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The importance of classification for carbonates and mudrocks in engineering

Conference Paper · January 2011

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The importance of classification for carbonates
and mudrocks in engineering
Matthew A. Perras & Mark S. Diederichs
Queen’s University, Kingston, Ontario, Canada

ABSTRACT
Geological classification systems for carbonates and mudrocks were developed to more accurately describe these
sedimentary rock types. There appears to be a correlation between the mechanical properties examined in this paper
and the geological classification system of Dunham. It was found that the Modulus Ratio of mudrocks is lower than
packstones, which is lower than Dolomite. Grains weaker in tension, than the matrix, begin to control the failure process
at around 35-40% total volume of the sample, in 2-dimensions. This volume will be lower for real samples. Many
characteristics affect fracture initiation and propagation in carbonates and mudrocks. Fractures initiate around grains or
pore spaces and propagate through matrix and grains. They can also propagate easily along bedding planes, although
the argillaceous content, in carbonates, may arrest propagation. The micro-mechanical behaviour of these materials is a
key research focus for storage of nuclear waste in sedimentary rocks.

RÉSUMÉ
Systèmes de classification géologique de carbonates et de pélites ont été élaborés pour décrire plus précisément ces
types de roches sédimentaires. Il semble y avoir une corrélation entre les propriétés mécaniques examinées dans le
présent document et le système de classification géologique de Dunham. Il a été constaté que le rapport des modules
d'argilites est inférieur packstones, ce qui est inférieur Dolomites. Grains plus faible de la tension, que la matrice, de
commencer à contrôler le processus de rupture à environ 35-40% du volume total de l'échantillon, en 2-dimensions. Ce
volume sera plus faible pour les échantillons réels. Caractéristiques ont une influence sur l'initiation et la propagation de
fracture dans les carbonates et pélites. Fractures ouvrir autour des grains ou des pores et se propagent à travers la
matrice et des céréales. Ils peuvent également propager facilement le long des plans de stratification, bien que la
teneur argileuse, dans les carbonates, peut arrêter la propagation. Le comportement de micro-mécanique de ces
matériaux est un domaine de recherche clé pour l'entreposage des déchets nucléaires dans les roches sédimentaires.

1 INTRODUCTION fracture damage) and the propagation of fractures,

thereby controlling the brittleness of the material or
conversely the ability to sustain damage without failure.
Carbonate rocks are used for many purposes around the These characteristics are of importance for slab
world; for building stone, cement and steel production, resilience, aggregate durability and long term stability of
and as aggregate. It has been in use for centuries and is sensitive underground works such as nuclear waste
one of the most frequently used materials for aggregate repositories.
(Cargill and Shakoor 1990). Geologists use the term
carbonate to describe sedimentary rocks composed of 1.1 Classification Systems
-2
predominately CO3 . Limestone is a generic name and
typically is used to describe CaCO3 bearing rocks and Geotechnically the rock in consideration for a project is
dolomite to describe CaMg(CO3)2 bearing rocks. classified according a rockmass scheme, such as Rock
Underground construction in carbonates has largely Mass Rating, (RMR), system of Bieniawski (1973, 1989),
been limited to shallow excavations, in North America, Q system of Barton et al. (1974) or Geological Strength
ranging from underground quarries and mines to more Index, (GSI), of Hoek (1994) and Hoek et al. (1995). The
recent infrastructure projects. The relatively high strength GSI system was developed to reduce intact rock
of most carbonates, with unconfined compressive properties based on geological conditions and was largely
strengths (UCS) on average around 100 MPa, make it an due to the increasing use of continuum codes for design.
ideal material for constructing with, on or in. Grabau (1904) realized the large grouping of rocks
There is however; a large variation in the strength and called limestones was inadequate to distinguish between
behavior of carbonate rocks, both at laboratory and the many varieties. Further development in geological
excavation scales. UCS values can range from 50 – 250 classification systems by Folk (1959, 1962) and Dunham
MPa according to Hoek (2007) and this wide range of (1962) are still widely used today. Dunham’s 1962
strength values is influenced by many factors. Some of classification system is the most widely used in geological
these factors include grain size variations, pore volume, sciences because of its ease of use in the field and does
cement type and pervasiveness, fossil content, non- not require thin section analysis, such as Folk’s (1962)
calcareous content, burial depth, dolomitization and system. Additions to Dunham’s 1962 classification
karstification. In addition to peak strength, the nature of system have been presented by Embry and Klovian
the carbonate matrix, fabric and grain components control (1971) and James (1984), to help account for larger fossil
the relationship between damage initiation (onset of fragments and different binding organisms and agents.
1.2 Carbonates in Geological Engineering

The geological systems have largely been ignored by the

geological engineering community when classifying
rockmasses. This may be due to the fact that standard
compressive testing typically yields a wide range of
values for all rock types and carbonates are no exception.
Also, average values for standard mechanical properties,
such as Young’s Modulus (Ei) or Unconfined
Compressive Strength (UCS), are typically used and
variations maybe acceptably captured by considering the
range for design. However; at the grain scale there can
be significant changes in the limestone character, which
can influence the micro-mechanical behaviour,
particularly the fracture initiation and propagation
thresholds.
The lack of consistent terminology, used in geological
engineering, for carbonate rockmasses makes reviewing
past projects difficult and challenging to apply to current
designs because the question arises; what types of
carbonate rock were they dealing with and does it apply
to this project? It may not be sufficient to apply the same
findings from one project site to another, even if they are
within the same formation, as slight variations in the
depositional environment can change the character
significantly and thus influence its micro-mechanical
properties and behavior. The same is true for mudrocks,
although the influencing factors on the micro-mechanical
properties may be less. By applying the correct Figure 1: Folk’s (1959, 1962) textural classification of
terminology to describe carbonates and mudrocks an carbonate rocks.
implied general behavior should be properly
communicated.
The work presented in this paper is part of a larger 2.1 Folk’s Classification System
research project which will investigate the influence of
various carbonate and mudrock features on the micro- Folk (1959, 1962) laid out a method of classifying
mechanical behavior. Future investigations will include carbonate rocks based on petrographic thin section
laboratory testing and excavation site visits, to ultimately analysis. The main classification system is shown in
determine the most appropriate numerical method(s) to Figure 1. This system is based on two principal
model underground excavations in these rock types. components, matrix and allochems (grains). Distinction is
made between four different types of allochems, as well
as those lacking allochems or reefs builders.
2 CLASSIFICATION OF CARBONATE ROCKS In this system the matrix material, either sparry or
micrite calcite cement, is used as a major division. The
definitions given by Folk (1962) are;
The two main geological classification systems of Folk
(1959) and Dunham (1962) are currently widely used and Sparry: coarse calcite cement, clear crystals >10 μm
other variations of classification systems have been Micrite: very fine, sub-translucent crystals 1-4 μm, also
developed and include systems which address the called microcrystalline cement
relationship between carbonate and siliciclastic grains
(Mount 1985). However; the later have not gained These terms are conjugated with the type of
widespread use in the geological community due to their allochems present and the terminology can get confusing.
complex nature, but may be important when considering The terminology only indirectly indicates the environment
rockmass behaviour for a geotechnical characterization of deposition.
system for carbonates, as mudrocks are often found to
co-exist at the outcrop scale. 2.2 Dunham’s Classification System

Dunham’s (1962) system addresses the issue of

depositional environment by considering the allochem-
matrix relationship, in terms of percent volume or packing
arrangement and is outlined in Figure 2.
 Dunham’s (1962) system is adopted for its ease of
use in the field and for the more commonly used
terminology. In this study we look at the characteristics
which contribute to fracture initiation and propagation in
mudstones, wackestones, packstones, and crystalline
limestone. These carbonate types are typical for
construction projects around the world. The other types
are less commonly utilized in the construction industry.
The depositional environment controls the type of
carbonate rock which will form. The water temperature,
depth, salinity and siliciclastic input are all important
factors and James and Choquette (1990) state that to
“understand limestones for any purpose it is imperative to
decipher the often complex series of processes that have
modified their texture and composition.” After deposition
the main processes of diagenesis include compaction,
cementation, dissolution and recrystallization. These
processes also influence the micro-mechanical behavior
Figure 2: Dunham’s (1962) depositional classification of of carbonates.
carbonate rocks (from Loucks et al. 2003).
2.3 Mixed Sediment Classification

The definitions of the classes considered in this paper Siliciclastic input inhibits growth of carbonate producing
are as follows, as outlined by Jones and Desrochers organisms (Mount 1985). However; siliciclastic material
(1992), unless otherwise indicated; does occur mixed with carbonate material and attempts
have been made to create mixed sediment classification
Mudstone: fine grained, < 20 μm (Dunham 1962), systems. Mixing can be observed as interbedded layers
originating from ooze, disintegration of fossils or or as disseminated grains. The later can be indicative of
grains, or possibly from inorganic precipitation. depositional environment changes or sporadic input from
Associated with low energy or binding organisms in siliciclastic sources, such as windblown sands. Some
medium-high energy organisms build quartz into their skeletal structure, such
Wackestone: transitional, matrix supported 10% < % as sponges which leave siliceous skeletal fragments,
volume grains < 20-30% called spicules, behind in the rock record (Uriz et al.
Packstone: transitional sediment, grain support, 2003). 50% carbonate is used as the cut-off point
volume of grains 20-30% (Tucker and Wright 1990) between siliciclastic and carbonate rocks.
Grainstone: high energy, no mud, typical of shoals, Mount (1985) proposed a mixed siliciclastic-carbonate
beaches, areas classification system based on texture and composition.
2+ 2+
Dolomite: 1:1 ratio of Ca to Mg ions, predominately At its simplest level the system divides material into four
CaMg(CO3)2. considered to be crystalline in this paper components; siliciclastic sand or mud and carbonate
Crystalline: recrystallization of limestone, change in sand or mud. The system is complicated, although Mount
grain/crystal size without a change in mineralogy (1985) does provide the frame work for understanding the
relationship between siliciclastic and carbonate materials.
Both dolomitization and recrystallization are
gradational processes and affect the structure of the
rockmass at the micro scale. Crystalline in Dunham’s
systems can be considered for both Dolomite and
crystalline limestone.
The naming convention using Dunham’s classification
is to select the appropriate root word from Figure 2 and
add a prefix to describe the most appropriate allochem(s)
or other features. For instance; a packstone is grain
supported with a fine carbonate mud matrix. An
appropriate prefix might be oolitic, which would imply that
the rock is composed on ooids. This implies the
environment of deposition was near the carbonate
factory, where the grains were being produced, but far
enough away that the energy of the environment did not
remove the fine grained mud which was deposited along
with the grains. Dunham (1962) also used terminology
from siliciclastic sedimentology, which every Geological
Engineer is accustomed to using. This means that the
descriptive terminology is more easily understood than
that of Folk (1959,1962). Figure 3: Mount’s (1985) mixed classification systems.
 The transition from carbonate to siliciclastic material Table 1: Estimated mi values for carbonate rock types by
occurs largely at the limemud-siliciclastic mud transition Hoek and Marinos (2000) and MR values from Hoek and
as highlighted in Figure 3. There is a small window of Diedeirchs (2006)
transition for larger grains. The authors would argue that Carbonate
Crystalline Sparitic Micritic Dolomites
this would be uncommon in nature due to the input Type
energy required to make such a transition. It is more likely mi 12 ± 3 10 ± 2 9±2 9±2
that the input energy would decrease first allowing mud MR 400-600 600-800 800-1000 350-500
sized grains to be deposited. This leads to the important
role which mudrocks play on the mechanical behavior of
carbonates, both at the laboratory scale and the
excavation scale.

2.4 Mudrock Classification

Lundegard and Samuels (1980) developed a fine grained

classification system for use in the field. They state that a
distinction between fine grained rocks is needed and
proposed subdivisions, shown in Figure 4, based on grain
size and induration. Lundegard and Samuels (1980)
define these fine grained rocks as mudrocks, which
includes the sub-group shale (mud or clay). The term
shale is often used in geotechnical literature to describe
all fine grained sedimentary rocks which are not
sandstones or carbonates. The distinction between
shales and siltstones may prove to be useful when
describing their mechanical behaviour.
The feature’s presented in the above geological Figure 5: Triaxial carbonate data (courtesy of Dr. Evert
classification systems are only indirectly captured in Hoek) with curves used in the numerical modeling
geotechnical classification systems and the use of the
geological terminology to describe the different rock types
for carbonates and mudrocks are rarely used in 3 MECHANICAL PROPERTIES OF CARBONATES
geotechnical literature. This makes correlating rock
properties and rockmass behavior from different sites to a
newly developing project difficult, as the carbonate A review of the geotechnical literature pertaining to
rockmass from one site maybe a completely different type carbonates was undertaken and the test data was
of carbonate at the site in question. At the macro scale classified, where possible, using Dunham’s (1962)
the materials may be similar and have similar UCS classification system. Lime mudstone, wackestone, and
values. However; these materials may have largely packstone data was the most commonly found, with
different micro-mechanical characteristics which influence limited grainstone data. Dolomite is included as an end
fracture initiation and propagation. member and can be considered to be crystalline in
To answer the fundamental question of what is a Dunham’s classification.
limestone, from a geotechnical point of view, we must Hoek and Marinos (2000) made a distinction between
start at the different geological classes of carbonates. four different types of carbonate for estimating the Hoek
The different properties which distinguish a mudstone and Brown (1997) parameter mi, as shown in Table 1.
from a packstone should also influence the fracture Hoek and Diederichs (2006) were the first to establish
initiation and propagation processes in carbonates. different Modulus Ratios (MR) for the same four types
(Table 1), which are similar to Folk’s (1962) terminology.

3.1 Carbonate Laboratory Data

Triaxial test data, courtesy of Dr. Evert Hoek, show a wide

range of mi values, from 6.4 to 16.3, for some carbonate
rocks (Fig. 5). Such variation is not uncommon. A
problem arises when two carbonate units have similar
UCS values. In this case adjusting the mi value has a
small influence on the failure envelop, as the sig1-sig3
curves (Fig. 5) are similar.
Plotting carbonate testing data indicates that the
different classes have different mechanical properties
(Fig. 6) and MR lines help highlight the ranges. The
classification systems are subjective and this results in
overlap between the different rock types. As well the
Figure 4: Mudrock classification based on texture and silt carbonate types are gradational and can result in
content (Lundegard and Samuels 1980).
 Figure 7: Young’s modulus versus depth for a select
Figure 6: Carbonate strength versus stiffness sorted group of data from a variety of sources, sorted according
according to Dunham’s (1962) classification system. to Dunham’s (1962) classification system.

miss-designation. This can occur if the general

description of the formation, rather than the test
specimen, is given in the literature. None the less, there
is a clear indication that there is an influence on the
mechanical properties, which is due in part to the nature
of the type of carbonate according to Dunham’s (1962).
Burial diagenesis changes the character of carbonate
sediments, porosity can decrease due to compaction or
due to recrystallization or dolomitization. The latter two
can also increase porosity under the right conditions.
Diagenesis should affect the stiffness of carbonate
materials, with greater burial making stiffer units typically.
On inspection of the limited available data, (Fig. 7), the
only conclusion that can be drawn is perhaps that there is
an upper bound for the stiffness of mudstones around 20
GPa. Based on Shinn and Robbin’s (1983) work it is
possible that an upper bound stiffness could exist, as they
found that less than 100 m of burial was required to
reduce the sediment to half its original thickness.
Significant further burial (up to 3000 m) resulted in only
minor reductions of several millimeters (Shinn and Robbin Figure 8: Synthetic UCS test results with varying
1983) suggesting that fine grained mudstones reach a percentage of crystalline grains in a micritic matrix.
closest packing arrangement early in their diagenetic
history. Shinn and Robbin (1983) also found that during
burial wackestones convert to packstones and that shell 3.2 Synthetic UCS Modelling
breakage only occurs when large shells contact each
other, not when surrounded by mud. Further diagenetic To test the influence of the lime mudstone to packstone
processes continue after mechanical compaction. transition and the influence of recrystallization, synthetic
The process of recrystallization or dolomitization UCS models in 2D were evaluated. The properties of
occurs at zones of ground water mixing (James and micrite and crystalline carbonate, from table 1, were used
Choquette 1990) and as ground water levels fluctuate, as a starting point. A voronoi joint network was used to
this process is a gradational phenomenon. simulate grain boundaries and the percentage of
Recrystallization can change the crystal structure of the crystalline grains was increased uniformly across the
carbonate minerals, can fill voids and fractures with new sample to determine the influence on the UCS. An “intact”
cement and can create new pore space. Dolomitization UCS of 75 MPa and a Poisson’s ratio of 0.3 were used for
changes calcite or aragonite grains into dolomite and can both micritic and crystalline grains. The joint properties of;
cause significant increases in porosity. These processes tensile strength = 8 MPa, cohesion = 15 MPa and friction
can increase the number of sites for stress localization angle = 40⁰, were chosen to be similar to the intact
and fracture initiation. strength.
 The model results, shown in Figure 8, indicate that the mudrocks these sites can occur at grain size transitions,
end members (100% micrite and 100% crystalline grains) large clasts or other larger than typical mud sized grains
have a peak UCS value difference of 13 MPa, within the randomly distributed in the rockmass. Argillaceous
range of variability of real laboratory tests. The crystalline content of carbonate rocks maybe an important property
sample shows a minor strain softening behavior post which is able to arrest fracture propagation, limiting the
peak, which is not present in the micritic sample. This is degree of the brittle failure process.
because the crystalline grains are weaker in tensile 4.1 Characteristics Affecting Initiation & Propagation
strength and begin to fail first, but the micrite grains pick
up more load once the crystalline grains fail. The initiation of fractures in brittle materials is an
One would expect that with evenly distributed grains, extensile phenomenon as indicated by many researchers
that at 50% crystalline, would fall between the end (e.g. Lee and Haimson 1993; Myer et al. 1992; Stacey
members. At 50% crystalline grains however; the 1981; Tapponier and Brace 1976 and Griffith 1921).
behavior is similar to the crystalline end member, Materials such as granite and gneiss have long been
indicating that the crystalline grains are dominating the known to behave in a brittle fashion. Many studies have
failure process. The crystalline grains begin to dominate shown, however; that tensile fracturing can be anticipated
the failure process at 35-40%. The 20-30% level for a wide range of rock types (Hoek 1968; Fairhurst and
indicating grain-grain contact of a packstone come from Cook 1966; Brace et al. 1966; Tapponier and Brace 1976;
3D samples (Tucker and Wright 1990), but Dunham Martin 1997; Amann et al. 2011).
(1962) states that a 2D view at this volume of grains will
show grains floating in the matrix. If the modeling were 4.1.1 Carbonates
conducted in 3D the crystalline grains may begin to
influence the failure process at volume levels close to the Studies on the brittle-ductile transition for limestone
wackestone-packstone transition (20-30%). indicate an inverse relationship between strength and
Similarly the synthetic UCS model could be grain size (e.g. Brace 1961, Handin and Hager 1957 and
considered a recrystallization model. Here the addition of Fredrich et al. 1990). This is also influenced by the crystal
“crystalline” grains is in fact simulating the gradual structure.
conversion of micritic grains to crystalline. Therefore at Different grain stiffnesses can also induce tensile
35-40% recrystallization or dolomitization is a threshold stress at the grain to grain contact, inducing a fracture.
where a change in behavior occurs in 2D. Further Different grain stiffnesses can arise in carbonate rocks
research is necessary to confirm these thresholds, both through the processes of recrystallization or
numerically (2D & 3D) and on laboratory samples. dolomitization, where grains are gradually changed into
Both the laboratory test data and the synthetic UCS either a different crystal structure or different composition,
data indicate influences on the mechanical properties of respectively. Recrystallization and dolomitization can also
carbonates, which can be correlated to Dunham’s (1962) create void space, which can be a site for fracture
classification system. The influence on crack initiation initiation.
(CI) and crack damage (CD) thresholds has largely been
unstudied, to the best of the author’s knowledge, in terms
of different carbonate types. CI and CD are important
parameters used to describe the brittle failure process of
rock and potential influencing properties of carbonates
and mudrocks are discussed below.

4 THE BRITTLE FAILURE PROCESS

Brady and Brown (2006) define the brittle fracture

process as a sudden loss of strength across a plane with
little to no permanent or plastic deformation and suggests
that it s associated with strain-weakening behaviour.
The brittle failure process initiates at flaws within the
rockmass or sample. This is called the damage initiation
and is a lower bound strength, typically corresponding to
33%-50% of the intact UCS (Diederichs 2003). This is the
CI threshold and can be detected most using a variety of
methods, as discussed by Ghazvinian (2010).
As fractures propagate away from the initiating site
they begin to interact with each other and eventually form
a macro-scale fracture. This threshold corresponds to the
onset of nonlinearity in axial stress-strain curves
(Diederichs 2003) and is the CD threshold.
In carbonate rocks initial flaws can include mud- Figure 9: Fractures propagating through both the matrix
carbonate interfaces, fossil fragments, or pores. In and peliod grains of a sample from the Westington
Quarry of the Inferior Oolite (from Holm 1983).
 Experimental fracture propagation studies conducted influence the brittle behaviour of carbonates and
by Hoagland et al. (1973) showed that it requires mudrocks.
substantially less energy to propagate a fracture along Geological classification systems, such as Dunham’s
bedding rather than perpendicular to it, in the Salem (1962), seem to provide a useful starting point for
limestone. Another study (Holm 1983) showed that delineating the micro-mechanical differences between
fractures propagate through the matrix and grains, since various types of carbonates. Further study is necessary to
both have similar properties (Fig. 9). The non-tortuous determine the influential characteristics of the material
fracture path means they can propagate easily and which affect the fracture initiation and propagation in
quickly. However; argillaceous components can arrest carbonates and mudrocks. This will require detailed
propagating fractures. This gives rise to the common laboratory testing and site visits, so as to be able to
appearance of carbonate outcrops with continuous implement these findings appropriately into numerical
horizontal beds and short vertical fractures which models of sensitive underground structures, such as
terminate at bedding planes, often of an argillaceous nuclear waste repositories.
nature.

4.1.2 Mudrocks 6 ACKNOWLEDGEMENTS

The deposition of fine siliciclastic material, forming

mudrocks, inherently leaves a bedding fabric. The Funding for this research has been provided by the
bedding fabric can be indicated by different grain sizes, Natural Sciences and Engineering Research Council of
visible fabric or alternating colours (Lundegard and Canada through the Industrial Postgraduate Scholarships
Samuels 1980). Fracture initiation can occur at the site of program and sponsorship is provided by the Nuclear
grain-grain contacts or at micro-stiffness variations Waste Management Organization (NWMO) of Canada.
between beds of different grain size. Amann (2011) The authors would like to thank Dr. Evert Hoek for use of
indicates that clast inclusions are an important factor in the triaxial data, Mr. Tom Lam, of NWMO, and Dr. Florian
the initiation of fractures during UCS tests on mudrocks of Amann, of ETH Zurich, for their discussions on various
the Opalinus clay. Once fractures are initiated in aspects of this research.
mudrocks they propagate along bedding planes relatively
easily and quickly, as this is the plane of least resistance.
This process of brittle fracturing was observed by the 7 REFERENCES
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