Chapter 1

Literature review

1.1 Stiffness
In order to predict the mechanical respone of soils and rocks the costitutive law should
be defined. A relationship between the stress and strain increments, through a stiffness
tensor C

dij = Cijkh dkh

where C has 36 independent scalar quantities called elastic constants.

The simplest constitutive law is expressed for the hypothesis of Isotropic Linear
Elastic (ILE) material where the stiffness tensor is composed by only two independent
constants. It can be demostrated that for an ILE material the mechanical response of
the rock can be decoupled in two independent parts:

1. Volumetric variations are associated with the volumetric deformation modulus K??
(or simply Bulk modulus);

2. Shape variations depend only on the G modulus ??.

Now it should be noted that the experimental data show a mechanical behavior of the
soils that is far from linear elasticity, and this fact implies on the operational plane the
need to take account of the deformation level. For this reason, we need to introduce a
G tangent modulus

d
Gt =
d
1.1 Stiffness 2

Figure 1.1: G moduli variations as function of deformations

which describes the variation of the stress due to a small variation of deformation
around the current state, or a G secant modulus

Gsec =

that identifies a mean stiffness in a stress interval determined from a reference zero
as shown in Fig1.1.
It is clear that the two values of the moduli coincide in the initial phase of the test,
while as deformation increases more and more the two values become very different. In
particular, in a mechanically unstable material (like OC clay or sand in dense conditions
as shown in Fig1.2), the tangent modulus tends to decrease to the peak value, it is null
at peak strength and becomes negative in the post-peak part, thus losing of any physical
meaning. On the contrary, the secant modulus decreases monotonically as deformation
level increases and it tends to zero for infinite deformations (Lancellotta, 2012)[? ].

1. A typical plot to highlight this non-linear behavior is to represent the secant mod-
ulus as a function of deformation as shown in the figure 1.3 . As expressed by
Lancellotta (2012)[? ] and reaffirmed by Foti (2015)[? ], it is possible to observe:

a range where a linear threshold (t ) of the order of 105 exists , below which the
1.1 Stiffness 3

Figure 1.2: CID TX compression tests on sand and clay (Deangeli 2016)[? ]

Figure 1.3: Shear modulus decay as a function of shear strain (Lancellotta, 2012) [? ].
1.1 Stiffness 4

initial tangent modulus G0 or Gmax remains constant, the shear strains and volu-
muetric strains are decoupled (for this reason we dont observe interstitial over-
pressures in undrained tests), load cycles do not exhibit hysteresis and the material
has no memory of the previous deformations. This linear threshold increases with
the plasticity of the material (PI) and as the confining pressure increases.

Over t range, the behavior is irreversible. In this way, the stiffness modulus
decreases significantly as deformations become larger and larger and now every
loading cycle is characterized by hysteresis phenomena.

Finally, beyond p thresholds, the plastic deformations are predominant, so beyond

this range volumuetric strains and shear strains are linked in drained tests and
interstitial overpressures (u) are observed in undrained tests.

Therefore, when it is necessary to estimate the true behavior of the earth, an elastic
pattern would be appropriate only below the linear threshold; however, in problems
involving monotone loading conditions , an equivalent modulus can be used, only if the
latter is representative of the deformation level (Lancellotta, 2012).

1.1.1 Small strain stiffness

The small strain stiffness and the stiffness degradation curve of soils are required in
advanced numerical analyses of geotechnical engineering problems. The shear modulus
at small strain (Gmax) and the reference shear strain parameter () are, for instance,
two of the input parameters in a finite element analysis with the hardening soil model
with small strain stiffness (Likitlersuang, 2013 [? ]).
The initial stiffness modulus is a significant soil parameter in order to predict the
ground movement and to understand field data. In soil dynamics and seismic engi-
neering, the small strain shear modulus (Gmax or G0 ) and the damping ratio (D) are
important parameter in soil characterisation.
A stiffness decay curve help us to understand the evoluiton of the shear stiffness
modulus for a wide range of shear strain.
Atkinson and Sallfors (1991) categorised the strain levels into three groups: the very
small strain level, where the stiffness modulus is constant in the elastic range; the small
strain level, where the stiffness modulus varies non-linearly with the strain; and the
large strain level, where the soil is close to failure and the soil stiffness is relatively
small. This explanation was illustrated using the normalised stiffness degradation curve
1.1 Stiffness 5

Figure 1.4: Normalised stiffness degradation curve[? ]

by comparing with the ground response from geotechnical construction and the measure-
ment accuracy from laboratory investigation (Atkinson and Sallfors, 1991; Mair, 1993)
as shown in Fig.1.4[? ].
Some study done on ground movements induced by tunneling using a finit element
studied on London underground revealed that non-linear small strain stiffness are nec-
essary to achieve ground settlement predictions. Furthermore they highlight as the
deformation level reached by the ground under operating conditions is between 104
and 103 , excluding the contact areas at the load boundary, where plastic deformations
may occur (Atkinson and Sallfors and Burghignoli et al., 1991).

1.1.2 Kinematic nature of soil stiffness

Through the use of local transducers on lab tests its possible to study in detail the
behaviour of soils. In fact the use of these tests allow to obtain an higher resolution at
very small strain.
1.1 Stiffness 6

Figure 1.5: Zones in triaxial stress space (Jardine, 1992)

The small strain behaviour of soils may be described using a simple scheme of two
Kinematic Sub-Yield Surfaces located within a Bounding Surface. Performing triaxial
tests, assuming negligible creep and a monotonic load and representing the results in a
normalised stress space, three zone where the behaviour of soil is quite different can be
detected (Fig 1.5):

1. Zone 1: perfectly linear elastic;

2. Zone 2: non-linear elastic;

3. Zone 3: plastic region.

These zones are delimited by boundaries that are not fixed, but they can move.
The first surface forms the boundary of the linear elastic behaviour (Zone I) and we
will see below that it is difficult to locate or prove for most soils, the second surface marks
the limit to still recoverable zone, but non linear behaviour (Zone II). Between Zone II
aand the initial Bounding surface there is a zone called Zone III, where the behaviour
is transitional and plastic component of strains become ever larger as the stress point
approaches the Bounding Surface [? ].
1.1 Stiffness 7

1.1.2.1 Zone 1

This zone is the smallest where the stiffness can be assumed costant (Ei=Emax or
Gi=Gmax).
In reality, the perfect linear elastic behaviour doesnt exist but its a good approxi-
mation only in particular cases and only at very small strain. In addition the anisotropy
should be taken into account. As it will be discussed, many dynamic tests (resonant
column, bender element test, ..) has shown that the behaviour of naturall soils depends
also on the direction at which they are subjected.
It can be stated that Zone 1 exists and varies in size and shape according to:

Kind of Test ( Static or Dynamic);

Drained or Undrained condition;

Nature of soil (Cemented or Uncemented);

OCR;

Number of cycles;

Strain rate at which the test is performed.

Static Triaxial Test on cemented specimen have proven that [? ]:

Drained tests show a linear trend and greater stiffness than Undrained tests. The
stiffness of the drained test was constant for the entire test before brittle failure.
In this case Zone II and Zone III doesnt exist but they are engulfed by Zone I.

In Undrained conditions, Zone I could not exist. CIU tests showed not only a
softer response, but also stiffness was a little bit reduced. Furthermore, sometimes
in CIU condition is not possible to identify a linear trend. It means Zone I could
not exist in undrained condition for cemented soils.

Static Triaxial Test on uncemented soils have proven that:

If Zone I exists, its much smaller. Less cemented soils have shown that Zone I is
smaller than cemented soils (as expected) and also the irrecoverable strains (Zone
III) start at an early stage (Tatsuoka et al., 1990).

Resonant column results on two different clays demonstrate that Zone I exists even if
small and initial moduli are generally overestimated due to two main reasons:
1.1 Stiffness 8

The test is a cyclic test;

The strain rate allowed in terms of time is quite different than the standard
tests;

In addiction the mechanical response of soils depends also on the stress directions
at which the specimen is subjected.

1.1.3 Isotropic linear elastic model

The simplest constitutive law is described doing the following hypoteses:

Homogeneous (the characteristics of the body are constant in all points);

Linear elastic;

Isotropic (the mechanical response is independent of the orientation of the applied

stress).

The Linear Elastic model is used to describe materials which respond as follows:

1. the strains in the material are small ( linear );

2. the stress is proportional to the strain (linear);

3. the material returns to its original shape when the loads are removed, and the
unloading path is the same as the loading path ( elastic );

4. there is no dependence on the rate of loading or straining ( elastic ).

This model well represents the engineering materials up to their elastic limit.
So doing all these assumptions, the Isotropic Linear Elastic material is described
using only 2 constants (E and ) that are independent and the stress-strain law can be
written as:

xx = 1
[
E xx
(yy + zz )

yy = 1
[
E yy
(xx + zz )

zz = 1
[
E zz
(xx + yy )
1.1 Stiffness 9

xy = 1+
E
xy

xz = 1+
E
xz

yz = 1+
E
yz

where

E or Young modulus is a measure of the stiffness of the sample in uniaxial com-

pression E = zz ;

or Poissons coefficient is the ratio of the lateral expansion to axial shortening in

uniaxial compression = xz .

This is known as Hookes Law. In addition other Elastic moduli can be retrieved from
these two constants, depending on the cases to be analyzed:

G or Shear modulus is the ratio of an applied shear stress to a corresponding shear

strain G = 2(1+)
E
;

K or Bulk modulus is the stiffness of a material in hydrostatic compression K =

p
v
= 3(12)
E
, where p = x = y = z ;

E_oed or Oedometric modulus is the stiffness in confined uniaxial compression

(no lateral strains occur): Eoed = (1+)(12)
E(1)
.

1.1.3.1 Drained and Undrained conditions

Its important to recall that elastic parameters should be differentiated according to the
conditions at which tests are performed. Undrained analysis are studied in terms of
total stress, instead in drained tests effective stress must be used.
In the case of undrained analysis, if the material is saturated, the kinematic constraint
of no volume variation requires that the Poissons coefficient is equal to 0.5. In these
conditions, the volumetric deformation module assumes infinite value, and therefore
the deformations in terms of volume are zero, whatever the entity of the applied load.
In drained conditions the Poissons coefficient results experimentally always positive
between 0 and 0,5.
Its important to underline that the shear modulus, due to the fact that is indipen-
dent from interstitial pressure, it has the same value in both situations (undrained and
drained) [? ]. Thats why many tests are performed in order to retrieve the G moduli.
1.2 Static and Dynamic elastic moduli 10

For this reason, when it is necessary to distinguish the cases from which the param-
eters are derived, we will refer to the following nomenclature:

In drained conditions the elastic moduli are indicated as E and

In undrained conditions the elastic moduli are indicated as Eu and u .

1.2 Static and Dynamic elastic moduli

1.2.1 General Definitions
The static elastic modulus measures the stiffness of a material through the slope of
the strain-deformation curve constructed by compression or traction tests and applying
monotonously increasing loads.
Instead, cyclical and dynamic problems requires strictly different approaches respect
to static ones, where time factor is the discriminating parameter. In fact, in the case
of monotonously increasing loads, time can be hours, for cyclic and dynamic loads it is
quantifiable in minutes and seconds, so a very narrow range characterized by cumulative
deformations non reversible mainly dependent on amplitude and direction of the induced
shear stress (Di Francesco R., 2008).
As a first approach, we can say that Static and dynamic moduli have the same
meaning but not the same values (Socco, 2016).
Dynamic moduli refer to small strain level (10-6) and they are generally retrieved
in undrained conditions. The equations used to calculate dynamic moduli assume ideal
rock; that is, the rock is perfectly linear elastic, homogeneous , and isotropic. Reservoir
rocks, of course, are not ideal. This causes the values of static and dynamic moduli to
be different [? ]. Furthermore the consequences are that they are higher than those
usually obtained in standard tests and they are strongly influenced by fluids.

1.2.2 Factors affecting resistant parameters

1.2.2.1 Relationship between modulus and the wave velocity propagation
in the subsoils

The values of the shear modulus to be used in the case of very small variations in the
tension state can be determined by measuring the wave velocity propagation in situ,
or in the lab on undisturbed specimens. The values of the tangential modulus thus
1.2 Static and Dynamic elastic moduli 11

Figure 1.6:

obtained are used in dynamic problems, and are mainly used to obtain an upper limit
of the modulus value.
Due to the fact that the shear modulus G must be the same in drained and undrained
conditions, the difference between the shear wave velocity through a saturated soil and
on the same dry specimen must be very small if the porosity index (e) and the effective
stress are the same in both situations.
Instead the Young modulus in undrained conditions, at very small stress variation,
could be evaluated on specimen in the lab measuring the longitudinal wave velocity (...).
The P-wave velocity in water, it means on a fully saturated sample, is more or less
equal to 1500 m/s and naturally is much bigger than a dry sample. So the P-wave
velocity is more dependent on the fluid phase compressibility and less dependent on
the solid skeleton compressibility; it means the wave velocity is independent from the
effective stress.
So knowing the wave velocity on the porous media which is a value easily obtainable
by in situ tests, does not provide useful indications on the stiffness of the solid skeleton
of saturated soils [? ].
1.2 Static and Dynamic elastic moduli 12

Figure 1.7: Influence of the number of cycles (Foti, 2015)

1.2.2.2 Load cycle

Many tests have shown that the stess-strain modulus for undrained loading becomes
greater after the first cycle of loading. This happens cause part of apparent strains in
the initial loading is due to closure of cracks on the sample. This errors are largely
greater in unconfined compression tests and lead to underestimate the moduli than in
standard triaxial test. Tests on London clay showed that the stress-strain modulus of
the second loading cycle was 1.5 times greater than the one obtained from the first cycle
[? ].
On the other hand, if the load/unload cycles becomes more and more beyond the
elastic field the specimen begins to degrade and the resistance modulus decreases as
shown in Fig 1.7.
In addition Foti (2015) argued that:

if the number of cycles are the same, cyclic degradation increases as the shear
strains increases;

cyclic degradation reduces as OCR increases (Generally degradation phenomena

1.2 Static and Dynamic elastic moduli 13

are particularly marked on low plasticity normal consolidated clay.

1.2.2.3 Time: Strain rate effects

This is a fundamental parameter for understanding, from a general point of view, when
the static domain start to become dynamic.
Strain rate refers to the rate of strain (i.e. change in axial strain per unit time) that
is applied during undrained shear. The rate of srain can have very large effects on the
stress-strain modulus.
As studied and tested by Richardson and Whitman (1963) where they compared
data from dynamic tests (a test in which the sample is failed in 1msec) with those from
static tests (one in which a specimen is failed in 10 min), Whitman (1964) concluded
that the dynamic modulus is 1.5 to 2 times greater than static modulus [? ].

1.2.3 Type of lab tests on rocks

Rock mechanical properties such as Poissons ratio, shear modulus, Youngs modulus,
bulk modulus, and compressibility can be obtained from laboratory measurements, which
allow direct measurements of strength parameters and elatic behaviour on recovered core
material from discrete depths.

1.2.3.1 Static lab tests

Rock strength is estimated from two common laboratory techniques: uniaxial compres-
sive strength tests and triaxial or confined compressive strength tests. Uniaxial com-
pressive strength tests are used to determine the ultimate strength of a rock, that is, the
maximum value of stress attained before failure.

Triaxial compression test (TXT) It is used to determine:

Shear strength parameters (cohesion, friction angle) c, ;

TheYoung Modulus E;

The Poisson ratio.

1.2 Static and Dynamic elastic moduli 14

Uniaxial Unconfined compression test Uniaxial compression of cylindrical speci-

mens prepared from drill core, is the most widely performed test on rocks. It is used to
determine:

The uniaxial or unconfined compressive strength (UCS) Co or c ;

The Young Modulus E;

ThePoisson ratio.

Hydrostatic (or Isotropic) Compression test In Hydrostatic tests, measurements

are performed to determine the bulk modulus of the rock K (drained and undrained)
and solid grains.
Normally failure does not occur under hydrostatic loading, although pore collapse in
chalk and grain crushing in sandstone may induce failure at high stress levels.
Its used to evaluate volumetric deformation

Oedometer test A one-dimensional compression process is simulated in the labora-

tory by compressing a soil specimen in a special testing apparatus called oedometer.
The oedometric test is used in soil mechanics to determine the pre consolidation stress
and the soil compressibility (in oedometric conditions) and to evaluate one dimensional
compression settlements [? ]. This tests are carried out by ensuring that no lateral
strains occur.

1.2.4 Dynamic lab tests

During the years we have assisted to continuous improvement of the measurement tech-
niques. The procedures for investigating the mechanical behavior of soils and rock at low
deformation levels are variegated; the use of local transducers in triaxial cells, or mea-
suring wave propagation velocities through bender element and using more sophisticated
tests such as resonant column test.

1.2.5 Other approaches

Usually, it is not possible to perform static laboratory tests from drilled samples and
modulus must be obtained from ultrasonic testing. In these cases in which it is not
possible to perform destructive tests to determine the characteristics of the rock, the use
of non-destructive techniques using mobile devices constitutes an alternative option.
1.2 Static and Dynamic elastic moduli 15

The dynamically determined elastic modulus (Edyn) is generally higher than that
statically determined, and both methods provide high divergent results for low elasticity
modulus rocks (Ide 1936).
Some authors (Ciccotti and Mulargia 2004) consider that the static test is a dynamic
test at a very low frequency, and they highlight the nonlinear elastic response to different
associated frequencies (f). In addition it has been observed that there is no significant
dependence on frequency below the seismic regime, confirming that seismic methods
produce accurate estimates of elastic modulus for geophysical modeling [? ].
Indeed, elastic constants can be measured using three different standard techniques
whom cover nine orders of magnitude of frequency: The main methods used to measure
them are (M. Ciccotti et al., 2004 [? ]:

1. the static method, which is based on the measurement of the deformation induced
in a material by the application of a known force, the uniaxial static compression
test (~ 10-3 Hz);

2. the forced oscillation method, which consists of measuring the ratio between force
and deformation in an intermediate range of frequency, through a device called
Dual Cantilever (da 10-2 a 200 Hz);

3. the dynamic method, which implies the measurement of the ultrasonic longitudinal
and transversal velocities (at 75 kHz and at 1 MHz).

As a result of inelastic effects, these values do not necessarily coincide (M. Ciccotti and
F. Mulargia, 2003 [? ] . In spite of this, the lack of available data forces one to use them
indifferently, albeit with persisting doubts about the reliability of such an operation.
Eissa and Kazi (1988) [? ] did several laboratory measurements, where the elastic
moduli are divided into static and dynamic moduli. Their proposed empirical relations
show that values of static moduli appear in generally from 5% up to 10% lower than
those of dynamic moduli; in some cases, due to the fact that the scatter among the data
is very huge, static measurements can differ from dynamics of an order of magnitude [?
].

1.2.6 ILE and reservoir rocks

Elastic behaviour is characterised by perfect reversibility of the strains associated with
load increment. For a large number of rocks, this type of behaviour is encountered for
moderate stress range. Above a certain level of loading some rocks, including crystalline
1.3 Compaction phenomena in reservoir rocks 16

rocks, sandstones of low to medium porosity, compact limestone, chalks, etc. exhibit
linear behaviour. The isotropic elastic parameters of the rock are then easily determined
using the stress-strain curves obtained at costant pore pressure (drained test) [? ].
.

1.2.7 Possible correlations

1.2.7.1 Analytical

1.2.7.2 Empirical

1.3 Compaction phenomena in reservoir rocks

Reservoir rocks are subjected to the internal stress exerted by fluids in the pores, and
to external stress which is in part exerted by the overlying rocks.
The depletion of fluids from the reservoir rocks results in a change in the internal (hy-
drostatic) stress in the formation, thus causing the rock to be subjected to an increased
and variable overburden load, and the result is the compaction of the rock structure due
to an increase in the effective stress. This compaction results in changes in the grain,
pore, and bulk volume of the rock.

1.3.1 Stress redistribution

Before any production the system is in equilibrium and the total overburden is carried
partly by the reservoir rock and partly by pressure exerted on the fluids whitin pores.
The pore fluid is acting in the pore spaces between the mineral grains and the rock
structure and presses out against the overburden (vertical) and the horizontal reservoir
stress.
During production of the reservoir fluids a certain amount of energy is necessary to
overcome the resistance to flow through the rock. This process can cause a considerable
drop of the reservoir pressure, in the direction of flow toward the well. Meanwhile, the
weight of the overburden (layers on top of the reservoir) remains constant. Consequently
a larger part of this overburden load has to be carried by the rock skeleton. The stress
on the rock structure (i.e. the effective stresses) increases.
The reservoir rock will be compressed (compacted) until a new equilibrium is reached.
During production, a portion of the overburden weight is transferred from the reser-
voir pore fluid to the reservoir rock matrix and a part is transferred to the geological
1.3 Compaction phenomena in reservoir rocks 17

media laterally exterior to the reservoir (sideburden). However, an often used assump-
tion of the mechanical response of the reservoir is the assumption of uni-axial strain
during deformation. This simplification allows an easier characterization of rock proper-
ties using data from uni-axial lab measurement . As the fluids are withdrawn from the
reservoir, it is assumed to only compact one-dimensional in the vertical direction. This
assumption is valid if the vertical extent of the reservoir is small compared to its lateral
extent [[? ]].

1.3.2 Terzaghis Principle and Biot-Willis coefficient

The effect of pore pressure on the mechanical properties of saturated rocks has been
extensively investigated by using the concept of effective stress, which Van Terzaghi
defined as the stress controlling compression or shear in rocks, and is simply the difference
between the applied overburden load or the total stress and the pore pressure:

= u

where is a correction factor that measures the effectiveness of the pore pressure
in counteracting the total applied load. The value of , which varies between 0 and 1,
depends on the pore geometry and the physical properties of the constituents of the solid
system. In the extreme cases when is equal to 0, the pore pressure has no effect on the
behavior of the rock, and when =1 the pore pressure is 100% effective in counteracting
the applied load.
The coefficient in the regime of linear elasticity of isotropic rocks is equal to the
so called Biot coefficient:
K
=1 Ks

where K is the drained bulk modulusof the solid skeleton and K_s is the bulk
modulus of the solid phase.

1.3.3 Rock compressibility

In Petroleum applications the Oedometric test is thought to simulate the compaction of
a reservoir during depletion.
So, as mentioned before, if the lateral extent of the reserovir is much larger than
its thickness (ie if we can assume that the field is infinitely extended horizontally, we
have geometric symmetries on the field of stresses and deformations) the analysis models
1.4 Induced Subsidence 18

show the absence of lateral deformations only along the center of the baricentric axis at
which the longitudinal elastic modulus is reduced to the edometric.

1.4 Induced Subsidence

1.4.1 Introduction to subsidence phenomena
The withdrawal at big scale of hydrocarbons and water from the subsurface can lead to
great lowering of the ground of vast area.
Its intuitive that as a first approach to this phenomenon, its necessary to identify
first of all which substrata are more sensible to the compaction as fluids comes out from
them, trying to substitute successively these fluids. The aim of the injection fluid is to
help and sustaining the solid skeleton of the weak strata.
Exasperating cases like The Wilmington oil field (Long Beach, California, Usa), the
extraction of crude oil caused the lowering of a area of 42 Km2, with drops up to 7.5
meters .
It could be a big mistake to think that subsidence is only due to the withdrawal of
fluids from the subsoil. Many factors play an important role on subsidence magnitude.
From the history of fluid production from porous reservoirs was discovered five key
parameters in order to assess the effects of the subsidence:

1. Porosity;

2. Reservoir thickness;

3. Considerable pressure drop;

4. Areal extent of the reservoir;

5. Reservoir depth.