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Overview of Classification and Engineering Properties of Shales for Design

Considerations

Conference Paper · October 2001

DOI: 10.1061/40591(269)16

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Overview of Classification and Engineering Properties of Shales for Design

Considerations

Saffet Yagiz ~, M. Sc., Student Member, ASCE

Abstract

The objective of this paper is to present some ambiguities relating to engineering

Construction and Materials Issues 2001

properties of shales and its classification for design consideration- Because of its
unpredictable behavior, shales are the most difficult rock to classifying, sampling and
obtaining reliable test data for engineering purposes. It is the most problematic weak
rocks that cause many problems in the field before and after construction or excavation-
In this paper, engineering properties of shales and its classification are briefly
discussed. Both in the field and laboratory, common engineering problems and some
useful aspects of the rock are evaluated in terms of design consideration- Consequently,
origin of shale and related rocks, its classification and properties are discussed and
eom.n~n testing procedures are evaluated for engineering design purposes.

Introduction

Shale is the most common sedimentary rock in the earth's crust. The term shale is used
to designate all argillaceous sediments consisting ofclaystone, siltstone, mudstone, and
marl; however, some scientist designate the larger group as the mudstone, or mudrock
group and classify shale as a member of that group. In fact, shale is the boundary
material between soil and rock. Therefore, it needs different treatment than rocks and
soils in terms of not only its engineering properties but also its testing and sampling.

Origin of Shales and Related Rocks

Shales are the common name applied to fine-grained varieties of sedimentary rocks that
formed from consolidation of clay, silt and mud. These rocks are commonly composed
of mica, and clay minerals; however, the grains are so fine that the rock seems to have
homogenous appearance and individual minerals cannot be identified without aid of
microscope. The percentages o f silt and clay can be varying, but at least fifty percent of

Ph.D. Candidate, Earth Mechanics Institute, Department of Mining & Earth Systems
Engineering, Colorado School of Mines, Golden, Co, 80401, USA, sayagiz@mines.edu
Key words: Shale, classification, testing, and design considerations

156
 CONSTRUCTIONAND MATERIALSISSUES2001 157

the material of shales is finer than fine sand. Shales are sufficiently consolidated and
lithified so that they have some ability to maintain their structure even if subjected to
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weathering. Shale shows various degrees of fissility or breaking characteristics and

different descriptive terms such as, blocky, platy, flaky and slabby have been used to
describe fissility in shale. Origin of the rock, from soil to shale, is given in figure 1.
Mudstone ~-
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q-gg

Soil----~ Transition zone-----~ Sedimentary rocks ~. Shale

Figure 1: Shales and Related Sedimentary Rocks (Modified from Underwood, 1967)
Construction and Materials Issues 2001

When shale undergoes metamorphism, it becomes argillite, slate, phyllite, and

schist. The type of metamorphic rocks is depending on mineralogical composition of
shale and degree of metamorphism (figure 2).

After Early I Metamorphism

Metamorphism Equavalents
Shal~~ Soil Like Shale ~ - ~ Slate
Argillite [ Phylitte
Rock Like Shale~----~ Schist

Shale ~ ~ Metamorphic rocks

Figure 2: Shales and Related Metamorphic Rocks (Modified from Underwood, 1967)

Classification and Geological Consideration of Shales

The geological classification employs descriptive terms to group rocks of like lithology,
texture, composition and structure. On the other hand, engineers are more interested in
the numerical rock property descriptors, which can be used in design or in performance
prediction. Engineers and geologists propose various shales classification systems but
there are considerably variations in the classification and evaluation of shale properties
since each investigator has different objectives.
Shales could be classified into two main groups:
I. Compaction or "soil like" shales have been consolidated by the weight of
overlying sediments and lack significant amounts of intergranular cement.
2. Cemented or "rock like" shales in which that the cementing material may be
calcareous, siliceous, gypsiferous, phosphatic etc.
As these two type of shale are compared, usually, the cemented "rock like" shales are
sufficiently consolidated and lithified that so as to maintain its character even if
subjected to alternate cycles of wetting and drying. On the other hand, the compaction
 158 CONSTRUCTIONAND MATERIALSISSUES2001

or "soil like" shales tend to slake rapidly when subjected to the same cycles o f wetting
and drying. Underwood (1967) discussed in some detail the limitation o f the various
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geological and chemical mineralogical classifications o f shales (figure 3). ARer

Underwood (1967), to meet the essential description o f shales, different authors
proposed various classification systems (Gamble 1971, Doe 1972, Morgenstem and
Eigenbrod 1974).
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l Shales
I
I

I I
"Soil-Like" Shale I] "Rock-like" Shale
(Compaction or Sub-Shale) (Cemented or Bonded Shale)

I
Clayey Shale Calcerous Shale
50% or more clay sized particles 20% to 35% Calcium Carbonate
Construction and Materials Issues 2001

which may be true clay minerals (Marls and shaly chalk

or clay size particles < 0.002mm 35% to 65% Ca2COD

I
Silty Shale
I
Siliceous Shale
25% to 45% Silt sized particles 70% to 85% amorphous silica
Silt may be in thin layers oRen highly siliceous volcanic ash
between clayey shale bonds (quartzose shale and detritial quartz)

I
Sandy Shale
I
F e r m g i ~ s Shale
25% to 45% sand sized particles 25% to 35% iron oxides (Fe203)
Sand may be in thin layers (Po~sic shale 5-10% potash)
between clayey shale bonds

I
Blacky Shale Carbonaceous Shale
Organic-rich, splits into 3%-15% carboneous material
Thin semi-flexiblesheets tends to bond constituents together
and imparts a certain degree oftougimess

I
Clay bonded Shale
Welded by recrystallization of clay minerals
or other diagenetic bonds
Figure 3: Classification and Geological Consideration of Shales (Modified from
Underwood 1967)

LaboratoryTestsfor InvestigatingPropertiesof Shales

Since the late 1960s, there have been numerous attempts to develop tests to identify
properties of shales for design purposes. Due to widespread problem with shales and its
 CONSTRUCTION AND MATERIALS ISSUES 2001 159

near-infinite behavior under different circumstances, researchers, private con^anies and

universities have continued to refine early studies, to revise the proposed tests, and to
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apply them to their respective areas. Even though considerable progress has been made
with improved sampling methods, and testing techniques, such as, the slake index test,
slake durability test, jar slake test and point load test, shales remain the most difficult
rocks for sanq)ling and obtaining reliable test data because of their unpredicted
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behaviors. Common tests performed on shale are described briefly as follow.

Slake Index Test - Slake index test was originally developed to provide
indication of material behavior during the stress of alternate wetting and drying and its
procedure is as follows:
Six sample pieces totaling ISO gram or largest available pieces are oven-dried
for 8 hours and the weight of each sample recorded. Place each sample in separate jar,
cover with distilled water and observe visible changes after 10 minutes and after 1, 2, 4
and 6 hours then oven-drying samples to constant weight and record weight of shale
specimens retained on a 2-millimeter sieve. Repeat the process for 5 cycles, calculate
the slake index for each of the six samples and take theii average as below:
Construction and Materials Issues 2001

_ (original weight of sample - final weight of sample)

Si — X 100
original weight
Slake Durability Test - Shales are subjects not only to loading feilure, but also to
abrasion failure. The ability of the material to resist abrasion is known as durability
(Santi and Higgins 1998). Durability is particularly important for shales and weak
rocks. Durability of the material describes its susceptibility to breakdown upon contact
with water. In slake durability test, a wire mesh drum made with 2-millimeter mesh is
rotated while partially submerged in a trough of water. The axis of the 140-millimeter
diameter drum is 20 millimeters above the water surface. In the sunmiary, the ASTM
D4644-87 stairfard recommends selecting 10 sample pieces, first oven-drying them,
weighing, and rotating them in the slake durability drum partially immersed in water.
After 10 minutes, the sample is removed, dried and the retained sample weight is
calculated. Repeat the cycle four more times to produce five cycles, but calculate slake
durability index after each cycle. After the testing is done, calculate the slake durability
index as follows:

ID =
weight of sample remairiingjnside drum xlOO
original weight of sample

Jar Slake Test - The jar slake test was suggested by Wood and Doe (1975). In
summary, 30 to 50-gram oven-dried shale samples is immersed in distilled water. After
immersion, the piece is observed continuously during the first 10 minutes and next
observation after the first 30 minutes. If a reaction occurs, it happens during this time
frame. A final observation is 24 hours after immersk)n. The cotKlition of the piece is
categorized as con:q)lete break down; partially break down, no change.
 160 CONSTRUCTIONANDMATERIALSISSUES2001

As it is seen from table 1, category 1 represents dispersion slaking or slaking to

inherent grain size. Categories 2 and 3 represent chip or surface slaking. Category 4 and
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5 represent body or block slaking.

Jar Slake Index Behavior

1 Degrades to a pile of flakes or mud
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2 Breaks rapidly, forms many chips, or both

3 Breaks slowly, forms few chips or both
4 Breaks rapidly, develops several fractures or both
5 Breaks slowly, develops few fi'actures or both
6 No changes
Table 1. Jar Slake Index and Condition of Piece Categorized (Santi, 1995)

Point Load Test -Broch and Franklin (1972) suggested equipment and methods
Construction and Materials Issues 2001

for determining the point load index. The test is performed not only on small diameter
core samples but also irregular lumps ranging from 25 to 100 millimeters; so, it is quite
useful test for shales. Point load apparatus compresses the rock samples between the
two points of cone shape platens until the sample breaks and then records the highest
pressure from the dial gage. ARer performing the test, the point load index, (Is) is
calculated by dividing point load (P) at failure by the second power of sample diameter
(D).

From point load index, (Is), unconfined compressive strength of the rocks would
be also estimated as well by using correction factor table which is available in
literatures.

Evaluation of Common Engineering Properties of Shales

The engineering properties of any shale with a given mineralogical composition may
range between those of soil and those of a real rock. Shales are such a rock that shows
some ambiguous engineering behaviors during and after construction. Using reliable
laboratory tests and field observations, some significant properties of shales are briefly
discussed in individual.
Strength - Shear strength of shales would be either very strong or weak because
of their unpredictable behavior under load. However, when the overburden load could
be distributed equally and economically, shales have adequate bearing capacity to
support earth dams, and similar engineering structures. Uniaxial compressive strength
of shales is range from less than 0.3 Mpa for weak compaction shale and more than 100
Mpa for welbcememed shale. Therefore, the selection of a realistic value for shear
strength of shales based on laboratory tests or in-Situ tests is critical in design
considerations.
Elasticity Modules - According to test results, elastic modulus of shales cannot
be accurately determined either in field or laboratory. Generally, compaction sbales
 CONSTRUCTION AND MATERIALS ISSUES 2001 161

have modulus ranging from less than 130 Mpa to 1400 Mpa and well-cemented shales
have static modulus o f about 14,000 Mpa. Underwood (1967) stated that obtaining true
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elastic modules values is difficult in laboratory since the test specimens are too small to
take into account a representative number of rock defects, as would be expected to be
encountered in-situ. As a result of that, prediction of shales elastic modulus is extremely
difficult due to sampling and testing difficulties.
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Permeability and Water Content - Permeability of shales is difficult to

determine, but most shale is commonly impervious except sandy or silty shales.
Permeability of shales depends upon how well the voids are interconnected. High
permeability values indicate a well-interconnected pore network. Clay minerals with
granular or fibrous shape such as kaolinite and illite have greater permeability than
those shapes are flakes such as montmorillonite. The natural moisture content of shales
varies from less than 5% to as high as 35% for some of the clayey shales.
Swelling Potential - Swelling is attributed to the absorption of free water by
certain clay mineral composing the clay fraction of shales. The amount of swelling is
Construction and Materials Issues 2001

related to the percentage and type of clay in shales. It is known that shales whose clay
content is composed largely of montmorillonite and illite have more water absorption
ability than shales whose clay fraction is composed largely of kaolinite and chlorite.
Activity Ratio - Atterberg limits are originally developed to express the plastic
properties o f soil. It is not easy to perform this test on shale to achieve reliable results
due to difficulty in breaking shale down to the required particle size. However, if
reasonably accurate results were obtained they would be useful in an engineering
classification of shales. Among the clay minerals, montmorillonite and illite have
exhibited higher activity ratios than kaolinite and chlorite.
Mineralogical Composition - Most shale have similar chemical compositions.
Therefore, chemical composition cannot be used for classification purposes.
Engineering aspects are strongly influenced by the mineralogy of the clay fraction of
shales. Shales containing high percentages of illite and montmorillonite generally have
lower shear strength, higher swelling potential and other unwanted properties than do
shales whose clay friction consists predominantly of kaolinite and chlorite.

Evaluation of In-Situ Behavior of Shales

Shales are one of the bedrocks that give tremendous potential problems both in the field
and laboratory during testing, sampling and construction. As a preliminary evaluation of
the characteristics of shales as indicated by a number of standard laboratory tests has
been modified from Underwood (1967), Wood and Doe (1975) and it is given in Table
2. In-Situ behavior o f shales and related problems on the construction site are briefly
summarized from design consideration point view as follows.
Shales probably creates more landslides problems than any other earth materials
both consolidated and unconsolidated. Shales often absorb an excessive volume o f
water in slopes, and then failure occurs as shear strength is degraded. One of the major
problems engineers encounter in shales is the selection of shear strength on both
construction and slope designing. This requires very careful analysis of the
discominuities in the shale mass.
 162 CONSTRUCTIONAND MATERIALSISSUES2001

From an excavation point of view, as overburdened load is removed, rebound of

the sides and bottom of the excavation in shales and other weak rocks is a common
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problem. The greatest amount of rebound occurs especially in heavily over-consolidated

corcg~acted shale.
Swelling commonly deforms structural members or structural elements of
engineering works in shale mass. Swelling of shales is a common problem for highways
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constructed in cut and fill situations. Shrinkage develops fractures along existing
microcracks, thus degrading shear strength, and increasing hydraulic conductivity in
rock mass.
From the hydraulic conductivity point of view, it is commonly believed that
shales are impermeable except where silt or sand occurs in alternating layers within the
shale mass. Permeability in shales is dependent on not only how well voids or pore
spaces are interconnected but also on particle size distribution, texture, and clay mineral
composition in shale mass as well.
Slaking is expressed as rate and magnitude of breakdown due to weathering.
Construction and Materials Issues 2001

When shales are weathered, it will break and slake easily. Many shales slake almost
immediately when exposed to air. It causes a problem during construction of tunnel
and/or other underground opening in shale mass.
There are some properties of shale that is nice for engineering purposes even
thought tremendous problems that dealing with shale waiting for engineers and
designers. For an example, shale governs hydraulic conductivity that controls
movement of ground water by acting as a barrier. From excavation point of view, it is
easily excavated and seldom requires ripping and almost never requires drilling and
blasting.

Conclusion

The classification of shale rocks is usually as difficult an issue as describing its

engineering behavior, because of sampling and testing difficulties. However,
Underwood's classification system is still the best for engineering design purposes. The
strength of rock like shale could be evaluated by rock mechanics testing techniques; but
the major difficulty is developing reasonable testing and sampling methods for
compaction "soil-like" shale.
So, both soil-like and rock-like shale have sampling and testing difficulties even
though there are few tests useful for cemented "rock-like" shale. To predict durability of
shale, slake durability, jar slake and slake index test are useful; however, predicting strength
of shale is difficult task due to shale's ambiguous properties. Even though there are
relationships between slake durability index and uniaxial compressive strength of shale,
this relationship is not reliable from the design point view because of it is weakness.
Finally, there is still a gap in the classification, sampling and testing of shale that
make engineerin~ behavior under different loading and working conditions
unpredictable. Further strength test procedures and observation techniques need to be
investigated to achieve reliable quantitative data for engineering design considerations.

Appendix I. Notation
 CONSTRUCTIONANDMATERIALSISSUES2001 163

The following symbols are used in this paper-

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Si -- Slake Index
ID = Slake Durability Index
Is-- Point Load Index
P = Point Load at failure
D = Diameter of sample
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ASTM = American Society for Testing and Materials

References

Chapman, D., R., Wood, L., E., et. al, (1976), "A Comparative Study of Shale
Classification and Tests and Systems", Bulletin of Association of Engineering
Geologists, pp.247-266

Hatbeway, A., W., (1990) "Shale: Good and Evil Rock Type" Association of
Construction and Materials Issues 2001

Engineering Geolog/st, News, 34/4, October

Koncagul, E., C., and Santi, P., M., (1998) "Predicting the Unoonfmcd Compressive
Strength of the Breathitt Shale Using Slake Durability, Shore Hardness and Rock
Structural Properties", Int. Journal of Rock Mechanics and Mining Sciences, 36(1999),
139-153

Morgenstern, N., IL and Eigenbrod (1972) " Classification of Argillaceous Soils and
Rocks", Journal of Geoteclmical Engineering Division, Association of Society of Civil
Engineering, vol.100, no GTI0, pp. 1137-1156

Santi, P., M., (1995) "Classification and Testing of Weak and Weathered Rock
Materials; a Model based on Colorado Shales: Ph.D. Colorado School of Mines,
Golden, Co, 286 p.

Santi, P., M., and Koncagul, E., C., (1996)" Predicting The Mode, Susceptibility, and
Rate of Weathering of Shales", " Design With Residual Materials", Association of
Society of Civil Engineering, Geotechnical Special Publication, No. 6

Santi, P., J. D., Higgins, (1998) "Methods for Predicting Shale Durability in the Field"
Geotechnical Testing Journal, vol. 21, number 3, pp. 195-202

Underwood, B., L. (1967) "Classification and Identification of Shales", Journal of Soil

Mechanics and Foundations Division, Association of Society of Civil Engineering, pp.
97-116 November

Walkinshaw, L., J., and Santi, P., M., (1996) "Shales and Other Degradable Materials",
Landslide Investigation and Mitigation, Transportation Research Board, Chap. 21
 164 CONSTRUCTIONANDMATERIALSISSUES2001

Withiam, J,, L., and Andrews, D., E., (1982)" Relevancy of Durability Testing of Shales
to Field Behavior", Transportation Research Record, Transportation Board,
No other uses without permission. Copyright (c) 2012. American Society of Civil Engineers. All rights reserved.

Washington, D.C. pp. 36-42

Wood, L., E., and Doe, P., (1975) "Suggested System for Classifying'Shale Materials
for Embankments", Bulletin of Association of Engineering Geologists, vol. 12, no.l,
Downloaded from ascelibrary.org by Penn State Univ on 06/21/12. For personal use only.

pp.39-55
Construction and Materials Issues 2001
 Construction and Materials Issues 2001
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No other uses without permission. Copyright (c) 2012. American Society of Civil Engineers. All rights reserved.
PhysicalProperties Probable In-Situ Behavior
High Low Tendency Slope Rapid Tunnel
Laboratory tests and Average Range of Values Pore Bearing to Stability Rapid Support
In-Situ observations Unfavorable Favorable Pressure Capacity Rebound Problems Slaking Erosion Problems
Compressive strength 0.3 to 2 X X
Mpa 2 to 34
Modulus of elasticity 140 to 1400 X
Mpa 1400 to 14,000 ('3
Cohesive strength 0.03 to 0.7 X X X
Mpa 0.7 - > 10
Angle of internal friction 10 - 20. X X X
Degrees 20 - 65 H
Dry density 1.I to 1.8 X
~/cm^3 1.8 to 2.6
Potential swelling 3 - 15. X X X X
% 3-I.
Natural moisture content 20 - 35 X X
% 5-15.
Coefficient of permeability 10" - 10"lu X ................. 1 X X
cm/sec > I0" t"
Predominant clay minerals MontmoriUonite X X
illite X X
Kaolinite
fao
Activity ratio 0.75 - > 2.0 X bd
% 0.35 - 0.75
Wetting and drying cycles Reduces to grain size X X
Reduces to flakes
Spacing of rock defects Closely spaced X X X X
Widely spaced
Orientation of rock defects Adversely oriented X X X
Favorably oriented
State of stress >Existing overburden X X X
.=Overburdon load

Table 2. Engineering Evaluation o f Shale, Expected Problems Indicated by X (Modified from Underwood 1967, Wood and Doe, 1975)

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