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Weathering and degradation of shales: experimental observations and models of

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Weathering and degradation of shales: experimental observations and
models of degradation
Meteorización y degradación de rocas arcillosas: observaciones
experimentales y modelos de degradación

E.E. Alonso & J.A. Pineda

Department of Geotechnical Engineering and Geosciences
Technical University of Catalonia, Barcelona, Spain

Abstract
Mechanisms leading to degradation of shales are first described from a qualitative perspective. Stress changes and
suction cycles are stressed as important contributors. The effect of these two effects on the degradation of clay
rocks around tunnels are then described, following recent results of a few large scale experiments performed in
underground rock mechanic laboratories. Also, examples of claystone degradation in excavations exposed to
atmospheric action are reviewed. A number of laboratory experiments, which involve, in general, the application of
loading and suction cycles are presented. They highlight the relevance of extreme suction cycles and the importance
of rock mineral constituents. Constitutive models for bonded soils are aoutlined. The most recent developments
describe the clay rock as a composite of an elastoplastic clay matrix and a brittle damage model for the bond
constituents. The paper ends with the description of a model in which the clay matrix model expands and shrinks
under suction cycles. Then, realistic predictions of weathering effect can be made.

Resumen

Se describen inicialmente, de forma cualitativa, los mecanismos que contribuyen a la degradación de rocas
arcillosas. Se destacan dos mecanismos: los cambios de tensión y los ciclos de succión. Su efecto sobre la
degradación de la roca en el contorno de túneles se ha descrito a partir de unos pocos ensayos a gran escala
realizados en laboratorios subterráneos de mecánica de rocas. Se resumen también algunos casos de degradación de
arcillitas expuestas a la acción atmosférica en excavaciones. Se describen algunos ensayos de laboratorio que
someten a la roca a ciclos de carga descarga y de cambios de succión. Los ciclos extremos de succión y la
composición mineralógica son dos aspectos fundamentales para explicar la degradación. Se presentan varios
modelos constitutivos recientes que describen la roca como un material compuesto. La matriz se representa
mediante un modelo elastoplástico y la cementación mediante un modelo de daño. El artículo termina con la
descripción de un modelo constitutivo que permite la expansión y el hinchamiento de la matriz bajo cambios de
succión, lo que permite hacer predicciones realistas de los efectos de la alteración.

ric is described as the arrangement of particles

1. AN OVERVIEW OF WEATHERING
MECHANISMS
It is useful to start the discussion on weathering
considering the concept of geotechnical cycle.
This term includes deposition, geological compac-
tion, diagenetic process, tectonic disturbance,
weathering and erosion. Combination of these
processes determines the soil structure (defined as
the combination of fabric and bonding) and con-
trols the mechanical behaviour of sediments. Fab-
whereas bonding includes those interparticle
forces that do not have a frictional nature (Chan-
dler, 2000).
Using the gravitational compaction model of
Skempton (1964) and the diagenetic bonding as
postulated by Bjerrum (1967), Fleming et al
(1970) described the formation and attributes of
clay shales as follows. When sediments are
deposited and subjected to geological
consolidation the volume of voids will decrease as
pore water is expelled (path a-c in Figure 1).
Under this state the shear strength of normally
consolidated clay is proportional to the existing
overburden load.
Bjerrum (1967) postulated that at point (c) in
Figure 1, the normally consolidated sediment
might be subjected to constant sedimentary
overload for a considerable period of time.
Figure 1.Geological history of overconsolidated
clay (after Fleming et al, 1970; based on
Skempton (1964) and Bjerrum (1967)).
At this point the clay sediment is subjected to
the same effective stress as the normally
consolidated clay (point d) Diagenetic changes
would be operative during this period so that
bonds due to particle adhesion, particle
recrystallization and cementation would develop.
This sediment would therefore become stronger
and more brittle, with a further, although minor,
secondary decrease in volume.
Diagenetic changes (including clay-minerals
species changes) will also be governed by
temperature increase as a function of depth of
burial or heat flow rates.
If, as a consequence of uplift and erosion,
unloading takes place, sediments will become
overconsolidated. Bjerrum (1967) attributed the
swelling of the unloaded shale to release of the
“locked in strain energy” of the diagenetic bonds,
a concept which will be recovered later. The less
indurated clays will more readily release the strain
energy stored during compaction (Brooker, 1967).
Because vertical expansion is less restricted than
horizontal expansion the degree of vertical load
shedding is higher than in the horizontal direction.
The horizontal effective stress would be smaller in
the strongly bonded types because the bonds
would inhibit expansion. All these aspects are
summarized in Figure 1.
The importance of stronger bonds is believed to
lay in their ability for releasing strain energy on a
time-dependent basis, thus leading to deformation
and progressive failure in mudrocks and
overconsolidated clays. In practice total rebound
in these sediments is considered to be a
combination of elastic and time-dependent
rebound (see, e.g Nichols, 1980).
Many definitions of the term “weathering” have
appeared in the abundant literature which covers
this large and somewhat disperse subject (e.g,
Merril, 1978; Reiche, 1950; Keller, 1957;
Loughnan, 1969; Mitchell, 1993; Ollier, 1984;
Taylor & Spears, 1986, Taylor, 1988; Seedsman,
1986; Olivier, 1990; Vallejo & Stewart-Murphy,
2001 and Marques et al, 2005). Although all
recognize the importance of the interaction of the
hydrosphere and atmosphere with rock material,
the time factor is usually considered on a
geological scale.
Weathering mechanisms of soils and rocks
include all processes that produce “degradation”
of the hydro-mechanical properties of
geomaterials. This is a destructive process
whereby debris of various sizes, compositions and
shapes are formed. The resulting new
compositions are usually more stable than the old
ones.
The concept of stored internal energy has also
been used. As erosion reduces the ground surface
level, pressures and temperatures in the rocks are
decreased, and they are left with an internal
energy in excess of the energy in equilibrium with
the new environment. This, in conjunction with
the exposure to the atmosphere, water, and the
various chemical and biological agents, results in
the process of alteration (Mitchell, 1976).
Almost all authors divide the weathering
processes in two main groups: physical and
chemical weathering (Spears et al, 1970; Mitchell,
1976; Taylor & Spears, 1981; Taylor & Smith,
1986; Taylor, 1988; Marques, 1992; Marques et
al, 2005, among others).
According to Mitchell (1976, 1993) and Taylor
& Spears (1986) physical weathering is any
process that produces cracking without
mineralogical changes. Physical weathering
processes include: unloading, thermal expansion
and contraction, wetting and drying cycles,
crystal growth, colloid plucking and organic
activity. Unloading changes effective stresses and
leads to swelling of rocks if active minerals are
present. Temperature changes produce changes in
pore pressures and may develop planes of
weakness. Wetting and drying cycles induce
plastic deformations producing fissuring on the
rock. The induced cracks are an easy way for the
water to enter into the rock. Crystallization of
minerals leads to disintegration of rocks, as well
as frost action. Removal of mineral flakes can be
produced by colloidal films. Plants growing in
preexisting rock fractures help the cracking
processes.
Taylor & Spears (1988) pointed out that
physical disintegration is controlled by three main
factors: (i) expansion of clay minerals due to
adsorption of water (controlled by effective
stresses), (ii) slaking, and, (iii) presence of
bedding planes, faults, joints, and other types of
discontinuities.
Chemical weathering is directly influenced by
the presence of water which induces hydration
which is the forerunner of more complex chemical
reactions. According to Mitchell & Soga (2005)
chemical processes includes: hydrolysis (reaction
of minerals ions with H+ and (OH)- of water),
chelation (complexing and removal of metal ions),
cation exchange, oxidation (loss of electrons by
cations; reduction is the gain of electrons) and
carbonation (combination of carbonate or
bicarbonate ions with earth materials). From an
engineering point of view Marques et al. (2005)
pointed out that the most important chemical
processes are: (i) oxidation of sulphide minerals,
(ii) dissolution of cement (debonding) and (iii)
hydration (clay minerals and anhidryte hydration,
ionic sorption, osmosis, water adsorption which
leads to changes in relative humidity). Examples
of chemical processes can be found in Taylor &
Spears (1970), Taylor & Spears (1981), Taylor
(1988), Fookes et al. (1988), Franklin & Dusseault
(1989), Mitchell (1993), Castellanza (2002), Nova
et al. (2003), Castellanza & Nova (2004).
An example of the influence of physical and
chemical weathering on shear strength was
discussed by Spears & Taylor (1972). They
presented drained triaxial shear strength data of
in-situ Coal Measures mudrocks samples.
Strength was measured for different states: from
undisturbed to completely disturbed samples.
Some samples were slaked in their sheaths prior to
testing. Figure 2 shows the corresponding Mohr
envelopes. Spears & Taylor do not make any
difference between physical and chemical
weathering. Is clear that the Mohr envelope of
undisturbed samples is distinctly curved with a
non-zero cohesion intercept (c’= 131kPa).
Strength parameters for the fully weathered Mohr
envelope drops to c’=0.6kPa and ’=26º. At large
displacements (residual conditions, measured in
reversing shear box tests) strength parameters
drop to c’=3.7kPa and ’=14.5º.
Figure 2.Strenght envelopes for unweathered and
fully weathered Coal Measures mudrocks (Taylor,
1988).
The influence of the natural water content on
the shale behaviour has been studied by some
researchers such as Schmit et al. (1994), Brattli &
Broch (1995), Chenevert & Amanullah (1982) and
Santos et al. (1996). All of them pointed out that
the natural water content has strong influence on
shale disintegration. For instance, Santos et al
(1996) found that when shale is subjected to
drying at atmospheric conditions it disintegrates
more easily than when it is exposed to water. On
the contrary, if the water content is maintained
close to the natural water content, the reactivity
was low.
According to Shakoor & Brock (1987) fissility
and durability is highly influenced by the origin,
type of cement, degree of diagenesis (lithification)
and, to a lesser extent, by the proportion of silt or
clay. Vallejo & Stewart-Murphy (2001) found that
the slaking of shales by pore-air compression is
related to the average pore diameter and the
roughness of the pore boundaries.
Frequently, physical weathering processes are
generally the forerunners of chemical weathering
and their main contributions are to loosen rock
masses, to reduce particle sizes, and to increase
the available surface for chemical attack.
However, in some cases physical and chemical
weathering processes are simultaneous.
In this paper, weathering phenomena which
leads to degradation of the hydro-mechanical
properties will be further discussed. Special
emphasis will be given to the physical weathering
mechanism such as unloading and subsequent
swelling, and changes in relative humidity due to
wetting and drying cycles. Chemical weathering
processes have been discussed recently by several
authors (e.g, Islam et al, 2002; Castellanza et al,
2002; Nova et al, 2003; Atkinson et al, 2003;
Castellanza & Nova, 2004; Alonso & Berdugo,
2005; Bozzano et al, 2006) but they will not be
described here. Recently, elasto-plastic models
which includes chemical weathering have been
developed by Nova & Castellanza (2004) and
Castellanza (2002).
In section 2, practical examples of weathering
effects in field structures are presented.
Weathering processes in tunnels and excavations
are presented showing a strong influence of
environmental conditions. In Section 3
experimental results from laboratory tests on
different types of shales will be presented. Results
of one-dimensional and triaxial compression tests
are presented in which physical weathering
processes led to changes in strength, swelling,
permeability and stiffness.
In section 4 some degradation models for soft
rocks will be introduced. Elasto-plastic models
developed to reproduce the thermo-hydro-
mechanical behaviour of soft rocks are outlined.
Emphasis will be given to some elasto-plastic
models recently developed within the Department
of Geotechnical Engineering and Geosciences of
the Technical University of Catalonia (UPC).
Section 5 describes in more detail an elasto-plastic
model developed UPC in which degradation and
swelling behaviour by physical mechanisms are
included. Experimental and predicted results will
be compared.
Finally, section 6 summarizes the most
important topics discussed in this paper.
2. FIELD CASES ILLUSTRATING WEATH-
ERING EFFECTS IN CLAYEY ROCKS
2.1 Tunnels
In recent years, interest in clayey shales has in-
creased because they are being considered as po-
tential host geological media for underground re-
positories of high level radioactive waste (Gens,
2003). They exhibit favourable characteristics
such as low permeability, a degree of self healing
capacity when fractured, significant retardation
properties for solute transport and no foreseeable
economic value (Gens et al, 2007).
When an underground structure is excavated
mechanical and hydraulic changes take place.
Stress and fluid pressure changes are accompanied
by deformation of the rock mass around the
tunnel. It causes cracking of the surface, reduction
of rock strength and stiffness and an increase of
permeability (degradation of hydro-mechanical
properties). If active clay minerals are present in
the rock, swelling can take place by mineral
hydration.
These phenomena lead to the development of an
Excavation Damage Zone (EDZ) which can
evolve in time depending on “hydric” loadings
generated by the tunnel ventilation system (Rejeb
& Cabrera, 2006). Argillites are very sensitive to
these hydric loadings which control the
desaturation and re-saturation processes of the
rock in contact with air. In the short and medium
term chemical disturbances are negligible in
comparison with hydro-mechanical disturbances
due to excavation and post-excavation stages.
Thus, the development of damages zones strongly
depends on the initial hydro-mechanical properties
prior to the excavation.
2.1.1 Tournemire shale
Tournemire site (Aveyron, France) was chosen
in 1988 by the Institute of Radioprotection and
Nuclear Safety (IRSN) to study the confining
properties of argillaceous media. A 100-year-old
railway tunnel was used to access to a layer of
Toarcian shales and marl. The tunnel is about 2km
long and 250m deep and the shale layer in which
the tunnel was dug out is 250m thick and lies
between two limestones layers. The tunnel was
excavated manually in 1881 and is covered with
limestone masonry (Rejeb, 1999; Cabrera et al,
2001; Rejeb & Cabrera, 2006). Two lateral drifts
(“east” and “west”), 30m-long, were excavated in
1996 from the central part of the tunnel using a
road header machine. In 2003, a new gallery
(“main gallery”), 40-m long, was excavated to
conduct a “mine-by-test” experiment and to
evaluate the hydro-mechanical response of
argillites to excavation (Rejeb, 2005). It was
excavated using a road machine with a dust
removal system. The indurated sedimentary
argillaceous shales of the Tournemire site are
well-compacted rocks with thinly bedded clay
minerals with a typical anisotropic texture.
Mineralogical composition is characterized by a
predominant clay fraction (40-50%) composed of
15-20% of mixed layer illite/smectite, 15-25%
illite, 15-25% of kaolinite and smectite. Calcite is
the predominant carbonate (10-30%) mineral and
dolomite is present in small proportions. Quartz is
present as grains (10-20%).
Under atmospheric conditions the total porosity
varies between 6.5% and 7.1% (Cabrera et al,
2001).
Due to the presence of tectonic faults and post- contraction/expansion cycles and this
excavation flaking, the galleries excavated in 1996 phenomenon leads to the generation of an EDZ.
and 2003 were supported with steel sets spaced 1- The influence of fault zones was also studied by
2m apart and the roof was covered with a steel Rejeb & Cabrera (2006). They showed that the
mesh. In order to study the influence of two types EDZ is denser and less extended at the
of support on the development of EDZ, the first intersection of the east gallery with the tunnel.
10-m section of the “main” gallery were This is due to the fact the in-situ stresses are
concreted. Cross sections of the main tunnel and locally modified by the presence of a tectonic
the other two galleries are shown in Figure 3. fault. For this reason the EDZ is non-symmetrical
During and after excavation stage, tree types of with respect to this fault as can be seen in Figure
cracks were observed: fractures at the wall 5.
induced by decompression, existing tectonic.
fractures and sets of horizontal cracks developed
shortly after the pass of the excavation front
parallel to the bedding planes. Moreover, opening
and closing of cracks was observed as a result of
the saturation and de-saturation processes of the
argillaceous media due to seasonal variations
(temperature and relative humidity) (Valès et al,
2004).

Figure 4.Variation in relative humidity and

associated displacements from 1999 to 2002
(Rejeb & Cabrera, 2006).
Figure 3.Cross-section for tunnel and galleries
excavated in Tournemire shale (Rejeb & Cabrera,
2006).

In the galleries excavated in 1996, sub-vertical

cracks, partly filled with gypsum, parallel to the
tunnel axis were observed in side walls and floor
Rejeb & Cabrera (2006) stated that this fracture
zone (1-3m long) corresponds to the damaged
zone induced by the tunnel excavation (EDZ).
This EDZ was also detected in the “main” gallery.
Theoretically the development of the EDZ in
Tournemire shale was not expected, since the
excavation-induced stresses do not reach the
strength of the material.
Sub-horizontal cracks were also detected along Figure 5.Asymetry of the EDZ near the fault zone
the bedding planes. These cracks were induced by (Rejeb & Cabrera, 2006).
changes in saturation of the argillite. Figure 4
shows the variation displacements with time due Permeability measurements obtained from the
to changes in the relative humidity (RH) in the pneumatic and hydraulic test were reported by
1996 gallery. Relative humidity varies between Matray et al. (2006). Intrinsic permeability values
40% and 100%, depending on the season, and of 10-12 m2 were obtained in damaged zones close
they lead to contraction or expansion strains. It to tunnel walls (1m thick for the old tunnel and
can be seen that the cyclic displacements 0.50m for the 2003 gallery). Far from these zones,
generated during each cycle of RH decreases as permeability varied between 10-16 and 10-17 m2,
the number of cycles increases. This means that respectively. Figure 6 shows the correlation
irrecoverable strains are being developed by the between increase in saturation and decrease in
permeability due to developing of the EDZ
cracking.
Porosity and water content measurements along
9m long boreholes driven from the tunnel wall
were presented by Charpentier et al. (2003). An
important increase in water content and porosity
takes place near the tunnel due to the excavation
process (Fig. 7). Water content increases until a
distance of 1.5m approximately and then
decreases until it reaches an equilibrium value.
Porosity increased 20% between depths of 0.5m-
1.5m and then decreased until they reached the
mean porosity of the rock mass (9.5%). An
increase of approximately 12% in the degree of
saturation was recorded for the same distance.
Then, saturation decreased to 80% at 9m from the
tunnel (see Figure 8).
Figure 6.Variation of permeability and degree of
saturation in the tunnel zone (Rejeb & Cabrera,
2006).
Figure 7.Variation of the porosity and water
content with the distance from the tunnel
(Charpentier et al, 2003)
The development of the EDZ is controlled by
several factors: dimension and geometry of the
structure, initial stress condition, orientation of the
structure with respect to the initial stress field,
excavation method, excavation rate, supports, and
hydro-mechanical behaviour of the material.
Rejeb & Cabrera (2006) initially defined the
failure observed in the old tunnel as a mechanical
failure generated instantaneously during
excavation. However, the new galleries did not
show the same type of failure. The new galleries
have smaller cross-sections and different
orientation with respect to the old tunnel.
However, these reasons are not sufficient to
justify the absence of initial mechanical failure
around them. Afterwards, they included the time
factor to explain the differences in fracturing
between the old tunnel and the new galleries.
Figure 8.Variation of degree of saturation with the
distance from the tunnel (Charpentier et al, 2003).
Based on direct observations of fractures it was
concluded that the three structures have the same
relative extent of the EDZ’s (approximately 0.2R,
where R is the radius of the tunnel or gallery). The
extent of the desaturation zone had the same order
of magnitude for the three tunnels and they were
not affected by the age. This was attributed to the
masonry cover which probably acted as an
impermeable layer interrupting the advance of the
desaturation front. Rejeb & Cabrera stated that the
development of the EDZ is a case of delayed
failure. The mechanisms causing delayed failure
are pore pressure dissipation, creep and relaxation
of the material, and desaturation/resaturation
processes. These mechanisms are closely coupled.
For the Tournemire shale the pore pressures were
quite low. This could not explain delayed
deformations associated with pore pressure
diffusion. Due to the fact that the argillite
behaviour is highly sensitive to
desaturation/resaturation processes it is possible
that the major loading able to cause failure around
the tunnel is of hydric origin. Hydric load
associated with mechanical loading leads to shale
contraction, inducing tensile stresses (Miehe,
2004) which produce flaking and cracking of the
walls. If the tensile stresses are larger than the
tensile strength of the shale (about 3.5MPa) then
failure will take place (Seedman, 1987;
Ramambasoa, 2001). With time, desaturation and
re-saturation processes cause hydric damage and a
decrease in the strength of the shale, leading to the
development of onions skins cracks (see Figure
9).
Figure 9.Delayed failure around the tunnel
excavated in 1881 (Rejeb & Cabrera, 2006)
2.1.2 Opalinus clay shale: underground
Mont Terri Rock Laboratory
Another important site chosen to study the hydro-
geological, geochemical and mechanical proper-
ties of the rock mass for radioactive waste pur-
poses is the Jura Mountains and specifically Mont
Terri site (Switzerland). The rock laboratory is
located in tunnels with an overburden of about
300m. Eight niches where excavated to carry out
the initial experimental program. The layout of the
laboratory is presented in Figure 10.
The Mont Terri laboratory was excavated in
Opalinus clay, which is a very low permeable soft
rock of marine origin which contains swelling
clay minerals. Clay-minerals percentage ranges
Figure 10.Layout of the Mont Terri
Three different excavation methods were used
in the new gallery: (i) conventional blasting with
electronic detonators (around 70% of tunnel
between 40% and 80% (10% are active minerals).
Quartz, calcite, siderite, pyrite, feldspar and or-
ganic carbon are also present. Natural porosity is
about 4 to 12% and the overall thickness of the
clay formation is 140m. It is divided in three fa-
cies (shaly facies, sandy-silt facies and a sandy
facies). Mont Terri tunnel crosses the Mont Terri
anticline which was formed during the folding of
the Jura Mountains. The rock laboratory is em-
placed inside the Opalinus clay layer where rock
strata dip 45º to the southeast. Several minor
faults with dipping 20º to 60º are also present.
One larger fault zone was observed which cross
the motorway tunnel and the two galleries. The
thickness of this fault zone, called the “main
fault”, ranged between one and several meters
(Thury & Bossart, 1999; Bossart et al, 2004).
Initial measurements of in-situ permeability
resulted in values of 2x10-13 m/s for unaltered
rock while for the main fault zone it ranged
between 1x10-12 and 1x10-13m/s. Preliminary in-
situ and laboratory tests showed an elasticity
modulus ranging from 1000MPa to 7000MPa. On
the other hand, analysis of the groundwater
showed sodium-chloride water with total
dissolved solids of 20g/l (similar to seawater)
(Thury & Bossart, 1999).
Different drilling techniques were used (see
Thury & Bossart, 1999). When drillcores were
exposed to atmospheric conditions oxidation (for
instance, pyrite leads to gypsum) and
disintegration takes place.
laboratory (Thury & Bossart, 1999)
length), (ii) a road header, and, (iii) a pneumatic
hammer. In all cases, water was not used during
excavation to avoid swelling of the rock. The final
cross section had a horseshoe shape section with
an area of 15m2. In the central part of the new
gallery, a stretch 35m long was excavated using a
road header (about 15%) resulting in a circular
section with an area of 11m2. 15% of the niches
were excavated by diesel-fuel-powered pneumatic
hammer excavators. All excavated sections were
lined using shotcrete (15-20cm of thickness),
reinforced with steel or plastic fibres (Thury &
Bossart, 1999).
Expansion of the tunnel during and after
excavation resulted in the formation of an EDZ.
Oening cracks developed during the niches
excavation (unloading) with parallel orientation to
the tunnel wall. Martin et al. (2002) reported four
types of stability problems during and after
construction of the tunnels in Mont Terri
laboratory: (i) tensile brittle cracking, (ii) stress-
induced breakouts, (iii) sliding along the bedding
planes, and, (iv) swelling and softening. However,
during construction stage only tensile brittle
cracking was observed due to stress concentration
developing extension cracks (Figure 11). In some
cases cracking zones are accompanied by small
gypsum spots. This zone corresponds to the first
metre of the tunnel wall in which oxidation takes
place due to the air presence (see Figure 12)
(Bossart et al. (2004). The fractures observed both
in floor and roof were interpreted as a reactivation
of bedding planes or tectonic fault planes. Bossart
et al. (2002) reported that fractures extended to
depths up to 1.5m from the wall of the
reconnaissance gallery.
Figure 11.Picture of the extension cracking
developed by stress concentration (Martín &
Lanyon, 2003).
Figure 12.Gypsum spots formed on unloading
joint surface in Opalinus clay (Bossart et al, 2004)
Based on field measurements at different scales
Bossat et al (2002) presented a structural model to
describe the development of the EDZ in galleries
directed NW-SE in the Mont Terri Laboratory.
Two zones are identified in this model (Figure
13): an inner zone with an extent ranged from 0.1
to 1.25m within the tunnel wall. The inner zone
consists of interconnected fracture network in
unsaturated condition. The outer zone presents an
extent of 2m approximately where fractures are
not interconnected (generally). On the side walls
unloading fractures are parallel to the tunnel wall
(oblique to the bedding planes), whereas at the
bottom and top of the galleries fractures are
oblique to the tunnel wall (parallel to the bedding
planes).
Figure 13.Development of an EDZ in Mot Terri
Laboratory. Structural model of EDZ formation
(Bossart et al, 2002).
On the other hand, permeability profiles were
obtained in the EDZ zone from pneumatic tests.
Boreholes of 1m-long were drilled around the
tunnel to determine the permeability distribution
in the fractured zone. The measurement system
and the interpretation of results are presented in
more detail in Bossart et al. (2002). Permeability
variation in the boreholes around the tunnel is excavation proceeds, pore water pressure drops
presented in Figure 14. It can be seen that within quickly in all sensors. For the sensor located 0.5m
the first 10-20cm of the boreholes intrinsic from the tunnel face the water pressure drops to
permeability is very high with values in excess of the atmospheric conditions. Decaying in pore
1x10-14 m2. These values were detected at the water pressure is less marked when the sensor is
shotcrete-rock interface. At longer distances, far located far to the tunnel face (see Figure 15). This
from the tunnel wall, the intrinsic permeability behaviour is indicative of the rock damage and the
decreases until two orders of magnitude leading to creation of an EDZ.
values of 1x10-16 m2. Based on hydraulic tests,
Bossart et al (2002) determined an EDZ thickness
varying between 60 and 70cm, having a
permeability of 2.7x10-14m2.
Changes in pore water pressures were measured in
a horizontal borehole before, during and after the
excavation. Boreholes were drilled from the
reconnaissance gallery to the new gallery. Figure
15 shows the pore pressure evolution. Pore water
pressure increases as the gallery face approaches
the borehole. A pore water pressure increase of
400kPa was recorded when the face was about 1m
Figure 15.Variation of pore water pressure with
away from the borehole. This was explained by
the new gallery face advance (Bossart et al, 2004)
Thury & Bossart (1999) as the coupling of stress
redistribution around the new excavation and the
low permeability of the Opalinus clay. As the

Figure 14.Permeability variation around the new gallery (Bossart et al, 2004)

 Effect of wetting and drying cycles: VE
Ventilation test in Mont Terri Laboratory on
Opalinus Clay
The test consists in the ventilation of 10m long
section of a non-lined micro-tunnel, 1.3m in
diameter, in the Mont Terri laboratory, (see
Figure 16). The micro-tunnel was excavated in
February of 1999 but the ventilation experiment
(VE) did not started until July of 2002, after a 3
year long instrumentation phase. During the
instrumentation phase, a total of about 100
boreholes were drilled wherein 24 mini-
piezometers, 4 piezometers, 16 capacitive
hygrometers, 16 psychrometric hygrometers, 10
TDR sensors (they measure the rock water
content via wave travel times) and 8 mini-
extensometers were placed (see Figure
19)(Garitte, 2007). A schematic layout of the
ventilation test section is presented in Figure 20
where two ventilation pipes can be distinguished.
The vapor inflow is driven towards the right part
of the micro-tunnel (section A1) whereas the
vapor outflow exits at the left part of the
microtunnel (section A4). This scheme
guarantees that the vapor will flow along of the
overall section. Instrumentation was used to
evaluate the rock response along the controlled
ventilation phases of the test, which lasted from
July the 18th of 2002 to June the 30th of 2004
(phase 1) and from July the 1rst of 2005 to June
the 30th of 2006 (phase 2).
Figure 16.General layout of the Ventilation test
(VE) in Mont Terri Laboratory (Mayor et al,
2005)
Figure 17.Instrumented section in (VE)
experiment in Mont Terri Laboratory (Mayor et
al, 2005)
Figure 18.Schematic layout of the Ventilation
system (Mayor et al, 2005)
Figure 19 shows the variation in RH,
measured by hygrometers, due to ventilation of
the tunnel. Temperature measurements are also
shown in the plot. The desaturation stage started
at day 314 when RH decreased in steps from
90% to 47% and finally to a limiting value 15%.
This process lasted for 250 days. Afterwards a
saturation stage followed in which a RH value
close to 95% was applied (for 150 days).
However, the RH measured in the hygrometers
was close to 90%. Then, the vapor inflow was
stopped until an equilibrium condition was
reached inside the micro-tunnel (for one year
approximately). Finally, a desaturation stage was
applied, in which a RH of 15% was again
applied. During all stages, temperature in the
micro-tunnel presents very little variation,
ranging between 15º and 16º (Garitte, 2007).
The layout of the mini-piezometers installed in
sections SA1-4 is shown in Figure 22a. Figure
22b shows the variation of pore water pressure in
section A1 during the 2 stages of the VE test. It
is interesting to note that in most cases pore
water pressure remain at atmospheric condition
during the desaturation stages. This behaviour
was observed in sensors located within a distance
of 1.8m of the micro-tunnel wall. The measured
pore pressure at t = 314 days gives a good idea of
the pressure state of the test area at the beginning
of the VE. The pressure state at this time is
mainly governed by the drainage occurred since
the excavation of the micro-tunnel in February
1999 (Garitte, 2007).
Measurements of RH suggest that the
unsaturated area due to ventilation was not
deeper than 25 to 35cm.
Displacements were recorded in mini-
extensometers located at a distance of 2m from
the micro-tunnel wall The displacement
behaviour is consistent with shrinkage and
dilating mechanisms recorded when a soil is
dried or wetted, respectively.
314 560 1079
100
90
RH-HyV-In
Relative Humidity [%] and
RH-HyCnt-L
80 T-HyCnt-L
Temperature [ºC]
70
60
50
40
30
20
10
0
0 500 1000 1500
Time [days from VE start]
Figure 19.Variation of the RH with time. RH
input vs RH measured (Garitte, 2007)
 3 (Figure 21). This mudrock shows an irreversible
Section A1
2 BVE-78
BVE-81
1
0 MT
1m
-1
BVE-80
-2
-3
-3 -2
1200
105 314 350
252 413
1000
Pressure [kPa]
800
600
400
200
0
0
Section A1
200 400
Figure 20.Variation of pore water pressure with
time. (a) location of mini-piezometers (b) pore
water pressures changes (Garitte, 2007)
2.1.3 Other examples
Some examples of weathering processes in
tunnels have been reported in the literature.
However, many of them involve a combination
of physical and chemical weathering processes in
which sometimes is difficult to separate the two
processes.
Olivier (1990) has shown the influence of the
moisture redistribution and the variations of
environmental relative humidity on the
development of weathered zones (EDZ zones) in
tunnel excavations. He stated that the parameters
that control weathering and disintegration of
mudrocks in underground excavations are:
 Variations in the environmental humidity (e.g,
Van Eeckhout, 1976; Harper et al, 1979; Olivier,
1979; Olivier, 1990; Mayor et al, 2005; Garitte et
al., 2006; Rejeb & Cabrera, 2006)
 Wetting and drying cycles (e.g. Lempp, 1978;
Olivier, 1990; Mayor et al, 2005; Garitte, 2007)
 Intensive air drying (e.g. Olivier, 1979;
Olivier, 1990).
Olivier presented the strain behaviour of
Beaufort mudrock due to the alternating cycles
of water absorption (immersion of samples in
water) and intensive air drying (RH=55%)
anisotropic shrinkage due to the application of
variable air drying. Swelling was also observed
due to the hydration of the rock minerals.
0.5m
Combination of these two factors leads to a fast
disintegration of Beaufort mudrock.
Engineering geological problems have been
reported in sedimentary rocks containing pyrite.
Presence of pyrite has a great influence on the
BVE-79 weathering mechanism leading in some cases to
a rapid instability of rock slopes. (Chigira &
1m
Oyama, 1999). Oyama & Chigira (1999)
presented one case in which chemical weathering
-1 0 1 2 3
due to pyrite oxidation developed in a Japanese
560 713 1079 1534 old tunnel.
P-B78/2.10
P-B79/2.10
P-B80/1.80
P-B81/1.80
Series13
Series12
600 800 1000
Time [days from VE start]
1200 1400
Figure 21.Strain behaviour of Beaufort mudrock
under wetting/drying cycles (Olivier, 1990)
Similar mechanisms of chemical weathering of
natural slopes have been presented by Chigira
(1990) and Oyama et al. (1992).
2.2 Excavations
The influence of weathering on the mechanical
behaviour of soils has great importance in many
aspects of geotechnical engineering. Such
properties as shear strength, compressibility,
permeability and coefficient of earth pressure at
rest are likely to be modified where the
magnitude of the modification depends on the
type of change of the soil structure produced by
the weathering process. Some examples of in-
situ clay shales in which mechanical behaviour
has been affected by weathering processes are
described below.
2.2.1 Pamplona marls (Spain)
Pamplona marl is an argillaceous rock of North-
ern Spain. This material can be defined as “prob-
lematic” rock because of the extreme changes in
behaviour when it is subjected to seasonal varia-
tions. In nature, a well defined weathering front
is usually observed. Weathered materials, located
above the front show an average fine content of
90%. They are low plasticity clays (CL) with
liquid limit values ranging between 27% and
50% and a plastic limit between 10.5% and 0
w (%)

27.8%. Figures 22 and 23 show the variation of 0 10 20 30 40 50 60

water content and Atterberg limits, as well as the -5

unconfined compression strength with depth. -10

The first graph, in particular, shows a well de-

LL (weathered)

Depth (m)
LL (unaltered)
-15 LP (weathered)

fined weathering front. Carbonate content is LP (unaltered)

w (unaltered)

highly variable depending of the degree of

w (intact)
-20

weathering although typical values range from -25

30% to 50%.
Pineda et al. (2006) (this Conference) have
-30

presented some experimental results describing
the degradation of the mechanical properties of
the Pamplona marls and their influence on the
foundation stability of the Monreal Dam
(Spain).Typically the depth of the weathering
Figure 22.Variation in water content and
Atterberg limits with depth. Pamplona marls.
(Mapa Geotécnico del Área de Pamplona, 2002,
from Pineda et al, 2006).
Unconfined shear strenght, qu (Kp/cm )
2

front for Pamplona marls vary from 3m to 5m. In

0
0 50 100 150 200 250 300 350 400 450

the Monreal Dam’s site this material is -5

composed mainly of calcite mineral aggregates -10

(≈50%), quartz (≈20%) and philosilicates (clays,

Depth (m)
mainly formed by Illite). Also mica and chlorite -15

with an intermediate content were observed in -20

the mineralogical analysis. Pamplona Marls (unaltered)

A view of the weathering profile of Pamplona

-25
Pamplona Marls (weathered)

marl at the Dam’s site is presented in Figure 24. -30

Four different layers can be observed: an upper

mixed gravel clay layer can be observed,
followed by a weathered mar layer in which
weathering processes have transformed the stiff
and strong rock in stiff weathered clay. Then, a
layer of fissured marl is overlying the
unweathered and unfissured marls which appear
also at the foundation plane.
Due to unloading processes and the exposure
of this material to atmospheric conditions open
fissures were observed near the foundation plane
as shown in Figure 25. These fissures developed
rapidly in parallel with the advance of the
excavation front.
Pineda (in prep) determined the unconfined
compressive strength of Pamplona marl samples
obtained from the foundation plane. In these tests
one sample was subjected to compression at
natural water content condition (close to 6.5%).
A second specimen, initially at the same water
content, was submerged in distilled water during
5 minutes prior to be subjected to compression.
The final water content value was close to 6.8%.
Figure 26 shows the stress-strain relationship
obtained in both cases. The second specimen
shows a reduction of the unconfined compressive
strength and an increase in the strain at peak
deviatoric stress due to the very short soaking
process. The peak shear strength of this sample
drops 8% due to saturation process in only 5
minutes. Stiffness is also significantly reduced.
Figure 23.Variation of the unconfined
compressive strength with depth. Pamplona
marls (Mapa Geotécnico del Área de Pamplona,
2002, from Pineda et al, 2006).
Figure 24.Weathering profile at the Monreal
dam’s site
Results from direct shear test presented by
Pineda et al. (2006) indicated also that the
saturation process leads to a decrease in the peak
strength (at similar confining stress; see Figure
27). At large displacements the strength obtained
in both cases are very similar and tend to the
residual strength value. Shear strength
parameters are very dependent of the saturation
conditions. Under natural water content
conditions the internal friction angle of the
unweathered material, measured in the shear
box, was equal to 40º and the cohesion intercept
was 452kPa. For saturated condition the internal bonding due to very small and closely spaced
friction angle decreases to 31º while the cohesion fissures. They have been sedimented a few tens
drops to 168kPa. This reduction of the strength of millions years ago in a marine environment.
parameters has important consequences on the Ageing and/or precipitation of carbonates leads
sliding stability of the dam and complicate the to cementation produced by interparticle bond-
selection of design criteria (Pineda et al, 2006). ing. Subsequent tectonic evolution led to the
formation of the Apennine Mountains (Pesca-
tore, 1985). These tectonized clay shales are fine
grained indurated soils containing networks of
small polished or slickensided fissures (Picarelli
et al, 2000). The liquidity index ranges between -
0.2 to -0.4. The Atterberg limits and the clay
fraction ranges widely, although clay fraction is
often greater than 30%. Liquid limit and plastic-
ity index can vary from 20% to 130% and from
8% to 90% respectively, reflecting mineralogical
composition (Bilotta et al, 1985).
Figure 25.Cracking due to unloading and Picarelli et al. (2000) presented an example of
exposure to the atmospheric condition of the field swelling of tectonized Bisaccia clay shale in
Pamplona marl the Bisaccia hill. Bisaccia town was built on a
conglomerate hill that overlies a highly plastic
100 deposit of clay shales. Two deep and narrow
90
Unweathered sample
valleys were formed by erosion and Bisaccia hill
was left in the center (Figure 28). The dynamic
Deviatoric stress (kg/cm2)

80
Sample submerged in distilled
70 water by 5 min prior the shearing of the movement in this zone is characterized by
60
important deformations of the valley floor
50
(swelling) and a process of squeezing alongside
40
the slopes of the hill. In Figure 28b and 28c
water content and pressures profiles obtained
30

20

10
from a borehole drilled in the valley are
0 presented. According to Picarelli et al. (2000) the
0 1 2

Axial strain (%)

3 4 5
higher water content values in the shallow zone
and the low pore pressure (near to zero) favours
Figure 26.Stress-strain relationship for Pamplona the mechanical and osmotic swelling of the clay
marl in unconfined compression test (Pineda, shales due to water absorption from the ground
2007) boundary.
600

500  ' v =32kPa

Shear stress  (kPa)

400

300

 ' v =42kPa
200

100

0
0 5 10 15 20 25 30 35 40

Horizontal displacement (mm)

Figure 27.Stress-displacement curve for

Pamplona marl in direct shear tests. Shearing at
natural and saturated condition (modified from
Pineda et al, 2006)

2.2.2 Tectonized clay shales of Italy Figure 28.Bisaccia hill: (a) cross section, (b)
water content profile, (c) water pressure profile
The tectonized clay shales of Southern Apenni- (from Picarelli et al, 2000; after Picarelli &
nes are particular materials which present weak Urciuoli, 1993 and from Di Nocera et al, 1995)
 Climatic processes may cause permanent
modifications of the geotechnical properties of
hard soils and soft rocks. Cafaro & Cotecchia
(2001) described the mechanical decaying of an
Italian overconsolidated clay due to weathering.
Unweathered clay at Montemesola site is a
highly overconsolidated grey stiff clay, mainly
composed by illite, deposited in a marine
environment during the Pleistocene in the
Montemesola Basin near Taranto. After
consolidation this clay was cemented in the
presence of carbonates during diagenesis
(Cotecchia & Chandler, 1995). Cafaro &
Figure 29.Face of the quarry and samples
Cotecchia investigated the weathering process in
location (Cafaro & Cotecchia, 2001)
a quarry wall where two weathering fronts (one
grey front and one oxidised yellow front) are
The stress sensitivity (S='y/*e) is defined as
identified (Figure 31). Oxidation of the upper
the ratio between the gross-yield stress ('y) and
clay (yellow) down to a depth of 20-25m is
the vertical stress on the ICL corresponding to
attributed to a regional denudation and erosion
the specific volume of the natural clay at gross-
during long time. Weathering of yellow clays
yield stress (*e). For yellow and grey clays the
exposed on the excavation front occurred in the
stress sensitivity values were1.5 and 2.4,
last 10 to 15 years. Mineralogical changes were
respectively. Figure 30 shows the Ko curves for
evaluated on the yellow formations where
natural yellow and grey clays in the void index
calcium and iron sulfates (due to oxidation) were
Iv-log p’ plane (Burland, 1990) in which the
found. In the case of London Clay (a highly
variation in Sis clear. Considering that the
overconsolidated high plasticity clay) Chandler
structure of both clays was defined as originally
& Apted (1988) have shown that mineralogy
similar, the S values for these clays should be
does not change significantly due to weathering.
similar. Nevertheless, the lower Svalue
In Montemesola, a mineralogical comparison
obtained for the yellow clay is due to structural
indicated similar compositions of the yellow and
weakening as a result of weathering whose
grey clays. The only significant change in
mechanical effects are related to the reduction in
composition due to weathering was the partial
the stress sensitivity for yellow clay (from 2.4 to
oxidation of pyrite, which explains the change in
1.5) (Cafaro & Cotecchia, 2001).
color. Cotecchia & Chandler (1995) reported that
the long-term weathering in the Montesemola
Basin was affected by the occurrence of wetting-
drying cycles, due to variations of the table water
level. For the yellow clay, weathering caused
changes in their specific weight (it decreased
from 1.65 for the grey clay to 1.55 for the yellow
clay). Liquidity index changes from LI=-0.05 for
grey clays to LI=-0.19 for yellow clays, This
reduction on LI in the yellow clay is consistent
with a loading process affecting strongly the
upper clays. This loading was attributed to
drying following a previous idea by Cotecchia &
Chandler (1995).
Figure 30.K0 curves for natural yellow and grey
Results of oedometer tests on natural yellow
clay. Influence of the stress sensitivity (Cafaro &
and grey clays shows a gross-yield vertical stress
Cotecchia, 2001)
(Cotecchia & Chandler, 2000) of about 2.0MPa
for the natural yellow clay, whereas for grey clay
Using the idea that yellow clay derives from
the gross-yield stress was about of 2.6MPa. The
the grey clay by a drying process, Cafaro &
influence of the structure on the compression
Cotecchia (2001) performed wetting-drying
behaviour was studied in terms of the stress
cycles on samples of grey clay to cause a
sensitivity Sσ (Burland et al, 1996; Cotecchia &
progressive contraction of the clay and a
Chandler, 2000).
permanent reduction in the specific volume
together with structure degradation. The assumed
drying wetting history under natural conditions is
schematized in Figure 33. During wetting-drying
cycles suction varied between 0kPa (initial
saturated condition) and 9.2MPa. Results show a
permanent reduction of the specific volume at
the same suction value after the second drying
cycle. The evolution of the swelling index
obtained from the oedometer test (Cs) and the
value measured during swelling after drying
(v/log(pk)) were compared to confirm this
hypothesis. Figure 34 shows the variation of Cs
in terms of the maximum effective vertical stress
’vmax (from oedometer test), and maximum
value of suction reached during drying, pk
(wetting-drying test). It can be seen that the
swelling index obtained from the oedometer test
increases initially faster than the value obtained
from drying, which is still increasing once the
stress yield have been reached. Based on this
result, Cafaro & Cotecchia (2001) stated that the
evolution from grey into yellow clay (reducing
the specific volume, degrading the diagenetic
bonding and increasing the swell potential) has
been induced by in-situ cyclic drying processes.
Figure 33.Schematic stress history of natural clay
at Montesemola: (1) geological stress state, (2)
unloading due to erosion, (3) current stress state
for grey clay (lower), (4) drying/wetting cycles,
(5) current stress state for yellow clay (Cafaro &
Cotecchia, 2001)
Figure 34.Variation of the swelling index Cs of
the grey clay obtained from oedometer test and
after drying cycles (Cafaro & Cotecchia, 2001)
2.2.3 Other examples
Chandler (1969) examined the influence of the
weathering processes on the mechanical behav-
iour of the Keuper Marl, a heavily overconsoli-
dated Triasic deposit (UK). In undisturbed state
this material is a mudstone mainly composed of
silt sized aggregations with clay minerals parti-
cles. Chandler grouped the Keuper marls in four
groups depending of their degree of weathering:
zone I is the unweathered marl; in zone II weath-
ering begins to form fissures; in zone III a
weathering profile is developed and the weath-
ered matrix remains predominantly silty. Finally,
in zone IV the marl has lost much of the silty
texture of the matrix of less weathered marl, and
as much as 50% of the soil may consist of dis-
crete clay-sized particles.
Figure 33 shows the variation of the index
properties within the weathering profile. Near the
ground surface the liquid limit and natural water
content both increase while the bulk density
decreases. For zones I, II and III the liquid limit,
plastic limit and water content fall slightly with
depth, and the plasticity index remains almost
constant.
Changes in the stress-strain behaviour were
described by Chandler based on drained triaxial
tests on samples with different degrees of
weathering (Figure 34). In Zone I the material
exhibits a brittle failure. However, the curve for
the marl in Zone IV has no peak, the failure
being entirely plastic. The suppression of the
peak in the stress-strain curve is largely
responsible for the reduction of the effective
strength parameters recorded. The internal
friction angle (’) varies from 40º in zone I, to
42º to 32º for zone III and to 32º - 25º for zone
IV.
Figure 33.Variation of the index properties in
weathering zones for Keuper marl (Chandler,
1969)
Figure 34.Stress-strain relationship of
unweathered and fully weathered Keuper marl
(’c=10 lb/sq.in) (Chandler, 1969)
A classical example of the geological
evolution of clayey shale was presented by
Bjerrum (1967) for Bearpaw shale at the Fork
Peck dam site in Canada. Bearpaw shale is
highly overconsolidated and strongly cemented
clay with a liquid limit ranging from 90% to
120%. Montmorillonite is present in different
percentages. Bjerrum presented unloading
curves in terms of water content values obtained
in different zones and subjected to different
degrees of weathering (Figure 35, where the
shale behaviour under remoulded state is also
included). Different unloading curves were
obtained for the Bearpaw shale and this was
attributed by Bjerrum to different degrees of
weathering (alteration). Alteration produces
breaking of diagenetic bonds generated during
the geological history of the shale. During
unloading swelling can take place if diagenetic
bonds are broken, releasing the locked-in
recoverable strain energy. If diagenetic bonds are
weak, most of the strain energy will be dissipated
during unloading and shale disintegration will be
low. However, when strong diagenetic bonds are
present, a small part of the strain energy will be
lost during unloading, and the swelling within
the disintegration zone will be large (Bjerrum,
1967).
A similar behaviour was reported by Chandler
(1972) for the Upper Lias Clay from
Northamptonshire (UK). Upper Lias clay is a
highly overconsolidated clay which has been
subjected to natural weathering processes. Based
on in-situ boreholes Chandler reported strength
drops from 200kPa to 63kPa accompanied by
water content increase from 16% to 30%,
depending of the sample level within the
weathering profile. Chandler presented a
schematic relationship between water content
and shear strength in terms of the failure
envelopes (Figure 36).
Figure 35.Geological history of Bearpaw clay
shale (Bjerrum, 1967).
In this diagram, progressive reduction in
strength due to weathering at a given depth is
represented by A-B or A’-B’ lines. Lines A-C
and A’-C’ represent the effect of weathering
induced by continuing erosion. Line A’-C’
represents the strength-water content curves
obtained in-situ and reported by several authors
(e.g., Casagrande, 1949; Smith & Redlinger,
1953; Peterson, 1958; Bjerrum, 1967; Chandler,
1972 and other examples given in his report).
Swelling due to excavation (without associated
weathering) is represented by B-C (or B’-C’
lines in the case of weathered soil).
Figure 36.Schematic representation of the
influence of the weathering on the mechanical
behaviour (Chandler, 1972).
The influence of degree of saturation on the
mechanical properties of Tournemire shale
(Vàles et al, 2004) was examined by means of
uniaxial and triaxial compressive tests which
include loading-unloading cycles. Strains were
measured by means of strain gauges. The elastic
modulus E1 was quite constant (E1≈20000MPa)
for degrees of saturation in the range 95%-50%.
However, for higher suction values (lower
saturation values) the elastic modulus E1
increases as suction increases due to the
“stiffening” effect of suction on the rock
structure (Figure 37a). Vàles et al (2004) pointed
out that cohesion and friction angle were not
correlated to the degree of saturation when =0º.
However, for =45º and =90º these parameters
increase when drier states are reached (Figure
37b and c).

3. DEGRADATION OBSERVATIONS IN
LABORATORY

3.1 Tournemire shale

Vàles et al (2004) carried-out an experimental
program to study the influence of the degree of
saturation on the hidro-mechanical behaviour of
Tournemire shale. In order to obtain different
degrees of saturation, samples were equilibrated
in atmospheres with controlled relative humidity.
(Delage et al, 1998; Al-Shayea, 2001). The
relative humidity values imposed ranged from
5% to 98% (initial state) which lead to suction
values in the range 419MPa to 2.8MPa. At each
equilibrium stage different parameters were
recorded: weight, global deformations (using a
LVDT sensor), and local deformations using
strain gauges. Three orientations  (between
loading direction and bedding planes) were used
to investigated the effect of anisotropy (0º, 45º
and 90º).
For shale samples having =0º results show
that during the saturation process an important
swelling took place in the perpendicular
direction to the bedding plane. This means that
swelling is due to opening of inter-layers which
represent preferential paths for moisture
diffusion and water transfer (Vàles et al, 2004).
Compressive wave velocity (Vp) was determined Figure 37.Tournemire shale. Effect of the degree
on samples during the saturation process. For of saturation: (a) Young Modulus, (b) cohesion,
=0º the compressive wave velocity was quite (c) internal friction angle (Vàles et al, 2004)
constant (close to 4000m/seg) and did not
depend on suction. In samples having =45ºand Stress-strain curves indicated that anisotropy
=90º the compressive wave velocity increased and suction had an important influence on
with suction (decrease of degree of saturation).
mechanical behaviour. In all cases, larger strains
were obtained in the perpendicular direction of
the bedding planes. Volumetric strains are
controlled by suction and the inclination of
bedding planes. For high suction values (lower
saturation values) volumetric strains change
linearly with the stresses showing an important
dilatant tendency. Dilatancy could lead to micro-
cracking during the wetting stage.
Triaxial compressive strength is again
maximum for =0º and 90º. In this case, suction
plays a “confining role” and leads to an increase
in the triaxial strength as suction increases
3.2 American clay shales
Casagrande (1949) and Peterson (1958) drew
attention to the high heave potential of clay
shales from North America.
Yudhbir (1969) presented a compilation of the
rebound curves for the Bearpaw shale including
additional curves presented by Smith &
Redlinger (1953), Peterson (1958) and Bjerrum
(1967). For Bearpaw shale the liquid and plastic
limits are about 110% and 22% respectively. The
average clay content is close to 52% (60% is
montmorillonite). This shale slaked readily in
distilled water to form a highly plastic paste
(Mesri et al, 1978).
Yudhbir (1969) attributed the steep geological
rebound curve to the progressive breakdown of
the diagenetic bonds and to the progressive
development of structural discontinuities.
Evidence of damage-induced swelling
(debonding) was presented by Banks et al (1975)
for Cucaracha shale from the Panama Canal.
This material present a liquid limit of 55%, and
plastic limit of 27% with a clay fraction of 32%
(mainly composed by montmorillonite) (Mesri et
al, 1978). The high swelling under unloading
suggests microstructural changes in the shale due
to two mechanisms: bonds-breakage during
loading and swelling of the overall volume due
to hydration of expansive minerals
(montmorillonite) (see Figure 38). Hydration of
active minerals occurs from the beginning of the
loading path, but swelling is only developed
during unloading due to the strong cementation
of this shale. If the bonds are damaged by
mechanical action expansion will increase until
hydration of active minerals is complete.
Wong (1998) reported the swelling and
degradation behaviour of La Biche clay shale
formation near Alberta (Canada). La Biche shale
is an overconsolidated compacted clay which
consists of montmorillonite, illite and kaolinite
within the clay fraction. Non-clay minerals
include quartz and feldspar. Atterberg limits are
low in this material. The liquid limit ranges from
44.6% to 45.8%, and the plastic limit ranges
from 19.2% to 24.1%, and the average clay
content is close to 18.8%. The salinity of the
pore fluid is close to 4.5% to 6% by weight.
Wong evaluated the influence of the pore fluid
salinity on the swelling behaviour. Different
types of tests were performed. Free swell tests,
semiconfined swell tests and oedometer tests. In
these test, different types of pore fluid were used:
distilled water or NaCl solutions (1% or 3%).
Figure 38.Oedometer curve on Cucaracha
shale (Banks et al, 1975)
Samples of free swell test were subjected to a
loading/unloading cycle prior the swell test
under unconfined conditions. After this, water or
NaCl solution was poured and free swell was
allowed. The swelling strain decreased with the
increment of the concentration of NaCl solutions
(15% and 4.5% of swelling was measured for
water and a 3%NaCl solution, respectively).
Then, swollen samples were subjected to
isotropic compression in a triaxial cell and a
consolidation curve was obtained. In
semiconfined tests an axial load was applied to
the sample and then water or NaCl solutions
were added to the sample and swell was allowed.
For the oedometer tests, consolidation under an
axial stress was first allowed. After equilibrium
the axial load was maintained constant and
distilled water or a NaCl solution were added to
the sample in order to measure the swelling
pressure. Finally, the axial load was removed and
free swell was allowed. In all cases, higher
swelling strains were observed when distilled
water was used.
Wong (1998) concluded that swell curves are
highly dependent on the confining condition, the
previous swell history, the stress path and the
salinity of the pore fluid.
 Similar results were presented by Morgenstern
& Balasubramonian (1980). They investigated
the influence of the pore fluid composition on
the swelling behaviour of Bearpaw shale from
South Saskatchewan dam site (Peterson, 1958)
and Morden shale from Manitoba (Canada). Pore
fluid of both shales was obtained from squeezing
tests and pH analysis. Swelling pressure tests and
controlled strain swelling tests were performed
using both distilled water and “reconstituted”
pore fluid (obtained from the squeezing test).
Both the swelling pressure and the maximum
amount swelling increased when shales are Figure 39.Drained stress-strain curves of La
exposed to swell in distilled water (Morgenstern Biche shale samples subjected to different swell
& Balasubramonian, 1980). process (Wong, 1998)
The stress-strain behaviour of La Biche shale
was also reported by Wong (1998). Triaxial
drained test on intact shale samples including
free swollen and semiconfined swollen samples
(used before in the swell test) were performed. In
these tests, the back pressure fluid was the same
fluid used in the swell tests. Confining pressure
values applied in the consolidation stage ranged
from 50 to 500kPa to avoid reaching the swelling
pressure measured in the swelling tests.
For intact shale, an increase in the confining
stress leads to an increase of the peak stress and
a reduction of the dilatant behaviour. This was
confirmed by the volumetric strain behaviour Figure 40.Peak strength envelopes of La Biche
during shear. However, the stress-.strain shale as a function of the previous swelling
behaviour for samples subjected to a previous (Wong, 1998)
swell test was very different from the results
obtained in intact samples. Figure 39 shows the Botts (1998) examined the effects of slaking
stress-strain behaviour of free swollen shale on the strength behaviour of Pierre shale from
samples. The stress-strain curve for intact sample Saskatchewan River basin in the Central USA
obtained during the shearing stage for a and Canada. Pierre shale is a Cretaceous highly
confining stress of 50kPa is included in the plot. overconsolidated clay with abundant slickensides
It was shown also that previous swelling reduces and fissures. The average clay content is close to
the dilatant behaviour of the shale. Peak stress 35%. Pierre shale has a highly swelling potential
decreases dramatically with the previous due to the presence of montmorillonite and it
swelling due to debonding and leads to an slake quickly in distilled water (Botts, 1986).
increase in the peak strain. Four stages were followed in the Botts study: (i)
Wong (1998) plotted shear strength envelopes drying of samples under unconfined conditions
obtained for different swelling strains (see Figure in order to induce fissuration before the wetting
40). These curves shows a similar internal stage, (ii) a wetting phase performed in the
friction angle value of 28º, but different cohesion triaxial cell under a low confining pressure in
values, correlated with the previous swelling order to induce softening and slaking, (iii) a
volumetric strain (and, therefore, with current shearing stage under different confining
void ratio). pressures to evaluate the stress-strain response of
A similar behaviour was observed for the the shale, and (iv) determination of the final
elastic modulus. The rapid reduction of E with conditions (fabric changes).
swelling strain shows the dramatic effect of The results of a drying/wetting cycle are
swelling (which induces debonding or damage) presented in Figure 41 which describes the
on the mechanical degradation of the La Biche drying path (under unconfined condition) and the
shale. wetting path (under a confining pressure of
69kPa). It is interesting to note that small
changes in void ratio during drying (for example
from 0.25 to 0.22) leads to a high increase in the
void ratio during rewetting (from 0.22 to 0.52).
This swelling is due to the slaking process and
leads to a degradation of the strength of Pierre
shale. This was accompanied by important
changes in the degree of saturation during the
drying/wetting path.
Figure 41.Shrinkage and swelling curves of
Pierre shale obtained from drying and wetting
test (a) water content variation with the drying
time, (b) saturation variation with the drying
time (Botts, 1998)
The stress-strain behaviour of intact and
slaked samples show strong differences. In intact
specimens a quick drop to the residual condition
was followed once the peak strength was
reached. This behaviour was also obseved in
shale samples subjected to a short drying time
(30 minutes) although they exhibited a
significant fissuration (Botts, 1998). The shear
strength of Pierre shale is highly affected by
drying and rewetting times. A comparison of
stress-strain results obtained from samples
subjected to different drying times (Figure 42,
the confining pressure was 207kPa) shows a
reduction of 80% in the shear strength when an
intact sample (30/H-1) and one sample subjected
to drying for 28 days and a wetting time of 3
days (30/28-3) are compared. Young modulus
decreases from 193MPa (for the intact specimen)
to 34MPa (for specimen 30/28-3). Dilatancy also
decreases with the previous drying time due to
the softening produced by slaking.
Figure 42.Deviatoric and volumetric behaviour
of La Biche shale samples subjected to different
slaking degrees (Botts, 1998)
3.3 Italian clay shales (stiff clays)
Due to geological conditions most of the clay
shales (stiff clays) outcrops in the Italian penin-
sula, and more specifically in the Mediterranean
basin are tectonized. These clay shales are spe-
cial materials due to the facility to be weathered
by physical and chemical mechanisms. This be-
haviour leads to design and construction prob-
lems.
Recently, Gullà et al. (2006) studied the
effects of the weathering process caused by
wetting/drying/freezing/thawing cycles on the
compressibility and shear strength of a natural
stiff clay from Italy near the village of Roccella
(called here Roccella clay). Roccella clay is a
Pliocenic overconsolidated marly clay deposited
in a marine environment. The liquid limit is
about of 57%, the plastic limit is about of 30%
and the clay fraction ranges from 50% to 60%.
During their geological history this clay has been
subjected to uplift and erosion. Surficial clay was
subjected also to wetting/drying cycles. The
degradation cycles imposed in tests are defined
as follows: (i) wetting in distilled water at 20ºC,
(ii) drying in a heater at 100ºC, (iii) wetting in
distilled water at 20ºC, (iv) freezing at 0ºc, and
(v) thawing in distilled water at 20ºC. Duration
of cycles was variable: 1day (D1), 7 days (D7), flocculated to aggregated and deflocculated (see
30 days (D30), 60 days (D60) and 90 days Figures 45 and 46).
(D90). The term intact in this case was refers to
soil that has not undergone the laboratory
weathering process and, moreover, it is not
fissured (Burland et al, 1996; Calabresi, 2004).
Compressibility curve obtained from one-
dimensional tests for intact, weathered and
reconstituted clay samples are shown in Figure
43. The weathering process leads to an increase
in the initial void ratio which approaches the
reconstituted initial state. Compressibility
increases in all cases and the swelling index Cs in
weathered clay samples is higher than the intact
sample value. This is an indication of some de-
structuration of the clay fabric due to the
weathering cycle.
Similar behaviour was obtained from direct
shear test on intact, weathered and reconstituted
Roccella clay. Peak shear strength tends to the Figure 44.Stress-displacement curves of Roccella
reconstituted value as weathering cycles are clay samples obtained from direct shear test
increased. Brittle behaviour is less marked as under different weathering times (Gullà et al,
degradation increases. At large strains, peak 2006)
shear strength reached in fully weathered
samples was similar to the residual shear strength
obtained from ring shear test (Figure
44).

Figure 45.SEM of Roccella stiff clay specimen at

intact condition (Gullà et al, 2006)

Figure 43.Oedometer curves of Roccella clay

samples obtained under different weathering
times (Gullà et al, 2006)
Gullà et al found that the index properties did
not change after the weathering cycles. SEM
analyses show large differences between intact
clay and weathered clay for 90 days. According
to Gullà et al (2006) the soil structure of
Roccella clay varied from aggregated and
Figure 46.SEM of Roccella stiff clay specimen
subjected to a weathering time of 90 days (D90)
(Gullà et al, 2006)
Cotecchia & Chandler (1997) investigated the
pre and post failure behaviour of Pappadai clay
which is a Pleistocene heavily overconsolidated
clay from the Montesemola Basin. The liquid
and plastic limits are 65% and 30% respectively.
This clay presents a high carbonate content,
close to 28%, illite (20%), chlorite (14%),
dolomite (6%), kaolinite (12%) and smectite
(12%). The presence of illite, chlorite and
smectite, sedimented in a marine environment
leads to a bookhouse fabric (Cotecchia &
Chandler, 1997). However, the content of
smectite decreases and the presence of non-
active minerals increases with depth suggesting
that diagenesis and other modifications have
occurred in Pappadai clay leading to stronger
diagenetic bonds.
Figure 47 shows the one-dimensional
compression curve for Pappadai clay. The
vertical effective stress at the depth of sampling
was 415kPa while the geological
preconsolidation stress was about 1300kPa as
indicated by point P in Figure 47. Point P lies on
the right of the compression curve of the
reconstituted clay, indicating the structuration
due to diagenesis (Cotecchia & Chandler, 1997).
However, the vertical effective yield stress
obtained from one-dimensional consolidation on
the natural clay was about 2600kPa (twice the
geological preconsolidation stress) which is
indicative of the structural effects of this stiff
clay. Similar behaviour was reported by Callisto
& Rampello (2004) for Vallerica Clay.
Figure 47.Compression behaviour of natural and
reconstituted Pappadai clay (Cotecchia &
Chandler, 1997)
Cotecchia & Chandler determined the limit
state curve for natural and reconstituted samples
of Pappadai clay (see Figure 48). The critical
state (given by tests TN12 and TN15) is well
inside the limit state curve and away from the
limit state for the destructured material. This
behaviour has been reported for structured soils
(Leroueil, 1992; Aversa et al, 1993). The reason
for this behaviour is that the limit state curve is
representative of the bond strength but at large
deformations almost all bonds are broken. More
interesting here is to note that the natural limit
state curve and the reconstituted limit state curve
are very different. This is due to the initial fabric
of the Pappadai clay which does not reaches the
destructured state at large strains because some
bonds are not broken during shearing.
Figure 48.Limit and critical state of natural and
reconstituted Pappadai clay (Cotecchia &
Chandler, 1997)
Aversa et al (1993) presented compression
curves obtained from oedometer and triaxial tests
on different samples of Bisaccia clay. In both
tests, loading and unloading paths were
performed to evaluate the swelling and
degradation behaviour of this shale (Figure 49).
Bisaccia clay is tectonized clay shale from the
Apennines Mountains with clay content ranging
between 50% and 70%. Shale samples in Figure
49 had liquid limits ranging from 60% to 180%,
and plastic limits varying between 40% and
130%. Carbonate content ranges from 3% to 7%.
In all cases, loading leads to a progressive
mechanical degradation of the bonds, releasing
the locked-in energy generated by diagenesis.
The presence of fissures, induced by tectonic
processes, influence the swelling behaviour
during unloading due to the increased ability of
water to hydrate the active minerals, once bonds
are broken. Similar behaviour was observed in
isotropic tests in which an initial elastic
unloading curve is obtained during the first
unloading step. However, a rapid increase in
swelling is developed under further unloading
steps showing the increase in the swelling index
with OCR. It is interesting to note that the final
void ratio in all samples was close to twice the
initial value and that it was obtained in only one
loading/unloading cycle.
Cicolella & Picarelli (1990) presented results
from direct shear box on samples of
overconsilidated Bisaccia clay samples subjected
to different degrees of swelling before shearing.
Effective cohesion and effective internal friction
angle decreases as the swelling time increases.
The swelling stage before shearing developed
under an axial stress value lower than the
swelling pressure of the shale. Some scatter was
obtained for the effective cohesion but in the
case of the effective internal friction angle it
reduced from 26º to 18º due the swelling (Figure
50).
Di Maio & Fenelli (1997) studied the
influence of the pore fluid on the swelling
behaviour under unloading of undisturbed
samples of Bisaccia clay shale. Figure 51 shows Figure 49.Loading-unloading tests on Bisaccia
the unloading oedometer curve for a shale clay (Aversa et al, 1993)
sample exposed to distilled water, first loaded to
7840kPa, then unloaded until 1176kPa and
finally exposed to NaCl solution. This final
exposure to the salt leads to a compression
(consolidation) of the shale. An elastic unloading
response was obtained in the next unloading step
but when distilled water was added to the
sample, a first osmotic swelling phase was
observed followed by a swelling behaviour.
Similar results were presented by Picarelli et al
(2000) who reported oedometer tests on Bisaccia Figure 50.Direct shear test on Bisaccia clay
clay. Osmotic swelling was obtained when samples under different swelling times (Cicolella
distilled water was added to a sample that was & Picarelli, 1990)
consolidated under a NaCl solution.
Within the group of tectonized Italian shales
Todi clay presents a response in one-dimensional
tests similar to Bisaccia clay. Todi clay is an
overconsolidated fissured lacustrine clay with a
liquid limit of about 50%, a plasticity index of
28% and a clay fraction ranging from 3% to 5%.
Calabresi & Scarpelli (1985) described the
behaviour of an intact sample subjected to two
loading-unloading cycles including the
reconstituted behaviour (Figure 52). During the
first loading path, a progressive mechanical
degradation occurred as in Bisaccia clay.
Swelling developed under subsequent unloading.
During the second loading path the yield stress
decreases due to degradation of shale structure.
This behaviour was defined by Alonso &
Figure 51.One-dimensional swelling of
Alcoverro (2004) as damage-induced unloading.
unweathered Bisaccia clay (Picarelli et al, 2000)

Figure 52.Oedometer test on Tody clay. Swelling
under loading due to debonding (Calabresi &
Scarpelli, 1985)
Picarelli (1991) presented one-dimensional
tests on Laviano “scaly” clay shale in which
progressive destructuration (debonding) was
obtained by applying loading/unloading cycles
(Figure 53). Laviano “scaly” clay shale has a
plasticity index of about 24%, a clay fraction
close to 24% and a carbonate content ranging
from 10% to 30%. This material is a highly
tectonized shale with a dense network of
polished shearing planes. The progressive
increase in compressibility with loading and the
subsequent swelling during unloading can be
interpreted as an indication of the progressive
damage of the shale. This is reflected in the
increase of the swelling index with the OCR as
was previously reported by Mesri et al (1978) on
four different shales from Canada and USA and
by Urciuoli (1992) on Bisaccia clay.
Figure 53.Progressive degradation of the Tody
clay under loading/unloading cycles. Increase in
the swelling index with the OCR (Picarelli,
1991)
Cotecchia et al. (2006) investigated the
influence of fissuring on the mechanical
behaviour of tectonized clay shales from
Southern Italy. Two different clays of marine
origin were used in this study. Undisturbed
samples were obtained from the Santa Croce di
Magliano (SCM clay and SCM bentonitic clay).
SCM clay and SCM bentonitic clay are
Oligocene-Burdigaglian clay formations. Block
samples were obtained at shallow depth in Santa
Croce di Magliano site. The clay fraction (CF)
and plasticity index (PI) in these clays has
average values of 59% and 37% for SCM clay
and 86%-66% for SCM bentonitic clay,
respectively. The activity of the two clays
presented different values: 0.60 and 1.3 for SMC
and SCM bentonitic clays.
Size effects were evaluated by Cotecchia et al.,
who performed oedometer tests in samples
having different sizes. One-dimensional curves
obtained from natural SCM clay and SCM
bentonitic clay lie on the left of the normal
consolidation line for the reconstituted material.
The sensitivity stress ratio (S<1) was lower than
1 in both cases. The yield stress is located on the
left side of the normal consolidation line contrary
to the behaviour of structured soils subjected to
compression (y=1000kPa for SCM clay, and
y=300kPa for SCM bentonitic clay) (Figure 54).
The compressibility behaviour of these two clays
is opposite to other cases reported in the
literature for natural fissured clays (Cotecchia et
al, 2006).
Fissures control the swelling behaviour of both
materials. During unloading the swelling index
was higher in SCM clay than the SCM bentonitic
clay which exhibited a stiffer response (see
Figure 55). The swelling index was equal to 0.25
for SCM clay and 0,07 for SCM bentonitic clay.
This high swell potential of fissured clays has
been reported before by Cotecchia (1971),
Billota (1984), Cicollela & Picarelli (1990) and
Cotecchia & Santaloia (2003). For the SCM clay
the compressibility under reloading was higher
and the yield stress decreased from 1000kPa to
180kPa approximately. This was attributed by
Cotecchia et al (2006) to softening of the clay
due to lack of bonding between scales which
open during swelling (creating an open clay
fabric). This behaviour was reported by Cicolella
& Picarelli (1990) for Laviano clay where Cs
decreases with the increase of maximum stress
reached during loading. For the SCM bentonitic
clay the lower swelling potential may be
explained by a lower density of fissures
compared with the SCM clay. However, during
reloading swelling index increases due to the
degradation of the bonds. The reduction of the
yield stress of SCM bentonitic clay is a case of
kinematic hardening of the material (Cotecchia
et al, 2006).
Figure 54.One-dimensional compression curves
of natural fissured clays: (a) SCM clay, and (b)
natural SCM bentonitic clay (Cotecchia et al,
2006)
Figure 55.Unloading-reloading curves for natural
SCM and SCM bentonitic clays (Cotecchia et al,
2006)
4. A REVIEW OF MODELS WHICH IN-
CLUDE DEGRADATION EFFECTS
Leroueil & Vaughan (1990) and Vaughan (1997)
described the different types of yielding which
can be identified in cemented soils, weak rocks
and stiff clays (see Figure 56): Yielding in com-
pression; yielding in swelling or in tension and
yielding in shear.
Figure 56.Yield surfaces obtained in structured
soils and weak rocks (Vaughan, 1997)
From experimental observations it has been
concluded that bonding generate tensile strength
and real cohesion. A transition from brittle to
ductile (dilatant to compressive) behaviour is
obtained as confining pressure is increased.
Moreover, bonding increases the yield stress and,
after yield, the material tends to converge
towards the consolidation curve for reconstituted
material. These effects have been recognized by
Ohtsuki et al. (1981), Leroueil & Vaughan
(1990), Nova (1992), Gens & Nova (1993),
Vaughan (1997) among others.
4.1 Gens & Nova model (1993)
Gens & Nova (1993) proposed a constitutive
model for bonded soils and weak rocks which
was focussed in the role of the yield phenomena
and the consideration of a bonded material
compared with the destructured one.
The behaviour of the cemented soil will be
elastic if the stress state ij is within a yield
surface domain:
f  ij , k   0
where ψk is a vector that contain n constitutive
parameters.
The shape and/or position of the yield surface
will change once yield is reached and parameters
included in ψk will change also. Gens & Nova
linked these changes in shape and position to the
plastic strains (prs) experienced by the soil:
f  f  ij , k  rsp   0
The consistency condition df=0 reads
f f  k p
df   rs  0
 ij  ij  k  rsp
Using the consistency condition and defining a
convenient plastic potential g(ij), the plastic
strain rate is defined as:
 g 1 g f
rsp    to the bonding using a decreasing function
 rs H  rs  ij  ij
where
f  k g
H 
 k  rsp  rs
is the hardening modulus.
Bonding is characterized in terms of the
difference in void ratio e between the normal
consolidation line (NCL) and the current
compression line for a particular value of p’. In a
triaxial space (q, p’), bonding increases the yield
surface which grows towards the right increasing
the elastic domain and towards the left increasing
the real cohesion and the tensile strength (see
Figure 57). Two parameters controls the yield
surface of bonded soil: pco that reflects the yield
stress of the bonded soil under isotropic
compression and pt , related to the cohesion and
the tensile strength. Both parameters increase
when bonding increases. These parameters are
linked with bonding as follows:
p co p Hs>Hd, the yield surface will evolve as is
 f (b) and t  f t (b)
pc pc
where b is a non-dimensional variable
representing the amount of bonding. In the first
case, f(b) tends to 1 when b tends to 0, but in the
second case, pt tends to zero as b decreases.
Figure 57.Influence of bonding on
compressibility and yielding of structured
materials (Gens & Nova, 1993)
The evolution of yielding conditions was
controlled by the unbonded plastic hardening (or
softening) and by bond degradation represented
by their hardening modulus Hs and Hb,
respectively. In that case the hardening modulus
H is the sum of two terms:
H  Hs  Hd
Hs produces an enlargement or reduction of
the elastic domain as for the unbonded soil. Hd
produces a shrinkage of the yield surface due to
bond degradation. This degradation can be
related to a damage measure, which must depend
to the plastic strains. Gens & Nova (1993)
defined h as the damage variable that was linked
b=b(h) (see Figure 58). h is a monotonically
increasing function of the plastic strains h=h(p)
where p is the plastic strain tensor. For instance,
under triaxial conditions this leads to h=h(pq,
pv), where pq and pv are the plastic shear and
plastic volumetric strains.
Figure 58.Evolution of bonding with the damage
parameter (Gens & Nova, 1993)
If a sample is confined under a high pressure
and then is sheared, it yields in point B (figure
59) where Hs is positive (since hardening and
degradation are developed simultaneously). If
indicated in Figure 59 until strains cause a
reduction in H leading to the soil failure at H=0.
The hardening modulus H may become
negative due to bond degradation. In this case,
the yield surface will shrink and the strength will
decrease (softening). However, softening can
also be developed without bond degradation
under low confining pressure (in this region
Hs<0). Gens & Nova stated that the use of an
associated (f=g) or not associated (f≠g) flow rule
has not a strong influence on the qualitative
prediction of the model.
Figure 59.Evolution of the yield surface (Gens &
Nova, 1993)
To validate this framework Gens & Nova
(1993) used the model developed before by Nova
(1988) as reference for the unbonded material.
The yield function for bonded soil is defined
by:
p `* 3 2 
f  3  3 ln   *2    1   *   0
p co 2 9 
 both cases. Results show a stiffer response for
where p '*  p' pt , and  *  q .
p '*
bo=2. However, after yielding, they converge
To specify the relationships between bonding towards the Ko line obtained for unbonded
parameter b and pco and pt they defined: material. Results obtained in both examples
f (b)  p co p c  1  b show a good agreement with experimental data
presented by Gens & Nova (1993) and also with
f t (b)  pt p c   t b the mechanical behaviour of soft rocks and
The function of the bond degradation with structured soil available in the literature.
increasing damage (h) was defined as: Yield function f and plastic potential g are
b  bo e  h  ho  isotropic functions of stress invariants which
imply that the material behaviour is isotropic.
where the variation of the damage parameter is This model provided a good framework to
given by: develop more advanced models where anisotropy
dh  h1 d  qp  h2 d  vp and tensile strength are incorporated as will be
This expression implies that damage increases presented below.
monotonically independently of the sign of the
plastic strains. Both, plastic compression and
dilation contribute to the degradation of the
material. Plastic shear strains cause also damage.
The hardening of the unbonded component is
assumed isotropic, and in particular, a single
hardening parameter for triaxial condition is
defined by
p p
p c  cp vp  cp qp  0
 v  q
Nova (1988) included the deviatoric plastic
strains in the hardening law expression in the
form:
 p
  
1

  v   3 2  q  
p 2 2

p c  ( p c ) i exp 
 Bp 
 
where ξ and Bp are model parameters and (pc)I
is the value of pc when plastic strain is zero. The
plastic potential g was assumed to be similar to
the yield function:
p `* 3 2 
g  9  3 ln   *2    1   *   0
p co 2 9  Figure 60.Simulation of an oedometric test with
Finally, a hypoelastic law is used to describe different bonding values (Gens & Nova, 1993)
the behaviour within the yield surface,
ve  kp ' p' and qe  L 4.2 Lagioia & Nova model (1993)

An advantage of this formulation is that the
bond component is independent of the
constitutive law for the unbonded soil so that
different bonding models can be used.
Figure 60 shows the simulation of triaxial
compression test with different initial confining
pressures at the same degree of initial bonding,
bo=1.
One dimensional tests were also simulated and
results are presented in Figure 61 for bo=1 and
bo=2. An initial value of pc=50kPa was used in
Using the same mathematical framework devel-
oped by Gens & Nova (1993), Lagioia & Nova
(1993) presented a constitutive model to describe
the mechanical behaviour of soft rocks.
Lagioia & Nova (1995) introduced two yield
surfaces (for the structured and de-structured
states (Figure 62). Hardening was controlled by
volumetric and deviatoric plastic strains. No
anisotropic-induced anisotropy was introduced in
these models.

Figure 61.Simulation of a triaxial test with a
bonding value of bo=1 (Gens & Nova, 1993)
Figure 62.Structured and destructured yield
surface in the Lagioia & Nova model (Lagioia &
Nova, 1995)
4.3 Rouainia & Wood model (2000)
(structured soils)
Rouainia & Wood (2000) developed a rate-
independent constitutive model for structured
natural clays formulated on the basis of
kinematic hardening, including also ingredients
of bounding surface plasticity (Dafalias, 1986).
The advantage of the kinematic hardening
models is that it allows saving information about
the recent stress history of the soil introducing an
additional surface (bubble). This bubble can
move within the large-yield surface (bounding
surface) according to the current stress state
using a kinematic hardening rule. Plasticity
theory can be used to describe the inelastic
behaviour using a classical flow rule and a yield
surface. When the current stress state moves
beyond the initial boundary of the bubble it will
move it until it touches the structured yield
surface. The model was shown to reproduce
undrained triaxial tests on an overconsolidated
clay
4.4 Kavvadas & Amorosi model (2000)
(structured soils)
It has similarities with the previous model of
Rouania & Muir Wood (2000). Two yield
surfaces, an internal plastic yield surface and a
bond strength envelope are defined. The second
one is associated with structural degradation
(induced by compression and shearing). Two
types of hardening are introduced: isotropic and
kinematic. In this way loading induced
anisotropy can be modelled. The model was
validated against some triaxial tests on
anisotropically consolidated Vallerica clay,
described previously
4.5 Vaunat & Gens model (2003) (hard-
soils/soft-rocks)
This model combines the framework proposed
for structured soils and quasi-brittle materials
into a conceptual and mathematical framework
developed to reproduce the soil/rock transition of
bonded argillaceous materials.
The main feature of this model is that it
considers two materials: an argillaceous matrix
and the bonds (see Figure 63). This assumption
implies that the external load will be distributed
between the matrix and bonds according to the
constitutive law of each material. In addition, an
strain compatibility condition must be satisfied
between local strains and external deformation.
Different volumetric ratios for matrix and
bonds can be defined as follows:
VS  VMatrix  Vbonds is the total volume of solids,
V
e  Voids is the total void ratio,
VSolids
V
eb  bonds is a measure of the volume occupied
VSolids
by bonds,
Vbonds  VVoids
eM  is a measure of the volume
VSolids
not occupied by the clay matrix.
 
qb  qb 0  1  D Gb 0  qb  Gb 0  qb  Gb  qb
where pb 0 and qb 0 are the mean and deviatoric

stress of undamaged material, respectively,  vb

and  qb are the strains developed inside the dam-
aged bonds, while K b and Gb are the damage
modulus. A convenient alternative damage vari-
 1 
able, L, defined as L  ln  (Carol et al,
1 D 
2001). L depends only on the elastic energy de-
Figure 63.Schematic arrangement in a bonded fined as
argillaceous rock (Vaunat & Gens, 2003)

ub 
 p b  pb 0  vb  qb  qb 0  qb 
The associated volumetric strains are given by:
de 2
d v   is the total volumetric strain
1 e The evolution of L can be obtained by drawing
de the change in elastic moduli during
d vb   b is the volumetric strain of the
1 e unloading/reloading cycles under different
bonds, applied energies. Using this damage variable,
de strains in the damaged bonds and the damage
d vM   M is the volumetric strain of the modulus can be re-written as:
1 e
clay matrix. Taking in account that eM=eb+e, the  
 vb  e  L  vb and  qb  e  L  qb
volumetric strains follow the same relationship:
d vM  d vb  d v and d qM  d qb  d q K b  e  L K b 0 and Gb  e  L Gb 0
Another feature of this model is that structure
effects are applied to the bonds so that the Stress equilibrium between applied external
argillaceous matrix behaviour can be defined stresses and internal stresses (distributed between
using a conventional law for destructured bonds and matrix) during any strain increment,
material. This means that the argillaceous matrix leads to:
will have the same local behaviour  d  d
independently of the degree of bonding. p  p M 1  vb    pb  p b 0  vb
 d v  d v
Experimental test have shown that bonds
exhibit typically a brittle behaviour. Using the  d qb  d
q  q M 1    qb  qb 0  qb
theory of quasi-brittle materials, Vaunat & Gens  d q  d q
applied an elastic damage law to model the 
behaviour of bonds. They used the general The main assumption made is that the ratio
anisotropic damage model proposed by Carol et between volumetric strains inside the bonds and
al. (2001). However, only the isotropic part was the overall volumetric strain is constant and
used in this model for simplicity. The scalar equal to a new variable χ (χ0 for undamaged
damage theory assumes a linear elastic behaviour state). A similar criterion was assumed for the
of the material but during loading the cross deviatoric strains. Mathematically this can be
sectional area implied in the definition of stress written as:
is reduced due to the development of micro- d vb d qb
  and 
cracks. d v d q
If D is defined as the ratio between micro-cracks
When damage is developed inside the bonds
area and overall area D  Amicro cracks / Aoverall , and (L>0), the expressions for the mean and
K b 0 and Gb 0 are the bulk and shear modulus of deviatoric stresses are given by
undamaged material, the mean and deviatoric
stresses are given by: p  1    p M    pb  pb 0 

pb  pb 0  1  D K b 0  vb  K b 0  vb  K b  vb q  1   q M   qb  qb 0 
  vb e  L
where     0e L .
v
Vaunat & Gens (2003) applied this model to
simulate the behaviour of two materials. First,
they simulated an isotropic compression test on a
structured synthetic clay. Then, they applied
their model to reproduce the mechanical
behaviour of a tertiary sedimentary mudstone of
low porosity with a content of calcium content
close to 20% (Callovo-Oxfordian clay).
In this case, the failure surface of the intact
material was taken as:
q  qt 2 m
 q  qt   m p  pt   Rc  0
Rc 3
where Rc  RcM 1    . For this case, the
variation of the Young modulus is given by
(from the isotropic part of the elastic law):
E  1   0 E M 1   0    0 Eb 0  0
Results of simulation on Callovo-Oxfordian
clay are shown in Figure 64 in which simulated
shear strength values are compared with
experimental data. Experimental results lie inside
the zone defined by the structured and
destructured material.
Figure 64.Experimental and simulated peak
shear strength for Callovo-Oxfordian clay (Vau-
nat & Gens, 2003)
In addition, this model was used to simulate a
multi-stage triaxial creep test. To take into
account the creep phenomena, a viscous
component was introduced in the constitutive
law for the bonds. The simulation and the
experimental results are shown in Figure 65
where it can be observed that this model can
reproduce the delayed damage of the clay.
Figure 65.Simulation and experimental result of
a multi stage triaxial creep test (Vaunat & Gens,
2003)
This model was used to reproduce the thermo-
hydro-mechanical (THM) behaviour of Opalinus
clay in the Mont Terri Underground Laboratory
during the heating test (HE test, see section
2.1.2) by Muñoz & Alonso (2005a). A horizontal
niche of 5.40m wide and 4.70m high was
excavated and then a vertical borehole was
drilled. Subsequently, a central cylindrical heater
and bentonite buffer between heater and rock
was emplaced into the borehole. Then, the
bentonite was hydrated. The test involved a
history of heating and cooling which was
introduce to investigate the rock response. Pore
water pressures, stresses and temperatures were
monitored at specific points during the test. This
test was modelled by Muñoz & Alonso using the
finite element code CODE_BRIGHT (Olivella et
al, 1996) developed at the Department of
Geotechnical Engineering and Geosciences at
the UPC in Barcelona. Some results of
modelling were compared with in-situ
measurements on Opalinus clay as described
below. Simulation was divided in two parts: (i)
an excavation of the HE niche (420 days), and
drilling the vertical borehole BHE-0 during 10
additional days (pore water pressures,
temperature and stress state were calculated
during this process), and, (ii) the bentonite buffer
emplacement followed by hydration (982 days),
heating (554 days) and cooling (365 days)
phases.
 Due to the low porosity of Opalinus clay
(close to 14%) the yield surface followed the
Hoek & Brown criterion, a similar choice of
Vaunat & Gens (2003) for the Callovo-
Oxfordian clay. Bond and clay matrix were
modelled following the framework previously
described (bonds by means of a logarithmic
damage law and clay matrix by means of a
conventional model for clay). On the other hand,
bentonite was modelled using a thermoplastic
model for unsaturated soils but it will not be
described in this paper (to more details see Lloret
et al, 2002). A schematic representation of the
yield surfaces used for the Opalinus clay model
is presented in Figure 66
.
During heating, liquid pressure increments are
induced by the thermal expansion of the water.
The magnitude of the increments of liquid
pressures is controlled by several factors: the rate
of temperature increase, the rock permeability,
the rock porosity, the rock stiffness and
geometry and boundary conditions of the
experiment (Muñoz & Alonso, 2005). The model
captured the liquid pressure tendency during the
whole test (see Figure 69).

Figure 66.Yield surfaces for Opalinus clay model

(Muñoz & Alonso, 2005a) (a)

Muñoz & Alonso started the numerical

modelling of the test excavating the niche in the
host rock which had an initial vertical stress y=-
6.0MPa, and an initial horizontal stress equal to
z=x=-4.80MPa. A hydrostatic pore water
pressure distribution was assumed. In addition, a
boundary condition of suction equal to
s=6.80MPa was applied to the HE niche
perimeter.
Figure 67 shows the horizontal and vertical
stresses calculated at the end of the niche
excavation. It was interpreted that the damaged
zone could extend horizontally to a depth of
2.5m from the niche wall (see Figure 67a). In
the vertical direction the depth of the damage
zone was close to 4.0m (see Figure 67b). A
tensile vertical stress of 0.5MPa was calculated (b)
at the crown of the niche. The generation of Figure 67.Simulation of in-situ stress variation
tensile cracks was reported by Rejeb & Cabrera due to the HE niche excavation: (a) horizontal
(2006) for the new galleries excavated in stress, (b) vertical stress (Muñoz & Alonso,
Tournemire shale (see section 2.1.1). 2005a)
The calculated pore water pressure distribution Figure 70 shows the effective stress path
at the end of the niche excavation is shown in followed by a point of the rock mass located
Figure 68 where the development of a close the rock-bentonite interface (r = 18cm).
unsaturated zone around the niche (saturation Results of model suggest that this point reaches
decreased up to 85%) may be observed. The limit conditions at some instant during hydration.
width of this unsaturated zone was close to 1.5m Once the initial strength envelope is hit, limited
(Muñoz & Alonso, 2005a). rock degradation is produced. The stress path
shows how the stresses are maintained at the Results presented above have shown the
current limiting strength surface. Some capabilities of the model of Vaunat & Gens
additional yielding is calculated during the (2003) to predict and simulate the THM
heating phase. During the cooling phase, an behaviour of soft-rocks.
unloading of the represented point of the rock
was produced (Muñoz & Alonso, 2005a). 4.6 Muñoz & Alonso model (2005)
This model was developed to describe the long
term mechanical behaviour of argillaceous rocks
and its anisotropic nature. It was applied to
model Opalinus clay (see section 2.1.2). The
model was formulated according to viscoplastic
theory developed by Perzyna (1966) and
includes the anisotropic strength and
deformability of matrix and discontinuities of the
rock mass.
According to Perzyna’s theory, in an
elastoviscoplastic model the elastic strain can be
represented by a spring in which the strains are
reversible and independent of time (see Figure
71). Elastic strains will be produced by sliding of
the spring if the stress applied  is lower than the
failure stress f. However, irreversible (plastic)
Figure 68.Liquid pressure distribution around strains will be produced if the stress applied  is
the HE niche after 420 days (Muñoz & Alonso, higher than the failure stress f due to the relative
2005a) displacement between the blocks of the sliding
element. This process is delayed by the action of
the dashpot located in parallel to the sliding
element where the strains generated are
irreversible and increases linearly with time
(Muñoz & Alonso, 2005b).
Due to the anisotropic nature of Opalinus clay,
a transversely isotropic behaviour was included
in the stress-strain relationship expressed by
means of the Hooke’s law  '  D ':  ' (where the
apostrophe indicates the relation of stress and
strains in a local Cartesian coordinate system
(X’, Y’, Z’). Local coordinates and global
Figure 69.Time evolution of liquid pressure at coordinates (X, Y, Z) are not coincident but both
different depths during the HE test (Muñoz & are related by means of two angles: the strike
Alonso, 2005a) angle () and the dip angle () of the isotropic
10
Stress path
plane in relation with the global system (see
9
Initial failure envelope
Final failure envelope
HE niche excavation
Figure 72). For this reason, the constitutive
model includes the tensor of transformation of
BHE-0 drilling
8 Hydration of bentonite
Heating stage
Heating stage

coordinates.
Cooling stage
First yield
7

6 The model uses a hyperbolic yield surface as

J [MPa]

5 Initial yield surfase

failure criterion in the meridional plane (p, J,
4
Final yield surface Hydration
θ=constant) in conjunction with the
3
Cooling stage
trigonometric rounding of the octahedral plane
2 Borehole drilling (p=constant, J, θ) according to Abbo & Sloan
1 Niche excavation (1993). The yield function assumed for the clay
0
-2 -1 0 1 2 3 4 5 6 7 8 9 10
matrix is given by
p' = ('1 + '2 + '3 ) / 3 [MPa]
FM  p  sin   J 2  K 2 ( )  a 2  sin 2   c  cos   0
Figure 70.Stress path of a point located to 18cm
from the borehole wall (Muñoz & Alonso,
2005a)
 1 isotropic softening). The softening behaviour is
where K ( )  cos( )  sin  sin  , and given by decreasing the parameters (, c and ).
3
The decreasing law of the parameters (, c and
a  c  cot    . In this case χ is the tensile ) is controlled by a scale function S ( ) which
strength, c is the cohesion and  is the friction depends on the viscoplastic work W p   T  vp .
angle. This scale function (Lopez , 1999) is given by:
P
e  
S   
1  (e   1)
Spring e where   W vp is the viscoplastic work. This
scale function can be different for each of the
model parameter S  ( ), Sc ( ) and S ( ) if dif-
ferent values of  are used. According to Lopez
vp
Dashpot
()
Sliding
Element (1999) the evolution law for these parameters
can be given by:
(f)

   0 (1  S  ( )) 
P
  
Figure 71.Schematic representation of an elasto- c  c0 1  Sc ( )  0 tan 0  S     Sc    
viscoplastic material (Muñoz & Alonso, 2005b)  c0 
X, Y, Z: Global coordinate system
tan   tan 0  (tan 0  tan res )  S ( )
X', Y', Z': Local coordinate system
: Angle of strike (0º<360º) // Y
The viscoplastic potential Q is similar to the
with respect to Y axis hyperbolic yield function F , but it depends of
: Angle of dip (0º90º)
Z' the tensile strength, cohesion (c) and
 dilatancy angle The evolution of the

Isotropic plane
X' viscoplastic potential function Q is given by the
Y'
reduction of parameters (, c and  ). The
ip
fd

co

evolution law of the dilatancy angle ( is

eo

n
t ou
L in

Z Y defined in a way similar to the friction angle ,

(Muñoz & Alonso, 2005b). Figures 73 and 74
X
show the hyperbolic yield surfaces adopted for
the clay matrix and the joint of the rock,
respectively.
The total strain rate tensor  can be divided
Figure 72.Coordinates systems and orientation of into an elastic strain rate tensor  e and a
isotropic plane in Opalinus clay (Muñoz & viscoplastic strain rate tensor  vp , where the
Alonso, 2005b) elastic strain rate is instantaneous and reversible,
whereas the viscoplastic strain rate is time
A hyperbolic yield function was chosen for the dependent and irreversible    e   vp . The
joint system of Opalinus clay which is dependent elastic strain tensor is obtained using the
of three parameters of the joint: tensile strength Hooke’s law  e  D 1 :  . The viscous and
j, cohesion (cj) and friction angle j. plastic effects are both included in the
It is expressed in terms of effective normal viscoplastic strain rate given by:
stresses ( z' ) and shear stress ( J ) acting on the
isotropic planes (Lopez, 1999). The hyperbolic  vp   QM   QJ 
    M  ( F ) M    J  (F )J  
yield surface for the joint system is given by:        
FJ   J 2  (cJ   N tan J ) 2  (cJ   J tan J ) 2  0
where  is the viscosity parameter, Q is the
where  J   y2' x '   z2' x ' is the shear stress in the viscoplastic potential and F is the yield
isotropic plane, and  N   z ' is the normal ef- function.  ( F ) is a monotonically increasing
fective stress acting in the isotropic plane. overstress function which defines the magnitude
To simulate the quasi-brittle behaviour of the of viscoplastic strain rate. It is normalized by the
Opalinus clay rock the hyperbolic yield surface initial yield stress F0 .
can translate and/or contract (kinematic and
The tensor gradient of the viscoplastic potential (1997) and Vàles et al (2004) for Tournemire
Q shale.
represents the direction of the viscoplastic

flow. In order to consider dilatancy effects under
shear stress, a non associated flow rule has been
adopted Q  F .
Mohr - Coulomb yield surface
Initial hyperbolic yield surface (0, C0, 0)
Hyperbolic yield surface (, C, )
Final hyperbolic yield surface (res, Cres, res)
Deviatoric stress [J]

0

Mohr - Coulomb

Hyperbolic
yield surface

res

0 0
Mean stress (p)

Figure 73.Evolution of hyperbolic yield surface

adopted for the rock (Muñoz & Alonso, 2005b)
Initial hyperbolic yield surface (0, C0, 0)
Hyperbolic yield surface (, C, )
Final hyperbolic yield surface (res, Cres, res)
Shear stress in the joint plane [J]

Hyperbolic
yield surface

0

Figure 75.Stress-strain behaviour of the samples

res
with different angles of dip (45º and 90º) (Muñoz
& Alonso, 2005b)
0
20
Normal stress in the joint plane (N)

Figure 74.Evolution of the hyperbolic yield

surface adopted for the joints of (Muñoz & 15
Vertical stress (1) [MPa]

Alonso, 2005b)
10
A viscoplastic stress state outside of the yield
surface can exist. In this case, there is no
condition forcing stress state to stay on the yield 5
Vertical stress - Dip

surface. On the contrary, in the rate independent Model

Laboratory test

plasticity theory the stress state must always 0

remain in the yield surface (consistency 0 15 30 45 60 75 90

condition).
Dip () [º]

Figure 76.Strenght variation with the dip angle

Muñoz & Alonso (2005b) calibrated this for Opalinus clay (Muñoz & Alonso, 2005b)
model using experimental data reported Schnier
(2004) using a 3D model of the samples. The HE experiment (described in a previous
Samples with different dips were simulated (see section) was simulated, in a 3D calculation,
Figure 75). The figure shows results of 3D using the model just described. Figure 77 shows
simulation of samples having dips of 45º and 90º, the isometric view of the finite element mesh of
and subjected to a confining pressure of the borehole. Simulation was divided in four
3=1MPa. Calculations were compared with stages: (i) excavation of the borehole (10 days)
experimental data and a good agreement between where a initial suction of s=6.80MPa was applied
model and tests was found. Figure 76 shows the around the borehole wall. Suction increased
variation of the simulated and experimental during the borehole excavation from 6.80MPa to
strength with dip angle. These results are 11.5MPa (under a constant temperature of 15º);
consistent with data reported by Niandou et al (ii) hydration of the bentonite buffer (33 months)
where radial stresses were increased from 0MPa
to 15MPa during the first 200 days of the The stress evolution around the borehole is
hydration stage, and then remains constant; (iii) presented in Figure 79. It can be observed a
heating stage (18 months) where a boundary decrease in the radial stress during excavation,
temperature condition of 65º was applied on the followed by an increase during hydration until a
borehole wall from -4.0 to -6.0m depth; the stable value is reached. Circumferential stresses
temperature applied was the maximum increase during the excavation phase but then
temperature reached by the rock in the rock- they decrease during the hydration stage
bentonite interface (r =15cm) obtained from the followed by a slow increase due to the heating
2D model; and finally, (iv) the cooling stage (9 stage.
months). -10

Calculated liquid pressures agree well with Radial stress imposed

sensors data obtained in sensors located at

different radial distances from the borehole wall
(Figure 78). -5
Stresses
Radial stress (Borehole wall X direction)

Stress [MPa]
Circumferential stress (Borehole wall X direction)
Vertical stress (Borehole wall X direction)
Radial stress (Borehole wall Y direction)
Circumferential stress (Borehole wall Y direction)
Vertical stress (Borehole wall Y direction)
Radial stress(Isotropic model)
Borehole BHE-0 Circumferential stress (Isotropic model)
Vertical stress (Isotropic model)
0
Pw = Hydrostatic pore water
20.00 m

5
0 200 400 600 800 1000 1200 1400 1600 1800 2000
Time [days]

Figure 79.Evolution of the stress state on

borehole wall in both X and Y direction.
Isotropic and anisotropic model (Muñoz &
Alonso, 2005b)
Z 20 m
.30 .30
m 20
Y
Finally, Muñoz (2006) performed a
X

comparison of the isotropic and anisotropic

Figure 77.3D finite element mesh used to model models in terms of the development of the
of HE experiment (Muñoz & Alonso, 2005b) damage zone around the borehole (see Figure
80).
When temperature is increased a sudden
increase in liquid pressure is recorded in points 1 Plastic zone
and 2. Under constant temperature the liquid e = 0.08 m

pressure tends to dissipate followed by a sudden

drop when the cooling stage starts. It is followed
by a slow increase in pore water pressure Borehole
towards stationary conditions.
1
Liquid pressure
1- Model Rock (r = 0.65m z = -5.00m)
2- Model Rock (r = 1.65m z = -5.00m)
(1)
Measured QB19/2 (r = 0.65m z = -5.00m)
Measured QB20/2 (r = 1.65m z = -5.00m)
0.8

0.6
Liquid pressure [MPa]

Plastic zone
e = 0.08 m
0.4

0.2 Borehole
(2)

-0.2
0 200 400 600 800 1000 1200 1400 1600 1800 2000
Time [days] Figure 80.Plastic zones developed in a horizontal
Figure 78.Evolution of liquid pressure with time section at 5.0 m depth: (top) Isotropic model,
in points located in rock during the all phases of (bottom) anisotropic model (Muñoz & Alonso,
the HE test (Muñoz & Alonso, 2005b) 2005b)
 Despite of its increased complexity and the
added difficulty to find material parameters, it is
believed that a realistic simulation of shales
requires the development of anisotropic models.
5. A CONSTITUTIVE MODEL FOR SOFT
CLAYEY ROCKS: Pinyol, Vaunat &
Alonso, (2007)
Engineering works such as excavations have
two distinct effects on the exposed materials: a
reduction in confining stress (and possibly an
increase in deviatoric stress components) and a
cyclic change in humidity due to atmospheric
interaction. A new constitutive model inspired in
the observed features of clayey rocks, outlined
before has been developed by Pinyol et al.
(2007). Specific attention is given to the
simulation of weathering effects and, in
particular, to two important mechanisms that are
believed to control, in practice, the loss of
mechanical properties of these materials: the
straining associated with stress changes and the
wetting-drying cycles imposed by atmospheric
action.
In this model, the clayey soft rock is
conceptualised as a composite material made of a
clay matrix and a distributed network of bonds,
which occupy partially the macropores of the
clay matrix (Vaunat & Gens, 2003). The clay
matrix has its own structure: clay platelets are
stacked in aggregates that may swell or shrink.
Some examples of clay stacks in shaly rocks and
clay shales are given by Pye & Krinsley (1983)
and Seedsman (1987).
Volume changes of these stacks (which may
integrate thousands of individual clay sheets) are
thought to disrupt the bonded structure of the
rock. The structure of the clay matrix is
conveniently described as a micro-macro
structure. “Micro” refers to the porosity inside
the clay aggregates. “Macro” describes the void
space between clay aggregates. The “macro”
space includes open voids available for fluid
transfer and the volume occupied by the
cementation minerals (bonds). Two types of
pores coexist in the medium: the small pores
inside the aggregates and the relatively large
pores between aggregates (see Figure 81).
Figure 81.A conceptual representation of the
bonded clayey model.
5.1 Matrix behaviour
The matrix reacts to stresses  Mij  and suction
changes. For expansive materials, an explicit
consideration of the two structural levels defined
for the matrix (micro and macro) was used to
describe the features of expansive soil behaviour
according to Gens & Alonso (1992) and Alonso
et al (1999). Since clay expansion is interpreted
as local hydration phenomena in which clay
aggregates “capture” the water available in
macropores, it is reasonable to assume that, away
from equilibrium, two different suction values
exist in the soil: a microstructural suction, smicro,
prevailing inside the aggregates and a
macrostructural suction existing in macropores.
The microstructural behaviour is assumed to be
volumetric and non-linear elastic. Mean stress
and smicro control their volumetric response,
where the mean stress in the aggregates is in
equilibrium with the externally applied mean
stress on the matrix, pM . Suction in macropores,
smacro, will not be necessarily in equilibrium with
smicro. Local suction gradients can result in local
fluid transfer. However, they only present the
drained response of the material (smacro = smicro=
s)
Since clay aggregates are supposed to remain
saturated, in view of the very small spacing
between clay platelets, the effective stress,
defined by the sum (pM + smicro) holds and a
simple constitutive law may be assumed for the
volume change of aggregates:
d m


m d p  s
M
  d p
M
s 
vol
1  em pM  s Km
where m is a (constant) compressibility
coefficient and Km is the bulk modulus of clay
aggregates.
Macrostructural behaviour includes the
competition of two mechanisms: the response of
the matrix skeleton (organized in aggregates) to
load and suction, as it is considered in a non
expansive material, and the macrostructural
arrangement due to microstructural swelling and
shrinkage. The first mechanism is modelled
through the Barcelona Basic Model (Alonso et
al., 1990). The second mechanism is introduced
by means of an additional component of
volumetric plastic strain which depends on the
volumetric change experienced by the
microstructure and the distance of the current
stress state to the collapse yield loci. The onset
of this coupled plastic strain is defined by two
additional yield loci: The SD (Suction Decrease)
yield surface which marks the development of
irreversible swelling strains, and the SI (Suction
Increase) surface, which defines the development
of irreversible shrinkage.
The elastic response of the arrangement of
aggregates (macro) is defined by an expression
similar to the last equation, but in this case the
effective stress principle does not hold and two
separate contributions associated with the matrix
stress and the (macro) suction lead to the elastic
strain:
 dpM s ds dpM ds
dMvol 
e
   is subjected to a given amount of strain energy,
 
1  eM* pM 1  eM* s  patm KM K s
where  and  s are the elastic macro
stiffness parameters for changes in mean matrix
stress and in macro suction, respectively. KM and
Ks are the bulk elastic moduli of the clay
aggregate arrangement against changes in matrix
stress and (macro) suction. patm indicates the
atmospheric pressure. A representation of
yielding states of the model (for isotropic stress
states) is given in Figure 82 in a plane defined by
the mean matrix stress (pM) and the suction s.
When yield loci SI or SD are activated,
additional irreversible strain component are
generated. In the formulation developed the
plastic straining associated with basic (elastic)
mineral expansion or contraction is controlled by
the current overconsolidation ratio.
The formulation of the plastic straining
associated with suction changes in terms of two
yield limits, SI and SD helps to reproduce the
evolving deformation of clays when several
wetting-drying cycles are applied.
Figure 82.Elastic zone and yield loci for the
matrix expansive model (volumetric behaviour)
(Pinyol et al, 2007)
5.2 Bond behaviour
It may be expected that, for high bond
concentrations, the nature of the bond material
will dominate the bond constitutive behaviour.
For low to moderate concentrations, which is the
case of hard and cemented clay formations, the
nature of bond material has probably a more
limited effect. Experimental results have
suggested that bonding introduces a stiff
response before yielding and that it also provides
a distinct brittleness. The idea favoured in the
model is that bonding becomes damaged when it
irrespective of the stress path applied. This
hypothesis is also consistent with the idea that
bonding is established once the matrix is
stressed. Bond strain energy takes as a reference
zero state the initial stress of the investigated
stress path. Bond behaviour was modelled using
an isotropic damage theory (Carol et al, 2001) in
terms of a scalar damage parameter D which
varies between 0 and 1. Figure 83 shows that the
amount of bond damage must control the
intensity of stresses resisted by the bond.
Carol et al. (2001) proposed that damage
should be linked to the increments of energy
stored in the bonds per unit of volume. This
energy is defined as the elastic secant energy
which would be recovered upon unloading
1
( u b  bij bij ). With this formulation, current
2
bond damage locus is defined by a threshold (r0)
of the secant elastic energy that can be
represented by an ellipse in pb-qb space. Inside
this ellipse, the bond stiffness remains constant.
When changes in the tensional state of the bond
lead to the secant elastic energy to reach the
threshold, damage takes place (D increases) and
stiffness reduces. The damage evolution is
determined by means of the function suggested
by Carol et al. (2001):
r  L   r0 e r1L  u b
Where L=ln(1/(1-D)) and r1 determines the
damage rate. The consistency condition
associated with this energy locus allows the
determination of L.
Figure 83.A damaged bond will not be locally
strained by a macro-deformation
5.3 Strain and stress partition
The bond strain have been defined as bij  ijv
where (o , L) is assumed to depend on an ini-
tial reference value 0, and on the logarithmic
damage variable, L. This strain relationship ex-
plains that in a highly damaged material ( is
small) the local bond deformation will be small
when the macrovoids are deformed (see Figure
83). On the contrary, the local bond strain will
increase when damage is reduced because the
bond stiffness is high in comparative terms.
In order to derive an expression for the external
stress, ijext , in terms of the matrix, Mij , and
bond,  , components the principle of virtual
b bonded material. Effect of the initial damage
ij
work is applied as follows:
ijext dijext  Mij dijext  ijb Cb dijb
Where Cb is the bond concentration and dijext ,
dbij are strains associated with the defined
stresses. The model may reproduce the behaviour
of a wide class of materials. For instance, in the
case of infinitely rigid clay aggregates the
material is close to a cemented granular soil.
When bond concentration is small, a regular
elastoplastic clay soil (saturated or unsaturated)
is recovered
5.4 Validation of the model
In order to illustrate the capabilities of this
model, Pinyol et al. (2007) performed synthetic
oedometer and triaxial tests to evaluate the effect
of varying the initial damage state and the
damage rate. One example is provided in Figure
84 which represents simulated oedometer results.
The initial stiff response of the material
corresponds to the undisturbed state. The slope
of the first part of the compression curve is
identical for all the simulated tests. The initiation
of damage is controlled by the initial size of the
bond energy locus (r0). As load is increased, the
induced damage results in a sharp transition
towards a softer response (Figure 84). As strain
accumulates the material evolves toward the
matrix behaviour. The reason is that, as bonding
degrades, the stress is progressively transferred
to the matrix. The elastoplastic matrix response
(a continuous line in the figure) has been
computed with the same parameters of the
undisturbed bonded material but imposing Cb =0.
0.
Figure 84.Simulation of oedometer tests for a
state r0 (Pinyol et al, 2007)
To illustrate the behaviour under triaxial
conditions, a hypothetical soft rock has been
defined. The bond strength is partially controlled
by the r0 value, because it marks the maximum
(secant) strain energy accepted by the bonds
before the degradation process is initiated.
The bonding deformation parameter 0
controls also the initial stiffness and the peak
strength of the composite material because it
provides the amount of straining arriving at the
bonds. 0 is a constitutive variable that defines
the effectiveness of the bond to limit the changes
in macroporosity when stress is applied. A high
value (0=5) indicates that porosity changes are
essentially described by bond deformation. In the
opposite extreme, (0=0), the bond material does
not oppose any restriction to the matrix
deformation.
The effect of bond concentration, (when 0=1)
is analysed in Figure 85. Bond concentration is
assumed to change from Cb = 80% to 0%. The
initial stiffness remains fairly constant, but the
peak strengths change substantially with the
amount of bonding. The bond degradation law
provides a typical strain softening behaviour.
However, in some tests, when the bond
concentration is low, the matrix behaviour at
large strains provides a slow, ductile gain in
strength. This effect could be removed by
changing some of the model parameters, but it
shows the capabilities of linking two different
basic material behaviours (bond and matrix).
calculated shrinkage and swelling strains are
given in Figure 87. A final swelling strain close
to 13% was obtained in the model.
The calculated triaxial response of the two
specimens is compared in Figures 88 and 89. The
model captures well the extreme degradation
experienced by this material during the swelling
cycle. The deviatoric response is reasonably well
reproduced. The volumetric response shows the
correct trends: the undisturbed specimen dilates
strongly after peak strength. However, the
expanded material shows a strong compressive
behaviour during shear, probably explained by
the extreme degradation of the shale after several
days of unconfined soaking, which is not well
reproduced by the model.

Figure 85.Simulation of triaxial tests for a

bonded material. Effect of the bond Figure 86.Stress paths on La Biche shale (Pinyol
concentration (Cb) (Pinyol et al, 2007) et al, 2007)

In the previous examples no reference to

suction is made. However, the matrix reacts to
suction changes and, as irreversible volumetric
swelling accumulates, bonding is degrading.
The set of triaxial tests presented by Wong
(1998) were selected for a comparison exercise.
The triaxial response of the intact rock specimen,
under a confining stress of 50 kPa, is compared
with the triaxial response of the same material,
once it was subjected to a drying-wetting cycle.
No details of the suction reached during drying
are given in Wong’s paper, but since the
specimen was exposed to the atmosphere of the
laboratory, a high suction (100MPa) was applied
in the simulation. The subsequent wetting is
simulated by reducing suction to a low value (0.5
MPa). Then the damaged specimen was sheared
under a 50 kPa confining stress. The stress paths
of the two specimens to be compared are given Figure 87.La Biche shale model. Calculated
in Figure 86. It was reported that the measured swelling strains during the drying-wetting cycle
free swelling strain of the wetted specimen was (Pinyol et al, 2007)
around 15%. In the simulation performed the

Figure 88.Triaxial tests on La Biche shale.
Simulated results: deviatoric and volumetric
behaviour (Pinyol et al, 2007)
Figure 89.Triaxial tests on La Biche shale.
Computed results on right column: deviatoric
and volumetric behaviour. (Pinyol et al, 2007)
6. SUMMARY AND CONCLUSIONS
In the first chapter of the paper the mechanisms
of weathering have been reviewed following the
expressions and views of a number of authors.
Stress and suction changes induced by geomor-
phological and atmospheric actions are believed
to be two major reasons for shale disintegration
in nature. Other physical and chemical mecha-
nisms have been described. Engineering works
lead also to weathering of clayey rocks. Rock
degradation associated with tunnelling has re-
ceived considerable attention in recent years in
connection with the research promoted by nu-
clear waste disposal agencies around the world.
This experience may be very useful for conven-
tional Civil Engineering works and therefore
some recent experiences have been described. It
was shown that unloading and Relative Humidity
changes inside the tunnel lead to the develop-
ment of an excavation disturbed zone around the
tunnel periphery, characterized by an increase in
porosity and permeability and a decrease of stiff-
ness. These are short term changes. Some exam-
ples of exposed excavations have also been de-
scribed. In nature it is frequent to observe hori-
zons marking the transition from fresh unweath-
ered rock, at depth, to highly weathered states at
the exposed surface. Increasing weathering,
which is characterized by an increase in porosity,
leads to a loss of brittleness, to a reduction of
stiffness and strength and to a contractant behav-
iour.
A limited number of laboratory experimental
programs provide some data on the nature of
weathering. Application of suction cycles, spe-
cially when the cycle involves wide ranges of
RH are particularly effective to destroy the intact
rock. Especially prone to weathering are shales
with an expansive clay matrix. All clay minerals
are expansive to a certain degree, a phenomenon
controlled by clay packing density and imposed
suction change. However, very active minerals,
such as montmorillonite, experience large strains
when subjected to suction cycles, which easily
disintegrate the rock. The behaviour of the re-
constituted clay shale matrix is a reference state
often used in the description of undisturbed or
intermediate states of weathering.
Although extensive field and laboratory
descriptions of weathering phenomena have been
published for several decades, a distinct recent
progress is the development of constitutive
models to handle “soft rocks and hard clays” a
wide class of materials of marked interest in
practice. Developments started when the
concepts of structured and bonded soil were
introduce to explain the differences in behaviour
between a “remoulded” (or standard) fabric of
soil and the real “in situ” structure of a variety of
soils. It was soon realized that the structure of
bonds could be destroyed (degraded) as strains
accumulate. Then, quantitative descriptions of
the bond component, and its evolution with
accumulation of irreversible strains, were
introduced into existing elastoplastic constitutive
models. A number of models, progressively
more sophisticated, have been proposed during
the last decade. Some of them have been outlined
in the paper. In some cases, the bond behaviour
is described by models developed for brittle
rocks. Some recent applications of these models
have also been described. The most recent work
involves the description of the claystone as a
composite of a potentially expansive matrix and
a brittle bonding. The model for the matrix is
developed within the framework of unsaturated
soil mechanics. In this way RH changes can be
explicitly considered. The examples described
show the capabilities of recent formulations. It is
felt that the studies on weathering have now
entered into a new phase of development because
constitutive models offer now a reasonable
predictive potential. Much remains to be done,
however, in terms of theoretical developments,
investigation into the relevance of a variety of
physical and chemical factors, validation of
models at a laboratory scale, development of
computational tools and application to field
cases.
ACKNOWLEDGEMENTS
The authors would like to acknowledge the assis-
tance and support offered by Benoit Garitte and
also by Dr. Juan Muñoz who give us the infor-
mation about experimental results and modelling
on Opalinus clay.
The second author acknowledges the financial
support provided by the ALBAN PROGRAMME
grants from the European Commission, EU
Programme of High Level Scholarships for Latin
America, id number E04D027285CO
. Bossart P., Trick T., Meier P.M. & Mayor J.C. (2004)
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