PROCEEDINGS JOINT CONVENTION SURABAYA 2005 HAGI-IAGI-PERHAPI

The 30th HAGI, The 34th IAGI, and The 14th PERHAPI Annual Conference and Exhibition

JCS2005-Y016

AN EXPERIMENTAL INVESTIGATION
ON SWELLING CHARACTERISTICS OF MUDROCKS

I. A. Sadisun1, Bandono1, H. Shimada2, M. Ichinose2, and K. Matsui2

1
Department of Geology, Bandung Institute of Technology (ITB)
2
Department of Earth Resources Engineering, Kyushu University, Japan

ABSTRACT

Some representative specimens of two different mudrocks, namely Ikeshima shale and Subang claystone,
were selected for laboratory testing of unconfined swelling test. A modified device enable measurement
of unconfined strain in various shapes of specimens was fabricated to comfortably allow a measurement
of time dependent swelling displacement at three axial directions. Besides, the investigation was also
petrographical aspects by means of XRD and SEM in order to determine any inherent factors which
possibly affecting in swelling processes. The test results indicated that the relationship between axial
swelling strain buildups versus time exhibited non-linear and anisotropic. There were significant
differences in the swelling characteristics between the shales and the claystones. The tested specimens of
the shales generally demonstrated higher in the anisotropic index than did the claystones, even until the
peak of strain was reached. In this case, the anisotropy index of the shales ranged from 2.97 to 3.75, while
the claystones ranged from 2.35 to 3.13. Meanwhile, the development of volumetric swelling strains of
the shales and the claystones were 5.95%-9.04% and 8.79%-12.12%, respectively. It was evidenced that
the main petrographical factors controlled in swell-ability of the rocks were expandable clay mineral
smectites and non-clay mineral pyrites. Moreover, there was a quite importance of inherent bonding
material and stress release energy in the swelling process.

INTRODUCTION tunnels and slopes within these rocks. Moreover,

swelling rocks may also lead to high maintenance
It has become evident that many construction costs or may constitute a safety hazard so far they
works throughout the globe will encounter receive insufficient attention. Therefore, a better
problems connected to swelling rocks. This understanding of rock swelling characteristic is
includes damage to lightly-loaded foundation significantly needed in order to gain a precise
structures of buildings resting on, as well as engineering design and stability.
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The 30th HAGI, The 34th IAGI, and The 14th PERHAPI Annual Conference and Exhibition

Petrographical aspects of the rock

Our present study was addressed for knowing the In order to determine mineral composition, X-ray
slaking characteristics of mudrocks immersed in diffraction (XRD) analysis method was carried
water by means of unconfined swelling test. As a out. About this method, the detail principle and
case study, the test was performed on mudrocks determination method can be found elsewhere
obtained from an underground mining activity of (Klug and Alexander, 1974; More and Reynolds,
the Ikeshima coal mine, Ikeshima Island, 1997). Results of typical diffraction patterns
Nagasaki Prefecture, Japan, and from an industrial including mineralogical analysis of Ikeshima
estate development of the southern Karawang area shale and Subang claystone are shown in Figure 1.
of West Java Province, Indonesia.
Quantitative analysis obtained from diffraction
MATERIALS AND METHODS patterns was then performed by a reference
intensity ratio (RIR) method based on measuring
Mudrock samples the intensity one or more peaks for each mineral
The mudrock samples used in this experimental present and the added internal standard (Hillier,
investigation were then called as Ikeshima shale 2000). Table 1 shows a summary of type and
(IKS) and Subang claystone (SC), respectively. percentage of minerals present in both samples. It
Ikeshima shale is a part of coal-bearing Sakito is quite obvious that most of samples show an
Formation, which is a Paleogene deposit of the abundance of quartz, plagioclase, pyrite and clay
Southwest Japan Basin with a maximum-recorded minerals with the other constituent of rutile,
thickness up to 180 m. All shale samples used in calcite and siderite. Smectite is already widely
this study were collected from some collapsed known as the main group of the most expandable
roofs of an underground coalmine within the clay minerals. Samples from Subang claystone
formation. Meanwhile, Subang claystone is a part possess very large amounts of smectite, with a
of the rock formation called Subang Formation; a range of 13.1% to 47.5%. On the opposite, the
soft rock formation of Late Miocene to Pliocene smectite content in the Ikeshima shale ranges
ages within a geological structure known as the from 4.4% to 7.8%, which mostly identified only
Bogor-Kendeng trough in the northern West Java, from mixed-layered illite/smectite.
Indonesia. Rock sampling was conducted in the
southern Karawang area for the claystone is the The scanning electron microscope (SEM) was
most abundant rock type within this area. used for the examination of the microfabric
Furthermore, this area is also one of the areas that characteristics of the samples. Figure 1 shows the
have good outcrops of Subang Formation, in ideal scanning electron micrograph of wavy sheet
particular the upper part of the formation, which structures of smectite in the Subang claystone
having approximately 516 m thick. among little fibrous structures of illite. An
examination of intact samples under SEM also
revealed that the samples from Ikeshima shale
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The 30th HAGI, The 34th IAGI, and The 14th PERHAPI Annual Conference and Exhibition

were characterized by very thin stratified fabric EXPERIMENTAL RESULTS

patterns, which might indicate a high degree of
compaction and induration, on opposite condition The unconfined swelling test indicates
to the samples from Subang claystone. unrestricted swelling in all directions and results
indicate a swelling strain magnitude as a function
Experimental device and testing procedure of time. The experimental results for selected
An modified device of unconfined swelling test to representative specimens of both Ikeshima shale
that suggested by ISRM (1979) was fabricated in and Subang claystone are summarized in the Table
the Laboratory of Rock Engineering, Kyushu 2. Some typical results are presented in Figure 4,
University (Sadisun et al., 2002), and showing the axial swelling strain buildup versus
schematically shown in Figure 3. It was designed time relationships in different plotting methods. It
to accommodate specimen with 30-60 mm height can be recognized that the use of semi-logarithmic
in different shapes, i.e., cubical, rectangular and plot depicts the process of swelling with time
cylindrical specimens. Moreover, it was possible much more clearly than does the use of linear
to comfortably measure a simultaneous swelling plots that usually used by previous authors.
strain at three directions of axes (x, y, z) by five Through the linear plotting method, it can be seen
micrometer dial gauges. A dial gauge is oriented that the swelling process is occurs mostly in the
in the vertical direction (z), while two pair dial first week of the whole test period. However, it is
gauges are oriented perpendicular to each other (x difficult to recognize the detailed process of
y). Due to the low to medium durability of the swelling that occurs. For this limitation, the use of
samples, some representative fresh specimens semi-logarithmic graph to the test results guides to
were selected for the test. In this study, a set-up some interesting patterns in the swelling process.
was made to investigate the performance of 35-45 This represents a step towards a better
mm sides of cubic specimens. This specimen size understanding of fundamental processes
seems correct with regard to the heterogeneity of responsible for swelling which pertaining to
argillaceous rock samples. As the stratified argillaceous rocks.
structures was relatively easy to determine, it was
comfortable to conduct the test on a cubic Swelling characteristics
specimen cut according to apparent stratification The relationships between axial swelling strain
planes. For consistency, it was decided to be buildups versus time exhibited the non-linear
prerequisite of the test by determination of the swelling strain process during immersion. There
stratified structures that might be present in each were significant differences in the characteristics
specimen prior to the test; hence the stratification of swelling strain between Ikeshima shale and
planes must be normal (perpendicular) to the z Subang claystone. The tested specimen of
axis of the device. Ikeshima shale generally demonstrated more
severe stages of swelling strain than did Subang
claystone, until the peak of strain was reached.
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The 30th HAGI, The 34th IAGI, and The 14th PERHAPI Annual Conference and Exhibition

The development of axial swelling strains in the indexes within time are presented in Figure 6. It is
Ikeshima shale was mostly fairly steady leveled interesting to note that the ratio of vertical to
off after 8-20 days, and then there was still lateral swelling strain (av) is always high and the
sequentially little increase in swelling magnitude highest values occur within the first minutes of the
through the periods of 30 days. The maximum test in the Ikeshima shale, while in the Subang
magnitude of swelling strain in the vertical and claystone these appear within the first hours. The
lateral directions was 5.27% and 2.19%, value of av ranges from 2.54 to 3.75 with an
respectively. Meanwhile, the observed maximum average of 3.07. These values mean that the
magnitude of swelling strain of the Subang swelling strain in vertical direction is always
claystone specimens was 7.16% of the vertical much greater than those in other two directions.
strain and 3.06% of the lateral strain, which most Moreover, it can be suggested that the
of them took place within the first of 5-16 days deformability of the stratified structure planes
immersion and were almost steady along the possibly play as an important role in the swelling
periods of 20-30 days. process. For the two lateral swelling strains, it can
be noticed that the anisotropy between the two
Since the parameter of volumetric swelling strain lateral strains is quite small expressing by the
could express the whole swelling displacement value of al is occasionally nearly equal to 1. It
occurred, it was convenient to use the volumetric means that the value of two lateral swelling strains
strain instead of the vertical and lateral strains as measured by four dial gauges on two different
variable. Volumetric swelling strains of all tested side directions are nearly identical. This implies
specimens were computed, and the trends of that the swelling behavior of argillaceous rocks
volumetric swelling strain versus duration time of parallel to the stratified structure planes is quite
immersion of representative specimens from both homogeneous. However, the anisotropy of the two
Ikeshima shale and Subang claystone were lateral swelling strains is also occasionally high
graphically illustrated (Figure 5). The maximum obtained up to 2.23 which generally occurs within
volumetric swelling strain of Ikeshima shale the first minutes of the test and appears
found in this experiments fell within a range of significantly in Subang claystone. These
5.95% to 9.04%, while the maximum volumetric phenomena confirm that the argillaceous rock
swelling of Subang claystone was in a range of behavior is anisotropy in nature.
9.51% to 12.12%.
Inherent factors affecting the swelling process
Anisotropy of swelling process It has been noted by Wong (1998) that that
The swelling behavior of almost all specimens interpretation of swelling test results is not as
was found to anisotropy (see Table 2). In this test, simple as the conventional analysis method
vertical and lateral strains increased suggests, and requires a well-designed swelling
simultaneously with inconstant ratio. The typical test and improvement of the analysis method. In
results of anisotropy analysis of both anisotropy fact, inherent factors affecting the swelling
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The 30th HAGI, The 34th IAGI, and The 14th PERHAPI Annual Conference and Exhibition

process are difficult to measure individually in the as the dominant factor controlling the swelling
laboratory. Accordingly, the interpretations from process revealing by a closure phase of initial
an analysis of test data were performed in this hairline cracks at the beginning of the test.
study.
CONCLUSIONS
Since it is widely known that smectite is the main
expandable clay mineral, it is interesting to An experimental program has been conducted to
evaluate the variation of swelling strain as a investigate the characteristics of swelling strain in
function of smectite content. It can be identified two different mudrocks, which are Ikeshima shale
that the vertical swelling strain is a function of and Subang claystone, by means of modified test
smectite content. In this case, the observed device. Extensive experimental results of the shale
vertical swelling strain increased with the increase and the claystone during unconfined swelling test
of the smectite content. Meanwhile, another have been presented offering an original database,
mineral that can generate an expandable process is which is necessary to establish swelling
non-clay mineral pyrite. Pyrite is stable only characteristics of mudrocks. Finally, since
under strongly reduced oxygen condition. behavior of mudrocks is usually dominated by its
Generally, when the pyrite is exposed, it will stratified structure planes in some field cases,
oxidize to ferrous sulphate and free sulphuric acid. further studies are encouraged to investigate the
If any calcium carbonate present, as found in the effects of rock structure and its orientation on the
samples of Subang claystone, pyrite may alter to swelling characteristics.
sulphate (gypsum) resulting in a slow increase in
volume and, hence, in rock cracking. REFERENCES

The rock fabrics and the microstructures release Hillier, S., 2000. Accurate quantitative analysis of
strain energy (dissipation energy) resulting from clay and other minerals is Sandstone by XRD:
the diagenetic process through their geological Comparison of a Rietveld and a reference
history is another prosible significant factor in the intensity ratio (RIR) method and the important of
controlling of the rock to potentially increase sample preparation. Clay Minerals, 35: 291-302.
volume. The relative differences in diagenetic
maturity estimated from the illite-smectite ratio ISRM 1979. Suggested method for determining
were confirmed that there was a rebound effect water content, porosity, density, absorption and
due to the increase of swelling strain generated by related properties, and swelling and slake
the inherent stress release of the rock, which was durability properties. Int. J. Rock Mech. Min. Sci.
also indicated by high value of the vertical to & Geomech. Abstr., 16: 143-156.
lateral anisotropy index in the most of Ikeshima
shale specimens. In this case, the extension or Klug, H. P. and Alexander, L. E., 1974. X-Ray
release of the stratified structural planes seemed Diffraction Procedures, 2nd ed., Wiley, New York,
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966 p. means of an improved unconfined swelling test.

Proc. ISRM Regional Symposium on Rock
More, D. M. and Reynolds, JR. R. C., 1997. Engineering Problems and Approaches in
X-Ray Diffraction and the Identification and Underground Construction, Seoul, Korea, hal.
Analysis of Clay Minerals, 2nd ed., Oxford 227-234.
University Press, New York, 378 p.
Wong, R. C. K., 1998. Swelling and softening
Sadisun, I. A., Shimada, H., Ichinose, M., dan behavior of La Biche Shale. Can. Geothech. J.,
Matsui, K., 2002. An experimental study of 35: 206-221.
swelling strain in some argillaceous rocks by

Mineral (%) IKS-1 IKS-2 IKS-3 SC-2 SC-5 SC-7

Quartz 24.6 22.6 24.7 17.4 11.7 14.2
Plagioclase 13.1 14.5 12.7 8.8 5.6 6.2
Pyrite 10.3 11.0 11.1 13.6 7.6 7.7
Rutile 6.8 4.7 6.3 - - -
Calcite - - - 10.7 - 10.7
Siderite - - - 12.3 9.3 11.0
Kaolinite 11.1 13.0 12.7 17.4 10.5 17.4
Illite 16.5 18.4 16.8 6.7 7.8 Trace
Chlorite - Trace Trace Trace - -
Smectite 5.6 4.4 7.8 13.1 47.5 32.9

TABLE 1 : Mineral composition of Ikeshima shale and Subang claystone.

Axial Swelling Strain (%) Anisotropy Index Volumetric Swelling

No. Sample Strain (%)
x y z al av
IKS-1 1.14 1.45 4.86 1.27 3.75 7.59
IKS-2 0.96 1.18 3.72 1.23 3.48 5.95
IKS-3 2.19 1.38 5.27 1.61 2.97 9.04
SC-2 1.47 2.61 5.18 1.78 2.54 9.51
SC-5 3.06 1.52 7.16 2.01 3.13 12.12
SC-7 1.64 2.96 5.86 1.80 2.55 10.78

TABLE 2 : Resume of experimental results of unconfined swelling test.

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The 30th HAGI, The 34th IAGI, and The 14th PERHAPI Annual Conference and Exhibition

FIGURE 1 : Ideal XRD patterns of Ikeshima shale (IKS-3, top) and Subang claystone (SC-7, bottom).

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The 30th HAGI, The 34th IAGI, and The 14th PERHAPI Annual Conference and Exhibition

FIGURE 2 : Very thin stratified fabric patterns of Ikeshima shale (IKS-1, top) and typical flocculated
structures of wavy smectites of Subang claystone (SC-5, bottom)

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The 30th HAGI, The 34th IAGI, and The 14th PERHAPI Annual Conference and Exhibition

FIGURE 3 : Schematic device of unconfined swelling test and

structural coordinate of dial gauge position.

6.0 6.0

5.0 5.0
A xial S w elling S train (%)
A xial S w elling S train (%)

4.0 V ericalS w elling S train z 4.0

V erticalS w elling S train z
LateralS w elling S train x
LateralS w elling S train x
3.0 LateralS w elling S train y 3.0 LateralS w elling S train y

2.0 2.0

1.0 1.0

0.0 0.0
0 200 400 600 800 1000 0.0 0.1 1.0 10.0 100.0 1000.0

Elapsed T im e (hour) Elapsed T im e (hour)

8.0 7.0
V erticalS w elling S train z
7.0 6.0
LateralS w elling S train x
A xial S w elling S train (%)

A xial S w elling S train (%)

6.0 LateralS w elling S train y

5.0
V ericalS w elling S train z
5.0
LateralS w elling S train x 4.0
4.0 LateralS w elling S train y
3.0
3.0
2.0
2.0
1.0
1.0
0.0 0.0
0.0 0.1 1.0 10.0 100.0 1000.0
0 200 400 600 800 1000
Elapsed T im e (hour)
Elapsed T im e (hour)

FIGURE 4 : Typical result of axial swelling strain of Ikeshima shale (IKS-3, top)
and Subang claystone (SC-7, bottom).

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The 30th HAGI, The 34th IAGI, and The 14th PERHAPI Annual Conference and Exhibition

14
IK S -1
V olum etric S w elling S train (%)

12 IK S -2
IK S -3
10 S C -2
S C -5
8 S C -7

0
0.0 0.1 1.0 10.0 100.0 1000.0
Elapsed T im e (hour)

FIGURE 5 : Volumetric swelling strain indexes of Ikehima shale and Subang Claystone.

7.0 3.5

6.0 3.0
V ertical to lateral
A nisotropy Index

5.0 2.5
A nisotropy Index

Lateral to vertical

4.0 2.0
3.0 1.5
2.0 1.0 V ertical to lateral
1.0 0.5 Lateral to lateral

0.0 0.0
0.0 0.1 1.0 10.0 100.0 1000.0 0.0 0.1 1.0 10.0 100.0 1000.0
Elapsed T im e (hour) Elapsed T im e (hour)

FIGURE 6 : Typical anisotropy indexes within time for Ikeshima shale (IKS-3, left)
and Subang claystone (SC-7, right).

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