Journal of Geophysics and Engineering

J. Geophys. Eng. 15 (2018) 2183–2193 (11pp) https://doi.org/10.1088/1742-2140/aac995

Study of ultrasonic wave characteristics of

shale in triaxial compression tests
Yuan Li1,2,3, Ke Zhang1,2,3 and Xiaowa Wu4
1
Key Laboratory of Shale Gas and Geoengineering, Institute of Geology and Geophysics, Chinese
Academy of Sciences, Beijing 100029, People’s Republic of China
2
Institutions of Earth Science, Chinese Academy of Sciences, Beijing 100029, People’s Republic of China

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3
College of Earth and Planetary Sciences, University of Chinese Academy of Sciences, Beijing 100049,
People’s Republic of China
4
College of Architecture and Civil Engineering, Beijing University of Technology, Beijing 100124,
People’s Republic of China

E-mail: liyuan@mail.iggcas.ac.cn

Received 10 April 2017, revised 23 May 2018

Accepted for publication 1 June 2018
Published 29 June 2018

Abstract
Changes in the velocity, amplitude and attenuation of ultrasonic waves are accompanied by
physical changes during rock failure. A large number of triaxial compression tests were
performed to study the progressive failure of shale rock according to these physical properties.
The tested shale samples had different bedding planes and were subjected to different confining
pressures. During the experiments, ultrasonic wave testing was used to monitor the progressive
failure process and to evaluate different characteristic points. Variations were interpreted by
analyzing the ultrasonic velocity and amplitude. Failure points cause velocity drops that are
greater in the P than in the S waves. The percentage wave amplitude decrease at dilatancy point
was determined and that of the P wave is double that of the S wave, which indicates that the P
wave is more sensitive. The shale sample attenuation was analyzed, and the results show that
samples with high density and high homogeneity tend to have a higher attenuation coefficient.

Keywords: shale, ultrasonic wave, triaxial compression test, characteristic point

(Some figures may appear in colour only in the online journal)

1. Introduction acoustic propagation behavior will change with these physical

Elastic-wave characteristics are comprehensive indicators of
rock physical properties. Ultrasonic testing has become a
valuable technique for rock mass quality evaluation and
mechanical-parameter determination. Some factors impact
ultrasonic transmitting characteristics, such as porosity, elas-
ticity modulus, joint fissure and stress state (Chen et al 2009,
Sun et al 2014). Shale is an anisotropic and foliated media
that is seen to be strongly laminated, with joints, bedding and
foliation. The behavior of shale is dominated by these closely
spaced planes of weakness (Sainsbury and Sainsbury 2013).
These pre-existing micro-discontinuities play a significant
role in the progressive failure of rocks, and they may lead to
the initiation, propagation, interaction and coalescence of the
microdefects lead to strain localization and finally to rock
failure (Gatelier et al 2002, Amann et al 2011). Hence, the
changes.
Much research has been conducted on ultrasonic wave
propagation during rock loading, and laboratory data have
been analyzed to describe wave variations in rock. Toksöz
et al (1979) analyzed the attenuation of ultrasonic wave in dry
and saturated rocks and demonstrated that the attenuation
coefficient is linearly proportional to frequency. Johnston and
Toksöz (1980) obtained ultrasonic wave attenuation for dry
and water-saturated rock samples and analyzed the variation
of Q values. Winkler and Nur (1982) introduced attenuation
of compressional and shear wave of sandstone under different
saturation degree. Yang and King (1986) carried out a series
tests on jointed rock mass and concluded that the P and S
wave velocities are controlled by the intensity of joint. Chen
et al (1990) investigated the travel time and changes in spatial
distribution of P waves under uniaxial compression to obtain

1742-2132/18/0502183+11$33.00 2183 © 2018 Sinopec Geophysical Research Institute Printed in the UK

J. Geophys. Eng. 15 (2018) 2183
the damage precursors. Chen et al (1995) studied the influ-
ence of cracks on wave attenuation behavior and analyzed the
relationship between damage variable and attenuation coef-
ficient. Hovem (1995) studied the acoustic wave propagation
in layered media to determine how the media structure and
properties influence the velocity. Wulff et al (1999) carried
out uniaxial compression tests of sandstone and granite to
evaluate the influence of increasing microfracture on wave
attenuation and use wave velocities to assess the damage
parameter. Darot and Reuschlé (2000) measured the acoustic
P wave velocity of cracked granite under different confining
pressures and pore pressures to interpret the relationship
between crack behavior evolution and imposed pressures. Liu
et al (2006) investigated the relationship between wave–
velocity characteristics and volume dilatation caused by
microcrack development under triaxial compression. Wong
et al (2008) tested ultrasonic wave velocities of over-con-
solidated shale samples on the direction of horizontal, vertical
and 45° and analyzed the different with static tests results.
Adam et al (2013) applied the variation of ultrasonic wave
velocity to reflect the change of rock microstructure caused by
the action of carbon dioxide and water. Cheng et al (2014)
discussed the influence of various factors on acoustic char-
acteristic parameters, such as porosity, confining pressure and
stratification. Yan et al (2015) studied the rock samples under
different damage degrees under triaxial compression test and
established the relationship between the acoustic velocity and
the mechanical parameters of rock mass. However, minimal
research exists on ultrasonic properties such as velocity,
amplitude and attenuation of marine shale under triaxial
compression tests.
We conducted a series of triaxial compression tests
combining with ultrasonic wave testing of shale samples, to
identify typical evolutionary stages of damage process and
characteristic stress points during loading. The law of acoustic
propagation at different stages during the damage process of
shale was analyzed, and the ultrasonic response as a function
of wave velocity, amplitude and acoustic attenuation of shale
in a triaxial testing system was evaluated.
2. Materials and methods
2.1. Sample preparation
Rock was Longmaxi marine shale from the Lower Silurian in
Shizhu, Chongqing, China. Cylindrical 50 mm diameter and
100 mm long samples were prepared using a high-speed drill.
The angles between the bedding plane and the drilled direc-
tion were θ=0°, 30°, 60° and 90° (figure 1). Each set of the
same bedding orientation θ was tested at five different con-
fining pressures. The confining pressure for each bedding
orientation was σ3=0, 20, 40, 70 and 100 Mpa. Three tests
were conducted for each bedding orientation and confining
pressure. Sixty samples were prepared, and each sample has a
notation sz-θ-σ3-No in which ‘sz’ is an abbreviation for
Shizhu. The end faces of each sample were polished using a
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Figure 1. Schematic diagram of different inclination shale samples.
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grinding tool. The final sample size was according to the
International Society for Rock Mechanics standard.
2.2. Test condition and process
Tests were conducted on a RTR-2000 triaxial servo-con-
trolled rock mechanical test system (figure 2). To monitor
axial and lateral stresses and strains, this system was equipped
with a high-precision pressure and displacement sensor and a
data-acquisition unit to monitor and control test performance.
Vertical and lateral displacements were used as feedback
signals. Ultrasonic wave transducers were mounted on top
and at the base of steel platens, which were exposed to the
sample surface. The platens diameter was the same as that of
the specimens. Two ultrasonic probes are placed on the two
surfaces of the sample, the emission probe is activated and
produces a transient vibration when pulse generator generates
a high voltage electrical pulse signal. The vibration is coupled
between the probe and the sample and transmitted in the
medium. The signal is received by the receiving probe when it
reaches the other end of the sample. The 1 MHz transducers
could measure compressional (P) and shear (S) waves
simultaneously. Figure 3 shows the P-waveform of sample sz-
30-0-1 as an example.
The applied loading was controlled by increasing the
axial strain at 0.001% s−1 for all sixty samples. Each con-
fining pressure was kept constant during the sample loading.
Stress and strain data were recorded simultaneously. The
frequency of ultrasonic-parameter data collection was
every 30 s.
3. Results and analyses
3.1. Ultrasonic wave–velocity method
Part of the relationship between stress, strain and P and S
wave velocities in the triaxial tests on the Longmaxi shale
samples is shown in figure 4. Shale samples were tested at
confining pressures of σ3=0, 20, 40, 70 and 100 MPa and
with inclination θ=0°, 30°, 60° and 90°. In each graph, vp is
the velocity of P wave, and vs is the velocity of S wave.
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Figure 2. RTR-2000 triaxial servo-controlled rock mechanical test system. (a) Sample and ultrasonic probe; (b) triaxial compression test
system.

Figure 3. P-waveform of sample sz-30-0-1. (a) A single waveform curve; (b) all the P-waveforms in the loading process.

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Figure 4. Relationships between wave–velocity curve and stress–strain curve from tests. Dots are ultrasonic measurement points.
Differential stress is the difference between maximum prin-
cipal stress σ1 and minimum principal stress σ3.
The P and S wave velocities are defined as:
vp = l t p = l (t p¢ - t p0)
vs = l ts = l (ts¢ - ts0) ,
where tp is the time for the P wave to be transmitted through
the sample, ts is the time for the S wave to be transmitted
Y Li et al
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through sample, tp¢ is the time of preliminary wave of P wave
which received by the receiving probe, ts¢ is the time of pre-
liminary wave of S wave which received by the receiving
(1 ) probe, tp0 is the time of P wave produces by the emission probe,
ts0 is the time of S wave produces by the emission probe and l is
(2 )
the shale sample length.
Rock failure process can be divided into five stages (see
figure 5): crack closure (OA), elastic deformation (AB), crack
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Figure 4. (Continued.)

initiation and stable crack growth (BC), crack damage and
unstable crack growth (CD) and post-peak behavior (DE)
(Brace et al 1966, Bieniawski 1967, Martin and Chandler
1994, Qin et al 2010, Sun et al 2014, Xue et al 2014a, 2014b,
Xue 2015, Xue et al 2015). Point C is the demarcation point
of the stable crack growth phase and unstable crack growth
phase and represents the dilatancy point. The dilatancy point
can be identified from the inflection of the volumetric strain
curve because the volumetric strain of the rock will reach a
maximum. The stress at point C is termed as dilatancy point
stress. The velocity and magnitude of the P and S waves will
exhibit sharp changes at this point.
From the experimental results, it is obvious that in the
crack closure stage, microcracks such as pores and joints

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Figure 5. Corresponding relationship between deformation and failure and creep phase.

Table 1. Ultrasonic wave–velocity change at failure. illustrates that discontinuities such as microvoids or micro-
Specimen No. −1
Δvp (m s ) −1
Δvs (m s )
cracks in shale samples did not grow into a large scale before
failure.
sz-0-20-1 −205 −114 Many studies have indicated (Shao et al 1987, Chen
sz-0-40-2 −44 −12 1989, Chen et al 1990, Zhao et al 1996, Li et al 2006, Liu
sz-0-70-2 −57 / et al 2008, Zheng et al 2009) that the ultrasonic wave velocity
sz-0-100-1 −222 −100
exhibits an abrupt change around the dilatancy point. Clear
sz-30-20-1 −498 /
sz-30-40-1 −182 −31 differences exist between our experimental results and those
sz-30-70-3 −77 −67 of other scholars. Several reasons may account for this
sz-30-100-1 −65 −21 behavior. Firstly, shale is a typical brittle rock with a dense
sz-60-40-1 −68 −23 lithology, and plastic deformation is not easy to observe. The
sz-60-70-1 −141 −37 average density of the Longmaxi marine shale samples in our
sz-60-100-1 −60 −4 tests is relatively high at 2.62 g cm−3. Therefore, the variation
sz-90-20-2 −167 −76 in wave velocity is insensitive to crack evolution. Secondly,
sz-90-40-2 −111 −12 the damage forms present splitting or shear failure under
sz-90-70-2 −65 −21
different confining levels and different bedding orientations
sz-90-100-2 −197 −125
(He and Huang 2003, Li et al 2012, Jia et al 2013, Chen
Note. The backslash ‘/’ means the missing data et al 2014). The different damage forms in axial and radial
that is not detected. direction may lead to different wave velocity variations.
The decreases in P wave (Δvp) and S wave (Δvs) at the
close under compression, which leads to a decrease in por- failure point are shown in table 1. A comparison of Δvp and
osity. The velocity of the ultrasonic wave has increased. Δvs during the damage process shows that vp changes sig-
During elastic deformation, stable crack growth and unstable nificantly compared with vs in all four bedding orientations
crack growth, the ultrasonic velocity tends to increase slightly θ=0°, 30°, 60° and 90°, which indicates that the P wave is a
and then it stabilizes. At the dilatancy point, the P and S more sensitive indicator to stress response and can better
waves do not show an apparent change. This behavior reflect damage conditions.

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Figure 6. Wave amplitude and stress–strain relationships for shale samples with inclination θ=0°, 30°, 60° and 90°. Dots are ultrasonic
measurement points.

convenient approach to evaluate failure evolution, and may

3.2. Ultrasonic wave amplitude method
The ultrasonic wave amplitude is a qualitative description
method for wave energy; rock media consume more energy
with crack propagation. Rock failure is a process of energy
dissipation. Thus, amplitude analysis is a helpful and
be more sensitive to changes in waves. The wave amplitude
curves of samples at a confining pressure of σ3=0, 20, 40,
70 and 100 MPa, and inclination θ=0°, 30°, 60° and 90°
are shown in figure 6. Table 2 gives the experimental
results that were obtained in the triaxial compression tests.

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Figure 6. (Continued.)

Here, σ3 is confining stress, σf is failure point stress, σd is
dilatancy point stress, εf is failure point strain, and E is
elastic modulus. The value of elastic modulus E listed in
table 2 are calculated by stress–strain curves and may
contain errors.
The sharper decrease in P wave amplitude is visible at the
flexure of the volumetric strain curve (dilatancy point). We
select the inflection points on volumetric strain curves and
make red dashed lines. The inflection point is the dilatancy
point which indicates microcrack coalescence and sample

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Table 2. Experimental results of rock mechanical parameters in

triaxial compression tests.
Specimen No. σ3/MPa σf/MPa εf/% E/GPa
sz-0-0-1 0 137 0.77 18.2
sz-0-20-3 20 265 0.81 32.3
sz-0-40-2 40 255 1.39 21.3
sz-0-70-1 70 426 1.21 39.5
sz-0-100-1 100 443 2.13 30.3
sz-30-0-3 0 186 0.53 34.2
sz-30-20-2 20 214 0.98 25.3
sz-30-40-3 40 290 1.18 27.0
sz-30-70-3 70 372 1.57 27.6
sz-30-100-1 100 445 1.85 33.0

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sz-60-0-1 0 133 0.52 28.4
sz-60-20-3 20 173 0.64 27.6
sz-60-40-1 40 250 1.04 27.3
sz-60-70-1 70 346 1.32 29.0
sz-60-100-2 100 408 1.63 30.5
sz-90-0-2 0 171 0.63 30.8
sz-90-20-1 20 217 0.83 28.1
sz-90-40-1 40 305 1.08 31.1
sz-90-70-3 70 521 1.31 43.4
sz-90-100-3 100 584 1.37 47.4

Table 3. Experimental ratios of σd/σf.

Specimen No. σd (MPa) σf (MPa) σd/σf (%)

sz-0-0-1 76 137 55.6
sz-0-20-3 231 265 87.3
sz-0-40-2 113 255 44.5
sz-0-70-1 271 426 63.6
sz-0-100-1 304 443 68.7
sz-30-0-3 128 186 68.8
sz-30-20-2 155 214 72.3
sz-30-40-3 214 290 73.7
sz-30-70-3 281 372 75.4
sz-30-100-1 259 445 58.2
sz-60-0-1 10 133 81.8
sz-60-20-3 150 173 86.8
sz-60-40-1 171 250 68.5
sz-60-70-1 285 346 82.5
sz-60-100-2 286 408 70.0
sz-90-0-2 97 171 56.5
sz-90-20-1 158 217 72.6
sz-90-40-1 217 305 71.0
sz-90-70-3 426 521 81.9
sz-90-100-3 483 584 82.6

failure into an unstable stage. This identification may be more

reliable and accurate if combining with other identification
methodology. From test results, P wave amplitude curves
present a decrease at dilatancy point only except sample sz- Figure 7. Ultrasonic wave attenuation after rock failure.
90-20-1. The experimental ratios of dilatancy point stress to
failure point stress (σd/σf) range from 44.5% to 87.3%
(table 3). The average ratio is 71.1%, which is almost con- wave decreases, and the variation in P wave is more valid
sistent with a previous study (Xue et al 2014a). According to than that in the S wave. At the failure point, there is a sharp
our test statistical results, about 86% of the P wave amplitude drop in the wave amplitude which is consistent with result of
decreases at a dilatancy stress, whereas only 43% of the S the wave velocity.

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Table 4. Wave attenuation, density and shape parameter m for the pressure of 0 and 70 MPa has a high density at 2.73 g cm−3,
tested samples. whereas the others have an average value of 2.61 g cm−3. The
Attenuation Attenuation points circled in figures 7(b) and (c) have an average density
(P) (S) of 2.73 g cm−3. It can be seen from experimental results
Specimen no. (dB mm−1) (dB mm−1) ρ (g cm−3) m (table 4) that among the set with the same θ and confining
pressure σ3, samples with a relatively high attenuation have
sz-0-0-1 0.22 0.17 2.62 6.59
high density and larger m values.
sz-0-0-2* 0.27 0.23 2.73 11.6
sz-0-0-3 0.20 0.04 2.62 7.26
sz-0-70-1* 0.13 0.18 2.73 4.98
sz-0-70-2 / / 2.61 2.25
sz-0-70-3 / / 2.61 2.68
4. Conclusions
sz-30-20-1* 0.34 / 2.73 7.37
sz-30-20-2 0.02 / 2.62 6.19 Sixty Longmaxi shale samples were tested under different
inclinations and confining pressures with triaxial compression

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sz-30-20-3 0.07 0.07 2.62 4.92
sz-30-40-1 0.03 0.02 2.63 6.80 and concurrent ultrasonic wave testing. The evolution of
sz-30-40-2* 0.29 / 2.74 8.06 ultrasonic velocity and amplitude during failure was analyzed.
sz-30-40-3 0.00 0.07 2.66 5.82 Wave attenuation was calculated after failure. The ultrasonic
sz-30-70-1 / / 2.62 2.39 parameters represent different stages in rock failure. The main
sz-30-70-2* 0.25 / 2.73 3.68 conclusions of this study are as follows:
sz-30-70-3 / 0.05 2.61 2.51
sz-90-20-1 0.03 0.02 2.60 10.6
sz-90-20-2 0.04 0.06 2.60 3.68 (1) Wave–velocity behavior is associated with microcrack
sz-90-20-3* 0.21 / 2.74 10.2 expansion. At crack closure stage, the ultrasonic wave
velocity has increased. No noticeable change takes
Note. The asterisk ‘*’ means the corresponding data that is surrounded by
blue circle in figure 7. The backslash ‘/’ means the missing data that is not
place until damage. At failure, the amount of P wave
detected. velocity change was larger than the S wave. The dense
shale lithology and brittleness made it difficult to
distinguish between demarcation stress points only by
3.3. Ultrasonic wave attenuation method velocity.
P and S wave attenuation depend strongly on the changes in (2) Wave amplitude is much more sensitive to dilatancy
physical rock properties, such as joints, beddings and point than velocity. A decrease at volume-expansion
microcracks. The variation in ultrasonic energy attenuation is point occurs, except to failure point. According to
more sensitive than the ultrasonic velocity or amplitude experimental statistical results, the P wave amplitude
(Winkler and Nur 1982). Elastic properties of rock change decreased at the dilatancy point by 86%, and was twice
with the appearance of cracks, and energy is consumed with that of the S wave. The average ratio of σd/σf is 71.1%
wave spreading. Hence, attenuation is intensified with crack which is in a reasonable range according to previous
expansion. studies. This value illustrates that the corresponding
The attenuation coefficient α can be written as: dilatancy point on the wave amplitude curve is valid.
(3) Ultrasonic attenuation is related to sample density.
a = (20 l) · lg (A 0 A1) , (3 ) Samples with high density ρ and large values of shape
where l is the sample length, lg is the logarithm, A0 is the parameter m have higher attenuation coefficient which
amplitude before the test and A1 is the amplitude after failure, range from 0.13 to 0.34, and attenuation coefficient for
the units for attenuation coefficient α is decibels per milli- other samples are mainly below 0.10.
meter (dB mm−1).
The relationship between attenuation and homogeneity is
analyzed, and the homogeneity is evaluated with shape
parameter m that is determined as proposed in Yang et al Acknowledgments
(2005a, 2005b), Cao and Li (2008):
m = 1 ln (Eef (sf - s3)) , (4 ) This work was supported by the Strategic Priority Research
Program of the Chinese Academy of Sciences (Grant No.
where E is the elastic modulus, εf is the axial failure strain, σf XDB10030302).
is the failure stress and σ3 is the confining pressure.
The ultrasonic wave attenuation of the P and S waves is
presented in figure 7. The attenuation α, density ρ and shape
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