HARVARD SOIL MECHANICS SERIES No.

88

LIQUEFACTION AND CYCLIC DEFORMATION OF SANDS

A CRITICAL REVIEW

by

Arthur

Casagrande

Presented

Fifth
on

Soil

Panamerican

at

Conference

Mechanics and Foundation

Buenos

Argentina,

Aires,

Pierce
Cambridge,

(with

November

1975

Hall

Massachusetts

January
Reprinted

Engineering

1976

corrections)

January

1979

LIQUEFACTION AND CYCLIC DEFORMATION OF SANDS

A CRITICAL REV IEW

by
Arthur Cas agrande
Professor emeri tus, Harvard Univers i ty, Cambridge, MA, USA
SUMMARY
Th is paper reviews inve s t igations of two basically dif feren t phenomena
for which in l i terature the same term LIQUEFACTION is used . To prevent
confus ion, the term ACTUAL LIQUEFACT ION is used in this paper for the
response of contrac t ive ( loose) sand that leads to loss of s trength
which c an cause flow s lides; and the term CYCLIC LIQUEFACT ION for the
response of dilative (dense) s and when subjec ted to cyc lic labor atory
tes ts. Top ics covered: Hypo thes is of cr it ical void ratio and its
early tes t ing . Liquefac tion s lide in For t Peck Dam and hypo thes is of
flow s truc ture . Inves tigat ion o f ac tual liquef act ion w i th load control
triaxial tes ts; definit ion of dilative and contr ac tive zones; F line
and l iquefac t ion poten t ial . Inve s t igation of r esponse to cyclic
loading in var ious types of cyclic laboratory tes ts; conc lus ions (1)
that cyc lic liquefac tion in tes t spec imens is c aused by red is tr ibution
of water con tent which is generated by mechanisms that normally are
absent in s i tu , and (2 ) that cyclic liquefac t ion normally cannot
develop in dense s ands in s i tu . Because i t is unlikely that laboratory
tes t s c an be devised to eliminate the severe s tress grad ients in tes t
spec imens and t o reproduce the uniform s tresses tha t exist in a typical
element in s i tu, the author believes that the great gap between lab or
atory and in s itu response to cyc lic load ing will require comprehens ive
f ield inves tigat ions o f full sc ale tes ts that nature is performing in
highly s e ismic regions. For es timating the in s i tu cyclic r esponse of
medium dense and dense s ands, an interim procedure is sugges ted using
cyc lic tr iaxial tes ts on anisotropically consolida ted specimens.

CONTENTS
I

INTRODUCTION

II

DEFINITIONS OF "ACTUAL LIQUEFACTION" AND "CYCLIC LIQUEFACTION" AS USED IN THI S PAPER

EARLY LABORATORY INVEST IGATIONS OF ACTUAL LIQUEFACTION AND

HYPOTHESIS OF CRITICAL VOID RATIO (1935-1938)

INVESTIGAT ION OF PARTIAL FAILURE OF FORT PECK DAM AND

HYPOTHE SIS OF FLOW STRUCTURE

ACTUAL LIQUEFACTION PRODUCED IN TRIAXIAL TESTS WITH MONOTONIC LOAD CONTROL

III
IV
V
VI

COMMENTS ON POTENTIAL FOR ACTUAL LIQUEFACTION

10

VII

CYCLIC TRIAXIAL TESTS BY PROFESSORS SEED AND LEE

12

VIII

INVESTIGATIONS WITH GYRATORY SHEAR APPARATUS

14

IX

COMPARISON OF CYCLIC STRESSES INDUCED IN SITU AND IN

LABORATORY TESTS

18

COMPARISON OF RESPONSE TO CYCLIC LOADING OF DENSE SANDS IN

SITU AND IN LABORATORY TESTS

20

LABORATORY TESTS FOR DESIGN PURPOSES - INTERIM RECOMMENDATIONS

23

XII

SUMMA RY OF PRINC IPAL CONCLUSIONS AND RECOMMENDATIONS

24

XIII

ACKNOWLEDGMENTS

25

XIV

REFERENCES

26

X
XI

LIST OF FIGURES

EARLY HYPOTHESIS OF CRITICAL VOID RATIO EXPLAINED BY MEANS

OF DIRECT SHEAR TESTS

CROSS SECTION THROUGH FLOW SLIDE IN FORT PECK DAM AT STATION

22+00

COMPARISON OF THREE ISOTROPlCALLY CONSOLIDATED R TESTS AND

ONE S TEST , USING DEAD-LOAD INCREMENTS

STRES S CIRCLES OF ISOTROPlCALLY CONSOLIDATED R TEST ( Same

Test as "A" in Figs. 3 and 5)

COMPARISON OF THREE TYPES OF R TESTS WITH ACTUAL LIQUEFACTION

CRITICAL VOID RATIO (F LINE) FROM

INCREMENTS OR CYCLIC LOADING

CRITICAL VOID RATIO (Esc LINE) FROM R TESTS USING STRAIN

CONTROL LOADING

it

TESTS USING DEAD-LOAD

11

VARIABLES CONTROLLING POTENTIAL FOR ACTUAL LIQUEFACTION OF

BANDING SAND (Based on Data in Ref. 8)

LIQUEFACTION IN LOOSE SAND ADJACENT TO A WATERFRONT

10

RESULTS OF A TYPICAL CYCLIC TRIAXIAL TEST ON DENSE SAND

(Ref. 10)

11

REDISTRIBUTION OF RELATIVE DENSITY IN CYCLIC TRIAXIAL

SPECIMEN (Ref. 8)

12

DIAGRAMS ILLUSTRATING MECHANICS OF (a) GYRATORY SHEAR AND

(b) RECIPROCATING SHEAR PRODUCED BY ROTATING ARM OF GYRATORY
SHEAR APPARATUS

13

SCHEMATIC SECTION OF GYRATORY APPARATUS - LEFT HALF SLIDING

PLATE FOR GYRATORY TESTS, RIGHT HALF FOR RECIPROCATING TESTS

14

SCHEMATIC PLAN OF SLIDING PLATES FOR GYRATORY AND FOR

RECIPROCATING TESTS

15

COMPARISON OF TYPICAL REDISTRIBUTION OF RELATIVE DENSITY IN

RECIPROCATING AND GYRATORY TESTS

16

HISTOGRAMS OF RELATIVE DENSITY DISTRIBUTION IN SPECIMENS AS

PREPARED AND AFTER VARIOUS NUMBERS OF CYCLES IN RECIPROCATING
TESTS

17

COMPLETE RECORD OF REDISTRIBUTION IN MEDIUM LOOSE SPECIMEN

AFTER 25 RECIPROCATING CYCLES

18

RECIPROCATING TEST ON DENSE BANDING SAND

19

INDUCED PORE PRESSURES AND HORIZONTAL DISPLACEMENTS VS NUMBER

OF CYCLES IN GYRATORY TEST ON MEDIUM-LOOSE BANDING SAND

20

COMPLETE RECORD OF REDISTRIBUTION IN GYRATORY TEST ON MEDIUM

LOOSE BANDING SAND

21

STRESSES IN AN ELEMENT IN SITU BENEATH HORIZONTAL GROUND

SURFACE SUBJECTED TO CYCLIC SHEAR STRESSES

22

STRESSES IN AN ELEMENT IN SITU WHICH IS CONSOLIDATED UNDER

UNSYMMETRICAL STRESSES CAUSED BY OVERLYING LOAD AND WITH
CYCLIC SHEAR FORCES SUPERPOSED

23

STRESSES IN ISOTROPICALLY CONSOLIDATED SPECIMEN SUBJECTED TO

CYCLIC TRIAXIAL TEST

24

CYCLIC STRESSES ON THE SURFACES OF A SPECIMEN SUBJECTED TO

RECIPROCATING SHEAR TEST AND RESULTING REDISTRIBUTION

t.

INTRODUCTION

I express my sincere gratitude to the Organizing Committee of the

5th Panamerican Conference for honoring me by their invitation to
present this keynote lecture. It is indeed a great privilege to
address my colleagues from the American countries stretching from
Canada to Argentina, our host country, and also colleagues from other
continents.
Soon it will be 50 years since the day when I started assisting
Karl Terzaghi. The principal task which he assigned to me from the
first day was the improvement and development of soil testing apparatus
and techniques of testing. Already then, and many times since, I have
observed that the introduction of soil mechanics theories into design
practice was handicapped by the limitations of subsurface exploration,
sampling and testing. The need of practicing engineers for pecifica
tions, their desire to use standards and similar demands by govern
mental regulatory agencies, were often responsible for premature
adoption of informal or formal standards that lingered on in engineer
ing practice for a long time after they were proven to be unsatis
factory. I have also learned during these decades that whenever I found
myself in disagreement with a highly experienced and respected col
league, it was for one or more of the following reasons:
(1) we looked
at different aspects of the same problem; ( 2 ) we generalized too much
on the basis of different sets of empirical data; and (3) we used the
same terminology for different phenomena. I could describe instructive
examples of such differences that had arisen also between Terzaghi and
myself; examples that would demonstrate how well such differences have
served to set the stage for further necessary investigations and
developments. An example from recent years I will describe in this
lecture, namely the differences between my views on liquefaction and
those by Professor H. B. Seed and his collaborators which they devel
oped in connection with certain aspects of their pioneer work on the
design of foundations and dams for earthquakes. I hope that a frank
discussion of these differing views will help to clarify the issues
and to promote development of reliable methods for determining the in
situ response of sand strata to seismic loading.
The purpose of my talk is a critical review of two basically
different phenomena which in literature are both referred to as
"liquefaction". To distinguish between them, one related to the
behavior of loose sands and the other to the response of dense sands
under cyclic loading in triaxial tests, I found it necessary to in
troduce in this paper differentiating adjectives, as discussed under
the next heading.

11.

DEFINITIONS OF "ACTUAL LIQUEFACTION" AND "CYCLIC LIQUEFACTION" AS

USED IN THIS PAPER

Until 19 66, the term liquefaction was used in literature for the
reaponse of saturated loose sand to strains or sbocksthat resulted in
flow slides. With the development of the cyclic triaxial tests in
connection with research on the response of sand under earthquake

loading, the same term began to be used for a specific response of

sand in cyclic triaxial tests (Ref. lOa). In an effort to prevent con
fusion by the use of the same term for entirely different phenomena,
an informal committee of several colleagues and myself tried in 1969
to find another term for the cyclic response phenomena in laboratory
tests. Finally we agreed on the term "cyclic mobility". However, by
then the term liquefaction was already so well entrenched in literature
for use with the cyclic triaxial tests that it proved impractical to
adhere to this agreement; and the confusion continued. While I would
much prefer not to use the term "liquefaction" for a phenomenon that
truly is not liquefaction, I decided reluctantly to use it for both
phenomena in this paper, but to differentiate between them with
appropriate adjectives as follows:
1. ACTUAL LIQUEFACTION - what was simply called "liquefaction"
before the development of cyclic laboratory tests. It is the response
of loose, saturated sand when subjected to strains or shocks that
results in substantial loss of strength and in extreme cases leads to
flow slides.
2. CYCLIC LIQUEFACTION - the response of a test specimen of .
dilative sand to cyclic loading in a triaxial test when the peak pore
pressure rises momentarily in each cycle to the confining pressure.
A strong minority on that 1969 committee supported the term
"strain softening". Superficially, the progressive softening, which
develops in cyclic tests on dense sand, may resemble strain softening.
True strain softening, however, is produced by stress cycles with
essentially uniform distribution of stresses within the material. But
the softening of a saturated sand specimen during cyclic loading is
caused by redistribution of the water content, with substantial
loosening and softening of certain zones in the specimen while other
zones are being compacted.

III. EARLY LABORATORY INVESTIGATIONS OF ACTUAL LIQUEFACTION AND

HYPOTHESIS OF CRITICAL VOID RATIO (1935-l938)
In part by observing the volume changes of dense and loose sand
in direct shear tests and in part by intuition, I developed in 1935 the
hypothesis that when loose sand is sheared it decreases in volume, it
contracts, and eventually approaches a steady state volume (or void
ratio; or density) ; and that the same sand in dense state increases in
volume, it dilates, until it also reaches the same steady state
condition as the loose sand. This state I called the "critical
denatty", or "critical void ratio". In my first lecture on this sub
ject, in November 1935, (Ref. 1) , I was still under the impression that
the critical density is independent of the normal stress. But a few
.onths later, when performing tests using a greater range of normal
stresses, I concluded that the critical density is a function of the
normal stress. Because direct shear tests did not permit sufficiently
accurate observation of the volume changes, I designed in 1936 for the
Corps of Engineers a triaxial apparatus for investigation of the
critical void ratio of fine sands for the Franklin Fall. Dam; (Refs. 2,

3, 4).

Explanation of the concept of critical void ratio is facilitated by

referring to the relationships as derived from direct shear tests,
Fig. 1, but plotting the normal stress on a log scale, as will be used
in subsequent figures. In Fig. l (b) the vertical scale is the void
ratio, or relative density, and the horizontal scale the displacements.
Curve L' shows the contractive response of loose sand; curve D' the
dilative response of dense sand; and the horizontal line M' represents
the critical void ratio or critical density which both samples would
reach if shearing could be continued far enough, or if the shear test
were started at that void ratio. In Fig. lea) are plotted on the
vertical scale the applied shear stress and horizontally again the
shear displacements. Curve L shows a steady increase of displacement
of loose sand with increasing shear stress until eventually an ultimate
shear strength is reached. But for the dense sand curve D develops
first a peak strength and then, with further shearing and further
volume increase, the resistance drops and the same ultimate shear strength
is reached as for the loose sand. Curve M represents a test started
at the critical void ratio so that in this test specimen theoretically
no volume change should develop, as indicated by line M' in Fig. l (b) .
In Fig. l (c) are plotted the void ratio (or density) on the
vertical scale, and horizontally on a log scale the applied normal
stress an. For reference, curves Lc, M c and Dc represent consolida
tion curves as obtained in one-dimensional consolidation tests. The
direct shear tests plotted in Figs. lea) and (b) are assumed to be
performed under a confining pressure of one kg/sq cm. Therefore,
points x, y and z on the consolidation curves in Fig. l (c) are the'
starting points of the direct shear tests. By projecting these points
horizontally onto the vertical scale of diagram (b) , we find the
starting points x', y' and z' of the void ratio vs displacement curves.
Thus, points z and z' represent the critical void ratio for this sand
when consolidated under a normal stress of one kg/sq em.
If we repeat the tests .at higher normal stresses, the starting
void ratios, including the critical void ratio, would all be lower.
By making several series of such tests under different normal pressures,
we find the critical void ratio line E, the heavy line in diagram (c)
which is substantially steeper than the void ratio-pressure curve M c
in that range of void ratios.
To obtain the critical void ratio line, ideally the tests should
have been performed on sturated specimens without allowing change of
volume, and with pore pressure measurements; but such testing equipment
had not yet been developed 40 years ago. Therefore, the question
"what happens when saturated sand is subjected to shearing at constant
volume" was answered indirectly, as follows: Suppose the sand is
consolidated to the void ratio and normal pressure represented by point
p, Fig. l(c). If the specimen would be sheared with volume change
allowed, the void ratio would decrease vertically downward, at constant
effactive stress, until the critical void ratio line E is reached at
point r. However, if no volume change were permitted, the sand would
still try to reduce its volume; but because this is not possible, it
responds by transferring stress from the grain structure to tha pore
vater; 1. e. , we move horizontally at constant volume until we reach the

critical void rat io l ine at po int q. The init ial effective stress of
about 4 kg/sq em at po int p would thus be reduced to almost one
tenth of the init ially appl ied stress; and the pore water would carry
almost the entire appl ied stress. Such large reduction in effective
stress and correspond ing shear strength causes actual liquefact ion;
i.e., the sand changes from a sol id mater ial into a mass which flows
like a viscous flu id when subjected to small shear stresses.
But
beneath a level ground surface, not loaded by structures, a l iquef ied
mass cannot flow. The only symptoms of the liquef ied state would be
sand boils at the surface produced by upward drainage of excess water.
However, a structure underlain by l iquef ied sand would be in serious
trouble. From Fig. l(c) we can also conclude that saturated sand
below the critical vo id ratio line would be safe aga inst actual
liquefact ion; that if such sand is exposed to shear forces, it would
develop negat ive pore pressures, i.e., the effect ive intergranular
stresses would be increased and the sand would brace itself, so to
speak, against failure by increas ing its strength above that which
existed before the shear stresses were applied.
But cav itation would
limit this increase in strength to one atmosphere negat ive pore
pressure.
Tbe hypothes is of cr itical vo id rat io and the early test results
led to the following conclus ions:
All combinat ions of void ratio and effect ive normal stress
(1)
which are located below, or to the left, of the cr it ical l ine "E",
F ig. l(c), represent states wh ich the sand would develop d ilat ive
response and are safe aga inst [actual) l iquefact ion.

( 2)
All po ints to the right or above the cr it ical line "E"
would represent combinat ions that would result in contract ive response.
In order to produce a flow sl ide, and not merely a slump of l im ited
dimensions, the start ing point would have to be substant ially to the
right of the cr itical vo id rat io l ine so that in the l iquef ied state
the effect ive stresses would drop to a small fract ion of those that
existed at the start of shear.

( 3)
Tbe greater the effect ive conf ining pressure, e.g., the
greater the depth of a sand stratum, the lower is the crit ical vo id
ratio; or, in other words, the denser must be the sand to be safe
against [actual] l iquefact ion. But when heav ily loaded, even a medium
dense sand may be suscept ible to [actual] liquefact ion.
Essentially these were my views when I presented the second
lecture on liquefaction in June 1938; (Ref. 3). Three months later, in
September 1938, a major l iquefaction failure developed in the Ft. Peck
d .. in Montana which was then nearing its complet ion.

IV.

INVESTIGATIONS OF PARTIAL FAILURE OF FORT PECK DAM

OF FLOW STRUCTURE

HYPOTHESIS

In Fig. 2 is plotted a typical cross section through the slide,

with true scale in the lower section and with the vertical scale five
times enlarged in the upper section. It can be seen that the mass that
moved was almost level after the slide. The major movement occurred in
about 3 minutes. Some portions of the upstream toe moved to a maximum
distance of about 400 meters with the speed of a rapidly moving river.
About 8 million cubic meters of sands in the dam and in the foundation
participated in this slide.
The Corps of Engineers carried out a major investigation (Ref. 5,
6 , 7) which included the taking of large diameter undisturbed samples
of the sands by freezing columns of sand in situ and then coring them
with Calyx drills. From the results of many triaxial tests, using my
hypothesis and testing procedure, it was concluded that these sands
could not have liquefied.
Probably influenced by these test results,
a majority of the consulting board, which was appointed to investigate
the slide, concluded that the failure was not caused by liquefaction;
(Ref. 5) . A minority, including myself, concluded from the speed of
the movement and the topography of the slide masses after the movement,
that sand at considerable depth must have liquefied. I also was
forced to the conclusion that sand located below the critical void
ratio line "E", as defined in Fig. 1, can also liquefy; in other words
that the type of test, which I used for determining the critical void
ratio (Ref. 2) , did not define correctly the boundary between sands
that are safe and unsafe against actual liquefaction.
In the years following the Ft. Peck dam slide I developed
gradually the hypothesis that when sand is liquefied and is actually
flowing, it must have a structure different from that when the sand is
static; that during flow each grain is constantly rotating in relation
to all surrounding grains so as to offer a minimum of frictional
resistance. I termed this the "flow structure". I postulated that
such a structure (1) spreads by a chain reaction,
(2) exists only
during flow, and (3) that in the moment flow stops, the grains re
arrange themselves and revert into a static structure which, after the
excess water has drained, will be slightly denser than the static
structure before liquefaction occurred. Thus, a mass of sand that has
liquefied, would end up with increased safety against actual lique
faction. In a typical alluvial sand with little or no silt, the static
structure before and after liquefaction and also the flow structure are
all of the Single-grained type. A sand fill constructed by dumping
sand in moist state can have a honeycomb structure because the
capillary forces between the moist grains resist the sand from
settling into a single-grained structure. When such "bulked" sand
becomes saturated, it is particularly prone to liquefy; but afterwards
tbe mass ends up with a single-grained static structure. When the
structure of a sensitive clay collapses in a chain reaction, lique
faction and a flow slide will reeult. The original structure of the
clay, however, is irreversibly destroyed. Experience has shown that
after reconsolidation such a mass is no longer sensitive to lique
faction.

The following observation will assist in visualizing the

character of the flow structure of sand. When observing hydraulic fill
placement of gravel, I once observed a boulder that discharged from the
hy draulic pipe line and appeared to be larger than the diameter of that
pipe. Obviously there was one position in which it could travel through
the pipe provided that the mass was flowing fast enough to maintain the
boulder in a position without touching the wall of the pipe and adj acent pebbles.
I tried several times to achieve in the laboratory a flow
structure, but failed. I began to suspect that the flow structure can
develop and exist only within a large mass. Then, about 11 years ago,
a graduate student from Chile, Gonzalo Castro, asked me to suggest a
doctoral research topic. I decided to make one more attempt and I
described to him this problem, with the warning that previous attempts
had failed.
I mentioned that one reason may be that during flow in
nature the driving forces are maintained essentially constant, i.e.,
that nature is applying dead load driving forces, not strain control
as I had tried.
Load control ensures that when a flow structure is
beginning to develop, the driving force does not relax as in strain
control. By keeping the driving stress constant, the mass accelerates
faster and faster and more and more of the sand grains will rearrange
themselves into a flow structure. Castro was willing to undertake
this difficult task.
Now I will explain his principal findings which
are contained in his dissertation; (Ref. 8), and as supplemented later
by additional tests.

V.

ACIUAL LIQUEFACIION PRODUCED IN TRIAXIAL TESTS WITH MONOTONIC

LOAD CONTROL

Castro performed a major portion of his investigation on "Banding

Sand", a uniform, clean quartz sand with sub rounded to subangular
grains, a coefficient of uniformity of 1. 8, and with about 10% by
weight smaller than 0.1 mm .
I n Fig. 3 are plotted the stress-strain curves of three typical
R (consolidated-undrained) triaxial tests in which the axial load was
increased with dead-load increments.
In addition, is shown for
comparison the stress-strain curve of an S test (drained test).
In
all four tests the specimen was first isotropically consolidated under
Then the axial load was in
a hydrostatic pressure of 4 kg/sq em.
creas ed with small dead-load increments applied at about one-minute
intervals on a hanger.
In test "A", the specimen had s relative density sfter consoli
dation of Drc - 30%. After 15 minutes of incremental axial loading,
the stress-strain curve (upper diagram in Fig. 3) reached a peak, at a
dey1ator stress of about 2 kg/sq em and a strain of one percent. Then,
under the next small load increment the specimen suddenly liquefied
and in a small fraction of a second strained to about 25% when the
test was stopped automatically. At about 5% strain the effective
deviator stress had dropped to a d - 0.3 kg/sq cm and then it re..ined constant at this value during further flow. In the lower

diagram, curve "A" shows how the pore pressure rose and reached during
the state of flow the constant value of 3. 85 kg/sq em with the
corresponding effective minor principal stress 03 f 0. 15 kg/sq cm.
From the relationship sin - 0df/ (203f + 0df) - 0 . 5, the angle of
,
internal friction of this loose sand specimen can be computed to be 30
degrees. This agrees with the results of the S test carried out at
the same relative density and which is shown by the dashed stress
strain curve in the upper diagram and by the corresponding stress
circles in Fig. 4 for both tests. However. it may be a coincidence
that the stresses during the state of flow reflected the same friction
I am inclined to believe that
angle of 30 degrees as in the S test.
at equal relative density the effective friction angle in the flow
structure is smaller than in the static structure. This is also
supported by the observation that in Fig. 4 the effective stress circle
at the peak, when liquefaction started. remains below the 30 degree
strength line.
The relative magnitude of the various strength circles in Fig. 4
is a good illustration for the enormous difference in strength which
the same specimen of saturated, very loose sand can display after it
has been consolidated under a hydrostatic pressure of 4 kg/sq cm.
In
an S test, i. e. , when pore pressures are not permitted to develop, the
major principal stress can be increased to 12 kg/sq'cm, i. e. , the
strength (deviator stress at failure) will be 8 kg/sq cm. If no
drainage is permitted during axial load increase, the specimen develops
a peak strength of only 2 kg/sq cm, with induced pore pressures of
2. 5 kg/sq cm. But this peak strength represents the threshold of the
change to a flow structure which is particularly prone to develop when
the applied load will not relax with continued strain; in other words
when a dead load is resting on the specimen. Fig. 4, and also curve
"A" in the upper diagram in Fig. 3, show that the change to the flow
structure reduces the peak strength of 2 kg/sq cm to a strength during
In the liquefied state, the sand in this test
flow of 0. 3 kg/sq cm.
had an apparent friction angle of only about two degrees. Therefore,
during a flow slide a mass of,such sand would spread out until its
surface would slope only a few degrees.
In Fig. 3, test specimen "B" has a relative density of 44% at the
start of axial loading. The upper diagram shows that it developed a
peak strength somewhat greater than the loose specimen "A"; then it
liquefied and strained to 18% in 0. 4 second; and then all movement
stopped. To effect additional straining, the deviator stress had to
be increased again with dead10ad increments.
In this test, during flow
the strength had decreased only little as compared to the peak strength;
nevertheless, this specimen actually liquefied. The induced pore
pressures in this test are shown in the lower diagram which together
with the effective deviator stress (strength) during flow in the upper
diagram, reflects first acceleration and then deceleration, with the
specimen "freezing" at 18% strain. From the short steady state segment
of flow movement one can compute the ratio 0df/ (Odf + 203f ) - 0. 53 sin from which - 32 degrees. This specimen was substantially
denser than specimen "A" and a greater effective friction angle during
flow is reasonable.
In this test the effective minor principal stress

decreased to about one-fourth of the stress under which the specimen

was consolidated isotropically.

This large decrease is not immediately

evident from the fact that during the state of flow the peak strength
. is almost maintained. Should one describe the response of specimen
"B" 88 "limited" actual liquefaction?
The third test, "C". in Fig. 3 was carried out at 41% relative
density after consolidation, i.e., slightly denser than in test "B".
The stress-strain curve appeared to develop into a peak at a slightly
greater deviator stress than test ItB", with a suggestion of impending
actual liquefaction.
However, then the stress-strain curve reversed
its curvature and the strength increased rapidly as a result of a
s trong dilative response, as can be seen by the induced pore pressures
in the lower diagram.
The pore pressure dropped to zero at a strain of
14%.
If this test had been continued, negative pore pressures would
have developed.
If the S test in the upper diagram had been performed
at the same relative density, the intersection of curves "c" and "D"
should have occurred at about 14% strain, when the pore pressure
dropped to zero.
But the S test was made on a looser specimen.
For a
denser specimen curve "D" would be higher and the intersection would
agree better with the 14% strain corresponding to zero pore pressure.
In Fig. 5 (- Fig. 1 in Ref. 9) are compared three tests on loose
specimens with relative densities of about 30% after consolidation
under a hydrostatic pressure of 4 kg/sq cm.
Test "A" is the same test
as "A" in Figs. 3 and 4.
The loading procedures in the other two tests
were different, as described below.
Specimen "ANI! was first anisotropically consolidated with a minor
principal stress of 4 kg/sq em (the same as for the other two tests)
and a major prinCipal stress of 8 kg/sq em, thus with a principal
stress ratio of 2.0. Only two small dead-load increments were applied
on this specimen and then it liquefied at about 0.5 strain.
This
teet demonstrates that loose sand. which is susceptible to actual
liquefaction, will more easily liquefy adjacent to a steep slope than
beneath a horizontal surface.
Specimen "eyt' was initially consolidated isotropically to 4 kg/sq
ca and then subjected to cyclic loading with a deviator stress of

about 1 kg/sq em.

The first four cycles developed almost elastic

deformations, with the hysteresis loops practically coinciding, as

shown by the single loop in Fig. 5, and with strains of a small
fraction of one percent. However, during the 5th cycle the strains
increased, a rounded peak developed at about one percent strain, and
then the sample actually liquefied.

It deserves spectal emphasis that during the state of flow the

.-anitude of the residual strength a
and of the residual effective
df
aiDer principal stress
were not only constant during flow, but
they vere almost identica in all three tests. After a flow structure
v.. fully developed, the sand had lost all memory of its past stre.s
strain history. Therefore, it is reasonable to asSUlll8 that the flow
structure vas identical in theae three teata.

ali

In Fig. 6 are plotted (1) the starting conditions and (2) the
conditions during flow of all tests performed by Castro in which actual
liquefaction developed. (Ref. 8 and tests performed subsequently.)
The vertical scales are void ratio and relative density; and the
logarithmic horizontal scale is the effective minor, principal stress.
The arrows pointing to the left indicate the starting conditions; and
the plotted point to the left of each arrow is the effective minor
principal stress during the state of flow. The large, heavy circles
are tests on isotropica11y consolidated specimens which developed
actual liquefaction with large drop in strength. The small circles
are tests on isotropica11y consolidated specimens during which there
was only a relatively small drop in strength during flow; the triangles
are tests on anisotropica1ly consolidated specimens; and the squares
represent tests with cyclic loading. The horizontal distance from the
starting arrow to the effective stress in the liquefied state is the
reduction in the effective stress that developed by actual liquefaction.
For example, in this plot the three tests with the loosest specimens
had a relative density slightly greater than 20% .
One test was
consolidated under 4 kg/sq em and during flow its effective minor
principal stress dropped to 0.02 kg/sq em, a reduction by a factor of
200.
Two other tests at the same void ratio were consolidated under
0.3 kg/sq em and during actual liquefaction they also developed about
0.02 kg/sq em effective minor principal stress, a reduction by a
factor of only 15. Fig. 6 shows that no matter to what minor
principal stress a specimen was consolidated initially and no matter
whether it was consolidated isotropica11y or anisotropica11y, or
whether it was cyclically loaded, the conditions during failure all"
ended up along a fairly accurately defined line which I now call the
F line; the letter F standing for critical void ratio in which lique
faction with a flow s tructure developed.
Then I asked Castro to perform tests with s train control loading
and the results are plotted in Fig. 7, with the arrows on the right
again indicating the starting conditions. The circular points, which
represent the conditions during flow, lie close to a line which is
displaced from the P line (Fig. 6) by a factor of about 2.5 in terms
of the effective minor principal stress. I will refer to this line as
the E sc line. The reason for the large difference in the strength
during flow when using load control and strain control loading is the
rate of strain. The constant driving force of a dead load produced
in these tests a rate of strain about 20,000 times faster than that
in the tests with strain control loading. The relatively slow
straining in the latter tests causes locally groups of sand grains to
lose temporarily their flow structure. I suspect that one could
achieve a wide range of Esc lines with widely differing rates of
strain control.
Then I asked Castro to perform triaxial S (drained) tests stmi1ar
to' those I used 40 years ago, and which were used to investigate the
liquefaction potential of the sands in connection with the investi
gations after the slide in Ft. Peck Dam. With a few exceptions, the
results fell considerably above the E
line,i.e. even further away
8
fro. the F line, and as far as the E6 1ine in Fig. 8; and they

10

acattered widely.
In retrospect, it is now clear why the investi
gations of the sensitivity of the sands in and below the Ft. Peck Dam
yielded strengths about 10-times greater than triaxial R (undrained)
teats using dead loads. The reason is simply that a flow structue
cannot develop in S tests.

VI.

COMMENTS ON P OTENTIAL FOR ACTUAL LIQUEFACTION

Referring to Fig. 8, where theEscand F lines are reproduced from

Figa. 6 and 7, it seems reasonable to express the liquefaction
potential, Lp, by a ratio relating the initial effective minor
principal stress a 3 i to the effective minor principal stress a3f on
the F line.
In ord er to make this ratio equal to zero along the F
E. g. , for the initial
line, I use the expression Lp - (03i - 03 f )/03f '
conditions at point Mi, the conditions during actual liquefaction are
found by drawing a horizontal line to its intersection Mf on the F line,
corresponding to a liquefaction potential Lp - 4.0/0.15 - 1 - 26.
For any starting combinations on the F line, the liquefaction potential
would be zero; and below the F line it would be negative, i. e. , when
the sand is strained below the F line without allowing volume change,
negative pore pressures and additional strength would be mobilized.
In the area below the F line, which I designate the "dilative zone",
or the "D" zone, the sand for which this. particular F line was deter
mined cannot actually liquefy. Above the upper line with the short
dashes, the Eu line, this sand will always develop a distinctly con
tractive response when strained; and in that zone liquefaction is
likely 88 a result of any rapid straining or shocks. Between the E u
and the F line either dilative or contractive response is possible
depending on the rate of strains, and also depending on how close to
the F line the starting point is located. Much remains to be learned
about the response of sand and the characteristics of the flow
structu within that zone. E. g., in strain control tests it is
possible that flow structure will appear and disappear in small
pockets or lenses; that as soon as it develops in one pocket, the
stresses in that zone will drop by redistribution and the structure in
that pocket may revert to a normal structure while in another pocket
it may change into a flow structure. The overall resistance of a
sample during strain control would then be an average resistance of a
constantly changing pattern of distribution of flow structure within
the aand.
When the strength during actual liquefaction drops only slightly
below the peak strength, as e. g. , in test "B" in Fig. 3. the lique
faction potential ranges between about 2 and 3, i. e. , the starting
points would be located in Fig. 8 approximately alog the Esc line.
In apite of the drop in pore pressure by a factor of 3 to 4, the
strength drops only little.
The P line is of prime interest for engineering applications. On
the basis of my present knowledge and judgment, I consider the entire
area above the F line to be a hazard with respect to actual liquefaction
in foundations of dame and important structures in highly seismic

11

zones . Below the F line actual lique faction is not possib le , although
small s trains may develop .
From the F line in Fig . 8 we c an quickly es tima te the s trength of
this particular s and in liquefied s tate . Assuming a f ric tion angle of
30 degrees and a relative density of 30%, during flow the e f fect ive
minor p rincipal s tress would be ab out 0 . 1 kg/sq em and the deviator
s trength ab out 0.2 kg/sq em . However, at a relative density of 50%,
the minor ef fect ive princip al s t ress during flow would be ab out
3 k g/sq em and this would require a deviator s trength of ab out 6 kg/sq
em , corresponding to an e f fective major p rincipal s tress of ab out
9 kg/sq cm . There fore , in liquefied s t ate there is an enormous
difference in the s trength of the s ame s and at relative densi ties o f
30% and 50%.
F o r all practical p urp oses , this s and wi th a relative
density of 50% could not develop actual lique faction .
N ow l e t me ask this question: Is it conceivable that a mass o f
sand located well below the F line , s ay at point Ao in Fig . 8, whe re
it is s afe agains t actual liquefaction, could expand o r dilate by
natural causes to point A 1 well above the F line whe re it would then
b e suscep tible to actual lique faction? Let me des cribe a n atural
phenomenon which in the European Alps is known by the name HUREN.
Occasi onally large masses of rather dense granular talus will l iquefy
and flow down a valley causing great des t ruc tion .
It is well documented
in li terature that j us t p rior to such an avalanche the mountain b rook,
which emerges from the toe of the talus deposi t , stops flowing . The
native popul at ion in mount ain valleys have known and heeded such
w arning signals for cen turies . I consider i t pos s ib le that a combina
t ion o f heavy r ainfall or snow mel t, perhaps combined with a thick z one
of s till fro zen and relatively impervious t alus adjacent to the s lope ,
will raise the groundwater level in the talus mass and create l arge
shear s t resses which cause s t rong dilation, i.e . , a substantial increase
in volume whi ch s oaks up large volumes of wate r . Such changes coul d
conc eivably change the pos i t ion of large masses adj acent to the talus
s lope from b elow the F line to well above the F line . Perhaps the
feasib i l i ty o f s uch a mechanism could be inves tigated at relatively
small expense by means of lab oratory tes ts .
Liquefac t ion s l ides some t imes create the imp ress ion o f a s uc cess ion
of shear s lides . Assume a river b ank in loose s and , Fig . 9, and that
an e lement "A" s ome dis tance from the slope is subjec t to a s afe
princ ipal s t ress ratio; but that an element "B" near the s lope is
subjec t to a much greater principal s t ress ratio which renders it mo re
vulne rab le to lique f action . This, combined wi th progress ive s teepening
of the slope by erosion, can c ause a limited zone to liquefy as
illus trated in Fig . 9 ( a) . As the hatched wedge of s and flows out, the
principal s t ress ratio will increase quick ly in an adjacent zone in
which, in addi tion , als o the seepage forces will be greater as we move
furthe r b ack into the river b ank; Fig . 9 (b) . In this manne r lique - .
fac tion c an progress b ackward and a large volume of s and may f low into
the river, leaving behind a s lope surface with a very flat angle that
ref lects the low st rength of the l iquefied s and . However , t o a shallow
depth below the ground s ur face and next to the f ace of the s lope. i.e . ,

12

the zones not shaded in Fig . 9(c) , the s and is so light ly loaded that
it may lie below the cri t ical F line where it cannot lique fy . On the
ground s ur face an ob server may see only a progression of shear cr ack s ,
conveying the impression that the ent ire movement cons ists of a
success i on of or dinary shear s lides , whereas in fac t the major p or tion
of the m ass is moving like a viscous mass wi thout shear s ur face s . Such
f low s lides usually s tar t along a shor t s tretch of the b ank . As lique
fact ion pro gresses landward , the are a widens such that in p lan the
f inal are a appears like a flask wi th a narrow zone through which the
lique fied sand has flowed out .

VII . CY CLIC TRIAXIAL TESTS BY PROFES SORS SEED AND LEE

When finally , af ter so many years , I believed that with Cas tro's
help I h ad solved the pr ob lem of lique f action of s and in a s atis
f ac tory manner, Professors Seed and Lee published their well-known
p aper entit led LIQUEFACTION OF SATURATED SANDS DURING CYCLIC LOADING ; ,
(Re f . lOa). Pr ofess or Seed and his discip les had then already c arried
out important pioneer work on the response of ear th mas ses and
struc tures to ear thquakes . To app ly their theories, they needed s oil
p arame ters that express the response of s and to ear thquake loadin g .
I t was logical t o experiment wi th cyclic tri axial tes ts . Thereby they
discovered that when a tr iaxial spec imen of s aturated sand is subjec ted
to cyclic loading in an undr ained tes t in such a manner that the
principal s tresses p ass in each cycle through a hydros tatic s tate o f
stress (which means that all shear s tres s es dis appear ) , even a dense
and h i ghly dilative s and will develop cyclically high pore pressur es
and deformations .
A typical tes t result from the paper by Seed and Lee is reproduced
in Fig. 10 . The s and specimen was p l aced at a relative dens ity of 78% .
In the upper diagram are p lo t ted ver tically the axial s tr ains and
horizont ally the number of cycles on a log scale . The hori zon t al line
in the middle represents zero s tr ain . The horizontal lines ab ove the
zero line are for 5 , 10 and 15% compress ive s tr ains; and below the zero
line for 5 , 10 and 15% extens ion . In the lower diagram are p lot ted
vertically the induced pore pressures and hori zontally again the number
of cyc les on a log scale . The initi al hydros tatic confining pressure
vas one kg/sq cm.
The axi al deviator stress was plus/minus 0 . 7 kg/sq
CB; i.e the ver tical principal s tress was cycled between 1 . 7 and
0.3 kg/sq em, while the lateral s tress remaine d c ons tan t at 1 . 0 k g/sq
em .
During the firs t 10 cycles the axi al s trains remained negligib le ,
Dut the pore press ures increased and decreased with e ach cycle ,
reaching higher and hi gher values un t i l af ter about 12 cyc les the pore
pressure reached the confining press ure of one kg/sq cm in the moment
when all princ ipa l s tresses were equal and all shear s tresses in the
.pecimen became zer o . When the pore pressure equalled the confining
pressure for the firs t time. Seed and Lee de fined this as " initial
lique fact ion. II W ith additional cycles the axial s tr ains kept increas in g
.. 8een i n the upper diagram. railure was defined i n terms o f the
number of cycles when the str ain ampli tude in one complete cycle
r.ached a cer tain magni tude. As c an be seen in Fig . 10. the pore

13

pressure dropped substantially and the specimen displayed a strong

dilative response whenever the principal stress ratio rose to a
maximum. But in spite of an essentially steady pattern of cyclic
pore pressure increase and decrease, the cyclic peak strains of the
specimen kept increasing. For example, at 20 cycles the total strain
amplitude was 10%, about equally divided between compression and
extension.
Prom such tests, Seed and Lee drew the following conclusions:
Initial liquefaction can be produced by cyclic loading also
"1.
in medium dense and dense sands and is not limited to loose sands.
"2.
The liquefaction potential decreases with increasing con
fining pressure.

The liquefaction potential decreases with increasing initial

"3.
principal stress ratio and, therefore, sand adjacent to a slope is
less susceptible to liquefaction than beneath a horizontal surface. II
At that time I did not realize that the term "liquefaction" in
their paper had an entirely different meaning than the phenomena that
I had always associated with that term. Therefore, these three con
clusions appeared to contradict all my past experience and also the
results of Castro's investigations.
Since I could not find any clues
in their papers for these startling conclusions, I had no choice but
to carry out such cyclic tests and observe carefully everything that
was happening in these tests. I designed a simple arrangement that
could be attached to Castro's triaxial apparatus, to apply cyclic
loads of sinusoidal shape. Already the first few cyclic tests which
Castro performed showed that the top of a specimen was getting soft
and that obviously a radical redistribution of the water content
developed within the specimen; that gradually the top of the s pecimen
deformed by alternate necking and bulging, and that sometimes even a
thin layer of water appeared on the top of the specimen in the moment
when all shear stresses became zero and the pore pressures equalled
the confining pressure. We measured this redistribution of the water
content by freezing test specimens. This required that the specimen
be reconsolidated under the confining pressure by opening the valves.
Thereby a certain amount of water from the soft top portion was
drained off and then the sample could be removed and frozen. An
example of the measured redistribution of the water content, expressed
in terms of relative density, is presented in Fig. 11 (from Ref. 8).
During the test, the average relative density of the specimen was 72%;
but when reconsolidated at the end of the test it increased to an
average of 78%. The difference was due to water drained from the 80ft
top portion of the specimen and, therefore, the actual relative
density of the top must have been considerably smaller than 50%. The
measured relative density in the lower portion had increased to 80 to
90%. This reflects the substantial increase in density of the lower
half of the specimen. This radIcal redistribution of water content
and of corresponding relative density is the combined result of three
.ffecta:
(1) the boundary effects which cause redistribution a180 in

14

monotonica lly loaded specim ens , as was measured alrea dy many years ago
at the Wa terways Exper iment S t a t ion; (Ref . 11) .
(2) the high p ore
pressure and s o f tening which develop in the moment the specimen is
cycled through the s t ate of hydros tatic s tress; and (3) a kind of
pumping ac t i on which seems to draw wa ter to the top that is freed in
the moments when cycling through the hydros tatic s ta te of s tress . The
impor tant que s tion whether such redis tribution in tes t specimens is
represen ta tive for wha t happens in an e lement in s i tu will be dis
cussed later.
A det a i led inves tigation of the redis trib uti on of the wa ter
content in cyclic tr iaxial tes ts, in which redis tribut ion is produced
by superpos i t i on of several different mechanisms , would be a difficult
undertakin g . Therefore , I decided to tack le firs t the redis tribution
produced by one mechanism only , namely th at produced by non-uni form
s tress dis tr ibution on the spec imen b oundar ies . For this purpose I
.
concen tr a ted on the des i gn o f a gyr atory appara tus in which we could
perform gyr a t ory as well as cyclic direct shear tes ts . The desi gn I
had in m ind would permi t freezing the specimen a t the end of the- tes t
in the apparatus.
(Note: At tha t time I c ould not think of a
re la tively s imp le design for freezing the tes t spec imen inside a
triaxial cell . In the meanwhile I h ave developed a design which ful
f i l ls this requirement . I have submi t ted i t to the Waterways Experi
ment S ta t ion , Vicksbur g , Miss. , in the hope tha t it will s timula te a
det a i led inves tigation of the redis trib ution in cyclic triaxial tes ts . )

VIII.

INVE STIGATIONS WITH GYRATORY SHEAR APPARATUS

Inves tiga tion o f redis tr ibution in reciprocating shear and

gyr atory shear tes ts would have the following advantages:
( 1) It would
permit inves tigating the b oundary effec ts more clearly than in cyclic
triaxi a l tes ts in which it would be difficul t to s or t out the inf luence
of ( a) b oundary e f fec ts , (b) of the pumping action and (c) of cyc ling
(2) it would be eas ier to
through the hydros ta tic s ta te of s tress;
freeze the tes t spec imen in the app ar a tus and without the need of re
cons o lidation; and (3) the redis tribution c ould probab ly be inves ti
gated with greater accuracy .
Originally I intended t o confine the spec imens in wire-reinforced
rubber membranes of the type developed by the Norwegian Geotechnica l
Ins t i tute . But I s oon realized tha t i t would b e necess ary t o des troy
one membrane f or each tes t , when c ut t ing the frozen speCimen , and that
such cu t ting would be difficul t . Then it occ urred to me tha t we could
suppor t the rubber membrane by a type of flat coil spring which is
used 88 a toy by the name of "slink.y" . This proved an exc ellent
solut i on . We covered the sur f aces of the f l a t coils wi th teflon to
reduce fric tion; bu t principally we relied on a s light separation of
the coils by tempor ari ly inser t in g "spreaders " before the s tart of
.hearing.
The first gyratory appara tus I des igned with the help of Cas tro.
But for a major research ef for t I needed another intelligent s lave .
(This is wha t I c alled my doctoral c andidates only half-jokingly . They

15

are in fact a modern kind o f s l avery b e c ause they s lave for seve ral
years for the che rishe d Ph . D . , a l though they may not have read a
s ingle b ook ab out philos ophy . ) Jus t in t ime I found a sui tab l e
candidate , Frank l in Rendon , a Mexican s tudent who was we l l endowed
with endurance , a q ua l i ty p ar t i cularly important for this p r o j e c t
becaus e o f the many ch anges i n des i gn and i n tes t ing techniques tha t
h ad t o b e deve loped by t r i al and erro r .
I t i s des i gned t o b e
I w i ll des c ribe th e apparatus only brie f ly .
used f o r cy cl i c dire c t shear tes ts and for gy ratory shear tes ts . The
me chan i cs of the gy ratory tes ts is i l lus t rated in the top of Fig . 1 2 .
A cons t ant hor i z ontal f orce is app l ied to the t op of the s p e cimen by a
pair o f ne gator s p rings moun ted on a r o t at ing arm. For b revi ty I
f ly
tes t" .
des ignated th i s type o f tes t the
In the lower diagram o f
Fig . 12 is shown the mech ani cs o f the cy clic d i re ct shear t e s t f o r
wh ich I int roduced t h e name "re cipro cating she ar tes t " , or b rief ly the
"X tes t" .
For b o th types of tes t the s ame sys tem is us ed for app ly ing
the hori z on t al force excep t tha t in the re cip rocating tes ts i t is
t rans fo rme d into a re ciprocating force of s inus oidal shape .
Fi g . 13 shows a s ch emat i c c ro s s sec tion o f the app aratus . To the
ro tating arm shown on the le f t is moun ted a pai r o f Ne gator s p rings
whi ch t r ansmi t a cons t ant horizon t al force to the top of the specimen ,
i . e . , the hor i z on t a l force remains cons t ant regardless o f the magni tude
of the hori zon t al dis p l acemen t . The b ushing and p is ton are mounted in
a s liding plate wh ich ( 1) for the gy ratory tes t , shown on the le f t
s i de , glides b e tween gy ratory b a l l bearings ; and ( 2 ) for the rec ip ro
cating shear tes ts , shown on the righ t s ide , is moving b ack and fo r th
b e tween 3 s e ts o f bearings :
s i de , t op and b o t t om guide be arings .
The s pec imen is enclos e d in a rubber memb rane wh ich in turn is
s upp orted by the " s l inky " s p rin g . When p lacing the s pecimen , the co i ls
o f the fla t s p ring are kep t s ep arated by coil spreade rs wh i ch are
remove d j us t b e f ore a t e s t is s t arted . This ensures that the s l inky
wi ll n o t c arry any ver t i cal l o ad dur ing the tes t .

I wi ll n o t des c rib e s u ch de t ai ls as the e le c trical disp lacemen t

and pore p res s ure trans duce rs , eq uipment for reco rding the output o f
thes e t rans duce rs , the type o f mo tor used f o r ro tating the arm , the
lines and equipment f o r s at urating the specimen p rior to the tes t and
the many importan t de t ai ls rel ated to the te chnique of f ree z ing the
(All thes e de tai ls are
s amp les , and c u t t ing them into 64 segments .
des crib ed in references 12 and 13 . )
Th e up per diagram i n Fig . 1 4 i s a p lan view o f the gyratory
s liding p l ate and of the two displacement t rans duce rs , one mounted on
the ro t a t ing arm in the direction of the hori z on t al fo r ce , and the
second one at 90 degrees to the arm. When us ing for calib ration
purposes a s i li cone rubb e r spec imen , the de f lec t i on was always s t ri c tly
in t he di re c t i on o f the rotating arm. Howe ver , for s and spec imens the
disp lace ment vec t o r lagged b eh ind the dire c t i on of the arm, as indi cated
by the la, ang le A . The in te rn al fri c t i on in the s and causes a k ind
of s t i ck-s lip mo tion and also s l i ght vib rations . Th e lower diagram in

16

14 is

Fi g .

l ateral

and

p l an v i ew o f th e r e c i p r 0 c a t i n g
ve r t i c a l g u i de b e ar L n g s .

I S s h uws

Fi g .

tes t s

i n s u ch

un c o l o re d an d

tes ts

typ i c a l

p a t : e rn s

tes t

Th e s e

c u l o r e d : anJ ,

t h l'

of

t ,) (!b s t' r v e

r e d i s t r ib u t i on

that

made ,) f a l t e rn a t i n g

w e re

s p e c imens

s l i d i ng p l at e wi t h

At

t. h e d e f o nn a t i cfb .

its

de ve l o p s
l ay e r s

of

the s t ar t

1% and a s un f o rT:1 as
f o r c e s we r e the s ame i n
f h p l e f t g ,lmp l e w as s ub j e c t e d t o 30 r e c i p r o c a t i n g c y c le s
b o th t e s t s .
and the r i g h t o n ,' t o 3 5 gy r a t o ry ey e l e s .
A f t e r f r e e z i a g , c dc h s amp l e
was c u t i n t o 6 4 e l e m e n t s , wh i ch h a d b e e n adop t e d as a s t an d a r d
p r o ce d u re f o r "!lo s t t e s t s i n th i s i l tve s t i g .J t i on .
In F i g . 1 5 o n l y the
r e s u l t s o f a c e n t e r s 1 1 ( ' e a re s h own :
( 1 ) a t t he t op , p h o t o g r a p h s ;
( 2 ) b e l ow , t h e r e l a t ive de n s i t i e s o f e a c h e le me n t c omp u t e d f r o m t h e
w a t e r c o n t e n t s ( a f t e r a d d i n g the amo un t e xp e l l e d b y f r e e z i n g ) ; an d
( 3) in t h e l owe r d i a g r ams a r e i n d i c a t e d t h e c omp a c t e d z o n e s as h a t ch e d
a r e as and t h e l oo s e n e d z one s as b l ank a r e as .
B o th s amp le s d e ve l o p e d
o f these

p rac t i c ab le .

the

The

c omp a c t e d z o n e s

re l a t i v e

dens i t y

a lJ p U e d ve r t i c a l

adj a c e n t

the max imum r e l a t i ve

to

shear

t h e c ap

an d

t he b as e .

i n the

t op

l ay e r w a s

den s i ty

I n t h e r i gh t s amp l e

laye r 6 7% .

w as

:lll d

I n t h e le f t s amp l e
53%.

i n t h e b o t t om

t h e maximum i n t h e t op w as

6 1 % and i n

5 5% .

Th e g r e a t e s t l o o s e n i n g o f t h e s an d d e ve l o p e d in t h e
p l an e , w i th t h e lowe s t v a l ue 2 0 % i n t h e l e f t s amp le and 8% in

the b o t t om

mi d d l e

the r i g h t

s amp le .

Howeve r ,

in

t h e r i gh t

s amp le one < e gmen t s h owe d m i n us

upp e r c o rne r of

l1li

(:.

I ,

the l e f t

3 3% w h e r e s ome f r ee w a t e r h a d

ac cumu l a t e d o n t o p o f t h e s p e c i men and wh i ch ,

a f t e r f re e z i n g , w as

i n c l u d e d as p a r t o f t h a t e l e me n t .
Z on e s w i th
s and ,

r e l a t ive dens i t i e s o f

we r e p r ob ab l y

mob i l i ty

of

is

out

ob v i ous l y

a l s o re f le c t e d b y

s ee n i n t h e p h o t o g r ap h s

at

less

t h an

30 % ,

l e as t i n p a r t .

at

the s e s p e c i me n s w as

Th i s

zone s .

l i q ue f i e d ,

for this

I n an y

c e n t e re d i n

t h e de f o rma t i ons

of

c as e ,

ty p e o f

the

t h e l oo s e ne d
th e s an d

l ay e rs ,

t h e t op , wh i ch are mos t p r onoun c e d t h r ough

mi dd le o f t h e s p e c imen ; and i n the r e c i p r o c a t i n g t e s t , in the

p h o t o g r a ph , a l s o a l o n g t h e s i de s whe re w e o f te n f ound the l oo s e s t

th e

le f t

s e gmen t s .

In

g y r a t o ry t e s t s

t h e l oo s e s t s e gmen t s w e r e o f t e n

ob s e rv e d a l o n g t h e m i d- p l ane .
Th e p a t t e rn o f l'e d i s t r ib u t i on
even w i t h i n

z on e s
w i th

s in gle cycle ,

i s p ro b ab l y c ons t an t ly c h an g i n g ,

e x ce p t i n

th a t r e m a i n e s s en t i a l l y s t ab l e
i n c r e as i n g

n umb e r

of

cy c l e s .

re d i s t r i b u t i on wh i ch deve l o p s

c omp are d
con t en t

to cy c l i c t r i ax i a l
a c c umul a t E: s

the c omp ac t e d t op
i n s h ap e ,

There

is

an d b o t t om

b u t b e c ome more c omp a c t

r a d i c a l d i f fe re n c e i n

i n r e c i p r o c a t i n g an d gy r a t o ry

tes ts .

In

the

l a t te r

t e s t s as

the g re a t e s t w a t e r

i n t h e t o p o f i n i t i a l l y un i f o rm t e s t s p e c imens .

16 a r e s h own t y p i c al h i s t o g r ams o f t h e d i s t r i b u t i on o f the

and re l a t i ve den s i t y of s p e c im e n s
( 1 ) as p la ce d ; and
( 2 ) a t the end o f re c i p r o c a t i n g t e s t s . The l e f t upp e r one i s a t y p i c a l
d i s t r i b u t i on i n a t e s t s p e c imen a s p r e p a r e d , b u t n o t s h e a re d .
In this
In F i g .

wate r content

s amp le
to

t h e w a t e r con t e n t

r a n g e d b e tween

2 3 . 2 and 2 4 . 6 % ,

a ran ge o f re l a t i ve d e n s i t y b e t w e e n 5 0 and 6 2 % .

ap p r o x i ma t e d

a n o rm a l

d i s t r i b u t i on c u r v e .

p l a c e d a t ab o u t th e s ame r e l a t i v e dens i t y ,

All

c o r r e s p ond i n g

T h e d i s t r i b u t i on

f o u r s p e c imens we r e

s l i gh t ly g r e a t e r

than 50% .

17

In the l ow e r le f t , a t e s t w i th on ly two c y c l e s o f r e c i p r o c a t i n g shear

deve l op e d s ub s t an t i a l re d i s t r ibu t i on as comp a red to the o r i g i n a l p l ace
men t . Th e up p e r r i gh t d i agram shows t h e red i s t r i b u t i o n a f t e r 2 5
cy c le s , w i th a range o f r e l a t ive dens i t y f r om 3 1 t o 7 6 % .
In the lowe r
r i gh t the re d i s t r i b u t i on o f re l a t i ve dens i tv a f t e r 6 4 c y c i e s ran ge d
f rom 2 9 to 7 4 % , and the shape o f the h i s to gram no lon ger r e semb l e s a
no rmal d i s t r ib u t i on curve .
Fi g . 1 7 s ummar i zes the re d i s t r ib u t i o n me a s u remen t s o f a l l 6 4
e leme n ts f o r a t e s t af t e r 2 5 c y c l e s o f re c i p ro c a t i n g s he ar . V i s ua l ly
the redis t r ib u t i o n i s i l l us t ra t e d b y us i n g t h ree ran g e s o f re lat ive
( 1 ) b l ank areas f o r the loos e s t z one s , w i th re l a t i ve
dens i t ies :
( 2 ) the d o t t e d are as for the ran ge b e tween
dens i t ie s l e s s than 4 8 % ;
48 and 5 9 % ; and ( 3 ) the hat ched a reas f o r the dens e s t zones w i th
re l a t ive den s i t i e s g re a t e r than 5 9 % . The t o ta l ran ge o f re d i s t r i b u t ion
in th i s t e s t was b e tween 33 and 7 4 % r e l a t i ve dens i t y .
Pore p re s s ure and disp lacemen t t rans du c e r records are rep ro duced
in F i g . 18 for a re c ip ro c a t in g shear tes t on dense s and with an
ave rage r e l a t i ve d e n s i ty o f 7 3 % wh i ch chan ge d i n 7 1 cyc les to a range
of 5 7 t o 8 7% .
In th e top d ia g ram the p o re p re s s ure g rad ua l ly in
creas e d , re a ch in g a maximum i n 2 1 c y c le s ; and a f t e r th at a lmo s t the
s ame p a t t e rn r ep e a t e d i t s e l f in al l c y c le s , w i th the p eak p o re
p r e s s ure in e a ch c y c le reaching ab o u t 9 5 % o f the 2 . 0 k g / sq cm ve r t i c a l
confining p re s s ure . Only three s e gmen t s o f the t o t a l re cord a re
rep roduc e d :
t h e f i r s t 2 3 c y c le s , cy c les 30 t o 34 and cyc l es 6 8 to 7 1 .
In the low e r record i t c an b e s een tha t th e h o r i zo n t a l d e f l e c t i on s
I fac t , when the
in creased much mo r e s low ly than the p o r e p re s su re s .
p o re p re s s ure reached i ts maximum a f te r 21 cy c le s , the de f le c t i ons
we re on ly ab o u t one mm i n e ach d i re c t i on ; b u t they k e p t i n c re as i n g
a l mos t th ro ugh o u t t h e t e s t and deve lop e d re as onab ly s te ady de f le c t i on s
on ly duri n g the las t 10 cyc les o f about 7 mm in each d i rec t i on . In
t hi s t e s t the in i t ia l e f f ec t ive c on f i n i n g p re s s ure was 2 . 00 k g / s q cm
and the shear s t re s s c y c l ed b e tween 0 . 2 2 k g / s q cm w i th a f r eq uen cy
o f 0 . 1 2 cyc l es / sec .
The t rans duce r r e c o rds o f a gy r a tory t e s t on a s p e c imen w i th a
r e l a t ive dens i ty o f 50% is sh own in F i g . 19 ; and the re di s t ri b u t i on
re cord is s ummar i z ed i n F i g . 2 0 .
The e f f e c t i ve ver t i cal s t re s s a t the
s ta r t o f t h e t e s t was 2 . 0 k g / s q cm and the gy ra tory she a r s t r e s s
0 . 2 2 kg / s q cm ; thus , T /O c
0 . 1 1 . The f re q ue ncy wa s f
0 . 10 cy cles /
sec .
=

At th e t op of Fi g . 19 one can s ee th a t the induc ed p o re p re ssure

rose s te ad i ly t o a maximum equal to ab o u t 2 / 3 o f the ini t i a l e f fe c t ive
con f in in g p ressure and then i t rema ined f ai rly c ons tan t . T h i s i s
typ i c a l o f a l l gyra t o ry tes t s p e rf orme d . I n s p i t e o f t h i s res p ons e ,
wh i ch d i f f e r s rad i c a l ly f rom the re c i p ro c a t in g t e s t s ( and even mo re s o
f rom cy c l i c t r i axi a l tes t s i n which the p o re p re s su re r i s es even tua l ly
t o the c o n f i n i n g p res s ure du r i n g the mome n t when the cyc l i c devi a t o r
s t ress p a s s e s thro ugh zero ) , we o b s e rve in gyr a t o ry te s t s a t leas t as
ef f ec t ive red i s t r ib u t i o n and s evere s o f tening o f th e tes t spec imen s a s
i n rec i p r o c a t i n g s h e a r and cyc l i c t ri a x i a l t e s t s .

"

18

In gy ra t o ry t e s t s , t h e d e f l e c t i o n mus t b e me asured i n two

di rec t i on s , to de f in e the de f le c t i o n ve c t o r .
I n F i g . 19 are repro d uce d
the reco rds o f th e two d i s p l a c e me n t t r:1D s d uc e r s wh i ch me a s ure d e
f le c t i ons i n t he p l ane o f t h e ro t a t i n g a rm an d n o rma l t o the a rm .
For
th i s tes t the l a g an g l e , \
84
de g re e s , i s unus ua l ly gre a t .
For
much den s e r s p e c i me n s t h e l a g ang l e i s gene r a l ly sma l l e r wh i ch I f ind
s t ran ge .
=

The red i s t ri b u t i on a t th e end o f th is te s t , a f t e r 10 c y c l e s , i s

shown i n F i g . 20 . Th e p a t t e rn o f red is t r i b u t i on i s s o mewh a t s imi lar
to tha t in re c i p r o c a t i n g t e s t s , pa r t i c u l a r ly the comp a c t e d zone s
a dj acent t o the b as e and th e c ap ; b u t the ve ry l o o s e z'.me s conce n t rate
in thi s t e s t ch i e f ly along the s id e s and the e d g e s of the spec imen .
The h i s t o g ram o f r e d i s t r ib u t i o n i s c l e a r ly un symme t ri c a l . Th e s t andard
devi a t i on i s 0 = 7 . 7 % .
I f the deve l op ment o f p o re p re s su re e qual t o the c on f in in g
p re s s ure were used a s a c r i te r i o n f o r t h e ons e t o f cyc l ic li que fa c t i on ,
we would b e fo r ce d t o the c onc lus i o n th a t one c anno t ach i eve cy c l i c
l ique f ac t i on i n rec i p ro c a t in g s h e ar and i n gy rat o ry shear t e s ts .
Neve r the l e s s , radi cal redi s t rib u t i on o f the w a t e r con ten t and s eve re
s o f ten ing o f the t e s t spe c imen s deve lop n o t o n ly in c y c l i c t riaxia l
t e s t s b u t a l s o in r e c i p roc a t ing shear and e sp e c ia l ly in gy ratory shear
t e s t s . The gy r a t o ry mo t i on s eems t o b e p a r t i cularly e ff e c t ive in p ro
duc ing red is t r ib u t i on of wa t e r c on t en t and den s i ty in c on j unc t i on w i th
re lative ly h i gh e f f e c t ive s t re s s e s .
A s t at i s t i c a l ana lys i s of the red i s t rib u t i on in a l l re cip ro catin g
and gy ratory te s t s on B anding S and sh owed tha t th e s t andard devia t i on
dec reases w i t h i nc re a s i n g re l a t ive d e n s i ty ; and app r ox ima tely in the
s ame p a t t e rn for b o th types of t e s t s when o the r var iab l e s a re kep t un
chan ged . Th e t o t a l ran ge of the s t an dard devia ti on range s b e tween 2
and 10% . Spe c i mens as p re p a red , n o t s ub j e c t e d t o shea r , fal l i n t o the
narrow ran ge o f 2 to 3% ; and den s e s p e c i mens had only s l i gh t ly g r e a t e r
s t anda rd devi a t i ons , even a f t e r 1 0 0 cyc l e s .

IX.

COMPARI SON OF CYCL IC STRE SS E S INDUCED IN S ITU AND IN LABORATORY

TE STS

The s t res s e s in an e leme n t in s i t u , b en e a th a leve l ground s u r f ace

in a no rma l ly cons o l i d a t e d s an d s t ra tum , are i l lu s t rated in F i g . 2 1 .
Ini t i a l l y , the p r inc i p a l s t re s s e s are ve r t i ca l and h o r i z on t a l , w i t h a
p rincipal s t res s ra t i o o f ab ou t 2 . 0 , as shown b y e le ment ( A ) in the
l e f t upp e r c o rn e r and i n the Moh r d i a g ram by the s t re s s c i r c le "A" .
Now we s up e r p o s e e a r thq uake-induced h o r i z o n t a l cy c lic shear f o rce s , as
shown in the e leme n t des i gn a t e d ( B & C ) . This c aus e s ,th e p rinc i p a l
s t re ss es t o sw ing l ike a pendulum b e tween t h e p o s i t i ons s hown i n t h e
inc l ined e le men t s ( B ) and ( C ) . The c o rre s p onding s t re s s c i r c le s
coinci de i n t he s i n g l e s t r e s s c i r c l e d e s i gn a t e d "B&C" wh ich i s large r
than c i rc le itA" and concen t r i c . During e ach cy c le , a l l s t re s s e s a re
rep resen t ed by a l l c oncen t ri c c i r c l e s b e tween these two c i r c les ,
p r ogres s in g f rom A t o B t o A t o C t o A . Th e s t re s s e s in the e lement
never appro ach a hy d ros t a t i c s t a te o f s t res s , i . e . , a s t ate in wh i ch

19

shear s t r e s s e s on all p l ane s s i m u l t a ne o us ly

are

re d uced to

ze ro .

In Fi g . 2 2 we c ons i de r an e l eme n t i n s i t u wh i c h is s ub j e c t e d a l s o
i n i t i a l ly t o s t a t i c s h e a r s t r e s s e s o n h o r l z o n t a l p l an e s , a s e . g . , i n a
dam or in the f o un d a t i o n o f a s t ru ct u re . T h e s u p e rp o s i t i on o f t h e
cy c l i c she a r s t r e s s e s on t h e s t a t i c s h e a r s t re s s c a u s e s t h e i n i t i a l
ti l "
t o c y c l e b e t we en t h e c i r c l e s " I I " , " I I I " and " IV" .
s t res s c i rc l e
As in the p r e c e d i n g c a s e , t b e s t re s s e s in t h e e l e me n t wi l l never
app roach a h y d r o s t a t i c s t a t e of s t re s s .
In an e le me n t i n s i t u , w i t h t h e d i me n s i on s of a sma l l l ab o r a t o ry
t e s t specimen , a t any g i ven mome n t a l l s t re s s e s on the s u r f a c e s o f the
e l emen t and in i t s i n t e r i o r are for a l l p r ac t i ca l p u rp os e s un i fo rmly
dis t rib u t e d an d the s t re s s g r ad i en t s w i th i n th e sp ec imen are z e ro .
Even in a s t ra t i f i e d s an d wi t h l ay e rs o f d i f fe re n t c omp os i t i on , the
no rmal and she ar s t re s s e s that are t ransmi t te d a lo n g the int e r f ace of
two l ayers w i l l be un i f o rmly d i s t r ib u t e d ove r an area of a few s q ua re
inch e s at any g i ven mome n t during cy c l i c l o adin g .
Now we con s i d e r in Fi g . 2 3 the s t re s s e s on the b o un daries and i n
th e int e r i o r o f a t r iax i a l tes t s p e c i me n wh ich i s f i rs t i s o t rop i c a11y
cons o l i d a t e d and then s ub j e c t e d in undrained s t a t e t o p o s i t i ve and
negat ive ve r t i ca l devi a t o r s t re s s es . Th e s t res s c i r c le for the ini t ia l
s t resses i s the p O i n t H o n the ho r i z o n t al axi s in th e Moh r d i a gram .
S up e rp o s i t ion o f devia t o r s t r e s s es ran g i n g b e tween + o and - o
caus e s s t re s s c i r c l e s to eme rge on b o th s i des of p o in t H , w i th a
maximum d i ame te r o . H ow w i l l a dens e s and res p ond to s uch cy cl i c
loading? Al tho ugh the s and i s s t ro n g ly d i l at i ve , neve r th e less eve ry
t ime i t i s cy c l e d t h r ough th e hydro s t a t i c s t a t e o f s t ress , i t deve lops
a s l i gh t ly con t ra c t ive response ove r a s ma l l range o f devi a t o r s t ress
and s li gh t p o re p re s s ures w i l l b e induce d . P ump i n g ac t i on o f the
ver ti ca l cy c l i c f o r c e s t ends t o move the ex ce s s water toward the top of
th e spec imen . Th i s a c t i on , comb in e d wi th the e f fec t s o f in te rnal
s t ress grad i e n t s induced b y n on-un i f o rm d i s t r ib u t ion of s t r e s s e s on th e
b ound a ries . caus es red i s t r ib ut i on o f w a t e r content and s o f tening o f the
t op of the s p e c imen . The c y c l i c p e aks of the p o re p re s s ures keep in
creas ing and f i n a l ly r i s e mome n t ari ly to the c on f i n in g p re s s ure 0 c
eve ry t i me t h e s t re s s e s cy c le th rough the hyd ro s t a t i c s t a te ; o r , to use
the t e rm now gene r a l l y us e d in l i t e r a t u re for th is phenomenon , the
specimen suf fe rs " l iq ue fac t ion" . As a l re ady exp lained i n the in t ro
duc t ion , t h i s re s p ons e b e ars n o re l a t i onship to ac tual l iq ue fa c t i on o f
s and ; and t o di s t in guish b e tween thes e two f und amen t a l ly d i f feren t
phe nomena I am us i n g i n th i s p a p e r " cy c l i c l iq ue fa c t ion" when r e f e r ring
t o the ph enomenon o f red i s t r i b u t ion and s o f tening in a l ab o r a t o ry
speci mens and when the cyc l i c p o re p r e s s u r e momen t ar i ly equa l s th e
c on f in in g p re s s ure .
Exa c t ly h ow cy c l i n g through the hy d ro s t a t i c s t re ss ,
the pump i n g a c t i on and the c y c l i c i n te rn a l s t re s s gradi en ts comb ine t o
ach i eve cy c l i c l iq u e f ac t ion i n s uch tes t s remains t o b e inve s t i ga ted .
The me chan i c s o f red is t r i b u t i on i n re c ip rocatin g d i r e c t s h e a r tes t s
In Fi g . 2 4 are shown th e non-un i f o rm
is much e as ie r t o c omp rehend .
s t resses th a t are gene r a t e d in s uch t e s t s . For c omp ari s o n , in the
upp e r l e f t h an d c o rn e r are sh own again the s t res s e s in an e l emen t in
si tu in wh i ch ap p l i c a t ion o f cy c l i c h o r i z on t a l shear s t re s s e s

' I
i

20

aut oma t i cally mob i l i z e the s ame shear s t res s e s on ve r t ical p l anes .
All s t re s s es on these f i c t i t ious b oundaries o f th e element , as we l l as
in the inte rior o f the e lemen t , are uni f o rm a t any given moment .
In
s tark cont ras t , the b oundaries o f eve ry te s t spec imen are c ause for
non-uni fo rm s t ress di s t ributions on th e bo undaries and s t re s s gradien ts
in the inte r io r . Th e rubb e r memb rane t r ansmi t s to the cy lindrical
b oundary o f the spe cimen on ly normal s t resses . Becaus e the shear
s tresses on th i s ve rt ical b oundary are zero , the shear s tresses alon g
the edges o n t h e hori zon t a l faces of cap and b ase a re als o z e ro .
The re fore , the ap p lied shear f orce i s d i s t ribu ted app roxima tely p ara
b o l i c al ly , as shown in Fi g . 2 4 . B u t th e ove r turning moment o f these
shear forces is not b a l anced by a coun t e rmoment p roduced by shear
f o r ce s on the ver t i ca l b ound aries . There fore , to maintain equilib ri um ,
the c ente r o f gravi ty o f the normal s t re s s e s transmi t ted b y the cap and
the b as e mus t b e excent ric ; and th is exce n t ri ci ty mus t cy cle b ack and
fo rth . Th is h i gh ly non-uni form and cy cli cally changing p a t t e rn o f
b oundary s t res s es and the res u l t ing seve re inte rnal s tres s gradien t s
tend t o comp act the s and adj acent t o the c ap and t h e b as e and p roduces
the typ e of redis t r ib u t i on th a t we h ave me asured in many rec i p ro c a t ing
and gyratory shear t e s t s ; (Re f . 12 and 1 3) .

X.

COMPARISON OF RE SP ONSE TO CYCL I C

AND I N LABORATORY TESTS

L OADING OF DENSE SANDS IN S ITU

Dep ending on the type o f cy c l i c tes t , one or more o f th e f o l l owing

th ree me chanisms are the maj or c aus es o f redis t rib u t ion of wa ter
content and deve l opment o f cy cl ic p ore p ress ures and cy c l i c s t rains in
l ab orat ory tes ts on dense s ands :
1)

Cycl ing through hy dros t a t i c s t ate o f s t ress .

2)

Pump ing act i on by ve r t i cally app lied cy clic loads .

3)

S t ress gradien ts wi t hin th e t e s t specimen gener a t e d b y non

uni form s t ress dis t rib uti on on the s p e cimen boundari e s .
This me ch anism is p rob ab ly aggrava ted b y th e sma l l s i ze o f
the tes t s pec imens in c onven t i onal t es t s .

In addi t ion , a s l i gh t rearrangemen t of grains , gene rated by b reakin g o f

e d ges and corners o f grains , may make a minor cont r ib u t i on to th e
deve lopment o f p ore p ress ures and s t rains in l ab o ra t ory tes ts . This
mech anism is normal ly the only one th a t p roduces p ore p ressures and
s trains wi thin an e lement o f dense s and in s i t u . But in lab or ato ry
tes ts this mechanism is comp l e tely ove rshadowed by the e f fe c ts of the
th ree p rincip al mechanisms l i s t e d ab ove .
Because o f the b as i c d i f f e rence s b e tween the mechanisms th a t
produce cy clic p ore p ress ures and s t rains i n the lab o ra t o ry and i n s i tu ,
I cons ide r i t virtua l ly a n imp os s ib le t a sk t o extrap olate o r es t ima te
from such lab o ra t o ry tes t s , wi th the h e lp of empiri cal relationship s ,
how cy c l i c p o re p ress ures and s t rains w i l l deve lop in s i tu .

21

Wheneve r one makes us e o f emp i r i c al rel a t i onsh ips , the re mus t b e

( E . g . , the At t e rb e r g limi t s are use ful i n s o i l
a common denominat o r .
mech an i cs f o r es tab lishing emp i ri c a l re l a t i onsh ip s becaus e p l as t i c i ty
and various enginee ring p r ope r ties are re lated t o th e content s o f clay
par t i cles and their mine ral ogy . )
I canno t f ind a common denominator
be tween the p rinci p al mechan isms that control the cy l i c res p onse in
l ab oratory specimens and the response o f an e lement in s i t u .
In
laboratory s p e cimens the deve l opment of p ore press ure s and cy clic
de forma t i ons i s the result o f radi cal redis t ribut ion wh ich in turn is
produced by mechanisms tha t no rmally do not exi s t in an e lement in s i tu .
I n an e lement i n s i tu no rma l ly there i s n o re di s t ribut ion and the
s tress es remain h omogeneous , i . e . , no s t ress gradien ts develop wi thin
the spe c imen .
In th e convent i onal cyclic t riaxi a l tes ts cy clic l ique
faction wi l l deve lop even in very dense s and s , when applying
enough cyc le s ; b u t in s i tu, cy c l i c lique f a c t i on cannot deve lop , excep t
pe rhap s q u i t e l o c al ly , adj acent t o certain rigid b o undaries s uch as
p iles or p iers .
Is there a p os s ib i li ty o f deve l op ing a lab o ra t ory tes t wh i ch w i l l
dup l i cate t h e s t res s es wi thin an element i n s i tu? I t i s conce ivab le
tha t we could shake a large mas s o f s an d , e . g . , a 3 me t e r cube , wi th a
well ins t rumented " e lement " in th e cen ter o f this mas s , to meas ure
cyc l i c p o re p ress ures and s t rains . I t would b e a cos t ly research
e f f or t , b ut w o r th s e r ious cons ideration .
An o ther app r oach woul d b e th e app lication o f the fini te elemen t
me th o d . T o reduce th e numb e r o f variab les t o a minimum , I sugge s t
comp aris on o f the two-dimens i onal s tress dis tr ibut ion o f an elemen t in
s i tu with that in a long p r isma t i c tes t s pecimen s ubj e c ted to reci
procating shear , w i th zero shear s t ress on the ve r t ical s i des . Th is
would be e quivalent t o as s uming that in s i t u a s and s t ra tum cont ains
( 1) f r i c t i onles s , ve r t i cal , p arallel p l anes wh ich are aligned normal t o
the cy c lic forces , and ( 2 ) rough and inext ens ib le horizon t al p lanes .
I t wi l l req ui r e exp e rimen t a t i on wi th various as sump tions of the s and
prop e r ties to achieve redi s t ribut ion of water content that app roxima tes
what we h ave obs e rved in rec ip r ocatin g shear t es ts . When I firs t
cons idere d this app ro ach , I conc luded that i t is t oo comp li cated for
the avai lab l e t echniques . B ut th e vi s i on of s uc ce s s ful trea tmen t is
so ve ry a t t r ac t ive that I woul d l ike to p e rs uade the mos t reso urce ful
spec i al i s ts in this b ranch of app lied mathemat i cs to lend a hand .
Success o f this app ro ach woul d no t only result in a convincing
demons t r a t i on of the eno rmous di f ferences b e tween the res p onse of in
s i t u e lements and l ab or a t o ry s p e cimens t o cy clic l oadin g , but it would
open up the p os s ib i li t y of inves t i ga t ing the e f fe c t s of local s t ress
concen t ra t i ons p roduced by rigid b odies that p ene t rate in to a s and
mass , when s ub j ec ted to ear thquake l oading .
The only clearly re alis t i c app ro ach t o th is ent i re prob lem area
cons is ts of comp rehens ive inve s t i ga t i ons o f the full-s cale exp er imen t s
whi ch nature has made and con t inues to p er fo rm i n h i ghly seismi c
relions o f the w o rl d . But rel iab le in format i on wi l l not b e de rive d
from s uch inves t i gat ions unless they are p receded b y extens ive
preliminary e f f o r t s , t o sharpen our to ols so t o speak ; in p a r t i cular t o
( 1 ) for conduc t ing
imp rove avai lab l e methods and t o deve lop new methods

'

22

i n s i tu me as urement s o f the degree o f denseness o f s and s , and

( 2 ) for
de termining the re l a t ive dens i t y on small sp ec imens cut f rom un
dis t urbed b l ock s amp les tha t are taken by hand a f t e r lowe ring the
groundwat er . Whenever pos s ib l e also the age o f s and s t rata should be
de t e rmined be caus e there a re indicat ions that young alluvi al s ands are
much more s us cep t ib le t o actual lique fac t i on o r development of large
s trains than o ld s e dimen t s th a t h ave b een s ub j ec t e d already to many
s evere earthquake s . Because o f th e great magn i t ude and cos t s o f s uch
comp rehens ive inve s t i gat i ons and for o ther reas ons , they would b e s t be
unde r t aken as co operat ive e f fo r t s by several coun t ri e s with zone s
subj e c t t o severe s e i smic ac t ivi t y .
Mos t p ub lished f i e l d inve s t igat i ons on e f fe c t s o f ear thq uakes on
s and depos i t s are defi cient and make interp r e t a t i on d i f f i cul t . Un
warran ted re l i ance is p l aced on the s tandard dynamic p ene trat ion tes t
whi ch is f ar f rom a s t andard as p r act i ced t o day .
( E . g . , during a
comp rehens ive inves ti gati on o f a rath e r un i f o rm s tr a t um o f b e ach s and
dep os i ts for the founda t i on o f a nuc l e ar power p l ant , four d i f ferent
b oring organ i z a t i ons made bo rings indep enden t ly a t the s ame location ,
within a 3 m radius . When c omp aring their res u l t s , the b l owcount s
dif fered b y as much as a f ac t or o f th ree ! ) As a b as is f o r es t imating
the in s i t u r e l a t ive dens i ties by corre l at i on w i th b lowcoun t s , there is
a tendency t o us e the ave rage b lowcoun t for an en tire s tr atum ins tead
of p ay in g s p e c i al at tent i on to layers or len ses wi th the l owe s t b l ow
coun ts .
In a lluvial depos i t s one o f ten encoun te rs lar ge variat ions in
den s i t ies b e tween adj acen t zones in the s ame sand s t r atum . De s t ructive
movements at g round l eve l may be caused by ac tual lique f ac t i on of a
loos e , relative ly th in l ayer that can b e eas i ly ove rlooked in s uch erude
s ubsurface inve s t i ga t i ons ; and then overlying , much denser layers are
wrongly b l ame d f o r having caus ed the movemen ts . We need more de t ai le d
and more accurate in s i tu measuremen t s than is p o s s ib le by dynami c
p ene t ra t ion tes t s , p e rhap s con t inuous s t a t i c cone pene tr a tion me asure
men t s , t o iden t i fy the loos es t zones tha t are respons ib le for large
movements . Un f or tunately th e iden t i f i cat i on of such zones is
p ar t i cularly di f fi cul t o r imp ossib le when the l i q ue fied s and h as
flowed out l aterally or through cracks to th e s ur f ace .
S t udy o f des cr i p t ive l ite rature o f e ar th q uake e f fe c t s on a lluvial
depos i t s convinced me th a t l ar ge and des truct ive ground movemen t s are
cause d by actual lique f a c t i on or severe s o f tening of contract ive s and
l ayers at s ome dep th .
I believe that the lique f ac t ion p o t en t ial o f
such layers could b e s t be iden t i f ied b y means of t r i axi a l t es ts on
undis t urbe d s amp le s , us ing load con t r o l tes ts o f the type deve loped by
Cas t ro ( Re f . 8 ) .
For typ i cal alluvial s ands cont aining not more than a few p e rcen t
o f silt s i ze s , t he upp e r limi t o f re l a t ive dens i ty for whi ch I cons ider
actual l i q ue f act ion t o b e a p o ssib i l i ty , lies in the range b e tween
ab ou t 40 and 50% , depending on c on f in ing p re s sure . Medium- loose s ands
in the range b e tween 40 and 60% may be s l i gh t ly con t r a c t ive or s l igh t ly
dilat ive ; and in s i t u they may resp ond to cy c l i c l oading w i th s t rains
of ob j e c t i onab le magni tude , but rare ly with act ual lique f action .
In
s t r on g ly d i l a t ive , ani s o t ropi cally cons o l idated s ands in s i t u , with

Ij

23

relative dens i t i es grea ter than ab out 70% , I cons ider i t norma l ly
impossib le f or cy c l i c p o re p ress ures t o app roach or equal the c onf ining
p res sure be cause d i l at ency w i l l au toma t i ca l ly caus e the grain
s t ructure t o o f fs e t loss of s t r en g t h by "b racing i t s e l f" so to sp eak ,
requir ing only minute s t rains ; and I doub t tha t induced p ore p ress ures
w i ll norma l ly r i se as h i gh as 50% of th e con f ining p ress ure .
In
c on t ras t , in lab o ra t ory spe cimens of dense s and the red i s t r ib ution of
water con ten t , devel opmen t o f s o f t z ones and cy c l ic l iq ue f ac t i on
c anno t be p revented by mob i li z a t i on o f a s t rong d i lat ive respons e .
Spe cial c ondi t ions that may caus e deve l opment o f high p ore p ressures
and excess ive s t rains in dense s and in s i tu are the fo llowin g :
( 1 ) Adj acent t o rigid b oundaries where severe s t ress gradi ents can
deve lop and p roduce redis tr ibution of water cont ent . I t would me r i t
inve s t igation whe the r s uch res p onse could s ub s tan t i ally re duc e the
b earing cap acity of p i les or p iers dur ing earth quake s .
( 2 ) I f i t were
p o s s ib le to main tain in s i tu a mas s of s and in an iso t rop ical ly conso
l i dated s t at e during cy clic l o ad ing (wh i ch I doub t ) , then cy clic lique
faction in dens e s and would be the ore t i cally p os s ib le .

XI .

LABORATORY TEST S FOR DES IGN PURPOSES - INTERIM RECOMMENDAT IONS

Unt i l s uch t ime when more re l i ab le data wi l l be avai lab le on the

in s i tu respons e o f di l at ive s ands to cy clic loading , I h ave recommended
in re cent y e ars , as a t empo rary expedien t , th e us e of cyc l i c tr iaxial
tes ts on anis o t rop i c a l ly consolid ated sp ecimens cut from undis turbed
s amp les . Independen t ly , o t h e r inve s t igators have also tended t o
inc lude cy c l i c t r i axi al tes ts o n anis o t ropi cally cons ol ida ted spec imens .
See , e . g . , the comp rehens ive report on ANALYSIS OF THE SLIDES IN THE
SAN FERNANDO DAMS DURING THE EARTH -QUAKE OF FEBRUARY 9 , 1 971 , ( Ref . 1 4 ) .
In my rec ommenda t ion and interp re t at i on o f such tes t s I am now guided
by the f o l l owing ob s e rvations and as sump t ions :

1)
In cy c l i c t r i axial t es ts , redis trib ution and b ui ldup o f cy c l i c
p ore pressures be comes p ar t i cula r ly s evere when the peak pore p ress ures
rise we l l ab ove 50% of the confining p ress ure . Th ere f o re , I use as a
tes t parame t e r th e numb e r o f cy cles , N ' required for the p o re
SO
p ress ure to reach 50% o f the con f ining p ress ure . At that p oint the
cy clic s t rains are gene rally s ti ll small .

2)
I make the f o llowing arb i t r ary as sump t i ons wh i ch I cons ider
to b e we l l on the s afe s i de :
( a) that the me ch an ism whi ch caus e s the
bui ldup of p o re press ure in s i t u (breakage and minor rearrangement of
grains ) is respons ib le f or one - fourth of th e cy clic p ore pressures
induced in l ab oratory tes ts , w ith th e o ther three- fourths p r oduced by
the me ch anisms that cause redi s t ribution o f water c ontent and s o f tening
o f the tes t spec imens ; and (b ) tha t in s i t u the p ore press ure wi l l
reach 50% o f th e confining p res sure wh ich i n my j udgment is an upper
limi t f o r medium dense and dense s ands unde r the wors t cond i t i ons .
3)
The p ore pressure in the tes ts rises app roximat e ly in dire c t
p ropor t i on t o the numb e r o f cy cles up to ab out 5 0 % o f the c onf ining
pres sure . When comb in ing this wi th the preceding as sump t ion , it f o llow s

I
. i

24

tha t the numb e r o f cy cles wh i ch would b e req uired in s i tu t o reach 50r

o f the c on f ining p ress ure would b e 4 xN 5 0 .

4)
I f an e s t imate o f the cy clic s t rains is req uire d , i t would
be ne tes s ary t o carry out p re c i s e meas urement s of the cy c l i c s t rains
and us e th ese s t rains as a b as i s f o r j ud gment , keep ing in
up to N
SO
mind that only a fract ion of the s e s t r ains are caused by the me chanism
tha t con t r o ls the deve lopment o f p or e p ress ures and s t r ains in s i tu .

Again I wish t o emp ha s i z e tha t t he s t rains which develop in cyc lic

l aboratory t e s t s when the p ore pres sures rise t o the conf ining pressure
( i . e . when cyc l ic l iquefact ion is reached ) , a s we ll as all further
increase in cycl ic s t rains dur ing add i t ional cyc l ing , b ear no r e l a t i on
shi t o the s t ra ins that develop in s it u for d i la t ive sand s , in my j udgmen t .

I cons ider the us e o f the bes t p os s ib le und is t urbe d samp les

(preferab ly h and-cut b lo ck s amp les ) an essen t i al requirement for
I also require the us e o f the type o f lub ri ca ted
meaningful res ul t s .
ends whi ch we re deve loped by P r o fe s s o rs P . Rowe and L. Barden (Re f . 1 5 ) .
In gene ral , the tes t specimens should b e p recons o lidated t o a p rincipal
s t ress-rat i o o f 2 . 0 .
For ave rage alluvi al s ands w i th a s i lt fract ion n o t exceeding a
few percen t , and w i th a rel a t ive dens i ty in the r ange b e tween ab out 40
and 60% , we deal w i th a trans i t i on r ange between l oose s ands that can
actually l i q ue fy and medium dense s ands tha t are s afe agains t ac tual
l iq ue f a c ti on . I n that range i t is p os s ib l e tha t tr iaxia l tes ts w i th
mon o toni c l o ad increas e , us ing dead l oad inc remen t s , w i l l p ro duce
l arger s t rains than cy cl i c l o adin g . There f o re , in tha t range I
rec ommend als o p e r f o rmance o f mon o ton i c load con t r o l t e s ts on sp ec imens
th a t are anis o t ropi cally cons o lidated wi th a p rincip al s t ress ratio o f
2 . 0 . S uch tes t s also permit a b e t t e r di f feren t i a t ion b e tween di l a t ive
and con t r act ive res p ons e than cy c l i c t e s ts . Un less the resu l t s show a
well deve loped dilative resp ons e , I advise p er fo rmance o f addi t i onal
tes ts to de fine the F line ; F i gs . 6 and 8 .
XI I . SUMMARY O F PRINCIPAL CONCLUS IONS AND RE COMMENDAT IONS

1.
General - To di f feren t iate b e tween b as i cally di f ferent
phenomena wh i ch are b o th called LIQUEFACTION in l i terature , the term
ACTUA L LIQUEFACTION is used in this p ap e r for the resp onse o f con t ra c t ive
( loos e ) s and whi ch results in s ub s t antia l increas e in p o re press ure and
lo ss o f s treng th . that c an cause a f l ow s li de ; and the t e rm CYCLIC LIQ UE
FACTION is use d f o r th e resp ons e o f d ila tive (dens e ) s and in cy c l i c
triaxial tes ts when t h e p ore p ressure rises momen t ar i ly i n each cyc le
t o the con fin in g p res s ure .
2.
Cri tical voi d Ra t i o - The concept o f the cri t i c al void rat i o ,
deve l op e d more th an 4 0 years ago ( Fig . 1 ) had t o b e mod i f ied on the
b as is of inves t i g a t i ons of the f low s lide in F t . Peck dam and Cas t ro ' s
inve s t i g a t i ons ( Re f . 8 ) . During actual liq uefa ction the s and grains

25

rear range themse lves i n t o a f l ow s t ruc t ure which ens ures a min imum
res i s tance t o f l ow . By us ing dead loads in R (und rained ) tr iaxial t e s t s ,
l ique f a c t ion can be achieved at grea ter relat ive dens i t ies than with
s train con t r o l t e s t s ; and the type o f t e s t used 4 0 years ago gave
res u l t s even more on the unsafe s ide . The same relationship be tween
c r i t i cal void r a t i o and e f f e c t ive minor p rinc ipal s t ress is ob ta ined
with ( 1 ) iso t ropically cons o l idated sp ec imens , ( 2 ) anisotrop ically
conso lidated s pecimens , and ( 3 ) wi th cy c l i c l oad tes ts ; Fig . 6 .

3.
Redi s tri bu t i on of Wa ter Con ten t i n Cycl i c Tes ts
The pro
gressive increase o f cyc l i c pore p r e s sures and s o f t ening in t e s t
spec imens i n various types o f cyclic t es t s , includ ing cyc l i c l ique f a c t i on in
t r iaxial t e s t s , are caus ed by rad i c a l r ed i s t r ibut ion of the wa t e r con t en t
which is generated b y mechanisms that a r e no rma lly n o t a c t ive i n s i t u .
-

Because it is
4.
Recommenda ti on for Fi eld Inves ti ga ti ons
unlikely that a labo rato ry tes t can be devised which wi l l p roduce in
tes t spec imens the type of uni f orm s t ress dis t ribut ion that exi s t s
during c y c l i c l oading i n a typi cal element in s i tu , the au thor b elieves
that c los ing the great gap be tween laborat o ry and in s i tu resp onse w i l l
require pr i ma r i ly comp rehens ive f ie ld inve s t igations o f many full-scale
t e s t s that nature has performed in high ly seismic regions .
Such in
ves t igat ions w i l l have t o be carried o u t with the bes t p o ssib le
inve s t i gat ional tools and with me t i culous a t t en tion to details , les t
they wil l crea t e mis lead ing informa t i on .
-

5.
In terim Recommenda t i ons for Labora tory Tes ts - For e s t ima t ing
the in s i tu response of medium dense and dens e sands , i . e . , sands whi ch
are safe agains t ac tual l iquefact ion , an in terim pro cedure is sugge s t ed
which is based on performance o f cyc l i c t riaxial tests on ani s o t ropical ly
consolidated spe cimens cut f rom und is turbed samples .
Whenever a que s t ion ar i ses whether a sand s t ratum could exp erience
actual l ique f ac t i on , it i s recommended to carry out R tests wi th
d ead load incremen t s , as developed by Cas tro ( Ref . 8 ) , u s ing the be s t
pos s ib le und i s t urbed samp les .

XI I I .

ACKNOWLEDGEMENTS

The d o c t o ra l research by Gonzalo Cas tro and Frankl in Rendon was

made pos s ib l e wi th assis t ance of many o r gan izat ions and individuals .
Detailed acknowledgemen t s were included in Cas t ro ' s thesis ( 8 ) and
will be inc luded in Rendon ' s the s i s .
I am part icularly indebt ed t o S t an ley D . Wilson for his cr it ical
review of a draft o f this paper and his many valuab le sugges t ions .

!
}

26

XIV. REFERENCES

( l)

Cas agrande , A . , " Characteris ti cs of Cohesionless Soils Affec ting

the S t ab i l i ty of Earth Fillslf , Journal of the Bos ton Soci ety
of Ci vi l Engi neers , January 1936 .
Reprinted in " CONTRIBUTIONS
ro SOIL MECHANICS ,

Engineers ,

1 925-1 940 " , Bos ton Soci e ty of Ci vi l

October 1940 .

(2)

Casagrande , A . and Watson , J . D . , "Compaction Tes ts and Cri tical

Dens i ty Investigations of Cohes ionless Materials for Franklin
Falls Damtl , Appendix BII in Report to the U . S . Engi neer Corps ,
Bos ton , 19 3 8 .

(3)

Cas agrande , A. , liThe Shearing Res i s t ance of Soils and its Relation
t o the S t ab i l i ty o f Earth Dams " , P roceedings , Soi l s and
Founda tion Conference of the U . S . Engineer Department , Bos ton ,
Mass . , June 1938 .

(4)

Watson , J . D . , " S t ress -De formation Characteris t i cs of Cohesi on1ess

Soils from Triaxial Compres s ion Tes ts" , S c . D . TheS iS , Harvard
Unive rs i ty , 1940 .

(5)

Corps of Engineers , U . S . Department of the Army , "Report on the

Slide of a Portion of the Upst ream Face at Fort Peck Dam. "
U . S . Government Pri n t i ng Offi ce , Washington , D . C . , July 19 39 .

(6)

Middleb rooks , T . A . , "Fo r t Peck S lide" ,

107 , 194 2 .

(7)

Cas agrande , A . , "Role o f the Calcula ted Risk in Earthwork and

Foundation Engineering" , Journal of the Soi l Mechanics and
Founda tions Di vis i on , ASCE , July 19 65 .

(8)

Cas tro , Gonzalo , "Lique f act ion of Sands " ,

Seri es N o . 8 1 , January 1969 .

(9)

Cas tro , Gon za10 , "Liquefaction and Cyclic Mobility of Saturated

Sands " , Journal of the Geotechni cal Engi neering Di vi si on ,
ASCE , June 19 75 .

ASCE Transacti ons , Vol .

Harvard Soi l Mechani cs

( lOa)

See d , H . B . and Lee , K. L . , "Liquefaction of Saturated Sands during

Cyclic Loading" , Journal of the Soi l Mechanics and Founda tions
Di vi s i on , ASCE , Novembe r 1966 .

( lOb )

Lee , K . L . and Seed , H . B . , " Cyclic S t ress Cond i tions Caus ing
Lique facti on of Sand" , Journal of the Soi l Mechani cs and
Founda ti ons Di vis i on , January 19 6 7 .

( 11)

Shockley , W . G . and Ahlvin , R . G . , 'on-Un i form Conditions in

Triaxial Tes t Specimens " , Research Conference on Shear strength
of Cohesi ve Soi l s , ASCE , Boulde r , Colorado , 1960 .

27

( 12 )

Casagrande , A . and Rendon , F . , "Rec ip rocating and Gyratory Shear

Apparatus - Design , Tes ting P rocedures and Tes ts on Saturated
Sand , " Report to WATERWAYS EXPERIMENT S TA TION , Vicksb urg ,
Miss . , 19 7 6 .

( 13)

Rendon , t . , Doctoral Disserta tion ( in preparation) , Harvard

Unive rs ity , 19 7 6 .

( 14)

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