Weathering and degradation of shales: experimental observations and

models of degradation
Meteorizacin y degradacin de rocas arcillosas: observaciones
experimentales y modelos de degradacin
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 degradacin de rocas
arcillosas. Se destacan dos mecanismos: los cambios de tensin y los ciclos de succin. Su efecto sobre la
degradacin de la roca en el contorno de tneles se ha descrito a partir de unos pocos ensayos a gran escala
realizados en laboratorios subterrneos de mecnica de rocas. Se resumen tambin algunos casos de degradacin de
arcillitas expuestas a la accin atmosfrica en excavaciones. Se describen algunos ensayos de laboratorio que
someten a la roca a ciclos de carga descarga y de cambios de succin. Los ciclos extremos de succin y la
composicin mineralgica son dos aspectos fundamentales para explicar la degradacin. Se presentan varios
modelos constitutivos recientes que describen la roca como un material compuesto. La matriz se representa
mediante un modelo elastoplstico y la cementacin mediante un modelo de dao. El artculo termina con la
descripcin de un modelo constitutivo que permite la expansin y el hinchamiento de la matriz bajo cambios de
succin, lo que permite hacer predicciones realistas de los efectos de la alteracin.

1. AN OVERVIEW
MECHANISMS

OF

of sediments. Fabric is described as the

arrangement of particles whereas bonding
includes those interparticle forces that do not have
a frictional nature (Chandler, 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).

WEATHERING

It is useful to start the discussion on weathering

considering the concept of geotechnical cycle.
This term includes deposition, geological
compaction,
diagenetic
process,
tectonic
disturbance, weathering and erosion. Combination
of these processes determines the soil structure
(defined as the combination of fabric and
bonding) and controls the mechanical behaviour
249

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

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
250

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 =26. At large
displacements (residual conditions, measured in

reversing shear box tests) strength parameters

drop to c=3.7kPa and =14.5.

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
251

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-hydromechanical 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.

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).

2. FIELD
CASES
ILLUSTRATING
WEATHERING EFFECTS IN CLAYEY
ROCKS
2.1

Tunnels

In recent years, interest in clayey shales has

increased because they are being considered as
potential host geological media for underground
repositories 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
252

Due to the presence of tectonic faults and postexcavation flaking, the galleries excavated in 1996
and 2003 were supported with steel sets spaced 12m apart and the roof was covered with a steel
mesh. In order to study the influence of two types
of support on the development of EDZ, the first
10-m section of the main gallery were
concreted. Cross sections of the main tunnel and
the other two galleries are shown in Figure 3.
During and after excavation stage, tree types of
cracks were observed: fractures at the wall
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) (Vals et al,
2004).

contraction/expansion
cycles
and
this
phenomenon leads to the generation of an EDZ.
The influence of fault zones was also studied by
Rejeb & Cabrera (2006). They showed that the
EDZ is denser and less extended at the
intersection of the east gallery with the tunnel.
This is due to the fact the in-situ stresses are
locally modified by the presence of a tectonic
fault. For this reason the EDZ is non-symmetrical
with respect to this fault as can be seen in Figure
5.

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
the bedding planes. These cracks were induced by
changes in saturation of the argillite. Figure 4
shows the variation displacements with time due
to changes in the relative humidity (RH) in the
1996 gallery. Relative humidity varies between
40% and 100%, depending on the season, and
they lead to contraction or expansion strains. It
can be seen that the cyclic displacements
generated during each cycle of RH decreases as
the number of cycles increases. This means that
irrecoverable strains are being developed by the

Figure 5.Asymetry of the EDZ near the fault zone

(Rejeb & Cabrera, 2006).
Permeability measurements obtained from the
pneumatic and hydraulic test were reported by
Matray et al. (2006). Intrinsic permeability values
of 10-12 m2 were obtained in damaged zones close
to tunnel walls (1m thick for the old tunnel and
0.50m for the 2003 gallery). Far from these zones,
permeability varied between 10-16 and 10-17 m2,
respectively. Figure 6 shows the correlation
between increase in saturation and decrease in
253

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.

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 0.5m1.5m 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 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 EDZs (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

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
254

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).

between 40% and 80% (10% are active minerals).

Quartz, calcite, siderite, pyrite, feldspar and
organic 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
facies (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
emplaced inside the Opalinus clay layer where
rock strata dip 45 to the southeast. Several minor
faults with dipping 20 to 60 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 insitu 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.

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
hydrogeological, geochemical and mechanical
properties of the rock mass for radioactive waste
purposes 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
255

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) stressinduced 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 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

Figure 11.Picture of the extension cracking

developed by stress concentration (Martn &
Lanyon, 2003).

256

variation in the boreholes around the tunnel is

presented in Figure 14. It can be seen that within
the first 10-20cm of the boreholes intrinsic
permeability is very high with values in excess of
1x10-14 m2. These values were detected at the
shotcrete-rock interface. At longer distances, far
from the tunnel wall, the intrinsic permeability
decreases until two orders of magnitude leading to
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
away from the borehole. This was explained by
Thury & Bossart (1999) as the coupling of stress
redistribution around the new excavation and the
low permeability of the Opalinus clay. As the

excavation proceeds, pore water pressure drops

quickly in all sensors. For the sensor located 0.5m
from the tunnel face the water pressure drops to
the atmospheric conditions. Decaying in pore
water pressure is less marked when the sensor is
located far to the tunnel face (see Figure 15). This
behaviour is indicative of the rock damage and the
creation of an EDZ.

Figure 15.Variation of pore water pressure with

the new gallery face advance (Bossart et al, 2004)

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 minipiezometers, 4 piezometers, 16 capacitive
hygrometers, 16 psychrometric hygrometers, 10
TDR sensors (they measure the rock water
content via wave travel times) and 8 miniextensometers 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.
257

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 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 15 and 16 (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 miniextensometers 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.

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)

314

Relative Humidity [%] and

Temperature [C]

100

560

1079
RH-HyV-In
RH-HyCnt-L
T-HyCnt-L

90
80
70
60
50
40
30
20
10
0
0

500

1000

1500

Time [days from VE start]

Figure 18.Schematic layout of the Ventilation

system (Mayor et al, 2005)

Figure 19.Variation of the RH with time. RH

input vs RH measured (Garitte, 2007)
258

(Figure 21). This mudrock shows an irreversible

anisotropic shrinkage due to the application of
variable air drying. Swelling was also observed
due to the hydration of the rock minerals.
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
weathering mechanism leading in some cases to
a rapid instability of rock slopes. (Chigira &
Oyama, 1999). Oyama & Chigira (1999)
presented one case in which chemical weathering
due to pyrite oxidation developed in a Japanese
old tunnel.

Section A1
2

BVE-78
BVE-81

0.5m

MT

0
1m
-1

BVE-79

BVE-80
-2
1m
-3
-3
1200

105

-2

-1

314 350
252

0
560

713

2
1079

1534
P-B78/2.10
P-B79/2.10
P-B80/1.80
P-B81/1.80
Series13
Series12

413

1000
Pressure [kPa]

800
600
400
200
0

0
Section A1

200

400

600

800

1000

1200

Figure 21.Strain behaviour of Beaufort mudrock

under wetting/drying cycles (Olivier, 1990)

1400

Time [days from VE start]

Figure 20.Variation of pore water pressure with

time. (a) location of mini-piezometers (b) pore
water pressures changes (Garitte, 2007)

Similar mechanisms of chemical weathering of

natural slopes have been presented by Chigira
(1990) and Oyama et al. (1992).

2.1.3 Other examples

2.2

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%)

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 insitu 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
Northern Spain. This material can be defined as
problematic rock because of the extreme
changes in behaviour when it is subjected to
seasonal variations. 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
259

ranging between 27% and 50% and a plastic

limit between 10.5% and 27.8%. Figures 22 and
23 show the variation of water content and
Atterberg limits, as well as the unconfined
compression strength with depth. The first
graph, in particular, shows a well defined
weathering front. Carbonate content is highly
variable depending of the degree of weathering
although typical values range from 30% to 50%.
Pineda et al. (2006) (this Conference) have
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
front for Pamplona marls vary from 3m to 5m. In
the Monreal Dams site this material is
composed mainly of calcite mineral aggregates
(50%), quartz (20%) and philosilicates (clays,
mainly formed by Illite). Also mica and chlorite
with an intermediate content were observed in
the mineralogical analysis.
A view of the weathering profile of Pamplona
marl at the Dams site is presented in Figure 24.
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.

w (%)
0
0

10

20

30

40

50

60

-5

Depth (m)

-10

LL (weathered)
LL (unaltered)
LP (weathered)
LP (unaltered)
w (unaltered)
w (intact)

-15

-20

-25

-30

Figure 22.Variation in water content and

Atterberg limits with depth. Pamplona marls.
(Mapa Geotcnico del rea de Pamplona, 2002,
from Pineda et al, 2006).
Unconfined shear strenght, qu (Kp/cm2)

0
0

50

100

150

200

250

300

350

400

450

-5

Depth (m)

-10

-15

-20

Pamplona Marls (unaltered)

-25

Pamplona Marls (weathered)

-30

Figure 23.Variation of the unconfined

compressive strength with depth. Pamplona
marls (Mapa Geotcnico del rea de Pamplona,
2002, from Pineda et al, 2006).

Figure 24.Weathering profile at the Monreal

dams 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 40 and the cohesion intercept
260

was 452kPa. For saturated condition the internal

friction angle decreases to 31 while the cohesion
drops to 168kPa. This reduction of the strength
parameters has important consequences on the
sliding stability of the dam and complicate the
selection of design criteria (Pineda et al, 2006).

weak bonding due to very small and closely

spaced fissures. They have been sedimented a
few tens of millions years ago in a marine
environment. Ageing and/or precipitation of
carbonates leads to cementation produced by
interparticle bonding. Subsequent tectonic
evolution led to the formation of the Apennine
Mountains (Pescatore, 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 plasticity index can
vary from 20% to 130% and from 8% to 90%
respectively,
reflecting
mineralogical
composition (Bilotta et al, 1985).
Picarelli et al. (2000) presented an example of
field swelling of tectonized Bisaccia clay shale in
the Bisaccia hill. Bisaccia town was built on a
conglomerate hill that overlies a highly plastic
deposit of clay shales. Two deep and narrow
valleys were formed by erosion and Bisaccia hill
was left in the center (Figure 28). The dynamic
of the movement in this zone is characterized by
important deformations of the valley floor
(swelling) and a process of squeezing alongside
the slopes of the hill. In Figure 28b and 28c
water content and pressures profiles obtained
from a borehole drilled in the valley are
presented. According to Picarelli et al. (2000) the
higher water content values in the shallow zone
and the low pore pressure (near to zero) favours
the mechanical and osmotic swelling of the clay
shales due to water absorption from the ground
boundary.

Figure 25.Cracking due to unloading and

exposure to the atmospheric condition of the
Pamplona marl
100

Deviatoric stress (kg/cm2)

90

Unweathered sample

80

Sample submerged in distilled

water by 5 min prior the shearing

70
60
50
40
30
20
10
0
0

Axial strain (%)

Figure 26.Stress-strain relationship for Pamplona

marl in unconfined compression test (Pineda,
2007)
600

' v =32kPa

Shear stress (kPa)

500

400

300

' v =42kPa
200

100

0
0

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

Apennines are particular materials which present
261

(from Picarelli et al, 2000; after Picarelli &

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 &
Cotecchia investigated the weathering process in
a quarry wall where two weathering fronts (one
grey front and one oxidised yellow front) are
identified (Figure 31). Oxidation of the upper
clay (yellow) down to a depth of 20-25m is
attributed to a regional denudation and erosion
during long time. Weathering of yellow clays
exposed on the excavation front occurred in the
last 10 to 15 years. Mineralogical changes were
evaluated on the yellow formations where
calcium and iron sulfates (due to oxidation) were
found. In the case of London Clay (a highly
overconsolidated high plasticity clay) Chandler
& Apted (1988) have shown that mineralogy
does not change significantly due to weathering.
In Montemesola, a mineralogical comparison
indicated similar compositions of the yellow and
grey clays. The only significant change in
composition due to weathering was the partial
oxidation of pyrite, which explains the change in
color. Cotecchia & Chandler (1995) reported that
the long-term weathering in the Montesemola
Basin was affected by the occurrence of wettingdrying 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).
Results of oedometer tests on natural yellow
and grey clays shows a gross-yield vertical stress
(Cotecchia & Chandler, 2000) of about 2.0MPa
for the natural yellow clay, whereas for grey clay
the gross-yield stress was about of 2.6MPa. The
influence of the structure on the compression
behaviour was studied in terms of the stress

sensitivity S (Burland et al, 1996; Cotecchia &

Chandler, 2000).

Figure 29.Face of the quarry and samples

location (Cafaro & Cotecchia, 2001)
The stress sensitivity (S='y/ *e) is defined as
the ratio between the gross-yield stress ('y) and
the vertical stress on the ICL corresponding to
the specific volume of the natural clay at grossyield stress (*e). For yellow and grey clays the
stress sensitivity values were1.5 and 2.4,
respectively. Figure 30 shows the Ko curves for
natural yellow and grey clays in the void index
Iv-log p plane (Burland, 1990) in which the
variation in S is clear. Considering that the
structure of both clays was defined as originally
similar, the S values for these clays should be
similar. Nevertheless, the lower S value
obtained for the yellow clay is due to structural
weakening as a result of weathering whose
mechanical effects are related to the reduction in
the stress sensitivity for yellow clay (from 2.4 to
1.5) (Cafaro & Cotecchia, 2001).

Figure 30.K0 curves for natural yellow and grey

clay. Influence of the stress sensitivity (Cafaro &
Cotecchia, 2001)
Using the idea that yellow clay derives from
the grey clay by a drying process, Cafaro &
Cotecchia (2001) performed wetting-drying
262

cycles on samples of grey clay to cause a

progressive contraction of the clay and a
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 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
behaviour of the Keuper Marl, a heavily
overconsolidated Triasic deposit (UK). In
undisturbed state this material is a mudstone
mainly composed of silt sized aggregations with
clay minerals particles. Chandler grouped the
Keuper marls in four groups depending of their
degree of weathering: zone I is the unweathered
marl; in zone II weathering begins to form
fissures; in zone III a weathering profile is
developed and the weathered 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 discrete 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 40 in zone I, to

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)
263

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).

42 to 32 for zone III and to 32 - 25 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

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
264

(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).

The influence of degree of saturation on the

mechanical properties of Tournemire shale
(Vles 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 (E120000MPa)
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). Vles et al (2004) pointed
out that cohesion and friction angle were not
correlated to the degree of saturation when =0.
However, for =45 and =90 these parameters
increase when drier states are reached (Figure
37b and c).

Figure 36.Schematic representation of the

influence of the weathering on the mechanical
behaviour (Chandler, 1972).
3. DEGRADATION
LABORATORY
3.1

OBSERVATIONS

IN

Tournemire shale

Vles 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 (0, 45
and 90).
For shale samples having =0 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 (Vles et al, 2004).
Compressive wave velocity (Vp) was determined
on samples during the saturation process. For
=0 the compressive wave velocity was quite
constant (close to 4000m/seg) and did not
depend on suction. In samples having =45and
=90 the compressive wave velocity increased
with suction (decrease of degree of saturation).

Figure 37.Tournemire shale. Effect of the degree

of saturation: (a) Young Modulus, (b) cohesion,
(c) internal friction angle (Vles et al, 2004)
Stress-strain curves indicated that anisotropy
and suction had an important influence on
265

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 microcracking during the wetting stage.
Triaxial compressive strength is again
maximum for =0 and 90. In this case, suction
plays a confining role and leads to an increase
in the triaxial strength as suction increases
3.2

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%).

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

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.
266

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
exposed to swell in distilled water (Morgenstern
& Balasubramonian, 1980).
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
during shear. However, the stress-.strain
behaviour for samples subjected to a previous
swell test was very different from the results
obtained in intact samples. Figure 39 shows the
stress-strain behaviour of free swollen shale
samples. The stress-strain curve for intact sample
obtained during the shearing stage for a
confining stress of 50kPa is included in the plot.
It was shown also that previous swelling reduces
the dilatant behaviour of the shale. Peak stress
decreases dramatically with the previous
swelling due to debonding and leads to an
increase in the peak strain.
Wong (1998) plotted shear strength envelopes
obtained for different swelling strains (see Figure
40). These curves shows a similar internal
friction angle value of 28, but different cohesion
values, correlated with the previous swelling
volumetric strain (and, therefore, with current
void ratio).
A similar behaviour was observed for the
elastic modulus. The rapid reduction of E with
swelling strain shows the dramatic effect of
swelling (which induces debonding or damage)
on the mechanical degradation of the La Biche
shale.

Figure 39.Drained stress-strain curves of La

Biche shale samples subjected to different swell
process (Wong, 1998)

Figure 40.Peak strength envelopes of La Biche

shale as a function of the previous swelling
(Wong, 1998)
Botts (1998) examined the effects of slaking
on the strength behaviour of Pierre shale from
Saskatchewan River basin in the Central USA
and Canada. Pierre shale is a Cretaceous highly
overconsolidated clay with abundant slickensides
and fissures. The average clay content is close to
35%. Pierre shale has a highly swelling potential
due to the presence of montmorillonite and it
slake quickly in distilled water (Botts, 1986).
Four stages were followed in the Botts study: (i)
drying of samples under unconfined conditions
in order to induce fissuration before the wetting
stage, (ii) a wetting phase performed in the
triaxial cell under a low confining pressure in
order to induce softening and slaking, (iii) a
shearing stage under different confining
pressures to evaluate the stress-strain response of
the shale, and (iv) determination of the final
conditions (fabric changes).
The results of a drying/wetting cycle are
presented in Figure 41 which describes the
drying path (under unconfined condition) and the
wetting path (under a confining pressure of
267

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 42.Deviatoric and volumetric behaviour

of La Biche shale samples subjected to different
slaking degrees (Botts, 1998)
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)

3.3

Italian clay shales (stiff clays)

Due to geological conditions most of the clay

shales (stiff clays) outcrops in the Italian
peninsula, and more specifically in the
Mediterranean basin are tectonized. These clay
shales are special materials due to the facility to
be weathered by physical and chemical
mechanisms. This behaviour leads to design and
construction problems.
Recently, Gull 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 20C,
(ii) drying in a heater at 100C, (iii) wetting in
distilled water at 20C, (iv) freezing at 0c, and
(v) thawing in distilled water at 20C. Duration

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.
268

of cycles was variable: 1day (D1), 7 days (D7),

30 days (D30), 60 days (D60) and 90 days
(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 onedimensional 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 destructuration 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
reconstituted value as weathering cycles are
increased. Brittle behaviour is less marked as
degradation increases. At large strains, peak
shear strength reached in fully weathered
samples was similar to the residual shear strength
obtained from ring shear test (Figure
44).

flocculated to aggregated and deflocculated (see

Figures 45 and 46).

Figure 44.Stress-displacement curves of Roccella

clay samples obtained from direct shear test
under different weathering times (Gull et al,
2006)

Figure 45.SEM of Roccella stiff clay specimen at

intact condition (Gull et al, 2006)

Figure 43.Oedometer curves of Roccella clay

samples obtained under different weathering
times (Gull et al, 2006)

Figure 46.SEM of Roccella stiff clay specimen

subjected to a weathering time of 90 days (D90)
(Gull et al, 2006)

Gull 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 Gull et al (2006) the soil structure of
Roccella clay varied from aggregated and

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,
269

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.

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 nonactive 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 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

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
270

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 26 to 18 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
the unloading oedometer curve for a shale
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
clay. Osmotic swelling was obtained when
distilled water was added to a sample that was
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 &
Alcoverro (2004) as damage-induced unloading.

Figure 49.Loading-unloading tests on Bisaccia

clay (Aversa et al, 1993)

Figure 50.Direct shear test on Bisaccia clay

samples under different swelling times (Cicolella
& Picarelli, 1990)

Figure
51.One-dimensional
swelling
of
unweathered Bisaccia clay (Picarelli et al, 2000)

271

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

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
272

kinematic hardening of the material (Cotecchia

et al, 2006).

compression; 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.

Figure 54.One-dimensional compression curves

of natural fissured clays: (a) SCM clay, and (b)
natural SCM bentonitic clay (Cotecchia et al,
2006)

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 k 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 k 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:

Figure 55.Unloading-reloading curves for natural

SCM and SCM bentonitic clays (Cotecchia et al,
2006)

4. A REVIEW OF MODELS WHICH

INCLUDE 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

273

( ))

g
1 g
f
=
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
= 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.

defined h as the damage variable that was linked

to the bonding using a decreasing function
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.

&rsp =

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
Hs>Hd, the yield surface will evolve as is
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 (fg) flow rule
has not a strong influence on the qualitative
prediction of the model.

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)

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:
2
p `*
3

+ *2 ( 1) * = 0
f 3( 3) ln
9
p co
2

274

where p '* = p '+ p t , and * = q

'*

both cases. Results show a stiffer response for

bo=2. However, after yielding, they converge
towards the Ko line obtained for unbonded
material. Results obtained in both examples
show a good agreement with experimental data
presented by Gens & Nova (1993) and also with
the mechanical behaviour of soft rocks and
structured soil available in the literature.
Yield function f and plastic potential g are
isotropic functions of stress invariants which
imply that the material behaviour is isotropic.
This model provided a good framework to
develop more advanced models where anisotropy
and tensile strength are incorporated as will be
presented below.

p
To specify the relationships between bonding
parameter b and pco and pt they defined:
f (b) = p co p c = 1 + b
f t (b) = pt p c = t b
The function of the bond degradation with
increasing damage (h) was defined as:
b = bo e (h ho )
where the variation of the damage parameter is
given by:
dh = h1 d qp + h2 d vp
This expression implies that damage increases
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:
1
p

p 2 2
v + 3 2 q

p c = ( p c ) i exp

Bp

where 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:
2
p `*
3

+ *2 ( 1) * = 0
g 9( 3) ln
9
p co
2

Finally, a hypoelastic law is used to describe

the behaviour within the yield surface,
&ve = kp& ' p ' and &qe = L&
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

( ))

Figure 60.Simulation of an oedometric test with

different bonding values (Gens & Nova, 1993)
4.2

Lagioia & Nova model (1993)

Using the same mathematical framework

developed 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.

275

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

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

Figure 61.Simulation of a triaxial test with a

bonding value of bo=1 (Gens & Nova, 1993)

4.5

Rouainia & Wood

(structured soils)

model

Vaunat & Gens model (2003) (hardsoils/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,

Figure 62.Structured and destructured yield

surface in the Lagioia & Nova model (Lagioia &
Nova, 1995)
4.3

Kavvadas & Amorosi model (2000)

(structured soils)

(2000)

Rouainia & Wood (2000) developed a rateindependent 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

VVoids
is the total void ratio,
VSolids
V
eb = bonds is a measure of the volume occupied
VSolids
by bonds,
e=

Vbonds + VVoids
is a measure of the volume
V Solids
not occupied by the clay matrix.
eM =

276

)
q b q b 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
damaged bonds, while K b and Gb are the
damage modulus. A convenient alternative
1
damage variable, L, defined as L = ln

1 D
(Carol et al, 2001). L depends only on the elastic
energy defined as

Figure 63.Schematic arrangement in a bonded

argillaceous rock (Vaunat & Gens, 2003)

ub =

The associated volumetric strains are given by:

de
is the total volumetric strain
d v =
1+ e
de
d vb = b is the volumetric strain of the
1+ e
bonds,
de
d vM = M is the volumetric strain of the
1+ e
clay matrix. Taking in account that eM=eb+e, the
volumetric strains follow the same relationship:
d vM = d vb + d v and d qM = d qb + d q
Another feature of this model is that structure
effects are applied to the bonds so that the
argillaceous matrix behaviour can be defined
using a conventional law for destructured
material. This means that the argillaceous matrix
will have the same local behaviour
independently of the degree of bonding.
Experimental test have shown that bonds
exhibit typically a brittle behaviour. Using the
theory of quasi-brittle materials, Vaunat & Gens
applied an elastic damage law to model the
behaviour of bonds.
They used the general
anisotropic damage model proposed by Carol et
al. (2001). However, only the isotropic part was
used in this model for simplicity. The scalar
damage theory assumes a linear elastic behaviour
of the material but during loading the cross
sectional area implied in the definition of stress
is reduced due to the development of microcracks.
If D is defined as the ratio between micro-cracks
area and overall area D = Amicro cracks / Aoverall , and
K b 0 and Gb 0 are the bulk and shear modulus of
undamaged material, the mean and deviatoric
stresses are given by:
)
pb pb 0 = (1 D )K b 0 vb = K b 0 vb = K b vb

[( p

pb 0 ) vb + (qb qb 0 ) qb

The evolution of L can be obtained by drawing

the change in elastic moduli during
unloading/reloading cycles under different
applied energies. Using this damage variable,
strains in the damaged bonds and the damage
modulus can be re-written as:

)
)
vb = e L vb and qb = e L qb
K b = e L K b 0 and Gb = e L Gb 0

Stress equilibrium between applied external

stresses and internal stresses (distributed between
bonds and matrix) during any strain increment,
leads to:
d
d
p = p M 1 + vb + ( pb pb 0 ) vb
d v
d v

d qb
d
+ (q b qb 0 ) qb
q = q M 1 +

d q
d q

The main assumption made is that the ratio

between volumetric strains inside the bonds and
the overall volumetric strain is constant and
equal to a new variable (0 for undamaged
state). A similar criterion was assumed for the
deviatoric strains. Mathematically this can be
written as:
d qb
d vb
= and
=
d v
d q
When damage is developed inside the bonds
(L>0), the expressions for the mean and
deviatoric stresses are given by

p = (1 + ) p M + ( pb pb 0 )
q = (1 + )q M + (qb qb 0 )
277

where it can be observed that this model can

reproduce the delayed damage of the clay.

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
3
Rc
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 E b 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 65.Simulation and experimental result of

a multi stage triaxial creep test (Vaunat & Gens,
2003)
This model was used to reproduce the thermohydro-mechanical (THM) behaviour of Opalinus
clay in the Mont Terri Underground Laboratory
during the heating test (HE test, see section
2.1.2) by Muoz & 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 Muoz & 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.

Figure 64.Experimental and simulated peak

shear strength for Callovo-Oxfordian clay
(Vaunat & 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
278

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 CallovoOxfordian 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 (Muoz & Alonso, 2005). The model
captured the liquid pressure tendency during the
whole test (see Figure 69).

Figure 66.Yield surfaces for Opalinus clay model

(Muoz & Alonso, 2005a)

(a)

Muoz & 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
at the crown of the niche. The generation of
tensile cracks was reported by Rejeb & Cabrera
(2006) for the new galleries excavated in
Tournemire shale (see section 2.1.1).
The calculated pore water pressure distribution
at the end of the niche excavation is shown in
Figure 68 where the development of a
unsaturated zone around the niche (saturation
decreased up to 85%) may be observed. The
width of this unsaturated zone was close to 1.5m
(Muoz & Alonso, 2005a).

(b)
Figure 67.Simulation of in-situ stress variation
due to the HE niche excavation: (a) horizontal
stress, (b) vertical stress (Muoz & Alonso,
2005a)
Figure 70 shows the effective stress path
followed by a point of the rock mass located
close the rock-bentonite interface (r = 18cm).
Results of model suggest that this point reaches
limit conditions at some instant during hydration.
Once the initial strength envelope is hit, limited
rock degradation is produced. The stress path
279

Results presented above have shown the

capabilities of the model of Vaunat & Gens
(2003) to predict and simulate the THM
behaviour of soft-rocks.

shows how the stresses are maintained at the

current limiting strength surface. Some
additional yielding is calculated during the
heating phase. During the cooling phase, an
unloading of the represented point of the rock
was produced (Muoz & Alonso, 2005a).

4.6

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 Perzynas 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)
strains will be produced if the stress applied is
higher than the failure stress f due to the relative
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
(Muoz & 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 Hookes 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
coordinates (X, Y, Z) are not coincident but both
are related by means of two angles: the strike
angle () and the dip angle () of the isotropic
plane in relation with the global system (see
Figure 72). For this reason, the constitutive
model includes the tensor of transformation of
coordinates.
The model uses a hyperbolic yield surface as
failure criterion in the meridional plane (p, J,
=constant)
in
conjunction
with
the
trigonometric rounding of the octahedral plane
(p=constant, J, ) according to Abbo & Sloan
(1993). The yield function assumed for the clay
matrix is given by
FM = p sin + J 2 K 2 ( ) + a 2 sin 2 c cos = 0

Figure 68.Liquid pressure distribution around

the HE niche after 420 days (Muoz & Alonso,
2005a)

Figure 69.Time evolution of liquid pressure at

different depths during the HE test (Muoz &
Alonso, 2005a)
10
Stress path
Initial failure envelope
Final failure envelope
HE niche excavation
BHE-0 drilling
Hydration of bentonite
Heating stage
Cooling stage

9
8

Heating stage
First yield

J [MPa]

6
Initial yield surfase

Final yield surface

Hydration

4
3

Cooling stage

Borehole drilling

Niche excavation

0
-2

-1

Muoz & Alonso model (2005)

10

p' = ('1 + '2 + '3 ) / 3 [MPa]

Figure 70.Stress path of a point located to 18cm

from the borehole wall (Muoz & Alonso,
2005a)
280

K ( ) = cos( )

where

sin sin ,

isotropic softening). The softening behaviour is

given by decreasing the parameters (, c and ).
The decreasing law of the parameters (, c and
) is controlled by a scale function S ( ) which
depends on the viscoplastic work W p = T vp .
This scale function (Lopez , 1999) is given by:
e
S ( ) =
1 + (e 1)

and

3
.
In
this
case
is the tensile
a = c cot
strength, c is the cohesion and is the friction
angle.
P

different values of are used. According to

Lopez (1999) the evolution law for these
parameters can be given by:
= 0 (1 S ( ))

vp

Sliding
Element
(f)

Dashpot
()

where = W vp is the viscoplastic work. This

scale function can be different for each of the
model
parameter S ( ), Sc ( ) and S ( )
if

Spring

c = c0 1 Sc ( ) 0 tan 0 ( S ( ) Sc ( ) )
c0

tan = tan 0 (tan 0 tan res ) S ( )

The viscoplastic potential Q is similar to the
hyperbolic yield function F , but it depends of
the tensile strength (), cohesion (c) and
dilatancy angle (). The evolution of the
viscoplastic potential function Q is given by the
reduction of parameters (, c and ). The
evolution law of the dilatancy angle () is
defined in a way similar to the friction angle (),
(Muoz & Alonso, 2005b). Figures 73 and 74
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
into an elastic strain rate tensor e and a
viscoplastic strain rate tensor vp , where the
elastic strain rate is instantaneous and reversible,
whereas the viscoplastic strain rate is time
dependent and irreversible & = & e + & vp . The
elastic strain tensor is obtained using the
Hookes law & e = D 1 : & . The viscous and
plastic effects are both included in the
viscoplastic strain rate given by:

Figure 71.Schematic representation of an elastoviscoplastic material (Muoz & Alonso, 2005b)

X, Y, Z: Global coordinate system
X', Y', Z': Local coordinate system
: Angle of strike (0 <360)
with respect to Y axis
: Angle of dip (0 90)

// Y
Z'

Lin
eo

t ou

X'
n
co

fd

Y'

ip

Isotropic plane

Figure 72.Coordinates systems and orientation of

isotropic plane in Opalinus clay (Muoz &
Alonso, 2005b)
A hyperbolic yield function was chosen for the
joint system of Opalinus clay which is dependent
of three parameters of the joint: tensile strength
(j), cohesion (cj) and friction angle (j).
It is expressed in terms of effective normal
stresses ( z ' ) and shear stress ( J ) acting on the

vp
QJ
QM
= M ( F ) M
+ J (F )J

isotropic planes (Lopez, 1999). The hyperbolic

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

viscoplastic potential and F is the yield
function. ( F ) is a monotonically increasing
overstress function which defines the magnitude
of viscoplastic strain rate. It is normalized by the
initial yield stress F0 .

where J = y2' x ' + z2' x ' is the shear stress in the

isotropic plane, and N = z ' is the normal
effective stress acting in the isotropic plane.
To simulate the quasi-brittle behaviour of the
Opalinus clay rock the hyperbolic yield surface
can translate and/or contract (kinematic and
281

(1997) and Vles et al (2004) for Tournemire

shale.

The tensor gradient of the viscoplastic potential

Q
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)

Deviatoric stress [J]

Hyperbolic yield surface (, C, )

Final hyperbolic yield surface (res, Cres, res)

Mohr - Coulomb

Hyperbolic
yield surface

res

0
Mean stress (p)

Figure 73.Evolution of hyperbolic yield surface

adopted for the rock (Muoz & Alonso, 2005b)
Initial hyperbolic yield surface (0, C0, 0)

Shear stress in the joint plane [J]

Hyperbolic yield surface (, C, )

Final hyperbolic yield surface (res, Cres, res)

Hyperbolic
yield surface

Figure 75.Stress-strain behaviour of the samples

with different angles of dip (45 and 90) (Muoz
& Alonso, 2005b)

res

20

0
Normal stress in the joint plane (N)

Vertical stress (1) [MPa]

Figure 74.Evolution of the hyperbolic yield

surface adopted for the joints of (Muoz &
Alonso, 2005b)
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
surface. On the contrary, in the rate independent
plasticity theory the stress state must always
remain in the yield surface (consistency
condition).
Muoz & Alonso (2005b) calibrated this
model using experimental data reported Schnier
(2004) using a 3D model of the samples.
Samples with different dips were simulated (see
Figure 75). The figure shows results of 3D
simulation of samples having dips of 45 and 90,
and subjected to a confining pressure of
3=1MPa. Calculations were compared with
experimental data and a good agreement between
model and tests was found. Figure 76 shows the
variation of the simulated and experimental
strength with dip angle. These results are
consistent with data reported by Niandou et al

15

10

5
Vertical stress - Dip
Model
Laboratory test

0
0

15

30

45

60

75

90

Dip () []

Figure 76.Strenght variation with the dip angle

for Opalinus clay (Muoz & Alonso, 2005b)
The HE experiment (described in a previous
section) was simulated, in a 3D calculation,
using the model just described. Figure 77 shows
the isometric view of the finite element mesh of
the borehole. Simulation was divided in four
stages: (i) excavation of the borehole (10 days)
where a initial suction of s=6.80MPa was applied
around the borehole wall. Suction increased
during the borehole excavation from 6.80MPa to
11.5MPa (under a constant temperature of 15);
(ii) hydration of the bentonite buffer (33 months)
where radial stresses were increased from 0MPa
282

to 15MPa during the first 200 days of the

hydration stage, and then remains constant; (iii)
heating stage (18 months) where a boundary
temperature condition of 65 was applied on the
borehole wall from -4.0 to -6.0m depth; the
temperature applied was the maximum
temperature reached by the rock in the rockbentonite interface (r =15cm) obtained from the
2D model; and finally, (iv) the cooling stage (9
months).
Calculated liquid pressures agree well with
sensors data obtained in sensors located at
different radial distances from the borehole wall
(Figure 78).

The stress evolution around the borehole is

presented in Figure 79. It can be observed a
decrease in the radial stress during excavation,
followed by an increase during hydration until a
stable value is reached. Circumferential stresses
increase during the excavation phase but then
they decrease during the hydration stage
followed by a slow increase due to the heating
stage.
-10
Radial stress imposed

-5
Stress [MPa]

Stresses
Radial stress (Borehole wall X direction)
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)
Circumferential stress (Isotropic model)
Vertical stress (Isotropic model)

Borehole BHE-0

20.00 m

Pw = Hydrostatic pore water

20

.30

5
0

m
.30
20

400

600

800

1000
1200
Time [days]

1400

1600

1800

2000

Figure 79.Evolution of the stress state on

borehole wall in both X and Y direction.
Isotropic and anisotropic model (Muoz &
Alonso, 2005b)
Finally, Muoz (2006) performed a
comparison of the isotropic and anisotropic
models in terms of the development of the
damage zone around the borehole (see Figure
80).

200

Figure 77.3D finite element mesh used to model

of HE experiment (Muoz & Alonso, 2005b)
When temperature is increased a sudden
increase in liquid pressure is recorded in points 1
and 2. Under constant temperature the liquid
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
towards stationary conditions.

Plastic zone
e = 0.08 m

Borehole

1
Liquid pressure
1- Model Rock (r = 0.65m z = -5.00m)
2- Model Rock (r = 1.65m z = -5.00m)
Measured QB19/2 (r = 0.65m z = -5.00m)
Measured QB20/2 (r = 1.65m z = -5.00m)

Liquid pressure [MPa]

0.8

(1)

0.6

Plastic zone
e = 0.08 m

0.4

Borehole

0.2
(2)

-0.2
0

200

400

600

800

1000

1200

1400

1600

1800

2000

Figure 80.Plastic zones developed in a horizontal

section at 5.0 m depth: (top) Isotropic model,
(bottom) anisotropic model (Muoz & Alonso,
2005b)

Time [days]

Figure 78.Evolution of liquid pressure with time

in points located in rock during the all phases of
the HE test (Muoz & Alonso, 2005b)
283

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:
P

m
vol

M
m d p + s
=
1 + em pM + s

) = d (p

+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
B

284

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:
e

dMvol =

Figure 82.Elastic zone and yield loci for the

matrix expansive model (volumetric behaviour)
(Pinyol et al, 2007)
5.2

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
is subjected to a given amount of strain energy,
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

s
dpM
ds
dpM ds
+
=
+
KM K s
1 + eM* pM 1 + eM* s + patm

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.
B

Bond behaviour

285

stiffness reduces. The damage evolution is

determined by means of the function suggested
by Carol et al. (2001):
r ( L ) = r0er1L = 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.
B

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 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

initial reference value 0, and on the logarithmic
damage variable, L. This strain relationship
explains 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.
B

In order to derive an expression for the external

stress, ijext , in terms of the matrix, Mij , and

Figure 84.Simulation of oedometer tests for a

bonded material. Effect of the initial damage
state r0 (Pinyol et al, 2007)

bond, , components the principle of virtual

work is applied as follows:
b
ij

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

ijext dijext = Mij dijext + ijb Cb dijb

Where Cb is the bond concentration and dijext ,

B

dbij 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

286

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.

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).
B

Figure 85.Simulation of triaxial tests for a

bonded material. Effect of the bond
concentration (Cb) (Pinyol et al, 2007)
B

Figure 86.Stress paths on La Biche shale (Pinyol

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 Wongs 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
in Figure 86. It was reported that the measured
free swelling strain of the wetted specimen was
around 15%. In the simulation performed the

Figure 87.La Biche shale model. Calculated

swelling strains during the drying-wetting cycle
(Pinyol et al, 2007)

287

disintegration in nature. Other physical and

chemical mechanisms have been described.
Engineering works lead also to weathering of
clayey rocks. Rock degradation associated with
tunnelling has received considerable attention in
recent years in connection with the research
promoted by nuclear waste disposal agencies
around the world. This experience may be very
useful for conventional 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 development of an excavation disturbed
zone around the tunnel periphery, characterized
by an increase in porosity and permeability and a
decrease of stiffness. These are short term
changes. Some examples of exposed excavations
have also been described. In nature it is frequent
to observe horizons marking the transition from
fresh unweathered 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 behaviour.
A limited number of laboratory experimental
programs provide some data on the nature of
weathering. Application of suction cycles,
specially 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
reconstituted 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

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
geomorphological and atmospheric actions are
believed to be two major reasons for shale
288

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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

assistance and support offered by Benoit Garitte
and also by Dr. Juan Muoz who give us the
information 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.
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