* "I *

Soil mechanics - Property characterization and analysis procedures

Mecanique des sols - Caracterisation des proprietes et procedures de calcul

C.P. WROTH, Professor of Engineering Science, University of Oxford, UK

G.T. HOULSBY, Lecturer in Engineering Science, University of Oxford, UK

SYNOPSIS Rec e n t an d c u r r e n t d e v e l o p m e n t s in the u n d e r s t a n d i n g and d e s c r i p t i o n of soil

b e h a v i o u r a n d in the n u m e r i c a l a n a l y s i s of g e o t e c h n i c a l p r o b l e m s ar e d i s c u s s e d in th i s pape r . An
a t t e m p t has b een m ade to rel a t e these topics to the n e e d s of p r a c t i s i n g e n g i n e e r s c o n c e r n e d w i t h
the d e s i g n of m a j o r p rojects. T h e d i s c u s s i o n o f s o i l p r o p e r t i e s is c o n c e n t r a t e d o n t h e p a t t e r n o f
b e h a v i o u r of c l a y s in m o n o t o n i c tests, a n d t he i m p o r t a n t c o r r e l a t i o n s of t he s t r e n g t h a n d s t i f f n e s s
of c l a y s w i t h the level of e f f e c t i v e str e s s e s an d o v e r c o n s o l i d a t i o n ratio. T h i s b e h a v i o u r is
r e v i e w e d w i t h i n the c o n t e x t of p l a s t i c i t y the o r y w h i c h has b e c o m e the m a i n fram e w o r k for the a n a l y ­
s i s o f p r o b l e m s in s o i l m e c h a n i c s . The n eed to ma t c h b oth the c h oice of soil model and the m e thod
of a n a l y s i s to the soil t y p e a n d the n a t u r e o f the e n g i n e e r i n g p r o b l e m is e m p h a s i s e d . The benefits
of s i m p l i c i t y of b oth model and a n a l y s i s are underlined.

1 INTRODUCTION
The p u r p o s e of th i s p a p e r is to e x a m i n e r e c e n t
a n d c u r r e n t d e v e l o p m e n t s , b o t h in t he u n d e r ­
st a n d i n g and d e s c r i p t i o n of soil behaviour, and
in t h e n u m e r i c a l a n a l y s i s o f p r o b l e m s in g e o ­
technical engineering. In a t t e m p t i n g s u c h a
task, the c o n s t r a i n t s of space and time, and of
the authors' interests, know l e d g e and experience
i n e v i t a b l y m e a n that the treat m e n t of the topic
m u s t be i n c o m p l e t e and, to some extent,
unbalanced. T h i s d o c u m e n t is n e i t h e r a s t a t e -
o f - t h e - a r t repo r t nor a g e n eral repo r t on the
relevant papers p r e s e n t e d to this Conference.
It is h o p e d t h a t the m o s t i m p o r t a n t a s p e c t s of
t h i s l a r g e a n d f u n d a m e n t a l sub j e c t , c e n t r a l to
the w h o l e of soil m e c h a n i c s an d fo u n d a t i o n
engineering, will be covered. It is i n t e n d e d
that the a c h i e v e m e n t s an d d i f f i c u l t i e s w i l l be
highlighted, with the major unanswered problems
featu r e d forming the b a c k g r o u n d to the three
discussion sessions associated with oral presen­
tation of this w r i t t e n v e r s i o n of the Theme
Lecture. Cle arly there will be omissions and
oversights; s o m e of the m a t e r i a l is p u r p o s e l y
l e f t o u t b e c a u s e it w i l l be c o v e r e d in o t h e r
T h e m e L e c t u r e s to this Conference.
In essence, the c l a s s i c a l p e r i o d of Soil
M e c h a n i c s was the 30-year period, 1926-1956,
w h i c h was d o m i n a t e d by the influence of Terzaghi.
T h e p u b l i c a t i o n of E r d b a u m e c h a n i k s a w the b e g i n ­
n ing of the science of Soil M e c h anics, wh i c h has
b ee n gro w i n g steadily since then. The end of
that period, and the start of m o d e r n Soil
Mechan i c s , was m a r k e d by the A S C E C o n f e r e n c e on
Shear S t r e n g t h of C o h e s i v e Soils held at
Boulder, Colorado, and the e m e r g e n c e of the
f u n d a m e n t a l an d f o r m a t i v e r e s e a r c h work on the
s t r e s s - s t r a i n p r o p e r t i e s of s o i l s in the U n i t e d
Kingdom being undertaken at Imperial College,
Manchester and Cambridge.
T h e l a s t 30 y e a r s t o d a t e h a v e s e e n a n a c c e l e r ­
a t i n g r e v o l u t i o n in the s u b j e c t , d u e to the
m a j o r a d v a n c e s in theo r y , in n u m e r i c a l analysis,
in e x p e r i m e n t s b o t h in t h e l a b o r a t o r y a n d in
the field, a n d in c o n s t r u c t i o n p r a c t i c e . These
d e v e l o p m e n t s h a v e b e e n so far r e a c h i n g t h a t
they have c h a l l e n g e d m a n y of the e a r l y c o ncepts
and made much experience and practice obsolete.
As a c o n s e q u e n c e some of the b a s i c pr o p e r t i e s
and d e f i n i t i o n s used for c h a r a c t e r i z i n g the
b e h a v i o u r o f s o i l (and rock) n e e d to b e m o d i ­
fied subtly or to be m ade m ore precise, e.g. the
undrained shear strength, and the distinction
be t w e e n the u n d r a i n e d an d d r a i n e d v a l u e s of
Yo u n g ' s m o d u l u s of elasticity.
S o i l b e h a v i o u r is c o m p l e x a n d d e p e n d s o n t h e
c o m p l e t e g e o l o g i c a l h i s t o r y o f t h e d e p o s i t as
r e p r e s e n t e d by the size, shape, m ineral
c o m p o s i t i o n and p a c k i n g of the particles, the
stress h i s t o r y that has b e e n experi e n c e d , the
pore fluid and other factors. The r e sponse of
a soil e l e m e n t to a p a r t i c u l a r test or e n g i n e ­
e r i n g e v e n t will d e p e n d on the c h a n g e s of
ef f e c t i v e stress that it undergoes; and,
further, this r e sponse will be i n a d e q u a t e l y
represented by a few simplistic p r o perties such
as u n d r a i n e d shear strength, shear modulus,
c o e f f i c i e n t of conso l i d a t i o n , etc. The
p r o p e r t i e s t h e m s e l v e s m ay v ary l o c ally to a
significant degree both laterally and vertically
w i t h i n t h e g r o u n d , d u e t o t h e m i c r o f a b r i c o f t he
m a t e r i a l and the q u i r k s of its history.
C o m p a r e d w i t h o t h e r b r a n c h e s o f e n g i n e e r i n g , the
k e y m a t e r i a l p r o p e r t i e s in g e o t e c h n i c a l e n g i n e ­
e r i n g need to be m e a s u r e d , i n s tead of be i n g
specified or specially fabricated; they may
vary much more widely and are known with much
less accuracy. T h i s h a s led, n a t u r a l l y , to a
d i f f e r e n t a t t i t u d e to cho i c e of F a c t o r s of
Safety, to the d i f f e r e n t exte n t that judgement
and e x p e r i e n c e play their part, and to a
d i f f e r e n t role for Risk Analysis.

1
B e c a u s e o f t h e v a r i a t i o n a n d u n c e r t a i n t y i n soil and to d e f i n e su / o ^ Q as the und r a i n e d strength
properties, a n umber of c o rrelations have been ratio.
established which, when used judiciously, form
a v a l u a b l e frame w o r k for the i n t e r p r e t a t i o n of H i s t o r i c a l l y in soil m e c h a n i c s , m u c h use ha s
test data. However, the choice of properties been made for normally consol i d a t e d clays of the
th a t s h o u l d be u s e d in a n y a t t e m p t e d c o r relation r e l a t i o n s h i p s u g g e s t e d b y S k e m p t o n (1957)
is c r u c i a l . Any successful relationship that
s
can be u sed w i t h c o n f i d e n c e o u t s i d e the i m m e ­
— = 0 .11 + 0.0037 PI (4)
d i a t e c o n t e x t in w h i c h it w a s e s t a b l i s h e d , o
vo
s h o u l d i d e a l l y be:
w h e r e PI is t h e p l a s t i c i t y i n d e x o f t h e c l a y .
(i) b a s e d on a p h y s i c a l a p p r e c i a t i o n of why
W i t h i n t h e c o n t e x t o f t h e a b o v e a r g u m e n t s , is
the p r o p e r t i e s c a n be e x p e c t e d to be
th i s a s o u n d r e l a t i o n s h i p , a n d d o e s it s u g g e s t a
related,
n e w v a r i a b l e PI t h a t s h o u l d be t a k e n i n t o
(ii) set a g a i n s t a b a c k g r o u n d of theory, account? A t f i r s t s i g h t , it is n o t e v i d e n t
h o w e v e r i d e a l i s e d t h i s m a y be, and that the u n d r a i n e d st r e n g t h ra t i o should be
r e l a t e d d i r e c t l y to p l a s t i c i t y index. However,
(iii) e x p r e s s e d in t e r m s of d i m e n s i o n l e s s
t h e v a l u e o f <t> c a n b e e x p e c t e d t o d e p e n d o n t h e
variables so that a dvantage can be taken
shape, size, p a c k i n g and m i n e r a l c o m p o s i t i o n of
of the s c a ling laws of c o n t i n u u m
t h e c l a y p a r t i c l e s , as w i l l t h e p l a s t i c i t y index,
mechanics.
so the t wo p r o p e r t i e s a r e r e l a t e d in s o m e complex
manner. So physical reasoning would support
A n i l l u s t r a t i o n o f t h e s e p o i n t s is p r o v i d e d b y
S k e m p t o n ' s r e l a t i o n s h i p , b u t s u g g e s t s t h a t it
c o n s i d e r i n g c o r r e l a t i o n s of the u n d r a i n e d shear
w o u l d b e a w e a k e r o n e t h a n t h a t o f e q u a t i o n (3)
strength su of a cla y . * All soils are basic­
i n w h i c h <(> i s p r e f e r r e d t o P I .
ally fr i c t i o n a l m a t e r i a l s w i t h the st r e n g t h
being provided by the frictional resistance
M u c h g r e a t e r p r o m i n e n c e is g i v e n t o t h e b e h a v i o u r
between soil particles gove r n e d by the effective
of c l a y than to that of c o h e s i o n l e s s m a t e r i a l s
stress to w h i c h they are subjected. Starting
s u c h as silt, sa n d a n d g r a v e l . T h i s is b e c a u s e
ab initio, the first r e l a t i o n s h i p to be explored
m ost of the m a j o r g e o t e c h n i c a l p r o b l e m s in p r a c ­
w o u l d be
ti c e in B r i t a i n a r e a s s o c i a t e d w i t h e a r t h w o r k s
a n d f o u n d a t i o n s in clay. In o t h e r p a r t s of the
= fU) (1 ) world more expertise may have been gained with
pf different materials. C o n s e q u e n t l y m o s t of the
British fundamental research on soils has been
w h e r e pf' i s t h e m e a n p r i n c i p a l e f f e c t i v e s t r e s s
c o n c e n t r a t e d on the m o n o t o n i c b e h a v i o u r of clays
a t f a i l u r e a n d 4> i s t h e a n g l e o f s h e a r i n g
out of w h i c h a c l e a r p a t t e r n has emerged.
resistance. In a n y r e a l s i t u a t i o n in the
S ur p r i s i n g l y , it w o u l d s eem that sands are m ore
ground, the v a l u e of pc w i l l n o t be k nown, an d
d i f f i c u l t to model, a l t hough recent work, especi­
it has to be r e p l a c e d by some other stress
a l l y in J a p a n , s u g g e s t s t h a t the b e h a v i o u r of
variable. If t h e i n i t i a l c o n d i t i o n s a r e
s a n d s is c l o s e to b e i n g a s p e c i a l c a s e of t h a t
selected, and the m e a n p r i n c i p a l e f f e c t i v e
of clays.
s t r e s s p ' is u s e d , t h e n i t s r e l a t i o n s h i p w i t h
P f 1 depends on the excess pore p r essures g e n e r ­
O n e m a j o r a r e a o f c o n c e r n w h e r e p r o g r e s s is
a t e d d u r i n g s h e a r i n g t o f a i l u r e , w h i c h in t u r n
u r g e n t l y r e q u i r e d is t h a t o f t h e c y c l i c l o a d i n g
d e p e n d s o n the o v e r c o n s o l i d a t i o n ratio, OCR, of
of soils. Because this topic will be featured
the clay. He n c e a sec o n d a p p r o a c h w o u l d be to
in T h e m e L e c t u r e s N o s 7 a n d 8 , o n l y a b r i e f m e n ­
consider the relationship
t i o n is m a d e h e r e .

= f(4>,0CP.). (2)
po
2 CHARACTERIZATION OF SOIL PROPERTIES
H o w e v e r , th i s r e l a t i o n s h i p w i l l in p r a c t i c e be
s u b j e c t to m u c h u n c e r t a i n t y b e c a u s e the in si t u 2. 1 The purpose of constitutive modelling
m e a n p r i n c i p a l e f f e c t i v e s t r e s s p Q' i s u n l i k e l y
to be kn o w n or to h ave b e e n e s t i m a t e d w i t h any 2.1.1 Modelling of engineering problems
accuracy. The single stress variable that can
In t h i s p a p e r i t is a s s u m e d t h a t t h e p r i n c i p a l
b e e s t i m a t e d w i t h m o s t r e l i a b i l i t y is t h e in p u r p o s e in a t t e m p t i n g to m o d e l the c o n s t i t u t i v e
situ vertical eff e c t i v e stress, o^0 . Since
b e h a v i o u r of s o i l s is t o u s e t h e r e s u l t i n g m o d e l
t h i s i s r e l a t e d t o p 0' a s a f u n c t i o n o f O C R , i t s
as a too l f o r s o l v i n g e n g i n e e r i n g p r o b l e m s .
u s e i n l i e u o f p 0' w i l l n o t i n c r e a s e t h e n u m b e r T h e r e is a s e c o n d a r y p u r p o s e in s o i l m o d e l l i n g ,
of v a r i a b l e s in t he r e l a t i o n s h i p . Consequently
of m o r e int e r e s t to the s c i e n t i s t than the
a g o o d e n g i n e e r i n g c o m p r o m i s e is to a d o p t the
e n g i n e e r , w h i c h is to e x a m i n e so i l b e h a v i o u r o u t
expression of pure scientific curiosity. In this second
s application, very complex m odels may be e n t e r ­
= fU,OCR) (3) t a i n e d if a h i g h d e g r e e o f a c c u r a c y is r e q u i r e d ;
VO for e n g i n e e r i n g p u r p o s e s s i m p l i c i t y w ill be of
overriding importance.

* There are two reasons why simplicity is so

T h e s y m b o l su is p r e f e r r e d to t h e o n e r e c o m ­ important for an e ngineering model:
mended by ISSMFE and d efined as the cohesion
i n t e r c e p t in t e r m s of t o t a l s t r e s s c u ; t h i s is (i) the r e l e v a n t soil p r o p e r t i e s m ust be
b e c a u s e of p h i l o s o p h i c a l o b j e c t i o n s to the c o n ­ obtained from a relatively small number of
c ept of cohesion, alone, as a source of s t rength s i m p l e t e s t s (c a r r i e d o u t u s u a l l y in a
in a g r a n u l a r m a t e r i a l . c o m m e r c i a l l a b o r a t o r y ) or f r o m in si t u

2
 measurements. These tests are unlikely
to provide sufficient data for a highly
complex model because: (a) t h e i n t r i n s i c
a c c u r a c y of the tests may not be high, _ V_GWi-
d u e to p r o b l e m s s u c h as s a m p l e d i s t u r ­
bance; (b) a c o n s i d e r a b l e s c a t t e r m a y cttW'
exist between test results due to g e o ­
logical v a r i a t i o n s of the samples; and
(c) t h e b o u n d a r y c o n d i t i o n s o n t h e t e s t s (a) Bearing capacity (b) Slope stability
may not be sufficiently well controlled
to allow complete and unequivocal inter­
p r e t a t i o n of the tests.
(ii) T h e p r o c e d u r e fo r a n a l y s i s w h i c h m u s t be
u s e d ( s e e S e c t i o n 5) a r e f u l l y d e v e l o p e d
for o n l y a few simple types of c o n s t i t u ­
tive model. Att e m p t i n g to carry out
a n a l y s e s u s i n g c o m p l e x m o d e l s in elaborate
n u m e r i c a l p r o c e d u r e s is f r a u g h t w i t h
dangers of hidden inaccuracies, numerical
in s t a bilities, lack of uni q u e solut i o n s
T X Sand

and straightforward errors. / 1

/ \ clay
T h e p e n a l t y o f s i m p l i c i t y is o f c o u r s e r e s t r i c t e d
application. F o r i n s t a n c e , in t h e a n a l y s i s of
\
the s e d i m e n t a t i o n test used for o btaining
/ C c vc \
p a r t i c l e s i z e d i s t r i b u t i o n , e a c h p a r t i c l e is
i d e a l i s e d as a sphere of a p p r o p r i a t e size for
t h e p u r p o s e s o f a p p l y i n g S t o k e s ' L a w ( F i g . 1). (c) Pile deflection (d) Consolidation
T h i s v e r y s i m p l e a n d c r u d e m o d e l is a c o n v e n i e n t settlement
wa y of p r o v i d i n g an index of p a r t i c l e sizes, but
clearly w o u l d be useless for under s t a n d i n g the Fig.2 Typical design problems in g e o t e c h n i c a l
d e t a i l s of clay p a r t i c l e i n t e r a c t i o n s and van
engineering
der Waal's forces.

L i m i t a n a l y s i s is c o n c e r n e d o n l y w i t h e q u i l i

7** <p
^ G) Y
br i u m of soil masses, deals only with the weight
a n d s t r e n g t h of t he soil a nd t a k e s no a c c o u n t of
deformations. In c o n t r a s t , d e f o r m a t i o n analysis

0 91 disregards soil strength and deals only with

deformation and consolidation properties.
U s u a l l y the two sets of p r o p e r t i e s are divorced.

(Ijv G
T h e p r o p e r t i e s r e q u i r e d for limit a n a t y sis are.

41 (a) s o i l s t r e n g t h , e i t h e r e x p r e s s e d i n t e r m s o f
total or effective stresses,
su or ( c ' , 4 ')

Real Clay Idealisation

a n d (b) f o r s o m e c a s e s , t h e b u l k u n i t w e i g h t o f
soil and ground water conditions,
Fig.1 S i m p l e m o d e l u s e d in i n t e r p r e t a t i o n of
sedimentation test for particle size analysis y and G W L .

The properties required for deformation analysis

The second major requirement which will be made
o f a m o d e l is t h a t it s h o u l d in s o m e w a y r e f l e c t
the u n d e r l y i n g physi c a l proc e s s e s of the m e c h a ­
n ics of soils. In p a r t i c u l a r the p a r a m e t e r s
describing the soil should have a readily
i d e n t i f i a b l e p h y s i c a l s i g n i f i c a n c e (e.g. s h e a r
modulus or angle of internal friction) and not
be mere curve-fitting constants.
2.1.2 Properties required for engin e e r i n g
calculations
I t is u s e f u l t o s u m m a r i z e a t t h i s s t a g e t h e s o i l
p r o p e r t i e s wh i c h are required for r outine calcu
l a t i o n s in g e o t e c h n i c a l e n g i n e e r i n g . Some
t y p i c a l e x a m p l e s a r e s k e t c h e d i n F i g . 2. Con­
ventional c a lculations fall into two main
categories: (i) l i m i t a n a l y s i s , a n d (ii) d e f o r ­
mation analysis.
a re c o n v e n t i o n a l l y t h o s e u s e d in the t h e o r y of
e l a sticity, namely, two ou t of the four elastic
constants: Y o u n g ' s m o d u l u s E, P o i s s o n ' s r a t i o v,
s h e a r m o d u l u s G a n d b u l k m o d u l u s K. In m u c h
e n g i n e e r i n g p r a c t i c e t h e f i r s t p a i r (E,v) is
a d o p t e d , w h e r e a s t h e s e c o n d p a i r (G,K) i s m o r e
f u n d a m e n t a l m a t h e m a t i c a l l y b e c a u s e it s e p a r a t e s
pure shear from bulk behaviour.
It is e s s e n t i a l to d i s t i n g u i s h b e t w e e n u n d r a i n e d
a nd d r a i n e d b e h a v i o u r of soils, and w h e t h e r the
a n a l y s i s is in t e r m s of t o t a l or e f f e c t i v e
stresses. The relevant elastic pr o p e r t i e s are
e i t h e r (Eu , v u ) o r ( E ' , v ' ) .
For perf e c t l y e lastic soil, the value of the
s h e a r m o d u l u s is u n a f f e c t e d b y t h e d r a i n a g e c o n
ditions; this can be seen either from the
d e f i n i t i o n o f s h e a r m o d u l u s (as s h e a r s t r e s s
div i d e d by e n g i n e e r i n g shear strain) or by the

3
physical requirement that the water w ithin the
soil skele t o n has zero shear stiffness. Hence
the two pairs of e l a s t i c c o n s t a n t s are related
as follows:
2 (1 + v u ) Gu E G ' 2 (1 + v ' ) (5)
B e c ause of this c o n n e c t i o n b e t w e e n the c o n s t a n t s
it is p r e f e r a b l e to use the s h e a r m o d u l u s r a t h e r
t h a n Y o u n g ' s m o d u l u s and, w h e r e v e r p o s s i b l e , to
w o r k in t e r m s o f e f f e c t i v e s t r e s s e s u s i n g e i t h e r
pair,
(G,v ') or ( G ,K ') .
F o r c o n d i t i o n s o f n o v o l u m e c h a n g e \>u = i a n d
K u -*■o o . The first pair has the vir t u e that for
m o s t s o i l s i t i s r e a s o n a b l e t o t a k e v' a s
a p p r o x i m a t e l y c o n s t a n t , w h e r e a s b o t h G a n d K'
are f u n c t i o n s of the m ean e f f e c t i v e stress, and
a lso of the o v e r c o n s o l i d a t i o n ratio.
F o r s e t t l e m e n t p r o b l e m s in w h i c h c o n s o l i d a t i o n
o c c u r s it u s u s u a l t o r e p r e s e n t t h e c o m p r e s ­
sib i l i t y of the soil s k eleton by the coefficient
of v o lume change, or the c o m p r e s s i o n index,
mv or Cc
and the rate of conso l i d a t i o n by the coefficient
of c o n s o l i d a t i o n ,
I t is a r g u e d l a t e r (in S e c t i o n 3.2) t h a t these
properties should be abandoned in f a v o u r of
others.
In s p i t e of the r e l a t i v e l y s i m p l e c o n c e p t s
b e h i n d the above c h o i c e of prop e r t i e s , p r e c i s e
d e f i n i t i o n and a c c u r a t e m e a s u r e m e n t of them
prove not to be straightforward. T h e c a s e of
u n d r a i n e d s h e a r s t r e n g t h , f o r i n s t a n c e , is c o m ­
p l i c a t e d by the fact t hat d i f f e r e n t tests on
the same soil give rise to d i f f e r e n t values,
w h i c h i n t u r n is p a r t l y d u e t o i t s u n s a t i s ­
factory definition. The basic definition:
su = Hoj-Jj) (6 )
t h a t is, h a l f t h e d i f f e r e n c e b e t w e e n t h e m a j o r
a n d m i n o r p r i n c i p a l s t r e s s e s (or t h e r a d i u s o f
the l a r gest Moh r ' s circle), m a k e s no a l l o w a n c e
for the e f f e c t of the i n t e r m e d i a t e p r i n c i p a l
stress o 2 . This issue has b een t r e a t e d at
l e n g t h b y W r o t h (1984) i n h i s R a n k i n e L e c t u r e .
S i m i l a r l y , t h e p a r a m e t e r c', d e f i n e d as t h e
c o h e s i o n i n t e r c e p t in t e r m s of e f f e c t i v e
stresses, has long b e e n r e g a r d e d as an u n r e l i ­
able and highly variable property, wh i c h plays
a d o m i n a n t role in the ana l y s i s of p r o b l e m s of
slope stability. If, h o w e v e r , t h e i n t e r p r e ­
t a t i o n o f t e s t d a t a is m o d i f i e d s u b t l y in t h e
m a n n e r s u g g e s t e d by H v o r s l e v (1937), it is see n
t h a t c ' is a n e x p o n e n t i a l f u n c t i o n o f w a t e r
c o n t e n t w a n d is n o t a u n i q u e p r o p e r t y f o r a
given clay. T h i s p o i n t is d i s c u s s e d in
S e c t i o n 3.4.
T h e c o n s e q u e n c e of d e v e l o p i n g c o m p l e t e c o n s t i t u ­
tive relati o n s h i p s for de s c r i b i n g soil beha v i o u r
is t o e n c o m p a s s t h e t w o d i s c r e t e t y p e s o f a n a l y ­
s i s i n t o o n e s i n g l e f r a m e w o r k i n w h i c h s o i l is
m o d e l l e d a s d e f o r m i n g m o n o t o n i c a l l y (i n s o m e
n o n - l i n e a r manner) un t i l it r e aches some limit
state. T h i s m a y e n t a i l the s i m p l e l i n k i n g of
the p a r a m e t e r s s e p a r a t e l y u s e d in l i m i t and
4
deformation analyses to ensure that consistent
v a l u e s a r e a d o p t e d (e.g. b y m e a n s o f t h e
r i g i d i t y index Ir = G / s u ) . A l t e r n a t i v e l y , it
may mean the c r e a t i o n of new and more c omplex
m odels which will inevitably introduce new and
unfamiliar parameters. These parameters should
be e x p r e s s i b l e in p h y s i c a l terms, a nd be r e l a t e d
to the above simple properties.
2.1.3 Versatility and specialisation of soil
models
It is t e m p t i n g to s e e k a s i n g l e m o d e l w h i c h , by
adjusting certain parameters, would be a p p l i ­
cable to all soil types. B u t in fa c t su c h a
m odel w o u l d not fit the c r i t e r i a of s i m p l i c i t y
a b o v e a n d w o u l d b e s o c o m p l e x a s t o r e n d e r it
virtually useless. A s e n s i b l e a p p r o a c h is t o
have a set of m o d e l s e a c h d e s i g n e d to fulfil a
d i f f e r e n t purpose, and each c o n t aining the r e l e ­
v a n t f e atures for a p a r t i c u l a r soil. For
in s t a n c e , for so m e s o i l s u n d e r p a r t i c u l a r loading
c o n d i t i o n s it w ill be n e c e s s a r y to m o d e l a
residual strength c o n s i d e r a b l y lower than the
p e a k s t r e n g t h , b u t in m o s t c a s e s thi s w i l l not
be necessary.
D i f f e r e n t m o d e l s ma y be u sed for the same soil
b u t in d i f f e r e n t a n a l y s e s . Thus, for surface
loading, b e a r i n g c a p a c i t y c a l c u l a t i o n s ma y be
carried out using limit analysis requiring para­
m e t e r s c ' , <j>' a n d y ' , w h i l s t s e t t l e m e n t c a l c u ­
lations may be made using elasticity theory with
G a n d u'. It is u s e f u l , h o w e v e r , if t h e o r e t i c a l
m o d e l s for soils fit into a single co n s i s t e n t
framework, an d are not simply a series of ad hoc
theories for particular materials. W i t h i n that
f r a m e w o r k a m o d e l ma y be c h o s e n for each
application.
F or instance, in e l a s t i c i t y theo r y a w h o l e h i e r ­
a r c h y o f m o d e l s i s a v a i l a b l e , a s s h o w n i n F i g . 3.
T h e s i m p l e s t is a p e r f e c t l y e l a s t i c m o d e l , i.e.
an isotropic, linear, homogeneous material for
which many closed form solutions are available
in t h e l i t e r a t u r e (see, f o r e x a m p l e , P o u l o s a n d
Davis, 1974); t h i s w o u l d b e t h e f i r s t c h o i c e in
most cases. If a n i s o t r o p y is i m p o r t a n t (and
the n e c e s s a r y t e s t d a t a a r e a v a i l a b l e ) t h e n an
aniso t r o p i c model co u l d be used. Alternatively
a n o n - h o m o g e n e o u s m o d e l (e.g. m o d u l i i n c r e a s i n g
w i t h d e p t h ) o r a n o n - l i n e a r o n e (e.g. m o d u l i
increasing with pressure) could be chosen.
A l t h o u g h t h e y a r e a l l d i f f e r e n t , t h e r e is a
logical connection between such models and a
n a t u r a l p r o g r e s s i o n f r o m one to the next. In a
similar manner, certain plasticity models could
be pu t into c a t e gories.
2.1.4 The role of continuum mechanics
E n g i n e e r i n g p r o b l e m s are o f t e n fra m e d in terms
of boundary forces and displacements. I t is
n a t u r a l to s o l v e s u c h p r o b l e m s in t e r m s of
c o n t i n u u m m e c h a n i c s in w h i c h the m a t e r i a l
b e h a v i o u r is e x p r e s s e d in t e r m s of s t r e s s - s t r a i n
laws. T o g e t h e r w i t h the p r i n c i p l e s of e q u i ­
l i b r i u m a n d c o m p a t i b i l i t y it is t h e n p o s s i b l e
(at l e a s t i n p r i n c i p l e ) t o s o l v e f o r f o r c e s a n d
displacements. Continuum mechanics deals, how­
ever, w i t h a h y p o t h e t i c a l m a t e r i a l in w h i c h the
pr o p e r t i e s of the real, d i s c o n t i n u o u s , p a r t i ­
cu l a t e soil are s m o o t h e d ou t as a continuum.
Particle mechanics, on the other hand, deals
w i t h the i n t e r a c t i o n of i n d i vidual particles.
 Fig.3 H i e r a r c h y of ela s t i c m o d e l s for r e p r e s e n t i n g soil beha v i o u r
M a n y a t t e m p t s h a v e b e e n m a d e to s y n t h e s i s e
continuum mechanics behaviour from particle
m e c h a n i c s , b u t t h e g e n e r a l f o r m u l a t i o n is so
c o m p l e x t h a t a s o l u t i o n is p r e s e n t b e y o n d r e a c h .
P a r t i c l e m e c h a n i c s does, however, g iv e some
important information about material behaviour
w h i c h c a n b e f e d i n t o c o n t i n u u m m e c h a n i c s theory.
T h e s t u d y of r e g u l a r a r r a y s of s p h e r e s p l a y e d a
p a r t in t h e d e v e l o p m e n t o f s t r e s s d i l a t a n c y
t h e o r y (Rowe, 1962) a n d h a s r e c e n t l y b e e n
s t u d i e d e x t e n s i v e l y b y T h o r n t o n (1979). Statis­
tical m o d e l l i n g of con t a c t d i s t r i b u t i o n s has
g i v e n i n s i g h t i n t o p a r t i c l e s t r u c t u r e (Horne,
1965; O d a , 1 9 7 4 ) . Finally, and perhaps most
i n t e r e s t i n g l y , c o m p u t e r m o d e l l i n g of a s s e m b l i e s
of p a r t i c l e s m a y p r o v i d e a l i n k b e t w e e n p a r t i c l e
m e c h a n i c s and c o n t i n u u m m e c h a n i c s (Cundall and
S t r a c k , 1979; T h o r n t o n , 1983 ) .
T h e o t h e r a r e a w h e r e d i s c o n t i n u o u s b e h a v i o u r is
i m p o r t a n t is in t h e f o r m a t i o n o f s l i p s u r f a c e s
o r s h e a r b a n d s in s o i l s . These pose particular
p r o b l e m s in a n y a n a l y s i s in t e r m s o f c o n t i n u u m
m e c h a n i c s a n d a r e f u r t h e r d i s c u s s e d in
S e c t i o n 5.4.
In s p i t e o f t h e a b o v e c o m m e n t s t h e m a i n p a r t of
t h i s p a p e r w i l l b e in t e r m s o f c o n t i n u u m
mechanics.
2.2 Definition of parameters
2.2.1 Material constants and state variables
In m o d e l l i n g t h e b e h a v i o u r o f s o i l s a d i s t i n c ­
t i o n m u s t b e m a d e b e t w e e n v a r i o u s t y p e s of
a l g e b r a i c q u a n t i t i e s w h i c h a p p e a r in the
equations: (i) m a t e r i a l c o n s t a n t s w h i c h , a s
their name implies, are fundamental constants
w h i c h a p p e a r in the m o d e l s a n d d e f i n e the type
o f m a t e r i a l , a n d (ii) s t a t e v a r i a b l e s , w h i c h a r e
q u a n t i t i e s that v ary as the soil d e f o r m s and are
r e q u i r e d w i t h i n the m o d e l to d e f i n e the c u r r e n t
state of the material.
E x a m p l e s of m a t e r i a l c o n s t a n t s are shear m o dulus
for an e l a stic m a t e r i a l or the angle of f r iction
for a plastic material. A l t h o u g h t h e y m u s t be
t r e a t e d as c o n s t a n t in a n y o n e s t e p in a n u m e r i ­
cal calculation, this approach describes
m a t e r i a l b e h a v i o u r w h i c h may not apply to a real
s o i l (e.g. t h e r e a l s o i l m a y n o t b e h a v e a s a n
elastic material). Particular difficulties
a r i s e w h e n , in s t u d y i n g t h e b e h a v i o u r o f a soil,
th e v a r i a t i o n of a " c o n s t a n t " su c h as s h e a r
m o d u l u s is e x a m i n e d . If m o d u l i a r e t r e a t e d ,
for instance, as functions of stress then they
b e c o m e v a r i a b l e q u a n t i t i e s w h e n in a n o t h e r c o n ­
text they are fundamental constants.
S o m e s t a t e v a r i a b l e s (e.g. v o i d r a t i o ) m a y be
e a s i l y d e f i n e d a n d m e a s u r e d , w h i l s t o t h e r s (e.g.
preconsolidation pressure) may prove more diffi­
cult both to define and to measure. The
e f f e c t i v e s t r e s s e s a r e t h e m o s t i m p o r t a n t s e t of
state variables. It s h o u l d a l s o be n o t e d th a t
w h i l s t s t r e s s is a q u a n t i t y w h i c h c a n b e uniqu r i y
d e f i n e d i n d e p e n d e n t l y o f t h e o b s e r v e r , s t r a i n is
o n l y d e f i n e d in t e r m s of som e a r b i t r a r y datum.
2.2.2 Some historical comments
The h i s t o r y of the s u b ject of soil m e c h a n i c s has
meant that some quantities (usually those which
5
a p p e a r e d e a r l y in the his t o r y ) h a v e a c q u i r e d a These variables are carefully c h o s e n so that the
special s i g n i f i c a n c e and are r e g a r d e d as more input incr e m e n t a l w o r k can be e x p r e s s e d as :
"fundamental" than other parameters. Some of
t h e m m i g h t n o t n o w b e a d o p t e d if t h e s u b j e c t dW = p ’
dv+qde. (11)
were started again. F o r i n s t a n c e , the a n g l e of T hey are c l o s e l y r e l a t e d to the stress and
f r i c t i o n <J> i s o f t e n r e g a r d e d a s a f u n d a m e n t a l strain invariants, and also have a simple
p a r a m e t e r , b u t it s u f f e r s f r o m t he d r a w b a c k t h a t physical meaning. It is u n f o r t u n a t e th a t the
its d e f i n i t i o n takes no a c c o u n t of the i n t e r ­ M I T s c h o o l l a t e r u s e d t h e v a r i a b l e s p' a n d q
mediate principal stress o 2 . Recent work on with different definitions. W o o d (1984) g i v e s
the variation of strength with intermediate a useful d i s c u s s i o n of the a p p l i c a t i o n of d i f ­
s t r e s s r a t i o (Lade a n d D u n c a n , 1975; M a t s u o k a , ferent stress and strain variables and also
1 9 7 6 ) c a n b e i n t e r p r e t e d a s a v a r i a t i o n o f 4> suggests a consistent notation.
with high Lode angle. Matsuoka's work indi­
c a t e s t h a t t h e r e is a d i f f e r e n t f u n c t i o n o f the 2.2.4 Use of invariants
s t r e s s e s a t f a i l u r e w h i c h is " m o r e f u n d a m e n t a l "
Stresses and strains are both symmetric second
than that related to .
o r d e r t e n s o r s w h i c h r e q u i r e six q u a n t i t i e s to
T h e i n d e x t e s t s w o u l d p r o b a b l y be d e f i n e d in a define them completely. V i s u a l i s i n g s u c h an
d i f f e r e n t w a y if t h e s u b j e c t w e r e s t a r t e d a n e w , e n t i t y is v e r y d i f f i c u l t , a nd a u s e f u l s i m p l i ­
fic a t i o n can be m ade by m a k i n g use of the
but they form a valuable part of soil mechanics
knowledge and e x p e rience and mus t be accepted i n v a riants of the tensors. O n e p o s s i b l e s e t of
as t h e y are, in s p i t e of t h e i r d e f i c i e n c i e s . i n v a r i a n t s c o n s i s t s of the three prin c i p a l
v a l u e s o f t h e t e n s o r s , e . g . o 1( a 2 , a 3 f o r
O n t h e o t h e r h a n d , t h e u s e o f t h e p a r a m e t e r <(iu
should be a b a n d o n e d p e r m a n e n t l y since it leads s t r e s s e s , b u t it is a l s o c o n v e n i e n t t o m a k e u s e
t o a n e r r o n e o u s i n t e r p r e t a t i o n o f s h e a r t e s t s in of t he i n v a r i a n t s d e f i n e d (for e f f e c t i v e
stresses) as follows:
which the total stresses are rel a t e d to f r i c ­
tional behaviour. 11 = (1 2 )

There are other cases w h e r e the a d o p t i o n of a 1 2 = a 2 a 3 + a 3 0 i + a i°2 < 1 3 >

new para mete r mi ght be advantageous. For 13 = a 1 a 2a 3 d4)

e x a m p l e , t h e v o i d r a t i o e is s u p e r i o r t o t h e
w a t e r c o n t e n t w, s i n c e e i t h e r f u l l y d r y o r fully The invariants provide a convenient and concise
s a t u r a t e d sands at the same void r a t i o w o u l d be w a y of e x p r e s s i n g c o n s t i t u t i v e laws, but their
e x p e c t e d t o b e h a v e in t h e s a m e w a y , a l t h o u g h use also has some drawbacks. T h e f i r s t is t h e
their water contents are very different. In d i s a d v a n t a g e in u s i n g a n y d e r i v e d q u a n t i t y - its
a n a l y s i s o f s o i l s i t is f o u n d t h a t t h e q u a n t i t y physical significance may not be obvious. More
1 +e o f t e n a p p e a r s , a n d i t c a n b e a n a d v a n t a g e i m p o r t a n t is t h a t the u s e of i n v a r i a n t s o b s c u r e s
to use the s p ecific v o l u m e V = 1+ e . all information about dire c t i o n of principal
str e s s e s an d strains, so t hat no i n f o r m a t i o n or
A n o t h e r e x a m p l e is t h e o v e r c o n s o l i d a t i o n r a t i o , a n a l y s i s o f a n i s o t r o p y is p o s s i b l e in t e r m s of
invariants.
c o n v e n t i o n a l l y e x p r e s s e d in terms of ver t i c a l
stresses, but for m odern e l a stic-plastic soil
2.3 The multi-phase nature of soil
m o d e l s p e r h a p s b e t t e r e x p r e s s e d in t e r m s of m e a n
stresses. Furthe r m o r e , the d e f i n i t i o n of OC R 2.3.1 Effective stress
as o ^ n a x / d v r e s u l t s in a p a r a m e t e r w h i c h r a t h e r
inconveniently varies from 1 too . A better The principle of effective stress, which needs
n o e x p l a n a t i o n h e r e , is t h e s i n g l e m o s t i m p o r t a n t
d e f i n i t i o n w o u l d b e °v/,° '%iax R C 0 ? ) w h i c h is
bounded between 1 and 0 . c o n c e p t in soil m e c h a n i c s . It m a y be seen as a
special c ase of m i x t u r e theory, in w h i c h one
2.2.3 Choice of stress and strain variables c o m p o n e n t of t h e m i x t u r e (the fluid) c a n t a k e no
shear stress. The principle arises directly
T h r o u g h o u t this pa p e r the c o n v e n t i o n of c o m p r e s ­ from the m u l t i - p h a s e nature of the soil and has
sive s tresses an d s t r ains b e i n g p o s i t i v e w ill be an exceptionally sound experimental basis. The
u s e d (in s p i t e o f t h e o p p o s i t e c o n v e n t i o n m o r e t h e o r e t i c a l r e a sons as to w h y the p r i n c i p l e
u s u a l in c o n t i n u u m m e c h a n i c s ) . The g e o m e t r y of w o r k s are less e asy to a p p r eciate, but are
t h e p r o b l e m b e i n g s o l v e d w i l l d e t e r m i n e w h i c h is e x p l a i n e d a t a p a r t i c u l a t e l e v e l b y B i s h o p (1959).
the m o s t c o n v e n i e n t c o - o r d i n a t e s y s t e m to use - H o u l s b y (1979) p r o v i d e s j u s t i f i c a t i o n f o r t h e
usually Cartesian or cylindrical, occasionally principle from the continuum mechanics viewpoint.
spherical.
2.3.2 Consolidation
I n a d d i t i o n , i n t h e a n a l y s i s o f p r o b l e m s , i t is
c o n venient to use c e r tain derived quantities. T h e p h e n o m e n o n of c o n s o l i d a t i o n is the p r i m a r y
Triaxial test data, for instance, are best c a u s e of t i m e - d e p e n d e n t e f f e c t s in fine g r a i n e d
m a t e r i a l s a n d is e n t i r e l y d u e t o t h e t w o p h a s e
e x p r e s s e d in terms of the e f f e c t i v e stress
n atu r e of the soil. T h e f a m i l i a r e q u a t i o n s of
variables:
c o n s o l i d a t i o n the o r y arise from:
p' = (o{+2a')/3 (7)
(i) the equations for equilibrium,
q = aJ-Oj (8 )
(ii) the stress-strain b e haviour of the soil
d e f i n e d b y R o s c o e e t al. (1958). Corresponding skeleton,
to these stress v a r i a b l e s are the strain
(iii) the v i s c o u s f l o w of the pore fluid
variables:
(assuming Darcy's Law), and
v = £! + 2£ j (9)
(iv) the c o m p a t i b i l i t y e q u a t i o n s for the
e = 2 ( e 1 - e 3)/3. (10) c o n s e r v a t i o n of vol u m e of p a r t i c l e s and
pore fluid.

6
For small strains the resu l t i n g equa t i o n s are
s i m ilar to those for heat transfer; recently
the p r o b l e m of large s t r a i n c o n s o l i d a t i o n
(sometimes wit h non - l i n e a r soil skeleton
b e h a v i o u r ) , in w h i c h t h e e q u a t i o n s a r e r a t h e r
more complex, has received considerable att e n ­
t i o n (e.a. G i b s o n e t a l . , 1 967; Lee and Sills,
1979; Schiffman, 1980). Equally important
may be the de v i a t i o n s f rom Dar c y ' s L a w for the
fluid flow, a l t h o u g h this seems to have
received less attention.
I t is n o t p o s s i b l e t o g i v e f u r t h e r a t t e n t i o n to
c o n s o l i d a t i o n a n d f l o w p r o b l e m s in s o i l s in
this paper, a l t h o u g h some a s p e c t s of c o n s o l i ­
d a t i o n a n a l y s i s a r e d i s c u s s e d i n S e c t i o n 5.3.1.4.
2.3.3 Unsaturated soils
compressible. If, h o w e v e r , t h e g a s b u b b l e s a r e
considerably larger than typical particles, then
b o t h p o r e - w a t e r a n d g a s p r e s s u r e s (if t h e l a t t e r
can be determined) are probably relevant. This
t y p e o f m a t e r i a l is o f i n c r e a s i n g i m p o r t a n c e a s
it is f r e q u e n t l y e n c o u n t e r e d in o f f s h o r e f o u n ­
dation engineering.
C a s e (b) i s t h e m o s t c o m p l e x , w i t h b o t h p o r e -
water and gas pressures being relevant. In
addition there must be an important contribution
to the e f f e c t i v e stress a r i s i n g f rom the surface
tension at the g a s-water interface. The simple
a p p r o a c h s u g g e s t e d by B i s h o p (1959) a n d S k e m p t o n
( 1 9 6 0 ) f o r d e a l i n g w i t h u n s a t u r a t e d m a t e r i a l s is
no w superseded, w i t h this type of ma t e r i a l
c u r r e n t l y b e s t u n d e r s t o o d b y t h e a p p r o a c h of
M a t y a s a n d R h a d a k r i s h n a ( 1 9 6 8 ) a n d F r e d l u n d (1979).

In m any soil m e c h a n i c s p r o blems the soil may be In th e t h i r d c a s e of "damp" s o i l s c l e a r l y the

d e s c r i b e d a s a t w o —p h a s e m a t e r i a l , e i t h e r p o r e g a s p r e s s u r e is s i g n i f i c a n t , a n d a m a j o r
p a r t i c l e s a n d g a s (oft en air) o r p a r t i c l e s an d c o n t r i b u t i o n to the e f f e c t i v e stress will arise
w a ter, b u t in so m e a p p l i c a t i o n s a t h r e e - p h a s e from surface tension. L i t t l e w o r k s e e m s to
soil (particles, gas and water) must be c o n ­ h a v e b e e n d o n e in th i s area, b u t it m a y be
sidered. I t is g e n e r a l l y b e l i e v e d t h a t t h e p o s s i b l e to e x p r e s s t he s u r f a c e t e n s i o n t e r m as
e f f e c t i v e s t r e s s - s t r a i n b e h a v i o u r of the a (highly non-linear) f u nction of w a t e r content.
u n s a t u r a t e d soil w i l l be s i m ilar to that of the
d r y o r s a t u r a t e d s o i l , a n d t h e m a i n p r o b l e m is 2.4 Definitions of types of m a t e r i a l behaviour
in e s t a b l i s h i n g the value of the e q u i v a l e n t
Dore p r e s s u r e and, hence, the m ean e f f e c t i v e 2.4.1 Introduction to types of b e h a v i o u r
stress. It is u s e f u l a t t h i s s t a g e t o d i s t i n ­ W i t h i n t h e f r a m e w o r k o f c o n t i n u u m m e c h a n i c s there
g u i s h b e t w e e n three d i f f e r e n t types of u n s a t u ­ are several d i f f e r e n t g r o u p s of the o r i e s for
r a t e d s o i l (see, f o r e x a m p l e , B i s h o p , 1 9 5 9 ) , as material behaviour. Th e b e h a v i o u r of the soil
i l l u s t r a t e d i n F i g . 4: s k e l e t o n is l a r g e l y r a t e i n d e p e n d e n t (but see
(a) aqueous phase continuous, gaseous phase S e c t i o n 2 . 4 . 6 ) , a n d is r e c o g n i s e d as b e i n g highly
d i s c o n t i n u o u s ("gassy" soil), S r > 85% say non-linear. The main approaches which have
(Sparkes, 1963; N a g eswaran, 1983), b e e n c o n s i d e r e d for the d e s c r i p t i o n of the no n -
linearity are non-linear elasticity, elastic-
(b) aqueous and gaseous phases both continuous, plastic theory and endochronic theory. The
and chief difference between the three frameworks
(c) aqueous phase discontinuous, gaseous phase lies in the type of b e h a v i o u r p r e d i c t e d on a
c o n t i n u o u s ("damp" soil), S r < 50% say s m a l l u n l o a d i n g - r e l o a d i n g c y c l e , a n d is i l l u s ­
trated for a o n e - d i m e n s i o n a l test for the three
(Barden, 1965).
c a s e s i n F i g . 5. In each case the sample passes
In t h e f i r s t c a s e t h e p o r e w a t e r p r e s s u r e is through the history ABCDE.
important, and the e f f e c t i v e stress m a y be
e x p r e s s e d in the usual way as d e f i n e d for s a t u ­ I n n o n - l i n e a r e l a s t i c i t y ( F i g . 5 (a)) t h e s a m p l e
rated soils, prov i d e d that the gas bubbles are simply retraces without hysteresis the loading
much smaller than a typical particle dimension. p ath on unloading, and r e t urns up it on
T h e p r i n c i p a l e f f e c t of u n s a t u r a t i o n in this reloading. T h i s is q u i t e u n r e a l i s t i c f o r s o i l s
c a s e is in m a k i n g t h e p o r e f l u i d m o r e and, indeed, there are no r e asons to e x p e c t n o n ­
linear e l a s t i c i t y theory to be a useful f r a m e ­
work for soil behaviour. Some highly complex
hypo-elastic soil models have been proposed with
very little success.

In e l a s t i c - p l a s t i c th e o r y (Fig.5(b)) the sample

unloads with a stiffer response than on loading,
and on relo a d i n g returns up the unlo a d i n g line
u n t i l i t r e a c h e s p o i n t D, t h e n c o n t i n u e s o n t h e
initial loading curve. This represents most
c l o s e l y the b e h a v i o u r of soil, and the e lastic-
p l a s t i c f r a m e w o r k for soil b e h a v i o u r w i l l be
u s e d t h r o u g h o u t the rest of this paper. It
should be mentioned that elastic-plastic theory
h a s a v e r y s o u n d t h e o r e t i c a l b a s i s , it is w e l l
p r o v e n in a p p l i c a t i o n t o o t h e r m a t e r i a l s ( p a r t i ­
Continuous gas Continuous gas Discontinuous gas cularly ductile crystalline m e t a l s ) , and there
Discontinuous water Continuous water Continuous w a ter a re g o o d r e a s o n s to e x p e c t soil to b e h a v e in a
manner predicted by this framework. In f a i r ­
Solid n ess it sho u l d be a d m i t t e d that rather c o mplex
G as I W ater particle e l a s t i c - p l a s t i c t heories are n e c e s s a r y to fit
some a s p e c t s of soil behaviour.
F i g .4 Idealised representation of p a r t l y
saturated soil Endochronic theory (Fig.5(c)) differs from

7
 r e s t r i c t i o n as h y p o - e l a s t i c , e l a s t i c and h y p e r ­
e l a s t i c (see F u n g , 1 9 6 5 ) . T h e s t r e s s e s in a
h y p e r - e l a s t i c m a t e r i a l ma y be o b t a i n e d by d i f ­
f e r e n t i a t i n g a n e l a s t i c p o t e n t i a l U:
3U (15)
E ij 3a! .
ID
w h e r e U is a f u n c t i o n o f s t r e s s . O nly the
h y p e r - e l a s t i c m a t e r i a l is g u a r a n t e e d t o b e h a v e
in a w a y w h i c h w i l l n o t v i o l a t e the la w s of
thermodynamics.

For an e l a s t i c m a t e r i a l the p o t e n t i a l fu n c t i o n
may not exist, b u t it is p o s s i b l e to w r i t e :
= d ..... o,', (16)
*1 D ljkl kl

(C)
Fig.5 T y p e s of i d e a l i s e d b e h a v i o u r in a s mall
cycle of o n e - d i m e n s i o n a l u n l o a d i n g and r e l o a d i n g
e l a s t i c - p l a s t i c t h e o r y in t h a t on r e l o a d i n g the
soil shows a lower stiff n e s s (equal to the
loading rather than the unloading s t i f f n e s s ) .
S o m e h y p o - e l a s t i c m o d e l s a l s o s h o w t h i s t y p e of
response. T h i s t y p e o f b e h a v i o u r is n o t in
a cco r d wit h e x p e r i m e n t a l e v i d e n c e for soils.
is p o s s i b l e t o m o d i f y e n d o c h r o n i c t h e o r y t o
f o r c e the type of b e h a v i o u r in F i g . 5 ( b ) , b u t the
resulting mode l s are rather clumsy. Endo­
c h r o n i c t h e o r y d o e s h a v e c e r t a i n a d v a n t a g e s in
t h a t it g i v e s s m o o t h t r a n s i t i o n s b e t w e e n t y p e s
o f b e h a v i o u r ( as o p p o s e d t o t h e s u d d e n c h a n g e s
in e l a s t i c - p l a s t i c the o r y ) , b u t in s p i t e of
e n t h u s i a s t i c s u p p o r t f r o m i t s e x p o n e n t s it is
not judged to have bee n developed sufficiently
to be as a p p l i c a b l e to soils as p l a s t i c i t y
theory. In p a r t i c u l a r , its t h e o r e t i c a l b a s i s
is l e s s w e l l e s t a b l i s h e d a n d t h e r e is a l a c k of
simple basic m o dels w ithin the theory.
2.4.2 Elasticity
The first stage of d e v e l o p i n g an ela s t i c -
p l a s t i c t h e o r y is t o e s t a b l i s h t h e e l a s t i c
b e h a v i o u r of the soil. Within a certain
region of stress space the soil ma y be d e s c r i b e d
by elasticity theory. Th r e e types of elasticity
t h e o r y a r e d e f i n e d in i n c r e a s i n g o r d e r of
where is a l s o a f u n c t i o n o f s t r e s s .
F i n a l l y , f o r a h y p o - e l a s t i c m a t e r i a l i t is o n l y
n e c e s s a r y to be able to write:
c . , do,' . (17)
d e ij ljkl kl
where c. , is a function of stress,
ljkl
W h e n d e r i v i n g e l a s t i c p a r a m e t e r s f o r s o i l s it
is c o m m o n to o b t a i n c o r r e l a t i o n s f or the v a r i ­
ation of incremental moduli wit h stress, thus
e s t a b l i s h i n g the c o m p o n e n t s of the inc r e m e n t a l
f l e x i b i l i t y m a t r i x c i;jk i f o r t h e h y p o - e l a s t i c
model, e.g. for a sand bot h bul k and shear
m o d u l i ma y be e x p r e s s e d as p o w e r f u n c t i o n s of
the mean effective stress. It should be noted
as a c a u t i o n that this r e s ults in a m o d e l w h i c h
is t w o s t a g e s r e m o v e d f r o m t h e c l a s s o f h y p e v —
e l a s t i c m o d e l s w h i c h a r e k n o w n to b e h a v e in a
thermod y n a m i c a l l y sensible way. In particular,
it is e a s y to c o n s t r u c t h y p o - e l a s t i c la w s w h i c h
"create" energy continuously for certain cyclic
stress paths. F o r i n s t a n c e , if t h e s h e a r
m o d u l u s is m a d e a f u n c t i o n of t h e m e a n e f f e c t i v e
stress a non-conservative model results
( Z y t y n s k i e t a l ., 1 9 7 8 ; Houlsby, 1985). C l e a r l y
such m odels wo u l d lead to erroneous results,
e s p e c i a l l y if a p p l i e d t o a r e p e a t e d l o a d i n g
problem.
A hierarchy of elastic m odels has already been
p r e s e n t e d i n F i g . 3. Starting from the simple
isotropic, linear homogeneous model various
d e g r e e s of s o p h i s t i c a t i o n ma y be added. For
soils no higher degree of anisotropy than
o r t h o t r o p y (with a v e r t i c a l axis of symmetry)
should be necessary, but even this requires
It
five constants wh i c h may be diff i c u l t to d e t e r ­
mine. A slightly simpler three constant
a n i s o t r o p i c m o d e l is p r e s e n t e d by G r a h a m a nd
H o u l s b y (1983), a n d t h i s m o d e l a l l o w s the L o d g e
(1955) t r a n s f o r m a t i o n t e c h n i q u e t o b e u s e d (see
Section 5.2.1). Non-linearity and inhomo­
g e n e i t y c o u l d be i n t r o d u c e d as a l t e r n a t i v e w a y s
to e x p r e s s the i n crease of the m o d u l i w ith
e f fective stress level, and there should be no
n e e d to i n t r o d u c e b o t h in t h e s a m e m o d e l . Some
results of using inhomogeneous models are
d i s c u s s e d in S e c t i o n 5.2.1.
2.4.3 Elastic-plastic behaviour
In an e l a s t i c - p l a s t i c m o d e l it is a s s u m e d t h a t
the r e g i o n in s t r e s s s p a c e f or w h i c h the soil
b e h a v i o u r c a n b e d e s c r i b e d b y a n e l a s t i c l a w is
bounded by a "yield surface". A classic
e x a m p l e o f a y i e l d s u r f a c e is t h e v o n M i s e s
e x p r e s s i o n w h i c h is u s e d f o r m e t a l s , a n d is a l s o
applicable to undr ain ed clays. Another example

8
 t h e s t a g e a t w h i c h t h e r e is a m a r k e d c h a n g e in
the local (incremental) stiffness - typically
by an o r d e r of magnitude.

Th e e q u a t i o n of the y i e l d locus is u s u a l l y
e x p r e s s e d in the form:

F ( o l j ' E k l ’)
= 0 . (19)

I f t h e t e r m s i n ejjf* a r e p r e s e n t t h e n t h e m o d e l
is s a i d t o b e w o r k h a r d e n i n g , a n d t h e s i z e (and
p o s s i b l y shape) of t h e y i e l d l o c u s c h a n g e s as
plastic deformation proceeds. The Modified
C a m - C l a y y i e l d s u r f a c e is f o r i n s t a n c e g i v e n by
the ellipse:
q !-M! ( p ^ ' - p ,!) = 0 (20)
Fig.6 D e f i nition of yield surface in e f f e c t i v e where M is a constant, and p£ is a f u n c t i o n of
stress space
v o l u m e t r i c p l a s t i c s t r a i n v (P* only, w h i c h
c o n t r o l s the d e g r e e of w o r k h a r d e n i n g that
occurs.

is t h e " M o d i f i e d C a m - C l a y " surface shown in If t h e y i e l d s u r f a c e is a f u n c t i o n o f s t r e s s

F i g . 6 (Roscoe and Burland, 1968). only, t h e n t he m o d e l is s a i d to be p e r f e c t l y
plastic, and the yield surface remains fixed in
A s a m p l e l o a d e d a l o n g A B C in F i g . 6 w o u l d e x p e r i ­ stress space.
ence elastic strains only for the section AB and
after yield occurs at B wo u l d experience both In o r d e r to c a l c u l a t e the p l a s t i c s t r a i n s some
elastic and plastic strains. The total strain f u r t h e r i n f o r m a t i o n is r e q u i r e d to s p e c i f y the
i n c r e m e n t is t h e n m a d e u p f r o m t w o c o m p o n e n t s . ratio b e t w e e n the v a r i o u s c o m p o n e n t s of p l a s t i c
strain increment. T h i s is u s u a l l y a c h i e v e d b y
d e f i n i n g the p l a s t i c s t r a i n i n c r e m e n t s to be
de = dc ■( e ) +d e !P ) (18) n o r m a l t o a p l a s t i c p o t e n t i a l G in s t r e s s s p a c e
ID ID
( s e e F i g . 7) . In this p lot each c o m p o n e n t of
where d e l(e)
? is the e l a s t i c s t r a i n i n c r e m e n t as p l a s t i c s t r a i n i n c r e m e n t is p l o t t e d in the same
-1 (p) ■ d i r e c t i o n as the e q u i v a l e n t stress c o m p o n e n t
d e s c r i b e d in t h e p r e v i o u s s e c t i o n a n d d e ^ is (where the scales m u s t be c h o s e n c o n s i s t e n t l y ) .
an additional plastic strain increment. During M a t h e m a t i c a l l y t h i s is e x p r e s s e d as:
p l a s t i c d e f o r m a t i o n t h e s t r e s s p o i n t is c o n ­
s t r a i n e d t o l i e o n t h e y i e l d s u r f a c e , w h i c h in . <P) . = 0 (2 1 )
this case must expand. On u n l o a d i n g f rom C to I D - 'k l
A' e l a s t i c s t r a i n s o n l y o c c u r , a n d o n r e l o a d i n g . (p) (2 2 )
t h e e l a s t i c p a t h i s r e t r a c e d t o C, a t w h i c h 'ij
stage yield again occurs. Note that the yield ij
d o e s n o t o c c u r at a u n i q u e c o m b i n a t i o n of w h e r e A is a p o s i t i v e m u l t i p l i e r . T h e r e is a n
stresses, but depends on the precise stress i m p o r t a n t s p e c i a l c l a s s of m o d e l s for w h i c h the
h i s tory e x p e r ienced by the sample. In terms of f u n c t i o n s F a n d G a re i d e n t i c a l , in w h i c h the
s t r e s s - s t r a i n r e l a t i onships, y i e l d m a r k s the p l a s t i c i t y is sa i d to be " a s s o c i a t e d " . This
simplifies the mathematics considerably and
leads to i m p o r t a n t results, for instance, to the
<r2V t e ‘ p) proof of the uniqueness of solutions. For
f u rther d e t a i l s on e l a s t i c - p l a s t i c theory the
r e a d e r is r e f e r r e d t o a n y o f s e v e r a l u s e f u l
Plastic strain t e x t s , e . g H i l l (1950) o r C a l l a d i n e (1969).
increment vector Yield surface
Several models based on elastic-plastic theory
w ill be m e n t i o n e d in the n e x t sections. Some
o'f t h e s e m o d e l s d e p a r t c o n s i d e r a b l y f r o m t h e
simple frame w o r k d e s c r i b e d here, us i n g for
instance multiple yi e l d loci or "bounding sur­
face" methods which al l o w a smooth transition
f rom e l a stic to p l astic behaviour.

2.4.4 Perfect plasticity

If a p r o b l e m is m a i n l y c o n c e r n e d w i t h s o i l w h i c h
has u n d e r g o n e large p l a s t i c strains, so t hat the
elastic strains become negligible, then a rigid-
plastic model may be sufficient. At such large
strains no further work hardening will be taking
p l a c e a n d so the m o d e l m a y be f u r t h e r r e d u c e d to
CT,',de|p)
perfect plasticity. Such rigid, perfectly
p l a s t i c m o d e l s for soils are f r e q uently used for
D e f i n i t i o n of p l a s t i c p o t e n t i a l in failure calculations, and there are special
F i g .7
effective stress space a n a l y t i c a l t e c h n i q u e s a p p r o p r i a t e t o t h e m (see

9
Section 5.2.3). It is u s e f u l f o r t h e p e r ­
fectly p l a s t i c m o d e l s not to be seen as a
se parate class of theories, b ut simply as a
l i miting case of the e l a s t i c - p l a s t i c theories.
2.4.5 Failure
T h e t e r m " f a i l u r e " is o f t e n m i s u s e d i n s o i l
m e c h a n i c s a n d , in p a r t i c u l a r , it is i m p o r t a n t
that "failure" and "yield" are not confused.
A f a i l u r e s u r f a c e in s t r e s s space for a soil
c a n n o t b e d e f i n e d in t h e s a m e w a y a s a y i e l d
s u r f a c e s i n c e t h e r e is n o u n i q u e w a y o f
defining failure. In a single m o n o t o n i c test
a f a i l u r e p o i n t m a y be d e f i n e d as a p o i n t of
m a x i m u m shear stress or m a x i m u m stress ratio,
b u t in g e n eral a failure surface for a mat e r i a l
h as no u n i q u e m e a n i n g in the sa m e s e n s e as a
yield surface. O n l y in the s p e c i a l c a s e of
p e r f e c t plasticity, in wh i c h the y i e l d surface
is f i x e d , c a n t h e t e r m s " y i e l d " a n d " f a i l u r e "
be reg a r d e d as e q u i v a l e n t for a material.
F a i l u r e of a m a t e r i a l m u s t a l s o b e d i s t i n g u i s h e d
from failure of a system. For instance, under
a h i g h l y l o a d e d f o o t i n g t h e r e m a y be r e g i o n s of
s o i l w h i c h h a v e y i e l d e d a n d , i f t h e s o i l is
r e g a r d e d as p e r f e c t l y p l a s t i c , t h e y m a y e v e n be
said to have failed. If, h o w e v e r , t h e s e
r e g i o n s of soil a re r e t a i n e d b y u n y i e l d i n g
material then the footing itself will not have
failed.
2.4.6 Time-dependent effects
The p r i m a r y cause of t i m e - d e p e n d e n t b e h a v i o u r
in s o i l s is t h e p h e n o m e n o n o f c o n s o l i d a t i o n .
A s d i s c u s s e d a b o v e t h i s is n o t d u e t o a n y
i ntrinsic r a t e - d e p e n d e n c e of the soil skeleton,
b u t an i n t e r a c t i o n b e t w e e n the v i s c o u s f l o w of
the pore fluid and the b alance laws for c o n s e r ­
v a t i o n of volu m e for the pore fluid and soil
particles. T h e r e are, ho w ever, o t h e r time-
d e p e n d e n t f e a t u r e s of the b e h a v i o u r of soils,
e s p e c i a l l y c l a y s , s u c h a s c r e e p (o r s e c o n d a r y
consolidation) and the increase of shear
str e n g t h w i t h strain rate.
Such phenomena are e x plained by a slight rate
d e p e n d e n c e of the b e h a v i o u r of the soil s k e l e ­
ton, w i t h the e f f e c t s b e i n g r e l a t i v e l y small
(e.g. 5- 1 0 % i n c r e a s e o f s h e a r s t r e n g t h f o r a
tenfold increase of strain rate (Richardson and
Whitman, 1963)). Various empirical relations
have been obtained for time-dependent phenomena
but the m o s t su c c e s s f u l theory to e x p l a i n them
is t h r o u g h R a t e P r o c e s s T h e o r y ( M i t c h e l l , 1976).
This deals with thermally activated processes
and explains many of the t i me-dependent p h e n o ­
m e n a in clay s , i n c l u d i n g the a p p r o x i m a t e
d e p e n d e n c e on the l o g a r i t h m of the s t r a i n rate.
Further experimental data will be required
before the full picture can be understood and
the framework of r a t e -independent theories
m o d i f i e d t o a c c o u n t f o r t h e s e p r o c e s s e s (in
cases where they are impo r t a n t ) . Time-
d e p e n d e n t b e h a v i o u r of the soil s k e l e t o n c a n n o t
b e d i s c u s s e d f u r t h e r in t h i s p a p e r (but s e e
c o m m e n t s o n t h e s i z e of y i e l d s u r f a c e s in
S e c t i o n 3.10) .
2.5 Measurement of soil properties
2.5.1 Ideal testing conditions
Before examining the realities of soil testing
i t is w o r t h c o n s i d e r i n g w h a t s h o u l d b e regarded
10
as ideal soil t e s ting conditions. In this
s e c t i o n m o d e l t e s t i n g is n o t c o n s i d e r e d , b u t
o nly those tests on single e l e m e n t s of soil
wh i c h are used for soil characterization.
Firstly, for an ideal test, the soil sample
should be r e m o v e d f rom the ground, transported,
s t o r e d a n d t h e n se t u p in t he l a b o r a t o r y , all
w i t h n o d i s t u r b a n c e or c h a n g e s in s t r e s s a c t i n g
on the sample. C l e a r l y t h i s is n e v e r a c h i e v e d ,
a l t h o u g h m o d e r n sa m p l i n g t e c h n i q u e s a t t e m p t to
minimise dusturbance. In v i e w of the i m p o r ­
tance of the problem, a s t o n i s h i n g l y little work
has b e e n d one on the p r o b l e m of t r a n s f e r r i n g a
sample to a t e s t i n g a p p a r a t u s w i t h o u t r e l i e v i n g
the total stresses. Sampling tubes provide a
radial restraint, but only Ohta (private c o m m u ­
n i c a t i o n , 1974) h a s d e v e l o p e d a d e v i c e w h i c h
also restrains the sample axially. For clay
s a m p l e s c o n s i d e r a b l e f a i t h is u s u a l l y p l a c e d on
the a b i l i t y of a s u c t i o n w i t h i n the sample to
m a i n t a i n the e f f e c t i v e st r e s s e s as the sample
is p r e p a r e d for t e s t i n g ; in practice large
c h a n g e s of e f f e c t i v e stress in e v i t a b l y occur
(Kirkpatrick, 1981).
T h e s a m p l e s h o u l d t h e n be s u b j e c t e d in the t e s t
t o a u n i f o r m st r e s s , a n d w h e n it d e f o r m s s h o u l d
d o so as a s i n g l e h o m o g e n e o u s e l e m e n t . Stresses,
st r ains and pore p r e s s u r e (which sho u l d a l s o be
u n i f o r m t h r o u g h o u t the sample) s h o u l d be
measured accurately. T h e r a t e o f t e s t i n g is
t h e r e f o r e i m p o r t a n t in d r a i n e d t e s t i n g of fine
g r a i n e d m a t e r i a l s in o r d e r t o g i v e a d e q u a t e
e q u a l i s a t i o n of pore pressures. C a r t e r (1 9 8 2 )
p r e sents cal c u l a t i o n s w h i c h demon s t r a t e h o w the
limits of very fast an d very s low testing
approach ideal undrained and drained conditions,
respectively.
2.5.2 Departures from the ideal in la b o r a t o r y
tests
In p r a c t i c e the a b o v e id e al s are n e v e r a c h i e v e d
and, in a d d i t i o n to t he p r o b l e m s of i n s t r u m e n ­
tation and a c c u r a c y of m e a s u r e m e n t c o m m o n to all
scientific investigations, the following p r o b ­
lems apply p a r ticularly to soil testing.
In s o m e soil tests, fo r i n s t a n c e the shear box,
n o a t t e m p t is m a d e t o s u b j e c t t h e s a m p l e to
u n i f o r m s t r a i n i n g a n d t h e s a m p l e d e f o r m s in a
grossly non-homogeneous manner. In o t h e r s ,
such as the simple shear apparatus (Roscoe,
1 9 5 3 ) , a n a t t e m p t is m a d e t o o b t a i n u n i f o r m
deformation, but the b o u n d a r y con d i t i o n s (rough
h o r i z o n t a l f a c e s a n d s m o o t h v e r t i c a l f a c e s in
the apparatus) ensure that n o n - u niform stresses
m u s t o c c u r w i t h i n t h e s a m p l e ( W o o d e t a l . , 1979).
In c o n v e n t i o n a l t r i a x i a l t e s t i n g a t r u l y u n i f o r m
sample would be possible only under conditions
of perfect lubrication to the top and b ottom
faces.
A s e c o n d s o u r c e o f n o n - h o m o g e n e i t y is t h e c o n ­
s o l i d a t i o n h i s t o r y of the sample. In o r d e r to
c a u s e c o n s o l i d a t i o n there m u s t be h y d r a u l i c
gradients, h owever small, w i t h i n the sample and
these can g ive rise to inhomogeneity. If f o r
e x a m p l e a t r i a x i a l s a m p l e is c o n s o l i d a t e d u n d e r
c o n d i t i o n s o f r a d i a l d r a i n a g e , t h e n it is p o s ­
sible for an i n i t i a l l y u n i f o r m sample to reach
e q u i l i b r i u m h a v i n g d e v e l o p e d an a n n u l a r outer
c r u s t o f s t r o n g e r m a t e r i a l s u r r o u n d i n g a c o r e of
weaker material at a higher void ratio
(Nages wa r an an d Ho u ls b y , 1982).
E v e n if a s a m p l e is s u b j e c t e d t o i d e a l t e s t 3 THE BEHAVIOUR OF CLAYS
c o n d i t i o n s t h e n it m a y no t d e f o r m u n i f o r m l y .
Especially during post-peak conditions slip The p r e s e n t k n o w l e d g e of the b e h a v i o u r of clays
surfaces or intense shear bands may form and forms an enormous subject which would fill a
measurements of strain become meaningless. major book. In k e e p i n g w i t h the p h i l o s o p h y of
La d e (1982), D r e s c h e r a nd V a r d o u l a k i s (1982), t h i s pape r , as d i s c u s s e d in the I n t r o d u c t i o n ,
V e r m e e r (1982) a n d o t h e r s h a v e e x a m i n e d t h i s m e n t i o n is m a d e o n l y o f t h o s e f e a t u r e s o f t h e
difficult problem. T h e s u b s e q u e n t a n a l y s i s of b e h a v i o u r of c l a y c o n s i d e r e d by the a u t h o r s to
m a t e r i a l s in p o s t - p e a k a n d s o f t e n i n g c o n d i t i o n s be the m o s t significant. In a d o p t i n g this
a l s o p o s e s s p e c i a l d i f f i c u l t i e s (see S e c t i o n a p p r o a c h i t is r e c o g n i s e d t h a t m a n y f i n e p o i n t s
5.4) . are be i n g i gnored or glo s s e d over, and some
a s p e c t s of recent res e a r c h fi n d i n g s are being
2.5.3 Departures from the ideal in field tests neglected.
In o r d e r to a v o i d p r o b l e m s of s a m p l e d i s t u r ­
The t r iaxial c o m p r e s s i o n test has bec o m e the
b a n c e a n d s t r e s s c h a n g e s , r e s o r t m a y b e m a d e to
sta n d a r d m e t h o d of o b t a i n i n g s t r e s s - s t r a i n and
in s i t u t e s t s f o r m e a s u r i n g s o i l p r o p e r t i e s ,
s t r e n g t h p r o p e r t i e s o f s o i l s in t h e l a b o r a t o r y ,
but again p r o blems are encountered.
b o t h f or r o u t i n e p r a c t i c e in g e n e r a l s i t e i n v e s ­
t i g a t i o n a n d in m u c h f u n d a m e n t a l r e s e a r c h . In
The first p r o b l e m w i t h the i n t e r p r e t a t i o n of a
s p i t e o f i t s w e l l - f o u n d e d p o p u l a r i t y , it is o n l y
f i e l d t e s t is t h a t t h e i n i t i a l s t r e s s c o n d i ­
r e l e v a n t to c o n d i t i o n s of axial s y mmetry w h i c h
tions are not d e f i n i t e l y known. U s u a l l y i t is
will rarely apply to a real e n g i n e e r i n g problem.
possible to estimate the vertical stress, but
the h o r i z o n t a l s t r e s s m a y be m o r e d i f f i c u l t to
T he r e s ults of high q u a l i t y t r iaxial tests have
estimate. More complex stress states are
f o r m e d the b a s i s of m a n y c o n s t i t u t i v e m o d e l s of
rarely even considered. Secondly, the boundary
s o i l b e h a v i o u r and, in p a r t i c u l a r , of the
conditions are uncontrolled, with no fixed
d e v e l o p m e n t of C r i t i c a l State Soil Mechanics,
outer b o u n d a r y e x i s t i n g a r o u n d the testing
tog e t h e r w ith the family of C a m - C l a y m o d e l s and
device. The tests inevitably take place under
other a d v anced e l a s t i c - p l a s t i c m o d e l s that are
c o n d i t i o n s in w h i c h t h e s o i l is s u b j e c t e d to
b a s e d on the c o n c e p t s of CSSM.
fields of v a r y i n g stress, w i t h p a r t i c u l a r l y
important c o n s e q u e n c e s for clay soils. The
For these reasons, d i s c u s s i o n of the b e h a v i o u r
g r a d i e n t s of s t r e s s e s g i v e ris e to g r a d i e n t s of
of c l a y s is c o n c e n t r a t e d on r e s u l t s of h i g h
p o r e p r e s s u r e , w i t h t h e r e s u l t t h a t in s i t u
q uality triaxial c o m p r e s s i o n tests. M e n t i o n is
tests take place un d e r conditions, to a g r e a t e r
o n l y m a d e of b e h a v i o u r o b s e r v e d in o t h e r tests,
or lesser extent, of p a r tial dra i n a g e and
such as the d i r e c t shear test, w h e r e there are
consolidation.
significant departures from the pattern observed
in t r i a x i a l tests. O n e i m p o r t a n t d i f f e r e n c e is
S i n c e t h e s o i l is n o t s u b j e c t e d t o u n i f o r m
t h a t in the t r i a x i a l a p p a r a t u s a n d p l a n e s t r a i n
stress in in situ tests, such tests are not
test the principal a xes of stress an d of strain
well suited to establishing stress-strain
i n c r e m e n t ar e f i x e d in d i r e c t i o n b y the b o u n d a r y
models for soils. E a c h m u s t be i n t e r p r e t e d as
c o n d i t i o n s , w h e r e a s in t he d i r e c t s h e a r te s t the
a b o u n d a r y va l u e p r o b l e m in its own right, using
principal axes have freedom to rotate. This
a model for the soil. V e r y f ew in s i t u tests
p o i n t is d i s c u s s e d l a t e r i n S e c t i o n 3 . 7 . 3 .
(with the p r e s s u r e m e t e r b e i n g a n o t a b l e e x c e p ­
tion) g i v e a n y m e a s u r e of the s t r a i n in a soil,
3.1 One-dimensional consolidation
w i t h m o s t (e.g. t h e v a n e a n d c o n e p e n e t r a t i o n
tests) b e i n g l i m i t e d to m e a s u r e m e n t s t h a t a re T h e c l a s s i c b e h a v i o u r o f c l a y s in o n e ­
converted to stresses. A use f u l r e v i e w of the d i m e n s i o n a l c o n s o l i d a t i o n is r e p r e s e n t e d in
c o m p l e x i t y a n d a p p l i c a t i o n o f t h e r a n g e o f in F i g . 8 , in w h i c h t h e r e s u l t s h a v e b e e n p l o t t e d as
situ d e v i c e s c u r r e n t l y a v a i l a b l e is g i v e n by v o i d r a t i o e a g a i n s t e f f e c t i v e v e r t i c a l (i.e.
C a m p a n e l l a a n d R o b e r t s o n (1983). a x i a l ) s t r e s s o/,. I n F i g . 8 (a) t h e a x e s a r e o f
the c o n v e n t i o n a l form w i t h e p l o t t e d on an
2.5.4 Relevance of tests to field problems a r i t h m e t i c s c a l e a n d Oy on a l o g a r i t h m i c scale.
The plots are usually idealised by straight
Even s u p p o s i n g that a soil t est can be c a r r i e d
l i n e s a n d g i v e ri s e to the c o n v e n t i o n a l d e f i n i ­
out under ideal conditions, the question should
t i o n s of the c o m p r e s s i o n i n d e x C c a n d the
b e p o s e d a s t o w h e t h e r t h e t e s t is a p p l i c a b l e
swelling index C s .
to a fi e l d pr o blem. For instance, triaxial
tests may provide excellent stress-strain data
T h e d a t a i n F i g . 8 (b) a r e f o r t h e e x c e p t i o n a l l y
f o r a l i m i t e d r a n g e o f s t r e s s p a t h s in w h i c h
c o m p r e s s i b l e M e x i c o City clay, where the void
the p r i n c i p a l stress d i r e c t i o n s are not a l lowed
ratio has been plotted on a logarithmic scale
to rotate. H o w re l e v a n t are these data to a
and the results give a linear r e l a t i o n s h i p for
f i e l d p r o b l e m in w h i c h l o a d i n g i n v o l v e s a strcng
n o r m a l c o n s o l i d a t i o n , f o r a m a r k e d r e d u c t i o n in
r o t a t i o n of the m a j o r p r i n c i p a l st r e s s direction,
the void ratio. B u t t e r f i e l d (1979) h a s
e.g. a d j a c e n t to an e x c a v a t i o n ? Simple shear
d i scussed the difference between these two types
tests a l l o w the stress d i r e c t i o n to rotate, but
of plot, and w h i c h of t hem ma y give a bet t e r fit
apply another, rather more subtle restriction,
to a s t r a i g h t line; t h e d i f f e r e n c e is g e n e r a l l y
in t h a t t h e h o r i z o n t a l s t r a i n is z e r o . By how
small exc e p t for u n u s u a l l y large c h a n g e s of void
m u c h w o u l d t h e b e h a v i o u r c h a n g e if h o r i z o n t a l
ratio, so t h a t the t o p i c is n o t p u r s u e d f u r t h e r
straining were allowed? Within these c on­
here.
straints, however, a sensible choi c e of test
from t he m a n y that a r e n o w a v a i l a b l e s h o u l d be
T h e s t a g e in a o n e - d i m e n s i o n a l t e s t w h e n t h e
p o s s i b l e in o r d e r to a p p l y a s t r e s s p a t h w h i c h
b e h a v i o u r of the clay c h a n g e s from the o v e r ­
is r e l e v a n t t o t h e f i e l d p r o b l e m .
c o n s o l i d a t e d s t a t e ( g o v e r n e d b y the recompresslon

11
 in t w o s e p a r a t e plo t s . The first plot,
F i g . 9 (a), i s i n t e r m s o f t h e p r i n c i p a l s t r e s s e s
aJ = a n d 05 = 0 5 = 0 .!,; w h e r e a s t h e s e c o n d p l o t o f
F i g . 9 ( b ) i s i n t e r m s o f t h e p a r a m e t e r s p' a n d q.
Both serve useful purposes; the f o r m e r is often
e a s i e r to u n d erstand, and the latter has the
vir t u e of b e i n g ba s e d on the p r e f e r r e d stress
variables for describing axially symmetric
conditions.

During one-dimensional normal consolidation

tb)
Fig.8 Typical one-dimensional consolidation
test results:
(a) O f f s h o r e samples f r o m G ulf of M e x i c o
( B r y a n t e t a l . , 1967)
(b) Samples from Mexico City (Hiriart
a n d M a r s a l , 1969)
or swe l l i n g index C s ) to the n o r m a l l y c o n s o l i ­
d a t e d s t a t e ( g o v e r n e d b y C c ) is of m a j o r i m p o r ­
tance. I t is r e p r e s e n t e d b y t h e p r e c o n s o l i ­
d a tion pressure, wh i c h has o f t e n bee n given the
s y m b o l p,;. However, this leads to ambiguity,
w h e n ot h e r types of c o n s o l i d a t i o n are co n s i ­
d e r e d a n d so, f o r g o o d r e a s o n , i t w i l l b e g i v e n
h e r e t h e s y m b o l 0^ -
F o r m a n y g e o t e c h n i c a l p r o b l e m s it is n e c e s s a r y
to obta i n a v a l u e - or at least a r e liable
e s t i m a t e - of the in s i t u e f f e c t i v e l a t e r a l
s t r e s s in the g r o u n d . T his i n f o r m a t i o n ma y be
required for direct input into some non-linear
analysis, or in o r d e r to r e c o n s o l i d a t e a sample
to its in si t u e f f e c t i v e s t r e s s s t a t e b e f o r e
c o n d u c t i n g a shear test to o b t a i n its d e f o r ­
mation properties. Hence, t he v a r i a t i o n of
the c o e f f i c i e n t of lateral e a r t h p r e s s u r e at
r e s t w i t h o v e r c o n s o l i d a t i o n r a t i o O C R is of
considerable importance.
T y p i c a l r e s ults of o n e - d i m e n s i o n a l consolidation
tests in w h i c h the l a t eral stress has b een
m e a s u r e d a r e i l l u s t r a t e d q u a l i t a t i v e l y i n F i g . 9.
The effective stress paths have been p r esented
a l o n g p a t h A B i n F i g . 9, t h e e f f e c t i v e s t r e s s e s
a r e in c o n s t a n t p r o p o r t i o n a n d the v a l u e of K 0
is c o n s t a n t . For n o r m a l l y c o n s o l i d a t e d soils,
J a k y (1944) d e r i v e d a t h e o r e t i c a l r e l a t i o n s h i p ,
,, 2 ..,1 -sin (23)
K (1+3S ln ♦> (T+sTrT
w h e r e (f i s t h e a n g l e o f s h e a r i n g r e s i s t a n c e .
Var i o u s a p p r o x i m a t i o n s for this e x p r e s s i o n have
been proposed: the m ost w i d e l y use d being
K s (1-sin <}>) (24)
one
w h i c h is o f t e n , b u t i n c o r r e c t l y , q u o t e d as
Jaky's original expression. C o n s i d e r i n g the
di f f i c u l t y of m a k i n g an a p p r o p r i a t e cho i c e of $
for a given soil (which for c o n s i s t e n c y should
b e t h e a n g l e 4>t c o b s e r v e d i n t r i a x i a l c o m p r e s ­
sion tests at the criti c a l s t a t e ) , this approxi­
m a t i o n is s u f f i c i e n t l y a c c u r a t e f o r m o s t
engineering purposes. Confirmation has been
p r o v i d e d b y d a t a p r e s e n t e d b y a n u m b e r of
au t h o r s , n o t a b l y B i s h o p (1958), B r o o k e r and
I r e l a n d (196 5 ) , W r o t h (1972) a n d L a d d e t al.
(1977) .
Several empirical expressions have been sugges­
t e d f o r r e l a t i n g K Q w i t h O C R d u r i n g t h e unloading
ph a s e BCD, w h i c h ends w i t h the state of p a s s i v e
f a i l u r e b e i n g r e a c h e d a t D. These expressions
h a v e b e e n r e v i e w e d by L a d d e t al. (1977), a n d
t he o ne m o s t f a v o u r e d is t h a t p r o p o s e d by
S c h m i d t (1 9 6 6 ) ,
= OCR (25)
K.
w h e r e n is a c o n s t a n t for a p a r t i c u l a r soil.
L a d d e t al. s h o w in t h e i r F i g . 3 2 t h a t t h e v a l u e
of n v a r i e s f r o m a b o u t 0.4 2 fo r l o w p l a s t i c i t y
clays to about 0.32 for high pla s t i c i t y clays.
If t h e s o i l is r e l o a d e d o n e - d i m e n s i o n a l l y f r o m
a n o v e r c o n s o l i d a t e d s t a t e s u c h a s D, t h e e f f e c ­
tive stress p a t h DE rises v ery s t e eply in the
p l o t o f F i g . 9 (a) u n t i l t h e i n i t i a l n o r m a l l y
c o n s o l i d a t e d c o n d i t i o n is a p p r o a c h e d n e a r p o i n t
F. T h e v a l u e o f K 0 r a p i d l y f a l l s a s t h e r e is
l i t t l e i n c r e a s e i n o^. It w o u l d a p p e a r t h a t
t h e i n i t i a l p a r t o f t h e r e l o a d i n g p a t h D E is
e s s e n t i a l l y line a r so that the b e h a v i o u r m i g h t
be d e scribed a d e quately by elastic expressions.

The relatively large hysteresis loop observed

for heavily overcon s o l i d a t e d clays, as illus­
t r a t e d i n F i g . 9, s e r v e s a s a n i m p o r t a n t w a r n i n g .
A clear distinction must be made be tween primary
u n l o a d i n g BC D and r e l o a d i n g DEF. Note that
states E and C have the same c u r r e n t va l u e of
Oy, t h e s a m e p r e c o n s o l i d a t i o n p r e s s u r e ( g i v e n b y
s t a t e B) a n d , h e n c e , t h e s a m e O C R , b u t t h e y d o
not have the same value of K Q .

Fig.9 E f f e c t i v e s t r e s s p a t h s in o n e ­ T h e r e f o r e e q u a t i o n (25) m a y o n l y b e u s e d f o r
dimensional consolidation and swelling p r e d i c t i o n of K Q for clays d u r i n g pr imary

12
 Th e e q u i v a l e n t p r e s s u r e of a specimen,
i n t r o d u c e d b y H v o r s l e v (1937) is d e f i n e d a s t h e
p r e ssure on the normal co n s o l i d a t i o n line, such
a s a t p o i n t E, a t t h e s a m e v o i d r a t i o a s t h a t o f
t h e s p e c i m e n a t s t a t e D i n F i g . 10. This proves
to be an e l e g a n t and c o n v e n i e n t wa y of converting
f r o m t h e v o i d r a t i o (or w a t e r c o n t e n t ) o f a c l a y
specimen into a pressure variable for compara­
t i v e p u r p o s e s in d i m e n s i o n l e s s form.

3.3 Undrained triaxial compression tests

Th e i d e a l i s e d r e s ults of u n d r a i n e d triaxial
c o m p r e s s i o n t e s t s a r e r e p r e s e n t e d i n F i g . 11 in
t e r m s o f t h e s t a t e v a r i a b l e s p ' , q a n d V. A
s p e c i m e n i n i t i a l l y (i s o t r o p i c a l l y ) n o r m a l l y

equivalent pressure p'e

(H vorsle v)

Terzaghi CSSM

F i g . 10 Definitions of c o n s o l i d a t i o n in o n e ­
dimensional and isotropic conditions

u n l o a d i n g a n d it is n o t r e l e v a n t to deposits
that have b e e n s u b j e c t e d to m ore than one cycle
of d e p o s i t i o n a n d e r o s i o n .

3 .2 Isotropic consolidation F i g . 11 Idealised undrained behaviour in t r i ­

F i g . 10 s h o w s a c o m p a r i s o n b e t w e e n t h e c l a s s i c a l
r e p r e s e n t a t i o n o f o n e —d i m e n s i o n a l c o n s o l i d a t i o n
of T e r z a g h i a n d the m o d e r n a p p r o a c h f o r i s o ­
t r o p i c c o n s o l i d a t i o n w h i c h is an e s s e n t i a l
feature of CSSM. The former has void ratio e
p l o t t e d a g a i n s t l o g 1 0 Oy , w h e r e a s t h e l a t t e r ^ h a s
t h e s p e c i f i c v o l u m e V p l o t t e d a g a i n s t l o g e p',
w h e r e V (=1+e) is t h e t o t a l v o l u m e o c c u p i e d b y
u n i t v o l u m e o f s o i l p a r t i c l e s a n d p' i s t h e
mean prin c i p a l e ffective stress.
For n o r m a l c o n s o l i d a t i o n , in w h i c h the principal
stresses increase pr o p o r t i o n a l l y , the two lines
have the same g r a d i e n t so that
Cc = X Jin 10 = 2.3 X. (26)
How e v e r , in o n e - d i m e n s i o n a l s w e l l i n g the
s t r e s s e s d o n o t d e c r e a s e p r o p o r t i o n a l l y , so
that the e x p e r i m e n t a l d ata c a n n o t p r o p e r l y be
f i t t e d b y s t r a i g h t l i n e s in b o t h p l o t s in
F i g . 1 0. This means that
Cs s 2.3 k . <2 7 >
F u r t h e r , c a r e is r e q u i r e d w i t h t h e d e f i n i t i o n
of o v e r c o n s o l i d a t i o n r a t i o w h i c h w i l l n o t be
the same in the t w o p l ots. For isotropic con­
d i t i o n s it is d e f i n e d as the r a t i o of the
maximum past mean effective stress P^ax
c u r r e n t v a l u e p ' , a n d i t i s g i v e n t h e s y m b o l R.
axial compression tests
c o n s o l i d a t e d at point C unde r g o e s the e f fective
s t r e s s p a t h CD, w h e r e a s a n i n i t i a l l y o v e r ­
c o n s o l i d a t e d spe c i m e n at p o i n t R e x p e r i e n c e s the
p a t h RS; i t is a s s u m e d t h a t b o t h s p e c i m e n s
reach undr a i n e d failure on the critical state
line at points D and S respectively. The
c r i t i c a l s t a t e l i n e is a s s u m e d to be p a r a l l e l to
t h e i s o t r o p i c n o r m a l c o n s o l i d a t i o n l i n e A B C in
the s e m i - l o g a r i t h m i c plot, and its relative
p o s i t i o n to be g i v e n by the spacing ratio r
d e f i n e d as the ratio of the p r e s s u r e s at C and
X w h i c h lie on the same s w elling line CXR.
E x p e r i m e n t a l evidence supporting the above
c o n c e p t s is p r o v i d e d b y t h e r e s u l t s o f u n d r a i n e d
triaxial c ompression tests on isotropically
c o n s o l i d a t e d s p e c i m e n s of r e c o n s t i t u t e d k a o l i n
b y L o u d o n (1967). The effective stress paths
f o r a s e t o f s p e c i m e n s a r e p r e s e n t e d i n F i g . 12
wh e r e the stresses have been made dimens i o n l e s s
by d i v i d i n g by the r e l e v a n t value of the e q u i ­
va l e n t pre s s u r e Pg in e ach case. In t h i s p l o t
the c r i t i c a l s t a t e li n e is r e d u c e d to a s i n g l e
u n i q u e c r i t i c a l s t a t e p o i n t i n d i c a t e d b y C.
This family of effective stress paths provides

13

F i g . 12 E f f e c t i v e stress p a t h s of u n d r a i n e d
triaxial com pression tests on reconstituted
k a o l i n ( a f t e r L o u d o n , 1967)
t h e e s s e n t i a l p a t t e r n o f b e h a v i o u r o b s e r v e d in
undrained triaxial compression tests. Hidden
in t h i s f i g u r e is t h e i m p o r t a n t p r i n c i p l e o f
n o r m a l i s e d b e h a v i o u r - t h a t is t h a t ( a l l o w i n g
for experimental scatter) all specimens at one
v alue of o v e r c o n s o l i d a t i o n ratio, but w ith
d i fferent precons o l i d a t i o n pressures p^ax' will
h a v e the sa m e r e d u c e d e f f e c t i v e s t r e s s p a t h in
F i g . 12.
T h i s n o r m a l i s e d b e h a v i o u r is a n i n t e g r a l p a r t
of a l l soi l m o d e l s b a s e d on C S S M , a n d its
r e c o g n i t i o n l e d t o t h e i m p o r t a n t S H A N S E P ( s t ress
history and n o r m alised soil e ngineering p r o p e r ­
ties) m e t h o d p r o p o s e d b y L a d d a n d F o o t t (1974).
3.3.1 Conditions at failure
For a clay that conforms with the critical
state concept, re l a t i o n s h i p s for the u n d r a i n e d
st rength sutc and p ore p r e s s u r e p a r a m e t e r at
failure Af can be obtained. For the o v e r ­
c o nsolidated specimen reaching failure at S the
u n d r a i n e d s h e a r s t r e n g t h in c o m p r e s s i o n is h a l f
the d e v i a t o r stress at f a i lure so that
Du t c iflPg
w h e r e M = 6 s i n (ft c / ( 3 - s i n ^ t c ) a n d ‘ (’tc is t h e
f r i c t i o n a n g l e m e a s u r e d in t r i a x i a l c o m p r e s s i o n
at the c r i tical state.
It c a n b e s h o w n - s e e W r o t h (1984) f o r e x a m p l e
- t h a t t h e v a l u e s o f p' a t t h e b e g i n n i n g a n d
en d of the test are r e l a t e d by
w here A (capital lambda) = ( X - k ) / X . This para­
meter was introduced by Schofield and Wroth
(1968) b e c a u s e it p l a y s a n i m p o r t a n t r o l e in
reali s t i c e l a s t i c - p l a s t i c m o d e l s of soil b e h a ­
viour which incorporate strain hardening
plasticity. It ma y be ter m e d the p l a s t i c
vo l u m e t r i c strain ratio, be i n g the ra t i o of the
p l a s t i c to the total c o m p o n e n t of the volumetric
s t r a i n i n c r e m e n t in n o r m a l c o n s o l i d a t i o n . The
v a l u e o f A i s l i m i t e d t o b e b e t w e e n 0 a n d 1,
a n d i s t y p i c a l l y a b o u t 0 .8 .
C o m b i n i n g e q u a t i o n s (28) and (29) to e l i m i n a t e
14
Pg leads to the f o l l o w i n g e x p r e s s i o n for the
u n d r a i n e d s t r e n g t h r a t i o m e a s u r e d in t r i a x i a l
compression,
utc utc A
■ !(f) (30)
F o r a n y g i v e n s o i l M, r a n d A w i l l b e c o n s t a n t s ,
so t h a t in t h e o r y t h e u n d r a i n e d s t r e n g t h r a t i o
is p r o p o r t i o n a l to t h e (isotr o p i c ) o v e r c o n s o l i ­
dat i o n ratio rais e d to the power A. Indeed,
t h i s is t h e c a s e , h a v i n g b e e n e s t a b l i s h e d m a n y
y e a r s a g o at H I T as p a r t of the e v i d e n c e in
s u p port of the S H A N S E P procedure.
A comparison between the theory and experimental
d a t a f o r B o s t o n b l u e c l a y i s p r e s e n t e d i n F i g . 13.
T h e b a n d o f d a t a f r o m f i f t e e n C I U C t e s t s is
r e p r o d u c e d f r o m F i g . 5-7 of L a d d et a l . (1971).
’ utc
Isotropic overconsolidation ratio R = Pmax
Po
(28)
F i g . 13 V a r i a t i o n of u n d r a i n e d st r e n g t h ratio
with overconsolidation ratio from triaxial tests
( d a t a f r o m L a d d e t al. 1971)
T h e t h e o r e t i c a l c u r v e is t h a t g i v e n b y e q u a ­
t i o n (30) w i t h t h e c o n s t a n t s c h o s e n f r o m o t h e r
tests as follows: <J>tc = 26.5° t o g i v e M = 1 . 0 5 ;
i = 2 and A = 0.776. The theoretical curve
(29) coincides almost exactly with the upper boundary
o f t h e d a t a a n d p r o v i d e s a m o s t s a t i s f a c t o r y fit.
O f g r e a t e r s i g n i f i c a n c e is t h e p r e d i c t i o n t h a t
the n o r m a l i s e d value of the u n d r a i n e d s t rength
r a t i o is i n d e p e n d e n t of M a n d r a n d o n l y d e p e n d s
o n A s i n c e , f r o m e q u a t i o n (30),
(su t c / g v o )
(31)
^ S u t c /,°vo^ n c
E v i d e n c e i n s u p p o r t o f t h e s e f i n d i n g s is p r e s e n ­
ted later, wh i c h confirms, moreover, that this
last result applies to specimens one-
d i m e n s i o n a l l y c o n s o l i d a t e d f o r w h i c h R m u s t be
r e p l a c e d by OCR.

F i g . 14 The v a riation of the pore pressure
parameter A at failure with overconsolidation
ratio for W e a l d clay (after B i s h o p and Henkel,
1957)
In a s i m i l a r m a n n e r an e x p r e s s i o n f or t h e po r e
p r e s s u r e p a r a m e t e r a t f a i l u r e (for a s a t u r a t e d
s p e c imen) c a n b e d e r i v e d as f o l l o w s (Wroth,
1984 ) :
■ t s utcN
The v a r i a t i o n of val u e s of A at f a i lure w i t h
OCR for remoulded Weald clay reported by Bishop
a n d H e n k e l ( 1 9 3 7 ) i s r e p r o d u c e d i n F i g . 14.
c urve d r a w n by those a u thors t h r o u g h the
e x p e r i m e n t a l p o i n t s is v e r y c l o s e l y m a t c h e d b y
t h e p r e d i c t i o n o f e q u a t i o n (32) w i t h t h e
foll o w i n g v a l u e s of the soil c o n s t a n t s for
Weald clay: X = 0.093, k = 0.035, to give
A = 0.624; M = 0 . 9 2 a n d r = 2, t a k e n f r o m
T a b l e 6.1 o f S c h o f i e l d a n d W r o t h (1968).
q u a l i t y o f f i t s h o u l d b e n o s u r p r i s e , a s i t is
an o t h e r w a y of c o n f i r m i n g ho w well a r e m o u l d e d
low p l a s t i c i t y clay, such as W e a l d clay, test e d
in t r i a x i a l c o m p r e s s i o n a f t e r i s o t r o p i c c o n s o l i ­
dation satisfies the critical state concept.
F o r a m a t e r i a l t h a t b e h a v e s in a n i s o t r o p i c
e l a s t i c m a n n e r in a t r i a x i a l test, t h e v a l u e of
A w o u l d b e 1 / 3 , s o t h a t t h e r e s u l t s i n F i g . 14
clearly show that the stress-strain/pore-
p r e s s u r e res p o n s e of c l a y s at large strains
cann o t be m o d e l l e d by the theory of elasticity.
F u r t h e r , it m u s t b e e m p h a s i s e d t h a t the d e f i ­
niti o n of the o r i g i n a l pore p r e s s u r e p a r a m e t e r s
by S k e m p t o n (1954) is u n f o r t u n a t e in t h a t A is
d e p e n d e n t on the type of test b e i n g conducted;
e q u a t i o n (32) i s o n l y v a l i d f o r t r i a x i a l t e s t s .
T o o v e r c o m e t h i s d i f f i c u l t y H e n k e l (1960)
suggested a revised parameter defined so that,
for a saturated specimen,
A u - Aa
oct
(33)
At
oct
w h e r e A o o c ^ = A p is t h e c h a n g e in o c t a h e d r a l
n o r m a l s t r e s s (or m e a n t o t a l s t r e s s ) a n d A t o c t
is t h e c h a n g e i n o c t a h e d r a l s h e a r s t r e s s .
In the d e v e l o p m e n t of the u n d e r s t a n d i n g of soil
behaviour, the m a j o r c e ntres of e x p e r i m e n t a l
r e s e a r c h in soi l m e c h a n i c s h a v e w i s e l y c o n c e n ­
trated their efforts on testing a limited range
o f s o i l s in a c o m p r e h e n s i v e m a n n e r . Examples
that c ome r e a d i l y to m i n d are kaolin, W e a l d
clay, London clay, Boston blue clay and Drammen
clay. This philosophy of research has allowed
a rel i a b l e a nd d e t a i l e d p i c t u r e to be b u i l t up
of the b e h a v i o u r of t h e s e c l a y s , b u t h a s the
minor disadvantage that there has not been a
survey of trends of soil p r o p e r t i e s for a wide
range of clays. In p a r t i c u l a r there are
u n f o r t u n a t e l y f e w r e l i a b l e d a t a on the r a n g e of
v a l u e s o f t h e s p a c i n g r a t i o , r, a n d t h e p l a s t i c
v o l u m e t r i c s t r a i n r a t i o , A. On the b a s i s of
t h e l i m i t e d e v i d e n c e a v a i l a b l e it s e e m s t h a t
neither of these parameters varies signifi­
c a n t l y f o r a w i d e r a n g e o f c l a y s a n d t h a t it is
re a s o n a b l e to a d o p t a p p r o x i m a t e a v e r a g e values
o f r s 2 (i n a c c o r d a n c e w i t h t h e m o d i f i e d C a m -
c l a y m o d e l ) a n d A s 0.8.
Use of these valu e s m e a n s that the u n d r a i n e d
strength ratio for isotropically normally c o n ­
s o l i d a t e d s p e c i m e n s (R = 1) c a n b e o b t a i n e d
f r o m e q u a t i o n (30) a s
(32)
'c r' 'nc
vo
The
The
F i g . 15 V a riation of undr a i n e d strength ratio
w i t h angle of fr i c t i o n for t r iaxial tests on
normally consolidated clay
15
 3 sin 4> A convenient way of representing this effect, in
tc
0.5743 (34) d i m e n s i o n l e s s f o r m is b y m e a n s of t h e i n i t i a l
3-sin
rt c shear stress ratio introduced by Davis and
P o u l o s (1968) a n d d e f i n e d as
The v a r i a t i o n of this ratio w i t h the f r iction
a n g l e $ t c i s s h o w n i n F i g . 15 b y t h e u p p e r c u r v e i (o 1 - o / ) < 1 - K o>
vo ho
f = (36)
m a r k e d ITC (denoting I s o t r o p i c a l l y c o n s o l i d a t e d
specimens t e s t e d in T r i a x i a l C o m p r e s s i o n ) . 2su /ovo

It is b e c o m i n g i n c r e a s i n g l y t h e p r a c t i c e t o This ratio will vary markedly with K0 and hence

r e c o n s o l i d a t e speci m e n s o n e - d i m e n s i o n a l l y to with overconsolidation ratio; an e x p r e s s i o n
t h e i r a s s u m e d in s i t u s t r e s s s t a t e b e f o r e relating f wit h OCR will now be established, for
c a r rying out a triaxial test. T h e b e h a v i o u r of the c ase of tri a x i a l compr e s s i o n . By using
such spec i m e n s w ill not be the same as those e q u a t i o n (25) t o e x p r e s s K 0 a s a f u n c t i o n o f O C R
isotropically consolidated; their difference e q u a t i o n (30) t o e x p r e s s s u tc/° vo a s a f u n c t i o n
m ust be re c o g n i s e d and a c c o u n t e d for w h e n the o f O C R , a n d e q u a t i o n (36) i t f o l l o w s t h a t
results are u sed for pre d i c t i n g field behaviour.
1-K .OCR
T h e c o n c e p t s of C S S M r e q u i r e t h a t the s t a t e of one
f =
a o n e - d i m e n s i o n a l l y n o r m a l l y c o n s o l i d a t e d sample 2(s . /o’) .OCR
of c l a y lies on the state b o u n d a r y s u r f a c e at utc vo nc
s o m e p o i n t s u c h a s B i n F i g . 12. I t is a s s u m e d
that f a i l u r e of this sample w ill o c c u r at the b{ 1 - (1 - s i n i(it c ) O C R n } O C R " A (37)
c r i t i c a l s t a t e g i v e n b y p o i n t C, w i t h t h e s a m e
u n drained shear strength as an isotropically
consol i d a t e d sample at the same water content where b
sin <(i
(i.e. h a v i n g t h e s a m e e q u i v a l e n t p r e s s u r e p @ ) • tc
H o w e v e r b ecause the initial stress states are 3-sin
different, the undrained strength ratios will rtc
and as b e fore.
be different; the actual value for the a n i s o ­ 2(3-2 sin
tropic sample will depend on the shape of the
state b o u n d a r y surface, as w e l l as on the The c o m p u t e d v a r i a t i o n of f w i t h O C R can be
value of K 0 . c o m p a r e d w i t h e x p e r i m e n t a l e v i d e n c e i n F i g . 16.
T h e d a t a a r e d i r e c t l y r e p r o d u c e d f r o m F i g . 34 o f
If i t a s s u m e d t h a t t h e s u r f a c e is f o r m e d b y t h e t h e G e n e r a l R e p o r t b y L a d d e t al. (1977) a n d
el liptical yield surface of modi fied Cam-Clay
( R o s c o e a n d B u r l a n d , 1968), t h e n it c a n b e shown
(Wroth, 1984) t h a t t h e u n d r a i n e d s t r e n g t h r a t i o 1
is g i v e n b y the c u m b e r s o m e e x p r e s s i o n : S O IL PI (% ) SO URCE
0.8 Boston Blue Clay 21 MIT
vtc Skempton
Weald Clay 24
2a (^ y Varved Clay 30 (bulk)
8 Sowa id
MIT
(35)
3-sin ■
0.6 Me. Orgonic Clay 38 MIT
tc Dames
where a 2(3-2 sin +tc) A G S CH Clay 40
8 Moore
Bangkok Clay 41 A IT a MIT
For the case of A = 0.8, t h i s e x p r e s s i o n h a s o 04
(i) I9<53
been plotted i n F i g . 15 a s t h e l o w e r c u r v e m a r k e d \
3 (2) I9 ‘^5
K q TC. Lo * PI
o
C\J 0.2
T h e r e is a s u b s t a n t i a l d i f f e r e n c e b e t w e e n t h e
two curves, especially for higher friction
a ngl e s , so t h a t it is i m p o r t a n t w h e n u n d r a i n e d High P
st r e n g t h rat i o s o b t a i n e d in t r iaxial tests are
q u o t e d , t h a t i t is c l e a r l y s t a t e d w h e t h e r t h e 0
samples were initially isotropically or one- Note: All dat a for
dimensionally consolidated. The distinction unloading f ' om
is i m p o r t a n t f or all r e a l soils, e v e n if the
i d e a l i s e d m o d e l of m o d i f i e d C a m - C l a y is n ot - 0.2
d e e m e d to be relevant.
... .i
3.3.2 Initial shear stress ratio 2 4 6 8 10
A s h a s a l r e a d y b e e n e m p h a s i s e d , the in si t u OCR =Ovm/Oyc
stress state has a major effect on the subse­
qu e n t b e h a v i o u r of a soil element. The Note: cu = 0.5 (Of - 0 ^ )f from C K 0U triaxial or plane
r e l a t i v e v a l u e s o f o ^ & a n d 0y O ( i .e. t h e v a l u e strain te sts. « „ from Bro o k er and Ireland
of K 0 ) dic t a t e the m a g n i t u d e of stress change (I9 6 5 ) for Me. Organic Clay.
that the e l e m e n t can s u s tain b e f o r e local yield
o r f a i l u r e is i n d u c e d . This can have a major
i n f l u e n c e , f or e x a m p l e , on t h e p e r f o r m a n c e of F i g . 16 V a r i a t i o n of initial shear str e s s ratio
a retaining wall, or the settlement experienced with overconsolidation ratio
by a surface loading. ( a f t e r L a d d e t a l . , 1977)

16
refer to six d i f f e r e n t clays, s o m e t e s t e d in
triaxial compression and some in p l a n e s t r a i n
conditions.
T w o se t s of soil c o n s t a n t s h a v e b e e n s e l e c t e d to
m a t c h as c l o s e l y as p o s s i b l e the B o s t o n b lue
c l a y a n d t h e v a r v e d c l a y f r o m C o n n e c t i c u t Valley.
F o r t h e f o r m e r , v a l u e s o f ij>t-c = 26.5° , A = 0 . 7 7 6
and n = 0.4 have b een chosen, and for the latter
ij>t = 21.5° , A = 0 . 6 8 5 a n d n = 0 . 3 5 . [The
v a l u e s of A h a v e b e e n t a k e n as t he sa m e as the
v a l u e s of m 2 q u o t e d in T a b l e 1 of W r o t h (1984),
a n d t h e v a l u e s o f n f r o m F i g . 32 o f L a d d e t a l . ,
(1977).] Th e c o m p u t e d v a l u e s g i v e n by
e q u a t i o n (35) a r e l i s t e d i n T a b l e I.
TABLE I
T h e o r e t i c a l v a l u e s of f a n d O C R f o r two c l a y s
B e c a u s e the c r i t i c a l s t a t e is e s t a b l i s h e d in
terms of effective stresses, the u n drained
s t r e n g t h c a n b e e x p r e s s e d in t e r m s o f e f f e c t i v e
str e s s e s and fr i c t i o n an g l e - as indeed can the
pore pressure parameter A f . The key expres­
s i o n s a r e g i v e n i n e q u a t i o n s ( 3 0 ) , ( 3 1 ) , (32)
a n d (3 4 ) i n t e r m s o f t h e s t a t e v a r i a b l e s 0 ^ o
a n d O C R , a n d t h e s o i l c o n s t a n t s M (o r <t>t c) < r '
A a n d n.
3 .4 F a i l u r e in d r a i n e d t r i a x i a l c o m p r e s s i o n
tests
Th e p r e v i o u s s e c t i o n wa s d e v o t e d to u n d r a i n e d
s h e a r s t r e n g t h w h i c h p l a y s an i m p o r t a n t r o l e in
f o u n d a t i o n e n gineering, b o t h as the essen t i a l
input to c a l c u l a t i o n s for s h o r t - t e r m s tability
and b e a r i n g capacity, and also as an i ndicator
of soil beh a v i o u r for correl a t i o n with other
en g i n e e r i n g properties, such as Index Tests.

For problems of long-term stability, the

' d r a i n e d ' s t r e n g t h o f t h e s o i l is r e p r e s e n t e d
Boston blue clay Varved clay b y t h e p a r a m e t e r s c 1 a n d <b' i n t e r p r e t e d f r o m t h e
classical Mohr-Coulomb failure envelope. It
is w e l l k n o w n t h a t i n a s i m p l e l i m i t a n a l y s i s
sin *, 0.4452 0.3665 of the l o n g - t e r m s t a b i l i t y of a s l o p e o r cutting,
A 0.776 0.685 (i) t h e v a l u e o f c' p l a y s a c r u c i a l r o l e i n t h e
n 0.40 0.35 c a l c u l a t i o n o f t h e f a c t o r o f s a f e t y , a n d (ii) i t
a 0.6058 0.5808 is d i f f i c u l t t o s e l e c t a n a p p r o p r i a t e v a l u e of
b 1 .824 2.0878 c'. Wha t should a d e s i g n e r do?

OCR f In o r d e r t o m e e t t h i s c h a l l e n g e , it is s u g g e s t e d
t h a t a m o r e s o p h i s t i c a t e d i n t e r p r e t a t i o n of
1 0.8139 0.7652 sta n d a r d tests can p r o v i d e a r a tional m e t h o d for
1 .5 0.4644 0.4269 s e l e c t i o n o f c' a n d * ' ; i t is i l l u s t r a t e d b y a
2 0.2868 0.2501 case history of an e m b a nkment for a major road
3 0 .1093 0.0683 c o n s t r u c t e d of L o n d o n clay.
4 0.0223 - 0.0235
5 - 0.0122 -0.0781 I t h a s b e e n a r g u e d b y S c h o f i e l d a n d W r o t h (1 9 6 8 )
6 - 0.0609 -0.1138 t hat the a s s u m p t i o n of a single M o h r - C o u l o m b
8 - 0.0989 - 0.1566 f a i l u r e e n v e l o p e f o r a c l a y is e r r o n e o u s , a n d
10 - 0.1195 - 0.1803 that the p r o p e r w a y to take a c c o u n t of the
e f f e c t of w a t e r c o n t e n t and stress h i s t o r y on
d r a i n e d s h e a r s t r e n g t h , is t o u s e t h e i n t e r p r e ­
t a t i o n i n t r o d u c e d by H v o r s l e v , as e a r l y as 1937,
The very close agreement between the computed
in hi s d o c t o r a l thesis. The essential feature
and experimental data provides strong con f i r ­
i s t h a t t h e c o h e s i o n i n t e r c e p t c' i s n o t a
mation of the framework of soil behaviour
c o n s t a n t bu t an e x p o n e n t i a l fu n c t i o n of the
e m b o d i e d in C r i t i c a l State Soil Mechanics, and
of the r e l a t i o n s h i p s t hat h ave b een e s t a b l i s h e d water content.
f o r t r i a x i a l c o n d i t i o n s b e t w e e n s u ^ c , K 0 a n d OCR.
T h e p r i n c i p l e s a r e i l l u s t r a t e d i n F i g . 17 w h e r e
T h e i m p o r t a n c e o f t h i s p l o t is e n h a n c e d b y t h e t h e H v o r s l e v f a i l u r e c r i t e r i o n is e x p r e s s e d in
f a c t s t h a t (i) t h e b a n d o f c u r v e s f o r a v a r i e t y t e r m s o f t h e t r i a x i a l v a r i a b l e s (p£, q £ , w f ) a n d
of s o i l s r e p r e s e n t e d by d i f f e r e n t sets of values forms a ruled surface con sisting of parallel
o f <t>t c , A a n d n i s c o n v e n i e n t l y n a r r o w , a n d l i n e s C j D j , C 2 D 2 , e t c . , w i t h t h e p o i n t s C lf C 2
(ii) s i m i l a r a n a l y t i c a l e x p r e s s i o n s f o r p l a n e . . . t r a c i n g out the c r i t i c a l state line. By
strain tests g ive val u e s of f that are c o n s i s ­ d i v i d i n g b y t h e e q u i v a l e n t p r e s s u r e , the s e t of
t e n t l y s m a l l e r b y o n l y 6 % o r so, s u g g e s t i n g t h a t
lines in F i g . 1 7 ( a ) r e d u c e s to the s i n g l e line
t h e r e is n o n o t i c e a b l e d i s t i n c t i o n in thi s
CD, h a v i n g t h e g r a d i e n t a n d i n t e r c e p t O E o n t h e
particular plot between results from triaxial
A b s c i s s a - a x i s as s h o w n in F i g . 1 7 ( c ) .
and plane strain tests.

In s t u d y i n g th e c o n d i t i o n s at f a i l u r e in
u n d r a i n e d t r i a x i a l c o m p r e s s i o n t e s t s it h a s b e e n
a s s u m e d (i) t h a t a l l ( s a t u r a t e d ) s p e c i m e n s o f
o n e s o i l t e s t e d a t t h e s a m e w a t e r c o n t e n t (or
having the same equivalent pressure) will have
t h e s a m e u n d r a i n e d s h e a r s t r e n g t h , a n d (ii) t h a t
this s t r e n g t h is r e p r e s e n t e d by the c r i t i c a l
state. Experimental evidence supports these
assumptions, except that heavily overconsoli­
dated samples do not quite reach the critical
state, and thereby have a m a r g i n a l l y smaller
strength. T h i s p o i n t is i l l u s t r a t e d w e l l b y
t h e d a t a o f L o u d o n p r e s e n t e d i n F i g . 12.
F o r t h e e m b a n k m e n t in q u e s t i o n , a n u m b e r of
samples of the L o n d o n clay were taken. Each
s a m p l e of 100 m m d i a m e t e r w a s t r i m m e d t o f o r m
t h r e e t r i a x i a l s p e c i m e n s 38 m m i n d i a m e t e r .
For e ach trio (having an ident i c a l g e o l o g i c a l
history) the three specimens were reconsoli­
dated under different prescribed cell pressures
and then subjected to c o nventional drained
triaxial c o m p r e s s i o n tests. For each trio a
failure envelope was obtained which closely
d e f i n e d a p air of d r a i n e d st r e n g t h p a r a m e t e r s
(c', ') . However, there was considerable
v a r i a t i o n in t he f o u r t e e n s e t s of data: <t '

17
 F i g . 17 Repre s e n t a t i o n of Hvorslev
fa ilure s u r face in e f f e c t i v e stress
(b) and consolidation spaces

v a r y i n g b e t w e e n 16.2° a n d 25.0° w i t h a n a v e r a g e the H v o r s l e v r e l a t i o n s h i p not bee n used, the

o f 21.2° , a n d c' v a r y i n g d r a m a t i c a l l y f r o m 6 . 9 data s u g g e s t t hat the f a i l u r e e n v e l o p e w o u l d be
to 56.2 k N / m 2 w ith an average of 30.8 k N / m J . slightly c u rved to pass thr o u g h the origin, and
C l e a r l y t h i s l a r g e r a n g e o f c' p r e s e n t s a m a j o r wo u l d not have an intercept on either axis.
p r o b l e m to the designer. It m u s t be empha s i s e d
that this standard interpretation only takes
a c c o u n t of the f a i l u r e stresses, and neg l e c t s
all d a t a of w a t e r c o n t e n t s at failure.

F o r e a c h s p e c i m e n , the v a l u e of Wf w a s k n own, so
that gi v e n the p o s i t i o n of the isotropic normal
c o n s o l i d a t i o n line for the clay, this c o u l d be
c o n v e r t e d to the e q u i v a l e n t p r e s s u r e P g . The
b e s t fi t to the d a t a a v a i l a b l e , m a k i n g u s e of
the c o m p r e h e n s i v e series of tests on L o n d o n clay
r e p o r t e d b y H e n k e l (1956), g i v e s t he i s o t r o p i c
n o r m a l c o n s o l i d a t i o n a s t h a t d r a w n i n F i g . 18.

A d o p t i n g this line, the rel e v a n t val u e s of p^

h ave b e e n estimated, and u s e d to o b t a i n the
r e s u l t s p l o t t e d in t h e n o r m a l i s e d s t r e s s s p a c e
o f H v o r s l e v i n F i g . 19. It is n o t a b l e t h a t t h e
d a t a lie c l o s e to the l i n e C D E , c a l c u l a t e d to
be the bes t fitting straight line by the s t a n ­
d ard m e t h o d of least s q u ares regression. This
line has a gradient of 0.815 and intercept OE
of - 0.0573, which gives = 21° a n d
c' = 0 . 0 2 2 p g . This latter relationship can
be c o n v e r t e d to g i v e c 1 as a f u n c t i o n of w a t e r
c o n t e n t b y c a l c u l a t i o n , o r b y p l o t t i n g in
F i g . 18 ( n o t e t h a t t h e s c a l e f o r c' i s d i f f e r e n t
from that c hosen for p ^ ) .
F i g . 18 Cohesion values and isotropic normal
It is interesting to note that i n F i g . 19, had co nsol ida tion of London clay

18
 T h i s s e c t i o n is c o n c e r n e d w i t h t he e l a s t i c
b e h a v i o u r of the soil w i t h i n the y i e l d envelope.
U n f o r t u n a t e l y t he use of e l a s t i c t h e o r y in soil
m e c h a n i c s to d e s c r i b e soil b e h a v i o u r has l ed to
c o n s i d e r a b l e c o n f u s i o n in the l i t e r a t u r e f o r the
following reasons:
(i) Before plasticity theory was properly
a d a p t e d f o r u s e in s o i l m e c h a n i c s ,
a t t e m p t s w e r e u n d e r s t a n d a b l y m a d e to
represent complete stress- strain curves
by quasi-elastic b ehaviour and select
'equivalent' elastic moduli; t h e s e moduli
v a r y w i t h t h e m a g n i t u d e of s t r a i n and,
hence, wit h the application;
(ii) In many instances, no d i s t i n c t i o n has
been m a d e b e t w e e n the p r o p e r i n t e r p r e ­
t a t i o n of r e s u l t s in t e r m s of t o t a l
stresses for undr a i n e d beha v i o u r leading
to v a l u e s of Y o u n g ' s m o d u l u s E u a n d
F i g . 19 Normalised Hvorslev failure envelope
P o i s s o n ' s r a t i o v u , a n d in t e r m s of
for London clay
e f f e c t i v e s t resses leading to val u e s of
E ' a n d v ';
(ii i ) T h e c o m p l i c a t i o n s t h a t a r i s e d u e to
r e p r e s e n t i n g a n i s o t r o p i c b e h a v i o u r of
T h e i n t e r p r e t a t i o n o f t h e d a t a b y H v o r s l e v 1s soils by isotropic elasticity;
meth o d p r o vides a rational e x p l a n a t i o n for the (iv) Different values of elastic constants may
large range of c 1 obta i n e d from the fourteen be obtained for the same soil from d i f ­
trios of M o h r ' s circles. M o r e o v e r it l e a d s t o f e r e n t l a b o r a t o r y o r f i e l d tests, e.g.
a r e l a t i o n s h i p b e t w e e n c' a n d w, s o t h a t t h e triaxial, plane strain, direct shear test
d e s i g n e r h a s a v a i l a b l e a u n i q u e p r e d i c t i o n of or p r e s s u r e m e t e r test.
d r a i n e d s h e a r s t r e n g t h i n t e r m s o f w a n d p' .
The r e l a t i o n s h i p can a l s o be u s e d d i r e c t l y to It is h o p e d t h a t s o m e of the c o n f u s i o n c a n be
provide a rational basis for c o n t r o l l i n g the d i s p e l l e d by c o n s i d e r i n g q u a l i t a t i v e l y the
q u a l i t y of fill m a t e r i a l by m o n i t o r i n g w a t e r re sponse of two identical samples of lightly
o v e r c o n s o l i d a t e d clay, one s u b j e c t e d to a c o n ­
content.
ventional undr a i n e d triaxial test and the other
to a con v e n t i o n a l dra i n e d triaxial test. The
3.5 Elastic behaviour
r e s p o n s e s o f t h e t w o s a m p l e s a r e i l l u s t r a t e d in
3.5.1 Triaxial tests F i g . 20.
T h e e v i d e n c e p r e s e n t e d i n t h e n e x t s e c t i o n 3.6
s h o w s t h a t f o r a c l a y s p e c i m e n t h e r e is a y i e l d A f t e r (isotropic) c o n s o l i d a t i o n the initial
e n v e l o p e in tr i a x i a l stress space w h i c h contains s t a t e o f t h e t w o s a m p l e s is r e p r e s e n t e d b y
s t r e s s s t a t e s f o r w h i c h t h e s p e c i m e n b e h a v e s in p o i n t J i n F i g . 2 0 (a). It is a s s u m e d t h a t t h e i r
an elastic manner. If t h e s p e c i m e n is l o a d e d y i e l d e n v e l o p e H L N I is k n o w n , t o g e t h e r w i t h t h e
so t h a t t h e s t r e s s s t a t e p a s s e s o u t s i d e the c r i tical state line OHMQ.
envelope then the specimen yields and undergoes
For an isotropic elastic material in a n u n d r a i n e d
large plastic strains.

Fig 20 I d e a l i s e d r e s p o n s e s of samples of lightly o v e r c o n s o l i d a t e d clay

in u n d r a i n e d a n d d r a i n e d t r i a x i a l c o m p r e s s i o n t e s t s

19
test, there ca n be no v o l u m e change, so that
the m e a n p r i n c i p a l e f f e c t i v e str e s s m u s t rem a i n
constant. This means that the initial elastic
phase of the undr a i n e d test has the 'vertical'
e f f e c t i v e s t r e s s p a t h J K L i n F i g . 2 0 (a). At L
t h e y i e l d e n v e l o p e is r e a c h e d , t h e s a m p l e y i e l d s
and the e f f e c t i v e str e s s p ath bends o v e r to
f o r m t he c u r v e LM; at M the sample reaches
u n d r a i n e d failure at the criti c a l state.

The c o r r e s p o n d i n g s t r e s s - s t r a i n r e s p o n s e of the
u n d r a i n e d s a m p l e is s h o w n in F i g . 2 0 ( b ) , w i t h
the in i ti a l l i n e a r (elastic) p h a s e JKL, a n d the
s u b s e q u e n t e l a s t i c - p l a s t i c c u r v e LM, w i t h M
being reached after very large strain. From
H o o k e ' s l a w t h e g r a d i e n t o f J K L is g i v e n b y

A£_
Act j-Aa 3
(38)
Ae,

and because of the undrained condition v u = 0.5.

The b e h a v i o u r of the second sample, s u b j e c t e d F i g . 21 Var i a t i o n of shear modulus of London

t o a c o n v e n t i o n a l d r a i n e d t r i a x i a l t e s t , is clay with pressure and overconsolidation ratio
d r a w n a s t h e d a s h e d l i n e J N P Q i n F i g . 20. ( d a t a f o r A s h f o r d C o m m o n S h a f t f r o m W e b b , 1967)
B e c a u s e t h e t e s t is a d r a i n e d o n e in w h i c h t h e
c e l l p r e s s u r e is k e p t c o n s t a n t , t h e n AoJ = 0 a n d
t h e e f f e c t i v e s t r e s s p a t h is n e c e s s a r i l y of
g r a d i e n t 3 in F i g . 2 0 ( a ) . This path intersects
stress state and on the relevant effective
t h e y i e l d e n v e l o p e a t N, t h e s a m p l e y i e l d s a n d
stress path. F o r e x a m p l e , in F i g . 2 0 ( b ) the
e ventually reaches drained failure on the
p o i n t f o r E ^0 f o r t h e u n d r a i n e d t e s t w o u l d b e at
c r i t i c a l s t a t e l i n e a t Q.
K, b e f o r e y i e l d , g i v i n g E 50 u whereas, for the
d r a i n e d t e s t i t w o u l d b e a t P, s o t h a t E 50 w o u l d
The initial lin e a r (elastic) phase of the
be considerably less than E ' .
stress-strain curve JN has grad ien t given by
All the above argument applies to the inter p r e ­
A£_ = E' . (39) t a t i o n of t r i a x i a l t e s t s of c l a y s in t e r m s of
A e,
isotropic elasticity. If the c l a y d i s p l a y s
a n i s o t r o p i c b e h a v i o u r this wil l affe c t the
The relationships between the elastic constants
r e s ults, e.g. a n u n d r a i n e d t e s t w i l l n o t h a v e
are such that
A p ' = 0, s o t h a t t h e e f f e c t i v e s t r e s s p a t h w i l l
n o t b e v e r t i c a l in a (p',q) p l o t . Some
= G G' (5 b i s ) comments on this topic have been made by Parry
2 (1 + v )
u a n d W r o t h (1977), a n d a f u l l e r t r e a t m e n t g i v e n
r e c e n t l y b y G r a h a m a n d H o u l s b y (1983).
so that
Setting aside the possibility of anisotropic
fu 2 <1+V
(40) elastic behaviour, another feature of granular
E' 2 ( 1 + v ') 2 (1 +\>' )
m a t e r i a l s is t h a t t h e v a l u e s o f t h e m o d u l i a r e
kn o w n to be a f u n ction of the mea n effe c t i v e
T h e l i k e l y r a n g e o f v ' f o r c l a y s is stress. T his v a r i a t i o n is n o w examined, and
0.12 < v ' < 0.35 so the ratio of m o d u l i will f o r t h e r e a s o n s a l r e a d y g i v e n t h i s is d o n e in
v a r y b e t w e e n 1.34 a n d 1.11, say. t e r m s o f t h e s h e a r m o d u l u s G.

The marked contrast between the two stress- The v a l u e of G/p' for any p a r t i c u l a r c lay
strain curves serves to emphasise the d i f f e r ­ i n c r e a s e s w i t h OCR, b u t t h e m a n n e r in w h i c h t h i s
ences between the undrained and drained occurs has not previously been established. The
behaviour: r e s u l t s p r e s e n t e d i n F i g . 3 o f L a d d ' s p a p e r (1964)
s u g g e s t t h a t t h e i n c r e a s e is l i n e a r l y r e l a t e d t o
(a) the initial elastic phases have different the l o g a r i t h m of OCR. This was also indicated
g r a d i e n t s ( Eu , E ' ) , b y t h e a n a l y s i s b y W r o t h (1971) o f t h e t e s t s o n
(b) the elastic phases finish when yield undisturbed London clay carried out by Webb
o c c u r s a f t e r d i f f e r e n t m a g n i t u d e s of (1967). In this latter case, however, the o v e r ­
d e v i a t o r s t r e s s (q£, <3 n ) , a n d c o n s o l i d a t i o n r a t i o is i m p o s s i b l e to d e t e r m i n e
a n d an a l t e r n a t i v e p a r a m e t e r V\ is used. This
(c) the final strengths are different
p a r a m e t e r d e f i n e d a s V ^ = V + X Jin p' h a s t h e
(points M and Q ) . s p e c i a l p r o p e r t y t h a t i t s v a l u e is c o n s t a n t
It has o f t e n b e e n the p r a c t i c e to sele c t the a l o n g a n y l i n e w h i c h is p a r a l l e l t o t h e n o r m a l
secant modulus Ejq at a point on the stress- c o n s o l i d a t i o n line, a n d it is l i n e a r l y r e l a t e d
strain c u r v e c o r r e s p o n d i n g to h alf the f a ilure t o t h e l o g a r i t h m o f O C R (see S c h o f i e l d a n d Wroth,
strength, an d then use this for p r e d i c t i o n s of 1968) .
deformations. Such a simple engineering
approach involves further hidden inconsisten­ F i g . 21 s h o w s t h e p r o c e s s e d d a t a f o r L o n d o n c l a y
cies, in t h a t t he p o i n t on the s t r e s s - s t r a i n w h e r e G / p ^ is p l o t t e d a g a i n s t V ^ . The results
c u r v e s e l e c t e d f o r E 50 d e p e n d s o n t h e i n i t i a l lie cl o s e to a s t r a i g h t line. It is t h e r e f o r e

20
assumed that the ratio G/pq obeys the following
relationship:
G/p' = (G/p') [ 1 + Cf tn ( O C R ) ] (41)
ro o nc
w h e r e ( G / P q ) is t h e v a l u e f o r a n o r m a l l y c o n ­
s o l i d a t e d s p e c i m e n , a n d C is s o m e ( d i m e n s i o n l e s s )
soil c o n s t a n t that w o u l d nee d to be m e a s u r e d for
any p a r t i c u l a r soil. In the c a s e of L o n d o n
c lay the v a l u e of C c a n n o t be d e d u c e d b e c a u s e
the actual valu e s of O C R are no t known.
A s i m p l e w a y o f p r e s e n t i n g t h i s r e l a t i o n s h i p is
b y m e a n s o f F i g . 22, w h i c h is a c h a r t r e l a t i n g
t h e r a t i o G / p q w i t h t h e c o n s o l i d a t i o n h i s t o r y of
an e l e m e n t of the L o n d o n clay. For each value
o f V j , i . e . f o r e a c h l i n e o f g r a d i e n t -X ( p a r a l ­
lel to the normal c o n s o l i d a t i o n and cri t i c a l
s t a t e line s ) t h e r e is a u n i q u e v a l u e o f t h i s
ratio. M o r e o v e r G /p£ v a ries linearly w ith the
p o s i t i o n of the lines in this s e m i - l o g a r i t h m i c
plot.
T h e d i s a d v a n t a g e o f t h i s c h a r t is t h a t it
re quires k n o w l e d g e of the m e a n p r i n c i p a l e f f e c ­
tive stress P q acting on a soil sample. In
many circumstances this will not be known,
b e c a u s e o f i g n o r a n c e o f t h e v a l u e o f t h e i n situ
lateral effective stress. An alternative, but
l e s s s a t i s f a c t o r y a p p r o a c h is t o r e l a t e t h e
shear mod u l u s to the undr a i n e d shear strength
in t h e m a n n e r d i s c u s s e d belo w .
T h e v e r y l i m i t e d d a t a a v a i l a b l e for v a l u e s of
G/Pq are only for triaxial tests on i s o t r o p i ­
cally normally c o n s o l i d a t e d clay. For one-
d i m e n s i o n a l l y c o n s o l i d a t e d spec i m e n s it seems
r e a s o n a b l e to h y p o t h e s i s e that valu e s of G /po
or G / a v o w o u ld vary w i t h O C R in the m a n n e r
s u g g e s t e d b y e q u a t i o n (41) b u t w i t h a d i f f e r e n t
v a l u e o f C. F u r t h e r indirect evidence for
t h i s r e l a t i o n s h i p is g i v e n by r e v i e w i n g v a l u e s
of G / s u , w h i c h is d e f i n e d as the r i g i d i t y i n d e x
I r (Vesic, 1972) .
3.5.2 Other tests
A search of the literature has not prod u c e d any
g o o d q u a l i t y d a t a for the v a r i a t i o n of G / s u with
OCR from triaxial tests on isotropicallly con­
s o l i d a t e d s p e c i m e n s of clay. However, the
o r i g i n a l M I T r e s e a r c h r e p o r t s b y L a d d e t al
(1971) a n d L a d d a n d E d g e r s (1972) c o n t a i n g o o d
q u a l i t y d ata of b oth plane strain and dir e c t
simple shear tests on a number of clays, which
are necessarily consolidated on e - d i m e n s i o n a l l y .
T h e p a t t e r n of b e h a v i o u r c a n be e x p e c t e d to be
very similar but not identical to that for
triaxial test results on isotropically c o n s o l i ­
dated specimens.
The data from undrained direct simple shear
tests on Boston blue clay have been replotted
in F i g . 23 a s t h e r i g i d i t y i n d e x a g a i n s t OCR.
S e c a n t v a l u e s w e r e s e l e c t e d b y L a d d e t al. at
v a r i o u s stages of the test to g ive the 'Factors
of Safety' shown. This p a t t e r n of b e h a v i o u r
can be m o d e l l e d by c o m b i n i n g the relati o n s h i p s
(G/a;o ) ( G / a v o ) n c [1 + C *n (0CR) 1
(s , /o' ) OCR
(su d s / o i o ) uds v o nc
to g i v e
-A
(G/s , ) [ 1 + C i n (OCR)] O C R ' . (44)
(G/su d s ) uds n c
F i g . 22 D ia gram for e stimation of shear modulus
from pressure and water content
T h i s l a s t e x p r e s s i o n h a s b e e n p l o t t e d i n F i g . 23
w i t h A taken as 0.8 and for three d i f f e r e n t
v a l u e s o f C = 1.4, 1.0 a n d 0.6. For a conve­
ni e n t c o m p a r i s o n w i t h the e x p e r imental data the
u p p e r c u r v e ( F . S . = 4) h a s b e e n i n c l u d e d a s t h e
d a s h e d line.
It m u s t b e e m p h a s i s e d t h a t t h e v a l u e s p l o t t e d
a r e s e c a n t m o d u l i t a k e n f r o m t h e r e l e v a n t stress-
strain curves. As a r g u e d e a r l i e r , t h e r e is the
q u e s t i o n of w h e t h e r y i e l d ma y have o c c u r r e d
duri n g the test, thereby reducing the chosen
va l u e of the secant modulus. This effect will
inc r e a s e as o v e r c o n s o l i d a t i o n ratio reduces
( F i g . 20) s o t h a t t h e v a l u e s q u o t e d f o r t h e
normally consol i d a t e d samples are suspect, and
almo s t c e r t a i n l y u n d e r e s t i m a t e s of the real
elastic shear modulus.
E q u a t i o n (44) p r o v i d e s a p o s s i b l e e x p r e s s i o n f o r
h o w I r vari e s wit h OCR. Results from other
types of tests w o u l d be e x p e c t e d to s how a
similar pattern. This attempt to relate the
v a l u e of shear m o d u l u s w i t h stress level,
undrained shear strength and overconsolidation
r a t i o has b e e n b a s e d on the r e sults of m o n o ­
tonic tests c o n d u c t e d in the t r iaxial appar a t u s
or d i r e c t shear test, and a p p l i e s to re l a t i v e l y
large v a l u e s of a m p l i t u d e of shear strain.
D y n a m i c t e s t s on s o i l s e i t h e r in t h e l a b o r a t o r y
by m e a n s of the r e s o n a n t c o l u m n test, or by a
v a r i e t y of g e o p h y s i c a l tests in the field,
produce c o nsistently higher values of shear
mo d u l i as a c o n s e q u e n c e of the m u c h s m a ller
s t r a i n a m p l i t u d e s t o w h i c h t h e s o i l is s u b j e c t e d .
T h e same p a t t e r n is o b s e r v e d , b u t th e a c t u a l
d y n a m i c v a l u e s ma y be an o r d e r of m a g n i t u d e
greater; c l e a r l y it is v i t a l f o r t h e d e s i g n
e n g i n e e r to select v a l u e s of G w h i c h are relevant
<42) to the m a g n i t u d e s of shear str a i n of concern.
For e x a m p l e it ha s b een s u g g e s t e d by S i m p s o n et
(43) al. (1979) t h a t t h e r e is a ' t h r e s h o l d e f f e c t ' in
very stiff overconsolidated clays.
A r e v i e w of the e n g i n e e r i n g p r o p e r t i e s of soils
w i t h special emphasis on the shear modulus has
21
 Ir =

2 4 6 8
OCR OCR

Direct simple shear test on Boston yy1- = [1+Cln (OCR)] (OCR)*

Blue Clay '‘
rW

F i g . 23 Variation of rigidity index with overconsolidation ratio

b e e n m a d e b y W r o t h e t al. (1979); in th i s s o i l s a n d h o w e a c h l o c u s is r e l a t e d to the p r e ­

d o c u m e n t r e f e r e n c e is m a d e to w o r k on d y n a m i c consolidation pressure. T h e l a t t e r s e r i e s of
val u e s of m o d u l i by m a n y a u t h o r s bu t in p a r t i ­ tests w ill be d i s c u s s e d in some detail as they
c u l a r t o H a r d i n a n d B l a c k (1966) a n d I w a s a k i e t clearly demonstrate the plastic nature of clay
al. (1978). behaviour.

3 .6 Evidence of yield from triaxial tests G r a h a m e t al. c a r r i e d o u t a s e r i e s of t e s t s o n

specimens of undist u r b e d Winn i p e g clay taken
Following the f ormative work at Imperial College
from four different horizons. Each set had a
in t he 1950's, an e x t e n s i v e p r o g r a m m e of
different consolidation history, with a differ­
r e s e a r c h at the U n i v e r s i t y of C a m b r i d g e on
ent value of precons olid ati on pressure, o^c .
re c o n s t i t u t e d soils, i s otropically consolidated,
Each specimen was anisotropically reconsolidated
led to the c o n c e p t s of Cri t i c a l State Soil
in t he t r i a x i a l a p p a r a t u s to its p r e s u m e d v a l u e
Mechanics. A central feature of this approach
of in s i t u e f f e c t i v e s t r e s s e s , a n d t h e n w a s
to u n d e r s t a n d i n g so i l b e h a v i o u r is the a p p l i ­
s u b j e c t e d to one of a range of tests w ith a
c a t i o n of the theory of plasticity. This
s p ecific e f f e c t i v e stress path, as illu s t r a t e d
d e v e l o p e d f r o m t h e i m p o r t a n t c o n t r i b u t i o n s of
i n F i g . 24.
D r u c k e r , G i b s o n a n d H e n k e l (1957) a n d o f
C a l l a d i n e (1963), w h i c h s h o w e d h o w p l a s t i c i t y
A yield point was identified for each test by
theory had to be a d a p t e d to a c c o u n t for the
a p p l y i n g a v a r i e t y o f c r i t e r i a , a n d in m o s t
c o n s o l i d a t i o n b e h a v i o u r of soils and the i n f l u ­
cases was clearly defined by a m arked sudden
e n c e of v o l u m e t r i c s t r a i n s .
c h a n g e of stif f n e s s in an a p p r o p r i a t e stress-
strain plot. F i g . 25 s h o w s t h e r e s u l t s o f o n e
T h e e v i d e n c e of y i e l d in t e s t s on u n d i s t u r b e d
t e s t p l o t t e d in q-e space, a n d the c h a n g e in
soil w a s f i r s t o b t a i n e d b y M i t c h e l l (1970), w h o
s t i f f n e s s at y i e l d is c l e a r l y a p p a r e n t . The
carried out a series of triaxial tests on Leda
e x i s t e n c e of a " p r e c o n s o l i d a t i o n p r e s s u r e " in
clay, specially d e s i g n e d for this purpose. He
c o n s o l i d a t i o n t e s t s is a n o t h e r i m p o r t a n t example
tested a suite of specimens all cut from one
of yield; s e e , f o r i n s t a n c e , F i g . 7. The
b l o c k sample so that they had identical histories
i n d i v i d u a l y i e l d p o i n t s h a v e b e e n p l o t t e d in
of consolidation; by applying different stress
F i g . 26 , r e p r o d u c e d f r o m t h e p a p e r b y G r a h a m e t
paths a set of indivi d u a l yi e l d poin t s for m e d a
al. (The p o i n t s m a r k e d w i t h c r o s s e s a r e t h e end
w e l l - d e f i n e d y i e l d locus in e f f e c t i v e stress
poi n t s of tests u sed to e s t a b l i s h the p o s i t i o n
space. S u b s e q u e n t w o r k by T a v e n a s and Leroueil
of the c ritical state line.)
(1977) o n St. A l b a n c l a y a n d b y G r a h a m , N o o n a n
a n d L e w (1983) o n W i n n i p e g c l a y h a s c o n f i r m e d The four yield envelopes have the same shape in
the exis t e n c e of y i e l d loci for undist u r b e d the ( p ',q) s t r e s s s p a c e w i t h t h e i r s i z e

22
 F i g . 25 Stress strain curve for one test on
Winnipeg clay

F i g . 24 Stress path test directions after

initial K Q consolidation
i n c r e a s i n g w ith the va l u e of the rel e v a n t p r e ­
consolidation pressure. By n o r m a l i s i n g the
s t r e s s e s w i t h r e s p e c t to t h e e s t i m a t e d v a l u e of
the p r e c o n s o l i d a t i o n p r e s s u r e the unique yield
e n v e l o p e o f F i g . 2 7 (a) i s o b t a i n e d . Its shape
is a p p r o x i m a t e l y e l l i p t i c a l , b u t i n s t e a d of
b e i n g s y m m e t r i c a l a b o u t t h e p ' - a x i s , i t is m o r e
nearly symmetrical about the K Q -line. This
a s y m m e t r y s e e m s to be a c o m m o n f e a t u r e of
n a t u r a l c l a y s , a n d is r e l a t e d t o t h e a n i s o t r o p y
i n duced by the h i s t o r y of o n e - d i m e n s i o n a l c o n ­
solidation. In o r d e r to c o n f i r m this, G r a h a m
a n d L i (1984) h a v e c o n d u c t e d a f u r t h e r s e r i e s
of tests on r e c o n s t i t u t e d W i n n i p e g clay. After
a nisotropic reconsolidation to simulate the
stress h i s t o r y of the u n d i s t u r b e d clay, the
same y i e l d locus was o b s e r v e d as for the u n d i s ­
turbed specimens; th u s the a n i s o t r o p y is caused
b y t h e s t r e s s h i s t o r y a n d i t i s n o t d e p e n d e n t on
some special c o n d i t i o n s of its g e o l o g i c a l

F i g . 26 Yield envelopes o b s e r v e d in t r iaxial tests on u n d i s t u r b e d W i n n i p e g clay

( a f t e r G r a h a m e t al., 1983)

23
 06

0 .5

0 .4
->
o
b
cx 0.3

o.e

S P E C IF IC VOLUME V

26

vc
• 191 kPd
o 241 k P a
23 A 310 kPo
4 3 80 kPo
-I-------- 1________ I_________ L.

P/^u

F i g . 27 Normalised yield envelope for Winnipeg clay (after G r a h a m et al., 1983)

history. G r a h a m a n d H o u l s b y (1983) c o n f i r m e d elastic strains m ay be challenged, the broad

that the e l a s t i c p r o p e r t i e s of the W i n n i p e g f r a m e w o r k of a r e g i o n of stre s s space in w h i c h
clay are also anisotropic. relatively small elastic strains occur seems
well established. S i m i l a r l y the p a t t e r n of
T h e p a t t e r n of b e h a v i o u r o b s e r v e d by Graham, c l a y b e h a v i o u r in c o n s o l i d a t i o n is w e l l u n d e r ­
N o o n a n a n d l e w (1983) m a y b e c h e c k e d f u r t h e r stood, and this has bee n linked w i t h the ideas
aga i n s t the c r i t i c a l state f r amework by e x a m i ­
n i n g the v a l u e s of t h e s p e c i f i c v o l u m e at yield.
For each set of s p e c i m e n s h a v i n g one c o m m o n
va l u e of p r e c o n s o l i d a t i o n p r e s s u r e OyC , the
y i e l d p o ints should all lie on one s w e lling line
in t h e c o n s o l i d a t i o n p l o t of F i g . 2 6 ( b ) o r
Fig.27(b). Moreover the spacing of these
swelling lines wil l be rel a t e d to the relev a n t
v a l u e s of OyC . By n o r m a lising the specific
v o l u m e to take a c c o u n t of c o n s o l i d a t i o n due to
c h a n g e s in O y C i b y p l o t t i n g (V+X i n a y C | a g a i n s t
( p ' / o y C ) a t y i e l d , a u n i q u e c u r v e is e x p e c t e d .
F u r t h e r m o r e , if a l o g a r i t h m i c s c a l e is u s e d f o r
(p'/<JvC ) t h e y i e l d p o i n t s a r e a l l e x p e c t e d t o
lie on a straight line of gradient - k . The
d a t a f r o m t he t e s t s of G r a h a m e t al. h a v e b e e n
p l o t t e d a c c o r d i n g l y in F i g . 28, a n d a r e s e e n t o
be consistent with these concepts, giving a
v a l u e of < of 0.09, w h i c h is in a c c o r d a n c e w i t h
other m e a s u r e d k values for this clay.

3.7 Elastic-plastic models

In an earlier s e c t i o n t h e e l a s t i c b e h a v i o u r of
clays has been discussed. Although some
a s p e c t s of c lay e l a s t i c i t y are still in q u e s t i o n F i g . 28 Normalised p o s i t i o n of y i e l d e n v e l o p e
and, indeed, the e x i s t e n c e of a reg i o n of p u r e l y in c o n s o l i d a t i o n space for Winnipeg clay

24

of p l a s t i c i t y theory t h r o u g h the e x i s t e n c e of
yield loci for clays. F a i l u r e of c l a y s at
h i g h v a l u e s o f O C R o n a H v o r s l e v s u r f a c e is
also a well established pattern.
These ideas must now be drawn together into a
single c o n s i s t e n t m o d e l for the b e h a v i o u r of
clays. B e f o r e this c a n be d o n e s o m e w a y of
deter m i n i n g the m a g n i t u d e s of plastic strains
has to be found. The m a g n i t u d e of the v o l u ­
m e t r i c p l a s t i c s t r a i n v<P> is d e t e r m i n e d f r o m
the c h a n g e s in the si z e of t he y i e l d sur f a c e .
T h e s h e a r s t r a i n s c o u l d t h e n b e d e t e r m i n e d if
t h e p l a s t i c p o t e n t i a l ( s e e S e c t i o n 2) i s k n o w n .
F i g . 29 s h o w s t h e p l a s t i c s t r a i n i n c r e m e n t
v e c t o r s o b s e r v e d b y G r a h a m e t al. p l o t t e d o n the
same d i a g r a m as the y i e l d locus, and these
v e c t o r s a re se e n to be a p p r o x i m a t e l y n o r m a l to
the locus. It is t h e r e f o r e r e a s o n a b l e for soft
c l a y s to u s e the " a s s o c i a t e d f l o w r u l e ” to deter­
m i n e p l a s t i c s t r a i n s , i.e. t h e p l a s t i c p o t e n t i a l
is t a k e n a s i d e n t i c a l w i t h t h e y i e l d l o c u s .
3.7.1 The Modified Cam-Clay model
A s a n e x a m p l e o f a c o m p l e t e s o i l m o d e l w h i c h is
capable of incorpo r a t i n g the above features the
M o d i f i e d C a m - C l a y m o d e l is n o w b r i e f l y desc r i b e d .
T h e m o d e l is i n t e n d e d p r i m a r i l y f o r t r i a x i a l
tests on isotropically c o nsolidated clays, and
a l t h o u g h it c a n be a d a p t e d to m o r e g e n e r a l
stress states and to d i f f e r e n t c o n s o l i d a t i o n
histories, it m a y of cou r s e n o t r e f l e c t some of
t h e i m p o r t a n t f e a t u r e s o f s o i l b e h a v i o u r in
these cases. In g e n e r a l the m o d e l is e x c e l l e n t
f o r p r e d i c t i n g v o l u m e c h a n g e s in d r a i n e d t e s t s
and p ore p r e s s u r e s in u n d r a i n e d tests, but
p e r f o r m s l e s s w e l l in t h e p r e d i c t i o n of s h e a r
strains.
T h e s h a p e o f t h e y i e l d c u r v e . F i g . 3 0 (a), is
a s s u m e d to be elli p t i c a l ; t h i s c h o i c e is b a s e d
on c o n s i d erations of energy d i s s ipated p l a s t i ­
cally w i t h i n the s p e cimen (Roscoe and Burland,
1968). O n e s e m i - a x i s o f t h e e l l i p s e B A is
fixed by the c o n s o l i d a t i o n h i s t o r y r e l e v a n t to
the specimen. T h e o t h e r s e m i - a x i s BXj is g i v e n
b y t h e a s s u m p t i o n t h a t t h e p o i n t X x is o n t h e
l in e o f c r i t i c a l s t a t e s q = Mp' f o r the f a i l u r e
F i g . 29 Normalised yield envelope and plastic strain
i n c r e m e n t d i r e c t i o n s ( a f t e r G r a h a m e t al., 1983)
Failure line
/(Critical states)
v=r
(a) (b)
F i g . 30 D e t a i l s of y i e l d surface for Modi f i e d
Cam-Clay model
states of normally c o n solidated specimens. The
e q u a t i o n o f t he y i e l d l o c u s is thus:
q2 = M 3 p ’( p ^ - p ' ) . (45)
As shown in Fig.30(b) both c o n s o l i d a t i o n and
s w e l l i n g lines are c o n s i d e r e d as s t r a i g h t in
V - H n p ' space. T h e c r i t i c a l s t a t e l i n e is
a s s u m e d to b e p a r a l l e l to the n o r m a l c o n s o l i ­
d a t i o n l i n e i n t h e l o g a r i t h m i c p l o t o f Fig.30(b).
The complete description of the model requires
five p a r a m e t e r s to s p e c i f y th e s h a p e a nd si z e of
the y i e l d locus for a soil specimen at a given
p r e s s u r e a n d s p e c i f i c voluire, a s w e l l a s t h e
e l a s t i c p r o p e r t i e s of the material.
The elastic b e h a v i o u r of the s pecimen for stress
states w i t h i n the c u r r e n t yi e l d locus is a s s u m e d
to be isotropic, bu t w ith the bulk m o d u l u s
directly dependent upon the current mean stress
p'. T h i s l a t t e r f e a t u r e is a c o n s e q u e n c e of
the v o l u metric strains a s s o ciated with the
s w e l l i n g a n d r e c o m p r e s s i o n l i n e s h X 1 a n d G X 2 in
Fig.3 0 (b).
Simple calculation shows that for a specimen
e x p e r i e n c i n g a p r e s s u r e p' t h e e l a s t i c i n c r e ­
mental bulk modulus, derived from the local
g r a d i e n t of the sw e l l i n g line, can be written:
K = V p */ k • (46)
T h e e l a s t i c s h e a r r e s p o n s e is s p e c i f i e d b y
a s s u m i n g a c o n s t a n t s h e a r m o d u l u s G, s i n c e a n y
assumption of variation of G with pressure can
r e s u l t in a m o d e l w h i c h i s t h e r m o d y n a m i c a l l y
unacceptable.
This model s u ccessfully reproduces the major
d e f o r m a t i o n c h a r a c t e r i s t i c s of sof t c l a y , a n d is
e xp r e s s e d in terms of effective stress allowing
p r e d i c t i o n s to be m a d e of p o r e p r e s s u r e s in
u n d r a i n e d tests. It h as b e e n u s e d s u c c e s s f u l l y
in s e v e r a l a p p l i c a t i o n s .
T h i s m o d e l w a s u s e d in t h e p r e d i c t i o n s y m p o s i u m
a t M o n t r e a l (Wrot h a n d H o u l s b y , 1980) w h e r e
e x c e l l e n t p r e d i c t i o n s for la b o r a t o r y tests on
two natural clays were achieved. The fitting
to r e s u l t s of h o l l o w c y l i n d e r torsion tests on
kaolin was much less satisfactory, and this
h i g h l i g h t s the p r o b l e m of a p p l y i n g t h e r e s u l t s
of laboratory tests involving fixed directions
of p r i n c i p a l stress to o t h e r tests and to field
p r o b l e m s i n v o l v i n g r o t a t i o n of stresses. In a
m ore recent s y m p o s i u m at G r e n o b l e (Houlsby et
al., 1982), the m o d e l was again u s e d successfully
25
to p r e d i c t the r e s u l t s of l a b o r a t o r y tests on
kaol i n , a l t h o u g h in t h i s c a s e the m o d e l wa s
s l i g h t l y m o r e c o m p l e x in th a t it i n c l u d e d a l s o
a "Hvorslev surface" and allo w a n c e for the
sp ecimen not to be c o m p l e t e l y saturated.
T h e m o d e l has b e e n i m p l e m e n t e d in Fin i t e
Element programs, and was used for instance by
C a r t e r (1982) t o m a k e c a l c u l a t i o n s o n n o n -
h o m o geneities and rate effects due to partial
c o n s o l i d a t i o n in t r i a x i a l tests. It w as also
u s e d in c a l c u l a t i o n s f or t h e v a r i a t i o n of
un d r a i n e d s t r e n g t h w i t h time as c o n s o l i d a t i o n
t a k e s p l a c e a r o u n d d r i v e n p i l e s ( R a n d o l p h e t al .
1979).
In f i e l d a p p l i c a t i o n s a v e r y s i m i l a r m o d e l w a s
used to m ake p r e d i c t i o n s of p ore p r e s s u r e s and
d e f o r m a t i o n s for the M I T test e m b a n k m e n t (Wroth
et al., 1974), w i t h v e r y s a t i s f a c t o r y r e s u l t s
being obtained. Numerous other applications
of the m o d e l h ave also b e e n made.
3.7.2 Other plasticity models
M o d i f i e d C a m - C l a y was not, however, the first
p l a s t i c i t y model of its type p r o p o s e d for soil.
D r u c k e r , G i b s o n a n d H e n k e l (1957) p u b l i s h e d a
m o d e l w i t h several of the ke y f eatures of clay
behaviour, and the M o d i f i e d C a m - C l a y differs
o n l y in t he s h a p e of t he y i e l d l o c u s f r o m the
original Cam-Clay model (Schofield and Wroth,
1968). N o r is it b y a n y m e a n s t h e l a s t w o r d
in p l a s t i c i t y m o d e l l i n g , a nd n u m e r o u s t h e o r i e s
which are based on similar concepts have been
published. In the U n i t e d States the m o d e l s
are often termed "cap models", and n e arly all
are b a s e d on the C a m - C l a y concepts. In
particular, the link between volumetric strain
a n d si z e of the y i e l d l o c u s is a c o m m o n feature.
This type of m o d e l seems n o w to r e p r e s e n t the
consensus of opinion on clay modelling, and was
for ins t a n c e a d o m i n a n t theme at the rec e n t
co n f e r e n c e on N u m e r i c a l M o d e l s in G e o m e c h a n i c s
in Z u rich, 1982. Th e r e are, however, m any
v a r i a t i o n s o n t h e the m e , t h e m o s t i m p o r t a n t of
which are outlined below.
T h e m a i n p r o b l e m w i t h M o d i f i e d C a m - C l a y is its
poor pre dict ion of shear strains. A t t e m p t s to
improve this aspect depend mainly on intro­
d ucing some additional strains w i t h i n the yield
locus. M r o z (1967) f i r s t s u g g e s t e d t h e u s e of
a s e t o f n e s t e d y i e l d l o c i , a n d P r e v o s t (1977)
has applied this approach to con s t r u c t a model
for clay. Altho u g h quite successful for
modelling triaxial tests this approach suffers
from the n eed to d e t e r m i n e a v ery large numb e r
o f m a t e r i a l p a r a m e t e r s , a n d is e x t r e m e l y c o s t l y
in terms of c o m p u t i n g time.
A n a l t e r n a t i v e to m u l t i p l e y i e l d loc i is the
use of a "Bounding Surface" model (Dafalias and
H e r r m a n n , 1980) in w h i c h t h e r e is a s t e a d y
transition from elastic to plastic behaviour.
T h i s m o d e l is m o r e e c o n o m i c a l in t e r m s of
m a t e r i a l c o n s t a n t s , b u t r e q u i r e s a n u m b e r of
empirically determined functions. It has
p r o v e d su c c e s s f u l in m o d e l l i n g tri a x i a l tests.
T h e i n t r o d u c t i o n of a " H v o r s l e v surface"- or a
similar means of improving strength p redictions
at high ov e r c o n s o l i d a t i o n ratios has bee n made
b y m a n y a u t h o r s (e.g. S a n d l e r a n d B a r o n , 1976;
H o u l s b y et al., 1982). Anisotropic elastic
properties have also been included, together
26
with variations on the shape of the yield
locus.
3.7.3 Deficiencies in p l a s t i c i t y models
T h e r e a re two o u t s t a n d i n g a r e a s w h e r e so far
little progress has been made. T h e f i r s t is
the m o d e l l i n g of a n i s o t r o p i c y i e l d loci. As
d i s c u s s e d in S e c t i o n 3.6 n a t u r a l c l a y s c l e a r l y
show a yield locus centred more nearly on the K 0
line than the isotr o p i c line. Ohta and Wroth
(1976) p u b l i s h e d a m o d e l w h i c h i n c o r p o r a t e d t h i s
feature, but the model was not e n t i r e l y s a t i s ­
f a c t o r y in t h a t the a n i s o t r o p y h a d to be a s s u m e d
initially and thereafter remained fixed irres­
pective of stress history. In r e a lity the
a n i s o t r o p y sho u l d d e v e l o p w i t h the h i s t o r y of
the sample. It is a m a j o r c h a l l e n g e to p r o d u c e
a simple model which reproduces the anisotropic
y i e l d of a n a t u r a l clay.
R e l a t e d t o t h e i n f l u e n c e o f a n i s o t r o p y is t h e
p r o b l e m of r o t a t i o n of the d i r e c t i o n of p r i n ­
cipal stresses. If a n y i s o t r o p i c p l a s t i c i t y
m o d e l is u s e d f o r a c l a y , t h e n r o t a t i o n o f t h e
d i r e c t i o n s of the p r i n c i p a l stresses, w i t h o u t
c h a n g i n g t h e i r m a g n i t u d e s , r e s u l t s in no
additional plastic strain. T h i s is q u i t e
contrary to the experimental evidence which
demonstrates that stress rotation does cause
plastic strains.
Q u a n t i t a t i v e e v i d e n c e a b o u t the m a g n i t u d e of the
s t r a i n s d u e to s t r e s s r o t a t i o n is d i f f i c u l t to
obtain, part l y bec a u s e the triaxial test allows
no such rotation. I m p o r t a n t r e s e a r c h w ork has,
however, b e e n c a r r i e d out on tests such as the
simple shear dev i c e (Ladd and Edgers, 1972), the
d i r e c t i o n a l s h e a r c e l l ( A r t h u r e t al., 1977) a n d
the h o l l o w c y l i n d e r t o r s i o n t e s t (Symes e t al.,
1 984) .
A n y m o d e l w h i c h a c c o u n t s f or th e e f f e c t s of
stress rotation must involve anisotropic plas­
t i c i t y a n d it m a y be t h a t the d e v e l o p m e n t of a
model which correctly models anisotropy will
a lso p r o v i d e a b e t t e r m o d e l l i n g of stress
rotation effects. It is e m p h a s i s e d t h a t th i s
p r o b l e m is n o t m e r e l y of a c a d e m i c i m p o r t a n c e ;
in m a n y field p r o b l e m s an i m p o r t a n t a s p e c t of
the s t r e s s c h a n g e s is t h e r o t a t i o n of t h e
p r i n c i p a l stress direction, e.g. under the toe
of an embankment. A m o d e l w h i c h fails to
a l l o w for t h e p l a s t i c s t r a i n s in t h e s e c i r c u m ­
s t a nces w ill imply too stiff a res p o n s e of the
soil and hence underpredict deformations.
The e f f e c t of stre s s r o t a t i o n ma y a l s o h ave an
important influence on the u n drained shear
s t r e n g t h , a n d W r o t h (1984) d i s c u s s e s t h e i n t e r ­
p r e t a t i o n of u n d r a i n e d s t r e n g t h o b t a i n e d from
the simple shear test.
T h e s e c o n d a r e a w h e r e d e v e l o p m e n t is r e q u i r e d is
the g e n e r a l i s a t i o n f rom tr i a x i a l to m o r e g e n e r a l
stress states. The Modified Cam-Clay model,
and man y other models, has been g e n e r alised by
a s s u m i n g a s e c t i o n of the y i e l d surface to be
c i r c u l a r in t h e o c t a h e d r a l p l a n e . However, as
e x perimental evidence shows, this g r o ssly o v e r ­
e s t i m a t e s s t r e n g t h in t r i a x i a l e x t e n s i o n , a n d
also r e s u l t s in i n c o r r e c t i n t e r m e d i a t e stress
r a t i o s in p l a n e strain. A m u c h b e t t e r fit to
the f a ilure e n v e l o p e for tests on c l a y at
d i f f e r e n t v a l u e s o f i n t e r m e d i a t e s t r e s s is g i v e n
b y t h e s h a p e s s u g g e s t e d b y L a d e (1972) o r
 o f s a y 22° t o a r e s i d u a l v a l u e 4>r o f 11°. This
d r a m a t i c f a l l in s t r e n g t h is c l e a r l y of g r e a t
c o n s e q u e n c e in p r o b l e m s of slope stability.

A n e x c e l l e n t r e v i e w of t h i s d i f f i c u l t p r o b l e m is
p r o v i d e d b y L u p i n i e t al. (1981). They empha­
sise that the p o s t - p e a k b e h a v i o u r of a soil
d e p e n d s o n t h e r e l a t i v e p r o p o r t i o n s of r o t u n d
p a r t i c l e s and p l a t y c l a y p a r t i c l e s , and on the
clay mineralogy. Foll o w i n g the work of Kenney
(1977) t h e y p r o p o s e t h e u s e of t h e v a r i a b l e e g
r e p r e s e n t i n g the v o i d r a t i o of the g r a n u l a r
p h a s e o f t h e s o i l as d e f i n e d a s
volume of platy part i c l e s and w a t e r ^
eg “ v o l u m e of r o t u n d p a r t i c l e s
F o r h i g h v a l u e s o f eg, w h i c h w i l l o c c u r in s o i l s
with high clay content and high plasticity
indic e s , the p l a t e s h a p e d c l a y p a r t i c l e s can
a l i g n t h e m s e l v e s p a r a l l e l t o t h e f a i l u r e surface;
t h e m o d e o f d e f o r m a t i o n c h a n g e s f r o m w h a t is
c a l l e d ' t u r b u l e n t s h e a r ' to ' s l i d i n g s h e a r N o
l o n g e r is t h e r e a f a i l u r e z o n e of f i n i t e w i d t h ,
b u t a s u r f a c e b e t w e e n t w o b l o c k s of c l a y t h a t
ar e s l i d i n g r e l a t i v e to one a n o ther. This
residual behaviour only occurs after very sub­
s t a n t i a l s h e a r strains, and f o r w h i c h the
c o n c e p t o f s t r a i n is n o l o n g e r a p p l i c a b l e .
D i s c u s s i o n of a s i m i l a r i n s t a n c e of d i s c o n t i n ­
F i g . 31 S e c t i o n s o f f a i l u r e s u r f a c e s in
u o u s b e h a v i o u r , s h e a r b a n d s in s a n d s , i s m a d e in
principal stress space
S e c t i o n 4.5.

M a t s u o k a a n d N a k a i (197 4 ) , s e e F i g . 31. It i s
reasonable to expect that a section of the
yield locus would have a similar shape. Whilst
these s h a p e s h a v e b e e n a p p l i e d in the m o d e l l i n g
o f s a n d s (see S e c t i o n 4.4) a n d a t t e m p t s h a v e
b e e n m a d e to c o m b i n e t h e m w i t h c r i t i c a l state
c o n c e p t s , an e n t i r e l y s a t i s factory s o l ution has
not y e t been found. T h e d i f f i c u l t i e s lie i n
the c h o i c e of a c o n s i s t e n t f r a m e w o r k for c o m ­
b i n i n g t h e i d e a s of c r i t i c a l s t a t e t h e o r y w i t h
the obse r v e d failure surfaces.
The c o r r e c t g e n e r a l i s a t i o n of y i e l d loci from
t r i a x i a l t o g e n e r a l s t r e s s c o n d i t i o n s is i m p o r ­
tant principally because, although most
c o m m e r c i a l s t r e s s - s t r a i n t e s t i n g is in t h e
t ri a xi a l test, m os t field p ro b l e m s inv o lv e other
than t r i axial stress conditions. The impli­
cat i o n s of the c h o i c e of d i f f e r e n t g e n e r a l i s a ­
t i o n s a r e m a i n l y for the c h a n g e s of u n d r a i n e d
strength as the i n t e r mediate stress ratio
b = (°2 - 0 3 ) / ( 0 1 a > c h a n g e s . The c i r c u l a r
g e n e r a l i s a t i o n t e n d s to p r e c i c t too h i g h a
s t r e n g t h in p l a n e s t r a i n if i t is m a t c h e d t o
triaxial conditions. It a l s o t e n d s t o p r e d i c t
t o o h i g h a v a l u e o f t h e i n t e r m e d i a t e s t r e s s o'2
under plane strain conditions.
3.8 Residual strength
A n i m p o r t a n t p h e n o m e n o n in t h e b e h a v i o u r o f ^
s o m e c l a y s is t h e m a r k e d r e d u c t i o n in s h e a r i n g
resistance from a peak value recorded when
f a i l u r e is i n i t i a t e d , t o a m u c h l o w e r r e s i d u a l
strength reached after very large shear d e f o r ­
mations. C a r e f u l e x p e r i m e n t s c o n d u c t e d in
d i rect shear tests and ring shear tests, and
c o n f i r m e d b y b a c k a n a l y s i s o f f a i l u r e s in t h e
f i e l d , h a v e s h o w n t h a t t h e r e d u c t i o n in s t r e n g t h
m a y b e a s l a r g e as 50%, w i t h t h e a n g l e o f
s h e a r i n g r e s i s t a n c e f a l l i n g f r o m a p e a k v a l u e <£f
T h i s b e h a v i o u r o f a c l a y is a d e p a r t u r e f r o m t h e
c o n c e p t s o f C r i t i c a l S t a t e S o i l M e c h a n i c s in
w h i c h t h e c e n t r a l i d e a is t h a t a t t h e e n d o f a
shear test co n t i n u i n g d e f o r m a t i o n can occur
w i t h o u t f u r t h e r c h a n g e s in v o i d r a t i o o r e f f e c ­
tive stresses. I t is a l s o b e h a v i o u r t h a t
c a n n o t b e d e s c r i b e d in t e r m s o f c o n t i n u u m
mechanics. The only sensible calculations that
ca n be c a r r i e d out are o nes of limit equilibrium,
in w h i c h t h e s h e a r s t r e n g t h o f t h e c l a y is
r e p r e s e n t e d b y the r e s i d u a l a n g l e of friction.
R e s i d u a l s t r e n g t h is of c o n c e r n in a r e s t r i c t e d
set of circumstances. A s i g n i f i c a n t d r o p in
s t r e n g t h o n l y o c c u r s in c l a y s w i t h a s u f f i c ­
i e n t l y h i g h p r o p o r t i o n of c l a y p a r t i c l e s
( V a u g h a n a n d W a l b a n c k e (1975) s u g g e s t e d t h a t it
o c c u r s f o r I p > a b o u t 26%) a n d w h e r e v e r y l a r g e
shear deformations have occurred. It als o
s e e m s t h a t t h e vo.'te of d e f o r m a t i o n m a y i n f l u e n c e
post-peak behaviour; for v e r y h ig h r a t e s of
d e f o r m a t i o n , s u c h as t h o s e o c c u r r i n g a d j a c e n t t o
t h e s h a f t of a d r i v e n p i l e , it h a s b e e n s u g g e s t e d
that onl y turbulent shearing can occur, so that
t h e r e s i d u a l s t r e n g t h w i l l n o t b e r e l e v a n t in
such a case. T h e m a j o r c l a s s o f p r o b l e m s is
t h a t of l o n g - t e r m s l o p e s t a b i l i t y o f h e a v i l y
o v e r c o n s o l i d a t e d clays w h i c h have b e en subjected
to tectonic movements, or wh e r e p r e-existing
f a i l u r e s u r f a c e s a r e r e a c t i v a t e d ( S k e m p t o n , 1964).
3.9 Repeated loading
T h e m o d e l l i n g of r e p e a t e d o r c y c l i c l o a d i n g is a
further area where present elastic-plastic
models are deficient. W h i l s t the p r e c e d i n g
topics of a n i s o t r o p y and g e n e r a l i s a t i o n can be
a p p r o a c h e d through fairly m i n o r a d j u s t m e n t s to
e l a s t i c - p l a s t i c theory, the m o d e l l i n g of many
c y c l e s of l o a d i n g r e q u i r e s a m o r e f u n d a m e n t a l
reappraisal.
T h e e s s e n t i a l f e a t u r e s of e l a s t i c - p l a s t i c t h e o r y
are that on a p r i m a r y l o a d i n g large p l a s t i c

27
strains occur, but on subsequent unload-reload
cycles w ithin the yield locus only elastic
strains, without hysteresis, take place. This
m o d e l for soi l is s a t i s f a c t o r y f o r a s i n g l e
loading followed by one or two unload-reload
c y c l e s , b u t is n o t s a t i s f a c t o r y f o r m a n y c y c l e s .
T h e b e h a v i o u r o f r e a l c l a y s is d i f f e r e n t i n t h a t
all u n loa d-re loa d cycles involve some hysteresis
a n d m a n y c y c l e s r e s u l t in the g r a d u a l a c c u m u ­
lation of permanent strain. The type of
b e h a v i o u r i s w e l l i l l u s t r a t e d b y F i g . 32.
In u n d r a i n e d t e sts, w h e n v o l u m e t r i c s t r a i n s are
prevented, a gradual accum u l a t i o n of pore
p r e s s u r e is o b s e r v e d . Under certain conditions
the increase of pore pres s u r e may reduce e f f e c ­
tive stresses suf f i c i e n t l y for failure to occur.
Both of these p o i n t s are i l l u s t r a t e d by the
c y c l i c t r i a x i a l t e s t o f S a n g r e y (1968) r e p r o ­
d u c e d i n F i g . 3 2.
V a r i o u s a t t e m p t s h ave b een m a d e to i n c lude these
e f fects in e l a s t i c - p l a s t i c models. The
B o u n d i n g S u r f a c e mo d e l of D a f a l i a s an d H e r r m a n n
(1980) p r o d u c e s a n a c c u m u l a t i o n of p l a s t i c
strain with cycling. C a r t e r e t al. (1982)
s uggested an a lternative m ethod for m o delling
Q 60 r
Ibf/irf
c y c l i c l o a d i n g b y a l l o w i n g a r e d u c t i o n in the
yield locus size on unloading. The resulting
model allows for accumulating plastic strain but
not for hysteresis.
One of the m a j o r o b s t a c l e s to an acc u r a t e m o d e l ­
l i n g o f t h e e f f e c t s o f c y c l i c l o a d i n g is t h e
lack of sufficient high q u a lity data about this
very complex topic. T h e p i c t u r e is f u r t h e r
c o n f u s e d b y c o n t r a d i c t o r y r e s u l t s o b t a i n e d in
d i f f e r e n t sets of e x p eriments. To d ate the
m o d e l l i n g o f c y c l i c l o a d i n g is a l m o s t e n t i r e l y
by c h o i c e of e m p i r i c a l funct i o n s to r e p r e s e n t
a c c u m u l a t i o n of str a i n or pore pressure. A
m o r e s a t i s f a c t o r y a p p r o a c h is u n l i k e l y t o b e
found until the m e c h a n i c s of cyclic loading are
better understood.
3.10 Rate effects
Al l the above d i s c u s s i o n r e l a t e s to tests at a
single strain rate. It h as l o n g b e e n r e c o g ­
n i s e d that h i gher shear s trengths are obser v e d
at h igher strain rates. An i ncrease of 5 to
1 0 % in t he u n d r a i n e d s h e a r s t r e n g t h fo r a t e n ­
fold i n crease of strain rate has b e e n w i d e l y
accepted since the work of Ri char dso n and
W h i t m a n (1963). T h i s e f f e c t is r e l a t e d t o t h e
fact that the size b u t not the shape of the
y i e l d l o c u s is s l i g h t l y s t r a i n r a t e d e p e n d e n t .
T a v e n a s a nd L e r o u e i l (1977), an d Gr a h am , C r o o k s
a n d Be l l (1983), h a v e p r e s e n t e d e v i d e n c e w h i c h
shows that the size of the y i e l d locus incre a s e s
a p p r o x i m a t e l y p r o p o r t i o n a l l y to the l o g a r i t h m of
the strain rate. A method for incorporating
t h i s e f f e c t i n t o a C r i t i c a l S t a t e m o d e l is
e x a m i n e d b y K a v a z a n j i a n et al. (1984).
The p h e n o m e n o n of s e c o n d a r y c o n s o l i d a t i o n , or
c r e e p , is a l s o d u e t o s o m e r a t e d e p e n d e n c e o f the
beh a v i o u r of the soil skeleton. T h e p a t t e r n of
b e h a v i o u r f o r s e c o n d a r y c o n s o l i d a t i o n is w e l l
established; see, f o r e x a m p l e , L e o n a r d s (1964)
a n d B j e r r u m (1967). M i t c h e l l (1976) a n d h i s c o ­
workers have c o nducted an extensive study of this
topic.

It a p p e a r s t h a t m a n y of t he r a t e e f f e c t s in c l a y s
can be s atisfactorily des c r i b e d by Rate Process
T h e o r y , in w h i c h c r e e p of c l a y is m o d e l l e d as a
thermally activated process. The incorporation
of the ideas of Rate Process T heory into a
Critical State model may provide an accurate
m od e l l i n g of rate effects.

Au
Ibf/in 4 BEHAVIOUR OF SANDS

F i g . 32 U n d r a i n e d t r i a x i a l r e p e a t e d l o a d i n g test
on n o r m a l l y c o n s o l i d a t e d N e w f i e l d clay
( a f t e r S a n g r e y , 1968)
4.1 Introduction
4.1.1 Differences from clay behaviour
In this section the b e h a v i o u r of silts, sands and
g r a v e l s w i l l be treated, i n sofar as t h e i r p r o p e r ­
ties d i f f e r f r o m those of clays. There are of
c our s e m a n y fe a t u r e s c o m m o n to the b e h a v i o u r of
c l a y s and c o a r s e r g r a i n e d ma t e r i a l s , a nd m a n y of
the p o i n t s rai s e d in S e c t i o n 3 are e q u a l l y a p p l i ­
cable to the coarser gra ined materials. For
instance, the importance of r o t ation of the
d i r e c t i o n of m a j o r p r i n c i p a l stress will be the
same for sands as for clays. Th e m i n e r a l o g y of
c l a y s is, h o w e v e r , v e r y d i f f e r e n t f r o m t h a t o f
s a n d s (Mitc h e l l , 1976) so t h a t s o m e f u n d a m e n t a l
differences do occur. This section will con­
c entrate therefore on those features of sands

28
which differ strongly from clays.
Real soils rarely c o n s i s t e x c l u s i v e l y of either
s a n d or c l a y f r a c t i o n s , a n d it o n l y r e q u i r e s a
r e l a t i v e l y s m a l l f r a c t i o n (say 10-15%) of c l a y
to m ake the b e h a v i o u r of a sandy soil like that
of clay.
S e c t i o n s 4.2 - 4.4 o u t l i n e t h e m a i n a s p e c t s of
the way sands are u s u a l l y m odelled. S e c t i o n 4.5
then e x a m i n e s the d i f f i c u l t topic of the f o r m a ­
t i o n of s h e a r b a n d s in sands, a n d 4.6 c o n t a i n s
s o m e b r i e f c o m m e n t s a b o u t the s u b j e c t of
repeated loading.
4.1.2 Permeability
The primary difference between sands and clays
is t h e i r p e r m e a b i l i t y . If t he f l o w t h r o u g h a
s o i l is r e g a r d e d a s a n a l o g o u s t o a b u n d l e of
c a p i l l a r y tub e s , t h e n it c a n b e s h o w n by
d i m e n s i o n a l analysis that the p e r m e a b i l i t y should
be p r o p o r t i o n a l to the square of a typical
particle dimension:
w h e r e k is t h e p e r m e a b i l i t y , F a d i m e n s i o n l e s s
factor w h i c h d e p e n d s on the p a r t i c l e packing, d
a t y p ical p a r t i c l e dimension, Yf the u n i t w e i g h t
of the p ore fluid and n the pore fluid viscosity
(see d i s c u s s i o n s in L a m b e a n d W h i t m a n , 1969, a n d
W r o t h an d Houlsby, 1983). The change from
clays, w ith p a r t i c l e sizes of the or d e r of
microns, to sands, w i t h p a r t i c l e sizes of the
o r d e r of m i l l i m e t r e s , t h u s r e s u l t s in a p e r m e ­
a b i l i t y c h a n g e o f u p t o s i x o r m o r e o r d e r s of
magnitude.
T h e r e s u l t is t h a t f or sands, d r a i n a g e t i m e s ar e
typically very short and "undrained" problems
very rare. T h e u n d r a i n e d s t r e n g t h is n o t t h e r e ­
f o r e a v e r y s e n s i b l e q u a n t i t y , a n d e m p h a s i s is
placed more on drained calculations using a
friction angle. "Undrained" problems may
o c c a s i o n a l l y occur, as in the case of the w ave
l o a d i n g of a l a r g e o f f s h o r e f o u n d a t i o n , or of
earthquake loading. In this c o n t e x t the ma j o r
c o n c e r n is a b o u t t he p r o b l e m of " l i q u e f a c t i o n ,
a b o u t w h i c h a g r e a t d eal of r e s e a r c h has b e e n
done, but little real under s t a n d i n g achieved.
A sec o n d i m p o r t a n t c o n s e q u e n c e of the h igh
p e r m e a b i l i t y of s a n d s is that, b e c a u s e th e y ha v e
no short-term undrained strength, "undisturbed"
s a m p l i n g a n d t e s t i n g is v i r t u a l l y i m p o s s i b l e .
S i n c e t h e b e h a v i o u r o f a s a n d is c r i t i c a l l y
depe n d e n t on the de n s i t y and the sand structure
(Ladd e t al., 1977), it m a y be d i f f i c u l t to set
u p r e c o n s t i t u t e d s a n d s a m p l e s in the l a b o r a t o r y
to r e p r o d u c e the field c o n ditions. B e c a u s e of
these d i f f i c u l t i e s field tests have an incre a s e d
importance for sands, and may on o ccasions be the
o nly way of o b t a i n i n g d ata of strength, d e n s i t y
and stiffness. In the p a s t m u c h e m p h a s i s has
been p l a c e d on the use of the sta n d a r d p e n e ­
t r a tion test, and c o r r e l a t i o n s m a d e b e t w e e n the
blow count N and engineering properties. With
the a d v e n t of t e s t s s u c h as t h e c o n e p e n e t r a t i o n
test, s e l f - b o r i n g p r e s s u r e m e t e r a n d (more
recently) the Mar c h e t t i dilatometer, a muc h more
ra tional a p p r o a c h to the p r o p e r t i e s of sands can
b e e x p e c t e d in t h e f u t u r e .
4.1.3 Interactions between particles
The second ma j o r di f f e r e n c e bet w e e n clays and
c o a r s e r p a r t i c l e s l i e s in t h e n a t u r e of the
i n t e r a c t i o n b e t w e e n them. The interaction
b e t w e e n so i l p a r t i c l e s in t h e s i l t s i z e s a n d
l a r g e r c a n be u n d e r s t o o d in t e r m s of p u r e l y
mechanical interaction (albeit a very complex
o n e ) , w h e r e a s the i n t e r a c t i o n of clay p a r t i c l e s
is a m o r e c o m p l e x p r o c e s s i n v o l v i n g e l e c t r o ­
c h e m i c a l f o r c e s (see, f o r i n s t a n c e , M i t c h e l l ,
1976). Silts and sands are therefore funda­
mentally different from clays, which are not
simply "scaled down" v e r s i o n s of the same
particle structure.
Silts an d sands u s u a l l y c o n s i s t of r e l a t i v e l y
rotund particles rather than the plate-like
forms of clays, an d this has i m p l i c a t i o n s for
the bulk behaviour. For instance, anisotropy
ma y be e x p e c t e d to be less impor t a n t since
highly oriented structures are not possible.
T h e w o r k o f O d a a n d K o n i s h i (1974) a n d o t h e r
w o r k e r s h a s d e m o n s t r a t e d the i m p o r t a n c e of
s t r u c t u r e s in s a n d , a n d L a d d e t a l . (1977) g i v e
an e x t e n s i v e r e v i e w of sa n d s t r u c t u r e a n d its
influence on mechanical properties.
4.1.4 The importance of density and dilatancy
In c l a y s the m a i n q u a n t i t y w h i c h d e s c r i b e s the
ch aracter of response under given loading co n ­
d i t i o n s is o v e r c o n s o l i d a t i o n r a t i o . Samples
at l ow v a l u e s of O C R d e f o r m g e n e r a l l y in a
ductile manner, show diffuse shearing and
compress or generate positive pore water pres­
sures. At h i g h v a l u e s of O C R the c l a y ma y
generate negative pore pressures or expand, may
form slip p l a n e s or d i s c o n t i n u i t i e s , and displays
a more brittle response.
T h e r o l e o f o v e r c o n s o l i d a t i o n r a t i o i n s a n d s is
less clear, partly because the preconsolidation
p r e s s u r e is n o t e a s i l y d e t e r m i n e d , a n d a v a l u e
of O CR may only be known with some p r ecision for
laboratory prepared samples. A s i m ilar type of
i n f o r m a t i o n is , h o w e v e r , a v a i l a b l e i f o n e k n o w s
the den s i t y and the cur r e n t pressure. Most
sands are d e p o s i t e d in s uch a c o n d i t i o n that
they b e h a v e rath e r like a clay at h igh O C R - on
shearing they dilate and may form shear bands -
although some deposits m ay be sufficiently loose
to compr e s s on shearing. In p a r ticular, k n o w ­
l e d g e of t h e d e n s i t y a l o n e is n o t s u f f i c i e n t ,
a n d at v e r y h i g h p r e s s u r e s d i l a t a n c y is " s u p p r e s ­
sed" and sands ma y behave rath e r like soft clays
(Vesic an d Clough, 1968).
It is t h e r e f o r e u n f o r t u n a t e t h a t the R e l a t i v e
D e n s i t y D r is p o p u l a r l y u s e d as an i n d e x of sa n d
behaviour. As well as b e i n g a p a r a m e t e r w h i c h
is i l l d e f i n e d , it is d e f i c i e n t in t h a t it t a k e s
no a c c o u n t of the c u r r e n t pressure. Stroud
(1971) d e m o n s t r a t e d t h a t t h e b e h a v i o u r o f s a n d
in p l a n e s t r a i n t e s t s c o u l d b e u n d e r s t o o d in
terms of a parameter:
e^ = e + XJlns' (49)
w h e r e X is the g r a d i e n t of the c r i t i c a l s t a t e
line in e-£ns' space. For more general appli­
c a t i o n i t is s u g g e s t e d t h a t t h e p a r a m e t e r :
= V + X Jin (p 1 ) (50)
29
which has already been introduced with ap p l i ­
c a t i o n to c l a y s , w o u l d b e a u s e f u l m e a s u r e of
the d e n sity and pr e s s u r e level of a sand. It
is a c k n o w l e d g e d t h a t u s e of t h i s p a r a m e t e r
r e q u i r e s k n o w l e d g e o f X a n d p* a s w e l l a s t h e
d e n s i t y , b u t t h i s e x t r a i n f o r m a t i o n is n e c e s s a r y
if t h e b e h a v i o u r o f s a n d s is to b e p r o p e r l y
understood and formulated.
4.2 Elastic properties
4.2.1 Hertzian contact theory
The starting point for theories for the elastic
p r o p e r t i e s of s a n d s is u s u a l l y H e r t z i a n c o n t a c t
theory. The theory deals w ith the a p p r o a c h of
t w o l i n e a r e l a s t i c b o d i e s in c o n t a c t and,
a s s u m i n g t h a t the d e f o r m a t i o n is m a i n l y l ocal
to the c o n t a c t p o i n t s , it c a n be s h o w n t h a t the
r e l a t i v e a p p r o a c h o f t w o r o u n d e d b o d i e s is p r o ­
p o r t i o n a l to the t w o - t h i r d s power of the i n t e r ­
particle pressure (Mindlin and Deresiewicz,
1953). It is a s h o r t s t e p f r o m t h i s to s h o w
that the b ulk m o d u l u s of an a s s e m b l y of r o unded
p a r t i c l e s (each of a linear e l a s t i c material)
w o u l d be e x p e c t e d to be p r o p o r t i o n a l to the
o n e - t h i r d p o w e r of th e p r e s s u r e .
Angular bodies behave slightly different from
r o u n d e d p a r t i c l e s and, in t h i s c a s e , it c a n be
s h o w n ( by a s i m p l e d i m e n s i o n a l a n a l y s i s ) t h a t
t h e m o d u l u s is e x p e c t e d t o b e p r o p o r t i o n a l to
the s q u a r e r o o t of t h e p r e s s u r e . The bulk
m o d u l u s o f a s a n d is t h u s c o m m o n l y e x p r e s s e d as:
(51)
T h e r e f e r e n c e p r e s s u r e p r is i n c l u d e d so t h a t
the e q u a t i o n is d i m e n s i o n a l l y c o n s i s t e n t a n d A
is a d i m e n s i o n l e s s c o n s t a n t . An appropriate
v a l u e f o r t h e r e f e r e n c e p r e s s u r e is a t m o s p h e r i c
p r e s s u r e , s i n c e t h i s is o f a c o n v e n i e n t m a g n i ­
tude for soil m e chanics applications. Thej
p a r a m e t e r n is an e x p o n e n t of the o r d e r of 7
t o §, w h i c h m a y d e p e n d o n t h e a n g u l a r i t y a n d
g r a d i n g of the particles. Values of n of about
0.4 a r e c o m m o n , a n d a d o p t i n g a v a l u e of 0.5
p r o b a b l y c a p t u r e s the impo r t a n t fea t u r e s of the
increase of stiffness with pressure. Values
so m e w h a t h i g h e r t han 0.5 are a lso observed,
although this could not be predicted by Hertzian
contact theory. N o t e that these v a l u e s m a y be
compared with the beha v i o u r of clays, where the
cho i c e of a str a i g h t s w elling line in a V-£np'
p l o t i m p lies a b ulk m o d u l u s p r o p o r t i o n a l to
pressure.
The above a p p r o a c h for e x p r e s s i n g m o d u l i as a
p o w e r f unction of p r e s s u r e o r i g i n a t e d w i t h the
w o r k o f J a n b u (1963) a n d is n o w a g e n e r a l l y
a c c e p t e d w a y of f i tting sand behaviour.
Whe n shear forces are a pplied to two rounded
e l a s t i c b o d i e s in c o n t a c t , H e r t z i a n t h e o r y
s h o w s t h a t an a n n u l u s of s l i p m u s t o c c u r a t each
c o n t a c t (Mindlin and D e r e s i e w i c z , 1953).
A l t h o u g h the m a g n i t u d e of the ta n g e n t i a l d i s ­
p l a c e m e n t can be d e t e r m i n e d as d e p e n d e n t on the
c o n t a c t p r e s s u r e , the a n a l y s i s is c o n s i d e r a b l y
c o m p l i c a t e d by the e x i s t e n c e of the s lipping
annulus. In p a r t i c u l a r any c h a n g e of s h e a r
load must be accompanied by a small dissipation
of energy. Furthermore, reductions of contact
pressure at constant shear load will cause
a d d i t i o n a l slip. T h e m a i n c o n c l u s i o n is t h a t
30
sands w o u l d be e x p e c t e d to show elastic behaviour
in w h i c h t h e s h e a r m o d u l u s is a l s o a p o w e r l a w
f u n c t i o n o f t h e p r e s s u r e , b u t t h a t a l l c h a n g e s in
stress will be a ccompanied by a small dissipation
of e n e r g y , i.e. n o n - c o n s e r v a t i v e b e h a v i o u r .
O n e p o s s i b i l i t y is to e x p r e s s the s h e a r m o d u l u s
in a s i m i l a r w a y to the b u l k m o d u l u s , i.e.
r-f\m
(52)
- Pr
= K) b\ p rl
w h e r e t h e e x p o n e n t m is e x p e c t e d t o t a k e a
s i m i l a r v a l u e t o n i n e q u a t i o n (51). If m = n
t h i s is e q u i v a l e n t t o a s s u m i n g a c o n s t a n t v a l u e
of P o i s s o n ' s ratio. L a d e (1977), f or i n s tance,
f i n d s t h a t a P o i s s o n ' s r a t i o o f 0 . 2 is a p p r o ­
p r i a t e for a w i d e range of sands.
I w a s a k i e t al. (1978) f o r i n s t a n c e p r o p o s e an
e x p r e s s i o n w h i c h m a y b e w r i t t e n as :
( 2 . 17-e)
— = 700 (53)
1 +e
-(£)
w h e r e p r = 1 . 0 k g f / c m 2 and the fun c t i o n of v oid
r a t i o is i n t e n d e d to r e p r e s e n t the v a r i a t i o n of
shear modulus with density. T h e e x p r e s s i o n is
relevant to shear strain amplitudes of about
Y = 1 0 -l< , a n d m a y b e a d j u s t e d f o r o t h e r m a g n i ­
tudes of shear strain.
The above appro a c h leads, however, to a n o n ­
conservative elastic model since the elastic
behaviour cannot be obtained from the diffe r e n ­
t i a t i o n of a potential, and shou l d o nly be used
w i t h c a u t i o n i n a n y c a l c u l a t i o n s , e s p e c i a l l y if
c y c l i c l o a d i n g is i n v o l v e d . The p r o b l e m lies
in t h e f a c t t h a t w h i l s t so m e c y c l e s m i g h t r e s u l t
in a (reasonable) c o n t i n u o u s d i s s i p a t i o n of
e ner g y , t r a v e r s i n g t he same c y c l e s in t he o p p o ­
s i t e d i r e c t i o n w o u l d r e s u l t in a c o n t i n u o u s
c r e a t i o n o f e n e r g y , w h i c h is c l e a r l y r i d i c u l o u s .
If p r e s s u r e d e p e n d e n t s h e a r m o d u l i a r e i n t r o ­
d u c e d in a c o n s e r v a t i v e model, then c o n v e r s e l y
the bulk modulus must depend to a cer tain extent
on the shear stress. E v i d e n c e f o r t h i s is
d i f f i c u l t t o f i n d , b u t if s u c h a n e f f e c t d o e s
o c c u r it is c e r t a i n l y w e a k ( H o u l s b y , 1 9 8 1 ) . The
most useful pragmatic approach to the elastic
b e h a v i o u r o f s a n d is p r o b a b l y t h e r e f o r e o n e in
w h i c h t he H e r t z i a n t y p e of b e h a v i o u r is m i n i ­
m i s e d in the e l a s t i c p r o p e r t i e s .
4.3 Plastic properties - consolidation
4.3.1 Power laws for c o n s olidation
I t is o f t e n c o n v e n i e n t in s a n d s t o d i s t i n g u i s h
be t w e e n two g e n e r a l a s p e c t s of p l a s t i c b e h a v i o u r
- c o n s o l i d a t i o n and shear. In r e a l i t y the two
e f f e c t s a r e of c o u r s e l i n k e d , a n d it is the
p u r p o s e for ins t a n c e of C r i t i c a l State Soil
Mechanics to emphasise the link between cons o l i ­
dati o n and shear. M o d e l s for s a n d s do, h o w e v e r ,
currently separate the two effects.
W h e n s u b j e c t e d t o s t r e s s p a t h s a t c o n s t a n t stress
ratio sands, like clays, show plastic strains on
primary loading, and after unloading exhibit a
yield point on reloading to the previous m a x imum
stress. T h i s t y p e o f b e h a v i o u r l e d L a d e (1977)
to i n c l u d e in h is m o d e l for s a n d a c o n s o l i d a t i o n
or "cap" y i e l d surface to a l l o w for p l a stic
consolidation strains.
The plastic strains on consolidation are found
to foll o w a rat h e r s i m i l a r p a t t e r n to the
elastic strains, and may also be modelled quite
a c c u r a t e l y by a h a r d e n i n g l aw w h i c h d e p e n d s on
a p o w e r fun c t i o n of the m e a n pressure. Lade
(1977) r e p o r t s v a l u e s w h i c h i m p l y t h a t t h e
eq u i v a l e n t pl a s t i c bulk mod u l u s d epends on the
m e a n e f f e c t i v e stress to a power b e t w e e n 0 . 1 2
and 0.74, w i t h an a v e r a g e of 0.47. The data
of V e s i c a n d C l o u g h (1968) s h o w t h a t a t v e r y
high pressures consolidation lines for sands
are, like those of clays, a p p r o x i m a t e l y
s t r a i g h t i n V-2.np' s p a c e .

4.3.2 Yield envelopes for co n s o l i d a t i o n

T h e s h a p e of t h e y i e l d e n v e l o p e for c o n s o l i ­
d a t i o n of a sand does n ot ye t seem to be w ell
determined. A l t h o u g h L a d e (1977) u s e s a
sph e r e c e n t r e d on the o r i g i n in e f f e c t i v e stress
s p a c e , t h i s is l a r g e l y a m a t t e r o f c o n v e n i e n c e
s i n c e it h a s t h e m e r i t s of:
(a) capt u r i n g the b r o a d nature of the shape
of the yield surface. (a)
(b) mathematical simplicity.
(c) no extra parameters are needed to define
the surface shape.

Some e x p e r i m e n t a l d a t a are, however, a v a i l a b l e

( M i u r a e t al., 1 9 8 2 ; 1 9 8 4 ) a n d t h e s e i n d i c a t e
t h a t t h e s h a p e is b r o a d l y s i m i l a r t o t h a t g i v e n
by the va r i o u s C a m - C l a y type theories. Although
m o r e c o m p l e x s h a p e s h a v e b e e n s u g g e s t e d , it is
likely that the M o d i f i e d C a m - C l a y ell i p s e could
be u s e d for d e s c r i b i n g the c o n s o l i d a t i o n of a
sand as w e l l as a clay. T h e r e is c l e a r e v i ­
d e n c e ( M i u r a e t a l ., 1 9 8 4 ) t h a t e v e n a t l o w
stress ratios sand exhibits "non-associated"
flow. F i g . 3 3 (a) f o r i n s t a n c e s h o w s t h e y i e l d
e nve l o p e s as d e d u c e d f rom stress probe tests, 10 15 20
Mean principal stress p (MPa)
and Fig.33(b) the d i r e c t i o n s of the p l a s t i c
strain increment vectors. Sufficient accuracy d*\
ca n be o b t a i n e d by u s i n g an a s s o c i a t e d flow
rule, s i n c e in m o s t c a s e s the c o n s o l i d a t i o n Me =-0.
s t r a i n s in s a n d a r e r e l a t i v e l y s m a l l .

a—a C-2 type

4.4. Yield envelopes for shear
o— o d -2 type
T h e r e is a l a r g e a m o u n t o f t e s t d a t a c o n f i r m i n g E-2 type
Extension
the shape of the failure envelopes for sands
t e s t e d in shear, a n d it is o f t e n a s s u m e d th a t
the y i e l d e n v e l o p e s w ill be of s i m i l a r shape to
the failure envelopes. The best known failure (b)
c r i t e r i o n f or s a n d s is the M o h r - C o u l o m b
c o n d i t i o n , in w h i c h it is a s s u m e d t h a t f a i l u r e F i g . 3 3 (a) Family of yield envelope segments
o c c u r s at s o m e c r i t i c a l v a l u e o f t h e r a t i o of obtained by triaxial compression and
n o r m a l to s h e a r s t r e s s o n a n y s u r f a c e in the extension tests
soil. The Mohr-Coulomb condition, however, (b) Plastic strain increment directions
takes no account of the value of the i n t e r ­ a n d a s s o c i a t e d y i e l d e n v e l o p e segments
mediate principal stress. Recent research
u s i n g the true tri a x i a l a p p a r a t u s to v a r y all
three principal stresses independently has
shown that w h i l s t the M o h r - C o u l o m b c o n d i t i o n
p r o v i d e s a r e a s o n a b l y g o o d fit to the test data, the new criteria both lead to slightly higher
an improved fit can be a c h i e v e d by using a strengths for other values of oj.
r e l a t i o n s h i p w h i c h does take into acc o u n t the
intermediate principal stress. The tests n e c e s s a r y to d i s t i n g u i s h b e t w e e n the
c r i t e r i a are d i f f i c u l t to perform, and a
Two alternative failure surfaces have been d e f i n i t i v e a n s w e r as to w h i c h b est fits the
p r o p o s e d b y L a d e (1972) a n d b y M a t s u o k a a n d b e h a v i o u r of soil c a n n o t ye t be given. The
N a k a i (1974). T h e s h a p e s of t h e s e f a i l u r e c h o i c e ma y well be m ade for c o n v e n i e n c e of
surfaces are c o m p a r e d w i t h the M o h r - C o u l o m b mathematical description.
o n e i n F i g . 31 ( f o r ^ 1 = 30° i n t r i a x i a l c o m p r e s ­
sion) a n d i t is s e e n t h a t , if t h e t h r e e Lade's expression may be conveniently written
criteria are matched for triaxial compression, as:

31
 w h e r e p r is a r e f e r e n c e p r e s s u r e . The exponent
constant (54) m (typically 0 .1 ) p r o d u c e s a slig h t c u r v a t u r e of
the y i e l d e n v e l o p e in the t r i a x i a l plane.

and the M a t s u o k a - N a k a i expression, by analogy
w i t h v o n M i s e s as:
constant
tan2 (55)
ptc *
It is a s s u m e d t h a t t h e y i e l d s u r f a c e s t a k e t h e
same shape in the o c t a h e d r a l pl a n e as the
failure surfaces, although to the authors' k n o w ­
ledge this has never been tested by carrying out
t e s t s c o m p a r a b l e w i t h t h o s e in t he t r i a x i a l
p l a n e i l l u s t r a t e d i n F i g . 34. These tests allow
small se g m e n t s of the y i e l d surface to be i d e n ­
t i f i e d , so t h a t the c o m p l e t e s u r f a c e c a n b e
gradually pieced together.
The shape of sec t i o n s of y i e l d sur f a c e s for
s a n d s in t h e t r i a x i a l p l a n e is q u i t e w e l l e s t a b ­
lished. To a first approximation they are
straight lines at constant stress ratio, and
this will often pro v i d e a suf f i c i e n t l y accurate
m o d e l l i n g of h ard g r a i n e d sands, p a r t i c u l a r l y at
fairly low stress levels.
A t h i g h e r s t r e s s l e v e l s , o r if t h e s a n d is s o f t
g r a i n e d , t h e r e is a s i g n i f i c a n t c u r v a t u r e o f t h e
y i e l d s u r f a c e s w h i c h is a t t r i b u t e d to p a r t i c l e
cru s h i n g and to the s u p p r e s s i o n of d i l a t a n c y by
high stress levels. L a d e (1977) m o d e l s t h i s
e f f e c t by m o d i f y i n g the e x p r e s s i o n for a yi e l d
l o c u s from:
Like clays, sands almost certainly exhibit
anisotropy of the yield envelope, but little
e v i d e n c e s e e m s to be a v a i l a b l e a b o u t t he s h a p e
of an anisotropic yield envelope. In particular
t h e r e is no d i r e c t e v i d e n c e of y i e l d e n v e l o p e s
for s a n d in the field, in c o n t r a s t to the
excellent data available for clays through good
quality triaxial testing.
4.4.2 Flow rules for sands
W h i l s t the shape of the y i e l d e n v e l o p e s for
sands relies in p art on i n d i r e c t evid e n c e , the
sh a p e of t he p l a s t i c p o t e n t i a l is m u c h b e t t e r
e s t a b l i s h e d , a n d is u s u a l l y e x p r e s s e d in t h e
f o r m of a " f l o w rule" r e l a t i n g d i r e c t i o n s of
p l a s t i c stra i n i n c r e m e n t to the c u r r e n t stress
state. (The f l o w r u l e m a y b e i n t e g r a t e d to
o b t a i n the pla s t i c potential.) One of the
e arliest, and still one of the m o s t accurate,
f l o w r u l e s p r o p o s e d f o r s a n d is t h e " s t r e s s -
d i l a t a n c y " r e l a t i o n s h i p p r o p o s e d b y R o w e (1962).
F o r t r i a x i a l t e s t s t h e r u l e is u s u a l l y e x p r e s s e d
as:
= KD (58)
where R = o K is a c o n s t a n t a n d
D = - 2 d E j<P) / d e . (The o r i g i n a l e x p r e s s i o n
w a s in f a c t w r i t t e n in t e r m s of t o t a l r a t h e r
than plastic strains.) The rule simply expres­
ses the w e l l e s t a b l i s h e d e m p i r i c a l r e l a t i o n s h i p
that at stress ratios lower than some value K a
sand will compress on shearing, and at higher
stress ratios it will dilate.

constant (56) T h e v a l u e of K is r e l a t e d to the a n g l e o f f r i c ­

~ 27 t i o n a t c o n s t a n t v o l u m e <(>c v b y t h e e x p r e s s i o n :
to;
1 +sin c
K = (59)
(57) 1 - s i n ip
constant

The above expression provides an exc e l l e n t model

f o r t h e r a t i o b e t w e e n s t r a i n s w h e n a s a n d is
s h e a r e d in tr i a x i a l compre s s i o n . It is e a s i l y
e x t e n d e d to tri a x i a l e x t e n s i o n c o n ditions, and
w i t h a c h a n g e in the v a l u e of K to p l a n e strain.
It is n o t c l e a r h o w to g e n e r a l i s e t h e e x p r e s s i o n
t o m o r e g e n e r a l s t r e s s s t a t e s , b u t V e r m e e r (1982 a)
suggests one possible approach. This flow rule
is n o t a p p r o p r i a t e f o r t h e " c o n s o l i d a t i o n "
s t r a i n s d i s c u s s e d in S e c t i o n 4.3.

The d e r i v a t i o n of flo w rules for g r a n u l a r m a t e r ­

ials is f r e q u e n t l y b a s e d on c o n s i d e r a t i o n s of
the d i s s i p a t i o n of ener g y by p l a s t i c work. For
instance the o r i ginal C a m - C l a y flo w rule (which
fits w e l l the b e h a v i o u r of sand) is b a s e d o n the
simple hy p o t h e s i s that the i n cremental p lastic
w o r k is g i v e n b y

dWP = M p ' |dePI (60)

for the case of triaxial tests, Generalisation

to

dWp = ^ M p ' { ( d E P - d e P) 2

+ (de^-de^ ) 2
3 1

F i g . 34 Special stress path test to identify + ( d e ^ - d e ^ ) 2 }' (61)

y i e l d e n v e l o p e in t r i a x i a l s t r e s s p l a n e

32
f o r m o r e g e n e r a l s t r e s s s t a t e s is u n s a t i s f a c t o r y
b e c a u s e it leads to a c i r c u l a r s e c tion of the
p l a s t i c p o t e n t i a l in t h e o c t a h e d r a l p l a n e .
is s u g g e s t e d t h a t an a l t e r n a t i v e e x p r e s s i o n
dWp = tan ;0 ; a | ( d EP - d e P ) ’
a JoJ(de^-dtP) 2
a 'a ' ( d E P - d E P ) 2
may fit m any aspects of sand behaviour better.
Firstly, u n d e r triaxial c o n d i t i o n s it r e d uces
t o a n e x p r e s s i o n w h i c h is v e r y s i m i l a r t o t h e
w e l l - e s t a b l i s h e d r e l ationship of stress-
d i l a t a n c y (especially at h i g h stress ratios
where the data are most r e l i a b l e ) . A compari­
son between the stress-dilatancy flow rule and
e q u a t i o n (62) i s g i v e n i n F i g . 35 f o r v a l u e s o f
<)> o f 30° a n d 40°.
S e c o n d l y , i t is c l o s e l y l i n k e d t o t h e M a t s u o k a -
Nakai e x p r e s s i o n for the f ailure envelope.
A l t h o u g h t h i s l i n k is n o t p r o p e r l y e s t a b l i s h e d ,
the above expression merits further attention.
O t h e r f l o w r u l e s m a y a l s o p r o v i d e a g o o d f it to
the b e h a v i o u r of sands, and m a n y d i f f e r e n t rules
w e r e e x a m i n e d b y S t r o u d (1971) in h i s s t u d y o f
s a n d in the s i m p l e s h e a r a p p a r a t u s .
The g e n e r a l i s a t i o n of the plastic potential for
sand to three i n d e p e n d e n t p r i n c i p a l s t resses
follows the g e n e r a l i s a t i o n of y i e l d envelopes.
Rowe
Eq.62
Isotropic stress
Fig.35 C o m p a r i s o n o f e q u a t i o n (62) with
s t r e s s - d i l a t a n c y flow rule
j V ‘1
It
(62)
F i g . 36 Dir ecti ons of projections of strain
i n c r e m e n t v e c t o r s on o c t a h e d r a l pl a n e for
d e n s e a n d l o o s e M o n t e r e y No. 0 s a n d
( af ter L a d e a n d D u n c a n , 1973)
L a d e a n d D u n c a n (1973) p r e s e n t a p l o t , r e p r o ­
d u c e d i n F i g . 36 , w h i c h s h o w s t h a t t h e p l a s t i c
strain increments at failure are approximately
n o r m a l to t he f a i l u r e e n v e l o p e , so t h a t a plastic
p o t e n t i a l w i t h the same shape as the yield
envelope may be appropriate. I t is w o r t h n o t i n g
however, that a p l o t of s t r a i n incre m e n t v e c tors
a n d a s u g g e s t e d p o t e n t i a l s u r f a c e (as i s g i v e n i n
F i g . 36) p r o v i d e s a r a t h e r u n d i s c e r n i n g m e t h o d o f
a s s e s s i n g t h e d a t a as it is d i f f i c u l t to see h o w
w e l l n o r m a l i t y is o b e y e d .
Ex c e s s i v e a t t e n t i o n to the fine d e t a i l s of the
f l o w r u l e f o r a s a n d is n o t w a r r a n t e d , s i n c e it
is i n v a r i a b l y m u c h e a s i e r to p r e d i c t w i t h a c c e p t ­
able accuracy the ratios between strains rather
than their absolute magnitudes.
4.4.3 Hardening laws for sands
Th e p r e d i c t i o n of the m a g n i t u d e of p l astic
strains for a sand, even u n d e r c o n d i t i o n s of
m o n o t o n i c loading, seems to be a v ery d i f f i c u l t
task. For r e v e r s a l s of loading an d c o m p l e x
stress paths very few data exist.
T h e p r e d i c t i o n of s t r a i n m a g n i t u d e is e q u i v a l e n t
to est a b l i s h i n g the hard e n i n g law for the plastic
b e h a v i o u r of the sand. Of the many different
approaches reported, three seem to be well proven
a gainst e x p e r imental data. The earliest, and
s t i l l a p o p u l a r a p p r o a c h , is to fit a h y p e r b o l a
to the shear stress-shear strain curve. This
m e t h o d o r i g i n a t e s w i t h the work of K o n d n e r and
Z e l a s k o (1963) a n d w a s i n c o r p o r a t e d i n t o t h e n o n ­
l i n e a r e l a s t i c m o d e l o f D u n c a n a n d C h a n g (1 9 7 0 )
Rowe's a n d is w i d e l y a c c e p t e d a s p r o v i d i n g a r e a s o n a b l e
fit to the data.
33
V e r m e e r (1982a) a d a p t s t h i s a p p r o a c h t o p l a s t i ­
city theo r y an d fits a h y p e r b o l a to a p l o t of
s t r e s s r a t i o q / p ' a g a i n s t s h e a r s t r a i n t. His
m o d e l p r o v e s r e a s o n a b l y s u c c e s s f u l in predicting
t he m a g n i t u d e s of s t r a i n s in t r i a x i a l tests.

T h e s e c o n d a p p r o a c h i s t h a t t a k e n b y L a d e ( 1977)
i n w h i c h t h e c o n s t a n t f p i n e q u a t i o n (57) f o r
the y i e l d e n v e l o p e is i n d i r e c t l y e x p r e s s e d as a
f u n c t i o n o f t h e p l a s t i c w o r k h'P.

(63)

N o t e t h a t t h i s is a t r u e " w o r k h a r d e n i n g "
e x p r e s s i o n in that the p o s i t i o n of the y i e l d
s u r f a c e is a f u n c t i o n o n l y o f t h e p l a s t i c w o r k .
Most hardening laws are more correctly called
"strain hardening". Lade e s t a b l i s h e s the
function Fp empirically, using a rather compli­
cated expression involving powers and expo­
n e n t i a l s to g i v e f p in t e r m s of W p . The
function contains, however, the cor r e c t features
o f s a n d b e h a v i o u r , s i n c e it is v e r y s u c c e s s f u l
in f i tting the cur v e s o b t a i n e d f rom l a b o ratory
data. T h e m a j o r d i s a d v a n t a g e in t h e c h o s e n
e x p r e s s i o n is t h a t it l e a d s t o c o m p u t i n g p r o b ­
lems in c o n v e r t i n g it i n t o an i n c r e m e n t a l F i g . 37 Test data and theoretical curve for the
s t r e s s - s t r a i n r e l a t i o n s h i p , s u c h as is n e e d e d hardening behaviour of a sand
fo r i n s t a n c e in a f i n i t e e l e m e n t a n a l y s i s .

A rat h e r d i f f e r e n t a p p r o a c h was s u g g e s t e d by
Zytynski (private commu n i c a t i o n , 1976). Noting
the i m p o r t a n c e of t h e s p e c i f i c v o l u m e in t h e
b e h a v i o u r of s o i l s he p l o t t e d t he s t r e s s r a t i o
q/p' for a t r i a x i a l te s t a g a i n s t the v o l u m e t r i c
s t r a i n v (c.f. V e r m e e r , 1 9 8 2 a ) . This has the
i m m e d i a t e a d v a n t a g e t h a t if t h e d a t a f r o m
c o n s t a n t p' t e s t s a r e a v a i l a b l e t h e n a n i s o ­
tropic model implies no elastic volume changes
and the above p l o t leads d i r e c t l y to the
plastic strains.
F i g . 37 s h o w s t h e r e s u l t s o f a t y p i c a l t r i a x i a l
t e s t p l o t t e d in t h i s m a n n e r , t h e d o u b l e c u r v a ­
ture of the p l o t be i n g c h a r a c t e r i s t i c of a
m e d i u m dense sand. At low shear stresses the
sand compresses slightly, and then dilates at
high shear stress. Zytynski fitted this curve
by the simple expression:
p An(M-n) d n
dv (64)
(N-n)
w h e r e n = q/p', A is a c o n s t a n t d e t e r m i n i n g the
m a g n i t u d e of strain, N is the m a x i m u m s t r e s s
ratio and M the stress ratio at wh i c h d v p
c h a n g e s from c o m p r e s s i o n to dilation.
E q u a t i o n (64) c a n b e i n t e g r a t e d a n a l y t i c a l l y t o
o b t a i n v ^ a s a f u n c t i o n o f n. Note that using
the a b o v e e x p r e s s i o n it is n o t p o s s i b l e to
p r e d i c t a n y p o s t - p e a k r e d u c t i o n in s h e a r
strength.
T h e r e s u l t s i n F i g . 37 a r e t a k e n f r o m a t r i a x i a l
test on Karl s r u h e sand by H ettler and
V a r d o u l a k i s (1984) a n d t h e c l o s e f i t a c h i e v e d
by a d o p t i n g val u e s of the c o n s t a n t s in equ a t i o n
(64) a s A = 0 . 0 1 5 2 , M = 1 . 3 2 a n d N = 1 . 7 2 .
4.5 Discontinuous behaviour
An important feature of the beh a v i o u r of sands
is t h a t d e n s e s a n d s u n d e r l o w c o n f i n i n g
p r e s s u r e s s h o w a p e a k in a shear stress-shear
stra i n curve, f o l l o w e d by s o f t e n i n g as the sand
dilates. The e x i s t e n c e of this softe n i n g
b e h a v i o u r c an r e s u l t in t he f o r m a t i o n of s h e a r
ba n d s of s o f t e n e d m a t e r i a l f o r ming w i t h i n the
sand, s u r r o u n d e d by s t r o n g e r m a t e r i a l w h i c h may
unload elastically. The analysis of this d i s ­
c o n t i n u o u s b e h a v i o u r has b een the s u b j e c t of
much research and debate. It is o f i m p o r t a n c e
b o t h in the l a b o r a t o r y , w h e r e s h e a r b a n d s c o m ­
plicate the interpretation of so-called
h o m o g e n e o u s tests, and a lso in the field, wh e r e
the o c c u r r e n c e of shear b a n d s po s e s p a r t i c u l a r
d i f f i c u l t i e s in t h e s c a l i n g of l a b o r a t o r y t e s t
results.
In the l a b o r a t o r y t he p r i n c i p a l d i f f i c u l t y lies
i n t h e f a c t t h a t in , f o r i n s t a n c e , t h e t r i a x i a l
test shear bands tend to form post-peak,
r e s u l t i n g in g r o s s l y n o n - h o m o g e n e o u s s t r a i n s in
a specimen. Once this occurs the inte r p r e ­
tat i o n of b o u n d a r y m o v e m e n t s to o b t a i n strains
b e c o m e s m e a n i n g l e s s , so that a c c u r a t e d ata on
p o st-peak beha v i o u r are d i fficult to obtain.
The early research on this subject concentrated
on the issue of the angle wh i c h the shear band
made with the dire c t i o n of major principal
stress. T h e m o s t f a v o u r e d a n g l e s w e r e -it/4—<t>1 /2
a n d n / 4 - v / 2 (Roscoe, 1970) w h e r e v is th e a n g l e
of dilation, although both theories and data
h ave b een a d v a n c e d to s u p p o r t ot h e r angles.
M o r e r e c e n t l y t h e f o r m a t i o n of s h e a r b a n d s in
t r i a x i a l t e s t s h a s b e e n a v o i d e d in the h i g h e s t
quality testing by using specimens of low
h e i g h t / d i a m e t e r ratio, c o m b i n e d w i t h the use of
lu b r i c a t e d end p l a tens to sup p r e s s b a r r e l l i n g
(Lade, 1972; H e t t l e r and V a r d o u l a k i s , 1984).
L a d e (1982) p r e s e n t s a d e t a i l e d a c c o u n t o f t h e
c o n d i t i o n s u n d e r w h i c h s h e a r b a n d s c a n f o r m in
triaxial tests, and their influence on the test
results. More precise information about post­
peak behaviour has thus become available. The

34
e m p h a s i s has no w s h i f t e d to the a n a l y s i s of the
conditions under which shear bands can develop.
At the IUTAM Symposium on Deformation and
F a i l u r e of G r a n u l a r M a t e r i a l s in D e lft, 1982,
several pape r s w e r e p r e s e n t e d on this topic, and
t h e s e a re r e p r e s e n t a t i v e of the c u r r e n t s t a t e of
the art.
V e r m e e r (1982) p r e s e n t s a s i m p l i f i e d a n a l y s i s of
b i f u r c a t i o n in w h i c h a c r i t e r i o n fo r the o n s e t
o f f o r m a t i o n o f a s h e a r b a n d i s e s t a b l i s h e d in
terms of a c o m p l i a n c e value. The result, for a
s i m p l i f i e d m o d e l , is t h a t s h e a r b a n d s m a y b e
e x p e c t e d to f o r m at e i t h e r of the angles
( w / 4 - $ / 2 ) o r ( t t / 4 —v / 2 ) t o t h e m a j o r p r i n c i p a l
stress direction. V e r m e e r a lso o b t a i n s an
a p p r o x i m a t e s o l u t i o n for the a n g l e as
( „ / 4- ^ l i ) . Although Vermeer's analysis does
n ot include the p o s s i b i l i t y of b i f u r c a t i o n into
plastic and elastic behaviour inside and outside
the s h e a r b a n d (this s h o r t c o m i n g a l s o a p p l i e s to
o t h e r analyses) the r e s ults are in a c c o r d w i t h
observations. V a r d o u l a k i s (1980) p r e s e n t s a
m o r e c o m p r e h e n s i v e a n a l y s i s of shear bands
which, although more complex, leads to e s s e n ­
tially the same conclusions.
S c a r p e l l i a n d W o o d (1982) p r e s e n t b o t h t h e o r e t i ­
cal ideas similar to Ve rmeer's and also
e x p e r i m e n t a l o b s e r v a t i o n of shear b a n d s in a
long p l a n e - s t r a i n shear box. Complex patterns
of s h e a r b a n d s w e r e o b s e r v e d n e a r the e n d of the
box, in d i c a t i n g c l e a r l y that an u n d e r s t a n d i n g of
shear band formation under homogeneous stress
c o n d i t i o n s is o n l y a p r e l i m i n a r y to a m u c h m o r e
complex problem.
S i n c e t h e o b s e r v a t i o n s o f R o s c o e (1970) a n d h i s
c o - w o r k e r s it has b een w i d e l y a c c e p t e d that the
m i n i m u m w i d t h for a s h e a r b a n d to f o r m in sand
is of t h e o r d e r of 10 p a r t i c l e d i a m e t e r s .
Theoretical support for this finding has been
p u t f o r w a r d b y B r i d g w a t e r (1980). This
p r e s e n t s p a r t i c u l a r d i f f i c u l t i e s in s c aling the
r e s u l t s of l a b o r a t o r y t e s t s to full scale.
A r t h u r a n d D u n s t a n (1982) p r e s e n t r e s u l t s
showing shear bands at all angles between
( t t / 4 —v / 2 ) a n d ( t t / 4 —<t>/2) , a n d suggest that the
a n g l e is a l s o d e p e n d e n t o n t h e g r a i n s i z e .
It w o u l d s e e m l i k e l y t h a t this l a t t e r effect
re p r e s e n t s some i n t e r a c t i o n wit h the a p paratus
a n d is r e l a t e d to t he w i d t h of the s h e a r b a n d
m e n t i o n e d above, and not the gr a i n size.
4 .6 Repeated and cyclic loading
The preceding sections have made clear that
a l t h o u g h the b e h a v i o u r of sands u n d e r c o n d i t i o n s
o f m o n o t o n i c s h e a r i n g is r e a s o n a b l y w e l l u n d e r ­
stood, and fits b r o a d l y into the f r a m e w o r k of
p l a s t i c i t y theory, m a n y d e t a i l s rem a i n to be
established. As with clays, the behaviour
u n d e r c y c l i c l o a d i n g is m o r e c o m p l e x , l e s s
progress has been made, and significant m o d i ­
f i c a t i o n s a r e n e c e s s a r y t o p l a s t i c i t y t h e o r y if
i m p o r t a n t a s p e c t s of cyc l i c l o a ding are to be
modelled.
R e p e a t e d d r a i n e d l o a ding of sands does not
u s u a l l y cause s u f f i c i e n t d e g r a d a t i o n of p r o p e r ­
ties to induce failure, and slow a c c u m u l a t i o n of
d e f o r m a t i o n is o n l y a p r o b l e m in c e r t a i n
instances. F o r e x a m p l e , B u r l a n d (1984) q u o t e s
instances of chimneys which show continuing
sett l e m e n t s due to cycl i c w i n d loading. By far
the m o s t i m p o r t a n t a s p e c t of cyclic loading of
s a n d is w h e n i t is s u f f i c i e n t l y r a p i d t h a t it
c a n b e r e g a r d e d a s u n d r a i n e d a n d r e s u l t s in
c h a n g e s in p o r e w a t e r p r e s s u r e s . Instances
w h e r e this may o c c u r are wave l o a ding of o f f ­
shore structures and earthquakes.
T h e i m p o r t a n t f e a t u r e of a g i v e n s a n d is w h e t h e r
positive or negative excess pore pressures
result from undrained cyclic loading. T h i s is
re l ated to the ten d e n c y of the sand to com p r e s s
or dilate under drained cyclic loading. If
negative excess pore pressures occur then cyclic
l o a d i n g is n o t l i k e l y t o b e a p r o b l e m - e f f e c t i v e
stress levels become higher, and the soil becomes
stiffer. Positive excess pore pressures, how­
ever, lead to reduced effective stresses,
r e d u c e d s t i f f n e s s a n d , in e x t r e m e c a s e s , t o
failure.
The ten d e n c y for a sand to d e v e l o p p o s i t i v e or
n e g a t i v e p o r e p r e s s u r e s d e p e n d s o n (a) t h e
i n i t i a l d e n s i t y a n d s t r u c t u r e , (b) t h e e f f e c t i v e
s t r e s s l e v e l , a n d (c) t h e m a g n i t u d e a n d t y p e o f
the loading cycle. T h e t w o e f f e c t s (a) a n d (b)
m a y b e c o m b i n e d b y u s i n g a p a r a m e t e r s u c h as V\
as s u g g e s t e d in S e c t i o n 4.1.4. R e g a r d i n g (c),
c y c l i c l o a d i n g in l a b o r a t o r y t e s t s m a y b e c a t e ­
gorised as strain or stress controlled, and
ei t h e r "one way" (shear stress alwa y s of the
sa m e sign) or "two way". In the field, such
simple categories do not exist.
T h e t e n d e n c y o f s a n d s t o c o n t r a c t o r d i l a t e in
cyclic loading has been studied by various
authors. I s h i h a r a e t al. (1975) i d e n t i f y t h e
"line of p h a s e tr a n s f o r m a t i o n " w h i c h d e f i n e s a
s t r e s s r a t i o in c o m p r e s s i o n a n d e x t e n s i o n
dividing two types of sand behaviour. At stress
rati o s lower than the "line of phase t r a n s f o r ­
mation" c o m p r e s s i v e v o l u m e t r i c strains or p o s i ­
tive e x c e s s p o r e p r e s s u r e s d e v e l o p , and at higher
r a t i o s t he o p p o s i t e t r e n d is o b s e r v e d . The
" c h a r a c t e r i s t i c state" c o n c e p t i n t r o d u c e d by
H a b i b a n d L u o n g (1978) is a v e r y s i m i l a r i d e a ,
b e i n g the s t r e s s level a t w h i c h the r a t e of
v o l u m e c h a n g e is z e r o (during some s h e a r i n g
process).
A s W o o d (1980) p o i n t s o u t , t h e " c h a r a c t e r i s t i c
st ate" is c l o s e l y r e l a t e d to t he " c r i t i c a l
state" concept; the f o r m e r b e i n g a s t a t e in a
t e s t w h e n the v o l u m e t r i c s t r a i n r a t e is z e r o in
p r e - p e a k con d i t i o n s , an d the latter b e i n g at
zero volumetric strain rate after large strains.
I n d e e d , if u s e is m a d e o f a n y o f t h e f l o w r u l e s
b a s e d on h y p o t h e s e s of w o r k d i ssipation, and
r e s u l t i n g in a relationship between stress
r a t i o a nd strain rate ratio, then the " c h a r a c ­
te r i s t i c state" a nd "critical state" w ill be at
the same stress ratio.
T h e r e is a n i m p o r t a n t d i f f e r e n c e in t h e s i g n i f i ­
c a n c e of the " c h a r a c t e r i s t i c state" or "line of
phase t r a n sformation" for dra i n e d and undr a i n e d
tests. In d r a i n e d tests, c y c l i n g to s t r e s s
ratios higher than the c haracteristic state
r e s u l t s in d i l a t i o n of t he sand, a loss of
strength and stiffness, and increasing strains,
i.e. to i n c r e m e n t a l c o l l a p s e . Low stress ratio
c y c l i n g r e s u l t s in c o m p a c t i o n of the sand, a
g ain of st r e n g t h and stiffness, and shake d o w n
to e l a s t i c conditions. In c o n t r a s t , in
35
u n d r a i n e d s i t u a t i o n s i t is l o w s t r e s s r a t i o but asymmetric loading leading to a fully
c y c l i n g w h i c h is m o r e d e s t r u c t i v e , r e s u l t i n g in three-dimensional problem; for example, hori­
positive excess pore pressures which reduce zontal loading on a circular footing. For
ef f e c t i v e stress levels, p o s s i b l y to the ext e n t el a s t i c m a t e r i a l s the Fini t e Ele m e n t M e t h o d has
that "liquefaction" occurs. Undrained cycling b e e n u s e d in c o n n e c t i o n w i t h t he h a r m o n i c
to h i g h stress rat i o s r e s u l t s in large n e g a t i v e loading technique for this type of problem, but
excess pore which stiffen the response since the m e t h o d r e m ains to be d e v e l o p e d for n o n ­
effective stress levels are increased. linear material behaviour.

A n o t h e r c h a l l e n g i n g a r e a is t h e s a t i s f a c t o r y
c o m p u t a t i o n of the p r o p a g a t i o n of shear bands
5 METHODS OF ANALYSIS or failure sur f a c e s as p r o g r e s s i v e failure
occurs w i thin a soil mass.
5.1 Introduction
5.1.1 Special features 5.1.3 Relationship between model and analysis
There are many aspects of geotechnical e n g i ­ J u s t as n o s i n g l e soil m o d e l is s u i t a b l e for
nee r i n g wh i c h pose special p r o blems for analysis, a l l m a t e r i a l s , n o s i n g l e m e t h o d o f a n a l y s i s is
apart from the difficulties of constitutive su i table for all problems. The analytical
m o d e l l i n g d i s c u s s e d i n S e c t i o n s 2, 3 a n d 4. technique should depend bot h on the soil model
Many problems involve complex geometry, and only and the boundary value problem. F i g . 38 i l l u s ­
the advent of large di g i t a l c omputers and the trates some simple examples. For calculating
use of finite ele m e n t a n a lysis has m ade the the stresses under a uniformly loaded circular
s olution of such p r o b l e m s possible. More footing at small strains elasticity theory
pa r t i c u l a r to geot e c h n i c a l e n g i n e e r i n g are mi g h t be c h o s e n and use mad e of the c l osed form
p r o b l e m s of e m b a n k m e n t c o n s t r u c t i o n or of e x c a ­ s o l u t i o n s a v a i l a b l e in t h e l i t e r a t u r e a n d o f t e n
vations, in w h i c h the a d d i t i o n or removal of a v a i l a b l e i n c h a r t f o r m ( F i g . 3 8 (a)); t h e r e is
m a t e r i a l in the c o u r s e of an ana l y s i s m u s t be p r o b a b l y no need for a more so p h i s t i c a t e d
achieved. approach. For the same model (elasticity),
but this time for the c a l c u l a t i o n of s e t t l e ­
Another area of specific geotechnical interest ments of a pile, the boundary element method
w h e r e p r o g r e s s h a s b e e n m a d e is in e f f e c t i v e could be used (Fig.38(b)).
stress limit analysis. The importance of this
lies in the fact that c o n s t i t u t i v e laws m u s t be
e x p r e s s e d in terms of e f f e c t i v e stresses, w h i l s t
e q u i l i b r i u m e q u a t i o n s a r e in t e r m s of t o t a l
stresses. The p ore p r e s s u r e s m u s t ther e f o r e be 'WS45-
c o r r e c t l y c a l c u l a t e d a n d a l l o w e d f o r in t h e
analysis, and dissipation of pore pressures with
time may also take place.

This section will deal wi t h the areas of analysis

w h e r e c u r r e n t p r o g r e s s is of p a r t i c u l a r r e l e v a n c e
to soil m e c h a n i c s . i> • •
(a) (b)
5.1.2 Idealisation
Before analysing a real boun d a r y value p r o blem
it m u s t be i d e a l i s e d in s o m e way. The geometry
of the b o u n d a r i e s w i l l be s i m p l i f i e d and c e r t a i n
complicating factors ignored. B ecause of the
d i f f i c u l t y of c a r r y i n g ou t t h r e e - d i m e n s i o n a l
analyses a redu c t i o n to a two-dimensional
p r o b l e m (plane strain or a xially symmetric) will
usually be considered, although many problems
are of a truly t h r e e - d i m e n s i o n a l nature.
O c c a s i o n a l l y it is p o s s i b l e to r e d u c e a p r o b l e m
to a single dimension, usually leading to much
simpler solution procedures. A well known (c)
e x a m p l e is the c o n s o l i d a t i o n u n d e r a w i d e e m b a n k ­
m e n t , b u t o t h e r c a s e s s u c h as t h e s i m u l a t i o n of
pile i n s t a l l a t i o n as the e x p a n s i o n of an i n f i ­
nitely long cylindLical cavity also allow a one­
dimensional treatment.

C l e a r l y t h e f u r t h e r a p r o b l e m is s i m p l i f i e d the
mor e s t r a i g h t f o r w a r d are the solution p r o c edures
I \
t hat can be used, bu t the p r o c e s s m u s t no t be y j?
c a r r i e d so far as to ignore s i g n i f i c a n t e f f e c t s
in t h e r e a l p r o b l e m . Only engineering experi­
e n c e a n d j u d g e m e n t c a n d e c i d e w h a t is an
a p p r o p r i a t e i d e a l i s a t i o n , b u t if in d o u b t t h e n
trials and parametric studies may be carried out (e) (f)
to check the sig n i f i c a n c e of cer t a i n factors.

O n e c h a l l e n g i n g c u r r e n t a r e a o f d e v e l o p m e n t is F i g . 38 Examples of g e o technical problems and

the analysis of problems wit h symmetric geometry appropriate methods of analysis

36
T o e s t i m a t e t h e f a c t o r of s a f e t y f o r a s l o p e
u s i n g a s i m p l e c ' —<J>' m o d e l f o r t h e s o i l t h e
co n v e n t i o n a l choi c e w o u l d be the m e t h o d of
s l i c e s (Fi g . 3 8 ( c ) ) , a n d u s i n g t he sa m e m o d e l to
calculate the active p r essures on a retaining
w all the m e t h o d of c h a r a c t e r i s t i c s c o u l d be used
(Fig.38(d)). To calculate the collapse p r e s ­
sure for a s h a l l o w t u n n e l in an u n d r a i n e d c l a y
t h e u p p e r b o u n d t h e o r e m c o u l d b e u s e d (Fig.38(e)).
T h e f i n a l e x a m p l e ( F i g . 3 8 ( f ) ) is t h a t of t h e
c o n s t r u c t i o n of an e m b a n k m e n t , in w h i c h the
finite e l e m e n t m e t h o d c o u l d be u s e d to s imulate
the staged construction, perhaps accounting also
for consoli dati on and dissipa tion of pore p r e s ­
sures during construction. The pore pressures
c a l c u l a t e d at any stage co u l d be u s e d in an
effective stress slope stability analysis using
the m e t h o d of s l i c e s - so c o m b i n i n g t he m e r i t s
of two d i f f e r e n t m e t h o d s of analysis.
It is t h e r e f o r e i m p o r t a n t t h a t t h e m e t h o d of
analysis employed for a boundary value problem
is a p p r o p r i a t e b o t h t o t h e s o i l m o d e l w h i c h is
being employed and to the p roblem itself. Only
by this means can results which are reliable,
accurate and reasonably economical be obtained.
In particular, there has been recently a trend
t o w a r d s the a l m o s t u n i v e r s a l u s e of t h e f i n i t e
e l e m e n t method, of t e n in w h o l l y i n a p p r o p r i a t e
circumstances. In c o m b i n a t i o n w i t h c o m p l e x
constitutive models the method becomes e x p e n ­
sive and inefficient, and can lead to results on
which no reliance should be placed. In
a d d i t i o n , t h e r e is t h e d r a w b a c k t h a t p h y s i c a l
in s i g h t into the p r o b l e m may be lost.
The first step in c h o o s i n g an a p p r o p r i a t e m e t h o d
is t o e x a m i n e t h e n a t u r e o f t h e g o v e r n i n g
equations. The e q u a t i o n s are o f t e n in p a r tial
d i f f e r e n t i a l form, a n d if s u f f i c i e n t l y s i m p l e
it m a y b e p o s s i b l e to c l a s s i f y t h e m i n t o the
w e l l - k n o w n c a t e g o r i e s o f e l l i p t i c a l (e.g. t w o -
d i m e n s i o n a l e l a s t o s t a t i c s ) , p a r a b o l i c (e.g. o n e ­
d i m e n s i o n a l c o n s o l i d a t i o n ) o r h y p e r b o l i c (e.g.
plane strain plastic stress analysis). Appro­
p riate analytical or n umerical techniques may
then be chosen, for instance, the finite element
method or boundary element method for a linear
elliptical problem and finite difference methods
for a parabolic consolidation problem. Hyper­
bolic equations are the most difficult to deal
with, and some method which takes account of the
s p e c i a l p r o p e r t i e s o f t h e " c h a r a c t e r i s t i c s " is
probably necessary. In par t i c u l a r , it should
b e n o t e d t hat finite e l e m e n t m e t h o d s ma y be
inappropriate for hyperbolic problems.
Problems rarely fall into such simple categories.
F o r i n s t a n c e , it h a s b e e n s h o w n ( H o u l s b y e t al.,
1985) t h a t c o n e p e n e t r a t i o n i n c l a y , if t r e a t e d
as a ste a d y f l o w problem, gives rise to e q u a ­
tions with both hyperbolic and elliptical
c h a r a c t e r in b o t h the e l a s t i c a n d p l a s t i c
regions.
M a n y p r o b l e m s in soil m e c h a n i c s w i l l r e q u i r e use
of e l a s t i c - p l a s t i c m o d e l s for r e alistic m o d e l ­
ling, an d these do n ot lead to a simple choi c e
of numerical procedure. Perhaps the most
p r o m i s i n g is t h e w i d e l y u s e d m e t h o d of i n c r e ­
m e n t a l f i n i t e e l e m e n t a n a l y s i s , b u t i t is
repeated that the results of these analyses
s h o u l d b e t r e a t e d w i t h m o r e c a u t i o n t h a n is
e x ercised at present. W h e r e v e r p o s s i b l e the
advice of mathematicians should be sought when
a n e w t y p e o f p r o b l e m is to be analysed.
5.2 Closed form solutions
5.2.1 Elasticity
El a s t i c i t y p r o v i d e s the w i d e s t class of closed
form solut i o n s a v a i l a b l e to the g e o t e c h n i c a l
engineer. Solutions are available mainly for
relatively simple geometries and loading cases
but, for instance, the B o u s s i n e s q solutions for
stresses under strip and c i r c u l a r footings are
of great value. P o u l o s a n d D a v i s (1974)
provide an e xcellent c o m p i lation of elastic
s o l u t i o n s a n d , m o r e r e c e n t l y , S e l v a d u r a i (1979)
has also published many results. The greatest
sin g l e a d v a n t a g e of the us e of linear e l a s t i c i t y
t h e o r y is t h a t t h e u s e o f s u p e r p o s i t i o n o f s o l u ­
tions allows stresses and d e f o r m a t i o n s for quite
c o m p l e x lo a d i n g s to be determined.
T e c h n i q u e s for e lastic a n a lysis are w ell d e v e l ­
o p e d i n a r e a s o t h e r t h a n g e o t e c h n i c s , s o i t is
t h e d e v e l o p m e n t s o f p a r t i c u l a r a p p l i c a t i o n to
soil m e c h a n i c s w h i c h are of inter e s t here. One
i m p o r t a n t a s p e c t is t he d i f f e r e n c e b e t w e e n
drained and undrained loading. Burland and
W r o t h (1974) s h o w e d t h a t t h e t w o c a s e s a r e
l i n k e d b y t h e f a c t t h a t , f o r a n i s o t r o p i c e lastic
m a t e r i a l , t h e s h e a r m o d u l i G' a n d G u h a v e t h e
same value, so that for m a n y p r o b l e m s the ratio
of the i n s t a n t a n e o u s (undrained) se t t l e m e n t
to t h e f i n a l (drained) s e t t l e m e n t pf m a y be
d e t e r m i n e d as:
Two special features of soils wh i c h complicate
elastic solutions are anisotropy and n o n ­
homogeneity. Solutions for some anisotropic
p r o b l e m s are a v a i l a b l e in the literature, but
only for a few limited cases. A useful tech­
nique w h i c h has not r e c eived s u f f icient attention
i n s o i l m e c h a n i c s is t h e u s e o f t h e L o d g e (1955)
tr a n s f o r m a t i o n , w h i c h all o w s p r o b l e m s of a n i s o ­
tropic e l a s t i c i t y to be t r a n s f o r m e d to i sotropic
p r o b l e m s by d i s t o r t i n g the geometry, in a
similar way to the familiar technique for
solving anisotropic permeability problems. A
s i m p l i f i e d f o r m of a n i s o t r o p y is r e q u i r e d , bu t
this will often be sufficient for many problems
(Graham and Houlsby, 1983).
F o r m a n y p r o b l e m s , soil n o n - h o m o g e n e i t y is m o r e
important than anisotropy. Some solutions are
available both for layered and continuously
v a r i a b l e e l a s t i c m e d i a (see P o u l o s a n d D a v i s ,
1974), a n d it is t he d e v e l o p m e n t of s o l u t i o n s
f o r the s o - c a l l e d G i b s o n soi l w h i c h is of
increasing importance. T h i s is a s o i l i n w h i c h
the m oduli increase p r o p o r tionally wit h depth.
B o o k e r e t al. (1982) h a v e r e c e n t l y p r e s e n t e d
m an y useful results for both linear and also
p o w e r law v a r i a t i o n s of m o d u l u s w i t h depth.
These results are elegantly concise and repre­
sent a use f u l wa y of a p p r o a c h i n g the p r o b l e m of
a realistic profile of stiffness w i t h depth.
F i g . 39 s h o w s , f o r i n s t a n c e , t h e s e t t l e m e n t
profiles for uniformly loaded circular footings
for d i f f e r e n t stif f n e s s p r o f i l e s w h e r e the
Y o u n g ' s m o d u l u s is g i v e n b y an e x p r e s s i o n :
E = mez“ , (66 )
37
 T h e p r o b l e m o f c y l i n d r i c a l c a v i t y e x p a n s i o n in
frictional, dilating granular materials has been
s o l v e d s u c c e s s f u l l y b y H u g h e s e t al. (1977) in
t heir a n a l y s i s of the p r e s s u r e m e t e r test. Based
on plane strain shear tests on sand, es p e c i a l l y
the w o r k of S t r o u d (1971), t he b e h a v i o u r of the
s a n d is m o d e l l e d a s a n e l a s t i c - p l a s t i c m a t e r i a l
with the following characteristics. The elas­
t i c b e h a v i o u r is g i v e n b y t h e s h e a r m o d u l u s G
a n d t h e d r a i n e d v a l u e o f P o i s s o n ' s r a t i o v'; it
so h a p pens that in t h e p a r t i c u l a r c i r c u m s t a n c e
o f c y l i n d r i c a l c a v i t y e x p a n s i o n , i.e. p l a n e
s t r a i n a n d a x i a l s y m m e t r y , t h e a n a l y s i s is i n d e ­
pendent of v '.

W h e n t h e s a n d r e a c h e s f a i l u r e , it is a s s u m e d t o
(Centre) (Edge) 0-5 0 -3 7 5 0 -2 5 0 U5 0 c o n t i n u e t o d e f o r m a t a c o n s t a n t r a t i o (but
_r a_ increasing magnitude) of principal effective
a r s t r e s s e s g i v e n b y t h e p e a k a n g l e o f f r i c t i o n (fp,
and at a constant rate of dilation. The rate
F i g . 39 Settlement profiles for circular foot­ of d i l a t i o n is r e p r e s e n t e d b y t h e a n g l e of
ings on incompressible soil with depth- d i l a t i o n v (not to be c o n f u s e d w i t h P o i s s o n ' s
d e p e n d e n t m o d u l u s (after B o o k e r e t al.,1982) r a t i o ) , d e f i n e d as

a m u l t i p l y i n g f a c t o r a n d a is a
constant. A c o n s t a n t s t i f f n e s s w i t h d e p t h is
g i v e n b y a = 0 a n d a p r o p o r t i o n a l i n c r e a s e (the
G i b s o n s o i l ) i s g i v e n b y a = 1. Further work
on other solutions for n o n - h o m o g e n e o u s materials
would be most fruitful.
A l t h o u g h the r e s u l t s o b t a i n e d b y B o o k e r et al .
a re all g i v e n in d i m e n s i o n l e s s form, the
expression relating Young's modulus wit h depth,
e q u a t i o n (6 6 ), i s s u c h t h a t t h e d i m e n s i o n s o f
m e are a fun c t i o n of the c h o s e n v a l u e for a and
its v a l u e d e p e n d s on the units sel e c t e d for the
v a r i a b l e s E a n d z. It w o u l d be b e t t e r to
r e f o r m u l a t e the r e l a t i o n s h i p in t he d i m e n s i o n ­
less form:
(60)
d e 1 - d e :.
wh e r e d e t and d e 3 are the increments of major
and minor principal strain.
The results of a s elf-boring press u r e m e t e r test
in s a n d ( C l a r k e , 1983) a r e p l o t t e d in F i g . 40 as
t h e a p p l i e d p r e s s u r e i|j d i v i d e d b y t h e i n s i t u
effe c t i v e hor i z o n t a l stress a^Q aga i n s t the
c a v i t y stra i n e d e f i n e d as the i n crease of
radius of the cavity divided by the initial
radius. The continuous curve has been computed
from the closed form analytical solution, with

(67)
(t) ■ ■£)■
so t h a t m is a d i m e n s i o n l e s s c o n s t a n t . As
b e f o r e , p r is a r e f e r e n c e p r e s s u r e , p r e f e r a b l y
a t m o s p h e r i c , a n d y is t h e u n i t w e i g h t o f t h e
soil.

5.2.2 Elastic-plastic solutions

Few complete solutions exist for elastic-
p l a stic problems, and to the authors' k n o w l e d g e
there are no p u blished c l osed form solutions
for any two or three-dimensional problem
involving both elasticity and plasticity. How­
ever, solut i o n s to c e r t a i n p r o b l e m s w h i c h can
be r e d u c e d to one d i m e n s i o n h ave b e e n obtained.
P e r h a p s the m o s t use f u l are the c a v i t y expansion
theories which have p r oved v a l u a b l e for the
a n a l y s i s of the press u r e m e t e r , stress d i s t r i ­
butions around tunnels and boreholes, and also
for m o d e l l i n g the i n s t a l l a t i o n of d r i v e n piles.

T h e a n a l y s i s of c y l i n d r i c a l e x p a n s i o n in a
cohesive material was examined by Gibson and
A n d e r s o n (1961) a n d r e c e n t l y t h e s e s o l u t i o n s
h a v e b e e n e x t e n d e d ( S a g a s e t a , 1984) t o a c c o u n t
for a n i s o t r o p i c initial stress c o n d i t i o n s and
for shear stresses at the c a v i t y wall. The
p r o b l e m of d e d u c i n g the shear s t r e s s - s t r a i n
relation from cavity pressure-expansion results
h as b e e n e x a m i n e d by P a l m e r (1972), B a g u e l i n et
al. (1972) a n d L a d a n y i (1972). F i g . 40 Self-boring pressuremeter test in sand

38
the cho i c e of soil p a r a m e t e r s o p t i m i s e d to give a r e o f t e n t o o h i g h ( i .e. t h e c a l c u l a t i o n s a r e
t h e b e s t fit. They are: a i Q = 49 k N / m 2 , unsafe). F o r u n d r a i n e d p r o b l e m s , S l o a n (1981)
G = 16 M N / m 2 , <f>p = 38° a n d v = 4 . s h o w e d t h a t t h i s p r o b l e m is r e l a t e d t o t h e
n umb e r of c o n s t r a i n t s i m posed on the deformation
5.2.3 The bound theorems of p l a s t i c i t y of a finite e l e m e n t grid by the requi r e m e n t that
e a c h e l e m e n t m u s t d e f o r m at c o n s t a n t v o l u m e at
Clos e d form solutions for work h a r d e n i n g p l a s t i ­ failure. Similar constraints apply to a
c ity th e o r i e s s eem to be unknown, but the field m at e r i a l w i t h c o n s t a n t angle of dilation.
of solutions for rigid-perfectly plastic m a t e r ­ S l o an's r e s ults a p p l i e d to ele m e n t s in w h i c h
i a l s is a n i m p o r t a n t o n e w i t h a p p l i c a t i o n s t o full i n t e g r a t i o n of the e l e m e n t stif f n e s s was
f a i l u r e p r o b l e m s in s o i l m e c h a n i c s . The used; he c l a ssified certain elements according
a p p l i c a t i o n of p l a s t i c i t y theory d e p e n d s on the to their suitability for limit load calculations.
u s e o f t h e u p p e r a n d l o w e r b o u n d t h e o r e m s ,w h i c h Elements suitable for plane strain calculations
strictly apply only to rigid perfectly plastic m ay not be s u itable for c a l c u l a t i o n s in axial
mate r i a l s wit h a s s o c i a t e d flow rules. Modelling symmetry. In g e n e r a l t h e h i g h e r o r d e r the
u n d r a i n e d c l a y as such a m a t e r i a l may be r e a s o n ­ e l e m e n t t h e b e t t e r i t is s u i t e d t o l i m i t l o a d
ably accurate, but coarser grained materials calculations, and for axial symmetry the fifteen
under drained conditions exhibit dilatancy n o d e d ( c u b i c s t r a i n ) t r i a n g l e is r e c o m m e n d e d .
w h i c h c l e a r l y i n v o l v e s " n o n - a s s o c i a t e d " flow.
T h e v a l i d i t y o f t h e b o u n d t h e o r e m s o l u t i o n s is An alter n a t i v e way to relax the c o n s t r a i n t s on
u n c e r t a i n , b u t it s e e m s to be c u r r e n t p r a c t i c e the f i n i t e e l e m e n t m e s h in o r d e r to c a l c u l a t e
to a c c e p t l ow e r b o u n d s o l u t i o n s as v a l i d e v e n c o l l a p s e l o a d s is t o u s e r e d u c e d i n t e g r a t i o n of
for these materials. the element stiffness. Unfortunately reduced
i n t e g r a t i o n in t r o d u c e s an u n k n o w n er r o r into the
The a p p l i c a t i o n of the b o u n d t h e o r e m s to the calculation, and a l t h o u g h for cer t a i n test p r o b ­
f a i l u r e of a s t r i p f o o t i n g is a w e l l k n o w n lems this m e t h o d has b e e n shown to give col l a p s e
classical example, but there are more recent v a l u e s c l o s e to k n o w n s o l u t i o n s , it s h o u l d be
examples of successful use of the theorems. For applied only with caution to any new problem.
i n s t a n c e , R a n d o l p h a n d H o u l s b y (1984) o b t a i n e d a One problem which occurs when using this method
solution for the limit load on a deep pile is t h e o c c u r r e n c e o f s o - c a l ’led zero energy
loaded h o r i z o n t a l l y in a c o h e s i v e material. In m o d e s in w h i c h e l e m e n t s d e f o r m in s u c h a w a y
other applications, for instance the d e t e r m i ­ that the Gauss integration points do not move.
n a t i o n of the colla p s e p r e ssure for a sha l l o w Such spurious deformations have been identified
t u n n e l in a c o h e s i v e m a t e r i a l , it ha s n o t b e e n in soil m e c h a n i c s c a l c u l a t i o n s us i n g r e d uced
possible to obtain an exact solution to the integration.
p r o b l e m but, nev e r t h e l e s s , to b r i n g the two
boun d s r e l a t i v e l y c l o s e (Davis et al., 1980). The strong c o n s t r a i n t of zero volume cha n g e for
undrained c a l culations may a l t e rnatively be
5.3 Numerical techniques ap p r o a c h e d by u s i n g a h y b r i d tech n i q u e in wh i c h
5.3.1 Finite elements the p r e s s u r e is t r e a t e d as o ne of the m a i n v a r i ­
ables along w i t h the displacements. Such
5.3.1.1 Displacement calculations techniques have shown some success, although
D i s p l a c e m e n t c a l c u l a t i o n s for soils u s i n g the they are not str a i g h t f o r w a r d to program.
finite element technique are now well developed,
using either linear elasticity or a non-linear 5.3.1.3 Large strains and displacements
s t r e s s - s t r a i n l a w (in w h i c h c a s e a n i n c r e m e n t a l There are several geotechnical problems where
a n a l y s i s is n e c e s s a r y ) . C a r e is n e c e s s a r y in large strains and deformations may occur. Con­
p roblems wh e r e excavation or filling operations s o l i d a t i o n p r o b l e m s in v e r y so f t m a t e r i a l s , e.g.
are m o d e l l e d (Clough and Mana, 1976). Another s e t t l e m e n t of tai l i n g s dams, can involve strains
i m p o r t a n t a r e a is t h e c a l c u l a t i o n of d e f o r ­ in w h i c h v o l u m e c h a n g e s are v e r y large. In
mations for three-dimensional problems. For a n o t h e r applic a t i o n , the use of g rid r e i n f o r c e ­
problems having three-dimensional loading with m e n t in c o n n e c t i o n w i t h u n p a v e d roads on soft
axial symmetry the harmonic loading technique soils, the b e n e f i t of the g rid does not app e a r
is a u s e f u l t o o l f o r r e d u c i n g the n e c e s s a r y until displacements are relatively large (Giroud
calculation. Although displacement calcula­ and Noiray, 1981). A l t h o u g h in this case
tions are c l e a r l y of m a j o r im p o r t a n c e for m a n y v o l u m e c h a n g e s a r e s m a l l , t h e s o i l is a g a i n
problems they are not given any further s u b j e c t e d to large strains.
a t t e n t i o n here.
A n a l y s i s of l a r g e s t r a i n p r o b l e m s is c o n s i d e r ­
5.3.1.2 Failure calculations ably more difficult than small strain analysis.
C a l c u lation of limit loads using the finite The first p r o b l e m s lie in the c h o i c e of the
e l e m e n t m e t h o d is m u c h m o r e d i f f i c u l t th a n appropriate definition for stresses and strains,
calcul a t i o n of displacements. If f a i l u r e l o a d s and this ma y be g o v e r n e d by the natu r e of the
are to be cal c u l a t e d then a non-linear stress- problem. The Lagrangean approach (material c o ­
s t r a i n l a w is o f c o u r s e n e c e s s a r y , u s u a l l y of o r d i n a t e s ) is o f t e n p r e f e r r e d in th e l i t e r a t u r e
the e l a s t i c - p l a s t i c type. T h e c a l c u l a t i o n is o n l a r g e st r a i n , m a i n l y b e c a u s e it is w e l l
therefore carried out incrementally, with limit sui t e d to p r o b l e m s of large strain elasticity.
loads being identified by some arbitrarily For soils the Eulerian approach (spatial c o ­
l a r g e d e f o r m a t i o n s or o c c a s i o n a l l y (and m u c h ordinates) may often be more convenient since
less rationally) by the stage when certain c o n ­ soils p o s s e s s no n a t ural r e f e r e n c e state; but
v e r gence c r i teria w i t h i n the c o m p u t a t i o n can no although this simplifies the equilibrium equa­
longer be met. t i o n s it p o s e s d i f f i c u l t i e s w i t h m o v i n g
boundaries and stress history. The method
When compared with known closed-form solutions, w h i c h p e r h a p s g i v e s t h e m o s t a d v a n t a g e s is the
the limit loads from finite element c a l culations u p - d a t e d L a g r a n g e a n t e c h n i q u e in w h i c h , a f t e r

39
each increment of a calculation, new c o ­
ordinates of the nodal points are determined
from the displacements.
Ha v i n g c h o s e n an a p p r o p r i a t e f o r m a l i s m the
s t r e s s - s t r a i n law m u s t be g e n e r a l i s e d to large
strain, w h i c h ag a i n ma y no t be straightf o r w a r d .
F i n a l l y , g r e a t c a r e is r e q u i r e d in the p r o g r a m ­
m i n g of large strain c a l c u l a t i o n s to e n s u r e that
p r o p e r a c c o u n t is t a k e n o f a l l t h e t e r m s in t h e
equations. In p a r t i c u l a r , it is n o t p o s s i b l e
to approach large strain c a lculations by
c a r r y i n g out a series of small strain c a l c u l a ­
tions and up-dating the c o -ordinates using the
displacements. If s u c h a s i m p l i s t i c a p p r o a c h
is m a d e t h e n c e r t a i n f i r s t o r d e r t e r m s a re
omitted and the true large strain solution
cannot be approached even with a very large
n u m b e r of i n c r e m e n t s (Burd, 1984). Any large
strain program should be carefully checked
against known simple solutions, although ade­
q u a t e test p r o b l e m s are d i f f i c u l t to devise.
5.3.1.4 Consolidation calculations
Con solidation ca lculations are an important
applicati on of the finite element method, and
may often be c o m p l icated by large strains. As
d i s c u s s e d in S e c t i o n 2.3.2, t he e q u a t i o n s to be
solved involve the st r e s s - s t r a i n law for the
soil, D a r c y ' s law for f low of the pore fluid,
eq u i l i b r i u m e q uations and the c o m p atibility
re l a t i o n s for the f low of the fluid an d d e f o r ­
m a t i o n of the skeleton. The a p p r o a c h to
s o l v i n g the e q u a t i o n s is o f t e n a t i m e - s t e p p i n g
procedure, and can involve large computation
times for any but simple problems.
N o n - h o m o g e n e o u s b e h a v i o u r in t r i a x i a l t e s t s h a v e
been modelled using a consolidation analysis
and a non-linear stress-strain law (Modified
C a m - C l a y ) b y C a r t e r (1982). H e s h o w e d t h a t in
the limit of a very fast t est undr a i n e d c o n d i ­
tions wer e approached, and that for a ver y slow
test drained conditions applied. At inter­
mediate strain rates partial drainage occurs
a nd the s a m p l e is in a h o n - h o m o g e n e o u s s t r e s s
state.
N a g e s w a r a n a n d H o u l s b y (1982), u s i n g the C R I S P
pro gram developed at Cambridge University,
a n a l y s e d the c o n s o l i d a t i o n of v ery large
c y l i n d r i c a l t e s t s p e c i m e n s (1 m d i a m e t e r b y
2 m high) u n d e r o n e - d i m e n s i o n a l c o n s o l i d a t i o n to
a p p r o x i m a t e l y 50% of initial height. If r a d i a l
drainage was allowed then the specimen developed
a non-homogeneous stress state with a stronger
o u t e r c r u s t s u r r o u n d i n g a s o f t e r c o r e of
material at h i g h e r voids ratio. If a x i a l
drainage only was allowed then no non­
h omogeneity d e veloped w i thin the sample. These
c a l c u l a t i o n s w e r e in a c c o r d w i t h e x p e r i m e n t a l
obs e r v a t i o n s and have i mportant i m p l i cations for
laboratory testing procedures.
P r o b l e m s o f p a r t i a l d r a i n a g e a r o u n d in s i t u
tests could be analysed using finite element
programs capable of handling consolidation, and
t h i s is a n i m p o r t a n t a r e a f o r f u t u r e w o r k .
In p r o b l e m s such as e m b a n k m e n t c o n s t r u c t i o n the
rate of dissip a t i o n of pore water pressures must
be t a k e n into a c c o u n t in s t a b i l i t y c alculations.
Th e stag e d c o n s t r u c t i o n of an embankment,
together with c a l culations of the pore pressures,
40
w a s m o d e l l e d b y Z y t y n s k i (1982). The results
of the pore wa t e r pressure c a lculations were
t h e n u s e d in an e f f e c t i v e s t r e s s l i m i t a n a l y s i s
using the m e thod of slices. The finite element
m e t h o d is h e r e p r o v i d i n g a m o r e r a t i o n a l e s t i ­
m ate of pore pres s u r e s than the mor e comm o n use
of r u values.
5.3.1.5 Analysis of cyclic loading problems
A n i m p o r t a n t a r e a w h e r e f u r t h e r w o r k is n e c e s s a r y
is t h e a n a l y s i s o f p r o b l e m s i n v o l v i n g v e r y m a n y
cycles of loading. Conventional incremental
t e c h niques may be a p p r o p r i a t e for small numbers
of c y c l e s , in w h i c h it is f e a s i b l e to f o l l o w
e a c h c y c l e in f u l l d e t a i l . For very many
(perhaps thousands) of c y c l e s this p r o cess
becomes hop e l e s s l y uneconomic and some other
approach must be made. Several schemes are
possible, and none has ye t e m e r g e d as a fa v o u r e d
method.
T h e f i r s t a p p r o a c h is to m o d i f y t h e c o n s t i t u t i v e
law to a c c o u n t e x p l i c i t l y for c y c l i c loading.
For instance, a monotonically increasing fatigue
p a r a m e t e r m a y be e v a l u a t e d as a f u nction of the
n u m b e r a n d t y p e o f p r e v i o u s c y c l e s (van E e k e l e n ,
1982) a n d o t h e r q u a n t i t i e s a r e in t u r n e x p r e s s e d
as f u n c t i o n s of the f a t i g u e parameter. Although
this ma y be a s a t i s f a c t o r y wa y of p r e s e n t i n g the
r e sults of sing l e e l e m e n t tests, it in e v i t a b l y
leads to the c h oice of a numb e r of e m pirical
f u n c t i o n s a n d p r e s e n t s s e v e r a l d i f f i c u l t i e s in
finite element analysis.
A second approach wo u l d be to model fully the
ef f e c t s of a small n u m b e r of cycles, and then to
extrapolate the cum ulative effect of these
cycl e s to a large number. A f u r t h e r set of
cycles could then be followed and a n ew e x t r a ­
polation made.
5.3.2 Boundary elements
B oundary elements are well suited to linear
elasticity problems and allow a considerable
sav i n g in p r e p a r a t i o n of data compared with
finite e l e m e n t s since o n l y the b o u n d a r y n eed be
d i s c r e t i z e d r a t h e r than the b o d y of the soil.
T h i s is p a r t i c u l a r l y v a l u a b l e for t h r e e -
d imensional problems where only the two-
dimensional surface need be discretized.
A lth o u g h work has been done on applying the
m e t h o d to n o n - l i n e a r and e l a s t i c - p l a s t i c problems
the method then b e c o m e s c u m b e r s o m e and the
advantage over finite element techniques ques­
tionable. It shou l d be n o t e d that the b o u n d a r y
e l e m e n t m e t h o d i n volves a c o n s i d e r a b l e a m o u n t of
m a t h e m a t i c a l input for programming, w i t h great
care being n ecessary for some parts of the p r o b ­
lem, in p a r t i c u l a r the e v a l u a t i o n of t he singular
integrals. It is a t e c h n i q u e f o r u s e b y
exp e r t s only.
5.3.3 The method of characteristics
In c o n t r a s t to the p r e v i o u s n u m e r i c a l techniques,
which are i d e ally suited to s o lving linear
elastic problems, and can only be applied with
some d i f f i c u l t y to p l a s t i c i t y p roblems, the
m e t h o d of c h a r a c t e r i s t i c s is a t e c h n i q u e for
solving plasticity problems directly. I t is
o nly a p p l i c a b l e to p e r f e c t l y p l a s t i c materials,
and involves c o mbining the equations of yield
and e q u i l i b r i u m to give a set of h y p e r b o l i c
partial differential equations. These are
solved by integ r a t i n g along the ch a r a c t e r i s t i c s
(which are a lso the "slip lines") to o b t a i n a
solution for the stresses. As a second stage
a s o l u t i o n for the d i s p l a c e m e n t s may a lso be
found.

T h e m e t h o d is n o t g e n e r a l , a n d m a y o n l y be
a p p l i e d to c e r t a i n t y p e s of p r o b l e m . A review
of such met h o d s was given by the a uthors
( H o u l s b y a n d W r o t h , 1982) so n o f u r t h e r d i s c u s ­
s i o n is i n c l u d e d here.

5.3.4 Special solution techniques

Some types of calculation are always carried out
better by using a specialised technique for a
p a r t i c u l a r applic a t i o n , rat h e r than one of the
general methods described above. For instance,
in a s s e s s i n g t h e f a c t o r o f s a f e t y f o r a s l o p e ,
the limit e q u i l i b r i u m met h o d s u s i n g the m e thod
of slices still r e m a i n s the m o s t r e l i a b l e and
efficient technique. T h e a p p l i c a t i o n of
s p e c i a l i s e d t e c h niques o f t e n involves some
d e g r e e of a p p r o x i m a t i o n , for i nstance the m e t h o d
of slices only satisfies the e q u i l i b r i u m e q u a ­
t i o n s a p p r o x i m a t e l y , b u t in s o m e c a s e s t h e y can
also be used for exact solutions.

A recently developed method which deserves

f u r t h e r a t t e n t i o n is t h e " s t r a i n p a t h m e t h o d "
p i o n e e r e d by B a l i g h (1984). T h e m e t h o d is
p a r t i c u l a r l y a p p l i c a b l e to p r o b l e m s of deep l y
b u r i e d s t r u c t u r e s w h e r e th e p a t t e r n of d e f o r ­
m a t i o n can be d e s c r i b e d by steady state flow.
Examples are cone penetrometers, piles and
sampling tubes. The proc e d u r e for the analysis
of u n d r a i n e d c l a y s is as fol l o w s .

A s t e a d y s t a t e f l o w p a t t e r n w h i c h is c o m p a t i b l e F i g . 41 D e f o r m a t i o n of a square g r i d during
w i t h the b o u n d a r y c o n d i t i o n s is f i r s t c h o s e n undr a i n e d p e n e t r a t i o n of a 'simple pile' into
( it m a y b e n e c e s s a r y t o s i m p l i f y t h e b o u n d a r y s a t u r a t e d c l a y ( a f t e r B a l i g h , 1984)
conditions at this s t a g e ) . For undrained
(incompressible) flow this may be conveniently
e x p r e s s e d in terms of a s t r e a m function, from
w h i c h the v e l o c i t i e s are d e t e r m i n e d by d i f f e r ­
entiation. C e r t a i n simple p r o b l e m s can be
solved using particularly simple stream
functions, for instance, the "simple pile"
s h a p e s h o w n i n F i g . 41 h a s b e e n u s e d b y B a l i g h
a n d is d e r i v e d f r o m a s i n g l e s o u r c e l o c a t e d in
a u n i f o r m flow. The stream function required
is:

(69)
4 (r2 + z 2
where the radial and vertical velocities are
d e f i n e d as:
1 3*
U r 3z '

1 3ip (70)
v ~ r 3r

This shape can be u s e d to a p p r o x i m a t e the

i n s t a l l a t i o n of a pile.

Th e strain rates can be d e t e r m i n e d f r o m the

velocities at every point. The strain history
of a n y m a t e r i a l p o i n t as it m o v e s a l o n g a
s t r e a m l i n e is t h e n a v a i l a b l e . F i g . 42 s hows
the strain hist o r i e s of three mater i a l elements
a s the s i m p l e p i l e is d r i v e n p a s t them. The
diagram shows the vertical strain plotted
a g a i n s t the h o o p s t r a i n and, for comparison, F i g . 42 Deviatoric strain paths during
the h a t c h e d a rea shows the range of strains u n d r a i n e d p e n e t r a t i o n of a 'simple pile' into
a v a i l a b l e in t r i a x i a l c o m p r e s s i o n a n d e x t e n s i o n s a t u r a t e d c l a y ( a f t e r B a l i g h , 1984)

41
tests and the p r e s s u r e m e t e r test. C l e a r l y the
s o i l a d j a c e n t t o a p i l e o r p e n e t r o m e t e r is s u b ­
jected to very large strains.
G i v e n s t r e s s b o u n d a r y c o n d i t i o n s in t h e u p s t r e a m
d i r e c t i o n it is n o w p o s s i b l e t o i n t e g r a t e a
s t r e s s - s t r a i n law a l o n g e a c h s t r e a m l i n e to give
t h e s t r e s s e s t h r o u g h o u t t h e s o i l (the m e t h o d is
g e n eral and any s t r e s s - s t r a i n law can be used
at this s t a g e ) . The resulting stresses will
n o t b e in e q u i l i b r i u m unle s s , b y c h a n c e , the
f i r s t g u e s s of the s t r e a m l i n e s h a p p e n e d to be
correct. It is at th i s s t a g e t h a t the m e t h o d
requires further development, and various possi­
b i l i t i e s e x i s t for the n ext step. Baligh
suggests one alternative that an eq u i l i b r i u m
stress field should be derived, c l o sely related
to the in i t i a l s t re s s field, a n d the two f i e ld s
compared. If t h e m o d i f i c a t i o n i m p l i e s o n l y a
s m a l l c h a n g e t o t h e c o n s t i t u t i v e l a w ( i .e.
w i t h i n t h e a c c u r a c y to w h i c h t h i s is known) then
t h e s o l u t i o n is r e g a r d e d a s a c c e p t a b l e .
A l t e r n a t i v e l y some m e a n s ha s to be f o u n d to
a d j u s t the s t r e a m l i n e s in o r d e r to b r i n g the
stress field c l o s e r to equili b r i u m . A tech­
n i q u e b a s e d o n th i s a p p r o a c h is c u r r e n t l y b e i n g
d e v e l o p e d at the U n i v e r s i t y of Oxford.
5.3.5 Treatment of discontinuous behaviour
An impo r t a n t a s p e c t of the b e h a v i o u r of soils
is t h a t d i s c o n t i n u i t i e s m a y f o r m u n d e r c e r t a i n
conditions. C o n t i n u u m m e c h a n i c s deals primarily
w i t h c o n t i n u o u s behaviour, in w h i c h d i s p l a c e ­
ments, strains and stresses vary smoothly from
po i n t to point. W i t h i n c o n t i n u u m m e c h a n i c s it
is p o s s i b l e t o f o r m u l a t e t h e c o n d i t i o n s w h i c h
m u s t a p p l y across d i s c o n t i n u i t i e s , e.g. e q u i ­
librium of normal and shear stress, but
solution t e c h niques wh i c h a l l o w for d i s c o n ­
t i n u i t i e s a r e in a n e a r l y s t a t e of d e v e l o p m e n t .
T h e r e a r e t wo m a i n c l a s s e s of d i s c o n t i n u i t i e s .
The first class comprises those which are pre­
e x i s t i n g in t he soil m a s s , for i n s t a n c e , an o ld
slip plane or an interface b e t ween two d i f f e r ­
en t types of mate r i a l . These are relatively
s t r a i g h t f o r w a r d to d e a l w i t h n u m e r i c a l l y (even
if t h e y d o c o m p l i c a t e a s o l u t i o n ) s i n c e s p e c i ­
fic p r o v i s i o n c a n be m a d e to de a l w i t h them.
For instance, when using the finite element
m e t h o d it is e a s y to d e a l w i t h i n t e r f a c e s
between materials by specifying different
element properties. S l i d i n g s u rfaces ma y be
dealt with by introducing special sliding
elements into an analysis. The key f e a ture of
t h e s e d i s c o n t i n u i t i e s is t h a t t h e i r p o s i t i o n is
known.
The second class of d i s c o n t i n u i t i e s c o m p r i s e s
those w h i c h form in some u n p r e d i c t a b l e m a n n e r
d u r i n g the c o u r s e of soil deform a t i o n . These
a r e m u c h m o r e d i f f i c u l t to de a l w i t h in an
a n a l y s i s b e c a u s e t h e i r p o s i t i o n is n o t k n o w n a
priori. T h e b e s t k n o w n e x a m p l e is the f o r m a ­
t i o n of a s l i p s u r f a c e in t h e f a i l u r e of a
slope.
The i m p o rtance of this second cl a s s of d i s c o n ­
t i n u i t i e s li e s in t h e i r v e r y u n p r e d i c t a b i l i t y .
In p a r t i c u l a r , if a p r o b l e m is m o d e l l e d b y a
theory which assumes continuous behaviour, then
t h e r e is n o c h a n c e t h a t a d i s c o n t i n u o u s m o d e
(which may be the real mod e w h i c h the soil
adopts) can be predicted. In t h e f i n i t e
42
e l e m e n t method, for example, the c h o i c e of
e l e m e n t s h a p e f u n c t i o n s is m a d e so t h a t d i s ­
p l a c e m e n t s v a r y c o n t i n u o u s l y a n d t h e r e is n o
possibility of a discontinuity appearing.
S i m p s o n (1973) d i d , h o w e v e r , a t t e m p t t o m o d e l
such phenomena by successively refining a finite
e l e m e n t m e s h in r e g i o n s of h i g h s t r a i n , a n d s u c h
a technique deserves further attention. Slip
planes may be a p proximated by zones of elements
undergoing intense shearing, but this may not
a d e q u a t e l y si m u l a t e the true nat u r e of the
failure.
A n o t h e r e x a m p l e o f t h i s t y p e o f p r o b l e m is t h e
f o r m a t i o n of c r a c k s in soil. S c h o f i e l d (1 9 8 Q )
suggests that these may occur under conditions
of low e f f e c t i v e stress and h igh h y d r a u l i c
gradient. The resulting cracks may cause a
s u d d e n c h a n g e in t h e soil p e r m e a b i l i t y , w i t h
high pore pressures then propagating rapidly
t h r o u g h the soil.
S o m e t e c h n i q u e s , for i n s t a n c e , the m e t h o d of
slices for slope stability, specifically imply
discontinuous behaviour. Of the more general
n u m e r i c a l t e c h n i q u e s only the m e t h o d of c h a r a c ­
teristics can account both for stress dis c o n ­
t i n u i t i e s ( Dietrich, 1981) a n d d i s p l a c e m e n t
d i s c o n t i n u i t i e s (slip planes) w h i c h o c c u r at
unpredictable positions. T h e m e t h o d has,
however, limited application at present. An
i m p o r t a n t c h a l l e n g e f o r the f u t u r e is to i n c o r ­
p o r a t e d i s c o n t i n u i t i e s a t u n k n o w n l o c a t i o n s in
the finite element method. Slip plan e s are
m o s t likely to form un d e r c o n d i t i o n s of strain
s o f t e n i n g , w h i c h a l r e a d y c a u s e d i f f i c u l t i e s in
any numerical solution. A c c o u n t m u s t a l s o be
t a k e n of the c o r r e c t s c a l i n g laws for d i s c o n ­
t i nuities at l a b o ratory and field scale, and
this p r o b l e m still does not seem to be fully
understood.
6 ENGINEERING APPLICATIONS
6 .1 Type and scale of p r o b l e m
In g e o t e c h n i c a l e n g i n e e r i n g t h e r e is a l a r g e
v a r i e t y of p r o b l e m s an d s e v e r a l m e t h o d s of
analysis available for their solution, as was
d i s c u s s e d in S e c t i o n 5 . 1 . 3 . Having identified
t h e t y p e of p r o b l e m , t h e d e s i g n e n g i n e e r h a s to
select the a p p r o p r i a t e m e t h o d of a n a l y s i s which,
in turn, r e q u i r e s a p r o p e r c h o i c e of soil m o d e l
and the ev a l u a t i o n of the r e l evant soil
properties.
The size and importance of the project together
with the likely c o n s e q u e n c e s of u n s a t i s f a c t o r y
performance (whether due to excessive d e f o r ­
m a t i o n s o r t o f a i l u r e ) w i l l d i c t a t e (i) t h e
s c o p e o f t h e s i t e i n v e s t i g a t i o n , (ii) t h e r a n g e
o f s o i l t e s t s t o b e c a r r i e d o u t , (iii) t h e
e x t e n t o f t h e a n a l y s e s , (iv) t h e c h o i c e o f
f ac t o r of safety or load f a ctors to be adopted,
a n d (v) t h e a m o u n t o f m o n i t o r i n g r e q u i r e d d u r i n g
and after construction. At one end of the
spectrum there are relatively simple problems
such as f o u n d a t i o n s for l o w - c o s t housing,
w h e reas at the other end there are ma j o r in t e r ­
nat i o n a l p r o j e c t s such as e a r t h dams and the
f o u n d a t i o n s of n u c l e a r p o w e r s tations or o f f ­
shore oil production platforms.
To illustrate the application of some of the
m o d e r n m e t h o d s a v a i l a b l e to p r a c t i s i n g e n g i n e e r s , Undrained Shear Strength, ksf

t w o c o n t r a s t i n g e x a m p l e s a r e d i s c u s s e d in t h e
next sections: the c o n s t r u c t i o n of an e m b a n k ­
m ent and of an excavation. Although both
e x a m p l e s are h y p o t h e t i c a l , the p r o p e r t i e s of the
ground are those for Boston blue clay to provide
r e a l i s m to t h e d i s c u s s i o n a n d t o i l l u s t r a t e t h e
p a t t e r n of b e h a v i o u r d e s c r i b e d in S e c t i o n 3.

6.2 P r o p e r t i e s of B o s t o n b l u e c l a y
T h e p e r f o r m a n c e of a h i g h e m b a n k m e n t p l a c e d on a
t h i c k c l a y f o u n d a t i o n , j u s t n o r t h of B o s t o n , h a s
b e e n t h e s u b j e c t of m u c h r e s e a r c h b y t h e D e p a r t ­
m e n t of C i v i l E n g i n e e r i n g of MIT. This embank­
m e n t a n d its r a p i d l o a d i n g to f a i l u r e f o r m e d the
s u b j e c t of a s p e c i a l F o u n d a t i o n D e f o r m a t i o n
P r e d i c t i o n S y m p o s i u m h e l d a t M I T in 1974.

T h e s o i l p r o p e r t i e s a t t h e t e s t s e c t i o n of
t h e e m b a n k m e n t a r e r e p r o d u c e d in F i g s 4 3 a n d 44,
t a k e n f r o m D ' A p p o l o n i a e t al. (1971). F i g . 43
shows the soil profile, the results of Index
t e s t s a n d the d a t a of p r e c o n s o l i d a t i o n p r e s s u r e s F i g . 44 D a t a o f u n d r a i n e d s h e a r s t r e n g t h of
o b t a i n e d in t h e c o n v e n t i o n a l m a n n e r f r o m o e d o - Boston blue cla y at site of trial em b a n k m e n t
m e t e r tests. A s u m m a r y of u n d r a i n e d shear
( a f t e r D ' A p p o l o n i a e t al., 1971)
s t r e n g t h s m e a s u r e d in v a r i o u s t e s t s is g i v e n in
F i g .44.

W i t h t h e k n o w l e d g e of t h e r e l e v a n t s o i l p r o p e r ­
Atterberg Limits and ties the m o d i f i e d C a m - C l a y model can be fitted
Natural Water Content to the B o s t o n b l u e clay, a n d t h e n be u s e d to
ho 20 30 40 50 60 0 p r o d u c e a p r o f i l e o f s h e a r s t r e n g t h in t h e
Medium Fine following manner. U s e is m a d e of t h e e x p r e s ­
Sand
Stiff Blue £lay
s i o n s o f e q u a t i o n s (31) a n d (35) f o r t h e
u n d r a i n e d s t r e n g t h r a t i o f o r t r i a x i a l t e s t s in
specimens consolidated one-dimensionally. The
r e l e v a n t s o i l p r o p e r t i e s a r e t h o s e u s e d in
S e c t i o n 3 . 3 . 2 , viz. = 26.5°, A = 0 . 7 7 6 a n d
Average Estimated n = 0.4.
Average oy

The c o m p u t a t i o n has b e e n d on e for five ho r i z o n s

in t h e s t r a t u m o f c l a y , a s l i s t e d in T a b l e II,
f o r s i m p l i c i t y a n d e a s e o f c o m p a r i s o n , t h e units
use d are the original ones: feet and ksf =
1000 l b f / f t 2 = 4 7 . 8 8 k N / m 2 .

T h e s e q u e n c e of the c o m p u t a t i o n is:
Maximum Past Pressure \ (i) r e a d the v a l u e s of the o v e r b u r d e n p r e s ­
Estimated from Oedometer Test
Sandy Glacial Till sure o'0 and the p r e c o n s o l i d a t i o n p r e s ­
s u r e o y c f r o m t h e a v e r a g e l i n e s in F i g . 43
(ii) c ompute O C R and the value of K q from
e q u a t i o n (25);
F i g . 43 P r o p e r t i e s of B o s t o n b l u e c l a y at site
of trial em b a n k m e n t (iii) c o m p u t e s u t c /°vo f r o m e q u a t i o n s (31) and
( a f t e r D ' A p p o l o n i a e t a l ., 1971) (35) ;

T A B L E II
C o m p u t e d v a l u e s o f s o i l p r o p e r t i e s f o r f i v e h o r i z o n s in B o s t o n b l u e c l a y

1 s , 0 s' t Point
Elev.
0 1 0
S utc\ utc ho o o
Depth VC. VO in
OCR ocra ( °vo ) K 0CRn Ko (ksf) Fig.
(m) (ft) (ksf) (ksf)

.96 94 9.56 5 76 1 .580 1 .48 2.47 1 . 368 1 28 1.11 - 0.17 G'

4 .88 - 10 8 0
7 .60 .50 5.07 3 52 0.966 1 .45 1 .91 1 .058 1 .59 1 . 54 - 0.04 J'
7.92 - 20 1
6 .00 2 .67 2.25 0.514 1 .37 1 .38 0.766 2 .04 2.35 0.31 -
14.02 - 40 1 88
4 .63 3 .75 1 .23 1 18 0.323 1 .21 1 .09 0.602 2 .26 3.00 0.75 A'
2 0 .1 2 - 60
4 .79 1 1 0.274 1 .31 1 0.554 2 .65 3.72 1 .07 -
26.21 - 80 4 .79
N .B. G r o u n d s u r f a c e is a t t h e e l e v a t i o n + 6 f t

43
 Undrained shear strength: ksf
0 1 2 3
F i g . 45 C o m p u t e d and e x p e r i m e n t a l p r o f i l e s of
shear str e n g t h of B o s t o n b lue c lay at site of
trial .embankment
(iv) c o m p u t e su ^c and, in a d d i t i o n , t h e v a l u e s
o f t h e i n s i t u s t r e s s 0^ o , S q a n d t Q .
The c o m p u t e d values of the u n d r a i n e d shear
str e n g t h for t riaxial c o m p r e s s i o n tests on
specimens c o n s o l i d a t e d o n e - d i m e n s i o n a l l y to the
r e l e v a n t O C R a r e p l o t t e d i n F i g . 45, w h e r e t h e y
can be c o m p a r e d w ith the lines (taken from
F i g . 44) f o r t h e e x p e r i m e n t a l v a l u e s o b t a i n e d i n
both triaxial c o m p r e s s i o n and exte n s i o n tests.
T h e c o m p u t e d v a l u e s a r e c l o s e t o t h e m e a n of
the two sets of o b s e r v a t i o n s , u n d e r e s t i m a t i n g
the c o m p r e s s i o n test d a t a c o n s i s t e n t l y by about
20%. I t is s i g n i f i c a n t t h a t t h e c o m p u t e d
160 200
1 --- 1--- 1
F i g . 46 Results of self-boring pressuremeter
44
profile r e p r oduces the o b s e r v e d pattern very
closely, w ith the k ink b e i n g a s s o c i a t e d w i t h the
e l e v a t i o n o f - 70 f t w h i c h f o r m s t h e b o u n d a r y
between the overconsolidated and normally con­
solidated strata. B e l o w t h i s l e v e l t h e c l a y is
n o r m a l l y c o n s o l i d a t e d so that all the stresses
and shear strengths are expe c t e d to be p r o p o r ­
tional to de p t h b e l o w the g r o u n d surface. The
s i m i larity of the str e n g t h p r o f i l e s c onfirms
(i) t h e i m p o r t a n t l i n k b e t w e e n t h e p r o f i l e o f
p r e c o n s o l i d a t i o n p r e s s u r e in F i g . 43 a n d t h a t of
s h e a r s t r e n g t h i n F i g . 44 a n d , h e n c e , (ii) t h e
a c c uracy and c o n s i s t e n c y of the exp e r i m e n t a l
data. In a d d i t i o n , it p r o v i d e s some c o n f i r ­
m a t i o n that the c h o s e n model of soil b e h a v i o u r
is v a l i d .
The d i f f e r e n c e s b e t w e e n the v a l u e s of u n d r a i n e d
s h e a r s t r e n g t h o b s e r v e d in v a r i o u s tes t s , e.g.
triaxial compression, triaxial extension, direct
simple shear and field vane, have been discussed
by W r o t h (1984).
The results of some s elf-boring p r e s suremeter
tests c a r r i e d o ut at the site of the trial
e m b a n k m e n t b y H u g h e s (1973) a r e p l o t t e d in
F i g . 46. T h e p r o f i l e s a r e o f (a) i n s i t u e f f e c ­
t i v e h o r i z o n t a l s t r e s s , (b) s h e a r m o d u l u s a n d
(c) u n d r a i n e d s h e a r s t r e n g t h . Note that metric
units have been used and the depth b e l o w ground
s u r f a c e ( a t e l e v a t i o n + 6 ft) i s q u o t e d i n
metres.
T h e t e s t s w e r e c a r r i e d o u t in t h e e a r l y d a y s o f
the d e v e l o p m e n t of the s e l f - b o r i n g p r e s s u r e ­
meter when the drilling technique had not been
fully refined, so that d i s t u r b a n c e may h ave b e e n
significant, with the results showing consider­
able s c atter and b e i n g open to question.
T h e c u r v e o f F i g . 4 6 (a) i s t a k e n f r o m t h e v a l u e s
of K 0 ( a n d h e n c e o f ai\o) d e r i v e d f r o m t h e
p r o f i l e o f p r e c o n s o l i d a t i o n p r e s s u r e in F i g . 43
a n d u s e o f e q u a t i o n (25 ) . The reasonable
agreement between the theoretical curve and the
G:MN/nrf Su-kN/m
0 U 3 12 0 20 40 60 80
T ----------'--------- 1----------'----------1— "i IT— 1----------1---------- 1----------1----------'----------1----------1---------- 1
tests in B o s t o n blue clay at site of trial embankment
e x p e r i m e n t a l d a t a c o n f i r m s (i) t h e g e n e r a l
c o n s i s t e n c y of the p r o p e r t i e s of B o s t o n b l u e
c l a y a n d (ii) i n p a r t i c u l a r , t h a t t h e v a l u e s o f
O C R a r e ' c o n s i s t e n t w i t h p r i m a r y u n l o a d i n g a s is
r e q u i r e d f o r e q u a t i o n (25) t o b e v a l i d .
The c u r v e of F i g . 4 6 ( b ) is a t h e o r e t i c a l o ne
d e r i v e d f r o m e q u a t i o n (44) w i t h v a l u e s o f
G / s u of 200 a n d C = 0.0 a d o p t e d to p r o v i d e a
g o o d fit to the data. The val u e s of the
moduli have been obtained from the initial part
of the e x p a n s i o n test, and not from unload-
rel o a d loops, as has n ow become s t andard
practice.
T h e c u r v e o f F i g . 4 6 ( c ) is t h a t o f t h e c o m p u t e d
s h e a r s t r e n g t h s t a k e n f r o m F i g . 45; b e c a u s e of
p r o b l e m s w i t h c a l i b r a t i o n of the strain imposed
by the pressuremeter, strengths were only
q u o t e d for the four depths shown.
6 .3 Example of embankment construction
The c o n s e q u e n c e s of the c o n s t r u c t i o n of a large
em b a nkment on the Boston blue clay are c o n s i ­
d e r e d in t h i s s e c t i o n . T he ex a c t d e t a i l s of
the e m b a n k m e n t , s h o w n s c h e m a t i c a l l y in s e c t i o n
in F i g . 47, h a v e n o t b e e n s p e c i f i e d b e c a u s e it
is o n l y t h e b e h a v i o u r o f t h e g r o u n d in q u a l i ­
t a t i v e t e r m s t h a t is of c o n c e r n . T h e r e is
insufficient information of the Boston blue
c lay for a c o m p l e t e q u a n t i t a t i v e t r e a t m e n t to
be attempted.
Th e r esponse of an e l e m e n t of the g r o u n d at
p o i n t A in F i g . 47 o n the c e n t r e l i n e of the
e m b a n k m e n t a n d a t a d e p t h 66 f t b e n e a t h i t . i s
investigated. T h e i n t e n t i o n a l c h o i c e of
t ■1000 lb f/ f t2
Fig.47 E x a m p l e p r o b l e m of an embankment on
Boston blue clay - section and stress paths
p o i n t A on t h e c e n t r e l i n e is b e c a u s e , by
symmetry, the local in c r e m e n t s of stress and
s t r a i n w i l l n ot r e s u l t in r o t a t i o n of the
principal axes; e l s e w h e r e r o t a t i o n of the axes
will occur, and this exposes the lack of basic
k n o w l e d g e of w h a t h a p p e n s to soil un d e r such
circumstances.
A n o t h e r d i f f i c u l t y is t h a t the a n a l y s i s of a
long emban kme nt will be c ons idered as a plane
strain problem. M u c h of the basic understanding
of soil b e h a v i o u r d e s c r i b e d in this p a p e r comes
f r o m e v i d e n c e o b t a i n e d in c o n d i t i o n s o f a x i a l
symmetry, and it ma y not be d i r e c t l y ap p l i c a b l e
to p l a n e strain conditions.
The likely stress conditions and stress paths
a r e p r e s e n t e d in t e r m s o f t h e p l a n e s t r a i n v a r i ­
a b l e s s' a n d t, i n F i g . 4 7 . In o r d e r t o m a k e
the d i a gram more readily understood, the scale
for the t axis has b e e n m ade dou b l e that of the
s' a x i s . The initial effective and total
stress states of the e l e m e n t h ave b e e n taken
f r o m T a b l e II a n d p l o t t e d a s A 1 a n d A in F i g . 47.
The failure envelope has been based on a plane
s t r a i n f r i c t i o n a n g l e ifpS o f 30° ( c o r r e s p o n d i n g
t o a v a l u e f o r t r i a x i a l c o m p r e s s i o n o f 26.5°
(Wroth, 1904)). The effective stress state
c o r r e s p o n d i n g to the p r e c o n s o l i d a t i o n p r e s s u r e
is a t p o i n t C ' , a n d a s u g g e s t e d y i e l d e n v e l o p e
has been sketched with the following features.
It m u s t p a s s t h r o u g h C', b e s y m m e t r i c a l a b o u t
the o n e - d i m e n s i o n a l c o n s o l i d a t i o n line and cut
the failure e n v e l o p e w i t h a t a n g e n t p a r a l l e l to
t h e s' a x i s ; it h a s the s a m e c h a r a c t e r i s t i c s as
the "triaxial" y i e l d e n v e l o p e for W i n n i p e g clay
i n F i g . 26.
The l o ading i m p osed b y c o n s t r u c t i o n of the
e m b a n k m e n t is a s s u m e d to b e s u f f i c i e n t l y r a p i d
t h a t it c a n b e c o n s i d e r e d as u n d r a i n e d , a n d of
m a g n i t u d e such that the total stress path experi­
e n c e d b y t h e e l e m e n t is A B . If t h e c l a y
b e h a v e s e l a s t i c a l l y (inside the yi e l d envelope)
and experiences no volume change, then the
c o r r e s p o n d i n g e f f e c t i v e s t r e s s p a t h i s A 'B 1 ,
h a v i n g n o c h a n g e o f m e a n e f f e c t i v e s t r e s s s'
(o r p 1 ).
Duri n g su b s e q u e n t consolidation, the total
stresses will only change by a small amount
(negligible c h a n g e of ov and a mar g i n a l readjust­
m e n t o f 0 ^) s o t h a t d u r i n g d i s s i p a t i o n o f e x c e s s
p o r e p r e s s u r e the e f f e c t i v e s t r e s s s t a t e h a s to
m o v e f r o m B 1 t o s o m e p o i n t s u c h a s D'. In the
process, this path may i n tersect the cu r r e n t
y i e l d e n v e l o p e at Y 1; if t h i s is so, t h e
e l e m e n t of c lay y i e l d s and p a s s e s f rom a m a r g i n ­
ally overcon s o l i d a t e d state to a normally c o n ­
s olidated state. Accompanying this yielding
w i l l be a m a r k e d d r o p in t he r a t e of local
c o n s o l i d a t i o n , d ue to t he c h a n g e in the v a l u e of
the c o e f f i c i e n t of conso l i d a t i o n , cv . This
p h e n o m e n o n w a s i d e n t i f i e d b y F o l k e s (1980) a n d
f u r t h e r i n s t a n c e s a r e p r o v i d e d b y W a t s o n e t al.
(1984) .
If t h e h e i g h t o f t h e e m b a n k m e n t h a d b e e n g r e a t e r ,
t h e reby c a u s i n g a g r e a t e r incr e m e n t of total
s t r e s s t h a n A B in F i g . 47, t h e c o r r e s p o n d i n g
increment of e f fective stress could have induced
y i e l d at s t a t e E', o r e v e n b r o u g h t the e l e m e n t
of c lay at po i n t A to f a i lure at state F 1.
Local f a i l u r e of e l e m e n t s of the clay a r o u n d
point A b e n eath the e m b a nkment may not cause
45
f a i lure of the e m b a n k m e n t itself; the local
f a i lure may be c o n t a i n e d w i t h i n a zone of
s u r r o u n d i n g c l a y t h a t is s t a b l e .

T h e r e a re t h r e e p o s s i b i l i t i e s f or t he s t a t e of
j
any e l e m e n t of the g r o u n d b e n e a t h the e m b a n k ­ I
ment: (a) t h e e l e m e n t r e m a i n s e l a s t i c w i t h i n
i t s c u r r e n t y i e l d e n v e l o p e , (b) t h e e l e m e n t
y i e l d s b u t d o e s n o t f a i l , o r (c) t h e e l e m e n t G*
fails. The r e s u l t i n g c o n d i t i o n of any e l e m e n t
d e p e n d s b o t h on t h e i n c r e m e n t of t o t a l s t r e s s
ii
i t e x p e r i e n c e s , a n d t h e i n i t i a l s t r e s s in
relation to the y i e l d envelope. Consequently A
the p r e c i s e p a t t e r n of the zones of g r o u n d that
(a) h a v e r e m a i n e d e l a s t i c , (b) y i e l d e d , a n d
(c) a r e a t ( c o n t a i n e d ) f a i l u r e d e p e n d s o n t h e
c o n s o l i d a t i o n h i s t o r y of the v a r i o u s strata.
S o m e e x a m p l e s of s u c h p a t t e r n s h a v e b e e n g i v e n
by W o o d ( 1 9 8 0 a ) .

The p e r f o r m a n c e of the e m b a n k m e n t and the t : 1000

u n d e r l y i n g g r o u n d r e g a r d i n g s e t t l e m e n t and the Failure in'compression'
l i k e l i h o o d of i n s t a b i l i t y is c r i t i c a l l y a f f e c t e d
/
by this p a t t e r n of response. Moreover, the
1 y
p a t t e r n is a l m o s t c e r t a i n t o a l t e r d u r i n g c o n ­
/
s o l i d a t i o n w i t h s o m e e l e m e n t s in t h e g r o u n d
changing from one condition to another.

T h e b e h a v i o u r of t he g r o u n d is v e r y c o m p l e x ,
a n d an a d e q u a t e u n d e r s t a n d i n g c a n o n l y be
a c h i e v e d by h a v i n g s u f f i c i e n t d a t a of the c o n ­
so l i d a t i o n h i s t o r y an d of the p r o p e r t i e s of the
U 5
_i--------- 1-----2
g r o u n d , a n d i n t e r p r e t i n g t h e m in t e r m s of an s ',s: 1000 lbf/ft
elastic-plastic model of soil b e haviour which
incorporates strain-hardening. There are
probably few occasions when a finite element
analysis using such a model and ideally incor­
p o r a t i n g f u l l y c o u p l e d c o n s o l i d a t i o n is
warranted. However, a qualitative assessment
shou l d alwa y s be m a d e to f orm the b a s i s for a
rational cho i c e of a factor of safety, and to
lead to a sound design.
Failure in'extension'

6 .4 Examples of excavation
T h e h y p o t h e t i c a l s h e e t e d e x c a v a t i o n in B o s t o n
b l u e c lay, h a v i n g the s a m e p r o p e r t i e s as in the
l a s t s e c t i o n , is s h o w n s c h e m a t i c a l l y in F i g . 48.
The d i m e n s i o n s have no t b een specified, b ut are
s u c h t h a t p o i n t s G a n d J r e p r e s e n t d e p t h s of
16 a n d 26 f t r e s p e c t i v e l y b e n e a t h t h e i n i t i a l
ground surface. T h e e x c a v a t i o n is c o n s i d e r e d
t o be l o n g in t h e d i r e c t i o n p e r p e n d i c u l a r to
the s e ction shown, so t hat plane str a i n c o n d i ­
tions can be assumed.
The likely stress conditions and stress paths
a r e p l o t t e d in F i g . 48, w i t h t h e s c a l e f o r t h e
t a x i s b e i n g d o u b l e t h a t o f t h e s' a x i s (as i n
F i g . 47). The initial effective and total
stress states of the elements have been taken
f r o m T a b l e II. For both elements, the degree
of o v e r c o n s o l i d a t i o n is s u f f i c i e n t l y l a r g e t h a t
the yield envelopes are not relevant; the
elements will behave elastically until failure
occurs on the M o h r - C o u l o m b failure envelope.
For illustrative p u r poses this envel o p e has
b e e n t a k e n as t he s a m e in c o m p r e s s i o n a n d
e x t e n s i o n w i t h c 1 = 0 a n d ifps = 30°. If t h e
data w e r e a v a i l a b l e and the ana l y s i s w a r r a n t e d
it, t h e m o r e s o p h i s t i c a t e d H v o r s l e v f a i l u r e
c r i t e r i o n c o u l d b e u s e d in w h i c h t h e v a l u e of
c' w o u l d b e p r o p o r t i o n a l t o t h e e q u i v a l e n t
p r e s s u r e or to exp(w). T h i s w o u l d r e s u l t in
different failure envelopes for elements from
d i f f e r e n t d e p t h s , i . e . f o r e l e m e n t s G a n d J.
F i g . 48 Example p r o b l e m o f a n e x c a v a t i o n in
Boston blue clay - section and stress paths
For e l e m e n t J b e n e a t h the c e n t r e line of the
e x c a v a t i o n t h e t o t a l s t r e s s c h a n g e is p r e d o m i ­
n a n t l y a r e d u c t i o n of the v e r t i c a l stress, a n d
a c o r r e s p o n d i n g l y small r e d u c t i o n of h o r i z o n t a l
stress. I gn o r i n g the la t t e r co m po n e n t , the
t o t a l s t r e s s p a t h J K w i l l be g i v e n by
A t = As' = i A o v , h a v i n g a g r a d i e n t o f + 1 . The
c o r r e s p o n d i n g e f f e c t i v e s t r e s s p a t h J'K' w i l l be
a s s h o w n , a s s u m i n g t h a t t h e e x c a v a t i o n is s u f f i ­
c i e n t l y r a p i d that u n d r a i n e d c o n d i t i o n s are
relevant, and that failure has not been induced.
T h e e x c e s s p o r e p r e s s u r e g e n e r a t e d is n e g a t i v e ,
and during subsequent swelling the total stress
s t a t e is s u b j e c t t o l i t t l e c h a n g e , s o t h a t t h e
effective stress state will move towards L '.
D e p e n d i n g on the a c t u a l m a g n i t u d e s of the
stresses, a n d on the final p o s i t i o n of the w a t e r
t a b l e , t h e e l e m e n t m a y b e b r o u g h t t o (local)
failure at state L ' d uring the swelling process.
In c on t rast, the total str e ss c h a n g e e x p e r i e n c e d
b y e l e m e n t G is p r e d o m i n a n t l y a r e d u c t i o n of
h o r i z o n t a l s t r e s s , w i t h a n e g l i g i b l e c h a n g e of
vertical stress. The total stress path G H will
b e g i v e n b y A t = - As' = - iAojj h a v i n g a
g r a d i e n t of - 1. The c o r r esponding effective

46
s t r e s s p a t h G 1H 1 w i l l b e g o v e r n e d by u n d r a i n e d
e l a s t i c b e h a v i o u r a n d is a s s u m e d t o b e i n s u f ­
f i c i e n t to c a u s e (local) fai l u r e . The excess
p o r e p r e s s u r e is n e g a t i v e , a n d d u r i n g s u b s e q u e n t
s w e l l i n g , w i t h n e g l i g i b l e c h a n g e of t o t a l
stress, the e f fective stress state would move
t o w a r d s I', if t h e o r i g i n a l w a t e r t a b l e is m a i n ­
tained. A r o u n d many such e x c a v a t i o n s the final
e q u i l i b r i u m p o s i t i o n of the w a t e r t a b l e m a y be
l o c ally d e p r e s s e d b e c a u s e of steady state
d r a i n a g e of g r o u n d w a t e r i n t o the e x c a v a t i o n ;
this possib i l i t y will influence w h e t h e r or not
the element reaches failure.

As for the case of the e m b a n k m e n t c o n s t r u c t i o n

d i s c u s s e d in the p r e v i o u s section, the b e h a v i o u r
o f t h e g r o u n d a r o u n d t h e e x c a v a t i o n is c o m p l e x .
There will be zones of g round that have failed,
but are c o ntained by surrounding ground that has
remained elastic w ithin the failure envelope.
Th e p o s s i b i l i t y of y i e l d has b e e n d i s c o u n t e d
b e c a u s e of the p a r t i c u l a r c o m b i n a t i o n of s t r e s s
his t o r y and stress paths for this example. (If
the soil were n o r m a l l y or l i ghtly o v e r c o n s o l i ­
dated then element G could have experienced
yi eld before reaching failure.)

Unli k e the case of the e m b a n k m e n t for w h i c h the

l i k e l i h o o d of f a i l u r e u s u a l l y r e cedes w i t h time
(because of c o n s o l i d a t i o n and the r e s u l t i n g
i n c r e a s e in s t r e n g t h ) , t h e e x c a v a t i o n is a
s i t u a t i o n w h e r e t h e r e v e r s e is t r u e a n d l o n g ­
t e r m s t a b i l i t y is m o r e c r u c i a l . In a d d i t i o n ,
c e r t a i n l y in u r b a n areas, the n e e d to limit
d e f o r m a t i o n s (and h e n c e d a m a g e to s u r r o u n d i n g
b u i l d i n g s ) is g e n e r a l l y g r e a t e r t h a n f o r a
surface loading. If a f i n i t e e l e m e n t a n a l y s i s
i s c o n s i d e r e d n e c e s s a r y , t h e n in m o s t c a s e s a n
elastic, p e r f e c t l y p l a s t i c model w ill be
adequate, so long as the f a i lure c r i t e r i o n
( g o v e r n i n g t h e p l a s t i c b e h a v i o u r ) is e x p r e s s e d
in t e r m s of e f f e c t i v e s t r e s s e s . A valuable
p a r a m e t r i c study of the b e h a v i o u r of p r o p p e d
r e t a i n i n g w a l l s b a s e d on this type of c o m p u ­
tation has been presented by Potts and Fourie F i g . 49 Stress paths and a p p a r e n t y i e l d loci
(1984) . for t ime-dependent b e haviour of clays

6 .5 Influence of delayed consolidation

Th e c o n c e p t s of Cri t i c a l State Soil M e c h a n i c s
an d the fin d i n g s of B j e r r u m r e g a r d i n g the
ef f e c t s of aging and str a i n rates on clay
be haviour have been b r o ught together by Tavenas
and L e r o u e i l (1977). The essential features
o f t h e i r i d e a s a r e c a p t u r e d in F i g . 49, w h i c h
d escribes the conso l i d a t i o n history of a clay
i n t e r m s o f t h e t r i a x i a l p a r a m e t e r s (p', q, V ) .
D u r i n g d e p o s i t i o n a n d p r i m a r y c o n s o l i d a t i o n the
clay was one-dimensionally normally consolidated
t o s t a t e P, w i t h t h e a s s o c i a t e d y i e l d e n v e l o p e
VPW. W i t h the p a s s a g e of time, s e c o n d a r y c o n ­
s o l i d a t i o n dur i n g ag i n g of the deposit, over say
10,000 years, r educes the specific volume under
c o n s t a n t e f f e c t i v e s t r e s s e s f r o m s t a t e P to
s t a t e Q. T h i s r e s u l t s in an a p p a r e n t p r e c o n ­
solidation pressure given by point S with a
corresponding apparent yield envelope T S U .
some erosion had taken place during this period
the effe c t i v e stress mi g h t c o r r e s p o n d to some
p o i n t s u c h a s R.
If t h e c l a y is s u b m i t t e d t o s t r e s s c o n d i t i o n s
in z o n e I f a i l u r e w i l l o c c u r i m m e d i a t e l y w h e n
the effe c t i v e stress state reaches the upper
p a r t of t h e y i e l d e n v e l o p e T S U to the l e f t of
p o i n t T, o r t h e e x t e n s i o n o f t h e M o h r - C o u l o m b
f a i l u r e e n v e l o p e TM.
If s t r e s s c o n d i t i o n s c o r r e s p o n d i n g t o z o n e II
are applied large c o n s olidation deformations
w i l l d e v e l o p as soon as the s t r e s s p a t h c r o s s e s
the y i e l d e n v e l o p e TSU. Failure will not
o c c u r so long as the e f f e c t i v e s t r e s s e s r e m a i n
in z o n e II a n d b e l o w TM.
I n z o n e III, b e t w e e n t h e t w o y i e l d e n v e l o p e s ,
the clay will develop secondary volumetric
s t r a i n s at a r a t e w h i c h d e p e n d s on the p r o x i m i t y
of the e f f e c t i v e stress state to the envelope;
the rate will be h igh near the outer envelope
and low near the inner envelope.
If
If t h e c l a y is s u b j e c t e d t o s t r e s s e s w i t h i n
z o n e I V it w i l l r e m a i n s t a b l e i n i t i a l l y , b u t
cr e e p strains will occur. In t i m e , d u e t o
these strains, the apparent yield envelope will
s h r i n k in s i z e a n d e v e n t u a l l y t o t h e e x t e n t t h a t
t h e (fixed) e f f e c t i v e s t r e s s s t a t e l i e s o n the
yield envelope. When this occurs the clay will
f a i l in a n a p p a r e n t c r e e p f a i l u r e .

47
Finally, for applied stress conditions within
z o n e V, f a i l u r e w i l l n o t o c c u r e v e n f o r s t r e s s
c o n d i t i o n s above the M o h r - C o u l o m b failure
envelope. These suggestions for classifying
soil b e h a v i o u r a c c o r d i n g to the h i s t o r y of c o n ­
so l i d a t i o n and s u b s e q u e n t l o a ding of the soil
have important implications for design, which
a r e d i s c u s s e d in the n e x t s e c t i o n .
6.6 Factors of safety and risk analysis
T h e d e s i g n e r of any m a j o r p r o j e c t in g e o t e c h ­
n i c a l e n g i n e e r i n g is f a c e d w i t h a d a u n t i n g t a s k
i n s a t i s f y i n g h i m s e l f t h a t t h e d e s i g n is a d e ­
quate. It is v i r t u a l l y i m p o s s i b l e t o f o r e s e e
all conditions and events throughout the life
o f t h e c o m p l e t e d p r o j e c t , s o t h e r e is b o u n d to
be some e l e m e n t of risk of f a i lure or of
unsatisfactory performance.
T r a d i t i o n a l l y , d e s i g n e r s h a v e r e l i e d h e a v i l y on
experience accumulated by the profession, and
on j u d g e m e n t in s e l e c t i n g v a l u e s o f t h e soil
properties, the factors of safety or load
factors, an d the m e t h o d of a n a l y s i s to be used.
The d i f f i c u l t i e s of m a k i n g these ch o i c e s are
m o r e a c u t e in g e o t e c h n i c a l e n g i n e e r i n g t h a n in
o t h e r b r a n c h e s of c i v i l e n g i n e e r i n g b e c a u s e of
(i) t h e g r e a t e r u n c e r t a i n t y o f t h e p r o p e r t i e s
a n d c o n d i t i o n o f t h e m a t e r i a l s , (ii) t h e i n a d e ­
q u a c i e s of the model r e p r e s e n t i n g m a t e r i a l
b e h a v i o u r , a n d (iii) t h e p o s s i b l e i n c o n s i s t e n c y
and i n a c c u r a c y of the m e t h o d of analysis.
points are illustrated by c onsidering the p r o b ­
lem of slope stability.
In c l a s s i c a l l i m i t a n a l y s i s t h e o n l y soi l
p r o p e r t y n e c e s s a r y ( o t h e r t h a n s e l f w e i g h t ) is
t h a t o f s t r e n g t h r e p r e s e n t e d e i t h e r in t e r m s o f
undrained shear strength su or dra ined strength
(c 1 , <(>1 ) . The choice between these two dif­
ferent s t r e n g t h s e x p o s e s the fact that the
p r o p e r t y o f s t r e n g t h v a r i e s w i t h time, d u e to
c h a n g e s of w a t e r c o n t e n t and of e f f e c t i v e
stress. T his turns out to be p a r t i c u l a r l y
c r u c i a l in l i m i t a n a l y s i s in t e r m s of e f f e c t i v e
s t r e s s , b e c a u s e a s m a l l c h a n g e in the v a l u e of
c' m a y c a u s e a d i s p r o p o r t i o n a t e c h a n g e i n t h e
factor of safety. A ra t i o n a l wa y of estimating
h o w c' v a r i e s w i t h t h e w a t e r c o n t e n t o f a c l a y
is p r e s e n t e d in S e c t i o n 3.4 in t e r m s of
H v o r s l e v 1s f a i l u r e c r i t e r i o n .
Fu r t h e r u n c e r t a i n t i e s ar i s e b e c a u s e of the
i n h o m o g e n e i t y of the g r o u n d and the d i f f e r e n c e
in r e s u l t s o b t a i n e d in d i f f e r e n t tes t s . The
g round may be anisotropic and show m a rked v a r i ­
ation of s trength w i t h d e p t h due to special
f e a t u r e s of its fabric, b e d d i n g a n d g e o l o g i c a l
h i s t o r y and due to o v e r c o n s o l i d a t i o n . The
o b s e r v e d value of str e n g t h for a p a r t i c u l a r
s a m p l e w i l l d e p e n d on w h e t h e r it is m e a s u r e d ,
f o r e x a m p l e , in the t r i a x i a l , d i r e c t s h e a r or
plane strain a pparatus or by field vane,
pressuremeter or cone penetrometer.
T he m e t h o d of a n a l y s i s , e.g. t he m e t h o d of
s l i c e s , is d e f i c i e n t i n t h a t it d o e s n o t
p r o p e r l y s a tisfy equil i b r i u m , and takes no
a c c o u n t of d e f o r m a t i o n s o r of r e d i s t r i b u t i o n of
st resses w i t h time w i t h i n the f a iling mass of
soil; no allowance can be made for progressive
failure.
It h a s b e e n u s u a l p r a c t i c e to a d o p t a s i n g l e
f a c t o r o f s a f e t y w h i c h is a p p l i e d e q u a l l y t o
48
b o t h c o m p o n e n t s of s t r e n g t h , a n d to all p a r t s
of the p o s t u l a t e d f a ilure surface. This
a p p r o a c h is n o w b e i n g c h a l l e n g e d b y t h e r e v i s i o n
and c r e a t i o n of ne w co d e s of p r a c t i c e w h i c h use
partial factors of safety. There has been a
v i g o r o u s d e b a t e in E u r o p e a b o u t the r e l a t i v e
m e r i t s of the two p h i l o s o p h i e s of design, and
the a r g u m e n t s w e r e f e a t u r e d in an i s s u e of the
journal Ground E ngineering by Simpson et a l .
( 1 9 01), B o l t o n (1981) a n d S e m p l e (190 1 ) . Some
of the anomalies that can arise between different
a p p l i c a t i o n s of l i m i t a n a l y s i s to r e t a i n i n g walls
are graphically illustrated by Padfield and Mair
(1984) a n d P o t t s a n d F o u r i e (1904).
A m a j o r d e v e l o p m e n t in d e s i g n m e t h o d o l o g y h a s
b e e n the i n t r o d u c t i o n of risk a n a l y s i s and
probability theory. T h e m a j o r b e n e f i t is t h a t
these topics p r o v i d e a ra t i o n a l w a y of judging
the likelihood and conseque nce s of failure, a
m o r e r a tional c h o i c e of f a ctors of safety
(whether lumped or partial) or load factors, and
an a d d e d d i s c i p l i n e to the des i g n process.
An e x c e l l e n t o u t l i n e of risk a n a l y s i s as a p p l i e d
t o g e o t e c h n i c a l e n g i n e e r i n g is g i v e n in t h e
T e r z a g h i L e c t u r e b y W h i t m a n (1984). Appli­
c a t i o n s of p r o b a b i l i t y theo r y lis t e d by W h i t m a n
are: (i) o p t i m i s e d s e a r c h , e x p l o r a t i o n a n d
testing; (ii) r e l i a b i l i t y t h e o r y ; (iii) o p t i ­
m i z a t i o n of d e s i g n in t he fa c e of u n c e r t a i n t y ;
a n d (iv) r i s k e v a l u a t i o n .
These
T h e e x t e n t t o w h i c h r i s k a n a l y s i s is u s e d in
d e s i g n w i l l d e p e n d o n s e v e r a l f a c t o r s s u c h as
the novelty, the m a g n i t u d e and the c o s t of the
p r o j e c t t o g e t h e r w i t h t he c o n s e q u e n c e s of
failure. Its i m p o r t a n c e lie s in t h e f a c t t h a t
it all o w s an o b j e c t i v e a s s e s s m e n t to be made
b oth of the ke y a s s u m p t i o n s and of the j u d g e ­
m e n t e m p l o y e d in a n y s u c c e s s f u l d e s i g n .
7 SUMMARY
7. 1 General remarks
This paper has been concerned with the dual
t o p i c s o f (i) t h e c h a r a c t e r i z a t i o n o f s o i l
p r o p e r t i e s a n d (ii) n u m e r i c a l p r o c e d u r e s f o r t h e
a n a l y s i s of p r o b l e m s in g e o t e c h n i c a l engineering.
The material covered has been selected from a
s u b s t a n t i a l b o d y of knowledge, and it in e v i t a b l y
r e p r e s e n t s to some e x t e n t the i nterests and
p r e j u d i c e s of the authors. Emphasis has been
p laced on what are beli e v e d to be the major
recent achievements, and suggestions have been
made of those topics that next me r i t i n v esti­
gation .
S o i l b e h a v i o u r is v e r y c o m p l e x a n d d e p e n d s o n
m a n y f a c tors r e s u l t i n g f r o m the f o r m a t i o n of the
soil and its g e o l o g i c a l history; it c a n n o t be
r e p r e s e n t e d a d e q u a t e l y by a few simple soil
properties. Moreover, the properties may vary
l ocally to a signif i c a n t d e gree w i t h i n the
ground. This complexity and variation present
s p e cial d i f f i c u l t i e s to the d e s i g n e r in g e o ­
technical engineering, compared with those faced
by designers from other engineering disciplines.
Because of the greater u ncer tainty involved, a
d i s t i n c t i v e p h i l o s o p h y and m e t h o d of d e s i g n have
evolved. Greater reliance has had to be placed
on c o r r e l a t i o n s b e t w e e n soil p r o p e r t i e s , a nd on
m a k i n g the m o s t of l i m i t e d and o f t e n u n r e l i a b l e
data by m e a n s of judgement, e x p e r i e n c e and
intelligent interpretation.
It has b e e n a r g u e d t h a t the r e l a t i o n s h i p s
b e t w e e n p r o p e r t i e s should be b a s e d on
(i) p h y s i c a l i n s i g h t , (ii) t h e o r e t i c a l u n d e r ­
s t a n d i n g a n d (ii i ) d i m e n s i o n l e s s f o r m s o f t h e
variables. Various examples have been discus­
sed and, in s o m e i n s t a n c e s , it h a s b e e n
suggested that the v a riables need redefinition
or need to be replaced.
7.2 Constitutive models
In S e c t i o n 2 a s t r o n g p l e a w a s m a d e f or s i m p l i ­
c i t y in the c o n s t r u c t i o n a n d u s e of c o n s t i t u t i v e
m ode l s for r e p r e s e n t i n g soil behaviour. I t is
c o n s i d e r e d that the s e arch for a co m p r e h e n s i v e
soil m o d e l w h i c h w o u l d be of u n i v e r s a l a p p l i ­
c a t i o n is n o t w a r r a n t e d ; such a model would
require many parameters and would be impractical
f o r u s e in realistic calculations.
A d i s t i n c t i o n has bee n m ade b e t w e e n the two
b a s i c d i f f e r e n t types of c a l c u l a t i o n - limit
analysis and deformation analysis. The
v a r i o u s soil p r o p e r t i e s n o r m a l l y u s e d in d e s i g n
have been examined and some obvious deficiencies
have b e e n p o i n t e d out. For example, the
d e f i n i t i o n s of u n d r a i n e d s h e a r s t r e n g t h a n d of
the angle of s h e a r i n g r e s i s t a n c e are i n a d equate
as they m ake no a l l o w a n c e for the infl u e n c e of
the intermediate prin c i p a l stress.
B e c a u s e t h e b e h a v i o u r o f a g r a n u l a r m a t e r i a l is
gove r n e d by the e f fective stresses, b ut the
sol u t i o n of any b o u n d a r y v a l u e p r o b l e m has to be
in t e r m s o f t h e t o t a l s t r e s s e s (to s a t i s f y e q u i ­
l i b r i u m ) i t is e s s e n t i a l t o h a v e b o t h a m o d e l
a n d a n u m e r i c a l p r o c e d u r e t h a t ta k e a c c o u n t of
th i s a n d a l l o w for the e x i s t e n c e of e x c e s s p o r e
pressures. Fo r c e r t a i n c l a s s e s of c a lculation,
this will require fully coupled consolidation.
In p a r t i c u l a r , in t he i n t e r p r e t a t i o n of s t r e s s -
str a i n d ata in terms of e l a sticity, a distinction
m u s t b e m a d e b e t w e e n the e l a s t i c p r o p e r t i e s in
terms of total s t resses and e f f e c t i v e stresses,
e . g . (E u , v u ) a n d {E 1 ,v '). In addition, the
u s e of s h e a r m o d u l u s is to be p r e f e r r e d to
Young's modulus.
D u r i n g t h e p a s t 30 y e a r s , s i n c e t h e e n d o f t h e
c l a s s i c a l p e r i o d of t h e o r e t i c a l Soil Mechanics,
t h e r e h a s b e e n s t e a d y p r o g r e s s in t h e d e v e l o p ­
m e n t of r e a l i s t i c m o d e l s of soil behaviour.
T h e r e h a s b e e n p a r a l l e l s u c c e s s in e x t e n d i n g t h e
a p p l i c a t i o n s e p a r a t e l y of the the o r i e s of e l a s ­
tici t y a nd of plasticity.
A h i e r a r c h y of e l a s t i c m o d e l s of i n c r e a s i n g
c o m p l e x i t y i s p r e s e n t e d i n F i g . 3. The two
s e p a r a t e c o m p l i c a t i o n s of a n i s o t r o p y a n d n o n ­
homogeneity have been discussed. In t h e c a s e
of the lat t e r the e f f e c t of a d e p t h - d e p e n d e n t
s h e a r m o d u l u s c a n be s i g n i f i c a n t in s e t t l e m e n t
computations, and some surprisingly elegant
closed form solutions are now available.
The c l a s s i c a l theory of p l a s t i c i t y has ha d to be
a d a p t e d f o r u s e in so i l m e c h a n i c s to a l l o w for
plastic volumetric strains, linked with consoli­
dation, w h i c h c o n t r o l the deg r e e of wo r k -
h a r d e n i n g (or w o r k - s o f t e n i n g ) t h a t o c c u r s . For
t h o s e m a t e r i a l s t h a t d i l a t e d u r i n g s h e a r (heavily
o v e r c o n s o l i d a t e d c l a y s or dense sands u n d e r low
p r e s s u r e s ) a n a d d i t i o n a l c o m p l i c a t i o n a r i s e s in
t h a t t h e f l o w r u l e is n o l o n g e r a s s o c i a t e d ;
this ma y lead to n u m e r i c a l an d e x p e r i m e n t a l
instabilities, and strictly invalidates the use
of the powerful bo u n d theorems.
To date, the relev a n c e of p l a s t i c i t y theo r y has
only been established for the special circum­
s t a nces of axial s y mmetry an d fixed p r i n c i p a l
a x e s th a t a p p l y in c o n v e n t i o n a l t r i a x i a l tests.
U r g e n t t o p i c s f o r r e s e a r c h a r e (a) t h e g e n e r a l i ­
sation of e l a s t i c - p l a s t i c m o d e l s to three-
d i m e n s i o n a l s t r e s s s y s t e m s , a n d (b) p r o p e r
a l l o w a n c e f or the b e h a v i o u r of s o i l s in s i t u ­
a t i o n s w h e r e the p r i n c i p a l a x e s of s t r e s s a n d of
s t r a i n - i n c r e m e n t are free to rotate.
7.3 Behaviour of clays
T h e c o n c e p t o f c r i t i c a l s t a t e s r e a c h e d (or
approached) at the e nd of m o n o t o n i c shear tests
g r e w o u t o f t h e f o r m a t i v e , e a r l y w o r k of
Casagrande and Taylor. T his has led to the
d e v e l o p m e n t of C r i t i c a l State Soil M e c h a n i c s
which provides a fundamental and rational frame­
work for under s t a n d i n g soil behaviour. This
f r a m e w o r k i n c o r p o r a t e s the e s s e n t i a l f e a t u r e s of
both consolidation and the Mohr-Coulomb
criterion.
A t a q u a l i t a t i v e level C S S M leads to theo r e t i c a l
e x p r e s s i o n s for l i n k i n g u n d r a i n e d b e h a v i o u r of
clays wit h o v e r c o n s o l i d a t i o n ratio and the angle
of friction; these closely match experimental
data of h igh q u a l i t y tests as c o n f i r m e d by
F i g s 13, 14 a n d 16.
At a q u a n t i t a t i v e level, several elastic- p l a s t i c
mo d e l s of soil b e h a v i o u r h a v e been d e v e l o p e d
b a s e d on the p r i n c i p l e s of CSSM. T h e f a m i l y of
C a m - C l a y m o d e l s can be used to p r e d i c t the
r e sults of t riaxial tests on i s o t r o p i c a l l y
r e c o n s t i t u t e d clay s , a n d t h e v a l u e s of the
required parameters can be obtained readily from
stand a r d tests. However, these models have yet
to be a d a p t e d e f f e c t i v e l y to i n c o r p o r a t e a y i e l d
s u r f a c e w h i c h is s y m m e t r i c a l a b o u t t h e o n e ­
d i m e n s i o n a l l i n e in s t r e s s s p a c e , a s is n o w w e l l
e s t a b l i s h e d f o r u n d i s t u r b e d c l a y s (see for
e x a m p l e F i g .26).
T h e s e m o d e l s are a lso d e f i c i e n t in overestimating
drained strength for overconsolidated clays. For
p r o b l e m s of limit ana l y s i s the H v o r s l e v failure
c r i t e r i o n is r e c o m m e n d e d , b e c a u s e it p r o v i d e s a
r a t i o n a l w a y o f r e l a t i n g c' t o w a t e r c o n t e n t (or
e q u i v a l e n t pressure) an d e x p o s e s the d a n g e r of
a s s u m i n g t h a t c' c a n b e t a k e n a s c o n s t a n t i n
stability analyses.
The use of non-linear deformation analyses
r e q u i r e s m e a s u r e m e n t s o r e s t i m a t e s o f t h e in
situ e f f e c t i v e stresses, so that the initial
stress state of an e l e m e n t can be r e l a t e d to the
yield envelope and/or the failure envelope.
A lth o u g h knowledge of the preconsolidation
p r e s s u r e (and h e n c e OCR) c a n be u s e d to e s t i m a t e
K 0 (and h e n c e a ^ 0 ) f or p r i m a r y u n l o a d i n g , f u r t h e r
w o r k n e e d s to be d o n e on the r e l a t i o n s h i p between
OCR and K Q for reloading.
T h e r e c o g n i t i o n o f y i e l d i m p l i e s t h a t c a r e is
n e e d e d in d e r i v i n g e l a s t i c m o d u l i f r o m s t r e s s -
s t r a i n c u r v e s , a n d e x p l a i n s in p a r t the a p p a r e n t
i n c o n s i s t e n c i e s in p u b l i s h e d d a t a a n d t h e i n a d v i s ­
a b i l i t y o f u s i n g p a r a m e t e r s s u c h a s E 50 o r G 5 0 •
49
The p r i mary c o m p o n e n t of t i m e - d e p e n d e n t
b e h a v i o u r of c l a y s - t h a t d u e to c o n s o l i d a t i o n -
is w e l l u n d e r s t o o d . The secondary component,
including creep, secondary consolidation and
viscous effects, needs to be fully integrated
with plasticity models. The most likely way
would seem to express the apparent p r e c o n s o l i ­
dati o n pr e s s u r e as a fun c t i o n of time an d strain
rate.
7 .4 B e haviour of sands
The p a t t e r n of b e h a v i o u r of c o h e s i o n l e s s g r a n u ­
l a r m a t e r i a l s is v e r y s i m i l a r t o t h a t o f c l a y s ,
a l t h o u g h there are d i f f e r e n c e s of degree.
Except for situations where the confining
s t r e s s e s a r e v e r y h i g h , o r t h e s a n d is u n u s u a l l y
loose, the c o n s o l i d a t i o n c h a r a c t e r i s t i c s are
much less important.
T h e e l a s t i c b e h a v i o u r o f s a n d s is w e l l u n d e r ­
stood (although a reconciliation between
Hertzian contact theory and conservative elas­
ticity has not been achieved). Both yield
e nve l o p e s and flow rules are a d e q u a t e l y modelled
b u t a simple r e p r e s e n t a t i o n of the p l a stic
h a r d e n i n g o f s a n d s is n e e d e d . While there are
a few acc u r a t e m o d e l s of sand b e h a viour, none
is b a s e d o n s u f f i c i e n t l y f e w p a r a m e t e r s t o b e
of e v e r y d a y use b y p r a c t i s i n g e n g i n e e r s .
7.5 Repeated loading
The i m p o r t a n t topic of r e p e a t e d and cyclic
lo ading of b oth clays and sands needs c o n s i d e r ­
able further investigation. Firstly, the
e x p e r i m e n t a l b a s i s o f t h e r e s p o n s e is n o t c l e a r ;
the data f rom d i f f e r e n t s o u rces an d d i f f e r e n t
t e s t s a r e o f t e n c o n f l i c t i n g , d u e it is b e l i e v e d
to t h e n o n - u n i f o r m i t i e s t h a t d e v e l o p w i t h single
e le m e n t s under test.
S e c o n d l y , t h e r e is a r e q u i r e m e n t f o r c o n s t i t u ­
tive m o d e l s of r e p e a t e d loading w h i c h p r o v i d e
some insight into the underlying m e c h anisms and
are not merely ba sed on empirical correlations.
T h i r d l y , t h e r e is a m a j o r c h a l l e n c e o f d e v i s i n g
m e t h o d s of ana l y s i s w h i c h are c a p a b l e of s i m u ­
lating a very large number of cycles without
r e s o r t i n g either to e m p i r i c i s m or to an a t t e m p t
to m o d e l e v e r y c y c l e on an i n d i v i d u a l basis.
7 .6 Numerical techniques
T h e o u t s t a n d i n g f e a t u r e o f t h e d e v e l o p m e n t in
te c h n i q u e s of n u m e r i c a l a n a l y s i s has b een the
finite e l e m e n t m e t h o d and its a l m o s t u n i v e r s a l
acceptance for the solution of complex geo-
technical problems. It is u n f o r t u n a t e t h a t the
p o w e r a n d v e r s a t i l i t y of the m e t h o d h a s led to
its o c c a sional misuse. Before embarking on a
major computation, an engineer should consider
c a r e f u l l y the l i k e l y a c c u r a c y a n d r e l e v a n c e of
the results.
A l t e r n a t i v e m e t h o d s of n u m e r i c a l a n a l y s i s should
not be neglected because, although they may not
ha v e such g e n e r a l a p p l i c a t i o n as the finite
element method, they may be more accurate and
efficient. A n e x a m p l e is t h e u s e o f s l i p l i n e
fields for the a n a lysis of p r o b l e m s of bea r i n g
capacity.
The use of simplified, a p p r o x i m a t e c a l c u l a t i o n s
should not be ignored. Engineers can make good
use of t hem to aid p h y s i c a l u n d e r s t a n d i n g and
50
identify the important aspects of a problem.
O f t e n an initial a n s w e r - e v e n only ac c u r a t e to
an or d e r of m a g n i t u d e - can i ndicate w h e t h e r or
n o t a m o r e r e f i n e d c a l c u l a t i o n is r e q u i r e d . For
instance, the m e t h o d of slices r e m a i n s an i m p o r ­
t a n t to o l in a s s e s s i n g t he s t a b i l i t y of a s l o p e
a l t h o u g h it m a k e s no u s e of s o p h i s t i c a t e d stress-
strain models or numerical techniques.
A m a j o r c h a l l e n g e f o r n u m e r i c a l a n a l y s t s is to
r eproduce the non-hom o g e n e i t i e s , d i s c o n t i n u i t i e s
and zones of rupture or intense shearing that
o c c u r i n s i n g l e e l e m e n t t e s t s o n s o i l s , a n d in
p r a c t i c e in the g r o u n d . Apart from the diffi­
c u l t i e s of o b t a i n i n g acc u r a t e data, p a r t i c u l a r l y
a f t e r failure has b e e n initiated, for the
c r e a t i o n of a r e l e v a n t s t r a i n - s o f t e n i n g model,
t h e u s e o f s u c h a m o d e l is l i k e l y t o l e a d to
numerical instabilities. B e c a u s e t h e r e is n o
g u a r a n t e e of u n i q u e n e s s of solution, the c o m p u ­
t a t i o n m a y c o n v e r g e o n a s o l u t i o n w h i c h is
c o r r e c t in the sense that it satis f i e s all the
r e q u i r e m e n t s of equili b r i u m , c o m p a t i b i l i t y and
s t r e s s - s t r a i n laws, bu t w h i c h ma y no t be the
s o l u t i o n e x p e r i e n c e d by the actual soil. The
use of special e l e m e n t s to si m u l a t e the shear
zones at p r e sent requires foreknowledge of where
they are g o i n g to occur.
7.7 Engineering applications
T h e n a t u r e a n d i m p o r t a n c e of a p r o j e c t in g e o -
technical engineering will dictate the scope and
type of the site i n v e s t i g a t i o n and soil testing,
the e x t e n t and c o m p l e x i t y of the analyses, and
the choi c e of f a c t o r s of safety or load factors
made by the designer. T h e r e is n o s i n g l e
prescription for design and analysis that will
suit all projects.
In S e c t i o n 6 , some of these p o i n t s w e r e i l l u s ­
trated by c o n s i d e r i n g e x a m p l e p r o b l e m s of an
embankment and an excavation co n s t r u c t e d at a
site of Bost o n blue clay. T h e p r o p e r t i e s of
the ground: undrained shear strength, over­
c o n s o l i d a t i o n r a t i o , in s i t u s t r e s s e s a n d s h e a r
stiffness, were shown to form a co n s i s t e n t set
of data by means of correlations derived from
t h e m o d e l s f o r t h e b e h a v i o u r o f c l a y s e t o u t in
S e c t i o n 3.
The im p o r t a n c e of c o n s i d e r i n g for a typical
e l e m e n t in the g r o u n d the e f f e c t i v e and total
s t r e s s p a t h s it w i l l e x p e r i e n c e w a s s e e n in
F i g s 47 a n d 48. Th e s e p a t h s n eed to be examined
c r i t i c a l l y in r e l a t i o n t o t h e r e l e v a n t y i e l d
envelope, bec a u s e they should influence the
c h o i c e of soil m o d e l , th e c h o i c e of a n a l y s i s an d
the assessment of the risk of u n s a t i sfactory
performance.
Th e i m p o r t a n t d e c i s i o n facing a d e s i g n e r as to
wh e ther to use and wh a t value to assign to a
single factor of safety, p a r t i a l factors of
s a f e t y o r l o a d f a c t o r s i s i n f l u e n c e d b y (i) t h e
m e t h o d o f a s s e s s m e n t o f s o i l p r o p e r t i e s , (ii) t h e
m e t h o d o f a n a l y s i s , a n d (iii) t h e c o n s e q u e n c e s
of failure. Risk analysis and probability
theory allow a rational discipline to be applied
to these influences.
Finally, the n e e d for a d o p t i n g as simple an
a p p r o a c h as p o s s i b l e is e m p h a s i s e d . This covers
all a s p e c t s of the desi g n process, w i t h the
c a v e a t that the c o n s e q u e n c e s and l i m i t a t i o n s of
such an approach mu s t be fully recognised.
REFERENCES C a l l a d i n e , C.R. (1963). The y i e l d i n g of clay:
Correspondence. G e o t e c h n i q u e (1 3), 250-255.
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