Rock Mech Rock Eng

DOI 10.1007/s00603-015-0865-0

ORIGINAL PAPER

The Influence of Shales on Slope Instability

Doug Stead1

Received: 29 September 2015 / Accepted: 30 September 2015

Ó Springer-Verlag Wien 2015

Abstract Shales play a major role in the stability of length of the current paper to review these works in detail
slopes, both natural and engineered. This paper attempts to and the reader is referred to Farrokhrouz and Asef (2013),
provide a review of the state-of-the-art in shale slope sta- Bell (2000) and Goodman (1993) for detailed discussions.
bility. The complexities of shale terminology and classifi- It is arguably the case that no universally accepted classi-
cation are first reviewed followed by a brief discussion of fication of shales exists today, and depending on the field of
the important physical and mechanical properties of rele- application the terminology varies widely. Shales in slope
vance to shale slope stability. The varied mechanisms of stability, for the purpose of this keynote paper, are taken to
shale slope stability are outlined and their importance include material varying in properties from weak rocks to
highlighted by reference to international shale slope fail- soils and therein lies one of the most challenging aspects in
ures. Stability analysis and modelling of anisotropic rock shale slope characterisation for engineering purposes. They
slope masses are briefly discussed and the potential role of have been classified as ‘‘rock-like’’ or ‘‘soil-like’’ (Under-
brittle rock fracture and damage highlighted. A short wood 1967) or compacted and cemented, Table 1 (Yagiz
review of shale slopes in open pits is presented. 2001). Classifications have considered numerous factors
including composition, cementation and a wide range of
Keywords Shales
Clay shales
Slope stability engineering properties.
The propensity of shales to degrade with time due to
geomorphic processes has resulted in an important aspect
1 Introduction in their classification, that is, the attempts to incorporate
slaking, durability and swelling and softening behaviour
Shales have been stated to form approximately 58 % of through purpose developed testing methods (Gamble 1971;
sedimentary rock so it is not surprising that they are fre- Morgenstern and Eigenbrod 1974; Morgenstern 1979).
quently encountered in both natural and engineered slopes. Figures 1 and 2 show examples of terminology used to
They represent challenging environments for slope stability describe argillaceous materials and some proposed engi-
due to the wide variation in their engineering properties, neering classification schemes (Grainger 1984; Bott 1986).
their changing behaviour with time due to geomorphic Corominas et al. (2014) provides a recent classification of
processes and the variation in the failure mechanisms as a argillaceous rocks and their durability relating five stages
function of both stratigraphy and tectonics. An extensive of slope deterioration to the texture of the rock on Ternary
body of literature exists on the terminology and classifi- diagrams. No attempt will be made here to discuss the
cation relevant to shales; it is not possible in the scope and merits of the proposed terminology and classifications,
suffice it to say, that the controversy and flux surrounding
these issues is a strong indicator of the complexities in the
& Doug Stead behaviour of these materials. In this paper, the author will
[email protected]
consider slope stability in the materials indicated in
1
Department of Earth Sciences, Simon Fraser University, Table 1, Figs. 1 and 2 without undue focus on terminology.
Burnaby, BC, Canada At the lower strength limit of shales, the engineer must

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 D. Stead

Table 1 Classification into compacted and cemented shales, modified after Yagiz (2001)
Group Name Main components

Compacted shale Clayey shale Contain 50 % or more clay-sized particles, true clay mineral or clay-sized particles \0.002 mm
Silty shale Contain 25–45 % silt-sized particles, silt may be in thin layers between clayey-shale bonds
Sandy shale Contain 25–45 % silt-sized particles, sand may be in thin layers between clayey-shale bonds
Black shale Contain organic-rich materials, split into thin semi-flexible sheets
Cemented shale Calcareous shale Contain 25–35 % CaCO3 (marls and shaly chalks contain 35–60 % CaCO3)
Siliceous shale Contain 70–85 % amorphous silica, often highly siliceous volcanic ash (quartzose shale and detrital
quartz)
Ferruginous shale Contain 25–35 % Fe2O3 (potassic shale contain 5–10 % potash)
Carbonaceous shale Carbonaceous materials 3–15 %, tends to bond constituents together and impart certain degree of
toughness
Clay bonded shale Welded by recrystallization of clay minerals or other diagenetic bonds

of shale materials, several workers have treated overcon-

solidated clays and clay shales using concepts such as peak
and residual shear strength, brittleness index and softening.
Martin and Stacey (2013) provide a useful review of the
importance of weak rocks in open pit mining, with
mudrocks as a specific member, and note the importance of
delayed failure, progressive failure and loosening in the
stability of weak mudstone slopes.

2 Engineering Geology of Shales

2.1 Engineering Properties Related to Slope

Stability

Fig. 1 Classification of argillaceous materials proposed by Grainger There have been many attempts to summarize the engi-
(1984) neering properties of shale materials in the literature.
Several authors have attempted to improve the description
and classification of weak rocks including Spink and
Norbery (1993). Bell (2000) describes the engineering
geology of argillaceous rocks with a focus on the char-
acter of mudrocks, their geomechanical properties, dura-
bility and on ground movements. Goodman (1993)
discusses the engineering geology of shales, sandstones
and associated rocks focusing on grain size composition,
clay mineral type and diagenesis. He outlines terminology
and classification with relation to shales, mudstones and
mudrocks and concludes with useful sections on engi-
neering problems in shale and mudstone, examples
Fig. 2 Classification of argillaceous materials proposed by Bott including landslide hazards and surface excavations.
(1986)
Other important contributions on the engineering geology
of mudrocks and on clay and shale slope stability include
design slopes using the principles of soil mechanics vary- QJEG (1981) and Haneberg and Anderson (1999).
ing from the simple Mohr–Coulomb plasticity constitutive Table 2 lists some of the engineering properties of
criterion to modified critical state models, some even selected shales and clay shales. It is clear that these
attempting to incorporate softening behaviour in the materials being transitional in nature present challenges in
weaker clay shale materials. Given the transitional nature site investigation and design.

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The Influence of Shales on Slope Instability

Table 2 Engineering properties of selected shales/clay shales (after Hsu 1996)

Material WC (%) LL (%) PI (%) cpeak (kPa) /peak (°) cres (kPa) /res (°)

Bearpaw, Canada
Unweathered shale 19–27 50–150 30–130 70–150 30–35 10 16
Weathered shale 25–36 80–150 30–130 40 20–38 0 5–7
Edmonton bentonitic shale 26–45 155–220 40 14 0 8–10
Edmonton clayshale 10–20 40–100 60 14–24 0 10–17
Pierre Fm
Unweathered shale 15–38 55–204 35–175 250–300 31.8–47.7
Weathered shale 26–38 133 103 70–110 17–31.6 3.6 11.9
Upper Lias clay 5–17 23 0 5–11

2.2 Shear Strength, Fissures and Softening described by many workers including Bott (1986), Picarelli
et al. (2006) and Martin and Stacey (2013).
Shales when encountered in landslides or surface excava-
tions, whether weak soil-like in character such as clay 2.3 Geomorphological Processes
shales, compacted shales or cemented shales, commonly
show characteristics such as fissuring, dilational behaviour, Griffiths et al. (2012) emphasize the importance of con-
negative pore water pressures and softening. The results of sidering landform evolution processes in engineering
this behaviour may be reflected in post excavation stability, design and slope characterization. The importance of
short-term delayed (up to decades) and longer term pro- geomorphic processes as triggering or preconditioning
gressive slope failures (Terzaghi 1936; Skempton 1964; agents in shale slope failures is frequently noted in shale
Bjerrum 1967; Brooker and Peck 1993; Martin and Stacey landslide descriptions. These include river erosion on the
2013). Landslides in shales are often recognized as first outside bends of meanders, undercutting of cliffs due to
time failures due to softening (cohesion loss) with shear coastal erosion, glacial retreat and undercutting, ice-
strengths in between the peak and residual shear strength thrusting-induced softening of shales and cambering,
values or as reactivated landslides mobilizing lower spreading and weathering. Numerous examples exist in the
residual shear strength. In recognition of this important literature where softening of clay shales has led to land-
time-dependent reduction in strength, engineers have slides; it is also important to note that shale material failing
attempted to incorporate the softening characteristics of initially due to undercutting may form landslide debris
shales into their classification. Figure 3 shows concepts which is subsequently softened and exhibits rheologic
proposed by these workers to explain material softening flow-like character.
behaviour in terms of cohesion loss, peak and residual
shear strength and the brittleness index. The importance of 2.4 Structure and Tectonic Activity
softening has been noted in numerous accounts of land-
slides in clay shales. The opening of fissures due to exca- The importance of geological structure includes (1) pro-
vation-induced stresses and subsequent changes in viding adverse dipping joints for translational sliding, (2)
permeability and groundwater-induced softening have been reduction of shear strength due to slickensiding of lami-
nations in shales, (3) reduction in shales rock mass quality
due to shearing and tectonisation of shale beds. Due to the
effects of softening, failure may often occur along low
angle to sub-horizontal shear surfaces with zero residual
cohesion and low friction angles. Examples of clay shale
landslides due to tectonic shearing are common in Italy and
the importance of fabric evolution is well described by
Picarelli et al. (2006), Fig. 4.

2.5 Mineralogy and Weathering

Fig. 3 Cohesion loss and shear strength of argillaceous weak rocks

The clay content divides clay shales from shales and
(modified after Brooker and Peck 1993 and Martin and Stacey 2013) claystones with higher clay content resulting in poorer

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 D. Stead

Fig. 4 a Evolution of fabric and structure of Italian Apennine clay shales, b highly fissured tectonised Bisaccia clay shale (modified after
Picarelli et al. 2006)

engineering properties and increased susceptibility to either above the shale units where there is downward flow
landslides. The type of clay mineral is also an important or beneath if there are upward seepage gradients; shales
factor with increasing problems in smectite (montmoril- thereby vertically compartmentalize groundwater flow. It is
lonite)-rich shales. The role of weathering in shales important to consider the effects of seepage gradients and
depends on the types of mudstone. Some shales may have the time required for equilibrium flows to be reached after
limited cementation (compacted clays) and be highly sus- excavation or instability. The importance of deficient
ceptible to gravitationally induced changes in structure. groundwater pressures with respect to hydrostatic pore
Other clays may be cemented and the nature of the cement water pressures has been noted by several researchers
will have an important influence on the solution of cements (Koppula and Morgenstern 1984; Soe Moe 2008; Soe Moe
and longer term strength changes. The composition of the et al. 2006b; Fenelli and Picarelli 1990). In this context, it
pore fluid has also been shown to be an important factor. is also important to note that the low permeability of shales
Weathering may result from fissuring as discussed previ- requires careful attention to the selection of piezometer
ously or slaking, which is essentially the formation of type (Soe Moe et al. 2006b). The opening and/or growth of
microcracks that allow breakdown of the shale. Slaking is a fissures (excavation-induced damage of the slope mass)
complex process which involves physical breakdown will change the groundwater flow regime allowing
combined with changes in the ability of water to access the increased access to water and increased softening.
material.
2.7 Anisotropy
2.6 Groundwater
Anisotropy in shales is the subject of considerable current
Groundwater has a major role in shale slope instability due research in the petroleum geomechanics sector. Although it
to the low permeability and anisotropy. The low perme- has been long recognized that the orientation of the shale
ability of shales and clay shales in comparison to other laminations with respect to direction of loading has an
materials means that pore water pressures may build up important control on the shear strength of the rock mass,

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The Influence of Shales on Slope Instability

less attention has been given to intralaminar or cross-ani- slides or reactivated landslides with the presence of pre-
sotropy strength, Crawford et al. (2014). Due to the weak vious historic activity being an important factor. The
nature of shale rock masses, slope failure is frequently kinematic evolution of the multi-block landslides has
accompanied by buckling, brittle fracture and the devel- seen less attention particularly with respect to their lateral
opment of failure cutting across bedding to allow kinematic development along slope. It is noted that lateral growth of
release (red dashed line in Fig. 5a). The relative strength these multi-block landslides tends to form extensive
across laminations in contrast to along laminations may be landslide zones requiring progressive kinematic release.
an important factor in the development of kinematic release Due to the lateral extent of the landslides and the lack of
in weak rock mass slope failures particularly where three-dimensional slope stability analysis software, the
orthogonal joints are widely spaced. The role of cross- landslides have invariably been analysed assuming plane
lamination strength will control intralaminar fissure strain and two-dimensional sections. Very few three-di-
development and hence progressive failure through fissure- mensional groundwater models have been run with which
focused softening. to derive input groundwater pressure variations and few
three-dimensional slope stability analysis models, Kon-
dalamahanthy (2013) and Sainsbury and Sainsbury
3 Failure Mechanisms in Shale Slopes (2013). The benefits of such analyses would arguably be
limited by a lack of data and by the complexity of the
3.1 Translational Failures slope failure processes in shales but would allow an
improved understanding of three-dimensional controls. It
Translational failures in shale slopes are the most com- has been suggested that translational failures in clay shale
monly reported failure mechanisms. These can vary from slopes show behaviour and rate of movement as a func-
simple planar failures in engineering slopes along low tion of the depth of the clay shale shear surface. In this
shear strength weakness planes to extensive deep-seated paper, it is suggested that the influence of weak shale
multi-block landslides involving shear zones of hundreds zones in translational landslides may vary in magnitude
of metres in length, Fig. 5. The failures may take place on and often not be fully recognized. Failures may occur (1)
sub-horizontal to locally slightly inward-dipping shear within shale rock slopes with sliding along specific lam-
zones implying very low shear strength, active driving inations (highway cuts/open pit benches), (2) by distinct
forces and the influence of high pore water pressures. sliding along clay shale beds at varying depths, e.g.
Often the upper slopes of the landslide are the location of Cretaceous clay shales in incised river valleys, (3) along
a steeply dipping backscarp and the toe of the slope is thin discrete folded/tectonised weak shale/clay shale
actively being undermined by erosional processes. The layers in high mountain rock slopes. In the latter case, the
large deep-seated failures may occur in combination with role of the clay/argillaceous beds may not always be fully
more surficial slope failures. Landslides may be first time appreciated.

Fig. 5 Translational slope

failures. Sliding on shale
bedding surfaces in a UK
surface coal mine, b Peace
River Bridge slide, B.C., 1957
(modified after Brooker and
Peck 1993), c Regina Beach
landslide, Saskatchewan (after
Clifton et al. 1986)

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 D. Stead

3.2 Toppling Eastern Europe, Benko (1997) and Italy, Bertocci et al.
(1995) and may result in the splitting apart at the slope
Toppling instability in shale slopes has been highlighted by crest as the weaker clay shales soften and yield with time.
Goodman (2012) who describes flexural toppling failures Figure 7 shows a typical spreading failure at Spis castle in
in weak rock masses containing shales at the Santa Barbara Slovakia where travertine overlies weak claystones.
landslide in California, USA and at the Cardinal River coal
mine in Alberta, Canada. Benko and Stead (1999) describe
3.4 Rockfall
flexural toppling failures in surface coal mines and present
the results of distinct element modelling using UDEC. The
The importance of the effects of weak rock masses such as
growth of a toppling root zone is shown to be controlled by
shales underlying more competent rock beds is routinely
the presence of hard and weak rock strata, Fig. 6. It is
recognized in rock fall hazard rating systems. In such
suggested here that toppling instability in such rock masses
environments, it is the weathering control on durability and
should consider a composite anisotropic rock mass
degradation of the shale rock mass which usually is
approach as proposed by Mercer (2013) and Crawford et al.
important as opposed to kinematic sliding along adverse
(2014). Analysis to date of toppling slopes, particularly
planes. The damage, which may occur at the slope toe in
using limit equilibrium approaches has tended to put little
such environments, is important to consider as is the pos-
emphasis on the composite nature of rock masses. The
sibility of intact rock failure allowing failure of non-day-
presence of weak anisotropic shales within the sedimentary
lighting structures in the overlying rock mass. Weathering-
sequence can be shown to be an important control on
induced recession of weak shale rock masses at the slope
toppling instability. The location of the shale formations
toe could lead to a variety of different types and scales of
whether at the toe, mid slope or near the slope crest will
rockfall including secondary toppling, non-daylighting
influence the failure mechanism and is the subject of
wedge failures and spreading-induced rockfall.
ongoing research. Similarly, consideration of the cross-
laminar strength of the composite shale mass in addition to,
for example, the varying shale/sandstone, shale/shale and 3.5 Earthflows
shale/siltstone interlaminar strength is an important area of
ongoing research. Morgan and Einstein (2014) provide a Softening of shale debris material within landslides may
particularly instructive and relevant laboratory study of lead to extensive earthflow movements. Bovis (1985)
crack propagation in Opalinus clay shale. describes earthflows in the Interior region of B.C. Fig-
ure 8a shows the Pavilion earthflow, which, as Bovis
3.3 Spreading Failures suggested, probably occurred due to failure within purple
to black Cretaceous shales underlying sandstones and
Spreading rock slope failures are commonly observed conglomerates; thorough mixing of the Cretaceous sedi-
where major thicknesses of strong denser rock masses ments is believed to have occurred. Figure 8b shows the
overlie weak rock masses. Such failures are common in development of coastal mudflows within failed Lias
Northern BC, Canada, Geertsema and Cruden (2009), shales/mudstones at Charmouth in the UK.

Fig. 6 Influence of shale beds within a surface coal mine slope on toppling instability; note importance of cross laminae strength in formation of
root zone, and view of surface tension crack

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The Influence of Shales on Slope Instability

Fig. 7 Spreading type failure at Spis Castle, Slovakia where Travertine blocks rest on claystones

Fig. 8 Earthflows comprising Cretaceous sedimentary rocks. a Pavilion, B.C., b Charmouth, UK

4 Shale Slope Analysis and Modelling is of concern. Methods satisfying force and moment equi-
librium such as Morgenstern and Price, Generalized Limit
4.1 Limit Equilibrium Analysis equilibrium or Spencer are the most commonly used.
Modifications to active–passive block limit equilibrium
Most stability analyses of shale slopes in the published methods have also been developed to apply to multi-block
literature have used limit equilibrium methods suitable for failures along the North Saskatchewan River in Edmonton,
non-circular multi-block failures; these continue to be Soe Moe (2008). Combined interactive slope stability
applied incorporating combined stress and groundwater groundwater analyses, although now routinely available in
models and in both 2D and 3D, Kondalamahanthy (2013). modern software codes, were used over 20 years ago in the
Published analyses frequently involve the assumption of study of the Hepburn landslide in Cretaceous shales by
residual, peak or softened shear strength parameters along Misfeldt et al. (1991). A major development in limit
different sections of the failure surface to examine the equilibrium codes of increasing importance in analysing
relative importance of, for example, toe blocks relative to shale slopes is the ability to consider generalized aniso-
blocks in upper sections of the landslide. The relative tropic behaviour, Rocscience (2014). Mercer (2012)
importance of active and passive blocks with consideration describes the development of anisotropic linear and
of toe erosion and progressive or delayed failure processes Snowden modified anisotropic linear models, (Snowden

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 D. Stead

2011) which have been incorporated into commercial limit within limestones, sandstones, etc. They have also been used
equilibrium software; these methods have been applied to to model slopes where spreading and toppling failures have
anisotropic rock slopes in open pit mining but have yet to involved weak argillaceous rock masses such as shales, clay
see widespread application in shale landslide studies. shales and laminated mudstones, Benko (1997). A limitation
of discontinuum codes when applied to anisotropic weak
4.2 Continuum Modelling rock masses has been noted by Sainsbury and Sainsbury
(2013) with respect to the impracticality in representing
The application of continuum codes to shale and anisotropic shale laminations in models. Due to computing limitations,
rock mass slopes has included both finite element and finite time and memory, simplifications are required particularly in
difference methods (Yong 2003; Kondalamahanthy 2013) three-dimensional models. Incorporating plasticity criteria
Although these methods may be better able to capture the with directional weakness can be used between discrete
progressive nature and development of slope failures, they bedding surfaces; however, this may not replicate the true
are not without challenges owing to the complexities kinematics of the failure. Mercer (2013) describes ongoing
involved in shale slope behaviour. The development of research aimed at modelling weathered anisotropic rock
suitable constitutive criteria to capture the time- and strain- formations such as shales. Using UDEC simulations of a
dependent softening effects in shales has and continues to be virtual shear box containing lamellae material with the typ-
a subject of important research. The consideration of ani- ical properties of shales from Australian banded iron open pit
sotropy in addition to strain softening has led to the devel- mines, he examined the influence of bedding spacing on
opment of strain softening ubiquitous criteria which were anisotropic rock mass shear strength. The presence of a
first applied in open pit/underground mining interaction by simulated zone of upslope shear strength reduction was
Sainsbury et al. (2008). These methods are now being noted and related to the flexure of the shale beds emphasizing
applied to the simulation of slope instability in weak aniso- the importance of both accurate characterisation of bedding
tropic rocks using a discrete fracture network approach, spacing and the tensile strength of the shale beds.
Sainsbury and Sainsbury (2013), Fig. 9, and may have
considerable potential for future landslide and rock slope
investigations in shale rock masses. 5 Brittle Fracture and Damage in Shales

4.3 Discontinuum Modelling The stability of shale rock slopes due to the inherent con-
trol of anisotropy on deformation usually emphasizes shear
It is suggested that translational multi-block slope failures in failure mechanisms alone. It is suggested in this paper that
‘‘rock-like’’ shales/mudstones are more amenable to simu- brittle fracture is a fundamental process in the evolution of
lation by discontinuum codes such as distinct element or many shale slope failures; this is implied by the results of
discontinuous deformation analysis methods than multi- UDEC modelling of anisotropic media discussed above and
block failures in weaker ‘‘soil-like’’ shales; to date, however, in many of the case studies presented. The causes of brittle
perhaps due to the complexity in simulating anisotropic fracture and damage in shales are many and at scales
thinly laminated rock masses—both have usually been varying from the micro to the macro level. Weathering, as
analysed using limit equilibrium and to a lesser extent con- noted, often proceeds from fissures which represent
tinuum codes. Discontinuum methods have been success- extensional brittle features within shales. The propagation
fully used to model slope failures where weak zones such as of the fissures provides an increase in the area of exposure
shale or clay shale beds have formed discrete failure surfaces for weathering. The influence of suction has also been
linked to damage within the rock mass with cycles of
swelling and drying, freezing and thawing producing high
suction stresses capable of time-dependent fatigue damage
within the weak rock mass. The transition in material
behaviour will involve slaking or ravelling or softening
with a complex interaction between these processes. The
initial brittle damage failure mechanisms may progres-
sively transition the material toward a situation where
yielding due to shear failure dominates. Increased insta-
bility accompanying slope excavation either due to geo-
morphic processes such as river erosion at the slope toe,
Fig. 9 Developments in strain softening ubiquitous finite difference
models to allow modelling of anisotropic rock slopes (after Sainsbury coastal cliff undercutting, and glacier retreat, or associated
and Sainsbury 2013) with mining of open pit slopes, may lead to stress

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The Influence of Shales on Slope Instability

concentrations and increased damage/yield within shale landslides as geological hazards in Canada and notes
rock units. This damage may also be manifested in loos- Cretaceous shale units as one of the most landslide-prone
ening behaviour as joints/fissures open and grow. Again a materials. Compound slides comprising a combination of
complex interaction between these process and weathering curved and planar surfaces are common occurring in the
may lead to softening damage. As noted by Martin and gentle folded sedimentary rocks in the Rocky Mountains
Stacey (2013), the time available for such time-dependent and McKenzie Mountains where resistant limestones or
processes may be too limited in engineered pit slopes but sandstone caprock strata overlie weak shale units in which
this may be countered to some extent by the rapidity of the the sliding surfaces are located. Branham ridge, BC,
unloading processes resulting in increased damage. Where Canada is an example of such a compound slide where
shale beds dip into the slope and where shale rock masses shale overlain by resistant sandstones is sliding along an 8°
are undercut, it is essential to consider intralaminar brittle toward-valley dipping shear zone, Evans (2001).
fracture damage as opposed to interlaminar control on Landslides involving Cretaceous shales in Alberta and
slope stability. Brittle fracture across shale laminations will Saskatchewan have been the subject of intense research
occur much more rapidly in shales than in sandstones and having had adverse effects in urban areas and along
could, as discussed previously, be an important control on transportation routes. Many of the landslides in clay shales
toppling instability in slopes. The failure of slopes by were associated with erosion on river bends with major
recession of weak rock masses underlying strong rock instabilities being studied in the Edmonton area where
masses is a fundamental component of landform evolution. failure surfaces occur within the Upper Cretaceous
This may reflect the increased brittle fracture damage in the Horseshoe Canyon Formation; important failures in the
weak rock masses leading to the undermining of orthogo- Edmonton area include Lesueur, Devon, Grierson Hill,
nal joint controlled hard rock masses above. Imrie (1991) Keillor Road, Whitemud Road and Forest Heights Park
discussed the influence of in situ stress on damage in dam (Thomson 1971; Eigenbrod and Morgenstern 1971; Soe
foundations and abutment slopes, where sequences of Moe et al. 2006a, b, 2009; Soe Moe 2008). Failure tends to
sandstones and shales of varying strength are found. be retrogressive with headward progression by successive
Investigations at the WAC Bennett, Peace Canyon and Site failures, Evans (2001). Considerable understanding has
C dam sites in Western Canada indicate stress-induced been gained on the engineering of clay shale slope failures
damage including rock relaxation joints, spring bedding including the influence of softening, delayed and progres-
planes, shear bedding planes and cross-cutting shears sive failure and more recently deficient pore water pres-
(Fig. 10). The importance of near surface brittle fractures sures and active–passive block kinematics, Fig. 13.
in the failure and retreat of coastal cliffs in mudstones in Other important studies include the evolution of the
the Charmouth, UK area is clearly shown in Fig. 11 Edgerton Landslides (Cruden et al. 1995), monitoring of
through the dilation of sub-vertical and sub-horizontal the Smoky River Landslide in upper Cretaceous shales
fractures. Remote sensing using ground-based LiDAR of (Thomson and Hayley 1975; Skirrow et al. 2005) and the
shale/mudstone coastal cliff slopes near Whitby, UK, has Harrowby Hills slide in Pierre Shale (Yong 2003). Recent
been undertaken for over a decade by Rosser et al. (2005) application of corner reflector-based InSAR to monitoring
allowing changes in cliff morphology due to shale rock of the Smokey River Landslide is described by Froese et al.
mass failure to be investigated. Chigira et al. (2013) show (2008). Investigating movements in Cretaceous shales
clearly the importance of brittle fracture and damage in the associated with both bridge and dam foundations has also
stability of deep-seated gravitational slope failures in been important in increasing our understanding of these
Japan. Figure 12 shows drill-core observations with vary- complex materials.
ing classifications of damage from intact to cracked, jigsaw In Saskatchewan, Sauer and co-workers undertook
1 and 2, disintegrated and finally pulverised. Such remote extensive research on landslides involving Cretaceous
sensing and borehole investigations linked with brittle shales within the Bearpaw (Lea Park and Judith River
fracture modelling have significant potential in improving Formations); much of this research was in collaboration
our understanding of both the weathering and slope failure with Saskatchewan Highways with several studies focuss-
processes operating in shale rock slopes. ing on bridge locations. Important landslides/movements in
shales include the Maymont, Denholm (Fig. 14), Hepburn
and Borden, Petrofka, Gronilid and Battleford Bridge sites
6 Natural Landslides in Shales (Sauer 1983; Eckel et al. 1987; Misfeldt et al. 1991; Wilson
et al. 1986; Gareau and Sauer 1987). Clifton et al. (1986)
Landslides in shale materials in Canada have been the demonstrate the importance of slope instability in Creta-
subject of extensive research and have occurred in most ceous shales through their description of the town on a
provinces. Evans (2001) provides a useful summary of landslide; Regina Beach, Fig. 5c.

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 D. Stead

Fig. 10 The influence of stress-

induced damage on dam site
foundations and abutments
(modified after Imrie 1991)

The multi-block nature of the failure mechanisms bears October 1957 and affected an Alaska Highway suspension
similarities to the Alberta landslides as does the importance bridge and resulted, according to Evans, in an estimated
of river erosion at the slope toe. The ice-induced thrusting 1986 cost of Canadian $60M (this in 2014 terms would
as a softening mechanism has been the subject of consid- equate to approximately Canadian $114M). Pipeline routes
erable research (Sauer 1978; Stauffer et al. 1990; Sauer may also be influenced by shale landslides, an important
et al. 1990; Sauer and Misfeldt 1993). Figure 15 shows the example given by Evans (2001) being the reactivation of a
potential importance of glacio-tectonic damage on shales; Cretaceous shale slide in the Fort St. John area which
ice thrust ridges have been observed by Sauer (1978) with resulted in rupturing of a natural gas pipeline on the north
both thrust faulting and drag folding. Powell (2010) pro- side of the Peace River Valley, 205 km upstream from the
vides the most recent geotechnical characterization of the costly 1957 Peace River Bridge failure. Detailed terrain
Cretaceous Bearpaw Shale using multi-staged oedometer mapping along pipeline routes with instrumentation and
tests, constant rate of strain oedometer tests, specialized monitoring of slopes is important and ongoing research is
triaxial swell tests, pore water chemistry measurements and being conducted on the use of Satellite InSAR in moni-
finite element modelling, Her results showed that smaller toring slope movements along pipeline corridors. The
sized specimens reduced disturbance producing more importance of Cretaceous shales has also been noted in
accurate/consistent results. She also noted that creep fol- landslide studies and dam site investigations in Alberta and
lowed the same laws as for soft soils with negative BC.
implications for use of preconsolidation pressure in pre- Geertsema and Cruden (2009) describe rock movements
dicting geological history. in northeastern British Columbia where the flat-lying
In the Peace River area of Fort St. John BC, Evans Cretaceous shale and sandstones of the Alberta Plateau
(2001) and Brooker and Peck (1993) described one of the often form mesa and butte geomorphic features. Major
most costly instabilities in Canada which involved sliding spreads, rock topples, falls and rotational landsides occur
in Cretaceous shale units, Fig. 5b. This slide occurred in within horizontal-sub-horizontally bedded Cretaceous

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The Influence of Shales on Slope Instability

Fig. 11 Influence of joint dilation and brittle fracture on retreat of Lias rock cliffs near Charmouth, UK

Fig. 12 Brittle deformation in

drill core through deep-seated
gravitational displacements in
shale slopes (Chigira et al.
2013)

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 D. Stead

Amsden shales were involved in the major Gros Ventre slide

which occurred in 1929 and was one of the largest historic
slides in US history, Fig. 17. Hamel (1998) describes
mechanisms of Pleistocene deep-seated rock slides in flat-
lying interbedded strong and weak rocks (shales/clayshales)
near Pittsburgh, Pennsylvania. He suggests these failures
resulted from stress relief during valley down-cutting and
associated with high groundwater pressures under perigla-
cial conditions; the proposed mechanism is shown in Fig. 18.
In Panama, in Central America, the well-known slope
instabilities involving clay shales along the Panama Canal
Fig. 13 Active–passive block slope failure, Whitemud Road (mod- were documented by Banks (1978).
ified after Soe Moe et al. 2006b) Landslides in the UK are important in argillaceous rocks
as defined in Figs. 1 and 2 varying from well-documented
failures in overconsolidated clays such as London Clay and
Gault clays to the landslide-prone slopes of the Lias For-
mation. Hobbs et al. (2012) provide a very detailed account
of the engineering geology of the Lias Group with sections
on geotechnical properties and geological hazards includ-
ing slope stability.
The Lias group of rocks including shale, clay shales and
Fig. 14 Multi-block translational failure, Denholm landslide (mod- mudrocks outcrops throughout the UK. Jones and Lee
ified after Sauer 1983)
(1994) recorded a total of 1316 landslides in Lias Group
rocks which represented 15 % of all landslides recorded in
Britain; common failure mechanisms included multi-block
rotational, flows, mudslides, compound and cambers. The
Lias landslides are probably, along with London Clay, the
most studied landslides in the UK. The area along the
Dorset Coast between Lyme Regis and Charmouth is par-
ticularly active with considerable slope damage requiring
extensive remedial works in the town of Lyme Regis,
Fig. 19a. Numerous other shale materials have resulted in
large landslides in the UK, one of the most famous and
well studied being Mam Tor in Derbyshire where failure
involved black Edale shales, Fig. 19b.
Fig. 15 Ice thrust ridges showing thrust faulting and folding In central Europe, shale slope instabilities have also
(modified after Sauer 1978)
been observed with deficient groundwater pressures, with
respect to hydrostatic pore water pressures, and the effects
bedrock. Where low angle north east dipping resistant of softening have been described in Italy by Picarelli et al.
Dunvegan sandstones overlie a thick sequence of shales, (2005, 2006) and Bertocci et al. (1995). The clay shales
river incision has often resulted in spreading failures, discussed by Bertocci et al. (1995) have a chaotic structure
rotational slides, toppling and rockfall instability. Glacial due to intense tectonisation or submarine gravitational
undercutting and debutressing may also be important fac- processes; they are thus related to tectonic or sedimentary
tors. The Scatter River valley, northeastern BC, Fig. 16a is melanges. Intense uplift in the Italian Apennine chain since
a good example of a spreading movement where Creta- the early Pleistocene has resulted in the incision of rivers
ceous bedrock moves on a weak montmorillonite shale into triggering instability.
the river valley, Geertsema and Cruden (2009), Gerath and The detection of ancient landslides in clay shales is
Hungr (1983). Near Mount Gunnel, Fig. 16b, transverse crucial as they can be reactivated by engineering works or
ridges are evidence of spreading rock slope instability. rainfall. The high degree of clay shear fissuring, the scaly
Landslides in the USA have been reported in numerous nature and the pervasive tectonic shears are all important
shale formations including Pierre Shale (Schaefer and and reflected in the name Argille scagliose. Major land-
Lohnes 2001 and Kondalamahanthy 2013), Red Conemaugh slides with significant impact have been documented
Shale (Williams 1982) and Utica and Marcellus shales. The within clay shales and weak shale rock masses in Italy.

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The Influence of Shales on Slope Instability

Fig. 16 Views of spreading failures involving shales. a Scatter River Valley and b Mount Gunnel, BC Photographs courtesy of Marten
Geertsema

Fig. 17 Views of Gros Ventre landslide which involved Tensleep Sandstone overlying Amsden Shale

Landslides are also common in tropical areas with high

rainfall such as the highlands of Papua New Guinea, PNG.
High rainfall plays a major role not only in increasing pore
water pressures but softening and erosion of slopes. Fig-
ure 20a shows extensive erosion due to surface water runoff
and Fig. 20b a mudslide on road cuts along the Highlands
Highway of Papua New Guinea. The material forming these
slopes is a clay shale of Cretaceous age known as the Chim
shales. This shale formation is a major landslide hazard and
has been discussed by Blong (1981) and Stead (1990).
Blong and Goldsmith (1993) describe a major mudslide
near the Porgera mine in PNG, the Yakatabari mudslide
complex, which occurred in Chim Shale-derived materials.
Fig. 18 Weak–hard rock Pleistocene rock slope failure mechanisms
in Pennsylvania (modified after Hamel 1998) When considering slope stability, whether it be for trans-

123
 D. Stead

Fig. 19 Landslides involving shales in the UK. a Lyme Regis, Dorset, b Mam Tor, Derbyshire, UK

Fig. 20 a Intense erosion and b mudslide in Chim Shale, Highland’s Highway, Papua New Guinea

portation routes or mineral exploitation, the Cretaceous Australia. This method is also shown to realistically model
Chim shales are an important factor to be considered par- toppling, wedge and non-daylighting wedges in anisotropic
ticularly given that annual rainfall in some areas may rock masses. Joass et al. (2013) discuss monitoring at
exceed 8 m. remedial work in the north wall of CEPN at the West
Angelas Mine site in Australia. A failure occurred in
February 2010 due to planar sliding on the NS2 shale
7 Open Pit Slopes in Shales within a banded iron formation and interbedded shale. The
112 m high failure surface dipped at an average of 42° but
A summary of the current state-of-the-art of pit slope daylighted as a result of flattening near the slope toe.
design in weak rock masses including mudrocks is pro- Figure 21a shows the pit slope failure.
vided by Martin and Stacey (2013). Dutton et al. (2009) Cooper et al. (2011) describe slope stability at the Los
describes the importance of bedding plane shears in mud- Cruces Pit in Spain where bedding planes in marls have a
stone at the Tutupan coal mine in Indonesia. Fournier et al. strong control on pit slope deformations. Slope incli-
(2013) describe pit slope deformation in Chainman shale in nometers were used to monitor movements and constrain
the lower part of the 300 m high north wall of the Ruth pit FLAC finite difference models using a strain softening
at the Robinson open pit copper mine, Central Nevada. ubiquitous criterion. Tunono et al. (2011) report on the cut
Sainsbury and Sainsbury (2013) describe the successful 8 pushback at the Jwaneng Diamond mine in Botswana.
application of a three-dimensional strain softening ubiqui- The kimberlite diamond pipes intrude a sedimentary
tous FLAC3D model to simulate deformation along weak sequence comprising dolomites, shales and quartzites. The
anisotropic bedding planes at the Mt. Whaleback mine in foliation and bedding which daylights in the pit slopes

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The Influence of Shales on Slope Instability

Fig. 21 Open pit walls in shales. a West Angelas Mine, Australia (after Joass et al. 2013) and b Jwaneng Mine, Botswana

forms planar or pentahedral wedge failures and controls the three-dimensional models capable of capturing changes in
bench and inter-ramp slope angles. In the more fissile shale character due to softening and the kinematics of the
sedimentary formations, the rock slopes break back along failure mechanism remain important areas for future
foliation planes as mining progresses, Tunono et al. (2011). research. The potential linkages between geological struc-
Figure 21b shows the pit face at Jwaneng and the clear ture, hydrogeology and excavation-induced displacements
control on stability of the anisotropic bedding planes. The should be further explored. The relevance of damage in the
importance of considering anisotropic weak rock masses in failure mechanism of composite shale rock masses is an
open pit slope design has been highlighted through the area for future research using a combined laboratory, field
large open pit project, and the recent developments in both and numerical modelling approach.
characterisation and numerical modelling should provide
new methods also useful for an improved understanding of
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