International Journal of Rock Mechanics and Mining Sciences 36 (1999) 291±306

INTERNATIONAL SOCIETY FOR ROCK MECHANICS

COMMISSION ON SWELLING ROCKS AND COMMISSION
ON TESTING METHODS

SUGGESTED METHODS FOR LABORATORY TESTING OF SWELLING ROCKS

CONTENTS

1. Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 293
2. Part 1: suggested methods for sampling, storage and preparation of test
specimens . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 294
3. Part 2: suggested method for determining axial swelling stress . . . . . . . . . . . . . . . 295
4. Part 3: suggested method for determining axial and radial free swelling strain. . . 299
5. Part 4: suggested method for determining axial swelling stress as a function of
axial swelling strain . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 302
6. Final comments . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 305

Co-ordinator
F.T. Madsen (Switzerland)

0148-9062/99/$ - see front matter # 1999 Elsevier Science Ltd. All rights reserved.
PII: S 0 1 4 8 - 9 0 6 2 ( 9 9 ) 0 0 0 0 5 - 4
 F.T. Madsen / International Journal of Rock Mechanics and Mining Sciences 36 (1999) 291±306 293

Suggested methods for laboratory testing of swelling rocks

F.T. Madsen a
Accepted 2 January 1999

ISRM SUGGESTED METHODS (SMs): SECOND SERIES

A Second Series of Suggested Methods is being produced by the ISRM Commission on Testing Methods from 1998 onwards.
In this Second Series, for each SM two versions are published:

1. A Draft SM written by the Working Group Co-ordinator(s);

2. A Final SM also produced by the Working Group Co-ordinator but with amendments resulting from the Draft SM review by
the Working Group Members and other comments received after publication of the Draft SM.

A suite of the new Suggested Methods is currently being published in this Journal. These started with an Indentation
Hardness Index SM written by T. Szwedzicki and published in June 1998. Several more will be published in 1999.
However, the following SM results from a Working Group of 14 members, is already in the ®fth draft stage and thus can be
considered to be in its ®nal form.

Please send written comments on this SM to the

President of the ISRM Commission on Testing Methods:
Professor J A Hudson, 7 The Quadrangle,
Welwyn Garden City, Herts AL8 6SG, UK

1. Introduction This particular document treats laboratory testing of

The engineering problems caused by swelling rocks
are widely recognized, as is the need to test these rocks
to determine the type and extent of their swelling
behavior and to measure this for purposes of design.
The ISRM Commission on Swelling Rock was
formed in 1980 to provide a systematic treatment of
the swelling rock problem. It is emphasized that the
purpose of `suggested methods' is to specify rock test-
ing procedures and to achieve some degree of stan-
dardization without inhibiting the development of
improvement of techniques. This is particularly perti-
nent in the case of swelling rocks which, because of
their variability, often require special non-standard
treatment during both specimen preparation and test-
ing which di€ers from what is proposed here.
a
Geotechnical Engineering, Laboratory for Clay Mineralogy, Swiss
Federal Institute for Technology, CH-8093, Zurich, Switzerland.
argillaceous swelling rocks and swelling rocks contain-
ing clay and anhydrite and consist of four parts:
Part 1: sampling, storage and preparation of test
specimens
Part 2: determining the axial swelling stress
Part 3: determining the axial and radial free swelling
strain
Part 4: determining axial swelling stress as a func-
tion of axial swelling strain
These `suggested methods' are intended to replace
and update those published in [1]. It is important to
note the di€erence in procedure of specimen testing for
argillaceous and for clay±anhydrite rocks as the swel-
ling mechanism is of di€erent nature.
The tests described here are intended for practical
use. For research on swelling behavior, other tests may
have to be used.
294 F.T. Madsen / International Journal of Rock Mechanics and Mining Sciences 36 (1999) 291±306
2. Part 1: suggested methods for sampling, storage and
preparation of test specimens
2.1. Scope
1. These suggested methods describe techniques for
sampling, storing and preparing specimens for labora-
tory swelling tests of argillaceous rocks and rocks con-
taining clay and anhydrite1.
2.2. Sampling
2. (a) To obtain meaningful results from swelling
tests, the samples2 are to have, as far as possible, the
same density and water content as those in situ at the
time of sampling.
(b) Rock samples are to be collected preferably from
core borings. Borings should be performed with air
pressure or, with an antiswelling admixture (such as
Antisol) in the cooling (¯ushing) water, whichever is
best to keep the sample as close to its natural state as
possible.
(c) Coring is to be accomplished using either a
double tube or triple tube core barrel. The core diam-
eter should be at least NX but preferably closer to 100
mm. The sample length shall be sucient to prepare at
least three undisturbed specimens, and contain enough
additional material for identi®cation tests.
1
Depending on the depth below surface this type of rock may also
contain gypsum. Normally, as these rocks originate in an evaporitic
environment other salts such as halite [NaCl] and dolomite
[CaMg(CO3)2] are also present.
2
For the purpose of these suggested methods, the term `sample'
refers to the drill core, the block or other representative piece of
rock received in the laboratory, while the term `specimen' refers to
the individual test specimen prepared from the sample.
3
Rocks containing clay and anhydrite (CaSO4) may also contain
gypsum (CaSO4
2H2O). At least this will be the case after the swel-
ling tests have been performed. For rocks containing gypsum the
normally used method for determining the water content by drying
the specimen at 1058C will produce erratic results. This is so because
not only pore water and water connected to clay particles is removed
from the specimen but also some of the crystal water of the gypsum.
Using the following method for determining the water content in
two steps has several advantages. In the ®rst step pore water and
water connected to the clay particles is removed by drying the
crushed specimen over P2O5 in a desiccator for 3 days. The water
content determined in this way is equal to the normally used water
content in soil and rock mechanics. The water content is calculated
as: w%=((M2ÿMP)/MP)
100, where: M2 is the mass of specimen
after testing, before drying over P2O5 and MP the mass of specimen
after drying over P2O5. In the next step the specimen is heated in an
oven for 24 h at 2008C. During this procedure the gypsum releases
all crystal water. The gypsum crystal-water content is calculated as:
w%gypsum=((MPÿMG)/MG)
100, where: MP is the mass of speci-
men after drying over P2O5 and MG the mass of specimen after dry-
ing at 2008C. It is then possible to calculate the amount of gypsum
(weight %) in the specimen as: gypsum %=(1 mol gypsum/2 mol
water)w%gypsum, gypsum%=4.78w%gypsum.
(d) Block sampling is another possibility. The
dimensions of the block sample are to be sucient for
preparation of at least three undisturbed specimens,
and contain enough additional material for identi®-
cation tests.
(e) The cores or blocks are to be logged by a geol-
ogist and photographed. In rocks containing clay and
sulphate minerals (anhydrite and gypsum), fabric and
the clay±sulphate minerals ratio is of special interest as
both are related to the swelling parameters. Prior to
logging, the cores or blocks are to be cleaned by
removing the mud cake. Their condition, such as
mechanical breakage, presence of mud cake on the sur-
faces of the core or block, and presence of seams shall
be noted. Natural ®ssures, if any, are to be clearly
identi®ed.
(f) The samples are then to be wrapped with a
waterproof liner such as a thin plastic sheet, followed
by aluminum foil and sealed with a mixture consisting
of 75% paran and 25% beeswax. The time between
sampling and sealing should be as short as possible.
(g) The sealed cores or blocks are to be labelled giv-
ing details of the sampling location, depth and el-
evation.
(h) To reduce breakage of cores or blocks during
transportation from the ®eld site to the testing labora-
tory, the samples are to be placed in containers, and
the space between cores and the container wall is to be
®lled with suitable material such as straw, shredded
foam or paper.
(i) Samples are to be protected from frost and
extreme heat at all times during sampling and trans-
portation. Sample temperature is to remain in the
range 5±308C.
2.3. Storage of samples
3. (a) Storage time should be minimized.
(b) Storage in a constant temperature room (208C)
is preferred.
(c) The samples must not be exposed to direct sun-
light.
(d) If long-term storage is necessary, humidity in the
storage room should be such as to minimize any
moisture change of the samples.
2.4. Specimen preparation
4. (a) The sampling logs and photographs are to be
examined to select cores or blocks that will yield
required sizes, shapes and numbers of specimens.
(b) Multiple specimens are to be prepared from the
same sample. At least two are used for testing and one
as a reference specimen for determination of water
content3, grain density, density and degree of satur-
ation. The particular number of specimens for each of
 F.T. Madsen / International Journal of Rock Mechanics and Mining Sciences 36 (1999) 291±306 295

the tests depends on the availability of material and on

the testing program Ð see Section 1. One undisturbed
specimen should be kept in storage for mineralogical
investigations.
(c) Specimens are to be prepared as rapidly as poss-
ible. If machining (cutting, recoring to a smaller diam-
eter) of the specimen is required this must be done
with air-cooling or with an antiswelling medium (such
as Antisol) in the cooling water, whichever is best to
keep the specimen as close to its natural condition as
possible. In general recoring is to be avoided. For
swelling rocks that can break easily, the special pro-
cedure described in Appendix A is to be used.
Remaining samples must be properly sealed again
according to 2(f).
(d) The specimens required for the tests described in
Parts 2, 3 and 4 (Sections 3±5) below are to be in the
shape of a right circular disc. Experience has shown
that for specimen diameters between 50 and 100 mm,
a thickness between 20 and 30 mm is most suitable.
The test described in Part 3 Section 4 can also be per-
formed with other specimen shapes, such as entirely
irregular pieces which have undergone no preparation
Fig. 1. Apparatus for measuring the axial swelling stress: (1) stain-
at all. The apparatus and procedure have then to be less-steel ring, (2) porous metal plates, (3) stainless-steel loading
adapted to such specimen shapes. plate, (4) container, (5) dial gages (attached to the bottom of con-
tainer (4), attachment not shown), (6) load measuring device, (7)
rigid frame and (8) loading piston, (9) stainless steel plate.
3. Part 2: suggested method for determining axial
swelling stress 3.2. Apparatus

3.1. Scope The apparatus6 is to include the following as sche-

1. The test is intended to measure the time depen-
dent axial swelling stress of a radially con®ned rock
specimen when immersed in water4. If possible the
maximum swelling stress is to be determined5.
4
For argillaceous rocks, distilled water is normally used. Water
from the sampling site, or water with a special chemical composition
may also be used. For rocks containing clay and anhydrite using dis-
tilled water may cause uncontrolled dissolution of sulphates in the
specimen. Normally a calcium-sulphate solution of 2.4 g CaSO4 per l
distilled water is used to minimize dissolution of the sulphate from
within the specimen into the container water.
5
In the swelling process of clay±anhydrite rocks two di€erent swel-
ling mechanisms are involved: the swelling of clay due to hydration
of clay particles (an osmotic process) and the swelling due to trans-
formation of anhydrite into gypsum (chemical process which involves
dissolution and precipitation). Normally clay swelling takes place in
the ®rst days after immersion in water or calcium-sulphate solution,
whereas anhydrite±gypsum swelling goes on for years.
6
Since nearly every institution working on swelling rocks has
developed its own apparatus for measuring the swelling stress, the
apparatus described here is only an example. The advantage of this
apparatus is the possibility to use steel rings of various diameters,
depending on the diameter of the specimen. This reduces time and
e€ort for preparation and lessens the risk of disturbing the specimen.
matically shown in Fig. 1.
2. (a) A stainless steel ring ((1) in Fig. 1), for rigid
radial restraint of the specimen. The inner surface of
the ring is to be polished and smooth. The wall thick-
ness of the ring depends on its other dimensions and
has to be calculated based on those dimensions and
the maximum lateral stress to be expected. Not more
than 10ÿ4 radial strain is allowed. Thicknesses between
5 and 10 mm are usually satisfactory. Several rings
should be available to ®t all desired specimen dimen-
sions.
(b) Two porous plates ((2) in Fig. 1). The porous
plates should be made of high modulus material.
Porous stainless steel plates are most suitable.
Alternatively, stainless steel plates into which a num-
ber of small holes (dia 0.1 mm) have been drilled are
also suitable. In the latter case, small channels con-
necting the small holes to the water supply are
required.
(c) One porous plate is to be on top of the specimen
and the other at its bottom. The lower plate is to have
a diameter of approx. 5 mm greater than the outer di-
ameter of the specimen ring, and the upper plate has
to be of a size just ®tting the inside of the ring without
restraining its movement.
296 F.T. Madsen / International Journal of Rock Mechanics and Mining Sciences 36 (1999) 291±306
(d) A stainless-steel loading plate ((3) in Fig. 1) of
the same bottom diameter as the upper porous plate,
but slightly conically shaped, and placed on top of the
porous plate. The loading plate has to be thick enough
to ensure rigid strain application; for specimen diam-
eters of between 50 and 100 mm a 10-mm thick plate
is adequate.
(e) A rigid frame ((7) in Fig. 1) with a loading device
capable of continuous adjustment.
(f) A loading piston or rod ((8) in Fig. 1) with a
hemispherical end or a separate sphere to rest on the
loading plate.
(g) Two mm dial gauges ((5) in Fig. 1) with a sensi-
tivity of 2.5 mm to measure the axial swelling or com-
pressive displacement of the specimen. The dial gauges
are attached to the bottom of the container (4).
(h) A sti€ load measuring device7 ((6) in Fig. 1), for
instance an electromechanical load cell capable of
measuring to an accuracy of 20.5% of the maximum
rating of the load measuring device.
(i) A container ((4) in Fig. 1) (dia 15 cm) for the
specimen assembly, and ®lled with water to a level
above the top of the specimen.
3.3. Procedure
3. (a) The test is to be conducted in an environment
7
Normally, load cells of a capacity of 20 kN and de¯ecting less
than 10ÿ8 are suitable. For very high swelling stresses, load cells of
50 kN may be required. The accuracy of 0.5% is related to the maxi-
mum rating of the load cell.
8
In argillaceous rocks rapid changes in strain take place during
the ®rst hours. Also, most of the changes usually occur within the
®rst few days, and the total test duration strongly depends on the
dimensions of the specimen. On the contrary, the transformation of
anhydrite into gypsum is a rather slow process and the determination
of the maximum swelling stress may take several years. These facts
should be considered when scheduling the test.
9
The swelling heave (axial strain) due to clay swelling is reversible
and for specimens containing only clay minerals (no anhydrite and
gypsum) the original thickness of the specimen may be kept constant
by increasing the axial stress. The steps should be kept as small as
possible, particularly toward the end of the test (see Fig. 2b); this is
necessary to obtain an accurate measurement of the maximum axial
force and thus maximum axial swelling stress. An axial strain of
0.05% in the last increment is usually adequate. The transformation
of anhydrite into gypsum cannot be reversed by increasing the axial
stress (at least not for the range of stresses which normally occurs in
tunnelling problems). For rocks containing anhydrite the axial strain
of the specimen caused by transformation of anhydrite into gypsum
is not to be compensated as a compensation will lead to an unreason-
able high swelling stress. In some cases it may however be sensible to
compensate the strain occurring during the ®rst days of the test as
this is usually caused by the clay-swelling process. After this time
however, no compensation is to be made.
10
In all tests, an alternative approach is to remove a part of the
specimen before drying to determine its mineralogical composition.
The mass M2 and M3 determination applies then to the remainder of
the specimen.
where the ambient temperature can be maintained con-
stant at 20228C.
(b) The thickness h0 of the specimen which was pre-
pared as described in Part 1 (Section 2, Specimen prep-
aration) is to be measured in at least three locations
between specimen ends, to an accuracy of 20.1 mm.
(c) The specimen diameter d is to be measured at
least at three locations along the circumference.
Measuring accuracy is again to be better than 20.1
mm.
(d) The mass of the specimen M1 is to be determined
to 0.1 g.
(e) The specimen ring is to be cleaned and its mass
M0 determined.
(f) The specimen is inserted into the ring. The speci-
men must ®t snugly into the ring.
(g) The apparatus is assembled. The ring with the
specimen is placed on the lower porous plate, followed
by the upper porous plate and the steel loading plate.
The plate is placed with the smaller diameter facing
upwards. The piston is brought into contact with the
top plate and centered.
(h) A seating load corresponding to an axial stress
of 25 kPa is to be applied. The initial readings of the
micrometer dial gages are noted.
(i) The container is ®lled with water to cover the top
porous plate.
(j) The container is covered with a plastic disc to
minimize evaporation of the container water.
(k) The axial force N and the axial displacement d
are measured and recorded as a function of elapsed
time t8.
(l) Depending on the mineralogical composition of
the specimen small amounts of strain are to be com-
pensated in a stepwise manner by increasing the axial
force9. The steps should be kept as small as possible.
(m) The test should be continued until the maximum
axial force developed by the specimen can be deter-
mined or estimated.
(n) The ring with the specimen is then to be
removed from the container (after removing of the
container-water and unloading), the excess water
wiped o€ and the mass M2 determined. For strongly
swelling rock, the water is drained o€ before unload-
ing. At this stage the specimen condition is logged.
(o) If the tested rock is purely argillaceous (no gyp-
sum), the specimen with the ring is heated in an oven
to constant mass at a temperature of 105228C. The
specimen with the ring is allowed to cool in a dessica-
tor. The oven-dry mass M3 is determined.
Alternatively the specimen can be oven heated without
the ring10.
(p) If the tested rock contains clay and anhydrite/
gypsum, a part of the specimen is used for the determi-
nation of the water content after testing as earlier
described.
 F.T. Madsen / International Journal of Rock Mechanics and Mining Sciences 36 (1999) 291±306 297

Fig. 2. (a) Plot of axial stress vs. time of argillaceous rock. s =maximum axial stress. (b) Plot of axial stress vs. compensated axial swelling
strain of argillaceous rock. s =maximum axial stress.
298 F.T. Madsen / International Journal of Rock Mechanics and Mining Sciences 36 (1999) 291±306

Fig. 3. (a) Plot of axial stress vs. time of clay±sulphate (anhydrite) rock. (b) Plot of axial swelling strain due to noncompensation of the specimen
height vs. time of clay±sulphate (anhydrite) rock.
 F.T. Madsen / International Journal of Rock Mechanics and Mining Sciences 36 (1999) 291±306 299

3.4. Calculations

4. (a) The following test parameters are calculated:

the area of cross section of the specimen A; the axial
stress s; the compensated swelling strains eclay and the
noncompensated swelling strains egypsum.
(b) The area of cross-section A of the specimen is
calculated as

pd2
Aˆ ,
4
where d is the specimen diameter.
(c) The axial stress s is calculated as

N
sˆ ,
A
where N is the measured axial force.
(d) The compensated clay swelling strain increment
Declay is calculated as

Ddclay
Declay ˆ ,
h0
where Ddclay is the displacement increment caused by
clay swelling and h0 the original thickness of the speci-
men.
(e) The noncompensated anhydrite into gypsum
swelling strain increment Degypsum is calculated as
Ddgypsum
Degypsum ˆ ,
h0
where Ddgypsum is the displacement increment caused
by the transformation of anhydrite into gypsum and h0
the original thickness of the specimen.
(f) Density, initial and ®nal water contents and
degree of saturation are calculated according to [2].
3.5. Reporting of results
5. The test report is to include the following for
each specimen.
(a) A unique identi®cation of the sample and of
each individual specimen.
(b) Information on geographic origin, lithology, fab-
ric and, if possible, mineralogy and pore water chem-
istry of the sample and specimen.
(c) Date and method of sampling; date(s) of testing.
(d) Method of sealing and storage.
(e) Method of specimen preparation for testing.
(f) Orientation of the specimen axis relative to speci-
Fig. 4. Apparatus for measuring the swelling strain: (1) container, (2)
dial gauge, (3) glass plate, (4) stainless-steel band and (5) specimen.
men anisotropy speci®cally with respect to bedding
planes and relative to in situ directions.
(g) Dimensions of the test specimen.
(h) Density, water content, grain density and degree
of saturation of the test specimen before the swelling
test11.
(i) Final density, water content and degree of satur-
ation of the test specimen after the swelling test.
(j) Test temperature.
(k) Applied seating-load.
(l) Speci®cation of water used for immersion.
(m) A plot of axial stress vs. elapsed time, such as
Fig. 2a and Fig. 3a.
(n) A plot of axial swelling strain vs. elapsed time,
such as Fig. 3b.
Additional for argillaceous rock:
(o) A plot of axial stress vs. compensated swelling
strain such as Fig. 2b.
(p) Total compensated swelling strain (optional).
4. Part 3: suggested method for determining axial and
radial free swelling strain
4.1. Scope

11
Density and water content of the test specimen are determined in 1. The test is intended to measure the axial and
the specimen next to the test specimen (having similar mineralogical radial free swelling strain developed when an uncon-
composition) in the drilling core or block. ®ned, undisturbed rock specimen is immersed in water.
300 F.T. Madsen / International Journal of Rock Mechanics and Mining Sciences 36 (1999) 291±306
4.2. Apparatus
2. The apparatus12 is to include the following as
schematically shown in Fig. 4:
(a) A container (dia 15 cm) for the specimen ((1) in
Fig. 4).
(b) A mm dial gauge (or equivalent) with a sensitivity
of 2.5 mm, mounted to measure the swelling displace-
ment in the central axis of the specimen ((2) in Fig. 4).
(c) A glass plate, positioned at the point of gauging
to prevent indentation of the specimen ((3) in Fig. 4).
(d) A thin (0.1 mm) ¯exible, stainless steel band ((4)
in Fig. 4) attached to the specimen by an elastic rubber
band. The steel band is calibrated at 0.1-mm intervals
and is used to determine the radial swelling13 defor-
mation.
4.3. Procedure
3. (a) The test is to be conducted in an environment
where the ambient temperature can be maintained con-
stant at 20228C.
(b) The thickness h0 of the specimen which was pre-
pared as described in Part 1 Section 2 is to be
measured in at least three locations between specimen
ends, to an accuracy of 20.1 mm.
(c) The specimen diameter d0 is to be measured at
least at three locations along the circumference, to an
accuracy of 20.1 mm.
(d) The mass of the specimen M1 is to be determined
to 0.1 g.
(e) The stainless-steel band is attached and the speci-
men with the dial gauge (or equivalent) is mounted in
the container.
(f) The container is to be ®lled with water to cover
the specimen.
(g) The container is covered with a plastic disc to
minimize evaporation of the container water.
12
This apparatus represents a possible example. If the swelling
strain has to be measured in three directions the specimens should
preferably be cube shaped. It should be possible to mount the dial
gauges (or equivalent) in three directions.
13
A number of possibilities exist to conduct both continuous and
more precise measurements of radial strain. Given the purpose of the
swell test, which is to provide as quick information as possible on
the swelling strain, such sophistication may not be justi®ed.
14
Some swelling rocks may start to disintegrate after a short period
of immersion in water by developing open ®ssures along their bed-
ding planes. In such cases, applying a small axial surcharge may be
advisable.
15
The time for reaching the ®nal (maximum) strain depends on the
mineralogical composition of the tested specimen. For argillaceous
rock this usually takes a few days. For rocks containing anhydrite it
may take several years to reach the ®nal strain, as the transformation
of anhydrite into gypsum is a rather slow process.
(h) The axial swelling displacement dax is recorded
as a function of time elapsed14.
(i) The swelling displacement is recorded until a
maximum (or constant) value has been reached or can
be estimates15.
(j) After swelling strain is determined, and before
the specimen is removed from the container, the
increase in circumference DC is measured with the
stainless-steel band.
(k) The specimen is then to be removed from the
container, the excess water wiped o€, the stainless-steel
band removed from the specimen, and the mass M2
determined. At this stage the specimen condition is
logged.
(l) If the tested rock is purely argillaceous, the speci-
men is heated in an oven to constant mass at a tem-
perature of 105228C. The specimen is then allowed to
cool in a dessicator. The oven-dry mass M3 is deter-
mined.
(m) If the tested rock contains clay and anhydrite/
gypsum a part of the specimen is used for the determi-
nation of the water content after testing as described
earlier.
4.4. Calculations
4. (a) The axial swelling strain eax and the radial
swelling strain erad are determined.
(b) The axial swelling strain is calculated as
dax
eax ˆ ,
h0
where dax is the axial displacement and h0 the initial
thickness of the specimen.
(c) The radial swelling strain is calculated as
drad
erad ˆ ,
d0
where d0 is the initial specimen diameter and
DC
drad ˆ ,
p
where DC is the increase in specimen circumference as
measured with the stainless-steel band (see 3f).
(d) Density, initial and ®nal water contents and
degree of saturation are calculated according to [2].
4.5. Reporting of results
5. The test report is to include the following for
each specimen.
(a) A unique identi®cation of the sample and of
each individual specimen.
(b) Information on geographic origin, lithology, fab-
 F.T. Madsen / International Journal of Rock Mechanics and Mining Sciences 36 (1999) 291±306 301

Fig. 5. (a) Axial swelling strain vs. time (example for an argillaceous specimen). e =maximum axial strain. (b) Axial swelling strain vs. time
(example for a clay±sulphate (anhydrite) specimen). e =maximum axial strain.
302 F.T. Madsen / International Journal of Rock Mechanics and Mining Sciences 36 (1999) 291±306

ric and, if possible, mineralogy and pore water chem-

istry of the sample and specimen.
(c) Date and method of sampling; date(s) of testing.
(d) Method of sealing and storage.
(e) Method of specimen preparation for testing.
(f) Orientation of the specimen axis relative to speci-
men anisotropy speci®cally with respect to bedding
planes and relative to in situ directions.
(g) Dimensions of the test specimen.
(h) Density water content, grain density and degree
of saturation of the test specimen before the swelling
test.
(i) Final density, water content and degree of satur-
ation of the test specimen after the swelling test.
(j) Test temperature.
(k) Applied load (if any).
(l) Speci®cation of water used for immersion.
(m) A plot of axial strain vs. elapsed time, such as
Fig. 5a or b.
(n) Maximum axial swelling strain.
(o) Maximum radial swelling strain.
(p) Volumetric strain, either computed from axial
and radial swelling strain for regularly shaped speci-
mens, or determined by the liquid displacement
method.

5. Part 4: suggested method for determining axial

swelling stress as a function of axial swelling strain
5.1. Scope
1. The test is intended to measure the axial swelling
strain necessary to reduce the axial swelling stress of a
radially constrained rock specimen immersed in water
from its maximum value to a value which is acceptable
in the particular application. It is intended for appli-
cation to cases where analogous boundary conditions
prevail. The test is practicable only on purely argillac-
eous specimens.
5.2. Apparatus
2. The apparatus16 is to include the following as
schematically shown in Fig. 6.
(a) A stainless-steel ring for rigid radial restraint of
the specimen ((1) in Fig. 6). The inner surface of the
ring is to be polished and smooth. The wall thickness
of the ring depends on its other dimensions and has to
16
The apparatus described here is essentially a modi®ed oedometer,
as used in soil mechanics. The di€erence and advantage of this par-
ticular apparatus is the possibility to use steel rings of various diam-
eters, depending on the diameter of the specimen. This reduces time
and e€ort for specimen preparation and lessens the risk of disturbing
the specimen.
Fig. 6. Apparatus for measuring the axial swelling stress as a func-
tion of axial swelling strain: (1) stainless-steel ring, (2) porous metal
plates, (3) stainless-steel loading plate, (4) container, (5) dial gauge
(attached to the bottom of container (4)), attachment not shown and
(6) loading frame.
be calculated based on these dimensions and the maxi-
mum lateral stress to be expected. Not more than 10ÿ4
radial strain is allowed. Thicknesses of between 5 and
10 mm are usually satisfactory. Several rings should be
available to ®t all desired specimen dimensions.
(b) Two porous plates ((2) in Fig. 6). The porous
plates should be made of a high modulus material.
Porous stainless-steel plates are most suitable.
Alternatively, stainless-steel plates into which a num-
ber of small holes (dia 0.1 mm) have been drilled are
also suitable. In the latter case, small channels con-
necting the small holes to the water supply are
required.
(c) One porous plate is to be on top of the specimen
and the other at its bottom. The lower plate is to have
a diameter approx. 5 mm greater than the outer diam-
eter of the specimen ring, and the upper plate has to
be of a size just ®tting the inside of the ring without
restraining its movement.
(d) A stainless-steel loading plate of the same bot-
tom diameter as the upper porous plate but slightly
conically shaped, and placed on top of the porous
 F.T. Madsen / International Journal of Rock Mechanics and Mining Sciences 36 (1999) 291±306
Fig. 7. Axial stress vs. total axial strain: (1) compression curve (without water supply), (2) water applied at the stress sA (in this example=2
MPa), (3) swelling at the stress sA, (4) unloading to sB (in this example=1.5 MPa), (5) swelling at the stress sB, (6) matrix deformation strain
Des and (7) swelling strain Des.
plate. The loading plate has to be thick enough to
ensure rigid strain application ((3) in Fig. 6). For spe-
cimen diameters of between 50 and 100 mm a 10-mm
thick plate is adequate. An indentation in the center of
the plate for placing the load transfer sphere (see (e)
below) is required.
(e) A loading frame ((6) in Fig. 6), with suitable fea-
tures to apply incremental loads up to a total load of
10 kN. Direct loading or indirect loading via a lever
using lead plates are possibilities. The loading frame
transmits the load to the top steel plate via a 2-cm di-
ameter polished steel sphere.
(f) A mm dial gauge (or equivalent) with a sensitivity
at 2.5 m attached to the bottom of container (4) an
mounted in such a way as to measure compression
and swelling along the central axis of the specimen ((5)
in Fig. 6).
(g) A container ((4) in Fig. 6) (dia 15 cm) for the
specimen assembly, which is ®lled with water to a level
above the top of the specimen.
5.3. Procedure
3. (a) The test is to be conducted in an environment
where the ambient temperature can be maintained con-
stant at 20228C.
(b) The thickness h0 of the specimen, which was pre-
303
pared as described in Part 1 (Section 2, Specimen prep-
aration) is to be measured in at least three locations
between specimen ends, to an accuracy of 20.1 mm.
(c) The specimen diameter d is to be measured in at
least three locations along the circumference.
Measuring accuracy is again to be better than 20.1
mm.
(d) The mass of the specimen M1 is then to be deter-
mined to 0.1 g.
(e) The specimen ring is to be cleaned and its mass
M0 determined.
(f) The specimen is inserted into the ring. The speci-
men must ®t snugly into the ring.
(g) The apparatus is assembled. The ring with the
specimen is placed on the lower porous plate, followed
by the upper porous plate, the loading plate and the
sphere. The load frame is then placed on the sphere.
(h) The specimen is loaded in a stepwise manner up
to a load corresponding to a desired axial stress s. A
stress level comparable to the overburden stress at the
sample location is reasonable. This load and the corre-
sponding ®nal compression of the specimen are
recorded (Fig. 7, curve l).
(i) The container is the ®lled with water to cover the
top porous plate.
(j) Initial swell heave is recorded (curve segment 3 in
Fig. 7).
304 F.T. Madsen / International Journal of Rock Mechanics and Mining Sciences 36 (1999) 291±306

Fig. 8. Axial stress vs. swelling strain.

(k) The axial load is reduced in consistent decre- cool in a desiccator. The oven-dry mass, M3 is deter-
ments17. It is usual to reduce the load by 50% in each mined and recorded. Alternatively the specimen can be
step. However, other decrements can also be chosen. oven heated, without the ring.
(l) The swell heave for each load decrement is
measured until no displacement can be observed for 5.4. Calculations
the particular load decrement. The load decrement and
the displacement are recorded. 4. (a) The following test parameters are calculated:
(m) Steps (k) and (l) are repeated down to a load the area of cross section of the specimen, A, the axial
corresponding to 25 kPa18. Complete unloading is not stress s, the axial matrix deformation strain Des and
recommended because upward bulging may occur pro- axial swelling strain Des.
ducing displacements which are not representative of (b) The area of cross-section A of the specimen is
swelling. calculated as
(n) The ring with the specimen is then to be
removed from the container (after removing of the pd2
Aˆ ,
container water and unloading), the excess water 4
wiped o€ and the mass M2 determined and recorded.
where d is the specimen diameter.
For strongly swelling rock the container water is
(c) The axial stress s is calculated as
drained o€ before unloading. At this stage the speci-
men condition is logged. N
(o) The specimen with the ring is heated in an oven sˆ ,
A
to constant mass at a temperature of 105228C.
(p) The specimen and the ring and is allowed to where N is the measured axial force.
(d) The matrix deformation strain Des, which is re-
17
lated to the axial stress decrement, is calculated as:
This procedure is expected to produce lower bound swelling stres-
ses for a particular swelling strain. The method is appropriate for ds
determining heave resulting from unloading. Des ˆ ,
18
For applications in which the stress on the swelling rock is lower h0
than 25 kPa, such as foundations of light buildings or excavated
slopes, lower ®nal loads have to be selected. where ds is the instantaneous axial displacement due
 F.T. Madsen / International Journal of Rock Mechanics and Mining Sciences 36 (1999) 291±306
to matrix deformation per decrement Ds and h0 the
original thickness of the specimen.
The swelling strain Des at each stress level is calcu-
lated as
ds
Des ˆ ,
h0
where ds is the axial displacement due to swelling per
decrement Ds and h0 the original height of the speci-
men.
(e) Density, initial and ®nal water contents and
degree of saturation are calculated according to Ref.
[2].
5.5. Reporting of results
5. The test report is to include the following for
each specimen.
(a) A unique identi®cation of the sample and of
each individual specimen.
(b) Information on geographic origin, lithology, fab-
ric and, if possible, mineralogy and pore water chem-
istry of the sample and specimen.
(c) Date and method of sampling; date(s) of testing.
(d) Method of sealing and storage.
(e) Method of specimen preparation for testing.
(f) Orientation of the specimen axis with respect to
specimen anisotropy, speci®cally with respect to bed-
ding planes and relative to in situ directions.
(g) Dimensions of the test specimen.
Fig. 9. (1), (5)=bearings, (2)=upper adapter, (3)=trimming ring;
(4)=lower adapter and (6)=specimen.
305
(h) Density, water content, grain density and degree
of saturation of the test specimen before the swelling
test.
(i) Final density, water content and degree of satur-
ation of the test specimen after the swelling test.
(j) Test temperature.
(k) Speci®cations of water used for immersion.
(l) A plot of axial stress vs. total axial strain similar
to Fig. 7. The plot has to distinguish between Des ((6)
in Fig. 7), which is the instantaneous strain directly re-
lated to the axial stress decrement through matrix de-
formation, and Des ((7) in Fig. 7), which is the swelling
strain caused by adsorption of water. The total strain
at a certain stress is thus
Detot ˆ Des ‡ Des :
(m) A plot of swelling strain vs. axial stress such as
Fig. 8. This graph is obtained by plotting the swelling
strain, Des for the corresponding stress decrements.
The resulting curve can be used to estimate the poten-
tial swelling strains which need to be considered in de-
sign.
6. Final comments
. The methods are relatively simple and have been
extensively used in practice.
. Future development of laboratory testing will be
necessary, particularly regarding 3-D testing.
. The maximum possible swelling stress developing
from the transformation of anhydrite into gypsum is
not known at the present time. Swelling stresses up
to 8 MPa have been reported from laboratory tests.
Acknowledgements
The Commission members responsible for preparing
these suggested methods were: C. Amstad,
Switzerland, G. Anagnostou, Switzerland N. Bischo€,
Switzerland; H.H. Einstein, USA; E. Fecker,
Germany; L. Hauber, Switzerland; J.R. Kiehl,
Germany; D. Kirschke, Germany; F.T. Madsen,
Switzerland; G. Mesri, USA; R. NuÈesch, Switzerland;
H. Santos, Brazil; W. Steiner, Switzerland; B. VoÈgtli,
Switzerland.
Appendix A. Specimen preparation for rocks that can
easily break
(a) The intact specimen is trimmed into a sharp-
edged, approx. 65 mm diameter and 20 mm tall
highly-polished stainless-steel con®ning ring. The
sample is hand-carved in a humidity-controlled room
306 F.T. Madsen / International Journal of Rock Mechanics and Mining Sciences 36 (1999) 291±306
using sharp and pointed (for instance, Bard-Parker
No. 10) stainless-steel surgical blades.
(b) A slice approx. 30 mm thick is to be cut ¯at
from an undisturbed cylindrical (or block shaped)
sample. If necessary, the slice-ends are to be re®nished
¯at and nearly parallel to each other using a sharp,
straight edge.
(c) The slice is to be placed and centered on the
lower adapter of a manual press (Fig. 9). The manual
press is modi®ed from a U-116 Field Classi®cation
Tester (Soiltest, Inc), using two adapters and bearings
so that the swelling rock slice can be rotated freely
during the trimming process.
(d) After removing any rock from outside the ring,
the trimming ring is to be pressed down in small incre-
ments (generally less than 2 mm) using the manual
press. Prior to each increment the part of the specimen
just below the trimming ring is to be handcarved as
close as possible to the ®nal dimension but without
undercutting, so that only a thin annular layer is
removed by the advancing ring. This is to be continued
until the specimen completely occupies the 20 mm high
ring.
(e) The face of the specimen at the sharp end of the
ring is to be cut ¯at using a sharp, straight edge.
(f) For testing the specimen, height must be less
than the ring height. A spacer approx. 5 mm thick is
to be placed against the ¯at surface, and using the
manual press the trimmed specimen is pushed out in
the direction opposite to the one it has been pushed in.
(g) The specimen is then to be cut ¯at at this oppo-
site end using a sharp straight edge as it extrudes out
of the ring, such that the desired specimen thickness is
reached.
References
[1] Suggested methods for laboratory testing of argillaceous swelling
rocks. ISRM Commission on Swelling Rocks, 1989.
[2] ISRM Commission on Standardisation of Laboratory and Field
Tests. Suggested methods for determining water content, poros-
ity, density, absorption and related properties and the swelling
and slake durability index. In: Brown ET, editor. Rock charac-
terisation, testing and monitoring. Oxford: Pergamon Press, 1981
document No. 2, First Revision.