SWELLING ROCKS INVESTIGATION FOR TUNNEL PROJECTS

STATE OF THE ART IN CHARACTERIZATION, LABORATORY

TESTS AND CONSTITUTIVE MODELS
Giorgio Piaggio M.
Comité de Túneles y Espacios Subterráneos de Chile, Santiago, Chile

Abstract
Swelling of rocks is a common phenomenon in the Andean Region, due to the presence of volcano-sedimentary
formations containing clays as part of the rock matrix. Hence, a comprehensive rock mass characterization has
to be executed in order to evaluate the geotechnical risk of an underground work located on this kind of geo-
logical environment. For hydro tunnels in South America, a set of swelling pressure tests of different type (on
intact rock, grinded, cyclic and triaxial tests) have been executed for a swelling potential evaluation. The results
show that obtained values are highly dependent on the initial conditions and test procedures, suggesting that the
swelling pressure has to be considered as an index instead of a definitive value of pressure (especially when
using grinded rock). A result comparison and discussion is included and recommendations for engineering
design are provided based on constitutive equations.

1. Introduction analysis has been performed to estimate the risk of

- tunnelling through this type of rocks.
dependent volume increase of the rock mass, leading
1993, Einstein 1996). Since this behavior can be
produced by different means (mainly clay bearing
rocks, joint gouge material containing swelling clay
minerals and anhydrite transforming to gypsum), the
typical rock mass classification indices, like RMR
and Q-System, are not sufficient to provide a clear
understanding of the potential risk to which an
underground work could be exposed (Palmström and
Broch, 2006). Additionally, swelling is a
phenomenon that can develop over several months or
years after construction, compromising the
serviceability of the works during its operational life.
In parallel with swelling behavior, degradable rocks
can also be found in rock masses prone to swelling.
The behavior in this case is represented by a
progressive reduction of the strength properties of the
rock mass and a disintegration of the rock matrix. If
the in-situ stress regime is adverse, the reduction of
the geotechnical properties may lead to rock mass
failure like slabbing, spalling and other types of brittle
failures (Steiner et al. 2011).
The present paper describes the experience from
hydropower projects in the Andean region,
specifically in Chile, where a comprehensive rock
mass characterization by laboratory tests and data
1.1 Swelling clays mineralogy
Clay minerals are very tiny crystalline substances
evolved primarily from chemical weathering of
certain rock-forming minerals. Chemically speaking,
they are hydrous aluminosilicates plus other metallic
ions. All clay minerals are very small, colloidal-sized
be identified with an electron microscope. The
individual crystals look like tiny plates or flakes, and
from X-ray diffraction studies researchers have
determined that these flakes consist on many crystal
sheets which have a repeating atomic structure. In
fact, there are two fundamental crystal sheets only,
the tetrahedral/silica, and the octahedral/alumina
sheets. The way in which these sheets are stacked,
together with different bonding and different metallic
ions in the crystal lattice, constitute the different clay
minerals.
Montmorillonite from the smectite group is the most
important swelling-related clay mineral. It is
composed of two silica sheets and one alumina
(gibbsite) sheet, thus montmorillonite is called a 2:1
mineral. The octahedral sheet is between the two
silica sheets with the tips of the tetrahedrons
combining with the hydroxyls of the ictahedral sheet
to form a single layer.

65
1.2 Swelling mechanism
The standard definition given by the International
Society for Rock Mechanics for swelling rocks
indicates that the swelling mechanism is a
combination of physico-chemical reaction involving
water and stress relief. The physico-chemical reaction
with water is usually the major contribution, but it can
only take place simultaneously with, or following,
stress relief (ISRM, 1983). Further analysis showed
that the stress relief is a secondary variable in the
whole swelling process, which can be driven by
mechanical and/or physico-chemical mechanisms.

2. Laboratory Tests Figure 1. Placement of the 40 sub-samples for EG Test.

Swelling behavior characterization is an activity that
includes site inspection with detailed geological
mapping, sampling of rock material, laboratory
testing and interpretation. Several tests have been
extensively used for swelling pressure estimation,
such as mineralogical analysis, Ethylene Glycol,
Atterberg limits and swelling pressure tests on intact
and powdered samples. All these tests have
advantages and limitations, which will be briefly
discussed below.
2.1 Ethylene glycol
The Ethylene Glycol (EG) test qualitatively estimates
rock degradation and swelling potential by immersion
of rock samples into an Ethylene Glycol solution of
99 100 %. The accelerated disintegration that can
be evidenced using this methodology makes EG
solution a faster and better predictor than water for
swelling/degradation potential. This test was first
presented at the 33th Oslo International Geological
Congress (Paige-Green, 2008), but there is no
standardized test procedure yet.
The methodology requires visual examination of the
degradation level (EG grade) at day 0, 1, 5, 10, 15, 20
and 30 taking a picture report for each examination.
The EG grade ranges from 0 (no degradation) up to 3
(full degradation). The average EG range is estimated
by the examination of the 40 samples at 30 days.
2.2 Atterberg limits
This test is intended to describe soil plasticity in four
states: solid, semi-solid, plastic and liquid. In each
state the consistency and behavior of a soil is different
and thus so are its mechanical properties. Several
authors recognized the importance of Atterberg limits
as a tool for swelling behavior identification, since
they give the level of plasticity in a sample and in an
indirectly way the possible type of clay mineral, using
the Casagrande Chart as can be seen in Figure 2.

For each test, 1-2 kg of intact rock is selected. By

using a primary crushing the sample is divided into
40 equally sized sub-samples of approximately 3x2
cm with no presence of fractures. Sub-samples are
placed in metallic oven trays and dried for 24 hrs.
Once each sub-sample for each sample is weighed,
they are placed into plastic boxes properly identified
(containing information about the sample location
and the start date of the test, arranged in a matrix of 5
rows and 8 columns with their corresponding
correlative number, as shown in Figure 1). Ethylene Figure 2. Clay minerals identification using Casagrande
Glycol is carefully poured into the plastic box until all Chart.
sub-samples are covered at least 1 cm. Immediately a
first photo is taken to register the initial condition. 2.3 Swelling pressure tests
2.3.1 Disc test on intact rock
This test intends to measure the time dependent axial
swelling stress of a radially confined intact disc of a
rock specimen when immersed in water. As an axial
strain is produced, a load is placed upon the sample
to get zero strain again. The same procedure
continues until no more strain is recorded. The total
added load corresponds to the maximum intact swell
potential of the disc.
2.3.2 Swell test on powdered rock
The use of grinded rock instead of intact corresponds
to a variation of the previous test. In this case, fine
grained material passing the #100 ASTM sieve is
placed in the oedometer, compacted up to a certain
stress for a specific space of time. Then the same pro-
cedure explained for intact rock is applied. Experi-
ence with this test indicates that the resulting swelling
pressure is higher with respect to intact rock (Mao et
al., 2011), as will be seen in the following chapters.
2.3.3 Huder & Amberg test
This test differs from the disc swell test since the sam-
ple (intact rock) is initially consolidated in a non-
dried state up to the estimated in situ stress regime.
Immediately after the in-situ stress regime is reached,
the sample is wetted and swelling is allowed in the
oedometer. Step by step the applied pressure to the
sample is reduced and a new steady state is reached,
up to a zero-strain situation. With the obtained strain-
stress curve a relationship can be defined for a given
rock material, which is the main advantage of this
test. Equation 1 shows this relation that is called the
Grob curve (Grob, 1972).
K q log Z
(1)
0 and creep deformation of the sample measured at a
where = swelling strain (%), Kq = swelling
parameter for a given rock material (-), 0 = stress for
null swelling strain (MPa) and z = stress at a given
strain (MPa).
2.3.4 Cyclic test
To simulate the effect of dewatering and watering up
of a tunnel in laboratory conditions, a cyclic test of
swell prone rock can be performed. The theory behind
this test is that a rock prone to swell could develop
additional swelling pressures under cyclical process
of wetting and drying and that the single value ob-
tained by the intact rock test is not the representative
value. For a hydropower project for instance, this pro-
cess of wetting and drying represents tunnel inspec-
tions, shutdowns for works in the powerhouse or wa-
ter conveyance system or any activity that results in a
dewatering of a tunnel.
2.3.5 Triaxial test
67
As was seen, the Huder & Amber test is an uniaxial
estimation of the stress path in the tunnel invert under
odeometric conditions. Barla (1999) demonstrated
that the determination of the full stress path, espe-
cially near to the excavation face, is properly de-
scribed only by simulating three-dimensional condi-
tions which is only possible in a triaxial cell.
The test consists in four main phases: a) Saturation
phase: With a stepwise control the sample is saturated
in the cell up to the natural condition or full satura-
tion. b) Consolidation phase: Each specimen is con-
solidated up to the initial in situ state of stress, which
can be isotropic or other. At the beginning of the con-
solidation phase an isotropic effective state of stress
is applied in the specimen. Then, the in-situ state of
stress is obtained, which has to be maintained con-
stant for the time required. c) Stress path-shearing
ity of the tunnel during face advancement, each test is
carried out in undrained conditions following the
stress path of the excavation face obtained by numer-
ical analysis (3D prefer). In other words, the stress
state is modified step-by-step following the values of
the mean and deviatoric stresses under an excavation
process. d) Swelling phase: At the end of the shearing
phase and before failure, the stress state is maintained
constant stress level. With this condition holding true,
a drainage valve is opened and the deformations pro-
duced in the sample by swelling of the rock are meas-
ured until final stabilization. The excess pore pressure
is measured as the volumetric strain is developed, ob-
taining the following relation (Barla, 2008):
u
vol a b arctan d (2)
c
where vol = volumetric strain (%), u = excess pore
pressure at the end of the shearing phase, and a, b, c
and d = rock constants defined by data curve fitting.
Equation (2) can be applied in numerical models for
stress-strain analysis: after model stabilization under
typical rock mass excavation is obtained in the fi-
nite/discrete elements, the pore pressure is evaluated
and a new volumetric strain (now corresponding to
swelling) is applied for a new equilibrium state. The
new stresses developed in the rock mass will corre-
spond to the swelling loads which should be consid-
ered for rock support design.

3. Damages due to swelling rocks: an andean
experience with hydro tunnels
Swelling is particularly important for hydropower
projects, where free-flow and/or pressure water
tunnels are used for energy generation. When these
tunnels are designed as unlined or sprayed concrete
lined tunnels, the risk for damage due to swelling rock
can be larger than for lined tunnels (cast in situ or
precast reinforced concrete) due to generally less
strength capacity and higher permeability of the
support.
Experience of hydropower projects in the Andean
region of Chile are presented as examples of how the
existence of swelling minerals can be managed
through specific rock mass characterization that
includes laboratory testing and data analysis. For
these projects, several damages occurred during the
first years of operation, causing unplanned stops and
reduced power generation due to repair works and
rehabilitation. Typical damages in the rock support
were slabbing, cracking and detachment of shotcrete
and degradation of the rock mass with very
pronounced convergences, as can be seen in Figure 3.
Figure. 3 Damage in a Sprayed Concrete Lined Tunnel due to
Swelling and Rock Mass Degradation.
3.1 Project description
These projects are run-off-river schemes,
compromising regulation ponds, tunnels, pressure
and surge shafts, penstocks and surface/underground
powerhouses. Tunnels were designed as unlined
(fiber sprayed concrete only), rockbolts, wire mesh
and lattice girders in the most demanding conditions.
Total combined length of tunnels is > 50 km.
3.2 Regional and local geology
In the Andean region of Chile, swelling rocks are
common. Several history cases from mining, energy
and infrastructure sectors have recorded invert
heaving, degradation of the rock mass and
convergence of tunnel walls due to swelling.
Typically, and unlike other parts of the world, in the
Andes region swelling minerals can be found in the
rock matrix and not only in joint fillings as gouge
material, which greatly increases the potential
damage to produce. Under this scenario, a rock mass
with a classification of fair to good rock with a few
joints under the action of water and air moisture can
be largely affected with a drastic reduction of rock
mass strength in a short time. The two main
geological formations where the projects are located
are presented below.
3.2.1 Coya-Machalí formation
The Coya-Machalí formation is the oldest
outcropping feature in the central region of Chile
(Late Cretaceous). It can be related also to the
Abanico Formation that is located close to Santiago.
Lithologically speaking includes andesites, basalts,
lavas, tuffs and breccias thereof. The rocks are altered
by hydrothermal activity and/or weathering,
manifested in the presence of chlorite, epidote,
calcite, albite and white mica. In general, this
formation has stratification with variable layer
thickness, reaching a maximum of 2,000 meters.
3.2.2 Farellones formation
This unit is similar to Coya-Machalí as it also
includes andesites, tuffs and breccias. The main
differences are related to a lower weathering (more
massive rock masses), less tectonic deformation and
folding (it layers are almost horizontal) and more
glacier and fluvial erosion. It was deposited in the
Early Cenozoic, which would explain the differences
with Coya-Machalí. It has in average a thickness of
2,400 m with layer thickness varying between 1 and
10 meters.
3.3 Typical damages in tunnels
Most of the damages have occurred in areas with rock
support including sprayed concrete and rock bolts
only. No relevant damages were experienced in rock
support including lattice girders.
The typical damages were rock mass degradation,
invert heave, localized wall displacement,
longitudinal cracks, localized shotcrete cracking,
shotcrete detachments and wall spalling. For the
specific case of one hydropower project, a tunnel
section collapsed in August 2011 leaving a 20 m long
section fully clogged of debris up to tunnel crown, as
can be seen in Figure 4.

Figure 5. Intact Rock Specimen ready for Swelling Pressure

Test.

4.2 Test results

4.2.1 Mineralogical analysis
X-ray diffraction analysis was performed on both RT
and ART types. Results can be seen in Figure 6,
Figure 4. Collapsed section of a headrace tunnel where mineralogical content (clay, quartz and
calcium carbonate) was plotted using a diagram for
4. Sampling and testing campaigns for swelling swelling potential.
rocks characterization
Sampling and testing for swelling potential
characterization for these hydropower proyects
started in early 2007 and continue up to date. As
swelling potential was confirmed during design and
construction phases, sampling and testing was
required to understand the rock behavior and to define
de final design. Testing included mineralogical
analysis, Atterberg Limits and swelling pressure tests
(disc, powdered, cyclic, Huder & Amberg and
triaxial).

4.1 Samples description

Samples corresponded to red tuffs and breccias and
were classified according to the level of weathering,

and alteration was clearly visible. Samples were

obtained from diamond triple tube boreholes and
Figure 6. Mineralogical content and swelling potential
HILTI drilling machines inside the tunnels. Figure 5
shows a typical sample ready for testing.
Figure 6 shows that, in general, the samples have me-
dium swelling potential, with two samples suggesting
high swelling potential.

4.2.2 Atterberg limits

Plasticity indices were obtained for several samples
for classification of their potential clay content and
type. Results are shown in Figure 7 using the Casa-
grande chart.

69

Figure 7. Casagrande chart for projects samples.
As can be seen in Figure 7, there are two main groups
clearly identified: one corresponds to samples having
low Liquid Limit (LL < 50, around 98% of all speci-
men), and the remaining of high Liquid Limit of the
smectite group (2% of all specimen). Thus, high
swelling potential can be estimate for few samples
only and in general, medium to low swelling potential
can be assumed.
These tests, mineralogical and Atterberg Limits,
show the advantages of using simple and fast methods
for an early and qualitative estimation of swelling po-
tential (Piaggio, 2015).
4.2.3 Disc test on intact rock
Null swell test on intact rock was performed mainly
in RT rock type. Swelling pressure values were typi-
cally below 200 kPa (medium to low swelling poten-
tial), however one sample reached 657 kPa (high
swelling potential). The mineral content of this last
sample indicated 20% of swelling clays.
4.2.4 Huder & Amber test
This test was performed including RT and ART rock
types. Results are shown in Figure 8.
Figure 8. Huder & Amberg test results.
From Figure 8, the maximum laboratory swelling
pressure is > 3,500 kPa, which is a very high value.
Volumetric swelling strain reaches 1.4 % in one sam-
ple, and the Grob parameter Kq (which can be related
to the swelling potential) is between 0.05 and 0.72,
with typical values between 0.1 and 0.2. Huder &
Amberg tests indicated that samples are similar in
swelling potential; additionally, few samples showed
very high swelling potential. This is consistent with
the previous analysis performed by mineralogical and
Atterberg Limits.
One important issue to highlight is the very high val-
ues for swelling pressures obtained in this test com-
pared with the disc test. It seems that test methodol-
ogy and initial conditions have a big impact on the
results. For instance, the pre-load applied to the sam-
ple differs between both tests (for Huder &Amberg
the pre-loading is equivalent to the in-situ stress, for
the disc test the pre-loading is around 5 kPa).
4.2.5 Cyclic test
Samples were tested under a cyclic condition which,
as was discussed, is a methodology that simulates
events of watering and dewatering in a hydro tunnel.
Samples from the RT and ART types were again se-
lected for testing. Results are shown in Figure 9.
Figure 9. Swelling pressure under cyclic loading
As can be seen, three samples experienced an increase
of the maximum swelling pressure after cyclic steps
of wetting and drying (CYC1, CYC3 and CYC4),
suggesting that the swelling potential of the rock is
not over after a first process of chemical and mechan-
ical interaction with water. By the other hand, CYC2
showed a reduction of the maximum swelling pres-
sure after three cycles. This is a key feature that
should be considered when planning hydro tunnels
under the presence of rocks prone to swell. These re-
sults are in line with the investigations by Vergara and
Triantafyllidis (2015) at Karlsruhe Institute of Tech-
nology, Germany.
4.2.6 Swelling pressure test using powdered rock
Swelling pressure tests using ground powdered rock
are of common use when swelling potential
estimation is required for gauge material and clay
infillings in faults and sheared zones. The most
important initial condition in this test is the pre-
loading, since it is a powder material. To investigate
the effect of this load in the result of the swelling
pressure two initial values for the pre-loading were
considered, 2 MPa and 32 MPa. Results are shown in
Figure 10. As can be seen in the figure, there is a
significant variation in the maximum swelling
pressure after applying different pre-loading (with a
ratio up to 5 times between results). This suggests that
the swelling pressure that uses powder rock should be
considered as an index test and not as a definitive
value. Research suggests that in-situ swelling
pressure is often lower than the value obtained using
ground powder rock, and in some cases, only 50%
(Mao et al., 2011).
Figure 10. Swelling Pressure using Ground Powder Rock, 2 and
32 MPa Pre-Loading.
4.2.7 Triaxial tests
Samples were tested using the triaxial cell and the
methodology previously presented. In this case, only
RT samples were tested, due to their favorable
condition for sample preparation and testing. All
samples were consolidated at k0 = 1.5 and then
sheared following a stress path typical for a rock
element at the springline of a circular tunnel. The
maximum volumetric strain obtained reached a value
of 4.58 %. The results from triaxial swelling tests
were used to quantify the swelling potential of the
reddish tuff (RT type). This was done using a new
relationship based on Equation (2):
(3)
where vol = volumetric strain, = volumetric stress
at the end of the consolidation phase, and a, b, c and
d are defined by data curve fitting.
Table 1 shows the rock constants of Equation (3) ob-
tained from the tests. Values differ on the basis of
how the volume change is computed during testing:
using local strain measurement by means of Linear
Variable Differential Transformer (LVDT) or using
the volume change measure by pressure controllers
(Volumometer).
71
Table 1. Rock Constants for Equation (3) from Triaxial Tests
on RT Samples.
Data Source a b c d
LVDT -0.51 1.15 22.07 0.47
Volumometer -0.93 2.11 22.07 0.47
As shown in Figure 11 below, Equation (3) can now
describe the experimental data, allowing quantifying
the swelling strain as a function of the excess pore
pressure.
Figure 11. Curve fitting using equation (3) from triaxial tests on
RT samples.
5. Use of numerical models for swelling behavior
prediction
In order to check the swelling behavior of the rock
mass, convergence readings were obtained
specifically in a tunnel section where medium to high
swelling potential was identified. This information,
together with a detailed rock mass characterization
based on the testing program described in this paper
and additional geomechanical tests, allowed the
application of numerical models for predicting tunnel
deformations due to swelling rocks. The analysis used
the finite difference method (FLAC code) in
conjunction with Equation (3) and the results from
triaxial tests. The excavation sequence was
reproduced in detail, obtaining rock mass
displacements for each modelling phase. Then, the
results were compared with the in-situ convergence
measurements. Initial boundary conditions were
represented by the horizontal and vertical in-situ
stresses, plus an initial pore pressure, u0. The model
was completely saturated with no water flow in order
to simulate excavation in undrained condition and
excess pore pressure development. After calculating
the plastic zone due to the excavation process,
Equation (3) was applied in order to compute
volumetric strains which in turn are transformed to
stress increments that are gradually applied to the
rock mass in the model to reach equilibrium,
obtaining swelling deformation. Results are shown in
Figure 12.
Figure 12. Comparison between numerical modelling and in-
situ convergence readings in two tunnel sections.
From the previous figure it can be seen that the nu-
merical model predicts a larger deformation com-
pared to in-situ readings for the case of 2 years of con-
vergence. By the other hand, for the case of 10 years
of convergence (obtained by extrapolation of in-situ
data) the prediction is quite similar and a reliable
long-term estimation of swelling behavior can be ob-
tained.
Even though the methodology proved to be very help-
ful to understand the swelling behavior of the rock
mass, some recommendations have to be made when
analyzing swelling behavior: Equation (3) was de-
rived with the intention to predict a conservative
swelling deformation, thus the obtained values have
to be used carefully. Also, the actual problem is three-
dimensional in its nature, but the analysis is two-di-
mensional, so effects due to confinement and stress
distribution can be loss during the modelling process,
particularly in the representation of the excavation se-
quence.
6. Conclusions and recommendations
Based on the information provided in the previous
chapters, some conclusions and recommendations are
given below:
Swelling in rocks is a complex phenomenon that in-
cludes geomechanical and chemical interaction.
Thus, for rock mass characterization, a comprehen-
sive sampling and testing program has to be done in
order to estimate the swelling potential.
Cyclic swelling tests seems to be an appropriate test
for maximum swelling stress determination, due to
the possibility to represent cycles of wetting and dry-
ing.
The swelling pressure test with powdered rock has to
be interpreted carefully. It was found that initial con-
ditions like compaction load have a great impact in
the result. For applying this test to an in-situ rock
mass the swelling pressure has to be reduced with an
uncertain factor.
Triaxial tests proved to be helpful in providing infor-
mation about the volumetric strains due to swelling,
allowing also the development of an analytical rela-
tionship that can be applied in numerical models.
Good agreement was found between the long-term
prediction and extrapolated in-situ readings. How-
ever, three dimensional effects have to be considered
when analyzing swelling potential.
7. References
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Barla, M. 2008. Numerical simulation of swelling be-
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Einstein, H. H. 1996. Tunnelling in difficult ground -
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rocks. Rock Mechanics and Rock Engineering,
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Grob, H. 1972. Swelling pressure illustrated with the
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ISRM, 1983. Characterization of Swelling Rock.
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