities of rocks Lakeview deep borehole. M.E.Sc.
could be compared to indicate possible anisotropy. thesis. The University of Western Ontario. London,
In general, the results of the two tests show similar Canada.
values of hydraulic conductivity and so do not sug- Bernaix, J. 1969. New laboratory methods for studying the
gest the presence of anisotropy. Only samples 1D-14 mechanical properties of rocks. Int. J. Rock Mech. Min.
and nearby RD-6, with respective permeability values Sci., Vol. 6, pp. 4390.
kv = 7.9 1011 cm/s and kr = 82 1011 cm/s, sug- Brace W.F., Walsh, J.B. & Frangos, W.T. 1968. Permeability
gest possible anisotropy. Finally, changes in i in tests of granite under high pressure. J. Geophysical Research,
Vol. 73, No. 6, pp. 22252236.
RD-5, -7 and -8 did not have significant influence on Darcy, H. 1856. Les fontaines publiques de la ville de Dijon.
measured kr values. Paris.
Freeze, R. A. & Cherry, J. A. 1979. Groundwater. Englewood
4.3 Divergent radial tests Cliffs, N. J.: Prentice-Hall, Inc.
Gray, D.M. 1973. Handbook on the principles of hydrology.
Two divergent tests RD-3 and RD-6, respectively from Port Washington, N.Y.: Water Information Center, Inc.
Bobcaygeon limestone and granite gneiss, were per- Hsieh, P.A., Tracy, J.V., Neuzil, C.E., Bredehoeft, J.D. &
formed under various i levels ranging from 150 to Silliman, S.E. 1981. A transient laboratory method for
2400. The results are summarized in Table 5. determining the hydraulic properties of tight rocks-I.
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 EUROCK 2006 Multiphysics Coupling and Long Term Behaviour in Rock Mechanics
Van Cotthem, Charlier, Thimus & Tshibangu (eds)
2006 Taylor & Francis Group, London, ISBN 0 415 41001 0

Poromechanical behaviour of Meuse-Haute Marne argillite: laboratory

evidences and modeling

D. Hoxha, F. Homand, A. Giraud, C. Auvray

Laboratoire Environnement Gomecanique & Ouvrages, LaEGO-ENSG Rue du doyen Marcel Roubault,
Vandoeuvre-ls-Nancy Cedex, France

K. Su
Agence Nationale pour la gestion des dchets radioactifs, ANDRA, Parc de la Croix Blanche,
rue Jean Monnet, Chtenay Malabry Cedex, France

ABSTRACT: New laboratory results on Callovo-Oxfordian argillite are presented and modelling of porome-
chanic behaviour of this rock in saturated and partially-saturated conditions is proposed. This rock is extensively
being studied in the context of the underground research laboratory in Bure (France). The laboratory results
show a clear dependency of the strength of this rock on the saturation state. The modelling of the behaviour of
this rock is proposed using an effective stress approach. For the saturated rock the effective stress coincides with
Biots effective stress. The extension of the model in unsaturated field is made assuming an evolution of Biots
coefficient with the capillary pressure.

1 INTRODUCTION et al. (2004). These last authors proposed however

The behaviour of Callovo-Oxfordian clay stone, known
also as Meuse-Haute Marne (M/HM) argillite, con-
tinue to be in center of much researches from the
scientific community in relation with concepts of deep
geological repository for radioactive wastes. Labora-
tory test on samples from this rock have shown its
very low permeability (k 1020 m2 ) that is in good
accordance with the concepts of a geological bar-
rier. Various aspects of complex thermal, hydraulic
and mechanical behaviour of this rock have been
subjects of many studies up to now (Chiarelli et al.
2003, Escoffier 2002, Ozanam et al. 2002, Zhang and
Rothfuchs 2004, Bemer et al. 2004).These results have
shown an undrained response of this rock under tri-
axial compression conditions being a function of the
carbonates and water contents (Chiarelli et al. 2003),
with poromechanic coupling parameters being func-
tion of loading conditions. The long-term behaviour
of this rock also has been studied under drained and
undrained conditions. But many question about the
behaviour are yet to be solved.
On the other hand many works have been great work
is performed to elaborate the constitutive model of
this rock (Su 2002). Chiarelli et al. (2003) have pro-
posed to use an elastic-plastic-damage behaviour of
this rock by means of the coupling between plasticity
and anisotropic induced damage in a pure mechanic
context.A similar approach has been followed by Conil
a poromechanic framework by considering the sat-
urated behaviour of this rock. There is however no
indications on this model on how to deal with unsat-
urated behaviour. In the model proposed by Hoxha
et al. (2004) the mechanical behaviour of the M/HM
argillite is described by two elastic-plastic mecha-
nisms. Furthermore, these authors have proposed the
modelling of unsaturated behaviour of this rock by
using the Coussys effective stress as an extension of
Biots theory for unsaturated porous media. Experi-
mental results on other geomaterials show however
that such an extension would be of limited validity
(Grgic et al. 2005).
In this paper we present some new experimental
evidences on partially saturated behaviour of this
rock. Then an effective stress based model is pro-
posed to describe both saturated and partially saturated
behaviour of this rock.
2 PRINCIPAL FEATURES OF MECHANICAL
BEHAVIOUR AND NEW EXPERIMENTAL
EVIDENCES
The behaviour of M/HM is that of an elastic-plastic-
damaged material with high irreversible strains and
reduction of elastic modulus during loading. Typical
stress-strain curves from recently triaxial compression
tests are shown in fig. 1.

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Copyright 2006 Taylor & Francis Group plc, London, UK

 20 30 EST 205 (470.34-470.55 m)
1-3 (MPa)
1- 3

16 25 (MPa)
volumetric volumetric
strain axial 20 strain
12 lateral
lateral strain
strain 15 axial
strain
8 strain
10

4 5
strains (10-6) strains (10-6)
0 0
-5000 0 5000 10000 15000 -10000 -5000 0 5000 10000 15000

Figure 1. Stress-strain curves from a triaxial compres- Figure 2. Stressstrain curves from a triaxial compres-
sion test on a saturated M/HM argillite sample (confining sion test on a saturated M/HM argillite sample (confining
pressure 5 MPa). pressure 5 MPa, suction = 21.74 MPa).

Some authors have reported the evolution of the same characteristics during triaxial loading as the sat-
plastic dilatancy during the triaxial compression tests urated samples, except a tendency of a dilatancy in the
(Chiarelli et al. 2003). In our new laboratory results vicinity of the peak (Fig. 2).
however this feature is not very clear and seems to be
limited in a little range of low confining pressure tests. 3 PORO-ELASTO-PLASTIC MODELLING
The failure mode seems also to be a function of the
confining pressure. Hoxha et al. (2004) have reported 3.1 Poromechanical saturated behaviour
a quasi-brittle failure for low-confining-pressure tri-
axial compression tests that becomes more and more 3.1.1 General assumptions and poroelastic
ductile as the confining pressure increases. These behaviour
results are in good agreement with those reported by The mechanical behaviour of the M/HM argillite is
Chiarelli et al. (2003). studied here under the hypotheses of small deforma-
During isotropic compression tests (1 = 2 = 3 ) tions and small perturbations, which imply the validity
on M/HM argillite samples stress-strain curves remain of the additive decomposition of strains:
linear up to the end of the test (60 MPa). This is a
remarkable result indicating the impossibility to iden-
tify a consolidation stress and the absence of an
with el = elastic strain tensor, pl = plastic strain
isotropic plastic behaviour that are common features
tensor.
for soils. In turn, that means that in the stress space,
Furthermore the initial behaviour of the rock is con-
the yield function of any plastic model candidate for
sidered to be isotropic. Not only this assumption
the behaviour of the M/HM argillite, must not cut the
simplifies the modelling, but also the anisotropy of the
isotropic stress axis in the compressive side. Particu-
mechanical behaviour observed during triaxial com-
larly, Cam-Clay type models seem to be not adapted
pression tests in laboratory, seems to be negligible
for this rock.
in situ.
The unsaturated behaviour of M/HM argillite is yet
We follow the poromechanical Biots theory of sat-
not well known. Recently we performed a set of tri-
urated porous media. The principles of this framework
axial compression tests at constant suction using a
are detailed in a number of references (for exam-
special device constructed for that purpose. The device
ple, Biot 1955, Coussy 1995) and are not discussed
uses the method of salt solution to control the rel-
here in details. Only the final results are mentioned
ative humidity (so the suction) inside a cell where
below. Within this framework, and by supposing the
the sample is put. For each imposed suction, a set
isothermal transformation, the mixed thermodynamic
of three triaxial compression tests at different confin-
potential of an isotropic elastic-plastic material is
ing pressure is carried out. The strength of the rock
written (Coussy 1995):
increases when the suction increases. Moreover the
peak surfaces obtained at various suction levels are
quasi parallel. In the same time the elastic properties
seems to be higher when the suction increases but the
experimental results at this point are quite dispersed.
Qualitatively, the partially saturated samples show the

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Copyright 2006 Taylor & Francis Group plc, London, UK

 where: C 0 = the fourth order, elastic drained stiffness
tensor, M = Biots modulus, B = second order Biots
tensor, p = pore pressure, Vk = the set of hardening
parameters P (Vk ) = locked energy because of the
hardening. In the case of an isotropic porous media the
Biots tensor and the Biots modulus are defined as:
In these last expressions K0 is the drained bulk modu-
lus of the rock, Ks is the bulk modulus of rock grains,
is the porosity and Kfl is the bulk modulus of saturating
liquid.
The derivation of the eq. (2) in respect with state
variables ( and p) leads to the state equations:
The equation (4.a) shows that the behaviour of a sat-
urated porous medium is governed by Biots effective
stress, since one could write:
The set of equations (1) to (5) is sufficient to describe
the behaviour of an elastic-plastic material if the laws
evolution of the plastic strain and plastic porosity are
known. Traditionally these evolutions are described by
a flow potential gp (, p, . . .) and very often the effec-
tive stress is used to write both yield function and
plastic flow potential. However, as pointed out by many
authors (Coussy 1995, Buhan and Dormieux 1996),
there is no fundamental reason for the yield criterion
to be expressed as a function of the sole effective stress
and not of the stress and pressure as independent vari-
ables. Moreover, some micromechanical-based analy-
ses have shown that generally speaking, the equivalent
stress governing the plastic criteria (yield function)
is a function of the microscopic behaviour of the
rock matrix (Dormieux 2005). These analyses however
need to be verified experimentally.
In some cases, (see for more details Coussy 1995),
the plastic strains of a porous medium is governed
123
Copyright 2006 Taylor & Francis Group plc, London, UK
by a plastic effective stress, usually different from the
elastic one:
It is important to note at this point that the effective
stresses defined by equations (5.a) to (5.c) is simply
a rheological concept. Using either of these effective
stresses for writing yield function or plastic potential,
is just a simplification, usually known as the principle
of stress equivalence (Shao & Giraud 2002)
3.1.2 Yield function, plastic potential and
plastic strains
In the models for M/HM argillite cited in 1 some
modified Drucker-Prager models are used for the yield
function. In order to better describe the behaviour of
the M/HM argillite in tension-stress paths a parabolic
surface is proposed:
with: J2 = second invariant of deviatoric stress tensor,
m = first invariant of equivalent stress tensor, , and
are parameters of the model (see below), is the
Lodes angle and g() is defined by:
The function g() control the shape of the yield func-
tion in the plan (Fig. 3). For Rs = 1 the function
g() is constant and equal to 1 and the shape of the
yield function in p plan becomes a circle. For Rs
greater then a critique value (about 0.77) the equa-
tion (7) describes always a convex shape. In saturated
conditions the equivalent stress m , due to the stress-
equivalent assumption accepted here, coincides with
Biots effective stress. The physical meaning of
parameter is recovered by considering (6) when J2 = 0,
which leads to m , = 1/. So, the parameter repre-
sents the inverse of the triaxial tension strength. It is
clear that when the rock runs to the failure the tri-
axial tension strength runs towards a small (close to
zero) value. In the same time the parameter must
increase to a finite value. Based upon experimental
results this function is adopted for the evolution of the
parameter :
We describe the post-peak behaviour of the rock by
evolution of the friction part of the rock-strength,
i.e., by the evolution of the parameter . In fact, in
the vicinity of the peak, the continuum modelling is
 Peak 3.J2 (MPa)
stress 60
surface m 0
plastic 50
dilatancy
Negative 40
Onset of
plastic
plasticity 30
dilatancy

20

10
plastic
potential
-40 -30 -20 -10
m (MPa)
Figure 3. Representation of the model in plane.
Figure 4. Presentation of yield locus, onset of plasticity,
not more valid since the strain localisation phenom- plastic potential and critical state line in the space of invariants
ena take place accompanied often by macro-fractures of the stress tensor.
apparition. The plastic softening could only be con-
sidered as a first approach and all precautions must be 3.1.3 Implicit modelling of damage
taken in practice to deal with results mesh-dependency. The decrease of the elastic modules during loading of
In present model the post peak behaviour is M/HM samples is a manifestation of the damage that
described by: this rock under stress. For the sake of the simplicity this
damage is considered to be isotropic and driven by the
plasticity. In that case the crack density parameter is
written as a function of the plastic distortion:

The plastic potential is chosen in such a way that the

principal laboratory observations be satisfied:
D is the induced crack density parameter as defined
by Bristow (1960), Budiansky and OConnell (1976)
and Kachanov (1992):
This potential defined a closed elliptical-like surface.
The vector normal to that surface defines the plas-
tic flow direction. Then the plastic strains is defined
by multiplying this vector with the so-called plastic with l (i) being the radius of the ith induced penny-shape
multiplier d: crack and the sum in (14) is taken over all cracks in
the volume V . A simple micromechanical reasoning
shows that for small induced-crack density the evo-
lution of elastic modules could be written as linear
functions of induced crack-density:
The critical state line, defined as the set of points in
the stress space for which the volumetric plastic strains
p
increment is equal to zero (dv = 0), is easily defined
by (10) and (11):

with K0in and in 0 being bulk and shear modulus of

In these expression d is a parameter of the model.
Since h is a function of the plastic distortion g, then
the equation (12) defines a family of critical state lines,
intact rock, and k1 and k2 some constants depending
on the geometry of considered cracks and on elastic
parameters of the rock skeleton. By taking into account
(13) it is possible to write the evolution of the elastic
parameters as functions of the plastic distortion:
all situated between 0 and m curves (Fig. 4). For
all stress-paths at left of m only plastic contraction is
possible, while for all those at right of 0 only plastic
dilatancy is possible

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Copyright 2006 Taylor & Francis Group plc, London, UK


The functions K0 ( p ) and ( p ) could be identified
by experimental results. Our data show that these
functions could be approximated quite well by the
following relations:
Note that evolution of the elastic parameters leads
to the evolution of other poromechanical coupling
parameters. For example, by neglecting the induced
porosity the evolution of the Biots coefficient could
be written as a function of the undamaged material and
crack density:
Similar expression could be obtained for the Biots
modulus. Moreover, using equations (17.a) or (17.b)
the evolution of the poromechanical parameters could
be written as a function of the plastic distortion. When
the information about the geometry of cracks is avail-
able, it is possible to calculate the porosity of induced
cracks from the crack density parameter.
The equation (17.a) and (17.b) show that the shear
modulus and bulk modulus, in generally case, does
not evolve in the same way unless k1 = k2 . From
that point of view the damage model presented here
is different from traditional isotropic damage mod-
els where usually only shear modulus decreases with
damage.
3.2 Poromechanical partially saturated behaviour
The question of the approach to follow while mod-
elling the partially saturated behaviour of a porous
material has not yet a unique response. Traditionally
two kinds of approaches are followed: (1) effective
stress based approaches and (2) independent stress
state variables. The primary idea in dealing with con-
stitutive relations of the partially saturated porous soils
was to use an effective stress approach by referring to
the saturated situation for which the concept is firmly
founded (Bishop 1959, Coussy 1995). The generalised
effective stress proposed by Bishop (1959) can be
written as:
125
Copyright 2006 Taylor & Francis Group plc, London, UK
with Slq = liquid(=water) saturation, pc = pg plq
capillary pressure, pg = gas pressure, plq = liquid
(=water) pressure, m = mean total stress.
The extension of the Biots theory of saturated
porous medium in partially saturated field by Coussy
(1995) leads to an incremental form of the effective
stress:
The integration of (20) makes use of the retention
curve, which for simplicity is considered to be a func-
tion of the capillary pressure only, i.e., Slq = Slq (pc ).
With this assumption the integrated form of (20)
gives:
When an independent stress state variables approach
is followed, the stress and the suction are supposed
to influence the porous medium independently. The
Barcelonas model (BBM model) is the most known
among the models using this approach (Alonso et al.,
1990). We have remarked in 2 the fact that the yield
locus of any plastic model used for M/HM argillite
must be opened on the compressive side of stresses.
From the BBM model the consequence of this state-
ment is that the collapsed line (LC) is not defined and
the influence of the suction on the behaviour of the
M/HM argillite is limited on its elastic behaviour and
in an increasing of its triaxial extension strength. In fact
it is easy to show that the elastic behaviour predicted
by BBM model could be described by an effective
stress since:
(see Alonso et al., 1990 for more details on significa-
tion of symbols entering these two equations).
The comparison of our laboratory data with pre-
dictions of the above-mentioned theories shows great
discrepancies both in elastic field and in description
of the peak stress. Similar discrepancies are shown
by other authors on other porous materials (Loret &
Khalili, 2002). These authors have proposed to resolve
the problem by using an effective-stress approach.
Likewise, we propose here, the modelling of the
partially saturated behaviour in the framework of an
effective-stress approach. For the elastic behaviour of
unsaturated rock we use a similar expression to (22.a):
 1 coefficient as a function of capillary pressure. This
(pc)
0.8
0.6
Experimental data
0.4 Model
0.2
pc (MPa)
0 parameters of Meuse/Haute Marne argillites : effect of
0 50 100 150 200
Figure 5. Function (pc ) as defined by laboratory results.
The difference between (22.a) and (23) is in the fact
that bl (pc ) is only a function of the capillary pressure.
The identification of the bl (pc ) function could be made
from a constant volume swelling test. During such a
test the stress generated on the walls of a rigid cell
are measured during the re-saturation of a partially
saturated sample. Using (23) for an increment of the
stress during this test we obtain:
The equivalent stress, used in the writing of the yield
locus and plastic potential; is supposed in a similar
form:
The function (pc ) could be identified using peak
stress surfaces. Indeed, supposing the validity of (25)
the yield locus (6) is written:
If the retention curve is known, then the equation (26)
allows to identify the function (pc ). From recent labo-
ratory results on M/HM argillite (Fig. 5) the following
expression is accepted for that function:
The hypothesis of equivalent stress allows then to
think that a similar expression could be used for bl (pc )
(eq.24).
4 CONCLUSIONS
A poromechanical model for saturated and unsaturated
behaviour of M/MH argillite was proposed.This model
is based upon the recent laboratory results on samples
of this rock. The model follows an effective stress
approach. Its generalization in partially saturated field
is realized by considering an evolution of the Biots
126
Copyright 2006 Taylor & Francis Group plc, London, UK
last function has been identified by using laboratory
data.
REFERENCES
Alonso E., Gens A., Josa A. (1990) A constitutive model for
partially saturated soils. Gotechnique; 40, pp. 405430
Bemer E., Longuemare P., Vinck O. (2004) Poroelastic
loading and saturation states, Applied Clay Science, 26,
pp. 369366.
Bishop A. W. (1959) The principle of effective stress.
Teknisk Ukeblad 39, 859863
Bristow J. R. (1960) Microcracks and the static and dynamic
elastic constants of annealed and heavily cold-worked
metals. Br. J. Apll. Phys. 11, pp. 8185
Budiansky B., and OConnell R. J. (1976) Elastic moduli
of a cracked solid. Int. J. Solids Structures, 12, pp. 8197
Dormieux L. (2005) Non linear poromechanical coupling,
Colloque Microstructure et Proprits des Matriaux,
ENPC, in french. pp.209215, ISBN 2-85978-412-8
Chiarelli A. S., Shao J.F., Hoteit N. (2003) Modelling of
elastic-plastic damage behaviour of a claystone, Interna-
tional Journal of Plasticity, 19, pp. 2345
Conil N., Djeran-Maigre I., Cabrillac R., Su K. (2004)
Thermodynamics modelling of plasticity and damage of
argillite, C. R. Mecanique 332, pp. 841848
Coussy O. (1995) Mechanics of Porous Continua (Wiley
Ltd. edn). Wiley: New York, 455p
Escoffier S. (2002) Caractrisation expriementale du com-
portement hydromcanique des argillites de Meuse/Haute
Marne, PhD thesis, INPL Nancy, France.
de Buhan P., Dormieux L. (1996) On the validity of the effec-
tive stress concept for assessing the strength of saturated
porous materials: a homogenization approach. Journal of
the Mechanics and Physics of Solids; 44, pp. 16491677
Grgic D., Giot R., Homand F., Giraud A. (2005) Effect of
suction on the mechanical behaviour of iron ore rock, Int.
J. Numer. Anal. Meth. Geomech., 29, pp. 789827
Hoxha D., Giraud A., Blaisonneau A., Homand F., Chavant
C. (2004) Poroplastic modelling of the excavation and-
ventilation of a deep cavity. Int. J. Numer. Anal. Meth.
Geomech; 28(4), pp.339364
Kachanov M. (1992) Effective elastic properties of cracked
solids : critical review of some basic concepts.Appl. Mech.
Rev. 46(8), pp. 304335
Loret and Khalili (2002) An effective stress elastic-
plastic model for unsaturated porous media, Mechanics
of Materials, 34, pp. 97116
Ozanam O., Hoteit N., Bemer E., Heitz J.-F. (2002) Experi-
ment determination of poroelastic parameters of a clayey
rock. In : Auriault J.-L et al. (Ed), Second Biot Conference
on Poromechanics, Grenoble, France, 228 August 2002.
Zwets & Zeitlinger, Lisse, Netherlands, pp. 275280
Shao J.F., Giraud A. (2002) Comportement poromcanique
des roches satures. In : Hicher P.Y, Shao J.F. (Ed) Lois
incrmentales viscoplasticit endommagement, Modles
de comportement des sols et des roches 2, Paris Herms
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Zhang C., Rothfuchs T. (2004) Experimental study of
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 EUROCK 2006 Multiphysics Coupling and Long Term Behaviour in Rock Mechanics
Van Cotthem, Charlier, Thimus & Tshibangu (eds)
2006 Taylor & Francis Group, London, ISBN 0 415 41001 0

Preliminary results of air permeability test under tensile stress condition

using a hollow cylindrical rock specimen

T. Ishida, S. Miyazaki & T. Ishii

Yamaguchi University, Ube, Japan

K. Amemiya
Hazama Corporation, Tokyo, Japan

Y. Mizuta
Sojo University, Kumamoto, Japan

ABSTRACT: The authors found to measure intrinsic permeability by an air permeability test using a hollow
cylindrical rock specimen. In this test, permeability under tensile stress condition can be measured, because
the tangential normal stress of the specimen becomes tensile when the inner pressure is higher than the outer
pressure. The tests were conducted for the specimens of Kurokami-jima granite and Kimachi sandstone, under
the condition that the inner and the outer pressures were set at 0.3 and 0.1 MPa respectively and the condition
that they were set in the opposite. Although it is expected that intrinsic permeability obtained in the former case
is larger than that in the latter case, the tendency is not clear within the results of the test. On the other hand, it
was found that the intrinsic permeability strongly depends on the porosity.

1 INTRODUCTION tensile stress condition can be measured. Thus,

In underground disposal projects of the high level
radioactive waste, it is apprehensive that stress-
released region around the drifts would be paths
of water contaminated with radioactive substances.
Although bentonite based backfill material in the drift
would apply expansive pressure to the wall, the mag-
nitude is very small. Thus, it is important to measure
the rock permeability under a low confining pres-
sure; however, it is difficult by conventional water
permeability test, because a certain magnitude of con-
fining pressure is needed to prevent water from leaking
between a sleeve and a specimen in the test. In addition
to this, to understand water flow over the long term,
it is also important to measure permeability of a low
permeable rock with high reliability.
In the background, the authors have developed an
air permeability test using a hollow cylindrical rock
specimen with an analytical method established by
Kuriyama & Mizuta (2002) following the transient
method by Brace et al. (1968). The test has the follow-
ing advantages in contrast to the conventional water
permeability tests.
(1) Since the tangential normal stress of the speci-
men becomes tensile when the inner pressure is
higher than the outer pressure, permeability under
this test can clarify dependency of the intrinsic
permeability under stress conditions from small
compression to small tension, and provide infor-
mation on necessary magnitude of the expansive
pressure of the bentonite based backfill material.
(2) By using air instead of water as fluid, the intrin-
sic permeability of a low permeable rock can be
measured with high reliability in a relatively short
time.
In this paper, preliminary measuring results of the
air permeability tests are reported for hollow cylindri-
cal specimens of Kimachi sandstone and Kurokami-
jima granite, conducted at 0.3 and 0.1 MPa of the inner
and the outer pressures and at the opposite case.
2 EXPERIMENTAL METHOD
2.1 Specimen
Hollow cylindrical rock specimens of which inside and
outside radius, Ri and Ro , are 1.5 and 2.2 cm respec-
tively, as shown in Figure 1, were used for the measure-
ment. The length, L, was 4.7 cm for Kimachi sandstone
and 5.0 cm for Kurokami-jima granite respectively. To
prevent air from leaking at the ends of the specimen,

127

Copyright 2006 Taylor & Francis Group plc, London, UK

 R0
Ri
L Ltd., Type PCD-300A). Although strain of the speci-
Figure 1. Shape of specimen
Outlets of strain gauge wires
Outer pressure cell
Specimen
Pressure gauges
Air compressor
governor
Presser
Plugs
Figure 2. Rock specimen set in the apparatus for the air
permeability test.
the both ends were flattened and glued with a silicon
resin to steel plates of 50 mm diameter and 2 mm thick-
ness having a 20 mm diametrical center hole. From
the outside of the plates at the both ends, other steel
plates of 80 mm diameter and 10 mm thickness hav-
ing a 3 mm diametrical center hole was tightened to
them with screws sandwiching an O-ring in a groove
between the two plates at the each ends. Thus, with
these four plates and the two O-rings, the specimen
was attached to an outer pressure cell.
2.2 Apparatus of experiment
An apparatus of the experiment was illustrated in Fig-
ure 2. An air compressor was connected to the bottom
of the outer pressure cell through a regulator. Another
pipe from the regulator was connected to the inside
of the specimen through the lower part of the outer
Copyright 2006 Taylor & Francis Group plc, London, UK
pressure cell. To make the inside volume almost equal
to the outside volume, a supplementary tank was set
in the circuit of the inner pressure. Pressure gauges to
measure the inner and the outer pressure were set at
the pipes close to the plugs shut the respective circuits.
These pressures were measured every second with the
pressure gauges (Kyowa Electronic Instruments Co.,
Ltd., Type PGM-10KH) having the maximum capacity
of 1 MPa, and recorded in a personal computer through
a sensor interface (Kyowa Electronic Instruments Co.,
men, temperature and others can be measured through
the outlets of wires on the top of the outer pressure
cell, they were not measured in this experiment.
2.3 Procedure of experiment
At the first, compressed air was pumped into both of
the inside and the outside circuit. While the circuit for
the lower pressure was shut when the pressure reached
to 0.1 MPa, the compressed air kept to be pumped into
the circuit for the higher pressure. When the higher
pressure reached to 0.3 MPa, the circuit for the higher
pressure was also shut and the pressure changes started
to be measured. After the start of the measurement,
the higher pressure decreased, while the lower pres-
sure increased. The measurement was stopped when
the both pressure converged on the same magnitude or
the elapsed time reached to 4 hours.
Inner
supplementary
tank 3 RESULTS OF EXPERIMENT
3.1 Pressure change with time
Figure 3 shows pressure change with time for the
Kimachi sandstone. Figure 3(a) shows a case that the
outer pressure was larger than the inner pressure, while
Figure 3(b) shows the opposite case that the inner pres-
sure was larger than the outer pressure. In the case
of the Figure 3(b), since tangential normal stress in
the specimen was tensile, it was expected that air per-
meates more easily than in the case of Figure 3(a)
where the tangential normal stress was compressive.
However, this result indicates that there was not large
difference between the two cases.
Figure 4 shows pressure change with time for the
Kurokami-jima granite. This result also indicates that
there was not large difference between the two cases.
However, a comparison between Figure 3 and Figure 4
clearly indicates that permeability of the granite is
much lower than that of the sandstone.
3.2 Calculation of intrinsic permeability
After the method shown by Kuriyama & Mizuta
(2002), we calculated an intrinsic permeability from
128
 0.4 0.4
(a) (a)
Outer pressure
0.3 0.3

Pressure (MPa)
Pressure (MPa)

Outer pressure

0.2 0.2

Inner pressure
0.1 0.1
Inner pressure
0
0 0 1 2 3 4
0 1 2 3 4 Elapsed time (h)
Elapsed time (h)
0.4
(b)
0.4 Inner pressure
(b) 0.3

Pressure (MPa)
0.3
Inner pressure
Pressure (MPa)

0.2
0.2
Outer pressure 0.1
Outer pressure
0.1
0
0 1 2 3 4
0 Elapsed time (h)
0 1 2 3 4
Elapsed time (h) Figure 4. Pressure change with time for Kurokami-jima
granite. (a) The case when the outer pressure is larger than
Figure 3. Pressure change with time for Kimachi sandstone. the inner. (b) The case when the inner pressure is larger than
(a) The case when the outer pressure is larger than the inner. the outer.
(b) The case when the inner pressure is larger than the outer.
Table 1. Sizes of parts for the permeability test.
the measured pressure changes using the following
formula. Kimachi
Name of rock Sandstone Kurokami-jima

Outer radius, Ro (cm) 2.2 2.2

Inner radius, Ri (cm) 1.5 1.5
Length, L (cm) 4.7 5.0
Initial outer pressure, 0.1 or 0.3
P10 (Mpa)
In this formula, P10 and P20 indicate initial magnitudes Initial inner pressure, 0.3 or 0.1
of the outer and the inner pressure, V1 and V2 indicate P20 (Mpa)
volumes of the outer and the inner pressure circuit, Volume of outer cell, V1 (1) 1.14
Volume of inner cell, V2 (1) 1.26
and indicate a compressibility and a coefficient
Compressibility of 3.33 106
of viscosity of air, and k is an intrinsic permeability air, (Pa1 )
to be obtained as an unknown. Addition to these, L, Coefficient of viscosity of 1.82 105
Ro and Ri are the length, the inside and the outside air, (Pas)
radius of the specimen, and P1 is the outer pressure Coefficient of viscosity of 8.90 104
that is a function of time, t. These numbers are shown water, w (Pas)
in Table 1.
At the first, by substituting the numbers shown in
Table 1 and the outer pressure, P1 , measured at the axis indicates natural logarithm of A, where A is the
elapsed time, t, the formula (1) is plotted in a graph. anti-logarithm in the parentheses of the left side of the
Figure 5 shows an example of the case that the outer formula (1) as shown in the formula (2),
pressure was larger than the inner pressure for the sand-
stone, shown in Figure 3(a). In Figure 5, the lateral
axis indicates the elapsed time and the longitudinal

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Copyright 2006 Taylor & Francis Group plc, London, UK

 At the second, when the coefficient excluding the -2
intrinsic permeability, k, of the second term in the right lnA = -9.9010-4t - 2.29
-3
side of the formula (1) is denoted by as shown in the
-4
following;

lnA
-5

-6
-7
0 0.2 0.4 0.6 0.8
and by substituting the numbers shown in Table 1 into elapsed time (h)
it, the following number was obtained;
Figure 5. Change of the number, lnA, with the elapsed time.

Table 2. Intrinsic permeability measured in this test.

In addition to this, when the first term in the right
side of the formula (1) is denoted by C, and by substi- Intrinsic permeability (m2 )
tuting the magnitudes of the initial pressures and the Cell to be kept at
numbers shown in Table 1, the following number was the larger pressure Outer Inner
obtained:
Kimachi Sandstone 3.48 1017 5.14 1017
Kurokami-jima granite 9.69 1019 8.59 1019

By substituting the formulas from (2) to (5) into the Table 3. Effective porosities of the specimens.
formula (1), the following relation is obtained;
Effective porosity (%)

Thus, when the numbers, A, obtained from the mea-
sured pressures are plotted in a semi-logarithmic graph
for the respective elapsed time like Figure 5, they make
a line having a gradient, k, where k is an intrinsic
permeability to be sought.
By getting a regression line for a linear part of the
plotted data shown in Figure 5, the following relation
was obtained:
By comparing the formula (6) and (7), the following
relation was obtained:
By substituting the number of shown in the for-
mula (4) into (8), the intrinsic permeability, k, has been
finally obtained as shown below:
As shown above, using the formula (1), the intrinsic
permeability was obtained only from the outer pres-
sure, P1 . Alternatively, by replacing the outer pressure,
P1 , with the inner pressure, P2 , in the formula (1), the
intrinsic permeability can be obtained only from the
inner pressure, P2 .
3.3 Results and discussion
Table 2 shows the intrinsic permeability of the Kimachi
sandstone and the Kurokami-jima granite obtained by
Kimachi Sandstone 20.6
Kurokami-jima granite 0.84
the procedure described above. As described previ-
ously, since the tangential normal stress in the speci-
men becomes tensile when the inner pressure is larger
than the outer pressure, it is expected that intrinsic
permeability obtained in the case is larger than that in
the opposite case. However, the tendency is not clear
within the results of the test, as shown in Table 2.
Effective porosities of Kimachi sandstone and
Kurokami-jima granite were measured, to check a
relation between the measured intrinsic permeabili-
ties and them. As shown in Table 3, effective porosity
of Kimachi sandstone is 25 times larger than that of
Kurokami-jima granite. Thus, the intrinsic permeabil-
ities seem to strongly depend on the porosities.
It is interesting to compare the obtained intrin-
sic permeabilities to hydraulic conductivities. So,
hydraulic conductivities, Kw were calculated from the
obtained intrinsic permeabilities using the following
formula;
where g is the gravity acceleration, w is density of
water and is a coefficient of viscosity of water.
Table 4 indicates that the hydraulic conductivities cal-
culated from the intrinsic permeabilities obtained in
our tests are within the extent of the numbers shown
in the literature (Vutukuri & Katsuyama 1994).

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Copyright 2006 Taylor & Francis Group plc, London, UK

 Table 4. Comparison between hydraulic conductivities
calculated from the obtained intrinsic permeabilities and
those for intact rocks shown in the literature (Butukuri &
Katsuyama 1994).
Hydraulic conductivity (m/s)
We will also conduct water permeability test, and
compare the obtained intrinsic permeability to that
obtained in the air permeability test. Furthermore, we
have a plan to apply this test to various problems for
underground sequestration projects of carbon dioxide.

Cell to be kept at the larger Outer Inner

pressure
Kimachi Sandstone
Sandstone shown in the
literature
Kurokami-jima granite
Granite shown in the
literature
4 CONCLUSIONS
ACKNOWLEDGMENTS
3.81 1010 5.63 1010
1010 105 We would like to thank very much Prof. Ken Kuriyama,
Yamaguchi University, for his kind help and sugges-
9.69 1012 8.60 1012 tions for us to understand theoretical background of the
1012 108 procedure to obtain an intrinsic permeability from the
measured pressure change in the test. We would like
to also thank Ms. Yuri Itami, an undergraduate stu-
dent at Yamaguchi University, for her help and effort
to conduct the test.

Since the tangential normal stress in the specimen REFERENCES

becomes tensile when the inner pressure is larger than
the outer pressure, it is expected that intrinsic per-
meability obtained in the case is larger than that in
the opposite case. However, the tendency is not clear
within the results of the test. On the other hand, the
intrinsic permeabilities seem to strongly depend on
the porosities.
We will make sure the difference of the intrinsic
permeability between the case that the inner pressure
is larger than the outer pressure and the opposite case,
by making the test for various kinds of rocks.
Brace, W. F., Walsh, J. B. & Frangos, W. T. 1968, Permeability
of granite under high pressure, Journal of Geophysical
Research 73: 22252236.
Kuriyama, K. & Mizuta, Y. 2002, The mathematical prin-
ciples of permeability measurement by transient pulse
method for cylindrical specimen made of low-permeability
rock, Proc. of the Second International Symposium on
New Development in Rock Mechanics and Rock Engineer-
ing, 4043.
Vutukuri, V. S. & Katsuyama, K. 1994, Introduction to Rock
Mechanics, Industrial Publishing & Consulting, Inc.

131

Copyright 2006 Taylor & Francis Group plc, London, UK

 EUROCK 2006 Multiphysics Coupling and Long Term Behaviour in Rock Mechanics
Van Cotthem, Charlier, Thimus & Tshibangu (eds)
2006 Taylor & Francis Group, London, ISBN 0 415 41001 0

Impact of brine composition on the mechanical strength of

chalk at high Temperature

R.I. Korsnes, M.V. Madland & T. Austad

University of Stavanger, Stavanger, Norway

ABSTRACT: Fractured chalk oil reservoirs in the North Sea are very successfully flooded with seawater
to improve the oil recovery due to the ability of seawater to increase spontaneous imbibition of water. The
mechanical properties of chalk are decreased when oil is displaced by water, and the phenomenon is referred to
as the water weakening effect, which will cause compaction of the reservoir rock. The ion composition of the
water also appeared to have influence on the mechanical properties. The mechanical behavior of high porosity
outcrop chalk was studied when flooding the cores at 130 C with artificial seawater, modified seawater, and
distilled water. Increased compaction, by a factor of 2.7, was observed for cores flooded with 9 pore volumes
(PV) of seawater containing sulfate. Without sulfate present in seawater, the compaction was comparable to
distilled water. The decrease in permeability due to compaction of the high porosity chalk was not affected by
the type of flooding fluid during the creep tests. The impact of potential determining ions (Ca2+ , Mg2+ and

SO24 ) on the mechanism of enhanced compaction of chalk flooded with seawater at 130 C was discussed in
terms of the chemistry of the thin water film close to the inter-granular contacts.

1 INTRODUCTION network from injector to producer, which will lead to

Chalk is an important reservoir rock in the southern
part of the North Sea, and it is characterized as low
permeable (13 mD) with high porosity (4050%).
The high porosity was preserved due to early inva-
sion of hydrocarbons and creation of overpressure. The
absence of normal diagenetic processes has resulted
in a very small degree of cementation. During the
primary production phase with pressure depletion,
compaction of the chalk is a very important drive
mechanism for oil displacement with a contribution
of about 45%. The Ekofisk field is a typical exam-
ple. In order to keep the reservoir pressure above the
bubble point of the reservoir fluid, the injection of
seawater has been a success both regarding pressure
support and oil displacement. The wetting condition
of a fractured chalk reservoir is crucial for the effi-
ciency of oil displacement when water is injected.
Carbonates wetting conditions are dictated by several
parameters; pH of the equilibrium brine, temperature
of the reservoir, crude oil properties (acid- and base
numbers), and composition of the equilibrium brine,
e.g. potential determining ions like Ca2+ , Mg2+ and
SO2
4 (Austad et al. 2005). About 90% of the carbonate
reservoirs are characterized as neutral to slightly oil-
wet, which prevents spontaneous imbibition of water
from the fractures into the matrix blocks (Downs et al.
1989). Then the injected water will follow the fracture
an early breakthrough. This may be the reason why the
average oil recovery from carbonates is less than 30%.
Even though the injection of large amounts of
seawater has repressurized the reservoir well above
the bubble point of the fluid, compaction is still
observed in water flooded areas, and the phenomenon
is described as water weakening of chalk (Madland,
2005). A drastic change in the mechanical strength
of the chalk occurred instantly when oil was dis-
placed by water (Korsnes et al. 2006). The water
weakening mechanisms is not fully understood, and
several physico-chemical models have been suggested,
i.e. change in capillary forces (Delage et al. 1996),
increased stress solution (Hellmann et al. 1996),
increased pressure on chalk grains caused by attrac-
tion of water molecules to the calk surface (Risnes
et al. 2005), and chemical dissolution (Newman, 1983;
Heggheim et al. 2005).
As the water saturation in the matrix blocks of a
chalk reservoir increases due to spontaneous imbibi-
tion of water from the fractures, the relative permeabil-
ity of water increases, and it is reasonable to believe
that a small fraction of the injected seawater will flow
through the chalk matrix. Thus, as long as the water
injection occurs, the time to reach chemical equilib-
rium between the chalk surface and the pore fluid will
be long because the pore water is displaced by fresh
seawater continuously.

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Copyright 2006 Taylor & Francis Group plc, London, UK

 Besides this fast weakening of chalk by water, Table 1. Molar concentration of components in the
slower processes related to chalk dissolution and brines used.
chemical reactions at the chalk surface, may have
SSW SSW-U SSW-U2 SSW2
impact on the mechanical strength. The ionic compo- Ions [mol/l] [mol/l] [mol/l] [mol/l]
sition of the water and the temperature are key factors
(Heggheim et al. 2005; Newman, 1983). The biogenic HCO 0.002 0.002 0.002 0.002
3
chalk has a high surface area, about 2 m2 /g, and we Cl 0.525 0.583 0.567 0.467
have recently described a surface substitution reac- SO42
0.024 0.000 0.000 0.048
tion between Mg2+ from seawater and Ca2+ from Mg2+ 0.045 0.045 0.000 0.045
the rock surface. This substitution reaction, which Ca2+ 0.013 0.013 0.013 0.013
in some cases has been described as dolomitization Na+ 0.450 0.460 0.533 0.440
(Petrovich et al. 1998; Mackay et al. 2003), increases K+ 0.010 0.010 0.010 0.010
as the temperature is increased. Due to the unexpected TDS [g/l] 33.39 33.39 33.39 33.39
great difference in the strain value for chalk under
stress, which was exposed to seawater and distilled
water, we proposed a hypothesis that the substitute
reaction between Mg2+ and Ca2+ ions may cause After shaping, the samples were again dried before
increased water weakening effects at high tempera- being saturated with the actual fluid under vacuum,
tures (Korsnes et al. 2006). If the chemical reaction 45 Pa. The samples for the dynamic tests were satu-
at the chalk surface was only related to chalk disso- rated one day before testing and stored in the saturating
lution, the strength of the chalk should increase as fluid until the next day.
the temperature increased due to the decrease in chalk
dissolution. It has also been observed that the wet-
ting conditions of the chalk have impact on the water 2.2 Flooding fluids
weakening of the chalk (Strand et al. 2005). The following flooding fluids were used: Artificial
In this paper, chalk cores under hydrostatic stress seawater (SSW), modified seawater without SO2 4
are flooded with seawater, modified seawater and dis- (SSW-U), modified seawater without SO2 4 and Mg
2+
tilled water at 130 C to detect long-term creep effects, (SSW-U2), modified seawater with 2 SO4 ion con-
2
and the objectives were: centration (SSW2), and distilled water (DW). For the
Quantification of additional strain caused by the modified seawaters, the salinity was kept constant by
substitution of Ca2+ from the chalk surface by Mg2+ adjusting the NaCl concentration. The compositions
present in the injected seawater. are listed in Table 1.
Study, which effect additional strain has on the
decrease in chalk permeability.
Propose a chemical mechanism for the water weak-
2.3 Dynamic test cell
ening of chalk, which is in line with experimental The cell used for the dynamic tests was a hydrauli-
facts. cally operated cell with heating elements mounted on
the outside. 3 high-pressure pumps (0.1 MPa) are
used to operate the cell (confining pressure, axial pres-
sure and fluid circulation). The cell was not equipped
2 EXPERIMENTAL
for measuring lateral displacement. The axial dis-
placement was measured by an outside linear voltage
2.1 Core materials and preparation
displacement transducer (0.05 mm) that followed the
Outcrop chalk from Stevns Klint near Copenhagen movement of the piston. The piston system of the cell is
in Denmark, termed SK-chalk, was used. The main compensated so that the confining pressure is applied
characteristics of this chalk are: Maastrichtian age; also in the axial direction. The pump in the axial circuit
porosity between 45 to 50%; permeability 12 mD will thus provide only the additional axial pressure. An
(1 2 1015 m2 ). The SK-chalk is mainly composed inconvenience of this set-up is that the axial displace-
of fine graded matrix (96 wt%), whereas larger bio- ment cannot be measured in pure hydrostatic tests. To
clasts (mostly uncemented foraminifera) constitute the keep the piston in contact with the sample, some pres-
remaining part of the rock (Milter, 1996). sure must be applied in the axial circuit. Thus, the axial
The cores were drilled from the same chalk block stress will always be slightly higher than the confin-
with an oversized bit, with circulating water as cool- ing stress as an alternative to pure hydrostatic tests in
ing. After drilling, the cores were dried in an oven the cell. Quasi-hydrostatic tests with a small additional
at approximately 110 C. There after, the cores were axial stress were performed with this test cell.
shaped in a lathe and cut to the right size, L 70 and The heating system of the cell consisted of 6 heat-
D = 37 mm. ing elements, which was controlled by an external

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Copyright 2006 Taylor & Francis Group plc, London, UK

 regulating system. The temperature inside the cell 12
SSW
was measured by a resistivity Pt-100 element. During SSW
10
the experiments, the temperature was kept constant, SSW2

Axial stress [MPa]

0.2 C. 8 SSW2
SSW-U
6
SSW-U
2.4 Dynamic tests SSW-U2
4
The SK-samples were saturated with the chosen injec- SSW-U2
2 DW
tion fluid and stored in the fluid until the next day.
DW
During the entire test, the flooding rate was about 2 0
pore volumes per day (PV/D) with a pore pressure of 0.0 0.5 1.0 1.5 2.0 2.5
Axial strain [%]
0.8 MPa.
All tests were started by increasing the effective Figure 1. Axial stress vs. axial strain for all dynamic tests,
stress up to 0.8 MPa, and then the cell was heated at 130 C.
to 130 C. Flooding of the core started when the set
temperature was reached. Hydrostatic loading beyond 10
yield was performed to a stress level between 9.8 9

10.5 MPa, which was followed by a creep phase. The 8

strain rate for the hydrostatic tests was approximately Hydrostatic yield [MPa]
7
6
0.1%/hour, and the strain were logged continuously
5
during the hydrostatic test and creep phase. After 4 SSW SSW2 SSW-U SSW-U2 DW
flooding approximately 9 PV in the creep phase, the 3
6.6 MPa 6.3 MPa 8.5 MPa 8.4 MPa 9.1 MPa
actual flooding fluid was exchanged with distilled 2
water.About 5.2 PV of distilled water was then injected 1
before the fluid was changed back to the original. 0

Nearly all tests ended after flooding between 16

22 PVs during the creep phase. Test R1 ended after
8.5 PVs, and for core R10 and R11 the flooding
stopped after 6 and 9 PVs because of blockage on the
outlet side of the core due to precipitation of CaSO4 .
2.5 Permeability studies
Permeability measurements were conducted during
the dynamic tests to observe changes in chalk per-
meability at constant stress conditions with different
fluids during the creep phase. The differential pressure
over the core was determined by a pressure transducer
with pressure limit of 249 kPa and accuracy of 0.075%
of full span. The permeability was then calculated
using Darcys law:
where q
is the volume rate, A is the cross section
Figure 2. Average yield points for dynamic tests flooded
with five different fluids at 130 C.
Mg2+ from the seawater. Finally, a mechanism is sug-
gested based on the chemistry in the thin water film
between the chalk grains.
3.1 Dynamic tests
The hydrostatic tests were performed with SK-cores
at 130 C. In order to document the reproducibility of
the experiments, two different cores were tested for
each of the saturating fluids used, SSW, SSW2, SSW-
U, SSW-U2 and DW, Table 1. The day before the start
of the hydrostatic tests, the cores were flooded with
about 1.5 PV of the actual fluid at 130 C. An injection
rate of 0.05 ml/min was used, which corresponded to
about 2 PV/D. Therefore, the observed difference in
chalk strength, as measured by the yield point, when
loading the cores to the stress level for the creep study,
area of the core, is the fluid viscosity and P is should be related to the fluidrock interaction during
the pressure drop over the core with length L.
3 RESULTS AND DISCUSSION
In this section, the results from the dynamic long-term
creep tests will be presented followed by the perme-
ability tests. The effect of the ionic composition of
the flooding fluid, regarding compaction, will be dis-
cussed in terms of chemical substitution of Ca2+ by
135
Copyright 2006 Taylor & Francis Group plc, London, UK
this period. The axial stress-strain correlation for all
the tests is presented in Fig. 1. The average values
of the hydrostatic yield point for the different fluids
are presented in Fig. 2 and Table 2. After one day
of flooding, distinct differences in yield point were
observed. Cores flooded with brines containing SO2 4 ,
SSW and SSW2, showed the lowest values of the yield
point, 6.3 and 6.6 MPa, respectively. Cores flooded
with fluids without SO24 , SSW-U, SSW-U2 and DW,
had the highest yield point values 8.5, 8.4 and 9.1 MPa,
 Table 2. Average yield points and K-modulus for cores flooded with five different fluids
at 130 C.

Fluid SSW SSW2 SSW-U SSW-U2 DW

h [MPa] 6.6 0.3 6.3 0.2 8.5 0.5 8.4 0.1 9.1 0.1
K [GPa] 0.62 0.06 0.44 0.09 0.64 0.35 0.61 0.01 0.64 0.11

1.8 1.6
SSW
1.6 Flooding of
distilled water SSW 1.4
1.4
SSW 2 1.2

Axial creep strain [%]

Axial creep strain [%]

1.2
SSW 2
1.0
1.0 DW
0.8 DW 0.8
SSW2
0.6 SSW -U2
0.6
0.4 SSW -U2 SSW2
0.4
SSW -U
0.2
SSW -U 0.2
0.0
0 5 10 15 20 25
0.0
Pore volume
0 5 10 15 20 25
Pore volume
Figure 3. Axial creep strain vs. pore volume for all flooding
fluids at 130 C. Figure 4. Axial creep strain vs. pore volume for SSW2 at
130 C.
respectively. Within the limit of experimental data, the 1.8
difference in the average yield point value between 1.6
Flooding of
samples saturated with brines containing SO2 4 (SSW 1.4
distilled water

SSW
and SSW2) and samples saturated with water without
Axial creep strain [%]

1.2 SSW
SO24 (SSW-U, SSW and DW) appeared to be signif- 1.0 SSW-U
icant. The samples flooded with water without SO2 4 0.8 SSW-U

were a factor 1.34 stronger than samples flooded with 0.6

2
brines containing SO4 . Based on the yield point val- 0.4

ues, it is also of interest to note that the samples flooded 0.2

with DW appeared to be slightly stronger than the cores 0.0

without SO2 4 .
0 5 10
Pore volume
15 20 25

No systematic change in the K-modulus was

observed, Table 2. All saturating fluids except SSW2
resulted in more or less the same K-modulus. A rea-
son for this can be, that this cell is not equipped to
measure radial displacement, which leads to uncer-
tainties regarding determining the volumetric strain,
which is used to calculate the K-modulus. A second
reason, and probably the main reason, is of course the
small number of samples tested, i. e. only two samples
per fluid.
After reaching an axial stress level of about 10 MPa,
additional creep tests at constant stress level and flow
rate were conducted. All the results are summarized
in Fig. 3. Also during this creep phase, the samples
flooded with brines containing SO2 4 had much greater
compaction compared to cores containing water with-
out SO2 4 . After a flooding period of 9 PV, the average
difference in the axial strain corresponded to a fac-
tor of about 2.7. This is of course a very large effect.
When disregarding the flooding period with distilled
water, the difference in compaction between the SO2 4 pressure build up. The compaction for cores flooded
containing cores and those without SO2 4 became even
larger as the number of PV increased. This is evident
from the slope of the respective curves.
Figure 5. Axial creep strain vs. pore volume for SSW and
SSW-U at 130 C.
After flooding 6 and 9 PV, the flowing pressure
of samples containing SSW2, i.e. two times sulphate
compared to SSW, increased drastically, probably due
to precipitation of CaSO4 . It is difficult to certify
whether this precipitation took place inside the chalk
matrix or in the outlet tubing, or if it is a combination
of the two. Even though no flooding took place after 6
and 9 PV with SSW2, the cores continued to compact,
and the slope of the creep curve is more or less lin-
ear, Fig. 4. The slope started to deviate from the linear
trend after a time corresponding to 16 PV, i.e. 8 days
of creep.
After flooding 9 PV, the injection fluids were
changed to DW, in order to check possible changes
in the cores creep behaviour. Samples flooded with
SSW2 were not included in this test because of the
with SSW and SSW-U increased when switched to
DW, Fig. 5. The response was, however, different. The
sulphate containing cores responded immediately in a

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Copyright 2006 Taylor & Francis Group plc, London, UK


1.0
Flooding of
0.9
distilled water
0.8
Axial creep strain [%]
0.7
0.6
0.5
0.4
0.3
0.2
0.1
0.0
0 5 10
Pore volume
Figure 6. Axial creep strain vs. pore volume for SSW-U2 at
130 C.
linear way, while the cores without sulphate responded
more slowly. The average increase in compaction was
highest with samples flooded with SSW, 28%, and
lowest for samples flooded with SSW-U, 19%. When
switching back to the original injection fluids, the
cores responded also differently to creep. For the SSW-
U samples, the creep became very small compared to
the creep observed for the SSW-saturated cores. It must
be kept in mind that the only difference between the
two brines was the content of SO2
4 .
It is also interesting to note that for the cores
without SO2 2+
4 and Mg , i.e. the SSW-U2 brine, no
increased compaction was observed when switching
to DW, Fig. 6. Thus, Mg2+ must be present in the
original flooding fluid in order to promote enhanced
compaction when turned to DW. As a conclusion, the
order of increased compaction when switched to DW
is: SSW>SSW-U>SSW-2U.
Even though only two different samples for each
of the fluids were tested, the repeatability of the tests
was very good, and therefore, the results presented are
believed to be significant.
3.2 Permeability studies
Since the hydrostatic cell was not equipped to measure
radial strain, volumetric strain could not be calcu-
lated and used to determine the porosity decrease with
increasing stresses. Volumetric strain can be deter-
mined by assuming axial strain equal radial strain,
since the tests were hydrostatically. This assumption
is, however, not entirely correct since chalk is not a
completely homogeneous material. Anyway, perme-
ability studies were performed at 130 C during the
hydrostatic loading from 0.8 to 10 MPa effective stress
and also during the long term creep phase. In the for-
mer case, the permeability was normalized according
to the respective values observed at 0.8 MPa, and in
the latter case, it was normalized to the permeabil-
ity value observed at the start of the respective creep
phases. This was done in order to make the comparison
between the different fluids easier.
Copyright 2006 Taylor & Francis Group plc, London, UK
Normalised permeability hydrostatic test
1.2
SSW-U2
SSW-U2 1.0 DW
SSW-U2
0.8
SSW-U
SSW-U
0.6
SSW
0.4 SSW
SSW2
0.2
SSW2
0.0
0 2 4 6 8 10 12
15 20 25 Axial stress [MPa]
Figure 7. Normalized permeability during hydrostatic test
vs. axial stress for all flooding fluids at 130 C.
The decrease in normalized permeability versus
axial stress during the hydrostatic load period is shown
in Fig. 7. Also in this case, the trends in the decrease in
permeability fall into two different groups. For sam-
ples containing SO2 4 , the sharp permeability reduc-
tion starts at a lower stress level (6 MPa), and the
permeability reduction is larger (60%). Without SO2 4
present, the sharp permeability reduction starts at a
higher stress level (7.8 MPa), and the permeability
reduction is smaller (40%). It appeared that the yield
point of the different tests corresponded quite well
with the stress level where the normalized permeabil-
ity curve deviated from a linear trend. It is suggested
that the open structure of the chalk matrix leads to
pore collapse as failure mechanism for hydrostatic
tests (Blanton 1981; Fjr et al. 1991). Chalk grains
filling the pores and partly blocking the throats are
causing a large decrease in permeability (David et al.
1994). The permeability was in total reduced by a fac-
tor of 2.5 for the samples containing SO2 4 , while the
reduction was 1.7 for the samples flooded with fluids
without SO2 4 .
Axial strains, and thereby volumetric strains, for
the hydrostatic tests were a factor of 2 larger for sam-
ples flooded with SO2 4 compared with those without
SO24 . If all the tests were plotted as normalized perme-
ability versus axial strain, as shown in Fig. 8, then the
permeability reduction can be defined as axial strain
dependent, and also volumetric strain dependent, since
the test is hydrostatic. Thus, the composition of the
fluid determined mechanical strength, while the per-
meability evolution in hydrostatic tests is related to the
strain.
Normalized permeability data versus injected PV
from the creep phase are presented in Fig. 9. Only the
cores exposed to SSW2 deviated from the nearly lin-
ear trend. The reason is that the concentration of Ca2+
is increased during the flooding due to the substitu-
tion reaction with Mg2+ , and therefore the solubility
limit of CaSO4 was exceeded (Korsnes et al. 2006). It
should be noted, that during the short hydrostatic load-
ing phase, no specific reduction in permeability of the
cores flooded with SSW2 was detected, Figs. 7 and 8,
137
 1.2 1.1
Normalised permeability before creep

1.0

Normalised creep permeability

1.0
0.9

0.8 0.8

0.7
0.6 DW
0.6
SSW-U2
0.5
0.4 SSW-U
0.4 SSW-U

0.3 SSW
0.2
SSW
0.2
0.0 0.0 0.2 0.4 0.6 0.8 1.0 1.2 1.4 1.6 1.8
0.0 0.5 1.0 1.5 2.0 2.5 Axial creep strain [%]
Axial strain [%]

SSW SSW2 SSW-U SSW-U2 Figure 10. Normalized creep permeability vs. axial creep
SSW SSW2 SSW-U DW strain for all flooding fluids at 130 C.

Figure 8. Normalized permeability during hydrostatic test SSW, 130C

vs. axial strain for all flooding fluids at 130 C. 0.050
0.045
0.040
1.1 0.035
1.0 0.030
[mol/l]
Normalised creep permeability

0.025
0.9
0.020
0.8 0.015
Sulfate
0.7 0.010
DW Calcium
0.005
0.6 SSW-U Magnesium
SSW-U 0.000
0.5 SSW-U2 0.0 0.5 1.0 1.5 2.0 2.5 3.0 3.5 4.0 4.5
SSW Pore volume
0.4
SSW
0.3 SSW2
SSW2 Figure 11. SO24 , Ca
2+
and Mg2+ concentration in seawater
0.2
0 5 10 15 20 25 vs. pore volumes at 130 C.
Pore volume

Figure 9. Normalized creep permeability vs. pore volumes
for all flooding fluids at 130 C.
which also points to a more complex process than just
precipitation.
The axial creep strain is a factor 23 higher for the
samples flooded with SSW at the end of the test, but
the reduction in normalized permeability is the same
as the other samples, Fig. 10. Thus, the correlation
between normalized permeability versus axial creep is
different for the hydrostatic test, Fig. 8, which was per-
formed with increasing stresses during a short period
of 78 hours, compared to the long term creep test, at
constant stress, lasting 512 days, Fig. 10. The most
important result from the creep test was, however, that
the normalized permeability reduction was more or
less unaffected by the flooding fluid and axial creep
strain, even though the axial creep strain was a factor
2-3 higher for samples flooded with SSW compared
to the other injection fluids.
3.3 Water weakening mechanism with SSW
Besides the well-known fast weakening of chalk, when
oil is substituted by water (Korsnes et al. 2006; Rhett,
1990), also the composition of water plays an impor-
tant role, Fig. 3. It is evident from Fig. 11, that Mg2+
from seawater substitutes Ca2+ on the solid surface,
and MgCO3 (s) is formed. The concentration of Mg2+
decreased, and at the same time the concentration of
Ca2+ increased in the effluent fluid when flooding sea-
water slowly through the core at 130 C. Knowing that
Mg2+ is a much smaller ion compared to Ca2+ , struc-
tural changes on the chalk surface must take place. It is
also noticed that the concentration of SO2 4 decreased
due to enhanced adsorption onto the chalk surface
at high temperatures (Strand et al. 2005). The great
increase in compaction by a factor of about 2.7 after
9 PV, when flooded with seawater containing SO2 4 ,
must be related to chemical reactions at the chalk sur-
face rather than pure chemical dissolution of chalk. If
only dissolution of chalk is the main mechanism for
chalk weakening, distilled water is expected to weaken
the chalk mostly due to the lack of common ions like
Ca2+ , but this is not the case.
The mechanical strength of chalk is linked to the sta-
bility of the inter-granular contacts, which is known to
be very weakly cemented (Risnes et al. 1999). Substi-
tution reactions between Mg2+ and Ca2+ on the chalk
surface in the pore bodies will not affect the mechani-
cal strength of the chalk significantly. If, however, the
substitution takes place at the inter-granular contacts,
it is reasonable to believe that the strength of the chalk
would be affected. Thus, the chemistry linked to the
thin water film at the inter-granular contacts is the key
to understand why seawater has such a great effect

138

Copyright 2006 Taylor & Francis Group plc, London, UK

 8 SSW without SO42, 130C
Smoluchowski potential [mV]

7 0.050
0.045
6
0.040
5 0.035
Magnesium
4 0.030

[mol/l]
0.025 Calcium
3
0.020
2 0.015
1 0.010
0.005
0
6.5 7.0 7.5 8.0 8.5 9.0 9.5 10.0 0.000
pH 0.0 0.5 1.0 1.5 2.0 2.5 3.0 3.5 4.0 4.5
Pore volume

Figure 12. Smoluchowski potential for chalk in artificial

seawater vs. pH at 25 C. Figure 13. Ca2+ and Mg2+ concentration in seawater with-

out SO2
4 vs. pore volumes at 130 C.

on the mechanical strength of chalk at high tempera-

ture. In the presence of seawater, the surface charge on
chalk is positive in the actual pH range of carbonate
reservoirs, i. e. 7.09.5, Fig. 12. Without strong poten-
tial determining ions (Ca2+ , Mg2+ , SO2 4 ) present in
the aqueous phase, the surface charge on chalk usually
decreases as the pH increases (Nystrm et al. 2001),
but this is not the case for seawater. When making a
charge balance of ions in the very thin water film close
to the grain contacts, the surface charge of the chalk
must be taken into account. Therefore, due to electro-
static repulsion, positively charged ions are prevented
to react with the chalk surface at the inter-granular
contacts. The electrostatic repulsion experienced by
the cations in the thin film and the chalk surface can
be decreased by the adsorption of negatively charged Figure 14. Suggested mechanism of enhanced water weak-
potential determining ions like SO2 4 . Thus, SO4
2
ening in chalk.
decreases the positive charge on the chalk surface at
the inter-granular contacts, which promotes substitu-
tion reactions between Mg2+ and Ca2+ . This explains In light of these new results, oil companies must
why SO2 4 must be present in the seawater to cause take into account the special effect that seawater has
enhanced weakening of the chalk at high temperatures. on the mechanical strength of chalk when evaluating
It must be noticed that Mg2+ can substitute Ca2+ at the the contribution of compaction regarding oil recov-
surface in the pore bodies without SO2 4 present. This ery. Standard commercial compaction models must be
is evident from Fig. 13 where the core was flooded with updated. The temperature is a very important parame-
SSW-U, but in this case, no enhanced weakening of the ter, and this effect will be studied in the next paper in
chalk took place, Fig. 3. Thus, the mechanical weak- this series.
ening of chalk is mostly linked to the chemical activity
at the grain contacts. The suggested mechanism of
enhanced water weakening associated to the chemistry
4 CONCLUSION
of the thin water film is schematically illustrated in
Fig. 14.
New experimental results dealing with the effects of
Further experimental evidence for the suggested
seawater on the mechanical strength of chalk have been
mechanism is obtained by changing the flooding fluid
presented. The results are important when using sea-
from seawater to distilled water at about 9 PV. The
water as EOR-fluid in chalky oil reservoirs at high tem-
sudden increase in axial strain, when seawater was
peratures. The main conclusions are shortly listed as:
changed to distilled water, is explained by dissolution
of MgCO3 (s) formed at the inter-granular contact, Fig. Seawater contains potential determining ions
5. It is well known that the solubility of MgCO3 (s) is toward the chalk surface, which have great impact
much higher than the solubility of CaCO3 (s). Thus, in on the chalk properties.
the presence of SO2 4 , the chalk is first weakened by
At high temperature, Mg2+ present in seawater
the substitution of Ca2+ by Mg2+ at the granular con- will substitute Ca2+ at the chalk surface to form
tact point, and the dissolution of the formed MgCO3 MgCO3 (s), which will affect the mechanical stabil-
will weaken the chalk even more. ity of chalk.

139

Copyright 2006 Taylor & Francis Group plc, London, UK

 Chalk cores under stress, when flooded with sea-
water, showed an increased axial strain (factor of
2.7) compared to chalk cores flooded with seawater
without sulphate or distilled water.
Even though cores, exposed to flooding fluids con-
taining sulphate, showed increased compaction, no
significant difference in the normalized permeabil-
ity was observed during the creep phase.
The impact of potential determining ions on the
mechanism of enhanced compaction of chalk
flooded with seawater at 130 C was discussed in
terms of the chemistry of the thin water film close
to the inter-granular contacts.
ACKNOWLEDGEMENTS
The authors acknowledge ConocoPhillips and the
Ekofisk Coventurers, including TOTAL, ENI, Hydro,
Statoil and Petoro, for financing the work and for the
permission to publish this paper from the research cen-
ter COREC. Thanks also to the Norwegian Research
Council, NFR, for financial support.
REFERENCES
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water as IOR Fluid in Fractured Chalk, SPE Paper 93000,
presented at the Oilfield Chemistry Symposium, Houston,
TX, 24 February.
Blanton, T.L., 1981. Deformation of Chalk Under Confining
Pressure and Pore Pressure. SPEJ, February 1981.
David, C., Wong, T.F., Zhu, W. & Zhang, J., 1994. Labora-
tory Measurement of Compaction-induced Permeability
Change in Porous Rocks: Implications for the Generation
and Maintenance of Pore Pressure Excess in the Crust.
PAGEOPH, Vol, 143, 425456.
Delage, P., Cui, Y.J. & Schroeder, C., 1996. Subsidence and
capillary effects in chalks. Eurock 96, ISRM International
Symposium, Torino, Italy, 1291-1298.
Downs, H.H. & Hoover, P.D., 1989. Enhanced Oil Recov-
ery by Wettability Alteration, In: Oil-Field Chemistry,
Enhanced Recovery and Production Simulation. Eds.
Borchardt, J. K. and Yen, T. F. ACS Symposium Series
396, Washington D. C.
Fjr, E., Holt, R.M., Horsrud, P., Raaen, A.M. & Risnes, R.,
1991. Petroleum related rock mechanics. ISBN 0-444-
88913-2.
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Heggheim, T., Madland, M.V., Risnes, R. & Austad, T., 2005.
A chemical induced enhanced weakening of chalk by
seawater. J. Pet. Sci. Eng., 46, 171184.
Hellmann, R., Gratier, J.P. & Renders, P., 1996. Deforma-
tion of chalk by pressure solution. V.M. Goldschmidt
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Korsnes, R.I., Strand, S., Hoff, ., Pedersen, T.,
Madland, M.V. & Austad, T., 2005. Does the chemical
interaction between seawater and chalk affect the mechan-
ical properties of chalk? Paper in preparation. Presented
at EUROCK06 European Regional ISRM Symposium,
Liege, Belgium, 912 May, 2006.
Mackay, E.J. & Jordan, M.M., 2003. Natural Sulphate Ion
Stripping during Seawater Flooding in Chalk Reservoirs.
Presented at the 8th International Chemistry in the Oil
Industry Symposium, Manchester, UK, November 35.
Madland, M.V., 2005. Water weakening of chalk. A mecha-
nistic study. PhD thesis, Department of Petroleum Engi-
neering, University of Stavanger, Norway.
Milter, J., 1996. Improved Oil Recovery in Chalk. PhD thesis,
Department of Chemistry, University of Bergen, Norway.
Newman, G.H., 1983. The effect of water chemistry on the
laboratory compression and permeability characteristics
of some North Sea Chalks. J. pet. Techn., 35, 976980.
Nystrm, R., Linden, M. & Rosenholm, J.B., 2001. The influ-
ence of Na+ , Ca2+ , Ba2+ , and La3+ on the potential and
the yield stress of calcite dispersions. J. Colloid Interface
Sci. 242, 259263.
Petrovich, R. & Hamouda, A.A., 1998. Dolomitization of
Ekofisk Oil Field Reservoir Chalk by Injected Seawater.
Presented at 9th International Symposium on Water-Rock
Interactions, Taupo, New Zealand, March 30th April 3rd
1998.
Risnes, R. & Flaageng, O., 1999. Mechanical Properties of
Chalk with Emphasis on Chalk-Fluid Interactions and
Micromechanical Aspects. Oil & Gas Science and Tech-
nology Rev. IFP, Vol. 54, No. 6, 751758. Editions
Technip.
Risnes, R., Madland, M.V., Hole, M. & Kwabiah, N.K., 2005.
Water weakening of chalk Mechanical effects of glycol
and water, J. Pet. Sci. Eng., 48, 2136.
Rhett, D.W., 1990. Long term effects of water injection
on strain in North Sea chalks. Third North Sea Chalk
Symposium, Copenhagen, Denmark, 1112 June.
Strand, S., Hgnesen, E.J. & Austad, T., 2005. Wettability
Alteration of Carbonates Effects of Potential Determin-
ing Ions (Ca2+ and SO2 4 ) and Temperature. Accepted
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Eng. Aspects
 EUROCK 2006 Multiphysics Coupling and Long Term Behaviour in Rock Mechanics
Van Cotthem, Charlier, Thimus & Tshibangu (eds)
2006 Taylor & Francis Group, London, ISBN 0 415 41001 0

Void space against fracture hydro mechanical behavior at sample scale

P. Lopez
LAEGO, Nancy, France

I. Rahmani, O. Buzzi & M. Boulon

3S, Grenoble, France

A. Thoraval
INERIS, Nancy, France

M. Escuredo-Rodriguez
ENSMN, Nancy, France

ABSTRACT: Results from laboratory experiments on natural fracture samples from the medium (roughly 20 m
by 20 m by 20 m) sized superficial limestone bedrock reservoir, namely Coaraze natural site, France, is presented
here. The BCR3D (3D direct shear box) with its hydraulic sectorized device, and its portable laser beam from
3S (Soils, Solids, Structures) Laboratory, France, was used. The interpretation of the cyclic hydro mechanical
compression tests shows an apparent residual intrinsic transmissivity of Tr = 3 1015 m3 , the evolution of
the intrinsic transmissivity versus the normal stress is anisotropic. The comparison of the fracture void spaces
with hydro mechanical factors show that: the back computed method to obtain the void spaces is verified for
low normal stress values, and the anisotropy of the outflow is explained by the modeled evolution of the void
spaces with the normal stress. The Dunat (1996) law that depends on the contact surface could integrate a spatial
distribution and damage factor and/or a plastic parameter.

1 INTRODUCTION (1985) proposed an empirical model with their JRC.

When normal stress is applied on joints, the normal
deformation is typically non linear. Goodman (1974)
and Barton et al. (1985) proposed two different hyper-
bolic models, widely used nowadays. Evans et al.
(1992) proposed a logarithmic model to explain the
non linear normal closure behavior of rock joints. This
three major works indicates that the fracture stiffness
increases as normal stress increases.
For hydraulic behavior, a commonly used equation
is the cubic law. It is derived from the fundamen-
tal principle of dynamic and applied to a particular
geometry such as a parallel plate fracture. It gives an
analytical expression where the flow rate is depend-
ing on the pressure gradient and the cubic fracture
aperture.
Since the sixties, the hydro mechanical behav-
ior under normal closure has been widely studied.
Londe and Sabarly (1966), using experimental results,
showed a decrease in fracture transmissivity with nor-
mal stress. Witherspoon et al. (1980) proposed a
modified cubic law, introducing a factor that accounts
for the roughness of the fracture surface. Barton et al.
There has been conflicting laboratory evidence about
the cubic law and the effects of contact areas. A wide
study has been presented in details in the Rutqvist and
Stephansson (2003) bibliographical paper. The fric-
tion factor has been introduced in a lot of different
laws, with or without an exponent. The point is that
it is not representing a clear roughness measurement.
Dunat (1996) derived an analytical form that links the
effective stress (eff ), the total normal stress (n ); the
interstitial pressure (Pi ) and the contact surface (Sc ):
The aim is to perform an indirect measurement of the
contact surface of two joint walls, interpret the hydro
mechanical tests with this information, and then con-
firm or modify the Dunat (1996) law or else propose
a new law. This paper is presenting the results from a
part of the hydro mechanical tests.
A series of laboratory tests and a monitoring of the
evolution of the morphology have been performed, on
fracture samples of limestone.

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Copyright 2006 Taylor & Francis Group plc, London, UK

 Figure 2. BCR3D device scheme.

Figure 1. General front view of the BCR3D.

The samples have been chosen from boreholes

drilled into the limestone of the Coaraze site, close
to Nice, France. The site is a medium (roughly 20 m
by 20 m by 20 m) sized superficial limestone bedrock
reservoir; with faults and bedding planes, Cappa et al.
(2005). The geometry of the site, the faults and bed-
ding planes has been precisely measured. This natural
reservoir is made of carbonate rocks and presents a
regular stratification; The discontinuity network has
been characterized from surface and boring scanline
data: twenty six decametric discontinuities. Three sets
have been identified: Figure 3. Hydraulic part of the BCR3D device.

Three faults with a N50/N70 trend dipping
70 90 NW, with a 2 to 3 meter spacing, hydro mechanical test can continue after a morphol-
Eleven Faults with a N120/N140 trend dipping
75 90 NE, with a 2 meter spacing, walls to stay aligned, so prevent from the matching
Twelve bedding planes with a N40 trend dipping
45 SE, with a 0.5 to 1 meter spacing.
A lot of sensors (mechanical, hydraulic and seismic
ones, Cappa et al. 2005) have been introduced in the
site. Some experiments have been analyzed and results
can be found in Cappa et al. 2005. During these exper-
iments, quite a lot of drillings have been performed;
rock and joint samples (faults and bedding planes) can
be used for laboratory experiments.
The measurement of anisotropic hydro mechanical
properties of natural or artificial fractures is possible
at the laboratory 3S (Soils, Solids, Structures), using a
prototype device called BCR3D (3D Direct Shear Box
for Rock Joints), Boulon (1995), Figure 1 and Figure 2.
The anisotropic hydraulic transmissivity of a joint is
investigated, during shearing or not, using a radial flow
(a radial gradient) with a central pressurized input and
5 independent external outputs at atmospheric pres-
sure (Figure 3).
The morphology (x,y,z) of the two joint walls can be
measured by a laser beam (diameter: 0.25 mm, sam-
pling step: 0.15 mm/128 128, vertical resolution:
0.01 mm) at any stage of the loading.After stopping the
test in progress (the normal stress goes down to zero),
and opening the box, the sample is not unmounted. The
ogy measurement. This procedure permit the two joint
problems of the beginning of each part of tests.
The physical values measured during a test are at
least the normal relative displacement, the normal
stress. During a hydro mechanical test, additional val-
ues are recorded. The involved recorded parameters
are: applied fluid pressure, input flow, and five output
flows.
The tests are performed according to the ISRM rec-
ommendations. Further details can be obtained from
Boulon (1995).
2 ROCK CHARACTERIZATION
The main results from rock matrix characterization and
cyclic mechanical tests are:
So far, seven samples have been tested to deter-
minate the rock matrix parameter (strength, Young
modulus and Poisson coefficient), they show that the
Poisson coefficient values are quite stable over the
bedrock, the strength and the Young modulus scat-
tered values are not explained by the orientation of
the drilling against the stratigraphical layers. Their
petrographical origin has to be studied.

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Copyright 2006 Taylor & Francis Group plc, London, UK

 Initial normal stiffness value, kni = 17.3 MPa/mm, 3.5 Pressure (MPa) Normal stress (MPa) 70
Normal stiffness value of kn = 223 MPa/mm, is
reached at n = 0.7 mm of normal displacement. 3.0 60
63 MPa
The two different fault samples F1 and F2 are tested 2.5 P 43 MPa 50
and the results from the void space back calculation 2.0 40
are compared to the hydro mechanical parameters.
1.5 30
21 MPa
1.0 20
3 HYDRO MECHANICAL RESULTS 0.5 10
0 MPa Temps (s)
The morphology monitoring is performed on the tested 0.0 0
joints at different steps. The morphology is measured 5 564 1120 1676 2232
with the laser beam before testing and after the joint
Figure 4. Imposed normal stress and pressure during F1
normal stress has reached different values. For exam- test.
ple, the F1 test different steps are (Figure 4): morphol-
ogy measurement (both walls), the two joint walls are Pressure (MPa) Normal stress (MPa)
4.5 140
joined together, the input pressure goes up to 0.1 MPa,
input pressure goes down to 0 MPa, normal stress goes 4.0 P 113 MPa 120
up to 21 MPa, input flow goes up to 0.2 MPa, etc. When 3.5
93 MPa 100
the normal stress reaches 43 MPa, both normal stress 3.0
and input pressure goes down to zero, the two joint 2.5 80
walls are separated but stay in the device, and a mor- 2.0 60
phology measurement is performed. Then the test goes 62 MPa
1.5
on with the values showed on Figure 4. Figure 5 shows 40
the different steps for F2 test. The F1 sample has a 1.0
0.5 20
40 mm in diameter. Because of the BCR3D device nor- Temps (s)
mal load limit, the diameter has been reduced down to 0.0 0
30 mm, for F2 test, to be able to reach the 113 MPa 5 564 1120 3249 3805 4361
level in normal stress.
Finally, the morphology monitoring gives four mea- Figure 5. Imposed normal stress and pressure during F2
test.
surements for F1 test 0 MPa (Original), 21 MPa,
43 MPa, 63 MPa and four measurements for test F2
0 MPa (Original), 62 MPa, 93 MPa and 113 MPa. For 3.0E-14 Intrinsic transmissivity F2 up to 90 MPa
(m3)
each one of them two series of points (x,y,z) is known,
2.5E-14
one for the upper wall and one for the lower wall. F1 up to 70 MPa
After the upper wall has been flipped upside down 2.0E-14
and the joint walls aligned like they are when tested, it
is possible to compute on each point of the sample the 1.5E-14
void space, also called openings. To compute the void
space for a point (, n ) we assume that the deforma- 1.0E-14
tions of an asperity does not influence the surrounding 5.0E-15
asperities, and that the average displacement is also the Normal stress
(MPa)
displacement for each point of the joint walls: first the 0.0E+00
higher wall heights (z values) are virtually decreased of 0 20 40 60 80 100
millimeters, then for each point the space in between
the upper wall and the lower wall is computed, for some Figure 6. Intrinsic transmissivity versus normal stress
points this space is negative, these negative spaces are (F1, F2).
all changed for zeros. This procedure gives the void
space at (, n ) point. Intrinsic values, like intrinsic viscosity w = 103 kg.m1 .s1 (kinetic viscosity
transmissivity, are used here to prevent the results from w = 106 m2 .s1 ),
being particular to the actual fluid. It is assumed that: Flow is permanent, radial and laminar (available for
the used parts of the tests).
Rock matrix is non porous or with a low enough
permeability to provide flow. The flow rates are fast F1 and F2 show the classical behavior, Londe and
enough for this assumption to be verified, Sabarly (1966), a decrease in fracture transmissivity,
Water is an uncompressible fluid (w value nei- equation 2, Hans and Boulon (2003), with normal
ther depend on the position nor the time), dynamic stress (Figure 6). When the fracture is mechanically

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Copyright 2006 Taylor & Francis Group plc, London, UK

 Table 1. Apparent residual intrinsic transmissivity.

F1 F2

70 MPa 110 MPa 90 MPa 110 MPa

3.9 1015 m3 2.5 1015 m3 2.8 1015 m3 4.0 1015 m3

3.0E-14 Intrinsic transmissivity (m3) showed Figure 7. The value of the intrinsic transmis-
sivity has been computed (from the analytical model
sector 1
equation 2) for different values of n 0 MPa; 21 MPa;
2.5E-14 43 MPa and 63 MPa. Regarding these three different
phases, the value of intrinsic transmissivity of sector
2.0E-14 4 5 1 is raising, the one of sector 5 is decreasing, and the
one of sector 4 is stable. The BCR3D device applies
sector 5
a constant normal closure all around the sample. So,
1.5E-14
the evolution of the intrinsic transmissivity versus the
3 1 normal stress is anisotropic.
1.0E-14 As we can back calculate the void space for each
step of a test, we can study the interaction between
2
morpho and hydro mechanical parameters.
5.0E-15 sector 4 Normal stress The idea here is: as the morphology is measured at
(MPa) the beginning of the test, the relative position of the two
0.0E+00 joint walls is known by the normal relative displace-
0 20 40 60 80 ment of the point (, n ). The surface is supposed
to be in contact if the void space value is less than
Figure 7. Intrinsic transmissivity (F1 up to 70 MPa).
0.001 mm.
For each sector, the average, standard deviation, and
compressed (at high stress), the tests show an appar- the coefficient of variation (standard deviation divided
ent residual intrinsic transmissivity, Tr, (Figure 6 and by the average) of fracture openings is computed, and
Table 1), Rutqvist and Stephansson (2003). The value compared to the outflow rate, Figure 8. The compari-
is quite the same for F1 and F2 samples, roughly son of the back calculated openings with the outflow
3 1015 m3 . rate are made when the flow is quasi permanent. The
mean values of the openings do not follow the output
flow (Figure 8 and Figure 9 mean compared to Qout ).
On F2 sample (higher values of the normal stress) the
coefficient of variation of the openings explains the
where T is the joint transmissivity (m2 /s), Ti is the joint outflow rate evolution with the normal stress, when
intrinsic transmissivity (m3 ), Q is the input flow rate it is not the case for F1 sample (lower values of nor-
(m3 /s), P is the pressure across the joint (Pa), re is mal stress, Figure 10 and Figure 11). Figure 12 and
the joint outside radius (m; h (re) = 0), ri is the joint Figure 13 show that for F1 and F2 samples the propor-
inside radius (m; h (ri) = P), is the fluid viscosity
(Pa/s) and w is volumic weight (N/m3 ).
For F2 test, the last pressure raise, up to 110 MPa,
was applied with a dynamical effect (too fast). In Table
1, the Tr value for F2 at 110 MPa is not the one directly
obtain from the test, but the one obtain at a stable stage.
This value has a low precision.
The anisotropic intrinsic transmissivity is investi-
gated as the flow is radial (a radial gradient) with a
central pressurized input and five independent external
outputs at atmospheric pressure (Figure 7).
An intrinsic transmissivity for each external output
is computed. In equation 2, the input flow is replaced
by the output flow of a sector, one of the five (Fig-
ure 7). The evolution of the intrinsic transmissivity
of the three sectors for F1 sample, up to 70 MPa, is
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Copyright 2006 Taylor & Francis Group plc, London, UK
tion of the outflow for each sector does not depend on
the normal stress level, except for the 113 MPa level
where the outflow rate values all reach the same value
(roughly 20%). After 90 MPa, the samples undergo
degradation, and the sector outflow values are charac-
teristic of a flow between two parallel plans. Anyhow,
the representations of the openings of the 93 and
113 MPa levels for F2 sample, Figure 9, show the two
joint walls closed, when the outflow rates values show
a continuing flow. We can assume three reasons to
explain the difference between the evolution of the
outflow and the evolution of back calculated openings
with normal stress:
Tortuosity of the flow: it is not sectorized when the
openings are sectorized, the flow is not only radial.
 Figure 8. F1 comparison (21, 43, 63 MPa). Figure 9. F2 comparison (62, 93, 113 MPa).

145

Copyright 2006 Taylor & Francis Group plc, London, UK

 All At high normal stress, starting around 60 MPa, the
1.0 cv Sector 1 hypothesis of independence between too contiguous
Sector 2
0.8 Sector 3 asperities is no longer acceptable, the damaging of
Sector 4 the two joint walls can no longer be neglected,
0.6 Sector 5 The behavior, e.g. elasto-plastic, can no longer be
0.4 ignored to back calculate the openings.

0.2
4 CONCLUSION
0.0
0 20 40 60 (MPa) 80
The BCR3D device associate with the portable laser
beam permits to characterize precisely the faults from
Figure 10. F1 coef. of variation of the openings versus .
the Coaraze Site, Nice, France.
The cyclic hydro mechanical compression tests F1
50.0 cv All and F2 show a classical behavior:
40.0 Sector 1 A decrease in fracture transmissivity with normal
Sector 2 stress,
30.0
Sector 3 When the fracture is mechanically compressed (at
20.0 Sector 4 high stress), the tests show an apparent residual
Sector 5 intrinsic transmissivity, Tr = 3 1015 m3 .
10.0 The evolution of the intrinsic transmissivity versus
(MPa)
0.0 normal stress is anisotropic. Three sectors show dif-
0 50 100 150 ferent evolution of the intrinsic transmissivity with
the evolution of the normal stress.
Figure 11. F2 coef. of variation of the openings versus . This anisotropy is explained by the morpho hydro
mechanical interactions:
1.0
Outflow rate (%) Method used for back calculated the void space on
0.8 each point of the joint is verified,
The channeling or tortuosity of the flow modifies
0.6 the radial flow,
All Sector 1 Sector 2 The spatial distribution of the void space,
0.4
Sector 3 Sector 4 Sector 5 At high normal stress (more than 60 MPa):
0.2 The outflow rate is isotropic, so the samples
behave like parallel planes,
0.0
0 20 40 60 (MPa) 80
The simple back calculate void space method
show is limitation,
Figure 12. F1 outflow rate versus normal stress. The damaging of the two joint walls can no longer
be neglected,
The plastic part of the behavior can no longer be
1.0 Outflow rate (%) ignored to calculate the openings.
All
0.8 The tortuosity of the flow is a quite complicated pro-
Sector 1
0.6
cess, the spatial distribution of the asperities seem to
Sector 2
be an important issue. The later show that the con-
Sector 3 tact surface, Sc , of Dunat equation (equation 1), has
0.4
Sector 4 to closely follow the evolution of the normal stress,
0.2 Sector 5 and could depend on a spatial distribution and damage
(MPa)
0.0 factor and/or a plastic parameter.
0 50 100 150

Figure 13. F2 outflow rate versus normal stress. 5 FORECAST

Two samples of bedding planes (JS1 and JS2) will be

The different channels that we could imagine on tested shortly. The procedure applied to the fault sam-
Figure 8, can drag a part of the flow towards sectors ples (F1 and F2) will also be applied to these samples.
that does not have the maximum average opening, The two different kinds of discontinuities (faults and
e.g. sector 1. bedding planes) seem to have a different behavior on

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Copyright 2006 Taylor & Francis Group plc, London, UK

 the site, Cappa et al. (2005). Is it possible to reach and
measured these differences at the laboratory scale?The
next steps of this study are:
Find 3D morphological factors that values depends
on the spatial distribution of the void space. Geo-
statistical analysis can bring such factors (see Roko
et al. (1997),
The void space is known without before testing the
joint, we could simulate the behavior, as the radial
flow, with 3D morphological factors,
Modify the Dunat (1996) relation with a 3D mor-
phological factor and/or damage factor and/or a
plastic factor,
Implement this relation in codes like UDEC/3DEC
(ITASCA),
Test prediction calculus of the new model.
REFERENCES
Barton N.R., Bandis S., Bakhtar K., 1985, Strength, defor-
mation and conductivity coupling of rock joints, in Inter-
national Journal of Rock Mechanics and Mining Sciences
& Geomechanics Abstracts 22, 121140.
Boulon M., 1995, A 3-D direct shear device for testing the
mechanical behaviour and the hydraulic conductivity of
rock joint, Proc. of the MJFR-2 conf., Vienne, Autriche,
407413, Rossmanith ed., Balkema.
Cappa F., Guglielmi Y., Fnart P., Merrien-Soukatchoff V.,
Thoraval A., 2005, Hydromechanical interactions in a
fractured carbonate reservoir inferred from hydraulic and
147
Copyright 2006 Taylor & Francis Group plc, London, UK
mechanical measurements, in International Journal of
Rock Mechanics and Mining Sciences 42, 287306.
Dunat X., 1996, Modlisation du couplage hydromcanique
de joints rocheux, Master (D.E.A.) Thesis of Lille 1
University, 30p.
Evans K.F., Kohl T. Hopkirk R.J., Rybach L., 1992, Mod-
eling of energy production from hot dry rock systems,
Proj Rep Eidgenssische Technische Hochschule (ETH),
Zrich, Switzerland.
Goodman R.E., 1974, The mechanical properties of joints.
in Proc 3rd Int Congr International Society of Rock
Mechanics, 17 September 1974, Denver, Colorado.
National Academy of Sciences, Washington, DC, vol I,
127140.
Hans J., Boulon M., 2003, A new device for investigat-
ing the hydro-mechanical properties of rock joints, in
International Journal for Numerical and Analytical Meth-
ods in Geomechanics, 27 (6), 513548, DOI: 10.1002/
nag.285.
Londe P., Sabarly F., 1966, La distribution des permabil-
its dans la fondation des barrages vots en fonction du
champ de contrainte, in Proc 1st Congr Rock Mechanics,
25 septembre-1 Octobre 1966, Lisbon. Lab Nac Eng Civil,
Lisbon, vol II, 517522.
Roko R.O., Daemen J.J.K., Myers D.E., 1997, Variogram
characterization of joint surface morphology and asper-
ity deformation during shearing, in International Journal
of Rock Mechanics and Mining Sciences 34, 7184.
Rutqvist J, Stephansson O., 2003, The role of hydromechani-
cal coupling in fractured rock engineering, in Hydrogeol-
ogy Journal 11, Springer-Verlag (Ed.), 740.
Witherspoon P.A., Wang J.S.Y, Iwai K., Gale J.E., 1980,
Validity of cubic law for fluid flow in a deformable rock
fracture, Water Resour Res 16, 10161024.
 EUROCK 2006 Multiphysics Coupling and Long Term Behaviour in Rock Mechanics
Van Cotthem, Charlier, Thimus & Tshibangu (eds)
2006 Taylor & Francis Group, London, ISBN 0 415 41001 0

Prediction of impact strength index, slake durability index and

Schmidt hammer rebound number from P-wave velocity

P.K. Sharma & T.N. Singh

Department of Earth Sciences, Indian Institute of Technology Bombay, Powai, Mumbai, India

ABSTRACT: The purpose of this study is to develop statistical relationship between P-wave velocity and other
properties like impact strength index, slake durability index and Schmidt hammer rebound number. These are
important properties to characterize a rock mass and are being used in geological and geo-technical engineering.
P-wave velocity is one of the most important properties for the determination of other properties like impact
strength index; slake durability index and Schmidt hammer rebound number. In this study, these properties
were determined in the laboratory and each property was correlated with P-wave velocity. High correlations
were observed, and empirical equations have been developed to predict Impact strength index, slake durability
index and rebound values. The statistical analysis of data set by students t-test confirms the dependency and
interrelation among these parameters.
These empirical relations will be useful to determine the important geotechnical parameters for safe design,
smooth and stable excavation.

1 INTRODUCTION for macroscopic defects so that it would provide tests

Seismic methods are oftenly used to characterize and
determine the dynamic properties of rocks. Since,
these techniques are non-destructive and relatively
easy to apply, they are increasingly being used in
geological and geotechnical engineering.
Attempts have been made by various researchers to
assess grouting, rock bolt re-inforcement and blasting
efficiencies in the rock mass by the seismic velocity
(Knill, 1970; Price et al., 1970; Young et al., 1985).
The prediction of rock mass deformation and stress
and the extent of fracture zones developed around
underground openings are other applications of the
seismic techniques (Onodera, 1963; Hudson et al.,
1980; Gladwin, 1982). Various researchers have stud-
ied the relations between rock properties and sound
velocity and found that sound velocity is closely
related with rock properties (Deere and Miller, 1966;
DAndrea, 1965; Saito et al., 1974; Gardner et al.,
1974; Youash, 1970; Lama and Vutukuri, 1978; Inoue
and Ohomi, 1981; Gaviglio, 1989).
2 DATA COLLECTION
The rebound numbers were determined by-Schmidt
hammer on large rock blocks on site and rock blocks
were collected to carry out other tests in the laboratory.
During sample collection, each block was inspected
specimen free from fractures and joints. Tests were
performed with an N-type hammer having impact
energy of 2.207 Nm. All tests were performed with
the hammer held vertically downwards and at right
angles to the horizontal rock faces to avoid any cor-
rection factor while converting to UCS. The three most
accepted methods among the different Schmidt ham-
mer rebound techniques were selected and applied for
each rock type. To get Schmidt hammer rebound num-
ber, initially ten readings were taken and then the mean
of five higher vales was found out.
3 LABORATORY INVESTIGATION
3.1 Ultrasonic testing of the rock specimens
The P-wave velocity traveling in a solid material
depends on the density and elastic properties of that
material. The quality of some materials is sometimes
related to their elastic stiffness so that measurement of
ultrasonic pulse velocity in such materials can often be
used to indicate their quality as well as to determine
elastic properties. To determine the P-wave velocity
of different rocks, rock blocks were cored in lab-
oratory for NX size core recovery. The instrument
used in this study was PUNDIT (Portable Ultrasonic
Nondestructive Digital Indicating Tester).
The results of P-wave velocity of different rocks are
given in table 1.

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Copyright 2006 Taylor & Francis Group plc, London, UK

 Table 1. Different properties of rocks. Table 2. Students t-test.

Schmidt t-test
P-wave Impact Slake hammer
velocity strength durability rebound Rock Tests Calculated value Tabulated value
Rock type (m/s) index index number
P-wave velocity and 12.203 2.02
Sandstone A-1 2129.1 79.1 96.28 28 impact-strength index
Sandstone A-2 2132.7 80.8 97.22 27 P-wave velocity and 12.173 2.02
Sandstone A-3 2152.7 82.6 96.23 29 slake durability index
Sandstone A-4 2120 80.1 97.35 30 P-wave velocity and 12.513 2.02
Sandstone A-5 2053.5 82.4 97.33 27 Rebound number
Sandstone B-1 2296.9 85.2 97.59 30
Sandstone B-2 2278.8 83.8 97.51 33
Sandstone B-3 2345.9 85.3 97.42 30 3.3 Slake durability test
Sandstone B-4 2190.2 82.2 97.56 32
Sandstone B-5 2183.4 85.9 97.03 34 Slake durability of rocks is an important property of
Sandstone B-6 2142.8 84.9 97.56 31 rock-mass. The slake durability of rocks is closely
Sandstone B-7 2240.1 86.4 97.65 34 related to their mineralogical composition. This test
Sandstone C-1 2465.3 86.3 97.12 34 measures the resistance of a rock sample to weakening
Sandstone C-2 2212.1 84.9 97.42 37 and disintegration resulting from a standard cycle of
Sandstone C-3 2428.8 87.5 97.41 39
drying and wetting. The main purpose of this slake-
Sandstone C-4 2517.6 90.5 97.36 41
Sandstone C-5 2554.7 89.2 97.51 42 durability test is to evaluate the water resistance of
Quartzite-1 3798.07 93.5 98.36 56 rock samples.
Quartzite-2 3595.05 94.1 98.25 53 Test was carried out according to standards sug-
Quartzite-3 3550 93.8 98.21 57 gested by International Society for Rock Mechan-
Quartzite-4 3594.4 92.1 98.17 55 ics (ISRM, 1972). A sample comprising of nine
Granite-1 4964 98.9 98.35 62 rock lumps of particular rock roughly spherical in
Granite-2 4980.2 97.8 98.42 60 shape, each weighing 50 10 g for a total weight of
Basalt-1 5753 98.6 98.92 65 500 50 g had been taken and placed in a drum to
Basalt-2 5530.2 96.9 98.98 63
dry until a constant weight was obtained in an oven
Basalt-3 5421.6 95.9 98.78 65
Basalt-4 5426.2 96.9 98.67 62 at 105 C for a duration of 4 to 5 hours. For the slake
durability test the drum was mounted on the trough and
was coupled to the motor. The trough was then filled
with water to a level of 20 mm below the drum axis
3.2 Impact strength test and to maintain the temperature at 25 C. The drum
had been rotated at 20 rpm for a period of 10 minutes
The impact strength test was first developed by and the drum was removed from the trough and placed
Protodyakonov, and then it was used by Evans and in an oven and dried out at a temperature of 105 C for
Pomeroy (1966) for the classification of coal seams in 4 hours to drain out the remaining moisture in the sam-
the former USSR and UK. The test was then modified ples. During the test, the finer products of slaking pass
by Paone et al. (1969), Rabia and Brook (1980). Rabia through the mesh and into the water bath. The slake-
and Brook (1980) used the modified test apparatus to durability index Id is the percentage ratio of final to ini-
determine the rock impact hardness number and devel- tial dry weights of rock in the drum (Singh et al. 2004).
oped an empirical equation for predicting drilling rates Slake durability index (Id) = (C E)/(A E)
for both DTH and drifter drills. 100%
Hobbs (1964) applied this test to various rocks and Where,
established the following equation: A = Initial weight of sample + drum (k.g)
C = Weight of sample + drum after second cycle of
rotation (k.g), and
E = Weight of empty drum.
Where qu is the UCS (kgf/cm2 ) and ISI is the impact The results of Slake durability test of different rocks
strength index. are given in table 1.
To carry out this test, fragments of rocks were
impacted 20 times by a 41b (1.81 kg) plunger falling
12in. (305 mm). The amount of fines below 1/8 in. 4 STATISTICAL ANALYSIS
(3.18 mm) is used as the strength index.
The results of impact strength test of different rocks Regression analysis has been made to find out the rela-
are given in table 2. tionship between P-wave velocities with other tests

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Copyright 2006 Taylor & Francis Group plc, London, UK

 100 y = 0.0044x + 74.916 A strong correlation (r = 0.8415) was found between
Impact strength index (%)

R2 = 0.8415 p-wave velocity and the impact strength index for all
95 rock types. The equation of this relation is as follows:

90

85
Where Vp and ISI are P-wave velocity and impact
80 strength index respectively.
1000 2000 3000 4000 5000 6000 Similarly linear relationship has been observed
P-wave velocity (m/s) between P-wave velocities and slakes durability for all
tested rocks. Correlation coefficient was found 0.7705
Figure 1. P-wave velocity vs. impact strength index. (Fig. 2). The equation of this relation is as follows:

99.5
Slake durability index (%)

y = 0.0005x + 96.211
99 R2 = 0.7705
98.5
Where Id is slake durability index.
98 For P-wave and Schmidt hammer rebound number,
97.5 also shows a linear and strong correlation (r = 0.9011).
97
96.5
96
0 1000 2000 3000 4000 5000 6000 7000
P-wave velocity (m/s) Where RR is Schmidt hammer rebound number.
The significance of r-values can be determined by
Figure 2. P-wave velocity vs. Slake durability index. the t-test, assuming that both variables are normally
distributes and the observations are chosen randomly.
The t-test compares computed t-value with tabulated
Schmidt hammer rebound number

80 y = 0.0102x + 10.712
R2 = 0.9011
70
60
50
40
30
20
1000 2000
P-wave velocity (m/s)
Figure 3. P-wave velocity vs. Schmidt hammer rebound
number.
like impact strength index, slake durability index and
rebound number values of the tested rocks. The equa-
tion of the best fit line, the 95% confidence level, and
the correlation coefficient (r) were determined for each
test results.
The best fit line and its regression analysis for each
data set is illustrated in Figs. 13. It can be inferred
from the figures that the best fitted relation were found
to be best represented by linear regression curves.
The plot of the P-wave velocity as a function
of impact strength index represents linear relation
between P-wave velocity and impact strength index
for all rock types (Fig. 1).
t-value using the null hypothesis. In this test, a 95%
confidence level was chosen. If the computed t-value
is greater than tabulated t-value, the null hypothesis is
rejected. This means that r is significant. If the com-
puted t-value is less than the tabulated t-value, the
null hypothesis is applicable. It means r is not signifi-
cant. Since, a 95% confidence level was chosen in this
case, a corresponding critical t-value 2.02 is obtained
from the related tables. As, it is seen in table 2, all the
3000 4000 5000 6000 computed t-values are greater than tabulated t-values,
so, it can be concluded that there is real correlation
of P-wave velocity with impact strength index, slake
durability index and rebound values.
The empirical methods used in this study were eval-
uated by comparing their results with each other. Data
from each test were used in the respective empirical
equation to calculate the other property. The predicted
values of impact strength index, slake durability index
and rebound number values were then plotted against
the measured values for all tested rocks, respectively
(Figs. 46). The error in the predicted value is repre-
sented by the distance that each data point plots from
the 1:1 slope line. Point lying on the slope line indicates
an exact estimation. As, it is clear from the figure 46
that P-wave velocity is the reliable method for estimat-
ing impact strength index, slake durability index and
rebound number values to avoid cumbersome and time
consuming test methods.

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Copyright 2006 Taylor & Francis Group plc, London, UK

 R2 = 0.8415
The test results were interpreted statistically and
Predicted impact strength index

105
significant linear relationships were found with P-
100 wave velocity to impact strength index, slake durability
95 index and rebound values. It can be infer that P-wave
90
velocity shows good statistical relation with the impact
strength index, slake durability index and rebound val-
85
ues. This study reveals that impact strength index,
80 slake durability index and rebound values can be esti-
75 mated by determining P-wave velocity with the given
70
empirical equations in the similar type of rock mass.
70 75 80 85 90 95 100 105 The empirical relations can be improved with the
Observed impact strength index availability of ore number of such data set.

Figure 4. Observed impact strength vs. predicted impact

strength index.
REFERENCES
DAndrea, D.V., Fischer, R.L., Fogelson, D.E. 1965. Predic-
tion of compressive strength from other rock properties.
U.S. B. M Report of Investigations 6702.
100.5 R2 = 0.7705
predicted slake durability index

Deere, D.U., Miller, R.P. 1966. Engineering classification and

100
index properties for intact rock. Air Force Weapons Lab.
99.5
Tech. Report, AFWL-TR 65116, Kirtland Base, New
99 Mexico.
98.5 Evans, C.D., Pomeroy. 1966. The strength, fracture and
98 workability of coal, Pergamon Press, London.
97.5 Gardner, G.H.F., Gardner, L.W., Gregory, A.R. 1974. Forma-
97 tion velocity and density: the diagnostic basis for strati-
96.5 graphic. Geophysics, 39, 77080.
96 Gaviglio, P. 1989. Longitudinal waves propagation in a lime-
96 97 98 99 100 101 stone:The relationship between velocity and density. Rock
Observed slake durability index Mech Rock Eng, 22, 299306.
Gladwin, M.T. 1982. Ultrasonic stress monitoring in under-
Figure 5. Observed slake durability vs. predicted slake ground mining. Int J Rock Mech Min Sci, 19, 2218.
durability index. Hobbs, D.W. 1964. Rock compressive strength. Colliery Eng,
41, 287292.
Hudson, J.A., Jones, E.J.W., New, B.M. 1980. P-wave velocity
measurements in a machine bored chalk tunnel. Q J Eng
110 R2 = 0.9011 Geol, 13, 3343.
Inoue, M., Ohomi, M. 1981. Relation between uniaxial com-
predicted rebound number

100
pressive strength and elastic wave velocity of soft rock.
90
In: Proceedings of the International Symposium on Weak
80 Rock, Tokyo, 913.
70 ISRM 1972. Suggested method for deter mining water con-
60 tent, porosity, density, absorption and related properties
50 and swelling and slake durability index properties.
40 Knill, J.L. 1970. The application of seismic methods in the
30 interpretation of grout takes in rock. In: Proceedings of
20 the Conference on in situ Investigation in Soils and Rocks,
20 40 60 80 100 120 No. 8. British Geotechnical Society, 93100.
Observed rebound number Lama, R.D., Vutukuri, V.S. 1978. Handbook on mechani-
cal properties of rocks. 2nd ed. Switzerland: Trans Tech
Figure 6. Observed rebound number vs. predicted rebound Publications.
number. Onodera, T.F. 1963. Dynamic investigation of foundation
rocks, in situ. In: Proceedings of the Fifth Symposium on
Rock Mechanics, Minnesota. New York: Pergamon Press,
51733.
Paone, J., Madson, D., Bruce, W.E. 1969. Drillability studies:
5 CONCLUSIONS
laboratory percussive drilling. USBM RI 7300.
Price, D.G., Malone, A.W., Knill, T.L. 1970. The applica-
In this study, P-wave velocity, impact strength index, tion of seismic methods in the design of rock bolt sys-
slake durability index and Schmidt hammer rebound tem. In: Proceedings of the First International Congress,
number for all rock types were determined in the vol. 2. International Association of Engineering Geology,
laboratory. 74052.

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 Rabia, H., Brook, W. 1980. An empirical equation for drill
performance prediction. In: Proceedings of the 21st US
Symposium on Rock Mechanics. Univ. Missouri-Rolla,
10311.
Saito, T., Mamoru, A.B.E., Kundri, S. 1974. Study on
weathering of igneous rocks. Rock Mech Japan, 2, 2830.
Singh, T.N., Verma, A.K., Singh, V., Sahu, A. 2004. Slake
durability study of shaly rock and its predictions, Envi-
ronmental Geology, 47, 246252.
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Youash, Y. 1970. Dynamic physical properties of rocks: Part
2, experimental result. In: Proceedings of the Second
Congress of the International Society on Rock Mechanics,
Beograd, 1, 18595.
Young, R.P., Hill, T.T., Bryan, I.R., Middleton, R. 1985.
Seismic spectroscopy in fracture characterization. Q J Eng
Geol, 18, 45979.
 EUROCK 2006 Multiphysics Coupling and Long Term Behaviour in Rock Mechanics
Van Cotthem, Charlier, Thimus & Tshibangu (eds)
2006 Taylor & Francis Group, London, ISBN 0 415 41001 0

Hydro-mechanical behavior in sandstone during from brittle to ductile

deformation and its relation to inner structural change

M. Takahashi
Research Center for Deep Geological Environments, AIST, Tsukuba, Japan

K. Tanaka
Graduate School of Life and Environmental Science, Tsukuba University, Tsukuba, Japan

X. Li
Institute of Rock and Soil Mechanics, Chinese Academy of Science, Wuhan, China

M. Kwasniewski
Silesian University of Technology, Gliwice, Poland

ABSTRACT: In confined triaxial compression tests, most sedimentary rocks change their behavior from a
brittle to a ductile regime with increasing confining pressure. With effective increasing confining pressure,
the differential axial stress increases and axial differential stressstrain curves show a transition from strain
softening to strain hardening, and volumetric strains show a transition from dilatancy to persistent compaction.
To investigate precisely the inner structural changes in stressed Shirahama sandstone with increasing axial strain
and confining pressure, we measured porosity changes by means of mercury injection porosimetry and a gas
adsorption method. Shirahama sandstone samples were deformed under various confining pressures and pore
pressures. Under low confining pressures, the specimen is characterized by the existence of a main fault and the
deformation shows dominant dilatancy. Under higher confining pressure experiments, the specimen behaves with
fully ductile deformation, and volumetric strains measured by displacement transducers and measured by a pore
volume apparatus show persistent compaction throughout the experiment. The porosity data obtained by mercury
injection porosimetry and the gas adsorption method support the porosity increase behavior. Macroscopically,
the specimens show persistent compaction, but microscopically the total porosity increases with increasing
confining pressure. This phenomenon is attributed to micro-cracks caused by grain crushing and to the small
open spaces around the rock fragments caused by high degrees of compaction.

1 INTRODUCTION They discussed the fact that AE activity in rock is

The mechanical and hydraulic properties of porous
rocks are a major and common concern in various sci-
entific and engineering fields. The permeability and
specific storage for rocks and sedimentary layers deep
underground are very important parameters for prob-
lems related to the buried evaluation of natural gas and
oil, CO2 aquifer storage, various kind of waste storage
and so on. Of the mechanical properties, the transi-
tion from a brittle to a ductile regime has already been
clarified for various sandstones.
Wong et al. (1997) conducted triaxial compression
tests to investigate the inelastic and failure behavior
of six sandstones with porosities ranging from 15% to
35%. They observed that the onset of shear-induced
dilation and shear-enhanced compaction were both
marked by surges in acoustic emission (AE) activity.
identified with damage processes, including intra- and
inter-granular micro-cracking, frictional slip on the
grain, and pore collapse.
In addition, of the hydraulic properties, perme-
ability evolution has been correlated with mechan-
ical deformation and failure mode. Zhu & Wong
(1997) measured the permeability as a function of
various stress states from the brittle-ductile transi-
tion in five kinds of sandstones. They compiled all
the triaxial compression data for permeability ver-
sus effective pressure, differential stress, porosity, and
axial strain. They discussed permeability evolution in
various porous sandstones with a correlation of the
mechanical deformation and failure mode.
However, aspects of micro-structural changes under
highly stressed conditions have not been studied suf-
ficiently to yield definite conclusions. We measured

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Copyright 2006 Taylor & Francis Group plc, London, UK

 porosity changes by means of mercury injection
porosimetry and a gas adsorption method. Shirahama
sandstones were deformed under various confining
pressures and pore pressures. The brittle and fully
ductile deformation regimes are associated with dis-
tinct patterns of volumetric strain changes measured
by displacement transducers and pore volume change
evaluated by the pore fluid volume flowing out or
extracted from the specimen.
We focused on the correlation of inner struc-
tural changes, especially on a microscopic scale,
with mechanical deformation using the data from
permeability, total porosity and Bet surface area
measurements.
2 EXPERIMENTAL TECHNIQUES
The experimental system consisted of a Conventional
Triaxial Compressional Apparatus, a Permeability
Apparatus and a Pore Volume Apparatus, as shown in
Figure 1.
1) Conventional Triaxial Compressional Apparatus:
The maximum axial loading capacity was 1000 KN
and the pressure vessel had a maximum capacity
of 100 MPa and 12 feedthroughs for strain mea-
surement. Cylindrical specimens were placed in the
pressure vessel and connected to a pore pressure line.
Figure 2 shows the specimen assemblage and displace-
ment transducers for axial and radial directions. The
Figure 1. Schematic diagram of the mechanical and hydraulic experimental system.
156
Copyright 2006 Taylor & Francis Group plc, London, UK
specimen was jacketed with 0.5 mm thick heat shrink-
able tube. The specimen was positioned between two
hardened steel end plugs, each of which had a concen-
tric small hole at the center for pore fluid access to the
upstream or down stream pore pressure line.
2) Permeability Apparatus: The permeability was
measured by a Transient Pulse method, originally
developed by Brace et al. (1968). After the pore pres-
sure equilibrated in the specimen, the pore pressure
was raised instantaneously by 50 kPa on the upstream
side of the specimen. The upstream side pressure was
then decreased, while the downstream side pressure
was increased with time as the fluid flowed through
the specimen. Permeability could be calculated from
the upstream pressure decay or the differential pressure
decay. This permeability apparatus is designed appro-
priately to apply Braces equation to the question of
specimen permeability at various deformation stages.
3) Pore Volume apparatus: When the pore pres-
sure was constant during the deformation process of
the specimen, the volume change of the pore water
that flowed out, or was extracted from the specimen,
was measured by a micro metering valve in which
the inner piston could be moved forward or backward
to maintain constant pore pressure. The pore volume
change could be calculated based on the diameter of
the metering valve piston and the rotation degree of
the valve handle. The sensitivity of this system was
about 2.7 104 cm3 corresponding to a 6.36 micro
strain in volumetric strain.
 Figure 3. Optical microscope photograph of intact
Shirahama sandstone. Dotted lines indicate the intact pore
space.

30
Figure 2. View of sample assemblage and displacement Intact
transducers for axial and radial directions. 25
Volumetric Ratio (%)

Porosity = 13.37%
20
3 SAMPLE DESCRIPTION
15
The Shirahama sandstone came from the Wakayama
10
prefecture, Kii peninsular in central Japan. This sand-
stone consists mainly of quartz grains with no cracks 5
or rock fragments that are aggregations of various
kind of minerals. The quartz grains have an average 0
size of about 150 micron. Figure 3 shows an optical -3 -2 -1 0 1 2 3
microscope photograph taken from a blue colored thin Log Radius (m)
section of Shirahama sandstone. In this, the blue areas
indicate the intact pore space region. Figure 4 shows Figure 4. Pore size distribution by mercury intrusion porosi-
metry of intact Shirahama sandstone.
pore size distributions in intact specimens measured
by mercury intrusion porosimetry. The pre-existing
pore sizes distributed dominantly at approximately 1
micron, and the total porosity was about 13%. All the
specimens were ground to a cylindrical shape with
length 60 mm.

4 EXPERIMENTAL RESULTS

In our experiments, we carried out three types of

deformation and permeability tests for Shirahama
sandstone.
1) Dry condition: At first, we investigated the
mechanical characteristics under confining pressures
up to 90 MPa. The complete set of mechanical data for
Shirahama sandstone is shown in Figure 5 The graph
shows the differential stress versus the axial, lateral,
and volumetric strain for six confined triaxial com-
pression tests with confining pressures maintained at
0, 30, 50, 70 and 90 MPa. The samples that deformed Figure 5. Axial differential stress vs axial, lateral and vol-
at a confining pressure of 0 MPa were representative of umetric strain curves of Shirahama sandstone under dry
the brittle fracture regime. After the axial differential condition.

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 stress attained a maximum value, the axial differen-
tial stress suddenly dropped because the stiffness of
this machine was insufficient. The volumetric strain
showed apparent dilatancy behavior. Under confining
pressures of 30 and 50 MPa, the specimens deformed
as in a brittle-ductile transition regime. The maximum
axial differential stress increased with increasing con-
fining pressure and the dilatant strain defined as the
inelastic volumetric strain was limited. Beyond the
confining pressure of 70 MPa, the volumetric strain
showed persistent compaction.
2) Wet condition: To investigate the volumet-
ric strain behavior under wet conditions and wide
range of confining pressures, eight specimens were
deformed under confining pressures up to 100 MPa
and pore pressures up to 40 MPa (Fig. 6). The differen-
tial axial stress-axial strain curves showed a transition
from strain softening to strain hardening, and the
volumetric strain showed a transition from apparent
dilatancy to persistent compaction with increasing
confining pressure. Under effective confining pres-
sures below 60 MPa, the axial differential stress sud-
denly dropped after peak stress, and a unique shear
fracture occurred in the specimen. As a result, the vol-
umetric strain showed compaction at first and then
continuous dilation with increasing axial strain. At the
end of each experiment, the final volumetric strain
showed dilation. On the other hand, under effective
Figure 6. Series of the axial differential stress and volumet-
ric strain as a function of axial strain under various confining
and pore pressures.
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Copyright 2006 Taylor & Francis Group plc, London, UK
confining pressures beyond 60 MPa, multiple shear
fracture or conjugated shear fracture occurred in the
specimen. The volumetric strain showed consistent
compaction.
3) Permeability change: Four specimens were
deformed under various confining pressures up to
100 MPa and constant pore pressure of 20 MPa to
investigate the relationship between the volumetric
strain and permeability (Fig. 7). With increasing
effective confining pressure, a transition from strain
softening to strain hardening can be observed. The
volumetric strain shows distinct dilatancy and persis-
tent compaction with increasing axial strain. In the
brittle regime, the permeability decreases with elastic
deformation range, and shows a remarkable increase
at the same stress level starting dilatancy behavior.
Its distinctive feature is that the permeability after
unique shear fracture occurring in the specimen is
higher than the initial permeability corresponding to
the onset of the axial loading. On the other hand, in
Figure 7. Axial differential stress, volumetric strain and
permeability change as a function of axial strain during a
conventional triaxial compression test under four confining
pressures and a constant pore pressure of 20 MPa.
 the brittle ductile and fully ductile regimes, although
the permeability increases within the inelastic defor-
mation range, the increasing ratio is weakened with
increasing confining pressure. It should be noted that
the permeability at end of the loading is never higher
than the maximum value during the experiment. In the
unloading process, the permeability at four confining
pressures decreases with advanced unloading beyond
the minimum value under the loading process.
5 MICROSCOPIC OBSERVATION BY
MERCURY INTRUSION METHOD AND
GAS ADSORPTION METHOD
To investigate precisely the inner structural changes
in the stressed sandstone with increasing axial strain
and confining pressure, we measured the stress
induced volume change by means of mercury intrusion
porosimetry and a gas adsorption method. In addition,

30 30

Volumetric Ratio (%)

Volumetric Ratio (%)

Pc=90MPa
25 Pc=0MPa 25
Porosity = 16.39 %
20 Porosity = 14.47 % 20
15 15
10 10
5 5
0 0
-3 -2 -1 0 1 2 3 -3 -2 -1 0 1 2 3
Log Radius (m)
Log Radius (m)
30 30
Volumetric Ratio (%)

Volumetric Ratio (%)

25 Pc=30MPa 25 Pc=40MPa, Pp=20MPa

20 Porosity = 14.77 % 20 Porosity = 12.59 %

15 15
10 10
5 5
0 0
-3 -2 -1 0 1 2 3 -3 -2 -1 0 1 2 3
Log Radius (m) Log Radius (m)

30 30
Volumetric Ratio (%)
Volumetric Ratio (%)

25 Pc=50MPa 25 Pc=80MPa, Pp=20MPa

Porosity= 16.14 % 20 Porosity = 13.52 %
20
15 15
10 10
5 5
0 0
-3 -2 -1 0 1 2 3 -3 -2 -1 0 1 2 3
Log Radius (m) Log Radius (m)

30 30
Volumetric Ratio (%)

Volumetric Ratio (%)

25 Pc=70MPa 25 Pc=100MPa, Pp=20MPa

20 Porosity= 16.35 % 20 Porosity = 16.24 %
15 15
10 10
5 5
0 0
-3 -2 -1 0 1 2 3 -3 -2 -1 0 1 2 3
Log Radius (m) Log Radius (m)

Figure 8. Pore size distribution for intact and deformed specimens under various confining pressures.

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 an optical microscope and scanning electronic micro-
scope (SEM) were adopted to confirm directly the
existence of grain cracking, fragment compaction,
deformation of the grain contact with rock fragments
18.0
17.0
and so on. We used the deformed and stressed speci-
men after each experiment.
1) Principle and equipment for each measuring
methods
Mercury Intrusion Porosimetry: This equipment
8 characterizes a materials porosity by applying various
levels of pressure to a specimen immersed in mercury.
The pressure required to intrude mercury into the sam-

BET surface area (m2/g)

7 ples pores is inversely proportional to the size of the
16.0 pores (see ASTM D4404-84).
Porosity (%)

BET surface area: The Tristar3000 analyzer uses

15.0 6 physical adsorption and capillary condensation prin-
ciples to obtain information about the surface area and
14.0
porosity in deformed porosity of a solid material. The analytical technique
5
porosity in intact is simple: a sample contained in an evacuated sample
13.0 surface area without fault plane
surface area with fault plane tube is cooled to cryogenic temperature, then exposed
surface area in intact
4
to analysis gas at a series of precisely controlled pres-
12.0
0 20 40 60 80 100 sures. With each incremental pressure change, the
Confining Pressure (MPa) number of gas molecules adsorbed on the surface
increases. The equilibrated pressure (P) is compared to
Figure 9. Porosity and BET surface areas as functions of
the confining pressure.
the saturation pressure (P0) and their relative pressure

Figure 10. Optical microscope photographs of the stressed specimen under confining pressures of 30 and 100 MPa. Dotted
lines indicate the pore space (3 = 30 MPa) and stress-induced micro cracks (3 = 100 MPa). SEM images of the stressed
specimen under a confining pressure of 0, 90 MPa.

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 ratio (P/P0) is recorded along with the quantity of gas
adsorbed by the sample at each equilibrated pressure
(see http://www.micromeritics.com ).
2) Observations: Figure 8 shows pore size distribu-
tions for various confining pressures and a constant
pore pressure of 20 MPa. (a) and (b) are dry and wet
conditions, respectively. For both conditions, the peak
volumetric ratio in the radius shifts to a bigger scale.
This behavior means that those thick stress-induced
microcracks which are dominant with increases in
the effective confining pressure. Figure 9 summarizes
the relationship between the porosity as defined by
mercury intrusion porosimetry and the confining pres-
sure. In addition, the surface area obtained by the Gas
Adsorption Method firmly supports the phenomena of
porosity increase with increasing confining pressure.
From direct observations by optical microscope and
SEM images, we can recognize that grain crushing
and strong rock fragment compaction occurs in highly
deformed specimens under high confining pressure
(Fig. 10).
6 DOES THE PERMEABILITY OF STRESSED
SANDSTONE INCREASE OR DECREASE
WITH DEFORMATION?
Zhu & Wong (1997) investigated the permeability
as a function of stress states spanning the brittle-
ductile transition in five sandstones. The nominal
porosities of these five sandstones range from 15%
to 35%. The porosity in the Darley Dale sandstone
is 14.5% in intact condition, which is nearly equal to
Shirahama sandstone. According to their observations,
the permeability of Daley Dale sandstone decreases
monotonically with increasing axial strain under var-
ious confining pressures (5, 10, 20, 100, 200 MPa).
As shown in Figure 7, the permeability of Shirahama
sandstone showed rather complicated changes. That
is, in the brittle regime, the permeability decreased
within the elastic deformation range, and showed a
remarkable increase at the same stress level starting
dilatancy behavior. It is distinctive feature was that
the permeability after unique shear fracture which
occurred in the specimen was higher than the initial
permeability value at the onset of the axial load-
ing. On the other hand, in the brittle ductile regime
and fully ductile regime, although the permeability
increased within the inelastic deformation range, the
increasing ratio weakened with increasing confining
pressure. It should be noted that the permeability at
end of the loading was never higher than the maximum
value during the experiment. These sandstones have
nearly the same porosity, but the permeability charac-
teristics show rather different behaviors. As shown in
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Copyright 2006 Taylor & Francis Group plc, London, UK
Figure 10, in the higher confining pressure regime, that
is, in the ductile regime, pre-existing large pores are
closed, most rock fragments are compacted remark-
ably and some quartz grains are crushed. In addition,
we can recognize the existence of small open spaces
between the quartz grains and compacted rock frag-
ments. These grain crushing fractures and slightly
open spaces cause the permeability increase during
inelastic deformation under high confining pressure
and high deviatoric stress. As we mentioned in the
sample description, Shirahama sandstone has a lot of
rock fragments, while Darly Dale sandstone has none.
The dominant differences in pore volume changes and
permeability changes of the two sandstones are obvi-
ously due to differences in the volume fraction in the
rock fragments.
7 CONCLUDING REMARKS
Specimens are characterized by the existence of a
main fault, the deformation shows dominant dilat-
ancy under low confining pressure conditions. Under
higher confining pressures, the specimens behave in
a fully ductile mode, and the volumetric strain mea-
sured by displacement transducers and pore volume
change shows persistent compaction throughout the
experiments. However, we confirmed that the total
porosity by means of the mercury intrusion porosime-
try increases with increasing confining pressure, and
the BET surface area of the pore space obtained
by the gas adsorption method supports the porosity
increase behavior. According to the above observa-
tions, although the real underground field is restricted,
the deeper the burial depth, the larger the porosity with
inelastic deformation. The porosity corresponds to the
specific storage in the hydrogeology, and determines
the ability of the fluid to flow out or to be extracted
from a rock or sedimentary layer. Thus, we can con-
clude that the rock mass subjected to high confined
compression stress and high deviatoric stress has a
large capacity for storing the pore fluid volume.
REFERENCES
Brace, W.F., Walsh, J.B. & Frangos, W. T. 1968. Permeability
of granite under high pressure. J. Geophys. Res. 73(6):
22252236.
Wong, T.-f., David, C. & Zhu, W. 1997. The transition from
brittle faulting to cataclastic flow in porous sandstones:
Mechanical deformation. J. Geophys. Res. 102(B2):
30093025.
Zhu, W. & Wong, T.-f. 1997. The transition from brittle fault-
ing to cataclastic flow: Permeability evolution. J. Geophys.
Res. 102(B2): 30273041.
 EUROCK 2006 Multiphysics Coupling and Long Term Behaviour in Rock Mechanics
Van Cotthem, Charlier, Thimus & Tshibangu (eds)
2006 Taylor & Francis Group, London, ISBN 0 415 41001 0

Mechanical and chemical properties changes in sedimentary rock

during immersion in hot water

T. Takemura, M. Takahashi & M. Manaka

Research Center for Deep Geological Environments, Natl. Inst. Adv. Ind. Sci. & Technol. (AIST), Tsukuba, Japan

K. Tanaka
Tsukuba University, Tsukuba, Japan

ABSTRACT: The excavation of underground openings results in changes in stress distribution which may lead
to the development of a plastic zone around the tunnel, termed the excavation disturbed zone. To characterize the
behavior of this excavation disturbed zone as well as the host rock, the time influence on the mechanical properties
of rock is of great importance. In addition, the effect of increasing temperature on the hydro-mechanical properties
of sedimentary rock is also an important topic in the design of, for example, deep excavations for the disposal of
high-level radioactive waste in rocks. This paper describes the qualitative results of laboratory weathering tests
on specimens immersed in 90 C hot water for 100 and 500 days. In addition, tri-axial compression tests, porosity
measurements and micro-structural observations were carried out in order to investigate mechanical properties
changes under hydro-thermal environments (deep geological environments).

1 INTRODUCTION causes permeability change, depends on experimental

The effect of increasing temperature on the hydro-
mechanical properties of rocks is a highly important
topic. When we select a site for underground excava-
tion for the disposal of high-level radioactive waste
and CO2 -underground storage, it is necessary to know
the effects of temperature and confining pressure
with water, called the deep geological environment.
In fact increasing temperatures cause micro-cracking
and the production of new clay minerals under long-
term immersion in hot water at 90 C (Suzuki et al.,
1998). It has to be pointed out that the long-term sta-
bility of rocks under deep geological environments can
be damaged by chemical processes.
The mechanical and hydrological properties under
deep geological environments have been studied
mainly with respect to thermal cracking in crystalline
rocks because permeability and strength depend on
the cracks (e.g. Wong & Brace, 1979; Lin, 2002).
In weathering tests for granite immersed in high
temperatures, Morrow et al. (1981) observed a per-
meability reduction because the cracks were filled
with clay mineral. On the other hand, Suzuki et al.
(1995, 1998) measured time-dependent permeability
changes in granite immersed long term (about 2000
days) in hot water, and found that the permeability
drastically decreased around an immersion of 1000
days. These two interesting but different results sug-
gest that the weathering product in cracks, which
conditions such as fluid flow transporting the nuclei of
the minerals and the generation of a temperature gradi-
ent. Note also that increasing temperature accelerates
chemical reaction by increasing total energy.
Such chemical weathering in hot water is a time-
dependent phenomenon, and it is important to consider
hydro-thermal-mechanical properties in rocks under
deep geological environments. However, there are few
studies of the time and temperature effects on mechan-
ical properties. Additionally, there are only a few stud-
ies of sedimentary rocks compared with crystalline
rocks.
With this objective in mind, Shirahama sandstones
were immersed in 90 C water for 500 days. Using
samples damaged by chemical weathering, triaxial
compression tests were performed under a 10 MPa
confining pressure. In addition, the microstructure of
damaged samples was observed using a secondary
electron microscope (SEM), and we measured porosity
using a mercury injection porosimetry method (MIP)
in order to evaluate the damaged sample.
2 TESTING MATERIAL AND EXPERIMENTAL
PROCEDURE
All tests were carried out using Shirahama sandstone,
which is a Neogene sedimentary rock sampled from a
quarry in Wakayama, central Japan. Mesoscopically, it

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 looks homogeneous without any visible mineral foli-
ation. Shirahama sandstone consists mainly of quartz,
feldspar and some other trace clay minerals. Seven
cylindrical specimens 600 mm long and 300 mm in
diameter were cored from a block. Three specimens
did not have any damage, and were called intact
samples (SI-a1, a2, b). The other four specimens
were immersed in a hot water bath, slowly heated to
90 C, and the temperature maintained at 90 C 0.1 C
(Fig. 1a). The immersed samples were taken out of the
bath after 100 and 500 days of immersion, and were
called SH100-a, b and SH500-a, b. The immersed sam-
ples were gradually cooled down to room temperature
in water in order to perform following tests.
To analyze mechanical changes, two intact sam-
ples filled with air (SI-a1) and water (SI-a2), and two
different immersed samples, SH100-a and SH500-a,
were prepared. These four samples were enclosed in
Figure 1. Schematic view of experimental apparatus. (a)
Immersion test and (b) triaxial compression test.
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Copyright 2006 Taylor & Francis Group plc, London, UK
heat-shrinkable tubing and axial and lateral extenso-
meters were attached to the central half. The sample
was subjected to a confining pressure of 10 MPa in
a triaxial vessel, and the sample axially loaded at a
constant strain rate until violent failure took place
in the sample. The conditions of the triaxial experi-
ment were such that no pore pressure was generated
(Fig. 1b).
To observe the microstructure in the immersed
sample, we observed one intact sample, SI-b, and
immersed samples, SH-100-b and SH500-b, using a
secondary electronic microscope (SEM).The observed
area was an internal portion that had appeared by
splitting the sample. Using the same samples, we
made a thin section to determine the mineral com-
position under an optical microscope. In addition, to
evaluate microstructural changes, 20 mm 20 mm
15 mm rectangular samples were prepared for MIP
(micromeritics automated mercury porosimeter made
by Micromeritics Co. Ltd.) using the remainder of the
samples used for the SEM observations.
3 RESULTS AND DISCUSSION
3.1 Triaxial compression tests
The relationship between the differential stress, axial
strain, lateral strain, and volumetric strain for each
sample is shown in Figure 2. The differential stress of
wet sample SI-a2 decreased by about 20% compared
with dry sample SI-a1. The experiment was carried out
in drained conditions, and the pore pressure may not
have been generated in the sample during differential
stress loading. Because the matrix of the Shirahama
sandstone, is filled with clay mineral such as smectite,
of which the mechanical properties depend on water
content, the differential stress was decreased by the
water in matrix.
The mechanical properties were calculated using
these samples, and are summarized in Table 1. Two
moduli are tentatively introduced. A secant modulus
E10 is defined as the tangent of a secant line connect-
ing the origin with a stress point corresponding to 10%
of the maximum differential stress. Another modulus
E50 is a tangent to the stress-strain curve at a stress
point corresponding to 50% of the maximum differ-
ential stress. Both moduli were clearly decreased by
immersing in hot water, and, particularly E10 decreased
by as much as 30% from 8.66 GPa in the intact wet
sample, SI-a2, to 6.03 GPa in that immersed in hot
water for 100 days, SH100-a. It is well known that E10
depends not only on the elasticity of the rock form-
ing minerals, but also on the elasticity of open cracks
and/or pores. Therefore, the E10 reduction caused by
immersion in hot water might have taken place due
to changes in the microstructure in rocks by chemical
weathering.
 3.2 Porosity
Increasing the temperature accelerates chemical reac-
tion. The main mineral of which Shirahama sand-
stone is composed is quartz as the grain particle,
in a matrix of smectite, kaolinite and other clay
minerals. Figure 3 shows the porosity and the dis-
tribution of pore size measured by MIP for intact
sample, SI-b, and immersed sample, SH500-a. Here,
the radius of the pores is plotted on the horizontal
axis on a logarithmic scale, for example 0 means
10 m = 1 m. The porosities of SI-b and SH500-a
are 13.38% and 13.09%; that is to say the porosity of
Shirahama sandstone does not change drastically dur-
ing immersion for 500 days in hot water, and the pores
have sizes of sub-nanometer order, called micropores.
The porosities of both samples are almost the same.
However, pores larger than 1 m and a maximum
30
SI-b
Porosity = 13.38%
25

Volumetric Ratio(%)
20

15

10

0
-3 -2 -1 0 1 2 3
Log Radius (m)
(a)
30
SH500-a
Porosity = 13.09%
25
Volumetric Ratio(%)

20

15

10

0
-3 -2 -1 0 1 2 3
Log Radius (m)
(b)
Figure 2. Differential stress-strain curves in two intact and
two immersed samples; (a) differential stress-axial strain Figure 3. Relationship between volumetric ratio and pore
and stress-lateral strain curve and (b) differential stress- radius; (a) intact sample, SI-b, and (b) immersed sample,
volumetric strain curve. SH500-b.The horizontal axis is plotted on a logarithmic scale.

Table 1. The mechanical properties of Shirahama sandstone.

Maximum Secant and tangential modulus Poissons modulus

Immersed differential
time (day) stress (MPa) E10 (GPa) E50 (GPa) 10 50

SI-a1 0 111.07 9.22 11.23 0.13 0.20

SI-a2 0 89.62 8.66 10.91 0.17 0.26
SH-100-a 100 84.10 6.03 9.71 0.13 0.24
SH-500-a 500 76.27 5.46 8.85 0.14 0.26

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 of 90 m, called macropores, were generated in the
immersed sample SH500-a. Under optical microscope
observation, the quartz grains did not have micro-
cracks (Figure 4). Therefore, such micro and macro
pores may exist in the matrix portion. Figure 5 shows
an SEM image of the matrix portion of sample
SH500-b. We can observe macro pores in the 20
30 m range. These macropores may be have been
produced by chemical weathering, and elements, for
Figure 4. Photomicrograph of immersed sample SH500-b.
The grain particle is quartz and the matrix portion filled in
clay mineral.
Figure 6. SEM image of immersed sample SH500-b.
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Copyright 2006 Taylor & Francis Group plc, London, UK
example Ca, K and Si, of which the clay mineral is
composed, may have been part of the solute from the
wall of some pre-existing micropore. However, not all
micropores changed to macropores, at least in the sam-
ple immersed in hot water for 500 days, because some
micropores filled in the chemical weathering prod-
uct in the immersed sample. This topic is discussed
in more detail in the next chapter.
Figure 5. SEM image of immersed sample SH500-b. The
pore size is about 2030 m.
 3.3 Chemical weathering product
The effect of chemical weathering of sedimentary
rocks is not only increased pore size, but also the pro-
duction of clay minerals in the pores. Figure 6 shows an
SEM image of immersed sample, SH500-b. The clay
mineral composed of a lot of seat can be observed
in the matrix portion in Fig. 6(a-1), and we can
observe euhedral mineral around the grain particles in
Fig. 6(a-2). These minerals could not be observed in
the intact sample even from the 10 mm 10 mm areas
tested carefully under the SEM. On the other hand,
we can easily detect such minerals produced in the
immersed sample. In addition, clay mineral filled in
the pores of the matrix portion (Figure 6(b)), and such
a clay mineral will decrease the permeability.
4 CONCLUDING REMARKS
In order to study the properties of sedimentary rocks
under deep geological environments, laboratory chem-
ical weathering tests were carried out by immersing
Shirahama sandstone in 90 C hot water for 100 and
500 days. Using that immersed sample, we carried
out mechanical tests, measuring porosity and made
microstructural observations, we have the following
conclusions:
1) The mechanical properties, strength, secant mod-
ulus E10 and tangential modulus E50 , decrease with
the time of soaking in hot water. E10 , especially, is
much reduced by chemical weathering.
2) New clay minerals produced by chemical weather-
ing can be observed not only in the matrix portion
but also in the micropores so as to fill in space.
REFERENCES
Lin, W. (2002) Permanent strain of thermal expansion
and thermally induced microcracking in Inada granite,
J. Geophys. Res., Vol. 107, No. B10, doi: 10. 1029/
2001JB000648.
Morrow, C., Lockner, D., Moore, D., & Byerlee, J. (1981)
Permeability of granite in a temperature gradient, J.
Geophys. Res., Vol. 86, No. B4, 30023008.
Suzuki, K., Oda, M., Yamazaki, M. & Kuwahara, T. (1998)
Permeability changes in granite with crack growth during
immersion in hot water, In. J. Rock Mech. Min. Sci., Vol.
35, No. 7, pp. 907921.
Suzuki, K., Oda, M., Kuwahara, T. & Hirama, K. (1995)
Material property changes in granitic rock during long-
term immersion in hot water, Engineering Geology, Vol.
40, pp. 2939.
Wong, T.-F. and Brace, W. F. (1979) Thermal expansion of
rocks: Some measurements at high pressure, Tectono-
physics, Vol. 57, 95117.

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 EUROCK 2006 Multiphysics Coupling and Long Term Behaviour in Rock Mechanics
Van Cotthem, Charlier, Thimus & Tshibangu (eds)
2006 Taylor & Francis Group, London, ISBN 0 415 41001 0

Analyzing the influence of the water saturation on the

strength of sandstones

B. Vsrhelyi
Dept. of Building Mat. & Engng. Geol., Budapest Univ. of Techn. & Economics, Budapest, Hungary

P. Vn
Dept. of Chemical Physics, Budapest Univ. of Techn. & Economics, Budapest, Hungary and
Research Institute for Particle and Nuclear Physics, HAS

ABSTRACT: Water content is one of the most important factors influencing rock strength. Considerable
research has been carried out to investigate rock strength under both dry and water saturated conditions for
different types of sandstones. According to these results, the petrophysical components of rocks (i.e. uniaxial
compressive strength, elastic modulus, tensile strength) decrease with increasing water content and this can result
in an increase in the mechanical compliance in some cases. In several cases, the strength decrease is remarkable
after only 1% water saturation. For rock mechanics and rock engineering projects, it is strongly recommended
that the dry uniaxial compressive strength is used for the purposes of strength classification, while for the actual
engineering design it is essential to establish the wet strength and ideally the water sensitivity of the rock, in
order to asses their potential change in strength and deformability. The goal of this paper is to show a method
for calculating the sensitivity of sandstone rocks to water content, using the different published data. From
measurements of the density and the uniaxial compressive strength in case of dry and saturated petrophysical
states, the strength as a function of water content can be easily determined.

1 INTRODUCTION 250
UCS(sat) = 0.759 UCS(dry)
R2 = 0.906
Hawkins and McConnell (1992) investigated the influ- 200
UCS(sat) - MPa

ence of the water content on the strength and deforma-

bility of 35 different British sandstones from 21 150

localities, ranging in age from Pre-Cambrian to Creta-

100
ceous.They published values for the measured uniaxial
compressive strength and for the tangent and secant
50
deformation moduli in case of dry and fully saturated
conditions. Vsrhelyi (2003) analyzed the published 0
data and showed that there is a linear correlation 0 50 100 150 200 250 300 350
between the dry and fully saturated uniaxial com- UCS(dry) - MPa
pressive strengths, c0 and csat respectively (Fig. 1).
The overall best-fit equation for the 35 investigated Figure 1. Relationship between the dry and the saturated
sandstones is: uniaxial compressive strength (UCS) for 35 British sand-
stones (Vsrhelyi, 2003).
between the different petrophysical constants (i.e. uni-
The same results were found for investigating the rela- axial and tensile strengths, modulus of deformation)
tionships between the dry and saturated petrophysical is independent to the water content.
state the secant and tangent modulus, as well they Investigating highly porosity limestones, an expo-
were decreased about 20% in both cases (Vsrhelyi, nential equation was found between the strength and
2003). According to Vsrhelyi (2005), the decreas- the density:
ing value in case of fully saturated condition should
be rock type dependent.
The results of Kleb & Vsrhelyi (2003) and where is the density (dry or saturated), and and
Vsrhelyi (2002, 2005) show clearly, that the ratio are material constants, which are depending on the

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Copyright 2006 Taylor & Francis Group plc, London, UK

 Table 1. Numerical values of constants a, b, and c and
respective R-value for best-fit exponential equations (accord-
ing to Hawkins & McConnell, 1992).

Sandstone a b c R

Donegal Quartzite (DQ) 39.03 1.9601 184.23 0.93

Brownstone (LORS) 29.34 0.7646 105.23 0.78
Millstone Grit T. D 12.30 0.6821 96.27 0.71
(MGD)
Holcombe Brook Grit 36.13 0.7794 48.65 0.88
(HBGB)
Thornhill Rock T. A 45.73 1.5942 40.29 0.97
(TRA)
Crackington Formation 84.01 6.4167 230.98 0.91
Figure 2. Influence of the water content for the strength of
(CF)
the rock schematic curve according to Eq. (3).
Pennant Type A (PnA) 83.76 0.2306 51.02 0.86
Pennant Type B (PnB) 28.81 0.5506 49.37 0.62
Pennant Type C (PnC) 47.12 1.5439 47.65 0.95
petrophysical state. Similar relationship was found
Penrith Type A (PrA) 7.01 0.0752 56.30 0.70
for the Youngs modulus and the tensile strength, as Penrith Type B (PrB) 4.16 0.4061 28.90 0.87
well (Vsrhelyi, 2005). These material constants were Penrith Type C (PrC) 17.27 1.0675 67.75 0.85
determined for different types of tuffs (Vsrhelyi, Penrith Type D (PrD) 20.37 1.2629 87.29 0.88
2002). Greensand Type A (G) 6.14 0.1104 2.97 0.93
Greensand Dogger (D) 19.12 0.2567 45.79 0.77

2 RELATIONSHIP BETWEEN THE MOISTURE

CONTENT AND THE STRENGTH

Hawkins and McConnell (1992) carried out tests to 300

determine the influence of the water content on the

strength, (MPa)

strength of 15 different types of sandstones. They 200

c

found that the relationship between water content and

uniaxial compressive strength could be described by
100
an exponential equation of the form:

where c(w) is the uniaxial compressive strength
(MPa), w is the water content (%) and a, b, and c
are constants. It is obvious that the strength at zero
water c(0) = a + c and the strength at full saturation
c(sat) = c (the schematic curve is plotted in Figure 2).
The parameter b is a dimensionless constant defin-
ing the rate of strength loss with increasing water
content. The determined constants for each of the 15
different types of sandstones (published by Hawkins &
McConnell, 1992) with the respective R-values are
listed in Table 1.
Figure 3 shows the best-fit lines plotted for the 15
different rock types for water content values up to 5%.
It is apparent that the strength of the rock is very sensi-
tive to the water content; an increase in water content
of as little as 1% from the dry state can have a marked
effect on strength. The parameter b characterizes this
sensitivity, with larger values corresponding to more
sensitive materials. Hence, the b parameter should be
very important for rock engineering design, partic-
ularly in the context of abandoned mines where the
groundwater will rebound (Li & Reddish, 2004).
0
0 0.5 1 1.5 2 2.5 3 3.5 4 4.5 5
moisture content, w (%)
Figure 3. Strength-moisture content curves, fitted to exper-
imental data up to 5%.
3 CALCULATING THE SENSITIVITY OF
WATER CONTENT IN ABSOLUTE SCALE
The disadvantage of the analysis method of Hawkins
and McConnell (1992) is that the saturated condition
differs for each of the investigated sandstones, i.e. the
absolute water content at full saturation can be very
different. Further, the suggested fitting curve of equa-
tion (3) of Hawkins and McConnell changes if the
relative water content goes to infinity.
For a better representation of the water dependence,
we suggest a recalculation of the material constants
b, with the water content expressed using an absolute
measure such as the degree of saturation, S.This means
that for all rocks, S = 0 in the case of dry condition
and S = 1 in the case of fully saturated condition. The

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Copyright 2006 Taylor & Francis Group plc, London, UK

 dimensionless constant b* can be easily determined Table 2. The calculated b and b values with the experimen-
from the published data using the following equation: tal result b value for the published sandstones (Hawkins &
McConnell, 1992).

Sandstone b (Eq. 4) b b-calculated (Eq. 8)

DQ 5.967 1.9601 1.8779

Equation (4) assumes that the full saturation is LORS 5.682 0.7646 0.7553
achieved if the difference of the actual strength cal- MGD 4.812 0.6821 0.7254
culated by the fitted curves and the theoretical one HBGB 5.890 0.7794 0.7352
is 0.1 [MPa]. The calculated b values are given in TRA 6.125 1.5942 1.5385
Table 2. Note the small variance of the b values. CF 6.734 6.4167 5.9572
For the dry and saturated strengths c(0) and c(sat) we PnA 6.731 0.2306 0.2150
have accepted the values calculated by Hawkins and PnB 5.663 0.5506 0.5280
PnC 6.155 1.5439 1.4686
McConnell, as it is indicated by the fitted parameters
PrA 4.250 0.0752 0.0932
a and c. PrB 3.728 0.4061 0.6135
However, we suggest a different form for the expo- PrC 5.152 1.0675 1.4226
nential function of equation (3), considering that the PrD 5.317 1.2629 1.5561
fully saturated condition is achieved at 100% water G 4.117 0.1104 0.1510
content. In the proposed expression, given by equa- D 5.253 0.2567 0.2749
tion (4), the exponential dependence is preserved but
the parameters a and c are changed.
srelcr
1

0.8

0.6
Here, the previous relation between the parameters
a and c is preserved as a + c = c(0) , however, now

0.4
the value of c is now given by

0.2

wrel
0.2 0.4 0.6 0.8 1
The corresponding rock types can be identified
from their dry strength values (Vsrhelyi & Vn, Figure 4. Relative strength as a function of water content.
2006). One can see that there are some rocks where
there is a significant difference in the strength between 7
wet and dry, corresponding to a water content change 6
of as much as 30%. The previously noted small vari- 5
b-value (-)

ance of the b values is also apparent from Figure 4, 4

b = 6.0259neff-1
where the relative strength is plotted as a function of 3
the relative water content. R2 = 0.9604
2
Knowing the water content under fully saturated 1
conditions, the constant b in relative scale can be 0
related to b according to: 0.00 10.00 20.00 30.00 40.00
neff - effective porosity (%)

Figure 5. The b-value as the function of the effective

porosity.

where neff is the effective porosity of the rock. The Tables 3 and 4. The equation of the line of best fit
relationship between the b-value and the effective in Figure 5 is
porosity (neff ) can be seen in the plot in Figure 5,
where the results of Hawkins and McConnell (1992)
are shown together with the results of Bell (1978, 1995)
and 4 Hungarian sandstones (investigated by Trk & and this can be used to determine the sensitivity of the
Hajpl, 2005). These results are also presented in sandstone to water content.

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Copyright 2006 Taylor & Francis Group plc, London, UK

 Table 3. Measured and calculated values for (1 ): the pub- than the strength reduction. An advantage of the pre-
lished data of Bell (1995) and (2 ): 4 different Hungarian sented method is that fewer tests are necessary for
sandstones. calculating the influence of the water content on the
rock properties. From measurements of the density and
Location c(0) c(100) n(eff ) b b
the uniaxial compressive strength in case of dry and
Chatsworth 39.2 24.3 14.6 5.0039 0.3427 saturated petrophysical states, the strength as a func-
grit1 tion of water content can be easily determined, both in
Sherwood 11.6 4.8 25.7 4.2195 0.1642 terms of relative (i.e. water content as a percentage of
sandstone1 the rock mass) and absolute (i.e. degree of saturation)
Keuper 42.0 28.6 10.1 4.8978 0.4849 scales.
waterstone1 According to the results of Vsrhelyi (2002, 2003,
Bronllwyn 197.5 190.7 1.8 4.2195 2.3442 2005), the sensitivity of other mechanical constants
Grit1 (i.e. Youngs moduli, tensile strength etc.) to changes
Balatonrendes2 45.67 34.99 4.23 4.6710 0.5190 in water content is likely to be similar to the sensitivity
Cserkt2 78.55 61.43 1.83 5.1428 1.2245 of the uniaxial compressive strength, and thus, this
Pilisborosjeno2 20.41 17.73 13.45 3.2884 0.1462 method could be used to estimate the water content
Vc2 33.84 25.2 12.07 4.4590 0.1939
sensitivity of these mechanical properties, as well.

ACKNOWLEDGMENTS
Table 4. Calculated b and b* values from the measured data
of Bell (1978) for Fell sandstones.
The authors acknowledge the support of the Bolyai
Depth (m) c(0) c(100) n(eff ) b
b Scholarship, and also thank for the financial support
of the Hungarian Research Foundation (OTKA No.
Surface 33.2 19.1 11.1 4.9488 0.4458 D 048645, F 43291 and T48489).
9.1 51.9 31.0 12.7 5.3423 0.4207
18.3 73.7 43.3 11.5 5.7170 0.4971
21.3 79.1 53.5 11.7 5.5452 0.4740 REFERENCES
24.4 38.1 21.6 20.5 5.1059 0.2491
27.5 108.9 98.6 9.6 4.6347 0.4828 Bell, F.G. 1978.The physical and mechanical properties of the
30.5 88.7 70.2 9.5 5.2204 0.5495 fell sandstones, Northumberland, England. Engng. Geol.
33.6 90.2 71.2 10.4 5.2470 0.5045 12: 129.
36.6 89.9 63.4 9.5 5.5797 0.5873 Bell, F.G. 1995. Laboratory testing of rocks. In: Bell F.G.
39.7 51.1 33.5 9.4 5.1704 0.5501 (ed.) Engineering in rock masses. 151169.
42.7 59.0 38.2 9.9 5.3375 0.5392 Hawkins, A.B. & McConnell, B.J. 1992. Sensitivity of sand-
45.8 91.7 62.7 10.1 5.6699 0.5614 stone strength and deformability to changes in moisture
48.8 92.4 60.9 9.2 5.7526 0.6253 content. Q. Engng. Geol. 25: 115130.
51.9 112.4 97.2 7.2 5.0239 0.6978 Kleb, B. & Vsrhelyi, B. 2003. Test results and empiri-
54.9 53.9 29.6 7.1 5.4931 0.7737 cal formulas of rock mechanical parameters of rhiolitic
58.0 75.2 62.0 7.6 4.8828 0.6425 tuff samples from Egers cellars. Acta Geol. Hung. 46:
61.0 60.2 37.3 9.6 5.4337 0.5660 301312.
67.1 52.3 30.6 10.1 5.3799 0.5327 Li, Z. & Reddish, D.J. 2004. The effect of groundwater
70.1 77.2 43.1 9.1 5.8318 0.6409 recharge on broken rocks. Int. J. Rock Mech. Min. Sci.
73.2 55.7 42.7 7.8 4.8675 0.6240 (SINOROCK), 41: 1B14.
76.2 93.1 43.9 8.1 6.1985 0.7652 Trk, . & Hajpl, M. (2005). Effect of temperature changes
82.3 107.2 98.4 6.9 4.4773 0.6489 on the mineralogy and physical properties of sandstones
91.5 95.8 64.9 6.5 5.7333 0.8821 a laboratory study. Rest. Build. & Monuments. 11(4):
94.5 80.5 50.8 8.7 5.6937 0.6545 211218.
Vsrhelyi, B. 2002. Influence of the water saturation for the
strength of volcanic tuffs. In: C. Dinis da Gama, L. Ribeire
e Sousa (eds.) Workshop on volcanic rocks 8996.
4 CONCLUSION Vsrhelyi, B. 2003. Some observation regarding the strength
and deformability of sandstones in case of dry and satu-
rated conditions. Bull. Engng. Geol. & Env. 62: 245249.
A method for estimating the sensitivity of sandstone Vsrhelyi, B. 2005. Statistical analysis of the influence of
to its water content has been presented. From an anal- water content on the strength of the Miocene limestone
ysis of the results of Hawkins and McConnell (1992), Rock Mech. Rock Engng. 38: 6976.
this sensitivity is found to be highly dependent on the Vsrhelyi, B. & Vn, P. 2006. Influence of the water content
effective porosity (neff ) and to be applicable to more for the strength of the rock. Engng. Geol. (in press)

172

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 EUROCK 2006 Multiphysics Coupling and Long Term Behaviour in Rock Mechanics
Van Cotthem, Charlier, Thimus & Tshibangu (eds)
2006 Taylor & Francis Group, London, ISBN 0 415 41001 0

Study on the variation on microstructure and mechanical properties of

water-weakening slates

Chunhe Yang, Haijun Mao & Xiaolan Huang

Institute of Rock and Soil Mechanics, The Chinese Academy of Sciences, Wuhan, China

Xuechao Wang
Yellow River Engineering Consulting Co., Ltd., Zhengzhou, China

ABSTRACT: Its important to recognize the mechanical properties of soften rocks for their water-weakening
feature in the real engineering. The objective of the present study was to analyze this process and the weakening
mechanism of the slate rocks taken from the engineering of the western route of water transfer from southern
to northern China. For this purpose, some experiments were done including measuring the change of water
absorptions, contact angles, the microstructures of the minerals forming the rocks, the porosities and the strength
of the rocks in different absorption by the scanning electron microscope (SEM), powder X-ray diffraction analysis
and the triaxial compression experiment. Some conclusions were drawn from these experiments as follows: 1)
when flooding into water, the absorption was affected by the location and density of the layer surfaces, and
increased with the dipping time in the first few days till it kept stable at last; 2) the contact angles decreased
with the absorption till it became a stable value; 3) in the SEM images the grains of the slates bulged and the
structure relaxed, which made the porosity increased without confinement and the volume bulge lagged behind
the water absorption; 4) the triaxial compression results showed that the slates weakened and the peak strength
of the slates declined with the absorption increased in minus logarithm law; the elastic modulus decreased either;
5) from the variety trends of microstructure and contact, the capillary force and the tension force of the slates
decreased with the absorption, which made the adhesive force declined. In the macroscopic, it showed that the
slates weakened with water. The slate rock is anisotropic which made the volume dilation in the perpendicular
direction to the layers bigger than the parallel direction. As a result, the slate rocks are easier to failure following
the layer surfaces. All these results explained the process of the water-weakening of slates.

1 INTRODUCTION of chalk saturated with different seawater, glycol and

In the engineering of the western route of water transfer
from southern to northern China, many open ditches
and underground tunnels would be built on the basis
of the intercalated layer of slates and sandstones,
and even some would be all on the slates. Slates
and sandstones would be weakened when flooding in
water for a long time for its physical and chemical
interactions with water, which would made the rock
strength decreased and the construction process harder
or the engineering stability declined. When the water-
weakening situation were serious, it may be disastrous.
So its necessary to study the water effects on slate
rocks and the properties, mechanisms and deformation
laws of slates.
At present, some researches have been done on
the water-rock interactions at home and abroad, espe-
cially on water-weakening and chemical damage to
the rock. For example, T. Heggheim et al. analyzed the
change of mechanical characters and microstructures
brines. He observed the transformation of mineral
components and microstructures caused by ions dis-
solution/precipitation between water and chalk, which
brought on the weaker of tensile strength. At the
same time, he used a theoretical model to explain
the mechanism. S.W.J. Den Brok et al. performed the
experiments on natural quartzite at high temperature,
different confining pressures and strain rates in the
presence of added water to study the microcracks and
new minerals. The results showed that water entered
into the inside of rocks through the intergranular chan-
nels and promotes the microcracks widespread and
propagation. J. Hadizadeh et al. studied the water-
weakening of sandstones and quartzite deformed at
various stress and strain rates, proved that the geome-
try of grain boundaries and pore spaces as well as the
grain-matrix relation may be the significant factors
controlling the water-weakening effects on rocks.
Water-weakening effects on rock were also consid-
ered in theory by the researchers in domestic and some

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Copyright 2006 Taylor & Francis Group plc, London, UK

 had the experimental evidences. Zhu Xiaojia discussed in Table 1. The quantity of chlorite and illite is up to
the water-rock interactions like solidation, plasticity, 80% in total.
muddy, weakening, fluidify, seepage, collapse and vol- All slates are selected from the same block in order
ume dilation through analyzing the existence state of to have samples with comparable properties. The ear-
water in rocks. He considered two mechanisms of lier research had shown that the clay would dilate
volume dilation as follows: firstly, rock reacted with when acting with water, but few relations between
water by chemical reaction which induced the mineral absorption and the flooding time were discussed.
components transformed and expansion; and secondly
clay-stones with more clay and hydrophile minerals
absorbed water in surface which leaded to the vol-
ume bulge. He used the crystal lattice expansion theory
and double electric layers diffusion theory to explain
the deformation process. Zhou Cuiying et al. studied
the water-weakening effects on red soften rocks col-
lected from southern China by microstructure obser-
vation. The clay mineral cohesion of water and the
ion exchange between rock and water were the domi-
nant factors controlling water-rock interactions. Tang
Liansheng et al. used chemical components and energy
theory to analyze the chemical damage caused by
water-rock interaction. He studied the hydro-chemical
damage mechanism and brought forward a method to
evaluate the chemical damage.

2 EXPERIMENTAL MATERIALS

All experiments were performed on the slate rocks

taken from the engineering of the western route of (a)
water transfer from southern to northern China. The
mineral components had been measured by powder
X-ray diffraction analysis and the scanning electron
microscope (SEM).
From the microstructure images, we can see that the
slates is mainly composed of chlorite, illite, quartz and
feldspar, while the chlorite and illite are directional
arrayed to form the layer surfaces. The cementing
materials between the grains are chlorite, illite, quartz,
feldspar and kaolinite. Chlorite is acerose or splinter
and up to 5075 m in the long axis. The shape of
illite is equant with a mean grain size of 50 m; the
other minerals like quartz and kaolinite are located in
the porosities formed by clay minerals with the size of
1030 m and few are distributed in the layer area.
The grains are cemented by porosity filling cementa-
tion. The results of compositions and quantities tested
by microscopes and powder X-ray diffraction are listed

Table 1. Components of slates tested by microscopes.

(b)
Sample code Chlorite Illite Quartz Feldspar Kaolinite
Figure 1. Part of microstructure images of slates in dry
Yx168 55 25 15 5 conditions. (a) Optical micrograph (crossed polars) of dried
Yx67 55 25 15 5 material and diagram showing significantly the shape and
Yx83 45 30 15 10 properties of mineral grains. The clay minerals showing the
Yx162 15 35 20 15 15 orientations. (b) SEM-image of slates, magnified 1200x, in
Yx182 45 30 15 10 which the shape of mineral grain and cementing material and
properties can easily be seen.

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 3 WATER ABSORPTION EXPERIMENT
Natural absorptions and vacuumized saturated absorp-
tions experiments were performed to observe the
absorption process and the saturation law. The purpose
of the experiments was to measure the absorption and
the saturated absorption, and to analyze the change law
of absorptions with time. The apparatus used including
oven, desiccator, electronic balance (2000 g, 0.01 g),
vacuumize equipment and balance used in water. Dis-
tilled water was used as the medium. Natural absorp-
tion was measured by flooding in water in different
time, and saturated absorption was measured by vac-
uumize method. The slate samples were flooded in
water about nine days, and measured the mass every
day to observe the change of absorptions and the pro-
cess. Table 2 listed the mass results of slates measured
during experiments.
Natural water content, natural absorption and satu-
rated absorption can be calculated by the formulas as
follows:
absorption increased with the flooding time. The
absorptions changed significantly in the first two days
and the absorption rate would slow down in the follow-
ing days till it got to the stable value. The transform law
of water absorption can be modeled by the formula:
where t = the flooding time; s = the saturated absorp-
tion, A, B are the modeling parameters.
From the modeling formula, we can see, that the
water absorption of slates was close to the saturated
absorption in minus exponential law. The value of
parameters A and B was different to each other for the
difference of inner structure of slates. Table 3 listed the
modeling results and the real lines in Figure 2 were
the modeling curves.
Table 3. Modeling parameters of slates in natural absorp-
tions with time.
Modeling
parameter Modeling absorption (%)
Sample Time
code (d) A B 1 3 5 7 9

67-3/5 8 0.51 0.38 0.47 0.66 0.75 0.79

204-2/7 8 0.32 0.69 0.62 0.74 0.77 0.77
157-7/7 8 0.14 0.17 0.31 0.34 0.37 0.38
193-2/6 9 0.18 0.28 0.40 0.46 0.49 0.51 0.52
178-1/7 9 0.33 0.95 0.53 0.64 0.66 0.66 0.66
83-2/2 9 0.20 0.57 0.34 0.42 0.44 0.45 0.45
where n = the natural water content; a = natural
absorption; s = saturated absorption; mn = the sam- 0.90
ples mass before experiment; ma = the mass after nat- 0.80
ural absorption; md = the mass dried in oven; ms = the
Water absorption/%

mass after saturated. 0.70

193-2/6

From the testing results, we can draw some results: 0.60

193-2/6 modelling
83-2/2
1) the natural absorption of slates is 0.10.5%, while 83-2/2 modelling
157-7/7
0.50
the saturated absorption is 0.51%, bigger than the 157-7/7 modelling
204-2/7
natural absorption; 2) natural water content of slates is 0.40 204-2/7 modelling
67-3/5
influenced by the inclination, density of layer surfaces 0.30
67-3/5 modelling
198-1/7
inside, and it increased with the density. Where there 198-1/7 modelling

was few or no layer surfaces, the water absorption was 0.20

0 1 2 3 4 5 6 7 8 9 10 11 12 13 14
low; in the certain time, the saturated absorption got Time/d
from constrained saturating were different with each
other in different layer surface density too; 3) samples Figure 2. Natural absorption curves of slates with time.

Table 2. Results of absorption experiments.

Mass after different flooding time (day)

Sample Dried Saturated
code mass (g) mass (g) 1 3 5 7 9

67-3/5 687.49 693.47 691.02 691.95 692.55 692.94

204-2/7 661.00 666.53 665.10 665.89 666.08 666.18
157-7/7 502.54 504.69 504.15 504.28 504.42 504.50
193-2/6 485.72 488.41 487.68 488.04 488.10 488.18 488.31
178-1/7 653.70 658.31 657.76 657.88 657.94 658.03 658.17
83-2/2 657.62 660.73 660.00 660.28 660.54 660.62 660.69

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Copyright 2006 Taylor & Francis Group plc, London, UK

 4 CONTACT ANGLE TESTS rate is big at first and reduced with time to zero at
last. In another side, the decrease degree in parallel
Difference of saturation degree of slate samples made direction was smaller than in perpendicular direc-
the cohesion degree, force and capillary force inside tion for the reason that more cracks or porosities can
the sample grains different. Some research results absorbed more water in perpendicular direction and
proved that cohesion force was composed of several caused the rock quicker to reach saturation, while
parts, as the action force between mineral grains and the absorption increased, the contact angle changed
water, capillary force and the force between grains. quicker at first till it reached to the stable.
During the force calculation, contact angle was a very 3) the variation trend can be described in the following
important factor, and few studies reported correlation formulas:
change trends in flooding process, so we chose the
variation of contact angle to study.
Six slate samples were chose to measure the con- where = contact angle, a and b is modeling param-
tact angles in different flooding time to realize the eters. Figure 3 and Table 6 listed the modeling
variation. The samples were made to slices to mea- results.
sure, three of which were parallel to layer surface and
By using formula (4), we can get
other three were perpendicular to the surface direc-
tion. Contact angle was measured in the contact angle
machine of measuring centre in faculty of mineral sci-
ence and chemical engineering, China University of
Geosciences. During the process, 56 contact angles
were measured in different place on one surface and
the results were arithmetical averaged to get the sam- From this formula, we can contact the angle with the
ples contact angle. Table 4 listed the basic data of slates absorption. Using the testing results and formula, we
and Table 5 was the measuring results of contact angles can analyze the change law of capillary force with time
in different time. and absorption.
From the results listed in Table 5, some results can
be drawn as follows:
1) contact angles of slates in parallel direction to the
Table 5. Contact angles tested in different time.
layer surface in dry conditions is in the range of
3037 , and bigger than the angles in perpendicular Contact angle ( ) after different times
direction, which is in the range of 2535 ; this Sample
result can be explained as the capillary force in code 1d 2d 3d 5d 8d 10d 12d 16d
perpendicular direction is smaller for the abundant
existence of layer surfaces, cracks and porosities 182-11/11 24.3 20 17.8 12.3 9.46
in perpendicular direction compare with parallel 157-5/7 35.6 33.5 24.51 25.0 27.8 23.67 26.84 27.3
direction, which caused water easier to penetrate 157-6/7 31.3 25.7 28.4 26.3 31 31.6 29.9 30.1
67-2/5 35.1 33.8 27.5 31.4 32.8 32.7 28.46 26.4
in slates along the layer surfaces. 168-2/2 36.5 33.3 31.9 27.8 29.5 28.6 30.5 29.3
2) when flooding time went on, contact angles showed 162 30.9 31.1 27.7 28.5 31.7 32.4 31.1 25.7
reduced trend ultimately. The trend of the decrease

Table 4. Basic data of slates measured contact angles.

Relation Sample size (mm)

Sample with layer
code surface Length Width Thickness Sample description

182-11/11 47 15 5.5 Deep gray slates, with a

perpendicular direction cracks
157-5/7 Perpendicular 48 28 5 Deep gray slates, with
several calcite veins
157-6/7 41 25 7 Deep gray slates,
with charcoal inside
67-2/5 46 24 50 Deep gray slates
168-2/2 Parallel 50 29 50 Deep gray slates
162 36 21 50 Deep gray slates, slice surface
parallel to layer surface

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Copyright 2006 Taylor & Francis Group plc, London, UK

 5 VARIATION OF MICROSTRUCTURE
DURING FLOODING
In order to recognize the water-weakening mecha-
nism in physics, chemistry and mechanics of slates,
some slates were selected to test the variations of
compositions and interior microstructures in different
absorptions. Variation of microstructure and compo-
sitions, interior porosities and cement forms can be
tested by deflection microscope and scanning electron
microscope, and mineral components can be tested by
powder diffraction and energy spectrum in measuring
center in China University of Geosciences. The sam-
ples were flooded in water about 1, 3, 5 and 9 days
to compare with dry samples. The testing results were
listed as follows:
5.1 Variation of grain forms
In the SEM images, mineral grains and cement grains
varied near the layer surfaces with those inside because
water penetrated into the cracks and porosities inside
near layer surfaces. As the result, grains and cements
inside, grains in cements didnt change while clay min-
erals as chlorite and illite filled in the porosities,
absorbed water on surface caused water layers incras-
sation and volume dilation. Illite reacted with water:

Zhu Xiaojia et al. proved that, when illite reacted with

water, volume of illite will add about 50100%, which
can made the cements relaxed.
In this testing, chlorite grain size in the long axis
change from 15 m to 18 m, while in short axis, it
changed from 5 m to about 7 m, which induced
unsymmetrical dilation; illite grain diameter changed
from 20 m to 23 m; all these made the porosi-
ties in part area inside the grains filled and porosity
(a) space decreased (Fig. 4). In the whole sample, with-
out confinement around, after mineral grains absorbed
water, grain volume increased and the sample struc-
ture loosen, porosities increased. This phenomenon
became obvious when the flooding time prolonged.

5.2 Variation of cementation forms and porosities

(b)
Figure 3. Variation trend curves of contact angles in differ-
ent directions of slates. (a is the parallel direction, b is the
perpendicular direction)
In the SEM images, cementation forms and degrees
changed after flooded in water near the layer surfaces
too. In dry condition, cementation forms between rock
grains were two kinds, porosity stuff and porosity gas-
ket, and the structure was tight. After water flooding,
part clay grains volume dilated and produced expan-
sion stress. Researches of Zhu Xiaojia et al. indicated
that, when more chlorite and illite included in clays,
bigger volume dilation produced. When the content of
illite and chlorite amount to 5080%, 0.10.5% vol-
ume dilation and 0.010.04 MPa dilation stress came
into being in parallel direction and 0.71.5% volume
dilation and 0.030.1 MPa dilation stress produced

Table 6. Modeling parameters of contact angles.

Parallel direction Perpendicular direction

Modeling
parameter 182-11/11 157-5/7 157-6/7 67-2/5 162 168-2/2

C 5.536 3.094 0.702 2.075 0.357 2.486

D 23.71 32.953 28.109 34.325 30.233 35.073
R2 0.81 0.485 0.087 0.367 0.0193 0.697

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Copyright 2006 Taylor & Francis Group plc, London, UK

 6 COMPRESSION EXPERIMENTS OF
SLATES

In order to recognize the water-weakening effects

to mechanical properties, triaxial compression exper-
iments were done in different absorptions. Slates
samples were drilled to columns of 54 mm in diam-
eter and 110 mm in length. Experiments were done
by XTR01 automatic controlling electric-fluid serving
compression machine, which is composed by spindle
pressure system, confining pressure system, porosity
water system, temperature controlling system and PC
controlling system. Triaxial compression experiments
were performed by displacement controlling, and con-
fining pressure were kept stable, temperature kept at
25 C, all these can made the errors and effects of
temperature and humidity be neglected.
(a) In the experiments, confining pressure was kept at
5 MPa, 10 MPa and 15 MPa separately. Fig. 5 showed
the triaxial pressure stress-strain curves. Table 7 listed
the results of mechanical strength, some other param-
eters and failure forms.
In the curves and results, some of mechanical
parameters as triaxial compression strength, elastic
modulus and Poissons ratio et al. changed and the
failure forms varied with the flooding time prolonged
and absorption increased.
Relative absorption, defined as the ratio of natural
absorption and saturated absorption, can be used to
describe the mass change in different absorption of
slate samples. It was a indimension value, and could
be calculated as the formula:

(b)
where ms = the mass of force saturated, md = the mass
Figure 4. SEM images showing the microstructures of desiccated in oven.
slates (a was the dry sample: b was saturated sample).

6.1 Variation of triaxial compression strength

in perpendicular direction, which meant more volume
dilation and stress produced in perpendicular direction When in same confining pressures, triaxial compres-
to the directions of mineral grains arranged. Dilation sion strength decreased, with the increase of relative
stress made the interior cohesion stress inside slates absorption. The pressure decreased about 78%, 67.9%
decreased and structure relaxed. and 53.8% in biggest absorption compared to the
Inside of the slates, porosity structure gave pri- dry condition. The decreased law of strength can be
ority to intergranular porosity, while near the layer modeled as follows:
surfaces area, more cracks developed. Porosity in dif- When confining pressure was 5 MPa,
ferent area varied greatly, some core samples porosity
was small, and could be 510% and some were big to
about 15%. After saturated, for the reason of mineral
When confining pressure was 10 MPa,
grains volume dilation and structure relaxation, poros-
ity would increased in the area absorbed more water,
from about 10% to 2025% gradually and the biggest
could be 35% in some samples. At the same time, When confining pressure was 15 MPa,
porosities diameter varied from about 510 m to
15 m above.

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Copyright 2006 Taylor & Francis Group plc, London, UK

 45 instance, in 5 MPa confining pressure, when relative
40 absorption changed from 60.9% to 70.3% till 79.3%,
35 173-13c elastic modulus varied from 43.34 GPa to 18.62 GPa
173-13b
30 till 15.97 GPa; but compared with the compression
Stress/MPa

25
162-57
173-13a strength, its law was not very clear. It maybe explained
20 as when flooded in water, water was just acted with the
15 mineral grains near the layer surfaces and had not or
10 little use to the minerals inside, which caused the elas-
5 tic modulus changed unobvious when the confining
0 pressure was 10 and 15 MPa.
-0.3 -0.2 -0.1 0 0.1 0.2 0.3 0.4
Strain/% The triaxial testing results also affirmed that Pois-
a Confining pressure of 5MPa
sons ratio increased with the addition of absorption
200 such as in 15 MPa confining pressure, it increased
180
from 0.225 to 0.229 till 0.378. The increased law could
160
140
79-44 be described as:
Stress/MPa

120
100 68-17
80 67-35
60 The modeling relative parameter was 0.76. In other
40
163-12 two kinds of confining pressure, the Poissons ratio
20 changed little without regular.
0
-0.6 -0.4 -0.2 0 0.2 0.4 0.6 0.8 1
Strain/%
b Confining pressure of 10MPa 7 DISCUSSION
180
160 From the variation of all parameters former and after
85-88 flooding, with flooding time prolonged, absorption
140
120 of slates added and structure inside released and
Stress/MPa

83-12b cohesion force between grains fell, all these made

100 189-46
80 the mechanical strength of slates decreased. Water-
83-22
60 weakening process and mechanism were discussed in
40 several sides.
20
0 7.1 Compares of water-weakening time and
-0.6 -0.4 -0.2 0 0.2 0.4 0.6 0.8
Strain/% flooding time
c Confining pressure of 15MPa
Variations of absorptions and mechanical strength
Figure 5. Stress-strain curves of triaxial compression tests showed that the two variations were not synchro-
in different absorption. nization. Absorption of slate samples increased rel-
atively quick in the first few days and increased rate
The formula and relative parameters indicated that slowed down in following days till it arrived at satu-
this kind of formula can model the variation law of rated absorption after 89 days; variation of contact
compression strength to absorption. For the reason of angles was similar to triaxial compression strength and
anisotropic feature of slates, the compression strength decreased in minus logarithm law; but the change time
showed great discrete. For example, slates owned of strength was lagged behind the former two param-
many discontinuities, when confining pressure was eters. The main reason may be that when absorption
5 MPa, it would fractured along the layer surfaces after increased, only few mineral grains were affected by
compressed; when confining pressure was 10 MPa, water and when the slates got to saturated condition,
its deformation belonged to shear failure and had big just only part grains can act with water; water acted
compression strength. In the same confining pressure, with grain and produce dilation stress need some time,
some strength of the samples showed irregular to the this made the parameter lagged behind absorption
law for the anisotropic. variation.

6.2 Variation of elastic modulus and 7.2 Variation of capillary force and molecule
Poissons ratio action stress
Experiment results showed that, elastic modulus of Distributions and actions among water, rock grains and
slates decreased with the increase of absorption. For atmosphere in slates can be denoted by the models in

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Copyright 2006 Taylor & Francis Group plc, London, UK

 Table 7. Triaxial compression testing results of slates.

3 c 1 E
Sample code (Mpa) (%) (Mpa) (Gpa) Failure forms ( )

Saturated 173-13b 5 60.9 40.88 43.34 0.306 Failured through 24.5

1 day layer surface
68-17 10 63.9 111.8 22.86 0.329 Shear failure 14.0
189-46 15 66.7 122.49 54.63 0.229 Failured through
layer surface
Saturated 173-13a 5 70.3 32.1 18.62 0.21 Failured through 28.65
3 day layer surface
67-35 10 65.8 98.29 40.06 0.217 Shear failure
83-22 15 69.2 84.37 22.93 0.378 Failured through 23.0
layer surface
Saturated 173-13c 5 79.3 37.91 15.97 0.231 Failured through 24.56
5 day layer surface
163-12 10 73.4 55.53 21.22 0.237 Failured through 56.08
layer surface
83-12b 15 78.1 135.8 53.68 0.383 Shear failure
Without 162-57 5 0 29.67 33.99 0.241 Failured through 29
water layer surface
79-44 10 0 177.4 38.87 0.308 Shear failure
85-88 15 0 156.78 51.15 0.225 Shear failure

Figure 6. When in natural state, there were on liberty

water existed in porosities; after saturated, water pen-
etrated into the porosities and the air in porosities was Mineral grain
expelled out and water would act with mineral grains.
Cohesion force among mineral grains in slate sam-
ples included the several parts as the stress between R Mineral
Rm Air grain
grains and water and water pressure, expressed in
formula (12).

where Fg = the interaction stress among rock grains;
F1 = the strong combined stress; F2 = weak com-
bined stress between grains and water; = the ten-
sion force of grains; Pc = capillary force; Pw = water
pressure.
From the formula
Mineral grain
Water
Figure 6. Interaction model of water and rock grains.
From the formula above, we can get the cohesion
force among rock grains described as follows:

and according to the geometry relation in figure, we

can got the formula:

When rock samples dipped into water, grains vol-

where  = the angle between the line linked two grain
center and the tangent radius of grains; = contact
angle.
ume produced dilation as R increased, which made
the interaction force between grains decreased; at the
same time, contact angle decreased with water absorp-
tion increased, which made capillary force and tension
force decreased gradually. When water content added,

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Copyright 2006 Taylor & Francis Group plc, London, UK

 water pressure increased in formula; Researches of
Zhu Xiaojia et al. proved that when water entering
porosities, combined force of adhesion water among
grains almost kept stable. From the results above, cohe-
sion force decreased in formula (16) with several part
of pressures decreased, which at last showed the slate
water-weakened and strength decreased. Part of the
decreased value corresponded to the dilation stress.
7.3 Influence of anisotropic of slates
In the results of mechanical experiments and micro-
structure images, water-weakening of slates showed
distinctive anisotropic. In the parallel direction to layer
surface, grains diameters were big and contacted with
each other in big size, which caused the grains arrayed
tightly. But in perpendicular direction, the contact area
was small and when dipped in water, grains can easily
absorbed water and dilated in perpendicular direc-
tion of layer surface, which meant the dilation ratio
in perpendicular direction was bigger than in paral-
lel direction. From the measuring results of contact
angle, in parallel direction, contact angle was about
35 and in perpendicular direction was about 30 ;
after different water absorption, contact angles in per-
pendicular direction decreased more quickly than in
parallel direction.
In formula (16), we can consider that if the cohesion
force in dry conditions was same in two directions,
after acted with water, for the reason of quicker
decrease of contact angle in perpendicular direction,
the dilation stress in this direction was bigger, caused
rock in this direction easily weakened. This results
were similar to those of inner researchers. For exam-
ple, studies of Zhou Cuiying et al. proved that natural
dilated ratio of shallow yellow silty mudstone in
perpendicular direction was about 0.562% while in
parallel direction was 0.197% through dilation test-
ing. She explained the shattered mechanism by water
sorption as that, for the reason of strong hydrophilic
features of little clay mineral as chlorite and illite,
water molecule penetrate into the layered clay min-
eral grains and formed polarized water strata, and
these strata absorbed water in surfaces and formed
new water strata; at the same time, water molecules
entered into the crystal structure of clay minerals and
formed interior water strata inside the grains. Com-
pared these two mechanisms, water molecules was
easier to penetrate into the intergranular porosities than
into the inside of mineral grains, while the former
caused the volume dilation outside of clay minerals
and the later formed the dilation inside.
7.4 Analysis of water-weakening mechanism
Several mechanisms have been proposed to explain
the water-weakening effect. Newman and some other
181
Copyright 2006 Taylor & Francis Group plc, London, UK
researchers proposed chemical effects. They consid-
ered that ions in water reacted with rock components,
which caused the rock dissolved in water or reprecipi-
tated after dissolution, all these made the rock strength
decreased and weakened. This theory has great use to
the long term geological times. Another mechanism
is the stress corrosion effect that has been observed
in sandstones (Hadizadeh and Law, 1991). Highly
stressed silicon-oxygen bonds at microcrack tips may
be hydrolysed and weakened, permitting the crack
to propagate. This weakening process is time depen-
dent through the diffusion rate of water molecules
to the crack tip. The third mechanism is Rhehinder
effect. Water may modify the surface properties of the
grains by absorption into the grain surface layers. This
effect is also time dependent through diffusion. Finally,
capillary effect was presented by Delage et al. (1996).
In this testing, distilled water was used to flood the
slate samples without mineral ions in water and the PH
value can be considered as 7. So no chemical reactions
can occur during water flooding process between water
and mineral grains, which meant there was on weaken-
ing effect caused by chemical actions. During testing
process, the time was not too long, so dilation stress can
be considered less than the strength of cracks and no
crack propagate. Combining the testing results above,
the water-weakening mechanism of slates may be the
integration of Rhebinder effect and capillary effect.
Clay minerals as chlorite and illite near the layer sur-
face in rocks acted with water. Water penetrated into
the porosities and absorption into the grain surface to
form the water layers, which caused the clay minerals
volume dilation and produced dilation stress. During
the flooding, contact angles and tension force on rock
grains decreased. All these factors acted together made
the adhesive force inside decreased and rock weakened
with strength decreased in macro scope.
8 CONCLUSIONS
Through the analysis of microstructure and mechanical
testing, the study of water-flooded slates has led to the
following conclusions.
Water absorption changed in different conditions.
Natural absorption of slates after water flooding
was among 0.10.5%, and saturated absorption was
among 0.51%. Natural water content varied with
the inclinations and density of layer surfaces inside of
slates. With flooding times prolonged, water absorp-
tion of samples changed quickly in first two days and
approached to relatively stable after 3 to 5 days and
kept stable after 9 days.
During water flooding, mineral grains inside slates
became volume dilation through several microscopes
and the structure inside relaxed. When without con-
finement, the porosities added while in part area,
porosities would lessened for the dilation effect of
 cementation. Mineral grains volume dilation lagged
behind the variation of water absorption.
Triaxial compression experiments proved the water-
weakening effects of slates. Peak compression pres-
sure fell down with the absorption increased by minus
logarithm law; elastic modulus showed the fell trend
but the variation was not too clear.
Capillary effects and Rhehinder effects played
a primary role in slate-water interactions through
the results of microstructure and contact angle. The
anisotropic property of slates caused the grains dilated
irregularly and the rock can easier to failure following
the direction of parallel to the layer surfaces.
In fact in real geology conditions, water contains
many ions which may be reacted with slates. In this
study the chemical actions between the ions and
mineral grains and the weakening effects were not
considered and need to be analyzed in the following
researches.
ACKNOWLEDGEMENT
The research is supported by National Natural Sci-
ence Foundation of China (50374064, 50334060) and
Project of National Basic Research Program of China
(2002CB412704).
REFERENCES
Alice Post, Jan Tullis, 1998, The rate of water penetration
in experimentally deformed quartzite: implications for
hydrolytic weakening, Tectonophysics, 295: 117137.
Ding Wuxiu, Feng Xiating, 2005, Study on chemical damage
effect and quantitative analysis method of meso-structure
of limestone, Chinese Journal of rock mechanics and
engineering, V24(8): 12831288.
Delage, P., Schroeder, C., Cui, Y.J. 1996, Subsidence and
capillary effects in chalks, Proc. Eurock96. 12911298,
Rotterdam: Balkema.
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Ernest H. Rutter, 1974, The influence of temperature, strain
rate and interstitial water in the experimental deformation
of calcite rocks, Tectonophysics, V22: 311334.
J.B. Gomez, P.W.J. Glover, 1997, Damage of saturated rocks
undergoing triaxial deformation using complex electrical
conductivity measurements: mechanical modeling, Phys.
Chem. Earth, V22(1-2): 6368.
J. Hadizadeh, 1991, Water-weakening of sandstone and
quartzite deformed at various stress and strain rates, Int.
J. Rock Mech. Min. Sci, V28(5): 431439.
Newman, G.H., 1983, The effect of water chemistry on the
laboratory compression and permeability characteristic of
North Sea Chalks, JPT, 35 May, 976980.
P.W.J. Glover, J.B. Gomez, 1997, Damage of saturated rocks
undergoing triaxial deformation using complex electrical
conductivity measurements: Experimental results, Phys.
Chem. Earth, V22(1-2): 5761.
R. Risnes, H. Haghighi, et al. 2003, Chalk-fluid interactions
with glycol and brines, Tectonophysics, 213226.
S.W.J. Den Brok & C.J. Spiers, 1991, Experimental evi-
dence for water weakening of quartzite by microcracking
plus solution-precipitation creep, Journal of Geological
Society, London V148(3): 541548.
Tang Liansheng, Wang Sijing, 2002, Analysis on mechanism
and quantitative methods of chemical damage in water-
rock interaction, Chinese Journal of rock mechanics and
engineering, V21(3): 314319.
T. Heggheim, M.V. Madland, et al. 2004, A chemical induced
enhanced weakening of chalk by seawater, Journal of
petroleum science and engineering, V46(3): 171184.
Zhou Cuiying, Tan Xiangshao, et al. 2005, Research on
softening micro-mechanism of special soft rocks, Chi-
nese Journal of rock mechanics and engineering, V24(3):
394400.
Zhu Xiaojia, 1996, Water-weakening properties of soften
rocks, Technology of mineral science, 3-4: 4650
Zhu Xiaojia, 1997, Dilation soften rocks, Technology of
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shelling and strain softening model of swelling rock in
Hongshangyao, Chinese Journal of rock mechanics and
engineering, V24(3): 389393.
 1.3 Field experiments and case studies

Copyright 2006 Taylor & Francis Group plc, London, UK

 EUROCK 2006 Multiphysics Coupling and Long Term Behaviour in Rock Mechanics
Van Cotthem, Charlier, Thimus & Tshibangu (eds)
2006 Taylor & Francis Group, London, ISBN 0 415 41001 0

Acoustic emission analysis of biaxially loaded rock

M.C. Btournay & M. Cot

Natural Resources Canada, Ottawa, Canada

H.S. Mitri
McGill University, Montreal, Canada

ABSTRACT: Strainbursts are common around deep mining and civil engineering underground openings.
Few biaxial compression tests have been applied to simulate the peripheral state of stress and strainbursts.
The results of acoustic emission monitoring of laboratory norite biaxial tests are outlined in this article. All
samples failed suddenly and violently in brittle shear; rock spalling from the free face occurs before failure. This
mirrors highly stressed opening conditions. Acoustic event numbers, amplitude, signal frequency and source
location obtained in the tests are useful in identifying the various stages of failure mechanisms, the effect of
confinement on spalling, and final sample fracturing. With more laboratory work, these parameters can compared
to microseismic monitoring at the periphery of underground openings in anticipation of failure.

1 INTRODUCTION

A rockburst is a violent and sudden failure of a definite

rock mass volume into an underground excavation,
enough to hamper extraction activity and which reg-
isters as a seismic event. They are common in deep
underground civil and mining engineering projects and
are usually associated with more brittle rock types,
regionally-scaled planes of weakness and extremes in
stress concentration. Figure 1. Plate formation on drift periphery under high
Strainbursts, one of three types of rockbursts stress (Morrison, 1976).
(Hedley 1992), are caused by concentrations of high
This article reviews the behaviour of a norite rock,
stresses at the edge of single underground openings
common to nickel mines of Sudbury, Ontario. It is
without rigid pillar support. Pre-cursor events occur
known to have been subjected to rockbursts (Oliver
as slivers of forcefully ejected rock to complete wall
et al. 1987) and is a Class II (brittle) rock type.
fragmentation and displacement. Thin plates break-
Few biaxial tests have been carried out (Fig. 2). For
off roughly parallel to, and follow the curvature of
the most part, these have been carried out on very
the free face. The explanation advanced is that shear
small specimens or plates without consideration to
failure at 45 + /2 to a free face ( = angle of
brittleness or rate of loading. None of the previous
internal friction)(Fig. 1), releases an area, which can
biaxial testing has included the application of acoustic
decompress laterally, parallel to the outline of the
emission monitoring and event analysis.
opening (Morrison 1976). These bursts occur in mas-
The specific test program objectives are:
sive, mainly continuous rock. Spalling features cross
discontinuities and are not affected by them. a) to derive the 1 2 failure strength curves for duc-
A strainburst simulation project has been initiated tile to brittle rock types, including known bursting
to provide a better understanding of the behaviour of types,
deep underground mining fronts under high planar b) to evaluate material type/behaviour on the shape of
stresses. It is being carried out through a multi-phase the failure envelope,
laboratory investigation of rock blocks subjected to a c) to evaluate the effect of the loading rate on the
biaxial loading to failure. This has included a ductile ultimate strength and failure mechanism,
rock, Indiana Limestone, and a granite at the boundary d) to examine the biaxial failure mode of samples to
between brittle and ductile behaviour (Wawersick & compare it to high stress regime failures around
Faihurst 1970). underground mine openings.

185

Copyright 2006 Taylor & Francis Group plc, London, UK

 Figure 3. Axial and lateral biaxial testing loading system.
Figure 2. Results of previous biaxial compression tests on
rock (Brown 1974). Table 1. Test results, 0.75 MPa/sec axial loading rate.

2 Lateral 1 Vertical
Acoustic emission (AE) monitoring is a technique
Number of confinement loading Peak strength
used to delineate mechanical changes within rock tests (MPa) (MPa/sec) range (MPa)
material tested. Since the mechanism of local instabil-
ity is the same as that leading to catastrophic failure, 3 0 0.75 183.5220.0
AE is a good indicator tool. 3 51.952.3 0.75 291.8316.4
The contributions of this article relate to objec- 3 100.5101.9 0.75 357.4381.5
tive (d), the identification of acoustic emissions event 3 149.6152.6 0.75 369.0421.3
characteristics in relation to the failure mechanisms 3 165.1170.4 0.75 367.9446.9
imposed to the samples under biaxial loading.

2 TESTING PROGRAM

Large norite blocks were obtained from INCOs South

Mine, saw-cut and ground to approximately 100
100 100 mm cubes. Sample sides were verified
to meet perpendicularity tolerance of ASTM stan-
dards (1991). Intact samples with an isotropic and
homogeneous composition were selected.
Biaxial loading of the samples was achieved using
two independent loading systems (Fig. 3). The verti-
cal, 1 ,direction was applied using a servo-controlled
Gilmore Press, with a loading capacity of 17.8 MN and
a built-in spherical seat plate. The tests were run in
load-control mode. Lateral loading (2 ) was achieved
using a horizontal self-reaction steel frame housing
a 200-ton Simplex hydraulic cylinder and manually
operated Simplex electric pump. The hydraulic cylin-
der has allowed tests with hydraulic line pressures up Figure 4. Norite samples biaxial test results.
to 170.4 MPa. A spherical seat was installed to help
spread the horizontal load more uniformly on the rock limited by the system to provide peak strength values
sample. for the 1 2 envelope.
The testing consisted of applying one vertical load- A Physical Acoustics Corporation DiSp 16 system
ing rate, 0.75 MPa/sec, in the ISRM (1981) standard with 12 channels was used for monitoring acoustic
range and a faster rate of 2.25 MPa to simulate more emissions. Eight Nano30S sensors were placed on the
rapid stress imposition. A series of four confinements sample during testing (4 on each free face).
were applied (Table 1). Figure 4 presents the test
results in terms of failure stresses in the 1 2 plane.
A quadratic polynomial best-fit regression analysis 3 FAILURE MECHANISMS
yields the failure envelope which converges towards
the 1 = 2 line as the ratio 1 /c increases (as per All samples ultimately failed suddenly and violently in
other authors, Fig. 2). The confinements applied were brittle shear. The dominant shear failure mechanism

186

Copyright 2006 Taylor & Francis Group plc, London, UK

 Figure 5. Failure mode, uniaxial test, 0.75 MPa/sec
loading rate.
Figure 6. Failure mode, 52.3 MPa confinement test,
0.75 MPa/sec loading rate.
Figure 7. Failure mode, 101.5 MPa confinement test,
0.75 MPa/sec loading rate.
for biaxially tested samples occurred through the
1 3 plane without exception. Varying degrees of
rock spalling from the free faces were observed and
heard during the test however this occurred earlier
than the dominant shear failure. Figures 59 show rep-
resentative block failure modes under a loading rate of
0.75 MPa/sec. Figure 10 provides failure mechanism
evidence for testing at high confinement and loading
rate of 2.25 MPa/sec.
187
Copyright 2006 Taylor & Francis Group plc, London, UK
Figure 8. Failure mode 150.6 MPa confinement test,
0.75 MPa/sec loading rate.
Figure 9. Failure mode, 169.9 MPa confinement test,
0.75 MPa/sec loading rate.
Figure 10. Failure mode, 170.5 MPa confinement test,
2.25 MPa/sec loading rate.
The effects of the 0.75 MPa/sec loading rate are:
Uniaxial shear failure on one diagonal plane, two
intersecting planes under biaxial condition
Little spalling in uniaxial tests, increasing with
confinement and affecting a large sample portion
Spalled plate thickness decreases, down to granular
size at higher confinements
Spalling surface shearing increases with confine-
ment, giving thick, finely ground material.
 Figure 11. Cumulative number of AE events vs.
time (increase in axial load), sample N-38, 170.4 MPa
confinement.
Figure 12. AE event amplitude vs. time (increase in axial
load), sample N-38.
Figure 13. Average frequency of AE events vs. time
(increase in axial load), sample N-38.
Furthermore, the 2.25 MPa/sec loading rate imposes
the following trends:
The volume of the sample affected by the spalling
is less for the faster loading rate,
188
Copyright 2006 Taylor & Francis Group plc, London, UK
Figure 14. Axial (top), free face (middle) and confined face
(bottom) view of sample N-22 Cumulative event location at
one-third test time, 150.6 MPa confinement. The free face
view shows the location of the strain gauges (cross) and four
sensors (square pattern).
The spalled plate thickness does not decrease sig-
nificantly with an increase in confinement.
The AE experimental data indicates that all speci-
mens tested (irrespective of confinement) showed the
following general trends (Figs. 1113):
A three-stage cumulative event vs. time (axial
stress increase to failure) relation is generated. This
 includes a primary stage showing a short initial
strong event generation decreasing to a long sec-
ondary stage of reduced event production, and
a tertiary stage in which the number of events
accelerated exponentially to sample failure,
The slope of the secondary stage cumulative events
versus time is similar for samples tested under dif-
ferent confinements but of shorter duration at lower
confinements.
Amplitude vs. time plots also show different stages,
agreeing with cumulative event plots: stage 1 with
mainly moderate amplitude events, stage 2 with low
amplitude events but moderate amplitude spikes at
low to moderate confinement, few spikes at higher
confinements, and medium to high events at stage 3.
The range of event signal average frequencies
increases in stage 2 where it remains uniform and
decreases slightly in stage 3.
Figure 14 provides a source location plot of events
concentrating on spalling planes at approximately one-
third test time under 150.6 MPa confinement.
4 DISCUSSION
These are the strength and failure mechanism trends
associated with biaxial testing of this brittle rock.
Failure of norite under uniaxial and biaxial loading
is of a brittle, violent nature and is controlled by
shear failure in the 1 3 plane.
Tensile rock spalling occurs before sample failure at
low confinement, but decreases in importance with
level of confinement. Shear spalling increases in
importance with level of confinement.
This agrees well with field observations that
mining-induced extension fractures form at or very
near the stope face and are faceparallel (Anon. 1988)
and that such spalling is common in civil engineer-
ing tunnels when peripheral stress is sufficiently high
(Broch & Sorheim 1984). Furthermore, the high inten-
sity of shearing at higher confinements is identical to
the field observations (Fig. 1) reported by Morrison
(1976).
A faster loading rate delays and reduces the onset
of intense shearing even at higher confinement.
The three-stage AE event generation response of
biaxial tests has also been obtained by other authors
during conventional compression uniaxial (various
shapes) and triaxial tests (Obert & Duval 1945,
Lockner & Byerlee 1977, Montoto et al. 1984, Fonseka
et al. 1985) (the latter used 1.5 cm 1.5 cm 4 cm
samples in uniaxial compression). The common rock
behaviour interpretation provided by these authors is:
initial microcrack closure (stage 1) followed by a lower
Copyright 2006 Taylor & Francis Group plc, London, UK
number of events related to predominant elastic stress-
strain behaviour (stage 2), leading to the creation
and coalescence of new microcracks, especially trans-
granular tensile cracks and the opening of granular
boundaries (stage 3). The second stage produces more
random and scattered events. Tight grouping of events
on the eventual failure plane occurs in the third stage.
The amplitude of signals varies according to the
deformation mechanism, higher values indicating near
failure conditions (Mae & Nakao 1968, Sano et al.
1982, Sondergeld et al.1984).
Tensile microcrack failures indicated by these
authors produces the maximum number and energy
of events which predominate in pre-failure crack cre-
ation and coalescence. The moderate amplitude events
obtained during stage 2 of low confinement biaxial
tests probably relate to tensile failures along spalling
planes. Rothman (1977) and Khair (1984), concluded
from velocity measurements on confined compression
tests, that cracks perpendicular to axial load closed,
those parallel to it opened. This analysis validates
the development of spalling surfaces, parallel to both
axial and confinement directions (parallel to the free
face).
However, while the moderate amplitude AE events
in stage 2 of low confinement biaxial tests may repre-
sent tensile microcracking along spalling planes, the
low amplitude events in the stage 2 results in tests
at higher confinements would have to include shear-
ing activity on spalling surfaces to explain these event
locations.
Intense shearing is comparable to full plastic flow
within high confinement triaxial tests. This occurs on
a large number of internal shear planes, as is the case
for these the high confinement biaxial tests. High con-
finement and creep tests have provided low number of
AE events with higher frequency, lower amplitude.
Ohnaka (1983) and Sondergeld & Estey (1981) have
suggested that higher frequencies can be affected by
attenuation due to lower rock quality (fissured rock
specimen) near ultimate failures. Owing to a high
degree of spalling during biaxial testing, this may
explain the trend of decreasing frequency range from
stage two to failure. The occurrence of an increase
in lower frequencies with an increase in stress has
also been reported (Chugh & Heidinger 1980, Ohnaka
1983). This has been explained by Rothman (1977) in
his examination of crack propagation versus frequency
analysis, which led him to confirm that dominant
frequency of a stress wave in rock is inversely pro-
portional to the length of the cracks induced. Montoto
et al. (1984) and Fonseka et al. (1985) using SEM
confirmed that when brittle rocks were close to fail-
ure (stage 3) grain boundary cracks and trans-granular
cracks occurred and linked up (longer lengths). The
limit of high frequencies could be explained by either
possibilities.
189
 If this crack length versus frequency approach is
realistic, then the shearing events along spalling planes
would be relatively smaller than the microcracks
developing in stage 3.
5 CONCLUSIONS
A clear gain in biaxial strength with lateral confine-
ment is evident from the laboratory results.
Spalling of thin plates before peak strength is
reached, and the final shear failure of the sample,
occur in the 1 3 plane. Spallings effects are clearly
defined. A limited portion of the sample periphery is
subject to extension spalling, producing plates several
millimeters thick, at low confinements. With higher
confinement, spalling is created by intense localized
shearing, leading to the formation of very thin, rock
grain-thick plates that are not forcefully ejected by
the time total sample failure on two shear planes
occurs.
This mirrors field behaviour of highly stressed
openings where shearing and progressive closure
of the opening periphery is in effect prior to
strainbursting.
Event numbers, amplitude, signal frequency and
source location are useful in identifying the various
stages of failure mechanism development during biax-
ial testing. AE confirms the visual failure mechanism
seen during testing and that of field behaviour of
highly stressed rock masses.
The delay in the onset of intense shearing as a result
of a higher stress loading rate has a practical applica-
tion: a higher rock mass extraction rate would have for
effect of reducing the onset of rock mass shearing as
a pre-cursor to strainbursting, i.e. the periphery of the
rock would be subject to limited shearing after tensile
spalling occurs, leading more rapidly to strainbursting.
Further testing is required to better define brittle
rock behaviour (commonly with rockbursting poten-
tial) under biaxial testing before understanding scale
effects and linking to microseismic monitoring of
peripheral events caused by high stresses.
It appears that more focused insight into frequency
shifts and definition of spalling indicators from biaxial
testing and field microseismic monitoring is required
before pre-cursor information is applied to its logi-
cal use: the specification of the failure process and
the anticipation of failure which could be applied to
understanding and avoiding high stress failures. The
effect of loading rate on failure development as well
as strength effects is also important to research.
Laboratory testing could be used to identify the
important indicative parameters not only for field
monitoring but derive rock type specific information
that can be monitored in the field to avoid stress
concentration problems.
190
Copyright 2006 Taylor & Francis Group plc, London, UK
ACKNOWLEDGEMENTS
Mr. Al Akerman and INCO Ltd. supplied the rock sam-
ples. Testing support was provided by Blain Conlon
and Ted Anderson, review of this article provided by
Dr. Shariar Talebi, CANMET MMSL.
REFERENCES
Akai, K. & Mori, H. 1967. Study on failure mechanism of
a sandstone under combined stress. Proc. 2nd Interna-
tional Society for Rock Mechanics Congress, Belgrade 2:
285290.
Anonymous 1988. An industry guide to methods of amelio-
rating the hazards of rockfalls and rockbursts. Chamber
of Mines Research Organization, S. Africa.
ASTM 1991. Standard practice for preparing rock core speci-
mens and determining dimensional and shape tolerances.
Annual Book of ASTM Standards-Section 4 Construc-
tion, 4.08 Soil and Rock (I) D4543 85 (Reapproved 1991):
687690.
Bieniawski, Z.T. 1991. Deformational behaviour of fractured
rock under multiaxial compression. In: Teleni M. (Ed.):
Structure, Solid Mechanics and Engineering Design,
London, Wiley Interscience. Part 1: 589598.
Broch, E. & Sorheim, S. 1984. Experiences from the plan-
ning, construction and supporting of a road tunnel sub-
jected to heavy rockbursting. Rock Mechanics 17: 1535.
Brown, E.T. 1974. Fracture of rock under uniform biax-
ial compression. Proc. 3rd International Society of Rock
Mechanics Congress, Denver, 2A: 111117.
Chugh, Y.P. & Heidinger, G.H. 1980. Effect of coal lithology
on observed microseismic activity during laboratory tests.
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Activity in Geologic Structure and Materials, Penn State,
Trans Tech Publications: 4566.
Fonseka, G.M., Murrell, S.A.F. & Barnes, P. 1985. Scan-
ning electron microscope and acoustic emission studies of
crack development in rocks. International Journal of Rock
Mechanics, Mining Science & Geomechanical Abstracts
22 (5): 273289.
Hedley, D.G.F. 1992. Rockburst handbook for Ontario
hardrock mines. CANMET, Energy, Mines and Resources
Canada.
Hobbs, D.W. 1962. The strength of coal under biaxial
compression. Colliery Engineering 39: 285290.
ISRM 1981. Suggested methods for determining the uniaxial
compressive strength and deformability of rock materials.
In: Brown E.T. (Ed.): Rock Characterization Testing and
Monitoring-ISRM Suggested Methods, Pergamon Press:
113116.
Khair, A.W. 1984. Acoustic emission pattern: an indicator of
mode of failure in geologic materials as affected by their
natural imperfections. Proc. 3rd Conference on Acous-
tic Emission/Microseismic Activity in Geologic Struc-
ture and Materials, Penn State, Trans Tech Publications:
4566.
Lockner, D. & Byerlee, J. 1977. Acoustic emission and
fault formation in rocks. Proc. 1st Conference on Acous-
tic Emission/Microseismic Activity in Geologic Struc-
tures and Materials, Penn State, Trans Tech Publications:
99133.
 Mae, I. & Nakao, K. 1968. Characteristics in the generation
of micro-seismic noises in rocks under uniaxial compres-
sive load. Journal of the Society of Material Science Japan
17: 6267.
Mogi, K. 1967. Effect of the intermediate principal stress
on rock failure. Journal of Geophysical Research 72:
51175131.
Montoto, M., Suarez del Rio, L.M., Khair, A.W. &
Hardy, H.R. 1984. AE in uniaxially loaded granitic rocks
in relation to their petrographic character. Proc. 3rd Con-
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Geologic Structure and Materials, Penn State, Trans Tech
Publications: 83100.
Morrison, R.G.K. 1976. A Philosophy of Ground Control.
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McGill University.
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Ohnaka, M. 1983. Acoustic emission during creep of brit-
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Oliver, P., Wiles, T., MacDonald, P. and ODonnell, D. 1987.
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Annales Institut Technologique des Btiments et Travaux
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Rothman, R.L.1977. Acoustic emission in rock stressed
to failure. Proc. 1st Conference on Acoustic Emis-
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Sano, O., Terada, M. & Ehara, S. 1982. A study on the
time dependent microfracturing and strength of Oshima
granite. Tectonophysics 84: 343362.
Sondergeld, C.H. & Estey, L.H. 1981. Acoustic emission
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erly granite. Journal of Geophysical Research 86(B7):
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Sondergeld, C.H., Granryd, L.A. and Estey, L.H. 1984.
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 EUROCK 2006 Multiphysics Coupling and Long Term Behaviour in Rock Mechanics
Van Cotthem, Charlier, Thimus & Tshibangu (eds)
2006 Taylor & Francis Group, London, ISBN 0 415 41001 0

In situ ultrasonic wave measurements in clay: comparison between

velocity, frequential attenuation and energy

P. Ganne & A. Vervoort

Department of Civil Engineering, Katholieke Universiteit Leuven, Heverlee-Leuven, Belgium

W. Bastiaens
Eig Euridice, Boeretang, Belgium

ABSTRACT: When a borehole is drilled in clay, the physical properties of the clay close to the borehole change.
These changes affect passing ultrasonic waves. Apart from the velocity changes, the attenuation behavior of the
clay changes too. The proposed normalized slope of the frequential attenuation (Sn ) is based on these physical
phenomena. The normalized slope of the frequential attenuation, velocity and total received energy variations are
compared, using in situ ultrasonic wave measurements of disturbed clay. This paper shows that the variation of the
normalized slope of the frequential attenuation, the velocity and the total received energy do not correspond. This
is explained by the fact that the different parameters take different physical phenomena into account. The results
show that the clay reaches equilibrium, but the moment of equilibrium is function of the considered parameter.

1 INTRODUCTION an elastic deformation, but also in plastic deformation

The excavation of an underground opening has as a
consequence that the rock mass evolves to a new equi-
librium with a possible interaction with the support
installed. The reaction of the rock mass is function of
the conditions and in certain circumstances this reac-
tion can be very complex and a new equilibrium is only
reached after a long time. If the design is not properly
done, no equilibrium is even reached, resulting in a col-
lapse of the underground excavation. Sometimes, the
new equilibrium can be easily predicted, for example
if following conditions are fulfilled: the original stress
state is small in comparison to the strength of the rock,
no discontinuities are present in the rock mass around
the excavation and the pore pressure is zero. How-
ever, in other situations, the coupling or interaction
between different physical phenomena is very com-
plex, so correctly predicting the rock mass behavior
becomes more difficult. Such a situation is certainly
the excavation of openings at a depth of 225 m in
a clay formation, as is the case in the underground
research facility HADES at Mol (Belgium), which has
been built to investigate the feasibility of the under-
ground disposal of radioactive waste in the Boom
Clay. As for any underground excavation, a first stress
(= total stress) redistribution occurs relatively fast.
This redistribution already starts taking place ahead
of the excavation face: stresses decrease in most ori-
entations and places but increase in other orientations
and places. This change in stress state is translated in
and damage, and, as shown during the construction of
the connecting gallery at HADES, in the occurrence
of macro-fractures (Mertens et al., 2004). However,
the pore pressure changes over time, affecting the
effective stresses which can induce additional dam-
age. The change in pore pressure is determined by
the boundary conditions (e.g. impermeable or perme-
able lining, drying conditions, saturated situation, etc.)
(see e.g. Barnichon & Volckaert, 2003 and Vervoort &
Van de Steen, 2001). Due to the deformation (elas-
tic, plastic, creep, etc.), unsupported excavations can
close completely or, for excavations with support,
the support-clay mass interaction starts to play a role
after contact with the lining is made, changing again
the situation. During all these changes and interac-
tions, physical characteristics (e.g. total and effective
stresses), as well as clay properties (pore dimensions,
presence of micro-fractures, permeability, etc.) change
too, resulting in possible further interaction.
The complex nature of the reaction of the clay does
not mean that no equilibrium is reached after some
time or that the final state would be negative for the
overall safety assessment of an underground disposal.
It just means that it is indeed complex. To under-
stand better the reaction of the clay mass (Tsang et al.,
2005 and Bernier & Davies, 2004), numerical codes
are further being developed to integrate the mechan-
ical, hydraulical, thermal and chemical coupling, but
in situ experiments are also conducted. The aim of
this paper is not to investigate directly these coupling

193

Copyright 2006 Taylor & Francis Group plc, London, UK

 phenomena, but to discuss a technique based on ultra-
sonic waves propagating through the clay mass which
enables the visualization of the clay mass reaction due
to an excavation. As different parameters (velocity,
attenuation, frequency content, etc.) of the ultrasonic
waves passing through the zone of influence change
differently (see further), one can conclude that the var-
ious physical changes in the zone of influence have a
different effect on the ultrasonic wave propagation.
And these physical changes are certainly affected by
the coupling and interaction in the clay mass and its
behavior as a function of time. As such, this paper
provides a valuable contribution to the understanding
of the effect of multi-physics coupling and long term
behavior, although the link with the wave parameters
has still to be investigated further.
2 MEASURING SET-UP
The underground experiment is designed to con-
duct an in situ model study of a circular opening.
From the main tunnel of the underground laboratory,
four parallel boreholes are drilled (diameter borehole
A = 118 mm, B = C = D = 120 mm) in one sidewall
(Fig. 1). The boreholes are positioned roughly at the
corners of a trapezium. Liner tubes (diameter 108 mm)
are placed in the boreholes in order to prevent a
Figure 1. Configuration of the boreholes: borehole
A (diameter = 118 mm), B (diameter = 120 mm), C
(diameter = 120 mm) and D (diameter = 120 mm) are drilled
on day 1, borehole E (diameter = 158 mm) is drilled on
day 220.
Table 1. Overview of the locations of the transmitters and receivers, used in this study.
Transmitter
T1 T3 T4
Borehole A A B B
Depth [m] 7.1 5.8 7.6
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Copyright 2006 Taylor & Francis Group plc, London, UK
total convergence of the boreholes. The liner tubes
are equipped with sensors between borehole depths
of 5 and 8 m (Table 1). Apart from the phenom-
ena described in the previous paragraph, the closure
of the borehole around the instruments, as well as
re-saturation of the host rock could have an addi-
tional effect on the wave parameters. During 141 days,
daily ultrasonic cross-hole (mechanical waves) mea-
surements are performed. After more than 7 months
(day 220) borehole E (diameter of 158 mm) is drilled.
The diameter of the liner tube of borehole E at the stud-
ied depths is only 50 mm, which allow borehole E to
converge over a distance of about 52 mm. Again, daily
ultrasonic cross-hole measurements are performed
(day 220 till day 487). In this paper, only the ray-paths
between boreholes A and B are considered, these paths
are horizontal and perpendicular to the boreholes.
The ultrasonic waves are broad band (5 kHz to
80 kHz) signals. They are generated and amplified to
a peak-to-peak amplitude up to 300 Volt. To get a bet-
ter signal-to-noise ratio of weak signals in this highly
absorbing medium, the signals are stacked 256 times
and the stacked result is stored. The sensors consist of
piezoelectric elements which are embedded in a cylin-
drical brass housing (GMuG). The housing is mounted
on a small pneumatic cylinder which mechanically
presses the sensors against the borehole wall using a
strong spring.The coupling elements are brass cylinder
segments adapted to the borehole diameter (Manthei,
2005).
3 COMPARISON OF THREE PARAMETERS OF
ULTRASONIC WAVES
Three parameters are compared: the velocity, the slope
of the frequential attenuation and the total received
energy.
3.1 Velocity
The velocity is generally accepted as the most
comprehensive parameter to study ultrasonic waves
(Ragozzino, 1981). A variation of the velocity corre-
sponds to a physical change of the density, the elastic
moduli or the coefficient of Poisson of the medium
(Mason, 1968). Other characteristics like the water
pressure and scattering effects might have some influ-
ence too (Philippidis & Aggelis, 2005, Zhao et al.,
2005).
Receiver
T6 R1 R2 R3 R4
A A B B
5.4 7.6 5.4 7.1 5.8
 Different methodologies can be used to determine
the arrival time. In this part of the study, the method
of the intersection of the maximal tangent with the 0
Volt axis is used. In paragraph 4, other methods are
compared.
3.2 Slope of the frequential attenuation
The slope of the frequential attenuation has the disad-
vantage that the theory is more complex, but the imple-
mentation and the automatisation cause less problems
than using the velocity parameter, as will be shown fur-
ther. The physical origin of the frequential attenuation
can be scattering (e.g. grain scattering in polycrys-
talline material, micro-damage scattering), absorption
(due to e.g. lattice imperfections, thermal effects in sin-
gle crystals, electron-phonon interactions), diffusion
etc. (Blitz, 1963, Qian et al., 2005). Further research
is needed to understand the influence of each physical
characteristic (such as the water pressure and effective
stress) on the slope of the frequential attenuation of
ultrasonic waves (Zhao et al., 2005).
The amplitude of each wave can be described as:
where Ain is the amplitude [V] of the transmitted wave,
Aout [V] is the amplitude of the received wave. The
wave decays with a rate constant of attenuation [1/m]
2005). It is linked to the attenuation properties. The
physical origin of a change of attenuation properties
can be all types of diffusion, dispersion and absorption.
Again, further research is required to understand the
influence of each physical phenomenon on the total
received energy of ultrasonic waves (Philippidis &
Aggelis, 2005, Zhao et al., 2005).
The energy in a signal is defined by:
where A [V] is the amplitude of the signal, E the total
amount of energy [V2 s], t1 [s] and t2 [s] are the start and
the end of the signal in the time domain. In this study,
the total received energy is calculated in the frequency
domain:
3.4 Comparison of velocity, slope of frequential
attenuation and total received energy by
in situ measurements
During and just after the drilling of boreholes A, B,
C and D (day 1), the clay around the boreholes is dis-
turbed and has not reached a new equilibrium. So the
physical properties of the clay around the boreholes
per unit length of travel in the medium.  [m] is the
travel distance of the wave in the medium (Mason,
1968). In general, is function of the frequency (f) of
the wave. In function of the frequency range, has
a linear, parabolic, third order or a fourth order poly-
nomial dependency of the frequency (Mason, 1958,
Blitz, 1963, Mason, 1968). When the physical prop-
erties of the medium changes, the dependence of (f)
changes (Bartleson et al., 2003, Biwa et al., 2004).
In this study, is supposed to be a linear function
of the frequency (f ) [1/s]:
where S represents the slope of the frequential attenua-
tion, C is a constant which will not be discussed in this
paper. When physical properties of the clay change,
the slope S [s/m] changes. S is normalized (Sn [])
with respect to the slope S1 at a moment the clay is
supposed to be in equilibrium (i.e. on day 220 just
before creating a new disequilibrium by drilling bore-
hole E), but taking into account the geometry of the
four instrumented boreholes. An increase of Sn corre-
sponds mathematically with a relatively large portion
of low frequency energy in the received wave. Sn can
be negative, meaning that the high frequencies are
relatively less attenuated than the low frequencies.
3.3 Total received energy
The energy parameter is often used as a robust alter-
native for the amplitude of the first arrival (Jin et al.,
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Copyright 2006 Taylor & Francis Group plc, London, UK
change continuously during a period until equilibrium
is reached again.
The velocity of ultrasonic waves increases during
the first 5 to 25 days by about 100 m/s (Figs 24, top).
This increase is followed by a decrease, except for the
waves from T3 to R4 (no decrease; Fig. 2, top). For
T6R2 the velocity reaches equilibrium at about 30
days (from moment of drilling). For T4R1 (Fig. 3,
top), the velocity still decreases at 141 days.
For the normalized slope of frequential attenuation
(Sn ), different curves are obtained than for the velocity.
For all three curves there is a sharp increase of several
units over the first 2 days. For T3R4 and T6R2, this
is followed by a further small increase over a period of
15 to 20 days. In all cases Sn reaches equilibrium after
about 60 to 80 days.
Figures 24 (bottom) shows that the total received
energy also increases and decreases, but the period of
increase varies between 50 and 141 days. For two of the
three cases, no equilibrium is reached after 141 days.
Table 2 gives an overview of the days where equilib-
rium is reached, suggested by the different parameters.
As shown by the above analyses, one cannot con-
clude that the clay is totally in equilibrium after 20
to 30 days as mostly suggested by the equilibrium of
the velocity. Figures 24 show that for some configu-
rations no final equilibrium is even reached after 141
days and this is function of the parameter analyzed.The
different parameters are clearly influenced by different
physical properties.
 Figure 2. Variation of the velocity (above), the normalized
slope of the frequential attenuation (Sn ) (middle) and the
total received energy (under) from T3 to R4 between days
1 and 141.
Figure 3. Variation of the velocity (above), the normalized
slope of the frequential attenuation (Sn ) (middle) and the
total received energy (under) from T4 to R1 between days
1 and 141.
3.5 Effect of excavation and long term behavior
At day 220, borehole E is drilled, followed by its con-
vergence which lasts for about 100 days. This affects
the properties of the surrounding clay and thus of the
ultrasonic waves passing through the clay mass. From
196
Copyright 2006 Taylor & Francis Group plc, London, UK
Figure 4. Variation of the velocity (above), the normalized
slope of the frequential attenuation (Sn ) (middle) and the
total received energy (under) from T6 to R2 between days
1 and 141.
Table 2. Overview of the day when equilibrium is reached
estimated by the velocity, the slope of the frequential attenu-
ation (Sn) and the total received energy parameter.
Transmitter and receiver of the
considered waves
T3 to R4 T4 to R1 T6 to R2
Velocity 18 >141 30
Sn 80 60 65
Total received energy 120 > 141 > 141
day 220 to day 270, the velocity decreases by about
170 m/s (Fig. 5, top). Afterwards it increases slightly
and reaches equilibrium 100 days after drilling.
The normalized slope of the frequential attenuation
(Sn ) increases over the first 18 days, followed by a very
slow decrease over the entire period of observation (or
at least till day 460).
The evolution of the total received energy shows
a clear artifact on day 268. The exact reason of this
artifact is not known for certain. After this artifact
the evolution of the total received energy shows an
increase till day 310, followed by a decrease till day
430. One should be careful in interpreting this graph as
the received energy is two orders of magnitude smaller
then the previously discussed cases.
By comparing the three parameters, one estimates
the moment of equilibrium as day 320 (velocity), 460
(normalized slope of frequential attenuation) and 430
(total received energy). Again, the evolutions of the
 Figure 5. Evolution of the velocity, Sn and the total received energy from T1 to R3 during day 220 till 487.
velocity, the slope of the frequential attenuation (Sn )
and the total received energy are not similar, indicating
that different physical phenomena play a role.
4 VELOCITY METHODOLOGIES
The velocity of the ultrasonic waves are defined by:
Different methodologies to determine the arrival
time can be used. The actual arrival time is the moment
of the start of the first half-cycle of the ultrasonic
wave (first break). The first break is defined as the
moment that the signal becomes significant non-zero
(Hatherly, 1982). The first break (the start of the first
half-cycle) is difficult to observe, because of the mea-
sured noise. In the research presented in this paper,
different methodologies are compared.
(A) Arrival time of the maximum of the first half-
cycle: this methodology is easy to implement, although
where V is the calculated velocity [m/s], H is the it is not the actual arrival time of the ultrasonic wave.
distance between transmitter and the receiver [m] and However, the difference between the calculated arrival
t is the propagation time [s] (i.e. the time between the
moment of transmitting and receiving the ultrasonic
wave).
The main problem in estimating the velocity is the
correct determination of the arrival time. This is espe-
cially a problem, if the signal-to-noise ratio is too
low (Couvreur, 1997). The low signal-to-noise ratio
is caused by the noisy environment, which is unavoid-
able during in situ measurements as well as by the
high attenuation of the ultrasonic waves during the
propagation through the clay medium. Due to the low
signal-to-noise ratio, parts of the ultrasonic wave may
not exceed the noise. If the first half-cycle of the ultra-
sonic wave does not significantly exceed the noise
level, a correct arrival time cannot be calculated. This
phenomenon is called cycle skipping.
Another problem is the waveform deformation.
Due to the frequency dependent attenuation, the fre-
quency spectrum of the waves changes and, hence, the
waveform too. This phenomenon can cause system-
atic errors in measurements of the ultrasound velocity
(Ragozzino, 1981).
197
Copyright 2006 Taylor & Francis Group plc, London, UK
time and the actual arrival time is probably constant,
as long as the waves are similar (Ragozzino, 1981).
(B) Intersection of the tangent at the inflexion point
of the first half-cycle with the 0 Volt axis: this gives an
arrival time closer to the actual arrival time (Couvreur,
1997). This methodology is more difficult to imple-
ment. Furthermore, the actual arrival time is still not
obtained.
(C) Noise dependent threshold (in this case 3.5
times the mean noise level): this methodology is very
easy to implement, but there is a high risk of cycle
skipping.
(D) Maximum value of the entire ultrasonic wave:
the absolute value of the arrival time has no clear
physical meaning, but the relative changes of this
arrival time do, as long as the frequency content of
the ultrasonic wave does not change significantly.
For all four methodologies, the actual arrival time
is not correctly estimated. However, for the signals
analyzed in this study, the variation or trend over the
entire observation period is similar, independent of the
method for arrival time determination (Fig. 6).

Figure 6. Evolution of the calculated velocity [m/s]. The
calculated arrival time is based on (A) maximum of first
cycle, (B) intersection of the maximal tangent with the 0 Volt
ax, (C) exceeding 3.5 times the mean noise, (D) the maximum
value of the entire ultrasonic wave.
A full automated program of the calculations is in
this case not possible, due to the regular cycle skipping
and the changing frequency spectrum of the ultrasonic
waves.
5 CONCLUSIONS
The in situ measurements, presented in this paper,
show different variations and trends as a function of
successive days between the velocity, the slope of the
frequential attenuation (Sn ) and total received energy.
Furthermore, the moments of equilibrium do not cor-
respond. It is suggested that the reason for this is that
the velocity, the slope of the frequential attenuation
and the total received energy are based on different
physical phenomena. Consequently, when the final
equilibrium of the clay is examined, it is clear that dif-
ferent parameters should be taken into account. The
physical meaning of the variations is not fully under-
stood and further research is needed on the various
coupling mechanisms in clay.
Furthermore, the automatic determination of the
velocity of ultrasonic waves is not easy. Several alter-
native calculation methodologies are known, only
approximating the actual velocity. For every method-
ology, there is a risk of cycle skipping. Besides, the
physical meaning of a change of velocity is very
complex. It is certainly influenced by the density,
pore pressure, presence of micro-cracks and fractures,
stress state, etc.
The main conclusion of this initial study of ultra-
sonic wave properties is that there is a need to
investigate the individually effect of each clay prop-
erty and condition, before all can be combined. It is
also suggested to study this first under well-controlled
laboratory conditions, before ultrasonic wave mea-
surements at large scale under in situ conditions are
conducted.
REFERENCES
Barnichon, J.D. & Volckaert, G. 2003. Observations and pre-
dictions of hydromechanical coupling effects in the Boom
Clay, Mol; Underground Research Laboratory, Belgium.
Hydrogeol J. 11 (1): 193202.
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Bartleson, V.B., Viggen, K., Asanuma, T., Kinnick, R.R. &
Belohlavek, M. 2003. Automated quantitative analysis of
the shift of frequency spectra generated by attenuated
signals from contrast microbubbles. Ultras. 41: 7581.
Bastiaens, W., Bernier, F. & Li, X.L., 2005. SELFRAC: exper-
iments and conclusions on fracturation and self-healing
processes in clays. 2nd international meeting on clays
in natural & engineered barriers for radioactive waste
confinement. Tours.
Bernier, F. & Davies, C. 2004. Proceedings of a European
Commision CLUSTER conference and Workshop: Impact
of the Excavation Disturbed of Damaged Zone (EDZ) on
the Performance of Radioactive Waste Geological Repo-
sitories. European Commission Report EUR 21028 EN.
Biwa, S., Watanabe,Y., Motogi, S. & Ohno, N. 2004. Analysis
of ultrasonic attenuation in particle-reinforced plastics by
a differential scheme. Ultras. 42: 512.
Blitz, J. 1963. Fundamentals of ultrasonics. London: Butter-
worths.
Couvreur, J.F. 1997. Propagation dondes ultrasoniques dans
des roches sdimentaires (in French). Louvain-la-Neuve:
UCL (PhD thesis).
Hatherly, P.J. 1982. A computer method for determining seis-
mic first arrival times. Geophysics 51 (11): 14311436.
Jin, J., Quek, S.T. & Wang, Q. 2005. Design of interdigi-
tal transducers for crack detection in plates. Ultras. 43:
481493.
Manthei, G. 2005. Long-term seismic and acoustic emission
measurements estimating the evolution of the excavation
disturbed zone with time. GMuG report.
Mason, W.P. 1958. Physical acoustics and the properties of
solids. Princeton: Van Nostrand.
Mason, W.P. 1968. Physical acoustics, principles and meth-
ods. London: Academic Press.
Mertens, J., Bastiaens, W. & Dehandschutter, B. 2004.
Characterisation of induced discontinuities in the Boom
Clay around the underground excavations (URF, Mol,
Belgium). Applied Clay Science 26: 413428.
Philippidis, T.D. & Aggelis, D.G. 2005. Experimental study
of wave dispersion and attenuation in concrete. Ultras. 43:
584595.
Ragozzino, M. 1981. Analysis of the error in measurement of
ultrasound speed in tissue due to waveform deformation
by frequency-dependent attenuation. Ultras. 19: 135138.
Stanke, F.E. 1986. Spatial autocorrelation functions for cal-
culations of effective propagation constants in polycrys-
talline materials. J. Acoust. Soc. Am. 80(5): 14791485.
Tsang, C.F., Bernier, F. & Davies, C. 2005. Geohydrome-
chanical processes in the Excavation Damaged Zone in
crystalline rock, rock salt, and indurated and plastic clays-
in the context of radioactive waste disposal. Int. J. Rock
Mech Min Sci 42: 109125.
Vervoort, A. & Van de Steen, B. 2001. Support interaction
in an underground storage facility of radioactive waste
in a clay layer. Proceedings of the 2nd International Flac
Symposium on Numerical Modeling in Geomechanics.
Swets & Zeitlinger: 255261.
Qian, Z., Jin, F., Wang, Z. & Kishimoto, K. 2005. Investi-
gation of scattering of elastic waves by cylinders in 13
piezocomposites. Ultras. 43: 822831.
Zhao, B., Basir, O.A. & Mittal, G.S. 2005. Estimation of ultra-
sound attenuation and dispersion using short time Fourier
transform. Ultras. 43: 375381.
 EUROCK 2006 Multiphysics Coupling and Long Term Behaviour in Rock Mechanics
Van Cotthem, Charlier, Thimus & Tshibangu (eds)
2006 Taylor & Francis Group, London, ISBN 0 415 41001 0

Impact of THM constitutive behavior on the rock-mass response: case

of HE-D experiment in Mont Terri Underground Rock Laboratory

D. Hoxha, Z. Jiang, F. Homand & A. Giraud

Laboratoire Environnement Gomecanique & Ouvrages, LaEGO-ENSG,
Rue du doyen Marcel Roubeault, Vandoeuvre-ls-Nancy Cedex, France

K. Su & Y. Wileveau
Agence Nationale pour la gestion des dchets radioactifs, ANDRA,
Parc de la Croix Blanche, Chtenay Malabry Cedex, France

ABSTRACT: Linear and nonlinearTHM analyses of the HE-D test in MontTerri Underground Rock Laboratory
(Switzerland) are presented. The experiment consists to heat the Opalinus Clay formation for a long time in the
undisturbed zone and monitoring the evolution of temperature, strains and pore pressure in the massif. By
comparing different modeling cases with measured in situ data we show the role of the nonlinear behaviors on
the overall response of the massif. The simplified analyses fail to correctly predict the evolution temperature filed,
unless some modifications were made on the thermal flux. Concerning hydromechanical response, the plastic
dilatancy of the rock around the heating borehole and the evolution of the water viscosity as a function of the
temperature are the major factors affecting the distribution of pore pressure and its evolution in adjacent rock mass.

1 INTRODUCTION described including geometry, history of heating and

The understanding of thermo-hydro-mechanical
coupling phenomena in rock massifs constitutes actu-
ally one of the most dynamic fields of geotechnical
studies. Comprehensive field investigations have been
accompanied with numerical modeling to improve the
understanding of processes underlying field obser-
vations (Rutqvist & Tsang, 2003; Houdson et al.
2001, Tsang et al. 2005). The Mont Terri Rock Lab-
oratory, located in North West Switzerland in an
argillaceous formation known as the Opalinus Clay,
has been the site of geotechnical research since 1995.
ANDRA, (French National Radioactive Waste Man-
agement Agency) and its partners have participated
in the so-called HE-D test performed in that lab-
oratory. This test was inscribed in the assessment
studies for high-level waste repository in clay forma-
tion and must help to study and identify processes in
the rock (concept without material buffer) at reduced
scale compared to a real repository. The principal
objective of HE-D experiment is to obtain knowl-
edge about the coupled Thermal-Hydro-Mechanical
processes developed in the Opalinus Clay when heat-
ing (Wileveau et al. 2003). The goal of this paper is to
present the THM analyses of the HE-D test focusing
on the role of the constitutive models of rock mass
and water on the numerical predictions. The paper
is organized as it follows: firstly the HE-D test is
rock parameters. Then the numerical models are pre-
sented briefly followed by the principal results and
discussion.
2 PROBLEM DESCRIPTION
2.1 Geometry of problem
During HE-D test in Mont Terri Rock Laboratory, a
packer constituted by two heaters is put in a borehole
of 14 m of depth (figure 1.a). The borehole of the test
(BHE-D0, D = 300 mm) is drilled parallel to the pre-
existing niche MI, in a distance that is thought to be
hydraulically undisturbed. In order to follow the evo-
lution of rock state during excavation of the borehole
and then during the heating, a number of surrounding
boreholes have been drilled from the MI-niche and
from the HE-D-niche and have been instrumented
with water pressure and temperature sensors as well
as with extensometers. The details layout of the all
these sensors is described in a number of techni-
cal reports and data (Wileveau & Rothfuchs 2003,
Wileveau 2004.a, 2004.b)
In the heating borehole (HE-D0), two heating ele-
ments jointed by a metallic part are put inside of
inflated packers. The length of each packer is of 2 m
while the length of the metallic junction is 0.75 m. The
centre of the first packer is approximately at 9 m from

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 Table 1. Principal THM parameters used in analyses.

Property Value

Density s = 2700 kg/m3

Porosity = 13.7%
Undrained Youngs modulus E P = 10 000 MPa
E N = 4000 MPa
Poissons ratio N = 0.24, P = 0.33
Biots coefficient b = 0.6
Biots modulus M = 7800 MPa
Retention curve = 0.2
Van Genuchten model Pc = 20 MPa
Intrinsic Permeability K = 1020 (m2 )
K P = 1.33 1020 (m2 )
K N = 0.66 1020 (m2 )
Relative hydraulic permeability kr = S3w
Volumetric linear thermal = 2.6 105 K1
expansion coefficient of
porous medium
1 1
Thermal conductivity NT = 1.32 W m K
PT = 2.76 W m1 K1
Solid phase specific heat Cp = 880 J kg1 K1
1
Liquid water specific heat Cwp = 4184 J kg K1
Dry air specific heat Cap = 1000 J kg1 K1
Cp = 1900 J kg1 K1
vap
Vapour specific heat

Figure 1a. Horizontal cut of HE-D test geometry.
Figure 1b. Vertical cut of HE-D test geometry.
the wall of the new gallery, while that of the second
packer at 11.75 m. There are two phases in the heating
experiment: the phase 1 begins at 2April 2004 and ends
at 8 July 2004 (approximately 91 days) when the sec-
ond phase begins. This second phase lasts 247 days.
During the first phase the electric power of heating
devices is equal to 650 W, while during the second
phase this power is three times greater (1950 W). The
heating is followed by the cooling phase separated in
two steps: during the first step (6 days) the thermal
(electric) power is dropped to 150 W, while during the
next step the heaters are switched off.
2.2 Geology, initial state and rock parameters
The stress state in the Mont Terri massif is known to
be anisotropic. The maximal principal stresses is sub-
vertical (v = 7.25 MPa); the minor is found approx-
imately in the bedding plan (approximately in the axis
of the borehole BHE-D0, h = 2.2 MPa) and the
mean stress in the horizontal plane H = 4.75 MPa
(Martin & Lanyon, 2003). The initial pore pressure
recorded by pressure sensors was quasi uniform and
approximately 1.2 MPa (Kull, 2004). A vertical cut of
the site, showing the rock-layers (figure 1b) with a
dipping angle of about 46 (Nussbaum, 2004). The
rocks are mostly shales known as Opalinus Clay, less
or more carbonated. The assessment of THM parame-
ters of Opalinus clay is carried out by previous works
on this rock, but also by limited studies on the core
samples obtained during the excavation of the HE-D
borehole. From these studies it could be concluded that
the Opalinus clay is a highly anisotropic rock in respect
with THM properties. The composition of the rock and
its principal THM parameters values obtained by lab-
oratory tests are given in the table 1. Note that in this
table a superscript letter N (alternatively P) indicates
a property normal (parallel) to the bedding plan.
3 PROBLEM MODELING
3.1 Field equations of THM coupled problem
The analyses presented here are performed by
Code_Aster finite element code developed by EDF

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Copyright 2006 Taylor & Francis Group plc, London, UK

 (France). Description of the THM field equations pre-
sented here is conformed to the implementation of
THM problem in this software (Chavant, 2001). The
governing equations for the THM problem are bal-
ance and constitutive equations. Mass conservation
equations apply to water and air. Since the porous
medium is deformable then the momentum balance
equation is also taken into account. Further, since the
problem is clearly non-isothermal the internal energy
balance for the total porous medium must be consid-
ered. So the set of the basic equations governing the
behavior of the porous media are:
a) Mechanical equilibrium equations:
where is the stress tensor, Fm body force density and
r homogenized volumetric mass.
b) mass conservation and energy conservation
relations:
Noting by:
the time derivative of a quantity A during skeleton
movement, the mass conservation equation (without
sink-source term) could be written:
where Mi = vector flux of the phase i (i = w liquid
water, da dried air, vp water vapor), mi = mass per
volume unity of the phase i.
Similarly, the energy conservation law is written as:
with:
hmP
c (in J/ K/kg) being the mass enthalpy of phase
p of the constituent c, Q
(in J) is the non-
convected heat, q is the heat flux vector and
the heat source.
Thermal diffusion is governed by Fouriers law:
where T indicates the thermal conductivity that in
general case would be a function of the temperature.
The thermal conductivity T of porous media is cal-
culated as a volumetric average of the conductivities
of all constituents:
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Copyright 2006 Taylor & Francis Group plc, London, UK
with = rock porosity, Sw water saturation, Ti thermal
conductivity of composant I (i = w water, s solid, da
dried air)
The hydraulic flow of all fluids is thought to obey
Darcys law:
In these last expressions the subscript gz stands for gas
(i.e. water vapor and dried air), H
i , i and pi are respec-
tively the hydraulic conductivity, the density and the
pressure of phase i (i = w water, gz gas). The hydraulic
conductivities involved in the equations (7) and (8)
are calculated from intrinsic and relative permeability
(K in and krel ) by taking into account the viscosity of
the respective fluids (i ):
In what follows the water relative permeability is
taken according to the table 1, while that of the gas is
taken equal to 1. Furthermore, the viscosity of water
in linear analyses is taken equal to that of the water
in 20 C. In nonlinear analyses the viscosity of the
water is taken a step-wise function constructed from
physical data available (Cho et al. 1999).
c) Constitutive relations:
All gas is considered to be ideal one that justifies the
use of Kelvins and Daltons laws in the above equa-
tions. The mechanical behavior is considered to be
governed by an effective stress whose relation with
the total stress is:
When the porous media is saturated then
with p being pore pressure and b = Biots coefficient
defined as the ratio of drained bulk modulus K0 to the
bulk modulus of solid grains Ks :
 The effective stress is defined by:

with being the elastic strain tensor, the linear ther-

mal expansion coefficient that could be a function of
the temperature.

3.2 Numerical model

For the sake of simplicity, only 2D plan-strain anal-
yses of the problem are presented in this paper, but
some comparisons are made with 3D THM analyses
not presented here in details. The HE-D test is typ-
ically a 3D problem: anisotropic stress state and the
presence of the MI niche make invalid an axisym- Figure 2. Geometry, mesh and initial conditions of numer-
metric 2D assumption. A simplified 2D plan-strain ical model.
analysis would however be valid by taking some pre-
cautions. By assuming 2D plan-strain configuration,
as compared to the reality, more heat is put into the
system. In fact in that case the thermal flux to the out-
of-plan direction is ignored and full thermal power is
supposed to be radial. In order to take into account the
out-of-plan thermal flux a correcting factor has been
used for the thermal power in analyses, i.e. it is sup-
posed that the thermal power in radial direction is a
fraction of the total power:

The value of factor is defined by a comparison of

results of 2D and 3D thermal-only analyses. It is clear
however that the out-of-plan hydraulic flux could not
be taken into account in the same way. The geometry
of the numerical model and the mesh are shown in the
figure 2.
The full loading history is taken into account: Firstly
the excavation of the MI-niche is performed. Then, the
ventilation of MI-niche during 6 years is simulated by
applying in the walls of the MI-niche a capillary pres-
sure of about 21 MPa that coincides with a relative
humidity of 70%.Then the borehole HE-D0 is drilled
out followed by heating-cooling phases. The presence
of the MI-niche is important in the numerical model.
In fact it adds a constraint in the modeling: the per-
meability of the rock masses in that case could not
be taken too great because otherwise the un-saturation
front, initiated from MI-niche would grow up to the
borehole HE-D0. This would be not correct because
the measured water pressures in field show that unsat-
urated rock mass around MI-niche is very limited.
There are about 230 sensors in the HE-D test. In 3D
analyses the position of all each sensor is identified
with the closest neighbor node. In 2D analyses only
some of these sensors should be taken into account. In
order to facilitate further discussions the position of
the sensors that are analyzed later are presented in the
figure 3. When an analysis is called anisotropic that
means that oriented values of the parameters are taken
Figure 3. Position of the sensors detailed in 2D analyses.
into account; in isotropic analyses the mean values
are used.
4 PRINCIPAL RESULTS AND DISCUSSION
4.1 Temperatures predictions: role of the 2D
geometry and anisotropy of thermal
conductivity
The principal driver for THM coupling in the HE-D
problem is the temperature. Because of the heating and
temperature increase some variation of mechanical
(displacements) and hydraulic (pressures) fields are
generated.
The role of mechanical and hydraulic changes on the
distribution and evolution of thermal quantities is neg-
ligible in that case. Indeed, our analyses have shown
that in the case of HE-D test, there are practically no
differences between the filed temperatures obtained by
a thermal only analysis and a fully coupled THM one.
In the figure 4 are presented results of 2D thermal
analyses compared with those of a 3D thermal ana-
lyze and with measured data. The predictions of 3D
anisotropic model are quite close to measured data,
both in the near field and away from the borehole.

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Copyright 2006 Taylor & Francis Group plc, London, UK

 140 5 HEDB03PRE1
T (C) 4.5
120 4

Pressure (MPa)
3.5
100
3
2.5
80
2
H1T1 measured 1.5
60 Plastic
H1T1 anisotropic model 1 Elastic
40 H1T1 isotropic model 0.5 MEASURED
3D anisotropic 0
20 0 100 200 300 400
time (days) Time(Days)
0
0 100 200 300 400
a) 4.50E+00 HEDB15PRE1
4.00E+00
45 3.50E+00

40 T (C)
35
30
25
20 HEDB17T measured
2D isotropic model
15
2D anisotropic model
10
3D anisotropic model
5 time (days)
0 water pressure evolution with measured data of two sensors.
0 100 200 300 400
b)
Figure 4. Comparison of the temperature evolution predic-
tions in HE-D test with measured data: a) in the near field
b) in the far field.
This is generally the case for all temperature sensors,
except for the sensor B09. The 2D anisotropic model
captures quite well the evolution of temperatures in
the near field. However, in the far field the predictions
of this model are not so good. The results obtained by
using an isotropic model are even worse, but even in
that case the model follows the general trend of temper-
ature evolution. It is clear from these observations that
even when a correcting flux is used, a 2D plan-strain
model is not able to reproduce the totality of results
observed in the near- and far-field. The differences
between 2D anisotropic model and 2D isotropic one
are not too big.
4.2 Water pressure predictions: role of the
constitutive model of rock and fluid
The pore pressure increases during the heating phase
and the amplitude of this variation is a function of
the thermal expansion coefficient of rock and water,
rock mass permeability, but also function of the
constitutive model of rock mass and water. As it was
already indicated the THM behavior of Opalinus clay
is highly anisotropic. For that reason in 3D analysis
the behavior of the rock is considered to be linear
Pressure (MPa)
3.00E+00
2.50E+00
2.00E+00
1.50E+00
Plastic
1.00E+00
Elastic
5.00E-01
MEASURE
0.00E+00
0.00 50.00 100.00 150.00 200.00 250.00 300.00 350.00
Time(Days)
Figure 5. Comparison of elastic and plastic predictions of
500
anisotropic. However the excavation of the HE-D0
borehole and the evolution of the pore pressure during
heating are susceptible to modify the stress distribution
around borehole and to give rise crack growth, which
in turn could modify the permeability. The simplest
way to deal with these modifications is to use a plas-
tic model with a plastic dilatancy. For simplicity and
because of insufficient data on that rock, an isotropic
plastic Drucker-Prager like model has been used in
non-linear analyses. In order to see the role of the con-
stitutive model on the predictions the results of the
plastic model are compared with results of the isotropic
elastic model (figure 5). When a plastic model with
dilatancy is used then the as expecting the amplitude
of the pore pressure is lower as compared to the elastic
analyses. The elastic model overestimates the over-
pressure at almost all sensors. The predictions of the
plastic model are closer to measured data, particularly
during first heating phase. These observations show
the role of the constitutive model of rock mass in pre-
dictions of the pore pressure evolution However, the
kinetic of the water pressure evolution during the sec-
ond heating phase as predicted by either models is
slower than the measured one. This could be explained
by a higher hydraulic conductivity in situ during the
second phase as compared to the constant hydraulic
conductivity taken in numerical models. In reality, the
hydraulic conductivity in situ would increase during
the heating as a consequence of damage of surround-
ing rock due to the overpressure developed by the
heating. This hypothesis must however be checked
in situ.

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Copyright 2006 Taylor & Francis Group plc, London, UK

 are quasi-radial, making possible a comparison even
Pressure(MPa)
5 HEDB16PRE1
4.5 with 2D analyses.
4
The comparison of 3D elastic anisotropic analy-
sis with 2D analyses (not presented here) shows that
3.5
there is little influence of the plasticity around the
3 HE-D0 borehole on the overall response in terms of
2.5 displacements.
2
Measured
1.5 5 CONCLUSIONS
Nonlinearmodel
1
Constant viscosity
0.5 THM finite element modeling of HE-D test in Mont-
Time(Days) Terri (Switzerland) is presented. The role of the consti-
0
0 1
100 200 300 400 tutive behavior of rock mass and water on the overall
response of the rock mass has been shown. The over-
Figure 6. Evolution of pore pressure prediction using con- all predictions of the models in terms of temperature,
stant and variable viscosity. In the case of constant viscosity water pressure and displacements, are in good agree-
the intrinsic permeability is taken two times greater then in ment with measured data. The discrepancies of pore
non-linear model. pressure predictions could be explained by an increase
of the hydraulic conductivity of the rock mass due to
DP2-DP5
0.08
the damage.
0.06
0.04 REFERENCES
Deformation mm/m

0.02
0 Auvray C. (2004) Thermomechanical tests on Opalinus clays
-0.02 0 50 100
-0.04
Calculated
-0.06
Measured
-0.08
-0.1
Time(day)
Figure 7. Strain evolution predictions between two exten-
someter points compared with measured data.
The nonlinear behavior of the water has also a
great impact on the water pressure evolution predic-
tions. In particular, the evolution of thermal expansion
coefficient of water and decrease of the viscosity of
water when the temperature increases are the most
important features of water behavior that influence
the evolution of water pressure during heating-cooling
phases. For example between 20 C and 100 C the
water viscosity decreases about three times (Cho et al.
1999). According to the equation (9) this leads to an
increase of the hydraulic conductivity. In the figure 6 is
shown the evolution of the water pore pressure during a
non-linear analysis taking into account the evolution of
the viscosity with the temperature. As seen from this
figure, the nonlinear effects of water viscosity evo-
lution are stronger then a uniform increase of rock
permeability by two times the initial permeability.
4.3 Strain evolution due to heating-cooling
The analysis of the displacement field presented in the
figure 7 is performed using sensors of BHED-06 bore-
hole (see figure 1.a). Since this borehole is normal to
the axe of HE-D0 borehole the induced displacements
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 EUROCK 2006 Multiphysics Coupling and Long Term Behaviour in Rock Mechanics
Van Cotthem, Charlier, Thimus & Tshibangu (eds)
2006 Taylor & Francis Group, London, ISBN 0 415 41001 0

Interpretation of fracture geometry from excavation induced

microseismic events

J.M. Reyes-Montes
Applied Seismology Consultants, Shrewsbury, UK

R.P. Young
Lassonde Institute, University of Toronto, Toronto, Canada

ABSTRACT: Microseismicity provides a unique means of monitoring induced damage in the rock mass
surrounding underground structures. The spatio-temporal distribution of the induced microseismic events can
be used to interpret the evolution and extent of the damage zone. We present results from the analysis of 1889
events induced following the excavation of the TSX tunnel at the Underground Research Laboratory (AECL,
Canada). The events were located using the relative location technique. A statistical analysis based on the three
point method is applied to extract fracture orientation information from the clusters of microseismic events in
the damage zone around the void. A series of numerical experiments validate the capability of this method to
identify the existence of preferential orientations within a cluster of events. The method revealed the evolution
of seismicity from initially scattered to a structured distribution along planar features, with different dip and
orientation for the lower and upper halves of the tunnel.

1 INTRODUCTION 2 DATA

Microseismic (MS) monitoring has been extensively
used to non-destructively monitor induced damage
and the evolution of the failure process in the rock
mass surrounding underground structures. The onset
of MS activity can be interpreted as the initiation of
the fracturing process; however, isolated microfrac-
tures will not affect the global integrity of rock mass.
The coalescence of microcracks into larger structures
significantly alters the geomechanical properties of the
rock mass. A main implication is an alteration of per-
meability and the creation of paths for the flow of fluids
through the rock mass.
Results from laboratory rock compression tests
using Acoustic Emission lo locate cracking show that
the appearance of a preferential orientation in the clus-
ter of events precedes the unstable development of the
fracture process that leads to the final failure of the
rock sample (Lockner et al. 1992). This result sug-
gests the importance of analyzing the existence of an
organization within the cloud of events along dominant
structures.
This study presents the analysis of the evolution
of the spatial distribution of MS events induced by
the excavation of an underground test tunnel. A sta-
tistical approach, the three point method, is tested and
applied as a tool to identify the existence of preferential
orientations within the cluster of events at mine scale.
The events used in this study were recorded during
the blast excavation of the Tunnel Sealing eXperiment
(TSX), a major international experiment taking place
at 420 m depth at the URL in a granite batholith within
the Canadian shield (Figure 1). The construction of the
tunnel parallel to 1 minimizes the absolute value of
stress concentrations. The highest compressive stress
concentrations are found in the roof and floor regions
with a slight asymmetry caused by the dip of 1 . This
is reflected in the location of acoustic emission (AE)
and MS activity (Young & Collins 2001). An MS array
monitored the seismic activity almost continuously
from the beginning of its excavation (Collins & Young
1998). It consists of 16 triaxial accelerometers oper-
ating in the 0.510 kHz band, grouted at the end of
boreholes in the rock mass and monitoring a volume
of 100 m 100 m 100 m surrounding the TSX.
A total of 1889 MS events were recorded during the
24 hour period following the blast of each of the five
excavation intervals (rounds) considered in this study
(Figure 2). The volume used in this study was exca-
vated between 25th February and 11th March 1997.
The events were located using a master event rel-
ative location algorithm (Reyes-Montes et al. 2005).
This approach circumvents location uncertainties that
arise from a poor knowledge of the seismic veloc-
ity field when absolute source location techniques

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Copyright 2006 Taylor & Francis Group plc, London, UK


Figure 1. Location of the URL (Collins & Young 1998).
The microseismic events used in this study are taken from the
excavation stage of the TSX tunnel, located at the 420 m depth
level. Black triangles indicate the location of the sensors used
in the experiment.
Figure 2. Side and end views of the events recorded follow-
ing the blast excavation of each of the excavation intervals
considered in this study (rounds 8 to 12). Events were located
using master events for the upper and lower regions of each
of the rounds.
are applied. The use of this technique was suggested
by differences between initial absolute locations and
observations using a higher resolution AE monitoring
system in a section of the floor region.Absolute located
events showed a maximum activity centred as far as
1 m while the AE system found activity constrained
to the first 0.6 m from the tunnel wall (Chandler et al.
2002). A number of studies, using different techniques
for the characterization of rock damage around the
TSX showed a halo of damage around the tunnel
extending out as far as 1 m in all directions (Chandler
et al. 2002). Although visible fracturing was only
observed for the first 0.3 m within the tunnel wall,
increases in permeability and decreases in acoustic
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Copyright 2006 Taylor & Francis Group plc, London, UK
velocity justify the extension of the Excavation Dam-
aged Zone (EDZ) in the floor region up to 1 m from the
tunnel wall. This limit however is significantly smaller
than the damage shown by the absolute locations of MS
events. The use of relative location reduces the average
location error from 0.40 m to <0.10 m when the sep-
aration between master and process events is smaller
than 2 m. It must be noted that due to the use of abso-
lute located events as master events for the relocation,
the resulting absolute value of the location is biased by
any uncertainties in the location of the master. How-
ever for this study only the relative position of the
events within each cluster is relevant.
3 METHOD
In order to identify the existence of a defined promi-
nent structure within the cluster of relocated events,
the three point method presented in Fehler et al. (1987)
is applied to the roof and floor clusters. This statisti-
cal technique consists on the calculation of the planes
that fit every unique combination of three events. The
result is a distribution of N (N 1) (N 2)/6 planes,
where N is the number of events in the cluster. The
poles of the calculated planes can then be plotted in
a stereogram. A high density of poles will reveal any
preferential orientation. In the calculation of all the
possible planes it is important to remove triads of
events that include events that may introduce a spa-
tial bias in the distribution. Hence, a spacing criterion
must be introduced in the calculation of the possible
combinations. The bias is introduced by events that are
spaced closer than the locating error and those too dis-
tant to be included in the same planar structure, hence
events separated less than 0.05 m or more than 2 m
(average size of an excavation round) are filtered out
of the groups.
Another consideration that must be taken into
account is the effect of the overall shape of the volume
containing the events. It may dominate over any planar
distribution of events. To correct for the shape effect,
Fehler et al. (1987) followed the correction proposed
by Lutz (1986) for a two dimensional distribution of
points. The approach is to normalise the distribution
of poles found for the real events by the distribution
obtained for a population of the same number of uni-
form random generated points distributed in the same
study volume. To determine the statistical variation of
the bias introduced by the shape of the study volume,
a large number of random data sets are needed. In this
study, 100 sets of random uniform locations are gen-
erated for the roof and the floor regions of each round.
The number of poles for the population of real data in
each bin i, Pdi , is thus normalised using the relation:

Figure 3. (a,c) Clusters of synthetic events used in the val-
idation of the three point method. Events were randomly
scattered along 45 and 22.5 dipping planes with N direction
(a) and two 45 dipping planes with S and E directions (c).
The corresponding pole density plots are shown on panels b
and d respectively.
where Pni is the number of poles in bin i for the nor-
malised distribution, Pui is the average number of poles
in bin i for the 100 randomly generated uniform dis-
tributions, and Ad and Au are the average number of
poles in each bin from the real data and uniform distri-
butions respectively. The normalisation by the average
number of poles per bin corrects the different number
of combinations used in each distribution arising from
the spacing criteria mentioned above.
The over sampling of the group of events makes this
method less sensitive to Gaussian location errors than
methods based on interevent distance distributions.
3.1 Synthetic data
The performance and capability of the three point
method to accurately reveal the dominant direction and
dip of the global fracture zone is evaluated by setting
up a number of synthetic locations randomly scattered
along planes with different orientations.
Different sets of 200 synthetic events randomly
scattered along the surface of planes with 45 and 22.5
dips and total extension of 100 m 100 m are setup to
test the methods performance.
A sample of the resulting density plots is shown in
Figure 3, showing a good correspondence between the
maxima in the poles distributions and the synthetic
structure. The method identifies the trends of the
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Copyright 2006 Taylor & Francis Group plc, London, UK
structures within the seismic clouds, however fur-
ther interpretation is needed to discern the dom-
inant direction between the two normal solutions
presented.
4 RESULTS
The three point method is applied to the MS events
recorded after the excavation of the different inter-
vals of the TSX test tunnel to analyze the evolution
of the fracture process. For the analysis, the events are
divided according to their location at the lower (floor
region) or upper (roof region) halves of the tunnel. For
each of the two regions on each round, the dominant
structure is calculated at four time intervals of constant
number of events. The pole density plots obtained from
this analysis are shown in Figure 4. Each stereograph is
calculated gathering the results for the different rounds
for the corresponding time interval (I to IV).
The results show the different evolution of the frac-
ture process in the two regions. In the floor region
(Figure 4a) the process is characterized by an initial
scattered activity with no clear dominant structure.
The seismicity evolves towards a more defined
structure revealed by marked maxima in the stereo-
graph of the final time interval at azimuths of 90 and
270 measured from the tunnel axis and dip angles
of 60 . This corresponds to shallow dipping planes
(30 ) oriented parallel to the tunnel axis. The main
structures observed in the density plots are represented
in Figure 5 together with the coordinate system used
in this study.
The evolution of the seismicity in the roof region
is also characterized by an initial scattered activ-
ity progressing into a more structured distribution of
seismicity. The evolution is however different to the
progressive evolution observed in the floor region,
presenting a more diffuse structure for the third time
interval. In this region, the structure is dominated by
a maximum at the centre of the stereographs, cor-
responding to events distributed along horizontal to
shallow dipping (<10 ) planes. The difference in the
dominant structure can be attributed to the different
stress regimes of both regions. Gravity acts favoring
fracture development in the roof region while con-
fines the floor region suppressing the seismic activity.
This can also explain the different temporal behavior
observed in both regions. Seismic activity is sustained
for a longer period in the roof region (Reyes-Montes
et al. 2005), therefore the four intervals presented in
Figure 4b extend over a longer time period than the
intervals for the floor region presented in Figure 4a.
A detailed study of one of the excavation rounds
showed that a period of quiescence was reached around
the excavated round that was later followed by a reac-
tivation of activity at the roof region only. This can
 Figure 4. Evolution of the structure underlying the MS location distribution in the floor (a) and roof (b) regions following
the excavation of rounds 8 to 12 of the TSX tunnel. The stereographs for each time interval (IIV) are calculated gathering
the pole distributions obtained for the different rounds. Each time interval represents the time of occurrence of successive
intervals of 40 events for the different excavation rounds. Azimuths are taken anticlockwise with origin in the tunnel axis.
Figure 5. Coordinate system used in the calculation of
the planes fitting the groups of events. Also shown in the
diagram, a representation of the main planes found in the
analysis relative to the tunnel and their representation on
the stereogram.
explain the observation of a more scattered activity at
interval III of the roof region.
5 CONCLUSIONS
A statistical approach applied to the spatial distribution
of MS events recorded following the excavation of the
TSX tunnel has allowed constructing a continuous time
visualization of the structure underlying the cloud of
events. The over sampling of the group of events makes
this method less sensitive to errors in source location
than methods based on simply analyzing inter-event
separations.
This method has revealed the different evolution of
the fracture network in the floor and roof regions in
which the study volume is divided. In both regions,
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Copyright 2006 Taylor & Francis Group plc, London, UK
seismicity evolves from initially scattered around the
source volume with no defined structure to locate over
clearly defined planar structures at later stages of the
fracturing process.
The different stress settings of the two regions are
believed to condition the differences observed in the
dominant structure for each region. The fracturing in
the floor region at later stages occurs preferentially
along shallow dipping (30 ) planes oriented paral-
lel to the tunnel axis. On the other hand, the events
recorded in the roof region locate preferentially along
horizontal planes at late stages of evolution of the
fracture process.
ACKNOWLEDGEMENTS
The authors would like to thank Atomic Energy of
Canada Ltd. and the sponsors of the TSX experiment
fro providing the data for this study. We also thank the
Natural Environment Research Council, the Univer-
sity of Liverpool and the industrial partner ASC Ltd.
for supporting this project. Dr. A. Rietbrock is also
acknowledged for his advice on this project.
REFERENCES
Chandler, N.A. Cournut, A. Dixon, D.A. Fairhurst, C.
Hansen, F. Gray, M. Hara, K. Ishijima, Y. Kozak, E.
Martino, J.B. Masumoto, K. McCranck, G. Sugita, Y.
Thompson, P. Tillerson, J.R. & Vignal, B. 2002. The five
year report on the Tunnel Sealing Experiment: An interna-
tional project of AECL, JNC, ANDRA and WIPP, Atomic
Energy of Canada Ltd., Pinawa, Manitoba.
 Collins, D.S. & Young, R.P. 1998. Acoustic emission and
microseismic data from the excavation stage of the Tun-
nel Sealing experiment. ASL internal report to AECL.,
AECL.
Fehler, M. House, L. & Kaieda, H. 1987. Determining Planes
Along Which Earthquakes Occur Method and Applica-
tion to Earthquakes Accompanying Hydraulic Fracturing,
J. Geophys. Res. Solid Earth and Planets, 92 (B9):
94079414.
Lockner, D.A. Moore, D.E. & Reches, Z. 1992. Microcrack
interaction leading to shear fracture. In J.R. Tillerson, &
W.R. Wawersik (eds), Proceedings of the 33rd U.S.
Symposium on Rock Mechanics: 807816. Rotterdam:
A.A.Balkema.
209
Copyright 2006 Taylor & Francis Group plc, London, UK
Lutz, T. 1986. An analysis of the orientations of large-scale
crustal structures: A statistical approach based on real dis-
tributions of point-like features, J. Geophys. Res. Solid
Earth, 91: 421434.
Reyes-Montes, J.M. Rietbrock, A. Collins, D.S. &Young, R.P.
2005. Relative location of excavation induced microseis-
micity at the Underground Research Laboratory (AECL,
Canada) using surveyed reference events. Geophys. Res.
Letters, v 32.
Young, R.P. &. Collins, D.S. 2001. Seismic studies of
rock fracture at the Underground Research Laboratory,
Canada, Int. J. Rock Mech. Min. Sci., 38(6): 787799.
 EUROCK 2006 Multiphysics Coupling and Long Term Behaviour in Rock Mechanics
Van Cotthem, Charlier, Thimus & Tshibangu (eds)
2006 Taylor & Francis Group, London, ISBN 0 415 41001 0

Design, construction, supervision and long-term behaviour of

tunnels in swelling rock

M. Wittke
W. Wittke Consulting Engineers for Tunneling and Geotechnical Engineering Ltd., Aachen/Stuttgart, Germany

ABSTRACT: Long sections of the tunnels planned for the project Stuttgart 21 are located in anhydrite bearing,
swelling Gypsum Keuper, which also contains swelling clay minerals. The fundamentals of swelling behavior
of Gypsum Keuper and its analytical description are illustrated. In chapter 3, the support principles for tunnels
in swelling rock are illustrated. With the aid of exemplary analyses, which were carried out with a FE-program
developed and calibrated by WBI, it is shown that the more economic principle of resisting support can be
realized with small deformations, if a layer of competent rock with sufficient thickness is available above the
tunnels roof as abutment against swelling pressure. For such conditions the principle of resisting support is to
be recommended. In addition, there is a chance for a self-sealing effect of the rock mass in the area of the tunnel
due to swelling, which would enable more economic solutions.
FE-analyses and observations for the tunnels Heslach II and Wagenburg showed that heaving of the tunnel
tubes, which may extend up to the ground surface, results, if the principle of resisting support is applied to cases
where leached Gypsum Keuper is located directly above the tunnels roof or in the upper area of the cross-section.
In such cases the principle of yielding support is to be recommended, if the installation of a slabtrack does not
allow for such heavings.
As executed example for the principle of yielding support, the Freudensteintunnel is illustrated. Further, rules
are set up which should be considered during construction of tunnels in swelling rock.

1 INTRODUCTION Gypsum Keuper. Also three other tunnels of this

Single-track tunnels with a total length of almost
50 km are planned for the project Stuttgart 21 in
Germany (Marquart 2004). The longest of these tun-
nels is the Fildertunnel with a total length of approx.
2 9, 5 km (no. 28, Figure 1). 4,3 km of both tubes
of this tunnel are located in the swelling unleached
project are partly located in this rock formation (no.
2527, Figure 1).
Tunneling in the unleached Gypsum Keuper is very
challenging and often lead to damages to the structure
and thus to an increase of construction time and costs
in the past. Experience in tunneling gained by WBI
in the area of Stuttgart during the past 30 years will
surely help to build the tunnels of the project Stuttgart
21 economically and according to schedule (Wittke
2004).

2 FUNDAMENTALS

In case water gains access to the anydritic rock of

the unleached Gypsum Keuper, the anhydrite is trans-
formed into gypsum. This chemical process leads
Figure 1. Tunneling in Stuttgart, experience of more than
30 years.
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Copyright 2006 Taylor & Francis Group plc, London, UK
to a volume increase of the anhydrite of V = 61%
(Figure 2, Kiehl 1990, Wittke-Gattermann 1998).
Tremendous swelling pressures develop, if this vol-
ume increase is prevented.
The relation between the swelling pressures and
sweeling strains can be described by the law given
in Figure 3 (Grob 1972, Wittke & Wittke & Wahlen

Figure 2. Swelling of Gypsum Keuper.
Figure 3. One-dimensional swelling law for full saturation.
2004). This one-dimensional swelling law was
extended to three dimensions in a way that also aniso-
tropic behavior of the rock can be accounted for
(Kiehl 1990, Wittke-Gattermann 1998). Furthermore,
the time-dependency of swelling is accounted for in
the model so that stability analyses to design tun-
nels in swelling rock can be carried out (Kiehl 1990,
Wittke-Gattermann 1998, Wittke 2003).
3 STABILITY ANALYSES AND
SUPPORT PRINCIPLES
Two different support principles are foreseen for those
sections of the tunnels of Stuttgart 21, which are
located in the unleached Gypsum Keuper (Figure 4).
In case the principle of resisting support is used,
the internal lining will be designed to withstand the
swelling pressure. For the yielding principle, a highly
deformable yielding zone is placed underneath the
invert of the tunnel. The planned shoulders of concrete
make the construction of the yielding zone easier and
prevent a loading of this zone by the dead-weight of the
concrete lining. On the other hand, this shoulder will be
highly loaded due to its great stiffness. Investigations
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Figure 4. Support principles.
Figure 5. FE-Analyses, intact rock above the tunnel,
displacements.
carried out by WBI lead to the result, that the shape
of the yielding zone given in Figure 4 is the optimum
with regards to static aspects and construction works.
Both support principles have a different static mode
of functioning. The results of FE-analyses for tun-
nels and the two support principles are illustrated in
Figures 58. The given parameters result from compar-
ative analyses for an investigation gallery in Germany,
carried out with the FE-program FEST03 (Wittke-
Gattermann 1998). In case the tunnel is well covered
with competent unleached Gypsum Keuper and water
is only available underneath the invert of the tunnel,
the invert is subjected to higher bending in case of
a resisting support than in case of a yielding support
(Figure 5). Heaving of the tunnel cannot be observed
in both cases. The high loading of the shoulders of
concrete for the yielding principle is remarkable (Fig-
ure 6). It leads to high shear forces in the corresponding
area of the inner lining. Nevertheless, the bending
moments and normal thrust in the internal lining are
lower for the yielding principle than for the resisting
principle.
In case leached Gypsum Keuper is located above
the roof, tunnels constructed according to the resist-
ing principle are subjected to heaving (Figure 7).
Due to the low shear strength and Youngs modu-
lus, the leached Gypsum Keuper provides only small
 Figure 6. FE-Analyses, intact rock above the tunnel, radial
loading.
Figure 7. FE-Analyses, leached rock above the tunnel,
displacements.
Figure 8. FE-Analyses, leached rock above the tunnel,
radial loading.
resistance against swelling pressures. Thus, in this
case the load of the internal lining due to swelling
is comparatively small (Figure 8). Also the difference
between the radial loading on both linings is compar-
atively small. However, the heaving of the tunnel and
the ground above are much smaller in case the yielding
principle is used (cp. Figure 7).
The first three lines in Figure 9 illustrate again the
described result. However, if the two support principles
are compared, one has to account for the higher costs
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Figure 9. Comparison of the two support principles.
Figure 10. Demands on construction.
for construction of tunnels according to the yielding
principle. Moreover, the yielding zone is very perme-
able and due to the large swelling strains loosening
occurs in the rock underneath. Thus, the chance for
self-sealing of the swelling rock and for the corre-
sponding limitation of swelling pressures is only very
low in case the principle of yielding support is used
(Wittke, 2003).
4 CONSTRUCTION
A basic rule for tunneling works in swelling rock is to
avoid water inflow by all means until the internal lin-
ing is completed. Therefore, it is essential to observe
the rules given in Figure 10. If the tunnel is located
in the unleached Gypsum Keuper (Anhydrite, Fig. 10)
with a sufficient distance from the leaching front, it
is possible to keep the rock completely dry during
construction, if these rules are considered.
However, if the tunnel is located in the area of the
water-bearing leaching front, it will be extremely diffi-
cult to keep the anhydritic rock completely dry. In such
cases, the water must be collected and discharged care-
fully. If this fails, temporary anchoring of the invert and
shotcrete support can be installed to keep the heaving
due to swelling within acceptable limits until the final
lining is installed (Klonsdorf & Schaser 1991).
 Figure 11. Urban railway Stuttgart, Lot 12.
5 EXAMPLES
5.1 Suburban railway line Stuttgart, Lot 12
The turning loop of the suburban railway system in
Stuttgart, Germany (Lot 12) was constructed in the
1960s (Grter & Liening 1976, Wittke & Riler 1976).
A long section of this tunnel is located in the anhydritic
unleached Gypsum Keuper (Figure 11). The leaching
front is located approximately 15 m above the roof.
The ground water table is located in the leached Gyp-
sum Keuper (Figure 11). Construction works of the
tunnel were carried out strictly according to the rules
given in Figure 10. The rock was covered with a 5
to 10 cm thick sealing of shotcrete immediately after
excavation. Anchors and steel arches were not used.
The tunnel thus was stable with very little support,
and the rock was found to be completely dry. The inter-
nal lining was designed according to the principle of
resisting support with a thickness of 1 m. Up to now,
no damages were observed in this tunnel.
5.2 Road tunnel Heslach II and tunnel
Wagenburg, Stuttgart
The tunnel Heslach II is approximately 1000 m long
and is located in the area of the city of Stuttgart in
Germany. The maximum overburden results to approx.
91 m (Figure 12). In the middle section of the align-
ment, the invert of the tunnel is located in the swelling
Gypsum Keuper, whereas the upper part of the cross
section is located in the leached Gypsum Keuper. A
through-going ground water table was not observed,
however, in the area of the leaching front seepage
water from rainfall was found. The tunnel was built
according to the principle of resisting support with an
excavated diameter of 12,4 m. The design of the inter-
nal lining lead to a 1,8 m thick invert (Figure 13, Beiche
1991). In the course of construction works, heaving
due to swelling did not occur. However, in the follow-
ing 12 to 14 years after construction heaving of the
invert was observed as shown in Figure 12. Also level-
ing at the surface showed heaving. The increase of the
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Copyright 2006 Taylor & Francis Group plc, London, UK
Figure 12. Tunnel Heslach II, longitudinal section and
vertical displacements.
Figure 13. Tunnel Heslach II, cross section and vertical
displacements.
displacements over the time is illustrated in Figure 13.
It can be clearly seen that the observations made for
the tunnel Heslach II in principle correspond very well
with the analysis results described above.
Similar observations were made for the Tunnel
Wagenburg, which is located near to the central station
of the city of Stuttgart (Wittke 2004).
5.3 Tunnel Freudenstein
The Tunnel Freudenstein of the new highspeed rail-
way line from Mannheim to Stuttgart is approximately
6,8 km long (Klonsdorf & Schaser 1991, Kirschke
et al. 1991). Over a length of 5 km, the tunnel is located
in the unleached Gypsum Keuper (Figure 14). For
the major part of this section the leaching front is
located well above the tunnel, however, in the areas
of two valleys the leaching front is located in the
area of the tunnels roof. Mainly along these sections
water inflow was observed during construction. This
is not surprising, because the ground water table is
located in the leached Gypsum Keuper, well above the
tunnel (Figure 14). The tunnel Freudenstein was con-
structed according to the principle of yielding support
(Figure 15, Kirschke et al. 1991).
 Figure 14. Tunnel Freudenstein, longitudinal section.
Figure 15. Tunnel Freudenstein, cross section.
6 SUMMARY AND OUTLOOK
Based on the theoretical investigations and the experi-
ence gained from tunnels constructed in the past, the
following conclusions were drawn for the design and
construction of those tunnels of the project Stuttgart
21, which are located in swelling Gypsum Keuper: The
gradient of the Fildertunnel in the unleached Gypsum
Keuper was determined in a way that the water-bearing
leaching front is located well above the tunnel. It is
expected that this tunnel can be constructed under
completely dry conditions and thus it is designed
according to the principle of resisting support (Fig-
ure 16). Analyses have shown that a thickness of the
internal lining of 80 cm is sufficient to withstand the
occurring swelling pressure. Moreover, the chance of
self-sealing of the rock is apparent and thus, construc-
tion of an even thinner lining might be possible (Wittke
2003).
For the tunnel to Feuerbach, the principle of yield-
ing support is foreseen to be used over short distances,
because the rock cover above the tunnel is not suffi-
cient (Figure 17). In other sections, it is planned to use
the cheaper principle of resisting support. However,
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Copyright 2006 Taylor & Francis Group plc, London, UK
Figure 16. Fildertunnel.
Figure 17. Tunnel to Feuerbach.
explorations will be carried out during construction.
In case the rock cover is not sufficient to withstand
the swelling pressure, it is planned to use the yielding
principle also in these sections. Special measures, such
as temporary anchoring or yielding support, are also
foreseen in case swelling occurs during construction,
although it is not expected.
The principles of resisting support and yielding sup-
port respectively were presently used for the design
of tunnels in anhydritic, swelling rock. In the first
case, the internal concrete lining is designed to resist
the occuring swelling pressure. In the second case a
yielding zone is installed underneath the invert of the
concrete lining of the tunnel. This zone leads to a
reduction of the swelling pressure and thus can lead to
a reduction of reinforcement and thickness of the con-
crete lining in comparison to the principle of resisting
support. It is combined with drainage of the yielding
zone to prevent groundwater from reaching the rock
above the tunnel roof and thus to prevent swelling of
the rock in this area.
For both design principles, the principle of resisting
support and the yielding principles it is assumed, that
water to initiate the maximum swelling load and full
swelling respectively is available in sufficient quan-
tities. Consequently the designed measures have to

Figure 18. Phenomenon of self-sealing.
be carried out over the full length of the tunnel in
swelling rock.
Based on observations the hypothesis was made,
that in the area of the transition from water bearing
to anhydritic rock, self-sealing due to swelling occurs
around the tunnel if the resisting principle is applied.
As a consequence of this self-sealing effect seepage
through the rock parallel to the tunnel and thus also
swelling is interrupted at a certain distance from the
water bearing formation (Fig. 18).
In a research project carried out by WBI a rock
mechanical and hydraulical model and a corre-
sponding 3D-FEM-code have been developed which
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Copyright 2006 Taylor & Francis Group plc, London, UK
describe the corresponding phenomena (Wittke, M.,
2003). It is expected that the results of this work will
lead to remarkable cost savings along with the design
of tunnels in swelling rock.
REFERENCES
BEICHE, H. 1991: Bemessung und Bau eines Tunnels in
anhydrithaltigem Gebirge. Proc. 9. Nat. Felsmechanik
Symposium, Aachen 1990, Sonderheft der Geotechnik,
208215.
GROB, H. 1972: Schwelldruck am Beipiel des Belchen-
tunnels. Sitzungsberichte Int. Symp. Fr Untertagbau,
Luzern, 99119.
GRTER, R.; LIENING, B. 1976: S-Bahn Stuttgart, Planung
und Bau der Haltestelle Schwabstrae (Baulos 11) und der
unterirdischen Wendeanlage (Baulos 12), Teil I. Deutsche
Gesellschaft fr Erd- und Grundbau e.V., Vortrge der
Baugrundtagung in Nrnberg.
KIEHL, J. R. 1990: Ein dreidimensionales Quellgesetz und
seine Anwendung auf den Felshohlraum. Proc. 9. Nat.
Felsmechanik Symposium, Aachen 1990, 185207.
KIRSCHKE, D.; KUHNHENN, K.; PROMMERSBERGER,
G. 1991: Der Freudensteintunnel: Eine Herausforderung
fr den planenden Ingenieur. Ibw 7, 539.
KLONSDORF, G.; SCHASER, F. 1991: Baudurchfhrung
des Freudensteintunnels, Bergmnnische und offene
Bauweisen. Ibw 7, 118172.
MARQUART, P. 2004: Die Geologie weist den Weg
Tunnelbau in den Gebirgsformationen rund um Stuttgart
und auf der Schwbischen Alb. Geotechnik 27, Nr. 2.
WITTKE, M. 2003: Begrenzung der Quelldrcke durch
Selbstabdichtung beim Tunnelbau im anhydritfhrenden
Gebirge. Geotechnik in Forschung und Praxis, WBI-Print
13, Verlag Glckauf GmbH, Essen.
WITTKE, W.; RILER, P. 1976: S-Bahn Stuttgart, Planung
und Bau der Haltestelle Schwabstrae (Baulos 11) und der
unterirdischen Wendeanlage (Baulos 12), Teil II. Deutsche
Gesellschaft fr Erd- und Grundbau e.V., Vortrge der
Baugrundtagung in Nrnberg.
WITTKE, W. 2004: Planung, Bau und berwachung
von Tunneln in quellfhigem Gipskeuper. Geotechnik
27, Nr. 2.
WITTKE, W.; WITTKE, M.; WAHLEN, R. 2004: Zum
Quellgesetz fr den anhydritfhrenden, unausgelaugten
Gipskeuper. Geotechnik 27, Nr. 2.
WITTKE-GATTERMANN, P. 1998: Verfahren zur
Berechnung von Tunnels in quellfhigem Gebirge und
Kalibrierung an einem Versuchsbauwerk. Geotechnik in
Forschung und Praxis, WBI-PRINT 1, Verlag Glckauf,
Essen.
 1.4 Numerical simulations

Copyright 2006 Taylor & Francis Group plc, London, UK

 EUROCK 2006 Multiphysics Coupling and Long Term Behaviour in Rock Mechanics
Van Cotthem, Charlier, Thimus & Tshibangu (eds)
2006 Taylor & Francis Group, London, ISBN 0 415 41001 0

A fully coupled poroviscoelastic model for in-situ stress determination

in the oil industry

M. Bloch & S.M.S. Freitas

Petrobras/CENPES, Rio de Janeiro/RJ, Brazil

F.R. Custodio
Chemical School/Federal University of Rio de Janeiro UFRJ, Rio de Janeiro/RJ, Brazil

ABSTRACT: A fully coupled poroviscoelastic model PVEM, has been developed for computing in-situ stress
magnitudes from Anelastic Strain Recovery data ASR, measured in rock samples immediately after coring from
oil wells. The in-situ stresses were back-calculated as the fitting parameters between ASR predictions generated
by the PVEM and the experimental field measurements. The boundary conditions for the coring process were
applied to an existing poroelastic formulation, providing the stress magnitudes through a non-linear optimization
method in the La Place domain. Results from the PVEM have been applied for simulating the rock behavior,
providing petroleum engineers with an input for wellbore stability simulation and horizontal well design. The
paper highlights the model formulation and the resources offered by a user-friendly computational interface,
especially developed within the MATLAB R12 environment (The MathWorks, Inc.) for ASR data processing.
A good match between the model and the experimental data validated the physical approach and the analytical
formulation with the numerical root search method.

1 INTRODUCTION or a mix of both have been reported, indicating that a

Whenever drilling new oil wells, the drilling engineer
faces the task of replacing the initial stress condition,
modified by the rock mass removal, in order to keep the
borehole stable. A good knowledge of the stress field
at specific depths then becomes an important issue.
In-situ stresses also play a major role in other typical
oil industry applications, like governing the orienta-
tion, length and width of hydraulic fracturing; help-
ing waterflooding schemes; and optimizing reservoir
drainage, among others.
Gathering the in-situ stress field deep underground,
nevertheless, has always been a challenge. Several
procedures are utilized by Petrobras, the Brazilian
oil operator, for estimating in-situ stress orientation
and magnitude. One of these methods is the Anelastic
Strain Recovery Test (ASR), which is able to provide
the complete stress field, based upon oriented coring
from exploratory wells.
The ASR test measures the rock strain relaxation
due to the stress relief immediately after coring. The
in-situ stress orientation is computed assuming that
principal strains and principal stresses have the same
azimuth. Inferring the in-situ stress magnitudes from
ASR data is more complex: rock expansion, shrinkage
coupled physical phenomena should be considered.
A fully coupled poroviscoelastic model PVEM
(Bloch & Roegiers 2003), herein presented, was
developed for computing in-situ stress magnitudes
back-analyzing ASR results. The model is capable
of reproducing any rock anelastic strain behavior in
cylindrical rock samples, coupling the pore volumet-
ric strain, due to porepressure diffusion, with the rock
solid deformation caused by the effective stress relief.
The classical poroelasticity equations for the cylin-
der problem were solved in the Laplace domain,
considering the boundary conditions for the coring
process. The rock mechanical properties, needed as
input data for the model, were obtained from rock
compression testing, while the viscous effects were
introduced by the modified Kelvin model and the
Viscoelastic Correspondence Principle VCP.
ASR predictions generated by the PVEM were fit-
ted to experimental measurements through non-linear
optimization, having the in-situ stresses as the adjust-
ing parameters. The developed software allows choos-
ing among several optimization methods, including:
(i) Simplex (Nelder-Mead) Algorithm; (ii) Quasi-
Newton (BFGS Hessian); (iii) Successive Quadratic
Programming; and (iv) Particle Swarm Optimization.

219

Copyright 2006 Taylor & Francis Group plc, London, UK

 The paper highlights the model formulation and
the resources offered by a user-friendly computational
interface, especially developed within the MatLab R12
environment (The Mathworks, Inc.) for ASR data pro-
cessing. The good match between the model and the
experimental data confirmed the validity of the cou-
pled poroviscoleasticity formulation for analyzing the
anelastic strain recovery process.

2 THE ASR TEST

The ASR test is a well known procedure for the oil

industry to estimate the in-situ stress orientation from
core analysis (Teufel 1982). The method has been fre-
quently compared to other methods (Bloch et al. 2005),
with good reproducibility.
The test simply measures the rock strain in 6 Figure 1. Orientation of the measured strains around the
orientations (Fig. 1), through 12 Linear Variable Dis- cylindrical rock sample.
placement Transducers LVDTs. (Fig. 2), allowing the
determination of the principal strains from typical rock
mechanics stress-strain formulas. Considering the in-
situ stresses as the principal stresses, they can be imme-
diately associated to the orientation of the principal
strains, which is the primary goal of the ASR test.
The principal strain orientations are given by the
eigenvectors from:

where xx is the strain in the xx-direction and super- Figure 2. Ring with the LVDTs for measuring the rock strain
script i represents the time interval. (after Terratek, 1995) in 8

4

samples.

3 CORING BOUNDARY CONDITIONS strain

E
In order to compute stress magnitudes from the ASR
test it is necessary to analyze the coring process, for- D
mulating the stress and porepressure variation on the C
surface of the rock sample since it is cut from the rock
mass.
The rock deformation in the coring process can be
considered in two steps: elastic, immediately at cor- B
ing, and anelastic, as the strain rate changes with time.
Figure 3 shows the elastic process from A to B, at the
coring instant (t = 0 ), while the anelastic process is A
represented from B to E. At C the sample is brought
to the surface (t = 1 ) and the ASR test preparation 0 1 t1 t2 time
(adjusting the LVDTs around the sample) goes from
C to D (t = t1 ). Strains are measured only from D to E Figure 3. Strain variation during coring.
(t = t2 ).

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Copyright 2006 Taylor & Francis Group plc, London, UK

 80

Anelastic Strain (microstrain)

WELL C
700 (sample # 1)
600
500
400
300
200
100
0
-100
0 6 12 18 24 30 36
Time (hour)

0.0E4 2.2E4 4.3E4 6.5E4 8.6E5 1.1E5 1.3E5

Time (sec)

Figure 5. Typical expansion data from ASR measurements

for well C, sample #1.

Figure 4. Total stress and porepressure variation at the Axis Direction

0
core external surface during coring: = total stress; xx
Anelastic Strain (microstrain)

p = porepressure; r = radial stress; pres = static pressure -150 yy

in the reservoir; pdf = drilling fluid pressure at the zz
drilling instant for over-balanced (o); balanced (b); and -300 aa
under-balanced (u) drilling; 0 = time instant when the sam- bb
ple is cored; 1 = time instant when the sample reaches the -450 cc
surface; t = 1 0 = recovering time.
-600

The stress and porepressure variation at the rock -750

surface can be considered equal to the drilling fluid
pressure in a hydrostatical condition, linearly decreas- -900
ing to the ambient pressure as the sample is brought to 0 6 12 18 24 30 36
Time (hour)
the surface (Fig. 4).
The equations for the hydrostatic stress and pore- 0.0E4 2.2E4 4.3E4 8.6E4 17.3E4 34.6E4 69.1E4
pressure variation in each trajectory shown in Figure 4
Time (sec)
are the boundary conditions for the PVEM. In the
Laplace space they are given by: Figure 6. Typical contraction data from ASR measurements
for well B, sample #1.

temperature effect, and extracted from ASR data. Nev-

where s is the Laplace variable and means that
the parameter is computed in the Laplace domain.
4 MODEL FORMULATION
Earlier models for computing stress magnitudes from
ASR results, like Blanton (1983) and Warpinsky &
Teufel (1986), have been able to equate the rock
behavior whenever the rock shows expansion after cor-
ing. Rock shrinkage, however, was considered only a
ertheless, Figures 5 to 7 show three different anelas-
tic strain patterns for Petrobras samples: expansion,
contraction or a mix of expansion and contraction,
after temperature corrections. The examples show that
something other than stress relief must be taken into
account for properly reproducing the rock anelastic
behavior.
The PVEM assumes that two competing mech-
anisms may affect the rock anelastic strain during
coring: pore volume shrinkage, due to pore pres-
sure diffusion as the core external pressure decreases
(Breretron et al. 1995); and the solid rock matrix
expansion, due to the stress relief.
The model is based upon the poroelastic solution
derived by Detournay & Cheng (1993) for a cylinder
deforming under plane strain conditions and axysim-
metric loading. Even though this solution only deals

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Copyright 2006 Taylor & Francis Group plc, London, UK

 300 having:
Anelastic Strain (microstrain)

200

100 Axis Direction

xx
yy
0 zz
aa
bb
-100
cc

-200
0 6 12 18 24 30 36
Time (hour)

0.0E4 2.2E4 4.3E4 8.6E4 17.3E4 34.6E4 69.1E4

Time (sec)

Figure 7. Typical mix of expansion and contraction data

from ASR measurements for well A, sample #1.

with the hydrostatic condition, deviatoric stresses can

be linearly added, once they are free from poroelastic
effects and can be obtained from the purely viscoelas- where D1 and D2 are integral constants, to be defined
tic formulation. Thus, any radial in-situ stress can be by the coring boundary conditions; is the poroelastic
computed with the PVEM. constant; R is the sample external radius; G is the rock
The anelastic strains generated by the physical shear modulus; S is the storage coefficient; r is the
model were then fitted to the strains mea- radial position; is Biots effective stress coefficient;
sured by the ASR, after experimental temperature cor- is Poissons ratio; u is Poissons undrained ratio; M
rections, through a back-analysis method, having the is Biots modulus; and k is the rock permeability.
in-situ stresses as the fitting parameters. Applying the boundary conditions for the cor-
Typical solutions for poroelasticity problems need ing process, and considering the VCP for including
four independent rock parameters, plus the permeabil- the rock properties time-dependency, the rock radial
ity, as input data. Among these, two parameters must displacement in the PVEM can be given by:
represent the rock drained behavior, while the other
two must be associated to the fluid flow. The most
common rock parameters were chosen for the model:
Youngs modulus, E; bulk modulus, K; undrained bulk having:
modulus, Ku ; and grain bulk modulus, Ks , all of them
routinely calculated from rock mechanics lab tests.
The viscous effects were introduced in the formula-
tion through Kelvins modified model, allowing the
rock parameters to be time-dependent, according to the
Viscoelastic Correspondence Principle VCP (Flgge
1975). In this case, two more constants were needed
for representing the rock viscous behavior: the long
term elasticity coefficient E2 and the solid viscosity,
E , which were experimentally determined from
creep tests. The conventional elasticity modulus, E1 ,
was assumed to represent the rock primary time-
dependency, according to the testing procedures
defined by Abousleiman et al. (1996).
The general solution for computing the displace-
ments in isotropic poroelastic medium was derived by
Detournay & Cheng (1993) as:
where the bar on top of the variables represent a vis-
coelastic constant; and Pr and pr are given by equations
(2) and (3), respectively.

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Copyright 2006 Taylor & Francis Group plc, London, UK


Figure 8. Stress field components around the core.
4.1 Back-analyzing the strains from the
ASR-3D test
The in-situ stresses were computed by solving an
inverse problem: 1 the rock anelastic strains were
calculated by the poroviscoelastic formulation, with an
initial guess for the radial hydrostatic and deviatoric
stresses, plus the rock properties from lab tests; 2
the theoretical strain pattern was iteratively compared
to the ASR experimental data; 3 the desired stresses
were computed by minimizing the difference between
the computed strain and the experimental value at each
instant, according to the error function given by:
Since the adopted poroelastic formulation is valid only
for axisymmetric loading, the stresses were decom-
posed in the hydrostatic and deviatoric components
(P0 and S0 in Figure 8). While the hydrostatic loading
leads to volumetric changes, and is affected by the pore
fluid, the deviatoric loading is completely elastic, and
can be obtained from the viscoelastic solution. Thus,
the hydrostatic case solved by the poroviscoelastic
approach, can later on be added to the viscoelastic solu-
tion for the deviatoric loading, representing a generic
stress field.
The error function, given by Equation 13, was then
minimized by the SIMPLEX algorithm (Caceci &
Cacheris 1984), having the following input data:
the rock mechanical parameters (Bloch 1999);
initial guesses on the hydrostatic and deviatoric in-
situ stress components;
the local field conditions, i.e.:
coring depth;
reservoir pressure (Pres );
drilling fluid pressure (Pdf );
sample recovery time (trec );
ASR test preparation time (tpre );
and the ASR test duration (ttest ).
5 DEVELOPED SOFTWARE
The initial PVEM version was written in For-
tran (Bloch 1999), being translated to MATLAB
223
Copyright 2006 Taylor & Francis Group plc, London, UK
Table 1. Field conditions for the analyzed wells.
Depth. Pres Pdf trec tpre ttest
Well (m) (MPa) (MPa) (h) (h) (h)
A 185.1 1.26 2.10 7.3 5.0 12.2
B 193.2 1.31 2.10 16.2 2.0 35.0
C 480.1 4.7 5.4 14.0 1.8 25.2
(The MathWorks Inc., version 6.1.0.450, release
12.1 from 2001) by Medeiros & Araujo (2002).
A few new features have been added to the pro-
gram, in order to improve the convergence of
the iterative process. Searching for the best fit
now has the option of starting with the SIM-
PLEX (fminsearch subroutine, available in the MAT-
LAB Optimization Toolbox), and being refined
through different algorithms, like: Quasi-Newton
method with the Broyden-Fletcher-Goldfarb-Shanno
BFGS update (fminunc from the MATLAB Opti-
mization Toolbox); Successive Quadratic Program-
ming (fmincon in the MATLAB Optimization Tool-
box); and, Particle Swarm Optimization (Kennedy &
Eberhart 1995).
The SIMPLEX minimization method was chosen
as the main root searching algorithm, since it has been
proven to be always convergent and more appropriated
for multidimensional minimization. The rock input
data (E1 , E2 , E , K, Ks , Ku , and k) were also considered
as fitting parameters, together with the in-situ stresses,
in order to take into account uncertainties from the
rock mechanics lab tests. Penalty functions, according
to well-known relationship among the rock parame-
ters, were utilized to avoid violation of any physical
principle during the minimization process.
6 FIELD APPLICATION
The PVEM has already been applied several times by
Petrobras, providing input data for several drilling and
completion operations. The results from the MATLAB
code are presented in this paper for three different wells
A, B and C. Two rock samples for each well were ana-
lyzed. The coring depths and the parameters needed for
the stress magnitude estimations are shown in Tables 1
and 2.
7 RESULTS
Figures 9 to 14 show the curve-fitting for the hydro-
static and deviatoric stresses on each of the tested
samples.
It can be seen that the method was able to fit sev-
eral types of strain behavior, except for the hydrostatic
 Table 2. Rock and porefluid properties.

E1 E2 E K Ks Ku k f
Well (MPa) (MPa) (Gpa.sec) (GPa) (GPa) (GPa) (md) (Pa.sec)

A 1.23 4.73 11.24E5 9.4 185.5 16.55 15.4 900

B 1.08 2.48 9.88E5 8.9 156.9 63.45 8.9 900
C 2.65 46.0 62.1E5 5.7 171.2 40.0 3.1 20.0

10 200

0 Well B (sample #1)

5 experimental - hydrostatic
PVEM - hydrostatic
-200 experimental - deviatoric
PVEM - deviatoric

Strain ()
0
Strain ()

-400

-5 Well A (sample #1)

-600
experimental - hydrostatic
PVEM - hydrostatic
experimental - deviatoric
-10 PVEM - deviatoric -800

-1000
-15 10 20 30 40 50 60
12 16 20 24 28 Time (hours)
Time (hours)
Figure 11. Curve-fitting for the hydrostatic and deviatoric
Figure 9. Curve-fitting for the hydrostatic and deviatoric strains from well B, sample #1.
strains from well A, sample #1.

80 400

40
Well B (sample #2)

0 experimental - hydrostatic
Well A (sample #2)
0 PVEM - hydrostatic
Strain ()
Strain ()

experimental - deviatoric
experimental - hydrostatic
PVEM - deviatoric
PVEM - hydrostatic
experimental - deviatoric
PVEM - deviatoric
-40
-400

-80

-120 -800
12 16 20 24 28 10 20 30 40 50 60
Time(hours) Time(hours)

Figure 10. Curve-fitting for the hydrostatic and deviatoric Figure 12. Curve-fitting for the hydrostatic and deviatoric
strains from well A, sample #2. strains from well B, sample #2.

224

Copyright 2006 Taylor & Francis Group plc, London, UK

 400 shrinkage or a combination of expansion and
shrinkage.
Comparing results from the Matlab code with the
300 previous Fortran output (Bloch & Roegiers 2003),
showed a visible increase in the fitting quality. The
improvement may be attributed to a more robust
200
formulation with the Matlab Toolbox Functions.
Strain ()

Well C (sample #1)

The software now is in a very user-friendly for-
experimental - hydrostatic
mat, and can be quickly applied to any new ASR test,
PVEM - hydrostatic providing reliable in-situ stress magnitude data.
100 experimental - deviatoric
PVEM - deviatoric The largest limitations for the method are the rock
anisotropy and heterogeneity. Not all the rock sam-
ples anelastic behavior is completely due to the stress
0 relief and porepressure diffusion. If chemical inter-
actions are present, like in shale samples with high
clay content, special care must be taken with the
-100 sample handling. Highly unconsolidated sandstones
10 20 30 40 50
Time (hours)
rapidly dissipate all of their internal energy after cor-
ing, making it impossible to acquire the anelastic strain
Figure 13. Curve-fitting for the hydrostatic and deviatoric behavior with the ASR test.
strains from well C, sample #1.

80
REFERENCES
Abousleiman, Y., Cheng, A.H.-D., Roegiers, J.-C. 1996.
40 Poroviscoelastic analysis of borehole and cylinder prob-
lems, Acta Mechanica 119: 119219. Springer-Verlag.
Blanton, T.L. 1983. The relation between recovery defor-
Well C (sample #2)
mation and in-situ stress magnitudes. SPE 11624, pre-
0
sented at the SPE/DOE Symposium on Low Permeability,
Strain ()

experimental - hydrostatic
PVEM - hydrostatic Denver, USA.
experimental - deviatoric Bloch, M. 1999. In-Situ stress determination in porous for-
PVEM - deviatoric
-40 mation. Ph.D. Dissertation presented at the University of
Oklahoma, Norman/OK USA.
Bloch, M., Freitas, S.M.S., Socorro, M., Soares, J.A.,
Bacelar, C.J.R. 2005. In-Situ stress determination based
-80 upon borehole imaging and rock-sample analyses: a
comparison among anelastic strain recovery (ASR),
acoustic velocity and acoustic tomography. Paper SPE
-120
94919, presented at the Latin American and Caribbean
10 20 30 40 50 Petroleum Conference LACPEC, Rio de Janeiro
Time (hours) Brazil.
Bloch, M., Roegiers, J.-C. 2003. In-Situ stress determina-
Figure 14. Curve-fitting for the hydrostatic and deviatoric tion from anelastic strain recovery tests. Proc. Rock Stress
strains from well C, sample #2. Conf. Kumamoto, Kumamoto Japan.
Breretron, N.R., Chroston, P.N., Evans, C.J. 1995. Pore
pressure as an explanation of complex strain recovery
strain case for well A, sample 1, with expansion and results. Rock Mechanics and Rock Engineering 8: 5966.
contraction. For well C, sample 2, the initial shrinkage Springer-Verlag.
followed by expansion was perfectly fit by the Matlab Caceci, M.S., Cacheris, P. 1984. Fitting curves to data the
code. SIMPLEX algorithm is the answer. Green Publishing Inc.
Detournay, E., Cheng, A.H.-D. 1993. Fundamentals of
poroelasticity Comprehensive Rock Engineering: Prin-
ciples, Practice and Projects,Analysis and Design Method
8 CONCLUSIONS AND RECOMMENDATIONS
II: 113171. Paragon Press.
Flgge, W. 1975. Viscoelasticity. Springer-Verlag, 2nd
The poroviscoelastic model has presented very edition.
satisfactory results, as shown by the resulting curve- Kennedy, J. e Eberhart, R. 1995. Particle swarm optimiza-
fittings. The models largest advantage is the possibil- tion. Proc. IEEE Intl. Conf. On Neural Networks. Perth,
ity of back-analyzing any strain trajectory: expansion, Australia.

225

Copyright 2006 Taylor & Francis Group plc, London, UK

 Medeiros, J.L., Araujo, O.Q.F. 2002. In-Situ stress magni-
tude computation from ASR data user manual. Federal
University of Rio de Janeiro UFRJ Chemical School.
Terratek Inc. 1995. Anelastic strain recovery ASR 3D
Operations Manual.
Teufel, L.W. 1982. Predictions of hydraulic fracture azimuth
from anelastic strain recovery of oriented core. Porc. Of
the 23rd Symposium on rock Mechanics. NewYork, USA.
Warpinski, N.R., Teufel, L.W. 1986. A viscoelastic consti-
tutive model for determining in-situ stress magnitudes
from anelastic strain recovery of core. SPE 15368. Pre-
sented at the 61st SPE Annual Technical Conference and
Exhibition, New Orleans, USA.

226

Copyright 2006 Taylor & Francis Group plc, London, UK

 EUROCK 2006 Multiphysics Coupling and Long Term Behaviour in Rock Mechanics
Van Cotthem, Charlier, Thimus & Tshibangu (eds)
2006 Taylor & Francis Group, London, ISBN 0 415 41001 0

Modeling of water uptake and swelling in highly compacted bentonite

for environmental sealing barriers laboratory and large-scale
experiments and numerical simulation

J. Gattermann
WBI W. Wittke Consulting Engineers for Tunneling and Geotechnical Engineering Ltd.,
Aachen/Stuttgart, Germany

ABSTRACT: One alternative to close a radioactive waste repository in rock salt is the construction of a Cross
Section Closure (CSC) sealing barrier. The proposed material for the CSC is highly compacted bentonite.
To investigate the swelling behaviour of a highly compacted bentonite a large number of laboratory tests were
performed. In addition, large scale model test were carried out to demonstrate the development of a nearly homo-
geneous and isotropic swelling pressure. The results of the large scale model tests were interpreted numerically
based on the models for stress-strain behaviour and water uptake which are implemented in the finite element
codes FEST03 and HYDOPO. The investigations show a good agreement of the results of the model tests and the
corresponding analyses and show, that the theoretical models are capable of describing the behaviour of sealing
structures based on highly compacted bentonite.

1 INTRODUCTION

The tunnels and shafts of underground repositories for

nuclear or chemical waste, placed in geological bar-
riers, need to be sealed after the deposition of waste
in the underground cavities. Several demands on the
sealing, like very low hydraulic and gas conductivity
and high resistance against chemical attack or nuclear
radiation, are made. The sealing also has to bear the
overburden pressure.
At present, several shutdown conceptions for radio-
active waste repositorys are being discussed. In a Figure 1. Closing of an existing drift with a Cross Section
repository for radioactive waste, the rate of water infil- Closure (Wittke, 1996).
tration into the near field has to be restricted in order
to reduce potential migration of radionuclides to the
biosphere. In the case of natural geological barriers, backfill (Fig. 1). It is expected that the highly com-
e.g. a salt dome, groundwater flow is determined by pacted bentonite is able to seal the drift and to carry
the characteristics of the host rock. For the engineered the loads due to overburden and fluid pressure (Wittke
barrier system it is possible to restrict water flow et al., 1998).
rates to acceptable levels by selecting suitable sealing
materials. Highly compacted bentonite is recognized
to be an economical and reliable material that is rela- 2 LABORATORY TESTS TO DETERMINE THE
tively easy to handle and has a low permeability. SWELLING PROPERTIES OF HIGHLY
The suggested CSC concept is illustrated in Fig. 1 COMPACTED BENTONITES
(Wittke, 1996). Its main component is a spherical
masonry dam, which will be built of highly compacted The swelling properties of bentonites were investi-
bentonite bricks. Before completion of the CSC, the gated by watering them with different salt solutions
existing drift must be enlarged to remove the disturbed and distilled water.
rock zone and to avoid fluid transport around the CSC. To determine the influence of density and saturation
The bentonite dam will be supported on both sides with on the swelling properties, several uniaxial swelling

227

Copyright 2006 Taylor & Francis Group plc, London, UK

 60
swelling pressure q [MPa]

fully saturated S r = 1.0

50

40

30

20
partially saturated S r = 0.6

10

partially saturated S r = 0.2

0
1,55 1,60 1,65 1,70 1,75 1,80 1,85 1,90 1,95 2,00
dry density d0 [t/m3]

Figure 2. Swelling pressure of a highly compacted bentonite

(Montigel, distilled water) at different degrees of saturation.

Figure 4. Cross-section of the model.

60
swelling pressure q [MPa]

50
Montigel and distilled water

40

30

20

10 Montigel and NaCl-Solution

0
1,55 1,60 1,65 1,70 1,75 1,80 1,85 1,90 1,95 2,00
dry density d0

Figure 3. Swelling pressure of highly compacted ben-

tonite (Montigel) at full saturation for two different types
of irrigation fluids.

tests with lateral constraint were performed to mea-

Figure 5. Bentonite masonry.
sure the maximum axial swelling stress under zero
axial strain and the axial swelling strain under constant model are scaled down to one fifteenth of the suggested
stress. Fig. 2 shows the determined swelling pressure CSC. The cross-section of the model constructed for
q as a function of the dry density d0 and the degree of the tests is shown in Fig. 4.
saturation Sr for Montigel, an activated Ca-bentonite The host rock is substituted with a two-part spheri-
from Bavaria. The test fluid was destilled water. cal cast steel vessel with an inner diameter of 800 mm.
Swelling tests with highly concentrated salt solu- On the left and the right side of the masonry a filter-
tions were also performed. Fig. 3 shows the com- stone was placed to allow the watering of the bentonite
parison of swelling pressures of Montigel samples bricks inside and to measure the permeability. To mea-
measured at full saturation (Sr = 1,0) for destilled sure the swelling pressures inside the cast steel vessel,
water and saturated NaCl solution as a function of dry 14 pressure cells were installed. Fig. 5 shows the ben-
density. The measured swelling pressure for a saturated tonite masonry before closing the model with the upper
NaCl solution as test fluid are significantly lower than part of the casting vessel.
for distilled water at the same dry density. Three large-scale tests were performed using
Montigel and Deponit CA, a natural Ca-bentonite. The
bentonite bricks were manufactured with a dry density
3 LARGE-SCALE TESTS of 1.96 t/m3 and a water content of approx. 12%. The
dry density of the bentonite bricks achieved depends
To prove the required functions of the CSC, large-scale on the compaction pressure applied (Gattermann,
model tests were performed. The dimensions of the 1998).

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Copyright 2006 Taylor & Francis Group plc, London, UK

 Figure 6. Relationship between compaction pressure and
dry density.
Figure 8. Large scale test, swelling pressure (pressure cells
114).

bentonite sphere was not yet homogeneous. For details

see Gattermann (1998).

4 MODEL FOR THE STRESS-STRAIN

BEHAVIOUR USING THE COMPUTER CODE
FEST03

The finite element program code FEST03 developed

by Wittke (2000) allows the computation of stresses
and displacements for general three-dimensional engi-
neering problems assuming linear-elastic viscoplastic
behaviour. Furthermore, the program system is able
to take into account the swelling behaviour of ben-
tonite. The three-dimensional swelling law used for
this purpose was developed by Kiehl (1990) and
Figure 7. Design of the bricks.
Wittke-Gattermann (1998). According to the swelling
law, the total strain rate consists of elastic, swelling
The geometrical design of the bricks is shown in and viscoplastic components:
Fig. 7. The gaps (2 mm) between each brick in the
model permit the watering of the bentonite.
Five days after filling the gaps with water
the swelling pressure has reached approx. 5.5 MPa
(Fig. 8). At that time all the gaps were closed due to The elastic components of strain can be related to
the swelling process. The bentonite was partially satu- the stress components, according to the generalized
rated with an average water content of approx. 17%. To Hookes law:
achieve higher degrees of saturation in the bentonite,
a second watering started on the fifth day. For this pur-
pose the two filterstones were used. After a period of
time the outer zones nearby the filterstones became
more saturated than the inner regions. Due to the sec- Thus, the elastic strain rate in equation (1) can be
ond watering, the swelling pressure inside the cast steel calculated as follows:
vessel increased up to 13 MPa (cell 1) over the next 175
days. After a test duration of 180 days the bentonite is
not completely saturated. Thus, the state of stress in the

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Copyright 2006 Taylor & Francis Group plc, London, UK

 The development of time-dependent principle strains
due to swelling is defined as a function of the principle
stresses:
swelling
Here i (t) are the principal swelling strain rates
swelling
at the time t. i, are the principal swelling strains
swelling
at the time t , and i (t) are the swelling
strains which have already occurred until the time t.
The parameter S in (4) is referred to as swelling time
parameter.
swelling
i, can be written as follows:
In equation (5) Kq describes the inclination of a
straight line which is obtained in a stress vs. swelling
strain diagram in a semi-logarithmic scale.
0 is the stress at which the swelling strain is equal
to zero. The swelling parameters Kq and 0 are func-
tions of the dry density, the water content, the type of
bentonite and the watering fluid.
The increase in the visco-plastic components of
strain is defined using the derivative of the plastic
potential Q with respect to the stress tensor . VP
denotes the viscosity of the material during visco-
plastic strain (Perzyna, 1966). The size of the yield
function F indicates the distance between the actual
state of stress and the failure envelope describing the
residual strength (F = 0).
The Mohr-Coulomb failure function F used here is
represented by the residual value of the cohesion cR
and the angle of internal friction R (Wittke, 1990):
The plastic potential Q is defined analogously to the
function F. Here, is referred to as the angle of
dilatancy:
230
Copyright 2006 Taylor & Francis Group plc, London, UK
Figure 9. One-dimensional diffusion process.
5 MODEL FOR WATER UPTAKE USING THE
COMPUTER CODE HYDOPO
The water uptake of the bentonite can be described
like a diffusion process (Bucher & MllerVonmoos,
1987). Therefore, in the one-dimensional example
shown in Fig. 9, the change in water content can be
described by the following differential equation:
where D is the diffusion coefficient for water uptake
and w is the water content corresponding to the con-
centration in a diffusion process. Laboratory tests
could be successfully interpreted assuming D to be
constant with time and space and independent of water
content.
A three-dimensional diffusion process correspond-
ingly is described by the following differential
equation:
This equation is implemented in the finite element
code HYDOPO (Erichsen, 1997).
6 FINITE ELEMENT ANALYSES MODELING
THE LARGE SCALE MODEL TESTS
Fig. 10 shows the finite element mesh used for the
computations. The mesh consists of 1984 elements and
9241 nodes. The initial and boundary conditions for
the computation are also shown in Fig. 10. The filter-
stones are pervious boundaries whereas the remaining
boundaries of the computation section can be regarded
as impervious. As initial condition, each node of the
mesh must have a stipulated water content wsp , which
is the mean water content in the bentonite after the ini-
tial watering. Hence the water content for every point
and time can be calculated.
One result of these computations is shown in Fig. 10
for the time t = 180 days. To verify these results, the
calculated water inflow through the filterstones was
 Figure 12. Measured and computed swelling pressure.
Figure 10. FE-mesh, boundary conditions and results
(t = 180 days) of computed water inflow.

Figure 11. Measured and computed water inflow through

the filterstones.

compared with the measured one (Fig. 11). Due to the

low permeability of the bentonite, the water flow rates
into the model were very small.
With the computed distribution of the water content
and the experimental data shown in Fig. 2, it is possible
to determine the swelling parameters for all points and
times in the large scale model. Knowledge of the elastic
constants and strength parameters, which could also be
obtained from laboratory tests, enables the calculation
of the stresses and strains occurring in the model for
the times considered. The boundary conditions for the
computation of the stresses and strains have to allow
Figure 13. Measured and computed swelling pressure, cells
15, t = 180 days.
prescribed swelling strains of the bentonite due to the
initial gaps. Fig. 12 shows a comparison of the calcu-
lated and measured stresses. Fig. 13 exemplarily shows
for a time of t = 180 days after the initial watering
measured and computed stresses.
Note that the results of the computations show
a good agreement with the experimental data
(Gattermann, 1998).

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Copyright 2006 Taylor & Francis Group plc, London, UK

 7 CONCLUSIONS
With the presented three-dimensional swelling law,
which is implemented in the finite element code
FEST03 (Wittke, 2000), it was possible to calculate
the development of the stresses and strains in a sealing
component. The parameters used in the computa-
tion were based on the results of laboratory tests.
The three-dimensional numerical simulations carried
out correspond well with the measured results in the
large-scale test.
REFERENCES
BUCHER F. & MLLER-VONMOOS, M. (1987) Bentonit
als technische Barriere bei der Endlagerung hochradioak-
tiver Abf lle. Mitteilungen des IGB der ETH Zrich, 133,
5164.
ERICHSEN C. (1997) Grundwassermodell fr rumliche,
instationre Strmungen in doppelt porsen Medien.
Deponien und Altlasten, (W. Wittke, editor) Balkema,
Rotterdam, 161172.
232
Copyright 2006 Taylor & Francis Group plc, London, UK
GATTERMANN J. (1998) Theorie und Modellversuch fr
ein Abdichtungsbauwerk aus hochverdichteten Bentonit-
formsteinen. Geotechnik in Forschung und Praxis, WBI-
Print 2, (W. Wittke, editor) Verlag Glckauf, Essen.
KIEHL J.R. (1990) Ein dreidimensionales Quellgesetz und
seine Anwendung auf den Felshohlraumbau. 9. Nationales
Felsmechanik Symposium der DGGT, Sonderheft der
Zeitschrift Geotechnik, Aachen, 185207.
PERZYNA P. (1966) Fundamental problems in viscoplastic-
ity. Advances in Applied Mechanics 9, 243377.
WITTKE W. (1996) Abdichtung von Strecken im Endlager
Morsleben mit hochverdichtetem Bentonit. Geotechnik 4,
304311.
WITTKE W. (2000) Stability Analysis for Tunnels, Fun-
damentals. Geotechnical Engineering in Research and
Practice, WBI-PRINT 4, (WBI, editor) Verlag Glckauf,
Essen.
WITTKE W., SCHMITT D. & GATTERMANN J. (1998)
Verschliekonzepte fr Untertagedeponien Entwurf und
geotechnische Nachweise. Geotechnik 3, 212216.
WITTKE-GATTERMANN P. (1998) Verfahren zur Berech-
nung von Tunnels in quellfhigem Gebirge und Kalib-
rierung an einem Versuchsbauwerk. Geotechnik in
Forschung und Praxis, WBI-Print 1, (WBI, editor) Verlag
Glckauf, Essen.
 EUROCK 2006 Multiphysics Coupling and Long Term Behaviour in Rock Mechanics
Van Cotthem, Charlier, Thimus & Tshibangu (eds)
2006 Taylor & Francis Group, London, ISBN 0 415 41001 0

Numerical modelling of the effect of weathering on the progressive

failure of underground limestone mines

Siavash Ghabezloo1 & Ahmad Pouya

Laboratoire Centrale des Ponts et Chausses, Paris, France
1 Presently in CERMES, Ecole Nationale des Ponts et Chausses, Paris, France

ABSTRACT: The observations show that the collapse of underground limestone mines results from a progres-
sive failure due to gradual weathering of the rockmass. The following stages can be considered for the limestone
weathering and degradation process in underground mines: condensation of the water on the roof of the gallery,
infiltration of the water in the porous rock, migration of the air CO2 molecules in the rock pore water by convection
and molecular diffusion, dissolution of limestone by CO2 rich water and consequently, reduction of the strength
properties of rock. Considering this process, a set of equations governing different hydro-chemo-mechanical
aspects of the weathering phenomenon and progressive failure occurring in these mines is presented. Then the
feasibility of numerical modelling of this process is studied and a simple example of application is presented.

1 INTRODUCTION

Many underground limestone mines exist in France

particularly in the Parisian and Normandy regions.
The failure of these underground mines causes dam-
ages on infrastructures and buildings on the ground
surface and sometimes their total ruin. An overview
of the existing methods for modelling the failure of
underground mines shows that they cannot predict ade-
quately the progress rate and the occurrence time of
this phenomenon. The objective of this paper is first to
present a set of equations governing different hydro-
chemo-mechanical aspects of the progressive failure
process occurring in these mines. Then, the feasibility
of numerical modelling of this process will be studied
and a simple example of application will be presented.

2 FAILURE MECHANISM

Observations on various cases show a typical type of

failure that emerges brutally to the ground surface
by creating a pseudo-circular crater (Fig 1d), called
fontis, begins with a localized failure at the roof of
Figure 1. Mechanism of gradual failure of underground
the gallery (Fig 1a). The rise of the bell shaped rupture
limestone mines.
to the roof of the gallery generally follows the local
ruptures of the roof. This process can evolve to stabil-
ity due to presence of a resistant and stiff layer that is on the surface, in the form of a crater (Tritsch et al.
opposed to the development of failure. The rise of the 2002, Abbas Fayad 2004). The diameter and the depth
rupture thus stops as long as there are not any more new of the fontis can vary between a few meters and sev-
degradations on the level of the high-roof. With time, eral tens of meters according to the geometry of the
the resistance of the stable layer could be degraded and mine, nature and the thickness of the covering layers
the failure process continues until the rupture emerges and the presence of a water table in these layers.

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Copyright 2006 Taylor & Francis Group plc, London, UK

 The results of in-situ experiments of Morat et al. 12,0

(1999) can help to understand the mechanism of 10,0

gradual degradation and failure in the underground
limestone mines. They observed that if mirrors are 8,0 n=0.37

Rc (MPa)
placed near the floor, walls (or pillars) and roof of a Rc = 4.9Sr0.11
6,0
cavity, it is apparent that water condenses on the roof
4,0
and the upper part of the pillars but not at the bottom of
the pillars nor on the floor where mirrors remain dry. 2,0 n=0.41
Furthermore, deposits of calcite on the floor and lower Rc = 3.4Sr0.11
0,0
part of the pillars constitute indirect evidence of water 0,00 0,20 0,40 0,60 0,80 1,00 1,20
evaporation. They carried out the experiments in the Degree of saturation, Sr
Mriel quarry, 46 Km northwest of Paris, dug accord-
ing to the rooms and pillars method. The porosity of Figure 2. Reduction of compressive strength by degree of
limestone was in the 2545% range (Jouniaux et al. saturation (Thierry 1987).
1996) and the water saturation was between 60 and
80%. Temperature, air pressure and relative humidity 16,0 1,4

measurements in the gallery and self-potential record- 14,0 1,2

Rt = 6.6n + 3.3
ings in the walls of gallery evidenced the oscillatory 12,0 1,0
convective motions of the air of the gallery, driven by 10,0

Rt (MPa)
Rc (MPa)
0,8
the geothermal gradient, which transports water and 8,0
0,6
heat. The temperature difference between the floor 6,0
and the roof of the gallery is lower than that which 4,0
Rc = 85.8n + 38.8 0,4

would give the normal geothermal gradient, indicat- 2,0 0,2

ing that the transport of heat is more effective in the 0,0 0,0
air of the gallery than through the wall-rock. Conse- 0,28 0,32 0,36 0,40 0,44
Porosity, n
quently, they noted that the water, which evaporates
on the floor of the gallery, is transported by convec- Figure 3. Reduction of compressive and tensile strength by
tion to the roof where it condenses and enters the rock. porosity for saturated samples (Thierry 1987).
This water attacks the rock, preferentially along the
existing cracks. The water can invade these cracks, 14,0
enlarge them by dissolution and cause the failure of
12,0
the roof. The process will repeat itself and in some
cases can cause the appearance of the fontis on the 10,0
ground surface. The mechanism of the gradual failure
E (GPa)

8,0
is summarized in the figure (1). The time needed for
the completion of this process depends on the thick- 6,0 E = 56n + 28

ness of the competent layer. For limestone quarries in 4,0

the Paris region, it seems to vary from a few tens of
years to a few centuries (Morat et al. 1999). 2,0

3 PHYSICO-MECHANICAL PROPERTIES
OF LIMESTONE
Massieu (1984), Thierry (1987) and Pothrat et al.
(2002) studied the physico-mechanical properties of
the limestone of the underground quarry of Villiers-
Adam, located in Val dOise. Measurements of degree
of saturation show that the samples taken in the roof
have the highest degrees of saturation, between 85
and 100%. The degree of saturation of the pillars
ranges between 58 and 72% and the separated blocks
on the floor have the smallest degree of the satu-
ration, located between 49 and 57%. These results
are coherent with the evaporation and condensation
process, described by Morat et al. (1999). The pet-
rographic analysis shows that the limestone of the
underground quarry of Villiers-Adam is constituted
0,0
0,25 0,30 0,35 0,40 0,45
Porosity, n
Figure 4. Reduction of Youngs modulus by porosity for
saturated samples (Thierry 1987).
approximately of 90% calcite. More than four hundred
porosity measurements show that the values of poros-
ity are between 28 and 46% with an average value of
37,7%. The results of the uniaxiale compression tests
show the strong influence of the degree of saturation
on the compressive strength of limestone (Figure 2).
The results of the tests on the samples with differ-
ent porosities show the decrease of the compressive
strength of the saturated rock with porosity increase
(Figure 3). An increase in the porosity from 30 to 40%
involves a reduction in the compressive strength from
13 to 4.5 MPa. The results of Brazilian tests show the

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Copyright 2006 Taylor & Francis Group plc, London, UK

 same influence of the porosity on the tensile strength
of saturated limestone (figure 3). Rc and Rt in the fig-
ures (2) and (3) are respectively uniaxiale compressive
strength and tensile strength. The values measured for
the Youngs modulus were relatively dispersed, vary-
ing between 4600 and 12000 MPa. The results shown
in Figure (4) indicate that this modulus decreases for
higher porosities.
4 PROPOSED METHOD: EFFECT OF
WEATHERING
As described before, the observations show that the
collapse of underground limestone mines results from
a gradual phenomenon of weathering of the rockmass
leading to a progressive failure.
4.1 Weathering process
Considering the in-situ experiments of Morat et al.
(1991) in the limestone quarry of Mriel and the stud-
ies of Massieu (1984), Thierry (1987) and Pothrat
et al. (2002) on the physico-mechanical properties of
the limestone of the underground quarry of Villiers-
Adam, we can consider the following mechanism for
the weathering of limestone in underground cavities.
Hajna (2002) observed a more or less identical mech-
anism in several natural cavities of limestone and
dolomite in Slovenia.
Water evaporates on the floor and condenses on
the roof of the cavity. Consequently, water is always
present on the surface of the roof and infiltrates in
the unsaturated rock. Infiltration of water in the rock
causes the increase of the degree of saturation and as
shown before, it decreases the strength properties of
the rock. The pure water condensed on the roof dis-
solves the airs CO2 and becomes acidic. The quantity
of CO2 dissolved in unit volume of water depends on
its partial pressure in the cavity air and the temperature.
So the water infiltrating the rock is rich in CO2 and
acidic and causes dissolution of calcite. Besides, the
CO2 concentration on the surface is higher than within
the rockmass. This concentration gradient causes an
inward migration of CO2 from the rock surface by
molecular diffusion. Consequently, the concentration
of saturation of Ca2+ ions in the rock pore water
increases and the limestone continues to dissolve in
its pore water. By this mechanism of limestone dis-
solution, the porosity increases and consequently the
mechanical degradation continues even without more
water infiltration. To include all these mechanisms
in the model, we consider four stages in the weath-
ering process of limestone: 1) infiltration of water
in the rock which increases the degree of saturation,
2) inward migration of dissolved CO2 from the roof
surface by advection and molecular diffusion, 3) dis-
solution of limestone, 4) mechanical degradation or
235
Copyright 2006 Taylor & Francis Group plc, London, UK
reduction in the strength parameters of limestone due
to the increase in the degree of saturation and also in
the porosity of the rock.
By introducing the kinetic model and characteristic
times of these different processes in the global model,
we can elaborate a model for the weathering process
of limestone and gradual failure of the underground
cavities including the temporal aspect. Thus, it is nec-
essary to study four different phenomena and try to
model them: 1) water transfer, 2) diffusion-advection,
3) limestone dissolution, 4) mechanical degradation.
In the following sections we describe separately these
phenomena and their models.
4.2 Water transfer phenomenon
The hydraulic head is deduced from the potential of
water and is written:
Where H is the hydraulic head, S is the suction, w
the specific weight of water, z is the elevation and h is
the pressure head. To calculate the suction according
to the water content, the following equation is used
(Kaufmann 2003):
Here is volumic water content, Sr is degree of
saturation, n is porosity and is an experimental
constant.
Darcys law is assumed to remain valid in unsatu-
rated medium and the permeability is supposed to be
constant:
Where V is velocity and K is permeability. The con-
tinuity equation expresses the mass conservation for
the water in the case of incompressible unsaturated
medium:
4.3 Diffusion-advection phenomenon
The transport of the solids dissolved in rock pore
water can occur via two mechanisms, advection and
diffusion. The advection results from the movement
of water while diffusion occurs because of gradi-
ents of concentration in the medium (Fetter 1999).
The total mass of the dissolved materials per unit of
 area, transported per unit of time is described by the
following equation:
Where v is mean velocity, C is molarity (M/L3 ) and
D is coefficient of diffusion (M2 /T). By writing the
equation of mass conservation for a representative ele-
mentary volume and considering the mass produced by
chemical reactions we find:
Where R is the reaction rate of calcite dissolution
defined as the mass produced by chemical reactions
in unit volume of water per unit of time.
4.4 Dissolution phenomenon
4.4.1 Dissolution mechanism
Limestone dissolves in water and the presence of
carbon dioxide increases the calcite solubility. The
dissolution of calcite in water in presence of carbon
dioxide is given by the following reaction (Plummer
et al. 1978, Plummer and Busenberg 1982, Dreybrodt
and Gabrovsek 2003):
In this reaction, for each calcite molecule released
from the rock, a carbon dioxide molecule is consumed
by conversion into bicarbonate ions. The result of
the equilibrium chemistry is the equation describing
the molarity of Ca2+ in equilibrium according to the
CO2 partial pressure, PCO2 . (Dreybrodt and Gabrovsek
2003, Dreybrodt 1988, Kaufmann 2002):
In this equation K1 , K2 , KC and KH are empirical
mass balance coefficients that depend on the temper-
ature. Ca and HCO3 are respectively the ion activity
coefficients of calcium and bicarbonate (Plummer &
Busenberg 1982, Kaufmann 2002). The CO2 molarity,
CCO2 is given by:
If the coefficients Ca and HCO3 in equation (9) are
taken equal to 1, then this equation and (10) allow us
to write:
4.4.2 Dissolution kinetics
The rate of dissolution of calcite depends mainly on
chemical saturation of water and can be shown by this
Copyright 2006 Taylor & Francis Group plc, London, UK
empirical equation (Kaufmann 2003, Palmer 1991 &
2003, Dreybrodt et al. 1996):
Where kcal is the reaction coefficient (M/L3T) and
ncal is the order of reaction. CCa2+ and [CCa2+ ]eq are
respectively molarity and saturation molarity of dis-
solved calcite in water (M/L3 ). The ratio of these terms
is called saturation ratio. The values of ncal and kcal
change with saturation ratio, temperature and CO2
partial pressure.
4.5 Degradation phenomenon
The dissolution of calcite increases the volume of voids
and thus the porosity of rock. The porosity increase is
equal to the volume of dissolved calcite per unit of fluid
volume, multiplied by the volumic water content:
In these relations, dV v is the variation of volume of
the voids, Vt is total volume and dV cal and dC Ca2+ are
respectively the variation of volume and the number
of moles of dissolved calcite. m is mass of a mole of
limestone and M is mass of one litre of limestone.
Using the equations (12) and (13), we obtain:
The mechanical degradation in our model has two dif-
ferent origins. The first one is the increase in degree
of saturation. The second one is the porous matrix dis-
solution and porosity increase. As a matter of fact, in
laboratory experiences if the water injected in a rock
sample is not chemically saturated with the rock min-
erals, then it can also dissolve these minerals. In this
case the two effects mentioned above contribute simul-
taneously to mechanical degradation of the rock. To
separate the parts of strength reduction due to these
mechanisms, specific testes have to be realised with
chemical control of the water injected to the sample or
passing through and leaching it. In the data given in
figures (2) and (3) the effects of the two mechanisms
of mechanical degradation are superposed. Since we
have not other data allowing us to separate the part of
the two mechanisms, we admitted as a work assump-
tion, that the reduction in the mechanical parameters
can be attributed to the first effect (degree of saturation
increase) for 80%, and to the other one (dissolution)
for 20%. Supposing the partial pressure of carbon
dioxide, PCO2 , equal to 0,003 atm (Palmer 1991) and
using equation (9) we can deduce from the data of the
figure (2) the reduction of the compressive strength
versus the dissolved mass of limestone (Figure 5). We
236
 12,0
10,0
8,0
Rc (MPa)
6,0
4,0
10000C
2,0 Rc= 6.9e
0,0
0,0E+00 2,0E-05 4,0E-05
Dissolved calcite (Moles)
Figure 5. Variation of the compressive strength due to
dissolution of calcite deduced from the data of figure (2).
calculated from the data of the figure (2) for n = 0.37,
the quantity of dissolved calcite corresponding to the
volume of water that enters the rockmass and increases
the degree of saturation.
Considering an exponential function for the
strength reduction and using the assumption described
above for attributing 20% of the strength reduction to
dissolution phenomena, we can calculate the rate of
variation of compressive strength as a function of the
mass of dissolved calcite:
According to the data of figure (3), the tensile strength
is about 12% of the compressive strength; therefore we
can also use the equation (15) to evaluate the tensile
strength reduction.
5 APPLICATION TO THE CAVITY FAILURE
To study the effect of weathering on the gradual failure
of the underground limestone mines we consider an
underground cavity at 20 m depth. The geometry of
the model is presented in Figure (6). For the numerical
modelling we use the part delimited by the dashed lines
(square of 9 m).
5.1 Initial conditions
To define the initial conditions of the molarity of Ca2+
in the limestone mass before digging of the cavity,
we consider the dissolution in a closed system with
the initial partial pressure of CO2 equal to 0.003 atm
(Palmer 1991). The initial value of molarity of Ca2+ is
calculated equal to 1.607 104 mole/litre. The initial
value of the molarity of CO2 in the mass of limestone
is null, but to avoid the numerical difficulties, we take
a very low value. The initial porosity of limestone in
the solid mass is constant. To define the hydraulic ini-
tial conditions, we calculate the values of the volumic
water content such that the water transfer velocity in
the equation (4) is null, in other words, there is no flow
of water before the digging of the cavity.
Copyright 2006 Taylor & Francis Group plc, London, UK
6,0E-05 8,0E-05
Figure 6. Geometry of model.
5.2 Boundary conditions
As it was mentioned above, the in-situ measurements
of Morat et al. (1999) show that water evaporates on
the floor and condenses on the roof of the cavity. Con-
sequently, water is always present in the roof surface.
This corresponds to a boundary condition of degree of
saturation equal to 1 on this surface, or the volumic
water content is equal to the porosity.
On the roof of the cavity, carbon dioxide dissolves
in pure water. The dissolved quantity of CO2 per unit
volume of water depends on its partial pressure in the
atmosphere and on the temperature of the cavity. Thus
we calculate the molarity of CO2 in the boundary of the
model by using equation (10). Considering the partial
pressure of CO2 equal to 0.003 atm and the tempera-
ture equal to 10 C, we obtain the CO2 molarity equal
to 1.611 104 mole/litre.
Since the Ca2+ ions cannot leave the roof, we
impose the condition of null flow in the vertical direc-
tion on the lower limit of the model and thus the term F
given by the equation (6) is equal to zero and we obtain:
We impose the conditions of null gradient on the higher
boundary and the boundaries on the left and on the
right of the model, therefore the gradients of water
content and Ca2+ and CO2 molarities are null also on
these boundaries.
5.3 Final equations
For the numerical modelling, it is initially necessary to
finalize the equations of the problem. Four phenom-
ena were considered for the process of weathering of
limestone: water transfer, diffusion-advection, disso-
lution and degradation. For the phenomenon of water
transfer we use the equations of Darcy and the conser-
vation of mass. Using the equations (1) to (5), we can
calculate the flow velocity and the water content in all
of the nodes. We assumed that the Ca2+ and HCO3
ions are always in equilibrium. That means, according
to (8), the molarity of HCO3 ions is always twice the
237
 Table 1. Model parameters.

Parameter Value Unit Parameter Value Unit

nini 0.4 C2ini 1.607 104 mole/litre

C1ini 3.982 107 mole/litre K 0.005 m/year
C1lim 1.611 104 mole/litre D1 0.3 m2 /year
dt 0.002 Year kcal 1.0 103 mole/litre-year
D2 0.3 m2 /year 0.03 m1
ncal 4 m 100 g
M 2500 g K1 106.46 mole/litre
KC 108.41 mole2 /litre2 K2 1010.49 mole/litre

molarity of Ca2+ ions. With this assumption, we write

the equations of diffusion-advection only for the ions
Ca2+ and the molecules of CO2 . Using the equations
(5), (6), (7), (11) and (12), and considering the vari-
ables C1 and C2 respectively for the molarities of CO2
and Ca2+ , we obtain:

These equations and initial and boundary conditions

constitute a complete set of equations and conditions
allowing us to do a numerical modelling.
5.4 Model parameters
The values of the model parameters are presented in
Table (1). We have not found sufficient data in the lit-
erature to determine the value of the coefficient kcal
in equation (12) for the dissolution process in the pore
structure of limestone. The results are very sensible to
this coefficient. For high values of this coefficient the
dissolution rate is very high and the chemical weather-
ing is concentrated in very vicinity of the roof surface.
The value given here for this coefficient was chosen
as to find a zone of active weathering process of about
a few tens of centimeters depth from the roof surface.
5.5 Modelling results
A 2D program is developed using MATLAB software
and the Finite Differences method. A grid containing
2025 nodes is created. The smallest distance between
the nodes in the horizontal and vertical directions is
respectively 10 and 5 cm near the roof of the cavity.
By using the model equations we can calculate the rate
of strength reduction with the time. To have a simple
idea of the failure zone, a linear elastic mechanical
modelling is done using CESAR-LCPC software and
the values of tensile vertical stress are calculated in the
nodes corresponding to the nodes of current model. By
calculating the ratio of tensile stress to tensile strength
Figure 7. Volumic water content 80th year.
in each node in the model we can have an idea of
the failure zone. We ignore the stress field changes
due to cracking and also the reduction of the elastic
parameters with dissolution process. The first step of
the modelling was stopped when the first clear zone
of failure is appeared in the 80th year and the results
are as follows:
Figure (7) shows the volumic water content. It
shows an increase in the first few meters of depth
of the rock, where the water condenses on the roof.
Figures (8) and (9) show respectively the CO2 and
Ca2+ molarities. The transport of the dissolved CO2
molecules and produced Ca2+ molecules in the rock
with the advection and diffusion mechanisms is clearly
shown.
Figure (10) shows the porosity increase in the
model. As it can be seen, the maximum increase is
in the order of 104 that is a very low value. The more
important phenomenon that we can see in this figure is
the higher porosity increase in the corner of the roof,
where we have the instantaneous changes in the bound-
ary conditions. This is a numerical problem that we
could not completely resolve and causes the appear-
ance of the first failure zones in this zone, which is
not compatible with the observations in underground
mines.

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Copyright 2006 Taylor & Francis Group plc, London, UK

 Figure 10. Porosity increase 80th year.
Figure 8. Molarity of CO2 80th year.

Figure 11. Tensile strength 80th year.

Figure 9. Molarity of Ca2+ 80th year.

Figure (11) shows the values of tensile strength. We

can see the significant decrease in the tensile strength
in the first meter of the roof depth, where it can be a
possible zone for the failures.
Figure (12) shows the ratio of tensile vertical stress
to tensile strength. The maximum value of the ratio is
considered as 1 and we assume the failure is happen
in these nodes. After 80 years, we could see the fail-
ure zone showed in the figure (12) with the maximum
depth of about 20 cm and we assume it as the first step
of the gradual failure of cavity.
For the modelling of the second failure step, another
mechanical modelling is done with the new geometry
of the model and the vertical tensile stresses were cal-
culated. By transferring the boundary conditions to the
new boundaries the modelling was continued until the
appearance of another failure zone.That happens in the
125th year with the failure zone showed in Figure (13). Figure 12. Tensile stress/tensile strength 80th year.

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Copyright 2006 Taylor & Francis Group plc, London, UK


Figure 13. Tensile stress/tensile strength 125th year.
These results show that by using the presented equa-
tions it is possible to model limestone weathering and
gradual failure of the underground mines with the
progress rate and failure shape more or less compatible
with the observations of the different cases of failure
in these mines.
Obviously with a completely coupled finite element
model, a more refined mesh and specially with the
more precise parameters we can have a better model
to predict the progressive failure of the underground
cavities.
6 CONCLUSION
The progressive failure in underground mines is
partly due to weathering processes that take place
under natural conditions within and in the vicinity
of the rockmass. The weathering process consists of
chemo-physical mechanisms that have a mechanical
degradation effect for the rock. We showed that by
taking into account the kinetics of the weathering
process, the transport of chemical constituents in the
rockmass and the model of mechanical degradation
caused by chemo-physical interactions, it is possible
to give a model of progressive failure for underground
structures. The work presented in this paper is based
obviously on very sharp simplification assumptions.
The aim of this work was only a first approach of
this problem and to show the feasibility of such a
modelling. This work must be continued by using
more adequate data and models and also compared
to in situ observations. The very interesting result of
such an approach would be a kinetic model of the
progressive failure and so an access to the temporal
aspect of the failure in risk assessment of underground
mines.
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Copyright 2006 Taylor & Francis Group plc, London, UK
REFERENCES
Abbas Fayad A. 2004. Etude de stabilit de fontis au toit
des carrires souterraines et traitements apports aux
consquences induites en surface. PhD thesis, lInstitut
National Polytechnique de Lorraine.
Dreybrodt W., Lauckner J., Zaihua L., Svensson U. &
Buhmann D. 1996. The kinetics of the reaction
CO2 + H2 O H+ + HCO3 as one of the rate limiting
steps for the dissolution of calcite in the system H2 O-
CO2 -CaCO3 . Geochimica and Cosmochimica Acta, Vol.
60, No. 18, P. 33753381. (www.speleogenesis.info)
Dreybrodt W. 1988. Karst processes. Springer 1988.
Dreybrodt W. & Gabrovsek F. 2003. Basic processes and
mechanisms governing the evolution of karst. Speleogen-
esis and evolution of karst aquifers.
Fetter C.W. 1999. Contaminent Hydrogeology. Prentice Hall.
Hajna N.Z. 2002. Chemical Weathering of Limestones and
Dolomites in A Cave Environnement, Speleogenesis and
evolution of karst aquifers. (www.speleogenesis.info)
Jouniaux L., Dubet L., Zamora M. & Morat P. 1996. Etude des
proprts physiques du calcaire de la carrire de Mriel,
C. R. Acad. Sci. Paris, 322-IIa, 361367.
Kaufmann G. 2002. Karst landscape evolution. In Franci
Gabrovsek (ed): Evolution of karst: from prekarst to
cessation, Postojna, P. 243258.
Kaufmann G. 2003. Modelling unsaturated flow in an evolv-
ing karst aquifer. Journal of Hydrology, 276, Pages
5370.
Massieu E. 1984. Essais didentification et essais mcaniques
sur le calcaire grossire de la carrire de Villiers-Adam.
Laboratoire Central des Ponts et Chausses.
Morat P., Le Moul J., Poirier J.P. & Kossobokov V. 1999.
Heat and water transport by oscillatory convection in
an underground cavity. C.R. Acad. Sci. Paris, Earth &
Planetary Sciences, 328-8, P. 18.
Palmer A. 1991. Origin and morphology of limestone caves.
Geological Society of America Bulletin, Vol. 103, P. 121.
Palmer A. 2003. Pattern of dissolution porosity in carbon-
ate rocks. Speleogenesis and evolution of karst aquifers.
(www.speleogenesis.info)
Plummer L.N. & Busenberg E. 1982. The solubilities of
calcite, aragonite and vaterite in CO2 -H2 O solutions
between 0 and 90 C, and an evaluation of the aqueous
model for the system CaCO3 -CO2 -H2 O. Geochimica and
Cosmochimica Acta, Vol. 46, P. 10111040.
Plummer L.N., Wigley T.M.L. & Parkhurst D.L. 1978. The
kinetics of calcite dissolution in CO2 -Water system at 5
to 60 C and 0.0 to 1.0 atm CO2 . American Journal of
Science, Vol. 278, P. 179216.
Pothrat P., Alfonsi P., Moirat D. & Thorin R. 2002. Stabil-
it des carrires souterraines abandonnes, Etude et suivi
instrumental du laboratoire souterrain de Mriel-Villiers-
Adam (Val dOsie). Bulletin des Laboratoires des Ponts
et Chausses, 237, REF 4413, P. 5975.
Thierry V. 1987. Problmes poss par un calcaire htrogne
dans ltude de la stabilit dune carrire souterraine. Pro-
jet de fin dtude de DEA de mcanique applique la
construction, Laboratoire Central des Ponts et Chausses.
Tritsch J.J., Toulemont M., Durville J.L. & Pothrat P. 2002.
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 EUROCK 2006 Multiphysics Coupling and Long Term Behaviour in Rock Mechanics
Van Cotthem, Charlier, Thimus & Tshibangu (eds)
2006 Taylor & Francis Group, London, ISBN 0 415 41001 0

Investigation of sand production mechanisms using DEM with fluid flow

L. Li
SINTEF Petroleum Research, Norway

E. Papamichos
Aristotle University of Thessaloniki, Greece & SINTEF Petroleum Research, Norway

P. Cerasi
SINTEF Petroleum Research, Norway

ABSTRACT: The Discrete Element Method is applied to simulate hollow cylinder tests with fluid flow in
the study of mechanisms of sand production. A 2-dimensional discrete element model was used where the
sandstone, a bonded granular medium, is represented as an assembly of circular, initially-bonded disks. The
bonds associated with a disk fail when the stresses inside the disk meet a failure criterion. Near the hole,
debonded disks or assemblies of disks separated from the remaining rock may be removed by the hydrodymamic
forces of the flowing fluid and thus recorded as produced sand. The hydrodynamic force applied on the disks is
derived in a simple way. First the fluid flux field is calculated using a finite difference scheme on a superimposed
mesh and then the hydrodynamic force is obtained from an analytical expression. A series of simulations was
performed starting with the same disk assembly but with different values for the parameters which describe the
sandstone strength and its post failure behavior. In all cases, the hollow cylinder model was loaded to different
isotropic (in 2d) stress levels and at each stress level different fluid flow rates were applied. This loading sequence
has been employed in actual laboratory experiments for sand quantification measurements. In the simulations,
three different borehole failure patterns were obtained which are similar to those observed in the laboratory tests.

1 INTRODUCTION control sand production (Skjaerstein & Tronvoll 1997)

Sand production often causes problems during hydro-
carbon production. The rock around an open hole
or a perforation cavity fails due to stress alterations
and fluid flow. The fragments, i.e. sand grains in
sandstone reservoirs or other solids in general, fall
in the well and mix with the produced oil or gas.
The sand amount can vary from a few grams or
less per ton of produced reservoir fluid to larger
amounts which may lead to complete filling of the
borehole (Fjaer et al. 1992). Sand production may
cause wear and erosion of petroleum production equip-
ment, plug perforations and wellbores and requires
adequate sand disposal facilities. Sand production is
often unavoidable because the reservoir rocks are often
too weak for the prevailing effective stresses espe-
cially when depletion effects are considered. Many
research efforts aim at the prediction of the conditions
for the onset of sand production, as well as the probable
amounts of sand produced and the impact of the draw-
down and depletion (Tronvoll et al. 1997, Papamichos
et al. 2001, Papamichos & Vardoulakis 2005). Efforts
also aim at developing equipments and techniques to
and to handle produced sand. These efforts should be
based on the understanding of the mechanisms of sand
production.
The Discrete Element Method (DEM) (Cundall
1971) appears to be a promising tool to simulate
the process of sand production. An important feature
of this method is that the elements in a model are
allowed to touch or separate dynamically. Therefore
it is convenient to use the DEM to simulate the dis-
continuities in the rock, rock plastification, fracturing
and debonding. One example of a DEM application in
a near-wellbore related study is the simulation of slurry
injection (Bruno et al. 2001). Other examples are the
simulation of fracturing in a pressurized borehole
(Cook et al. 2004), and the inverse case of borehole
breakout formation by far-field stresses. Those exam-
ples demonstrate the capability of DEM to at least
qualitatively capture the physics involving large-scale
deformation and failure around a borehole.
The motivation of this study was to investigate
whether the typical failure patterns observed in hol-
low cylinder tests in sandstones (Papamichos et al.
2001, Cerasi et al. 2005) can be simulated using DEM.

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Copyright 2006 Taylor & Francis Group plc, London, UK

 Hollow cylinder tests are extensively used to study the
mechanisms of sand production and characterize sand-
stones for sand quantification purposes. A simulation
of such tests is important in the understanding of the
mechanisms of sand production.
This paper describes the DEM model which has
been used for this study. A fluid-mechanical coupling
scheme and a new method to determine micro-failure
have been implemented in the model. Simulations have
been performed using this model with three sets of
parameters which were chosen such that the numerical
material would fail in localized compaction, tension or
shear. Three typical failure patterns were obtained in
the simulations similar to those observed in labora-
tory experiments. Conclusions were drawn based on
this study.

2 THE DISCRETE ELEMENT METHOD

The commercial DEM code PFC2D (Particle Flow

Code in 2-Dimensions) is used in this study (Itasca
2004, Potyondy & Cundall 2004). PFC2D simulates
an assembly of circular disk elements, together with a
type of special elements called walls and which define
the displacement boundary conditions. The disks are
assumed to be rigid but they can overlap. The forces
between two neighboring disks are calculated from the
overlap in the normal direction and the relative velocity
in the tangential direction, according to a contact law,
e.g. a linear contact law as in this study. Bonds can be
inserted between a pair of neighboring disks. A bond
is a simple beam and has normal and shear stiffness,
in addition to the contact stiffness of the element pair.
It also reacts to rotation and has user-defined strength
to sustain tension and shearing.
In a specific simulation, the user can integrate
user-developed schemes into the code through FISH1
functions. This makes the code very flexible and pow-
erful. For example, a modified micro failure criterion,
a fluid flow coupling scheme and some other schemes
particularly developed for the simulations in this study
have been implemented in the model through FISH
functions. These will be presented in the subsequent
sections.
2.1 Model creation
Figure 1 shows the DEM model used in this study. Four
walls form a square boundary with 200 mm sides. This
size is larger or equal to the 100 mm or 200 mm diam-
eter cylindrical specimens used in the laboratory tests.
A larger size is preferable to avoid boundary effects.
Loading of model takes place by displacing the walls.
1
FISH is a programming language embedded within a few
codes developed by Itasca.
Figure 1. The discrete element mesh used to simulate the
hollow cylinder tests. Four walls form a square outer bound-
ary and are displacement controlled to simulate loading. A
close-up view of the details near the borehole is shown on the
top left corner.
However, any loading path can be easily simulated by
using a servo-mechanism. Even though isotropic load-
ing was applied in this study, the square outer boundary
allows for anisotropic loading as well. The hole diam-
eter is 20 mm as in the laboratory tests. A smaller disk
size is used near the hole to realistically capture failure
around the hole, while maintaining a reasonable model
size in terms of number of elements.
The model in Figure 1 is created by generating first
the disk elements inside the square box at approx-
imately half their anticipated final size. A 20 mm
diameter disk is positioned in the center to simulate
the hole. Then, the elements are expanded to their final
size and the model is brought to equilibrium by time-
stepping and with an initial stress of 1 MPa in both
the horizontal and the vertical directions. PFC2D is a
dynamic code such that equilibrium is actually only
approximately reached. The criterion is to check the
total kinetic energy or the velocities of the elements in
the model. They should be small such that low local
stresses are locked in the model when the bonds are
installed. After installing the bonds, the stiffness of
the center disk is gradually reduced. Then this disk is
eventually removed.
2.2 Fluid-mechanical coupling
A simple approach was used to calculate and couple
the fluid flow. As shown in Figure 2, a mesh is used
where at each cell a pore volume is calculated by mul-
tiplying the cell volume by the porosity of the rock

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Copyright 2006 Taylor & Francis Group plc, London, UK


Figure 2. A mesh superimposed on the disk elements is
used for the fluid flow calculation. Each mesh cell has a pore
volume. Fluid flows from one cell to its neighboring cells
according to Darcys law. A close-up view is shown on the
top right corner. The arrows indicate the flow-induced forces
applied to the elements. The arrow lengths are linearly related
to the magnitudes of the forces.
which is assumed to be uniform. However, if part of a
cell is outside the rock, e.g. in the inner hole or later
during the simulation in the part of the rock which
has been produced, it is assumed to have infinite pore
volume. The fluid flow is calculated using an explicit
time-stepping scheme. In each time step, the fluid
exchange between every two neighboring cells i and j
is calculated according to the following equation:
while for the cells on the inner boundary fluid is
drained out from the cells in order to maintain a
constant pore pressure (0.0 MPa in the simulations
presented in this paper).
In this study, steady-state fluid flow conditions are
assumed due to the high permeability of the rock. For
simplicity it is assumed that before sand production
the pore pressure and fluid flux do not change signifi-
cantly during loading. Therefore, they are solved only
once at the beginning of the simulation. However, after
sand production every time disk elements are removed,
the pore pressure and the fluid flux is resolved. In
an explicit fluid flow scheme like the one used here,
a steady state is only approximately achieved. Here
the criterion that was used is to achieve constant pore
pressure on the outer boundary. The determination of
the time step is simplified when a steady state fluid
flow calculation is assumed. The requirement for the
time step is to keep it small enough for the fluid flow
calculation to be stable.
If a transient flow is to be simulated, the time step
for the fluid flow calculation should be consistent
with the time step for the mechanical calculation of
PFC2D, and both of them should be consistent with
the simulated real time scale.
After the fluid flux qi has been calculated, a flow-
induced force Fi is applied to every disk-element
according to the expression
where dg is the disk-element diameter, the fluid
viscosity, k the permeability and the porosity.
2.3 Micro-failure criterion
In the standard PFC2D code, a bond fails when the
tensile or shear stress in the bond exceeds its strength.
where pij is the pore pressure difference between the Bond breakage may be interpreted as micro-failure in
two neighboring cells and t is the time step. Cij is
the hydraulic conductance between the two cells and
it is derived using Darcys law, the permeability of the
rock, the fluid viscosity and the geometry of these two
cells.
After the fluid exchange has been calculated, the
pore pressure pi in each i-cell is updated according to:
the real rock. The growth of such micro-failures will
eventually lead to macroscopic failure of the rock. Li
and Holt (2002) showed that such a model cannot usu-
ally achieve a sufficiently large friction coefficient to
be realistic for real rocks. To improve the results, a
model of non-circular, breakable superparticles which
were made up from many circular disks was proposed.
With such a model shear bands were observed on
simulations of triaxial tests at low confining stresses
and compaction bands at high confining stresses, as
observed in laboratory experiments (Olsson 1999).
From the simulations a failure envelope similar to that
where pi0 is the current pore pressure of the i-cell, Vik
the fluid exchange between cell i and the neighboring
cell k, and Vipore the pore volume of the i-cell.
For the cells on the outer boundary, fluid is injected
into the cells according to the prescribed flow rate,
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Copyright 2006 Taylor & Francis Group plc, London, UK
obtained through numerous experiments on porous
sandstones (Wong & Baud 1999) was constructed.
However, the model with superparticles is computa-
tionally expensive because many more elements have
to be used. A modification has been done in order to
 Figure 3. The failure criterion of the disks illustrating that Figure 4. Typical results of a sand production hollow
a disk may fail in tension, shear, shear enhanced compaction cylinder test on a reservoir sandstone.
or the hydrostatic compaction depending on its stress state.

achieve a similar behavior while using single disks.

The bond strengths in the model were set so high that
no bond in the model would fail due to the stress in the
bond. Instead, all bonds associated with a given disk
break when the stresses inside the disk exceed a failure
( p)
criterion. The stresses ij in a disk are assumed to be
uniform and are calculated as (Itasca 2004)

(c)
where Fi is the force acting at the c-contact of the
(c,p)
p-disk, ni is the unit-normal vector directed from
the center of the p-disk to the location of the c-contact,
(c) (p)
V (p) is the volume of the p-disk, and xi and xi are
the coordinates of the c-contact and the center of the
p-disk, respectively. The calculation is taken through
all the Nc contacts associated with the p-disk.
The failure criterion is illustrated in Figure 3. It
is composed of a vertical straight line, an inclined
straight line and a quarter of an ellipse in the n The simulation procedure follows exactly the pro-
plot.The vertical straight line defines the tensile failure
at tensile strength t . The inclined straight line defines
the shear failure as a function of the cohesion C and the
friction angle . The elliptical cap defines compactive
failure as a function of scompac and hcompac .
In addition to breaking all bonds, if the minimum
compressive principal stress in a disk is equal or
exceeds the hydrostatic compaction strength hcompac ,
the disk fails in the compactive mode and its radius is
reduced by a reduction factor. Similarly, if the stress
state in a disk meets the elliptical failure cap, the disk
fails in shear-enhanced compaction and its radius is
also reduced, but with different reduction factor.
2.4 Simulation procedure and input parameters
The laboratory procedure of the hollow cylinder test
for sand quantification can be found in Papamichos
Figure 5. Illustration of the method to remove produced
elements. A disk or a disk cluster is removed and recorded
as produced sand if it is detached from the remaining part of
the model.
et al. (2001). Typical test results are shown in Figure 4.
cedure of the laboratory hollow cylinder tests. The
stresses applied on the square boundary of the model
were isotropic and increased step by step at 3 MPa
per step. At each stress level, three flow rates were
applied. Before any change of the stresses or the flow
rate, the model was allowed to reach equilibrium, i.e.
there was no further micro-failure in a given number
of mechanical calculation cycles.
When small size but high stiffness disks were used,
a small time step was necessary to maintain the stabil-
ity of the explicit computation. In such a case waiting
for the produced elements to move into the borehole
might be unnecessarily time consuming. An artificial
procedure to remove the produced elements was there-
fore employed. Figure 5 shows a case when breakouts
develop on the wall of the borehole. If a disk or a clus-
ter of disks located on the face is detached because of
broken bonds from the remaining part of the rock, it

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Copyright 2006 Taylor & Francis Group plc, London, UK

 Table 1. Disk strength parameters used in the simulations.

Parameter

Threshold of Threshold of
Tensile strength Cohesion Friction shear enhanced hydrostatic static
Simulation (Mpa) (MPa) angle [ ] compaction (MPa) compaction (MPa)

I 5 7 30 35 60
II 0.2 7 36.9 70 120
III 5 10 36.9 85 150

is removed from the model and its mass is counted as

produced sand.
Simulations were performed with three sets of
strength and post-failure behavior parameters, as listed
in Table 1. The parameters were chosen such that
the material would fail in compaction (simulation I),
tension (simulation II) or shear (simulation III).

3 SIMULATION RESULTS

3.1 Simulation I
For Simulation I the disks have low thresholds for
failure in shear enhanced compaction or hydrostatic
compaction. Figure 6 shows the results of Simulation Figure 6. Results of Simulation I showing a time history of
I as a time history of the confining stress, the flow the confining stress, flow rate, sand weight and number of
rate, the sand weight and the number of produced disks. produced disks.
Figure 7a shows the obtained failure pattern of the hole
which appears to be similar with the failure pattern
shown in Figure 7b and which is observed in laboratory
tests on brittle-dilatant sandstones.
This type of hole failure pattern has been exten-
sively studied by Haimson and coworkers (e.g.
Haimson & Lee 2004). They have suggested that this
slit breakout failure pattern is a compaction band
resulting from grain crushing and that the compacted
material has been flushed out by the flowing fluid. The
results from Simulation I are in agreement with this
supposition. Figure 8 shows the stress distribution at
a certain stage of the simulation and demonstrates the Figure 7. (a) Hole failure pattern obtained in Simulation
stress concentrations near the tips of the breakouts. I and (b) failure pattern observed in the laboratory on
Particularly at the top left tip, the principal stresses brittle-dilatant sandstones.
in both directions are large. This suggests that the
disk failures are mostly due to compaction and lead to simulation results. Sand production was initiated at
the formations of localized compaction bands. In the lower stress in this case and failure was uniform around
experiments of the Haimson group, anisotropic load- the borehole (Figure 10a). The failure pattern appears
ing was used with the breakout slits directed normal to be similar to the failure pattern shown in Figure 10b
to the major stress axis. However, in the simulations and which is observed in laboratory tests on ductile-
isotropic loading was used, just like our sand produc- compactive sandstones.
tion laboratory tests in which the slit breakout failure
was observed (Figure 7b). 3.3 Simulation III
For Simulation III, the parameters were chosen such
3.2 Simulation II
that the material is the most competent from the three
For Simulation II, the tensile strength of the disks was cases. The simulation results are shown in Figure 11.
set low to promote tensile failure. Figure 9 shows the Sand production was initiated at a higher stress in this

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Copyright 2006 Taylor & Francis Group plc, London, UK


Figure 8. Stress distribution at a certain stage of Simula-
tion I. The two in plane principal stresses are represented
using line segments at a point. The width of the line reflects
the magnitude of the stress. Red indicates tension and black
compression.
Figure 9. Results of Simulation II showing a time history
of the confining stress, flow rate, sand weight and number of
produced disks.
Figure 10. (a) Hole failure pattern obtained in Simula-
tion II and (b) failure pattern observed in the laboratory on
ductile-compactive sandstones.
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Copyright 2006 Taylor & Francis Group plc, London, UK
Figure 11. Results of Simulation III showing a time history
of the confining stress, flow rate, sand weight and number of
produced disks.
Figure 12. (a) Hole failure pattern obtained in Simulation
III and (b) failure pattern observed in the laboratory on
ductile-dilatant sandstones.
case. The failure appeared to be of dog-eared breakouts
(Figure 12a) which is comparable with another typical
failure pattern observed in the laboratory experiments
in ductile-dilatant sandstones (Figure 12b).
In all simulations, the sand production events are
not continuous. The model could be temporarily stable
between two events. This is also in agreement with
observations from the laboratory hollow cylinder tests.
4 CONCLUSIONS
This study makes use of DEM to simulate rock
failure and fracturing. With a simple fluid coupling
scheme implemented in the model, the obtained sim-
ulation results are in good agreement with laboratory
experiments.
Three typical failure patterns were obtained in the
simulations similar to those observed in laboratory
experiments. The slit-like breakout failure pattern was
observed when the material is prone to localized com-
paction failure due to grain crushing. If the material is
weak and the tensile strength is low, the material fails
all around the borehole and enlarges rather uniformly.
If the material is relatively competent and unlikely
 to fail in localized compaction, the obtained failure
pattern is that of dog-eared breakouts.
ACKNOWLEDGEMENTS
The first author wishes to acknowledge the allowance
for basic research from the Research Council of Nor-
way. The authors wish also to thank the sponsors
of SINTEFs Volumetric Sand Production II project,
ConocoPhillips, Eni Agip, Norsk Hydro, Petrobras,
Shell and Statoil for supporting this research.
REFERENCES
Bruno, M.S., Dorfmann, A., Lao, K. & Honeger, C. 2001.
Coupled particle and fluid flow modeling of fracture and
slurry injection in weakly consolidated granular media.
Rock mechanics in the national interest, Elsworth, Tinucci
and Heasley (eds), 173180.
Cook, B.K., Lee, M.Y., DiGiovanni, A.A., Bronowski, D.R.,
Perkins, E.D. & Williams, J.R. 2004. Discrete element
modeling applied to laboratory simulation of near-
wellbore mechanics. Int. J. Geomech. 4(1): 1927.
Cundall, P.A. 1971. A computer model for simulating pro-
gressive large scale movements in blocky rock systems.
Proc. Symp. Int. Soc. Rock Mech., Nancy, France, 1971,
1, Paper No. II8.
Cerasi, P., Papamichos, E. & Stenebrten, J.F. 2005. Quantita-
tive sand-production prediction: Friction-dominated flow
model. SPE 94791.
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Fjaer, E., Holt, R.M., Horsrud, P., Raaen, A.M. & Risnes, R.
1992. Petroleum related rock mechanics. Amsterdam:
Elsevier.
Haimson, B. & Lee, H. 2004. Borehole breakouts and com-
paction bands in two high-porosity sandstones. Int. J. Rock
Mech. & Min. Sci. 41: 287301.
Itasca Consulting Group Inc. 2004. PFC2D users manuals.
Li, L. & Holt, R.M. 2002. Particle scale reservoir mechanics.
Oil & Gas Science and Technology Rev. IFP, 57(5):
525538.
Olsson, W.A. (1999) Theoretical and experimental investiga-
tion of compaction bands in porous rock. J. Geophys. Res.,
104, B4, 72197228.
Papamichos, E., Vardoulakis, I., Tronvoll, J. & Skjaerstein A.
2001. Int. J. Numer. Anal. Meth. Geomech., 25: 789808.
Papamichos, E. & Vardoulakis, I. 2005. Sand erosion with
a porosity diffusion law. Computers and Geotechnics 32:
4758.
Potyondy, D.O. & Cundall, P.A. 2004. A bonded-particle
model for rock. Int. J. Rock Mech. & Min. Sci. 41:
13291364.
Skjaerstein A. & Tronvoll J. 1997. Gravel packing: a method
of wellbore re-enforcement or sand filtering? SPE37506.
Tronvoll, J., Skjaerstein, A. & Papamichos, E. 1997. Sand
production: mechanical failure or hydrodynamic erosion?
Int. J. Rock Mech. & Min. Sci. 34(34) Paper No. 291.
Wong, T.F. & Baud, P. 1999. Mechanical compaction of
porous sandstone. Oil & Gas Science and Technology
Rev. IFP, 54(6): 715727.
 EUROCK 2006 Multiphysics Coupling and Long Term Behaviour in Rock Mechanics
Van Cotthem, Charlier, Thimus & Tshibangu (eds)
2006 Taylor & Francis Group, London, ISBN 0 415 41001 0

A coupled approach for the simulation of hydro-mechanical fracturing

in porous rocks

J.M. Segura & I. Carol

Civil Engineering School Technical University of Catalonia (UPC), Barcelona, Spain

ABSTRACT: The hydro-mechanical coupled problem in jointed or susceptible of fracturing rocks is formu-
lated via the FEM with zero-thickness interface elements and double nodes. Poro-elasticity is assumed in the
continuum medium. The cubic law is considered to govern the longitudinal flow along the discontinuity, and
the influence of a head drop transversal to the joint is introduced by means of a transversal transmissivity that
takes into account the possible existence of a fracture skin. The mechanical constitutive model depends on the
type of problem being analyzed, whether it is a pre-existing joint (rock mechanics-based model) or a developing
crack (fracture mechanics-based model). The problem is formulated in terms of the displacements and the fluid
pressure at the nodes, leading to a system of equations that can be solved simultaneously or via a staggered
strategy. Application examples are analyzed using both procedures.

1 INTRODUCTION Iteratively coupled or staggered strategy: the

In geomechanical or geotechnical problems, the
mechanical and hydraulic behavior often appear com-
bined and influenced reciprocally, leading to the so-
called hydromechanical (HM) coupled problems. The
creation and progressive opening of discontinuities
such as fissures or joints may represent an additional
coupling factor. These discontinuities usually play a
very important role in the structure safety and per-
formance, oil exploitation processes and aquifers
performance, among others.
Although extensive literature is available on the HM
coupled formulation of porous media, HM models
for fractured porous medium are not so common
(Guiducci et al. 2002), and even less common are the
formulations for fluid driven fractures in porous media
(Boone & Ingraffea 1990, Simoni & Secchi 2003).
The HM coupled system of equations can be solved
according to different procedures (Settari et al. 1999,
Minkoff et al. 2003):
Fully coupled formulation: the HM behavior of the
system is described by a single group of equations
that incorporates all the physics and couplings rel-
evant to the problem and which are simultaneously
solved by a single code.
One-way coupling: it is a partly coupled strategy
based on the solution of the hydraulic and mechan-
ical problems by two different codes. The results of
one of them are used by the other to account for
the partial coupling and the information exchange
is always in the same direction.
hydraulic and the mechanical equations are solved
separately too, but coupling loops are established
between the two codes to iteratively transfer the
information in the two directions until convergence
is reached.
This article describes a finite element method (FEM)
formulation for the HM coupled problem in cracks
and discontinuities provided the use of zero-thickness
interface elements with double nodes, which use for
mechanical analyses has been well established since
some time already (Gens et al. 1990), whereas for
hydraulic problems it has been recently proved to
give reasonable results in standard diffusion prob-
lems (Segura & Carol 2004). The use of the same
joint element for both flow and mechanical problems
is numerically convenient. The staggered and fully
coupled solutions are compared for a consolidation
problem that involves the presence of a vertical joint.
The staggered strategy is also used to solve a hydraulic
fracture problem.
2 HM COUPLED EQUATIONS
Under the assumptions of small-stain theory, isother-
mal equilibrium and negligible inertial forces, the
numerical formulation of fluid flow in deforming
porous media is extensively treated in literature and
it is briefly mentioned here. The FEM equations that
describe the coupled behavior of joints are schemati-
cally introduced in this section. For a full and detailed

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Copyright 2006 Taylor & Francis Group plc, London, UK

 description of the HM joint formulation see Segura &
Carol (2006).
2.1 Mechanical equations
The mechanical behavior of a saturated porous mate-
rial is described by the combination of the linear
momentum balance equation, the principle of effective
stresses, the material constitutive relationship and the
compatibility equation (e.g. Lewis & Schrefler 1998).
An analogous formulation is developed in the mid-
plane of a saturated joint (Segura & Carol 2006) that
leads to the following equation:
where DJ is the constitutive matrix, a is the relative
displacement vector between the joint surfaces (nor-
mal and tangential), mmp is a vector that introduces
the influence of fluid pressure in the normal direction
to the joint, pmp is the fluid pressure at the mid-plane
of the discontinuity and f mp are force exchanges with
the surrounding continuum medium per unit area of
discontinuity.
An important aspect of the discontinuity formu-
lation will be the constitutive relationship (DJ ), the
choice of which depends on the nature of the joint,
whether it is a pre-existing joint (rock mechanics,
e.g. Gens et al. 1990) or a developing crack (frac-
ture mechanics, e.g. Carol et al. 1997, Caballero et al.
2006).
2.2 Hydraulic equations
The mass balance equation for water is combined with
Darcys law to reach the equation governing fluid flow
in saturated and deforming porous media (e.g. Lewis &
Schrefler 1998).
Longitudinal flow along a saturated joint is
described in its mid-plane through combination of the
continuity equation and Darcys law, obtaining a PDE
similar to the one governing fluid flow in deforming
porous medium:
where M J is a parameter that takes into account the
compressibility of water and fracture walls (analogous
to Biot modulus in porous media), pmp is the fluid pres-
sure at the mid-plane, un is the joint aperture, q+ and
q are leakage fluxes from the surrounding porous
medium, and k l is the longitudinal conductivity tensor
of the joint which is highly dependent on the aper-
ture and can be approximated through the cubic law
(Snow, 1965). This model basically assumes that flow
along a discontinuity is laminar and occurs between
a couple of smooth parallel plates. The longitudinal
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Copyright 2006 Taylor & Francis Group plc, London, UK
permeability is in this case proportional to the cube of
the joint aperture:
A fluid pressure drop transversal to the joint is also
considered. The detailed hydraulic formulation of the
joint is described in Segura & Carol (2004, 2006).
2.3 FEM formulation
The HM coupled equations described earlier are dis-
cretized in space using the FEM. In particular, zero-
thickness interface elements with double nodes are
used to properly discretize and represent each pre-
existing joint or developing crack (discrete crack
approach).
An additional assumption necessary to extend the
formulation of the interface element from the mid-
plane to the interface element nodes is that the fluid
pressure in the mid-plane of the joint is the average of
the fluid pressure at the boundaries:
This assumption has proved to be reasonable in a
standard flow problem in Segura & Carol (2004) in
comparison with other interface elements for flow
problems, although in some special occasions a triple-
nodded interface element (Guiducci et al. 2002) would
be necessary.
The nodal displacements (u) and nodal fluid pres-
sure (p) are considered as the main global unknowns.
Following standard FEM procedures one can reach an
expression of the following type either for a continuum
or an interface element (Segura & Carol, 2006):
where E is the permeability matrix, Q is the coupling
matrix, S is the compressibility matrix, K is the stiff-
ness matrix, and f u and f p are the right hand side force
and flow vectors that include the gravity action as well
as the influence of distributed loads and flows at the
boundaries.
After discretization in time using the finite dif-
ferences method (FDM), the following equation is
reached, which determines the nodal displacements
and fluid pressure at a given time step n+1 relative
to their previous values:
The values of u and p are linearized within a time step
through the following expression
 where the value of determines the time integration
scheme.

3 COUPLING METHODS

As already mentioned in the introduction, the system

of equations (6) can be solved simultaneously, what
is known in the literature as a fully coupled strategy,
or it can be split into two equations to be solved in a
staggered manner:

where (pn+1 )k and (un+1 )k are predictors of the

solution for the pressure and displacement increments
for iteration k. In the staggered strategy, the two
Figure 1. Consolidation problem geometry and data.
equations (8) and (9) are solved sequentially, by a
mechanical and a flow analysis codes respectively,
until a certain tolerance on the solution is satisfied 4.1 Consolidation analysis
for each time step. One of the main advantages of the
This problem is proposed by Ng & Small (1997) and
staggered procedure is that one can use two highly
it consists of a consolidating rectangular porous block
developed and validated codes that solve the mechani-
vertically crossed by a discontinuity (Fig. 1).
cal and the hydraulic equations separately, but that can
The medium is fully saturated with a hydrostatic
be linked through the appropriate coupling loops to
initial fluid pressure distribution. It is loaded at the
solve the coupled problem. The main drawback of this
beginning of the analysis with a top vertical load of
method derives in our case from the strong dependency
10 kPa and it is left to consolidate under plane strain
of the fracture permeability on its aperture, promoting
conditions. The joint and porous medium constitutive
a strong coupling between the two fields (i.e. pressure
models are linear-elastic.
and displacements) that could lead to a high number
The consolidation of the block without the joint
of iterations or even to convergence problems.
is first solved. In this case, the staggered procedure
In our case, since we use the same interface ele-
and fully coupled strategies give analogous results and
ment geometry with double nodes for the flow and the
practically identical to the analytical fluid pressure and
mechanical problems, the same mesh can be used in
settlements distributions.
both analyses.
If a vertical discontinuity is included, this will close
as the fluid pressure dissipates and the closure will
propagate downward. If the longitudinal permeability
4 APPLICATION AND COMPARISONS
of the joint is high enough with respect to the perme-
ability of the porous medium and it remains constant,
The features and capabilities of the formulation are
the system dissipates the fluid pressure much faster, the
illustrated with two examples: a consolidating block
settlements are higher and they appear first in the joint
with an embedded vertical joint and a hydraulic frac-
zone. On the other hand, if the cubic law (Eq. 4) for
ture case. Both problems are solved through a stag-
the joint permeability is taken into account, the fluid
gered strategy that makes use of the codes DRAC
pressure increases in the upper part of the jointed zone
and DRACFLOW developed at the UPC Geotechnical
at early stages of the analysis. This can be explained
Engineering Department and which follow the discrete
mainly because the lower part of the joint is still open
crack approach to respectively solve the mechanical
and acts as a preferential path for flow, but the fluid
and the hydraulic problems in fractured medium.
is then channeled to a zone where the joint has closed
The following predictor (Saetta et al. 1991) is used
(upper part) and that overall depletes the system at a
for the pressure field in the staggered procedure:
slower pace.
Figures 23 show the fluid pressure distribution and
the deformed mesh for the consolidation of the porous
The consolidation case is also analyzed with a new medium without joint (a), with a constant permeabil-
code that follows a fully coupled strategy, currently ity joint (b), and with the same initial permeability as
under development, and its solution is compared with in (b) but dependent on the aperture (c), all of them
the staggered results. at t = 0.0021 d. It is observed that the joint acts as

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Copyright 2006 Taylor & Francis Group plc, London, UK

 Figure 2. Pore water pressure (kPa) distribution at time
t = 0.0021 d for (a) consolidation of the block without joint
(b) consolidation with joint with kl = ctt. (c) consolidation
with joint with kl u3 .
Figure 3. Deformed mesh at time t = 0.0021 d for (a) con-
solidation of the block without joint (b) consolidation with
joint with kl = ctt. (c) consolidation with joint with kl u3 .
Figure 4. Excess pore water distributions at time t =
0.0007 d.
an attraction for the depletion and that it consolidates
much faster in (b). Case (c) behaves somewhere in
between cases (a) and (b).
Figure 4 depicts the fluid pressure profiles along the
central line of the domain (along the joint) for the three
cases analyzed (no joint and joint with constant or vari-
able permeability) and according to the two solution
schemes (staggered and fully coupled). Both proce-
dures give very close solutions, although the number
of iterations till convergence increases when the joint is
considered in the analysis. The value of the parameter
used in Equation (10) is also dependent on the inten-
sity of coupling. A more detailed description of these
and other results of this example is given in Segura &
Carol (2006).
4.2 Hydraulic fracture phenomenon
The problem analyzed (Boone & Ingraffea 1990) con-
sists of injecting fluid along an incipient crack located
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Copyright 2006 Taylor & Francis Group plc, London, UK
Figure 5. Scheme of the hydraulic fracture problem.
Figure 6. Fracture propagation (deformed mesh).
at the lower left corner of the domain (Fig. 5). This
produces the propagation of a fracture along the lower
boundary, where the zero-thickness interface elements
have been inserted. The problem is analyzed in steady-
state conditions, i.e. analyzing which would be the
ultimate length of a fracture for a given flow injection
that is progressively increased. Fluid flow along the
opening discontinuity is also assumed to follow the
cubic law.
Interface mechanical behavior is reproduced by
means of a work-softening elasto-plastic constitutive
law. This constitutive model is described and analyzed
in detail in Carol et al. (1997), and has been used in
many other analyses (e.g. Carol et al. 2001, Caballero
et al. 2006) involving 2D and 3D crack opening and
propagation.
Figure 6 shows the development of the crack as the
value of the fluid flow entering the system is increased.
This preliminary results show how the fracture effec-
tively propagates, although it has to be noted that the
convergence of the method needs considerable itera-
tions in advanced stages of the analysis. Therefore, a
fully coupled formulation of the problem would seem
desirable and remains an objective in the immediate
future.
Figure 7 shows how, once the fracture has reached
a sufficient development, the pressure profiles at the
injection zone change and the flow enters the porous
medium along all the open fracture length. At the same
time, and in connection to that, the fluid potential drop
along the open fracture is very low.

Figure 7. Hydraulic head (m) profiles.
5 CONCLUDING REMARKS
A formulation based on a double-node interface ele-
ment for both mechanical and diffusion analysis that
incorporates a transversal potential drop trough the
discontinuity is presented. The same finite element
mesh may be used for mechanical and flow anal-
ysis, with the subsequent advantages in numerical
implementation.
The results obtained in the simple consolidation
problem show the important role that a vertical joint
can play on the performance of the system. These
results strongly depend on the sensitivity of the frac-
ture permeability on its aperture. Furthermore, the
staggered and the fully coupled solutions lead to
practically identical results.
Preliminary results on fluid-driven fracture have
been obtained with the iteratively coupled strategy,
which satisfactorily reflect the physics of the process.
On-going work is devoted to the fully coupled pro-
cedure including rock and fracture mechanics-based
models. More details on the work described, as well as
additional examples may be found in Segura & Carol
(2006).
ACKNOWLEDGEMENTS
The first author wants to thank Generalitat de
Catalunya (Barcelona, Spain) for the doctoral fel-
lowship received. The research is also supported by
research projects MAT2003-02481 funded by MCYT
and 2004/33 funded by MFOM (Madrid, Spain).
253
Copyright 2006 Taylor & Francis Group plc, London, UK
REFERENCES
Boone, T.J. & Ingraffea, A.R. 1990. A numerical procedure
for simulation of hydraulic-driven fracture propagation in
poroelastic media. International Journal for Numerical
and Analytical Methods in Geomechanics 14: 2747.
Caballero, A. & Lpez, C.M. & Carol, I. 2006. 3D meso-
structural analysis of concrete specimens under uniaxial
tension. Computer Methods in Applied Mechanics and
Engineering. (In press).
Carol, I. & Prat, P. & Lpez, C.M. 1997 A normal/shear
cracking model. Application to discrete crack analy-
sis. ASCE Journal of Engineering Mechanics 123(8):
765773.
Carol, I. & Lpez, C.M. & Roa, O. Micromechanical analy-
sis of quasi-brittle materials using fracture-based inter-
face elements. Int. Journal for Numerical Methods in
Engineering 52: 193215.
Gens, A. & Carol, I. & Alonso, E.E. 1990. A constitutive
model for rock joints, formulation and numerical imple-
mentation. Computers and Geotechnics 9: 320.
Guiducci, C. & Pellegrino, A. & Radu, J.P. & Collin, F.
& Charlier, R. 2002. Numerical modeling of HM frac-
ture behavior In Pande & Pietruszczak (eds), Numerical
Models in Geomechanics NUMOG VIII: 293299. Lisse:
Swets & Zeitlinger.
Lewis, R.W. & Schrefler, B.A. 1998. The Finite Element
Method in the Static and Dynamic Deformation and
Consolidation of Porous Media. Chichester: Wiley.
Minkoff, S.E. & Stone, C.M. & Bryant, S. & Peszynska, M. &
Wheeler, M.F. 2003 Coupled fluid flow and geo-
mechanical deformation modeling. J. Petroleum Sc. &
Engineering 38: 3756.
Ng, K.L.A. & Small, J.C. 1997 Behavior of joints and
interfaces subjected to water pressure. Computers and
Geotechnics 20(1): 7193.
Saetta, A. & Schrefler, B.A. & Vitaliani, R. 1991. Solution
strategies for coupled consolidation analysis in porous
media. Revista Internacional de Mtodos Numricos para
Clculo y Diseo en Ingeniera 7(1): 5566.
Segura, J.M. & Carol, I. 2004. On zero-thickness interface
elements for diffusion problems. Int. Journal for Numer-
ical and Analytical Methods in Geomechanics 28(9):
947962.
Segura, J.M. & Carol, I. 2006 Staggered analysis of HM prob-
lems using double-node interface elements. Int. Journal
for Numerical and Analytical Methods in Geomechanics
(Submitted for publication)
Settari, A. & Walters, D.A. 1999. Advances in Coupled
Geomechanical and Reservoir Modeling With Applica-
tions to Reservoir Compaction. SPE Symposium on Reser-
voir Simulation, Houston, Feb 1999. Paper SPE 51927.
Simoni, L. & Secchi, S. 2003. Cohesive fracture mechanics
for a multi-phase porous medium. Engineering Computa-
tions 20: 675698.
Snow, D. 1965. A parallel plate model of fractured perme-
able media PhD Dissertation, University of California,
Berkeley.
 EUROCK 2006 Multiphysics Coupling and Long Term Behaviour in Rock Mechanics
Van Cotthem, Charlier, Thimus & Tshibangu (eds)
2006 Taylor & Francis Group, London, ISBN 0 415 41001 0

Hydromechanical behaviour during CO2 injection

S. Vidal-Gilbert, E. Bemer, C. Barroux & E. Brosse

Institut Franais du Ptrole, Rueil-Malmaison, France

ABSTRACT: CO2 injection into a depleted hydrocarbon field or aquifer may give rise to a variety of coupled
physical and chemical processes. One of these processes is the mechanical impact of CO2 injection. During
injection, the increase in pore pressure can induce reservoir uplift, possibly leading to in-situ stress field changes
in and around the reservoir.
This paper deals with the geomechanical behaviour induced first by oil production and then by CO2 injection
into a geological reservoir typical of the Paris Basin context. A geomechanical numerical approach is presented
to demonstrate that, on some assumptions, the mechanical effects of CO2 injection do not affect the formation
mechanical stability.

1 INTRODUCTION The modelling was performed in the framework

The exploitation of subsurface natural resources, the
underground storage of natural gas, of hazardous waste
or CO2 may cause deformation (compaction or uplift)
of the reservoir and surrounding formations, induce
ground subsidence and trigger microseismic events.
These phenomena may influence the production of
natural resources but could impact the efficiency of
the sealing of the geological storage. Hence, there is
a growing demand among governmental agencies, oil
and gas companies for a more accurate prediction of
subsurface behaviour related to underground engineer-
ing, and more specifically to the storage of CO2 .
For prediction of geological hazards related to
hydrocarbon extraction or to underground gas storage,
we use integrated 3D geomechanical modelling. The
approach implies a one-directional coupling of flow
and stress models. This analysis is a common way of
integrating fluid flow modelling and stress modelling
(Settari & Walters 2001). In this process, a reservoir
simulator is used first to compute the entire time his-
tory of pressure during depletion and CO2 injection
periods. The pressure computed by the multiphase
fluid flow description of the reservoir simulator, is
used as a load in the geomechanical simulator. This
paper presents an application of geomechanical mod-
elling to study the induced deformation and in-situ
stress changes due first to oil production and then
due to CO2 injection. The influence of both produc-
tion and injection were illustrated using a numerical
model built from a carbonate reservoir in the context
of the Paris Basin. The objective is to investigate the
mechanical effects on the reservoir/caprock formation
stability.
of the project PICOREF, supported by the French
Ministry of Industry and by a consortium of companies
and research institutions.
2 DESCRIPTION OF THE GEOMECHANICAL
MODEL
2.1 Geological setting
The studied site holds an oil field located in the upper-
most limestone unit of the Dogger formation, Dalle
Nacre. The reservoir thickness is approximately 17 m
and its depth is approximately 1450 m. The reservoir
is sealed by a marly caprock of the Callovo-Oxfordien
formations.
The reservoir simulations (production and CO2
injection) have been performed with the reservoir sim-
ulator ATHOS developed by IFP. The reservoir model
aims to provide pore pressure variations during a sce-
nario of oil production (primary depletion) followed
by CO2 injection (CO2 -EOR). However, this model
does not provide any information on the mechanical
behaviour. The simulation of the reservoir behaviour
during these two periods requires a geomechanical
model, associated to the reservoir model. Such a model
requires the definition of the geomechanical domain,
constitutive laws and associated rock properties for the
reservoir and the surrounding formations, and initial
and boundary conditions.
2.2 Geometry of the model
The geomechanical 3D modelling of the study area was
performed with ABAQUS software, a general finite

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Copyright 2006 Taylor & Francis Group plc, London, UK

 element program. The geometry of the geomechanical
domain is composed of the reservoir area and the con-
tainment. The reservoir model dimensions are 3800 m
in the X-direction and 900 m in the Y-direction; the
reservoir thickness is 17.4 m. The cell dimensions,
along the X- and Y-directions, are 100 m and vary
between 0.6 m and 4.6 m along Z-direction. The reser-
voir geometry led to a total of 38 9 9 grid cells.
For the geomechanical model, some reservoir cells
were gathered to obtain relatively thicker cells (few
meters), leading to 38 9 3 grid cells for the reservoir
domain, with cell dimensions varying between 4.6 and
6.9 m, along Z-direction. The geomechanical simula-
tion requires modelling not only the reservoir but also
the surrounding formations (over, under and sidebur-
den) to take into account the structural effect on the
reservoir (Figure 1). This leads to a total model with
46 17 13 grid cells, whose dimensions are 5.6 km in
the X-direction, 2.7 km in the Y-direction and 2.2 km
in the Z-direction.
2.3 Methodology to assign poromechanical
properties
The material constitutive laws (elasticity) and proper-
ties are related to the rock-types present in the geo-
mechanical domain. In overburden and underburden,
ten mechanical rock types were defined per layers
with respect to the geological description and one
mechanical rock zone was assigned for the reservoir.
To assign poromechanical properties to each
mechanical rock zone, field data are used. Addi-
tional core measurements are preferred to constrain
the poromechanical properties for the considered field.
Nevertheless, some correlations can be used for rocks
if cores are not available. We use P velocity log to infer
the following rock properties:
Petrophysical properties:
The porosity and density are estimated from measure-
ments of P velocities with empirical relations. Raymer
et al. (1980) suggested improvements to Wyllies
empirical velocity-to-travel time relations to estimate
porosity. We use some popular and useful velocity-
density relationships from Gardner et al. (1974) and
Castagna et al. (1993).
Static elastic moduli:
In this case study, S velocities had to be estimated
empirically from P velocities. The used relationships
are described in Mavko et al. (1998) and according
to the mineralogical content several laws are possi-
ble (Han 1986, Castagna et al. 1993, and Castagna
et al. 1985). With P velocities, estimated S velocities
and densities, undrained dynamic elastic moduli are
dyn dyn
computed (Eu and u ). To obtain drained dynamic
dyn dyn
elastic moduli (Ed and d ), a saturation correc-
tion must be applied using Biot-Gassmans equation.
In his study, Wang (2000) gave empirical relation-
ships between drained dynamic elastic moduli and
static elastic moduli used in a geomechanical numer-
ical model. This approach to determine static mod-
uli from undrained dynamic moduli is described in
Vidal-Gilbert et al. (2005).
The poroelastic properties used in the geomechan-
ical modelling are listed below:
Failure properties:
A failure criterion defines a domain in the stress space
outside of which the rock cannot withstand the load.
Rock failure strongly depends on the nature of the rock,
its initial porosity and the loading path followed. Fail-
ure criterion for limestones is commonly addressed by
Mohr-Coulombs approach:
where and
are the shear stress and normal effective
stress on the physical plane through which material
Table 1. Static elastic properties for each rock zone deduced
from P velocities (for values printed in italic, P velocity data
are not available).

Dry
density
Rock zone Porosity (kg.m3 ) E (MPa)

Overburden1 0.23 2040 3900 0.32

Overburden2 0.23 2040 2300 0.27
Overburden3 0.12 2350 16300 0.32
Overburden4 0.05 2370 5200 0.32
Overburden5 0.17 2430 20000 0.28
Overburden6 0.03 2430 8200 0.32
Overburden7 0.09 2300 4000 0.32
Sideburden 0.08 2430 20000 0.28
Reservoir 0.17 2380 14000 0.32
Underburden1 0.08 2430 27000 0.3
Underburden2 0.08 2400 10000 0.3
Underburden3 0.08 2430 20000 0.3
Figure 1. Geometry of the modelled structure.

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Copyright 2006 Taylor & Francis Group plc, London, UK

 failure occurs, c
and
being the cohesion and
the angle of internal friction of the material. Using
the deviatoric and mean effective stresses, Mohr-
Coulombs criterion is also expressed as follows:
where parameters A and B are:
Bemer et al. (2004) derived empirical correlations for
the cohesion and the angle of internal friction from in-
house IFP data and literature data. c
appears to follow
an exponential trend while
trend is linear:
with expressed in %, c0 = 40.3 MPa, c = 0.054,
f = 0.893 and f = 49 .
In their study, Bemer et al. (2004) showed that there
is a variation interval for c
and
such as:
For the Dogger limestone with 17% of porosity, we
obtain these values for c
and
:
To be in an unfavourable context, the selected failure
criterion is the one that provides the weaker uniaxial
compressive strength (Rc), given by:
and Rcmin = 30.8 MPa obtained for c
= 9.5 MPa and

= 40.8 .
2.4 Boundary conditions and regional stress state
As the lateral boundaries of the geomechanical domain
are set far from the reservoir zone, the normal dis-
placements applied to the lateral boundaries are fixed
at zero. The vertical displacement at the bottom of the
geomechanical model is also equal to zero.
The initial stress state before reservoir production is
obtained by computing the mechanical equilibrium of
the model submitted to regional stress. Total vertical
Copyright 2006 Taylor & Francis Group plc, London, UK
stress (v ) is determined by rock densities. Accounting
for the initial pore pressure issued from the reservoir
simulation, the effective stresses are computed as the
difference between total stresses and pore pressure
(
= pp 1), with the rock mechanics sign con-
vention (where compressive stresses are considered
positive). The horizontal effective stresses (h and
H ) are given by an estimated effective stress ratio
(h
/v
= H
/v
= 0.7). A computed initialization was
performed to reach a mechanical equilibrium between
the applied boundary conditions and the initial state of
stress in the structure.
3 GEOMECHANICAL SIMULATION
3.1 Pore pressure load
The pore pressure evolution was computed by reservoir
simulation performed at IFP with the following his-
tory: the initial water-oil contact is at 1466.05 m depth
and the average initial pressure is 15.9 MPa at 1460 m
depth. Three-phase flow was considered: water, oil and
CO2 and the PVT equilibrium was simulated with the
Peng-Robinson equation of state. After 33.6 years of
reservoir natural depletion, the CO2 injection into the
reservoir formation was simulated during 14.7 years.
The initial pore pressure, before reservoir production,
is given in Figure 2, where P1 is the producer well and
I0 is the injector well.
Figure 3 shows the pore pressure evolution during
production and during CO2 injection at P1 and I0 well
locations.
At the producer well (P1), the initial pressure is
15.9 MPa and at the injector well (I0), the initial pres-
sure is 15.7 MPa. At the end of production by natural
depletion (12268 days), the decrease in pressure is
4.2 MPa at P1 well and 0.5 MPa at I0 well. After reser-
voir production, CO2 injection is simulated during
14.7 years, additional oil is produced, and the pore
pressure only just reaches the initial pore pressure at
the end of CO2 injection (17450 days).
Figure 2. Initial reservoir pressure (before reservoir
production).
257

Figure 3. Pore pressure evolution between producer well
(P1) and injector well (I0).
Figure 4. Vertical effective stress evolution between pro-
ducer well (P1) and injector well (I0).
The pore pressure variations will be converted into
pressure loads in the geomechanical model for the
computation of the associated stress changes in and
around the reservoir.
3.2 Stress changes
The vertical effective stress evolution between the P1
and I0 wells is displayed on Figure 4.
Stress evolution during reservoir depletion and CO2
injection is analysed for one element in the reser-
voir rock, at the P1 well location, where the expected
increase and decrease in the effective stresses is the
highest. At this element, during depletion period,
Estimated Dogger
limestone failure line
10 '
End of injection
5
Start of injection
Initial state
0
0 5 10 15 20 25 ' (MPa)
Figure 5. Effective stress path during reservoir production
and CO2 injection into the reservoir rock, at the P1 well
location.
To analyse the stress path, results are plotted on the

diagram (
, the normal effective stress and ,
the shear stress)(Figure 5).
Reservoir depletion causes an increase in the effec-
tive stresses throughout the reservoir. The increase in
the vertical effective stresses is higher than the increase
in the horizontal effective stresses. Consequently, the
shear stresses throughout the reservoir also increase,
as illustrated by the effective stress path plotted in
Figure 5 (from Initial state circle to Start of injec-
tion circle). But, at the same time, the stress path
diverges from the estimated Dogger limestone fail-
ure line, meaning that the stress development is not
critical.
In contrast with the depletion period, the CO2 stor-
age one causes a decrease in the effective stresses
throughout the reservoir. The decrease in the verti-
cal effective stresses is higher than the increase in the
horizontal effective stresses. Consequently, the shear
stresses throughout the reservoir also decrease as illus-
trated by the effective stress path plotted in Figure 5
(from Start of CO2 injection circle to End of CO2
injection circle). The stress path converges towards
the estimated Dogger limestone failure line but the
stress development does not remain critical for the
stability of the formation.
In this study, with a realistic scenario of CO2 injec-
tion simulation, the reservoir pressure reaches the
initial pressure and the state of stress is approximately
the same as it was before reservoir production.
The impact on the caprock is really limited and
since the stress changes are very low, the mechanical
integrity of the caprock is not expected to be affected.
Nevertheless, another simulation with a simulated
CO2 injection broadly above the initial reservoir pres-
the pore pressure decrease is P = 4.2 MPa and sure could show a critical stress development reaching
the stress paths expressed as the ratio between the the Mohr-Coulomb failure criterion for a possible
variation of total horizontal stress on the variation of fault with an assumed zero cohesion. Moreover, the
pressure, is: h /P = 0.5224. During CO2 injection, reservoir uplift induced by a great increase in pres-
the pore pressure increase is P = +3.8 MPa and the sure could lead to shear stress at the reservoir-caprock
stress path is: h /P = 0.5234. boundary.

258

Copyright 2006 Taylor & Francis Group plc, London, UK


Figure 6. Vertical displacement straight below well P1
showing the reservoir and surface uplifts and the reservoir
base lowering during CO2 injection.
Figure 7. Vertical displacement throughout the whole struc-
ture during CO2 injection period.
3.3 Induced deformation
Figure 6 shows the vertical displacement at the P1 well
location. The reservoir compaction increases during
oil production to reach a maximal value of 2.8 mm
at the top of the reservoir. The associated subsidence
is approximately 1 mm. During CO2 injection, the
reservoir uplift increases to reach a maximal value of
+2.6 mm at the top of the reservoir.
The vertical displacement at the end of injection
is quasi null because the reservoir production and
CO2 injection displacements are only associated with
elastic strain.
The relative vertical displacement for the whole
structure is presented in Figure 7, after 14.7 years of
CO2 injection (vertical displacement at the end of CO2
injection minus vertical displacement at the start of
injection).
259
Copyright 2006 Taylor & Francis Group plc, London, UK
4 CONCLUSIONS
Our study illustrates a practical application of geome-
chanical numerical modelling tools for predicting the
mechanical impact of CO2 injection on reservoir and
caprock, with a realistic scenario of injection into a
geological reservoir typical of the Paris Basin context.
Nevertheless, the analysis is somewhat simplified, and
because of a lack of field and experimental data, some
of the rock properties used were been estimated from
literature data. As such, the results of this study should
be taken only qualitatively because the quantitative
results are very sensitive to the assumed rock proper-
ties and to the initial stress state. Our results from this
study present some realistic stress and strain variations
that can be compared to those obtained in studies on
underground storage of natural gas (Vidal et al. 2002,
Vidal-Gilbert et al. 2005). In the meantime, the results
indicate that the shear stress decreases in the reservoir
during injection and the mechanical effects induced
by pore pressure increase do not affect the mechanical
stability of the reservoir and caprock.
However, for a better prediction, geomechanical
data (experimental and in-situ) are required and an
integrated modelling of geomechanical and chemical
processes must be accounted for. Indeed, the chemi-
cal interaction between carbon dioxide and the rock
matrix may modify the effective rock mechanical
properties, that should be accounted for in geomechan-
ical modelling.
ACKNOWLEDGEMENTS
We would like to thank Total for providing site data
and for allowing us to present these results.
The study was supported by the PICOREF project.
REFERENCES
Barroux, C. 2005. personal communication.
Bemer, E., Vinck, O. & Longuemare, P. 2004. Geomechani-
cal log deduced from porosity and mineralogical content,
Oil & Gas Science and Technology Rev. IFP, vol. 59,
No. 4, 405426.
Castagna, J.P., Batzle, M.L. & Eastwood, R.L. 1985. Rela-
tionships between compressional-wave and shear-wave
velocities in clastic silicate rocks. Geophys., 50, 571581.
Castagna, J.P., Batzle, M.L. & Kan, T.K., 1993. Rock
Physics The link between rock properties and AVO
response, in Offset-Dependent Reflectivity Theory and
Practice of AVO Analysis, J.P. Castagna and M. Backus,
eds. Investigations in Geophysics, No. 8, Society of
Exploration Geophysicists, Tulsa, Oklahoma, 135171.
Gardner, G.H.F., Gardner, L.W. & Gregory, A.R. 1974. For-
mation velocity and density The diagnostic basics for
stratigraphic traps. Geophys., 39, 770780.
 Han, D.H. 1986. Effects of porosity and clay content on
acoustic properties of sandstones and unconsolidated
sediments. Ph.D. dissertation, Stanford University.
Mavko, G., Mukerji, T.P. & Dvorkin, J. 1998. In Cambridge
University Press, The rock physics handbook: tools for
seismic analysis in porous media.
Raymer, L.L. , Hunt, E.R. & Gardner, J.S. 1980. An improved
sonic transit time-to-porosity transform. Trans. Soc. Prof.
Well Log Analysts, 21st Annual Logging Symposium,
paper P.
Settari, A. & Walters, D.A. 2001. Advances in coupled
geomechanical and reservoir modelling with applications
to reservoir compaction. SPE Journal, 334342 (paper
74142).
260
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Vidal, S., Huguet, F. & Mechler, P. 2002. Characterizing reser-
voir parameters by integrating seismic monitoring and
geomechanics, The Leading Edge, March 2002.
Vidal-Gilbert, S., Huguet, F., Assouline, L. & Longue-
mare, P. 2005. Hydromechanical modelling of reservoir
behavior during underground gas storage exploitation,
67th European Association of Geoscientists & Engineers
Conference, Extended Abstracts, Madrid.
Wang, Z. 2000. Dynamic versus Static Elastic Properties, in
Seismic and Acoustic Velocities in Reservoir Rocks, SEG
Geophysics Reprint Series. No. 19.
 EUROCK 2006 Multiphysics Coupling and Long Term Behaviour in Rock Mechanics
Van Cotthem, Charlier, Thimus & Tshibangu (eds)
2006 Taylor & Francis Group, London, ISBN 0 415 41001 0

Bonded-particle model for thermally fractured granitic rock

T.S. Wanne & R.P. Young

Lassonde Institute, University of Toronto, Toronto, Ontario, Canada

ABSTRACT: A cylindrical granitic rock was fractured by heating in a laboratory experiment. Acoustic moni-
toring during the experiment showed the development of the cracking in the specimen. The thermal experiment
was repeated with a particle-based numerical method using PFC2D software. The numerical approach used ther-
mally homogeneous and heterogeneous materials. Also a variation of the material strengths was incorporated.
During the simulation the acoustic events were recorded and later compared against laboratory based data. The
thermal models showed similar failure behavior to the laboratory experiment. The locations and magnitudes of
the seismic events were similar. The results of the first thermal simulation with AE monitoring encourage us to
proceed with more complex thermal problems.

1 INTRODUCTION du Bonnet (LdB) granite (Jackson et al., 1999). The

In a study by (Jansen et al., 1993) a cylinder of
Lac du Bonnet granite (LdB) is heated by a heater
placed in a central borehole. During the experiment
acoustic events are monitored enabling a detailed
damage evolution study. The sample failed ultimately
because of the high tensile hoop stresses produced by
a strong thermal gradient. In this study the experi-
ment is repeated using a numerical modeling method
called bonded-particle modeling, or PFC2D (Itasca
Consulting Group, Inc., 2004a). The method enables
us to model complex features of failure processes of
brittle materials. In the numerical model acoustic emis-
sion (AE) events are monitored during the simulated
laboratory scale thermal experiment. The existing lab-
oratory AE data is then used to qualitatively compare
the response of the numerical model. The study is one
of the first to use the method with respect to thermal
cracking.
1.1 Experimental approaches to study
thermal damage
The effect of temperature on rock properties has
been widely studied on laboratory-scale specimens.
The experiments have had two main components:
the effect of temperature on macroscopic proper-
ties and secondly studies on grain-scale effects, like
microcracking.
Measured macroscopic properties, such as static
strength, deformability, and fracture toughness, tend
to decrease with increasing temperature. This is known
for example for marble and sandstone (Mahmutoglu,
1998), for gabbro (Zhang et al., 2001), and for Lac
heating induced damage can be detected by veloc-
ity measurements which have shown that velocity
decreases with increasing temperature. For example
(David et al., 1999) used velocity techniques to study
La Peyratte granite.
Experimental studies of the detailed thermal crack-
ing of rock can be found in the literature like (Davidge,
1981), (Homand-Etienne & Houpert, 1989), and
(Menendez et al., 1999). They conclude that usually
thermal cracking is due to the mismatch in the ther-
mal expansion coefficient between adjacent minerals
and produces intergranular cracking.
1.2 Analytical approaches to study thermal damage
(Walder & Hallet, 1985) presented a theory of cracking
of rock during cooling using fracture mechanics prin-
ciples. In their study the driving force for the cracking
is the growth of ice crystals in rock. Similar to the
approach by (Keer et al., 1979) the study concentrated
on crack growth as the temperature front propagates
deeper into the material. The theoretical model indi-
cates that the crack growth rate depends on various
material parameters, such as crack size, grain size, and
grain shape.
(Giannopoulos & Anifantis, 2005) analyzed fric-
tional crack closure under thermal loading.They used a
modified boundary element method in which the prob-
lem is divided into sub-regions in order to take account
the contact behavior of the crack surfaces. The formu-
lated two-dimensional procedure was compared with
analytical solutions.
To simulate the behavior of concrete under thermal
loading (de Borst & Peeters, 1989) used a smeared

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Copyright 2006 Taylor & Francis Group plc, London, UK

 crack model. The analytical approach was imple-
mented using finite element method. The model was
used to predict fire test on a concrete slab. In the
method damage was not represented explicitly. A simi-
lar modeling approach was proposed by (Pearce et al.,
2004).
An interesting article by (Whittles et al., 2003)
discusses the fracturing of rock with microwave heat-
ing. They modeled heating induced fracturing with
the FLAC finite difference program (Itasca Con-
sulting Group, Inc., 2002). The model consisted of
two different mineral entities randomly positioned in
the numerical sample. The model zones were heated
according to applied microwave heating. Actual frac-
turing was interpreted with a constitutive law using
stresses and strains in model zones. By using a sim-
ple continuum model it was shown that by increasing
microwave power (hence applied temperature) higher
stresses arise which, intuitively, is expected. Jones
et al. (2005) conducted further sensitivity analysis on
the problem, such as the effect of particle size. (Wilson,
2003) presented analytical models for rock failure due
to the thermal shock loading. He showed that internal
cracking from the sudden increase of pore pressure
can occur at only slightly elevated temperatures, unlike
spalling which needs higher temperatures.
(McHugh & Connolly, 2003) studied crack prop-
agation and ductile failure in metallic material. In
the approach the material ligaments were explicitly
represented in a finite element model. In the study
they found that the modeled fracture toughness val-
ues were highly mesh resolution dependent, with finer
meshes giving lower values.The same size dependency
was also observed using PFC2D to measure fracture
toughness (Potyondy & Cundall, 2004).
2 EXPERIMENTAL DATA
Existing laboratory experiment data was used to com-
pare the numerical model response. A sample of LdB
granite was thermally cycled to progressively higher
temperatures with a heater placed in a central vertical
borehole. AE monitoring data was collected during
the experiment. A detailed description of the exper-
iment is given in (Jansen et al., 1993) and (Carlson
et al., 1993). The sample originated from Underground
Research Laboratory, Canada, and was a 30 cm diame-
ter and 22 cm long cylinder with a through going 3 cm
axial borehole.
The sample was exposed to six thermal cycles with
temperatures varying from 75 C to 245 C. Early AE
events were located around the inner borehole (i.e.
near heater) and were mostly shear events. Later pre-
failure events, mainly tensile, were sparsely distributed
around the sample, Figure 1a. During the final ther-
mal cycle the events started to localize. The events
262
Copyright 2006 Taylor & Francis Group plc, London, UK
Figure 1. (a) Early and (b) post-failure AE events of the
cylindrical sample (after Carlson et al., 1993).
were clustered along the would-be failure plane and
finally along the plane, Figure 1b. The AE concentra-
tion corresponds with the visual observations of the
fracture.
The fracture plane initiated at the outer surface of
the sample and propagated inward toward the heater.
The fracture was driven by a strong thermal gradient
which generated tensile hoop stresses in the cooler
outer portions of the samples.
3 MODELING METHODOLOGY
3.1 Particle flow code in 2 dimensions
PFC2D was used to replicate the laboratory ther-
mal cycling experiment. The approach models the
movement and interaction of circular particles by the
distinct element method. The method represents solid
rock by an assembly of circular particles joined by
breakable bonds, hence bonded-particle model. The
damage occurs by bond breakages, thus the mate-
rial can evolve from solid to granular. PFC2D has
been used to simulate for example hydraulic frac-
turing in rock (Al-busaidi, 2004), seismic velocities
(Hazzard & Young, 2004b), failure around a circu-
lar opening (Fakhimi et al., 2002) and its impact on
a tunnel liner (Wang & Tannant, 2004). A thorough
description of PFC2D modeling of rock is given in
(Potyondy & Cundall, 2004). (Dedecker et al., 2003)
used the approach to model heat flow near a bore-
hole. The model had an existing fracture, as well
as, simulated hydraulic pressure. The model repro-
duced physical phenomena observed in-situ, although
no direct comparison was made.
3.2 Thermal model description
In PFC2D thermal algorithms allow the simulation
of the heat conduction and the development of ther-
mally induced displacements and forces. The thermal
material is presented as a network of heat reservoirs
(particles) and thermal pipes (contacts). Heat flow
 occurs via conduction in the pipes that connect the Table 1. Mechanical properties of PFC2D specimens and
reservoirs. The heat network evolves during the mod- LdB granite.
eling based on the loading state. A comprehensive
description of the thermal algorithms is given in Specimen
(Itasca Consulting Group, 2004b).
mB15 mD15 mE15 LdB granite
In general formulation each reservoir is associated
with a temperature (T), a mass (m), a volume (V), Mean grain 1.3 1.3 1.3 3
a specific heat (C), and a linear thermal expansion radius (mm)
coefficient (t ).A pipe, which connects two reservoirs, Uniaxial 199 * * 200
is associated with a power (Q) and a thermal resistance strength (MPa)
(). Each pipe is regarded as one-dimensional line with Youngs 67 * * 69
a length of L, the power in a pipe is given by Equation 1. modulus (GPa)
Brazilian 46 28 10 9.3
strength (MPa)
Poissons ratio 0.32 * * 0.25

where T is the temperature difference between the * Values were not determined.
two connecting reservoirs on each end of the pipe. A
Table 2. Thermal properties of PFC2D specimens.
heat conduction equation for a single reservoir is given
by Equation 2. Set of thermal properties

tD tE tF tG tH

Specific heat 1015

where Qv is a possible heat source, and the summation
represents power of pipes that are flowing out of the
reservoir.
Temperature changes in a model produce thermal
strains via thermal expansion. This is accounted by
changing particle radii and modifying bond forces.
Particle radii are modified based on t and temperature
change on each particle. Each bond between two par-
ticles is carrying normal and shear components of the
force. Thermal expansion is accounted for the normal
component of the force vector by effectively changing
the bond length. The approach gives a force increment
due to thermal expansion which is added to the cur-
rent value of the force vector. When the temperature
change is negative the normal force in a parallel bond
increases, and vice versa.
3.3 Acoustic emissions
PFC2D uses an explicit time-marching calculation
scheme to simulate material behavior. This allows
dynamic simulations to be performed in which seis-
mic waves propagate across material at a speed that
depends on the material properties. Each bond break-
age is assumed to be a microcrack. When a bond breaks
the stored strain energy is released as a kinetic energy
in the form of seismic wave. Microcracks that occur
close together, both in space and time, are considered
a single seismic event. The approach permits realistic
event magnitude distribution and source mechanism
results (Hazzard & Young, 2002). The numerical seis-
mic monitoring technique has been used in studies like
(Young et al., 2000), (Hazzard & Young, 2004b), and
(Hazzard & Young, 2004a).
(J/kg K)
Conductivity 3.5
(W/m K)
Expansion 3.5e6 25e6 10.0e6 16.5e6 15e6
(1/K) 15e6 9e6
10e6 6e6
4 NUMERICAL SPECIMENS
The numerical specimens for LdB granite were cre-
ated based on the strength and deformation proper-
ties by (Martin, 1993). The specimens were parallel
bonded and created using material genesis procedures
described in (Potyondy & Cundall, 2004). Uniaxial
and Brazilian tests were performed on the specimens
to determine their macroscopic properties. The macro-
scopic deformation and strength properties of the
numerical specimens and actual Lac du Bonnet granite
are given in Table 1.
The value of t for LdB was found to be between
3.2 106 1/K to 15.8 106 1/K (Baumgartner
et al., 1996 and Jackson et al., 1999). Because the value
varies in some extent several numerical specimens
with different t values were built.
In addition of varying t , two different thermal
material types, homogeneous and heterogeneous, were
introduced. They differed in a way of how the ther-
mal expansion coefficient values were assigned. In
the homogeneous thermal material the same value of
t was associated with all the model particles. In the
heterogeneous material three different particle groups
were identified in the specimen and then three differ-
ent thermal expansion coefficients were assigned for

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Copyright 2006 Taylor & Francis Group plc, London, UK

 Figure 2. Experimental set-up showing the temperature
controlled heater and boundary particles, and temperature
probe locations.
those particles. The particles belonging to each group
were randomly scattered in the specimens. Thermal
properties of the models are shown in Table 2.
The specimens were combinations of assigned
mechanical and thermal properties. For example spec-
imen A had mechanical properties of mD15 from
Table 1 and thermal properties of tE from Table 2.
A total of 12 combinations, i.e. different specimens,
were tested.
The heater was modeled by identifying a set of
particles which lie around the central borehole and
then controlling the temperature of those particles
during the modeling. The temperature of the outer par-
ticles was fixed to 20 C which simulated the room
temperature. Temperature was measured during the
simulations at four locations. Figure 2 shows the
experimental set-up with heater and outer boundary
particles identified by arrows.
5 RESULTS AND DISCUSSION
The laboratory rock cylinder was subjected to cyclic
thermal loading where the temperature was gradually
increased in every cycle. In the numerical simulations
the same approach was taken, initially. During the heat-
ing widely scattered cracking occurs in an increasing
manner with increasing temperature. At some point the
temperature reaches a value when the induced stresses
exceed the strength of the material and failure is said to
occur. The failure temperature depends on the value of
thermal expansion and on the base material strength.
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Copyright 2006 Taylor & Francis Group plc, London, UK
Figure 3. Temperature ( C) and number of microcracks dur-
ing a numerical thermal cycling experiment. Temperatures
were monitored at four different locations in the specimen
(shown in Figure 2).
The thermal material type did not have a significant
effect on the failure temperature. Figure 3 shows an
example graph of temperature histories and number
of cracks.
5.1 Microstructural damage
During the initial stages of the heating widely dis-
tributed cracking was observed in the specimens. As
the temperature was increased the cracking started to
increase more rapidly leading to the failure of the
specimen. In the models the final failure initiated
from the outer surface of the specimen and prop-
agated inward. The macroscopic failure mechanism
was similar for thermally homogeneous and hetero-
geneous specimens. The development of the final
failure is shown in Figure 4. The driving force was
strong tensile stresses at the specimen outer bound-
ary. This was verified by observing the forces in the
bonds in the model. The bonds near the borehole were
in compression. Similar tensile stress driven failure
was observed during the laboratory experiment of the
heated cylinder.
Few differences were also observed when compar-
ing the numerical data to the laboratory experiment.
Firstly during the laboratory experiment the tempera-
ture was cycled and cracking was observed to occur
during the heating and cooling phases. In the numerical
simulations cracking only occurs during the heating.
The microstructure of the model is considered to be too
simple to produce cracking during cooling. Complex
 Figure 4. Fracture propagates from outer surface of the
specimens during the heating experiment (left earlier, right
later). The arrow points to the propagating fracture front. Par-
ticles are in their final position hence the gap due to separation
of pieces after failure. (Specimen mD15_tG).
particle clusters could be introduced in order to pro-
duce additional cracking during cooling. The complex
cluster shapes would allow stresses to be locked during
the thermal cycling that could then lead to additional
cracking.
Another interesting observation in the laboratory
experiment was minor radially oriented cracking pat-
terns which originated from the borehole. During the
laboratory experiment three about 120 oriented lin-
ear cracking features were observed that include the
main failure plane from outer surface and two par-
tially developed fracture lines at the lower part of
the specimen. Similar observation was made during a
hydro-fracture experiment in which a cylindrical rock
specimen was failed via a fluid pressure applied to
a central borehole (Al-Busaidi et al., 2005). The rea-
son for this is not fully understood. One hypothesis
is that the configuration forms to minimize an energy
functional, i.e. it is the most stable state under the load-
ing conditions. This is further discussed in (Jagla &
Rojo, 2002). The approach assumes that there will be
cracking at some portions around the hole so that pre-
ferred conditions will be met. That might be a cause
why radially oriented cracking was not observed in
the models. The cracking started at the outer boundary
propagating inward, and there was not enough crack-
ing near the borehole to initiate the aforementioned
stress re-orientation process unlike in the laboratory
experiment.
5.2 AE events
In the models AE events were determined. Based on
the event properties the corresponding moment tensors
are calculated for each event. Figure 5 shows the AE
events and moment tensors before and after failure for
two specimens. The pre-failure events are isolated and
randomly located and each is build mainly from only
one microcrack. The failure happens so fast that it is
recorded as a one event, even though the event consists
of tens of microcracks. The moment magnitudes of
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Copyright 2006 Taylor & Francis Group plc, London, UK
Figure 5. Acoustic events (plotted as circles) and moment
tensors (plotted as equivalent force vectors) just before and
after failure (post includes also pre-failure events). (Specimen
mE15_tF).
the events range from about 5 to 3 which are typi-
cal values for laboratory scale experiments (Thompson
et al., 2005).
In the laboratory experiment the amount of tensile
and shear events was about equal in the early stages
of the heating. In the numerical models the pre failure
events were dominantly tensile (8085%) with a few
shear events concentrating around the borehole. The
source type classifications of the model events were
done based on moment tensor isotropic components
(k). If k is >0.2 the event is classified as tensile, if
k is <0.2 it is compressive, otherwise it is classi-
fied as a shear event. See (Pettitt, 1998) for additional
description of the source type classifications.
6 SUMMARY AND CONCLUSION
This was the first numerical modeling experiment with
PFC2D using thermal loading and AE monitoring. The
numerical experiments were conducted successfully
and compared against similar laboratory experiment.
Cracking during the heated experiment was monitored
in both cases and they were qualitatively similar. The
model was able to capture the essential key behavior
of the laboratory experiment, which was the macro-
scopic tensile failure driven by high hoop stresses in
the perimeter of the specimen.
A direct comparison between the actual and simu-
lated AEs was not performed due to the two dimen-
sional nature of the model. However qualitative
comparisons showed that simulated AEs resembled
those of the laboratory experiment. Also the resulted
event magnitudes were in proper range.
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 2 Long term behaviour
2.1 Theoretical concepts and laboratory studies

Copyright 2006 Taylor & Francis Group plc, London, UK

 EUROCK 2006 Multiphysics Coupling and Long Term Behaviour in Rock Mechanics
Van Cotthem, Charlier, Thimus & Tshibangu (eds)
2006 Taylor & Francis Group, London, ISBN 0 415 41001 0

Experimental study on strength weakening characteristics of soft rock

subject to wetting

S. Cai & S. Ming

School of Civil Engineering and the Environment, University of Science and Technology Beijing, Beijing, China.

ABSTRACT: The strength weakening characteristics of soft rock subject to wetting impacts upon underground
excavation and tunneling. A number of experiments have been done in the laboratory, with specimens of various
soft rock types, mainly red slate, chlorite skarn, alternated diorite, and alternated diorite-porphyrite coming from
the Xiaoguanzhuang underground iron mine, China. Based on the experimental results, some discussion and
analysis on the weakening mechanism has been given out.

1 INSTRUCTION There are a number of documents related to study

The Xiao-Guan-Zhuang (XGZ) underground iron mine
is in the Shandong province, east China. The deposit
of the XGZ mine is in the depth of 400 m underground,
and has a strike length of 2100 m, a width of 200 m,
a dipping angle of 1030 . A sublevel mining method
is used in the mine, and the drift has a section area
of 5.0 m 5.0 m. The country rocks adjacent to the
deposit are soft rocks, mainly red slate, diopside skarn,
chlorite skarn, alternated diorite, alternated diorite-
porphyrite and so on, and heavily fractured. Hence,
when subject to wetting the drifts are hardly to remain
stable for half a year. About 45% drifts have to be
restored during mining production (Zhao, 2004). The
typical damage of drifts was footwall swelling, and
sidewall or roof splitting. To overcome the unstable
problem of drifts, a research project had been taken, at
first, the disintegration, the swelling and the strength
weakening characteristics of the soft rocks had been
tested in the laboratory. In this paper, the strength
weakening characteristics of soft rocks are presented.
performance and properties of soft rocks (Brady &
Brown, 1985; Brown, 1981; He, et al, 1999), and those
widely used approaches are also followed here.
2 ROCK TYPES AND ROCK PROPERTIES
For laboratory experiment, 4 main types of soft rock
were included, i.e., red slate, chlorite skarn, alter-
nated diorite and alternated diorite-porphyrite. All
rock blocks for preparing rock specimens were taken
from the 290 m level of the XGZ mine, i.e., about
500 m depth underground.
The mineralogical analysis of those 4 types of soft
rocks was carried out in the laboratory, and the results
are listed in Table 1.
The typical micro-structures of the alternated
diorite-porphyrite and the chlorite skarn are shown in
Figure 1.
To analysis the water content of rock specimens sub-
ject to wetting, some prepared rock specimens were

Table 1. The results of mineralogical analysis of soft rocks.

Content of main minerals, %

Type of Soft rock Quartz Plagioclase chlorite CaCO3 Montmorillonite Calcite

Red slate 35 30 10 <20

Ch-skarn 5 5 <80 2 5
Al-diorite 7 37 6 <20
Al-D-porphyrite 4 5 5 3 75 5

Note: Ch-skarn presents chlorite skarn, Al-diorite presents Alternated diorite, and Al-D-porphyrite
presents Alternated diorite-porphyrite.

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Copyright 2006 Taylor & Francis Group plc, London, UK

 (a) Montmorillonite of A1-D-porphyrite (b) Coarse crystal structure of Ch-skarn

Figure 1. Micro-structures of the alternated diorite-porphyrite and the chlorite skarn.

Table 2. Testing results of water content vs soaking time of rock specimens.

Water content for various soaking time, %

Rock type 0h 8h 16 h 24 h 48 h 72 h 120 h

Red slate 2.06 4.00 5.64 6.56 8.04 8.64 9.03

Ch-skarn 3.08 10.21 15.00 17.80 21.00 22.70 23.40
Al-diorite 2.71 3.80 4.83 5.53 6.87 7.81 8.52
Al-D-porphyrite 2.28 3.67 4.82 5.57 7.01 7.62 8.10

soaked in water for various hours, and the testing

results are listed in Table 2, and also shown in the Al-diorite
Red slate
Figure 2. From the Figure 2, it could be found that
when soaking time up to about 120 hours, the rock Ch-skarn Al-D-diorite
specimens were nearly saturated. 25

20
Water content,%

3 LABORATORY EXPERIMENTS
15
3.1 Experimental procedure
Generally, for getting the uniaxial compressive strength 10
of rock specimens, the testing procedure suggested by
the ISRM (Brown, 1981) should be followed. And for
this study, soft rocks subject to wetting were hardly 5
to form a number of rock specimens used in testing
machine, therefore, the point-load test procedure was 0
adopted. In the experiment, a XD-2 portable point-load 0 20 40 60 80 100 120
instrument was used. Soaking time of rock specimens, h
Rock specimens were prepared in a diameter of
D, D = 5055 mm, with a length of B, and D/B = Figure 2. Relationship of water content vs soaking time of
1.1 0.05 mm. Hence, the point-load strength index rock specimens.

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Copyright 2006 Taylor & Francis Group plc, London, UK

 Table 3. Testing results of strength weakening of soft rocks subject to wetting.

Specimen Testing Soaking Water IS c

Rock type status set time, h content,% MPa MPa Sw Note

Red slate Dried specimen A1 1 0 0.00 1.91 36.0 1.0 Specimens

A1 2 20 became mud
Natural specimen A2 1 0 2.06 1.73 32.70 1.0 Specimen surface
A2 2 20 6.20 1.18 22.30 0.68 became mud
A2 3 40 7.30 0.81 15.40 0.47
A2 4 60 8.87 0.64 12.10 0.37
A2 5 80 9.03 0.53 10.00 0.31
Ch- skarn Dried specimen B1 1 0 0.00 2.25 42.50 1.0
B1 2 20 15.50 0.97 18.27 0.43
B1 3 40 19.30 0.47 8.90 0.21
B1 4 60 23.10 0.36 6.80 0.16
B1 5 80 24.70 0.23 4.25 0.10
Natural specimen B2 1 0 3.08 1.18 22.30 1.0
B2 2 20 14.21 0.82 15.40 0.66
B2 3 40 18.20 0.55 10.40 0.46
B2 4 60 21.30 0.41 7.80 0.35
B2 5 80 23.30 0.29 5.50 0.24
Al- diorite Dried specimen C1 1 0 0.00 4.60 87.30 1.0
C1 2 20 6.67 2.32 41.90 0.48
C1 3 40 7.81 1.31 27.90 0.32
C1 4 60 8.87 1.10 20.80 0.24
C1 5 80 9.13 0.98 18.70 0.21
Natural specimen C2 1 0 2.71 3.01 57.00 1.0
C2 2 20 6.50 2.02 34.70 0.61
C2 3 40 8.12 1.16 21.70 0.38
C2 4 60 8.33 1.02 19.30 0.34
C2 5 80 8.50 1.01 19.00 0.33
Al-D- Porphyrite Dried specimen D1 1 0 0.00 6.01 113.70 1.0
D1 2 20 6.83 2.80 53.10 0.47
D1 3 40 7.57 1.50 28.40 0.25
D1 4 60 8.96 1.02 19.30 0.17
D1 5 80 9.07 0.98 18.60 0.15
Natural specimen D2 1 0 2.28 4.18 79.00 1.0
D2 2 20 5.43 2.58 48.70 0.62
D2 3 40 7.11 1.62 30.60 0.39
D2 4 60 7.87 1.34 25.30 0.32
D2 5 80 8.01 1.22 23.10 0.30

of rock specimens IS is:
where, P is the maximum pressure loaded on the axial
direction of specimens, and D is the diameter of the
specimens.
And for calculating the uniaxial compressive strength
of rock specimens, we have:
where, c is the uniaxial compressive strength of rock
specimens, and IS is the point-load strength index.
The strength weakening ratio of soft rock specimens
subject to wetting is defined as:
where, Sw is the strength weakening ratio of soft rock
specimens, w is the uniaxial compressive strength of
wetted rock specimens, and d is the uniaxial com-
pressive strength of dry or natural rock specimens.
3.2 Experimental results
The laboratory experimental results of strength weak-
ening of soft rock specimens are listed in the Table 3,
in which each testing set had two rock specimens with
the same conditions, and the listed data are the average
value of those two rock specimens.
Based on the data in Table 3, the relationship of
strength weakening ratio vs water content for natural
specimens of soft rocks are plotted in the Figure 3,

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Copyright 2006 Taylor & Francis Group plc, London, UK

 1 1
0.9 0.9

Strength weakening ratio

Strength weakening ratio
0.8 0.8
0.7 0.7
0.6 0.6
0.5 0.5
0.4 0.4
y = 0.0976x 1.2191 y = 0.0372x 1.1376
0.3 2 0.3
R = 0.9775 R2 = 0.9885
0.2 0.2
0.1 0.1
0 0
0 2 4 6 8 10 0 5 10 15 20 25
Water content,% Water content, %
(a) Red slate (b) Chlorite skarn

1 1
0.9 0.9
Strength weakening ratio

0.8 0.8
Strength weakening ratio

0.7 0.7
0.6 0.6
0.5 0.5
0.4 0.4
y = 0.1167x 1.3291 y = 0.1229x 1.2809
0.3 0.3
R2 = 0.9937 R2 = 0.9989
0.2 0.2
0.1 0.1
0 0
3 4 5 6 0 1 2 7 8 9 3 4 5 0
6 1 2 7 8 9
Water content, % Water content, %
(c) Alternated diorite (d) Alternated diorite-porphyrite

Figure 3. Relationship of strength weakening ratio vs water content for natural specimens of soft rocks.

where it could be seen that the relationship is rather means that more water would be absorbed by
linear, hence, a regression line with its equation is also dried specimens, and the strength weakening ratio
presented. of dried specimens would become less.
(3) Strength weakening ratio is also related with the
crystal structure of soft rocks. For instance, the
4 DISCUSSIONS chlorite skarn has a coarse crystal structure as
shown in the Figure 1, hence, compared with the
(1) During experiments, with the increase of soaking saturation limit of about 9.0% for the other 3 soft
time, some cataclastic rockfall or rock mud disin- rocks, the saturation limit of chlorite skarn is about
tegrated from the testing specimens was seen, and 24.0%, which leads the strength weakening ratio
typical one for red slate specimens is shown in of chlorite skarn less.
the Figure 4. Besides that, some swelling of test-
ing specimens was also found (Lu, et al, 2005).
5 CONCLUSIONS
Hence, for soft rock subject to wetting, the disin-
tegration, the swelling and the strength weakening
Laboratory experiment had been carried out to get
would happen simultaneously.
the strength weakening ratio of 4 types of soft rocks
(2) For soaking the same time, the strength weaken-
subject to wetting, the results are shown that:
ing ratio of dried specimens decreases much faster
than that of natural specimens. The main mecha- (1) With the increase of water content, the compres-
nism seems that because of drying, the number of sive strength of soft rocks decreases rapidly, the
fractures would become more and the size of frac- relationship of water content and strength weaken-
tures would become larger in specimens, which ing ratio is linear. Especially, at about 40 soaking

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Copyright 2006 Taylor & Francis Group plc, London, UK

 (a) Rockfall
Figure 4. Typical rockfall and rock mud disintegrated from red slate specimens during soaking.
hours, the strength of soaked specimens is 3040%
of that of natural specimens.
(2) For dried specimens of soft rocks, if subject to
wetting again, the compressive strength decreases
even more rapidly than that of natural specimens.
Hence, cycling of dry-and-wet of soft rocks may
lead to disintegration of soft rocks.
(3) To improve the stability of drifts in soft rocks,
such as in the XGZ mine, the previous grouting of
resin or grout in rock mass, and the drift surface
covering by shotcrete or other materials should be
considered (Ming & Yu, 2005).
ACKNOWLEDGEMENTS
The research work presented here is supported by the
National Natural Foundation of China (No.50374005).
And the permission to publish this paper by the XGZ
mine is also greatly acknowledged.
273
Copyright 2006 Taylor & Francis Group plc, London, UK
(b) Rock mud
REFERENCES
Zhao, Z. (2004) Efficient mining practice of ore deposit with
complicated geological conditions in the XGZ mine, (in
Chinese), Metal Mine, China, Series No.332: 2023.
Brady, B.H.G. and Brown, E.T. (1985) Rock Mechanics for
Underground Mining, George Allen & Unwin, London.
Brown, E.T.(1981) Rock Characterization Testing and
Monitoring: ISRM Suggested Methods, Pergamon,
Oxford.
He, M.C., Huang, F.C. and Yan, J.T. (1999) Technical Status
and Progress of Soft Rock Engineering (in Chinese), Press
of Coal Industry, Beijing.
Lu, P., Cai, S., Yang, P. and Rosenbaum, M.S. (2005)
Disintegration characteristics of weak rocks using the
grey prediction technique, Geotechnical and Geological
Engineering, 23: 131139.
Ming, S. andYu,Y.P. (2005) Study on the Strata Pressure Con-
trol in the XGZ mine, (in Chinese), Metal Mine, China,
Series No.343: 911.
 EUROCK 2006 Multiphysics Coupling and Long Term Behaviour in Rock Mechanics
Van Cotthem, Charlier, Thimus & Tshibangu (eds)
2006 Taylor & Francis Group, London, ISBN 0 415 41001 0

Intelligent analysis of rheological characteristic of rock materials

Xia-Ting Feng
School of Resources and Civil Engineering, Northeastern University, Shenyang, China
Institute of Rock and Soil Mechanics, Chinese Academy of Sciences, Wuhan, China

Bing-Rui Chen & Chengxiang Yang

School of Resources and Civil Engineering, Northeastern University, Shenyang, China

Hui Zhou
Institute of Rock and Soil Mechanics, Chinese Academy of Sciences, Wuhan, China

ABSTRACT: This paper presents two new hybrid algorithms to identify visco-elastic models of rock masses
such as pattern search method to identify the model structure and its coefficients from laboratory testing data
of the rheological behaviors of rock and evolutionary neural network algorithm to recognize the visco-elastic
parameters of the rheological model of rock masses using the field measured displacement data at the tunnel.
The latter was developed based on the study of the former. The method has been used to recognize the models for
celadon argillaceous rock and fuchsia argillaceous rock. The convergent velocity of the algorithm and uniqueness
of the model were also analyzed and compared. Applicability of the recognized models was also verified by using
them to analyze the long term stability of rock mass in the field with a comparison of the measured displacement
later. Finally, the entire process of recognition and long term stability of the tested tunnel at Goupitan Hydropower
project, China, was studied.

1 INTRODUCTION above methods, proposed in published literatures, can

It is very important for studying rheological char-
acteristic of rock or/and rock mass to identify the
rheological model structure and its coefficients. It is
more general method that preliminary study is carried
out for rheological characteristic based on laboratory
testing data of the behaviors of rock, and further study
is developed by comparing predicted behavior with
the field behavior. Least square method is important
one of many algorithms recognizing parameters of
model for laboratory testing data of the rheological
behaviors (Li, 1998; Wang et al., 2001; Cao et al.,
2002). However rheological phenomena are very com-
plex and high nonlinear, if the initial location of param-
eters to optimize is not appropriate, the divergence
occurs easily for least square method. So recognition
algorithm of the model structure and its coefficients,
which uses pattern search method, is proposed based
on the characteristic of the creep. The algorithm is
simple for operation, stable for convergence, and good
for precision. It is a general method that identification
of rheological parameters is based on the field behav-
ior of rock mass with back analysis method (Wang
et al., 1988; Wang & Yang, 1987; Li & Wang, 1989;
Liu et al., 2002; Gao et al., 2004; Zhu et al., 1997). The
describe rheological characteristic of rock mass rather
truly to some extent, but it is limited for large-scale
rock engineering owing to complex and consume-time
numerical simulation. Hence, evolutionary neural net-
work algorithm is introduced. It substitutes the learned
neural network for consume-time numerical calcula-
tion, and velocity and precision of identification both
are improved. Finally the two methods proposed in the
paper are hybridized to identify the model structure
and its coefficients of rock mass visco-elastic models.
2 HYBRID IDENTIFICATION ALGORITHM
2.1 Identification algorithm based on pattern
search method
Pattern search is a direct search method having advan-
tages of flexibility, robustness, and simplicity (Chen,
1989; Yosef et al., 1994). It calculates function values
of the pattern and tries to find a minimizer. If it finds
a new minimum value, then it changes the center of
pattern and iterates. If all the values on the pattern fail
to produce a reduction, the search step length (or pat-
tern size) is reduced by half. This search continues

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Copyright 2006 Taylor & Francis Group plc, London, UK

 until the search step length gets sufficiently small, thus
ensuring convergence to a local minimum. Efficiency
is gained by reusing pattern values as the pattern center
moves.
Rock is a very complex geological material. If it is
not known adequately, it is difficult to identify rhe-
ological model appropriately. So it is necessary that
several models are firstly given based on rheological
characteristic of rock material. Secondly, given model
is selected in turn and its parameters is recognized
with pattern search methodology. Finally, rheologi-
cal model structure and its coefficients of the rock
material are identified based on the residual sum of
squares of the behavior predicted by the model and
actual behavior of material.
2.2 Hybrid identification algorithm
Hybrid identification algorithm of rheological model
and its coefficients of rock mass is a back analysis
method. The entire process of recognition can be
simply described as following:
Firstly, model structure and its parameters are rec-
ognized using pattern search method mentioned above
based on laboratory testing data of the rheological
behaviors of rock. Secondly, studying the parameters
of rock identified above and rheological behavior of
rock mass in field synthetically, the ranges of param-
eters of rock mass are ascertained by comparing
with rheological parameters of other rock engineer-
ing. Thirdly, the schemes for numerical calculation are
planed using uniform design methodology (Fang &
Ma, 2001) and the samples, which are used to train
weights and thresholds and test the prediction perfor-
mance of neural network (Wang et al., 2000) whose
architecture is determined in global optimum by
improved genetic algorithm (Feng et al., 1999; Li et al.,
2002), are produced by numerical method. The neu-
ral network, which is trained and tested by samples,
is used to describe the relation between rheological
parameters of rock mass and displacement in situ.
Finally, during the whole process of identification
using an improved genetic algorithm, numerical cal-
culation is replaced by the trained neural network for
optimizing parameters quickly and actual behavior of
rock mass is regarded as the goal of back analysis all
along. Further analysis and study are developed using
the model structure and coefficients recognized with
hybrid algorithm at tested tunnel. The entire process
of identification see (Figure 1).
3 CASE STUDIES CASE 1
3.1 The specimen for creep test
Two kinds of soft rocks, the celadon argillaceous rock
and fuchsia argillaceous rock belonging to the Hanjia-
dian group, were taken in No. 3 sub-tunnel at No. 52
276
Copyright 2006 Taylor & Francis Group plc, London, UK
Laboratory testing data
Pattern search
Rheological model structure
and parameters of rock
Rheological Parameters Monitoring data
of other engineering in situ
Ranges of rheological parameters
Uniform design
Calculating schemes
Numerical method Geological model
Learning and testing samples
Genetic Algorithm
Optimum network architecture
Training network
Monitoring displacements Genetic algorithm
Rheological parameters of rockmass
Numerical analysis
Figure 1. Flowchart of identification process of rheological
parameters of rock mass.
tunnel of Goupitan hydroelectric power station, China.
The specimens with the size of 50 mm 100 mm
were tested on LYJ series rock rheological testing
machine at uniaxial compressive creep process with
step-by-step loading pattern. The temperature was kept
as 18 C with a constant temperature control during the
entire test. The loading direction is vertical to layer of
the rock. The displacement was immediately recorded
when the loading process started. And then the creep
displacement was recorded at the cumulative time of
5 min, 10 min, 15 min, 30 min, 1 h, 2 h, 4 h, 8 h, 12 h,
16 h, and 24 h, respectively. After the test continued
for 24 h, the displacement was recorded twice per day
until creep of rock was stable (i.e. the deformation dur-
ing 24 h is less than 1 103 mm). And then the next
loading step was carried out. The process was ana-
logically carried out until the entire test was finished
(Liu, 1996).
3.2 The recognized results of visco-elastic models
for rock samples
Based on laboratory testing data of the celadon argilla-
ceous rock and fuchsia argillaceous rock, the four ten-
tative known rheological models such as Kelvin body,
 Table 1. Identified parameters for Celadon argillaceous 5.39MPa

( 0.001)
18
rock visco-elastic models. 4.77MPa
15
Celadon argillaceous rock 3.57MPa
Model Residual sum of
name Ei (GPa) i (GPa.h) squares (106 ) 12
2.98MPa
9
Kelvin E1 = 3.29 1 = 4.39 6.86 2.08MPa Test
-Voigt E2 = 20.96 6 1.48MPa Burgers
Burgers E1 = 1.31 1 = 317.20 6.78
E2 = 0.41 2 = 2.95 3 t (h)
Poyting- E1 = 0.29 1 = 1.88 6.86 0.9MPa
Thomson E2 = 0.97 0
Kelvin E1 = 0.31 1 = 1.38 13.24 0 200 400 600

Figure 2. Comparison of predictions of the recognized

model with the creep testing data for the celadon argillaceous
rock.
Table 2. Identified parameters for Fuchsia argillaceous rock
visco-elastic models.
4 11.70MPa
Fuchsia argillaceous rock 10.84MPa
Model Residual sum of

( 0.001)
name Ei (GPa) i (Pa.h) squares (106 )
3 8.31MPa
Kelvin E1 = 20.96 1 = 4.39 1.57
-Voigt E2 = 3.29
Burgers E1 = 3.29 1 = 4.13 1.63
E2 = 2.17 2 = 1000 2 5.41MPa
Poyting- E1 = 0.45 1 = 0.01 1.60 Test
Thomson E2 = 2.85 Kelvin-Voigt
Kelvin E1 = 2.83 1 = 0.01 4.10 1 2.71MPa
t (h)

Kelvin-Voigt body, Burgers body, Poyting-Thomson
body were chosen for the two rocks. The results of
recognition, using the pattern search method, show
that Burgers body is much appropriate for the celadon
argillaceous rock and Kelvin-Voigt body is much
more preferable for fuchsia argillaceous rock, both for
precision and characteristic of creep comparing with
actual behavior.
The identified parameters and residual sum of
squares of each model were in Tables 12 respectively.
The behaviors predicted by the models were compared
with actual behaviors of the two rock material (see
Figures 23).
4 CASE STUDIES CASE 2
4.1 Tested tunnel in situ
To further know dependent time characteristic of
surrounding rock of Goupitan hydroelectric power sta-
tion, the No. 3 sub-tunnel of No. 52 tunnel, whose
profile size is 2 m 2 m, was excavated. The charac-
teristic of rock mass was very typical in the - profile,
about 70 m-thick terrane above it, including celadon
argillaceous rock surrounding the No. 3 tunnel within
about 30 m and fuchsia argillaceous 30 m outside of
0
0 100 200 300 400
Figure 3. Comparison of predictions of the recognized
model with the creep testing data for the fuchsia argillaceous
rock.
the tunnel. Testing boreholes of the - profile locate
was disposed (see Figure 4) (Luo & Liu, 1994).
4.2 The identified results of visco-elastic models
for rock mass from the field displacement
On the base of the geological datum of model tunnel,
geological model was constructed at the - profile.
The optimum architecture of neural network was found
as 7-26-36-10 (input layer of nodes 7, two hidden
layers of nodes 26 and 36, output layer of nodes 10
respectively) at 12 evolutionary iterations, using the
improved genetic algorithm. Rheological parameters
of rock mass were identified using the hybrid algo-
rithm at 16 evolutionary iterations (see Table 3). The
fitness, based on the residual sum of squares of the
behavior predicted by the model and actual behavior
of rock mass, is 0.0161.
Numerical analysis on long-term behavior of rock
mass was performed using the recognized rheologi-
cal parameters above. The displacements predicted by

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Copyright 2006 Taylor & Francis Group plc, London, UK

 d (mm)
I
5
D52 H NO.1
4
5.5

5
4
3

3
2

2
1

1
G
120
1 2 3 4 5 4.5
A B C
5 5 5 F -
5
4 4 4 E
7m 5m 5m 4
10.2m

5
3 3 3
3 3.5

4
2 2 2 2

3
1
2 Measured
1
1 1 1
120 1 2 3 D
4 5

2.5 Calculated
-

Figure 4. Disposal of testing boreholes of model tunnel.

t (d)
1.5
Table 3. Recognized rheological parameters using the 0 20 40 60
proposed algorithm.
Figure 6. Comparison of predictions of the recognized
Burgers model for Kelvin-Voigt model for
model with the monitoring data in situ at the No.E testing
Celadon argillaceous Fuchsia argillaceous
borehole in Fig. 4.
E1 E2 1 2 E1 E2 1
(GPa) (GPa) (GPa.d) (GPa.d) (GPa) (GPa) (GPa.d)
5
d(mm)

1.53 0.61 33.55 1.33 12.76 6.39 3.28

4 No.1

80
d(mm)

Calculated 3
70 Measured Calculated
No.1
2 Measured
60

50 1 No.3

40 t (d)
No.3 0
30 0 10 20 30 40 50

20 No.4 Figure 7. Comparison of predictions of the recognized

10
0
0 10 20
Figure 5. Comparison of predictions of the recognized
model with the monitoring data in situ at the No. D testing
borehole in Fig. 4.
numerical method are compared with the two-month
monitoring displacement in situ, at the sensor loca-
tions of No. 1, No. 3 and No. 4 along the No. D testing
borehole, the sensor location No. 1 of the No. E test-
ing borehole, and the sensor locations of No. 1 and
No. 3 along the No. F testing borehole in Figure 4.
The calculation precision and prediction trend were
both consistent with the field measured displacement
shown in the Figures 57.
model with the monitoring data in situ at the No. F testing
borehole in Fig. 4.
t (d)
30 40 50 5 CAPABILITY ANALYSIS OF THE
PROPOSED ALGORITHM
5.1 Convergence capability analysis of the
algorithm
The recognition of visco-elastic model for the celadon
argillaceous rock at uniaxial compressive creep test
under 0.9 MPa was used as an example to illustrate
the convergence capability of the proposed algorithm.
The convergence capability of the proposed algorithm
was compared with least square method on Burgers
body. For five schemes, in which the initial loca-
tions of parameters are chosen randomly, the results
of comparison were listed in Table 4. All schemes are

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Copyright 2006 Taylor & Francis Group plc, London, UK

 Table 4. Comparison of the proposed algorithm with least square method on initial value of
parameters.
Burgers model
E1 E2 1 2
Scheme (MPa) (MPa) (MPa.h)
No. 1 1 1 1 1
No. 2 400 100 1,000
No. 3 900 300 2,000
No. 4 1,300 500 2,400
No. 5 2,300 1,500 3,400
convergent using the proposed algorithm, while all are
divergent with least square method. In fact, only if the
value of parameter is very close to the true value, least
square method is convergent. The proposed algorithm
is unlimited for the initial value of parameters.
5.2 The uniqueness of the recognized models
There may be several tentative models with no much
difference on the residual sum of squares for the
same part of the experimental data (see Table 1 &
Table 2). However, there is only one acceptable model
to describe accurately true creep behaviors of rocks.
The best model should be recognized using the full
scale experimental results. As an example, the celadon
argillaceous rock problem was illustrative to unique-
ness of the recognized models using pattern search
algorithms. The results from the field tests (Wu et al.,
1997) showed that the deformation of the celadon
argillaceous rock still increases after it experienced
the instantaneous creep process and the attenuation
creep process. However, the Kelvin body in Table 1
cant describe well the instantaneous creep behaviors
of the celadon argillaceous rock. Although, the Kelvin-
Voigt model and Poyting-Thomson model can describe
the instantaneous and attenuation creep behaviors,
they are not well on description of the continuous
increase of the deformation. Only Burgers model can
describe accurately creep behaviors of the celadon
argillaceous rock.
6 CONCLUSIONS
Based on laboratory testing data, rheological model
structure and coefficients are recognized using pat-
tern search method, to avoid divergence phenomenon
owing to inappropriately initial location of parame-
ters. The results show pattern search method is simple,
robust and convergent. The hybrid algorithm, in which
consume-time numerical calculation is replaced by the
trained neural network, is quick and feasible to identi-
fication of rheological model and parameters of rock
279
Copyright 2006 Taylor & Francis Group plc, London, UK
Least
Proposed square
(MPa.h) algorithm method
Converged Diverged
200,000 Converged Diverged
300,000 Converged Diverged
300,000 Converged Diverged
400,000 Converged Diverged
mass. The efficiency of optimization is improved and
precision is enhanced for architecture of neural net-
work and parameters of model by improved genetic
algorithm. The calculation time is decreased further.
The traditional back analysis which consume a great
deal of time, using the proposed method, is quicker
than before. Applicability of the celadon argillaceous
rock and fuchsia argillaceous rock at Goupitan hydro-
electric power station, China, indicates that the pro-
posed hybrid algorithm can sufficiently obtain an
excellent recognition both for the structure of nonlin-
ear visco-elastic material model and for its coefficients
for two kinds of rocks.
ACKNOWLEDGEMENT
The financial supports from National Nature Science
Foundation of China under Grant no. 50325414 and
the Special Funds for Major State Basic Research
Project under Grant no. 2002CB412708 are gratefully
acknowledged. The authors would also like to give
their acknowledgement to Professors Yongjia Wang
and Xiuli Ding for their helpful suggestions to improve
the manuscript and to Yangtze River Scientific
Research Institute for use of experimental results.
REFERENCES
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iments and the analysis of the theorial model of soft rocks.
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Chen, B. 1989. Theory and Method of Optimization. Beijing:
Tsinghua University Press.
Fang, K. & Ma, C. 2001. Orthogonal Design and Uniform
Design. Beijing: Science Press.
Feng, X.T. & Zhang, Z. 1999. Study on Genetic-Neural Net-
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Gao, W. & Zheng, Y. 2004. Study on bionics algorithm for
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Yosef, S. & Sherif. 1994. Optimization by pattern search.
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 EUROCK 2006 Multiphysics Coupling and Long Term Behaviour in Rock Mechanics
Van Cotthem, Charlier, Thimus & Tshibangu (eds)
2006 Taylor & Francis Group, London, ISBN 0 415 41001 0

Short- and long-term constitutive model for porous rocks

D. Grgic, F. Homand & D. Hoxha

Laboratoire Environnement, Gomcanique et Ouvrages (LAEGO), Ecole Nationale Suprieure de Gologie,
Nancy, France

ABSTRACT: In order to understand the phenomena involved in the mining collapses in Lorraine (France),
a short- and long-term constitutive model is proposed for the behavior of iron ore in the ductile regime. The
constitutive model for iron ore, and for other porous rocks, is of over-stress type and falls within the framework of
the unified concept. By considering the thermodynamic principles, the model is based on an energetic approach
and describes both short- and long-term behaviors within a same formulation. The reversible inelastic behavior
is also modeled. In addition, this model is adapted to the very porous nature of some rocks like iron ore that
exhibit strong volumetric deformations and mean stress dependence.

1 INTRODUCTION in such a way that the model will degenerate to

In Lorraine (France), a partial extraction method
(rooms and pillars) was used for iron ore under sensi-
tive zones from the end of the 19th century until 1980.
Some of these safety pillars have been abandoned for
one hundred years. In these areas of partial extrac-
tion, many collapse phenomena have occurred. Then,
a research program entitled GISOS (research Group
for the Impact and Safety of Underground Works)
was set up in order to explain mechanisms involved
in mining collapses. The focus of the present study
is to understand these mechanisms and the ambition
of the proposed constitutive model is to give a useful
solution for this particular problem.
There are quite a great number of approaches
to model the long-term behavior of materials based
on concepts of viscoplasticity (e.g. Perzyna 1966,
Lemaitre and Chaboche 1990). In this paper, we shall
concentrate on the constitutive modeling of the short-
and long-term behavior of iron ore in the ductile
(plastic) regime. The inelastic behavior of iron ore
resembles that of rocksalt or various metals. How-
ever, the inelastic straining is not isovolumetric; the
dilatancy appears when the rock is loaded beyond the
elastic domain. Therefore, deviatoric inelastic strains
are dependant of the mean stress, as well as the short-
and long-term strengths.The originality of the inelastic
behavior of iron ore is due to these main features.
The constitutive model presented here is of over-
stress type. It is formulated using the unified theory
of inelastic flow with internal state variables (ISV).
Within the framework of the unified concept, its objec-
tive is to give an extension of the classical plastic
behavior towards the more general inelastic behavior
the inviscid plasticity when the strain rate becomes
infinitely high. In this model, the reversible inelastic
behavior will also be taken into account. This feature is
indeed important since iron ore pillars are exposed to
effective stresses that can vary with the relative humid-
ity of the mining atmosphere. Note that the equations
of the damage mechanisms, allowing the modeling of
the accelerated creep and therefore the long term fail-
ure over the brittle-ductile transition, are not presented
in this paper.
2 EXPERIMENTAL STUDIES
2.1 Description of studied rock and experimental
procedure
The iron ore is a very porous rock (3035%) that con-
sists of a large fraction of joined ooliths, constituted
of goethite. Calcite, side-rite and ferriferous phyllosil-
licate, with varied proportions, cement these ooliths.
The oolithic cortices are made of concentric layers and
are micro-porous. There are two kinds of pores in iron
ore: interoolithic pores and intraoolithic pores.
The behavior of iron ore is quite similar to the one of
soft materials with a geological origin (e.g. rocksalt,
gypsum rock, potash). The fundamental phenomena
are quite similar but the magnitude of the observed
response is less important.
2.2 Short- and long-term testing
An intensive laboratory testing program has been
carried out on iron ore during these last years in
order to understand its short- and long-term behaviors

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Copyright 2006 Taylor & Francis Group plc, London, UK

 (e.g. Grgic et al. 2003) in the context of post-mining in the experimental curves : transient (primary) and
stability of underground iron mines. accelerated (tertiary) creeps.
From deviatoric and isotropic laboratory hydro- The elastic properties are not influenced by creep
mechanical tests under saturated conditions, it was strains.
observed that: The volumetric strain evolves during creep flow
and, as for the short-term behavior, shows a dila-
Under isotropic compressive stress, the behavior of
tancy. The volumetric strains are linearly propor-
iron ore remains elastic (up to 50 MPa).
tional to the inelastic distortion.
The material strength increases with the confining
The creep strains are sensitive to the variations of
pressure. In addition, hardening is isotropic and the
the mean stress.
plastic straining process produces systematically a
When the applied stress is unloaded, an inversed
dilatancy.
creep is observed (Fig. 2). This behavior is known
Triaxial and uniaxial compressive creep tests with as inverse creep (Hunshe and Hampel 1999) or as
variable and constant stress have been performed on anelastic behavior (Blum 2001).
iron ore under saturated conditions. It results from
these experiments that: 3 CONSTITUTIVE MODELING OF IRON ORE
Iron ore yield and failure strengths depend on the
mean stress. 3.1 Basic considerations
The steady state flow (secondary creep) is never According to the concept originally proposed by
observed in the experimental curves (Fig. 1). For Bailey (1926) and Orowan (1946), the creep strain-
this kind of rock, only two creep stages are observed ing may be explained on the basis of the interaction
between strain hardening and recovery. The strain
hardening is related to immobilization and piling up
of dislocations at a barrier and causes an increase in
the dislocation density. Besides, the strain hardening
is the main mechanism in the first stage of the creep
process and, therefore, is responsible for the creep rate
decrease. The recovery phenomenon is connected with
escape of dislocations from their glide planes via slip
and climb. In the second stage of the creep process, the
equilibrium between strain hardening and recovery is
established. Therefore, one can summarize the behav-
ior of a material as the result of competition between
the storage of dislocations and recovery.
The steady-state flow can not be considered as a
common feature of all geomaterials although most
research interests have been mainly focused on.
Figure 1. Axial and transversal strains versus time for iron Indeed, there is a great deal of experimental evidence
ore during uniaxial creep tests performed under constant to show that, for iron ore, the steady-state flow rep-
loading. resents only a transition between the transient flow
and the accelerated creep flow. Therefore, it could
Triaxial creep tests ( 3 = 5 MPa) - variable axial stress
be neglected in the constitutive modeling. Neglecting
600 1 (E-06)
500
this feature means that a porous polycrystalline mate-
400 rial like iron ore can not support a constant creep strain
300 1 = 1 = 1 = rate and be deformed indefinitely.
13.7 MPa 7.4 MPa 13.7 MPa
200 Following the Bailey-Orowan principle, a uni-
100
t (days) fied approach to the inelastic behavior of crystalline
0 materials has been developed. Let the strain rate
-100 0 20 40 60 80 100 120 140 160 180 200 220 240 260
be additively decomposed into the time-independent
-200
-300
elastic strain (instantaneously reversible) and the time-
-400 dependent inelastic strain rate (not instantaneously
-500 reversible):
-600
3 (E-06)

Figure 2. Axial and transversal strains versus time for iron

ore during triaxial creep tests performed under variable axial Overall, the inelastic strain rate corresponds to an
stress. instantaneous (time-independent) plastic deformation,

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Copyright 2006 Taylor & Francis Group plc, London, UK

 a creep (or viscoplastic) deformation and an anelas-
tic deformation (or delayed elasticity). In the unified
approach, the plastic and creep deformations are mod-
eled with a unique viscoplastic theory. The anelastic
deformation can be modeled within the viscoelasticity
theory. Sometimes, the partial recovery of the plastic
(or viscoplastic) deformation is also considered as a
kind of anelasticity. In this section we shall concen-
trate only on the recovery mechanisms and do not take
into account the delayed elasticity effects. Generally
speaking, these delayed reversible strains are gener-
ated after a stress removal. Physically, they correspond
to the reversible motion of some dislocations between
strong obstacles.
Here, we adopt an approach in which the time-
dependent inelastic strain is decomposed into a
positive forward inelastic strain and a negative
backward inelastic strain that are both related to dis-
locations motion (Eq. 1). The former is produced for
positive values of the active stress, i.e. when the yield
function is positive, and the latter for negative values.
In other words, dislocations can come back only if the
stress state is below the internal stress of the material.
Since the two components never evolve at the same
time, the rate of the inelastic distortion can be written
as follows:
The inelastic distortion in is chosen as the strain hard-
ening parameter in accord with the fact that the main
dissipative mechanism is plastic matrix shearing.
3.2 The yield function
The yield function is based on a constitutive model
developed for rate-independent plasticity of iron ore
(Grgic et al. 2003) in the context of understanding of
collapses in iron mines:
where I1 and J2 are respectively the first and second
invariant of the stress tensor.
This equation corresponds to a generalization of the
Mohr-Coulomb model for which the total strength of a
material may be considered as a sum of frictional |m |Y
and cohesive strengths that will be defined later.
3.3 The kinetic law for rate-dependant inelasticity
In the ductile regime of inelastic flow, micro
cracking is negligible and straining involves disloca-
tions motion causing hardening. Indeed, as shown in
many experimental results, straining causes the yield
strength to rise. In the constitutive approach adopted
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Copyright 2006 Taylor & Francis Group plc, London, UK
here, the yield surface does not constitute a limit to
possible stress states. The viscous effects are related
to the stress exceeding the current yield limit (over-
stress concept). Besides, the initial yield stress of iron
ore is not negligible unlike some soft rocks for which
it is very close to zero.
For an initially isotropic material, the general
dependence of the yield function (Eq. 3) on the over-
stress can be equivalently expressed in terms of the
overstress invariants m and eq . In addition, since the
nature of iron ore hardening is isotropic, we will con-
sider only a scalar state variable (or isotropic hardening
variable) R to represent both the combined but com-
petitive action of hardening and recovery mechanisms
and the isotropic evolution of the elastic field. We can
split the action of this internal state variable R into the
action of the frictional strength and the action of the
cohesive strength:
The isotropic hardening parameter R represents either
the static or the dynamic yield strength of the matrix
material (Perzyna 1966). Here, we shall concentrate
on a static format of the yield strength. The inelas-
tic strain rate is obtained by a single (unified) kinetic
law and the only internal variable, which is of scalar
nature and indicates the actual hardening state, is the
inelastic distortion (Eq. 2). The most often used mod-
els to assess the time dependant behavior of soft rocks
and metals are based on a power law equation writ-
ten in scalar form. In the same way, the kinetic law,
which constitutes the basis for many ISV models, can
be written as follows as a multiaxial generalization for
the forward motion of dislocations:
where A and n are scaling parameters, and < > are the
MacCauley brackets: < >= 1/2(x + |x|).
In this equation, we consider the gradient of the
yield function to represent the evolution of the inelas-
tic component of the deviatoric strain rate tensor.
3.4 The energetic concept
We consider in the present modeling that the inelastic-
ity onset will remain the same whatever the strain rate
and will correspond obviously to the creep onset. In
spite of the unique initial yield strength, an apparent
linearity will be predict at an infinite rate of deforma-
tion, which corresponds to the inviscid plasticity, due
to the power law form of the kinetic equation (6) and
an adequate value of parameter A.
Within the energetic framework, we consider also
that the deviatoric inelastic energy is the same at the
damage onset and just before the macroscopic failure,
whatever the stress-strain path (Fig. 3), but the inelas-
tic distortion is different as illustrated in Fig. 4. This

Figure 3. Evolutions of the inelastic strain and the cumu-
lated inelastic energy as a function of the strain rate.
Figure 4. Evolutions of the cumulated inelastic energy as
a function of the cumulated inelastic distortion for different
values of the loading rate.
feature is confirmed by many studies based on acoustic
emissions that suggest that the final stage of the defor-
mation in a porous polycrystalline rock, i.e. before the
acceleration of the damage leading to rupture, occurs
for similar levels of cumulative events and cumula-
tive acoustic emission energy, regardless of stress level
(Baud and Meredith 1997).
Indeed, it is currently accepted (e.g. Lemaitre and
Chaboche 1990, Hashiguchi et al. 2005) that solid
materials consist of microstructures possessing dif-
ferent characteristic times. In other words, the plastic
deformation proceeds more quickly than the creep
deformation. In addition, as illustrated in Fig. 4 (path
O-D-E), if the loading rate is changed after a rapid
loading, the failure is obtained for another value of the
inelastic deformation. This figure shows that the only
inelastic distortion, even if it represents correctly the
284
Copyright 2006 Taylor & Francis Group plc, London, UK
hardening state, is not sufficient for the modeling of
the yield strength of the material.
3.5 Evolution laws for the internal strengths
Since we model only the viscoplastic behavior in the
ductile regime, we will consider only the dislocations
motion involving evolutions of both frictional and
cohesive internal strengths. Both scalar state variables
(isotropic hardening variables) in Eq. (5) represent
the combined and competitive action of hardening
and recovery mechanisms and are responsible for the
isotropic evolution of the elastic field.
It is worth emphasizing that Y , which represents the
friction coefficient in the invariant stresses plane, has
the same initial value for both plastic and viscoplastic
surfaces according to experimental observations. The
evolution of the frictional strength is supposed to be
related only to the increase in the value of in . Accord-
ing to this assumption, the following expression of
Y is suitable to reproduce both the shape of experi-
mental curves and the apparent linearity observed in
the stress-strain curves when the loading rate is very
important:
where Y1 and Y2 are scaling parameters, Yo the slope
of the initial viscoplastic surface and Ym the maximal
value of the viscoplastic surface slope.
Ym is related to the maximal distortion the material
could support. Ym , and therefore the frictional strength,
is considered to be higher for quasi-static viscoplastic-
ity than for instantaneous plasticity since in does have
time enough to develop (cf. Fig. 3). Therefore, a more
ductile behavior will be obtained if the loading rate
decreases, as it is commonly observed experimentally.
During the evolution of in , which represent the
current state of the dislocation density, the cohesive
strength can only increase because of the action of
hardening mechanisms. Therefore, as for the frictional
strength, the evolution of the cohesive strength is sup-
posed to be related to the increase in in . The cohesion
evolves from its initial value o , which corresponds
to the initial inelasticity threshold, towards its maximal
value m , which corresponds to the long-term failure
threshold. The following expression is proposed for
this evolution:
where 1 is a scaling parameter.
In this expression, m is reached when in is equal
to the maximal distortion the material could support
( in )max . . In addition, as said before, the maximal value
of the deviatoric inelastic work is supposed to be the
same at the macroscopic failure irrespective of the
rates of stress and strain. When the failure is reached,

Figure 5. Initial and failure surfaces of viscoplasticity in the
invariant stresses plane.
the cohesive strength becomes nil. This feature is mod-
eled with the Heaviside function (H (x) = 1 if x 0,
H (x) = 0 if x < 0).
Within this formulation, we consider that m corre-
sponds always to the long-term strength, irrespective
of the strain or loading rates, and the higher maximal
cohesion observed in short-term tests is only apparent.
Indeed, a maximal strength higher that the long-term
strength is transient since stress states located above
the maximal viscoplastic surface (Ym , m ) will always
lead to a failure.
As for the evolution of Y , the rate-dependence does
not appear explicitly in the expression of . The max-
imal value of the deviatoric work, which defines the
material failure, can be obtained for different values of
the inelastic distortion, the friction coefficient Y , and,
therefore, of the stress state. Therefore, if the loading
rate is important, the cohesive strength , as well as the
friction strength, will not reach its maximal value at the
failure, and the material will fail without being com-
pletely hardened. The maximal distortion ( in )max . ,
and therefore the maximal cohesive strength, can only
be reached if the loading rate is infinitely small.
As shown in Fig. 5, if the loading rate is infinitely
small, the stress state will be on the yield surface
defined by (Ym , m ) when the inelastic work becomes
maximal. If the loading rate is very important, the
stress state will be above the instantaneous failure
surface defined by (Y = m , ) when the inelastic work
becomes maximal. In the former case, the material is
never in an overstress state, whereas in the latter case,
the material is always in an overstress state, even at
the failure. The overstress and the strain rate at the
failure will be all the more large as the loading rate is
important.
3.6 Mean stress dependence
Generally, the structure of the constitutive equations
for a porous material like iron ore reflects volumetric
inelastic deformation and mean stress dependence.
Copyright 2006 Taylor & Francis Group plc, London, UK
Within a phenomenological framework, we propose
a constitutive equation that will define the volumetric
component of the inelastic deformation. This equation,
along with deviatoric viscoplastic straining (Eq. 6),
leads to a non-associative structure of the inelastic
flow rule. One can split the strain rate tensor into its
deviatoric and isotropic parts:
Laboratory tests have shown that the volumetric inelas-
tic strain could be seen as a response to some deviatoric
inelastic strain:
where in is the dilatancy coefficient.
By considering the decomposition of the inelastic
strain rate (Eq. 10), it comes:
By considering the thermodynamic restrictions, all the
volumetric inelastic deformation cannot be explained
by the plastic mechanisms. Indeed, for a small mean
stress, the volumetric deformation of the porous mate-
rials tested is very important and taking it into account
in Eq. (12) will lead to a negative value of the intrinsic
dissipation. This is a common problem in the model-
ing of the behavior of geomaterials that exhibit strong
volumetric straining. Therefore, we have considered
that a large fraction of the volumetric straining is due
to damage mechanisms that induce an increase in the
material porosity, and therefore a dilatancy. However,
this feature is not treated in this paper.
3.7 Modeling of the reversible inelastic behavior
If the stress is removed and some backward inelas-
tic strains are produced, then the hardening state must
decrease since some dislocations involved in pile-ups
come back. Therefore, the isotropic hardening vari-
ables Y (Eq. 8) and (Eq. 9) will decrease as the
backward inelastic strain progresses.
Backward inelastic distortion can only appear if
some forward inelastic distortion has been produced
and the former is obviously smaller than the lat-
ter. Since the modeling of the backward inelastic
deformation must fulfill thermodynamic constraints,
only the inelastic energy blocked in the material dur-
ing the loading could be recoverable if the stress is
removed. During the forward motion, the total inelastic
energy (Eq. 13) and the dissipated energy (Eq. 14) are
expressed as follows:
285
 Uniaxial creep test - variable axial stress
800 in (E-06)
700
600
1 = 10 MPa 1 = 7 MPa
500
400
300
200
100
t (sec.)
0 The extension of the model over the brittle-ductile
0 10000 20000 30000
Figure 6. Simulation of a uniaxial creep test (variable
stress).
The blocked energy, which can evolve for both forward
and backward paths, is given by:
The dissipated energy is the difference between the
total inelastic energy and the blocked energy in the
material structure, which is related to the hardening
processes and can not be immediately recoverable as
an inelastic work during an unloading. We consider
that a fraction (0 < < 1) of the forward blocked
energy could only be recoverable during the back-
ward motion of dislocations. The rest will remain
always blocked even after total unloading. Therefore,
the total inelastic energy available for the backward
deformation is expressed as follows:
One supposes that the backward deformation depends
on the negative distance between the current stress
point and the actual yield surface. In addition, the
backward distortion rate must be nil when the back-
ward energy is equal to the maximal backward energy
available (Eq. 16). Therefore, the following expression
is proposed:
3.8 Application of the model
The model has been implemented in a (finite dif-
ference) numerical code. The Figure 6 illustrates the
performances of the model through the simulation of
a uniaxial creep test with variable stress showing the
reversible inelastic behavior. This simulation has been
performed with = 0.8.
Copyright 2006 Taylor & Francis Group plc, London, UK
4 CONCLUSIONS
A constitutive model, based on the over-stress concept
and using the unified theory of inelastic flow with
internal state variables (ISV), has been proposed. It
allows the modeling of the short- and long-term behav-
ior of a porous rock in the ductile regime within a same
formulation. The model allows also the modeling of
the reversible inelastic behavior by considering that
the backward inelastic strain depends of the energy
blocked during the forward motion of dislocations.
40000
transition, allowing the modeling of the accelerated
creep by considering the damage mechanisms, has
been proposed elsewhere.
ACKNOWLEDGMENTS
These researches have been carried out thanks
to subsidies from the Ministries for Industry and
Research and the Lorraine Region within the GISOS
(www.gisos.org) framework. The authors express their
gratitude to these organizations.
REFERENCES
Bailey, R.W. 1926. Note on the softening of strain hardening
metals and its relation to creep. J. Inst. Met., 35, 2740.
Baud, P. & Meredith, P.G. 1997. Damage accumulation during
triaxial creep of darley dale sandstone from pore volu-
mometry and acoustic emission. Int. J. Rock Mech. &
Min. Sci., Vol. 34, N 34, p. 371.
Blum, W. 2001. Creep of crystalline materials: experimen-
tal basis, mechanisms and models, Materials Science and
Engineering, pp. 815.
Grgic, D., Homand, F. & Hoxha, D. 2003. A short- and long-
term rheological model to understand the collapses of iron
mines in Lorraine, France. Computers and Geotechnics,
30, pp. 557570.
Grgic, D., Giot, R., Homand, F. & Giraud, A. 2005. Effect of
suction on the mechanical behaviour of iron ore rock. Int.
J. Numer. Anal. Meth. Geomech., to be published.
Hashiguchi, K., Okayasu, T. and Saitoh, K. 2005. Rate-
dependant inelastic constitutive equation : the extension
of elastoplasticity. Int. J. Plasticity, Vol. 21, pp. 463491.
Hunshe, U. & Hampel, A. 1999. Rock Salt The mechanical
properties of the host rock material for a radioactive waste
repository. Engineering Geology, 52, pp. 271291.
Lemaitre, J. & Chaboche, J.L. 1990. Mechanics of Solids
Materials. Cambridge University Press, Cambridge.
Orowan, E. 1946. The creep of metals. Journal of the West of
Scotland Iron and Steel Institute, 54: 4568.
Perzyna, P. 1966. Fundamental problems in viscoplasticity.
In : Advances in Applied Mechanics, vol. 11, Academic
Press, New York.
286
 EUROCK 2006 Multiphysics Coupling and Long Term Behaviour in Rock Mechanics
Van Cotthem, Charlier, Thimus & Tshibangu (eds)
2006 Taylor & Francis Group, London, ISBN 0 415 41001 0

From a natural stress profile to rheological properties at geological scale

Y. Gunzburger & F.H. Cornet

Institut de Physique du Globe de Paris (IPGP), Dpartement de Sismologie, place Jussieu, Paris cdex, France

Y. Wileveau
Agence Nationale pour la Gestion des Dchets Radioactifs (ANDRA), Laboratoire de Recherche Souterrain de
Meuse/Haute-Marne, BP Bure, France

ABSTRACT: The state of stress within a given rock-mass depends on its present boundary conditions but also
on its strain history, when it is not elastic. If both the present day boundary conditions and the past strain history
are sufficiently well-known, a precise stress profile may provide major information about the constitutive law
of the rock formation. This is particularly relevant when considering that, due to time and space scale effects,
rheological parameters needed for long-term and large-scale calculations mostly remain out of reach to laboratory
and field testing. This issue is illustrated by a project on radioactive waste permanent disposal in a hard-clay
formation that requires a characterization of the long-term rock mass viscoelastic behaviour.

1 INTRODUCTION Among other data, the state of stress is a partic-

An Underground Research Laboratory (URL) is cur-
rently being developed in the vicinity of the village
of Bure, in North-eastern France (Fig. 1) to assess the
adequacy of a hard-clay layer situated at 500 m depth
(the so-called Bure argillite formation) with the
requirements of a safe long-term nuclear waste repos-
itory. This comprehensive scientific program includes
geological, chemical, mechanical, thermal as well as
hydraulic investigations, all of which are faced with the
major challenge of inferring the long-term behaviour
(many tens of thousands years) of an eventual future
repository, from observations and measurements con-
ducted today.
ularly important piece of information for evaluating
the achievability of such a waste disposal. First of
all it is needed for immediate engineering purposes
(e.g. shafts and galleries dimensioning). Secondly, it
depends on the mechanical behaviour of the rock-mass
under geological solicitations such as tectonic strains
and erosion. It can therefore be used for assessing the
rheological characteristics of the rocks at time and
space scales that are currently completely out of reach
to all laboratory and field testing methods.
We outline in this presentation how the complete
stress profile measured on site helps constraining the
rheological characteristics of the various materials that
constitute the local geological formation.

2 PRESENT STATE OF STRESS NEAR THE

BURE URL

2.1 Geological history and setting

In the Eastern part of the Paris sedimentary basin,
where the Bure URL is located (Fig. 1), topography is
flat and bedding planes are quite horizontal (dipping
angle equal to about 1.5 toward the NW). At the URL
location, the 130 m-thick Bure argillite formation is
lying at a depth of 420 to 550 meters below ground sur-
face between two much stiffer carbonate-rich units: the
Oxfordian limestone and the Dogger limestone
formations (Fig. 2).
This region has only been slightly affected by tec-
tonic deformations. The last major tectonic episode is
Figure 1. Location of the URL. related to the Alpine orogenic phase, whose maximal

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Copyright 2006 Taylor & Francis Group plc, London, UK

 Figure 2. Cross-section of the vicinity of the URL.

intensity was reached during Miocene (approximately

24 million of years B.P.). Since that time, no significant
tectonic event has occurred and the geological evolu-
tion is governed by progressive erosion.
Despite the very comprehensive geological survey
and seismic imaging program, no fault could be identi-
fied in the vicinity of the Bure URL, so that the geom-
etry of the system is quite a simple one. Moreover, a
great amount of laboratory tests were carried out on
samples from various depths, providing a very satisfac-
tory overview of the laboratory-scale rheological prop-
erties of the rock mass variation from place to place.

2.2 Present stress profile
A very detailed stress measurement campaign was car-
ried out in 2000, 2003 and 2004 by classical hydraulic
fracturing, hydraulic fracturing on pre-existing
fractures (HTPF), sleeve reopening and systematic
analyses of breakouts in boreholes with different ori-
entations. Along with continuous shaft convergence
monitoring, it provided a highly constrained and very
continuous stress profile through the limestone-
argillite sequence (Wileveau et al., 2005; Cornet et al.,
2006).
One principal stress (v ) was found to be almost ver-
tical and almost equal to the weight of the overburden
per surface unit. Orientation of the most compressive
horizontal stress (H ) was found to be N150 E 5
(Fig. 1) and fits in very well with the present day
stress pattern in western Europe (Mller et al., 1992;
Rckel & Lempp, 2003; world stress map) and with the
average major tectonic shortening direction that pre-
vailed during the last Alpine orogenic phase (Andr,
2003). As regards the magnitudes, the minor hori-
zontal stress (h ) is higher in the central part of the
argillite formation than in the surrounding limestone
ones (Fig. 3). Also, despite some remaining uncer-
tainty, H is thought to evolve rather continuously with
depth and has not been found to be very sensitive to
changes in rock types.
2.3 Qualitative meaning of the stress state
If we consider the rock-mass as an infinite half-space
with horizontal free surface, the measured value of v
Figure 3. Principal stress profiles in the vicinity of the URL.
is in agreement with the law of static equilibrium that
relates the stress tensor with the bulk density and
the gravity g:
This equation leads to:
(z denoting the depth) but it does not provide any infor-
mation about the magnitudes and orientations of the
horizontal stresses h and H , which depend both on
the strain path and on the constitutive law of the rock-
mass. As a consequence, if the geological history is
known (and then so is the strain path), the h and H
profiles provide means to characterize the rheology.
For example, in the classical case of an initially
unstressed, elastic rock-mass loaded by gravity and
kept from deforming laterally (Jaeger & Cook, 1976),
the ratios of horizontal to vertical stresses at equilib-
rium give access to the Poisson ratio :
Since is larger in the argillite than in the limestone
units, Equation 3 may explain why h increases with
depth when passing through the argillite unit. More-
over, for horizontally transversally anisotropic med-
ium, Equation 3 should be written:

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Copyright 2006 Taylor & Francis Group plc, London, UK

 where E// , E , // and respectively stand for the
Youngs moduli and Poissons ratios in the horizon-
tal anisotropy plane and perpendicularly to it (Amadei
et al., 1988). Since the argillite formation is much more
anisotropic than the limestone ones, the previously-
mentioned increase in h may be even greater. How-
ever, this simple model does not apply to our case
because it implies that H = h , a feature not verified
by measurements.
This may be due, among other possibilities, to the
fact that the hypothesis of zero lateral deformation
is unrealistic. Indeed, even if there is no significant
deformation in the Paris basin today (Nocquet et al.,
2001), this region has been affected by horizontal
strains of tectonic origin in the past (Andr, 2003).
But, if a horizontal shortening is assumed in the direc-
tion of alpine compression, the increase in H should
be greater in the limestone units than in the argillite
because the latter is less stiff. Once again, this is not
in agreement with the measurements.
Moreover, it is known that argillite samples exhibit
a time-dependent behaviour and therefore cannot be
described properly by pure elasticity. Viscosity has to Figure 4. Typical stress vs. time curves obtained during
be incorporated in the model. In that case, the jump creep tests on Bure argillite samples.
in h may intuitively be attributed to the relaxation of
differential stress in the argillite. But then it is not clear
why relaxation is not associated also with a significant
drop of H .
This simple discussion sheds light on various dis-
crepancies between simple models and stress measure-
ments, that warrant a more detailed investigation on the
mechanisms that may explain the present stress-state. Figure 5. Burgers substance model in 1 dimension.
This will be done by an analytical calculation taking
into account both more realistic rheology (visco-
elasticity for the argillite unit) and a more realistic immediate elastic response when axial stress is sud-
geological history (horizontal strains coupled with denly increased, followed by (2) a several-days or
erosion). weeks long transient creep phase during which the
axial strain rate progressively decreases while the axial
stress remains constant and (3) a steady-state creep
3 HOW TO DESCRIBE THE TIME-DEPENDENT phase with constant creep-rate (sample A on Figure 4).
BEHAVIOUR OF THE ARGILLITE? It should be noticed that, for some of the samples (as
sample B), no steady-state creep was observed and the
A great number of constitutive laws have been pro- creep-rate decreased until becoming non-measurable.
posed to describe time-dependent behaviours. Our
objective here is to consider a simple law, with few
parameters that may be derived from an analytical 3.2 Burgers substance and the Generalized
inversion of the stress profile. This law should also Kelvin-Voigt (GKV) substance
take into account physical considerations arising from
laboratory testing and field measurements. Burgers substance model is the simplest physical
model that is able to reproduce immediate elastic
response as well as primary and secondary creep
3.1 Results of laboratory testing
(Jaeger & Cook, 1976). For one-dimensional prob-
Numerous laboratory creep and relaxation tests have lems, it may be represented by a combination of
been carried out on argillite samples in order to quan- perfectly elastic springs and Newtonian viscous dash-
tify its time-dependent behaviour (Boidy, 2002; Gasc- pots (Fig. 5). In fully 3-dimensional problem, its
Barbier et al., 2004; Zhang et al., 2004; Zhang & constitutive law is a relationship between deviatoric
Rothfuchs, 2004). During uniaxial creep tests, a 3- stress tensor, deviatoric strain tensor and their time
phases behaviour is classically observed with: (1) an derivatives (Gunzburger & Cornet, 2006).

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Copyright 2006 Taylor & Francis Group plc, London, UK

 In condition of unconfined uniaxial creep test, when
the axial stress is changed from 0 to 0 at time t = 0,
the axial strain is given by:
with 1/E0 = 1/(3GM ) + 1/(9K). G and K respectively
stand for shear and bulk moduli. The time scale
K = K /GK corresponds to the characteristic duration
of the primary creep phase.
Using Equation 5, the parameters of the model
(E0 ,GM , K and M ) may be derived from the strain vs.
time curves obtained during creep tests. In particular,
the viscosity coefficient M may be calculated using
the steady-state strain rate that is reached when t K
and that is given by: d/dt = 0 /3M . Creep tests on A-
type sample lead to M = 1016 to 1017 Pa.s (Figure 4).
This value is not compatible with the 2MPa horizontal
differential stress measured within the argillite forma-
tion, because it would lead to a horizontal deformation
rate of approximately 1011 s1 . This value is in con-
4 COMPLETE STRESS PROFILE INVERSION
In the section, we show that the present day stress pro-
file in the vicinity of the Bure URL may be reproduced
by using a simple geological model, an elastic consti-
tutive law for the limestone units and a GKV behaviour
for the argillite layer.
4.1 Model of geological history
As previously said (2.1), the region in which the
stress measurements were carried out was affected by
the far-field consequences of orogenic deformation,
which mainly led to slight tilting of the bedding planes
toward the NW (we do not take this effect into account
in this first approach) and to shortening in the hor-
izontal plane. We suggest reproducing the latter by
applying horizontal strains x and y while vertical
displacements at depth are avoided and displacements
at surface are free (Fig. 6).
As a response to tectonic deformation, the region
was also affected by rather homogeneous erosion,
which led to the present-day topography, with large
plateaux separated from each other by slightly
tradiction with the much lower values proposed by embanked river channels. The average thickness z of
Gordon (2000) for stable plate interiors (d/dt below the eroded rock layer was estimated to 400 to 600
1017 s1 ). meters using organic matter transformation ratios
For that reason, we believe that, even if the Burgers (Mntrier et al., 2005).
substance model may reproduce accurately part of the
laboratory creep tests, it is not valid at geological time
and space scales. For that purpose, it seems much more 4.2 Analytical calculation of the present stress
reasonable to assume that, under constant stress, the profile
strain rate should progressively decrease until reaching Using the geological model described above, the the-
a static equilibrium, as suggested by B-type samples. oretical current state of stress within the limestone-
Actually, it is likely that, if creep tests on A-type sam- argillite sequence may be calculated assuming that the
ples would have been run for a longer time, the axial initial stresses (before horizontal shortening) at the
strain would have decreased in the same manner. present depth z are determined by a horizontal to ver-
If this is true, the viscosity coefficient K guessed tical stress ratio L in the limestone units and A in
from laboratory tests (about 1015 Pa.s) is probably the argillite one (Gunzburger & Cornet, 2006):
largely under-estimated since the region of the creep
curve we initially attributed to steady-state creep may
in fact still be part of the primary creep phase. Because
tests didnt last long enough, the precise value of K is
difficult to guess. As regards M , if the final creep-rate The subscript R stands for A or L. We also assume that
is zero, it should be equal to infinity. In that case, the the behavior of the limestone units can be modeled by
physical model to be used is known as the Generalized linear elasticity, with parameters EL and L (possibly
Kelvin-Voigt model (denoted GKV from now on). different from those gained from laboratory tests).
From laboratory tests, we deduced K = 5 3 GPa,
GK = 3.5 1.5 GPa and GM = 2 1 GPa. These val-
ues show that argillite is about 10 times less stiff than
the limestone samples that were tested in laboratory
conditions (EL = 35 15 GPa and L = 0.23 0.05).
One should emphasize the fact that these values are
derived from laboratory scale experiments and only
describe rocks behavior at that scale. It will be seen
in the next section that the parameters corresponding
to geological scale are different, thus implicating time
and space scale effects. Figure 6. Model of geological history.

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Copyright 2006 Taylor & Francis Group plc, London, UK

 Under these hypotheses the present stress state
within the limestone units, at depth z, is given by:
In the same manner, the behaviour of the argillite
rocks is assumed to be described, at geological time
and space scales, by a GKV model (as for laboratory
experiments, but with possibly different parameters
K, GK , GM and K ) with a characteristic creep dura-
tion K . Depending on the assumptions concerning
the characteristic age of the horizontal shortening
(tecto ) and of the erosion phases (erosion ) compared
to K , the theoretical current state of stress within
the argillite formation may vary significantly (Gun-
zburger & Cornet, 2006). For example, in the case
when erosion  K  tecto , the argillite have almost
completely viscously adapted to the horizontal short-
enings, but not yet viscously responded to the erosion
reproduce more or less precisely the measured state
of stress (for example, by changing the relative values
of the ratios erosion /K and K /tecto or by consider-
ing a different hypothesis regarding the initial state of
stress). However, we believe that the conclusions we
reach using the proposed model (see next section) are
reliable, at least as regards the main trends.
5 DISCUSSION: IMPLICATIONS OF THE
STRESS PROFILE INVERSION
5.1 Comparison between rheologies at laboratory
and at geological scales
As said, the stress inversion we performed does not
provide a complete determination of rheological prop-
erties at geological scale. In particular, the viscosity
coefficients remain unknown and the Young moduli
can be calculated only if the horizontal strains are
known from other considerations. However, it is still
possible to shed light on time and space scale effect.
For example, the horizontal differential stresses in
of part of its overburden. Its stress state can thus be the argillite and in the limestone units (A and L )
written as: are related by:

Laboratory tests gave us GL 14.2GPa and G

1.8 GPa. It means that the overall deformability of the
with (E0 , 0 ) and (E , ) standing for the equivalent limestone formation is much greater compared to
elastic properties of the GKV model at short and large the overall deformability of the argillite formation at
time scales. A is a function of A , 0 and . geological scales than at laboratory scale.
Such a property can, for example, be explained by
4.3 Stress profile inversion pressure-solution creep (PSC). PSC is a mechanism of
very slow rock deformation, macroscopically similar
In equations 7 and 8, horizontal stresses vary linearly to viscosity, whereby stresses acting on grains cause
with depth. Fitting these linear expressions with the local dissolution of the material at grain contacts and
measured stress profile leads to relationships between transport of the solute toward the less-stressed porous
the strains and the rheological parameters.Young mod- space, where it precipitates (Zubstov et al., 2005).
uli and the strains cannot be calculated separately: we Due to its slowness, PSC can easily pass unnoticed
only have access to their products. The global num- during short laboratory tests that only reveal elastic
ber of unknown is 6 (EL x , EL y , E x , L , and response of the sample. However, it is clearly an essen-
0 ). As we only have 4 different equations for hori- tial mechanism in our case since the deformation of the
zontal stresses, there is not only one solution. But, in stiffest layer (the limestone units in our case) controls
practice, the solution intervals are very narrow. With the state of stress within the softest one (the argillite
z = 500 m, all solutions are very close to:
The corresponding calculated stress profile is shown
on Figure 7. It is very close to the measured one (Fig.
3), which means that our simple model reproduces the
main features of the present state of stress within the
considered rock mass. This does not demonstrate that
the geological evolution is exactly the one we con-
sidered here. Actually, different models may possibly
291
Copyright 2006 Taylor & Francis Group plc, London, UK
unit) that responds passively.
5.2 Locked-in stresses and possible future evolution
of the stress state
We focussed on the evolution of the state of stress in
the past. However, some of our conclusion may also
apply to its future changes.
Actually our model shows that the stresses within
the argillite layer are not necessarily in a steady state:
they may change slowly over long time periods due
to viscous deformation of the layer itself and of the

Figure 7. Current stress state, as calculated with our model.
limestone units (by PSC), depending of the various
characteristic durations involved in these processes.
For example, according to the hypotheses we made,
horizontal stresses are locked-in because the Poisson
effect due to the eroded slice of overburden has not
been completely removed yet.
In order to assess possible changes of the state of
stress in the future (and its consequences on engi-
neering works), it may be useful to better quantify
the relative values of the ages of the main geological
changes (shortening and erosion) and of the character-
istic duration associated with the rheology of argillite
and limestone rocks over geological scales.
6 CONCLUSION
The main purpose of this paper is to demonstrate that
looking at the stress profile as an input for an inverse
problem (calculating rheological parameters using the
state of stress, rather than the contrary) is a powerful
tool to discuss the rheology of a rock mass at scales out
of reach to other means of investigation. This is par-
ticularly relevant when considering engineering works
supposed to stand up over very long time periods.
But, to be efficient, such an approach requires a good
understanding of physical processes involved in the
rock mass deformation and on its geological loading
history.
292
Copyright 2006 Taylor & Francis Group plc, London, UK
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World stress map. On line: www-wsm.physik.uni-karlsruhe.de/
Zhang, C. & Rothfuchs, T. 2004. Experimental study of
the hydro-mechanical behaviour of the Callovo-Oxfordian
argillite. Applied Clay Science 26: 325336.
Zhang, C., Rothfuchs, T., Mogg, H. et al. 2004. Experiments
and modelling of thermo-hydro-mechanical and geochem-
ical behaviour of the Callovo-Oxfordian argillite and the
Opalinus clay. GRS-202 report. ISBN 3-931995-69-0.
Zubtsov, S., Renard, F., Gratier, J.-P., Dysthe, D.K., Traskine,
V.Y. (2005). Single contacts pressure solution creep on cal-
cite monocristals. In: Deformation Mechanisms, Rheology
and Tectonic : Current States and Future Perspectives,
D. Gapais, J.-P. Brun, P. Cobbold (ed.), J. Geol. Soc. Lond.,
spec. publ. 243: 8195.
 EUROCK 2006 Multiphysics Coupling and Long Term Behaviour in Rock Mechanics
Van Cotthem, Charlier, Thimus & Tshibangu (eds)
2006 Taylor & Francis Group, London, ISBN 0 415 41001 0

Poromechanical modeling of a deep shaft excavation and comparison

with experimental results

X.C. Song, Y. Jia, G. Duveau & J.F. Shao

Laboratoire de Mcanique de Lille, Polytech-Lille, cit scientifique Villeneuve dAscq, France

K. Su
Andra, Chatenay Malabry, France

ABSTRACT: A numerical modeling is constructed to represent hydromechanical response of a deep hard

clay shaft subjected to excavation, which belongs to an underground research laboratory operated by Andra.
This study is carried out in the framework of 5th EC Euratom project Modex-Rep. Based on experimental data
on core samples, a constitutive model for the poromechanical behavior of saturated and unsaturated rocks is
presented. The proposed model is formulated within the thermodynamic framework of porous media and aimed
to describe the main features observed in experimental data, especially plastic deformation and influence of
water saturation on plastic flow. A series of numerical studies in axisymetric configuration have been performed
by using a fully hydromechanical coupling FEM method. Qualitative and quantitative comparisons between
numerical simulations and in situ experimental results are presented and discussed. The model predictions were
found to be in good agreement with experimental data.

1 INTRODUCTION 2 SUMMARY OF EXPERIMENTAL DATA

This work has been preformed in the framework of
Modex-Rep project, which is part of EURATOM fifth
European framework program. The project aims at
constructing and validating the models and the numer-
ical tools for predicting the hydromechanical behavior
of a Callovo-Oxfordian argillite formation considered
as a potential underground waste disposal host rock sit-
uated at 500 m depth in eastern France. Thanks to its
good geological properties (without major fractures),
very low permeability and high mechanical strength,
argillite is chosen as one of possible geological barri-
ers. An underground laboratory is being constructed
in the layer of argillite to perform in situ thermo-
hydromechanical experiments. During the excavation
of the access shaft, measurements of evolution of
pore pressure and displacement were achieved. In
fact, during excavation, rocks are submitted to various
coupled perturbations such as mechanical unloading,
hydraulic flow, and desaturation. In such a multidisci-
plinary research project, one of the essential tasks is to
physically understand and mathematically describe the
mechanical behavior of material in coupled conditions.
As a part of tasks, the purpose of our work is to propose
a constitutive model for the description of hydrome-
chanical behavior of the argillite in isotherm condition.
Then a comparison between numerical modeling and
in-situ measurement data can be achieved.
Experimental tests have been conducted on argillite
in various loading conditions. The basic mechanical
behavior of this rock shows two basic phenomena.
Large residual strains are obtained in all the tests
including the uniaxial test. In connection with micro-
scopic analysis of argillite, such irreversible strains are
essentially related to plastic deformation. Additionally
the plastic behavior is strongly pressure sensitive and
exhibits a transition from volumetric compressibility
to dilatancy. Notice that small microcracks induced
damage and creep are also observed. In present work,
we consider only the plastic behavior induced by
mechanical and hydraulic loading.
In order to study the influence of water content
on mechanical behavior of argillite, several groups of
samples were submitted to a constant relative humid-
ity in order to reach desired water saturation degree.
Three different ranges of water saturation degree were
selected. Four triaxial compression tests were real-
ized for each range. The experimental data shows
that the macroscopic failure stress decreases and the
argillite becomes more ductile when the water sat-
uration degree increase. Moreover, the initial elastic
modules increase with water saturation degree while
Poissons ratio slightly decreases. As indicated in the
experimental tests, the moisture content has a sig-
nificant influence on the mechanical behavior of the

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 argillite. The main factor of the dependency is the vari-
ation of capillary pressure during drying and wetting.
Then the proposed model should describe coupled
hydromechanical responses in such specific struc-
tures. An elastoplastic model for unsaturated rocks
should be formulated.
3 CONSTITUTIVE MODEL
In this section, an elastoplastic model is formulated
to describe mechanical behavior of saturated and par-
tially saturated rock. Under the assumption of small
strains, the following partition rules are assumed:
3.1 Non-linear poroelastic behavior
The rock is considered as a porous medium composed
of a deformable matrix, and can be saturated by a com-
pressible liquid (subscript lq) in equilibrium with its
vapour (subscript vp).The vapour forms an ideal gas
mixture (subscript gz) with the dry air (subscript da).
A phase change between the liquid and its vapour is
possible. Darcys law and Ficks law are respectively
used for the diffusion of the mixture (the dry air da
and vapour vp), the liquid and the diffusion of the
vapour in the mixture. The present study is limited
to isothermal conditions. Three general conservation
equations concern respectively: the momentum of the
multiphase medium, the dry air mass and the water
species mass (liquid and vapour). Before describ-
ing the plastic deformation and damage evolution,
the poroelastic behavior of partially saturated media
should be defined. The non-linear isotropic poroelas-
tic constitutive equation for partially saturated media
(Coussy 1995, Coussy et al. 1998) can be written
incrementally as (, = lq, vp, da, summation on ):
where m , sij , eij , v , pi , mi , i denote, respectively, the
mean stress, the deviatoric stress tensor, the deviatoric
strain tensor, the volumetric strain, the partial pres-
sure, the fluid mass variation and the volumetric mass
of the ith fluid phase. Kd and Ku are the drained and
undrained bulk moduli. G is the shear moduli. bi is the
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Copyright 2006 Taylor & Francis Group plc, London, UK
Biot coefficients related to the fluid phase i. Mij rep-
resent the Biot moduli between the fluid phase i and j.
By inverting equation (4), the fluid mass variations
can be expressed in terms of elastic strains and partial
pressures:
where Nij are the dual coefficients to the Biot mod-
uli Mij . In the general case, the poroelastic parameters
bi , Nij (or Mij ) are functions of partial pressures, tem-
perature and elastic strains. For elastoplastic materials,
these parameters are further functions of plastic defor-
mations. In the case of porous media saturated by three
fluid phase (liquid water, vapour and dry air), Biot
coefficients bi and Nij are functions of the liquid sat-
uration degree Slq , the derivative of water retention
curve, the volumetric compressibility of constituents,
and the porosity of the porous media. Suitable experi-
mental tests should be performed for the determination
of these parameters (Coussy 1995). Due to thermo-
dynamic equilibrium between the liquid water and its
vapour, the vapour pressure can be related to the liquid
pressure by using the Kelvins relation. In the ideal gas
mixture, the total gas pressure verifies pgz = pvp + pda .
Therefore, the gas pressure and the liquid pressure can
be used as two independent state variables of partially
saturated media. The constitutive equations (2a) can
be written as follows:
where b is the intrinsic Biot coefficient. Here we made
assumption of a constant gas pressure equal to atmo-
spheric pressure. Then the equation 6 can be written as:
By comparison the non-linear poroelastic theory with
the classical Biots model for saturated medium, it is
possible to introduce the concept of effective stress ten-
sor for partially saturated media (Schrefler and Gawin
1996).
3.2 Poroplastic behavior
Like most rocks, the plastic deformation depends on
pore pressures (gas and liquid) in saturated and par-
tially saturated condition. However, the concept of
effective stress may be used to take into account the
poroplastic coupling. Various forms of the effective
stress tensor may be proposed. From the theoretical
point of view, the existence and validity of effective
stresses is still an open topic for the plastic modeling of
saturated and partially saturated porous media (Lydzba
 and Shao 2000). In this model, the effective stress
tensor is defined from the extension of the Terzaghi
effective stress for saturated media:
where: d = Slq dplq and is Bishops plastic effective
stress coefficient.
On the basis of the experimental data from argillites,
the yield surface is described by the following non-
linear function:
where q
being the deviatoric stress, and p
the mean
effective stress. Rc is the uniaxial compression strength
of material. The parameter Cs denotes the cohesion of
material in saturated condition.
The plastic strain hardening is presented by the
increasing function p of the generalized plastic shear
strain p . According to the experimental data obtained
on the argillite (Chiarelli, 2000), the following form
is used:
where B is a parameter control rate of plastic harden-
ing. The hardening parameter p varies from 0 to 1.
The influence of pressure is controlled by parame-
ter 1 . For reason de simplicity, 1 = 1 is used. For
most geomaterials under compressive stresses, a non-
associated plastic flow rule should be used in order to
correctly capture the transition from plastic compress-
ibility to dilatancy. The following function is used as
plastic potential:
The variable p defines the transition from contrac-
tancy to dilatancy.
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Copyright 2006 Taylor & Francis Group plc, London, UK
4 NUMERICAL MODELING
4.1 Presentation of REP experimentation
An underground research laboratory is presently being
built since 2000 by Andra in a deep argillaceous
formation at the boundary of the Meuse and Haute-
Marne dpartements in Eastern France, known as
the Meuse/Haute-Marne Underground Research Lab-
oratory (MHM-URL). Here Andra, the French waste
management agency, plans to investigate the confin-
ing properties of the argillite rock and perturbations
to the host rock, resulting from shaft and drift exca-
vation and thermo-hydro-mechanical loading. During
the main access shaft excavation of the MHM-URL,
a set of instruments will be installed to record the
argillaceous rocks hydro-mechanical response (REP
experiment). In order to track the response of rock, a
niche is excavated at 445 m depth from the main access
shaft of the URL. In the niche, a set of mechanical and
hydraulic sensors were placed on 15 boreholes. These
sensors are located mainly on the altitude between
460 to 476 m. The rock mass responses duo to
shaft excavation are being tracked until to the end of
shaft construction (508 m). The Figure 1 shows the
composition of the boreholes of REP experiment.
4.2 Geometry
A two-dimensional mesh was created for numerical
modeling of the shaft. The calculations were per-
formed assuming axisymetric conditions. We dont
take into account in situ anisotropic horizontal stress
field, which can be simulated only in a 3D calculation.
In order to minimize boundary effects in the plane of
the shaft, the model have a length of 100 m. The niche
is not taken into account. The shaft radius is 3.3 m after
blasting. In-situ measurements were performed in the
Figure 1. Overview of all boreholes in the REP zone (from
K Su et al. 2005).
 Table 1. Parameters used for the two zones.
COX A zone COX B zone
Parameters (419 m to 460 m) (460 m to 508 m)
E0 (GPa) 2.65 3.5 to 4.5
0 0.2 0.12
K0 (m/s) 5e-13 to 7e-13 5e-13 to 7e-13
REP zone which lies between level 460 to 480 m.
The positions of experimental sensors were considered
when generating the mesh so that comparisons can
be done.
4.3 Parameters
The mechanical behavior of host formation is mainly
characterized by 3 parameters according to Andra: uni-
axial rock compressive, tensile strength, and a uniaxial
damage stress which describe the transition from con-
traction to dilatation. Based on these three values and
triaxial tests performed by Chiarelli in the LML, we
determined the parameters of the elastoplastic model.
Notice that different lithologic zones have been carried
out by Andra during the geological prospection. In a
mechanical point of view, only two zones are needed.
The upper zone of the layers is named zone A, which
is about 40 m thick, and the B zone lies below.
The hydraulic parameters are given by Andra based
on experimental investigation of core samples. Notice
that Biots Moduli is very difficult to obtain by experi-
mental investigation and its value is very uncertain.
The drained elastic constant is usually determined
using Biots relationships for porous media. So its
value is not determinate too. Several cases were con-
sidered in this modeling to study the incertitude of
parameters. Parameters used in this paper are summa-
rized in the following table.
Notice that during the excavation, rocks permeabil-
ity may increase (possibly multiply by 1000). So we
considered an evolution of permeability with dilatancy
in our model. The following formulation is used:
4.4 Initial and boundary conditions
The numerical modeling of REP experiment aims to
forecast the in situ response of the argillites subjected
to shaft excavation. The excavation of the shaft is
done by blasting. To consider each blast in the numer-
ical model, we add on the wall of blasting zone a
stress and a liquid pressure which decrease from initial
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Copyright 2006 Taylor & Francis Group plc, London, UK
Pl=4,2MPa ;
z=-11,56MPa
Pl=4,2MPa0 ;
r=--15MPa0
function of sinking
Pl=4,2MPa ;
r=-15MPa
Blast level n
l
Pl0 ;
r0
u=0
ql=0
Pl 4.2MPa
r =-15MPa
Blast level n+1
Figure 2. Boundary conditions.
values to some values after the blast. After each blast, a
debris removal period is proceeded. During this period
boundary conditions keep unchanged. All boundary
conditions are summarized in Figure 2. Notice that we
dont take into account of volumetric forces, so ini-
tial stress and liquid pressure are then assumed to be
constant for all the domain.
Different calculations were performed. In a first
phase, calculations in saturated condition were
achieved. In these calculations, liquid pressure on
walls shaft is maintained to atmospheric pressure after
the blast. In the second phase, unsaturated calcula-
tions were done with small suction (of 5 MPa) applied
on shafts wall in order to take into account of the
ventilation.
4.5 Presentation and discussion of the results
4.5.1 Damage and failure zone
We first consider the evolution of EDZ around the
shaft. EDZ is here characterized by the evolution of
plastic parameter p which varies between 0 and 1 (for
failure). Based on experimental observation, damage
occurs when p > 0,6.
On Figure 3 we can observe that EDZ occurs only
in the vicinity of the shaft and there is no any failure.
Moreover, from other calculations we observed that
EDZ is only created during excavation. EDZ doesnt
depend on elastic constant, when we increased intrinsic
permeability or took the ventilation, p and EDZ zone
decreased. This may be due to small induced microc-
racks generated during excavation. Notice that from
the in-situ experiments we didnt observe any fail-
ure which is in accordance with numerical modeling
results.
 50 -445
-467m; 5,9m
45 -450

40 -455

35 -460

Liquid pressure(100kPa)
30 -465

Depth
experiment values
25 -470
k=7e-20m
20 k=5e-20m -475
sw=95% k=7e-20m
15 Chronology -480

10 -485

5 sensor level -490

blasting time
0 -495
29/12/2004 17/02/2005 08/04/2005 28/05/2005 17/07/2005 05/09/2005 25/10/2005
Time

Figure 5. Evolutions of pore pressure with different ini-

tial permeability during blasting, at a depth of 470 m and
a distance of 5.9 m from axis.

2 -445

-450

1,5
E=4500MPa v=0.01 -455
Figure 3. Damage zone. experimental values
E=3457MPa v=0.12 -460
1
relative displacement

chronology
-465
70 -445

Depth
0,5 -470
60 -450
experiment values
-475
50 k=5 e-20m2 -455
sw=95% k=7e-20m2 0
40 -480
Liquid pressure(100kPa)

Chronology -460 29/12/04 17/02/05 08/04/05 28/05/05 17/07/05 05/09/05 25/10/05

30 -485
-465 -0,5
Depth

20 sensor depth -490

-470 blasting time
10
-1 -495
-475 Time
0
29/12/2004 17/02/2005 08/04/2005 28/05/2005 17/07/2005 05/09/2005 25/10/2005
-480
-10
sensor depth
Figure 6. Comparison between relative displacement evo-
-20 blasting time -485 lutions of experiments and numerical results during blasting,
-30 -490 at a depth of 468 m and a distance of 4 m from axis.
-40 -495
Time

On Figure 5 we show the effect of initial value

Figure 4. Comparison between pore pressure evolutions of of intrinsic permeability. Numerical results show that
experiments and numerical results during blasting, at a depth pressure decrease more slowly when intrinsic perme-
of 470 m and a distance of 4.4 m from axis. ability decreases. Moreover, we observe that the effect
of suction decreases when the distance of the sensor
4.5.2 Evolution of pore pressure to the axis of the shaft increases, as expected. Due to
Figure 4 shows the comparison between pore pres- the very small permeability, the effect of suction dis-
sure evolutions of experiments and numerical results appears only when the distance to the axis is greater
during excavation. The experimental data comes from than 7 m.
a sensor lying at a depth of 470 m and a distance of
4.4 m from the axis of the shaft. The evolution of pore 4.5.3 Evolution of displacement
pressure occurs when blasting front reaches the posi- Figure 6 presents comparison between relative dis-
tion of the sensor. As expected, due to migration of placement evolutions of experiments and numerical
fluid from rock to the shaft, pore pressure decreases results of two sensors during the excavation. The two
more rapidly in the vicinity of shaft than in the far sensors, which lied at a depth of 471 m and a distance of
field. For the numerical results, we can observe the 4.0 m from the axis of the shaft, were placed in a verti-
influence of intrinsic permeability and suction. Pore cal borehole. We can observe that hydraulic parameters
pressure decreases quickly when intrinsic permeability have no effect on predicted displacement. Moreover,
increase and when suction occurs. In a general manner, as expected, relative displacement decreases when
numerical prediction is quite good accordance with Young modulus and rigidity of rock mass increases.
experimental data. Moreover, we observed that pore The numerical prediction is here also in quite good
pressure is not affected by elastic constant. agreement with in situ measurements.

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Copyright 2006 Taylor & Francis Group plc, London, UK

 45 Figure 8 presents the comparison between pore
40 pressure evolutions of experiments and numerical
Pore Pressure (100kPa)

35 results in different initial stress field. We can observe

30 that, comparison with experimental data, pore pressure
25 of numerical results decreases more slowly. This is due
20 to the fact that the stress field is isotropic. So EDZ
15 extension zone is small. Moreover we observed that
10 the hardening parameter p doesnt reach the value
5 of p , which define the transition from contractancy
time
0
to dilatancy. Finally, permeability in this case doesnt
17/02/2005 08/04/2005 28/05/2005 17/07/2005 05/09/2005 25/10/2005
increase and remains constant, equaling to the ini-
Figure 7. Evolution of pore pressure during blasting at a tial value for all the domain. Therefore, liquid flow to
depth of 470 m and a distance of 4.85 from axis, in the the shaft becomes slowly and pore pressure decreases
direction of minor principal stress. more slowly. In order to take into account of the
anisotropy of in-situ stress field, 3D calculation must
70
be done.
experiment values
60
isotropic sigv=sigh
5 CONCLUSIONS
Pore Pressure (100kPa)

50
anisotropic sigh>sigv

40 A coupled elastoplastic model is proposed for model-

30
20
10
time
0
17/02/2005 08/04/2005 28/05/2005 17/07/2005 05/09/2005 25/10/2005
Figure 8. Comparison between pore pressure evolutions of
experiments and numerical results in different initial stress
field during blasting, at a depth of 470 m and a distance of
4.4 m from axis.
4.5.4 Influence of stress field
As mentioned above, the in-situ horizontal stress field
is anisotropic. Figure 7 shows the experimental data
of a sensor in the direction of minor stress, which
can be compared with the data on Figure 4 with
the sensor in the direction of major horizontal stress
(H = 15 MPa). Due to the damage, which is greater
in the direction of minor principal stress, the pore pres-
sure decreases more quickly in the same direction. This
fact may be relational to the increasing of permeability
in EDZ. Moreover, we can notice that in this direc-
tion, no over pressure occurs. The over pressure can
be observed in direction of major principal stress (see
Fig. 5), which may be due to the compaction of rock
in this direction.
To look into the influence of the anostropic stress
field, another calculation was done. In this calculation,
the horizontal stress is equal to the minor in situ stress
(h = v = 11.56 MPa).
ing hydro-mechanical behavior of partially saturated
rocks. Comparisons between numerical simulations
and in situ experimental data have been presented in
saturated and partially saturated conditions. Results
show that the model is capable to describe princi-
ple responses of rocks during shafts excavation. The
proposed model will be extended to involve thermal
effects in the future. Some specific in-situ thermal-
hydromechanical experiments are expected by the
underground research laboratory of Andra. A 3D cal-
culation with this model will be performed to check the
effect of in-situ anisotropy of stress field on numerical
response.
REFERENCES
Chiarelli A.S. (2000), Experimental investigation and consti-
tutive modeling of coupled elastoplastic damage in hard
claystones, Doctoral thesis (in French), University of Lille.
Coussy O. (1995), Mechanics of porous continua. J. Wiley &
Sons.
Coussy O., Eymard R. and LassabatreT. (1998), Constitutive
modelling of unsaturated drying deformable materials. J.
of Engineering Mechanics, ASCE, 124 (6), 658667.
Schrefler B. and Gawin D. (1996). The effective stress prin-
ciple: incremental or finite form. Int. J. for numerical and
analytical methods in Geomechanics 27(3), 785814.
Lydzba D. and Shao J.F. (2000), Study of poroelasticity mate-
rial coefficients as response of microstructure, Mechanics
of Cohesive-Frictional Material, Vol.5, N 2, 149171.
Su K.Armand G. and Hoteit N. Specification for modelling of
the REP experiment 2005, Andra C.SP.ASMG.05-0024.

298

Copyright 2006 Taylor & Francis Group plc, London, UK

 2.2 Field experiments and case studies

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 EUROCK 2006 Multiphysics Coupling and Long Term Behaviour in Rock Mechanics
Van Cotthem, Charlier, Thimus & Tshibangu (eds)
2006 Taylor & Francis Group, London, ISBN 0 415 41001 0

Collapse/subsidence: evolution of the overburden massivity according

to the geomorphology in the Lorraine iron mines case

J. Fougeron & F. Homand

LAEGO-INPL, Vandoeuvre-ls-Nancy, France

M. Souley
INERIS, Nancy, France

M. Bennani, J.P. Josien

GEODERIS, Metz, France

ABSTRACT: This paper presents a methodology allowing to discriminate violent collapses of progressive
subsidences from sixteen historical collapses and subsidences cases known in Lorraine. Initially, we will present
the discrimination methodology. Using a geometrical criterion and a geological criterion, this methodology has
allowed to discriminate violent collapses of progressive subsidences. Next we will approach, through energy
balances resulting from large scale numerical modellings, the geomorphology effect on the mechanical behavior
of overburden. The study of energy dissipations in the overburden shows that a valley and vertical fractures
decrease the overburden massivity.

1 INTRODUCTION Based on the previous definitions, 16 historical

Lorraine was an important mining region leaving
many empty spaces in the underground, responsible
for many accidental movements. The consequences on
the surface depend not only on the intensity of the
phenomenon (amplitude of subsidence and maximum
horizontal strain), but also on the kinetics (brutality)
with which these instabilities appear on the surface.
Typically, a collapse is qualified as violent when: (a)
the accidental movement follows a seismic event of
sufficient magnitude to be recorded to 150 km; (b) the
results in an air blast within the mine workings; (c)
the surface profile is very steep and stepwise at the
edge, and (d) the collapse is complete in a very short
amount of time (less than an hour). Conversely if the
accidental movement is preceded by (e) no seismic
event, (f ) the surface profile is gradual at the edge and
(g) the collapse occurs over the course of several hours
instead of several minutes then the event is qualified
as progressive subsidence (Fairhurst 2003).
It is important to distinguish violent collapses
of progressive subsidences, implications in terms of
people security being very different: if the progres-
sive phenomena make it possible to set up means
of monitoring, treatment or confortement, the brutal
phenomena require emergency actions.
cases were recorded in the Lorraine iron ore basin:
8 violent collapses and 8 progressive subsidences.
In this paper we firstly expose all the discrimination
reasoning which allowed to delimit violent collapse
and progressive subsidence hazard zones. Secondly,
we present a series of large scale numerical modelling
of valley and tray situation in order to quantify the
effect of geomorphology on the overburden behavior.
2 DISCRIMINATION METHODOLOGY
This methodology was developed from the data anal-
ysis of sixteen well-documented historical cases of
collapse and subsidence occurred in Lorraine (Didier
2003).
2.1 Geometrical criterion
The first step consists in analyzing exploitation geom-
etry data of all subsidence/collapse risk zones. The
results of this data analysis are the development of
a discriminating function which takes into account
the extraction ratio, vertical stress in pillar, over-
burden thickness, mining height, pillar dimension,
room dimension, surface area pillar, hydraulic radius,
height-to-width ratio and abutment effect. All of these

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Copyright 2006 Taylor & Francis Group plc, London, UK

 Table 1. Facies-type in stratigraphic order.

Formation Abbreviation

Doncourt oolitic limestone DC

Jaumont limestone of biosparite type JCB
Jaumont limestone of marly type JM
Polypiers limestone of biosparite type PCGC
Polypiers limestone of marly type PCEAM
Polypiers limestone of bioherme type PCB
Haut-Pont limestone of biosparite type HPC
Haut-Pont limestone of sandstonely type HPG
Ottange limestone of sandstonely type OTC
Ottange limestone of marly type OTAG
Charennes marls MC
Figure 1. Discriminating function.

Table 2. Geomechanical characteristics of facies-types.

parameters are the problem variables in the statistical
analysis (PCA: Principal Component Analysis and Formation Rc (MPa) E(GPa) C(MPa) ( ) Rc /Rt
DFA: Discriminating Factorial Analysis) as firstly
DC 13.7 18 4.7
introduced by Kouniali 2000. The calculated value of JCB 54 34 13 43 10
the discriminating function as a function of the histor- JM 18 18 6.6 13.6 4
ical cases of collapse and subsidence is illustrated in PCGC 54 44 11
Figure 1. PCEAM 27 24 5 33 11
So that for a violent collapse risk is retained, it PCB 54 44 11
is necessary that the discriminating function value is HPC 71 51 9 32 13
higher than 0.7 and the presence of stiff bedrock in HPG 17 12 3.5
the overburden. Finally, the value of the function thus OTC 22 20 2 34 7
allows the assignment of zones to one or other of the OTAG 7 5
two groups without ambiguity when the projection is
close to the one of the two gravity centres (Figure 1).
2.2.1 Geological study of core drillings
2.2 Geological criterion A detailed lithological analysis is firstly performed
on the core drillings. Through this analysis, geo-
It was necessary to develop a methodology which leads logical logs were elaborated allowing a stratigraphic
to evaluate the overburden stiffness through the defi- interpretation which integrates the available regional
nition of a massivity index. The development of this geological information (Lacomme 2003). From this
index is based on a large geological and geotechni- geological description of overburden formations, core
cal characterization of overburden formations in the drillings were again studied so as to define unities
vicinity of zones for which the collapse risk is not of homogeneous mechanical behavior say facies-
dismissed. types: the geotechnical unities in the sense of the
Twelve core drillings were realized for character- predominant lithological facies. Different geotech-
ize the overburden in the vicinity of hazard zones nical homogeneous unities are summarized in
including frame. Among these core drillings, seven Table 1.
were drilled alongside or in the vicinity of historical Below these formations of overburden there is the
accidental zones including five violent collapses. Aaleanian iron formation which is mainly composed
The principal steps were as follows: of ore and internal waste succession. Next, there is the
1. Geological study of core drillings; presence of Toarcian marls known inferior.
2. Fracturation statements, RQD and ID calculations;
3. Geomechanical characterization of core drillings; 2.2.2 Geotechnical study of core drillings
4. Geological and geotechnical analysis of core It consists in describing the geomechanical charac-
drillings, examination of massivity conditions at teristics of each facies-type through hardness tests,
large scale; P-wave and S-wave velocity measurements, classical
5. Calculation of geotechnical parameters (RMR, GSI); laboratory tests (indirect tensile, uniaxial and triaxial
6. For a studied zone risk, development of methodol- tests). Table 2 summarizes a part of these results (only
ogy based on the five previous steps. geomechanical are presented herein).

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 2.2.3 Characteristics at the scale of core drilling
The geological analysis is completed and associated
to the results of geomechanical parameters in order
to better characterize the overburden in the vicinity of
core drillings.
Each core drilling is thus described, formation after
formation, by a succession of lithological homoge-
neous unities. These unities are delimited by there
lower dimension, which makes it possible to calculate
the effective thickness.
Each facies is associated to an average compressive
strength and an average Youngs modulus. Next, the
Figure 2. The typical different geomorphological situations.
maximum ID value, average RQD and joint type are
noted.
From fracturation data and mechanical characteris-
tics on samples, we have calculated the RMR89 index 3. A maximal thickness (hmax ) corresponding to the
from the following principles (Bieniawski 1989): continuous thickness of stiffness bedrocks.

1. Maximal ID value and average value of RQD by
lithological unity;
2. Joint type value (based on core observation): 25
for limestone joint, 15 for limestone-marl joint and
limestone-sandstone joint;
3. Average of compressive strength evaluated for the
lithological facies.
The relation is done between values as suggested
by Bieniawski (1989). The GSI index is calculated by
RMR89 5.
Many empirical relations were proposed by sev-
eral authors to estimate the rock mass deformation
modulus (massive modulus) from sample character-
istics (referring to intact rock) measured in laboratory
(Barton 80, Hoek & Brown 82, Bieniawski 89 and
Hoek & Brown 97).
All used formula lead to the same relative classifica-
tion of formations. The Hoek & Brown (1997) formula
very often gives the high values, which is classically
observed. Let us recall that the principal objective is to
characterize the formation stiffness. Consequently, we
have kept the massive modulus from Hoek & Brown
(1997) formula.
where c is the uniaxial compressive strength mea-
sured in laboratory and GSI the Geological Strength
Index (Hoek 1994).
In addition to the mechanical characteristics eval-
uated for each unity, facies are also characterized in
each core drilling by:
1. Geotechnical characteristics: average RQD, maxi-
mal ID, joint type;
2. An accumulated thickness (hc ) of characteristic
bedrock (corresponding to the dominant typical
lithology representative of facies);
Two index are proposed with the aim to characterize
the global overburden behavior and the local bedrock
stiffness.
There are:
1. The global overburden behavior (index A) by con-
sidering only stiffness formations. It allows to give a
global index which allows to well distinguish cases
where there is much limestone on the one hand, and
much marls on the other hand.
2. The maximal stiffness bedrock (index B).
where hci is accumulated thickness of characteristic
beds for facies i, Emi : rock mass modulus (Hoek &
Brown 1997) for facies i, Ptrav : mining works depth,
hmaxi : maximal thickness of continuous stiffness bed
in facies i, Em max : maximal deformability modulus of
the rock mass, hmax max : maximal value of hmaxi for all
core drillings.
In order to obtain non-dimensional index, the pre-
vious index A and B are weighted respectively by the
modulus Em max and by thicknesses hmax max and Ptrav .
Formation massivity can be defined like its total
stiffness. It bases on the stiffness bedrock concept,
which is not an intrinsic characteristic, but which must
be evaluated in both morphological (slope, tray, etc.)
and geological (fracturing, fault) contexts. It is thus
necessary to introduce a last index C which takes into
account these criteria at a large scale. That corresponds
to a morphological index describing four distinct sit-
uations encountered in the Lorraine iron basin and
illustrated in Figure 2: promontory (1), valley (2),
tray (3) and postponed valley (4).

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Figure 3. Discrimination according to the massivity index.
It is logical to estimate that a tray or a postponed val-
ley situation tends to increase the overburden massivity
by the fact that the fracture would be badly expressed
imposing limited displacements (index C is equal to 1).
On the contrary, the empty space, created by the valley,
reduce the overburden stiffness (index C is equal to 0).
The final index expressing the stiffness overburden
for a given zone is defined by:
This final index takes into account the geometrical
index (value of the discriminating function) allow-
ing to grade zones the ones compared to the others
with regard to the susceptibility of the violent collapse
(Bennani 2004).
Figure 3 shows the distribution of historical cases
according to the massivity index, IM. We retain here
the IM value of 0.60 as threshold above which the
violent collapse risk exists in relation the overburden
massivity. This value corresponds to the lowest mas-
sivity index value obtained for a violent collapse zone
(Audun-le-Tiche 1902).
3 LARGE SCALE NUMERICAL
MODELLING
3.1 Introduction
As illustrated above, the massivity index depends
on several others parameters, particularly the index
C which describes four geomorphological situations.
The value of this index was fixed with an empirical
way. We must confirm and justify this value through
large scale numerical modellings in particular the sit-
uation of tray or valley (opposite of the tray situation),
see Figure 4. These modellings consist in simulating
the valley excavation and the exploitation of several
mines. Details on geometrical model and the initial
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Copyright 2006 Taylor & Francis Group plc, London, UK
(a) (b)
Figure 4. Valley excavation: (a) initial state (b) valley
formation.
and boundary conditions can be consulted in Fougeron
et al. 2005.
In addition through this large-scale modelling,
we tried to understand the influence of the overbur-
den in the mechanism of subsidence and collapse
development.
Numerical simulations were undertaken, which
were based on the distinct element code (UDEC)
within each discontinuity (interbed joints and vertical
fractures) was explicitly taken into account. The influ-
ence of numerous parameters (such as stiffness of over-
burden beds, mechanical properties of discontinuities,
presence of vertical fractures) was examined. Three
mining exploitations were too taken into account: an
exploitation situated under the tray, an exploitation sit-
uated alongside the valley and an exploitation situated
under the slope.
From the stresses and displacements study (within
the rock mass and on discontinuities), a distance,
from which the valley disturbs stresses in the overbur-
den, was evaluated to 250 m (from the slope failure
line). Beyond this zone, the geomorphological situa-
tion is mainly a tray situation. The overburden stress
and displacement distributions induced by exploita-
tions located under the tray and alongside the valley
are globally identical. Only the exploitation under the
slope takes place in the disturbed zone.
The global examination of displacement in the over-
burden allowed to show an important horizontal and
vertical displacement near the valley. This displace-
ment is significantly increased with the presence of
vertical fractures. This last is thus synonymous of an
overburden less constrained near the free slope; con-
sequently one expects a less stiff behavior. Conversely
in a tray situation, there are no displacements.
Then, the displacements study comes, in a first
time, to confirm the assumption that a valley situation
involves a less constrained overburden than in a tray
situation. Nevertheless, this only remark is not suf-
ficient to completely confirm values concerning the
index C.
To guarantee the validity of this index, a second
factor analysis is necessary. We thus considered energy
dissipations in the overburden. Therefore if energy dis-
sipations are weak in the overburden; this will be an
indicator of a stiff behavior. On the contrary, if the
overburden dissipates a high energy quantity, a less
stiff behavior is expected.
 Figure 5. Total dissipated strain energy in material in the
unfractured and fractured rock mass.
3.2 Energy balances
Usually strain energy is stored within a block when
the block is deformed under load. In the absence of
energy dissipations, such as from friction or yield-
ing, the strain energy is equal to the work done on the
block by external loads. It is equal to the area under
the stress-strain curve, and is a measure of the tough-
ness of a block. The mechanisms noticed through these
modellings (released stresses, displacements, plastic
zones), are accompanied by a more or less important
dissipation of energy. The total energy released corre-
spond to the total dissipated strain energy in material
(Uc ), the total change in potential energy of the sys-
tem (Ub ), the total dissipated energy in joint shear (Wj )
and the total dissipated energy in plastic deformation
of intact rock (Wp ). Therefore if energy dissipations
are weak in the overburden; this will be an indicator
of a stiff behavior.
To examine the energy balance, two specific cases
corresponding to the valley situation are examined:
unfractured case refers to geomechanical model
where only the joints representing the interface
between beds are taken into account (Figure 4b);
fractured ones refers to model where vertical frac-
turation of overburden introduced in the vicinity of
valley.
3.2.1 Total dissipated strain energy in material
Figure 5 illustrates the total dissipated strain energy in
block materials. In both cases, the valley excavation
involves an energy dissipation in material.
This dissipation involves three distinct phases. The
first concerns the Jaumont limestone excavation (step
by step) synonymous with an energy dissipation of
approximately 800 MJ at the same time for the unfrac-
tured and fractured rock mass. The second phase
corresponds to the phase of Polypiers limestone exca-
vation (step by step) which leads to an energy dissi-
pation of approximately 1400 MJ. Then the dissipated
energy reaches a plateau corresponding to the final
equilibrium (last phase).
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Copyright 2006 Taylor & Francis Group plc, London, UK
Figure 6. Evolution of the dissipated potential energy dur-
ing the valley excavation.
Table 3. Dissipated energy in fractured and unfractured rock
mass.
Energy (MJ) Unfractured Fractured
Material strain energy Uc 1453 1457
Potential energy Ub 75.76 300.5
Friction work Wj 0.1281 0.2167
Plastic strain work Wp 1.75 103 8.25 103
Total energy released 1529 1754
During the three phases, the energy dissipation in
material is slightly more important in the fractured
rock mass but this difference is not sufficiently signif-
icant to affirm that the presence of vertical fractures
reduces more the overburden massivity. This minor
difference between two models is probably due to the
too weak values of joint stiffness for the vertical set of
fractures.
3.2.2 Total change in potential energy
Figure 6 presents the total change in potential energy.
The curves of energy dissipation show the same
form as in the case of the dissipated energy in mate-
rial (3.2.1). The valley excavation involves a potential
energy dissipation highly correlated to the observed
displacements in the overburden near the valley. For
the unfractured case, the dissipated potential energy is
of 75 MJ whereas for the fractured rock mass, it is four
times more important (300 MJ). This means that the
presence of vertical fractures involves more important
displacements in the overburden.
3.2.3 Total energy released
Table 3 presents the total energy dissipated balance in
the unfractured and fractured rock mass.
The valley presence shows an energy dissipation in
the overburden of about 1529 MJ in the unfractured
rock mass. In tray situation, this dissipation is about
1.2 MJ (1500 times smaller). The majority of dissi-
pated energy comes from the material strain energy

Figure 7. Total energy released in the unfractured and frac-
tured rock mass during the valley excavation.
Table 4. Dissipated energy in fractured and unfractured rock
mass with mining exploitations.
Dissipated energy (MJ)
Figure 8. Total energy dissipated balance in different cases.
Nevertheless, it is impossible for us to conclude,
at this stage, on the exploitation effect on the over-
burden massivity from quantitative point of view (in
terms of index based on the energy balance). Indeed,
we do not have enough indications on the overburden
Situation Unfractured Fractured  degradation compared to the valley excavation.
It would be necessary to be able to estimate, accord-
Tray 1.2 1.6 0.4 ing to the various mechanical properties of the over-
Valley 1529 1754 225 burden, from when the valley it sufficiently broke
Exploitation under tray 1632 1826 194 the overburden. If the overburden is fractured, the
Exploitation alongside 1626 1843 217 exploitation under the slope will involve energy dissi-
valley pations implying a not very stiff overburden. On the
Exploitation under slope 1717 1942 225
contrary, if the overburden is not broken near the valley,
this same exploitation will tend to dissipate less energy
and the potential energy. The dissipated energy in and thus will not reduce the overburden massivity.
joint during shearing and the total dissipated energy
in plastic deformation play in a less significant way.
Figure 7 shows the evolution of the total dissipated 4 CONCLUSIONS
energy in the unfractured and fractured rock mass. In
the presence of vertical fractures, the released energy The methodological study has allowed to discrimi-
is more important (1754 MJ) and this due in majority nate violent collapses of progressive subsidences using
to a more consequent potential energy (300 MJ) thus the geological and geometrical criteria. Initially it was
directly with more important displacement field in the fixed that the tray situation increases the overburden
overburden near the valley. massivity. Conversely the valley situation and vertical
fractures decrease the overburden stiffness. To try to
3.2.4 Presence of a mining exploitation confirm this starting assumption, a precise study of
As previously mentioned in 3.1, we considered the energy dissipations in the overburden was thus under-
presence of three mining exploitations: an exploitation taken. A valley presents an energy dissipation much
situated under the tray, an exploitation situated along- more important (1500 times higher) than the tray sit-
side the valley and an exploitation situated under the uation. In the presence of exploitation, the one under
slope. valley involves dissipations also more important than
Table 4 and Figure 8 present the total energy dissi- exploitations under the tray and alongside the valley.
pation for the tray and valley situations in the presence Finally if the rock mass presents a vertical fractura-
of exploitation, in the unfractured and fractured rock tion, these dissipations are even more consequent in
mass in the same time. Exploitations under the tray and relation to the more important total displacement in
alongside the valley involve equivalent energy dissipa- the overburden. Consequently a vertical fracturation
tion (for the two mediums): this comes to confirm the and a valley tend to decrease the overburden massivity
remark that finally the exploitation alongside the val- contrary to the tray situation; this is a good qualita-
ley is not in the valley influence zone. On the contrary, tive indicator when estimating the index C. However,
the exploitation under the slope involves an energy at this stage, it was not possible to propose an index
dissipation more important and this for the unfractured that quantify the energy balance, and then to conclude
and fractured rock mass. on the exploitation effect on the overburden massivity.

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Copyright 2006 Taylor & Francis Group plc, London, UK

 This will be the next step of this research. In addition, to
complete the index C analysis, it remains to check the
postponed valley situation through a 3D study under
FLAC3D. Parallel to this present study, we will study
energy dissipations to try to confirm that a postponed
valley situation increases the overburden massivity by
binding due to the 3D geometrical effect.
ACKNOWLEDGEMENTS
Authors cordially thank M. Francis Wojtkowiak, M.
Jack-Pierre Piguet and M. Grard Vouille with whom
they had profitable exchanges. These research works
were financed partially within the framework of
GISOS (Research Group for the Impact and Safety
of Underground Works).
REFERENCES
Bieniawski Z.T. (1989) Engineering Rock Mass
Classification-A Complete Manual for Engineers and
Geologists in Mining, Civil and Petroleum Engineering,
Part 4, pp 5171.
Bennani M., Homand F. (2004) Les formations de cou-
verture au droit des zones dala deffondrement brutal,
rapport LAEGO-GEODERIS, juillet 2004.
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Didier C., Josien J.P. (2003) Importance of failure mech-
anisms for management of surface instability risk above
abandoned mines, ISRM 2003, Technology roadmap for
rock mechanics, SAIMM.
Fairhurst C., Piguet J.P., Van der merwe N. (2003) Exa-
men de la mthode Godris dvaluation des risques et
des consquences potentielles relatifs aux affaissements
de surface dans le bassin ferrifre lorrain, http://www.
lorraine.drire.gouv.fr/mines/pdf/RapportExperts.pdf, mai
2003.
Fougeron J. (2005) Effondrement/Affaissement, rle et
influence de la couverture dans le cas des mines de fer en
Lorraine. Rapport GISOS numro 113, novembre 2005.
Fougeron J., Souley M., Homand F. (2005) Collapse/
Subsidence: role and influence of overburden in Lorraine
iron mines case. Post-Mining 2005, Symposium Proceed-
ings ISBN 2-85555-061-0, Nancy, France.
Hoek E, Brown E.T. (1997) Practical estimates of rock mass
strength, Int. J. Rock. Mech. Min. Sci. 34(8), 116586.
Hoek E. (1994) Strength of rock and rock masses, ISRM
News Journal, 2(2), 416.
Kouniali S. (2000) Prvision des consquences des
affaissements miniers dans les mines de fer de Lorraine.
tude mthodologique pour la dtermination du type
deffondrement attendu. Rapport INERIS rf. DRS-00-
225300/R01 pour le MINEFI, 25 juin 2000.
Lacomme A. (2003) Recherche, par sondages carotts, de
formation pouvant jouer le rle de banc raide , dans
plusieurs zones dala du bassin ferrifre lorrain. Rapport
BRGM/R-52641-FR, 110 p., 13 fig., 7 tabl., 3 ann., 2pl.
 EUROCK 2006 Multiphysics Coupling and Long Term Behaviour in Rock Mechanics
Van Cotthem, Charlier, Thimus & Tshibangu (eds)
2006 Taylor & Francis Group, London, ISBN 0 415 41001 0

A case study of failure mechanism and support measures of slopes

against sliding and toppling failure

A.H. Ghazvinian
Academic Member, Tarbiat Modarres University, Tehran, Iran

Z.A. Moradian
Sadr Sazeh Kosha Co. Karun III Dam Project

ABSTRACT: Stability analyses were carried out to confirm the stability of the G2M slopes of the Karun 3
Dam Hydro Electric Power Project (HEPP), located southwest of Iran. The slopes above the Take off Yard
were exhibiting significant movement especially during the rainy seasons. It was deduced that the movement is a
combination of flexural toppling in the lower levels and planar/block sliding at the upper levels of the slopes under
study. The stability analyses were performed by the limit equilibrium method leading the need and volume of
the protective measures to stabilize the whole slopes mass. The various stabilization methods such as unloading
by benching, drainage, and rock bolting were investigated and it was decided to apply a combination of all.
Based on the analytical studies, the surface weathered mass was removed and the excavation of the benches was
undertaken as per the design. Prior to the surface excavations, the drainage gallery and the related fan holes
were completed. The rock bolting was done concurrent with the surface excavations. The details of the failure
mechanism, monitoring system, stability analyses, and application of the protective measures are given in this
paper.

1 INTRODUCTION

The stability analyses and the design of the stabiliza-

tion of the slopes adjacent to the dams are important
as their instability may endanger the dam [2].
The access road to the right abutment of Karun 3
dam, located southwest of Iran, was planned and exca-
vated. The slope above this access road was named as
G2M Slope (Fig. 1).
To excavate this road, some trenches with their
heights ranging between 20 to 50 meters were cut
through the rock bed. These excavations resulted in
undercutting of the G2M Slope due to which cracks
were appeared between elevations 850 to 910 meters
accompanied by some earth movements, gradually, on
both sides of these cracks. The condition were inten-
sified and the stability of G2M endangered by further Figure 1. The location of the G2M slope.
excavation of the take off yard due to which 40 to 50
meters high rock beds were excavated at the toe of 2 GEOLOGY OF THE G2M AREA
the slope. With the help of the deformation monitor-
ing and the stability analyses the slope was proved to The G2M slope is located on the south flank of the
be unstable. Further, remedial measures were applied Keyfmalek anticline ridge. The slope extends from
to stabilize the slope up to the required safety factor. river level at about elevation 668 m up to the top of
The details of the research and studies performed are the ridge at about El. 1100 m. Slope movement has
presented in this paper. been recorded along a 205 m high section of the slope

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Copyright 2006 Taylor & Francis Group plc, London, UK


Figure 2. A cross section of the beddings in G2M slope.
Table 1. Prominent discontinuity sets of G2M area [6].
Orientation (Deg.)
Set Dip Direction (Deg.) Dip (Deg.)
Bedding 230 4585
J1b 40 80
J4a 320 80
J4b 165 85
J5a 325 40
J5b 155 45
J6 190 20
between El.715 m (Take-off yard floor) and about
El.920 m. The slope has an overall inclination of 40
to 45 degrees and is broken by a number of sub verti-
cal scarps that are 10 to 30 m high. The rock mass of
G2M slope is located in Asmari formation. Asmari for-
mation in this area includes two subunits of 4a3 and
4a4. The upper parts of the slope are within subunit
4a3 and the lower parts are comprised of subunit 4a4.
Red marly limestone bed constitutes the sub vertical
border between units 4a4 and 4a3 (Fig. 2) [6].
The subunit, 4a4 consist of alternating thickly bed-
ded limestone (about 50%) and thin to thickly bedded
marly limestone (about 40%). Occasional marlstone
beds with minor shale inter-beds comprise about 10%
of the rock unit. Bed structures are controlled by the
Keyf malek anticline [5]. At the base of the slope the
bedding strikes parallel to the hill side of azimuth
of 145 deg. and dips 85 deg. south west. The bedding
dips 60 deg. to 70 deg. south west mid way up to the
slope and is sub horizontal at the crown of the ridge.
Prominent discontinuity sets are summarized in the
Table 1 [6].
Joints and beddings are moderately to widely
spaced. They are frequently open at surface but usu-
ally closed at depth. Most joint surfaces are rough and
planar. Slickensided joints and bedding planes occur
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Copyright 2006 Taylor & Francis Group plc, London, UK
at many locations. Clay infillings are common in open
joints [3].
A total of 8 boreholes were drilled in this slope dur-
ing earlier feasibility and design investigations. All of
these boreholes encountered an upper zone of very
poor to poor quality rock with improving rock under-
neath. This upper slightly disturbed zone is about 25
to 80 m in depth. It is characterized by relatively low
RQD values and numerous zones of lost core [6].
Surface and underground mapping as well as orig-
inal boreholes, indicate slight to moderate Karst solu-
tioning of the bedrock throughout the area. This
includes the occurrence of vuggy zones, small solution
cavities and solution enlargement of some discontinu-
ities.
Prior to the commencement of project construction,
site investigation had delineated evidence of earlier
slope movement in this area. Overturned bedding and
other evidence of relict slope movements were mapped
in a 40,000 m2 area between El. 770 m and El. 970 m.
This area is described as follows [6]:
1. At the lower half of area, between El.770 m and
870 m the bedding is overturned and dips 70 deg to
80 deg towards the northeast.
2. Between El. 870 m and El. 880 m, the slope incli-
nation is relatively flat and forms a roughly defined
bench in the center of the area. Bedding is indis-
tinct in this area and the rock mass is broken
by closely spaced fractures. This appears to be a
crushed zone.
3. In the upper portion of the area, between El. 880 m
and El. 970 m, the bedding dips 40 deg to 60 deg
toward the southeast. This is somewhat flatter than
the undisturbed bedding in this part of the anti-
cline and indicates that sliding and buckling of the
surface strata may have taken place.
3 GROUND WATER CONDITION
Water pressure testing in 5 boreholes in this area indi-
cates permeability values of more than 100 lugeons at
depth.
Piezometer reading and observations in the vari-
ous underground excavations demonstrated that the
regional water table doesnt rise significantly above
river level at any time during the year. Thus,
the regional water table is always level with the base
of the slope and does not rise above, about, El. 690 m
in the G2M area. Surface and underground observa-
tions during project construction indicated, however,
that localized perched water tables and pools of ground
water could occur near the ground surface during peri-
ods of heavy rainfalls. These water tables drain away
down into the regional water table after a few days but
they can have a short term detrimental effect on local
and possibly overall slope stability [8].
 Table 2. The geotechnical parameters of the rock masses at each other towards the favorable topography, weath-
the Karun 3 site [3]. ering and water seepage action. The lower vertical
beddings, in due course of time, started bending due
Geotechnical Marly to the weight of the overburdens.
parameters Limestone Limestone Marlstone

Dry UCS (Mpa) 7090 60 2025

6 FACTORS AFFECTING ON INSTABILITY
Wet UCS (Mpa) 60 50 15
S.G. *(KN/M3 ) 25 25 24
OF G2M SLOPE
Hoek & s 20 20 10
Brown m 1 1 1 The following factors have overshadowed the stability
constant of the slope:
RMR Average 4070 2360 1245
Range 58 49 38 6.1 Strike of the beddings
E (GPa) 820 615 515
Karstification High Med Low As mentioned earlier the beddings dip and dip direc-
Durability High Med to Low Low tion and the prevalent discontinuities characterizations
have turned the slope prone to the planar, toppling and
* S.G.: Specific gravity. other types of failures.

6.2 Excavation of access road and Take-off Yard

Although natural factors have contributed to the poten-
tial of instability but humansinterference in the nature
has been considered a more significant factor in insta-
bility of this slope. After excavation of the access road
to the right abutment of dam, cracks and signs of insta-
bility and failure appeared. Also, excavation of the
take-off yard in the lower portion of the slope resulted
in the movement of the upper portion and occurrence
of many tension cracks in the slope.

6.3 Tension cracks

Figure 3. The failure mechanism of G2M slope.
4 GEOTECHNICAL PARAMETERS OF
G2M SLOPE
Field assessment and extensive laboratory testing have
been carried out to assess the engineering properties
of the rock mass. According to the studies and exper-
iments done the rock mass geotechnical features of
Karun 3 dam site are as shown in Table 2.
5 SLOPE FAILURE MECHANISMS
The various possible modes of rock slope failures are
plane, wedge, circular and toppling or a combination
of them [4].
The failure mechanism of G2M slope seems to be
of secondary toppling mode (Fig. 3). In general this
failure is initiated by some under cutting of the toe of
the slope, either by natural agencies such as erosion or
weathering or by the man made activities.
It seems the failure of the G2M slope initially started
from the upper beddings by sliding gradually over
The beddings constituting the G2M slope are mostly
comprised of limestones, marly limestones, and marl-
stones. The weak layers of marls and marly limestones
are tending the slope to be more susceptible to failure.
The inherent characteristics of the marls and marly
limestones are helping the tension cracks to expand.
These tension cracks were visible at the upper beddings
of the slope which were gradually opening leading
finally to the rock mass slide.
6.4 Water action
The percolation of rain water into the discontinuities
would developed and increase the pore water pressure.
It was observed that the slope movements are increas-
ing in wet seasons. Besides the negative effect of the
pore water pressure it may affect the joint walls chem-
ically or physically resulting in reduction of the shear
parameters.
6.5 Lithology
Weak and permeable beds have increased the potential
for sliding in this slope resulting in development of
tension cracks or sliding from within the beds. The
inherent characteristics of the prevailing lithologies

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 movements having occurred in surveying points in the
G2M slope.
The movement value depicts a forward movement
with a vertical vector smaller than the horizontal one
for all stations located under El. 890. This is indicative
of toppling failure in this zone. Where as the values of
downward movements parallel to the slope surface is
indicative of sliding movement.
According to the recording data obtained from the
monitoring of the G2M slope, the maximum move-
ments in different stations have occurred in rainy sea-
sons (December until June) and this is an evidence of
the slopes downward movement under the influence
of peculating water from heavy rainfalls.

8 STABILITY ANALYSIS OF G2M SLOPE

Figure 4. The location of the surveying stations [8]. Surface observation and drilling investigations indi-
cated that the upper 20 to 80 m of rock was slightly
Table 3. The maximum values of movements [8]. disturbed, variably weathered, and closely fractured.
This weakened rock mass could be susceptible to soil
Maximum Movement (mm)
type of sliding.
Vertical Horizontal Total Toppling type movement was evident over large por-
Surveying movement movement movement tions of the G2M area. The steeply inclined bedding
points (mm) (mm) (mm) planes, particularly the overturned beds are suscepti-
ble to toppling movement. This mechanism plays a key
T3 380 480 613 role in the G2M slope movement.
T5 196 523 558
Analyses have been carried out for these two types
T6 126 147 194
T8 468 394 284 of failure mechanism and the results are presented
T9 333 486 590 below:
T10 17 653 653
P8 200 709 736 8.1 Sliding stability analyses
T12 34 84 91
T13 63 31 71 Simplified Janbu stability analyses were carried out
T14 2 4 5 to determine the stability state of the slope. The analy-
T15 52 77 93 ses assumed that sliding occurs through the rock mass
below El. 880 m and along a pre-exiting failure path
above this elevation. Field surveys have indicated that
this failure plane above El. 880 m is inclined about 40
and their jointing system were the main source of the to 55 degrees.
instability. Considering the swelling characteristics of A safety value of 1.01 was obtained out of the anal-
marlstones, penetration of water coming from rainfall, ysis performed for pseudo static dry condition consid-
leads to swelling and affect the expansion of cracks and ering the horizontal seismic coefficient of 0.2 g. This
slope instability. may further decrease due to the effect of water. Con-
sidering the fact, that 1.5 had been decided upon as
the acceptable safety factor therefore the slope had
7 MONITORING THE G2M SLOPE potential for instability and measures had to be taken
to stabilize it.
After excavating the access road, the first signs of
movement (occurrence of several tension cracks in dif-
8.2 Toppling stability analyses
ferent parts of the slope) were observed. In order to
investigate this problem, 11 surveying stations were The natural slope in the G2M area has experienced
installed in different spots of the slope and were historic toppling type movements. Geological obser-
monitored [8]. Figure 4 shows the location of these vation indicated that the slope had reached a state
stations. Recording the surveying points were done of equilibrium and movement had ceased prior to
every 20 days, on average, and also after every the start of construction activities at Karun III dam.
heavy rain. Table 3 shows the maximum amount of The large tension cracks were not present at the time of

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Copyright 2006 Taylor & Francis Group plc, London, UK

 the geological surveys [5]. Excavation for access road
to the right abutment removed column toe support and
triggered the movements.
Stability analysis, using the limit equilibrium
method proposed by Goodman and Bray [4], has
been carried out. This method models block top-
pling behavior of the slope. The factor of safety so
determined, while not absolute, can be used to evalu-
ate the effectiveness of alternative slope modification
schemes.
The analysis indicated that stability of toppling
scarps is improved when the slope angle in the lower
elevation are reduced. In other words trimming the
lower elevation and removal of the prominent hump
Figure 5. A cross section of the G2M slope stabilization
of the profile would results in the most significant plan.
improvement on the toppling factor of safety.
The analysis shows that the toppling stability is not
significantly improved by unloading of the slopes in
areas which are remote from the scarps or cliffs.

9 THE STABILIZATION MEASURES OF

G2M SLOPE

As mentioned in the previous parts, rainfall is an

important factor in the slope movement. On the other
hand, movement of the slope did not stop in dry seasons
but had been continued with a lower rate. Therefore,
preventing the surface water penetration into the bed-
ding and their open joints could not be the only solution
and other stabilization methods had to be adopted.
The large area of the toppling movement was
more difficult to control. Fortunately toppling fail-
ure does not have history of causing large catastrophic
landslides.
Many toppling failures worldwide reach a state of
equilibrium after a certain amount of deformation.
Given the size of the G2M feature, however, significant
debris slides were possible if the same rate of move-
ment continues. It was recommended that the project
carry out remedial measures in order to ensure the long
term safety of the area.
The following options were used to stabilize the
G2M slope;
Due to weathering of the surface materials of the
slope, they were removed as much as the probable
sliding surface (bed rock) was reached. The average
dip of the lower parts of the slope had increased from
36 to 45 degrees due to trench excavation. Such an
increase in the dip had led to toppling of the layer
beside the movement of the area. Therefore, to pre-
vent such toppling failure, excavation and benching
was undertaken with bench heights of 10 meters and
dip of 45 degrees. Smooth blasting was applied for
excavation. An amount of 140,000 m3 was removed.
Figure 5 presents the excavation plan of G2M slope.
Drainage gallery and fan holes network were exca-
vated to drain the pore water from the joints and open
Figure 6. The drainage network of G2M slope.
fissures (Fig. 6). The apertures of the open surface
joints were filled with clay or similar materials to pre-
vent the percolation of water into the discontinuities.
10 CONCLUSIONS
1. The G2M instability is centered on an area of relict
toppling and surface disturbance. The area was
destabilized and movement remobilized by exca-
vations for the access road and Take-off Yard.
2. Two mechanisms of slope movements were estab-
lished: sliding of the upper slope and toppling of the
lower slope which was caused by sliding movement
of upper rock mass.
3. Slope movement is seasonal and occurs mainly dur-
ing periods of high rain fall. Thus, there is a direct
relationship between stability and water infiltration
into the slope. The upper slope is subject to runoff
infiltration during periods of high rainfall. This
transient ground water migrate downwards to the
regional water table at depth and destabilized the
slope in three ways: transient pore water pressure
during infiltration, reduction of shear strength when
clay bearing rock materials and infillings become
saturated and increased the unit weight of the rock
materials to a saturated condition locally.

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Copyright 2006 Taylor & Francis Group plc, London, UK

 4. The unstable area was divided in two sectors, the
Take-off yard and the G2M area above El. 780 m.
The toppling analysis shown that the Take-off yard
is highly susceptible to toppling instability without
any influence from the upper slope movement.
5. By means of limit equilibrium method, stability
analyses for cases of toppling and planar failure
were performed. Based on that the mechanism sus-
ceptible to sliding were removed and unloading was
done, the effective drainage system were installed
and the open joints were sealed. These measures
stabilized the movement.
REFERENCES
Ghazvinian, A., Khoshboresh, A. R., Moradian, Z. A. 2005.
An Investigation in to the Instrumentation of the Dam Con-
struction Projects, a Close-Up on Karun 3 Dam and HEPP.
73rd Annual Meeting of ICOLD, Tehran, IRAN, May 1-6,
Paper No: 177-S6.
314
Copyright 2006 Taylor & Francis Group plc, London, UK
Ghazvinian, A., Khoshboresh, A. R., Moradian, Z. A. 2005.
Stability Analyses and Rock Support Design of Karun 3
Dam & H.E.P.P. Plunge Pool. 73rd Annual Meeting of
ICOLD, Tehran, IRAN, May 1-6, Paper No: 173-S3.
Ghazvinian, A. 2004. A review of geotechnical investigations
of Karun 3 HEPP. 5th Proceedings of International Confer-
ence on Ground Improvement Techniques, Malaysia P.P.
5564.
Hoek, E., Bray, J. 1981. Rock Slope Engineering. Institute of
Mining and Metallurgy, London.
Mahab Ghods Acres engineering joint venture. 1993.
Karun3 development project. Dam Site Geological &
Geotechnical. Volume 1.
Mahab Ghodss Acers general partnership. 1993. Karun3
development project. Underground Powerhouse and
Switchyard. Volume 1. book1.
Mahab Ghodss Acers. 2004. Impoundment Report. karun
3 development project. Department of geotechnical engi-
neering. No 10.
Mahab Ghods Acres. 2001. Engineering joint venture.
Instrumentation reports of Underground Complex and
Dam Body.
 EUROCK 2006 Multiphysics Coupling and Long Term Behaviour in Rock Mechanics
Van Cotthem, Charlier, Thimus & Tshibangu (eds)
2006 Taylor & Francis Group, London, ISBN 0 415 41001 0

Ground heave induced by mine water recovery

M. Heitfeld, M. Mainz, M. Mhlenkamp, K. Schetelig

Ingenieurbro Heitfeld Schetelig, Aachen, Germany

H. Sahl
EBV Aktiengesellschaft, Aachen, Germany

ABSTRACT: In some European countries many mines were closed in the last years. The resulting mine water
recovery often takes decades and leads to more or less intensive ground heave movements.
This paper deals with the special problems of ground heave due to mine water recovery at the example of
the mining district of Erkelenz. In this mining district, situated about 30 km northeast of Aachen, hard coal was
extracted between 1914 and 1997 down to a depth of about 780 mNN (i.e. 780 m below the average sea level
of Amsterdam).
Together with mining operations, the mine water drainage measures ceased, resulting in a continuous mine
water recovery with mostly uniform heave movements. Since the rising mine water reached the overlaying
sediments in the year 2000, an increasing number of surface damages were observed along a fault system
(Rurrand-fault and Meinweg-fault) situated at the southwest margin of the Horst of Wassenberg. After a
description of the geological-hydrogeological conditions within the mining district of Erkelenz, the performed
investigations are presented and causes of the different ground heave movements are discussed.

1 INTRODUCTION 2 ABANDONED HARD COAL MINING

In some European countries, mining activity presently
is decreasing significantly and mines are closing down.
After cessation of mining operation, the drainage mea-
sures terminate and the former mine workings get
flooded. This process often needs decades and in most
cases it leads to some ground heave movements at
banking level.
Ground heave hereby is caused by unloading due
to uplift by rising mine water, possibly supported by
additional effects due to swelling processes in rock
and soil containing clay. Ground heave can be partly
compensated by settlements caused by saturation of
the loose rockmass overlaying the exploitation areas
of the mine.
As long as the ground heave takes place evenly dis-
tributed, the impact on buildings is negligibly small.
In some cases however, the heave movements are dis-
continuous, i.e. differential heaves occur within close
ranges. Alike differential settlements, these differen-
tial heaves can damage surface structures severely.
After a description of the ground heave processes
at the example of the abandoned hard coal mine area
of Erkelenz in Germany, the other influencing factors
are discussed.
DISTRICT OF ERKELENZ (GERMANY)
The hard coal mining district of Erkelenz is situated
about 30 km northeast of Aachen in the Lower Rhine
Basin (Fig. 1).This area was mined since the year 1914.
The hard coal extraction ceased with the closure of
the last mine Sophia-Jacoba in December 1997. After
cessation of mine drainage, the rise of mine water took
place within the complete former mining area on a
widely uniform level (Heitfeld et al. 2004).
During the year 2000, the mine water level reached
the overlaying sediments. Simultaneously a damage
line originated running approximately parallel to the
Rurrand-fault system (Fig. 2). This damage line has
a length of about 1012 km and shows differential
heaves of up to 8 cm within a range of less than 10 m.
3 GEOLOGY
The mining district of Erkelenz is a part of the NW-SE
striking Horst of Erkelenz, composed of Carbonif-
erous and younger sediments and situated within the
Lower Rhine Basin. This basin originated in Eocene

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Copyright 2006 Taylor & Francis Group plc, London, UK

 2510 14 18 2522
2500 15 30 2545
NL Legend
56 56
68 Fault at the top of the 68
D

Meinw
Sc Carboniferous
hw Black coal pit
alm Mnchengladbach
3 N Sophia-Jacoba

eg
NL VII 2 Boundary of mining area

-fault
Wegberg 1
56
Mi of E N 56 V with number

ers
65
ni rk
65 1 Mining area

Ni
Wassenberg
ng ele
VI Mining shaft
di nz
Erkelenz
st

Be
64 Horst of Erkelenz D 64

ft
ric

Er

lfe
Open cast mining lm
t

Kl

ld
Heinsberg Garzweiler
II hw
Sc

-fa
ein fa
Hckelhoven

u
gl ult

lt
ad
Geilen- Horst of 4

ba
m 50 Wassenberg
50 ur

ch
kirchen

er
W Ru VIII
IV
Ru

rr
Bergheim 60 an VI 60
r

Jlich d-

Ea
fa I Sophia - Jacoba
Mining district Open cast mining ul

st
t

er
of Aachen Hambach

n
fa
II I

Ru
NL

ul
Alsdorf

t
56 56 III
Open cast mining
35 Inden 35
Mining district 56 56
Inde of Erkelenz 56 0 2 km 56
D 2510 14 18 25 22
Eschweiler
Aachen Germany
Figure 3. Tectonic setting and exploitation areas of the hard
B 0 5 10 km coal mining district of Erkelenz.
2500 15 30 2545
A A'
SW NE
Horst of Wassenberg
Figure 1. Hard coal mining district of Erkelenz. Situation. mNN (10.2005) mNN
0 0

Kle
ult
and

-200 -200
eg- fa

ing
Carboniferous
Rurr

2510 14 18 25 22 (1997)
Meinw

bedrock

ladb
-600 -600
NL Legend
56 56

ach
68 City, commune 68 -1000 -1000

er f
Meinw

Fault at the top of the

N 0 500 1000 [m]
Carboniferous

ault
eg-fa

Black coal pit

Sophia-Jacoba Legend
Wildenrath
ult

Damage line Piezometric head

A A' Overburden Quaternary, Tertiary
Profile A - A' (s. Fig. 4) water level (Clay, silt, sand, gravel,
Kl

64 Wassenberg D 64
ei

lm lignite, marl, limestone)

Be
ng fau

wa Mine water level

lfe
la lt

h
Sc (1997)
db

ld

Bedrock Carboniferous
-fa
ac

A' (Clay-, Silt-, Sandstone

ul
h

Piezometric head water

er

Horst of alternating with coal beds)

Wassenberg level Carboniferous
(10.2005)
Ru Luchtenberg Erkelenz
r Sophia - Jacoba
60 fa ran 60
ul d-
t Figure 4. Cross section SW-NE through the Horst of
Ea
st

A Ratheim Wassenberg.
er
n

Hckelhoven
fa
Ru

ul
t
r

Millich western direction and along them the Carboniferous

56
56
25 10 14
Figure 2. Damage line in the mining district of Erkelenz.
age and is filled by Upper Cretaceous, Tertiary and
some Quaternary sediments.
The part of the Horst of Erkelenz with the most
significant uplift is the Horst of Wassenberg located
at the SW-margin (see Fig. 3). The NW-SE striking
Horst of Wassenberg has got a length of about 10 km
and a width of about 4 km.
In the Southwest, this structure is marked-off by the
Rurrand-fault system and in the West by the Meinweg-
fault. These fault systems dip into southwestern or
sediments have sunken up to 1000 m (see Fig. 4).
56
0 Baal
2 km 56 The Rurrand-fault system is one of some major NW-
18 25 22
SE-striking fault systems intersecting the Lower Rhine
Basin and well investigated by the exploration for the
adjacent large open cast lignite mines of Hambach and
Garzweiler (see Fig. 1). In the Northeast, the Horst of
Wassenberg is confined by the Kleingladbacher fault
and the Eastern fault. Along these fault systems, the
Carboniferous sediments moved downwards up to
150 m.
The folded Carboniferous bedrock, containing the
hard coal, is covered by sandy and silty limy sedi-
ments from Upper Cretaceous to Quaternary age of
about 150 m thickness in the southern part of the
Horst of Wassenberg and up to 350 m thickness in the
Northwest.

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Copyright 2006 Taylor & Francis Group plc, London, UK

 mNN
100

-100
Shaft III

Shafts IV/VI Level of the top of the

-200
Carboniferous at the shafts

Shaft V
-300

-400
Legend
Overlaying sediments -
Hard coal bedrock
ground water storey
-500
Shafts Deep gauge Birgelen Heide
Deep gauge Schaufenberg
Deep gauge Wildenrath
-600
1982 1984 1986 1988 1990 1992 1994 1996 1998 2000 2002 2004

Adjustment of dewatering/recovery

Figure 5. Rise of mine water level. Gauges in the aquifer overlaying the top of the Carboniferous bedrock.

In the overlaying sediments, a few groundwater
storeys exist. The groundwater storeys 01 and 02 are
the deepest ones, situated directly above the Carbonif-
erous bedrock. The overlaying groundwater storeys
are separated by some Tertiary clayey sediments, the
Ratinger beds.
exploitation took place in depth of about 300 to
780 mNN. The last mines were closed in 1997.
5 MINE WATER RECOVERY AND
HYDROGEOLOGICAL SITUATION

5.1 Rise of mine water level

4 MINING ACTIVITY
The first mining activity within the district of Erkelenz
started in 1914 in the mine Sophia-Jacoba in the
southeastern part of the Horst of Wassenberg (see
Fig. 3, mining area I). Since 1946, hard coal also was
extracted in the northwestern part (mining area II). In
the area of the Horst of Wassenberg, mining activities
reached down to a depth of about 750 mNN. In these
areas, mining ceased in 1980.
Northeastern and eastern of the Horst of
Wassenberg, mining activities commenced in 1978
within the mining areas 1 to 4. In these areas,
After the dewatering in the mine Sophia-Jacoba had
stopped in 1997, mine water recovery started with a
rapid rise of about 100 m/year until 2001. During this
period, a mine water level of 150 mNN was reached
(see Fig. 5). The mine water rose rather uniformly
throughout the whole Carboniferous mining district
of Erkelenz.
In the year 2000, the mine water reached the over-
laying sediments in the northern part of the Horst of
Wassenberg. At the end of the year 2001, the com-
plete Carboniferous bedrock on the Horst of Wassen-
berg was filled with groundwater (see shaft III in
Fig. 5). Since then, the rise of the mine water level

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Copyright 2006 Taylor & Francis Group plc, London, UK

 is significantly slower. The actual rate is in an order of 2510 14 2518

magnitude of about 8 m/year. NL B

56 el 56
68
fe 68
At the end of 2005, the mine water level in the Horst ld
-fa
of Wassenberg reached about 35 mNN. Considering N ul

Meinw
t
the deepest water level during mining operation of 2
3
about 780 mNN, the total rise of the mine water level

eg-fa
adds up to 745 m. 1

ult
lm
64 D
h wa 64
5.2 Consequences of the mine water recovery for Sc
the groundwater situation in the overlaying

Kl
ein f
sediments

gl aul
II

ad t
Before the dewatering procedures associated with the 4

ba
c
exploitation of hard coal started, the natural ground-

he
Ru
Sophia - Jacoba

r
water level in the overlaying sediments was recorded rr
60 an 60
at about 50 to 60 mNN. d-
fa
ul

Ea
The dewatering of the mine Sophia-Jacoba caused a t I

st
er
continuous lowering of the lower groundwater level in ?

n
Ru

fa
the overlaying sediments. This effect was recorded in

u
r

lt
the gauges of the lower groundwater storey 01. Fig. 5
shows two examples of groundwater level changes
56 56
within the Horst of Wassenberg (gauge Schaufenberg) 56 0 2 km 56
and in the area northeast of the Horst of Wassenberg 2510 14 2518
(gauge Wildenrath). In the upper groundwater storeys Legend Vertical movements in the period
of the overlaying sediments, no influence of the 1953 1997
Fault at the top of
dewatering was detected (gauge Birgelen Heide). the Carboniferous Differences [m]
The changes of the groundwater level show differ- Boundary line Subsidence/ 0.0
Sophia-Jacoba Settlement
ences between single gauges depending on the geo- -1.0
Boundary of mining
logical situation (e.g. faults, nonexisting clayey beds). 1
area with number
-2.0
At the Horst of Wassenberg, the groundwater level was -3.0
dropping down to 11 to 12 mNN in 1999/2000 (see No representative measuring
Fig. 5, gauge Schaufenberg). Northeast of the Horst of ? results for the observation
Wassenberg, the groundwater level reached 60 mNN period available

(see Fig. 5, gauge Wildenrath).

Due to the cessation of dewatering, the mine water
in the Horst of Wassenberg reaches the overlaying
sediments since about the year 2000. Records show
rising groundwater in gauges within the lower ground-
water storeys. The rate of the groundwater recovery
currently is about 1.5 m/year.
The upper groundwater horizons in the overlaying
sediments were not affected by the rising mine water
level up to now.
Southwest the Horst of Wassenberg, no rise of
groundwater levels occurred after the cessation of
dewatering in the mine Sophia-Jacoba. This means,
that the Rurrand-fault and the Meinweg-fault seem
to act as a hydraulic barrier between the Horst of
Wassenberg and the southwestern and western area.
5.3 Influence of the open cast lignite mines in the
vicinity of the mining district of Erkelenz
In the area southwest and northeast of the Horst of
Wassenberg, a continuous lowering of the groundwater
level in the overlaying sediments takes place due to the
Figure 6. Ground subsidence within the mining area of
Sophia-Jacoba. Hard coal exploitation period 19531997.
mine drainage of adjacent open cast lignite mines in the
southeast (e.g. Hambach and Garzweiler, see Fig. 1).
Several groundwater storeys in the overlaying sed-
iments are affected by this dewatering; the lowering
of the groundwater level reaches a maximum of about
50 m southwest of the Horst of Wassenberg.
6 GROUND HEAVE
Geodetic monitoring systems were installed within the
mining district of Erkelenz, controlling ground heave
as well as displacements of the ground level caused by
dewatering measures for the adjacent open cast lignite
mines Hambach and Garzweiler (also see Fig. 1). Dur-
ing the hard coal extraction in the period 19531997,
the documentation of ground subsidence was the main
goal of the geodetic measurements. In the northeastern
part of the Horst of Wassenberg, subsidences of up to
4 m were recorded (see Fig. 6).

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Copyright 2006 Taylor & Francis Group plc, London, UK

 During the same period, the settlements caused by 2510 14
B
2518
el
dewatering for the lignite mines reached a magnitude 56
NL fe
ld 56
68 -fa 68
in a range of about 10 cm in the area around the Horst ul

Meinw
t
of Wassenberg. N
After cessation of pumping in the hard coal mining 3

eg-fa
2
area of the Horst of Wassenberg, ground heave up to

ult
a maximum of 15 cm was recorded (see Fig. 7). The 1
maximum rates of 14 cm per year were detected in
the area of the Horst of Wassenberg and around the 64 D alm 64
hw
mining areas northeast of the Kleingladbacher fault. Sc

Kl
During the mine water rise within the Carboniferous

ei
ng faul
bedrock, the rather uniform ground heave of around Profile

lad t
II

ba
12 cm mentioned above took place; in the main areas 4

ch
of heave around Ratheim, Wassenberg and Wildenrath,

er
Ru
a maximum heave of up to 7 cm was observed. In these rr
an Sophia - Jacoba
60 d- 60
main areas of heave, there was a maximum uplift rate fa
ul
t

Ea
of 12 cm per year. Until the year 2000, no damages I

s
te
rn
at buildings occurred.

fa
ul
This has changed since the mine water has reached

t
the top of the bedrock. After the year 2000, the ground
water level in the overlaying sediments started to rise as

Ru
56 0 2 km 56
well. In the period between 2001 and 2003, a maximum

r
56 56
heave of 34 cm per year was recorded. In the main part 2510 14 2518

of the Horst of Wassenberg, the continuing ground Legend Vertical movements in the period
Fault at the top of 1997 2003
heave process reached its maximum. In the eastern the Carboniferous Differences [m]
and southeastern direction, the rate of ground heave Boundary line 0.12
decreases continuously (see Fig. 7); beyond a distance Sophia-Jacoba
0.08
of about 5 km from the former mining areas, no uplift 1 Boundary of mining
area with number 0.04
was recorded. Detailed surveying
Heave
0.00
Subsidence/
At the southwest margin of the Horst of Wassenberg, profile (see Fig. 9)
Settlement
close to the Rurrand-fault and the Meinweg-fault, measuring point

there is a different development in ground movements.

In this place, significant differential heaves occurred Figure 7. Ground heave within the mining area of Erkelenz
within a very small range, depicted by the closely after the cessation of hard coal mining (period 19972003).
spaced surface contourlines in Fig. 7.
In these areas, the formerly described damage line
developed (see Fig. 2). The first damages at buildings,
caused by differential heave of the ground, occurred in
the year 2000, contemporaneous with the mine water
reaching the younger sediments overlaying the Car-
boniferous bedrock at this place. Up to present, 120
objects were affected by ground heave. Nine buildings
could not be repaired and had to be torn down. One of
these buildings that was damaged too severely to be
rebuilt, is shown in Fig. 8. The back of the building is
based on ground which was more affected by ground
heave than the front side.
After the occurrence of the first damages due to
ground heave, a detailed geodetic monitoring sys-
tem with a spacing down to less than 5 m vertical
to the damage line was installed in the centre line of Figure 8. Building that had to be torn down because of the
the damages. Fig. 9 shows a typical example of the damages caused by ground heave.
results. A very sharp displacement line with differ-
ences in ground movements of up to 8 cm could be the damage line, i.e. beyond the Meinweg-fault and
determined. in the main Tertiary basin, also a slight ground heave
On the Horst of Wassenberg, ground heave still is takes place up to a distance of 400800 m from the
progressing, although at smaller rates. Southwest of fault. As shown in Fig. 9, there were ground heaves

319

Copyright 2006 Taylor & Francis Group plc, London, UK

 W Damage line E
[cm]
10.0
5.0
Subsidence Heave
0.0
Settlement
-5.0
0 100 200 300 400
Station [m]
Relative ground displacement
05.10.2001
31.01.2002
24.05.2002
Figure 9. Detailed geodetic measurements across the dam-
age line, Horst of Wassenberg.
of about 2 cm between 2001 and 2004 in a distance of
about 450 m west of the damage line.
At greater distances, no ground heaves take place.
In these areas, the subsidences due to dewatering for
the lignite mines prevail. Between 1997 and 2003,
subsidences in a range of about 1.5 cm were recorded.
The described example shows, that under specific
geological conditions the impact of mine drainage
measures and the subsequent cessation of pumping
does not only affect the hydrological situation, but also
ground movements can occur and the question of reim-
bursement of damages can arise. Such damages from
heave are not limited to the areas where surface dam-
ages occurred during the hard coal extraction. In the
present case, extractors of the groundwater and the
hard coal are involved.
In the literature, ground heave after cessation of
water abstraction also is described by Poettgens (1998)
and Goerke-Mallet (2000). Both authors assume
ground heave after mine water recovery to be mainly
caused by the reduction of vertical stresses through
buoyancy resulting in vertical strain.
7 PROPOSALS FOR RESEARCH PROJECTS
Under which geological and hydrogeological condi-
tions can differential ground heave movements occur?
The Rurrand-fault system is an active tectonic fault
and the epicentres of some earthquakes were recorded
along this fault and along similar tectonic structures
of the Lower Rhine Basin. The tectonic faults mostly
are filled with clayey material and form a hydraulic
barrier between the adjacent aquifers or hydrological
provinces. Do such hydraulically effective faults cause
the development of sharp displacement lines?
Copyright 2006 Taylor & Francis Group plc, London, UK
What are the mechanisms of the ground heave of
[cm] the formations southwest of the Rurrand-fault and
10.0
Meinweg-fault along a strip of 400800 m immedi-
ately parallel to the fault? Are there some kind of
5.0 tractive forces effective?
Do other influencing parameters exist which can
affect the degree of ground subsidences or ground
0.0
heave? In the present case, the described phenomena
are not influenced by any swelling effects of expansive
-5.0 clay minerals in the Carboniferous bedrock as assumed
500 600
for another ground heave case study described by
Oberste-Brink (1940). Is it possible, that swelling pro-
20.11.2002 cesses of clay minerals in the overlaying sediments are
25.05.2003 playing a major role in the development of the occurred
21.05.2004 ground heaves?
Soft silty and clayey soils or beds containing organic
matter can lead to significant ground subsidence after
lowering the groundwater level. These displacements
may be irreversible and may lead to uneven morphol-
ogy after cessation of the groundwater abstraction.
From dam construction works, the phenomenon of
ground settlements due to saturation is well known
(Brauns et al. 1980, Breth 1972). It has to be investi-
gated, whether such processes also can take place in
the disintegrated bedrock of mining areas.
A specific research proposal has been submitted to
funding agencies. Such fundamental research will be
helpful in view of further closures of mines in Europe
and overseas. It also would be helpful to be able to pre-
dict possible future damage zones and to develop rec-
ommendations for urban und rural planning in possibly
affected regions.
REFERENCES
Brauns, J., Kast, K. & Blinde, A. 1980. Compaction Effects
on the Mechanical and Saturation Behaviour of Disinte-
grated Rockfill. Colloque Internat. sur le Campactage,
p. 107112, Paris
Breth, H. 1972. Der derzeitige Stand des Staudammbaues.
Die Wasserwirtschaft 62. Jg., p. 2033.
Goerke-Mallet, P. 2000. Untersuchungen zu raumbedeut-
samen Entwicklungen im Steinkohlenrevier Ibbenbren
unter besonderer Bercksichtigung der Wechselwirkun-
gen von Bergbau und Hydrologie.- Dissertation RWTH
Aachen; Aachen.
Heitfeld, M. et. al. 2004. Bergschden im Erkelenzer
Steinkohlenrevier.- 4. Altbergbaukolloquium Montanuni-
versitt Leoben, p. 281295, Verlag Glckauf GmbH,
Essen.
Oberste-Brink, K. 1940. Die Frage der Hebungen bei Boden-
bewegungen infolge Bergbaus.- Glckauf 76, p. 249256.
Pttgens, J.J.E. 1998. Bodenhebung und Grundwasser-
anstieg aus geotechnischer und markscheiderisch-
geodtischer Sicht im Aachen-Limburger Kohlenrevier.-
Freiberger Forschungsh. A 847, Bergbau und Geotechnik,
p. 193207.
320
 EUROCK 2006 Multiphysics Coupling and Long Term Behaviour in Rock Mechanics
Van Cotthem, Charlier, Thimus & Tshibangu (eds)
2006 Taylor & Francis Group, London, ISBN 0 415 41001 0

200 years coal mining in New South Wales (Australia), the elasto-static
behavior of the continental crust, and the 1989 M5.6 Newcastle earthquake

Christian D. Klose
Center for Hazards & Risk Research, Lamont-Doherty Earth Observatory, New York, U.S.A.

ABSTRACT: This article presents stress modeling and simulation results that indicate a significant correlative
between anthropogenic crustal mass alterations and earthquakes. 200 years coal mining in New South Wales
(Australia) weakened and reactivated a major fault beneath the Newcastle coal field thereby triggering the 1989
M5.6 Newcastle earthquake. The earthquake caused more than 3.5 billion U.S. dollars damage and Australias
first and to date only earthquake fatalities. Elevated levels of geomechanical pollution induced by mining and
other industrial processes have accelerated throughout the second half of the 20th century.

1 INTRODUCTION

1.1 History of coal production

Mining began near Newcastle in 1799 with the collec-
tion of coal from outcrops for sale in Sydney (Fig. 1).
The first export of Australian coal began in 1801 when
150 tonnes of Newcastle coal (BMR 1981) was dis-
patched to India. From about 1867, increasing demand
for coal by a growing steel industry and for the produc-
tion of town gas in the early years of the 20th century
created further interest in exploration. Black coal pro-
duction reached over 13 million tonnes (Mt) in the
mid-1920s. A sharp brake was applied to the industry
with the onset of the depression in the 1930s. In the
late 1940s and early 1950s a vigorous exploration pro-
gram was undertaken. But, in the 1950s the black coal
industry had suffered further loss of market share due
to competition from fuel oil.
The most important factor in exploration and devel-
opment was the advent of a growing export market
in the 1960s and 1970s. Four distinct phases can be
delineated in the production of raw coal since the end
of World War II (Fig. 2); a slow increase from l951 to
1959, an increase from 1960 to 1967, and two faster
increases from 1968 to 1980 and from 1980 to 1997.
In 1985, Australia became one of the worlds largest
exporters of black coal, a position it has held since. Figure 1. New SouthWales, its coal fields (shaded areas),
the relative colliery production of the Newcastle coal field
1.2 The December 28, 1989 Newcastle earthquake (60 40 km) in year 2000, the epicenter of the 1989 M5.6
Newcastle earthquake, the area of interest for modeling (large
In the morning of December 28, 1989 an earthquake rectangle) with NS-cross section and the striking of the
occurred near Newcastle followed by an abnormal Newcastle fault zone dipping (240 10/39 3) .

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Copyright 2006 Taylor & Francis Group plc, London, UK

 (a)
Figure 2. Mass removal within the Newcastle coal field between 18012000: a) annual raw coal production in the Newcastle
coal field and in Australia, b) cumulative raw coal production, annual water discharge, and total mass removal.
series of aftershocks (Gibson and McCue 1990)
(Fig. 1). The main shock was of medium size (M5.6)
and it was the first earthquake in Australian history
that caused human fatalities with a total of 13 deaths
and more than 100 injured people (earthquake catalog
of the Australian Geological Survey). The earthquake
caused more than 3.5 billion U.S. dollars damage
(1989 values) with a mezoseismal intensity of I = VIII
MM in the Newcastle area.
The epicenter of the mainshock with an uncertainty
exceeding 10 km E-W and 5 km N-S was located at
longitude 151.627 East and latitude 32.957 South in
10 to 13 km depth, about 19 km West of Newcastle in
the Newcastle coal field region (McCue et al. 1990;
Gibson and McCue 1990). The mainshock nucleated
on the Newcastle fault, dipping 240 10 /39 3
(Chayton 1999; Chayton and Huftile 2000).
This article shows that geomechanical pollution due
to mass reductions of black coal mining has been sig-
nificantly changing the stress field in the upper crust
beneath the Newcastle coal field since 1801.
2 DATA ACQUISITION
2.1 Raw coal production
In New South Wales most coal has traditionally come
from underground mines, although on a raw-coal basis
their contribution has fallen from 100 per cent in 1950,
to 92 per cent in 1970, 72 per cent in 1980, 30 per cent
in 1997 and 20 per cent in 2000. But, more than 90
per cent of the collieries in the Newcastle coal field
are still mined by longwall underground methods in
depths between 150 and 500 m (Fig. 1).
(b)
longwall mining possible. The collieries are mined
on an average depth of 150500 m and have maxi-
mum extensions of 2.5 by 2.5 km based on year 2000,
which results in at least 3.25 Giga-tonnes (Gt) of dis-
charged water for all 16 collieries (Figs. 1 and 2).
Thus, the mass-ratio mwater /mcoal = 4.3 is relatively
small if compared to global statistics that show mass-
ratios of 1100 between water and rawmaterial. (Fern
ndez-Rubio and Fernndez-Loca 1993).
2.3 Geological situation
Newcastle is situated at the NE boundary of the
Sydney Basin and South of the aforementioned
240 10 /39 3 dipping Newcastle fault zone
(Chayton 1999; Chayton and Huftile 2000), an east-
ward extension of the Hunter-Mooki thrust zone
(Fig. 1). Permian sediments cover the Precambrian
bedrock at the northern margin of the Sydney Basin
the basement occurs approx. 500600 m below the
surface.
In-situ stress measurements in up to 600 m depth
within the region of New South Wales (NSW) indi-
cate a reverse fault regime (Brown and Windsor 1990)
with SH > Sh > Sv , which is per convention equiva-
lent to 1 > 2 > 3 (Fig. 3). The SH -stress orientation
of 53 is in good agreement with the near princi-
ple horizontal stress direction of 44 derived from
the focal mechanism solution of the 1989 earthquake
(McCue et al. 1990). The vertical Sv -stress increases
gravitationally. A simple linear regression and extrap-
olation of the Hunter-Valley data (lower bound) and
field observations (upper bound) (Chayton 1999) show
the mean stress SH and its variability. The domi-
nant SH = 1 = r z stress increases with depth z = [m]
and a regression coefficient r r = [Kg/m3 m/s2 ] as
2.2 Dewatering
follows:
Dewatering of the underground mines has been occur-
ring since 1801 to keep the coal seals dry and to make

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Copyright 2006 Taylor & Francis Group plc, London, UK

 1,200
50

Stress[MPa]
Hunter-Valley 40
1,000 data 30
Stress [MPa]

800 20 = 1
10 ess S H
600 0 ntal str
0 200 400 600 800 1000 horizo
400 Depth[m]
= 3
200 vertical stress Sv
KTB-data
0
0 1 2 3 4 5 6 7 8 9 10 11 12 13
Depth [km]

Figure 3. In-situ stress data (1 and 3 ) for the reverse fault

regime in the vicinity of the epicenter. The mean values and
their variability of the maximum horizontal stress SH = 1
(Eq. 3) are determined as a function of depth z. The data
are based on in-situ measurements in up to 600 m depth
(lower bound) (Brown and Windsor 1990) and their extrapola- Figure 4. The North-South cross section through the
tion and on geological observations (upper bound) (Chayton hypocenter of the 1989 M5.6 Newcastle earthquake (Fig. 1)
1999). In-situ data of the KTB (Brudy and Zoback 1999) are shows the unloading-induced shear stress change  in
distributed within the confidence bands for comparison. the Newcastle fault (dipping 240 10/39 3) beneath the
collieries in year 1989 after 188 years production.

stress changes |3 | > |2 | = |1 | in the reverse

fault regime.
A 4-dimensional litho-static crust model was devel-
oped based on the in situ stress parametrisation,
3 CONCEPTUAL MODEL Steinbrenners solution, and the poro-elastic respond
to the unload. The model was applied to determine
The determination of stress states below an unload nor- stress states beneath the Newcastle coal field over a
mal to a compressible isotropic and homogeneous elas- time range of almost 200 years.
tic body is according to Boussinesqs classical solution
(Boussinesq 1885). Boussinesqs solution for point
loads is based on the assumption that the modulus of 4 ANALYSIS
elasticity is constant and the principle of linear super-
position is assumed valid. But, the unload is in the case From 1801 to 1989 a total mass of more than 0.5 Gt
of Newcastle caused by mass reduction in certain areas coal and 2.3 Gt water were removed in an area of
below the surface of the crust. Thus, on the basis of 100 km2 for all 16 collieries (Figs. 1 and 2). The mass
Boussinesqs result Steinbrenner (Steinbrenner 1934) removal of coal and water have destabilized the New-
developed a rational method which allows the calcu- castle fault in the tectonic reverse fault regime by an
lation of induced stress states below any corner of a increase of the shear stress in the fault (Fig. 4). The
rectangular uniform stripe load Li with sides ai and bi , destabilization can be measured by the factor of safety
area Ai = ai bi and the depth z. Steinbrenners solu- (t) = ((t) + c)/( tan
n
(t)), where is the shear
tion is free of any elastic constant and can be defined stress, n
the effective normal stress, c = 15 15 MPa
for each rectangle i = 1, 2, 3, , N : is the cohesion and
= 30 4 is the effective angle
of friction within the fault. The simulation result shows
-values of 1.0 0.2 (20%) in 1989 that indicate a
likely unstable fault. Geomechanical pollution has also
perturbed the Newcastle fault along its striking, mainly
where mi is the mass change, (z, ai , bi ) describes caused by the collieries West Wallsend (closed 2001),
the fraction of Li in the vicinity beneath Ai and Teralba, Newstan and Westside (Fig. 1).
is ranging between 0 and 1. Hence, the unloads Li The simulated minimum shear stress change
induce a negative vertical stress alteration 3 = L crit = 0.01 MPa (0.1 bar), which is at least necessary
superimposed over all L,i . to trigger an earthquake (Talwani 1976; Evans 1989;
L changes the horizontal stress components as well: Seeber et al. 1998; Harris et al. 1995), reached the
1,2 = (/1)L . The hydrostatic pore pressure estimated hypocentral depth of 11.5 km in 1991 4
p decreases due to the lowering of the water table years. Other observations show that crit can vary
(300500 m). p also decreases due to the poro-elastic by an order of magnitude (Steacy et al. 2005). The
response of the unload (Terzaghi 1938; Terzaghi 1943; variability of the geological parameters causes a sta-
Rice and Cleary 1976). Thus, the p-reduction increases tistical simulation error of 4 years. But in 1989, the
the weight of the crust (strengthening), which works year of the earthquake, crit -isobars reached depths
against the crustal weakening of the unload-induced of about 10 km (Fig. 4). Taking 10 km as ground truth,

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Copyright 2006 Taylor & Francis Group plc, London, UK

 the depth of the hypocenter (11.5 1.5 km) would be
overestimated by up to 30 per cent. This result is in a
good agreement with a general overestimation of up
to 100 per cent of shallow earthquakes in seismologi-
cal stable continental regions such as Australia (Klose
and Seeber 2006). On the other hand, the destabiliza-
construction. In 7th Tunnelling conference, Sydney, pp.
1848. The Institute of Engineers Australia.
Brudy, M. and M. D. Zoback (1999). Drillinginduced tensile
wall-fractures: Implications for determination of in situ
stress orientation and magnitude. Int. J. Rock. Mech. Min.
Sci. 36, 191215.
Chayton, J. (1999). Imaging and characterization of faulting
tion in 1013 km was negligible by -values below
0.03 MPa for 144 years untilWorldWar II. But, it has
been accelerating especially since the 1960s and it still
continues.
5 CONCLUSIONS
Small anthropogenic mass changes of less than 3 Gt
over a large area of 100 km2 and a time period of
200 years were able to perturb the in situ stress field
significantly in the continental crust near Newcastle
(Australia). The overall process of anthropogenic per-
turbations that induces small shear stress changes in
rock mass discontinuities of at least 0.01 MPa and that
destabilizes pre-existing faults is called geomechani-
cal pollution.
Although earthquake triggering can be seen as an
extreme event with a very small probability the out-
lined modeling and simulation results show evidence
that it was likely to trigger the M5.6 Newcastle earth-
quake at a depth of 11.5 km after 188 years black coal
in the newcastle region and its relationship to the Decem-
ber 1989, M5.6 Newcastle earthquake, Australia. Master
Thesis, Queensland University of Technology.
Chayton, J. and G. Huftile (2000). Faulting in the Newcas-
tle area and its relationship to the 1989 M5.6 Newcastle
earthquake. In H. Jensen-Vagn (Ed.), Dams, fault scarps
and earthquakes, pp. 9.09.6. Australian Earthquake
Engineering Society.
Evans, K. (1989). Appalachian stress study 3: Regional scale
stress variations and their relation to structure and con-
temporary tectonics. Journal of Geophysical Research 94,
1761917646.
Fernndez-Rubio, R. and D. Fernndez-Loca (1993). Mine
water drainage. Mine Water and Environment 12(14),
107130.
Gibson, G.V.W. and K.McCue (1990). The Newcastle earth-
quake aftershock and its implications. In Conference on
the Newcastle Earthquake, Newcastle, 1517 February,
pp. 1418.
Harris, R.A., R.W. Simpson, and P.A. Reasenberg (1995).
Influence of static stress changes on earthquake locations
in southern California. Nature 375, 221224.
Klose, C. and L. Seeber (2006). Shallow seismicity in stable
continental regions (SCRs): Implications for earthquake
mining. A decrease of the stability by  = 0.01%
and a shear stress increase of 0.01 MPa or 0.003% of
an effective differential stress 1
3
= 380 MPa was
able to trigger this devastating earthquake in the New-
castle fault zone. The date of the earthquake nucleation
that was simulated is 1991 4 years; the Newcastle
earthquake occurred on December 28, 1989.
Geomechanical pollution is to date still accelerat-
ing in the Newcastle region and other areas in the
world especially due to the rapid increase of energy
and water consumption. Safety assessments in advance
or during geoengineering projects would help to pre-
vent socio-economic losses by estimating the intensity
and probability/possibility of occurrence of man-made
earthquakes.
REFERENCES
BMR (1981). Special article black coal in Australia.
Bureau of Mineral Resources, Geology and Geophysics,
Australian Mineral Industry Quarterly 34.
Boussinesq, J. (1885). Application des Potentials a I Etude
de l Equilibre et du Mouvement des Solides Elastiques.
Paris: Gauthier Villars.
Brown, E. and C. Windsor (1990). Near surface in situ
stress in Australia and their influence on underground
324
Copyright 2006 Taylor & Francis Group plc, London, UK
hazards. Seismological Research Letters. (in review).
McCue, K., V. Wesson, and G. Gibson (1990). The Newcas-
tle, New South Wales, earthquake of 28 December 1989.
BMR Journal of Australian Geology and Geophysics 11,
559567.
Rice, J. and M. Cleary (1976). Some basic stress diffu-
sion solutions for fluid-saturated porous elastic media
with compressible constituents. Review of Geophysics 14,
227241.
Seeber, L., J.G. Armbruster, W.-Y. Kim, N. Barstow, and
C. Scharnberger (1998).The 1994 CacoosingValley earth-
quakes near Reading, Pennsylvania: A shallow rupture
triggered by quarry unloading. Journal of Geophysical
Research 103, 2450524521.
Steacy, S., J. Gomberg, and M. Cocco (2005). Introduction to
special section: Stress transfer, earthquake triggering, and
time-dependent seismic hazard. Journal of Geophysical
Research 110, 112.
Steinbrenner, W. (1934, October). Tafeln zur Setzungberech-
nung. Die Strasse 1, 121124.
Talwani, P. (1976). Earthquakes associated with the Clark Hill
reservoir South Carolina, a case of induced seismicity.
Engineering Geology 10, 239253.
Terzaghi, K. (1938). Einflu des Porenwasserdrucks auf den
Scherwiderstand der Tone, Volume 33. Berlin.
Terzaghi, K. (1943). Theoretical Soil Mechanics. New York:
John Wiley and Sons.
 EUROCK 2006 Multiphysics Coupling and Long Term Behaviour in Rock Mechanics
Van Cotthem, Charlier, Thimus & Tshibangu (eds)
2006 Taylor & Francis Group, London, ISBN 0 415 41001 0

Prediction of long-term behavior for a large underground cavern

Toshihiro Koyama, Katsuhiko Ishibashi & Yasumasa Suzuki

Tokyo Electric Power Services Co.Ltd., Japan

Masayuki Minami
Tokyo Electric Power Company, Japan

Seisuke Okubo, Katsunori Fukui

The University of Tokyo, Japan

ABSTRACT: In this paper, we apply a numerical analysis employing a variable-compliance-type constitutive

equation (non-liner rheological model) to the time dependent rock behavior and try to determine parameters
required for the numerical analysis based on the actual rock behavior such as rock displacements, distribution of
rock strain, extent of failure zone around the cavern, and also the results of in-situ shear tests. Subsequently, this
paper shows the comparison between measurements and results of the numerical analysis which applies above-
mentioned model to the time dependent rock behavior. Consequently, it is confirmed that parameters based on
actual rock behavior during excavation could be applicable for predicting long-term behavior of underground
cavern.

1 INTRODUCTION In this paper, from the point of above-mentioned

Many underground power stations for pumped stor-
age power plants have been constructed in Japan,
and most of them have passed more than ten years
since they were constructed. Therefore, to predict
long-term behavior of large underground caverns, for
example the displacement of the cavern wall, and to
evaluate their stability quantitatively should become
more important to conduct effective maintenance for
underground power stations in the future.
In our preceding paper (Koyama et al. 2004), rock
behavior of an underground cavern after the excava-
tion work has been analyzed based on measurements
of rock displacement. In addition, we have applied a
numerical analysis employing a variable-compliance-
type constitutive equation to the time dependent rock
behavior and verified its applicability. We calculated
displacement increment after excavation and com-
pared it with measurements to determine time depen-
dent parameters. On the other hand, we carried out
triaxial compression laboratory tests and obtained time
dependent parameters by using test results. As a result
of this study, the values evaluated by simulation didnt
agree with the values obtained by the test. Therefore,
it was concluded that how to determine appropri-
ate parameters which could simulate time dependent
behavior of rock around actual cavern was the subject.
view, we applied in-situ test results and measured
data obtained during excavation of cavern to deter-
mining the parameters required for the numerical
analysis method. Furthermore, we performed a numer-
ical analysis employing the variable-compliance-type
constitutive equation with the determined parameters
and compared analytical results with measurements
of rock displacements to verify the applicability of the
determined parameters.
2 OUTLINE OF THE UNDERGROND POWER
STATION
The underground cavern (Kudoh et al. 1998) which
is the subject of this study is located at a depth of
500 m below the groundsurface. The dimension of the
cavern is 34 m in width, 54 m in height and 210 m in
length. Today, 10 years passed since the excavation
was finished. The geology around the cavern con-
sists of a mixture of mudstone and sandstone, which
was deposited in the late Cretaceous of the Mesozoic
through the Paleogene of the Cenozoic.
At this power station, multiple stage extensome-
ters were installed around the cavern before excavation
work to observe the rock behavior induced by the exca-
vation. The layout of extensometers in the main cross

325

Copyright 2006 Taylor & Francis Group plc, London, UK

 EL686.926 exploratory adit end of excavation
50

Displacement (mm)
40
EL662.500
30

20
EL635.000 Favorable bedrock
A 10 Unfavorable bedrock

0
EL612.945 0 2 4 6 8 10 12
Year
Penstock Side Tailrace Side
Figure 2. Wall displacement.
Figure 1. Layout of multiple stage extensometers.
Table 2. Wall displacement and their increments.
Table 1. Wall displacement and their increments.
Displacement
Displacement at the Displacement increment Displacement increment
end of the excavation after the excavation at the end of Displacement after the
the excavation at present excavation
Average Maximum Average Maximum
mm mm mm mm mm mm mm

Crown 7.6 24.0 1.1 2.1 Favorable 30.2 36.5 6.3

Sidewall 21.3 56.4 4.4 11.8
section is shown in Figure 1. Wall displacements at the
end of the excavation work and their increments to the
present are shown in Table 1.
3 OUTLINE OF CONSTITUTIVE EQUATION
The variable-compliance-type constitutive equation
(Okubo et al. 1987) is a model which can simulate
the time dependent behavior of rock. It supposes that
compliance (= strain /stress ) gradually increases
with time and time dependence of is defined by
equation (1).
where = /0 , = compliance, 0 = initial compli-
bedrock
Unfavorable 36.5 42.9 6.4
Bedrock
or triaxial compression test. But as mentioned herein-
before, parameters obtained by triaxial compression
tests didnt coincide with those evaluated analytically
from measured displacements after excavation. In this
paper, we focused on the data such as the results of
in-situ tests and measured displacement during exca-
vation and then applied these data to determining
parameters.
4.1 Measured displacements
Relative displacements are shown in Figure 2 and
Table 2. They are the values along the measuring line-
A shown in Figure 1. Line-A is 25.3 m in length.
This extensometer had been installed from the
drainage tunnel before the excavation work was started.
ance,  (= /0 ) = stress severity,  = devia-
One of them is the displacement along an extensometer
toric stress, 0 = rock strength, n = parameter which
defines non-linearity in the stress-strain relationship,
m = parameter which defines relationship of stress-
strain in the post-failure.
4 APPLICATION OF THE VARIABLE-
COMPLIANCE-TYPE CONSTITUTIVE
EQUATION TO ROCK BEHAVIOR OF
CAVERN
Parameters for the variable-compliance-type constitu-
tive equation is conventionally examined from uniaxial
326
Copyright 2006 Taylor & Francis Group plc, London, UK
installed in the favorable bedrock.Another is one along
an extensometer installed in the unfavorable bedrock.
Relative displacement at the end of the excavation
work in the unfavorable bedrock is about 6mm larger
than one in the favorable bedrock. In contrast, dis-
placement increments after the end of the excavation
work are approximately equal to each other.
Figure 3 shows interval strains measured by the
extensometers. Interval strain at the end of excavation
work is larger near the cavern wall than in the dis-
tant region. On the other hand, increment of interval
strain occurred after the end of the excavation work is

Interval strain (%)
Interval strain at the end of excavation
Interval strain after excavation
Figure 3. Interval strain (measured value).
5
Rate of displacement increment
4
3 equation (3). And the uniaxial compression strength c
(mm)
1
0 tively strong. The average of the uniaxial compression
0 2
Figure 4. Rate of displacement increment.
relatively larger in the region of 5 m to 10 m from the
cavern wall.
Figure 4 shows the rate of displacement increment
after the excavation. The value of the unfavorable
bedrock is larger just after the end of the excavation
work than one of the favorable bedrock. But both of
them decrease gradually and become constant value.
4.2 Determination of initial compliance
Initial compliance 0 is the reciprocal of the initial
elastic modulus E0 , namely 0 = 1/E0 . In this study,
the initial elastic modulus is assumed to be equal to
equivalent elastic modulus evaluated from the mea-
sured displacement during excavation. In order to
obtain numerical displacements at the end of the
excavation work, linear-elastic FEM is applied. Mea-
sured displacements in the depth where the damage
of the excavation was relatively small and sound rock
remained are compared with numerical those. Then,
the equivalent elastic modulus is determined with
Copyright 2006 Taylor & Francis Group plc, London, UK
Interval strain (%)
Favorable bedrock
Unfavorable bedrock
4 6
Year
an
.t
0/2 =c
+
* =(13)/0
0 = 2c.cos + 2m .sin
m=const
= 13
3 1
(1-3) /2
Figure 5. Definition of stress severity.
bringing numerical displacements and measured those
into coincidence. As a result of this study, the initial
elastic modulus is determined to be 9,000 MPa (favor-
able bedrock) and 8,000 MPa (unfavorable bedrock).
4.3 Determination of rock strength
Rock strength for this constitutive equation is conven-
tionally determined by Janachs failure criteria defined
obtained by rock core test is applied.
The strength of the rock specimen at this site is rela-
8 10 strength is 106 MPa. But the strength of the rock mass
is different from the one of the rock specimen because
the surrounding rock around the cavern consists of
the discontinuous or jointed rock mass. The equivalent
uniaxial compression strength which is estimated by
the cohesion c and the angle of internal friction
obtained by the rock shear test is about 5 10 MPa.
The result indicates the rock mass strength is only
about 10% of the rock specimen strength. Hence, the
result of the rock shear tests in the exploratory adit
was applied to the rock strength. In addition, Mohr-
Coulombs failure criterion is adopted as the rock
strength. The determined rock strength is as follows.
C = 1.5 Mpa, = 58 : favorable bedrock
C = 0.8 Mpa, = 55 : unfavorable bedrock
Time dependent deformation is influenced on by
the stress severity * in equation (1). In this study, the
stress severity is defined as shown in Figure 5. This
figure indicates that the average principle stress m
is always constant on the stress path. Hence, Mohr-
Coulombs failure criterion applied to this study is as
follows.
327
 Table 3. Rock properties and initial stress.
A1
Top-heading
A2 Favorable Unfavorable
A3 bedrock bedrock
1B
2B
3B Initial elastic modulus (MPa) 9,000 8,000
4B
5B
Poissonratio 0.25 0.25
6B C (MPa) 1.5 0.8
7B
Sidewall ( ) 58 55
8B
9B Initial stress (MPa)
10B x 11.3 55
11B y 12.5 55
12B
13B xy 0.3 55
14B
15B

Pit Table 4. Specifications of support.

Figure 6. Stage of excavation. Favorable Unfavorable

bedrock bedrock
4.4 Determination of time-dependent parameters Top- Anchor pre- 0.21 0.31
4.4.1 How to determine parameters heading stress (MPa)
In order to determine time-dependent parame- Shotcrete 32 40
ters n,m, the numerical analysis employing the thickness (cm)
Shotcrete elastic 20,000 20,000
variable-compliance-type constitutive equation was
modulus (MPa)
implemented and parameters which were suitable Sidewall Anchor pre- 0.18 0.31
to measured rock behavior during excavation were stress (MPa)
examined. Shotcrete 24 24
Specifically, the displacement during the excava- thickness (cm)
tion and the interval strain at the end of the excavation Shotcrete elastic 20,000 20,000
work were considered to determine the time dependent modulus (MPa)
parameters, n, m. And also, the extent of failure zone
evaluated by the interval strain was compared with
numerical results such as the compliance-increased 40
zone and the stress-reduced zone. Furthermore, in
Displacement (mm)

order to verify the applicability of the determined 30 Measured value

parameters, numerical results were compared with Analytical value(n=70)
measurements after the excavation. n=50
20
n=60
n=80
4.4.2 Condition for the numerical analysis 10 n=90
The excavation method of the cavern is a multiple
bench cut method. It is considered that time dependent 0
rock behavior might develop gradually during excava-
arch1
arch2
arch3
1bench
2bench
3bench
4bench
5bench
6bench
7bench
8bench
9bench
10bench
11bench
12bench
13bench
14bench
15bench
Pit

tion. Consequently, the excavation of the cavern in the

numerical model is divided into 19-stages from the
top-heading to downwards.
Rock mechanical properties and initial stresses
are shown in Table 3. The initial stress is a value
determined by using the results of in-situ test in the
exploratory adit. And also, specifications of the sup-
port are shown in Table 4. The numerical model
includes the effect of the shot-concrete and the anchor
pre-stress.
4.4.3 Result of numerical analysis
(1) Comparison between analytical results and mea-
surements during excavation
How the time dependent parameters n, m influence on
the numerical results is shown as follows. Results of
Excavation step
Figure 7. Comparison of displacement during excavation.
the numerical analysis applied to the favorable bedrock
are described as an example.
Figure 7 shows the analytical displacements and
measurements. Analytical displacements are the
results which are calculated by using different n with
the constant value of m (m = 5). This result indicates
that the deformation during the excavation increases
with decreasing n. In other word, decrease of n makes
non-linearity of deformation strong. And it shows that
the analytical displacement approximately coincides
with measured one when n is assumed to be 70.

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Copyright 2006 Taylor & Francis Group plc, London, UK

 25 0.5

end of excavation (MPa)

Deviation stress at the
20 0.4

15 0.3
10 0.2 (%)
(at present)
0.1 m=5
5
m=0.01
(at the end of excavation) 0 m=10
0
0 5 10 15 20 25 m=20
Distance from cavern wall (m)

Figure 10. Comparison of deviation stress.

Figure 8. Compliance at the end of the excavation (n = 70, Table 5. Determined time dependent parameters.
m = 5).
Favorable Unfavorable
bedrock bedrock

n 70 52
m 5 5

<Favorable bedrock> <Unfavorable bedrock>

Analytical value Analytical value

Measured value Measured value

Rock displacement (mm)

Displacement (mm)

Figure 9. Deviatoric stress at the end of the excavation

(n = 70, m = 5).

Figures 8, 9 respectively show the compliance and Excavation step Excavation step
the deviatoric stress of the surrounding rock at the
end of the excavation work. These figures show that Figure 11. Rock displacement during the excavation.
increase of the compliance is large near the cavern
wall, in contrast, deviatoric stress of the rock is small < Favorable bedrock > < Unfavorable bedrock >
in the same region. In addition, Figure 10 shows the
Analytical value Analytical value
distributions of rock stresses by the numerical analy- Measured value Measured value
sis and the interval strain measured by extensometers.
Interval strain (%)

Interval strain (%)

Analytical rock stresses are the results which are cal-

culated by using different m with the constant value
of n (n = 70). Peak of the deviatoric stress occurs near
the cavern wall when the value of m is small. On the
contrary, it moves to deeper zone when the value of m
becomes larger.
Distance from cavern wall Distance from cavern wall
The critical strain of rock at this site is about 0.2%.
The interval strain at the end of the excavation work is
Figure 12. Interval strain at the end of the excavation.
larger than the critical strain within 5m off the cavern
wall. And it is approximately the same value (0.19%)
as the critical strain in the region of 5 m to 10 m. In Time dependent parameters determined with the
contrast, the interval strain increment after the end of actual rock behavior are shown in Table 5. Figures 11,
the excavation takes maximum value in the region of 12 shows relative displacements during the excavation
5 m to 10 m. These results suggest that the boundary and the interval strain at the end of the excavation. In
between the failure zone and the elastic zone should be these figures, measurements and the results of numer-
in the interval from 5 m to 10 m. When the value of m is ical analysis which are performed by using the values
5, the distribution of the deviatoric stress substantially in Table 5 are compared. It was certified that analytical
corresponds to the extent of the failure zone. results agreed with measurements generally.

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Copyright 2006 Taylor & Francis Group plc, London, UK

 <Favorable bedrock>
Analytical value
Measured value
Figure 13. Rock displacement increment after the
excavation.
<Favorable bedrock>
Analytical value
Measured value
Interval strain (%)
Interval strain (%)
Distance from cavern wall
Figure 14. Interval strain occurred after the excavation.
(2) Comparison between analytical results and mea-
surements after excavation work
The analytical rock deformation behavior after the
excavation work is compared with measurements.
Figures 13, 14, 15 show displacement after the exca-
vation work, the increment of the interval strain and
the rate of increment displacement. Numerical results
generally agreed with measurements both in the favor-
able bedrock and in the unfavorable bedrock. Hence, it
is concluded that the parameters should be objectively
determined by using results of the in-situ tests and also
measurements during the excavation.
5 CONCLUSION
In order to apply the variable-compliance-type consti-
tutive equation to the time dependent rock behavior
of the underground cavern, parameters required for
this numerical method were determined based on
the results of the in-situ test and measurements dur-
ing the excavation. In addition, we performed the
numerical analysis using those parameters. As a result,
the analytical displacement, the interval strain incre-
ment, and the rate of displacement increment generally
Copyright 2006 Taylor & Francis Group plc, London, UK
<Unfavorable bedrock> <Favorable bedrock>
Analytical value
Measured value Measured value
Analytical value
<Unfavorable bedrock>
Measured value
<Unfavorable bedrock> Analytical value
Analytical value
Measured value
Figure 15. Rate of displacement increment after excavation.
Distance from cavern wall
coincide with measurements. Hence, it is confirmed
that parameters for the numerical analysis method can
be objectively determined with above-mentioned data.
In general, it is considered that time dependent
behavior of rock mass around actual cavern is still
not cleared compared with time dependent phenomena
of rock specimen in laboratory rock tests. Therefore,
the method of determining parameters presented in
this paper is probably practical and useful to pre-
dict the long-term behavior of underground caverns.
For further studies of long-term behaviors of rock,
accumulating time dependent parameters which are
suitable to measured rock behavior of actual cavern
will be needed. Therefore, it is evident that more case
studies to other underground caverns are necessary.
REFERENCES
Koyama,T., Suzuki,Y., Isibashi, K., Minami, M., Okubo, S., &
Fukui, K. 2004. Long-term behavior of a large under-
ground cavern, 3rd ARMS: 593598.
Kudoh, K., Koyama, T., & Suzuki, Y. 1998. Application of
numerical analysis to design of supporting for large-scale
underground cavern, Proc. Jpn. Soc. Civil Engineers, VI-
38, 588: 3749.
Okubo, S., Nishimatsu, Y., & Ogata, Y. 1987. Simulation of
Rock Deformation around Roadway by Non-linear Rhe-
ological Model, J. Min. Meta. Inst. 103, 1191: 293296.
330
 EUROCK 2006 Multiphysics Coupling and Long Term Behaviour in Rock Mechanics
Van Cotthem, Charlier, Thimus & Tshibangu (eds)
2006 Taylor & Francis Group, London, ISBN 0 415 41001 0

Long-term deformation processes in the wider area of the closed

Idrija Mercury Mine

J. Likar
University of Ljubljana, Faculty of Natural Sciences and Engineering Slovenia

M. Cigale & B. Reun

Idrija Mercury Mine Slovenia

ABSTRACT: The past five centuries of the Idrija Mercury Mines operation have had consequences on the
environment, which have directly influenced the deformations developing in the wider exploration area. Mine
shutdown works, which include grouting and hardening destroyed areas, as well as filling parts of the mine
and backfilling empty spaces (i.e. mine roadways), are now in the final stage. The efficiency of mine shutdown
works is constantly being verified by means of geotechnical and other measurements and observations, while
considering the local rock conditions. The paper presents some results of the measurements and observations
performed, as well as the changes in the wider area of the Idrija Mercury Mine during shutdown works and an
estimation of surface deformation changes in future.

1 INTRODUCTION Mercury Mine were monitored by surveying and other

Sinking terrain and other deformations are an integral
part of the occurrences in the wider area of the closed
Idrija Mercury Mine. The mine closure works are pro-
gressing in accordance with the approved program,
which includes various observations and measure-
ments in the mine and on the surface above the mine.
To ensure the stabilization of broader rock areas over
the long term, the filling and injection of areas with the
highest deformation intensity is of great significance.
The time-dependant deformation processes cur-
rently in progress in the wider area of the Idrija
measurements and geological-geotechnical observa-
tions. The measurements were conducted in the pre-
scribed time intervals twice a year in order to ensure
the time-dependant monitoring of deformation pro-
cesses. Although mining works were stopped more
than ten years ago, the sinking and subsidence of time-
dependant areas in the pit and on the surface have not
yet stabilized completely. Long-term time-dependant
processes, which are closely linked to the methods and
extent of ore mining in the past, and in particular to
the natural geological conditions, primary stress states
and other influences, are still present particularly in
areas built of Permian-Carboniferous layers and other
low-bearing-capacity rocks. The final stabilization of
the area therefore depends on a gradually stabilized
deformation field, which will indirectly have a favor-
able impact on eventual construction projects in the
area concerned.

2 GEOLOGICAL AND HYDROGEOLOGICAL

INTERPRETATION OF THE WIDER
MERCURY MINE AREA

The Idrija mercury ore deposit is located directly below

the town of Idrija between the Idrija River and its tribu-
tary, the Nikova stream. The ore deposit extends in the
directions north-west and south-east. It is 1500 m long
Figure 1. Layout of the town of Idrija and the Mercury and 300600 m wide. The depth of the ore-bearing
Mine. zone is about 450 m. The deposit is open and has

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Copyright 2006 Taylor & Francis Group plc, London, UK


Figure 2. Layout of the Idrija Mercury Mine.
vertical shafts. The deepest shaft reached a depth of
420 m and linked all 15 levels, the lowest of which
extended 36 m below sea level. The distance between
levels varies from 15 to 30 m. Over a period of five
hundred years, miners have dug out more than 700
kilometers of roadways and shafts. Today, only about
20 km of roadways are still open.
2.1 Geology
The hydrothermal mercury deposit in Idrija is a geo-
logical natural treasure of global significance, and is
ranked among the most complex ore deposits in the
world.
The Idrija ore deposit is classified as a monometal as
well as a monomineral deposit. It has the second largest
concentration of mercury in the world, second only to
Almaden in Spain. Most of the mercury appears in the
form of cinnabar (HgS, 70%), and the remainder in
the form of native mercury (Hg, 30%). Pyrite, marc-
asite, dolomite, calcite, kaolinite, epsomite and idrialin
(named after Idrija) represent the main gangue or waste
rocks.
The Idrija ore deposit was formed during two
phases: in the lower part of Middle Triassic (Anisian),
and in the second, Ladinian phase during a period of
intense volcanic activity in Slovenian geological his-
tory. Middle Triassic tectonics led to the upwelling of
hydrothermal solutions, which expelled their deposits
onto the sea bed through a thick layer of Upper
Palaeozoic, Permian, Scythian and Anisian clastic and
carbonate rocks. Due to gradually declining tempera-
tures, part of the mercury condensed and was released
as pure mercury in the form of drops. Hydrothermal
underwater springs deposited the mercury in littoral
swamps forming the synsedimentary ore beds and
lenses in the black Skonca shales and tuffs of the
Ladinian age.
The geological structure of the Idrija ore deposit
is fairly complicated as the result of tectonic activity.
The ore deposit was cut into blocks by napping and
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Copyright 2006 Taylor & Francis Group plc, London, UK
Figure 3. Geological cross section through Idrija Mercury
Mine.
thrusting. In the final phase of alpine orogenesis, ore
bodies were disintegrated and moved along the faults.
The Idrija ore deposit has 158 known orebodies: 17
with native mercury are found in Carboniferous shale,
while the remaining 141 are in clastic and carbonate
rocks.
2.2 Hydrogeology of the ore deposit
The ore deposit and its surroundings are comprised
of several hydrogeological blocks and impermeable
hydrogeological barriers. The hydrogeological block
of the Idrija ore deposit is highly specific. It is also
characterized by the presence of backfills (40% poros-
ity) and unfilled shafts on lower levels of the ore
deposit. The impermeable barriers enclosing the old
part of the Idrija ore deposit are built of Carboniferous
shale below the deposit, thrust sheets along the south-
ern edge, and a Carboniferous layer above the deposit.
On the north side, the deposit is closed in by an imper-
meable, clayey zone of the Idrija fault. In all aquifers,
the level of ground water is above the level of mine
infrastructure. The main inflows of water into the ore
deposit occur through shafts, galleries, drilled hydro-
logical barriers or barriers partly demolished due to
excavation works. Due to the geological structure of
the Idrija ore deposit, water inflows into the pit facili-
ties are relatively small (average 25 l/s).
3 MERCURY ORE MINING METHODS USED
DURING THE MINES OPERATION
The mercury ore mining technologies employed in the
five centuries of the mines history were adapted to
the state of development of mining science and the
existing natural mining conditions. On the basis of
historical sources, we have assessed that the most fre-
quently used was the mining method with backfilling
from down to up, where ore was released through jack
pits to lower levels and then exported to the surface
 for further processing. It should be emphasized that
throughout the mines operation, wood was the prin-
cipal material used to make supports in mining areas,
as well as at the main and auxiliary gates on various
levels.

3.1 Particularities of the cross-stope mining

method
Ore mining using the cross-stope mining method
required a good knowledge of the behavior of strata
in relatively tectonic and mechanically damaged rocks
embodied in the hanging wall, mineralized and foot-
wall layers of the ore deposit. Strata water frequently
appeared in the lower levels of the mine and, in excep- Figure 4. Cross stopping with backfill.
tional cases, on higher levels, e.g. the IVth level of the
mine.
Ore extraction using the above-mentioned method In practice, this was evident in the increasingly more
was conducted in several phases, depending on the damaged rock masses and additional stresses on the
geometric and geotechnical characteristics of the ore wood supporting which, considering its subsidence
body and surrounding layers. In order to develop an and collapsebility, survived the increased pressure of
individual level, it was initially necessary to carry out the rock mass relatively well. In some cases, e.g. when
preparations of the main gate on the main level and ore was extracted from Carboniferous shale, the addi-
install a separate ventilation system so that mining tional stresses in the rocks on the first level were so
works could be started at individual excavation areas. intense that mining from down to up was practically
These were made from a preparatory gate at a 45 or impossible.
90 angle with respect to the main axis. The dimen-
sions of the cross-sections in the preparatory gate and 3.3 Mining method with consolidated backfilling
in individual excavation areas were within the limits from the top downwards
of 2.0 m to 4.0 m in width, 1.8 m to 3.0 m in height,
The complex geological and geotechnical conditions
and a variety of lengths ranging from a few meters
accompanying mining works in Carboniferous ore
to about 50 m to 80 m in some cases. The horizontal
bodies, as well as increased environmental require-
and slightly inclined mine areas were lined with wood
ments and the special concern for the health and safety
supporting. Ore was transported on various levels and
of miners at work, called for radical changes in the
roadways using small and medium-sized mine carts
ore extraction method. In the 1970s and 1980s, Prof.
(volume from 0.3 to 0.8 m3 ) on wooden and steel rails.
Bajelj [1] introduced a new mining method from the
After the mines modernization in the 20th century,
top downwards, which involved highly different min-
mine locomotives were used to transport extracted ore
ing and backfilling technologies than had previously
and reproductive materials.
been used.

3.2 Geotechnical evaluation of mining
method from down to up
Changes in primary stress-strain states as the conse-
quence of ore extraction works occurred in surround-
ing rocks and ore bodies. Although excavation areas
were backfilled regularly, the filling material was quite
compressible, resulting in minor stress-strain concen-
trations in backfilled spaces and indirectly in increased
deformations, which were transferred to the wood sup-
porting and particularly to the surrounding rocks. The
preparation and mining of higher lying levels, as shown
in Figure 4. The height of each level was approx. 2.5 m
to 3.0 m, allowing miners to manually perform such
works as drilling, blasting, loading and transporting
of extracted ore, as well as installing wood support-
ing and, finally, backfilling excavated mining areas.
3.4 Particularities of mining from the top
downwards
The new system of mining from the top downwards
represented a significant turning point in the history of
the mercury mine, as it completely changed individual
technological procedures, particularly those designed
to protect miners against caving and collapses of the
ceiling and partly also the side walls. The use of rein-
forced backfill with minimum required strength and
minimum subsidence contributed to the substantial
improvement of mining conditions. Figure 5 shows
the mining method from the top downwards using
reinforced backfill with a compressive strength of
6.5 MPa, which was still sufficient to ensure the pre-
scribed stability conditions during mining works in
lower levels. To fulfill the final requirement for normal

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Copyright 2006 Taylor & Francis Group plc, London, UK


Figure 5. Principles of sublevel mining with consolidated
backfilling.
mine operation, backfill with a compressive strength
of 4MPa was sufficient.
3.5 Geotechnical evaluation of mining from
the top downwards
From the geotechnical aspect, the transfer of secondary
stress deformation states to surrounding rock strata
and consolidated backfilling also represents a consid-
erable reduction of shifts occurring with this mining
method. The small deformability of backfilling mate-
rial and the minimal compressive strength compensate
for the additional stresses in the backfill itself. It
should be emphasized that the strength characteris-
tics of surrounding rocks particularly Carboniferous
shale are lower than those of the consolidated back-
fill, which means that the technical conditions of
mining works improve with the increasing size of min-
ing areas, and indirectly with the changed material of
higher strength. This was also proven by calculations
using the Finite Element Method (FEM), taking into
account the nonlinear relations between stresses and
strains by means of simulations of mining works and
successive injections of reinforced backfill into each
mining area separately [2].
The calculated deformations amounted to maxi-
mally 10 cm, which is substantially lower than the
deformations that would have developed in the old
mining method from down to up, i.e. the so-called
cross-stope method.
In addition to the above-mentioned, mining from the
top downwards also has positive effects on the reduc-
tion of losses during the mining of mercury ore and
native mercury present in Carboniferous shale.
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Copyright 2006 Taylor & Francis Group plc, London, UK
4 DETERMINATION OF SHUTDOWN
WORKS AND THEIR EXECUTION
Several reasons influenced the abandonment of mer-
cury ore excavation, initially in the 1970s and finally
in the late 1980s. On the one side, an intensive interna-
tional campaign had been launched against mercury,
whose harmful effects were researched in various
fields. Another reason was the very low selling price
of this metal, which in some cases fell below USD 100
per flask (34.5 kg of mercury). In addition to the above-
mentioned factors, particular emphasis was laid on the
long-term effects of the mine on the sinking surface,
i.e. the town of Idrija, which stands directly above the
mining facilities, the potential instability of the natural
and artificial slopes above the mine, and the pollution
of the environment with mercury in the town of Idrija
itself and far downstream along the Idrija River and
the Soca River, all the way to the Gulf of Trieste.
4.1 Estimation of geological and geotechnical
conditions prior to determining the mine
shut down procedure
Surveying and geometric observations of surface dis-
placement in the broader affected area of the mine
from the beginning of the 20th century onwards, as
well as the excellent geological and hydrogeological
studies and interpretations of the origin of the ore
deposit and subsequent tectonic and other occurrences,
have enabled engineers to evaluate various parameters.
For this purpose, extensive simulations and analyses
of the impact of reinforcement processes on the rock
structure and old mining works using the FEM were
performed. A specific question was raised in con-
nection with the estimated consequences of possible
flooding of the pit up to different height levels, as
the considerable worsening of geotechnical conditions
was expected in areas where pit water came into con-
tact with rocks and old backfills, which are sensitive to
water. In situ investigations in the mine confirmed the
fear that increased movements would develop in the
event of uncontrolled flooding of the mine. For this
reason, a plan foreseeing the gradual reinforcement
and backfilling of empty spaces as well as flooding of
the mine in several phases was adopted.
4.2 Methods of execution of shutdown works
The gradual shutdown of the mine and the rehabil-
itation of the area of the mines operation on the
surface is progressing according to project solutions
and the adopted shutdown strategy, and in line with
the long-term rehabilitation of degraded areas. Spe-
cial attention has been devoted in past years to the
improvement of reinforcement and backfilling tech-
nologies, as most of the vertical and horizontal mine
areas below Level IV have been filled with improved

Figure 6. Measured settlements at Level III.
backfill. For the purpose of injection and backfilling
of pit areas, a special injection device was erected
on the surface above the mine. The pumping capac-
ity is around 10,000 m3 per year, which in view of the
selected technology is the optimal capacity.
5 MEASUREMENTS OF GEOTECHNICAL
AND HYDROGEOLOGICAL PARAMETERS
5.1 Geodetic measurements on the surface
Geodetic measurements were begun in the initial years
of the 20th century, while extensive geometric obser-
vations aimed at monitoring the stabilization of the
mine were not performed until 1990. Measurements
were carried out in a profiles net installed on the dis-
turbed surface above the mine. Measurements were
also performed on important infrastructural buildings
and facilities. Before the commencement of shutdown
works, the horizontal and vertical movements of ter-
rain above the mine were up to 25 mm/year and up to
14 mm/year, respectively.
5.2 Displacement measurements in the mine
The wide mine surveying mesh included measuring
points placed on different mine levels connected to
main points near the main shafts. Each measuring
point is stabilized on the bottom or in the roof of mine
roadways to allow for the measurement of vertical
movements and, in some cases, horizontal movements
as well. Each measuring cycle was performed twice
a year if any extreme displacements occurred as the
result of closure works or during flooding of the deeper
part of the mine. A trend of vertical displacement
similar to that on the surface was also found in the
mine. The measurements executed on Levels I to XI
showed a displacement syncline near the Inzaghi shaft,
where a maximum subsidence was found. The mea-
sured movements gradually decreased, with horizontal
335
Copyright 2006 Taylor & Francis Group plc, London, UK
Figure 7. Results of the inclinometer measurement G9.
movements declining to an average 8 mm and vertical
displacements to 4 mm in the past year. The typical
result of vertical movements is shown in Figure 6.
5.3 Measurements of horizontal displacement
Measurements of inclinometric boreholes have been
conducted since 1989. The boreholes are located in
areas with the most intensive shifts. In that year the
horizontal shifts, measured twice a year, attained val-
ues of up to 21 mm/year, while vertical shifts reached
values of up to 10 mm/year. However, measurements of
inclinometric borehole deformations conducted in the
period from 1996 to 2001 have shown that the move-
ments of terrain above the pit is continuing, but with a
decreasing tendency, which is undoubtedly the conse-
quence of the abandonment of excavation works and
the conduction of consolidation-fortifying works in
the pit.
The results of several years of measurements and
observations have shown that not only are different
slides forming above the pit, but a large sinking crater
is also forming with its centre around the Inzaghi shaft,
where most of the excavation works took place.
5.4 Measurements of secondary stress deformation
changes at Levels XIV and XV
For the purpose of monitoring stress deformation
changes in rocks and backfills in the deepest parts of
the pit during flooding up to Level XI, measurement
probes, i.e. cells equipped with strain gauges in dif-
ferent directions, were incorporated into boreholes and
injected with cement grouting material.
Since the incorporation of measurement probes at
Levels XIV and XV in the middle of 1992, i.e. in the
past 13 years, measurements of specific deformations
in backfill, dolomite and shale have been performed
twice yearly.
It is evident from the results of measurements shown
in Figure 8 in the form of a diagram that the course
of time-dependant deformations changed in 1995 and
partly in 1996, when movements or changes in stresses
and deformations in the rock structure occurred as the

Figure 8. Results of additional vertical stress measurements
in shale on Level XV.
Figure 9. Estimation of the time-dependant deformation
point DN on the surface above the mine.
consequence of mine flooding up to Level XI. The
results of measurements in the past year indicate that
the deformation processes are still in progress, but
the trends do not point to any major stress changes
in surrounding rocks.
It is highly probably that the changes found are
linked to the sinking of areas above mine extraction
works and the effects of time-dependant occurrences
around the Idrija fault.
6 PROGNOSIS OF THE DEVELOPMENT
OF DEFORMATION PROCESSES IN
THE LONG TERM
The estimation of time-dependant deformations on the
surface above the mine has allowed us to prepare a
prognosis of the development of the deformation field
in the next ten or twenty years. According to the sim-
ple logarithmic approximation shown in Figure 9, the
sinking of ground in a specific area can be expected
to continue for at least 10 years, and therefore the set
deformation reduction rate criterion of 1cm/year will
be attained after this period.
336
Copyright 2006 Taylor & Francis Group plc, London, UK
It should be emphasized that the time frame of
movements in Permian-Carboniferous rocks is more
pronounced in comparison with other rocks found in
the broader area of the mine. A second threat that
is indirectly linked to the sinking of ground is the
increased lability of natural and artificial slopes in the
southern hinterland of the town of Idrija. Although no
major collapses have occurred so far, some occasional
minor slides have had an unfavorable effect on the
well-maintained natural surroundings.
7 SUMMARY
More than five centuries of mining activity in the area
of the town of Idrija have caused major changes in the
stress deformation states of rocks and backfills in the
affected areas of the mercury mine.
Twenty years ago, extensive numerical models were
used to determine the grouting measures to be used
within the scope of shutdown works, and laboratory
and in situ investigations were conducted in order to
determine the geotechnical characteristics of relevant
rock strata and artificial backfills.
Observation systems for measuring movements in
the mine and on the surface were set up. These included
inclinometric and piezometric measurements, as well
as measurements of stress changes using measurement
cells, which are still used today and will continue to
be used to a certain extent after the completion of
shutdown works.
An evaluation of the adequacy of grouting and back-
filling works in the shutdown of the mine has shown
that the selected procedures are appropriate for the
given geological, geotechnical and mining conditions.
REFERENCES
[1] Bajelj, U. 1984. Underhand cut-and-fill stopping
experiments in Carboniferrous schists at the Idrija
Mine, Symposium AIME, Society of Mining Engineers
of the American Institute of Mining, Metallurgical and
Petroleum Engineers, Inc. New York: 163183.
[2] Bajelj, U. & Likar, J. 1991. Analysis of the stress-
deformational state in the wider area of stopes at the
Idrija Mine. Bolletino della Associazione Mineraria
Subalpina, XXVIII,n.4: 699712, Torino, 2930 April,
1991.
[3] Cigale, M. 1988. Dolgorocni program postopnega,
popolnega in trajnega zapiranja Rudnika ivega srebra
Idrija. Idrija, 1988.
[4] Reun, B. & Dizdarevic, T. 1997. The influence of sur-
face waters and mine waters on the closing down of
the Idrija Mercury Mine. 6th IMWA Congress, Vol.(1):
8594.
[5] Archive documents, reports and studies in the Idrija
Mercury Mine.
 EUROCK 2006 Multiphysics Coupling and Long Term Behaviour in Rock Mechanics
Van Cotthem, Charlier, Thimus & Tshibangu (eds)
2006 Taylor & Francis Group, London, ISBN 0 415 41001 0

Swelling a geotechnical problem at the Adler Tunnel, Switzerland

monitoring results and their interpretation

H.-P. Noher & B. Vgtli

Geotechnisches Institut AG, Basel, Switzerland

B. Kister
University of Applied Sciences of Central Switzerland, Horw, Switzerland

ABSTRACT: The Adler Tunnel had been constructed predominantly in swelling rock formations. One of those
formations is the Gypsum Keuper, a geologic formation which is famous for its high percentage of anhydrite and
the potential to develop high swelling pressures. This was well known before starting the tunnel construction.
Therefore the dimensioning of the tunnel tube had been done following the principles of a rigid support and
to withstand high swelling pressure. But because the maximum swelling pressure in situ for anhydrite is not
known very well on one hand and to be informed in sufficient time for critical swelling pressures on the other,
4 monitoring sections had been installed. A timeframe of about 20 years of monitoring had to be taken into
account as well as special boundary conditions for the arrangement of sensors and measuring sections. Up
to now 9 measurement campaigns have been fulfilled, the last one in December 2005, and the results will be
presented in this paper. Also the results of measurements using the method of Natural Pulsed ElectroMagnetic
Radiation (NPEMR) will be presented and compared with strain measurement results.

1 INTRODUCTION

The Adler Tunnel nearby Basel has been constructed

during the period 19942000 and is a significant
part of the Swiss railway project Bahn 2000 of the
Swiss Federal Railways (Schweizerische Bundesbah-
nen: SBB). But it is also part of the upgrading of
the European high speed railway system. The pri-
mary object for the construction of the tunnel was to
demerge the railway lines Basel Olten and Basel
Stein-Sckingen, which both headed for Pratteln
before.
The double tracked Adler Tunnel has a full length
of about 5300 m and the expenses to construct the tun-
nel added up to 387 millions CHF. The Adler Tunnel Figure 1. Railway routes around Basel, the Adler Tunnel
comprises of two cut-and-cover sections at its northern relieved the former bottle neck Pratteln, Source: SBB, 2003.
respectively southern end (841 m respectively 223 m)
and a central section (length: 4264 m), which had been sediments cover the rocks of the geological formation
completed by mining means. A tunnel driving machine Oberer Muschelkalk, which is known as a water-
with a cutter head diameter of 12.58 m had been used, bearing stratum. In a depth of about 140 m the salt
which at that time was the largest worldwide. layers of the Mittlerer Muschelkalk have been inves-
tigated. At the northern cut-and-cover section along a
part of about 130 m settlements suddenly appeared,
2 GEOLOGY short time after the tunnel section had been con-
structed, with a subsidence velocity of approximate
The geology in that region is very complex. The north- 1 cm per month. These settlements are attributed to
ern cut and cover section of the tunnel is placed in dissolving processes of salt at the top of the Mittlerer
the river gravel sediments of the River Rhine. Those Muschelkalk by groundwater flow. The process of

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Copyright 2006 Taylor & Francis Group plc, London, UK


Figure 2. Positions of lifters along the excavated tunnel
section.
dissolving is called subrosion. As a result of this pro-
cess the complete 140 m thick rock mass package
subsides as a block.
Because the reason for that subsidence is in great
depth (approx. 140 m) there is no chance for interrupt-
ing the dissolving process. Therefore it was resolved
that these part of the cut-and-cover section will be
lifted periodically by hydraulic squeezers and the sub-
sidence will be even up by tamping (Noher et al, 2002).
Up to now this procedure has been performed suc-
cessfully two times with a lift of approximately 20 cm
each time.
From Northwest to Southeast the central section
of the tunnel pass through the Triassic and Jurassic
sequences of strata. Those sequences of strata are
divided by a lot of fracture zones with a NNE-SSW
strike and bedding planes dipping mostly shallowly
southward.
The central section of the Adler Tunnel is posi-
tioned predominantly in swelling rock formations.
Most famous of these rocks are the Jurassic Opal-
inum Shale with mixed-layer minerals illite/smectite
and the Triassic clay sulfate rocks of the Gypsum Keu-
per formation. The Gypsum Keuper will be mentioned
exceptionally, because of its very high quota of anhy-
drite, a mineral which may generate very high swelling
pressures when getting into contact with water. 1095 m
of the central section of the Adler Tunnel are laying in
the Gypsum Keuper formation.
The southern cut and cover section is situated in
river gravel sediments.
3 SWELLING
The swelling of clay rocks, for example the Jurassic
Opalinum Shale, is caused by water uptake by osmosis.
From known mineralogical and chemical parameters
the swelling stress may be calculated as an osmotic
pressure. In the clay-sulfate rocks, which are part of
the Gypsum Keuper, the swelling is moreover caused
by the transformation of anhydrite into gypsum.
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Copyright 2006 Taylor & Francis Group plc, London, UK
In nature the transformation of massy anhydrite
into gypsum is a process of decades or more because
of the low permeability of the rock. In sulfate rock
mass with layers or lenses of clay the transformation
proceed much quicker. Two possibilities come into
consideration for this (Flckiger et al, 1993):
the water which is needed for the transformation
of the anhydrite will be provided by the clay
the clay acts as a catalytic converter in the transfor-
mation process by ion exchange.
Therefore the relationship between swelling
behaviour and mineralogical composition of clay-
sulfate rocks is more complicated than that of pure
clay rocks. Madsen & Nesch (1991) discovered in
tests, that a mixture of about 70 to 75% anhydrite,
10 to 25% clay and some dolomite and quartz will
develop a maximum swelling potential. Additional
the texture of clay-sulfate rocks plays an important
role as it determines the timeswelling behaviour
and the development of the mineralogical swelling
potential.
The clay sulfate rocks at the project area are not
of the massy anhydrite type. Normally the anhydrite
exists in layers or nodules surrounded by marl. The
quota of the anhydrite in the rock mass at the project
area is up to 70%.
Laboratory tests on anhydrite of the Adler Tunnel
showed that to reach the maximum swelling pressure
an operating time for the swelling process of about 4 to
5 years was needed. A maximum swelling pressure in
laboratory tests of about 7 MPa had been found. This
is more than 5 times the maximum swelling pressure
of the Jurassic Opalinum Shale.
The tests further on showed that only a few amount
of the sulfate substrate had been transformed into gyp-
sum. Loosening the fixed support of the sample just
by 1/10 mm at first led to a swelling pressure drop of
about 50%, but then the swelling pressure raised again
and the extrapolation of the curve show that a high final
value will be reached again (Vgtli & Jordan, 1996)
According to Madsen & Nesch (1991), the swell-
ing mechanism is a combination of physico-chemical
reaction with water and stress relief. It can only take
place simultaneously with or following stress relief.
This would explain the swelling process in the sur-
rounding area of tunnels. Due to the excavation a
stress relief takes place and an excavation disturbed
zone (EDZ) will be produced. In the EDZ the porosity
is increased and a higher flow rate of water is pos-
sible. With the starting of the swelling process and
the transformation of anhydrite into gypsum a volume
change takes place and the swelling pressure reduces
the porosity and with it also the flow of water into
the rock mass. Consequently a self-sealing effect takes
place and the swelling process is stopped. This effect
shows the swelling pressure curve in figure 3.

Figure 3. Results of laboratory swelling tests on Adler
Tunnel anhydrite (Vgtli & Jordan, 1997).
Following the ideas above a rigid tunnel lining,
which is able to resist the swelling pressure, lead to
a self-sealing effect and will stop the swelling process.
Anagnostou (1992) mentioned also that loading will
reduce the velocity of tunnel floor heave in anhydrite
rock significantly. But he negated the tension release
due to excavation as necessary requirement for the
incidence of a swelling process in anhydrite. He con-
stitutes this statement by the fact that especially in case
of tunnels with low overburden the swelling pressure
may rise up to values much higher than the overburden
pressure. But this did not take into account that due to
the tension release a higher porosity in the EDZ will
occur and with it an increase of inflowing water.
For the Adler Tunnel the philosophy of a rigid tunnel
lining had been adopted. The overburden in the area
with clay sulfate rocks at tunnel level varies between
60 m and 100 m. By calculating the maximum over-
burden pressure for several areas, it could be shown,
that the possibility of an up-lift of the tunnel tube
by swelling pressure is feasible. This hazard threatens
even then if not the full swelling pressure measured in
laboratory test will be taken into account, but a more
realistic value of 3.3 MPa, which had been measured
in in situ tests.
An example for an up-lift of a tunnel tube due
to swelling pressure is the Wagenburg Tunnel nearby
Stuttgart. This Tunnel had been placed in the Gypsum
Keuper too and meanwhile 60% of the heave, mea-
sured at tunnel level, can be measured as heave at the
surface.
4 TUNNEL LINING
The external shell of the tunnel had been constructed
by tubbing segments. A sealing foil had been put on
the tubbings and a concrete lining constructed of 10 m
long segments represents the internal shell.
To withstand the swelling pressures in clay rocks as
well as in clay sulfate rocks two standard cross sections
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Copyright 2006 Taylor & Francis Group plc, London, UK
had been defined. For clay rocks a maximum swelling
pressure of 1.2 MPa had been taken into account, for
clay sulfate rock the maximum swelling pressure was
assumed to be 6 MPa.
For the tunnel section in the clay sulfate rocks at
the floor tubbings with a thickness of 90 cm had been
used. The tubbings at the side walls and the roof have
a thickness of 45 cm. In this area 45 cm cast-in-place
concrete completes the internal lining. Therefore the
thickness of the lining in the clay sulfate rock area is
90 cm throughout.
5 MONITORING
Because of the reasons mentioned above, the SBB
decided that 4 monitoring sections should be installed
in that part, the tunnel pass through the Gypsum Keu-
per. The intention of the monitoring is to observe the
swelling process in the rock mass around the tunnel
and to identify hazards due to swelling well timed.
The monitoring sections had been placed at the posi-
tions tm 1313, tm 1430, tm 1958 and tm 2100. Three
main selection criteria had been used to define the
position of a monitoring section:
the position of the anhydrite top level in reference
of the tunnel level
the existence of potential water conductivities and
the overburden
In the design and the construction of the monitoring
sections several special boundary conditions had to be
taken into account:
especially no interruption of the rail traffic during
a measurement campaign is allowed
the drainage channel, in which the most part of
the measuring device had to be installed, because
of the preceding reason, could not been used during
the complete construction time
the already existing tubbing segments had been an
other restriction for the design of the monitoring
sections
the cast-in-place concrete had been already built in
at the positions tm 1313 and tm 1430, when the
decision to install the sections had been done
the serviceable life of the monitoring section should
be at least 20 years
These restrictions had an effect as well on the type of
measurement systems as on their position in the tunnel
and the time of installation. The following different
measurement systems had been chosen:
deformation sensors at the tubbing segments
measurement of deformation and inclination in
drillings (toe of the drillings is 30 m distant to the
tunnel)

Figure 4. Diagrammatic view of the monitoring sections
placed at the Gypsum Keuper part of the Adler Tunnel,
GMI: positions of inclinometer and sliding micrometer
boreholes
PB: swelling pressure monitoring system
S: stress monitoring station
Figure 5. Installation of measuring device for the swelling
pressures acting on the tubbing segments, type PB.
measurement of the state of stress approx. 1 m
beneath the tunnel floor
swelling pressure acting on the floor tubbing
segments
Figure 4 shows the arrangement of the different
measuring devices.
Whereas the first three measurement systems men-
tioned above are more or less standard systems, the
measurement devices for measuring the swelling
pressures acting on the tubbing segments are especially
designed measurement systems. Their construction
shape looks like a plunger and the measurement
devices had been integrated in the base tubbing seg-
ments (Fig. 5).
As mentioned before the cast-in-place concrete had
been already built in at the positions tm 1313 and tm
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Copyright 2006 Taylor & Francis Group plc, London, UK
Figure 6. Position of the 14 strain gages for tubbing
deformation measurement.
1430, when the decision to install the sections had been
done. Therefore deformation sensors at the tubbing
segments could only be used at the sections tm 1958
and tm 2100. Figure 6 shows the arrangement of the
sensors.
6 MONITORING RESULTS
6.1 Deformation measurement at the
tubbing segments
The sensors for deformation measurement had been
the first measurement devices installed at the Adler
Tunnel. Therefore they have a winning margin of about
1.5 years in data collection.
Figures 7 and 8 are showing the results of defor-
mation measurements at the sections MQ1958 and
MQ2100 in the years 1998, 2001 and December 2005.
The section MQ1958 at tm 1958 has an overburden of
about 60 m while section MQ 2100 at tm 2100 has an
overburden of about 100 m.
Both sections behave in a total different way. Sec-
tion MQ2100 shows nearly completely compressive
loading of the tubbing segments, while at MQ1958 ten-
sion loading occurs in the floor elements. The different
patterns of loading are consistent in their appearance
during the years.
Section MQ2100 shows more or less the typical
loading of a tunnel lining with high compression
loading at the side walls and lower loading at the roof
and floor of the tunnel. Section MQ1958 instead shows
a more untypical scenario. High loading occurs at the
tunnel floor and at the tunnel roof. But while the load-
ing at the roof is a compressive loading, the floor is
under tension. Additional the right side wall loading
seems to be rather low.
 2.0
Geber Nr. 99-005
Geber Nr. 99-006
1.5 Geber Nr. 99-007
Geber Nr. 99-008

pressure [MPa]
1.0

0.5

0.0

Jan 99

Feb 00

Feb 01

Feb 02

Feb 03

Feb 04

Feb 05

Feb 06
Aug 99

Aug 00

Aug 01

Aug 02

Aug 03

Aug 04

Aug 05

Aug 06
time

Figure 9. Pressure evolution at the lining at section

MQ1430, type PB, during the measurement campaign 2002
one sensor had to be dismounted and re-installed which led
to the step.
Figure 7. Results of deformation measurements at
MQ1958, units: microstrain = 1*106 m/m, positive: com- 5
pression, negative: tension. Geber Nr. 46809
4 Geber Nr. 46810
Geber Nr. 46811
pressure [MPa]

0
Jan 99
Aug 99
Feb 00
Aug 00
Feb 01
Aug 01
Feb 02
Aug 02
Feb 03
Aug 03
Feb 04
Aug 04
Feb 05
Aug 05
Feb 06
Aug 06
time

Figure 10. State of stress evolution below the tunnel,

approximately 1 m below the floor, type S at MQ 1313.

6.3 State of stress below the tunnel

Figure 8. Results of deformation measurements at
MQ2100, units: microstrain = 1*106 m/m, /m, positive:
compression, negative: tension.
The evolution of deformations measured by the
different sensors is nonuniform. While most sen-
sors in 2005 show only relatively little differences in
comparison to 2001, there are some sensors showing
significant changes within the last 4 years. Especially
sensor V7 of section MQ2100 nearly doubles its value
since 2001.
6.2 Swelling pressure on the lining
Four measuring devices at each monitoring section are
recording the pressure the rock carries forward to the
lining.The pressure measured by 15 of the 16 sensors is
equal or less than 1.8 MPa and therefore not critical for
the lining. Only one sensor at section MQ1313 showed
a pressure of about 4 MPa in 2003. Fig. 9 shows the
pressure evolution at section MQ1430 with time.
The sensors which are measuring the stress in the rock
mass below the tunnel show very different behaviour.
The upper sensors, measuring stress in the axes of the
tunnel, at MQ1313 and MQ2100 show still an increase
of stress and the actual values are 3.8 MPa respectively
3 MPa. The middle and lower sensors show low val-
ues, less than 0.5 MPa, and a decrease since 2003. At
MQ1958 all three sensors show a little stress drop since
2003.
7 NATURAL PULSED ELECTROMAGNETIC
RADIATION (NPEMR)
It is well known in Geophysics that some kind of
electromagnetic radiation is produced by earthquake
processes. The electromagnetic radiation is produced
by mechanical stress changes in crystalline bodies.The
effect is called piezoelectricity. But it is not only piezo-
electricity which produce such a signal. The genesis of
the signals in the rock mass happens when mechanical
energy is transformed into electromechanical energy

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Figure 11. Measured natural pulsed electromagnetic radia-
tion in the cross section at tm 2000 of the Adler Tunnel.
Figure 12. Measured natural pulsed electromagnetic radia-
tion in the cross section at tm 2100 of the Adler Tunnel.
due to the deformation of a crystal. In reverse the
electromagnetic signal is an indication for mechanical
stress changes.
The mechanical deformation of a crystal happens in
a rock mass with billions of crystals permanently and
therefore electromagnetic emission will be produced.
Because of the short life time of those signals they are
called bursts.
A new measurement tool called CERESKOP had
been constructed to measure those signals (Obermeyer
et al, 2001) and the NPEMR-method has been suc-
cessfully tested for detecting rock slides and also first
examples of measurements in tunnels exist (Lichten-
berger, 2003).
The method has also been tested in the Adler Tunnel
and a few results will be presented. Fig. 13 shows the
measurement results obtained with the CERESKOP in
the section tm 1100 to tm 2200, which is the area with
the 4 monitoring sections. The measurement shows a
high number of bursts in the range tm 1820 up to tm
2080. At monitoring section MQ2100 only a marginal
number of burst could be registered. Also the measure-
ment at the other monitoring sections MQ1313 and
MQ1430 offer a very low number of bursts. Therefore
in this region only low swelling pressures should exist
according to the CERESKOP measurement.
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50000
30000
10000
1200 1400 1600 1800 2000 2200
Tm
Figure 13. Measured natural pulsed electromagnetic radia-
tion along the tunnel axis of the Adler Tunnel in the section
tm 1100 tm 2200, number of pulses versus tunnel meter.
The figures 11 and 12 show the radial measurement
of NPEMR at tm 2000 and tm 2100. The comparison
with the deformation measurements at the tubbing
segments shows some similarities in shape. But the
NPEMR measurements show a very high difference in
the number of bursts between the two sections, which
should result in a significant difference in the stress
field and therefore also in the loading of the tubbing
segments. As shown before there is a significant differ-
ence in loading between both sections, but the values
of the strain measurement remain more ore less in the
same order. Therefore the NPEMR measurements will
be used as an indicator for stress, but at the moment
a determination of stress values by NPEMR is not yet
possible.
REFERENCES
Anagnostou, G. 1992: Studies on the static design of tunnels
in swelling rocks, publication no. 201, IGT, ETH Zrich
Flckiger, A.; Madsen, F.; Nesch, R. 1993: Literature
research on the subject swelling of sulfate rock (in
German)
Lichtenberger, M.: Spannungsmessungen in untertgigen
Hohlrumen mit der NPEMFE-Methode, Diplomarbeit,
Geologisch-Palontologisches Institut, Universitt Hei-
delberg
Madsen, F.T. & Nesch, R. 1991: The swelling behav-
ior of clay-sulfate rocks, Proceedings 7th International
Congress on Rock Mechanics, Aachen
Meyer, M. 2001: The geology of the Adler Tunnel, Bull.
Angew. Geol., Vol. 6, Nr. 2 (in German)
Noher, H.-P.; Kister, B.; Allia, V. 2002: Subrosion and
swelling geotechnical problems at the Adler Tunnel
monitoring results and their interpretation (in German)
Obermeyer, H.; Lauterbach, M.; Krauter, E. 2001: Monitor-
ing landslides with natural electromagnetic pulse radia-
tion, International Conference on Landslides Causes,
Impacts and Countermeasures, Davos, Switzerland
Vgtli, B. & Jordan, P. 1997: 5th interim report on the research
project swelling behaviour of Jurassic rocks, subproject:
swelling behaviour of argillaceous and sulphate rocks at
underground structures of northern Switzerland under nat-
ural, subnatural and experimental conditions (in German)
Vgtli, B. & Jordan, P. 1996: 4th interim report on the research
project swelling behaviour of Jurassic rocks, subproject:
swelling behaviour of argillaceous and sulphate rocks at
underground structures of northern Switzerland under nat-
ural, subnatural and experimental conditions (in German)
 EUROCK 2006 Multiphysics Coupling and Long Term Behaviour in Rock Mechanics
Van Cotthem, Charlier, Thimus & Tshibangu (eds)
2006 Taylor & Francis Group, London, ISBN 0 415 41001 0

Creep analysis by the velocity method

A.K. Parkin
Snowy Mountains Engineering Corporation (SMEC Australia), Melbourne, Australia

ABSTRACT: The Velocity Method, as originally developed for the determination of cv for consolidating clay is
a versatile approach for interpreting, or predicting, creep deformation in geo-materials that particularly include
rock and rockfill. Long-term creep extrapolation, unlike clay consolidation, cannot be accelerated for laboratory
study, and predictions can be wildly in error because of the occurrence of discontinuities that appear to be an
intrinsic feature of creep. It is shown here that the Velocity Method is, firstly, a tool for interpreting the processes
of creep, and secondly, by the identification and isolation of discontinuities, that it may permit enhanced accuracy
of creep prediction. In some cases, the method may draw attention to internal phenomena of significance that
have gone undetected for many years. Examples are drawn from foundations on, and piles into soft rock, and
from deformation measurements on earth and rock, and faced rockfill dams.

1 INTRODUCTION

In the geotechnical environment, time-dependent set-

tlement is most often an issue arising from the con-
solidation of fine-grained soils under imposed load.
This is a process in which the settlement behaviour is
controlled by the rate at which water is able to flow
from the voids under a hydraulic gradient, and there-
fore, importantly, it does not exhibit any discontinuity.
In this process, the soil particles slide into a more com-
pact arrangement as the soil skeleton develops more
particle contacts and an increased effective stress.
However, compression does not necessarily terminate
with the final dissipation of excess pore water pres-
sure, but may continue as a creep at constant (perhaps Figure 1. Oedometer test on rockfill (Parkin, 1990).
zero) pore pressure, which is considered to result from
a further viscous sliding of the soil particles. Depend- For rockfill, which is free-draining, even if com-
ing on plasticity and organic content, soils may vary pacted, there can be no hydrodynamic action, and its
widely in the extent to which they are subject to this angular nature ensures that particle fragmentation
secondary phase wherein the settlement-time function under high contact loading will be the dominant
is generally considered to be semi-logarithmic. mechanism of deformation. Hence, in oedometer com-
Creep is therefore a time-dependent deformation pression testing, the time-compression relationship (in
that may occur in any geo-material, but which charac- semi-logarithmic format, Fig. 1) consists of a very
teristically does not involve the hydrodynamic move- rapid initial compression (within minutes), possibly
ment of water out of voids. For rock materials, it may accounting for >70% of the total 24 hour defor-
occur in intact material where it is likely to result from mation, followed by a linear section whose slope
the development and release of stress concentrations, defines the coefficient of secondary compression C
with zones of yield or shear, or it may be observed (Wahls, 1962):
in fragmented material, such as rockfill and gravel,
where the crushing of particle contacts may be the
principal mechanism. By contrast with consolidation,
such deformations are not constrained to be smooth This parameter is equally applicable to clays (as pro-
and continuous, and are very likely to be subject to posed by Wahls), although the mechanisms may be
some discontinuity. quite different.

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Copyright 2006 Taylor & Francis Group plc, London, UK

 Figure 2. Oldbury A reactor settlement (Meigh, 1976).
For intact rock, deformation will normally con-
sist of an immediate elastic component, followed by
a creep component that may vary greatly in signif-
icance, as, for example, in the case of the Oldbury
nuclear reactors, as reported by Meigh (1976). These
heavy foundations on Triassic marl experienced creep
settlements in excess of 50 mm over 10 years or so,
initially semi-logarithmic in form, but deviating strik-
ingly at a later stage (Fig. 2). In a brittle material, this is
likely to result from stress concentration and fracture.
2 RATE METHODS FOR CREEP ANALYSIS
From the origin of clay consolidation theory in
the 1920s, settlement analysis has focused on the
settlement-time relationship, as plotted to an appropri-
ate mathematical scale, most often semi-logarithmic.
More recently, it has been shown (Parkin 1978) that a
velocity-time plot, as derived by differencing raw dis-
placement readings and presenting on log-log scales,
is not only sufficient for evaluating consolidation prop-
erties, but significantly more accurate through the
elimination of irrelevant inputs (Fig. 3).
The velocity plot for clays then consists of an ini-
tial (primary) portion at a slope of 0.5, steepening
into the secondary region (Parkin, 1990). However, for
rocks and rockfills, there will be no primary region and
the velocity plot is then found to consist of a straight
line of slope 1.0 for a wide range of materials, com-
mencing effectively from the instant of loading. This,
of course, ensures that the integral plot, as normally
used, will be close to linear in semi-log format. How-
ever, as explored later, the velocity plot shows up many
cases of discontinuities in the creep record that are
almost an intrinsic feature of creep motion, and which
will cause a semi-log settlement plot to depart from
the C line.
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Copyright 2006 Taylor & Francis Group plc, London, UK
Figure 3. Velocity Plot for clay consolidation.
Significantly, whereas C is a stress-dependent
material property to be derived from testing, the
velocity slope is only defined by the mechanism, so
that it regenerates following any creep discontinu-
ity. By contrast, the early part of Fig. 3 has another
slope where the mechanism is entirely different. Also,
because small errors lead to divergence in the differ-
encing operation, there may be a need to use multiple
time increments in order to bring any discontinuity
into focus. A further parameter of significance is the
time of origin, to , at the initiation of creep, which may
or may not be readily established, as seen hereafter.
For rockfill in oedometer compression, load appli-
cation is quick so that to is clearly zero, in the absence
of consolidation. A typical result for a siltstone rockfill
is shown in Fig. 4, exhibiting a decay slope of 1.0,
interrupted by a single discontinuity. This is of a lock-
up type within the confines of the oedometer and
would clearly lead to a slope change in the usual pre-
sentation. Similar discontinuities have been reported
from testing on clays, rockfills and soft rocks and
described by Bishop (1974) as limited instabilities.
In particular, he observed that it was not possible to
eliminate these features even with meticulous care,
and they appear to be an intrinsic component of creep
wherever it occurs.
3 SOME CASE HISTORIES OF DAMS
With progressively loaded structures such as dams, to
may not be readily identifiable. A possible means to
identify it is to plot the reciprocal of creep rate against

Figure 4. Creep test, Sugarloaf siltstone (Parkin, 1985).
Figure 5. Cedar Cliff dam (Data: Sowers et al., 1965).
time, as in Fig. 5, and read the time intercept if a
satisfactory line can be obtained. This should lead to
a creep slope of 1.0, as below.
Generally, a time-of-origin at end of construction
of the main fill (EoC) gives a creep line as above, but
in other cases, it may be more difficult. Wilmot dam,
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Copyright 2006 Taylor & Francis Group plc, London, UK
Figure 6. Creep rate, Wilmot dam (Parkin, 1985; 1990).
the first faced-rockfill dam to be built by the Hydro-
Electric Commission of Tasmania (Cole, 1971), is one
such case. Here the main body of rockfill, derived
from hard greywacke, was completed in November
1968, but the creep plot of crest settlements is consid-
erably steeper than 1.0, implying that the assumed to
is inappropriate for some reason.
From a scrutiny of operations in the 16 month period
from embankment completion up to the commence-
ment of filling, face construction was found to take a
further 10 months, during which a settlement of 10 mm
was recorded on hydrostatic settlement gauges. In the
succeeding 4 months, settlement was negligible, indi-
cating behaviour not at all consistent with Fig. 6 below.
It therefore appears that a new phase of settlement
began during filling, and a time-of-origin taken at this
point indeed leads to a slope of 1.0.
Whilst in many cases points may conform well to
a 45 creep line, as in Fig. 5, this is strikingly not
so for others, for which there has to be a reason.
One example is to be found in Rowallan dam, an
earth-cored rockfill dam with a central spillway sec-
tion (Mitchell et al., 1968). The core is a well-graded
weathered till, derived from quartzite and dolerite,
while the rockfill is quartzite and schist. Taking EoC
at January 1967, the velocity plot shows a substan-
tial scatter, but still clearly conforming to a global
trend at slope 1 (Fig. 7). Filling was slow, as indi-
cated, but with the final third occurring during months
7 and 8 and causing accelerated settlement by wet-
ting of the upper levels. However. with settlement
markers founded in the rather plastic and somewhat
unusual core, and by examination of rainfall records,
there are some grounds for attributing this feature to
shrink-swell movement in the core.
A similar example is to be found in Cethana dam,
another concrete-faced rockfill and also a compo-
nent of Mersey-Forth development in Tasmania. This

Figure 7. Settlement rate, Rowallan Dam (Parkin, 1985).
Figure 8. Settlement rate, Cethana dam (Parkin, 1985).
consists of a well-compacted quartzite rockfill, essen-
tially completed by November 1969, except for a final
11.5 m added in October 1970 (adopted EoC) after
construction of the concrete face (Fitzpatrick et al.,
1973). In this case, however, the crest markers are
located in the parapet wall, so that readings are influ-
enced by movements in the facing slab. As a result,
settlement reached 20 mm/month (well off scale) in
April 1971 as the lake rapidly filled 30 m with very
cold water (around 6 C) and thereafter the scatter
reflects temperature changes during the rise and fall
of water level. Meanwhile, the underlying trend from
the settling rockfill is maintained (Fig. 8).
4 LOAD TESTS ON LARGE BORED PILES
Bored piles socketed into soft rock may also be sub-
ject to creep deformation, and valuable information is
346
Copyright 2006 Taylor & Francis Group plc, London, UK
Figure 9. Creep behaviour in end-bearing piles.
available from an investigation by Williams (1980). In
this study, test piles of 1 m dia. were constructed in
highly to moderately weathered siltstone in a motor-
way cut of 5 m depth (S) and in a nearby brick pit at
about 25 m depth (M), in the eastern suburbs of Mel-
bourne. These sites allowed for the piles to be loaded
to failure (rarely possible) and subsequently excavated
for examination. Some of these piles were designed
to operate in side friction only, with a collapsible
base, while some were to operate in end-bearing only.
Loading was applied in stages, mostly of 1 hour, and
increased up to failure, with sufficient data available
to construct velocity plots.
Results from two end-bearing pile tests are shown
in Fig. 9, one at depth and within a working range
(F = 2.8) and one as a surface footing on rather softer
rock (from Parkin, 1990). For each test there are two
plots, one plot of raw data and the other with an inter-
pretation superimposed. For test M5, the creep is of
routine form, with slope 1.0. For test S4, behaviour
is more complex, but a coherent picture emerges if
a 45 set square is used to construct segments at
this slope, which shows that there is a development
from a stable creep at 3000 kN into a rapidly dete-
riorating condition at 4350 kN, with a developing
pattern of fractures. For this test, some tilting began
at 2550 kN, increasing to around 1 in 27 at maximum
load, when the pile was deemed to have failed.
A typical result for the side friction piles is shown
in Fig. 10, again presented as a plot of raw data and
then with an interpretation superimposed. This shows
the final stage of loading on a 1m dia. embedded
pile, when creep settlements became substantial. Inter-
pretation as before shows a succession of slips, of
diminishing magnitude at this point, but clearly close
to failure (which occurred on loading to 5100 kN).
Final excavation showed that shearing had mostly
taken place through the roots of the deliberately-
formed helical asperities (12 mm) in the socket wall,
creating a shear zone about 100 mm thick.

Figure 10. Creep behaviour in side friction piles.
5 SETTLEMENTS AT UPPER YARRA DAM
UpperYarra Dam is 90 m high embankment located on
the headwaters of the Yarra River some 100 km east
of Melbourne, supplying urban water to that city. It
consists of a central core of clay/soft rock, grading out
progressively to dumped rockfill shoulders, won from
Devonian sedimentary rocks. Because of a shortage
of clay in the earlier stages, the core was narrowed
appreciably, but widened out again in the upper levels
as a new source of clay was located. This resulted in
a Christmas tree section that may have made some
parts the structure sensitive to differential settlement
(Fig. 11).
In a routine safety review (SMEC 1998), plots of
crest settlement at maximum section (station M5,
above the clay core), were prepared, initially to linear
and semi-logarithmic time scales (Fig. 12). While total
settlement (0.57%H) is well within acceptable limits,
347
Copyright 2006 Taylor & Francis Group plc, London, UK
Figure 11. Upper Yarra Dam at maximum section.
Figure 12. Upper Yarra crest settlement (linear and log)
(SMEC, 1998).
these curves are rather irregular and were not sugges-
tive of approaching equilibrium, as might be expected.
However, on preparing a velocity plot (Fig. 13), a strik-
ing discontinuity is noted, wherein an initial phase of
decaying (transient) creep is interrupted by a period of
accelerating creep before returning again to a decaying
creep. The slope of the final section is not well defined,
as is normal because of the very small movements at
that stage, but can most reasonably be taken as parallel
to the initial section (noting that the log plot ensures
that errors are considerably magnified on the low side).
As the discontinuity of Fig. 13 would be typical of an
internal slip or yield within a rock mass, a field inspec-
tion was undertaken wherein differential settlement
scarps of around 150 mm were observed along the
downstream edge of the crest, at the apex of the rock-
fill shoulder. Whilst other interpretations are possible,
the scarps are indicative of some internal adjustments
having occurred.
A further examination of internal cross-arm deflec-
tions in the clay core showed that severe local strain had
occurred at a level around 12 m below the crest over

Figure 13. Upper Yarra Damvelocity plot, max section
(SMEC, 1998).
the period 196768, effectively amounting to a loss of
100 mm of material from the core. This period, coin-
ciding with the discontinuity of Fig. 13, happened to be
a time of severe drought, with a major drawdown of the
reservoir, but the crest settlement cannot be attributed
to desiccation or increased effective stress because of
the extreme localisation of internal strain. The velocity
plot therefore points to an internal movement having
occurred at this time, manifesting exactly as it would in
a rock mass.Whilst settlement had been continuously
monitored since construction (1957), this technique
provided the first insight into possible causes for this
irregularity some 30 years before.
There is no external evidence (such as horizon-
tal displacement or failure of the cross-arms) of a
slip instability having occurred anywhere. This sug-
gests that this feature is most likely due to an internal
differential adjustment having occurred. Importantly,
because crest settlements and cross-arm strains are
a mass response, they cannot reasonably infer the
presence of any localized void or defect.
These observations prompted an extensive inves-
tigation, consisting of CPT probes and installed
inclinometers, and expert review, but without a final
resolution as to the mechanism involved. In an early
phase, an inclined borehole was drilled from the crest
in order to install an inclinometer through the crest
and transition zones. At a depth of 12 m, drilling was
terminated when a complete loss (400 l) of mud flush
occurred, confirming this as the location of interest,
but with all further studies unable to show up any
defect of concern. Hydraulic fracture suggests itself as
an explanation, although considered unlikely by this
writer. In this regard, Sherard (1970) has noted that
the loss of drill water from boreholes drilled into the
348
Copyright 2006 Taylor & Francis Group plc, London, UK
impervious cores of well-constructed earth dams is a
relatively common occurrence, where there is no other
evidence of cracks or defects, and where the dams have
continued to serve faultlessly.
These unresolved issues have, however, prompted
a thorough examination of filtering capacity, with the
grading through the downstream zones being deemed
adequate for this purpose, even in the absence of a
dedicated filter zone.
In conclusion, the velocity method, as applied in
this example, provided insight into a problem that was
unavailable from traditional monitoring procedure,
and provided an explanation for the 4-fold increase
in C (Fig. 13) that is otherwise beyond explanation.
6 CONCLUSIONS
It has been shown, by way of case histories and other
test data, that theVelocity Method is able to expose new
information encrypted within a creep record that can-
not otherwise be extracted from the traditional forms
of settlement-time plotting. This can lead to enhanced
understanding of the underlying mechanics of the
motion, and this may in turn permit deformation
predictions to be made with considerably greater reli-
ability and accuracy. The method is equally applicable
to dams, rockfills and rocks, wherever creep occurs,
regardless of the underlying mechanisms. It also has
an application to clay consolidation, but with some
differences due to the initial hydrodynamic phase then
present.
ACKNOWLEDGEMENTS
Grateful acknowledgement is made to Melbourne
Water Corporation for permission to incorporate pre-
viously unpublished material relating to Upper Yarra
Dam. Other case histories are from previously pub-
lished sources, using data made available from the
Hydro-Electric Commission of Tasmania and from
doctoral investigations of Dr A.F. Williams.
Grateful appreciation is expressed to all these
sources. Interpretations on these case histories are,
however, those of the writer, and may not be those
of the Authorities and persons concerned.
REFERENCES
Bishop, A.W. 1974. The strength of crustal materials. Engi-
neering Geology (Special Issue), v8, pp. 139153.
Cole, B.A. 1971. Wilmot rockfill dam-concrete face deflec-
tions ANCOLD Bulletin 33, pp. 1926 (Aust. Nat. Com-
mittee on Large Dams).
Fitzpatrick, M.D., Liggins, T.B., Lack, L.S. and Knoop, B.P.
1973. Instrumentation and performance of Cethana dam.
11th Congress ICOLD, Madrid, v3, pp. 145164.
 Meigh, A.C. 1976. The Triassic rocks, with particular ref-
erence to predicted and observed performance of some
major foundations. 16th Rankine Lecture, Geotechnique
26:3, pp. 391452.
Mitchell, W.R., Fidler, J. and Fitzpatrick, M.D. 1968. Rowal-
lan and Parangana rockfill dams. J. Ins.t Engrs. Australia,
40, pp. 239249.
Parkin, A.K. 1978. Coefficient of consolidation by the veloc-
ity method. Geotechnique 28:4, pp. 4724. Also: 10th
ISSMFE, Stockholm, 1:7236.
Parkin, A.K. 1985. Settlement rate behaviour of some fill
dams in Australia. 11th Int Conf ISSMFE, Stockholm,
1:4448.
Parkin, A.K. 1990. Creep of rockfill. NATO Advanced Study
Institute on Rockfill, Lisbon, published as: Advances in
Rockfill Structures (Ed E Maranha das Neves), Chap 18
pp. 221237 (Kluwer, Netherlands).
349
Copyright 2006 Taylor & Francis Group plc, London, UK
Sherard, J.L. 1970. Discussion to Q.36 (Loss of water
in boreholes.). 10th Congress ICOLD, Montreal, v6
pp. 377381.
SMEC Victoria 1998. Embankment safety review of Upper
Yarra Dam. Consultant Report to Melbourne Water Cor-
poration.
Sowers, G.F., Williams, R.C. and Wallace, T.S. 1965. Com-
pressibility of broken rock and the settlement of rockfills.
6th Int Conf ISSMFE, Paris, 1:335340.
Wahls, H.E. 1962. Analysis of primary and secondary
consolidation, J . Geotech Eng Div, ASCE, 88:SM6,
pp. 207231.
Williams, A.F. 1980. The design and performance of piles
socketed into weak rock. PhD thesis, Monash Univer-
sity, Australia. (see also: 3rd Aust-NZ Conf Geomech,
1:8794).
 EUROCK 2006 Multiphysics Coupling and Long Term Behaviour in Rock Mechanics
Van Cotthem, Charlier, Thimus & Tshibangu (eds)
2006 Taylor & Francis Group, London, ISBN 0 415 41001 0

Analysis of delayed convergences in a carbon zone of the

Ltschberg Tunnel

F. Sandrone, J.-P. Dudt, V. Labiouse & F. Descoeudres

Rock Mechanics Laboratory, EPFL, Lausanne, Switzerland

ABSTRACT: During the excavation of the Ltschberg Base Tunnel (Switzerland), large convergences (radial
deformations up to 10%) and even some local instabilities were observed in a 500 m long carbon zone. The Rock
Mechanics Laboratory (LMR) of the cole Polytechnique Fdrale in Lausanne (EPFL) was involved in the
interpretation of the wall displacements. The aim of the study was to predict the long term convergences. This
information is necessary to fix the time delay before placing the definitive concrete lining in order to prevent
any overstress and eventually a collapse in long term. This paper compares the results of three different models
that were used for the interpretation of the delayed convergences in this carbon zone.

1 INTRODUCTION between Germany and Italy, connecting also the west-

ern part of Switzerland and develops a trucks loading
Ground deformation monitoring through convergence operation.
measurements in tunnelling is a common mean not This tunnel is about 35 km long from Frutigen,
only for assuring safety and construction quality, but in the Kandertal Valley (Canton of Bern) to Raron
also for controlling and having a better understanding (Canton of Valais). As shown in Figure 1, the tun-
of the behaviour of the ground-support system, both nel has a NorthSouth axis: the Northern Portal is at
in the short and in the long term.
In order to reduce risk during and after construction,
prediction and measurement of ground movements
has become an essential part of tunnel design.
This paper shows and compares the results of three
different models that were used for the interpretation
of the delayed large convergences measured in a 500 m
long carbon zone encountered during the excavation
of the Ltschberg Base Tunnel.
The first model for the interpretation of the rock-
mass convergence is simply based on creep effects
(visco-elasticity). The second interpretation is based
on the method proposed by Sulem, Panet & Guenot
in 1987 which, in combination with time effects,
accounts for effects provided by the advancing tunnel
face. The third analysis of the measurements is based
on the model proposed by Fritz in 1984 which assumes
an elasto-viscoplastic behaviour of the rock mass.
The parameters for the different models are found
by a curve fitting of the wall displacements monitored
during almost one year in several sections of the two
tubes located into the carbon zone.

2 THE LTSCHBERG BASE TUNNEL

The Ltschberg Base Tunnel is a part of the European

High Speed Network. It provides a railway link Figure 1. Ltschberg Base Tunnel (Switzerland).

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Copyright 2006 Taylor & Francis Group plc, London, UK

 Tellenfeld near Frutigen (780 m altitude above sea
level) and the Southern Portal is at Raron (660 m
altitude above sea level).
The tunnel consists of two parallel single track
tubes of 65 m2 of section with about 40 m of distance
between the axes. The excavation started in 1999 from
five sites: Frutigen, Mitholz, Ferden, Steg and Raron.
Only one tube (East tube) will be completely finished
with a definitive lining, while the northern part of the
West tube could be furnished in the future.
2.1 General geological conditions
The northern part of the tunnel passes through various
geological formations (Helvetica Plate):
flysch,
sandstone (Taveyannaz series),
flysch, marlaceous lime, limestone (Wildhorn and
Doldenhorn nappe),
kakirites and soft and plastic sediments (Kandersteg
stone),
granite (Aar massif).
In the southern part the tunnel is excavated in
Triassic sediments of limestone and shale and then in
crystalline rocks (Aar massif).
2.2 The carbon zone
At the end of 2003, in contrast to the geological pre-
dictions for the northern zone near the Mitholz lateral
adit (km 29), where it was supposed to be excavated
in the granite massif, the tunnel crossed the base sedi-
ments of sandstone and silt-stone and encountered up
to 1 m thick beds of carbon and anthracite. In order
to cope with the fast closure of the tunnel walls, some
urgent measures were taken immediately. First, the lin-
ing was reinforced by radial anchors and shotcrete up
to 15 cm thick. Then, as the movements did not stop,
the thickness of the shotcrete was increased to 21 cm,
TH steel sets were put every 0.5 m and four longitudi-
nal cuts of about 25 cm were opened in the shotcrete
lining in order to let the walls converge, preventing
stability problems caused by overstress.
After some local instabilities registered in one of
the transversal connections between the two tubes (QV
48), on April 2004, it was decided to change the exca-
vation shape to a circular geometry (from km 30.430
in the east tube) and to add lining stress controllers
into the longitudinal cuts (Keller 2005).
primary lining were regularly measured. The values
were composed by three different displacements:
horizontal,
vertical,
longitudinal.
After a first general study of the movements, it was
decided to analyse the radial convergences as they were
the predominant movement of the rock mass.
Four representative sections were chosen, two for
each tube. The choice has been done in order to study
any possible interaction between the two tubes and
also to investigate the extension of the yielded zone.
The sections analyzed were respectively: 30.400 OST
and 30.440 OST for the East tube, 30.425 WEST and
30.475 WEST for the West tube.
Three different models have been used to interpret
and extrapolate the convergences in this zone:
1. a visco-elastic model;
2. the model proposed by Sulem, Panet and Guenot in
1987 in which time effects are separated from face
advancing effects;
3. the elasto-viscoplastic model proposed by Fritz in
1984.
3.1 Visco-elastic model
As ground exhibits creep deformations, the first model
applied to interpret the convergence measurements of
the tunnel walls, was described by an exponential
curve, Equation (1). This model assumes a visco-
elastic behaviour of the rock-mass and is represented
by a spring in series with a Kelvin-Voigt model
(a spring and a dashpot in parallel), as in Figure 2:
In Equation (1) t0 is equal to 30 days, t0 is
the convergence measured after 30 days and the

3 CONVERGENCES INTERPRETATION

On June 2004 LMR EPFL started the analysis of the

convergences of the Ltschberg Tunnel carbon zone.
The displacements of four points placed on the tunnel
crown and on the walls during the construction of the Figure 2. Visco-elastic material.

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Copyright 2006 Taylor & Francis Group plc, London, UK

 convergence at t = is (t0 + ). T represents a con- measurements started, and at distance x, expressed in
stant related to time dependent properties of the rock meters, from the excavation face. x, represents the
mass and is thus an estimation of the creep speed. time-independent convergence of the rock-mass, X
The value of t0 was chosen after observing that an is a constant which represents the distance of influ-
interval of about 30 days was necessary for the walls ence of the face, T a constant of time which describes
displacement to become symmetrical and to show a the rheological behaviour of the rock-mass and m a
rather similar time-behaviour. non dimensional constant which depends on ground
The results of this model, for the four analysed conditions.
sections, are shown in Figure 3. The results for the four analysed sections are shown
The measured values are well described by an expo- in Tables 1, 2 and Figures 4, 5. The curve fitting was
nential curve until about the end of August 2004 (dates performed on the measurements represented by full
shown in the graph, Fig. 3). As it is possible to see, marks and was completed in October 2004. The con-
this model could be considered valid for the first 100 vergences occurring after the curve fitting, until May
days of convergence monitoring. The major limit of 2005, are represented by empty marks for an easier
this kind of interpretation is that it can not take into comparison with the model prediction.
account the face advance rate, more particularly, the With detailed information about the advance of the
successive stops and starts in the tunnel excavation. face, reinforcement and reshaping interventions in the
The gap between the extrapolated curve of the model tunnel, it was possible to fit the model to the measure-
and the real measurements, represented by empty ments and find the values of the different parameters.
marks, shows that a visco-elastic model produces an The values for the four sections are remarkably con-
underestimation of the long term convergences of the stant: T varies between 35 and 41 days and X between
tunnel. 31 and 48 m. This last parameter can be read also
in terms of area of influence of the face. According
3.2 Combination of face and time effects to Sulem, Panet & Guenot, this area has an exten-
sion of about four times the value of X . In the case
As the movements continued during interruption of of the Ltschberg tunnel the influence area is thus
excavation and convergence curves showed pro- about 200 m long. The wide extension of this zone
nounced changing slopes when the excavation of influence could result from the interaction between
advanced in the two tubes, it was decided to use a the yielded areas generated around both the two tubes.
second model to interpret and extrapolate the mea-
surements. In the framework of the convergence-
confinement method, Sulem, Panet & Guenot (1987) Table 1. Parameters of the Sulem, Panet & Guenot model.
proposed to introduce a model, considering both time
and face effects, to better describe the behaviour of 30.400 30.440 30.425 30.475
the tunnel after its excavation. The model is shown in OST OST WEST WEST
Equation (2):
x, (m) 0.536 0.545 0.458 0.890
X (m) 38.3 44.2 48.0 31.7
T (day) 41.0 41.0 35.7 41.0
m () 0.688 0.695 0.768 0.752
t0 (day) 1 2 2 2
In Equation (2), x,t is the convergence at time t, x0 (m) 5 3.5 6 3.5
measured in days from the day t0 when convergence

Table 2. Convergences by Sulem, Panet & Guenot model.

30.400 30.440 30.425 30.475

OST OST WEST WEST

(cm) 90.5 92.4 81.0 156.0

0 (cm) 11.7 7.8 9.7 17.0
0 (cm) 78.8 84.6 71.3 139.0
200 0 (cm) 57.1 70.0 61.0 99.6
200 (cm) 21.7 14.6 10.3 39.4
( 200 )/ 38 21 17 40
(200 0 ) (%)
V200 (mm/week) 2.99 3.19 29.84 5.40
Figure 3. Convergences interpretation by visco-elastic V300 (mm/week) 1.18 1.35 4.11 2.39
model.

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Copyright 2006 Taylor & Francis Group plc, London, UK

 Figure 4. Convergences interpretation by Sulem, Panet & Figure 5. Convergences interpretation by Sulem, Panet &
Guenot model for the East tube. The full marks are the mea- Guenot model for the West tube. The full marks are the mea-
surements used for the curve fitting and the empty marks are surements used for the curve fitting and the empty marks are
the convergences measured afterwards. the convergences measured afterwards.

This kind of interpretation shows its limits espe-

cially during reinforcement and reshaping periods (e.g.
sections 30.425 WEST & 30.475 WEST, Figs 4, 5).
The interaction between the East and the West tubes
due to a yielded area larger than the distance between
the tunnels may explain some local discrepancies
between the measurements and the model. These
zones, where the curve of one of the two tubes doesnt
Figure 6. Statical model of the tunnel.
fit the measurement points, correspond to a period of
interruption of face advance and interventions in the
second tube. This results in an anomaly of the calcu- Considering = 1.0, the initial stresses in the rock
lated rate of convergence after 200 days for the section mass are v0 = h0 = 33.8 MN/m2 .
30.425 WEST, as one can see on Table 2. The internal pressure pi is taken as 0.3 MPa, cor-
responding to the maximum stress induced by the
3.3 Elasto-viscoplastic model anchors on the tunnel walls.
The elasto-viscoplastic model and its parameters
In 1984, Fritz proposed a model based on an analyti-
are shown in Figure 7. The Hooke element, which rep-
cal solution for an axisymmetrical tunnel excavated in
resents the linear elastic behaviour of the rock mass
an elasto-viscoplastic rock-mass. The parameters for
at the instant of loading, is characterised by = 0.3
describing the statical tunnel conditions, represented
while theYoungs Modulus, E, is one of the parameters
in Figure 6, are:
derived from the curve fitting. The Mohr Coulomb cri-
H = 1300 m, terion characterises the peak and the residual strengths
Ri = 5.0 m, of the rock mass and its parameters were determined
= 26 kN/m3 . from laboratory tests. Friction angle and cohesion are

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Copyright 2006 Taylor & Francis Group plc, London, UK

 p = 35 and cp = 1.5 MPa in peak conditions and
r = 35 and cr = 1.0 MPa as residual values. The non
associated flow rule is described by a dilatancy angle
of 20 .
In order to take into account the movements hap-
pening before the first measurement, the initial con-
vergence, 0 , has been taken equal to 35% of the total
convergence, .
The results of this analysis for the four sections,
together with the values of the Youngs Modulus, E,
and the viscosity coefficient, , that best fit the mea-
surements, are represented in Figures 8, 9. The values Figure 7. Elasto-viscoplastic model and parameters: a
of E derived from the curve fitting (1.8 GPa to 3.0 GPa) spring (Hooke element) is put in series with a slider (plastic
element) and a dashpot (viscous element).
are comparable to the laboratory data (3.0 GPa to
5.0 GPa).
As it was done for the interpretation with the Sulem,
Panet & Guenot model, Table 3 summarises for each
section the main results: i.e. total and initial conver-
gences and rates after 200 and 300 days.

4 COMPARISON AND CONCLUSION

Among the three proposed models, only the last two are
found appropriate for interpreting the convergences of
the tunnel during its construction.
Indeed, the results obtained with the visco-elastic
rock-mass model dont fit the measured long term
convergences.
On the other hand, the model of Sulem, Panet &
Guenot and the interpretation proposed by the elasto-
viscoplastic model of Fritz show better results. These
models were used to predict the future stability con-
ditions of the rock-mass and of the primary support
and finally to determine the optimal time delay before
concreting the final lining.
Both analyses have some limits to represent local
events such as deformations caused by reinforcement
and reshaping operations during interruption of exca-
vation. Moreover, the distance between the two tubes
seems to be not sufficient to avoid interactions between
them, as shown by the curve fitting during periods of
interruption of face advance and interventions.
In terms of extrapolation and prediction of long
term stability conditions, the two models produce dif-
ferent results. This is due to different approaches:
the 3D stabilizing effect provided by the tunnel face
and accounted for in the Sulem, Panet & Guenot
interpretation is not taken into consideration with the
elasto-viscoplastic model proposed by Fritz. Now, this
effect seems to be very important as confirmed by the
calculated value of X : the extension of the zone of
influence of the advancing face is almost 200 m long. Figure 8. Convergences interpretation by Fritz model for
On the contrary, the interpretation proposed by Fritz the East tube. The full marks are the measurements used for
allows obtaining viscosity values directly by curve the curve fitting and the empty marks are the convergences
fitting. measured afterwards.

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Copyright 2006 Taylor & Francis Group plc, London, UK

 Table 3. Convergences by elasto-viscoplastic model. Another difference is noted for the expected conver-
gences after 200 days (Tables 2, 3). In Sulem, Panet
30.400 30.440 30.425 30.475 & Guenot model, time effects are still very impor-
OST OST WEST WEST tant a long time after the excavation of the tunnel. As
shown in Equation (2), only for times much longer than
(cm) 88.7 106.5 88.7 147.9
T (at least t = 5 T ) the convergence tends toward
0 (cm) 31.0 37.3 31.0 51.8
0 (cm) 57.7 69.2 57.7 96.1 an asymptote = . This difference has real conse-
200 0 (cm) 56.7 66.8 53.7 95.0 quences in terms of design and realization of the
200 (cm) 0.8 2.4 4.0 1.1 definitive lining. In order to know which model best
( 200 )/ 1.5 3.6 7.5 1.2 predicts the long term behaviour of the tunnel, it was
(200 0 ) (%) suggested to continue the convergence monitoring in
V200 (mm/week) 1.15 2.70 3.54 1.60 the West tube which wont be furnished in the near
V300 (mm/week) 0.15 0.56 1.01 0.19 future and which will be used as a service tunnel.

REFERENCES
Descoeudres, F., Dudt J.-P., Sandrone, F. & Labiouse, V. 2005.
Interpretation und Extrapolation der gemessenen Konver-
genzen in der Karbonzone des Ltschberg-Basistunnels.
In Dokumentation SIA D 0215, Fachtagung fr Untertag-
bau; Proc. Swiss Tunnel Congress, Lucern, 22 June 2005:
3943.
Fritz, P. 1984. An analytical solution for axisymmetric tun-
nel problems in elasto-viscoplastic media. Numerical and
analytical methods in geomechanics 8: 325342.
Keller, M. 2005. Die Beherrschung der Hohlraumverfor-
mungen in der Karbonzone. In Dokumentation SIA D
0215, Fachtagung fr Untertagbau; Proc. Swiss Tunnel
Congress, Lucern, 22 June 2005: 3137.
Sulem, J., Panet, M. & Guenot, A. 1987. Closure analysis in
deep tunnels. Int. J. of Rock Mec. and Mining Science &
Geomechanics Abstracts 24(3): 145154.

Figure 9. Convergences interpretation by Fritz model for

the West tube. The full marks are the measurements used for
the curve fitting and the empty marks are the convergences
measured afterwards.

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Copyright 2006 Taylor & Francis Group plc, London, UK

 EUROCK 2006 Multiphysics Coupling and Long Term Behaviour in Rock Mechanics
Van Cotthem, Charlier, Thimus & Tshibangu (eds)
2006 Taylor & Francis Group, London, ISBN 0 415 41001 0

Rock rheology time dependence of dilation and stress around a tunnel

P. Vn
KFKI, Institute of Particle and Nuclear Physics, Theoretical Department and Montavid Research Group, Budapest,
Hungary

Z. Szarka
University of Miskolc, Institute of Mathematics, Miskolc, Hungary; and Montavid Research Group, Budapest,
Hungary

ABSTRACT: There are several areas of engineering practice where material models considering memory
effects play and important role. Among the different rate dependent constitutive laws simplicity and thermo-
dynamic consistency are essential. Here we consider a rock continuum described by the Poynting-Thomson
material model and give a new analytic solution around a circular tunnel. The time changes of dilation, strain
and stress are calculated as a function of material parameters. One of the important properties of the solution is
the existence of prompt dilations after the opening. This important qualitative effect cannot be easily observed,
however, it can contribute to the asymptotic behavior of the rock mass. The relation of the results to numerical
calculations and more complex geometries is mentioned. The importance in tunnel construction and durability
is emphasized.

1 INTRODUCTION

Material models for the memory properties of mate-

rials play an important role in the civil and mining
engineering practice. From the practical point of view
the simplicity and the thermodynamic consistency
ensuring the robust applicability are the decisive
factors. Therefore the Poynting-Thomson model is
frequently applied. It is one of the simplest thermody-
namically consistent models as it is linear and contains
only first order time derivatives (Krenn and Golser
2004, Zhifa et al. 2001).
The solution of the Poynting-Thomson rock contin-
uum equations were given for opening a circular tunnel
by several authors (Asszonyi-Richter 1979, Cristescu
1993, Panet 1993), for in-situ measurements in circular
boreholes (Asszonyi-Richter 1979) and also for sim-
pler linear viscoelastic continuum models (Ladanyi
1993). However, in these solutions the initial condition
is wrong, because the authors accepted the seemingly
natural assumption that at the beginning of the opening
(t = 0) the dilations and deformations are zero. How-
ever, in the practice one can observe two different time
scales. There are fast, practically prompt movements
that appear immediately after the opening and slower,
rheological movements due to the equilibration of the
rock microstructure. These prompt changes could be
hardly detectable. E.g. in case of in-situ measurements
the drilling removes the material and the measurement
Figure 1. (a) The contour of the borehole on the intact rock
surface, (b) Dilation during the drilling process, (c) Borehole
and the contour after the deformation changes.
starts after the initial fast movements. Therefore, in this
case the measurements devices are installed in a circu-
lar, and not into an elliptic borehole, as it should have
been considering the initial fast movements. Neglect-
ing these instantaneous effects can result in wrong
principal axes, wrong material parameters and also
wrong primary rock stress determination (Figure 1).
In the presentation we give the dilation, deformation
and the stress as a function of time and the rheological
and elastic parameters. In the next section we show
the thermodynamic compatibility of the Poynting-
Thomson model. In section 3 we show a method to
calculate the above mentioned fast deformations and
in section 4 we give the analytic solution of the suit-
able equations of a circular tunnel. Finally there are
discussions regarding the applicability of the results.

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 2 BASIC EQUATIONS: BALANCE OF
MOMENTUM, CONSTITUTIVE
FUNCTIONS AND THERMODYNAMIC
CONSISTENCY
Basic variables. The processes in the mechanical
continuum are known if
the stress field is given by a symmetric F tensor as
a function of position (r = (x, y, z)) and time (t)
the dilation field is given by the vector u = (ux ,
uy , uz ),
and by the deformation field, given as the symmetric
part of the gradient of dilation
(u )s = 12 (u u)
T and E are deviatoric tensors, To and Eo are spherical
tensors representing the volume change, I is the second
order unit tensor.
Equilibrium. In the following we assume that the
gravitational forces can be neglected and there is no
internal spin in the continuum material. One of our
basic additional assumptions in separating the time
scales that the mechanical equilibration is faster than
the rheological equilibration. Therefore we consider
only the static form of the momentum balance (Cauchy
equation):
Increasing entropy. In the derivation of the con-
stitutive equation let us consider that the entropy is
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Copyright 2006 Taylor & Francis Group plc, London, UK
increasing in case of dissipative mechanical inter-
actions. We assume an isotropic material, therefore
according to the representation theorems of isotropic
tensors the equilibrium part of the stress-strain relation
can be written as
where and are the Lam coefficients, depending on
the thermodynamic parameters. This is the Hook-law,
which can be written also as
Here G is the shear elastic modulus and K is the com-
pressibility modulus. As it is well known, the entropy
production is due to the dissipative part of the mechan-
ical interaction, where only the difference of the actual
and the equilibrium stresses play a role. Let us assume
that there are other kind of internal variables, dynamic
degrees of freedom that can play a role in the entropy
production. Their effective role is given by a sec-
ond order deviatoric tensor . In this case the entropy
production can be given as (Verhs 1997)
Here T , o and are constitutive functions on the
constitutive state space spanned by the quantities
E, o , E, o , . After the identification of the thermo-
dynamic currents as the parts containing the undeter-
mined constitutive functions in the above quadratic
form one can get the Onsagerian conductivity
equations
Here one can consider the isotropy once more and con-
clude that the scalar and second order tensorial forces
cannot be coupled and the Lij conductivity coeffi-
cients are scalars. Onsagerian reciprocity relations are
assumed. Moreover, it is reasonable to consider only
constant coefficients. According to the requirement
of the non-negative entropy production the following
restrictions are required for the coefficients.
can be eliminated from (4a)(4b) if one substitutes
from the second equation into the time derivative of the
first one. Then one can get the following expression
 Figure 2. The Poynting-Thomson body built up connect-
ing Hooke bodies (spring T = 2GE) and a Newton body
(hydraulic cylinder T = 2E).

Introducing the notations

Figure 3. Rod.

Secondary stage: Here we consider the processes

after the opening. The secondary fields are time
the above equation can be written to a more familiar dependent: Msecondary = MC = {FC , DC , uC }. As the
form. primary fields are known, the basic problem is to
determine the opening fields for the calculation of
the secondary state, the changes in the basic fields
after the opening of the tunnel.

First we solve a simpler, one dimensional problem

Let us recall again the sign restrictions of the mate- for demonstrating the solution principles.
rial parameters. According to the Second Law every
parameters are required to be positive. Moreover, the
last inequality of (5) can be written as 3 UNLOADED POYNTING-THOMSON ROD

Let us consider a rod with a cross section A, length L

The above inequality is well known in rheology, but
in most cases without the thermodynamic proof. If
d = 0 and L = 0, then one can get the equations of the
Poynting-Thomson model
with one of the ends fixed and the other end is loaded
by a constant force f . Now the stress p = f /A, and we
put the x axis along the rod (Figure 3). Assuming that
the rod is a Poynting-Thomson body we investigate the
changes in the fields removing the load.

3.1 Static initial loading primary stage

Inside the rod the primary stress field can be written as

In the following we solve the equations (1) and (8a)

(8b). An important simplification can be achieved
neglecting the convective terms in the above equa-
tions, that results in partial time derivatives instead of One can easily calculate the initial deformations.
the objective ones. In this case the mechanical equilib- According to our assumption of static loading the time
rium equation contains only space derivatives and the derivatives in (8a)(8b) are zero, therefore
Poynting-Thomson relation only partial time deriva-
tives, therefore the time and space dependence of the
solutions are separable.
In solving the mathematical problem of tunnel
opening one should distinguish between three stages:

Primary stage: Before the opening all microstruc-

tural changes are assumed to be relaxed, the material
is a Hooke-body. The primary fields are constant
Mprimary MA = {FA , DA , uA }.
Opening. The opening process changes the primary
state, which appears as initial and boundary con-
dition. Assuming a clear time scale separation the The dilation related to the initial state is: uA = (x x,
opening fields are constant: MB = {FB , DB , uB }. y y, z z).

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 3.2 Fast unloading opening
0.5
We are solving the equations (8a)(8b) again. The Opening
initial stress distribution is FB = 0 and the initial jump
deformation is A , as it was calculated above. 0.4
The process is fast; therefore the time deriva-
tives dominate the other terms in (8a). As T0 = 0, 0.3
0A = 0 follows. However, the deviatoric stress and
deformation is given by 0.2

0.1
The solution of this simple differential equation
with the initial conditions E(t = 0) = EA = TA /2G t
2 4 6 8 10 12 14
and T(t = 0) = TA is
Figure 4. v0 = {0.1, 0.2, 0.5, 1, 3, }, = 1, G = 1, FA =
1, = 1.
Therefore the deformation is

p
r

3.3 Time dependence secondary stage

In this case the stress FC = 0 in the equations (8a)(8b)
is constant and the initial deformation was calculated P
in (10).
Therefore the volumetric deformation is zero as R
above and one should solve the following differen-
tial equation: E + GE = 0. With the initial conditions
E(t = +0) = EB the solution is

Figure 5. Cylindrical coordinates.

The infinitely fast unloading is an idealization. To R and we treat the problem in cylindrical coordinates
get an impression on the nature of this approxima- (Figure 5).
tion we give the solution of the above equations when In this case we exploit the cylindrical symmetry
the speed of the unloading changes. On Figure 4 one assuming plane deformation
can see solutions of (8a)(8b), when the unloading
was performed by different constant velocities during
a period t0 . Now p(t) = pA v0 t, if 0 < t < t0 = p/v0.
The curves are steeper with and increasing speed.
The opening stage and the subsequent exponential where the dilation field u(r, t) = (u(r, t), 0, 0) is related
relaxation is separated by the black dots. One can see the deformation as
the initial fast deformation if v0 is large (first curve
from below). With the parameters of the calculation
the jump is 1 = 0.045.
The corresponding form of the mechanical equilib-
4 OPENING OF A CIRCULAR TUNNEL rium is
This is a two dimensional problem from a geometrical
point of view. The radius of the circular opening is

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Copyright 2006 Taylor & Francis Group plc, London, UK

 (8a)(8b) in this special case can be written as:
One can eliminate 0 , z and 0 from the equations
above and get
We want to solve the equations (12), (13) and (14). A
single partial differential equation can be derived for
the dilation field u from the equations above
The solution of the above equation is
We will distinguish the three stages of the problem
again.
4.1 Primary stage
Let us consider hydrostatic loading conditions at the
first part of the problem rA = A = p. In this case the
static deformations are
The corresponding dilation field is
These are initial conditions for the next stage.
4.2 Opening stage
First we will investigate the boundary of the tunnel.
Before the opening, at t = 0 the hydrostatic pressure
applies: r (R, t = 0) = p, (R, t = 0) = p. After
the fast unloading at t = +0 the radial pressure
decreases to zero and the lateral pressure increases.
Copyright 2006 Taylor & Francis Group plc, London, UK
r (R, t = +0) = 0, (R, t = +0) = 2p. Now we should
keep the time derivatives in (13) and (14) because of
the fast changes:
Considering the initial conditions one can get the
deformation at the boundary of the tunnel, immedi-
ately after the opening as
Now we are looking for initial conditions for the whole
continuum. Therefore we start from solutions of (15)
at fixed time. Using the above calculated deformations
at the boundary one can get the dilation field as
The deformation fields are consequently
Let us consider again the equations (13) and (14) for
calculating the stress fields. The initial condition at
t = 0 does not change, because it is homogeneous.
However, at t = +0 r = rB and = B . Solving the
equations (13) and (14) with these conditions we get
These are the initial conditions at the next stage.
To determine a solution of the time dependent final
stage it is useful to determine the asymptotic solutions,
too. After a long time the continuum approaches the
thermodynamic equilibrium and the dynamic variable
tends to zero. The definity properties of the con-
ductivity matrix ensure the asymptotic stability of this
equilibrium. Therefore, the asymptotic solution after
the relaxation processes corresponds to the thermody-
namic equilibrium, the ideal elastic solution with the
361
 given boundary conditions. The dilation, deformation
and stress fields asymptotically are
4.3 Secondary stage
In this case we start from a given dilation field that
corresponds to the general solution of (15). We can get
the solution of the problem that satisfies all boundary
and asymptotic conditions in the following form
Here and material parameters. One can calculate
the corresponding deformations as
Now, substituting these deformation fields into (13)
(14) we get the stress fields with the initial conditions
rB and B as
where
It is easy to prove, that the above equations correspond
to the required conditions. The Poynting-Thomson
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Copyright 2006 Taylor & Francis Group plc, London, UK
Figure 6. The dilation field in ideal elastic continuum (solid
line), in a Poynting-Thomson continuum disregarding the ini-
tial jump (dashed line) and with the initial jump (pointed
line).
model gives a time dependent stress field that satisfies
the identical initial and asymptotic conditions. On
Figure 6 one can see the difference of the primary
and the secondary radial dilation fields after 10 hours
of the opening in three cases. The solid line gives the
solution in ideal elastic continuum, the dashed line
is the solution in Poynting-Thomson continuum with-
out considering the opening stage and the pointed line
gives the same, considering the jump (fast relaxation)
in the opening stage.
The values of the parameters are G = 10000 MPa,
K = 30000 MPa, p = 1, R = 1 m, = 400000 MPah,
= 10 h, = 9 h and = 11 h.
5 CONCLUSIONS IMPORTANCE IN
ENGINEERING PRACTICE
The qualitative properties of the above analytic solu-
tion especially the opening jump does not depend
on the particular geometry. The changes in the initial
conditions can be incorporated into the appropriate
numerical codes, too. The mesh dependence, the most
important defect of these internal variable models can
be eliminated with generalizing the material model
to incorporate weakly nonlocal (gradient) terms (e.g.
with the methods given in Vn 2003). These terms can
play a physical role if the time scales of elastic and
rheological relaxation are not strictly separated.
The above given analytic solution can be general-
ized for non-circular openings, considering the tercier
fields, etc. . . The important characteristics of the solu-
tion, the two different time scales and the consequent
initial conditions, will not change.
The correct measurement of the rheological param-
eters could give the possibility to evaluate the pro-
cesses and to design and build cheaper and more
durable constructions.
 Several properties of the above given model, e.g.
the time dependent stress field, requires further exper-
imental and theoretical investigations.
ACKNOWLEDGEMENT
The research was supported by OTKA48489 and
Bolyai scholarship. The authors appreciate the moti-
vation, hot discussions and the advices of Csaba
Asszonyi.
REFERENCES
Asszonyi. Cs. and Richter R. 1979. The Continuum Theory of
Rock Mechanics, Trans. Tech., Clausthal.
Cristescu, N. D. 1993, Rock Rheology, in J. A. Hudson and
E. T. Brown (eds), Comprehensive Rock Engineering, V1.
Fundamentals: 523544. Oxford-etc., Pergamon Press.
363
Copyright 2006 Taylor & Francis Group plc, London, UK
Krenn, F. and Golser, J. 2004, Numerical calculations of sup-
port loading due to long-term rock mass behaviour, in
Schubert (ed), Rock Engineering in Theory and Practice:
753759.
Ladanyi, B. 1993, Time-dependent Response of Rock Around
Tunnels, in J. A. Hudson and E. T. Brown (eds), Com-
prehensive Rock Engineering, V2.Analysis and Design
Methods: 77112. Oxford-etc., Pergamon Press.
Panet. M. 1993, Understanding Deformations in Tunnels, in
J. A. Hudson and E. T. Brown (eds), Comprehensive Rock
Engineering, V1. Fundamentals: 663690. Oxford-etc.,
Pergamon Press.
Vn, P. 2003, Weakly nonlocal irreversible thermodynamics,
Annalen der Physik, 12/3: 142169.
Verhs, J. 1997. Thermodynamics and Rheology, Budapest:
Kluwert-Academic.
Zhifa, Y., Zhiyin, W., Luqing, Z., Ruiguang, Z. and Nianxing,
X. 2001, International Journal of Rock Mechanics and
Mining Sciences 38: 331341.
 2.3 Numerical simulations

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 EUROCK 2006 Multiphysics Coupling and Long Term Behaviour in Rock Mechanics
Van Cotthem, Charlier, Thimus & Tshibangu (eds)
2006 Taylor & Francis Group, London, ISBN 0 415 41001 0

The feasibility analysis of abandoned salt caverns for underground

gas storage facility

W.Z. Chen, G.J. Wu, J.P. Yang & C.H. Yang

Institute of Rock and Soil Mechanics, Chinese Academy of Sciences, Wuhan, P.R.China

ABSTRACT: Salt rock is considered to be a perfect medium for underground oil and gas storage. Normally,
underground salt caverns for gas storage facility are formed by aqueous fusion method according to design.
Presently, there is no underground natural gas storages run in abandoned salt caverns in the world. Based on
numerical results from FEM code ABAQUS code, the creep behavior of caverns and rock pillars and the range of
creep damage of the cavern roof are obtained. Furthermore, the working pressure for gas storage in abandoned
salt caverns and location of casing shoes are discussed. The conclusions from the research work will benefit the
practical engineering in China gas storage project.

1 INTRODUCTION

There are different kinds of underground gas storage in

the world at present: drained oil and gas accumulation,
water-bearing structure, salt rock, abandoned mining
well and water-sealed rock caverns. Compared with
other rock types like granite, clay, dolomite, rock salt is
known for its low permeability. The laboratory exper-
imental measurements from salt samples generally
Figure 1. Shape of abandoned rock salt caverns.
show that the intrinsic permeability of salt is less than
1020 m2 (Peach, 1991; Daeman, 1992; Forkker, 1995;
buried depth and about 1.5 105 m3 . The four poten-
Consenza and Ghoreychi, 1998). Field measurements
tial useful abandoned salt caverns are entitled cavern1,
show that the salt permeability is around 1018 m2
cavern2, cavern3 and cavern4 respectively. Distance
(Berest et al., 1996; stormont, 1997, Cosenza et al.
between adjacent caverns is about 20 m. Fig. 1 shows
1999). The salt rock has the ability of self-recovery
the shape of abandoned salt caverns from site investi-
make it as a perfect medium for underground hydro-
gation. In the paper, the research work will focus on
carbon (oil, natural gas) storage. Nowadays, a total
evaluate the possibility of gas storage in abandoned
number of 44 gas storages are built up in salt-bearing
salt caverns. Furthermore, evaluation the appropriate
strata in more than 500 underground gas storages
height of casing shoes and creep damage evolution
around the world.
area of salt cavern during working period will be
Right now, there was no underground gas storage in
discussed in detail.
abandoned salt caverns. Actually, the abandoned salt
cavern served for gas storage has the benefit of low
cost and short construction period especially for gas 2 CREEP BEHAVIOUR OF SALT ROCK
peak modulation in China West-to-East Project. The
Jintan salt caverns located at northwest of Jintan city, The mechanical behavior of rock salt is very com-
and it is about 100 Km far from capital city Najing plicated and affected by many factors such as mean
of Jiangsu Province. In the recent 30 years, a large stress, deviatoric stress, time, temperature, humidity,
number of caverns have formed by aqueous fusion anisotropy and loading path etc. (Farmer and Gilbert,
method. The strata near the salt caverns are in sim- 1984; Handin et al., 1986; Hunsche, 1993). Laboratory
ple structure with low dip angle. The salt strata are experiments have shown that salt rock creeps easily
distributed in 60.5 Km2 and normally the thickness of under deviatoric stress with highly non-linear func-
the salt formations is about 100 m. Sonar exploration tion of time. It is well accepted that creep strain ratio
shows that the useful caverns are pear-shaped, 1000 m is a non-linear function of applied deviatoric stress and

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Copyright 2006 Taylor & Francis Group plc, London, UK

 0.08

0.06
strain

0.04

0.02

0
0 50 100 150 200
Time(h)

Figure 2. Creep behavior of rock salt under triaxial test

(confining pressure 5.0 MPa).

temperature. Normally, salt creep behavior consists

of three stages, namely: transient creep stage, steady
creep stage and accelerated creep stage. Steady creep
stage should be paid more attention to when studying
the long term stability and deformation behavior of
salt rock. Carter (1993) and Chan (1997) suggested a
unite equation of steady creep:

Yang et al. (2000) concluded that steady creep rate
of salt rock and salt-bearing mudstone is a function
of deviatoric stress and confining pressure. The creep
behavior described in Norton exponential form is as
follows:
where cr
ij is creep rate, A and n are parameters of salt
rock.
From tri-axial test of salt rock under constant tem-
perature (Fig. 2), the creep of salt rock in Jintan Mines
fit the Norton exponential form well.
3 NUMERICAL MODEL
3.1 Numerical model
The range of rock mass for numerical analysis extends
from 525 m to 1425 m. Fig. 3 shows the horizontal
cross-section and vertical cross-section of the analysis
model.
3.2 Numerical methods
The constitutive model of salt rock and mudstone
stated in equation (2) is programmed in numerical code
ABAQUS. Drucker-Prager is applied for muddy inter-
calation strata. Based on laboratory creep tests, the
parameters A and n in equation (2) are regressed as
following:
Salt: A = Salt rock: A = 1.018 108 , n = 3
Mudstone: A = 1.018 108 , n = 2
Figure 3. FEM mesh for underground caverns. (a) ver-
tical cross-section of cavern1 and cavern2; (b) vertical
cross-section of cavern3 and cavern4; (c) horizontal cross-
section of the four caverns.
3.3 Mechanical parameters, in situ stress and
operating pressure of gas storage
From laboratory experiments and comparison from
other engineering, the mechanical parameters for
numerical analysis are shown in Table 1.
The natural state of stress resulting from overburden
weight is assumed to be isotropic. While caverns are
filled with brine, pressure is resulted from the weight
of a brine column from the surface to the caverns,
which is 12 MPa here. This state lasts for ten year
until gas is stored in. As gas stored in, the pressure
is assumed to rises from 12 MPa to 14 MPa in the first
three month and drop from 14 MPa to 7 MPa in the
following three month and then the pressure keeps
constant in the following nine year and a half.
4 NUMERICAL RESULTS
4.1 Deformation analysis
Numerical results show that the deformation around
underground caverns is large at the time the caverns
are formed, especially around the cavern roof and
floor. Roof displacement of cavern1 is 0.095 m and the
biggest displacement 0.134 m occurs nearby it. In the
period the cavern filled with brine (cavern pressure is
12 MPa constantly), displacement changes little. The

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Copyright 2006 Taylor & Francis Group plc, London, UK

 Table 1. Mechanical properties of abandoned rock salt cavern.

Elastic Modulus Cohesion Internal friction Tensile strength

Rock GPa Poisson Ratio MPa angle MPa

Mudstone 10 0.27 1.0 35 1

Salt 18 0.30 1.0 30 1
Muddy intercalation 4 0.30 0.5 30 0.5

Table 2. Displacement of cavern roof during gas storage.

Roof displacement (m)

During aqueous 10 years for 10 years for

Location fusion abandoned gas storage

No.1 0.095 0.099 0.280

No.2 0.105 0.111 0.302
No.3 0.090 0.096 0.281
No.4 0.083 0.088 0.272

Figure 5. Displacement vectors of salt cavern after solution

for 10 years.

Figure 4. Displacement vectors of salt cavern after solution.

maximum displacement in cavern1 is 0.14 m finally

and it occurs near the roof. While gas is stored for ten
years, the creep deformation is significant due to the
small operating pressure. The maximum displacement
occurs at the rock pillar because of the relatively larger
deviatoric stress. Again take cavern1 for example: the
maximum displacement in rock pillar is 0.803 m while
the displacement of roof is 0.28 m. Table 2 shows roof
displacement of the four caverns in different period.
Figs 46 show displacement vectors of cavernshor-
izontal cross-section. Large deformation of wall rock
towards inner part of the cavern can be seen clearly
from these figures, especially rock pillar between
cavern1 and cavern4.
4.2 Stresses analysis
At the period the caverns filled with brine, princi-
pal stresses of wall rock changes little because of the
constant 12 MPa pressure. While gas is stored and
Figure 6. Displacement vectors of salt cavern after gas
storage for 10 years.
pressure changes, principal stresses change a lot cor-
respondingly. By considering change of the max prin-
cipal stress of cavern1s roof, this process can be seen
more clearly. At the time the cavern formed, max prin-
cipal stress of this point is 17.43 MPa. Ten years after
filling brine, it is 17.18 MPa. And a noticeable drop
down to 11.90 MPa after ten years service shows
decrease of stability under the small operating pres-
sure. Figs 712 shows the maximum and minimum
principal stress of cavern1 and cavern2 in different
period.
4.3 Damage evolution zone
Analysis results show that creep of wall rock occurs
during all the three period: caverns formation, caverns

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 Table 3. Variation law of principal stress around cavern roof
during gas storage (MPa).

During 10 years
aqueous 10 years for for gas
fusion abandoned storage

No.1 Max. prin. 17.43 17.18 11.91

stress
Min. prin. 42.73 41.15 35.02
stress
No.2 Max. prin. 16.23 16.05 10.95
stress
Min. prin. 38.28 37.06 31.05
stress
No.3 Max. prin. 17.98 17.84 12.65 Figure 9. Contour map of Max. principal stress for salt
stress cavern1 and 2 after abandoned for 10 years.
Min. prin. 39.00 38.37 34.69
stress
No.4 Max. prin. 17.17 17.06 12.31
stress
Min. prin. 36.94 36.24 32.69
stress

Figure 10. Contour map of Min. principal stress for salt

cavern1 and 2 after abandoned for 10 years.

Figure 7. Contour map of Max. principal stress for salt

cavern1 and 2 after solution.

Figure 11. Contour map of Max. principal stress for salt

cavern1 and 2 after gas storage for 10 years.

filled with brine and caverns in service. Compared

Figure 8. Contour map of Min. principal stress for salt
cavern1 and 2 after solution.
with other parts, rock pillar in two adjacent caverns
shows prominent creep behavior because of rela-
tively larger deviatoric stress and these zones seem
to join together. The maximum creep shifts to pillar
after ten years service which is near the roof before.

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Copyright 2006 Taylor & Francis Group plc, London, UK

 0.20%
0.18%
cavern1
0.16%
cavern2

Creep strain
0.14%
0.12% cavern3
0.10% cavern3
0.08%
0.06%
0.04%
0.02%
0.00%
0 2 4 6 8 10
Distance from cavern roof (m)

Figure 15. Creep strain of rock salt above the cavern roof.
Figure 12. Contour map of Min. principal stress for salt
cavern1 and 2 after gas storage for 10 years.
rock is 0.18% which is the largest, but its damage
zone is small. Another result is obvious: the higher
away from the roof the smaller the creep. Range of
creep zone and value of creep should be considered in
designing the casing shoe.

5 CONCLUSIONS

From numerical analysis of the abandoned salt cav-

erns, some conclusions can be approached.
Figure 13. Creep area of surrounding rock salt during the
cavern abandoned for 10 years.
(1) Salt rock deforms easily even under very small
deviatoric stress in long term because of creep
behavior. Stability of wall rock decreases as the
working pressure drop down to 7 MPa.
(2) While using abandoned salt caverns as hydrocar-
bon storage, largest creep strain occurs in rock
pillar between adjacent caverns and creep damage
zones expand and could be headed for a part.
(3) Range of creep damage zone in the roof should be
considered in designing the casing shoe. Location
of casing shoe must be selected out of the creep
damage zone for the safe working of hydrocarbon
storage.

ACKNOWLEDGEMENTS

The research work is financially supported by NSFC

(No. 50434050, No. 50379052) and Key Knowledge
Figure 14. Creep area of surrounding rock salt after gas Innovation Project (C150501) from Chinese Academy
storage for 10 years. of Sciences.

As Figs 1415 show, creep zone is very large in pil-

lar between cavern1 and cavern4, which should pay
serious attention in design.
Height of casing shoe is a key parameter when seal-
ing the storage. Normal working of the storage will be
interrupted when damage zone extends to casing shoe.
From the analysis result, wall rock of cavern3 bears
the largest damage zone 7.8 m, but the creep strain is
small. However, creep strain of cavern2s surrounding
REFERENCES
Lu Fuxu (compile) 1998. World underground gas storage
developing tendency review. Oil and Gas translate 17(3):
5859
Yang Chunhe, Wu Yimin. 2000. Stress Level and Loading
Path Effect on Time Dependent Properties of Salt Rock.
Chinese Journal of Rock Mechanics and Engineering
19(3): 270275

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 Zhao Shunliu, Yang Junliu. 2003. A Review of Investiga-
tions into Features of Underground Salt Caverns Used For
Storage. Journal of Southwest University for Nationali-
ties. Natural Science Edition 29(1): 6568
Qiu Xiande, Jiang Yongdong, Zhang Lan. 2003. Study on
Rheological Characteristics and Unloading Damage Con-
stitutive Relationship of Rock Salt. China Well and Rock
Salt 34(4): 2123
Liu Chenglun, Xu Longjun, Xian Xuefu. 2003. Numerical
Simulation Research on Stability of Dissolving Cavity for
the Low-depth-thin-layer Rock Salt. Journal of Chongqing
University 26(3): 143146
Long Yanqing. 1996. Underground gas Storage. Petroleum
Conceptual Design (2), 4041
Liu Xinrong, Jiang Deyi, Xu Jiang, Xian Xuefu. FEM Anal-
ysis of Stress Distribution Law in the Rock Salt Cavitys
Surrounding Rock. Journal of Chongqing University
372
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Otto schulze, Till Popp, Hartmut Kern. 2001. Development
of Damage and Permeability in Deforming Rock Salt.
Engineering Geology (61): 163180
Till Popp, Hartmut Kern. 2000. Monitoring the State of Mea-
surements of Permeability and P- and S-Wave Velocities.
Phys.chem.Eartha(A) 25(2): 149154
Carter NL. 1993. Rheology of salt rock. Journal of Structural
Geology 15(10): 12571272
Chan KS. 1997. A damage mechanics treatment of creep
failure in rock salt. International Journal of Damage
Mechanics 6: 12252
Yang Chunhe, Zeng Yijun, Wu Wen, Chen Feng. 2003.
Constitutive Relationship of Deep Salt Rock and Its
Application to Petroleum drilling Engineering. Chinese
Journal of Rock Mechanics and Engineering 22(10):
16781682
 EUROCK 2006 Multiphysics Coupling and Long Term Behaviour in Rock Mechanics
Van Cotthem, Charlier, Thimus & Tshibangu (eds)
2006 Taylor & Francis Group, London, ISBN 0 415 41001 0

Semi-analytical models for predicting the amount and rate of

sand production

C. Detournay
Itasca Consulting Group, Inc., Minneapolis, MN, USA

B. Wu
CSIRO Petroleum, Perth, Australia

ABSTRACT: Two semi-analytic models, SLAM and SPAM, are proposed to study the amount and rate of
sand production in the context of hollow cylinder tests in a Mohr-Coulomb material. Yielding of the material is
a prerequisite for sand production. Sand production is predicted to occur when the local fluid pressure gradient
is higher than a local, strength-dependent critical value, which is also a function of grain size. The models use
Darcys law and an analytical expression for specific discharge that is applicable for gas, water, or oil. The models
rely on geometry changes to reflect the erosion process. In the SLAM model, sand is produced as a combination
of superficial volumetric erosion and macroscopic surface erosion. Volumetric erosion occurs in a boundary
layer. As sand is being produced, the porosity of the boundary layer increases to a critical value. When the critical
porosity is reached, collapse occurs, and the material remaining in the boundary layer is produced at once in the
form of sand. The SPAM model can be viewed as a limiting case of SLAM in which sand production occurs as
a result of surface erosion. The conditions for initiation of sanding and stabilization of the erosion mechanism
are predicted analytically for SLAM and SPAM. The logic for the models has been implemented numerically,
and sanding curves are produced for both models.

1 INTRODUCTION

The production of hydrocarbons in weak rocks is often

associated by the venue of solid particles, which have
been dissociated from the rock. This process of sand
production has long been recognized as detrimental
to production. However, it is often necessary for eco-
nomic viability, and new strategies even include it as
part of exploitation enhancement. Adequate sand man-
agement, which relies on predictions as to if and when
sand is expected to be produced and its amount and Figure 1. Hollow cylinder test.
rate, is necessary for successful field exploitation.
One laboratory technique being used to study the
amount and rate of sand production is the Hollow Cyl- be answered as part of the sand management process,
inder test (see Fig. 1). such as:
In this test, a mechanical pressure is applied at the
1 When will erosion start?
outer boundary of a hollow cylindrical rock sample;
2 What is the quantity of sand being produced?
the sample is saturated, and a fluid pressure is also
3 Will the sanding stabilize?
applied independently. One way to carry out the exper-
iment is to reduce the pore pressure gradually at the In this paper, two semi-analytic models, SLAM
inner boundary, until sand production is observed. The (sanding layer analytical model) and SPAM (sand
amount and rate are monitored, and the results are used production analytical model) are proposed to predict
to develop knowledge about sanding mechanisms and amount and rate of sand produced in the context of a
make field predictions. Numerical modelling is another hollow cylinder test, carried out in a Mohr Coulomb
technique that may be used to study sanding mecha- material. The models assume axi-symmetric condi-
nisms, and address some of the questions that need to tions, and are developed in a continuum framework.

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Copyright 2006 Taylor & Francis Group plc, London, UK

 Yielding of the material is a prerequisite for sand pro-
duction. It is assumed that the occurrence of shear
failure leads to disaggregation of the rock into sand
and that the removal of sand from the rock is driven
by fluid flow. The models use laws derived from
micro-mechanical considerations for onset and rate of
sanding; they also rely on geometry changes to reflect
the erosion process.
In the SLAM model, sand is produced as a combina-
tion of superficial volumetric erosion and macroscopic
surface erosion. The SPAM model is a limiting case of
SLAM for which sand production occurs as a result of
surface erosion.
The conditions for initiation of sanding and stabi-
lization of the erosion mechanism are predicted ana-
lytically. Also, the model equations are solved numer-
ically, and sanding curves, giving the amount of sand
versus time, are produced for the two models.
A brief review of existing work is included in Sec-
tion 2. The formulation of the SLAM and SPAM mod-
els is presented in Section 3. The conditions for
initiation and stabilization of the erosion mechanism
are addressed in Section 4. Numerical simulation
examples are provided in Section 5. Conclusions are
presented in Section 6.
2 BRIEF REVIEW OF EXISTING WORK
Geilikman et al. (1994) were the first to propose a con-
tinuum model for sand production based on coupling
the fluid flow and rate-sensitive plastic flow of a gran-
ular matrix. The model predicts matrix yielding at a
critical value of drawdown. The yielding front propa-
gates away from the wellbore as sanding progresses,
and a cumulative sand-production curve is produced
based on mass balance and current front position.
In their continuum model, Vardoulakis et al. (1996)
view erosion as an internal and surface mechanism.
Deformation and strength characteristics of the rock
are not considered in the paper, and the emphasis is put
on mass transport. The rock is seen as a sand skeleton,
saturated with fluid that contains a certain amount of
fluidised particles that move with the fluid.
Damjanac et al. (1997) analysed the conditions
under which erosion can be analysed as a global insta-
bility, ignoring processes on a micro scale. In their
technical note, the authors also derived micro and
macro conditions for incipient sand production and
showed that particle size has an important effect on
stability/erosion in porous media.
Papamichos et al. (2001) extended the volumet-
ric sand-production model to account for the effects
of external stresses and fluid flow rate. The model
predictions are compared to experimental test results
of a hollow cylinder on a weak sandstone. The test
results show that sand production in weak sandstone
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Copyright 2006 Taylor & Francis Group plc, London, UK
is associated with decohesioning and plastification of
a zone around the hole, which can then be mobilized by
the flowing fluid. The sand production rate increases
with external stress and fluid flow rate, but remains
constant with time if these two parameters are held
constant. In addition, a critical value of flow rate has
to be exceeded for initiation of sand production.
Fjaer et al. (2004) presented an analytical model for
sand rate and compared its predictions to experimental
observations as well as to a numerical simulation with
the particle flow code PFC 3D (Itasca). The model pre-
dicts that sand is produced mainly in bursts and only
appears continuous on a longer time scale. The rate of
sand production in the model depends on how far the
well pressure is reduced below a critical level, on fluid
flow rate and viscosity, and on rock cementation.
3 SAND PRODUCTION MODELS
For the sand production models, we consider an axi-
symmetric model of a hollow cylinder of unit height.
The inner (wellbore) radius is r1 , and the outer radius
is r2 . The initial pore pressure is p2 . The pore pressure
is p2 at the external boundary, and p1 at the wellbore
wall. The drawdown is defined as ( p2 p1 ).
3.1 Mechanical considerations
It is assumed that the material yielding behaviour
obeys a Mohr-Coulomb criterion and that the yield
condition is met at the wellbore wall. Also, the hoop
stress t
is the major compressive effective stress at
the wellbore wall. Since the radial effective stress van-
ishes at r = r1 , the tangential effective stress is equal
to the unconfined compressive strength:
where C is cohesion, is friction, and N = (1 + sin )/
(1 sin ). The condition for yielding at the borehole
wall can be tested using the poro-plastic solution for a
hollow cylinder under internal and external fluid and
mechanical pressures (see e.g. Detournay et al. 2004).
3.2 Fluid flow considerations
It is assumed that Darcys law is applicable (trans-
port of a compressible fluid.), and steady-state fluid
conditions with fixed pressure boundary conditions
hold. Under these assumptions (see Appendix A), the
specific discharge at r = r1 is:
 where k is the (isotropic) mobility coefficient, and c1
is defined as:
where m is a constant in the equation of state for the
fluid (m = 0 for water, and m > 0 for gas).
3.3 Condition for erosion
It is hypothesised that when the Mohr-Coulomb mate-
rial is submitted to sufficient shear stress to induce
failure, the rock disintegrates into an assembly of
sand particles held together by residual cohesive and
frictional forces. It is assumed that the particles are
roughly circular in shape, with an average radius, Rp .
The erosion condition is derived from the consider-
ation that the hydrodynamic force on the particles
be larger than the resisting force (Damjanac et al.
1997). The hydrodynamic force is proportional to the
pressure gradient, and the resisting force has cohe-
sive and frictional components, related to the macro
strength properties of the rock. Also, the erosion crite-
rion is expressed in terms of specific discharge, using
Darcys law.
Erosion starts when the condition
is met at the wellbore wall; q1 is given by (2) and qcr is
the critical specific discharge. The critical discharge is
stress and porosity dependent, and also a function of
grain size; it is defined as:
where n is porosity, a is the dimensionless erosion
onset coefficient, and t
is the effective stress acting
parallel to the boundary.
After substitution of (1) in (5) and some manipula-
tions, we obtain:
3.4 Rate of sand production SLAM model
For the SLAM model, it is assumed that the particles
crossing the boundary migrate from within a bound-
ary layer, of thickness L. Also, as the particles are
being produced, the porosity of the layer increases.
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Copyright 2006 Taylor & Francis Group plc, London, UK
The change of porosity in the boundary layer is pro-
portional to the difference between q1 and the critical
value qcr :
where is a dimensionless parameter, n0 is initial
porosity in the boundary layer, SL = 2r1 is bound-
ary surface (unit length along wellbore axis), and
VL = L(2r1 + L) is the volume of the boundary layer.
The rate of mass production is derived from (7), using
mass conservation:
where g is grain density (i.e. g = /(1 n0 ), with
the bulk density). Equations (7) and (8) can be com-
pared to the expressions used by Vardoulakis et al.
(1996) and Fjaer et al. (2004).
Sand is produced at the rate given by equation (8)
until a critical value of the porosity, ncr , is reached.
It is assumed that at this point, the boundary layer
collapses, and the sand remaining in it is produced
instantaneously:
The sudden collapse is thought to be responsible
for the periodic sandbursts observed in laboratory
experiments (Fjaer et al. 2004).
The model contains 5 sanding parameters: the mean
particle radius Rp , the erosion onset coefficient a, the
erosion rate coefficient , the boundary layer thickness
L, and the value of critical porosity ncr .
3.5 Rate of sand production SPAM model
For the limiting case where the thickness of the bound-
ary layer can be neglected (e.g. L is small compared
to the initial wellbore radius), the sanding behaviour
of the SLAM model can be lumped into a surface
erosion process. In the simplified model, called SPAM,
the rate of increase of the wellbore radius is propor-
tional to the difference q1 qcr :
where is a dimensionless parameter. The rate of
sand production is derived from (10), using mass
conservation:
 This formula is identical to the one obtained after
substitution of (7) in (8), and L is set to zero in the final
expression. The model contains 3 sanding parameters:
the mean particle radius Rp , the erosion onset coeffi-
cient a, and the erosion rate coefficient .
3.6 Model calibration
The parameters associated with the sanding logic are
physical properties, which can be determined using
hollow-cylinder laboratory tests (Detournay et al.
2005).
4 CONDITIONS FOR STABILIZATION OF
THE SANDING PROCESS
The SPAM and SLAM models can be used to pre-
dict theoretical conditions under which the sanding
process stabilizes. After substitution of (2) in (4) the
condition is:
As erosion takes place, the radius r1 will increase
and the criteria (12) may no longer be met. The stability
condition is derived from the observation that q1 (i.e.
left member of (12)) is a non-monotonic, decreasing
function of r1 for values of r1 less than r2 /e.
will occur for smaller values of p1 , or larger values
of drawdown. In a field situation, provided this outer
radius can be interpreted as the radius of influence
of the wellbore, r2 will grow naturally over time. The
radius of stabilization, r1max is the root of the equation
q1 (r1 ) = qcr , i.e. using (2):
Analysis of the condition (16) shows that, for the same
drawdown ( p2 p1 ), the ultimate stable cavity radius
predicted by the models will always be larger for gas
than for water.
4.2 Stability condition for water
Consider the example where m = 0 (water), and r2 is
25 times the initial wellbore radius, r10 = 25 mm. The
boundary pressure gradient, q1 /k per unit drawdown,
is plotted versus r1 in Figure 2. The value decreases
for as long as r1 is less than about 9 times the initial
radius of the wellbore.
For water (m = 0), c1 = p2 p1 (see (3)) and the
value of q1min is
If the value of qcr is larger than this minimum, all
other parameters being equal, the sanding process
will eventually stop. In other words, if the value of
4.1 Stability condition for gas and water drawdown, p2 p1 is kept below a critical value pcr :
Viewed as a function of r1 , q1 has a minimum at r1 =
r2 /e (i.e. when ln(r2 /r1 ) = 1). The value is:

Stabilization of the sanding mechanism is predicted to

occur when the condition:

is fulfilled. Substitution of (13) in (14) gives:

The coefficient c1 is a function of p1 , see (3), and it

follows that stabilization takes place only if p1 stays
larger than a certain fraction of the pressure p2 , i.e.
the drawdown pressure ( p2 p1 ) is less than a critical
value.
Analysis of (15) shows that gas is more prone to
induce sanding, and a larger stable drawdown can be
achieved for water (or oil) than for gas. Also, if r2 Figure 2. Pressure gradient per unit drawdown at r = r1
increases (all other things being equal), stabilization versus r1 analytical solution.

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Copyright 2006 Taylor & Francis Group plc, London, UK

 with
the sanding process will stabilize at some value of r1
that is less than r2 /e or about 0.37 r2 .
Thus, in the proposed framework of analysis, there
is a mechanism for stabilization of the sanding process
that is based on a decrease of pressure gradient as
erosion progresses. Stabilization is predicted to occur
only if drawdown is below a certain critical level see
(17) and (18).
5 SIMULATION EXAMPLES
The model equations are solved numerically, using
a forward finite difference scheme for the SLAM
model, and a second-order Range-Kutta method for the
SPAM model. A sand production curve is generated,
giving the mass of sand produced per unit length along
the wellbore axis (in ton/m) versus time (in sec). Also,
the value of critical drawdown and maximum radius
of erosion are evaluated for each model.
For the simulation examples, the wellbore has an
initial radius r1 of 25 mm and the external model radius
r2 is 25 times the internal model radius. The material,
fluid and sanding properties are listed in Tables 13.
The thickness of the boundary layer corresponds to
about 1000, 100, and 10 particle diameters, respec-
tively.
Table 1. General properties for the examples.
5.1 Simulation examples with the SLAM model
For the first example, we compare the sanding curves
obtained for water (m = 0) and gas (m = 2) (it
is assumed here that the rock properties remain
unchanged due to water and gas flow. It is generally
observed that rocks saturated with water are weaker
than that saturated with gas). With the properties used
in the simulations, the critical drawdown is 0.51 MPa
for water, and 0.45 MPa for gas. We use a drawdown of
0.47 MPa. The value is lower than the critical value for
water, and higher than the critical value for gas. The
thickness of the boundary layer is 0.016 m, or about
1000 grain diameters for these cases.
The sand production curve (mass in ton/m versus
time in sec) obtained for water is shown in Figure 3.
As may be seen in the figure, stabilization of the
sanding process is occurring, as expected. The maxi-
mum amount of sand produced is about 0.143 ton/m.
The final radius of the cavity is 0.153 m. The sanding
curve obtained for gas is plotted in Figure 4.
No stabilization takes place in this case; the entire
model is produced in the form of sand by the end of the
simulation (the final radius of the wellbore is 0.617 m
and the total mass produced is 2.39 tons/m).
The sanding curves are characterized by continuous
production periods separated by burst events. The first
correspond to volumetric production of the boundary
layers, and the second by their collapse. If the simula-
tions are repeated for a lower drawdown of 0.40 MPa,
stabilization of the sanding process is now obtained for
both water and gas. The corresponding sanding curves
are shown in Figures 5 & 6.
To investigate the effect of boundary layer thick-
ness on sand rate, we ran the water simulation, for

In-situ pore pressure 4 MPa

Mobility coefficient 1 1010 m2 /(Pa sec)
Porosity 0.25
Cohesion 0.36 kPa
Friction angle 27.0
Bulk density 2000 kg/m3

Table 2. Sanding properties for the SPAM and SLAM

examples.

Erosion onset, a 0.24

Erosion rate, 103
Particle radius, Rp 77.8 microns

Table 3. Sanding properties for the SLAM examples.

Collapse porosity, ncr 0.3

Boundary layer thickness, L 0.016, 0.0016, 0.00016 m Figure 3. Sanding curve for water SLAM model dd =
0.47 MPa; L = 0.016 m.

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Copyright 2006 Taylor & Francis Group plc, London, UK

 Figure 4. Sanding curve for gas SLAM dd = 0.47 MPa;
L = 0.016 m. Figure 6. Sanding curve for gas SLAM model dd =
0.40 MPa; L = 0.016 m.

Figure 5. Sanding curve for water SLAM model dd =

0.40 MPa; L = 0.016 m.
0.47 MPa of drawdown, for two additional values of
L: 0.0016 m and 0.00016 m. The results are shown in
Figures 7 & 8. The curves are smoother for smaller
values of the boundary layer, as expected.
5.2 Simulation examples with the SPAM model
A few of the example simulations considered in the
previous section are repeated, this time using the
SPAM model. The sanding curves obtained for water
(m = 0), and a drawdown of 0.47 MPa are plotted in
Figure 9; curves for water (m = 0) and gas (m = 2), and
a drawdown of 0.40 MPa are shown in Figures 10 & 11.
Figure 7. Sanding curve for water SLAM model dd =
0.47 MPa; L = 0.0016 m.
The results show the same trends as those observed
in the case of SLAM: for the same drawdown value,
the total amount of sand produced is larger for gas than
for water, and the larger the drawdown, the larger the
total amount of sand.
6 CONCLUSIONS
Two semi-analytical models, SPAM and SLAM have
been proposed to study the amount and rate of sand

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Copyright 2006 Taylor & Francis Group plc, London, UK

 Figure 8. Sanding curve for water SLAM model dd =
0.47 MPa; L = 0.00016 m.
Figure 9. Sanding curve for water SPAM model
0.47 MPa.
production in the context of axisymmetric production
from a wellbore in an isotropic stress field. Sand pro-
duction is predicted to occur when the local specific
discharge is higher than a local, stress-dependent criti-
cal value, which is also a function of grain size. Darcy
law is assumed to be applicable for the models and
fixed pore pressure boundary conditions are consid-
ered. A mechanism for stabilization of the sanding
process has been identified, that is based on a decrease
of pressure gradient as the erosion progresses. Stabi-
lization is predicted to occur provided drawdown is
kept below a certain critical level.
379
Copyright 2006 Taylor & Francis Group plc, London, UK
Figure 10. Sanding curve for water SPAM model dd =
0.40 MPa.
Figure 11. Sanding curve for gas SPAM model dd =
0.40 MPa.
The condition for stabilization is derived theoreti-
cally and verified in numerical experiments. The con-
dition does not depend on the mechanism of erosion
considered: it is valid both for the SPAM model (in
which surface erosion is considered), and for the
SLAM model (in which erosion occurs in a bound-
ary layer). What differs between the two models is the
mode and rate at which the sand is being produced.
The analysis shows that sanding is likely to occur at
lower values of drawdown for gas than water, and that,
when stabilization of the erosion process occurs, the
ultimate radius of the wellbore is larger for gas than
 for water, under the same drawdown. Also, an increase
in r2 (the outer radius where a constant pore pressure
is applied) acts favorably, in limiting the production of
sand. Under field conditions, such an increase would
presumably occur over time during reservoir depletion.
The models behaviour appears to be reasonable and
consistent. Research is ongoing to calibrate the model
parameters and validate the model behaviour on results
of laboratory experiments. If the outcome is success-
ful, the plan is to look at possibilities to extrapolate
results in a field environment.
APPENDIX: STEADY-STATE PORE PRESSURE
SOLUTION
The governing equations are:
1 Fluid mass conservation:
where q is specific discharge, is gas density, and n
is porosity.
For axisymmetric flow, (19) gives:
where r is radial coordinate.
2 Darcy law for fluid transport:
where p is pressure, and k is mobility coefficient. The
mobility coefficient is defined as /, with [m2 ],
intrinsic permeability, and [kg/(m s)], dynamic
viscosity.
3 Equation of state:
where [kg/(m3 Pam )] and m are constants.
The pore pressure solution has the form:
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Copyright 2006 Taylor & Francis Group plc, London, UK
where
The specific discharge is obtained by differentiation
of (23) with respect to r, and multiplication by the
mobility coefficient k = /; the value at r = r1 is:
where
ACKNOWLEDGMENTS
Thank you very much to Dr. Chee Tan for supporting
this work while at the CSIRO, and to Michele Nelson
for her careful editing of the paper.
REFERENCES
Itasca Consulting Group, Inc. 2002. FLAC Fast Lagrangian
Analysis of Continua, Version 4.0. Minneapolis: Itasca.
Damjanac, B., Detournay, E. & Brandshaug, T. 1997. Exam-
ination of Surface Erosion from Fluid Flow through a
Thick-Walled Cylinder. Itasca Consulting Group, Inc.,
Technical Note to Sandia National Laboratories, 9729,
November.
Detournay, C., Wu, B. & Tan, C. 2004. Hydro-mechanical
modeling of damage around borehole in laboratory exper-
iments. ARMA/NARMS 04590.
Detournay, C., Tan, C. & Wu, B. 2005. Modeling the mecha-
nism and rate of sand production using FLAC. Submitted
to Proceedings of the 4th International FLAC Symposium,
Madrid, Spain, 2931 May, 2006. Minneapolis: Itasca.
Fjaer, E., Cerasi, P. & Li, L. 2004. Modeling the Rate of Sand
Production. ARMA/NARMS 04588.
Geilikman, M.B., Dusseault, M.B. & Dullien, F.A. 1994.
Sand Production as a Viscoplastic Granular Flow. SPE
27343.
Papamichos, E., Vardoulakis, I., Tronvoll, J. & Skjaerstein, A.
2001. Volumetric Sand Production Model and Experi-
ment. Int. J. Numer. Anal. Meth. Geomech. 25: 789808.
Vardoulakis, I., Stravropoulou, M. & Papanastasiou, P. 1996.
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 EUROCK 2006 Multiphysics Coupling and Long Term Behaviour in Rock Mechanics
Van Cotthem, Charlier, Thimus & Tshibangu (eds)
2006 Taylor & Francis Group, London, ISBN 0 415 41001 0

Salt pillar creep analysis

F. Laouafa & M. Ghoreychi

INERIS Institut national de lenvironnement industriel et des risques, Parc technologique ALATA BP2,
Verneuil-en Halatte, France

ABSTRACT: Several salt deposits in the world were mined out by the room and pillar method. For the long
term analysis of the pillar behaviour, we propose a new and simple method which can avoids using huge and
expensive numerical modelling. The first part of this method deals with creep pillar behaviour by taking into
account the mechanical interactions between a pillar and the surrounding roof and floor. This is achieved by means
of finite element computations performed. These computations allow us to perform a substantial correction of
the classical pillars creep evaluation based on the tributary area method. Comparisons of data resulting from
3D modelling and in-situ data, with the results of our analytical method are finally presented. In this paper our
analysis relates to only the viscoplastic (creep behaviour) but a similar analysis, not presented here, was carried
out successfully in the analysis of the stability of such pillars.

1 INTRODUCTION interactions. In fact, the tributary area method con-

Several salt deposits in the world were mined out by the
room and pillar method. The depth of the salt deposit
is different from one site to another one (up to several
hundred meters). The most salt mines are relatively
old. After several decades of exploitation, the most of
French salts mines were abandoned, leaving signifi-
cant void spaces in the subsoil. The existence of such
voids, with various sizes, raises naturally the ques-
tion of the long-term stability of those mines and their
impact on safety of overlying population and structures
(Ghoreychi, 1990, 2003).
In our study, presented in this paper, we exclude
geomechanical stability analyses (in Hills sense (Hill,
1958)) of salt mine pillar. We focus only on the long-
term behavior of creeping pillar, assuming that the
stability is ensured at anytime.
Time is a significant parameter since rock salt
is characterised by a well-known strongly time-
dependent behavior. The classical method used in
order to assess the amount of pillars vertical stress,
in room and pillar mines, is usually based upon the
so-called tributary area method.
This approach is based on two major assumptions.
The first one is that it considers the overburden strata,
whatever their mechanical features, as a simple a dead
load. In other words, the weight of the overburden
layers is fully supported by the pillars, and the mean
vertical stress acting on the pillar is function of the
extraction ratio, the overburden thickness and its spe-
cific weight. The second assumption, which is the core
of this paper, deals with pillar-roof and pillar-floor
siders perfectly smooth contacts, with no shear stress
at the pillars ends. In general, this hypothesis is
implicitly taken without any justification.
In this paper, we will consider, as a first approxi-
mation, that the first assumption is valid. However, the
second assumption, seems to us too strong. The shear
stresses acting at the ends of the pillar are in general not
negligible. They can increase significantly the strength
of the pillar by the way of the reduction of the devi-
atoric stress, in a plasticity framework, and decrease
the creep strain, in a viscoplastic framework. The order
of deviatoric stress depends strongly on the geometry
of the pillar, more exactly, on the slenderness ratio
defined as the ratio of the pillars height over its width.
A way to bypass these two major assumptions can
be done by performing numerical computation of such
mechanical problems (using finite element computa-
tion for instance). Unfortunately, the geometric sizes
of such exploitations and the mechanical history are so
complex that it will be almost impossible to perform
an accurate numerical modelling of the overall prob-
lems. In order to improve and to keep the tributary
area method, we propose a simple method to adjust
it through factors determinated numerically. These
correcting factors take into account the interactions
pillar-roof and pillar-floor.
In this paper, the method is presented only in the
framework of viscoplasticity in order to analyse the
creep behaviour of salt pillar, although it was also
developed in the case of plasticity.
When taking into account the shear strength act-
ing at pillar boundaries, we observe that the reduction

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Copyright 2006 Taylor & Francis Group plc, London, UK

 factors are a non-linear function of slenderness ratio.
We observe also that the creep rate is reduced
substantially.
Several numerical computations have been per-
formed for different slenderness ratio, material param-
eters and loading cases.The validity of this method was
checked successfully by comparing results of various
finite element analyses with those of real cases and
with 3D finite element computations.
2 SALT CREEP MODEL
This study deals with salt mine pillars. In a short way
it is well recognised by the scientific community, that
salt material have the following mains features:
1. In the long term the salt can not sustain any devia-
toric stress, what implies that salt can flows indef-
initely, like a viscous fluid, under a small constant
deviatoric stress,
2. Creep rate is highly non-linear function of the
deviatoric stess,
3. Creep rate is extremely sensitive to the temperature
and described by the Arrhenius law.
Among all the salts constitutive models (Cristescu &
Hunsche, 1991, 1998), we choose the well known
and used Lemaitre power-law model (Lemaitre,1988)
expressed in rate form as follows:
Where:
vp is the second order vicosplastic strain tensor,
the Cauchy stress tensor,  tiplying correction factor to the averaged stress TAM ,
eq the Von Mises equivalent stress eq = 3/2(S : S)
S the deviatoric stress tensor (S = tr()/3(I )).
The only hardening parameter is the equivalent
vp
viscoplastic strain (eq ) defined as follows:
The reference stress o is equal to (1 MPa). In the
Arrhenius law Q is the activation energy, R the uni-
versal gas constant, T the absolute temperature and
A a material constant. Thus, only four parameters (A,
Q/R, n, m) define entirely the material. When m = 0
we obtain the Norton-Hoff model.
3 FACTORS OF CORRECTION
3.1 Main assumptions of the tributary area method
We suppose, for sake of simplicity, that the strata layers
and the mine are horizontal. Under this assumption,
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Copyright 2006 Taylor & Francis Group plc, London, UK
the tributary area method (TAM) states that the stress
acting in the pillar is homogeneous and that the second
order Cauchy stress tensor is completely defined by
only the single vertical component:
The value of this stress component depends on the
thickness of the overburden layers and the extraction
ratio () which is classically defined as follows:
Where Lp and w are the width of the square pillar
and the width of the room, respectively. The overbur-
den with as its specific weight and Hr as its thickness
is assumed as a purely weighing stratum (dead load).
Let us call TAM this vertical stress defined by the Trib-
utary Area Method. In stability analysis framework,
the averaged stress TAM is currently compared with
the uniaxial compression strength. In creep analysis
of salt pillar the deviatoric stress is then, with such
assumptions, maximal and equal to TAM .
We can observe, from the definition of the averaged
stress TAM that the mechanical contribution of the
overburden is not taken into account and that the pillar
ends are considered smooth and not rough.
3.2 Presentation of the method
In order to improve the tributary area method, while
preserving its simplicity, we propose to apply a mul-
as follows:
Where CRE 1 is a loading factor, which takes
into account the mechanical contribution of the over-
burden and CP 1 is the strength factor expressing
the mechanical effect of the pillar shear acting on
their ends. Rough ends create in general a confining
pressure (in average).
The above expression is more explicit written as
follows:
In the following, in all creep analysis is substituted
to TAM . As a first approximation we supposed that
the overburden can be considered as a dead load, thus
CRE = 1.
The factor CP is determined numerically using
finite element computations performed on a generic

Figure 1. Schematic plan of the pillar and the overburden
(A), geometric model (B), finite elements model (C) used in
finite element computation of Cp.
model (Fig. 1C). The use of numerical computa-
tion is principally due to the difficulty to express a
closed-form solution of such non-homogeneous and
non-linear IBVP (initial non-linear boundary value
problems) problems.
The equivalent 1D-creep problem of the real 3D pil-
lar creep problem is stated in the following four steps.
For a given load P = TAM , a set of material parameters
(A, Q/R, n, m) and a given pillar geometry defined by
is slenderness ratio = H /L (Fig. 1B):
1. We perform a finite element computation (here
in axial symmetry condition) of the viscoplastic
problem,
2. From this FE computation, we deduce the elas-
tic strain field e (x, t), the viscoplastic strain field
vp (x, t) and the displacement field U (x, t) (where
x pillar , and t [0, Tf ]), deformation.
3. Knowing the vertical displacement of the pillars
ends Uz (x , t), we define the mine closure C (which
is equal to the mean vertical strain) as follows :
4. Since the mean vertical strain (mine closure) is now
defined by the way an average, we formulate the
uniaxial or 1D problem as follows:
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Copyright 2006 Taylor & Francis Group plc, London, UK
1
0.9
0.8
0.7
0.6
Cp
0.5
0.4
Hypothesis of finite deformation
Hypothesis of small deformation
0.3
0.2
0 0.2 0.4 0.6 0.8 1 1.2 1.4 1.6 1.8 2
[-]
Figure 2. Factor of correction Cp for creep analysis: in the
case of small transformations and finite strains.
The only unknown of this problem is now Cp which is
the solution of the following non-linear problem:
Let us underline that equation (6) can be written as
follows:
Expression (7) shows that the correcting factor plays
the rule of confining pressure acting on the pillars
sides, and by this way reduce the deviatoric stress.
Figure 2 depicts the correcting factors in the case
of creep analysis of creeping pillars. One can observe
that Cp() increases with , and there is a signif-
icant difference when one considers small or finite
3.3 Correction in small perturbation hypothesis
In the case of small deformation or strain assumption
(Fig. 3) we can obtain a close-form expression for the
correcting factor Cp().
Using non-linear minimisation algorithm, we find
that Cp(), in small strain assumption, as the following
close-form:
 Figure 5. Cp(, t) for a given = (small strain
assumption).
Figure 3. Factor of correction Cp for creep analysis in the
small strain hypothesis.
Finite strain, = 60%, Hr = 200 m
0.95
= 0.5
0.9 =1
0.85

0.8
Cp

0.75

0.7

0.65

0.6
0 20 40 60 80 100 120
Time (years)

Figure 6. Cp(, t) for a given = (finite strain

Figure 4. Factor of correction Cp for creep analysis in finite
strain hypothesis.
We can see that Cp(0) = 0 and Cp() tend to 1 when
.This asymptotic value (assuming no buckling)
means naturally a perfect uniaxial compression test.
3.4 Correction in the case of finite deformation
In the case of finite deformation (Fig. 4) we can obtain
also a close-form expression for the correcting factor
Cp().
Using non-linear minimisation algorithm, we find
that Cp(), in small strain assumption, as the following
close-form:
We can see that Cp(0) = 0 and Cp() tend to a value less
than 1 (0.86) when . In the long term (t )
Cp() should be equal to zero, since in finite strain
assumption).
framework, using updated Lagrangian approach the
total closure of mine must be reached. This problem is
described in the following section.
3.5 Time evolution of Cp
The computation of Cp() has been performed using
a sufficient great time interval (several years).
Time evolution of Cp(, t) for a given = are
shown in figures (Figs.5,6).
We must observe that in the case of small strains
assumption Cp(, t) increases and reaches rapidly
an asymptotic value (Fig. 5). This hypothesis (small
strain) is valid until great values of strain are not
reached (say, several percents). On the other hand,
when finite strains are used (which is a more accurate
approach of the size of deformation) the coefficient
Cp(, t) must decrease with time. It is what occurs in
this case (Fig. 6). We observe however that the rate
Cp(t, ) decreases with time, but it seems that not

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Copyright 2006 Taylor & Francis Group plc, London, UK

 150
=5
=4
=3

100

E [%]
50

0
0 2 4 6 8 10 12 14 16 18 20
Figure 7. Evolution of Cp for different values of the Young E = ECp [%]
modulus of the roof.
Figure 8. E Versus E .
asymptotic value will be reached. Theses curves mean
that the closure will pursue until the closure is totally
achieved.

3.6 Influence of the roof rigidity

The method for determining the correcting factors Cp
assume perfect kinematics continuity at the pillar and
roof interface and also at the pillar and floor interface.
Secondly no radial displacement of the pillars ends
are allowed. One can question about this kinematics
condition which seems too strong.
In Figure 7 we have performed, for a given problem,
several computations by varying theYoung modulus of
the roof neighbouring the pillar.
The Young modulus range from a very smooth to
high values. Roughly speaking, the value of the Young
modulus can be interpreted as the roughness of the Figure 9. Schematic view of rooms & pillars salt mine
interface. model.
We observe on Figure 7, that the correcting factor
tends immediately to a constant value and thus for very
small Young modulus. This fact validates our initial 4 APPLICATIONS
assumption (of a perfect rough interface, which allows
no radial displacement). The first comparison is performed on a 3D finite
element model (Fig. 9). The others concerns real cases.
3.7 Remarks
Some simple remarks have to be done, in the light of
the obtained results. Firstly we have to point out the 4.1 Comparisons with 3D finite element modelling
extreme sensitivity of the creep law to the value of We supposed that the mine is indefinitely long in two
the deviatoric stress. Since the law is a power law with directions, thus by symmetry we consider only the
deviatoric stress exponent (ranging from 3 to 5 for salt) pillar, the room and the overburden (Fig. 10). The
a small error on the deviatoric stress lead to a great thickness of the overburden is 200 m. The pillar has a
error on the value of the viscoplastic strain (Fig. 8). 10 10-m section and 5 meters height. The extraction
With E = (1 + E ) 1 and E : Error realised in ration is equal to 75%. Norton model is assumed for
the value of in % the salt.
This graph shows the great sensibility of the As we can observe on Figure 15, the simple method
response of the material and thus imply an accurate based on Cp, give (rapidly) accurate results. The rate
determination not only of the stress acting on a pillar of closure is the following: 105 /day (F.E.), 1.7
but also the different materials parameters. 105 /day (with Cp) and 5.3 105 /day (using TAM).

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Copyright 2006 Taylor & Francis Group plc, London, UK

 Figure 13. Example of vertical displacement: (after 2000
days).

Figure 10. Detail of 3D finite element used in finite element

computations.

Figure 14. Example of Von Mises stress (after 2000 days).

Figure 11. Example of the pillar shape after deformation.

-0.03
-0.04
-0.05
Finite element
-0.06 Tributary area
With Cp
vp [-]

-0.07
-0.08
-0.09
-0.1
-0.11
1600 1700 1800 1900 2000
Time [day]

Figure 15. Comparison of the different methods for the

Figure 12. Example of vertical displacement, (immediately,
evaluation of the vertical (mean) viscoplastic strain.
after salt extraction).

A part of the mine is about 110 years old: this is located

4.2 Comparisons with real cases
This example deals with a real case of a salt mine
exploited by room and pillars method. This mine is
located in the North of France. The pillar height is
4.5 meters and the extraction ratio is equal to 75%.
at about 135 m of depth. In this area the pillars are of
square section of 10 by 10 meters. A thick salt layer
has been left in the roof. The second part of the mine is
about 70 years old, is located at about 143 m of depth.
In this area the pillars are of square section of 15 by

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Copyright 2006 Taylor & Francis Group plc, London, UK

 Pillar 10 m 10 m, = 75%, Hr = 135 m
0

Finite elements results

-10
Correcting method : Cp = 0.74
Axial strain [mm/m]

-20

-30

-40

-50

-60
0 20 40 60 80 100 120 Figure 18. Plan of Varangville salt mine.
Time (Year)

Figure 16. Comparison of finite element results and the Varangville Hr = 200 m, H = 5.5 m
0
results obtained by the correcting method. P: 15 m x 15 m
-100 P: 10 m x 10 m
-200
Pillar 15 m 15 m, = 75% , Hr = 143 m -300
1966 1980
Convergence (mm)

0
-400

-10 A
Finite element results -500
A
Axial strain [mm/m]

Correcting method : Cp = 0.6 -600

-20 -700

-30
-40
-50
-60
0 10 20 30 40 50
Time (year)
Figure 17. Comparison of finite element results and the
results obtained by the correcting method.
15 meters. A thick salt layer has been also left in the
roof. Two analyses were performed in order to describe
the axial (vertical) averaged strain evolution. The first
one used finite element analysis (Figs. 16, 17)
In theses two examples (using Lemaitre constitu-
tive model), the deviatoric exponent is equal to 3.4.
The tributary area method leads for the first case to a
magnification of the viscoplastic strain equal to:
-800
B
-900
B
-1000
1930 1935 1940 1945 1950 1955 1960 1965 1970 1975 1980
year
Figure 19. Salt mine closure vs. time.
60 70 80
We observe that the reduction in term of the viscoplas-
tic strain intensity as well as in term of strain rate is
considerably reduced by a factor ranging from about
3 to 6. The next example concerns a salt mine located
in northeast of France (Varangville, Fig. 18).
This mine was monitored several years. The rooms
closure and the soil subsistence were measured since
1966 to 1981. In Figure 19, we show the results
obtained with the correcting method for two kinds
of pillars (10 10 m and 15 15 m). The overburden
thickness is equal to 200 m and the pillars height is
equal to 5.5 m.
In Figure 19 one curve belongs to the square pil-
lar (15 15) and the second one to the square pillar
(15 15). The monitored increment of closure Cv
during 14 years (19661980) belongs to 60 mm to
90 mm.
With the corrected method we find the following
and for the second case:
increment of closures:
For pillar (10 10) : Cv(A A
) = 95 mm,
For pillar (15 15) : Cv(B B
) = 60 mm.

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Copyright 2006 Taylor & Francis Group plc, London, UK

 Table 1. Closure rate for different overburden thickness and main feature of this method is that it allows avoiding
different pillar section. huge finite element computations and is very accurate.
Although the method was presented in the context of
Hr = 160 m Hr = 200 m salt material it seems also applicable since the behavior
of the material in question is viscoplastic.
(P1:10 m 10 m) 1,6 1011 s1 3,4 1011 s1
The same methodology was extended in order
(P2:15 m 15 m) 9,4 1012 s1 2,0 1011 s1
to analyse pillar stability. The first results in this
(TAM) 4,8 1011 s1 9,4 1010 s1
(TAM)/(P1) 3 27 framework are promising.
(TAM)/(P2) 5 47

In term of rate closure the monitored values belong
to:
With the corrected method we find:
We observe the significant difference between the
results obtained with the TAM method and the mod-
ified one. We observe also the ability of the method
to find an accurate rate in accordance with the mea-
sured ones.
5 CONCLUDING REMARKS
A simple method was proposed for analysing and
describing the viscoplastic behavior of salt mine pil-
lars.The method applied successfully in some real sites
in order to check long term behaviour of pillars. The
REFERENCES
Cristescu N., Hunsche U. 1991. A constitutive equation for
salt, 7th Int. Cong. Rock Mech., Aachen, Sept. 1620,
Balkema.
Cristescu N., Hunsche U. 1998.Time effects in Rock Mechan-
ics, Wiley.
Ghoreychi M. 1990. Consquences du comportement ther-
momcanique du sel pour la conception et la sret
dun enfouissement de dchets radioactifs. Stockage en
Souterrain, Presses des Ponts et Chausses, 229243.
Ghoreychi M., Daupley X. 2003. Devenir long terme
dexploitations abandonns de sel. Revue Franaise de
Gotechnique, Vol. 106107, 7383.
Hill R. 1958. A general theory of uniqueness and stability
in elastic-plastic solids. J. of Mech. and Phys. of solids,
6:239249.
Lemaitre J., Chaboche J. L. 1988. Mcanique des matriaux
solides. Dunod, Paris.
Rice J.R. 1974. The localisation of plastic deformation. The-
oretical and applied mechanics, W.T. Koiter ed, North
Holland, 207220.

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Copyright 2006 Taylor & Francis Group plc, London, UK

 EUROCK 2006 Multiphysics Coupling and Long Term Behaviour in Rock Mechanics
Van Cotthem, Charlier, Thimus & Tshibangu (eds)
2006 Taylor & Francis Group, London, ISBN 0 415 41001 0

Using scaled seismic studies to validate 3D numerical models of the

rock barrier around a deep repository

W.S. Pettitt & J.R. Haycox

Applied Seismology Consultants Ltd., Shrewsbury, UK

R.P. Young
Lassonde Institute, University of Toronto, Toronto, Canada

ABSTRACT: Microseismic, acoustic emission (AE) and ultrasonic technologies are scaled seismic investiga-
tions that provide remote methods of examining the disturbance and damage evolution induced in a rock mass
experiencing changes in operating conditions. The technologies allow the volumes of disturbance and damage to
be delineated and quantified, and provide measured data for the validation of numerical models that predict the
effects of the environmental conditions on the rock mass, including mechanical, thermal and hydraulic stresses,
and chemical and biological processes. An example environment is a high-level radioactive waste repository. In
this paper we show example results from the Prototype Repository Test at SKBs sp Hard Rock Laboratory
(HRL), Sweden. We relate the results to the operating conditions experienced during the initial phases of the test
and to full-scale modelling simulations performed in theAC/DC software, a new modelling code developed during
the SAFETI project, co-funded by the European Commission as part of the fifth EURATOM Framework Program.

1 INTRODUCTION on a full scale and to compare results with models

Numerical computer models are a powerful tool for the
investigation of rock fracture, especially when com-
bined with observational validations. The SAFETI
project (Young et al. 2004a,b) has developed and
tested an innovative three-dimensional (3D) numeri-
cal modelling code for simulating radioactive waste
repositories in rock. The code is called AC/DC (Adap-
tive Continuum/Discontinuum Code), and is partially
based on Itasca Consulting Groups Particle Flow Code
(PFC). The unique features of the AC/DC software
are the combination of continuum and discontinuum
methods allowing both induced stress disturbance and
induced fracture damage to be realised in the same
model, and the parallelisation of the codes to allow
the software to be run on a super-computer cluster
enabling large (full-scale) excavation models to be
completed.
As part of the SAFETI project, geophysical valida-
tion has been performed using AE and ultrasonic data
from laboratory and in situ experiments (Young et al.
2004a,b). The AC/DC codes have been used to per-
form full-scale modeling of the Prototype Repository
Test (PRT) conducted at 450m depth at the HRL in
Sweden and operated by Svensk Krnbrnslehanter-
ing AB (SKB). The objective of the PRT (Figure 1)
is to test and demonstrate the integrated function of
the repository components under realistic conditions
and assumptions. The experiment consists of a 90 m
long, 5 m diameter sub-horizontal tunnel excavated in
dioritic granite using aTunnel Boring Machine (TBM).
The rock mass has two main discontinuous sets of
sparse, en-echolon fractures (Patel et al. 1997). An
average stress tensor for the HRL is given in Table 1.
The approximate uniaxial compressive strength of
intact diorite is 214 MPa (Staub et al. 2003).
The PRT design incorporates six full-scale canister
deposition holes, which have been excavated vertically
into the floor of the tunnel using a TBM converted to
vertical boring. Each deposition hole measures 1.75 m
in diameter and approximately 8.8 m in length. Sim-
ulated waste canisters, encased in a bentonite buffer,
have been placed into each deposition hole and heated
from within by specially designed electric heaters
to simulate disposed radioactive material. The tunnel
was then backfilled using a mixture of bentonite and
crushed rock, and sealed using concrete plugs. The
tunnel will remain sealed for up to 25 years in order to
investigate the effects of operating conditions as they
reach a steady state.
AE and ultrasonic monitoring is being used to
remotely monitor the performance of the PRT. During
deposition-hole excavation, pressurisation and heat-
ing, AE monitoring has been used to delineate zones
of stress-related fracturing around the deposition-hole
perimeter, and to observe the effects of stresses on

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Copyright 2006 Taylor & Francis Group plc, London, UK

 Figure 1. Plan view of the experimental tunnels at the sp HRL and the location of the Prototype Repository. A schematic
illustration of the final experimental set up is shown with canisters and bentonite clay buffer installed in the 1.75 m diameter
deposition holes (note the entrance of the tunnel is towards the left on this plot).
Table 1. Average stress tensor for the HRL (Pettitt et al.
2000).
Stress Magnitude Trend Plunge
component (MPa) ( ) ( )
1 32 131 0
2 17 41 25
3 10 229 65
pre-existing macroscopic fractures in the rock mass.
Ultrasonic surveying has been used to measure the
effects of the disturbance on the elastic properties of
the rock. In this paper we show example AE results
from the monitoring of one of the deposition holes
and relate the results to the operating conditions expe-
rienced during the initial phases of the test and to
example full-scale modelling simulations performed
in the AC/DC software.
2 AE MONITORING AT THE PRT
AEs occur on fractures in the rock mass when they are
created, or when they move, and release energy in
the ultrasonic frequency band (>35 kHz). AE mon-
itoring is particularly adept at mapping the Excava-
tion Damaged Zone (EDZ), where induced fracturing
is occurring, and visualising how the EDZ grows
and migrates through time. It also highlights stress-
disturbance on existing fractures when they move and
generate friction along their surfaces. Ultrasonic sur-
veys are used to activelyexamine the rock by sending
signals between an array of ultrasonic transmitters and
receivers. Amplitude and velocity changes on the ray
paths can then be used to examine changes in the mate-
rial properties of the rock. Ultrasonic surveying allows
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Copyright 2006 Taylor & Francis Group plc, London, UK
both the EDZ and Excavation Disturbed Zone (EdZ),
where stresses and environmental effects disturb the
rock mass without fracturing it, to be quantifiably
measured.
The monitored deposition hole (labelled DA3545
G01) was excavated in the PRT in September 1999
in eleven 0.8 m steps over a two-week period. During
this period a temporary ultrasonic array was installed
around the rock volume and removed after excavation
(Pettitt et al. 2002a). A permanent ultrasonic array,
with transducers grouted into instrumentation bore-
holes, was then installed in the rock mass in 2002
(Pettitt & Haycox 2004). In April 2003, heaters within
a simulated waste canister installed in the deposition
hole were switched on causing temperatures to rapidly
increase in the rock mass up to approximately 50 C at
the rock wall.
The ultrasonic array consists of twenty-four trans-
ducers configured as eight transmitters and sixteen
receivers. These were installed into four instrumenta-
tion boreholes using specially designed frames two
transmitters and four receivers per borehole (Pettitt
et al. 2002a). The instrumentation boreholes are verti-
cal, 76 mm in diameter and approximately 10 meters
in length distributed around the deposition-hole vol-
ume. AE waveform processing has utilised ASCs
InSite Seismic Processor software. The waveforms
were first passed through an automatic picking rou-
tine to measure P- and S-wave arrival times. These
were then inverted using a downhill-simplex routine to
calculate source locations using a measured velocity
model from ultrasonic surveys. Calibration shots, con-
ducted after excavation, have provided an estimated
uncertainty for AE locations of 10 cm. The sensitivity
of the array meant it was able to record, and then locate,
a pencil-lead break on the wall of the deposition hole.
This corresponds to an AE source dimension on
 Figure 2. AE source locations around deposition hole
DA3545G01. The view is horizontal and to the north-west
(direction of 1 ).
the millimetre scale (grain size). Subsequent analy-
sis showed this to be equivalent to the smallest AEs
recorded during the experiment.
There were 2080 AE triggers during the excavation
phase. Of these, 884 were located and are shown in
Figure 2. The AEs form distinct spatial clusters around
the deposition hole perimeter. Those that appear to
locate within the hole on this plot are located beneath
each excavation step as it descends into the rock mass.
The majority of the AEs occurred within 24 hours
of the excavation passing a certain depth, although
sporadicAEs were located down the length of the exca-
vation for many days afterwards (eventually reducing
to zero), particularly in clustered regions where rock
damage was more extensive.
When viewed parallel to the axis of the deposition
hole (Figure 3) there is a clear relationship between the
AE source locations and induced compressive stresses.
Figure 3a gives a horizontal section through the depo-
sition hole on which modelled induced stresses are
contoured. The boundary-element stress-modelling
package, Examine3D has been used in this analysis. A
three-dimension model of the excavations in the PRT
(including both the tunnel and the deposition holes)
has been constructed, and then induced stress magni-
tudes and orientations have been computed over the
excavation boundaries and through a volume around
the excavations. The model assumes an infinite elastic
medium outside of the excavation volume. Hence
effects of geological structures such as macroscopic
fractures and changes in lithology are ignored in this
analysis.
391
Copyright 2006 Taylor & Francis Group plc, London, UK
Figure 3. (a) Induced compressive stresses around the depo-
sition hole modelled in Examine3D . The view is upwards onto
the lower surface of the tunnel. (b) AE locations.
As the Maximum far-field Compressive Stress, 1
is horizontal then high, induced, compressive stresses
are observed on the perimeter of the deposition hole as
diametrically opposite lobes (similar to a simple two-
dimensional Kirsch solution). The maximum induced
stress is 97 MPa in the intersection between the depo-
sition hole and the Prototype Tunnel. The compressive
lobes are not exactly orthogonal to the far field 1 , as
may be expected, but are rotated by about 15 azimuth.
This is a three-dimensional effect of the tunnel above,
with the angle of rotation slowly decreasing down the
length of the deposition hole (further away from the
tunnel).
Orthogonal to the induced compressive stresses are
zones of unloading. Only small tensile stresses of less
than 3 MPa are modelled in very localized volumes
in this zone (a few centimeters in dimension). Fig-
ure 3b shows the AE locations superimposed on the
induced stress field. The AE locations are mainly dis-
tributed in diametrically opposite zones that match the
rotated high-induced compressive stresses. Orthogo-
nal to these are much tighter clusters that locate in the
unloaded, slightly tensile, zone. The locations extend
to a maximum of approximately 30 cm into the rock
mass.
The diorite has a uniaxial compressive strength of
approximately 214 MPa, so the AEs observed here
are unlikely to be a result of fracturing in the intact
rock. Pettitt et al. (2000, 2002b) compare the AE
 Figure 4. Diagrams showing the setup of the AC/DC model of the SKB PRT: (a) in terms of pbricks, and (b) the deposition
hole shown in ACDCVIS.
cluster locations with mapped macrofractures within
the deposition hole and conclude that it is rare to
find clustering of AEs that cannot be associated with
a macrofracture, although not all mapped fractures
are associated with AE activity. Highly dense clusters
seem to be associated with intersections of two or more
fractures in a small volume. Its therefore concluded
that the creation of the AEs in the deposition hole wall
is due to disturbance around pre-existing fractures by
induced compressive stresses, rather than new micro-
cracking generated in the rock mass as a whole. The
induced stresses may either cause very small move-
ments on the existing macrofractures close to the wall
or create new microcracking in a weakened zone of the
rock in the immediate vicinity of a macrofracture. Only
fractures with a preferential property, perhaps orienta-
tion relative to the stress field or localized weakening
from the TBM cutter-head action, are stress-disturbed.
3 MODELLING THE EXCAVATION
Traditionally, the application of numerical models to
engineering has made use of continuum codes. These
are ideal for situations where the failure occurs pri-
marily due to tensile stresses, as once failure has
occurred there is no interaction between the failure sur-
faces. However, in rock engineering problems, where
the applied loads are essentially compressive (gravita-
tional & tectonic), rupture surfaces continue to interact
after failure. A discontinuum particle model is then
needed to model the complex features of the disin-
tegration process. Discontinuum codes, that simulate
rock as an assembly of distinct elements or particles,
have already shown considerable promise in repro-
ducing the mechanics of rock failure. In particular,
Particle Flow Code (PFC) has been shown to reproduce
both static and dynamic elements of rock behaviour
(Potyondy et al. 1996, Hazzard & Young, 2004).
The AC/DC modelling code has been developed
for use on parallel supercomputers as a result of
the need for realistic field scale models which
are computationally intensive. The code works by
392
Copyright 2006 Taylor & Francis Group plc, London, UK
adaptively switching continuum elements to discon-
tinuum (discrete particle) elements in order to track
the development of cracking as it occurs. The AC/DC
code has been compiled and tested on the Network
Earth Science Supercomputer Cluster (NESSC) at Liv-
erpool University. NESSC is a 260 processor Beowulf
cluster with 100 Gb of RAM, 2.5 TBytes of hard disk
and fast Ethernet networking. The code runs under
Linux and has been written to be easily portable to
other supercomputing facilities.
The main basis behind AC/DC is the formation of
periodic cells (pbricks) which are a densely packed
assembly of PFC particles (Figure 4a). To produce
pbricks that most closely match the macroproperties
of the rock of interest, the particle and bond micro-
properties are selected, such that the overall modelled
rock produces a response similar to that of the actual
rock undergoing standard rock strength tests. Each
pbrick is formed in such a way that it can be repli-
cated allowing it to fit together perfectly in all three
principal directions. Larger models are formed using
pbricks as building blocks, ideal for use on supercom-
puters because each node (processor) can be assigned
one or more pbricks.
Matrix pbricks and degenerate matrix pbricks can
also be created and represent a reasonable assump-
tion in regions where microcracking is not expected.
They are more computationally efficient than parti-
cle pbricks. Adaptive logic in AC/DC converts matrix
pbricks to particle pbricks as required. A set of func-
tions have been written and tested to record AE in
AC/DC (and PFC) models and calculate locations,
magnitudes and mechanisms (moment tensors). The
technique is able to account for events composed of
multiple bond breaks and produces realistic magnitude
distributions and moment tensors (Hazzard & Young
2004).
Stress corrosion logic has been incorporated into
AC/DC, to simulate the effect of rock strength degrada-
tion due to moisture, stress and time. Time dependant
effects have been observed in AE recorded in a number
of crystalline rock experiments (Young & Collins
2001). The stress corrosion functions are applied to
 Figure 5. Modelled (left) and measured (right) AE data after excavation of a round of the PRT deposition hole. View is
parallel to 1 .

Figure 6. A comparison of modelled microcrack data (a,b) from Figure 5 and the measured AE data (c) for the PRT deposition
hole. All views are in plan and relative to the indicated maximum principal stress orientation.

the particle bond strengths, and are found to produce
more realistic matches to AE magnitude and time
distributions (Potyondy & Cundall, 2004).
A large scale AC/DC model has been produced of
the PRT. The main aim was to attempt to reproduce
the AE pattern that was measured during the incre-
mental excavation stages of the vertical deposition
hole. A model was produced using 640 pbricks,
with each pbrick being 0.8 m 0.8 m 0.4 m height,
and containing 13700 particles. Each pbrick was
assigned a model of rock for diorite. The model
setup is shown in Figure 4, comprising a volume of
6.4 m 6.4 m 4.0 m. The outer part of the model
is composed of 280 degenerate matrix pbricks, the
middle part of 200 matrix pbricks (with 2.7 million
structural nodes), and the inner part with 160 particle
pbricks (with 2.2 million particles). Boundary stresses
were applied to mimic the PRT conditions.
The first model ran using a calibrated bond strength
of 208 MPa and showed that no microcracks occur
around the deposition hole. This result was not unex-
pected as AE do not locate in a continuous band
down the length of the deposition hole, but instead
are interpreted to be occurring on intersections of the
deposition hole with pre-existing fractures or zones
of weakness in the rockmass that are under induced
stress conditions due to the excavation. A sensitivity
study was performed to define the range of parallel
bond strength that would allow crack generation in the
model. The first microcracks around the deposition
hole were obtained by using a mean bond strength of
43 MPa. A value of 24 MPa was interpreted to produce
microcracks that were most realistic to the number and
distribution of the measured AE.
Figure 5 presents the modelled microcracks from
an excavation step. Figure 6 shows a plan view of
the microcracks that occurred in a short time period
directly after the excavation of the second excava-
tion increment. For comparison, the figures also show
the measured AE. A number of similarities are seen
between the modelled and measured data including
significant clustering near the deposition hole perime-
ter in the 3 direction, and less microcracking in the 1
direction, agreeing with modeled induced stresses as
described earlier. The microcracks also show cluster-
ing around the bottom of the excavation. Microcracks
occurring further out from the excavation occur at a
later time than the ones near to the deposition hole, as
a result of time dependent stress redistribution. Pettitt
et al. (2000, 2002b) performed a source mechanism
analysis of the measured AE below the excavation
and found fractures to be preferentially oriented sub-
parallel (sub-horizontal) to the excavation. A signifi-
cant portion of the modelled microcracks below the

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Copyright 2006 Taylor & Francis Group plc, London, UK

 excavation are also shown to be sub-parallel (Young
et al. 2004a).
4 CONCLUSIONS
AE and ultrasonic monitoring is being used to remotely
monitor the performance of the Prototype Reposi-
tory Test, operated by the Swedish radioactive waste
agency, SKB, in order to simulate a disposal tunnel
in a real deep repository for high-level radioactive
waste. AEs are shown to locate around the perime-
ter of a deposition-hole excavation where the void
intersects macrofractures that pass through the dioritic
granite. The AEs are created by induced compres-
sive stresses causing small movements on existing
macrofractures close to the wall, or new microcracking
in a weakened zone of the rock in the immediate vicin-
ity of a macrofracture. The monitoring has shown that
ultrasonic and AE techniques can successfully detect
and analyse the changing rock conditions around
the deposition-hole when it undergoes a changing
environment, such as thermal and mechanical stress
disturbance, and can interpret these changes in terms
of rock properties.
A state of the art modeling code (AC/DC) has been
developed as part of the SAFETI EC project, and is
based on Itascas PFC3D . The code allows models of
field-scale engineering projects to be performed. The
AC/DC codes have been used to perform full-scale
modelling of the Prototype Repository Test (PRT).
Models consisting of millions of particles were per-
formed for the excavation, with the modelled and
measured microcracking showing similarities in spa-
tial distribution and source mechanism. Microcrack-
ing in the models was found to occur at a significantly
reduced mean bond strength compared to the uniaxial
compressive strength of the intact diorite, consistent
with the AE results that show the intact diorite is
strong enough to withstand microcracking at the in
situ stresses experienced, but that the presence of
macrofractures cause localized reductions in strength.
It is hoped that through this combined approach of
modelling full-scale 3D excavations, and monitoring
the in situ excavations using scaled seismic investiga-
tions, it will be possible to better understand, and thus
predict, the long-term behaviour of critical engineered
structures.
ACKNOWLEDGEMENTS
The authors gratefully acknowledge part funding for
the SAFETI project from the European Commission
as part of the fifth EURATOM framework programme,
Nuclear Fission (19982002). The authors would also
like to acknowledge our partners in the SAFETI
project including Daniel Billaux, Peter Cundall and
394
Copyright 2006 Taylor & Francis Group plc, London, UK
David Potyondy from Itasca, Christer Svemar from
SKB, and Dave Collins, Jim Hazzard and Andy Heath
at Liverpool University.
REFERENCES
Hazzard, J.F. & Young, R.P. 2004. Dynamic modelling
of induced seismicity. International Journal of Rock
Mechanics & Mining Sciences, 41: 13651376.
Patel, S., Dahlstrom, L.-O. & Stenberg, L. 1997. Character-
isation of the Rock Mass in the Prototype Repository at
sp HRL Stage 1. sp Hard Rock Laboratory Progress
Report HRL-97-24, Swedish Nuclear Fuel and Waste
Management Company, Sweden.
Staub, I., Janson, T. & Frederiksson, A. 2003. sp Pillar
Stability Experiment Geology and properties of the
rock mass around the experiment volume. International
Progress Report IPR-03-02, Swedish Nuclear Fuel and
Waste Management Company, Sweden.
Pettitt, W.S., Baker, C. & Young, R.P. 2000. Analysis of the
in-situ principal stress field at the HRL using acoustic
emission data. International Progress Report IPR-01-09,
Swedish Nuclear Fuel and Waste Management Company,
Sweden.
Pettitt, W.S., Baker, C., Young, R.P., Dahlstrm, L.-O. &
Ramqvist, G. 2002a. The assessment of damage around
critical engineering structures using induced seismicity
and ultrasonic techniques. Pageoph. 159: p. 179195.
Pettitt, W.S., Baker, C. & Young, R.P. 2002b. Using acous-
tic emission and ultrasonic techniques for assessment
of damage around critical engineering structures. Min-
ing and Tunnel Innovation and Opportunity; Proceedings
of the 5th North American Rock Mechanics Symposium,
Toronto, Canada, University of Toronto Press: 11611170.
Pettitt, W.S. & Haycox, J.R. 2004. Acoustic emission and
ultrasonic monitoring of deposition hole DA3545G01
during the excavation and heating phases. In SAFETI
Final Technical Report, Fifth Framework EURATOM
Program, EC.
Potyondy, D.O., Cundall, P.A. & Lee, C. 1996. Modelling
rock using bonded assemblies of circular particles. In Rock
Mechanics Tools and Techniques; Proceedings North
American Rock Mechanics Symposium, Montreal, Canada.
Potyondy, D.O. & Cundall, P.A. 2004. A bonded-particle
model for rock. International Journal of Rock Mechanics
& Mining Sciences, 41: 13291364.
Young, R.P. & Collins, D.S. 2001. Seismic studies of rock
fracture at the underground research laboratory, Canada.
International Journal of Rock Mechanics & Mining Sci-
ences, 38: 787799.
Young, R.P., Collins, D.S., Hazzard, J., Heath, A.,
Pettitt, W.S., Baker, C., Billaux, D., Cundall, P., Potyondy,
D., Dedecker, F., Svemar, C. & Lebon, P. 2004a. Seismic
Validation of 3-D Thermo-Mechanical Models for the
Prediction of the Rock Damage Around Radioactive
Waste Packages in Geological Repositories, SAFETI Final
Technical Report, FIKW-2001-00200, EURATOM Fifth
Framework, EC.
Young, R.P., Collins, D.S., Pettitt, W. S. & Hazzard, J. F. 2004b.
Imaging and Visualization of Fractures in Rock Engi-
neering. In Proceedings of the 3rd ARMS, Kyoto, Japan,
pp10.
 3 Multiphysics coupling and long term behaviour
3.1 Laboratory experiments and theoretical concepts

Copyright 2006 Taylor & Francis Group plc, London, UK

 EUROCK 2006 Multiphysics Coupling and Long Term Behaviour in Rock Mechanics
Van Cotthem, Charlier, Thimus & Tshibangu (eds)
2006 Taylor & Francis Group, London, ISBN 0 415 41001 0

Weathering and strength of partially saturated soft rock

C. Bnsch
Institute for Geosciences Martin Luther University Halle-Wittenberg, Halle/Saale, Germany

ABSTRACT: The varying hardness and the fast disintegration of overconsolidated claystones are part of a
detailed investigation considering Triassic Rt claystones and Jurassic Opalinuston as examples from various
locations in Germany. Changes of clay mineralogy are insignificant during the fast disintegration process. Con-
sequently, there must be other reasons for the claystone to undergo rapid disintegration. The interactions of pore
water pressure and suction tension in partially saturated rock depending on water permeability, saturation level
and external loads determine shear strength of differently weathered claystones and disintegration of claystone
aggregates. For similar mineralogical composition as well as similar chemistry of the pore fluid and at a distinct
saturation level, the capillary part of suction tension increases with the degree of weathering. The adsorptive
part of the suction tension due to mineralogical and pore fluid chemical composition is almost the same. If the
saturation level is low, the shear strength is relatively high and high suction tensions are active in the pore space.
The friction angle is almost equal and independent of the degree of weathering for natural moisture content
and higher saturation levels. The cohesion changes with saturation level and degree of weathering. Due to high
suction tensions the tendency to disintegration of claystones during drying-wetting-cycles is reduced.

1 INTRODUCTION

The varying solidness and the fast disintegration of

claystones can often be observed in man-made and
natural outcrops. Detecting causal coherences for the
solid-fluid-interaction was not really successful until
now. Therefore the behaviour of clays as a building
base often changes unexpectedly. Thus the bearing
capacity of ground or the slope stability can change
significantly during civil works. These phenomena are
part of a detailed investigation considering Triassic
Rt claystones and Jurassic Opalinuston from various
locations in Germany. Claystones with similar particle
size distribution and mineralogical composition, and
almost equal diagenetic history from three weathering
profiles were tested. Are changes in the clay mineral-
ogy or other possible reasons responsible for the rapid
disintegration? In particular, how do these changes Figure 1. Weathering types of claystones.
influence the slope stability?

transition from nearly unweathered type 1 to the replas-

2 CLASSIFICATION OF WEATHERED
CLAYSTONES
An applicable classification of weathered claystones
is required first. The examined claystones display dif-
ferent states of weathering that can be classified as
different types. Four weathering types are used in this
work, which is partly based on the weathering classes
of Einsele & Wallrauch (1964). There is a smooth
ticised type 4 (Figure 1). The progressive weathering
is related to a decrease of aggregate strength and an
increase of the fine-grained part of the matrix. The
field classification in well-defined weathering types is
a necessary compromise which is needed for practical
reasons in the everyday civil engineering.
Type 1 are claystones that have to be described
according to the weathering classification to Einsele &
Wallrauch (1964) as fresh jointed rock (W0). They

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Copyright 2006 Taylor & Francis Group plc, London, UK

 Table 1. Clay mineralogy of two weathering profiles in a
Rt claystone and Opalinuston.
Rt claystone Opalinuston
Illite Kaolinite Mixed layer Illite Kaolinite
Type 1 87 10 3 75 25
Type 2 89 9 2 70 30
Type 3 87 11 2 73 27
Type 4 n.m. n.m. n.m. 79 21
have a firm consistency and are strongly overconsol-
idated. They do not contain any soft matrix quota.
Firm to semi-solid rock is classified in the weather-
ing classes W1 to W2 under Type 2. This material
is predominantly overconsolidated but contains some
soaked normally consolidated matrix quotas. Inhomo-
geneous semi-solid rocks in the weathering classes W3
to W4 are summarised in Type 3 clays. Stronger
overconsolidated little chunks swim in a soft, normally
consolidated matrix, whose fraction increases propor-
tionately with progressive weathering. The weathering
of Type 4 clays is so advanced (W5) that the mate-
rial is a homogeneous cohesive loose soil in a soft,
sliceable and apparently normally consolidated state.
The clay mineralogy was measured by X-Ray
diffraction of the separated part <2 m. There is no
significant change in the mineralogical composition
during the weathering process. Of course, there may
be differences in crystallinity. The Rt claystones con-
sist of 87 to 89 per cent illite, 9 to 11 per cent kaolinite
and a very small amount of, not further determinable,
mixed layer clay mineral. The Opalinuston has an illite
quota of 70 to 79%. The rest of the clay minerals con-
sists of kaolinite. Gypsum occurs finely distributed in
the pore space or as a joint filling in the two rocks.
The coarser grains consist of quartz while feldspar
could not be detected. Pyrite can be contained in the
Opalinuston in less weathered areas.
3 MEASUREMENTS
Measurements of suction tension, tendency of disin-
tegration and shear strength are considered in detail.
Pressure membrane equipment was used for measur-
ing the suction tension. The tendency of disintegration
can be characterized by the decay during controlled
drying-wetting cycles. The shear strength of the clay-
stones was determined by direct shear tests.
3.1 Suction tension
Suction tension consists of capillary and adsorptive
parts. The capillary part depends on the pore size dis-
tribution. The adsorptive part of suction tension is a
function of the mineralogical composition of the solid
part and the chemical composition of the pore fluid.
Lu & Likos (2004) distinguish explicitly between the
Copyright 2006 Taylor & Francis Group plc, London, UK
capillary regime of soil suction from 0 to 100 kN/m2 ,
the adsorbed water film regime between 100 and
10,000 kN/m2 and the tightly adsorbed regime at
suction tensions from 10,000 to 1,000,000 kN/m2 .
The adsorptive tensions are in the range of about
50,000 kN/m2 in considered to Schick 2004.
Using pressure membrane equipment, the capillary
part of suction and partly the suction due to the
adsorbed water film can be determined for air pres-
sures between 5 and 1,500 kN/m2 . A special cellulose
acetate membrane is used that is water permeable but
airtight.
Normally, the water content (respectively the sat-
uration level) is plotted against the logarithm of the
tension (pF) in the pF curve. Permanent fading point
and field capacity are commonly used agricultural
terms to describe the pF curve (Hartge & Horn 1999).
The permanent fading point corresponds to a pF value
of 4.2 (1500 kN/m2 ) which is the maximum tension
that plant roots are able to exert in order to withdraw
water from their substratum. The field capacity corre-
sponds to a pF value of 1.8 (approx. 6 kN/m2 ). At lower
suction tensions in partly saturated soil water cannot
be held back against gravity in the pore space. The suc-
tion tension of a soil is zero if it is saturated completely.
The difference between these two moisture contents
of field capacity and permanent fading point is the
utilizable field capacity, which originally represents
the water available for plants. The steeper the suction
tension curve, the higher the utilizable field capacity
is, representing the water permeability of unsaturated
claystone.
The pore volume can be inferred from the water
content contained by a sample under defined suction
tensions. The determined pore volume represents that
part of pore volume which has lower and upper limiting
pore diameters (Schlichting et al. 1995). Under the
assumption that all pores have an equal and spherical
space, an equivalent pore diameter can be calculated
according to the formula:
where d is the pore diameter in cm, and p the suction
tension in mbar. The curves of grain sizes and pore size
distribution are not parallel (Figure 2), as occasion-
ally described (e.g. Schick 2004), because, apart from
the aggregate and particle size distributions, the order
of the anisotropic clay particles and the type of the
grain contacts, cements etc. also play roles. The spatial
order of clay particles and pore space geometry within
single claystone aggregates change during the weath-
ering process. Therefore changes of the micropores as
a result of weathering do not occur necessarily simulta-
neously with the change of the macropore distribution
according to mechanical aggregate disintegration.
398
 Figure 2. Pore diameter and aggregate distributions of dif-
ferently weathered claystones (Opalinuston). Figure 3. Suction tension at different saturation levels.

Table 2. Regression of suction tension curves of each

weathering type from two locations in Rt claystone and The weathering degree or the associated differences
Opalinuston. (cD = coefficient of determination, cC = coef- in type and strength of the grain contacts, clay miner-
ficient of correlation, S = standard deviation). alogy etc. influence the suction tension at particular
saturation levels to different extents. The suction ten-
Regression equation Statistic parameters sions are almost independent of the weathering degree
Opalinuston in the examined Rt claystones and the Opalinuston
(Essingen) at very low saturation degrees. At saturation degree of
0.05 the pF is 4.4 for Rt claystones and between pF
Type 1 y = 8.4 0.1 ln(x) cD = 0.9, cC = 0.9, S = 0.1 4.1 and 4.4 for the Opalinuston (see Figure 3). It may
Type 2 y = 22.1 2.4 ln(x) cD = 1.0, cC = 1.0, S = 1.0 be the case that the adsorptive water amount dominates
Type 3 y = 26.7 2.2 ln(x) cD = 0.9, cC = 1.0, S = 1.5 the capillary water amount at these very low degrees
Type 4 y = 29.8 1.9 ln(x) cD = 1.0, cC = 1.0, S = 0.5 of saturation. Due to the low mineralogical difference
Rt claystones (Deuna) and similar specific surfaces the suction tensions are
hardly different.
Type 1 y = 20.3 2.1 ln(x) cD = 1.0, cC = 1.0, S = 0.8 The corresponding water tension increases at higher
Type 2 y = 42.4 2.9 ln(x) cD = 1.0, cC = 1.0, S = 1.2 saturation degrees with the weathering degree; this
Type 3 y = 17.8 1.5 ln(x) cD = 1.0, cC = 1.0, S = 0.5
effect is weakened again at water contents near com-
Type 4 y = 26.9 1.8 ln(x) cD = 0.9, cC = 0.9, S = 2.0
plete saturation. At the same saturation level of 0.5, the
suction tensions increase with increasing weathering
Water content-pF curves can be approximated by degree from pF lower then 2.4 in unweathered (Type 1)
using a logarithmic regression of the following the to pF about 4.0 in weathered (Type 4) Rt claystones
form: (Figure 3). At a saturation degree of 0.95, the suction
tension increases from pF of about 0.8 in the unweath-
ered claystone (Type 1) to pF of 1.8 in Type 4. In the
where the amount of variable a represents approxi- case of Opalinuston the suction tension at a saturation
mately the saturation water content, and the term b ln degree of 0.5 ranges from pF 1.9 in the Type 2 to pF
(x) describes the form of curve. More precisely, the 3.9 in Type 4 claystone. At saturation degree of 0.95
flatter the curve, the smaller b ln (x) is. In the term there is an increase from pF 0.7 in the less weathered
b ln (x) is 3 < b < 0. Normally the suction tension claystones (Type 2) to pF 1.0 in weathered (Type 4)
curves of more strongly weathered claystones are flat- claystones.
ter because the aggregate disintegration reduces the The total pore space increases with progressive
coarse pores. The regression equations in detail and weathering, as described. In Opalinuston the degree
some statistical parameters of the regression are given of saturation at field capacity (with suction tension
in Table 2. With the exception of Rt claystone Type 2 6 kN/m2 ) and the permanent fading point (suction
the variable a (i.e. the calculated saturation water tension 1,500 kN/m2 ) increase at the same time. The
content) increases from 8 to 30% for Opalinuston and usable field capacity decreases with progressing
from 20 to 27% for Rt claystones. These values cor- weathering. In Rt claystones a similar relationship
respond approximately with measured water contents between porosity and saturation level at particular suc-
at saturation. In this manner, it is difficult to compare tion tensions can not be observed. The evolution of
the shape of the pF curve of different weathered clay- usable field capacity as an index for changes in suction
stone using the water content, and not the saturation tensions is not so distinct. The structural interaction
level. Therefore, the saturation level is used below for of matrix and solid aggregates is too complex. The
better comparison of differently weathered claystones. suction tension increases with progressive weathering.

399

Copyright 2006 Taylor & Francis Group plc, London, UK

 Table 3. Suction tension, usable field capacity. from 0.84 to 0.93. Z for Type 3 ranges from 0.63 to
0.76 and for Type 4 ranges from 0.28 to 0.63 in Rt
Usable field Suction tension at claystones. The Type 4 Opalinuston has still a higher
capacity [%] SR = 0.5 [kN/m2 ] tendency of disintegration.
Opalinuston The aggregate size median becomes smaller with
(Essingen) every drying/wetting cycle. After 4 to 5 drying/wetting
cycles the median of the aggregate size distribution
Type 1 (0.2) not achieved no longer shows a significant change. This final
Type 2 13.5 8.128 median ranges from 150 to 750 m in Rt claystones
Type 3 12.1 56.23 and from 200 to 700 m in Opalinuston. As a rule the
Type 4 10.5 478.6 median of the Type 1 claystones is bigger than that of
Rt claystones (Deuna) the more weathered claystones.
Type 1 11.4 22.91
Type 2 15.8 151.3
3.3 Relationship between suction tension and
Type 3 8.4 295.1
Type 4 10.0 870.9 claystone disintegration
High suction tensions decrease the tendency of disin-
tegration of claystones. Figure 5 plots versus suction
Table 4. Amounts of Z of different weathered claystones tension (as pF value) at a saturation degree of 0.5. If
from different locations in Germany. the suction tension is very high the tendency of disin-
tegration is very small. Moderate changes in suction
Weathering Type: 1 2 3 4
tension lead to moderate changes in disintegration
behaviour. Because suction tension (pF) is a logarith-
Rt claystone (Deuna) 0.96 0.84 0.76 0.28
Rt claystone (Karsdorf) 0.98 0.93 0.73 0.63 mic scale it can be argued that the relationship is nearly
Opalinuston (Essingen) 0.91 0.86 0.63 0.74 linearly in Rt claystones. In Opalinuston this trend
is not so significant. The absolute value of suction
tension is not the only decisive factor for material
The suction tension increase with saturation level is strength. The influence of the amount of the suction
shown in Figure 3 and Table 3. tension change that is passed through during a desicca-
tion or re-humidification process is more considerable.
3.2 Tendency of disintegration One could interpret the different amounts of the utiliz-
able field capacity as a measure of the effectiveness of
The claystones were dried carefully at 40 C to constant the water transport in unsaturated pore space. At the
weight and then sieved to determine the aggregate size same water tension change a smaller quantity of water
distribution. They were then moistened, dried once is transported in the more strongly weathered clay-
more and sieved again. The drying/humidification stones. A part of the energy is consumed to do strain
changes were repeated five times and the disintegra- work i.e. swelling processes. In the less weathered
tion of the claystone aggregates measured as a result of claystones, more water can be transported because the
water content changes. The tendency of disintegration grain structure is more stable and no energy is lost in
can be defined as the standardized difference between moving grains.
the median of initial claystone aggregate distribution The weathering scheme in outcrop scale of
and the median after the fifth drying/wetting cycle: Einsele & Wallrauch (1964) can be transferred to the
scale of the Rt claystone aggregates. A break up
of the individual aggregates takes place by gradual
weathering from outside to inside. The outer, strongly
disintegrated layer is formed with increased poros-
where is Z the tendency of disintegration, D50/1 the ity while the disintegration degree is reduced towards
initial median and D50/5 the median of the aggregate inside (Figure 4). In 1985 Gronemeyer et al. already
distribution after the fifth drying/wetting cycle. The suggested this onion-skin principle for the classifica-
larger Z is so the higher is the tendency of disintegra- tion of the weathering state of overconsolidated pelites.
tion. The tendency of further disintegration decreases They have shown in raster electron microscope (REM)
with progressive weathering. pictures that the fractional relaxation destroys the
There were three weathering profiles investigated parallel stacking of clay minerals gradually from the
(see Table 4). Rt claystones of weathering Type 1 has margin toward the inside. Around the inner strongly
a tendency of disintegration from 0.96 to 0.98; the overconsolidated core of the claystone aggregate there
tendency of disintegration of the nearly unweathered is a concentrically loose layer. With progressive weath-
Opalinuston is a little bit lower. Z for Type 2 ranges ering, this layer will be dispersed, plastic matrix quota

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Copyright 2006 Taylor & Francis Group plc, London, UK


Figure 4. Disintegration mechanisms: A) Onion-skin like
weathering of the Rt claystone aggregates. B) Aggregates
break up along particle boundaries in Opalinuston.
Figure 5. Tendency of disintegration and suction tension.
will increase and aggregate size will decrease. Conse-
quently, there is a mixture of different sized aggregates
and dispersed matrix. Therefore the behaviour of the
overconsolidated claystone depends on the distribution
of both fractions.
However, the disintegration behaviour of Opalinus-
ton is different. The aggregates break up along the
particle boundaries (see Figure 4). This difference
between Rt claystones and Opalinuston is possibly
induced by the very small content of mixed layer clay
minerals in the Rt claystone. The gradual volume
increase of the mixed layer clay particles due to
osmotic swelling is sufficient to destroy the ordered
clay particle scaffolding.Therefore the clay mineralog-
ical composition determines the disintegration mecha-
nism. Changes in the clay mineralogy are insignificant
during the fast disintegration process.
In a first step, going from weathering Type 1 to
Type 2, the usable field capacity increases. Due to
relaxation and weathering joints and open cracks are
generated and the porosity increases. The increased
usable field capacity is a secondary effect of the
emerging macropores. This effect is seen in both exam-
ined rocks. The decrease of usable field capacity in
Opalinuston is plausible because pore diameter dis-
tribution changes with aggregate size distribution and
the inner porosity in the aggregates changes insignif-
icantly. In the case of onion skin weathering not only
the aggregate size is changing. The porosity in certain
aggregates is not constant during weathering process
and may not be the same in two aggregates with the
same diameter. The usable field capacity depends on
the relation of matrix and solid aggregates, and on the
401
Copyright 2006 Taylor & Francis Group plc, London, UK
Table 5. Apparent shear strength parameters of the
claystones in direct shear tests at natural water content.
Rt claystone Opalinuston
[ ] 2232 2134
c [kN/m2 ] 3139 2165
w [%] 928 819
condition of each aggregate. So the material is very
inhomogeneous and the usable field capacity can
increase again, if an aggregate embedded in clayey
matrix decays, the porosity increases similarly to the
first weathering step.
High suction tensions decrease the disintegration
tendency of claystones. The absolute value of suction
tension is not the only decisive factor for strength.
If the utilizable field capacity is high, enough pores
of a greater diameter are available for sufficiently
quick water transport for water adsorption inside clay-
stone aggregates. The utilizable field capacity is low;
however, the water permeability is also lower. The
water adsorption to the aggregates is then irregular,
leading to stress differences if the suction tension is
partly reduced by saturation and is partly still existing
in neighbouring pores. This stress difference can be
orders of magnitude above the rock strength, leading
to an internal deformation of the structure that causes
a blowing-up of the aggregates.
The adsorptive part of suction tension has a slight
influence on strength. Such a strong dehydration in
the near surface area under natural conditions is not
reached, because higher temperatures are required for
the removal of adsorbed water.
As far as the rock behaviour is concerned, it is more
important to know whether the clayey parts of the
matrix or the solid aggregates dominate in the struc-
ture. Aggregates with smaller than 100 m diameters
behave like a silty or clayey soil. The different disinte-
gration mechanisms of Rt claystones and Opalinus-
ton mostly influence the rock strength indirectly by
matrix quota that results from the disintegration.
3.4 Shear strength
Shear strength was measured by direct shear tests
under different water conditions. Some samples were
nearly dry; others had natural moisture contents or
were water-saturated. The test of a claystone Type 1
was impossible with the available conventional shear
apparatus. In spite of the small sample dimension in
direct shear tests using a normal soil mechanical shear
box, the shear strength of the Rt claystones is of a sim-
ilar dimension to the results of the big sample shear
tests by Sommer et al. (1989). At natural water content
the apparent friction angle of Rt claystone ranges
from 22 to 32 and the apparent cohesion from 31
to 39 kN/m2 (Table 5). The shear strength parameters

Figure 6. Uniaxial strength (calculated from cohesion and
friction angle after qu = 2*c/tan [45 -/2]) versus suction
tension.
of Opalinuston are of a similar dimension. At natural
water content the friction angle ranges from 21 to 34
and the cohesion from 21 to 65 kN/m2 .
Both the friction angle and the cohesion are reduced
by a higher saturation degree independently of the
weathering degree. A change of the water content has
an effect on the strength of the claystone aggregates
because the quality of the cohesion of the fine-grained
particles inside aggregates is influenced. The changes
of friction angle and cohesion according to changes
in moisture content, are larger at lower saturation
degrees as compared for higher saturation level (Fig-
ure 6). Thus the shear strength changes moderately
due to water content while suction ranges from 0 to
10,000 kN/m2 . When suction tension achieves the size
of the adsorbed water component then the strength
increases significantly.
The suction effect is independent of the degree of
weathering. Normally the highest suction tensions are
in dry, low weathered claystones. If strong weathered
claystones have very small water content then their
shear strength is very high. The plasticized fine
grained matrix behaves like normal clay with high dry
strength.
The adsorptive part of soil water tension has a slight
influence on the shear strength. The specific surface
of Rt claystones decreases with progressive weath-
ering. Therefore, changes in the absolute value of the
adsorptive part of suction tension have to be expected.
These apparently are not reflected in the shear strength.
It is conceivable that the adsorptive suction is acti-
vated only if the dehydration is appropriately high.
However, under natural conditions, such a strong dehy-
dration is not reached near surface area because higher
temperatures are required for the removal of adsorbed
water.
Depending on water content and tension level, a
measurable size reduction takes place of the clay-
stone aggregates in direct shear test, which is based
on a crushing of the aggregates and a grinding in
the shear joint. In samples under water, the aggregate
disintegration tendency also plays a role, depending
on the weathering degree.
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Copyright 2006 Taylor & Francis Group plc, London, UK
4 CONCLUSIONS
High suction tensions decrease the tendency of disin-
tegration of claystones. The adsorptive part of suction
tension depending on mineralogical composition has
a slight influence on strength.
Different claystones show different disintegration
mechanisms. The weathering scheme in outcrop scale
can be transferred to the scale of the Rt claystone
aggregates as an onion-skin like disintegration. The
behaviour of Opalinuston is more likely to break up
along particle boundaries without intra-aggregate
weathering. Although the Rt claystones and the
Opalinuston with comparable weathering degree and
saturation level have similar shear strength.
The suction tension has an influence on the shear
strength and the disintegration of claystone aggregates.
In the case of a similar mineralogical composition,
similar chemical composition of the pore fluid, and
at a particular saturation level, the suction tension
increases with the degree of weathering. If the sat-
uration level is low, the values of friction angle and
cohesion are higher, and so high suction tensions are
effective in the pore space.
For stability it is important to prevent changes
in water saturation of the claystones. Dehydration
can increase the strength especially of stronger
weathered clays, in case of following saturation the
rock strength will decrease and claystone aggregates
will disintegrate.
REFERENCES
Einsele, G. & Wallrauch, E. 1964. Verwitterungsgrade bei
mesozoischen Schiefertonen und Tonsteinen und ihr Ein-
flu bei Standsicherheitsproblemen; Baugrundtagung. Dt.
Ges. f. Erd- u. Grundbau. Essen, Berlin: 5989.
Gronemeyer, K., Brunhof, W., Matthess, G., Ohse, W.,
Pekdeger, A., Schenk, D. & Winkler, A. 1985. Verwit-
terungsabhngige geochemische, mikrostrukturelle und
geomechanische Eigenschaften halbfester Tonsteine der
oberen Rt-Folge (Rhn). In K.H. Heitfeld (ed.). Inge-
nieurgeologische Probleme im Grenzbereich zwischen
Locker- und Festgestein: 143155.
Hartge, K.H. & Horn, R. 1999. Einfhrung in die Boden-
physik. Enke Verlag Stuttgart.
Lu, N. & Likos, W. J. 2004. Unsaturated soil mechanics. Wiley
& Sons Inc. New Jersey.
Schlichting, E., Blume, H. P. & Stahr, K. 1995. Boden-
kundliches Praktikum Eine Einfhrung in pedologis-
ches Arbeiten fr kologen, insbesondere Land- und
Forstwirte und Geowissenschaftler. Blackwell Science
Publishing House Berlin.
Schick, P. 2004. Stofftransport in bindigen Bden. Geotech-
nik 27(4): 365375.
Sommer, H, Meyer-Kraul, N & Prinz, H. 1989. Grover-
suche zur Prfung des Festigkeitsverhaltens von Rt-
Tonsteinen. Ber. 7. Nat. Tag. Ing.-Geol. Bensheim 1989:
7784.
 EUROCK 2006 Multiphysics Coupling and Long Term Behaviour in Rock Mechanics
Van Cotthem, Charlier, Thimus & Tshibangu (eds)
2006 Taylor & Francis Group, London, ISBN 0 415 41001 0

Multiscale analysis and analytical modeling of creep and damage in

argillaceous rocks

G. Fabre & F. Pellet

University Joseph Fourier, Laboratory 3S, Grenoble, France

ABSTRACT: The prediction of delayed deformation and damage over a period of several centuries is required
to ensure the safety of underground structures, and particularly for the deep geological disposal of high-level
radioactive waste. The difficulty here is that allowance must be made for the rock viscoplasticity and possible
changes to the damaged zone around the opening must be predicted. In this context, the aim of our study was to
identify the mechanisms responsible for the time-dependent behaviour of three argillaceous rocks, at different
scales. Therefore, the viscosity of these sedimentary rocks was first studied under different loading conditions
of uniaxial compression: static or cyclic creep tests and quasistatic tests performed across strata orientations.
Finally, the time-dependant behaviour of the rocks was modelled using viscoplastic model including damage
and structural anisotropy.

1 INTRODUCTION 2 SCOPE OF PREVIOUS STUDIES

Displacement measurements in underground struc-
tures have occasionally showed considerable devel-
opment of delayed strains, which can lead to failure.
This phenomenon illustrates the long-term viscous
behaviour of rocks and the progressive damage to
materials. Possible delayed failure can occur sev-
eral hours or years after the construction. Repository
projects, specially of radioactive waste, require predic-
tion of irreversible deformations over a large time scale
(several centuries) in order to assess the extension and
forecast the change of the EDZ (Excavation Damage
Zone) around the cavity. Moreover, damage leads to
a change in permeability, which may result in fluid
leakage and ground contamination. In such projects,
it is essential to take into account the time-dependent
behaviour of the surrounding rock.
Argillaceous rocks have some of the physical char-
acteristics and mechanical properties, which are essen-
tial for forming a natural barrier: low permeability,
high creep potential and good adsorptive capacity for
radioactive ions. They are therefore studied as possible
host layers for radioactive waste disposal.
The purpose of this experimental study is to
clarify the mechanisms governing the development
of delayed deformation and damage in argillaceous
rocks. First, previous observations concerning time-
dependent behaviour of rock are reported. Then, the
physical properties of the rock, the specific instru-
mentation of the specimens and the experimental
programme are described and qualitative observations
on the stress-strain and creep curves are presented.
Many researchers mentioned that the amplitude of
delayed strain depends on the material and the test
conditions. More precisely, several intrinsic parame-
ters such as mineralogy, porosity, water content, and
extrinsic parameters such as deviatoric stress, strain
rate, temperature, hygrometry, etc., influence the
time-dependent behaviour of rocks. Indeed, during
laboratory tests on rock specimens, an increase in tem-
perature, hygrometry or deviatoric stress increases the
viscoplastic deformation amplitude (Auvray et al.
2004; Zhang et al. 2004)
Earlier research works have shown that time-
dependent behaviour of argillaceous rocks could be
the result of creep, pore-pressure dissipation, swelling
and perhaps chemical effects. The delayed deforma-
tion of mechanical origin is studied mainly through
creep tests (deviatoric stress maintained constant for a
long time), relaxation test (strain maintained constant
for a long time) and monotonic quasistatic tests (very
low constant load rate).
During a constant stress test, three phases can be
observed: (1) a primary creep phase, also known as
transient creep, during which the strain rate decreases
and the delayed deformation stabilises over a long
period, (2) a secondary creep phase, or steady-state
creep, during which the strain rate remains constant,
and finally, (3) a tertiary creep phase characterised by
an increase in strain rate due to the occurrence of pro-
gressive rock damage.
Secondary creep is often observed on ice, salt or
metallic alloys, but it seems difficult to reach during

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Copyright 2006 Taylor & Francis Group plc, London, UK

 Table 1. Average mineralogical composition of the rocks
tested.

Others
Quartz Carbonates minerals
Clays (SiO2 ) (CaCO3 ) (Feldspars,
Minerals [%] [%] [%] pyrite) [%]

Oxfordian 40 to 45 20 to 30 20 to 33 Less than

argillite 5%
Tournemire 55 19 15 11
argillite
Marl from 25 10 65
the Jurassic
Mountains

3.1 Physical properties of rocks tested

Figure 1. The limit curve and its links with the creep (AB)
and relaxation (AC) paths.
tests on polycrystalline rocks. Some authors (Gonze,
1988, Dusseault et al. 1993) have even expressed
doubts as to its existence. For example, during tests
performed on brittle rocks, they observed a transi-
tion from primary creep to tertiary creep without any
stabilisation of the strain rate.
However, results obtained from tests on other rocks
have shown that the strain rate rises with the deviatoric
stress (Cristescu et al. 1982). A stress threshold should
therefore exist below which only primary creep would
develop and viscoplastic deformation would stabilise
over a long time. If this threshold exists for argilla-
ceous rocks, it is theoretically defined by the strength
under infinitely slow compression. The concept of this
curve, called The limit curve was first proposed by
Brest et al. (1979) Its existence was demonstrated for
certain metals. In fact, the limit curve is reached when
the strain rate is slow enough to allow the develop-
ment of viscosity in real time. Theoretically, this curve
defines all the points reached at the end of a creep or
a relaxation test (Figure 1).
3 EXPERIMENTAL STUDY
Delayed deformation of mechanical origin raises
issues such as the existence of a stress threshold or
a steady state creep rate under long-term constant
load. In order to address these questions, a programme
consisting of creep and quasistatic uniaxial tests was
initiated. Three sedimentary rocks containing a high
proportion of clay particles were tested: an argillite
from the south of France, called Tournemire argillite,
an argillite from the east of France, called Oxfordian
argillite, and a marl from the Jurassic Mountains.
A high proportion of clay particles characterises the
average mineralogical composition of the three rocks
studied (Table 1).
These three argillaceous rocks are anisotropic, but
they are assumed to be transversely isotropic at a
macroscopic scale. Initial rock anisotropy has been
confirmed by ultrasonic measurements performed on
specimens prior to testing. P-wave velocities were
measured along four diameters with different orien-
tations and along the specimen height.
Table 2 summarises the average physical properties
of the rocks studied. Measurements were taken before
the tests. The two argillites were close to being sat-
urated whereas the marl is partially unsaturated, but
specimens were not resaturated.
3.2 Test programme
Cylindrical specimens were taken from borehole cores
in different directions. Angles to the bedding were set
to = 0 , 45 or 90 with respect to the structural sym-
metry axis v3 , as shown in figure 2. Each specimen
was prepared with a length to diameter ratio equal to
2:1. The drilling tool defines the diameter: 35.2 or
39.1 mm.In order to avoid any loss of water or dam-
age, the specimens were stored in a tight container
immediately after drilling.
Deformation was measured with strain gauges
bonded to the specimens. The number and arrange-
ment of gauges depend on the orientation .
The theoretical analysis of a triaxial test on a trans-
versely isotropic material leads to the following strain
tensor expressed in the principal axes (s,t,n) of the
stress tensor (Boehler 1987; Gatelier et al. 2002):

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Copyright 2006 Taylor & Francis Group plc, London, UK

 Table 2. Average physical characteristics of the rocks tested.

Density Water content Porosity Saturation degree Anisotropy

[kN/m3 ] [%] [%] [%] [%]

Oxfordian argillite 23.7 5.9 15.5 87 10

Tournemire argillite 24.9 3.4 8.9 99 30
Marl from the 25.3 1.6 6.4 63 16
Jurassic Mountains

Tests on Tournemire argillite:

4 uniaxial monotonic compression tests ( = 90 )
with different strain rates (from 108 to 106 s1 ).
8 long-term multi-step uniaxial creep tests.
Tests on marl from the Jurassic Mountains:
5 uniaxial monotonic compression tests ( = 45 )
with different strain rates (from 108 to 105 s1 ).
2 uniaxial cyclic multi-step creep tests.
The room temperature was controlled and main-
tained at 20 C (1 C), specimens were placed in a
tight membrane during the long-term tests and unsat-
Figure 2. Specimen orientation. is defined by the angle
between the symmetry axis n and the anisotropy axis v3 .
urated specimens were not resaturated, in order to keep
the chemical microstructure of rocks constant.
The uniaxial compression tests, with a loading rate
n n n n varying between 103 and 106 s1 , were performed
with a Schenck servo-hydraulic press. Monotonic qua-
t t t s sistatic tests were performed with a press that allowed
very low strain rates (106 109 s1 ). Both sys-
tems are also equipped with eight channels for strain
measurement. Creep tests were carried out with three
specially-designed loading frames.

= 0 = 90 0,90 0 3.3 Presentation and discussion of the main

Figure 3. Strain gauges arrangement as a function of
orientation .
where nn is the axial strain, tt the out-of-plane
transversal strain, ss the in-plane transversal strain
and nt = tn the shear strain. In order to determine
all the strain components, the specimens were instru-
mented with 4, 6 ou 8 strain gauges depending on the
orientation as shown in figure 3.
The testing programme included 11 creep tests and
16 monotonic compression tests.
Tests on Oxfordian argillite:
7 uniaxial monotonic compression tests on speci-
mens with different orientations ( = 0 , 45 and
90 ) and with different strain rates (from 108 to
104 s1 ).
1 mono-step uniaxial creep test under high devia-
toric stress for 320 days.
results
Under uniaxial monotonic compression, the three argil-
laceous rocks exhibit similar mechanical behaviour.
This is characterised by a linear volumetric deforma-
tion, regardless of the strain rate or specimen orien-
tation. The dilatation (change in volumetric strain)
occurred very late, close to failure. With these first
results, the stress at the maximum contraction, cd ,
can be evaluated for the three rocks. cd depends on
the orientation of the Oxfordian argillite specimens
and on the strain rate. It increases with strain rate from
25.5 MPa to 28.0 MPa (for = 0 ) and reaches a mini-
mum of 24.7 MPa for = 45 (strain rate = 106 s1 ).
The results of tests performed on marl from the Juras-
sic Mountains were more scattered, because of natural
dispersion due to the distance (several km) between
the different boreholes from which the specimens were
extracted and their depths. Specifically, cd varies from
37.5 to 81.4 MPa, with an average of 53.4 MPa. The
results of tests performed on Tournemire argillite were

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Copyright 2006 Taylor & Francis Group plc, London, UK

 Axial and volumetric deformations [10-6]
30
13500
vol nn
tt nn
Axial stress [MPa]

9000
20
4500

10 0
vol
-4500
0
tt
-5000 -2500 0 2500 5000 7500 10000 -9000
Deformations [10-6] 0 100 200 300 400
Time [days]
Figure 4. Influence of strain rate on the mechanical
behaviour of Oxfordian: strain-stress curves for different Figure 5. Single stage creep test on Oxfordian argillite
strain rates: (
): 108 s1 , (): 106 s1 , (): 104 s1 . submitted to q = 26 MPa.

not sufficiently numerous to obtain a reliable value. 90

4000
However, the characteristic stress cd could be esti- nn

Deviatoric stress [MPa]

mated at 90% of the uniaxial strength (around 30 MPa 3000
for = 90 ). Deformations [10-6] 2000 60
Despite the fact that, for the range of strain rates vol
tested, the behaviour of Oxfordian argillite is not very 1000
q
sensitive to results also indicate that the limit curve of 0 30
the rock is reached for a strain rate of about 106 s1 ss
(Figure 4). -1000
Primary creep is often and easily observed but do tt
-2000 0
not lead to delayed failure. The aim here was to charac- 0 40 80 120 160
terise the secondary and tertiary creep phases in order Time [days]
to provide data to model delayed damage and failure.
For this purpose, multi-step creep tests were per- Figure 6. Viscoplastic deformations and deviatoric stress
formed under a constant high deviatoric stress, close versus time during creep test carried out on Tournemire
or above the maximum compression stress, cd , mea- argillite.
sured with quasistatic tests. Moreover, this stress was
gradually increased after the viscoplastic deforma-
Axial viscoplastic deformations [10-6]

1000
tions stabilisation. Deformations were considered to
be stabilised when the strain rate became lower than 800
1011 s1 , which is the resolution of our acquisition
system. 600
All creep tests showed that axial viscoplastic strain
can constitute a significant part of the total deforma- 400
tion. Indeed, after 321 days under a stress deviator
of 26 MPa, more than half of the total deformation 200
was due to delayed strain for the Oxfordian argillite
(Figure 5). Marl from the Jurassic Mountains and 0
Tournemire gave similar figures (between 30 and 50%) 0 10 20 30 40 50
after only a few weeks, or a few months under high Time [days]
deviatoric stress.
Moreover, some of these tests clearly proved the Figure 7. Axial viscoplastic deformation versus time for
existence of a secondary creep phase in two of these each stress step of creep test performed on Tournemire
argillaceous rocks: Oxfordian argillite and Tournemire argillite.
argillite. During the creep test on Oxfordian argillite,
the axial strain rate stabilised after 25 days and stress stage, it is easy to determine when the strain rate
remained constant at a low value of 2.2 1010 s1 . becomes approximately constant (Figure 7). The mea-
The secondary creep phase was reached for seven sured strain rates are very slow and are then given in
creep tests with Tournemire argillite and two of them 1.2 1011 . The result is presented in figure 8, which
experienced delayed rupture (Figure 6). By plotting the highlights a correlation with the applied deviatoric
viscoplastic deformation-versus-time curve for each stress. It also reveals that the secondary creep phase

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Copyright 2006 Taylor & Francis Group plc, London, UK

 30
Steady-state creep rate [10-6/day]
20
10
0 parameter .
0 10 20
Deviatoric stress [MPa]
Figure 8. Correlation between the steady-state creep rate
and the deviatoric stress.
can appear for a deviatoric stress probably below the
maximum contraction stress, cd , which was around
27 MPa.
During the creep tests, axial and transversal defor-
mation measurements were used to calculate the
change in volumetric deformation from the equation:
Although some models, such as Lemaitres law
(Lemaitre and Chaboche 1994), consider that vis-
coplastic deformation grows at constant volume, our
experimental test results showed that this hypothesis
is not verified for argillaceous rocks. During the pri-
mary creep phase, Oxfordian argillite has a contracting
behaviour, and then becomes dilating as soon as the
secondary creep phase starts (Figure 5). The dilatation
continues and the volumetric deformation changes at
the constant rate of 1.0 1010 s1 . Different Tourne-
mire argillite specimens exhibited different behaviour
patterns: for some, dilation seemed to be initiated only
at the beginning of the tertiary creep phase, when
crack propagation became unstable (Figure 6). Others,
present dilating behaviour as soon as the first devia-
toric stress is applied. The volumetric behaviour of the
marl from Jurassic Mountains is contracting during
primary and secondary creep phases. The deviatoric
stresses applied were too low to reach the tertiary creep
phase and the delayed failure.
4 PHENOMENOLOGICAL MODELLING OF
THE TIME-DEPENDENT BEHAVIOUR
4.1 Viscoplastic model including damage,
volumetric strain and structural anisotropy
Many behavior laws are based on the Perzyna theory
of viscoplasticity. Although it was initially developed
for metals, it was extended to the modeling of the vis-
coplastic behavior of geomaterials. It is the case of
the viscoplastic Lemaitres law. But with this model,
Copyright 2006 Taylor & Francis Group plc, London, UK
Figure 9. Damage evolution as a function of the anisotropy
30 40
only the primary creep phase can be simulated and the
delayed failure can not be predicted. Indeed, it sup-
posed a development of viscoplastic strain without
volumetric change and does not take account of the
rock progressive damage, which results in nucleation,
the growth and the coalescence of microscopic cracks.
To model the time-dependent behaviour of a rock
and predict its delayed failure, it is thus essential to
couple the damage and viscoplasticity. That is why
the Lemaitres law has been modified by introducing
two new parameters and , who respectively rep-
resent the volumetric l behavior (contraction, dilata-
tion) and the anisotropy of damage (Pellet et al.
2002, Hajdu 2003). Rock structural damage is due to
directed microscopic cracks following of the prefer-
ential directions and which can lead to a directional
failure.
The parameter as thus introduced in the evolution
law of the damage variable D:
with A and r, 2 material parameters; Y, the thermody-
=4=
namic force associated to damage; S , the structural
tensor; i and si the eigenvalues and eigenvectors of
s et , respectively the strain and damage tensors and
t = eq /3m .
The influence of under damage evolution is illus-
trated in Figure 9. Moreover, to take account of the
volumetric strain, the initial criterion of von Mises has
been replaced by the criterion of Drucker-Prager. The
parameter introduced represents then the material
contraction or dilatation.
Finally, the VPDEA model requires 10 parameters
coupling elasticity (E, ), viscoplasticity (M, N, K and
) and damage (A, r, q and ). The constitutive law of
this model can be written:
407
 4000 Table 3. VPDEA parameters model for Tournemire
argillite.
nn
Elastic E = 16,54 GPa = 0,43
Deformation [10-6]

2000 parameters
Viscoplastic N = 1,41 M = 0,67 K = 2,68 1013
vol parameters
Damage r = 56 q = 0,016 A = 45
0 parameters
Volumetric = 0,15 = 0,76
behaviour
tt and damage
-2000
0 40 80 120 160
Temps [jours] with the experimental data for creep tests as well as for
Experimental points ; analytical curve quasi static compression (Figure 10 and Figure 11).
Several sets of parameters have been adjusted for
Figure 10. Analytical simulation of a creep test performed the three rocks. In order to compare them, the five sets
on Tournemire argillite specimen with VPDEA model. of parameters obtained with creep tests performed on
Tournemire argillite were used analytically to simulate
40 an uniaxial creep test under 33 Mpa. Despite the results
vol are scattered, an average set of parameters could be
tt nn identified for Tournemire argillite (Table 3).
30
Contrainte [MPa]

20
10
0 to monotonic compression were found, in particular a
-2000 -1000 0 1000 2000 3000 4000
Deformation [10-6]
Experimental points ; analytical curve
Figure 11. Analytical simulation of a quasi static compres-
sion test performed on Tournemire argillite specimen with
VPDEA model.
where:
p = 2/3vp : vp the strain hardening parameter,
S (I D)1/2 S (I D)1/2 the effective stress
deviator.
4.2 Analytical modelling
Considering uniaxial compression conditions, the
equation of the VPDEA model is simplified but it has
no analytical solution. Identification of the different
parameters required the development of a procedure
using models, integrating successively the material
volumetric behaviour, damage and anisotropy. Finally,
the validity of this model VPDEA has been tested with
all the experimental results obtained with the three
argillaceous rocks tested. Analytical simulations agree
5 CONCLUSIONS
To study the long-term behaviour of three argillaceous
rocks, 16 monotonic quasistatic tests and 11 creep tests
were performed: in two of them it was possible to
observe the tertiary creep phase and to reach delayed
rupture. Major similarities in the mechanical response
linear development of volumetric deformation regard-
less of strain rate or specimen orientation. The fact
that the maximum contraction stress and the uniaxial
compression strength are so close due to a late dilata-
tion phase, would seem to indicate that the mechanical
competence of argillaceous rocks quickly decreases
once cracking propagation becomes unstable. Multi-
step creep tests also highlighted the existence of
a stress threshold below which viscoplastic defor-
mation stabilised. According to the deviatoric stress
applied, this one is high and close to the rock strength
under uniaxial compression. It could effectively cor-
respond to the maximum contraction stress measured
with the monotonic compression tests. Although our
results seem to confirm this hypothesis, they are
not sufficient to draw any clear conclusions. How-
ever, several specimens clearly exhibit a phase during
which the strain rate stabilises and this may there-
fore correspond to steady-state creep. According to
this interpretation, strain rate increases with the devi-
atoric stress level applied. Creep tests also revealed
the development of viscoplastic deformations with
a considerable volumetric variation (contraction then
dilatation). This experimental observation concern-
ing argillaceous rocks must be included in models to

408

Copyright 2006 Taylor & Francis Group plc, London, UK

 obtain a realistic prediction of delayed deformation
and extension of EDZ over centuries. All experimental
observations were integrated in the VPDEA model. Its
performance was tested with our experimental results
and an average set of parameters was identified for
Tournemire argillite specimens.
REFERENCES
Auvray C, Homand F, Sorgi C. The aging of gypsum in
underground mines. Engineering, Geology, 2004; 74:
183196.
Berest P, Bergues J, Duc NM. Comportement des roches au
cours de la rupture : application linterprtation dessais
sur des tubes pais. Revue franaise de Gotechnique,
1979; 9: 512. (in French).
Boehler JP. Applications of tensor functions in solid mechan-
ics. 1987; Springer-Verlag, Wien, New York.
Cristescu N, Siliciu I. Viscoplasticity, 1982; Ed. Martinus
Nijhoff, The Hague.
Dusseault MB, Fordham CJ. Time-dependent behavior
of rocks. In Comprehensive Rock Engineering, Vol. 3.
Pergamon Press: 119149.
409
Copyright 2006 Taylor & Francis Group plc, London, UK
Gatelier N, Pellet F, Loret B. Mechanical damage of an
anisotropic porous rock in cyclic triaxial tests, Int. J. of
Rock Mech. & Min. Sci., 2002; 39(3): 335354.
Gonze P. Techniques de calcul utilises en conglation des
terrains. In La thermomcanique des roches, Vol.16,
BRGM.
Hajdu A, 2003. Modlisation numrique du comportement
viscoplastique endommageable des roches et application
aux ouvrages souterrains de stockage, Thse de doctorat,
Grenoble. (in French).
Lemaitre J, Chaboche JL. Mechanics of materials, Cambridge
University Press; 1994: 556 pp.
Pellet F, Hajdu A. Deleruyelle F. & Besnus F. (2005),
A viscoplastic constitutive model including anisotropic
damage for the time dependent mechanical behaviour of
rock, International Journal for Numerical and Analytical
Methods in Geomechanics, vol : 29 n 9, pp 941970.
Zhang C, Rothfuchs T. Experimental study of the hydro-
mechanical behaviour of the Callovo-Oxfordian argillite.
Applied Clay Science, 2004; 26: 325336.
 EUROCK 2006 Multiphysics Coupling and Long Term Behaviour in Rock Mechanics
Van Cotthem, Charlier, Thimus & Tshibangu (eds)
2006 Taylor & Francis Group, London, ISBN 0 415 41001 0

Instability and possible liquefaction of high porosity chalk

R.E. Flateb
BP, Norway

R. Risnes
University of Stavanger, Norway

ABSTRACT: Production of oil and gas from chalk reservoirs is often associated with well instabilities, and
sometimes massive influx of chalk is experienced. This behavior has especially been observed in the Valhall
field in the Norwegian sector, operated by BP. The problem may range from some solid particles carried in the
well stream to massive influx, sometimes cubic meters of chalk. In such events the tubing may more or less be
filled up, and the well flow may be killed.
This paper presents two triaxial tests and shows that chalk fulfills the instability and liquefaction criteria
worked out for soil and loose sand. However, chalk under the same conditions does not become liquefied. In
contrast to soil and loose sand, it has been shown that the rate of deformation of chalk is very moderate under
conditions where instability and liquefaction criteria for soil and loose sand are fulfilled. The tests did not explain
nor solve the problem of liquefaction in the boreholes.

1 INTRODUCTION behavior depending upon the soil state. Dense speci-

Production of oil or gas from weak reservoir rocks,
like poorly consolidated sand or high porosity chalks,
always involves the risk of solids production. The prob-
lem may range from some solid particles carried in
the well stream to massive influx, sometimes cubic
meters of sand or chalk. In such events the tubing may
more or less be filled up, and the well flow may be
killed. Such behavior has especially been observed in
the Valhall field in the Norwegian sector of the North
Sea. This reservoir is a chalk reservoir, and parts of the
chalk layers have extremely high porosity, sometimes
exceeding 50%. The initial effective in-situ stresses
were very low due to high reservoir pressure. Devel-
opment of sand or solids prediction methods has in
general received considerable attention, but full under-
standing of the mechanisms behind solids production
and especially behind liquefaction of the rocks is still
not completely understood.
Among the methods developed in the industry to
prevent solids production, gravel pack and different
forms of screens are the most common. Well manage-
ment may also be a key factor to avoid well failures
with well designed draw-down plans as the most
important factor. Mitigation of sand and solids pro-
duction is expensive, and impaired well productivity
is often a result.
Castro (1969) performed an important series of
undrained, load-controlled triaxial tests on soils. Cas-
tro observed three different types of stress-strain
mens initially contracted but then dilated with increas-
ing effective confining pressure and shear stress. Very
loose samples contracted at a small level of shear strain
and then failed rapidly with large strains and became
liquefied.
Leddra et al. (1989) conducted series of standard
undrained triaxial tests on chalk with low, interme-
diate and high confining pressure. The results show
that the failure limit is represented by a straight line
in the principal stress space. In undrained tests, the
volume is constant during elasto-plastic strain and the
concept of Critical State adopted from the Cam Clay
model is valid. When the stresses approached the CSL,
the results showed that both mean effective stress and
deviatoric stress decreased at low and intermediate
stresses, implying that the chalk was contracting. How-
ever, at very high levels of stress the mean effective
stress and the deviatoric stresses increased, implying
dilation. Castro used load-control in his experiments
and observed liquefaction of the soil, but Leddra et al
(1989) used strain-control and liquefaction was not
observed. When using strain-control, potential energy
stored in the sample becomes lost when the sample
fails and may slow down any rapid disintegration of
the sample.
In 1987 Lade et al. investigated granular materi-
als showing non-associated plastic flow. Common for
materials showing non-associated plastic flow is that
Druckers stability postulate (Drucker, D.C. 1959) is
violated during yielding inside the failure surface.

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Copyright 2006 Taylor & Francis Group plc, London, UK

 Tests were conducted on materials that both contract
and dilate during shear. The results revealed that dense
sand, which tends to dilate during shear failure, was
stable, but loose sand, which tends to compress during
shear failure, was unstable. The conclusion was that
the volume-change behavior exhibited by the material
during shear failure is of great significance in terms
of stability of granular materials.
The strength of chalks is to a great extent deter-
mined by the porosity and the silica content (Monjoie
et al. 1985). Weak chalks are characterized by porosity
higher than approximately 35% and silica content less
than 57%. Measurements of mechanical properties
are usually characterized by a high degree of statisti-
cal variations. A relatively large number of tests are
often needed to establish representative values. The
lack of accessibility to reservoir chalk makes it con-
venient to do tests on outcrop chalk. Chalk from the
quarry of Lixhe near Lige in Belgium has been used
in this work. The properties are quite similar to the Val-
hall chalk, as documented by Monjoie et al. in 1989.
Mechanical behavior of chalk is extensively investi-
gated in both the elastic and the elasto-plastic region.
However, liquefaction in the sense it is experienced
at Valhall has never been reported to be observed or
reproduced in laboratory experiments.
The instability and possible liquefaction of high
porosity chalk has been investigated in the context of
developed theory for loose sand and soils. It has been
demonstrated that chalk fulfills liquefaction criteria
for both loose sand and soils. However, chalk under the
same conditions does not become liquefied. In contrast
to soil and loose sand, it has been shown that the rate
of deformation of chalk is very moderate under condi-
tions where instability and liquefaction criteria for soil
and loose sand are fulfilled. This could be attributed
to the numerous contact points within the chalk.
2 EXPERIMENTAL PROGRAM AND
PREPARATIONS
The tests were conducted to investigate the chalk under
drained and undrained conditions with stress con-
trol. The stress state of interest is a region where
chalk shows contraction during shear. As instability
and liquefaction involve relatively large deformation,
the cell used in the experiments was modified with a
long piston. Leddra et al. (1989) showed that chalk in
undrained tests approached the CSL with decreasing
deviatoric and mean effective stresses. However, due
to strain-control no liquefaction was expected to be
observed in those experiments. Rapid disintegration of
the sample must take place for liquefaction to occur.
Outcrop chalk from the quarry of Lixhe near Lige
in Belgium has been used to address these issues. This
chalk has been extensively used in chalk research, and
412
Copyright 2006 Taylor & Francis Group plc, London, UK
its properties are reasonably well known (Monjoie &
Schroeder 1985). Monjoie & Schroeder (1985) among
others have also shown that the properties of the Lige
chalk are very similar to the Tor chalk at Valhall.
Typical properties for Lige chalk are:
Age, Upper Campanien
Porosity, typically 3842%
Silica content <2%
Permeability (matrix) 12 mD
The samples were drilled from one chalk block
with an oversized core bit, using circulation of water
for cooling. After drying at approximately 110 C
overnight, the core plugs were shaped in a lathe and cut
to the right length with a diamond saw. The diameters
of the samples were 37 mm. The lengths for compres-
sive tests were about twice the diameter. When shaped
in the lathe, the samples were again dried before being
saturated with pure water under vacuum. The pressure
in the vacuum vessel was in all cases lowered to 45 Pa
before water was introduced. The test equipment was
controlled by a computer, which also recorded all of the
measured parameters. The uncertainty of the different
components was 0.1 MPa for the pumps, 0.05 and
0.005 mm for the axial LVDT, and approximately
0.125 kN for the load cell. Compared to the inherent
variation between the chalk plugs, the accuracy of the
equipment was more than sufficient.
3 EQUIPMENT AND SET-UP
All tests were performed in a modified small stan-
dard high pressure Hoek cell. The cell was equipped
with a longer piston, to increase the stroke length. The
samples were assembled between two perforated steel
plates used to drain the expelled saturation fluid during
the test. In addition, a nylon filter, shown in Figure 1
was placed between the samples and the perforated
steel plates. Before the samples were mounted into the
Hoek cell, they were equipped with a sleeve to separate
the confining oil from the chalk samples.
The laboratory setup is illustrated in Figure 2. The
Hoek cell was mounted into a Dartec M1000/M9500
press. The press was hydraulically operated with the
possibility of using both strain and load/force con-
trol. Loading rate and targets were programmable. The
axial force was measured with an external load cell,
and the axial displacement with a linear voltage trans-
ducer (LVDT). Two Gilson piston pumps were used to
measure and provide the confining stress and the sat-
uration fluid. Pump 1 was used for confining stress.
Before the system was saturated, a vacuum pump was
used for evacuation. Pump 2 was used to saturate the
sample. A Mettler Toledo balance was used to measure
the amount of fluid used to saturate the sample.
During the tests the balance also measured the
amount of expelled fluid. The fluid reservoir worked

Figure 1. Assembly of specimen, drainage-plate, nylon
filter and piston.
Figure 2. System setup.
as a separator, the lower half filled with the satu-
ration fluid and the upper half filled with oil from
the pump. During the tests, the pressure gauge mon-
itored the pressure in the fluid phase. All parameters
measured were monitored and collected by an IBM
compatible computer with LabView ver. 3.1 installed.
The following parameters were monitored:
Axial force
Axial displacement
Confining stress
Expelled fluid during the tests
Flooded fluid during saturation
Pore pressure
4 TEST PROCEDURE
Initially the samples were loaded hydrostatically to
approximately 500 kPa and then evacuated by the vac-
uum pump. The vacuum pump usually provided a
vacuum of 45 Pa. The samples were then allowed to
withdraw fluid from the reservoir and pressurized to
100 kPa by the piston pump. Finally the samples were
413
Copyright 2006 Taylor & Francis Group plc, London, UK
20
CSL
18
16
Deviatoric stress, q (MPa)
14
q max
12
10
8
6
4
2
0
0 5 10 15 20
Mean effective stress, p (MPa)
Figure 3. Test no. 1 is an undrained test with constant load
initiated at qmax shown in a q-p
diagram.
flooded by approximately two pore-volumes of fluid
with a differential pressure of 100 kPa. The testing
phase was initiated by loading the samples hydrostat-
ically to a level of stress slightly outside the elastic
region. This phase was done under drained conditions,
and the expelled fluid was measured. Hydrostatic
yield of water-saturated Lige chalk is approximately
10 MPa. The target value for the hydrostatic loading
phase was 14 MPa. The deviatoric loading phase was
then performed with strain and load control in both
axial compression and axial extension.
5 RESULTS
Two test results will be presented in diagrams show-
ing deviatoric stress, q versus mean effective stress p
.
The results are supplemented by stress-strain plots and
pore-pressure versus time plots.
Test no. 1 was conducted by following a similar
procedure as Lade et al. in 1987, where they showed
that soil and loose sand that tends to contract during
shear became liquefied.
The sample was loaded undrained to a level of devi-
atoric stress where it was found to peak in undrained
tests, performed with strain control. At this level, the
loading mode was changed from strain control to load
control. This point is indicated in the figure with a line
called qmax . In the region between the qmax line and
the Critical State Line (CLS) the sample was creeping
under undrained conditions.
The test is presented in Figure 3 and 4. In Fig-
ure 3 the test is presented in a q-p
diagram. From
the qmax line the deviatoric stress is decreasing. The
region between the qmax line and the CSL is where the
instability criteria for soil and loose sand is fulfilled.
In this region Lade et al. (1987) found the loose sand
to become rapidly deformed and liquefied. However,
 14 Porepressure (MPa) Deviatoric stress (MPa) Axial strain (mS)

14 Initiation of creep phase

200
12 180
Deviatoric stress, q (MPa)

12
160
10
10 140
8 8 120

MPa

mS
100
6 6 80
CSL CSL 60
4
4 40
2
20
2 0 0
0 4340 4360 4380 4400 4420 4440
0 50 100 150 Time (min)
Axial strain (mS)
Figure 5. Test no. 1, pore pressure, deviatoric stress and
Figure 4. Test no. 1, deviatoric stress q versus axial strain. axial strain versus time.

16
the chalk did not deform rapidly, the deformation is 14
3

Deviatoric stress, q (MPa)

1more described as creep, with a moderate creep rate.
The forces applied by the ram were constant during
the tests. The calculated deviatoric stress is the differ-
ence between the confining stress and the axial stress.
The axial stress was the force applied per unit area,
and as the cross section of the sample increased due
to deformation, the axial stress was slightly altered
during the test. In addition, as large deformation
takes place and the sample becomes barrel-shaped,
the confining stress may increase. These factors were
contributing to the declining deviatoric stresses during
the test.
In Figure 5 the pore pressure, deviatoric stress and
axial strain are plotted versus time. The pore pressure
development during the test starts out with a relatively
steep increase but levels off at the end of the test. The
axial strain shows a quite linear trend in the beginning
of the creep phase, but starts to increase towards the
end of the test. No dramatic acceleration of deforma-
tion rate can be seen before the end of the test. Critical
State conditions were reached at half time of the creep
phase, as indicated in the figures. No irregularities or
signs of failure appear at this point. Actually, the pore
pressure and axial strain increase slowly for a period
of 20 and 45 minutes, respectively. When the sam-
ple failed, the only parameter that increases rapidly is
the axial strain, while the pore pressure shows minor
changes.
Signs of liquefaction should be expected to be seen
as a dramatic increase in the pore pressure and by
accelerating axial strain. When the samples failed
only the axial strain was accelerating significantly,
indicating ordinary shear failure.
Considering the system and test conditions, it may
not allow for dramatic events. Liquefaction requires
that the pore pressure increases and that the effective
stresses on the grains vanish. During a compression
test, the total volume in the cell is gradually decreased.
Liquefaction of chalk may require an environment that
CSL
12 1
10
8
6
4
2
0
0 5 10 15
Mean effective stress, p (MPa)
Figure 6. Extension test with an undrained creep phase.
would allow for expansion of the total volume. Thus,
the system during a compression tests may prevent
liquefaction of chalk from developing.
Extension tests are characterized by a constant con-
fining stress with unloading in the axial direction.
During an extension test the system allows for expan-
sion in the axial direction. An extension test performed
with load control instead of the conventional strain
control may constitute the conditions required for liq-
uefaction of chalk to develop. With load control, the
piston will respond to pressure being transmitted by
extension of the sample, and back up, allowing for
accelerating deformation to develop.
The next test, Test no. 2 was therefore performed as
an extension test. The sample was loaded undrained
by strain control to a level of qmax found in undrained
extension tests. Then the loading mode was changed
from strain to load control, initiating an undrained
creep phase.
In Figure 6 the test is presented in a q-p
dia-
gram. From the diagram it can be seen that the sample
under constant load was unstable and moves towards
the failure line. It even crosses the failure line and
finally it ends up in a regular shear type failure. The
axial strain, pore pressure and deviatoric stress are
plotted in Figure 7. Equally to the compression test,

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Copyright 2006 Taylor & Francis Group plc, London, UK

 Axial strain (mS) Porepressure (MPa) Deviatoric stress (MPa)
20
10
0,0824 mS/min
0 for loose sand and soil.
mS
-10
0,18 mS/min
-20
-30
-40
1600 1700 1800
Time (min)
Figure 7. Axial strain, deviatoric stress and pore pressure
versus time for the undrained extension test.
no dramatic increase in pore pressure or axial strain
occurred before the failure line was reached. Regard-
ing pore pressure and strain rates, the compression
and the extension test shows quite similar behavior.
When examining the strain rate during the test, it can
be divided into two sections. Initially the strain rate is
quite linear with a tangent of 0.0824 mS/min. During
the latter part of the test, the tangent has a slope of
0.18 mS/min. It may be noted that there is a factor of
two between the two rates, and the main shift during
the creep phase occurs when the sample fail at the CSL.
It should be emphasized that extension tests per-
formed by load control will have the freedom to expand
during failure. This implies that any instability and
liquefaction could freely develop, as the system itself
would not constrain the sample. One may define insta-
bility as inability to sustain constant load; chalk is
unstable in that sense. However, the instability seen
in this test, does not lead to liquefaction of the sample.
The strain rate seen in this test is mostly controlled by
the chalk sample. Minor restriction due to friction in
the piston should be expected.
Copyright 2006 Taylor & Francis Group plc, London, UK
6 CONCLUSION
CSL 8
7 In this paper, instability and liquefaction of chalk has
6 been investigated in the context of theory developed
5
It is demonstrated that the stress path goes through
MPa
4
a maximum level of deviatoric stress indicating that
3 the chalk is contracting during shear failure. By apply-
2 ing load control under undrained conditions when
1 exceeding the maximum level of deviatoric stress, the
0 potential region of liquefaction was examined. The
1900 tests indicate that the deformation rate of chalk is
constrained by micro-mechanisms, preventing rapid
disintegration of the matrix and thus liquefaction under
similar conditions as loose sand and soil.
REFERENCES
Castro, G., 1969. Liquefaction of Sands. Harvard Soil
Mechanics Series, 87, Harvard University, Cambridge,
Massachusetts.
Drucker, D.C., 1959. A definition of stable inelastic mate-
rial. J. Appl. Mech., 26, 101106.
Lade, P.V., Nelson, R.B. and Ito, Y.M., 1987. Nonassoci-
ated flow and stability of granular materials with flow.
J. Energ. Mech., ASCE, 113(9), 13021318.
Leddra, M.J. and Jones, M.E., 1989. Steady-state flow
during undrained loading of chalk. International Chalk
Symposium. Thomas Telford, London.
Monjoie, A. and Schroeder, C., 1989. Charactritique
mchanique de craies du Crtac Suprieur. Journe
Craie Universit de Lille, France.
Monjoie, A., Schroeder, C., Da Silva F. et al., 1985. Mechan-
ical Behaviour of Chalks. Proc. North Sea Chalk Sym-
posium, Stavanger Norway.
Schroeder, C., Bois, A. P., Maury, V. and Halle, G., 1989.
Water/Chalk (or collapsible soil) interaction: Part II. Results
of tests performed in laboratory on Lixhe chalk to calibrate
water/chalk models. Eurock 98, Trondheim, Norway.
415
 EUROCK 2006 Multiphysics Coupling and Long Term Behaviour in Rock Mechanics
Van Cotthem, Charlier, Thimus & Tshibangu (eds)
2006 Taylor & Francis Group, London, ISBN 0 415 41001 0

Wellbore strengthening in low permeability formations

Ivan R. Gil
Geomechanics International, Houston, Texas, USA

Jean-Claude Roegiers
The University of Oklahoma, Norman, Oklahoma, USA

ABSTRACT: Wellbore strengthening methods, via the creation of stress cages have recently been proposed
to increase the fracture gradient of underground formations. The most successful technique consists in inducing
short propped fractures at the borehole wall. However, this approach has been rather ineffective when applied
to low permeability rocks. This paper proposes a solution to this limitation by setting the stress cage after
first lowering the temperature of the drilling mud, reducing the tangential stresses at the borehole wall. Fracture
growth will then be controlled by this induced temperature gradient.

1 INTRODUCTION at the borehole wall. The magnitude of this tempera-

As the demand for hydrocarbon resources grows,
drilling is increasingly taking place in demanding and
hazardous environments. Current oil and gas plays
are located in basins where the drilling of horizons
with low fracture gradient is involved. Such formations
present the drilling engineer with a scenario where the
maximum mud weight to be used during the operation
is rather limited.
In order to overcome this constrain, different meth-
ods for increasing the fracture gradient of underground
formations have been put forward over the years. Very
recently, Benaissa et al. (2005) proposed a method that
increases the fracture gradient by using particles to seal
off the pores in the formation at the wellbore face;
thus, creating an effective non-porous region immedi-
ately behind the borehole (i.e. a region with zero pore
pressure).
However, one of the most successful techniques
for increasing the fracture gradient of an underground
horizon is the application of the stress cage con-
cept. In this method, the tangential stress around the
wellbore is increased by inducing and propping open
a controlled fracture at the borehole wall (Alberty and
McLean, 2004). This technique, albeit very efficient
in permeable formations, however being proven rather
ineffective when applied to low permeability rocks.
This paper proposes a new procedure for creating a
stress cage in low-permeability formations (e.g. shaly
sands). In this novel method, changes in temperature
are induced in the formation to be treated, before set-
ting the stress cage. Drilling fluid is used to cool down
the formation in order to reduce the tangential stress
ture change is determined by the required increment in
fracture resistance, which also establishes the opening
of the fractures in the stress cage. Subsequently, the
stress cage is set up following normal procedures.
The notion of controlling the stress acting on a rock
via altering its temperature is also not a novel concept.
As early as the bronze age, people used fire setting
as a method for rock comminution from underground
mines. In this technique, a fire was set up against a rock
face, inducing thermal stresses; then the rock either
crumbles naturally or shatters by water quenching. In
more recent times, several classic papers such as the
one by Morita et al. (1990), and Li (1991) explain the
effects that cooling or heating the wellbore wall has on
the stress concentrations.
Nevertheless, using cooling as a means of increas-
ing the effectiveness of stress cages is an idea that, to
the knowledge of the authors, remains to be explored.
The advantages of this new technology is that it
broadens the application of the stress cage technique,
without creating formation damage, as could be
one of the drawbacks of the sealing fluids injection
method.
2 THEORY
In a wellbore, changes in formation temperature trig-
ger thermal stresses that may dramatically change the
stress field of the rock wall. Cooling the formation
face tends to cause the rock to shrink; thus, reduc-
ing the surrounding tangential stress. This change in

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Copyright 2006 Taylor & Francis Group plc, London, UK

 tangential stress may be calculated by the following
equation (Morita et al., 1990):
borehole wall. Fortunately currently available tech-
nologies, such as the finite element method, allow for
the solution of Eqns (2) and (3) without the limita-
tions of the analytical method. This paper uses this type
of technologies to analyze the problem and prove the
application of the concept in wellbore strengthening
where  = change of tangential stress, T = change
in temperature ( C), = thermal expansion coef-
ficient ( C1 ), E =Youngs modulus (MPa), and
v = Poissons ratio.
The problem of calculating the change in formation
temperature as a function of time and distance to the
wellbore wall is defined by the general equation for
heat diffusion (Carslaw and Jaeger, 1959); i.e.
where Tf = formation temperature, kf = thermal con-
ductivity of the rock, Cf = formation heat capacity,
and f = bulk density of the rock. Taking into account
the axisymmetrical geometry of the problem, and
neglecting any vertical heat flow inside the formation,
Eqn (2) may be rewritten as (Morita et al., 1990):
Three boundary conditions are necessary to com-
plete the definition of this problem. At very early times
(for t
0), it may well be assumed that the entire for-
mation remains at its original temperature, Tf 0 ; thus,
defining the initial condition as:
For rock located away from the borehole (for
r
), the temperature may be assumed to be con-
stant at all times; this condition may be expressed
as:
The heat flow at the borehole wall may be expressed
by using Fouriers law of heat conduction (Hassan and
Kabir, 1991):
where rw = borehole radius, and Q = heat flow rate per
unit length of the well.
The analytical solution of Eqn. (3) for the bore-
hole wall involves the use of Laplace transforms as
proposed by Carslaw and Jaeger (1959). The final
equation is both tedious to solve and limited to the
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Copyright 2006 Taylor & Francis Group plc, London, UK
operations.
3 NEW APPROACH
For the last few years, the stress cage technique has
been rather successfully applied on permeable forma-
tions as a means of increasing their fracture gradient
(Alberty and McLean, 2004). However, stress cages
have not met with the same success when applied to
low-permeability rocks. This limitation of the tech-
nology may be caused by the difficulty in deflating
the fracture created while setting (or attempting to set)
the stress cage. And subsequently, failing to disrupt-
ing the hydraulic communication between the wellbore
and the fracture. Thus, the fluid keeping the fracture(s)
open is allowed to flow back into the wellbore (bring-
ing the bridging material with it), once the pressure is
released at the end of the procedure.
This paper is aimed at proving the concept of well-
bore cooling as an operational option for broadening
the scope of application of stress cages. In this novel
method, changes in temperature are induced in the for-
mation to be treated, before setting the stress cage.
Drilling fluid is used to cool down the formation
in order to reduce the tangential stress at the bore-
hole wall. The magnitude of this temperature change
is determined by the required increment in fracture
resistance, which also establishes the opening of the
fractures in the stress cage. Subsequently, the stress
cage is set up following normal procedures.
The main advantage of this new approach is that
the formation may be fractured at lower mud pressures
than in the standard technique. At least in theory, one
could cool the formation, set the stress cage, and con-
tinue drilling without decreasing the applied pressure
on the borehole wall. As time progresses the tempera-
ture of the treated formation face will increase and the
stress cage will be locked in place.
4 OPERATIONAL FEASIBILITY OF THE
NEW APPROACH MODELING
In this work, a finite element program was used to
solve Eqn. (2), without the limitations of the analyti-
cal solutions. A two-dimensional model representing
the wellbore and a surrounding formation was created
to simulate the problem described in the last section.
Figure 1 shows a sketch of the model and its finite
element grid.
 Figure 2. Wall temperature variation during the first
10 hours of cooling.

Figure 1. Finite element model of the problem.

The model shown in this paper was built to represent

the behavior of a wellbore drilled in a typical tight
sandstone; the values of the input parameters used for
the simulations in this study are as follows:
kf = 2.7 (Rock thermal cond., W/m. K)
= 1.352 (Btu/hr.ft. F)
f = 2120 (Rock density, Kg/m3 )
= 137.34 (lbm/ft3 )
Cf = 2.648 (Rock heat capacity, J/m3 . K)
= 0.213 (Btu/lb. F)
Depth = 3048 m Figure 3. Change in formation temperature as a function of
= 10,000 ft distance to the wellbore for several cooling times.
Geothermal gradient = 30 C/Km
= 15 F/1000 ft function of distance to the wellbore for cooling times
Tf 0 = 380.37 (Initial formation temp., K) ranging from 1 to 5 hours. The fracture length in
= 225 F most stress cages is about 6 inches (i.e. approximately,
Tw = 338.70 (Wellbore fluid temp., K) r/rw = 1.7 in this particular model), which seems to
= 150 F correspond to the zone where the temperature drop is
ro = 1.143 (Outer radius, m) most significant.
= 3.75 ft The results of these simulations show that, for this
rw = 0.229 (Wellbore radius, m) particular example, five hours of cooling will drop
= 0.75 ft the wall temperature down to about 371 K (207.5 F).
Typical values of , v, and E for a tight sandstone
In the field, it will be necessary to obtain the largest are 7 * 106 K 1 (9 * 106 F 1 ), 0.25 and 34 GPa
effect in the shortest period of time.Thus, the simulator (5 * 106 psi), respectively. Thus, a simple calculation
was run to define an optimum cooling time, after by using Eqn. (1) shows that a 11 K (17.5 F) drop
which the formation temperature changes only very in wall temperature triggers a decrease in tangential
slowly. The results of this simulation are presented in stress equal to more than 6.9 MPa (1000 psi or about
figure 2. From this plot, it can be easily observed that 2 ppg at the assumed depth). The change in tangential
the value of the temperature derivative drops to less stress due to temperature distribution (at a given time)
than 1 F/hr; thus, further cooling beyond this point may be calculated as (Morita et al., 1990):
was deemed fruitless.
A question remains: how far will the cooling front
advance into the rock during these five hours of cool-
ing? Figure 3 shows the change in temperature as a

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Copyright 2006 Taylor & Francis Group plc, London, UK

 Table 1. Reduction in tangential stress due to rock cooling, been, at best, limited probably due to the closure and
as a function of dimensionless radius, t = 5 hrs. flow back via the induced fractures.
This paper has proposed an alternative to create
Dimensionless radius  MPa ( psi)
1 7.24 (1050)
1.035 6.20 (899)
1.113 4.84 (702)
1.4 2.26 (328)
At any given time, curve fitting may be used in
Figure 3 to obtain the equation of temperature (Tf ) as
a function of rD . Such equation could be replaced into
Eqn. (4) to obtain the temperature-induced change in
tangential stress. Table 1 shows these results after five
hours of cooling for the model developed in this study.
It should be emphasized that the analysis carried
out in this paper ignores the pore pressure coupling;
hence, it should only be considered as a first order
approach. The complete theoretical solution should
indeed consider the fully coupled thermo-poro-elastic
approach (the reader is referred to the dissertation by
X. Li (1999)).
5 CONCLUSIONS
Traditional procedures to strengthen the borehole via
the creation of a stress cage have been successfully
developed and used in highly permeable formations.
However, their extension to shaly/tight horizons has
Copyright 2006 Taylor & Francis Group plc, London, UK
a similar stress cage and strengthen the borehole
via inducing secondary thermal stresses generated by
cooling the drilling mud.This new approach needs now
to be validated in the field.
REFERENCES
Benaissa, S., Bachelot, A., Ricaud, J., Arquey, G., Yi, X.,
and Ong, S., 2005: Preventing Differential Sticking and
Mud Losses Drilling through Highly Depleted Sands.
Fluids and Geomechanics Approach, SPE paper 92296,
presented at the SPE/IADC Drilling Conference, 2325
February, Amsterdam, Netherlands.
Alberty, M., and Mclean, M., 2004: A Physical Model
for Stress Cages, SPE paper 90493, presented at the
SPE Annual Technical Conference and Exhibition, 2629
September, Houston, Texas.
Morita, N., Black, A.D Guh, G-F., 1990: Theory of Lost
Circulation Pressure, SPE paper 20409, presented at the
SPE Annual Technical Conference and Exhibition, 2326
September, New Orleans, Louisiana.
Li, X., 1998: Thermoporomechanical Modeling Of Inclined
Boreholes, Ph.D. Dissertation, School of Petroleum and
Geological Engineering, The University of Oklahoma,
Norman, Oklahoma.
Hasan, A.R., and Kabir, C.S., 1991: Heat Transfer During
Two-Phase Flow in Wellbores; Part I Formation Tem-
perature, SPE paper 22866, presented at the SPE Annual
Technical Conference and Exhibition, 69 October, Dal-
las, Texas.
Carslaw and Jaeger, 1959: Conduction of Heat in Solids,
Oxford University Press., London.
420
 EUROCK 2006 Multiphysics Coupling and Long Term Behaviour in Rock Mechanics
Van Cotthem, Charlier, Thimus & Tshibangu (eds)
2006 Taylor & Francis Group, London, ISBN 0 415 41001 0

Development of an experimental device to carry out tests on

thick-walled hollow cylinders

M. Hosseini
Imam Khomeini International University, Ghazvin, Iran

C. Rousseau, J. Desrues P. Bsuelle & G. Viggiani

Laboratoire 3S, Grenoble, France

ABSTRACT: In oil and gas industries, it has been estimated that in excess of US$ 500 millions (Chen et al.,
2000) is lost each year because of wellbore instability. This research consisted of creating and developing an
experimental device to carry out tests on thick-walled hollow cylinders under two distinct conditions: 1) Tests
without pore fluid 2) Tests with convergent radial flow of pore fluid. The tests carried out on an artificial material
which was very porous.

1 INTRODUCTION experimental device developed in comparison to the

devices developed by others is the possibility of the
During the construction of underground opening, controlling the radial flow of the pore fluid.
such as: tunnels, shafts, caverns and deep oil wells,
stress concentrations increase around these openings
and instability problems occur in these underground
2 TEST APPARATUS
openings.
For example in the oil and gas industries it has been
2.1 Installation of the apparatus (test without pore
estimated that in excess of US$ 500 millions (Chen
pressure)
et al., 2000) is lost each year because of wellbore
instability. Experimental apparatus consists of:
To prevent wellbore instability problem, accurate 1) Triaxial cell, 2) Pressure transducer, 3) Membranes,
prediction of stress and deformation around the well- 4) Generator of pressure, 5) Acquisition
bore is essential. Thick-walled hollow cylinder tests Only the triaxial cell, because of its importance has
are one relative easy and economical means of study- been explained.
ing wellbore instability.
Many researchers (for example: Santarelli et al.,
2.1.1 Triaxial cell
1989, Ewy et al., 1990, Boehler, et al., 1994, Lee et al.,
We used a triaxial cell initially developed by Professor
1993, Marsden et al., 1996, Chen et al., 1998, Haimson
Jean Paul Boehler for studying the stability of the well-
et al., 2004 and Unander et al., 1997) have worked on
bore in the rocks (Figures 1 and 2, Pi and Pe are internal
this subject. The majority of researches have been car-
and external pressures respectively). It is a special cell
ried out in dry conditions (without pore pressure) or in
which is used to study the mechanism of rupture of
wet conditions but not necessarily drained condition
the underground openings. There are 8 wire passages
(fluid flow, saturation and pore pressure evolution in
of strain gauges (4 passages to install 4 strain gauges
the rock not properly controlled). This research con-
in the central hole and 4 passages to install 4 strain
sists in the development of an experimental device to
gauges on the external surface of the sample).
carry out tests on thick-walled hollow cylinders under
The following parameters measured and controlled
two distinct conditions:
during test (Table 1).
1) Tests without pore fluid (to simulate the under- Internal pressure is pressure in r = ri and external
ground openings during and after the drilling). pressure is pressure in r = re .
2) Tests with convergent radial flow of pore fluid Two types of membranes have been used to iso-
(to simulate the wellbore conditions during phase late the specimens from the inner and outer pressure
of oil production). The key advantages of the chambers fluid (oil) (Table 2).

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Copyright 2006 Taylor & Francis Group plc, London, UK

 Cap of piston

Piston

Cap of sample
External membrane

Body of cell

Internal membrane

Entry of Entry of
confining fluid confining fluid

Base de cell

Entry of fluid in the

Entry of fluid in the
internal membrane
internal membrane

Figure 1. High pressure triaxial cell.

2.2 Installation of the apparatus (test with pore
pressure)
Experimental apparatus consists of:
1) Triaxial cell, 2) Pressure transducer, 3) Membrane,
4) Generator of pressure, 5) Acquisition, 6) Pump,
7) Balance
Only the triaxial cell, because of its importance has
been explained.
2.2.1 Triaxial cell
The initial cell was not designed to carry out drained
tests, so several parts had to be designed, and machined
either to replace the existing parts (for example:
the piston), or to be added to the system to allow the
drainage ((Figures 3 and 4). The pore fluid enters
the system through the upper piston, then passes to
the upper platen (two parts) by a steel tube. A spe-
cially designed plate allows the distribution of the fluid
to a draining layer of porous material disposed along
the lateral outer surface of the specimen, through 12
passages (Figure 3).
This Part (Part number 1) is screwed to the other
part (part number 2) of the platen. The difference in
diameter between the two parts is 0.6 mm and the fluid
can circulate in a zone 0.3 mm thickness around the
plate. The sample is wrapped in a sheath made up of
a draining material placed inside the external mem-
brane. The fluid penetrates in the draining sheath and
then runs out in the sample radially towards the inner
hole (Figure 3).
The pore pressure in the hole is null.
The pore fluid is collected in foot of sample at the
exit of the central hole and then it is collected in a con-
tainer posed on a balance. The following parameters
measured and controlled during the test (Table 3).
3 TYPES OF TESTS
The following tests were carried out on hollow cylin-
drical samples in conditions with and without pore
fluid.
3.1 Dry tests
Two types of tests were carried out in conditions
without pore fluid.

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Copyright 2006 Taylor & Francis Group plc, London, UK

 Piston

O-ring

Body of cell

Sample Central hole

Membrane

O-ring

Figure 2. Cell after assemblage.

Table 1. Parameters measured and controlled during the

test. Table 2. Characteristics of membranes.

Parameter Measured Controlled Device Diameter Length Thickness

Types (mm) (mm) (mm)
Axial strain x strain gauge
Tangential strain x strain gauge External membrane 95 280 10/10
External pressure x Pressure Internal membrane 25 330 12/10
transducer
External pressure x Generator of
pressure
Internal pressure x Pressure 3.1.1 Tests under an increasing external pressure
transducer
Internal pressure x Generator of
(without internal pressure)
pressure The external pressure (confining pressure) was
increased until the rupture occurred (to find the

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 Entry of pore fluid
Air bleeder hole

O-rings
Steel tube

Passage of fluid in
the plate
Sample

Plate Central hole

Draining sheath

Radial drainage
Passage of pore fluid

Passage of wire of
strain gauge

Figure 3. Schematic drawing: triaxial cell after assemblage (Hosseini, 2005).

Figure 4. New parts of triaxial cell.

external pressure Pe , causing the rupture in internal
wall of the cylinder).
3.1.2 Tests under a constant external pressure and
a decreasing internal pressure
The test included two stages: in the first stage, the
external pressure and the internal pressure were
increased at the same time up to a Pmax value. In the
second stage, the external pressure was maintained
constant at the Pmax value and the internal pressure was
decreased until the rupture occurred inorder to model
the underground opening during drilling (Figure 5).
3.2 Tests with pore fluid
Two types of test were carried out in conditions with
pore fluid.

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Copyright 2006 Taylor & Francis Group plc, London, UK

 Table 3. Parameters measured and controlled during the 3.2.1 Tests under an increasing external pressure
test. and a constant external pore pressure
The test included three stages:
Parameter Measured Controlled Device
Stage 1, the external pressure (confining pressure)
Axial strain x Strain gauge was increased up to a P1 value. Second stage, the exter-
Tangential strain x Strain gauge nal pore pressure was increased with Pf value. Third
External pressure x Pressure stage, the external pressure is increased until the rup-
transducer ture occurred in order to model the wellbore during
External pressure x Generator of phase of oil production while differential of pore pres-
pressure sure (difference between the external pore pressure
Internal pressure x Generator of and the pore pressure in the hole) was constant. The
pressure pore pressure in the hole was null. This research car-
External pore x Pressure
ried out on an artificial material which was very porous
pressure transducer
External pore x Regulator of with the following characteristics: Porosity = 46,48%,
pressure pressure Uniaxial compressive strength = 18,6 MPa, Poissons
ratio = 0,18 and Young modulus = 9 GPa. One of the
results of test is presented in Figure 6 (In this Figure
Dti is tangential strain in central hole).

3.2.2 Tests under a constant external pressure and

an increasing external pore pressure
The test included three stages:
Stage 1, the external pressure (confining pressure)
was increased up to a P1 value. Second stage, the
external pore pressure was increased with Pf value.
Third stage, the external pore pressure was increased
stage by stage until the rupture occurred in order to
model the wellbore during phase of oil production
while differential of pore pressure (difference between
the external pore pressure and the pore pressure in the
hole) increases during the production of oil. The pore
pressure in the hole was null. If the sample was not
Figure 5. The stages of test. fractured at the end of the first cycle, the external pore

16 3500
Pf
Pe
Volume (cm3) et Strain (micro strain)

14 3000
Volume
12 Dt 2500
Pressure (MPa)

10 2000

8 1500

6 1000

4 500

2 0

0 -500
0 500 1000 1500 2000 2500
Time (s)

Figure 6. The result of test.

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Copyright 2006 Taylor & Francis Group plc, London, UK

 12 5000

Pf

Volume (cm3) et strain (micro strain)

10 4000
Pe
Dti
8 3000
Pressure (MPa)

Volume

6 2000

4 1000

2 0

0 -1000
0 500 1000 1500 2000 2500
Time (s)

Figure 7. The result of test.

pressure was decreased to Pf then the confining pres-
sure was increased until P2 and finally the external
pore pressure was increased until the rupture occurred.
One of the results of tests is presented in Figure 7.
4 CONCLUSION
This research consisted of creating and developing
an experimental device to carry out tests on hollow
cylinder with thick walls under two distinct conditions:
1) Tests without pore fluid (to model the underground
opening during and after the drilling):
a) Tests under an increasing confining pressure.
b) Tests under a constant confining pressure and a
decreasing internal pressure.
2) Tests with convergent radial flow of pore fluid (to
model the wellbore during phase of oil production).
This is one of the advantages of the experimental
device developed, since the possibility of the control-
ling the radial flow of the pore fluid does not exist in
the majority of researches carried out.
a) Tests under an increasing confining pressure and a
constant external pore pressure.
b) Tests under a constant confining pressure and an
increasing external pore pressure.
Santarelli, F.J. & Brown, E.T. 1989. Failure of three sedimen-
tary rocks in triaxial and hollow cylinder compression
tests, Int. J. Rock Mech. Sci. & Geomech., Vol. 26,
pp. 401413.
Ewy, R.T. & Cook, N.G.W. 1990. Deformation and fracture
around cylindrical opening in rock, Int. J. Rock Mech.
Sci. & Geomech., Vol. 27, pp. 387417.
Boehler, J.P., Dietl, T. & Millien, A. 1994. Rupture anisotrope
des trous de forage ptrolier, Rapport.
Lee, M. & Haimson, B. 1993. Laboratory study of bore-
hole breakout in lac du Bonnet granite: a case of extensile
failure mechanism, Int. J. Rock Mech. Sci. & Geomech.,
Vol. 30, pp. 10391045.
Marsden, J.R., Dennis, J.W. & Wu, B. 1996. Deformation
and failure of thick-walled hollow cylinders of mudrock
a study of wellbore instability in weak rock, Eurock 96,
Balkema Rotterdam.
Chen, X., Tan, C.P., Wu, B. & Haberfield, C.M. 1998.
Modelling of the undrained behaviour of wellbores, The
geotechnics of hard soils-soft rocks, Balkema Rotterdam.
Haimson, B. & Lee, H. 2004. Borehole breakout and com-
paction bands in two high porosity sandstones, Int. J. Rock
Mech. Sci. & Geomech., Vol. 41, pp. 287301.
Unander, T.E., Papamichos, P., Tronovll, J. & Skjaerstein, A.
1997. Flow geometry effects on sand production from
an oil producing perforation cavity, Int. J. Rock Mech.
Sci. & Geomech., Vol. 34, No. 34, Paper No. 293.
Hosseini, M. 2005. Etude exprimentale du comportement
hydro-mcanique dune roche poreuse en relation avec les
problmes dexcavation, Ph.D. Thesis, Univ. Grenoble 1.

REFERENCES
Chen, X., Tan, C.P. & Haberfield, C.M. 2000. Numerical
evaluation of the deformation behaviour of thick walled
hollow cylinders of shale, Int. J. Rock Mech. Sci. &
Geomech., Vol. 37, pp. 947961.

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Copyright 2006 Taylor & Francis Group plc, London, UK

 EUROCK 2006 Multiphysics Coupling and Long Term Behaviour in Rock Mechanics
Van Cotthem, Charlier, Thimus & Tshibangu (eds)
2006 Taylor & Francis Group, London, ISBN 0 415 41001 0

Does the chemical interaction between seawater and chalk affect the
mechanical properties of chalk?

R.I. Korsnes, S. Strand, . Hoff, T. Pedersen, M.V. Madland, & T. Austad

University of Stavanger, Stavanger, Norway

ABSTRACT: Chalk petroleum reservoirs are characterized as fragmentary parts of calcite skeletons produced
by plankton algae, known as coccolithophorids, and successful improved oil recovery from this type of reservoir
is obtained by injection of seawater. In general, the mechanical strength of chalk is weakened by substitution of
oil by water, which is known as water-weakening of chalk. Recent creep studies at 130 C, after flooding 9 pore
volumes (PV) of water, have shown that chalk cores flooded with distilled water are considerably stronger than the
cores flooded with artificial seawater, a factor of 2.2. Seawater contains potential determining ions (Ca2+ , Mg2+
and SO24 ), which have influence on the charge of the chalk surface. Core flooding tests at high temperatures
showed that Mg2+ ions substituted Ca2+ ions at the chalk surface, and the degree of substitution increased
as the temperature increased. Thus, the substitution reaction increases with temperature, while the dissolution
of CaCO3 (s), i.e. chalk, decreases with increasing temperature. The following hypothesis was suggested: The
effect of temperature on the mechanical properties of chalk flooded with seawater is dictated by the degree of
substitution of Ca2+ ions by Mg2+ ions and the dissolution of chalk. The processes have an opposite behavior
regarding the temperature. This hypothesis has later been confirmed by mechanical tests.

1 INTRODUCTION Recent laboratory studies have documented that

Chalk petroleum reservoirs are characterized as frag-
mentary parts of calcite skeletons produced by plank-
ton algae, known as coccolithophorids. The properties
of the biogenic sediments were maintained due to an
early invasion of oil, which stopped further recrys-
tallization of the material into limestone or dolomite.
Due to the soft nature of the biogenic sediments, the
reservoirs are usually natural fractured. The perme-
ability of the matrix blocks is low, about 2 mD, and
the porosity can be very high, nearly 50%. The suc-
cess of improved oil recovery by injection of water is
depending on: (1) the permeability contrasts between
the fractures and the matrix blocks, (2) the connectivity
of the fracture network, and (3) the wetting conditions
of the rock. The impact of viscous displacement of oil
from the matrix blocks by water injection decreases
as the connectivity of the fractures increases. If the
permeability difference is high, and in addition, the
rock acts preferentially oil-wet, the displacement of
oil by water injection is usually low because the neg-
ative capillary pressure prevents water from imbibing
spontaneously into the matrix blocks. It is known that
about 90% of the carbonate reservoirs are neutral to
preferential oil-wet (Downs et al. 1989), and this may
be the reason why the average recovery factor of oil
from carbonates is less than 30% world wide.
seawater can modify the wetting conditions of chalk
to enhance spontaneous imbibition of water into the
matrix blocks (Austad et al. 2005). Due to the differ-
ence in the concentration of potential determining ions
(Mg2+ , Ca2+ and SO2 4 ) towards the chalk surface for
seawater and initial formation brine, it was suggested
that some of the strongly adsorbed carboxylic materi-
als were removed from the chalk surface (Strand et al.
2005). The imbibition rate was sensitive to the temper-
ature, and enhanced oil recovery was obtained above
100 C due to increased adsorption of SO2 4 (Strand
et al. 2005). The successful improved oil recovery
from the Ekofisk field in the North Sea by injec-
tion of seawater may be a combination of wettability
modification and impact of viscous forces.
During the primary production phase by pressure
depletion, increased reservoir compaction has been
observed due to the very high chalk porosity. The com-
paction of the rock has been regarded as an important
contribution to the drive mechanism for oil recovery
(Ruddy et al. 1989). It is also well known that the
chalk becomes weaker as the oil is displaced by water.
The phenomenon has been described as water weaken-
ing of chalk. The mechanism for the water weakening
of chalk is not fully understood, and several physico-
chemical models have been suggested, i.e. change in
capillary forces (Delage et al. 1996), increased stress

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Copyright 2006 Taylor & Francis Group plc, London, UK

 solution (Hellmann et al. 1996), increased pressure on Table 1. Composition of synthetic seawaters.
chalk grains caused by attraction of water molecules
to the calk surface (Risnes et al. 2005), chemical SSW SSW
dissolution (Newman, 1983; Heggheim et al. 2005). without without
In the present paper, the interaction between bio- SSW SO2
4 Mg2+ SSW2
Ions [mol/l] [mol/l] [mol/l] [mol/l]
genic chalk and seawater will be discussed in terms of
chalk dissolution and chemical reactions at the chalk
HCO 3 0.002 0.002 0.002 0.002
surface at different temperatures. The objective is to Cl 0.525 0.583 0.570 0.467
present a hypothesis for the impact of seawater on the SO42
0.024 0.000 0.024 0.048
mechanical properties of chalk in order to improve Mg2+ 0.045 0.045 0.000 0.045
our understanding about water weakening effects. In Ca2+ 0.013 0.013 0.013 0.013
the next paper in this series, the hypothesis will be Na+ 0.450 0.460 0.584 0.440
tested, and a chemical mechanism for the enhanced K+ 0.010 0.010 0.010 0.010
water-weakening effect of seawater will be presented. TDS [g/l] 33.39 33.39 36.96 33.39

2 EXPERIMENTAL
Table 2. Composition of NaCl brines.
2.1 Core materials Brine 1 Brine 2 Brine 3
Outcrop chalk from the quarry of Stevns Klint near Compound [g/l] [g/l] [g/l]
Copenhagen in Denmark was used, and it is referred
to as Stevns Klint chalk. The main characteristics of NaCl 30.69 30.89 29.45
CaCl2 1.44 1.44
this chalk are: Maastrichtian age; porosity between 45 MgCl2 1.24 1.24
to 50%; permeability 12 mD (12 1015 m2 ). The SCN 1.26 1.26 1.26
Stevns Klint chalk is mainly composed of fine graded
matrix (96 wt%), whereas larger bioclasts (mostly TDS 33.39 33.39 33.39
uncemented foraminifera) constitute the remaining
part of the rock (Milter, 1996). The cores were drilled
was used to avoid boiling in the high temperature tests,
from chalk blocks with an oversized bit, with circulat-
however it was also used at low temperature tests in
ing water as cooling fluid. After drilling, the cores were
order to have similar test conditions. The backpressure
dried overnight in an oven at approximately 110 C.
valve was set to 4 bars for all tests.
There after, the cores were shaped in a lathe and cut to
the right length with a diamond saw, D = 37 mm and
2.4 Mechanical tests
L = 7080 mm.
Hydrostatic- and creep tests with seawater and dis-
2.2 Brines tilled water as flooding fluids were performed in a
hydraulically operated triaxial cell with heating ele-
Synthetic seawater (SSW), modified synthetic sea- ments mounted on the outside. 3 high-pressure pumps
water, and NaCl brines containing different potential (0.1 MPa) were used to operate the cell (confining
determining ions (Ca2+ , Mg2+ and SO2 4 ) were used pressure, axial pressure and fluid circulation). The cell
during core flooding, mechanical tests and Zeta poten- was not equipped for measuring lateral displacement.
tial measurements. The compositions of the different The axial displacement was measured by an outside
brines are listed in Table1 and Table 2. linear voltage displacement transducer (0.05 mm)
that follows the movement of the piston. The strain
2.3 Core flooding rate for the tests in this test cell was approximately
0.1%/hour. The effluent of the injected fluid was
Core flooding tests were performed in a Hassler cell,
sampled during the tests and analyzed.
which was placed inside a heating cabinet. This test
The heating system of the cell consisted of 6 heat-
set-up made it easy to perform tests at different temper-
ing elements, which were controlled by an external
atures. A Gilson pump with flow rate accuracy within
regulating system. The temperature inside the cell was
the region of 1% was used to flood the cores, and
measured by a resistivity Pt-100 element. During
the effluent fluid was sampled with a fraction sampler
the experiments, the temperature was kept constant,
and analyzed. Core flooding tests with NaCl brines
0.2 C.
were performed with a flow rate of 0.2 ml/min, and
3 PVs were flooded through the cores. Tests with SSW
were performed with a flow rate that corresponded to 2.5 Chemical analyses
1 pore volume per day (PV/D), and a total of 4 PVs Brine samples from the core flooding and mechanical
were flooded through the cores. A backpressure valve tests were analyzed with a Spectroquant photometer

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Copyright 2006 Taylor & Francis Group plc, London, UK

 NOVA 60, where Ca2+ and Mg2+ concentration was
determined photometrically, and SO2
4 concentration
was determined with the turbidimetric method. Some
additional chemical analyses were performed with
Inductively Coupled Plasma, ICP, (Ca2+ and Mg2+ )
and Ion Chromatography, IC, (SO2
4 ) to double check
the chemical analysis.
2.6 Zeta potentials
The zeta potential measurements were performed with
milled Stevns Klint chalk suspended in NaCl solutions,
by using an AcoustoSizer from Matec Applied Sci-
ences, USA. The chalk material was milled for 48 hrs
using a ball mill and sieved through a fine metal screen
(70m) before use.A suspension of 4.0 wt% chalk in
the brine was stirred at room temperature for 2 days and
used as a stock solution. Representative solutions were
added to the cell for zeta potential measurements at
25 C. The pH was kept constant, pH = 8.4, by adding
small amounts of concentrated HCl or NaOH.
3 RESULTS AND DISCUSSION
As oil is displaced from the matrix blocks with water,
the saturation of water increases and thereby increases
also the relative permeability of water. Thus, during an
actual water flood in the field, it is expected that a large
number of pore volumes of seawater flow through the
matrix blocks, especially if the permeability contrasts
between matrix and fractures are moderate. In order
to only focus on the rock water interaction, the chalk
cores were regarded as completely water-wet as no oil
was present initially.
Many of the chalk reservoirs in the North Sea are
rather deep reservoirs with temperatures close to or
above 100 C. The reservoir temperature for the large
Ekofisk field is about 130 C. Therefore, the temper-
ature in our experiments was varied from ambient to
130 C.
The mechanical tests, at 130 C, showed that the
strain of cores flooded with seawater during a creep
test at constant stress is about 120% higher than the
strain obtained when flooding with distilled water at
the same stress conditions. This observation triggered
our further studies of chemical interaction between
seawater and the chalk surface. In order to explain this
large effect on the mechanical properties, some spe-
cial interaction between seawater and chalk must take
place at high temperatures.
3.1 Mechanical test
The well-known water weakening effect is illustrated
very clearly by an in house experiment, Fig. 1. The
chalk core was 100% saturated with decane and kept
429
Copyright 2006 Taylor & Francis Group plc, London, UK
Creep stress 20 MPa
3.5
3.0 Start Decane
Creep strain [%]
2.5 flooding
2.0
Start water flooding
1.5
1.0 Creep drysample
0.5
0.0
0 1000 2000 3000 4000 5000 6000 7000 8000
Creep time [min]
Figure 1. Illustration of the water weakening effect, plotted
as creep vs. time, when decane is displaced by distilled water
from a chalk core under hydrostatic stress.
at a constant hydrostatic stress level of 20 MPa. As
the water invaded the core, the strain increased dra-
matically. This fast water weakening effect will take
place independently of the type of water used, pro-
vided that the core was not equilibrated with the water
prior to the test (Newman, 1983). As mentioned in
the introduction, several mechanisms have been sug-
gested. Besides this fast water weakening effect, more
long-term chemical effects are related to the interac-
tion between the injected water and the chalk surface
(Heggheim et al. 2005). The injected fluid is usually
not in chemical equilibrium with the rather reactive
chalk surface at the actual temperature, and dissolu-
tion and other chemical reactions at the chalk surface
will take place. If the water is flooded through the core,
the chemical equilibrium between the water phase and
the rock is always disturbed.
Four comparable outcrop chalk cores were tested in
a triaxial cell. The cores were evacuated and saturated
with the appropriate fluid, i.e. seawater and distilled
water, thermostated to 130 C, and loaded hydrostati-
cally to a stress level somewhat above the yield point,
10 MPa. The cores were flooded at a rate of 2 PV/D
during the entire test. The creep, determined as
strain, %, was measured as a function of PV of fluid
flooded through the cores. The reproducibility of two
separate tests using seawater and distilled water was
excellent as shown by Fig. 2. After about 9 PV, the
measured strain for the cores containing seawater was
about 1.1%, while the average strain value for the cores
flooded with distilled water was close to 0.5%. Know-
ing that at room temperature, different types of water
at salinities less than seawater appeared to have very
small effects on the mechanical strength (Risnes et al.
2003), the difference in mechanical strength between
seawater and distilled water observed in this exper-
iment at 130 C is surprisingly large. If the relative
strength of the chalk was dictated by dissolution of
chalk, it is reasonable to believe that the chalk dis-
solution is lower in seawater than in distilled water
due to the presence of the common ion Ca2+ in
seawater. Thus, the opposite relative strength should
be expected. Besides, the dissolution of CaCO3 (s)
 1.8 1.00
Flooding of
1.6 distilled water
Axial creep strain [%]

1.4 0.75
1.2

C/Co
1.0 0.50 C/Co SCN (Brine with Ca2+) at
23C . A=0.27
0.8
SSW
0.6
SSW 0.25
C/Co Ca2+ (Brine with Ca2+) at
0.4
DW 23C .
0.2
DW 0.00
0.0 0.6 0.8 1.0 1.2 1.4 1.6 1.8 2.0 2.2 2.4 2.6 2.8 3.0
0 5 10 15 20 25
PV
Pore volume

Figure 4. Affinity of Ca2+ towards the chalk surface plot-

Figure 2. Axial creep strain vs. pore volume for cores
ted as relative concentration vs. PV at room temperature.
flooded with distilled water and seawater at 130 C.

30 1.00

20
0.75
Zeta potential (mV)

10

C/Co
0.50 C/Co SCN (Brine with Mg2+) at 23C
0 Sulfate A=0.202

-10
-20
-30
0 0.02 0.04 0.06
2- 2+
[SO4 ], [Ca ] or [Mg ], mole/l
Figure 3. Zeta potential measurements in a 0.573 mole/l
NaCl-brine as a function of concentration of potential deter-
mining ions, pH = 8.4 and temperature of 25 C.
decreases, as the temperature increases, and it should
be very low at 130 C. Obviously, other phenomena
than just chalk dissolution must be responsible for the
great difference in mechanical properties.
3.2 Seawater-Chalk interaction
The Zeta potential measurements on chalk particles in
NaCl-solution showed that Mg2+ , Ca2+ and SO2 4 are
potential determining ions towards the chalk surface,
Fig. 3, which is in line with previous studies by Pierre
et al. (1990). Thus, each of the ions can adsorb onto the
chalk surface and modify the charge density. NaCl is
in that sense an inert salt, and it does not affect the Zeta
potential.The model composition of seawater (SSW) is
4 ] 2 [Ca ]
listed in Table 1. It is noticed that [SO2 2+
and that [Mg ] 2 [SO4 ]. In solution, Mg and
2+ 2 2+
SO24 form an ion-pair, which affects the activity of
Mg2+ and SO2
4 (Calberg et al. 1973):
The dissociation constant Kd defined as:
Calcium
0.25
Magnesium C/Co Mg2+ (Brine with Mg2+) at
23C
0.00
0.6 0.8 1.0 1.2 1.4 1.6 1.8 2.0 2.2 2.4 2.6
0.08 0.1 0.12 PV
2+
Figure 5. Affinity of Mg2+ towards the chalk surface
plotted as relative concentration vs. PV at room temperature.
decreases as the temperature increases and increases
as the ionic strength increases. Therefore, the activ-
ity of sulfate decreases as the temperature increases,
which prevents precipitation of CaSO4 (s) at high tem-
peratures. Thus, due to this interaction between Mg2+
and SO2 4 , seawater can be used as injection fluid in
reservoirs at very high temperatures. It must be noticed
that the solubility of CaSO4 passes through a max-
imum as the temperature increases. Without Mg2+
present in seawater, CaSO4 (s) would be precipitated
above 100 C.
Besides Zeta potential measurements, the affinity
of the potential determining ions towards the chalk
surface can be studied by chromatographic technique
in the aqueous phase. Thiocyanate, SCN , can be used
as a tracer when flooded through a chalk core in NaCl
brine containing the actual potential determining ion.
The area between the effluent curve for the tracer and
potential determining ion is a direct measure of the
affinity of the ion towards the water-wet chalk sur-
face, when plotted against the pore volume flooded.
The method has been used to determine the fraction
of water-wet area, i.e. a water wetting index for oil-
containing cores at residual oil saturation (Strand et al.
2004).
As noticed from Figs. 4 and 5, the affinity of Ca2+
is higher than the affinity of Mg2+ at room tempera-
ture, and the corresponding areas are 0.27 and 0.20,

430

Copyright 2006 Taylor & Francis Group plc, London, UK

 1.00 1.75
1.50
0.75 1.25 A = 0.535
C/Co SCN (Brine with Mg and Ca2+) at
23C [Magnesium] A=0.084
1.00
C/Co

C/Co
0.50 C/Co Mg2+ (Brine with Mg2+ and Ca2+) at
A = 0.563
23C 0.75 C/Co SCN (Brine with Mg2+
and Ca2+) at 130C
C/Co Ca2+ (Brine with Mg2+and Ca2+) at
0.25 23C 0.50 C/Co Mg2+ (Brine with Mg2+
A = 0.099 and Ca2+) at 130C
C/Co SCN (Brine with Mg and Ca2+) at 0.25 C/Co Ca2+ (Brine with Mg2+
23C [Calcium] A=0.31 and Ca2+) at 130C
0.00 0.00
0.6 0.8 1.0 1.2 1.4 1.6 1.8 2.0 2.2 2.4 2.6 0.6 0.8 1.0 1.2 1.4 1.6 1.8 2.0 2.2 2.4 2.6 2.8 3.0
PV PV

Figure 6. Competitive adsorption of Ca2+ and Mg2+ Figure 8. Competitive adsorption of Ca2+ and Mg2+
towards the chalk surface plotted as relative concentration towards the chalk surface plotted as relative concentration
vs. PV at room temperature. vs. PV at 130 C.

1.75 C/Co Ca2+ SW at 130C

SSW
1.50 C/Co Ca2+ SW at 100C
1.8 C/Co Ca2+ SW at 70C
1.25
A = 0.267 1.6 C/Co Ca2+ SW at 23C
1.00
C/Co

A = 0.402 C/Co 1.4

0.75 C/Co SCN (Brine with Ca2+ and Mg2+)
at 70C
0.50 C/Co Mg2+ (Brine with Ca2+ and Mg2+)
1.2
at 70C
0.25 A= 0.110 C/Co Ca2+ (Brine with Ca2+ and mg2+)
1.0
at 70C
0.00 0.8
0.6 0.8 1.0 1.2 1.4 1.6 1.8 2.0 2.2 2.4 2.6 2.8 3.0 0.0 1.0 2.0 3.0 4.0
PV PV

Figure 7. Competitive adsorption of Ca2+ and Mg2+ Figure 9. Slow injection of seawater into chalk cores plotted
towards the chalk surface plotted as relative concentration as relative concentration vs. PV at various temperatures.
vs. PV at 70 C.

respectively. In both cases, the concentration of Ca2+
and Mg2+ was equal to 0.013 mole/l.
In a competitive situation, the difference in chalk
affinity between Ca2+ and Mg2+ increases, and the
corresponding areas in this case became 0.31 and
0.084, respectively, Fig 6. When the temperature was
increased to 70 C, the effluent concentration of Ca2+
exceeded the initial concentration by more than 50%,
and the retention of Mg2+ appeared to increase dra-
matically, Fig. 7. Obviously, Mg2+ is able to substitute
Ca2+ from the solid phase. The fact, that the effluent
concentration of Ca2+ and Mg2+ approaches the ini-
tial concentration as more fluid is injected, indicated
that the substitution of more weakly bonded Ca2+ by
Mg2+ is quite fast, but later on the residence time
for the injected fluid in the core became too short to
observe substitution. The phenomenon is even more
pronounced at 130 C. The area of the Ca2+ effluent
curve above (C/Co) = 1.0 is a measure for the amount
of Ca2+ displaced from the chalk surface by Mg2+ .
At 70 C, this area was 0.267, while at 130 C, the area
increased to 0.535, as illustrated by Figs. 7 and 8.
The substitution of Ca2+ by Mg2+ in solid CaCO3 (s)
is often refereed to as dolomitization. According
to the discussion performed by Deelman (2005),
preparation of pure dolomite at laboratory conditions
requires simultaneous precipitation (co-precipitation)
of CaCO3 and MgCO3 . The MgCO3 formed at the
chalk surface is therefore best described as a surface
reaction, where Mg2+ substitutes some Ca2+ on the
CaCO3 (s) surface structure. Based on compositional
analysis of produced water from chalk oil reser-
voirs flooded by seawater, it has been suggested that
dolomitization of the chalk is taking place (Petrovich
et al. 1998; Mackay et al. 2003).
Seawater that contained the actual concentration of
potential determining ions (Mg2+ , Ca2+ , and SO2 4 )
was flooded very slowly, about 1 PV/D, through
chalk cores at various temperatures, 23, 70, 100, and
130 C. The concentration of Ca2+ in the effluent
was monitored and plotted versus the PV injected,
Fig. 9. At low temperatures, 23 and 70 C, no sig-
nificant increase in the concentration of Ca2+ was
observed in the effluent. At 100 C, the concentration
of Ca2+ increased nearly 20%, which was maintained
during 4 PVs. The increase in Ca2+ was even higher at
130 C, and it varied within a factor of 1.41.5. The
impact of Mg2+ on the observed increase in Ca2+
concentration is evident from Fig. 10. Magnesium
is removed from the seawater and substituted with
NaCl to keep the ionic strength constant and similar
to seawater. At room temperature, no change in Ca2+
concentration was noticed as expected.
When the temperature was increased to 130 C, a
decrease in the concentration of Ca2+ and SO2 4 was
observed due to the precipitation of CaSO4 (s). In this

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Copyright 2006 Taylor & Francis Group plc, London, UK

 1.2
SSW without SO42-, 130C
0.050
0.045
1.0 0.040
0.035
C/Co

Magnesium

[mol/l]
0.030
0.025 Calcium
0.8 C/Co Ca2 + SW0Mg at 23C 0.020
C/Co Ca2 + SW0Mg at 130C 0.015
0.010
C/Co SO4 SW0Mg at 130C 0.005
0.6
0.0 1.0 2.0 3.0 0.000
0.0 0.5 1.0 1.5 2.0 2.5 3.0 3.5 4.0 4.5
PV
Pore volume

Figure 10. Slow injection of seawater without Mg2+ into

Figure 12. Without SO24 present in the seawater, the vari-
chalk cores plotted as relative concentration vs. PV at various
ation in the Mg2+ concentration was less when compared to
temperatures.
the trend in Fig. 11.

SSW, 130C SSW2 130C

0.050 0.050
0.045 0.045
0.040 0.040
0.035 0.035
[mol/l] 0.030
[mol/l]

0.030 Sulfate
0.025 0.025 Calcium
0.020 0.020
0.015 Magnesium
Sulfate
0.015
0.010 0.010
Calcium
0.005 0.005
Magnesium
0.000 0.000
0.0 0.5 1.0 1.5 2.0 2.5 3.0 3.5 4.0 4.5 0.0 1.0 2.0 3.0 4.0 5.0
Pore volume Pore volume

Figure 11. The concentration of Ca2+ increased and the Figure 13. When the concentration of SO24 was doubled,
concentration of Mg2+ decreased in the effluent. the increased amount of Ca2+ due to substitution by Mg2+
caused precipitation of CaSO4 .

case, the activity of SO2 4 is not decreased as the
temperature is increased due to the lack of the ion
pair formation between Mg2+ and SO2 4 . A final doc-
umentation of the substitution of Ca2+ by Mg2+ at
high temperature, 130 C, is illustrated in Fig. 11. As
noticed, the concentration of Mg2+ decreased at the
same time as the Ca2+ concentration increased. It is
also noticed that the concentration of SO2 4 decreased
during the injection of seawater. It has been verified
previously, that sulphate adsorbs onto the chalk sur-
face, and the adsorption increased as the temperature
increased (Strand et al. 2005). Furthermore, it has
also been verified, that adsorption of sulphate onto
chalk caused increased adsorption of Ca2+ due to the
decrease in the positive charge on the surface (Strand
et al. 2005). Thus, the dynamic equilibrium between
potential determining ions in solution and adsorbed
or substituted, at the chalk surface, is affected both by
the temperature and their relative concentration. It was
therefore of interest to see if the presence of sulphate
in seawater affected the substitution of Ca2+ at the sur-
face due to the strong interaction with Mg2+ in solution
as described previously. In the experiment described
in Fig. 12, SO24 was removed from the seawater and
substituted with NaCl to keep the salinity constant and
equal to seawater.The same trend was observed, but the
variations in the Mg2+ and Ca2+ concentration were
somewhat less dramatic.
In the final test, the concentration of sulphate was
doubled compared to seawater. The concentration of
NaCl was decreased to keep the salinity constant. The
test was performed at 130 C, Fig. 13. Just after the start
of the flooding, the concentration of Ca2+ increased
about 20% compared to the initial concentration in sea-
water. Thereafter, the Ca2+ concentration decreased
well below the initial concentration. It is also noticed
that the concentration of SO2 4 decreased more than
with seawater concentration (SSW). Precipitation of
Ca2+ and SO2 4 is observed since the reduction in
Mg2+ concentration should lead to an increase in the
Ca2+ concentration.
Although the uncertainties in the chemical analy-
sis were 10%, the repeatability between the different
methods was very good, as documented in Fig. 14.
3.3 Hypothesis for weakening chalk by seawater
When water substituted oil in a chalk core under a con-
stant stress at room temperature, a fast decrease in the
strength occurred as measured by the sudden increase
in the strain, shown by Fig. 1. Several mechanisms for
this fast water weakening effect have been discussed in

432

Copyright 2006 Taylor & Francis Group plc, London, UK

 SSW130C
1.8
1.6
1.4
C/Co
1.2
1.0
0.8
0.6
0.4
0.0 0.5 1.0 1.5 2.0 2.5 3.0 3.5 4.0
PV
Figure 14. Illustration of similarity in the chemical analysis
by different methods.
the literature, as listed in the introduction. More long-
term effects on the mechanical properties of chalk by
water weakening can be caused by:
1. Chemical dissolution of CaCO3 .
2. Modification of the chalk surface by chemical
substitution of Ca2+ by Mg2+ .
In both cases, the composition of the water and the
temperature will play a very important role. It is well
known that the solubility of CaCO3 (s) is very low, and
decreases with an increase in temperature. In general,
if the mechanical failure is caused by dissolution of
chalk, the strength should increase as the tempera-
ture increases. With reference to Fig. 2, it appears that
chemical substitution of Ca2+ by Mg2+ on the chalk
surface may affect the mechanical properties. If this is
the case, the water weakening of chalk by seawater will
increase as the temperature increases. Thus, the two
possible mechanisms for enhanced water weakening
of chalk have opposite temperature effects.
3.3.1 Chemical dissolution
In an actual water flood of a chalk reservoir, the
invaded water is normally not in chemical equilibrium
with the rock. Newman (1983) observed that chalk sat-
urated with water, which was in chemical equilibrium
with the rock, resulted in lower compressibility than
chalk exposed to non-equilibrium water.The chalk sur-
face, which contacts the water, is large, about 2.0 m2 /g.
Furthermore, chalk solubility increases as the temper-
ature decreases, but at low temperature the time to
reach chemical equilibrium in a dissolution process is
long. The mechanical strength of the chalk is related to
the strength of the inter-granular bindings. The disso-
lution of chalk in the thin water film connected to these
inter-granular contacts is dictated by the special water
chemistry of the thin film, and the transport of ions
by diffusion (Hellmann et al. 2002; Heggheim et al.
2005). The charge on the chalk surface has impact on
the ion composition in the water film, which must be
taken into account when performing a charge balance.
Thus, the time to reach equilibrium in a chemical dis-
solution process is expected to be much larger at the
Copyright 2006 Taylor & Francis Group plc, London, UK
inter-granular contacts. Even though the dissolution of
Calcium, ICP CaCO3 is higher at low temperature, the equilibrium
time in the thin water films may be long. This may be
Calcium, Photometrically
the reason for the contradicting reports in the litera-
Sulfate, IC
ture regarding temperature effects on water weakening
Sulfate-, Turbidimetric
method of chalk (Madland, 2005). Therefore, some times the
Magnesium, ICP
water weakening of chalk appeared to be more pro-
Magnesium,
Photometrically nounced at high than at room temperature (Madland
4.5 et al. 2002). When discussing the mechanical failure
of chalk by dissolution of CaCO3 , the reason must be
that the system is closer to equilibrium at high tem-
perature compared to the system at low temperature.
Thus, from a solubility point of view, the water satu-
rated chalk cores exposed to low temperature should
be weaker than cores at high temperatures, and this is
the case for cores aged for 4 weeks at 80 and 130 C
(Korsnes et al. 2006).
3.3.2 Substitution of Ca2+ by Mg2+
The unique composition of seawater may be responsi-
ble for the enhanced weakening of chalk compared to
distilled water at 130 C, Fig. 2. The relative compo-
sition of potential determining ions, Ca2+ , Mg2+ and
SO24 , is probably important when discussing chem-
ical reactions in the thin films at the inter-granular
contacts. Chemical displacement of Ca2+ by Mg2+ at
the chalk surface in the pore bodies will probably not
affect the mechanical strength of the chalk. Substitu-
tion reaction between Ca2+ and Mg2+ at the contacts
between the grains may affect the mechanical strength
of the chalk. Due to the smaller size of Mg2+ com-
pared to Ca2+ , the lattice structure and the strength of
the carbonate surface will change. This is illustrated
by the fact that the pore volume will increase about
13% if calcite undergoes a complete dolomitization
(Deelman, 2005).
Thus, based on the experimental results presented in
this paper, it is suggested as a hypothesis that enhanced
water weakening of chalk will take place due to chemi-
cal dissolution, and the impact on mechanical strength
increases as the temperature decreases, provided that
the system is at chemical equilibrium. It is also sug-
gested that the substitution of Ca2+ by Mg2+ , when
injecting seawater, weakens the chalk. In this case, the
strength of the chalk is decreased as the temperature
increases. The documentation of the hypothesis will
be presented in the next papers in this series (Korsnes
et al. 2006).
4 CONCLUSION
The composition of injected water will have impact on
the water weakening of chalk. The conclusion from the
present work is shortly summarized as:
At high temperatures, Mg2+ present in seawater sub-
stituted Ca2+ from the chalk surface. The degree of
substitution increased as the temperature increased.
433
 The mechanical strength of chalk under hydro-
static stress decreased drastically when the cores
were flooded with seawater at 130 C compared to
distilled water.
It is proposed as a hypothesis that the potential deter-
mining ions in seawater (Ca2+ , Mg2+ , and SO2 4 ) are
active in the water weakening process. The substitu-
tion of Ca2+ by Mg2+ at the chalk surface appeared
to be crucial in the water weakening mechanism.
Chemical water weakening of chalk by dissolu-
tion and Ca2+ Mg2+ substitution has opposite
temperature effects.
The chemical mechanism for the water weakening
is presented in the forthcoming paper.
ACKNOWLEDGMENT
The authors acknowledge ConocoPhillips and the
Ekofisk Coventurers, including TOTAL, ENI, Hydro,
Statoil and Petoro, for financing the work and for the
permission to publish this paper from the research cen-
ter COREC. Thanks also to the Norwegian Research
Council, NFR, for financial support.
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Strand, S., Standnes, D.C. &Austad,T., 2004. New Wettability
Test for Chalk. Paper to be presented at the 8th Inter-
national Wettability Symposium Conference, Houston,
TX, 1618 May. Accepted for publication in J. Pet. Sci.
and Eng.
Strand, S., Hgnesen, E.J. & Austad, T., 2005. Wettability
Alteration of Carbonates Effects of Potential Determin-
ing Ions (Ca2+ and SO2 4 ) and Temperature. Accepted
for publication in Colloids and Surfaces A: Physicochem.
Eng. Aspects.
 EUROCK 2006 Multiphysics Coupling and Long Term Behaviour in Rock Mechanics
Van Cotthem, Charlier, Thimus & Tshibangu (eds)
2006 Taylor & Francis Group, London, ISBN 0 415 41001 0

The change of P-wave velocity with temperature and humidity in granite

Y. Nara & K. Kaneko

Graduate School of Engineering, Hokkaido University, Sapporo, Japan

ABSTRACT: The propagation of microcracks in granite was studied experimentally. Since it is difficult to
observe the propagation of microcracks directly, the measurement of the P-wave velocity was conducted with
controlling the temperature and the relative humidity. It was shown that the P-wave velocity was affected by
the changes of the environmental conditions. The increase of the relative humidity affected strongly the P-wave
velocity. By the increase of the humidity with high temperature, the P-wave velocity decreased due to the
microcrack propagation by stress corrosion. It can be concluded that stress corrosion crack growth occurs for
microcracks due to the thermal stress and the increase of the humidity.

1 INTRODUCTION
It is important to consider the time-dependent property
of rocks for construction of the structures in rock mass,
e.g., the radioactive waste processing scenes in under-
ground, the underground power plants, or caverns for
storing liquefied petroleum or natural gas (LPG or
LNG), because long-term stability is necessary. Sub-
critical crack growth (Atkinson 1984) is one of the
main causes of the time dependent behaviors in rocks.
Therefore, the knowledge of subcritical crack growth
is important for evaluation of long-term stability of
structures in rock mass. Under the low homologous
temperature and humidity, the main mechanism of
subcritical crack growth in rock is stress corrosion,
which is the weakening of the bond structures at the
crack tip by a chemical reaction with aid of the ten-
sile stress applied to the crack tip (Anderson & Grew
1977, Atkinson 1982). For silicate materials, the corro-
sive agent is likely to be water (Atkinson & Meredith
1987). Subcritical crack growth is dependent of not
only the stress conditions but also the environmen-
tal conditions such as the temperature and the relative
humidity. Therefore, it is considered that the investiga-
tion of subcritical crack growth with considering the
effects of the environmental conditions is necessary.
Subcritical crack growth in rocks has been investi-
gated by using fracture mechanics tests. The Double
Torsion (DT) test (Williams & Evans 1973) has been
used by many authors. For Example, Waza et al. (1980)
and Atkinson & Rawlings (1981) reported that the
crack velocity at the same stress intensity factor was
higher in water than that in air. Meredith & Atkin-
son (1985) reported that the crack velocity in rock at
a stress intensity factor corresponding to 90% of the
fracture toughness was proportional to P(H2 O)1/2
P(H2 O), where P(H2 O) is the water vapor pressure.
Authors and colleagues also have studied subcritical
crack growth in rocks using DT test. Using isotropic
andesite, the dependence of the subcritical crack
growth on water vapor pressure was clarified and the
estimation method of the activation energy for sub-
critical crack growth in rock was clarified (Nara &
Kaneko 2005, Obara et al. 2005). Using orthorhom-
bic granite, the effects of the density of pre-existing
microcracks and the water vapor pressure on subcrit-
ical crack growth were investigated. It was clarified
that the density of pre-existing microcrack parallel to
the crack propagation direction had large effect on the
value of the activation energy and that the crack veloc-
ity increased when the water vapor pressure was high
(Nara et al. 2004a, b, Nara & Kaneko 2006a, b).
It is considered that the stress intensity factor
required for the microcrack propagation is the same as
that for the macrocrack propagation. Therefore, sub-
critical crack growth may occur even for the pre-
existing microcrack in rock. In addition, since different
mineral grains are included in rock, thermal stress due
to the difference of the thermal expansion happens if
the temperature changes. Therefore, the microcrack in
rock may propagate due to the thermal stress and the
effect of the water vapor if the required conditions of
the stress intensity factor at the crack tip and the water
content for microcrack propagation are satisfied. Pay-
ing attention to crack growth for the microcrack, it is
considered that the effects of the thermal stress and the
water vapor should be investigated independently. It is
necessary to establish the testing method and apparatus
which can control the temperature and the humidity.

435

Copyright 2006 Taylor & Francis Group plc, London, UK

 Table 1. P-wave velocity in Inada granite.

P-wave velocity [km/s]

axis-1 axis-2 axis-3

Specimen-A 4.67 4.26 4.09

Specimen-B 4.66 4.29 4.03

In this study, the measurement of microcrack prop-

agation in rock by the thermal stress caused by the
difference of the thermal expansion of mineral grains
was investigated. Since it is difficult to measure the
amount of the propagation for a single microcrack
directly, the measurement of the propagation for the
group of microcracks was conducted. The changes of Figure 1. Experimental apparatus.
the P-wave velocity were investigated as a measure
of the change of the physical property caused by the
propagation of microcracks.

2 ROCK SAMPLE

In this study, Inada granite (Kasama city, Ibaraki pref.,

Japan) was used as a rock sample. It is well-known
that anisotropy of P-wave velocity was observed (e.g.,
Nara & Kaneko 2006a) due to the preferred orientation
of pre-existing microcracks (e.g., Kato et al. 1999).
The P-wave velocities in the three orthogonal direc-
tions in a dry intact rock samples of 60 mm cube used in
this study are listed in Table 1. It is clear that the P-wave
velocity of Inada granite is anisotropic. In this study,
three orthogonal directions are termed axis-1, -2, and
-3 in the order of the measured P-wave velocities. The
planes normal to axis-1, -2, and -3 are called plane-1,
-2, and -3, respectively. These planes are correspond-
ing to the splitting planes in the quarry of Inada granite, Figure 2. Controllable range of the temperature and the
that is, plane-3 is corresponding to the rift plane. relative humidity.
The bulk density of Inada granite used in this study
was about 2640 kg/m3 , and the apparent porosity deter- mode and their shape was circular (10 mm in diam-
mined from the difference between the weight of the eter). The thickness of the transducer was 2 mm and
water-saturated condition and that of the dry condition the resonant frequency was 1 MHz. The PZT trans-
was 0.48%, which was measured with a different spec- ducers were mounted directly on the faces of the rock
imen used for the measurement of the P-wave velocity. specimen using the cyanoacrylate glues.
The rock specimen is located in the temperature
and humidity controlled chamber in this study (see
3 EXPERIMENTAL METHOD Figure 1). By using this chamber, the temperature and
the relative humidity can be controlled and the effects
The P-wave velocity was measured by the ultrasonic of them on the P-wave velocity can be investigated
transmission method. In Figure 1, a schematic illustra- independently. In Figure 2, the controllable ranges of
tion of the testing apparatus is shown. The apparatus of the temperature and the relative humidity in the cham-
the ultrasonic transmission method basically consists ber are shown. Additionally, since the PZT sensors are
of the pulse generator, the oscilloscope, and trans- connected directly to the pulse generator and the oscil-
ducers as transmitters and receivers. In this study, loscope by using the BNC cables, the P-wave velocity
Lead-zirconate-titanate (PZT) transducers were used. can be measured without taking the rock specimen out
The transducers were polarized in the compression of the chamber.

436

Copyright 2006 Taylor & Francis Group plc, London, UK

 4 EXPERIMENTAL PROCEDURE
In this study, the P-wave velocity was measured
in two environmental conditions in which the max-
imum temperature was different from each other.
The condition in which the maximum temperature
was higher is called Condition-A, and another is
called Condition-B in this study. Specimen-A and
Specimen-B were used in Condition-A and Condition-
B, respectively. The procedure how to change the
temperature and the relative humidity is explained as
follows.
First, the temperature was increased slowly from
25 C to 78 C in Condition-A and from 20 C to 55 C
in Condition-B with keeping the relative humidity as
50% (phase 1). The increasing rate of the tempera-
ture was smaller than 5 C/hour. Then, the temperature
and the relative humidity were kept for 348 hours
for Condition-A, and for 958 hours for Condition-B
(phase 2). Next, the relative humidity was increased
from 50% to 80% with keeping the temperature, and
the temperature and the humidity were fixed for
364 hours for Condition-A, and for 764 hours for
Condition-B (phase 3). Next, the relative humidity was
decreased from 80% to 50% with keeping the temper-
ature and the temperature and the humidity were fixed
for 358 hours for Condition-A, and for 168 hours for
Condition-B (phase 4). Then, with keeping the tem-
perature, the relative humidity was decreased around
20% because no water was supplied. And then the
environmental conditions were kept for 289 hours for
Condition-A and for 148 hours for Condition-B (pha-
se 5). Finally, the temperature was decreased gradually
from 78 C to 25 C for Condition-A and from 55 C to
20 C for Condition-B, and fixed for 400 hours (phase
6). The decreasing rate of the temperature was smaller
than 5 C/hour. No water was supplied in phase 6.
5 EXPERIMENTAL RESULTS
Before using rock samples, waveforms obtained for the
stainless steel specimen (40 mm cube) were observed
as the preliminary test. In Figure 3, the waveforms for
the stainless steel specimen under various tempera-
tures and humidities are shown. From this figure, it is
clear that the properties of the P-wave propagation in
the stainless steel were not affected by the environmen-
tal condition. It is considered that the testing apparatus
in this study worked well.
In Figure 4, waveforms obtained for Inada granite
specimen Specimen-B were shown. It is clear that
the properties of the P-wave propagation were affected
strongly by the environmental conditions. It can be
recognized that the P-wave velocity changed in each
condition.
In Figures 5 and 6, the temporal changes of the
P-wave velocity are shown for Condition-A and
437
Copyright 2006 Taylor & Francis Group plc, London, UK
24C, 69% (outside from the chamber)
5
Amplitude [mV]
20C, 50%
40C, 50%
0 55C, 50%
55C, 80%
-5 80C, 80%
0.000002 0.000004 0.000006 0.000008 0.00001
Time [s]
Figure 3. Waveforms for the stainless steel specimen.
0.4
phase1(20C, 50%)
phase2(55C, 50%)
Amplitude [mV]
0.2
phase3(55C, 80%)
0 phase4(55C, 50%)
phase5(55C, 15%)
-0.2
phase6(20C, 20%)
-0.4
0.00001 0.000015 0.00002 0.000025 0.00003
Time [s]
Figure 4. Waveforms for Inada granite specimen.
Condition-B, respectively. In these figures, the chan-
ges of the temperature and the relative humidity are
also shown. Since one cable was broken, the measure-
ment was stopped in phase 3 under Condition-B in
axis-1. It is shown that the tendency of the changes
of the P-wave velocity is similar if the changes of
the environmental conditions were the same even if
the propagation direction of the P-wave is different.
However, if the changes of the environmental condi-
tions were different, the tendency of the change of the
P-wave velocity is different.
First, the results for Condition-A shown in Fig-
ure 5 are described. In phase 1, the P-wave velocity
increased with increasing the temperature. When the
temperature exceeded 55 60 C, the P-wave velocity
decreased with increasing the temperature (see (t) in
Figure 5). In phase 2, obvious changes of the P-wave
velocity were not observed. In phase 3, the P-wave
velocity decreased after the relative humidity
increased (see (h) in Figure 5). However, the P-wave
velocity then increased with time, and became approx-
imately constant. In phase 4 and phase 5, no obvious
changes of the P-wave velocity were observed even
though the relative humidity decreased. In phase 6, the
P-wave velocity decreased clearly with decreasing the
temperature.
The results for Condition-B shown in Figure 6
are slightly different from those for Condition-A. In
phase 1, the P-wave velocity increased with increasing
the temperature. Although the decrease of the P-wave
velocity was not observed in phase 1, the P-wave
velocity in axis-1 decreased in phase 2 in which the
 5 300
, , : P-wave velocities in axis-1,-2,and -3, respectively Condition-A
4.75

Temperature [C], Relative humidity [%]

(t) 250
(h)
4.5
200
P-wave velocity [m/s]

4.25 (t) (h)

4 150

3.75 100
: Temperature : Relative humidity
3.5
50
3.25
phase 1
phase 2 phase 3 phase 4 phase 5 phase 6 0
3

2.75 -50
0 500 1000 1500 2000
Time [hours]

Figure 5. The change of the P-wave velocity in Inada granite for Condition-A.

5 300
, , : P-wave velocities in axis-1,-2,and -3, respectively Condition-B
4.75 (e)
(h) 250

Temperature [C], Relative humidity [%]

4.5
200
P-wave velocity [km/s]

4.25
(h) 150
4

3.75 : Temperature : Relative humidity 100

3.5
50
3.25 phase 1 phase 4 phase 5

phase 2 phase 3 0
3 phase 6

2.75 -50
0 500 1000 1500 2000 2500
Time [hours]

Figure 6. The change of the P-wave velocity in Inada granite for Condition-B.

temperature was kept as 55 C (see (e) in Figure 6). Table 2. The initial values and final values of the P-wave
P-wave velocity in axis-1 was then approximately velocity in Inada granite specimens.
constant in phase 2. The decreases of the P-wave veloc-
ities in axis-2 and axis-3 in phase 2 were smaller than P-wave velocity [km/s]
axis-1. In phase 3, the P-wave velocity decreased after axis-1 axis-2 axis-3
the relative humidity increased (see (h) in Figure 6) as
observed for Condition-A. The P-wave velocity was Specimen-A 4.67 4.23 4.26 3.81 4.09 3.42
then approximately constant in phase 3. In phase 4 Specimen-B 4.29 3.86 4.03 3.68
and phase 5, no obvious changes of the P-wave veloc-
ity were observed. In phase 6, the P-wave velocity
decreased obviously with decreasing the temperature.
In Table 2, the initial values and the final values 6 DISCUSSION
of the P-wave velocities are shown. It is recognized
that the decrease of the P-wave velocity is larger for Although the change of the P-wave velocity with the
Specimen-A. change of the temperature and the relative humidity is

438

Copyright 2006 Taylor & Francis Group plc, London, UK


Figure 7. Schematic illustrations of a mineral grain and
a microcrack. (a): A microcrack from the grain boundary.
(b): The case in which the crack length is small. (c): The case
in which the crack length is enough large.
complicated, there are some new findings. In phase 1,
the P-wave velocities increased with increasing the
temperature in both conditions. These increases are
considered to be observed due to the closure of pre-
existing microcracks in granite caused by the thermal
expansion of mineral grains. On the other hand, for
Condition-A, the decreases of the P-wave velocities
were observed when the temperature was higher than
55 60 C in phase 1 (see (t) in Figure 5). For
Condition-B, after the P-wave velocity increased in
phase 1, the P-wave velocity decreased at the begin-
ning of phase 2 (see (e) in Figure 6). These decreases
are considered to indicate the propagation of micro-
cracks due to the occurrence of thermal stress caused
by the difference of the thermal expansion between
different mineral grains in granite. In phase 3, the
P-wave velocities decreased when the relative humid-
ity increased (see (h) in Figures 5 and 6). These results
show the effect of the relative humidity on the P-wave
velocity in rock.
From the results shown in Figures 5 and 6, it is con-
sidered to be important to evaluate the stress intensity
factor applied to the tip of a microcrack in granite by
the thermal stress which occurs due to the difference
of the thermal expansion. Considering the difference
of the thermal expansion, the calculation of the stress
intensity factor applied to the tip of a microcrack is
conducted.
One situation is considered, in which there is a
mineral grain whose thermal expansion coefficient is
larger than those of surrounding minerals, and a micro-
crack exists from the grain boundary to a neighboring
mineral. The schematic illustration of this situation is
shown in Figure 7(a). In this case, the thermal expan-
sion of the mineral grain occurs with increasing the
temperature. If the surrounding minerals possess high
stiffness, however, the deformation due to the thermal
expansion is constraint. Consequently, the compres-
sive stress occurs in the mineral grains. This case can
439
Copyright 2006 Taylor & Francis Group plc, London, UK
6
Stress intensity factor [MN/m3/2]
Young's modulus : 60 GPa
5 T = 65[C](T = 85[C])
T = 55[C](T = 75[C])
4 T = 45[C](T = 65[C])
T = 35[C](T = 55[C])
3 T = 25[C](T = 45[C])
T = 15[C](T = 35[C])
0
0 1 2 3
Crack length / Radius of the mineral grain
Figure 8. Relations between the ratio of the crack length to
the radius of the mineral grain and the stress intensity factor
due to the difference of the thermal expansion of minerals.
be replaced to a situation in which the mineral grain is
subject to stress on the grain boundary. This stress is
related to the geometry of the mineral grain, the dif-
ference of the thermal expansion coefficient between
the mineral grain and surrounding minerals, and their
elastic constants. To simplify the problem, a situation
in which the uniaxial stress p is applied is considered
in this study.
If the length of the microcrack is much smaller
than the grain size, the situation shown in Figure 7(a)
can be replaced to the problem of an edge crack in a
semi-infinite plane subjected to uniform tension (see
Figure 7(b)). If the length of the microcrack becomes
large, the situation in Figure 7(a) can be replaced to the
problem of a single crack subjected to concentrated
force on the crack plane. In the case of Figure 7(b), the
relation between the stress intensity factor, KI , and the
crack length, c, can be expressed as follows (Okamura
1976):
where is a constant and approximately equal to
1.1215, and p is corresponding to the thermal stress.
On the other hand, in the case of Figure 7(c), the
relation between KI and c can be expressed as follows
(Okamura 1976):
where a is the radius of the mineral grain, and 2ap
expresses the traction P.
Considering the values of the coefficient of linear
expansion for quartz (13.8 106 C1 ) and feldspars
(4.5 106 C1 ) (Skinner 1966), the values of KI
were calculated using Eqs.(1) and (2). The relations
between KI and c/a are shown in Figure 8. In the cal-
culation of the stress intensity factor, Youngs modulus
 was set as 60 GPa. The calculations were conducted for it is clear that the final values for Condition-A are
6 cases of the change of the temperature from 20 C, smaller than those for Condition-B even though the
T , (see Figure 8). From Figure 8, it is shown that
the stress intensity factor increases with increasing the
crack length when the crack length is small (c/a < 0.7).
If the crack length increases (c/a > 0.7), the stress
intensity factor decreases with the crack growth. The
crack velocity also decreases with the crack growth in
this case.
According to the results of the Double Torsion test
for Inada granite, subcritical crack growth by stress
corrosion occurs when the stress intensity factor is less
than 1.8 MN/m3/2 (Nara & Kaneko 2006a). Consider-
ing the results in Figure 8, the stress intensity factor
applied to the tip of the microcrack in granite is con-
sidered to large enough to propagate the microcrack in
granite even in the conditions of the temperature in this
study. Especially, the decrease of the P-wave velocity
after the increase of the relative humidity is considered
due to the microcrack propagation by stress corrosion.
It is concluded that the decrease of the P-wave
velocity observed under the temperature higher than
55 C ((t) in Figure 5 and (e) in Figure 6) was caused by
the propagation of microcracks by the increase of the
thermal stress. The observations in which the P-wave
velocity was approximately constant in phase 2 are
considered to be obtained because most of micro-
cracks in granite has already finished propagating
and been in the condition of c/a > 0.7. In phase 3,
although microcracks propagated after the relative
humidity increased with the constant thermal stress,
the stress intensity factor was considered to decrease
with the propagation of microcrack. Therefore, it is
considered that the microcrack propagation occurred
actively within the limited term after the humidity
increased, which can be seen at (h) in Figures 5 and
6. The microcrack propagation was then considered to
attenuate.
It is important to discuss the increase of the P-wave
velocity in phase 3 for Condition-A. This increase
observed under the high temperature and high humid-
ity condition, that is, the high water vapor pressure
condition may be caused by the capillary condensation
of water within microcracks. The condition for the cap-
illary condensation of water is satisfied when the water
vapor pressure is high. The gradual increase of the
P-wave velocity in phase 3 for Condition-A indicates
the gradual occurrence of the capillary condensation
of water in microcracks.
It is considered that the decrease of the P-wave
velocity in phase 6 was not caused by the crack propa-
gation, because the decreasing rate of the temperature
was small. It is considered that the decrease is caused
by the opening of microcracks by the contraction of
minerals with the decrease of the temperature.
Comparing the final values of the P-wave veloc-
ity in each propagating direction shown in Table 2,
440
Copyright 2006 Taylor & Francis Group plc, London, UK
initial values are similar. Since the highest temperature
for Condition-A was higher than that for Condition-B,
the higher thermal stress should occur in Specimen-A.
Hence, it is considered that these differences were
caused by the difference of the thermal stress, that is,
the stress intensity factor.
The results in this study suggest that the thermal
stress can be an important cause of weakening phe-
nomena of rocks. It is concluded that the change of the
temperature affects the physical properties of rocks if
there are some minerals which possess different ther-
mal expansion coefficients. It is a new finding that
stress corrosion crack growth is important in weak-
ening phenomena in rocks by the thermal stress.
Therefore, it is concluded that weakening phenomena
in rocks in air relate to stress corrosion. Additionally, it
is considered that weakening in rock can be prevented
by controlling stress corrosion crack growth.
7 CONCLUSION
In this study, the propagation of microcracks in gran-
ite was investigated by observing the change of the
P-wave velocity under the condition in which the tem-
perature and the relative humidity were controlled.
Since granite has some mineral grains which possess
different thermal expansion coefficients, the stress
intensity factor due to the thermal stress could be
applied to microcracks by increasing the temperature.
It was shown that the P-wave velocity decreased when
the temperature was higher than 55 C. This is caused
by the propagation of microcracks due to the increase
of the thermal stress and the stress intensity factor.
When the relative humidity increased with keeping
the temperature higher than 55 C, the P-wave veloc-
ity decreased. This is caused by the stress corrosion
crack growth. Hence, it can be considered that subcrit-
ical crack growth by stress corrosion occurs under the
conditions of the temperature and the relative humid-
ity in this study. It is concluded that the change of the
humidity can be an important cause of weakening of
rocks because stress corrosion crack growth can occur.
REFERENCES
Anderson, O.L. & Grew, P.C. 1977. Stress corrosion theory
of crack propagation with applications to geophysics. Rev.
Geophys. Space Phys. 15: 77104.
Atkinson, B.K. 1982. Subcritical crack propagation in rocks:
theory, experimental results and applications. J. Struct.
Geol. 4: 4156.
Atkinson, B.K. 1984. Subcritical crack growth in geological
materials. J. Geophys. Res. 89: 40774114.
 Atkinson, B.K. & Rawlings, R.D. 1981. Acoustic emission
during stress corrosion cracking in rocks, In
D.W. Simpson & P. Richards (eds.), Earthquake Predic-
tion: 605616. Washington, D.C.: American Geological
Union.
Atkinson, B.K. & Meredith, P.G. 1987. The theory of sub-
critical crack growth with applications to minerals and
rocks. In B.K. Atkinson (ed.), Fracture Mechanics of
Rock: 111166. London: Academic Press.
Kato, M., Yoneda, T. & Kaneko, K. 1999. Three-dimensional
distribution of microcrack orientation and its quantitative
relation to anisotropy of permeability of granite. Proc. 2nd
International Workshop of the Application of Geophysics
to Rock Engineering. Paris: 4247.
Meredith, P.G. & Atkinson, B.K. 1985. Fracture toughness
and subcritical crack growth during high-temperature ten-
sile deformation of Westerly granite and Black gabbro.
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Nara, Y. & Kaneko, K. 2005. Study of subcritical crack
growth in andesite using the Double Torsion test. Int. J.
Rock Mech. Min. Sci. 42: 521530.
Nara, Y. & Kaneko, K. 2006a. Subcritical crack growth in
anisotropic rock. Int. J. Rock Mech. Min. Sci. (in press).
Nara, Y. & Kaneko, K. 2006b. Relation between subcritical
crack growth behavior and crack paths in granite. Int. J.
Rock. Mech. Min. Sci. (submitted).
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Nara, Y., Ohno, Y., Imai, Y. & Kaneko, K. 2004a. Anisotropy
and grain-size dependency of crack growth due to stress
corrosion in granite. Shigen-to-Sozai. 120: 2531. (in
Japanese with English abstract).
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critical crack growth on rock fabric and environment.
Shigen-to-Sozai. 120: 431439. (in Japanese with English
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Obara,Y., Jeong, H.S., Matsuyama, T., Nara,Y. & Kaneko, K.
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Skinner, B. J. 1966. Thermal expansion. In S.P. Clark, Jr. (ed.),
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 3.2 Field experiments and case studies

Copyright 2006 Taylor & Francis Group plc, London, UK

 EUROCK 2006 Multiphysics Coupling and Long Term Behaviour in Rock Mechanics
Van Cotthem, Charlier, Thimus & Tshibangu (eds)
2006 Taylor & Francis Group, London, ISBN 0 415 41001 0

Hydro-thermo-mechanical over-closure of joints and rock masses

and potential effects on the long term performance of nuclear
waste repositories

N. Barton
Nick Barton & Associates, Oslo, Norway

A. Makurat
Shell International, Rijswijk, The Netherlands

ABSTRACT: Rock joints with a certain degree of roughness retain greater strength when normally unloaded
prior to shearing, than those not pre-loaded. When temperature is increased the interlock effect is enhanced.
This causes measurable, additional HTM responses in laboratory, in situ and field-scale experiments. Effects
are seen on rock mass permeability, deformation modulus, thermal expansion coefficient, and seismic velocity.
So far these extra-coupled-effects do not seem to be part of HTM modeling routines. Data is scanty but clear.
Over-closed testing needs to be introduced in rock mechanics, as shear strength envelopes are affected, and
thermal effects are going to enhance the mechanism of interlock. The long term implication is that in the cooling
phase of an HLW repository, one may experience rougher joints that are over-closed and stable, while smoother
and probably more continuous features will tend to open to compensate, thereby losing strength and gaining
permeability. This might cause a potential threat to the long-term integrity, but it needs to be modelled once
input data is sufficient to justify more attention to this over-looked detail of rock joint behaviour.

1 INTRODUCTION Laboratory HTM tests reported by Makurat et al.

Disposal of high level nuclear waste in the geo-
sphere adds thermal loading and unloading to the
stress perturbations that have already occurred, due
to the excavation of the tunnels and eventual canister
holes. Joints will be both loaded and unloaded several
times as a result.
This paper draws attention to the processes and
consequences of joint closure and opening, and their
measured effects on rock mass deformation modulus,
thermal expansion and hydraulic behaviour. The
phenomenon of hysteresis or non-recoverable joint
apertures, seems to be enhanced by temperature incr-
ease, and especially by a combination of stress and
temperature.
Since hydrological properties are also influenced
there is an HTM (hydro-thermo-mechanical) response
that does not seem to be fully accounted for in inter-
national modelling projects such as DECOVALEX.
Rougher joints close due to temperature increase
alone, due to better fit. This should not be a surprise
after all they were mostly formed at higher tempera-
ture than todays ambient level of 10 C or 20 C, as
emphasized by Barton, 1982.
1990, well-controlled in situ HTM block tests reported
by Hardin et al. 1981, and large-scale heated borehole,
tunnel or mine-by tests lasting several years at Climax,
Stripa and Yucca Mountain have produced convincing
evidence for this extra fully-coupled response.
Rougher joints seem to have greater closure-
related benefit from thermo-mechanical loading than
smoother, more planar joints. This unfortunately is a
potential hazard, as during subsequent cooling in an
HLW repository context, with rougher joints possi-
bly over-closed, it is likely to be the more continuous,
smoother joints that open to compensate for those
that are closed. Reduced shear strength and increased
permeability are the possible result.
Over-closed direct shear tests, that cause rock joints
to be sheared when on their (normal) unloading curves,
were shown in the case of tension fractures (Barton,
1972), and in the case of joint replicas (Bandis,
1980), to give elevated strength envelopes. The first
author applied OC-ratios of 8:1, 4:1 and 1:1 (conven-
tional) prior to direct shearing, and found evidence for
slope-stability enhancement as a result of over-closure
strength enhancement. Clearly this effect was accentu-
ated by the roughness of the surfaces (Barton, 2004).

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Copyright 2006 Taylor & Francis Group plc, London, UK

 It is a remarkable fact that in rock mechanics, we
do not seem to have been concerned for the effect
of over-closure, which we now know is enhanced
when combined with temperature. Joint roughness is
going to be the all-important discriminator in this
interlock mechanism, which resembles the effect of
a perpendicular-JRC. The influence of this perpen-
dicular roughness is easy to see when tilt testing.
Figure 1. Exaggerated vertical scale emphasizes that joint
closure is not a simple mechanism when some roughness
exists.
Figure 2. Joint roughnesses at the lower end of this set of
ten profiles (i.e. JRC 10), may be subject to over-closure.
(Profiles from Barton and Choubey, 1977).
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Copyright 2006 Taylor & Francis Group plc, London, UK
2 SOME EVIDENCE OF OVER-CLOSURE
It often helps to demonstrate by exaggeration, so we
will do this before showing the over-closure mech-
anism in action in test data. The grossly exagger-
ated vertical-roughness scale of the joint sketched in
Figure 1, emphasizes that joint closure is not a simple
mechanism, when significant roughness is involved.
In relation to measured, real joint roughness, the
lower five profiles of Figure 2 illustrate the degree
of roughness (JRC 10) that would probably qual-
ify for potential over-closure hysteresis, and therefore
give a higher OCshear strength envelope, than that
conventionally derived (with an OC ratio of 1).
With mechanical over-closure, comes also the prob-
ability of thermal-over-closure, with rough walls fit-
ting together easier when heated than when cold.
Due to limited space only two particularly well doc-
umented cases will be described in any detail. The
first will be the HTM in situ block test, performed
in the USA for ONWI, by Terra Tek. (Hardin et al.
1981). The 2 2 2 m in situ block was subjected to
a series of HTM tests, using flat-jacks to mechanically
load four sides of the 8 m3 block of quartz monzonite.
There was also a line of borehole heaters to heat the
jointed rock mass. The test were performed in the sta-
ble environment of an experimental mine belonging to
the Colorado School of Mines.
Figure 3. The roughness profiles illustrated in Figure 2 have
actual surfaces as illustrated. The over-closure phenomenon
may occur on samples 6 to 10.
Table 1. Effect of temperature on joint (hydraulic) apertures
in the heated block test. Hardin et al. 1982, Barton, 1982.
Test No. 11 12 13 16
n (MPa) 6.9 6.9 6.9 6.9
e (m) 30.0 18.3 12.9 9.1
Temp C 12 41 55 74

Figure 4. An idealized representation of the heated block
test, with mean joint spacings. Note the diagonal test joint.
Hardin et al. 1981.
Figure 5. A fence-diagramshowing the coupling of hydraulic aperture (e), normal stress and temperature. Barton et al. 1985.
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Copyright 2006 Taylor & Francis Group plc, London, UK
Cores were drilled from the diagonal hydraulic test
joint (holes P1 to P3), shown in diagrammatic form,
(with mean joint spacings), in Figure 4. This diagonal
test joint had laboratory-scale JRCo values of 13, but
when longer joint samples were tested by tilt testing,
values of about 8 were found.
The key results from the point of view of over-
closure were the hydraulic aperture (e) versus normal
stress (0 to 7 MPA) versus temperature results, which
are shown in Figure 5.
Note the aperture (e) reductions from 30.0 m to
9.1 m as a result of temperature rise, despite con-
stant applied stress. Figure 6 shows the measured
roughness profiles from the axially jointed core drilled
along the diagonal test joint, drawn at the correct tilt
angles.
3 OTHER EVIDENCE FOR OVER-CLOSURE
A presumed thermal over-closure mechanism as
above, would confound those trying to apply conven-
tional thermal expansion coefficients and deformation
moduli in modeling, if the jointed rock mass had
not been included in the parameter determinations. It
is believed (Barton, 2006) that thermal joint closure
 Figure 6. Axially-jointed cores with measured rough-
ness profiles drawn at measured tilt-angles. JRCo 13,
JRCn 8. Barton, 1982.
Figure 7. The HTM test cycles applied to the 8 m3 block.
phenomena may have been behind the mismatch of
modeling predictions and extensometer measurements
at the heated mine-by in the Climax Mine in the USA
in the early 1980s.
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Copyright 2006 Taylor & Francis Group plc, London, UK
Figure 8. Stripa borehole heater experiment, with 400 days
of heating and 350 days of cooling. (Paulsson et al.1985).
3.1 Stripa borehole heater tests
Such effects are probably also behind the hysteretic
seismic velocity behaviour seen in well-documented
Stripa borehole heater measurements, where some
cross-hole P-wave and S-wave velocities were lower,
following 400 days of heating and 350 days of cooling,
than before heater turn-on. The simple experimental
set-up is shown in Figure 8.
Comprehensive details of this Stripa heater experi-
ment were reported by Paulsson et al. (1985). The full
duration of the test was 750 days with 398 days of
heating. The long 350 days period of cooling gener-
ally returned seismic velocities to values lower than
before the heating, suggesting permanent changes,
such as local excessive joint opening, due to thermal
over-closure elsewhere in the rock mass. A significant
quantity of water expelled during the heating signified
a general closing of the joints. Temperatures were over
100 C only in a small region around the heater, yet
water was expelled also from distant boreholes where
perhaps the low initial permeability was less reduced.
This can be interpreted as over-closure of presumably
many joints, but with a necessary opening of some
smoother joints, to give the lower velocities (Barton,
2006).
At NGI, the phenomenon of thermal over-closure
has been observed in CSFT (coupled stress flow tem-
perature) measurements made on AECL joints, where
normal load-unload and permeability-monitored test
cycles were translated to tighter physical and
 Figure 10. Ambient temperature permeability test data con-
trasted with heated block data, showing presumed thermal
over-closure. Barton, 1982.

Figure 9. Details of the Stripa borehole heater test results c) A general thermal contraction effect, but this might
on P-wave and S-wave velocities. Paulsson et al. 1985. allow the equally altered finger-prints from each
wall to still fit perfectly.
hydraulic apertures, following the application of a 20 d) A locally inhomogeneous contraction super-
to 60 C temperature increase. imposed on b), due to non-equality of the thermal
The explanation for the phenomenon of thermal contraction coefficients of the constituent minerals
over-closure was assumed to be quite simple (Barton, and grains forming the joint walls.
1982). Namely that the joint in question, and perhaps
the huge majority of joints developed in the crust,
were formed at variously elevated temperatures. They
4 IMPLICATIONS FOR REPOSITORIES
were thereby given a primeval finger-print of 3D-
roughness, which was influenced by all the minerals
The mechanical over-closure and the thermal over-
(or grains) forming the joint walls. When cooled, var-
closure referred to in the previous review suggests that
ious subtle changes would occur, causing reduced fit.
it is time to perform a more comprehensive series of
In the case of igneous rocks, many of the earli-
tests on rock joints in rock mechanics laboratories. For
est jointing episodes would be at the cool side of
example, we do not usually (ever?) load rock joints
the brittle-ductile transition. When such a joint, any
to normal stress levels appropriate to existing stress
joint, is encountered today, (e.g. at shallow depth
levels, followed by unloading to the post-excavation
in a mine, or if drilled at depth and bought to the
stress levels, prior to shearing.
surface causing unloading and further cooling), the
Concerning deep disposal of nuclear waste with
3D roughness finger-print, though very recognizable,
subsequent thermal loading and unloading, it is clearly
would be subtly altered in its finer details. These
necessary to perform tests on rock joints in the heated
details (very important at the micron-scale) would be
state. Specifically, the effect of increasing tempera-
a combination of:
ture combined with increased normal stress needs to
a) A slight expansion from (anisotropic) stress relief be investigated, and most importantly the effect of
when sampled from depth. reducing temperature and reducing stress.
b) A sampling damage, but neglected for sake of Thermal over-closure is clearly indicated in the
simplicity. comparison of ambient temperature and heated

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Copyright 2006 Taylor & Francis Group plc, London, UK

 block permeability-versus-stress data assembled in
Figure 10. The changed gradient suggests that several
important processes affecting our coupled modeling,
will need to be addressed. All coupled models are
of course presently modelling reduced joint aper-
ture with increased temperature, due to the effect of
stress increase. How many are modelling joint aperture
reducing only as a result of temperature increase?
The thermal over-closure phenomenon suggests
that rock mass (as opposed to laboratory sample) ther-
mal expansion coefficients will need to be determined
in the presence of (heated) joints representative of the
expected environment. The phenomenon also suggests
that there will be apparent reductions of normal stiff-
ness when heating, thereby affecting heated rock mass
deformation moduli.
5 CONCLUSIONS
1. Heating alone, and heating and loading combined,
appear to be effective agents for over-closing the
generally rougher joints that are found in most rock
masses. Specifically this mechanism seems to be
relevant when the joints were originally formed at
elevated temperature.
2. Upon cooling, as in an HLW scenario, the more
planar, continuous joints may open, to avoid ten-
sile stress development, since their rougher, closed
neighbours may not open so readily, or may not open
at all. There is laboratory and in situ evidence for
this mechanism.
3. Local increases in joint conductivity, and reduced
shear strength of any open and more planar joints,
caused by cooling, could be a source of uncertainty
in nuclear waste related disposal scenarios.
4. During the heating phase, the thermal over-closure
mechanism could cause a marked reduction in seis-
mic velocity, and an apparent reduction in deforma-
tion modulus and thermal expansion coefficients,
due to an apparent softening of joint normal
stiffnesses with heating.
5. Both mechanical and thermal over-closure seems to
have been almost ignored in rock mechanics test-
ing and engineering design work. The numerical
modelling of over-closure in repository scenarios,
including both mechanical and subsequent thermal
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Copyright 2006 Taylor & Francis Group plc, London, UK
effects, is therefore needed, once the necessary data
base is developed.
6. Hydrocarbon reservoirs are also warm, and joints
recovered from fractured reservoirs may suffer
many of the effects discussed in this paper. It is
therefore logical to perform tests on recovered
joints for geophysics-related and permeability-
related work, using elevated temperatures. Veloci-
ties, seismic qualities, and permeabilities will each
be different when tests are at elevated temperatures.
REFERENCES
Bandis, S. 1980. Experimental studies of scale effects on
shear strength and deformation of rock joints. Ph.D.
Thesis, University of Leeds, 385p.
Barton, N. 1972. A model study of rock-joint deformation.
Int. Jour. Rock Mech. Min. Sci. and Geomech. Abstr.,
Vol. 9, No. 5: 579602.
Barton, N. 1982. Modelling rock joint behaviour from in
situ block tests: Implications for nuclear waste reposi-
tory design. Office of Nuclear Waste Isolation, Columbus,
OH, 96 p., ONWI-308, September 1982.
Barton, N., Bandis, S. & Bakhtar, K. 1985. Strength, deforma-
tion and conductivity coupling of rock joints. Int. J. Rock
Mech. & Min. Sci. & Geomech. Abstr. 22: 3: 121140.
Barton, N. & Bakhtar, K. 1987. Description and modelling
of rock joints for the hydrothermal mechanical design of
nuclear waste vaults. Atomic Energy of Canada Limited.
TR-418. Volumes I and II.
Barton, N. & Bandis, S.C. 1990. Review of predictive capa-
bilities of JRC-JCS model in engineering practice. Int.
Symp. on Rock Joints. Loen, Balkema, 603610.
Barton, N. 2004. Failure around tunnels and boreholes and
other problems in rock mechanics. Letter to ISRM News
Journal, Vol.8, No. 2, May 2004, 1218.
Barton, N. 2006. Rock Quality, Seismic Velocity, Attenuation
and Anisotropy. Taylor & Francis, UK & the Netherlands.
Hardin, E.L., Barton, N., Lingle, R., Board M.P. &
Voegele, M.D. 1981. A heated flatjack test series to mea-
sure the thermomechanical and transport properties of
in situ rock masses. Office of Nuclear Waste Isolation,
Columbus, OH. ONWI-260, 193 p.
Makurat, A., Barton, N., Rad, N.S. & Bandis, S. 1990. Joint
conductivity variation due to normal and shear deforma-
tion. Int. Symp. on Rock Joints. Loen , Balkema, 535540.
Paulsson, B.N.P., Cook, N.G.W. & McEvilly, T.V. 1985.
Elastic-wave velocities and attenuation in an underground
granitic repository for nuclear waste. Geophysics. 50, 4,
551570.
 EUROCK 2006 Multiphysics Coupling and Long Term Behaviour in Rock Mechanics
Van Cotthem, Charlier, Thimus & Tshibangu (eds)
2006 Taylor & Francis Group, London, ISBN 0 415 41001 0

Swelling mechanisms in sulphate-bearing rocks

I.R. Berdugo, E.E. Alonso & E.E. Romero

Department of Geotechnical Engineering and Geosciences, UPC, Barcelona, Spain

ABSTRACT: Two cases of expansive phenomena involving anhydritic-gypsiferous soft rocks from the Tertiary
Lower Ebro Basin are presented. Evidences of gypsum crystallization in fissures generated due to the degradation
of the excavated 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.

1 INTRODUCTION Table 1. Minerals in samples from the Lower Ebro Basin.

Severe expansive phenomena are frequently observed Mineral Asc siltstone Lilla claystone
in excavations in sulphate-bearing rocks; however, the Relative content (%)
classical interpretations of the mechanisms underl-
ying this behavior are often in conflict with either Quartz 8.1 1.9
theoretical considerations or experimental evidences. Calcite 34.3
The paper present two cases of swelling involving Dolomite 18.2 10.9
anhydritic-gypsiferous clayey rocks from the Lower Anhydrite 11.1 18.9
Gypsum 9.1 9.5
Ebro Basin: Asc II a nuclear power station, and Clay 16.2 58.8
Lilla a high speed railway tunnel. The main mecha- Others 3
nisms of swelling in these cases are presented and their
relationship with long term deformation and pressures
discussed. Table 2. Groundwater composition in Asc II NPS and Lilla
tunnel (Esteban 1990, Alonso & Berdugo 2005).

2 THE SULPHATE-BEARING ROCKS OF Macroconstituent Asc II NPS Lilla tunnel

THE LOWER EBRO BASIN Concentration (ppm)
The Tertiary Ebro Basin is located in northeast Spain. Sulphates 2800 1783
Intraorogenic endorheic deposits were formed since Bicarbonates 215 302
the Paleocene due to flexural subsidence related to the Chlorides 25700 39
growth of the Pyrenees to the north, and the Catalan Carbonates 40 10
Coastal Range and Iberian Range to the SE and SW, Nitrates 6
respectively. Calcium 202 500
Magnesium 568 141
The converging and partially synchronous tectonic
Sodium 13486 29
shortening along the Pyrenees and the Iberian Range Potassium 3
closed the western connection of the basin to the
Atlantic Ocean in the earliest late Eocene, starting
a long endorheic period that lasted through the the basin, the Asc siltstone and the Lilla claystone,
Oligocene and most of the Miocene. Shallow lagoons is presented in Table 1. Groundwater in the basin is
were generated in the basin where limestones and highly mineralized, and this is indicated in Table 2.
marls were deposited during humid periods, whereas
evaporitic materials into clayey matrix were deposited
during arid periods. 3 SWELLING PHENOMENA IN THE LOWER
Sulphated rocks from the Lower Ebro Basin range EBRO BASIN
from Early Eocene to Late Miocene in age and consist
mainly in clays containing anhydrite, gypsum and car- 3.1 Asc II nuclear power station
bonates interbedded with limestones and sandstones. The station is located on the left margin of the Ebro
The mineralogical composition of two materials from River near Asc (Catalonia) in a semi-arid area with

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 negative Thornthwaite evapo-transportation index
(between 10 and 20). The foundation material
is an Oligocene gypsiferous siltstone layered hori-
zontally, occasionally interstratified with sandstone
layers. Gypsum is present in horizontal and subhor-
izontal veins with maximum dip 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
7% (Alonso et al. 2003).
The construction required an excavation of 70 m
to establish a general platform for the station, which
applies a mean contact pressure of 440 kPa. The silt-
stone was protected against weathering by a concrete
pad extended over the exposed surface. It was cracked
rapidly and a monitoring plan was set out in order to
CONTAINMENT
AUXILIARY
BUILDING
measure the heave of the foundations. The distribution
of heave after a monitoring program of 8 years since
1980 is presented in Figure 1, and the evolution of the
heave in two points until 2001 is presented in Figure 2a.
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 (Fig. 3a). The upper level of this active
zone consists in a network of open fissures, filled with
water. They were formed principally along sedimenta-
tion planes once a threshold vertical deformation was
attained after the strong stress relief caused by the
excavation (Alonso et al. 1993).
Swelling phenomena were also observed in labora-
tory specimens. After an initial swelling stage a sort
of transition without important vertical displacements
was observed just before the start of the main expan-
sive response (Fig 4). The crystal growth 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

Relative displacement (mm/m)

IPSN1 Depth
(m) -2 0 2 4 6 8 -2 0 2 4 6 8
EAM 8 0

ECP-1
CONTROL
5
D 28
Ref: February 2003
Asc II Lilla tunnel
NPS PK 411+600
Ref: April 1985

DIESEL IPSN1 EIC-1

10
Jul 1987 Feb 2003
Aug 1994 Mar 2003
Contours in mm
Feb 2001 Dec 2003
15
Figure 1. Distribution of heaves in Asc II NPS between (a) (b)
1980 and 1988 (Alonso et al. 1993).
Figure 3. Heave profiles in Asc II NPS and Lilla tunnel.
Asc II NPS Floor heave (mm) Lilla tunnel
0.15
D 28 100 1000
Asc II NPS
EAM 8 80 800
PK 411+880 S12T12
Heave (mm)

0.10 Alonso et al. (1993)

60 600
40 400
0.05
20 200 Lilla tunnel
PK 411+900 PK 411+880 T1 M3
Berdugo (2005)
0 5 10 15 20 25 100 200 300 400 500 0.00
Time (years) Time (days) 1 10 100
(a) (b) Time (days)

Figure 2. Evolution of heaves in Asc II NPS and Lilla Figure 4. Free swelling tests on undisturbed samples of
tunnel. Asc siltstone and Lilla claystone.

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 in one face of a core exposed to a long term suction
controlled swelling test in an oedometer cell (Fig. 5).
3.2 Lilla tunnel
The tunnel is located near Montblanc (Catalonia), just
in the East border of the Ebro Basin. It was excavated
through an Early Eocenic horizontally oriented mono-
tonic series of argillaceous rocks containing anhydrite
and gypsum in both fibrous veins and nodules. The
material is affected by a persistent system of open
slickensided surfaces (San Dimas 2002). The clayey
fraction is constituted principally by illite and palig-
orskite and expansive minerals were only detected in
isolated points of the matrix.
The Lilla tunnel has a length of 2 km and the over-
burden varies between 32 m and 120 m. A horseshoe
cross-section of 117.3 m2 was created by drill and blast
excavation from the two portals, dividing the section
into advance and bench. Large heaves were measured
in the flat-slab just after it was built (Fig. 2b), and they
were followed by damages in the longitudinal drainage
system and local failures of flat-slabs.
Sliding micrometers lectures, as well as continuous
undisturbed core specimens of the foundation mate-
rial recovered in boreholes, permitted to identify an
active upper zone of about 45 m thick below both the
Figure 5. Asc siltstone: (a) undisturbed core specimen,
(b) co-precipitation of carbonated-sulphated species at the
outer face of a sample.
Figure 6. Lilla claystone: (a) gypsum needles on an open
slickenside surface, (b) gypsiferous aggregations in a con-
fined discontinuity.
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Copyright 2006 Taylor & Francis Group plc, London, UK
flat-slabs and the invert-arches where the expansions
accumulated with time (Fig. 3b). On the other hand,
free swelling tests in oedometer cells on undisturbed
samples inundated with water from the rock massif
showed the same behaviour observed in samples from
Asc, as illustrated in Figure 4.
In all studied rock profiles the active zone was
characterized by occurrence of neo-formation gypsum
needles on relic slickenside surfaces opened by the
excavation (Fig 6a). Another outstanding aspect was
the existence of neo-formation gypsiferous aggrega-
tions in relatively confined discontinuities of samples
recovered below the active zone (Fig. 6b), which could
be related with a sort of wedge effect capable of
move parts of the rock mass as a rigid body in addition
to the expansive mechanisms occurring in the active
zone.
In spite of the relatively high values of vertical
displacements measured in rigid sections with invert-
arches (1525 mm), radial pressures evolved systemat-
ically at the rock-concrete contact up to values between
45 MPa after one year of monitoring.
4 THE CLASSICAL INTERPRETATION
The expansive phenomena in sulphate-bearing rocks
are characterized by a complex phenomenology. It
evolves at high rates and, in some cases, a limit
value for either heave or pressure can not be clearly
defined. On the other hand, free swelling tests have
shown a sort of transition from an initial swelling
stage characterized by low displacements to a
stage of large displacements. These observations have
been verified during years in several tunnels excavated
through both the Middle Keuper and the Muschel-
kalk in Baden-Wrttemberg and Jura Mountains and
have been compiled recently by Kovri & Descoeudres
(2001) and Amstad & Kovri (2001).
According to the classic interpretation for these
phenomena two uncoupled mechanisms occur when
sulphate-bearing argillaceous rocks are soaked: a short
term physical swelling due to the expansion of clay
minerals, and a long term chemical swelling due
to the transformation of anhydrite into gypsum in an
open system, with a volumetric increase of approx-
imately 60%. The interdependence of these mecha-
nisms is not clear. However, the existence of certain
optimum clay content is assumed necessary to max-
imize the volumetric effects of the dissolution of
anhydrite and the precipitation of gypsum (Madsen &
Nesch 1990).
This distinction seems, at first sight, correct. The
first mechanism is possible even in the absence of
active clay minerals and is characterized by rela-
tively low limiting values for both swelling strain and
swelling pressures. However, the second mechanism is
not considered possible. Some authors postulate that
 transformation of anhydrite into gypsum is an isovolu-
metric process in which anhydrite is dissolved as fast as
secondary gypsum precipitates. Along those lines the
excess in calcium sulphate dihydrate (6063% in vol-
ume) could be either transported in aqueous solution
or it could precipitate partially in the form of fibrous
gypsum in open discontinuities of the host rocks.
On other hand, recent contributions to the study of
epytaxial growth confirm the impossibility of impor-
tant volumetric changes when anhydrite is exposed to
sulphated water since gypsum generates a protective
thin surface film on the anhydrite (Pina et al., 2000).
These and other theoretical considerations have been
discussed by Alonso & Berdugo (2005).
5 LESSONS LEARNED FROM ASC NPS
AND LILLA TUNNEL AND CONCLUSIONS
Consistent mechanisms should be considered in the
analysis of swelling phenomena of sulphate-bearing
clayey rocks. In this sense the cases of both Asc and
Lilla are truly revealing.
Some phenomena could be isolated as potential
causes for the observed swelling phenomena: (i) osm-
otic swelling and cationic exchange in clayey fractions
in presence of sulphate-rich water, (ii) precipitation
of hydrated forms of sulphated minerals due to pref-
erential flow of sulphate-rich water through fis-
sures opened by unloading, or (iii) crystal growth
due to evaporation of aqueous solutions into either
open or confined fissures. Along those lines chemo-
mechanical degradation of the involved materials can
be properly taken into account in the analysis of field
and laboratory data and more 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. Expe-
rience indicates that degradation is often associated
with unloading, which is typically the case in surface
and underground excavations.
The heave of Asc siltstone is a complex phe-
nomenon in which clay swelling was probably one
of the underlying basic expansion mechanisms. 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 expan-
sion. These processes are thought to be part of general
weathering mechanisms which eventually transform
the initially undisturbed siltstone into a soft weathered
material.
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Copyright 2006 Taylor & Francis Group plc, London, UK
The expansive phenomena in Lilla were strongly
related with chemo-mechanical degradation of the
excavated material as a result of both unloading and
wetting in presence of sulphated water. The stress relief
due to excavation was the main cause of opening of
both slickensided surfaces and fissures in the founda-
tion material (mechanical degradation). On the other
hand, the water coming from overburden was respon-
sible of both the hydration of clay mine-rals and the
occurrence of highly sulphated fluid into discontinu-
ities. Finally, the temperature level, but principally
the relative humidity in the tunnel caused evapora-
tion phenomena and the supersaturation of the water
present into the fissures, which inevitably generated
gypsum crystallizations in the form of both needles on
open fissures and compact aggregations in confined
discontinuities.
ACKNOWLEDGEMENTS
The Ministry of Public Works of Spain is the finan-
cial 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 Prof.
Antonio Gens.
REFERENCES
Alonso, E.E., Gens, A. & Lloret, A. 1993. Heave of a nuclear
power station founded on expansive siltstone. In UPC (ed),
Unsaturated soils: recent developments and applications;
Proc.civil engineering european curses, Barcelona, 1517
June 1993. Barcelona: UPC.
Alonso, E.E. & Berdugo I.R. 2005. Expansive behaviour of
sulphate-bearing clays. In Bilsel & Nalbantoglu (eds),
Problematic soils; Proc. intern. conf., Famagusta, 2528
May 2005. Famagusta: Eastern Mediterranean University
Press.
Amstad, C. and Kovri. 2001. Untertagbau in quellfhigem
fels. Eidgenssisches Departement fr Umwelt, Verkehr,
Energie und Kommunikation (UVEK) & Bundesamt fr
Strassen (ASTRA), Zrich.
Esteban, F. 1990. Caracterizacin experimental de la expan-
sividad de una roca evaportica. Identificacin de los
mecanismos de hinchamiento. PhD. Thesis. Universidad
de Cantabria.
Kovri, K. and Descoeudres, F. 2001. Tunnelling Switzerland.
Swiss Tunnelling Society.
Madsen, F. and Nesch R. 1990. Langzeitverhalten von
Tongesteinen und tonigen Sulfatgesteinen, Mitteil. des
Inst. fr Grundbau und Bodenmechanik Nr. 140, ETH,
Zrich.
Pina, C., Becker, U., Fernndez, L. 2000. Epitaxial growth
of gypsum on anhydrite: in situ AFM observations and
computer calculations. Journal of Conference Abstracts
5: 801. Cambridge Publications: 3233.
San Dimas, L.F. 2002. Technical ReportLilla Tunnel. GIF.
 EUROCK 2006 Multiphysics Coupling and Long Term Behaviour in Rock Mechanics
Van Cotthem, Charlier, Thimus & Tshibangu (eds)
2006 Taylor & Francis Group, London, ISBN 0 415 41001 0

A salt-cavern abandonment test in an LPG storage facility

P. Brest
Laboratoire de Mcanique des Solides, Ecole Polytechnique, Palaiseau, France

B. Brouard
Brouard Consulting, Paris, France

P. de Lagurie & T. You

Geostock, Rueil-Malmaison, France

D. Fourmaintraux & J.Y. Has

Total E&P France, Lacq, France

ABSTRACT: Brine pressure evolution in a sealed and abandoned salt cavern results from three main phenom-
ena: brine thermal expansion, rock mass creep and brine permeation through the cavern walls. In fact, in most
cases, brine pressure builds up, which raises doubts on the long-term integrity of the cavern. However, has been
proven that some equilibrium pressure can be reached when the brine seepage rate exactly balances the cavern
convergence rate. An in situ test, performed at the Total E&P facility in Carresse (France) validated this notion,
which led to the final decommissioning of this site.

1 INTRODUCTION than brine (density: 1.2). The trapped brine must be

1.1 Carresse storage facility
From 1962 to 2002, Total E&P operated an LPG stor-
age facility at Carresse, 30 km west of the Lacq gas
field. Four salt caverns had been leached out. Three
of them (SPR1, 2 and 4) were used for storage. These
caverns are relatively shallow (300 m to 400 m) and
small (9100 m3 , 12,500 m3 and 24,200 m3 , respec-
tively). The fourth cavern, SPR3, is deeper (700 m),
and its volume is 11,000 m3 ; it was used for brine sat-
uration. In 2002, Total E&P decided to decommission
these four caverns and to abandon the site in such a
way that safety and environmental concerns were
addressed properly.
1.2 Propane de-trapping
The SPR3 cavern had been kept idle since 1988.
Propane was pumped out of SPR1, 2 and 4 in 2002, and
saturated brine was substituted for propane. In fact,
some propane (a couple % of the total cavern vol-
ume) remains trapped in the caverns, as their shapes
are somewhat irregular. The salt formation contains
a fairly high amount of insolubles; during the leach-
ing process, small traps are created below overhanging
insoluble layers. Propane cannot be removed from
these traps during the process of filling the cavern with
brine, as liquid propane (density: 0.5) is much lighter
removed before cavern abandonment. There are var-
ious options for doing this: for example, the entire
cavern could be filled with nitrogen to allow the liquid
gas to flow to cavern bottom, but a more innovative
and cost-effective method was selected. Temperature
at cavern depth is approximately 20 C, and the brine
or propane pressure is halmostatic i.e. this pressure
results from the weight of the saturated-brine column
contained in the central string, or Ph . At a depth of
300 m, it is Ph = 3.6 MPa, which is far greater than
propane vaporization pressure or 0.7 MPa at cavern
temperature. The propane in the caverns is liquid. The
de-trapping method consists of lowering cavern pres-
sure to allow trapped propane to vaporize. Pressurized
nitrogen was injected at the cavern top through the
annular space, and brine was withdrawn from the cav-
ern. Then, the wellhead was opened to de-pressurize
nitrogen to the level of propane vaporization pressure.
(When the injected nitrogen is partly removed, brine
drops in the central string, making cavern pressure
much lower than halmostatic pressure.) The amount
of nitrogen to be injected must be computed carefully
to allow the correct final positioning of the air/brine
interface in the central string. Because a cavern expe-
riences a relatively low internal pressure during the
de-trapping process, a stability analysis was performed
via numerical computations, and a microseismic
monitoring network was installed on site to detect any

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Copyright 2006 Taylor & Francis Group plc, London, UK

 anomalous cavern behavior. This de-trapping method
proved quite effective (de Lagurie et al., 2004).
2 MECHANISMS INFLUENCING PRESSURE
EVOLUTION
2.1 Cavern behavior after abandonment
Before abandonment, wells will be plugged. A cement
plug, 100-m to 125-m high will be set inside the cav-
ern neck and the bottom of the cased well, with a 50-m
length of cement below the casing shoe. A bridge plug
will be set at the cement top, and an additional cement
plug will be set up to a depth of 30 m below ground
level. This plug will isolate a large brine bubble con-
tained in the cavern, the long-term evolution of which
is a major concern from the perspective of environmen-
tal protection. The initial brine pressure is halmostatic;
however, after the cavern is sealed, the brine pressure
will build up, as has been proven by many shut-in
pressure tests (see, for instance, Brest et al., 2000).
Typical build-up rates are 3 to 10 MPa per year, but
still faster rates can be observed in very deep (deeper
than 2000 m) caverns. The final value of cavern pres-
sure is of utmost importance; several authors fear that
brine pressure eventually will reach a figure larger than
geostatic pressure, leading to hydrofracturing, upward
brine flow through fractures and pollution of potable
water. Thus, the mechanisms leading to brine pressure
build-up must be understood.
2.2 Mechanisms influencing pressure evolution in a
closed cavern
The behavior of a sealed cavern is governed by four
main phenomena: brine thermal expansion; salt mass
creep; brine permeation through cavern walls; and
leaks through the casing and casing shoe. This last
mechanism may be effective in a cavern during its
operational life, but it is expected to be negligible after
the cavern has been plugged properly, as described
above. Other mechanisms influence pressure build-up
(additional salt dissolution, ground temperature and
atmospheric pressure variations, Earth tides, etc.), but
their effects are small and/or more-or-less periodic,
and can be disregarded. Eventually, these phenomena
result in brine pressure evolution through cavern com-
pressibility. These notions will be developed below.
2.3 Cavern compressibility
When a certain amount of liquid is injected in a closed
cavern, when cavern brine warms, or when a cav-
ern shrinks due to rock mass creep, cavern pressure
increases. The relation between the cavern pressure-
increase rate, or Pi , and the volume change rate, or Q,
is linear during a rapid evolution:
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Copyright 2006 Taylor & Francis Group plc, London, UK
Figure 1. Cavern compressibility as measured during a test
in the SPR3 cavern.
The proportionality constant is the cavern compress-
ibility, or Vc ; Vc is the cavern volume. Figure 1
displays the results of a cavern compressibility test
performed in the SPR3 cavern.
2.4 Brine thermal expansion
In many cases, brine thermal expansion is by far the
prominent factor in brine pressure build-up in a closed
cavern. Its effects slowly reduce with time, but, in a
large cavern, they can be effective for several decades.
The temperature of rock increases with depth. Typ-
ically at the depth of caverns SPR1, 2 and 4 (300 m
to 400 m), it is 20 C; the typical temperature at the
depth of cavern SPR3 (700 m) is 24 C. The brine
injected in the cavern before abandonment is signif-
icantly cooler, as brine was stored in ponds at ground
level. When the cavern remains idle, the initial tem-
perature difference slowly resorbs with time. This
process can be described by heat conduction through
the rock mass toward the cavern and brine convection
in the cavern. (Cavern brine is the seat of a peren-
nial natural convection whose origin is the natural
geothermal gradient; convection effectively stirs cav-
ern brine and homogenizes brine temperature). Heat
transfer is governed by well-known equations (Brest
et al., 2001), and due to the simple thermal process
and well-known thermal parameters (rock-salt ther-
mal diffusivity and conductivity, brine heat capacity),
very accurate predictions of temperature evolution can
be made through numerical computations. Brine tem-
perature rise, or Ti , is faster when brine injection is
more recent and when the cavern is deeper or smaller.
Increases in brine temperature results in brine ther-
mal expansion (or Ti ; is brine thermal-expansion
coefficient) in an opened cavern and in brine pres-
sure build-up (or Pi = Ti /) in a closed cavern. The
ratio / is approximately 1 MPa/ C. As the initial
temperature difference between cavern brine and rock
temperature at cavern depth often is several dozens

Figure 2. Geothermal profile of the SPR3 well.
of C, it can be expected that the effects of brine
expansion upon brine pressure will be large. In fact,
for the SPR3 cavern, which had been kept idle for
more than 15 years before the test described below was
performed, the temperature difference had had time
to resorb fully. A temperature log run before the test
proved that the SPR3 cavern temperature was equal to
the rock geothermal temperature, or 24 C (see Fig. 2).
Temperature also was measured in the shallower
SPR1, 2 and 4 caverns. Down-hole memory gauges
were left at the bottom of the central string for sev-
eral months. In 2003, the measured temperatures (The
figures in parentheses provide geothermal tempera-
ture at cavern depth.) were: SPR1: 18.3 C (20.0 C);
SPR2: 18.5 C (19.3 C); and SPR4: 16.9 C (20.4 C).
In other words, by 2003, the thermal imbalance in these
shallow caverns was small, making thermal expansion
a much less severe concern than it would be in most
solution-mined caverns.
2.5 Salt-mass creep
All solution-mined caverns converge as they gradu-
ally, and quite slowly, shrink. The driving force is the
difference between the geostatic pressure at cavern
depth, P , and the cavern brine pressure, Pi . Here,
a few comments on the mechanical behavior of salt
are helpful. Most experts agree on the main features
of the steady-state creep behavior of rock salt: (a) in
the long term, rock salt flows even under very small
deviatoric stress; (b) creep rate is a highly non-linear
function of applied deviatoric stress and temperature;
(c) steady-state creep is reached after several weeks or
months when a constant load is applied to a sample (It
is characterized by a constant creep rate.); and (d) the
main features of steady-state creep are captured by the
following simple model, the Norton-Hoff power law:
457
Copyright 2006 Taylor & Francis Group plc, London, UK
where J2 is the second invariant of the deviatoric
stress tensor; and A, n, Q/R are model parameters.
This simple formulation does not take into account
all the aspects of rock-salt mechanical behavior,
which is of fascinating complexity, but it allows for
simple computations. Parameter values have been
compiled by Brouard and Brest (1998): for 12 dif-
ferent salts, the constant n is in the range n = 36,
illustrating the highly non-linear effect of the applied
stress on the strain rate. Laboratory tests were
performed on core samples by Ecole Polytech-
nique and the Total E&P Laboratory of Geome-
chanics to determine the creep properties of Car-
resse salt. For cores sampled at a depth of 700 m,
the parameters were found to be: n = 3.42, and
A exp(Q/RT ) = 0.63 1013 s1 MPa3.42 . (Tem-
perature influence was not explored, as rock tem-
perature at a 700-m depth is 24 C, which, during a
laboratory test, is close to room temperature.) The
samples creep rates were in the upper range of those
known at other sites. Numerical computation allows
cavern convergence (i.e. loss of volume) to be assessed
as a function of time and cavern pressure history. The
steady-state formulation (Eq. 2) allows a closed-form
solution for the idealized case of a perfectly spherical
cavern that, over a long period of time, is submitted
to an internal pressure (Pi ) smaller than the geostatic
pressure (P ) at cavern depth. In this solution, the
volume change rate is:
As a general rule, when precise prediction is needed,
laboratory tests must complemented by in situ tests.
Caverns SPR1, 2 and 4 were left closed for two
months during 2003, and pressure evolution was mea-
sured. Pressure evolution was expected to follow the
differential equation:
where Ti is the (as-measured) temperature increase
rate, and Vc /Vc is the cavern convergence rate, a known
function of Pi (see Eq. 3 for the case of a spherical
cavern). The computed cavern-pressure evolution was
consistent with the observed evolution; in fact, it was
slightly slower, suggesting that the effects of salt per-
meability and possible leaks through the cased well
should be taken into account.
2.6 Brine permeation
Rock-salt permeability is a somewhat controversial
issue. For every standard engineering issue, rock salt
can be considered as an impermeable rock. Its matrix
hydraulic conductivity is small, and no fractures exist
in massive salt formations. The generally small per-
meability numbers resulting from laboratory tests are
 scattered (K hyd = 1021 to 1018 m2 ) and are suspected
to be affected by coring and sampling. Few in situ tests
have been performed. A 1-year long test performed
in a well by Durup (1994) gave K hyd = 6 1020 m2 .
Such figures are extremely small, when one keeps in
mind that hydrogeology textbooks define an imper-
meable rock as a one with permeability smaller than
K hyd = 1017 m2 . When short-term use of salt caverns
is considered, salt caverns are extremely safe from the
perspective of stored product confinement. However,
in some contexts, brine outflow due to salt perme-
ation must be taken into account. To be more specific,
consider the case of a spherical cavern with radius R,
cavern brine pressure Pi and natural brine pore pres-
sure Po . The existence of a pore brine pressure uniform
through the rock salt mass is arguable, as salt porosity
is quite small (often smaller than 1%), and pore con- Figure 3. SPR3 Cavern.
nectivity is likely to be poor. However the (relatively
few) in situ tests performed in salt mines or salt cav- effects are not considered). Furthermore, Eq. 6 proves
erns prove that the notion of pore pressure is consistent that, after a long period of time, the brine pressure rate
with test results. It often is assumed that natural pore vanishes (Pi = 0) and the cavern pressure reaches an
pressure is equal to halmostatic pressure, or Po = Ph . equilibrium value, Peq , such that the cavern loss of vol-
[However, tests performed at the WIPP site showed ume, or Vc , (due to salt mass creep) exactly balances
that pore pressure was higher than expected (Dale and brine outflow from the cavern, or Qperm , (due to brine
Hurtado, 1997), and several observations made dur- permeation) or, when an idealized spherical cavern is
ing the Carresse caverns de-trapping suggest that pore considered:
pressure should be slightly smaller than halmostatic.]
If b = 1.4 103 Pa.s is the brine dynamic viscos-
ity, then, assuming Darcys law, the steady-state brine
seepage rate from an idealized spherical cavern is:
where Po < Peq < P : the equilibrium pressure is
larger than halmostatic and smaller than geostatic,
preventing any hydro-fracturing.
and this rate is quite small e.g., when Pi Po =
7 MPa, R = 12.5 m (or Vc = 8, 000 m3 ) and K hyd = 3 IN SITU TEST IN THE SPR3 CAVERN
1020 m2 ; then, Qperm = 0.25 m3 /year.
3.1 Cavern volume and well completion
2.7 Pressure evolution in a closed cavern
The latest SPR3 sonar survey was run in 1995, and the
No permeability tests had been performed on Carresse apparent cavern volume was 4,600 m3 (Fig. 3).
salt samples, but it was suspected that this permeability However, the Carresse salt formation contains a fair
was relatively high after the de-trapping performed on amount of insolubles (up to 20 to 30%), and it was
the three shallowest caverns. It was decided to per- suspected that the actual volume was much larger.
form a test on the deepest cavern, SPR3, to assess (Beneath the apparent cavern bottom is a large sump
both salt permeability and the long-term behavior of filled with sedimented insolubles.) The total volume
a closed cavern. When the effects of brine thermal (including the sump) is estimated to be 10,000
expansion, cavern convergence, brine permeation and 11,000 m3 . The well architecture of this cavern is
(possible) leaks through the cased well are taken into shown in Fig. 4.
account, pressure evolution in a closed cavern can be During the test, the 4

7

annular space was filled
described by the following differential equation: with green oil, and the 4

central tubing was filled
with saturated brine. A small amount of green oil was
injected in the central tubing. The system allows any
Brine warming of the SPR3 cavern was completed oil leak from the well-head or from the cemented cas-
by 2004, and Ti = 0. For simplicity, leaks through the ing to be detected. (Oil is much lighter than brine.
well will be assumed to be negligible (Qleak = 0). Note Any oil leak leads to a rise of one of the two oil/brine
that Eq. 6 only holds when slow evolution is consid- interfaces, resulting in a non-parallel evolution of the
ered, as steady-state formulations are used (transient two pressure-versus-time curves that are measured at

458

Copyright 2006 Taylor & Francis Group plc, London, UK


Figure 4. SPR3 well architecture.
Figure 5. Cavern pressure evolution, SPR3 in situ test.
the wellhead, in the central tubing and in the annu-
lar space, respectively.) High-accuracy AEP pressure
gauges were used to record both pressures. Krohne liq-
uid flow-meters measured the mass of brine expelled
from the cavern (when the wellhead is open), and a
special system based on brine weighting was designed
to measure very small brine flows.
3.2 Testing procedure
The test consists of a trial-and-error process. To track
the equilibrium pressure (and to back-calculate cav-
ern permeability), several cavern-pressure levels were
tested successively (Figure 5); they vary from a rel-
atively high wellhead pressure (3 MPa during phase
CD) to a lower-than-halmostatic pressure (phase IJ).
(At the beginning of this phase, the central tubing was
opened, and oil was withdrawn from the annular space
to lower the air/liquid interface in the central tubing).
During the two phases (AB and KL), the wellhead was
opened, and brine outflow was recorded.
During the CD phase, pressure drops down: brine
permeation and leaks during this phase have larger
effects than cavern convergence; the inverse is true
Copyright 2006 Taylor & Francis Group plc, London, UK
during such phases as EF, GH or IJ. The equilibrium
pressure appears to be approximately Peq 2 MPa,
or 20 bars, above halmostatic pressure. During those
phases in which pressure increases, the pressure build-
up rate is faster when cavern pressure is lower, as
expected from the conclusions presented in Section
2.5. The system measures leaks through the cemented
casing, and brine thermal expansion can be disre-
garded.The two remaining effects (cavern volume-loss
rate and brine permeation through the cavern walls)
can be separated via numerical computation. (The
computer software program LOCAS, which includes
the modeling of the transient mechanical behavior of
salt and transient pore pressure evolution, simulated
pressure evolution, which was fit against as-measured
evolution; advantage was taken of the open-cavern
phases, when brine permeation is negligible, to assess
the parameters of the mechanical constitutive law for
salt. A precise description of this effort can be found
in Brouard et al. (2004). The main conclusions of
this test are that salt permeability is in the range 5
to 9 1019 m2 (a relatively high figure); as expected
from the laboratory tests, Carresse salt is much more
creep-prone than most salts whose mechanical behav-
ior is described in the literature; the equilibrium well-
head pressure in SPR3 is approximately Peq = 2 MPa
(10 MPa when cavern pressure at a depth of 700 m
is considered, or a 1.43 102 MPa/m gradient):
this gradient is much lower the geostatic gradient
(2.1 102 MPa/m), preventing any hydro-fracturing.
4 DECOMMISSIONING
4.1 Assessing the value of long-term prediction
The objective of the test was to predict the long-term
evolution of a sealed and abandoned cavern. The qual-
ity of the assumptions made above all contributing to
the prediction of pressure evolution in a sealed cavern
must be assessed.
Cavern compressibility was measured in dozens
of caverns (This measurement is a fundamental pre-
requisite to any interpretation of a cavern tightness
test.), and values of = 4 to 5 104 MPa1 gener-
ally are reported. No smaller figures have been found.
Larger values are seen in flat caverns, or when a
cavern contains a small amount of gas. In any case,
larger compressibility values make the pressure build-
up rate slower, a significant advantage when brine
thermal expansion is still active at the time a cavern is
abandoned.
Brine thermal expansion is a well-described phe-
nomenon; predictions of temperature evolution gener-
ally are excellent, because conduction is the only heat
transfer process in an impermeable rock and because
thermal parameters (conductivity, diffusivity) do not
vary much from one rock to another.
459
 Salt creep has been studied intensely; no other rock
has given rise to such a comprehensive set of lab-
oratory experiments, motivated, to large extent, by
the specific needs of nuclear waste storage. How-
ever, actual cavern-convergence data are often rough,
scarce, and somewhat inaccurate; it has been noted
that the mechanical constants inferred from laboratory
tests vary to a large extent from one site to another, in
sharp contrast with the constants in the thermal model.
Furthermore, laboratory tests generally are performed
under relatively high deviatoric stresses, a situation
that does not apply to an abandoned cavern experi-
encing high cavern-brine pressures. (Creep rate under
small deviatoric stresses should be faster than pre-
dicted by laboratory tests). Last, but not least, transient
mechanical behavior should be taken into account. As
a general rule, laboratory tests must complemented by
in situ tests to prevent major misinterpretation of data.
Salt permeability is by far the most uncertain factor
in predicting long-term cavern behavior. Bedded salt
formations often contain a fair amount of insolubles,
which have a higher permeability than salt. Salt per-
meability is strongly influenced by the state of stress
several authors even believe that most of the low per-
meability observed during in situ tests in salt caverns
is induced by cavern creation and operation.
Uncertainties remain, and the present state of
knowledge does not permit blind predictions (i.e., pre-
dictions based on laboratory experiments). In situ tests
must be performed before decommissioning a cavern.
4.2 SPR2 cavern test
It has been noted that the shallowest caverns, SPR1,
2 and 4, still experience brine warming and thermal
expansion. An abandonment test on the SPR2 cavern
was performed to confirm the results of the test per-
formed on the deeper, thermally equilibrated SPR3
cavern. This test, supported by the Solution Mining
Research Institute, began in May 2004 and will last two
years. The cavern initially was pressurized to 1.3 MPa
and its pressure has decreased consistently, proving
that the equilibrium pressure is lower than 1.3 MPa.
4.3 Worst-case scenario
Even if interpretation of the in situ tests favors an opti-
mistic long-term scenario, a what if ? scenario was
considered to account fully for the impact of cavity
closure on health, safety and environmental protec-
tion. In this scenario, it is assumed that rock or cement
is fractured, letting cavern brine seep from the cavern
toward the upper layers. The fastest upward flow is
reached when cavern pressure is assumed to be hal-
mostatic, and the maximum brine flow from the four
caverns amounts to 60 m3 /year. In the specific envi-
ronment of the Carresse site, such a figure is still
acceptable, as no potable resource exists at shallow
460
Copyright 2006 Taylor & Francis Group plc, London, UK
depth and the top of the salt formation already con-
tains saturated brine, which currently is exploited for
salt production in the city of Salies-de-Barn.
4.4 Decommissioning the final step
Total E&P, the facility operator, provided the French
regulatory authorities with a comprehensive storage
closure file. It included detailed descriptions of the
program that had been conducted to predict the long-
term post-abandonment behavior of the caverns. Based
on this file, the regulatory authorities requested an
observation period, to last three years after the plug-
ging of the wells. During this period, the subsidence of
the site will be monitored, and the local hydrogeology
will be surveyed.
5 CONCLUSION
An in situ test was performed in the 700-m deep,
10,000 m3 SPR3 cavern, a salt cavern belonging to
the Carresse LPG storage facility, before this site
be decommissioned. It was proven that, when cav-
ern is closed, brine pressure builds up due to cavern
convergence; however brine permeation through the
cavern walls, even if small, allows pressure to release
and an equilibrium pressure, significantly lower than
geostatic pressure, is reached after some time, pre-
venting any risk of hydro-fracturing and potable water
pollution.
REFERENCES
Brest P., Brouard B., Durup G. 2000. Shut-In PressureTests
Case Studies. In Proc. SMRI Fall Meeting, San Antonio,
105126. (Proceedings of the SMRI Meetings are avail-
able at: SMRI-3336, Lone Hill Lane, Encinitas, CA
9204-7262, USA. (These Proceedings have been edited
as a separable volume since the Fall 1996 Meeting.)
Brest P., Bergues J., Brouard B., Durup J.G., Guerber B.
2001. A salt cavern abandonment test. Int. J. Rock Mech. &
Min. Sc., 38, 357368.
Brouard B. & Brest P., 1998. A classification of salts
according to their creep properties. In Proc. SMRI Spring
Meeting, New Orleans, 1838.
Brouard B., Brest P., Has J.Y., Fourmaintraux D., de
Lagurie P., You T., 2004. An in situ test in advance of
abandoning a salt cavern. In Proc. SMRI Fall Meeting,
Berlin, 4564.
Dale T. & Hurtado L.D. 1997. WIPP Air-Intake Shaft
Disturbed-Rock Zone Study. In Proc. 4th Conf. Mech.
Beh. Salt, Montral, June 1996. Clausthal-Zellerfeld:
Trans Tech. Pub, 525535.
de Lagurie P., Has J.Y., Fourmaintraux D., You Th.,
Brouard B., Brest P. 2004. Decommissioning and aban-
donment procedure of LPG caverns at Carresse (France).
In Proc. SMRI Fall Meeting, Berlin, 2743.
Durup J.G. 1994. Long term test for tightness evaluations
with brine and gas in salt. In Proc. SMRI Fall Meeting,
Hannover.
 EUROCK 2006 Multiphysics Coupling and Long Term Behaviour in Rock Mechanics
Van Cotthem, Charlier, Thimus & Tshibangu (eds)
2006 Taylor & Francis Group, London, ISBN 0 415 41001 0

Mechanical decay and degradation of marble slabs

C.A. Garzonio & E. Cantisani

Dipartimento di Restauro e Conservazione dei Beni Architettonici Facolt di Architettura,
Universit di Firenze (Italy)

ABSTRACT: The authors conducted studies on mechanical decay processes of stone materials, mainly white
Carrara marble, used in historical buildings and monuments. The examined processes are mainly referred to the
mechanical decay and degradation of marble slabs due to bending phenomena.These time-dependent deformating
phenomena are connected to the geotectonic and geomorphologic history, to the effects of new environmental
conditions and to the new geometry of the stone elements. The most relevant parameter, represented by the
tectono-metamorphic history of any marble, affects the main microstructural characteristics of the material and,
consequently, its mechanical decay and degradation. This paper presents the methodologies used for evaluating
deformation on selected dated slabs, the sampling strategy for a correct comparison with quarry samples, the
results of the artificial ageing tests performed on numerous samples of Carrara marbles (Gioia quarry) and the
relationship of the physical characteristics with the mechanical parameters.

1 INTRODUCTION processes of static recrystallisation, dynamic recrys-

In recent years numerous studies have been car-
ried out on slab bowing. Well known cases such as
the Amoco Tower (Chicago), the Finlandia House
(Helsinki), the Arc de la Dfence (Paris) and others,
including faades and external walls of Romanesque
and Gothic churches emphasized the need for a sys-
tematic study of the causes of this type of decay.
Kessler, in 1919, developed the first tests on bowing
phenomena, by heating marble slabs to quantify the
permanent stress rate. Numerous studies have been
performed to determine causes, which were identi-
fied as residual stresses and creep phenomena (Voight
1966, Winkler, 1973), anisotropic thermal expansion
of calcitic grains (Rosenholtz & Smith 1949, Wildham
et al., 1996, Jornet & Ruck 2000), variation of flu-
ids contents and dissolution processes (Bortz et al.
1988, Monk 1985, Wilson 1989). Recently, it has been
verified that the microstructural and physical char-
acteristics of the material play a fundamental role
in the development of creep phenomena (Cavallucci
et al. 1997). This is particularly relevant in Apuan
marbles. Although they are similar in chemical and
mineralogical composition they react differently to
the external environment. An important example is
the Florence Cathedral, in which the marbles utilized
in the nineteenth century faade show an advanced
state of alteration, while the marbles used in the XVIII
century still show good conditions of conservation
(Barsottelli et al. 1998). The microstructural character-
istics make it possible to identify marbles produced by
tallisation and remobilisation during the last stadium
of deformation (Molli & Heilbronner 1999, Molli et al.
2000) due to two main tectono-metamorphic events:
D1 and D2 (Carmignani et al., 1980, Carmignani &
Kligfield, 1990). Marbles with equigranular polygonal
microstructure (granoblastic or foam microstruc-
ture), and straight to slightly curved grain boundaries
belong to the first group. Marbles with this microstruc-
ture were found in the Western part, Middle and
Eastern zones of the Apuane Alps. These marbles were
produced during the thermal relaxation and heating
that occurred after the early D1 deformation.
Marbles with microstructure exhibiting strong shape
preferred orientation, coarse grains with lobate/sutured
boundaries, formed during the late stage of the D1
event, are considered products of dynamic recrys-
tallization. Also microstructures formed during the
D2 event with shape preferred orientation, polymodal
grain size distribution, smaller grain size and rota-
tion of the subgrains are products of dynamic events.
The D2 event is, in fact, associated with an exhuma-
tion process in condition of retrograde metamorphism.
During this event shear zones, millimetres to decime-
tres thick, developed in the highest levels in Apuan
Alps (Carrara area), whereas at the lowest levels (Arni
area) only foldings occurred. The dynamic microstruc-
tures are related to high strain and high temperature.
Grain boundary migration and recrystallisation can be
considered predominant in the first event (D1), rota-
tion recrystallisation and grain boundary migration
in the second (D2). These different microstructures

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Copyright 2006 Taylor & Francis Group plc, London, UK

 are responsible for different petrophysical character-
istics and probably also the different behaviour in
decay phenomena (Royer-Garfagni 1999, Cantisani
et al. 2000).
For this research the first phase required a basic
study of dated slabs to acquire the knowledge of the
time dependent evolutionary phenomena. Two instru-
ments and related dedicated software were applied to
numerous dated slabs in some Florentine cemeteries
for the evaluation of deformation and for monitoring
the state of conservation of slabs. The correct strategy
sampling of some slabs, using tested methodologies,
makes it possible to obtain a comparison between dif-
ferent portion of slabs and an exact comparison with
the quarry sample. Here only the results obtained on
the artificial ageing of a typical microstructure of
white Apuan marble, one of the most widely used vari-
eties are reported; tests for different microstructural
typologies are in progress.
2 MATERIALS AND METHODOLOGIES
2.1 Marble slabs
During the past 10 years a systematic analysis of defor-
mation on over 100 slabs in different cemeteries in
Florence and from the Faade of the Collegiata of
Empoli (Florence) was conducted.
A relevant problem tackled during the analyses of
the slabs was the identification of correct methods
for measuring deformation in horizontal and verti-
cal slabs. Therefore, deformation was measured using
manual and photogrammetric techniques.A grid frame
was used for the manual plotting. This instrument,
built with a reference plane and a grid of 11.5 cm
step for the evaluation of the deviation of the mea-
surements with respect to the horizontal plane, cannot
be used to measure the deformation of the vertical
slabs. For these slabs a photogrammetric technique
was applied. This technique and the related dedi-
cated software produce coupled photograms and 3D
measures. The comparison of data obtained with the
manual and photogrammetric methods allows both
a reconstruction of the slab surface and an accurate
assessment of the deformation. These methods were
used on the dated slabs located in the Cimitero dei Pinti
(Florence, Italy). Samples for evaluating the behaviour
of the mechanical properties were taken using the
same methods as for the slab on the faade of the Col-
legiata (Garzonio et al. 1995, Cavallucci et al. 1997).
Some of the examined slabs in theCimitero dei Pinti
are characterized by strong bowing phenomena. Four
of these slabs were cut in 8 sections, at 20 cm inter-
vals, a small bar (thickness 4.5 cm) was obtained from
each section. Three sampling zones were selected
for preparing thin sections. Two thin sections were
prepared for each sampling position, external and
462
Copyright 2006 Taylor & Francis Group plc, London, UK
internal side. The main microstructural characteristics
of this portion were evaluated. Physico- mechanical
(total open porosity, uniaxial compressive and flex-
ural strength) parameters were measured in order to
compare them both with the different portions of the
slabs and with the quarry samples.
2.2 Quarry samples
Different samples of Apuan marbles coming from the
Gioia quarry, situated in the Colonnata basin, 8 km
east of Carrara, were analyzed. The site is character-
ized by an important folded structure consisting of two
deep geo-synclinals. It is well representative of the
materials stress history.
Petrographic studies were performed using ultrathin
sections (thickness between 2 and 5 m) which allow
a precise observation of the grain boundaries avoid-
ing the interfering colour fringes along the grain and
twin boundaries (Vernon 1981). In order to measure
the mean microstructural characteristics free softwares
were used for the evaluation of the PAROR, SURFOR
and PARIS factors. The PAROR defines the general
orientation of a grain with respect to a reference line
and it is based on the principle of the projection of
the segments on a reference axis for different rota-
tion angles. The SURFOR describes the preferential
orientation of the grain boundaries (Panozzo 1983,
Panozzo 1984). The convolution of the grain bound-
aries was determined using the SHAPES software,
which evaluates the PARIS factor, able to define the
concavity/convexity relationship of the grain bound-
ariesgeometry. A low PARIS factor points out straight
grain boundaries and its increase identifies a grain
boundary migration (Panozzo & Hurlimann, 1983).
In addition, the following petrophysical characteris-
tics were measured: total open porosity P (determined
through mercury intrusion porosimetry techniques
and calculated as (Va Vr)/Va 100; where Va is the
apparent volume of the test-samples measured with
a mercury pycnometer, while Vr is the real volume,
measured with a helium pycnometer); mesoporosity
(0.0037 m < r < 150 m, determined with a mer-
cury porosimeter); water imbibition coefficient [in
weight (I.C.wt.%) and volume (I.C.vol.%)] obtained
by absorption through total immersion and through
capillarity; water saturation index (S.I.) which is the
ratio I.C. v/P%. Mechanical analyses were also per-
formed for the Gioia quarry marbles: uniaxial com-
pressive strength following the recommendations of
the International Society for Rock Mechanics and
bending tests performed in order to evaluate the bend-
ing rupture load using the instrument described in
Garzonio et al., 1995. All the samples were subjected
to thermal cycles, using a Challenge 5000 Angelantoni
climatic chamber; the cycles were repeated 250 times.
The variations of the petrophysical and mechanical
 parameters were determined every 50 cycles: grain boundaries was found. In the concave portion
the calcite crystals were closely interconnected with
from room temperature to 10 C with a gradient
frequent pressure-dissolution phenomena that caused
of 1.00 C/minute;
irregular grain boundaries and intracrystalline defor-
10 C for 20 minutes;
mation. With respect to the porosity data, a strong
from 10 C to +80 C with a gradient of 2.25 C/
increase (about 150%) was noted. This is particu-
minute;
larly evident in the convex portion of slabs where the
+80 C for 20 minutes;
detachment of grain boundaries is most relevant. Anal-
from 80 C to 10 C.
ogous results were obtained for the mechanical tests
(Table 1).
3 RESULTS

3.1 Marble slabs 3.2 Quarry samples

The plotting methods used during this research From the compositional point of view the studied mar-
(manual and photogrammetric techniques) yielded ble (Gioia quarry) is quite homogeneous with only
information on the deformation of slabs. Using these small quantities of SiO2 , Al2 O3 , MgO, Fe2 O3 (<5%),
technique a 3D reconstruction of the slab surface which are related to the presence of silicatic min-
and the deformation profiles were created (Figures 1 erals (quartz, feldspars, muscovite) (Cantisani et al.
and 2). 2000). Petrographically this marble is characterized
These figures and graphs, obtained for each slab,
constitute a very useful data base for the annual moni-
toring of time dependent phenomena, performed with
the same instruments and data processing techniques.
The petrographic analyses of the bended slabs of the
Cimitero dei Pinti confirm the microstructural changes
found on the Collegiata slab. Strong deformations were
observed in the convex and concave portion of the slab.
In the convex portion grain disgregation due to detach-
ment of the calcite crystals and recrystallization to the

Figure 2. Elaboration of deformation in the profiles AA

and BB.

Table 1. Physical and mechanical parameters in a

bended slab.

Measured parameter

Compressive load (MPa) 36.7

Bending rupture load (MPa) 2
Young Modulus (MPa) 27800
Total open porosity in the concave portion 5.1
of slab %
Total open porosity in the 10.8
Figure 1. Reconstruction of 3D slab surface with respect convex portion of slab %
to the original plane.

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Copyright 2006 Taylor & Francis Group plc, London, UK

 Figure 5a. Water absorption trend obtained through total
immersion test.
Figure 3. Ultrathin section of Gioia marble (crossed nicols).

Table 2. Physical parameters of Gioia marble.

P% M% I.C. w% I.C. v% S.I. %

1.3 0.2 0.49 0.06 0.23 0.01 0.62 0.03 50 10

obtained through total immersion

Figure 5b. Water absorption trend obtained through capil-

larity test.

Table 3. Variation of main physical characteristics after the

thermal cycles.

P% M% I.C. w%

Quarry sample 1.3 0.2 0.49 0.06 0.23 0.01

Figure 4. Pore size distribution.
by a medium grain size (140 m), an unimodal grain
size distribution. The comparison between the PAROR
and SURFOR parameters allowed to exclude the pres-
ence of a grain shape orientation. The PARIS factor
is 56 (grain boundaries from straight to lobate). The
microfabric is granoblastic/xenoblastic.
The main physical characteristics of this marble are
reported in Table 2.
With respect to pore size distribution, obtained
with a Hg porosimeter, a bimodal trend was achieved.
Figure 4 shows the presence of two main ranges of
pores that affect the behaviour of this type of marble
with regard to water absorption through total immer-
sion as well as capillarity tests.
Figures 5a and 5b show water absorption obtained
through total immersion and capillarity. It is evident
that water absorption is very important in the first
50 cycles 1.7 0.1 0.67 0.04 0.27 0.04
150 cycles 2.0 0.2 0.83 0.03 0.31 0.03
250 cycles 2.5 0.1 1.08 0.05 0.44 0.01
P: total open porosity; M: mesoporosity, I.C. w: Imbibition
coefficient in weight obtained through water absorption
minutes of stone/water contact. For the quarry samp-
les of Gioia marble an uniaxial compressive strength
of 128.1 MPa and a bending rupture load of 18.8 MPa
have been measured. The main physical character-
istics were also measured on the samples after the
thermal cycles. Table 3 shows the variation of these
characteristics with respect to thermal cycles.
The table highlights the fact that a proportional
increase of the total open porosity and mesoporosity
is able to increase the water absorption. During the
repetition of the thermal cycles a steady increase in
the water absorption through total immersion and cap-
illarity was measured (Figs. 6a, b).

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Copyright 2006 Taylor & Francis Group plc, London, UK

 Figure 6a. Variation of water absorption trends (total
immersion test) for the marble samples subjected to the
thermal cycles.
Figure 6b. Variation of water absorption trends (capillarity
test) for the marble samples subjected to the thermal cycles.
Figure 7. Pore size distribution of Gioia marble after 250
thermal cycles.
With respect to pore size distribution a typical
increase of pores with radii between 0.0064 and
0.256 m is evident (Fig. 7). The role of the varia-
tion of the pore size distribution in the aged marbles
in favouring bending phenomena is under study.
After these thermal cycles the samples were sub-
jected to mechanical tests and the data relative to the
bending load were related to the different cycles. Even
if the changes in porosity and bending rupture loads are
465
Copyright 2006 Taylor & Francis Group plc, London, UK
Figure 8. Relationship between total open porosity and
bending rupture load after thermal cycles.
not as large as the data obtained on the bended slabs,
a trend is clear. Figure 8 shows the obtained results.
4 CONCLUSION
The comparison of different data obtained on natu-
rally and artificially aged marbles makes it possible
to describe the complexity of phenomena such as
the bending of marble slabs. The proposed analyti-
cal methodology is based on systematic monitoring of
the deformation in the dated slabs and on the compar-
ison of the petrographical, physical and mechanical
data inside different portions of samples. The pet-
rographic, physical and mechanical characterization
of different types of Apuan marbles before and after
subjection to thermal cycles helps define the rela-
tionship between variation of porous structure (total
open porosity, mesoporosity, pore size distribution)
and mechanical behaviour. In fact the thermal stress
can be one of causes of the decay of mechanical
properties of marble and consequently of some degra-
dation phenomena such as the bending of slabs. This
stress strongly affects only some types of marbles,
with specific tectono-metamorphic history; therefore
a knowledge of the behaviour of different types of
Apuan marbles is indispensable for the identification
of others decay causes (e.g. residual stress).
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Bortz, S.A., Erlin, B. & Monk, C.B. 1988. Some Field Prob-
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996, B. Donaldson (ed.) New Stones Technology, Design,
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Cantisani, E., Canova, R., Fratini, F., Manganelli del F, C.,
Mazzuoli, R., & Molli, G. 2000. Relationships between
microstructures and physical properties of white Apuan
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Carmignani, L. & Kligfield, R. 1990. Crustal extension in
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cesses in lapideous materials (Carrara Marbles): prelim-
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Van Cotthem, Charlier, Thimus & Tshibangu (eds)
2006 Taylor & Francis Group, London, ISBN 0 415 41001 0

The hydromechanical behaviour of the Boom Clay observed during

excavation of the connecting gallery at Mol site

XL. Li, W. Bastiaens & F. Bernier

EURIDICE, SCK.CEN, Belgian Nuclear Research Center, Belgium

ABSTRACT: Boom Clay formation has been selected as a potential host rock for the geological disposal of
radioactive wastes in Belgium. An Underground Research Facility (URF) in Boom Clay formation at a depth
of about 223 m at Mol site was built to investigate and demonstrate the feasibility of the disposal concepts and
to provide reliable data on the performance of Boom Clay as a host rock. The URF was extended by sinking a
second shaft and excavating a connecting gallery that provided a unique and original opportunity to monitor the
hydromechanical responses of the Boom Clay ahead of the excavation front thanks to the instrumentation installed
in-situ (CLIPEX program). The most important observation is the very extended excavation disturbed zone that
cannot be replicated by a classical elasto-plastic constitutive law, which gave however reliable predictions of
instantaneous convergence in the near field. Further investigation is necessary to explain this extended disturbed
zone, especially variation of pore water pressure in the far field.

1 INTRODUCTION the CLIPEX project. Moreover, The connecting gal-

Boom Clay formation has been selected as a poten-
tial host rock for the geological disposal of radioactive
wastes in Belgium. In order to investigate and demon-
strate the feasibility of the disposal concepts and to
provide reliable data on the performance of Boom
Clay as a host rock, it was decided in 1980 to build an
Underground Research Facility (URF) in Boom Clay
formation at a depth of about 223 m at Mol site. As
space became limited in the existing facility for new
experiments, this facility was extended during 1999
and 2002 by sinking a second shaft and excavating a
connecting gallery of 90 m length (Figure 1).
As the connecting gallery was excavated from the
second shaft to the existing facility, a unique and
original opportunity was then given to monitor hydro-
mechanical parameters ahead of the excavation front
thanks to the comprehensive instrumentation installed
in-situ prior to the excavation within the framework of
lery was realized with a tunnel machine, which allows
an excavation rate about three meters per day, and min-
imizes the perturbation of the host rock with good
control of the excavation condition (Bastiaens et al.
2003).
The CLIPEX instrumentation (Clay Instrumenta-
tion Program for the Extension of an Underground
Research Laboratory) includes mainly the bore holes
A, B, C, D, E and allows monitoring the pore pressure,
total stress and displacement before and during the
construction of the connecting gallery. The host rock
has been thus instrumented both in the zone to be exca-
vated and around it (Figure 2) (Bernier et al. 2002).
Besides, the strain gauges were embedded in the lin-
ing segments to monitor stresses in the lining and the
pressures exerted on it by the host rock. In addition,
the tunneling machine was also instrumented to mea-
sure the instantaneous radial convergence of the clay
in the zone between the front end and the rear end of
the shield of the tunnel machine.

Figure 2. CLIPEX instrumentation program (bore holes A,

Figure 1. Underground Research Facility at Mol site. B, C, D, E).

467

Copyright 2006 Taylor & Francis Group plc, London, UK

 The most important observation is that the zone dis- 25
turbed by excavation (hydraulically and mechanically)
extends very far in the massif. The numerical simula- 20

Pore pressure (bar)

u-B2-1
tions of the excavation showed that the classical elasto- u-B2-2
plastic constitutive laws, such as the Mohr-Coulomb 15
u-B2-3
or modified Cam-Clay law are unable to replicate this u-B2-4
10
extended disturbed zone but gave however reliable pre- u-B2-5
diction in terms of instantaneous convergence in the u-B2-6
5
near field. The pore water pressure evolution obtained
by the Mohr-Coulomb model, for instance, agrees well 0
with the general tendency of the in situ measurements 70 60 50 40 30 20 10 0
except in the far field. Distance between front and sensors (m)
Future models development taking into account a) Pore pressure evolution
correctly the visco-elasto-plasticity, fracturation and
suction generation followed by decompression are 8
therefore necessary to explain this extended disturbed v-E1 40
7

Displacement (mm)
zone, especially the variation of pore water pressure in

Pore pressure (bar)

the far field.
2 MAIN RESULTS OBTAINED DURING
EXCAVATION AND ANALYSIS
Overall, the characterization of the hydromechanical
behavior of the clay has proved successful. The mea-
surement of the pore water pressure through piezome-
ters has proved to be a very reliable, accurate, and
mature technique. Displacement measurements so far
have led to a good knowledge of the axial displacement
on the gallery axis. The total pressure sensors indicated
however a total pressure that was almost identical to the
pore water pressure. This unexpected observation, due
to artefacts associated with the installation procedure
of the sensors, requires further investigation.
The construction of the connecting gallery has been
realized with a Tunnel Boring Machine (TBM) com-
posed of a 2.3 m long shield, a road-header for the
excavation of the rock and a bird-wing erector sys-
tem for the installation of the lining. The shield was
equipped with a cutting head to ensure a smooth exca-
vated profile. The wedge block system was used for the
lining. In order to reduce the plastic zone created by the
tunneling process, a fast advancing rate was achieved,
the over-excavation was reduced to a minimum, and
the lining was installed as soon as practically possible
to minimize radial movement of the clay wall.
The new data obtained during the excavation of the
connecting gallery have evidenced the following char-
acteristics of the behavior of the Boom Clay (Bernier
et al. 2002).
2.1 High hydromechanical coupling behavior
All measurements revealed that the Boom Clay
behaved with high hydro-mechanical property as a low
permeable medium:
Pore pressure evolves regularly with the coming
excavation front (Figure 3a).
6
5
4 u-E2 20
3
2
1
0 0
10 20 30 40 50 60 70 80 90
Distance between front and 2nd shaft axis (m)
b) Pore pressure and displacement evolution
Figure 3. Strong HM coupling of Boom Clay.
All sensors installed ahead of the excavation front
registered a similar evolution of the pore water pres-
sure: a progressive increase followed by a sharp drop
as the excavation front approached very closely. As
a result of the low permeability (24*1012 m/s) of
the massif and the very high rate of excavation (about
3 m/day), the excavation can be considered at an
undrained condition. The pore pressure increase was
most likely due to the undrained contractant behavior
of the clay, while the drop phenomenon resulted from
the high decompression of the massif (fracturation
around the front and volumetric dilatations).
Large displacements of the massif (v-E1) accom-
panied a strong variation of the pore water pressure
(u-E2) as shown in Figure 3b.
High decompression of the massif nearby the exca-
vation face generated the suction (see Figure 4
hereafter).
2.2 Development of fractures around the
excavation opening
Excavation induced fracturation was not only observed
visually during excavation, but also clearly reflected by
pore pressure evolution. The suction created at about 3
meters ahead of the excavation front (Figure 4) because
of the strong hydromechanical coupling has then been

468

Copyright 2006 Taylor & Francis Group plc, London, UK

 2.0 RING 50 - External pressure [MPa] ; E0=50GPa
4
Pore pressure (bar)

1.5 3.5 S1

External pressure [MPa]

S2
u-A2-4 3 S3
S4
1.0 u-A2-5 2.5 S5
u-A2-6 S6
2
S7
0.5 S1
1.5 S10 S2 S8
S9 S3 S9
1 S10
S8 S4
0.0 0.5 S7
3 2 1 0 S6 S5

Distance between front and sensors (m) 0

0 50 100 150 200 250 300 350 400 450 500 550 600 650
Days [since placement on 25th Feb 2002]
Figure 4. Evidences of the development of fractures.
Figure 6. Time-dependent behaviour: pressures on ring 50
since installation.
5
Axial displacement (mm)

4 This far-field behavior remains difficult to explain and

h-A1
constitutes an important issue for the proper under-
3
standing of the hydromechanical behavior of the Boom
2 Clay. A first effort has been made trying to bring
some explications to this phenomenon. It may be partly
1 associated with the following two factors:
0 The apparent increase of the excavation radius:
80 70 60 50 40 30 20 10 The fractured zone observed around the connect-
Distance between front and sensor (m)
ing gallery can be seen as an apparent increase of
a) Very early reaction of the extensometers the excavated radius, thereby extend the excavation
disturbed zone. The associated increase of the per-
meability in the highly disturbed zone around the
22 u-D2-5 gallery reinforced this far field phenomenon.
Pore pressure (bar)

The viscosity of the skeleton: Recent research has

21
20 u-A2-4
19
60 55 50 45 40
Distance between front and sensors (m)
b) Very early reaction of the piezometers
Figure 5. Evidences of the extent of the disturbed zone.
followed by an abrupt recovery up to the atmospheric
pressure as the front was coming closer. This sud-
den re-equilibrium with the atmosphere indicated the
opening of fractures in the massif ahead of the excava-
tion front up to a distance of about 2 to 3 meters along
the gallery axis.
2.3 Very large excavation disturbed zone
Unexpected extended disturbed zone (both hydraulic
and mechanical) due to excavation was observed. As
shown in Figure 5, the pore pressure and displacement
sensors began to register regular variation when the
excavation front was still more than 60 meter far away.
shown that the characteristic time for the viscosity
of the Boom Clay is much shorter than its hydraulic
characteristic time. Viscous effects (viscoelastic-
ity, viscoplasticity) may produces its effects on
the hydromechanical perturbation sooner after the
Boom Clay has been subjected to a hydromechani-
cal solicitation, such as excavation, and contribute
35 30 25 20
thus to the far field response. Deep laboratory
research is on going in order to investigate the
influence of this aspect.
2.4 Time dependent behaviour
The external pressures exerted by the Boom Clay on
the lining segments was generated very rapidly in the
first few days after construction and increased then
smoothly with time (Figure 6). This evolution feature
of the pressure embodies the time-dependent behavior
of the clay through hydraulic diffusion processes and
the creep of the skeleton.
In summary, the instantaneous hydromechanical
response of the Boom Clay around the connecting
gallery during the excavation works has been well
characterized thanks to the new data obtained through
the CLIPEX instrumentation program. A valuable
data bank for understanding of the hydro-mechanical
behavior of Boom Clay has been observed.

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Copyright 2006 Taylor & Francis Group plc, London, UK

 3 NUMERICAL SIMULATION OF
CONNECTING GALLERY EXCAVATION
Prior to excavation of the connecting gallery, blind
predictions of the HM responses of the Boom Clay
have been performed. The prediction results are after-
wards compared to the in-situ measurements. The
blind predictions are based on the 2 dimensional axi-
symmetrical modeling, using the commercial finite
difference program FLAC code, and took into account
the conditions as close as possible to the reality.
Numerical simulations were performed in the frame-
work of the soil mechanics for saturated porous media
taking into account the hydro-mechanical coupling.
3.1 Modeling hypotheses
The following main hypotheses have been adopted:
Axi-symmetric conditions.
Non influence of the 1st and 2nd shafts.
Perfect contact between the clay and the lining: the
contact behavior between them was not modeled.
Excavation was supposed under undrained condition.
3.2 Geometry
The modeling zone is concentrated on the region
around the connecting gallery and the head of Test
Drift (part of the URF before its extension, see Fig-
ure 1). The dimension of the grid is chosen as large
enough compared to the gallery radius R0 ( 2.45 m) as
indicated in Figure 7, where the reference axes are also
represented. The density of mesh is increased when
approaching the CLIPEX instrumentation.
3.3 Modeling procedure
The modeling procedure followed the construction
sequence of the URF in three major stages:
Stage 1: Test Drift excavation (only last 20 m is
considered).
Test Drift excavation was modeled in order to take
into account the complete unloading history of clay
Figure 7. Geometry of the modelling zone.
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Copyright 2006 Taylor & Francis Group plc, London, UK
massif around the target instruments around the Test
Drift.
Stage 2 : 14 years drainage around the Test Drift.
The long-term hydro-mechanical behavior during
1987 to 2001 (after Test Drift construction and before
connecting gallery excavation) was modeled by con-
sidering the drainage of the Test Drift.
Stage 3 : Connecting gallery excavation.
The construction of the connecting gallery was
modeled following its real constructing sequence:
excavation and then installation of the lining. These
two steps progressed in turn successively with the
advancing front. The excavation was modeled by
nulling an entire cross section to be excavated in a
single step in accompanying a linear relaxation of the
boundary pressure. Due to the irregular mesh size, the
length of the rounds excavated and length of the liner
varied in function of the mesh size.The elements repre-
senting the lining were activated about 3.50 m (length
of the shield + unsupported span) behind the advanc-
ing working face. The maximum unsupported span
between the rear of shield and lining segment is 1.2 m
(Figure 8).
The shield protection was numerically modeled by
blocking the convergence. The lining was represented
using classical elements with elastic model.
3.4 Initial and boundary conditions
The clay formation around the gallery is considered
as homogeneous and isotropic. The initial stresses are
supposed to be hydrostatic. In addition, the modeling
zone is supposed to be sufficiently deep so that the
variation of the stress and pore pressure with depth is
neglected. Consequently, the initial stresses and pore
pressure inputted in the model correspond to the val-
ues at depth of gallery axis (Table 1). The boundary
conditions are sketched in Figure 9.
3.5 Constitutive laws and parameters
The Boom Clay behaviour is represented by the clas-
sical elasto-perfect plasticity Mohr-Coulomb model
assigned the properties listed in Table 2.
lining shield
1.2 m 2.30 m
Figure 8. Modeling sequence of connecting gallery:
excavation lining installation.
 The main hydraulic parameters used for the simu- 30

Pore pressure ( bar )

lation are given in Table 3. Numerical results
25
20
3.6 Numerical results and comparison with the in
situ measurements Nradient among 15
Measurements
sensors 10
3.6.1 Pore pressure
Numerical prediction of the pore water pressure evo- 5
lution at the points of the piezometers installed in 0
the boreholes A2 and C2 (see Figure 2 are given in 45 35 25 15 5 -5
-5
Figure 10, in which the in situ measurements are pre- -10
sented also for comparison. It can be seen that the Distance between front and sensors (m)
pore water pressure evolution obtained by the Mohr-
Coulomb model agrees well with the general tendency a) Borehole A2 (installed horizontally along
of the in situ measurements. But, it cant produce the the axe of the gallery)
extended hydraulic disturbed zone and underestimate
the variation of the pore pressure. Numerical results
Firstly, the numerical results cant produce the exist- 25
ing in situ important pore water pressure gradients
20

Pore pressure (bar)

Table 1. Initial stress and pore fluid pressure in Boom Clay 15
around gallery. Measurements

10
Total stress 0 = h = v 4.5 MPa
Pore pressure uw 2.25 MPa
5
Effective stress 0 2.25 MPa
0
50 40 30 20 10 0 -10 -20
n=4.5MPa Distance between front and sensors (m)
b) Borehole C2 (installed in a vertical plan)

Figure 10. Pore water pressure evolution ahead of exca-

vation front (comparison numerical predictions and in situ
Boom clay measurements)
50 m

x among the sensors at each borehole before excavation

R0 Connecting Gallery Test Drift of the connecting gallery resulted mainly from the
y
60 m 20 m Test Drift excavation and long term drainage. This is
typically the case in the borehole A2 (Figure 10 a)
Figure 9. Boundary conditions. that is installed in a horizontal plan, where the natural
hydraulic gradient doesnt exists. This means that the
Table 2. Representative Mohr-Coulomb parameters for
predicted HdZ (hydraulic disturbed zone) around the
Boom Clay. Test Drift is much smaller than the HdZ in situ.
Secondly, numerical responses show that the corre-
Youngs modulus E 300 MPa sponding sensors begin to react only when the front
Poissons ratio 0.125 approached to about 25 meters before them. The
Friction angle 18 far-field responses were not reproduced.
Cohesion c 0.3 MPa
Dilation angle 0
3.6.2 Displacements
The measurements of the instantaneous radial conver-
gence of the clay through the little holes in the shield
Table 3. Hydraulic properties related to Boom clay around indicated that the shield was in contact with the clay at
depth of 225 m. its rear, over a distance of about one third to one half of
its total length. They agreed very well with the mod-
Saturated permeability Bulk modulus porosity
(m/s) (GPa) eled convergence: both the measured and the modeled
4 1012 2 0.39 convergence were about 35 mm on the radius at the
level of the rear end of the shield (Figure 11).

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Copyright 2006 Taylor & Francis Group plc, London, UK

 Distance from excavation face [cm] 4 CONCLUSIONS AND PERSPECTIVE
0 25 50 75 100 125 150 175 200 225 250
0 The in situ measurements (pore pressure, displace-
2002-03-03 ments, etc.) obtained during the excavation of the
5 model connecting gallery provided valuable data for the val-
Radial convergence [mm]

idation of the constitutive models for the Boom Clay.

10
The most important observation is that the zone dis-
15 turbed by excavation extends very far in the massif
that cant be replicated numerically by a classical con-
20 stitutive law, which gives however good prediction
in terms of the displacement. Numerical sensibility
25 studies using more sophisticate constitutive law like
30 Dafalias-Kaliakin or Van-Eekelen law, which can take
into account progressive transition of elasto-plasticity,
35 showed that they can produce actually larger HdZ,
but also larger displacements. This contradiction is
Figure 11. Instantaneous radial convergence prediction. still a pending issue for proper understanding of the
hydromechanical behavior of Boom Clay. Deep lab-
oratory and numerical studies are ongoing in order
140 to better understand this observed far-field hydrome-
120 chanical behavior. They concentrate on developing a
100 hydromechanical model considering the fracturation
daxial [mm]

80 measurements process, suction effects and the delayed effects through

the viscosity of the clay skeleton.
60
40 numerical result
20 ACKNOWLEDGEMENT
0
-10 -20 -30 -40 -50 -60 -70 -80 -90 The authors gratefully acknowledge the support of the
Excavation front position (m) European Commission for the CLIPEX project.
Figure 12. Axial convergence prediction.
REFERENCES
Detailed analysis of the readings of the extensome- Bastiaens, W., Bernier, F., Buyens, M., Demarche, M., Li,
ter in the borehole A2 suggested that the different X.L., Linotte, J.-M. & Verstricht, J. 2003. The connect-
sensors behave as one piece, and were related to a ing gallery the extension of the HADES underground
point rather close to the Test Drift front (5-8 m before research facility at Mol, Belgium. EURIDICE report
03-294. Mol: EIG EURIDICE.
the test drift front). Modeled axial displacement of
Bernier, F., Li, X.L., Verstricht, J., Barnichon, J.D., Labi-
this equivalent point agrees very well with the in- ouse, V., Bastiaens, W., Palut, J.M., Ben Slimane, K.,
situ measurements. But again, the far field behavior Ghoreychi, M., Gaombalet, J., Huertas, F., Galera, J.M.,
was not reproduced numerically, since the sensors Merrien, K., Elorza, F.J. & Davies, C., 2002. CLIPEX.
react very late comparing to the in situ measurements Report EUR 20619, Luxembourg: Commission of the
(Figure 12). European Communities.

472

Copyright 2006 Taylor & Francis Group plc, London, UK

 EUROCK 2006 Multiphysics Coupling and Long Term Behaviour in Rock Mechanics
Van Cotthem, Charlier, Thimus & Tshibangu (eds)
2006 Taylor & Francis Group, London, ISBN 0 415 41001 0

Influence of topographic roughness on the stress state in

a sloped rock-mass

V. Merrien-Soukatchoff
LAboratoire Environnement Gomcanique Ouvrages, Ecole des Mines, Nancy, France

J. Sausse
UMR CNRS, Universit Henri Poincar-Nancy, Vandoeuvre-ls-Nancy, France

C. Dnner
INERIS, Ecole des Mines, Nancy, France

ABSTRACT: Although stress states in the ground are seldom well known with precision, such is especially
true in slopes where the boundaries and initial conditions as well as topographic variations are difficult to
grasp. As with other sites, it proves difficult to replicate the history of the tectonic stages the ground has
undergone. The stress state close to the topographic surface is quite heterogeneous and strongly correlated with
the topographic fluctuation, i.e. the so-called topographic roughness. Moreover, stress measurements in slope
are also rare, particularly close to the surface. In order to better understand rockfalls, a multidisciplinary study
is being conducted on the Rochers de Valabres slope (Frances Southern Alps region). One component of
this study will focus on both stress and stress variation measurements. To appropriately design this experiment,
computations of the influence of topographic roughness on the stress state have been undertaken. This paper
will describe the primary results derived from this purely-computational step of the analysis. The influence of
topographical variation could initially be shown from simple computations on the steady roughness. To evaluate
stresses caused by the entire slope, it becomes necessary to seek a position under a limit plane, located beneath
the topographic roughness. Several 2D cross-sections generated from a 3D Digital Elevation Models (DEM) of
the site have allowed estimating a topographic roughness on the order of 10 m around the average plane. The
limitations inherent in this analysis (2D, cross-correlation not taken into account, etc.) will be discussed herein,
along with as a comparison of steady roughness and an actual cross-section of the topography.

1 INTRODUCTION computations have been run within the framework of

One of the uncertainties the geotechnical engineer
must confront when working on slope problem
concerns the stress state adjacent to a rough and
topographically-complicated surface. No means are
available to evaluate stresses in a non infinite and elas-
tic slope as opposed to tunnels for which analytical
solutions exist. As is the case with other ground-
related problems, the stress state in slope is led to a
complicated and partially unknown tectonic history.
Moreover, boundary conditions are difficult to estab-
lish. Nonetheless, stresses near the topographic sur-
face exert influence on stability or on the development
of instabilities.
Numerical modeling may be employed to better
grasp, part of the problem: this paper has been devoted
to numerically analyzing the influence of he topo-
graphic fluctuations, which we shall call herein the
topographic roughness on the stress state. These
a multidisciplinary research project involving stress
measurements in a slope, for the purpose of evaluat-
ing the required-investigation depth. The last section
of this paper will provide some orders of magnitude
for the ongoing experiment.
2 THE STUDY SITE
In order to better understand rockfalls a multidisci-
plinary study is being conducted on the Rochers
de Valabres slope in Frances Southern Alps region
(Gunzburger et al. 2004, 2005).A segment of the future
studies will consist of both stress and stress varia-
tion measurements (due essentially to thermal varia-
tions). In order to appropriately design this experiment,
some computations of the influence of topographic
roughness on the stress state have been undertaken.

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Copyright 2006 Taylor & Francis Group plc, London, UK


Figure 1. Location of the Gorges de Valabres within the
Southern French Alps.
The stress state in this slope is correlated with the
tectonic history, boundary conditions and geometry
(fracturation and topographic roughness). The study
area at the Rochers de Valabres site constitutes a
small portion (ranging from 700 m to 900 m) of a slope
more than 2000 m high as shown using a frontal view
in Figure 2 and as a cross-section in Figure 3.
Many aspects need to be studied in order to fully
grasp the stress state; this paper however will simply
focus on topographic roughness. To derive an order of
magnitude for this topographic roughness and to study
its influence on our site we have run a simplified 2D
model of the slope prior to analyzing a number of 2D
cross-sections (see Fig. 4) obtained from a 3D Digital

Figure 2. Rochers de Valabres study area within the Gorges de Valabres Valley in the Southern French Alps (Gunzburger,
2004).

Figure 3. Location of the study area within a cross-section (extract from Gunzburger 2004).

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Copyright 2006 Taylor & Francis Group plc, London, UK

 3084 m

3078 m
Figure 4. MNT of the study area showing the location of
cross-sections locations gOcad (Earth Decision Sciences,
LIAD-ENSG) pictures (Mallet 2002). Figure 5. Simplified topography of the Valabres slope and
dimensions.

Elevation Model (DEM) realized after data collected

by laser scanning.The system used is the RIEGL LMS-
Z420i acquired by the ATM 3D Company (Delacourt
et al. 2006).

3 INFLUENCE OF SIMPLIFIED
TOPOGRAPHIC ROUGHNESS

We initially modeled a simplified topography of the

slope represented in Figure 5, and then proceeded
by testing various levels of topographic roughness
in the steepest part of the slope were tested. Fig-
ure 6, for example, provides the model output when
run with a topographic roughness of 50 m. It may
be noted that with such models, the left boundary of Figure 6. Major principal stress variations for a topographic
the model corresponds to the top of the mountain and roughness of 50 m over the left part of the slope (Scale 1).
the right boundary to the lowest point of the valley.
The mountain-top and the valley floor are considered
as axes of symmetry (i.e. another valley or mountain
lies adjacent to them); consequently, horizontal dis-
placements are fixed. The models run are quite large
since it proves essential to include both the highest and
lowest points of the cross-section in order to accurately
evaluate stresses (Merrien-Soukatchoff et al. 2000).
The computations run with software CESAR-LCPC
v4 (CESAR-LCPC v4, 2003) are elasto-plastic, but
very little plasticity appears in the models except occa- Figure 7. Close-up view of the models showing major prin-
sionally at the foot of the model. The stresses are cipal stress variations for a topographic roughness of 0 and
computed by simulation an excavation starting from 50 m (Scale 1).
geostatic stress state with a K ratio of 0.5.
Figures 7 and 8 indicate the influence of the topo- the scales used for the major principal stress varia-
graphic roughness on the major principal stresses tions were made to be similar. To point out the surface
using a close-up of the models applied. variations two distinct scales have been introduced.
In order to facilitate comparison among the various The first, called Scale 1 uses ten levels between 0 and
images displayed in most of the subsequent figures, 7.7 104 kPa (the maximum of the major principal

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Copyright 2006 Taylor & Francis Group plc, London, UK


Figure 8. Close-up view of the models showing major prin-
cipal stress variations for a topographic roughness of 0 and
50 m (Scale 2).
Figure 9. Mean topographic surface and limit surface of the
influence of topographic roughness (Scale 1).
stress in compression). The second Scale 2 shows
five levels between 0 and 1 104 kPa. This scale
allows determining the surface effect of topographic
roughness.
These results prove that in order to estimate the
stresses resulting from the influence of the entire
slope, measurements must be positioned below a limit
surface (see Fig. 9) bounded by the topographic rough-
ness. Above such a surface, the stress state is tied to
the topographic roughness. On the contrary, surface
rock-falls correlated with this roughness imply that
topographic variations must be known accurately in
order to effectively evaluate the risk of surface rup-
ture, especially that due to hydro-thermo-mechanical
effects. Lets keep in mind however that this model-
ing set-up has not taken into account either the role
of fractures or 3D aspects, both of which can heavily
affect the stress state.
476
Copyright 2006 Taylor & Francis Group plc, London, UK
Figure 10. Topographic variation around the mean topo-
graphic surface (gOcad Picture).
Figure 11. Major principal stress variations with real topo-
graphic variation at the lowest right part of the slope.
4 THE VALABRES TOPOGRAPHIC
ROUGHNESS
The order of magnitude of topographic roughness at
the Valabres site has been derived from a Digital Ele-
vation Model (DEM). Figure 11 depicts the variations
around the mean topographic plane horizontally tipped
upwards.
2D cross-sections have allowed evaluating topo-
graphic roughness from 6 m to 10 m (98% confi-
dence interval, corresponding to twice of the standard
deviation). This step then led to drilling a borehole
over 20 m long (according to Fig. 9) in order to analyze
the stress state due to the entire slope by over-coring
method. This analyze was realized using gOcad geo-
modeller Earth Decision Sciences, LIAD-ENSG
(Mallet 2002).
Figure 11 shows the full model generated that takes
into account the real topography of cross-section N 4
at the in the lowest right part of the slope. This topog-
raphy exerts no influence on the overall profile of
the major principal stress, however the stress distri-
bution, when examined next to the foot of the slope it
is clearly perturbed by this topography (as indicated in
Figure 12) with in particular fewer higher stresses than
in the case of a regular slope. Figures 13 and 14 serve
to compare the major principal stresses in both cases.
Figure 13 reveals that the zone comprised between

Figure 12. Major principal stress variations with real topo-
graphic variation close-up of the lowest right part of the slope
(Scale 1).
Figure 13. Major principal stress variations without topo-
graphic roughness and with a real topographic variation
(close-up of the lowest right part of the slope) scale specified
in the box.
0.10 and 0.05 105 kPa is much larger for the reg-
ular slope and extends until reaching the surface. The
same observation can be made in Figure 14 for the
zone above 1 10 kPa. At the other end, the zone con-
tained between 0.67 and 0.33 104 kPa moves lower
and is much larger in the case of the real topographic
surface.
5 RESULTS FROM INITIAL MEASUREMENTS
In November 2005 stress measurements (using over-
coring method) were conducted from the former road
(See Fig. 1) on a horizontal borehole beginning at a
point between cross-sections 3 and 4. These measure-
ments have not yet been totally analyzed as of the
477
Copyright 2006 Taylor & Francis Group plc, London, UK
Figure 14. Major principal stress variations without topo-
graphic roughness and with a real topographic variation
(close-up of the lowest right part of the slope) scale 2.
Figure 15. Major principal stress variations with real topo-
graphic variation of cross-section 4. Close-up of the lowest
right part of the slope: in blue the major principal stresses
greater than 5 MPa Scale specified in the box.
present day, but initial tests reveals that at a depth
of 2 meters the major principal stress exceeds 5 MPa
which is somewhat surprising for surface measure-
ments, but this finding still complies with the modeling
set-up. Figure 15 shows the approximate position of
the borehole on cross-section 4 along with the 5 MPa
limit. Within a concave zone, such as the road the
excess stress may be sizable. This result also confirms
that in order to evaluate the stress state at the lowest
part of a slope it is necessary to incorporate the geome-
try until reaching the mountaintop. If the area modeled
were reduced to the gray area shown in Figure 16, the
stress evaluation would be altered as depicted in Fig-
ure 17. The stress variations would in fact be quite
different especially within the circular zone.

1616 m
1008 m
3084 m
3078 m
Figure 16. Dimensions of the entire model and in gray for
a reduced-scale model.
Figure 17. Comparison of major principal stress variations
Close-up of the lowest right part of the slope: in blue the major
principal stresses greater than 5 MPa with the entire model
(left) and the reduced-scale model (right) Scale specified
in the box (idem Figure 15).
These results need to be confirmed both by a more
accurate interpretation of the stress measurements
and by modeling the precise cross-section including
the borehole position (the initial findings nonetheless
remain quite instructive).
Lets note herein that these computations did not
take the third dimension into account. We may even-
tually consider the slope to be convex in the third
dimension and treat the problem as axisymmetrical.
Computations with this hypothesis lead to a feature
different than plane deformation, however at present
no such feature can either be confirm or refuted.
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Copyright 2006 Taylor & Francis Group plc, London, UK
6 CONCLUSIONS
This paper has examined the impact of topographic
roughness on the stress state. Computations have
shown that in order to effectively evaluate the stress
state at a depth of greater than twice the topographic
roughness at the foot of a slope, it is necessary to model
the entire slope. Moreover, generating an accurate rep-
resentation of the topographic roughness is required
for evaluating stresses below twice the topographic
roughness elevation, with this being especially true
immediately adjacent to the surface. The initial stress
measurements results serve to confirm both the sig-
nificance of topographic roughness and the need to
incorporate topography until reaching the summit of
the mountain. These findings must still be confirmed
by further interpretative work on the Valabres site.
ACKNOWLEDGMENT
The authors would like to thank D. Remaud (Itech
Company) for his help, concerning the model mesh
realization.
REFERENCES
Delacourt, C., Allemand, P., Berthier, E., Raucoules, D.,
Casson, B., Grandjean, P., Pambrun, Varel, E. 2006.
Remote-sensing techniques for landslides surface dis-
placement analysis, submitted to Bulletin de la Socit
Gologique de France.
Gunzburger,Y., Merrien-Soukatchoff, V., Guglielmi,Y. 2005,
Influence of daily surface temperature fluctuations on rock
slope stability: Case study of the Rochers de Valabres
slope (France), International Journal of Rock Mechan-
ics and Mining Sciences, Vol. 42, n 3 (April 2005), pp.
331349.
CESAR-LCPC v4.2003. Finite Element Code CESAR-
LCPC v4, User manual, ed.itech-LCPC. www.cesar-
lcpc. com.
Gunzburger, Y., Merrien-Soukatchoff, V., Senfaute, G.,
Guglielmi,Y., Piguet, J.P. 2004. Field investigations, mon-
itoring and modeling in the identification of rock fall
causes. Proceedings of the Ninth International Sympo-
sium on Landslides (ISL), Rio de Janeiro (Brazil), June
28July 2, 2004.
Gunzburger, Y. 2004. Rle de la thermique dans la prdispo-
sition, la prparation et le dclenchement des mouvements
de versants complexes. Exemple des Rochers de Val-
abres (Alpes-Maritimes). Ph.D. thesis, LAEGO, Ecole des
Mines, INPL, France, 17/12/2004, 174 p. + Appendix.
Mallet J.L. 2002. Geomodeling. Applied Geostatistics.
Oxford University Press.
Merrien-Soukatchoff, V., Omraci, K. 2000. Dtermination
des conditions aux limites pour un calcul de stabil-
it de talus, Revue Franaise de Gotechnique, No. 92,
pp. 3139.
 EUROCK 2006 Multiphysics Coupling and Long Term Behaviour in Rock Mechanics
Van Cotthem, Charlier, Thimus & Tshibangu (eds)
2006 Taylor & Francis Group, London, ISBN 0 415 41001 0

Failure mechanisms of the Opalinus Clay around underground

excavations

T. Vietor & P. Blmling

NAGRA, Wettingen, Switzerland

G. Armand
ANDRA, Bure, France

ABSTRACT: Time-dependent deformation mechanisms control the long-term evolution of fractures around
excavations in the Opalinus Clay, the proposed host rock for high level nuclear waste in Switzerland. Here we
present borehole and surface extensometer data from a recently excavated gallery in the Mont Terri underground
rock laboratory extending from the excavation in August 2003 to May 2005. These data, as well as field obser-
vations and numerical analysis indicate that during the excavation and in the post excavation phase deformation
is dominated by the reactivation of pre-existing weaknesses. Borehole extensometers show that the fractures
continue to open over the entire monitoring period. However, the deformation in the nearfield of the excavation
detected with borehole extensometers up to a distance of 2.5 m from the tunnel wall are insufficient to account
for the tunnel convergence. This suggests that deformations induced by excavations in the Opalinus Clay affect
regions far beyond the immediate vicinity of the tunnels. The time dependence of the deformation is closely
reflected by pore pressure data which indicates a strong coupling between mechanical and hydraulic processes.

1 INTRODUCTION uplifted and folded during the Late Miocene compres-

The search for a repository for high-level radioac-
tive waste in Switzerland is focussed on a marine,
weakly lithified claystone the Opalinus Clay. The
long-term time-dependent deformation characteristics
of this rock control the evolution of the excavation
damaged zone (EDZ) around underground openings
and hence are a subject of current research. The dis-
continuities formed within the EDZ represent one of
the possible pathways for the migration of radionu-
clides towards the surface. The understanding of the
controls on their creation and evolution will built
confidence in the performance assessment of nuclear
waste repositories in claystone host rocks.
In this paper we present new deformation data from
a recently excavated gallery in the Mont Terri under-
ground rock laboratory (URL) in the Swiss Jura and
conclude towards the deformation mechanisms that
control the long-term evolution of EDZ structures in
the strongly anisotropic Opalinus Clay.
sion of the Swiss Jura (Fig. 1). At the Mont Terri site
the Mesozoic sediments of the Swiss Jura have been
sheared off from the underlying basement along a Keu-
per salt detachment at a depth of 1 km and have been
deformed into a wedge of wide-spaced east-west strik-
ing anticlines. Contemporaneous north-south striking
normal faults are considered to have triggered the for-
mation of lateral ramps and oblique transfer structures
in the overthrust sequence.
Moment tensor solutions of recent earthquakes
show that the present stress field is generally compat-
ible with the Miocene deformation field and that the

2 THE MONT TERRI UNDERGROUND

ROCK LABORATORY

2.1 Geology
Figure 1. Geological section of the underground rock lab-
The Mont Terri underground rock laboratory is situ- oratory (URL) in the Mont Terri Anticline (simplified after
ated in a portion of the Opalinus Clay that has been Freivogel, 2001).

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Copyright 2006 Taylor & Francis Group plc, London, UK

 largest far-field horizontal stress strikes approximately
north-south.
The Mont Terri rock lab in the Opalinus Clay is
located within the southern limb of the Mont Terri anti-
cline (Fig. 1) where bedding dip averages around 40 .
Fluvial erosion, especially during the Quaternary, has
deeply incised the landscape. The present position of
the URL is a few tens of meters above the surrounding
valley floors.
2.2 Virgin stress state in the Opalinus Clay
The present estimate of the stress tensor (Table 1,
Fig. 2) relies on the combination of the in-situ stress
determinations, hydrofrac tests, pore pressure mea-
surements and observations of borehole breakouts.
Within the uncertainties that have to be assigned to
the orientation of the stress tensor its principle direc-
tions are aligned with the local geological structures.
The stress state is extensional (Table 1): 1 is subver-
tical, 2 is normal to the strike of the major thrust in
the core of the anticline and to minor thrusts observed
throughout the lab, 3 is parallel to the strike of the
anticline and normal to the numerous minor normal
faults observed in the URL. The subvertical orienta-
tion and the magnitude of 1 were deduced from the
pore pressure variations around the tunnels and thick-
ness of the overburden. The magnitude of 2 could
be constrained by hydrofrac tests. The magnitude of
3 (2.2 MPa) is only loosely constrained and must be
Table 1. Preferred stress tensor estimate based on a combi-
nation of in-situ measurements, hydrofrac tests, pore pressure
measurements, borehole breakouts.
Orientation
Magnitude
Setting (MPa) Azimuth
1 (max.)
6.5 210
2 (interm.) 4.3 320
3 (min.) 2.2 050
corresponds to overburden.
Figure 2. Estimates for principle stress directions from vari-
ous methods (a) and orientation of geological structures (b) in
the Mont Terri URL (Martin and Lanyon, 2003).
Copyright 2006 Taylor & Francis Group plc, London, UK
considered a rough estimate, only. It differs from the
estimate by Martin and Lanyon (2003) who suggested
0.6 MPa. Numerical modeling revealed that tunnels
would be unstable in general if the minimum prin-
cipal stress was smaller than the sum of pore pressure
(up to 2 MPa) and the tensile strength of the rock. As
no significant general instabilities have been observed
in the URL it was concluded that 3 must be at least
2.2 MPa.
3 DEFORMATION ON THE TIME-SCALE
OF DAYS: EXCAVATION OF THE
EZ-A NICHE
3.1 Observations
Deformation data that constrain the time-dependent
deformation around the Mont Terri galleries could be
collected during the recent excavation of the EZ-A
niche (Fig. 3a). The first part of the niche was exca-
vated using a road-header parallel to the strike of the
Dip
70
10
15
Figure 3. (a) EZ-A niche in the shaly facies of the Opal-
inus Clay with the position of the deformation sensors at
TM-12 (data in Figs. 5 and 7). (b) Excavation progress of
the niche. Convergence measurements started on September,
1st. First indications for extensive failure in the tunnel wall
were noted by personnel on Sept., 9th when cracks showed
up in the shotcrete lining that continuously expanded. After
evacuation of staff and equipment approximately 130 m3 of
rock from the crown fell into the tunnel on September, 11th
and 12th. The failure advanced progressively into the tunnel
crown increasing the dimension of the tunnel in the direction
normal the bedding (Fig. 4).
480
 bedding between August, 12th and September, 11th reach up to 18 mm. This suggests that the borehole
2003 (Fig. 3b). extensometers record only a limited portion of the
The deformation associated with this operation was deformation in the tunnel wall.
recorded by surface extensometers and two borehole
extensometers installed on September, 1st (Figs. 3, 4).
Up to September, 4th the niche face advanced away
from the profile in the course of the ongoing exca- 3.2 Numerical analysis
vation and the deformation rates at TM 12 generally
In an attempt to understand the mechanisms that
decreased. However, steps in the data indicate repeated
were responsible for the rock fall in the EZ-A niche
accelerations possibly associated with local failure in
a numerical analysis was performed. The model is
the tunnel wall. On September, 4th the extensions
using constitutive laws developed for Opalinus Clay
had reached 4 mm in the bedding normal (Fig. 5c)
in the Zuercher Weinland (Nagra, 2002) with modifi-
and 1 mm in the bedding-parallel borehole (Fig. 5b).
cations of the parameters to account for the different
After that, the data of the bedding-normal borehole
conditions at Mont Terri (different burial history).
extensometer BEZ-A26 are spiky and appear unre-
liable. Possibly the rock surrounding the borehole
became completely detached on September, 4th and
subsequently moved without internal deformation. 80

During a subsequent interruption of the excavation OE3 OE2

OE1 mm
60 OE2 mm
the niche face was located 8 m from the deformation OE4 OE1
OE3 mm
and the rates recorded by the sensors further decel- 40
OE4 mm
Deformation (mm)

erated until September, 9th. Then, mining activities

restarted and the deformation rapidly accelerated, ulti- 20

mately leading to the onset of rock fall on September,

0
11th and 12th. This last phase is only recorded by the
bedding parallel borehole extensometer (Fig. 5b) and -20

the highest convergence rates parallel to the bedding

(1.5 mm/day) are coeval with the highest rock fall rates -40
31.8.03 2.9.03 4.9.03 6.9.03 8.9.03 10.9.03 12.9.03 14.9.03 16.9.03 18.9.03 20.9.03
on September, 12th. The situation could be stabilized a) Date

later during that day with the help of numerous anchors 0

around the niche entrance (TM-0 in Fig. 3a) and the EZ-A Downhole extensometer EEZ-A25
parallel to bedding
application of 20 cm of shotcrete. -1

Comparison of the data from the surface exten-

Deformation (mm)

-2
someters (Fig. 5a) with the borehole values shows that
the latter recordings are much smaller. Such a com- -3

parison of the borehole and surface data requires great -4

Reihe1
caution because only relative displacements between Reihe2
arbitrarily placed points in a complex deformation -5 Reihe3
Reihe4
field are determined. However, it may be noted that -6
on September, 4th the bedding normal extensometer 31.08.03 02.09.03 04.09.03 06.09.03 08.09.03 10.09.03 12.09.03 14.09.03 16.09.03 18.09.03 20.09.03
b) Date
has accumulated only some 4 mm of extension while 0
the convergence measurements on the tunnel surface EZ-A-26-1 mm
EZ-A-26-2 mm
EZ-A-26-3 mm
-1
EZ-A-26-4 mm

-2
Deformation (mm)

-3

-4

-5

-6
31.8.03 2.9.03 4.9.03 6.9.03 8.9.03 10.9.03 12.9.03 14.9.03 16.9.03 18.9.03 20.9.03

Figure 4. (a) Geometry of the original profile at TM 12 with
position of surface and downhole extensometers. (b) Geome-
try of the tunnel after the rock fall. Position of extensometers
as indicated. Length of borehole extensometers is 2.5 m.
Date
c)
Figure 5. Evolution of deformation (a) at the tunnel surface,
(b) in bedding-parallel borehole and (c) in bedding normal
borehole at position TM-12 (Fig. 3). Contraction is positive.

481

Copyright 2006 Taylor & Francis Group plc, London, UK

 Figure 6. Pseudo-2D numerical hydromechanically cou-
pled model with anisotropic strength and permeability (bed-
ding dips 45 to the left). Post-failure strength and stiffness
reduction leads to time-dependent growth of the failed region
and reproduces the geometry of the breakouts around the
EZ-A niche (Konietzky and Blmling, in prep).
The numerical modeling showed that two factors
favor the development of large breakouts: (1) very
weak bedding planes or similar oriented faults in order
to initiate failure and (2) a significant reduction of stiff-
ness and strength in the EDZ. Tensile failure at high
angle to bedding appears to be a minor contribution to
the rock fall.
4 DEFORMATION IN THE EZ-A NICHE ON
THE TIMESCALE OF MONTHS
The deformation sensors were reinstalled at position
TM-12 (Fig. 4) after the clearing and renovation of the
niche in February 2004. Long-term data from these
instruments are reproduced in Fig. 7.They indicate that
stress redistributions due to excavations result not only
in short term deformations but also induce continuous
deformation lasting over several months and possibly
years.
Long term monitoring also shows that renewed dis-
turbance of the systems even at remote distances
results in increased deformation rates. Such an acceler-
ation is recorded during the excavation of the Gallery
04 and the prolongation of the EZ-A in September
and November 04 (Fig. 7). During this operation the
distance between the sensors and the respective exca-
vation sites was always larger than 20 m (>4 times
the tunnel diameter). We think that this observation
cannot be explained by mechanical changes only, but
requires pore pressure redistributions that reach far
beyond the excavation site. Hence we suggest that the
hydromechanical coupling in the system is strong.
Throughout the observation period the deformation
data are strongly anisotropic. Convergence normal to
482
Copyright 2006 Taylor & Francis Group plc, London, UK
Figure 7. Long-term monitoring of deformation in the
failed section after reinstallation of sensors. (a) Borehole
extensometers BEZ-A29 and BEZ-A30 are oriented normal
and parallel to bedding, respectively (Fig. 4). (b) Surface
extensometers. Compression is positive.
the bedding (in the direction of the break out) is fastest
while the convergence parallel to the bedding is slow or
even reverses to divergence (shortening within the tun-
nel wall). This suggests that the anisotropy is a major
controlling factor not only on the time scale of days
but also on the time scale of months to years.
One of the reasons for this long term behavior
may be the progressive opening of excavation induced
bedding-parallel discontinuities. Evidence for this can
be found in the long-term deformation data. For exam-
ple, the deepest sensor of the bedding normal borehole
(BEZ-A29-1) records extension while the remaining
ones closer to the tunnel are in compression (Fig. 7a).
This indicates that a discontinuity between 2.5 and
1.2 m from the tunnel wall keeps opening even months
and years after the excavation.
Similar to the short-term data, the long-term obser-
vations show a discrepancy between the magnitudes
of the surface deformations and the borehole record-
ing. The latter appear to be much smaller than the
former (Fig. 7) suggesting that only a portion of the
tunnel convergence can be explained by deformation
within the reach of the borehole extensometers, e.g. the
first 2.5 m. The major part of the tunnel deformation
is apparently produced by far field convergence and
possibly by the opening of discontinuous fractures at
 distances from the tunnel larger than 2.5 m. This view
is also supported by the numerical calculations. Here
failure reaches more than one diameter (>5 m) into
the tunnel wall (Fig. 6).
5 DISCUSSION: EDZ STRUCTURES IN THE
OPALINUS CLAY AND TIME DEPENDENT
DEFORMATION
5.1 EDZ structures and short term deformation
Failure around the excavations of the Mont Terri URL
can be directly observed from deformation sensors at
the surface and with the help of boreholes- within
the host rock. Here we classify the excavation induced
deformations into two general groups according to
their orientation:
(1) displacement on new fractures at high angles to
the bedding planes where orientation is controlled
by excavation induced stresses.
(2) displacement along bedding planes or bedding
parallel faults where the material anisotropy con-
trols the orientation.
The first group comprises mostly extensional brit-
tle features parallel to the tunnel axis normal to the
orientation of the local least principle stress. These
fractures can be closely spaced (>5/m) and follow the
tunnel contour for up to 45 . These extensional fea-
tures lead to rock dilatancy and volume increase of the
deforming tunnel wall. Convergence subsequent to the
fracture initiation can lead to buckling of the spalled
rock into the excavation. Field observations show that
the shear displacements on these fractures are small
and that their surfaces are rough, thus maintaining rel-
atively high residual strengths. This is confirmed by
rock mechanics test in which the residual friction of
the failed matrix is only slightly reduced relative to the
intact friction.
The second group comprises bedding planes and
bedding-parallel tectonic slip planes. Geological map-
ping revealed several subsets of minor bedding-
parallel thrusts with slightly different orientations that
form an intersecting network of planes of weakness.
They are subparallel to the fold axis of the anti-
cline and slickensides indicate exclusively dip slip
motion. Fibre growth on these discontinuities has
produced extremely smooth surfaces with very low
strength values. The density of this network of faults
varies strongly throughout the different parts of the
Underground Rock Laboratory.
The observation in the Mont Terri underground
rock laboratory discussed in the previous chapters sug-
gest that deformation along discrete structures during
the excavation process is mainly controlled by pre-
existing planes of weakness e.g. bedding planes or
in the case of the EZ-A niche the bedding-parallel
483
Copyright 2006 Taylor & Francis Group plc, London, UK
Figure 8. Opening of pre-existing planes of weakness by
buckling in a one inch borehole oriented parallel to the EZ-A
niche. (Photo: Comet, Zrich).
tectonic fractures (Fig. 8). Newly formed stress con-
trolled structures around the tunnels at high angle to
the bedding appear to be less important.
5.2 Long term deformation processes
Long-term monitoring data indicate that deformation
rates decline rapidly after the end of mining activities.
However, they remain clearly detectable for months
and even years. Nearby excavations invariably lead to
accelerations of the deformation rates. Discontinuities
continue to open in the vicinity of the excavations,
however, the deformation recorded in the near field are
probably unable to account for all of the tunnel conver-
gence. Hence far field processes (e.g. creep) are likely
to contribute to the observed tunnel convergence.
The only data that have the same characteristic
time scales as the deformation data are pore pressure
recordings in the EDZ. Pore pressure increases as a
result of the compaction in the highly stressed vicin-
ity of the excavation and only later is drained into the
opening. This equilibration of pore pressures requires
long time spans as the Opalinus Clay has a very low
and anisotropic hydraulic conductivity (Nagra, 2002).
Thus we speculate that the hydromechanical coupling
is the key to explain most of the time-dependent
deformation processes.
6 CONCLUSIONS
Deformation has been monitored in the EZ-A niche of
the MontTerri underground rock laboratory during and
for almost two years after the excavation. Short term as
well as long term data indicates that discrete fractures
are generated and remain active for long timespans.
On the timescale of days to years pre-existing dis-
continuities absorb most of the deformation. This is
also supported by numerical modelling that reproduces
 the observed breakout geometries by assuming weak
bedding planes with low peak and residual strengths.
Long term monitoring of deformation shows a
deformation rate evolution that has a similar time scale
than pore pressure data. Hence we conclude that in our
example the two processes are strongly coupled and
that pore pressure introduces a time dependency into
the instantaneous stress reorganizations along the new
excavations.
REFERENCES
Freivogel, M. 2001. Diplomkartierung im Gebiet La Croix
Mont Terri (JU). Unpublished Diploma Thesis: Univ. of
Basel.
484
Copyright 2006 Taylor & Francis Group plc, London, UK
Konietzky, H.K & Blmling, P. In prep. Numerical analysis
of rock fall in strongly anisotropic shale. A case study from
the Swiss Jura.
Martin, C.D. & Lanyon, G.W. 2003. Measurements of in-
situ stress in weak rocks at Mont Terri Rock Laboratory,
Switzerland. Intern. J. Rock Mechanics and Mining Sci.,
40, p. 10771088.
Nagra, 2002. Projekt Opalinuston Synthese der geowis-
senschaftlichen Untersuchungsergebnisse. Entsorgung-
snachweis fr abgebrannte Brennelemente, verglaste
hochaktive sowie langlebige mittelaktive Abflle. Nagra
Technischer Bericht, NTB 0203, Wettingen, Schweiz,
www.nagra.ch.
 3.3 Numerical simulations

Copyright 2006 Taylor & Francis Group plc, London, UK

 EUROCK 2006 Multiphysics Coupling and Long Term Behaviour in Rock Mechanics
Van Cotthem, Charlier, Thimus & Tshibangu (eds)
2006 Taylor & Francis Group, London, ISBN 0 415 41001 0

Physical modelling and numerical simulation of long-term deformation

behaviour of indurated clay with special consideration of anisotropic effects
and in situ measurements

O. Czaikowski & K.-H. Lux

Professorship for Waste Disposal and Geomechanics, Clausthal University of Technology, Germany

ABSTRACT: The final disposal of radioactive waste in deep geological formations is investigated worldwide.
To provide a basis for physical modelling of the (thermo-) mechanical processes at first and hydraulic processes
later on of argillaceous rock formations and backfill materials in safety analyses, the constitutive model Hou/
Lux-T has been developed. Within the scope of an intensive validation process of this constitutive model the
quality of its prediction capacity has had to be reviewed. For that reason the results of numerical simulations
have been exemplarily applicated to in situ measurements and observations that have been made during the
excavation and operation of drifts in argillaceous rock mass in Germany over a period of more or less 15 years
now. In this paper selected results of a case study dealing with a comparison between long-term deformation
data from in situ measurements and calculated data from numerical simulations with special consideration of
anisotropic effects will be presented.

1 INTRODUCTION barriers when submitted to various types of thermal,

The final disposal of radioactive waste in deep geolog-
ical formations is investigated worldwide considering
different rock types like salt, claystone or clay and
granite as well as tuff. In order to find a location
in Germany suitable for the final disposal of all
kinds of radioactive waste, an expert team (AkEnd
Arbeitskreis Auswahlverfahren Endlagerstandorte)
has developed criteria and a procedure for identifying
and selecting the best possible radioactive waste repos-
itory site. In this context from the rock-mechanical
perspective, sites are regarded as favourable and eco-
nomically optimal, if the rock mass itself constitutes
the main load-bearing element, if secondary perme-
ability due to influences determined by excavation and
waste is to be expected only to a limited degree, and
if support material is needed only for the protection
i.e. stabilization of contour zones of the underground
openings. With regard to the site selection proce-
dure it is necessary to prove the criteria favourable
rock-mechanical conditions on the basis of rock-
mechanical investigations based on underground mea-
surements in the relevant host rocks, e.g. argillaceous
rock mass.
In the past several underground rock laboratories
have been constructed in different rock formations for
characterizing geological formations with respect to
radioactive waste disposal and safety assessment, for
identifying the behaviour of natural and engineered
hydraulic, mechanical and chemical impacts (THMC)
and to obtain special experiences with various disposal
techniques.
In Germany the knowledge with respect to salt
formations seems to be advanced but regarding argilla-
ceous rock mass formations the own experienced
knowledge is more or less limited to some geological
and geomechanical experiences and observations that
have been made in context with tunnelling on one hand
and with mining as well as specialized research work
at the site of a former iron-ore mine on the other hand.
The following Section 2 of this paper gives a short
overview about the material behaviour of claystone.
Section 3 describes the general aspects for labora-
tory testing and numerical simulations in argillaceous
rock formations and points out the fundamental neces-
sity for the enlargement of the Hou/Lux-T constitutive
model documented in Section 4. The back analysis
of in situ data in comparison with results of numer-
ical simulations is described in Section 5. Section 6
finally gives a brief resumption and some concluding
remarks.
2 MATERIAL BEHAVIOUR OF CLAYSTONE
The experiences with the material behaviour of clay-
stone according to Lux et al. (2005) show so far that
the mechanical behaviour of indurated clays is mainly

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Copyright 2006 Taylor & Francis Group plc, London, UK

 dominated by the geotectonic genesis. This means
claystone with the same mineral composition can show
quite different mechanical properties, depending on
the regional geotectonic history.
To describe the evolution of the excavation damage
zone (EDZ) in time and space (initial, transient, long
term phases) by numerical modelling, the material
properties have to be identified, understood, physically
modelled and quantified on the basis of lab tests.
Concentrating on indurated clays the mechanical
behaviour of the rock mass next to an excavation is
influenced by
the anisotropic primary stress state and the orienta-
tion of the excavation to the directions of the primary
stresses,
the anisotropic rock strength and the orientation of
the bedding planes in relationship to the direction
of the excavation,
the desaturation/resaturation phenomena around the
excavation with changes of pore water pressure
(suction, hydrostatic pressure) and rock strength
(rock matrix as well as rock bedding planes),
short term or long-term induced destrengthening
followed by dilatancy and permeability changes,
creep properties of rock,
apparent or latent discontinuities within the rock
mass like fissures and joint systems.
The numerical simulation of these excavation
induced mechanisms requires physical models (con-
stitutive laws) as well as applicable computer codes.
The basic principles for sufficient realistic and reliable
numerical simulations are therefore identification and
understanding as well as quantitative modelling of the
main mechanisms and processes.
The general objective of these efforts therefore must
be to show that based on lab test experience and results
as well as their transformation into physical models,
the results of in situ measurements and observations
related to selected underground excavations can be
simulated with numerical models with a sufficient
degree of confidence in the short term as well as in
the long-term. The performance assessment analysis
of a selected site for radioactive waste disposal will be
mainly based on numerical simulations (calculations).
These calculations should give a reliable prognosis of
the future development of the site including waste
impacts (e.g. heat emission and gas generation) as well
as possible changes of rock mass components pro-
vided with load bearing or barrier functions within
the geological system in the long-term.
In this paper selected results of a case study deal-
ing with a comparison between long-term deformation
data gained from in situ measurements in an under-
ground mine and calculated data determined from
numerical simulations with special consideration of
anisotropic effects will be presented.
488
Copyright 2006 Taylor & Francis Group plc, London, UK
3 GENERAL ASPECTS
3.1 Laboratory tests
Following the scientific state of the art back-analysis
and interpretation of field data requires intensive
laboratory tests for material characterisation and mod-
elling as well as numerical simulations for analysis of
load-bearing behaviour.
There are many results of lab tests with indurated
clays available in the literature today, e.g. investiga-
tions with indurated clays from the well-known sites
of Mont Terri, Bure or Tournemire, see Blmling et al.
(2001), Zhang et al. (2004), Su et al. (2003),Vales et al.
(2003) and Alheid et al. (2004).
Although various laboratory tests have been done
for the mechanical characterisation of core material
taken from a former underground mine in Germany
according to Lux et al. (2005), the data set for this
site is not fairly adequate for simulating the mechani-
cal behaviour of claystone as described in the section
before. Therefore the following work has been done
taking into account several basic experiences taken
from Mont Terri site as well as laboratory investiga-
tions on indurated clay (Argilite de lEst, Bure). For
further information see Lux et al. (2005).
3.2 Numerical simulations
Nevertheless, the development of advanced computer
codes for the simulation of rock mechanical processes
demands improved and specialized constitutive laws
and this demand requires additional knowledge about
mechanisms and parameters to understand, describe
and model the rock mass behaviour more realistic and
at the end sufficient reliable.
According to Tsang et al. (2005) a number of facts
concerning the long-term safety proof are still not def-
initely clarified, even though they need to be more
clearly quantified. One item is the development
of anisotropic models to obtain the correspond-
ing anisotropic field data, since nearly all the pro-
cesses and all the property parameters are anisotropic,
particularly for clay.
The available results of research activities carried
out so far in this context show that with respect to the
geotechnical safety proof as well as to the long-term
safety proof of these repository sites, where clay-
stone formations have a fundamental load bearing as
well as barrier function, basic knowledge to both the
material properties and the load bearing behaviour of
mine openings is already existing. However, material
behaviour parameters and modelling results some-
times show large differences in those properties or
parameters where comparisons are possible.
With respect to the operational safety and the
destrengthening of the rock mass after excavation in
connection with the well-known unfavourable effects
 especially within the EDZ for ensuring the long-term Comparison of stresses with dilatancy strengths of matrix
safety, the following significant objects of investiga-
tion among others need to be mentioned: stress
redistribution
influence of the texture anisotropy on the deforma- no
yes
= Dil of = Dil of
tional behaviour, the load bearing capacity and the matrix bedding
no
destrengthening, yes
mechanisms of the time-dependent rock
deformation. stress Comparison of stresses with dilatancy
redistribution strengths of bedding

Figure 1. Enlargement of constitutive model Hou/Lux-T,

4 CONSTITUTIVE MODEL Lux et al. (2005).

4.1 Fundamentals
To provide a basis for physical modelling of the
(thermo-) mechanical processes at first and hydraulic
processes later on of the argillaceous rock formations
and backfill materials in safety analyses, the consti-
tutive model Hou/Lux-T has been developed based
on the constitutive model Hou/Lux for saliniferous
rock formations, Hou & Lux (2002) and specialized
for claystone, (Hou & Lux (2004)/Lux et al. (2005a)/
Lux & Czaikowski (2005). This constitutive model is
phenomenological-macroscopic orientated and there-
fore at this time takes into consideration the effects
of different deformation mechanisms in a more phe-
nomenological manner, based on the constitutive
model Lubby2 as well as on basic elements of
Continuum-Damage-Mechanics (CDM).
Argillaceous formations show a geotectonic
induced laminated microstructure with partially heavy
reduced strength on bedding planes. A constitutive
model for describing this texture anisotropy and the
belonging effects on the deformational behaviour with
sufficient accuracy is naturally forced to capture these
mechanisms. Therefore the texture anisotropy, which
is not a dominant effect in rock salt mechanics, has
been imperative for the enlargement of the Hou/Lux-T
constitutive model.
4.2 Principle enlargement of the Hou/Lux-T
constitutive model
Figure 1 shows the principle enlargement of the
Hou/Lux-T constitutive model referring to anisotropic
texture. During every time step of the numerical sim-
ulation process the model fulfils at first a comparison
of the present stress state in any rock mass element
with the dilatancy strength of the rock matrix. The
case of exceeding the dilatancy limit results in damage
induced stress redistributions and additional deforma-
tions. The new stress states are being transformed now
within the bedding oriented coordinate system and will
be compared with the dilatancy strength of the bedding
planes. If exceeded there will be additional (bed-
ding induced) damage, resulting in additional stress
redistribution and deformation.
4.3 Stress transformation in the bedding plane
For comparison of a stress state determined in the
global coordinate system (x,y,z) of the mechani-
cal rock mass structure with the dilatancy strength
related to bedding planes, this stress state has to be
transformed into a bedding plane oriented coordi-
nate system (x
,y
,z
). After transformation the normal
and shear stresses according to the bedding planes
can be determined for every rock mass element, Lux
et al. (2005).
4.4 Determination of dilatancy limit in the
bedding planes
The yield function according to the bedding planes is
defined per eq. (4.1):
with
n , n shear and normal stress related to the
bedding planes
Assuming failure (yield) strength identical to dilatancy
strength the dilatancy strength of the bedding planes
therefore results also with F ds = 0.
4.5 Determination of the damage induced
strain rate
In combination with the numerical value of the yield
function F ds eq. (4.2) will lead to the determination of
damage induced strain rates in the case of mechanical
failure of the bedding planes:
with:

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Copyright 2006 Taylor & Francis Group plc, London, UK

 a0 a3 material parameters (with various
dimensions)
Qds potential function, MPa
4.6 Determination of intensity of damage D
To numerically simulate the time dependent destrength-
ening process it is possible on the basis of lab test data
to differentiate between undamaged and damaged rock
mass areas, to estimate the creep rupture time in rela-
tionship to the existing stress state and to determine
the intensity of damage with help of damage parame-
ter D. This damage parameter D is defined as follows,
Kachanov (1986):
with
Ad actual damaged part of cross-sectional
area, m2
A0 actual non-damaged part of cross-sectional
area, m2
A actual cross-sectional area, m2
Concentrating on measurable lab testing parameters
the damage parameter D can also be defined by volume
( dilatancy) strain vol and ultrasonic wave velocity
ratio v/v0 according to eq. (4.6):
with
vol volume ( dilatancy)strain
v actual ultrasonic wave velocity, m/s
v0 maximal measurable (undamaged) ultrasonic
wave velocity, m/s
The damage process itself is modelled with help of a
kinetic equation for the evolution of damage rate D.
The damage rate is dependent on the numerical value
of the respective yield function F (following the the-
ory of plasticity and describing the onset of dilatancy
in combination for the matrix and the bedding), the
already accumulated damage intensity D and several
material parameters, eq. (4.7):
490
Copyright 2006 Taylor & Francis Group plc, London, UK
Drift with inclined bedding planes:
a) pseudo-plastic zones, b) damaged zones, c) intensity of damage
Drift with vertical oriented fissurization:
a) pseudo-plastic zones, b) damaged zones, c) intensity of damage
Figure 2. Results of constitutive model Hou/Lux-T in com-
parison to elasto-plastic modelling results by application to a
drift in indurated clay using FLAC3D.
with
a15 a17 material parameters (with various
dimensions)
D damage rate, 1/d
F ds , Fdz yield functions (shear and tensile stress)
with respect to dilatancy limit, MPa
F unit factor (=1 MPa, for generation of
dimensionless fraction)
For further information see Hou & Lux (2000) and
Hou & Lux (2002). One important task in the future
will be the classification of certain observed degrees
of damage of the rock mass in relation to calculated
values of the damage parameter D which amounts to
0 D 1.
4.7 Constitutive model Hou/Lux-T in application
to selected drifts in indurated clay and
comparison with results of elasto-plastic
modelling
Within the scope of an intensive validation process
of the Hou/Lux-T constitutive model the quality of
describing the influence of the texture anisotropy
on both the deformational behaviour as well as the
load bearing capacity and the destrengthening pro-
cess has had to be reviewed. For that reason the
results of numerical simulations with the Hou/Lux-T
constitutive model, using the Itasca (2005) made com-
puter Code FLAC3D have been exemplarily applicated
to results based on numerical simulations with the
well known Mohr-Coulomb failure criterion, including
reduced strength on bedding planes, Figure 2.
For having a well defined basis for comparison
of results the dilatancy strength is assumed to have
 the same value as the failure strength. According to
Figure 2 for a drift in claystone rock mass with inclined
bedding the pseudo-plastic zones, respectively the
zones with stress states exceeding the matrix failure
strength as well as the bedding plane failure strength
are in general quite similar to the damaged ones.
In addition and for comparison Figure 2 shows a) drift cross section area, b) damaged zones, c) intensity of damage
the respective simulation results taking into account
a rock mass with vertical oriented bedding. With the Figure 3. Selected drift in argillaceous rock mass with
constitutive model Hou/Lux-T the spatial and the time- simulation results.
dependent development of damage and dilatancy in the
vicinity of underground excavations can be determined
(EDZ) and furthermore a quantification of damage
intensity and thus following the identification of areas
within the EDZ with different destrengthening in addi-
tion to OECD/NEA (2003) is possible. Following the
state of the art the EDZ could be characterised by the
following zones:
(1) Excavation Damage Zone (stress state exceeding
the dilatancy strength)
Zone 1 including macro fissures and contour
failure (fracture destrengthened)
Zone 2 including micro fissures with local
macro fractures and intensive fissure cross link-
ing (fissure dependent secondary permeability)
Zone 3 including micro fissures with low
intensity and marginal fissure cross linking
(marginal increase of permeability)
(2) Undamaged load-bearing zone (stress state not
exceeding the dilatancy strength, elastic-viscous
deformations at constant volume)
(3) Primary rock mass zone (marginal stress redis-
tributions and deformations, more or less undis-
turbed rock mass).

5 BACK-ANALYSIS OF IN SITU DATA

Within the scope of an intensive validation process of
the Hou/Lux-T constitutive model the quality of its
prediction capacity has had to be reviewed. For that
reason the results of numerical simulations with this
constitutive model have been exemplarily applicated to
in situ measurements and observations that have been
made during the excavation and operation of drifts in
argillaceous rock mass in Germany over a period of
more or less 15 years now.
Figure 3a shows the exemplarily chosen drift show-
ing two different layers with marly claystone in the
roof area and bedded limestone below. According to
section 4 and taking into account reduced dilatancy
strength on bedding planes, Figure 3b and Figure 3c
show the expected load bearing effects concerning the
damaged zones as well as the intensity of damage
especially in the upper left contour area.
Referring to the long-term deformation process Fig-
ure 4a and Figure 4b show a comparison between
Figure 4. Simulation results versus in situ measurements.
results of numerical simulations with constitutive
model Hou/Lux-T taking into account the above men-
tioned material properties and in situ measurements.
These measurements (over a period of more or less 15
years) have been made during excavation and oper-
ation of the selected drift in argillaceous rock mass.
Figure 4a shows a well defined accordance of simula-
tion results and in situ measured convergence data for
the first year after excavation. Furthermore the results
over a period of 15 years are quite good reproducible
by numerical simulation. Indeed it must be admitted
that this good agreement in the short term as well as
long-term is resulting of intensive modelling and sim-
ulation work. With todays knowledge it is not possible
to get comparable results in a straight forward manner.
Within the scope of an intensive validation process
of the Hou/Lux-T constitutive model in total 8 dif-
ferent drift profiles were numerically investigated and

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Copyright 2006 Taylor & Francis Group plc, London, UK

 have been exemplarily applicated to in situ measure-
ments and observations. For further information see
Lux et al. (2005).
6 CONCLUDING REMARKS
After intensive evaluation of field data of some
selected drift profiles/cross sections it is possible to
deduce several evidences concerning the load-bearing
behaviour based on convergence measurements as well
as observations on contour destrengthening. Variation
parameters are rock mass structure, depth, intensity of
excavations in the related rock mass area and long-
term behaviour. Based on common experience and
the investigations of Lux et al. (2005) it seems nec-
essary to take into account the following mechanical
and hydraulic characteristics of argillaceous rock mass
for reliable physical modelling as well as numerical
simulation with site specific specification:
elastic, plastic and viscous deformation (isotropic,
anisotropic),
failure strength and residual strength,
dilatancy strength and dilatant deformations,
pore water content and material properties depend-
ing on pore water content,
raising deformability and reduced strength on bed-
ding planes,
pore water pressure and material properties depend-
ing on pore water pressure.
Furthermore, considering high level waste dis-
posal with heat generation, the effect of temperature
changes (heating, cooling) on the mechanical and
hydraulic properties and processes has to be studied
and taken into account in physical models and numer-
ical simulation as well as validated with help of field
measurements.
Concluding it may be stated that the mechanical
behaviour of claystone in the minimum is as complex
as the mechanical behaviour of rock salt, but there
are also some important properties more based on the
rock mass structure and genesis that together cause the
necessity for much more scientific work to finally get
qualified instruments for reliable prognosis.
LITERATURE
Alheid, H.-J.; Aranyossy, J.F.; Blmling, P.; Hotheit, N.;
Van Geet, M. (2004): EDZ Development and evolution
(WP 4.1). State of the art report (First draft), NF-PRO,
15.07.2004
Blmling, P.; Bauer-Plaindoux, C.; Mayor, J.-C.;
Alheid, H.-J.; Fukaya, M. (2001): Geomechanical Inves-
tigations at the Underground Rock Laboratory Mont
Terri. In: Proceedings of international workshop on
492
Copyright 2006 Taylor & Francis Group plc, London, UK
geomechanics, hydromechanical and thermo-hydro-
mechanical behaviour of deep argillaceous rocks: theory
and experiment, October 1112th, 2000, Paris
Hou, Z.; Lux, K.-H. (2000): Ein Schdigungsmodell
mit Kriechbruchkriterium fr duktile Salzgesteine bei
langzeitiger Beanspruchung auf der Grundlage der
Continuum-Damage-Mechanik. Bauingenieur, Band 75,
(13) 2000
Hou, Z.; Lux, K.-H. (2002): Geomechanische Planungs-
konzepte fr untertgige Tragwerke mit besonderer
Bercksichtigung von Gefgeschdigung, Verheilung und
hydromechanischer Kopplung, Heft Nr.13 Schriftenreihe
der Professur fr Deponietechnik und Geomechanik am
Institut fr Aufbereitung und Deponietechnik, Technische
Universitt Clausthal, 2002
Hou, Z.; Lux, K.-H. (2004): A new coupling concept for
hydro-mechanical interaction of claystone and rock salt in
underground waste repositories. Int. J. of Rock Mechanics
and Mining Sciences, Vol. 41/Issue 3, 2004
Itasca (2005): Flac 3D, Itasca Consulting Group, Inc., Min-
nesota, 2005
Kachanov, L.M. (1986): Introduction to Continuum-Damage-
Mechanics. Martinus Nijhoff Publishers
Lux, K.-H.; Dsterloh, U.;Wolters, R.; Czaikowski, O. (2005):
Gebirgsmechanische Beurteilung von Tongesteinsforma-
tionen im Hinblick auf die Endlagerung radioaktiver
Abflle, Bericht im Auftrag des BfS, Technische Univer-
sitt Clausthal, 03/2005, www.bfs.de
Lux, K.-H-; Hou, Z.; Dsterloh, U.; Wolters, R. (2005a):
Experimental Studies and Creep Behaviour as well as new
Developments of the Hou/Lux-T Constitutive Model for
Claystone. 2nd International Meeting on Clays in Natu-
ral Barriers for Radioactive Waste Confinement, March
1418, 2005, Tours
Lux, K.-H-; Czaikowski, O. (2005): Rock-mechanical Investi-
gation forValidation of the Hou/Lux-T Constitutive Model
based on Underground Measurements in Argillaceous
Rock Mass. 2nd International Meeting on Clays in Natu-
ral Barriers for Radioactive Waste Confinement, March
1418, 2005, Tours
OECD/NEA (2003): Features, Events and Processes Eval-
uation Catalogue for Argillaceous Media, ISBN 92-6-
02148-5
Su, K.; Hoteit, N.; Ozanam, O. (2003): Geomechanical Inves-
tigation of the Callovo-Oxfordian Argillaceous Formation
at the Meuse/Haute-Marne Site of France. Clausthaler
Kolloquium zur Endlagerung, Technische Universitt
Clausthal, 05/2003
Tsang, F.T.; Bernier, F.; Davis, C. (2005): Geohydro-
mechanical processes in the Excavation Damaged Zone
in crystalline rock, rock salt and indurated and plastic
clays in context of radioactive waste disposal, Interna-
tional Journal of Rock Mechanics & Mining Sciences 42
(2005) 109125
Vales, F.; Bergues, J.;Nguyen Minh, D.; Garbi, H.; Rejeb, A.
(2002): Experimental Study of the influence of the degree
of saturation on physical and mechanical properties in
Tournemire argillite (France). NARMS 2002, 710 July,
2002, Toronto, Canada.
Zhang, C.-L.; Rothfuchs, T.; Moog, H.; Dittrich, J.; Mller, J.
(2004): Thermo-Hydro-Mechanical and Geochemical
Behaviour of the Callovo-Oxfordian Argilite and the
Opalinus Clay. GRS Nr. 202, 06/2004
 EUROCK 2006 Multiphysics Coupling and Long Term Behaviour in Rock Mechanics
Van Cotthem, Charlier, Thimus & Tshibangu (eds)
2006 Taylor & Francis Group, London, ISBN 0 415 41001 0

Poro-hypoplastic analysis of the progressive excavation of the Mol URL

connecting gallery

J. Desrues, P. Bsuelle, C. Coll

Laboratoire 3S, Grenoble, France

F. Collin
GEOMAC Department, FNRS Lige University

X.L. Li
EURIDICE, SCK.CEN, Belgian Nuclear Research Center, Belgium

ABSTRACT: In the framework of a Euratom research program devoted to the safety assessment of nuclear
waste disposal, a numerical simulation of a gallery excavation in the Boom Clay layer at Mol (Belgium)
has been performed. A special sequence of deactivation/activation of sets of elements was devised in order
to model the progressive excavation and lining installation process. One difficult point had to be over-
come: for a given front position, the material to be excavated cannot be defined a priori. Indeed, once the
front has reached a position into the rock mass, the finite deformation process has brought some additional
elements into the excavation profile. The numerical strategy developed allows to excavate these additional
elements.

1 INTRODUCTION 2 DEFINITION OF THE FIELD PROBLEM

In the framework of the European Project SELFRAC
(5th Framework Program), numerical modeling of the
excavation of a gallery in the Boom Clay layer at the
Underground Research Laboratory (URL) HADES
in Mol (Belgium) was undertaken. The new gallery
was made to connect an existing gallery to a new
shaft. The modeling used the finite element code
Lagamine, developed in the University of Lige. One
of the objectives of the modeling was to compare
the strain localization prediction with observations
made during the real excavation. The model was a
simulation of the excavation that took place in the
URL Hades in February 2002. The aim was to keep
as close as possible to the real field process. In
particular, the geometry and the operation of the tun-
neling machine, the shield and the lining placement
method were reproduced carefully. A fully coupled
hydromechanical formulation was used together with
the hypoplastic constitutive model, CLoE, developed
in Laboratoire 3S in Grenoble. The material param-
eters used were determined from laboratory tests
performed in the framework of the same research
project.
This numerical simulation concerns the excavation of
the 90 m length connecting gallery from the second
shaft of the underground laboratory toward the initial
test drift. More specifically, the aim was to predict
the stresses, pore pressure and displacement fields
around the gallery.The first shaft and the test drift, con-
structed between 1980 and 1987, are 223 m deep and
67 m long, respectively (Figure 1a). The construction
of the second shaft started during summer 1997 and
finished during spring 1999. The connecting gallery
was started in 2001. The test drift was excavated man-
ually at a mean rate of 23 m/day, while the connecting
gallery was excavated by a semi-mechanised technique
at a mean rate of 2 m/day. A set of instrumentation
was placed from the test drift front and around the
future connecting gallery to the measure the changes
of displacements and pore pressure during the excava-
tion. This instrumentation was organised on four lines
(Figure 1b). Line A was placed in the test drift axis
and lines B, C and D were inclined. The connecting
gallery was excavated under the protection of a shield
(2.405 m diameter and 2.3 m length) and a concrete lin-
ing (rings of 2.400 m 1 cm diameter and 1 m length)

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Copyright 2006 Taylor & Francis Group plc, London, UK

 Figure 1. (a) Scheme of the underground laboratory. The connecting gallery links the second shaft to the initial test drift.
(b) A set of instrumentation was placed from the test drift front before the excavation of the connecting gallery to measure
the effects of excavation on displacements and pore pressures.

Figure 2. Geometry of the modelling zone and detail of the mesh at the excavation front showing the superposed lining and
clay blocks of elements.

was placed to support the gallery.The distance between
the last placed ring and the rear of the shield varied
between 0.2 m and 1.2 m. The gap between the shield
diameter and lining diameter induced a convergence
of the clay of about 9 cm on the diameter of the hole
in clay (see remark in 3.1).
3 MODEL DESCRIPTION
The simulation was performed using the FEM code
Lagamine (Charlier 1987) developed at the laboratory
Geomac in Liege (Belgium), with the constitutive
model CLoE (Chambon et al. 1994) developed at the
laboratory 3S in Grenoble (France).
3.1 Hypotheses
The following main hypotheses were considered:
2D axisymmetric conditions along the gallery axis;
isotropic and homogeneous initial in situ stress and
pore pressure state (variation with depth is neglected
in the modeling zone);
the shafts are not considered;
the unilateral nature of the contact between the clay
and the lining is modeled;
the excavation is assumed to be undrained, i.e. no
water can flow through the boundaries.
Remark: In the simulation, the gap was set to 4 cm
on the diameter, for consistency with the blind predic-
tion input data of the CLIPEX project (Bernier et al.
2002).
3.2 Geometry
The modeling zone corresponds to the region around
the gallery and the head of the Test Drift (instrumented
zone in the CLIPEX project). The modeling domain is
50 m high (the gallery radius is 2.00 m) and 90 m long.

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Copyright 2006 Taylor & Francis Group plc, London, UK

 The height excavated is 2.42 m and the thickness of the
concrete lining is 0.40 m. The initial gap between the
soil and the lining is 2 cm.
The mesh is composed of 8095 nodes and 2768 ele-
ments. The mesh density is maximal near the roof of
the gallery and relatively high in the instrumented zone
(Figure 1). A set of elements are defined in the mesh,
at the final position of the lining along the gallery
after excavation, to allow the lining to be modeled.
These elements have the mechanical properties rep-
resentative of the lining (a concrete tube with young
modulus = 15 GPa and Poisson Coefficient = 0.3), but
they are activated only in due time in the modeling pro-
cess. Before the activation, the elements do not play
any role. The activation process is made by sub-sets
corresponding to an excavation step.
3.3 Modelling procedure
Boom Clay is considered as a porous medium sub-
jected to hydro-mechanical coupling (Collin et al.
2002). Two major stages are included in the modeling
procedure of the excavation:
Stage 1: stress release in the first 30 m of the con-
necting gallery, starting from the second shaft, in 15
days. This step involves decreasing the total stress on
the tunnel wall from the in-situ stress down to zero.
In the initial state for this stage, the concrete lining is
already activated in the 30 m zone but the soil is not in
contact with it. During the release of the stress, the soil
moves (it converges towards the decompressed zone)
and progressively the initial gap (2 cm) disappears.
Technically, the contact between the soil and the lining
is modeled by using special elements namely contact
elements (Cescotto & Charlier 1993), and foundation
elements, inserted between the rock and the lining,
and sharing their nodes with the latter. The contact
elements allow a contact pressure to be defined. A
penetration distance is defined in the contact zone
because the contact elements are not perfectly rigid.
The foundation elements transfer the stresses to the
lining.
Stage 2: excavation of the gallery by 1 m steps, up
to reaching the Test Drift zone, with activation of the
concrete lining simultaneously. The excavation speed
is 2 m/day. In this second stage, the excavation of one
meter large bloc of Boom Clay is modeled by deactivat-
ing the corresponding group of rock elements, and by
activating at the same time the corresponding contact
elements along the lining. Thus the tip of the gallery
moves towards the Test Drift zone. The exact set of
rock elements to be deactivated is determined at each
step, by checking which elements enter partially or
totally in the 2.42 m excavation zone. In fact, in the
simulation (and in reality too) the rock mass ahead of
the excavated gallery moves both towards the gallery
axis and along the axis in Y direction (Figure 3). Thus
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Copyright 2006 Taylor & Francis Group plc, London, UK
Initial
Final
Figure 3. Stress release in the gallery.
Table 1. Initial stress and pore pressure around the gallery.
Total isotropic stress (0 = h = v ) 4.5 MPa
Pore pressure 2.2 MPa
Effective stress 2.3 MPa
some elements, which were outside of the profile of the
gallery before excavation of the first N steps, may have
entered this profile at the time when the step N + 1 is
processed. The modeling strategy defined allows this
difficult effect to be taken into account properly. The
height excavated numerically is at least 2.42 m thus
the soil around the excavated zone is free to converge
towards the activated lining and eventually to come in
contact with it. Moreover, it is interesting to note that,
in the real excavation process, the profile of the exca-
vation suffers irregularities. This occurs since the rock
blocks which detach from the front under the action
of the excavator do not exactly match the predefined
profile.
3.4 Initial and boundary conditions
The clay formation around the gallery is considered
as homogeneous and isotropic. The initial stresses are
assumed to be hydrostatic (0 = h = v ). The initial
values of the stresses and pore pressure used in the code
are the in situ ones (at depth of the gallery) (Table 1).
3.5 Constitutive laws and hydraulic properties
The hypoplastic law CLoE, implemented in the FEM
code Lagamine, was used to describe the stress-strain
relation for Boom Clay. An experimental program has
been carried out in the SELFRAC project (Bernier
et al. 2005) to obtain the main input parameters needed
to calibrate this constitutive law.
Full saturation is assumed in this work. The main
hydraulic properties used for the simulation are given
in Table 2. Permeability is considered isotropic.
The lining is modeled using porous mechanical
elements associated with an elastic constitutive law
(E = 15 GPa; = 0.3). Initial stress and pore pressure
in these elements are equal to zero.A high permeability
 (1.1012 m2 ) is chosen to ensure drained conditions in
the lining.
4 RESULTS
In the following, we discuss the two main stages of the
simulation: stress release around the first 30 m of the
gallery in the initial stage, then progressive excavation
of the remaining gallery.
4.1 Stage 1: stress release in the gallery
Illustrations in Figure 4 show the pore pressure (pp ) and
the deviatoric stress (q) distribution around the gallery
induced by stress release in the gallery. The rightmost
picture indicates where strain localization occurs (i.e.
where the bifurcation criterion met locally). Note that,
for sake of clarity, the lining is not represented on these
pictures. More precisely, the quantities (stresses and
pressures) represented in the pictures are displayed for
the soil elements only, not for the lining element. As
described above, at the start of the excavation pro-
cess in the model, the excavation has already been
performed over 30 m and the lining is supporting the
gallery up to the excavation front along this distance.
The most significant perturbation occurs in a zone
close to the excavation front. Pore pressure is per-
turbed up to 7 m ahead the front along the axis of
the gallery, and about 4 m radially. Starting from the
2.2 MPa far field pore pressure (yellow in Figure 4a)
we can observe a decrease down to zero and then
to a significant negative pore pressure near the front
(suction about 1.33 MPa). Conversely, a zone of
over-pressure appears near the edge of the lining,
Table 2. Hydraulic properties for Boom Clay at a 225 m.
Water permeability [m2 ] 3,5.1019
Porosity [%] 0.39
Water compressibility [Pa1 ] 4,5.1010
Water viscosity [Pa.s] 0.00089
Specific weight [kg/m3 ] 997
Figure 4. Stress field distribution around the 30 meter initial gallery: Pp) Stress pore pressure, q) deviatoric stress q,
e) localised zones due to stress release in the gallery (bifurcation crosses located at Gauss points).
496
Copyright 2006 Taylor & Francis Group plc, London, UK
which extends over about 1 m in the direction of the
gallery. This is consistent with a over-compression of
the rock locally at the contact with the lining.
Axial (y ) and radial stress (x ) are compressive
everywhere, they show significant variations over
about 13 m behind the front in the axial direction, and
about 10 m in the radial direction. The increase of the
radial stress just behind the front is as high as 3.5 MPa,
and the axial stress increases up to 6 MPa.
Zones with potential strain localization are detected
behind the front over a length of 2.5 m in the axial
direction. So-called bifurcation crosses illustrated in
Figure 4 are displayed at the locations where the bifur-
cation criterion was found to be met. The green and
the red arrows indicate the directions parallel to the
two conjugate potential shear bands in this location.
These two directions are rather close, which is typi-
cal of brittle materials. In the numerical model used,
no post-localization strategy has been included. The
localization prediction displayed is indicative of zones
where rupture is likely to develop in a localized mode,
nothing more.
Different simulations have been performed to assess
the effect of the different choices in modeling the lining
installation on the rupture mode. In the first simu-
lation, the lining was considered as instantaneously
installed up to the actual position of the excavation
front. In the second there was a gap between the front
and the lining along which the soil was free to move.
A third computation, with a finer mesh in the criti-
cal zone, allowed a more precise description of the
localization. It is worth mentioning that no significant
changes appeared between these different simulations
in the pore pressure and stress fields.
4.2 Stage 2: excavation meter by meter up to the
test drift zone
The excavation was modeled according to the mod-
eling procedure described above. Figure 5 presents
the evolution of the pore pressure field in the clay
during the excavation process, for a few arbitrary cho-
sen steps from the 30 steps performed. The field is
characterized by strong gradient around the excavation
 front and limited evolution of the shape of the contours
from one step to the next. This observation means that
the pore pressure field near the front during the exca-
vation process is not significantly influenced by the
actual position of the front. Thus a kind of steady state
is reached, which is translated with the front as the
excavation progresses.
4.3 Pore pressures changes: comparison with
in situ measurements
In this section the results are compared to the in situ
measurement taken during the excavation. The
piezometer and inclinometer transducers were placed
in 8 boreholes. The position of the boreholes is sum-
marised in Figure 6, in a radial versus axial position
system.
Significant pore pressure differences between the
sensors, observed in the field before the start of the
excavation, are out of the scope of our simulations
since they are likely to be due to previous stages in
the building of the URL. Accordingly, in the pre-
dicted response all the sensors have the same initial
Figure 5. Pore pressure field in the Clay at different stages
of the excavation process: 5, 10, 20, 30 m.
Figure 6. location of the Clipex instrumentation boreholes
in an axisymmetric system.
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Copyright 2006 Taylor & Francis Group plc, London, UK
pore pressure value, close to 2.2 MPa. The compar-
ison between field measurements and simulation is
presented in Figure 7.
When the excavation front is approaching the test
drift zone, a slight increase of pore pressure is pre-
dicted. However this increase is not of the order
of magnitude of that measured by the real sensors
(boreholes A2 and B2).
The drop of pore pressure is well predicted in
borehole A2 (sensor WA5) and borehole B2 (sensors
WB5 and WB1) if we disregard the small peak dis-
cussed above. Conversely, the prediction is not good
for sensors WC1,WC8, WD1 and WD5.
For sensors WD1 and WD5, it should be considered
that the range of variation in pore pressure is much
smaller than in the other locations in such a way that
the discrepancy is amplified with respect to the other
plots. As for WA1, the discrepancy is quite significant,
but the response of the sensor is different (much more
abrupt) from the other evolutions observed, so there
may be something special taking place there in the
real process. For example, a fissure may have propa-
gated from the excavation front; starting from the tip
of the lining as suggested by the localization detec-
tion presented in Figure 4 and also observed during
the excavation.
Globally, what comes out from these comparisons
is that the pore pressure drop resulting from the exca-
vation is perceptible over a much greater distance in
the real world than in the simulation: A1, A5, B1, not
B5; C1 and C8. Moreover, supposing that the sensors
were able to measure negative pore pressure (which
was not in fact the case), the negative pore pressure
predicted in A1 and B5 could not be observed. This
is because the sensors come to communicate with the
gallery air pressure through fractures that form as the
front comes too close. The same comment applies to
B1, because the sensor, although not destroyed by the
excavation process, is very close to the lining after
excavation. This is likely to induce a desaturation of
the sensor after the front has passed its location. The
simulation indicates that a small area of excess pore
pressure passes by the sensor location to induce the
small peak observed in the WB1 curve.
4.4 Sensitivity analysis
To check the sensitivity of the results presented to
some of the details of the modeling strategy, the whole
simulation has been reproduced with two significantly
changed configurations. First, a different set of param-
eter was used for the constitutive law, corresponding
to a more contractant material (determined from the
higher mean effective stress experimental tests). Sec-
ondly, the duration of the deconfinement of the first
section of the gallery was changed from 15 days
to 1 day. The results were carefully compared with
 30 30

25
20
20

10
15

10
0
60 50 40 30 20 10 0 -10 -20 WB1 - in situ
Pore pressure (bar) WB5 - in situ 5
WA5 - in situ
WA1 - in situ -10 L3S - WB1
L3S WA5 L3S - WB5 0
L3S WA1 70 L3S - WB1d
60 50 40 30 20 10 0 -10 -20 -30
L3S WA1d -20 L3S - WB5d -5
L3S WA5 Pore pressure (bar)
-10
-30
Distance between front and sensors (m) Distance between front and sensors (m) -15

30 27

25 25

20 23

15 WD1 -in situ 21

WC1 -in situ WD5 -in situ
L3S -WC1 L3S - WD1
L3S -WC1d 10 L3S - WD5 19
WC8 -in situ Pore pressure (bar) L3S - WD1d
L3S -WC8 L3S - WD5d
L3S -WC8d 5 17

0 15
70 60 50 40 30 20 10 0 -10 -20 -30 55 45 35 25 15 5 Pore pressure (bar)
Distance between front and sensors (m) Distance between front and sensors (m)

Figure 7. Comparison of simulated pore pressure with in-situ measurements during the excavation up to the test drift zone.

the reference simulation presented here. Some changes Merrien, K., Elorza, F.J. & Davies, C., 2002. CLIPEX.
were observed in both cases, but nothing significant. Report EUR 20619, Luxembourg: Commission of the
European Communities
Bernier F., Li X.L., Bastiaens, W., Ortiz L., Van Geet M.,
5 CONCLUSIONS Wouters L., Frieg B., Blmling P., Desrues J.,
Viaggiani G., Coll C., Chanchole S., De Greef V.,
The modeling of the excavation process and the strain Hamza R., Malinsky L., Vervoort A., Vanbrabant Y.,
localization prediction along the process have been Debecker B., Verstraelen J., Govaerts A., Wevers M.,
Labiouse V., Escoffier S., Mathier J.-F., Gastaldo L.,
performed using the finite strain Finite Element Code Bhler Ch. 2005, FRACTURES AND SELF-HEALING
Lagamine with the constitutive law CLoE. A spe- WITHIN THE EXCAVATION DISTURBED ZONE IN
cial modeling procedure was designed that takes into CLAYS. Commission of the European Communities
account: the progressive excavation as a process in Cescotto S., Charlier R. 1993 Frictional contact finite ele-
time; the placement of a lining behind the excava- ments based on mixed variational principles, Int. J. of
tion front; the existence of an over-excavation with Numerical Methods in Engineering, 36, pp. 16811701
respect to the lining dimensions; hydromechanical Chambon R., Desrues J., Charlier R., Hammad W. 1994.
coupling. The results are consistent with the site CLoE, a New Rate Type Constitutive Model for Geomate-
observations, especially the localization predicted. rials: Theoretical Basis and Implementation, Int. J. Num.
Anal. Meth. Geom. 18 No 4, pp. 253278
Further refinements would be necessary to reduce Charlier R. 1987. Approche unifie de quelques problmes
some discrepancies observed with respect to site data. non linaires de mcanique des milieux continus par la
mthode des lments finis, Ph.D. thesis, University of
Lige, Belgium
ACKNOWLEDGEMENTS Coll C. 2005. Endommagement des Roches Argileuses et Per-
mabilit Induite au Voisinage dOuvrages Souterrains,
This work was performed in a partial fulfillment of the Thse Doctorat UJF, Grenoble, France, 257 p.
SELFRAC contract FIKW-CT 2001-00182 co-funded Collin F., Li X.L., Radu J.P., Charlier R. 2002. Thermo-
by the European Community under the 5th Euratom hydro-mechanical coupling in clay barriers, Engineering
Framework Program (19982002). Geology 64, pp. 179193
Desrues J., Chambon R. 2002a. Shear bands Analysis and
Shear Moduli Calibration, Int. Journal Solids and Struc-
REFERENCES tures 39 No 1314, pp. 37573776
Desrues J., Chambon R. 2002b. Modlisation dune Argilite
Bernier F., Li X.L., Verstricht J., Barnichon J.D., laide du modle CLoE, Revue Franaise de Gnie Civil
Labiouse, V., Bastiaens, W., Palut, J.M., Ben Slimane, K., 6 No 1, pp. 89113
Ghoreychi, M., Gaombalet, J., Huertas, F., Galera, J.M.,

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Copyright 2006 Taylor & Francis Group plc, London, UK

 EUROCK 2006 Multiphysics Coupling and Long Term Behaviour in Rock Mechanics
Van Cotthem, Charlier, Thimus & Tshibangu (eds)
2006 Taylor & Francis Group, London, ISBN 0 415 41001 0

Discrete particle modelling as a tool in petroleum rock mechanics

R.M. Holt
NTNU Norwegian University of Science & Technology & SINTEF Petroleum Research, Norway

L. Li & I. Larsen
SINTEF Petroleum Research, Norway

S. Gorodkov & H.T.I. Alassi

NTNU Norwegian University of Science & Technology, Norway

ABSTRACT: This paper describes the development and application of a numerical rock testing laboratory based
on discrete particle modeling. 2D and 3D rock microstructure is transferred from petrographical image data to a
discrete particle model. Initial results show good agreement between numerical simulations and the experimental
results.A few selected petroleum applications are presented, demonstrating the use of the discrete element method
(DEM) for analyzing problems where direct experimental observations are difficult. The problems addressed are
the stress path of a core during drill-out, long term creep deformation, and basin scale simulation of reservoir
depletion and fault activation, considering the elements of the model as grid blocks, rather than rock grains.

1 INTRODUCTION iii) Large scale application to stress & strain evolu-

The Discrete Element Method (DEM) is a fully
dynamic approach to simulation of rock behaviour.
This permits elastic nonlinearity, plasticity and com-
plex features like localized failures to develop in an
apparently realistic manner, based on simple physical
particle scale interaction laws.
In this paper, a strategy is outlined in order to
develop a numerical rock-testing laboratory based on
DEM (here we use the commercially available Particle
Flow Code (PFC1 )).This includes the use of 2D and 3D
petrographical data to generate a particle scale model.
The main elements of an experimental calibration of
the DEM will be given, including unconfined, Brazil-
ian and triaxial tests, wave velocity measurements, and
core scratching.
Furthermore, we show three specific examples
of DEM applications to problems on various length
scales within petroleum related rock mechanics. These
examples are:
i) Simulations of the expected stress path during cor-
ing, and the potential effects of this on subsequent
core behaviour in the laboratory.
ii) Implementation of a creep mechanism in the DEM,
and prediction of long term deformation from short
term observations.
1 bond strength distribution can be chosen to reflect the
PFC is a trademark of HC Itasca c.g.; Minneapolis, USA.
tion and faulting within and around a depleting
reservoir, including the link to time-lapse seismic
observations.
2 DEVELOPMENT OF A NUMERICAL ROCK
TESTING LABORATORY
2.1 Basic description of code
The Particle Flow Code (Potyondy and Cundall, 2004)
is a code based on DEM and use circular disks (in
2D) or spherical particles (in 3D) as the elements. The
particle size distribution can be chosen by the user.
The interaction between the particles is controlled by
normal and tangential contact stiffnesses and by inter-
particle friction. The force law may be chosen as linear,
governed by Hertzian mechanics (e.g. Johnson, 1985),
or completely defined by the user. Particles are treated
as rigid bodies, but overlap (soft contact approach)
is permitted.
Particles may be bonded to each other using a so-
called parallel bond, which acts as a beam placed
between the particles. The bond has its own nor-
mal and tangential stiffnesses, acting in parallel with
the unbonded stiffnesses. Furthermore, the bond has
a normal (tensile) and tangential (shear) strength,
and a certain extent with respect to particle size. A

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Copyright 2006 Taylor & Francis Group plc, London, UK

 heterogeneity of natural rocks. All in all, depending on
the complexity of the contact law, approximately 10
microscopic input parameters are required for a PFC
simulation.
The particle assembly can be loaded by movement
of external walls. All particle displacements and con-
tact forces are calculated in a time-cycling manner.
Stresses and strains are recorded from the forces acted
on the walls and the displacements of the walls. They
can also be computed from the contact forces and
the movements of the particles within measurement
circles (or spheres). Figure 1. Examples of superparticles (left: in 2D; right: in
3D) formed by individual circles and spheres.

2.2 Calibration of the DEM

In general DEM simulations show good qualitative
agreement with experimental observations. However,
the use of such and approach in real problem solving
requires quantitative calibration. A strategy for choos-
ing microscopic input parameters has been outlined on
the basis of a suite of experiments, including uncon-
fined and triaxial compression tests, tensile strength
(e.g. Brazilian) tests, wave velocity measurements, and
core scratching with a miniaturized ( grain size) cut-
ter. The latter test is an attempt to directly quantify
interparticle bond strength (for more detail, see Larsen
et al., 2004).
Holt et al. (2005) obtained good quantitative agree-
ment between PFC3D simulations and compaction
experiments with uncemented spherical glass beads,
and also between unconfined, triaxial and Brazilian
experiments and PFC3D simulations with artificial
porous rock made from glass beads glued together
with epoxy cement. Figure 2. 2D microstructure from thin section image
(4 2 mm) of Castlegate sandstone (left) and 2D representa-
2.3 Representation of a natural rock tion by a DEM model (right) (light particles represent pores,
dark particles represent grains).
In a micro-scale model one has to represent the
microstructure of the rock as accurately as possible.
The source data can be in the form of a petrographical small but finite contact stiffnesses. This accounts for
image of the grain and pore structure (in 2D) or as a the support of the 3rd dimension. In the simulations
micro-CT 3D image with sufficiently high resolution performed, the void particle contact stiffness was cho-
(m range for sandstone). sen to be one fifteenth that of the solid grains. Such
PFC uses circular or spherical particles, which an approach provided a good match with laboratory
is computationally efficient. Hence complex parti- measured peak stress at various confining pressures
cle shapes have to be imitated by bonding circles or in triaxial tests. Youngs modulus and Poissons ratio,
spheres into superparticles (Figure 1). The internal and their stress sensitivities, were also reproduced with
bond properties of these particles are chosen so that reasonable accuracy in the PFC2D simulations. It is
the resulting grain has mechanical properties represen- important to note that one has to convert the elastic
tative of the grain material in the natural rock. Grain moduli from 2D to 3D, by making for instance a plane
breakage may be simulated directly, or by adapting a strain assumption (Cundall et al., 2003).
crushing criterion based on the forces acting on its Micro-CT 3D image data of Castlegate sandstone
outer boundary. with 5 m voxel size was obtained from the Australian
Figure 2 shows a thin section image of Castlegate National University. A PFC3D model (Figure 3) was
sandstone and a representation of the image with a constructed based on the variation of the X-ray absorp-
PFC2D model. In order to obtain acceptable agreement tion coefficient in the 3D data set. The DEM has
between experiments and simulations, the pore space about 35.000 particles with average radius 11.8 m
has to be represented by particles which are given and sample size is 0.6 0.6 1.2 mm3 .

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Figure 3. A 6 7 mm cross-section (left) of 3D micro-CT
data showing how grain structure is obtained from X-Ray
absorption coefficient. PFC3D representation (right) with
grains in dark grey and pore space shown in light grey.
100
Test 3
80
Stress [MPa]
60 Test 1
Test 2
40
Confining stress
20
0
0 5 10 15 20 25 30
Vertical strain [milliStrain]
Figure 4. Stress vs. strain for three triaxial tests (at 10 MPa
confining stress) simulated with PFC3 D, using 3D image data
for three different specimens of Castlegate sandstone as input.
Two main problems were encountered: First, if the
resolution of 3D image data should be fully utilized,
then the size of the model will be severely lim-
ited by current computer capacity. Secondly, it is not
straight-forward (neither in 2D or 3D) to identify grain
boundaries in an automated manner.
Using the approach above, three different spec-
imens of Castlegate sandstone were analyzed. The
numerical samples (all having the same microscopic
input parameters) were loaded to 10 MPa isotropic
stress and then loaded further in a uniaxial stress mode
(like a triaxial test). The resulting stress vs. strain
curves are shown in Figure 4. Although the material
has natural heterogeneity, the three curves are very
similar. The peak stress is around 80 MPa, while the
laboratory measured average is 78 MPa.The numerical
tests gave a Youngs modulus (at the 50% level) vary-
ing between 6.5 and 7.8 GPa, and a similarly defined
Poissons ratio between 0.32 and 0.34. The variation
correlates with the variation in porosity between the
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Copyright 2006 Taylor & Francis Group plc, London, UK
three specimens. Laboratory data obtained at the same
confinement give Youngs modulus between 7.0 and
7.6 GPa and Poissons ratio between 0.26 and 0.31. The
agreement between numerical model and experiment
is very good.
Further refinement of the modeling approach is
required to deal with sample size and grain defini-
tion problems. The calibration routines (see Section
2.2 above) have not yet been fully implemented for
natural rocks and more data (triaxial tests at various
confining pressures, tensile strength, wave velocity
measurements, core scratch) need to be analyzed in
the future. It is anticipated that other sandstones and
other rock types will be in the analysis.
3 APPLICATIONS TO PETROLEUM ROCK
MECHANICS
We will consider three different examples of DEM
applications to petroleum technology and geoscience.
These are by no means the only such study. Analysis of
drill-bit rock interaction, borehole stability, sand pro-
duction and sand transport mechanisms, compaction
behaviour of reservoir rock materials, and stress sen-
sitivity of wave velocities are also currently being
carried out. The three topics selected here do how-
ever reflect some of the possibilities that this numerical
technique offers.
3.1 Stress path during coring
The coring process has a considerable influence on
the behaviour of rock samples measured in the lab-
oratory. Stress release associated with drill-out may
cause breakage of grain bonds, with two possible
consequences:
The core may be permanently damaged, so that
subsequent measurements of compaction, strength,
wave velocities etc. are not representative of the
same material under in situ conditions (Holt et al.,
2000). Thus; procedures for core damage correction
are required.
The core may have a stress memory, expressed by
a Kaiser effect in Acoustic Emission (AE) activ-
ity (Pestman et al., 2002). This gives hope for
using drilled rock cores for the estimation of in situ
stresses.
It is important to have knowledge about the stress
path followed during drill-out in order to utilize cored
rock in a better way. There is no way of obtaining this
information from in situ measurements during coring.
Based on the stress path, however, both numerical and
laboratory simulations can be performed to assess the
impact of stress release on the core behaviour.
PFC3D simulations have been performed by first
creating an assembly of spherical particles (Figure 5).

Figure 5. Graded particle assembly used in PFC3D simula-
tions of stress path during coring. Circles 1, 2, 3 and 4 denote
positions of measurement spheres used for stress measure-
ment. The sample size is 2.5 2.5 2.5 m and the coring
tool outer diameter is 0.125 m.
Vertical hole, tor shaped bit, WOB = 8000kg
Measurement sphere 1
80
V
70
60 H V
Stress [MPa]
50 h H
h
40
30
20
10
0 3.2 Time dependent deformation (creep)
Step
Figure 6. Evolution of vertical and horizontal stresses in
the core capture area as a result of coring, simulated with
PFC3D . Initial stresses are 70 MPa (vertical), 55 and 45 MPa
(horizontal).
The particle size was graded, with smaller particles
near the centre of the model, where the core is drilled,
and coarser particles towards the edges in the initial
simulations as presented here. This limits the com-
putation time. The material properties were however
homogeneous. The particle assembly was loaded to
in situ stress conditions, and intergranular (parallel)
bonds were then inserted. Coring was simulated by
removing the vertical stress in the core capture area
and then removing the particles in the core bit area.
In the simulations, the drill angle, the bit shape and
the weight on bit can be varied (more detailed descrip-
tion of simulations and simulation results are given by
Gorodkov et al., 2006).
Figure 6 shows the simulated stress changes within
a measurement sphere near the bottom of a vertical
hole. The vertical stress is decreasing as the cor-
ing bit approaches from above, while the horizontal
(hoop) stresses initially increase slightly. This is due
to stress arching. Having entered inside the bit area,
Copyright 2006 Taylor & Francis Group plc, London, UK
Creep (PFC2D- stress corrosion model)
0.8
75% of peak
0.7
0.6
Creep [millistrain]
0.5
0.4 Secondary creep
Transient Accelerating
creep creep
0.3
0.2
0.1
0
0 2 4 6 8 10 12
Time [s] x 107
Figure 7. Creep strain simulated with PFC2D , axial stress is
75% of peak stress.
all stresses in the core decrease monotonously until the
stress is completely released. The maximum difference
between the major (horizontal) and minor (vertical)
principal stress is about 30 MPa. The stress path is sim-
ilar to that anticipated by Holt et al. (2000). However,
the arching effect was not foreseen. The maximum
deviatoric stress is less in this simulation, but may still
lead to substantial core alteration, depending on the
rock properties.
Rocks deform over time, depending on their mechan-
ical properties, and on the stress level. Because of the
long time scale involved creep phenomena are diffi-
cult to asses by experiments. DEM offers a possibility
to explore the phenomena in more detail, provided a
physically correct creep mechanism is implemented.
Comparison between model predictions and short term
creep test data is a necessary part of this development.
A DEM creep model has been developed in which
the extent of the bonds between particles is reduced,
based on the stress level of each grain contact. This is
thought to mimic stress corrosion. The model works
both in 2D and in 3D. Figure 7 shows an example
of predicted creep strain (using PFC2D ) for a sam-
ple kept at 75% of its peak shear stress. The figure
demonstrates that the model captures the three com-
monly observed phases of transient, secondary and
accelerating (tertiary) creep.
By keeping the sample at various levels of shear
stress, the time to failure will vary. Baud and Meredith
(1997) presented experimental data for Darley Dale
sandstone. The logarithmic time to failure increased
linearly with decreasing ratio between the actual shear
stress during creep and the apparent peak shear stress.
PFC3D simulations of similar experiments were per-
formed with the simple creep model sketched above
502

Figure 8. Time to failure vs. ratio between axial creep stress
and peak stress, simulated with PFC3D . The confining stress
is constant for all the simulations. Inserted are experimen-
tal data from Baud & Meredith (1997) for Darley Dale
sandstone.
(no attempt was made to directly simulate the exper-
iments on Darley Dale). The resulting trend (with the
experimental data of Baud & Meredith inserted) is
shown in Figure 8. The times to failure for low creep
stress levels approach geological time, and it is evi-
dent that other physical mechanisms (e.g. healing) may
come into play over such time horizons.
3.3 Reservoir scale application of DEM
DEM was presented above as a grain scale tool. The
particles in the model were thought to represent phys-
ical grains. However, one could also think of the
particles as grid blocks in a larger scale application.
An extreme example of this is the simulations of
continental collision by Vietor (2003) using PFC2D .
One of the strengths of DEM is its dynamic features.
This permits the complexity of strain localization and
fracture growth to emerge from simple contact laws.
In addition, fluid coupling and elastic wave propa-
gation may be incorporated in the same model. This
allows a fully coupled geomechanical hydromechan-
ical seismic analysis of a basin without restrictions
to elasticity or constitutive elastoplasticity.
We have studied the feasibility of applying PFC
to studies of compaction and stress changes associ-
ated with reservoir depletion (Alassi et al., 2006).
The reservoir was simulated in 2D with an assem-
bly of circular particles of typically 20 m in diameter.
This permitted the simulation of a 10 km wide and
5 km deep area. The reservoir was at 2 km depth was
500 m thick and 2 km wide. The particles were bonded
under stress, applied through gravity and boundary
conditions of no lateral displacement. Depletion was
mimicked by increasing the force on the particles on
the reservoir boundary.
Since experimental calibration is not feasible, the
DEM model was first tested against predictions of
Geertsmas (1973) analytical model for compaction
and subsidence, making sure that no bonds fail
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Copyright 2006 Taylor & Francis Group plc, London, UK
Figure 9. Bond breakage around and within a depleting
reservoir, simulated with PFC2D (see text for details).
during simulated depletion. The agreement between
the numerical and analytical modeling results was
good. Depletion was then increased, and damage was
induced by breakage of interparticle bonds. An exam-
ple is shown in Figure 9. The stress concentration near
the edges of the reservoir leads to massive failure in
that area. This damage is seen to propagate towards
the surface.
Pre-existing faults can be incorporated in the DEM
based on information from seismic data. This can
be accomplished by assigning specific properties to
the particles constituting the fault. Different trigger-
ing processes were mimicked, either by reducing the
friction coefficient between fault and neighbouring
particles (shear-induced faulting) or by reducing the
particle size and stiffness (leading to a compaction-
induced fault). Such modes for fault growth are
illustrated in Figure 10.
4 CONCLUSIONS
The development and application of a numerical rock
testing laboratory based on discrete particle modeling
has been described. 2D and 3D rock microstruc-
ture may be transferred from petrographical image
data to a DEM model. The main current challenge
is restricted model size because of limited com-
puter capacity. However, initial results show a good
agreement between the numerical simulations and
experimental results.
There are a large number of potential applications of
DEM within petroleum rock mechanics. This includes:
The stress path of a core during drill-out has been
assessed by DEM simulations. The results have
implications for the prevention of core damage and
possible core-based stress estimation.
Long term creep behaviour may be estimated by
DEM provided the physical mechanism responsi-
ble for time-dependent deformation can be prop-
erly implemented into the interparticle contact law.
DEM based on stress corrosion concepts, captures
the three phases of creep deformation and permits
prediction of time to failure given the creep stress
conditions.

Figure 10. Shear-induced (top) and compaction-induced
(bottom) fault growth simulated by PFC2D .
Using DEM particles as grid blocks, the DEM
is also seen to produce good results on basin
scale, simulating depletion of a reservoir and fault
activation.
The ultimate goal of the research presented here
is quantitative determination of rock behaviour. How-
ever, a main emphasis should be on the use of
DEM to support physical interpretation and physical
understanding of rock deformation and failure pro-
cesses. The goal can not be reached unless numerical
simulations are accompanied by laboratory or field
experiments.
ACKNOWLEDGEMENTS
The authors wish to acknowledge the technical
and financial support to this work from companies
participating in the JIP PET
US Petrophysics
under Stress at SINTEF Petroleum Research
(ConocoPhillips, Norsk Hydro, Petrobrs, Shell, and
Statoil). Shell is acknowledged in particular for
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Copyright 2006 Taylor & Francis Group plc, London, UK
supporting the PhD program Core-based stress esti-
mation at NTNU. The Norwegian Research Council
has supported the above-mentioned JIP, in addition to
a Strategic University Program (ROSE) at NTNU.
REFERENCES
Alassi, H.T.I., Li, L. & Holt, R.M. (2006) Discrete Ele-
ment Modeling of Stress and Strain Evolution within
and outside a Depleting Reservoir. PAGEOPH (to be
published).
Baud, P. & Meredith, P.G. (1997) Damage accumulation dur-
ing triaxial creep of Darley Dale sandstone from pore
volumometry and acoustic emission. Int. J. Rock Mech.
& Min. Sci. 34: 34, Paper no. 024 .
Cundall, P.A., Ruest, M., Guest, A.R. & Chitombo, G. (2003)
Evaluation of schemes to improve the efficiency of a com-
plete model of blasting and rock fracture. In Numerical
Modeling in Micromechanics via Particle Methods; ed.
H. Konietzky; 107115. Lisse: Balkema.
Geertsma, J. (1973) A basic theory of subsidence due to reser-
voir compaction: The homogeneous case. Trans. Royal
Dutch Soc. Geol. & Mining Eng. 22, 4362.
Gorodkov, S., Li, L. & Holt, R.M. (2006) Stress path during
coring: a discrete particle modelling approach. Proc. Inter-
national Symposium on In-situ Rock Stress, June 1921,
2006, Trondheim, Norway; Balkema (to be published).
Holt, R.M., Brignoli, M. & Kenter, C.J. (2000) Core quality:
Quantification of coring-induced rock alteration. Int. J.
Rock Mech. & Min. Sci. 37, 889907.
Holt, R.M., Kjlaas, J., Larsen, I., Li, L., Pillitteri, A.G. &
Snsteb, E.F. (2005) Comparison between controlled lab-
oratory experiments and discrete particle simulations of
the mechanical behaviour of rock. Int. J. Rock Mech. &
Min. Sci. 42, 985995.
Johnson, K.L. 1985. Contact Mechanics. Cambridge Univ.
Press; 452 pp.
Larsen, I., Li, L., Holt & R.M. (2004) Estimation of inter-
granular bond strengths by core scratching: A comparison
between a laboratory experiment and a numerical discrete
particle simulation. Proc. GulfRocks04, ARMA/NARMS
04-544; 7 pp.
Pestman, B.J., Holt, R.M., Kenter, C.J. & van Munster, J.G.
(2002) Field application of a novel core-based in-situ
stress estimation technique. SPE/ISRM 78158. 7 pp.
Potyondy, D.O. & Cundall, P.A. (2004) A bonded-particle
model for rock. Int. J. Rock Mech. & Min. Sci. 41, 1329
1364.
Vietor, T. (2003) Numerical simulation of collisional orogeny
using the distinct element technique. In Numerical
Modeling in Micromechanics via Particle Methods; ed.
H. Konietzky; 295301. Lisse: Balkema.
 EUROCK 2006 Multiphysics Coupling and Long Term Behaviour in Rock Mechanics
Van Cotthem, Charlier, Thimus & Tshibangu (eds)
2006 Taylor & Francis Group, London, ISBN 0 415 41001 0

Thermo-hydromechanical modeling in unsaturated hard clay and

application to nuclear waste storage

Y. Jia, G. Duveau & J.F. Shao

Laboratoir de Mcanique de Lille, Polytech-Lille, cit scientifique, 59655 Villeneuve dAscq, France

K. Su & Y. Wileveau
ANDRA,Chatenay Malabry, France

ABSTRACT: This paper presents thermo-hydromechanical modeling in partially saturated hard clay in the
frame work of feasibility study for nuclear waste storage. In the first part, based on the relevant experimental data,
an elastoplastic damage model is developed for hard clay in saturated and unsaturated conditions. The model is
applied to typical hard clay subjected to various loading paths. Comparisons between numerical predictions and
experimental data are presented. In the second part, numerical modeling of coupled thermo-hydromechanical
problems in saturated and unsaturated porous media is proposed. The finite element method is used with fully
coupled algorithm. The proposed model is applied to the modeling of an underground storage of category C
wastes. In this structure, the rock formation is subjected to cavity excavation, heating and desaturation. Coupled
thermo-hydro-mechanics responses of underground storage, in both short and long term, are investigated using
the proposed model.

1 INTRODUCTION The material is assumed to be saturated by a liquid

This work has been preformed in the framework of fea-
sibility study of underground storage of radioactive
wastes coordinated by the French Agence National de
Gestion des Dchets Radioactifs (Andra). Thanks to its
good geological properties (without major fractures),
very low permeability and high mechanical strength,
argillite is chosen as one of possible geometrical bar-
riers. An underground laboratory is being constructed
in the layer of argillite to carry out the in situ thermo-
hydromechanical experiment. In this context, rocks
are submitted to various coupled perturbations such as
mechanical loading, hydraulic flow, desaturation and
resaturation, temperature variation etc. In such a multi-
disciplinary research project, one of the essential tasks
is to physically understand and mathematical describe
the mechanical behaviour of material in coupled con-
ditions. As a part of tasks, the purpose of our work
is to propose a constitutive model for the description
of hydromechanical behaviour argillite in saturated
and unsaturated condition. In the end, an underground
storage of nuclear wastes of class C is simulated.
phase (noted by index lq) and a gas mixture (noted
by index vp). The liquid pressure and gas pressure
are respectively denoted by plq and pgz . In unsatu-
rated materials, we define the capillary pressure by
pcp = pgz plq . However, for the sake of simplicity, in
this work, it is assumed that the gas pressure is equal
to the atmospheric pressure taken zero. Thus capillary
pressure equals pcp = plq .The state variables used are
e
the elastic strain tensor, ; the fluid mass change per
unit volume, m; and the temperature, T . In order to take
into account plastic deformation and induced damage
due to microcracks, an incremental form of thermo-
poroelastic model is used. From the standard deriva-
tion of the quadratic form of thermodynamic potential
(Biot 1973; Coussy 2004), the thermo-poroelastic
constitutive equations are expressed as follows:

2 GOVERNING EQUATIONS

The proposed model is formulated in the framework In these equations, m , sij , eije , ev , lq denote, respec-
of poroplasticity and continuum damage mechanics. tively, the mean stress, the deviatoric stress tensor, the

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Copyright 2006 Taylor & Francis Group plc, London, UK

 deviatoric elastic strain tensor, the volumetric elastic
strain and the volumetric mass of the liquid phase. In
addition, b is the drained thermal expansion coeffi-
cient and Cb is the drained volumetric heat capacity.
The variable sb denotes the volumetric entropy of
lq
porous medium, and sm is the reference specific
entropy of liquid phase. Slq is the water saturation
degree. The Biots coefficient b and the Biots modulus
Mlq characterize the poroelastic coupling. Using the
results from microstructure analysis, the two poroelas-
tic coupling parameters can be expressed as functions
of the properties of constituents:
The variable denotes the total porosity of porous
medium. Km and Klq are respectively the compress-
ibility modulus of solid matrix and fluid. By assuming
that the thermal expansion of solid matrix is close to
that of bulk material in drained condition, we obtain the
following relation:
lq and b are respectively the thermal expansion
coefficient of fluid and the drained thermal expansion
coefficient of porous medium.
By applying the Darcys law to the fluid flow in
saturated porous media, the velocity of liquid is gov-
erned by:
 lq denotes the vector of fluid flow rate. k et klqr I are
w The parameter is called the plastic effective stress
respectively the intrinsic permeability et the relative
permeability of fluid. lq is the dynamic viscosity of
fluid. g is the gravity acceleration. The heat conduction
is described by the Fouriers law:
 denotes the thermal flux. The parameter is the
Q
heat conductivity coefficient. The mass conservation
equation for fluid is governed by:
The energy balance equation is obtained from the ther-
modynamic principles and expressed as follows:
The variable r denotes the rate of internal heat pro-
duction and 1 the intrinsic dissipation due to plastic
deformation and damage evolution.
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Copyright 2006 Taylor & Francis Group plc, London, UK
3 COUPLED PLASTIC DAMAGE MODEL
According to the experimental data obtained from the
MHM argillite, a coupled elastoplastic damage model
is needed to describe the mechanical behavior of this
material. In the framework of the thermodynamics of
irreversible processes, the plastic state is defined by
p
the plastic strain tensor, ; the isotropic damage is
represented by the scalar variable, ; and the plastic
hardening will be described by generalized plastic
distortion.
3.1 Characterization of plastic deformation
The plastic deformation is characterized by a plastic
yield function, a plastic potential and a plastic harden-
ing law. In the general framework of thermodynamics
of saturated porous media, the complementary func-
tions for plastic deformation should be formulated in
the extended space of stresses, fluid pressures and con-
jugate forces associated to plastic hardening variables.
However, the experimental identification of such func-
tions is generally not easy. In practice, it is easier to
develop plastic models of porous media by the exten-
sion of plastic models for dry materials. This approach
is based on the so-called stress equivalence principle.
It consists to define a suitable effective stress tensor
for plastic deformation (usually called plastic effective
stress) of the saturated medium. For isotropic materi-
als, a simple form of plastic effective stress tensor can
be obtained from the extension of Biots theory to
partially saturated media (Coussy 2004):
coefficient. It defines the influence of interstitial pres-
sure on plastic deformation.
As mentioned above, the plastic deformation is cou-
pled with the damage due to microcracks. The growth
of microcracks reduces the effective material area
and then generates a redistribution of stresses in the
intact material area. Thus, the plastic deformation
depends on the damage state. In the framework of the
classic continuum damage mechanics, the equivalent
strain principle is proposed to describe mechanical
behaviour of damaged material. In addition, according
to micromechanical analysis, induced damage affects
separately the elastic compressibility bulk modulus
and shear modulus. By taking the same form of effec-
tive stress for plastic mechanism, the following gen-
eralized effective stress tensor is proposed for the
damaged saturated porous medium:
 Like many geomaterials, hard clay are strongly
pressure sensitive materials. According to the experi-
mental data for the MHM argillite (Chiarelli 2000),
a curved failure surface is needed. By taking into
account plastic hardening, the following quadratic
function is here used to describe plastic yield function
and failure criterion:
p is the mean effective stress, q the deviatoric stress
and the Lodes angle associated to the effective stress
tensor for damaged material, defined by (14). The
function g() allows describe the dependency of yield
function on the Lodes angle. The function proposed by
Mantrey and Willam (1995) is used here. The param-
eter Rc denotes the uniaxial compression strength,
and Cs is the coefficient of cohesion of material. The
parameter A defines the curvature of the failure sur-
face. The plastic strain hardening is described by the
increasing function p with the generalized plastic
distortion p . Based on the experimental data, the
following form is proposed:
The parameter B controls the rate of plastic hardening.
The hardening function p varies from 0 to 1 and the
failure surface is reached when p = 1.
Plastic flow rule is determined by the plastic poten-
tial. In most rocks, the plastic flow does not verify
the normal dissipation rule. Plastic volumetric strain
exhibits generally a transition from compressibility to
dilatancy depending on loading path. Therefore, a non-
associated plastic flow rule has to be defined. Based
on the experimental data (Chiarelli 2000), the follow-
ing simple form is proposed for plastic potential:
The parameter divides the stress space into two
zones, respectively corresponding to the plastic com-
pressibility and dilatancy. The plastic flow rule is then
given by:
The loading-unloading condition is defined by:
3.2 Characterization of damage
According to experimental data and micromechanics
analysis, elastic properties of material are affected by
507
Copyright 2006 Taylor & Francis Group plc, London, UK
induced damage due to growth of microcracks. In
the case of isotropic material, damage affects inde-
pendently the bulk modulus and the shear modulus.
The constitutive relation (1) is then modified in order
to take into account the damage effects on the elastic
properties:
The last two terms represent the stress variation due to
the evolution of damage variable.
In the framework of thermodynamics of irreversible
processes, the damage evolution law is obtained by the
definition of a dissipation potential, which is a func-
tion of the conjugated force associated to the damage
variable. However, the experimental identification of
such a damage law is not easy when different coupling
phenomena should be considered in porous media. In
this work, we propose to use an experimentally based
pragmatic approach for damage characterization. The
variation of damage is assumed to be inherently related
to the variation of elastic and plastic strains. The
damage will be controlled respectively by tensile vol-
umetric strain and shear strain. The damage criterion
proposed by Mazars (1984) for concrete is extended
here to the description of damage evolution in argillite:
The variable is defined as the driving force for
damage evolution, chosen essentially based on exper-
imental evidences. 0 is the initial damage threshold.
A1 and B1 are two parameters controlling the damage
evolution rate.
4 PARAMETERS IDENTIFICATION AND
NUMERICAL SIMULATIONS
In this section, the general methodology for the
determination of parameters used in the constitutive
model is outlined. The initial elastic constants, namely
Youngs modulus Eb and Poissons ratio , can be
determined on the linear part of stress strain curves
obtained in a triaxial compression test in drained con-
dition. Their values may possibly depend on confining
pressure. However, this secondary feature is not taken
into account in this work. The average values from
different confining pressures are used. The parame-
ters, A and Cs , characterize the failure surface of the
 Table 1. The obtained values of parameters for the argillite.
45 1 3 (MPa)
Elastic parameter Plastic parameter Damage parameter

E = 7400 MPa Rc = 25.5 MPa A1 = 0.97 30

= 0.17 A = 3.25 B1 = 2.0
Cs = 0.1 0 = 1.0E 4
B = 7.0E 4 2 = 1.0 Pc = 5 MPa
= 1.3 = 1.0 15
1 = 1.0 = 1.0

3 (%) 1 (%)
0
material in effective stress space. They can be identi- -1.5 -0.5 0.5 1.5 2.5
fied from peak stresses in drained triaxial compression
tests performed under different confining pressures, Figure 1. Simulation of triaxial compression test with
confining pressure 5 MPa.
by drawing the failure line in the effective stresses
p q plane, as defined by (12). Notice that as the
effective stress concept is used in this work, as defined 30 3 (MPa)
in Equation (11); the effects of pore pressure are
taken into account through the effective stress. The
determination of the point where indicate compress- 20
ibility/dilation transition gives the value of . The
plastic hardening parameter B is fitted from the evo-
lution of p versus plastic shear strain p according to 10
Equation (14). The damaged parameters are identified
from the variation of elastic properties during unload-
3 (%) 1(%)
ing paths and the softening behavior of material. The 0
initial damage threshold 0 is fitted as the initial value -0.6 -0.4 -0.2 0 0.2 0.4 0.6
of the damage force when the deterioration of elastic
properties occurs. In order to determine the parameter Figure 2. Simulation of lateral extension test with an initial
confining pressure 30 MPa.
A1 and B1 , the evolution of elastic modulus with the
damage force is evaluated.
The samples of MHM argillite were drilled from 160 1(Pa)
three different depths in the site of the underground
research laboratory constructed by ANDRA in the 120
Eastern France (Meuse/Haute Marne). A series of tri-
axial compression tests have been performed on the
80
samples from each depth (Chiarelli 2000). The mecha-
nical behaviors between the different depths are qual-
40 K = 2.2
itatively similar with only small quantitative scatters.
Therefore, the experimental data from the three depths
3 (%) 1 (%)
are superposed here to represent the averaged data of 0
the argillite. According to the estimation of in situ -0.5 0 0.5 1 1.5 2
water content and of porosity, the initial state of
argillite samples can be seen as in saturated condition. Figure 3. Simulation of proportional compression test with
The data from triaxial tests have been used for the a stress ration K = 2.2.
determination of the models parameters. In Table 1,
typical values of the parameters are presented for axial stress, confining pressure, axial strain and lateral
the MHM argillite studied. Using these parameters, strain.
numerical simulations of laboratory tests have been In Figure 2, the simulation of the lateral extension
performed and some examples are given here. tests is shown. In this test, the sample is first subjected
Figure 1 show the simulation of triaxial compres- to a hydrostatic stress 30 MPa; then the confining pres-
sion tests under the confining pressure 5 MPa on sure is progressively reduced while the axial stress is
saturated samples. The main mechanical responses kept constant. We can see important scatters between
of argillite are well reproduced. We can see that the test data. This may be due to the difference of sat-
the induced material damage leads to a softening uration degree between different samples. However,
behaviour due to progressive growth of microcracks. with all the simplifications made, there is still a good
In the figures, 1 , 3 , 1 et 3 represent respectively the agreement between the simulations and test data.

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Copyright 2006 Taylor & Francis Group plc, London, UK

 45 1 3(MPa) storage of nuclear waste conducted byAndra in France.
An underground storage of category C wastes is stud-
Slq=60%
ied. The radioactive wastes of category C contain large
Slq=77% quantities of fission products, activation products, and
30
actinides. They often generate considerable thermal
Slq=100%
energy. So the storage of category C waste is char-
15 acterized by a high thermal loading, the presence of
Pc = 2MPa metals and swelling clay, and return quickly in a state
close to saturation after closing.
3(%) 1(%)
0 The site chosen for the storage is located in a hard
-1 0 1 2 3 clay rock called the Meuse/Haute Marne (MHM)
argillite with a thickness approximately 130 m, sur-
Figure 4. Simulation of a triaxial compression test (Pc = mounted by two layers of limestones: the Limestone
2 MPa) with different water saturation degree. of Oxfordien and the Marno-limestone of the Kim-
mridgien. The reference storage of category C waste
is one without barrier works, with a diameter 0,7 m
ij = 0ij; plq = p0lq; T = T 0
and a length 40 m. In Figure 5, the geometrical layout
of the tunnel is illustrated.
T=T9

5.1 Basic data and assumptions

No flow

No flow

500 m

Numerical modelling has been performed in plan

deformation conditions. The radius of the cavity is
r = 0,35 m. Before the excavation of the tunnel, the
T = T8 stress tensor in the rock is assumed to be isotropic and
ij = 0; the rock is assumed to be saturated with a uniform
plq = 0; No flow water pressure. The initial values for the in situation
T = T1
stresses, pore pressure and temperature are:
12 m T = T7
r = 0,35m

Figure 5. Geometrical domain and boundary conditions of

studied field.
Finally, a proportional compression test is presented
in Figure 3. In this test, the axial and lateral stresses
are simultaneously increased with a constant ratio
(k = 1 /3 ). Again the simulation is in good accor-
dance with the experimental data in spite of some
scatters in test data.
In order to study the influence of water satura-
tion degree on the mechanical behavior of argillites,
three triaxial compression tests, under the confine-
ment 2 MPa, with different water saturation degree are
simulated in Figure 4. The material strength increases
when the water saturation degree decreases. However,
the material strength becomes more brittle in nature.
There are also a good qualitatively agreement between
simulations and experiment data. In a word, the cap-
illary effect on mechanical behavior of argillites is
correctly described.
5 APPLICATION NUMERICAL
The study presented here is performed in the frame-
work to the feasibility study for the underground
The loading path is composed of four steps: the exca-
vation, the waiting phase of the installation of waste
parcels (1 year) and swelling clay (4 years), the evolu-
tion in the long term. During the excavation, the radial
stress and liquid pressure are unloaded from the initial
values to the atmospheric pressure (patm = 0,1 MPa).
The excavation of storage is finished during 3 days.
After two waiting phases, the swelling clay plug (Slq =
0,8) is put in the head of cavity in a manner instanta-
neous.
We know that the variation of temperature in the
field far from the cavity wall, provided by the 2D mod-
els, can produce an overestimate of thermomechanic
stress and interstitial pressures in the THM coupling
processes. It is necessary to take in account the 3D
thermal effect. Finally, the evolutions of temperature
provided by a 3D thermal calculation are imposed
at several points of rocks in near field and on the
interfaces of geological layers.
In addition, experimental data have shown that
the intrinsic permeability of rock is affected by
crack induced damage and plastic dilatancy (Brossart
et al. 2002). This should be taken into account in
hydromechanical modelling. As no quantitative data

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Copyright 2006 Taylor & Francis Group plc, London, UK

 70 T(C) excavation 5 years 0.52 p
10 years 15 years
60 100years 1000 years 0.39 excavation 5 ans
10 ans 15 ans
50
0.26 100 ans 1000 ans
40
0.13
30
0
20 0 20 40 60 Y(m) 80
0 20 40 60 Y(m) 80
Figure 8. Variation of equivalent plastic deformation along
Figure 6. Variation of temperature on the vertical axis of the vertical axis at different time.
storage at different time.
The variations of pore water pressure along the
10 Plq(MPa) vertical axis are presented in Figure 7. With the
8 installation of swelling clay, the decrease of water
pore pressure is effective on the rock mass. However,
6
due to the heating of the parcels, the pore pressure
4 re-increases quickly. Lastly, we observe a liquid pres-
2 sure of 8 MPa in the argillite. The peak of overpressure
Y(m)
0 locates just a few meters from the cavity wall, and then
0 20 40 60 80 decreases progressively. However this distance as well
-2
excavation 5 years as the amplitude of overpressure is directly related to
-4
10 years 15 years the permeability of argillite. With the low permeability
-6
100 years 1000 years of rock, the pore water pressure increases significantly
-8 during heating phase due to the differential thermal
expansion between water and rock. Then the pore pres-
Figure 7. Variation of water pressure along the vertical axis
sure progressively decreases by water flow into rock.
at different time.
The evolution of the plastic hardening func-
tion (equivalent plastic deformation) is presented in
are available for the rock studied, the following sim- Figure 8. The peak of plasticity is reached at the cav-
ple relation is used in order to make a qualitative ity wall just after the excavation. This plastic zone,
investigation: both the propagation and magnitude, evolves during
the heating and desaturation period and reaches its
peak at the end of 100 years. On the other way, the outer
radius of the plastic zone is constant with the cooling of
waste parcels. Therefore, an additional plastic defor-
mation can be induced by heating and desaturation
Where dp denotes the value of p when the material process in this kind of structures.
begin to dilate, Rk controls the kinetics of permeability
variation. On the basis of experimental data obtained
on laboratory tests, a maximal increase of three orders 6 CONCLUSION
of magnitude of permeability has been considered.
A new elastoplastic damage model is proposed for
semi-ductile rocks in saturated and partially saturated
conditions. The simulations of representative labora-
5.2 Results and analysis tory tests, performed on the hard clay, have shown
In this section, some representative results are pre- a good agreement with experimental data. The pro-
sented to show the evolutions of temperature, pore posed model is able to describe the main features of
water pressure and hardening law parameter at dif- hydromechanical behaviours for this class of mate-
ferent time. At first, the distribution of temperature rials. An application example is presented on the
is given in Figure 6. The rocks are heated gradually thermo-hydromechanical modelling of an undergroud
by the waste parcels. The evolution of temperature storage subjected to drying, heating and cooling. The
is essentially controlled by thermal conductivity and temperature variation is essentially controlled by heat
not affected by rock deformation and fluid flow. conductivity. However, there is a strong effect of tem-
Convective diffusion is neglected in the present study. perature on the evolution of pore pressure. Significant

510

Copyright 2006 Taylor & Francis Group plc, London, UK

 over-pressure can be induced by heating, and then pro-
duce additional plastic deformation. The desaturation
process is controlled by the intrinsic permeability and
the variation of the relative permeability to liquid. The
variation of the intrinsic permeability with plastic
deformation and damage plays an important role.
REFERENCES
Biot, M.A. (1973). Non linear and semilinear rheology of
porous solids. J. of Geophy. Res., Vol. 78, n 23, 4924
4937
Brossart, P., Meier, M., Moeri, A., Trick, Th., Mayor, J.C.
(2002). Geological and hydraulic characterisation of the
511
Copyright 2006 Taylor & Francis Group plc, London, UK
excavation disturbed zone in the Opalinus Clay of the
Mont Terri Rock Laboratory, Engineering Geology 66,
1938
Chiarelli, A.S. (2000). Experimental investigation and con-
stitutive modeling of coupled elastoplastic damage in hard
claystones, Doctoral thesis (in French), University of Lille
Coussy, O. (2004). Poromechanics. John Wiley & Sons
Mantrey, Ph. And Willam, K.J. (1995). Triaxial failure cri-
terion for concrete and its generalization. ACI structural
Journal 92(3), 311318
Mazars, J. (1984). Application de la mcanique de
lendommagement non linaire et la rupture du bton
de structure. Thse de Doctorat dEtat de lUniversit de
Paris (in French)
 EUROCK 2006 Multiphysics Coupling and Long Term Behaviour in Rock Mechanics
Van Cotthem, Charlier, Thimus & Tshibangu (eds)
2006 Taylor & Francis Group, London, ISBN 0 415 41001 0

Modeling by homogenization of water drainage in double-porosity soils

J. Lewandowska, T.D. Tran Ngoc & M. Vauclin

Laboratoire dtude des Transferts en Hydrologie et Environnement (LTHE), (UMR CNRS, UJF, INPG,
IRD), Grenoble Cedex France

H. Bertin
Laboratoire TRansferts, Ecoulements, FLuides, Energtique (TREFLE), (UMR CNRS, ENSAM, ENSCPB,
UBx1), Talence Cedex, France

ABSTRACT: Aggregated soils or fractured porous rocks are heterogeneous media generally composed of
two sub-domains with contrasted hydraulic properties. In such complex microstructures possible local non-
equilibrium conditions may prevail during transient unsaturated water flow. The macroscopic model obtained by
periodic homogenization is able to capture this effect by accounting for the coupling between flows in the macro-
and micro-porosity domains through a sink/source term. The paper presents the experimental verification of the
model in case of drainage. A series of one-dimensional experiments was performed in a column filled with a
porous medium composed of a mixture of sand and sintered clayey spheres embedded in a periodic manner. Time
evolutions of cumulative water flux at the outlet of the column, capillary pressure and water content inside the
column were measured during the drainage process. A very reasonable agreement between numerical simulations
and experimental observations shows the capacity of the model to capture the main features of the water flow.

1 INTRODUCTION of sintered clayey material embedded in the quartz

Geomaterials are heterogeneous multiphase materials
of complex structure that exhibit scale effects both
in time and in space. These effects can be captured
by the periodic asymptotic homogenization method.
The unsaturated water flow model in highly heteroge-
neous rigid geomaterials (double-porosity media) was
previously obtained by such a method (Lewandowska
et al. 2004). The model consists of two nonlinear
diffusion equations, corresponding to the macro- and
micro-porosity domains, respectively. The two pro-
cesses are coupled by a spatially distributed exchange
term which represents the variations of the average
water content within the micro-porosity. The model
was successfully applied to simulate water infiltration
into a double-porosity medium (Lewandowska et al.
2005). This paper presents some preliminary results
dealing with drainage experiments and the compari-
son with the numerical simulation of the process using
the double-porosity flow model.
2 EXPERIMENTS
2.1 Material
The double-porosity medium used in the experi-
ments was a periodic arrangement of spheres made
Hostun sand. The grain distribution of sand was
relatively uniform, with the mean grain diameter of
162 m. A mercury porosimetry test of the sintered
clayey material gave the porosity = 0.376 and the
mean pore size around 0.7 m. The skeleton specific
density for this material was s = 3.01 g/cm3 and its
dry bulk density d = 1.88 g/cm3 . The spheres were of
relatively uniform diameter with an average value of
2R = 6.4 mm. If we assume that the characteristic size
of the sand pores is of the same order of magnitude as
the size of the grains, the contrast between pore sizes
of both materials is 1: 230.
2.2 Experimental setup
The experimental set-up consisted of a Plexiglas col-
umn (60 cm high, with a 6 cm inner diameter), which
was installed in an experimental setup, allowing the
measurements of water content by the gamma ray
attenuation technique (Corey et al. 1970, Gharbi et
al. 2004), (Fig. 1). The source (241Am) and the detec-
tor were mounted on a mobile rig. The volumetric
water content () was measured at 33 depths along the
column. Each measurement (obtained with a count-
ing time of 150 s) corresponds to the average value
across the horizontal section of the column. Water

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Copyright 2006 Taylor & Francis Group plc, London, UK

 Mobile platform Table 1. Main characteristics of the experiments.

Number of test Test 4 Test 5

Air tube
Effective length of the
Stopper column [m] 0.503 0.504
Porosity of sand [] 0.386 0.389
Mean porosity of the
Detector double-porosity 0.359 0.353
241 N0 N1 medium []
Am S PM Computer Volumetric fractions

Source sand/clay [] 0.483/0.517 0.484/0.516
Capillary pressure imposed
Tensiometers at the bottom 0.85 0.85
Double- of the column [m]
porosity
medium Membrane
3 HYDRODYNAMIC PROPERTIES

Campbell Scientific
It was assumed that both materials were adequately
characterized by the van Genuchten-Mualem (Mualem
h

Data logger 1976, van Genuchten 1980) closed-form equations:

Campbell

Vessel

Balance
Figure 1. Experimental setup.
pressure head (h) was measured at four depths by ten-
siometers, each of them being connected to a pressure
transducer. A stopper placed at the top of the column
prevented evaporation losses but allowed air to enter
through a small tube. The pressure head at the bottom
of the column was imposed by a tubing of variable
length which allowed the flow of drained water to a
vessel placed on a balance. The transducers and the
balance were connected via a data logger (Campbell
Scientific Ltd CR 10X) to a computer which stored
the data. The tensiometer readings were not used in
the double-porosity experiments.
2.3 Experimental procedure
The experimental procedure consisted of four princi-
pal stages: (i) column filling with the porous medium,
(ii) saturation of the medium with CO2 , (iii) water
injection from the bottom of the column until com-
plete saturation of the medium, (iv) drainage at a
where R and S [] are the residual and saturated
volumetric water content, respectively, KS is the satu-
rated hydraulic conductivity [LT1 ], [L1 ], n [] and
m [], (with m = 1 1/n) are empirical constants.
The five parameters of each material (sand and sin-
tered clay) were experimentally determined as follows.
3.1 Sand
Because of the observed hysteretic behaviour of
the (h) curve, the sand parameters previously
obtained from the infiltration experiments performed
on the same material (Lewandowska et al. 2005)
could not be straightforwardly applied to the drainage
ones. Therefore, sand was characterized via separate
drainage experiments, conducted in a column filled
with a homogeneous sand of the same porosity as
the sand in the double-porosity medium. The param-
eters , n were estimated by an inverse procedure
using the Hydrus code (imunek et al. 1998), based
on the following measurements: the water content at
the end of the drainage, corresponding to the hydro-
static equilibrium (water retention curve), the tran-
sient water content profiles and the cumulative flux
curve at the bottom of the column. The obtained val-
constant capillary pressure (h) imposed at the bottom ues are: = 9.3 101 m1 and n = 8.567. S = 0.399
of the column through a nylon membrane. The main was measured by the gamma ray attenuation tech-
characteristics of two experiments considered here are nique and R = 0.022 was estimated from an indepen-
presented in Table 1. dent small column drainage experiment by applying

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Copyright 2006 Taylor & Francis Group plc, London, UK

 1000 4 UNSATURATED WATER FLOW MODEL IN
DOUBLE-POROSITY MEDIUM

100 4.1 Model

The double-porosity flow model for the conditions of
lhl[cm]

10 the experiment consists of the macroscopically one-

Sand
dimensional vertical flow equation (3), coupled with
Sintered clay the local flow equation (4) in the spheres:
1 Double-porosity
medium

0.1
0 0.05 0.1 0.15 0.2 0.25 0.3 0.35 0.4 0.45
[]

Figure 2. Water retention curves.

1000
with the pressure continuity condition at the interface
" between the sand and the spheres:
100

where h is the macroscopic water pressure head, C eff

IhI[cm]

10 (h) is the effective capillary capacity, K eff (h) is the

Sand effective hydraulic conductivity, h2 is the local pres-
Sintered clay
sure head in the sub-domain 2 , 2 is the volumetric
1 Double-porosity
medium
water content in 2, w2 is the volumetric fraction of
the spheres in the double porosity medium, |2 | is the
volume of a sphere of radius r.
0.1
1.E-10 1.E-09 1.E-08 1.E-07 1.E-06 1.E-05 1.E-04 1.E-03 1.E-02
-1
K[cm.s ] 4.2 Effective parameters
Figure 3. Water conductivity curves. The effective parameters were calculated using the
homogenization method presented in Lewandowska
et al. (2004), for the period geometry presented in
a large depression. KS = 2.86 105 m/s was deter- Figure 4. The effective conductivity and the effec-
mined from a constant gradient saturated experiment. tive capillary retention capacity have the following
The water retention (h) and the conductivity K(h) expressions:
curves for the Hostun sand are presented in Figures 2
and 3.

where K1 and C1 are the hydraulic conductivity

3.2 Sintered clayey material
Since it was very difficult to perform drainage experi-
ments in the sintered clayey material, its hydrodynamic
parameters previously obtained from the infiltration
tests (Lewandowska et al. 2005) were used. It is
assumed that the error introduced by neglecting the
hysteresis is not so important, since the process in
double-porosity medium is primarily governed by sand
(Lewandowska et al. 2004). Consequently, the param-
eters retained are the following (Lewandowska et al.
2005): S = 0.295, R = 0.0, KS = 1.15 107 m/s,
= 6.05 101 m1 and n = 2.27. The correspond-
ing water retention and hydraulic conductivity curves
are also plotted in Figures 2 and 3.
and capillary capacity of the sand, respectively. The
corresponding retention and conductivity curves are
presented in Figures 2 and 3.
4.3 Numerical solution
The numerical calculations were performed using the
code DPOR_1D (Lewandowska et al. 2004). The
boundary and initial conditions for the drainage exper-
iment were as follows:
at z = 0 and for t > 0: K eff (h/z + 1) = 0.
at z = L and for t > 0, h = 0.85 m of water.
for t 0: h = 0 within the whole domain
(saturation).

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Copyright 2006 Taylor & Francis Group plc, London, UK

 6
Sintered clayey
spheres (2)
3.20

F [cm]
Sand (1)
12.96

6.56

2 TEST 4
Interface () TEST 5
SIMU
3.20

0
0 5000 10000 15000 20000 25000 30000
t [s]

Figure 5. Cumulative water flux calculated and measured

6.

0 at the bottom of the column.

40

4
6.
0.004

Figure 4. Period geometry: 6.4 6.4 12.96 [mm]. f [cm/s]

0.003

TEST 4
0.002
5 RESULTS TEST 5
SIMU

The experimental data are compared with the 0.001

numerical calculations of the water flow in the double-
porosity medium.
0.000
0 5000 10000 15000 20000 25000 30000

5.1 Cumulative and instantaneous water fluxes t [s]

The comparison of the cumulative and instantaneous Figure 6. Instantaneous water flux calculated and measured
water fluxes at the bottom of the column versus time at the bottom of the column.
is presented in Figures 5 and 6, respectively. It can
be observed that the total amount of the drained water 0
measured at the end of the experiment (4.95 cm) differs
from the calculated one (5.52 cm) by about 10% which
appears to be reasonable. Another element of compari- 10
son is the characteristic time of the process. The model
does not fit it correctly. While the measured values 20
z [cm]

indicate that the water apparently ceased to flow out

of the column at t = 104 s, the calculated cumulative 30 TEST 4
flux continues to slightly increase with time. TEST 5
Simulated meanvalue
The instantaneous water flux is fairly well repro- Measured mean value
40
duced, if we take into account that the experimental
scattering can be attributed to the precision of the
measurements (7 104 cm/s). 50
0.00 0.05 0.10 0.15 0.20 0.25 0.30 0.35 0.40 0.45 0.50
[]
5.2 Water content profiles
Figure 7. Water content profile calculated and measured at
Some typical examples of water content profiles sim- saturation.
ulated and measured at different times are given in
Figures 7, 8, 9 and 10 Water content was calculated
as = <1 > + <2 > where <1 > and <2 > were double-porosity medium. Note that the precision of
obtained by solving Eqs. (3) and (4). It can be seen the water content measurement by gamma ray is esti-
that there exists a good agreement in terms of aver- mated at 0.03 and the diameter of the collimated beam
age values with a rather large experimental scattering is of the same order of magnitude as the size of the
associated with the heterogeneous structure of the spheres.

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Copyright 2006 Taylor & Francis Group plc, London, UK

 0 t=153s 0.400

0.350
10
0.300 z = -49.3 cm

20 0.250 z = -31.56 cm
z [cm]

[]
0.200
30 z = -2.51 cm
TEST 4 0.150 z = -2.51
TEST 4: mean value at t = 0 z = -31.56
SIMU 0.100 z = -49.30
40
SIMU TEST 4
0.050
t=5049s
50 0.000
0.00 0.05 0.10 0.15 0.20 0.25 0.30 0.35 0.40 0.45 0 5000 10000 15000 20000 25000 30000
[] t [s]

Figure 8. Water content profile calculated and measured Figure 11. Water content versus time at different depths in
during the time interval [153s and 5049s]. the column.

0 t=5733s
0.400

0.350
10
0.300 z = -49.3 cm

0.250
20 z = -31.56 cm
z [cm]

[]

0.200
30 TEST 4 0.150 z = -2.51 cm
TEST 4: mean value at t = 0 z = -2.51
SIMU 0.100 z = -31.56
40 z = -49.30
TEST 5
0.050 SIMU

t=10269s 0.000
50
0 0.05 0.1 0.15 0.2 0.25 0.3 0.35 0.4 0 5000 10000 15000 20000 25000 30000
[] t [s]

Figure 9. Water content profile calculated and measured Figure 12. Water content versus time at different depths in
during the time interval [5733s and 10269s]. the column.

We believe that this effect is related to the measure-

0
ment procedure (in this case the monitoring began at
the top of the column). The same trend was observed
10 when the starting point of measurement was located at
the bottom of the column (Fig. 12).
20
z [cm]

5.4 Local non-equilibrium

30 TEST 4
TEST 5
In order to show the non-equilibrium effect, the time
mean value at t = 0 evolutions of the exchange term (the second LHS
40 SIMU term of Eq. (3)) calculated at different depths in the
column are plotted in Figure 13. It can be seen that
50 the exchange term takes small values (of the order
0 0.05 0.1 0.15 0.2
[]
0.25 0.3 0.35 0.4
of 104 105 s1 , (Szymkiewicz et al. 2005)) and
decreases rapidly with time. For time t = 3 104 s
Figure 10. Water content profile calculated and measured the order of magnitude of the exchange term is
at the end of the experiment. (107 108 s1 ).
The non-equilibrium effect can also be seen in
Figure 14 which presents the local capillary pressure
5.3 Water content versus time in the spheres (normalised by the capillary pressure h)
Figure 11 shows an example of the evolution of the calculated at z = 2.5 cm for different times. It can be
water content with time at some selected depths in concluded that the non-equilibrium effect is relatively
the column. It can be seen that a good agreement was small but it lasts relatively long. For example, 104 s are
obtained at the bottom of the column while the mea- needed to achieve the capillary pressure equilibrium
sured values differ from the calculated ones at the top. between the macro- and micro-porosity at that depth.

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Copyright 2006 Taylor & Francis Group plc, London, UK

 1. E-03 as that of the gamma ray measurement technique. That
clearly asks us a series of question dealing with the
1.E-04
z = -2.5 cm interpretation of the measurements requiring further
1.E-05 z = -20.9 cm experimental investigations.
z = -41.8 cm
1.E-06
The local non-equilibrium effect appears less
Q [s-1]

strongly pronounced in the case of drainage than for

1.E-07 the infiltration. It is related to the variations of the
1.E-08
macroscopic capillary pressures imposed to the col-
umn. For example, maximum variations occurred at
1.E-09 the top of the column, i.e. between 0 m and 1.35 m of
1.E-10
water. According to the retention curve, the water con-
0 5000 10000 15000 20000 25000 30000 tent does not vary too much in this range of capillary
t [s]
pressure.
Finally, other experiments using tracers are planned.
Figure 13. Time evolution of the water exchange term
between sand and sintered clayey spheres calculated at
different depths of the column.
ACKNOWLEDGEMENTS

This research was financially supported by the French

1.002
Project ECCO PNRH (INSU-CNRS). We acknowl-
1.000 edged CNRS for the BDI-PED scholarship granted to
T.D. Tran Ngoc.
0.998

0.996
h2 []

0.994
t =10 s
0.992 t =100 s
t =300 s
0.990 t =1000 s
t= 10000 s
0.988
0 0.05 0.1 0.15 0.2
R r [cm]
Figure 14. Local capillary pressure in the spheres at
z = 2.5 cm calculated at different times.
6 CONCLUSIONS
The general conclusion of the analysis is that the
double-porosity unsaturated flow model obtained by
homogenization is able to reproduce properly the
experimental data of water drainage. The observed
scatterings and discrepancies can be associated with
different factors of theoretical as well as experimental
characteristics such as the assumed form of the hydro-
dynamic functions, the contrast of the local parameters
and the precision of the measurements.
It should be underlined that the measurements
during the transient phase of flow in unsaturated
conditions are difficult. In our experiment, additional
difficulties came from the scale of heterogeneities of
the medium which was of the same order of magnitude
REFERENCES
Corey, J.C., Peterson, S.F., Wakat, M.A. 1970. Measurement
of attenuation of Cs and Am gamma rays for soil den-
sity and water content determination. Soil Sci. Soc. Amer.
Proc., 35, 215219.
Gharbi, D., Bertin, H., Omari, A. 2004. Use of gamma
0.25 0.3 0.35 rays attenuation technique to study colloids deposition in
porous media. Experiments in Fluids, Vol. 37, 5, 665672.
Lewandowska, J., Szymkiewicz, A., Burzynski, K.,
Vauclin, M. 2004. Modeling of unsaturated water flow
in double-porosity soils by the homogenisation approach.
Advances in Water Resources, 27, 283296.
Lewandowska, J., Szymkiewicz, A., Gorczewska, W.,
Vauclin, M. 2005. Infiltration in a double-porosity soil:
experiments and comparison with theoretical model.
Water Resources Research, 41, 2, 114.
Mualem, Y. 1976. A new model for predicting the hydraulic
conductivity of unsaturated porous media, Water Resour.
Res., 12(3), 513522.
imnek, J., ejna, M., van Genuchten, M. Th. 1998.
HYDRUS 1D Software package for simulating the one-
dimensional movement of water heat and multiple solutes
in variably saturated media: v. 2.0, IGWMC, Colorado
School of Mines., Colo.
van Genuchten, M. Th. 1980. A closed-form equation for
predicting the hydraulic conductivity of unsaturated soils,
Soil Sci. Soc. Am. J., 44, 892898.
Szymkiewicz, A., Lewandowska, J., Burzynski, K.,
Vauclin, M. 2005. Numerical simulation of water drainage
in double-porosity soils, Studia Geotechnica et Mechan-
ica, Vol. XXVII, No 12, 177186.

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Copyright 2006 Taylor & Francis Group plc, London, UK

 EUROCK 2006 Multiphysics Coupling and Long Term Behaviour in Rock Mechanics
Van Cotthem, Charlier, Thimus & Tshibangu (eds)
2006 Taylor & Francis Group, London, ISBN 0 415 41001 0

Suction and time effects on the behaviour of a reservoir chalk

G. Priol, V. De Gennaro & P. Delage

Ecole des Ponts (CERMES, Institut Navier), Paris, France

F. Collin & R. Charlier

Universit de Lige (GEOMAC), Lige, Belgium

ABSTRACT: Oil reservoir rocks contain various immiscible fluids (oil, water and gas) and they are submitted
to elevated temperatures in the oilfield. Hence, they exhibit a typical coupled behaviour where multiphysics and
coupled Thermo-Hydro-Mechanical aspects are predominant. This paper presents some results from researches
carried out within the PASACHALK 2 European funded collaborative research. In this research dedicated
to subsidence problems in the North sea Ekofisk oilfield, the behaviour of a reservoir chalk containing two
immiscible fluids (an organic non polar fluid and water) is considered within the framework of the mechanics
of unsaturated soils (no temperature effects considered). In order to account for the mechanical coupled effects
related to the two pore fluids, the oil-water suction was considered as an independent stress variable. The
paper presents some experimental results describing the combined effect of suction and time on the isotropic
compression behaviour of the chalk. A viscoelastoplastic constitutive model based on one hand on the Barcelona
BBM elastoplastic model for unsaturated and on the other hand on Perzynas approach of viscous behaviour of
soils is also presented.

1 INTRODUCTION behaviour of multiphase chalk, including loading rate

Chalk may contain various immiscible pore fluids in
the case of either natural chalks (unsaturated chalk
due to low relative humidity) or reservoir rocks (that
contain water, oil and gas as pore fluids). Multi-
physics couplings take place and make chalk mechan-
ical behaviour more complex. Previous studies have
evidenced water weakening with loss of strength
(Masson 1973, Bonvallet 1979, Lord et al. 2002).
Water weakening is associated with embankment col-
lapse (Clayton 1980, Rat & Schaeffner 1989), with the
long term stability of underground quarry (Bell et al.
1999, De Gennaro et al. 2005) and with weathering
damages on natural slopes (Sedki et al. 2002).
Researches into oilfield chalks (Andersen 1995,
Schroeder et al. 1996, Risnes et al. 1999, 2000, De
Gennaro et al. 2003, 2004) have shown that impor-
tant physicochemical interactions exist between water,
oil and chalk involving collapse and time dependent
strain. In order to account for multiphysics couplings in
the mechanical behaviour of multiphase chalk, Delage
et al. (1996) proposed to use a framework taken from
the mechanics of unsaturated soils. Oil-water suction
has been used to investigate the transition between
the totally saturated states (either by oil or by water).
Particular attention has also been paid to the viscous
effects (De Gennaro et al. 2003).
In this paper, some experimental data illustrating the
time and suction dependent behaviour of multiphase
chalk are presented. Data have been obtained from
isotropic suction controlled compression tests carried
out under various stress rate. A visco-elasto-plastic
constitutive law based on the Barcelona Basic Model
for unsaturated soils and on Perzynas approach of vis-
cous behaviour of soil is also presented and applied to
the experimental data presented.
2 MATERIALS AND METHODS
2.1 Materials
Due to the significant cost of field plugs, the tests pre-
sented in this paper have been carried out on specimens
of an outcrop chalk extracted in a surface quarry near
Lixhe (Belgium). This shortcoming may have some
important implications in terms of behaviour. Geolog-
ically, Lixhe chalk is similar to that of the Ekofisk field
(De Gennaro et al. 2003). Lixhe chalk is a pure white
chalk with less than 1% of silica and with an average
porosity of about 43%.
The fluid that will be called oil in this study is a non
toxic, non aromatic and non polar organic liquid called

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Copyright 2006 Taylor & Francis Group plc, London, UK

 Suction s = uouw
Soil skeleton
Oil
Water
Figure 1. Simplified scheme of oil-water-chalk
interactions.
Soltrol 170 (Phillips Petroleum Company). The water
solubility of Soltrol 170 is very low and it is not mis-
cible to water. The dynamic viscosity of Soltrol 170 is
oil = 2.028 cP and the density is oil = 0.78 Mg/m3 .
Obviously, chalk wettability depends on the fluids
used and should obviously be different with Soltrol
as compared to crude oil. These changes in wettability
obviously affect the oil-water retention properties of
chalk.
Figure 1 shows a simplified scheme of oil/water/
chalk interaction based on dominant capillarity effects
that could take place in a water wet reservoir chalk.
By defining the two pressures uo and uw as the oil
and water pressures respectively, the oil water suc-
tion is defined as s = uo uw as compared to the
air/water suction in unsaturated soil that is defined by
s = ua uw where ua is the air pressure.
2.2 Retention properties
Figure 2 that gives the changes in water saturation
(x-axis, linear) obtained under different suctions ( y-
axis, log scale) presents the results obtained in terms
of oil-water retention properties of Lixhe chalk using
various techniques. The water drainage curve has been
obtained by imposing an increased suction on a speci-
men initially water saturated. Two different techniques
were used. The black dots were obtained using the
overpressure techniques in retention cells allowing for
the independent control of pressures, based on the use
of a high oil entry value porous stone. Black dots refer
to the same specimen that has been equilibrated at
various increasing suctions up to so = 0.35 MPa.
The continuous line has been deduced from a pore
size distribution curve obtained by mercury intrusion.
It was obtained by doing a change of the interfacial
tension values from the mercury/chalk values ( =
141 146 and hgchk = 480 103 N/m) to the
water/chalk values ( = 33 73 and wchk = 44
103 N/m). A good agreement is observed between the
Copyright 2006 Taylor & Francis Group plc, London, UK
Retention curves of Lixhe
chalk (oil-water)
10.000
OSMOTIC TECHNIQUE
(imbibition)
MERCURY INTRUSION
1.000 POROSIMETRY (drainage)
SUCTION, s (MPa)
OVERPRESSURE (drainage)
0.100
0.010
0.001
0 20 40 60 80 100
WATER SATURATION, Srw(%)
Figure 2. Retention curves of Lixhe chalk (oil/water).
overpressure technique and the porosimetry approach,
showing that in the range of suction used with the over-
pressure technique (up to 0.35 MPa), most retention
phenomena are exclusively governed by capillarity.
A residual water degree of saturation Srw of 5% is
observed under a suction of 1.5 MPa. Obviously, the
significant change in water content observed between
0.11 MPa (oil entry value) and 0.3 MPa corresponds to
the emptying of this pore population that corresponds
to the inter-grains pores.
The water infiltration curve also presented in Fig-
ure 2 was obtained by using the osmotic technique
of controlling suction (see De Gennaro et al. 2004).
Experimental points were obtained from chalk spec-
imens initially oil saturated. A value of degree of
saturation in water Srw comprised between 5 and 10%
is observed at a suction of 1.5 MPa. When suction is
released (1.5, 1.25, 1, 0.75, 0.5, 0.25, 0.1 and 0 MPa)
water is permitted to progressively infiltrate the spec-
imens by expelling the corresponding volume of oil.
Despite the various samples porosities, a satisfactory
correspondence is observed between the experimental
points obtained.
At a zero suction, the water degree of saturation Srw
is comprised between 60 and 80%, which confirms the
significant water wettability of Lixhe chalk. The pos-
sible oil wettability of some reservoir chalks is due to
the coating of the chalk surface by some hydrocarbon
components. Obviously, wettability is fundamental
property in terms of oil recovery and intense investi-
gation is being carried out on wettability in petroleum
engineering (Anderson 1986).
520
 GDS Deviatoric (32 MPa)
GDS Confining (64 MPa)
1 2
3 Computer
A A'
GDS Oil (3 MPa)
GDS Water (3 MPa)
4 6
5
LEGEND
Ceramic porous stone
1 2
Bronze porous stone
6 6
Sample
Crown
Section AA'
3
1 - 2 : LVDT axial
3 - 4 - 5 : LVDT radial
6 : Springs
Figure 3. System for local strain measurement.
2.3 Triaxial testing device and procedure
Suction controlled tests have been carried out in a high
pressure auto-compensated Geodesign triaxial cell on
standard specimens (38 mm in diameter and 76 mm
in height). The maximum applicable confining pres-
sure and deviatoric stress are respectively 60 MPa and
100 MPa. In auto-compensated cells, the application of
a confining pressure in the cell is hydraulically com-
pensated and does not change the effort to apply on
the piston to shear the specimen. The confining and
deviatoric stresses were applied by means of high
pressure GDS pressure-volume controllers. In order
to impose suction controlled conditions, the over-
pressure (or axis translation) technique was applied.
Oil and water pressures were independently controlled
by using two standard GDS pressure-volume con-
trollers (3 MPa). The water pressure was controlled
through a small cylinder shaped ceramic high air entry
value porous stone placed at the bottom of the spec-
imen. This porous stone (1500 kPa air entry value) is
impervious to oil in the case of a water/oil couple of
fluids.
Local radial and axial strain measurements were
carried out by means of a special frame (Figure 3)
mounted around the chalk specimen and equipped with
5 LVDTs (Linear Variable Differential Transformers).
It consists of three independent rigid rings equally dis-
tant one from another, fixed through the central ring
around the middle height of the specimen by means
of three high stiffness springs oriented at 120 in the
radial direction. The average radial strain is measured
via the 3 horizontal LVDTs (5 mm range) oriented
521
Copyright 2006 Taylor & Francis Group plc, London, UK
at 120 in the radial direction and mounted on the
middle ring.
Starting from an initial oil saturated state, speci-
mens were pre-equilibrated outside the cell using the
osmotic technique and inserted in the cell at the desired
suction. Subsequent suction control in the cell with
the over-pressure technique showed excellent agree-
ment between the two techniques, with small further
variations in the degree of saturation of water (<1%).
3 EXPERIMENTAL RESULTS
As in soils, the rate of application of strain or stress dur-
ing compression tests run on chalk specimens should
be low enough to allow for pore pressure dissipa-
tion (Gibson & Henkel 1954). In unsaturated soils,
a constant suction condition also requires low strain
rate, as shown by Ho & Fredlund (1982) and Delage
et al. (1987). Observations of literature data shows that
axial rates of 1 m/mn are generally adopted in triaxial
testing of unsaturated soils (Delage 2004). Less data
are available in chalks in this regard. Havmller and
Foged (1998) considered that axial strain rates of about
0.1%/h (i.e. 2.7 107 s1 ) were slow enough to avoid
any excess oil-pressure generation on almost fully oil
saturated chalks (Srw = 5%). Deviator loading rates of
1.6 104 MPa s1 have been applied during triaxial
tests at constant confining pressure by Homand and
Shao (2000) in order to prevent excess pore pressure.
However in this case the induced volumetric strain rate
was unknown. Two loading rates have been used in this
study: a slow one equal to 5.5 105 MPa/s and a fast
one equal to 3.3 103 MPa/s.
The results of some isotropic compression tests are
now presented. Beside the three tests carried out on
specimens saturated with only one fluid (oil, water
and air in the case of the dry sample), and suction con-
trolled tests are also presented. As compared to tests
on oil or water saturated specimens, suction controlled
tests are aimed at providing an insight into the pro-
gressive changes that occur in the oilfield when water
progressively replaces oil.
3.1 Effects of the pore fluids
The results of the five isotropic compression tests pre-
viously presented are presented in Figure 5. In these
tests, a fast stress rate of 3.3 103 MPa/s has been
adopted. The figure shows that there is obviously little
effect of the pore fluid(s) in the elastic regime whereas
differences appear in terms of yield stress and plastic
compression. In the plastic regime, the stress-strain
curves are correctly ordered as a function of both
pore fluid and suction value, as already observed in
oedometer compression results by De Gennaro et al.
(2004).
 T5* Dry 1600
40000 T48 Oil LC curves
T28 1000 kPa Fast tests
T47 200 kPa Slow tests
T52 Water n = 41.9% 1200
Mean net pressure (kPa)

30000
n = 41.1%

Suction (kPa)
n = 4 1.2% 800
20000

n = 42.0%
400
10000

n = 40.6%
0
0
4000 6000 8000 10000 12000 14000 16000
0 0.04 0.08 0.12 0.16
Yield mean net pressure (kPa)
Volumetric strain
Figure 6. LC curve at two different loading rates.
Figure 4. Suction effects on isotropic compressions,
fast rate.
to that of the specimen under a 1000 kPa suction (n =
41.2%). Note that according to the water infiltration
0.2 curve of Figure 2, there is little water in the specimen
n = 40.6% under a suction of 1000 kPa (Srw close to 5%). How-
n = 41.1% ever, as shown in the scheme of Figure 1 (where Srw is
0.16 obviously higher than 5%) water as a wetting fluid is
Plastic moduli

located in the smaller pores, close to the inter-grains

0.12 n = 42.0%
0.08
0.04
0 ure 2 shows that the water degree of saturation Srw
0 400 800
Suction (kPa)
Figure 5. Suction effects on the plastic moduli, fast rate.
However, some effects of the initial porosity on the
sample stiffness in the plastic regimes appear to be
also considered.The stiffest response obtained with the
dry sample (n = 41.1%) has been commonly observed
by various researchers (Masson 1973, Bonvallet 1979).
Dry specimen always exhibits the strongest mechan-
ical resistance as compared to specimens containing
either water or oil as pore fluid. This appears to be due
to some solid inter-grains contacts that are affected
when a liquid (either polar on non polar) is introduced
in the porosity.
Observation of the compression curve of the oil sat-
urated specimen (n = 41.9%) shows a response close
n = 41.8% contact, resulting probably in a significant macro-
scopic mechanical effect even in small quantities. The
correspondence of the two curves is hence related to
the combined effect of water weakening and density
strengthening.
There is little difference in Figure 5 between the
water saturated specimen and that under a 200 kPa
suction, although the oil-water retention curve of Fig-
1200 1600 should be close to 50%. Here also, the combined
effect due to water and density should play a role,
the water saturated sample being denser (n = 40.6%)
than the specimen under a 200 kPa suction (n = 42%).
In the same context, the difference in terms of yield
stress appears to be small (6.5 and 7.5 MPa respec-
tively). Some characteristics of the plastic behaviour
taken from the curves of Figure 5 are presented in
Figure 5 (plastic moduli) and Figure 6 (yield stress).
Yield stresses from slow tests are also plotted in Fig-
ure 6. In this figure, results obtained from oil saturated
specimens are plotted at a suction value of 1.5 MPa,
according to results of Figure 2.
Figure 5 shows that the effect of suction on the plas-
tic compression modulus is not obvious. This trend is
significantly different from what has been observed
in unsaturated soils, where higher suction (corre-
sponding to drier soils) involves a significantly stiffer
volumetric response. In other words, the plastic com-
pression modulus (s) defined in the extension of

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Copyright 2006 Taylor & Francis Group plc, London, UK

 1000 kPa fast
1000 kPa slow
Water fast
25000
Water slow
n = 41.2%
20000
Mean net pressure (kPa)
n = 41.2%
15000
10000
5000
n = 42.3%
0 4
0 0.04 0.08
Volumetric strain
Figure 7. Loading rate effects on isotropic compression
tests.
Cam-Clay concepts to unsaturated soils proposed by
Alonso et al. (1990) appears to be not suction depen-
dent. Values of (s) are comprised between 0.12 and
0.17 with no clear trend. Another typical feature of
the BBM model is the change in yield stress with
respect to suction, called LC curve in a suction ver-
sus mean stress diagram. Yield stresses obtained from
Figure 5 are reported in Figure 6 and show the shape of
the LC curve. As compared to unsaturated where LC
curves are curved and delimit a concave elastic zone,
LC curves appear to be linear for multiphase chalk.
When comparing the LC curves at fast and low rate,
the Figure 7 shows a dependency of the LC curve with
time that will be discussed in the following section.
3.2 Loading rate effects
Figure 7 shows the results of isotropic compression
curves carried out at two stress rates, 5.5 105 MPa/s
for the slow rate and 3.5 103 MPa/s for the fast
rate, as indicated before. Tests were carried out on a
water saturated specimen and on a specimen under a
1000 kPa suction (Srw = 5%).
The two specimens under 1000 kPa have same val-
ues of porosity (41.2%) and the comparison between
data only accounts for stress rate effect. The dif-
ference is notable agreeing standard time dependent
behaviours in geomaterials. Increasing the stress rate
corresponds to an apparent strengthening and stiff-
ening of the specimen, with increased yield stress (9
to 14 MPa) and plastic modulus (600 to 2 500 MPa).
The results of the water saturated specimens are less
Copyright 2006 Taylor & Francis Group plc, London, UK
satisfactory with a slight difference observed between
the curves. Two aspects (faster rate and smaller poros-
ity) should have made clearer the distinction between
the two curves with higher yield stress reached in the
case of the fast test. Combined suction and time effects
can be observed in Figure 6.The shape of the LC curves
obtained at two stress rate clearly shows that both
loading rate and suction when increased have a simi-
lar strengthening effect. The diagram also shows that
suction strengthening is more significant at a higher
suction with an increase of about 1.25 with water satu-
ration and 2.5 with oil saturation. Such results appear
to be of interest when considering the combined effect
of suction and time on multiphase chalk behaviour.
n = 40.6%
CONSTITUTIVE MODELLING
0.12 0.16
An elasto-visco-plastic constitutive model has been
developed to account for suction and time depen-
dent effects in multiphase chalks. Suction effects have
been introduced based on an adaptation of the BBM
model (Alonso et al., 1990). This model in which a
cap has been introduced has been called the Pasachalk
model (Charlier et al. 2002, Collin et al. 2002). Then
the model has been extended using the framework of
Perzynas viscoplasticity (1964) with the elastoplastic
BBM model. In such a way, the yield surfaces of BBM
become potential surfaces for the description of vis-
cous effects, with an amplitude depending on distance
between the stress point and the potential surface. Pre-
vious experiments performed on chalk specimens have
evidenced the occurrence of two plastic mechanisms:
the pore collapse for high mean stresses (contract-
ing behaviour) and the frictional failure for low mean
stresses.
4.1 Presentation of the constitutive model
Following the additivity postulate, the strain rate is
composed of both a mechanical part (superscript m)
and a suction part (superscript s). Each contribution is
partitioned in an elastic (superscript e) and a plastic
component (superscript p):
For the plastic part, a general framework of non-
associated plasticity is adopted in order to limit dila-
tancy. Elastic and plastic strains related to suction
changes are defined following BBM expressions. Irre-
versible strains are induced when the suction becomes
higher than a suction level so , they are as follows:
523

where e is the void ratio, pat is the atmospheric pres-
sure, s and s are elastic and plastic coefficients. The
Modified Cam-Clay yield surface is defined by the
following expression:
where c is the cohesion, C is the friction angle in com-
pression path, p0 is the preconsolidation pressure that
defines the size of the yield surface and m is a coeffi-
cient introduced to take into account the effect of the
third stress invariant. Note that in multiphase chalks
p0 represents a yield stress rather than a preconsoli-
dation pressure. This nomenclature will be preferred
hereinafter. The coefficient m is defined by:
where the parameters a, b and n must verify some
convexity conditions (Van Eekelen, 1980). Assuming
an associated plastic flow, the yield stress p0 is related
p
to the volumetric plastic strain dv according to the
kinematic equation:
where and are respectively the plastic and elas-
tic compression coefficients. Expression (6) allows
accounting for both hardening and softening according
to the sign of the volumetric plastic strain. However,
in the cap model, the softening zone will not be con-
sidered. On the other hand, it should be noted that
the irreversible volumetric strain includes the coupled
effect of mechanical and suction changes.
4.2 Suction effect on the yield surface
The yield stress p0 and the material stiffness increase
with suction. This feature is described by the LC curve
in the BBM model, as follows:
with
where p0 is the yield stress for s = 0, pc is a reference
pressure, (0) is the compression coefficient at zero
suction, (s) is the compression coefficient at suction
524
Copyright 2006 Taylor & Francis Group plc, London, UK
20000
16000
Mean net pressure (kPa)
12000
8000 Water - Simulation
Water - test
200 kPa - Simulation
200 kPa - test
4000 1000 kPa - Simulation
1000 kPa - test
Oil - Simulation
Oil - test
0
0 0.02 0.04 0.06
Volumetric strain
Figure 8. Suction effects modeling.
s, r is a parameter representing the maximum stiff-
ness of the chalk, and
is a parameter controlling the
stiffness increase with suction increase. As far as no
suction effects have been observed on the plastic flow
rule, the LC curve has been considered as linear, in
accordance with the experimental results of Figure 6.
Also, experiments on chalk show that friction angle
is independent of the saturating fluid. Suction changes
may create irreversible strains. In the BBM model, this
is modelled thanks a yield surface called the SI Suc-
tion Increase curve. When suction becomes higher
than a suction level s0 , plastic strains are created. This
yield criterion is introduced as follows: f4 s s0 = 0.
4.3 Elastoviscoplastic model
Time dependent effects in chalk are well known and
they have been experimentally observed previously in
terms of strain rate dependency. A time dependent
behaviour modelling of fully saturated chalk is now
introduced based on the elastoviscoplastic approach
proposed by Perzyna (1964). The major advantage of
this approach is the possibility to formulate the elas-
toviscoplastic model moving directly from the general
theoretical structure of an elastoplastic model. The
irreversible strain being normal to a potential g can
be written as:
This formulation is close to an elastoplastic formu-
lation but it is not based on the consistency condition.
The amount of strain rate is described with respect to a
reference surface f , similar to the yield surface. Then,
two irreversible mechanisms are introduced: the pore
 45
10-2 10-3
40
35
30
p [MPa]
25
20
146 - 10-4
155 - 5 10-4
26 -10-3
15 27 -10-3
10 154 - 2 10-3
156 - 10-2
5 EVP Model
0
0 20 40 60 80 100 120
EPSV [/]
Figure 9. Stress-strain-time modelling.
collapse and the friction failure. Pore collapse is based
on the following equations:
and (Shao et al., 1993):
where the reference surface fc is similar to the yield
surface of the Pasachalk model (4). Function fc may
be analysed as an overstress, i.e. a measurement of
the amount of the stress state located outside the yield
or reference surface. Moreover, the overstress is only
positive when the stress state is outside the yield
reference surface; then, considering the McAulay
brackets used in equations (9) and (10), the higher the
overstress, the higher the irreversible strain rate.
The hardening rule defined by the plastic hardening
rule of Eq. (6) is adopted. A similar approach has been
adopted for friction failure, with no major difficulties.
Figure 9 shows a comparison between experimental
results and the viscoplastic model predictions. Oil sat-
urated samples were loaded at different stress rate
ranging between 104 MPa/s and 102 MPa/s.
5 CONCLUSION
Reservoir chalk is a multiphase material, which con-
tains various immiscible fluids (oil, water, occasion-
ally gas). Within the Pasachalk 2 European funded
collaborative research, multiphysics couplings in the
Lixhe chalk has been intensively investigated and the
influence of suction and time effects was observed on
the chalk isotropic behaviour. The yield stress is an
increasing function of these two parameters. A consti-
tutive model has been proposed combining the BBM
for the suction effects and the Perzynas approach
for the viscous terms. The model predictions are in
agreement with the experimental data obtained during
the project.
Copyright 2006 Taylor & Francis Group plc, London, UK
ACKNOWLEDGEMENTS
10-4
The authors would like to express grateful appreciation
510-5
for the financial support offered by the EC commission
for the PASACHALK 2 research program (ENK6-
10-8
2000-00089) in collaboration with TOTAL Norge.
REFERENCES
140 Alonso, E.E., Gens, A. & Josa, A. 1990. A constitutive model
for partially saturated soils. Gotechnique, 40(3): 405
430.
Andersen, M.A. 1995. Petroleum Research in North Sea
Chalk. Public. Rogaland Research Stavanger, Norway.
Anderson, W.G. 1986. Wettability Literature Survey Part 15.
Journal of Petroleum Technology 3839.
Bell, F.G., Culshaw, M.G. & Cripps, J.C. 1999. A review of
selected engineering geological characteristics of English
chalk, Engineering geology, 54, pp. 237269.
Bonvallet, J. 1979. Une classification gotechnique des
craies du nord utilise pour ltude de stabilit des car-
rires souterraines. Revue Franaise de Gotechnique,
8: 514.
Charlier, R., Collin, F., Schroeder, Ch., Illing, P., Delage, P.,
Cui, Y.-J. & De Gennaro, V. 2002. Constitutive modelling
of chalk application to waterflooding. Proc. 2nd Biot
Conference, Grenoble, France.
Collin, F., Cui, Y.-J., Schroeder, Ch. & Charlier, R. 2002.
Mechanical behaviour of Lixhe chalk partly saturated by
oil and water : experiment and modeling. Int. J. for Num.
Anal. Meth. in Geomechanics 26, 897924.
Clayton, C.R.I. 1980. The collapse of compacted chalk fill.
In Proc. Colloque Int. Sur le compactage, Paris, vol. 1,
pp. 119124.
De Gennaro, V., Delage, P., Cui, Y.-J., Schroeder, Ch.,
Collin, F. 2003. Time-dependent behaviour of oil reservoir
chalk: a multiphase approach. Soils and Foundations, 43,
n 4, pp. 131148.
De Gennaro, V., Delage, P., Priol, G., Collin, F. & Cui, Y.J.
2004. On the collapse behaviour of oil reservoir chalk.
Gotechnique, 54(6), pp. 415420.
De Gennaro, V., Delage, P., Priol, G., Sorgi, C. & Collin, F.
2005. Multiphase viscous behaviour of two different
outcrop chalks, XIme IACMAG, Turin.
Delage, P., Suraj De Silva, G.P.R. & De Laure, E. 1987. Un
nouvel appareil triaxial pour les sols non saturs. Proc.
9th Eur. Conf. Of Soil Mechanics, Dublin, pp. 2628.
Delage, P., Schroeder, Ch. & Cui, Y.J. 1996. Subsidence
and capillary effects in chalk. Proc. Eurock96, Turin,
pp. 12911298.
Delage, P. 2004. Experimental unsaturated soil mechan-
ics. Proceedings of the 3nd International Conference on
Unsaturated Soils, UNSAT2002, Vol. 3, 973-996, Recife,
Brasil, Balkema.
Gibson, R.E. & Henkel, D.J. 1954. Influence of the dura-
tion on tests a constant rate of strain on measured drained
strength, Gotechnique 4(1), pp. 615.
Havmoller, O. & Foged, N. 1998. Reviews of rock mechanics
data for chalk. Joint Chalk. Research IV.
Ho, D.Y. & Fredlund, D.G. 1982. Strain rates for unsaturated
soil shear strain testing. Proc. 7th South East Asia conf.
soil mech. and found. eng. Hong-Kong, pp. 787803.
525
 Homand, S. & Shao, J.F. 2000. Mechanical behaviour of
a porous chalk and effect of saturating fluid. Int. J.
of Mechanics of cohesive-frictional materials 5, pp.
583606.
Lord, J.A., Clayton, C.R.I. & Mortimore, R.N. 2002. Engi-
neering in chalk, CIRIA, Londres, p.332.
Masson, N.M. 1973. Ptrophysique de la craie, Bulletin des
laboratoires des ponts et chausses, spcial V, pp. 2348.
Perzyna, P. 1964. The constitutive equations for rate sensitive
plastic materials, Quart. Appl. Mech., 20: 321332.
Rat, M. & Schaeffner, M. 1989. Classification of chalks
and conditions of use in embankments. Proc. Chalk
Symposium Brighton, pp. 425428.
Risnes, R. & Flaageng, O. 1999. Mechanical properties
of chalk with emphasis on chalk-fluid interactions and
micromechanical aspects. Oil & Gas science and tech-
nology. Rev IFP, 54, n 6, pp. 751758.
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Risnes, R. & Nygaard, V. 2000. Chalk behaviour in the elastic
region. Proc. 6th Chalk symposium JCR V, Brighton.
Schroeder, Ch. & Shao, J.F. 1996. Plastic deformation and
capillary effects in chalks. Proc. 5th North Sea Chalk
Symp., Reims.
Sedki, S., Boulemia, C., Colbeaux, J.-P., Van Laethem, F.,
Henry, E. & Carlier, E. 2002. The instability analysis of
chalk cliffs of the Blanc Nez cape. Proc. 15th ASCE Eng.
Mech. Conf., New York.
Shao, J.-F., Bdriat, M. & Schroeder, C. 1993. A vis-
coplastic theory for soft rock behaviour and application.
Geotechnical engineering for hard soils soft rocks. pp.
795802.
Van Eekelen, HAM. 1980. Isotropic yield surfaces in three
dimensions for use in soil mechanics. International Jour-
nal for Numerical and Analytical Methods in Geomechan-
ics, 4, pp. 98101.
 EUROCK 2006 Multiphysics Coupling and Long Term Behaviour in Rock Mechanics
Van Cotthem, Charlier, Thimus & Tshibangu (eds)
2006 Taylor & Francis Group, London, ISBN 0 415 41001 0

Modelling of the hydro-mechanical processes around excavations in rock salt

A. Pudewills
Forschungszentrum Karlsruhe GmbH, Institut fr Nukleare Entsorgung, Karlsruhe, Germany

ABSTRACT: The excavation of underground structures disturbs the initial state of stress in the rock mass
around the openings, creating microcracks and degrading the hydro-mechanical properties. For the long-term
performance of a repository in rock salt, the evolution of the Excavation Disturbed Zone (EDZ) and the hydro-
mechanical behaviour of this zone represents an important issue with respect to the integrity of the geological
and technical barriers. A new viscoplastic constitutive model for rock salt that can describe the damage of the
rocks is proposed. In this paper, attention focuses on the modelling of hydro-mechanical behaviour in the near
field of a gallery in rock salt. The numerical results were compared with in-situ measured closure rates, stresses,
and rock salt permeability.

1 INTRODUCTION different material parameters on the calculation results

The excavation of underground repositories leads to
the perturbation of the initial lithostatic stress state
in the rock mass around the openings, creating micro-
cracks and degrading the hydromechanical properties.
Over time, due to creep-strain rates of the rock salt and
the increased support of the compacting backfill, the
extension of the Excavation Disturbed Zone (EDZ)
will be reduced. For the long-term performance of a
geological repository, the evolution of this zone repre-
sents an important issue with respect to the integrity
of the geological and technical barriers.
The aim of numerical modelling is to predict the
development and evolution of the EDZ under differ-
ent conditions.To investigate the processes in the EDZ,
numerical models with adequate constitutive laws are
under development. In this contribution, a new mate-
rial model for rock salt that can describe the damage of
the rock has been implemented in the finite-element
codes MAUS (Albers 1984) and ADINA (Adina R&D
Inc. 2004).According to this model, the total strain rate
is given as the sum of elastic and viscoplastic strain
rates. The viscoplastic strain rate is decomposed into
a part without volume changes of the material and a
second one taking into account the volume changes
due to the damage. In this case, the viscoplastic flow
function depends on mean stress, deviatoric stress, and
volumetric strain.
Some relatively simple analyses of various labora-
tory transient-creep experiments were performed. In
these tests the volumetric strain (dilatancy) of the sam-
ples was measured. The calculations represent a first
validation of the model by a comparison of numeri-
cal results with experimental data. The influence of
was also studied.
The capability of the model to simulate the develop-
ment of the EDZ near a gallery in rock salt was studied.
The problem under consideration as that of a 37 years
old gallery with a diameter of 3 m and located at a
depth of 700 m from the surface in the Sondershausen
salt mine (Hfner et al. 2001). The numerical results
were compared with in situ measured closure rates,
stresses, and rock salt permeability.
2 CONSTITUTIVE MODEL FOR ROCK SALT
The constitutive model proposed is based on the
assumption of small strains, where the total strain rate,
tot is split into elastic and viscoplatic parts as follows:
where el elastic strain rate tensor; vp viscoplastic
strain rate tensor.
The elastic behaviour is assumed to be time-
independent. Furthermore, the viscoplastic strain rate
tensor is decomposed into a viscoplastic strain rate
tensor by constant volume and a viscoplastic strain
rate tensor due to damage that considers the vol-
ume change, such as dilatancy or compaction of the
material:
where cvp viscoplastic strain rate without volume
change; dvp viscoplastic strain rate due to damage
which describes a volumetric strain.

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Copyright 2006 Taylor & Francis Group plc, London, UK

 For each viscoplastic strain rate, an associated flow
rule is used (Owen & Hinton 1985):
where = a1 ea2 /T is the fluidity parameter; a1 , a2
are material constants and T = temperature. The term
(F) denotes a monotonic function of the yield
function (F). The meaning of the brackets . is as
follows:
The function (F) is defined as:
in which (m) is an arbitrary constant and (F0 ) is the
uniaxial yield stress and set to zero for instance. For
our viscoplastic model, the functions (Fc ) and (Fd ) are
as follows:
where p = mean stress; q = standard stress deviator;
n1 , n2 are material functions of the volumetric strain,
vol , and expressed as:
with c1 , c2 , c3 being material constants to be evaluated
by laboratory tests. In the present approach 0 is the
initial porosity of the undisturbed rock salt.
The viscoplastic material model for damage is based
on the mathematical formulation proposed by (Hein
1991) for granular materials, and was implemented
in the finite-element codes MAUS and ADINA. A
detailed description of the finite-element algorithm
is presented in (Pudewills & Krauss 1999). This
algorithm was also used to implement the current
damage model in both programs. Furthermore, sepa-
rate criteria are available for shear and tensile fracture
and a compression-dilation criterion (Hunsche 1993)
to judge the damage of rock salt (i.e. microc-
racks or fractures).
A preliminary relation between permeability and
the volumetric strain given in references (Pfeifle 1998)
528
Copyright 2006 Taylor & Francis Group plc, London, UK
and (Bechthold et al. 2004) is used to calculate the
permeability of the rock salt:
where k is permeability of rock salt and A and B are
material parameters.
3 VALIDATION OF THE PROPOSED MODEL
In order to verify the implemented material model
and to demonstrate the applicability of the model to
describe the dilatant volumetric strain of rock salt, a
number of different triaxial laboratory tests were inves-
tigated numerically. The calculated strain rates were
compared to experimental data. The influence of dif-
ferent material parameters on the numerical results was
studied as well. Taking into account the preliminary
relation given in equation (10), the permeability of the
samples was computed. A detailed discussion of those
results is given in Reference (Pudewills 2005). Only
representative results from simulation will be shown
in this paper.
3.1 Simulation of a transient creep test
A transient creep test conducted on WIPP rock salt
sample (Pfeifle et al. 1998) for which the volumet-
ric creep strain rates are available was selected for
the numerical analyses. The cylindrical sample was
subjected to an axial compression of 28 MPa and
a lateral confining pressure of 3 MPa. The tertiary
creep test lasted 1.2 hours. For the calculation, a sim-
ple one-axial symmetric element was considered. The
material parameters used for simulation are summa-
rized in Table 1. The shear stress, tensile stress, and the
compression-dilation criterion were not used in this
analysis. The dilation of the samples was assumed to
start immediately after loading.
Figure 1 shows the calculated development of axial,
radial, and volumetric strains compared with the exper-
imental data given in (Pfeifle 1998). As evident from
Table 1. Material constants used in the numerical analysis.
Thermoelastic properties E = 36 GPa; = 0.27;
= 4.2E-05 1/K
Viscoplasticity, eqs. (3), (5) a1 = 2.08E-05 1/s; a2 = 6520;
m = 2; T = 293 K
Dilatancy, eqs. (8), (9) c1 = 0.7, c2 = 500, c3 = 1
Permeability, eq. (10) A = 3.2 E-11; B = 3.5
(Bechthold et al. 2004) and
A = 2.13E-11; B = 3
(Pfeifle et al. 1998)
 this figure, the calculation predicts the dilatant volu-
metric creep-strain of the sample quite well. For this
example, a sensitivity study was made to determine
the influence of both damage parameters c1 and c2 on
the calculated volumetric strains (Fig. 2). This param-
eter study indicates that the constant c1 influences the
shape of the calculated curves, but not the final value
of the volumetric strain if the assumed boundary con-
ditions and the creep parameters of the rock remain
the same. The parameter c2 directly limits the maxi-
mal amount of the calculated dilatancy. As can be seen
from Figure 2, the increase of c2 from a value of 400
to 500 induces a relevant reduction of the volumetric
strain maximum.
Figure 3 shows the resulting permeability of the
sample as a function of volumetric strain for both sets
of parameters. The calculated values are in the ranges
of in-situ permeabilities of rock salt measured in the
near field of a large excavation in the Asse mine
(Bechthold 2004). For illustration, the permeabilities
measured around the gallery are also depicted in this
figure.
0,010
3.2 Numerical simulation of the EDZ near a
gallery in rock salt
To illustrate the capability of the material model and
the codes used, the long-term evolution of the EDZ
around a 37 years old gallery in a rock salt formation
was analyzed. The circular gallery with a radius of
1.5 m is located at 700 m depth from the surface in
the Sondershausen salt mine. The room closure rates,
the radial stress, and permeability distribution after 37
years were measured in-situ and are given in references
(Hfner 2001, Menzel 1999).
To perform the numerical analyses a 2D model
was used, assuming plane strain conditions. The radial
convergences of the gallery calculated for three sets
of model parameters are presented in Figure 4. The
measured and calculated closure rates after 37 years
are also given in this Figure. A comparison of the
calculated results with equation (10) and the mate-
rial parameters given Table 1, and in-situ permeability
distributions measured by (Hfner et al. 2001) are
presented in Figure 5.
1E-14
1E-15
Permeability (m2)

0,005 1E-16
in-situ measured
Experiment (Pfeifle,1998) 1E-17
at 800m depth
Strain (-)

0,000
volumetric strain 1E-18 (Bechthold et al. 2004)
radial strain
-0,005 axial strain 1E-19
k = 2.13E-08 v3
1E-20
-0,010 k = 3.2E-22 v3.5
1E-21
0,000 0,002 0,004 0,006 0,008
-0,015
0,0 0,5 1,0 1,5 Volumetric strain
Time (hours)
Figure 3. Permeability of the sample during a transient
Figure 1. Comparison between measured creep-strains and creep test, calculation using different relations.
calculation results.

0,009
Volumetric strain

0,006

c1 = 1.5 c2 = 400
0,003
c1 = 0.5 c2 = 400
c1 = 1.5 c2 = 500
c1 = 0.5 c2 = 500
0,000
0 1 2 3 4
Time (hours)
Figure 4. Gallery convergence computed for different
Figure 2. Development of the volumetric strains for differ- model parameters and the measured and calculated closure
ent model parameter. rates 37 years after excavation.

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Copyright 2006 Taylor & Francis Group plc, London, UK


Figure 5. Comparison of calculated and measured distribu-
tion of permeability 37 years after excavation.
Figure 6. Comparison of the calculated and measured
minimal stresses 37 years after excavation.
The numerical prediction of the Model 1 (c1 = 0.3,
c2 = 400) agrees quite well with the measurement
near the gallery surface, but it seems to overestimate
the permeability at a distance larger than 0.5 m. The
measured minimal stresses around the gallery and cal-
culated minimal (radial) stresses are given in Figure 5.
The good agreement between the model calculation
and the measured data confirms that the current model
can predict stress distribution around the gallery with
an acceptable accuracy.
4 CONCLUSIONS
A constitutive model for rock salt that permits to
describe the development and evolution of the EDZ
around the excavations has been implemented in the
numerical codes available. Several laboratory exper-
iments have been analysed numerically to gain con-
fidence in the proposed model. At the moment, the
calibration of the model parameters is limited by too
few reliable triaxial transient creep tests.
530
Copyright 2006 Taylor & Francis Group plc, London, UK
Further numerical simulations of long-term creep
tests will be required to make an overall evaluation of
the proposed constitutive model.
Nevertheless, the ability of this model to predict the
damage zone around a gallery has been tested. The
comparison of numerical results and in-situ mea-
surements indicates that the implemented constitutive
model with material parameters fitted to laboratory
data works accurately and efficiently.
ACKNOWLEDGEMENTS
This work has been funded partly by the Commission
of the European Communities within the framework
of the NF-PRO project.
REFERENCES
Adina, R. & D Inc., 2004. ADINA (Automatic Dynamic
Incremental Nonlinear Analysis), Report ARD 01-9,
Watertown, MA, USA.
Albers, G. 1983. MAUS A Computer Code for Mod-
ellingThermomechanical Stresses in Rock Salt, Computer
Modelling of Stresses in Rock, Proc. of Tech. Session,
EUR9355 EN, Brussels.
Bechthold, W. et al. 2004. Backfilling and sealing of under-
ground repositories for radioactive waste in salt, (Bambus-
II project), Final report, EUR-20621-EN, Brussels.
BMBF-Verbundprojekt 2004. Modellierung des mechanis-
chen Verhaltens von Steinsalz: Vergleich aktueller Stof-
fgesetze und Vorgehensweisen, 14AgNsNK.
Hfner, F. et al. 2001. In-situ Ermittlung von Strmungsken-
nwerten natrlicher Salzgesteine in Auflockerungszonen
gegenber Gas and Salzlsungen unter der gegebenen
Spannungsbedingungen im Gebirge,Abschlubericht zum
BMBF- Forschungsvorhaben, IfBF derTU-Bergakademie
Freiberg.
Hein, H. J. 1991. Ein Stoffgesetz zur Beschreibung des
thermomechanischen Verhaltens von Salzgranulat, Dis-
sertation, RWTH Aachen.
Hunsche, U. 1993. Strength of rock salt at low means stress,
Geotechnik-Sonderheft, Glckauf, Essen, pp. 160163.
Menzel, W. et al. 1999. Durchfhrung geotechnischer in
situ Messungen zur Charakterisierung des Standortes des
geplanten Versuchsverschlussbauwerkes in der Maschi-
nenstrecke EU-1 der Grube Sondershausen, IfG-Bericht,
Leipzig.
Owen, D.R.J., Hinton, E. 1980. Finite elements in plasticity:
theory and practice, Pineridge Press, Swanse
Pfeifle, T. W. et al. 1998. Experimental Determination of
the Relationship between Permeability and Microfracture-
Induced Damage in Bedded Salt, Int. J. of Rock Mech. &
Min. Sci., vol. 35: 45, Paper No. 42 Conference Ref.:
USA-324-1.
Pudewills, A., Krauss, M. 1999. Implementation of a vis-
coplastic model for crushed salt in the ADINA program,
Computers and Structures, vol. 72, pp. 29399.
Pudewills, A. 2005. Numerical Modelling of the long-term
Evolution of EDZ: Development of material models,
implementation in finite-element codes, and validation,
FZKA-7185
 4 Related topics
4.1 Theoretical concepts

Copyright 2006 Taylor & Francis Group plc, London, UK

 EUROCK 2006 Multiphysics Coupling and Long Term Behaviour in Rock Mechanics
Van Cotthem, Charlier, Thimus & Tshibangu (eds)
2006 Taylor & Francis Group, London, ISBN 0 415 41001 0

Dimensionless charts for the GRC for rock masses exhibiting

strain-softening behaviour

E. Alonso & L.R. Alejano

Natural Resources & Environmental Engineering Department, University of Vigo, Pontevedra, Spain

F. Varas & G. Fdez-Manin

Applied Maths II Department, University of Vigo, Pontevedra, Spain

ABSTRACT: A dimensionless graphical representation based on a self-similar numerical solution (Alonso

et al. 2003) for Ground Reaction Curve (GRC) for tunnels excavated under hydrostatic loading, strain-softening
rock mass behaviour, Mohr-Coulomb failure criterion and non associated flow-rule is presented in this paper. The
rock is assumed to behave as a strain-softening manner and the transition from elastic to residual stage is governed
by the slope of the softening stage -or drop modulus, denoted by M-. The solution is based on the assumption that
after the intact strength of the rock is exceeded, the material loses cohesive and frictional strength in a similar pro-
portion, as dictated by a strength loss parameter () (Carranza-Torres et al. 2002). This parameter quantifies the
jump of strength from the intact condition to the residual one, and it is defined within the range 0% < < 100%.
= 0% implies no loss of strength (perfect plastic behaviour) and = 100% implies that both residual friction
angle and cohesion are null. This assumption allows certain terms to be dropped out of the formulation, resulting
in a considerable simplification of the problem (Agnasnostou & Kovari, 1993). In this work, the dimensionless
charts are represented for a given value of Poissons ratio, peak friction angle, peak cohesion, dilatancy angle and
stress field. For each value of parameter (in the range 0% < < 100%.), a branch of GRC is represented for
different values of drop modulus indicating the transition from a perfectly brittle to perfectly plastic behaviour.

1 INTRODUCTION There are some solutions concerning strain-softening

The analysis of circular tunnels excavated in elasto-
plastic continua under hydrostatic stress fields has
been one of the main sources of knowledge and insight
as far as ground support principles are concerned.
The response of such excavations can be pinpointed
in a single curve relating the wall convergence to
the internal pressure, which in turn can be related to
the distance to the face. This curve is usually known
as ground reaction curve. This kind of analysis also
permits associating the convergence on the wall to
the formation of a plastic aureole around a tunnel of
radius R under a hydrostatic field stress of magnitude
0 (Pacher, 1964, Panet, 1993, 1995, Salenon, 1969).
This simple analysis is often used as a point of depar-
ture in studying the mechanics of deformation around
underground excavations (Fairhurst, 1991).
A literature review has shown that there exist ade-
quate techniques to obtain ground reaction curves
for tunnels excavated in elastic-brittle (Panet, 1995,
Carranza-Torres, 1998, Ladanyi, 1974, Hoek &
Brown, 1980, Wang, 1996) and perfectly plastic
rock masses (Panet, 1995, Salenon, 1969, Carranza-
Torres & Fairhurst, 1999, Carranza-Torres, 1998).
behavior (Brown et al. 1983, Duncan Fama, 1993,
Panet, 1995, Carranza-Torres, 1998, Alonso et al.
2003.
This paper presents a solution for the strain-
softening behavior using a particular form of the Mohr-
Coulomb failure criterion to describe both the peak
and the residual stage of the rock mass. The for-
mulation takes advantage of a scaling rule for the
Mohr-Coulomb elastoplastic media formalized by
Agnasnostou & Kovari (1993). One of the advantages
of the procedure is that the loss of strength in the model
can be expressed in terms of a single dimensionless
parameter described later and referred as model.
2 STRAIN-SOFTENING BEHAVIOUR
This study is founded in the incremental theory of plas-
ticity (Charlez, 1991, Halphen & Salenon, 1987, Hill,
1950, Kaliszky, 1980), developed in order to model the
process of plastic deformation. According to this the-
ory, a material is characterized by a failure criterion, f
and a plastic potential, g. One of the main features of
the strain-softening behaviour model is that the failure

533

Copyright 2006 Taylor & Francis Group plc, London, UK

 criterion and the plastic potential do not only depend
on the stress tensor ij , but also on the so-called plastic
or softening parameter . Then, the behaviour model
is plastic strain dependent.
The failure criterion is defined:
The strain-softening behaviour is characterised by
a gradual transition from a peak failure criterion to a
residual one. This transition is governed by the soft-
ening parameter . In this model, the transition is
defined in such a way that the elastic regime exists
while the softening parameter is null, the softening
regime occurs whenever 0 < < , and the resid-
ual state takes place when > *, being defined
* as the value of the softening parameter control-
ling the transition between the softening and residual
stages. Figure 1 illustrates this type of strain-softening
behaviour for an unconfined compressive test. The
slope of the softening stage or drop modulus is denoted
by M. If this drop modulus tends to infinity, the per-
fectly brittle behaviour appears, and if it tends to zero,
the perfectly plastic behaviour is obtained. It is clear
then that the perfectly brittle and the perfectly plastic
behaviour models are limiting cases of this strain-
softening model, which can be considered as the most
general case.
The constitutive equation of a strain-softening
material can be obtained according to the incremental
theory of plasticity. The plastic strain increments can
be obtained from the plastic potential:
according to:
where is a plastic multiplier and it is unknown.
Equation (3) is the constitutive equation of the plastic
Figure 1. Stress-strain curve of an unconfined test per-
formed on a sample of a strain-softening material.
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Copyright 2006 Taylor & Francis Group plc, London, UK
regime and it is usually called flow rule. If the plastic
potential coincides with the failure criterion, then it is
called associated flow rule, and if it is not the case, it
is called non-associated flow rule.
Incremental plasticity involves the consideration of
a fictitious time variable. This time variable called
, controls the plastic strain increments in such a way
that
3 SOLUTION OF THE PROBLEM BASED ON
SELF-SIMILAR SOLUTION
The formulation of this problem is firstly based on the
equilibrium equation. In plane-strain conditions and
taking into account radial symmetry it can be written
in cylindrical co-ordinates as follows:
The following equation that has to be considered is that
of persistencealso called active plasticity condition,
which implies that, once attained the plastic state, the
material should keep on the failure criterion function.
Finally the flow-rule is considered (3). This law gov-
erns the behaviour of the material in the plastic state,
in such a way that the rates of the plastic strain can
be derived from equation 3, once the plastic potential
is defined. For the case of a circular excavation, the
principal strains are the hoop and radial strains and
the hoop and radial strain rates are:
Equations (5), (6), and (7) form the system of partial
differential equations to be solved. The solution should
provide the values of the hoop and radial stresses and
the radial displacements. It is important to highlight
that the displacements and stresses depend on: (i) a
physical variable r, which is the distance to the centre
of the excavation, and (ii) a fictitious time, variable
, which is a measurement of the plasticity evolution.
The aforementioned radial displacement and radial
and hoop stress are then written as ur (r,), r (r,) and
(r,) respectively.
Once scaled the radial co-ordinate r according to
the change of variable = r/, and also re-scaled the
radial displacements with the plastic radius = Rp , the
self-similarity hypothesis (Detournay, 1986; Alonso
et al. 2003) involves that the solutions of the radial
 displacement field and of the stress field do not depend
upon the plastic radius. This means that the obtained
solutions are stationary ones of the evolution prob-
lem in the fictitious time variable. More precisely, it
is supposed that a solution the so-called self-similar
solution- of the problem exists in such a way that the
functions r (, ), (, ) and ur (, )/ do not
depend on the variable .
Being so and defining for this particular solution
the following functions, which only depend on the re-
scaled radial variable according to the self-similarity
hypothesis:
In these equations, G is the shear modulus and pi *
is the internal pressure in the elasto-plastic interface.
The problem to be solved is then formulated by
a system of ordinary differential equations formed
by: (i) the equilibrium equation, (ii) the persistence
equation, (ii) the flow rule. This system can be written:
Being y the vector (ur (), vr (), (), r ()) and M cohesion C() and friction angle () being p and Cp
the matrix of the coefficients.
The initial value problem associated to this ordinary
differential equation system has to be solved according
to the initial conditions imposed by the Lams solution
in the elastic plastic boundary. The initial conditions
are actually, after re-scaling changes, final conditions
due to the fact that the problem is solved for values
smaller than unity
Solution of this problem will yield radial displace-
ments, velocities, hoop and radial stresses around the
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Copyright 2006 Taylor & Francis Group plc, London, UK
excavation. The regularity of the coefficient matrix of
this differential equation system and thus, the solv-
ability of the initial value problem- is ensured when-
ever the selected failure criterion and plastic potential
fulfil the following condition (Alonso et al. 2003):
where H0 coincides with the plastic modulus of the
perfectly plastic behaviour and Ht is known as the
hardening/softening modulus given by
4 NUMERICAL SOLUTION FOR
MOHR-COULOMB
We suppose Mohr-Coulomb yield criterion:
a plastic potential in the form:
where K is known as dilation coefficient
and piecewise lineal functions of plastic parameter for
the peak parameters and r and Cr the residual ones
(Figure 2). The elastic regime is characterised by shear
modulus G and Poissons ratio .
The plastic parameter taken is the plastic shear
strain:
Taking into account that plastic strains can be
obtained from total and elastic strains, the variable
changes proposed and the self-similar hypothesis, an
expression for the plastic parameter can be obtained
Figure 2. Cohesion and friction angle functions of plastic
parameter.
 in self-similar form as follows:
In this case, the coefficients of the equations are found
to be:
The derived initial value problem does not gener-
ally have analytical solution except for very simple
cases such that of the Tresca failure criterion, for which
the presented equations become much simpler , so
it should be solved by means of numerical integra-
tion. In what follows, the integration process is carried
out according to the Runge-Kutta-Fehlberg method
proposed by Dormand & Price, 1980. This technique
combines methods of fourth and fifth order for the
integration step adaptation and it is programmed in
the MATLAB environment under the function named
ode45. The fact of working in this environment
makes it easier to run multiple parameter problems.
It also facilitates the presentation of data.
5 THE BETA MODEL
The parameter , which will be referred to as the
strength loss parameter, quantifies the jump of strength
from the peak or intact condition to the residual
condition (Carranza-Torres et al. 2002). falls by
definition within between 0 and 1; if it is 0 it implies
no loss of strength so the perfectly plastic behaviour
model is retrieved whereas if it is 1 the material losses
all its strength after failure. The use of this parameter
is based on the assumption that after the peak strength
of the material is exceeded, the material losses cohe-
sive and frictional strength in a similar proportion. This
approach, which does not necessarily suits all rock
masses, is done in order to simplify the outputs of the
presented examples.
Let us consider that the residual parameters are
related to the intact parameters as follows (Carranza-
Torres et al, 2002).
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Copyright 2006 Taylor & Francis Group plc, London, UK
If the peak and the residual strength of the rock mass
area related to each other trough the parameter , as
Equations 23 the following condition will be satisfied,
Equation (24) allows application of a transforma-
tion formalized by Agnasnostou & Kovari (1993) for
the case of elastoplastic behaviour. The transformation
consists of adding the term qu /(Kp 1) to the stresses
involved in the problem, so one gets transformed
stresses as:
With the transformations of principal stresses, the
yield criterion can be expressed as:
Anagnostou & Kovari (1993) demonstrated that it
is possible to reduce the number of significant param-
eters appearing in typical rock mechanics boundary
value problems by reformulating expressions by
means of simple transformations- in such a way that
some parameters do not explicitly appear in the sys-
tem of differential equations that governs a particular
problem.
Following these ideas -and trying to make substan-
tial savings of computational effort, to simplify solu-
tions and to gain insight in the understanding of the
problem- the differential equations governing the prob-
lem here posed are solved. In a first approach the fol-
lowing transformation as proposed by Agnosnostou &
Kovari was tested and results are presented.
6 DIMENSIONLESS CHARTS FOR GRC AND
PLASTIC ZONE
To illustrate the application of the dimensionless
solution presented above, we present some examples.
Each chart is obtained for constant values of peak
parameters (cohesion and friction angle), Poissons
ratio, dilation angle and stress field. For each value of
0% < < 100% the brittle solution is represented and
also a branch of solutions indicating strain-softening
behaviour (which is represented for different values of
G*). Finally, both solutions for = 100% and = 0%
are included which represent the upper and lower lim-
its of the strain-softening behaviour, as can be seen in
Figure 3.
 Figure 3. Charts of the Ground Reaction Curve.
Figure 4. Chart of the Ground Reaction Curve for tun-
nels in rock masses exhibiting strain-softening behaviour
considering the model of the Mohr-Coulomb criterion.
Figure 5. Chart of the plastic radii for tunnels in rock
masses exhibiting strain-softening behaviour considering the
model of the Mohr-Coulomb criterion.
7 CONCLUSIONS
The model of the failure criterion can be used to
represent in a convenient way the loss of strength of
the rock mass after failure.
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Copyright 2006 Taylor & Francis Group plc, London, UK
Figure 6. Chart of the Ground Reaction Curve for tun-
nels in rock masses exhibiting strain-softening behaviour
considering the model of the Mohr-Coulomb criterion.
Figure 7. Chart of the plastic radii for tunnels in rock
masses exhibiting strain-softening behaviour considering the
model of the Mohr-Coulomb criterion.
Figure 8. Chart of the Ground Reaction Curve for tun-
nels in rock masses exhibiting strain-softening behaviour
considering the model of the Mohr-Coulomb criterion.
In elastoplastic problems, the application of the
transformation formalized by Agnasnostou & Kovari,
allows cohesive terms to be dropped from the formu-
lation in the case of perfect elastoplastic and brittle

Figure 9. Chart of the plastic radii for tunnels in rock
masses exhibiting strain-softening behaviour considering the
model of the Mohr-Coulomb criterion.
behaviour. For the case of strain-softening behavior,
equations have to be re-analyzed in order to obtain
another transformation that allows to reduce more
terms in the solutions.
In the first part of these paper the self-similar solu-
tion of the ordinary differential equations which model
the behaviour of a tunnel excavated in a perfectly
brittle Mohr-Coulomb material is presented. Accord-
ing to the transformation performed, the results can
be conveniently rewritten in dimensionless forms, so
adequately selecting the representation axes the GRC
obtained is only depending in five parameters (peak
cohesion and friction, dilation angle, stress field and
Poissons ratio). This simplifies significantly repre-
sentation and analysis of results. This also permits
to summarize results in a few dimensionless graphs,
which can be used to obtain the actual GRC for most
of practical cases.
For the case of perfect elastoplastic and elastic brit-
tle behaviours charts depend only on three parameters
(peak friction, Poisons ratio and dilation angle), which
can be used in order to characterize rock masses when
values of radial displacements are known.
ACKNOWLEDGEMENTS
The authors would like to thank the local government
of Galicia (Xunta de Galicia), Spain, for financial sup-
port of the research project entitled Obtaining Ground
Reaction Curves of excavations in rock masses, under
contract reference number PGDIT03PXIB30401PR.
REFERENCES
Alonso, E., Alejano, L.R., Varas, F., Fdez.Manin, G. &
Carranza-Torres, C. 2003. Ground reaction curves for
rock masses exhibiting strain-softening behaviour. Int. J.
Num. & Anal. Meth. In Geomech, 27: 11531185.
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Agnasnostou, G. & Kovari, K. 1993. Significant parameters
in elastoplastic analysis of underground openings. ASCE
J. Geotech. Eng. Div. 119 (3), 401419.
Brown ET, Bray JW, Ladanyi B & Hoek,E. 1983. Ground
response curves for rock tunnels. J. of Geotechnical
Engineering; 109(1): 1539.
Carranza-Torres C. 1998. Self similarity analysis of the
elastoplastic response of underground openings in rock
and effects of practical variables. Ph. D. Thesis. University
of Minnesota.
Carranza-Torres C & Fairhurst C. 1999. The elasto-plastic
respone of underground excavations in rock masses that
obey the Hoek-Brown failure criterion. Int. J. Rock Mech.
Sci. & Geom. Abstr.; 36(5).
Carranza-Torres, C., Alonso, E., Alejano, L.R., Varas, F. &
Fdez-Manin, G. 2002. Elastoplastic analysis of deep
tunnels in brittle rock using a scaled form of the Mohr-
Coulomb failure criterion. Proc. of the NARMS-TAC 2002,
vol. 1: 283293.
Charlez A. 1991. Rock Mechanics. Theoretical Fundamen-
tals. Vol 1. Technip: Paris.
Detournay, E. 1986. Elastoplastic model of a deep tunnel for
a rock with variable dilatancy. Rock. Mech. & Rock Eng.,
vol. 19 pp. 99108
Dormand J.R. & Prince P.J. 1980. A Family of embedded
Runge-Kutta formulae. J. Comput. Appl. Math ; 6: 1926.
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II, J. Hudson (Ed). Pergamon Press, 4975.
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Elsevier 1991.
Halphen B & Salencon J. 1987. Elastoplasticit. Presses de
Lcole Nationale des Ponts et Chausses, Paris.
Hill R. 1950. The mathematical theory of plasticity. Oxford
University Press: New York.
Hoek E. & Brown E.T. 1980. Underground Excavations in
Rock. Ed. Champan & Hall. London.
Kaliszky S. 1989. Plasticity: theory and engineering appli-
cations. Elsevier.
Ladanyi B. 1974. Use of the long-term strength concept
in the determination of ground pressure on tunnel lin-
ings. Advances in Rock Mechanics, Proc. of the 3rd
Congress of the International Society for Rock Mechan-
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2(B): 11501156.
Pacher, F. 1964. Deformationsmessungen in Versuchsstollen
als Mittel zur Erforschung des Gebirgsverhaltens und
zur Bemessung des Ausbaus. Felsmech. u. Ing. Geol.;
supl.1:149161.
Panet, M. 1993. Understanding Deformations in Tunnels.
Comprehensive Rock Engineering. Vol. I: 663690. Hud-
son (Ed.). Pergamon Press.
Panet, M. 1995. Le calcul des tunnels par la mthode
des curves convergence-confinement. Presses de lcole
Nationale des Ponts et Chausses. Paris.
Salenon, J. 1969. Contraction quasistatique dune cavit
symtrie sphrique ou cylindrique dans un milieu elasto-
plastique. Annales des Ponts et Chausses, 4: 213236.
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 EUROCK 2006 Multiphysics Coupling and Long Term Behaviour in Rock Mechanics
Van Cotthem, Charlier, Thimus & Tshibangu (eds)
2006 Taylor & Francis Group, London, ISBN 0 415 41001 0

The New Geophysics: a new understanding of fluid-rock deformation

Stuart Crampin
School of GeoSciences, The University of Edinburgh, Scotland, UK

ABSTRACT: Recent observations of stress-aligned shear-wave splitting (seismic-birefringence) show that the
splitting is controlled by the stress-aligned fluid-saturated inter-granular microcracks and preferentially orientated
pores pervasive in most in situ igneous, metamorphic, and sedimentary rocks in the earths crust. These fluid-
saturated microcracks are the most compliant elements of the rock-mass and control rock deformation. The
splitting shows that microcracks are so closely spaced that they verge on fracture-criticality and fracturing, and
are critical systems with the butterfly wings sensitivity. As a result, the evolution of such fluid-saturated rock
can be modelled with anisotropic poro-elasticity (APE), so that behaviour can be monitored with shear-wave
splitting, future behaviour calculated (predicted ), and in principle future behaviour controlled by feed back.
This is likely to have massive implications for virtually all solid-earth deformation at levels of stress below those
at which fracturing takes place.

1 INTRODUCTION of organising themselves into patterns of cooperative

Widespread observations of stress-aligned shear-
wave splitting (seismic birefringence) in hydro-carbon
reservoirs, and above small earthquakes, show that
almost all in situ rocks are pervaded by distributions of
stress-aligned fluid-saturated microcracks (Crampin,
1994, 1999; Alford, 1986). These are grain-boundary
cracks in crystalline rocks, and preferentially-aligned
pores and pore throats in sedimentary rocks (Figure 1).
The degree (%) of observed splitting indicates that
microcracks are so closely spaced they verge on frac-
ture criticality, when levels of cracking are so great
that shear-strength is lost and fracturing necessarily
occurs (Crampin, 1994, 1999). Phenomena verging
on criticality are critical systems are said to have
self-organised criticality (Jensen, 1998).
Critical systems are a New Physics (Bruce &
Wallace, 1998), a New Geophysics, with different
properties from conventional sub-critical behaviour.
Below criticality, individual elements of the system,
in our case the fluid-saturated microcracks interact
locally with conventional behaviour. At criticality, the
elements throughout the region combine and act co-
operatively, and the rocks (sometimes over very large
volumes) spontaneously fracture leading to determin-
istic chaos. The behaviour can be calculated but the
final position depends critically on minuscule differ-
ences in initial conditions. Such behaviour at criticality
is characteristic of almost all complex complicated
systems which are extremely common. It is said to be
one of the universal miracles of nature that at critical
points whole assemblages of elements are capable
activity (Davis, 1989). Thus our claim that the cracks
in the crust are critical systems merely confirms that
the Earth behaves like almost every other complex
interactive system: the weather; quantum mechanics;
super-fluidity and super-conductivity; life cycle of
fruit flies; clustering of traffic; etc.
This brief note outlines the evidence and implica-
tions of the New Geophysics.The detailed deformation
of the crust can be monitored with shear-wave split-
ting; evolution calculated if the stress changes are
known; future behaviour predicted; and, in some cir-
cumstances, future behaviour potentially controlled by
feedback.
2 SHEAR-WAVE SPLITTING
The key phenomenon for observing the internal micro-
cracked structure of rocks is stress-aligned shear-wave
splitting, where shear-waves split into two approxi-
mately orthogonal polarisations where the faster polar-
isation is aligned approximately in the direction of the
maximum horizontal stress (Figure 1) (Crampin, 1994,
1999). Seismic P-waves are rather insensitive to fluid-
saturated microcracks, whereas stress-aligned shear-
wave splitting is a second-order effect that, by rotating
seismograms into preferential orientations, can typ-
ically be measured with first-order accuracy. Thus
measurements of shear-wave splitting often have much
greater resolution than conventional seismics and it
is possible to show that the parameters that control
shear-wave splitting are directly those that control

539

Copyright 2006 Taylor & Francis Group plc, London, UK

 Figure 1. Schematic illustration of stress-aligned seismic
shear-wave splitting in the stress-aligned microcracked crust.
Figure 2. Schematic illustration of observed percentage of
shear-wave velocity anisotropy in terms of uniform distribu-
tions of penny-shaped cracks.
low-level deformation before fracturing occurs
(Crampin, 1999).
Crack density is a dimensionless parameter
approximately equal to Na3 /v, where N is the num-
ber of cracks of radius a in volume v (Crampin, 1994).
As crack density is approximately equal to one hun-
dredth of the percentage of the maximum shear-wave
velocity anisotropy, it is comparatively easy to esti-
mate crack density from observations of shear-wave
splitting. The crack density determines the effect of
cracks on the effective elastic tensor of an anisotropic
microcracked solid.
The observed shear-wave velocity anisotropy, 1.5%
to 4.5%, illustrated schematically in Figure 2, indicates
a narrow range 0.015 0.045 of the inferred crack
density in ostensibly intact rock. The values appear
to be more-or-less independent of porosity, geology,
and tectonic history, and are observed to have similar
values in all sedimentary, igneous, and metamorphic
rocks, with only a few well-understood exceptions
(Crampin, 1994, 1999). Since there is a factor of less
than two in average crack radius, between the mini-
mum observed, and the maximum at fracture critical-
ity, almost all in situ rocks are so heavily microcracked
that shear strength lost and fracturing occurs in the
presence of almost any increase in differential stress.
The limited range of crack density means that
distributions of cracks in in situ rocks are critical
systems verging on criticality and failure and have
self-organised criticality (SOC) (Jensen, 1998).
Copyright 2006 Taylor & Francis Group plc, London, UK
Figure 3. The Anisotropic Poro-Elastic (APE) model of
rock deformation where the driving mechanism is driven
by pore-fluid movement along pressure-gradients between
neighboring cracks at different orientations to the stress field.
The evolution of such fluid-saturated microcracks
can be modelled by Anisotropic Poro-Elasticity (APE),
where the mechanism for deformation is fluid move-
ment by flow or dispersion along pressure gradients
between neighbouring grain-boundary cracks in crys-
talline rocks, and aligned pores and pore-throats in
sedimentary rocks, at different orientations to the
stress field (Zatsepin & Crampin, 1997; Crampin &
Zatsepin, 1997). APE is a fully three-dimensional
model but 3D variations are difficult to plot on paper,
so Figure 3 is a schematic image of the APE mech-
anism on an initially random distribution of vertical
cracks for increasing differential stress sH .
3 APE MODEL OF ROCK MASS EVOLUTION
APE modelling approximately matches a huge range
of different phenomena referring to cracks, stress, and
shear-wave splitting in both exploration and earth-
quake seismology (Crampin, 1999, 2004; Crampin &
Chastin, 2003). The match is approximate because
the internal microcrack structure of in situ rocks is
essential inaccessible. Even drill cores deform rock:
drilling cools and de-stresses in situ rock, and disturbs
the compliant internal crack geometry by invasion of
high-pressure drilling fluids.
The most successful in situ calibration to-date
(Figure 4) is Angerer et al. (2002) who modelled
changes in three-component reflection surveys in a
hydrocarbon reservoir following both high-pressure
and low-pressure CO2 -injections in a fractured car-
bonate reservoir at 1280 m-depth.
The first five traces in Figure 4(a) show observed
three-component record sections rotated into faster
540

Figure 4. (a) Pre-injection waveforms of a multi-component
nearly-vertical ray reflection survey near the centre of the
Vacuum Field, New Mexico, carbonate reservoir (Angerer
et al., 2002). S1, S2, and P are record sections with mutu-
ally orthogonal polarisations, where the horizontals S1, and
S2, have been rotated into the split shear-wave polarisa-
tions parallel and perpendicular to the direction of maximum
horizontal stress, respectively. Left-hand (LH) five traces
are observed waveforms at recorders 17 m apart, and the
right-hand (RH) three traces are synthetic seismograms mod-
elled by APE to match the shear-wave arrivals. Top and
bottom of injection zone for shear waves are marked by
arrows with time-delays in ms/km. (b) Post-injection wave-
forms after a high-pressure CO2 -injection. Again, the LH
traces are observations and RH traces are synthetic seis-
mograms modelled by APE with structure from (a) and an
injection pressure of 2500psi.
S1-wave and slower S2-wave horizontal, and verti-
cal P-wave, components showing 2% shear-wave
velocity anisotropy. The last three traces show theoret-
ical reflections (calculated by ANISEIS, Taylor, 2000)
through a model structure incorporating fractures and
microcracks. The shear-wave splitting arrivals from
the top and bottom of the target zone (arrowed)
match observations. Figure 4(b) shows the observed
arrivals after a high-pressure CO2 -injection, where
the modelled arrivals are the initial cracked model in
Figure 4(a) modified by inserting the fluid-injection
pressure into APE.
The match of observations and APE-model is excel-
lent, as it is for a low-pressure injection (not shown).
541
Copyright 2006 Taylor & Francis Group plc, London, UK
These are the best in situ demonstrations of the appli-
cability of APE-modelling. This means that, if the
changes to the rock are known, the effects can, at
least in some circumstances, be calculated (predicted)
by APE. It also means that if a particular result is
desired: a particular degree of aligned cracking during
a water-flood operation, say, the intended effect could
be controlled by adjusting fluid-pressure injections by
feedback.
4 90 -FLIPS OF SHEAR-WAVE
POLARISATIONS IN HIGH-PRESSURE
CRACK FLUIDS
Figure 4 also shows another confirmation of APE-
modelling. In Figure 4(a) the two-way reflection times
of the (faster) S1-wave from the top and bottom of
the target zone differ by 176ms whereas, as expected,
the delay for the (slower) S2-wave is 178 ms. In con-
trast, in Figure 4(b) after the high-pressure injection,
with the same seismogram rotation, the S1-wave delay
is 204 ms and the S2-wave delay is 184 ms. Thus the
S2-wave is now faster than S1, and there has been a
90 -flip in shear-wave polarisations in the presence
of critically high pore-fluid pressures (Crampin et al.,
2004).These 90 -flips, in some circumstances can lead
to observations of time-delays between split shear-
waves decreasing with distance, and observations of
shear-wave polarisations parallel to the minimum hor-
izontal stress instead of the more typically parallel to
the maximum horizontal stress.
90 -flip phenomena, first modelled theoretically by
APE (Crampin & Zatsepin, 1997), have now been
observed elsewhere in critically-high pressured hydro-
carbon reservoirs, and on all seismically-active fault
zones due to the high fluid-pressures necessary to
permit movement on lithostatically compressed faults
(Crampin et al., 2004). Above large faults, 90 -flips
are observed at the surface, but on smaller seismically-
active faults, the 90 -flips lead to negative, say, time-
delays near the fault, and the positive time-delays along
the normally-pressurised remainder of the ray path
to the surface. The summation of negative and pos-
itive time-delays leads to the large 80% scatter in
observed shear-wave splitting time-delays above all
small earthquakes (Crampin et al., 2004).
5 INDIRECT CONFIRMATION OF
APE-MODELLING
Further indirect confirmation of APE-modelling is
that APE indicates that the principal effect of changes
of low-level stress is to modify microcrack aspect
ratios. In particular, increases of stress before frac-
turing occurs (pre-fracturing deformation) can be
 monitored by increases in shear-wave splitting time-
delays in particular segments of the solid angle of
ray path directions (Crampin, 1999). Observations of
such, rather subtle, easy-to-overlook changes, mon-
itor the accumulation of stress before earthquakes
and allow estimates of the progress towards fracture-
criticality and earthquake occurrence. The duration of
the increase allows the magnitude of the impending
earthquake to be estimated. Recognised with hindsight
before some 17 earthquakes (Volti & Crampin, 2003;
Gao & Crampin, 2004). On one occasion the time,
magnitude, fault break of an M 5 earthquake in Ice-
land was successfully stress-forecast three days before
the event (Crampin, 1999).
6 CRITICAL SYSTEMS OF
FLUID-SATURATED CRACKS
IN THE EARTH
The capability of imaging the behaviour before earth-
quakes ranging from a M 1.7 in Iceland to the Ms
7.7 Chi-Chi earthquake by the highly-constrained APE
model and calculate, even predict, the response of
fluid-saturated microcracked rock to changing con-
ditions in a highly complicated heterogeneous crust,
is remarkable and requires explanation (Crampin &
Chastin, 2003).
Critical systems are typically sensitive (the "but-
terfly wings" sensitivity) to otherwise negligible
variations in initial conditions that can lead to
order-of-magnitude differences as the systems evolve
(Crampin, 1999; Crampin & Chastin, 2003). This
manipulation of fluid-saturated microcracks as mon-
itored by shear-wave splitting indicates that stress-
aligned fluid-saturated microcracks are remarkably
pervasive features with similar parameters in almost
all rocks in the crust. The observed calculability is
because the fluid-saturated cracks in the crust are so
closely spaced that they are critical systems (Bruce &
Wallis, 1989). Critical systems involve dynamic inter-
active processes that below criticality perturb only
locally. Once systems reach criticality, all members
of the critical system influence all other members
(Jensen, 1998; Bruce & Wallis, 1989; Crampin &
Chastin, 2003).
The transition temperature of equilibrium thermo-
dynamics is the classic critical system, but critical sys-
tems are common in an enormous range of phenomena
including almost all complex interactive systems in
nature and elsewhere. Crampin & Chastin (2003) sug-
gest that the stress-aligned fluid-saturated cracks in the
earths crust are also interactive critical systems. Sim-
ilar schemes for the Earth have been suggested previ-
ously. The difference here is that we have identified the
micro-scale mechanism for deformation as stress-
induced fluid-movement along pressure-gradients
542
Copyright 2006 Taylor & Francis Group plc, London, UK
between adjacent fluid-saturated grain-boundary
cracks and pore-throats. This is a quantifiable physical
process that can be modelled, monitored, and calcu-
lated by APE (Zatsepin & Crampin, 1997; Crampin &
Zatsepin, 1997; Crampin & Chastin, 2003).
The criticality, where different critical systems have
similar statistical behaviour near criticality, despite
very different sub-critical physics, is the reason
APE-modelling matches a huge range of phenomena
(Crampin & Chastin, 2003). This is known as critical-
point universality (Bruce & Wallis, 1989), and implies
the self-similar scaling seen in crack distributions,
as well as the well-known Gutenberg-Richter earth-
quake magnitude frequency relationship, and many
other phenomena.
7 OBSERVED SENSITIVITY
The expected sensitivity was confirmed by an experi-
ment to test a borehole Stress-Monitoring Site (SMS)
(Crampin et al, 2003) for stress-forecasting earth-
quakes. The SMSITES SMS near the Hsavk-Flatey
transform fault of the Mid-Atlantic Ridge in Ice-
land recorded seismic travel times over 315 m at
500 m-depth (Figure 5). Repeated pulsing of the
Downhole Orbital Vibrator (DOV) borehole source
several times a minute over 13 days allowed, with
100-fold stacking, 0.02 ms time-lapse accuracy in P-
wave and split shear-wave (SV and SH ) travel times,
and shear-wave anisotropy (SV SH ). The arrivals
showed well-recorded 5%, 2%, 2%, and 10% vari-
ations, respectively, which correlated with NS and
EW Global Position System (GPS) variations and
a one metre decrease in the level of a water well
immediately above the Hsavk-Flatey fault. All seven
variations coincided with small-scale seismicity, with
total energy release equivalent to one M 3.5 event, on
a neighbouring transform fault 70 km-away (Crampin
et al., 2003). These well-observed variations, show
exceptional sensitivity, well beyond that expected in
a conventional brittle-elastic crust at several hundred
times the conventional source diameter.
8 IMPLICATIONS OF THE NEW GEO-PHYSICS
FOR HYDROCARBON PRODUCTION
Since liquid-saturated cracks have little effects on
P-wave propagation, the New Geophysics is likely to
have little effect on conventional exploration seismol-
ogy, where the principal tool is P-wave arrival times.
Consequently, if you are happy with conventional
P-wave seismics, and happy with conventional reso-
lution, you can probably ignore this New Geophysics.
 However, if you wish for higher resolution, and par-
ticularly wish to use shear-wave seismics for a bet-
ter understanding of low-level deformation, you are
necessarily committed to the New Geophysics.
There are two major effects. The New Geophysics
potentially alters the behaviour of seismic wave prop-
agation, and alters the geophysical behaviour of the
reservoir.
8.1 Monitoring production with time-lapse
seismics in Single-Well Imaging (SWI)
The movement of oil/water fronts can be analysed by
subtracting record sections before and after some oil
field production process in time-lapse seismics. Suc-
cess depends on successive records shot with identical
source-to-receiver geometry. Such detailed sections
are expensive offshore, where many major oil fields
are situated, and one of the major expenses is lay-
ing areal arrays of sea-floor geophones for optimal
time-lapse seismics.
Figure 5 shows time-lapse signals contaminated
by substantial temporal variations in seismic travel
Figure 5. Observations at the prototype SMS (Crampin
et al., 2003). (a), (b), and (c) are travel times in ms of P-,
SV - and SH -waves, and SV -SH anisotropy, respectively, at
500 m-depth between boreholes 315 m-apart. The directions
are parallel to and about 100 m South of the Hsavk-Flatey
Fault (HFF). Shear-waves are polarised SV, and SH propagat-
ing in a vertical symmetry direction of the stress field. Also
shown are (d) NS and EW (GPS) displacements in mm; and
(e) water-pressure pulse measured in bars in a well imme-
diately above the HFF (the pulse is 1 m deep; the 40 cm
oscillations are oceanic tides). Observations (a to e), cor-
relate with (f ), a histogram of small scale seismicity on a
parallel fault 70 km NNW of the SMS. The total energy of
the seismicity is equivalent to one magnitude M 3.5 event.
Copyright 2006 Taylor & Francis Group plc, London, UK
times over 315 m correlating with distant small-scale
seismicity. The effects of stress accumulation before
higher seismicity, or volcanic eruptions, are likely to
be seen across the whole tectonic plate (Crampin et al.,
2003). Note that the effects of the New Geophysics are
non-linear, as in the 80% scatter of shear-wave time-
delays observed above all small earthquakes (Crampin
et al., 2004), that cannot be interpreted by conventional
sub-critical techniques. Consequently, any in situ mea-
surements necessarily degrade both temporally and
spatially as soon they are made, and the longer the
ray paths the greater the possible degradation.
The only way to avoid such degradation is to make
and interpret measurements at the time and place (the
producing reservoir) they are required by Single-Well
Imaging (SWI) (Crampin, 2004). SWI is where the
scattered reflections from a borehole (DOV) source
are recorded by three-component recorders behind
the casing or behind tubulars in the same well as
the source. There are time-lapse techniques for inter-
preting the scattered signals in terms of changing
background: moving oil/water contacts for example
(Crampin, 2004).
One great advantage of SWI is that it is much
cheaper ( 1/100) than conventional 4D reflection sur-
veys. Since SWI tracking of fluid fronts is largely inde-
pendent of geological structure, SWI could eventually
replace costly reflection surveys.
8.2 Slower production for More Oil REcovery
(SMORE)
One of the characteristics of critical systems with SOC
is that the self-similarity and calculability only occur
when the complex interactions are responding to slow
changes (Jensen, 1998). Rapid changes and aggres-
sive production strategies are likely to produce chaotic
deformation which will not be self- similar or calcula-
ble. This suggests that modelling and calculating the
response will only be possible for slow recovery rates,
hence the hypothesis of Slower production for MOre
REcovery (SMORE).
The question is how slow is slow and how much
more is more? The delay between the initial and second
survey in for Figure 4 was approximately two weeks
and was clearly sufficient as the results were calcula-
ble, but it could have been days or hours. Note that
the slow recovery might need to be for the whole pro-
duction history. Initial aggression might so disturb the
rock as to be irreversible.
There are to our knowledge no estimates of how
much more is more. Currently, oil fields typically
recovery less than 40% of the oil in the reserve.
Thus, even a conservative increase of 2%, say, to 42%
(it might be substantially greater) of produced oil over
possibly marginally longer recovery would be 5%
more oil. This would be additional profit on the initial
543
 infrastructure cost of oil rigs and pipe lines at the cost
of a slower recovery rate.
8.3 Optimising water-flooding by APE-modelling
The response of the rock mass can be potentially con-
trolled by matching time-lapse shear-wave splitting in
4D reflection surveys or VSPs to APE-modelling by
feedback.
This might be important for fluid-injection. If a
water-flood operation were initially monitored by
appropriate seismic measurements, such as VSPs or
SWI, it would be possible to recognise whether cracks
had opened in the desired direction to aid fluid sweep
operation. If non-optimal orientations were indicated,
different injection procedures could be attempted and
tested.
This could establish the likelihood of success of the
water fluid operation within hours or days of the flood
and long before production returns indicated success
or failure.
9 CONCLUSIONS
The New Geophysics is a recent construct and the full
implications will take some time to evolve. Why do we
need a New Geophysics? After some 80+ years of oil
production and vast expenditure of research funds, we
still recover, typically, less than 40% of the total oil
in the reservoir. Why should we be so unsuccessful?
Shear-wave splitting (seismic birefringence) shows
there are stress-aligned fluid-saturated microcracks in
almost all in situ rocks that are so closely spaced
they are highly compliant and are critical systems.
This means that the reservoir and seismic waves do
not behave as expected in conventional geophysics.
Figures 4 and particularly Figure 5, for example,
show that rocks, including hydrocarbon reservoirs,
display sensitivity to minor disturbances, with much
more sensitivity than would be expected in a conven-
tional brittle-elastic crust. These and other fundamen-
tal anomalies suggest that there is a serious gap in our
understanding of how rocks behave. The New Geo-
physics may not be the whole answer to our lack of
success in oil production, but it certainly provides a
large part of the answers, where the key observable is
stress-aligned shear-wave splitting.
The New Geophysics provides the opportunity
to: monitor with shear-wave splitting; model future
behaviour with anisotropic poro-elasticity (APE), pre-
dict future behaviour if changing conditions can be
544
Copyright 2006 Taylor & Francis Group plc, London, UK
estimated, and in appropriate circumstances control
future behaviour by feedback.
REFERENCES
Alford, R.M. 1986. Shear data in the presence of azimuthal
anisotropy: Dilley, Texas. 56th Ann. Int. SEG Meet.,
Houston, 1986, Expanded Abstracts 476479.
Angerer, E., Crampin, S., Li, X.-Y. & Davis, T.L. 2002.
Processing, modelling, and predicting time-lapse effects
of overpressured fluid-injection in a fractured reservoir.
Geophys. J. Int. 149: 267280.
Bruce, A. & Wallace, D. 1989. Critical point phenomena:
universal physics at large length scale. In P. Davis (ed),
The New Physics. Cambridge: Cambridge Univ. Press:
236267.
Crampin, S. 1994. The fracture criticality of crustal rocks.
Geophys. J. Int. 118: 428438.
Crampin, S. 1999. Calculable fluid-rock interactions.
J. Geol. Soc. 156: 501514.
Crampin, S. 2004. The New Geophysics: implications
for hydrocarbon recovery and possible contamination of
time-lapse seismics. First Break 22: 7382.
Crampin, S. & Chastin, S. 2003. A review of shear-wave
splitting in the crack-critical crust. Geophys. J. Int. 155:
221240.
Crampin, S. & Zatsepin, S.V. 1997. Modelling the compli-
ance of crustal rock: II response to temporal changes
before earthquakes. Geophys. J. Int. 129: 495506.
Crampin, S., Volti, T. & Stefnsson, R. 1999. A successfully
stress-forecast earthquake. Geophys. J. Int. 138: F1F5.
Crampin, S., Chastin, S. & Gao, Y. 2003. Shear-wave
splitting in a critical crust: III - preliminary report of
multi-variable measurements in active tectonics. J. Appl.
Geophys. 54: 265277.
Crampin, S., Peacock, S., Gao, Y. & Chastin. S. 2004. The
scatter of time-delays in shear-wave splitting above small
earthquakes. Geophys. J. Int. 156: 3944.
Davis, P. 1989. The New Physics: a synthesis. In P. Davis (ed),
The New Physics. Cambridge: Camb. Univ. Press.
Gao, Y. & Crampin, S. 2004. Observations of stress relax-
ation before earthquakes. Geophys. J. Int. 157: 578582.
Jensen, H.J. 1998. Self-organized criticality. Cambridge:
Cambridge Univ. Press.
Taylor, D.B. 2000. ANISEIS Manual: Version 5.5. Edinburgh:
Macroc Ltd., 10 Jordan Lane, EH10 4RB.
Volti, T. & Crampin, S. 2003. A four-year study of shear-
wave splitting in Iceland: 2. Temporal changes before
earthquakes and volcanic eruptions. In D.A. Nieuw-
land (ed), New insights into structural interpretation
and modelling. Geol. Soc. Lond., Spec. Publ. 212:
135149.
Zatsepin, S.V. & Crampin, S. 1997. Modelling the compli-
ance of crustal rock: I - response of shear-wave splitting
to differential stress. Geophys. J. Int. 129: 477494.
Available at http://geos.ed.ac.uk/homes/scrampin/opinion/.
 EUROCK 2006 Multiphysics Coupling and Long Term Behaviour in Rock Mechanics
Van Cotthem, Charlier, Thimus & Tshibangu (eds)
2006 Taylor & Francis Group, London, ISBN 0 415 41001 0

An automated procedure to build failure envelopes and model the

Mohr-Coulomb criterion in the three-dimensional principal stresses
space from polyaxial test data

F. Descamps, E. Rodriguez & J.-P. Tshibangu

The Faculty of Engineering, Mons, Belgium

ABSTRACT: The representation of the failure envelopes to fit experimental data in the stresses space is a
major step in the construction of behaviour laws. Among the various failure criteria available to model those
limiting envelopes for rocks, the Mohr-Coulomb criterion is one of the most used. It is based on a shearing
physical mechanism which supposes that the shear strength on a plane depends on the cohesion and the internal
friction angle of the material. In this paper, our aim is to use data from a polyaxial device to represent the
failure envelope of a rock in the three-dimensional stresses space and model it with the Mohr-Coulomb failure
criterion. Therefore, the method developed by Tshibangu (1994) is automated using the matlab developing
package. We present results of tests performed on the Soignies Limestone in octahedral planes and in the principal
stresses space. The Mohr-Coulomb criterion is then computed. This automated method is able to represent easily
the failure envelope of a material and gives the parameters of the Mohr-Coulomb failure criterion, for various
confining states.

1 INTRODUCTION 2 THE MOHR-COULOMB FAILURE

CRITERION IN THE THREE-DIMENSIONAL
The knowledge of the mechanical behaviour of rock STRESSES SPACE
materials is a key feature in rock engineering projects.
Particularly, in deep drilling operations, rock is sub- The Mohr-Coulomb failure criterion is based on the
jected to high confining levels, pore pressure and tem- physical assumption that failure occurs by shearing
perature. In such conditions, the rock behaviour will and that the shear stress along a plane is a function of
become completely different compared to atmospheric the cohesion of the material and the normal stress on
conditions. For example, it is well known that rock that plane:
exhibiting brittle failure in surface conditions can
undergo a cataclastic flow under high confining pres-
sures (Tshibangu 1994). In this paper, we focussed
on the influence of the confining pressure on the law with , the shear stress along the failure plane; C, the
of behaviour, taking into account the influence of the cohesion of the material; , the normal stress on the
intermediate principal stress. failure plane and , the internal friction angle.
The construction of behaviour laws relies mainly In terms of principal stresses, the criterion is
on the choice of a theoretical failure envelope (or cri- given by:
terion) to fit experimental data, and therefore, the
representation of this surface in the stresses space
is a major step. A method has already been devel-
oped by Tshibangu (1994) for the building of limiting
where C0 is the uniaxial compressive strength and q is
envelopes in octahedral planes and their modelling
related to the internal friction angle by:
with the Mohr-Coulomb criterion. In this paper, the
developments are completed to represent the fail-
ure envelope and the failure criterion in the three-
dimensional stresses space.

545

Copyright 2006 Taylor & Francis Group plc, London, UK

 Figure 1. The Mohr-Coulomb failure criterion in the
three-dimensional stresses space and in an octahedral view.
In three dimensions, the Mohr-Coulomb criterion
can be generalised by writing the following expression
of the load function:
where i, j = 1, 2 or 3.
In the principal stresses space, this load surface is a
six-sided pyramid inclined along the hydrostatic axis
and, in the octahedral plane, it is an irregular hexagon
(Figure 1).
3 METHOD OF CONSTRUCTION OF THE
LIMITING ENVELOPES
The analytical expression of a failure envelope in three
dimensions is given by:
But it is more convenient to decompose the stress
state in a hydrostatic part oct and a deviatoric one
oct according to the following relations (Jaeger and
Cook 1971):
Those expressions lead to the representation of the lim-
iting envelope in octahedral planes, each octahedral
plane corresponding to a value of oct (Figure 2). In
octahedral planes, the stress state is given in polar coor-
dinates by the octahedral shear stress oct and the Lode
angle (angle between the directions of the octahe-
dral shear stress corresponding to the considered stress
state and to the triaxial state, Figure 2).
Analytical developments considering the angle
between lines of given direction cosines (Tshibangu
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Copyright 2006 Taylor & Francis Group plc, London, UK
Figure 2. Representation of a stress state in the octahedral
plane. The Lode angle gives the direction of the octa-
hedral shear stress oct with respect to the direction of the
octahedral shear stress of the triaxial state.
1994, 1997) lead to:
where (a, b, c) are the direction ratios of the octahedral
shear stress and are expressed as:
From a practical point of view, the first step is to
specify the octahedral planes to be considered. There-
fore, curves of the same value of oct (called iso-oct
curves) can be interpolated from experimental data in
the (2 , 3 ) grid. Equation 6 allows then to compute
the major principal stress as:
Then, the octahedral shear stress can be computed
using (7) and, finally, the Lode angle is given by (8).
The polar coordinates (oct , ) computed for the
interpolated data correspond to a sixth of the
octahedral failure envelope because of the condi-
tion 1 2 3 0. Assuming that the material is
isotropic, we can complete the limiting envelope by
reproducing six times this figure around the octahedral
plane.
As far as the three-dimensional representation is
concerned, instead of using the (1 , 2 , 3 ) data, we
 Table 1. Results of the polyaxial tests.

1 a 2 3 1 a 2 3
MPa MPa MPa MPa MPa MPa

139 0 0 316 306 20

171 120 0 348 338 25
153 146 0 289 30 30
206 2 2 317 150 30
227 225 3 360 358 30
241 237 5 414 413 35
232 10 10 337 40 40
186 30 10 355 10 40
254 50 10 381 120 40
231 80 10 390 200 40
242 150 10 420 140 50
254 250 10 383 60 60
275 265 15 423 80 60
280 20 20 473 150 60
Figure 3. Representation in an octahedral view of the stress 270 40 20 427 170 60
states used for the tests. 330 170 20 447 80 80
309 200 20 471 120 80
adopt an (x, y, z) system in which the hydrostatic axis 363 230 20 443 90 90
corresponds to the z-axis:
a
Major principal stress at failure.

they give, for the various octahedral planes, results that

4 EXPERIMENTAL DATA
Tests have been performed on the Soignies limestone,
a rock material the mechanical properties of which
are already well known (Tshibangu 1994, Descamps
2002): it exhibits a brittle failure under uniaxial com-
pression but behaves plastically when subjected to high
confining stresses. The choice of this material is justi-
fied by three reasons: its availability, the opportunity of
complementing the data base for this rock and its well-
known behaviour in order to choose the best confining
conditions to be tested.
In order to emphasize the three-dimensional aspect
of the failure envelope, tests were performed using a
polyaxial system. This true triaxial device has already
been described by Tshibangu (1994, 1997) and uses
30 mm-sided cubes which can be submitted to con-
fining conditions such as 1 = 2 = 3 . Various stress
paths were implemented in the experiments: triax-
ial tests with 2 = 3 , biaxial tests with 1 = 2 and
polyaxial tests with 1 > 2 > 3 . When plotting such
stress states in an octahedral view (Figure 3), one can
see that they cover a sixth of the octahedral plane. If
the rock is isotropic (as assumed for the Soignies lime-
stone), the portion of curve ranging from the triaxial
to the biaxial states can be represented six times in the
stress space.
About forty polyaxial tests were performed. The
confining conditions were chosen carefully such that
are well distributed between the triaxial and the biax-
ial states. The results of the tests are given in Table 1 ;
the values of the major principal stress corresponds to
stresses at failure.
5 APPLICATION USING MATLAB
We developed a matlab program which uses the
results of the polyaxial tests. In a first step, values
of the hydrostatic stress are computed for each experi-
mental set of stresses at failure. Iso-oct curves (curves
along which the hydrostatic stress is constant) are
also interpolated in the (2 , 3 ) grid, with a step of
20 MPa. The interpolation algorithm is matlab s
V4 method, a biharmonic spline interpolation method
which produces smoother results (the other interpo-
lation methods are based on a Delaunay triangulation
of the data). As a result, a file containing the interpo-
lated values is generated and the iso-oct curves can
be displayed (Figure 4).
For each octahedral plane, the values of 1 , oct
and the Lode angle are computed from the interpo-
lated values of oct . This allows the computation of
the coordinates of the stress points in an (x, y, z) sys-
tem (where z is the hydrostatic axis and y corresponds
to the direction of oct in a triaxial state) and leads to the
representation of the failure envelope in the octahedral
planes (Figure 5).
The next step is the representation of the
three-dimensional failure envelope. This is simply
done by applying the three-dimensional interpolation

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Copyright 2006 Taylor & Francis Group plc, London, UK

 Figure 4. Iso-oct curves in the (2 , 3 ) grid.
Figure 5. Failure envelope of the Soignies limestone in the
130 MPa octahedral plane.
1 ,
2 and
3 correspond to the
projection of the principal stresses axes.
algorithm to the previously obtained results in the
(x, y, z) coordinate system (Figure 6).
For a more conventional representation, the princi-
pal stresses axes are also plotted on this Figure; their
director cosines in the (x, y, z) system are:
The envelope can also be modelled using a failure
criterion. In this study, we focussed on the Mohr-
Coulomb criterion. For each octahedral plane, a lin-
ear regression between the triaxial and the biaxial
states is performed (least square method), giving the
coordinates of two vertices of the irregular hexagon.
548
Copyright 2006 Taylor & Francis Group plc, London, UK
Figure 6. Failure envelope of the Soignies limestone in
the three-dimensional stresses space. It is to note that the
hydrostatic axis corresponds to the z-axis and the (x, y) plane
corresponds to an octahedral plane. The principal stresses
axes are also shown.
Figure 7. Mohr-Coulomb failure criterion corresponding
to the limiting envelope of the Soignies limestone in the
130 MPa octahedral plane.
Using the previously mentioned symmetry prop-
erties, the irregular Mohr-Coulomb hexagon can be
drawn in each octahedral plane (Figure 7). Finally, the
three-dimensional criterion of Figure 8 results from
a linear interpolation between the coordinates of the
vertices of the hexagon in each octahedral plane.
This least square approach can be compared with
the method developed by Tshibangu (1994). In this
case, the intrinsic curve is modelled by the Mohr-
Coulomb criterion in which the characteristic param-
eters (friction angle) and C (cohesion) vary with the
normal stress. Introducing the expression of the octa-
hedral normal stress in (2) for the triaxial and biaxial
stress states lead to the expression of the octahedral
shear stress for those stress states. This method is in
agreement with Mohrs hypothesis (independence of
the criterion versus the intermediate principal stress).
 Table 2. Parameters of the Mohr-Coulomb failure criterion
for the Soignies limestone at various mean stresses.

oct oct T a 1 3 C0 b qb b Cb
[MPa] [MPa] [MPa] [MPa] [MPa] [] [ ] [MPa]

70 97 207 2
90 111 246 12 201 3.81 35.7 52
110 126 287 21 194 4.39 38.9 46
130 138 325 33 216 3.34 32.6 59
150 155 369 41 149 5.42 43.5 32
170 168 408 51 220 3.65 34.8 58
190 180 444 63 247 3.15 31.2 70
210 185 472 79 334 1.75 15.8 126
a
oct T is the octahedral shear stress for the triaxial states.
b
The values of the parameters on line i are valid for the
stresses ranges between line i-1 and line i.
Figure 8. Three-dimensional Mohr-Coulomb failure crite-
rion for the Soignies limestone.
the failure envelope of a rock and model its failure
We applied both approaches to the Soignies lime- criterion both in octahedral planes and in the three-
stone and we observed very similar results. For exam- dimensional stresses space. Using a method developed
ple, when the mean stress equals 130 MPa, the octa- byTshibangu (1994, 1997), we completed the develop-
hedral shear stress for the triaxial state is 138 MPa ments to obtain the three-dimensional representation
(resp. 136 MPa) with the first (resp. second) method. and automated the process. Even if an important
For determining the parameters of the Mohr- amount of data is necessary to obtain a good repre-
Coulomb criterion, we used points of the criterion cor- sentation of the failure surface, this work provides a
responding to triaxial stress states. In this case, the useful tool for studying the behaviour of rock material
values of oct and oct allow to compute the corre- under various confining conditions.
sponding 1 and 3 principal stresses according to In the future, efforts should be made to complete
Equations 6 and 7: the results by using data of other experimental devices.
Other improvements should be done to transpose the
modelling job to other failure criteria such as the Lade
criterion (Lade 1977, Lade and Kim 1995).

We applied a linear regression on those values to REFERENCES

obtain the parameters C0 and q given in (2). In the case
of Soignies limestone, we found 210 MPa for C0 and
3,6 for q. The parameters of the Mohr-Coulomb crite-
rion can also be given in terms of cohesion and internal
friction angle, according to (1). For this material, the
internal friction angle equals 34 and the cohesion
equals 55 MPa. It is to note that those parameters are
valid on the regression range, that is for confining
stresses between 0 and 80 MPa. It is also possible to
compute the parameters of the Mohr-Coulomb failure
criterion for determined confining ranges. In Table 2,
we give for various mean stresses, on the one hand, the
values of the uniaxial compressive strength and the
q-parameter and, on the other hand, the values of
the cohesion and the internal friction angle.
6 CONCLUSIONS AND FUTURE PROSPECTS
The aim of this study was to show how, from a
set of polyaxial test data, it is possible to represent
Descamps, F. 2002. Evaluation des proprits mcaniques
dune roche partir des tests peu destructifs : poinon-
nage et grattage. End-of-study Work. Mons : Facult
Polytechnique de Mons.
Jaeger, J.C. & Cook, N.G.W. 1971. Fundamentals of Rock
Mechanics. London : Chapman and Hall.
Lade, P.V. 1977. Elasto-plastic stress-strain theory for cohe-
sionless soil with curved yield surfaces. In Int. J. Solids
Structures 13 : 10191035.
Lade, P.V. & Kim, M.K. 1995. Single hardening constitu-
tive model for soil, rock and concrete. In Int. J. Solids
Structures 32 : 19631978.
Tshibangu, J.-P. 1994. Etude des effets du confinement sur le
comportement mcanique des roches pour application au
calcul des ouvrages souterrains. Doctoral Thesis. Mons :
Facult Polytechnique de Mons.
Tshibangu, J.-P. 1997. The effect of a polyaxial confining
state on the behaviour of two limestones. In Environmental
and Safety Concerns in Underground Construction, Lee,
Yang & Cheng (eds): 465470. Rotterdam : Balkema.

549

Copyright 2006 Taylor & Francis Group plc, London, UK

 EUROCK 2006 Multiphysics Coupling and Long Term Behaviour in Rock Mechanics
Van Cotthem, Charlier, Thimus & Tshibangu (eds)
2006 Taylor & Francis Group, London, ISBN 0 415 41001 0

Geomechanical properties of fractured carbonate rock mass determined

by geophysical methods

A.F. Idziak & I. Stan-Keczek

University of Silesia, Faculty of Earth Sciences, Sosnowiec, Poland

ABSTRACT: Fractures are the most important factor which influence on anisotropy of physical properties of
rocks.Geophysical methods, especially seismic methods are useful in investigations of fractured rocks. Carbonate
rocks of different ages located within the Silesian Upland and the Krakow-Czestochowa Upland, southern
Poland, were the object of present research. Seismic measurements were carried out in the same quarries where
the fracture parameters were measured. Velocity tensors and crack tensors were calculated and compared. The
present research allowed to establish the relationship between characteristic parameters of crack tensor and
velocity tensor in carbonate rocks.

1 INTRODUCTION geometry of existing cracks. Number, shape and ori-

Cracks are very common features of the rock mass
which flow on physical properties of rocks. Fracturing
exert an fundamental influence on elastic waves prop-
agating in rocks and it causes velocity reduction which
depends on crack geometry and elastic properties of
material filling cracks (water, gas or plastic substance)
different from elastic properties of rock matrix.
Preferred orientation of crack systems involves
velocity anisotropy.The wave velocity is smaller in
direction perpendicular to crack plane than in parallel
direction. The saturation of cracks reduces the P-
wave velocity anisotropy, which is bigger than S-wave
velocity anisotropy.
The solutions of wave equations show that P-waves
can only propagate in perpendicular or parallel direc-
tion to crack surface. In another directions, these
solutions describe wave which have features of both
P-wave and S-wave. These waves are described as
quasi-longitudinal (bigger velocity) and quasi-
transverse (lower velocity).
The present research confirm a relationship between
seismic wave velocity anisotropy and fracturing. The
existence of relationship between crack and seismic
anisotropy allowed to use seismic methods for deter-
mining fracture density and orientation of crack
systems.
entation of fractures involve an elastic properties
anisotropy of the material. The measure of solid dis-
continuity is a fracture porosity defined as a relative
crack volume in a solid bulk. Crack density parameter
describing the porosity can be estimated from the
expected value of crack volume VC and the number of
crack per volume unit N:
Estimation of needs an assumption about crack
geometry. The most of theoretical studies assume an
occurrence of ellipsoidal oriented cracks, differ in
diameter and flatness. Assuming that the crack has
a shape of coin (penny shape) with diameter a and
aperture c the crack volume will be equal to:
Thus:
To calculate <VC > a statistical distribution of crack
geometry, represented by density function f(a,c) satis-
fying normalization condition, must be known:

2 TENSOR DESCRIPTION OF A If crack diameters and apertures are statistically inde-

CRACKED SOLID pendent the function f(a,c) is the product of two
independent density functions:
Physical properties of discontinuous solids such as
fractured rock mass are influenced by density and

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 In the case, crack density parameter is equal to:
If crack geometry parameters correlate a linear regres-
sion coefficient can be established:
Every horizontal plane in the medium can be
crossed by cracks which centers lie at the distance less
than a/2 from it (figure 1a)
Lets assume that all the cracks have the diameter
a and centers are randomly distributed in a layer of
thickness a. The density function f (r) characterizing
distribution of a distance r from crack center to the
plane has a from:

and parameter can be estimated from the relation:

The expected value of trace length on the plane is equal
to:

To describe crack anisotropy, a tensor quantity called

crack tensor can be employed (Oda, 1982, 1984:
Oda et al, 1986). Rank k tensor variable of crack
The trace length of crack which lies at a distance r
orientation is a tensor product of unit vector n, normal
from the plane is equal to (see figure 1b):
to a principal plane of crack

Thus
where ni a direction cosine of n with respect to the
reference axis xi , indices are equal to 1, 2 or 3.
Crack tensor of rank k can be defined as:

Similarly:

To estimate crack tensor components one has to know

a statistical distribution of crack geometry and orien-
tation, represented by density function E(a,c,n). The
function should be symmetric in relation to n:
Calculated values <l> and <l2 > allowed to estimate
the crack density parameter if a trace length distribu-
tion and a number of traces per unit surface M
are known. Relation between bulk and surface crack
because n and -n represent the same crack orientation. density is M = Na and for cracks with constant crack
For the reason, tensor F is invariant for a change of aspect ratio we have:
the sense of vector n what means that only tensors
which rank is even have non-zero components. Zero-
rank tensor is identical with crack density parameter.
Estimators of the crack tensor components for penny-
shape cracks can be calculated from the relation:

where  is the solid angle corresponding to entire

surface of the unit sphere.
A special case of fractured medium is a half-space
with cracks perpendicular to horizontal boundary sur-
face. It is possible to reduce the crack tensor to its
two-dimensional version estimated from distribution
of length, aperture and orientation of crack traces on Figure 1. Scheme illustrating erasing of crack traces on the
the boundary plane. horizontal plane.

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Copyright 2006 Taylor & Francis Group plc, London, UK

 or, if well take into consideration the crack diameter
distribution g(a):
It means, that crack density parameter can be
expressed as:
If crack diameter and aperture do not correlate we
have the relations:
and
Distribution of trace orientation is characterized by
density function E(), where is an angle between ref-
erence axis and unit vector m perpendicular to the trace
line. Components of two-dimensional crack tensor of
rank k are calculated from the formula:
The indices are equal to 1 or 2 and components mn are
equal cos or sin respectively.
In practice, distribution E() has to be replaced by
a set of probabilities ph . They express probability that
If the velocity tensor of rank k Vij...l is estab-
lished the squared velocity in direction of unit vector
m can be approximated by the product of tensor V and
vector m
The tensor components are determined from the set of
N equations:
obtained for velocity measurements in N independent
directions. For the horizontal layer with vertical cracks
the velocity tensor reduce to two-dimensional version
which express azimuth velocity distribution.
3 EXPERIMENTAL STUDY
The relationship between seismic anisotropy and
cracks anisotropy were studied for carbonate rocks
from eastern and north-eastern parts of the Upper Sile-
sian Coal Basin (see figure 2). Research were carried
out in Triassic limestone (site1, site2, site3, site4 and
site10), Triassic dolomite (site5 and site7), Devonian
limestone (site9) and Devonian dolomite (site6 and
site8).
Direct observations of mezostructure were col-
lected from the same quarry in which the seismic
measurements were done. Strike azimuth and dip angle
of cracks as well as length and apertures of fracture
the vector m is contained in the angle range h such traces were measured. Rose-diagrams were obtained
that: from crack orientation data. The results of crack sys-
tems orientation and their geometrical parameters
measurements were applied to calculate the crack ten-
sors (table 1 and 2). Fractures perpedicular to layering

Crack tensor components can be estimated as:

where mk = cos h for k = 1 or mk = sin h for k = 2,

h is a central value from the range h .
To describe seismic wave velocity anisotropy the
velocity tensor was introduced by Oda et al (1986).
It express directional distribution of squared velocity
which is related to elastic moduli of the medium. To
make the tensor components non-dimensional mea- Figure 2. The map of investigation area on the back-
sured velocity should be normalized by normalizing ground of adjoining geological unit (after Dadlez (ed),
factor V0 , for example maximum velocity or acoustic 2000):1-Devonian, 2-Carboniferous, 3-Trassic, 4-Jurassic,
wave velocity in unfractured sample of the medium. 5-Cretaceous.

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 Table 1. Geometrical parameters of cracks in investigated rocks.

Average Average
Avarage square of surface Crack
fracture Avarage crack traces density Crack aspect density
Investigated aperture length of crack length of crack ratio parameter
area <c> mm traces <l> m <l2 > m2 M m2 non-dimensional 102

site1 5,7 0,452 0,486 5,4 0,013 4,020

site2 5,4 0,468 0,501 4,2 0,012 2,970
site3 5,7 0,512 0,543 4,1 0,011 2,880
site4 5,6 0,507 0,525 4,0 0,011 2,270
site5 5,9 0,527 0,335 5,5 0,011 2,390
site6 5,8 0,538 0,410 4,6 0,011 2,440
site7 6,7 0,511 0,437 5,4 0,013 3,610
site8 5,9 0,526 0,422 4,7 0,012 2,790
site9 2,0 0,509 0,493 4,39 0,500
site10 1,25 0,13 0,030 306.12 0,023 0,254

Table 2. Characteristic values of second rank crack tensor.

Eigenvalues Azimuth of tensor axis

Mean Anisotropy
Investigated area Fmax 10 2
Fmin 10 2
longer shorter values 102 factor Kf

site1 2,265 1,754 294 24 2,010 0,127

site2 1,600 1,374 44 314 1,487 0,076
site3 1,698 1,187 71 341 1,442 0,177
site4 1,596 1,126 60 330 1,361 0,173
site5 1,383 1,194 47 317 1,194 0,159
site6 1,366 1,078 345 75 1,207 0,118
site7 3,109 2,601 273 3 2,855 0,089
site8 1,231 0,825 337 67 1,028 0,197
site9 0,0028 0,0025 322 52 0,300 0,047
site10 0,174 0,080 309 39 0,127 0,369

appear most frequently in studied rock mass so it
allowed to calculate two-dimensional crack tensors in
the planes parallel to the layer surface.
The seismic equipment Terraloc MK6 was used for
the measurements of seismic wave velocity in the sur-
face layers of rock mass.. The research was done along
precise oriented radial seismic profiles. The first break
times of P-waves were read from recorded seismo-
grams. Besides P-waves also S-waves were identified
on seismograms. Wave velocities were accounted from
a slope of rectilinear refraction hodographs. Obtained
P-waves and S-waves velocity data were used for
calculating velocity tensors. The spatial distributions
of cracks and velocity data were compared. The
eigenvalues and eigenvectors of crack and velocity
tensors (table 2 and 3) of rank two were estimated
and compared.
relationship between eigenvectors of crack and veloc-
ity tensors. The axes of velocity tensor should be
rotated of 90 in relation to the axes of crack tensor.
Obtained results agree with the model (figure 3).The
angles between major axis of these tensors were
near 90 . We can suppose that differences which are
less than 10 can be brought about by non-linear
effects connected with wave propagation in fractured
medium.
In the coordinate system agreeable with main axes
of the tensor related to eigenvalues e1 and e2 it
is possible to decompose the tensor into isotropic
and deviatoric parts.Two characteristic parameters:
average value
and anisotropy coefficient

4 RESULTS AND INTERPRETATION

The constitutive equation of fractured carbonate rock

mass (Idziak,1992) allowed to established theoretical can be defined.

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 Table 3. Characteristic values of second rank velocity tensor.

Azimuth of velocity
Eigenvalues tensor axis
The kind Mean Anisotropy
Investigated area of wave max min longer shorter values factor

site1 P 0,405 0,350 30 120 0,378 0,073

S 0,332 0,246 4 94 0,289 0,148
site2 P 0,451 0,238 123 33 0,345 0,309
S 0,497 0,266 120 30 0,382 0,303
site3 P 0,345 0,308 149 59 0,327 0,057
S 0,385 0,335 137 47 0,360 0,069
site4 P 0,489 0,395 136 46 0,442 0,106
S 0,342 0,305 129 39 0,324 0,057
site5 P 0,485 0,339 128 38 0,412 0,177
S 0,496 0,326 103 13 0,411 0,207
site6 P 0,496 0,432 69 159 0,464 0,069
S 0,600 0,578 11 101 0,589 0,019
site7 P 0,290 0,269 154 64 0,280 0,037
S 0,263 0,245 146 56 0,254 0,035
site8 P 0,495 0,390 67 157 0,443 0,118
S 0,446 0,338 87 177 0,417 0,069
site9 P 0,890 0,530 59 149 0,710 0,254
S 0,714 0,438 66 156 0,576 0,240
site10 P 0,624 0,572 290 20 0,598 0,043
S 0,555 0,278 360 90 0,417 0,332

Figure 4. The relationship between mean value Av of veloc-

Figure 3. The relationship between orientation of longer ity tensor for P wave and crack density parameter . The solid
axes of crack and P-wave velocity tensors. Solid line repre- line is the regression curve.
sents the theoretical dependence, dashed line is the regression
curve.
obtained for two sites significantly differ from results
obtained for the other sites.
We observed good correlation between average
value Av of velocity tensor and crack density param-
eter (figure 4 and 5). The fitted regression curves
5 CONCLUSION
were done by equations:
a) for P-wave AV = 1 + 9,2
1
0,5 , The present study confirm the relations between crack
b) for S-wave AV = 1 + 40,25 .
1 anisotropy and seismic wave velocity anisotropy. in
carbonate rocks. The longer main axes of crack ten-
Correlation for P-wave is better than for S-wave. sor and velocity tensor are perpendicular to them-
The relationship between anisotropy coefficients of selves. Mean wave velocity in carbonate rock mass Av
both tensors is not so clear (figure 5) because results depends on the crack density parameter. It was possible

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Copyright 2006 Taylor & Francis Group plc, London, UK


Figure 5. The relationship between mean value Av of veloc-
ity tensor for S wave and crack density parameter . The solid
line is the regression curve.
Figure 6. The seismic anisotropy factor Kv versus crack
anisotropy factor Kf . , dashed line is the regression curve for
P-wave, dotted line is the regression curve for S-wave. Solid
line represents the regression line obtained after discarding
the date from two sites significantly differ from the other data.
to establish the regression curve for this dependence.
Types of the regression curve for P-wave velocity and
S-wave velocity are similar. but their coefficients are
different. The increase of crack density involved the
556
Copyright 2006 Taylor & Francis Group plc, London, UK
drop of wave velocity. Velocity changes much more
for small crack densities than for bigger crack density.
The smaller value of the exponent in regression rela-
tionship for S-wave velocity points to that reduction
of share wave velocity is less than reduction of lon-
gitudinal wave velocity. Correlation between velocity
anisotropy factor Kv and crack anisotropy factor Kf
is rather week (see figure 6). It seems that there is no
unified value of the ratio Kv /Kf for carbonate rocks
but for the most of investigated sites the ratio for P-
wave was near to 0,6. The obtained results agree with
expectations of the most theories of elastic wave prop-
agation in cracked solid (for example Crampin, 1981,
Crampin et al, 1980).
REFERENCES
Crampin, S. 1981. A review of wave motion in anisotropic
and cracked elastic media. Wave Motion. 3. 343391.
Crampin S., McGoniggle R., Bamford D. 1980. Estimating
crack parameters from observations of P-wave velocity
anisotropy. Geophysics. 45(3). 345360.
Dadlez R., Marek S., Pokorski J. 2000. Geological map of
Poland without Kenozoik deposits, PIG, Warsow.
Idziak, A.F. 1992. Seismic wave velocity anisotropy and its
relation to crack orientation of rock masses. Katowice:
Silesian Univ. Publishing (in polish with English abstract).
Oda, M. 1982. Fabric tensor for discontinuous geological
materials. Soils. Fdns. 22 (4): 96108.
Oda, M. 1984. Similarity rule of crack geometry in sta-
tistically homogeneous rock masses. Mech. Mater. 3:
119129.
Oda, M. & Yamabe, T. & Kamemura, K. 1986. Crack tensor
and its relation to wale velocity anisotropy. In jointed rock
Massem. Int.J. Rock. Mech. Min. Sci. & Geomech. Abstr.
23 (6): 387397.
 EUROCK 2006 Multiphysics Coupling and Long Term Behaviour in Rock Mechanics
Van Cotthem, Charlier, Thimus & Tshibangu (eds)
2006 Taylor & Francis Group, London, ISBN 0 415 41001 0

Predicting the physico-mechanical properties of igneous rocks from

electrical resistivity measurements

S. Kahraman, E. Ogretici & M. Fener

Nigde University, Geological Engineering Department, Nigde, Turkey

T. Yeken
Nigde University, Aksaray Geological Engineering Department, Aksaray, Turkey

ABSTRACT: Electrical resistivity values of eight different igneous rocks were measured on core samples using
a resistivity meter in the laboratory. The resistivity tests were conducted on the samples fully saturated with brine
(NaCl solution) and uniaxial compressive strength, Brazilian tensile strength, density and porosity values of the
samples were determined in the laboratory. Resistivity values were correlated with the corresponding physico-
mechanical properties using simple regression analysis methods. Generally strong correlations obtained from
regression analysis. Concluding remark is that electrical resistivity may be a representative measure of properties
of igneous rocks. However, further research is necessary to check how the stronger and different igneous rocks
affect the correlations.

1 INTRODUCTION strength and density. Kahraman & Alber (in press)

Most of the engineers working in various fields such
as mining, geotechnical, and civil, underground engi-
neering have commonly used the electrical measure-
ment which is one of the non-destructive geophysical
methods. The electrical measurement method can
be applied both in the laboratory and in the field.
Many researchers (Archie, 1942; Brace et al., 1965;
Collett & Katsube, 1973; Shankland & Waff, 1997;
Vinegar & Waxman, 1984; Schmeling, 1986; Jodicke,
1990; Chelidze et al., 1999; Shogenova et al., 2001;
Ara et al., 2004; Kaselov & Shapiro, 2004) espe-
cially working in geophysics area have investigated
the electrical conductivity or resistivity of rocks in
the laboratory for many years. However, there is very
limited study on the relation between electrical resis-
tivity and rock properties except porosity. Kate &
Sthapak (1995) studied the engineering behaviour of
certain Himalayan rocks and developed some empir-
ical relations between rock strength and index test
values. They found a logarithmic relation between
resistivity and uniaxial compressive rock strength.
The compressive strength increases with increasing
resistivity. Bilim et al. (2002) carried out electri-
cal measurements on artificial rocks and found that
compressive strength, tensile strength, point load
strength and density strongly correlated with volt-
age drop. Voltage drop decreases with increasing rock
correlated the electrical resistivity values obtained
from electrical impedance spectroscopy measure-
ments with the corresponding physico-mechanical
rock properties for the eight different samples cored
from a fault breccia. They found significant correla-
tions between resistivity and physico-mechanical rock
properties.
Measurements of physico-mechanical rock prop-
erties generally require well-prepared rock samples.
In addition, some test methods are time consuming
and expensive. So, this method can be used as an
indirect test for the estimation of rock properties, if
strong correlations can be established between elec-
trical resistivity and rock properties. In this study,
electrical resistivity values of igneous rocks were cor-
related with the corresponding physico-mechanical
properties.
2 SAMPLING
Eight different igneous rocks were sampled from
quarries, granite and marble factories, and natural out-
crops in Nigde, Aksaray, Kirsehir and Konya areas of
Turkey. Each block sample was inspected for macro-
scopic defects so that it would provide test specimens
free from fractures, partings or alteration zones. The
location and the name of the rocks are given in Table 1.

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 3 LABORATORY STUDIES

3.1 Physico-mechanical tests

38 mm-diameter-cores were prepared from the block
samples, and physico-mechanical tests were carried
out for each rock type according to ISRM (1981) stan-
dards. The uniaxial compressive strength, Brazilian
tensile strength, density and porosity values of each
rock type are given in Table 2.

3.2 Electrical resistivity measurements

For most rocks where current is carried by ions in the
pore fluid the resistivity depends on porosity, pore fluid
resistivity (salinity), pore fluid saturation, clay con-
tent, temperature and pressure. In all tests conducted
in this study, pore fluid salinity, pore fluid saturation,
temperature and pressure were kept the same.
Resistivity measurements were performed on cylin- Figure 1. Resistivity measurement system.
drical samples of 54.4 mm diameter and of approx-
imately 50 mm length. Axial end surfaces of the
samples were ground flat and parallel. The samples
were fully saturated with brine (NaCl solution) consist- observed. The brine resistivity was 0.0579  m at
ing of distilled water and a 2% by weight high-purity room temperature.
salt. Saturation was controlled by measurement of A resistivity meter was used for the resistivity mea-
weight increase. The samples were assumed fully surements. The samples were fixed between electrodes
saturated when no additional increase in weight was using a hydraulic ram (Figure 1). Circular stainless
steel electrodes were used in the tests in which two-
Table 1. The location and name of the rocks sampled. electrode technique was employed. To ensure a good
contact between the electrodes and samples, a pad
Rock code Location Rock type of filter paper soaked with brine solution was placed
between the core and the steel electrodes.
1 Altinhisar/Nigde Basalt At least three samples were tested for each rock
2 Yesilburc/Nigde Andesite types and three different voltage levels were applied for
3 Ulukisla/Nigde Traki-andesite each sample. Using the readings of current and voltage
4 Meke/Konya Volcanic bomb drop and the geometry of the samples, resistivity val-
5 Uckapili/Nigde Granite ues were calculated from the following equation:
6 Ortakoy/Aksaray Granite (Anadolu grey)
7 Kaman/Kirsehir Granite(Kaman Rosa)
8 Kaman/Kirsehir Granite (Krcicegi)

Table 2. Physico-mechanical and resistivity test results.

Compressive Tensile strength Porosity Density Resistivity

Rock code strength (MPa)5 (MPa)5 (%)3 (g/cm3 )3 ( m)3

1 202.9 10.2 17.0 3.8 5.50 0.10 2.58 0.07 1558.7 35.4
2 77.5 6.7 9.0 0.4 5.27 0.02 2.46 0.04 84.6 2.5
3 78.2 9.3 8.5 0.5 10.74 0.30 2.29 0.02 50.8 4.1
4 50.2 5.4 6.9 1.4 3.75 0.15 2.27 0.09 135.4 11.4
5 133.2 5.2 11.4 2.1 1.15 0.03 2.63 0.05 848.4 41.0
6 114.5 4.3 9.0 0.7 0.62 0.02 2.55 0.07 849.9 106.8
7 84.9 9.5 8.0 1.3 0.63 0.01 2.61 0.06 386.9 32.5
8 89.6 11.6 6.6 0.6 0.98 0.01 2.47 0.05 627.9 93.5

Minimum number of tested samples.

Standard deviation values.

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Copyright 2006 Taylor & Francis Group plc, London, UK

 250 21
Compressive strength (MPa)

Tensile strength (MPa)

18
200
15
150 12
9
100
6 y = 0.0053x + 6.56
50
y = 0.086x + 54.78 3 r = 0.809
r = 0.946
0
0 0 250 500 750 1000 1250 1500 1750
0 250 500 750 1000 1250 1500 1750 Resistivity (.m)
Resistivity (.m)
Figure 3. Resistivity versus tensile strength.
Figure 2. Resistivity versus compressive strength.

2.8
where = electrical resistivity; R = resistance; A = 2.7
the cross sectional area of specimen; and L = the Density (g/cm3) 2.6
length of specimen.
Average resistivity values for each rock type are 2.5
shown in Table 2. 2.4
2.3

4 RESULTS AND DISCUSSIONS 2.2 y = 0.088Ln(x) + 1.97

2.1
r= 0.785
The test results in Table 2 were analysed using the 2
method of least squares regression. Resistivity val- 0 250 500 750 1000 1250 1500 1750
ues were correlated with the corresponding rock Resistivity (.m)
property values. Linear, logarithmic, exponential and
power curve fitting approximations were tried and the Figure 4. Resistivity versus density.
best approximation equation with highest correlation
coefficient was determined for each regression.
A strong linear correlation between the uniax- A logarithmic relation between density and resistiv-
ial compressive strength and resistivity was found ity was found (Figure 4). The equation of the curve is
(Figure 2). The equation of the line is

where = density (g/cm3 ) and = resistivity ( m).

where c = uniaxial compressive strength (MPa); and
= resistivity ( m).
There is a linear relation between the Brazilian ten-
sile strength and resistivity (Figure 3). The correlation
is not strong. The equation of the line is
Altinhisar Basalt value shows anomalous value in
the plot of resistivity versus porosity. After omitting
this value from the correlation, a strong correlation
between resistivity and porosity was found (Figure 5).
The equation of the curve is

where n = porosity (%) and = resistivity ( m).

where t = Brazilian tensile strength (MPa); and
= resistivity ( m).
As shown in Table 2 and Figure 2, compressive
strength values range from 50.2 MPa to 202.9. How-
ever, there is only one data above 133.2 MPa. It is
expected that correlation will be improved if stronger
rocks are included to the correlation. This interpreta-
tion is valid for the relation between tensile strength
and resistivity.
5 CONCLUSIONS
Electrical resistivity values eight different igneous
rocks were correlated with the corresponding physico-
mechanical properties using regression analysis
method. Generally, strong correlations obtained from
regression analysis.

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Copyright 2006 Taylor & Francis Group plc, London, UK

 12 resistance method. In: C. Sensogut & I. Ozkan (eds.). Proc
7th Regional Rock Mech. Symp., Ankara: Kozan Ofset.,
10 y= 312.52x-0.91 p. 12127 [In Turkish].
r = 0.935
Porosity (%)

Brace, W.F., Orange, A.S. & Madden, T.R., et al. 1965.

8 The effect of pressure on the electrical resistivity of
6
4 Chelidze, T.L., Gueguen, Y. & Ruffet, C. 1999. Electrical
2 results and interpretation. Geophys. J. Int. 137: 1634.
0 rocks in developing geophysical techniques. Geophysics
0 250 500 750 1000 1250 1500 1750
Resistivity (.m)
Figure 5. Resistivity versus porosity.
It was concluded that electrical resistivity may be a
representative measure of properties of igneous rocks.
However, the effects of the inclusion of stronger and
different igneous rocks to the correlations must further
be investigated.
ACKNOWLEDGEMENT
This work has been supported by the Turkish Academy
of Sciences, in the framework of the Young Scientist
Award Program (EA-TUBA-GEBIP/2001-1-1).
REFERENCES
Ara, T., Bjorndalen, N., Talabani, S. & Islam, M.R. 2004. Pre-
dicting oil reserve in carbonate reservoirs. EEC Innovation
2: 2043.
Archie, G.E. 1942. The electrical resistivity log as an aid in
determining some reservoir characteristics. Trans. Amer.
Inst. Min. Metall. Petrol. Eng. 146: 5462.
Bilim, N., Ozkan, I. & Gokay, M.K. 2002. Determina-
tion of discontinuities at rock materials by electrical
water-saturated crystalline rocks. J Geophys. Res. 70:
56695678.
spectroscopy of porous rocks: a review-II. Experimental
Collett, L.S. & Katsube, T.J. 1973. Electrical parameters of
38: 7691.
ISRM. 1981. Brown, E.T. (ed.) ISRM Suggested Methods.
Rock characterization testing and monitoring. Oxford:
Pergamon Press.
Jodicke, H. 1990. Zonen hoher elektrischer Krustenleit-
fahigkeit im Rhenoherzynikum and seinem nordlichen
Vorland, Ph.D Thesis, Mnster University.
Kahraman, S. & Alber, M. in press. Predicting the physico-
mechanical properties of rocks from electrical impedance
spectroscopy measurements. Int. J. Rock Mech. Min. Sci.
Kaselov, A. & Shapiro, S.A. 2004. Stress sensitivity of
elastic moduli and electrical resistivity in porous rocks.
J. Geophys. Eng. 1: 111.
Kate, J.M. & Sthapak, A.K. 1995. Engineering behaviour
of certain Himalayan rocks. In: J.J.K. Daemen &
R.A. Schultz (eds.) Proc 35th US Symp. Rock Mech.,
Rotterdam: Balkema, p. 783788.
Schmeling, H. 1986. Numerical models on the influence of
partial melt on elastic inelastic and electrical properties of
rocks. Part II, Electrical conductivity. Phys. Earth Planet
Inter. 43: 123135.
Shankland, T.J. & Waff, H.S. 1997. Partial melting and
electrical conductivity anomalies in the upper mantle.
J. Geophys. Res. 82: 540917.
Shogenova, A., Joeleht, A., Kirsimae, K., Sliaupa, S.,
Rasteniene, V. & Babele, A. 2001. Electric properties
of siliciclastic rocks in the Baltic Cambrian basin. In:
K. Backe & T. Loermans (eds.). Proc 6th Nordric Symp.
Petrophysics, Trondheim: Norwegian University of Sci-
ence and Technology, p. 114.
Vinegar, H.J. & Waxman, M.H. 1984. Induced polarization
of shale sands. Geophysics 49: 12671287.

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 4.2 Laboratory experiments

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 EUROCK 2006 Multiphysics Coupling and Long Term Behaviour in Rock Mechanics
Van Cotthem, Charlier, Thimus & Tshibangu (eds)
2006 Taylor & Francis Group, London, ISBN 0 415 41001 0

Development of a new experimental protocol to estimate the

shear strength of concrete-rock joints

G. Ballivy, C. Gravel & T. El Malki

Civil Engineering Department, Sherbrooke University, Quebec, Canada

ABSTRACT: The shear strength mobilized at the joint of a concrete dam over its rock foundation is the main
element governing its stability. Realistic field values of this strength are determined from laboratory direct shear
tests of concrete-rock joint specimens obtained from a core drilling investigation at the dam site. It is presented
in this paper an experimental protocol to make an optimal use of the full rock section of the drill core to solve
many difficulties in obtaining unbroken concrete-rock joint specimens through core drilling and the necessity of
having a high number of samples to give representative shear strength values. The protocol has been developed
on fractured granite samples producing two half specimen of a joint. Grout is poured on each specimen to
produce two full samples to be tested under constant normal load. Laboratory tests and results are presented and
analysed.

1 INTRODUCTION developed through these studies is still quite relevant

World producers of hydroelectricity have faced for
several years an increasing demand which generated
the construction of new concrete dams which supple-
ment existing works built on a given hydraulic basin.
The safe management of these installations requires
a precise evaluation of the concrete dam stability in
terms of the shear strength of the concrete-rock con-
tact, a concrete lift joint or a discontinuity in the
rock mass.
The evaluation of the shear strength parameters of a
concrete dam on a plan of discontinuity is desirable on
site as well as in laboratory in order to lower the safety
factors requested for the stability analysis. There are
several difficulties in relating laboratory shear strength
values to field values such as: (1) obtaining the most
appropriate discontinuities core samples through judi-
cious core drilling locations (2) obtaining unbroken
concrete-rock joint specimens through core drilling
(3) obtaining a sufficient number of samples to eval-
uate representative shear strength values (4) having
core drillings of large diameter since for mass con-
crete, aggregates can be as large as 100 mm (5) having
a direct shear loading frame to accommodate the large
size specimens (6) establishing procedures to conduct
and interpret the shear tests.
The strength parameters obtained from shear test-
ing on a rock-concrete interface constitute a particular
case of estimating the shear strength of rock and
rock joints. This has been treated by several authors:
Patton 1966, Ladanyi and Archambault 1970, Barton
and Choubey 1977, Bandis et al. 1983. The theory
today. The factors which govern the shearing strength
of a rock discontinuity are primarily:
1) Fracture and void geometry of discontinuities
(Gentier et al. 2000, Marache et al. 2003);
2) Roughness of discontinuities (Belem et al. 2000,
Lanaro et al. 1999);
3) Direction of shearing;
4) Level of applied normal stresses (Kulatilake et al.
1999).
Some researches were carried out more specifically
on shear testing of dam concrete (Lo et al. 1991), arti-
ficial siltstone-concrete joints (Kodikara and Johntson
1994) and sandstone-concrete joints (Gu et al. 2003).
2 DESCRIPTION OF THE DIRECT SHEAR
APPARATUS
The direct shear apparatus was built at the Civil Engi-
neering Department of the University of Sherbrooke,
Qubec, Canada, based on Benmokrane et al. 1994.
It was designed so that it can be mounted inside the
loading frame of a rock and concrete testing machine
fabricated by Materials Testing Systems (MTS). The
MTS press is servo-controlled and has a capacity of
2670 kN. Figure 1(a) shows the apparatus assembled
inside the MTS press. Figure 1(b) shows a close-up
view of the apparatus.
A vertical section through the center of the appara-
tus is showed on Figure 2. The apparatus consists of a
rigid steel box (A) bolted to a thick disc (B) screwed

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Figure 1a. Direct shear apparatus assembled inside a MTS
press.
Figure 1b. Close-up view of the direct shear apparatus.
in its center to the hydraulic piston of the press (C).
Consequently, the shearing displacement is generated
by the piston in the vertical direction. Two shear boxes
(D and E) are designed to receive the two parts of the
sample (F and G). The right-hand side shear box (D)
stands against a load cell (I) fixed at the frame of the
press (K) through a steel spacer (J).
During shearing, the right part (F) of the sample
remains stationary. The box (D) housing the right-hand
side of the sample is fixed through steel sections (L)
with steel bearings (M). The shear box on the left is
fixed at the base of the apparatus (A). A system blocks
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Copyright 2006 Taylor & Francis Group plc, London, UK
Figure 2. Diagram of vertical section through shear
apparatus.
Figure 3. Circular shear box (mould).
its movement and rotation in the direction normal to
the plan of the section. It can move in the vertical direc-
tion (shearing displacement) and following a dilation
of the sample, it can move in the normal direction to
the plan of shearing (normal displacement). The left
hand-side shear box (E) stands against a load cell (O)
to measure the applied normal load. A metal beam
on simple supports (Q) allows the shear apparatus to
function in a constant normal stiffness condition. A
hydraulic jack can be used instead of the metal beam
to work in a constant normal load condition. A ball
joint (P) connects the steel beam or the jack to the
rigid steel box.
The normal shear loads are measured directly by
the respective load cells (O and I): the load cell (I)

Figure 4. Rectangular shear box (mould).
to a capacity of 90 kN whereas the load cell (O) to
50 kN. Normal and shear displacements are measured
by two extensometers of high precision having a run
of 25 0.05 mm. Data acquisition is carried out by the
control unit TestStar IIm.
Two different shear boxes are available: the first
(Figure 3) can accommodate samples with circular
section of diameter going up to 102 mm, and the
second (Figure 4) has a rectangular section to accom-
modate samples of 102 105 mm. The circular box is
used primarily for drill core samples, while the second
is more appropriate for non-circular sections.
3 EXPERIMENTAL PROGRAM
The rationale for this experimental program consists
in optimizing the use of core drilling samples from
a concrete dam. It is well-known the difficulty in
recovering an intact core specimen from the concrete
dam-rock contact due to core breaking during drilling.
This experimental protocol proposes to carry out many
shear tests on rock-concrete specimens by using the
rock section of the drill core to prepare rock-concrete
samples. To develop this protocol, a homogeneous
granite was used as a rock substrate on which mortar
was casted (El Malki, 2006).
Five granite bricks were used to prepare ten half
specimens two replicas of each original specimen
by breaking them with a bending test and then casting
mortar onto them. Shear took place along the longer
side of the bricks. After rupturing, the surface of the
two joint walls are not be exactly horizontal, then the
effect of changing the direction of shearing (in oppo-
site directions) is also studied on these specimens.
Another parameter was also investigated in this study
is the effect of changing the value of the normal loads
applied during shearing.
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Copyright 2006 Taylor & Francis Group plc, London, UK
4 MATERIAL PROPERTIES
4.1 Rock substrate: Barre granite
The Barre granite is a grey medium to fine-grained
igneous intrusion of Devonian age. It is quarried in
Vermont, USA, as a dimension stone and has remark-
able mineralogical and mechanical homogenous prop-
erties. In particular, at the scale of the specimen, this
rock is not microcracked, which makes it especially
interesting to use as a testing material. The granite
has a uniaxial compressive strength of about 175 MPa,
a modulus of elasticity of 55 GPa, an indirect ten-
sile strength of 10 MPa and a Poisson ratio of 0.19
(Bouraoui, 1993).
4.2 Mortar-rock bonding
The mortar used for casting onto each granite half
specimen is the Sika grout 212. This mortar was
selected on the basis of its fluidity, which makes it
possible to fill the fine interstices on the surface of
the granite and to thus ensure a good mortar-granite
bonding, and its high early strength with an uniaxial
compressive strength of 30 MPa after in three days.
5 EXPERIMENTAL METHODOLOGY
5.1 Specimen preparation
The granite bricks have dimensions of 20 10
5.5 cm. They were ruptured by a three point bending
test to obtain two half specimens of 10 10 5.5 cm.
The surface of shearing of each half specimen is then
10 5.5 cm and the direction of shearing is along the
10 cm length. Figure 5 shows a photo of two half
granite specimens after their rupture.
As can be seen in Figure 5, the two half specimens
(H base and H high) have a matching rugosity profile
of the joint when the two half specimens are in their
original position. It can then be performed two kinds
of shear test according to the way the upper half spec-
imen is orientated during shearing. Figure 6 illustrates
this. In mode 1, the upper half specimen is rotated in
the plan perpendicular to the length of the specimen,
whereas in mode 2, the rotation is in the same plan
as the length of the specimen. Thus, in mode 2, two
identical replicas are sheared from the left to the right
direction and in mode 1, two replicas with two different
rugosity profiles are sheared from the left to the right.
Since the friction characteristics of the two replicas are
basically the same, shearing in mode 1 will evaluate
the single effect of changing the direction of shear.
Mortar was poured on each half specimen to obtain
two rock-mortar joints. The different steps to do it are
shown in Figure 7: the granite half specimen is sur-
rounded by a dismountable mould the mould is quite
 Figure 5. Two half granite specimens after rupture.
Figure 6. Selection of shearing direction for half granite
specimens.
Figure 7. Steps in making the composite granite-mortar
specimens (a) dismountable mould (b) tightening the mould
(c) pouring the mortar (d) view of composite specimen.
tight to confine the mortar the upper surface of the
granite is kept saturated with a wet sponge and the
mortar is poured onto the granite surface and tam-
pered to avoid the formation of bubbles. After one day
of curing in moist air, the composite specimen is put
in water for 48 hours before doing the shear test.
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Copyright 2006 Taylor & Francis Group plc, London, UK
Figure 8. Encapsulating mould for the composite specimen.
Then the composite specimen has to be mounted
inside the shear boxes with an encapsulating com-
pound. The approach taken here is to fabricate sets
of new moulds in such a way as for the composite
specimens plus its encapsulating compound to fit as
perfectly as possible inside the shear boxes (with no
gap). One encapsulating PVC mould is shown at
Figure 8.
Figure 9 shows the different steps used in the encap-
sulating procedure: installing the composite specimen
centered in the mould and encapsulating the bottom
half of the specimen with a high early strength mor-
tar just below the plane of the granite-mortar joint.
A clay layer of about 10 mm on top of the encapsulating
mortar creates the shear gap.
5.2 Shear testing parameters
The shear tests are carried out under a constant normal
load by means of the jack placed behind the load cell
(N) shown in Figure 10. The value of the applied nor-
mal stress varies between 0.5 MPa and 1.75 MPa for
all the tests. The shearing stress is vertical and given
by the jack of the MTS press. Vertical and horizon-
tal displacements are measured using extensometers.
Tests were conducted using a displacement rate of
0.12 mm/min. The TestStar software from MTS is used
for all data control and acquisition. The tests were
stopped when shearing displacements reach 4 mm, that
is about 4% shearing strain.
6 EXPERIMENTAL RESULTS
6.1 Effects of varying the shearing direction
Five granite bricks were ruptured to give a set of two
replicas for each brick, that is a total of ten replicas.
Each original brick is named specimen A to E and the
replicas are named A1, A2 up to E1, E2. For each set
 Figure 9. Steps in encapsulating the composite granite-mortar specimens (a) specimen centered inside mould (b) casting
bottom mortar (c) placing shear gap joint (d) casting top mortar (e) view of encapsulated specimen.
Figure 10. Sketch showing the shear test instrumentation.
of replicas, the direction of shearing was either in the
same direction (as explained in Figure 6) or in oppo-
site direction. However, the ruptures of the brick were
not completely horizontal: this gives a granite-mortar
joint more or less horizontal. Instead of attempting to
correct for this small variation from horizontality dur-
ing the encapsulation of the specimen, this variation
of horizontality was taken as an additional variable
to study its effect on varying the shearing direction.
When the small difference in horizontality is uphill,
it is called qualitatively difficult way and when it is
downhill, it is called easy way. Thus for each replica,
in addition to the direction of shearing, an apprecia-
tion of the difficulty of which the shearing has to
proceed is attributed.
Table 1 presents the list and measured parameters
of the tests. The normal stress is kept constant at
0.5 MPa. Residual shear strengths are evaluated. The
values are taken when the shearing displacement is
considered constant (between 1 and 3 mm). The resid-
ual shear strengths are given in table 1 as friction
angles r assuming a cohesion of zero. An angle of
Copyright 2006 Taylor & Francis Group plc, London, UK
roughness i was calculated by using the inverse tan-
gent of the slope of the normal displacement over the
shear displacement at the constant level of final shear
displacement.
The residual angles of friction given in table 1 can
be analysed first according to the direction of shear-
ing. Specimens B1, B2, E1 and E2 were tested with the
same direction with an easy slope. They give very
similar angles of about 44 . The specimens A1, C1
and D1 tested also with an easy slope have angles
near this 44 average. Then, it seems first that an
homogeneous residual angle of friction for the whole
set of specimens is around 44 . Next, the specimens
tested in opposite direction (the pairs A1-A2, C1-C2
and D1-D2) have also both a different slope (easy and
difficult). Then it is difficult with these sets of speci-
mens to decide which effect is the more predominant:
changing the direction of shearing or else having an
uphill or a downhill slope. In any case, the effect is
important. If we compare A1 to A2, C2 to C1 and D2
to D1, there is a 56 variation in friction angles in
favor of the specimens in the difficult uphill direction
(specimen D2 has a higher shear strength due to part
of the rupture in the granite and not in the joint). As
a preliminary interpretation with this set of results, it
seems that even a small variation in the horizontality
of the granite-mortar joint has a very large influence
on the shear strength mobilized.
The other parameters evaluated are the calculated
roughness angles. As given in table 1, except for the
pair E1-E2, it can be seen that the specimens in the
difficult uphill directions A2, C2 and D2 (to a lesser
degree) have high roughness angles of about 20 and
that the other specimens in downhill directions have a
roughness angle close to 15 . The differences between
the residual friction angle and the roughness angles
for all specimens average about 30 .
Considering that the residual friction angle can
be corrected by subtracting the roughness angle, this
allows to calculate a basal friction angle b character-
istic of the granite-mortar joint. Thus, it can be now
evaluated the effect of solely changing the direction
of shearing inside a set of specimens. Considering the
pairs A1-A2 and C1-C2, there is still a difference of
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 Table 1. Tests results: effects of varying shearing directions.

Specimen Shearing Residual angle Angle of Basal angle

no direction Horizontality of friction r roughness i of friction b

A1 opposite easy 40.8 11 29.8

A2 difficult 47.5 19 28.5
B1 same easy 44.6 10 34.6
B2 easy 44.3 13 31.3
C1 opposite easy 45.0 13 32.0
C2 difficult 48.6 20 28.6
D1 opposite easy 46.8 15 31.8
D2 difficult 53.6 26 27.6
E1 same easy 45.4 7 38.4
E2 easy 43.1 23 20.1

Basal angle of friction = difference between r and i.

Table 2. Tests results: effects of normal stresses. difference between the peak and residual friction
angles is 4 . This seems a realistic value for the
Normal Peak shear Residual shear granite-mortar joint tested.
Specimen stress strength strength
no (MPa) (MPa) (MPa)
When only one normal stress at 0,5 MPa is used to
calculate the residual friction angles in section 6.1, its
B1 0.51 4.67 0.50 value is estimated to be around 44 for specimens B1,
B2 0.51 2.46 0.50 B2, E1 and E2. Thus, there is a difference of about 9
E1 0.52 4.19 0.52 with the residual friction angle calculated with mea-
E2 0.52 4.86 0.48 surements with three levels of normal stresses. This
I1 1.01 3.94 1.48 suggests that indeed several levels of normal stresses
I2 1.75 5.30 2.16 should be used in calculating a realistic residual fric-
J1 1.00 5.03 1.36 tion angle as input parameters for concrete structure
J2 1.75 6.61 2.10
stability studies.

1 to 3 in friction angle values. Although this differ- 7 CONCLUSION

ence seems small, it can be a realistic range of variation
of angle due to only the choice of shearing direction
for a homogeneous series of planar rock-mortar joints.
6.2 Effects of varying the applied normal stress
A series of new tests were conducted to evaluate the
effects of changing the level of applied normal stresses
on the value of previously measured residual angles
with a 0.5 MPa normal stress value. Two shear tests
(specimens I1, J1) were done at a normal stress of
1 MPa and two others (specimens I2, J2) at a stress
level of 1.75 MPa. The new tests complete the series
of tests made on specimens B1, B2, E1 and E2 which
were made on replicas in the same direction and in the
easy downhill direction. Table 2 presents the results.
The peak and residual shear strength were plotted
in a Mohr diagram of the shear strengths in function of
the normal stresses. The cohesion c and the peak fric-
tion angle for the peak shear strength data are 3.2 MPa
and 57 respectively. The residual friction angle for
the residual shear strength data is 53 with an appar-
ent cohesion of 0,1 MPa. The angle of roughness the
Preliminary testing on joint specimens composed of
homogeneous granite and mortar shows the effects
of varying the shearing directions and the applied
normal stress levels.
It appears that different shearing directions on the
same specimen give variations in friction angle in the
order of 5 due only to small variations in horizon-
tality of the roughness profile. This variation includes
a 2 variation due to differences in roughness only.
Measuring residual friction angles with several normal
stress levels brings large variations in value compared
with angles obtained when only one normal stress level
is used.
These two remarks point out the necessity of a care-
ful preparation of sample specimens and normalized
shearing procedures.
REFERENCES
Bandis, S., Lumsden, A. C., Barton, N. R. 1983. Fundamen-
tals of rock joint deformation. Int. J. Rock. Mech. Min. Sci.
& Geomech. Abstr. 20(6): 249268.

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Copyright 2006 Taylor & Francis Group plc, London, UK

 Barton, N., Choubey, V. 1977. The shear strength of rock
joints in theory and practice. Rock Mechanics, 10: 154.
Belem, T., Homand-Etienne, F., Souley, M. 2000. Quanti-
tative parameters for rock joint surface roughness. Rock
Mech. Rock Engng. 33(4): 217242.
Benmokrane, B., Ballivy, G., Mouchaourab, K. S. 1991. Shaft
resistance behavior of rock Socketed piers using the
constant normal stiffness direct shear test. Proceeding
of the 44th Canadian Geotechnical Conference. Calgary.
Alberta. Canada Vol.1, p. 30.130.10.
Bouraoui, M. 1993. Comportement au cisaillement de frac-
tures dilatantes dans le granite de Barre sous charges
et rigidits normales constantes, Mmoire de matrise,
Dpartement de gnie civil de lUniversit de Sherbrooke.
Qubec, Canada, 147 p.
El Malki, T. 2006. Dvelopment dun protocole exprimental
pour estimer la rsistance au cisaillement dun contact
rocbton, Mmoire de matrise, Dpartement de gnie
civil de lUniversit de Sherbrooke. Qubec, Canada. (in Marache, A., Riss, J., Gentier, S. 2003. Simulation of the
progress)
Gentier, S., Riss, J., Archambault, G., Flamand, R.,
Hopkins, D. 2000. Influence of fracture geometry on shear
behavior. Int. J. Rock. Mech. Min. Sci. & Geomech. Abstr.
37(12): 161174.
Gu, X. F., Seidel, J. P., Haberfield, C. M. 2003. Direct shear
test of sandstone-concrete joints. International Journal of
Geomechanics. September, pp. 2133.
569
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Kodikara, J. K., Johnston, I. W. 1994. Shear behaviour of
irregular triangular rock-concrete joints. Int. J. Rock.
Mech. Min. Sci. & Geomech. Abstr. 31(4): 313322.
Kulatilake, P. H. S. W., Um. J., Panda, B. B., Nghiem, N.
1999. Development of new peak shear strength crite-
rion for anisotropic rock joints. Journal of Engineering
Mechanics. 125(9): 10101017.
Ladanyi, B., Archambault, G. 1970. Simulation of shear
behavior of a jointed rock mass. Proc. 11th Symp. on Rock
Mechanics, Berkeley, pp. 105125.
Lanaro, F., Jing, L., Stephansson, O. Scale dependency
of roughness and stationarity of rock joints, Proc.
9th Congress Int. Society of Rock Mechanics, Paris,
p. 13911395.
Lo, K. Y., Ogawa, T., Lukajic, B., Dupak, D. D. 1991. Mea-
surements of strength parameters of concrete-rock contact
at the dam foundation interface. Geotechnical Testing
Journal., 14(4): 383394.
behaviour of a fracture in shear: Implication of the dis-
tribution of the void space. Proc. 10th Congress Int.
Society of Rock Mechanics, Johannesburg, South Africa,
pp. 803808.
Patton, F. D. 1966. Multiple modes of shear failure in
rock. Proc. 1st Congress Int. Society of Rock Mechanics.
Lisbon. Vol. 1, pp. 509513.
 EUROCK 2006 Multiphysics Coupling and Long Term Behaviour in Rock Mechanics
Van Cotthem, Charlier, Thimus & Tshibangu (eds)
2006 Taylor & Francis Group, London, ISBN 0 415 41001 0

Field applications for the scratching test

F. Dagrain
Facult Polytechnique de Mons, Belgium

C. Germay
Epslog S.A., Belgium

ABSTRACT: Several papers have already been presented in the literature to describe the methodology to assess
strength of geomaterials with partially-destructive scratching tests. Experiments on several rock materials have
shown that the intrinsic specific energy is well correlated to the strength of the rock. Here we give an overview of
the principles behind the scratch test and present some particular field applications in which it has been performed
to assess materials strength. The description of different applications points out the numerous possibilities to char-
acterize materials strength even if samples are of poor quality, damaged, or too small to perform conventional tests.

1 INTRODUCTION methodology is an interesting alternative technique

Mechanical properties of materials are fundamental
for solving short and long term mechanical stability
problems in geo-engineering where the main prob-
lem is obtaining mechanical data. The lack of data
has led many investigators to find alternative simple
techniques to assess mechanical properties.
A simple scratching apparatus to determine the
strength of rock cores had been developed at Uni-
versity of Minnesota for several years during the
late 1990s. The apparatus is referred to as the
Rock Strength Device (Figure 1). The scratching
which allows assessing the strength of rock from quasi
nondestructive cutting tests [14, 710, 1215].
2 TEST PRINCIPLE
The Rock Strength Device (RSD) measures the nor-
mal and tangential components of force F applied to a
cutter (Figure 2) while performing a groove at a con-
stant depth d on the surface of a rock specimen with
sharp or blunt tool.
The test is kinematically controlled, i.e. the relative
horizontal velocity v between the cutter and the rock,
and the depth of cut d are fixed and remain constant

Figure 1. The Rock Strength Device (RSD). Figure 2. Sketch of a single cutter.

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 during the test. The cutting process is characterized by
the following parameters (Figure 2):
1 the rake angle ;
2 the relative velocity v between the cutter and the
rock;
3 the depth of cut d;
4 the cutter geometry description, limited to the width
w for the case of rectangular shape cutters;
5 the surfaces of contact between the rock and the
cutter (the cutting face and the wear flat which is
characterized by its length l and its inclination with
respect to the direction of the velocity vector for
the case of rectangular shape cutters);
6 the friction coefficient underneath the wear flat
of a blunt cutter.
3 EXPERIMENTAL RESULTS
4 ADVANTAGES OF THE METHODOLOGY
Values of both parameters, specific energy and fric-
tion coefficient, can typically be obtained rapidly (in a
few minutes) since the testing procedure only involves
scratching the surface of the rock core.
The test offers several advantages over the conven-
tional rock strength test:
It requires minimal sample preparation;
The test is quasi non-destructive so the core remains
virtually intact and can be used for other tests (such
as permeability or porosity);
The test is reproducible;
The machine is portable and the test can be realized
in situ.
Finally, a very interesting outcome of the scratch
test is its ability to create a log of strength along the
core sample (Figure 5). This aspect of the test is indeed

Experiments indicate that rock cutting is associated

with a ductile or a brittle mode of failure depend-
ing on the magnitude of the depth of cut.
The ductile mode takes place at shallow depth of cut
and is associated with plastic flow, while the brittle
mode occurs above a threshold depth of cut and is
characterized by the propagation of tensile crack.
In ductile mode, experiments show that the energy
required to remove a unit volume of rock, referred to
as the intrinsic specific energy , is well correlated to
the uniaxial compressive strength (UCS) (Figure 3).
Furthermore the friction angle ( = tan ) mobilized
along the wear flat of a blunt cutter has been found to
be well correlated to the internal friction angle () of
rock materials (Figure 4).

Figure 4. Correlation between friction angle on the wear

flat/rock interface and the internal friction angle of the
rock. [5]

Figure 3. Correlation of the specific energy to uniaxiale Figure 5. Log of the specific energy on a material with three
compressive strength UCS. distinct zones.

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 significant, as there are currently no other methods The Rock Strength Device and its methodology
available that provide a log of strength at such level of allow assessing rock properties on any type of rock
spatial resolution. samples fractured or not, on large or very small pieces
of rock.
The methodology has been applied on a particu-
lar waste depository project in Belgium. The project
5 FIELDS APPLICATIONS
needed perfect rock properties characterization of
carboniferous highly fractured shales.
5.1 Geomaterial characterization
Forty different rocks samples were removed from
5.1.1 Carboniferous shale characterization underground for analysis. Only 19 were good enough
Many mining or civil engineering projects require at to be tested in conventional uniaxial compressive tests.
the start of the project, detailed knowledge of the Scratching tests were conducted on each of the 40
strength properties of the geological formations that rocks.
will have to be excavated. This information is used to A correlation based on the data from the 19 rocks
determine the optimum excavation method, to choose tested in compression and in scratching (Figure 8)
the best tools or to design the excavation or foundation. allows estimating strength of samples that were not
A common way to assess material properties is to possible to test in compression.
get rock samples to perform normalized tests in labora-
tory, such as uniaxial compression test. Rock samples
are usually obtained from underground coring.
Unfortunately depending on the rock type, the
lithology, or tectonic perturbations, coring may have
disastrous results on rock samples quality. Cores can be
highly fractured due to coring, or extraction from core
barrel (Figure 6). It often happens that conventional
tests may not be performed because fractured samples
do not allow sample preparation. In other cases, cores
allow sample preparation, but taking plugs and grind-
ing the faces of the rock samples may induce fractures
inside of the samples, destroying most of the plugs
(Figure 7). Consequently, important information on
rock strength may not be accessible by conventional
testing methods.
Figure 7. Plugs braking due to sample preparation (coring
and grinding).

Figure 8. Correlation defined for a particular field applica-

Figure 6. Example of fractured samples obtained in coring. tion on carboniferous shales.

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Copyright 2006 Taylor & Francis Group plc, London, UK

 Figure 9. Example of core samples removed from founda-
tions for mortars analysis.
Thanks to the RSD methodology and the correla-
tion established in that particular project, it has been
possible to determine strength of any highly fractured
carboniferous shales.
5.1.2 Mortars characterization [1820]
Since the civil authorities have understood the neces-
sity to preserve old heritage buildings, budgets are
allocated to finance comprehensive restoration cam-
paigns. For historical masonry buildings affected by
structural weaknesses, the restoration campaigns have
to be preceded by stabilization works. In order to assess
the structural behavior of such constructions and to
propose effective solutions for the future, the engineers
need a correct knowledge of the constitutive materials
(rocks, mortar ).
A usual technique for knowing materials properties
is to collect small samples cored from the masonry
wall. Collecting cores presenting enough mortar to
prepare samples of sufficient size is not an easy task
(Figure 9). The campaign can be complicated and the
information quite incomplete.
The Rock Strength Device methodology has been
applied in the framework of the stabilization cam-
paign of the masonry foundation in the Our Lady
Cathedral of Tournai (Belgium). In order to assess
mortars strength properties, preliminary calibration
has been conducted on 9 different mortars: compres-
sive and scratching tests were performed.A correlation
has been determined for the laboratory mortars, and
used to assess the strength properties of the masonry
mortars (Figure 10).
5.2 Logging applications
5.2.1 Sanding production problems [17]
Understanding the vertical variability of rock prop-
erties along the reservoir thickness is of primordial
574
Copyright 2006 Taylor & Francis Group plc, London, UK
Figure 10. Correlation between UCS and specific energy
for mortars.
importance for sanding prediction analysis. Logging
measurements (GR, Sonic, Density and Porosity) are
traditionally used to identify troublesome intervals, to
select sections for laboratory testing and for extrapo-
lating laboratory data to untested reservoirs sections.
However, depending on the scale of the reservoir
anisotropy, the log measurements, by providing inte-
grated values over their window of vertical resolution,
can considerably underestimate the strong reservoir
sections and overestimate the weak reservoir sections.
This leads to misrepresentation of critical weak lay-
ers with high potential for sanding and potentially
to large errors in the completion strategy with costly
long term consequences. Corrections are thus neces-
sary and are traditionally based on simple UCS tests
conducted sparsely or at high density, varying from
operator to operator.
The methodology has been considered for log-
correction based on continuous core scratching. Con-
tinuous scratch measurements were conducted on
approximately 55 ft of reservoir sandstone for eval-
uation of core heterogeneity and for comparison with
mechanical properties predicted from logs (Figure 11).
Results of scratch testing can be used directly as an
index of the rock resistance to scratching, or via cor-
relations with unconfined compressive strength, as an
indicator of the variability of rock strength along the
length of the core.
Continuous scratch measurements provide a quanti-
tative evaluation of the vertical scale and magnitude of
the rock heterogeneity. The weak zones are zones with
the highest probability for wellbore stability problems
during drilling, and sanding during production.
 Figure 11. Specific energy from scratch tests measurement
(solid lines) and unconfined compressive strength prediction
based on log measurements (dots) versus well depth for core
section spanning from 4595 ft to 4615 ft.
Figure 12. Correlation between UCS and specific energy
for concrete.
5.2.2 Damage detection [611]
Damage detection depends commonly on the scale
of the defaults. Conventional compressive tests usu-
ally used in properties characterization do not provide
proper information on the damage extension and are
often helpless in these particular applications.
Two different applications have proven inter-
est in terms of damage detection and extension
characterization.
In the case of recent concrete building restoration,
a certain thickness of the concrete surface was altered
by pollution. The RSD methodology can be applied
in order to characterize such a lack of the structure
resistance.
Analyses of 12 different concretes have been pre-
liminary performed in term of uniaxial compressive
strength and specific energy. In the particular case of
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Copyright 2006 Taylor & Francis Group plc, London, UK
Figure 13. Log of the specific energy along a sample of
concrete.
Figure 14. Log of the specific energy along a sample of a
refractory brick.
concrete, testing procedure has been modified for cor-
rect interpretation. Figure 12 shows the correlation of
the concrete uniaxial strength, and the specific energy
of the concrete matrix.
A particular interest of the Rock Strength Device
methodology for concrete is the possibility to realize a
log of the strength matrix along the sample to charac-
terize damage. This is illustrated in Figure 13, where it
is possible to notice the evolution of the specific energy
of materials due to surface alteration. We could detect
a deterioration of 50% of the strength of the mortar
over the first centimeter and a half that was exposed
to air.
The RSD Methodology has also been applied in
the case of detection of thermal effects on refractory
bricks. Figure 14 shows the evolution of the specific
energy along a refractory brick.
6 CONCLUSIONS
The paper demonstrates the ability to measure strength
of materials from scratch tests. There is also evidence
that the test can be applied to construction materials, as
results of tests conducted on various cements, mortars
and concrete are very promising.
 The scratch test offers many advantages over stan-
dard methods to estimate material strength:
It requires minimum sample preparation.
The test is fast and simple.
The test is semi-destructive, since the depth of
cut remains shallow; the sample can most often
undergo other destructive or non destructive testing
afterwards.
Any geometry of sample (as long as the sample
can be maintained in place) can be tested. The test
requires at least several millimeters of thickness
to avoid complete breakage of the specimen. Core
sample of diameter down to 10 mm diameter have
been tested successfully.
The test has a unique ability of providing a precise
continuous measure of material strength (variation
of few MPa over a few centimeters) with a wide
range of application:
Capturing variability of rock strength along cored
reservoir samples to isolate with high spatial res-
olution weak sections ( primordial for sanding
prediction in the oil industry).
Quick estimate of the strength variability for
mining prospecting.
Quality control on construction material (cement,
bricks, plaster).
Detection and measure of mechanical damage
due to coring, pollution, heat etc.
REFERENCES
[1] Adachi J.I., Detournay E., and Drescher A. Deter-
mination of rock strength parameters from cutting
tests, Rock Mechanics Tools and Techniques, Proc.
2nd North American Rock Mechanics Symposium
(NARMS 1996), Montreal, pp. 15171523, Balkema,
Rotterdam, 1996.
[2] Adachi J.I. Frictional contact in rock cutting with blunt
tools, Masters thesis, University of Minnesota, 1997.
[3] Almenara R. Investigation of the Cutting Process
in Sandstones with blunt PDC cutters. PhD thesis,
Imperial College, London, 1992.
[4] Almenara R. and Detournay E. Cutting experiments in
sandstones with blunt PDC cutters, In Proc. EuRock
92, pages 215220. Thomas Telford, London, 1992.
[5] Dagrain F., Richard T. On the influence of PDC
wear and rock type on friction coefficient and cut-
ting efficiency. Eurock 2006, May 912, 2006, Lige,
Belgium.
[6] Dagrain F., Poyol E., Richard T. Strength Logging
of Geomaterials from Scratch Tests. In Proc. Of
EUROCK 2004 & 53rd Geomechanics Colloquium,
October 2004, Salsbourg, Austria.
[7] Detournay E. and Defourny P. A phenomenological
model of the drilling action of drag bits. Int. J. Rock
Mech. Min. Sci. & Geomech. Abstr., 29(1):1323,
1992.
[8] Detournay E., Drescher A., Defourny P., and
Fourmaintraux D. Assessment of rock strength
576
Copyright 2006 Taylor & Francis Group plc, London, UK
properties from cutting tests: preliminary experimen-
tal evidence, Proc. of the Colloquium Mundanum
on Chalk and Shales, Brussels, pp. 1.1.131.1.22,
Groupement Belge de Mcanique des Roches, 1995.
[9] Germay C., Bette P., Poyol E., Dagrain F. Mea-
sure of Rock Mechanical Properties from Scratching
test. Devex 2005, Featuring Subsurface Techniques to
Enhance Recovery, May 1819, 2005, Aberdeen.
[10] Germay C., Coudyzer C., Poyol E., Dagrain F. Mea-
sure of Rock Mechanical properties from cutting test.
McMat 2005 Mechanics & Materials conference, June
13, 2005, Baton Rouge, Louisiana, USA.
[11] Germay C., Dagrain F. Measure of Rock Mechanical
properties from scratching test. AAPG International
Conferences and Exhibition, September 1114, 2005,
Paris, France.
[12] Mitaim S., Dagrain F., Richard T., Detournay E.,
Drescher A. A novel apparatus to determine the rock
strength parameters. In Proc. Of the 9th National
Convention on Civil Engineering 2004. Thailand.
[13] Richard T., Detournay E., Drescher A., Nicodeme D.,
and Fourmaintraux D. The scratch test as a means
to measure strength of sedimentary rocks. In Proc
EuRock 1998, pp. 1522, Balkema, Rotterdam, 1996.
[14] Richard T., Detournay E., Drescher A., Nicodme
P., and Fourmaintraux D. The scratch test as a
means to measure strength of sedimentary rocks,
SPE/ISRM 47196, Proc. EuRock98 (Rock Mechanics
in Petroleum Engineering), The Norwegian University
of Science and Technology, Trondheim, published by
the Society of Petroleum Engineers, Vol. 2, pp. 1522,
1998.
[15] Richard T. Determination of Rock Strength from Cut-
ting Tests, Masters thesis, University of Minnesota,
2000.
[16] Stenebrataten J., Dagrain F., Suarez-Rivera R., Griffin
R. Evaluation of Shale-Drilling Fluid Compatibility
via ScratchTesting. (SPE/ISRM 78161). OilRock 2002
SPE/ISRM Rock Mechanics Conference. Role of
Rock Mechanics in the Petroleum Industry From
Cradel to Grave. 2023 October 2002, Dallas, Texas,
USA.
[17] Suarez-Rivera R., Stenebrataten J., Dagrain F. Con-
tinuous Scratch Testing on Core Allows Effective
Calibration of Log-Derived Mechanical Properties for
Use in Sanding Prodiction Evaluation. (SPE/ISRM
78157). OilRock 2002 SPE/ISRM Rock Mechanics
Conference. Role of Rock Mechanics in the Petroleum
Industry From Cradel to Grave. 2023 October 2002,
Dallas, Texas, USA.
[18] Van Parijs L., Dagrain F., Coudyzer C., Descamps T.
The scratching test for on-site determination of his-
torical mortars : method and preliminary results. 1st
International Symposium on Mortars Technology, May
2325, 2005, Florianopolis, Brasil.
[19] Van Parijs, L. Dagrain F., Coudyzer C., Datoussad S.
On-site determination of compressive strength for his-
torical mortars with the scratching test: method and
preliminary results. 10th Canadian Masonry Sympo-
sium, June 812, 2005, Alberta, Canada.
[20] Van Parijs L., Dagrain F., Lamblin D., Datoussad S.
Compressive strength of historical mortars : on-site
determination using the scratching test. ASEC 2005,
September 1114, 2005, Newcastle, Australia.
 EUROCK 2006 Multiphysics Coupling and Long Term Behaviour in Rock Mechanics
Van Cotthem, Charlier, Thimus & Tshibangu (eds)
2006 Taylor & Francis Group, London, ISBN 0 415 41001 0

On the influence of PDC wear and rock type on friction coefficient and
cutting efficiency

F. Dagrain
Facult Polytechnique de Mons, Belgium

T. Richard
CSIRO, Petroleum, Western Australia

ABSTRACT: This research is concerned with the nature of frictional process taking place across the wear
flat of a polycristalline diamond compact (PDC) cutter while tracing a groove on the surface of a rock sample.
Results of precise cutting tests conducted with worn PDC cutters confirm previous results obtained by Adachi,
1996 and Lhomme, 1999, indicating that the contact stress and friction angle mobilized across the wear flat
are close to the uniaxial compressive strength q and internal friction angle of the rock material. However, we
show also evidences that the nature of the wear flat interface (roughness) and petrophysical properties of the rock
material can drastically affect the magnitude of and . These novel results suggest that particular attention
should be devoted to the study of the nature and properties (thickness, flow regime,..) of the boundary layer or
third body (powder and/or grains) mobilized below the wear flat.

1 INTRODUCTION s

It is commonly accepted in the literature that wear

of PDC drill bits can dramatically affect the over-
all drilling performances. With cutters wearing out,
drilling efficiency decreases, as an increase in the
applied weight-on-bit W is required to maintain an
admissible rate of penetration, V . However, wear can
lead to premature replacement of the drill bit as
magnitude of W is hindered by practical limitations Figure 1. Example of worn PDC cutters on a drill bit.
(drill string buckling, power limitations on the rig, Courtesy of Diamant Drilling Services.
directional constraints etc.).
Field and laboratory tests indicate that the drilling
response of a blunt bit is characterized by two disting
regimes (Figure 2). At low applied W (shallow depth
of cut), the evolution of the drilling forces with the
depth of cut (or rate of penetration) is controlled by the
frictional process-taking place across the wear flats;
as the effective contact area increases with W . Once
the maximum forces admissible on the wear flats are
mobilized, the evolution of the drilling forces is solely
controlled by the cutting process taking place ahead
of the cutting faces. The first regime is obviously far
less efficient.
Experimental observations indicate that the ampli-
tudes of the stresses acting across the two contact sur-
faces of a cutter are quite similar. It practically means
that the presence of wear flats cannot be neglected as
soon as the wear flat length l is comparable to the depth Figure 2. Rate of penetration versus weight on bit curves.

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Copyright 2006 Taylor & Francis Group plc, London, UK

 of cut d. Knowing that the depth of cut (per cutter)
typically ranges between 0.05 to 2 mm, one can read-
ily conclude that PDC bits can rarely be considered as
perfectly sharp tools.
Although it is generally agreed in the literature
that the magnitude of the contact stress acting
across wear flat is similar to the rock uniaxial com-
pressive strength q (Glowka, 1987; Almenara, 1992;
Adachi, 1996; Lhomme, 1999). There is no consensus
on the magnitude of the friction coefficient mobi-
lized across this surface. Some authors found apparent
relation between friction coefficient and rock proper-
ties (Almenara, 1992; Lasserre, 1994; Adachi, 1996;
Geoffroy, 1996); others found that the friction coeffi-
cients were varying depending on experimental con-
ditions (Nguyen Minh Duc, 1974; Hibbs & Sogoian,
1983; Kuru & Wojtanowicz, 1995; Smith et al,
2002).
Ongoing research at the Faculte Polytechnique de
Mons focus on determining the processes and parame-
ters which control the evolution of the cutting response
of a blunt cutter with increasing vertical force in the
first regime (dominated by the frictional process). In
particular, this paper is devoted to the effect of the wear
flat surface properties (and in particular its degree of
roughness) on and .
2 EXPERIMENTAL PROCEDURE
Cutting experiments were performed with the Rock
Strength Device (Figure 3) on different types of rocks.
Each test has been conducted along the entire specimen
length under a constant depth of cut d and a fixed
cutting velocity v = 4 mm/s. The range of depth of cut
varies from 0.1 to 1 mm by step of 0.1 mm.
Both sharp and blunt cutters were used; all cutters
are rectangular with a width w = 10 mm. Cutters were
inclined forward by angle = 15 , referred to as the
back rake angle. The tangential Fs and normal Fn com-
ponents of the force acting on the cutter are measured
during the test (25 samples per millimeter).
Force signals were averaged over the entire cutting
length considering that the material was homogeneous
across the whole cutting length. In the sequel, any data
point will refer to the averaged force signal. Cutting
tests have been performed with different types of blunt
PDC cutters: naturally worn rough wear flat, machined
and polished wear flat. The main geometrical charac-
teristics of the cutters (wear flat length l, wear flat area
Aw , average wear flat roughness Ra ) are summarized
in Table 1.
Five rock types have been tested: Red Vosges
and Annot sandstones, Rosal and Lens limestones,
Harmignies Chalk, one coal, and MX05 and TV10
anhydrites.

3 TESTS RESULTS AND ANALYSIS

Tests results are analyzed within the framework of the

Figure 3. The Rock Strength Device (RSD).
D&D model presented in Appendix.
The effect of the wear flat on the cutting response
is well illustrated in Figure 4. This example illustrates
well how the properties of the wear flat surface can
affect the magnitude of the force.

Table 1.

Cutter references (mm) Aw (mm2 ) Ra (m) Wear type

R-10-B-001 2,50 24,3 1,04 Standard worn PDC/Carbide

R-10-B-005 2,02 20,0 1,27 Standard worn PDC/Carbide
R-10-B-006 2,20 21,5 1,17 Standard worn PDC/Carbide
R-10-B-007 1 10 Standard worn PDC
RE-15-B-001 1,15 11,3 0,08 Polished PDC
RE-30-B-001 1,15 11,3 0,10 Polished PDC
RE-45-B-001 1,16 11,5 0,08 Polished PDC
RC-10-B-001 1,34 13,0 0,12 Polished PDC

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 3.1 Sandstones, coal and anhydrites the tangential stress is in proportion barely (if not)
affected by the polishing.
All results of tests performed in sandstones, coal and
Tests conducted with the same initially polished
anhydrites with blunt cutters have been synthesized in
wear flat cutter have shown that the wear process
the E-S diagrams shown in Figure 5 to Figure 9. In
modifies the roughness properties of the wear flat
accordance with the D&D model, the cutting response
interface. For instance, two pictures of the wear flat
converges towards the cutting locus with increasing
interface have been taken before testing (Figure 10),
depth of cut (cutting efficiency increases).
and after 15 cuts in the highly abrasive Fontainebleau
From these diagrams one can draw two key obser-
sandstone (Figure 11). The whiter spots visible on Fig-
vations; the properties of the wear flat interface
ure 11 are the remaining parts of the initially polished
(roughness) affect:
PDC wear flat. It can be clearly observed that wear flat
1. the magnitude of the friction coefficient, , and interface has been modified, even if the wear flat length
2. the magnitude of the contact stress mobilized did not increase. The E-S diagram for this particular
across the wear flat.
The results are summarized in Table 2. It is inter-
esting to notice that at the same time the magnitude of

Figure 4. Effect of the wear flat on the cutting response in

Vosges sandstone. Each of the blunt cutters has nearly the Figure 6. Annot sandstone effect of roughness on friction
same wear flat area. line in the E-S diagram.

Figure 5. Vosges sandstone effect of roughness on friction Figure 7. Coal effect of roughness on friction line in the
line in the E-S diagram. E-S diagram.

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 Table 2.

Rough flat Polished PDC flat

Rocks (MPa) (MPa) (MPa) (MPa)

Vosges 0,69 40 28 0,25 140 35

Annot 0,69 70 48 0,18 280 50
Coal 0,49 39 19 0,23 53 12
Anhyd. 0,53 69 37 0,34 169 24
MX05
Anhyd. 0,58 219 127 0,37 288 107
TV10

Figure 8. Anhydrite MX05 effect of roughness on friction

line in the E-S diagram.

Figure 10. Initially polished PDC wear (Cutter

RE-15-B-001).

Figure 11. Worn polished PDC wear (cutter RE-15-B-001)

Figure 9. Anhydrite TV10 effect of roughness on friction
line in the E-S diagram.
cutter (Figure 12) shows once again two different fric-
tion lines depending on the wear flat roughness. The
increase of wear flat roughness is associated with an
increase of friction coefficient. Results summarized in
Table 3 are coherent with previous results.
3.2 Carbonates
Similar Tests were conducted in carbonate rocks (lime-
stones and chalk) with the same cutters. The E-S
diagrams shown in Figure 13 and Figure 15 present
only one friction line regardless of the cutter type with
a rough or a polished wear flat.
after testing Fontainebleau Sandstone (quartzite).
Observations at the end of all tests clearly show
a recurrent phenomenon: rock powder is sticking on
the wear flat. This phenomenon has already been
described in the literature (Almenara, 1992; Adachi,
1996). Carbonate material is adhering underneath the
cutter while testing (Figure 14); the adhesion forces
are so high that it is nearly impossible to remove it
mechanically unless acid is used.
In the case of the Harmignies chalk, it has been
observed that adhesion may or may not occur depend-
ing on the initial state of the wear flat surface; in
particular whether it has been cleaned or not between
successive cuts. If the adhesion does not occur (cleaned
polished PDC wear) the friction coefficient is very
low (Figure 16) while in the case of partial and

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Copyright 2006 Taylor & Francis Group plc, London, UK

 Figure 12. Vosges sandstone effect of wear on friction line
in the E-S diagram.

Figure 14. Adhesion of carbonate material on the cutter

Table 3. wear flat.
Ra
Wear type (m) (MPa) (MPa)

Initially polished 0,08 0,25 140 35

cutter
Worn polished 0,86 0,69 45 31
cutter

Figure 15. Lens limestone effect of roughness on friction

line in the E-S diagram.

progressive adhesion (uncleaned polished PDC wear)

the friction coefficient is slightly greater (Figure 16).

4 DISCUSSION AND CONCLUSION

There is a wealth of experimental evidences (in dry

Figure 13. Rosal limestone effect of roughness on friction condition and under atmospheric pressure) that in
line in the E-S diagram. most current cutting application (common wear flat

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 Figure 16. Harmignies Chalk effect of roughness on
friction line in the E-S diagram.
Figure 17. Correlation between normal contact stress on
the wear flat and the uniaxial compressive strength q for
the particular case of a common wear flat roughness (cutter
R-10-B-001).
roughness) (i) the contact stress is very close to the uni-
axial compressive strength of the material (Figure 17)
and (ii) the friction coefficient mobilized across the
wear flat is large. Preliminary results (Adachi, 1996,
Lassere, 1994) suggested that the corresponding fric-
tion angle ( = tan ) is very well correlated to the
rock internal friction angle . Triaxial samples have
been prepared and full triaxial tests conducted on 20
different rocks. As shown in Figure 18, the friction
angle at the wear-flat/rock interface yield by the cutting
tests appears well correlated with the internal friction
angle of the rock estimated from triaxial tests for a
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Copyright 2006 Taylor & Francis Group plc, London, UK
Figure 18. Correlation between friction angle underneath
the cutter and friction angle obtained from conventional
triaxial compressive tests.
Figure 19. Conceptual model of boundary layer underneath
a blunt cutter.
confining pressure equal to the normal contact stress
on the wear.
The apparent fact that the frictional contact along
the flat reflects the internal friction of the rock can be
attributed to the presence of a boundary layer of loose
grains and pulverized rock; crushed rock is formed
continuously in a small zone (one to three grains thick)
ahead of the tip of the PDC cutter. Then, part of this
material is removed by the cutter and flows upwards,
and part stays under the cutter, forming a layer over
which the flat slides (Figure 19).
However, in this paper we have shown that a mod-
ification of the properties of the wear flat surface (in
particular roughness) can drastically modify both the
amplitude of the contact stress and friction coefficient.
Finally it would be of interest to analyze these
results at the light of recent advances in the under-
standing of solid-granular third-body (Iordanoff et al.,
2002).
 REFERENCES

[1] Adachi J.I., Detournay E. and Drescher A. Deter-

mination of rock strength parameters from cut-
ting tests, Rock Mechanics Tools and Techniques,
Proc. 2nd North American Rock Mechanics Sym-
posium (1996), Montreal, pp. 15171523, Balkema,
Rotterdam, 1996.
[2] Almenara J.R. Investigation of the cutting process in
sandstones with blunt PDC cutters. PhD Thesis, Impe- Figure 20. Cutting configuration. (a) Forces acting on sharp
rial College of Science, Technology and Medicine, cutter (b) Forces acting on blunt cutter.
University of London, 1992.
[3] Appl F.C., Wilson C.C. and Lakshman I. Measurement
of forces, temperatures and wear of PDC cutters in
rock cutting. Wear, Volume 169, N1, pp 924, 1993. a constant velocity v and a fixed depth of cut d. For
[4] Detournay E. and Defourny P. A phenomenological such a cutter, the only force acting on the rock is trans-
model of the drilling action of drag bits. Int. J. Rock mitted by the cutting face of the tool. Averaged over
Mech. Min. Sci. & Geomech. Abstr., 29(1): 1323, a distance larger than the depth of cut, the force com-
1992. ponents (tangential and normal) are assumed to be
[5] Geoffroy H. Etude de linteraction roche/outil de for- proportional to the cross-sectional area of the cut wd:
age: influence sur les paramtres de coupe. PhDThesis,
Ecole Polytechnique, 1997.
[6] Glowka D.A. Development of method for predicting the
performance and wear of PDC drill bits. Sandia Report
86-1745. Sandia National Laboratories, Albuquerque, where denotes the intrinsic specific energy and is
NM,1987. the ratio of the vertical to horizontal force acting on
[7] Hibbs L.E. and Sogoian G.C. Wear mechanisms
for polycrystalline diamond compacts as utilized for
the cutting face. The constant parameter is given by:
drilling in geothermal environments. Sand82 7213,
Sandia National Laboratories, Albuquerque, NM,
1982.
[8] Iordanoff I., Seve B. and Berthier Y. Solid third body
analysis using a discrete approach: influence of adhe- where is the back rake angle of the cutter and is
sion and particle size on macroscopic properties. the interfacial angle between the failed rock and the
Transactions of the ASME, Vol. 124, pp 530538. cutting face.
2002. In case of a blunt cutter (Figure 20-b), in addition to
[9] Kuru E. and Wojtanowicz A.K. An experimental study the force Fc acting on the cutting face, a frictional force
of sliding friction between PDC drill cutters and rocks Ff is mobilized across the wear flat. The normal and
International Journal of Rock Mechanics and Mining tangential components of the latter force, are related
Sciences & Geomechanics Abstracts, Vol. 32, N 3, pp
277283, 1995.
according to a Coulomb friction law:
[10] Lasserre C. Rock friction apparatus: Ralisation de
tests de coupe laide dun outil PDC. Rapport de
Stage. Universit de Paris VI, 1994.
[11] Lhomme T. Frictional contact at a rock-tool interface:
an experimental study. Masters Thesis. University of where is the coefficient of friction on the wear
Minnesota, 1999. flat/rock interface.
[12] Nguyen Minh Duc. Contribution ltude de la taille The normal contact stress on the wear flat may
des roches. Thse de doctorat s Sciences Physiques, be defined as the ratio of the normal component of
Universit de Paris VI, dcembre 1974. the frictional force Ffn divided by the apparent area of
[13] Smith J.R., Lund J.B. and Galloway R.K. Friction on wear Aw = w l:
PDC cutters at high normal stress. Journal of Energy
Resources Technology Transactions of the ASME
124 (3): 146153 Sep 2002.

APPENDIX
Combining the two processes (pure cutting and fric-
tional contact), the relationship between the tangential
The basic equations used to describe the cutting
and normal components, Fs and Fn , of the total force
response model in the ductile regime are proposed by
acting on the blunt cutter is given by:
Detournay & Defourny (1992).
Consider a perfectly sharp cutter (Figure 20-a) of
width w moving along the horizontal rock surface with

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 A schematic plot of E-S relationship (known as
E-S diagram) is shown in Figure 21. This plot graph-
ically shows a constraint on the cutting response that
accounts for cutting and frictional process simultane-
ously. The cutting point is defined for a perfectly sharp
cutter where E = and S = . All the points associ-
ated with tests performed by blunt cutters lay down
along the friction line in the E-S diagram. The posi-
tion along the friction line is controlled by the state of
wear of the cutter (i.e. the wear flat length, l).

Figure 21. Schematic E-S diagram.

Scaling by wd, we obtain a constraint on the cutter

response

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 EUROCK 2006 Multiphysics Coupling and Long Term Behaviour in Rock Mechanics
Van Cotthem, Charlier, Thimus & Tshibangu (eds)
2006 Taylor & Francis Group, London, ISBN 0 415 41001 0

Petrophysical deformation in faulted white chalk in Belgium

A. Darquennes
Gnie Civil, Universit Libre de Bruxelles, Belgium

C. Schroeder
GEOMAC, Universit de Lige & Mcanique des sols, Universit Libre de Bruxelles, Belgium

S. Vandycke
Research associate FNRS, Gologie Fondamentale et Applique, Facult Polytechnique de Mons, Belgium

ABSTRACT: Campanian white chalk located along fault planes from two regions of Belgium, the Mons Basin
and the Maastricht region (Lixhe), presents significant matrix strains along fault plane. These transformations
brought about systematic changes in the porous network. The major transformation mechanisms are the pressure
solution and the cementation which involve grains arrangements and mass transfers. Globally, an impermeable
zone appears between the fault plane and the mass rock. For both regions, the experiments from this study
establish a rather similar texture evolution, due to a normal fault associated with extensional system:
a fault plane active as a dissolution plane: faulted material
a compact, continuous and less porous zone: strained material
a more porous, less compact and continuous zone: unstrained material
Moreover, these variations are clearly accented in the Lixhe chalk than in the Mons white Chalk.

1 INTRODUCTION

The aim of this study is to give prominence to physi-

cal and mechanical proprieties variances along normal
fault. Similar investigations (Gaviglio & al, 1993;
1997; 1999) on white chalk from Harmignies quarry in
Mons Basin were carried out on samples taken in dif-
ferent normal Campanian and Maastrichtian faulting.
Different experimentations have allowed observing
fault influence on chalk texture and its properties.
Three areas along the fault plane can be defined in
the deformed block. Firstly, the fault plane is charac-
terized by a faulted matrix with a striated surface. As
Figure 1. Three areas along fault plane (Gaviglio & al,
a result of important grains coalescence, this zone is
1997).
more continuous and less porous than other areas. The
second area next to the fault plane presents a strained
chalk matrix and a decreasing porosity. The texture The texture variation is due to great chalk sensi-
changes imply more connections between grains and tivity at three mechanisms: compaction, dissolution
a tighter network. Numerous particles are welded and crystallisation. This phenomenon generates a
with new calcite: calcite bridge. All these transfor- constituents shape change with material transporta-
mations provide grater matrix continuity on a 100 to tion under stress, dissolution in higher compression
150 mm thick fringe. These two transformed zones deformed zones and a deposit in relative void areas.
show a higher heterogeneity and geometric modifi- Normally this mechanism occurs during diagenesis
cations (an increase in grains size and a decrease in but it can be reactivated by tectonic processes. Glob-
pores size) seem to be proportional to porosity changes ally, the dissolution/crystallisation processes include
(Gaviglio & al, 1999). Beyond this fringe, material is three steps: dissolution, scattering and crystallisation
quasi-unstrained. (Gratier, 1993). These mechanisms are characterized

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Copyright 2006 Taylor & Francis Group plc, London, UK

 by a porosity decrease and matrix continuity increase Sonic Velocity
along fault plane. Moreover this decrease generates 2800
2700 Mons3
a minor shrinking of faulted chalk. The present study 2600 Mons2

Velocity (m/s)
2500
attempts to confirm these outcomes of the Mons Basin 2400
Lixhe3b
and analyses the evolution of transformations along the 2300
2200
fault plane from Maastricht region (Lixhe) to compare 2100
them to those of the Mons Basin. 2000
1900
1800
1700
1600
2 MATERIAL STUDIED AND SAMPLING 1500
0 0,1 0,2 0,3 0,4 0,5 0,6
distance along the fault plane (m)
The sedimentary rock studied is Campanian white
chalk from the Mons Basin and the Maastricht region. Figure 2. Longitudinal sonic velocity from cylindrical
At present, a microstructural analysis in term of pale- samples (Mons2 & 3 from Mons, Lixhe3b from Lixhe)
ostresses has been carried out in Upper Cretaceous (Darquennes, 2005).
rocks of these regions (Vandycke, 1992, 2002). The
white chalk samples were taken in named Craie
dObourg formation in the Mons Basin and named Sonic Velocity
Craie de Zevenwegen formation from the Maastricht 2300
region. We investigated normal Campanian faults 2200
Lixhe3b
related to a single displacement. Their fault plane is Lixhe1a
velocity (m/s)
2100 Lixhe1c
unalterated and the faulted material is not brecciated.
The fault plane also showed strias and the displacement 2000
was metric. The single Mons Basin fault orientation 1900
was N125 -78W and five cores were taken perpen-
1800
dicular to its fault plane. On the other hand, fault from
Maastricht region belonged to a closer fault popula- 1700
0 0,1 0,2 0,3 0,4 0,5 0,6
tion. Its orientation was N115 -65 S and orientation distance along the fault plane (m)
of strias was 75W with a slight obliqueness. Two per-
pendicular cores to fault plane were taken in the fault Figure 3. Longitudinal sonic velocity from Lixhe sawn
plane and a parallel core to the fault plane. cores (Lixhe1a, 1c & 3b) (Darquennes, 2005).

3 EXPERIMENTATION
Various experimentations such as longitudinal sonic
velocity, unconfined compression and splitting test,
SEM and tomography were carried out to determinate
physical and mechanical chalk properties.
3.1 Velocity of elastic waves
Ultrasonic measurements give information about
porosity and anisotropy evolution.This method applies
to sawed cores and cylindrical samples ( = 2.5 cm)
to avoid scale effect.
Velocity graphic (fig. 2) can be subdivided in three
areas. First area between the fault plane and 0.1 m from
this plane shows a velocity increase of cores Lixhe3b
and Mons2, but at different distances from the fault
plane: 2385 m/s at 0.015 m for Lixhe3b, 2154 m/s at
0.065 m for Mons2. Mons3 core presents almost con-
stant velocity (2050 m/s) related to joint presence at
a distance of 0.08 m from the fault plane. The second
area located between 0.1 and 0.2 m is distinguished by
a velocity decrease. Next, the velocity creases lightly
and beyond 0.2 m, it fluctuates around a constant
value: 1870 m/s for Lixhe3b core and 2115 m/s for
Mons2 core.
These results indicate a different regional behaviour.
Indeed Lixhes velocity is maximal close to fault plane
and an opposed effect characterizes Mons material.
Thus, Lixhe chalk presents a more continuity close
to fault plane and a less continuous matrix beyond
0.1m. Lixhes results seem mostly similar at those from
earlier publications (Gaviglio & al, 1993; 1997; 1999).
Lixhe sawn cores (fig. 3) are characterized by the
same evolution along profile: a maximal velocity close
to the fault plane and a decrease beyond this plane.
The three areas subdivide this graph. A comparison
between chalks here and there fault is also possi-
ble. It shows a greater continuity within chalk from
major graben part (Lixhe1a & 1c). Indeed this part
had undergone less change than minor graben part
(Lixhe3b).
3.2 Unconfined compression test and splitting test
All specimens underwent a brittle breaking and tension
strengths are added in compression strength graph with
a ratio of 8 to 10. Strength evolution also presents three

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Copyright 2006 Taylor & Francis Group plc, London, UK

 Unconfined compression test
4 predominant. Several grains are also very compact
3,5
3 particles are neoformed calcite which results from
Rc (MPa)
2,5
2 Three particle connections are detected:
1,5
1
0,5
0 connection surface.
0 0,1 0,2 0,3 0,4
distance along the fault plane (m)
Figure 4. Compression strength (Mons2 from Mons,
Lixhe3b from Lixhe) (Darquennes, 2005).
Figure 5. SEM slides of Chalk matrix at 0.09 m (cir-
cle: calcite bridge, arrow: interpenetrated grains connection)
(Darquennes, 2005).
zones with a maximal strength in first area: 3.7 Mpa
at a distance of 0.09 m for Lixhe3b core, 2 Mpa at a
distance of 0.05 m for Mons2 core (fig. 4).The regional
behaviour is different: a small strength decrease next to
fault plane for Lixhe core and almost constant strength
beyond 0.2 m.
3.3 SEM observations
The SEM pictures show constituent elements of chalk
matrix and their intergranular connections. Three
Lixhe3b core specimens are studied at a distance of
0.09 m, 0.02 m and on the fault plane. These micro-
structural observations will allow a better understand-
ing of previous experiments results.
Chalk matrix at a distance of 0.09 m from the fault
plane is compact (fig. 5), but there are several pore
spaces with a diameter between 1 to 5 m. Those
are probably related to dissolution process or granu-
lar changes. This matrix presents various deformation
rates. The grain shape is also very different: elongated,
Copyright 2006 Taylor & Francis Group plc, London, UK
rounded or rhomboedric grains. These two lasts seem
and their outline shows angles of 60 and 90 . These
dissolution/crystallisation processes.
Lixhe3b
Mons2 a connection between grains of same size with flat
Mons3
0,5 0,6 a connection between grains of different sizes due
to dissolution process : calcite connection.
a connection between interpenetrated rhomboedric
crystals related to dissolution/crystallisation mech-
anism.
These two lasts connections imply a more compact
chalk matrix.
Overall chalk matrix at a distance of 0.02 m from
the fault plane presents the same structure. Many wall-
like structures exist in the matrix in irregular way. They
form a more compact area with cemented and welded
grains. Channels related to close voids widening are
joined them and indicate a fluid circulation possi-
bility. The wall-like also limits connections between
voids. Thus the porosity decreases in chalk matrix
(Gaviglio & al, 1997). Indeed, this specimen shows
a greater velocity than chalk matrix at a distance of
0.09 m (fig.1).
The fault plane distinguishes itself by maximal par-
ticles coalescence conferred continuity. Faulted chalk
is crystal accumulation formed by coating and weld-
ing. The fault plane sometimes exhibits several large
voids, dilatancy evidence. The matrix is also con-
stituted of several grains: rhomboedric grains and
coccolithes. They form calcite accumulation between
two strias.
Thus, the deformed chalk is characterized by a
more continuous rock. This continuity results from
particles moves, crystallisation in voids and particles
group cementing.The modification constitutes a mate-
rial redistribution. The new texture increases matrix
density and heterogeneity.
3.4 Tomography
To understand the channels effects (fig. 6), the Mons5
core is analysed by tomography on a distance of 8 cm
from the fault plane. We can notice light horizon-
tal channels cross specimen. The majority of these
channels initializes from fault plane and branches
out into core. This texture modification allows the
intensive fluid circulation through this specimen, prop-
agating dissolution/crystallisation process. Accord-
ing to diameter size and density, these channels
can influence sonic velocity and make easier fluid
circulation too.
587

Figure 6. SEM slides of Chalk matrix at 0.02 m (arrow:
channels, circle: right angle of new calcite) (Darquennes,
2005).
4 RESULTS AND DISCUSSION
In spite of several differences, chalk from these two
regions presents same major transformation mecha-
nisms: pressure solution and cementation. The trans-
formation also is composed of same stages:
1. Compressive condition due to a vertical stress
which causes a shear movement related to normal
fault formation.
2. Grains moves and possibility of dilatancy against
fault plane.
3. Matrix consolidation and fluids circulation related
to a disorganisation of the pore system.
4. Start of dissolution/crystallisation phenomena fol-
lowing stress increase due to fault slip and drainage.
From SEM analyses, it appears that dissolu-
tion/crystallisation phenomena constitute the major
chalk transformation. Indeed, chalk is a material with
great porosity and high-grade in liquid. The two
regions show same sensitivity to this transformation
and a rather similar texture evolution, due to a normal
fault associated with extensional system. Three areas
are also observed: faulted material, strained material
and unstrained material zones.
These variations are clearly more accented in the
Lixhe chalk than in the Mons white Chalk. For Lixhe,
the first area of graphics shows a more resistant and
less porous zone next to the fault plane. These results
are confirmed by SEM: quasi-total crystallisation and
few large voids or pores on the fault plane. This area
is also larger, minimum 10 cm for Lixhe.
These differences are probably explained by the
driving actions of the pressure solution and cemen-
tation due to mechanical action and fluids circulation.
These two actions are doubtless related together. They
depend on a lot of factors such as initial chalk porosity,
grains connections natures, impurities contents, voids
588
Copyright 2006 Taylor & Francis Group plc, London, UK
fluid kind and importance of displacement along fault
(Djebbi, 1984). In the present study, initial chalk poros-
ity and importance of moving along fault are probably
more important.
The Lixhe initial porosity (>40%) is lightly higher
than Mons chalk porosity. Theoretically an upper
porosity makes easier fluids circulation. These trans-
fers increase effective stress on grains because the
flow speed growth in chalk matrix generates interstitial
pressure gradient. This stress increase causes an ampli-
fication of dissolution/crystallisation phenomena.
The displacement intensity of fault is more com-
plex. It depends on intensity of stress leading to the
move along fault plane and fault activity duration.
Indeed, an extensional system is characterized by a
stress variation whose range will depend on system
activity. The activity duration also influences matrix
transformations because dissolution/crystallisation
processes subside with fault activity.
Beyond 0.2 m, we can notice that Lixhe chalk seems
more porous and presents constant proprieties. These
differences relative to Mons chalk are probably due
to fault position: studied fault is included in a closer
fault population. Lixhe chalk presents more intense
fracturing. Thus a regular fracturing was affected
chalk texture. Between two faults, chalk is probably
transformed. Chalk matrix is more porous and per-
meable. The behaviour differences explained is prob-
ably related to Liege area geodynamics framework
connected to the dynamics of the Rhine Graben.
5 CONCLUSION
All these results are directed to the same object: chalk
matrix texture along the fault plane varies according to
its position proportional to this fault plane. The stress
variation due to Campanian fault leads to mechanical
and physical properties modification next to the fault
plane. Its major stress, 1 , increases vertical stress and
initialises dissolution/crystallisation phenomena.
This change presents a general feature in view of
its existence in two different regions: the Mons Basin
and Maastricht region. But several regional differences
are noticed. These various behaviours are related to
studied faults which just exhibit a local characteristic.
REFERENCES
Darquennes, A., Proprits physiques et mcaniques des
pontes de failles dextension dans la craie campanienne
en relation avec leur gense, Mmoire de fin dtude,
Universit Libre de Bruxelles, 117 p, 2005.
Djebbi, M., Phnomne de dissolution cristallisation.
Etude bibliographique et application au fluage de craie,
Thse de docteur de 3me Cycle, Universit des Sciences
et Techniques de Lille, 142 p, 1984.
 Doremus, D., Les craies du Nord de la France Corrla-
tions entre la lithostratigraphie, la microstructure et les
proprits mcaniques,Thse de doctorat, Universit des
Sciences et Techniques de Lille, 162 p, 1978.
Gaviglio, P., Chaye, DAlbissin, M., Bergerat, F. &
Vandycke, S., Modifications de texture dans la craie au
contact de failles normales : un exemple de graben dans
le bassin de Mons, Bulletin de la socit gologique de
France, tome 164, n 4, pp 565575, 1993.
Gaviglio, P., Adler, P., Thovert, J-F., Vandycke, S., Bergerat,
F., Bekri, S. & Lestideau, R.,Grain-scale microstructures
and physical properties of faulted chalk, Bulletin de la
Socit gologique de France, tome 168, n 6, pp 727739, Vandycke, S., Tectonique cassante de la craie Analyse
1997.
Gaviglio, P., Vandycke, S., Schroeder, C., Coulon, M.,
Bergerat, F., Dubois, C., Pointeau, I.,Matrix strains along
normal fault planes in the Campanian White Chalk of
Belgium : structural consequences, Tectonophysics, 309,
pp 4156, 1999.
Gratiery, J.P., Le fluage des roches, par dissolution -
cristallisation sous contrainte, dans la crote suprieure,
Bulletin de la Socit gologique de France, 164, 2, pp
267287, 1993.
Minram, Y., Fabric deformation induced in Cretaceous
chalks by tectonic stresses, Tectonophysics, 24, pp 333
360, 1977.
Palchick, V. & Hatzor, Y.H., The influence of porosity on
tensile and compressive strength of Porous Chalk, Rock
Mech. Rock Engng., 37, 4, pp 331341, 2004.
Schroeder, C., Du coccolithe au rservoir ptrolier
Approche phnomnologique du comportement mcanique
de la craie en vue de sa modlisation diffrentes
chelles, Thse de doctorat, FSA Universit de Lige,
169 p, 2003.
Vandycke, S.,Tectonique cassante et palo-contraintes dans
les formations crtaces du Nord-Ouest europen. Impli-
cations godynamiques, Thse de doctorat, Universit
Pierre et Marie Curie, Paris VI, 179 p, 1992.
godynamique en termes de palocontraintes, Intgration
la godynamique du NW europen, Visite des carrires
CBR Lixhe, GBMR-BVRM-CFMR, Lixhe, 6 p, 6 june
2002.
Vandycke, S., Palaeosress records in Cretaceous formations
in NW Europe: extensional and strike-slip events in rela-
tionships with Cretaceous-Tertiary inversion tectonics,
Tectonophysics, 357, pp 119136, 2002.

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Copyright 2006 Taylor & Francis Group plc, London, UK

 EUROCK 2006 Multiphysics Coupling and Long Term Behaviour in Rock Mechanics
Van Cotthem, Charlier, Thimus & Tshibangu (eds)
2006 Taylor & Francis Group, London, ISBN 0 415 41001 0

Roughness characterization of rock fractures surfaces

H. Legrain & J.-P. Tshibangu K.

Faculte Polytechnique, Mons, Belgium

ABSTRACT: This paper presents a comparative study of various methods of roughness quantification applied
to rock fractures. The parameters which are discussed and used for comparing 7 types of rock and two failure
mode are : arithmetic mean value, quadratic mean value (and standard deviation of peaks heights), JRC and
estimations of the fractal dimension by the ruler method, the analogy to Koch curve, the variogram and the power
spectral density analysis. Regarding the results obtained and the discussion about the accuracy of calculation, it is
difficult to draw a firm conclusion to state the most convenient method for quantifying roughness or complexity
of rock fractures because all the parameters could be significant depending on the aims of the quantification.
Nevertheless, the statistical analysis of results allows to point 4 independent parameters which have significant
meaning and variability for quantifying roughness or complexity of natural rock fractures.

1 INTRODUCTION The simplest method proposed in the literature is

The hydraulic behaviour and the slope stability of frac-
tured rock masses are highly influenced by fracture
properties. Roughness of the fracture surfaces is often
a critical parameter, especially for studying fluid flow
along the fracture network.
Different techniques can be used for measuring
the roughness of rock joint: photographic techniques,
spectral measurement, scattering of neutron or X-ray,
laser and stylus profilometries, . Even if the accu-
racy and the preferential scale of observation for the
measurement of rough profiles are important aspects,
the major difficulty is to find a quantification of the
fracture surface roughness or complexity.
This study is focused on the principal methods that
can be used for quantifying roughness of rock joint,
and the discussion of their application.
2 METHODS USED FOR QUANTIFYING
ROUGHNESS OF ROCK FRACTURE
Different approaches can be considered.
From a statistical point of view, several parameters
can be used, such as the arithmetic mean value of asper-
ities heights (or absolute roughness), the quadratic
mean value, standard deviation of peaks heights, prob-
ability density functions, . These parameters or
some of them are historically the first used for the
quantification of roughness, especially for metal sur-
faces, but also for rock joints, for instance in order to
study its effect on flow in fissures (Lomize, 1951).
probably the joint roughness coefficient (JRC) intro-
duced by Barton (1973). The JRC value, varying
from 2 to 20, is assigned to describe ten reference
profiles based on the observations made on artifi-
cially produced rough joints. These reference profiles
were adopted by the IRSM in 1978 and, despite their
semi-qualitative aspect, are in common use in the liter-
ature.(Tse & Cruden, 1979; Barton et al. 1985; Reeves,
1985; Carr & Warriner, 1987; Xie & Pariseau, 1995;
Kim & Stephansson, 1997).
Since Mandelbrot et al. (1984) observed that the
fractures surfaces of metal exhibit fractal character-
istics, the fractal concept had been applied in rock
fracture analysis. Brown & Scholz (1985) analyzed the
roughness of natural rock surface over a broad band of
spectral frequencies and concluded that rock surface
roughness is not self-similar at all scales. However,
self-affine fractal models are found to be suitable to
represent natural fractures surfaces (Brown & Scholz,
1985; Aviles et al. 1987). In fact, self-affine models
are more generally applicable to geological phenom-
ena than self-similar ones. Commonly, the fractal
dimension D of profiles made on rock joints has val-
ues between 1 and 1.5. Some authors observed very
low values of the fractal dimension (between 1.0001
and 1.022) (Carr & Warriner, 1989; Lee & Farmer,
1993; Xie & Pariseau, 1995). Huang et al. (1992) and
Develi & Babadagli (1998) attributed such low val-
ues to the inadequate resolution of the step size and
especially the use of methods not strictly applicable
to self-affine fractals but to self-similar ones. For this
reason, value obtained by methods applicable to self-
similar fractals (but not to self-affine ones) will be

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Copyright 2006 Taylor & Francis Group plc, London, UK

 indicated below by D1
and D2
, and values obtained by
methods applicable to self-affine figures by D3 and D4 .
Despite the difficulty for finding the most suitable
method to calculate fractal dimension, fractal geome-
try has become a useful tool in characterization and
more interesting quantification of natural rock. frac-
ture surfaces. This tool is also well used for generating
numerical representative surfaces in modelling of flow
into rough fractures and mechanical behaviour under
stress, as it is well described in Capasso (2000).
2.1 Parameters focused in this study
2.1.1 The arithmetic mean value or absolute
roughness Ra
When the studied profile is discrete (sampled by com-
puter), the absolute roughness Ra or arithmetic mean
value is calculated by (Indraratna & Ranjith, 2001):
where n is the number of sample points, x the position
on the profile and y(x) the height at position x.
2.1.2 Quadratic mean value Rq
The roughness quadratic mean value is defined as
(discrete case):
If the roughness profiles are normalized around the
mean height value (making the mean value equal to
0), Rq is equivalent to the standard deviation of peaks
heights.
2.1.3 Joint Roughness Coefficient (JRC)
Joint roughness coefficient is described in detail
by Barton & Choubey (1977). This coefficient was
firstly developed for studying shear strength (Barton
1973, 1977) and can be calculated from tilt tests or
more commonly by comparison to reference profiles
(Barton 1973). Tse & Curden (1979) and Barton
(1987) proposed methods for estimating JRC value
from asperities heights. Carr & Warriner (1987) pro-
posed an estimation method based on the fractal
dimension of Bartons profiles and natural fractures
estimated by the ruler method (see below) and Xie &
Pariseau (1995) from analogy to Koch curve (see
below) on profile numerically generated. Regarding
the low variability of values obtained by comparison
to references profiles (essentially 8, 10 and 12), the
two relationships based on the estimation of the frac-
tal dimension were used for estimating JRC in this
study.
592
Copyright 2006 Taylor & Francis Group plc, London, UK
Figure 1. The three first steps of construction of the Koch
curve (Xie & Pariseau, 1995).
2.1.4 Fractal dimension D
2.1.4.1 Ruler (or divider or yardstick) method
Mandelbrot (1967 & 1982) described the fractal char-
acter of coastlines by attempting to measure coastal
length using dividers opened to several scaled dis-
tances. It was found that coastal length seemingly
increased without bound when the divider spacing (or
ruler length) was decreased. Mandelbrot showed that
the coastal length L is linked to the number of rulers
N of length y by:
For Mandelbrot, D1
is the fractal dimension. If the log
of N is plotted versus the log of y, the absolute value
of the slope is D1
.
Carr and Warriner (1987) established an empirical
relationship between D1
and the JRC: in natural rock:
2.1.4.2 Analogy to Kochs curve
Xie & Pariseau (1995) use the statistical analogy
between fracture profiles and a classical but simple
fractal curve: the Kochs curve (see figure 1). The rela-
tion for calculating fractal dimension of the Kochs
curve (Mandelbrot, 1982; Xie & Pariseau, 1995) is
generalized for rock joint profile as follows:
where h and L are respectively the statistical height
and base length of the n asperities of a rock joint:
By the application of this method to Bartons ref-
erences profiles, Xie & Pariseau (1995) proposed the
following relation for estimating the JRC:
2.1.4.3 Variogram analysis
The variogram can be used to estimate the fractal
dimension (Develi & Babadagli, 1998). It is defined
 as the mean squared increment of points. Fractal dis- 1.6
tributions are characterized by a variogram model of 1.4
1.2 Ra
the following form: Rq
1
0.8
0.6
0.4
0.2
where (h) is the variogram at lag distance h and H is 0
called the Hurst exponent. H is related to the fractal

9
67

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52
41

90

ed
34

bl
.3

.3

.3
t.3

t.3
dimension by the following relationship:

w
te

ar
st

st

st
es

es

Sa
ni

M
nd

nd

nd

ra
m

m
Sa

Sa

Sa
Li

Li

G
Figure 2. Ra and Rq values vs. type of rock.
where is the slope of the lag distance, h versus vari-
ogram, (h) plot in log-log scale and equals to 2H by 1.060
equation (7). 1.050 D1
D2
2.1.4.4 Power spectral density (PSD) analysis 1.040
The fractal dimension of a topologically one- 1.030
dimensional profile can be calculated from the slope 1.020
of a log-log plot power S(k) versus wavenumber k. It is 1.010
related to the slope of log-log plot by the following 1.000
equation (Brown & Scholz, 1985; Develi & Babadagli,
67

98

52

9
41

90

ed
34

bl
.3

.3

.3
t.3

t.3

w
1998):

ar
te

Sa
st

st

st
es

es

M
ni
nd

nd

nd

ra
m

m
Sa

Sa

Sa
Li

Li

The PSD of a surface profile can be calculated with
one-dimensional fast Fourier transform.
3 EXPERIMENTAL ANALYSIS
3.1 Description of the profilometric device
A laser profilometer was used for measuring fracture
roughness profiles. The device was developed on the
basis of a single cutter test device allowing horizon-
tal movement with a high constancy of the speed rate.
The sample is put on the device and moved with a
speed rate of 1 mm/s. The laser is fixed on a reference
table in order to avoid all inopportune movements. The
vertical and horizontal accuracies of the laser beam
were respectively 1 and 30 m at the speed and sam-
pling frequency (25 hz) used. Measurements along the
profiles were thus made each 40 m, which allow to
obtain a good accuracy up to grainsizes observed : the
measurements noise are not observable on the result-
ing profiles but changes in sampled points heights
remain quite sharp from one grain to another.
3.2 Rock samples and tests performed
Seven types of rock were studied: a grey-blue Soignies
(Belgium) limestone (reference number: 341) with
thin-medium crystal size, a coarse Vosges (France)
sandstone (367) (grainsize = about 0.6 mm), a thin
Vosges (France) sandstone (398) (grainsize = about
G
Figure 3. D1
and D
2 values vs. type of rock.
0.2 mm), a Fontenoille (France) sandstone (352) with
very thin crystal size, a shelly white Moca (Portugal)
limestone (390) with coarse grains (about 1 mm), a
Saint-Solvay (France)granite (349) (grainsize = about
23 mm) and a thin red marble from Flanders(Belgium).
Moreover, profiles were made on sawed and polished
samples (further indicated as sawed).
135 profiles (8 cm long) were performed on 45 arti-
ficial fractures essentially made by Bresilian tensional
failure (a few ones were created by shear tests).
The roughness parameters described above by (1)
to (8) have been implemented in a computer software,
with a manual analysis in a spreadsheet software for
about 30% of variogram and PSD analysis because of
the partial linearity of curves obtained in those cases.
3.3 Analysis of the results and discussions
3.3.1 Experimental results
Figures 2 to 5 show the evolution of all the parameters
for the 7 rock types that have been studied.
First of all, the values obtained for sawed samples
are always small, as it could be expected.
It is also important to notice that the standard devi-
ation of values obtained on the same sample is always
very small with regard to the mean values. All the
parameters obtained are thus significant and indicative
of the complexity of surfaces and/or the roughness.

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Copyright 2006 Taylor & Francis Group plc, London, UK

 35 profilometric measurements (the precision of the algo-
30 JRC (D1) rithms are only limited by measurements precision).
25 JRC (D2) The two other methods for the estimation of fractal
20 dimension (PSD and variogram analysis) are applica-
15 ble to roughness profiles (as mentioned in point 2),
10 but the calculated values seem to vary slightly with
5 the observation scale (angular coefficient is not always
0 constant for the full curve). Consequently, the preci-
67

98

52
41

9
90

ed
sion of the determined values is not as good as the other

34

bl
.3

.3

.3
t.3

t.3

w
ar
te
parameters. However, thanks to the sensitive variabil-

Sa
st

st

st
es

es

M
ni
nd

nd

nd
m

ra
m

ity (see 3.3.1) of D3 from one rock to another, the

Sa

Sa

Sa
Li

Li

G
range of determination of this parameter is most often
Figure 4. JRC values (determined from D1
and D2
) vs. type smaller than the standard variation observed between
of rock. profiles made on the same fracture. D4 is more sen-
sitive to interpretation. In fact, D4 is highly sensitive
1.55 to the slope of spectral plot, as it was also observed
1.45 D3 by Develi & Babadagli (1998). It is thus necessary to
1.35 D4 strictly apply the same procedure for interpretation
1.25
1.15 and the same scale of observation from one pro-
1.05 file to another in order to obtain values that could be
0.95 compared from each other. But even like this, the abso-
0.85 lute precision on this parameter is sometimes small
0.75
on certain profiles. We can point here that, study-
41

67

98

52

90

ed
34

bl

ing artificial profiles computed with fractal models,

t.3

.3

.3

.3

t.3

w
ar
te

Sa
st

st

st
es

es

M
ni

Develi & Babadagli (1998) have shown that the vari-

nd

nd

nd
m

ra
Sa

Sa

Sa
Li

Li

ogram and PSD analysis give good estimation of the

fractal dimension.
Figure 5. D3 and D4 values vs. type of rock.

3.3.3 Correlations between the studied parameters

The general trend from one rock to another of the
estimated values of D is mainly similar for the 4 meth-
ods but different from the trend observed concerning
Ra and Rq .
It is not possible to strictly link those both trends
with grainsizes or mineralogical composition.
D1
and D2
values are always small (close to 1),
as observed in the literature and imputed to the self-
affinity of profiles (see above: point 2). It is thus
obvious that the absolute value of those parameters
are not representative of the fractal dimension of
the fracture surface, but their variability from one
rock to another allows to consider them as interesting
roughness parameters, even if the associated variation
coefficients (ratio between mean value and standard
variation) are not very high (respectively 0.010 and
0.018). The other variation coefficients are: 0.19 for
Ra and Rq ; 0.10 for D3 and 0.17 for D4 . If we consider
that the minimum value is 1 and not 0 for all the esti-
mations of D, the variation coefficients become: 0.6
for D1
and D2
, 0.44 for D3 and 1.42 for D4 .
Table 1 shows that D1
and D2
(and thus also JRC val-
ues determined from those 2 parameters) are highly
correlated. Even if the calculated values are not the
same, the method using the analogy to Koch curve is
thus similar to the ruler method for making differen-
tiation between rock types. Ra and Rq are correlated,
but not with respect to other parameters. Except for
D1
and D2
, the estimations of fractal dimension are
slightly or not correlated. Consequently, 4 parameters
can be considered as independent: Ra (or Rq ), D1
(or
D2
or JRC estimated from D1
and D2
), D3 and D4 .
3.3.4 Influence of failure mode
Table 2 shows that, for each types of rock, all parame-
ters are systematically greater for tensile fractures than
for shear fractures. For D2
and D3 , values obtained for
shear fractures and those obtained for tensile ones on
the 3 types of rock are linked with a linear regression
coefficient very close to 1 (respectively 0.99 and 0.98).
4 CONCLUSION

3.3.2 Quality of parameters determination
The determination of classical roughness parame-
ters and estimation of fractal dimension by the ruler
method and by analogy to Kochs curve (Ra , Rq , D1

and D2
, and thus JRC D1
and JRC D2
) is made with a
high precision, and only depends on the accuracy of
This study focused on the evaluation of the most
common methods used for quantifying roughness or
complexity of fractures in natural rocks: arithmetic and
quadratic mean values (this one is equivalent to stan-
dard deviation of peaks heights), estimation of JRC
value, and estimation of fractal dimension by the ruler

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Copyright 2006 Taylor & Francis Group plc, London, UK

 Table 1. Correlation coefficient between the parameters.

JRC JRC
Ra Rq D1
(D1
) D2
(D2
) D3 D4

Ra 1.00 0.99 0.05 0.05 0.06 0.00 0.35 0.18

Rq 1.00 0.04 0.04 0.05 0.01 0.35 0.17
D1
1.00 1.00 0.96 0.95 0.58 0.69
JRCD1
1.00 0.96 0.95 0.58 0.69
D2
1.00 0.98 0.56 0.67
JRCD2
1.00 0.56 0.68
D3 1.00 0.41
D4 1.00

Ra = arithmetic mean value; Rq = quadratic mean value;
D1
= estimation of fractal dimension by ruler method;
JRCD1
= JRC calculated from D1
(Carr & Warriner 1987);
D2
= estimation of fractal dimension by analogy to Koch curve;
JRCD1
= JRC calculated from D2
(Xie & Pariseau, 1995);
D3 = determination of fractal dimension by variogram analysis;
D4 = determination of D by power spectrum analysis.

Table 2. Variation of independent parameters with the to quadratic mean value and highly correlated with
failure mode (shear and tensile) for 3 types of rock. arithmetic mean value), fractal dimension estimated
by the ruler method (almost equivalent to the analogy
Failure Ra Rq to Koch curve), fractal dimensions estimated by var-
Rock Mode (mm) (mm) D2
D3 D4 iogram analysis and by power spectral density (PSD)
analysis.
Granite Shear 0.435 0.495 1.023 1.354 1.122
(5 spec.) S 0.084 0.082 0.014 0.063 0.062
It is necessary to notice that the values that can
Tensile 0.589 0.706 1.052 1.424 1.407 be obtained by both variogram and PSD analysis are
(10 spec.) S 0.192 0.195 0.009 0.031 0.121 sometimes inaccurate (in some cases, trends observed
Marble Shear 0.43 0.516 1.018 1.273 1.184
on the variogram or spectral plot are not completely
(3 spec.) S 0.190 0.197 0.012 0.074 0.009 linear at all scales) but is in most cases compensated
Tensile 0.834 1.048 1.043 1.308 1.273 by the important variability of the parameter from one
(3 spec.) S 0.294 0.453 0.015 0.062 0.024 rock to another. Moreover, estimation of fractal dimen-
Sandstone Shear 0.667 0.796 1.011 1.141 1.038 sion by the ruler method and by analogy to Koch curve
(3 spec.) S 0.144 0.226 0.001 0.005 0.035 is not strictly applicable to self-affine objects such as
Tensile 0.805 0.939 1.020 1.183 1.128 rock fractures profiles.
(3 spec.) S 0.549 0.581 0.009 0.047 0.055 Regarding the obtained results, it is difficult to
draw a firm conclusion to state the most convenient

Ra = arithmetic mean value; Rq = quadratic mean value; method for quantifying roughness of rock fractures.
D2
= estimation of fractal dimension by analogy to Koch But among the 4 parameters pointed here, the esti-
curve; D3 = sdetermination of fractal dimension by vari- mations of fractal dimension are more suitable for
ogram analysis; D4 = determination of D by power spectrum
describing the complexity of surfaces. The concerned
analysis.

Standard deviation. literature shows that classical roughness parameters
such as absolute roughness are less efficient for this
description. The quantification of this complexity,
method, the analogy to Koch curve, the variogram which was studied here, is significant for example
analysis and the power spectral density analysis. in the study of the losses of pressure induced by the
Except for the estimation of JRC from reference roughness of surfaces in flow in fractured rocks, but
Bartons profiles which is too inaccurate, the deter- also for predicting the openings and the tortuosity
mined parameters are sensitive to rock type: the coeffi- induced by increasingly contact areas under stress.
cient of variation is much higher from a rock to another
than for one type of rock (measurements scattering).
The parameters are also sensitive to failure mode. ACKNOWLEDGMENTS
The correlation analysis shows that some param-
eters are highly linked when other are more inde- This study was sponsored by the UNERBEL ASBL
pendent. This leads to mainly consider 4 parameters: and the Mining Engineering Department of the Faculte
the standard deviation of peaks heights (equivalent Polytechnique of Mons, Belgium.

595

Copyright 2006 Taylor & Francis Group plc, London, UK

 REFERENCES
Aviles, Scholz & Boatwright, 1987: Fractal analysis applied
to characteristic segments of the San Andreas fault. Jour.
Geophys. Res., v. 92, p. 331344.
Barton, N., 1973: Review of a new shear strength for rock
joints. Engineering Geol., v. 7, p. 287332.
Barton, N. & Choubey, V. 1977 : The shear strength of rock
joints in theory and practice. Rock Mech., 10: 154.
Barton, N., Bandis, S. & Bakhtar, K. 1985: Strength, defor-
mation and conductivity coupling of rock joints. Int. J.
Rock Mech. Min. Sci. Geomech. Abstr., 22 (3): 121140.
Barton, N. & Quadros, E.F. 1997: Joint aperture and rough-
ness in the prediction of flow and groutability of rock
masses. Int. J. Rock Mech. Min. Sci. & Geomech. Abstr.,
34 (34): paper n 252.
Brown, S.R. & Scholz, C.H., 1985: Broad bandwidth study
of the topography of natural rock surfaces. J. Geophys.
Research, 90: 575582.
Capasso, G., 2000: Mechanical and Hydraulic Behavior
of a Rock Fracture in Relation to Surface Roughness.
Ph. D. thesis in Geotechnical engineering, Polytechnique
de Turin.
Carr, R.J. & Warriner, J.B., 1987: Rock mass classifica-
tion using fractal dimension. 28th US symposium of Rock
Mechanics, Tucson, 29 june1 july, Balkema, Rotterdam,
pp. 7380.
Develi, K. & Babadagli, T. 1998: Quantification of natural
fracture surfaces using fractal geometry. Mathematical
Geology, Vol. 30, n 8.
Huang, Oelfke & Speck,1992: applicability of fractal char-
acterization and modelling to rock joint profiles. Int. Jour.
Rock Mech. And Geomech. Abstr., v. 29, n 2, p. 8998.
Indraratna, B. & Ranjith, P., 2001: Hydromechanical aspects
and unsaturated flow in jointed rock. A.A. Balkema
Publishers, Swets & Zeitlinger B.V., Lisse.
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Kim, J. & Stephansson, O., 1997: Evaluation of JRC from
image processing of borehole wall. Environmental and
safety concerns in underground construction. Lee, Yang
& Chung (eds), Balkema, Rotterdam, ISBN 9054109106.
Kwasniewski, M.A. & Wang, J.A., 1997: Surface roughness
evolution and mechanical behaviour of rock joints under
shear. Int. J. Rock Mech. Min. Sci. Geomech. Abstr., 34
(34): paper n 157 (CD-rom).
Lee, C.H. & Farmer, I., 1993: Fluid Flow in Discontinuities
Rocks. Chapman & Hall, London, p. 169
Lomize, G., 1951: Water flow through jointed rock. Gosen-
ergoizdat, Moscow, p. 127
Mandelbrot, B.B. 1967: How long is the coast of Britain?
Statistical self-similarity and fractal dimension. Science,
155, pp. 636638.
Mandelbrot, B.B., 1982: The fractal Geometry of Nature.
W.H. Freeman, N.Y.
Mandelbrot, Passoja & Paullay (1984): Fractal character of
fracture surfaces of metals. Nature, v. 308, p. 721722.
Mandelbrot, B.B. 1986: Self-Affine fractal sets. Fractal in
Physics. L. Pietronero & E. Tosatti (eds.), North-Holland,
Amsterdam, pp. 328.
Reeves, M.J., 1985: Rock surface roughness and frictional
strength. Int. J. Rock Mech. Min. Sci.&Geomech. Abstr.,
22, pp. 429442.
Tse, R. & Cruden, D.M., 1979: Estimating joint roughness
coefficient. Int. J. of Rock Mech. & Mining sciences 16:
303307.
Xie, H. & Pariseau, W.G. 1995: Fractal estimation of
joint roughness coefficients. Fractured and jointed Rock
Masses, Myer, L.R., Cook, N.G.W., Goodman, R.E. and
Tsang, C.F., eds., Balkema, Rotterdam, pp. 125131.
 EUROCK 2006 Multiphysics Coupling and Long Term Behaviour in Rock Mechanics
Van Cotthem, Charlier, Thimus & Tshibangu (eds)
2006 Taylor & Francis Group, London, ISBN 0 415 41001 0

Dynamic frictional behavior of rough rock joints by shaking table test

Byung-Ki Park, Seokwon Jeon, Jae-Joon Song & Chung-In Lee

School of Civil, Urban & Geosystem Engineering, Seoul National University, Seoul, Korea

ABSTRACT: In this study, a series of shaking table tests on an inclined plane were conducted to examine
dynamic frictional behavior of rough rock joints under dynamic loading conditions. Surface topography of an
artificially fractured joint was measured by 3D laser profilometer and quantitative roughness parameters were
calculated. The static friction angle was back-calculated by measuring yield acceleration at the onset of slide. The
dynamic friction angle was estimated by closely approximating experimental sliding responses to the analytical
results. The tilt angle was also determined prior to each dynamic test. The averaged static friction angle for mated
joint was lower than the tilt angle only when the amplitude of base motion was 4.6 mm. The dynamic friction
angle for unmated joint was 1.8 lower than the tilt angle on average.

1 INTRODUCTION approximating the experimental sliding responses to

In recent years, not only the frequency of occurrence
but also the magnitude of earthquakes are on an in-
creasing trend in Korea and other sources of dynamic
events including large-scale construction, operation of
high-speed railway and explosives blasting have been
increasing. Besides, the probability of exposure for
rock joints to free faces gets higher as the scale of
rock mass structures becomes larger. For that reason,
a need for evaluating frictional behavior of rock joints
under dynamic conditions is increasing.
Park et al. (2005) carried out shaking table tests
on an inclined plane in order to examine the fric-
tional behavior of saw-cut rock joints under dynamic
loading. They also compared the experimental sliding
block responses with program-simulated results and
back-calculated the dynamic friction angle of saw-cut
surfaces. In most cases, however, joint planes consist
of many small and large rough asperities and these
irregular asperities influence on the frictional and
shear behavior of rock joints (Patton, 1966; Barton &
Choubey, 1977).
In this study, therefore, artificially fractured tensile
joints were made and shaking table tests on an inclined
plane were performed with the rough joints in order
to examine the effect of roughness. Surface topog-
raphy of the artificially fractured joint was mea-
sured using 3-D laser type roughness profilometer
and quantified with roughness parameters prior to
each shaking table test. Displacements and acceler-
ations of sliding rock block were measured during the
dynamic tests. The static friction angle under dynamic
condition was back-calculated from the yield accelera-
tion. Dynamic friction angle was estimated by closely
the analytical results. Analytical responses of sliding
rock block were obtained from the previously devel-
oped computer program by Park (2005). The program
was based on the Newmark sliding block analysis.
Tilt angle under static condition was also deter-
mined prior to each dynamic test in order to compare
it with the friction angles obtained under dynamic
condition.
2 DYNAMIC BEHAVIOR OF ROCK BLOCK ON
AN INCLINED PLANE
2.1 Newmark sliding block analysis
The post-earthquake serviceability of a slope is more
related to the seismically induced permanent deforma-
tion than to the factor of safety. The permanent dis-
placement of rock and soil slopes as the result of
dynamic loading can be calculated using a practical
method developed by Newmark (1965). The Newmark
procedure assumes that permanent displacement ini-
tiates when inertia force acting on a potential sliding
mass exceeds the frictional resistant force along the
slip surface, and it stops when the relative velocities
between the base and the sliding mass become equal.
Sliding is assumed to occur along a well-defined slip
surface and the sliding mass is assumed to be rigid.
Though the Newmark sliding block analysis was
originally developed to predict the seismically induced
permanent displacement of failed material of a slope,
the Newmark procedure is used as a tool for evaluating
the dynamic friction angle of rock joints by compar-
ing program-simulated responses with experimental
results in this study.

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Copyright 2006 Taylor & Francis Group plc, London, UK

 y block under dynamic loading condition has also been
developed.

MAv
x 3
MAh
Ff Mg
Av
N ments and data acquisition system. The shaking table
Ah
Y
: Inclination angle of a slope
X Ah : Horizontal ground acceleration
Av : Vertical ground acceleration
XY coordinate: Global coordinate
xy coordinate: Local coordinate
Figure 1. Forces acting on a block on an inclined plane.
2.2 Analytical formulation
By assuming the material above the failure surface
to be rigid, Newmark showed that the seismic slope
stability problem was analogous to the problem of a
rigid block resting on an inclined plane.
Forces acting on a block on an inclined plane are
graphically presented in Figure 1. If Coulomb-type
friction is used to model the friction on the interface
between the block and the base, the coefficient of
friction, for cohesionless material with friction
angle, can be expressed in Equation (1).
The forces exerted on the sliding block include iner-
tia forces due to base excitations, normal force and
frictional resistance force. The conditions for sliding
and the dynamic equations for the motion of slid-
ing can be derived considering the equilibrium of the
sliding block and the equations of motion.
The block initially at rest starts to slide to downside
when the magnitude of base acceleration reaches the
yield acceleration expressed as follows.
where G = Av + g, s is the static friction angle.
If the block is in sliding mode, the acceleration of
sliding block can be derived as following equation.
INCLINED PLANE SHAKING TABLE TEST
3.1 Test apparatus and instrumentation
The shaking table test system consists of shaking table
test machine, tilt test apparatus, measuring instru-
is driven by a motor providing with unidirectional sinu-
soidal vibration ranged from 0.02 Hz to 9.0 Hz. The tilt
test apparatus was mounted on the table to measure
the tilt angle and to examine the dynamic behavior
of a sliding rock block during shaking. A steel box
which could hold a 300 mm 120 mm rock block was
attached to the tilt test machine. In order to keep the
sliding block straight for measurement purpose, 2 cm-
thick steel guides and flat-type needle roller bearings
were installed on the side plate of the containing box.
Measuring instruments consisting of three accelero-
meters and a laser-type displacement sensor were used
to record the dynamic responses of the system. Two
accelerometers were placed on the upper rock block
and one on the inclined plane. A laser-type displace-
ment meter was mounted on the extended guide of
the box to measure the displacement of sliding rock
block, and thus, friction inevitably arising when using
a contact-type displacement meter was eliminated.The
laser displacement sensor has the measuring range of
100 mm in the distance of 300 mm and the resolution
of 50 m.
A HBM MGCplus data acquisition system with
Catman Version 3.0 software was used to amplify and
acquire signals from the 3 accelerometers and the
laser displacement sensor simultaneously. The test
system has been described in detail by Park (2005).
A schematic diagram of the shaking table test system
is shown in Figure 2.
3.2 Preparation of test sample
3.2.1 Test material
Test material used in this study was Pocheon gran-
ite. Pocheon granite is medium to coarse grained
granite composed of quartz, feldspar, biotite, micro-
cline, perthite, etc. Uniaxial compressive strength of
Pocheon granite is 144 MPa and Brazilian tensile
strength is 7.7 MPa.

3.2.2 Creation of artificial tensile joint

where d = S(x)d , S(x) is the signum function in
sliding velocity x and d is the dynamic friction angle.
Equations of motion for a sliding block have been
fully described by Park (2005) and a computer pro-
gram that can simulate the behavior of the sliding
Artificially fractured tensile joint was created by using
splitting device. Rock block was placed at the cen-
ter between upper and lower V-shape notches of the
splitter and loaded slowly until fracture initiated. The
upper half specimen was divided into two blocks in the
sliding direction.

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Copyright 2006 Taylor & Francis Group plc, London, UK

 HBM
I/O Catman
MGCplus
v 3.0
Amp unit

Data acquisition
Power supply system Computer

Accelerometer
Laser
displacement A2 A3 Guide &
sensor Flat bearing

A1
Rock
block
Tilt test Inverter
machine
Motor
Cam

Shaking table

Figure 2. Schematic diagram of shaking table test system.

Figure 4. 3D surface profile for test specimen (GL1).

Table 1. Statistical roughness parameters.

Roughness parameter Range Mean SD*

iave (deg) 14.6319.81 16.97 1.246

Z2 0.35 0.49 0.41 0.035
SDH (mm) 1.09 2.95 1.79 0.579
Rp 1.0551.101 1.074 0.011

* Standard deviation.

3.2.3 Surface roughness

Surface topography of the fractured joint was scanned
to characterize the irregularly distributed asperities
(a) Typical test specimen using the 3D laser profilometer. Scanning interval was
set to 1 mm both parallel and perpendicular to the slid-
ing direction. The 3D surface profile for the lower
block of the test specimen is shown in Figure 4.
In order to quantify the roughness characteristics,
statistical roughness parameters such as microaver-
age inclination angle (iave ), root mean square of the
first derivative of the profile (Z2 ), standard deviation
of height (SDH) and roughness profile index (Rp )
were calculated from the measured surface profiles
as suggested in several researchers (Tse & Cruden,
1979; Lam & Johnston, 1985). Calculated statistical
parameters are summarized in Table 1.

3.3 Test procedure

(b) Dimension (unit in mm)
Figure 3. Photo and dimension of test specimen.
The dimension of the lower rock block was 298 mm
(L) 118 mm (W) 65 mm (H) and that of the upper
sliding block was 149 mm 118 mm 65 mm, respec-
tively (see Figure 3).
Shaking table tests were divided into two stages. The
first stage of the dynamic test was to measure the
static friction angle. The static friction angle was back-
calculated by measuring yield acceleration at the onset
of slide. The second stage was to examine the dynamic
response of a sliding rock block and to determine the
dynamic friction angle of the rock joints. The dynamic
friction angle was estimated by closely approximat-
ing the experimental results to the program-simulated

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Copyright 2006 Taylor & Francis Group plc, London, UK

 response. Tests were conducted using sinusoidal input Table 2. Comparison between tilt angle and static friction
motions with accelerations ranging from 0.25 to angle for mated joint.
0.48 g. Tilt angle was measured prior to every dynamic
test. Static friction angle ( )
Tilt angle ( )
(tilt ) s * tilt s * s ** tilt s **

4 TEST RESULTS Min 60.5 54.0 4.6 56.5 7.7

Max 65.0 68.1 8.5 71.6 4.8
4.1 Static friction angle Average 63.0 60.3 2.7 63.1 0.1

Dynamic tests to examine the static friction angle were * Static friction angle at 4.6 mm base amplitude.
conducted with mated joint at two different amplitudes **Static friction angle at 7.2 mm base amplitude.
of the base motion (4.6 mm and 7.2 mm) and the incli-
nation angles of 40 . Yield acceleration (Ayd ) when
the upper rock block started to slide was measured at 70
each test, and thus the static friction angle (s ) was Amplitude: 4.6 mm
back-calculated by following equation. Inclination: 40

s (back calculated)
65
12.5%

60

where g is the gravitational acceleration and is the 87.5%

inclination angle. 55
Test results are listed in Table 2. Figure 5 shows
the relationship between tilt angle and static friction
angle. When the amplitude of the base motion was 50
relatively small, i.e. 4.6 mm, the static friction angle 50 55 60 65 70
was lower than the tilt angle in most cases (87.5%) Tilt angle ()
and the average difference between these two angles (a) For base amplitude of 4.6 mm
was 2.7 . When the amplitude was 7.2 mm, however,
the average values of tilt angle and static friction angle
were almost the same. This tendency is in consistency Amplitude: 7.2 mm
with the results for saw-cut rock joints by Park et al. 70 Inclination: 40
(2005).
s (back calculated)

45%
65
4.2 Dynamic friction angle
Shaking table test for estimating dynamic friction 55%
angle was carried out under unmated joint condition. 60
This is because if the test is conducted with mated
joint, the base acceleration should be high enough to
initiate sliding, and consequently, the response will be 55
too fast for precise analysis. 55 60 65 70
Figure 6 shows the typical displacement- and Tilt angle ()
acceleration-time histories measured during a test
together with the responses from program simulation (b) For base amplitude 7.2 mm
at the inclination angle of 30 and the base acceleration
Figure 5. Relationship between tilt angle and static friction
of 0.48 g. angle.
The upper graph shows the relative displacement
of the sliding rock block. From the figure, it was
observed that the sliding block experienced stick-slip The dotted line in the Figure represents the sim-
type displacement. The lower graph shows the abso- ulation result by previously developed program by
lute accelerations of the block. When the dynamic Park (2005). Although the experimental acceleration
force exceeds the friction force, the block starts to history is somewhat different from simulated result
slide and the block accelerations measured in the due to local rolling by surface roughness during
upslope direction are limited to specific value, i.e. sliding, the experimental displacement history general-
yield acceleration. ly coincided with the simulated one. Thus the dynamic

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Copyright 2006 Taylor & Francis Group plc, London, UK

 200 40
Amplitude: 4.6 mm y=x

Dynamic friction angle ()

Inclination angle: 30
Displacement (mm)

150 d = 36.0 38

11%
36
100 89%
Inclination angle: 30
Base acc.: 0.48g 34
50
Experimental result
Simulated result d =36.0 32
0
0 1 2 3 32 34 36 38 40
Time (sec) Tilt angle (o)
(a) Sliding displacement
Figure 7. Relationship between tilt angle and dynamic
1.0
Acc. of inclined plane(A1) friction angle.
0.8 Acc. of upper block(A2)
0.6 Simulated result d=36
Acceleration (g)

0.4
5 CONCLUSIONS
0.2
0.0 This paper examined the effect of dynamic loading
-0.2 on determination of the frictional characteristics. The
-0.4 static and dynamic friction angles for rough rock
-0.6 joints were obtained through a series of shaking table
-0.8
tests. The static friction angle for mated joint calcu-
lated under dynamic condition was 2.7 lower than
-1.0
2.0 2.5 3.0 3.5 the tilt angle on average when the amplitude of base
Time (sec) motion was 4.6 mm. In case that the amplitude was
(b) Acceleration 7.2 mm, however, the averaged values of those two
angles were almost the same. This implies that the
Figure 6. Typical sliding behavior of rough rock joint in static friction angle is influenced by the characteris-
comparison with program-simulated result. tics of dynamic loading even though the magnitude of
base acceleration is equal.
The back-calculated dynamic friction angle for
Table 3. Comparison between tilt angle and
dynamic friction angle for unmated joint.
unmated joint was also lower than the tilt angle and the
averaged difference between them was 1.8 .Therefore,
tilt ( ) d * ( ) tilt d the dynamic effect that the friction angle decreases
when subject to dynamic loading should be consid-
Min 33.5 32.0 1.0 ered in the design of rock mass structure if there is a
Max 39.5 36.0 4.5 need to consider dynamic loading.
Average 35.6 33.8 1.8

* Dynamic friction angle. ACKNOWLEDGEMENT

This paper was funded by the Korea Institute of Con-

friction angle was estimated based on the close-
ness between experiment and simulated displacement
history.
The range and mean value of the tilt angle and the
estimated dynamic friction angle for 20 rough joint
specimens are summarized in Table 3. Figure 7 shows
the relationship between tilt angle and dynamic friction
angle. The dynamic friction angle was in general lower
than the tilt angle like the static friction angle and the
average difference between those two angles was 1.8 .
struction and Transportation Technology Evaluation
and Planning under the Ministry of Construction and
Transportation in Korea (Grant No. 04-C01).
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Barton, N. & Choubey, V. 1977. The shear strength of rock
joints in theory and practice. Rock Mech., 10: 154.
Lam, T.S.K. & Johnston, I.W. 1985. A scanning device to
quantify joint surface roughness. Geotechnical Testing
Journal, 8(3): 117124.

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Copyright 2006 Taylor & Francis Group plc, London, UK

 Newmark, N.M. 1965. Effects of earthquakes on dams and
embankments. Geotechnique, 15: 139160.
Park, B.K. 2005. Characteristics of dynamic frictional behav-
ior of rock joints. Ph.D. dissertation. Seoul Natl Univer-
sity. Korea.
Park, B.K., Jeon, S. & Lee, C.S. 2005. Examination of
dynamic friction of rock surfaces. Proc. 2005 East Asia
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Joint Symp. On Rock Eng., August 910, Fukuoka, Japan:
9398.
Patton, F.D. 1966. Multiple modes of shear failure in rock.
Proc. 1st Congress of the ISRM, Lisbon: 509513.
Tse, R. & Cruden, D.M. 1979. Estimating joint roughness
coefficients. Int. J. rock Mech. Min. Sci. Geomech. Abstr.,
16: 303307.
 EUROCK 2006 Multiphysics Coupling and Long Term Behaviour in Rock Mechanics
Van Cotthem, Charlier, Thimus & Tshibangu (eds)
2006 Taylor & Francis Group, London, ISBN 0 415 41001 0

Point load strength determination of anisotropic rocks

H. Saroglou
Phd Candidate, School of Civil Engineering, National Technical University of Athens, Athens, Greece

G. Tsiambaos
Assoc. Professor, School of Civil Engineering, National Technical University of Athens, Athens, Greece

ABSTRACT: The advantages and limitations of point load test have been extensively discussed in literature.
Although, the point load strength can be representative of the uniaxial strength of isotropic rocks, it can be
misleading in the case of anisotropic rocks due to the presence of foliation or bedding planes. The foliated nature
of most metamorphic rocks suggests a directional variation in their point load strength. The paper describes
results from tests performed on anisotropic rocks, according to the suggested method by ISRM but also using
alternative loading directions in the diametral test. The strength anisotropy index Ia(50) was determined for these
rocks and has been compared to the degree of strength anisotropy as measured in specimens tested under uniaxial
compression. Finally, a new anisotropy index is proposed and suggestions are made in using point load test for
the classification of rock strength anisotropy.

1 INTRODUCTION
and weakest directions (perpendicular and parallel to
planes of weakness). The ratio of greatest to least point
The Point load test is a simple and inexpensive method
load strength Is(50) assumes values close to 1.0 for
of indirect determination of the uniaxial strength of
quasi-isotropic rocks and higher values when rock is
intact rocks. A number of researchers have investi-
anisotropic (ISRM, 1985).
gated the use of point load testing in the geotechnical
The optimum loading direction for the cores sub-
practice, the size and shape effect on strength as well as
jected to diametral point-load tests along the planes
its correlation with the uniaxial compressive strength,
of weakness and subsequently to axial point-load
ci . More insight on the above can be gained from the
tests with load applied perpendicular to the weakness
concise work from Broch & Franklin (1972) and Broch
planes, is shown in Figure 1a (ISRM, 1985).
(1983), as this is beyond the scope of this paper.
ISRM (1985) suggested that anisotropy is classi-
The point load test is often considered as an indirect
fied according to the point load strength index, Ia(50) ,
tensile test (ISRM, 1985) and could be expected to
assigning four distinct categories for non-foliated to
correlate better with tensile strength than compressive
very strongly foliated rocks (Table 1). The index
(Brook, 1985).
Ia(50) is calculated as the ratio of the point load
The present study investigates the directional varia-
strength perpendicular to that parallel to the foliation
tion of the point load strength of anisotropic metamor-
planes.
phic rocks, in both diametral and axial tests, due to
Marinos & Hoek (2001), state that when performing
their foliated nature. The use of the point load strength
axial point load tests in intact rock samples of hetero-
anisotropy index, Ia(50) , for the characterization of
geneous rock masses, the direction of loading should
their inherent anisotropy is discussed. Finally, a new
be as perpendicular to any weakness planes as possi-
anisotropy index based on the point load strength nor-
ble and the fracture created by the test should not show
mal and parallel to the anisotropy planes in diametral
any signs of having followed an existing discontinuity,
test is proposed.
bedding or foliation plane (Figure 1b). Additionally, in
the case of very weak and/or fissile rocks, that exhibit
2 POINT LOAD STRENGTH AND anisotropic behavior, such as clayey shales or sheared
ANISOTROPY INDEX siltstones, the indentation of the loading points may
cause plastic deformation rather than fracture of the
The strength anisotropy index Ia(50) is defined as the specimen. In such cases, the point load test does not
ratio of mean Is(50) values measured in the strongest give reliable results and should not be used.

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Copyright 2006 Taylor & Francis Group plc, London, UK

 Table 2. Mean values of physical and mechanical properties
for the rocks tested.
ci
(MPa)
Rock d n = 300 Ei t
type (kN/m3 ) (%) = 900 Ici (GPa) (MPa)

Schist 25.8 3.7 26.065.6 2.5 9.4 5.0

Gneiss 26.7 1.7 24.073.0 3.0 26.4 8.0
Marble 26.4 0.4 61.384.7 1.3 - 5.6

Table 3. Point load strength normal and parallel to the

planes of foliation and anisotropy index, Ia(50) for the tested
rocks.

Rock Is(50) St. dev. Is(50)// St. dev. No of

Type (MPa) (MPa) (MPa) (MPa) Ia50 tests

Figure 1. a) Right and wrong application of the point loads Schist 2.36 1.09 0.80 0.38 2.95 35
on cores, which are drilled at an oblique angle to the plane of Gneiss 5.83 2.55 1.72 0.83 3.38 47
weakness, b) Acceptable failure through the loading points Marble 5.90 1.23 2.36 0.63 2.50 24
in the axial test normal to the planes of anisotropy.

Table 1. Classification of anisotropy according to point load non-continuous dolomitic layers. It is characterized by
strength index, Ia(50) (ISRM, 1985). low degree of anisotropy.
All the uniaxial compression tests were carried out
Point load on cylindrical specimens with diameter of 50 mm,
strength while the specimens that were used for the axial tests
anisotropy were cut by saw parallel to the planes of weakness. The
Nature of rock Ia50 Descriptive term
physical and mechanical properties (dry unit weight,
Very strongly foliated >4 Very highly anisotropic
d ; porosity, n; uniaxial compressive strength, ci ;
Strongly foliated 24 Highly anisotropic modulus of elasticity, Ei and tensile strength, t ) of
Weakly to Moderately 12 Moderately to Fairly the rocks tested are summarized in Table 2. Two values
foliated anisotropic for the uniaxial compressive strength, ci , are given in
Non-foliated 1 Quasi-isotropic this table, referring to angle of loading equal to = 300
and 900 relative to the planes of anisotropy. The ratio
of these values gives the anisotropy index Ici . The
tensile strength was measured in the Brazilian test.
3 LABORATORY STUDY

In order to study the point load strength of anisotropic
rocks, three metamorphic rocks from Greece were
selected and tested in the laboratory, namely schist,
gneiss and marble (Saroglou et al., 2004). The schist
samples belong to the Athens Schist formation. It is
characterized as chloritic, muscovite schist and has
well developed schistosity in the micro to macro-scale.
The gneiss samples belong to two types: a) a muscovite
gneiss with medium-grained, blastic texture with very
well developed anisotropy due to the alternating bands
of quartz, feldspar and micas, b) a mica gneiss with
coarse-grained, granoblastic texture. Finally, the mar-
ble tested, which was used in the antiquity for the
construction of monuments of Akropolis of Athens,
is calcitic with a low percentage of dolomite (3%) and
has a banding texture due to the existence of parallel
4 POINT LOAD STRENGTH AS A
CLASSIFICATION PARAMETER
The anisotropy index, Ia50 , proposed by ISRM (1985),
was determined for each of the rocks tested. The point
load strength normal to the foliation planes in the
axial test and parallel to them in the diametral test, as
well as the mean degree of anisotropy, Ia(50) , of schist,
gneiss and marble tested is presented in Table 3.
Based on the statistical analysis, schist and gneiss
have a higher scattering of strength than the marble, as
their standard deviation is significantly larger. Addi-
tionally, the standard deviation of the strength parallel
to the planes of schistosity in the diametral test is
greater than the strength normal to them in the axial
test. This is explained, as the strength at failure when

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 Figure 2. Variation of degree of anisotropy, Ia50 , with point load strength normal to the foliation planes.
loading is parallel to them, is controlled by the extent
of micro cracks in the same direction and can differ
significantly.
According to the mean anisotropy index, Ia50 ,
schist, gneiss and marble are characterized as highly
anisotropic (see also Table 1). This characterization
does not agree with that resulting from the uniaxial
compressive strength anisotropy index, Ici , presented
earlier in Table 2.
The defect of the point load test as a classification
index of anisotropy is primarily because:
1 The index is greatly influenced by the strength par-
allel to the planes of weakness, which may be in the
same order for rock types that have totally different
point load strength normal to them. This was shown
from the diametral tests carried out on gneiss and
schist parallel to the foliation planes, that resulted
in relatively close values of Is(50)// = 1.7 MPa and
0.8 MPa respectively, while the strength normal
to them was very different (Is(50) = 5.8 MPa and
2.3 MPa).
2 In the case of slightly anisotropic rocks, it can give
misleading results of the degree, since the point load
strength of the rock parallel to the planes of weak-
ness may be much lower than the actual minimum
strength, determined by uniaxial compression test-
ing in the direction of minimum strength (usually
around 300 ). This is demonstrated by the tests per-
formed on marble, which is characterized by low
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Copyright 2006 Taylor & Francis Group plc, London, UK
anisotropy based on the uniaxial compression
strength index Ici , equal to 1.3, while the Ia(50)
gives a value of 2.5, which leads to a highly
anisotropic rock according to ISRM.
Consequently, the use of point load testing in the
classification of anisotropic rock behavior should be
done with great consciousness and preferably as a veri-
fication of the anisotropy index determined by uniaxial
compression tests.
In order to check the relation of Ia(50) with the point
load strength normal to the foliation planes, Is50() , the
values of the rocks tested as well as those from litera-
ture were plotted on a log-log scale (see Figure 2). In
addition to the results of the present study, a number
of data were accumulated, for this purpose, from the
studies of Behrestaghi et al. (1996), Broch E. (1983),
Greminger (1982), Broch E. & Franklin J. (1972),
Ajalloeian R. et al. (2000) for slates, schists, gneisses,
siltshales and mudshales. The data plotted refer to
fresh, slightly and medium weathered rocks (grades
I to III), since the anisotropic characteristics of rocks
become less significant when the degree of weathering
increases (value of Ia(50) approaches unity).
It is obvious, that there is no clear relation between
the two parameters but one could say, by defining an
upper and lower bound, that anisotropy index has an
inclination to increase with point load strength. On
the other hand, the rocks tested, although they have a
wide range of strength (Is50() between 1.5 MPa and
 10 MPa), they are characterized as highly anisotropic, ratio between 0.5 and 1.0, due to the slightly lower
which suggests why there is no clear relation between strength compared to gneiss and marble samples.
the two parameters. Thus it can be stated that the suggestion for ratio D/d
value between 0.3 and 1.0 in the axial point load test
(ISRM, 1985), is not always efficient for anisotropic
5 APPLICATION IN ANISOTROPIC ROCKS intact rocks, especially for those having high strength
(Is50() > 4.0). For these rocks, a ratio D/d value less
5.1 Point load strength anisotropy in the axial test than 0.7 is preferable.
Read et al. (1980) reported that consistent results in
5.1.1 Shape effects
the axial point load test were obtained when a ratio of
The axial tests on anisotropic intact rock were per-
0.65 was used.
formed normal to the foliation planes as suggested by
Anyhow, any test should be rejected as invalid if the
ISRM and shown in Figure 1a. The procedure which
fracture surface does not pass through the two loading
should be followed for anisotropic rocks is: a) per-
points (ISRM, 1985).
form a diametral test with the load applied parallel to
Furthermore, in axial testing, the location of the
the planes of weakness, and b) perform axial tests on
loading axis across the specimen plays an important
cores normal to them, ensuring that the ratio of length
role, since the side effects are severe in the case
to diameter (D/d) is between 0.3 and 1.0 (ISRM, 1985).
where the loading points are close to the perimeter of
It must be noted that the axial tests performed on
the specimen parallel ends, due to the high inclination
gneiss specimens with a ratio D/d close to 1.0 were
of the axis of specimen compared to the loading axis.
not acceptable due to the fact that the failure didnt
According to ISRM (1985) the angle between the core
occur through the rock material but the failure surface
axis and the normal to the weakness plane should not
followed partially a plane of anisotropy or cheeped at
exceed 30 degrees.
the edges. Thus, the ratio D/d had to be decreased to a
value less than 0.85 in order to achieve the correct fail-
ure i.e. the axial splitting of the specimens through the 5.2 Anisotropy in the diametral test
loading points and perpendicular to the planes of weak-
ness. All the gneiss specimens having a ratio value, In the diametral test the minimum strength is recorded
D/d, lower than 0.7 presented, in any case, a correct when the load is applied parallel to the weakness plane
failure (Figure 3). and the specimen fails along it (Broch, 1983). This has
This was also adopted for the axial tests carried
out on marble, as the specimens having a ratio D/d
greater than 0.8 failed likewise. The schist samples
that had acceptable failure had a length to diameter

Figure 4. The diametral point load strength index Is as a

function of the angle, a, between the foliation plane and the
Figure 3. Size effect on point load strength in axial test in core axis for two gneisses and a micaschist (from Aagaard,
anisotropic rocks. 1976).

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Copyright 2006 Taylor & Francis Group plc, London, UK

 been convincingly demonstrated by Aagaard (1976) in
two gneisses and a micaschist, as shown in Figure 4.
In the present study, the same loading pattern was
used in the diametral test in order to determine the
minimum and maximum strength of the metamorphic
rocks tested. Based on this testing methodology, a new
anisotropy index, Id , is proposed which is defined as
the ratio of the point load strength perpendicular to that
parallel to the planes of weakness, in the diametral test.
The comparison of this index (Id ) with that proposed
by ISRM, 1985 (Ia(50) ) leads to significant results.
The variation of the point load strength with the
angle is shown in Figure 5. The decrease of strength
with angle is more profound for the gneiss samples
rather than the schist and that is due to the higher
strength of gneiss normal to the planes of weakness.
The point load strength recorded parallel and per-
pendicular to the planes of weakness in the diametral
test for the rocks tested, is summarized in Table 4.
Based on the results from the diametral tests, it is
obvious that there is a significant difference between
the two anisotropy indices, Id and Ia(50 ) (see Table 3
Figure 5. Diametral point load strength as a function of the
angle, a, for schist and gneiss samples tested in the present
study.
Table 4. Anisotropy index, Id from diametral point load
tests.
Diametral Diametral
Rock Type Is(50) (MPa) Is(50)// (MPa) Id
Schist 1.3 0.8 1.6
Gneiss 4.7 1.7 2.8
Marble 4.1 2.4 1.7
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Copyright 2006 Taylor & Francis Group plc, London, UK
and 4). Generally, the minimum strength, which is
encountered parallel to the planes of weakness, is
closer to the maximum strength for rocks with low
intact rock strength. This is true for the schist samples
that were tested.
The proposed anisotropy index, Id , gives a better
correlation with the strength anisotropy index, Ici ,
for the metamorphic rocks tested (see Table 2 also).
Thus, it can be used for the determination of the
degree of anisotropy of intact rocks exhibiting inherent
anisotropy (using the same ranges proposed for Ia50 ,
as in Table 1).
6 CONCLUSIONS
The point load test is widely used in anisotropic intact
rocks for the determination of their strength in the
directions of minimum and maximum strength, as well
as the characterization of their degree of anisotropy.
Based on the results from the present study and
data from literature, it was shown that there is no
relation between the anisotropy index, Ia50 , and the
point load strength normal to the planes of weakness.
Additionally, the metamorphic rocks tested were char-
acterized as highly anisotropic based on this index,
which does not agree with their anisotropy index, Ici ,
as determined by the uniaxial compressive strength.
Consequently, a new anisotropy index, Id , was pro-
posed which is defined as the ratio of point load
strength normal to planes of anisotropy to that parallel
to them in the diametral test.
The characterization of the rocks tested accord-
ing to the proposed index, correlates quite well
with the strength anisotropy index, Ici in uniaxial
compression.
Finally, the shape effects of anisotropic rocks in the
axial test were investigated and proposals are made for
the selection of the length to diameter ratio (D/d) when
the load is applied normal to the foliation planes.
ACKNOWLEDGEMENTS
The present work is part of the research for the Oper-
ational Programme for Educational and Vocational
Training, Pythagoras II. The project is co-funded
by the European Social Fund (75%) and National
Resources (25%).
REFERENCES
Aagard, B. 1976. Strength anisotropy of rocks (in Norwegian).
M.Sc. dissertation, 104pp. NTH, Trondheim.
Ajalloeian, R, & Lashkaripour, R.G. 2000. Strength
anisotropies in mudrocks. Bull. Int. Assoc. Eng. Geol., 59.
pp 195199.
 Behrestaghi, M.H.N. & Rao, K.S. & Ramamurthy, T. 1996.
Engineering geological and geotechnical responses of
schistose rocks from dam project areas in India. Engi-
neering Geology, vol. 44, pp. 183201.
Broch, E. & Franklin, J.A. 1972. The point load test. Int.
Journal of Rock Mech. Min. Sci., vol. 9, pp. 669697.
Broch, E. 1983. Estimation of Strength Anisotropy Using
the Point-Load Test. Int. Journal Rock Mech. Min. Sci. &
Geomech. Abstr, vol. 20, No.4, pp.181187.
Brook, N. 1985. The equivalent core diameter method of
size and shape correction in point load testing. Int. Jour-
nal Rock Mech. Min. Sci. & Geomech. Abstr, vol. 22,
pp.6170.
Greminger, M. 1982. Experimental Studies of the Influ-
ence of Rock Anisotropy on Size and Shape effects in
Point-Load Testing. Int. Journal Rock Mech. Min. Sci. &
Geomech. Abstr, vol. 19, pp.241246.
608
Copyright 2006 Taylor & Francis Group plc, London, UK
ISRM, 1985. Commission on Testing Methods. Suggested
method for determining Point Load Strength (revised ver-
sion). Int. Journal Rock Mech. Min. Sci. & Geomech.
Abstr, vol. 22, pp.5160.
Marinos, P. & Hoek, E. 2001. Estimating the geotechnical
properties of heterogeneous rock masses such as flysch.
Bull. Int. Assoc. Eng. Geol., 60. pp. 8592.
Read, J.R.L. & Thornton, P.N. & Regan, W.M. 1980. A
rational approach to the point-load test. 3rd Australia-
New Zealand Conf. on Geomechanics, Wellington,
pp. 2-3539.
Saroglou, H. & Marinos, P. & Tsiambaos, G. 2004. The
anisotropic nature of selected metamorphic rocks from
Greece. Journal of the South African Institute of Mining
and Metallurgy, Vol. 104, No. 4, pp.217222.
 EUROCK 2006 Multiphysics Coupling and Long Term Behaviour in Rock Mechanics
Van Cotthem, Charlier, Thimus & Tshibangu (eds)
2006 Taylor & Francis Group, London, ISBN 0 415 41001 0

A new procedure to analyse the wear of cutting elements

F. Van Quickelberghe, F. Dagrain & J.-P. Tshibangu

Facult Polytechnique de Mons, Belgium

T. Richard
CSIRO, Petroleum, Western Australia

ABSTRACT: Ongoing research at the Faculte Polytechnique de Mons focuses on determining the processes and
parameters which control the cutting response of worn cutters. In particular, this paper presents a new approach
under development for understanding wear mechanisms by continuously analysing the evolution of wear in term
of cutting efficiency. Cutting efficiency can be computed at any time during a wear test by measuring both the
forces applied on the tool and the cross sectional area of the groove being cut.
Wear tests have been conducted on a shaper using metalic cutters. The applied forces have been recorded
continously while testing, and grooves have been laser-profiled afterwards in order to assess the cross sectional
area of the cut at any time. The measurements have then been used to compute the cutting efficiency.

1 INTRODUCTION

Wear is one of the most important problems in drilling

engineering due to the incredible costs which may
result from an inappropriate choice (or design) of the
tool. New technologies have allowed manufacturing of
highly wear resistant polycristalline diamond compact
(PDC) tools which have been used for decades on drill
bits for deep and hard rock drilling. Although PDC
wear resistance is regularly improved, wear remains a
key issue in PDC drilling (Figure 1).
Predicting and reducing wear are real issues in Figure 1. Example of worn PDC cutters on a drill bit.
drilling engineering. Actual goals in the tool technol- Courtesy of Diamond Drilling Services.
ogy are to make all formations PDC drillable.

properties and the state of wear of the bit.

2 THE WEAR PROBLEM

The drilling process can be schematically character-

ized by two applied parameters: the weight on bit (W )
and rotary speed ().
The bit response, as a consequence of both parame-
ters applied by the driller, is characterized by the torque
on bit (T ) and rate of penetration (V ). The depth of
cut d removed can be expressed in term of rate of
penetration and rotary speed as
The depth of cut d (or the rate of penetration) is not
only a function of W but also depends on the rock
where is the intrinsic specific energy, and Aw the
overall wear flat area.
Field and laboratory tests indicate that the drilling
response of a blunt bit is characterized by two dis-
tinct regimes. At low applied W (shallow depth of cut),
the evolution of the drilling forces with the depth of
cut (or rate of penetration) is controlled by the fric-
tional process-taking place across the wear flats. Once
the maximum forces admissible on the wear flats are
mobilized, the evolution of the drilling forces is solely
controlled by the cutting process taking place ahead of
the cutting face. The first regime is obviously far less
efficient.

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Copyright 2006 Taylor & Francis Group plc, London, UK

 A driller interested in keeping a constant rate of pen-
etration will need to increase the weight on bit as the
wear process develops. Unfortunately, the weight has
practical limitations (drill string buckling, power limi-
tations on the rig, directional constraints etc.). Beyond
this limit, when the rate of penetration becomes eco-
nomically too low, the only solution is to pull out and
change the drill bit.
In order to better manage the wear problem, it is a
necessity to understand the implication of the different
drilling parameters on the tool response and quantify
their influence on the wear processes. Before quantify-
ing any wear effect, it is important to have a meaningful
physical parameter characterizing correctly the wear
process.
Figure 2. Simplified concept of drilling.
Figure 3. Sketch of rate of penetration versus weight on bit
curves (After Dagrain, 2005).
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Copyright 2006 Taylor & Francis Group plc, London, UK
3 STATE OF THE ART
Most researches conducted on the wear problem con-
sider two different approaches:
a microscopic approach in which more complex
physical phenomena are studied like micro-
cracking, thermic dilatancy, thermodynamics, inter-
face phenomena (Nishimatsu, 1979; Cook 1982;
Glowka & Ortega 1987)
a macroscopic approach undertaken by engineers
and drillers to globally understand the influence of
wear in drilling.
At the macroscopic level, engineers analyse wear
problem in term of a grinding ratio (or G ratio) defined
as the volume of rock removed Vr divided by the
volume of diamond lost from the cutter Vc :
Actual granite-log abrasion tests are conducted by
most of the cutter manufacturers to characterize their
products. Depending on the type of wear (abrasive or
impact wear) (Zum Gahr, 1987), tests can be conducted
at very low depth of cut (abrasive wear), or at higher
depth of cut (impact wear).
The G ratio is the main information used to char-
acterize the wear performances, even if other data like
forces on the tool are measured during the wear test.
From our point of view, the G ratio provides only
partial information on the evolution of the cutting pro-
cess and is not able to capture the evolution of the
cutting efficiency. Consider for example, two cutters,
presenting different state of wear but characterized by
the same G ratio (Figure 4). For a given weight on bit
W , the rate of penetration will not be the same for both
tools. The depth of cut (or the rate of penetration) will
depend on the effective area of contact on the wear
flat/rock interface as stated earlier.
Figure 4. Comparison of two different cutters with same G
ratio under same weight.
 4 OBJECTIVES OF THE RESEARCH position along the friction line is controlled by the
state of wear of the cutter (Aw ).
The purpose of the research is to develop a new experi-
mental procedure which could help in analysing results
of wear tests. The procedure is based not only on the 5 TESTING PROCEDURE
G ratio, but also on the cutting efficiency.
Cutting efficiency is defined within the phe- 5.1 The testing device
nomenological framework developed by Detournay
Wear tests are performed on a automatic fully instru-
and Defourny (1992) as the intrinsic specific energy
mented shaper (Figure 6). The cutter is attached to
divided by the specific energy E.
a loadcell (Figure 7) measuring the applied forces
continuously while cutting.

5.2 Rock tested

The specific energy means the amount of energy
Wear tests are performed on 20 cm large cubic blocks
required to cut a unit volume of rock. The word intrin-
of red Vosges sandstone (Figure 6 and Figure 7).
sic emphasizes that this energy is strictly used for the
The Vosges is an abrasive sandstone; it is also a ref-
pure cutting action.
erence sandstone in rock cutting in the Rock Mechan-
Measuring the efficiency at any time while cutting is
ics Laboratory of University of Mons (hundreds of
equivalent to monitoring the evolution of the cutting
tests have already been performed in the red Vosges
performance of the tool. The tests analysis will not
sandstone); and finally it is available in large volume.
only be based on the conventional determination of
the volumes of rock removed and cutter lost, but also
on the evolution of the force magnitude during the test.
The evolution of the efficiency can be visual-
ized through the specific energy (E) versus drilling
strength (S) diagram of the Detrournay and Defourny
phenomenological model (DD model). E and S are
respectively defined as

where Fs and Fn are respectively the tangential and

normal components of the force applied to the cutter,
and Ac the cross sectional area of the cut.
This plot shows a constraint on the cutting response
that accounts for cutting and frictional process simul- Figure 6. Automatic and fully instrumented shaper used to
taneously. The cutting point is defined for a perfectly perform wear tests.
sharp cutter where E = and S = . All the points
associated with tests performed by worn cutters lay
down along the friction line in the E-S diagram. The

Figure 5. E-S diagram (After Dagrain, 2005). Figure 7. Cutter and loadcell attached on the shaper.

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 5.3 The cutters
In order to develop the interpretation procedure,
we had to simplify the experiments. Due to shaper
limitations (maximum size of the samples, testing
length) and wear resistance of PDC, we finally decided
to perform tests on metalic 19 mm diameter circular
cutters: aluminium and steel.
profile the depth of the grooves. The scanned profiles
obtained are integrated to get the cross sectional area
of the different grooves. Figure 10 gives the principle
of the laser scanning.
The volume of metal lost on the cutter Vc is com-
puted based on parameters extracted out the scanned
profiles: the maximum wear flat width w1 , the width
of the wear flat friction zone w2 (Figure 11).

5.4 The testing procedure

The test is performed by imposing an initial depth of 6 TESTS RESULTS
cut d and setting the relative position of the cutter with
respect to the rock sample. Due to rock abrasiveness, Figure 12 presents a block of red Vosges sandstone
the cutter wears, and the real depth of cut decreases after testing with an aluminium cutter : the initial depth
progressively. At any time t during the test, the sum of of cut was set to 0,75 mm.Twenty two cuts were needed
the real depth of cut d(t) and the height h(t) lost on the to wear the aluminium cutter over a height equal to the
tool is equal to the initial depth of cut d, Figure 8. The initial depth of cut. In the case of the steel cutter, 100
test is stopped when the cutter does not cut the rock cuts have been performed to reach a final height of
any more, in other words, when the final height lost on wear equal to 0,75 mm.
the tool H is equal to the initial depth of cut d. Rock
samples are grinded with the shaper before testing to
guarantee an initially perfectly flat surface.
The test is actually performed by cutting along the
sample and translating the cutter until the cutter is
totally worn (Figure 9).

5.5 Parameters measured while testing

In order to compute the cutting efficiency and the G
ratio, five parameters are recorded while testing.
The applied forces on the cutter: Fn and Fs ;
The cross sectional area of the cut Ac ;
The volume of metal lost on the cutter Vc ;
The volume of rock removed by the cutter Vr .
Normal and tangential forces, respectively Fn and
Fs , are measured continuously by a load sensor during Figure 9. Cutter translation while testing.
the test.
In order to compute efficiency, a precise measure of
the cross sectional area of the cut Ac is needed at any
time. In order to assess Ac , laser scanning of the block is
conducted at the end of the test. 10 scans are performed
perpendicularly to the testing direction every 2 cm to

Figure 8. Testing procedure principles. Figure 10. Principle of laser scanning at the end of the test.

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Copyright 2006 Taylor & Francis Group plc, London, UK

 6.1 Laser scanning of the cut
Profiles of few cuts scanned after testing are presented
in Figure 13. These profiles allow the determination
of the cross sectional area of the cut at any position
along the sample by integrating the signals recorded.
Figure 11. Definition of the different parameters measured
while testing, after laser scanning or finally by scans analysis.
Figure 12. Example of a red Vosges sandstone block after
testing.
Figure 13. Profiles of the cut for different levels of wear
aluminium cutter.
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Copyright 2006 Taylor & Francis Group plc, London, UK
The effect of wear is clearly observed on the pro-
files. The cross sectional area and the width of the wear
flat friction zones are decreasing along the test due to
the wear of the tool.
6.2 Efficiency computation
6.2.1 E-S diagram
Tangential and normal forces measured continuously
along the test and cross sectional areas determined by
laser scanning are used to compute the specific energy
E and the drilling strength S. Force signals are aver-
aged over the 2 cm around the position where the cross
sectional area of the cut has been computed. The E-S
diagram of the wear test is presented in Figure 14.
6.2.2 Measure of the intrinsic specific energy
The intrinsic specific energy can be determined based
on the equation of the friction line in the E-S diagram
(E = (1 ) + S) or by doing preliminary cutting
tests with a nominaly sharp cutter.
In the case of cutting tests performed with a per-
fectly sharp cutter, the DD model gives the expression
of the tangential and normal components of the total
force respectively as
Intrinsic specific energy and factor can be
deduced from results given Figure 15
Results presented in the E-S diagram are coherent
with the preliminary cutting tests:
Figure 14. E-S diagram of the wear test.

Figure 15. Results of tests performed with a nominally
sharp cutter in Vosges sandstone.
Figure 16. Comparison of the evolution of the cutting
efficiency along the wear test for aluminium and steel cutters.
The intrinsic specific energy may be deduced imme-
diately from the wear test without performing prelim-
inary tests with a nominaly sharp cutter.
6.2.3 Efficiency
The state point of the cutter moves on the friction line
in the E-S diagram (Figure 14) confirming the increase
of wear flat area during the test. The increase of wear
is associated with an increase of specific energy E.
Consequently, the cutting efficiency is decreasing
along the wear test.
Figure 16 compares the evolution of the cutting effi-
ciency for the aluminium and steel cutters along the
wear tests. Cutting efficiency decreases faster for the
aluminium than for the steel. The efficiency procedure
can be used to compare cutter wear performances.
6.3 G ratio computation
Based on the profiles it has been possible to compute
the volume of tool lost and the volume of rock removed
during the test. Evolution of both volumes for the alu-
minium cutter is presented in Figure 17. An important
observation is that the G ratio is not a constant.
The main difference between the efficiency and the
G ratio is that the G ratio does not take into account
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Copyright 2006 Taylor & Francis Group plc, London, UK
Figure 17. Evolution of the volume of tool lost and volume
of rock removed along the wear test aluminium cutter.
Figure 18. Comparison of the evolution of the G ratio and
cutting efficiency along the wear test aluminium cutter.
the measured forces. A comparison of the G ratio and
the cutting efficiency is presented in Figure 18. The
two cutting regimes can be observed: efficient cut-
ting process characterized by higher efficiency and
low G ratio; inefficient frictional process character-
ized by low efficiency (low depth of cut) and high G
ratio.
7 CONCLUSION
This paper gives an illustration of a new testing
procedure developed to track the evolution of the cut-
ting performance (cutting efficiency) as the cutter
wears out.
The procedure already shows that based on the evo-
lution of the efficiency, it is possible on one hand to
compare performances of different cutters (for exam-
ple comparison of the aluminium and steel cutters),
but also on the other hand to analyze simultaneously
G ratio and cutting efficiency to classify the cutting
regimes.
The procedure is promising but needs more devel-
opment and will have to be automated on the shaper to
get faster results. The efficiency method also needs to
be adapted on lathes like the ones usually used by PDC
manufacturers to be able to perform heavy wear tests
 on PDC cutters. This method will requires a particular [4] Dagrain F. & Richard T. On the influence of PDC
setup for measuring correctly the cross sectional area wear and rock type on friction coefficient and cut-
of the cut while doing the test at high angular velocity ting efficiency. Eurock 2006, May 912, 2006, Lige,
and under water. Belgium.
[5] Glowka A. Development of method for predicting the
performance wear of PDC drill bits. Sandia Report 86-
REFERENCES 1754, Sandia national laboratories, 1987.
[6] Nishimatsu Y. On the effect of tool velocity I rock cut-
ting. Symposium on Mining and Machinery, 26 July
[1] Cook N.G.W. Wear on drag bits in hard rock, comptes
1979, Brisbane (Australia), pp. 314319.
rendus du 14e symposium canadien de mcaniques des
[7] Ortega A. & Glowka D.A. Frictional heating and con-
roches, 13-15 mai 1982, Vancouver (Canada), dit par
vecting cooling polycristalline diamond drag tools
SME, Littleton, Colorado (USA).
during rock cutting, SPE journal, April 1984, pp.
[2] Detournay E. & Defourny P. A phenomenological
121128.
model for the drilling action of drag bits. Int. J. Rock
[8] Zum Gahr K.H. Microstructure and Wear of Materials.
Mech. Min. Sci. and Geomech. Abstr., 29(1) : P.1323,
Elsevier, Amsterdam,1987.
1992.
[3] Dagrain F. & Germay C. Measure of rock mechanical
properties from scratching test. AAPG International
Conference and Exhibition, September 1114, Paris,
2005.

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Copyright 2006 Taylor & Francis Group plc, London, UK

 4.3 Field experiments and case studies

Copyright 2006 Taylor & Francis Group plc, London, UK

 EUROCK 2006 Multiphysics Coupling and Long Term Behaviour in Rock Mechanics
Van Cotthem, Charlier, Thimus & Tshibangu (eds)
2006 Taylor & Francis Group, London, ISBN 0 415 41001 0

Different approaches to fracturation of marble rock the case study of

the St Beat tunnel (French Pyrenees)

M. Gasc-Barbier, D. Virely & J. Guittard

Laboratoire Rgional des Ponts et Chausses, 1, av du colonel Roche, Toulouse, France

V. Merrien-Soukatchoff
Laego, Ecole des Mines de Nancy, Parc de Sarup Nancy cedex, France

ABSTRACT: A 1 km long tunnel is planned to offer an alternative way round the town of St Bat (Pyrenees
South of France). The studied zone belongs to the Pyrenean metamorphic internal zone, which is characterized
by marble limestone and dolomite. The objectives of the study set out in the paper is to obtain the proper geo-
logical and geomechanical model of the area where tectonic events have given the rock mass a complex and
highly fractured structure. The paper will focus on the study of the fracturation in the area, based on the regional
geological and tectonic features, on field investigations, on horizontal boreholes including logging and on
rock matrix and mechanical testing of joints.

1 INTRODUCTION on aerial photo interpretation, on rock matrix and on

Highway 125 is one of the few roads passing through
the central Pyrenees at a medium altitude. It crosses
the town of St Bat that is built at the bottom a steep
slope on a narrow pass along the Garonne River val-
ley. At that place, high cliffs overhang the town and
the road. Thus, when the project of an alternative way
was discussed, the choice of a tunnel seemed evident.
The first stage of the study of the project made from
bibliographical analysis, was realized with the help of
OMG, the company which exploits a marble under-
ground mine, near St Bat. OMG gave us access to
many investigations realized on the marble limestone
of the site and gave us also access to an abandoned
gallery (la galerie du Chteau the castle gallery) of reminding foliation Then three successive tectonic
situated above the entry of the tunnel in which different
studies were realized (see Fig. 2). This gallery is par-
ticularly interesting because even if no reinforcement
was realized, all the vertical walls (8 m high) and the
roof are perfectly stable (see Fig 1). So we think that
this site is of particular interest to improve our knowl-
edge of rock behavior and to compare observation,
measurement, model and theory.
2 SCOPE OF THE TUNNEL PROJECT
We wont develop all the studies realized for the tun-
nel project but we will focus on the fractured part.
The knowledge of the area was based on field inves-
tigations (systematical statement of discontinuities),
mechanical testing of joints. Recent investigations
were composed of horizontal boreholes including log-
ging and in situ mechanical testing. The purpose of this
paper is to illustrate how to propose a geometrical and
geological model of the area, based on various in-situ
and mainly 2D information.
2.1 In situ prospection
The studied zone belongs to the Pyrenees metamorphic
internal zone, which is characterized by marble lime-
stone and dolomite. The initial structure of the rock is
supposed to be layers (that are at present subvertical)
but due to recent metamorphism there is a lack trace
events have affected the rock mass. Consequently the
massif is highly fractured (Fig. 1).
Seven different facies will be successively met
along the tunnel, all of them are marble, marble brec-
cia or limestone. Their mechanical properties are
presented in Table 1.
2.2 Laboratory testing
Three horizontal core drilling were realized SCH1,
SCH2 and SC304, the last in order to have informa-
tion on the future access gallery. SCH1 is 110 m long;
it starts in the castle gallery and goes south (dip direc-
tion N 135). It helped to understand the geology of
the castle cliff and gave many samples of white mar-
ble. SCH2 is 200 m long and was realized from the
south head to the north (dip direction N 343). It gave

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 600 listed joints. Half of them were mapped on the Cas-
tle gallery. The exact position of the 7 lines (horizontal
and vertical) realized in this gallery and the axis of the
future tunnel have already been presented in (Guittard
et al., 2005): as often as possible vertical and horizon-
tal lines were associated in order to have a maximum
information in all directions, and different faces of the
gallery were also mapped in order to be as exhaustive
as possible. Systematical statement was realized as fol-
low: a straight line (about 15 to 18 m long) is drawn.
Each joint which cuts that line is collected follow-
ing Chantron & Zumbo (2002). That means mapping
dip, dip direction, spacing, trace length, weathering,
aperture, infill and roughness for each cracks encored.
All stated cracks are then reported on a Wulf (or
Figure 1. Photograph of the Castle gallery. See the ver-
Schmidt) diagram to find out the main families. This
tical walls (about 10 m high) and roof, stable without any enables us to have statistical means of the families
reinforcement. properties. 4 joints families were reported thanks to
the works realized on the Castle gallery.
Table 1. Mean mechanical characteristics of the rocks. The tunnel area was also covered by BRGM (ear-
lier global statement) and CETu (systematical state-
Type of rock Rc Rt Vp Vs1 Vs2 ment but in other places than those we studied).

Recrystallized limestone 82 8,3 6671 3294 3485 3.2 Logging

Romane breccia 78 5,2 5900 3166 3182
Dark massive breccia 68 5,5 6106 3156 3246 Optical camera loggings were performed by EGS (a
Filling breccia 60 6,4 6239 3126 3302 Luxembourg society, see [Laurent, 2005]) on the hor-
Pale grey limestone 93 7,9 6368 3314 3377 izontal boreholes. Fig. 2 shows SCH2 stereogram (the
Banding limestone 108 10,8 6407 3378 3366 arrow corresponds to the borehole axis). More than
Massive breccia 48 5,5 5447 2700 2790 2000 cracks were listed along the boreholes.
We know that boreholes induce shadow zone for
joints imaging but as there were not all in the same
us information on the breccia facies, both on a fault dip direction and because of all the systematical state-
zone and on a supposedly karstic area. ments realized, we can hope not to have forgotten any
Samples coming from SCH1 and SCH2 were tested important crack family.
in our laboratory. Table 1 summarizes the mechanical Furthermore, in order to be sure not to be influenced
properties of the different rocks met along the tunnel. by the important number of cracks found thanks to the
It shows that most of them are isotropic. Measured val- loggings, we chose, in a first step, to study separately
ues of Rt (510 MPa) and Rc (50110 MPa) are quite all sources of information. All those statements lead to
classical for marble rocks (Khanlari & Mohammadi, the identification of 7 joints families which are listed
2005, Panet et al., 1976, Ramamurthy, 2004). Even the on Table 2 and represented on Fig 3. Table 3 shows
cemented breccia shows an important Rc. how the cracks families have been recognized.
Shear tests were also realized on 3 discontinuities
sampled in the white marble. They gave a shear stiff-
ness Ks of about 15.6 MPa/m which correspond also to 4 STRUCTURAL MODELISATION
classical values (Son et al., 2004), but we werent able
to propose parameters of the Mohr law for the joints. With all the collected information we tried to propose
All those experimental results allow us to choose a structural model. The first scope of this model is
mean values for the mechanical properties and mix all to reproduce as well as possible but also as simply as
the different types of rocks altogether to consider only possible what has been observed on site. It should nt
one generic rock. be forgetten that the St Beat tunnel is not such a big
project and we tried to have a very practical approach.
We decided to take into account only one generic rock
3 STUDY OF FRACTURING and to work on a reduce model.
We started with stability analysis using Resoblok
3.1 On field prospection software. Resoblok ([Heliot, 1988]; [Asof, 1991]
More than 140 m were systematically mapped for dis- [Baroudi et al., 1992]; [Koroni et al., 1995]) has been
continuities survey, which correspond to more than developed at the LAEGO, (a university laboratory in

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Copyright 2006 Taylor & Francis Group plc, London, UK

 Figure 2. General map of the future tunnel with implementation of the borehole and the Castle gallery.

Figure 2a. Example of the result of joints logging: SCH2.

Figure 3. Cyclographic representation of the 7 measured
Table 2. Description of the stated joints families. families.

Spacing Trace length

Dip Dip direction (cm) (m) Table 3. Statement of the fracturation.

EGS LRPC
F1 3985 120165 10100 010 BRGM LRPC CETu SCH1 LRPC EGS South
F2 3090 205275 070 1.5 Site global gallery Castle SC304 cliff SCH2 entry
F3 7390 290333 multimetric multimetric
F4 4077 170215 010 030
F1
F5 740 250347 0100 02
F2
F6 429 25545 010 01
F3
F7 3084 4585 150 03
F4

F5

F6
Nancy (France)). It allow to perform stability analysis F7
based on the principle of the key-blocks [Goodman et
Shi, 1985] and used Warburtons stability algorithm
[Warburton, 1981].
We made many simulations but we will focus here
The fracture families can be described statistically
on four cases:
or deterministically and for one scenario file numerous
simulations can be conducted in order to statistically case 1: all the 7 joint families,
analyze the results. Mohr-Coulombs law is considered case 2: only the 4 families measured in the Castle
for the joints mechanical properties. gallery

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 case 3: only the 4 more representative joints families for a single simulation. The importance of a good
(F1, F2, F3 and F5 in Table 2) choice for the cohesion value is shown again, but prob-
case 4: the 4 families recalculated with a com- ably more important is the illustration of the geometry
plete stereogram including all the cracks measured choice compare to the volume of instable blocks. When
and reinterpreted without taking into account the forgetting some fracture families, the stable volume
way they were stated (cf table 4). The main prob- is much more important.
lem of this approach was the risk to be influenced Resoblok also give the repartition of the volume of
by the important number of cracks coming from each single instable block (see Fig 6) which could be
the logging cameras and to obtain all the required
information.
All the simulations were realized considering a 10 m
long cube and using different values of joint properties.
We wont present all the results but will focus
on the main ones. Fig 4 presents the created block
(10 10 10 m) with the 7 families. Fig. 5 shows the
importance of a good knowledge of the value of cohe-
sion for the joint law (here for case 4). Fig 5a represents
all the moving blocks when cohesion is null; in that
case all the blocks in the roof collapse, which corre-
sponds to 48,97 m3 and Fig. 5b represents the same
moving blocks when cohesion is equal to 20 kPa (very
few blocks are moving, about 0,071 m3 ).
Figure 5. Case 4: Comparison of the stability analysis (rep-
Table 5 proposes a comparison of the moving blocks resentation of all moving blocks) with cohesion (a) = 0 and
volume obtained in the four different cases exposed (b) = 20 kPa in the joint law.

Table 4. The four recalculated families.

Table 5. Comparison of the moving blocks in some tested
Dip Dip direction Spacing Trace length cases.
(m) (m)
Cohesion Volume Nb instable Mean vol
D1 74 147 0.5 2 (kPa) (m3 ) blocks (m3 )
D2 85 204 1 1
D3 84 319 1 1 case 1 0 66.872 90 0.743
D4 7 279 1.2 0.01 case 1 20 0.043 1 0.043
case 2 0 21.876 39 0.561
case 2 20 0.013 4 0.003
case 3 0 27.272 51 0.545
case 3 20 0 0 0
case 4 0 48.97 119 0.412
case 4 20 0.071 7 0.01

Figure 4. 3D representation of the massif with the 7 joints

families (colors have no meanings). Figure 6. Histogram of the stabilitys analysis (case 4).

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Copyright 2006 Taylor & Francis Group plc, London, UK

 of real interest. In fact, as seen in the histogram, even if
the total number of blocks is important the majority of
them have a low volume (less than 0,25 m3 ) and they
can be remove by scaling.
Comparing the results obtained with a null cohe-
sion, the total volume of instable blocks can vary from
about 27 to 67 m3 , only because of the geometry cho-
sen (no other mechanical parameters were changed).
The most important volume is obtained when 7 fam-
ilies are considered, but the more important number
of instable blocks is to be found in case 4 (the mean
volume is half what it was in case 1). More simulations
can be possibly run taking into account bolting (Korini
et al. 1993).
5 CONCLUSION
Because on the site most of the visible fractures are
open (which corresponds to a null cohesion) we may
wonder what cohesion value would have been chosen
if the Castle gallery didnt exist and hadnt shown that
no reinforcement was really needed, and what would
be the implications in terms of bolting.
Furthermore a important question is in our case,
how to choose a real value for the cohesion of the rock.
Should it be derive from Rt, should we realize more
shear tests on discontinuities (which can be considered
expensive and un-useful by the given-order?
In other words our main questioning is what do we
have to measure and what do we have to make assump-
tion on? for which model? In our area, working on
small projects, how can we create a link between
complex model and the time of the study which is
often short and with practical results.
Now, even if the tunnel studies are nearly finish,
we continue to work on the data, in order to improve
our knowledge of rock science for very practical and
money less projects.
Another important point is the representativity of
the samples, the problems linked to the orientation of
the statement (or the boreholes). The realization alto-
gether of systematical statement and optical cameras
logging should be a way to obtain more objective data,
but we still work on that point.
At least, the extrapolation of the data which are nec-
essary local is very difficult and is still under study by
many authors (Fouch et al., 2002; Alfonsi et al., 2004;
Rajmeny et al., 2004; Ramamurthy, 2004; Alfonsi et
Fouch 2005).
REFERENCES
Alfonsi P. & Fouch O., 2005: Geological hazard assessment
in tunneling throught rock masses: need and difficulty
of stochastic fracture network simulation. Goline 2005.
2325 mai 2005. Lyon. CD-Rom.
623
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Alfonsi P., Fouch O. & Bourgeois E., 2004: Foundation on
rock : effect of rock fractures on settlement of bridge
piers. First UDEC/3DEC Symposium Bochum (Alle-
magne), 30 sept. 1 oct. 2004. Rotterdam: Balkema
Asof M., 1991: Etude du comportement mcanique des mas-
sifs rocheux fracturs en blocs (mthode lquilibre
limite) : ralisation et applications. Thse de doctorat de
lINPL de Nancy, 142 p.
Baroudi H., Asof M. & Piguet J.-P., 1992: Bench stabil-
ity in open pit mines : a methodology for jointed rock
masses. Regional conference on fracturated and jointed
rock masses. Lake Tahoe, California, June 35 1992.
Chantron L. & Zumbo V., 2002: Formalisation des critres
descriptif dun massif rocheux Mise au point dune
feuille de saisie des discontinuits. JNGG 2002, 8 et 9
Octobre 2002, Nancy. France
Fouch O.,Alfonsi P., Chantron L. & Durville J.-L., 2002: Des
forages la simulation mcanique des massifs rocheux ;
lapport dune approche probabiliste 3D des rseaux de
discontinuits. JNGG 2002, 8 et 9 Octobre 2002, Nancy.
France
Goodman R.E. & Shi G.H., 1985: Block theory and its
application to rock engineering. New Jersey: Prentice
Hall.
Guittard J., Souvignet S., Gasc-Barbier M. & Virely D., 2005 :
Field investigations realized for St Beat tunnel (France
31). Goline 2005. 2325 mai 2005. Lyon. CD-Rom
Hliot D., 1988: Conception et ralisation dun outil Intgr
de modlisation des massifs rocheux fracturs en blocs.
PhD Thesis INPL.
Khanlari G.R. & Mohammadi S.D., 2005: Instability assess-
ment of slopes in heavily jointed limestone rock. Bull Eng
Geol Environ (2005) 64: 295301.
Korini T., Soukatchoff V. & Bennani M., 1993: Optimisation
du soutnement par boulonnage des excavations creuses
dans un massif rocheux fractur en blocs. 4me col-
loque franco-Polonais : Gotechnique et environnement,
Nancy, 1617 novembre 1993, pp 91102 (ISBN : 2-
85555-048-3).
Laurent S., 2005: Optical and acoustic borehole imagery for
precise structural data. Goline 2005. 2325 mai 2005.
Lyon. CD-Rom
Panet M., Fourmaintraux D., Gaudin B., Ricard A,
Rochet L. & Rotheval J.-P., 1976: la mcanique des roches
applique aux ouvrages du gnie civil, Document de
formation continue de lEcole Nationale des Ponts et
Chausses.
Rajmeny P.K., Singh U.K. & Rathore S.S., 2004:A new model
to estimate rock mass strength accounting for the scale
effect. Int. J. of Rock Mech. & Mining Sc. 41(2004) 1013
1021.
Ramamurthy T., 2004: A geo-engineering classification for
rocks and rock masses. Int. J. of Rock Mech. & Mining Sc.
41 (2004) 89101.
Son B-K., Lee Y-K. & Lee C-I: Elasto-plastic simulation of a
direct shear test on rough rock joints. SINOROCK 2004
Symposium. Paper 2A 07. Int. J. of Rock Mech. & Mining
Sc. 41 (2004) 425 and CD-Rom.
Warburton P.M., 1981: Vector stability analysis of an arbitrary
polyhedral rock block with any number of free face. Int.
J. of Rock Mech. Min. Sci. & Geomech. Abstr. 18 (1981)
415427.
 EUROCK 2006 Multiphysics Coupling and Long Term Behaviour in Rock Mechanics
Van Cotthem, Charlier, Thimus & Tshibangu (eds)
2006 Taylor & Francis Group, London, ISBN 0 415 41001 0

A case study of determining orientations of in-situ horizontal

principal stresses based on electrical images of borehole failures
at a deep drilling project

W. Lin, E-C. Yeh, W. Soh, M. Kinoshita, H. Ito

Japan Agency for Marine-Earth Science and Technology (JAMSTEC), Yokosuka, Japan

J-H. Hung
National Central University, Jhongli, Taiwan

ABSTRACT: Orientations of in-situ horizontal principal stresses were determined by using both drilling
induced borehole compressive failures (breakouts) and tensile fractures from electrical images obtained in the
Hole-B of Taiwan Chelungpu-fault Drilling Project (TCDP). Overall, the orientation of the in-situ maximum
horizontal principal stress SHmax is parallel to the dip direction of rock formations in the studied depth of 950
1350 m. However, SHmax orientations in the depth of 1130 m and 1190 m seem to be perpendicular to the dip
direction of the formations.

1 INTRODUCTION [Ma et al., 2000]. In order to solve riddles about

Determination of rock stress at great depth provides
key information in various geoscience and geoengi-
neering problems such as earthquake generation,
rupture propagation, borehole stability and resource
exploitation. However, there is no single perfect
method to measure the rock stress at great depth,
although various field and laboratory measurement
techniques have been proposed to date. In a deep
drilled borehole, drilling induced compressive fail-
ures (breakouts) and/or tensile fractures may occur,
according to the condition of depth, magnitude of
in-situ stress, drilling fluid density and rock compres-
sive and tensile strengths. Since both drilling induced
failures and fractures are dependent on in-situ stress
conditions, we can utilize their geometry informa-
tion observed by ultrasonic televiewer images and/or
electrical images of borehole walls to estimate orienta-
tions and magnitudes of in-situ principal stresses in the
plane perpendicular to a borehole axis [Zoback et al.,
2003]. These techniques have been applied in many
deep scientific drilling wells, for example, the KTB
borehole by Brudy and Zoback (1993), the Kola super
deep borehole (SG-3) by Savchenko and Kozyrev
(2003), and the SAFOD pilot hole by Hickman and
Zoback (2004); and then have been proved to be an
effective method.
The 1999 Chi-Chi, Taiwan earthquake (Mw7.6)
produced spectacular surface faulting with vertical
displacements of up to 8 m on the Chelungpu-fault
the mechanism of earthquake generation and the rup-
ture propagation of the fault, Taiwan Chelungpu-fault
Drilling Project (TCDP) was undertaken [Mori et al.,
2002]; and two holes, Hole-A with maximum depth
2000 m and Hole-B with 1350 m were drilled. For
scientific purposes, one of the main issues is to deter-
mine the spatial distribution of in-situ stress and, in
particular, to determine the shear stress and normal
stress on the fault planes before, during, and after
the earthquake. A wire logging of Fullbore Formation
Micro-Imager (FMI) was conducted to obtain electri-
cal images of borehole wall in the Hole-B. We analyzed
both the drilling induced borehole failures and frac-
tures by using these images to determine orientations
of horizontal in-situ principal stresses. Preliminary
results of the stress orientation determination will be
shown in this paper.
2 ORIGINS OF BREAKOUT AND DRILLING
INDUCED TENSILE FRACTURE AND
THEIR APPLICATIONS
2.1 Breakoutdrilling induced compressive failure
When a borehole is drilled vertically, normal stress
parallel with the axis of borehole will usually be one
of three principal stresses and furthermore there must
be two other principal stresses in the horizontal plane.
Lets consider the maximum principal stress SHmax and

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 Figure 1. Schematic illustration of borehole failures, both (a) compressive failure (breakout) [after Amadei and Stephanson
(1997)] and (b) tensile failure (drilling induced tensile fracture).
the minimum principal stress Shmin in the horizontal
plane are oriented as in Figure 1(a). Then, the max-
imum effective hoop compressive stress max will
occur at two positions of A (see the Figure 1(a))
in the borehole edge; and the minimum min will
occur at positions of B. In addition, the orientation
of the maximum hoop compressive stress max will
be parallel to that of the maximum principal stress
SHmax. Furthermore, if the stress concentration at posi-
tions of A reaches rock compressive strength and
the minimum stress min is less than the strength,
the drilling induced compressive failures (breakouts)
might occur at positions of A but not at positions of
B. Thus, the shape of the borehole in plane view will
not be a true circle, but will be an irregular circle with
two breakouts at orientations of the minimum hori-
zontal principal stress Shmin (see the dotted line and
real line in the Figure 1(a)). Therefore, these charac-
teristics can be applied to determine orientations of
horizontal principal stresses by using the geometry
information of the horizontal borehole shape observed
by electrical images and/or ultrasonic televiewer
images.
2.2 Drilling induced tensile fracture
As the origin of breakout mentioned above, when nor-
mal stress, parallel with the axis of vertical borehole,
is one of three principal stresses, two other principal
stresses SHmax and Shmin must exist in horizontal plane.
When the drilling fluid pressure PMud (see the Fig-
ure 1(b)) is higher than the minimum stress Shmin , the
effective hoop stress () at the borehole wall will
became tensile stress. In addition, the maximum ten-
sile hoop stress min will occur at the positions of
B shown in Figure 1 (b). Moreover, when the abso-
lute value of the minimum effective hoop stress min
Copyright 2006 Taylor & Francis Group plc, London, UK
reaches tensile strength of the rock, tensile fractures
will be induced along the orientation of the maxi-
mum horizontal principal stress SHmax . Therefore, as
the breakout section mentioned above, we can apply
the tensile fractures to determine the orientations of the
principal stresses in the horizontal plane by using the
image logs of borehole wall.
3 TEST SITE AND LITHOLOGY
A humongous and damaging earthquake (Mw 7.6)
occurred at the west-central Taiwan on Sep. 1999.
Its hypocenter is located near the country town of
Chi-Chi at the depth about 10 km. The epicenter of
the earthquake and the trace of its surface ruptures
along the Chelungpu-fault during the earthquake were
shown in Figure 2 (a) [Ma et al., 2003]. The total
length of surface ruptures along the north-south trend-
ing Chelungpu-fault is more than 80 km. In addition,
results of seismological observation revealed that the
slip displacement and slip rate increased but the high-
frequency acceleration decreased when the rupture
propagated from south to north. The observations sug-
gested that the fault at northern part was lubricated
during rupturing. Moreover, various data of GPS and
field surveys showed that the fault scarp of the rupture
had vertical offsets of 2 to 6 meters at southern part.
However, the vertical offsets reached 810 m at the
northern part. Therefore, the drilling site of TCDP (see
the solid circle shown in Figure 2(a)) is located in the
northern segment of the surface rupture. Furthermore,
the fault slip displacement at the depth underneath the
drilling site was estimated to be the largest.
TCDP drilled two vertical holes; and two holes
are only a short distance of about 40 m away on the
ground. Needless to say, both the Hole-A and the
626
 TCDP
Hole-A&B
(a) (b)
Figure 2. (a) Map of epicenter (star symbol) of the 1999 Chi-Chi, Taiwan earthquake (Mw7.6), surface rupture (real line
with total length more than 80 km) of the Chelungpu-fault during the earthquake and the TCDP site (solid circle symbol) [after
Ma et al., 2003]. (b) Geological cross section at the TCDP site [after Hung et al., submitted]. (c) Lithology column of TCDP
Hole-B in the depth range from 950 m to 1300 m by core description [after Yeh et al., 2005].
Hole-B were penetrated through the Chelungpu fault
system. The first drilled hole (Hole-A) was pene-
trated to a maximum depth of 2003 m; all cores were
continuously retrieved in the depth from 500 m to
2003 m. The second hole (Hole-B) reaches a max-
imum depth of 1353 m with coring depth ranging
from 950 m to the hole bottom. Lithology of the
Hole-B identified by the core description is shown
in the Figure 2(c). All the lithology is sedimentary
rock; and was classified into following five cate-
gories: siltstone or shale, major siltstone/minor sand-
stone, major sandstone/minor siltstone, intensively
bioturbated formation, sandstone corresponding to
the scale from 1 to 5 in the Figure 2(c). Accord-
ing to Yeh et al. (2005), downward lithology col-
umn of Hole-B was identified as Cholan Formation
(950 1040 m, early Pleistocene-Pliocene), Chinshui
Shale Formation (1040 1280 m, early Pliocene), and
Kueichulin Formation (1280 1353 m, late Miocene-
early Pliocene). We conducted the FMI logging in the
depth range from about 930 m to 1330 m of the Hole-
B; and used its image to analyze breakouts and drilling
induced tensile fractures.
Chelungpu-fault is the active fault slipped during
the Chi-Chi earthquake of September 1999.As a result,
the FMI logging we conducted in the Hole-B was
about 5 years and 7 months lapsed from the last slip
event. During coring, in the depth range of Chinshui
Shale formation, which was considered to be pos-
sible depth range of earthquake rupture propagation
from teleseismic data, three fault zones were encoun-
tered. No confirmed scientific evidence of identifying
which fault slipped during the earthquake has been
claimed yet.
627
Copyright 2006 Taylor & Francis Group plc, London, UK
Lithology
12 3 4 5
900
Sand-
Shale stone
1000
Depth (m)
1100
1200
1300
(c)
4 BREAKOUTS AND DRILLING INDUCED
TENSILE FRACTURES OBSERVED IN TCDP
HOLE-B
We have performed FMI logging two times at almost
same depth range of Hole-B; here we call the first
running (9321338 m) as Pass 1 and the second one
(9341328 m) as Pass 2. At almost all of depths, their
quality of electrical images was relative good. How-
ever, at some depths, electrical images were unclear
duo to bad borehole conditions since Pass 1 and Pass
2 showed the similar quality of vague images at the
same certain depths. In addition, images of the Pass 1
and the Pass 2, generally, showed a good depth agree-
ment to each other. It was confirmed by some key
beds. However, at a few certain depths, the depth of
one Pass was deviated several ten centimeters from
another Pass. But after the logging tool was run several
meters more, depths of two Passes showed good agree-
ment again. This phenomenon might be that logging
pads might be caught in borehole wall; then the log-
ging depth calculated from the wire length displayed an
incorrect value. However, when pads were unfastened,
the tool is on depth again.
Breakouts and drilling induced tensile fractures
occurred at many locations in the investigated depth
range of about 9301330 m. Figure 3 (a) and (b) are
examples of the breakout and the tensile fracture
obtained from FMI logging. Whenever they exist, a
pair of the breakouts or the tensile fractures is always
found at opposite two locations in the borehole walls
as same as shown in Figure 1 (a) and (b). In addition,
orientation differences of two positions are always
about 180 degree. From Figure 3 (a), it should be
 Tensile
Breakout fracture

(a) (b)

Figure 3. Examples of (a) breakouts and (b) drilling induced tensile fractures of electrical image logs obtained at depths of
around 1290 m and 945 m respectively in TCDP Hole-B. FMI static and dynamic images are shown in the central and right
column respectively for each figure. Images are unrolled images based on electrical data of the borehole wall; and the left
edge of the image is corresponded to the north orientation. In the images, dark color means conductive whereas light color
means resistive. Curves in left column of each figure show the resistivity variation with the depth.

noted that the width of breakouts is not a constant, but
varied frequently with the depth.This fact suggests that
determining the magnitude of the horizontal maximum
principal stress SHmax by means of measuring the width
of breakouts may be difficult in this study site. We also
noticed that the tensile fracture is not always formed
at a constant orientation. It may be due to changes of
the orientation of the principal stress and/or variations
of rock strength and anisotropic properties.
In general, both the breakouts and the tensile frac-
tures do not exist at same depth. In comparing the
number of their presence, the breakouts were observed
more frequently than that of the tensile fractures.
Moreover, breakouts can be found in all the rock
types (lithology 1-5); whereas almost all of the tensile
fractures were found in sandstone.
5 IN-SITU PRINCIPAL STRESS ORIENTAIONS
We read off the azimuth of breakouts and tensile frac-
tures from printed paper charts of Pass 1 and Pass 2
with a scale of 1/10 individually. We counted break-
outs when they suit following requirements. They are
(i) failures are compressive failures (for example, to
be wider than a fracture and no sharp boundary like
a tensile fracture), (ii) failures must occur at opposite
two positions, i.e. do not exist only in single side of

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Copyright 2006 Taylor & Francis Group plc, London, UK

 SHmax Azimuth by Breakouts
0 45 90 135 180 225 270 315 360
900
1000
1100
Depth (m)
1200
1300
Pass 1_1
Pass 1_2
1400 Pass 2_1
Pass 2_2
(a)
Figure 4. Azimuth distribution of maximum horizontal principal stress SHmax from (a) compressive failures (breakouts) and
(b) drilling induced tensile fractures.
the borehole wall, and (iii) the compressive failure is
longer than about 0.5 m. Similarly, requirements for
drilling induced tensile fractures are (i) the fracture
looks like to be a tensile fracture, (ii) two fractures
exist at opposite positions, (iii) fractures have a length
longer than about 0.5 m. For both cases of the break-
outs and the tensile fractures, the average azimuth in
every 1 m interval was read off as one azimuth data if
their length is longer than 1 m. For example, if a break-
out has 2 m length, 2 azimuths were read off. And if the
breakout is longer than 0.5 m and shorter than 1.5 m,
we only read off one azimuth from it. Since break-
outs show a comparable width and the tensile fracture
is not straight line, the azimuthal deviation should be
considered to be 10 approximately.
Azimuth distribution of maximum horizontal prin-
cipal stress SHmax determined from compressive fail-
ures (breakouts) and drilling induced tensile fractures
are shown in Figure 4 (a) and (b), respectively. From the
figures, it can be considered that the average azimuth
of maximum horizontal principal stress SHmax concen-
trated approximately in a relative narrow range from
120 to 130 in all the surveyed depth, except at the
depths of around 1130 m and 1190 m. The azimuth
of N120-130 E is coincided with the downdip direc-
tion of bedding. At depths of around 1130 m and
1190 m, the orientations of SHmax are 90 degree differ-
ence, compared with orientations at other locations.
Moreover, this orientation of SHmax at about 1130 m
(Hole-B) is consistent with the stress orientation
estimated by anelastic strain recovery (ASR) method
Copyright 2006 Taylor & Francis Group plc, London, UK
SHmax Azimuth by Tensile Fractures
0 45 90 135 180 225 270 315 360
900
1000
1100
Depth (m)
1200
1300
Pass 1_1
Pass 1_2
1400 Pass 2_1
Pass 2_2
(b)
at 1112 m of Hole-A (approximately corresponding to
1135 m of Hole-B wireline logging depth) [Lin et al.,
submitted].
It is clear that the azimuth plots of the Pass 1
and Pass 2 are consistent. Their correlation of linear
regression is as following:
where A1 and A2 are azimuths from Pass 1 and Pass 2,
respectively. In addition, the correlation coefficients
between A1 and A2 are 0.96 for the breakouts and 0.97
for the tensile fractures. As a result, it can be said that
the orientations of horizontal principal stresses deter-
mined from the breakouts and the tensile fractures
based on the electrical images are reliable.
6 SUMMARY
As a case study, reliable orientations of in-situ horizon-
tal principal stresses were determined by using both
drilling induced borehole compressive failures (break-
outs) and tensile fractures from electrical images in
a deep scientific drilling project aimed for inves-
tigating physical and chemical properties of the
active Chelungpu-fault fault slipped in recent Chi-Chi,
Taiwan earthquake. Overall, the orientation of the
maximum in-situ horizontal principal stress SHmax
in the studied depth range of about 9301330 m is
629
 coincided with the downdip direction of the rock for-
mations. However, the SHmax at the depths of around
1130 m and around 1190 m like to orient at right angle
to the downdip of the formations; that is, Shmin ori-
entation is coincided with the dip azimuth. In future,
we want to give a constraint for the magnitude of
the maximum in-situ horizontal principal stress SHmax
according to theAndersons faulting law and the tensile
strengths of the rock materials.
ACKNOWLEDGEMENTS
A part of this work was supported by Grants-in-
Aid for Scientific Research (Scientific Research C:
16540392) of the Japan Society for the Promotion of
Science (JSPS), Japan. Authors gratefully acknowl-
edge Y. Kawamura of CDEX/JAMSTEC, Japan,
C.-Y. Wang, and K.-F. Ma of NCU, Taiwan for giving
us much helpful support to conduct the FMI log-
ging in TCDP Hole-B. T. Moe of CDEX/JAMSTEC,
M. Kwasniewski of The Silesian University of Tech-
nology, Poland and M. Takahashi of GSJ/AIST, Japan
should also be acknowledged for their useful discus-
sions and suggestions.
REFERENCES
Amadei, B., Stephansson, O., 1997. Rock Stress and Its
Measurement. Chapman & Hall, London, 490p.
Brudy, M. and M. D. Zoback, 1993. Compressive and tensile
failure of boreholes arbitrarily-inclined to principal stress
axes: Application to the KTB boreholes, Germany, Int. J.
Rock Mech. Min. Sci., 30, Pages 10351038.
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Hickman, S. and Zoback. Stress orientations and magnitudes
in the SAFOD pilot hole. Geophys. Res. Lett., 31, L15S12,
doi:10.1029/2004GL020043.
Hung, J.-H. et al.: Physical Property, Subsurface Structure
and Fault Zone Characteristics in Scientific Drill Holes of
Taiwan Chelungpu Fault Drilling Project, TAO (Terrestrial
Atmospheric and Ocean Sciences), Submitted.
Lin, W., Yeh, E.-C., Ito, H., Hirono, T., Soh, W., Wang, C.-Y.,
Ma, K.-F., Hung, J.-H., Song, S. Preliminary results of
stress measurement by using drill cores of TCDP Hole-
A: An application of anelastic strain recovery method
to three-dimensional in-situ stress determination, TAO
(TerrestrialAtmospheric and Ocean Sciences), Submitted.
Ma, K.-F., Song, T.-R., Lee, S.-J. and H.-I. Wu, 2000. Spa-
tial slip distribution of the September 21, 1999, Chichi,
Taiwan earthquake (Mw 7.6) Inverted from teleseismic
data. Geophy. Res. Lett., 27, 34173420.
Ma, K.-F. et al. 2003. Evidence for fault lubrication during
the 1999 Chi-Chi, Taiwan earthquake (Mw7.6), GRL, Vol.
30, 1244, doi:10.1029.
Mori, J., Ito, H. and C.Y. Wang, 2002. Chelungpu fault drilling
could resolve seismological issues, Eos, 83, 255.
Savchenko, S. N. and A. A. Kozyrev, 2003. Current stresses
in the rock mass near the Kola superdeep borehole (SG-3),
Int. J. Rock Mech. Min. Sci., 40, 12711276.
Yeh, E.-C., Lin, T., Lin, W., Hirono, T., Hung, J.-H., Yue,
L.-F., Soh, W., Song, S.-R. 2005. The Existence of Duplex
Structure within Taiwan Chelungpu-Fault Drilling Project
by Core Observation and Logging Data, 2005 AGU Fall
Meeting, T51A1328.
Zoback, M. D., C. A. Barton, M. Brudy, D. A. Castillo,
T. Finkbeiner, B. R. Grollimund, D. B. Moos, P. Peska,
C. D. Ward and D. J. Wiprut, 2003. Determination of stress
orientation and magnitude in deep wells, Int. J. Rock Mech.
Min. Sci., 40, Pages 10491076.
Zoback, M. D., Moos, D. and L. Mastin, 1985. Well
bore breakouts and in situ stress, J. Geophy. Res., 90,
55235530.
 EUROCK 2006 Multiphysics Coupling and Long Term Behaviour in Rock Mechanics
Van Cotthem, Charlier, Thimus & Tshibangu (eds)
2006 Taylor & Francis Group, London, ISBN 0 415 41001 0

The role of rock mechanics in analysing overbreak: application to the

Soumagne tunnel

R.M. Schmitz, S. Viroux , R. Charlier

Universit de Lige, Lige, Belgium

S. Hick
SM-Soumagne, Belgium

ABSTRACT: Overbreak is a considerable cost factor in underground construction. In literature virtually no

information is available relating rock mechanical parameters quantitatively to overbreak. During the construction
(drilling, blasting & mucking) of the Soumagne hard rock tunnel, a high-speed railway tunnel connecting Brussels
to Cologne, the overbreak was studied. Together with sparse information from literature, it was shown that
overbreak can be related to rock mechanical parameters, like the rock mass rating.

1 INTRODUCTION The geology of the Soumagne tunnel (located in

Overbreak is a considerable cost factor in underground
construction. Up to date there are no efficient methods
to predict overbreak during tunnel construction. There-
fore it is difficult for the appointed rock mechanical
engineer to find out ways to reduce it. A literature
survey was started to understand overbreak and to
investigate its rock mechanical background. These
results were published by Schmitz (2003). The prac-
tical application of this knowledge, based on Viroux
(2003) is discussed in this contribution.The goal was to
find a practical method to predict overbeak on the basis
of the geomechanical properties of the rock mass on a
day-to-day basis at the construction site. This problem
was analysed during the construction of the Soumagne
tunnel, which is part of the high-speed rail link between
Brussels, Lige, Aachen and Cologne (see figure 1).
Westphalian, Visean and Namurian formations) was
described by Schmitz and Schroeder (2003).
2 DATA
The acquisition of geological, geometrical data, infor-
mation about the excavation etc. is an important step
in the development of an analysis relating overbreak to
geomechanical properties like: the RMR, the stratig-
raphy, drilling rate of blast holes or reconnaissance
drilling ahead of the tunnel front etc.
The analysis of Viroux (2003, et al 2004) concen-
trated principally on the:
geological characteristics of the tunnel front, such
as the UCS, RQD, stratification, RMR, measured
by the engineering geologists on site

Figure 1. The high-speed rail link between the large cities

in Western Europe. Paris-Brussels is operational since 1993.
The Link Brussels-Antwerp-Amsterdam is currently under
construction. Brussels-Lige is nearly terminated. The con-
nection from Lige to the German border is at present under
construction.
Figure 2. The Soumagne tunnel traverses from the West to
the East: Westphalian (Exploited coal seams, filled with rub-
ble, shale and SST) Visean (LST), Magne fault, Paleokarts
Visean-Namurian contact, Namurian (thin coal seams and
shales). Figure from Schmitz and Schroeder (2003).

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Copyright 2006 Taylor & Francis Group plc, London, UK

 overbreak measurements measured by the geodetic
team
information on drilling rates (reconnaissance
drilling)
At the time of the investigations (end 2002 to
September 2003) the tunnel was still excavated at 4
tunnel fronts at the same time. Therefore data was not
yet available for the entire tunnel. A detailed study was
performed on a stretch of several 100 m length in the
zone relating Vaux-sous-Chvremont (in the West) to
the shaft at Bay Bonnet.Although this zone is limited in
length it shows a variety of geomechanical properties,
which characterise the other zones as well.
We would like to stress that the data used in this
analysis is based only on that type of data that can be
Figure 3. Tunnel front drawing with important geomechan-
measured during active tunnel construction without ical features made by the engineering-geologists after each
causing obstruction or additional costs. blasting cycle. Figure from Viroux (2003).

3 DIGITALISATION

After each blasting cycle the tunnel front is analysed

by the local team of engineering-geologist. The for-
mations are identified, structural features are marked,
the general constitution of the rock is described and
the RMR is estimated. This information is available in
hand-drawn images (of each tunnel front after blasting)
like the one shown in figure 3.
This information, contained in handwritten forms,
has to be digitised first. The figures are scanned, the
circumference of the tunnel is characterised by sev-
eral points of known (x,y) coordinates. The part of
the discontinuities (like bedding planes, fractures, fold
axis etc.) close to the tunnel circumference are char-
acterised by at least 4 coordinates. The orientation of Figure 4. The theoretic tunnel circumference and the mea-
these discontinuities is determined by linear regres- sured tunnel profile after excavation. Figure from Viroux
sion based on the least squared error method to find (2003).
functions in the x,y coordinate system. Once the func-
tion describing the orientation of the discontinuities
and the tunnel circumference are known, it is easy to 4 FIRST RESULTS
treat the data (calculate angle between discontinuities
from the vertical or horizontal; the angle with the A first comparison between overbreak and geome-
circumference; the angle between different discontinu- chanical data is shown in figure 5 (based on the same
ities; division of discontinuities in families according tunnel front shown in figures 3 and 4). The overbreak
to their orientation; etc.) with standard spreadsheet is negligible in the left tunnel wall, increases to a max-
programmes. imum left of the crown decreases and increases again
Besides the information gathered by the engineering- and remains stable along the right tunnel wall. The
geologists, the geodetic staff measures the actual cir- maximum corresponds to the presence of a fold axis,
cumference of the excavation blasted into the host the second to maximum overbreak is located in the
rock. An example of such a measurement is shown region with vertical layers.The least overbreak is found
in figure 4. in the tunnel wall with layers dipping slightly into the
These overbreak measurements have to be digitised excavation. The same analysis performed on several
as well. Once both the engineering geological data and tunnel fronts provides correlations between structural
the geodetic data are digitised and transformed to a features and the occurrence of overbreak (described
unique coordinate system (from 0 right tunnel wall to in section 8). The same digitisation and treatment in
180 left tunnel wall) the first analysis can be started. spreadsheet programmes can be used to extend the

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Copyright 2006 Taylor & Francis Group plc, London, UK


Figure 5. Digitised geodetic overbreak data and digitised
geomechanical data superposed. Minimum and maximum
overbreak occurrences can be related directly to discontinuity
orientation.
Figure 6. RMR versus overbreak, data from a stretch of the
Soumagne tunnel (figure from Viroux 2003).
analysis to correlate overbreak to RMR etc. This will
be shown in the following section.
5 CAN THE RMR BE RELATED TO
OVERBREAK?
The relationship between the RMR and overbreak is
not straightforward (Schmitz 2003). The non-linearity
between the RMR and overbreak as shown for a stretch
of the tunnel in figure 6 is therefore not surprising.
In figure 6, two different humps can be recog-
nised. The reason for the presence of the first hump
is discussed in the next section.
6 A CAVE-IN IS NOT OVERBREAK
As discussed in Schmitz (2003) a cave-in is not an
overbreak. The geological situation at Soumagne is at
several locations dominated by Paleokarst (Schmitz
and Schroeder 2003). If tunnelling through such a ter-
rain, major overbreak can be produced by puncturing
karst pockets during excavation (see figure 7).
Copyright 2006 Taylor & Francis Group plc, London, UK
Figure 7. Cave ins in karst can be caused by excavation
using drilling and blasting but even during TBM driving or
roadheader cutting.
In these cases the overbreak can mount quasi
infinitely. Although the regions were Paleokarst could
be found are known in advance, the exact location with
a precision sufficient for construction is difficult (or
impossible). In the tunnel of Soumagne, Paleokarst can
be found wherever the Visean meets the Namurian and
in those locations where the Magne fault is crossed.
A similar form of cave-in can be found where old
filled-in mine galleries are found in the Westphalian.
This shows that in two out of three formations passed
by the Soumagne tunnel, situations such as shown in
figure 7 can occur. Such zones are, by the nature of
the infill, characterised by a very low RMR and at the
same time by a very large overbreak. These two factors
are responsible for the left hump shown in figure 6.
7 GENERAL APPEARANCE DATA: RMR
As discussed in the sections above, the relationship
between the RMR and overbreak is not linear. The rela-
tionship is marked by two humps. The hump at low
RMR values is due to cave-in (section 6) the hump
at higher RMR values to genuine overbreak (see
figure 8).
If the genuine overbreak is regarded separately
one can clearly see the resemblance to the relation-
ship between the discontinuity spacing (replacing the
RMR for discontinuity spacing) and the overbreak
found by Mller (1978) reproduced in figure 9. The
curve of the second hump passes through the the-
oretical points (RMR,overbreak): (0,0) and (100,0).
Rock masses with a RMR equal to 0 represent either
a rock mass with a sheer endless amount of discon-
tinuity families, a soil, which does not suffer from
overbreak sensu stricto but from shear failure. A RMR
equal to 100 represents a homogenous rock mass
(lacking discontinuities), which theoretically could be
blasted without producing an overbreak which follows
existing discontinuity sets.
633
 Figure 8. The relationship between RMR and overbreak
(HP).
Figure 9. Prediction of the amount of overbreak on the basis
of the average discontinuity spacing, the form of the rock
blocks, and the degree of separation of the rock blocks from
the rock mass matrix (x). Modified after Mller 1978.
The dashed line in figure 8 represents the general
trend of the average overbreak observable while con-
structing, without the theoretical separation between
genuine overbreak and cave-in.
With this system a RMR can be related to a maxi-
mum overbreak. Now a method is needed to determine
the RMR in advance (see section 11).
8 GENERAL APPEARANCE DATA:
STRATIGRAPHY
Besides the relationship between the RMR and over-
break, a relationship between stratigraphy and over-
break as was already shown in figure 5 exists as
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Copyright 2006 Taylor & Francis Group plc, London, UK
Figure 10. Relationship between the stratigraphy and the
overbreak (+/ standard deviation).
Figure 11. Lithologies related to overbreak (+/ standard
deviation).
well.The analysis (details inViroux 2003) of many tun-
nel stretches led to the summary shown in the figure
below.
In figure 10 it is shown clearly that in horizontal lay-
ered rock mass, the magnitude of overbreak is less than
in inclined rock masses. If the rock mass is inclined
and directed into the excavation the maximum amount
of overbreak can be found.
9 GENERAL APPEARANCE DATA:
LITHOLOGY
Figure 11 shows the relationship between the different
lithologies and the overbreak. Figure 11 resembles fig-
ure 8. The resemblance is caused by the relationship
between the RMR and a specific lithology (table 1).
In Soumage, the clayey materials (A) have a lower
RMR than the LST (C), which has the highest rating.
Between these two extremes the influence of disconti-
nuities and other factors entering the RMR obscure the
direct relationship between the RMR and lithology.
 Table 1. Average RMR and its standard deviation for the
different lithologies encountered in the tunnel.

Lithology
A SAS SLG SG CA SAS/SLG C

RMR 10 34 42 47 48 51 64
Stan. 0 7.1 9.5 3.5 7.1 3.6 4.5
dev.

10 DIFFERENT GEOMECHANICAL
RELATIONSHIPS

Up to here relationships between the overbreak

and the:
RMR (figure 8)
stratigraphy (figure 10)
lithology (figure 11)
discontinuity spacing (figure 9; not for Soumagne)
have been presented. It has already been described that
these properties are interrelated. These relationships
are unique for each construction site. For the Sou-
magne tunnel these relationships will not be described
here but can be found in Viroux (2003). It has to be
noted that the relationship between the overbreak and
the RMR (figure 8) gives the maximum overbreak and
the relationship between the stratigraphy and the over-
break (figure 10) and the lithology and the overbreak
(figure 11) give the average overbreak. These rela-
tionships are nice as such but the goal was to give
a prediction of the overbreak while tunnelling. There- Figure 12. The orientation of the reconnaissance drill holes.
fore either the RMR or the stratigraphy or the lithology A: view towards the tunnel front. B: section, through the
must be known in advance. This will be discussed in tunnel front. C: plan view.
the following section.

11 PREDICTION OVERBREAK AHEAD OF

TUNNEL FRONT

The famous mining expression Vor der Hacke ist es
Dunkel applies as well to modern tunnelling. But,
there are ways to enlighten our knowledge of what
lies ahead of us. One of these tools is reconnaissance
drilling ahead of the tunnel front over a length of more
than 20 m as applied in the Soumange tunnel dur-
ing each weekend when normal excavation stops for
maintenance. These reconnaissance drilling are used
to recognise possible water inflow and to obtain infor-
mation about the lithology by analysing rock chips.
At the same time the drilling rate tells something
about the geomechanical properties of the rock mass.
Because the drilling rate is not a point measurent but
a function of the length drilled and the distance to the
blasted zone etc. many corrections need to be made. In
figure 13 the correction proposed by Viroux (2003) is
Figure 13. The drilling rate is corrected for the length drilled
(figure from Viroux et al 2003).
shown in which the drilling rate is corrected for the
drilled length.
Each lithology is characterised by a specific range
of drilling rates (figure 14). Once the lithology has
been recognised the average expected overbreak can be
determined (figure 11). Once the lithology is known,
the maximum overbreak can be predicted (figure 8)
on the basis of the relationship between the lithol-
ogy and the RMR (table 1). The reconnaissance
drilling cannot be used to determine the stratigraphy
in advance therefore other tools should be used (e.g.
creation of a virtual tunnel front using all available
structural geological data).

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 average value of the overbreak one can encounter
(sticking to the same blasting scheme). The effect of
the stratigraphy has to be added directly or by a cor-
rective factor. Schematically this can be represented
as shown in figure 15.
The results of the work presented here are encour-
aging. The appearance of overbreak can be related to
different rock mechanical parameters. If these rock
mechanical parameters are known on the basis of a
site investigation, the amount of overbreak that will be
attained (with a certain error), can be predicted before
construction starts.
Figure 14. Relationship between lithology and drilling rate
measured during reconnaissance drilling.

13 ABBREVIATIONS

A Clay
C Limestone
CA Argillaceous limestone
HP Overbeak
LST Limestone
RMR Rock mass rating
RQD Rock quality designation
SAS Clayey-silty shale
SG Sandy shale
SLG Slightly sandy shale
SST Sandstone
UCS Unconfined compressive strength

LITERATURE

Figure 15. Block diagram showing the information needed
as input to determine the average and maximum overbreak.
12 CONCLUSION
A relationship between the available rock mechanical
data and the overbreak is not straightforward. It is how-
ever possible to determine the range of the overbreak
to be encountered in advance of the tunnel front.
What should be remembered: overbreak is related
to the RMR and more in detail to the discontinuity
spacing (see as well Mller 1978) and the orientation
of the discontinuities with respect to the tunnel and
gravity.
With the drilling rate measured during reconnais-
sance drillings one can estimate the maximum and
Mller, L. 1978. Der Felsbau. Dritter Band. Enke Verlag.
Stuttgart.
Schmitz, R.M. 2003. Line infrastructure and the role of engi-
neering geology in analysing overbreak, part I: theoretical
considerations. Ingeokring Newsletter, published by the
Dutch association of engineering geology. 10(2): 3140.
Schmitz, R.M. & Schroeder, C. 2003. Line infrastructure and
the role of engineering geology in the Belgian karst belt.
Ingeokring Newsletter, published by the Dutch association
of engineering geology. 10(2): 1019.
Viroux, S. 2003. Caractrisation gotechnique de lapparition
de hors profils lors du creusement dun tunnel. MSc-Eng
thesis. Department: GomaC. Universit de Lige.
Viroux, S., Schmitz, R.M., Charlier, R. 2004. Caractrisa-
tion gotechnique de lapparition de hors profils lors
du creusement dun tunnel : application au tunnel de
Soumagne. Tunnels et Ouvrages Souterrains. 181: 4748.

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Copyright 2006 Taylor & Francis Group plc, London, UK

 EUROCK 2006 Multiphysics Coupling and Long Term Behaviour in Rock Mechanics
Van Cotthem, Charlier, Thimus & Tshibangu (eds)
2006 Taylor & Francis Group, London, ISBN 0 415 41001 0

Parametric study on the friction angle and dilation angle of intact rock and
discontinuities presented in the Siah Bisheh pumping storage hydro-electric
power project (HEPP)

N. Shafiezadeh
T.M.U. Faculty of Engineering, Lar Consulting Engineers Co., Tehran, Iran

M. Bagheri
PhD Candidate, Soil and Rock Mechanics Division, Civil and Architectural Engineering,
KTH University, Stockholm, Sweden

ABSTRACT: The values of friction angle and dilation angle of rock mass are the effective factors on the visco-
elastic displacements around underground structures. The present parametric study was conducted to determine
the effect of dilation angle of discontinuities and intact rock, friction angle of discontinuities on the values
of visco-elastic displacements based on non-associated flow rule and elasto-viscoplastic theory and statistical
Yates method. Elasto-visco plastic analyses of Siah Bisheh Power Cavern have been performed according to non-
associated flow rule by FESTO3. In theYates method, the direct effect and interaction of the concerned parameters
on displacements and sensitivity of effects are considered. On the basis of the results, an optimum value can be
chosen for the studied parameter. It is found that, the variation of the dilation angle of intact rock and friction angle
of discontinuities induced similar variation in the values of displacements, but the sensitivity of these variations is
not noticeable. Therefore it is concluded that these parameters are not much effective on the result (visco-plastic
displacements). However, changing the dilation angle of discontinuities caused considerable variation in the
visco-plastic displacements indicating a direct effect of this parameter on the results. To find out the optimum
value of this parameter, the effect of its variation on the visco-plastic displacement around the cavern is discussed.

1 INTRODUCTION In all of the analyses, the amount of visco-plastic

In the engineering problems, parametric study is a use-
ful mean to determine the optimum value of unknown
parameters, by knowing the range of their variations.
To accomplish this, the effect of the unknown param-
eter within its range of variation, the study was per-
formed by keeping all the other concerned parameters
constant. When the number of unknown parameters is
greater than one, for the sake of reaching a sound engi-
neering judgment, it is very important to quantify the
interaction of variation of each unknown parameter on
the other unknown parameters.
The amount of displacements around a structure is
governed by different factors and also the rock mass
behavior model. Dilation angle of intact rock and dis-
continuities are important factors affecting the amount
of viscoplastic strain rates in an elasto-viscoplastic
analysis based on non-associated flow rule around
the jointed rock mass. In this study by using statis-
tical method analyses performed, Yates method, the
optimum number of necessary analyses has been
determined in such away avoiding probable errors.
displacements was considered to be the answer of
variables.
2 DESCRIPTION OF THE YATES METHOD
The need of modified process is going to be more
and more in the industry. Therefore it is necessary to
apply new methods of analysis with consuming least
time and cost. There are different type of methods
for designing analyses and experiments; the type of
used method depends on the conditions and number of
parameters for each problem. Among different meth-
ods, Taguchi method and Yates method are the most
applicable methods.
Taguchi method is suitable when the number of
parameters, are very high, while Yates method is more
applicable when a number of the parameters are less,
i.e. 45.
In the Yates method, after having relevant parame-
ters, the range of minimum and maximum values and
the form of variation of each parameter is determined.

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 The variation of each parameter can be linear or non Table 1. The condition of preliminary analyses.
linear. This method is appropriate when a number of
parameters are not high; otherwise Taguchi method No. Degree of
may be used. The effective parameters on the variable analyses freedom A B C R
answer are recognized by helping of this method and
1 1 R1
by fulfillment of limited number of analyses, the para-
2 a + R2
meters having highest effect on answer variable, and 3 b + R3
the analyses are focused on such parameters. By this 4 ab + + R4
way, unnecessary analyses are avoided and therefore 5 c + R5
the optimum number of analyses is tried. The optimum 6 ac + + R6
value of each parameter is also calculated. 7 bc + + R7
After recognizing the parameters and determining 8 abc + + + R8
of relevant range of variations, 2n analyses must be
conducted. In these analyses, each parameter has min-
imum and maximum values in its variation range Table 2. The way of interactions different combinations of
(Douglas & Montgomery, 1991). How these analyses parameters.
is designed and performed is given as following. For
NoA DoF A B C AB AC BC ABC
the special case it is supposed that n = 3, n is the num-
ber of parameters, in other word there are three param-
1 1 + + +
eters involved. The three parameters are shown by A, 2 a + + +
B and C, the minimum value is presented by the sign 3 b + + +
(), the maximum value is presented by the sign (+) 4 ab + + +
and the answer variable of the parameters by R. First 23 5 c + + +
analyses with the conditions given in Table (1) should 6 ac + + +
be conducted. Then the value of answer variable, R, 7 bc + + +
for each analysis is calculated. To determine the effec- 8 abc + + + + + + +
tive parameters and the way of interactions different
combinations of parameters are tried (Table 2). After Number of analysis, Degree of freedom
trying all of the combinations, the most effective ones
on answer variable are marked (Geoffety, 1998). To Designing of the further analyses with concentra-
achieve this, the following steps have to be done: tion on effective parameters and combinations, will be
continued in the next stage.
a) Calculate the average difference between maxi-
mum (SUM+ ) and minimum (SUM ) values by
the following formula: 3 INTRODUCTION OF SIAHBISHE PUMPING
STORAGE HYDRO-ELECTRIC POWER
PROJECT (HEPP)

Where m = 2n , SUM+ and SUM = the sum of
answer variable values for maximum and minimum
level of the parameter respectively.
b) Calculate the standard deviation of values of max-
imum (std+ ) and minimum (std ) levels.
c) Calculate t value which is obtainable from the
following formula:
The Siahbishe pumped storage project located in
125 km north of Tehran, Iran at the elevations rang-
ing from 1900 m to 2400 m from mean sea level. The
aims of this project are:
Hydroelectric power generation of 1000 MW
(4 250 MW) during peak consumption hours,
Saving of energy by pumping storage,
A prominent consumer during low load
consumption,
Electrical voltage and frequency stabilizer.

d) Having t value and with a confidence level of 95%,
In case of [t] > 2.145, the combination must be
considered as an effective parameter, so the pro-
cedure must be continued for further analyses.
In case of [t] < 2.145 then the combination
are considered as an ineffective parameter on
answer variable, an optimum value will be
justified for that.
The structural geology and geotechnical characteristic
(parameters) of this structure are further described.
3.1 Regional geology
This plan consists of two concrete face rock fill
dams(CFRD), 105 m and 85 m high, twin headrace
tunnels, shafts and four caverns including powerhouse,

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 Table 3. The geometrical specification of the studied Table 4. Dominating discontinuities properties of region.
structures.
Discontinuities Dip/Dip Direction Spacing (m)
Underground Dimensions (m) Elevation
structures (length width heigth) (m) Bedding 60/188 0.32
J11 38/028 3
Powerhouse cavern 130 22 41 1876 J12 56/048 2.24
Transformer cavern 182 13 22 1909.5 J13 65/330 2
SFC cavern 25 7 7 1902.75 J2 90/082 3
Guard gate cavern 100 4.5 8 1851

Table 5. Mechanical properties of intact rocks and domi-

nating discontinuities of region.

Mechanical parameters
Lithologies
and joints c (MPa) t (MPa) c (MPa) ()

Sandstone 100 6 18 50
Shale 50 3 12 40
Melaphir 100 6 18 50
Bedding 0 0 25
J11 0 0.05 27.5
J12 0 0.05 27.5
J13 0 0.05 27.5
J2 0 0.05 27.5

Siah Bisheh is located in the elevated northern foothill

Figure 1. The configuration of the underground power
complex structures.
of Alborz. The most considerable characteristics of
this region are that geological series that has been cut
by steep faults. Geological studies have shown that
projects location belongs to Permian era. Both power-
house and transformer caverns are located in Dorood
formation. The Dorood formations sub layers con-
sists sedimentary rocks such as quartzitc sand stone,
shale, mudstone and limestone. There are three types
of igneous rock in the region, dacite, spilitic basalt
(melaphir) and latite (Engineering Report, Volume I
and II, 1986). Underground power plant space position
is shown in the Fig. 1.
According to preformed statistical analysis, the
measured dips or dips direction discontinuity in
the region determines the dominant discontinuity in
the region and the averages dips and dip direction.
In general, five series of dominant discontinuity have
been distinguished for the underground powerhouse
structures of the region, their geometrical features have
been described in Table 4.

3.2 Geotechnical parameters of intact rock and

transformer, SFC and guard gate cavern. The geomet-
rical specifications of these structures are presented in
Table 3.
In Accordance with the Iranian geological classifi-
cations, the foundation of project is categorized under
the Alborz structural blocks. The block is formed in
the Alpian orogensis phase and its boundaries are dis-
tinguished by steep faults. With structural features,
discontinuities
The required geomechanical characteristics param-
eters in preformed numerical analysis for various
existing lithologies in underground powerhouse struc-
ture in addition to the dominant discontinuity in the
concerned area such as strength and elasticity are pre-
sented in Table 5, 6. It is worth mentioning that during

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 performance, the specific weight of quartzitc sand-
stone, shale and melaphir were considered as 0.0275,
0.0265 and 0.029 MPa respectively (Soil and Rock
Laboratory Investigation, 1986).
4 CHARACTERIZATION OF ANALYZED
SECTION USED FOR NUMERICAL
ANALYSIS
Figure 2 indicates applied pseudo three-dimensional
model in order to analyze the rate of displacements
in roof, floor and walls of the cavern. Each dimen-
sion of the four underground spaces belongs to Siah
Bisheh project powerhouse complex, briefed accord-
ing to Table 3. FEST 03 code based on finite element
method and developed based on Wittke homogeneous
model (1984) is capable of considering various sets
of discontinuities available at the study zone. Consid-
ering the homogeneous model, it is assumed that any
number of discontinuities (infinite) is present in the
rock mass with their respective specifications (Wittke,
1990, 2000) . The FEST 03 code used for these set
of investigations was a sudo-3 dimensional through
which the stresses and deformations are determined
assuming the linear elasto-viscoplastic behavior.
Table 6. Elastic parameter of intact rocks.
Elastic parameters
Lithologies and joints E(MPa)
Sandstone 15000 0.25
Shale 7500 0.3
Melaphir 15000 0.25
Figure 2. Grid meshes of the section along with horizontal
bedding plane (N185E).
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Copyright 2006 Taylor & Francis Group plc, London, UK
In Figure 2 used calculated section are indicated
with constructed mesh. The external boundaries of the
model are considered in respect to each influenced
zone of underground space.
Overburden was modeled by distributed loading
which acts on top of the model. Maximum height of
overburden is 256 meters on the powerhouse cavern
(main cavern) and 205 meter on the transformer roof.
Results of over coring tests indicated that the K ratio
(horizontal stress to vertical stress) is 0.85. The load
applied by underground water was simulated by linear
loading distribution, which acts on the lateral bound-
aries of the model. The linear load is increased with
increasing depth. All nodal points in the computational
section are fixed in Y = 0 and Y = 1 plane. Also the
entire bottom nodal points are fixed in Z direction.
5 VISCOPLASTIC BEHAVIOUR AND
NON-ASSOCIATED FLOW RULE
It is assumed that stresses below strength lead to elastic
strains only. Only after exceeding the strength, irre-
versible strains occur. These often show a distinctive
dependence on time and are referred to as viscoplas-
tic strains. To analyze these strains, the theory of
viscoplasticity is applied. Bases are the viscoplastic
strain rates {VP } related to time. For an exceeding
of strength in isotropic rock, for example, these are,
according to Perzyna (1966), defined using the deriva-
tive of the scalar quantity QG , the so-called plastic
potential, with respect to the stress vectors:
Where, G is referred to viscosity of the intact rock
during viscoplastic strains. FG and FG represent the
failure criterion for the intact rock, with the values of
the failure (FG ) and the residual strength(FG ) respec-
tively. The examination whether viscoplastic strains
occur is at first done using the failure criterion FG .
After exceeding of strength (FG  0), FG serves as a
criterion to establish whether the viscoplastic strains
go on increasing or come to a halt. This means that
it is assumed that after exceeding the failure strength
(FG  0) an immediate destrengthening independent
of the magnitude of the viscoplastic strains takes
place and the strength is then reduced to the residual
strength.
Equation 3 is called flow rule. The plastic potential
QG is defined analogously to function F. At G = G ,
QG is identical to FG . In this case, associated flow
rule is discussed. Using the associated flow rule, the
viscoplastic volumetric strain is often overestimated.
Therefore, usually an angle of dilatancy is used which
is smaller than G . In case of Q  = F non- associated
flow rule is discussed.
 According to the above, for elasto viscoplastic anal-
yses due to non-associated flow rule, for determination
of viscoplastic strains, dilation angle of intact rocks
and discontinuities must be considered. According to
the different technical reports and case studies, it must
be a function (as a portion) of friction angle. The usual
portions that have been seen are 33%, 40% and 50%
of friction angle.
The range of variation for dilation and friction angle
is considered 140 and 1530, respectively. The range
of variation of dilation angle for intact rock is also
considered 140.
According to the site investigation and taking into
account the presence or absence of infilling mate-
rial the cohesive strength of joints and bedding are
considered 0.05 MPa and 0 respectively.
6 RESULTS OF PRELIMINARY ANALYSES
Following steps, a to d, effect of the each combina-
tion on the displacements was determined. The results
of statistical designing related to preliminary analyses
for roof, upstream and downstream walls are given in
Tables 9, 10 and 11 respectively.
According to preliminary analyses, it is concluded
that only one parameter i.e. dilation angle of dis-
continuity has direct and significant effect on the
visco-plastic displacements. In the next step, the opti-
mum value of this parameter will be determined.
Since the other two parameters do not have any direct
effect on the displacements, a constant value may be
attributed to them as follow:
ParameterA (dilation angle of intact rock) Consider-
ing the range of variation for this parameter of different
Table 9. Calculations of statistical designing of preliminary
analyses on the basis of displacements as answer variable for
roof of cavern.

Having parameters such as dilation angle of intact, Parameters Mean diff Std+ Std t
dilation and friction angle of discontinuities besides
their range of variation, the models were solved. In A 0.0375 1.17 1.18 0.045
preliminary stage, a total number of 8 analyses were B 0.05 0.957 1.22 0.065
C 0.5 0.126 0.33 2.83
performed. The roof displacements obtained from
AB 0 1.22 1.31 0
analyses in the form of amount of visco-plastic dis- AC 0 1.26 1.09 0
placements for roof of the main cavern, upstream wall BC 0.0875 1.275 1.04 0.107
and downstream wall are given in Table 7 and 8. ABC 0.0125 1.24 1.2 0.0145
The influence of supposed parameters on the answer
variable can be determined by the primarily analyses.
Table 10. Calculations of statistical designing of prelimi-
Table 7. Input of preliminary analyses. nary analyses on the basis of displacements as answer variable
for downstream wall of cavern.
Degree of
No. analyses freedom A B C Parameters Mean diff Std+ Std t

1 1 1 15 1 A 0.0125 0.842 1.096 0.018

2 a 40 15 1 B 0.025 0.818 1.11 0.036
3 b 1 30 1 C 0.41 0.163 0.26 2.65
4 ab 40 30 1 AB 0.0375 1.045 0.9 0.054
5 c 1 15 40 AC 0.05 0.96 0.98 0.075
6 ac 40 15 40 BC 0.0625 1.03 0.89 0.1
7 bc 1 30 40 ABC 0.025 0.885 1.06 0.036
8 abc 40 30 40

Table 11. Calculations of statistical designing of prelimi-

Table 8. Results of preliminary analyses. nary analyses on the basis of displacements as answer variable
for upstream wall of cavern.
No. analyses ROOF (cm) leftwall (cm) rigthwall (cm)
Parameters Mean diff Std+ Std t
1 10.4 9 8.2
2 10.2 8.6 8.2 A 0.006 0.86 0.825 0.01
3 9.8 8.4 8 B 0.03 0.8 0.985 0.05
4 9.7 8.5 7.9 C 0.38 0.2 0.12 3.19
5 8 6.8 6.6 AB 0.031 0.8 0.98 0.05
6 7.9 7.2 6.5 AC 0.031 0.9 0.38 0.048
7 8.2 6.9 6.4 BC 0.05 0.94 0.84 0.08
8 8 7.2 6.8 ABC 0.05 0.82 0.96 0.079

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 Table 12. Difference case of considering dilation angle.

Different case Relation to Joints Bedding

Case 1 1 1
Case 2 33% 9.1 8.25
Case 3 40% 11 10
Case 4 50% 13.75 12.5
Case 5 20 20
Case 6 40 40

lithologies and the relationship between this parame-

ter and angle of friction, the value of dilation angle
for intact rock is assumed 50% of friction angle.
Therefore, the value of this parameter for quartzitic
sandstone and melaphir will be 25 and 20 degrees
respectively.
Parameter B (Angle of friction for discontinuities)
According to the conditions of the site and disconti-
nuities including joints and bedding planes and avail-
able descriptions in the site investigation reports, the
amount of friction angle for joints and bedding planes
is assumed to be 27.5 and 25 degrees, respectively.

Figure 3. Displacements vs variation of dilation angle of

7 THE EFFECT OF DILATION ANGLE OF
DISCONTINUITIES ON THE AMOUNT OF
VISCO-PLASTIC DISPLACEMENTS
As mentioned earlier, the only parameter affecting
visco-plastic displacements is dilation angle of discon-
tinuities. By selecting other parameters as constant val-
ues, dilation angle of discontinuities within their range
of variations is considered as following (Table 12):
The amount of measured displacements in roof,
upstream wall and downstream wall of main cavern
is shown in the Figure 3.
8 CONCLUSIONS
discontinuities
a) Displacements in the roof
b) Displacements in the downstream wall
c) Displacements in the upstream wall
parameter, the effect of its variation on the displace-
ments was studied. It was seen that the variation of
dilation angle of discontinuities, though small, made
some changes in the resultant displacement. It should
be noted that by increasing dilation angle of discon-
tinuities, displacements gradually decreased in the
horizontal direction while in the vertical direction
displacements increased.

In this paper, a parametric study was conducted on REFERENCES

the dilation angle of intact rock and friction and dila-
tion angle of discontinuities for caverns of Siah Bisheh
pumped storage project. On the basis of statistical
method and with the help of Yates analysis, the effect
of each parameter and different combinations of them
and also interaction of parameters on the answer vari-
able was studied. The results of analyses indicate that
the dilation angle of intact rock and internal friction
angle of discontinuities have a small effect on the total
displacement. With a confidence level of 95% it can be
inferred that aforesaid parameters does not have any
direct effect on the answer variable of analyses.
In the preliminary analyses, it was found that dis-
continuities dilation angle is the only parameter which
has a direct effect on the displacements. Therefore,
with attributing of different constant values to this
Douglas, C., Montgomery, 1991, Design and Analysis of
Experiments, John Willy & Sons.
Engineering Report, 1986, Engineering Geology and
Geotechnical Investigations-phase II, Program No.3 Vol-
ume I , Lameyer and Moshanir.
Engineering Report, 1986, Engineering Geology and
Geotechnical Investigations-phase II, Program No.3, Vol-
ume II , Lameyer and Moshanir.
Geoffety Vining G., 1998, Statistical Methods for Engi-
neers, Duxbury Press.
Manual of FEST O3, Version: 1.03E, WBI Company.
Engineering Report, 1986, Soil and Rock Laboratory Inves-
tigation, Volume I , Lameyer and Moshanir.
Wittke, W., 1990, Rock Mechanics, Theory and Application
with Case Histories, New York, Springer.
Wittke, W., 2000, Stability Analysis for Tunnels, New York,
Springer.

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Copyright 2006 Taylor & Francis Group plc, London, UK

 EUROCK 2006 Multiphysics Coupling and Long Term Behaviour in Rock Mechanics
Van Cotthem, Charlier, Thimus & Tshibangu (eds)
2006 Taylor & Francis Group, London, ISBN 0 415 41001 0

TBM Tunneling in adverse rock mass with emphasis on TBM

Jamming accident in Ghomrud water transfer tunnel

M. Sharifzadeh
Mining, Metallurgy and Petroleum Engineering Department, Amirkabir University of technology (Tehran
polytechnic), Tehran, Iran

A. Hemmati Shaabani
Imensazan Consultant Engineers, Niroo Alley, Shariati St. Tehran, Iran

ABSTRACT: Mechanized tunneling using a Tunnel Boring Machine (TBM) is increasing incredibly in Iran.
Several considerations regarding geological conditions, TBM type, specifications and its capability and TBM
quality are necessary to optimize TBM tunneling. This paper deals with the illustration of potential hazards
which caused the TBM jamming accident at the chainages of 30 km + 245 m of tunnel in the Ghomrud water
transfer tunnel (Lot 34) on July 2005. The tunneling is located in a layered and fractured rock mass consisting
of marl, slate, graphite and limestone with quartzite veins. The rock classification indicates weak formation
with highly fractured rocks which causes large deformation after excavation, instability and failure of rocks into
tunnel. Thus, squeezing, rock mass flow and tunnel convergence has led to a heavy loading on the TBM shield
and instability of the rocks at the tunnel face. In other words, the TBM mostly got stuck by rock mass failure on
the TBM cutter head and shield, and fast convergence of the tunnel. To prevent TBM jamming several measures
such as modifications of the mucking gate of the cutter head, increasing TBM torque and trust force, adequate
monitoring of the operation, boring in single shield mode and grouting have been designed and applied. These
measures significantly improved the TBM performance. This case study highlights the lessons learned from
TBM tunneling under adverse rock mass condition.

1 INTRODUCTION in Figure 1. The diameter of the Ghomrud tunnel is

3.8 m with a flow rate capacity of 23 m3 /s, and free
TBM tunneling is progressing rapidly all over the water flow condition. The Ghomrud (Lot 3 and 4)
world because of its time and cost saving. In Iran
mechanized tunneling using a Tunnel Boring Machine
(TBM) is incredibly increasing. The TBM perfor-
mance is extremely important with respect to the time
and the cost of the tunnel construction. Several fac-
tors are affecting the TBM performance in tunneling
which have been studied by several authors such as
Kovari et al. (1993), Barton (2000), Barla et al. (1998),
Barla (2000) and Shang et al. (2004). They found
that the ground stress, rock strength, fault and joints
are the dominant factors controlling the tunneling
with a TBM. The most unfavorable conditions causing
severe accidents are simultaneous effects of unfavor-
able factors. According to Barton (2000), the TBM
performance is directly affected by the geological and
hydro-geological conditions, the TBM characteristics,
the specifications, the operation, and Coordination
between different TBM sections.
The Ghomrud tunnel, with the total length of 36 km,
is designed to transfer water from the Dez River (in Figure 1. General view of tunnel access roads and tunnel
Aligoodarz) to the Golpayegan dam reservoir as shown axis.

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Copyright 2006 Taylor & Francis Group plc, London, UK

 tunnel with the length of about 16.5 kilometers from
18 + 000 to 34 + 550 is a part of Ghomrud tunnel
project which is under construction with a Double
Shield TBM (DSTBM) (Selli, 2005). The minimum
overburden is 150 m at 700 m (of tunnel length) to the
end of the tunnel, the maximum overburden is 600 m
at Km 34 of the tunnel and the average overburden is
about 300 m. Tunnel axis is mainly located in Jurassic
geological units consisting of shale, slate, schist and
thin quartzite veins. (a) Geological section of whole tunnel area
This paper presents the cases where the TBM enc-
ountered critical rock conditions at the chainage of
30 Km + 245 m of the Ghomrud (Lot 34) tunnel.
Appropriate solutions to scope with these conditions
were proposed and executed and resulted in proper
performance of the TBM.

2 GEOLOGICAL SETTING AND ROCK MASS

CONDITIONS

The geological formations significantly influence the

selection of the TBM type and, its specifications for
the construction of a tunnel by TBM.
Surface and subsurface geotechnical investigation
were performed in the tunnel area. Due to the depth
of the tunnel, the feasibility for subsurface investiga-
tions was limited and drilling was in many cases not
performed down to the tunnel level. In other words,
the capacity of the drilling machines did not allow
drilling deep boreholes. The boreholes are drilled to a
depth of about 350 m, but the tunnel is located about
600 m below the surface of the mountain. Only a few
boreholes were drilled down to tunnel level. Therefore,
extensive surface field investigations were conducted
and detailed information on geology, rock mass rat-
ing and rock structures were collected and analyzed.
Finally, the rock condition at the tunnel level was enc-
ountered by an interpolation procedure based on the
acquired surface and subsurface data.
Based on the rock classification, the expected rock
formations along the tunnel alignment were catego-
rized in fair to poor conditions. Locally, even very poor
conditions were expected. It was envisaged that the
high overburden could produce local adverse ground
conditions (high convergence of the tunnel walls,
instabilities, etc.) (WPS, 2005).
Based on the field engineering geological investiga-
tions, the main lithological units are layered shale and
slate, sandstone, schist, and limestone with thin quartz
layers (Fig. 2). The tunnel passes through layered, frac-
tured and faulted rock masses. The structures include
schistose, bedding, fracturing, and micro-folding with
quartzite lenses up to 30 cm thickness (Sahel, 2005).
The tunnel is located in low permeable graphite
schist and slate layers, thus water flow into tunnel
is low, and mostly appears in drops and surrounding
rocks moisture.
(b) Geological section of TBM jamming zone
Figure 2. Tunnel geological section.
In the Ghomrud tunnel problems associated with
geological structures include the concentration of
faults with extraordinary geological conditions such
as weak and fractured rocks with mixed materials.
3 PROBABLE REASONS FOR THE TBM
JAMMING
According to numerous case histories of underground
engineering in soft rocks, tunneling at a depth of
more than 200 m, and especially more than 300 m,
often causes extensive convergences. Pelizza (1998)
has discussed the instability of the tunnel face and
walls during excavation and identified fault zones and
squeezing/swelling ground as typical limiting ground
conditions affecting the performance of Tunnel Boring
Machine (TBM). He noted that jamming of rock
TBMs for long periods of time due to convergence
problems has not been heard of, at least recently.
Conditions such as layered and highly fractured
rocks with squeezing potential, inappropriate cutter
head condition as shown in Fig. 3 and Fig. 5, and oper-
ating errors are identified as the main reasons for the
TBM jamming in the Ghomrud water tunnel.
These adverse geological conditions with high con-
vergence rates make it difficult to keep the TBM
continuously advancing and to avoid long stoppages.
The low abrasivity of the rock formations will help
the continuous TBM operations since the cutter change

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Copyright 2006 Taylor & Francis Group plc, London, UK

 Figure 3. Front view of Double Shield TBM cutter head.

time will be limited and generally contemporary to the

daily maintenance (Wirth/AE. 2005).
During the normal condition of TBM excavation in
July 2005, abnormal conditions were observed with
high amount of discharge material from the cutter
head to the belt conveyor and an increasing number of
haulage wagons. These conditions indicated the failure
of the tunnel walls. There was evidence of TBM block-
ing a few time after such signs. However, the TBM
speed is controlled to slow down under such condi-
tions and to allow operation under stable conditions. Figure 4. Rock failure on left (a) and front (b) side of
In addition, the TBM was stopped in such cases after the TBM.
few hours, and the TBM shield situation was inspected
through holes on both sides of the shield. There was
by the TBM data recordings and their interpretation.
failure on both sides and in front of the cutter head.
There was no data recording system on TBM which
Figure 4 shows the extraordinary situation and failure
was connected to a data logger to record and interpret
conditions of the excavated rocks around the tunnel.
the obtained data during operation.
The groundwater level was recorded 30 m above the
With increasing duration of the TBM stops the con-
tunnel roof. The groundwater inflow was poor since
dition for restarting of the TBM became difficult. The
the layers are impermeable which lead to high pore
principal horizontal ground stress components were
pressure and progressive failure. The TBM was stuck
high and stresses were locally concentrated on the
in a schist formation with embedded graphite layers
interface of shield and rocks.
for more than 8 weeks. This was the 9th times that the
Small cracks developed on some segments in the
machine got stuck and a total of 6 month was lost for
9 oclock 3 oclock position, which indicated overload-
production due to these stoppages.
ing or uneven loading exerted from the backfilling.
There were two main reasons for the TBM being
This indicates that wet pea gravel which was used as
stuck in the tunnel. The first was increasing ground
backfilling is not functioning properly (Fig. 6).
loading on the shield and the second was the jamming
of the cutter head at the face which was the results
of the long duration of the stops due to the mainte-
nance operation. Figure 5 shows the side views of the 4 COUNTER MEASURES AND DISCUSSION
original cutter head. As shown in this figure the muck-
ing gates of the cutter head is bigger than the shield To prevent TBM jamming several measures such
and may have caused the instability in the surrounding as modifications of the mucking gate of the cutter
rocks. The TBM operation has been greatly influenced head, increasing TBM torque and trust force, adequate

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Copyright 2006 Taylor & Francis Group plc, London, UK


Figure 5. Front and side view of TBM cutter head before
modification.
monitoring of the operation, boring in single shield
mode and grouting have been designed and applied.
4.1 Modification of the cutter head
At the beginning, the cutter head had big material
entrance gates with long cutters which exceeded the
shield diameter as shown in Fig. 5. The rotation of the
cutter head thus caused damage of the surrounding
rock especially in weak rock where the circumferen-
tial cutters may trigger the instability of the tunnel
wall. To improve force transfer from cutter head to
ground and restrict the large amount of materials flow
to the mucking gates, the cutter head circumference
was modified. For this purpose, the size of the gath-
ering bucket was reduced by installing still plates as
shown in Fig. 7. The steel plates with a thickness of
4050 mm with the same curvature as the shield cur-
vature were installed at the sides of all intake gathering
buckets. With the installation of these plates the impact
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Copyright 2006 Taylor & Francis Group plc, London, UK
Figure 6. Horizontal cracks on tunnel wall segments.
of the side cutters and the damage to the tunnel walls
were simultaneously reduced. With the modification
of the cutter head, not only the intake gathering bucket
space restriction is satisfied, but also, the cutter heads
rough edges were modified.
Larger rocks were able to block the cutter head when
sticking in the bucket openings. In order to scope with
the difficulties of the ground conditions encountered
during the tunneling works the mucking gates of the
cutter head were modified and a different design was
considered as shown in Fig. 7.
4.2 Coupling of the cutter head drive
The couplings of the cutter head drive seem to be dis-
engaged properly and several coupling releases are
reported. Thus, the appropriate torque is not trans-
ferred to the cutter head. When one coupling disen-
gaged the others follow like a zipper. The 6 new spring
elements were changed to modify the coupling forces
[Wirth/AE, 2005].
4.3 Modification of backup to be able to operate in
single shield mode
This alternative was practically impossible due to a
lack of the functionality of the segment cylinders.
Some measurement cylinders should be installed to
measure single shield mode capability.
The analysis of the cylinders bearing capacity
showed that the capacity of about 450 bars is close
to recorded pressure of 415 bars. This condition en
dangers the TBM hydraulic units.
The TBM power was not enough to scope with
the encountered difficult geological conditions. There-
fore, two extra motors were added to improve the TBM
power. However, the replacement of the equipments
was also uneconomical and impossible.
Several measures were investigated to overcome
geological problems which included probe drilling and
rock improvement by bolting and grouting.

Figure 7. Front and side view of TBM cutter head after
modification.
4.4 Data recording system
The TBM data were not recorded automatically with a
data logger system. It is planned to install a data logger
on the TBM to automatically acquire data. This can
help to obtain and analyze the data. The data logger can
record the TBM parameters and probe drilling data.
5 CONCLUSION
Based on the investigations, the causes for the TBM
problems were investigated and appropriate measures
were adapted.
A general structural geological model is required
before tunnel boring begins, in order to systematically
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Copyright 2006 Taylor & Francis Group plc, London, UK
scope with complicated geological conditions at dif-
ferent depth without the benefits of detailed site
investigation and logging data.
Different approaches were adopted to overcome the
encountered difficulties. These measures were the fol-
lowing: (1) to obtain the geological data at the tunnel
face, probe drilling was carried out and data log-
ger were installed; (2) to improve the TBM perfor-
mance, TBM clutch and generators were rectified,
and the TBM cutter head was also modified; (3) to
enhance operation, the TBM operators were continu-
ously trained.
In fractured weak rock masses with failure and
squeezing potential, the TBM machine should be well
operated to prevent vibration and applying abnormal
load to the rock mass. Thus, the cutter head speed
and torque should be adjusted and small vibration
(fluctuation) of cutter head should be prevented.
To minimize the tunnel convergence, the delay due
to TBM repair work should be minimized. Therefore, it
is necessary to prepare requirements for TBM backup
system for instant replace.
REFERENCES
Barla G. and Barla M. (1998). Tunneling in difficult con-
ditions. Int. Conf. on Hydro Power Development in
Himalayas, Shimla (India), 2022 April, 19 pages.
Barla G. 1999. Larger diameter TBM tunnel excavation in
weak environmental conditions. News Journal, Interna-
tional Society for Rock Mechanics 5 (3), 4854.
Barla G. (2000). Lessons learnt from the excavation of
a large diameter TBM tunnel in complex hydrogeologi-
cal conditions. GeoEng 2000, International Conference
on Geotechnical & Geological Engineering, Melbourne,
Australia, 1924 November 2000.
Barton N. 2000. TBM Tunnelling in jointed and faulted rock.
Balkema, the Netherlands, pp. 3104, 147149.
Kovari K., Fechtig R., Amstad Ch. (1993). Experience with
large diameter Tunnel Boring Machines in Switzerland.
Int. Congr. Option for Tunnelling, ITA, Amsterdam, 14
pages.
Pelizza S. (1998). Selection of TBMs. Workshop on Selec-
tion of Tunnelling Methods, ITA World Tunnel Congress
98, Sao Paulo (Brazil), 15 pages.
Sahel Consulting Engineering report, SHL 2019 UNGR
MTUN RM RP 003 DO, June 2005.
Selli Report, Doc. No. ST-RTE SRV.016,(2005). Tunneling
with double shield TBM in adverse rock conditions.
Shang Y., Xue J., Wang S., Yang Z., Yang J. (2004). A case
history of tunnel boring machine jamming in an interlayer
shear zone at the yellow river diversion project in China.
Engineering Geology, 71, 199211.
Wirth/Amberg Engineering site visit report. 27-28, 6, 2005.
WPS group ltd. Report number 3668, date 5, 4, 84, (2005).
 EUROCK 2006 Multiphysics Coupling and Long Term Behaviour in Rock Mechanics
Van Cotthem, Charlier, Thimus & Tshibangu (eds)
2006 Taylor & Francis Group, London, ISBN 0 415 41001 0

Foundation of a highway in a post-mining area by dynamic intensified

compaction, geotextile-reinforcement and piles

M. Wittke
WBI W. Wittke Consulting Engineers for Tunneling and Geotechnical Engineering Ltd.,
Aachen/Stuttgart, Germany

ABSTRACT: In the areas where the new highway A 143, the western bypass of the city of Halle (Saale), is
located above abandoned room and pillar lignite mines, dynamic compaction was carried out to demolish cavities
which are located near the surface and revealing a potential for sinkholes within the near future. By means of
this procedure also the loosened zones in the ground should be compacted as deep as possible.
Since after the dynamic compaction is carried out the occurrence of sinkholes still can not be outruled a single-
layer geosynthetic reinforcement was placed in the respective areas. It is planned, that by means of this measure
a sudden collapse of the pavement will be prevented and that the subsidence due to a sinkhole is kept within
acceptable limits. The design of the geosynthetic reinforcement was carried out by means of 3D-FE-analyses
according to the geometrically non-linear theory.
One bridge and two pylons also had to be designed against the occurence of sinkholes. They were founded
on bored piles which were cased with HDPE-foil to reduce the negative skin friction in case a sinkhole occurs.

1 INTRODUCTION

On behalf of the DEGES (Deutsche Einheit

Fernstraenplanungs- und -bau GmbH) the new high-
way A143 is presently under construction. This high-
way will present the western bypass of the city of Halle
(Saale), Germany from the highway A 38 in the south
to the highway A 14 in the north.
In some parts the alignment the A 143 is located in
the area of abandoned room and pillar lignite mines
which were in use up to the 1950s.
According to the public authority Bergamt Halle
(1995) the main subsidence caused by these min- Figure 1. Design concept.
ing activities already has occurred. Nevertheless the
underground above the seam is loosened and not all
openings caused by mining have collapsed. Therefore single-layer geosynthetic reinforcement was placed in
sinkholes can occur especially in the area of former the respective areas. It is planned, that by means of
drifts and shafts as well as in the shadow of broken this measure a sudden collapse of the pavement will
pillars. be prevented and that the subsidence due to a sinkhole
To secure the pavement of the highway from larger is kept within acceptable limits.
subsidence and a sudden collapse due to such sink- The geosynthetic reinforcement is placed in a layer
holes, several measures were taken (Fig. 1). To demol- of gravel and sand (Fig. 2). Above the gravel and sand a
ish cavities which are located near the surface and layer of Glacial Sand or Glacial Till is placed, on which
revealing a potential for sinkholes within the near the pavement is located. The minimum overburden of
future the method of dynamic compaction was used. the geosynthetic reinforcement was fixed to 2 m. In the
By means of this procedure also the loosened zones in area of dams the overburden can result to up to 6 m.
the ground should be compacted as deep as possible. By means of the described design sinkholes with
Since after the dynamic compaction is carried out a diameter of up to 4 m will be bridged until the
the occurrence of sinkholes still can not be outruled a corresponding area is renewed.

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Copyright 2006 Taylor & Francis Group plc, London, UK

 Figure 3. Load bearing behaviour.
Figure 2. Statement of problem.

Abandoned shafts of the lignite mines were secured

by means of special Dynamic Compaction and injec-
tions. Furthermore a bridge and two pylons were
founded on bored piles. These piles were cased with
HDPE-foil to reduce negative skin friction in case a
sinkhole occures.

2 BEARING BEHAVIOUR OF THE

GEOSYNTHETIC REINFORCEMENT
Figure 4. Tensile Force in the Geosynthetic Reinforcement.
A geosynthetic reinforcement bridges a sinkhole like
a rope or a hammock. Thus the main force is tension.
This behavior is modeled in the FE-analysis by the
implementation of rows of pin-jointed beam elements
in two directions (Fig. 3).
To provide vertical support, the originally horizon-
tal geosynthetic reinforcement must rotate. Thus the
tensile forces get a vertical component. It is obvi-
ous that the forces in the geosynthetic reinforcement
can only be evaluated, when the state of equilibrium
is analysed for the deformed system (geometrically
non-linear behavior).
The geosynthetics which are used to bridge poten-
tial sinkholes usually have a high tensile strength.
Such geosynthetics often possess a smaller deforma- Figure 5. FE-Mesh and boundary conditions.
bility and a remarkable higher tensile strength in
warp direction than in weft direction. This extremely
anisotropic behavior must be taken into account for 3 FE-ANALYSES
the design, especially when a single-layer structure is
planned. The 3D-FE-analyses were carried out using the WBI
Therefore it is compulsory to carry out three dimen- computer code FEST03 taking into account the geo-
sional finite element analyses, in which the under- metrically non-linear behaviour (Hu 1995, Fig. 4). The
ground as well as the geosynthetic reinforcement are finite element mesh and the parameters assumed for
modeled. As described above, also the anisotropy of the presented case are given in Figure 5. The sinkhole
the geosynthetics is taken into account in the presented is modeled by a cubic cavity with a side length of 4 m.
analyses. Thus it is possible to determine the tensile The action of geotextiles as well as of geogrids with a
forces in warp and weft direction of the geosynthetic high tensile strength was investigated.
and by this to design the reinforcement in a safe and The height of the overburden of the geosynthetics
economic way (Wittke & Wittke 2004, Wittke et. al. was varied between 2 m and 6 m. In the presented case
2003, Lke et. al. 2002). it results to the minimum of 2 m. The whole cover

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Copyright 2006 Taylor & Francis Group plc, London, UK

 Figure 6. Displacements (y = 0, FORTRAC R 1200/100
AM).
Figure 7. Forces in the geosynthetic reinforcement (y = 0,
FORTRAC R 1200/100 AM).
material is modeled to be elastic-viscoplastic assuming
Mohr Coulombs criterion of failure. According to the
statement of problem the sinkhole can be assumed to
be stable.
The most important results of the FE-analyses are
the subsidence of the pavement dS , its extent DS and
the maximum forces in the geosynthetics, both in warp
and weft direction (Fx,max and Fy,max ). It is demanded
by the owner that the slope of the depression dS /DS is
less than 0,01.
In the middle of the sinkhole the displacements of
the geogrid result to approximately 17,8 cm (Fig. 6).
Due to the arching action the corresponding subsi-
dence of the pavement results to only dS = 4,6 cm.
The extent of the depression of the pavement results
to approximately 4 m. Thus the value of the maxi- Figure 8. Rate of utilization (y = 0, FORTRAC R 1200/
mum slope is approx. 0,0095, which is less than the 100 AM)
limit value presented by the owner. Remarkable is the
extent of the depression zone at the surface. The sub- results to approx. 41% and in weft direction to approx.
sidence basically is limited to the area immediately 52% (Fig. 8). The reduction factors must be chosen in
above the sinkhole. The assumption of a depression accordance with values given by the manufacturer of
zone according to British Standard BS 8006 (British the geosynthetic reinforcement.
Standard Institution 1995) is not in agreement with the The dashed line in Figure 8 shows the measured
results of the analyses of the presented case. The com- dependency between the tensile force and the strains
puted shape of the depression zone is however at least for the geogrid FORTRAC R 1200/100 AM. The mea-
qualitatively confirmed by the large-scale experiments sured and the assumed dependencies are in good
presented by Paul & Schwerdt (2001). agreement for the calculated forces.
The maximal tensile forces in the geogrid in
warp direction (x-direction) result to approximately
178 kN/m (Fig. 7). Beyond the sinkhole the forces 4 QUALITY ASSURANCE
rapidly decrease. At a distance of approx. 5,2 m from
the sinkhole they result to only 10% of the maximum In addition to the explorations and research work
value. In weft direction (y-direction) the tensile forces before construction dynamic penetration test were car-
result to approximately 19 kN/m and decrease to prac- ried out to find old galleries and to determine the
tically zero within a distance of approx. 1,7 m from the compactness of the ground. Furthermore the success
edge of the sinkhole. of the Dynamic Compaction was proven by means of
If the short-term tensile strength of the geosynthetic these tests.
is reduced by the use of the reduction factors A1 A4 to To determine the parameters of the Dynamic com-
determine the long-term tensile strength and the factor paction, a test field was carried out. By variating
of safety , the degree of utilization of the geosynthetic the number of blows, the height and weight for each
reinforcement can be determined. In warp direction it blow and the distance between the single blows the

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Copyright 2006 Taylor & Francis Group plc, London, UK

 Figure 9. Remote-controlled vibration roller. Figure 10. Dynamic compaction.

most suitable combination for the given conditions was

found.
The quality assurance for the geosynthetic rein-
forcement was carried out according the available
standards (DGGT 1997, Forschungsgesellschaft fr
Straen- und Verkehrswesen, Arbeitsgruppe Erd- und
Grundbau 1994, Landesamt fr Straenbau Sachsen-
Anhalt 2001).
To be able to dimension the bored piles which are
cased with a HDPE-foil large-scale loading test were
conducted.

5 CONSTRUCTION

5.1 Dynamic compaction Figure 11. Placing of geogrid.

Construction works started in February 2003. Imme-
diately after removing the top soil a large number of
sinkholes occured. Therefore it was decided to use a
remote-controlled vibration roller before the Dynamic
compaction (Fig. 9). By means of this measure a high
standard of operational safety could be achieved.
The success of the Dynamic compaction was larger
than expected (Fig. 10). Compaction was achieved up
to depths of 16 to 20 m.
5.2 Geosynthetic reinforcement
The geosynthetic reinforcement was placed accord-
ing to design drawings. A longitudinal overlap of
16 m was required. The single-layer reinforcement
was embedded in sandy gravel and pre-tensioning of
1,52,0 kN/m was applied (Fig. 11).
6 SUMMARY
To secure the highway A 143 against the occurence
of sinkholes Dynamic compaction was carried out.
By applying a single layer geosynthetic reinforcement
potential sinkholes shall be bridged until remedial
works can be carried out. Abandoned shafts were
separately secured and one bridge and two pylons
were founded on bored piles, which are cased with
a HDPE-foil.
The project was completed successfully in 2004.
The described design provides a safe and economic
way for construction. The author thanks the DEGES
for the support and excellent cooperation.
LITERATURE
Bergamt Halle 1995. Bergbauliche Stellungnahme vom
14.8.1995.
British Standard Institution 1995. BS 8006, Code of practice
for strengthened/reinforced soils and other fills. London.
DGGT 1997. Empfehlungen fr Bewehrungen aus Geokun-
ststoffen EBGEO. Berlin: Ernst & Sohn.
Forschungsgesellschaft fr Straen- und Verkehrswesen,
Arbeitsgruppe Erd- und Grundbau 1994. Merkblatt fr die
Anwendung von Geotextilien und Geogittern im Erdbau
des Straenbaus. Kln.

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Copyright 2006 Taylor & Francis Group plc, London, UK

 Hu, Y. 1995. Standsicherheitsuntersuchungen von untertgi-
gen Hohlrumen im Fels nach der Finiten-Elemente-
Methode unter Bercksichtigung der geometrischen
Nichtlinearitt. Verffentlichungen des Instituts fr
Grundbau, Bodenmechanik, Felsmechanik und Verkehr-
swasserbau der RWTH Aachen Heft 29.
Landesamt fr Straenbau Sachsen-Anhalt 2001. Hand-
lungsempfehlungen fr den Einsatz von Geokunststof-
fen zur Sicherung bruchgefhrdeter Straenbereiche in
Altbergbau- und Subrosionsgebieten fr den Dienstauf-
sichtsbereich des Landesamtes fr Straenbau Sachsen-
Anhalt, 2. Entwurf vom Mai 2001.
Lke, J., Wittke, M. & Delsemm, D. 2002. Bemessung
einer Geokunststoffbewehrung zur berbrckung von
Erdf llen mit Hilfe von dreidimensionalen, geometrisch
nichtlinearen FE-Berechnungen. Geotechnik 25 (2002)
Nr. 1.
653
Copyright 2006 Taylor & Francis Group plc, London, UK
Paul, A. & Schwerdt, S. 2001. Untersuchungen zur
berbrckung von Tagesbrchen und Erdf llen durch
Einbau einer einlagigen Geokunststoffbewehrung. 7.
Informations- und Vortragstagung ber Kunststoffe in der
Geotechnik, K-GEO, Mnchen.
Wittke, M., Lke, J. & Delsemm, D. 2003. Erdfallber-
brckung mit einer einlagigen Geokunststoffbewehrung
Bemessung mit Hilfe von geometrisch nichtlinearen 3D-
FE-Berechnungen. 8. Informations- und Vortragstagung
ber Kunststoffe in der Geotechnik, K-GEO, Mnchen.
Wittke, W. & Wittke, M. 2004. Bridging of Sinkholes
by means of a single-layer geosynthetic reinforcement,
design on the basis of 3D geometrically non-linear
FE-analyses. 3rd European Geosynthetics Conference,
Munich.
 EUROCK 2006 Multiphysics Coupling and Long Term Behaviour in Rock Mechanics
Van Cotthem, Charlier, Thimus & Tshibangu (eds)
2006 Taylor & Francis Group, London, ISBN 0 415 41001 0

Long term behaviour and upgrading the stability of old dams

M. Wittke
WBI W. Wittke Consulting Engineers for Tunneling and Geotechnical
Engineering Ltd., Aachen/Stuttgart, Germany

ABSTRACT: The Urft dam, the Diemel dam and the Eder dam are three old masonry dams located in Germany.
The paper describes the rehabilitation measures and the corresponding stability analyses carried out to adjust
the dams to todays standards. Remedial works such as the excavation of inspection galleries, the installation of
a grout curtain with a downstream drainage screen as well as the installation of pre-stressed permanent tendons
were carried out. In all three cases the stability of the upgraded dam could be proven on the basis of finite element
analyses.

1 INTRODUCTION
The stability of the Urft dam, which was built from
1900 until 1905, as well as the Diemel dam and
the Eder dam, which were built between 1908 and
1923, was not sufficient under consideration of todays
standards. Therefore, rehabilitation measures became
necessary.
2 URFT DAM
2.1 Dam and foundation rock
The Urft dam has a height of 58 m and a width at the
foundation level of approximately 50.5 m. The 226-
metre-long dam crest has a curvature with a radius
of 200 m. The Urft reservoir has a storage volume of
approximately 45 million m3 (Fig. 1).
The rock mass in the area of the dam belongs to the
Upper Rurberger layers of the Lower Devonian.
There are massive sandstone layers as well as
alternating sequences of silt-, sand- and claystone
layers at the left slope, whereas silt- and claystones are
prevailing in the middle of the valley. The right hill-
side mostly consists of alternating sequences of silt-
and sandstone layers. The orientation of the families
of discontinuities, which are important for the stability
and the permeability of the underlying rock, are shown
in Figure 2.
2.2 Monitoring program and results
In order to adjust the dam to the generally acknowl-
edged technical standards, an appropriate remediation
program was developed. Most important elements of
the rehabilitation measures were the excavation of
two inspection galleries by blasting and the installa-
tion of a monitoring program, including pore-water
pressure, seepage flow, temperature and extensometer
measurements, a pendulum and an inverted pendulum
device and a crown alignment (Fig. 3), (Polczyk 2001).

Figure 2. Orientation of discontinuities (563 measure-

Figure 1. Urft reservoir. ments).

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Copyright 2006 Taylor & Francis Group plc, London, UK


Figure 3. Measuring cross-section IV.
Figure 4. Three-dimensional finite element mesh.
Moreover Lugeon, dilatometer and large flat jack tests
were carried out.
TheYoungs moduli, resulting from the results of the
large flat jack tests in the rubble stone masonry, range
from 8000 to 12000 MPa. The back analyses of the
displacements measured for the structure do confirm
these values (Wittke & Polczyk 1999).
2.3 Stability analyses
In order to prove the stability of the Urft dam, three-
dimensional finite element analyses were carried out
(Fig. 4). The data gained from the extensive monitor-
ing program were interpreted and used to calibrate the
FE-model. Seepage flow analyses as well as stress-
strain analyses were carried out for the load cases
dead-weight, impounding, temperature changes and
earthquake, using the finite element codes FEST03
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Copyright 2006 Taylor & Francis Group plc, London, UK
Figure 5. Equipotential lines derived from pore-water pres-
sure measurements.
and HYD03 described in Wittke (1990) and Wittke
(2000).
As an example for the pore-water pressure mea-
surements, Figure 5 shows the equipotential lines for
full storage derived from pore-water pressure mea-
surements in the middle of the valley by inter- and
extrapolation. The decline of potential takes place
in the rock mass and in the lower part of the dam
from upstream to downstream down to the level of
the lower inspection gallery. Thus, the distribution of
pore-water pressure on the downstream side of the
inspection gallery is not or only scarcely influenced
by the upstream side. The decline of potential is con-
centrated to a relatively narrow and limited area at the
upstream side. At the downstream side the decline of
potential from the downstream lake (Oberer See) to the
lower inspection gallery is continuous (WBI 2001).
In the rock mass of the Urft dam essentially two
families of discontinuities were explored: Bedding-
parallel discontinuities striking transversely to the val-
ley and dipping at approximately 60 in the upstream
direction, as well as almost vertical joints striking par-
allel to the valley (Fig. 2). The orientation of these
discontinuities leads to a pronounced anisotropic per-
meability of the rock mass. The equipotentials for
full storage in the middle of the valley represented
in Figure 6 resulted from a three-dimensional finite
element analysis taking into account this anisotropy
(WBI 2001). They agree well with the equipotential
lines derived from pore-water pressure measurements
(compare Figure 5 and Figure 6). The coefficients of
permeability the analysis was based on were derived
from geological data, the results of tests carried out,
as well as the interpretation of seepage flow and
pore-water pressure measurements (WBI 2001).

Figure 6. Equipotential lines determined by three-
dimensional seepage flow analysis.
Figure 7. Measured displacements in the middle of the
valley.
In order to enable the numerical evaluation of
the deformations of the dam caused by temperature
changes, which amount to more than 20 C through-
out the year, the distribution of temperature in the dam
is required. For this, a total of 29 temperature gauges
were installed, equally distributed over a measuring
cross-section in the middle of the valley.
Figure 8. Displacements of the dams crest due to a rise
of storage level. Comparison of measurements and analyses
results.
a good agreement between measurement and analysis
is achieved. A pronounced three-dimensional load-
carrying behavior can be observed. By the realistic
modeling of the two abutments of the dam (Fig. 4)
the three-dimensional load-carrying behaviour could
be verified (WBI 2001).
2.4 Concluding remarks
The excavation of the inspection galleries, the renewal
of the drainage system, the monitoring programme
carried out and the interpretation of the measurement
results using three-dimensional finite element analy-
ses enabled an economy-priced rehabilitation of the
dam. A drawdown of the reservoir was not necessary
to carry out the remedial works.
3 DIEMEL DAM
3.1 Dam and foundation rock
The Diemel dam was built from 1912 to 1923.A review
of the stability of the dam in the 1980s showed that the
stability of the dam according to DIN 19700 (edition
1986) was only given for a lowered storage level.
The Diemel dam is a curved gravity dam composed
Due to a temperature increase of T = +10 C a
displacement of the dam crest of approximately 5 mm
towards the upstream side was measured in the middle
of the valley (Fig. 7). The calculated displacements
fit well with the measured displacements (Wittke &
Polczyk 1999). The rise of the storage level of approx-
imately 20 m leads to a displacement of the dams crest
towards the downstream side of some 5 mm as well.
Before the excavation of the inspection galleries the
corresponding displacement was approximately 8 mm
(Fig. 7).
Figure 8 shows the displacements of the dams crest
due to a rise of the storage level of some 20 m. Here also
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Copyright 2006 Taylor & Francis Group plc, London, UK
of Diabase rubble stone masonry and lime trass mortar.
The dam has a maximum height of 42 m and is founded
3.5 m deep in the foundation rock.
The dam crest has a length of 194 m and the radius
of curvature is 250 m (Fig. 9). The storage volume of
the reservoir amounts to approximately 20 million m3 .
At the upstream side the dam was sealed with a
2.5 cm thick coating of cement trass lime mortar with
a sealing coat of paint. At the downstream side as well
as in the area of the foundation drainage tubes were
installed.
In the 1980s it was observed that the drainages were
sintered and the pore-water pressures at the foundation
 Figure 9. Diemel masonry gravity dam.
Figure 10. Remedial works.
level had increased. Therefore, the storage level was
lowered to 374.7 mNN, that means 1.5 m underneath
the original storage level.
The foundation rock consists of Middle Devonian
clayey slates with layers of fine sand. As main sets of
discontinuities, the schistosity and two steeply dipping
joint sets are developed in the rock mass.
3.2 Restoration concept
To prove the stability of the dam for the original stor-
age level of 376.2 mNN a restoration concept was
elaborated. This mainly consisted of three remedial
measures.
First, an inspection gallery at the foundation level
was excavated. Afterwards a grout curtain was con-
structed in the dam and the foundation rock. In the
rock mass the grout curtain is inclined towards the
upstream side at 20 against the vertical (Fig. 10). On
the downstream side of the grout curtain fan-shaped
drainage boreholes were arranged.
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Copyright 2006 Taylor & Francis Group plc, London, UK
Figure 11. Finite element mesh, boundary conditions and
parameters.
3.3 Stability analyses
In order to prove the stability of the Diemel dam taking
into account the remedial measures and considering
the three-dimensional load transfer of water pressure,
3D-finite element analyses were carried out using the
computer codes FEST03 and HYD03 (Wittke 1990,
Wittke 2000). Figure 11 shows the finite element
mesh, the boundary conditions and the parameters, on
which the stability and seepage flow analyses are based
(Wittke & Schrder 2001).
In Figure 12 the computed equipotentials for a stor-
age level of 376.2 mNN in the middle of the valley are
represented. The grout curtain is assumed to be fully
effective. Further it is assumed, that the water pressure
at the bottom of the dam on the downstream side is
only reduced to 40 percent of the full upstream hydro-
static head due to limited efficiency of the drainage
( = 0,4).
The stability of the Diemel dam under consideration
of the remedial measures could be proven according
to DIN 19700 (edition 1986) for the original storage
level of 376.2 mNN (WBI 1995a).
3.4 Excavation of the inspection gallery
The excavation of the inspection gallery along the
foundation of the dam was done by drilling and blast-
ing. The feasibility of this excavation method was
proved with the aid of dynamic analyses with the finite
 Figure 12. Analysed equipotential lines for partly effective
drainage ( = 0,4).
Figure 13. Excavation of the inspection gallery. Blasting
pattern.
element code FEST03 (WBI 1995b). The analyses
were calibrated with the aid of the results of two
blasting tests. The blasting works were carried out with
round lengths of 1 m. The selected blasting pattern is
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Copyright 2006 Taylor & Francis Group plc, London, UK
Figure 14. Muck and profile of the inspection gallery after
blasting.
represented in Figure 13. With this arrangement of
boreholes and charges an excavation true to profile
could be achieved (Fig. 14).
The excavation of the inspection gallery was car-
ried out from three locations. Excavated lengths up to
6 m per day were achieved. The inspection gallery was
completed in the relatively short period of five months
(WBI 1998).
Before each blasting seismic sensors were installed
to supervise the blasting works and to measure the
seismic velocities due to blasting. The limiting max-
imum vertical seismic velocity, which was defined
on the basis of the results of the dynamic analyses,
was not exceeded, with only a few exceptions. Most
of these exceptions were measurements at the dams
crest, which are influenced by reflections (Fig. 15).
The limitation of vibrations was mainly achieved
by a low maximum charge per ignition step (Fig. 13,
Wittke & Kiehl 1999).
3.5 Grout curtain and drainages
The grouting works were carried out with a cement
suspension with a w/c-ratio of 2.0 for the dam and 1.5
for the foundation rock, respectively. The success of
 Figure 15. Maximum vertical seismic velocities (v) as a
function of the distance to the blasting location, measurement
results.
Figure 16. Eder masonry dam.
grouting was checked by Lugeon tests. A mean coef-
ficient of permeability of 2 107 m/s was achieved.
In the dam and the foundation rock 489 grouting bore-
holes with a total length of 16874 m were carried out.
The average amount of grouted cement was 20 kg/m
(WBI 1998).
After the grout curtain was completed 55 drainage
boreholes were carried out as core-drillings from the
crest of the dam. The quantities of seepage flow in
these boreholes were low. From the inspection gallery
another 61 drainage boreholes were sunk in the foun-
dation rock. In two drainage holes temporarily seepage
water quantities of >10 l/min were measured. It is
obvious, that no additional sealing measures were
required (WBI 1998).
4 EDER DAM
4.1 Dam and foundation rock
The Eder dam was built between 1908 and 1914 as a
curved gravity dam to provide water for the Mittelland
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Figure 17. Cross-section of the Eder masonry dam.
canal (Fig. 16). The dam is founded partly on slate
and partly on graywacke of the Lower Carbonifer-
ous. Graywacke and trass cement were used for the
masonry. The dam, which is 36 m wide at the base
and 6 m wide at the crest, is relatively thin. With its
capacity of 202.4 million m3 the Eder reservoir is one
of the biggest reservoirs in Germany (Edertalsperre
1994).
As for many gravity dams built in Germany around
the turn of the century, the absence of pore-water pres-
sure in the dam foundation was assumed in the original
design. Thus, the stability of the dam was not sufficient
according to todays standards.
4.2 Restoration Concept
After careful studies of several design alternatives, a
solution including 104 permanent rock anchors was
given preference, whereby the dam was anchored into
the bedrock (Fig. 17). To distribute the anchor forces,
a load distribution beam was needed on the dam crest.
The design load on each anchor in the area between
the superstructures was calculated as 4500 kN, with
an average spacing of 2.25 m. The length of the load
transfer section of the anchors in the rock was chosen
to 10 m.
4.3 Stability analyses
As in the case histories described above three-
dimensional finite element analyses were carried out
using the computer codes FEST03 and HYD03 (Wit-
tke 1990, Wittke 2000). These served as an aid to the
interpretation of the measured water pressures and dis-
placements in the dam and were also carried out to
review the stability analyses performed by the client
(WBI 1991, Wittke & Schrder 2000).
 Figure 19. Anchor cross-sections.

Figure 18. Drilling of the boreholes for installation of

anchors.

4.4 Method of construction

To construct the load bearing beam, a section of the
original dam crest was separated from the body of
the dam by gap blasting. The parts that were to be
removed were prepared for demolition by loosening
blasting. In the next step, the load bearing beam and
the upper inspection gallery were constructed. After
completion of the overflow crest the piers for the road
were concreted. The sandstone parapet was, as far
as possible, reconstructed with the original stones.
Finally the front of the upstream side of the crest
was faced with quarry-stones (Wittke & Schrder
2000).

4.5 Manufacturing and placement of anchors
The preparatory drillings for the anchors to an
alternating depth of 68 and 73 m were carried out from
the newly constructed crest as wire line core drillings
(Fig. 18).
As the thickness of the masonry dam amounts to
only about 2.5 m between the existing face liner wall
and the lower inspection gallery, the client demanded
borehole deviations of less than 1% of the borehole
length at the level of the lower inspection gallery. Typ-
ically, for core drilling boreholes deviations of 23%
are expected. The contractor, however, achieved an
average borehole deviation of 0.36% at the level of the
lower inspection gallery and of 0.45% at the deepest
point of the borehole.
After drilling, the boreholes were cement grouted.
In the next step, the injected boreholes were re-drilled
with a roller bit and subsequently expanded from
146 mm to 273 mm. After the expansion, the treatment
Figure 20. Anchor manufacturing scheme.
of the boreholes was examined by means of Lugeon
tests (Fig. 18).
The most important elements of the reconditioning
works are 104 permanent rock anchors as described
before. With this anchor type the anchor forces are
transmitted from the anchor head via a load bearing
beam made of reinforced concrete into the masonry.
At the anchor foot, the forces are transmitted by the
grouted bonding section of the anchor into the bedrock.
The load transfer from the anchor head to the anchor
foot is effected by 34 wire strands, ST (steel quality)
1570/1770 with a 150 mm2 nominal cross-sectional
area each (Fig. 19).
As the length of 70 and 75 m and the weight of about
4 t prevented the anchors from being transported by
lorry or train, they were assembled on site (Fig. 20).

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Copyright 2006 Taylor & Francis Group plc, London, UK


Figure 21. Anchor transport and installation.
The anchors were moved to the drilling site on the
crest by means of rollers and subsequently placed
in the borehole by means of a mobile crane and an
installation frame (Fig. 21).
4.6 Concluding remarks
The anchoring of the dam with pre-stressed anchors in
the bedrock results in the masonry dam stability being
in line with current requirements for a future design
life of 80100 years. Two- and three-dimensional
analyses confirmed that applied anchor forces of
2000 kN/m reduce tensile stresses in the dam to tol-
erable values. The reconstruction project proved that
anchors with high capacity can be produced under site
conditions. This presupposes an expert and diligent
execution of all steps as well as constant supervision
up to the very end of construction.
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Copyright 2006 Taylor & Francis Group plc, London, UK
REFERENCES
Edertalsperre 1994. Sonderdruck aus Anla der Wiederher-
stellung der Edertalsperre. Wasser- und Schifffahrtsver-
waltung des Bundes, 6. Mai 1994.
Polczyk, H. 2001. Mehrjhrige Beobachtungen des Ver-
haltens der Urftstaumauer. Geotechnical Engineering in
Research and Practice, WBI-PRINT 10. Essen: Glckauf.
WBI 1991. Edertalsperre. Prfung der Berechnungen
zur Ermittlung der erforderlichen Ankerkrfte. Aachen:
unpubl.
WBI 1995a. Diemeltalsperre. Nachweis der Standsicherheit
der Staumauer. Aachen: unpubl.
WBI 1995b. Sanierung der Diemeltalsperre. Gutachterliche
Stellungnahme zur Machbarkeit des sprengtechnischen
Vortriebs des Kontrollganges. Aachen: unpubl.
WBI 1998. Instandsetzung der Diemelstaumauer. Ausbruch
Kontrollgang, Einpressarbeiten und Drnagebohrungen.
November 1995 bis Mai 1997. Aachen: unpubl.
WBI 2001. Urfttalsperre. Endgltiger Standsicherheitsnach-
weis. Aachen: unpubl.
Wittke, W. 1990. Rock mechanics theory and applications
with case histories. Berlin, Heidelberg, New York, Tokyo:
Springer.
Wittke, W. & Kiehl, J. R. 1999. Measurements and analyses
of the propagation of seismic waves due to blasting. Proc.
9th intern. symp. on interaction of the effects of munition
with structures. Berlin-Strausberg: 523530.
Wittke, W. & Polczyk, H. 1999. The Urft masonry dam,
three-dimensional stability analyses, monitoring and com-
parison of results. Annual meeting, ICOLD. Antalya.
Wittke, W. 2000. Stability analysis for tunnels, fundamentals.
Geotechnical engineering in research and practice, WBI-
PRINT 4. Essen: Glckauf.
Wittke, W. & Schrder, D. 2000. Upgrading the stability of
the Eder masonry dam with prestressed vertical anchors.
Annual meeting, ICOLD. Beijing.
Wittke, W. & Schrder, D. 2001. Eine wirtschaftliche
Lsung zur Instandsetzung der Diemelstaumauer. Wasser-
wirtschaft 91(11): 521527.
 EUROCK 2006 Multiphysics Coupling and Long Term Behaviour in Rock Mechanics
Van Cotthem, Charlier, Thimus & Tshibangu (eds)
2006 Taylor & Francis Group, London, ISBN 0 415 41001 0

TBM performance prediction based on rock properties

S. Yagiz
Pamukkale University, Faculty of Engineering, Department of Geological Engineering, Denizli Turkey

ABSTRACT: The knowledge of rock type and technology using for tunnel opening is essential for any mechan-
ical excavation. In present, utilizing Tunnel Boring Machines (TBM) that is full-face tunnel machine is the most
common way to excavate tunnels since this method offers numerous advantages over drill and blasting methods,
for an example; TBM applies power to the rock in a relatively constant operation, automatically gathers up the
cuttings and conveys them to a haulage unit. Having some prior knowledge of the potential performance of the
selected TBM is very important in rock excavation projects for the scheduling and the cost estimation. Most of
the TBM performance estimation analysis is based on TBM specifications, various intact or mass rock param-
eters. There have been numerous efforts in the last thirty years to develop methods to accurately predict TBM
penetration rate in a given geology and rocks. These models/equations are mainly based on theoretical analysis
combined with empirical data. Using the actual TBM field data, intact and mass rock properties, including rock
strengths, brittleness and joint orientations, that was collected from a recently excavated hard rock TBM project
in New York City, an empirical equation was developed for prediction of TBM performance.

1 INTRODUCTION 2 BACKGROUND

The knowledge of the type of rock to be tunneled
through is essential for any tunneling project. Accu-
rate prediction of Tunnel Boring Machine, (TBM)
performance allows for more reliable estimates of
project scheduling for both time and cost. The key
parameters in all performance estimation analysis are
various intact and mass rock parameters, in partic-
ular rock strength, joints, fractures and brittleness
as well as machine specifications including torque,
thrust and machine power. The aim of this study is
to assess the influence of rock properties on TBM
performance and development of an empirical per-
formance prediction equation. In order to obtain the
aim, geotechnical tests were performed at the EMI
and the field data collected from 16-kilometer Queens
water tunnel (The Queens Water Tunnel # 3) that was
excavated in fractured hard rock by using High Power
TBM in the City of New York. This research was
performed at the Earth Mechanics Institute (EMI) of
Colorado School of Mines (CSM) in the U.S.A. At
the EMI, geotechnical laboratory testing includes Uni-
axial compressive strength (UCS), Brazilian tensile
strength (BTS), punch penetration test, was conducted
on samples gathered from the tunnel. Tunnel geology
mapping was conducted and consequently orientation
and spacing of fractures was measured in the field
to establish database; as a result, an empirical TBM
performance estimation equation was developed as
function of intact and mass rock properties.
In the past and recent, in order to predict TBM per-
formance equation and model development are the
ultimate goal of many researchers (Ozdemir, 1977;
Tarkoy, 1987; Bruland, 1999; Sharp and Ozdemir,
1991; Nelson, 1983; Barton, 2000). Numerous models
and equations were introduced for the same purposes.
These equations and models are usually based on
both empirical and semi-theoretical approaches. The
interrelationship between cutter wear, machine oper-
ation, continuous mucking, and support installations
requires an evaluation of many factors affecting TBM
performance. The rock cutting process involves the
indentation of a rock surface by a cutting tool as it is
driven forward, leaving behind it a groove and frac-
tured and crushed rock (Dollinger, et al. 1998). All
mechanical rock-cutting tools share the same prin-
ciples; accordingly, many efforts have been made to
develop performance prediction models and theories
offering explanations into the force-penetration behav-
ior of rocks (Roxborough 1975; Ozdemir, 1977; Cook
et al. 1984; Sanio 1985; Snowdon et al. 1983; Pang
et al. 1989). Swain and Lawn (1975) provided the
most comprehensive description of indentation frac-
ture in rock to express the fracture phenomenon in
rock cutting. Paul and Sikarski (1965) proposed a
theoretical model for wedge penetration, omitting the
crashed zone occurrence phase and emphasizing the
brittle chip occurrence phase for brittle isotropic rock.
Wijk (1982) modified Paul and Sikarskis proposal to

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Copyright 2006 Taylor & Francis Group plc, London, UK

 account for the interaction between penetrations. Cook in detail to examine the influence of various intact
et al. (1984) performed a series of acoustic emission and mass rock properties on TBM performance.
tests to observe crack growth in hard rock loaded by an Following geotechnical tests, investigation and field
indentor. Graham (1976), Farmer and Glossop (1980), studies was performed to obtain the purpose of
Snowdon et al. (1983), and Sanio (1985) achieved research.
strong correlations between rock compressive strength
and the specific energy defined as the amount of
energy needed to excavate a unit volume of rock. 3.1 Geotechnical testing and methodologies
Influence of joints and plane of weakness were exam-
In order to investigate engineering rock properties that
ined (Roxborough, 1975; Ozdemir and Miller, 1978;
affect TBM performance and to establish a database,
Sanio, 1985; Sato et al. 1991). Tarkoy (1987) devel-
an intensive rock coring, sampling, and testing pro-
oped an empirical relationship between total hardness
gram were conducted in both field and laboratory.
and TBM rate of penetration. Cassinelli et al (1982)
Intense rock sampling was conducted at 151 points
used a rock structure rating (RSR) system for corre-
along the tunnel where fractures by means of faults,
lation with TBM performance. Nelson (1983) studied
shear zones, and joints set were encountered so that
TBM performance at several tunneling projects mainly
correlations among the rock mass, intact rock, and
in sedimentary rock formations by comparing the
TBM penetration rate could be developed.
instantaneous penetration rate achieved with different
In tunnel, rock samples were obtained and pre-
rock properties. Aeberli and Wanner (1978) studied
pared in the laboratory for testing according to
effects of schistosity on TBM performance. Barton
ASTM (American Society for Testing and Materials,
(1999, 2000) reviewed a wide range of TBM tun-
1995) and industrial standards. Uniaxial compres-
nels to establish the database for estimating rate of
sive strength (UCS), Brazilian tensile strength (BTS)
penetration, utilization. In order to estimate the TBM
test were performed according to ASTM D3967 and
penetration rate, Barton slightly modified the exist-
D4543 respectively. Punch penetration index (PI) test
ing Q rock classification system and produced a new
that is used for investigation of intact rock brittleness,
equation, defined as QTBM that was used for estimating
was performed according to recommended industrial
rate of penetration. Norwegian Institute of Technology
standards (Atlas-Copco-Robbins, 1995; Dollinger,
(NTNU) has developed a comprehensive empirical
et al. 1998).
performance prediction model that considers intact
UCS can be used to evaluate the resistance of the
rock and rock mass properties as well as machine
rock against the indentation of the cutting tool into the
parameters (Lislerud, 1988; Bruland, 1999). Colorado
rock surface. Great attention must be paid as to how
School of Mines has developed a semi-theoretical
the sample failed during UCS testing. Brazilian Ten-
model, based on the measurement and evaluation
sile strength is another common rock property, which
of the cutting forces on individual cutter (Ozdemir,
is used in making boreability predictions along with
1977). Rostami and Ozdemir (1993b, 1993c) improved
the UCS of the rock. BTS is generally intended to pro-
this model theoretically by estimating cutting forces
vide an indication of rock toughness from a viewpoint
as a function of intact rock properties, including
of crack propagation between adjacent cutter paths.
uniaxial compressive and tensile strength of rock,
While developing database, great attention was paid
and the cutter geometry. Yagiz and Ozdemir (2001,
for observing rock failure. Those samples, which were
2002) modified the CSM model by adding brittle-
observed to fail along existing rock defects, such as
ness of intact rock and fracture properties of rock
joints, fractures, bedding or foliation, were classified
masses as indices into the model. Yagiz (2002) also
as structural failure. Where the sample failure was not
developed some empirical relationship between TBM
controlled by any defects and occurred in an intact
performance, intact and mass rock properties. Yagiz
manner, the sample was noted as having failed in a
(2002) stated that rock fracture and brittleness is more
non-structural manner. This classification is of crucial
significant parameter to estimate TBM performance
importance since the structural failures do not repre-
in comparison with other rock properties such as
sent the actual UCS and BTS of rock. All the structural
strengths.
failures were excluded to present the true strengths of
the rock.
Another rock property, which affects borability, is
3 GEOTECHNICAL INVESTIGATION AND the brittleness or the plasticity, which the rock exhibits
DATABASE ESTABLISHMENT as subjected to the mechanical forces generated by the
cutting action of an excavator. In general, rock cut-
In order to develop an empirical performance ting efficiency of any mechanical tool improves with
estimation equation, extensive geotechnical and increasing brittleness exhibited by the rock formation.
mechanical field data from a 16-kilometer hard rock Thus, brittleness is a highly desirable feature of the
tunnel in New York City, was collected and analyzed rock from a boreability standpoint. One of the tests,

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 Table 1. Fracture class designation (FCD) with correspond-
ing spacing of fracture (Modified from Bruland, 1999). Table 2. An example of intact and mass rock database.

Spacing of Field
Rock fracture Stations UCS BTS Fs Alpha PI ROP
class -Fs-(m) Rock description (m) (MPa) (MPa) (m) ( ) (kN/mm) (m/hr)

O Greater Totally massive rock interval with 269 200 9.3 0.80 25 55 2.19
than 1.6 few joints or fissures. Fracture 280 199 9.3 1.60 21 55 2.12
spacing must be greater than 1.6 m 302 199 9.1 2.00 20 55 1.88
O-I 1.6 Massive rock interval with fracture 473 190 9.0 0.20 42 56 2.81
spacing of 1.6 m. 560 189 9.0 2.00 40 56 2.20
I- 0.8 Relatively massive rock interval 929 168 9.8 1.60 41 58 2.37
with fracture spacing of 2.63feet 989 174 9.9 2.00 35 58 2.34
I 0.4 Fractured rock interval with fracture 1021 178 10.1 0.40 61 58 2.90
spacing of 0.8 m 1027 181 10.1 0.20 55 57 3.04
II 0.2 Well fractured rock mass with fracture 1045 184 10.2 0.40 49 57 3.07
spacing of 0.2 m 1179 192 10.3 0.4 32 54 3.04
III 0.1 Highly fractured rock mass with 1183 191 10.4 0.40 34 54 2.95
fracture spacing of 0.10 m 1213 191 10.0 0.10 23 53 2.66
IV 0.05 m or Highly brecciated with closely spaced 1258 194 10.0 0.40 33 52 2.30
less anastomosing fractures exhibiting 1262 195 10.0 0.40 30 52 2.17
spacing of 0.05m or less. Commonly 1529 188 10.6 0.20 29 46 2.87
associated with zones of stress relief, 1538 188 10.6 0.20 24 45 2.48
fault breccia, and fault gouge. 1606 193 11.0 0.80 41 43 2.02

ROP refers to rate of penetration

which help assess the brittleness of the rock in the

laboratory, is the Punch Penetration Index test. In this
test, a standard indentor is pressed into a rock sam-
ple that has been cast in a confining ring. The load
and displacement of the indentor are recorded with a
computer system. The slope of the force-penetration
curve, named as PI, indicates the excavability of
the rock. Additionally, In foliated/bedded rock, frac-
tures can play a significant role in rock fracture
propagation between cuts, depending on the folia-
tion/fracture direction with respect to the direction of
machine advance.
Along the tunnel, fractures, faults and shear zones
were observed and orientation and fracture condi-
tions were quantified for database. Alpha angle that
fractures make with tunnel axis was calculated as a
function of fracture orientation and tunnel axis accord-
ing to the purposed equation (Lislerud, 1988; Bruland,
1999) as follows:
Where s is the strike and f is the dip of the
fracture; and t is the bearing of the tunnel axis.
Fracture class designation (FCD) has been used for
fracture classification in terms of spacing for database
development (Table 1). As fracture spacing is more
than 1.6 m, it was taken as 2 m to quantify spacing of
fracture for developed database.
Geotechnical testing and investigation was con-
ducted in detail, there were more than 150 data set
in the database; however, it was difficult to give the
entire database in this paper due to page limits. Thus,
developed database of intact and mass rock properties
including UCS, BTS, PI, , Fs have been given as an
example in Table 2.
UCS of rock in the database ranges from 100 to
200 MPa. The average UCS of the rock was 150 MPa.
BTS of rock ranges from 6.5 MPa to 12 MPa with aver-
age value of 9.5 MPa. Range of PI was 25 to 58 with
average of 35 kN/mm. Furthermore; rock mass prop-
erties are also ranges quite widely. Spacing of fractures
ranges from 0.05 m to 2 m and alpha angle ranges from
2 to 89 degrees.
3.2 TBM field data collection and evaluation
The machine specifications, such as thrust and power
are the key to providing sufficient amount of forces and
torque to support the excavation operation. Machine
thrust should provide the enough force to efficiently
penetrate the tools into the rock surface. Also, the
cutterhead torque and power requirements to rotate
the head at the required penetration rate and over-
come the rolling force resistance of the cutters has
to be determined and installed on the head. A new
high-powered Robbins machine was utilized on an
approximately 16km long water tunnel. The tunnel was
excavated using Robbins open-faced main beam TBM
with Machine model 235282.
The machine bored through hard jointed formations
of varying rock types, including biotite-hornblende

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 Table 3. Specifications of Queens High Power TBM- Table 4. An example of TBM field database.
Machine Model 235282.
TBM field performance and power TBM
TBM Diameter 7.06 m Field
Diameter Range 6.5 to 8.5 m Stations Thrust Cutter Torque Cutterhead ROP
Cutters diameter 19 inches (48.26 cm) (m) (ton) Load (ton) (ton-m) Power (HP) (m/hr)
Number of Disc Cutters 50
Max. Individual Cutter Load 70 000 lbs (31.5 ton) 269 1511 30 99 1150 2.19
Cutterhead 280 1535 30 102 1187 2.12
Max. Cutterhead Thrust 3 500 000 lbs (1587.5 ton) 301 1512 30 95 1106 1.88
Cutterhead Drive electric motors/hyd 473 1587 32 136 1580 2.81
Cutterhead Power 4220 hp (10 422 hp) 600 1685 34 149 1728 2.20
Cutterhead Speed 8.3 RPM 929 1725 35 132 1533 2.37
Cutterhead Torque 2 669 000 ft-lb (1210 ton) 989 1783 36 162 1884 2.34
Thrust Cylinder stroke 6-ft (1.83 m) 1021 1429 29 140 1628 2.90
Hydraulic System 200 hp 1026 1737 35 172 1998 3.04
System Operation pressure at maximum 1045 1586 32 181 2098 3.07
Cutterhead Thrust 4 500 psi (31 MPa)
Maximum system pressure 5 000 psi (34.5 MPa)
Electrical System
Motor Circuit 660 VAC, 3 phase, 60 Hz calculated according to stroke base that means
Back-up Power 600 kVA for every 1.83 m. Average rate of penetration
TBM Weight (approx.) 1 410 958 lb (640 ton) was 2.04 m/hr with maximum 3.27 and minimum
1.27 m/hr.

gneiss intermixed with granite gneiss, amphibo-
lite, pegmatite, and biotite schist. The machine has
a diameter range of 6.5 m to 8.5 m and incorpo-
rates the latest main bearing and cutter technologies
to achieve peak performance in hard and abrasive
rock. TBM specification of the project was given in
Table 3.
The TBM operational data for the Queens Tun-
nel was analyzed for the entire length of the tun-
nel. All data derived from the control system of the
machine was recorded on a standard personnel com-
puter (PC), which was connected to the control system
via modems, or via a local connection; logging was
done automatically. The data was stored on the PC hard
drive, which could then be printed in text or graphical
form. The data was easily accessible for analysis by
another program, such as a spreadsheet or a database
program. Separate daily files, in which the pertinent
variables were stored, were created on the hard drive. In
order to analyse the TBM field data, an Excel macro
program was written to open the two daily raw data
files and retrieve the data according to the shift sched-
ule. As mentioned earlier, since the database are quite
wide range, entire database could not have been pub-
lished in this manuscript; however, as a result of the
research, developed TBM database was given as an
example in Table 4.
TBM field data analysis was performed to deter-
mine the average cutter load generated at each tunnel
sampling location during excavation. The cutter load
was determined by simply dividing the gross thrust
by the total number of cutters on the machine. The
average cutter load was 32.8 ton with maximum
38 and minimum 24 ton. Rate of penetration was
4 INFLUENCE OF INTACT AND MASS
ROCK PROPERTIES ON TBM
PERFORMANCE
It is commonly considered that the uniaxial com-
pressive strength of the rock is the most significant
parameter for TBM performance estimation. However,
if the rock mass has heavily fracture and shear zone,
intact rock strength cannot be enough to performance
estimation since it is barely represent the rock mass
properties. Actually, in this particular case, correlation
between rock strengths including UCS and BTS, and
ROP were conducted, the relationship was not reliable
(Figure 1 and 2). It is stated that if rock mass frac-
tured and heavily foliated along the tunnel, then the
intact rock strengths affect is less than thought on TBM
performance. As a result of the multivariable regres-
sion analysis, stated that the rock fracture properties
and rock brittleness are two significant rock properties
that mainly controls TBM performance in rock mass.
Effect of rock brittleness and alpha angle, calculated
as a function of rock fracture properties, on TBM per-
formance is given in Figure 3 and 4 below respectively.
As seen from Figure 3, spacing of fractures has impact
of TBM performance. As the spacing between the frac-
ture increase, then the TBM performance increases as
well; however, if the fracture spacing is really close
or less than 0.2 m, then the machine performance
decreases due to downtime increment for support and
other effects.
In the Figure 4, demonstrated that the maximum
TBM performance was obtained, as the alpha angle
that fractures make with tunnel axis was 5065
degrees.

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Copyright 2006 Taylor & Francis Group plc, London, UK

 3,50 3,50
Measured Field ROP (m/hr)

Measured Field ROP (m/hr)

3,00 3,00
2,50 2,50
2,00
2,00
1,50
r = 0.26 1,50
1,00 r = 0.46
1,00
0,50
100 125 150 175 200 0,50
UCS (Mpa) 0 10 20 30 40 50 60 70 80 90
Alpha Angle (degree)
Figure 1. Relationship between measured field ROP and
UCS . Figure 4. Relationship between measured field ROP and
alpha angle.
3,50
Measured Field ROP (m/hr)

3,00 3,50
Measured Field ROP (m/hr)
2,50 3,00

2,00 2,50

1,50 2,00

1,00 1,50
r = 0.10
0,50 1,00 r = 0.63
5,0 6,5 8,0 9,5 11,0 12,5
0,50
BTS (MPa) 20 25 30 35 40 45 50 55 60
Figure 2. Relationship between measured field ROP and PI (kN/mm)
BTS.
Figure 5. Relationship between measured field ROP and
rock brittleness.
3,50
Measured Field ROP (m/hr)

3,00 impact on TBM performance with 0.63 of correlation

coefficient.
2,50

2,00
5 STATISTICAL APPROACH AND EMPIRICAL
1,50 EQUATION DEVELOPMENT

1,00 Intensive field and laboratory research was conducted

0,50
0,00
Figure 3. Relationship between measured field ROP and
spacing of fracture.
It is known that rock brittleness that refers to punch
penetration index (PI) have significant impact on the
TBM performance. If the brittleness of rock increases,
TBM performance increase as well due to easy chip-
ping as the machine goes forward to rock mass. In
the Figure 5, shown that rock brittleness has great
at the Earth Mechanics Institute (EMI), for analyzing
the affect of fractures, strengths and brittleness of the
0,50 1,00 1,50 2,00 rock on the TBM performance.
Spacing of Fracture (m) Having complete the geotechnical site investiga-
tion, geomechanical laboratory testing and TBM field
data analysis, in order to obtain the relationship among
the parameters including spacing of fractures, alpha
angle and rock brittleness, rock strengths together with
TBM field penetration rate, database was established
and used for deriving an empirical equation to estimate
TBM penetration rate.
Statistical software was conducted to perform the
multiple variable regressions between the rock prop-
erties and TBM field penetration rate. In other words,

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Copyright 2006 Taylor & Francis Group plc, London, UK

 Table 5. An example of database variables and predicted ROP.

Field Predict
Station UCS BTS Fs Alpha PI ROP ROP
(m) (MPa) (MPa) (m) ( ) (kN/mm) (m/hr) (m/hr)

269 200 9.3 0.80 25 55 2.19 2.55

280 199 9.3 1.60 21 55 2.12 2.34
302 199 9.1 2.00 20 55 1.88 2.25
473 190 9.0 0.20 42 56 2.81 2.83
560 189 9.0 2.00 40 56 2.20 2.43
929 168 9.8 1.60 41 58 2.37 2.61
989 174 9.9 2.00 35 58 2.34 2.49
1021 178 10.1 0.40 61 58 2.90 2.92
1027 181 10.1 0.20 55 57 3.04 2.93
1045 184 10.2 0.40 49 57 3.07 2.85
1179 192 10.3 0.40 32 54 3.04 2.66
1183 191 10.4 0.40 34 54 2.95 2.68
1213 191 10.0 0.10 23 53 2.66 2.65
1258 194 10.0 0.40 33 52 2.30 2.60
1262 195 10.0 0.40 30 52 2.17 2.57
1529 188 10.6 0.20 29 46 2.87 2.44
1538 188 10.6 0.20 24 45 2.48 2.40
1606 193 11.0 0.80 41 43 2.02 2.29
1756 183 10.2 0.80 20 39 1.87 2.06
1757 182 10.2 0.80 66 39 2.00 2.29
1768 182 10.3 0.40 55 39 2.45 2.35
1960 193 11.4 0.40 55 42 2.18 2.39

the program finds the best-fit regression between the 3,25

parameters in a linear combination, as follows:
3,00
Measured Field ROP (m/hr)

2,75
2,50
where y = Objective parameter, Rate of penetration; 2,25
x1 , x2 , ,xn = Independent variables; a1 , a2 , ,an =
Calculated coefficients; e = error. 2,00
In order to develop the best linear relationship 1,75
between the parameters and the objective parame- 1,50 r = 0.81
ters, input parameters need to be defined as they are
or as functions. Using the multiple regression anal- 1,25
ysis between variables, the following equation was 1,00
developed relating the field penetration rate to rock 1,00 1,25 1,50 1,75 2,00 2,25 2,50 2,75 3,00 3,25
mass properties; including spacing of fractures, orien- Predicted ROP (m/hr)
tations, brittleness and rock strengths, UCS and BTS.
Finally, obtained predictor equation is: Figure 6. Relationship between predicted ROP and mea-
sured field ROP.

Where, ROP refers to rate of penetration in m/hr, is an
alpha angle in degree, PI is a punch index in kN/mm;
t and c refer to uniaxial compressive strength and
Brazilian tensile strength of rock in MPa respectively.
In order to achieve the equation, established
database parameters and predicted ROP result that was
calculated by using purposed equation, were given in
Table 5.
The results provided a linear relationship between
measured field ROP and predicted ROP as given in
Figure 6. The predicting TBM performance equation
was derived as a function of intact and mass rock
properties with r-value of 0.81. An r-value equal to
or greater than 0.35 is usually considered statisti-
cally significant at the 95-percentile confidence band
(Snedecor, 1967).

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Copyright 2006 Taylor & Francis Group plc, London, UK

 In introduced equation, each rock properties have
influence on TBM performance in different level.
In the equation, the most effective parameters are
alpha angle, spacing of fracture and rock brittleness
respectively.
As a result, purposed equation could be used with
caution for hard rock TBM penetration rate estima-
tion. As the more data would be available, the equation
could be made more accurate and reliable with some
modification.
6 CONCLUSIONS
Rock cutability and borabilty assessment methods are
numerous and complex. The objective of this paper
was to summaries important existing literature and
intruding new empirical equation to predict TBM
performance as a function of intact and mass rock
properties. As a result of the research followings were
found; Uniaxial compressive and Brazilian tensile
strength of the rock is not enough to estimate TBM per-
formance since these two parameters do not represent
actual rock mass strength especially in fractured rock
condition. Rock fractures in the rock mass have a major
impact on TBM performance. Widely spaced fractures
oriented parallel to the tunnel axis ( = 0 ) provide
the at least benefit to TBM performance, and closely
spaced fractures oriented around 50 65 to the tunnel
axis provide the better rate of penetration. However,
if the rock fractures are very close to each other then,
fractures provide less benefit and may reduce the TBM
penetration rate due to decreasing TBM utilization and
increasing time required to install support. Rock brit-
tleness is another main parameters should account for
estimating the machine performance. The TBM pene-
tration rate was found to increase as rock become more
brittle, resulting more efficient fracture development
and chip formation. It is concluded that spacing, and
orientation of rock fractures and rock brittleness could
be more important than the intact rock strength (UCS
and BTS) forTBM performance in especially fractured
and sheared rock masses condition.
ACKNOWLEDGEMENTS
The author would like to thank to Earth Mechanics
Institute at Colorado School of Mines, U.S.A., and to
Professor Dr. Levent Ozdemir, director of the Institute,
for his support and encouragement.
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 EUROCK 2006 Multiphysics Coupling and Long Term Behaviour in Rock Mechanics
Van Cotthem, Charlier, Thimus & Tshibangu (eds)
2006 Taylor & Francis Group, London, ISBN 0 415 41001 0

Stress-released slope movement induced by excavation in fault zone

Z.Y. Yang
Department of Civil Engineering, Tamkang University, Taipei, Taiwan

J.Q. Hsiao
Hsiao-Jong-Quan Geotechnical Consultant, Tauyuan, Taiwan

H.M. Chen
Kung-Sing Engineering Corporation, Taipei, Taiwan

ABSTRACT: A 5 m shallow excavation in Hsinchuang fault zone in Taiwan causes a serious slope movement.
Numerous tensile cracks indicating slope instability appear at the upper ground surface to 80 m far away from
the open cut. A trial excavation in 3 m depth is carried out in field to investigate the lateral displacement behavior
of the high-stressed material in fault zone. To monitor the free displacement of the cut, no support is applied and
an inclinometer is pre-installed close to the wall of excavation. After excavating, a surface tension-crack opening
5 cm in width is rapidly developed in 2 hours. Finally, the squeezing wall of excavation failed in toppling by the
tension crack. This field observation indicates that the faulted material is in a highly stressed condition and is
quickly squeezing by the released stress.

1 INTRODUCTION

A shallow excavation with 5 m depth of dormitory

building in Hsinchuang fault zone for MRT main-
tenance in northern Taiwan causes a rapidly lateral
slope movement. Building near the excavation was
tilted and several tensile cracks extended far from
the ground surface of upper slope of dormitory cut.
The range of surface cracking progressively reaches Figure 1. Section of soil formation of the dormitory and
to 80 m far away from the cut in five days. It reveals an retaining wall in the slope.
instability phenomena or rapid landslip in this slope.
However, this angle of this slope in landscape (see
Figs. 13) is smaller than 6 . This is very safe in slope
stability. According to the experimental data and sup-
port design, the excavation and support system actually
are on the safe side. In the other hand, the field dis-
placement measurements of inclinometers show that
the possible slip surface of landslip in this slope is
not a circular, but limited within a certain distance.
This implies that the slip surface could be cut off by a
vertical tension crack in a certain distance.
This study is aimed to explore the failure mech-
anism of this slope movement in fault zone due to
excavation. A trial cut (10 m 4 m in area) of vertical
opening with 3 m depth, no applied support, is per-
formed beside by the dormitory in the field. In order
to observe and measure the wall lateral displacement
by pre-setup inclinometer close to the face of cut in Figure 2. Front view of the gentle landscape and dormitory
50 cm. site.

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Copyright 2006 Taylor & Francis Group plc, London, UK

 0.5
fault breccias

0.4

Axial stress (Kg/cm2)

0.3

Figure 3. Location of dormitory excavation related to 0.2

retaining wall.
0.1

water content : 32.5%

0
0 0.02 0.04 0.06 0.08
Axial strain

Figure 5. Stress-strain behavior of fault breccias and the

sheared fracture plane.

24
inclinometer (at 1 m depth)
Lateral Displacement (mm)

16

0
2nd Excavating

-8 1st Excavating & Backfill

Figure 4. Topography of the MRT plan and the fault zone
distribution.
2 GEOLOGICAL CONDITION
This location of MRT dormitory buildings is close to
a reversal fault -Hsinchuang fault (see Fig. 4). Actu-
ally, the formation material of ground within cut is the
fault breccias (with mudstone, shale and sandstone)
in faulted zone which is highly stressed. As shown in
figure 3, the stick-slip in the axial stress- strain curve
of mudstone (see Fig. 5) indicates the inhomogeneity
of fault breccias. The coarse grain of fault breccias also
appears in the sheared surface of mudstone under axial
compression. The grain shape of these fault breccias
is sub-rounded and the maximum size is about 2.6 cm.
The properties of the mudstone are: residual cohe-
sion (C) = 0.4 kg/cm2 , the residual friction angle =
25 (from the direct shear test), unit weight = 23 kN/m3 ,
and moisture content = 8%.
The amount of free swelling for mudstone in water
content of 15% is up to 312%. The swelling poten-
tial of the mudstone impacting on slope stability is the
most concern in previous design suggestion for this
MRT excavation project. However, the mudstone sam-
ple (with fault breccias) contains 84% finer of clay.
From, the experimental result, it shows that the per-
meability of groundwater in this ground formation is
very small and the seepage of groundwater is very
slow. Thus, the swelling could not be the possible for
this rapid slope movement.
-16
0 50 100 150 200 250 300 350 400
(2004 /1/ 1) Time (day) (2005 /1/7)
Figure 6. Measurement of lateral displacement by incli-
nometer (at 1 m depth).
3 MEASUREMENT OF SLOPE MOVEMENT
Before the excavation of dormitory building, a retain-
ing wall system of concrete grid-beam with bolts 6 m in
long (see Figs. 23) was constructed in the upper slope
to stabilize the surface deposit. Several inclinome-
ters were setup to monitor the slope stability during
the dormitory excavation. The excavation of dormitory
located near 20 m to the toe of retaining wall. In design
stage, the excavation method is to be cut in 45 slope,
because of the high safety in the gentle landscape.
In March 2004, during the excavating of dormitory
(named 1st excavation), a remarkable displacement
was monitored by the inclinometers (see Figure 6). An
urgent backfill into the excavation space in the field is
determined and stop this excavating. Moreover, to
guarantee the safe in successive excavating of dor-
mitory building, a series of PIP piles in 10 m long
were driving near the toe of retaining wall (Hsiao et al.
2005).
After four months, for a second time the excavation
(2nd excavation) is opening deep to 5 m. However,
a violent displacement as shown in Figure 6 as well
appears in the measurement of inclinometer. The total

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Copyright 2006 Taylor & Francis Group plc, London, UK

 Figure 7. Monitoring inclinometer is pre-setup close to the
trial vertical open cut.

lateral displacement at 1 m depth is about 16 mm in a

short period. During this period, no remarkable pre-
cipitation of rainfall and excavating work take place
near this site. In addition, at the upper ground surface,
numerous tensile cracks reach to 80 m far away from
the open cut. The abnormal influence distance by this
excavation in fault zone is 16 times of the excavating
depth.
The existence of such tensile cracks indicates that in
a certain zone of the potential sliding mass the tension
force has exceeded the tension strength of the slope
medium (Zhang & Chowdhury 1989). This means that
the retaining wall and driving piles are insufficient to
stabilize the slope movement. The mechanism of slope
movement in this gentle slope is ambiguous and thus
a trial excavation is determined.

4 TRIAL EXCAVATION

A trial cut of vertical opening with 3 m depth (10 m

4 m area in size) is carried out beside the dormitory in
the field. In order to monitor the real lateral displace-
ment close to the wall of excavation, an inclinometer
is set up very close to the cut face in 50 cm (see Fig. 7).
For measuring the free displacement behavior, no sup-
port is applied to this trial excavation. Four sensors
are setup at depth of 1.5, 2.5, 5 and 10 m to record the
lateral displacement. Each lateral displacement data
in the inclinometer is automatically recorded in each
5 minutes.
As shown in Figures 7 and 8, a curve tension-crack
in 5 cm width at the ground surface (see Fig. 9) is
rapidly developed in 2 hours after excavating. The
tension crack gradually vertically extended to deep
and became wider. A rock block (in 1 m thickness)
within this tension zone is squeezing outward step by
Figure 8. The failure procedure of tension-crack and top-
step. Finally, this rock block is toppling failure in five
pling failure in 2 hours after excavating.
minutes. The vertical surfaces of this tension cracks

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Copyright 2006 Taylor & Francis Group plc, London, UK

 Figure 9. Lateral displacement rate at different depth of
faulted material by stress released.
in sidewall are very rough shown in Figure 8(c). This
demonstrates the mechanism of cracking is fractured
in tension. The lateral movement of excavation wall is
mainly contributed by the tension-crack opening and
wall squeezing.
Figure 9 shows the rate of lateral displacement at
different depth. It is found that the lateral displace-
ment is mobilized from 10 minutes after complete
cutting. Then, the extension rate of tension cracking
is kept constant. Finally, the rate decreases due to the
separation of this rock block where the inclinometer
is setup. The rate of displacement at 1.5 m depth is
faster than that at 2.5 m depth. The rate of tensile-crack
opening is about 17.5 mm per hour (i.e. 0.3 mm/min) at
the top surface for this fault zone. In the other hand, the
rate of tension crack opening at 2.5 m depth is 4.2 mm
per hour (i.e. 0.07 mm/min). Therefore, the cracking
rate is about 4 times per meter in depth direction. The
tension crack rapidly propagates to 1 m in depth within
10 minutes.
5 DISCUSSIONS AND CONCLUSIONS
5.1 Creep or squeezing
The time-dependent behavior of lateral displacement
of fault material actually is linear during excavating.
This time-dependent displacement behavior is very
different to the typical creep behavior which has the
primary, secondary and tertiary creep stages. It is also
different to the S-shaped swelling behavior due to
ingress of moisture of mudstone. The displacement
behavior of fault material in this faulted zone is mainly
dominated by the high-stressed or over-consolidated
situation.
Barla (1995) defined that squeezing is synonymous
of overstressing. Squeezing implies rock mass failure
associated with volumetric expansion due to over-
stressing. The reasons of squeezing in this study are:
(a) excessive faulted pressure; (b) the dissipation of
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Copyright 2006 Taylor & Francis Group plc, London, UK
Figure 10. A safe excavation in normally-consolidated
clayey soils in Hsinchu of northern Taiwan.
residual stress. The observation of this research indi-
cates that the faulted material in this MRT mainte-
nance site displays the property of a squeezing ground.
5.2 Critical tension crack
A normally-consolidated formation of cohesive soil in
northern Taiwan being excavated deep into about 3 m
is shown in Figure 10. This figure demonstrates that
the excavation is very safe. Actually, the excavation
is smaller than its critical excavation depth in a cohe-
sive soil. Therefore, the critical depth of excavation
to form a tension crack in this trial excavation is more
than 3 m. However, a visible tension crack and remark-
able displacement appeared rapidly. The result shows
that the slope movement is primarily caused by pro-
gressively stress releasing. The displacement rate of
faulted material is much faster as we know.
As a result of stress-released, additional earth pres-
sure released from the in-situ stress will applied to
the man-made supporting system. To ensure the safe
of excavating within fault zones, this additional
earth pressure must be taken into consideration. The
approach of small-region excavating in turns to reduce
the rate of released-stress is preferential. In practice, a
quick supporting scheme or pre-cast retaining system
is suggested. However, the quantity of released stress
or displacement rate needs greater study.
REFERENCES
Barla, G. 1995. Squeezing rocks in tunnels. ISRM News
Journals, 3/4: 4449.
Hsiao, J.Q.,Yang, Z.Y., Chu, C.C. & Chen, H.M. 2005. Lateral
slope flow induced swelling in fault gouge excavation.
11th Conference on current researches in Geotechnical
Engineering in Taiwan, paper No: 06.
Zhang, S. & Chowdhury, R.N. 1989. Identification of critical
slope failure surfaces with critical tension cracks. Rock
Mechanics as a Guide for Efficient Utilization of Natural
Resources. Rotterdam: Balkema.
 4.4 Numerical simulations

Copyright 2006 Taylor & Francis Group plc, London, UK

 EUROCK 2006 Multiphysics Coupling and Long Term Behaviour in Rock Mechanics
Van Cotthem, Charlier, Thimus & Tshibangu (eds)
2006 Taylor & Francis Group, London, ISBN 0 415 41001 0

Hydrogeological modelling of rock mass by MDS-IDW technique

K. Aoki & Y. Mito

Kyoto University, Kyoto, Japan

ABSTRACT: A new imaging method for the establishment of hydrogeological model of rock mass is proposed.
The hydraulic data set of cross-hole test, which represents hydraulic property of in situ rock mass, is processed
to evaluate a spatial distribution of hydraulic property by the multidimensional scaling (MDS) and the inverse
distance weighted (IDW) interpolation. The availability of this method is examined by numerical experiments
using several continuum models with different hydraulic structures, and the applicability of the method is also
examined by the field experiments.

1 INTRODUCTION cross-hole test in an imaginary hydraulic subspace

Cross-hole hydraulic test, which enables to evaluate
the hydraulic property of in situ rock mass, was well
investigated in the 1980s to the early 1990s by Heish
(1987), Black & Kipp (1981), Aoki et al. (1990), etc.
Several iteration-based inversion methods using
cross-hole test data were proposed to estimate the
spatial distribution of hydraulic property between the
test holes. In most cases, the inversion result by each
method is strongly influenced by its initial model,
which is difficult to assume itself, especially in three-
dimensional case. In addition, those methods often
provide unrealistic flow paths, which are composed
of the grid base elements.
Thus, this study proposes a new imaging method for
hydrogeological structure using cross-hole test data in
order to detect the heterogeneous flow paths in rock
mass with high accuracy. This method involves space-
warping by the multidimensional scaling (MDS) and
the inverse distance weighted (IDW) interpolation.The
availability and applicability of this method is exam-
ined by a series of numerical experiments and field
experiments.
2 METHODOLOGY
A vector based evaluation method for hydrogeological
structure is proposed in this section. This method is
mainly composed of the following four processes.
(1) A set of hydraulic diffusivity values, which shows
the hydraulic property among several test inter-
vals of cross-hole test in a real geographical space
(where geographical distance is a measure), is
determined from test results.
(2) The hydraulic configuration of the points that rep-
resent the pumped and observation intervals of
(where hydraulic distance that can be represented
by reciprocal of hydraulic diffusivity is a mea-
sure), is determined from a matrix of hydraulic
diffusivities between pairs of the test intervals by
multidimensional scaling (MDS).
(3) A set of equally spaced points, which is estab-
lished in the hydraulic subspace, is relocated in
the original geographical space by inverse distance
weighted method (IDW) referring the relation-
ship between the geographical and the hydraulic
configurations of test intervals.
(4) The spatial density of the relocated points in
the geographical space, which represents the
hydraulic property, is measured in the final pro-
cess. The spatial distribution of density creates an
image of the heterogeneous flow path.
2.1 Data acquisition by cross-hole hydraulic test
Cross-hole hydraulic test is a method to observe the
hydraulic behavior between two or more boreholes.
Each borehole is isolated into several intervals using
packers (multi-packer system). During the test, fluid is
injected into a pumped interval while the hydraulic
head response is recorded at observation intervals.
Fluid injection pressure is normally specified as con-
stant or sinusoidal.
The pumped and observation intervals are regard
as the points during data processing. Hydraulic dif-
fusivity (hydraulic conductivity divided by specific
storage) between a pumped interval and an observa-
tion interval, is determined from the hydraulic head at
the pumped interval, the temporal change in hydraulic
head at the observation interval, and the distance
between those two intervals. In order to perform the
more detailed analysis, it is desirable to obtain a
matrix of hydraulic diffusivities between all the pairs

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 Table 1. An illustration of a matrix of hydraulic diffusivities
A1
pumped observation
B1 between all the test intervals (unit: *104 cm2 /s).
pumped interval borehole borehole
A2 B2 A1 A2 A3 A4 A5 A6 A7 B1 B2 B3 B4 B5 B6 B7
observation interval
A3 B3
conductive flow path A1
A4 B4 A2 229
target polygon A3 63 229
A5 B5 A4 13 24 63
fluid flow A5 9 13 24 63
A6 B6 A6 7 9 13 24 229
A7 5 7 9 13 63 229
A7 B7 B1 5 7 7 9 7 5 5
B2 7 7 9 13 9 7 5 229
B3 7 9 17 33 17 9 7 63 229
Figure 1. Schematics of cross-hole hydraulic test. In gen- B4 9 13 33 46 33 13 9 13 24 63
eral, heterogeneous groundwater flow through the supercon- B5 7 9 17 33 17 9 7 9 13 24 63
B6 5 7 9 13 9 7 7 7 9 13 24 29
ductive flow path is predominant in rock mass.
B7 5 5 7 9 7 7 5 5 7 9 13 63 229

test interval Table 2. Matrix of hydraulic distance, which is obtained

A1
from the matrix as shown in Figure 1.
A2 B1
target polygon
A3 A1 A2 A3 A4 A5 A6 A7 B1 B2 B3 B4 B5 B6 B7

obstacle points A4
(equally spaced) A5 B2 A1
A6 B3 A2 44
A3 158 44
B4
A4 794 417 158
B5 A5 1096 794 417 158
A7 B6 A6 1514 1096 794 417 44
B7 A7 2069 1514 1096 794 158 44
B1 2069 1514 1514 1096 1514 2069 2069
B2 1514 1514 1096 794 1096 1514 2069 44
B3 1514 1096 575 302 575 1096 1514 158 44
Figure 2. A hydraulic configuration of test intervals and B4 1096 794 302 575 302 794 1096 794 417 158
equally spaced obstacle points in the hydraulic subspace. B5 1514 1096 575 302 575 1096 1514 1096 794 417 158
B6 2069 1514 1096 794 1096 1514 1514 1514 1096 794 417 44
B7 2069 2069 1514 1096 1514 1514 2069 2069 1514 1096 794 158 44
of test intervals, by setting observation intervals in
both the pumped and the observation boreholes in the
cross-hole hydraulic test. (i.e., similarities or distances) among a set of objects.
Hydraulic diffusivity is given as a parameter that MDS plots the objects on a map such that objects that
can fit the theoretical temporal change in hydraulic are very similar to each other are placed near each
head to the measured one. The details are described in other on the map, and objects that are very different
Black & Kipp (1986). from each other, are placed far away from each other
on the map (Nagpaul 1999).
In the hydraulic context, hydraulic distance can be
2.2 Hydraulic configuration of test intervals proximity. The reciprocal of hydraulic diffusivity is
It is obvious that the configuration of test intervals an appropriate variable to represent hydraulic distance
of cross-hole hydraulic test can be expressed by the like slowness that is reciprocal of wave velocity in
Cartesian coordinates in a real geographical space tomography case. A matrix of hydraulic distance can
where geographical distance is a measure. be obtained from the matrix of hydraulic diffusivities
Here, we consider expressing the configuration between pairs of test intervals as shown in Table 2. It
of test intervals in another coordinates in an imag- should be noted that the proximities between all the
inary hydraulic subspace where hydraulic distance pairs of data are not always necessary to obtain the
(hydraulically defined distance in proportion to the hydraulic configuration, because MDS is a statistical
traveling time) is a measure, by multidimensional method that can give the estimation.This robust feature
scaling. realizes a practical use for the actual field data.
Multidimensional scaling (MDS) is a mathematic- A configuration of test intervals in the hydraulic
cal procedure by means of which information con- subspace can be obtained from the matrix of hydraulic
tained in a data set can be represented by points in a distance as shown in Figure 2. Although it is quite
space. Essentially, the purpose of MDS is to provide difficult to imagine even an approximated structure of
a visual representation of the pattern of proximities the flow path from Tables 1 and 2, the simple graphical

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Copyright 2006 Taylor & Francis Group plc, London, UK

 test interval
(hydraulic subspace)
A1
target polygon A2 B1
(hydraulic subspace) A3
B2
obstacle points A4 B3
(hydraulic subspace) A5
B4
A6
test interval B5
(geographic space)
A7 B6
target polygon
(geographic space)
Figure 3. Hydraulic and geographical configurations of test
intervals in the geometric hyperspace.
expression in Figure 2 provides many useful informa-
tions on all the hydraulic relationship between (and
among) the test intervals, and the fundamental hydro-
geological structure. For instance, we can easily infer
the existence of principal pathways between A5 and
B3 with just a glance at Figure 2.
2.3 Geographical configuration of equally spaced
obstacle points in hydraulic subspace
Everywhere in the hydraulic subspace, hydraulic dif-
fusivity shows a constant value. Thus, we establish a
set of equally spaced points, which represent obsta-
cles for fluid flow (like clay particles in soil), in the
hydraulic subspace.
Here, we consider the way to relocate those obsta-
cles in the original geographical space based on
the relationship between the geographical and the
hydraulic configurations of test intervals under the
following assumption (see Figure 3).
(1) The transformation of the two spaces is imple-
mented in an imaginary geometric hyperspace
where dimensionless geometric distance is a mea-
sure. The relative configuration of points is iden-
tical with that of each of the other spaces.
(2) The area of the target polygon, which is sur-
rounded by test intervals in each of the other
spaces, shows an identical value in the geometric
hyperspace.
(3) The configuration of the target polygons in the
geometric hyperspace are determined so that the
barycenters of both target polygons are identical,
and summation of the distances between the geo-
metric locations of each identical test interval in
the geometric hyperspace is minimized.
(4) The vector from the arbitrary point in the hydraulic
subspace to the identical point in geographical
space has spatial correlation.
Assuming the above, we can determine the con-
figuration of a set of equally spaced points in the
Copyright 2006 Taylor & Francis Group plc, London, UK
test interval A1 B1
A2 B2
target polygon
A3 B3
obstacle points A4 B4
A5 B5
A6 B6
B7
A7 B7
Figure 4. A geographical configuration of obstacle points
in the geographical space.
geographical space by spatial interpolation in the
geometric hyperspace.
Inverse Distance Weighted (IDW) method is the
simplest and widely used spatial interpolator based
on spatial correlation between scattered points. IDW
consists in weighing each data by a power of p of the
inverse distance to the estimation location (scaling the
weights to be unit sum).
The vector from the point in the hydraulic space
to the identical point in geographical space is given
by linear combination of such vectors that connect
the test intervals. A set of equally spaced points in
the hydraulic subspace is allocated in the geographical
space as shown in Figure 4.
2.4 Visualization of flow path
Spatial density of obstacle points in the geographi-
cal space is considered to represent the magnitude of
impermeable feature of rocks. Therefore, the conduc-
tive region with lower density in the spatial density
map of obstacle points creates an image of heteroge-
neous flow path.
From the results of the preliminary parametric
study (see section 3), the relationship between den-
sity of obstacle points and hydraulic diffusivity has
been clarified. This relationship enables to evaluate
the hydraulic diffusivity in an arbitrary local area
within the target polygon in the geographical space. If
the value of specific storage of rock can be assumed,
we can have the spatial distribution of hydraulic
conductivity.
Several kinds of methods can be considered to mea-
sure and display the spatial density of the points. For
instance, the raster base measurement and expression
technique gives the image as shown in Figure 5. On the
other hand, the use of the measuring circle, by which
the number of obstacles within a circular neighbor-
hood is counted, gives a continuous spatial density
distribution for the complete vector base expression
by contour lines.
679
 measuring raster
rock: k = 1.0*10-7 [m/s], SS = 1.0*10-3 [m-1]
A1 B1 A1 B1

35 m

head-specified boundary
A2 B2 A2 target polygon
B2 th:
(square) e pa ]
A3 uctiv /s

10 m
B3 A3 B3 cond *10-5 [m -1 ]
.0
k = 1 *10 [m
-3
A4 B4 A4 B4 1 .0
SS =

35 m
A5 B5 A5 B5
A6 B6 A6 B6 impermeable boundary
A7 B7 A7 B7 50 m 50 m
10 m

(a) Density measurement (b) Expression of path image

Figure 5. Raster base measurement and expression

technique.

Figure 7. Two-dimensional (top) and three-dimensional

(bottom) continuum model for finite element analysis of
un-steady state groundwater flow with an example conductive
flow path.

of obstacle points in the geographical space. Figure 6

shows the schematics of three-dimensional method.

3 VERIFICATION

3.1 Numerical experiments

Figure 6. Schematics of three-dimensional method.
2.5 Three-dimensional model
We can easily apply the analogy of the above pro-
posed two-dimensional methodology to the three-
dimensional context that involves three-dimensional
geographical space, hydraulic subspace, and geomet-
ric hyperspace.
In three dimensional cases, target polygon in two-
dimensional case is generalized as target polyhedron.
Since both of MDS and IDW are intrinsically multidi-
mensional methods, three-dimensional space contin-
uum in the form of polyhedron can be transformed in a
similar way to two-dimensional one. Hydraulic prop-
erty can be evaluated from volumetric spatial density
A series of numerical experiments is carried out to
verify the availability of the proposed method and
investigate its performance.
Two-dimensional and three-dimensional contin-
uum models including several patterns of the super-
conductive flow path with a certain width are made in
the region with a horizontal width of 110 m and height
of 80 m as shown in Figure 7. Hydraulic conductivity
of 105 m/s is given for super-conductive flow path,
while that of 107 m/s is given for the surrounding
rocks. An identical specific storage of 103 m1 is
assumed for any part in the model.
The sides and the top of the region are head speci-
fied boundaries. The bottom of the region is specified
impermeable boundary. The numerical cross-hole test
with a constant injection pressure is carried out using
seven test intervals/a 10 m hole.
The values of hydraulic diffusivity between pairs
of the test intervals are determined from the com-
puted temporal changes in hydraulic head, which are
obtained from the finite element analysis of unsteady
state groundwater flow.
The hydraulic configuration of test intervals is
determined by MDS using the values of hydraulic
distance between all the pairs of test intervals.

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Copyright 2006 Taylor & Francis Group plc, London, UK


Figure 8. Two-dimensional models (left) and the corre-
sponding images (right).
Figure 9. Three-dimensional models (top) and the corre-
sponding images (bottom: perspective views).
Sequentially, the configuration of obstacles is deter-
mined by IDW, and then the image of flow path is
obtained by the raster base measurement and expres-
sion technique as shown in Figure 5. The class of the
obstacle density is log-normally defined.
681
Copyright 2006 Taylor & Francis Group plc, London, UK
The availability of the proposed imaging method is
examined by comparing the computed image of flow
path to the original hydrogeological structure in the
continuum model.
Figures 8 and 9 show the several sets of the original
hydrogeological structure and the computed image of
flow path, in two-dimensional and three-dimensional
cases, respectively. The pixel with lower density
(higher hydraulic conductivity) is drawn with a lighter
gray in the computed image. The appropriate images
are obtained, and the availability of the proposed
method is proved.
3.2 Field experiment in Tertiary sedimentary
rocks
The applicability of the proposed imaging method,
which shows high performance in the numerical exper-
iments, is also examined by the field experiment.
Cross-hole hydraulic test with constant injection
pressure was carried out using the two boreholes,
which were drilled in Tertiary alternation of mudstone,
sandstone, and pumice tuff with homoclinal structure.
The geographical configuration of the nine test
intervals and the imaging result by the proposed
method are drawn on the geological map as shown
in Figure 10. The objective polygon contains mud-
stone (mean RQD = 68) and pumice tuff (35) layers
and sandstone sub-layers I (37), II (0), and III (32).
The image of hydrogeological structure is com-
posed of several layers with different hydraulic
properties in the same direction as geological struc-
ture. Further, sandstone II and pumice tuff layers,
where the joints exist more densely, show higher per-
meability, while mudstone and sandstones I and III,
where the joints exist more sparsely, show lower per-
meability. This implies the proposed method provides
an appropriate image for hydrogeological structure.
3.3 Field experiment in Cretaceous sedimentary
rocks
Cross-hole hydraulic test with sinusoidal injection
pressure was carried out using the three boreholes,
which were drilled in Cretaceous alternation of sand-
stone and mudstone. Figure 11 shows geographical
configuration of the eleven pumped and observation
intervals, which were set at depths of 25 to 35 m from
the exploration adit for underground power station.
The presence of a steep fracture zone in the target
polyhedron is confirmed by both of the adit wall obser-
vation and the borehole TV observation (see Figure
11). This fracture zone is not directly appeared at any
pumped and observation intervals.
Figure 12 shows the computed image of flow path.
This image shows good agreement with the fracture

Figure 10. Layout of the test intervals and the imaging result
on geological map. The sandstone layer that is located in the
mid of the objective polygon can be subdivided into three
sub-layers (I, II, and III) from the view of rock properties.
Figure 11. Layout of the test intervals (a perspective view)
and the location of the fracture zone.
zone, the only geological structure in the target poly-
hedron, which can be a super conductive flow path.
This implies the applicability of the proposed method
to the three-dimensional field test.
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Copyright 2006 Taylor & Francis Group plc, London, UK
Figure 12. Three-dimensional image of flow path (perspec-
tive views in the three different directions).
4 CONCLUSION
This study proposes an imaging method for two-/
three-dimensional hydrogeological structure in rock
mass based on the MDS-IDW technique. The pair-
wise hydraulic data set, which represents the hydraulic
property between different locations, is processed to
generate a spatial distribution map of hydraulic prop-
erty by multidimensional scaling (MDS) and inverse
distance weighted (IDW) interpolation.
The availability of the method is examined through
the numerical experiments using several continuum
models with different hydraulic structures, and the
applicability of the method to the field interpretation
is also examined through the actual field tests.
The proposed method has the following advan-
tages, some of which are not found in the conventional
inversion methods;
This method detects the heterogeneously conduc-
tive hydrogeological structure in vector base man-
ner (not in grid or raster base manner).
This method does not require any kind of initial
model and gives invariably one answer.
The methodology is simple and comprehensive.
It takes extremely short time to obtain a map by
personal computer. This method does not include
any complicated procedures.
REFERENCES
Aoki, K., Shiogama, Y., Toida, M., Tezuka, Y., Kobchi, T. &
Masumoto, K. 1990. Application of Cross-hole Perme-
ability Test for Characterization of Hydraulic Properties
of Jointed Rock Mass, Proc. Intern. Symp. on Advanced
Nuclear Energy Research, P-II-13.
Black, J.H. & Kipp, K.L. Jr. 1981. Determination of hydro-
logical parameters using sinusoidal pressure tests, Water
Resources Research 17, (3): 686692.
Heish, P.A. 1987. Characterizing the hydraulic properties
of fractured rock masses, Methodology and case studies,
Proc. 28th US Symp. on Rock Mechanics, 465472.
Nagpaul, P.S. 1999. Guide to Advanced Data Analysis,
Division of Information and Informatics, UNESCO.
Kruskal, J.B. & Wish, M. 1978. Multidimensional Scaling.
London: Sage Publications.
 EUROCK 2006 Multiphysics Coupling and Long Term Behaviour in Rock Mechanics
Van Cotthem, Charlier, Thimus & Tshibangu (eds)
2006 Taylor & Francis Group, London, ISBN 0 415 41001 0

Numerical borehole breakout analysis using FRACOD2D

T. Backers & O. Stephansson

GeoFrames GmbH, Telegrafenberg, Potsdam, Germany

I. Moeck, H.-G. Holl & E. Huenges

GeoForschungsZentrum Potsdam, Potsdam, Germany

ABSTRACT: The borehole breakouts of a geothermal energy extraction well in the Northeast German basin
(north of Berlin) are analysed using the fracture mechanics based software FRACOD2D. The objective of the
study is to estimate the magnitude of the maximum horizontal stress around the vertical well at a depth of
4,100 m. The FRACOD2D is a fracture initiation and propagation code developed for rock fracture mechanics
analysis. It is designed to predict the fracture propagation and interaction of fractures in a rock medium. The
numerical model is set up for different magnitudes of the maximum horizontal stress and fluid pressure in
the well. Data from a stimulation campaign estimate the minimum horizontal stress (50 MPa). The numerical
results are analysed in terms of breakout angle. Comparison of the numerical results and field observations are
discussed. The maximum horizontal stress is determined to be around 95 MPa at target depth. With the vertical
stress being about 100 MPa this indicates a strike-slip faulting regime which is in perfect agreement with the
structural geology data.

1 INTRODUCTION Depth [m] existing well

This paper aims to estimate the in-situ stress field in -3600

a sandstone reservoir from the analysis of borehole -3800
breakouts at a depth of 4,100 m. The borehole to be -4000
analysed is located at Gro Schnebeck, 25 km north -4200
of Berlin/Germany (Fig. 1). The existing wellbore -4400
GrSk 3/90 was drilled in 1990 for gas exploration. -4600
The non-productive well was abandoned in 1991, and
re-opened as in-situ geothermal laboratory nine years
later.
An extensive testing programme has been applied
to the well. Several casing lift tests and stimulation Legend
1 2 3 4 5 6 7
experiments were carried out in order to understand
the hydraulic behaviour of the reservoir as is essential N
for geothermal energy extraction. Logging data were
used to identify the location of fractures and borehole
Berlin
breakouts in the well. Further, the minimum horizontal
y
stress is known from a hydraulic fracturing campaign Bruessles
Liege rm
an
Ge

to be about 50 MPa. Some indications about the mag- Belgium

nitude of the maximum horizontal stress are defined
by structural geology, but there is a need to confirm
the initial estimates.
Beginning of 2006 it is planned to drill a sec-
ond well at the same drill site; this to complete a
geothermal dublette system. To be able to perform
a forward modelling on the stability of the planned
Figure 1. Compartments of the Lower Permian siliciclastic
reservoir horizons in the Gro Schnebeck area and the well
path of GrSk 3/90. Legend: 7-6: Hanover Formation, 5-4:
Dethlingen Fmt., 3: Havel Fmt., 2: Lower Permian volcanics,
1: Carboniferous.

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Copyright 2006 Taylor & Francis Group plc, London, UK

 well, the maximum horizontal stress needs to be
known.
Analysis of borehole breakouts can yield an under-
standing of the in-situ stress field. The geometry of
the borehole breakout is governed by the stress state.
The breakout angle can give an estimate of the hor-
izontal stress by means of the Kirsch equations (e.g.
Zoback et al., 2003). Alternatively, the geometry of
borehole breakouts can be understood by numerically
backward modelling. The fracture mechanics based
software FRACOD2D is employed for this purpose in
the context of this subject. The specific geomechan-
ical parameter setting of the model for estimation of
the maximum horizontal stress will be employed for
the forward modelling of the planned well.
2 GEOLOGICAL AND MECHANICAL
SETTING
The existing vertical well GrSk 3/90 is 4303 m deep
and intersects 2,300 m of Kenozoic to Mesozoic sedi-
ments, 1,500 m of Upper Permian evaporites, 450 m
of Lower Permian sedimentary and volcanic rock
and terminates in Carboniferous schist (Fig. 2). The
geothermal reservoir is situated in 3,900 m to 4,230 m
depth and is part of the NE German Basin, which
belongs to the Permian Central European Basin Sys-
tem, extending from Great Britain to Poland (Kaiser
et al., 2005; Mazur et al., 2005).
The horizon analysed geomechanically in this study
is built up of Rotliegend II siliciclastic rock, fine
grained upwards with claystone, siltstone and fine
to middle grain sized sandstones from top to bottom
(Holl et al., 2004). The fault pattern of the Rotliegend
consists of WNW-ESE major transcurrent faults and
NNE-SSW minor normal faults. The normal faults
belong to small graben structures, that are intersected
by NW-SE oriented en echelon arranged fractures and
faults (Holl et al., 2005, Moeck et al., 2005).
The regional stress field in the NE German Basin
is known from borehole data that suggest an orienta-
tion of SH in NNE-SSW in the studied area (Rckel
and Lempp, 2003). The predominant normal faults in
the Lower Permian sequences of the reservoir com-
partment are deduced from six 2D seismic sections.
The geometrical constraints in the fault pattern indi-
cate a limited variation of stress regimes only, ranging
from normal faulting (SV > SH > Sh ) to transtensional
(SV = SH > Sh ) or strike slip (SV < SH > Sh ).
As indicated in the introduction, the well has under-
gone an extensive testing program that yielded dif-
ferent extremes of stress regimes. This has yielded
borehole breakouts in the sandstones of the Dethlin-
gen strata at a depth of 4,100 m. Thorough analysis of
the history has identified a casing lift test in December
1990 as the cause for the breakouts. In a calliper log
684
Copyright 2006 Taylor & Francis Group plc, London, UK
subsequently to drilling the well, no breakouts were
identified. The data, however, are of poor quality as a
single-arm calliper tool was used. The fluid pressure
in the well corresponded to the formation pressure
of 43.5 MPa (Legarth and Zimmermann, 2004). The
log was followed by a casing lift test for analysis of
the productivity of the well. This lift test decreased
the fluid pressure at the horizon of interest from the
formation pressure to 3.7 MPa. A calliper log follow-
ing this hydraulic experiment showed breakouts. Later
calliper and especially BHTV logs of increased qual-
ity showed the width of the breakouts to be at an angle
of about 145 maximum. Partly extensive failure is
evident on the full periphery of the hole (Fig. 3).
The recovered core material suitable for laboratory
experimental investigations is very little. Therefore,
most of the input data for the modelling analysis has to
be estimated, being aware of all limitations to accuracy
involved.
3 NUMERICAL MODEL
For the analysis of the identified borehole breakouts
the software FRACOD2D, version 2.0, was used. The
two-dimensional boundary element code was devel-
oped for simulation of fracture initiation and prop-
agation and rock failure analysis. It was designed
with the aim of predicting the fracture propagation
and interaction of randomly distributed fractures in an
elastic rock medium. It can handle both tensile and
shear failures and it makes use of the Displacement
Discontinuity Method (DDM). The underlying frac-
ture propagation criterion was introduced by Shen and
Stephansson (1993). This criterion divides the strain
energy release rate (G) at the fracture tip into two
parts, one due to Mode I (tensile) deformation and
one due to Mode II (shear) deformation. The sum
of their normalised values is used to determine the
failure load and its direction. Both tensile and shear
fracture propagation have been successfully simulated
by FRACOD2D and verified by laboratory and field
tests. The major applications so far have been stability
analysis of rock excavations like deposition boreholes,
borehole breakouts (Shen et al., 2002) and tunnels
related to radioactive waste disposal.
3.1 Concept
This study employs the capability of FRACOD2D to
simulate the explicit fracture growth. From studying
the history and data of the well it is known that the
borehole breakouts occurred in combination with a
specific hydraulic event as described above. The other
major influencing parameters for setting up a simple
model are known or determinable, except for the major
horizontal stress SH . The situations, which lead to the
formation of the borehole breakouts, are mirrored in
 0 Quarternary Legend
43m
Tertiary 1 2 3 4 5 6 7
168m
Cretaceous
333m
Early Jurassic Depth (m) Stratigraphy Lithology
500 (Lias)
TVD
651m

Late Triassic
3900

Hannover-Fm.
1000 (Keuper)

1244m
Middle Triassic
(Muschelkalk)
1500 1552m

4000

Elbe Subgroup
Early Triassic

Upper Rotliegend II
(Buntsandstein)
2000

Lower Permian

Dethlingen-Fm.
2370m

2500 4100

3000
Upper Permian
(Zechstein)

4200 Havel
3500 Subgr.
Rotliegend
Lower

3875m
Depth (m)

4000 Lower Permian

4293m
4300
Carboniferous Carboniferous

Figure 2. Geological profile along the existing well. Box shows the detailed lithostratigraphic units of the reservoir horizons
and the detected zones of borehole breakouts. Legend: 1: claystone, 2: siltstone, 3: sandstone, 4: conglomerate, 5: volcanics,
6: tuffitic/marly interbeds, 7: schist.

the model. Variation of SH in a window predefined by
structural geology shall then simulate borehole break-
outs in the model whose geometry can be described
and compared to the geometry of the breakouts in
the specific well. From this an estimate for SH can
be given.
3.2 Model and input data
The model consists of a circular opening represent-
ing the borehole and is set up symmetrical to the
x- and y- axis. The quarter circle is divided into
18 regular sections at a radius of 0.075 m (Fig. 4).
The applied boundary stresses are Sh = 50 MPa, as
deduced from a hydraulic fracturing stimulation cam-
paign, and SH is varied according to the analysis
concept.
The input data include boundary conditions, far-
field stresses and elastic properties of the rock mass,
the fracture toughnesses (equivalent to the energy
release rate), fracture stiffness of pre-existing and
created fractures, fracture friction and cohesion. The
data in Table 1 is summarised from the references
given or otherwise estimated. References to the
experimental methodologies can be found elsewhere
(KIC determination: Ouchterlony, 1988; KIIC determi-
nation: Backers et al., 2002; Backers et al., 2004;
Backers, 2005a).
4 RESULTS AND DISCUSSION
From the calliper log it was shown in 1990 that there
was no detectable borehole breakouts after drilling
at a fluid pressure of P = 43.5 MPa. The casing lift
test applied a reduced fluid pressure of P = 3.7 MPa.
This caused the borehole breakouts. Therefore, two
model set-ups with these fluid pressures have been
analysed. Table 2 summarises the matrix of performed
simulations.

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Copyright 2006 Taylor & Francis Group plc, London, UK

 The numerical results are plotted in Figure 5. The SH = 95 MPa. This, however, corresponds to a break-
data may be approximated by a linear regression for a out angle of about  = 30 in case of P = 43.5 MPa.
certain range of SH . As a single arm calliper tool was used to determine the
The intersection of the in-situ breakout angle diameter of the wellbore, it might be that breakouts
of 145 with the modelling results is at about were not detected.
Several of the input parameters to the model were
estimated, this especially regarding the parameters
Depth Amplitude describing the compressive strengths of the rock. As
the breakouts are mostly caused by shear, i.e. com-
pressive fracturing, this might influence the results.
4105.0 Also, natural variations of parameters must be taken
[m]
into account. To reach a higher level of certainty a
sensitivity analysis of different input parameters needs
to be performed.

Table 2. Table of analysed stress conditions. Two different

mud pressures, P, are modelled. At P = 43.5 MPa no signif-
4107.5
icant breakouts were detected, at P = 3.7 MPa a maximum
breakout angle of 145 was measured. The values of the
breakout angles have a reading accuracy of 5 .

Breakout angle,  [ ]
SH [MPa] P = 43.5 MPa P = 3.7 MPa

4110.0 50 40
60 100
70 120
80 120
89 0
90 10 140
95 40
100 50 150
4112.5 110 60 170
120 70
Figure 3. BHTV and calliper log of the interval 130 80
4,105.04,112.5 m. The breakouts show a maximum angle 140 80
of 145 . At the interval 4,107.04,110.5 m the breakouts are
evident. CAL: calliper.
y Sh
Table 1. Selected input parameters for the modelling. SH
Abbreviations: : Poissons ratio; E: Youngs modulus; :
internal friction angle; c
: cohesion; T : tensional strength;
P
KIC : Mode I fracture toughness; KIIC : Mode II fracture r
toughness; kS : shear stiffness; kN : normal stiffness.
x
Parameter Value Reference

Rock
0.25 estimate
E 55 GPa Backers (2005b)
 25 estimate
c
22.5 MPa estimate
T 7.0 MPa Backers (2005b)
KIC 1.1 MPam1/2 Backers (2005b)
KIIC 2.0 MPam1/2 Backers (2005b) Figure 4. Model set-up and typical fracture pattern. Box
Fractures shows model geometry. SH : maximum horizontal stress;
kS 11010 Pa/m estimate Sh : minimum horizontal stress; P: fluid pressure; r: radius.
kN 21010 Pa/m Donath (2002) The fracture pattern results from SH = 52 MPa, Sh = 50 MPa,
P = 10 MPa, r = 0.075 m.

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Copyright 2006 Taylor & Francis Group plc, London, UK

 The models show extensive cracking not only at the sandstones. Figure 6 shows a sequence of snap-
the boundary of the borehole, but also into the rock shots from the models run at a fluid pressure of
mass; this is possibly due to the high ratios between P = 43.5 MPa to highlight the principle.
SH , Sh and P and the low compressive strength of Fracturing is dominated by shear, which is con-
trolled by the Mode II fracture toughness. Only a minor
180 percentage of the fracturing is due to Mode I fractures.
a
MP The tensile events are concentrated at the sector in the
3.7
Breakout angle, []

150 direction of SH at high ratios SH /Sh .

Structural geological studies are employed to under-
120
stand the fault kinematics and to derive the possible
90 stress regimes in the reservoir compartment. The
Pa approximation of the stress regimes combined with
60 3.5 M
P=4 the known stress magnitudes of SV (110 MPa) and
Sh (50 MPa) limit the magnitude of SH to be between
30 80 MPa and 150 MPa. Here, the stress regime can
0 be expressed by the Bott equation (Alexandrowski,
50 60 70 80 90 100 110 120 130 140 1985). From fault displacements, a radial stress regime
Maximum horizontal stress, SH [MPa] (R 0.0; SH 50 MPa) and a transpressional to
thrust regime (R 0.25; SH > 150 MPa and R 0,0;
Figure 5. Results from modelling the borehole breakouts at
SH > 200 MPa, respectively) can be excluded. Effec-
two fluid pressures, i.e. P = 43.5 MPa and P = 3.7 MPa. At tively, a transtensional (R 0.75; SH 100 MPa) or
P = 43.5 MPa no breakouts were detectable in-situ. Hence, normal faulting (R 0.5; SH 75 MPa) or strike slip
only insignificant breakouts might be detected.  = 30 (R 0.5; SH 150 MPa) stress regime is reasonable
may be a reasonable limit for this (grey vertical line). At at given conditions.
P = 3.7 MPa an in-situ breakout angle  = 145 was mea- From the analysis of the numerical data it
sured in the logs (grey horizontal line). This corresponds to can be concluded that the maximum horizontal
a maximum horizontal stress SH = 95 MPa in the model. An stress is about 95 MPa. Therefore, SV SH > Sh and
accuracy of 10 MPa is assumed from a sensitivity analysis. SV :SH :Sh 2:2:1. Hence, a transtensional strike-slip
See text for details.

Figure 6. Sequence of snapshots from models subjected to different SH . SH is in horizontal direction and is from left to right:
top row 90, 95, 97 MPa; bottom row 100, 110, 130 MPa. Sh = 50 MPa, P = 43.5 MPa. Black lines: shear fractures, white lines:
tensile fractures. Not complete fracturing is shown in all examples for seek of clarity due to extensive fracturing.

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Copyright 2006 Taylor & Francis Group plc, London, UK

 regime is evident in the reservoir, which is in per-
fect agreement with the estimations from the structural
geology analysis.
However, there is some limitations to the accuracy
of this particular modelling. Figure 3 shows breakouts
not along the full length of the section. As indicated
by Holl et al. (2004) the lithology shows grading and
is therefore inhomogeneous.
Hence inevitably the mechanical behaviour is vary-
ing too. A sensitivity analysis to the parameters
defining the compressive strength has been per-
formed. Variation of the cohesion and angle of friction
individually within certain range (20 > c > 25 MPa,
22.5 >  > 27.5 ) indicate that the error from estimat-
ing these parameters is about 10 MPa.
5 CONCLUSIONS
From this study the following conclusions can be
drawn.
The in-situ stress regime can be determined by
a numerical analysis of borehole breakouts using
FROCOD2D.
The stress field at the target depth of 4,100 m in
the reservoir of the geothermal borehole GrSk 3/90
shows SV SH > Sh and SV :SH :Sh 2:2:1 with
SV 110 MPa, SH 95 MPa and Sh 50 MPa.
The predictions on the stress field from the struc-
tural geological analysis is in perfect agreement
with the results from the numerical modelling.
The combination of structural geology analysis and
fracture mechanics modelling can help to improve
the understanding of stress fields.
REFERENCES
Alexandrowski, P. 1985. Graphical determination of principle
stress directions for slickenside lineation populations: an
attempt to modify Arthauds method. J. Struct. Geol. 7:
7382.
Backers, T., Stephansson, O. and Rybacki, E. 2002. Rock
Fracture Toughness Testing in Mode II Punch-Through
Shear Test. Int. J. Rock Mech. Min. Sci. 39: 755769.
Backers, T., Dresen, G., Rybacki, E. and Stephansson, O.
2004. New Data on Mode II Fracture Toughness
of Rock from Punch-Through Shear (PTS) Test
SINOROCK2004 Paper 1A01. Int. J. Rock Mech. Min.
Sci. 41: 351352.
688
Copyright 2006 Taylor & Francis Group plc, London, UK
Backers, T. 2005a. Fracture toughness determination and
micromechanics of rock under Mode I and Mode II
loading. PhD- Thesis, University of Potsdam, Germany.
Backers, T. 2005b. Experimentelle Bestimmung rissmecha-
nischer Parameter und der Zugfestigkeit an Sand- und Silt-
steinproben. GeoFrames laboratory report A112-1B05-
106/107.
Donath, B. 2002. Stiffness of rock fractures an experimen-
tal investigation. Unpublished Diploma thesis. Technical
University of Berlin, Germany.
Holl, H.-G., Moeck, I. and Schandelmeier, H. 2004. Geother-
mal well Groschnebeck 3/90: A low enthalpy reser-
voir (Rotliegend, NE Germany). Proceedings 66th EAGE
Conference, F032, Paris, France.
Holl, H.-G., Moeck, I., Schandelmeier, H. 2005. Characteri-
zation of the tectono-sedimentary evolution of a geother-
mal reservoir implications for exploitation (South-
ern Permian Basin, NE Germany). World Geothermal
Congress, Antalya Turkey 2005.
Kaiser, A., Reicherter, B., Hbscher, C. and Gajewski, D.
2005. Variation of the present-day stress field within the
North German Basin insights from thin shell FE mod-
elling based on residual GPS velocities. Tectonophysics
397: 5572.
Legarth, B.A. and Zimmermann, G. 2004. 2. Wasserfrac im
gesicherten Bohrloch. In: Huenges, E. and Winter, H.
(eds). Experimente zur Produktivittssteigerung in der
Geothermie-Forschungsbohrung Gro Schnebeck 3/90.
GFZ Potsdam, STR04/16, Potsdam, Germany.
Mazur, S., Scheck-Wenderoth, M. and Krywiec, P. 2005.
Different modes of the late Cretaceous-Early Tertiary
inversion in the Noth German and Polish basins. Int. J.
Earth Sci. ISSN: 14373254.
Moeck, I., Holl, H.-G., Schandelmeier, H. 2005. 3D litho-
facies model building of the Rotliegend sediments of
the NE German Basin. AAPG International Conference
& Exhibition (Paris, France, 2005). CD-ROM. paper
#98619.
Ouchterlony, F. 1988. Suggested methods for determining the
fracture toughness of rock. Int. J. Rock Mech. Min. Sci. &
Geomech. Abstr. 25: 7196.
Rckel, T. and Lempp. C. 2003. Der Spannungszustand im
Norddeutschen Becken. Erdl Erdgas Kohle 119: 7380.
Shen, B. and Stephansson, O. 1993. Modification of the G-
criterion of crack propagation in compression. Int. J. Eng.
Fract. Mech. 47: 177189.
Shen, B., Stephansson, O. and Rinne, M. 2002. Simulation
of Borehole Breakouts using FRACOD2D. Oil Gas Sci.
Tech. 57:579590.
Zoback, M.D., Barton, C.A., Brudy, M., Castillo, D.A.,
Finkbeiner, T., Grollimund, B.R., Moos, D.B., Peska, P.,
Ward, C.D. and Wiprut, D.J. 2003. Determination of stress
orientation and magnitude in deep wells. Int. J. Rock Mech.
Min. Sci. 40: 10491076.
 EUROCK 2006 Multiphysics Coupling and Long Term Behaviour in Rock Mechanics
Van Cotthem, Charlier, Thimus & Tshibangu (eds)
2006 Taylor & Francis Group, London, ISBN 0 415 41001 0

Discontinuum and continuum modeling of Masjed E Soleyman

Power House Cavern

M. Bagheri
Iran water and Power Development Co., Tehran, Iran

N. Shafiezadeh
Lar Consulting Engineers Co., Tehran, Iran

H.R. Hajihassani
Iran water and Power Development Co., Tehran, Iran

ABSTRACT: Numerical modelling is a useful tool to design underground openings. Masjed E Soleyman
Power House Cavern is one of the largest caverns in the Middle East. Continuum and discontinuum analyses
were performed to evaluate the stability of the cavern. Phase2D and UDEC softwares were used to analyse for
continuum and discontinuum media respectively. The displacements obtained from continuum and discontinuum
analyses were compared to those measured by Multiple Borehole Extensometers (MPBX).

1 INTRODUCTION The Aghajari Formation is composed of interbeds

Numerical simulation of the underground openings is
performed to predict rock mass behavior during and
after the construction. There are some methods to ana-
lyzing underground structures using numerical sim-
ulation that can be used such as, Continuum media
by Finite Element Method (FEM), and Discontinuum
media using Distinct Element Method (DEM). Masjed
E Soleyman Power Plant Project (MESPP) has been
constructed 40 Km north east of Masjed Soleyman
city, south of Iran, on the Karun River.The full capacity
of MESPP is 2000 Mega Watt (MW), which is through
8 units of 250 MW each. Two main openings in this
project are power house and transformer caverns. The
dimensions of power house and transformer caverns of
MESPP are 30 51 154.5 meters (m) (width, height
and length) and 13.6 21 100 meters (width, height
and length) respectively. Phase2 software was used to
analyze Continuum media, and software, UDEC, was
used to solve Discontinuum media. The displacements
predicted by both continuum and discontinuum anal-
yses were compared to the actual measured displace-
ments by Multiple Borehole Extensometers (MPBX).
2 REGIONAL GEOLOGY OF MASJED
SOLEYMAN SITE
The dam site contains the upper most portion of the
Aghajari and outcrops of Bakhtiyari Formations which
range in age from the Pliocene era.
of moderately strong sandstones and low strength clay
stones, marlstones and siltstones. The Bakhtiyari For-
mation dominantly consists of coarse grain conglom-
erates with sandstones, clay stones and some lenses of
clay in the upper portion.
At the dam site, the Bakhtiyari Formation is subdi-
vided into several units; each unit can be representative
of a distinct period of sedimentation. Most of the rock
units, excluding units II, IV and VI start with conglom-
erates in lower portion and end with 5 to 10 m thick
beds of siltstones on the top most portions.
The powerhouse and transformer caverns are
located in Unit V of the Bakhtiyari Formation. Its lon-
gitudinal axis is parallel to the strike of strata of the
rock. The dip of the strata is approximately 260 to
300 m towards upstream. Most of the rocks above the
cavern roof are composed of massive conglomerate,
sandstone and siltstone with Rock Mass Rating (RMR)
values ranging between 42 and 73. Figure 1 repre-
sents the rock layers and Extensometers installed in
caverns.
2.1 Geomechanical parameters
To asses the intact rock parameters; laboratory tests
were performed such as Uniaxial, Triaxial, Point
load tests and Brazilian test. In-situ tests including
dilatometer and Flat Jack were also performed. Table 1
represents the geomechanical parameters of the intact
rocks around the powerhouse and transformer caverns

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 Table 3. The geometrical specifications of discontinuities.

Discontinuity Dip/Dip direction Spacing

Bedding 70/28
Joint Set 1 237/50 4
Joint Set 2 126/84 2
Joint Set 3 206/61 2
Joint Set 4 336/82 2

Table 4. The geomechanical specifications of discontinu-

ities (IWPCO, 1994).

Joint Joint Joint Joint

Rock type Set 1 Set 2 Set 3 Set 4
Figure 1. Beddings and extensometers around caverns.
Conglomerate 43 41 43 41
2.89 2.89 2.89 2.89
Table 1. The physical-mechanical parameters of the Sandstone 37 36 37 37
intact rocks, around the underground powerhouse complex 1.67 0.71 1.67 1.67
(IWPCO, 1994). Clay stone roof 21 19 21 19
0.47 0.15 0.47 0.15
Siltstone Siltstone Clay stone Wall 30 28 30 28
Rock type Conglomerate Sandstone (wall) (roof) 0.76 0.24 0.76 0.24

c (MPa) 83.5 53.5 39 25 Friction angle (0), Cohesion (MPa).
E(GPa) 28 14 9 7
0.17 0.19 0.22 0.22
t (MPa) 4 5 2.5 2 Table 5. The rock mass classification for differ-
c(MPa) 5.1 4.1 3 3 ent lithologies of different rocks using RMR and Q
( ) 52 50 40 40 (Bieniawski, 1993, Barton, 2002).
(kg/m3 ) 2.62 2.42 2.36 2.36
Rock type RMR Q

Conglomerate 6977 1638

Sandstone 5566 3.412
Table 2. The deformability modulus of rock mass Siltstone(Wall) 4742 0.81.4
(IWPCO, 1994). Siltstone(Roof) 4043 0.60.9
Rock type E(GPa) v

Conglomerate 15 0.2 The rock mass classification evaluated for the

Sandstone 7 0.2 lithologies of the underground excavations are pre-
Clay stone roof 6 0.25 sented in Table 5.
Clay stone Wall 6 0.25

3 EXCAVATION SEQUENCE

obtained from laboratory tests (IWPCO, 1994). Table 2
shows the rock mass deformability modulus and Pois-
son ratio obtained from the Flat Jack and Dilatometer
tests (IWPCO, 1994).
2.2 The Discontinuities geomechanical
specification
The dip and dip direction of the beddings and interbed-
dings is almost 28/067. The jointing system, their
orientations and their geometrical characteristics are
explained in Table 3. The cohesion and friction angle
properties are described in Table 4.
The caverns were excavated in ten stages. The pre-
splitting method was used to excavate the roof of the
caverns to make low disturbance of the rock mass
around the caverns. Figure 2 depicts the excavation
sequences.
4 MODELING OF MESPP BY CONTINUUM
MEDIA
For this type of analysis computer program soft-
ware Phase2 was used. Phase2 is a two-dimensional
nonlinear finite element program for stress and

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 Figure 5. Major principal stress with installing the proposed
Figure 2. The excavation sequences. rock support.

Table 6. Proposed rock bolts arrangement obtained from

Continuum analysis for Powerhouse of MESPP.

Rock bolts
2
Position Grid [m ] Capacity [kN] Length [m]

Roof 1.3 100 6

wall 4 100 10
invert 4 100 6

Table 7. Proposed tendon arrangement obtained from Con-

tinuum analysis for Powerhouse of MESPP.

Tendons
2
Position Grid [m ] Capacity [kN] Length [m]
Figure 3. FE mesh and bedding of continuum model.
Roof 12 1000 20
wall 10 1000 20
invert

rock bolts (6 m and 10 m length) and the rock support

Figure 4. Major principal stress without rock support
installation.
includes 20 centimeter shotcrete.
The support was installed immediately after the
excavation of each stage. Figure 4 shows the induced
principal stresses around the excavation without any
rock support installation. Figure 5 depicts induced
major principal stresses for the last stages of exca-
vation and proposed rock support. The arrangement
of proposed rock support was shown in Table 6.

displacements calculation of underground openings. 5 MODELING DISCONTINUOUS MEDIA

Figure 3 shows the FE-mesh with the selected rock
support for the full excavation. The caverns were
excavated by drilling and blasting in ten stages.
The rock support was determined in a trial and
error process. The rock support includes fully grouted
The UDEC program is capable of analyzing Discon-
tinuum media. Joints and other discontinuities can be
modeled in this software perfectly. Figure 6 represents
the constructed model in this program.

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 Table 8. The values of JRC0 , JCS0 and aperture of different
joint sets (IWPCO, 1994).

JCS0 Ln e0
Rock type JRC0 (MPa) (mm) (mm)

Conglomerates 12 57 1 2000
Sandstones 10 67 1 4000
Siltstones(Wall) 8 40 2 5000
Siltstones (Roof) 6 25 2 5000

Figure 6. Bedding and other discontinuities simulated by

UDEC.

In order to model the joints in UDEC it is nec-

essary to determine the normal stiffness (JKN ) and
the shear stiffness (JKS ) of each of the joint sets. The
JKN and JKS can be calculated by having the Joint
Roughness Coefficient (JRC) and Joint Compressive
Strength (JCS) values. The JRC and JCS values may
be calculated using the Barton and Bandis equations
(Sapini, Bbarbera and Ghirotti, 2002).
Initially the JRC0 and JCS0 were corrected for the
actual block size (Ln), and then the JKN and JKS were Figure 7. Vertical displacement obtained from discontin-
uum analysis.
calculated as follows:

Table 9. The calculated values of JRCn , JCSn .

Joint Joint Joint Joint

Rock type Set 1 Set 2 Set 3 Set 4

Conglomerate 4.95 5.85 5.85 5.85

15.11 19.39 19.39 19.39
Sandstone 4.79 4.78 4.78 4.78
22.15 22.15 22.15 22.15
Clay stone roof 3.75 3.75 3.75 3.75
12.36 12.36 12.36 12.36
Clay stone Wall 4.28 4.28 4.28 4.28
15.64 15.64 15.64 15.64

JRCn JCSn (MPa).

Table 10. The calculated values of JKS and JKN .

where e0 is the natural aperture, L0 is the size of the Joint Joint Joint Joint
sample test and n is the normal stress on the joints. Rock type Set 1 Set 2 Set 3 Set 4
The joint set properties, the values of JRC0 , JCS0
and aperture of different joint sets are presented in Conglomerate 4.43 6.42 6.93 6.42
Tables 4 and 8, respectively. The proposed rock support 15.14 15.14 15.14 15.14
from Continuum analysis was applied in this model. Sandstone 5.34 5.15 5.34 5.15
11.84 11.84 11.84 11.84
Figure 7 depicts the vertical displacements obtained Clay stone roof 2.12 1.87 2.12 1.87
from discontinuum analysis. 3.75 3.75 3.75 3.75
The calculated values of JRCn and JCSn are pre- Clay stone Wall 2.85 2.6 2.85 2.6
sented in the Table 9. Table 10 shows the calculated 7.4 7.4 7.4 7.4
values of JKS and JKN which were used in the

Discontinuum model. JKS (GPa/m) JKN (Gpa/m).

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Figure 8. The comparison of the displacement obtained
from continuum, discontinuum and measured data from
MPBX installed in the roof at upstream.
Figure 9. The comparison of the displacement obtained
from continuum, discontinuum and measured data from
MPBX in the Down stream of roof.
6 CAVERN MONITORING
There are 8 monitoring stations in the main cavern;
also there are 4 monitoring stations in the transformer
cavern. Every station includes some 4-folded exten-
someters and load cells. The extensometers on the roof
of each station are 4 rods of MPBX 15 m in length,
and those installed in the wall are MPBX of 30 m
length. The convergence was measured in all stations
on 5 points.
7 DISCUSSION ON THE NUMERICAL
ANALYSES
The displacements around the caverns were obtained
by performing numerical analyses. The deformations
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Copyright 2006 Taylor & Francis Group plc, London, UK
obtained from numerical analyses are compared with
those measured by multiple extensometers. Figures 8
and 9 represent the displacements obtained from Dis-
continuum, Continuum and observed displacements in
the roof of the power house cavern. In these figures the
horizontal axes are the stages of excavation where as
the vertical axes are the maximum displacements in
millimeters.
8 CONCLUSIONS
The power house cavern and transformer of the Masjed
Soleyman Hydro-Electric power project were simu-
lated through different approaches of different numer-
ical analyses using Continuum and Discontinuum
models. The comparison of displacements obtained
by the mentioned numerical analyses and those mea-
sured by MPBX for the same location indicates that:
About 5060% of maximum displacements occurred
after enlarging of the roof span. This indicates the
importance of rock support installation at the early
stages of excavation.
The trend of displacements obtained from the Dis-
continuum model is much more similar to those
occurring in reality.
The Discontinuum analysis predicts displacements
higher than Continuum analysis.
REFERENCES
Barton, N., 2002 Some New Q-value Correlations to Assist
in Site Characterization and Tunnel Design, Int. J. Rock
Mech Min Sci Geomech Abstr; 39(2):185216.
Bieniawski, Z.T., 1993, Classification of rock masses for
Engineering: the RMR system and future trends. Com-
prehensive rock engineering, vol. 3. UK: Pergamon Press,
PP. 55373.
Hoek, E., Brown, E.T., 1997 Practical Estimate of Rock
Mass Int. J. Rock. Rock Mech. Min. Sci & Geomech
Abstr. Vol. 34; No. 8; PP. 11651186.
Iran Water & Power Dev. Co. (IWPCO), 1994, Geology
& Site Investigation Report, Godar-E-Landar H.E.P.P,
Tehran, IWPCO.
Itasca consulting Group, Inc., FLAC, Fast Lagrangian
Analysis of Continua, version 4, Users Manual.
Sapini, M., Bbarbera, G., Ghirotti, M., 2002, Engineering
and Comparison of Predicted and Measured Deformations
of a Cavern in the Italian Alps, Engineering Geology, Vol.
2123, PP. 116.
 EUROCK 2006 Multiphysics Coupling and Long Term Behaviour in Rock Mechanics
Van Cotthem, Charlier, Thimus & Tshibangu (eds)
2006 Taylor & Francis Group, London, ISBN 0 415 41001 0

Mechanical modeling of rock using a non-local elastoplastic

damage model

A. Mohamad-Hussein & J. F. Shao

Laboratory of Mechanics of Lille, Cit Scientifique, Villeneuve dAscq, France

ABSTRACT: In this paper, we present a constitutive model for mechanical behavior of rock. The mechanical
behavior of the rock is described by an elastoplastic damage model. The material response after the peak strength
is investigated as a consequence of localization of induced damage due to coalescence of microcracks. The
parameters of the model are determined from typical experimental data of uniaxial and triaxial compression
tests. In order to perform the regularization of localized problem, a non-local formulation is proposed for the
damage model. The mesh sensitivity is investigated using the non-local model through a simple boundary value
problem. Then, the proposed model is applied to the analysis of mechanical response of a cavity subjected to
excavation in plane strain condition. The strain localization modes are studied. Comparison between local and
non-local approaches are performed.

1 INTRODUCTION 2.1 Elastic characterization

The elastic behavior of an isotropic material is charac-
In the local finite element study, analysis had shown
terized by two parameters: Bulk and shear moduli. For
a great dependence of the strain localization on the
the damaged materials, the two moduli are degraded
mesh distribution. Strain localizes into a narrow band
by the induced damage. So, they are supposed to be in
with a finite width depending on the dimensions of
function of the damage variable d:
the elements within the mesh and the orientation of
the mesh. This bandwidth decreases and converges to
zero as the mesh is refined. When the slope of the
behavior curve becomes negative and more precisely
when the tangent tensor becomes positive, the dam-
age tends to localize into a zone of vanishing volume k0 and 0 are respectively bulk and shear moduli for
[Pijaudier-Cabot and Baant 1987]. In order to solve undamaged material. and are two parameters that
the problem of strain localization, non-local models define the deterioration of elastic properties due to
are developed where the constitutive law at a point of damage. H (ev ) is Heavysides function.
a continuum involves weighted averages of a state vari- The thermodynamic potential is the sum of the
able (or driving force) over a certain neighbourhood of energy for the elastic strain and the locked energy for
that point. The non-local treatment should be applied plastic hardening:
only to the variables that cause strain softening and not
elastic behavior. The latter stays in the local state treat-
ment. In this study, a localization limiter is introduced
in order to enforce the localization into a finite width.
This is related to the internal characteristic length that
depends directly on the heterogeneity of the material
studied [Baant and Pijaudier-Cabot 1989]. ev is the elastic volumetric strain, eije is the elastic devia-
toric strain components, and p represents the blocked
energy for plastic hardening.
2 LOCAL CONSTITUTIVE MODEL The behavior law is obtained by the standard deriva-
tion of the elastic potential with respect to elastic
The behavior law is formulated using the small strain stain:
assumption. The total strains equal to the sum of elastic
and plastic strains:

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 2.2 Plastic characterization
The locked plastic potential p is a function of the
plastic hardening variable p :
Generally, the plastic behavior of rocks depends on
three invariants of stresses: the average stress, the
deviatoric stress and Lodes angle, defined by:
It is necessary to use a non-linear loading surface to
define the mechanical behavior of semi ductile rocks.
Based on the experimental data performed on sand-
stone [Khazraei 1995], the quadratic failure surface
proposed by Pietruszczak et al. [Pietruszczak 1998] is
adopted here:
c10 , c20 , and c30 are model parameters that define the
geometrical form of the failure surface, g() permits
to take into consideration the influence of the third
invariant of the stresses on the failure surface. fc des-
ignates the compressive resistance of the material. It
is supposed to vary with the damage variable d:
fc0 represents a normalizing constant which is iden-
tified by the compressive strength of the undamaged
material. By replacing fc in (7), we can obtain the final
form of the failure surface:
with:
By considering that the failure surface represents the
asymptotic position of the plastic loading surface,
the plastic loading surface can be expressed in the
following parametric form:
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Copyright 2006 Taylor & Francis Group plc, London, UK
(p ) is the plastic hardening law. It is derived from the
locked plastic energy in the thermodynamic potential:
A0 is a model parameter that controls the kinetic of the
evolution of the plastic hardening. p is the generalized
shear stress.
The function p is introduced for the case where
the hardening characteristics display sensitivity to the
value of the confining pressure.
< > represents Macauley brackets {<x> = max(0,x)}
and b is a model parameter.
The experimental data showed that most of rocks
present a transition from the contractance to dilatance
plasticity. So, it is necessary to use a non-associated
plastic flow rule. Referring to the model developed
by Pietruszczak et al. [Pietruszczak 1998], the non-
associated plastic potential is expressed as:
c represents the slope of the bounday line between
the contractance and dilatance zones.
2.3 Damage characterization
Referring to the previous work done by Mazars on the
damage of concrete [Mazars 1984], the damage crite-
rion is expressed in the following exponential form:
dc is the value of the critical damage. It corresponds
to the residual stress of the damaged material. 0 is
the threshold of the driving force d Bd controls the
kinetic of the evolution of damage.
The driving force depends on the volumetric dila-
tance strain and the shear strain:
 80 200
(MPa) (MPa)

60 150

Pc = 5MPa Pc = 40MPa
40 100

Data
Data
50 Simulation
20 Simulation

radial axial
radial(10-3) axial(10-3)
(10-3) (10-3)
0
0 -10 -5 0 5 10 15
-10 -5 0 5 10 15
Figure 3. Triaxial test at Pc = = 40 MPa.
Figure 1. Triaxial test at Pc = 5 MPa.
the mesh is refined. To overcome the problem of mesh
150 dependencies, the proposed model is formulated in a
(MPa) non-local manner. The damage variable is no longer
125 a local variable, but a non-local one. The nonlocality
of damage is introduced through the definition of a
weight average of the driving force d . It is done by
100 replacing the driving force with its average over an
elementary representative volume Vr .
75
Pc = 20MPa
50 Data
Simulation
25 A gauss weight function  (y,x) is introduced in
radial axial(10-3) order to generalize the above integral over the whole
(10-3)
0 domain :
-10 -5 0 5 10 15

Figure 2. Triaxial test at Pc = 20 MPa.

3 TRIAXIAL SIMULATIONS The normalizing factor (x) is given by:

To validate the proposed model, simulations of triaxial

compression tests were done for sandstone mate-
rial. The comparison between the experimental data
[Khazraei 1995] and the simulations show a general
good agreement. Some examples of the simulations
are presented in figs. 1, 2 and 3.
4 NON-LOCAL EXTENSION OF THE MODEL
The weight function  (y,x) is assumed to be homoge-
neous and isotropic, i.e. it depends only on the distance
between the source point x and the receiver point y.
Several weight functions are presented in the litera-
ture. The Gaussian weight function seems to be the
most popular one:

Local theory is based on the fact that at a certain mate-

rial point, the physical state depends on the state of
the material itself. Local formulation, using the finite
element method, leads to mesh dependencies in the
softening regime. Nevertheless, the width of the local-
ization band decreases and converges to zero when
Ndim is the number of spacial dimensions, l is the char-
acteristic length that depends on the heterogeneity of
the studied material.

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 4.1 Implementing of the non-local variable Y
In order to apply the non-local approach using the
finite element method, the non-local value d over a
geometric point vector x i is calculated by:

X X

Ne is the total number of elements, Ng is the number of

Gauss points within an element, yg is the vector of the Y
integration points, and wg is gauss integration weight
coefficient. Figure 4. Geometry of the rectangular panel.

5 NUMERICAL APPLICATIONS

The proposed model was implemented into a finite
element code. To assure the importance of the non-
local development, we will prove the incapability of
the local formulation to reproduce correctly the phe-
nomenon of strain localization. Both local and non-
local formulations are applied for two examples.

5.1 Compressed panel

Figure 5. Boundary conditions of the panel.
A rectangular panel subjected to uniform displace-
ments on the top and lower boundaries is analyzed.
The panel, depicted in (fig. 4), is of 12 cm width and
15 cm height. A square weak zone of 3 cm side length
is situated in the middle of the panel. In order to tiger
localization, the critical damage is increased 5% within
the weak zone. Due to the symmetry of the geometry,
one quarter of the panel is considered. So, the problem
is simplified to a rectangular panel with a weak zone
on its lower left corner. The boundary conditions are Figure 6. Left: 20, middle: 80 and right: 180 elements.
presented in (fig. 5). Three meshes of 20, 80 and 180
elements are used to study strain localization (fig. 6).
The characteristic length for the non-local model is
assumed to be 1 cm.
We present the distribution of the vertical strain in
the panel obtained by the local and non-local models
for the three chosen meshes. We notice that the results
obtained by the local model (fig. 7) are sensitive to the
mesh and that the thickness of the band of localization
decreases when the mesh is refined.
On the other hand, the results obtained by the non-
local model prove that the non-local analysis is capable
to regularize the problem of mesh sensitivity (fig. 8).
(Figs. 9 and 10) show the relationship between ver-
tical stress and vertical strain. In the local formulation,
the curves of the three meshes coincide up to the peak,
but diverge far from each others afterward. We observe
that in the case of local model, the response of the
panel becomes unstable and there is a loss of unique- Figure 7. Local vertical strain distribution in the panel: left:
ness of the solution after the strain localization. In the 20 elements; middle: 80 elements; right: 180 elements.

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 -100
y (MPa)

-75

-50

20 elem
-25 80 elem
180 elem
y
0
0 -0.003 -0.006 -0.009 -0.012

Figure 10. Non-local vertical stress-strain curves for the

three meshes.
Figure 8. Non-local vertical strain distribution in the panel:
left: 20 elements, middle: 80 elements; right: 180 elements. -0.1
20 elements
-100 80 elements
-0.08
y (MPa) 180 elements

-75 -0.06
y
-0.04
-50
20 elem -0.02
80 elem
-25 180 elem
0
-0.075 -0.05 -0.025 0 0.025 0.05 0.075
y Y(m)
0
-0.001 -0.003 -0.005 -0.007 Figure 11. Local vertical strain profiles along Y-Y axes.
Figure 9. Local vertical stress-strain curves for the three -0.03
meshes. 20 elements
non-local formulation, the response rests stable at the 80 elements
peak of stresses. The curves for the three meshes are 180 elements
almost identical for all stages of loading. -0.02
Strain profiles are plotted for the three meshes along
Y-Y axis. In the local study, strains tend to localize into
a sharper zone when the mesh is refined (fig. 11). y
Whereas, for the non-local study, the strain profiles
are almost identical for the three meshes (fig. 12). -0.01

5.2 Cavity excavation

In this section, a cavity excavation problem is to be
treated. The aim is to study the influence of excava- 0
tion on the damaged zone. The geometry of the cavity -0.075 -0.05 -0.025 0 0.025 0.05 0.075
with the domain studied and boundary conditions are Y(m)
illustrated in (fig. 13). The domain is subjected to
both horizontal and vertical stresses of 40 MPa and Figure 12. Non-local vertical strain profiles alongY-Y axes.

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 v 28
10 m

26

Y (m)
8m

24
h
4m
475 elements
20 m

22
1150 elements
4850 elements
40 m 20
0 0.2 0.4 0.6 0.8 1
Figure 13. Tunnel domain and geometry. d

Figure 15. Non-local damage profiles along the cavity wall.

28

6 CONCLUSION
26
An elastoplastic damage model was proposed for the
mechanical behavior of semi-ductile rocks. The dam-
age, produced by micro-cracks, is responsible of the
Y(m)

24 softening behavior of the material and the strain local-

475 elements
1150 elements
22
4850 elements
20
0 0.2 0.4 0.6 0.8
d
Figure 14. Local damage profiles along the cavity wall.
50 MPa respectively. The problem is solved in plane
strain condition. Two runs were performed using local
and non-local formulations. The two formulations
are applied for three meshes of 475, 1150 and 4650
elements respectively.
The key idea is to investigate whether the damaged
zone around the excavated cavity is affected by the dis-
tribution of elements within the mesh. Analysis shows
the formation of a damaged zone around the cavity
wall. This is due to the excavation process.
The profiles of the damage along Y-axis through
the cavity wall are illustrated in (fig. 14). The local
formulations demonstrate the dependence of this zone
on the number of elements within the mesh.
In the contrary to the local formulation, the non-
local analysis shows that the damage profiles are
almost identical for the three different meshes (fig. 15)
and that the problem of strain localization is well
regularized.
ization. The non-local approach was introduced on the
evolution of damage. The comparisons between the
numerical simulations and the experimental data for
triaxial compression tests showed general good agree-
ment. The application of the non-local model to
boundary value problems showed that the numerical
solutions rest independent of the mesh used.
1
REFERENCES
Bazant, Z. P. & Pijaudier-Cabot, G. 1989. Measurement of
Characteristic Length of Non-local Continuum, Journal
of Engineering Mechanics, Vol. 115, No. 4, April, 1989.
Borino, G., Failla, B. & Parrinello, F. 2003. A symmetric non-
local damage theory, International Journal of Solids and
Structures 40 (2003) 36213645.
Khazraei, R. 1995. Experimental study and modelling of
anisotropic damage of brittle rocks, Doctoral thesis,
University of Lille, France.
Mazars, J. 1984. Application de la mcanique de
lendommagement au comportement non linaire et la
rupture du bton de structure, Thse de Doctorat dEtat
de lUniversit Paris 6.
Pietruszczak, S., Jiang, J. & Mirza, F.A. 1988.An elastoplastic
constitutive model for concrete, Int J. Solids & Structures
24 (7), 705722.
Pijaudier-Cabot, G. & Baant, Z. P. 1987. Nonlocal Dam-
age Theory, Journal of Engineering Mechanics, Vol. 113,
No. 10.
Rodriguez-Ferran, A., Morata, I. & Huerta, A. 2004. Efficient
and reliable non-local damage models, Comput. Methods
Appl. Mech. Engrg. 193 (2004) 34313455.

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Copyright 2006 Taylor & Francis Group plc, London, UK

 EUROCK 2006 Multiphysics Coupling and Long Term Behaviour in Rock Mechanics
Van Cotthem, Charlier, Thimus & Tshibangu (eds)
2006 Taylor & Francis Group, London, ISBN 0 415 41001 0

Numerical analysis of structural breakdown of compressed rock samples

M. Rinne
Fracom Ltd, FIN Kyrksltt, Finland

B. Shen
Fracom Ltd and CSIRO Exploration and Mining, Kenmore, QLD, Australia

O. Stephansson
Fracom Ltd and GeoForschungsZentrum, Potsdam, Germany

ABSTRACT: Brittle rock failure is often controlled by fracture initiation, propagation and coalescence, where
fracturing rather than plasticity is the most dominant mode of failure. Fracture mechanics is seldom used in
practical rock engineering design due to the lack of suitable computer codes which realistically predicts failure
processes. This paper aims to demonstrate the capacity of fracture mechanics code FRACOD2D to model the
failure process of intact rock. Axial and radial stress-strain behaviour from uniaxial compression tests of sp
diorite from sp Hard Rock Laboratory (HRL) have been modelled, including Class II failure behaviour. The
failure process has been clearly reflected by the numerical simulation. Discussion and conclusions concerning
effects of confinement, loading rate and material parameters on rock sample failure are presented.

1 INTRODUCTION failure we call such a discontinuity a newly initiated

FRACOD2D is a two-dimensional computer code
which is based on the Displacement Discontinuity
Method (DDM) principles. A rock discontinuity (grain
boundary, crack, joint, fracture etc.) is simulated by
using DDM elements for opposite surfaces of the
discontinuity. The model predicts the explicit frac-
turing process including fracture initiation, fracture
sliding/opening and fracture propagation. Both shear
and tensile failures are considered (Shen et al. 2005).
Fracture initiation starts from microcrack forma-
tion. With increasing stress the microcracks coalesce
and finally form macro-fractures. FRACOD2D con-
siders the intact rock as a flawless and homogeneous
medium. Rather than describing the micro-scale pro-
cess in a structure it focuses on whether a macro-
fracture will form at a given location and stress state.
When the tensile stress at a given point exceeds
some predefined portion of the tensile strength of
the intact rock, a potential failure surface will be
implemented in the model and it takes the direc-
tion perpendicular to the tensile stress. Respectively,
cohesion and friction angle defines the potential fail-
ure plane according to Mohr-Coulomb criterion for
shear failure. Intact rock strength properties are usu-
ally applied for these new discontinuities. When the
local stress exceeds the strength of such plane, it will
slip or open and its cohesion drops to zero. After a local
crack.
It is known that fracture initiation starts at a stress
level far below the ultimate short-term strength and
increases with stress. FRACOD2D uses a probabilistic
approach to simulate fracture initiation. It is assumed
that, at a candidate location, the probability of a frac-
ture initiation depends upon the stress/strength ratio
(/m ):
where p is the probability of fracture initiation; /m
is the ratio of the stress to strength; a is the fracture
initiation level.
The failure process is modelled through deforma-
tion, sliding, opening and propagation of these newly
initiated cracks.
Shen & Stephansson (1994) suggested a fracture
propagation criterion, named the F-criterion that
involves both mode I and mode II fracture propagation.

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 According to the F-criterion, in an arbitrary direction
() at a fracture tip there exists an F-value, which is
calculated by
where GIc and GIIc are the critical strain energy release
rates for mode I (tensile) and mode II (shear) frac-
ture propagation. GI () and GII () are strain energy
release rates due to the potential mode I and mode
II fracture growth of a unit length. If the maximum
F value reaches 1.0, fracture propagation will occur.
The direction of fracture propagation will correspond
to the direction where F reaches the maximum value.
2 LABORATORY TESTS AND PARAMETERS
Intact rock and fracture properties of sp diorite have
been tested in the laboratory (Staub et al. 2004). Sam-
ples have been taken from the sp Pillar Stability
Experiment site of the HRL. Results of these tests
have been used to model the compression stressstrain
response. A set of typical parameters applied in mod-
elling is listed in Table 1. Uniaxial (UCS) and triaxial
compression tests were carried out with a digitally
servo-controlled MTS 815 rock mechanics test sys-
tem at Helsinki University of Technology (HUT).
Test specimens were prepared and tested according
to the ISRM suggested method, with an exception that
the loading has been controlled by radial strain rate.
Compression tests were started with axial load control
and changed to radial strain rate control after 0.01%
radial strains but before crack initiation stress. This
enables one to control the post failure phase even for
Class II behaviour (Figure 1). Because of the radial
strain rate control, the axial loading rate decreases to
zero and changes sign at the peak strength.
In FRACOD2D models the fracture toughness and
the crack length are important factors defining the
level of stress at which the crack starts to propagate.
Fracture toughness in mode I and mode II loading
of sp diorite has been determined using the ISRM
suggested method for mode I, and the Punch-through
Shear Test for model II (Backers 2003). According
to these tests, mode II fracture toughness increases
with increasing confining pressure and shows an
asymptotic rise to a maximum value.
In practice it is not possible to precisely determine
the crack length and orientation of the most critical
crack from a rock sample. Numerical sensitivity anal-
yses have been made with varying crack lengths. The
smaller the crack the higher stress state is needed for
fracture propagation. In this study a crack length of
6.25 mm has been used when referring to the maxi-
mum defect, for example the maximum size of a grain

Table 1. Input data for simulation of uniaxial and tri-axial

compression test models.

Parameter Value and unit Figure 1. Rock types are classified into Class I and Class
II in view of the post-peak axial deformation behaviour
Rock (Wawersik1968).
Youngs modulus (intact rock) 68.0 GPa
Poissons ratio (intact rock) 0.24
Cohesion 31 MPa 280
Friction angle 49
Axial stress (MPa)

240
Tensile strength 14.8 MPa
Crack initiation strength (in UCS) 121 MPa 200
Fractures 160
Size of a newly initiated crack 6.25 mm
120
Fracture toughness mode I 3.21 MPa*m1/2
Fracture toughness mode II 4.6/ 7.1/ 8.8/ 10,0/ 80
Confinement: 0/5/10/15/20/30 10.9/ 11.9/ and
40
and 50 MPa 12.7 MPa*m1/2 Radial Strain ( %) Axial Strain (%)
New crack stiffness: Kn and Ks 26976 GPa/m 0
Friction angle 49.0 -0.5 -0.4 -0.3 -0.2 -0.1 0.0 0.1 0.2 0.3 0.4 0.5
Cohesion, before and after sliding 31 MPa, 0 MPa
Dilation angle 5 Figure 2. Typical stress-strain curve from a uniaxial com-
pression test of sp diorite (Staub et al. 2004).

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 in the sample that may generate a critical stress con-
centration for fracture propagation.
3 FAILURE MODELLING
The loading configuration for FRACOD2D simulation
is shown in Figure 3.
The stress and strain changes can be monitored at
any point of the model during the loading-unloading
process. Here the stress is monitored on the top of the
sample. The radial response of the model is calculated
at four locations close the mid-point of the vertical
boundary.
Applying axial strain on the top boundary increases
the stress. Axial strain of short steps (2 106 m or
0.0016%) was applied, equivalent to about 1 MPa
stress increase in the elastic region.
Five calculation cycles were used for every loading
step to detect possible fracture propagation. Similar
monotonic loading rate was applied throughout the
calculations. To demonstrate the Class II behaviour,
reversal axial strain was applied during unstable frac-
ture propagation.
fracture propagation, the post-peak failure continues
at constant axial strain resulting in decrease of axial
stress.
The progressing failure is detected as increasing
radial strain even if the axial strain is kept constant (see
Figure 5). To simulate the Class II behaviour, unload-
ing was started after passing the peak strength using
similar size of strain increments but in opposite direc-
tion as was used for loading. Five calculation cycles
were applied for each unloading increment during the
unstable phase of fracture propagation.
3.2 Triaxial models
The effect of confinement on strength was modelled
using similar parameters and loading increments as
described for the UCS model with an exception that
a monotonic axial strain loading were applied all the
way through the test, that is, no unloading at the peak.
The confinement was applied to the sample before
axial loading. Confinements of 5, 10, 15, 20, 30 and
50 MPa were modelled and associated fracture tough-
ness values as shown in Table 1 were used.

FI SF UF, peak
3.1 UCS model
The modelling work was initiated by simulating the
general stress-strain behaviour observed in uniaxial
compressive strength (UCS) tests of sp diorite. Here
the fracture initiation is set to start at a stress level of
121 MPa of uniaxial loading, as a typical value for
sp diorite (FI), see Figure 4.
The fracture initiation develops successively with
stress increase. The stable fracture propagation (SF)
starts at a stress of 225 MPa. After a certain amount
of additional increase of strain the unstable frac-
ture propagation (UF) is triggered at 232 MPa (peak
strength). When exceeding the level of unstable
Start Post-failure Post-failure
unloading
Displacement
boundary on top

Stress
boundaries on Sample size:
M4
both sides
50mmx125mm M3
Confinement M2
0-20MPa M1
Midpoint
Monitoring symmetry
point:

Figure 4. Failure pattern according to FRACOD2D calcula-

tions. Dots mark an open fracture. (FI) fracture initiation,
Figure 3. Loading configuration for FRACOD2D (SF) stable fracture propagation, (UF) unstable fracture
simulation. propagation.

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 280
250 UF, peak 240
Axial stress (MPa)

SF 200
200 160
Laboratory
120
80
150
FI 40
M3 M4 M2 M1
0
100 Start unloading -0.5 -0.4 -0.3 -0.2 -0.1 0.0 0.1 0.2 0.3 0.4 0.5

280
50 240

Axial stress (MPa)

200
Radial Strain (%) Axial Strain (%) Simulation
0 160
-0.5 -0.3 -0.1 0.1 0.3 0.5
120

Figure 5. Modelled Class II behaviour of sp diorite. 80

Monotonic axial strain loading-unloading. 40
Radial Strain (%) Axial Strain (%)
0
-0.5 -0.4 -0.3 -0.2 -0.1 0.0 0.1 0.2 0.3 0.4 0.5
600
Confinement:
15MPa Figure 8. Triaxial compression test with 7 MPa confine-
500 ment. Above radial strain controlled laboratory test, below
FRACOD2D simulation.
10MPa
400
Axial stress (MPa)

5MPa Numerical tests were also made to simulate indi-

300 vidual laboratory tests. A model aiming to simulate
0MPa the stress-strain response of a radial strain controlled
200 triaxial test is presented in Figure 8.

100

Radial Strain (%) Axial Strain (%) 4 RESULTS

0
-0.9 -0.7 -0.5 -0.3 -0.1 0.1 0.3 0.5 0.7 0.9
In FRACOD2D uniaxial and triaxial compression test
models using the suggested parameters for sp dior-
Figure 6. Modelled effect of the confinement on strength.
Monotonic loading rate. ite, the potential failure planes are generated in direc-
tion of shear failure. These failure planes slips with
increasing stress and start to propagate in shear mode.
Fracture initiation Fracture propagation Peak
The opening mode fracture propagation occurs after
reaching the stage of unstable fracture propagation. In
800 the post peak region most of fractures dilate.
700 The post peak failure starts when the applied stress
reaches the critical level for unstable fracture propa-
600
Axial stress (MPa)

gation. Depending on the stored strain energy, load-

500 ing configuration, pre-existing fractures and fracture
400 properties, fracture(s) will continue to propagate or
300
stop at a certain stage. The longer the fracture the
higher the stress intensity at the crack tips. On the
200 other hand, the growing fracture causes stress relief
100 due to slip and opening. The failure process may also
0
cease when a growing fracture reach another fracture.
0.0 10.0 20.0 30.0 40.0 50.0 The simulated axial and radial stress-strain
Confinement behaviour using typical rock parameters for sp
rocks look much like the results produced in the labo-
Figure 7. Modelled effect of confinement on fracture initi- ratory. However, there exist a large scatter in the labo-
ation, propagation and peak strength. ratory results, especially concerning the peak strength

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Copyright 2006 Taylor & Francis Group plc, London, UK

 and the following stress-strain response associated to
the radial strain controlled loading.
In the triaxial models the stress level needed to
initiate new cracks increases linearly with increasing
confinement because constant cohesion, friction angle
and a constant portion (73%) of the Mohr-Coulomb
strength criterion have been applied. The stress level
to trigger fracture propagation shows an asymptotic
behaviour (Figure 7).
5 LOADING RATE
In laboratory tests it has been observed that the peak
strength of rock is highly affected by the loading
rate (Hakala & Heikkil 1997). The effect of stress
corrosion increases with increasing stress state. Sub-
critically growing fractures may contribute to the
failure close to the peak strength and cause strain
softening prior to the peak.
For an intact FRACOD2D rock model the onset of
crack initiation is not dependent on loading history
unless reaching the critical level for crack initiation.
However, further development of the crack initiation
pattern depends on the size of applied load increments.
Small load increments allow less cracks to initiate
than big loading increments. Stiffness properties, slip-
ping and opening of the newly initiated cracks alter
the stress distribution and influence further initiation
of new cracks.
The loading history and pre-damage also affects
the level of stress required for stable or unstable frac-
ture propagation and the subsequent post-peak failure
process.
6 CONCLUSIONS AND FURTHER
IMPROVEMENT
The fracture initiation, stable and unstable states of
fracture, peak strength and post-peak behaviour were
all modelled successfully using FRACOD2D .
Based on calculation results it can be concluded that
beside the material properties and the loading config-
uration, loading history has a significant effect on the
failure processes. The strain steps in the current model
were not related with time and therefore the true load-
ing rate has not been properly simulated. To model
the actual loading rate the velocity of propagating frac-
tures should be linked to the loading. The velocity of
propagating fractures will be considered in the next
phase of this modelling project.
For presented models, the potential failure planes
were generated in the direction of shear failure. A
number of sensitivity analyses were made using low
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Copyright 2006 Taylor & Francis Group plc, London, UK
tensile strength of the intact rock. Low tensile strength
models produce axially oriented tensile cracks and
the subsequent failure process is somewhat different
compared to models with high tensile strength. Pre-
damage in the numerical sample has a similar effect.
When pre-cracks with small angle to the major stress
are introduced in the model, wing cracks will grow
in the direction of the axial load. The radial strain
response is stronger compared to the models with shear
failure as the main mode of failure. Effect of pre-
damage will be studied more detailed in the next phase
of this project.
A nonlinear function is suggested to describe the
stress-closure/opening curves of joints (Bandis et al.
1983). Currently FRACOD2D uses constant fracture
stiffness. Improving the code to take into account
the stress dependent fracture properties will further
improve its capacity to realistically simulate the stress-
strain behaviour of compressed rock.
ACKNOWLEDGEMENTS
This study is a contribution to Task B of the inter-
national DECOVALEC-THMC project. We would
like to thank the Swedish Nuclear Fuel and Waste
Management Company (SKB) for providing labora-
tory data, and the Finnish Research Programme on
Nuclear Waste Management (KYT) and the Academy
of Finland (grant 213848) for financial support.
REFERENCES
Backers, T. 2003. Determination of Mode I and Mode II Frac-
ture Toughness and Fracture Normal Stiffness of sp
diorite. Technical Report GFZ Potsdam, September 2003
(in Staub et al., 2004).
Bandis, S. C. & Lumsden, A. C. & Barton N. R. 1983. Fun-
damentals of Rock Joint Deformation. Int. J. Rock Mech.
Sci. & Geomech. Abstr. Vol.20, No.6, pp. 249268.
Hakala, M. & Heikkil, E. 1997. Summary report Develop-
ment of laboratory tests and the stress-strain behaviour of
Olkiluoto mica gneiss. Posiva Oy, Helsinki. 150 p +app.
ISBN 951-652-029-4
Shen, B. & Rinne, M. & Stephansson, O. 2005. FRACOD2D
Users Manual ver 2.0 2005.
Shen, B. & Stephansson, O. 1994. Modification of the
G-criterion of crack propagation in compression. Int. J.
of Engineering Fracture Mechanics. 47(2), 177189.
Staub, I. & Andersson, J. C. & Magnor, B. 2004. sp Pillar
Stability Experiment, Geology and mechanical properties
of the rock mass in TASQ. SKB report R-04-01, Stockholm
Sweden.
Wawersik, W. R. 1968. Detailed analysis of rock failure in
laboratory compression tests. Ph.D. thesis, University of
Minnesota, 1968, p. 165.
 Keynote lectures

Copyright 2006 Taylor & Francis Group plc, London, UK

 EUROCK 2006 Multiphysics Coupling and Long Term Behaviour in Rock Mechanics
Van Cotthem, Charlier, Thimus & Tshibangu (eds)
2006 Taylor & Francis Group, London, ISBN 0 415 41001 0

Tunnel stability and deformations in water-bearing ground

G. Anagnostou
ETH, Swiss Federal Institute of Technology, Zurich, Switzerland

ABSTRACT: Water can affect the stability and the deformations of a tunnel by reducing the effective stress
and thus the resistance to shearing, and by generating seepage forces towards the excavation boundaries. The
seepage-flow may lead to a draw-down of the water-level and to time-dependent subsidence due to consolidation.
Furthermore, when tunnelling in soft ground, the seepage forces acting towards the opening may impair its
stability. The movement of water in a low-permeability ground is one major cause of time-dependent effects in
tunnelling. This paper discusses the effects of water by means of examples covering a wide range of tunnelling
conditions. Emphasis is placed on practical questions of tunnel engineering, on the mechanisms governing
the stability and deformation of underground openings in water-bearing ground and on the significance of
poromechanical coupling.

1 INTRODUCTION through water-bearing ground, on the mechanisms

The effects of groundwater in tunnelling are manifold.
During tunnel excavation in a water-bearing ground,
seepage flow towards the opening takes place, because
the pressure at the excavation boundary is, in gen-
eral, atmospheric and the tunnel acts therefore as a
groundwater drain. The seepage-flow may lead to a
draw-down of the water-level, to a decrease in the dis-
charge of wells, or to consolidation and subsidence.
Besides these in the broader sense environmental
impacts, large water inflows may impede excavation
works or have a serious impact on the serviceability of
the tunnel during its operation phase.
The present paper focuses on the mechanical action
of water: Water can affect both the stability and the
deformations of a tunnel by reducing the effective
stress and thus resistance to shearing, by generating
seepage forces towards the excavation boundary; and
by washing out fine particles from the ground. Tran-
sient seepage flow in a low-permeability ground is one
major cause of time-dependent effects in tunnelling.
Furthermore, when tunnelling in weak ground, the
seepage forces acting towards the opening may impair
its stability. The interactions between seepage flow
and equilibrium, porewater pressure and stress field
around a tunnel constitute perhaps the most important
coupled process in geotechnical engineering.
In the next pages the effects of water on the sta-
bility and deformations of underground openings will
be discussed by means of examples covering a wide
spectrum of tunnelling conditions. Rather than delving
into the details of mathematical modelling, empha-
sis will be placed on practical questions of tunnelling
governing the observed phenomena of stability and
deformation and on the significance of poromechani-
cal coupling. The discussion will start with the case
of shallow tunnels through weak ground, and will
continue with the crossing of fault zones consisting
of so-called swimming ground, finishing with tun-
nelling through squeezing or swelling rock (Fig. 1).
What unifies all of these cases are the underlying
mechanical principles which can be traced back to the
fundamental works of Terzaghi and Biot.
2 SHALLOW TUNNELS IN WEAK GROUND
2.1 Introduction
The most serious risks in tunnelling through weak
ground are associated with a collapse of the tunnel
face. In shallow tunnels the instability may propagate
towards the surface creating thereby a chimney and a
crater on the ground surface (Fig. 1a). The face fail-
ure results then in excessive subsidence and damage
to overlying structures. Depending on the construc-
tion method, i.e. on the sequence of the excavation
and temporary support works, various other collapse
mechanisms need also to be considered in conven-
tional tunnelling. For example, when tunnelling by
the top-heading and bench method, a collapse up
to the surface may occur also as a consequence of an
unsufficient bearing capacity of the ground beneath
the footings of the temporary support arch (Fig. 1b).
In general, the tunnel portion close to the heading is
particularly demanding, as the application of support

Copyright 2006 Taylor & Francis Group plc, London, UK

 Figure 1. (a) Face instability; (b) Failure of an open shell;
(c) Subsidence; (d) Overstressing of a grouting body in a fault
zone; (e) Squeezing pressure or deformation; (f) Floor heave
in swelling ground.

in this area interferes with the excavation works.

Besides the stability of the opening, the control of
surface settlement is essential in urban tunnelling
(Fig. 1c).
The stability and deformations of tunnels in water-
bearing ground depend greatly on the permeability of
the ground. Tunnel excavation in a low permeability
ground does not alter the water content around the
opening on the short-term. Instead, excess pore water
pressures develop. These dissipate over the course
of time leading thus to consolidation and additional
deformations of the ground. From the standpoint of
stability two stages can be distinguished: the short-
term stage, corresponding to undrained shear, and
the long-term stage, corresponding to drained shear.
In a high permeability ground the water content
adjusts itself immediately to the stresses prevailing
after excavation.
2.2 Stability
Stability issues are usually investigated by limit equi-
librium analyses. As deformations are not taken into
account in such analyses, the ground may be idealised
Figure 2. (a) Collapse mechanism at the tunnel face (Horn
1961); (b) Numerical model for seepage flow analysis; (c)
Hydraulic head field ahead of the tunnel face; (d) Results of
a limit equilibrium stability analysis (geometry as in Fig. 2c)
based upon the method of Anagnostou & Kovri (1996).
as a plastic material obeying the Mohr-Coulomb
failure condition either with the effective shear
strength parameters (c
,
) or with the undrained shear
strength Cu .As in other problems involving the unload-
ing of the ground (i.e., a reduction in the first invariant
of the total stress), undrained conditions are more
favourable for the stability of underground openings.
For common advance rates (up to 20 m/d), drained con-
ditions are to be expected when the permeability is
higher than 107 106 m/s (Anagnostou 1995b).
When analysing the stability of the tunnel face, a
simple collapse mechanism can be considered (Fig. 2a)

Copyright 2006 Taylor & Francis Group plc, London, UK

 consisting of a wedge and a prism which extends
from the tunnel crown to the surface (Davis et al.
1980, Anagnostou & Kovri 1996). With the excep-
tion of closed-shield tunnelling, the piezometric head
at the tunnel face is lower than that prevailing in
the undisturbed ground. Consequently, water seeps
towards the face, thereby generating seepage forces
which have a destabilising effect and must be taken into
account in a drained analysis. The seepage forces are
equal to the gradient of the hydraulic head field. The
computation of the seepage forces therefore calls for
a three-dimensional steady-state seepage-flow analy-
sis (Fig. 2b). Thus, a drained face stability analysis
proceeds in three steps: (i) determination of the three-
dimensional hydraulic head-field by means of a finite
element computation; (ii) integration of the seepage
forces acting upon the components of the specific col-
lapse mechanism (S, Fig. 2c); (iii) solution of the limit
equilibrium equations.
Fig. 2d shows the support pressure required in order
to stabilise the face as a function of the safety fac-
tor (defined in terms of the shear strength constants).
The upper line applies to the long-term conditions pre-
vailing when tunnelling under a constant water table
(steady state piezometric head field as in Fig. 2c).
The face support requirement decreases considerably
if groundwater drainage is carried-out prior to tun-
nelling (lower line). In low-permeability ground, the
face would remain stable even without support (lowest
line). The diagram shows the influence of groundwater
conditions and of time on face stability.
As another example, consider a partial excava-
tion with an invert closure in a distance L from the
face (Fig. 3a). The overall stability of the top head-
ing depends on the loads acting upon the temporary
support shell and its bearing capacity, as well as the
bearing capacity of the footings. At the limit state,
the load V from the overburden and the forces W
at the shell footings can be calculated by means of
the silo theory (Janssen, 1895) and by the common
foundation bearing capacity equations, respectively.
Fig. 3b shows the safety factor of the system as a
function of L. The diagram illustrates a well-known
fact from tunnelling practice: in weak ground, rapid
advance and closing the ring near to the face improve Figure 3. (a) Failure mechanism; (b) Safety factor as a func-
stability conditions considerably. According to Fig. 3c, tion of top heading length L; (c) Maximum length L as a
which shows the critical length L as a function of the function of undrained shear strength Cu .
shear strength Cu , not even short-term stability can be
assured in adverse conditions and a closed support rind
must be provided practically immediately. Note that in
the range of low strength values (Cu < 150 kPa), rel- 2.3 Deformations
atively small variations of strength (of, e.g., 25%), Although limit equilibrium analyses are sufficient
which may take place within short distances during for the investigation of stability questions, coupled
tunnel excavation in a heterogeneous ground, affect the stress- and seepage-analyses provide useful insights
critical length L considerably from the constructional into the mechanics of failure. With such analyses both
point of view (ring closure within one versus four short- and long-term behaviour can be studied consis-
diameters). tently, based upon the effective strength parameters,

Copyright 2006 Taylor & Francis Group plc, London, UK


Figure 4. Stability of a shallow tunnel (numerical exam-
ple). (a) Crown settlement u over support pressure p at
time t = 0+ (undrained conditions) and t = (steady state);
(b) Short-term (t = 0+ ) plastic zone (unsupported opening);
(c) Steady state (t = ) hydraulic head field , respective
seepage forces f and extent of plastic zone (support = 17%
of initial stress). Computational assumptions: Isotropic ini-
tial stress field; Elastic, perfectly-plastic material; Youngs
modulus E = 50 MPa; Poissons number = 0.25, friction
angle
= 28 , cohesion c
= 20 kPa, assoc. flow rule,
total = 20.5 kN/m3; porosity n = 20%.
i.e. without additional assumptions concerning the
undrained strength.
Fig. 4a shows the crown settlement u of a shallow
tunnel as a function of the support resistance p (nor-
malized by the initial stress). The condition of constant
water content applies for the short-term deformations,
while the long-term deformations have been obtained
by taking into account the steady state hydraulic head
(Fig. 4c). In the short-term the opening remains stable
even without support, while in the long-term a mini-
mum support must be provided for stability. When the
support pressure approaches a critical value pcr , the
Copyright 2006 Taylor & Francis Group plc, London, UK
ground fails up to the surface (Fig. 4c) and the settle-
ment becomes asymptotically infinite (Fig. 4a). The
seepage forces reach approximately 20 kN/m3 at the
tunnel floor (i.e., twice the submerged unit weight of
the ground) indicating thereby the risk of piping in the
case of an open invert.
Coupled analyses are indispensable for investigat-
ing questions of surface settlement. Fig. 5b and 5c
show the settlement troughs as well as the steady
state hydraulic head fields around a shallow tunnel
for the case of a constant or a depressed water level,
respectively. In agreement with field observations
(OReilly et al. 1991), the settlement trough deep-
ens and widens with time while the angular distortion
remains approximately constant.
3 FAULT ZONES
3.1 Introduction
Tunnel sections in soil-like materials that are subject
to high water pressures present a considerable chal-
lenge to tunnelling operations. In the past such ground
was described as swimming, which aptly empha-
sizes the importance of the water. The width of such
fault zones may vary from a few meters to decamet-
res. In some cases they are accompanied laterally by
a heavily jointed and fractured rock zone, in other
cases the transition to competent rock is very distinct.
When such a zone is suddenly encountered water and
loose material flows into the opening. Often one speaks
therefore of a mud inrush, which in extreme cases
can completely inundate long stretches of tunnel.
To overcome fault zones involving soil under high
water pressures the ground is drained and strengthened
ahead of the working face (Fig. 6). Experience show
that in the case of small tunnel profiles in dense ground
or in ground exhibiting some cohesion, drainage alone
is often sufficient to enable excavation.
The ground can be strengthened and sealed either
by grouting or by artificial freezing. Ground freezing
however only offers a temporary solution. In deep tun-
nels, in general a permanent strengthening and sealing
is required, which can only be obtained by grout-
ing. By injecting a fluid into the ground, which then
hardens, its strength, stiffness and imperviousness are
increased. The aim is usually to obtain a cylindrical
grouted body by carrying out the grouting works in a
controlled way.
3.2 Effect of seepage flow
The effect of water on the stability of grouting bod-
ies can be explained by considering the simple case of
a circular tunnel (of radius a) in a homogeneous and
isotropic initial stress field (total stress o , Fig. 7a).
The initial water pressure at the elevation of the tunnel
 Figure 5. Settlement induced by tunnelling (numerical example from Anagnostou 2002): (a) Model; (b) Settlement trough
and steady state hydraulic head field for an constant water level; (c) Settlement trough and steady state hydraulic head field
after draw-down of water level. Parameters: Ground: elastic, perfectly-plastic material with associated flow rule, E = 60 MPa,
= 0.30,
= 30 , c
= 0, porosity n = 30%. Lining: d = 0.20 m, E = 20 GPa.

untreated ground. The conditions at the extrados of

the grouting cylinder are given, therefore, by the initial
values of effective stress o
and porewater pressure po .
The hydraulic head difference between the untreated
ground and the excavation boundary is dissipated
entirely within the grouting body.
The porewater pressure distribution within the
grouted body (Fig. 7a) is:

The grouting cylinder is loaded by the ground pressure

Figure 6. Tunnelling through a fault zone.
o
acting at r = b and by the seepage forces associated
with the porewater pressure gradient dp/dr. Depend-
is assumed to be uniform with the value po . After ing on the magnitude of these parameters and on the
tunnel excavation the grouted zone takes the form of strength of the grouted zone, yielding may occur. The
a thick-walled cylinder whose outer surface (at radius extent of the plastic zone is given by its radius
r = b) is loaded by the surrounding untreated ground (Fig. 7a).
and the water. The effect of the seepage forces can be demon-
The ground (both the grouted and the untreated) is strated best by studying the equilibrium inside the
considered to be a porous medium according to the plastic zone. The equilibrium condition is
principle of effective stresses. Elastoplastic material
behaviour with Coulombs failure criterion is assumed.
Seepage effects are taken into account based upon
Darcys law. The permeability of the grouted body is k, where r
and t
denote the effective radial and tan-
that of the untreated ground ko . The excavation bound- gential stress, respectively. The stress field within the
ary (r = a) represents a seepage face, i.e. the water plastic zone fulfils, furthermore, the yield condition
pressure p at that point takes on the atmospheric value.
Under these assumptions the system fulfils the condi-
tion of rotational symmetry, and closed-form solutions
can be derived (Anagnostou & Kovri 2003).
Due to the filling of the pores, the permeability where fc and denote the uniaxial compressive
of the grouted zone is very low compared to that strength and the friction angle of the grouted body,
of the untreated ground. In the borderline case of respectively. From Equations (1) to (3) we obtain:
a very stiff and low-permeability grouting body, the
tunnel excavation does not have any effects on the
stresses and porewater pressures in the surrounding

Copyright 2006 Taylor & Francis Group plc, London, UK


Figure 7. Extent of plastic zone and distribution of pore
water pressure p when (a) the permeability k of the grouted
zone is very low relative to the permeability ko of the
untreated ground; (b) when the grouted zone is completely
drained. Parameters: Radius a = 5 m; Radius b = 13 m; Ini-
tial total stress o = 4.2 MPa; Initial pore water pressure
po = 2 MPa; Friction angle
= 30 ; Uniaxial compressive
strength fc = 3 MPa. Calculation after Anagnostou & Kovri
(2003).
From the above we note that the effect of pore water
pressure is apparently equivalent to a reduction of
the uniaxial compressive strength fc by po /ln(b/a) (cf.
Egger et al. 1982). In the example of Fig. 7a, the seep-
age forces cause an apparent strength reduction from
3 to 0.9 MPa!
An extensive plastification, such as the one in
Fig. 7a, is in general unacceptable as it may lead to
a loosening of the grouted zone and carries the risk
of an uncontrollable material and water inflow (inner
erosion). The plastification of the grouted body can
be limited by different measures, such as applying a
tunnel lining of higher resistance or by producing a
grouted body of larger diameter or higher strength. In
view of the considerable effect of seepage discussed
above, it is obvious that another very efficient measure
is the systematic drainage of the grouting body.
Copyright 2006 Taylor & Francis Group plc, London, UK
Figure 8. Water inflow Q (normalized by the inflow Qo tak-
ing place without grouting) and thickness (-a) of the plastic
zone (normalized by the thickness b-a of the grouting cylin-
der) as a function of the permeability k of the grouted zone
(normalized by the permeability ko of the untreated ground).
Parameters: as in Figure 7. Calculation after Anagnostou &
Kovri (2003).
Note that drainage does not reduce the total load
acting upon the grouted body. Due to the seepage
flow, which takes place within an extended region
surrounding the grouted zone, the untreated ground
consolidates towards the grouted zone and the effective
radial stress on the external boundary of the grouted
body increases by the same amount as that by which
the water pressure decreases there. The effective stress
at the extrados of the grouted body becomes equal to
the total initial stress o . Nevertheless, keeping the
seepage forces away from the highly stressed grouted
region leads to a considerably narrower plastic zone
(Fig. 7b).
The technical and financial feasibility of drainage
in an actual case depends on the quantity of water
inflows. Reduction of water inflows calls for a lower
permeability grouting body and implies a more inten-
sive stressing (Fig. 8) or, in order to limit plastification,
a higher strength grouting.
4 SQUEEZING ROCK
4.1 Introduction
When driving through zones of cohesive materials of
low strength and high deformability the tunnelling
engineer is faced with problems of a completely dif-
ferent kind. It is almost as if the rock can be moulded,
which is why it was formerly spoken of a mass of
dough. If suitable support measures are not imple-
mented, large long-term rock deformations will occur,
which can lead even to a complete closure of the tunnel
cross section. The rock exerts a gradually increasing
pressure on the temporary lining, which can lead to
 its destruction. In such cases one can speak of gen-
uine rock pressure and the ground is characterized as
squeezing. The basic aspects of tunnelling in zones
of squeezing rock have been presented in a concise
form by Kovri (1998). Typical examples of rocks
prone to squeezing are phyllites, schists, serpentinites,
claystones, certain types of Flysch and decomposed
clay and micaceous rocks.
Experience shows that high pore water pressure
promotes the development of squeezing. This is con-
firmed by the observation that considerably smaller
deformations take place when the rock mass is drained
in advance.
The effects of porewater pressure on the mechani-
cal behaviour of squeezing rock have been investigated
by a comprehensive laboratory testing program, which
was carried out at ETH Zurich during the design
and exploration phase of the 57 km long Gotthard
highspeed railway tunnel. Heavily squeezing ground
was expected particularly in the so-called northern
Tavetsch massif (TZM-N). During mountain for- Figure 9. Ground response curve at t = 0+ (short-term
behaviour) and at t = (long-term behaviour). Parame-
mation this zone was subjected to intensive tectonic ters: Tunnel radius 5 m; Depth of cover 300 m; Elevation of
action resulting in alternating layers of intact and weak water table 250 m; Youngs modulus E = 300 MPa; Poissons
kakiritic gneisses, slates, and phyllites. Kakirite ratio = 0.30; Friction angle
= 25 ; Cohesion c
= 50 kPa;
denotes an intensively sheared rock, which has lost Loosening factor = 1.2.
a large part of its original strength. On account of a
depth of cover of 800 m, of an initial pore water pres-
sure of 80 bar and of the expected rock properties, the stressed as the failure state approaches, which
approximately 1100 m long TZM-N was a major chal- indicates, therefore, that it plays an important role
lenge to the project. The laboratory tests revealed that in squeezing.
control of porewater pressure during triaxial testing (c) The excavation of a tunnel in saturated rock triggers
is indispensable. Specimen pre-saturation and main- a transient seepage flow process, in the course of
tenance of a sufficient back pressure are essential which both the pore water pressures and the effective
for obtaining reliable and reproducible parameters stresses change over time. The latter leads to rock
(Vogelhuber et al. 2004). Conventional triaxial tests deformations. Thus we are faced here with a coupled
are inadequate, as they may lead to a serious under- process of seepage flow and rock deformation. The
or over-estimation of the strength parameters. Consol- more impermeable the rock, the slower will process
idated drained (CD) and consolidated undrained (CU) be, i.e. the more pronounced is the time-dependency
tests provided, despite the complex structure of the of the rock deformation or pressure.
kakiritic phyllite, remarkably uniform results. The dis-
These three mechanisms are in general superim-
tribution of the strength parameters obtained by such
posed. Here attention will be paid exclusively to
tests was very small in comparison with conventional
the processes associated with the development and
triaxial testing data.
dissipation of pore water pressures. The effects of
Squeezing normally develops slowly, although
porewater pressure will be discussed on the basis of
cases have also been known where rapid deformations
computational results obtained with simple models.
occur very close to the working face. The development
A rotationally symmetric system in plane strain
of rock pressure or deformation may take place over
will be considered (see inset in Fig. 9). At the exca-
a period of days, weeks or months and can be traced
vation boundary, an atmospheric porewater pressure
back generally to three mechanisms:
(pa = 0) and a radial stress a corresponding to the lin-
ing resistance apply. At the far field boundary, stress
(a) The three-dimensional redistribution of stress in and porewater pressure are fixed to their initial val-
the region around the working face. This mecha- ues. The rock mass is modelled as a saturated porous
nism cannot explain long-term rock deformations, medium according to the principle of effective stresses.
because it occurs within two or three tunnel diame- Seepage flow is taken into account using Darcys law.
ters from the working face. The mechanical behaviour is described by an elastic,
(b) The rheological properties of the ground. So called perfectly plastic material model obeying Coulombs
creep is especially evident if the rock is highly failure criterion.

Copyright 2006 Taylor & Francis Group plc, London, UK

 4.2 Short- and long-term behaviour (b) the time-development of the displacement ua for a
constant lining resistance a (the yielding princi-
We first consider the two limiting states of tran-
sient seepage flow: the state at t = 0+ (short- ple case).
term behaviour) and the state at t = (long-term Fig. 10a shows the results of two transient ana-
behaviour). The first is characterised by the condi- lyses carried out in respect of these two cases. The
tion of a constant water content, while the second is ordinates a and ua refer to the resistance principle
governed by the steady state porewater pressure dis- (left axis) and to the yielding principle (right axis),
tribution. The short-term volumetric strains are zero, respectively. For the sake of simplicity, it was assumed
while the long-term deformations are associated with that the lining was installed after the occurrence of the
a volume increase caused by rock dilatancy. The short- short-term deformations. Thus the curves have their
term behaviour is therefore more favourable than the origin at a = 0 and ua = 0, respectively.
long-term behaviour.
This can be seen clearly by comparing the respec-
tive ground response curves (Fig. 9), which describe
the interdependence of radial displacement ua at the
excavation boundary and lining resistance a .
The short-term radial displacement ua stabilises
at approximately 0.36 m even in the case of an
unsupported opening (lining resistance a = 0). Long-
term, however, the tunnel would close (upper
curve).
If one assumes that about 3040% of the short-term
deformation occurs before the installation of the lining
(ahead of the excavation or in the immediate vicinity of
the working face, cf. Panet 1995) and that a temporary
lining can withstand a radial displacement of 0.20 m
without experiencing damage, then it has to be dimen-
sioned for a rock pressure of approximately 0.30 MPa
(Fig. 9, Point A). Long-term however the rock pressure
would increase to the much higher value of 1.5 MPa
(Point B).

4.3 Time-development of squeezing

To deal with the problems encountered in tunnel
sections exhibiting squeezing rock conditions, basi-
cally two structural concepts exist (Kovri 1998): the
resistance principle and the yielding principle.
In the former a practically rigid lining is adopted,
which is dimensioned for the expected rock pressure.
In the case of high rock pressures this solution is not
feasible.
The yielding principle is based upon the fact that
rock pressure decreases with increasing deforma-
tion. By applying a flexible lining, the rock pres-
sure is reduced to a manageable value. An adequate
overprofile and suitable structural detailing of the
temporary lining will allow for non-damaging rock
deformations, thereby maintaining the desired clear-
ance from the minimum line of excavation.
Interesting results concerning the efficiency of
these two structural concepts can be obtained by Figure 10. (a) The time development of the rock pressure
(resistance principle) and of rock deformation (yielding
investigating: principle) compared in the same diagram. Permeability
k = 1010 m/s, other parameters as in Fig. 9. (b) The rock
(a) the time-development of the rock pressure under pressure (resistance principle) and the rock deformation
a fixed radial displacement ua (the resistance (yielding principle) after 15 days, as a function of perme-
principle case); ability. Other parameters as in Fig. 9.

10

Copyright 2006 Taylor & Francis Group plc, London, UK

 According to Fig. 10a, the radial displacement ua of
a flexible lining develops at a much slower rate than the
rock pressure a acting upon a rigid lining. The devel-
opment of rock deformations in the first case needs
more time, because it is associated with volumetric
strains and, consequently, presupposes the seepage of
a larger quantity of water. The rock pressure a acting
upon a stiff lining (the resistance principle) increases
within a month to the considerable value of 0.5 MPa,
while the corresponding deformation of the flexible
lining at 0.03 m is still negligible. This result is inter-
esting from the practical point of view, as it shows that
with a yielding support one gains time.
4.4 Effect of permeability
The duration of consolidation is governed by the per-
meability of the ground. Increase permeability by
a factor of ten and the rock pressure and the rock
deformation will develop ten times faster. The great
importance of permeability soon becomes clear when
one plots the rock pressure and the rock deformation
at a particular time t in the function of permeability
(Fig. 10b).
Permeability coefficients less than 109 m/sec are
characteristic for practically impermeable rock. Since
the determination of permeability in this range is sub-
ject to large uncertainties, reliable predictions of the
time development of rock pressure or deformation are
extremely difficult.
Additional prediction uncertainties exist in the case
of heterogeneous rock formations. From soil mechan-
ics it is known that the duration of consolidation is
proportional to the square of the length of the drainage
paths. Thin permeable layers embedded in a practi-
cally impermeable rock mass lead to a shortening of
the drainage paths (Fig. 11) causing thus a substantial
acceleration of the squeezing process.
For a permeability k = 1011 to 109 m/s, the rock
pressure would increases to 0.11.2 MPa within 15
days (Fig. 10b). For a rock pressure of 0.1 MPa a light
temporary lining is sufficient, while a heavy support
is required in order to sustain a load of 1.2 MPa. The
difference between the two cases is important from
the tunnelling standpoint. As a consequence of some
randomly distributed permeable interlayers, the tun-
nelling engineer may experience the rock mass in one
case as competent, and in the other as disturbed.
Fig. 10b shows, nevertheless, that with a flexible
lining the consequences of prediction uncertainties are
alleviated. For a permeability k = 1011 to 109 m/s,
the radial displacement ua of a flexible lining amounts
to 00.25 m. The practical consequences of a poor
estimate of convergence are modest compared to the
consequences of a wrong estimate of the time devel-
opment of rock pressure acting upon a rigid support
according to the resistance principle (damage to the
lining and the need for re-profiling).
5 SWELLING ROCK
5.1 Introduction
Rocks containing certain clay minerals and in some
cases anhydrite swell, i.e. increase in volume when
they come into contact with water. The swelling is
due to water adsorption by the flaky structure of the
clay minerals (so-called osmotic swelling) and, in the
case of sulphatic rocks, also due to the gypsification
of anhydrite.
Geological formations with swelling rocks (juras-
sic claystones, tertiary marlstones or Gypsum-Keuper)
are widespread in France, Switzerland and Southern
Germany.
In tunnelling, the swelling manifests itself as a
heave of the tunnel floor (Fig. 12a). When the heave
is constrained by an invert arch, a pressure develops
(Fig. 12b), which may damage the lining. If the depth
of cover is small, also a heave of the entire tunnel
tube may occur (Fig. 12c). Swelling develops usually
over several decades thereby seriously impairing the
long-term serviceability and stability of underground
structures (Kovri et al. 1988, Amstad & Kovri 2001).
5.2 Significance of hydraulic-mechanical coupling
One interesting feature of the swelling phenomenon
is that the deformations occur only in the tunnel floor.
The walls and the crown remain stable over many years.

Figure 11. Shortening of the drainage path caused by

permeable interlayers. Figure 12. Phenomena in swelling rock.

11

Copyright 2006 Taylor & Francis Group plc, London, UK

 The first continuum-mechanical models were based
upon the hypothesis that the swelling is caused by the
stress redistribution resulting from the tunnel exca-
vation. Accordingly, swelling was considered as a
stress-analysis problem. Since significant differences
between floor and crown do not exist in respect of
the geometry or the initial and boundary conditions,
stress-analyses predict swelling not only in the tun-
nel floor, but also in the crown, independently of the
specific constitutive model. This contradicts the facts
and leads to unsafe predictions concerning the result-
ing stresses in the lining (overestimated axial forces,
underestimated bending moments).
Realistic predictions of the observed deformation
pattern are possible only when taking into account the
seepage flow and the hydraulic-mechanical coupling
(Anagnostou 1995a). In a coupled analysis, the dis-
placement field depends on the porewater pressures
prevailing around the tunnel and, consequently, on the
hydraulic boundary conditions. The latter are different
for the tunnel crown than they are for the floor. In sev-
eral tunnels, free water can be observed on the floor,
while the crown and walls appear to be dry.
5.3 Sulphatic rocks
Besides clay minerals, some swelling rocks also often
contain anhydrite (CaSO4 ). In a closed system, i.e. a
system without mass exchange with its surroundings,
anhydrite dissolves in the water and gypsum begins
to precipitate. Since the volume of gypsum crystals is
about 61% bigger than that of anhydrite, the swelling
of sulphatic rocks has often been attributed to the
hydration of anhydrite.
In an open system, as in situ, a great variety of
processes are possible. Depending on the water cir-
culation, and on the reaction kinetics, either leaching
of rock or hydration may occur. In the first case solid
matter (dissolved anhydrite) is transported away by
the water. In the second case the solid matter vol-
ume increases by about 61%. Provided that porosity
remains constant, hydration causes a volumetric strain
whose magnitude depends on the volume fraction
of the original anhydrite. It is also possible, how-
ever, that the formation of gypsum causes a gradual
stopping up of the pores, and thus a sealing of the
rock. In this case, a smaller volumetric strain would
occur.
So, the properties of the CaSO4 H2 O system do not
allow for a definite statement concerning the contribu-
tion of anhydrite to swelling. They show, nevertheless,
that the seepage flow conditions must be decisive.
This hypothesis is supported by field observations:
The intensity of swelling may vary considerably within
small distances alongside a tunnel even in the case of
a macroscopicaly homogeneous rock mass with con-
stant mineralogical composition.This can be explained
12
Copyright 2006 Taylor & Francis Group plc, London, UK
only as a consequence of varying water circulation
conditions.
Empirical evidence concerning the swelling of
anyhdritic rocks, actually a mechanical-hydraulic-
chemical coupled process, is very limited at the
present. The heterogeneity of sulphatic rocks (in the
specimen-scale) in combination with the extremely
long duration of swelling tests (several years even for
small specimens) makes experimental research very
difficult. In addition, the value of common labora-
tory tests is questionable, because the water circulation
conditions are in general different in situ from the ones
prevailing in oedometer tests.
Field observations show that the rate of swelling can
be reduced by applying a counterpressure on the tunnel
floor. The relationship between steady-state heave and
support pressure, which is important for the conceptual
design of tunnels in swelling rock, is unknown.
6 CLOSING REMARKS
Water has a decisive influence on the stability and
the deformations of underground openings for a
wide spectrum of geotechnical conditions. Taking
into account the seepage flow by appropriate mod-
elling improves our understanding of the observed
phenomena and of the inherent design uncertainities.
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Anagnostou, G. 1995a. Seepage flow around tunnels in
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Anagnostou, G. 1995b. The influence of tunnel excavation
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