ARTICLE IN PRESS

International Journal of Rock Mechanics & Mining Sciences 40 (2003) 725–738

Mechanical and hydraulic behavior of rock salt in the excavation

disturbed zone around underground facilities
Zhengmeng Hou*
Disposal Technology and Geomechanics, Technical University of Clausthal, Erzstrasse 20, Clausthal-Zellerfeld 38678, Germany
Accepted 13 April 2003

Abstract

The mechanical and hydraulic behavior of rock salt in the excavation disturbed zone (EDZ) around sealing systems in
underground repositories is relevant for the assessment of the safety function of these geotechnical barriers. It has been determined
through laboratory tests that the development of the EDZ, and thus, the hydraulic pathways, is closely related to the corresponding
damage boundary and the associated damage. By integrating short- and long-term strength considerations, dilatancy, damage and
healing into the newly extended Hou/Lux constitutive model for rock salt, it is possible to treat the tertiary creep in order to identify
the EDZ around underground facilities. This leads to prediction of the time-dependent development of the EDZ and, together with
a permeability model, calculation the permeability of rock salt in the EDZ.
With the Hou/Lux model, several phenomena, such as EDZ, spalling, dilatancy and radial deformation into the axial bore
observed in laboratory tests on axially perforated cylinder samples are simulated qualitatively and quantitatively.
Under in situ conditions, the EDZ of a 37-year-old drift at the Sondershausen mine, the prototype cavity at the Asse mine, as well
as a 1,000,000 m3 salt cavity, are examined. The results are then compared with the stress and permeability measurements at the
Sondershausen mine. The calculations show the various capabilities of the Hou/Lux model, including tertiary creep and creep
rupture, identification and development of the EDZ, development of dilatancy, of permeability, of damage and of healing, and
finally, stress rearrangements from the contour into the center of the rock mass formation.
r 2003 Elsevier Ltd. All rights reserved.

1. Introduction First of all, it must be stated that EDZ can be

Rock salt is one of the potential host rocks for
permanent disposal of radioactive waste. The object of
this disposal is to isolate the radioactive and other toxic
particles from the biosphere. Therefore, geotechnical
barriers must be constructed for sealing drifts and shafts
in underground repositories. The excavation disturbed
zone (EDZ) with its increased permeability constitutes a
potential risk to the functionality and to the effective-
ness of the geotechnical barriers. The identification and
forecasting of the temporal development, as well as the
mechanical and hydraulic characteristics of the EDZ,
are the basis for the assessment of the safety function of
the geotechnical barriers and for the description of the
hydromechanical interaction in the EDZ.
*Tel.: +53-23-72-23-47; fax: +53-23-72-23-41.
E-mail address: zhengmeng.hou@tu-clausthal.de (Z. Hou).
identified by various means of measurements or by
calculations. Certain methods of measurement, such as
permeability measurements and ultrasonic measure-
ments, are indispensable; however, they cannot effec-
tively be used in predicting any future developments.
This result is only possible with the use of a constitutive
model, which takes into account damage and dilatancy.
However, the majority of the constitutive models thus
far developed for transient and stationary creep of rock
salt are not suitable for describing the spatial and
temporal development of the EDZ because they assume
a volume-constant deformation and therefore cannot
treat damage and dilatancy, which usually appear in the
EDZ.
As can be seen in Fig. 1, which is an example of wall
spalling and floor breakage in a mine, there is a
significant intensity of crack development. As the rock
breaks slowly away from the excavation contour, its

1365-1609/03/$ - see front matter r 2003 Elsevier Ltd. All rights reserved.
doi:10.1016/S1365-1609(03)00064-9
 ARTICLE IN PRESS
726 Z. Hou / International Journal of Rock Mechanics & Mining Sciences 40 (2003) 725–738

Nomenclature F ds ; F dz flow function (=damage stress) for the

damage due to shear stresses and tensile
G; K shear and bulk modulus (MPa) stresses (MPa)
sij stress tensor (MPa), i; j ¼ 1; 2; 3 Qds ; Qdz potential function for the damage due to shear
sij = sij  I1 =3; I1 ¼ s1 þ s2 þ s3 stresses and tensile stresses (MPa)
s1 ; s2 ; s3 F h ; Qh flow function (=healing stress) and potential
three principal stresses (MPa), s1 Xs2 Xs3  function for the damage healing (MPa)
min s bðs3 ; yÞ short-term strength (MPa)
pG primary rock stress (MPa) bTC ðs3 Þ short-term strength under triaxial compres-
pi internal pressure (MPa) sion stresses (MPa)
e’ij ; e’eij ; e’ ieij tensor of total, elastic and inelastic strain rate kb ðs3 ; yÞfunction to account for stress geometry y
(1/d) (dimensionless)
e’vp
ij tensor of visco-plastic volume-constant strain bD ðs3 ; yÞ
rate (1/d) damage boundary (=long-term strength bL )
e’ds
ij ; ’
e dz
ij strain rate tensor induced by damage resulting (MPa)
from shear stresses and tensile stresses (1/d) bh ðs3 Þ healing boundary (MPa)
e’hij strain rate tensor induced by healing of bt ðs3 ; y; tÞ
damages (1/d) time-dependent strength (MPa)
etr ; max etr ZD ðs3 Þ =bD ðs3 ; yÞ=bðs3 ; yÞ; long-term to short-term
transient creep strain and maximum transient strength ratio
creep strain (dimensionless) Zrh =sv ðs3 ; yÞ=bðs3 ; yÞ; rheological coefficient of
eVol dilatancy (dimensionless) utilization
D damage parameter (dimensionless), D=da- sv von Mises stress (MPa)
=damaged area/total area (definition), D ¼ y lode angle (deg)
1  ð1=ð1  eVol ÞÞðvP =vP0 Þ2 (experimentally de- Fn =1 MPa
termined) T temperature (K)
vp ; vp0 ultrasonic velocity and primary ultrasonic z depth (m)
velocity (m/s) zr reference depth (m)
krit D critical damage at creep rupture (dimension- others parameter of the Hou/Lux model, shown in
less), 0pDpkrit Do1 Table 1
t; tBK time and time-to-rupture (d)

movements alone indicate a stress and time-dependent
process that originates from the contour.
The current international literature on the develop-
ment of constitutive models for rock salt shows a clear
tendency towards continuum damage mechanics [1–6].
The application of this theory permits the specific
detection and description of material damage, a time-
dependent stability development, as well as the creep
rupture of viscous materials. Moreover, the calculation
of dilatancy is the basis for estimating the porosity and
permeability changes of the material. This foundation
thus implies the possibility of quantifying mechanically
and hydraulically fundamental material changes, parti-
cularly in the EDZ.
By drawing on this background information,
the current article utilizes the Hou/Lux model to
identify the EDZ and to describe its time-dependent
development. The Hou/Lux model [4–6] is based
on the Lubby2 model for transient and stationary
creep of rock salt [7,8] and continuum damage
mechanics [9,10].
2. The Hou/Lux model for transient, stationary and
tertiary creep of rock salt
The Hou/Lux model is a constitutive model for rock
salt, which integrates, in a phenomenological way,
the following effects of various deformation mechanisms
[4–6]:
* diffusion and dislocation,
* strain hardening and recovery, and
* damage and damage healing.
The main constituents of the Hou/Lux model are
presented below.
2.1. The Hou/Lux model for the total strain rate
The above mechanisms contribute directly to the
development of inelastic strains and strain rates, and
consequently to the time-dependent deformation and
stress states. The total strain rate e’ij is therefore the result
of additive superposition of elastic ð’eeij Þ; visco-plastic
 ARTICLE IN PRESS
Z. Hou / International Journal of Rock Mechanics & Mining Sciences 40 (2003) 725–738 727

Kachanov [9]. In conjunction with the application of the

von Mises stress as the flow function, this model is
introduced by


vp 3 1 etr
e’ij ¼ 1
2 Z% dK expðk2 sv =ð1  DÞÞ max etr

1 sij
þ d ; ð4Þ
Z% m expðmsv =ð1  DÞÞexpðITÞ 1  D

1 sv
max etr ¼ ; ð5Þ
Gk 1  D

Gk
8  
< G% k exp k1 sv expðl1 TÞ ðetr omax etr ; hardeningÞ;
¼  1D
: G%  exp k1E sv expðl1E TÞ ðetr > max etr ; recoveryÞ
kE
1D
ð6Þ
 sv 
G% kE exp k1E expðl1E TÞ
1  D
s 
pG% k exp k1
Fig. 1. Wall spalling and floor softening in the drift of a salt mine. v
expðl1 TÞ: ð7Þ
1D
volume-constant ð’evp
ij Þ; damage-induced dilatancy ð’edij Þ as The parameters for rock salt at the Asse mine are shown
well as healing-induced contractancy ð’ehij Þ parts in Table 1.
e’ ij ¼ e’eij þ e’ieij ; ð1Þ For the determination of the recovery part of the
transient strains, it is assumed that only a part of the
e’ ieij ¼ e’ vp ’ dij þ e’hij : total transient creep deformation can recover after a
ij þ e ð2Þ
stress decrease. This assumption is implemented in
The Hooke constitutive law describes the elastic part of Eq. (7).
the total strain rate

 2.3. The Hou/Lux-MDS damage and healing model for
1 sij 1 1 I1
e’ eij ¼ þ  dij : ð3Þ the strain rate induced by damage and damage healing
2G 1  D 9K 6G 1  D
The statements for the inelastic parts of the strain rates The strain rates induced by damage and damage
are presented below. These statements are treated as healing are calculated by means of the Hou/Lux-MDS
independent models (partial models).
Table 1
2.2. The Hou/Lux-ODS model for the visco-plastic strain Numerical values for the parameters of the Hou/Lux model for rock
salt
rate induced by the deformation mechanisms of diffusion,
dislocation, strain hardening and recovery Hou/Lux-ODS Hou/Lux-MDS

G% k MPa d 5.08  105 a0 — 1/35

The visco-plastic strain rate resulting from the Z% k MPa d 8.94  104 a1 — 6.0
deformation mechanisms of diffusion, dislocation, Z% m MPa d 2.03  107 a2 — 4.0
strain hardening and recovery can in principle be k1 1/MPa 0.191 a3 1/d 2.0  1010
calculated using most of the constitutive models applied k2 1/MPa 0.168 a4 — 0.8
m 1/MPa 0.247 a5 1/MPa 0.055
in salt mechanics. One such constitutive model is the l 1/K 0 a6 MPa 67.0
Lubby2 model. However, a disadvantage to the Lubby2 T K 298 a7 MPa 41.0
model is that it does not account for the differences a8 1/MPa 0.25
between hardening after a stress increase and recovery G% kE MPa d 3.05  104 a9 — 1.0
after a stress decrease. Furthermore, it does not include k1E 1/MPa 0.191 a10 1/MPa 0.25
l1E 1/K 0 a11 d 1.67
an explicit statement for the determination of the a12 d 3.34  104
maximum transient creep strain max etr : The Hou/Lux- a13 — 5.00  103
ODS model, an extension of the Lubby2 model, a14 — 1.14
eliminates the two previously mentioned deficiencies a15 1/d 1.67  108
and considers the reference area for the stress calcula- a16 — 5.0
a17 — 5.5
tion reduced as a result of material damage according to
 ARTICLE IN PRESS
728 Z. Hou / International Journal of Rock Mechanics & Mining Sciences 40 (2003) 725–738

damage and healing model through utilization of cing the material damage (e.g. pores and cracks), due
Eqs. (8) and (9). In order to adapt the calculated volume respectively to shear and tensile stresses. On the other
changes to the laboratory results, these two formulae hand, the potential functions Qds according to Eq. (12)
contain a non-associated flow model [11,12] and Qdz according to Eq. (13) describe the correspond-
/F ds =F  Sa1 qQds ing flow directions in the constitutive model
e’ dij ¼ e’ ds ’ dz
ij þ e ij ¼ a3 F ds ¼ sv  bD ðs3 ; yÞ ¼ sv  ZD ðs3 Þbðs3 ; yÞ; ð10Þ
ð1  DÞa2 qsij
/F dz =F  S qQdz
a1
þ a3 ; ð8Þ F dz ¼ 6/  s3 S; ð11Þ
ð1  DÞa2 qsij

 Qds ¼ sv  a0 bðs3 ; yÞ ¼ sv  a0 bTC ðs3 Þkb ðs3 ; yÞ; ð12Þ
/  eVol S F qQ h h
e’ hij ¼ ð9Þ
a11 þ a12 expða13 eVol Þ F  qsij Qdz ¼ 6/  s3 S; ð13Þ
with ZD ðs3 Þ ¼ 1  a4 expða5 s3 Þ; ð14Þ
(
0; xp0;
/xS ¼ bðs3 ; yÞ ¼ bTC ðs3 Þkb ðs3 ; yÞ;
x; x > 0:
bTC ðs3 Þ ¼ a6  a7 expða8 s3 Þ; ð15Þ
Eq. (8) indicates that the flow functions F ds and F dz
determine the activation of the strain rate due to  expða10 s3 Þ
1
damage. Analogously, as stated in Eq. (9), the flow kb ðs3 ; yÞ ¼ :
cosðy þ ðp=6ÞÞ þ a9 sinðy þ ðp=6ÞÞ
function F h determines the activation of the strain rate
resulting from damage healing. ð16Þ
In Eq. (10), the first term sv on the right-hand side
2.3.1. Flow and potential functions for the detection of represents the driving force for shear-induced damage.
damage resulting from shear stresses and tensile stresses The second term bD ; corresponds to the onset of damage
The flow and potential functions contained in Eq. (8) and of decreasing of ultrasonic velocity, represents the
are further refined in Eqs. (10)–(16). On one hand, the resisting force for counteracting the damage. Therefore,
flow functions F ds following Eq. (10) and F dz following F ds ¼ 0 represents the damage boundary bD under shear
Eq. (11) represent the mechanical conditions for indu- stresses. As shown in Fig. 2, this boundary bD can be

70
failure zone: short-term failure
65 dilatancy and damage zone:
A
microcracks increasing
60
short-term strength, damage and healing boundary [MPa]

damage increasing
dilatancy increasing
55 permeability increasing
seismic velocities decreasing
50 creep rate increasing
humidity effects increasing
creep rupture constant volume zone:
45 microcracks constant
damage constant
40 no healing
dilatancy constant
35 permeability constant
C seismic velocities constant
30 B

25 compression and healing zone:

microcracks decreasing
20 damage healing
dilatancy decreasing
permeability decreasing
15
seismic velocities increasing
creep rate decreasing
10 humidity effects decreasing
no creep rupture
5

0
0 5 10 15 20 25 30 35 40 45 50
minimum principal stress [MPa]

Fig. 2. Comparison of the short-term strength (A), damage boundary (B) and healing boundary (C) of rock salt.
 ARTICLE IN PRESS
Z. Hou / International Journal of Rock Mechanics & Mining Sciences 40 (2003) 725–738
calculated from a non-linear short-term strength func-
tion bðs3 ; yÞ; dependent on the minimum principal stress
s3 and the stress geometry y; and a function of the short-
term to long-term strength ratio ZD [4,13]. A positive
value of the flow function F ds represents the ‘exceeding
intensity’ of the damage boundaries under shear stresses
and, as a consequent result, the stress for shear-induced
damage (=damage stress).
Eq. (11) also implies the development of cracks
whenever tensile stress exists. In comparison with Hou
[4], the flow and potential functions for damage
resulting from tensile stress have been simplified:
* Only the largest tensile stress /  s3 S; instead of the
composition of tensile stresses from all directions, is
included in the flow and potential functions.
* Since the tensile strength of rock salt is around
bz ¼ 0:523:5 MPa, the damage boundary under
tensile stresses is assumed to be bzd ¼ 0 (=tension
cut-off).
* Instead of the non-associated flow law, the associated
flow law is applied.
* It is further assumed, that the effect of the damage by
equivalently exceeding the damage boundaries, re-
sulting from tensile stress, is larger than that resulting
from shearing stress. Thus, a pre-factor must be used
both in the flow function and in the potential
function. The assumption of a pre-factor 6 has been
ds  a
made in reference to statements located in [14].
This simplification appears necessary due to the
difficulty of carrying out tests under tensile stress.
However, it also seems justified since large tensile
stresses are unlikely to occur in rock salts.
The individual treatment of shear and tensile stresses
allows for an independent and objective consideration of
tensile stresses and their effects.
2.3.2. Flow and potential functions for the detection of
damage healing
The flow and potential functions, used in Eq. (9)
of the Hou/Lux-MDS damage and healing model,
are defined by Eqs. (17) and (18) as referenced in
[12]. Unlike the flow functions for damage, F ds and
F dz ; the flow function for healing F h in
Eq. (17) represents either the mechanical criterion for
the closing of pores and cracks or the force for healing
the damage (=healing stress). The potential function Qh
as seen in Eq. (18) determines the corresponding flow
direction
a16 1=ð1þa17 Þ


2 2 a 6  sv
F h ¼ s3 þ ln ; ð17Þ
3 3a5 a6
1  a14 2 damage parameters reaches the value DðtBK Þ ¼ krit D;
Qh ¼ s 1 þ s3 : ð18Þ
3 3
729
Eq. (17) shows that the healing stress F h increases in
direct relationship to a decreasing von Mses stress sv
and an increasing minimum principal stress s3 : The
isostatic state of stress s1 ¼ s2 ¼ s3 therefore has the
best healing effect.
bh ðs3 Þ ¼ a6  a6 expða5 s3 Þ: ð19Þ
In contrast to the damage boundary bD ; the healing
boundary bh characterizes the condition for the begin-
ning of damage healing. That is to say, within the
healing boundary, the damage heals; whereas, damage
occurs by exceeding the damage boundary bD : These
two distinct boundaries subsist mainly due to a potential
existence of a transient area between the damage and the
healing boundary, in which neither healing nor further
damage may occur. The healing boundary bh must, as
demonstrated in Fig. 2, be below the damage boundary
bD : These considerations are taken into account in
Eq. (19). However, in [14], a counter example exists
where the healing boundary and the damage boundary
are identical.
2.3.3. Kinetic equation for the damage development
The kinetic equation for the damage development is
described by means of the damage stresses F ds and F dz
through
/F =F S þ /F dz =F  S 16
’
D ¼ a15 : ð20Þ
ð1  DÞa17
In comparison to the kinetic equation developed by
Kachanov [9] and Lemaitre [10], the reference stresses
for inducing damage in Eq. (20) reside in the fact that
they cannot be found in corresponding literatures; they
are rather the damage stresses F ds and F dz from
Eqs. (10) and (11).
The reason for this particular modification lies in the
fact that damage may only be activated and further
enlarged if the damage boundary is exceeded. Thus, the
larger the acting damage stresses are, the more the
development of damage and the resulting strain rate
induced by this damage increase.
If the stress remains constant, Eq. (20) can be
integrated with respect to the damage parameter D:
Thereby, the damage development is reached through

DðtÞ ¼ 1  1  a15 ð1 þ a17 Þ

F ds F dz
 þ t : ð21Þ
F F
Presuming that the creep rupture occurs only when the
then, at a constant stress, the time-to-rupture tBK can be
 ARTICLE IN PRESS
730 Z. Hou / International Journal of Rock Mechanics & Mining Sciences 40 (2003) 725–738
determined by means of
tBK ¼ tBK ðs3 ; yÞ
1þa17
1  ð1  krit DÞ
¼
a : ð22Þ
a15 ð1 þ a17 Þ /F ds =F  S þ /F dz =F  S 16
Eqs. (20)–(22) have the following characteristics:
* If the damage stresses F ds and F dz remain negative,
no damage over time will occur. In such a case, the
pores and cracks that may already exist cannot be
aggravated. The formation and further development
of pores and cracks is thereby impossible. The creep
behavior of rock salts can thus be satisfactorily
described with most of constitutive models, such as
Lubby2.
* If the damage stresses F ds and F dz are positive, but
still relatively small, damage will develop at a very
slow rate. Therefore, in this scenario, the time until
creep rupture could assume very large values.
* However, if the damage stresses F ds and F dz are
positive and also relatively large, damage develops at
a very fast rate. As a result, tertiary creep and creep
rupture will also occur relatively quickly.
* The special case, where the damage stresses F ds and
F dz are both equal to zero, fulfills the criteria first for
the onset of damage and secondly for the general
occurrence of tertiary creep and creep rupture. That
is to say, that this boundary condition is identical to
the long-term strength bL of rock salt. The long-term
strength itself cannot be measured directly. It is,
however, possible to derive the damage boundary bD
from laboratory tests.
* The physical reason for the above-mentioned con-
clusion lies in the nature of a creep deformation itself.
In a situation where a creep deformation without
damage exists, there is no stress state that could
convert stationary creep into tertiary creep. Is such a
case, the primary crystal defects and micro-fissures
are suppressed and thereby not activated. Conversely,
the other active deformation mechanisms (diffusion,
dislocation, strain hardening and recovery) produce
creep deformations, which lead to visco-plastic
deformations but not to dilatancy, and thus, do not
cause damage and creep rupture. The observations in
laboratory tests at sufficiently high minimum stresses
(e.g. s3 > 25 MPa) lend proof to the above-mentioned
statement. In reference to these observations, the test
samples, notwithstanding their very large deforma-
tions (e.g. e > 20%), suffer, first of all, no significant
losses of strength and, secondly, no significant
changes in permeability.
* The introduction of the short-term strength b and the
long-term strength bL ; and the identification of the
h
damage boundary bD with the long-term strength bL
establish a relation between the short-term and the
long-term behavior of rock salt.
80
rheological coefficient of utilization [%]
70
60
50
40
30
20
10
1 10 100 1000 10000
time-to-rupture [a]
Minimum stress: 0 MPa (TC) Minimum stress: 10 MPa (TC)
Minimum stress: 5 MPa (TC) Minimum stress: 15 MPa (TC)
Fig. 3. The relationships between time-to-rupture, minimum stress,
and the rheological coefficient of utilization.
* Following Eq. (20), the damage develops relatively
slowly, when the damage boundary is at first
exceeded; it then, however, increases rapidly and,
shortly before the creep rupture occurs, dramatically
enlarges. This tendency also corresponds to the
pattern of the tertiary creep phenomena, as observed
from the beginning of accelerated creep until creep
rupture.
* Fig. 3 shows that, in comparison to higher minimum
stress, a lower minimum stress, for the same time-to-
rupture, only allows a smaller rheological coefficient
of utilization Zrh : Thus, given the same minimum
stress, the smaller the rheological coefficient of
utilization Zrh is, the longer the rupture-free time
allocated to a rock salt formation becomes. As seen
below, the gradient at which the rheological coeffi-
cient of utilization Zrh decreases over the time is
distinctly larger at lower minimum stresses as
compared to that at higher minimum stresses. For
instance, the rheological coefficient of utilization at
s3 ¼ 0 MPa for a time of t ¼ 1 a is Zrh =49%,
whereas for a duration of t ¼ 1000 a, Zrh =27%.
Likewise, at s3 ¼ 15 MPa, Zrh =76% for a time
interval of t ¼ 1a and Zrh =68% at t ¼ 1000 a. Hence,
in general, it may be concluded that the damage-
related strength reduction is much slower and less
intensive at higher minimum stresses than at lower
minimum stresses.
2.3.4. Kinetic equation for the damage healing
development
The kinetic equation for the damage healing devel-
opment is described by means of the healing stress F h
according to [12,14]
D F
D’ ¼ h’ ¼  o0
a11 þ a12 expða13 eVol Þ F 
ðdilatancy eVol p0Þ: ð23Þ
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Z. Hou / International Journal of Rock Mechanics & Mining Sciences 40 (2003) 725–738
Following Eqs. (23) and (9), the higher the current
damage, the current dilatancy, and the acting healing
stress are, the faster the damage and the dilatancy
decrease. The healing rate h’ > 0 can be expressed by the
recovery rate of the damage parameter Do0: ’ The
introduction of an additional healing parameter h is
then no longer necessary, since, in the end, the damage
parameter is the decisive factor for the dilatancy, the
permeability, the creep behavior, the time-dependent
strength and the strain softening behavior, etc.
According to Hou [12], Eqs. (23) and (9) have the
following characteristics:
* If the healing stress F h remains negative, there is and
will be, no healing or closing of cracks or pores over
time, since the acting stress exceeds the healing
boundary.
* If the healing stress F h is positive, but still relatively
low, either the existing damage will recover very
slowly or the existing cracks and pores will only close
with a great deal of difficulty. In such an instance, the
time for complete healing could assume an extremely
high value. That is to say if a complete healing takes
place at all.
* If the healing stress F h is positive and also relatively
high, damages and, consequently, the dilatancy
recover quite quickly. Therefore, the negative effects
induced by the damage, such as increased perme-
ability and creep rate, are for the most part
completely undone.
* In the special case where a healing stress F h equals
zero, the boundary condition or, in other terms, the
criterion for the general occurrence of healing and
volume contractancy comes into play. In contrast, the
damage boundary represents the long-term strength
of rock salt. Thus, exceeding the damage boundary
generates, among other consequences, damage, dila-
tancy and increased permeability. A transient zone
between the damage boundary and the healing
boundary, where the volume is constant and where
neither healing nor further damage occurs, seems a
logical and appropriate assumption. Expanding upon
this concept, the two boundaries are separated and
formulated in such a way that the damage boundary
lies continuously above the healing boundary, as
shown in Fig. 2. This is also one of the fundamentals
for the Hou/Lux-MDS damage and healing model.
However, this theory still needs laboratory testing
and quantification.
* Unlike the development of damage and dilatancy,
the recovery of the damage and, in particular, of the
dilatancy occurs quite rapidly at the beginning of the
healing process. However, as the damage heals and
the cracks and pores close during the healing process,
the recovery rate slows with the time. This tendency
has been observed and validated in laboratory tests
731
[14]. Moreover, two mechanisms are acknowledged
as an explanation [14] for this phenomenon. The first
mechanism, which leads to the closing of cracks and,
thus, to a large amount of volume contractancy, acts
only briefly at the beginning of the healing phase,
whereas, with the second mechanism, the damage
heals slowly through re-crystallization or through
chemical and physical processes, thus causing only
minimal volume contractancy.
2.3.5. Kinetic equation for the development of damage
and damage healing
It is generally impossible for the damage process and
healing process to take place simultaneously in a rock
element. It is however possible, that neither or only one
of the processes takes place. In other words, for the
simulation of the creep behavior in rock salt, the
implementation of one of the following alternatives is
required in the Hou/Lux model: no kinetic equation, or
the kinetic equation for the damage development as per
Eq. (20), or the kinetic equation for the healing
development as per Eq. (23). It is therefore unnecessary,
or even erroneous, to combine the two kinetic Eqs. (20)
and (23). This conclusion originates from the fact that
the healing boundary must understandably lie below the
damage boundary. Hence, as demonstrated in Fig. 2,
only one of the three following outcomes is possible at
any precise moment:
* Stress in the dilatancy and damage zone ) no healing
process, but damage process.
* Stress in the compression and healing zone ) no
damage process, but healing process with damage
D > 0 or no healing process without damage D ¼ 0:
* Stress in the constant volume zone ) no damage and
no healing process.
2.3.6. Dilatancy as a result of damage
The dilatancy eVol is here considered to be a
consequence of the damage. The dilatancy rate can be
calculated as follows [12]

/F ds =F  Sa1
e’Vol ¼ a3 a0 a7 a8 expða8 s3 Þkb ðs3 ; yÞ
ð1  DÞa2
þa10 expða10 s3 Þ
  
1
ln ðsv  Qds Þ
cosðy þ ðp=6ÞÞ þ a9 sinðy þ ðp=6ÞÞ
/F dz =F  Sa1
 6a3 Hðs3 Þo0: ð24Þ
ð1  DÞa2
Eq. (24) shows that dilatancy only exists if either
the damage boundary due to shear stress is exceeded
ðF ds > 0Þ or if tensile stresses are present ðF dz > 0Þ: At a
constant stress, the dilatancy develops along with
the damage. Therefore, as long as the damage parameter
D remains particularly small, the dilatancy can be
 ARTICLE IN PRESS
732 Z. Hou / International Journal of Rock Mechanics & Mining Sciences 40 (2003) 725–738
neglected. However, as the damage parameter D
assumes relatively large values, the dilatancy will
subsequently increase drastically. As a result, shortly
before the occurrence of a creep rupture, the dilatancy
rate reaches its maximum value, due to damage reaching
its critical value. In addition, the stress geometry is taken
into account for the calculation of dilatancy.
2.3.7. Dilatancy recovery (contractancy) as a result of
healing
During a healing process the existing dilatancy
(eVol o0) is, over time, partially or, in exceptional cases,
completely reversed. Hence, the reduction of the
dilatancy is here seen as a result of the healing. The
dilatancy recovery rate e’Vol > 0 can be determined under
triaxial compression and extension stresses using [12]
h  demonstrates the effects observed when using of the
eVol F a14 
e’Vol ¼  1  >0
a11 þ a12 expða13 eVol Þ F  3 pi ¼ 0 MPa, a confining pressure of s2 ¼ s3 ¼ 6:03 MPa
ðdilatancy eVol o0Þ: ð25Þ
The above Eq. (25) demonstrates that volume contrac-
tancy is only possible when stresses fall below the
healing boundary. Thus, under constant stress, the
development of the volume contractancy is dependent
on the current amount of dilatancy. In other words, at
the beginning of a healing process, the volume
contractancy rate is at its highest level, but then it
correspondingly decreases due to the continuously
decreasing of the dilatancy. This tendency corresponds
to the results observed in the laboratory and in situ.
However, this phenomenon has, in addition, physical
grounds for its occurrence. At the beginning of a healing
process, the open cracks and pores, generated during a
previous damage process, are compressed from every
direction through means of high isostatic pressures or
high compression stress. Thus, the volume of a
previously damaged test sample decreases rapidly. Over
time, and particularly after a closing phase, there is less
dilatancy to be compacted resulting in a consolidation
of the material. Consequently, the dilatancy recovery
rate decreases.
The Hou/Lux model has thus far been implemented
into the existing FEM-program MISES3 [15,16]. Thus,
the mechanical behavior of the EDZ in rock salt can
now be investigated numerically.
2.4. Parameters of the Hou/Lux model
The parameters of the Hou/Lux model are shown in
Table 1. These parameters are used in the numerical and
analytical calculations compiled in this study. More-
over, they have been determined in laboratory tests on
rock salt test sample and verified by means of a
numerical simulation of the tests [4,6,8,11,14]. For
details please refer to Hou [4,12,16].
3. Validation analyses of the EDZ based on model tests
on axially perforated rock salt samples
First of all, due to the potentially serious conse-
quences involved in the erroneous understanding of the
bearing behavior, the necessity for a validation of the
Hou/Lux model is justified. The validation analyses are
therefore based on model tests preformed on large
axially perforated rock salt samples. These tests were
carried out as part of a research project, funded by the
Federal Ministry of Education and Research in Ger-
many, at the Professorship for Disposal Technology and
Geo-mechanics of the Technical University of Clausthal
[17]. During the experiments, samples, originating from
numerous locations, were put under constant stresses. In
Fig. 4, a photograph depicting a EDZ of a model test
atmospheric pressure in axially arranged boreholes
and an axial pressure of s1 ¼ 34:08 MPa for a time
duration of t ¼ 69 d [17].
The following phenomena were observed throughout
the course of these tests:
* To begin with, over time relatively intensive damage
materializes in the form of discrete macro-cracks and
diffused web-like micro cracks. In addition, as
evident in the photograph, a rupture phenomenon
occurs. With the passage of time and increased
deformation, these cracks merge slowly together,
the damage region extends in every direction and
spalling arises near the axial bore.
* Secondly, the use of a colored liquid tracer makes the
secondary fissures (EDZ) visible. These fissures prove
that the damage and softening in the rock salt result
in an increase in the permeability.
* Furthermore, a radial deformation, which is directed
towards the outside as well as towards the axial bore,
occurs along side the vertical deformation of the rock
salt samples.
In evaluation, Fig. 5 compares the shape of the
sample measured after testing with those of the
calculations made by the Hou/Lux and Lubby2 models.
In regards to these shapes, it is unmistakably evident
that the first two shapes (derived respectively from the
laboratory tests and the calculations using the Hou/Lux
model) are nearly identical. For instance, in the central
region of the sample, the displacement towards the axial
bore measures approximately 1 mm, whereas the values
calculated using the Hou/Lux model amount to 0.9–
1.1 mm. Furthermore, the vertical displacement results
in 54.6 mm in the model test, 53.9 mm in the Hou/Lux
model calculation and 45.2 mm in Lubby2 calculation.
The disparity in the calculated vertical displacements of
the two models results mainly due to the fact that the
 ARTICLE IN PRESS
Z. Hou / International Journal of Rock Mechanics & Mining Sciences 40 (2003) 725–738
Fig. 4. Photograph showing EDZ with increased permeability in a vertical section of an axially perforated rock salt sample.
measured Hou/Lux Lubby2
Fig. 5. Comparison between measured and calculated shapes of an
axially perforated rock salt sample.
Hou/Lux model, unlike the Lubby2 model, takes into
account the additional deformation induced by damage.
The findings, using tracer tests, proved the existence
of damage in large sections of the sample (Fig. 4). The
computation results in Fig. 6, however, only showed a
mechanically significant damage of DX0:1 and DX0:4
in small regions near the surfaces (approximately 5 and
1.25 mm from the axial bore). This conclusion agrees
with the observations that the spalling had a boundary
with a magnitude of only a few millimeters and that the
accelerated creep phase did not occur throughout the
entire duration of the test.
After creep duration of 69 days, the stress distribution
using the Lubby2 model remains in an approximate
733
0.7
0.6
dilatancy/damage [-]
0.5 dilatancy damage
0.4
0.3
0.2
0.1
0
20 25 30 35 40 45 50 55 60 65 70 75
x-coordinate [mm]
Fig. 6. Dilatancy and damage distribution on the central radial section
of an axially perforated rock salt sample.
correlation with the elastic stress distribution (Fig. 7).
Thus, contrary to reality, the stresses near the axial bore
calculated by the Lubby2 model are, for the duration of
69 days, constantly larger than the short-term strength.
It therefore follows that the Lubby2 model, along with
other similar models, is not adequately qualified to
simulate such stress states. On the other hand, the Hou/
Lux model, which takes the damage into consideration,
demonstrates that the stresses near the axial bore are
continually redistributed towards the outside border.
Furthermore, as revealed by Fig. 7, the vertical stress at
the surface of the axial bore decreases to approximately
9 MPa at t ¼ 69 d. Clearly, this value lies well below the
short-term strength, thus representing reality far more
efficiently than other models.
As for the results regarding the temporal extension of
an EDZ, Fig. 8 depicts a remarkable correspondence
between the experimentally measured and the values
calculated using the Hou/Lux model.
The distribution of EDZ in the space domain can
easily be referenced in Figs. 6–8. For instance, the
 ARTICLE IN PRESS
734 Z. Hou / International Journal of Rock Mechanics & Mining Sciences 40 (2003) 725–738

35 4. EDZ of a 37 year old drift at the Sondershausen mine

through the permeability calculated with the Hou/Lux
30
model and measured during a field experiment
25
In the former Sondershausen potash mine, a research
stress [MPa]

20 project [22] was undertaken to determine the perme-

15
ability in rock salt around a drift, denomination EU 1,
characterized by a circular cross-section. In the follow-
10 ing argumentation, the permeability measurements,
derived from this project, are built upon to validate
5
the Hou/Lux model used in prediction of the EDZ.
0 Around 37 years ago, the excavation of the EU 1 drift
20 25 30 35 40 45 50 55 60 65 70 75 took place with the use of a heading machine to a depth
distance [mm] of approximately 700 m in the lower part of the Stassfurt
rock salt. Since the former mining fields lay at a
radial stress (Hou/Lux) radial stress (Lubby2)
minimum distance of 800 m from this drift, no mining
vertical stress (Hou/Lux) vertical stress (Lubby2)
influences can be assumed. Thus, in view of these
tangential stress (Hou/Lux) tangential stress (Lubby2)
circumstances, the peripheral conditions support the
von Mises stress (Hou/Lux) von Mises stress (Lubby2) statement using a plane strain model.
Fig. 7. Comparison between the stress distributions on the central Hence, due to the depth of the measurements, the
radial section. primary rock stresses are assumed to be isotropic.
Therefore, its estimated value amounts to pG ¼ 17 MPa.
After the excavation of the drift, a creep calculation was
35
carried out using the Hou/Lux model to determine the
extent of the DRZ [mm]

30
EDZ, dilatancy, strain softening, damage and stress
25
20
rearrangements caused by the damage spanning 37
15
years. For the sake of comparison, the permeability
calculated with the Hou/Lux material model
10 measeured
model according to Hou was used to determine the
5 permeability [23].
0 Fig. 9 illustrates how well the measured and
0 10 20 30 40 50 60 70 80 calculated minimum principal stresses correspond to
time [d] one another after about 37 years.
Fig. 8. Comparison of the measured and calculated temporal extent of On another central theme, Fig. 10 compares the
the EDZ. correlation of the measured permeability and the
calculated permeability of the rock salts. As a result of
the EDZ at the contour, the permeability near the drift
spalling zone characterized by DX0:4 has a width of boundary assumes a maximum value, which by itself is a
only 1.25 mm from the axial bore (Fig. 6). Furthermore, much larger value than the primary permeability of
the zone with significantly decreased strength, due to min K ¼ 1  1024 m2. Consequently, these values de-
stress relaxation (Fig. 7), corresponds to a damage of crease as the distance from the drift boundary into the
DX0:1 and a width of 5 mm (Fig. 6). This highly
damaged zone (DX0:1) is smaller than the total EDZ
18
(characterized by DX104 ), which maintains a width of
16
minimal principal stress [MPa]

about 32 mm (Fig. 8).

14
In summary of the validation analyses, evidence
supports the conclusion that the Hou/Lux model is 12
calculated (Hou/Lux)
capable of representing qualitatively and quantitatively 10
measured (IfG)
the essential phenomena observed in model tests on 8
axially perforated rock salt samples. Furthermore, the 6
Hou/Lux model is not only capable of sufficiently 4
quantifying the spatial, but also the temporal develop- 2
ment of the EDZ. Consequently, this implication
0
becomes a basis for mechanical analyses in the field of, 0 2 4 6 8 10 12 14 16 18 20 22
for example, pillar dimensioning [18], permanent repo- distance to the drift boundary [m]
sitories [19], sealing constructions [20] and salt cavern Fig. 9. Comparison of the measured and calculated minimal stresses
constructions [21]. close to drift EU 1.
 ARTICLE IN PRESS
Z. Hou / International Journal of Rock Mechanics & Mining Sciences 40 (2003) 725–738 735

1.0E-13
1.0E-14
measured (Häfner)
1.0E-15
calculated (Hou )
1.0E-16
permeability [m²]

1.0E-17
1.0E-18

1.0E-19
1.0E-20
1.0E-21
1.0E-22
1.0E-23
1.0E-24
0.0 0.1 0.2 0.3 0.4 0.5 0.6 0.7 0.8
distance to the drift boundary [m]

Fig. 10. Comparison of measured and calculated permeability in the

EDZ of drift EU 1.

rock increases. Looking at a specific example, the

measured range of permeability in the EDZ result in a Fig. 11. Calculation model of the prototype cavity at the Asse mine.
magnitude of radial extension ra ranging from 0.25 to
approximately 0.75 m, depending upon the exact posi-
tioning of the measuring points. The radial extension of 30
the EDZ of ra E0:57 m, calculated with the Hou/Lux
model and the permeability model following Hou [23], is
well within these boundaries. 25
Hou/Lux, t=0,5d
Furthermore, the speed at which the EDZ extends is
time-dependent and steadily decreasing. Thus, after Hou/Lux, t=22a
von Mises stress [MPa]

about 37 years, the EDZ will either barely change or 20

Lubby2, t=0,5d
not alter at all.
In this manner, the correlations between the measured Lubby2, t=22a
15
and the calculated minimal stresses and permeability
confirm the general suitability of the Hou/Lux model
and of the permeability model following Hou for such 10
analyses.

3
5. EDZ of the 10,000 m prototype cavity at the Asse
mine
3 distance to the cavern axis [m]
In the following section, the EDZ of the 10,000 m
prototype cavity at the Asse mine is examined. During
the period of 1976/1977, the excavation of the cavity
took place in order to field test and demonstrate a
disposal method for solidified intermediate radioactive
waste. Situated with a ceiling depth of 959 m, the
dimensions of the cavity have a total height of 37 m and
a maximum diameter of 24 m [8]. In addition, with a
main axis ration of 1.34:1, the cavity has a shape of a
prelate ellipsoid. Fig. 11 demonstrates the calculation
model.
The internal pressure of the prototype cavity is
pi ¼ 0 MPa. Continuing along with a development of
this momentarily idealized excavation, the calculations
carry on with both the Lubby2 and the Hou/Lux models
until t ¼ 22 a (=1999, a=year).
0
0 20 40 60 80 100
Fig. 12. Comparison of the von Mises stresses in a horizontal section
at a reference depth of z ¼ 980 m at the time t ¼ 0:5 d and 22 a.
Fig. 12 demonstrates the tendencies of the von Mises
stresses according to the Lubby2 model and to the Hou/
Lux model in the horizontal section at a reference depth
of z ¼ 980 m at the time t ¼ 0:5 d and 22 a. Through
examination of the graph, it is evident that, over time,
the area of the EDZ increases and the strain softening
intensifies. However, the comparison shows slight
discrepancies between the correlations of the two
constitutive models. For instance, with the Hou/Lux
model, the extreme stress is not located on the cavity
contour; rather it lies deeper inside the rock formation.
In addition, at the cavity contour, the stress on the rock
 ARTICLE IN PRESS
736 Z. Hou / International Journal of Rock Mechanics & Mining Sciences 40 (2003) 725–738

0.35 1.0E-08 25

damage, t=0.5d
0.30 damage, t=22a 1.0E-10 20

von Mises stress [MPa]

permeability, t=0.5d
0.25 1.0E-12 15
permeability, t=22a
damage parameter [-]

permeability [m 2 ]
0.20 1.0E-14 10

0.15 1.0E-16 5

0.10 1.0E-18
0
50 55 60 65 70 75 80 85 90 95 100 105 110 115
0.05 1.0E-20 x-coordinate [m]

Lubby2 (roof depth: 700 m) Lubby2 (roof depth: 1100 m)

Hou/Lux (roof depth: 700 m) Hou/Lux (roof depth: 1100 m)
0.00 1.0E-22
10 12 14 16 18 20 Lubby2 (roof depth: 900 m) Hou/Lux (roof depth: 1100 m; t=50d)
Hou/Lux (roof depth: 900 m)
distance to the cavern axis [m]
Fig. 14. Comparison of the von Mises stresses in a horizontal section
Fig. 13. Damage and permeability in a horizontal.
at reference depth at the time t ¼ 500 d for the different roof depths
and at the time t ¼ 50 d for the roof depth of 1100 m.
formation has dropped due to stress rearrangements—a
result of the strain softening in the EDZ. This softening 7
leads consequently to a reduction in material rigidity
6 Lubby2 Hou/Lux
and a simultaneous increase in the ability to creep.
In Fig. 13, damage and permeability are shown in 5
convergence [%]

correlation with the von Mises stress. Over the observed

4
time span, the EDZ is limited in a contour range of 1.5–
3.0 m. As the distance from the cavity decreases, the 3

intensity of the damage and the permeability in the EDZ 2

increase relative to time.
1

0
3 0 50 100 150 200 250 300 350 400 450 500
6. EDZ of a 1,000,000 m salt cavity time [d]

Fig. 15. Comparison of convergence according to the Hou/Lux and

In the following, the load bearing behavior of a Lubby2 models.
1,000,000 m3 salt cavity with a height of h ¼ 200 m, a
radius of r ¼ 50 m and an internal pressure of
pi ¼ 0 MPa is examined. The cavity is located inside a 10,000 m3 prototype cavity at the Asse mine, the EDZ of
salt deposit with varying roof depths of z ¼ 700; 900 and the above mentioned cavity is larger because of its
1100 m and reference depths zr ¼ 820; 1020 and 1220 m. greater volume (1,000,000 m3).
This analysis mainly focuses on the EDZ. These facts come as no surprise. On one hand, with an
For instance, Fig. 14 shows the von Mises stresses in internal pressure of pi ¼ 0 MPa, the stress inside the
relation to the differing roof depths in the horizontal rock intensifies as the depth increases. On the other
section at reference depth through use of both the hand, with an identical depth (in this case z ¼ 1100 m),
Lubby2 and the Hou/Lux models. The comparison the EDZ expands spatial and increases in intensity
shows the same results for the 10,000 m3 prototype (recognizable due to the decreasing of the von Mises
cavity at the Asse mine: with the Hou/Lux model, the stress close to the contour). However, the decreasing of
extreme stress is not at the cavity contour rather deeper stresses in the EDZ leads then to an increasing load in
inside the rock formation. adjacent rock areas for which the load must be further
It is evident from this graph that not only does the compensated.
strain softening intensify, the area of the EDZ also Fig. 15 compares the determined volume conver-
increases, in reference to the roof depth and to the time gences in respect to both constitutive models. The
interval. For the cavity with z ¼ 1100 m, the width of the difference can be attributed to the dilatancy and to the
EDZ increases from ra E10 m at the time t ¼ 50 d to additional creep deformations induced by damages.
ra E17 m at the time t ¼ 500 d. In comparison with the Since the damages are limited to the contour area, the
 ARTICLE IN PRESS
Z. Hou / International Journal of Rock Mechanics & Mining Sciences 40 (2003) 725–738
absolute difference in the convergence for both con-
stitutive models is approximately an additional 1.1%. In
relation to the Lubby2 model, the increase in conver-
gence caused by damage or strain softening is approxi-
mately 20%.
7. Discussion and summary
The mathematical description of the Hou/Lux model
and the calculated EDZ of axially perforated rock salt
samples, studies of a 37 year old drift at the
Sondershausen mine, of the 10,000 m3 prototype cavity
at the Asse mine and of a large salt cavity allow the
following conclusions:
* A non-linear strength function bðs3 ; yÞ dependent on
the minimum principal stress s3 and the stress
geometry y has been developed to describe the
short-term strength.
* The introduction of the short-term strength b and the
long-term strength bL ; and the identification of the
damage boundary bD with the long-term strength bL
establish a relation between the short-term and the
long-term behavior of rock salt.
* The Hou/Lux model takes into account influences of
minimum principal stress, von Mises stress, the
damage parameter, the coefficient of utilization and
the stress geometry. Therefore, results concerning the
ratio between time-to-rupture, the coefficient of
utilization and minimum principal stress can be
obtained. These results are qualitatively plausible
and tend to agree with previous experience. In
comparison, most constitutive models for rock salt
only consider the influence of von Mises stress and
cannot treat the creep-induced damage. Similarly,
these models lack the capacity to analyze the
dilatancy, the damage-induced deformation, the
tertiary creep and the creep rupture.
* The Hou/Lux model can describe the behavior of the
tertiary creep and can thus also predictably calculate
the creep rupture—a main target of this constitutive
model. The three characteristic phases of the creep
behavior can then be quantitatively grasped.
* Use of the Hou/Lux model has made it possible
qualitatively and quantitatively to simulate phenom-
ena such as EDZ, strain softening, dilatancy, damage,
radial deformations into the axial bore and spalling,
observed during model tests on axially perforated
rock salt samples.
* A fairly satisfactory conformity between the mea-
sured and the calculated minimum stresses, as well as
the permeability profiles of a 37-year-old drift,
confirms the fundamental suitability of the Hou/
Lux model for the analyses of the EDZ. For instance,
the width of the EDZ is only 0.57 m.
737
* The calculated load-bearing behavior of the
10,000 m3 prototype cavity at the Asse mine was
examined in order to compare the results of the Hou/
Lux model with those of the Lubby2 model. The
comparison shows the advantages of the Hou/Lux
model including the estimations of stress rearrange-
ments from the contour into the rock mass formation
as well as the identification of dilatancy, damage,
strain softening and EDZ. The EDZ in a contour
increases during the observed time DtE22 a. from
DrE1:5 to DrE3:0 m.
* The EDZ of a 1,000,000 m3 salt cavity was also
examined. It showed that the intensity of the strain
softening as well as the area of the EDZ increase in
correlation to the roof depth and to time. For the
cavity with z ¼ 1100 m, the width of the EDZ
increases from DrE10 m at the time t ¼ 50 d to
ra E17 m at the time t ¼ 500 d.
* The EDZ and its time-dependent development,
dilatancy and the additional creep deformations
induced by the damage, can be calculated by means
of the Hou/Lux model. Further consequences of the
damage to the structure such as increased porosity
and permeability, can generally be represented in
dependence on the dilatancy, e.g. with the perme-
ability model following Hou.
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