Fundamentals of Soil Behavior JK Mitchell Amp K Soga PDF

Fundamentals of
Soil Behavior
Third Edition
James K. Mitchell
Kenichi Soga
JOHN WILEY & SONS, INC.

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Library of Congress Cataloging-in-Publication Data:

Mitchell, James Kenneth, 1930–
Fundamentals of soil behavior / James K. Mitchell, Kenichi
Soga.—3rd ed.
p. cm.
ISBN-13: 978-0-471-46302-7 (cloth : alk. paper)
ISBN-10: 0-471-46302-7 (cloth : alk. paper)
1. Soil mechanics. I. Soga, Kenichi. II. Title.
TA710.M577 2005
624.15136—dc22
2004025690
Printed in the United States of America

10 9 8 7 6 5 4 3 2 1
CONTENTS
Preface xi
CHAPTER 1 INTRODUCTION 1
1.1 Soil Behavior in Civil and Environmental Engineering 1
1.2 Scope and Organization 3
1.3 Getting Started 3
CHAPTER 2 SOIL FORMATION 5

2.1 Introduction 5
2.2 The Earth’s Crust 5
2.3 Geologic Cycle and Geological Time 6
2.4 Rock and Mineral Stability 7
2.5 Weathering 8
2.6 Origin of Clay Minerals and Clay Genesis 15
2.7 Soil Profiles and Their Development 16
2.8 Sediment Erosion, Transport, and Deposition 18
2.9 Postdepositional Changes in Sediments 25
2.10 Concluding Comments 32
Questions and Problems 33
CHAPTER 3 SOIL MINERALOGY 35

3.1 Importance of Soil Mineralogy in Geotechnical
Engineering 35
3.2 Atomic Structure 38
3.3 Interatomic Bonding 38
3.4 Secondary Bonds 39
3.5 Crystals and Their Properties 40
3.6 Crystal Notation 42
3.7 Factors Controlling Crystal Structures 44
3.8 Silicate Crystals 45
3.9 Surfaces 45
3.10 Gravel, Sand, and Silt Particles 48
3.11 Soil Minerals and Materials Formed by Biogenic and
Geochemical Processes 49
3.12 Summary of Nonclay Mineral Characteristics 49
3.13 Structural Units of the Layer Silicates 49
3.14 Synthesis Pattern and Classification of the Clay Minerals 52
3.15 Intersheet and Interlayer Bonding in the Clay Minerals 55
3.16 The 1⬊1 Minerals 56
3.17 Smectite Minerals 59
3.18 Micalike Clay Minerals 62
3.19 Other Clay Minerals 64
v
vi CONTENTS
3.20 Summary of Clay Mineral Characteristics 65

3.21 Determination of Soil Composition 65
3.22 X-ray Diffraction Analysis 70
3.23 Other Methods for Compositional Analysis 74
3.24 Quantitative Estimation of Soil Components 79
CHAPTER 4 SOIL COMPOSITION AND ENGINEERING PROPERTIES 83

4.1 Introduction 83
4.2 Approaches to the Study of Composition and Property
Interrelationships 85
4.3 Engineering Properties of Granular Soils 85
4.4 Dominating Influence of the Clay Phase 94
4.5 Atterberg Limits 95
4.6 Activity 97
4.7 Influences of Exchangeable Cations and pH 97
4.8 Engineering Properties of Clay Minerals 98
4.9 Effects of Organic Matter 104
CHAPTER 5 SOIL FABRIC AND ITS MEASUREMENT 109

5.1 Introduction 109
5.2 Definitions of Fabrics and Fabric Elements 110
5.3 Single-Grain Fabrics 112
5.4 Contact Force Characterization Using Photoelasticity 119
5.5 Multigrain Fabrics 121
5.6 Voids and Their Distribution 122
5.7 Sample Acquisition and Preparation for Fabric Analysis 123
5.8 Methods for Fabric Study 127
5.9 Pore Size Distribution Analysis 135
5.10 Indirect Methods for Fabric Characterization 137
CHAPTER 6 SOIL–WATER–CHEMICAL INTERACTIONS 143

6.2 Nature of Ice and Water 144
6.3 Influence of Dissolved Ions on Water 145
6.4 Mechanisms of Soil–Water Interaction 146
6.5 Structure and Properties of Adsorbed Water 146
6.6 Clay–Water–Electrolyte System 153
6.7 Ion Distributions in Clay–Water Systems 153
6.8 Elements of Double-Layer Theory 154
6.9 Influences of System Variables on the Double Layer 157
6.10 Limitations of the Gouy–Chapman Diffuse
Double Layer Model 159
6.11 Energy and Force of Repulsion 163
6.12 Long-Range Attraction 164
6.13 Net Energy of Interaction 164
6.14 Cation Exchange—General Considerations 165
6.15 Theories for Ion Exchange 167
6.16 Soil–Inorganic Chemical Interactions 167
6.17 Clay–Organic Chemical Interactions 168
CONTENTS vii
CHAPTER 7 EFFECTIVE, INTERGRANULAR, AND TOTAL STRESS 173

7.2 Principle of Effective Stress 173
7.3 Force Distributions in a Particulate System 174
7.4 Interparticle Forces 174
7.5 Intergranular Pressure 178
7.6 Water Pressures and Potentials 180
7.7 Water Pressure Equilibrium in Soil 181
7.8 Measurement of Pore Pressures in Soils 183
7.9 Effective and Intergranular Pressure 184
7.10 Assessment of Terzaghi’s Equation 185
7.11 Water–Air Interactions in Soils 188
7.12 Effective Stress in Unsaturated Soils 190
CHAPTER 8 SOIL DEPOSITS—THEIR FORMATION, STRUCTURE,

GEOTECHNICAL PROPERTIES, AND STABILITY 195
8.2 Structure Development 195
8.3 Residual Soils 200
8.4 Surficial Residual Soils and Taxonomy 205
8.5 Terrestrial Deposits 206
8.6 Mixed Continental and Marine Deposits 209
8.7 Marine Deposits 209
8.8 Chemical and Biological Deposits 212
8.9 Fabric, Structure, and Property Relationships: General
Considerations 213
8.10 Soil Fabric and Property Anisotropy 217
8.11 Sand Fabric and Liquefaction 223
8.12 Sensitivity and Its Causes 226
8.13 Property Interrelationships in Sensitive Clays 235
8.14 Dispersive Clays 239
8.15 Slaking 243
8.16 Collapsing Soils and Swelling Soils 243
8.17 Hard Soils and Soft Rocks 245
CHAPTER 9 CONDUCTION PHENOMENA 251

9.2 Flow Laws and Interrelationships 251
9.3 Hydraulic Conductivity 252
9.4 Flows Through Unsaturated Soils 262
9.5 Thermal Conductivity 265
9.6 Electrical Conductivity 267
9.7 Diffusion 272
9.8 Typical Ranges of Flow Parameters 274
9.9 Simultaneous Flows of Water, Current, and Salts
Through Soil-Coupled Flows 274
9.10 Quantification of Coupled Flows 277
viii CONTENTS
9.11 Simultaneous Flows of Water, Current, and Chemicals 279

9.12 Electrokinetic Phenomena 282
9.13 Transport Coefficients and the Importance of Coupled
Flows 284
9.14 Compatibility—Effects of Chemical Flows on Properties 288
9.15 Electroosmosis 291
9.16 Electroosmosis Efficiency 294
9.17 Consolidation by Electroosmosis 298
9.18 Electrochemical Effects 303
9.19 Electrokinetic Remediation 305
9.20 Self-Potentials 305
9.21 Thermally Driven Moisture Flows 307
9.22 Ground Freezing 310
CHAPTER 10 VOLUME CHANGE BEHAVIOR 325

10.2 General Volume Change Behavior of Soils 325
10.3 Preconsolidation Pressure 327
10.4 Factors Controlling Resistance to Volume Change 330
10.5 Physical Interactions in Volume Change 331
10.6 Fabric, Structure, and Volume Change 335
10.7 Osmotic Pressure and Water Adsorption Influences on
Compression and Swelling 339
10.8 Influences of Mineralogical Detail in Soil Expansion 345
10.9 Consolidation 348
10.10 Secondary Compression 353
10.11 In Situ Horizontal Stress (K0) 355
10.12 Temperature–Volume Relationships 359
CHAPTER 11 STRENGTH AND DEFORMATION BEHAVIOR 369

11.2 General Characteristics of Strength and Deformation 370
11.3 Fabric, Structure, and Strength 379
11.4 Friction Between Solid Surfaces 383
11.5 Frictional Behavior of Minerals 389
11.6 Physical Interactions Among Particles 393
11.7 Critical State: A Useful Reference Condition 400
11.8 Strength Parameters for Sands 404
11.9 Strength Parameters for Clays 411
11.10 Behavior After Peak and Strain Localization 415
11.11 Residual State and Residual Strength 417
11.12 Intermediate Stress Effects and Anisotropy 422
11.13 Resistance to Cyclic Loading and Liquefaction 425
11.14 Strength of Mixed Soils 432
11.15 Cohesion 436
11.16 Fracturing of Soils 438
11.17 Deformation Characteristics 444
11.18 Linear Elastic Stiffness 447
11.19 Transition from Elastic to Plastic States 452
11.20 Plastic Deformation 456
11.21 Temperature Effects 460
CONTENTS ix
CHAPTER 12 TIME EFFECTS ON STRENGTH AND DEFORMATION 465

12.2 General Characteristics 466
12.3 Time-Dependent Deformation–Structure Interaction 470
12.4 Soil Deformation as a Rate Process 478
12.5 Bonding, Effective Stresses, and Strength 481
12.6 Shearing Resistance as a Rate Process 488
12.7 Creep and Stress Relaxation 489
12.8 Rate Effects on Stress–Strain Relationships 497
12.9 Modeling of Stress–Strain–Time Behavior 503
12.10 Creep Rupture 508
12.11 Sand Aging Effects and Their Significance 511
12.12 Mechanical Processes of Aging 516
12.13 Chemical Processes of Aging 517
List of Symbols 523
References 531
Index 559
PREFACE
According to the National Research Council (1989, 2005), sound geoengineering is key in
meeting seven critical societal needs. They are waste management and environmental protec-
tion, infrastructure development and rehabilitation, construction efficiency and innovation, se-
curity, resource discovery and recovery, mitigation of natural hazards, and the exploration and
development of new frontiers. Solution of problems and satisfactory completion of projects in
each of these areas cannot be accomplished without a solid understanding of the composition,
structure, and behavior of soils because virtually all of humankind’s structures and facilities
are built on, in, or with the Earth. Thus, the purpose of this book remains the same as for the
prior two editions; namely, the development of an understanding of the factors determining
and controlling the engineering properties and behavior of soils under different conditions,
with an emphasis on why they are what they are. We believe that this understanding and its
prudent application can be a valuable asset in meeting these societal needs.
In the 12 years since publication of the second edition, environmental problems requiring
geotechnical inputs have remained very important; dealing with natural hazards and disasters
such as earthquakes, floods, and landslides has demanded increased attention; risk assessment
and mitigation applied to existing structures and earthworks has become a major challenge;
and the roles of soil stabilization, ground improvement, and soil as a construction material
have expanded enormously. These developments, as well as the introduction of new compu-
tational, geophysical, and sensing methods, new emphasis on micromechanical analysis and
behavior, and, perhaps regrettably, the reduced emphasis on laboratory measurement of soil
properties have required looking at soil behavior in new ways. More and more it is becoming
appreciated that geochemical and microbiological phenomena and processes play an essential
role in many types of geotechnical problems. Some of these considerations have been incor-
porated into this new edition.
Although the format of the book has remained much the same as in the first two editions,
the contents have been reviewed and revised in detail, with deletion of some material no
longer considered to be essential and introduction of substantial new material to incorporate
important recent developments. We have reorganized the material among chapters to improve
the flow of topics and logic of presentation. Time effects on soil strength and deformation
behavior have been separated into a new Chapter 12. Additional soil property correlations
have been incorporated. The addition of sets of questions and problems at the end of each
chapter provide a feature not present in the first two editions. Many of these questions and
problems are open ended and without single, clearly defined answers, but they are designed
to stimulate broad thinking and the realization that judgment and incorporation of concepts
and methods from a range of disciplines is often needed to provide satisfactory solutions to
many geoengineering problems.
We are indebted to innumerable students and professional colleagues whose inquiring minds
and perceptive insights have helped us clarify issues and find new and better explanations for
observed processes and behavior. J. Carlos Santamarina and David Smith provided helpful
suggestions on the overall content and organization. Charles J. Shackelford reviewed and
provided valuable suggestions for the sections of Chapter 9 on chemical osmosis and advective
and diffusive chemical flows. Other important contributions to this third edition in the form
xi
xii PREFACE
of valuable comments, photos, resources, and proof checking were made by Hendrikus Al-
lersma, Khalid Alshibli, John Atkinson, Bob Behringer, Malcolm Bolton, Lis Bowman, Jim
Buckman, Pierre Delage, Antonio Gens, Henry Ji, Assaf Klar, Hideo Komine, Jean-Marie
Konrad, Ning Liu, Yukio Nakata, Albert Ng, Masanobu Oda, Kenneth Sutherland, Colin
Thornton, Yoichi Watabe, Siam Yimsiri, and Guoping Zhang.
KS thanks his wife, Mikiko, for her encouragement and special support.
We dedicate this book to the memory of Virginia (‘‘Bunny’’) Mitchell, whose continuing
love, support, encouragement, and patience over more than 50 years, made this and the prior
two editions possible.
JAMES K. MITCHELL
University Distinguished Professor, Emeritus
Virginia Tech, Blacksburg, Virginia
KENICHI SOGA
Reader in Geomechanics
University of Cambridge, Cambridge, England
March 2005
References
National Research Council. 1989. Geotechnology—Its Impact on Economic Growth, the En-
vironment, and National Security. National Academy Press, Washington, DC.
National Research Council. 2005. Geological and Geotechnical Engineering in the New Mil-
lennium, National Academy Press, Washington, DC.
CHAPTER 1
Introduction
1.1 SOIL BEHAVIOR IN CIVIL AND mechanics, and structural analysis and design, wherein
ENVIRONMENTAL ENGINEERING problems are usually quite clear-cut and well defined,
they are suddenly confronted with situations where this
Civil and environmental engineering includes the con- is no longer the case. A first course in soil mechanics
ception, analysis, design, construction, operation, and may not, at least for the first half to two-thirds of the
maintenance of a diversity of structures, facilities, and course, be mechanics at all. The reason for this is sim-
systems. All are built on, in, or with soil or rock. The ple: Analyses and designs are useless if the boundary
properties and behavior of these materials have major conditions and material properties are improperly de-
influences on the success, economy, and safety of the fined.
work. Geoengineers play a vital role in these projects Acquisition of the data needed for analysis and de-
and are also concerned with virtually all aspects of sign on, in, and with soils and rocks can be far more
environmental control, including water resources, wa- difficult and uncertain than when dealing with other
ter pollution control, waste disposal and containment, engineering materials and aboveground construction.
and the mitigation of such natural disasters as floods, There are at least three important reasons for this.
earthquakes, landslides, and volcanoes. Soils and their
interactions with the environment are major consider- 1. No Clearly Defined Boundaries. An embank-
ations. Furthermore, detailed understanding of the be- ment resting on a soil foundation is shown in Fig.
havior of earth materials is essential for mining, for 1.1a, and a cantilever beam fixed at one end is
energy resources development and recovery, and for shown in Fig. 1.1b. The free body of the canti-
scientific studies in virtually all the geosciences. lever beam, Fig. 1.1c, is readily analyzed for re-
To deal properly with the earth materials associated actions, shears, moments, and deflections using
with any problem and project requires knowledge, standard methods of structural analysis. However,
understanding, and appreciation of the importance what are the boundary conditions, and what is the
of geology, materials science, materials testing, and free body for the embankment foundation?
mechanics. Geotechnical engineering is concerned 2. Variable and Unknown Material Properties.
with all of these. Environmental concerns—especially The properties of most construction materials
those related to groundwater, the safe disposal and con- (e.g., steel, plastics, concrete, aluminum, and
tainment of wastes, and the cleanup of contaminated wood) are ordinarily known within rather narrow
sites—has spawned yet another area of specialization; limits and usually can be specified to meet certain
namely, environmental geotechnics, wherein chemistry needs. Although this may be the case in construc-
and biological science are important. Geochemical and tion using earth and rock fills, at least part of
microbiological phenomena impact the composition, every geotechnical problem involves interactions
properties, and stability of soils and rocks to degrees with in situ soil and rock. No matter how exten-
only recently beginning to be appreciated. sive (and expensive) any boring and sampling
Students in civil engineering are often quite sur- program, only a very small percentage of the sub-
prised, and sometimes quite confused, by their first surface material is available for observation and
course in engineering with soils. After studying statics, testing. In most cases, more than one stratum is
1
2 1 INTRODUCTION
is not the case; in fact, it is for these very reasons that

geotechnical engineering offers such a great challenge
for imaginative and creative work.
Modern theories of soil mechanics, the capabilities
of modern computers and numerical analysis methods,
and our improved knowledge of soil physics and chem-
istry make possible the solution of a great diversity of
static and dynamic problems of stress deformation and
stability, the transient and steady-state flow of fluids
through the ground, and the long-term performance of
earth systems. Nonetheless, our ability to analyze and
compute often exceeds considerably our ability to un-
derstand, measure, and characterize a problem or
process. Thus, understanding and the ability to con-
ceptualize soil and rock behavior become all the more
important.
The objectives of this book are to provide a basis
for the understanding of the engineering properties and
behavior of soils and the factors controlling changes
with time and to indicate why this knowledge is im-
portant and how it is used in the solution of geotech-
nical and geoenvironmental problems.
Figure 1.1 The problem of boundary conditions in geo- It is easier to state what this book is not, rather than
technical problems: (a) embankment on soil foundation, (b)
what it is. It is not a book on soil or rock mechanics;
cantilever beam, and (c) free body diagram for analysis of
propped cantilever beam.
it is not a book on soil exploration or testing; it is not
a book that teaches analysis or design; and it is not a
book on geotechnical engineering practice. Excellent
books and references dealing with each of these im-
present, and conditions are nonhomogeneous and portant areas are available. It is a book on the com-
anisotropic. position, structure, and behavior of soils as engineering
3. Stress and Time-Dependent Material Proper- materials. It is intended for students, researchers, and
ties. Soils, and also some rocks, have mechan- practicing engineers who seek a more in-depth knowl-
ical properties that depend on both the stress edge of the nature and behavior of soils than is pro-
history and the present stress state. This is be- vided by classical and conventional treatments of soil
cause the volume change, stress–strain, and mechanics and geotechnical engineering.
strength properties depend on stress transmission Here are some examples of the types of questions
between particles and particle groups. These that are addressed in this book:
stresses are, for the most part, generated by body
forces and boundary stresses and not by internal
forces of cohesion, as is the case for many other
• What are soils composed of? Why?
materials. In addition, the properties of most soils
• How does geological history influence soil prop-
erties?
change with time after placement, exposure, and
loading. Because of these stress and time de- • How are engineering properties and behavior re-
lated to composition?
pendencies, any given geotechnical problem may
involve not just one or two but an almost infinite • What is clay?
number of different materials. • Why are clays plastic?
• What are friction and cohesion?
Add to the above three factors the facts that soil and • What is effective stress? Why is it important?
rock properties may be susceptible to influences from • Why do soils creep and exhibit stress relaxation?
changes in temperature, pressure, water availability, • Why do some soils swell while others do not?
and chemical and biological environment, and one • Why does stability failure sometimes occur at
might conclude that successful application of mechan- stresses less than the measured strength?
ics to earth materials is an almost hopeless proposition. • Why and how are soil properties changed by dis-
It has been amply demonstrated, of course, that such turbance?
GETTING STARTED 3
• How do changes in environmental conditions nature of clay particles, the types and concentrations
change properties? of chemicals in a soil can influence significantly its
• What are some practical consequences of the pro- behavior in a variety of ways. Soil water and the clay–
longed exposure of clay containment barriers to water–electrolyte system are then analyzed in Chapter
waste chemicals? 6. An analysis of interparticle forces and total and ef-
• What controls the rate of flow of water, heat, fective stresses, with a discussion of why they are im-
chemicals, and electricity through soils? portant, is given in Chapter 7.
• How are the different types of flows through soil The remaining chapters draw on the preceding de-
interrelated? velopments for explanations of phenomena and soil
• Why is the residual strength of a soil often much properties of interest in geotechnical and geoenviron-
less than its peak strength? mental engineering. The formation of soil deposits,
• How do soil properties change with time after dep- their resulting structures and relationships to geotech-
osition or densification and why? nical properties and stability are covered in Chapter 8.
• How do temperature changes influence the me- The next three chapters deal with those soil properties
chanical properties of soils? that are of primary importance to the solution of most
• What is soil liquefaction, and why is it important? geoengineering problems: the flows of fluids, chemi-
• What causes frost heave, and how can it be pre- cals, electricity, and heat and their consequences in
vented? Chapter 9; volume change behavior in Chapter 10; and
• What clay types are best suited for sealing waste deformation and strength and deformation behavior in
repositories? Chapter 11. Finally, Chapter 12 on time effects on
• What biological processes can occur in soils and strength and deformation recognizes that soils are not
why are they important in engineering problems? inert, static materials, but rather how a given soil re-
sponds under different rates of loading or at some time
Developing answers to questions such as these re- in the future may be quite different than how it re-
quires application of concepts from chemistry, geol- sponds today.
ogy, biology, materials science, and physics. Principles
from these disciplines are introduced as necessary to
develop background for the phenomena under study. It 1.3 GETTING STARTED
is assumed that the reader has a basic knowledge of
applied mechanics and soil mechanics, as well as a Find an article about a problem, a project, or issue that
general familiarity with the commonly used engineer- involves some aspect of geotechnical soil behavior as
ing properties of soils and their determination. an important component. The article can be from the
popular press, from a technical journal or magazine,
such as the Journal of Geotechnical and Geoenviron-
mental Engineering of the American Society of Civil
1.2 SCOPE AND ORGANIZATION Engineers, Géotechnique, The Canadian Geotechnical
Journal, Soils and Foundations, ENR, or elsewhere.
The topics covered in this book begin with consider-
ation of soil formation in Chapter 2 and soil mineral- 1. Read the article and prepare a one-page infor-
ogy and compositional analysis of soil in Chapter 3. mative abstract. (An informative abstract sum-
Relationships between soil composition and engineer- marizes the important ideas and conclusions. A
ing properties are developed in Chapter 4. Soil com- descriptive abstract, on the other hand, simply
position by itself is insufficient for quantification of states the article contents.)
soil properties for specific situations, because the soil 2. Summarize the important geotechnical issues that
fabric, that is, the arrangements of particles, particle are found in the article and write down what you
groups, and pores, may play an equally important role. believe you should know about to understand
This topic is covered in Chapter 5. them well enough to solve the problem, resolve
Water may make up more than half the volume of the issue, advise a client, and the like. In other
a soil mass, it is attracted to soil particles, and the words, what is in the article that you believe the
interactions between water and the soil surfaces influ- subject matter in this book should prepare you to
ence the behavior. In addition, owing to the colloidal deal with? Do not exceed two pages.
CHAPTER 2
Soil Formation
2.1 INTRODUCTION (acid) rocks predominate beneath the continents, and

basaltic (basic) rocks predominate beneath the oceans.
The variety of geomaterials encountered in engineering Because of these lithologic differences, the continental
problems is almost limitless, ranging from hard, dense, crust average density of 2.7 is slightly less than the
large pieces of rock, through gravel, sand, silt, and clay oceanic crust average density of 2.8. The elemental
to organic deposits of soft, compressible peat. All these compositions of the whole Earth and the crust are in-
materials may exist over a wide range of densities and dicated in Fig. 2.1. There are more than 100 elements,
water contents. A number of different soil types may but 90 percent of Earth consists of iron, oxygen, sili-
be present at any site, and the composition may vary con, and magnesium. Less iron is found in the crust
over intervals as small as a few millimeters. than in the core because its higher density causes it to
It is not surprising, therefore, that much of the sink. Silicon, aluminum, calcium, potassium, and so-
geoengineer’s effort is directed at the identification of dium are more abundant in the crust than in the core
soils and the evaluation of the appropriate properties because they are lighter elements. Oxygen is the only
for use in a particular analysis or design. Perhaps what anion that has an abundance of more than 1 percent
is surprising is that the application of the principles of by weight; however, it is very abundant by volume.
mechanics to a material as diverse as soil meets with Silicon, aluminum, magnesium, and oxygen are the
as much success as it does. most commonly observed elements in soils.
To understand and appreciate the characteristics of Within depths up to 2 km, the rocks are 75 percent
any soil deposit require an understanding of what the secondary (sedimentary and metamorphic) and 25 per-
material is and how it reached its present state. This cent igneous. From depths of 2 to 15 km, the rocks are
requires consideration of rock and soil weathering, the about 95 percent igneous and 5 percent secondary.
erosion and transportation of soil materials, deposi- Soils may extend from the ground surface to depths of
tional processes, and postdepositional changes in sed- several hundred meters. In many cases the distinction
iments. Some important aspects of these processes and between soil and rock is difficult, as the boundary be-
their effects are presented in this chapter and in Chap- tween soft rock and hard soil is not precisely defined.
ter 8. Each has been the subject of numerous books Earth materials that fall in this range are sometimes
and articles, and the amount of available information difficult to deal with in engineering and construction,
is enormous. Thus, it is possible only to summarize the as it is not always clear whether they should be treated
subject and to encourage consultation of the references as soils or rocks.
for more detail. A temperature gradient of about 1C per 30 m exists
between the bottom of Earth’s crust at 1200C and the
surface.1 The rate of cooling as molten rock magma
2.2 THE EARTH’S CRUST
The continental crust covers 29 percent of Earth’s sur- 1
In some localized areas, usually within regions of recent crustal
face. Seismic measurements indicate that the continen- movement (e.g., fault lines, volcanic zones) the gradient may exceed
20C per 100 m. Such regions are of interest both because of their
tal crust is about 30 to 40 km thick, which is 6 to 8 potential as geologic hazards and because of their possible value as
times thicker than the crust beneath the ocean. Granitic sources of geothermal energy.
5
6 2 SOIL FORMATION
Other <1% Other <1%

Sodium 2.1% Sulfur 1.9%
100% Potassium 2.3% Nickel 2.4%
Calcium 2.4% Calcium 1.1%
90% Magnesium 4%
Magnesium 13%
Iron 6%
80% Aluminum 8%
70%
Iron 35%
60% Silicon 28%
50%
Aluminum 1.1%
40%
Silicon 15%
30%
Oxygen 46%
20%
Oxygen 30%
10%
Figure 2.2 Geologic cycle.
0%
Earth's Crust Whole Earth
Figure 2.1 Elemental composition of the whole Earth and from some other area. Sediment formation pertains to
the crust (percent by weight) (data from Press and Siever, processes by which accumulated sediments are densi-
1994). fied, altered in composition, and converted into rock.
Crustal movement involves both gradual rising of
unloaded areas and slow subsidence of depositional ba-
moves from the interior of Earth toward the surface sins (epirogenic movements) and abrupt movements
has a significant influence on the characteristics of the (tectonic movements) such as those associated with
resulting rock. The more rapid the cooling, the smaller faulting and earthquakes. Crustal movements may also
are the crystals that form because of the reduced time result in the formation of new rock masses through
for atoms to attain minimum energy configurations. igneous or plutonic activity. The interrelationships of
Cooling may be so rapid in a volcanic eruption that no these processes are shown in Fig. 2.3.
crystalline structure develops before solidification, and More than one process acts simultaneously in na-
an amorphous material such as obsidian (volcanic ture. For example, both weathering and erosion take
glass) is formed. place at the surface during periods of uplift, or oro-
genic activity (mountain building), and deposition, sed-
iment formation, and regional subsidence are generally
contemporaneous. This accounts in part for the wide
2.3 GEOLOGIC CYCLE AND GEOLOGICAL
variety of topographic and soil conditions in any area.
TIME
The surface of Earth is acted on by four basic proc-
esses that proceed in a never-ending cycle, as indi-
cated in Fig. 2.2. Denudation includes all of those pro-
cesses that act to wear down land masses. These in-
clude landslides, debris flows, avalanche transport,
wind abrasion, and overland flows such as rivers and
streams. Weathering includes all of the destructive me-
chanical and chemical processes that break down
existing rock masses in situ. Erosion initiates the
transportation of weathering products by various
agents from one region to another—generally from
high areas to low. Weathering and erosion convert
rocks into sediment and form soil. Deposition involves
the accumulation of sediments transported previously Figure 2.3 Simplified version of the rock cycle.
ROCK AND MINERAL STABILITY 7
The stratigraphic timescale column shown in Fig. 2.4 ROCK AND MINERAL STABILITY
2.4 gives the sequence of rocks formed during geolog-
ical time. Rocks are grouped by age into eons, eras, Rocks are heterogeneous assemblages of smaller com-
periods, and epochs. Each time period of the column ponents. The smallest and chemically purest of these
is represented by its appropriate system of rocks ob- components are elements, which combine to form in-
served on Earth’s surface along with radioactive age organic compounds of fixed composition known as
dating. Among various periods, the Quaternary period minerals. Hence, rocks are composed of minerals or
(from 1.6 million years ago to the present) deserves aggregates of minerals. Rocks are sometimes glassy
special attention since the top few tens of meters of (volcanic glass, obsidian, e.g.), but usually consist of
Earth’s surface, which geotechnical engineers often minerals that crystallized together or in sequence
work in, were developed during this period. The Qua- (metamorphic and igneous rocks), or of aggregates
ternary period is subdivided into the Holocene (the of detrital components (most sedimentary rocks).
10,000 years after the last glacial period) and the Pleis- Sometimes, rocks are composed entirely of one type
tocene. The deposits during this period are controlled of mineral (say flint or rock salt), but generally they
mainly by the change in climate, as it was too short a contain many different minerals, and often the rock is
time for any major tectonic changes to occur in the a collection or aggregation of small particles that are
positions of land masses and seas. There were as many themselves pieces of rocks. Books on petrography may
as 20 glacial and interglacial periods during the Qua- list more than 1000 species of rock types. Fortunately,
ternary. At one time, ice sheets covered more than however, many of them fall into groups with similar
three times their present extent. Worldwide sea level engineering attributes, so that only about 40 rock
oscillations due to glacial and interglacial cycles affect names will suffice for most geotechnical engineering
soil formation (weathering, erosion, and sedimenta- purposes.
tion) as well as postdepositional changes such as con- Minerals have a definite chemical composition and
solidation and leaching. an ordered arrangement of components (a crystal lat-
tice); a few minerals are disordered and without defin-
able crystal structure (amorphous). Crystal size and
structure have an important influence on the resistance
of different rocks to weathering. Factors controlling the
Eon Era Period Epoch stability of different crystal structures are considered
in Chapter 3. The greatest electrochemical stability of
Holocene
Quaternary 0.01 a crystal is reached at its crystallization temperature.
Pleistocene
1.6 As temperature falls below the crystallization temper-
Pliocene
Neogene 5 ature, the structural stability decreases. For example,
Cenozoic Miocene
Tertiary
23 olivine crystallizes from igneous rock magma at high

Oligocene
35 temperature, and it is one of the most unstable igneous-
Paleogene Eocene
57 rock-forming minerals. On the other hand, quartz does
Paleocene
65 not assume its final crystal structure until the temper-
Cretaceous
146 ature drops below 573C. Because of its high stability,
Phanerozoic Mesozoic Jurassic
208 quartz is the most abundant nonclay mineral in soils,
Triassic although it comprises only about 12 percent of igneous
245
Permian rocks.
290
Pennsylvanian
323
As magma cools, minerals may form and remain, or
Mississippian
363
they may react progressively to form other minerals at
Paleozoic Devonian lower temperatures. Bowen’s reaction series, shown in
409
Silurian Fig. 2.5, indicates the crystallization sequence of
439
Ordovician the silicate minerals as temperature decreases from
510
Cambrian 1200C. This reaction series closely parallels various
570
Proterozoic
weathering stability series as shown later in Table 2.2.
2500 Precambrian For example, in an intermediate granitic rock, horn-
Archean blende and plagioclase feldspar would be expected to
chemically weather before orthoclase feldspar, which
Figure 2.4 Stratigraphic timescale column. Numbers repre- would chemically weather before muscovite mica, and
sent millions of years before the present. so on.
8 2 SOIL FORMATION
Physical Processes of Weathering

Physical weathering processes cause in situ breakdown
without chemical change. Five processes are impor-
tant:
1. Unloading Cracks and joints may form to

depths of hundreds of meters below the ground
surface when the effective confining pressure is
reduced. Reduction in confining pressure may re-
sult from uplift, erosion, or changes in fluid pres-
Figure 2.5 Bowen’s reaction series of mineral stability. Each sure. Exfoliation is the spalling or peeling off of
mineral is more stable than the one above it on the list.
surface layers of rocks. Exfoliation may occur
during rock excavation and tunneling. The term
popping rock is used to describe the sudden spall-
ing of rock slabs as a result of stress release.
Mineralogy textbooks commonly list determinative
2. Thermal Expansion and Contraction The ef-
properties for about 200 minerals. The list of the most
fects of thermal expansion and contraction range
common rock- or soil-forming minerals is rather short,
from creation of planes of weakness from strains
however. Common minerals found in soils are listed in
already present in a rock to complete fracture.
Table 2.1. The top six silicates originate from rocks by
Repeated frost and insolation (daytime heating)
physical weathering processes, whereas the other min-
may be important in some desert areas. Fires can
erals are formed by chemical weathering processes.
cause very rapid temperature increase and rock
Further description of important minerals found in
weathering.
soils is given in Chapter 3.
3. Crystal Growth, Including Frost Action The
crystallization pressures of salts and the pressure
associated with the freezing of water in saturated
2.5 WEATHERING rocks may cause significant disintegration. Many
talus deposits have been formed by frost action.
Weathering of rocks and soils is a destructive process However, the role of freeze–thaw in physical
whereby debris of various sizes, compositions, and weathering has been debated (Birkeland, 1984).
shapes is formed.2 The new compositions are usually The rapid rates and high amplitude of tempera-
more stable than the old and involve a decrease in the ture change required to produce necessary pres-
internal energy of the materials. As erosion moves the sure have not been confirmed in the field. Instead,
ground surface downward, pressures and temperatures some researchers favor the process in which thin
in the rocks are decreased, so they then possess an films of adsorbed water is the agent that promotes
internal energy above that for equilibrium in the new weathering. These films can be adsorbed so
environment. This, in conjunction with exposure to the tightly that they cannot freeze. However, the wa-
atmosphere, water, and various chemical and biological ter is attracted to a freezing front and pressures
agents, results in processes of alteration. exerted during the migration of these films can
A variety of physical, chemical, and biological proc- break the rock apart.
esses act to break down rock masses. Physical proc- 4. Colloid Plucking The shrinkage of colloidal
esses reduce particle size, increase surface area, and materials on drying can exert a tensile stress on
increase bulk volume. Chemical and biological proc- surfaces with which they are in contact.3
esses can cause complete changes in both physical and 5. Organic Activity The growth of plant roots in
chemical properties. existing fractures in rocks is an important weath-
ering process. In addition, the activities of
worms, rodents, and humans may cause consid-
2
erable mixing in the zone of weathering.
A general definition of weathering (Reiche, 1945; Keller, 1957) is:
the response of materials within the lithosphere to conditions at or
near its contact with the atmosphere, the hydrosphere, and perhaps
more importantly, the biosphere. The biosphere is the entire space
3
occupied by living organisms; the hydrosphere is the aqueous enve- To appreciate this phenomenon, smear a film of highly plastic clay
lope of Earth; and the lithosphere is the solid part of Earth. paste on the back of your hand and let it dry.
WEATHERING 9
Table 2.1 Common Soil Minerals
Name Chemical Formula Characteristics

Quartz SiO2 Abundant in sand and silt
Feldspar (Na,K)AlO2[SiO2]3 Abundant in soil that is not leached extensively
CaAl2O4[SiO2]2
Mica K2Al2O5[Si2O5]3Al4(OH)4 Source of K in most temperate-zone soils
K2Al2O5[Si2O5]3(Mg,Fe)6(OH)4
Amphibole (Ca,Na,K)2,3(Mg,Fe,Al)5(OH)2[(Si,Al)4O11]2 Easily weathered to clay minerals and oxides
Pyroxene (Ca,Mg,Fe,Ti,Al)(Si.Al)O3 Easily weathered
Olivine (Mg,Fe)2SiO4 Easily weathered
Epidote Ca2(Al,Fe)3(OH)Si3O12 Highly resistant to chemical weathering; used
Tourmaline NaMg3Al6B3Si6O27(OH,F)4 as ‘‘index mineral’’ in pedologic studies
Zircon ZrSiO4
Rutile TiO2
Kaolinite Si4Al4O10(OH)8
Smectite, Mx(Si,Al)8(Al,Fe,Mg)4O20(OH)4, Abundant in clays as products of weathering;
vermiculite, where M ⫽ interlayer cation source of exchangeable cations in soils
chlorite
Allophane Si3Al4O12 nH2O Abundant in soils derived from volcanic ash
deposits
Imogolite Si2Al4O10 5H2O
Gibbsite Al(OH)3 Abundant in leached soils
Goethite FeO(OH) Most abundant Fe oxide
Hematite Fe2O3 Abundant in warm region
Ferrihydrate Fe10O15 9H2O Abundant in organic horizons
Birnessite (Na,Ca)Mn7O14 2.8H2O Most abundant Mn oxide
Calcite CaCO3 Most abundant carbonate
Gypsum CaSO4 2H2O Abundant in arid regions
Adapted from Sposito (1989).
Physical weathering processes are generally the the ion enables it to enter the lattice of minerals
forerunners of chemical weathering. Their main con- and replace existing cations. For feldspar,
tributions are to loosen rock masses, reduce particle Orthoclase feldspar:
sizes, and increase the available surface area for chem-
ical attack. K silicate ⫹ H⫹OH⫺
→ H silicate ⫹ K⫹OH⫺ (alkaline)
Chemical Processes of Weathering
Chemical weathering transforms one mineral to an- Anorthite:
other or completely dissolves the mineral. Practically
all chemical weathering processes depend on the pres- Ca silicate ⫹ 2H⫹OH⫺
ence of water. Hydration, that is, the surface adsorption
of water, is the forerunner of all the more complex → H silicate ⫹ Ca(OH)2 (basic)
chemical reactions, many of which proceed simulta-
neously. Some important chemical processes are listed As water is absorbed into feldspar, kaolinite is
below. often produced. In a similar way, other clay min-
erals and zeolites (microporous aluminosilicates)
1. Hydrolysis, probably the most important chemi- may form by weathering of silicate minerals as
cal process, is the reaction between the mineral the associated ions such as silica, sodium, potas-
and H⫹ and (OH)⫺ of water. The small size of sium, calcium, and magnesium are lost into so-
10 2 SOIL FORMATION
lution. Oxalic acid (C2O4H2), the chelating agent, re-

Hydrolysis will not continue in the presence of leases C2O42⫺, which forms a soluble complex
static water. Continued driving of the reaction to with Al3⫹ to enhance dissolution of muscovite.
the right requires removal of soluble materials by Ring-structured organic compounds derived from
leaching, complexing, adsorption, and precipita- humus can act as chelating agents by holding
tion, as well as the continued introduction of H⫹ metal ions within the rings by covalent bonding.
ions. 3. Cation exchange is important in chemical weath-
Carbonic acid (H2CO3) speeds chemical ering in at least three ways:
weathering. This weak acid is formed by the so- a. It may cause replacement of hydrogen on
lution in rainwater of a small amount of carbon hydrogen bearing colloids. This reduces the
dioxide gas from the atmosphere. Additional car- ability of the colloids to bring H⫹ to unweath-
bonic acid and other acids are produced by the ered surfaces.
roots of plants, by insects that live in the soil, b. The ions held by Al2O3 and SiO2 colloids in-
and by the bacteria that degrade plant and animal fluence the types of clay minerals that form.
remains. c. Physical properties of the system such as the
The pH of the system is important because it permeability may depend on the adsorbed ion
influences the amount of available H⫹, the solu- concentrations and types.
bility of SiO2 and Al2O3, and the type of clay 4. Oxidation is the loss of electrons by cations, and
mineral that may form. The solubility of silica reduction is the gain of electrons. Both are im-
and alumina as a function of pH is shown in Fig. portant in chemical weathering. Most important
2.6. oxidation products depend on dissolved oxygen
2. Chelation involves the complexing and removal in the water. The oxidation of pyrite is typical of
of metal ions. It helps to drive hydrolysis reac- many oxidation reactions during weathering
tions. For example, (Keller, 1957):
Muscovite:
2FeS2 ⫹ 2H2O ⫹ 7O2 → 2FeSO4 ⫹ 2H2SO4
K2[Si6Al2]Al4O20(OH)4 ⫹ 6C2O4H2 ⫹ 8H2O
FeSO4 ⫹ 2H2O → Fe(OH)2 ⫹ H2SO4
→ 2K⫹ ⫹ 6C2O4Al⫹ ⫹ 6Si(OH)40 ⫹ 8OH⫺
(hydrolysis)
Oxidation of Fe(OH)2 gives
4Fe(OH)2 ⫹ O2 ⫹ 2H2O → 4Fe(OH)3

2Fe(OH)3 → Fe2O3 nH2O (limonite)
The H2SO4 formed in these reactions rejuvenates

the process. It may also drive the hydrolysis of
silicates and weather limestone to produce gyp-
sum and carbonic acid. During the construction
of the Carsington Dam in England in the early
1980s, soil in the reservoir area that contained
pyrite was uncovered during construction follow-
ing the excavation and exposure of air and water
of the Namurian shale used in the embankment.
The sulfuric acid that was released as a result of
the pyrite oxidation reacted with limestone to
form gypsum and CO2. Accumulation of CO2 in
construction shafts led to the asphyxiation of
workers who were unaware of its presence. It is
Figure 2.6 Solubility of alumina and amorphous silica in believed that the oxidation process was mediated
water (Keller, 1964b). by bacteria (Cripps et al., 1993), as discussed fur-
WEATHERING 11
ther in the next section.
Many iron minerals weather to iron oxide
(Fe2O3, hematite). The red soils of warm, humid
regions are colored by iron oxides. Oxides can
act as cementing agents between soil particles.
Reduction reactions, which are of importance
relative to the influences of bacterial action and
plants on weathering, store energy that may be
used in later stages of weathering.
5. Carbonation is the combination of carbonate or
bicarbonate ions with earth materials. Atmos-
pheric CO2 is the source of the ions. Limestone
made of calcite and dolomite is one of the rocks
that weather most quickly especially in humid
regions. The carbonation of dolomitic limestone
proceeds as follows:
CaMg(CO3)2 ⫹ 2CO2 ⫹ 2H2O

→ Ca(HCO3)2 ⫹ Mg(HCO3)2
The dissolved components can be carried off in

water solution. They may also be precipitated at
locations away from the original formation.
Microbiological Effects
Several types of microorganisms are found in soils;
there are cellular microorganisms (bacteria, archea, al-
gae, fungi, protozoa, and slime molds) and noncellular
microorganisms (viruses). They may be nearly round,
rodlike, or spiral and range in size from less than 1 to
100 m, which is equivalent to coarse clay size to fine
sand size. Figure 2.7a shows bacteria adhering to
quartz sand grains, and Fig. 2.7b shows clay minerals
coating around the cell envelope, forming what are
called bacterial microaggregates.4 A few billion to 3
trillion microorganisms exist in a kilogram of soil near
the ground surface and bacteria are dominant. Micro-
organisms can reproduce very rapidly. The replication
rate is controlled by factors such as temperature, pH,
ionic concentrations, nutrients, and water availability.
Under ideal conditions, the ‘‘generation time’’ for bac-
terial fission can be as short as 10 min; however, an
hour scale is typical. These high-speed generation
rates, mutation, and natural selection lead to very fast
adaptation and extraordinary biodiversity.
Autotrophic photosynthetic bacteria, that is, photo-
Figure 2.7 Microogranisms attached to soil particle sur-
autotrophs, played a crucial role in the geological de-
faces: (a) bacteria attached to sand particle (from Robertson
et al. 1993 in Chenu and Stotzky, 2002), (b) bacterial mi-
croaggregate [from Robert and Chenu (1992) in Chenu and
4
Further details of how microorganisms adhere to soil surfaces are Stotzky (2002)], and (c) biofilm on soil surface (from Chenu
given in Chenu and Stotzky (2002). and Stotzky (2002).
12 2 SOIL FORMATION
velopment of Earth (Hattori, 1973; McCarty, 2004). (e.g., acids) directly on the rock surface (Ehrlich,
Photosynthetic bacteria, cyanobacteria, or ‘‘blue-green 1998). Biofilms bind cations in the pore fluid and fa-
bacteria’’ evolved about 3.5 billion years ago (Proter- cilitate nucleation and crystal growth even at low ionic
ozoic era—Precambrian), and they are the oldest concentrations in the pore fluid (Konhauser and Urru-
known fossils. Cyanobacteria use energy from the sun tia, 1999). After nucleation is initiated, further mineral
to reduce the carbon in CO2 to cellular carbon and to growth or precipitation can occur abiotically, including
obtain the needed electrons for oxidizing the oxygen the precipitation of amorphous iron–aluminum sili-
in water to molecular oxygen. During the Archaean cates and poorly crystallized claylike minerals, such as
period (2.5 billion years ago), cyanobacteria converted allophone, imogolite, and smectite (Urrutia and Bev-
the atmosphere from reducing to oxidizing and eridge, 1995; Ehrlich, 1999; Barton et al., 2001).
changed the mineral nature of Earth. In the case of the Carsington Dam construction,
Eukaryotic algae evolved later, followed by the mul- Cripps et al. (1993) hypothesized that autotrophic bac-
ticellular eukaryotes including plants. Photosynthesis teria greatly accelerated the oxidation rate of the pyrite,
is the primary producer of the organic particulate mat- so that it occurred within months during construction.
ter in shale, sand, silt, and clay, as well as in coal, The resulting sulfuric acid reacted with the drainage
petroleum, and methane deposits. Furthermore, cyano- blanket constructed of carboniferous limestone, which
bacteria and algae increase the water pH when they then resulted in precipitation of gypsum and iron hy-
consume CO2 dissolved in water, resulting in carbonate droxide, clogging of drains and generation of carbon
formation and precipitation of magnesium and calcium dioxide.
carbonates, leading to Earth’s major carbonate forma-
tions. Weathering Products
Aerobic bacteria live in the presence of dissolved The products of weathering, several of which will gen-
oxygen. Anaerobic bacteria survive only in the absence erally coexist at one time, include:
of oxygen. Facultative bacteria can live with or without
oxygen. Some bacteria may resort to fermentation to 1. Unaltered minerals that are either highly resistant
sustain their metabolism under anaerobic conditions or freshly exposed
(Purves et al., 1997). For example, in the case of an- 2. Newly formed, more stable minerals having the
aerobic conditions, fermenting bacteria oxidize carbo- same structure as the original mineral
hydrates to produce simple organic acids and H2 that 3. Newly formed minerals having a form similar to
are used to reduction of ferric (Fe3⫹) iron, sulfate re- the original, but a changed internal structure
duction, and the generation of methane (Chapelle, 4. Products of disrupted minerals, either at or trans-
2001). Microbial energy metabolism involves electron ported from the site. Such minerals might include
transfers, and the electron sources and acceptors can a. Colloidal gels of Al2O3 and SiO2
be both organic and inorganic compounds (Horn and b. Clay minerals
Meike, 1995). Most soil bacteria derive their carbon c. Zeolites
and energy directly from organic matter and its oxi- d. Cations and anions in solution
dation. Some other bacteria derive their energy from e. Mineral precipitates
oxidation of inorganic substances such as ammonium, 5. Unused guest reactants
sulfur, and iron and most of their carbon from carbon The relationship between minerals and different
dioxide. Therefore, biological activity mediates geo- weathering stages is given in Table 2.2. The similarity
chemical reactions, causing them to proceed at rates between the order of representative minerals for the
that are sometimes orders of magnitude more rapid different weathering stages and Bowen’s reaction se-
than would be predicted solely on the basis of the ther- ries given earlier (Fig. 2.5) may be noted.
mochemical reactions involved. Contrasts in compositions between terrestrial and lu-
Bacteria tend to adhere to mineral surfaces and form nar soils can be accounted for largely in terms of dif-
microcolonies known as biofilms as shown in Fig. 2.7c. ferences in chemical weathering. Soils on Earth are
Some biofilms are made of single-type bacteria, while composed mainly of quartz and clay minerals because
others involve symbiotic communities where two or the minerals of lower stability, such as feldspar, oli-
more bacteria types coexist and complement each vine, hornblende, and glasses, are rapidly removed by
other. For example, biofilms involved in rock weath- chemical weathering. On the Moon, however, the ab-
ering may involve an upper aerobic layer, followed by sence of water and free oxygen prevent chemical
an intermediate facultative layer that rests on top of the weathering. Hence, lunar soils are made up mainly of
aerobic layer that produces the weathering agents fragmented parent rock and rapidly crystallized
WEATHERING 13
Table 2.2 Representative Minerals and Soils Effects of Climate, Topography, Parent Material,
Associated with Weathering Stages Time, and Biotic Factors
The rate at which weathering can proceed is controlled
Weath- by parent material and climate. Topography, apart from
ering Representative its influence on climate, determines primarily the rate
Stage Minerals Typical Soil Groups of erosion, and this controls the depth of soil accu-
Early Weathering Stages mulation and the time available for weathering prior to
removal of material from the site. In areas of steep
1 Gypsum (also halite, Soils dominated by topography, rapid mechanical weathering followed by
sodium nitrate) these minerals in the rapid down-slope movement of the debris results in
2 Calcite (also dolomite fine silt and clay frac- formation of talus slopes (piles of relatively unweath-
apatite) tions are the youthful ered coarse rock fragments).
3 Olivine-hornblende soils all over the Climate determines the amount of water present, the
(also pyroxenes) world, but mainly temperature, and the character of the vegetative cover,
4 Biotite (also glauco- soils of the desert and these, in turn, affect the biologic complex. Some
nite, nontronite) regions where limited general influences of climate are:
5 Albite (also anorthite water keeps chemical
microcline, ortho- weathering to a mini- 1. For a given amount of rainfall, chemical weath-
clase) mum. ering proceeds more rapidly in warm than in cool
climates. At normal temperatures, reaction rates
Intermediate Weathering Stages approximately double for each 10C rise in tem-
perature.
6 Quartz Soils dominated by 2. At a given temperature, weathering proceeds
7 Muscovite (also illite) these minerals in the more rapidly in a wet climate than in a dry cli-
8 2⬊1 layer silicates (in- fine silt and clay frac- mate provided there is good drainage.
cluding vermiculite, tions are mainly those 3. The depth to the water table influences weather-
expanded hydrous of temperate regions ing by determining the depth to which air is
mica) developed under grass available as a gas or in solution and by its effect
Montmorillonite or trees. Includes the on the type of biotic activity.
major soils of the 4. Type of rainfall is important: short, intense rains
wheat and corn belts erode and run off, whereas light-intensity, long-
of the world. duration rains soak in and aid in leaching.
Advanced weathering stages Table 2.3 summarizes geomorphologic processes in
10 Kaolinite Many intensely weath- different morphoclimatic zones. The nature and rate of
11 Gibbsite ered soils of the warm these geomorphologic processes control landform as-
12 Hematite (also geothite, and humid equatorial semblages.
limonite) regions have clay During the early stages of weathering and soil for-
13 Anatase (also rutile, fractions dominated mation, the parent material is much more important
zircon) by these minerals. than it is after intense weathering for long periods of
They are frequently time. Climate ultimately becomes a more dominant
characterized by their factor in residual soil formation than parent material.
infertility. Of the igneous rock-forming minerals, only quartz
and, to a much lesser extent, feldspar, have sufficient
From Jackson and Sherman (1953). chemical durability to persist over long periods of
weathering. Quartz is most abundant in coarse-grained
granular rocks such as granite, granodiorite, and
gneiss, where it typically occurs in grains in the mil-
glasses. Mineral fragments in lunar soils include pla- limeter size range. Consequently, granitic rocks are the
gioclase feldspar, pyroxene, ilmenite, olivine, and po- main source of sand.
tassium feldspar. Quartz is extremely rare because it is In addition to the microbiological activities dis-
not abundant in the source rocks. Carrier et al. (1991) cussed previously, biological factors of importance in-
present an excellent compilation of information about clude the influences of vegetation on erosion rate and
the composition and properties of lunar soil. the cycling of elements between plants and soils. Mi-
14 2 SOIL FORMATION
Table 2.3 Morphoclimatic Zones and the Associated Geomorphologic Processes
Mean Mean
Annual Annual
Morphoclimatic Temperature Precipitation
Zone (C) (mm) Relative Importance of Geomorphologic Processes
Glacial ⬍0 0–1000 Mechanical weathering rates (especially frost action)
high; chemical weathering rates low, mass
movement rates low except locally; fluvial action
confined to seasonal melt; glacial action at a
maximum; wind action significant
Periglacial ⫺1 to 2 100–1000 Mechanical weathering very active with frost action at
a maximum; chemical weathering rates low to
moderate; mass movement very active; fluvial
processes seasonally active; wind action rates
locally high. Effects of the repeated formation and
decay of permafrost.
Wet midlatitude 0–20 400–1800 Chemical weathering rates moderate, increasing to
high at lower latitudes; mechanical weathering
activity moderate with frost action important at
higher latitudes; mass movement activity moderate
to high; moderate rates of fluvial processes; wind
action confined to coasts.
Dry continental 0–10 100–400 Chemical weathering rates low to moderate;
mechanical weathering, especially frost action,
seasonally active; mass movement moderate and
episodic; fluvial processes active in wet season;
wind action locally moderate.
Hot dry (arid 10–30 0–300 Mechanical weathering rates high (especially salt
tropical) weathering), chemical weathering minimum, mass
movement minimal; rates of fluvial activity
generally very low but sporadically high; wind
action at maximum.
Hot semidry 10–30 300–600 Chemical weathering rates moderate to low;
(semiarid mechanical weathering locally active especially on
tropical) drier and cooler margins; mass movement locally
active but sporadic; fluvial action rates high but
episodic; wind action moderate to high.
Hot wet–dry 20–30 600–1500 Chemical weathering active during wet season; rates
(humid–arid of mechanical weathering low to moderate; mass
tropical) movement fairly active; fluvial action high during
wet season with overland and channel flow; wind
action generally minimum but locally moderate in
dry season.
Hot wet 20–30 ⬎1500 High potential rates of chemical weathering;
(humid mechanical weathering limited; active, highly
tropical) episodic mass movement; moderate to low rates of
stream corrosion but locally high rates of dissolved
and suspended load transport.
Azonal Highly Highly Rates of all processes vary significantly with altitude;
Mountain variable variable mechanical and glacial action becomes significant at
zone high elevations.
From Fookes et al. (2000).
ORIGIN OF CLAY MINERALS AND CLAY GENESIS 15
crobial decomposition of the heavy layers of organic 1. Alkaline earths (Ca2⫹, Mg2⫹) flocculate silica.
matter in top soils formed through photosynthesis re- 2. Alkalis (K⫹, Na⫹, Li⫹) disperse silica.
sults in oxygen depletion and carbon oxidation back to 3. Low pH flocculates colloids.
CO2, which is leached by rainwater that penetrates into 4. High electrolyte content flocculates colloids.
the subsurface. The high CO2 concentration, lowered 5. Aluminous suspensions are more easily floccu-
pH, and anaerobic nature of these penetrating waters lated than siliceous suspensions.
cause reduction and solutioning of iron and manganese 6. Dispersed phases are more easily removed by
minerals, the reduction of sulfates, and dissolution of groundwater than flocculated phases.
carbonate rocks. If the moving waters become co-
mingled with oxygenated water in the ground, or as Factors important in determining the formation of
groundwater emerges into rivers and streams, iron, specific clay minerals are discussed below. The struc-
manganese, and sulfide oxidation results, and carbon- ture and detailed characterization of these minerals are
ate precipitation can occur (McCarty, 2004). covered in Chapter 3.
The time needed to weather different materials var-
ies greatly. The more unconsolidated and permeable Kaolinite Minerals
the parent material, and the warmer and more humid Kaolinite formation is favored when alumina is abun-
the climate, the shorter the time needed to achieve dant and silica is scarce because of the 1⬊1 sil-
some given amount of soil formation. The rates of ica⬊alumina structure, as opposed to the 2⬊1 silica to
weathering and soil development decrease with in- alumina structure of the three-layer minerals. Condi-
creasing time. tions leading to kaolinite formation usually include low
The time for soil formation from hard rock parent electrolyte content, low pH, and the removal of ions
materials may be very great; however, young soils can that tend to flocculate silica (Mg, Ca, Fe) by leaching.
develop in less than 100 years from loessial, glacial, Most kaolinite is formed from feldspars and micas by
and volcanic parent material (Millar et al., 1965). Py- acid leaching of acidic (SiO2-rich) granitic rocks. Ka-
rite bearing rocks are known to break apart and un- olinite forms in areas where precipitation is relatively
dergo chemical and mineral transformations in only a high, and there is good drainage to ensure leaching of
few years. cations and iron.
Halloysite forms as a result of the leaching of feld-
spar by H2SO4, which is often produced by the oxi-
2.6 ORIGIN OF CLAY MINERALS AND CLAY dation of pyrite, as shown earlier. The combination of
GENESIS conditions that results in halloysite formation is often
found in high-rain volcanic areas such as Hawaii and
There are three general mechanisms of clay formation the Cascade Mountains of the Pacific Northwest in the
by weathering (Eberl, 1984): (1) inheritance, (2) neo- United States.
formation, and (3) transformation. Inheritance means
that a clay mineral originated from reactions that oc- Smectite Minerals
curred in another area during a previous stage in the
rock cycle and that the clay is stable enough to remain Smectites, because of their 2⬊1 silica⬊alumina struc-
in its present environment. Origin by neoformation ture, form where silica is abundant, as is the case
means that the clay has precipitated from solution or where both silica and alumina are flocculated. Condi-
formed from reactions of amorphous materials. Trans- tions favoring this are high pH, high electrolyte con-
formation genesis requires that the clay has kept some tent, and the presence of more Mg2⫹ and Ca2⫹ than
of its inherited structure while undergoing chemical Na⫹ and K⫹. Rocks that are high in alkaline earths,
reactions. These reactions are typically characterized such as the basic and intermediate igneous rocks, vol-
by ion exchange with the surrounding environment canic ash, and their derivatives containing ferromag-
and/or layer transformation in which the structure of nesian minerals and calcic plagioclase, are usual parent
octahedral, tetrahedral, or fixed interlayer cations is materials. Climatic conditions where evaporation ex-
modified. ceeds precipitation and where there is poor leaching
The behavior of nonclay colloids such as silica and and drainage, such as in arid and semiarid areas, favor
alumina during crystallization is important in deter- the formation of smectite.
mining the specific clay minerals that form. Certain
general principles apply.5 Illite (Hydrous Mica) and Vermiculite
Hydrous mica minerals form under conditions similar
to those leading to the formation of smectites. In ad-
5
The considerations in Chapter 6 provide a basis for these statements. dition, the presence of potassium is essential; so ig-
16 2 SOIL FORMATION
neous or metamorphic rocks and their derivatives are guish. Their thickness may range from a few milli-
the usual parent rocks. Weathering of feldspar in cool meters to several meters. The horizons may differ in
climates often leads to the development of illite. Al- any or all of the following ways:
teration of muscovite to illite and biotite to vermiculite
during weathering is also a significant source of these 1. Degree of breakdown of parent material
minerals. Interstratifications of vermiculite with mica 2. Content and character of organic material
and chlorite are common. The high stability of illite is 3. Kind and amount of secondary minerals
responsible for its abundance and persistence in soils 4. pH
and sediments. 5. Particle size distribution
Chlorite Minerals
All the horizons considered together, including the
underlying parent material, form the soil profile.6 The
Chlorites can form by alteration of smectite through part of the profile above the parent material is termed
introduction of sufficient Mg2⫹ to cause formation of the solum. Eluviation is the movement of soil material
a brucitelike layer that replaces the interlayer water. from one place to another within the soil, either in
Biotite from igneous and metamorphic rocks may alter solution or in suspension as a result of excess precip-
to trioctahedral chlorites and mixed-layer chlorite– itation over evaporation. Eluvial horizons have lost ma-
vermiculite. Chlorites also occur in low- to medium- terial; illuvial horizons have gained material.
grade metamorphic rocks and in soils derived from Master horizons are designated by the capital letters
such rocks. O, A, B, C, and R (Table 2.4). Subordinate symbols
are used as suffixes after the master horizon designa-
Discussion tions to indicate dominant features of different kinds
The above considerations are greatly simplified, and of horizons, as indicated in the table. The O horizons
there are numerous ramifications, alterations, and var- are generally present at the soil surface under native
iations in the processes. One clay type may transform vegetation, but they may also be buried by sedimen-
to another by cation exchange and weathering under tation of alluvium, loess, or ash fall. The A horizon is
new conditions. Entire structures may change, for ex- the zone of eluviation where humified organic matter
ample, from 2⬊1 to 1⬊1, so that montmorillonite forms accumulates with the mineral fraction. The amount of
when magnesium-rich rocks weather under humid, organic matters (fibers to humic/fulvic acids) varies
moderately drained conditions, but then alters to kao- from 0.1 percent in desert soils to 5 percent or more
linite as leaching continues. Kaolinite does not form in in organic soils and affects many engineering proper-
the presence of significant concentrations of calcium. ties including compressibility, shrinkage, strength and
The relative proportions of potassium and magne- chemical sorption. The B horizon is the zone of illu-
sium determine how much montmorillonite and illite viation where clay, iron compounds, some resistant
form. Some montmorillonites alter to illite in a marine minerals, cations, and humus accumulate. The R ho-
environment due to the high K⫹ concentration. Mixed- rizon is the consolidated rock, and the C horizon con-
layer clays often form by partial leaching of K or sists of the altered material from which A and B
Mg(OH)2 from between illite and chlorite layers and horizons are formed.
by incomplete adsorption of K or Mg(OH)2 in mont- Soil profiles developed by weathering can be cate-
morillonite or vermiculite. gorized into three groups on the basis of their miner-
Further details of the clay minerals are given in alogy and chemical composition as shown in Fig. 2.8
Chapter 3. More detailed discussions of clay mineral (Press and Siever, 1994). Pedalfers, which are formed
formation are given by Keller (1957, 1964a & b), Wea- in moist climate, are soils rich in aluminum and iron
ver and Pollard (1973), Eberl (1984), and Velde oxides and silicates such as quartz and clay minerals.
(1995), among others. All soluble minerals such as calcium carbonate is
leached away. They have a thick A horizon and can be
found in much of the areas of moderate to high rainfall
2.7 SOIL PROFILES AND THEIR in the eastern United States, Canada, and Europe. Ped-
DEVELOPMENT ocals, which are formed in dry climate, are soils rich
In situ weathering processes lead to a sequence of ho-

rizons within a soil, provided erosion does not rapidly 6
Residual soil profiles should not be confused with soil profiles re-
remove soil from the site. The horizons may grade sulting from successive deposition of strata of different soil types in
abruptly from one to the next or be difficult to distin- alluvial, lake, or marine environments.
SOIL PROFILES AND THEIR DEVELOPMENT 17
Table 2.4 Designations of Master Horizons and Subordinate Symbols for
Horizons of Soil Profiles
Master Horizons
O1 Organic undecomposed horizon
O2 Organic decomposed horizon
A1 Organic accumulation in mineral soil horizon
A2 Leached bleached horizon (eluviated)
A3 Transition horizon to B
AB Transition horizon between A and B—more like A in upper part
A and B A2 with less than 50% of horizon occupied by spots of B
AC Transition horizon, not dominated by either A or C
B and A B with less than 50% of horizon occupied by spots of A2
B Horizon with accumulation of clay, iron, cations, humus; residual
concentration of clay; coatings; or alterations of original
material forming clay and structure
B1 Transition horizon more like B than A
B2 Maximum expression of B horizon
B3 Transitional horizon to C or R
C Altered material from which A and B horizons are presumed to be
formed
R Consolidated bedrock
Subordinate Symbols
b Buried horizon
ca Calcium in horizon
cs Gypsum in horizon
cn Concretions in horizon
f Frozen horizon
g Gleyed horizon
h Humus in horizon
ir Iron accumulation in horizon
m Cemented horizon
p Plowed horizon
sa Salt accumulation in horizon
si Silica cemented horizon
t Clay accumulation in horizon
x Fragipan horizon
II, III, IV Lithologic discontinuities
A2, B2 Second sequence in bisequal soil
Adapted from Soil Survey Staff (1975).
in calcium from the calcium carbonates and other sol- rizon because most of the organic matter is recycled
uble minerals originated from sedimentary bedrock. from the surface to the vegetation.
Soil water is drawn up near the surface by evaporation, Lithologic discontinuities may be common in land-
leaving calcium carbonate pellets and nodules. They scapes where erosion is severe, and these discontinui-
can be found in the southwest United States. Laterite, ties are often marked by stone layers from previous
which is formed in a wet, tropical climate, is rich in erosion cycles. In some places, soils have developed
aluminum and iron oxides, iron-rich clays, and alu- several sequences of A and B horizons, which are su-
minum hydroxides. Silica and calcium carbonates are perimposed over each other. Superimposed soil se-
leached away from the soil. It has a very thin A ho- quences are likely the result of climate changes acting
18 2 SOIL FORMATION
Humus and Thin or absent

Humus and A leached soil humus
leached soil
(quartz and
A Thick masses of
clay minerals
present) Calcium insoluble iron and
carbonate aluminum oxides;
Some iron and B pellets and occasional quartz
aluminium oxides nodules
B precipitated; all precipitated Iron-rich clays and
soluble materials,
such as aluminum
carbonates, hydroxides
leached away
Sandstone, Thin leached zone

Granite
C bedrock C shale, and
limestone
bedrock
Mafic igneous
bedrock
(a) (b) (c)
Figure 2.8 Major soil types: (a) Pedalfer soil profile developed on granite, (b) Pedocal soil
profile developed on sedimentary bedrock, and (c) Laterite soil profile developed on mafic
igneous rock (from Press and Siever, 1994).
on uniform geologic materials, or are the remnants of chanical action. The transporting agents, for example,
former soil profiles (paleosoils) that have been buried water, wind, and ice, are by themselves capable only
under younger soils (Olson, 1981). of limited wearing action on rocks, but the process is
reinforced when these agents contain particles of the
transported material.
2.8 SEDIMENT EROSION, TRANSPORT, AND Transportation of sediment requires first that it be
DEPOSITION picked up by the eroding agent. Greater average flow
velocities in the transporting medium may be required
Streams, ocean currents, waves, wind, groundwater, to erode than to transport particles. Particles are eroded
glaciers, and gravity continually erode and transport when the drag and lift of the fluid exceed the gravi-
soils and rock debris away from the zone of weather- tational, cohesive, and frictional forces acting to hold
ing. Each of these transporting agents may cause them in place. The stream velocity required to erode
marked physical changes in the sediment it carries. Al- does not decrease indefinitely with decreasing particle
though detailed treatment of erosion, transportation, size because small particles remain within the bound-
and depositional processes is outside the scope of this ary layer adjacent to the stream bed where the actual
book, a brief outline of their principles and their effects stream velocity is much less than the average velocity.
on the transported soil is helpful in understanding the Relationships between particle size and average stream
properties of the transported material. velocity required to erode and transport particles by
wind and water are shown in Fig. 2.9.
Erosion Ice has the greatest competency for sediment move-
Erosion includes all processes of denudation that in- ment of all the transportation agents. There is no limit
volve the wearing away of the land surface by me- to the size of particles that may be carried. Ice pushes
SEDIMENT EROSION, TRANSPORT, AND DEPOSITION 19
Transportation
The different agents of sediment transport are com-
pared in Table 2.5. The relative effect listed in the last
column of this table denotes the importance of the
agent on a geological scale with respect to the overall
amount of sediment moved, with one representing the
greatest amount.
Movement of sediment in suspension by wind and
water depends on the settling velocity of the particles
and the laws of fluid motion. Under laminar flow con-
ditions, the settling velocity of small particles is pro-
portional to the square of the particle diameter. For
larger particles and turbulent fluid flow, the settling ve-
locity is proportional to the square root of the particle
diameter. Particles stay in suspension once they have
been set in motion as long as the turbulence of the
stream is greater than the settling velocity.
The largest particles that can be transported by water
are carried by traction, which consists of rolling and
Figure 2.9 Comparison of erosion and transport curves for dragging along the boundary between the transporting
air and running water. The air is a slightly more effective agent and the ground surface. Particles intermediate in
erosional agent than streams for very small particles but is
size between the suspended load and the traction load
ineffective for those larger than sand (from Garrels, 1951).
may be carried by saltation, in which they move by a
series of leaps and bounds. Soluble materials are car-
ried in solution and may precipitate as a result of
material along in front and erodes the bottom and sides changed conditions. The combined effects mean that
of the valleys through which it flows. In an active gla- the concentration of sediment is not constant through
cier (Fig. 2.10), there is continuous erosion and trans- the depth of the transporting agent but is much greater
port of material from the region of ice accumulation near the stream bed than near the top. Fine particles
to the region of melting. A dead glacier has been cut may be fairly evenly distributed from top to bottom;
off from a feeding ice field. however, coarser particles are distributed mainly within
short distances from the bottom, as shown in Fig. 2.11,
which applies to a river following a straight course.
The major effects of transportation processes on the
physical properties of sediments are sorting and ab-
rasion. Sorting may be both longitudinal, which pro-
duces a progressive decrease in particle size with
distance from the source as the slope flattens, and lo-
cal, which produces layers or lenses with different
grain size distributions. Reliable prediction of the sort-
ing at any point along a sediment transport system is
complicated by the fact that flow rates vary from point
to point and usually with the seasons. Consequently,
very complex sequences of materials may be found in
and adjacent to stream beds.
Particle size and shape may be mechanically modi-
fied by abrasive processes such as grinding, impact,
and crushing during transportation. The abrading ef-
fects of wind are typically hundreds of times greater
than those of water (Kuenen, 1959). In general, abra-
sion changes the shape and size of gravel size particles
Figure 2.10 Characteristics of glaciers (from Selmer-Olsen, but only modifies the shapes of sand and smaller size
1964). particles. Water-working of sands causes rounding and
20 2 SOIL FORMATION
Table 2.5 Comparison of Sediment Transport Agents
Maximum
Size
Approximate Eroded by
Type of Average Average Max Load Type of Relative
Agent Flow Velocity Velocity Areas Affected per m3 Transport Effect
Streams Turbulent A few km/h Sand All land A few tens of Bed load, 1
kilograms suspended
load,
solution
Waves Turbulent A few km/h Sand Coastlines A few tens of Same as 2
kilograms streams
Wind Turbulent 15 km/h Sand Arid, semiarid, A kilogram Bed load, 3
beaches, suspended
plowed fields load
Glaciers Laminar A few m/yr Large High latitudes Hundreds of Bed load, 2
boulders and altitudes kilograms suspended
load,
surface
load
Groundwater Laminar A few m/yr Colloids Soluble material A kilogram Solution 3
and colloids
Gravity cm/yr to a Boulders Steep slopes, 2000 kg Bed load 3
few m/s sensitive
clays,
saturated
cohesionless
soils,
unconsolidated
rock
Adapted from Garrels (1951).
polishing of grains, and wind-driven impact can cause ated with a beach environment, produce a relatively
frosting of grains. The shape and surface character of smooth, pitted surface texture. Aeolian sands exhibit a
particles influences a soil’s stress–deformation and rougher surface texture, particularly over small dis-
strength properties owing to their effects on packing, tances. Some, but not all, river sands may have a very
volume change during shear, and interparticle friction. smooth particle surface that reflects the influence of
Basic minerals, such as the pyroxenes, amphiboles, chemical action. Sand that has undergone change after
and some feldspars, are rapidly broken down chemi- deposition and burial is termed diagenetic sand. Its
cally during transport. Quartz, which is quite stable surface texture may reflect a long and stable period of
because of its resistant internal structure, may be mod- interaction with the groundwater. In some cases, very
ified by mechanical action, but only at a slow rate. rough surface textures can develop. Ottawa sand, a ma-
Quartz sand grains may survive a number of successive terial that has been used for numerous geotechnical
sedimentation cycles with no more than a percent or research investigations, is such a material.
two of weight loss due to abrasion. Some effects of transportation on sediment proper-
The surface textures of quartz sand particles reflect ties are summarized in Table 2.6. The gradational
their origin, as shown by the examples in Fig. 2.12 for characteristics of sedimentary materials reflect their
different sands, each shown to three or four magnifi- transportation mode as indicated in Fig. 2.13. Sedi-
cations. The mechanical and chemical actions, associ- ments of different origins lie within specific zones of
Figure 2.11 Schematic diagram of sediment concentration with depth in a transporting

stream.
the figure, which are defined by the logarithm of the The thickness of deposits formed during any one
ratio of 75 percent particle size to 25 percent particle cycle may vary from less than a millimeter to hundreds
size and the median (50 percent) grain size. of meters. The period may range from months to
thousands of years, and only one or many types of
sediments may be involved.
Deposition One of the best known sediments formed by cyclical
Deposition of sediments from air and water is con- deposition is varved clay. Varved clays formed in gla-
trolled by the same laws as their transportation. If the cial lakes during the ice retreat stage. Each layer con-
stream velocity and turbulence fall below the values sists of a lighter-colored, summer-deposited clayey silt
needed to keep particles in suspension or moving with grading into a darker winter-deposited silty clay.
the bed load, then the particles will settle. When ice Spring and summer thaws contributed clay and silt-
melts, the sediments may be deposited in place or car- laden meltwater to the lake. The coarsest particles set-
ried away by meltwater. Materials in solution can tled first to form the summer layer. Because of the
precipitate when exposed to conditions of changed much slower settling velocity of the clay particles,
temperature or chemical composition, or as a result of most did not settle out until the quiet winter period. A
evaporation of water. Sediments may be divided into photograph of a vertical section through a varved clay
is shown in Fig. 2.14. The alternating coarser-grained,
those formed primarily by chemical and biological
light-colored layers and finer-grained, darker layers are
means and those composed primarily of mineral and
clearly visible. The shear resistance along horizontal
rock fragments. The latter are sometimes referred to as varves is much less than that across the varves. Also,
detrital or clastic deposits. the hydraulic conductivity is much greater in the hor-
The deposition of sediments into most areas is cy- izontal direction than in the vertical direction. Exten-
clical. Some causes of cyclic deposition are: sive deposits of varved clays are found in the northeast
and north central United States and eastern Canada.
1. Periodic earth movements Detailed description of the geology and engineering
2. Climatic cycles of various lengths, most notably properties of Connecticut Valley varved clay is given
the annual rhythm by DeGroot and Lutenegger (2003).
3. Cyclic shifting of tributaries on a delta Complex soil deposition processes occur along
4. Periodic volcanism coastlines, estuaries, and shallow shelves in relation to
22 2 SOIL FORMATION
Figure 2.12 Surface textures of four sands of differing origins: (a) river sand, (b) beach
sand, (c) aeolian sand and (d) diagenetic sand (courtesy of Norris, 1975).
the location of the shoreline. Soil deposits include fore- Chemical and biochemical sediments may consist of
shore sand and gravels, which are sorted by wave ac- one or two kinds of materials. For example, calcium
tions, organic deposits, and clays preserved in lagoons, carbonate sediments are made of calcite, which origi-
offshore fine sands, and muds. River channels may be nates from the shells of organisms in the deep sea (Fig.
overdeepened, and soft sediments then accumulate to 2.16a). Some clays contain significant amounts of mi-
form buried valleys. Most coastlines and estuaries of crofossils due to the depositional environment as
the world were subject to sea level changes in the Qua- shown in Fig. 2.16b; such clays include Mexico City
ternary period. In particular, the post glacial rise of sea clay (Diaz-Rodriguez et al., 1998), Ariake clay (Oht-
level, which ended about 6000 years ago, has had a subo et al., 1995), and Osaka Bay clay (Tanaka and
worldwide influence on the present-day coastal forms. Locat, 1999). The microfossils include diatoms (sili-
Figure 2.15 shows alternating layers of marine (Ma) ceous skeleton of eukarya cells in either freshwater or
and fluvial (Diluvial-D) sediments in the geotechnical marine environments), radiolaria (found in marine en-
profile down to 400 m depth below sea level at Osaka vironments and consisting mostly of silica), and for-
Bay, Japan (Tanaka and Locat, 1999). The observed manifera (calcium carbonate shell secreted by marine
variation corresponds well to the local relative sea level eukarya). The presence of microfossils can have a pro-
during its geological history up to 1 million years ago. found effect on the behavior of the soil mass, confer-
Figure 2.12 (Continued )
ring unusual geotechnical properties that deviate from ternary period from glacial out wash and deglaciated
general property expectations, including high porosity, till areas. The deposits are spread widely and blanket
high liquid limit, unusual compressibility, and uniquely preexisting landforms. The deposits are up to 30 m
high friction angle. For examples, see Tanaka and Lo- thick in the Missouri and Rhine River Valleys, more
cat (1999) and Locat and Tanaka (2001). than 180 m thick in Tajikistan, and up to 330 m thick
While streams and rivers produce deposits according in northern China.
to grain size, a glacier transports the finest dust and
large boulders side by side at the same rate of move-
ment. If the material remains unsorted after deposition, Depositional Environment
it is called till. A mixture of all grain sizes from boul- The environment of deposition determines the complex
ders to clays is known as boulder clay, which is a of physical, chemical, and biological conditions under
difficult material to work with because large boulders which sediments accumulate and consolidate. The
may damage excavation equipment. three general geographical depositional environments
Loess, which is a nonstratified aeolian deposit, is are continental, mixed continental and marine, and ma-
probably the single most abundant Quaternary deposit rine. Continental deposits are located above the tidal
on land. It consists of silt with some small fraction of reach and include terrestrial, paludal (swamp), and
clay, sand, and carbonate. It originated during the Qua- lacustrine (lake) sediments. Mixed continental and
24 2 SOIL FORMATION
Table 2.6 Effects of Transportation on Sediments
Water Air Ice Gravity

Size Reduction through solution, little Considerable Considerable Considerable
abrasion in suspended load, some reduction grinding and impact
abrasion and impact in traction impact
load
Shape and Rounding of sand and gravel High degree of Angular, soled Angular, non-
roundness rounding particles spherical
Surface texture Sand: smooth, polished, shiny Impact produces Striated surfaces Striated surfaces
Silt: little effect frosted
surfaces
Sorting Considerable sorting Very considerable Very little sorting No sorting
sorting
(progressive)
Adapted from Lambe and Whitman (1969).
Figure 2.13 Influence of geologic history on sorting of particle sizes (adapted from Selmer-
Olsen, 1964).
POSTDEPOSITIONAL CHANGES IN SEDIMENTS 25
Figure 2.14 Vertical section through varved clay from the

New Jersey meadowlands (courtesy of S. Saxena).
Figure 2.16 Biochemical sediments: (a) Dogs Bay calcium

carbonate sand (courtesy of E. T. Bowman) and (b) diatoms
observed in Osaka Bay clay (courtesy of Y. Watabe).
environments (Locat et al., 2003). Characteristic soil

types and properties associated with these depositional
environments are described in Chapter 8.
Figure 2.15 Soil profile of Osaka Bay showing alternating
marine (Ma) and fluvial (Diluvial-D) layers (modified from
Tanaka and Locat, 1999). 2.9 POSTDEPOSITIONAL CHANGES IN
SEDIMENTS
Between the time a sediment is first laid down and the
marine deposits include littoral (between the tides), time it is encountered in connection with some human
deltaic, and estuarine sediments. Marine deposits are activity, it may have been altered as a result of the
located below the tidal reach and consist of continental action of any one or more of several postdepositional
shelf (neritic), continental slope and rise (bathyal), and processes. These processes can be physical, chemical,
deep ocean (abyssal) sediments. Table 2.7 summarizes and/or biological. They occur because the young sed-
main soil deposits that are formed in various types of iment is not necessarily stable in its new environment
26 2 SOIL FORMATION
Table 2.7 Depositional Environment of Various Soil Deposits
Deposits Environment Type Texture

Transported Air Aeolian sand Sand
Water
Shallow river Fluvial (glacio-) Sand and gravel
Alluvial (glacio-) Silt and sand
Shallow lake Littoral Sand and gravel
Muskeg Peat—organic
Deep lake Lacustrine (glacio-) Silt and clay
Flow deposits Clay to gravel
Marls Silt (fossils)
Shallow ocean Estuarine Silt and clay
Littoral Silt and sand
Shelf Silt and clay
Deep ocean Pelagic Silt and clay
Oozes—calcareous Silt and clay
Oozes—siliceous Silt and clay
Flow Clay to gravel
Glacier Subglacial till Clay to boulders
Supraglacial till Sand to boulders
Residual Land Tropical soils Clay to sand
Saprolite Clay to boulders
Decomposed granite Clay to boulders
Colluvial soils Clay to boulders
Chemical and biochemical Lake Evaporites (sakkas)
Sea Evaporites
Limestone
Gas hydrates
Adapted from Locat et al. (2003).
where the material is exposed to new conditions of solidation pressure greater than present overburden ef-
temperature, pressure, and chemistry. An understand- fective pressure) at shallow depths. Other important
ing of postdepositional changes is essential for under- mechanisms include partial consolidation under in-
standing of properties, interpreting soil profile data, creased overburden and the effects of weathering.
and in reconstructing geologic history. A brief outline
of the processes is presented here; their effects on en- Weathering
gineering properties are described in more detail in
Chapter 8. Weathering and soil-forming processes are initiated in
new sedimentary deposits after exposure to the atmo-
sphere, just as they are on freshly exposed rock. In
Desiccation some instances, weathering can result in improvement
The drying of fine-grained sediments is usually accom- in properties or protection of underlying material. For
panied by shrinkage and cracking. Precompression of example, the weathering of uplifted marine clays can
the upper portions of clay layers by drying is fre- lead to the replacement of sodium by potassium as the
quently observed. The effects of desiccation on the dominant exchange cation (Moum and Rosenqvist,
strength and water content variations with depth in 1957). This increases both the undisturbed and re-
London clay from the Thames estuary are shown in molded strength. Water content and strength data for a
Fig. 2.17. Care must be exercised in interpreting pro- Norwegian marine clay profile are shown in Fig. 2.18.
files of this type because drying is only one of several It may be seen that the upper 5 m of clay, which have
possible causes of apparent overconsolidation (precon- been weathered, have water content and strength var-
Figure 2.17 Properties of Thames estuary clay. The overconsolidation in the upper 10 ft
was caused by surface drying (Skempton and Henkel, 1953).
27
28 2 SOIL FORMATION
Figure 2.18 Clay characteristics at Manglerud in Oslo, Norway (Bjerrum, 1954).
iation characteristics similar to those of the Thames Consolidation and Densification

estuary clay (see Fig. 2.17). In the case of the Nor- Consolidation (termed compaction in geology) of fine-
wegian clay, however, the plasticity values have also grained sediments occurs from increased overburden,
changed in the upper 5 m, providing evidence of drying, or changes in the groundwater level so that the
changed composition. Weathering of the surface of effective stress on the material is increased. Deposits
some loess deposits has resulted in the formation of a of granular material may be affected to some extent in
relatively impervious loam that protects the underlying the same way. More significant densification of cohe-
metastable loess structure from the deleterious effects sionless soil occurs, however, as a result of dynamic
of water. loading such as induced by earthquakes or the activi-
ties of humans. The usual effects of consolidation are The long-term stability of different clay minerals under
to increase strength, decrease compressibility, increase conditions of elevated temperature and pressure and in
swell potential, and decrease permeability. different chemical environments is important relative
Even under constant effective stress conditions, to the use of clays as containment barriers for nuclear
structural readjustments and small compressions may and toxic wastes. Diagenesis studies of locked sands
continue for long periods owing to the viscous nature show crystal overgrowths caused by pressure solution
of soil structures. This ‘‘secondary compression’’ pro- and compaction (Barton, 1993; Richards and Burton,
vides an additional source of increased strength with 1999).
time. Cementation has important effects on the properties
and stability of many soil materials. Cementation is not
Unloading always easily identified, nor are its effects always read-
Erosion of overlying sediments due to glacial process ily determined quantitatively. It is known to contribute
leads to mechanical overconsolidation. A typical ex- to clay sensitivity, and it may be responsible for an
ample of this is London clay, a marine clay deposited apparent preconsolidation pressure. Removal of iron
during the Eocene period. The erosion took place in compounds from a very sensitive clay from Labrador,
late Tertiary and Pleistocene times and the amount of Canada, by leaching led to a 30-ton/m2 decrease in
erosion is estimated to be about 150 m in Essex apparent preconsolidation pressure (Kenney et al.,
(Skempton, 1961) to 300 m in the Wraybury district 1967). Coop and Airey (2003) show for carbonate soils
(Bishop et al., 1965). After the unloading, small re- that cementation develops soon after deposition and
loading occurred by new deposition of gravels in the enables the soil to maintain a loose structure.
late Quaternary period. Within the London clay, five Failure to recognize cementation has resulted in con-
major transgressive–regressive cycles are recognized struction disputes. For example, a soil on a major proj-
during its deposition. The postdepositional processes ect was marked on the contract drawings as glacial
are site specific; that is, the degree of weathering and till. It proved to be so hard that it had to be blasted.
desiccation and the amount of erosion vary depending The contractor claimed the soil was cemented because
on location. This variation in depositional and post- during digging failure took place through pebbles as
depositional processes results in complex mechanical well as the clay matrix. The owner concluded that this
behavior (Hight et al., 2003). happened because the pebbles were weathered. Proper
evaluation of the material before the award of the con-
Authigenesis, Diagenesis, Cementation, and tract could have avoided the problem.
Recrystallization Clay particles adhere to the surfaces of larger silt
and sand particles, a process called clay bounding.
Authigenesis is the formation of new minerals in place Eventually the larger grains become embedded into a
after deposition. Authigenesis can make grains more clay matrix and their influence on the geotechnical be-
angular, lower the void ratio, and decrease the per- havior becomes limited. The clay bounding provides
meability. Small crystals and rock fragments may grow arching of interparticle forces, maintaining a large void
into aggregates of coarser particles. ratio even at high effective stresses.
Diagenesis refers to such phenomena as changes in
particle surface texture, the conversion of minerals
from one type to another, and the formation of inter- Time Effects
particle bonds as a result of increased temperature, Even freshly deposited or densified sands can develop
pressure, and time. Many diagenetic changes are con- significant increases in strength and stiffness over rel-
trolled by the pH and redox potential of the deposi- atively short time periods, that is, by a factor of 2 or
tional environment. With increasing depth of burial in more within a few months (Mitchell and Solymar,
a sedimentary basin, clayey sediments may undergo 1984). Time effects and the aging of both cohesive
substantial transformation. Expansive clay minerals and cohesionless soils are analyzed and reviewed
can transform to a nonexpansive form, for example, by Schmertmann (1991). Uncertainty remains as to
montmorillonite to mixed layer to illite, as a result of whether the mechanisms for the observed increases in
the progressive removal of water layers under pressure apparent preconsolidation pressure, strength, and stiff-
(Burst, 1969). Burial depths of 1000 to 5000 m may ness are chemical, physical, or both. Research is con-
be required, and the transformation process appears tinuing on this important aspect of soil behavior so that
thermally activated as a result of the increased tem- it will be possible to predict both the amount and the
perature at these depths. Chlorite can form in mud and rate of property changes for use in the analysis of geo-
shale during deep burial (Weaver and Pollard, 1973). technical problems. The aging process is of particular
30 2 SOIL FORMATION
interest in connection with hydraulic fills and ground shock. Cracks up to 2 ft wide, of unknown depth, and
improvement projects, more details are given in Chap- spaced several meters apart have caused damage to
ter 12. buildings and highways.
Leaching, Ion Exchange, and Differential Solution Biological Effects

Postdepositional changes in pore fluid chemistry can Biological activity affects soil particles by modifying
result from the percolation of different fluids through their arrangement, aggregating them, weathering min-
a deposit. This may change the forces between col- eral surfaces, mediating oxidation–reduction reactions,
loidal particles. For example, the uplift of marine clay contributing to precipitation and dissolution of miner-
above sea level followed by freshwater leaching can als, and degrading organic particles. The survival and
lead to both ion exchange and the removal of dissolved activity of microorganisms are controlled partly by
salts. This process is important in the formation of pore geometry and local physicochemical conditions.
highly sensitive, quick clays, as discussed in more de- Therefore, apart from its impact on life itself, biolog-
tail in Chapter 8. ical activity has influenced the evolution of the earth
Materials can be removed from sediments by differ- surface, impacted mineral, sediment, and rock forma-
ential solution and subsequent leaching. Calcareous tion, accelerated the rate of rock weathering and al-
and gypsiferous sediments are particularly susceptible tered its products, influenced the composition of
to solution, resulting in the formation of channels, sink groundwater, and participated in the formation of gas
holes, and cavities. and petroleum hydrocarbons.
Bioturbance refers to the action of organisms living
Jointing and Fissuring of Clay Soils on or in sediments. By organic cementation, they mod-
Some normally consolidated clays, almost all flood- ify grain size, density, or cohesion (Richardson et al.,
plain clays, and many preconsolidated clays are weak- 1985; Locat et al., 2003). The aggregation activity of
ened by joints and fissures. Joints in floodplain clays various worms densifies deposits by changing the grain
result from deposition followed by cyclic expansion size of the sediment. Tubes that form can provide local
and contraction from wetting and drying. Joints and drainage and decrease the bulk density. The active zone
fissures in preconsolidated clays result from unloading of bioturbance is usually to depths less than 30 cm.
or from shrinkage cracks during drying. Closely Sticky organic mucus or polymer bridging binds to-
spaced joints in these types of clays may contribute to gether clay–silt particles, producing clusters.
slides some years after excavation of cuts. The unload- Chemical transformation processes are mediated by
ing enables joints to open, water to enter, and the clay organisms. Some notable processes are summarized as
to soften. follows (Mitchell and Santamarina, 2005):
Fissures have been found in normally consolidated
clays at high water contents that could not have been 1. Sulfur Cycle Elemental sulfur (S0) and sulfides
caused by drying or unloading (Skempton and Northey, (S2⫺) are the stable forms of sulfur under anaer-
1952), and increased brittleness has been observed in obic conditions, whereas sulfates (SO42⫺) are the
soft clay chunks that have been stored for some time. stable forms of sulfur under aerobic conditions.
These effects may be caused by syneresis, which is the Sulfides form under anaerobic conditions from
mutual attraction of clay particles to form closely knit sulfates already present in seawater and sedi-
aggregates with fissures between them. Similar behav- ments or introduced by diffusion and ground-
ior is many times observed in gelatin after aging. water flow. The sulfate ion is not reduced to
Weathering and the release of potassium may also re- sulfide at Earth surface temperature and pressure
sult in fissuring. unless biologically mediated. Sulfate-reducing
Vegetation, especially large trees, can cause shrink- bacteria are anaerobic and grow best at neutral
age and fissuring of clays (Barber, 1958; Holtz, 1983). pH but are known to exist over a broad range of
The root systems suck up water, causing large capillary pH and salt content. When exposed to aerobic
shrinkage pressures. When rain falls on crusted surface conditions, reduced sulfur compounds, hydrogen
layers of dried-up saline lakes, it is rapidly absorbed sulfides (H2S), and elemental sulfur are used as
by capillarity. The air may become so compressed that an energy source by sulfide-oxidizing bacteria
it causes tension cracking or blowouts in a form similar and converted to sulfates.
in appearance to root holes. These sediments may also 2. Iron Cycle Iron in the subsurface exists pre-
undergo severe cracking, apparently as a result of dominantly in the reduced or ferrous (Fe2⫹) state
or the oxidized ferric (Fe3⫹) state. Several micro- century to close to 6 billion today. Human activities
organisms such as the genus Thiobacillus medi- are now at such a scale as to rival forces of nature in
ate the iron oxidation reaction. Chapelle (2001) their influence on soil changes. The activities include
notes that bacteria are able to derive only relative rapid changes in land use and the associated landforms,
little energy from oxidizing Fe2⫹; therefore, they soil erosion related to forest removal, and soil contam-
must process large amounts of Fe2⫹ and produce ination by urbanization, mining, and agricultural activ-
large amounts of Fe3⫹ to obtain sufficient energy ities. Ten to 15 percent of Earth’s land surface is
to sustain their growth. occupied by industrial areas and agriculture, and an-
other 6 to 8 percent is pasture land (Vitousek et al.,
One important consequence of the rapid oxidation
1997).
of iron sulfide in the presence of oxygen is the for-
Mine wastes are the largest waste volumes produced
mation of acid rock drainage. Although Fe(OH)3 has
by humankind. On October 21, 1966, 144 people, 116
low solubility, the formation of H2SO4 provides a
of them children, were killed when a tip of coal waste
source of important reactions in the solid and pore wa-
slid onto the village of Aberfan in South Wales, United
ter phases. The total dissolved solids increases owing
to the dissolution of carbonates in the soil. Gypsum Kingdom. The collapse was caused by tipping of coal
can form, with an associated volume increase, at the waste over a natural underground spring, and the coal
expense of carbonate minerals. The precipitated ferric slag slowly turned into a liquid slurry. The tragedy was
hydroxide is thermodynamically unstable and rapidly caused by two days of continual heavy rain loosening
transforms to yellow goethite, FeO–OH. Geothite, the coal slag. As a result of the disaster at Aberfan,
while stable under wet conditions, will slowly dehy- the Mines and Quarries Tips Act of 1969 was intro-
drate to red hematite, Fe2O3, under dry conditions. duced. This act was passed in order to prevent disused
Microorganisms have a limited effect on the for- tips from becoming a danger to members of the public.
mation of coarse grains. However, bioactivity can af- Over 8000 million tons of ore have been mined in
fect diagenetic evolution, promote the precipitation of the South African deep-level underground gold mining
cementing agents, cause internal weathering, and alter industry (Blight et al., 2000). Considerations for dis-
fines migration, filter performance, and drainage in posing these wastes into tailings ponds and dams in-
silts and sands. clude the physicochemical nature of the extracted
Severely water-limited environments distress micro- minerals as well as the topography and climate of the
organisms and hinder biological activity. Nonetheless, disposal sites. Tailings dams have failed, resulting in
there is great bacterial activity in the unsaturated or- destructive mudflows (Blight, 1997). One reported case
ganic surface layer of a soil where plant roots are was the failure of the Merriespruit ring-dyke gold tail-
found. Fierer et al. (2002) observed that bacterial ac- ings dam in South Africa in 1994, which killed 17
tivity decreases by 1 or 2 orders of magnitude by 2 m people in a village nearby. Overtopping of the tailings
of depth. Horn and Meike (1995) conclude that micro- dyke occurred after a significant rainfall event, and ap-
bial activity requires 60 to 80 percent saturation. proximately 500,000 m3 of tailings flowed through this
Hence, there is less reduction in bacterial count with breach. The liquefied tailings flowed for a distance of
depth in saturated sediments. Hindered biological ac- about 2 km. A large volume of tailings was in a me-
tivities in unsaturated soils may reflect lack of nutrients tastable state in situ, and overtopping and erosion of
in isolated water at menisci, slow nutrient flow in per- the impoundment wall exposed this material, resulting
colating water paths, and increased ionic concentration in static liquefaction of the tailings and a consequent
in the pore fluid as water evaporates and dissolved salts flow failure (Fourie et al., 2001).
approach ion saturation conditions. The urban underground in major cities is congested
The physical scales over which the physicochemical, by utility lines, tunnels, and building foundations.
bioorganic, and burial diagenetic processes act range Much may be more than 100 years old; for example,
from atomic dimensions to kilometers, and the time- more than 50 percent of the water supply pipes in Lon-
scales range from microseconds to years. Table 2.8 don were built using cast-iron during Victorian time.
summarizes the processes, fabric characteristics, and Aging infrastructure changes the in situ stress condi-
scales associated with different mechanisms. tion, as well as groundwater chemistry, and this can
lead to changes in the stress–strain–time behavior of
Human Effects the subsoil. Underground openings are sources or sinks
The global human population has grown from approx- of different environments; tunnels can act as a ground-
imately 600 million at the beginning of the eighteenth water drain as well as source for air into the ground.
32 2 SOIL FORMATION
Table 2.8 Summary of Processes and of the Fabric Signature and Temporal Scales Associated with Various
Mechanisms
Fabric
Signaturesa Physical
Processes Mechanisms (predominant) Scales Time Remarks
Physicochemical Electromechanical EF Atomic and s to ms Two particles may rotate
molecular to FF
⬃ 4 m
Thermomechanical FF Molecular to ms to min Initial contacts EF then
(some EF) 0.2 mm rotations to FF:
common in selective
environments
Interface dynamics FF and EF m to ⬃ 0.5 s Some large compound
mm particles may be
possible at high
concentrations
Bioorganic Biomechanical EF ⬃ 0.5 mm to s to min Some FF possible
⬎ 2.0 mm during bioturbation
Biophysical EE and FF m to mm s to min Some very large clay
organic complexes
possible
Biochemical Nonunique m to mm h to yr New chemicals formed,
(unknown) some altered
Burial Mass gravity FF localized cm to km yr Can operate over large
diagenesis swirl physical scales
Diagenesis- Nonunique Molecular yr New minerals formed,
cementation (unknown) some altered, changes
in morphology
a
EF, edge-to-face; EE, edge-to-edge; FF, face-to-face.
Adapted from Mitchell and Santamarina (2005) and Bennett et al. (1991).
Detailed studies of the geotechnical impacts of such to infer clay mineral types, to detect the presence of
problems have, so far, been limited (e.g., Gourvenec organic and high clay content layers, to locate borrow
et al., 2005), and further studies of the impacts of aging materials for construction, and to estimate the depth to
on existing infrastructure are needed. unaltered parent material. Pedological data can be used
to surmise compositions and soil physical properties.
Transported soils are sorted, abraded, and have par-
2.10 CONCLUDING COMMENTS ticle surface textures that reflect the transporting me-
dium. Conditions of sedimentation and the depositional
Knowledge of geologic and soil-forming processes environment influence the grain size, size distribution,
aids in anticipating and understanding the probable and grain arrangement. Thus, knowledge of the trans-
composition, structure, properties, and behavior of a portation and deposition history provides insight into
soil. Along with site investigation data, characteri- geotechnical engineering properties.
zation of the landforms, that is, understanding of the In short, the soil and its properties with which we
former and current geomorphological processes asso- deal today are a direct and predictable consequence of
ciated with the past and present climatic conditions, the parent material of many years ago and of all the
often helps to define ground conditions for designing things that have happened to it since. The better our
geotechnical structures and anticipating the long-term knowledge of what that parent material was and what
performance. For example, the knowledge can be used the intervening events have been, the better our ability
QUESTIONS AND PROBLEMS 33
to deal with the soil as an engineering material. Several 7. Compare and contrast soil-forming processes on
examples are given in this chapter and more are given Earth and on the Moon in terms of the composition
in Chapter 8. and engineering properties of the soils. Explain
similarities and differences. What is the relative im-
portance of physical, chemical, and biological soil-
forming processes on the Moon and on Earth?
QUESTIONS AND PROBLEMS Why?
1. At what depth below the ground surface does quartz 8. Considering rock and mineral stability, the types
start to crystallize? and characteristics of weathering processes, and the
impacts of weathering on properties, what types of
2. What are some likely consequences of the different
earth materials would you consider most suitable
physical and chemical weathering processes on the
for use as chemical, radioactive, and mixed (chem-
mechanical and flow properties of the rocks and
ical and radioactive) waste containment barriers?
soils on which they act?
Why?
3. Describe the chemical reactions of pyrite oxidation
9. Prepare diagrams showing your estimates as a func-
and explain how bacteria can mediate the chemical
tion of elevation of the following soil characteristics
processes.
that you would expect to encounter between the
4. Discuss what types of clay minerals are likely to be bottom and the top of Mount Kilimanjaro in Tan-
produced under each morphoclimatic zone listed in zania. Give a brief explanation for each.
Table 2.3. a. Soil plasticity
5. Using Stokes’s law, derive the sedimentation speeds b. Soil gradation and mean particle size
of spherical particles with different sizes in fresh- c. Angularity–roundness of sand and gravel parti-
water under hydrostatic condition. Would they cles
change in saltwater? Compare the results to the data d. Iron content
given in Fig. 2.9 and discuss the comparison. e. Cementation between particles
6. List and discuss human activities that may poten- f. Organic matter content
tially change the properties of soils. g. Water content
CHAPTER 3
Soil Mineralogy
3.1 IMPORTANCE OF SOIL MINERALOGY IN naked eye. Clay can refer both to a size and to a class
GEOTECHNICAL ENGINEERING of minerals. As a size term, it refers to all constituents
of a soil smaller than a particular size, usually 0.002
Soil is composed of solid particles, liquid, and gas and mm (2 m) in engineering classifications. As a mineral
ranges from very soft, organic deposits through less term, it refers to specific clay minerals that are distin-
compressible clays and sands to soft rock. The solid guished by (1) small particle size, (2) a net negative
particles vary in size from large boulders to minute electrical charge, (3) plasticity when mixed with water,
particles that are visible only with the aid of the elec- and (4) high weathering resistance. Clay minerals are
tron microscope. Particle shapes range from nearly primarily hydrous aluminum silicates. Not all clay par-
spherical, bulky grains to thin, flat plates and long, ticles are smaller than 2 m, and not all nonclay par-
slender needles. Some organic material and noncrys- ticles are coarser than 2 m; however, the amount of
talline inorganic components are found in most natural clay mineral in a soil is often closely approximated by
fine-grained soils. A soil may contain virtually any el- the amount of material finer than 2 m. Thus, it is
ement contained in Earth’s crust; however, by far the useful to use the terms clay size and clay mineral con-
most abundant are oxygen, silicon, hydrogen, and alu- tent to avoid confusion. A further important difference
minum. These elements, along with calcium, sodium, between clay and nonclay minerals is that the nonclays
potassium, magnesium, and carbon, comprise over 99 are composed primarily of bulky particles; whereas,
percent of the solid mass of soils worldwide. Atoms the particles of most of the clay minerals are platy, and
of these elements are organized into various crystalline in a few cases they are needle shaped or tubular.
forms to yield the common minerals found in soil. The great range in soil particle sizes in relation to
Crystalline minerals comprise the greatest proportion other particulate materials, electromagnetic wave
of most soils encountered in engineering practice, and lengths, and other size-dependent factors can be seen
the amount of nonclay material usually exceeds the in Fig. 3.2. The liquid phase of most soil systems is
amount of clay. Nonetheless, clay and organic matter composed of water containing various types and
in a soil usually influence properties in a manner far amounts of dissolved electrolytes. Organic compounds,
greater than their abundance. both soluble and immiscible, are found in soils at sites
Mineralogy is the primary factor controlling the size,
shape, and properties of soil particles. These same fac-
tors determine the possible ranges of physical and
chemical properties of any given soil; therefore, a
priori knowledge of what minerals are in a soil pro-
vides intuitive insight as to its behavior. Commonly
defined particle size ranges are shown in Fig. 3.1. The
divisions between gravel, sand, silt, and clay sizes are
arbitrary but convenient. Particles smaller than about
200 mesh sieve size (0.074 mm), which is the bound-
ary between sand and silt sizes, cannot be seen by the Figure 3.1 Particle size ranges in soils.
35
36
Figure 3.2 Characteristics of particles and particle dispersoids (adapted from Stanford Re-
search Institute Journal, Third Quarter, 1961).
37
38 3 SOIL MINERALOGY
that have been affected by chemical spills, leaking tronic energy can jump to a higher level by the ab-
wastes, and contaminated groundwater. The gas phase, sorption of radiant energy or drop to a lower level by
in partially saturated soils, is usually air, although or- the emission of radiant energy. No more than two elec-
ganic gases may be present in zones of high biological trons in an atom can have the same energy level, and
activity or in chemically contaminated soils. the spins of these two electrons must be in opposite
The mechanical properties of soils depend directly directions. Different bonding characteristics for differ-
on interactions of these phases with each other and ent elements exist because of the combined effects of
with applied potentials (e.g., stress, hydraulic head, electronic energy quantization and the limitation on the
electrical potential, and temperature). Because of these number of electrons at each energy level.
interactions, we cannot understand soil behavior in An atom may be represented in simplified form by
terms of the solid particles alone. Nonetheless, the a small nucleus surrounded by diffuse concentric
structure of these particles tells us a great deal about ‘‘clouds’’ of electrons (Fig. 3.3). The maximum num-
their surface characteristics and their potential inter- ber of electrons that may be located in each diffuse
actions with adjacent phases. shell is determined by quantum theory. The number
Interatomic and intermolecular bonding forces hold and arrangement of electrons in the outermost shell are
matter together. Unbalanced forces exist at phase of prime importance for the development of different
boundaries. The nature and magnitude of these forces types of interatomic bonding and crystal structure.
influence the formation of soil minerals, the structure, Interatomic bonds form when electrons in adjacent
size, and shape of soil particles, and the physicochem- atoms interact in such a way that their energy levels
ical phenomena that determine engineering properties are lowered. If the energy reduction is large, then a
and behavior. In this chapter some aspects of atomic strong, primary bond develops. The way in which the
and intermolecular forces, crystal structure, structure bonding electrons are localized in space determines
stability, and characteristics of surfaces that are perti- whether or not the bonds are directional. The strength
nent to the understanding of soil behavior are sum- and directionality of interatomic bonds, together with
marized simply and briefly. This is followed by a the relative sizes of the bonded atoms, determine the
somewhat more detailed treatment of soil minerals and type of crystal structure assumed by a given compo-
their characteristics. sition.
3.2 ATOMIC STRUCTURE 3.3 INTERATOMIC BONDING
Current concepts of atomic structure and interparticle Primary Bonds

bonding forces are based on quantum mechanics. An Only the outer shell or valence electrons participate in
electron can have only certain values of energy. Elec- the formation of primary interatomic bonds. There are
Figure 3.3 Simplified representation of an atom.

SECONDARY BONDS 39
three limiting types: covalent, ionic, and metallic. They terms of the dipole moment . If two electrical charges
differ because of how the bonding electrons are local- of magnitude e, where e is the electronic charge,
ized in space. The energy of these bonds per mole of are separated by a distance d, then
bonded atoms is from 60 ⫻ 103 to more than 400 ⫻
103 joules (J; 15 to 100 kcal). As there are 6.023 ⫻ ⫽ d e (3.1)
1023 molecules per mole, it might be argued that such
bonds are weak; however, relative to the weight of an Covalently bonded atoms may also produce dipolar
atom they are very large. molecules.
Covalent Bonds In the covalent bond, one or more Metallic Bonds Metals contain loosely held val-
bonding electrons are shared by two atomic nuclei to ence electrons that hold the positive metal ions to-
complete the outer shell for each atom. Covalent bonds gether but are free to travel through the solid material.
are common in gases. If outer shell electrons are rep- Metallic bonds are nondirectional and can exist only
resented by dots, then examples for (1) hydrogen gas, among a large group of atoms. It is the large group of
(2) methane, and (3) chlorine gas are: electrons and their freedom to move that make metals
such good conductors of electricity and heat. The me-
1. H ⫹ H ⫽ H:H tallic bond is of little importance in most soils.

H
2. C ⫹ 4H ⫽ H:C:H
Bonding in Soil Minerals

H
A combination of ionic and covalent bonding is typical
⫹ Cl:
3. :Cl ⫽ :Cl:Cl:
in most nonmetallic solids. Purely ionic or covalent
bonding is a limiting condition that is the exception
In the solid state, covalent bonds form primarily be- rather than the rule in most cases. Silicate minerals are
tween nonmetallic atoms such as oxygen, chlorine, the most abundant constituents of most soils. The in-
nitrogen, and fluorine. Since only certain electrons teratomic bond in silica (SiO2) is about half covalent
participate in the bonding, covalent bonds are direc- and half ionic.
tional. As a result, atoms bonded covalently pack in
such a way that there are fixed bond angles.
Ionic Bonds Ionic bonds form between positively 3.4 SECONDARY BONDS
and negatively charged free ions that acquire their
charge through gain or loss of electrons. Cations (pos- Secondary bonds that are weak relative to ionic and
itively charged atoms that are attracted by the cathode covalent bonds also form between units of matter. They
in an electric field) form by atoms giving up one or may be strong enough to determine the final arrange-
more loosely held electrons that lie outside a comments of atoms in solids, and they may be sources of
pleted electron shell and have a high energy level. Met- attraction between very small particles and between
als, alkalies (e.g., sodium, potassium), and alkaline liquids and solid particles.
earths (e.g., calcium, magnesium) form cations. Anions
(negatively charged atoms that are attracted to the an- The Hydrogen Bond
ode) are those atoms requiring only a few electrons to If a hydrogen ion forms the positive end of a dipole,
complete their outer shell. Because the outer shells of then its attraction to the negative end of an adjacent
ions are complete, structures cannot form by electron molecule is termed a hydrogen bond. Hydrogen bonds
sharing as in the case of the covalent bond. Since ions form only between strongly electronegative atoms such
are electrically charged, however, strong electrical at- as oxygen and fluorine because these atoms produce
tractions (and repulsions) can develop between them. the strongest dipoles. When the electron is detached
The ionic bond is nondirectional. Each cation at- from a hydrogen atom, such as when it combines with
tracts all neighboring anions. In sodium chloride, oxygen to form water, only a proton remains. As the
which is one of the best examples of ionic bonding, a electrons shared between the oxygen and hydrogen at-
sodium cation attracts as many chlorine anions as will oms spend most of their time between the atoms, the
fit around it. Geometric considerations and electrical oxygens act as the negative ends of dipoles, and the
neutrality determine the actual arrangement of ioni- hydrogen protons act as the positive ends. The positive
cally bonded atoms. and negative ends of adjacent water molecules tie them
As ionic bonding causes a separation between the together forming water and ice.
centers of positive and negative charge in a molecule, The strength of the hydrogen bond is much greater
the molecule will orient in an electrical field forming than that of other secondary bonds because of the small
a dipole. The strength of this dipole is expressed in size of the hydrogen ion. Hydrogen bonds are impor-
tant in determining some of the characteristics of the Examples of some common crystals are shown in
clay minerals and in the interaction between soil par- Fig. 3.4.
ticle surfaces and water.
Characteristics of Crystals
van der Waals Bonds Certain crystal characteristics are used to distinguish
different classes or groups of minerals. Variations in
Permanent dipole bonds such as the hydrogen bond are these characteristics result in different properties.
directional. Fluctuating dipole bonds, commonly
termed van der Waals bonds, also exist because at any 1. Structure The atoms in a crystal are arranged
one time there may be more electrons on one side of in a definite orderly manner to form a three-
the atomic nucleus than on the other. This creates weak dimensional network termed a lattice. Positions
instantaneous dipoles whose oppositely charged ends within the lattice where atoms or atomic groups
attract each other.
Although individual van der Waals bonds are weak,
typically an order of magnitude weaker than a hydro-
gen bond, they are nondirectional and additive between
atoms. Consequently, they decrease less rapidly with
distance than primary valence and hydrogen bonds
when there are large groups of atoms. They are strong
enough to determine the final arrangements of groups
of atoms in some solids (e.g., many polymers), and
they may be responsible for small cohesions in fine-
grained soils. Van der Waals forces are described fur-
ther in Chapter 7.
3.5 CRYSTALS AND THEIR PROPERTIES
Particles composed of mineral crystals form the

greatest proportion of the solid phase of a soil. A crys-
tal is a homogeneous body bounded by smooth plane
surfaces that are the external expression of an orderly
internal atomic arrangement. A solid without internal
atomic order is termed amorphous.
Crystal Formation
Crystals may form in three ways:
1. From Solution Ions combine as they separate

from solution and gradually build up a solid of
definite structure and shape. Halite (sodium chlo-
ride) and other evaporites are examples.
2. By Fusion Crystals form directly from a liquid
as a result of cooling. Examples are igneous rock
minerals solidified from molten rock magma and
ice from water. Figure 3.4 Examples of some common crystals. (hkl) are
3. From Vapor Although not of particular impor- cleavage plane indices. From Dana’s Manual of Mineralogy,
tance in the formation of soil minerals, crystals by C. S. Hurlbut, 16th Edition. Copyright 1957 by John
can form directly from cooling vapors. Examples Wiley & Sons. Reprinted with permission from John Wiley
include snowflakes and flowers of sulfur. & Sons.
CRYSTALS AND THEIR PROPERTIES 41
are located are termed lattice points. Only 14 dif- cell. The unit cell is the basic repeating unit of
ferent arrangements of lattice points in space are the space lattice.
possible. These are the Bravais space lattices, 2. Cleavage and Outward Form The angles be-
and they are illustrated in Fig. 3.5. tween corresponding faces on crystals of the
The smallest subdivision of a crystal that still same substance are constant. Crystals break
possesses the characteristic composition and spa- along smooth cleavage planes. Cleavage planes
tial arrangement of atoms in the crystal is the unit lie between planes in which the atoms are most
Figure 3.5 Unit cells of the 14 Bravais space lattices. The capital letters refer to the type
of cell: P, primitive cell; C, cell with a lattice point in the center of two parallel faces; F,
cell with a lattice point in the center of each face; I, cell with a lattice point in the center
of the interior; R, rhombohedral primitive cell. All points indicated are lattice points. There
is no general agreement on the unit cell to use for the hexagonal Bravais lattice; some prefer
the P cell shown with solid lines, and others prefer the C cell shown in dashed lines (modified
from Moffatt et al., 1965).
densely packed. This is because the center-to-

center distance between atoms on opposite sides
of the plane is greater than along other planes
through the crystal. As a result, the strength along
cleavage planes is less than in other directions.
3. Optical Properties The specific atomic arrange-
ments within crystals allow light diffraction and
polarization. These properties are useful for iden-
tification and classification. Identification of rock
minerals by optical means is common. Optical
studies in soil are less useful because of the small
sizes of most soil particles.
4. X-ray and Electron Diffraction The orderly
atomic arrangements in crystals cause them to
behave with respect to X-ray and electron beams
in much the same way as does a diffraction grat-
ing with respect to visible light. Different crystals
yield different diffraction patterns. This makes X-
ray diffraction a powerful tool for the study and
identification of very small particles, such as clay
that cannot be seen using optical means.
5. Symmetry There are 32 distinct crystal classes
based on symmetry considerations involving the
arrangement and orientation of crystal faces.
These 32 classes may be grouped into 6 crystal
systems with the classes within each system bear-
ing close relationships to each other.
Figure 3.6 The six crystal systems.
The six crystal systems are illustrated in Fig. 3.6.
Crystallographic axes parallel to the intersection edges
of prominent crystal faces are established for each of
the six crystal systems. In most crystals, these axes will Monoclinic System There are three unequal axes,
also be symmetry axes or axes normal to symmetry two inclined to each other at an oblique angle,
planes. In five of the six systems, the crystals are re- with the third perpendicular to the other two. Ex-
ferred to three crystallographic axes. In the sixth (the amples are orthoclase feldspar, gypsum, musco-
hexagonal system), four axes are used. The axes are vite, biotite, gibbsite, and chlorite.
denoted by a, b, c (a1, a2, a3, and c in the hexagonal Triclinic System Three unequal axes intersect at
system) and the angles between the axes by , , oblique angles. Examples are plagioclase feldspar,
and . kaolinite, albite, microcline, and turquoise.
Isometric or Cubic System There are three mutu-

ally perpendicular axes of equal length. Mineral 3.6 CRYSTAL NOTATION
examples are galena, halite, magnetite, and pyrite.
Hexagonal System Three equal horizontal axes ly- Miller indices are used to describe plane orientations
ing in the same plane intersect at 60 with a fourth and directions in a crystal. This information, along
axis perpendicular to the other three and of dif- with the distances that separate parallel planes is im-
ferent length. Examples are quartz, brucite, cal- portant for the identification and classification of dif-
cite, and beryl. ferent minerals. All lengths are expressed in terms of
Tetragonal System There are three mutually per- unit cell lengths. Any plane through a crystal may be
pendicular axes, with two horizontal of equal described by intercepts, in terms of unit cell lengths,
length, but different than that of the vertical axis. on the three or four crystallographic axes for the sys-
Zircon is an example. tem in which the crystal falls. The reciprocals of these
Orthorhombic System There are three mutually intercepts are used to index the plane. Reciprocals are
perpendicular axes, each of different length. Ex- used to avoid fractions and to account for planes par-
amples include sulfur, anhydrite, barite, diaspore, allel to an axis (an intercept of infinity equals an index
and topaz. value of 0).
CRYSTAL NOTATION 43
An example illustrates the determination and mean- lengths. Take plane mnp in Fig. 3.7a as an example.
ing of Miller indices. Consider the mineral muscovite, The intercepts of this plane are a ⫽ 1, b ⫽ 1, and
a member of the monoclinic system. It has unit cell c ⫽ 1. The Miller indices of this plane are found by
dimensions of a ⫽ 0.52 nanometers (nm), b ⫽ 0.90 taking the reciprocals of these intercepts and clearing
nm, c ⫽ 2.0 nm, and ⫽ 95 30. Both the compo- of fractions. Thus,
sition and crystal structure of muscovite are similar to
Reciprocals are 1/1, 1/1, 1/1
those of some of the important clay minerals.
Miller indices are (111)
The muscovite unit cell dimensions and intercepts
are shown in Fig. 3.7a. The intercepts for any plane of The indices are always enclosed within parentheses
interest are first determined in terms of unit cell and indicated in the order abc without commas. Paren-
Figure 3.7 Miller indices: (a) Unit cell of muscovite, (b) (002) plane for muscovite, (c)
(014) plane for muscovite, and (d) (623) plane for muscovite.
theses are always used to indicate crystallographic Table 3.1 Atomic Packing, Structure, and Structural
planes, whereas brackets are used to indicate direc- Stability
tions. For example, [111] designates line oq in Fig.
3.7a. Additional examples of Miller indices for planes Radius
through the muscovite crystal are shown in Figs. 3.7b, Ratioa Nb Geometry Example Stability
3.7c, and 3.7d. A plane that cuts a negative axis is
designated by placing a bar over the index that pertains 0–0.155 2 Line — —
to the negative intercept (Fig. 3.7d). The general index 0.155– 3 Triangle (CO3)2⫺ Very high
(hkl) is used to refer to any plane that cuts all three 0.225
axes. Similarly (h00) designates a plane cutting only 0.225– 4 Tetrahedron (SiO4)4⫺ Moderately
the a axis, (h0l) designates a plane parallel to the b 0.414 high
axis, and so on. For crystals in the hexagonal system, 0.414– 6 Octahedron [Al(OH)6]3⫺ High
the Miller index contains four numbers. The (001) 0.732
planes of soil minerals are of particular interest be- 0.732– 8 Body-cen- Iron Low
cause they are indicative of specific clay mineral types. 1.0 tered cube
1.0 12 Sheet K–O bond Very low
in mica
3.7 FACTORS CONTROLLING CRYSTAL a
Range of cation to anion diameter ratios over which
STRUCTURES stable coordination is expected.
b
Coordination number.
Organized crystal structures do not develop by chance.
The most stable arrangement of atoms in a crystal is
that which minimizes the energy per unit volume. This
is achieved by preserving electrical neutrality, satisfy- Table 3.2 Relative Stabilities of Some Soil Mineral
ing bond directionality, minimizing strong ion repul- Structural Units
sions, and packing atoms closely together.
If the interatomic bonding is nondirectional, then the Approximate
relative atomic sizes have a controlling influence on Relative Bond
packing. The closest possible packing will maximize Strength
the number of bonds per unit volume and minimize the Structural Unit (Valence/N)
bonding energy. If interatomic bonds are directional,
as is the case for covalent bonds, then both bond angles Silicon tetrahedron, (SiO4)4⫺ 4/4 ⫽ 1
and atomic size are important. Aluminum tetrahedron, [Al(OH)4]1⫺ 3/4
Anions are usually larger than cations because of Aluminum octahedron, [Al(OH)6]3⫺ 3/6 ⫽ 1/2
electron transfer from cations to anions. The number Magnesium octahedron, [Mg(OH)6]4⫺ 2/6 ⫽ 1/3
of nearest neighbor anions that a cation possesses in a K–O12⫺23 1/12
structure is termed the coordination number (N) or li-
gancy. Possible values of coordination number in solid
structures are 1 (trivial), 2, 3, 4, 6, 8, and 12. The
relationships between atomic sizes, expressed as the The basic coordination polyhedra are seldom elec-
ratio of cationic to anionic radii, coordination number, trically neutral. In crystals formed by ionic bonded pol-
and the geometry formed by the anions are indicated yhedra, the packing maintains electrical neutrality and
in Table 3.1. minimizes strong repulsions between ions with like
Most solids do not have bonds that are completely charge. In such cases, the valence of the central cation
nondirectional, and the second nearest neighbors may equals the total charge of the coordinated anions, and
influence packing as well as the nearest neighbors. the unit is really a molecule. Units of this type are held
Even so, the predicted and observed coordination num- together by weaker, secondary bonds. An example is
bers are in quite good agreement for many materials. brucite, a mineral that has the composition Mg(OH)2.
The valence of the cation divided by the number of The Mg2⫹ ions are in octahedral coordination with six
coordinated anions is an approximate indication of the (OH)⫺ ions forming a sheet structure in such a way
relative bond strength, which, in turn, is related to the that each (OH)⫺ is shared by 3Mg2⫹. In a sheet con-
structural stability of the unit. Some of the structural taining N Mg2⫹ ions, therefore, there must be 6N/3 ⫽
units common in soil minerals and their relative bond 2N (OH)⫺ ions. Thus, electrical neutrality results, and
strengths are listed in Table 3.2. the sheet is in reality a large molecule. Successive oc-
SURFACES 45
tahedral sheets are loosely bonded by van der Waals contain (SiO3)2⫺. The pyroxene minerals are in this
forces. Because of this, brucite has perfect basal cleav- class. Enstatite, MgSiO3, is a simple member of this
age parallel to the sheets. group. Some of the positions normally occupied by
Cations concentrate their charge in a smaller volume Si4⫹ in single-chain structures may be filled by Al3⫹.
than do anions, so the repulsion between cations is Substitution of ions of one kind by ions of another
greater than between anions. Cationic repulsions are type, having either the same or different valence, but
minimized when the anions are located at the centers the same crystal structure, is termed isomorphous sub-
of coordination polyhedra. If the cations have a low stitution. The term substitution implies a replacement
valence, then the anion polyhedra pack as closely as whereby a cation in the structure is replaced at some
possible to minimize energy per unit volume. If, on the time by a cation of another type. In reality, however,
other hand, the cations are small and highly charged, the replaced cations were never there, and the mineral
then the units arrange in a variety of ways in response was formed with its present proportions of the different
to the repulsions. The silicon cation is in this category. cations in the structure.
Double chains of indefinite length may form with
(Si4O11)6⫺ as part of the structure. The amphiboles fall
3.8 SILICATE CRYSTALS into this group (Fig. 3.8). Hornblendes have the same
basic structure, but some of the Si4⫹ positions are filled
Small cations form structures with coordination num- by Al3⫹. The cations Na⫹ and K⫹ can be incorporated
bers of 3 and 4 (Table 3.1). These cations are often into the structure to satisfy electrical neutrality; Al3⫹,
highly charged and generate strong repulsions between Fe3⫹, Fe2⫹, and Mn2⫹ can replace part of the Mg2⫹ in
adjacent triangles or tetrahedra. As a result, such struc- sixfold coordination, and the (OH)⫺ group can be re-
tures share only corners and possibly edges, but never placed by F⫺.
faces, since to do so would bring the cations too close In sheet silicates three of the four oxygens of each
together. The radius of silicon is only 0.039 nm, tetrahedron are shared to give structures containing
whereas that of oxygen is 0.132 nm. Thus silicon and (Si2O5)2⫺. The micas, chlorites, and many of the clay
oxygen combine in tetrahedral coordination, with the minerals contain silica in a sheet structure. Framework
silicon occupying the space at the center of the tetra- silicates result when all four of the oxygens are shared
hedron formed by the four oxygens. The tetrahedral with other tetrahedra. The most common example is
arrangement satisfies both the directionality of the quartz. In quartz, the silica tetrahedra are grouped to
bonds (the Si–O bond is about half covalent and half form spirals. The feldspars also have three-dimensional
ionic) and the geometry imposed by the radius ratio. framework structures. Some of the silicon positions are
Silicon is very abundant in Earth’s crust, amounting to filled by aluminum, and the excess negative charge
about 25 percent by weight, but only 0.8 percent by thus created is balanced by cations of high coordina-
volume. Almost half of igneous rock by weight and tion such as potassium, calcium, sodium, and barium.
91.8 percent by volume is oxygen. Differences in the amounts of this isomorphous sub-
Silica tetrahedra join only at their corners, and stitution are responsible for the different members of
sometimes not at all. Thus many crystal structures are the feldspar family.
possible, and there is a large number of silicate min-
erals. Silicate minerals are classified according to how
the silica tetrahedra (SiO4)4⫺ associate with each other, 3.9 SURFACES
as shown in Fig. 3.8. The tetrahedral combinations in-
crease in complexity from the beginning to the end of All liquids and solids terminate at a surface, or phase
the figure. The structural stability increases in the same boundary, on the other side of which is matter of a
direction. different composition or state. In solids, atoms are
Island (independent) silicates are those in which the bonded into a three-dimensional structure, and the ter-
tetrahedra are not joined to each other. Instead, the four mination of this structure at a surface, or phase bound-
excess oxygen electrons are bonded to other positive ary, produces unsatisfied force fields. In a fine-grained
ions in the crystal structure. In the olivine group, the particulate material such as clay soil the surface area
minerals have the composition R22⫹ SiO44⫺. Garnets may be very large relative to the mass of the material,
contain cations of different valences and coordination and, as is emphasized throughout this book, the influ-
numbers R32⫹ R23⫹(SiO4)3. The negative charge of the ences of the surface forces on properties and behavior
SiO4 group in zircon is all balanced by the single Zr4⫹. may be very large.
Ring and chain silicates are formed when corners of Unsatisfied forces at solid surfaces may be balanced
tetrahedra are shared. The formulas for these structures in any of the following ways:
Figure 3.8 Silica tetrahedral arrangements in different silicate mineral structures. Reprinted
Gillott (1968) with permission from Elsevier Science Publishers BV.
SURFACES 47
1. Attraction and adsorption of molecules from the Each unsatisfied bond force is significant relative to
adjacent phase the weight of atoms and molecules. The actual mag-
2. Cohesion with the surface of another mass of the nitude of 10⫺11 N or less, however, is infinitesimal
same substance compared to the weight of a piece of gravel or a grain
3. Solid-state adjustments of the structure beneath of sand. On the other hand, consider the effect of re-
the surface. ducing particle size. A cube 10 mm on an edge has a
surface area of 6.0 ⫻ 10⫺4 m2. If it is cut in half in 1. Very abundant in the source material
the three directions, eight cubes result, each 5 mm on 2. Highly resistant to weathering, abrasion, and im-
an edge. The surface area now is 12.0 ⫻ 10⫺4 m2. If pact
the cubes are further divided to 1 m on an edge, the 3. Weathering products
surface becomes 6.0 m2 for the same 1000 mm3 of
material. Thus, as a solid is subdivided into smaller The nonclays are predominantly rock fragments or
and smaller units, the proportion of surface area to mineral grains of the common rock-forming minerals.
weight becomes larger and larger. For a given particle In igneous rocks, which are the original source mate-
shape, the ratio of surface area to volume is inversely rial for many soils, the most prevalent minerals are the
proportional to some effective particle diameter. feldspars (about 60 percent) and the pyroxenes and
For many materials when particle size is reduced to amphiboles (about 17 percent). Quartz accounts for
1 or 2 m or less the surface forces begin to exert a about 12 percent of these rocks, micas for 4 percent,
distinct influence on the behavior. Study of the behav- and other minerals for about 8 percent.
ior of particles of this size and less requires consider- However, in most soils, quartz is by far the most
ations of colloidal and surface chemistry. Most clay abundant mineral, with small amounts of feldspar and
particles behave as colloids, both because of their mica also present. Pyroxenes and amphiboles are sel-
small size and because they have unbalanced surface dom found in significant amounts. Carbonate minerals,
electrical forces as a result of isomorphous substitu- mainly calcite and dolomite, are also found in some
tions within their structure. soils and can occur as bulky particles, shells, precipi-
Montmorillonite, which is one of the members of tates, or in solution. Carbonates dominate the compo-
the smectite clay mineral group (see Section 3.17), sition of some deep-sea sediments. Sulfates, in various
may break down into particles that are only 1 unit cell forms, are found primarily in soils of semiarid and arid
thick (1.0 nm) when in a dispersed state and have a regions, with gypsum (CaSO4 2H2O) being the most
specific surface area of 800 m2 /g. If all particles con- common. Iron and aluminum oxides are abundant in
tained in about 10 g of this clay could be spread out residual soils of tropical regions.
side by side, they would cover a football field. Quartz is composed of silica tetrahedra grouped to
form spirals, with all tetrahedral oxygens bonded to
silicon. The tetrahedral structure has a high stability.
In addition, the spiral grouping of tetrahedra produces
3.10 GRAVEL, SAND, AND SILT PARTICLES a structure without cleavage planes, quartz is already
an oxide, there are no weakly bonded ions in the struc-
The physical characteristics of cohesionless soils, that ture, and the mineral has high hardness. Collectively,
is, gravel, sand, and nonplastic silts, are determined these factors account for the high persistence of quartz
primarily by particle size, shape, surface texture, and in soils.
size distribution. The mineral composition determines Feldspars are silicate minerals with a three-
hardness, cleavage, and resistance to physical and dimensional framework structure in which part of the
chemical breakdown. Some carbonate and sulfate min- silicon is replaced by aluminum. The excess negative
erals, such as calcite and gypsum, are sufficiently sol- charge resulting from this replacement is balanced by
uble that their decomposition may be significant within cations such as potassium, calcium, sodium, strontium,
the time frame of many projects. In many cases, how- and barium. As these cations are relatively large, their
ever, the nonclay particles may be treated as relatively coordination number is also large. This results in an
inert, with interactions that are predominantly physical open structure with low bond strengths between units.
in nature. Evidence of this is provided by the soils on Consequently, there are cleavage planes, the hardness
the Moon. Lunar soils have a silty, fine sand gradation; is only moderate, and feldspars are relatively easily
however, their compositions are totally different than broken down. This accounts for their lack of abun-
those of terrestrial soils of the same gradation. The dance in soils compared to their abundance in igneous
engineering properties of the two materials are sur- rocks.
prisingly similar, however. Mica has a sheet structure composed of tetrahedral
The gravel, sand, and most of the silt fraction in a and octahedral units. Sheets are stacked one on the
soil are composed of bulky, nonclay particles. As most other and held together primarily by potassium ions in
soils are the products of the breakdown of preexisting 12-fold coordination that provide an electrostatic bond
rocks and soils, they are weathering products. Thus, of moderate strength. In comparison with the intralayer
the predominant mineral constituents of any soil are bonds, however, this bond is weak, which accounts for
those that are one or more of the following: the perfect basal cleavage of mica. As a result of the
STRUCTURAL UNITS OF THE LAYER SILICATES 49
thin-plate morphology of mica flakes, sand and silts posits. In some areas alternating layers of evaporite and
containing only a few percent mica may exhibit high clay or other fine-grained sediments are formed during
compressibility when loaded and large swelling when cyclic wet and dry periods.
unloaded, as may be seen in Fig. 3.9. The amphiboles, Many limestones, as well as coral, have been formed
pyroxenes, and olivine have crystal structures that are by precipitation or from the remains of various organ-
rapidly broken down by weathering; hence they are isms. Because of the much greater solubility of lime-
absent from most soils. stone than most other rock types, it may be the source
Some examples of silt and sand particles from dif- of special problems caused by solution channels and
ferent soils are shown in Fig. 3.10. Angularity and cavities under foundations.
roundness can be used to describe particle shapes, as Chemical sediments and rocks in freshwater lakes,
shown in Fig. 3.11. Elongated and platy particles can ponds, swamps, and bays are occasionally encountered
develop preferred orientations, which can be respon- in civil engineering projects. Biochemical processes
sible for anisotropic properties within a soil mass. The form marl, which ranges from relatively pure calcium
surface texture of the grains influences the stress– carbonate to mixtures with mud and organic matter.
deformation and strength properties. Iron oxide is formed in some lakes. Diatomite or dia-
tomaceous earth is essentially pure silica formed from
the skeletal remains of small (up to a few tenths of a
millimeter) freshwater and saltwater organisms. Owing
3.11 SOIL MINERALS AND MATERIALS to their solubility limestone, calcite, gypsum, and other
FORMED BY BIOGENIC AND GEOCHEMICAL salts may cause special geotechnical problems.
PROCESSES Oxidation and reduction of pyrite-bearing earth ma-
terials, that is, soils and rocks containing FeS2, can be
Evaporite deposits formed by precipitation of salts the source of many types of geotechnical problems,
from salt lakes and seas as a result of the evaporation including ground heave, high swell pressures, forma-
of water are sometimes found in layers that are several tion of acid drainage, damage to concrete, and corro-
meters thick. The major constituents of seawater and sion of steel (Bryant et al., 2003). The chemical and
their relative proportions are listed in Table 3.3. Also biological processes and consequences of pyritic re-
listed are some of the more important evaporite de- actions are covered in Sections 8.3, 8.11, and 8.16.
More than 12 percent of Canada is covered by a
peaty material, termed muskeg, composed almost en-
tirely of decaying vegetation. Peat and muskeg may
have water contents of 1000 percent or more; they are
very compressible, and they have low strength. The
special properties of these materials and methods for
analysis of geotechnical problems associated with
them are given by MacFarlane (1969), Dhowian and
Edil (1980), and Edil and Mochtar (1984).
3.12 SUMMARY OF NONCLAY MINERAL

CHARACTERISTICS
Important compositional, structural, and morphological
characteristics of the important nonclay minerals found
in soils are summarized in Table 3.4. Of these miner-
als, quartz is by far the most common, both in terms
of the number of soils in which it is found and its
abundance in a typical soil. Feldspar and mica are fre-
quently present in small percentages.
3.13 STRUCTURAL UNITS OF THE LAYER

SILICATES
Figure 3.9 Swelling index as a function of mica content for Clay minerals in soils belong to the mineral family
coarse-grained mixtures (data from Terzaghi, 1931). termed phyllosilicates, which also contains other layer
Figure 3.10 Photomicrographs of sand and silt particles from several soils: (a) Ottawa stan-
dard sand, (b) Monterey sand, (c) Sacramento River sand, (d) Eliot sand, and (e) lunar soil
mineral grains (photo courtesy Johnson Space Center). Squares in background area are 1⫻1
mm. (ƒ) Recrystallized breccia particles from lunar soil (photo courtesy of NASA Johnson
Space Center). Squares in background grid are 1⫻1 mm.
silicates such as serpentine, pyrophyllite, talc, mica, units and the manner in which two successive two- or
and chlorite. Clay minerals occur in small particle three-sheet layers are held together.
sizes, and their unit cells ordinarily have a residual Differences among minerals within clay mineral
negative charge that is balanced by the adsorption of groups result primarily from differences in the type and
cations from solution. amount of isomorphous substitution within the crystal
The structures of the common layer silicates are structure. Possible substitutions are nearly endless in
made up of combinations of two simple structural number, and the crystal structure arrangement may
units, the silicon tetrahedron (Fig. 3.12) and the alu- range from very poor to nearly perfect. Fortunately for
minum or magnesium octahedron (Fig. 3.13). Different engineering purposes, knowledge of the structural and
clay mineral groups are characterized by the stacking compositional characteristics of each group, without
arrangements of sheets1 (sometimes chains) of these detailed study of the subtleties of each specific mineral,
is adequate.
1
In conformity with the nomenclature of the Clay Minerals Society Silica Sheet
(Bailey et al., 1971), the following terms are used: a plane of atoms,
a sheet of basic structural units, and a layer of unit cells composed In most clay mineral structures, the silica tetrahedra
of two, three, or four sheets. are interconnected in a sheet structure. Three of the
STRUCTURAL UNITS OF THE LAYER SILICATES 51
Figure 3.11 Sand and silt size particle shapes as seen in

silhouette.
Silica Chains
In some of the less common clay minerals, silica tet-
rahedra are arranged in bands made of double chains
of composition (Si4O11)6⫺. Electrical neutrality is
achieved and the bands are bound together by alumi-
Figure 3.10 (Continued ) num and/or magnesium ions. A diagrammatic sketch
of this structure is shown in Fig. 3.8. Minerals in this
group resemble the amphiboles in structure.
four oxygens in each tetrahedron are shared to form a

hexagonal net, as shown in Figs. 3.12b and 3.14. The Octahedral Sheet
bases of the tetrahedra are all in the same plane, and This sheet structure is composed of magnesium or alu-
the tips all point in the same direction. The structure minum in octahedral coordination with oxygens or hy-
has the composition (Si4O10)4⫺ and can repeat indefi- droxyls. In some cases, other cations are present in
nitely. Electrical neutrality can be obtained by replace- place of Al3⫹ and Mg2⫹, such as Fe2⫹, Fe3⫹, Mn2⫹,
ment of four oxygens by hydroxyls or by union with Ti4⫹, Ni2⫹, Cr3⫹, and Li⫹. Figure 3.13b is a schematic
a sheet of different composition that is positively diagram of such a sheet structure. The oxygen-to-
charged. The oxygen-to-oxygen distance is 2.55 ang- oxygen distance is 2.60 Å, and the space available for
stroms (Å),2 the space available for the silicon ion is the octahedrally coordinated cation is 0.61 Å. The
0.55 Å, and the thickness of the sheet in clay mineral thickness of the sheet is 5.05 Å in clays (Grim, 1968).
structures is 4.63 Å (Grim, 1968). If the cation is trivalent, then normally only two-
thirds of the possible cationic spaces are filled, and the
structure is termed dioctahedral. In the case of alu-
2
minum, the composition is Al2(OH)6. This composition
In conformity with the SI system of units, lengths should be given
in nanometers. For convenience, however, the angstrom unit is re- and structure form the mineral gibbsite. When com-
tained for atomic dimensions, where 1 Å ⫽ 0.1 nm. bined with silica sheets, as is the case in clay mineral
Table 3.3 Major Constituents of Seawater and Evaporite Deposits
Percent by Weight
Ion Grams per Liter of Total Solids Important Evaporite Deposits
Sodium, Na⫹ 10.56 30.61 Anhydrite CaSO4
Magnesium, Mg2⫹ 1.27 3.69 Barite BaSO4
Calcium, Ca2⫹ 0.40 1.16 Celesite SrSO4
Potassium, K⫹ 0.38 1.10 Kieserite MgSO4 H2O
Strontium, Sr2⫹ 0.013 0.04 Gypsum CaSO4 2H2O
Chloride, Cl⫺ 18.98 55.04 Polyhalite Ca2K2Mg(SO4) 2H2O
Sulfate, SO42⫺ 2.65 7.68 Bloedite Ma2Mg(SO4)2 4H2O
Bicarbonate, HCO3⫺ 0.14 0.41 Hexahydrite MgSO4 6H2O
Bromide, Br⫺ 0.065 0.19 Epsomite MgSO4 7H2O
Fluoride, F⫺ 0.001 — Kainite K4Mg4(Cl/SO4) 1 1H2O
Boric Acid, H3BO3 0.026 0.08 Halite NaCl
34.485 100.00 Sylvite KCl
Flourite CaF2
Bischofite MgCl2 6H2O
Carnallite KMgCl3 6H2O
Adapted from data by Degens (1965).
structures, an aluminum octahedral sheet is referred to units does not necessarily form the naturally occurring
as a gibbsite sheet. minerals. The ‘‘building block’’ approach is useful,
If the octahedrally coordinated cation is divalent, however, for the development of conceptual models.
then normally all possible cation sites are occupied and
the structure is trioctahedral. In the case of magne-
sium, the composition is Mg3(OH)6, giving the mineral 3.14 SYNTHESIS PATTERN AND
brucite. In clay mineral structures, a sheet of magne- CLASSIFICATION OF THE CLAY MINERALS
sium octahedra is termed a brucite sheet.
Schematic representations of the sheets are useful The manner in which atoms are assembled into tetra-
for simplified diagrams of the structures of the differ- hedral and octahedral units, followed by the formation
ent clay minerals:
Silica sheet or
Octahedral sheet (Various cations in octahedral coordination)

Gibbsite sheet (Octahedral sheet cations are mainly aluminum)
Brucite sheet (Octahedral sheet cations are mainly magnesium)
Water layers are found in some structures and may

be represented by for each molecular layer. of sheets and their stacking to form layers that combine
Atoms of a specific type, for example, potassium, are to produce the different clay mineral groups is illus-
represented thus: K. trated in Fig. 3.15. The basic structures shown in the
The diagrams are indicative of the clay mineral layer bottom row of Fig. 3.15 comprise the great prepon-
structure. They do not indicate the correct width-to- derance of the clay mineral types that are found in
length ratios for the actual particles. The structures soils.
shown are idealized; in actual minerals, irregular sub- Grouping the clay minerals according to crystal
stitutions and interlayering or mixed-layer structures structure and stacking sequence of the layers is con-
are common. Furthermore, direct assembly of the basic venient since members of the same group have gen-
SYNTHESIS PATTERN AND CLASSIFICATION OF THE CLAY MINERALS 53
Table 3.4 Properties and Characteristics of Nonclay Minerals in Soils
Occurrence
in Soils of
Crystal Particle Specific Engineering
Mineral Formula System Cleavage Shape Gravity Hardness Interest
Quartz SiO2 Hexagonal None Bulky 2.65 7 Very

abundant
Orthoclase KalSi3O8 Monoclinic 2 planes Elongate 2.57 6 Common
feldspar
Plagioclase NaAlSi3O8 Triclinic 2 planes Bulky— 2.62–2.76 6 Common
feldspar CaAl2Si3O8 (variable) elongate
Muscovite Kal3Si3O10(OH)2 Monoclinic Perfect basal Thin plates 2.76–3.1 2–21⁄2 Common
mica
Biotite mica K(Mg,FE)3AlSi3O10(OH)2 Monoclinic Perfect basal Thin plates 2.8–3.2 21⁄2–3 Common
Hornblende Na,Ca,Mg,Fe,Al silicate Monoclinic Perfect Prismatic 3.2 5–6 Uncommon
prismatic
Augite Ca(Mg,Fe,Al)(Al,Si)2O6 Monoclinic Good prismatic Prismatic 3.2–3.4 5–6 Uncommon
(pyroxene)
Olivine (Mg,Fe)2SiO4 Orthorhombic Conchoidal Bulky 3.27–3.37 61⁄2–7 Uncommon
fracture
Calcite CaCO3 Hexagonal Perfect Bulky 2.72 21⁄2–3 May be
abundant
locally
Dolomite CaMg(CO3)2 Hexagonal Perfect Bulky 2.85 31⁄2–4 May be
rhombohedral abundant
locally
Gypsum CaSO4 2H2O Monoclinic 4 planes Elongate 2.32 2 May be
abundant
locally
Pyrite FeS2 Isometric Cubical Bulky cubic 5.02 6–61⁄2
Data from Hurlbut (1957).
Figure 3.12 Silicon tetrahedron and silica tetrahedra arranged in a hexagonal network.
Figure 3.13 Octahedral unit and sheet structure of octahedral units.
Figure 3.14 Silica sheet in plan view.
erally similar engineering properties. The minerals structure. Such material is referred to as allophane or
have unit cells consisting of two, three, or four sheets. noncrystalline clay.
The two-sheet minerals are made up of a silica sheet The bottom row of Fig. 3.15 shows that the 2⬊1
and an octahedral sheet. The unit layer of the three- minerals differ from each other mainly in the type and
sheet minerals is composed of either a dioctahedral or amount of ‘‘glue’’ that holds the successive layers to-
trioctahedral sheet sandwiched between two silica gether. For example, smectite has loosely held cations
sheets. Unit layers may be stacked closely together or between the layers, illite contains firmly fixed potas-
water layers may intervene. The four-sheet structure of sium ions, and vermiculite has somewhat organized
chlorite is composed of a 2⬊1 layer plus an interlayer layers of water and cations. The chlorite group repre-
hydroxide sheet. In some soils, inorganic, claylike ma- sents an end member that has 2⬊1 layers bonded by an
terial is found that has no clearly identifiable crystal organized hydroxide sheet. The charge per formula
INTERSHEET AND INTERLAYER BONDING IN THE CLAY MINERALS 55
Figure 3.15 Synthesis pattern for the clay minerals.
unit is variable both within and among groups, and clay mineral layers. Bonding between these sheets is
reflects the fact that the range of compositions is great of the primary valence type and is very strong. How-
owing to varying amounts of isomorphous substitution. ever, the bonds holding the unit layers together may
Accordingly, the boundaries between groups are some- be of several types, and they may be sufficiently weak
what arbitrary. that the physical and chemical behavior of the clay is
influenced by the response of these bonds to changes
Isomorphous Substitution in environmental conditions.
The concept of isomorphous substitution was intro- Isomorphous substitution in all of the clay minerals,
duced in Section 3.13 in connection with some of the with the possible exception of those in the kaolinite
silicate crystals. It is very important in the structure group, gives clay particles a net negative charge. To
and properties of the clay minerals. In an ideal gibbsite preserve electrical neutrality, cations are attracted and
sheet, only two-thirds of the octahedral positions are held between the layers and on the surfaces and edges
filled, and all of the cations are aluminum. In an ideal of the particles. Many of these cations are exchange-
brucite sheet, all the octahedral spaces are filled by able cations because they may be replaced by cations
magnesium. In an ideal silica sheet, silicons occupy all of another type. The quantity of exchangeable cations
tetrahedral spaces. In clay minerals, however, some of is termed the cation exchange capacity (cec) and is
the tetrahedral and octahedral spaces are occupied by usually expressed as milliequivalents (meq)3 per 100 g
cations other than those in the ideal structure. Common of dry clay.
examples are aluminum in place of silicon, magnesium Five types of interlayer bonding are possible in the
instead of aluminum, and ferrous iron (Fe2⫹) for mag- layer silicates (Marshall, 1964).
nesium. This presence in an octahedral or tetrahedral
position of a cation other than that normally found, 1. Neutral parallel layers are held by van der Waals
without change in crystal structure, is isomorphous forces. Bonding is weak; however, stable crystals
substitution. The actual tetrahedral and octahedral cat- of appreciable thickness such as the nonclay min-
ion distributions may develop during initial formation
or subsequent alteration of the mineral.
3.15 INTERSHEET AND INTERLAYER 3

Equivalent weight ⫽ combining weight of an element ⫽ (atomic
weight / valence). Number of equivalents ⫽ (weight of element /
BONDING IN THE CLAY MINERALS atomic weight) ⫻ valence. The number of ions in an equivalent ⫽
Avogardro’s number / valence. Avogadro’s number ⫽ 6.02 ⫻ 1023. An
A single plane of atoms that are common to both the equivalent contains 6.02 ⫻ 1023 electron charges or 96,500 coulombs,
tetrahedral and octahedral sheets forms a part of the which is 1 faraday.
erals of pyrophyllite and talc may form. These layers, which are greater in these minerals be-
minerals cleave parallel to the layers. cause of a smaller interlayer distance.
2. In some minerals (e.g., kaolinite, brucite, gibb-
site), there are opposing layers of oxygens and Whatever the reason, the smectite minerals are the
hydroxyls or hydroxyls and hydroxyls. Hydrogen dominant source of swelling in the expansive soils that
bonding then develops between the layers as well are so prevalent throughout the world.
as van der Waals bonding. Hydrogen bonds re-
main stable in the presence of water.
3. Neutral silicate layers that are separated by
highly polar water molecules may be held to- 3.16 THE 1⬊1 MINERALS
gether by hydrogen bonds.
4. Cations needed for electrical neutrality may be in The kaolinite–serpentine minerals are composed of al-
positions that control interlayer bonding. In mi- ternating silica and octahedral sheets as shown sche-
cas, some of the silicon is replaced by aluminum matically in Fig. 3.16. The tips of the silica tetrahedra
in the silica sheets. The resulting charge defi- and one of the planes of atoms in the octahedral sheet
ciency is partly balanced by potassium ions be- are common. The tips of the tetrahedra all point in the
tween the unit cell layers. The potassium ion just same direction, toward the center of the unit layer. In
fits into the holes formed by the bases of the the plane of atoms common to both sheets, two-thirds
silica tetrahedra (Fig. 3.12). As a result, it gen- of the atoms are oxygens and are shared by both sili-
erates a strong bond between the layers. In the con and the octahedral cations. The remaining atoms
chlorites, the charge deficiencies from substitu- in this plane are (OH) located so that each is directly
tions in the octahedral sheet of the 2⬊1 sandwich below the hole in the hexagonal net formed by the
are balanced by excess charge on the single-sheet bases of the silica tetrahedra. If the octahedral layer is
layer interleaved between the three-sheet layers. brucite, then a mineral of the serpentine subgroup re-
This provides a strongly bonded structure that sults, whereas dioctahedral gibbsite layers give clay
while exhibiting cleavage will not separate in the minerals in the kaolinite subgroup. Trioctahedral 1⬊1
presence of water or other polar liquids. minerals are relatively rare, usually occur mixed with
5. When the surface charge density is moderate, as kaolinite or illite, and are hard to identify. A diagram-
in smectite and vermiculite, the silicate layers matic sketch of the kaolinite structure is shown in Fig.
readily adsorb polar molecules, and also the ad- 3.17. The structural formula is (OH)8Si4Al4O10, and the
sorbed cations may hydrate, resulting in layer charge distribution is indicated in Fig. 3.18.
separation and expansion. The strength of the in- Mineral particles of the kaolinite subgroup consist
of the basic units stacked in the c direction. The bond-
terlayer bond is low and is a strong function of
ing between successive layers is by both van der Waals
charge distribution, ion hydration energy, surface
forces and hydrogen bonds. The bonding is sufficiently
ion configuration, and structure of the polar mol-
strong that there is no interlayer swelling in the pres-
ecule.
ence of water.
Because of slight differences in the oxygen-to-
Smectite and vermiculite particles adsorb water be- oxygen distances in the tetrahedral and octahedral lay-
tween the unit layers and swell, whereas particles of ers, there is some distortion of the ideal tetrahedral
the nonclay minerals, pyrophyllite and talc, which have network. As a result, kaolinite, which is the most abun-
comparable structures, do not. There are two possible dant member of the subgroup and a common soil min-
reasons (van Olphen, 1977): eral, is triclinic instead of monoclinic. The unit cell
dimensions are a ⫽ 5.16 Å, b ⫽ 8.94 Å, c ⫽ 7.37 Å,
1. The interlayer cations in smectite hydrate, and ⫽ 91.8, ⫽ 104.5, and ⫽ 90.
the hydration energy overcomes the attractive Variations in stacking of layers above each other,
forces between the unit layers. There are no in- and possibly in the position of aluminum ions within
terlayer cations in pyrophyllite; hence, no swell- the available sites in the octahedral sheet, produce dif-
ing. ferent members of the kaolinite subgroup. The dickite
2. Water does not hydrate the cations but is ad- unit cell is made up of two unit layers, and the nacrite
sorbed on oxygen surfaces by hydrogen bonds. unit cell contains six. Both appear to be formed by
There is no swelling in pyrophyllite and talc be- hydrothermal processes. Dickite is fairly common as
cause the surface hydration energy is too small secondary clay in the pores of sandstone and in coal
to overcome the van der Waals forces between beds. Neither dickite nor nacrite is common in soils.
THE 1⬊1 MINERALS 57
Figure 3.16 Schematic diagrams of the structures of kaolinite and serpentine: (a) kaolinite
and (b) serpentine.
Halloysite
Halloysite is a particularly interesting mineral of the
kaolinite subgroup. Two distinct endpoint forms of this
mineral exist, as shown in Fig. 3.19; one, a hydrated
form consisting of unit kaolinite layers separated from
each other by a single layer of water molecules and
having the composition (OH)8Si4Al4O10 4H2O, and
the other, a nonhydrated form having the same unit
layer structure and chemical composition as kaolinite.
The basal spacing in the c direction d(001) for the non-
hydrated form is about 7.2 Å, as for kaolinite. Because
Figure 3.17 Diagrammatic sketch of the kaolinite structure.
of the interleaved water layer, d(001) for hydrated hal-
loysite is about 10.1 Å. The difference between these
Figure 3.18 Charge distribution on kaolinite.

Figure 3.19 Schematic diagrams of the structure of halloysite: (a) halloysite (10 Å) and (b)
halloysite (7 Å).
values, 2.9 Å, is the approximate thickness of a single determinations at high pH. This suggests that broken
layer of water molecules. bonds are at least a partial source of exchange capacity.
The recommended terms for the two forms of hal- That a positive cation exchange capacity is measured
loysite are halloysite (7 Å) and halloysite (10 Å). under low pH conditions when edges are positively
Transformation from halloysite (10 Å) to halloysite (7 charged indicates that some isomorphous substitution
Å) by dehydration can occur at relatively low temper- must exist also.
atures and is irreversible. Halloysite is often found in As interlayer separation does not occur in kaolinite,
soils formed from volcanic parent materials in wet en- balancing cations must adsorb on the exterior surfaces
vironments. It can be responsible for special properties and edges of the particles.
and problems in earthwork construction, as discussed
later in this book.
Morphology and Surface Area
Isomorphous Substitution and Exchange Capacity Well-crystallized particles of kaolinite (Fig. 3.20), na-
crite, and dickite occur as well-formed six-sided plates.
Whether or not measurable isomorphous substitution
The lateral dimensions of these plates range from
exists within the structure of the kaolinite minerals is
about 0.1 to 4 m, and their thicknesses are from about
uncertain. Nevertheless, values of cation exchange ca-
0.05 to 2 m. Poorly crystallized kaolinite generally
pacity in the range of 3 to 15 meq/100 g for kaolinite
occurs as less distinct hexagonal plates, and the parti-
and from 5 to 40 meq/100 g for halloysite have been
cle size is usually smaller than for the well-crystallized
measured. Thus, kaolinite particles possess a net neg-
varieties.
ative charge. Possible sources are:
1. Substitution of Al3⫹ for Si4⫹ in the silica sheet or
a divalent ion for Al3⫹ in the octahedral sheet.
Replacement of only 1 Si in every 400 would be
adequate to account for the exchange capacity.
2. The hydrogen of exposed hydroxyls may be re-
placed by exchangeable cations. According to
Grim (1968), however, this mechanism is not
likely because the hydrogen would probably not
be replaceable under the conditions of most
exchange reactions.
3. Broken bonds around particle edges may give un-
satisfied charges that are balanced by adsorbed
cations.
Kaolinite particles are charged positively on their
edges when in a low pH (acid) environment, but neg-
atively charged in a high pH (basic) environment. Low Figure 3.20 Electron photomicrograph of well-crystallized
exchange capacities are measured under low pH con- kaolinite from St. Austell, Cornwall, England. Picture width
ditions and high exchange capacities are obtained for is 17 m (Tovey, 1971).
SMECTITE MINERALS 59
Halloysite (10 Å) occurs as cylindrical tubes of and below the hexagonal holes formed by the bases of
overlapping sheets of the kaolinite type (Fig. 3.21). the silica tetrahedra are hydroxyls.
The c axis at any point nearly coincides with the tube The layers formed in this way are continuous in the
radius. The formation of tubes has been attributed to a a and b directions and stacked one above the other in
misfit in the b direction of the silica and gibbsite sheets the c direction. Bonding between successive layers is
(Bates et al., 1950). The b dimension in kaolinite is by van der Waals forces and by cations that balance
8.93 Å; in gibbsite it is only 8.62 Å. This means that charge deficiencies in the structure. These bonds are
the (OH) spacing in gibbsite sheets is stretched in order weak and easily separated by cleavage or adsorption
to obtain a fit with the silica sheet. Evidently, in hal- of water or other polar liquids. The basal spacing in
loysite (10 Å), the reduced interlayer bond, caused by the c direction, d(001), is variable, ranging from about
the intervening layer of water molecules, enables the 9.6 Å to complete separation.
(OH) layer to revert to 8.62 Å, resulting in a curvature The theoretical composition in the absence of
with the hydroxyls on the inside and the bases of the isomorphous substitutions is (OH)4Si8Al4O20
silica tetrahedra on the outside. The outside diameters n(interlayer)H2O. The structural configuration and cor-
of the tubular particles range from about 0.05 to 0.20 responding charge distribution are shown in Fig. 3.24.
m, with a median value of 0.07 m. The wall thick- The structure shown is electrically neutral, and the
ness is about 0.02 m. The tubes range in length from atomic configuration is essentially the same as that in
a fraction of a micrometer to several micrometers. Dry- the nonclay mineral pyrophyllite.
ing of halloysite (10 Å) may result in splitting or un-
rolling of the tubes. The specific surface area of Isomorphous Substitution in the Smectite Minerals
kaolinite is about 10 to 20 m2 /g of dry clay; that of
halloysite (10 Å) is 35 to 70 m2 /g. Smectite minerals differ from pyrophyllite in that there
is extensive isomorphous substitution for silicon and
aluminum by other cations. Aluminum in the octahe-
dral sheet may be replaced by magnesium, iron, zinc,
3.17 SMECTITE MINERALS nickel, lithium, or other cations. Aluminum may re-
place up to 15 percent of the silicon ions in the tetra-
Structure hedral sheet. Possibly some of the silicon positions can
The minerals of the smectite group have a prototype be occupied by phosphorous (Grim, 1968).
structure similar to that of pyrophyllite, consisting of Substitutions for aluminum in the octahedral sheet
an octahedral sheet sandwiched between two silica may be one-for-one or three-for-two (aluminum oc-
sheets, as shown schematically in Fig. 3.22 and dia- cupies only two-thirds of the available octahedral sites)
grammatically in three dimensions in Fig. 3.23. All the in any combination from a few to complete replace-
tips of the tetrahedra point toward the center of the ment. The resulting structure, however, is either almost
unit cell. The oxygens forming the tips of the tetra- exactly dioctahedral (montmorillonite subgroup) or
hedra are common to the octahedral sheet as well. The trioctahedral (saponite subgroup). The charge defi-
anions in the octahedral sheet that fall directly above ciency resulting from these substitutions ranges from
0.5 to 1.2 per unit cell. Usually, it is close to 0.66 per
unit cell. A charge deficiency of this amount would
result from replacement of every sixth aluminum by a
magnesium ion. Montmorillonite, the most common
mineral of the group, has this composition. Charge de-
ficiencies that result from isomorphous substitution are
balanced by exchangeable cations located between the
unit cell layers and on the surfaces of particles.
Some minerals of the smectite group and their com-
positions are listed in Table 3.5. An arrow indicates the
source of the charge deficiency, which has been as-
sumed to be 0.66 per unit cell in each case. Sodium is
indicated as the balancing cation. The formulas should
be considered indicative of the general character of the
mineral, but not as absolute, because a variety of com-
Figure 3.21 Electron photomicrograph of halloysite from positions can exist within the same basic crystal struc-
Bedford, Indiana. Picture width is 2 m (Tovey, 1971). ture. Because of the large amount of unbalanced
Figure 3.22 Schematic diagrams of the structures of the smectite minerals: (a) montmoril-
lonite and (b) saponite.
Figure 3.24 Charge distribution in pyrophyllite (type struc-

ture for montmorillonite).
Figure 3.23 Diagrammatic sketch of the montmorillonite in Fig. 3.25. Particles range in thickness from 1-nm
structure. unit layers upward to about 1/100 of the width. The
long axis of the particle is usually less than 1 or 2 m.
When there is a large amount of substitution of iron
substitution in the smectite minerals, they have high and/or magnesium for aluminum, the particles may be
cation exchange capacities, generally in the range of lath or needle shaped because the larger Mg2⫹ and Fe3⫹
80 to 150 meq/100 g. ions cause a directional strain in the structure.
The specific surface area of smectite can be very
Morphology and Surface Area large. The primary surface area, that is, the surface area
Montmorillonite may occur as equidimensional flakes exclusive of interlayer zones, ranges from 50 to 120
that are so thin as to appear more like films, as shown m2 /g. The secondary specific surface that is exposed
SMECTITE MINERALS 61
Table 3.5 Some Minerals of the Smectite Group
Tetrahedral Sheet Octahedral Sheet

Mineral Substitutions Substitutions Formula/Unit Cella
Dioctahedral, Smectites or
Montmorillonites
Montmorillonite None 1Mg2⫹ for every sixth Al3⫹ (OH)4Si8(Al3.34Mg0.66) O20
↓
Na0.66
Beidellite Al for Si None (OH)4(Si6.34Al1.66) Al4.34O20
↓
Na0.66
Nontronite Al for Si Fe3⫹ for Al (OH)4(Si7.34Al0.66) Fe43⫹O20
↓
Na0.66
Trioctahedral, Smectites,
or Saponites
Hectorite None Li for Mg (OH)4Si8(Mg5.34Li0.66) O20
↓
Na0.66
Saponite Al for Si Fe3⫹ for Mg (OH)4(Si7.34Al0.66) Mg6O20
↓
Na0.66
Sauconite Al for Si Zn for Mg (OH)4(Si8⫺yAly)(Zn6⫺xMgx) O20
↓
Na0.66
a
Two formula units are needed to give one unit cell.
After Ross and Hendricks (1945); Marshall (1964); and Warshaw and Roy (1961).
by expanding the lattice so that polar molecules can

penetrate between layers can be up to 840 m2 /g.
Bentonite
A very highly plastic, swelling clay material known as
bentonite is very widely used for a variety of purposes,
ranging from drilling mud and slurry walls to clarifi-
cation of beer and wine. The bentonite familiar to most
geoengineers is a highly colloidal, expansive alteration
product of volcanic ash. It has a liquid limit of 500
percent or more. It is widely used as a backfill during
the construction of slurry trench walls, as a soil ad-
mixture for construction of seepage barriers, as a grout
material, as a sealant for piezometer installations, and
for other special applications.
When present as a major constituent in soft shale or
as a seam in rock formations, bentonite may be a cause
of continuing slope stability problems. Slide problems
Figure 3.25 Electron photomicrograph of montmorillonite at Portuguese Bend along the Pacific Ocean in southern
(bentonite) from Clay Spur, Wyoming. Picture width is 7.5 California, in the Bearpaw shale in Saskatchewan, and
m (Tovey, 1971). in the Pierre shale in South Dakota are in large mea-
sure due to the high content of bentonite. Stability in Fig. 3.28. The unit cell is electrically neutral and
problems in underground construction may be caused has the formula (OH)4K2(Si6Al2)Al4O20. Muscovite is
by the presence of montmorillonite in joints and faults the dioctahedral end member of the micas and contains
(Brekke and Selmer-Olsen, 1965). only Al3⫹ in the octahedral layer. Phlogopite (brown
mica) is the trioctahedral end member, with the octa-
hedral positions filled entirely by magnesium. It has
3.18 MICALIKE CLAY MINERALS the formula (OH)4K2(Si6Al2)Mg6O20. Biotite (black
mica) is trioctahedral, with the octahedral positions
Illite is the most commonly found clay mineral in soils filled mostly by magnesium and iron. It has the general
encountered in engineering practice. Its structure is formula (OH)4K2(Si6Al2)(MgFe)6O20. The relative pro-
quite similar to that of muscovite mica, and it is some- portions of magnesium and iron may vary widely.
times referred to as hydrous mica. Vermiculite is also Illite differs from mica in the following ways (Grim,
often found as a clay phase constituent of soils. Its 1968):
structure is related to that of biotite mica.
1. Fewer of the Si4⫹ positions are filled by Al3⫹ in
Structure illite.
The basic structural unit for the muscovite (white mica) 2. There is some randomness in the stacking of lay-
is shown schematically in Fig. 3.26a. It is the three- ers in illite.
layer silica–gibbsite–silica sandwich that forms pyro- 3. There is less potassium in illite. Well-organized
phyllite, with the tips of all the tetrahedra pointing illite contains 9 to 10 percent K2O (Weaver and
toward the center and common with octahedral sheet Pollard, 1973).
ions. Muscovite differs from pyrophyllite, however, in 4. Illite particles are much smaller than mica parti-
that about one-fourth of the silicon positions are filled cles.
by aluminum, and the resulting charge deficiency is
balanced by potassium between the layers. The layers Some illite may contain magnesium and iron in the
are continuous in the a and b directions and stacked in octahedral sheet as well as aluminum (Marshall, 1964).
the c direction. The radius of the potassium ion, 1.33 Iron-rich illite, usually occurring as earthy green pel-
Å, is such that it fits snugly in the 1.32 Å radius hole lets, is termed glauconite.
formed by the bases of the silica tetrahedra. It is in 12- The vermiculite structure consists of regular inter-
fold coordination with the 6 oxygens in each layer. stratification of biotite mica layers and double molec-
A diagrammatic three-dimensional sketch of the ular layers of water, as shown schematically in Fig.
muscovite structure is shown in Fig. 3.27. The struc- 3.26b. The actual thickness of the water layer depends
tural configuration and charge distribution are shown on the cations that balance the charge deficiencies in
Figure 3.26 Schematic diagram of the structures of muscovite, illite, and vermiculite: (a)
muscovite and illite and (b) vermiculite.
MICALIKE CLAY MINERALS 63
Figure 3.27 Diagrammatic sketch of the structure of muscovite.
the biotitelike layers. With magnesium or calcium

present, which is the usual case in nature, there are
two water layers, giving a basal spacing of 14 Å. A
general formula for vermiculite is
(OH)4(MgCa)x(Si8
xAlx)(MgFe)6O20 yH2O
x ⬇ 1 to 1.4 y⬇8
Isomorphous Substitution and Exchange Capacity

There is extensive isomorphous substitution in illite
and vermiculite. The charge deficiency in illite is 1.3
to 1.5 per unit cell. It is located primarily in the silica
sheets and is balanced partly by the nonexchangeable
potassium between layers. Thus, the cation exchange
capacity of illite is less than that of smectite, amount-
ing to 10 to 40 meq/100 g. Values greater than 10 to
15 meq/100 g may be indicative of some expanding
layers (Weaver and Pollard, 1973). In the absence of
fixed potassium the exchange capacity would be about
150 meq/100 g. Interlayer bonding by potassium is so
strong that the basal spacing of illite remains fixed at
10 Å in the presence of polar liquids.
The charge deficiency in vermiculite is 1 to 1.4 per
unit cell. Since the interlayer cations are exchangeable,
Figure 3.28 Charge distribution in muscovite. the exchange capacity of vermiculite is high, amount-
ing to 100 to 150 meq/100 g. The basal spacing, d(001),

is influenced by both the type of cation and the hy-
dration state. With potassium or ammonium in the
exchange positions, the basal spacing is only 10.5 to
11 Å. Lithium gives 12.2 Å. Interlayer water can be
driven off by heating to temperatures above 100C.
This dehydration is accompanied by a reduction in
basal spacing to about 10 Å. The mineral quickly re-
hydrates and expands again to 14 Å when exposed to
moist air at room temperature.
Morphology and Surface Area

Illite usually occurs as very small, flaky particles
mixed with other clay and nonclay materials. High-
purity deposits of illite are uncommon. The flaky par-
ticles may have a hexagonal outline if well crystallized. Figure 3.30 Schematic diagram of the structure of chlorite.
The long axis dimension ranges from 0.1 m or less
to several micrometers, and the plate thickness may be
as small as 3 nm. An electron photomicrograph of illite
is shown in Fig. 3.29. Vermiculite may occur in nature
as large crystalline masses having a sheet structure of vermiculite, except that an organized octahedral
somewhat similar in appearance to mica. In soils, ver- sheet replaces the double water layer between mica
miculite occurs as small particles mixed with other layers. The layers are continuous in the a and b direc-
clay minerals. tions and stacked in the c direction. The basal spacing
The specific surface area of illite is about 65 to 100 is fixed at 14 Å.
m2 /g. The primary surface of vermiculites is 40 to 80 Isomorphous Substitution The central sheet of the
m2 /g, and the secondary (interlayer) surface may be as mica layer is trioctahedral, with magnesium as the pre-
high as 870 m2 /g. dominant cation. There is often partial replacement of
Mg2⫹ by Al3⫹, Fe2⫹ and Fe3⫹. There is substitution of
Al3⫹ for Mg2⫹ in the brucitelike layer. The various
3.19 OTHER CLAY MINERALS members of the chlorite group differ in the kind and
amounts of substitution and in the stacking of succes-
Chlorite Minerals sive layers. The cation exchange capacity of chlorites
Structure The chlorite structure consists of alter- is in the range of 10 to 40 meq/100 g.
nating micalike and brucitelike layers as shown sche- Morphology Chlorite minerals occur as micro-
matically in Fig. 3.30. The structure is similar to that scopic grains of platy morphology and poorly defined
crystal edges in altered igneous and metamorphic rocks
and their derived soils. In soils, chlorites always appear
to occur in mixtures with other clay minerals.
Chain Structure Clay Minerals

A few clay minerals are formed from bands (double
chains) of silica tetrahedra. These include attapulgite
and imogolite. They have lathlike or fine threadlike
morphologies, with particle diameters of 5 to 10 nm
and lengths up to 4 to 5 m. An electron photomicro-
graph of bundles of attapulgite particles is shown in
Fig. 3.31.
Although these minerals are not frequently encoun-
tered, attapulgite is commercially mined and is used as
Figure 3.29 Electron photomicrograph of illite from Morris, a drilling mud in saline and other special environments
Illinois. Picture width is 7.5 m (Tovey, 1971). because of its high stability in suspensions.
DETERMINATION OF SOIL COMPOSITION 65
Oxides All soils probably contain some amount of
colloidal oxides and hydrous oxides (Marshall, 1964).
The oxides and hydroxides of aluminum, silicon, and
iron are most frequently found. These materials may
occur as gels or precipitates and coat mineral particles,
or they may cement particles together. They may also
occur as distinct crystalline units; for example, gibb-
site, boehmite, hematite, and magnetite. Limonite and
bauxite, which are noncrystalline mixtures of iron and
aluminum hydroxides, are also sometimes found.
Oxides are particularly common in soils formed
from volcanic ash and in tropical residual soils. Some
soils rich in allophane and oxides may exhibit signif-
icant irreversible decreases in plasticity and increases
Figure 3.31 Electron photomicrograph of attapulgite from in strength when dried. Many are susceptible to break-
Attapulgis, Georgia. Picture width is 4.7 m (Tovey, 1971).
down and strength loss when subjected to traffic or
manipulation during earthwork construction (Mitchell
and Sitar, 1982; Mitchell and Coutinho, 1991).
Mixed-Layer Clays
More than one type of clay mineral is usually found 3.20 SUMMARY OF CLAY MINERAL
in most soils. Because of the great similarity in crystal CHARACTERISTICS
structure among the different minerals, interstratifica-
tion of two or more layer types often occurs within a The important structural, compositional, and morpho-
single particle. Interstratification may be regular, with logical characteristics of the important clay minerals
a definite repetition of the different layers in sequence, are summarized in Table 3.6. Data on the structural
or it may be random. According to Weaver and Pollard characteristics of the tetrahedral and octahedral sheet
(1973), randomly interstratified clay minerals are sec- structures are included.
ond only to illite in abundance.
The most abundant mixed-layer material is com-
posed of expanded water-bearing layers and contracted 3.21 DETERMINATION OF SOIL
non-water-bearing layers. Montmorillonite–illite is COMPOSITION
most common, and chlorite–vermiculite and chlorite–
montmorillonite are often found. Rectorite is an inter- Introduction
stratified clay with high charge, micalike layers with Identification of the fine-grained minerals in a soil is
fixed interlayer cations alternating in a regular manner usually done by X-ray diffraction. Simple chemical
with low-charge montmorillonite-like layers containing tests can be used to indicate the presence of organic
exchangeable cations capable of hydration. matter and other constituents. The microscope may be
used to identify the constituents of the nonclay frac-
tion. Accurate determination of the proportions of dif-
Noncrystalline Clay Materials
ferent mineral, organic, and amorphous solid material
Allophane Clay materials that are so poorly crys- in a soil, while probably possible with the expenditure
talline that a definite structure cannot be determined of great time and at great cost, is unlikely to be worth-
are termed allophane. Such material is amorphous to while owing to our inability to make exact quantitative
X-rays because there is insufficient long-range order of links from composition to properties. Accordingly,
the octahedral and tetrahedral units to produce sharp from knowledge of grain size distribution, the relative
diffraction effects, although in some cases there may intensities of different X-ray diffraction peaks, and a
be diffraction bands. Allophane has no definite com- few other simple tests a semiquantitative analysis may
position or shape and may exhibit a wide range of be made that is usually adequate for most purposes.
physical properties. Some noncrystalline clay material A general approach is given in this section for the
is probably contained in all fine-grained soils. It is determination of soil composition, some of the tech-
common in volcanic soils because of the abundance of niques are described briefly, and criteria for identifi-
glass particles. cation of important soil constituents are stated.
Table 3.6 Summary of Clay Mineral Characteristics

Structural
1. Silica Tetrahedron: Si atom at center. Tetrahedron units form hexagonal network ⫽ Si4O8(OH)4
2. Gibbsite Sheet: Aluminum in octahedral coordination. Two-thirds of possible positions filled. Al2(OH)—O—O ⫽ 2.60 Å.
3. Brucite Sheet: Magnesium in octahedral coordination. All possible positions filled. Mg2(OH)—O—O ⫽ 2.60 Å.
Structure
Subgroup and Octahedral Layer Tetrahedral Layer
a
Type Schematic Structure Mineral Complete Formula / Unit Cell Cations Cations Isomorphous Substitution Interlayer Bond
Allophane Allophanes Amorphous — —
Kaolinite Kaolinite (OH)8Si4Al4O11 Al4 Si4 Little O—OH

Hydrogen Strong
Dickite (OH)8Si4Al4O10 Al4 Si4 Little O—OH

Hydrogen Strong
Nacrite (OH)8Si4Al4O10 Al4 Si4 Little
O—OH
1⬊1 Halloysite (OH)8Si4Al4O10 Al4 Si4 Little Hydrogen Strong
(dehydrated) O—OH
Halloysite (OH)8Si4Al4O10 4H2O Al4 Si4 Little Hydrogen Strong
(hydrated) O—OH
Hydrogen Strong
Montmorillonite Montmorillonite (OH)4Si8(Al3.34Mg.66O20nH2O Al3.34Mg.66 Si8 Mg for Al, Net charge O—O
(OH)4Si8Al4O20 NH2O ↓ * always ⫽ 0.66- / unit Very weak
(Theoretical Na.66 cell expanding lattice
Unsubsitituted)
Beidellite (OH)4(Si7.34Al66)(Al4)O20nH2O Al4 Si7.34Al.66 Al for Si, Net charge O—O
↓ always ⫽ 0.66- / for Very weak
Na.66 unit cell expanding lattice
Nontronite (OH)4(Si7.34Al.66)Fe43⫹O20nH2O Fe4 Si7.34Al.66 Fe for Al, Al for Si, Net O—O
↓ charge always ⫽ 0.66- Very weak
Na.66 / for unit cell expanding lattice
2⬊1 Saponite Hectorite (OH)4Si8(Mg5.34Li.66)P20nH2O Mg5.34Li.66 Si8 Mg, Li for Al, Net O—O
↓ charge always ⫽ 0.66- Very weak
Na.66 / unit cell expanding lattice
Saponite (OH)4(Si7.34Al.66)Mg6O20nH2O Mg, Fe3⫹ Si7.34Al.66 Mg for Al, Al for Si, O—O
↓ Net charge always ⫽ Very weak
Na.66 0.66- / for unit cell expanding lattice
Sauconite (Si6.94Al1.06)Al.66Fe.34Mg.36Zn4.80O20(OH)4 Al.44Fe.34Mg.36Zn4.80 Si6.94Al1.06 O—O
↓ nH2O Zn for Al Very weak
Na.66 expanding lattice
Hydrous Mica (Illite) Illites (K, H2O)2(Si)8(Al,Mg,Fe)4,6O20(OH)4 (Al,Mg,Fe)4-6 (Al,Si)8 Some Si always replaced K ions; strong
by Al, Balanced by K
between layers.
Vermiculite Vermiculite (OH)4(Mg,Ca)x(Si8⫺xAlx)(Mg.Fe)6O20.yH2O (Mg,Fe)6 (Si,Al)8 Al for Si not charge of 1 Weak

x ⫽ 1 to 1.4, y ⫽ 8 to 1.4 / unit cell
2⬊1⬊1 Chlorite Chlorite (OH)4(SiAl)8(Mg.Fe)6O20 (2⬊1 layer) (Mg,Fe)6(2⬊1 layer) (Si,Al)8 Al for Si in 2⬊1 layer
(Several varieties (MgAl)6(OH)12 interlayer (Mg,Al)6 interlayer Al for Mg in interlayer
known)
Chain Sepiolite Si4O11(Mg.H2)3H2O2(H2O) Fe or Al for Mg

Structure
Attapulgite (OH2)4
(OH)2Mg5Si8O20.4H2O Some for Al for Si Weak ⫽ chains
linked by 0
a
Arrows indicate source of charge deficiency. Equivalent Na listed as balancing cation. Two formula units (Table 3.4) are required per unit cell.
b
Electron microscope data.
Table 3.6 (Continued )
Units
All bases in same plane. O—O ⫽ 2.55 Å—Space for Si ⫽ 0.55 Å—Thickness8 4.93 Å. C—C height ⫽ 2.1 Å.
OH—OH ⫽ 2.94 Å. Space for ion ⫽ 0.61 Å. Thickness of unit ⫽ 5.05 Å. Dioctahedral.
OH—OH ⫽ 2.94 Å. Space for ion ⫽ 0.61 Å. Thickness of unit ⫽ 5.05 Å. Trioctahedral.
Structure Occurrence in Soils

Cation Exchange Specific Specific Surface of Engineering
b
Crystal Structure Basal Spacing Shape Size Cap.(meq / 100 g) Gravity m2 / g Interest
Irregular, some- 0.05–1

what rounded Common
Triclinic
a ⫽ 5.14, b ⫽ 8.93, c ⫽ 7.37
⫽ 91.6, ⫽ 104.8, ⫽ 89.9
7.2 Å 6-sided flakes 0.1–4 ⫻
0.05–2 冎 single
3–15 2.60–2.68 10–20 Very common
to 3000 ⫻ 4000
(stacks)
Monoclinic 14.4 Å Unit cell 6-sided flakes 0.07–300 ⫻ 2.5– 1–30 Rare
a ⫽ 5.15, b ⫽ 8.95, c ⫽ 14.42 contains 2 1000
⫽ 9648 unit layers
Almost Orthorhombic 43 Å Unit cell Rounded flakes 1 ⫻ 0.025– Rare
a ⫽ 5.15, b ⫽ 8.96, c ⫽ 43 contains 6 0.15
⫽ 9020 unit layers
a ⫽ 5.14 in O Plane 7.2 Å Random Tubes 0.07 O.D. 5–10 2.55–2.56 Occasional
a ⫽ 5.06 in OH Plane stacking of 0.04 I.D.
b ⫽ 8.93 in O Plane unit cells 1 long.
b ⫽ 8.62 in OH Plane 10.1 Å Water layer Tubes 5–40 2.0–2.2 35–70 Occasional
⬖ layers curve between unit
cells
9.6Å—Complete Dioctahedral Flakes (equi- ⬎10 Å ⫻ up to 80–150 2.35–2.7 50–120 Primary Very common
separation dimensional) 10 700–840 Secondary
9.6Å—Complete Dioctahedral Rare

separation
9.6Å—Complete Dioctahedral Laths Breadth ⫽ 1 / 5 110–150 2.2–2.7 Rare

separation length to
several ⫻
unit cell
9.6Å—Complete Trioctahedral To 1 ⫻ unit 17.5 Rare

separation cell breadth ⫽
0.02 ⫺ 0.1
Trioctahedral Similar to Similar to mont. 70–90 2.24–2.30 Rare
mont.
Trioctahedral Brand laths 50 Å Thick Rare
10 Å Both Flakes 0.003–0.1 ⫻ 10–40 2.6–3.0 65–100 Very common

dioctrahedral up to 10
and
trioctahedral
a ⫽ 5.34, b ⫽ 9.20 10.5–14 Å Alternating Similar to illite 100–150 40–80 Primary Fairly common
c ⫽ 28.91, ⫽ 9315 Mica and 870 Secondary
double H2O
layers
Monoclinic (Mainly) 14 Å Similar to illite 1 10–40 2.6–2.96 Common

a ⫽ 5.3, b ⫽ 9.3
c ⫽ 28.52, ⫽ 978
Monoclinic Chain Flakes or fibers 20–30 2.08 Rare

a ⫽ 2 ⫻ 11.6, b ⫽ 2 ⫻ 7.86
c ⫽ 5.33
a0 Sin ⫽ 12.9 b0 ⫽ 18 Double silica Laths Max, 4–5 ⫻ 20–30 Occasional
c0 ⫽ 5.2 chains 50–100 Å
Width ⫽ 2t
From Grim, R. E. (1968) Clay Mineralogy, 2d edition, McGraw-Hill, New York. Brown, G. (editor) (1961) The X-ray Identification and Crystal Structure of Clay Materials, Mineralogical
Society (Clay Minerals Group), London.
Methods for Compositional Analysis properties of the mineral in the soil are the same as
Methods and techniques that may be employed for de- those of a reference mineral. However, different sam-
termination of soil composition and study of soil grains ples of any given clay mineral may exhibit significant
include: differences in composition, surface area, particle size
and shape, and cation exchange capacity. Thus, selec-
1. Particle size analysis and separation tion of ‘‘standard’’ minerals for reference is arbitrary.
2. Various pretreatments prior to mineralogical Quantitative clay mineral determinations cannot be
analysis made to an accuracy of more than about plus or minus
3. Chemical analyses for free oxides, hydroxides, a few percent without exhaustive chemical and min-
amorphous constituents, and organic matter eralogical tests.
4. Petrographic microscope study of silt and sand
grains General Scheme for Compositional Analysis
5. Electron microscope study A general scheme for determination of the components
6. X-ray diffraction for identification of crystalline of a soil is given in Fig. 3.32. Techniques of the most
minerals value for qualitative and semiquantitative analysis are
7. Thermal analysis indicated by a double asterisk, and those of particular
8. Determination of specific surface area use for explaining unusual properties are indicated by
9. Chemical analysis for layer charge, cation a single asterisk. The scheme shown is by no means
exchange capacity, exchangeable cations, pH, the only one that could be used; a feedback approach
and soluble salts is desirable wherein the results of each test are used to
10. Staining tests for identification of clays plan subsequent tests. Brief discussions of the various
techniques listed in Fig. 3.32 are given below. X-ray
Procedures for determination of soil composition are diffraction analysis is treated in more detail in the next
described in detail in publications of the American So- section because of its particular usefulness for the
ciety of Agronomy. Part 1—Physical and Mineralog- identification of fine-grained soil minerals.
ical Methods provides a set of procedures for Grain Size Analysis Determination of particle size
mineralogical analyses for use by soil scientists and and size distribution is usually done using sieve anal-
engineers. Part 2—Microbiological and Biochemical ysis for the coarse fraction [sizes greater than 74 m
Properties, published in 1994, is useful for determi- (i.e., 200 mesh sieve)] and by sedimentation methods
nations needed for bioremediation and other geoen- for the fine fraction. Details of these methods are pre-
vironmental purposes. Part 3—Chemical Methods, sented in standard soil mechanics texts and in the stan-
published in 1996 contains methods for characterizing dards of the American Society for Testing and
soil chemical properties as well as several methods for Materials (ASTM). Determination of sizes by sedi-
characterizing soil chemical processes. Part 4— mentation is based on the application of Stokes’s law
Physical Methods, published in 2002, is an updated for the settling velocity of spherical particles:
version of the physical methods covered in Part 1. For
each method, principles are presented as well as the s ⫺ w 2
details of the method. In addition, the interpretation of v⫽ D (3.2)
results is discussed, and extensive bibliographies are 18
given.
where s ⫽ unit weight of particle, w ⫽ unit weight
of liquid, ⫽ viscosity of liquid, and D ⫽ diameter
Accuracy of Compositional Analysis of sphere. Sizes determined by Stoke’s law are not ac-
Techniques for chemical analysis are generally of a tual particle diameters but, rather, equivalent spherical
high order of accuracy. However, this accuracy does diameters. Gravity sedimentation is limited to particle
not extend to the overall compositional analysis of a sizes in the range of about 0.2 mm to 0.2 m, the
soil in terms of components of interest in understand- upper bound reflecting the size limit where flow around
ing and quantifying behavior. This is because knowl- the particles is no longer laminar, and the lower bound
edge of the chemical composition of a soil is of limited representing a size where Brownian motion keeps par-
value by itself. Chemical analysis of the solid phase of ticles in suspension indefinitely.
a soil does not indicate the organization of the ele- The times for particles of 2, 5, and 20 m equivalent
ments into crystalline and noncrystalline components. spherical diameter to fall through water a distance of
For quantitative mineralogical analysis of the clay 10 cm are about 8 h, 1.25 h, and 5 min, respectively,
fraction, it is usually necessary to assume that the at 20C. At 30C the required times are about 6.5 h, 1
Figure 3.32 Flow sheet for compositional analysis of soils (adapted from Lambe and Martin,
1954).
h, and 4 min. A centrifuge can be used for accelerating from laboratory preparation of the sample to that of
the settlement of small particles and is the most prac- the particles and aggregates in the natural soil is un-
tical means for extracting particles smaller than about known.
a micrometer in size. Optical and electron microscopes are sometimes
Sedimentation methods call for treatment of a soil– used to study particle sizes and size distributions and
water suspension with a dispersing agent and thorough to provide information on particle shape, aggregation,
mixing prior to the start of the test. This causes break- angularity, weathering, and surface texture.
down of aggregates of soil particles, and the degree of Pore Fluid Electrolyte The total concentration of
breakdown may vary greatly with the method of prep- soluble salts may be determined from the electrical
aration. For example, the ASTM standard method of conductivity of extracted pore fluid. Chemical or pho-
test permits the use of either an air dispersion cup or tometric techniques may be used to determine the el-
a blender-type mixer. The amount of material less than emental constituents of the extract (Rhoades, 1982).
2 m equivalent spherical diameter may vary by as Removal of excess soluble salts by washing the sample
much as a factor of 2 by the two techniques. The re- with water or alcohol may be necessary before pro-
lationship between the size distribution that results ceeding with subsequent analysis. If they are not re-
moved, the soil may be difficult to disperse, it may be Exchange Complex Determination of the cation
difficult to remove organic matter, reliable cation exchange capacity (expressed in milliequivalents per
exchange capacity determinations will be impossible, hundred grams of dry soil) is made after first freeing
and mineralogical analyses will be complicated (Kunze the soil of excess soluble salts. The adsorbed cations
and Dixon, 1986). are then replaced by a known cation species, and the
pH Determination of the acidity or alkalinity of a amount of the known cation needed to saturate the
soil in terms of the pH is a relatively simple measure- exchange sites is determined analytically (Rhoades,
ment that can be made using a pH meter or special 1982). The composition of the original cation complex
indicators (American Society for Testing and Materi- can be determined by chemical analysis of the original
als, 1970; McLean, 1982). The value obtained depends extract (Thomas, 1982).
on the ratio of soil to water, so it is usual to standardize Potash The hydrous mica minerals (illites) are the
the measurement using a 1⬊1 ratio of soil to water by only minerals commonly found in the clay size fraction
weight. For highly plastic soils a lower soil-to-water of soils that contain potassium in their crystal structure.
ratio may be required to produce a suspension suitable Thus, knowledge of the K2O content is useful for quan-
for pH measurement. The pH decreases with increas- titative determination of their abundance. A method for
ing concentration of neutral salts in solution and with potassium determination is given by Knudsen et al.
increasing amounts of dissolved CO2. (1986). Well-organized 10-Å illite layers contain 9 to
Carbonates Carbonates, in the form of calcite 10 percent K2O (Weaver and Pollard, 1973).
(CaCO3), dolomite [CaMg(CO3)2], marl, and shells are Specific Surface Area Ethylene glycol and glycerol
frequently found in soils, and they can be readily de- adsorb on clay surfaces. As different clay minerals
tected by effervescence when the soil is treated with have different values of specific surface, the amount of
dilute HCl. Many methods for determining inorganic glycol or glycerol retained under controlled conditions
carbonates, calcite, and dolomite in soils are available can be used to aid in the quantitative determinations
(Nelson, 1982). These include dissolution in acid, dif- of clay minerals and for estimation of specific surface
ferential thermal analysis, X-ray diffraction, and chem- area (Martin, 1955; Diamond and Kinter, 1956; and
ical analyses. American Society for Testing and Materials, 1970).
Gypsum Gypsum (CaSO4 2H2O) can be deter- Use of ethylene glycol monoethyl ether (EGME) as
mined by a simple heating test. Visible grains will turn the polar molecule for determining surface area offers
white when heated on a metal plate as a result of de- the advantages of the attainment of adsorption equilib-
hydration to form ‘‘dead-burnt gypsum’’ (Shearman, rium more rapidly and with greater precision (Carter
1979). Quantitative determinations can be made using et al., 1982). A monomolecular layer of EGME is as-
procedures described by Nelson (1982). sumed to form in vacuum on a predried clay sample.
Organic Matter Organic matter can be readily de- The weight of EGME adsorbed after equilibrium is
tected by treatment of the soil with a 15 percent hy- reached is converted to specific surface using a factor
of 0.000286 g EGME per square meter of surface.
drogen peroxide solution. H2O2 reacts with organic
matter to give vigorous effervescence. As organic mat-
ter has an aggregating effect, and because its presence
3.22 X-RAY DIFFRACTION ANALYSIS
may interfere with other mineralogical analyses, it is
desirable to remove most of it by digestion with H2O2 X-Rays and Their Generation
(Kunze and Dixon, 1986). Quantitative analysis meth-
X-ray diffraction is the most widely used method for
ods for soil organic matter are given by the American
identification of fine-grained soil minerals and the
Society for Testing and Materials (1970), Nelson and
study of their crystal structure. X-rays are one of sev-
Sommers (1982), and Schnitzer (1982).
eral types of waves in the electromagnetic spectrum
Oxides and Hydroxides Free oxides and hydrox-
(Fig. 3.2). X-rays have wavelengths in the range of
ides that may be present in soils include crystalline and 0.01 to 100 Å. When high-speed electrons impinge on
noncrystalline (amorphous) compounds of silicon, alu- a target material, one of two phenomena may occur:
minum, and iron. These materials may occur as dis-
crete particles, as coatings on particles, and as 1. The high-speed electron strikes and displaces an
cementing agents between particles. They may make electron from an inner shell of one of the atoms
soil dispersion difficult, and they may interfere with of the target material. An electron from one of
other analysis procedures. Methods for oxide and hy- the outer shells then falls into the vacancy to
droxide detection, quantitative analysis, and removal lower the energy state of the atom. An X-ray
are given by Jackson et al. (1986). photon of wavelength and intensity characteristic
X-RAY DIFFRACTION ANALYSIS 71
of the target atom and of the particular electronic
positions is emitted. Because electronic transfers
may take place in several shells and each has a
characteristic frequency, the result is a relation-
ship between radiation intensity and wavelength
as shown in Fig. 3.33.
2. The high-speed electron does not strike an elec-
tron in the target material but slows down in the
intense electric fields near atomic nuclei. The de-
crease in energy is converted to heat and to X-
ray photons. X-rays produced in this way are
independent of the nature of the bombarded at-
oms and appear as a band of continuously vary- Figure 3.35 Composite relationship for X-ray intensity as a
function of wavelength.
ing wavelength as shown in Fig. 3.34.
The resulting output of X-rays from these two ef-
fects acting together is shown in Fig. 3.35. X-rays are
generated using a tube in which electrons stream from length. The wavelengths of monochromatic radiation
a filament to a target material across a voltage drop of (usually K, Fig. 3.33) produced from commonly used
20 to 50 kV. Curved crystal monochrometers can be target materials range from 0.71 Å for molybdenum to
used to give X-rays of a single wavelength. Alterna- 2.29 Å for chromium. Copper radiation, which is most
tively, certain materials are able to absorb X-rays of frequently used for mineral identification, has a wave-
different wavelengths, so it is possible to filter the out- length of 1.54 Å.
put of an X-ray tube to give rays of only one wave-
Diffraction of X-rays
Because wavelengths of about 1 Å are of the same
order as the spacing of atomic planes in crystalline
materials, X-rays are useful for analysis of crystal
structures. When X-rays strike a crystal, they penetrate
to a depth of several million layers before being ab-
sorbed. At each atomic plane a minute portion of the
beam is absorbed by individual atoms that then oscil-
late as dipoles and radiate waves in all directions. Ra-
diated waves in certain directions will be in phase and
can be interpreted in simplistic fashion as a wave re-
sulting from a reflection of the incident beam. In-phase
radiations emerge as a coherent beam that can be de-
Figure 3.33 X-ray generation by electron displacement. Let- tected on film or by a radiation counting device. The
ters designate shells in which electron transfer takes place. orientation of parallel atomic planes, relative to the di-
rection of the incident beam, at which radiations are in
phase depends on the wave length of the X-rays and
the spacing between atomic planes.
Figure 3.36 shows a parallel beam of X-rays of
wavelength striking a crystal at an angle to parallel
atomic planes spaced at distance d. If the reflected
wave from C is to reinforce the wave reflected from
A, then the path length difference between the two
waves must be an integral number of wave lengths n.
From Fig. 3.36, this difference is distance BC ⫹ CD.
Thus,
Figure 3.34 X-ray generation by deceleration of electrons
in an electric field. BC ⫹ CD ⫽ n
Figure 3.36 Geometrical conditions for X-ray diffraction according to Bragg’s law.
From symmetry, BC ⫽ CD, and by trigonometry, the X-ray beam. Thus, each mineral will produce a
CD ⫽ d sin . Thus the necessary condition is given characteristic set of reflections at values of corre-
by sponding to the interatomic spacings between the
prominent planes. The intensities of the different re-
n ⫽ 2d sin (3.3) flections vary according to the density of atomic pack-
ing and other factors.
This is Bragg’s law. It forms the basis for identification When the oriented aggregate method is used, platy
of crystals using X-ray diffraction. Since no two min- clay particles are precipitated onto a glass slide, usu-
erals have the same spacings of interatomic planes in ally by drying from a deflocculated suspension or sep-
three dimensions, the angles at which diffractions oc- arated from a suspension on a porous ceramic plate.
cur (and the atomic spacings calculated from them) can With most particles oriented parallel to the slide, the
be used for identification. X-ray diffraction is partic- (001) reflections are intensified, whereas reflections
ularly well suited for identification of clay minerals from (hk0) planes are minimized.
because the (001) spacing is characteristic for each In the Bragg equation, n may be any whole number.
clay mineral group. The basal planes generally give the The reflection corresponding to n ⫽ 1 is termed the
most intense reflections of any planes in the crystals first-order reflection. If the first-order reflection for a
because of the close packing of atoms in these planes. mineral gives d(001) ⫽ 10 Å, then for n ⫽ 2 there can
The common nonclay minerals occurring in soils are be a reflection at 5 Å, for n ⫽ 3 there can be a reflec-
also detectable by X-ray diffraction. tion at 3.33 Å, and so on. It is common to refer to
these as higher-order reflections due to the (002) plane,
Detection of Diffracted X-rays the (003) plane, and so on, even though atomic planes
Because the small size of most soil particles prevents do not exist at these spacings. They are, in reality, val-
the study of single crystals, use is made of the powder ues of d/n ⫽ /(2 sin ) for integer values of n ⬎ 1.
method and of oriented aggregates of particles. In the
powder method, a small sample containing particles at Analysis of X-ray Patterns
all possible orientations is placed in a collimated beam A complete X-ray diffraction pattern consists of a se-
of parallel X-rays, and diffracted beams of various in- ries of reflections of different intensities at different
tensities are scanned by a Geiger, proportional, or scin- values of 2. Each reflection must be assigned to some
tillation tube and recorded automatically to produce a component of the sample. The first step in the analysis
chart showing the intensity of diffracted beam as a is to determine all values of d/n for the particular type
function of angle 2. As an example, the diffraction of radiation (which determines ) using Eq. (3.3). The
pattern for quartz is shown in Fig. 3.37. The powder test pattern may be compared directly with patterns for
method works because the very large number of par- known materials. The American Society for Testing
ticles in a sample ensures that some will always be and Materials maintains a file of patterns for many
properly oriented to produce a reflection. materials indexed on the basis of the strongest lines in
All prominent atomic planes in a crystal will pro- the pattern. X-ray diffraction data for the clay minerals
duce a reflection if properly positioned with respect to and other common soil minerals are given in Grim
X-RAY DIFFRACTION ANALYSIS 73
Figure 3.37 X-ray diffractometer chart for quartz. Peaks occur at specific 2 angles, which
can be converted to d spacings by Bragg’s law. Numbers in parentheses are the Miller indices
for the crystal planes responsible for the indicated peak.
(1968), Carroll (1970), Brindley and Brown (1980), to 11.6 Å when heated at 70C. All interlayer water
Whittig and Allardice (1986), and Moore and Reyn- can be expelled at 500C, but rehydration is rapid on
olds (1997). The most intense reflections for minerals cooling. Permanent dehydration and collapse to 9.02
commonly found in powder samples of soils are listed Å can be achieved by heating to 700C.
in Table 3.7. Basal spacings for different clay minerals Chlorite Minerals The basal spacing of chlorite
associated with different pretreatments are listed in Ta- minerals is fixed at 14 Å because of the strong ordering
ble 3.8 and shown pictorially in Fig. 3.38. of the interlayer complex. Chlorites often have a clear
sequence of four or five basal reflections. The third-
order reflection at 4.7 Å is often strong. Iron-rich chlo-
Criteria for Clay Minerals rites have a weak first-order reflection but strong
The different clay minerals are characterized by first- second-order reflections and, thus, may be confused
order basal reflections at 7, 10, or 14 Å. Positive iden- with kaolinite. The facts that chlorite is destroyed
tification of specific mineral groups ordinarily requires when treated with 1 N HCl at 60C while kaolinite is
specific pretreatments. Separation of size fractions re- unaffected, and that kaolinite is destroyed but chlorite
quires thorough dispersion of the sample. As cement- may not be affected on heating to 600C, are useful
ing compounds may both inhibit dispersion and for distinguishing the two clay mineral types.
adversely affect the quality of the diffraction patterns, Criteria for Nonclay Minerals
their removal may be necessary. To ensure uniform ex-
pansion due to hydration for all crystals of a particular Strong X-ray diffraction reflections for some of the
mineral, the clay should be made homoionic. Magne- nonclay minerals are listed in Table 3.7. These include
sium and potassium are most frequently used for sat- feldspar, quartz, and carbonates. More detailed listings
of X-ray powder data for specific iron oxide minerals,
uration of the exchange sites. Detailed procedures for
silica minerals, feldspars, carbonates, and calcium sul-
pretreatments useful in X-ray diffraction analysis of
fate minerals are given in Brindley and Brown (1980)
clay soils are given by Whittig and Allardice (1986) as well as in standard reference files.
and Moore and Reynolds (1997).
Kaolinite Minerals The kaolinite basal spacing of Quantitative Analysis by X-ray Diffraction
about 7.2 Å is insensitive to drying or moderate heat- Quantitative determination of the amounts of different
ing. Heating to 500C destroys kaolinite minerals, but minerals in a soil on the basis of simple comparison
not the other clay minerals. Hydrated halloysite has a of diffraction peak heights or areas are uncertain
basal spacing of 10 Å, which collapses irreversibly to because of differences in mass absorption coefficients
7 Å on drying at 110C. Organic chemical treatments of different minerals, particle orientations, sample
are sometimes used to distinguish dehydrated halloy- weights, surface texture of the sample, mineral crys-
site from kaolinite (MacEwan and Wilson, 1980). The tallinity, hydration, and other factors. Estimates based
electron microscope can also be used to distinguish on X-ray data alone are usually at best semiquantita-
dehydrated halloysite with its tubular morphology from tive; however, in some cases techniques that account
kaolinite. for differences in mass absorption characteristics and
Hydrous Mica (Illite) Minerals Illite is character- utilize comparisons with known mixtures or internal
ized by d(001) of about 10 Å, which remains fixed both standards may give good results. Soils containing only
in the presence of polar liquids and after drying. two or three well-crystallized mineral components are
Smectite (Montmorillonite) Minerals The expan- more easily analyzed than those with multimineral
sive character of this group of minerals provides the compositions and mixed layering. For more detailed
basis for their positive identification. When air dried, treatment of X-ray diffraction theory, identification cri-
these minerals may have basal spacings of 12 to 15 Å. teria, and techniques, particularly as related to the
After treatment with ethylene glycol or glycerol, the study of clays, see Klug and Alexander (1974), Carroll
smectites expand to a d(001) value of 17 to 18 Å. When (1970), Brindley and Brown (1980), Whittig and Al-
oven dried, d(001) drops to about 10 Å as a result of the lardice (1986), and especially Moore and Reynolds
removal of interlayer water. (1997).
Vermiculite Although an expansive mineral, the
greater interlayer ordering in vermiculite results in less 3.23 OTHER METHODS FOR COMPOSITIONAL
variability in basal spacing than occurs in the smectite ANALYSIS
minerals. When Mg saturated, the hydration states of
vermiculite yield a discrete set of basal spacings, re- Thermal Analysis
sulting from a changing but ordered arrangement of Principle Differential thermal analysis (DTA) con-
Mg cations and water in the interlayer complex. When sists of simultaneously heating a test sample and a
fully saturated, the d spacing is 14.8 Å, which reduces thermally inert substance at constant rate (usually
OTHER METHODS FOR COMPOSITIONAL ANALYSIS 75
Table 3.7 X-ray Diffraction Data for Clay Minerals and Common Nonclay Minerals
d (Å) Mineral a d (Å) Mineral a

14 Mont. (VS) Chl. Verm. (VS)b 2.93–3.00 Felds.
12 Sepiolite, heated corrensite 2.89–2.90 Carb.
10 Illite, Mica (S), Halloysite 2.86 Felds.
9.23 Heated Verm. 2.84 Carb. Chl.
7 Kaol. (S). Chl. 2.84–2.87 Chl.
6.90 Chl. 2.73 Carb.
6.44 Attapulgite 2.61 Attapulgite
6.39 Felds. 2.60 Verm., Sepiol.
4.90–5.00 Illite, Mica, Halloysite 2.56 Illite (VS), Kaol.
4.70–4.79 Chlor. (S) 2.53–2.56 Chlor., Felds., Mont.
4.60 Verm. (S) 2.49 Kaol. (VS)
4.45–4.50 Illite (VS), Sepiolite 2.46 Quartz, heated Verm.
4.46 Kaol. 2.43–2.46 Chlorite
4.36 Kaol. 2.39 Verm., Illite
4.26 Quartz (S) 2.38 Kaol.
4.18 Kaol. 2.34 Kaol. (VS)
4.02–4.04 Felds. (S) 2.29 Kaol. (VS)
3.85–3.90 Felds. 2.28 Quartz, Sepiol.
3.82 Sepiol. 2.23 Illite, Chl.
3.78 Felds. 2.13 Quartz, Mica
3.67 Felds. 2.05–2.06 Kaol. (WK)
3.58 Carbonate, Chl. 1.99–2.00 Mica, Illite (S), Kaol. Chl.
3.57 Kaol. (VS), Chl. 1.90 Kaol.
3.54–3.56 Verm. 1.83 Carb.
3.50 Felds., Chlor. 1.82 Quartz
3.40 Carb. 1.79 Kaol.
3.34 Quartz (VS) 1.68 Quartz
3.32–3.35 Illite (VS) 1.66 Kaolin
3.30 Carb. 1.62 Kaolin
3.23 Attapulgite 1.54B Verm. (S), Quartz
3.21 Felds. 1.55 Quartz
3.20 Mica 1.58 Chl.
3.19 Felds. (VS) 1.53 Verm., Illite
3.05 Mont. 1.50 Ill. (S), Kaol.
3.04 Carb. (VS) 1.48–1.50 Kaol. (VS), Mont.
3.02 Felds. 1.45B Kaol.
3.00 Heated Verm. 1.38 Quartz, Chl.
2.98 Mica (S) 1.31, 1.34, 1.36 Kaol. (B)
a
(B) ⫽ broad; (S) ⫽ strong; (VS) ⫽ very strong; (WK) ⫽ weak; Mont. ⫽ montmorillonite; Ch1. ⫽ chlorite; Verm. ⫽
vermiculite; Kaol. ⫽ kaolinite; Carb. ⫽ carbonate; Felds. ⫽ feldspar; Sepiol. ⫽ sepiolite.
b
Italics indicates (001) spacing.
about 10C/min) to over 1000C and continuously ygen, are also used to some extent. Thermal analysis
measuring differences in temperature between the sam- techniques are described in detail by Tan et al. (1986).
ple and the inert material. Differences in temperature The results of differential thermal analysis are pre-
between the sample and the inert substance reflect resented as a plot of the difference in temperature
actions in the sample brought about by the heating. between sample and inert material ( T) versus tem-
Thermogravimetric analyses, based on changes in perature (T) as indicated in Fig. 3.39. Endothermic re-
weight caused by loss of water or CO2 or gain in ox- actions are those wherein the sample takes up heat,
Table 3.8 X-ray Identification of the Principal Clay Minerals (⬍ 2 ␮m) in an Oriented Mount of a Clay
Fraction Separated from Sedimentary Material
Glycolation Effect
Mineral Basal d Spacings (001) (1 h, 60C) Heating Effect (1 h)
Kaolinite 7.15 Å (001); 3.75 Å (002) No change Becomes amorphous 550–
600C
Kaolinite, disordered 7.15 Å (001) broad; 3.75 Å No change Becomes amorphous at lower
broad temperatures than kaolinite
Halloysite, 4H2O 10 Å (001) broad No change Dehydrates to 2H2O at 110C
(hydrated)
Halloysite, 2H2O 7.2 Å (001) broad No change Dehydrates at 125–150C;
(dehydrated) becomes amorphous 560–
590C
Mica 10 Å (002); 5 Å (004) No change (001) becomes more intense on
generally referred to as heating but structure is
(001) and (002) maintained to 700C
Illite 10 Å (002), broad, other No change (001) noticeably more intense
basal spacings present on heating as water layers
but small are removed; at higher
temperatures like mica
Montmorillonite group 15 Å (001) and integral (001) expands to 17 At 300C (001) becomes 9 Å
series of basal spacings Å with rational
sequence of
higher orders
Vermiculite 14 Å (001) and integral No change Dehydrates in steps
series of basal spacings
Chlorite, Mg-form 14 Å (001) and integral No change (001) increases in intensity;
series of basal spacings ⬍800C shows weight loss
but no structural change
Chlorite, Fe-form 14 Å (001) less intense No change (001) scarcely increases;
than in Mg-form; structure collapses below
integral series of basal 800C
spacings
Mixed-layer minerals Regular, one (001) and No change unless Various, see descriptions of
integral series of basal an expandable individual minerals
spacings component is
present
Random, (001) is addition Expands if Depends on minerals present in
of individual minerals montmorillonite is interlayered mineral
and depends on amount a constituent
of those present
Attapulgite High intensity d reflections No change Dehydrates stepwise (see
(palygorskite) at 10.5, 4.5, 3.23, and description)
2.62 Å
Sepiolite High intensity reflections at No change Dehydrates stepwise (see
12.6, 4.31, and 2.61 Å description)
Amorphous clay, No d reflections No change Dehydrates and loses weight
allophane
Compiled by Carroll (1970).
OTHER METHODS FOR COMPOSITIONAL ANALYSIS 77
Figure 3.38 Pictorial representation of response of phyllosilicates to differentiating treat-

ments. Approximate spacings in nm (1 nm ⫽ 10 Å) (from Whittig and Allardice, 1986).
Reproduced with permission from The American Society of Agronomy, Inc., Madison, WI.
and in exothermic reactions, heat is liberated. Analysis quired is about 1 g. Although the temperatures at
of test results consists of comparing the sample curve which thermal reactions take place are a function only
with those for known materials so that each deflection of the sample, the size and shape of the reaction peaks
can be accounted for. depend also on the thermal characteristics of the ap-
Apparatus Apparatus for DTA consists of a sample paratus and the heating rate.
holder, usually ceramic, nickel, or platinum; a furnace; Reactions Producing Thermal Peaks The impor-
a temperature controller to provide a constant rate of tant thermal reactions that generate peaks on the ther-
heating; thermocouples for measurement of tempera- mogram are:
ture and the difference in temperature between the
sample and inert reference material; and a recorder for 1. Dehydration Water in a soil may be present in
the thermocouple output. The amount of sample re- three forms in addition to free pore water: (1)
Beside quartz, the only common nonclay minerals

in soils that give thermal reactions with large peaks are
carbonates and free oxides such as gibbsite, brucite,
and goethite. The carbonates give very large endother-
mic peaks between about 800 and 1000C, and the ox-
ides have an endothermic peak between about 250 and
450C. Thermograms for many clay and nonclay min-
erals are presented by Lambe (1952).
Quantitative Analysis Theoretically, the area of the
reaction peak is a measure of the amount of mineral
present in the sample. For sharp, large amplitude peaks
such as the quartz inversion at 573C and the kaolinite
endotherm at 650C, the amplitude can be used for
quantitative analysis. In either case, calibration of the
Figure 3.39 Thermogram of a sandy clay soil.
apparatus is necessary, and the overall accuracy is of
the order of plus or minus 5 percent.
adsorbed water or water of hydration, which is Optical Microscope
driven off at 100 to 300C, (2) interlayer water
such as in halloysite and expanded smectite, and Both binocular and petrographic microscopes can be
(3) crystal lattice water in the form of (OH) ions, used to study the identity, size, shape, texture, and con-
the removal of which is termed dehydroxylation. dition of single grains and aggregates in the silt and
Dehydroxylation destroys mineral structures. The sand size range; for study in the thin section of the
temperature at which the major amount of crystal fabric, that is, the spatial distribution and interrelation-
lattice water is lost is the most indicative property ships of the constituents; and for study of the orien-
for identification of minerals. Dehydration reac- tations of groups of clay particles. Because the in-focus
tions are endothermic and occur in the range of depth of field decreases sharply as magnification in-
500 to 1000C. creases, study of soil thin sections is impractical at
2. Crystallization New crystals form from amor- magnifications greater than a few hundred. Thus, in-
phous materials or from old crystals destroyed at dividual clay particles cannot usually be distinguished
a lower temperature. Crystallization reactions using an optical microscope.
usually are accompanied by an energy loss and, Useful information about the shape, texture, size,
thus, are exothermic, occurring between 800 and and size distribution of silt and sand grains may be
1000C. obtained directly without formal previous training in
3. Phase Changes Some crystal structures change petrographic techniques. Some background is needed
from one form to another at a specific tempera- to identify the various minerals; however, relatively
ture, and the energy of transformation shows up simple diagnostic criteria that can be used for identi-
as a peak on the thermogram. For example, fication of over 80 percent of the coarse grains in most
quartz changes from the to form reversibly soils are given by Cady et al. (1986). These criteria
at 573C. The peak for the quartz phase change are based on such factors as color, refractive index,
is sharp, and its amplitude is nearly in direct pro- birefringence, cleavage, and particle morphology. The
portion to the amount of quartz present. The nature of surface textures, the presence of coatings,
quartz peak is frequently masked within the peak layers of decomposition, and so on are useful both for
for some other reacting material, but may be interpretation of the history of a soil and as a guide to
readily identified by determining the thermogram the soundness and durability of the particles.
during cooling of the sample or by letting it cool
first and then rerunning it. The other minerals are Electron Microscope
destroyed during the initial run while the quartz With modern electron microscopes it is possible to re-
reaction is reversible. solve distances to less than 100 Å, thus making study
4. Oxidation Exothermic oxidation reactions in- of small clay particles feasible. Electron diffraction
clude the combustion of organic matter and the study of single particles may also be useful. Electron
oxidation of Fe2⫹ to Fe3⫹. Organic matter oxi- diffraction is similar to X-ray diffraction except an
dizes in the 250 to 450C temperature range. electron beam instead of an X-ray beam is used.
QUANTITATIVE ESTIMATION OF SOIL COMPONENTS 79
Magnetic lenses that refract an electron beam form DTA endotherm amplitude. If X-ray has indicated
the basis of the transmission electron microscope montmorillonite, chlorite, and/or vermiculite, then
(TEM) optical system. An electron beam is focused on quantitative estimates are made based on the glycol
the specimen, which is usually a replica of the surface adsorption and exchange capacity data. The total
structure of the material under study. Some of the elec- exchange capacity and glycol retention are ascribed to
trons are scattered from the specimen, and different the clay minerals, and the measured values must be
parts of the specimen appear light or dark in proportion accounted for in terms of proportionate contributions
to the amount of scattering. After passing through a by the different clay minerals present.
series of lenses, the image is displayed on a fluorescent As a simple example, assume that quartz, illite, and
screen for viewing. Probably the most critical aspect smectite are identified in the ⫺2 m fraction of a soil.
of successful transmission electron microscopy is spec- Additional data indicate 4.0 percent K2O, ethylene gly-
imen preparation. col retention of 100 mg/g, and a cation exchange ca-
In the scanning electron microscope (SEM), second- pacity of 35 meq/100 g. Then, assuming 9 percent as
ary electrons emitted from a sample surface form what an average value of for pure illite (Table 3.9), the con-
appear to be three-dimensional images. The SEM has tent of illite is estimated at 4.0/9.0, or 44 percent. Be-
a ⫻20 to ⫻150,000 magnification range and a depth cause only the illite and smectite will contribute to the
of field some 300 times greater than that of the light glycol adsorption, the amount of smectite may be es-
microscope. These characteristics, coupled with the timated:
fact that clay particles themselves and fracture surfaces
through soil masses may be viewed directly, have led 0.44 ⫻ 60 ⫹ S ⫻ 300 ⫽ 100
to extensive use of the SEM for study of clays. Ex-
amples of electron photomicrographs of clays and soils 100 ⫺ 26.4
⬖S⫽ ⫽ 25%
are given earlier in this chapter and in Chapter 5. Prin- 300
ciples of electron microscopy techniques and addi-
tional examples are presented in McCrone and Delly The remaining 31 percent can be ascribed to quartz
(1973) and Sudo et al. (1981). and other nonclay components. For this clay mineral
composition, the theoretical cation exchange capacity
should be, based on the reference values in Table 3.9:
3.24 QUANTITATIVE ESTIMATION OF SOIL
COMPONENTS 0.44 ⫻ 25 ⫹ 0.25 ⫻ 85 ⫽ 11 ⫹ 21 ⫽ 33 meq/100 g
Qualitative X-ray diffraction and a few simple tests
This compares favorably with the measured quantity
will generally indicate the minerals present in a soil.
of 35 meq/100 g. Thus, the composition of the clay
More data are needed, however, for more precise quan-
size fraction is
titative estimates. As a rule, the number of different
analyses needed is equal to the number of mineral spe- Illite 44%
cies present. The results of glycol adsorption, cation Smectite 25%
exchange capacity, X-ray diffraction, differential ther- Quartz and other nonclays 31%
mal analysis, and chemical tests all give data that may
be used for quantitative estimations. Some pertinent The main difficulty in this method for quantitative min-
identification criteria and reference values for the clay eralogical analysis is the uncertainty in the reference
minerals are given in Table 3.9. values for the different clay minerals.
After the quantities of organic matter, carbonates, A semiquantitative analysis is sufficient for most ap-
free oxides, and nonclay minerals have been deter- plications. This may be done as follows. The silt and
mined, the percentages of clay minerals are estimated sand fraction can be examined by microscope and the
using the appropriate glycol adsorption, cation ex- approximate proportion of nonclay minerals deter-
change capacity, K2O, and DTA data. The nonclays mined. The amount of clay size material ⫺2 m can
can be identified, and their abundance determined, us- be estimated by grain size distribution analysis. As a
ing the microscope, grain size distribution analysis, X- first approximation, it may be assumed that the amount
ray diffraction, and DTA. The amount of illite is of clay mineral equals at least the amount of clay size.
estimated from the K2O content since this is the only This assumption is justified for the following reasons.
clay mineral containing potassium. The amount of ka- Nonclay minerals, principally quartz, are found in the
olinite is most reliably determined from the 600C clay size fraction. On the other hand, for most soils,
Table 3.9 Summary of Clay Mineral Identification Criteria—Reference Data for Clay Mineral Identification
(⫺2-␮m fraction)
X-ray Glycol CEC K2O

Clay d(001) (mg/g) (meq/100 g) (%) DTAa
Kaolinite 7 16 3 0 End. 500–660 ⫹ Sharpb
Exo. 900–975 Sharp
Dehydrated halloysite 7 35 12 0 Same as kaolinite but 600 peak
slope ratio ⬎ 2.5
Hydrated halloysite 10 60 12 0 Same as kaolinite but 600 peak
slope ratio ⬎ 2.5
Illite 10 60 25 8–10 End. 500–650 Broad
End. 800–900 Broad

Exo. 950
Vermiculite 10–14 200 150 0
Smectite 10–18 300 85 End. 600–750
End. 900
Exo. 950
Chlorite 14c 30 40 0 End. 610 10 or 720 20
a
For clays prepared at same relative humidity the size of the 100–300C endotherm (adsorbed water removal) increases
in the order kaolinite–illite–smectite.
b
For samples started at 50% RH the amplitude of 600 peak/amplitude of adsorbed water peak ⬎⬎⬎1.
c
Heat treatment will accentuate 14 Å line and weaken 7 Å line.
the amount of clay mineral exceeds the amount of clay Interatomic bonding, crystal structure, and surface
size. This most probably results from cementation of characteristics determine the size, shape, and stability
small clay particles into aggregates larger than 2 m of soil particles and the interactions of soil particles
in diameter. Approximate proportions of the different with liquids and gases. The structural stability of the
clay minerals in the clay fraction can be estimated different minerals controls their resistance to weath-
from the relative intensities of the X-ray diffraction ering and hence accounts in part for the relative abun-
reflections for each mineral. The presence of organic dance of different minerals in different soils.
matter and carbonates can be easily detected using the Because interatomic bonds in soil particles are
tests listed in Section 3.21. strong, primary valence bonds, whereas usual interpar-
ticle bonds are of the secondary valence or hydrogen
bond type, individual particles are strong compared to
groups of particles. Thus, most soil masses behave as
3.25 CONCLUDING COMMENTS assemblages of particles in which deformation proc-
The sizes, shapes, and surface characteristics of the esses are dominated by displacements between parti-
particles in a soil are determined in large measure by cles and not by deformations of particles themselves,
their mineralogy. Mineralogy also determines interac- although grain crushing becomes important in coarse-
tions with fluid phases. Together, these factors deter- grained soils such as sands and gravels when they are
mine plasticity, swelling, compression, strength, and under very high stresses.
fluid conductivity behavior. Thus, mineralogy is fun- The type of bonding between the unit layers of the
damental to the understanding of geotechnical prop- clay minerals, coupled with the adsorption properties
erties, even though mineralogical determinations are of the particle surfaces, controls soil swelling. Ad-
not made for many geotechnical investigations. In- sorption and desorption processes are important in
stead, other characteristics that reflect both composi- interactions between chemicals and soils. These inter-
tion and engineering properties, such as Atterberg actions in turn determine the flow and attenuation of
limits and grain size distribution, are determined. various substances through soil. Changes in surface
forces owing to changes in chemical environment may d. (111) and (111)
alter the structural state of a soil. e. (112) and (001)
Mineralogy is related to soil properties in much the
same way as the composition and structure of cement 5. A clay has a surface density of charge of one
and aggregates are to concrete, or as the composition charge per 150 Å2. Its cation exchange capacity is
and crystal structure of steel relate to its strength and 10 meq/100 g. Determine the specific surface
deformability. With these engineering materials—soil, area.
concrete, and steel—mechanical properties can be 6. Why are soils containing smectite often expansive,
measured directly; however, they cannot be explained whereas soils containing illite and/or kaolinite are
without consideration of the composition and structure not?
of their components.
Since about 1980, environmental problems, espe- 7. As the geotechnical engineer on a project, you find
cially those related to the safe disposal and contain- an inorganic soil containing 15 percent by weight
ment of municipal, hazardous, and nuclear waste and of particles finer than 100 m, as measured by
to the clean up of contaminated sites and the protection hydrometer analysis. What soil components do
of groundwater, have assumed a major role in geo- you expect? Why?
technical engineering practice. This has required a How could you confirm this expectation? Be spe-
greatly increased focus on the compositional charac- cific in terms of tests and diagnostic criteria.
teristics of soils and their relation to the long-term 8. What is the smallest interplanar spacing that can
physical and chemical properties that control soil be- be measured by X-ray diffraction using copper K
havior under changed and extreme environmental con-
radiation?
ditions.
9. You suspect that a fine-grained soil sample con-
tains kaolinite, illite, and smectite minerals. De-
scribe in logical sequence the tests you would do
QUESTIONS AND PROBLEMS to verify that these clay minerals are present. In-
1. A montmorillonite has a cation exchange capacity dicate the reasons why you choose these tests and
of 130 meq/100 g and a total external and internal the criteria for distinguishing among the minerals.
surface area of 800 m2 /g. 10. An inorganic clay has a liquid limit of 350 percent.
a. How many calcium ions will there be on a par- a. What is the most probable predominant clay
ticle that is 0.4 m ⫻ 0.2 m ⫻ one unit cell mineral in this soil?
in thickness? b. Explain the high liquid limit in terms of the
b. What percentage of the dry weight of the clay crystal structure of this mineral.
is composed of calcium? c. Would you recommend founding light struc-
2. An orthorhombic crystal has axial ratios of 0.6, tures on shallow footings above this soil? Why?
0.3, and 1.0. The (500) plane is 2.0 Å horizontally 11. A soil sample has a cation exchange capacity of
from the origin. This crystal is irradiated with
30 meq/100 g and a specific surface area of 50
CuK X-rays (wave length of 1.54 Å). At what
m2 /g. You wish to determine the type of clay min-
value of does the second-order (010) reflection
eral in this soil. Based on your general knowledge
occur?
of the area from which it came, including the ge-
3. Sketch the following planes relative to crystallo- ology, you suspect the possibility of hydrated hal-
graphic axes: (001), (243), (hk0), (hkl), (111), loysite, illite, and smectite. State specifically how
(060), (010). you would determine which mineral is present.
4. Consider an orthorhombic crystal of dimensions 12. An X-ray diffraction pattern for a soil sample from
a ⫽ 6Å, b ⫽ 12 Å, c ⫽ 8 Å. With the aid of a site where light structures (houses, a shopping
sketches determine the angle of intersection be- center) are to be located shows peaks at 2 ⫽ 5,
tween the planes of each pair indicated below. If 10, 12.2, 20.8, 24.7, and 26.7. Copper K ra-
the planes do not intersect, then so indicate. diation was used.
a. (002) and (020) a. What minerals are present in the sample?
b. (001) and (002) b. If the measure cation capacity is 40 meq/100
c. (111) and (222) g, what is the approximate minimum amount of
clay mineral in the sample by weight percent- 14. The gradation curve for a sandy clay soil is shown
age? in Fig. 3.40.
c. What concerns would you have about this soil a. What are the percentages by weight of sand,
as a foundation material? silt, and clay size material?
d. How could you minimize any problems iden- b. Consider a 100-g sample of the soil and assume
tified in part (c)? that all sand particles are of a size equal to the
average particle size in the sand size range, the
13. In general the average clay particle size as repre- silt particles are of a size equal to the average
sented by some effective diameter D, for smectite particle size in the silt size range, and all clay
particles (S) is less than that of hydrous mica (il- particles are of a size equal to the average par-
lite) (HM) particles, which, in turn, is less than ticle size in the clay size range. Base your de-
that of kaolinite (K) particles. In addition, the av- termination of average particle size in each
erage particle thicknesses are in the order range on equal weights of particles coarser and
finer than the average for each size range.
tS ⬍ tHM ⬍ tK Estimate the number of sand, silt, and clay
particle in the sample. For purposes of this
estimate, the sand and silt particles can be
and values of the thickness-to-diameter ratio (t/D)
assumed to be spherical. Assume the clay
are in the order
particles to be flat disks having a diameter-to-
thickness ratio of 10. Assume the average size
(t/D)S ⬍ (t/D)HM ⬍ (t/D)K of clay particles on the gradation curve to rep-
resent the disk diameter.
What are some implications of these relationships c. Estimate the specific surface area of this soil in
with respect to the relative values of plasticity, hy- square meters per gram. Determine the per-
draulic conductivity, compression–swell behavior, centages of this total that are contributed by the
and strength characteristics of three soils: one con- sand, silt, and clay fractions.
taining a large amount of smectite, one containing d. Are the estimates of the numbers of particles
a large amount of hydrous mica (illite), and one and specific surface area made in this way too
containing a large amount of kaolinite? high, too low, or correct? Why?
Figure 3.40 Gradation curve for a sandy clay soil.

CHAPTER 4
Soil Composition and

Engineering Properties
4.1 INTRODUCTION ceeds 50 percent.1 The engineering properties of co-

hesionless soil are often determined by applied
The engineering properties of a soil depend on the confining pressure and looseness or denseness as in-
composite effects of several interacting factors. These dicated by the relation of the current void ratio to the
factors may be divided into two groups: compositional lowest and highest possible values of void ratio for the
factors and environmental factors. Compositional fac- soil. The engineering properties of cohesive soil are
tors determine the potential range of values for any often characterized by stiffness and strength and by
property. They include: relating the current water content and past consolida-
tion history to the compositional characterization pro-
1. Types of minerals vided by the plasticity index. Some engineering
2. Amount of each mineral characteristics of coarse-grained and fine-grained soils
3. Types of adsorbed cations are listed and compared in Fig. 4.1. Detailed discussion
4. Shapes and size distribution of particles of the combined effects of compositional and environ-
5. Pore water composition mental factors on the three most important property
6. Type and amount of other constituents, such as classes for engineering problems, that is, conductivity,
organic matter, silica, alumina, and iron oxide volume change, and deformation and strength, is given
in Chapters 9, 10, and 11.
The influences of compositional factors on engineering Quantitative determination of soil behavior com-
properties can be studied using disturbed samples. pletely in terms of compositional and environmental
Environmental factors determine the actual value of factors is impractical for several reasons:
any property. They include:
1. Most natural soil compositions are complex, and
1. Water content determination of soil composition is difficult.
2. Density 2. Physical and chemical interactions occur between
3. Confining pressure different phases and constituents.
4. Temperature 3. The determination and expression of soil fabric
5. Fabric in quantitatively useful ways is difficult.
6. Availability of water 4. Past geologic history and present in situ environ-
ment are difficult to simulate in the laboratory.
Undisturbed samples, or in situ measurements, are re- 5. Physicochemical and mechanical theories for re-
quired for the study of the effects of environmental lating composition and environment to properties
factors on properties. quantitatively are inadequate.
Soils are classified as coarse grained, granular, and
cohesionless if the amount of gravel and sand exceeds 1
The terms cohesionless and cohesive must be used with care, as
50 percent by weight or fine grained and cohesive if even a few percent of clay mineral in a coarse-grained soil can impart
the amount of fines (silt and clay-size material) ex- plastic characteristics.
83
84 4 SOIL COMPOSITION AND ENGINEERING PROPERTIES
“Granular Soils” “Fines”
Gravel Sand Silt Clay
75 mm 5 mm 0.07 mm 0.002 mm
3 in. 0.2 in. 0.003 in. 0.00008 in.
Apples to English peas Finer than Much finer than

English peas to baking flour baking flour baking flour
Particles visible without magnification Particles not visible without magnification

Grain size measurable with sieves Grain size not measurable with sieves
Grain size measured by sedimentation rate
Grains do not form a coherent mass Grains stick together when mixed with water due
even when wet – cohesionless to pore water suction and physicochemical pore
fluid-mineral interaction – cohesive
Nonplastic – there is no range of water Plastic – deforms without cracking over a range
content where the soil can be deformed of water content between the liquid limit and the
without cracking or crumbling. plastic limit
Liquid (pancake batter)

Liquid Limit (LL)
Plastic (modeling clay)
Plastic Limit (PL)
Semisolid (chocolate bar)
Shrinkage Limit
Solid (chalk)
Permeability is moderate to high (10 -6 to 10-1 m/s). Permeability is low to very low (<10-7 m/s).
Water flows easily through the voids. Water flows slowly through the voids.
Drainage takes weeks to tens of years.
Drainage occurs rapidly except under dynamic Both “drained” and “undrained” strengths are important.
loading; e.g., earthquakes. “Undrained” strength is low when preconsolidation
Only “drained” strength is important for conditions pressure is low.
other than earthquake loading or rapid landslides.
Most important indicators of mechanical behavior Most important mechanical

are relative density, Dr , and applied confining behavior is “preconsolidation
pressure Behavior of silts pressure pp” and applied
varies from “sand- confining pressure
Dr = 0 to 20% Very loose like” to “clay-like” as pp = 0 to 50 kPa Very soft
Dr = 20 to 40% Loose grain size decreases
Dr = 40 to 60% Med. dense pp = 50 to 100 kPa Soft
Dr = 60 to 80% Dense pp = 100 to 200 kPa Firm
Dr = 80 to 100% Very dense pp = 200 to 400 kPa Stiff
pp = 400 to 800 kPa Very stiff
pp = 0.8 to 1.6 MPa Hard
Very loose _ Compressible
Liquefiable during earthquakes Very soft – Very highly compressible
φ ~30° Undrained shear strength <12.5 kPa
Very dense _ Very low compressibility
Stable during earthquakes Very dense _ Low compressibility
φ ~45° Undrained shear strength >100 kPa
Figure 4.1 Compositional and environmental factors contributing to engineering properties

(adapted from course notes by J. M. Duncan, 1994).
ENGINEERING PROPERTIES OF GRANULAR SOILS 85
Nonetheless, compositional data are valuable for de- Physicochemical interaction between clay minerals
velopment of an understanding of properties and for is shown in Fig. 4.2. Mixtures of bentonite (sodium
establishment of qualitative to semiquantitative guide- montmorillonite) and kaolinite and of bentonite and a
lines for how real soils behave. Accordingly, some commercial illite containing about 40 percent illite clay
relationships between compositional factors and engi- mineral, with the rest mostly silt-sized nonclay, were
neering properties are summarized in this chapter. prepared, and the liquid limits were determined. The
dashed line in Fig. 4.2 shows the liquid limit values to
be expected if each mineral contributed in proportion
4.2 APPROACHES TO THE STUDY OF to the amount present. The data points and solid lines
COMPOSITION AND PROPERTY show the actual measured values. Although the ben-
INTERRELATIONSHIPS tonite–kaolinite mixtures gave values close to theoret-
ical, the liquid limit values for the bentonite–illite
Study of soil composition in relation to soil properties mixtures were much less than predicted. This resulted
may be approached in two ways. In the first, natural from excess salt in the illite that, when mixed with the
soils are used, the composition and engineering prop- bentonite, prevented full interlayer expansion of the
erties are determined, and correlations are made. This montmorillonite particles in the presence of water.
method has the advantage that measured properties are
those of naturally occurring soils. Disadvantages, how-
ever, are that compositional analyses are difficult and
time consuming, and that in soils containing several 4.3 ENGINEERING PROPERTIES OF
minerals or other constituents such as organic matter, GRANULAR SOILS
silica, alumina, and iron oxide the influence of any one The mechanical behavior of granular materials is gov-
constituent may be difficult to isolate. erned primarily by their structure and the applied ef-
In the second approach, the engineering properties fective stresses. Structure depends on the arrangement
of synthetic soils are determined. Soils of known com- of particles, density, and anisotropy. Particle sizes,
position are prepared by blending different commer- shapes, and distributions, along with the arrangement
cially available clay minerals of relatively high purity of grains and grain contacts comprise the soil fabric.
with each other and with silts and sands. Although this The packing characteristics of granular materials are
approach is much easier, it has the disadvantages that discussed further in Chapter 5.
the properties of the pure minerals may not be the
same as those of the minerals in the natural soil, and
important interactions among constituents may be Particle Size and Distribution
missed. Whether the influences of constituents such as Figure 4.3 illustrates the tremendous range in particle
organic matter, oxides and cementation, and other sizes that may be found in a soil, where different sizes
chemical effects can be studied successfully using this are shown to the same scale. The largest size shown
approach is uncertain. represents fine sand. It may be recalled that particles
Regardless of the approach used, there are at least finer than about 0.06 mm cannot be seen by the naked
two difficulties. One is that often the variability in both eye. The orders of magnitude difference in particle
composition and properties in any one soil deposit may sizes found in any one soil is often better appreciated
be great, making the selection of representative sam- from a representation such as that in Fig. 4.3 than by
ples difficult. Variations in composition and texture oc- the usual size distribution (or grading) curve where
cur in sediments within distances as small as a few particle diameters are shown to a logarithmic scale.
centimeters. Residual soils, in particular, are likely to The origin of a cohesionless soil can be reflected by
be very nonhomogeneous. its grading. Alluvial terrace deposits and aeolian de-
A second difficulty is that the different constituents posits tend to be poorly graded or sorted. Glacial de-
of a soil may not influence properties in direct or even posits such as Boulder clays and tills are often well
predictable proportion to the quantity present because graded, containing a wide variety of particle sizes.
of physical and physicochemical interactions. As an Small particles in a well-graded soil fit into the voids
example of physical interactions, blending of equal between larger particles. Well-graded cohesionless
proportions of uniform sand and clay, each having a soils are relatively easy to compact to a high density
compacted unit weight of 17 kN/m3, would not nec- by vibration. The loss of fine fraction by internal ero-
essarily yield a mixture also having a unit weight of sion can lead to large changes in engineering proper-
17 kN/m3 after compaction. The resulting unit weight ties. Uniformly graded soils are usually used for
might be as high as 20 kN/m3 because the clay can controlled drainage applications because they are not
fill void spaces between sand particles. susceptible to loss of fines by internal erosion and their
Figure 4.2 Interactions between clay minerals as indicated by liquid limit (data from Seed
et al., 1964).
hydraulic conductivity can be maintained within defin- minimum void ratios change by mixing sand and silt
able and narrow limits. in different proportions. At low silt contents, silt par-
The slope of the grain size distribution curve is char- ticles fit into the voids between larger sand particles,
acterized by the coefficient of uniformity Cu: so the void ratio of sand–silt mixtures decreases with
increase in silt content. However, at a certain silt con-
d60 tent, the silt fully occupies the voids, and the increase
Cu ⫽ (4.1) in silt content results in sand particles floating inside
d10
the silt matrix. Then, the void ratios increase with fur-
ther increase in silt content.
where d60 and d10 correspond to the sieve sizes that 60
The relative density, DR, a measure of the current
and 10 percent of the particles by weight pass through.
void ratio in relation to the maximum and minimum
A soil with Cu ⬎ 5 to 10 is considered well-graded.
void ratios, and applied effective stresses controls the
The possible range of packing of soil particles is
mechanical behavior of cohesionless soils. Relative
often related to the maximum and minimum void ratios
density is defined by
(or minimum and maximum densities) reflecting the
loosest and densest states, respectively. Uniformly
graded soils tend to have a narrower range of possible emax ⫺ e
DR ⫽ ⫻ 100% (4.2)
densities compared to well-graded soils. Soils contain- emax ⫺ emin
ing angular particles tend to be less dense than soils
with rounded particles, as discussed later in this sec- in which emax, emin, and e are the maximum, minimum,
tion. However, angular and weak materials may crush and actual void ratios.
significantly more during compression, compaction, or The relative density correlates well with other prop-
deformation. Figure 4.4 shows how the maximum and erties of granular soils. As different standard test meth-
2.0
1.8 Maximum void ratio
1.6 Minimum void ratio
1.4
Void ratio
1.2
1.0
0.8
0.6
0.4
0.2
0.0
0 10 20 30 40 50 60 70 80 90 100
Silt content (%)
Figure 4.4 Maximum and minimum void ratios of Monterey

sand–silt mixtures (from Polito and Martin, 2001).
Morphology (large scale) Roundness Texture

(intermediate scale)
Roundness Texture Surface Texture

(intermediate scale) (small scale)
Figure 4.5 Scale-dependent particle shape characterization.

Figure 4.3 Different grain sizes in soil. The solid line gives the particle outline. Morphology de-
scribes overall shape of the particle as given by the heavy
dotted line. Texture reflects the smaller scale local features
of the particles as identified by light dotted circles. The ex-
ods can give different limiting void ratios, the use of amples are surface smoothness, roundness of edges and cor-
the relative density is sometimes criticized, especially ners, and asperities.
when considered in relation to the random in situ var-
iations of the density of most sand and gravel deposits.
Nonetheless, if properly interpreted, relative density
can provide a very useful measure of cohesionless soil elliptical, elongated, and so forth. At smaller scales,
properties. the texture, which reflects the local roughness features
such as surface smoothness, roundness of edges and
corners, and asperities, is important.
Particle Shape
With the exception of mica, most nonclay minerals
Particle shape is an inherent soil characteristic that in soils occur as bulky particles.2 Most particles are
plays a major role in mechanical behavior of soils.
Characterization of particle shape is scale dependent,
as shown in Fig. 4.5. At larger scales, that is, that of 2
Quartz particles become flatter with decreasing size and may have
the particle itself, the particle morphology might be a platy morphology when subdivided to a fineness approaching clay
described as spherical, rounded, blocky, bulky, platy, size (Krinsley and Smalley, 1973).
not equidimensional, however, and are at least slightly tion of aspect ratio and roundness. A convenient way
elongate or tabular. A frequency histogram of particle to characterize particle shapes in more detail is by a
length-to-width ratio (L/W) for Monterey No. 0 sand Fourier mathematical technique. For instance, the (R,
is shown in Fig. 4.6. This well-sorted beach sand is ) Fourier method is in the following form:
composed mainly of quartz with some feldspar. The
冘 (a cos n ⫹ b sin n)
mean of all the particle measurements is an L/W ratio N
of 1.39. This distribution is typical of that for many R() ⫽ a0 ⫹ n n (4.3)
n⫽1
sands and silty sands.
Particle morphology in soil mechanics has histori-
cally been described using standard charts against where R() is the radius at angle , N is the total num-
which individual grains may be compared. A typical ber of harmonics, n is the harmonic number, and a and
chart and some examples are shown in Fig. 4.7 (Krum- b are coefficients giving the magnitude and phase for
bein, 1941; Krumbein and Sloss, 1963; Powers, 1953). each harmonic. The lower harmonic numbers give the
Sphericity is defined as the ratio of the diameter of a overall shape; for instance, the sphericity is expressed
sphere of equal volume to the particle to the diameter by the first and second harmonics. The coefficient val-
of the circumscribing sphere. Roundness is defined as ues for higher-order descriptors generally decay with
the ratio of the average radius of curvature of the cor- increasing descriptor or harmonic number, which ex-
ners and edges of the particle to the radius of the max- presses smaller features (i.e., texture) (Meloy, 1977).
imum sphere that can be inscribed (Wadell, 1932). Other mathematical methods to curve-fit particle
Sphericity and roundness are measures of two very dif- shapes are listed in Table 4.1. Further discussion on
ferent morphological properties. Sphericity is most de- particle shape characterization is given by Barrett
pendent on elongation, whereas roundness is largely (1980), Hawkins (1993), Santamarina et al. (2001), and
dependent on the sharpness of angular protrusions Bowman et al. (2001).
from the particle. Different definitions of sphericity In an assembly of uniform size spherical particles,
and roundness are available, as shown in Table 4.1. the loosest stable arrangement is the simple cubic
Due to the variety of definitions available, the quanti- packing giving a void ratio of 0.91. The densest pack-
fication of particle shape requires accurate specifica- ing is the tetrahedral arrangement giving a void ratio
tion of their definition. of 0.34. Particle shape affects minimum and maximum
In recent years, techniques for computer analysis of void ratios as shown in Fig. 4.8 (Youd, 1973). The
shape data by digital imaging have improved greatly, values increase as particles become more angular or
and standard software applications include determina- the roundness (defined as roundness 1 in Table 4.1)
Figure 4.6 Grain shape distribution of Monterey No. 0 sand. Results are based on study of
277 particles, d50 ⫽ 0.43 mm, Cu ⫽ 1.4 (Mahmood, 1973).
0.9
0.7
Sphericity
0.5
0.3
0.1 0.3 0.5 0.7 0.9

Roundness
(a)
High Sphericity
Low Sphericity
Very Angular Subangular Subrounded Rounded Well

Angular Rounded
(b)
Figure 4.7 Particle shape characterization: (a) Chart for visual estimation of roundness and
sphericity (from Krumbein and Sloss, 1963). (b) Examples of particle shape characterization
(from Powers, 1953).
decreases. When R ⫽ 1, the particle is a sphere. As the following linear fit to the relationship is proposed
particles become more angular, R decreases to zero. (Santamarina and Cho, 2004);
Void ratios are also a function of particle size distri-
bution; the values decrease as the range of particle repose ⫽ 42 ⫺ 17R (4.4)
sizes increases (increase in the coefficient of unifor-
mity Cu). where R is the coefficient of roundness defined as
The friction angle increases with increase in particle roundness 1 in Table 4.1. Similar data relating friction
angularity, possibly as a result of an increase in coor- angle from drained triaxial tests and particle shape is
dination number. For example, values of the angle of presented by Sukumaran and Ashmawy (2001).
repose3 are plotted against roundness in Fig. 4.9 and
Particle Stiffness
Soil mass deformation at very small strains originates
3
Angle of repose can be determined by pouring soil in a graduated from the elastic deformations at points of contact be-
cylinder filled with water. Tilt the cylinder more than 60 and bring tween particles. Contact mechanics shows that the elas-
it back slowly to the vertical position. The angle of the residual sand
slope is the angle of repose. Further details of the method can be tic properties of particles control the deformations at
found in Santamarina and Cho (2004). particle contacts (Johnson, 1985), and these deforma-
Table 4.1 Methods for Particle Shape Characterization
Method Definition
Morphology—Sphere
Sphericity 1 Diameter of a sphere of equal volume
Diameter of circumscribing sphere
Sphericity 2 Particle volume

Volume of circumscribing sphere
Sphericity 3
Projection sphericity Area of particle outline
Area of a circle with diameter equal to the longest length of outline
Inscribed circle sphericity Diameter of the largest inscribed circle

Diameter of the smallest inscribed circle
Morphology—Ellipse
Eccentricity p /Rap, where the ellipse is characterized by Rp ⫹ p cos 2 in polar coordinates
Elongation Smallest diameter

Diameter perpendicular to the smallest diameter
Slenderness Maximum dimension

Minimum dimension
Texture—Roundness
Roundness 1 Average of radius of curvature of surface features, (兺ri)/N

Radius of the maximum sphere that can be inscribed, rmax
Roundness 2 Radius of curvature of the most convex part

0.5 (longest diameter through the most convex part)
Roundness 3 Radius of curveture of the most convex part

Mean radius
Morphology—Texture
Fourier method Eq. (4.3), first and second harmonics, characterize sphericity, whereas higher harmonics
(around 10th) characterizes roundness. Surface texture is characterized by much
higher harmonics.
Fourier descriptor More flexible than the Fourier method by using the complex plane (Bowman et al.,
method 2001). Lower harmonics give shape characteristics such as elongation, triangularity,
squareness, and asymmetry. Higher harmonics (larger than 8th) give textural features.
Fractal analysis Use as a measure of texture (Vallejo, 1995; Santamarina, et al. 2001).
From Hawkins (1993), Santamarina et al. (2001), and Bowman et al. (2001).
tions in turn influence the stiffness of particle assem-
blages. Elastic properties of different minerals and
1.4 rocks are listed in Table 4.2. The modulus of a single
grain, which determines the particle contact stiffness,
is at least an order of magnitude greater than that of
Maximum Void ratio, emax
1.2
the particle assembly. Further details on the relation
An
between particle stiffness and particle assemblage stiff-
gu ness are given in Chapter 11.
1.0 lar
R=
0.2
0
Particle Strength
0.8 0.20
Sub
an The crushability of soil particles has large effects on
Sub gular
rou
nde 0.25 the mechanical behavior of granular materials. At high
Rou d
0.6 nde 0.30 stresses, the compressibility of sand becomes large as
d
0.35 a result of particle crushing, and the shape of an e–log
0.49 p compression curve becomes similar to that of nor-
Minimum Void Ratio, emin
0.8
0.70 mally consolidated clay (Miura et al., 1984; Coop,
Ang
ular
R=0
1990; Yasufuku et al., 1991). Under constant states of
.20
0.6 stress, the amount of particle breakage increases with
Ang
ular
R=0 time, contributing to creep of the soil (Lade et al.,
.17
0.20
1996). The amount of crushing in a soil mass depends
0.4 Suba both on the stiffness and strength of the individual
ngula
r 0.25 0.35
Subrounded 0.30 0.49
grains and how applied stresses are transmitted through
Rounded 0.70 the assemblage of soil particles.
0.2
1 2 3 4 6 10 15 Particle strength or hardness is characterized by
Coefficient of Uniformity, Cu crushing at contacts or particle tensile splitting. There
is a statistical variation in grain strength for particles
Figure 4.8 Maximum and minimum void ratios of sands as of a specified material and of a given size (Moroto and
a function of roundness and the coefficient of uniformity Ishii, 1990; McDowell, 2001). Random variation in
(from Youd, 1973).
grain strengths leads to distributions of particle sizes
when large stress is applied to a soil assembly. Table
4.3 lists the characteristic tensile strengths of some soil
particles. The values are smaller than the yield strength
of the material itself. The strength also depends on the
particle shape. For example, Hagerty et al. (1993) show
that angular glass beads were more susceptible to
breakage than round glass beads.
50
Table 4.2 Elastic Properties of Geomaterials at
Angle of repose φrepose
Room Temperature
40
Young’s Shear Modulus Poisson’s
30 Material Modulus (GPa) (GPa) Ratio
Quartz 76 29 0.31
20 Limestone 2–97 1.6–38 0.01–0.32
φrepose = 42 – 17R Basalt 25–183 3–27 0.09–0.35
Granite 10–86 7–70 0.00–0.30
10
0.0 0.2 0.4 0.6 0.8 1.0 Hematite 67–200 27–78 —
Roundness R Magnetite 31 19 —
Shale 0.4–68 5–30 0.01–0.34
Figure 4.9 Angle of repose as a function of roundness (from
Santamarina and Cho, 2004). After Santamarina et al. (2001).
Table 4.3 Strength of Soil Particles
37% Tensilea Mean Strengthb

Sand Name Size (mm) Strength (MPa) (MPa) Reference
Quartz
Leighton Buzzard silica sand 1.18 — 29.8 Lee (1992)
2.0 — 24.7
3.36 — 20.5
Toyoura sand 0.2 147.4 136.6 Nakata et al. (2001)
Aio quartz sand 0.85 51.2 52.1 Nakata et al. (1999)
1.0 47.7 46.6
1.18 37.9 35.6
1.4 46.7 42.4
1.7 39.6 38.5
Silica sand 0.5 147.4 132.5 McDowell (2001)
1 66.7 59.0
2 41.7 37.3
Silica sand 0.28 110.9 147.3 Nakata et al. (2001)
0.66 72.9 73.1
1.55 31.0 29.7
Feldspar
Aio feldspar sand 0.85 20.9 24.6 Nakata et al. (1999)
1.0 24.3 22.8
1.18 18.1 18.2
1.4 23.1 21.4
1.7 18.9 18.3
Calcareous Sand
Oolitic limestone particle 5 — 2.4 Lee (1992)
8 — 2.1
12 — 1.8
20 — 1.5
30 — 1.3
40 — 1.2
50 — 1.1
Carboniferous limestone 5 — 14.9
particle 8 — 12.2 Lee (1992)
12 — 10.3
20 — 8.3
30 — 7.0
40 — 6.2
50 — 5.7
Quiou sand 1 109.3 96.19 McDowell and Amon (2000)
2 41.4 36.20
4 4.2 3.87
8 0.73 0.63
16 0.61 0.54
Others
Masado decomposed granite
soil 1.55 24.2 22.1 Nakata et al. (2001)
Glass beads 0.93 365.8 339.6 Nakata et al. (2001)
Angular glass 0.93 62.1 60.0 Nakata et al. (2001)
a
Stress below which 37% of the particles do not fracture.
b
Force/d 2 at which particle of size d is crushed.
The breakage potential of a single soil particle in- 100
creases with its size as illustrated in Table 4.3. This is Maximum stress
because larger particles tend to contain more and larger 20.7 MPa
internal flaws and hence have lower tensile strength. 80 41.4 MPa
Percent Finer by Weight

Fig. 4.10 shows that oolitic limestone, carboniferous 62.1 MPa
limestone, and quartz sand exhibit near linear declines 103 MPa
60
in strength with increasing particle size on a log–log 345 MPa
plot (Lee, 1992). 517 MPa
The amount of particle crushing in an assemblage 40 689 MPa
of particles depends not only on particle strength, but
also on the distribution of contact forces and arrange-
Uncrushed
ment of different size particles. It can be argued that 20
larger size particles are more likely to break because
the normal contact forces in a soil element increase
with particle size and the probability of a defect in a 0
0.01 0.1 1.0
given particle increases with its size as shown in Fig
Grain size (mm)
4.10 (Hardin, 1985). However, if a larger particle has
contacts with neighboring particles (i.e., larger coor- Figure 4.11 Evolution of particle size distribution curve
dination number), the load on it is distributed, and the upon crushing (from Hagerty et al., 1993).
probability of facture is less than for a condition with
fewer contacts. Experimental evidences suggest that
fines increase as particles break by increase in applied
pressure. For example, the evolution of particle size tact with many smaller particles. The very smallest
distribution curves for Ottawa sand in one-dimensional particles have a lower coordination number because
compression is shown in Fig. 4.11 (Hagerty et al., there are fewer smaller particles available for contact.
1993). Hence, the coordination number dominates over Hence, the largest particles in the aggregate become
size-dependent particle strength. Larger particles have protected by the surrounding newly formed smaller
higher coordination numbers because they are in con- particles, and smaller particles are more likely to break
50 Leighton Buzzard Sand Rounded River Gravel

Angular River Gravel
Carboniferous Limestone
10
Particle Strength (MPa)
5.0
1.0 Oolitic Limestone
0.5
0.2
1 5 10 50 100
Average Particle Size (mm)
Figure 4.10 Relationship between tensile strength and particle size (from Lee, 1992).
or move. Further details on particle breakage effects

on compression behavior of sands are given in Chap- 冉
eG VGS ⫽ 1 ⫺
C
冊Ws
e
100 GSG w G
(4.5)
ter 10.
The volume of water plus volume of clay is given by
w WS C WS
VW ⫹ VC ⫽ ⫹ (4.6)
4.4 DOMINATING INFLUENCE OF THE CLAY 100 w 100 GSC w
PHASE
If clay and water completely fill the voids in the gran-
In general, the more clay in a soil, the higher the plas- ular phase, then
ticity, the greater the potential shrinkage and swell, the
lower the hydraulic conductivity, the higher the com-
pressibility, the higher the cohesion, and the lower the
w Ws
⫹
C W
100 w 100 GSC w
⫽ 1⫺
C
冉
Ws
e
100 GSG w G 冊 (4.7)
internal angle of friction. Whereas surface forces and
their range of influence are small relative to the weight which simplifies to
and size of silt sand particles, the behavior of small
and flaky clay mineral particles is strongly influenced
by surface forces, as discussed in Chapter 6. Water is
strongly attracted to clay particle surfaces, also dis-
w
⫹
C
100 100GSC
⫽ 1⫺
C
冉
eG
100 GSG 冊 (4.8)
cussed in Chapter 6, and results in plasticity, whereas The void ratio of a granular material composed of
nonclay particles have much smaller specific surface bulky particles is of the order of 0.9 in its loosest pos-
and less affinity for water and do not develop signifi- sible state. The specific gravity of the nonclay fraction
cant plasticity, even when in finely ground form. in most soils is about 2.67, and that of the clay fraction
If it is assumed as a first approximation that all of is about 2.75. Inserting these values in Eq. (4.8) gives
the water in a soil is associated with the clay phase,
the amount of clay required to fill the voids of the C ⫽ 48.4 ⫺ 1.42w (4.9)
granular phase and prevent direct contact between
granular particles can be estimated for any water con- This relationship indicates that for water contents typ-
tent. The weight and volume relationships for the dif- ically encountered in practice, say 15 to 40 percent,
ferent phases of a saturated soil are shown in Fig. 4.12. only a maximum of about one-third of the soil solids
In this figure W represents weight, V is volume, C is need be clay in order to dominate the behavior by pre-
the percent clay by weight, GSC is the specific gravity venting direct interparticle contact of the granular par-
of clay particles, w is the water content in percent, w ticles. In fact, since there is a tendency for clay
is the unit weight of water, and GSG is the specific particles to coat granular particles, the clay can signif-
gravity of the granular particles. The volume of voids icantly influence properties. For example, just 1 or 2
in the granular phase is eG VGS, where eG is the void percent of highly plastic clay present in gravel used as
ratio of the granular phase and VGS is the volume of a fill or aggregate may be sufficient to clog handling
granular solids, given by and batching equipment.
Figure 4.12 Weight–volume relationships for a saturated clay-granular soil mixture.

ATTERBERG LIMITS 95
4.5 ATTERBERG LIMITS Although both the liquid and plastic limits are easily
determined, and their qualitative correlations with soil
Atterberg limits are extensively used for identification, composition and physical properties are quite well es-
description, and classification of cohesive soils and as tablished, fundamental interpretations of the limits and
a basis for preliminary assessment of their mechanical quantitative relationships between their values and
properties. The potential usefulness of the Atterberg compositional factors are more complex.
limits in soil mechanics was first indicated by Terzaghi
(1925a) when he noted that ‘‘the results of the simpli-
fied soil tests (Atterberg limits) depend precisely on Liquid Limit
the same physical factors which determine the resis- The liquid limit test is a form of dynamic shear test.
tance and the permeability of soils (shape of particles, Casagrande (1932b) deduced that the liquid limit cor-
effective size, uniformity) only in a far more complex responds approximately to the water content at which
manner.’’ a soil has an undrained shear strength of about 2.5 kPa.
Casagrande (1932b) developed a standard device for Subsequent studies have indicated that the liquid limit
determination of the liquid limit and noted that the for all fine-grained soils corresponds to shearing resis-
nonclay minerals quartz and feldspar did not develop tance of about 1.7 to 2.0 kPa and a pore water suction
plastic mixtures with water, even when ground to sizes of about 6 kPa (Russell and Mickle, 1970; Wroth and
smaller than 2 m. Further studies led to the formation Wood, 1978; Whyte, 1982).
of a soil classification system based on the Atterberg Liquid limit values are determined using both the
limits for identification of cohesive soils (Casagrande, Casagrande liquid limit device and the fall cone device.
1948). This system was adopted, with minor modifi- Different standards adopt different devices and, there-
cations, as a part of the Unified Classification System. fore, correlations based on liquid limit should be used
A plot of plasticity index as a function of liquid limit with some caution. The variation of undrained shear
that is divided into different zones, as shown in Fig. strength with water content can be obtained from a
4.13, is termed the plasticity chart. This chart forms series of fall cone tests and solutions are available us-
an essential part of the Unified Soil Classification Sys- ing the theory of plasticity for various geometries used
tem. in fall cones (Houlsby, 1982; Koumoto and Houlsby,
Figure 4.13 Plasticity chart.

2001). Furthermore, with the aid of critical state soil greater the total amount of water required to reduce
mechanics (see Chapter 11), some other engineering the strength to that at the liquid limit. The specific
properties, such as compressibility, can be deduced surface areas of the different clay minerals (Table 3.6)
(Wood, 1990). are consistent with the liquid limit values of different
Values of hydraulic conductivity at the liquid limit clay minerals in Table 4.5. Additional support for this
for several clays are given in Table 4.4, from Nagaraj concept is given by the following relationship found
et al. (1991). The striking aspect of these data is that, for 19 British clays:
although the water contents and void ratios at the liq-
uid limit for the different clays vary over a very wide LL ⫽ 19 ⫹ 0.56As (20%) (4.10)
range, the hydraulic conductivity is very nearly the
same for all of them. This means that the effective pore where LL is the liquid limit and As is the specific sur-
sizes controlling fluid flow must be about the same for face in square meters per gram (Farrar and Coleman,
all the clays at their liquid limit. Such a microfabric is 1967).
consistent with the cluster model for hydraulic con- The effects of electrolyte concentration, cation va-
ductivity discussed in Chapter 9. In this model, the lence and size, and dielectric constant of the pore fluid
individual clay particles associate into aggregates or on the liquid limit of kaolinite and montmorillonite are
flocs, as shown schematically in Fig. 9.11. The size of illustrated and discussed by Sridharan (2002). The ef-
voids between the clusters or aggregates controls the fects are generally consistent with the above interpre-
flow rate according to either model. tation and can be explained also through double-layer
The approximately equal strengths, pore water suc- (see Chapter 6) influences on swelling, flocculation
tions, and hydraulic conductivities for all clays at their and deflocculation of clay particles, and shear strength.
liquid limit can be explained by the concepts that (1)
the aggregates or clusters are the basic units that in-
teract to develop the strength, that is, the aggregates Plastic Limit
act somewhat like single particles, (2) the average ad- The plastic limit has been interpreted as the water con-
sorbed water layer thickness is about the same on all tent below which the physical properties of the water
particle surfaces, and (3) the average size of interclus- no longer correspond to those of free water (Terzaghi,
ter pores is the same for all clays. Concept 2 provides 1925a) and as the lowest water content at which the
the key to why different clays have different values of cohesion between particles or groups of particles is
liquid limit. All clays have essentially the same surface sufficiently low to allow movement, but sufficiently
structures, that is, a layer of oxygen atoms in tetrahe- high to allow particles to maintain the molded posi-
dral coordination with silicon, or a layer of hydroxyls tions (Yong and Warkentin, 1966). Whatever the struc-
in octahedral coordination with aluminum or magne- tural status of the water and the nature of the
sium. The forces of interaction between these surfaces interparticle forces, the plastic limit is the lower
and adsorbed water should be about the same for the boundary of the range of water contents within which
different clay minerals. Thus, the amount of water ad- the soil exhibits plastic behavior; that is, above the
sorbed per unit area of surface that corresponds to a plastic limit the soil can be deformed without volume
pore water suction of 6 kPa should be about the same. change or cracking and will retain its deformed shape;
This means that the greater the specific surface, the below the plastic limit it cannot. Plastic limit values
Table 4.4 Hydraulic Conductivity at Liquid Limit for Several Clays
Void Ratio at Hydraulic

Liquid Limit, Liquid Limit, Conductivity
Soil Type wL (%) eL (10⫺7 cm/s)
Bentonite 330 9.240 1.28
Bentonite ⫹ sand 215 5.910 2.65
Natural marine soil 106 2.798 2.56
Air-dried marine soil 84 2.234 2.42
Oven-dried marine soil 60 1.644 2.63
Brown soil 62 1.674 2.83
From Nagaraj et al. (1991).
INFLUENCES OF EXCHANGEABLE CATIONS AND pH 97
Table 4.5 Atterberg Limit Values for the Clay Minerals
Liquid Plastic Shrinkage

Limit Limit Limit
Minerala (%) (%) (%)
Montmorillonite (1) 100–900 50–100 8.5–15
Nontronite (1)(2) 37–72 19–27
Illite (3) 60–120 35–60 15–17
Kaolinite (3) 30–110 25–40 25–29
Hydrated halloysite (1) 50–70 47–60
Dehydrated halloysite (3) 35–55 30–45
Attapulgite (4) 160–230 100–120
Chlorite (5) 44–47 36–40
Allophane (undried) 200–250 130–140
a
(1) Various ionic forms. Highest values are for monovalent; lowest
are for di- and trivalent. (2) All samples 10% clay, 90% sand and silt.
(3) Various ionic forms. Highest values are for di- and trivalent; lowest
are for monovalent. (4) Various ionic forms. (5) Some chlorites are
nonplastic.
Data Sources: Cornell University (1950), Samuels (1950), Lambe
and Martin (1955), Warkentin (1961), and Grim (1962).
for different clay minerals are listed in Table 4.5. The plasticity index
Activity ⫽ (4.12)
undrained shear strength at the plastic limit is reported % ⬍ 2 m
to be in the ranges of 100 to 300 kPa with an average
value of 170 kPa (Sharma and Bora, 2003). For many clays, a plot of plasticity index versus clay
content yields a straight line passing through the origin
Liquidity Index as shown for four clays in Fig. 4.14. The slope of the
The liquidity index (LI) is defined by line for each clay gives the activity. Approximate val-
ues for the activities of different clay minerals are
water content ⫺ plastic limit listed in Table 4.6.
LI ⫽ (4.11) The greater the activity, the more important the in-
plasticity index fluence of the clay fraction on properties and the more
susceptible their values to changes in such factors as
wherein the plasticity index is given by PI ⫽ LL ⫺ type of exchangeable cations and pore fluid composi-
PL. The liquidity index is useful for expressing and tion. For example, the activity of Belle Fourche mont-
comparing the consistencies of different clays. It nor- morillonite varies from 1.24 with magnesium as the
malizes the water content relative to the range of water exchangeable cation to 7.09 for sodium saturation of
content over which a soil is plastic. It correlates well the exchange sites. On the other hand, the activity of
with compressibility, strength, and sensitivity proper- Anna kaolinite only varies from 0.30 to 0.41 for six
ties of fine-grained soils as illustrated in later chapters different cation forms (White, 1955).
of this book.
4.7 INFLUENCES OF EXCHANGEABLE

4.6 ACTIVITY CATIONS AND pH
Both the type and amount of clay influence a soil’s Cation type exerts a controlling influence on the
properties, and the Atterberg limits reflect both of these amount of swelling of expansive clay minerals in the
factors. To separate them, the ratio of the plasticity presence of water. For example, sodium and lithium
index to the clay size fraction (percentage by weight montmorillonite may undergo almost unrestricted
of particles finer than 2 m), termed the activity, is interlayer swelling provided water is available,
very useful (Skempton, 1953): the confining pressure is small, and the electrolyte
Figure 4.14 Relationship between plasticity index and clay fraction (from Skempton, 1953).
Table 4.6 Activities of Various Clay Minerals sions ordinarily flocculate in the presence of divalent
and trivalent cations.
Mineral Activity pH influences interparticle repulsions because of its
effects on clay particle surface charge. Positive edge
Smectites 1–7 charges can exist in low pH environments. These ef-
Illite 0.5–1 fects are of greatest importance in kaolinite, lesser
Kaolinite 0.5 importance in illite, and relatively unimportant in
Halloysite (2H2O) 0.5 smectite. In kaolinite, the pH may be the single most
Halloysite (4H2O) 0.5 important factor controlling the fabric of sediments
Attapulgite 0.5–1.2 formed from suspension.
Allophane 0.5–1.2 The influences of cations and pH are examined fur-
ther in Chapter 6.
concentration is low. On the other hand, divalent and 4.8 ENGINEERING PROPERTIES OF CLAY
trivalent forms of montmorillonite do not expand be- MINERALS
yond a basal spacing of about 17 Å and form multi-
particle clusters or aggregates, regardless of other Different groups of clay minerals exhibit a wide range
environmental factors. of engineering properties. Within any one group, the
In soils composed mainly of nonexpansive clay min- range of property values may also be great. It is a
erals, adsorbed cation type is of the greatest impor- function of particle size, degree of crystallinity, type
tance in influencing the behavior of the material in of adsorbed cations, pH, the presence of organic mat-
suspension and the nature of the fabric in sediments ter, and the type and amount of free electrolyte in the
that form. Monovalent cations, particularly sodium and pore water. In general, the importance of these factors
lithium, promote deflocculation, whereas clay suspen- increases in the order kaolin ⬍ hydrous mica (illite) ⬍
ENGINEERING PROPERTIES OF CLAY MINERALS 99
smectite. The chlorites exhibit characteristics in the ka- 4. The type of adsorbed cation has a much greater
olin–hydrous mica range. Vermiculites and attapulgite influence on the high plasticity minerals (e.g.,
have properties that usually fall in the hydrous mica– montmorillonite) than on the low plasticity min-
smectite range. erals (e.g., kaolinite).
Because of the influences of the above composi- 5. Increasing cation valence decreases the liquid
tional factors, only typical ranges of property values limit values of the expansive clays but tends to
are given in this section. Factors that determine the increase the liquid limit of the nonexpansive min-
actual values in any case are analyzed in more detail erals.
in subsequent chapters. 6. Hydrated halloysite has an unusually high plastic
limit and low plasticity index.
Atterberg Limits 7. The greater the plasticity the greater is the shrink-
age on drying (the lower the shrinkage limit).
Plasticity values for different clay minerals are listed
in Table 4.5 in terms of ranges in the liquid, plastic,
and shrinkage limit values. Most of the values were Particle Size and Shape
determined using samples composed of particles finer Different clay minerals occur in different size ranges
than 2 m. Several general conclusions can be made (Table 3.6) because mineralogical composition is a ma-
concerning the Atterberg limits of the clay minerals. jor factor in determining particle size. There is some
concentration of different clay minerals in different
1. The liquid and plastic limit values for any one bands within the clay size range (less than 2 m), as
clay mineral species may vary over a wide range. indicated in Table 4.7. The shapes of the most common
2. For any clay mineral, the range in liquid limit clay minerals are platy, except for halloysite, which
values is greater than the range in plastic limit occurs as tubes (Fig. 3.21). Particles of kaolinite are
values. relatively large, thick, and stiff (Fig. 3.13). Smectites
3. The variation in values of liquid limit among dif- are composed of small, very thin, and filmy particles
ferent clay mineral groups is much greater than (Fig. 3.25). Illites are intermediate between kaolinite
the variation in plastic limits. and smectite (Fig. 3.29) and are often terraced and thin
Table 4.7 Mineral Composition of Different Particle Size

Ranges in Soils
Particle
Size Predominating Common Rare
(m) Constituents Constituents Constituents
0.1 Montmoril- Mica inter- Illite (traces)
lonite mediates
Beidellite
0.1–0.2 Mica inter- Kaolinite Illite
mediates Montmo- Quartz
rillonite (traces)
0.2–2.0 Kaolinite Illite Quartz
Mica inter- Montmo-
mediates rillonite
Micas Feldspar
Halloysite
2.0–11.0 Micas Quartz Halloysite
Illites Kaolinite (traces)
Feldspars Montmo-
rillonite
(traces)
From Soveri (1950).
at the edges. Attapulgite, owing to its double silica

chain structure, occurs in lathlike particle shapes (Fig.
3.31).
Hydraulic Conductivity (Permeability)

Mineralogical composition, particle size and size dis-
tribution, void ratio, fabric, and pore fluid character-
istics all influence the hydraulic conductivity. This
property is considered in detail in Chapter 9. Over the
normal range of water contents (plastic limit to liquid
limit), the hydraulic conductivity of all the clay min-
erals is less than about 1 ⫻ 10⫺7 m/s and may range
to values less than 1 ⫻ 10⫺12 m/s for some of the
monovalent ionic forms of smectite minerals at low Figure 4.15 Ranges in effective stress failure envelopes for
porosity. The usual measured range for natural clay pure clay minerals and quartz (from Olson, 1974). Reprinted
soils is about 1 ⫻ 10⫺8 to 1 ⫻ 10⫺10 m/s. For clay with permission of ASCE.
minerals compared at the same water content, the hy-
draulic conductivities are in the order smectite (mont-
morillonite) ⬍ attapulgite ⬍ illite ⬍ kaolinite.
Shear Strength
There are many ways to measure and express the shear
strength of a soil, as described in most geotechnical
engineering textbooks. In most cases, a Mohr failure
envelope, where shear strength (usually peak, critical
state, or residual) is plotted as a function of the direct
effective stress on the failure plane, or a modified Mohr
diagram, in which maximum shear stress is plotted ver-
sus the average of the major and minor principal ef-
fective stresses at failure, is used. A straight line is fit
to the resulting curve over the normal stress range of
interest and the shear strength is given by an equation
of the form Figure 4.16 Strength envelopes for a range of soil types
(from Bishop, 1966).
⫽ c ⫹ n tan (4.13)
where n is the effective normal stress on the shear

plane, c is the intercept for n equals zero, often called grained the soil and the greater the amount of clay, the
the cohesion, and is the slope, usually called the smaller the inclination of the failure envelope.
friction angle. From a number of studies [e.g., Hvorslev (1937,
Effective stress strength envelopes are useful for re- 1960), Gibson (1953), Trollope (1960), and Schmert-
lating strength to composition. Zones that encompass mann and Osterberg (1960), and Schmertmann
the effective stress failure envelopes, based on peak (1976)], it has been believed that the total strength of
strength, for pure clay minerals and quartz are shown a clay is composed of two distinct parts: a cohesion
in Fig. 4.15. The increase in shear strength with in- that depends only on void ratio (water content), and a
crease in effective stress, that is, the friction angle, is frictional contribution, dependent only on normal ef-
greatest for the nonclay mineral quartz, followed in fective stress. Evaluation of these two parts was done
descending order by kaolinite, illite, and montmoril- by measurement of the strength of two samples both
lonite. The ranges in the position of a failure envelope at the same void ratio or water content, but at different
for a given mineral result from differences in such fac- levels of effective stress. This condition is obtained by
tors as fabric, adsorbed cation, pH, and overconsoli- using one normally consolidated and one overconsol-
dation ratio. A similar pattern of failure envelopes for idated sample. The strength parameters determined in
some natural soils is shown in Fig. 4.16. The finer this way, often termed the Hvorslev parameters or true
cohesion and true friction, show increasing cohesion Even the largest of the friction angle values for clay
and decreasing friction with increasing plasticity and minerals is significantly less than the residual value for
activity of the clay. cohesionless soils, wherein values of drained friction
However, two samples of the same clay at the same angle are generally in the range of 30 to 50. The
void ratio but different effective stresses are known to residual strengths of some quartz–clay mixtures are
have different structures, as discussed in Chapter 8. shown in Fig. 4.17. If each mineral were an equally
Thus, they are not equivalent, and the strength tests important contributor to strength, then the curve for a
measure the effects of both effective stress and struc- given mixture should be symmetrical about the 50 per-
ture differences. Furthermore, tests over large ranges cent point, as is the case for kaolinite and hydrous mica
of effective stress show that actual failure envelopes with no salt in the pore water. In the other mixtures,
are curved in the manner of Fig. 4.16 and that the however, the clay phase begins to dominate at clay
cohesion intercept is either zero or very small, except contents less than 50 percent. This is because with ex-
for cemented soils. Thus, a significant true cohesion, pansive clay minerals (montmorillonite) or flocculated
if defined as strength in the absence of normal stress fabrics (30 g salt/liter) the ratio of volume of wet clay
on the failure plane, does not exist in the absence of to volume of quartz is greater than the ratio of dry
chemical bonding. These considerations are discussed volumes. It is further illustration of the dominating in-
in more detail in Chapter 11. fluence of the clay phase discussed earlier.
Figure 4.17 Residual friction angles for clay–quartz mixtures and natural soils (from Ken-
ney, 1967).
Compressibility (Cornell University, 1950) were in the ranges of 0.06

The compressibility of saturated specimens of clay ⫻ 10⫺8 to 0.3 ⫻ 10⫺8 m2 /s for montmorillonite, 0.3 ⫻
minerals increases in the order kaolinite ⬍ illite ⬍ 10⫺8 to 2.4 ⫻ 10⫺8 m2 /s for illite, and 12 ⫻ 10⫺8 to
smectite. The compression index Cc, which is defined 90 ⫻ 10⫺8 m2 /s for kaolinite. Coefficients of consoli-
as the change in void ratio per 10-fold increase in con- dation for kaolinite, illite, montmorillonite, halloysite,
solidation pressure, is in the range of 0.19 to 0.28 for and two-mineral mixtures of these clays ranged from
kaolinite, 0.50 to 1.10 for illite, and 1.0 to 2.6 for 1 ⫻ 10⫺8 m2 /s for pure montmorillonite to 378 ⫻ 10⫺8
montmorillonite, for different ionic forms (Cornell m2 /s for pure halloysite in another study (Kondner and
University, 1950). The more compressible the clay, the Vendrell, 1964). Individual minerals did not influence
more pronounced the influences of cation type and the coefficient of consolidation in direct proportion to
electrolyte concentration on compressibility. the amounts present.
Compression index values for a number of different Approximate ranges of the coefficient of consoli-
natural clays are shown in Fig. 4.18 as a function of dation for natural clays are given in Fig. 4.19. The
plasticity index (Kulhawy and Mayne, 1990). The val- above values for pure clays and clay mineral mixtures
ues for pure clays plot generally within the defined are within the same general ranges. One conclusion
ranges in Fig. 4.18. The compression index for un- that can be drawn from the comparability of compres-
loading and reloading is about 20 percent of the value sion index and coefficient of consolidation values for
for virgin compression. natural clays with those for pure clays is that the clay
As both compressibility and hydraulic conductivity phase dominates the compression and consolidation
are strong functions of soil composition, the coefficient behavior, with the nonclay material playing a passive
of consolidation cv is also related to composition be- role as relatively inert filler.
cause cv is directly proportional to hydraulic conduc-
tivity and inversely proportional to the coefficient of Swelling and Shrinkage
compressibility.4 Values of cv determined in one study The actual amount of volume change of a soil in re-
sponse to a change in applied stress depends on the
4
The coefficient of compressibility av is the negative of the rate of environmental factors listed in Section 4.1 as well as
change of void ratio with effective stress. on the cation type, electrolyte type and concentration,
Figure 4.18 Compression and unload–reload indices as a function of plasticity index (from
Kulhawy and Mayne, 1990). Reprinted with permission from EPR1.
p.s.i.)
re - 1
p.s.i.)
ressu
re - 1
ge P
ressu
char
ge P
(Sur
.)
.s.i
char
1p
e-
(Sur
sur
res
Figure 4.19 Coefficient of consolidation as a function of
eP
liquid limit (from NAVFAC, 1982).
rg
ha
c .
i.)
ur p.s
(S 94
6.
e-
sur
and pore fluid dielectric constant. However, the poten- Pres
e
harg
tial total amount of swell or shrinkage is determined (Surc
by the type and amount of clay. From a consideration
of the clay mineral structures and interlayer bonding
(Chapter 3), it would be expected that smectite and
vermiculite should undergo greater volume changes on
wetting and drying than do kaolinite and hydrous mica. Figure 4.20 Four correlations between swelling potential
Experience indicates clearly that this is indeed the and plasticity index (from Chen, 1975).
case. In general, the swelling and shrinking properties
of the clay minerals follow the same pattern as their
plasticity properties, that is, the more plastic the min-
eral, the more potential swell and shrinkage. Illustra- sure during swelling is clearly shown. The tests by
tions of the influences of adsorbed cation type and pore Seed et al. (1962b) were done using artificial mixtures
fluid composition are given in Chapter 10 and by Srid- of sand and clay minerals compacted at optimum water
haran (2002). content using Standard AASHTO compactive effort al-
Because of the many problems encountered in the lowed to swell under a surcharge pressure of 1 psi (7
performance of structures founded on high volume kPa). The measurements by Holtz and Gibbs (1956)
change soils, numerous attempts have been made to were made using both undisturbed and remolded sam-
develop reliable methods for their identification. The ples allowed to swell from an air-dry state to saturation
most successful of these are based on the determina- under a surcharge of 1 psi (7 kPa).
tion of some factor that is related directly to the clay The results of the tests on artificial sand–clay min-
mineral composition, such as shrinkage limit, plasticity eral mixtures obtained by Seed et al. (1962b) correlate
index, activity, and percentage finer than 1 m. well with compositional factors that reflect both the
Simple, unique correlations between swell or swell type and amount of clay, that is, the activity A, defined
pressure and these parameters that reflect only the type as PI/ C, and the percent clay size C (% ⬍ 2 m),
and amount of clay are not possible because of the according to
strong dependence of the behavior on initial state
(moisture content, density, and structure) and the other S ⫽ 3.6 ⫻ 10⫺5 A2.44C 3.44 (4.14)
environmental factors. This is illustrated by Fig. 4.20,
which shows four different correlations between swell-
ing potential and plasticity index (Chen, 1975). The where S is the percent swell for samples compacted
two curves showing the Chen correlations were ob- and tested as indicated above. A chart based on this
tained for different natural soils compacted to dry unit relationship is shown in Fig. 4.21. For compacted nat-
weights between 100 and 110 pounds per cubic foot ural soils the swelling potential could be related to the
(15.7 and 17.3 kN/m3) at water contents between 15 plasticity index with an accuracy of 35% according
and 20 percent. The large influence of surcharge pres- to
In general, the greater the organic content and the

wetter and more plastic the clay, the more pronounced
is the time-dependent behavior. Both the type and
amount of clay are important, as indicated, for exam-
ple, by the variation of creep rate with clay content for
three different clay mineral–sand mixtures, as shown
in Fig. 4.22. In these tests, environmental factors were
held constant by preparing all specimens to the same
initial conditions (isotropic consolidation of saturated
samples to 200 kPa) and application of a creep stress
equal to 90 percent of the strength determined by a
normal strength test. The variation in creep rate for
these specimens as a function of plasticity index is
shown in Fig. 4.23. The correlation is reasonably
unique because the plasticity index reflects both the
type and amount of clay.
4.9 EFFECTS OF ORGANIC MATTER

Organic matter in soil may be responsible for high
Figure 4.21 Classification chart for swelling potential (mod- plasticity, high shrinkage, high compressibility, low
ified from Seed et al., 1962b).
S ⫽ 2.16 ⫻ 10⫺3 (PI)2.44 (4.15)
Somewhat different relationships have been found to

better classify the swell potential of some soils, and no
single relationship is suitable for all conditions. Thus,
while the above relationships and plots such as Figs.
4.20 and 4.21 illustrate the influences of compositional
factors and provide preliminary guidance about the po-
tential magnitude of swelling, reliable quantification of
swell and swell pressure in any case should be based
on the results of tests on representative undisturbed
samples tested under appropriate conditions of con-
finement and water chemistry.
Time-Dependent Behavior
Different soil types undergo varying amounts of time-
dependent deformations and stress variations with
time, as exhibited by secondary compression, creep,
and stress relaxation. The potential for these phenom-
ena depends on compositional factors, whereas the ac-
tual amount in any case depends on environmental
factors. For example, it is known that retaining walls
with wet clay backfills must be designed for at-rest
earth pressures because of stress relaxation along a po-
tential failure plane that results in increased pressure
on the wall. On the other hand, if dry clay is used, and
if it is maintained dry, then designs based on active
pressures are possible because time-dependent in- Figure 4.22 Effect of amount and type of clay on ‘‘steady-
creases in pressure will be negligible. state’’ creep rate (see Chapter 12).
CONCLUDING COMMENTS 105
posed organic matter may behave as a reversible swell-
ing system. At some critical stage during drying,
however, this reversibility ceases, and this is often
manifested by a large decrease in the Atterberg limits.
This is recognized by the Unified Soil Classification
System, which defines an organic clay as a soil that
would classify as a clay (the Atterberg limits plot
above the A line shown in Fig. 4.13) except that the
liquid limit value after oven drying is less than 75 per-
cent of the liquid limit value before drying (ASTM,
1989).
Increasing the organic carbon content by only 1 or
2 percent may increase the limits by as much as an
increase of 10 to 20 percent in the amount of material
finer than 2 m or in the amount of montmorillonite
(Odell et al., 1960). The influences of organic matter
content on the classification properties of a soft clay
from Brazil are shown in Fig. 4.24.
The maximum compacted densities and compressive
strength as a function of organic content of both nat-
ural samples and mechanical mixtures of inorganic
soils and peat are shown in Figs. 4.25 and 4.26, re-
spectively. Both the compacted density and strength
decrease significantly with increased organic content
and the relationships for natural samples and the
mixtures are about the same. Increased organic content
also causes an increase in the optimum water content
for compaction.
The large increase in compressibility as a result of
high organic content in clay is illustrated by the data
Figure 4.23 Relationship between clay content, plasticity in- in Fig. 4.27 for the clay whose classification properties
dex, and creep rate. are shown in Fig. 4.24. In Fig. 4.27 CR is the com-
pression ratio, defined as CC /(1 ⫹ e0) expressed as a
percentage, and C is the secondary compression ratio,
defined as the change in void ratio per 10-fold increase
hydraulic conductivity, and low strength. Soil organic in time after the end of primary consolidation.
matter is complex both chemically and physically, and The effect of organic matter on the strength and
many reactions and interactions between the soil and stiffness of soils depends largely on whether the or-
the organic matter are possible (Oades, 1989). It may ganic matter is decomposed or consists of fibers that
occur in any of five groups: carbohydrates; proteins; can act as reinforcement. In the former case, both the
fats, resins, and waxes; hydrocarbons; and carbon. Cel- undrained strength and the stiffness, or modulus, are
lulose (C6H10O5) is the main organic constituent of usually reduced as a result of the higher water content
soil. In residual soils organic matter is most abundant and plasticity contributed by the organic matter. In the
in the surface horizons. Organic particles may range latter, the fibers can act as reinforcements, thereby in-
down to 0.1 m in size. The specific properties of the creasing the strength.
colloidal particles vary greatly depending upon parent
material, climate, and stage of decomposition.
The humic fraction is gel-like in properties and neg- 4.10 CONCLUDING COMMENTS
atively charged (Marshall, 1964). Organic particles can
strongly adsorb on mineral surfaces, and this adsorp- Knowledge of soil composition is a useful indicator of
tion modifies both the properties of the minerals and the probable ranges of geotechnical properties and
the organic material itself. Soils containing significant their variability and sensitivity to changes in environ-
amounts of decomposed organic matter are usually mental conditions. Although quantitative values of
characterized by a dark gray to black color and an odor properties for analysis and design cannot be derived
of decomposition. At high moisture contents, decom- from compositional data alone, information on com-
Figure 4.24 Influence of organic content on classification properties of Juturnaiba organic

clay, Brazil (from Coutinho and Lacerda, 1987).
position can be helpful for explaining unusual behav- and more direct evaluation of their significance is
ior, identification of expansive soils, selection of needed. Examples of some soil types in which these
sampling and sample handling procedures, choice of factors may be especially important are decomposed
soil stabilization methods, and prediction of probable granite, tropical residual soils, volcanic ash soils, col-
future behavior. lapsing soils, loess, and carbonate sand, as discussed
For example, if it is known that a soil to be used in in more detail by Mitchell and Coutinho (1991).
earthwork construction contains either hydrated halloy-
site, organic matter, or expansive minerals, then air-
drying laboratory samples prior to testing is likely to QUESTIONS AND PROBLEMS
result in erroneous data on mechanical properties and
1. Show that the loosest and densest packings of uni-
must be avoided. If a soil contains a large amount of
form size particles give void ratios of 0.91 and 0.34,
active clay minerals, then it can be anticipated that
respectively. What is the coordination numbers
properties will be sensitive to changes in chemical en-
(number of particle contacts for each particle) for
vironment. Compositional data on the soil and pore
each packing?
water are useful to estimate the dispersion and erosion
potential of a soil (Chapter 8) and the risk of instability 2. Explain why smaller particles are stronger than
as a result of leaching and solutioning processes. larger particles and why angular particles are more
In many cases, the effects of composition on behav- susceptible to breakage than round particles.
ior are reflected by information on particle size, shape,
3. Using Figs. 4.8 and 4.11, show how the maximum
and size distribution of the coarse fraction, and the
and minimum void ratio changes with applied load
Atterberg limits of the fine fraction. On large projects
as particles progressively break and the coefficient
and whenever unusual behavior is encountered, how-
of uniformity Cu increases. Plot the data in e–log
ever, compositional data are valuable aids for interpre-
v space and discuss the result.
tation of observations. Furthermore, the influences of
compositional and structural factors are not always ad- 4. Using Eq. (4.8), derive a relationship between C
equately reflected by the usual classification properties, (the percentage of clay) versus w (water content)
Figure 4.27 Effect of organic content on the compressibility

properties of Juturnaiba organic clay, Brazil (from Coutinho
and Lacerda, 1987).
Figure 4.25 Maximum dry density as a function of organic

for different values of eG (the void ratio of the gran-
content for a natural soil and soil–peat mixtures (from Frank-
lin et al., 1973). Reprinted with permission of ASCE.
ular phase). Discuss the sensitivity of eG on sand–
clay mixture packing. What happens if silt is mixed
instead of clay?
5. Using the reported undrained shear strengths at liq-
uid limit and plastic limit, derive a relationship be-
tween the compression index Cc and plasticity index
PI. Assume that the ratio of undrained shear
strength to vertical effective stress, su / v, is 0.3.
Compare the result with the data presented in Fig.
4.18.
6. Assuming the thickness of adsorbed water layer is
100 Å, estimate the amount of free water per gram
of clay for the following conditions and discuss the
results:
a. Montmorillonite at its liquid limit with mono-
valent adsorbed cations (specific surface ⫽ 840
m2 /g of dry clay), liquid limit ⫽ 900 percent
b. Montmorillonite at its plastic limit with mono-
valent adsorbed cations (specific surface ⫽ 840
m2 /g of dry clay), plastic limit ⫽ 100 percent
c. Montmorillonite at its liquid limit with divalent
adsorbed cations (specific surface ⫽ 50 m2 /g of
Figure 4.26 Unconfined compressive strength as a function dry clay), liquid limit ⫽ 100 percent
of organic content for a natural soil and soil–peat mixtures d. Montmorillonite at its plastic limit with divalent
(from Franklin et al., 1973). Reprinted with permission of adsorbed cations (specific surface ⫽ 50 m2 /g of
ASCE. dry clay), plastic limit ⫽ 50 percent
e. Kaolinite at its liquid limit (specific surface ⫽ soil—discuss the strengths and weaknesses of the
15 m2 /g of dry clay), liquid limit ⫽ 70 percent Unified Soil Classification System (USCS) in pro-
f. Kaolinite at its plastic limit (specific surface ⫽ viding a clear and unambiguous picture of the prob-
15 m2 /g of dry clay), plastic limit ⫽ 30 percent able behavior of the following soil types. In
developing your answer, be specific concerning
7. By examining the data presented in Figs. 4.24 and what is measured and the terms of reference used
4.29, discuss why organic clays exhibit larger com- in the USCS and what is most important in deter-
pressibility compared to inorganic clays (see Fig. mining any property being discussed. (Note: Some
4.18). of the information in Chapter 8 may be useful in
8. Assume that you are able to determine accurate, developing your answer to this question.)
reliable quantitative values for all details of the min- a. Clean sand
eralogical, chemical, and biological constituents of b. Decomposed granite
a given soil. All particle sizes, shapes, and distri- c. Calcareous sand
butions are also known. Speculate on your ability
d. Organic silt
to predict the volume change, strength, and per-
meability properties of this soil over a range of wa- e. Expansive clay
ter contents. Give reasons for why you would have f. Glacial till
low or high confidence in your predictions. g. Loess
9. In light of what is known about the dependence of h. Dispersive clay
engineering properties on soil composition—both i. Volcanic ash
of the particles and of the other phases present in a j. Estuarine mud
CHAPTER 5
Soil Fabric and Its

Measurement
5.1 INTRODUCTION niques that incorporate small-scale features such as

inhomogeneity and microfractures into continuum
Although soils are composed of discrete soil particles models became available (Mura, 1987; Nemat-Nasser
and particle groups, a soil mass is almost always and Hori, 1999). Increased computational speeds al-
treated as a continuum for engineering analysis and lowed simulation of an assembly of individual soil par-
design. Nonetheless, the specific values of properties ticles by modeling particle contact behavior, and this
such as strength, permeability, and compressibility de- led to the development of numerical methods such as
pend on the size and shape of the particles, their ar-
the discrete/distinct element method and contact dy-
rangements, and the forces between them. Thus, to
namics (Cundall and Strack, 1979; Moreau, 1994;
understand a property requires knowledge of these fac-
Cundall, 2001). In the early developments, simulations
tors. Furthermore, new theories of particulate mechan-
were limited to an assembly of two-dimensional cir-
ics and computational methods based on these theories
cular disks. However, it is now possible to perform
are now becoming available. With these theories and
simulations with various three-dimensional particle
methods it may ultimately be possible to predict the
shapes, complex contact models, and pore fluid inter-
mechanical behavior of soil masses in terms of the
characteristics of the particles themselves, although at- actions. These ‘‘digital’’-type studies offer possibilities
taining this goal appears somewhat far off. for systematic investigation of soil fabric effects on
Particle arrangements in soils remained largely un- mechanical properties in comparison to ‘‘laboratory’’-
known until suitable optical, X-ray diffraction, and type studies, which contain inherent errors associated
electron microscope techniques made direct observa- with measuring soil fabrics of different specimens.
tions possible starting in the mid-1950s. Interest then Furthermore, mechanical responses under the stress
centered mainly on clay particle arrangements and paths that are difficult to apply in the laboratory can
their relationships to mechanical properties. In the late be investigated using distinct element methods.
1960s, knowledge expanded rapidly, sparked by im- Other innovations in the past two decades have led
proved techniques of sample preparation and the de- to improved material measurement techniques and
velopment of the scanning electron microscope. In the their interpretation using computers. These include the
early 1970s attention was directed also at particle ar- environmental scanning electron microscopy (ESEM),
rangements in cohesionless soils. From this work came nanoindentation and probing, complex digital image
a realization that characterization of the properties of analysis, magnetic resonance imaging (MRI), X-Ray
sands and gravels cannot be done in terms of density tomography, and laser-aided tomography. Some of
or relative density alone, as had previously been them have been used to characterize the microscopic
thought. Particle arrangements and stress history must properties of soils (Oda and Iwashita, 1999).
be considered in these materials as well. The more established methods for studying and,
In the 1970s and 1980s, micromechanics theories where possible, quantifying the arrangements of par-
were developed that aimed to relate microstructure to ticles, particle groups, and voids in different soils are
macroscopic behavior. Various homogenization tech- described and illustrated in this chapter. Some ele-
109
110 5 SOIL FABRIC AND ITS MEASUREMENT
ments and applications of the newer methods are in-

troduced in later chapters.
5.2 DEFINITIONS OF FABRICS AND FABRIC

ELEMENTS
The term fabric refers to the arrangement of particles,
particle groups, and pore spaces in a soil. The term
structure is sometimes used interchangeably with fab-
ric. It is preferable, however, to use structure to refer
to the combined effects of fabric, composition, and in-
terparticle forces. Methods for determination of soil
fabric are described and examples of different fabric
types are given in the following sections. The impor-
tance of soil fabric as a factor determining soil prop-
erties and behavior is discussed and illustrated in
Chapter 8. In practice, special problems, unusual soils,
and the need to ensure that measured properties prop-
erly reflect the in situ conditions may require appli-
cation of these testing and interpretation methods.
It is necessary to consider the size, the form, and
the function of different fabric units and to keep in
mind the scale at which the fabric is of interest. For
example, a carefully compacted clay liner for an im-
poundment may have uniformly and closely packed
particle groups within it, thus giving a material with
very low hydraulic conductivity. If, however, the liner
becomes broken into sections measuring a meter or so
in each direction as a result of shrinkage cracking, then
leakage through it will be dominated totally by flow
through the cracks, and the small-scale fabric is un-
important. Similarly, the strength of intact, homoge-
neous soft clay will be influenced greatly by the
particle arrangements on a microscale, whereas that of Figure 5.1 Modes of particle associations in clay suspen-
sions and terminology. (a) Dispersed and deflocculated, (b)
stiff fissured clay will be controlled by the properties
aggregated but deflocculated (face-to-face association, or
along the fissures. parallel or oriented aggregation), (c) edge-to-face flocculated
but dispersed, (d ) edge-to-edge flocculated but dispersed, (e)
Particle Associations in Clay Suspensions edge-to-face flocculated and aggregated, (ƒ ) edge-to-edge
flocculated and aggregated, and (g) edge-to-face and edge-
Many soil deposits are formed by deposition from
to-edge flocculated and aggregated. From An Introduction to
flowing or still water. Accordingly, knowledge of par- Clay Colloid Chemistry, by H. van Olphen, 2nd ed., Copy-
ticle associations in suspensions is a good starting right 1977 by John Wiley & Sons. Reprinted with per-
point for understanding how soil fabrics are formed mission from John Wiley & Sons.
and changed throughout the history of a soil. Clean
sands and gravels are usually comprised of single grain
arrangements, and these are discussed in Section 5.3.
Particle associations in clay suspensions may be more 2. Aggregated Face-to-face (FF) association of
complex. They can be described as follows and as il- several clay particles
lustrated in Fig. 5.1 (van Olphen, 1977): 3. Flocculated Edge-to-edge (EE) or edge-to-face
(EF) association of aggregates
1. Dispersed No face-to-face association of clay 4. Deflocculated No association between aggre-
particles gates
DEFINITIONS OF FABRICS AND FABRIC ELEMENTS 111
Thicker and larger particles result from FF associa-
tion. The EF and EE associations can produce card-
house structures that are quite voluminous until
compressed.
The terms flocculated and aggregated are often used
synonymously in a generic sense to refer to multipar-
ticle assemblages, and the terms deflocculated and dis-
persed are used synonymously in a generic sense to
refer to single particles or particle groups acting in-
dependently.
Particle Associations in Soils

Particle associations in sediments, residual soils, and
compacted clays assume a variety of forms; however,
most of them are related to combinations of the con-
figurations shown in Fig. 5.1 and reflect the difference
in water content between a suspension and a denser
soil mass. Fine-grained soils are almost always com-
posed of multiparticle aggregates. Overall, three main
groupings of fabric elements may be identified (Collins
and McGown, 1974):
1. Elementary Particle Arrangements Single
forms of particle interaction at the level of indi-
vidual clay, silt, or sand particles
2. Particle Assemblages Units of particle organi-
zation having definable physical boundaries and
a specific mechanical function, and which consist
of one or more forms of the elementary particle Figure 5.2 Schematic representation of elementary particle
arrangements arrangements (Collins and McGown, 1974). (a) Individual
3. Pore Spaces Fluid and/or gas filled voids clay platelet interaction, (b) individual silt or sand particle
within the soil fabric interaction, (c) clay platelet group interaction, (d ) clothed silt
or sand particle interaction, and (e) partly discernible particle
Schematic illustrations of each of the fabric features interaction.
in these three classes are shown in Figs. 5.2 through
5.4. Electron photomicrographs illustrating some of the
features are shown in Fig. 5.5. Figure 5.6 shows the
overall fabric of undisturbed Tucson silty clay, a fresh- units (Olsen, 1962; Yong and Sheeran, 1973). In a fab-
water alluvial deposit. The features shown in the fig- ric composed of groupings of clusters, it is useful to
ures are sufficient to describe most fabrics, although a refer to intracluster and intercluster pore space and to
number of additional terms have also been used to de- cluster and total void ratios. The term ped (Brewer,
scribe the same or similar features. 1964) has a similar meaning to cluster.
Cardhouse is an edge-to-face arrangement forming
an open fabric similar to the edge-to-face flocculated Fabric Scale
but dispersed arrangement of Fig. 5.1c (Goldschmidt, The fabric of a soil may be viewed relative to three
1926). A domain (Aylmore and Quirk, 1960, 1962) or levels of scale. From smallest to largest they are:
packet or book (Sloane and Kell, 1966) is an aggregate
of parallel clay plates. An array of such fabrics is 1. Microfabric The microfabric consists of the
termed a turbostratic fabric and is similar to the inter- regular aggregations of particles and the very
weaving bunches of Fig. 5.3h. An edge-to-face asso- small pores between them. Typical fabric units
ciation of packets or books is termed a bookhouse and are up to a few tens of micrometers across.
is similar to the arrangement of Fig. 5.1e. A cluster is 2. Minifabric The minifabric contains the aggre-
a grouping of particles or aggregates into larger fabric gations of the microfabric and the interassem-
Figure 5.3 Schematic representations of particle assemblages (Collins and McGown, 1974).
(a) connectors, (b) connectors, (c) connectors, (d ) irregular aggregations by connector as-
semblages, (e) irregular aggregations in a honeycomb, (ƒ ) regular aggregation interacting
with particle matrix, (g) interweaving bunches of clay, (h) interweaving bunches of clay with
silt inclusions, (i) clay particle matrix, and ( j ) granular particle matrix.
blage pores between them. Minifabric units may and minifabrics. Time-dependent deformations such as
be a few hundred micrometers in size. creep and secondary compression are controlled most
3. Macrofabric The macrofabric may contain strongly by the mini- and microfabric.
cracks, fissures, root holes, laminations, and the
like that correspond to the transassemblage pores
shown in Fig. 5.6. 5.3 SINGLE-GRAIN FABRICS
Soil mechanical and flow properties depend on de- Sand and gravel particles are sufficiently large and
tails of these three levels of fabric to varying degrees. bulky that they ordinarily behave as independent units.
For example, the hydraulic conductivity of a fine- Attempts to describe the stress–deformation behavior
grained soil is almost totally dominated by the macro- of granular soils using particulate mechanics theories
SINGLE-GRAIN FABRICS 113
Figure 5.4 Schematic representation of pore space types (Collins and McGown, 1974).
[e.g., Newland and Allely (1957), Rowe (1962, 1973), In some cases, sand samples can be dried prior to
Horne (1965), Matsuoka (1974), Murayama (1983), impregnation since sand fabrics are not generally af-
Nemat-Nasser and Mehrabadi (1984), and Wan and fected by capillary stresses. A procedure for doing this
Guo (2001)] have met with some success. The devel- to enable study of the fabrics produced in Monterey
opment of discrete element methods for numerical No. 0 sand by different methods of compaction is
modeling of granular soils has greatly extended the given by Mitchell et al. (1976).
potential for these methods as discussed in Section 5.1.
These theories are based on elastic distortion of par-
ticles and the sliding and rolling of particles, usually Packing of Equal-Sized Spheres
assumed of spherical or disk shape. In real granular Regular packing of spheres of the same size provides
soils, the irregular particle shapes and distribution of insight into the maximum and minimum possible den-
sizes mean that packing is usually far from regular. sities, porosities, and void ratios that are possible in
Nonetheless, the theories and computations can pro- single-grain fabrics. Five different possible packing ar-
vide valuable insights into behavior, and knowledge of rangements are shown in Fig. 5.7, and properties of the
the characteristics of ideal systems can be useful for arrangements shown are listed in Table 5.1. The range
interpreting data on real soils (see Chapter 11). of possible porosities is from 25.95 to 47.64 percent,
and the corresponding range of void ratios is from 0.35
Direct Observation of Cohesionless Soil Fabric to 0.91.
The study of the fabric of a cohesionless soil is usually Random packings of equal size spheres can be con-
done by optical means. The particles are large enough sidered to be composed of clusters of simple packings,
to be easily seen in the petrographic microscope. Thin each present in an appropriate proportion to give the
sections can be made after impregnation of a sample observed porosity. The relationship between coordi-
by a suitable resin or plastic. Water-soluble materials nation number N and porosity n in such systems is
are available for use in initially saturated sands. After
the resin or plastic has hardened, thin sections can be
prepared. N ⫽ 26.486 ⫺ 10.726/n (5.1)
Figure 5.5 Scanning electron photomicrograph features of undisturbed soil fabrics (Collins
and McGown, 1974). (a) Partly discernible particle systems in Lydda silty clay, Israel (fresh-
water alluvial deposit); (b) grain–grain contacts in Ford silty loess, England (aeolian deposit);
(c) connector assemblages in Breidmerkur silty till, Iceland (glacial ablation deposit); (d )
particle matrix assemblage in Immingham silty clay, England (estuarine deposit); (e) regular
aggregation assemblage in Holon silty clay, Israel (consisting of elementary particle arrange-
ments interacting with each other and silt) (freshwater alluvial deposit); ( ƒ ) interweaving
bunch assemblage in Hurlford organic silty clay, Scotland (freshwater lacustrine deposit);
and (g) irregular aggregation assemblage in Sundland silty clay, Norway (marine deposit).
Glass balls allowed to fall freely form an anisotropic to accumulate near the base. Makse and co-workers’
assembly, with the balls tending to arrange themselves (1997) experiments produced the interesting additional
in chains (Kallstenius and Bergau, 1961). The number result that if the large grains in a binary mixture have
of balls per unit area in contact with a vertical plane a greater angle of repose than the small grains, then
can be different from the number in contact with a the mixture stratifies into alternating layers of small
horizontal plane. The same behavior is observed for and large grains. If the small grains have a larger angle
sand pluviated through air and water. of repose than the large grains, then segregation with-
Spontaneous segregation and stratification has been out stratification results. This type of behavior is rel-
observed when granular mixtures of particles of two evant to such geoengineering problems as the stability
different predominant sizes are dumped into a pile of dumped mine waste piles, geological formations
(Makse et al., 1997; Fineberg, 1997). When a mixture susceptible to static liquefaction, and the processing
of sizes is poured into a pile, the larger particles tend and transport of granular materials.
Particle Packings in Granular Soils spheres shown by the values in Table 5.1, that is, po-
Particle sizes in soil vary, and as a result, smaller par- rosity in the range of 26 to 48 percent and void ratio
ticles can occupy pore spaces between larger particles. in the range of 0.35 to 0.91. This is illustrated by the
This results in a tendency toward higher densities and data in Table 5.2. The lower values of porosity and
lower void ratios than for uniform spheres. On the density and higher unit weight for silty sand and gravel
other hand, irregular particle shapes produce a ten- can be attributed to silt filling the large voids between
dency toward lower densities and higher porosities and the gravel particles.
void ratios. The net result is that the range of porosities Many studies have shown that a given cohesionless
and void ratios in real soils with single-grain fabrics soil can have different fabrics at the same void ratio
may not be much different from that for uniform or relative density. Characterization of this fabric can
Figure 5.6 Overall microfabric in Tucson silty clay, United States (freshwater alluvial de-
posit) (Collins and McGown, 1974).
be done in terms of grain shape factors, grain orien- self with respect to the sample and to the field deposit
tations, and interparticle contact orientations (Lafeber, is also an essential part of the fabric description.
1966; Oda, 1972a; Mahmood and Mitchell, 1974; Orientations of long axes for a large number of
Mitchell et al., 1976). More recently, application of grains can be expressed by a histogram or rose dia-
image analysis techniques (Section 5.8) has led to bet- gram. A frequency histogram for a sand having a mean
ter understanding and quantification of fabric features. axial ratio equal to 1.65 and placed by tapping the side
The orientation of grains in a sand deposit can be of a vertical, cylindrical mold is shown in Fig. 5.9. The
described in terms of the inclination of the particle orientation of each grain was assigned to one of the
axes to a set of reference axes. For example, the ori- 15 intervals between 0 and 180. The V-section refers
entation of the particle shown in Fig. 5.8 can be de- to a thin section from a vertical plane (oriented parallel
scribed by the angles and . In most studies, to the cylinder axis). The H-section refers to orienta-
however, a thin section is studied to give the orientations in the horizontal plane.
tions of apparent long axes. The long axes of particles Orientations of long axes in the vertical plane for
are referred to a single horizontal reference axis by an two samples of well-graded crushed basalt [mean
angle .1 The spatial orientation of the thin section it- (length)/(width) ⫽ 1.64] are shown by the rose dia-
grams in Figs. 5.10 and 5.11. In this study, the orien-
1
This method underestimates the value of L / W for elongate particles tations of at least 400 grains were measured for each
having their long axis out of the plane of the thin section. sample, and the orientation of each was assigned to
Figure 5.7 Ideal packings of uniform spheres: (a) simple cubic, (b) cubic tetrahedral, (c)
tetragonal sphenoidal, (d ) pyramidal, and (e) tetrahedral.
Table 5.1 Properties of Ideal Packings of Uniformly Sized Spheres
Coordination Layer Spacing Porosity

Type of Packing Number (R ⫽ radius) Volume of Unit (%) Void Ratio
Simple cubic 6 2R 8R3 47.64 0.91
Cubical–tetrahedral 8 2R 4兹3R3 39.54 0.65
Tetragonal–sphenoidal 10 兹3R 6R3 30.19 0.43
Pyramidal 12 兹2R 4兹2R3 25.95 0.35
Tetrahedral 12 2兹2/3R 4兹2R3 25.95 0.35
one of the eighteen 10 intervals between 10 and 180. paction, however, resulted in a more nearly random
A completely random distribution would yield the fabric (Fig. 5.11).
dashed circles shown in the figures. There is a strong Interparticle contact orientations and their distribu-
preferred orientation in the horizontal direction in the tion influence deformation and strength properties and
sample prepared by pouring (Fig. 5.10). Dynamic com- anisotropy. These orientations can be described in
Table 5.2 Maximum and Minimum Void Ratios, Porosities, and Unit Weights for Several Granular Soils
Dry Unit Weight

Void Ratio Porosity (%) (kN m⫺3)
emax emin nmax nmin d min d max
Uniform spheres 0.91 0.35 47.6 26 — —

Standard Ottawa sand 0.80 0.50 44 33 14.5 17.3
Clean uniform sand 1.0 0.40 50 29 13.0 18.5
Uniform inorganic silt 1.1 0.40 52 29 12.6 18.5
Silty sand 0.90 0.30 47 23 13.7 20.0
Fine to coarse sand 0.95 0.20 49 17 13.4 21.7
Micaceous sand 1.2 0.40 55 29 11.9 18.9
Silty sand and gravel 0.85 0.14 46 12 14.0 22.9
Modified from Lambe and Whitman (1969).
Figure 5.8 Three-dimensional orientation of a sand particle.
Figure 5.9 Frequency histograms of long particle axis orientations in two planes for a
uniform fine sand. Reprinted from Oda (1972a), with permission of The Japanese Society
of SMFE.
CONTACT FORCE CHARACTERIZATION USING PHOTOELASTICITY 119
Various methods to quantify long axis and contact
distributions are available (Oda, 1972a; Fisher et al.,
1987; Shih et al., 1998). The measured statistical dis-
tributions can be converted to a tensor that has the
same dimensionality as stresses and strains (Satake,
1978; Kanatani, 1984; Oda et al., 1985; Kuo et al.,
1998). One notable measure is the fabric tensor (Oda
et al., 1982b) that characterizes the contact normal di-
rections. This tensor and its evolution with plastic
Figure 5.10 Particle orientation diagram for crushed basalt. strains are used in development of micromechanics
Vertical section through a sample prepared by pouring. Den- theories as well as continuum-based constitutive mod-
sity is 1600 kg / m3 and the relative density is 62 percent. els (e.g., Tobita, 1989; Muhunthan et al., 1996; Yimsiri
and Soga, 2000; Wan and Guo, 2001; Li and Dafalias,
2002).
The mean value of the particle coordination number
and its standard deviation are additional important fab-
ric features in granular soils. The coordination number
is the number of adjacent particles in contact with any
given particle, and it is dependent on particle size,
shape, size distribution, and void ratio. Relationships
between the different orientation and packing param-
eters and mechanical properties of cohesionless soils
are given in Chapter 8.
5.4 CONTACT FORCE CHARACTERIZATION

Figure 5.11 Particle orientation diagram for crushed basalt.
USING PHOTOELASTICITY
Vertical section through a sample prepared by dynamic com-
paction. Density is 1840 kg / m3 and the relative density is 90 Photoelasticity is a phenomenon in which light going
percent. through a photoelastic material (such as glass, rubber,
and polymer) is polarized by the internal stresses of
the material. The basic concept is that the speed of
terms of a perpendicular Ni to the tangent plane at the light depends on the direction of the plane of oscilla-
point of contact. As most fabric characterization stud- tion due to stress-induced optical anisotropy of the ma-
ies are done in a two-dimensional plane, and actual terial. The planes of the limiting velocities coincide
particle contact points rarely occur in the analyzed with the direction of the principal stresses. Utilizing
plane, measurement of contact normals can be prone this technique, the analysis of a photoelastically sen-
to detection errors. sitive particle assembly under different boundary load-
The orientation of Ni is defined by angles and ing conditions gives information about the internal
as shown in Fig. 5.12. A procedure for determination force structure through particle contacts. Averaging the
of the angular distributions of normals E(, ) is contact forces over a number of particles in a region
given by Oda (1972a). For a fabric with axial sym- of interest gives the average effective stress. The down-
metry around the vertical axis, the function E(, ) side of this technique is that actual soil particles cannot
is independent of , so the distribution of E() as a be used. However, the force information obtained from
function of can be used to characterize the distri- a transparent particulate assembly is useful for under-
bution of interparticle contact normals. Contact normal standing how actual soil particle systems are likely to
distributions for four sands deposited in water and behave.
compacted by tapping on the sides of their containers Light propagates in a vacuum or in air at a speed C
are shown in Fig. 5.13. The horizontal dashed lines of 3 ⫻ 108 m/s. In other transparent materials, the
represent the distributions for an isotropic fabric. In speed V is lower and the ratio C/V is called the re-
each case there is a greater proportion of contact plane fractive index. In photoelastic materials, the change in
normals in the near vertical direction; that is, there is refractive index in the i direction (ni) is proportional to
a preferred orientation of contact planes near the hor- the change in normal stress i in the same direction;
izontal. ni ⫽ Kso i, where Kso is the stress-optical material
Figure 5.12 Characterization of interparticle contact orientation.
constant. Hence, the velocity becomes direction depen-

dent when the material is stressed in an anisotropic
manner.
Using a polarizer, the incoming light is polarized
along a well-defined plane. If another polarizer is
placed along the polarized light, complete extinction
of the light can be achieved by making the filtering
direction perpendicular to that of the first polarizer.
When the polarized light goes through a stressed trans-
parent material, two polarized lights are generated in
the direction of principal strains (also the principal
stress directions in an elastic material). The velocity of
each component is inversely proportional to the differ-
ent refractive indices of its particular plane, and there
will be a relative retardation :
⫽ (nmax ⫺ nmin)l ⫽ Kso(max ⫺ min)l (5.2)
where l is the material thickness, nmax and nmin are the

refractive indices of the two polarized lights, and max
and min are the maximum and minimum principle
stress, respectively.
Figure 5.13 Probability density functions of E() for (a)
A polarizing analyzer can be placed along the po-
crushed chert, (b) Toyoura sand, (c) Soma sand, and (d ) To- larized lights and it will transmit only one component
chigi sand. The crushed chert and Toyoura sand are mainly of each of these waves. The polarized waves will in-
rodlike or flat particles. Tochigi sand has spherical particles. terfere, and the light intensity of the polarized light
Soma sand is intermediate in particle shape (from Oda, coming out of the analyzer will be a function of and
1978). Reprinted by permission. the angle between the analyzer and direction of prin-
MULTIGRAIN FABRICS 121
cipal strains. The light intensity becomes zero when et al., 2003). A complicated network of force chains
the angle becomes zero and hence the principal strains develops in the direction of the maximum principal
directions can be determined. Optical filters known as stress.
quarter-wave plates can be added in the path of light Microscopic investigations of the development of
propagation to produce circularly polarized light. By contact force distribution under different loading con-
doing so, the image observed is not influenced by the ditions provide physical insights to understand defor-
direction of principal strains, but the intensity I viewed mation behavior of granular materials. Further details
by a circular polariscope depends on by the follow- are given in Chapter 11.
ing equation: Photoelasticity investigations can also be performed
using three-dimensional particle assemblages. Al-
I ⫽ I0 sin2( / ) (5.3) though the actual material may be transparent, the par-
ticles become opaque due to refraction and reflection
where I0 is a constant and is the wavelength of the of light at the particle surfaces, which are often opti-
light. The light intensity becomes zero when ⫽ N cally damaged. This adds difficulty in examining the
(N ⫽ fringe order ⫽ 1, 2, ...), and hence the magnitude contact force distributions. However, if the pores are
of principal stress difference at a given point can be filled with a fluid that has the same refractive index as
evaluated from Eq. (5.3). Photoelastic images of a cir- the photoelastic material, the assembly becomes more
cular disk squeezed between two contacts are shown transparent. Figure 5.16 shows the force distribution in
in Fig. 5.14 (Howell et al., 1999). crushed glass particles when a cone penetrometer is
The forces applied to particles are not equal. Instead, pushed into the material (Allersma, 1999). Again, de-
the spatial distribution of forces varies significantly due velopment of a strong force network is evident.
to random positions of the particles. Figure 5.15 shows
images in an assemblage of pentagonal-shaped disks
under (a) geostatic stresses by gravity and (b) both 5.5 MULTIGRAIN FABRICS
gravity loading and point loading at the center of the
model (Geng et al., 2001). A chainlike force distribu- In Section 5.2, it was emphasized that single-grain fab-
tion, indicated by large light intensity paths, exists rics are rare in soils containing clay-size particles. This
even under geostatic stress conditions. Strong force is often true also for silts (particle sizes in the range
chains can develop in an assembly of pentagonal- of 2 to 74 m). For example, experiments have shown
shaped polymer particles as shearing progresses (Geng that silt-size quartz particles sedimented in water can
1.5
0.5
0
-1 -0.5 0 0.5 1
(a) (b)
Figure 5.14 Photoelastic image of a circular disk squeezed between two contacts: (a) the-
oretically expected image and (b) actual image (from Howell et al., 1999).
Figure 5.16 Cone penetration test in photoelastic particles

(from Allersma, 1999).
Figure 5.15 Photoelastic images of pentagonal shape disk

assembly under (a) geostatic stresses by gravity and (b) both
gravity loading and point loading at the center of the model
(from Geng et al., 2001).
Figure 5.17 Schematic diagram of a honeycomb fabric in

silt.
have a void ratio as large as 2.2. Quartz particles in
this size range may be somewhat platy and can account
for a part of this high void ratio as compared to an
upper limit of about 1.0 for single-grain assemblages sorb on nonclay particle surfaces, and clay surfaces are
of bulky particles. However, silt-size particles form often chemically reactive. In addition, clay particle
multigrain arrangements during slow sedimentation, groups in many soils may be remnants of a preexisting
because they are sufficiently small that their arrange- rock from which the soil was derived.
ments can be influenced by surface force interactions.
An open honeycomb type of arrangement, as shown
schematically in Fig. 5.17, is thought to exist in some 5.6 VOIDS AND THEIR DISTRIBUTION
silts (Terzaghi, 1925a). Loose fabrics such as this are
metastable and subject to sudden collapse or liquefac- Different types of pores are illustrated in Figs. 5.4 and
tion under the action of rapidly applied stresses. 5.6. The pore sizes and their distribution complement
Multigrain fabrics of clays and clay–nonclay mix- the particle and particle group sizes and their distri-
tures form because clay particle surface forces are sig- bution. Emphasis is usually placed on the solid phase
nificant relative to clay particle weight; clays can ad- rather than the liquid and gas phases when describing
SAMPLE ACQUISITION AND PREPARATION FOR FABRIC ANALYSIS 123
properties and behavior. However, the pores and voids ysis may be appropriate in some cases in order to
determine the fluid and gas conductivity properties obtain information of more than one type or level of
that, in turn, control such important processes as the detail.
rate of fluid and chemical transport, generation of ex-
cess pore pressures during deformation, consolidation Sample Preparation for Fabric Analysis
rate, the ease and rate of drainage, capillary pressure
development, and the potential for liquefaction under Acoustical, dielectric, thermal, and magnetic measure-
dynamic loading. Methods for determining and char- ments can be made directly on samples in their undis-
acterizing pore sizes and their distribution are de- turbed, wet state. Optical and electron microscopy,
scribed in Section 5.9. X-ray diffraction, and porosimetry require that the pore
fluid be removed, replaced, or frozen. To do this with-
out disturbance of the original fabric is difficult, and
5.7 SAMPLE ACQUISITION AND in most cases there is no way to determine how much
PREPARATION FOR FABRIC ANALYSIS disturbance there may have been.
Pore Fluid Removal Air drying without significant
Obtaining representative soil samples with minimal disruption of the natural fabric may be possible for
disturbance is essential if reliable measurements of en- soils that do not undergo much shrinkage. For soft
gineering properties are to be made. The same consid- samples at high water content, oven drying may cause
erations apply in the selection and preparation of less fabric change than air drying, evidently because
samples for the study of fabric. Accordingly, the sam- the longer time required for air drying allows for
pling and preparation phases of fabric study are criti- greater particle rearrangement (Tovey and Wong,
cal, and special methods are many times needed. 1973). On the other hand, the stresses induced during
Proven methods for reliable determination of fabric oven drying may result in some particle breakage.
can also be used for evaluation of the effects of dif- Water removal by drying at the critical point has also
ferent sampling procedures used in engineering prac- been used. If the temperature and pressure of the sam-
tice, although there does not appear to be much record ple are raised above the critical values, which for water
of this having been done. are 374C and 22.5 MPa, respectively, the liquid and
Both direct and indirect methods are used to study vapor phases are indistinguishable. The pore water can
the fabric and fabric features of soils, as listed in Table then be distilled off without the presence of air–water
5.3. An illustrative schematic diagram prepared by interfaces that can lead to shrinkage. The high tem-
R. N. Yong that summarizes methods for analysis of perature and pressure may change the clay particles,
soil composition and fabric using various parts of the however. To avoid this, replacement by carbon dioxide
electromagnetic spectrum is shown in Fig. 5.18. In in- has been used. The critical temperature and pressure
terpreting the results from any of these methods, judg- of carbon dioxide are 31.1C and 7.19 MPa, respec-
ment is required to be sure that the conclusions pertain tively. The procedure requires prior impregnation of
to properties and behavior of interest. For example, the sample with acetone, which may cause swelling in
discontinuities, fractures, and anisotropy on a macro- partly saturated and expansive soils (Tovey and Wong,
scale can override the influences of microfabric details. 1973). Both critical point and freeze-drying cause less
Of the methods listed in Table 5.3, optical and elec- sample disturbance and shrinkage than do air or oven
tron microscopy, X-ray diffraction, and pore size dis- drying, but they are more difficult and time consuming.
tribution offer the advantage of providing direct Freeze-drying can be used for removal of water.
(usually) unambiguous information about specific fab- Sublimation of the ice in a soil that has been rapidly
ric features, provided the samples are representative frozen avoids the problem of air–water interfaces and
and the sample preparation procedures have not de- shrinkage that accompany water removal by drying.
stroyed the original fabric. On the other hand, these Sample size must be small, usually thinner than about
techniques are limited to small samples, and they are 3 mm, if disruption due to nonuniform freezing is to
destructive of the samples studied. The other tech- be avoided. Quick freezing is best done in a liquid that
niques are nondestructive, at least in principle, and can has been cooled to its melting point in liquid nitrogen,
be used for the study of soil fabric in situ and for the such as isopentane at ⫺160C or Freon 22 at ⫺145C.
study of changes in fabric that accompany compres- This avoids gaseous bubbling caused by direct immer-
sion, shear, and fluid flow. However, with most of these sion in liquid nitrogen at ⫺196C (Delage et al., 1982).
methods interpretation is seldom straightforward or un- The freezing temperature should be less than ⫺130C
ambiguous. The use of several methods of fabric anal- to avoid formation of crystalline ice. Sublimation of
124
Polarized Light
Micrograph
Replica Transmission
Electron Micrograph
or Diffraction Pattern
Scanning Electron
Micrograph
Figure 5.18 Methods for examining mineralogy, fabric, and structure of soils using parts of
the electromagnetic spectrum (prepared by R. N. Yong, McGill University Soil Mechanics
Laboratory).
125
Table 5.3 Techniques for Study of Soil Fabric
Scale of Observations and Features

Method Basis Discernable
Optical microscope Direct observation of fracture Individual particles of silt size and
(polarizing) surfaces of thin sections larger, clay particle groups,
preferred orientation of clay,
homogeneity on a millimeter
scale or larger, large pores, shear
zones
Useful upper limit of magnification
about 300⫻
Electron microscope Direct observation of particles Resolution to about 100 Å; large
or fracture surfaces through depth of field with SEM; direct
soil sample (SEM) observation of particles; particle
observation of surface groups and pore space; details of
replicas (TEM) microfabric; environmental SEM
can be used to observe
specimens containing water
and gas
X-ray diffraction Groups of parallel clay plates Orientation in zones several square
produce stronger diffraction millimeters in area and several
than randomly oriented micrometers thick; best in single
plates mineral clays
Pore size distribution (1) Forced intrusion of a (1) Pores in range from ⫺0.01 to
nonwetting fluid (usually ⬎10 m
mercury)
(2) Capillary condensation (2) 0.1 m maximum
Wave propagation Particle arrangement, density, Anisotropy; measures fabric
and stress influences wave averaged over a volume equal to
velocity sample size
Dielectric Variation of dielectric Assessment of anisotropy,
dispersion and constant and conductivity flocculation and deflocculation,
electrical with frequency and properties; measures fabric
conductivity averaged over a volume equal to
sample size
Thermal conductivity Particle orientations and Anisotropy; measures fabric
density influence thermal averaged over a volume equal to
conductivity sample size
Magnetic Variation in magnetic Anisotropy; measures fabric
susceptibility susceptibility with change of averaged over a volume equal to
sample orientation relative sample size
to magnetic field
Mechanical Properties Properties reflect influences of Fabric averaged over a volume
strength modulus fabric; see Chapter 11 equal to sample size; anisotropy;
permeability macrofabric features in some
compressibility cases
shrinkage and swell
METHODS FOR FABRIC STUDY 127
the water is then done at temperatures between ⫺50 Grinding or cutting air-dried and Carbowax-treated
and ⫺100C rather than at the initial freezing temper- samples may result in substantial particle rearrange-
ature to increase the rate of water vapor removal. At ment at the surface, thus making them of little value
temperatures less than ⫺100C the vapor pressure of for study by the electron microscope. To overcome this
the ice, about 10⫺5 torr, may be less than the capability problem, successive peels from the surface of a dried
of the vacuum system. specimen using adhesive tape can be used to expose
The freezing process may produce fabric changes in the original fabric. Alternatively, the surface may be
very high water content systems such as a 10 percent coated with a resin solution that partly penetrates the
by weight slurry of bentonite in water (Kumai, 1979). sample. After hardening, the resin is peeled away re-
However, with more typical saturated clays at consis- vealing an undisturbed fabric. A comparison of sur-
tencies likely to be encountered in geotechnical inves- faces before and after this procedure is shown in Fig.
tigations, the effects of freeze-drying on the fabric are 5.19.
small. Additional considerations in sample preparation The disturbed zone at the surface of Carbowax-
by freeze-drying are given by Tovey and Wong (1973) treated samples extends to a maximum depth of about
and Gillott (1976). 1 m in kaolinite (Barden and Sides, 1971). As thin
Pore Fluid Replacement If thin sections are re- sections used for polarizing microscope study are of
quired, as for optical microscopy or when drying the order of 30 m thick, this disturbed zone is of little
shrinkage must be minimized, but the presence of a consequence. It is also insignificant for X-ray diffrac-
material in pore spaces is not objectionable, replace- tion studies.
ment of the pore water may be necessary. Various res- Fracture surfaces in dried specimens are sometimes
ins and plastics have been used for this purpose. taken as representative of the undisturbed fabric. Ad-
High-molecular-weight ethylene glycol such as Car- ditional preparation, such as gentle blowing of the sur-
bowax 6000 is miscible with water in all proportions face or peeling is needed following fracture because
and has been used for many studies. Carbowax 6000 (1) there may be loose particles on the surface, and (2)
melts at 55C but is solid at lower temperatures. a fracture surface may be more representative of a
Impregnated samples are prepared by immersing an plane of weakness than of the material as a whole. An
undisturbed cube sample, 10 to 20 mm on a side, in alternative approach to avoid these problems is to frac-
melted Carbowax at 60 to 65C. The top surface of the ture a frozen wet specimen as described by Delage et
specimen should be left exposed to vapor for the first al. (1982).
day of immersion to allow escape of trapped gases and The method of sample preparation should be se-
prevent specimen rupture. The wax should be changed lected after consideration of scale of fabric features of
after 2 or 3 days to ensure water-free wax in the sample interest, method of observation to be used, and the soil
pores. Replacement of all water by the Carbowax is type and state as regards water content, strength, dis-
usually complete in a few days. After removal from turbance, and so forth. With these factors in mind, the
the liquid wax and cooling, the sample is ready for probable effects of the preparation methods on the fab-
sectioning. ric can be assessed.
Thin sections are prepared by grinding using emery
cloth or abrasive powders and standard thin-section
techniques. However, heat, water, or other water-
soluble liquids cannot be used at any stage of the 5.8 METHODS FOR FABRIC STUDY
grinding or section mounting process. Measurements
by X-ray diffraction have shown that Carbowax re- Once suitable samples and surfaces have been pre-
placement of water has essentially no effect on the fab- pared, direct study of different fabric features is pos-
ric of wet kaolinite (Martin, 1966). sible using one or more of several methods, as
Gelatins or water-soluble resins may be used in lieu indicated in Fig. 5.18. Details of these methods are
of Carbowax, or the sample may be impregnated with discussed in this section as well as the advantages and
methanol or acetone before replacement with resins or limitations of each.
plastics. Further details on resin impregnation are
given by Smart and Tovey (1982) and Jang et al. Polarizing Microscope
(1999).
Individual particles of silt and sand can be seen using
petrographic and binocular microscopes, and the sizes,
Preparation of Surfaces for Study orientations, and distributions of particles and pore
Surfaces chosen for study should reflect the original spaces can be described systematically. Thin sections
fabric of the soil and not the preparation method. or polished surfaces can be used for two-dimensional
Figure 5.19 Effect of surface preparation on fabric seen by the scanning electron microscope
(a) before peeling and (b) after one peeling, ⫻5000 (from Tovey and Wong, 1973).
analyses. Three-dimensional analyses require a series of preferred orientation. Rose diagrams are shown in
of parallel cross sections. Fig. 5.21 of both pore orientation (white figure) and
Many petrographic techniques and special treat- silt and sand grain orientation (black figure). Consid-
ments are available to aid in identification of features erable preferred orientation of both pores and particles
of interest (e.g., Stoopes, 2003). Rose diagrams can be is evident.
used to represent two-dimensional planar patterns. It is not usually possible to see individual clay par-
Three-dimensional patterns can be represented using ticles with the polarizing microscope because of limi-
stereo net projections. As an illustration of two- tations in resolving power and depth of field. Practical
dimensional representation, Fig. 5.20 shows the pore resolution is to a few micrometers using magnifications
pattern in a section of a stony desert tableland soil from up to about 300 times. If, however, clay plates are
near Woomera, Australia, which suggests some degree aligned parallel to each other in a group, then they
Figure 5.20 Pore pattern of a section from a stony tableland soil from Woomera, Australia.
Pores in white, clay matrix in gray, and silt sand grains in black (from Lafeber, 1965).
Reprinted with permission of AJSR.
s2
L1 s1
R s1 R
L1
s2
Figure 5.21 Distribution of elongated pores (white figure) and of elongated skeleton grains
(black figure) in different directions for the pattern in Fig. 5.20. The broken circle represents
an even distribution of lengths over all directions. s1 and s2 are the major maxima of the
elongated pores, L1 is the major maximum of elongated grains, and R is the reference di-
rection (from Lafeber, 1965). Reprinted with permission of AJSR.
behave optically as one large particle with definite op- singular orientations of particles (Lafeber, 1968), the
tical properties. semiquantitative scale proposed by Morgenstern and
The optical axes and the crystallographic axes of the Tchalenko (1967c) given in Table 5.4 is useful.
clay minerals are almost coincident. For plate-shaped A vertical section taken through varved clay is
particles, the refractive indices in the a and b directions shown in Fig. 5.22. The upper half shows the winter-
are approximately equal, but different from that in the deposited clay varve and the lower half the summer-
c-axis direction. The difference in refractive indices deposited silt varve. Strong preferred orientation of the
along different optical axes of a crystal determines the
optical property termed the birefringence.
If a group of parallel particles is viewed in plane Table 5.4 Orientation Scale for Clay Aggregates
polarized light looking down the c axis, a uniform field Viewed in Plane Polarized Light
is seen as the group is rotated around the c axis. If the
same particle group is viewed with the c axis normal Birefringence Ratio Particle Parallelism
to the direction of the light, no light is transmitted
when the basal planes are parallel to the direction of 1.0 Random
polarization, and a maximum is transmitted when they 1.0–0.9 Slight
are at 45 to it. Thus there are four positions of ex- 0.9–0.5 Medium
tinction and illumination when the sample is viewed 0.5–0.1 Strong
using light passed through crossed nicols and the mi- 0 Perfect
croscope stage is rotated through 360. For rod-shaped
From Morgenstern and Tchalenko (1967c).
particles in parallel orientation, a uniform field is ob-
served looking down the long axis, whereas illumina-
tion and extinction are seen when looking normal to
this axis. Use of a tint plate in the microscope is often
helpful because the resulting retardation of light waves
results in distinct different colors for extinction and
illumination.
If particle orientation is less than perfect or if the c-
axis direction of a group of parallel plates is other than
normal to the direction of light, then the minimum in-
tensity is finite and the maximum intensity is less than
for perfect orientation. The ratio of minimum intensity
Imin to maximum intensity Imax is called the birefrin-
gence ratio .
Photometric measurements of the birefringence ratio
can be used to quantify clay particle orientation (Wu,
1960; Morgenstern and Tchalenko, 1967a). Although Figure 5.22 Thin section of varved clay under polarized
there may be difficulties in photometric methods when light (courtesy of Division of Building Research, National
dealing with other than monomineral materials with Research Council, Canada).
clay is evident by comparison of illumination on the

left and extinction on the right. Were the clay plates
oriented randomly throughout, the thin section would
have had the same appearance at both orientations. The
upper portion of the silt varve is also seen to contain
some zones of well-oriented clay. A series of planar
pores is also visible. These pores probably were de-
veloped during impregnation of the sample or prepa-
ration of the thin section.
Optical microscope study of fabric provides a view
of some features that are too small to be seen by eye,
too large to be appreciated using an electron micro-
scope, but important to understanding soil behavior.
Some of these features include distributions of silt and
sand grains, silt and sand particle coatings, homoge-
neity of fabric and texture, discontinuities of various
types, and shear planes (e.g., Mitchell, 1956; Morgen-
stern and Tchalenko, 1967b, 1967c; McKyes and
Yong, 1971; Oda and Kazama, 1998). A thin section
from a shear zone through a soft silty clay at the site
of a foundation failure under an embankment at Fid-
dler’s Ferry on the floodplain of the Mersey River,
England, is shown in Fig. 5.23a. Details of the shear
zone deduced from the photomicrograph are shown in Figure 5.23b Details of Fiddler’s Ferry shear zone (Mor-
Fig. 5.23b. genstern and Tchalenko, 1967c). F is a fragment of ambient
material; the hatched areas indicate the shear matrix where
the birefringence ratio ⫽ 0.45; and the direction of hatch-
Electron Microscope ing is the average particle orientation over the stippled areas
The electron microscope can reveal clay particles and where ⫽ 1.00.
their arrangements directly. The practical limit of res-
olution of the transmission electron microscope (TEM)

is less than 10 Å, and atomic planes can be seen. The
practical limit of the scanning electron microscope
(SEM) is about 100 Å; however, lesser magnification
is sufficient to resolve details of clay particles and
other very small soil constituents. The major advan-
tages of the SEM relative to the TEM are the much
greater depth of field, the wide, continuous range of
possible magnifications (about 20⫻ to 20,000⫻), and
the ability to study surfaces directly. Either surface rep-
licas or ultra-thin sections are needed for the TEM. The
main advantage of the TEM relative to the SEM is its
higher limit of resolution. Historical developments
along with its application to clay minerals and aggre-
gates examination are given by McHardy and Birnie
(1987) for SEM and Nadeau and Tait (1987) for TEM.
Both types of electron microscopy require an evac-
uated sample chamber (1 ⫻ 10⫺5 torr), so wet soils
cannot be studied directly unless they are housed in a
special chamber. Cold stages are available, so frozen
materials may be studied. It is usually necessary to
Figure 5.23a Photograph of Fiddler’s Ferry shear zone coat SEM sample surfaces with a conducting film to
(from Morgenstern and Tchalenko, 1967c). prevent surface charging and loss of resolution. Gold
placed in a very thin layer (20 to 30 nm) in a vacuum size from a 1 percent suspension followed by freeze-
evaporator is often used. drying. When sedimented in distilled water, the sedi-
The main difficulty in the electron microscope study ment porosities were kaolinite 96 percent, illite 90
of fabric is the preparation of sample surfaces, surface percent, and montmorillonite 83 percent. When sedi-
replicas, or ultra-thin sections that retain the undis- mented in electrolyte solution, the porosities were 97,
turbed fabric of the original soil. In general, the higher 98 and 99 percent, respectively. The photomicrographs
the water content and void ratio of the original sample, reflect the very high porosities of all samples and that
the greater the likelihood of disturbance. Soils contain- the flocculating effect of the salt solution had a signif-
ing expansive clay minerals may undergo changes in icant effect on the initial microfabric.
microfabric as a result of removal of interlayer water, Undisturbed silt microfabrics are shown in Fig. 5.25.
or there may be shrinkage. The dry–fracture–peel These silty clay microfabrics are formed under condi-
technique and the freeze–fracture technique appear the tions of uninterrupted sediment accumulation and have
best of the available methods for obtaining represen- quite high porosities (60 to 90 percent). Sediments of
tative sample surfaces. this type are very compressible and weak.
That careful techniques are successful in preserving Progressive collapse of microfabric of a sensitive
delicate fabrics is evidenced by Fig. 5.24, which shows Champlain clay with increasing vertical loading is
the microstructures of six artificial clay sediments (Os- shown in Fig. 5.26 (Delage and Lefebvre, 1984). The
ipov and Sokolov, 1978). These samples were obtained preconsolidation pressure of the clay was 54 kPa. The
by gradual sedimentation of clay particles ⬍1 m in SEM photos were taken along the vertical plane and
the distribution of macropores at each loading stage
was derived from the photos as shown in the figure.
Aggregate structure is apparent at the intact stage be-
low the preconsolidation pressure. At a loading of 124
Figure 5.24 Microfabrics of artificial clay sediments. Scale

bar ⫽ 2 m for all micrographs: (a) kaolinite in distilled
water, (b) kaolinite in 0.5 N NaCl, (c) illite in distilled water, Figure 5.25 Honeycomb microfabrics: (a) recent lacustrine
(d ) illite in 0.5 M NaCl, (e) montmorillonite in distilled wa- silt from Lake Vozhe and (b) recent marine silt from the
ter, and ( ƒ) montmorillonite in 0.5 NaCl (from Osipov and Black Sea (from Sergeyev et al., 1980). Reprinted with per-
Sokolov, 1978). mission from Blackwell Scientific Publications, Ltd.
(a) (b) (c) (d)
10 μm intact 10 μm 124 kPa 10 μm 421kPa 10 μm 1452 kPa

Voids due to
Pores Solid particles pulling out of
particles
Figure 5.26 SEM photographs of a sensitive Champlain clay under consolidation at (a)
intact state, (b) 124 kPa, (c) 421 kPa, and (d ) 1452 kPa. The preconsolidation pressure of
the clay is 54 kPa (from Delage and Lefebvre, 1984).
kPa, the collapse of macropores in the horizontal di- which the SEM electromagnetic lens must exist. This
rection is observed. Aggregates are also aligning in the pressure differentiation is achieved by a special device
horizontal direction. As the loading increases (421 and called a pressure-limiting aperture. Examination of
1452 kPa), aggregates become less apparent by the samples can be done under a range of gaseous envi-
complete collapse of macropores and the particles are ronments (H2O, CO2, N2, etc.), relative humidities (0
aligning in the horizontal direction. Although the field to 100 percent), pressures (up to 6.7 kPa), and tem-
of view at high magnification is limited, mosaics of peratures (⫺180 to 1500C). ESEM images are taken
photomicrographs may be prepared to show larger fab- using an electrical current detector that collects and
ric features. Such a composite is shown in Fig. 5.6. processes signals generated by ionized gas molecules
Accessories are available for the SEM to enable de- (usually water vapour) in the specimen chamber. Sec-
termination of the elemental composition of specific ondary electrons emitted by the sample collide with
materials under observation (McHardy and Birnie, gas molecules, which then cause ionization of the gas,
1987; Bain et al., 1994). Further details on the tech- creating positive ions and additional secondary elec-
niques of electron microscopy used to examine the trons. The cascading amplification of the signal from
structures of soils can be found in Smart and Tovey the original secondary electrons enables the secondary
(1981, 1982). electron detector to create an image. The positive ions
are attracted to the negatively charged sample surface
Environmental SEM and suppress the charging artefacts. This charge sup-
Conventional SEM samples have to be dry, vacuum pression allows imaging of nonconductive samples.
compatible, and electrically conductive. To examine A significant feature of ESEM is its ability to ob-
liquid and hydrated samples, the pressure has to be at serve liquids inside the samples. The rate of sublima-
least 612 Pa, the minimum vapor pressure required to tion and condensation of water can be controlled by
maintain liquid water at 0C. An environmental scan- manipulating the pressure and temperature. Figure 5.27
ning electron microscope (ESEM) allows wet, natural, is an ESEM image of a sample containing illite clays
and nonconductive samples to be examined by having (left side) and quartz grains (right side). Water droplets
the specimen chamber at higher pressure separated were placed on the sample by condensation of distilled
from the high-vacuum electron optical regions in water present as a gaseous phase in the testing cham-
water is added to the specimen, the bentonite swells to
completely fill the macropores.
Image Analysis
Image analyzers can be used with both optical and
electron microscopes for quantification of fabric fea-
tures. Digital imaging cameras can resolve reflected or
transmitted light from the sample into pixels. The
amount of light per pixel is then converted into an
analog signal. After the entire image is acquired, the
analog signal for each pixel is converted to digital form
for analysis, manipulation, and storage. Image analysis
offers greatly increased potential for quantitative de-
Figure 5.27 ESEM image of illite clay (left side) and quartz scription of different fabric elements. Details of the
grains (right side). Water droplets placed on the samples method are beyond the scope of this book. Examples
show that the quartz surface is hydrophilic and the illite sur- of image analysis of soil specimens are given by Frost
face is hydrophobic (from Buckman et al., 2000). and Wright (1993), Tovey and Hounslow (1995), and
Frost and McNeil (1998).
ber. The photo shows the wettability of fluids on soil X-ray Diffraction
minerals. Spherical water droplets are observed on the As discussed in Section 3.22, crystallographic planes
clay surface, indicating that this illite is hydrophobic. in minerals refract X-rays at an intensity that depends
Quartz sand, on the other hand, is hydrophilic as low on (1) the amount of mineral in the volume of soil
domed droplets of water are formed on the surface. irradiated and (2) the proportion of the mineral grains
As pressure and temperature can be varied in the that are properly oriented. For clay minerals, parallel
specimen chamber, the ESEM allows studies of dy- orientation of plates enhances the basal reflections but
namic changes in samples such as wetting, drying, ab- decreases the intensity of reflection from lattice planes
sorption, melting, corrosion, and crystallization. Figure oriented in other directions. The intensity of (001) re-
5.28 shows ESEM images of the swelling of bentonite flections provides a measure of clay particle orienta-
in a sand–bentonite mixture (Komine and Ogata, tion.
2004). Initially, the bentonite particles are attached to The relative heights of basal peaks for different sam-
the sand grains and macropores can be observed. As ples of the same material give a measure of particle
Figure 5.28 ESEM images showing swelling process of bentonite clay in a sand–bentonite
mixture (from Komine and Ogata, 2004).
orientation differences. A fabric Index (FI) based on features as well as on texture and disturbance (Kenney
areas of diffraction peaks is defined as (Gillott, 1970): and Chan, 1972). A number of laboratories routinely
X-ray sample tubes prior to selection of samples for
FI ⫽ V/(P ⫹ V) (5.4) removal and testing for determination of deformation
and strength properties. The procedure is simple, rapid,
where V is the area of the basal peak in a section cut and inexpensive (apart from the initial cost of the
perpendicular to the orientation plane, and P is the area equipment).
of the same peak from a section cut parallel to the X-radiography is also useful for the study of defor-
plane of parallel orientation of particles. The value of mation patterns in soils. Lead shot is placed in regular
FI ranges from zero for perfect preferred orientation to patterns in samples or in blocks of soil used for model
0.5 for perfectly random orientation. A similar proce- tests. The positions of the shot are determined at var-
dure that retains the concept of peak areas, but does ious stages throughout a test by comparison of succes-
not require their exact measurement, is given by Yo- sive radiographs. The results can be used to locate
shinaka and Kazama (1973). shear zones and compute strains and their variation
The peak ratio (PR), defined as the ratio of the (002) throughout the material.
reflection to that of the (020) reflection, can also be X-ray computed tomography (CT) allows construc-
used as a measure of orientation. The PR has the ad- tion of a three-dimensional density profile inside
vantages of being independent of the particle concen- a material by assembling X-ray radiographic two-
tration within the total soil and of minimizing the dimensional images taken at different angles. The res-
effects of mechanical and instrumentation variables olution of a CT scanner is determined by the
(Martin, 1966). The PR of kaolinite with completely dimensions of a source and a detector as well as their
random particle orientations is about 2.0. For maxi- positions in relation to the test specimen. The tech-
mum parallel orientation the PR is about 200. The rea- nique has been used to examine the locations of shear
sons for choosing the (002) and (020) reflections are zones within a specimen as local dilation inside the
that (1) they are strong and (2) the corresponding 2 shear band gives low electron density (Desrues et al.,
values are not too far apart, thus ensuring that about 1996; Otani et al., 2000; Alshibi et al., 2003; Otani
the same sample volume will be irradiated for deter- and Obara, 2004). Figure 5.29 shows the locations of
mination of both peaks. shear zones in cylindrical sand specimens that were
X-ray diffraction methods had the advantage of sheared to different axial strains in triaxial compres-
quantification of data in a way that was not possible sion. The specimens showed strain-softening behavior
with optical and electron microscope methods. How- and exhibited uniform bulging with no apparent single
ever, the development of image analysis techniques for or multiple shear bands. The CT images were taken at
use with the latter has largely overcome this problem. strains greater than the peak axial strain of approxi-
X-ray methods have some disadvantages, including (1) mately 2 percent. No apparent shear zones are ob-
difficult interpretation in multimineral soils, (2) the served at an axial strain of 4.6 percent, indicating that
data are weighted in favor of the fabric nearest the the strain softening was due to dilation throughout the
sample surface, and (3) the soil volume irradiated will specimens. As the axial strain increased, however,
usually include both microfabrics and minifabrics, and shear zones with large local void ratio appeared inside
the results will average rather than distinguish them. the specimens. The following two shear zone structures
Thus, X-ray diffraction is best suited for fabric anal- are apparent (Desrues et al., 1996; Alshibi et al., 2003):
ysis of single mineral clays in which particle orienta-
1. Cone-Shaped Shear Zone The images of the
tions over regions the size of the X-ray beam (a few
horizontal plane show black circles appearing at
millimeters) are of interest or in conjunction with other
the center, and they become smaller in diameter
methods that can provide detail on the character of the
from the boundary toward the middle height of
microfabric.
the specimen (Fig. 5.29a). This suggests a cone-
shaped shear zone from the midheight to the
Transmission X-Ray and Computed Tomography boundary. The tip of the cone is at the midheight
Scan and the symmetry exists at the central axis of the
By detecting differences in electron density in mate- specimen.
rials, transmission X-ray is a useful and nondestructive 2. Conjugate-Inclined Shear Zones The horizon-
method for the study of soil stratigraphy, homogeneity, tally sliced images show radially oriented lines
and macrofabric. X-radiographs of samples while still generating outward from the circle (Fig. 5.29a).
in sample tubes provide information about the above These are the inclined lines in the vertically
PORE SIZE DISTRIBUTION ANALYSIS 135
Figure 5.29 CT scans of a dense sand specimen under triaxial compression: (a) Horizontal
slice at the midheight, (b) vertical slice, and (c) 3D image (from Alshibi et al., 2003).
sliced images (Fig. 5.29b). Close examination of determinations and from image analysis of thin sec-
these lines reveal that there are several pairs of tions and SEM pictures.
conjugate shear bands at two different inclined
angles as shown in Fig. 5.29c. Volumetric Pore Size Distribution Determinations
Further details of shear bands are given in Chapter Volumetric pore size distributions can be determined
11. Other noninvasive techniques reported to observe using forced intrusion of a nonwetting fluid, a capillary
particle packing arrangements include nuclear mag- condensation method based on interpretation of ad-
netic resonance imaging (Ehrichs et al., 1995; Ng and sorption and desorption isotherms, and by removal of
Wang, 2001) and laser-aided tomography (Matsushima water by suction or air pressure.
et al., 2002). The maximum pore size that can be measured using
the capillary condensation method is about 0.1 m.
With the possible exception of intraaggregate pores
5.9 PORE SIZE DISTRIBUTION ANALYSIS most soil pores are larger, so this method is of limited
usefulness. The mercury intrusion method, however, is
The shape and distribution of voids are one of the three useful for measurement of pore sizes from about 0.01
most important measures of fabric, along with contact m to several tens of micrometers. The basis of the
distributions and particle orientations. Pore information method is that a nonwetting fluid (fluid-to-solid contact
can be obtained by volumetric pore size distribution angle ⬎90) will not enter pores without application of
pressure. For pores of cylindrical shape, the capillary 4. The apparatus may not have the capacity to pen-
pressure equation applies, and etrate the smallest pores in a sample.
4 cos In spite of these limitations, pore size distributions

d⫽⫺ (5.5) determined by the mercury intrusion method can pro-
p
vide useful information about factors influencing fabric
and fabric–property interrelationships. An example is
where d is the diameter of pore intruded, is the sur- shown in Fig. 5.30. The data are in the form of cu-
face tension of the intruding fluid, is the contact an- mulative volumes of pore space intruded for a pore of
gle, and p is the applied pressure. the indicated size and larger. It may be seen that the
The volume of mercury intruded into an evacuated pores cover a range of sizes and that changes in density
dry sample that is about 1 g in weight is measured and sample preparation method result in changes in
using successively higher pressures. The total volume pore size distributions.
of mercury intruded at any pressure gives the total vol- Pore size distributions may be estimated for sands,
ume of pores with an equivalent diameter larger than which are too coarse for mercury intrusion, by deter-
that corresponding to that pressure. The surface tension mination of the pore water volume that is drained ei-
of mercury is 4.84 ⫻ 10⫺4 N/mm at 25C. The contact ther by application of suction to the sample or by
angle is about 140; measurements by Diamond application of air pressure to the pore water. Equation
(1970) gave 139 for montmorillonite and 147 for (5.5) applies. The surface tension of water, 7.5 ⫻ 10⫺5
other clay mineral types. N/mm at ordinary temperature, and a contact angle
Limitations of the mercury intrusion method are: of 0 should be used.
1. Pores must be dry initially. Freeze-dried samples
are often used to minimize the effect of volume Image Analysis
change upon drying. The spatial distribution of local voids inside a soil
2. Isolated pores are not measured. specimen can be obtained by analyzing the images ob-
3. Pores accessible only through smaller pores will tained from thin sections. Generally, two image anal-
not be measured until the smaller pores are pen- ysis methods are available: (1) method of polygons and
etrated. (2) mean free path. In the first method the centroids of
Figure 5.30 Pore size distributions in crushed basalt as affected by compaction method.
INDIRECT METHODS FOR FABRIC CHARACTERIZATION 137
particles are located and linked to produce polygons, stress, and fabric of the soil. According to elastic the-
representing individual void elements as shown in Fig. ory, which is applicable to soils for the small defor-
5.31a. Using this method, Bhatia and Soliman (1990) mations associated with wave propagation, the shear
found that looser specimens of sand exhibited a greater wave (S-wave) velocity Vs and the compression wave
variability in local void ratio than denser specimens. (P-wave) velocity Vp are related to the shear modulus
Frost and Jang (2000) used this method to quantify the G and the constrained modulus M by
variation of local void distribution produced by differ-
ent preparation methods. Moist tamped specimens had Vs ⫽ 兹G/ (5.6)
a higher standard deviation of local void ratio for the
same mean void ratio than air-pluviated specimens. and
The mean free path method measures the mean free
path between particles by use of a scanning line that Vp ⫽ 兹M/ (5.7)
passes through both particles and voids as shown in
Fig. 5.31b. The spacing and orientation of the line are where is the mass density.
varied, and a representative void is then produced by The constrained modulus M is related to the more
summing over the void lines found on a number of familiar Young’s modulus according to
scanned lines in each direction (Kuo et al., 1998). Us-
ing this method, Masad and Muhunthan (2000) found 1⫺
that larger local voids exist in the horizontal direction M⫽ E (5.8)
(1 ⫹ )(1 ⫺ 2)
than the vertical for a pluviated specimen.
in which is Poisson’s ratio. Young’s modulus and
the shear modulus are related to each other by
5.10 INDIRECT METHODS FOR FABRIC
CHARACTERIZATION E ⫽ 2(1 ⫹ )G (5.9)
All physical properties of a soil depend in part on the The moduli depend on the applied effective stresses,
fabric; therefore, the measurement of a property pro- stress history, void ratio, and plasticity index. For co-
vides indirect measure of the fabric. Some of the mea- hesionless soils the modulus varies approximately as
surements that are particularly useful are listed in Table the square root of the effective confining pressure. For
5.3 and are discussed briefly in this section. cohesive soils the modulus varies as the effective con-
fining pressure to a power between 0.5 and 1.0. The
Elastic Wave Propagation small strain shear modulus of soil depends on contact
The propagation velocities of compression and shear stiffness and fabric state. Therefore, the change in
waves through a soil depend on the density, confining shear wave velocity with confining pressure provides
Figure 5.31 Image analysis methods to determine void fabric: (a) polygon method (after
Bhatia and Soliman, 1990) and (b) mean free path method (Kuo et al., 1998).
insight on the pressure dependency of contact stiffness. 2000

Equations (5.6) and (5.7) assume isotropic elasticity. If Toyoura sand Dr = 30% Vp
the material is viscoelastic, the wave velocities become Air pluviation σo' = 98 kPa Vs
frequency dependent. Solutions for various viscoelastic
models are given by Santamarina et al. (2001). 1500 Vw = 1492 (m/s)
If two samples of the same soil have the same mass
density and are under the same effective confining 2(1 + v )
pressure but have different fabrics, they will have dif- Vp2 = Vs2 –
3[
4 +
3(1 – 2ν ) (1 – B) ]
––––––––– b
Vp & Vs (m/s)
b
ferent modulus values. This difference will be reflected
by differences in shear and compression wave veloci- 1000
vb = 0.35
ties. These velocities can be measured, and this pro- vb = 0.4
vides a means for assessing fabric. The shear wave
velocity is the more useful of the two because shear
waves are only transmitted through the solid grain 500
vb = 0.25
structure of the soil mass, that is shear waves cannot vb = 0.5
be transmitted through water. Anisotropic soil structure
and stress states can be detected on the basis of dif-
Vs = 212 (ms)
ferent shear wave velocities in different directions. Fur-
0
ther details of the relationships between small strain
moduli and compositional and environmental factors 0 0.2 0.4 0.6 0.8 1
are given in Chapter 11. B-value
If the material is dry, the bulk modulus of the skel-
Figure 5.32 Variation in P- and S-wave velocities with B
eton can be derived using both shear wave and com-
value in loose Toyoura sand under an isotropic compression
pression wave velocity measurements. If the material stress of 98 kPa (after Tsukamoto et al., 2002).
includes water, the P-wave velocity depends on the
elastic properties of soil solids and water, saturation,
and porosity. For fully saturated conditions, solutions
are available for two-phase media (Biot, 1956a, 1956b; whereas that at B ⫽ 0.05 (Sw ⫽ 90 percent) is only
Stoll, 1989; Mavko et al., 1998; Santamarina et al., 500 m/s. The S-wave velocity, on the other hand, is
2001). The solutions show that there are two P-waves independent of the water saturation. Kokusho (2000)
and one S-wave. The fast P-wave and S-wave are the derives the following relationship that relates the fast
standard waves and the velocities have weak depend- P-wave velocity to B value:
ency on frequency. The slow P-wave (or Biot wave),
which is associated with the diffusional process of wa-
冪43 ⫹ 3(1 2(1 ⫺)
ter flow in deforming porous media, especially at low Vp ⫽ Vs b
(5.10)
frequency, and is very difficult to detect (Plona, 1980; ⫺ )(1 ⫺ B) b
Nakagawa et al., 1997). Hence, the fast P-wave and S-

wave are commonly used to characterize the soil. where b is Poisson’s ratio of soil skeleton. Equation
In fully saturated condition, the fast P-wave propa- (5.10) is plotted in Fig. 5.32 for different b values.
gates with a velocity that is 10 to 15 percent faster There is a dramatic decrease in P-wave velocity with
than the velocity through water. This is because the even a very small decrease in B value from fully sat-
stiffness of the soil skeleton contributes to increasing urated conditions.
P-wave velocity. In very loose saturated soil, the P-
wave velocity is essentially controlled by the bulk Dielectric Dispersion and Electrical Conductivity
modulus of water and has a value of about 1500 m/s. The flow of electricity through a soil is a composite of
When air is introduced, P-wave velocity decreases. (1) flow through the soil particles alone, which is
Even with a small amount of air, the reduction is dra- small, because the solid phase is a poor conductor, (2)
matic due to a large decrease in bulk modulus of the flow through the pore fluid alone, and (3) flow through
fluid–air mixture. The effect of B-value (or water sat- both solid and pore fluid. The total electrical flow also
uration ratio Sw) on P- and S-wave velocities of Toy- depends on the porosity, tortuosity of flow paths, and
oura sand specimen (Dr ⫽ 30 percent) is shown in Fig. conditions at the interfaces between the solid and liq-
5.32 (Tsukamoto et al., 2002). The fast P-wave veloc- uid phases. These factors are, in turn, dependent on the
ity at B ⫽ 0.95 (Sw ⫽ 100 percent) is 1700 m/s, particle arrangements and the density. Thus, a simple
INDIRECT METHODS FOR FABRIC CHARACTERIZATION 139
measurement of electrical conductivity would seem a conductivity may increase. These changes are termed
rapid and reliable means for evaluation of soil fabric. anomalous dispersion. Several regions of anomalous
However, electrical measurements in soils are com- dispersion may develop over the frequency range from
plicated by the fact that if direct current is used, then zero to microwave (⬎1011 Hz). Different polarization
there will be electrokinetic coupling phenomena, such mechanisms cease to be effective above different fre-
as electroosmosis, and electrochemical effects that can quency values, thus accounting for the successive
cause irreversible changes in the system, as discussed regions of anomalous dispersion. Electrolyte solutions
in Chapter 9. On the other hand, if alternating current alone do not exhibit dispersion effects at frequencies
(AC) is used, then the measured responses depend on less than 108 Hz, but clays do in the radio frequency
frequency. Thus the application of electrical methods range. For example, the conductivity and dielectric dis-
and interpretation of the data require careful consid- persion behavior of saturated illite are shown in Fig.
eration of how the measurement method may influence 5.33.
what is being measured. At the same time, however, The electrical response characteristics in the low-
measurement of the frequency dependence of electrical frequency range depend on particle size and size dis-
properties can be useful for evaluation of fabric and as tribution, water content, direction of current flow
an index for engineering properties. relative to the direction of preferred particle orienta-
The capacitance C and the resistance R can be meation, type and concentration of electrolyte in the pore
sured relatively easily. If electrical flow is in one di- water, particle surface characteristics, and sample dis-
mension only, then the electrical conductivity is turbance. Relationships between dielectric properties
given by and compositional and state parameters such as poros-
ity, particle shape, fabric anisotropy, and specific sur-
⫽ L/(RA) (5.11) face area are given by Arulanandan (1991). The theory
is based on Maxwell’s (1881) relationship between po-
where L is the sample length and A is the cross- rosity and the dielectric properties of a mixture of so-
sectional area. lution and spherical particles, and its extension to
The capacitance can be converted to the relative di- ellipsoidal particles that are all oriented in one direc-
electric constant D (see Chapter 6) using tion by Fricke (1953). Extensive discussion of electro-
magnetic properties of soils is given in Santamarina et
al. (2001).
D ⫽ CL/(A0) (5.12)
The formation factor appears in the relationships
used to describe soil properties and state in terms of
where 0 is the permittivity of vacuum (8.8542 ⫻ 10⫺12 electrical properties. The formation factor is the ratio
C2 J⫺1 m⫺1). of the electrical conductivity of the pore water to the
In fine-grained materials such as clays, the applica- electrical conductivity of the wet soil. It is a nondi-
tion of an AC field causes the electrical charges that mensional parameter that depends on particle shape,
are concentrated adjacent to particle surfaces to move
back and forth with amplitude dependent on such fac-
tors as type of charge, association of charge with sur-
faces, particle arrangement, and strength and frequency
of the field. These oscillating charges contribute to a
polarization current that can be measured. The number
of charges per unit volume times the average displace-
ment is the polarizability. The magnitude of the po-
larizability is determined by the composition and
structure of the material and is reflected by the dielec-
tric constant.
Phenomena contributing to polarization include di-
pole rotation, accumulation of charges at interfaces be-
tween particles and their suspending medium, ion
atmosphere distortion, coupling of flows, and distortion
of a molecular system. The extent to which polariza-
tion can develop depends on ease of charge movement Figure 5.33 Dielectric and conductivity dispersion charac-
and time available for displacement. With increase in teristics of saturated illite (Grundite) (from Arulanandan et
frequency the dielectric constant may decrease and the al., 1973).
long axis orientation, porosity, and degree of satura- ture caused by mechanically and environmentally
tion. If a soil has an anisotropic fabric, then the for- induced changes in state of the soil.
mation factor is different in different directions.
Mechanical Properties
Thermal Conductivity
The mechanical properties of soil, including stress–
Heat transfer through soils is through soil grains, wa- deformation behavior, strength, compressibility, and
ter, and pore air. As the thermal conductivity of soil permeability, depend on fabric in ways that are rea-
minerals is about 2.9 W/(m C), and the values for sonably well understood, as considered in Chapter 8.
water and air are 0.6 and 0.026 W/(m C), respec- Therefore, information about fabric can be deduced
tively, heat transfer is mainly through the soil particles. from measurements of these properties and known in-
Accordingly, the lower the void ratio, the greater the terrelationships between properties and fabric.
number and area of interparticle contacts and the
higher the degree of saturation, the higher is the ther-
mal conductivity. The thermal conductivity of a typical
soil is likely to be in the range of 0.5 to 3.0 W/(m 5.11 CONCLUDING COMMENT
C). This property is considered in more detail in Sec-
tion 9.6. Fabric analyses are useful in research to show how
Thermal conductivity can be determined using a rel- mechanical properties are dependent on particle asso-
atively simple transient heat flow method in which a ciations and arrangements. Fabric information can be
line heat source, called a thermal needle, is inserted used to deduce details of the depositional and postdep-
into the soil. The needle contains both a heating wire ositional history of a deposit. The effects of different
and a temperature sensor. When heat is introduced into sampling methods can be assessed through the study
the needle at a constant rate, the temperatures T2 and of fabric changes. Insights can be gained into the me-
T1 at times t2 and t1 are related to the thermal conduc- chanics of strength mobilization, the nature of peak
tivity k according to and residual strengths, and the stress–strain behavior
of soils from fabric studies.
4 ln(t2) ⫺ ln(t1) The indirect methods for fabric study are often use-
k⫽ (5.13) ful for determination of properties, homogeneity, and
Q T2 ⫺ T1 anisotropy in situ. They may be of value also for as-
sessing whether reconstituted samples used for labo-
where Q is the heat input between t1 and t2. This ratory testing correctly duplicate the field conditions.
method and factors influencing the results are de- The particulate nature of soil and the many possible
scribed by Mitchell and Kao (1978). associations of discrete particles and particle groups
Differences in thermal conductivity in different di- mean that a soil of given composition can have many
rections provide a measure of soil anisotropy. For different fabrics and exist over a very wide range of
example, the ratios of thermal conductivity in the states, each having its own unique set of geotechnical
horizontal direction kh to that in the vertical direction properties.
kv for three clays with preferred particle orientations in
the horizontal direction were in the range of 1.05 to
1.70, depending on the clay type, consolidation pres-
sure, and sample disturbance (Penner, 1963b). For the QUESTIONS AND PROBLEMS
probe in the vertical position in a cross anisotropic
fabric, the value of k determined from Eq. (5.13) is kh. 1. Two samples of the same remolded clay have been
For the probe in the horizontal direction, a value of ki consolidated from the liquid limit to the same water
is measured that is related to kv and kh according to content. One was consolidated under an isotropic
(Carlslaw and Jaeger, 1957) set of stresses and the other under anisotropic
stresses. What differences in fabric would you an-
k2i ticipate? Why?
kv ⫽ (5.14)
kh 2. Two slurries of the same clay, one with flocculated
clay particles and the other with deflocculated par-
Thermal probe measurements can also be used to ticles, have been consolidated under an effective
detect differences in density at different locations in stress of 100 kPa. Which will have the higher (a)
the same material (Bellotti et al., 1991) and for eval- void ratio, (b) sensitivity, (c) strength? Explain your
uation of changes in density, water content, and struc- answer.
Exhibit 5.1 Soil fabrics.
3. A series of shrinkage tests was done on a fine- specific soil types and states for which each of these
grained soil mass, and it was found that the shrink- methods might be useful for gaining insights and
age was a maximum in the Z direction and was a understanding of the macro- and microfabrics and
minimum in all directions lying in a plane perpen- their influences on volume change, strength, and
dicular to the Z direction. permeability properties.
a. Was the soil mass likely to have been isotropi- 7. To obtain an essentially undisturbed sample of co-
cally consolidated or anisotropically consoli- hesionless soil from the field that preserves the in
dated?
situ fabric is usually impossible without resorting
b. If anisotropically consolidated, what was the ma- to expensive and time-consuming procedures such
jor principal stress direction? as ground freezing or injection followed by setting
c. Would you expect the soil to be isotropic with of a grout or resin. Suppose that you do not have
respect to hydraulic conductivity? Why? If ani- the time or budget that will allow this, but wish to
sotropic, in which direction would the hydraulic reconstitute disturbed specimens of the soil in the
conductivity be greatest? Why? laboratory by forming them in such a way that they
4. Could X-ray diffraction alone be used to distinguish will have fabrics that reasonably duplicate the un-
among the fabrics shown in Exhibit 5.1? Explain disturbed condition in the field. Suggest practical
your answer. Pertinent geometrical parameters of laboratory procedures that might be used, starting
typical X-ray diffractometers are: distance from X- with dry and disturbed soil of the type indicated, to
ray source to sample ⫽ 17 cm, divergence of X-ray reproduce specimens that could then be used for
beam ⫽ 1, angle of incidence of X-ray beam to fabric studies and measurements of mechanical
the sample surface in the range of 10 to 35. properties:
a. Beach sand
5. You are analyzing a new type of laboratory strength
test that imposes unusual boundary conditions on b. Alluvial deposit
the sample being tested. What methods of fabric c. Wind-blown dune sand
study would you use to examine the location, di- d. Uniform sand placed as a hydraulic fill
rection, thickness, and fabric of shear zones within e. Uniform sand placed as a hydraulic fill and then
specimens? What would these methods tell you? densified using vibratory probes
6. Several methods for study and characterization of f. Sand fill placed as a pavement base and densified
soil fabric are listed in Table 5.3. Indicate some by a vibratory roller
CHAPTER 6
Soil–Water–Chemical
Interactions
6.1 INTRODUCTION Unbalanced force fields at the interfaces between

soil and water cause interactions between small soil
Saturated soils at void ratios greater than 1.0 contain particles, dissolved ions, and water. If two particles are
more water volume than solid volume, and void ratios in close proximity, their respective force fields overlap
greater than 1.0 are more the rule than the exception and influence the behavior of the system, especially
in fine-grained soils. Yet, the emphasis in the study of when the magnitudes of these forces are large relative
soil composition and properties has traditionally been to the weights of the particles themselves. Clay parti-
almost entirely on the mineralogy and structure of the cles, because of their very small size, unique crystal
solid phase, with very little regard for the properties structure, and platy shapes, have very large specific
of the liquid phase. Perhaps this is because: surface areas and are especially influenced by these
forces.
1. Classical soil mechanics is founded on the con- Several types of interparticle attractive and repulsive
cept of effective stress, which postulates that forces determine the flocculation–deflocculation be-
volume change and strength behavior depend on havior of clays in suspension and the volume change
the stresses carried by the solid grain structure and strength properties of soils at void ratios common
and the water phase is neutral. in natural deposits. The fabric at the time of formation
2. We all know that water is a clear, colorless, odor- may have a profound influence on the engineering
less, tasteless liquid that has a density very nearly properties of a soil deposit, so an understanding of
equal to unity. It freezes at a temperature of 0C, factors influencing flocculation–deflocculation behav-
boils at a temperature of 100C, and it has quite ior is of considerable value. Furthermore, postdeposi-
well-defined viscosity and thermal properties. We tional or postconstruction changes in soil structure and
view it as such a familiar liquid that it is scarcely engineering properties may result from changes in
given a second thought. physicochemical forces of interaction.
Principles of surface, colloidal, and soil chemistry
In reality, however, the situation is not so simple provide understanding of many of the interactions and
because neither water nor soil surfaces are inert chem- their consequences in a clay–water–electrolyte system.
ically or biologically. Water and soil particles interact The focus in the second part of this chapter is on de-
with each other because, under ordinary circumstances, velopment of an understanding and appreciation of
water molecules are strongly attracted to and adsorbed these interactions in soils of interest in geotechnical
on soil particle surfaces. The nature and consequences engineering. Much of what is covered in this chapter
of these interactions are described in the first part of is directly relevant to chemomechanical coupling proc-
this chapter. esses in soils, wherein internal phenomena at the mi-
143
144 6 SOIL–WATER–CHEMICAL INTERACTIONS
croscale influence mechanical properties and responses

at the macroscale.
6.2 NATURE OF ICE AND WATER

The water molecule (H2O) is composed of a V-shaped
arrangement of H and O atomic nuclei. The outer shell
electronic charges, six from the oxygen and one from
each hydrogen, are distributed in the form of four elec- Figure 6.2 Arrangement of water molecules in ice-I.
tron pairs per molecule. The resulting configuration is
tetrahedral, with two positive corners that are the sites
of the hydrogen protons and two negative corners that
are located above and below the plane of the atomic H–O–H angle is 102.5 (Güven, 1992), which is close
nuclei, as shown schematically in Fig. 6.1. Bond en- to the tetrahedral angle of 109.5. The bond energy in
ergy considerations (Pauling, 1960) indicate that the ice is about 19 kilojoules/mole (kJ/mol). As the melt-
H–O bond is about 40 percent ionic and 60 percent ing point is approached, the number of broken or dis-
covalent. As a result there is directional bonding, and torted hydrogen bonds increases. This explains the
the water molecule is a strong permanent dipole. lower strength and higher creep rates in ice and frozen
Water can exist in many different crystalline forms. soil as the temperature increases.
At least 13 have been identified, and, of these, 9 are At temperatures above 0C (under atmospheric pres-
stable over some range of temperature and pressure. sure), enough hydrogen bonds are ruptured or bent that
For example, at atmospheric pressure, ordinary ice and ice loses its rigidity, and water exists in the liquid state.
liquid water are stable between 72 and 273 K and be- Rupture of 16 percent of the possible hydrogen bonds
tween 273 and 373 K, respectively. In water and ice, accounts for the heat of fusion of ice.
the positive corner of one molecule attracts the nega- The tetrahedral nature of water structure becomes
tive corner of another. Two oxygens share a proton, local and transient in the liquid state; however, some
which results in hydrogen bonding and a tendency for hydrogen bonding and structure remain. Otherwise
each molecule to bond to 4 neighboring molecules in each water molecule would have 12 nearest neighbors,
a tetrahedral arrangement. In ice-I, the stable crystal- and water density would be 1.84. The energy needed
line state of water at temperatures less than 0C and to break hydrogen bonds accounts for the high melting
atmospheric pressure, a hexagonal network structure point, boiling point, heat of fusion, heat of vaporiza-
is formed, as shown schematically in Fig. 6.2. Three tion, specific heat, dielectric constant, and viscosity of
molecules of the hexagon are in one plane, and 3 are water. The 9 percent volume decrease when ice melts
in another. The oxygen-to-oxygen distance between is because each molecule acquires somewhat more
hydrogen-bonded molecules is 0.276 nm, with the hy- than 4 nearest neighbors, even though the average in-
drogen located (statistically) 0.10 nm from one oxygen termolecular distance increases to about 0.29 nm as a
and 0.176 nm from the other. The distance between result of increased thermal agitation. Bond rupture and
molecules in a given plane is 0.45 nm. The average distortion predominate at temperatures below 4C,
whereas increased intermolecular distances prevail
above, thus giving maximum water density at 4C.
Several models have been proposed for the structure
of water based on available physical and chemical ev-
idence (Eisenberg and Kauzman, 1969):
1. Mixture models assume a mixture (at any instant)

of a small number of distinguishable species of
water molecules. There are clusters of hydrogen-
bonded molecules and non-H-bonded molecules.
Increased temperature increases the concentration
of non-H-bonded molecules.
2. Interstitial models are a special class of mixture
models, wherein one species of molecule forms
Figure 6.1 Schematic diagram of the structure of the water an H-bonded framework containing cavities in
molecule. which non-H-bonded molecules reside.
INFLUENCE OF DISSOLVED IONS ON WATER 145
3. The distorted hydrogen bond model (Pople, molecules into local patterns characterized by strong bonds
1951) assumes the majority of hydrogen bonds and nearly tetrahedral angles and more compact arrange-
to be distorted rather than broken. Bending of ments characterized by more strain and bond breakage.
hydrogen bonds permits some of the second and
third neighbors to penetrate into regions near the
central molecule, resulting in an apparent number 6.3 INFLUENCE OF DISSOLVED IONS ON
of nearest neighbors greater than four. WATER
4. The random network model (Bernal, 1960, 1964)
Because of the uneven charge distribution and dipolar
is an extension of the distorted H-bond model.
character of water molecules, they are attracted to ions
Distortion of H bonds produces an irregular net-
in solution, leading to ion hydration. Positive ions at-
work of rings rather than an ordered lattice as in
tract the negative corners of water molecules, and vice
ice. It is postulated that many rings contain five
versa. Water molecules move from their normal struc-
molecules because the H–O–H angle is close to
ture into positions in the hydration shell of an ion pro-
the 108 angle of a five-membered ring, but oth-
vided the energy is less as water of hydration than as
ers may contain four, six, seven, or more mole-
normal water. Not all ions hydrate, although the com-
cules. According to Bernal, in a noncrystalline,
mon cations in soils do.
irregular structure, a fivefold arrangement is, for
Ions disrupt normal water structure, whether they
geometrical reasons, likely to be the rule. Five-
hydrate or not. Those dissolved ions that do not hy-
coordinated structures cannot exist in crystalline
drate still occupy space; those that do hydrate attract
solids because regular, repeating patterns with
only those corners of water molecules of opposite elec-
this coordination cannot be formed. The liquid
trical charge, whereas in normal water there is an al-
state could be explained precisely because of this,
ternating character to the directions of positive and
and solids and liquids can be distinguished as
negative corners.
coherent materials with and without regular
A schematic model for ion–water interaction is
structure, respectively.
shown in Fig. 6.3 (Frank and Wen, 1957). Region A
Eisenberg and Kauzman (1969) concluded that mix- is a zone of immobilization. Water molecules are
ture models are not supported by the data, but the dis- strongly oriented in the field of the ion and have little
torted H-bond models (including random networks) kinetic energy. In region B, the water structure is bro-
seem to accord with most of what is known about wa- ken down and more random than in normal water. Re-
ter from experiments. Irrespective of the model details, gion C contains water with normal structure that is
the molecular structure of water is dynamic and de- polarized by the ionic field. More specific details about
pends on the timescale used to observe it (Sposito, the number and characteristics of the water molecules
1984). in zone A surrounding monovalent and divalent cations
Various molecular level models for water have been are given by Sposito (1984). As ion hydration in water
proposed to examine the interaction between two water
molecules, and some of them are summarized by Gü-
ven (1992). A water molecule can be modeled as a
unit comprised of four interaction sites (one oxygen,
two hydrogen, and one negatively charged position).
Evaluation of the interaction between the modeled
molecules gives the energetics, hydrogen-bonded
structure, and dynamics of bulk water reasonably well.
These models are useful to calculate the equilibrium
thermodynamic properties of clay–fluid systems using
molecular simulations, in which molecular particles of
water, counterions, and clay interact through a set of
potential energy functions.
Stillinger (1980, p. 451) describes liquid water struc-
ture as follows:
Liquid water consists of a macroscopically connected,
random network of hydrogen bonds, with frequent strained
and broken bonds, that is continually undergoing topolog-
ical reformation. The properties of water arise from the Figure 6.3 Ion–water interaction as postulated by Frank and
competition between relatively bulky ways of connecting Wen (1957).
involves interactions between ions and clusters of wa- Attraction by Osmosis

ter molecules, the actual state is more complicated than Cation concentration increases as negatively charged
the above model. Various potential functions are avail- clay surfaces are approached (Fig. 6.4c). This in-
able to describe the interactions between ions and wa- creased concentration means that water molecules tend
ter molecules, and more detailed and quantitative to diffuse toward the surface in an attempt to equalize
reviews of the structure and energetics of ion hydration concentrations.
are given by Güven (1992) and Ohtaki and Radnai
(1993). Charged Surface–Dipole Attraction
Clay particles can be viewed as negative condenser
plates. Water dipoles then orient with their positive
6.4 MECHANISMS FOR SOIL–WATER poles directed toward the negative surfaces, with the
INTERACTION degree of orientation decreasing with increasing dis-
tance from the surface. However, at the midplane be-
Water is strongly attracted to soil mineral surfaces, par- tween parallel plates there would be structural disorder
ticularly to clays. Dried clays adsorb water from the because like poles would be adjacent to each other.
atmosphere even at low relative humidity, many soils Ingles (1968) suggested that because of the high hy-
swell when given access to water, and temperatures dration number and energy of aluminum in the clay
above 100C are needed to remove all the water from structure, water is so strongly attracted to the surfaces
a soil. In fact, it is not always evident just what is that it interposes itself between the surfaces and the
meant by a dry soil (Lambe, 1949). counterions, with the counterions removed as far as
Several possible mechanisms for water adsorption possible from the surface, that is, to the midplane be-
have been proposed (Low, 1961). They are shown tween opposing parallel sheets. With this model the
schematically in Fig. 6.4. structure shown in Fig. 6.4d can be conceived. The
same type of arrangement could result simply from ion
Hydrogen Bonding hydration. In dry clay, adsorbed cations occupy posi-
Surfaces of soil minerals are composed of a layer of tions in holes on the clay surfaces. On hydration they
either oxygens or hydroxyls, so hydrogen bonds can surround themselves with water and move to the cen-
form easily, with oxygens attracting the positive cor- tral region between clay layers.
ners and hydroxyls attracting the negative corners of
Attraction by London Dispersion Forces
water molecules (Fig. 6.4a). Early concepts of the
structure of adsorbed water suggested an icelike char- Van der Waals attractive forces could bond water mol-
acter because of the similarity between the hexagonal ecules to clay surfaces. In-phase fluctuations of elec-
symmetry of the oxygens and hydroxyls in clay sur- tron clouds form temporary dipoles and induce
faces and the structure of ice; however, subsequent displacements in neighboring molecules so that di-
studies have shown that the structure cannot be that of pole–dipole attraction occurs. Because such bonds
ice. would be nondirectional, the water structure would be
The formation of hydrogen bonds with particle sur- closely packed and more fluid than the H-bonded
faces would alter the electron distribution from that in structure.
normal water, thus making it easier for bonded mole-
cules to form additional bonds with molecules in the Capillary Condensation
same and next layer. The directional properties of the A range of pore sizes and distributions usually exists
bonds would induce a tetrahedral arrangement of water in a soil. The pores may fill with liquid water and water
molecules, which would become less rigid with dis- vapor. At saturation less than 100 percent, the water is
tance from the surface due to a decrease in the surface retained in micro- and minipores through the combined
force fields and an increase in the force fields of nor- effects of surface tension and attraction to particle sur-
mal water structure. faces.
Hydration of Exchangeable Cations

6.5 STRUCTURE AND PROPERTIES OF
Because cations are attracted to negatively charged ADSORBED WATER
clay surfaces, so is their water of hydration (Fig. 6.4b).
Further details of hydrated ion water attraction to clay Different arrangements of water molecules are asso-
surfaces are discussed later. ciated with each of the postulated mechanisms for
STRUCTURE AND PROPERTIES OF ADSORBED WATER 147
Figure 6.4 Some possible mechanisms of water adsorption by clay surfaces: (a) hydrogen
bonding, (b) ion hydration, (c) attraction by osmosis, and (d ) dipole attraction.
soil–water interaction. It would be anticipated that dif- behavior on freezing. Knowledge of soil water prop-
ferent water structures would give different properties, erties is important for better understanding and quan-
and many studies have been made to better define the tifying such geotechnical phenomena as fluid flow
specific structural, chemical, thermodynamic, and me- through soil, diffusion, freezing and thawing, creep and
chanical properties of soil water. Evidence concerning stress relaxation, strength, swelling, and consolidation.
the validity of different models has come from a va-
riety of sources, including X-ray and electron diffrac-
tion data, density measurements, dielectric and fluid Density of Adsorbed Water
flow measurements, swell and swell pressure studies, Data on the density of water adsorbed on sodium
nuclear magnetic resonance and infrared spectra, and montmorillonite as a function of water content were
summarized by Martin (1960). Determinations were montmorillonites in the dry state are caused by differ-
made using pycnometer and X-ray diffraction tech- ences in isomorphous substitution, which results in
niques. For water contents less than needed to give small rotations of the silica tetrahedra in alternating
about three molecular layers on the clay surfaces (a clockwise and counterclockwise directions. When
1.0-nm-thick layer), the density is greater than for nor- swelling was complete, the b dimension was 0.9 nm.
mal water, whereas at greater water contents it may be Whatever the water structure at the end of swelling, it
slightly less. Thus, the water structure and density is in energy equilibrium with normal water. At smaller
within the first few molecular layers at very low water values of the b dimension, the water structure must be
contents may differ from that in the same region when such as to give an energy level lower than that of free
the clay is nearly saturated. water or swelling would not be spontaneous.
A change in b dimension accompanies a change in
X-ray Evidence of Adsorbed Water Structure water content because both clay and water have pre-
X-ray analyses of frozen clay pastes of montmorillon- ferred internal structures. Each exerts an influence on
ite, halloysite, and kaolinite at low water contents by the other as long as there is attraction between the
Anderson and Hoekstra (1965) indicated water films water and the clay.
0.5 to 1.0 nm in thickness. In samples containing some Theoretical analyses (Lahay and Bresler, 1973) sug-
unfrozen water, the ice was separated from the clay gest that change in the b dimension with change in the
surfaces by liquid water, where the adsorbed cations water content may also be caused by variation in the
were also located. Normal ice structure was observed. penetration of cations into the hexagonal holes on the
The c axes of the ice crystals were at right angles to silica surfaces of the montmorillonite structure.
the c axes of the clay plates. This is strong evidence
against a rigid, icelike structure for adsorbed water fit- Diffusion, Viscosity, and Fluid Flow Properties
ted directly to the particle surfaces. The results of measurements of hydraulic flow rates,
Ravina and Low (1972) found that as the water con- diffusion coefficients, and activation energy for flow
tent of several montmorillonites increased, so also did and diffusion have been used to infer details of water
the b dimension of their crystal lattices, as shown in structure in clays. Data interpretation usually requires
Fig. 6.5. Differences in the b dimensions of different assumptions concerning tortuosity of flow path.
Changes in fabric and/or chemical environment during
measurements, bacterial growth, and electrokinetic and
chemical coupling effects (see Chapter 9) also may
affect the results, sometimes making them difficult to
interpret.
Darcy’s law is the commonly used relationship be-
tween flow rate q and hydraulic gradient i in analyses
of groundwater flow, seepage, and soil consolidation,
that is,
q ⫽ kia (6.1)
where k is hydraulic conductivity (permeability) and a

is cross-sectional area. According to Darcy’s law, hy-
draulic flow rate should be directly proportional to hy-
draulic gradient. However, if the water in a soil has a
special structure so that it possesses non-Newtonian
flow properties, or if it has abnormally high viscosity,
or is crystalline adjacent to particle surfaces, then de-
viations from this proportionality could exist. Evidence
(Olsen, 1965, 1969; Gray and Mitchell, 1967; Miller
et al., 1969) suggests, however, that Darcy’s law is
Figure 6.5 Relation between b dimension and water content obeyed exactly in saturated clays, although apparent
for six Na-saturated dioctahedral montmorillonites (from deviations may result from particle migrations, electro-
Ravina and Low, 1972). kinetic effects, and chemical concentration gradients.
Measurements on thin water films between mica sur- both an ordered water structure or a ‘‘two-dimensional
faces have indicated that water retains its bulk viscosity liquid’’ model (Martin, 1960). A two-dimensional fluid
down to the last molecular layer (Christenson et al., would consist of water molecules that are bonded
1987). Diffusion, heat of immersion, and nuclear mag- strongly to the surfaces of clay particles, but that can
netic resonance measurements led Fripiat et al. (1984) slide along the surface with relative ease. A two-
to conclude that the water in clay gels and suspensions dimensional fluid would resist significant normal stress
is in two phases. Phase a is free water in the pores. but would shear easily along planes parallel to the sur-
Phase b is a layer about three molecules thick adjacent face. Such a structure is consistent with the conclusion
to particle surfaces that is directly affected by surface by Christenson et al. (1987) from viscosity measure-
force fields. The diffusion coefficient of the water in ments that alignment of fluid molecules in layers par-
phase a is the same as that in pure water, that is, 2.2 allel to surfaces or pore walls does not significantly
⫻ 10⫺5 cm2 /s at a temperature of 20C. affect flow along the walls.
Thus, for practical purposes, the water in clays, Nuclear magnetic resonance (NMR) measurements
whatever its structure, behaves essentially the same as (Pickett and Lemcoe, 1959; Graham et al., 1964; Wu,
pure water in terms of its viscosity and diffusion char- 1964) provide information on the time required for a
acteristics. This is an important conclusion relative to molecule to move through a distance comparable with
the analysis of seepage, consolidation, and chemical its dimensions (about 2 ⫻ 10⫺12 s for normal water at
transport processes through soils. a temperature of 20C), magnetic field nonhomogene-
ity over the sample, proton mobility, and the number
Dielectric and Magnetic Properties of resonating nuclei. Nuclear magnetic resonance data
The dielectric properties of a material depend on the confirm that water is tightly held by clay, the structure
ease with which its constituent molecules can be po- is not that of ice, and that the mechanism of attraction
larized. There are two contributions to polarization in is not simple dipole adsorption.
an electrical field: distortion polarization, which is in-
stantaneous, and orientation polarization, which is time Supercooling and Freezing of Adsorbed Water
dependent. In a low-frequency AC field, dipoles can Water in clay can both supercool and exhibit freezing
rotate with changes in current direction. As the fre- point depression. Supercooling is a reduction of tem-
quency increases, however, less time is available for perature below the normal freezing point without the
dipole rotation. Above some frequency the molecules initiation of freezing. Freezing point depression is a
are no longer able to follow the field, and the dielectric reduction in the usual freezing temperature of a liquid,
constant drops. The relationship between dielectric such as caused by dissolving salt in water.
constant and frequency for a material might appear as Adsorbed water cannot have the structure of ice be-
in Fig. 6.6. The dielectric losses and the frequencies at cause, if it did, it would act as a crystallization nucleus,
which they occur are dependent on the intermolecular and there could be neither effect. Both supercooling
bond types and strengths. and freezing point depression could result from more
Measured values of dielectric constant for clay– or less molecular order in the water relative to normal
water systems are less than those for normal water [be- water. If there were more order, then it would be more
tween 2 and 50 in adsorbed water versus 80 in bulk difficult to rearrange the water molecule into the ice
water (Sposito, 1989)], but they are consistent with structure. With a less ordered water structure, more
energy would need to be removed to initiate freezing.
An interesting practical problem relating to freezing
point depression and supercooling arose during the de-
sign and construction of the Trans-Alaska Oil Pipeline.
Pilelike vertical support members (VSM) are used to
elevate the pipeline above the ground surface, as
shown in Fig. 6.7. The VSM and the pipeline are sup-
ported by permafrost that exists beneath an active layer
that freezes and thaws annually. It was necessary to
know and to control the depth of the active layer to
ensure sufficient VSM penetration into the permafrost
to provide the necessary support. During the winter,
heat pipes within the VSM circulate a refrigerant that
Figure 6.6 Variation of dielectric constant with frequency. vaporizes while removing heat from the permafrost
in which S is the change in partial molar entropy. As

F ⫽ 0,
H
S ⫽ (6.4)
T
Entropy is a measure of molecular randomness, so

S reflects the change in disorder of water molecules
in going from the vapor to the adsorbed state. H is
greater for water vapor adsorption onto clays than for
condensation of pure water. Thus, by Eq. (6.4), if the
decrease in partial molar entropy is greater for adsorp-
Figure 6.7 Schematic diagram of the vertical support mem- tion on the clay than for condensation to the liquid
ber (VSM) system for the aboveground portions of the Trans- state, then it is concluded that adsorbed water should
Alaska Pipeline. be more ordered than free water.
This interpretation has been challenged (e.g., Mar-
tin, 1960; Cary, et al., 1964) on the basis that integral
thermodynamic functions should be used for analysis
and then condenses as the heat is radiated into colder
of the systems studied (Hill, 1950) rather than differ-
air above ground. In this way it is possible to prevent
ential thermodynamic functions. Figure 6.8 illustrates
the thickness of the active zone from increasing be-
the difference between differential and integral en-
yond a specified amount during the summer. Analysis
tropy. It may be seen that the integral entropy of ad-
of the heat exchange requirements required knowledge
sorbed water at any water content could be greater than
of the soil water freezing point and supercooling prop-
that of free water even if the differential entropy is less.
erties.
Thus, we are left with a rather confused picture of
adsorbed water based on entropy data. Less order than
Thermodynamics of Soil Water normal water would certainly not be inconsistent with
Moisture adsorption from the vapor phase, calorimetric the density data and the unfrozen zones observed by
measurements of heat of wetting, and measurements of Anderson and Hoekstra (1965). All these observations
free energy changes have been used to evaluate the pertain to the first few molecular layers adsorbed onto
thermodynamic properties of soil water. Thermody- dry clay surfaces.
namic measurements provide information on differ- Heat of wetting (heat liberated as a result of wetting
ences in properties between one state and another; a clay with liquid water) measurements have shown
however, they do not provide specific information on that a large amount of energy is released on adsorption
the mechanisms responsible for the changes. of the first one or two molecular layers, but it becomes
The heat of adsorption can be determined using the almost zero after formation of the first few water lay-
Clausius–Clapeyron equation: ers. Exchangeable cations influence the amount of heat
released.
ln冉冊 p2
p1
⫽
H T2 ⫺ T1
R T1T2
(6.2)
Specific heat values for soil water as great as 4.6
J/g have been measured (Oster and Low, 1964) at very
low clay water content, decreasing to values close to
4.2 J/g at higher water content. Evidence referred to
in which p1 and p2 are equilibrium vapor pressures by Oster and Low (1964) indicates that the heat ca-
above the clay at temperature T1 and T2 and constant pacity of the water in clay increases with time of rest
soil water content, R is the gas constant, and H is the after remolding. This is consistent with the finding that
change in partial molar heat content of the water on moisture tension increases (pore pressure decreases)
adsorption from the vapor state. with time after disturbance of a thixotropic clay–water
At equilibrium, the partial molar free energy of the mixture (Kolaian and Low, 1960; Mitchell, 1960; Rip-
water in the clay is the same as that in the vapor. The ple and Day, 1966). This reflects a time-dependent
change in partial molar free energy on adsorption, change in the free energy and structure of the water as
F, is defined by a new at-rest equilibrium condition develops. Because
the moisture tension depends on the free energy of
F ⫽ H ⫺ T S (6.3) the whole clay–water system, however, and time-
Figure 6.8 Differential and integral entropy. Differential entropy is the slope at any point.
If it is less than slope of, then the conclusion is that there is more order in adsorbed water.
Integral entropy of soil–water ⫽ gh / og or gh / og. The integral entropy of system (1) is
greater than for free water; therefore, there is less order in the adsorbed water.
dependent changes in fabric have been observed to ac- where Ji ⫽ value of property I in clay–water system
company thixotropic hardening, the data cannot be J 0i ⫽ value of property I in pure water
accepted as proof of a change in water structure. None- i ⫽ constant characteristic of the property and
theless, it does not seem unreasonable to expect that the clay
mechanical disturbance can change the structural state w ⫽ water content of the clay (as a decimal)
of water in a clay–water system.
It has also been shown (Mulla and Low, 1983; Sun
Infrared and Neutron Diffraction Data et al., 1986) that
Infrared spectroscopy measurements (Low and White,
1970) showed that hydrogen bonds in clay adsorbed i ⫽ ki As (6.6)
water are weaker than those in bulk water. Weak hy-
drogen bonds do not necessarily imply disorder in the where ki is a constant characteristic of the property and
water, nor do the data mean that there cannot be as As is the specific surface of the clay (area/mass).
many or more H bonds developed than in normal wa- If all the water in clay is assumed to be spread uni-
ter. formly over the available surface area, then the average
Neutron diffraction measurements give information thickness, t, of the water films on the particle surfaces
about the spatial distribution of atoms in the system. is
Powell et al. (1997) conducted studies of interlayer wa-
ter in Na-Wyoming montmorillonite, and the data were t ⫽ w/( w As) (6.7)
compared to the data for bulk liquid water. The com-
parison indicated that water molecules in the clay have in which w is the density of the water.
nearest-neighbor configurations that differ from the tet- Combining Eqs. (6.5), (6.6), and (6.7) gives
rahedral ordering of nearest neighbors of bulk liquid
water as described in Section 6.2. Ji /J 0i ⫽ exp[ki /( wt)] (6.8)
The values of three properties—(1) apparent specific

Quantification of Property Variations
thermal expansibility,1 J1 / J01 ⫽ (v / T)P /(v / T)P0 ,
From the results of several studies, primarily with (2) apparent specific compressibility, J2 / J02 ⫽ (v /
smectite clays, Low (1979, 1994) and Sun et al. (1986) P)T /(v / P)0T , and (3) molar absorptivity, J3 / J30 ⫽
showed that the following general empirical equation
describes the variation of thermodynamic, hydrody-
namic, and spectroscopic properties with water layer 1
The term v is the apparent specific volume of the water in a clay–
thickness: water system of volume V. The volume V is the sum of two com-
ponents; unperturbed clay and water that is perturbed by the surfaces
of the clay particles (Low, 1994). V ⫽ mcv0c ⫹ mwv, where v0c is the
Ji /J 0i ⫽ exp(i /w) (6.5) specific volume of the pure clay and mc and mw are the respective
masses of clay and water (i.e., water content w ⫽ mw / mc).
/ 0, a spectroscopic property,2 as a function of water cluded that this thickness is at least 3.5 nm. For highly
layer thickness in sodium smectites—are shown in Fig. plastic clays, that is, clays with a large specific surface
6.9, from Low (1987). Equation (6.8), computed for ki area, a significant proportion of the water is influenced
⫽ 7.22 ⫻ 10⫺8, ⫺0.807 ⫻ 10⫺8 and ⫺13.68 ⫻ 10⫺8 by the particle surfaces. For example, for clay having
g/cm2 and w ⫽ 1.0 g/cm3 for curves 1, 2, and 3, a specific surface area of 100 m2 /g, the average thick-
respectively, and t in centimeters, fits the data well. In ness of water layer, t, will be about 100 Å (10 nm) at
the figure, the different symbols represent smectites a water content of 100 percent. On the other hand, for
with different values of the surface charge. As a com- coarser-grained and less plastic soils, the proportion of
mon curve can be fitted to the data, this implies that water in the clay that is influenced by surface inter-
the interaction between clay and water does not depend actions is much less. For example, a soil with a specific
on clay surface characteristics (Low, 1994). surface area of 20 m2 /g at a water content of 40 per-
Figure 6.9 shows that the properties are altered rel- cent would have an average water layer thickness of
ative to normal water out to about 100 Å (10 nm). 200 Å (20 nm), so much of the water would be at a
Extending the above data interpretation, Low (1994) distance beyond the influence of particle surface
further investigated the thickness of the films of per- forces.
turbed water next to the particle surfaces and con- Clay swelling, high swelling pressures, and heave of
expansive soils can be explained, at least in part, in
terms of the structural changes of water caused by in-
teractions with clay surfaces (Low, 1987). Expansive
soils are characterized by smectite clay minerals of
high specific surface area and relatively low water con-
tent, so the average water layer thicknesses are well
within the range of influence of surface forces.
Concluding Comments
From this rather cursory review of the nature of water
and of water in soils, there are several implications
relative to the understanding of soil behavior in geo-
technical engineering. They include:
1. The volume of water in a soil is often equal to

or greater than the volume of solid material.
2. The distribution of electrons in a water molecule
gives a tetrahedral geometry, with the hydrogen
protons at two of the corners. Thus, a variety of
molecular configurations held together by hy-
drogen bonds is possible.
3. The structure of ice is known. Various electro-
static models are available to represent the
energetics, hydrogen-bonded structure, and dy-
namics of bulk water.
4. Dissolved ions disrupt water structure. Various
Figure 6.9 Relation between Ji / J 0i and t for three different potential functions are available to describe the
properties of the water in Na–smectites: namely, the apparent interactions between ions and water molecules.
specific thermal expansibility (n / T )p, the apparent spe- 5. Water is strongly attracted to soil particle sur-
cific compressibility (v / P )T, and the molar absorptivity at faces, and the resulting interactions may influ-
the frequency of O-D stretching . (Note: each symbol rep- ence the water properties to distances of several
resents a different smectite having its own surface character- nanometers from the surface. The water to a dis-
istics.) Reprinted with permission from Low (1987). tance of about 1.0 nm, that is, three molecular
layers, from a silicate layer surface is strongly
adsorbed (Sposito, 1984, 1989) and has a struc-
2
The term depends on the strength of the hydrogen bonds. ture different from that of normal water.
ION DISTRIBUTIONS IN CLAY–WATER SYSTEMS 153
6. Adsorbed water structure differs from that of ice 6.6 CLAY–WATER–ELECTROLYTE SYSTEM
and normal water.
7. Adsorbed water exhibits both supercooling and Clays are lyophobic (liquid hating) or hydrophobic
freezing point depression. (water hating) colloids rather than lyophilic or hydro-
8. Energy is released by the adsorption of water philic colloids, even though water wets clays and is
by clays. adsorbed on particle surfaces. This designation resulted
9. Time-dependent increases in the moisture ten- from the need, historically, to distinguish colloids such
sion of water are evident after mechanical dis- as clay from colloids already termed hydrophilic, such
turbance of the at-rest structure of a clay–water as gums, which exhibit such an affinity for water that
system. they spontaneously form a colloidal solution (van Ol-
10. The interaction of water with clay surfaces phen, 1977). Hydrophobic colloids are liquid disper-
causes a change in the b dimension of the clay sions of small, solid particles that are (1) two-phase
particle lattice. A mutual adjustment of both the systems with a large interfacial surface area, (2) have
clay and water structures develops during ad- a behavior dominated by surface forces, and (3) can
flocculate in the presence of small amounts of salt.
sorption.
Clay–water–electrolyte systems satisfy all of these cri-
11. The thermodynamic, hydrodynamic, and spec-
teria.
troscopic properties of adsorbed water vary ex-
ponentially with distance from particle surfaces,
and surface interaction effects may be evident
6.7 ION DISTRIBUTIONS IN CLAY–WATER
to distances of up to 10 nm from the surface.
SYSTEMS
This corresponds to water contents of about 800
percent in a fully expanded pure smectite and Adsorbed cations are tightly held on surfaces of neg-
15 percent in a pure kaolinite. atively charged dry clay particles. Cations in excess of
12. There is no evidence for abnormal water vis- those needed to neutralize the electronegativity of the
cosity or failure of Darcy’s law in clays of the clay particles and associated anions are present as salt
type usually encountered in geotechnical prac- precipitates. When water is present, the precipitates
tice. The viscosity and diffusion properties are, can go into solution. The adsorbed cations, because of
for practical purposes, the same as for pure wa- their high concentration near the surfaces of particles,
ter. try to diffuse away in order to equalize concentrations
throughout the pore fluid. Their freedom to do so, how-
At low water contents, characteristic of low satura- ever, is restricted by both the negative electrical field
tion, the water structure can be quite different than that originating in the particle surfaces and ion–surface in-
in wet or saturated clays. At very low water contents, teractions that are unique to specific cations. The es-
competition for water molecules between the adsorbed caping tendency due to diffusion and the opposing
cations and the surfaces is keen. A strong attraction to electrostatic attraction lead to ion distributions adjacent
the surface with disorder in the arrangement of water to a single clay particle in suspension that are often
molecules and high lateral mobility are reasonable con- idealized as shown in Fig. 6.10. This distribution of
sequences. cations is analogous to that of air molecules in the
At higher water contents, cations, at least of some atmosphere, where the escaping tendency of the gas is
types, are diffused from the surface. If a random net- countered by the gravitational attraction of Earth. An-
work water structure exists, then it seems reasonable ions are excluded from the negative force fields of the
that the development of networks that could both adapt particles, with the distribution shown in Fig. 6.10.
to the clay surfaces and incorporate adsorbed cations The charged surface and the distributed charge in
should be possible. Because both the surfaces and cat- the adjacent phase are together termed the diffuse dou-
ions influence the nature of the networks developed, it ble layer.3 Several theories have been proposed for the
would be expected that the bond strengths and ther- quantitative description of ion distributions adjacent to
modynamic properties would differ from those in nor- charged surfaces. The most frequently cited theory for
mal water. A gradual transition from one structure at ionic distribution was developed by Gouy (1910) and
the surface to another in the bulk water seems reason-
able. Sposito (1989) and Güven (1992) provide more
3
specific details about the structure and physical char- In some clay minerals and under some conditions, broken bonds at
particle edges create a positive edge charge. This charge is balanced
acteristics of soil water on an atomic and molecular by a negative diffuse layer. The practical consequences of positive
scale. particle edges and negative surfaces are considered later.
Figure 6.10 Distributions of ions adjacent to a clay surface according to the concept of the
diffuse double layer.
Chapman (1913). Subsequently, Derjaguin and Landau layer repulsions. Thus, given the present controversial
(1941) and Verwey and Overbeek (1948) extended the status of DLVO theory and considerable uncertainty
Gouy–Chapman theory to description of the repulsive about its quantitative applicability to most soil systems,
energies and forces of interaction between colloidal it is described but not developed in detail in the fol-
particles and prediction of the stability of colloidal sus- lowing sections. Those results that are applicable to
pensions. Their theory is now often referred to as the aspects of soil behavior of interest in geoengineering
DLVO theory. The results have been applied to clay are noted. Readers interested in further details of the
particles and clusters of clay particles that might be DLVO theory will find them in Mitchell (1993) and
representative of actual soils. It reasonably describes the references cited therein.
the actual distribution of ions only for smectite parti-
cles suspended in monovalent electrolyte solutions
at very low (less than 100 mol/m3, or 0.001 molar)
concentration (Sposito, 1989). Nonetheless, it can 6.8 ELEMENTS OF DOUBLE-LAYER THEORY
be useful for understanding several aspects of physico-
chemical forces of interaction, aggregation, floccu- Mathematical description of the diffuse double layer
lation, dispersion, and deflocculation and the has been developed for the assumptions of both planar
relationships of these processes to formation of soil and spherical surfaces. The planar (one-dimensional)
structure and of clay compression and swelling. case is a reasonable assumption for platy clay particles.
However, discrepancies between predictions of this The following idealizing assumptions are made:
theory and the behavior of most other types of clay,
both in suspension and in more condensed forms, has 1. Ions in the double layer are point charges, and
focused attention on other theories. In particular, an there are no interactions between them.
alternative description of the interparticle forces pro- 2. Charge on the particle surface is uniformly dis-
posed by Langmuir (1938) and extended by Sogami tributed.
and Ise (1984), discussed in more detail in Section 6.10 3. The particle surface is a plate that is large relative
postulates that long-range Coulombic attractions, as to the thickness of the double layer (one-
well as London–van der Waals forces, counter double- dimensional condition).
ELEMENTS OF DOUBLE-LAYER THEORY 155
4. The permittivity4 of the medium adjacent to the
particle surface is independent of position.
The concentration of ions (ions/m3) of type i, ni , in
a force field at equilibrium is given by the Boltzmann
equation:
ni ⫽ ni0 exp 冉 Ei0 ⫺ Ei

kT 冊 (6.9)
The subscript 0 represents the reference state, taken to

be at a large distance from the surface, E is the poten-
tial energy, T is temperature (K), and k is the Boltz-
mann constant (the gas constant per molecule) (1.38 ⫻
10⫺23 J K⫺1).
The potential energy of an ion in an electric field is
Ei ⫽ vi e (6.10)
where vi is the ionic valence, e is the electronic charge

(1.602 ⫻ 10⫺19 C), and is the electrical potential at Figure 6.11 Variation of electrical potential with distance
from a charged surface according to the idealized Gouy–
the point.5 Potential varies with distance from a
Chapman theory. Except in very unusual cases, in soils is
charged surface in the manner shown by Fig. 6.11. In negative.
clays, is negative because of the negative surface
charge. The potential at the surface is designated as
0. As Ei0 ⫽ 0, because ⫽ 0 at a large distance from
the surface,
Ei0 ⫺ Ei ⫽ ⫺vi e
so the Boltzmann equation [Eq. (6.7)] becomes
ni ⫽ ni0 exp 冉冊⫺vie

kT
(6.11)
Equation (6.11) relates concentration to potential, as

illustrated by Fig. 6.12. For negatively charged clay
4
The permittivity is a measure of the ease with which molecules can
be polarized and oriented in an electric field. Quantitatively, the per-
mittivity is defined by in Coulomb’s equation for the force of elec- Figure 6.12 Ion concentrations in a potential field.
trostatic attraction F between two charges Q and Q separated by a
distance d; that is,
QQ
F⫽
d 2
particles, n⫹ ⫺
i ⬎ ni0 and ni ⬍ ni0,, where ⫹ and ⫺ are
The relative permittivity or dielectric constant D is given by ⫽ 0D for cations and anions, respectively.
in which 0 is the permittivity of vacuum. D is the ratio of the elec-
trostatic capacity of condenser plates separated by the given material The Poisson equation relates potential, charge, and
to that of the same condenser with vacuum between the plates. The distance. In one-dimension:
dielectric constant of free water at 20C is about 80. The permittivity
of vacuum 0 is 8.8542 ⫻ 10⫺12 C2 J⫺1 m⫺1.
5
The electrical potential is defined as the work to bring a positive d 2
unit charge from a reference state to the specified point in the electric ⫽⫺ (6.12)
field. dx 2
in which x is distance from the surface (m), is charge ve
冧
density (C/m3), and is the static permittivity of the y⫽
kT
medium (C2 J⫺1 m⫺1 or F m⫺1). The charge density in Potential functions (6.17)
ve0
the diffuse layer is contributed by the ions so that z⫽
kT
⫽e 冘 vn i i (6.13) and
with ni expressed as ions per unit volume.
⫽ Kx Distance function (6.18)
Substitution for ni from Eq. (6.11) gives
⫽e 冘 vn i i0 exp冉冊 ⫺vie

kT
(6.14)
where
2n0e2v2
K2 ⫽ (6.19)
which, when substituted into Eq. (6.12), yields kT
d 2
dx 2
⫽⫺

e
冘 vni i0 exp 冉冊
⫺vie
kT
(6.15)
The solution to Eq. (6.16) describes a roughly expo-
nential decay of potential with distance from the sur-
face. For surface potentials less than about 25 mV, the
potential decreases purely exponentially with distance,
Equation (6.15) is the differential equation for the elec- and the center of gravity of the diffuse charge is at a
tric double layer adjacent to a planar surface. Solutions distance x ⫽ 1/K from the surface. This distance is a
of this equation provide a basis for computation of measure of the ‘‘thickness’’ of the double layer.
electrical potential and ion concentrations as a function According to Eq. (6.19) the value of 1/K depends
of distance from the surface. only on the characteristics of the dissolved salts and
For the case of a single cation and anion species of the fluid phase. However, the actual values of concen-
equal valence, that is, i ⫽ 2 and n⫹ ⫺
0 ⫽ n0 ⫽ n0 and tration and potential at any distance from the surface
⫹ ⫺
v ⫽ ⫺v ⫽ v, Eq. (6.15) simplifies to the Poisson–
also depend on the particle surface charge, surface po-
Boltzmann equation: tential, and specific surface and dissolved ion interac-
tions, and these depend on the type of clay and
d 2 2n0ve ve conditions in the pore solution.
⫽ sinh (6.16)
dx 2
kT The double-layer charge is given by
Some explicit solutions of Eq. (6.16) are available

(Verwey and Overbeek, 1948; Bolt, 1955, 1956; Bab- ⫽⫺ 冕⬁
0
dx (6.20)
cock, 1963; van Olphen, 1977; Mitchell, 1993).
Clay particles are characterized by a constant sur-
face charge density determined by the amount of the solution of which is
unbalanced isomorphous substitution in the clay
structure. The surface charge density is proportional to z
⫽ (8n0kT)1 / 2 sinh (6.21)
the cation exchange capacity divided by the specific 2
surface. Double layers in many colloidal systems are
controlled by a constant surface potential, determined which for small values of 0 reduces to
by the concentration of ‘‘potential-determining ions’’
in solution. Diffuse layers that form at the edges of ⫽ k0 (6.22)
clay particles are of this type because the ions in so-
lution control the amount of dissociation of alumina in A single diffuse double layer is not representative of
the octahedral sheets of clay minerals. The equations the actual conditions in most clay systems because
given here are for constant surface charge. double layers of adjacent particles will overlap. None-
theless, the above equations are useful for understand-
Single Diffuse Double Layer ing some effects of changes in solution composition
Solutions of the differential equation of the double and concentration on diffuse layer thickness, which can
layer are usually given in terms of the dimensionless then be related to the behavior of clay suspensions, as
quantities discussed later.
INFLUENCES OF SYSTEM VARIABLES ON THE DOUBLE LAYER 157
Interacting Double Layers lutions for a single plate.6 Concentrations at the mid-
The electrical potential and charge distributions for the plane can be obtained from Boltzmann’s equation:
case of interacting double layers from parallel flat
plates, separated at distance 2d are shown in Fig. 6.13. n⫺ ⫽ n0 exp(u) n⫹ ⫽ n0 exp(⫺u) (6.23)
The potential function at the midplane y ⫽ vec /kT is
denoted by u, and the integration boundary conditions As the overlap of double layers of the same sign
for Eq. (6.20) are that for ⫽ Kd, y ⫽ u, and dy/d generates an interparticle repulsion, it is important to
⫽ 0. Values of u for conditions of constant surface investigate whether double layers in typical fine-
charge are tabulated by van Olphen (1977) for given grained soils are sufficiently thick that interactions be-
values of surface potential, 2d, and K. For small inter- tween adjacent particles will actually occur. Using
actions, that is, for large values of Kd, as would be the 1/K, the distance from the surface to the center of
case for large plate separation, high n, high v, or small gravity of the diffuse layer, as the thickness of double
0, the midplane potential is close to the sum of the layer, values of 1 nm in a 0.1 M solution of cation,
double-layer potentials at distance d based on the so- increasing to 10 nm in a 0.001 M solution are obtained.
For water distributed uniformly on surfaces of clay
particles, the water layer thickness is equal to half the
particle spacing, or d in Fig. 6.13. This thickness is
given by the volumetric water content (cm3 /g) divided
by the specific surface area (m2 /g). On this basis, for
a water content of 50 percent (water weight/dry solid
weight) and a specific surface in the range of 50 to
300 m2 /g, values of d from 1.7 to 10.0 nm are ob-
tained. These spacings are well within the range where
interactions can be important.
There is much higher concentration of divalent cat-
ions than monovalent cations near the particle surface
in a system that contains both monovalent and divalent
cations, even if the concentration of monovalent cati-
ons is much greater in the bulk solution. According to
the DLVO theory, the ratio of concentrations of diva-
lent cations to monovalent cations required to coagu-
late colloidal suspensions of clay minerals is only
0.0156 (Sposito, 1989). This value is consistent with
experimental observations of the concentrations re-
quired to cause coagulation according to the Shultze–
Hardy rule, developed over 100 years ago. This rule
states that the critical coagulation concentration of ions
in suspension of opposite sign to the charge on the
colloid is proportional to an inverse power of the val-
ence of the ion, and the power according to DLVO is
6 (Sposito, 1989).
6.9 INFLUENCES OF SYSTEM VARIABLES ON

THE DOUBLE LAYER
Some significant deficiencies in the theory presented
in the previous section are discussed further later.
Nonetheless, it is still useful in developing an under-
standing of several aspects of fine-grained soil be-
Figure 6.13 Potential and charge distributions for interact-

ing double layers from parallel flat plates: (a) potential and 6
A more rigorous solution for this problem is given by Ohshima
(b) charge. (1995).
havior. Ion concentration and potential distributions Effects of Cation Valence

adjacent to charged surfaces are sensitive to variations For solutions of the same concentration and constant
in surface charge density or surface potential 0, surface charge, a change in cation valence decreases
electrolyte concentration n0, cation valence v, dielectric both surface potential and thickness of the double
constant of the medium D, and temperature T. Ap- layer. The effect of valence on diffuse layer thickness
proximate measures of the influences of n0, v, D, and is large, as can be seen from 1/K 1/ v. An increase
T are given by the previously defined ‘‘thickness’’ of in valence suppresses the midplane concentration and
the double layer, 1/K.7 From Eq. (6.19) potential between interacting plates, thus leading to a
decrease in interplate repulsion.
1
K
⫽ 冉
0DkT
2n0e2v2 冊 1/2
(6.24)
Preferential adsorption of multivalent cations, which
is a well-established experimental fact, means that
even relatively small amounts of di- or trivalent cations
added to clay–water–monovalent electrolyte systems
This relationship shows that the thickness varies in- has a significant influence on diffuse layer interactions
versely with the valence and the square root of the and physical properties. In fact, multivalent cations
concentration and directly with the square root of the usually limit the separation distances between clay
dielectric constant and temperature, other factors re- platelets, thus imposing severe restrictions on the quan-
maining constant. titative applicability of the Gouy–Chapman equations
Since the long-range repulsive force between parti- for the double-layer and applicability of DLVO theory.
cles depends on the amount of overlap or interaction
between opposing double layers, the probable influ- Effects of Dielectric Constant
ences on behavior that result from changes in system
composition can be estimated. In general, the thicker The permittivity of the pore fluid, ⫽ 0D, can be
the diffuse layer the less the tendency for particles in considered in terms of the relative permittivity D, re-
suspension to flocculate and the higher the swelling ferred to as the dielectric constant. The dielectric con-
pressure in expansive soils. stant influences both the surface potential and the
diffuse layer thickness. For constant surface charge, the
surface potential function increases as D decreases, ac-
Effects of Electrolyte Concentration cording to
冉冊
The effective thickness of the diffuse layer, 1/K, varies
inversely with the square root of pore solution concen- z
sinh ⫽ (8n00DkT)⫺1/2 (6.25)
tration [Eq. (6.24)]. In addition, an increase in electro- 2
lyte concentration reduces the surface potential for the
condition of constant surface charge, and the decay of from Eq. (6.21).
potential with distance is much more rapid. The diffuse For example, for a 0.83 ⫻ 10⫺4 M solution of NaCl
layer becomes thinner. The midplane concentration and in ethyl alcohol (D ⫽ 24.3) compared to water (D ⫽
electrical potential for interacting parallel plates (clay 80),
particles) at a given spacing decrease as concentration
increases. Thus, the interparticle repulsive forces de-
crease.
One practical consequence of this is that particle
sinh冉冊冉冊
z
2
⫽ 94
80
24.3
1/2
⫽ 170
flocculation in suspension is facilitated by an increase z ve0

in electrolyte concentration. Another is that one expla- ⫽ ⫽ 5.83
2 kT
nation for clay swelling is based on diffuse layer in-
teractions (Chapter 10), with higher magnitudes of z ⫽ 11.66
swell and swell pressure associated with greater inter-
actions. Thus, swelling behavior should and does de- and
pend, at least in part, on the electrolyte concentration
in the pore water. 0 ⫽ 292 mV
is obtained compared to 261 mV for water.

7
Numerical examples and illustrations using the complete equations The effect of dielectric constant on thickness of the
are given in Chapter 7 of Mitchell (1993). double layer is given by
LIMITATIONS OF THE GOUY–CHAPMAN DIFFUSE DOUBLE LAYER MODEL 159
1/K D 1 / 2 6.10 LIMITATIONS OF THE GOUY–CHAPMAN
DIFFUSE DOUBLE LAYER MODEL
so that with alcohol, the diffuse layer thickness is re- The theory of the diffuse double layer provides useful
duced by a factor of (24.3/80)0.5 or 0.55 compared to insights into ionic distributions adjacent to clay parti-
that in water. cles, which, in turn, allow for reasonable predictions
Detailed consideration of the influences of dielectric of some things, such as flocculation–deflocculation,
constant may, at first, seem academic because the pore swelling, and the effects of pore fluid compositional
fluid in soils usually is water.8 However, clay soils may changes under idealized conditions. However, there are
be in contact with chemicals of various types, either serious discrepancies in many cases, owing both to fac-
deliberately, as when clay liners are used for impound- tors that are not accounted for by the theory, for ex-
ments and waste storage landfills, or accidentally in the ample, pH, ion size, particle interference, and forces
case of spills and leaks. Oils, solvents, or other organic that are neglected, and to deviations from the idealiz-
chemicals may replace the pore water in such cases. ing assumptions. The DLVO theory, based on the
The dielectric constants of these materials, especially Gouy–Chapman model, gives reasonable prediction
non-aqueous-phase liquids (NAPL), are usually much for freely swelling clay systems of very fine clay par-
lower than that of water. ticles with monovalent ions, such as Na and Li mont-
morillonite. The DLVO models have had limited
quantitative success for other clays.
Effect of Temperature Güven (1992) lists the following assumptions as un-
realistic:
According to Eqs. (6.24) and (6.25), an increase in
temperature should cause an increase in diffuse layer 1. Ions are assumed to be point charges, and their
thickness and a decrease in surface potential for a con- sizes are ignored.
stant surface charge, all other factors constant. How- 2. Water structure and the electrical properties of
ever, an increase in temperature results also in a water molecules are not taken into account. The
decrease in dielectric constant owing to the increased dielectric constant of the water is assumed the
energy needed to polarize fluid molecules as the tem- same as that of free water.
perature increases. The variation for water is as fol- 3. The clay particle charge is assumed distributed
lows: uniformly on the surface. In reality, there is
charge localization, and whether the charge re-
sults from isomorphic substitution in the octa-
hedral or tetrahedral layer influences the potential
Effect of Temperature on the Dielectric fields differently.
Constant of Water 4. Both the ions and clay surfaces are hydrated, and
T (C) T (K) D DT this is neglected.
5. The ionic distributions based on the Boltzmann
0 273 88 2.40 ⫻ 104
equation lead to unrealistically high concentra-
20 293 80 2.34 ⫻ 104 tions at the particle surface. For example, Güven
25 298 78.5 2.34 ⫻ 104 (1992) shows that for a moderate surface poten-
60 333 66 2.20 ⫻ 104 tial of ⫺103 mV, the concentration of sodium at
the particle surface would be 0.6 M, whereas that
of calcium would have to be 20.8 M for a bulk
The small variation of the product DT with change solution concentration of 0.01 M.
in temperature means that the net effect on the diffuse
The theory also assumes that the counterion distri-
layer is small. This accounts, in part, for apparent con-
butions remain the same, even when two clay particles
tradictory findings that have been reported on the ef-
come together. In addition, there may be Coulombic
fects of temperature change on such soil properties as
attractive forces, as proposed by Sogami and Ise
strength, compressibility, and swelling. (1984), which are not accounted for, as noted in Sec-
tion 6.7 and discussed further below.
Ion Size and Type

8
Although a value of 80 is usually assumed for the dielectric constant The hydrated radii of cations determine their maximum
of water in soil, experiments have indicated that adsorbed water has
a much lower dielectric constant (between 2 and 50) than free water possible concentrations. Values of hydrated radius for
(Sposito, 1989). some cations are as follows:
Ion Hydrated Radius (nm)

Li⫹ 0.73–1.00
Na⫹ 0.56–0.79
K⫹ 0.38–0.53
NH⫹ 0.54
Rb⫹ 0.36–0.51
Cs⫹ 0.36–0.50
Mg2⫹ 1.08
Ca2⫹ 0.96
Sr2⫹ 0.96
Ba2⫹ 0.88
Figure 6.14 Three mechanisms of cation adsorption on a
silicate surface, for example, montmorillonite (from Sposito,
Finite ion size was taken into account by Stern 1989).
(1924) and Carnie and Torrie (1984), among others.
The Stern layer consists of counterions in a closely
packed layer close to the surface, with an adjacent dif-
fuse layer extending outward into the solution. Equa- ation). The outer-sphere cations are solvated and ad-
tions based on Stern’s theory are given by van Olphen sorbed on the surface electrostatically. The readily
(1977) for both single and interacting flat double lay- exchangeable ions are those in the diffuse ion swarm
ers. These equations can be used to compute the charge and the outer-sphere complex.
in each layer and the potential at their interface. Based on considerations such as these, Güven
Stern layer potentials were deduced from the results (1992) proposed the hypothetical model shown in Fig.
of coagulation rate measurements on four clays having 6.15 for the distribution of water and ions adjacent to
about 0.5 m mean particle size, at pH 10 (Novich a clay surface. In this figure the plane is water mol-
and Ring, 1984). The values obtained were ⫺42.7 mV ecule dipoles on the clay surface. Inner-sphere cations
for kaolinite, ⫺40.7 mV for illite, ⫺21.2 mV for mont- may be in this region as well. The plane is the closest
morillonite, and ⫺66.9 mV for palygorskite. These val- plane of hydrated counterions to the surface. The D
ues are significantly less than the surface potentials plane is the beginning of the diffuse layer. The 1/
calculated when the computations are made without plane is in the diffuse region where the potential has
consideration of a Stern layer. However, these results decreased to 0 /e (center of gravity of the diffuse
are consistent with those from other studies that indi- layer charge). The plane is the shear plane that sep-
cate that about 75 percent of the diffuse layer ions arates the portion of the bound water and cations that
reside within about 1.0 nm of the particle surface move with the particle from the remainder of the pore
(Sposito, 1989). In another series of experiments using water in electrokinetic flow (see Chapter 9).
four techniques and three smectites, Low (1987) found Reformulations and modifications of the simple
that almost all the counterions are in the Stern layer. Gouy–Chapman theory have been made and evaluated
This, and data and analyses reviewed in Low (1992), (Carnie and Torrie, 1984). Modified Gouy–Chapman
lead to conclusions that there is little dissociation of (MGC) theory, in which ion size is taken into account,
exchangeable cations from the particle surface, the dif- is summarized by Sposito (1992). He concluded that
fuse layer is small and poorly developed, and the the MGC provided a reasonable model for the dif-
swelling of clay is due primarily to water hydration of fuse ion swarm adjacent to basal planes of Na-
particle surfaces. This explanation for swelling is dis- montmorillonite particles in low concentration (⬍100
cussed further in Chapter 10. moles/m3) solutions of 1⬊1 electrolytes. On the other
The diffuse double-layer model does not account for hand MGC was inaccurate for electrolyte solutions
adsorption selectivity differences among cations of the containing bivalent ions, even at concentrations as low
same valence. Sposito (1989) identified three mecha- as 5 mol/m3.
nisms of cation adsorption on a silicate surface, as Computer simulations offer possibilities for better
shown in Fig. 6.14. Inner-sphere cations are ions that definition of the actual conditions. The consequences
are held within the hexagonal ‘‘hole’’ in the silicate of the following 10 interactions must be considered
surface, with no water molecule between the surface (Güven, 1992): (1) water molecule–water molecule,
and the cation. Inner-sphere cations involve ionic (2) counterion–counterion, (3) coion–coion, (4) clay
and/or covalent bonding and are tightly held (ion fix- particle–clay particle, (5) water molecule–counterion,
LIMITATIONS OF THE GOUY–CHAPMAN DIFFUSE DOUBLE LAYER MODEL 161
Figure 6.15 (a) Multilayer configuration of water and ions adjacent to a clay particle surface
as proposed by Güven (1992). (b) Decay of surface potential 0 with distance from the
surface.
(6) water molecule–coion, (7) water molecule–clay

particle, (8) counterion–coion, (9) counterion–clay,
and (10) coion–clay. The net interaction potential of
the system is the sum of the interaction energies of the
components. Güven (1992) outlines both Monte Carlo
(MC) and molecular dynamics (MD) computer simu-
lation procedures for finding this sum as follows. First,
several hundred particles are put in a box with finite
dimensions. The coordinates of the particles are de-
fined, and interactions between them are defined in
terms of potentials. MC simulations involve sampling
all particle configurations in the box and finding
changes in potential energy caused by particle move-
ments. The most stable configuration is that where the
energy is least. In MD simulations, the equations of Figure 6.16 Ion distributions according to DLVO and alter-
native (electrostatic attraction) theories: (a) DLVO repulsive
motion are solved numerically for the particle in the
and (b) alternative attractive.
box. Both the configuration and the dynamics of par-
ticle in a liquid are determined. According to Güven
(1992), both MC and MD methods can be used to bet-
ter describe clay–water interface details and help in the MacEwan (1948) and Norrish (1954). McBride (1997)
understanding of clay particle interactions with each and McBride and Baveye (2002a) review numerous ex-
other. Recent applications of Monte Carlo simulations perimental observations, including dispersion, osmotic
for study of net interaction forces between clay parti- swelling, and transitions among ordered and disordered
cles are described by Delville (2002). Skipper (2002) phases of colloidal particles in dilute salt solutions, to
describes the application of both MC and MD com- support the existence of an electrostatic attractive term.
puter simulations for modeling of clay–fluid interac-
tions in Wyoming bentonite. Clay Platelet Associations and Particle Interference
Diffuse double-layer theory assumes individual and in-
Ion Redistributions dependent colloidal particles. When applied to smectite
As noted earlier, the capabilities of diffuse double- clay particles, it is usually assumed that the total spe-
layer models, in which the electrical force is assumed cific surface, about 800 m2 /g, is covered with a uni-
to be repulsive at all interparticle separations, have formly thick layer of water and adsorbed cations. In
been challenged by McBride (1997), McBride and reality, however, this is usually not the case, and the
Baveye (2002a, 2002b), and others. An alternative de- platelets stack into tactoids or quasi-crystals (Quirk
scription of the fundamental forces is proposed based and Aylmore, 1971).
on the work by Langmuir (1938) and backed up by the When calcium is the adsorbed cation, a typical
electrostatic attraction theory (Sogami and Ise, 1984, quasi-crystal consists of four to seven montmorillonite
Smalley, 1990) and simulation studies using the Monte platelets interspersed by two or three molecular layers
Carlo technique. When two clay particles merge, an of water. Each calcium ion is solvated by six water
attractive electrostatic force results due to redistribu- molecules and acts as a cross-link holding the platelets
tion of counterions (Fig. 6.16b), which is not consid- together. This type of cross-linking is probable with
ered in the DLVO theory (Fig. 6.16a). The attractive any divalent cation and smectite type (Sposito, 1989).
force model is supported by the observation that par- There is clear evidence from light-scattering,
ticles in stable dispersions do not necessarily occupy neutron-scattering, and other experiments that quasi-
all the volume of the solution as would be expected crystals also form in the presence of monovalent cati-
from the long-range repulsive forces of the DLVO ons (Sposito, 1989, 1992). The number of platelets per
model. Rather they tend to cluster at separations that quasi-crystal in monovalent cation systems ranges
are not space filling (McBride, 1997). In such a sys- from 1 to 2 and increases on the order Li ⬍ Na ⬍ K.
tem, the long-range Coulombic attractive force is re- For nonexpansive clay minerals such as kaolinite
sisted by hydration and osmotic forces, and the overall and illite, the situation is somewhat different. Individ-
force changes from attractive to repulsive due to os- ual particles of these minerals are much thicker than
motic forces once the clay plates separate by more than smectite unit layer platelets and may consist of up to
some distance (10 to 30 Å) based on the work by several hundred unit cell layers. The particle thickness
ENERGY AND FORCE OF REPULSION 163
is large relative to the diffuse layer thickness. As a sorbed at particle edges by complexing with the ex-
result, gravity forces are important in suspensions of posed octahedral aluminum ions. This produces a
these minerals, and physical interferences between par- negative edge charge that prevents edge-to-face floc-
ticles are important in sediments in addition to the in- culation. The surface chemistry of anion adsorption is
fluences of double-layer interaction effects. discussed in some detail by Sposito (1989).
Little is known about whether clays have anion
Effect of pH exchange spots on basal surfaces, although replace-
Hydroxyls (OH)⫺ are exposed on the surfaces and ment of (OH)⫺ is a possible mechanism for their ex-
edges of clay particles. The tendency for hydroxyls to istence. Anions, particularly bicarbonate, appear to be
dissociate in water, important in spontaneous dispersion followed by ero-
sion of some low-to-medium sodium content Austra-
SiOH → SiO⫺ ⫹ H⫹ lian soils (Ingles, 1972).
is influenced strongly by the pH. By definition, pH ⫽

⫺log10 H⫹ concentration: pH ⬍ 7 is acid (high H⫹ 6.11 ENERGY AND FORCE OF REPULSION
concentration), and pH ⬎ 7 is basic (low H⫹ concen- The DLVO theory is used to compute the potential and
tration). The higher the pH, the greater is the tendency charge distribution between interacting diffuse double
for H⫹ from the hydroxyls to go into solution, and the layers and the force of electrostatic repulsion per unit
greater the effective negative charge of the particle. area of parallel plates. The repulsive energy VR is given
Hence, the octahedral face of 1⬊1 minerals such as by
kaolinite and the OH termination sites on the edges of
both 1⬊1 and 2⬊1 clay minerals are affected by the pH. VR ⫽ 2(Fd ⫺ F⬁) (6.26)
In addition, alumina, which is exposed at the edges
of clay particles, is amphoteric, and it ionizes posi- where Fd is the free energy of the double layer per unit
tively at low pH and negatively at high pH. As a result, area at a plate spacing of 2d, and F⬁ is the free energy
positive diffuse layers can develop at the edges of of a single noninteracting double layer.
some clay particles in an acid environment. Such layers Although cations are free to redistribute around the
are of the constant surface potential type, as opposed negatively charged clay particles, they are unlikely to
to the constant surface charge type, with H⫹ serving leave the space between the particles because of the
as the potential determining ion. need to preserve an electrically neutral condition. An
The surface potential is related to the pH of the so- osmotic pressure develops as free water molecules in
lution, and therefore pH plays a very important role in the bulk fluid try to move into the interparticle space
the behavior of clay suspensions, especially kaolinite. to reduce the concentration. The repulsive force per
A low pH promotes positive edge to negative surface unit area (repulsive pressure) that is generated equals
interaction, often leading to flocculation from suspen- the difference in osmotic pressure (see Chapter 10)
sion. Stable suspensions or dispersions of clay particles midway between plates relative to that in the equilib-
often require high pH conditions. For clay minerals rium solution. The osmotic pressure difference de-
with a small thickness-to-length ratio such as smectite, pends directly on the difference in numbers of ions in
the contribution of OH termination sites at the edges the two regions, that is,
is small relative to the total charge of the particles.
p n⫹ ⫺ ⫹ ⫺
c ⫹ nc ⫺ (n0 ⫹ n0 )
Anion Adsorption
Some anion types may be attracted to, and become Therefore, using Eq. (6.23),
essentially a part of, particle surfaces or edges, thereby
increasing the particle’s electronegativity. Some neg- p n0eu ⫺ n0 ⫹ n0e⫺u ⫺ n0 ⫽ 2n0 (cosh u ⫺ 1)
atively charged radicals, for example, phosphate, ar-
senate, and borate, have about the same size and The resulting equation
geometry as the silica tetrahedron and are in this cat-
egory. Phosphates, in particular, are strongly attracted, p ⫽ 2n0kT (cosh u ⫺ 1) (6.27)
and certain of the phosphate compounds are among the
most effective deflocculating agents for soil suspen- is valid for both constant charge and constant potential
sions. Tannates can improve the stability of drilling surfaces, with u computed for the appropriate condi-
muds (van Olphen, 1977). The tannate ions are ad- tion. This relationship has been used, with limited suc-
cess, for physicochemical description of clay swelling C

and swelling pressure, as considered further in Chap- F2 ⫽ dyn/cm2 (6.29)
d 4
ter 10.
where d is separation distance in micrometers and
6.12 LONG-RANGE ATTRACTION C ⫽ 1.0 ⫻ 10⫺3 to 2.0 ⫻ 10⫺3 (experimental)

⫺3 ⫺3
Fluctuating dipole bonds, or van der Waals forces (Sec- C ⫽ 0.6 ⫻ 10 to 1.6 ⫻ 10 (Lifshitz theory)
tion 3.4), act between all units of matter and cause
attraction between colloidal particles. According to the general theory, there is a depend-
The theory for attractive energy between pairs of ence of the attractive forces on the dielectric constant
molecules VA (London, 1937) was extended to obtain of the fluid medium. As the strength of a soil depends
the attraction energy between parallel plates by assum- in part on interparticle attractions, it would be expected
ing interactions to be additive (Casimir and Polder, that the strength would also be influenced by dielectric
1948). The following equation was obtained: constant. The variation of the undrained strength of
kaolinite (normalized to that with water as the pore
VA ⫽ ⫺
A 1
48 d 2
⫹ 冋1
(d ⫹ )2
⫺
2
(d ⫹ /2)2 册 (6.28)
fluid) with dielectric constant is shown in Fig. 6.17. In
each case samples were consolidated initially in water,
followed by leaching with water-miscible pore fluids.
This procedure was used to produce samples of essen-
where d is the half distance between plates measured tially the same fabric (particle arrangements) for each
from the plane of surface layer atoms, is the thick- test. The form of the relationship defined by the data
ness of the plate measured between the same planes, agrees well with predictions of the Lifshitz theory
and A is the Hamaker constant, which is on the order (Moore and Mitchell, 1974).
of 2 ⫻ 10⫺20 J for soil colloids, although there is con- With the introduction of the electrostatic attraction
siderable uncertainty about its value in silicate–water theory, discussed earlier, as an alternative to the DLVO
systems (Sridharan, 2002). Values of A calculated from theory, there appears to be increased uncertainty about
theoretical analysis of coagulation measurements are the actual magnitude and importance of van der Waals
3.1 ⫻ 10⫺20 J for kaolinite, 2.5 ⫻ 10⫺20 J for illite, attractive forces in soil–water systems.
2.2 ⫻ 10⫺20 J for montmorillonite, and 1.63 ⫻ 10⫺19 J
for palygorskite (Novich and Ring, 1984).
The van der Waals forces are electromagnetic, and
the instantaneous electric moment is frequency depen- 6.13 NET ENERGY OF INTERACTION
dent. As a result, the Casimir–Polder theory is not ex-
By combining relationships for diffuse layer energies
act, but it is a good approximation for particle
of repulsion with those for van der Waals attraction,
separations less than about 100 nm (1000 Å), which
curves of net energy of interaction as a function of
would seem to cover the practical range of interest for
geotechnical problems.
The attractive forces are dependent on distance ac-
cording to
Ak
F1 Casimir–Polder theory
d3
Bk
F2 Lifshitz theory
d4
where A, B, k and k are constants (Ingles, 1962); B,

an analytically deducible constant (Lifshitz, 1955), is
on the order of 10⫺28 J-m. Black et al. (1960) deter-
mined a force per square centimeter between parallel Figure 6.17 Dependence of the strength of Peerless #2 ka-
quartz plates given by olinite on dielectric constant of the pore fluid.
CATION EXCHANGE—GENERAL CONSIDERATIONS 165
distance of the type shown in Fig. 6.18 are obtained.9 can have important consequences in terms of the sub-
The energy of repulsion is sensitive to changes in elec- sequent behavior of the soil if it is disturbed or sub-
trolyte concentration, cation valence, dielectric con- jected to the action of flowing water, as discussed in
stant, and pH, whereas, in theory, the attractive energy later chapters.
is sensitive only to changes in the dielectric constant
and temperature.
If the net curve of interaction exhibits a high repul- 6.14 CATION EXCHANGE—GENERAL
sive energy barrier, particles in suspension are pre- CONSIDERATIONS
vented from close approach, and the suspension is
stable. If the repulsive energy barrier does not exist, Under a given set of environmental conditions (tem-
particles can easily come into close proximity, and perature, pressure, pH, chemical and biological com-
flocculation results, represented by the minima in the position of the water), clay adsorbs cations of specific
energy curves. In these systems, flocs or aggregates of types and amounts. The total amount adsorbed bal-
several particles settle together from suspension. ances the charge deficiency of the solid particles.
The character of the net curve of interaction has a Exchange reactions can occur in response to changes
major influence on particle arrangement and stability in the environmental conditions. These reactions in-
in sedimented, consolidated, or compacted deposits of volve replacement of a part or all of the adsorbed ions
fine-grained soils. Changes in system chemistry, which of one type by ions of another type. Although the
in turn cause changes in the net curve of interaction, exchange reactions do not ordinarily affect the struc-
ture of the clay particles themselves, important changes
in the physical and physicochemical properties of the
9
In reality there are important interparticle forces additional to soil may result.
double-layer repulsions and van der Waals attractions, as defined and
discussed in Chapter 7 of Mitchell (1993) and by Güven (1992), as
well as the electrostatic attraction hypothesized by Sogami and Ise Common Ions in Soils
(1984), that should be accounted for in a comprehensive treatment. The most common adsorbed cations in residual and
However, the basic DLVO model given here is suitable for developing
basic concepts of interparticle interactions and the stability of clay nonmarine sedimentary soils are calcium, magnesium,
suspensions. sodium, and potassium, usually in that decreasing or-
Figure 6.18 Energies of repulsion, attraction, and net curves of interaction for parallel flat
plates.
der of abundance. Marine clays and most saline soils monovalent cations. Ordinarily, small cations tend to
contain sodium as the dominant adsorbed cation. The displace large cations. A typical replaceability series is
most common anions are sulfate, chloride, phosphate,
and nitrate. Na⫹ ⬍ Li⫹ ⬍ K⫹ ⬍ Rb⫹ ⬍ Cs⫹ ⬍ Mg2⫹ ⬍ Ca2⫹
⬍ Ba2⫹ ⬍ Cu2⫹ ⬍ Al3⫹ ⬍ Fe3⫹ ⬍ Th4⫹
Sources of Exchange Capacity
There are three sources of clay exchange capacity: However, it is possible to displace a cation of high
1. Isomorphous Substitution 10 3⫹ 4⫹
Al for Si in the replacing power, such as Al3⫹, by one of low replacing
silica sheet and Mg2⫹ for Al3⫹ in the octahedral power, such as Na⫹, by mass action, if the concentra-
sheet are the most common. Balancing cations tion in solution of the ion of low replacing power is
are attracted to cleavage surfaces. This is the ma- high relative to that of the ion of high replacing power.
jor source of clay exchange capacity, except for
the kaolin minerals. Rate of Exchange
2. Broken Bonds Exchange sites along particle The rate of exchange depends on clay type, solution
edges and on noncleavage surfaces may be the concentrations, temperature, and the like. In general,
major source of the exchange capacity of kaolin- exchange reactions in the kaolin minerals are almost
ite and contribute up to 20 percent of the total in instantaneous. In illite, a few hours may be needed for
smectite. The importance of broken bond sites completion because a small part of the exchange sites
increases with decreasing particle size. may be between unit layers. A longer time is required
3. Replacement The hydrogen of an exposed hy- in smectite because the major part of the exchange
droxyl is replaced by another type of cation. capacity is located in the interlayer regions.
The contributions of each of these sources depends
Stability of Adsorbed Ion Complexes
on various environmental and compositional factors, so
a given clay mineral does not have a fixed, single value Ion exchange reactions usually occur in an aqueous
of exchange capacity. The capacity is directly related environment; however, clays can also adsorb ions from
to the specific surface and surface charge density. trace concentrations in solution of rather insoluble sub-
stances, even when little water is present. The deteri-
Exchange Capacities of the Clay Minerals oration of clay samples after prolonged storage in steel
Shelby tubes is a good example. The process involves
The cation exchange capacity, that is, the number of
adsorption by the clay minerals of iron ions as soon
exchangeable charges, is usually between 1 and 150
as they pass into solution from the tube wall. Because
meq/100 g. Ranges of cation exchange capacity for
the clay immobilizes the iron ions quickly, there is fur-
different clay types are given in Table 3.6. These val-
ther solution from the metal tube, and the process con-
ues represent the amount of exchangeable cations that
tinues. The result is that after some weeks or months,
can be replaced easily by leaching with a solution con-
the clay in contact with the sample tube is altered and
taining other dissolved cations of higher replacing
no longer representative of the in situ material from
power than the adsorbed cation. The manner in which
which it was taken. Stainless steel, brass, or plastic
cations are held by clay particles was illustrated in Fig.
tube liners are often used to minimize the corrosive
6.14.
process; however, they are usually not effective over
long time periods.
Cation Replaceability Attempts to prepare hydrogen clay in which the
Cations of one type can replace cations of another exchange sites are filled with hydrogen ions have been
type. For example, Ca2⫹ may replace Na⫹, Na⫹ can unsuccessful. The resulting material is more similar to
replace Ca2⫹, Fe3⫹ can replace Mg2⫹, and so forth, clay containing di- or trivalent cations than monovalent
depending on the conditions. The ease of replacement cations. The reason is that after preparation of the hy-
depends mainly on the valence, relative abundance of drogen clay, aluminum ions move from octahedral lat-
the different ion types, and ion size. Other things equal, tice positions and displace the hydrogen ions from the
trivalent cations are held more tightly than divalent cat- exchange sites, thus producing aluminum clay.
ions, and divalent cations are held more tightly than The selectivity of clay surfaces for different ions in
mixed-ion systems is temperature dependent. For ex-
ample, the composition of the interstitial waters of a
10
See Chapter 3 for definition and discussion of isomorphous sub- clayey marine sediment was altered as a result of a
stitution. change in temperature from 5C at the ocean bottom
SOIL–INORGANIC CHEMICAL INTERACTIONS 167
to 22.5C in the laboratory (Bischoff et al., 1970). The A useful practical form of the Gapon equation is
free pore water concentrations of potassium and chlo-
rine were increased by 13 and 1.4 percent, respectively,
whereas magnesium and calcium concentrations were
depleted by 2.4 and 4.9 percent. The proportions of
冉 Na⫹
Ca2⫹ ⫹ Mg2⫹ 冊冋
S
⫽k
[(Ca2⫹
Na⫹
⫹ Mg2⫹)/2]1/2册 e
these constituents in the exchange complex must have (6.32)

changed in the opposite direction. In another case, the
interstitial silica concentration in water squeezed from in which concentrations are in milliequivalents per li-
a marine sediment was 51 percent higher after warm- ter. The quantity
ing to a temperature 20C above the in situ value, and
the pH was slightly increased (Fanning and Pilson,
1971). Testing should be done at in situ temperatures 冋 [(Ca2⫹
Na⫹
⫹ Mg2⫹)/2]1/2 册
e
⫽ SAR (meq/liter)1/2
if in situ conditions are to be maintained and represen-
(6.33)
tative property values are to be measured.
is termed the sodium adsorption ratio (SAR). The SAR
6.15 THEORIES FOR ION EXCHANGE can be determined by chemical analysis of the pore
water. The selectivity constant k is about 0.017 for a
Development of generally applicable quantitative the- range of arid zone soils. Thus, if the composition of
ories for equilibrium concentrations and the rate of ion the pore fluid is known, the relative amounts of mon-
exchange is difficult because of the great complexity ovalent and divalent ions in the adsorbed cation com-
of the system and the large number of variables in- plex can be estimated. Bruggenwert and Kamphorst
volved. Theoretical approaches have included appli- (1979) provide data on the exchange properties and
cation of the mass law, kinetic theory, double-layer selectivity coefficients for a large number of clays.
theory, and molecular dynamics. Some publications in The proportion of sodium in the adsorbed layer has
soil and clay chemistry that present detailed thermo- an important influence on the structural status of a soil
dynamic and physicochemical treatment of the subject and can be described in terms of the exchangeable so-
include Townsend (1984), Laudelout (1987), McBride dium percentage (ESP), defined by
(1989), and Sposito (1989).
For mixed cations of the same valence, the ratio of (Na⫹)S
counterion concentrations in the double layer is not the ESP ⫽ ⫻ 100 (6.34)
total exchange capacity
same as in the equilibrium solution because of differ-
ences in ion size and specific interaction energies. The ESP and the SAR are good indicators of the
These differences are responsible for different posi- stability of clay soil structure to breakdown and par-
tions of the monovalent cations in the replaceability ticle dispersion, at least for nonmarine clays. Soils with
series given earlier. ESP greater than about 2 percent may be susceptible
In systems containing both monovalent and divalent to spontaneous dispersion in water and behave as dis-
cations, the ratio of divalent to monovalent cations is persive clays, as discussed in Section 8.14.
much higher in the adsorbed layer than in the equilib- The ESP and the SAR are uniquely related for most
rium solution. The Gapon equation is useful for esti- soils, as can be seen from manipulation of Eqs. (6.33)
mating the proportions of monovalent and divalent and (6.34) and from the test data shown in Fig. 6.19.
ions, except in highly acid soils. If subscript s refers Since the SAR is more easily determined than the ESP,
to the exchange complex of the soil, subscript e refers it is more widely used in practice.
to the equilibrium solution, M and N are monovalent
cation concentrations, and P refers to the concentration
of divalent ions, then 6.16 SOIL–INORGANIC CHEMICAL
冉冊冉冊
INTERACTIONS
M⫹ M⫹
⫽ k1 (6.30)
N⫹ S
N⫹ e
The preceding sections of this chapter focus on the
冉冊冋册
interactions of water with soil particle surfaces and on
M⫹ M⫹ the forces between small soil particles in the presence
⫽ k2 (6.31)
P2⫹ S
(P2⫹)1/2 e of water and electrolytes. The phenomena described
have little or no effect on the soil particles themselves.
where k1 and k2 are selectivity constants, which must Nonetheless, the consequences of these interactions,
be determined experimentally. for example, flocculation, dispersion, swelling, shrink-
• Organic matter is reactive in high and low pH en-

vironments.
The magnitudes and rates of these reactions are of-
ten central to the evaluation of their geotechnical im-
portance; however, our knowledge and ability to
predict them well are limited. More details about some
of them and their geotechnical consequences are given
throughout this book.
6.17 CLAY–ORGANIC CHEMICAL

INTERACTIONS
Clay–organic chemical reactions occur in many forms
and are important in agriculture, petroleum engineer-
ing, the technology of drilling fluids, the stability con-
trol of clay suspensions, the manufacture of lubricants,
Figure 6.19 Correlation between exchangeable sodium per- and even the origins and development of life itself.
centage and sodium adsorption ratio. Reprinted from Sherard Clay–organic chemical interactions are important in
et al. (1972) with permission of ASCE. geotechnical and geoenvironmental engineering in
such problems as the migration, containment, and
cleanup of toxic wastes; the influences of organics of
age, and plasticity, are fundamental to virtually all as- various types on physical properties; geomicrobiolog-
pects of soil behavior, as illustrated by the discussions ical phenomena; and soil grouting and soil stabilization
and illustrations throughout this book. using organic compounds and polymers.
In addition, exposure of soil materials to some in- Organic materials interact with clays by (1) adsorp-
organic chemicals can initiate a variety of processes tion on particle surfaces, for example, by hydrogen
that cause reactions and alterations of the particles and bonds, (2) ion exchange, (3) attraction of large organic
other constituents of the soil mass. molecules to clay surfaces by van der Waals forces,
Among these reactions are: and (4) intercalation (Lagaly, 1984). Intercalation is
the entry of organic molecules between silicate layers.
• Acids dissolve carbonates, iron oxides, and the Adsorption of organic compounds on clay surfaces in
alumina octahedral layers of clay mineral. The use aqueous systems depends on the available surface and
of hydrochloric acid for identification of carbonate the ability of the organic molecules to displace water
minerals by observation of a rapid effervescence molecules that would otherwise be adsorbed. Cationic
reaction is standard practice. organics can exchange for inorganic adsorbed cations;
• Bases can break down silicate minerals. The cre- however, if the organic cation is larger than the cation
ation of a high pH environment (pH of 12.4 or site, then all exchangeable cations cannot be displaced.
greater) is essential to the effectiveness of lime Attraction of large organic molecules to clay surfaces
[CaO or Ca(OH)2] stabilization of clays by means by van der Waals forces may contribute to the total
of pozzolanic reactions wherein calcium–silicate– amount of organics held (Raussell-Colom and Serra-
hydrate cementing materials are formed using sil- tosa, 1987).
icate from the broken down clay minerals. If sul- The most important properties of organic molecules
fates are present, highly expansive minerals may relative to their interactions with clays are their polar-
form, as well. ity, polarizability, solubility, size, and shape. Because
• Oxidation of sulfides, especially pyrite, leads to of the many types of clays and the range of physical
formation of sulfuric acid that, in turn, can break and chemical environments in which they are found
down some rock minerals and generate gas. and the almost limitless number of different organic
• Reduction of sulfates creates an alkaline environ- compounds, clay–organic chemical interactions are
ment and, among other things, this is important in both numerous and complex. Many of these interac-
the formation of quick clay (see Section 8.11). tions are described by Lagaly (1984), Raussell-Colom
• Iron oxidation and reduction reactions are impor- and Serratosa (1987), Oades (1989), and Sposito
tant in the formation and dissolution of iron par- (1989). Yariv (2002) provides a comprehensive and de-
ticle coatings and iron oxide precipitates. tailed overview of organoclay interactions. House
(1998) discusses interactions of nonvolatile microor- both temperature and composition of the free water,
ganic pollutants with clays in the near-surface environ- and as mechanical properties are influenced by the ad-
ment. Jackson (1998) describes interactions between sorbed ion types, controls on laboratory testing con-
heavy metals, colloids, complexing agents, and organ- ditions are needed if properties that properly mirror
isms. those in situ are to be obtained.
Organically modified clays are available that can be Understanding the colloidal and ion exchange prop-
used for a variety of applications, including waste sta- erties of clays is crucial for the appropriate usage of
bilization, water purification, oil and hydrocarbon spill clays in waste containment barrier systems. Both the
control, and landfill liners. Organophilic clays, most ion exchange and structural stability properties are im-
commonly composed of bentonite, are manufactured portant, as ion exchange determines the adsorption and
by attaching an organic compound to the clay by an desorption of different chemicals and the structural
ion exchange reaction. The modified clay can act as an status controls the hydraulic conductivity and strength.
adsorbent for other organic compounds with which it Potential changes over times of several tens of years
comes into contact. The science and technology of are important in safe storage of hazardous waste; times
these materials are described by Alther et al. (1988) of several tens of thousands of years are of concern in
and Stockmeyer (1990). safe storage of nuclear waste. Reliable assessment of
the long-term stability of clay–water–electrolyte sys-
tems when used in these applications is one of the most
6.18 CONCLUDING COMMENTS challenging current geotechnical problems.
Water is strongly adsorbed by clay minerals, and this
has important consequences as regards almost all as-
pects of soil behavior. The energy status of adsorbed QUESTIONS AND PROBLEMS
water is different than that of normal water, and this
can influence measured pore pressures, be responsible 1. What is likely to happen in response to the follow-
for time-dependent changes in water structure, and in- ing actions? Why?
fluence physical properties. These effects are consid- a. Sodium hydroxide is added to a suspension of
ered further in subsequent chapters. flocculated kaolinite particles.
The viscosity and diffusion properties of adsorbed b. Hydrochloric acid is added to a suspension of
water in clays are essentially the same as those for bulk dispersed kaolinite particles.
water. This means that linear flux–force relationships c. A dispersed suspension of kaolinite in water is
for analysis of flow problems, such as Darcy’s law for dumped into seawater.
hydraulic flow and Fick’s law for chemical diffusion, d. Water is mixed with dry bentonite.
should be applicable even in high plasticity clays.
e. Kerosene is mixed with dry bentonite.
Understanding the colloidal behavior of clays gives
insight into flocculation–deflocculation phenomena in f. Water is added and mixed with a previously
suspensions, swelling behavior, and the structure and mixed bentonite–kerosene mixture.
structural stability of fine-grained soils. It provides a g. Kerosene is added and mixed with a bentonite–
basis for predicting the effects of changes in pore so- water paste.
lution chemistry on engineering properties. These ap- h. Stiff clay consisting primarily of smectite is ex-
plications are developed more fully in later chapters of posed by excavation and given access to rain-
this book. water.
Some methods of soil stabilization using admixtures i. The same stiff clay as in part (h) is exposed by
depend, at least in part, on ion exchange and changes excavation and given access to saltwater.
in diffuse layer interactions to alter interparticle forces j. A dispersant chemical, for example, a sodium
and particle arrangements. One example is the use of polyphosphate, is mixed with a sandy clay prior
dispersing chemicals to produce deflocculated, dis- to compaction for use in the core of an earth
persed particle arrangements and a high density to en- dam.
sure a low hydraulic conductivity. Another is the use
k. If the dam core in part (j) is well compacted,
of a flocculating chemical to give a higher strength or
what are the likely consequences if the dis-
a more open particle arrangement to facilitate drainage.
persing chemical is subsequently leached out
Ion exchange reactions are important in determining
by reservoir seepage through the core?
properties and stability control of clays used in slurry
walls. As the composition of the exchange complex 2. Are changes in pH likely to have a greater effect
relative to that of the free pore water is influenced by on a suspension of smectite or kaolinite? Why?
3. Assume that a clay–water–electrolyte system be- b. Estimate the water content of sodium kaolinite
haves in accordance with the assumptions of the in the same solution.
Gouy–Chapman theory. Show the effects of c. On the basis of the values obtained in parts (a)
changes in the following on diagrams of (1) cation and (b) draw a conclusion about the probable
and anion concentration as a function of distance importance of double-layer interactions in the
from a negatively charged particle surface and (2) compression and swelling of kaolinite and
electrical potential as a function of distance from montmorillonite. What mechanisms other than
surface: double-layer interactions can resist compres-
a. Ionic concentration in the pore solution sion under applied stress?
b. Valence of adsorbed cation 8. If a direct current electric field is placed across
c. Dielectric constant of the pore fluid saturated soft clay, what might happen?
d. pH 9. If a direct current electric field is placed across a
e. Temperature dispersion of clay particles in water, what might
f. Anion adsorption happen?
4. Indicate whether increases in each of the following 10. Which, if either, should be most affected by ex-
characteristics of the pore water of a fine-grained posure to chemicals when used as a waste con-
soil will promote flocculation or deflocculation of tainment barrier: (1) a bentonite slurry wall or (2)
a compacted clay liner? Why?
a clay suspension. Justify each answer either an-
alytically or by a clear statement of cause and ef- 11. Are marine clays likely to behave as dispersive
fect. clays? Why?
a. Electrolyte concentration 12. Tests on a clay indicate the following properties:
b. Cation valence
c. pH of the pore water Cation exchange capacity ⫽ 50 meq/100 g
d. Dielectric constant Specific gravity of solids ⫽ 2.70
5. Should changes in pore water chemistry have Specific surface ⫽ 250 m2 /g
greater influence on the properties of clay at water
Water content ⫽ 50 percent
content near the liquid limit or the plastic limit?
Why? Degree of saturation ⫽ 100 percent
6. Estimate the electrical potential at the surface of
a. What is the average interparticle spacing?
an illite clay particle suspended in (1) freshwater
b. If ferrous iron is the exchangeable cation, what
and (2) seawater assuming that the assumptions of
percentage of the dry soil weight is attributable
the Gouy–Chapman theory of the double layer ap-
to exchangeable iron?
ply. The cation exchange capacity of the clay is
25 meq/100 g. There are 500 ppm of salt dis- Atomic weight of iron ⫽ 56
solved in the freshwater, which may all be as-
sumed to be NaCl for this analysis. The specific Valence of ferrous iron ⫽ 2
surface area of the clay is 80 m2 /g. The exchange- Atomic number of iron ⫽ 26
able cation on the clay is sodium. Assume that the
dielectric constant of the solution is 80 and that c. Would you expect this clay to be dispersive? If
T ⫽ 15C. not, what transformations might make it be-
7. Do the following: come dispersive?
a. Estimate the water content of sodium mont- 13. Consider undisturbed normally consolidated, sat-
morillonite when it contains 0.01 M NaCl urated, soft, illitic marine clay. Indicate the prob-
solution, and the amount of solution present is able effects of each of the following changes: (1)
sufficient to provide a water layer thickness on decrease pore water salt content, (2) disturbance
particle surfaces equal to the double-layer and remolding, and (3) ion exchange to Ca2⫹ on
‘‘thickness’’ of 1/K. Assume the dielectric con- the following:
stant of solution is 80 and the temperature is a. Strength
20C. b. Liquid limit
c. Permeability 15. Present evidence indicates that the viscosity of wa-
d. Sensitivity ter in clays is not influenced by the attraction of
e. Void ratio under constant effective stress the water molecules to the clay surface, that is, the
viscosity of free water and adsorbed water should
The probable effects should be indicated as I for be about the same. If this is true, then the flow of
increase, D for decrease, or N for negligible. Give water through a clay pore should be Newtonian,
reasons for your choices. that is, the velocity of flow will be directly pro-
14. Compounds such as sodium hydroxide and sodium portional to the driving force. Given that the hy-
polyphosphates are frequently used as dispersing draulic gradient is a direct measure of the driving
agents in soil testing laboratories. Compounds force, it would seem to follow that Darcy’s law
such as calcium chloride and hydrochloric acid are should always be obeyed. There are situations,
normally used as flocculating agents to accelerate however, where measurements have indicated that
sedimentation of clay suspensions. Indicate the this is not true, and the flow rate has been found
mechanisms responsible for the effectiveness of to vary with gradient and/or time. What are some
each of these chemicals. possible causes of this behavior?
CHAPTER 7
Effective, Intergranular, and

Total Stress
7.1 INTRODUCTION phases (usually water and air) can carry normal stress
but not shear stress. Furthermore, whenever the total
The compressibility, deformation, and strength prop- head in the fluid phases within the soil mass differs
erties of a soil mass depend on the effort required to from that outside the soil mass, there will be fluid flow
distort or displace particles or groups of particles rel- into or out of the soil mass until total head equality is
ative to each other. In most engineering materials, reached.
resistance to deformation is provided by internal In this chapter, the relationships between stresses in
chemical and physicochemical forces of interaction a soil mass are examined with particular reference to
that bond the atoms, molecules, and particles together. stress carried by the assemblage of soil particles and
Although such forces also play a role in the behavior stress carried by the pore fluid. Interparticle forces of
of soils, the compression and strength properties de- various types are examined, the nature of effective
pend primarily on the effects of gravity through self stress is considered, and physicochemical effects on
weight and on the stresses applied to the soil mass. pore pressure are analyzed.
The state of a given soil mass, as indicated, for ex-
ample, by its water content, structure, density, or void
ratio, reflects the influences of stresses applied in the
past, and this further distinguishes soils from most 7.2 PRINCIPLE OF EFFECTIVE STRESS
other engineering materials, which, for practical pur- The principle of effective stress is the keystone of
poses, do not change density when loaded or unloaded. modern soil mechanics. Development of this principle
Because of the stress dependencies of the state, a was begun by Terzaghi about 1920 and extended for
given soil can exhibit a wide range of properties. For- several years (Skempton, 1960a). Historical accounts
tunately, however, the stresses, the state, and the prop- of the development are described in Goodman (1999)
erties are not independent, and the relationships and de Boer (2000). A lucid statement of the principle
between stress and volume change, stress and stiffness, was given by Terzaghi (1936) at the First International
and stress and strength can be expressed in terms of Conference on Soil Mechanics and Foundation Engi-
definable soil parameters such as compressibility and neering. He wrote:
friction angle. In soils with properties that are influ-
enced significantly by chemical and physicochemical The stresses in any point of a section through a mass of
forces of interaction, other parameters such as cohe- soil can be computed from the total principal stresses, 1,
sion may be needed. 2, 3, which act in this point. If the voids of the soil are
filled with water under a stress u, the total principal
Most problems involving volume change, deforma-
stresses consist of two parts. One part, u, acts in the water
tion, and strength require separate consideration of the and in the solid in every direction with equal intensity. It
stress that is carried by the grain assemblage and that is called the neutral stress (or the pore water pressure).
carried by the fluid phases. This distinction is essential The balance 1 ⫽ 1 ⫺ u, 2 ⫽ 2 ⫺ u, and 3 ⫽ 3 ⫺
because an assemblage of grains in contact can resist u represents an excess over the neutral stress u, and it has
both normal and shear stress, but the fluid and gas its seat exclusively in the solid phase of the soil.
173
174 7 EFFECTIVE, INTERGRANULAR, AND TOTAL STRESS
This fraction of the total principal stresses will be called ticle forces in a soil mass. Interparticle forces at the
the effective principal stresses . . . . A change in the neutral microscale can be separated into the following three
stress u produces practically no volume change and has categories (Santamarina, 2003):
practically no influence on the stress conditions for failure
. . . . Porous materials (such as sand, clay, and concrete) 1. Skeletal Forces Due to External Loading These
react to a change of u as if they were incompressible and forces are transmitted through particles from the
as if their internal friction were equal to zero. All the meas- forces applied externally [e.g., foundation load-
urable effects of a change of stress, such as compression,
distortion and a change of shearing resistance are exclu-
ing) (Fig. 7.1a)].
sively due to changes in the effective stresses 1, 2 and 2. Particle Level Forces These include particle
3. Hence every investigation of the stability of a saturated weight force, buoyancy force when a particle is
body of soil requires the knowledge of both the total and submerged under fluid, and hydrodynamic forces
the neutral stresses. or seepage forces due to pore fluid moving
through the interconnected pore network (Fig.
In simplest terms, the principle of effective stress 7.1b).
asserts that (1) the effective stress controls stress– 3. Contact Level Forces These include electrical
strain, volume change, and strength, independent of the forces, capillary forces when the soil becomes
magnitude of the pore pressure, and (2) the effective unsaturated, and cementation-reactive forces (Fig.
stress is given by ⫽ ⫺ u for a saturated soil.1 7.1c).
There is ample experimental evidence to show that
these statements are essentially correct for soils. The When external forces are applied, both normal and
principle is essential to describe the consolidation of a tangential forces develop at particle contacts. All par-
liquid-saturated deformable porous solid, as was done ticles do not share the forces or stresses applied at the
for the one-dimensional case by Terzaghi and further boundaries in equal manner. Each particle has different
developed for the three-dimensional case by others skeletal forces depending on the position relative to the
such as Biot (1941). It is also an essential concept for neighboring particles in contact. The transfer of forces
the understanding of soil liquefaction behavior during through particle contacts from external stresses was
earthquakes. shown in Fig. 5.15 using a photoelastic model. Strong
The total stress can be directly measured or com- particle force chains form in the direction of major
puted using the external forces and the body force due principal stress. The evolution and distribution of in-
to weight of the soil–water mixture. A pore water pres- terparticle skeletal forces in soils govern the macro-
sure, denoted herein by u0, can be measured at a point scopic stress–strain behavior, volume change, and
remote from the interparticle zone. The actual pore wa- strength. As the soil approaches failure, buckling of
ter pressure in the interparticle zone is u. We know particle force chains occurs and shear bands develop
that at equilibrium the total potential or head of the due to localization of deformation. Further discussion
water at the two points must be equal, but this does of microbehavior in relation to deformation and
not mean that u ⫽ u0, as discussed in Section 7.7. The strength is given in Chapter 11.
effective stress is a deduced quantity, which in practice Particle weights act as body forces in dry soil and
is taken as ⫽ ⫺ u0. contribute to skeletal forces, observed in the photo-
elastic model shown in Fig. 5.15. When the pores are
filled with fluids, the weight of the fluids adds to the
7.3 FORCE DISTRIBUTIONS IN A body force of the soil–fluids mixture. However, hydro-
PARTICULATE SYSTEM static pressure results from the fluid weight, and the
uplift force due to buoyancy reduces the effective
The term intergranular stress has become synonymous weight of a fluid-filled soil. This leads to smaller skel-
with effective stress. Whether or not the intergranular etal forces for submerged soil compared to dry soil.
stress i is indeed equal to ⫺ u cannot be ascertained Seepage forces that result from additional fluid pres-
without more detailed examination of all the interpar- sures applied externally produce hydrodynamic forces
on particles and alter the skeletal forces.
1
The terms and are the principal total and effective stresses.
For general stress conditions, there are six stress components (11, 7.4 INTERPARTICLE FORCES
22, 33, 12, 23, and 31), where the first three are the normal stresses
and the latter three are the shear stresses. In this case, the effective
stresses are defined as 11 ⫽ 11 ⫺ u, 22 ⫽ 22 ⫺ u, 33 ⫽ 33 ⫺ Long-range particle interactions associated with elec-
u, 12 ⫽ 12, 23
⫽ 23, and 31
⫽ 31. trical double layers and van der Waals forces are dis-
INTERPARTICLE FORCES 175
External Load Body Force

Buoyancy Force
if Saturated
Viscous Drag by
Seepage Flow
Interparticle Capillary Force or

Forces Cementation-reactive
Force
Interparticle
Forces
Seepage Electrical Forces
(a) (b) (c)
Figure 7.1 Interparticle forces at the particle level: (a) skeletal forces by external loading,
(b) particle level forces, and (c) contact level forces (after Santamarina, 2003).
cussed in Chapter 6. These interactions control the layers of water when clay plates are pressed together
flocculation–deflocculation behavior of clay particles may be 0.05 to 0.1 J/m2. The corresponding pressure
in suspension, and they are important in swelling soils required to squeeze out one molecular layer of water
that contain expanding lattice clay minerals. In denser may be as much as 400 MPa (4000 atm) (van Olphen,
soil masses, other forces of interaction become impor- 1977).
tant as well since they may influence the intergranular Thus, pressure alone is not likely to be sufficient to
stresses and control the strength at interparticle con- squeeze out all the water between parallel particle sur-
tacts, which in turn controls resistance to compression faces in naturally occurring clays. Heat and/or high
and strength. In a soil mass at equilibrium, there must vacuum are needed to remove all the water from a fine-
be a balance among all interparticle forces, the pres- grained soil. This does not mean, however, that all the
sure in the water, and the applied boundary stresses. water may not be squeezed from between interparticle
contacts. In the case of interacting particle corners,
Interparticle Repulsive Forces edges, and faces of interacting asperities, the contact
stress may be several thousand atmospheres because
Electrostatic Forces Very high repulsion, the Born
the interparticle contact area is only a very small pro-
repulsion, develops at contact points between particles.
portion (⬍⬍ 1%) of the total soil cross-sectional area
It results from the overlap between electron clouds,
in most cases. The exact nature of an interparticle con-
and it is sufficiently great to prevent the interpenetra-
tact remains largely a matter for speculation; however,
tion of matter.
there is evidence (Chapter 12) that it is effectively solid
At separation distances beyond the region of direct
to solid.
physical interference between adsorbed ions and hy-
Hydration repulsions decay rapidly with separation
dration water molecules, double-layer interactions pro-
distance, varying inversely as the square of the dis-
vide the major source of interparticle repulsion. The
tance.
theory of these forces is given in Chapter 6. As noted
there, this repulsion is very sensitive to cation valence,
Interparticle Attractive Forces
electrolyte concentration, and the dielectric properties
of the pore fluid. Electrostatic Attractions When particle edges and
Surface and Ion Hydration The hydration energy surfaces are oppositely charged, there is attraction due
of particle surfaces and interlayer cations causes large to interactions between double layers of opposite sign.
repulsive forces at small separation distances between Fine soil particles are often observed to adhere when
unit layers (clear distance between surfaces up to about dry. Electrostatic attraction between surfaces at differ-
2 nm). The net energy required to remove the last few ent potentials has been suggested as a cause. When the
gap between parallel particle surfaces separated by dis- There is also an increase in resistance to tangential
tance d at potentials V1 and V2 is conductive, there is force at particle contacts. However, when the bond
an attractive force per unit area, or tensile strength, breaks, the shear capacity at a contact reduces to that
given by (Ingles, 1962) of the uncemented contacts.
An analysis of the strength of cemented bonds
4.4 ⫻ 10⫺6 (V1 ⫺ V2)2 should consider three cases: (i) failure in the cement,
F⫽ N/m2 (7.1) (ii) failure in the particle and (iii) failure at the ce-
d2
ment–particle interface. The following equation can be
derived (Ingles, 1962) for the tensile strength T per
where F is the tensile strength, d is in micrometers, unit area of soil cross section:
and V1 and V2 are in millivolts. This force is indepen-
dent of particle size and becomes significant (greater
than 7 kN/m2 or 1 psi) for separation distances less
than 2.5 nm.
T ⫽ Pk 冉冊冘
1
1⫹e n
n
Ai
(7.2)
Electromagnetic Attractions Electromagnetic at- 1
tractions caused by frequency-dependent dipole inter-

actions (van der Waals forces) are described in Section where P is the bond strength per contact zone, k is the
6.12. Anandarajah and Chen (1997) proposed a method mean coordination number of a grain, e is the void
to quantify the van der Waals force between particles ratio, n is the number of grains in an ideal breakage
specifically for fine-grained soils with various geomet- plane at right angles to the direction of T, and Ai is
ric parameters such as particle length, thickness, ori- the total surface area of the ith grain.
entation, and spacing. For a random and isotropic assembly of spheres of
Primary Valence Bonding Chemical interactions diameter d, Eq. (7.2) becomes
between particles and between the particles and adja-
cent liquid phase can only develop at short range. Co- Pk
T ⫽ (7.3)
valent and ionic bonds occur at spacings less than 0.3 d (1 ⫹ e)
2
nm. Cementation involves chemical bonding and can

be considered as a short-range attraction. For a random and isotropic assembly of rods of length
Whether primary valence bonds, or possibly hydro- l and diameter d
gen bonds, can develop at interparticle contacts with-
out the presence of cementing agents is largely a Pk
matter of speculation. Very high contact stresses be- T ⫽ (7.4)
d(l ⫹ d/2)(1 ⫹ e)
tween particles could squeeze out adsorbed water and
cations and cause mineral surfaces to come close to- Bond strength P is evaluated in the following way (Fig.
gether, perhaps providing opportunity for cold weld- 7.2) for two cemented spheres of radius R. It may be
ing. The activation energy for soil deformation is high, shown that
in the range characteristic for rupture of chemical
bonds, and strength behavior appears in reasonable
(R ⫺ cos )
conformity with the adhesion theory of friction (Chap- cosh ⫽ R sin (7.5)
ter 11). Thus, interatomic bonding between particles
seems possible. On the other hand, the absence of co-
hesion in overconsolidated silts and sands argues so for known , can be computed. Then, for cement
against such pressure-induced bonding. failure,
Cementation Cementation may develop naturally
from precipitation of calcite, silica, alumina, iron ox- P ⫽ c ⫻ 2 (7.6)
ides, and possibly other inorganic or organic com-
pounds. The addition of stabilizers such as cement and where c is the tensile strength of the cement; for
lime to a soil also leads to interparticle cementation. If sphere failure,
two particles are not cemented, the interparticle force
cannot become tensile; they loose contact. However, if P ⫽ s ⫻ ()2 (7.7)
a particle contact is cemented, it is possible for some
interparticle forces to become negative due to the ten- where ⫽ R sin , and s is the tensile strength of
sile resistance (or strength) of the cemented bonds. the sphere, and for failure at the interface
INTERPARTICLE FORCES 177
mented natural materials, if the soil is unloaded from
high overburden stress, elastic rebound may disrupt ce-
mented bonds.
Cementation allows interparticle normal forces to
become negative, and, therefore, the distribution and
evolution of skeletal forces may be different than in
uncemented soils, even though the applied external
stresses are the same. Thus, the stiffness and strength
properties of a soil are likely to differ according to
when and how cementation was developed. How to
account for this in terms of effective stress is not yet
clear.
Capillary Stresses Because water is attracted to
soil particles and because water can develop surface
tension, suction develops inside the pore fluid when a
saturated soil mass begins to dry. This suction acts like
a vacuum and will directly contribute to the effective
stress or skeletal forces. The negative pore pressure is
usually considered responsible for apparent and tem-
porary cohesion in soils, whereas the other attractive
forces produce true cohesion.
When the soil continues to dry, air starts to invade
into the pores. The air entry pressure is related to the
pore size and can be estimate using the following equa-
tion, assuming a capillary tube as shown in Fig. 7.3a:
Figure 7.2 Contact zone failures for cemented spheres. 2aw cos
P̂c ⫽ (7.9)
rp
sin where P̂c is the capillary pressure at air entry, aw is

P ⴖ ⫽ 1 ⫻ ⫻ 2R2(1 ⫺ cos ) (7.8) the air–water interfacial tension, is contact angle de-

fined in Fig. 7.3, and rp is the tube radius. For pure
water and air, aw depends on temperature, for exam-
where 1 is the tensile strength of the interface bond. ple, it is 0.0756 N/m at 0C, 0.0728 N/m at 20C, and
In principle, Eq. (7.6), (7.7), or (7.8) can be used to 0.0589 N/m at 100C. If the capillary pressure Pc
obtain a value for P in Eq. (7.2) enabling computation (⫽ ua ⫺ uw, where ua and uw are the air and water
of the tensile strength T of a cemented soil. pressures, respectively) is larger than P̂c, then air in-
The behavior of cemented soils can depend on the vades the pore.2 Since soil has pores with various sizes,
timing of cementation development. Artificially ce- the water in the largest pores is displaced first followed
mented soils are often loaded after cementation has by smaller pores. This leads to a macroscopic model
developed, whereas cementation develops during or af- of the soil–water characteristic curve (or the capillary
ter overburden loading in natural soils. In the former pressure–saturation relationship), as discussed in Sec-
case, the particles and cementation bonding are loaded tion 7.11.
together and contact forces can become negative de- If the water surrounding the soil particles remains
pending on the tensile resistance of cementation bond- continuous [termed the ‘‘funicular’’ regime by Bear
ing. The distribution and magnitude of skeletal forces (1972)], the interparticle force acting on a particle with
are therefore influenced by both geometric arrange- radius r can be estimated from
ment of particles and the cementation bonding at the
particle contacts. In the latter case, on the other hand,
the contact forces induced by external loading are de-
veloped before cementation coats the already loaded
2
It is often assumed that ua ⫽ 0 (for gauge pressure) or 1 atm (for
absolute pressure). However, this may not be true in cases such as
particles. In this case, it is possible that cementation rapid water infiltration when air in the pores cannot escape or the air
creates extra forces at particle contacts. In some ce- boundary is completely blocked.
Capillary Tube
Representing a Pore
2 rp
θ
ua
^ 2σaw cosθ
uw Pc = ρw gdc = rp
dc
(a) (b)
Figure 7.3 Capillary tube concept for air entry estimation: (a) capillary tube and (b) bundle
of capillary tubes to represent soil pores with different sizes.
2 r 2 aw cos teractions of all these forces in a soil is beyond the

Fc ⫽ r 2 Pˆ c ⫽ (7.10) present state of knowledge. Nonetheless, their exis-
rp
tence bears directly on the magnitude of intergranular
where rp is the size of the pore into which the air has pressure and the relationship between intergranular
entered. Since the fluid acts like a membrane with neg- pressure and effective stress as defined by ⫽
ative pressure, this force contributes directly to the ⫺ u.
skeletal forces like the water pressure as shown in Fig. A simplified equation for the intergranular stress in
7.4a. a soil may be developed in the following way. Figure
As the soil continues to dry, the water phase be- 7.5 shows a horizontal surface through a soil at some
comes disconnected and remains in the form of me- depth. Since the stress conditions at contact points,
nisci or liquid bridges at the interparticle contacts rather than within particles, are of primary concern, a
[termed the ‘‘pendular’’ regime by Bear (1972)]. The wavy surface that passes through contact points (Fig.
curved air–water interface produces a pore water ten- 7.5a) is of interest. The proportion of the total wavy
sion, which, in turn, generates interparticle compres- surface area that is comprised of intergrain contact area
sive forces. The force only acts at particle contacts in is very small (Fig. 7.5c).
contrast to the funicular regime, as shown in Fig. 7.4b. The two particles in Fig. 7.5 that contact at point A
The interparticle force generally depends on the sep- are shown in Fig. 7.6, along with the forces that act in
aration between the two particles, the radius of the liq- a vertical direction. Complete saturation is assumed.
uid bridge, interfacial tension, and contact angle (Lian Vertical equilibrium across wavy surface x–x is con-
et al., 1993). Once the water phase becomes discontin- sidered.3 The effective area of interparticle contact is
uous, evaporation and condensation are the primary ac; its average value along the wavy surface equals the
mechanisms of water transfer. Hence, the humidity of total mineral contact area along the surface divided by
the gas phase and the temperature affect the water va- the number of interparticle contacts. Define area a as
por pressure at the surface of water menisci, which in
turn influences the air pressure ua.
3
Note that only vertical forces at the contact are considered in this
simplified analysis. It is evident, however, that applied boundary nor-
mal and shear stresses each induce both normal and shear forces at
7.5 INTERGRANULAR PRESSURE interparticle contacts. These forces contribute both to the develop-
ment of soil strength and resistance to compression and to the slip-
ping and sliding of particles relative to each other. These interparticle
Several different interparticle forces were described in movements are central to compression, shear deformations, and creep
the previous section. Quantitative expression of the in- as discussed in Chapters 10, 11, and 12.
INTERGRANULAR PRESSURE 179
Continuous
Water Film
Interparticle
Forces
Soil Particles
Soil Particles
Air
Liquid
Bridges
Pores of Radius
rp Filled with Air
Suction forces act only at particle
contacts and the magnitude of the
Negative pore pressure acts all forces depends on the size of liquid
around the particles bridges.
(a) (b)
Figure 7.4 Microscopic water–soil interaction in unsaturated soils: (a) funicular regime and
(b) pendular regime.
Figure 7.6 Forces acting on interparticle contact A.
the average total cross-sectional area along a horizontal

plane served by the contact. It equals the total hori-
zontal area divided by the number of interparticle con-
tacts along the wavy surface. The forces acting on area
a in Fig. 7.6 are:
1. a, the force transmitted by the applied stress ,

which includes externally applied forces and
Figure 7.5 Surfaces through a soil mass. body weight from the soil above.
2. u(a ⫺ ac), the force carried by the hydrostatic where ⫽ aw /a. Although it is clear that for a dry soil
pressure u. Because a ⬎⬎ ac and ac is very small, ⫽ 0, and for a saturated soil ⫽ 1.0, the usefulness
the force may be taken as ua. Long-range, of Eq. (7.15) has been limited in practice because of
double-layer repulsions are included in ua. uncertainties about for intermediate degrees of sat-
3. A(a ⫺ ac) ⬇ Aa, the force caused by the long- uration. Further discussion of the effective stress con-
range attractive stress A, that is, van der Waals cept for unsaturated soils is given in Section 7.12.
and electrostatic attractions. Limiting the discussion to saturated soils, two ques-
4. Aac, the force developed by the short-range at- tions arise:
tractive stress A, resulting from primary valence
(chemical) bonding and cementation. 1. How does the intergranular pressure i relate to
5. Cac, the intergranular contact reaction that is gen- the effective stress as defined for most analyses,
erated by hydration and Born repulsion. that is, ⫽ ⫺ u?
2. How does the intergranular pressure i relate to
Vertical equilibrium of forces requires that the measured quantity, m ⫽ ⫺ u0, that is taken
as the effective stress, recalling (Section 7.2) that
a ⫹ Aa ⫹ Aac ⫽ ua ⫹ Cac (7.11) pore pressure can only be measured at points out-
side the true interparticle zone?
Division of all terms by a converts the forces to
Answers to these questions require a more detailed
stresses per unit area of cross section,
consideration of the meaning of fluid pressures in soils.
ac
⫽ (C ⫺ A) ⫹u⫺A (7.12)
a
7.6 WATER PRESSURES AND POTENTIALS
The term (C ⫺ A)ac /a represents the net force across Pressures in the pore fluid of a soil can be expressed
the contact divided by the total cross-sectional area in several ways, and the total pressure may involve
(soil plus water) that is served by the contact. In other several contributions. In hydraulic engineering, prob-
words, it is the intergrain force divided by the gross lems are analyzed using Bernoulli’s equation for the
area or the intergranular pressure in common soil me- total heads and head losses associated with flow be-
chanics usage. Designation of this term by i gives tween two points, that is,
i ⫽ ⫹ A ⫺ u (7.13) p1 v2 p v2
Z1 ⫹ ⫹ 1 ⫽ Z2 ⫹ 2 ⫹ 2 ⫹ h1–2 (7.16)
w 2g w 2g
Equations analogous to Eqs. (7.11), (7.12), and (7.13)
can be developed for the case of a partly saturated soil.
To do so requires consideration of the pressures in the where Z1 and Z2 are the elevations of points 1 and 2,
water uw and in the air ua and the proportions of area p1 and p2 are the hydrostatic pressures at points 1 and
a contributed by water aw and by air aa with the con- 2, v1 and v2 are the flow velocities at points 1 and 2,
dition that w is the unit weight of water, g is the acceleration due
to gravity, and h1–2 is the loss in head between points
1 and 2. The total head H (dimension L) is
a w ⫹ aa ⫽ a i.e., ac → 0
p v2
The resulting equation is H⫽Z⫹ ⫹ (7.17)
w 2g
aw
i ⫽ ⫹ A ⫺ ua ⫺ (u ⫺ ua) (7.14) Flow results only from differences in total head;
a w
conversely, if the total heads at two points are the
same, there can be no flow, even if Z1 ⫽ Z2 and p1 ⫽
In the absence of significant long-range attractions, p2. If there is no flow, there is no head loss and h1–2
this equation is similar to that proposed by Bishop ⫽ 0.
(1960) for partially saturated soils The flow velocity through soils is low, and as a re-
sult v 2 /2g → 0, and in most cases it may be neglected.
i ⫽ ⫺ ua ⫹ (ua ⫺ uw) (7.15) Therefore, the relationship
WATER PRESSURE EQUILIBRIUM IN SOIL 181
p1 p 1. Gravitational potential g (head Z, pressure pz)
Z1 ⫹ ⫽ Z2 ⫹ 2 ⫹ h1–2 (7.18)
w w corresponds to elevation head in normal hydrau-
lic usage.
is the basis for evaluation of pore pressures and anal- 2. Matrix or capillary potential m (head hm, pres-
ysis of seepage through soils and other porous media. sure p) is the work per unit quantity of water to
Although the absence of velocity terms is a factor transport reversibly and isothermally an infinites-
that seems to simplify the analysis of flows and pres- imal quantity of water to the soil from a pool
sures in soils, there are other considerations that tend containing a solution identical in composition to
to complicate the problem. These include: the soil water at the same elevation and external
gas pressure as that of the point under consider-
1. The use of several terms to describe the status of ation in the soil. This component corresponds to
water in soils, for example, potential, pressure, the pressure head in normal hydraulic usage. It
and head. results from that part of the boundary stresses
2. The possible existence of tensions in the pore wa- that is transmitted to the water phase, from pres-
ter. sures generated by capillarity menisci, and from
3. Compositional differences in the water from water adsorption forces exerted by particle sur-
point-to-point and adsorptive force fields from faces. A piezometer measures the matrix poten-
particle surfaces. tial if it contains fluid of the same composition
4. Differences in interparticle forces and the energy as the soil water.
state of the pore fluid from point to point owing 3. Osmotic (or solute) potential s (head hs, pres-
to thermal, electrical, and chemical gradients. sure ps) is the work per unit quantity of water to
Such gradients can cause fluid flows, deforma- transport reversibly and isothermally an infinites-
tions, and volume changes, as considered in more imal quantity of water from a pool of pure water
detail in Chapter 9. at a specified elevation and atmospheric pressure
to a pool containing a solution identical in com-
Some formalism in definition and terminology is position to the soil water, but in all other respects
necessary to avoid confusion. The status of water in a identical to the reference pool. This component
soil can be expressed in terms of the free energy rel- is, in effect, the osmotic pressure of the soil wa-
ative to free, pure water (Aitchison, et al., 1965). The ter, and it depends on the composition and ability
free energy can be (and is) expressed in different ways, of the soil particles to restrain the movement of
including adsorbed cations. The osmotic potential is nega-
tive, that is, water tends to flow in the direction
1. Potential (dimensions—L2T⫺2: J/kg) of increasing concentration.
2. Head (dimensions—L: m, cm, ft)
3. Pressure (dimensions—ML⫺1 T⫺2: kN/m2, dyn/ The total potential, head, and pressure then become
cm2, tons/m2, atm, bar, psi, psf)
⫽ g ⫹ m ⫹ s (7.19)
If the free energy is less than that of pure water
under the ambient air pressure, the terms suction and H ⫽ Z ⫹ hm ⫹ hs (7.20)
negative pore water pressure are used.
The total potential (head, pressure) of soil water is P ⫽ pz ⫹ p ⫹ ps (7.21)
the potential (head, pressure) in pure water that will
cause the same free energy at the same temperature as At equilibrium and no flow there can be no varia-
in the soil water. An alternative definition of total po- tions in , H, or P within the soil.
tential is the work per unit quantity to transport re-
versibly and isothermally an infinitesimal amount of
pure water from a pool at a specified elevation at at- 7.7 WATER PRESSURE EQUILIBRIUM IN SOIL
mospheric pressure to the point in soil water under
consideration. Consider a saturated soil mass as shown in Fig. 7.7.
The selection of the components of the total poten- Conditions at several points will be analyzed in terms
tial (total head H, total pressure P) is somewhat of heads for simplicity, although potential or pressure
arbitrary (Bolt and Miller, 1958); however, the follow- could also be used with the same result. The system is
ing have gained acceptance for geotechnical work assumed at constant temperature throughout. At point
(Aitchison, et al., 1965): 0, a point inside a piezometer introduced to measure
Figure 7.7 Schematic representation of a saturated soil for analysis of pressure conditions.
pore pressure, Z ⫽ 0, hm ⫽ hm0, and hs0 ⫽ 0 if pure At point 2, which is between the same two clay par-
water is used in the piezometer. Thus, ticles as point 1 but closer to a particle surface, there
will be a different ion concentration than at 1. Thus,
H0 ⫽ 0 ⫹ hm0 ⫹ 0 ⫽ hm0 at equilibrium, and assuming Z2 ⬇ 0,
It follows that u0
hm2 ⫹ hs2 ⫽ hm1 ⫹ hs1 ⫽ hm0 ⫽
w
P0 ⫽ hm0 w ⫽ u0 (7.22)
A similar analysis could be applied to any point in the
system. If point 3 were midway between two clay par-
the measured pore pressure. ticles spaced the same distance apart as the particles
Point 1 is at the same elevation as point 0, except it on either side of point 1, then hs3 ⫽ hs1, but Z3 ⫽ 0.
is inside the soil mass and midway between two clay Thus,
particles. At this point, Z1 ⫽ 0, but hs ⫽ 0 because the
electrolyte concentration is not zero. Thus,
u0
⫽ Z3 ⫹ hm3 ⫹ hs3 ⫽ Z3 ⫹ hm3 ⫹ hs1 (7.24)
w
H1 ⫽ 0 ⫹ hm1 ⫹ hs1
A partially saturated system can also be analyzed,
If no water is flowing, H1 ⫽ H0, and but the influences of curved air–water interfaces must
be taken into account in the development of the hm
hm1 ⫹ hs1 ⫽ hm0 terms.
The conclusions that result from the above analysis
Also, because p1 ⫽ p0 ⫽ u0 of component potentials are:
1. As the osmotic and gravitational components
u0 ⫽ hm1 w ⫹ hs1 w (7.23) vary from point to point in a soil at equilibrium,
MEASUREMENT OF PORE PRESSURES IN SOILS 183
the matrix or capillary component must also vary reach equilibrium, and the suction can be deter-
to maintain equal total potential. The concept that mined by the water content of the filter paper.
hydrostatic pressure must vary with elevation to These techniques are used for measurement of
maintain equilibrium is intuitive; however, the pore pressures less than atmospheric.
idea that this pressure must vary also in response 3. Pressure-Membrane Devices An exposed soil
to compositional differences is less easy to vi- sample is placed on a membrane in a sealed
sualize. Nonetheless, this underlies the whole chamber. Air pressure in the chamber is used to
concept of water flow by chemical osmosis. push water from the pores of the soil through the
2. The total potential, head, and pressure are meas- membrane. The relationship between water con-
urable, and separation into components is possi- tent and pressure is used to establish the relation-
ble experimentally, although it is difficult. ship between soil suction and water content.
3. A pore pressure measurement using a piezometer 4. Consolidation Tests The consolidation pressure
containing pure water gives a pressure u0 ⫽ wh, on a sample at equilibrium is the soil water suc-
where h is the pressure head at the piezometer. tion. If the consolidation pressure were instanta-
When referred back to points between soil par- neously removed, then a negative water pressure
ticles, u0 is seen to include contributions from or suction of the same magnitude would be
osmotic pressures as well as matrix pressures. needed to prevent water movement into the soil.
Since osmotic pressures are the cause of long- 5. Vapor Pressure Methods The relationship be-
range repulsions due to double-layer interactions, tween relative humidity and water content is used
measured pore water pressures may include con- to establish the relationship between suction and
tributions from long-range interparticle repulsive water content.
forces. 6. Osmotic Pressure Methods Soil samples are
equilibrated with solutions of known osmotic
pressure to give a relationship between water
7.8 MEASUREMENT OF PORE PRESSURES IN content and water suction.
SOILS 7. Dielectric Sensors Such as Capacitance Probes
and Time Domain Reflectometry Soil moisture
Several techniques for the measurement of pore water can be indirectly determined by measuring the
pressures are available. Some are best suited for lab- dielectric properties of unsaturated soil samples.
oratory use, whereas others are intended for use in the With the knowledge of soil water characteristics
field. Some yield the pore pressure or suction by direct relationship (Section 7.11), the negative pore
measurement, while others require deduction of the pressure corresponding to the measured soil
value using thermodynamic relationships. moisture can be determined. The capacitance
probe measures change in frequency response of
1. Piezometers of Various Types Water in the pi- the soil’s capacitance, which is related to dielec-
ezometer communicates with the soil through a tric constants of soil particle, water, and air. The
porous stone or filter. Pressures are determined capacitance is largely influenced by water con-
from the water level in a standpipe, by a manom- tent, as the dielectric constant of water is large
eter, by a pressure gauge, or by an electronic compared to the dielectric constants of soil
pressure transducer. A piezometer used to mea- particle and air. Time domain reflectrometry
sure pressures less than atmospheric is usually measures the travel time of a high-frequency,
termed a tensiometer. electromagnetic pulse. The presence of water in
2. Gypsum Block, Porous Ceramic, and Filter the soil slows down the speed of the electromag-
Paper The electrical properties across a spe- netic wave by the change in the dielectric prop-
cially prepared gypsum block or porous ceramic erties. Volumetric water content can therefore be
block are measured. The water held by the block indirectly measured from the travel time mea-
determines the resistance or permittivity, and the surement.
moisture tension in the surrounding soil deter-
mines the amount of moisture in the block Piezometer methods are used when positive pore
(Whalley et al., 2001). The same principle can be pressures are to be measured, as is usually the case in
applied by placing a dry filter paper on a soil dams, slopes, and foundations on soft clays. The other
specimen and allowing the soil moisture to ab- methods are suitable for measurement of negative pore
sorb into the paper. When the suction in the filter pressures or suction. Pore pressures are often negative
paper is equal to the suction in the soil, the two in expansive and partly saturated soils. More detailed
descriptions and comparisons of these and other meth- defined effective stress ⫽ ⫺ u0 differ by the net
ods are given by Croney et al. (1952), Aitchison et al. interparticle stress due to physicochemical contribu-
(1965), Richards and Peter (1987), and Ridley et al. tions,
(2003).
i ⫺ ⫽ A ⫺ R (7.30)
7.9 EFFECTIVE AND INTERGRANULAR
PRESSURE When A and R are both small, as would be true in
granular soils, silts, and clays of low plasticity, or in
In Section 7.5, it was shown that the intergranular pres- cases where A ⬇ R, the intergranular and effective
sure is given by stress are approximately equal. Only in cases where
either A or R is large, or both are large but of signifi-
i ⫽ ⫹ A ⫺ u (7.25) cantly different magnitude, would the intergranular and
effective stress be significantly different. Such a con-
where u is the hydrostatic pressure between particles dition appears not to be common, although it might be
(or hm w in the terminology of Section 7.7). General- of importance in a well-dispersed sodium montmoril-
ized forms of Eq. (7.24) are lonite, where compression behavior can be accounted
for reasonably well in terms of double-layer repulsions
u0 ⫽ Z w ⫹ hm w ⫹ hs w (7.26) (Chapter 10).4
The derivation of Eq. (7.30) assumed vertical equi-
and librium, with contributing forces parallel to each other,
that is, the intergranular stress i is the sum of the
u ⫽ hm w ⫽ u0 ⫺ Z w ⫺ hs w (7.27) skeletal forces (defined as ⫽ ⫺ u0) and the elec-
trochemical stress (A ⫺ R), as illustrated in Fig. 7.8a.
Thus, Eq. (7.25) becomes, for the case of no elevation This implies that the deformation induced by the elec-
difference between a piezometer and the point in ques- trochemical stress (A ⫺ R) is equal to the deformation
tion (i.e., Z ⫽ 0), induced by the skeletal forces at contacts [i.e., a ‘‘par-
allel’’ model as described by Hueckel (1992)]. The
i ⫽ ⫹ A ⫺ u0 ⫹ hs w (7.28) change in pore fluid chemistry at constant confinement
() leads to changes in intergranular stresses (i), re-
Because the quantity hs w is an osmotic pressure and sulting in changes in shear strength, for example.
the salt concentration between particles will invariably An alternative assumption can be made; the total
be greater than at points away from the soil (such as deformation of soil is the sum of the deformations of
in a piezometer), hs w will be negative. This pressure the particles and in the double layers as illustrated in
reflects double-layer repulsions. It has been termed R Fig. 7.8b. The effective stress is then equal to the
in some previous studies (Lambe, 1960; Mitchell, electrochemical stress (R ⫺ A):
1962). If hs w in Eq. (7.28) is replaced by the absolute
value of R, we obtain
i ⫽ R ⫺ A ⫽ ⫽ ⫺ u0 (7.31)
i ⫽ ⫹ A ⫺ u0 ⫺ R (7.29)
This is called the ‘‘series’’ model (Hueckel, 1992), and
From Eq. (7.25), it was seen that the intergranular the model can be applicable for very fine soils at high
pressure was dependent on long-range interparticle at- water content, in which particles are not actually in
tractions A as well as on the applied stress and the contact with each other but are aligned in a parallel
pore water pressure between particles u. Equation arrangement. Increase in intergranular stress i or ef-
(7.29) indicates that if intergranular pressure i is to fective stress changes the interparticle spacing,
be expressed in terms of a measured pore pressure u0, which may contribute to changes in strength properties
then the long-range repulsion R must also be taken into upon shearing.
account. The actual hydrostatic pressure between par-
ticles u ⫽ u0 ⫹ R includes the effects of long-range
repulsions as required by the condition of constant to-
4
tal potential for equilibrium. A detailed analysis of effective stress in clays is presented by Chat-
topadhyay (1972), which leads to similar conclusions, including Eq.
In the general case, therefore, the true intergranular (7.29). i was termed the true effective stress and it governed the
pressure i ⫽ ⫹ A ⫺ u0 ⫺ R and the conventionally volume change behavior of Na–montmorillonite.
ASSESSMENT OF TERZAGHI’S EQUATION 185
Skeletal Force
Skeletal Force
Electrochemical Force Electrochemical Force
Skeletal Force
Skeletal Force Electrochemical Force
Electrochemical Force
σi σi
Skeletal Force
σ = σ _ u0
Skeletal Force Electrochemical
Particle Deformation
σ = σ _ u0 Force A _ R
by Skeletal Force
Electrochemical
Force A _ R
Deformation at
the Contact Total Deformation
σi
σi at the Contact
σi = σ _ u0 + A _ R σi = σ _ u0 = A _ R
(a) (b)
Figure 7.8 Contribution of skeletal force ( ⫺ u0) and electrochemical force (A ⫺ R) to

intergranular force i: (a) parallel model and (b) series model.
Since the particles are arranged in parallel as well of saturated soils. Skempton proposed three possible
as nonparallel manner, the chemomechanical coupling relationships for effective stress in saturated soils:
behavior of actual soils can be far from the predictions
made by the above two models. In fact, Santamarina 1. The true intergranular pressure for the case when
(2003) argues that the impact of skeletal forces by ex- A⫺R⫽0
ternal forces, particle-level forces, and contact-level
forces on soil behavior is different, and mixing both ⫽ ⫺ (1 ⫺ ac)u (7.32)
types of forces in a single algebraic expression in terms
of effective stress can lead to incorrect prediction [e.g., in which ac is the ratio of contact area to total
Eq. (7.15) for unsaturated soils and Eq. (7.30) for soils cross-sectional area.
with measurable interparticle repulsive and attractive 2. The solid phase is treated as a real solid that has
forces]. compressibility Cs and shear strength given by
i ⫽ k ⫹ tan (7.33)
7.10 ASSESSMENT OF TERZAGHI’S EQUATION where is an intrinsic friction angle and k is a

true cohesion. The following relationships were
The preceding equations and discussion do not confirm
derived: For shear strength,
that Terzaghi’s simple equation is indeed the effective
冉冊
stress that governs consolidation and strength behavior
of soils. However, its usefulness has been established ac tan
⫽ ⫺ 1 ⫺ u (7.34)
from the experience of many years of successful ap- tan
plication in practice. Skempton (1960b) showed that
the Terzaghi equation does not give the true effective where is the effective stress angle of shearing
stress but gives an excellent approximation for the case resistance. For volume change,
⫽ ⫺ 1 ⫺ 冉 Cs
C 冊
u (7.35)
Table 7.1 Compressibility Values for Soil, Rock,
and Concrete
where C is the soil compressibility. Compressibility a

3. The solid phase is a perfect solid, so that ⫽ 0 per kN/m2 ⫻ 10⫺6
and Cs ⫽ 0. This gives
Material C Cs Cs /C
⫽ ⫺ u (7.36) Quartzitic sandstone 0.059 0.027 0.46
Quincy granite (30 m deep) 0.076 0.019 0.25
To test the three theories, available data were studied Vermont marble 0.18 0.014 0.08
to see which related to the volume change of a system Concrete (approx.) 0.20 0.025 0.12
acted upon by both a total stress and a pore water Dense sand 18 0.028 0.0015
pressure according to Loose sand 92 0.028 0.0003
London clay (over cons.) 75 0.020 0.00025
V Gosport clay (normally cons.) 600 0.020 0.00003
⫽ ⫺C (7.37)
V
After Skempton (1960b).
and also satisfied the Coulomb equation for drained
a
Compressibilities at p ⫽ 98 kN/m2; water Cw ⫽ 0.49
shear strength d : ⫻ 10⫺6 per kN/m2.
d ⫽ c ⫹ tan (7.38)
when both a total stress and a pore pressure are acting. A more rigorous evaluation of the contribution of
It may be noted that this approach assumes that the soil particle compressibility to effective stress was
Coulomb strength equation is valid a priori. made by Lade and de Boer (1997) using a two-phase
The results of Skempton’s analysis showed that Eq. mixture theory. The volume change of the soil skeleton
(7.32) was not a valid representation of effective stress. can be separated into that due to pore pressure incre-
Equations (7.34) and (7.35) give the correct results for ment u and that due to the change in confining pres-
soils, concrete, and rocks. Equation (7.36) accounts sure ( ⫺ u) (or ⫺ u). The effective stress
well for the behavior of soils but not for concrete and increment is defined as the stress that produces the
rock. The reason for this latter observation is that in same volume change,
soils Cs /C and ac tan /tan approach zero, and,
thus, Eqs. (7.34) and (7.35) reduce to Eq. (7.36). In CV0 ⬅ Vsks ⫹ Vsku ⫽ CV0( ⫺ u)
rock and concrete, however, Cs /C and ac tan /tan
are too large to be neglected. The value of tan /tan ⫹ CuV0 u (7.40)
may range from 0.1 to 0.3, ac clearly is not negli-
gible, and Cs /C may range from 0.1 to 0.5 as indicated
where Vsks is the volume change of soil skeleton due
in Table 7.1.
to change in confining pressure, Vsku is the volume
Effective stress equations of the form of Eqs. (7.32),
change of soil skeleton due to pore pressure change,
(7.34), (7.35), and (7.36) can be generalized to the gen-
V0 is the initial volume, C is the compressibility of the
eral form (Lade and de Boer, 1997):
soil skeleton by confining pressure change, and Cu is
the compressibility of the soil skeleton by pore pres-
⫽ ⫺ u (7.39)
sure change. Rearranging Eq. (7.40) leads to
where is the fraction of the pore pressure that gives
the effective stress.5 Different expressions for pro-
posed by several researchers are listed in Table 7.2. ⫽ ⫺ 冉 1⫺
Cu
C 冊
u (7.41)
5
A more general expression has been proposed as ij ⫽ ij ⫹ iju, Lade and de Boer (1997) used this equation to de-
where ij is the tensor that accounts for the constitutive characteristics rive an effective stress equation for granular materials
of the solid such as complex kinematics associated with anisotropic
elastic materials (Carroll and Katsube, 1983; Coussy, 1995; Did- under drained conditions. Consider a condition in
wania, 2002). which the total confining pressure is constant [ ( ⫺
ASSESSMENT OF TERZAGHI’S EQUATION 187
Table 7.2 Expressions for ␩ to Define Effective Stress
Pore Pressure Fraction Note Reference

1 Terzaghi (1925b)
n n ⫽ porosity Biot (1955)
1 ⫺ ac ac ⫽ grain contact area per unit area of plane Skempton and Bishop (1954)
tan Equation (7.34) Skempton (1960b)
1 ⫺ ac
tan
C Equation (7.35); for isotropic elastic Biot and Willis (1957), Skempton
1⫺ s
C deformation of a porous material; for solid (1960b), Nur and Byerlee (1971), Lade
rock with small interconnected pores and and de Boer (1997)
low porosity (Lade and de Boer, 1997)
Cs Equation (7.43) Suklje (1969); Lade and de Boer (1997)
1 ⫺ (1 ⫺ n)
C
After Lade and de Boer (1997).
u) ⫽ 0], but the pore pressure changes by u.6 The

volume change of soil skeleton caused by change in
pore pressure ( Vsku) is attributed solely from the vol-
umetric compression of the solid grains ( Vgu). Hence,
Vsku ⬅ CuV0 u ⫽ Cs(1 ⫺ n)V0 u ⬅ Vgu or

Cu ⫽ Cs(1 ⫺ n) (7.42)
where Cs is the compressibility of soil grains due to

pore pressure change and n is the porosity. Substituting
Eq. (7.42) into (7.41) gives
⫽ ⫺ 冋
1 ⫺ (1 ⫺ n)
Cs
C 册
u or
冋
⫽ 1 ⫺ (1 ⫺ n)
Cs
C 册 (7.43)
Figure 7.9 shows the variations of with stress for

quartz sand and gypsum sand (Lade and de Boer, Figure 7.9 Variation of with stress for quartz sand and
1997). For a stress level less than 20 MPa, is essen- gypsum sand (Lade and de Boer, 1997).
tially one. Thus, Terzaghi’s effective stress equation,
while not rigorously correct, is again shown to be an
excellent approximation in almost all cases for satu- Can the effective stress concept also be applied for
rated soils (i.e., solid grains and pore fluid are consid- undrained conditions where drainage is prevented?
ered to be incompressible compared to soil skeleton That is, when an isotropic total stress load of iso is
compressibility). applied, is u equal to iso? Using a two-phase mix-
ture theory, the total stress increment ( iso) is sepa-
rated into partial stress increments for the solid phase
6
( s) and the fluid phase ( ƒ) (Oka, 1996). Consid-
An example of this condition is a soil under a seabed, in which the
sea depth varies. This condition is often called the ‘‘unjacked con- ering that the macroscopic volumetric strains by two
dition.’’ phases are equal but of opposite sign for undrained
conditions, Oka (1996) showed that the partial stresses Air

Water
are related to the total stress as follows: (reference fluid)
θ
C ⫺ Cs
ƒ ⫽ iso Solid Surface
(C/n) ⫺ (1 ⫹ 1/n)Cs ⫹ Cl (7.44)
(a)
[(1/n) ⫺ 1]C ⫺ (Cs /n) ⫹ Cl
s ⫽ iso
(C/n) ⫺ (1 ⫹ 1/n)Cs ⫹ Cl
Water
where n is the porosity, C is the compressibility of soil (reference fluid)
skeleton, Cs is the compressibility of soil particles, and Air
Cl is the compressibility of pore fluid. θ
If the excess pore pressure generated by undrained
Solid surface
isotropic loading is u, the partial stress increment
for the fluid phase becomes (Oka, 1996) (b)
ƒ ⫽ n u (7.45) Water
Air
Combining Eqs. (7.45) and (7.46),
Solid
C ⫺ Cs
u ⫽ iso (7.46)
C ⫺ Cs ⫹ n(Cl ⫺ Cs)
(c)
The multiplier in the right-hand side of the above Figure 7.10 Wettability of two fluids (water and air) on a
equation is in fact Bishop’s pore water pressure coef- solid surface: (a) contact angle less than 90, (b) contact an-
ficient B (Bishop and Eldin, 1950).7 For typical soils gle more than 90, and (c) unsaturated sand with water as the
(Cs ⬇ 1.9 ⫺ 2.7 ⫻ 10⫺8 m2 / kN, Cl ⬇ 4.9 ⫻ 10⫺9 wetting fluid and air as the nonwetting fluid.
m2 /kN, C ⬇ 10⫺5 ⫺ 10⫺4 m2 /kN), so the values of B
are roughly equal to 1. Hence, it can be concluded that
Terzaghi’s effective stress equation is also applicable
air are the wetting and nonwetting fluid, respectively.8
for undrained conditions for most soils.
The environmental SEM photos in Fig. 5.27 showed
that water can be either wetting or nonwetting fluid
depending soil mineralogy.
7.11 WATER–AIR INTERACTIONS IN SOILS The contact angle is a property related to interac-
tions of solid and two fluids (water and air, in this
Wettability refers to the affinity of one fluid for a solid case).
surface in the presence of a second or third fluid or
gas. A measure of wettability is the contact angle, as ⫺ ws
which was introduced in Eq. (7.9). Figure 7.10 illus- cos ⫽ (7.47)
trates a drop of the reference liquid (water for Fig. aw
7.10a and air for Fig. 7.10b) resting on a solid surface
in the presence of another fluid (air for Fig. 7.10a and where as is the interfacial tension between air and
water for 7.10b). The interface between the two fluids solid, ws is the interfacial tension between water
meets the solid surface at a contact angle . If the angle and solid, and aw is the interfacial tension between
is less than 90, the reference fluid is referred to as the
wetting fluid for a given solid surface. If the angle is
greater than 90, the reference liquid is referred to as 8
Some contaminated sites contain non-aqueous-phase liquids
the nonwetting phase. The figure shows that water and (NAPLs). In general, NAPLS can be assumed to be nonwetting with
respect to water since the soil particles are in general primarily
strongly water-wet. Above the water table, it is usually appropriate
to assume that the water is the wetting fluid with respect to NAPL
and that NAPL is a wetting fluid with respect to air, implying that
7
A similar equation for B value has been proposed by Lade and de the wettability order is water ⬎ NAPL ⬎ air. Below the water table,
Boer (1997). water is the wetting fluid and NAPL is the nonwetting fluid.
WATER–AIR INTERACTIONS IN SOILS 189
air and water. The microscopic scale distribution of
1 Dune Sand
water and air is illustrated in Fig. 7.10c, whereby it is 2 Loamy Sand
assumed that water is wetting the grain surfaces. 3 Calcareous Fine Sandy Loam
106
The aforementioned discussion on wettability and 4 Calcareous Loam
contact angle assumes static water drops on solid sur- 5 Silt Loam Derived from Loess
105 6 Young Oligotrophous Peat Soil
faces. It has been observed for movement of water rel-
Matric suction ua – uw (kPa)

7 7 Marine Clay
ative to soil that the ‘‘dynamic’’ contact angle formed
by the receding edge of a water droplet is generally 104 6
less than the angle formed by its advancing edge.
Matric suction (or capillary pressure) refers to the 103 5
pressure discontinuity across a curved interface sepa-
rating two fluids. This pressure difference exists be- 102 4
3
cause of the interfacial tension present in the fluid–
fluid interface. Matric suction is a property that causes 101 2
porous media to draw in the wetting fluid and repel 1
the nonwetting fluid and is defined as the difference 100
between the nonwetting fluid pressure and the wetting
fluid pressure. For a two-phase system consisting of 10-1
water and air, the matric suction is 0.0 0.1 0.2 0.3 0.4 0.5 0.6
Volumetric Water Content θ w
⫽ un ⫺ uw (7.48)
Figure 7.11 Soil–water characteristic curves for some Dutch
soils (from Koorevaar et al., 1983; copied from Fredlund and
where un is the pressure of the nonwetting fluid (air) Rahardjo, 1993).
and uw is the pressure of the wetting fluid (water).
Assuming that the soil pores have a cylindrical
shape, like a bundle of capillary tubes as illustrated in
Fig 7.3b, the interface between two liquids in each tube processes do not follow the same curve and the volu-
forms a subsection of a sphere. The capillary pressure metric water content versus matric suction curves ex-
is then related to the tube radius, contact angle, and hibit hysteresis during cycles of drainage and wetting
the interfacial tension between the two liquids. The as shown in Fig. 7.12a. One cause of hysteresis is the
pressure drop across the interface is directly propor- existence of ‘‘ink bottle neck’’ pores at the microscopic
tional to the interfacial tension and inversely propor- scale as shown in Fig. 7.12b. Larger water-filled pores
tional to the radius of curvature. It follows that higher can remain owing to the inability of water to escape
air pressure is required for air to enter water-saturated through smaller openings below in the case of drainage
fine-grained than coarse-grained materials. or above in the case of evaporation. Another cause is
Soil contains a range of different pore sizes, which irreversible change in soil fabric and shrinkage during
will drain at different capillary pressure values. This drying.
leads to a soil–water characteristic relationship in The curves in Fig. 7.11 have two characteristic
which the matric suction is plotted against the volu- points—the air entry pressure a and residual volu-
metric water content (or sometimes water saturation metric water content r as defined in Fig. 7.12a. The
ratio) such as shown in Fig. 7.11.9 The curves are often entry pressure is the matric suction at which the air
determined during air invasion into a previously water- begins to enter the pores and the pores become inter-
saturated soil. As the volumetric water content de- connected (Corey, 1994). At this point, the air per-
creases, as a result of drainage or evaporation, the meability becomes greater than zero. Corey (1994)
matric suction increases. When water infiltrates into also introduced the term ‘‘displacement pressure’’ (d
the soil (wetting or imbibition), the conditions reverse, in Fig. 7.12b) and defined it as the matric suction at
with the volumetric water content increasing and ma- which the first water desaturation occurs during a
tric suction decreasing. Usually drainage and wetting drainage cycle.10 The entry pressure is always slightly
9 10
The soil–water characteristic curve is referred to by a variety of For the Dense NAPL–water two-phase system (often Dense NAPL
names depending on different disciplines. They include moisture re- is the nonwetting fluid and water is the wetting fluid), the displace-
tention, soil–water retention, specific retention, and moisture char- ment pressure may be important to examine the potential of DNAPL
acteristic. invading into a noncontaminated water-filled porous media.
Scanning
Curve
Suction
Scanning
Hysteresis
Curve
Initial drainage Draining

Curve
ψa
ψd
Main Drying Curve
Main Wetting
Curve
θr Water Content
Wetting
θ r Residual Water Content
ψ a Air Entry Value
ψ d Displacement pressure
(b)
(a)
Figure 7.12 Hysteresis of a soil–water characteristic curve: (a) effect of hysteresis and (b)
ink bottle effect: a possible physical explanation for the hysteresis.
greater than the displacement pressure because pore algebraic formulas have been proposed to fit the mea-
throats smaller than the maximum must be penetrated sured soil-water characteristic relations. The most pop-
to establish air connectivity. The air entry pressure is ular ones are (a) the Brooks–Corey (1966) equation:
much greater for fine-grained than for coarse-grained
soils because of their smaller pore sizes. ⫽ m when d (7.49)
Residual water content r is defined as the water
content that cannot be further reduced by the increase
in matric suction. At this stage, the water phase
becomes essentially discontinuous and the regime
⫽ d 冉
⫺ r
m ⫺ r 冊⫺1/
when d (7.50)
changes from the funicular to pendular state, as de-

scribed in Section 7.4. However, this does not mean where m is the volumetric water content at full
that the soil cannot have a degree of saturation less saturation and is the curve-fitting parameter called
that the residual saturation because residual water can the pore size distribution index and (b) the van Gen-
continue to evaporate. Hence, it is important to note uchten equation (1980):
冋冉冊册
that the residual saturation defined here is a mathe- ⫺1 / m 1⫺m
matical fitting parameter without a specific quantitative ⫺ r
⫽ 0 ⫺1 (7.51)
value. m ⫺ r
The shape of the soil–water characteristic curve de-
pends on many factors, including the grain size distri- where 0 and m are curve-fitting parameters.
bution, soil fabric, the contact angle, and the interfacial Various modifications have been proposed to these
tension [see Eq. (7.11)]. If the material is uniform with equations to include behaviors such as hysteresis, non-
a narrow range of pore sizes, the curve has three dis- wetting fluid trapping, and three-phase conditions.
tinct parts: a straight part up to the air entry pressure,
a relatively horizontal middle part, and an end part that
is almost vertical (soil 1 in Fig. 7.11). On the other 7.12 EFFECTIVE STRESS IN UNSATURATED
hand, if the material is well graded, the curve is SOILS
smoother (soils 3, 4, and 5 in Fig. 7.11). The capillary
pressure increases gradually as the water saturation de- Although it seems clear that the volume change and
creases and the middle part is not horizontal. Many strength behavior of partly saturated soils are con-
EFFECTIVE STRESS IN UNSATURATED SOILS 191
trolled by an effective stress that is not the same as the Limitations in Bishop’s equation were highlighted
total stress, the appropriate formulation for the effec- by Jennings and Burland (1962) in their experiments
tive stress is less certain than for a fully saturated soil. investigating the volume change characteristics of un-
As noted earlier, Bishop (1960) proposed Eq. (7.15) saturated soils. Figure 7.14 shows that the oedometer
(assuming ⫽ i ): compression curve of air-dry silt falls above that of
saturated silt. Also, as shown in the figure, some air-
⫽ ⫺ ua ⫹ (ua ⫺ uw) (7.52) dry samples were consolidated at four different pres-
sures (200, 400, 800, and 1600 kPa) and then soaked.
The term ⫺ ua is the net total stress. The term
ua ⫺ uw represents the soil water suction that adds to 0.84
the effective stress since uw is negative. Thus, the
Bishop equation is appealing intuitively because neg-
ative pore pressures are known to increase strength and
decrease compressibility. Using Eq. (7.52), the shear 0.80
strength of unsaturated soil can be expressed as
0.76
⫽ {( ⫺ ua) ⫹ (ua ⫺ uw)}tan (7.53)
Void Ratio e
Initially Soaked Test
where is the effective friction angle of the soil. 0.72
However, difficulties in the evaluation of the parameter
, its dependence on saturation ( ⫽ 1 for saturated
Air Dry (8 specimens)
soils and ⫽ 0 for dry soils), and that the relationship
0.68 Soaked at Constant Void Ratio
between and saturation is soil dependent, as shown
Soaked at Constant Applied
in Fig. 7.13a, all introduce problems in the application Pressure
of Eq. (7.53). Since water saturation is related to matric
0.64
suction as described in Section 7.11, it is possible that 10 100 1000
depends on matric suction as shown in Fig. 7.13b.
Applied Pressure (kPa )
Nonetheless, because of the complexity in determining
, the attempt to couple total stress and suction to- Figure 7.14 Oedometer compression curves of unsaturated
gether into a single equivalent effective stress is un- silty soils (after Jennings and Burland, 1962 in Leroueil and
certain (Toll, 1990). Hight, 2002).
1. Compacted
Boulder Clay – 0.55
(ua – uw)
2. Compacted Shale χ=
(ua – uw)
Coefficient χ
3. Breadhead silt
Coefficient χ
4. Silt
5. Silty clay
6. Sterrebeek silt
7. White clay
(ua_uw)b = Air Entry Value
Degree of SaturationS(%) (ua_uw)/(ua_uw)b

(a) (b)
Figure 7.13 Variation of parameter with the degree of water saturation Sr for different
soils: (a) versus water saturation (after Gens, 1996) and (b) versus suction (after Khalili
and Khabbaz, 1998).
The void ratio decreased upon soaking and the final in which a and b are material parameters that may also
state was very close to the compression curve of the depend on degree of saturation and stress. For exam-
saturated silt. Additional tests in which constant vol- ple, Fredlund et al. (1978) propose the following equa-
ume during soaking was maintained by adjusting the tion:
applied load were also done. Again, after equilibrium,
the state of soaked samples was close to the compres- ⫽ ( ⫺ ua)tan ⫹ (ua ⫺ uw)tan b (7.55)
sion curve of the saturated silt. Soaking reduces the
suction and, hence, Bishop’s effective stress decreases. where b is the angle defining the rate of increase in
This decrease in effective stress should be associated shear strength with respect to soil suction. An example
with an increase in void ratio. However, the experi- of this parameter as a function of water content, fric-
mental observations gave the opposite trend (i.e., a de- tion angle, and matric suction is given by Fredlund et
crease in void ratio is associated with irreversible al. (1995).
compression). The presence of meniscus water lenses Similarly, the change in void ratio e of an unsat-
in the soil before wetting was stabilizing the soil struc- urated soil can be given by (Fredlund, 1985)
ture, which is not taken into account in Bishop’s equa-
tion (7.52). ⫽ at ( ⫺ ua) ⫹ am (ua ⫺ uw) (7.56)
An alternative approach is to describe the shear
strength/deformation and volume change behavior of where at is the coefficient of compressibility with re-
unsaturated soil in terms of the two independent stress spect to changes in ⫺ ua and am is the coefficient of
variables ⫺ ua and ua ⫺ uw (Coleman, 1962; Bishop compressibility with respect to changes in capillary
and Blight, 1963; Fredlund and Morgenstern, 1977; pressure. A similar equation, but with different coef-
Fredlund, 1985; Toll, 1990, Fredlund and Rahardjo, ficients, can be written for change in water content.
1993; Tarantino et al., 2000). Figure 7.15 shows the For a partly saturated soil, change in water content and
results of isotropic compression tests of compacted ka- change in void ratio are not directly proportional.
olin. Different compression curves are obtained for The two stress variables, or their modifications that
constant suction conditions, and relative effects of ⫺ include porosity and water saturation, have been used
ua and ua ⫺ uw on volume change behavior can be in the development of elasto-plastic-based constitutive
observed. Furthermore, the preconsolidation pressure models for unsaturated soils (e.g., Alonso et al., 1990;
(or yield stress) increases with suction. Wheeler and Sivakumar, 1995; Houlsby, 1997; Gallip-
On this basis, the dependence of shear strength on oli et al., 2003). The choice of stress variables is still
stress is given by equations of the form in debate; further details on this issue can be found in
Gens (1996), Wheeler and Karube (1996), Wheeler et
⫽ a( ⫺ ua) ⫹ b(ua ⫺ uw) (7.54)
al. (2003), and Jardine et al. (2004).
Bishop’s parameter in Eq. (7.52) is a scalar quan-
tity, but microscopic interpretation of water distribution
1.25
in pores can lead to an argument that is directional
Preconsolidation dependent (Li, 2003; Molenkamp and Nazemi,
pressure
1.20
2003).11 During the desaturation process, the number
of soil particles under a funicular condition decreases,
1.15
and they change to a pendular condition with further
drying. For particles in the funicular region, the suction
Void Ratio e
1.10
pressure acts all around the soil particles like the water
ua _ uw (kPa) pressure as illustrated in Fig. 7.4a. Hence, the effect is
1.05 300 kPa isotropic even at the microscopic level. However, once
the microscopic water distribution of a particle changes
Curves are Averages of 200 kPa to the pendular condition, the capillary forces only act
1.00 Several Tests 100 kPa on a particle at locations where water bridge forms and
0 kPa the contribution to the interparticle forces becomes
0.95
25 50 100 200 400
σ _ ua (kPa)
11
A microstructural analysis by Li (2003) suggests the following ef-
Figure 7.15 Isotropic compression tests of compacted kaolin fective stress expression:
(after Wheeler and Sivakumar, 1995 in Leroueil and Hight,
2002). ij ⫽ ij ⫺ uaij ⫹ ij (ua ⫺ uw)
more or less point wise, as shown in Fig. 7.4b. As in the pendular regime) in the macroscopic effective
described in Section 7.3, the magnitude of capillary stress equations.
force depends on the size of the water bridge and the
separation of the two particles, and hence, the contact
force distribution in the particle assembly becomes de- QUESTIONS AND PROBLEMS
pendent not only on pore size location and distribution
but also on the relative locations of particles to one 1. A sand in the ground has porosity n of 0.42 and
another (or soil fabric). It is therefore possible that the specific gravity Gs of 2.6. It is assumed that these
distribution of the pendular-type capillary forces be- values remain constant throughout the depth. The
comes directional dependent. water table is 4 m deep and the groundwater is un-
In clayey soils, water is attracted to clay surface by der hydrostatic condition. The suction–volumetric
electrochemical forces, creating large matric suction. water content relation of the sand is given by soil
Although uw ⫽ u0 is used in practice, the actual pore 1 in Fig. 7.11.
pressure u acting at interparticle contacts may be dif- a. Calculate the saturated unit weight and dry unit
ferent from u0, as discussed in Section 7.9. The con- weight.
tribution of the long-range interparticle forces to b. Evaluate the unit weights at different saturation
mechanical behavior of unsaturated clayey soils re- ratios Sw.
mains to be fully evaluated.
c. Plot the hydrostatic pore pressures with depth
down to a depth of 10 m and evaluate the satu-
ration ratios above the water table.
7.13 CONCLUDING COMMENTS
d. Along with the hydrostatic pore pressure plot,
The concepts in this chapter provide insight into the sketch the vertical total stress with depth using
meanings of intergranular pressure, effective stress, the unit weights calculated in parts (a) and (b).
and pore water pressure and the factors controlling e. Estimate the vertical effective stress with depth.
their values. Because soils behave as particulate ma- Use Bishop’s equation (7.52) with ⫽ Sw. Com-
terials and not as continua, knowledge of these stresses ment on the result.
and of the factors influencing them is a necessary pre-
requisite to the understanding and quantification of 2. Repeat the calculations done in Question 1 with soil
compressibility, deformation, and strength in constitu- 5 in Fig. 7.11. The specific gravity of the soil is
tive relationships for behavior. Various interparticle 2.65. Comment on the results by comparing them
forces have been identified and their possible effects to the results from Question 1.
on soil behavior are highlighted. 3. Using Eq. (7.3), estimate the tensile strength of a
The effective stress in a soil is a function of its state, soil with different values of tensile strengths of ce-
which depends on the water content, density, and soil ment, sphere, and interface. The soil has a particle
structure. These factors are, in turn, influenced by the diameter of 0.2 mm and the void ratio is 0.7. As-
composition and ambient conditions. The relationships sume k/(1 ⫹ e) ⫽ 3.1. Consider the following two
between soil structure and effective stress are devel- cases: (a) ⫽ 0.0075 mm and ⫽ 5 and (b)
oped further in Chapter 8. Chemical, electrical, and ⫽ 0.025 and ⫽ 30. Comment on the results.
thermal influences on effective pressures and fluid
pressures in soils have not been considered in the de- 4. Compute the following contact forces at different
velopments in this chapter. They may be significant, particle diameters d ranging from 0.1 to 10 mm.
however, as regards soil structure stability fluid flow, Comment on the results in relation to the effective
volume change, and strength properties. They are an- and intergranular pressure described in Section 7.9.
alyzed in more detail in subsequent chapters. a. Weight of the sphere, W ⫽ –61 Gs wd 3, where Gs
An understanding of the components of pore water is the specific gravity (say 2.65) and w is the
pressure is important to the proper measurement of unit weight of water.
pore pressure and interpretation of the results. Inclu- b. Contact force by external load, N ⫽ d 2, where
sion of the effect of pore water suction and air or gas is the external confining pressures applied.
pressure on the mechanical behavior of unsaturated The equation is approximate for a simple cubic
soils requires modification of the effective stress equa- packing of equal size spheres (Santamarina,
tion used for saturated soils. Complications arise from 2003). Consider two cases, (i) ⫽ 1 kPa (⬇
the difficulty in the choice of stress variables and in depth of 0.1 m) and (ii) ⫽ 100 kPa (⬇ depth
treatment of contact-level forces (i.e., capillary forces of 10 m).
c. Long-range van der Waals attraction force, A ⫽ 7. Give a microscopic interpretation for why an un-
Ahd/(24t 2), where Ah is the Hamaker constant saturated soil can collapse and decrease its volume
(Section 6.12) and t is the separation between upon wetting as shown in Fig. 7.14 even though the
particles (Israelachvili, 1992, from Santamarina, Bishop’s effective stress decreases.
2003). Use Ah ⫽ 10⫺20 N-m and t ⫽ 30 Å.
8. Clay particles in unsaturated soils often aggregate
5. Discuss why it is difficult to measure suction using creating matrix pores and intraaggregate pores. Air
a piezometer-type tensiometer for long-term moni- exists in the matrix pores, but the intraaggregate
toring of pore pressures. Describe the advantages of pores are often saturated by strong water attraction
other indirect measurement techniques such as po- to clay surfaces. The total potential of unsaturated
rous ceramic and dielectric sensors. soil can be extended from Eq. (7.19) to ⫽ g ⫹
6. For the following cases, compare the effective m ⫹ s ⫹ p, where p is the gas pressure poten-
stresses calculated by the conventional Terzaghi’s tial.12 Discuss the values of each component of the
equation and by the modified equation (7.39) with above equation in the matrix pores and the intraag-
values presented in Fig. 7.8. Discuss the possible gregate pores.
errors associated with effective stress estimation by
Terzaghi’s equation.
12
a. Pile foundation at a depth of 20 m. This was proposed by a Review Panel in the Symposium on Mois-
ture Equilibrium and Moisture Changes in Soils Beneath Covered
b. A depth of 5 km from the sea level where the Areas in 1965.
subsea soil surface is 1 km deep.
CHAPTER 8
Soil Deposits—Their Formation,

Structure, Geotechnical
Properties, and Stability
8.1 INTRODUCTION structures with characteristic properties, how these

properties and the associated behavior are interelated,
Long before methods were available to confirm spe- and why these processes and properties are relevant
cific soil fabrics and structures, hypotheses were ad- to geotechnical applications are the subjects of this
vanced about them, their formation, and their stability chapter.
in an attempt to account for such phenomena as
strength loss of clays on remolding, differences in
properties of soils deposited in different environments,
collapsing soils and soil liquefaction, creep and sec- 8.2 STRUCTURE DEVELOPMENT
ondary compression, pore pressure generation during
Early Concepts
deformation, anisotropy, thixotropic hardening, and the
mobilization of friction and cohesion. Early ideas about soil fabric and structure were largely
Two soils can have the same fabrics but different speculative because techniques for direct observation
properties if the forces between particles and particle of particles had not yet been developed. There was
groups are not the same. Fabric stability is sensitive to particular interest in the development of explanations
changes in stresses and chemical environment. To take for the loss of strength that accompanied the distur-
both fabric and its stability into account, the term bance of many natural clays at constant water content.
structure is used. Particles, particle groups, and their This sensitivity of the undisturbed structure, which is
associations, together with interparticle forces and ap- quantified as the ratio of the undisturbed to fully re-
plied stresses, determine the overall soil structure. molded strength at the same water content, can be great
The term structure is also used to account for dif- enough to give the strength loss due to remolding
ferences between the properties of a soil in its natural shown in Fig. 8.1.
state and of the same soil at the same void ratio but Terzaghi (1925a) theorized that adsorbed water lay-
thoroughly remolded, or between the soil in its natural ers had a high viscosity near particle surfaces and were
state and after remolding and the reapplication of the responsible for strong adhesion between mineral grains
original stress state. Thoroughly remolded and re- at points of contact between particles. Disturbance of
worked soil is said to be destructured. Virtually every the clay caused contacts to rupture, more water to fill
natural, undisturbed soil has structure. As emphasized in around the old contact points, and the strength to
by Leroueil and Vaughan (1990), the structure can be drop. Different adsorbed ions were also recognized as
as significant in determining engineering behavior as possibly responsible for differences in strength and
can such important factors as porosity and stress his- sensitivity (Terzaghi, 1941). Goldschmidt (1926) hy-
tory. pothesized that particles in sensitive clay are arranged
How residual and transported soil deposits are in a ‘‘cardhouse’’ that collapses on remolding.
formed, how the formative processes and subsequent A load-carrying skeleton consisting of highly com-
changes over time act to produce unique types of soil pressed ‘‘bond clay’’ trapped between silt and fine sand
195
196 8 SOIL DEPOSITS—THEIR FORMATION, STRUCTURE, GEOTECHNICAL PROPERTIES, AND STABILITY
properties of soil, to interrelate structure and proper-

ties. Modern concepts of soil structure and its impor-
tance in geotechnics began to be formulated in the
early 1950s, for example, Lambe (1953) and in the
comprehensive review of clay microstructure given by
Bennett and Hurlbut (1986).
General Considerations in Structure Development

A soil’s structure is composed of a fabric and inter-
particle force system that reflect all facets of the soil
composition, history, present state, and environment.
Structure-determining factors and processes are sum-
marized in Fig. 8.2. Initial conditions dominate the
structure of young deposits at high porosity or freshly
compacted soils, whereas older soils at lower porosity
are likely to be influenced more by the postdeposi-
tional changes.
Single-grain fabrics are uncommon in soils contain-
ing clay. Complex fabric units of micrometer-to-
millimeter size or greater consisting of skeleton grains,
clay aggregates, and pores are characteristic of most
fine-grained soil structures.
The principle of chemical irreversibility of clay fab-
ric (Bennett and Hurlbut, 1986) applies generally to
fine-grained soil deposits. This principle recognizes
that the chemical environment is critical during the in-
itial stages of sediment fabric formation in water. How-
Figure 8.1 Strength loss of a clay that is extremely sensitive
ever, after the initial flocculation of particles and
to remolding. Clay that becomes fluid on remolding is termed deposition, the chemistry is much less important in in-
quick clay (photograph courtesy of Haley and Aldrich, Inc.). fluencing fabric changes and subsequent states. Me-
chanical energy rather than chemical energy becomes
the dominant factor influencing subsequent behavior.
particles was suggested by Casagrande (1932a) as re-
sponsible for marine clay sensitivity. Such a fabric is Residual Soils
assumed to form by simultaneous deposition of floc- The texture of residual soils formed by the in-place
culated clay particles and silt and sand grains in the weathering of crystalline rocks may be quite similar to
saltwater environment. The clay deposited in the inter- that of the parent rock. Clay particles may form coat-
stices between the elements of the skeleton, termed ings over silt and sand grains as a result of repeated
matrix clay, is assumed to be only partly consolidated wetting and drying. Open, porous fabrics form in some
and remain at high water content. Remolding mixes zones, while dense, low-porosity fabrics form in oth-
the matrix and bond clays, thereby destroying the pri- ers, and heterogeneity is common.
mary load-carrying structure and causing a reduction Intense weathering and leaching, coupled with an
in strength. abundance of aluminum and iron oxides, produces fab-
Winterkorn and Tschebotarioff (1947) suggested rics and textures ranging from open granular to dense
that sensitivity resulted from a cementation similar to and clayey in tropical and subtropical soils. Concre-
that in loess and sandstone. This cementation was at- tions and nodules are common in some of these ma-
tributed to slow recrystallization or formation of ce- terials. For example, a red kaolinitic clay from Kenya
menting materials from inorganic substances of low is composed of ‘‘crumbs’’ made up of ‘‘subcrumbs’’
solubility. that can in turn break up into ‘‘sub-subcrumbs’’ that
In the years since the formulation of these ideas of contain a random arrangement of individual particles
soil structure, it has been possible to determine fabrics (Barden, 1973). Pores are in two classes: irregular
and compositions in more detail and, along with a bet- pores of about 1 m and very small pores of about
ter understanding of the stress–deformation–strength 5 nm.
STRUCTURE DEVELOPMENT 197
Figure 8.2 Structure-determining factors and processes.
Alluvial Soils work of filmy particles may form. Ca–montmorillonite

Alluvial soils can be deposited in marine, brackish wa- particles are usually made up of several unit layers.
ter, or freshwater basins. Single clay particles are rare, Some heavily consolidated montmorillonites exhibit
and flocculated fabrics of particle groups can form in surprisingly little preferred orientation.
water over the full range of salinities. Edge-to-face There is little or no preferred particle orientation in
flocculated and aggregated arrangements, similar to soft marine and brackish water illitic clays, except
Fig. 5.3e, are common in marine clays, with dispersed within aggregates, whereas in soft freshwater clays,
groups and turbostratic groups, similar to inter- particles larger than 0.5 m align with their long axes
weaving bunches (Fig. 5.3h) found mainly in brackish normal to the direction of the consolidation pressure.
water clays (Collins and McGown, 1974). In clay sediments derived from preexisting shale, the
Silt and sand grains are reasonably evenly distrib- aggregates themselves may be small rock fragments
uted, except in varved or stratified clays, and the larger within which the clay plates are intensely oriented.
grains are not usually in contact with each other. Open The open packing of sensitive postglacial clay may
initial fabrics are characteristic of water-laid sediments, be due in part to the presence of very small quartz
with the degree of openness dependent on clay min- particles of platy morphology (Krinsley and Smalley,
eralogy, particle size, and water chemistry, including 1973; Smalley et al., 1973). Below a critical size of
both the total salt content and the monovalent/divalent about a cleavage mechanism appears to exist, so platy
cation ratio. The intensity of flocculation may be less particles of quartz and possibly other nonclay minerals
in brackish and freshwater deposits, so subsequent form as a result of grinding.
consolidation can cause greater preferred orientation of Organic matter in the form of microscopic animal
platy particles and particle groups than in saltwater and plant fragments, microorganisms, and organic
clays. Very slow accumulation rates allow for more compounds can have a profound effect on the structure
stability in open fabrics than is possible when the sed- and properties of postglacial clays (Söderblom, 1966;
iment accumulates rapidly. Pusch, 1973a, 1973b). The number of bacteria in the
Aggregates in illitic clay contain particle arrange- oceans is from 1 ⫻ 109 to 3 ⫻ 1011 per m3 at depths
ments ranging from random to booklike. Booklike of 10 to 50 m beneath the surface (Reinheimer, 1971).
aggregates are most common in kaolinite. The concen- It is probable that microorganisms were prevalent in
tration and type of adsorbed cations usually controls the ocean at the time postglacial clays were formed as
the basic fabric units in smectite. Na–montmorillonite well. As organic material and clay surfaces interacted,
can separate into unit layers, and an interwoven net- organic matter was attached to the sedimentary aggre-
gates. In the new environment most of the organisms mineral types are characteristic of these materials.
died or became dormant because of the absence of nu- Well-developed domains of clay are common, and
trients, subsequently contributing humic acids, fulvic there may be soft clay zones that bridge over some
acids, and humus. Either aggregating or dispersing ten- pores caused by the arching action of the large parti-
dencies result, depending on the environment. Electron cles. High past stresses on some boulder clays have
micrographs of ultrathin sections (Pusch, 1973a) show developed macrofabric features that include shear
organic matter both as fluffy bodies and as distinct ob- zones and shear planes.
jects associated with aggregates.
Fabric anisotropy as a result of one-dimensional Remolded and Compacted Soil Fabrics
compression after deposition will ordinarily result in The fabric immediately after remolding or compacting
some anisotropy of mechanical properties. Currents, a soil depends on several factors, including strength of
waves, and slopes may also cause preferred orienta- preexisting fabric units, compaction method, and com-
tions of particles. An example for Portsea Beach sand paction or remolding effort. The general effects of dis-
is shown in Fig. 8.3. The long axes of elongate parti- turbance and remolding at constant water content are
cles show preferred orientations parallel to the coast- to break down flocculated aggregations, destroy shear
line and dipping landward at an angle of about 10. planes, eliminate large pores, and produce a more ho-
mogeneous fabric (on a macroscopic scale). Whether
Aeolian Soils or not there will be a preferred direction of particle
Wind-deposited soils such as loess are characterized orientation depends on the methods used. When well-
by particles in the silt and fine sand ranges, although defined shear planes are formed, there usually is an
small amounts of clay are often present. These depos- alignment of platy particles or particle groups along
its, which are usually partly saturated, are often subject the shear plane.
to collapse if saturated. The loose metastable fabric is Under anisotropic consolidation conditions, plates
maintained by clay and light carbonate cementation at align with their long axes in the plane acted on by the
grain contacts. The overall macrofabric can be de- major principle stress. An isotropic (hydrostatic) con-
scribed as bulky granular. solidation stress produces an isotropic fabric, provided
Directional, preferred orientation in Vicksburg (Mis- the fabric was isotropic at the start of consolidation.
sissippi) loess was observed and described by Matal- Soil compaction can be done using different meth-
ucci et al. (1969). The long axes of grains concentrated ods, including impact, kneading, vibratory, and static.
in an azimuth direction of 285 to 289, with an incli- The method used and the initial state of the soil can
nation of 3 to 8. A prevailing wind direction of 290 have profound effects on the fabrics of both sands and
at the time of deposition was deduced from the thin- clays and on the properties of the compacted soil. In
ning pattern of the loess in the area, thus accounting clays, the water content is important; it controls the
for the observed three-dimensional anisotropy. ease with which particles and particle groups can be
rearranged under the compactive effort.
Glacial Deposits A major factor in formation of fabric in a compacted
The wide range of particle sizes within and among fine-grained soil is whether or not the compaction ram-
glacial soils, as well as their widely varying rates of mer induces large shear strains. If the hammer (impact
deposition from meltwater, produces a range of fabric compaction), tamper (kneading compaction), or piston
types. The presence of small, platy quartz particles de- (static compaction) does not penetrate the soil, as is
rived by glacial grinding was noted earlier. Many silty usual for compaction dry of optimum water content,
and sandy ablation tills have a multimodal grain size then there may be a general alignment of particles or
distribution, with coarser particles distributed through particle groups in horizontal planes. If the soil is suf-
a fine-particle matrix (McGown, 1973). The fabric of ficiently wet of optimum that the compaction rammer
the matrix is variable. Many fabric forms are similar penetrates the soil surface as a result of a bearing ca-
to those observed in collapsing soils (Barden et al., pacity failure under the rammer face, there is an align-
1973). ment of particles along the failure surfaces. A series
Boulder clays differ from soft, sedimentary clays in of such zones is developed as a result of successive
that they contain a wider range of grain sizes, with rammer blows, and a folded or convoluted fabric may
some particles extending into the gravel to boulder result, as shown, for example, by Fig. 8.4.
ranges, and they are much denser. Many boulder clays
have been subjected to high vertical and tangential Effects of Postformational Changes
stresses as a result of readvancing ice sheets. Poor sort- As listed in Fig. 8.2, a large number of postformational
ing and the presence of a large number of different factors can modify the initial structure of a soil.
STRUCTURE DEVELOPMENT 199
Figure 8.3 Fabric and particle orientation in Portsea Beach sand (Lafeber and Willoughby,
1971). (a) Vertical cross section (perpendicular to the coastline) where B is the dip direction
of bedding plane, H is the horizontal plane, and I is the imbrication plane. (b) Distribution
of long axis orientations.
weakly bonded, such as in loess. Shrinkage associated

with drying collapses open particle arrangements and
creates domain-type aggregates in some soils and ten-
sion cracking in others. Drying concentrates clay
around sand and silt particles and between their contact
points. Ice lens formation in frost-susceptible soils can
open cracks and fissures, followed later by collapse on
thawing.
Pressure and Consolidation Consolidation under
pressure usually strengthens the structure through de-
crease in porosity and the formation of stronger inter-
particle contacts. However, in some soils that possess
bonding and cementation in their initial states, consol-
idation stresses greater than some critical value can
break down the structure, thus causing weakening and
collapse.
Temperature Transformations of structure associ-
ated with leaching, precipitation, cementation, weath-
Figure 8.4 Microfabric of Takahata kaolin compacted wet ering, and pressure increase develop more rapidly at
of optimum using impact compaction ⫻1000. Reprinted from high temperatures than at low temperatures.
Yoshinaka and Kazama (1973) with permission of The Jap- Shearing Shearing collapses some structures,
anese Society of SMFE. whereas in others, such as heavily overconsolidated
clay, it may change the structure significantly only in
the immediate vicinity (a few millimeters) of the shear
Time Chemical diffusion and chemical reactions plane.
are time dependent. Following deposition, remolding, Unloading Stress relief as a result of unloading can
or compaction, the interparticle forces, and therefore allow elastic rebound of particles and particle groups
the mechanical properties, can also change simply as and the onset of swelling. Some very stiff materials
a result of pore pressure redistribution in the new en- may split and/or spall after unloading.
vironment. The following sections of this chapter describe and
Seepage and Leaching The flow of fluids through discuss the structures, properties, and stability of many
a soil can do at least four things: of the soils identified above in more detail.
1. Move particles.
2. Cause compression due to seepage forces. 8.3 RESIDUAL SOILS
3. Remove chemicals, colloids, and microorganisms
by leaching. Our geotechnical understanding of residual and tropi-
4. Introduce chemicals, colloids, and microorgan- cal soils is much less developed than it is for sedi-
isms. mentary sands, clays, silts, and tills. This is because
by far the greatest amount of what might be termed
Precipitation/Cementation Precipitation of mate- ‘‘classical’’ geotechnical engineering has developed
rials onto particle surfaces, at interparticle contacts, from research and projects involving sedimented soils,
and in pores can produce cementation. A fabric of that is, materials that have been eroded, transported,
partly discernable particle groups may form. and redeposited in a new environment. Much work
Weathering In the zone of weathering, some ma- with these materials has been in areas of temperate
terials are broken down and others are formed. climate. However, the need for knowledge and under-
Changes in pore water chemistry influence the inter- standing of the engineering behavior of tropical resid-
particle forces and flocculation–deflocculation tenden- ual soils is great, owing to the extensive construction
cies. Weathering can disrupt the initial soil fabric. worldwide in areas covered by these soils.
Cyclical wetting and drying and freezing and thaw- Residual soils differ from sedimentary soils in that
ing disrupt weak particle assemblages and intergroup they have formed in place in response to the local
associations. Wetting generally means weakening and parent material, climate, topography, and drainage
may lead to collapse of some structures, particularly conditions. They may retain elements of the parent
those with open fabrics where particles are only material structure; they are usually nonuniform and
RESIDUAL SOILS 201
characterized by highly variable thickness or depth to
bedrock. Frequently encountered residual soils include
tropical soils, saprolite, and decomposed granite.
Various engineering classification systems are avail-
able, and they can be categorized into three types
(Wesley, 1988): (a) methods based on weathering pro-
file, (b) methods based on pedological classification
(see Section 8.4), and (c) methods for specific local
soils. Discussion of these systems is given by Wesley
(1988) and Wesley and Irfan (1997). Due to the great
diversity in residual soil types and properties, devel-
opment of a single engineering classification system
that has universal applicability is unlikely.
Tropical Soils
In regions of high temperature and abundant rainfall,
rock weathering is intensive and is characterized by
the rapid breakdown of feldspars and ferromagnesian
minerals, the removal of silica and bases (Na2O, K2O,
MgO), and the concentration of iron and aluminum
oxides. This process is termed laterization (Gidigasu,
1972; Grant, 1974; and others) and involves leaching
of SiO2 and deposition of Fe2O3 and Al2O3. A laterite
is a soil whose ratio of SiO2 to Al2O3 is less than 1.33,
whereas a lateritic soil has a ratio between 1.33 and
2.00 (Bawa, 1957).
With abundant rainfall, high temperature, good Figure 8.5 Schematic diagram of a typical tropical residual
drainage, and crystalline parent materials, feldspars soil profile (from Little, 1969).
weather initially to kaolinite, hydrated iron and alu-
minum oxides (sesquioxides) are formed, and the more
resistant quartz and mica particles may remain. As the layers are not always clearly defined, and there are
weathering proceeds, the content of kaolinite de- several systems for classifying them based on the de-
creases, and the hydrated iron and aluminum oxides gree of weathering and engineering properties (Little,
(goethite and gibbsite) progressively alter to hematite 1969; Deere and Patton, 1971; Tuncer and Lohnes,
(Fe2O3). Because of the high iron concentration, the 1977).
resulting soils, termed oxisols, are usually red. Owing to their compositions, structures, and for-
The tropical weathering of volcanic ash and rock mational histories, laterites and andisols have several
leads to formation of allophane and halloysite, along unique properties relative to those of typical sand and
with the sesquioxides of iron and aluminum. Smectites clay deposits formed from transported sediments
(montmorillonites) may also form in the early stages (Mitchell and Sitar, 1982).
of weathering of volcanic materials. Ultimately, kao-
linite and gibbsite may form. Soils formed from weath- 1. Cemented particle aggregates and clusters sus-
ering of volcanic ash and rocks are termed andisols. ceptible to mechanical breakdown are common.
Allophane as a clay mineral type is described in Continued mechanical working or the removal of
Chapter 3. The term allophane soil is also used to refer sesquioxides from such soils can result in sig-
to andisols. They occur commonly in the Caribbean, nificant changes in properties. The effects of
the Andes, and the Pacific areas of the United States, remolding and sesquioxide removal on the
Indonesia, Japan, and New Zealand. A comprehensive classification properties of a lateritic soil are
presentation of the structure and properties of allo- shown in Table 8.1.
phane soils is given by Maeda et al. (1977) and Wesley 2. Air drying may cause clay size particles to form
(1977). aggregates of silt and sand size and a loss of
A typical deep weathering profile in the tropics is plasticity, as shown by the data in Table 8.2. The
shown schematically in Fig. 8.5. Boundaries between significant decrease in plasticity that resulted
Table 8.1 Physical Properties of Unremolded, Remolded, and

Sesquioxide-Free Lateritic Soil
Sesquioxide
Property Unremolded Remolded Free
Liquid limit (%) 57.8 69.0 51.3
Plastic limit (%) 39.5 40.1 32.1
Plasticity index (%) 18.3 28.0 19.2
Specific gravity 2.80 2.80 2.67
Proctor density 13.3 13.0 13.8
(kN/m3)
Optimum moisture 35.0 34.5 29.5
content (%)
From Townsend et al. (1971).
Table 8.2 Effect of Air Drying on Index Properties of a Hydrated Laterite Clay from the Hawaiian Islands
Wet
(at Natural Moist Dry
Moisture (Partial Air (Complete
Index Properties Content) Drying) Air Drying) Remarks
Sand content (%) 30 42 86 Dispersion prior to hydrometer test
with sodium silicate
Silt content (%) 34 17 11
(0.05–0.005 mm)
Clay content (%) 36 41 3
(⬍0.005 mm)
Liquid limit (%) 245 217 NP Soaking in water for 7 days did
Plastic limit (%) 135 146 NP not cause regain of plasticity
Plasticity index (%) 110 71 NP lost due to the air drying
After Willis (1946); in Gidigasu (1974). Reprinted with permission from Elsevier Science Publishers.
from drying a number of different tropical soils 6. Soils in tropical areas exist at water contents
is shown in Fig. 8.6. higher than those that are desirable for most
3. Drying may cause hardening, and this hardening earthwork construction. As a result, difficulties in
may be irreversible in some cases. British Stan- soil handling and compaction are common.
dard BS1377 (1990) recognizes the irreversible The yielding and strength of residual soils reflect their
changes that occur during drying and recom- bonded structure. The preconsolidation pressure may
mends that tropical residual soils be tested in have no connection with the stress history or overbur-
their natural state wherever possible. den pressure on the soil. Typical preconsolidation pres-
4. The compacted dry density, plasticity index, and sure values of residual soils are given in Table 8.3.
compressibility of tropical residual soils are After yielding, residual soils exhibit large compressi-
likely to be less than the values for temperate bility as a result of structure degradation and particle
soils of comparable liquid limit. On the other breakage. A relationship between compression index
hand, the strength and permeability may be and in situ void ratio for several soils is given in Fig.
higher. 8.7. Extensive discussion on the mechanical behavior
5. Tropical residual soils commonly are heteroge- of residual soils in relation to their bonded structure is
neous in structure and texture. given by Vaughan (1988).
RESIDUAL SOILS 203
Figure 8.6 Effect of drying on the Atterberg limits of some tropical soils (from Morin and
Todor, 1975).
Table 8.3 Yield Stresses of Various Residual Soils
a)
ine
Obtained from Odometer or K0 Triaxial Tests
Gu
w
Ne
Soil Type and Location Yield Stress (kPa) 1.5
a
ap
Soft Clay (Canada) Sensitivity 8
(P
Sensitivity 4
ite
Compression Index, Cc
Halloysite and allophone, Papua
ys
llo
Seprolitic (Sea USA)
New Guinea 100–350
Ha
Tuccarul, various
d
Volcanic clay 110–270
an
1.0 (Brazil)
ne
Gneiss, basalt, and sandstone, From Basalt
ha
(Brazil)
lop
Brazil 60–450
Al
Granite, basalt, and sandstone,
Brazil 50–200 Lateritic
Halloysite and allophone, Japan 200–550 0.5 (Brazil) From Basalt (Brazil)
Granite, gneiss, and schist, USA 50–150 e iss
Gneiss, Venezuela 50–300 Gn il)
om az From Volcanic Ash (Italy)
Fr (Br
Volcanic ash, Indonesia and New
Gurl. Venezuela (Field)
Zealand 200–500
1.0 2.0 3.0 4.0
After Fookes (1997). In Situ Void Ratio
Figure 8.7 Relationship between compression index, mea-

sured by odometer tests and initial void ratio (after Vaughan,
1988).
Saprolite
Saprolite is derived from the in situ decomposition of
parent rock and typically contains soil-like components
and partially weathered and/or fresh rock components.
Decomposed Granite
Saprolites usually retain some visible remnant rock
structure, such as schistosity, relict joints, and parent Selective and progressive decomposition of unstable
rock fabric. Often the contact between saprolitic soil minerals in granitic bedrock breaks up the rock by
and the underlying parent rock is gradational and in- spheroidal weathering, disintegration, and disaggrega-
distinct. Although saprolites may retain much of their tion. Granitic rock may weather to depths of 30 m or
rocklike appearance, they break down easily into a more and may contain mixtures of solid rock and re-
soil-like material. The cracks and joints in a saprolite sidual debris throughout most of the profile. The pro-
are often filled with clay, and this can result in low portion of solid rock usually decreases gradually from
resistance to sliding when wet. the base upward.
Granitic rock weathers in general accordance with als that are coarse and uniformly graded, and for
Bowen’s reaction series. Biotite decomposes first, highly angular particles and particles with high intra-
followed by plagioclase feldspar. When part of the granular void content. Consequences of this may in-
plagioclase has decomposed and breakdown of the clude substantial reductions in the peak frictional
orthoclase begins, the rock breaks into fragments of strength with increasing confining pressure. For ex-
decomposed granite called gruss. When most of the ample, Yapa et al. (1995) found a reduction in friction
orthoclase has weathered to kaolinite, the gruss crum- angle of 25 percent in densely compacted specimens
bles to silty sand, which typically contains mica flakes. and about 15 percent in loose specimens over the con-
Apart from some mechanical breakdown, the quartz fining pressure range from 100 to 1500 kPa. Friction
fragments remain unchanged. angles assigned to decomposed granites used in 12 em-
Decomposed granite profiles generally contain four bankment dam fills constructed in California in the
zones as shown in Fig. 8.8. The deepest zone consists 1960s were conservatively selected and ranged from
of angular granitic blocks. The amount of residual de- 29 to 38. Compaction to greater than 90 percent mod-
bris is small, although the rock may be relatively ified Proctor maximum relative compaction at opti-
highly altered. The next zone above contains abundant mum water content is recommended to minimize
angular to subangular core stones in a matrix of gruss settlement due to postconstruction hydrocompression
and residual debris. The upper middle zone is the most when the fill is wetted.
variable part of the weathering profile and typically During the 1995 Kobe, Japan, earthquake, many re-
contains about equal amounts of rounded core stones, claimed land sites in Kobe liquefied extensively. The
gruss, and residual debris. The topmost zone usually soil used for reclamation was decomposed granite
consists of an unstructured mass of clayey sand with called Masado, which is a well-graded material with
a highly variable grain size distribution. particles ranging from gravels to fines. The liquefac-
Construction can be difficult in areas underlain by tion of this soil was surprising because of its higher
decomposed granite. The bedrock profile is highly ir- uniformity coefficient and greater dry density than
regular, and competent bedrock may be located at vari- sandy soils. The weak and crushable character of Ma-
able depths below the ground surface. The core stones sado particles is considered to be one of the causes.
can present significant obstacles to excavation. Seem- The undrained cyclic shear strength of the decomposed
ingly sound pieces of rock and gravel break down granite was found to be much smaller than that of a
when excavated or used in earthwork construction. The gravelly soil that had a similar particle size distribution
presence of mica may cause cohesionless soils com- but with strong particles (Kokusho et al., 2004).
posed of decomposed granite to be highly compressi-
ble. Colluvial Soils
Decomposed granite can be used successfully as an Colluvium is soil that has formed in place but subse-
embankment fill material provided it is remembered quently has been transported down slope by gravity.
that particles may undergo substantial breakage under Colluvial soils frequently consist of abundant parent
relatively low stresses. Breakage is greatest in materi- rock fragments in a heterogeneous clayey to sandy ma-
trix. They are often found on hillsides and may accu-
mulate in topographic depressions or swales. Slope
stability problems may be associated with thick accu-
mulations of colluvium. For example, the colluviums
in Hong Kong can be up to 30 m thick, often exist in
a loose state on steep slopes, and have been responsible
for catastrophic landslides leading to significant loss of
life. (Philipson and Brand, 1985).
Pyritic Soils
Pyrite (FeS2) bearing rocks and soils are responsible
for foundation heave, concrete degradation, steel cor-
rosion, environmental damage, acid drainage, acceler-
ated weathering of rock, and loss of strength and
stability of geomaterials. Sulfur occurs in rock and soil
in the forms of sulfide (S⫺ or S2⫺), sulfate (SO42⫺), and
Figure 8.8 Zones of a mature profile of decomposed granite. organic sulfur. The amount of sulfide sulfur (also
SURFICIAL RESIDUAL SOILS AND TAXONOMY 205
known as pyritic sulfur) in a material is a good indi- mechanisms, and mitigation strategies associated with
cator of the potential for weathering. Sulfide-induced pyrite-bearing soils and rocks is given by Bryant et al.
heave has occurred in materials containing as little as (2003).
0.1 percent sulfide sulfur (Belgeri and Siegel, 1998).
Products of pyrite oxidation include sulfate miner-
als, insoluble iron oxides, such as goethite (FeOOH) 8.4 SURFICIAL RESIDUAL SOILS AND
and hematite (Fe2O3), and sulfuric acid (H2SO4). Sul- TAXONOMY
furic acid can dissolve other sulfides, heavy metals,
and the like that are present in the oxidation zone, thus Agricultural soil maps are often available for areas
allowing the effects of oxidation to increase as the where engineering data are lacking. They can be useful
process builds upon itself. Sulfate crystals form in cap- for preliminary assessments of surficial soils and their
illary zones and localize along discontinuities due to properties. These soils are of particular importance in
reduced confining stress in these regions. Volume in- highway, airfield, and land development projects. Sur-
crease from the growth of sulfate minerals along bed- face soils are classified so that they can be aggregated
ding planes is a dominant factor in the vertical heave into categories that are useful for understanding gen-
that occurs in shale and other layered materials. The esis, properties, and behavior, especially in relation to
production of sulfates by pyrite oxidation also in- agriculture. All soils in the United States (more than
creases the potential for further deleterious reactions, 11,000 in 1980) and numerous soils in other countries
such as the formation of gypsum (CaSO4 2H2O) and have been classified according to soil taxonomy (Soil
other expansive sulfate minerals (e.g., ettringite). Survey Staff, 1975).
Pyrite oxidation processes proceed in the following Soil taxonomy is a multicategory system of soil clas-
way: sification that includes 10 orders, about 47 suborders,
200 great groups, 1000 subgroups, 2000 families, and
10,000 series. Unlike most classification systems, each
FeS2 ⫹ –72 O2 ⫹ H2O → Fe2⫹ ⫹ 2SO42⫺ ⫹ 2H⫹
category of soil taxonomy carries elements of the
Fe2⫹ ⫹ –14 O2 ⫹ H⫹ → Fe3⫹ ⫹ –21 H2O higher category so that when a soil is classified at the
family level, the family name indicates the order, sub-
Fe3⫹ ⫹ 3H2O → Fe(OH)3 ⫹ 3H⫹ order, great group, and subgroup to which the soil
belongs. The soil family name also may contain infor-
FeS2 ⫹ 14Fe3⫹ ⫹ 8H2O → 15Fe2⫹ mation on particle size, mineralogy, mean annual soil
⫹ 2SO42⫺ ⫹ 16H⫹ temperature, pH, soil slope, and soil depth.
Soil orders and suborders of the world are related to
climate. The orders and their characteristics are given
These reactions are usually catalyzed by microbial ac-
below. The general characteristics of residual soil pro-
tivity. The sulfuric acid that is produced is often the
files and the definitions of specific horizons within pro-
source of acid rock drainage (ARD) and acid mine
files are given in Section 2.7 and Table 2.4.
drainage (AMD).
Entisols (recent soils) are generally without profile
Gypsum forms when sulfate ions react with calcium
development and include alluvial deposits of clay to
in the presence of water,
gravel, deep, soft mineral deposits such as sand dunes,
loess, glacial drift, and masses of rock fragments from
H2SO4 ⫹ CaCO3 ⫹ H2O → CaSO4 2H2O ⫹ CO2 imperfectly weathered, consolidated rocks. Entisols
include some recent, young soils formed in poorly
and is accompanied by very large volume increases, as drained areas. In general, geotechnical engineers en-
the products of pyrite oxidation reactions are signifi- counter these soils more than any other because large
cantly less dense than the initial sulfide (pyrite). Pyrite, construction activities tend to concentrate in areas
of specific gravity (Gs ⫽ 4.8–5.1), reacts with calcite where these soils accumulate, such as in river valleys
(Gs ⫽ 2.7) to create gypsum (Gs ⫽ 2.3) (Hawkins and and in areas bounded by water. The majority of large
Pinches, 1997). urban areas are located in such regions. To understand
Mitigation options that are useful for preventing or the characteristics of these soils requires consideration
reducing sulfide-induced problems include controlling of transportation, deposition, and postdepositional sed-
the pyrite oxidation process, use of restraining forces imentary processes. These topics are considered in
to prevent ground movement, design measures that al- Section 2.8.
low for movement, and removal or neutralization of Vertisols (inverted soils) are deep and clayey and are
acid. A recent review of geotechnical problems, heave known also as black cotton, black earth, and blackland
soils. They are associated with a climate that has very deep. A relatively thick B horizon may be brightly col-
dry and very wet seasons. The texture of all horizons ored (red and yellow) as a result of oxidation and hy-
is clayey, and the dominant clay mineral is smectite. dration of iron. The B horizon has more than twice the
The soils are expansive. clay content of the A horizon. The cation exchange
Inceptisols, or new soils, include tundra and selected capacity is low in all horizons, and the clay fraction is
soils of marshes, swamps, and flat areas. Tundra is a composed mainly of kaolinite, illite, and quartz. Many
dark gray, peaty accumulation over gray mottled min- lateritic soils of subtropical regions are ultisols.
eral horizons. The soil is poorly drained and boggy. Oxisol is an iron oxide and aluminum oxide-rich,
The clay mineral content is low. Permafrost (perma- highly weathered clayey material that changes irre-
nently frozen soil) is frequently present in the substra- versibly to concretions, hardpans, or crusts when de-
tum. Humic-gley inceptisols are mineral soils formed hydrated. Clay minerals are rapidly broken down and
in poorly drained areas that possess a sticky, compact, removed. What little clay remains is usually kaolinitic.
gray, or olive-gray B or C horizon. The A horizon may Deposits of these soils may be up to 30 m or more in
contain 5 to 10 percent organic matter. depth and may range in texture from friable soils to
Aridisols (arid soils) are characterized by surface ac- hard rock. Some oxisols are strong and resistant to
cumulations of salts from upward movement of water, breakdown; however, others may lose their granular
and usually consist of several centimeters of soil over characteristics when worked, becoming soft, clayey,
a calcareous parent material. The soils may be alkaline, and impervious. Most laterites of the tropics are oxi-
with high concentrations of soluble salts of calcium, sols.
magnesium, and sodium near the surface. Illite and Histosols, or organic soils, are bog soils whose char-
smectite are common in these soils. acteristics depend largely on the nature of the vegeta-
Mollisols generally form in cool areas having annual tion from which they form.
rainfall of 400 to 650 mm. They typically have a dark An 11th order, andisols was also proposed to ac-
A1 horizon, and the horizon boundaries are indistinct. commodate the soil developed from volcanic ash.
Smectites predominate in the clay fraction over illite.
There may be local accumulations of sepiolite, paly-
gorskite, and attapulgite, and calcium salts may be 8.5 TERRESTRIAL DEPOSITS
present.
Aeolian Deposits
Spodosols are found south of the tundras in areas
where rainfall exceeds 600 mm/yr, and summers are Of the various sediment transporting agents, wind is
short and cool. Spodosols are characterized by mod- the only one that can move material uphill for any
erate humus accumulation, a thin A1 horizon, and a distance. Wind is most easily able to move sand. It is
strongly eluviated A2 horizon. The B horizon is dark not a universal agent of erosion, as its effects are re-
brown to reddish brown and often cemented by organic stricted to areas of a particular climate such as deserts
compounds and iron oxides. The texture of all horizons or to specific places such as beaches and plowed fields.
except O is often sandy. The soils are acid, have a low The load suspended by the wind, which is composed
cation exchange capacity, and illite dominates the clay primarily of silt-size particles, is carried high above the
fraction. ground and may be transported for great distances. The
Alfisols are found south of the spodosol region and bed load, moved by saltation and traction, moves
east of the prairies in northeastern United States and slowly and as a unit.
southeastern Canada and in the humid, temperate areas Deposition from wind occurs with reduction in wind
of western Europe and eastern Asia, where rainfall av- velocity. Consequently, accumulations are found in the
erages 750 to 1300 mm annually. These soils are char- lee of desert areas. Coarser particles of sand, carried
acterized by a thin A1 horizon (50 to 150 mm) and a by saltation and traction, pile in dunes with their long
well-developed gray to yellowish A2 horizon. The B axis parallel to the wind. Loess deposits, composed of
horizon is gray to reddish brown, darker, and of finer silt-size particles, are of particular interest because of
texture than either the A or C horizons. They are acid their unique structure and properties and are described
soils, and kaolinite is the dominant clay mineral. more fully in Section 8.16.
Ultisols are found in areas of high temperature and
high rain (1000 to 1500 mm/yr). Leaching is great, Glacial Deposits
and mineral decay is rapid. Surface accumulation of Several types of deposit form from glacial melting, as
organic matter is small, and the leached A horizon is listed in Table 8.4. Moraines are dropped directly from
TERRESTRIAL DEPOSITS 207
Table 8.4 Deposits of the Glacial Environment
I. Ice Deposited Material

A. Sediments
1. Boulder clay or till (drift includes glacial and glacio-fluvial sediments)
2. Erratics
B. Structures
1. Moraines
a. Lateral moraine—ribbon of debris on sides of glacier
b. Medial moraine—merging of inner lateral moraines of two joining glaciers
c. Englacial moraine—material within ice
d. Subglacial moraine—material at sole of glacier
e. Ground moraine—deposited subglacial moraine
f. Terminal or end moraine—ridge of deposits built up at end of glacier
g. Recessional moraine—terminal moraine of receding glacier
2. Drumlins
Mounds of boulder clay formed under deep ice
II. Glacio-Fluvial Deposited Material
A. Sediments
1. Coarse gravel to clay, progressively sorted dams and deltas
2. Crudely bedded gravel and sand in kames and eskers
B. Structures
1. Alluvial fans for glaciers terminating on land
2. Outwash plains merged with fans
3. Deltas for glaciers terminating in standing water
4. Kettle holes caused by melting of stranded ice blocks
5. Kames—mounds of crudely bedded sand and gravel caused by stream from melting ice
6. Esker—winding ridge of sand and gravel from meltwater stream in ice tunnel or from receding ice
III. Glacial Lake Deposited Material
A. Sediments
1. Sands to clay
2. Poor sorting and stratification of channel deposits
3. Excellent stratification of lake floor deposits
B. Structures
1. Overflow channels where lake water escaped
2. Shore line deposits and terraces from waves and currents
3. Deltas
4. Lake floor sediments including varved clays
the melting ice. There are several types of moraine, sorted gravel and sand deposits. Many lateral moraines
depending on where the material is dumped relative to and dead ice deposits are mixed glacial and glacio-
the ice mass, as indicated in the table. Moraines usu- fluvial deposits.
ally contain a wide range of unsorted particle sizes, Glacial lake deposits are quiet water sediments that
and the material is known as till. When large amounts are usually composed of fine-grained materials. Varved
of boulders and clay are present, the deposit is referred clay is an example (see Fig. 2.13). The formation and
to as boulder clay. Some glacial moraines are densely characteristics of varved clay are discussed in Section
compacted owing to compression under advancing ice 2.8.
masses. The characteristics of a specific glacial deposit de-
Glacio-fluvial deposits are transported from the pend on the type and erodability of the parent material,
melting point by flowing meltwater; kames and eskers the type and distance of transportation, gradients, and
(Fig. 8.9) are examples. Kames and eskers are poorly pressures. For example, bottom moraines are usually
ley. As the stream overflows its banks during flood

stage, friction against the ground surface outside the
channel decreases the energy of the water, and a layer
consisting mainly of sands and gravels is dropped. This
process leads to the formation of natural levees.
The alluvial valley of the lower Mississippi River is
illustrative of alluvial deposits and their complexity.
The valley covers and extends from Cairo, Illinois, to
the Gulf of Mexico. All types of deposits from sands
to highly plastic clays may be found at some point
within the valley. The fall of sea level during the last
stages of glaciation led to scouring of a valley beneath
the present floodplain surface. Rising sea at the end of
the glacial period resulted in deposition of sands and
gravels in the bottom of the valley followed by finer
material above. In the 25,000 years since the last gla-
ciation, the Mississippi River has changed from an
overloaded, shallow, braided stream to a deep, single-
Figure 8.9 Glacio-fluvial sediments (Selmer-Olsen, 1964). channel, and meandering river.
The variety of deposits found within the Mississippi
River Valley is great, and their interrelationships are
complex; however, each can be accounted for in a log-
finer grained and more consolidated than lateral or end ical way in terms of the factors governing its deposi-
moraines. Finely ground (silt and clay size) rock flour tion and history, as described by Kolb and Shockley
is produced by the grinding action of the ice and may (1957).
be a major constituent of postglacial marine and lake The coarser materials were laid down initially in the
clays found in Canada and Scandinavia. bottom of the valley. Occasional lenses of clay, sandy
More extensive and detailed information on glaciers silt, and silty sand are found in these substratum de-
and the characteristics of glacial deposits can be found posits. The depths to these materials vary from about
in Leggett and Hatheway (1988) and West (1995), 3 m in the north to 30 m in the southern part of the
among many other texts and references. river, and the thickness varies from 15 to 125 m in the
same direction.
Braided stream deposits are usually remote from
Alluvial Deposits
present large streams. Most are relatively dense, sandy
Alluvial deposits form from pluvial (high rain area) silts and clayey sands. Natural levees rise to 5 m or
and fluvial (river) deposition and are generally char- more above the floodplain and decrease in grain size
acterized by laterally discontinuous, lenticular beds away from the crest and in a downstream direction.
that are oriented downstream and have different parti- Point bar deposits composed of silts and silty sands
cle size characteristics. Gravels are often in contact form on the inside of river bends during high-water
with sand and silt. periods. Clayey swales with high organic and water
Deposition from streams results from a decrease in contents form between the bars and the original riv-
slope, increased resistance to flow, a decrease in stream erbank. The alternating pervious bars and impervious
discharge, or a discharge into the more quiet waters of swales have been responsible for seepage problems in
oceans and lakes. As the slope flattens, the stream loses connection with artificial levees. Abandoned sections
energy, and all particles larger than a certain size are of the river, left behind as oxbow lakes, fill with weak
dumped in a jumble of large and small particles. The and compressible clay and silty clay layers with thick-
flow then slips to one side following the steepest slope. nesses up to 30 m or more. Abandoned river courses
The channel may subsequently fill, and the flow shifts many miles long fill with materials similar to those of
again. When this process occurs at the base of a slope, the oxbow lakes.
the result is an alluvial fan, a temporary feature that is Medium- to high-plasticity clays, often organic,
a symmetrical pile of material spread out radially from termed backswamp deposits, form in shallow areas
the point of slope change. during flood stage. Because of desiccation between pe-
In advanced stages of stream development, the riods of deposition, they have water contents lower
stream occupies only a small part of a broad, flat val- than the abandoned channel deposits.
MARINE DEPOSITS 209
Lacustrine and Paludal Deposits action capable of removing the sediment as fast as it
Lacustrine, or lake, deposition can occur under fresh- is deposited. Deltas build forward from the coastline
water or saline conditions. Gravity settling of sedi- in a complex process that leads to the formation of a
ments discharged into saline lakes may be accelerated number of separate channels, isolated lagoons, levees,
by flocculation of clay particles. Saline deposition can marshy ground, and small streams. As a result, deltas
lead to precipitation of salt beds, or evaporite deposits. may consist of coarse and fine material, organic matter,
Freshwater lacustrine deposits are generally fine- and marl (a loose or friable deposit of sand, silt, or
grained, quiet water deposits, except for narrow shore clay containing calcium carbonate). Coarse and fine
zones of sand. As an example, large shallow lakes, materials alternate owing to the continual shifting of
present in much of the western United States during the stream. Suspended silt and clay in the main stream
Pleistocene time, have resulted in the formation of lat- is flocculated by salts in the seawater to form marine
erally continuous and thick clay beds. The Corcoran mud in the seaward delta face, which is later covered
clay, which covers an area of about 15,000 km2 in by alluvial, lacustrine, and beach deposits as the delta
California’s San Joaquin Valley, forms an extensive grows.
confining bed and aquiclude in the valley and is a sig- The complex formations of the Mississippi River
nificant feature influencing groundwater development. delta reflect the composite effects of the advancing
Paludal, or swamp, deposits usually consist of plas- delta and the encroaching sea. Pleistocene sediments
tic silts, muds, and clays with high water content and consisting of dense clays, sands, and gravels underlie
organic matter. Difficult problems may be associated the delta. Sand and shell beaches, often 5 m high or
with these deposits because of their low strength and more, are among the most suitable deltaic formations
high compressibility and from the formation of marsh for foundation support. Conversely, difficult geotech-
gas. nical problems are associated with fine-grained and or-
ganic delta sediments because of their low strength and
high compressibility.
8.6 MIXED CONTINENTAL AND MARINE
DEPOSITS 8.7 MARINE DEPOSITS
Littoral Deposits An averaged and idealized profile through the marine
Littoral deposits form in the tidal zone and consist of environment is shown in Fig. 8.10. The continental
tidal lagoon, tidal flat, and beach sediments. Lagoon shelf extends from low tide to an average water depth
sediments include fine-grained sands and silts in the of about 130 m (nearly 450 ft). The steeper continental
channels and organic-rich silt and clay in the quiet ar- slope (average of 4 leads down to the more gently
eas. Organic matter and carbonates may be abundant. sloping continental rise. The average water depth in
Tidal flat deposits consist of fine-grained dark muds, the deep ocean is more than 3500 m (11,500 ft).
with lenses or stringers of sand and gravel, and are There are three main types of marine sediments:
free of intermediate-size sediments. Beach deposits lithogenous (derived from terrestrial, volcanic, or cos-
consist of clean fine- to coarse-grained sand with oc- mic sources), biogenous (remains of marine organ-
casional stringers of gravel. isms), and hydrogenous (precipitates from the seawater
or interstitial water). An engineering classification sys-
Estuarine Deposits tem that incorporates compositional and depositional
characteristics of these sediments was developed by
Estuaries are semienclosed coastal bodies of water that
Noorany (1989) as shown in Fig. 8.11. This system is
have a free connection with the sea. The sediments
patterned after the Unified Soil Classification System,
consist of channel muds, silts, and sands deposited in
the most widely used system for classification of ter-
response to seasonal river processes and tidal rhythms.
restrial soils for engineering purposes.
Estuarine sediments typically grade seaward into fine-
Biogenous sediments, formed from the remains of
grained tidal deposits and landward into coarser-
marine plants and animals, cover about half of the con-
grained river (alluvial) deposits. Fine-grained tidal flats
tinental shelves, more than half of the deep-sea abyssal
with salt marshes often fringe estuaries.
plains, and parts of the continental slopes and rises
(Noorany, 1989). They are abundant as coarse-grained
Deltaic Deposits bioclastic sediments in shallow waters of the coastal
Deltas form at the mouth of rivers where they enter zones in tropical regions (between 30N and 30S lat-
the sea. They build up where there is no tidal or current itude).
Figure 8.10 Idealized profile of the continental margin, with vertical exaggeration (after
Heselton, 1969).
Neritic Deposits oceans in tropical and subtropical regions of the world.

The neritic, or continental shelf, environment extends Most consist of porous or hollow particles. An electron
to water depths of up to 200 m. In shallow water, dep- photomicrograph of a calcareous sand is shown in Fig.
osition occurs when the intensity of wave-caused tur- 8.12. Special geotechnical features of the calcareous
bulence decreases. Generally there is a decrease in sediments are (Semple, 1988) that they are composed
particle size and increased influences of biological and of weak, angular particles, particle sizes and size dis-
chemical factors in the seaward direction, although the tributions are variable, there is uneven cementation
sediment distributions may be irregular due to tidal over short distances, and they have high void ratio rel-
currents and seasonal climatic variations. Neritic de- ative to silicate sediments. As a result, these materials
posits reflect sediment source areas and climatic con- may be the source of special geotechnical problems.
ditions, with sandstone, shale, and limestone typically For example, the side friction developed on driven
present in shelf areas. With the exception of the bi- piles in calcareous sands is often very much lower than
ogenous sediments, the physical properties of conti- anticipated based on the behavior of piles in quartz
nental shelf deposits are essentially the same as those sand (Noorany, 1985; Murff, 1987; Jewell et al., 1988).
of comparable terrestrial soils.
Calcareous Sands Calcareous bioclastic sands are Bathyal Deposits
formed from the skeletal remains of corals, shells of The bathyal environment includes the continental slope
mollusks, and algae. They are widely distributed in the and the continental rise. Bathyal sediments are typi-
Figure 8.11 Chart for classification of marine sediments (from Noorany, 1989). Reprinted
with permission of ASCE.
211
slide scar now exists. The exact triggering mechanisms

for such events are unknown in most cases; however,
earthquakes are believed to be the cause of some of
them.
Abyssal Deposits
Deep-ocean (abyssal) deposits consist primarily of
brown clays and calcareous and silicious oozes, with
thicknesses of 300 to 600 m. Terrigenous deposits are
derived from land, whereas pelagic sediments settle
from the water alone and contain the shells and skeletal
remains of tiny marine organisms and plants. Accu-
mulation rates range from less than a millimeter per
thousand years in the deep sea to a few tens of centi-
meters per year in near-shore areas close to the mouths
of large rivers (Griffin et al., 1968). Oozes contain
more than 50 percent biotic material.
Calcareous ooze, composed of empty shells or tests,
covers about 35 percent of the seafloor for water
depths up to about 5 km. It is usually nonplastic, cream
to white in color, and composed of easily crushed
sand- to silt-size particles. Brown clay is found beneath
Figure 8.12 Electron photomicrographs of calcareous sand most of the deeper ocean areas. Its origin is believed
from Guam. Magnification is 45⫻ (courtesy of I. Noorany). to be atmospheric dust and fine material circulated by
ocean currents. About 60 percent of this material is
finer than 60 m, and the clay fraction contains chlo-
rite, smectite, illite, and kaolinite, with illite often the
cally fine sand, silt, and mud of high water content and most abundant. Brown clays have high water contents,
low shear strength. The tectonic setting of the depo- moderate-to-high plasticity, and low strength. Siliceous
sitional area and the characteristics of the continental ooze, composed of plant remains, is found mainly in
source materials largely control the distribution, ge- the Antarctic, northeast of Japan, and in some areas of
ometry, and properties of these sediments. the equatorial Pacific.
Erosion, transport, and deposition of these sediments Except near their surface, deep-sea deposits are nor-
may be caused by the frictional effects of contour- mally consolidated and highly compressible. There is
following undercurrents that result in thick sequences an apparent overconsolidation of the near-surface ma-
of sediment ‘‘drift’’ consisting of alternating thin layers terial at many locations. This evidently reflects bond-
of very fine sands, silts, and muds (Leeder, 1982). Ap- ing developed as a result of the extremely slow rate of
preciable quantities of sediments can be transported deposition and physicochemical effects (Noorany and
from the continental slope and rise to the deep-ocean Gizienski, 1970). Much of the available data on the
abyssal plains by slumps, debris flows, and turbidity mechanical properties of deep-seafloor soils pertains to
flows. material from the upper 6 m.
Detailed exploration of the ocean margins indicates
that debris flows are probably a much more important
depositional process on the seafloor than has been pre- 8.8 CHEMICAL AND BIOLOGICAL DEPOSITS
viously suspected. For example, debris flow deposits
of enormous extent have been identified that were gen- Evaporite deposits formed by precipitation of salts
erated by large sediment slides on the northwestern from salt lakes and seas as a result of the evaporation
African continental margin. The flow traveled on a of water are sometimes found in layers that are up to
slope as flat as 0.1 for a distance of several hundred several meters thick. The major constituents of sea-
kilometers. The deposits cover an area of about 30,000 water, their relative proportions, and some of the more
km2 and originated from a massive slump of about 600 important evaporite deposits are listed in Table 8.5. In
km3 on the upper continental rise where a prominent some areas alternating layers of evaporite and clay or
FABRIC, STRUCTURE, AND PROPERTY RELATIONSHIPS: GENERAL CONSIDERATIONS 213
Table 8.5 Major Constituents of Seawater and Evaporite Deposits
Percent by Weight
Ion Grams per Liter of Total Solids Important Evaporite Deposits
Sodium, Na⫹ 10.56 30.61 Anhydrite CaSO4
Magnesium, Mg2⫹ 1.27 3.69 Barite BaSO4
Calcium, Ca2⫹ 0.40 1.16 Celesite SrSO4
Potassium, K⫹ 0.38 1.10 Kieserite MgSO4 H2O
Strontium, Sr2⫹ 0.013 0.04 Gypsum CaSO4 2H2O
Chloride, Cl⫺ 18.98 55.04 Polyhalite Ca2K2Mg(SO4 ) 2H2O
Sulfate, So42⫺ 2.65 7.68 Bloedite Ma2Mg(SO4)2 4H2O
Hexahydrite MgSO4 6H2O
Bicarbonate, HCO3⫺ 0.14 0.41
Epsomite MgSO4 7H2O
Bromide, Br⫺ 0.065 0.19 Kainite K4Mg4(Cl/SO4 ) 11H2O
Fluoride, F⫺ 0.001 — Halite NaCl
Boric Acid, H3BO3 0.026 0.08 Sylvite KCl
34.485 100.00 Flourite CaF2
Bischofite MgCl2 6H2O
Carnallite KMgCl3 6H2O
Adapted from data by Degens (1965).
other fine-grained clastic sediments are formed during about 50 kPa, owing to the roughness and interlocking
cyclic wet and dry periods. of the diatoms, but becomes more compressible under
Many limestones have been formed by precipitation higher stresses owing to crushing of the diatoms (Day,
or from the remains of various organisms. Because of 1995).
the much greater solubility of limestones than of most
other rock types, they may be the source of special
problems caused by solution channels and cavities un- 8.9 FABRIC, STRUCTURE, AND PROPERTY
der foundations. RELATIONSHIPS: GENERAL CONSIDERATIONS
More than 12 percent of Canada is covered by a
peaty material, termed muskeg, composed almost en- The variety of possible soil fabrics and the many pos-
tirely of decaying vegetation. Peat and muskeg may sible interparticle force systems associated with each
have water contents of 1000 percent or more, they are mean that the potential number of soil structures is
very compressible, and they have low strength. The almost limitless. The mechanical properties of a soil
special properties of these materials and methods for reflect the influences of the structure to a degree that
analysis of geotechnical problems associated with depends on the soil type, the structure type, and the
them are given by MacFarlane (1969), Dhowian and particular property of interest. The effects of structure
Edil (1980), and Edil and Mochtar (1984). can be of equal importance to those of initial void ratio
Chemical sediments and rocks in freshwater lakes, and stress. In this sense, structure refers to the differ-
ponds, swamps, and bays are occasionally encountered ences between the actual void ratio and effective stress
in civil engineering projects. Biochemical processes and the corresponding values for the same soil in the
form marls ranging from relatively pure calcium car- destructured state. The difference between void ratio
bonate to mixtures with mud and organic matter. Iron under a given effective stress for a soil with some
oxide is formed in some lakes. Diatomite or diatoma- structure, which is the case for consolidation of virtu-
ceous earth is essentially pure silica formed from the ally all sediments from a high void ratio, and the void
skeletal remains of small (up to a few tenths of a mil- ratio of a completely destructured soil is illustrated in
limeter) freshwater and saltwater organisms. Com- Fig. 8.13.
pacted fills of diatomaceous earth can have very low It is possible that a soil can be at state to the right
dry unit weights (1.0 to 1.2 Mg/m3) and high moisture of the virgin compression curve in Fig. 8.13 as a result
contents (40 percent or more). The material may be- of bonding by chemical cementation or aging effects.
have as a dense granular material at stresses below Thus the full range of possible states in void ratio–
Figure 8.13 The influence of metastable fabric on void ratio under and effective consoli-
dation pressure.
Figure 8.14 Possible states in void ratio–effective stress space.

FABRIC, STRUCTURE, AND PROPERTY RELATIONSHIPS: GENERAL CONSIDERATIONS 215
effective stress space is greater than shown in Fig.
8.13, as may be seen in Fig. 8.14. Virgin compression
from an initial state at o to a is followed by the de-
velopment of bonding, which enables the soil to resist
additional compressive stress a–b. At point b the soil
is under effective stress b. The completely destruc-
tured soil under the same stress would be at point d.
The difference in void ratios between the structured
soil at b and the destructured soil at d results from a
bonding contribution b–c and a fabric contribution
c–d.
Figure 8.15a shows one-dimensional compression
curves for various reconstituted clays with a wide
range of plasticities. The void index, was proposed by
Burland (1990) for correlating the compression behav-
ior of different clays and for assessing the influence of
structure on properties. The void index Iv is defined as
e ⫺ e*
Iv ⫽ 100
(8.1)
C*c
in which e is the void ratio, e*100 is the ‘‘intrinsic’’ void

ratio under an effective vertical stress of 100 kPa in
the one-dimensional odometer test, and C* c is the in-
trinsic compression index. The intrinsic properties are
determined for a reconstituted samples of clay that
have been prepared at a water content of about 1.25
times the liquid limit. The intrinsic compression curves
can be normalized as shown in Fig. 8.15b.
Knowledge of the intrinsic compression curve is
useful because the departure of a compression curve
for the soil in its natural state from the intrinsic com-
pression curve indicates the existence of soil structure
resisting the applied load. Figure 8.16a shows the sed-
imentation compression curves of several marine
deposits reported by Skempton (1970). The water
contents (or void ratios) of naturally sedimented clays
were plotted against the in situ vertical effective over-
burden stress. The normalized compression curves,
termed the sedimentation compression line (SCL), are Figure 8.15 (a) One-dimensional compression curves for
shown in Fig. 8.16b along with the intrinsic compres- several clays. (b) Normalized compression curves defining
sion curve, termed the intrinsic compression line the intrinsic compression line (ICL) (from Burland, 1990).
(ICL).
At a given void ratio, the effective overburden pres-
sure carried by a sedimented clay is approximately five
times the pressure that can be resisted by the equivalent soil structure degrades and the compression curves
reconstituted clay owing to the fabric and soil structure move toward the intrinsic compression curve. A gen-
developed during sedimentation and postdepositional eralized view of in situ states of natural soils in relation
processes. For instance, the compression curves of a to the void index and vertical overburden pressure is
freshwater glacial lake clay lie well above the sedi- given in Fig. 8.18 (Chandler et al., 2004).
mentation compression line and the intrinsic compres- Several principles relate the fabric and structure of
sion line before yielding as shown in Fig. 8.17. Once a soil to the mechanical properties of interest in engi-
the loading exceeds the preconsolidation pressure, the neering:
Figure 8.16 (a) Compression curves for several clays (from Skempton, 1970). (b) Normal-
ized compression curves for clays in (a) showing the intrinsic compression line (ICL) and
sedimentation compression line (SCL).
1. Under a given effective consolidation pressure, particles and particle groups may be essentially
a soil with a flocculated fabric is less dense than stress free as a result of arching by surrounding
the same soil with a deflocculated structure. fabric elements, as discussed further in Chapter
2. At the same void ratio, a flocculated soil with 11.
randomly oriented particles and particle groups 8. Two samples of a soil without cementation can
is more rigid than a deflocculated soil. have a different structure at the same void ratio-
3. Once the maximum precompression stress has effective stress coordinates if they have different
been reached, a further increment of pressure stress histories. In Fig. 8.19, a sample initially
causes a greater change in fabric of a flocculated at point a on the virgin compression curve can
soil structure than in a deflocculated soil struc- deform to point b as a result of disturbance and
ture. reconsolidation or by secondary compression
4. The average pore diameter and range of pore under stress a stained for a long time. A sam-
sizes is smaller in deflocculated and/or destruc- ple initially at c can reach point b as a result of
tured soils than in flocculated and/or undis- unloading from c. The stress–deformation
turbed soils. properties of the two samples will differ. The
5. Shear displacements usually orient platy parti- overconsolidation ratio (OCR), defined as the
cles and particle groups with their long axes ratio of the maximum past consolidation effec-
parallel to the direction of shear. tive stress to the present overburden effective
6. Anisotropic consolidation stresses tend to align stress is a good measure of stress history. The
platy particles and particle groups with their OCR of sample 2 in Fig. 8.19 is c / a.
long axes in the major principal plane. 9. Volume change tendencies determine pore pres-
7. Stresses are usually not distributed equally sure development during undrained deforma-
among all particles and particle groups. Some tion.
SOIL FABRIC AND PROPERTY ANISOTROPY 217
10. Changes in structure of a saturated soil at con- the rate of deformation is slow or positive pore pres-
stant volume are accompanied by changes in ef- sures will be generated if deformation is rapid. On the
fective stress. These effective stress changes are other hand, if the soil is initially at a state in the di-
immediate. lative zone, slow deformation will be accompanied by
11. Changes in structure of a saturated soil at con- swelling and rapid deformation will be accompanied
stant effective stress are accompanied by by generation of negative pore pressures. In general,
changes in void ratio. The change in void ratio normally consolidated to slightly overconsolidated
is not immediate but depends on the time for clays and saturated loose sands are contractive,
water to drain from or enter the soil. whereas heavily overconsolidated clays and dense
sands are dilative.
Figure 8.20 illustrates points 9, 10, and 11. For any
saturated, destructured soil there is a unique relation-
ship between combinations of void ratio and effective 8.10 SOIL FABRIC AND PROPERTY
consolidation pressure termed the critical state or ANISOTROPY
steady state line, as discussed in more detail in Chapter
11. If the soil is on this line, there is no tendency for Anisotropic consolidation, shear, directional transpor-
change in volume during shear deformation. However, tation components, method of remolded or compacted
if the state of the soil is in the region above and to the soil preparation, and compaction of soil in layers each
right of the critical state line it will either contract if may produce anisotropic fabrics. Fabric anisotropy on
Figure 8.17 Compression curves for freshwater glacial lake clay at pressures below and
above yield (from Burland, 1990).
Figure 8.18 Void index in relation to stress states for dif- Figure 8.19 Illustration of different paths to reach the same
ferent clay types (from Chandler et al., 2004). present void ratio–effective stress state.
Figure 8.20 Initial state in relation to the critical-state or steady-state line and its influence
on pore pressure or volume changes during deformation.
a macroscale usually leads to mechanical property an- the finding that as the density increased the intensity
isotropy, and the property differences in different di- of preferred orientation decreased. The sample stiff-
rections may be significant. Examples of anisotropic ness, as measured by the ratio of stress to shear dis-
fabrics in sands are given in Figs. 5.9 and 5.10. placement at 50 percent of peak strength, was about
Some examples are presented in this section to il- twice as high for shear across the direction of preferred
lustrate the general nature and magnitudes of aniso- orientation than parallel to it.
tropy in properties that may be associated with a Figure 8.22 shows the variation in friction angle as
homogeneous anisotropic fabric. These considerations a function of the loading direction in plane strain and
are separate from property anisotropy caused by strat- triaxial compression in relation to the initial bedding
ification of different soil layers, although the latter may plane measured on dense Toyoura sand specimens
be very important in the field, especially with respect (Park and Tatsuoka, 1994). The term is the angle of
to fluid flow. Additional analysis and discussion of the the bedding plane relative to the maximum principal
effects of fabric and stress anisotropy on soil stress– stress direction, and the measured friction angles are
deformation and strength are given in Chapter 11. normalized by the friction angle in plane strain com-
pression with ⫽ 90. The friction angle is the lowest
Sands and Silts when the loading direction is approximately at ⫽ 30.
The strength of crushed basalt, both along and across This is partly because the failure shear plane coincides
the direction of preferred orientation of grains, is with the bedding plane. The friction angles in triaxial
shown in Fig. 8.21. Preferred orientation of the some- compression are generally less than those in plain
what elongated particles (mean particle length to width strain compression due to the intermediate stress effect
ratio ⫽ 1.64) was obtained by pouring the soil into a (see Chapter 11). Less bedding effect is also observed
shear box. Intense preferred orientation was obtained in triaxial compression because multiple shear planes
at moderate relative densities, as shown by Fig. 5.11. at different directions are often produced in triaxial
At the lower relative densities the strength was about compression samples, whereas fewer, but more dis-
40 percent greater across the plane of particle orien- tinct, shear plane are observed in plane strain com-
tation than along it. As shown by Fig. 8.21, this dif- pression.
ference decreased with increasing density, and for The orientations of contact planes between particles
relative densities above 90 percent, the strengths in the have significant influence on the stress–strain and vol-
two directions were the same. This is consistent with ume change behavior of granular soils when they are
sheared in different directions. The contact plane ori-

entation can be represented by the normal to the plane
, as shown in Fig. 5.12. Probability density functions
E() of these normals for four sands are shown in Fig.
5.13. The fabric of each sand was formed by pouring
the sand through water into a cylindrical mold fol-
lowed by tapping to attain the desired density. From
Fig. 5.13 it may be noted that there was considerable
anisotropy in particle contact orientations for sands
with rodlike or flat particles and for sands with nearly
spherical particles.
Triaxial compression tests were done on samples of
these sands with different maximum principal stress
directions relative to the original horizontal plane.
The results of these tests for Toyoura sand (b in Fig.
5.13) are shown in Fig. 8.23. Toyoura sand is com-
posed of elongated, flat particles having an axial ratio
of 1.65, but similar results were obtained also for the
Tochigi sand (Fig. 5.13d). The results of these and
other tests reported by Oda (1972a) included tests at
different relative densities. They illustrate important
aspects of anisotropic granular soil fabric on mechan-
ical properties, for example:
1. The stress–strain and volume change behavior

are different for different principal stress direc-
tions.
2. The effects of fabric anisotropy are somewhat
greater in sand with elongated grains than in sand
with more spherical grains.
Figure 8.21 Effect of shear direction on strength of samples 3. The deformation modulus and dilation decrease
of crushed basalt prepared by pouring into a shear box (from as the angle decreases from 90 to 0 for sand
Mahmood and Mitchell, 1974). fabric formed by pluviation.
4. The stress–strain–volume change properties of
dense sand tested at ⫽ 0 are comparable to
those for loose samples tested at ⫽ 90.
5. The secant modulus at 50 percent of peak
strength decreases with decreasing values of .
The ratio of E50 for ⫽ 90 to that at ⫽ 0 is
2 to 3 for dense sand.
Overall, the major influence of anisotropy of gran-

ular soil fabric, as measured by both particle long axis
orientations and interparticle contact orientations, is to
give different volume change (dilatancy) tendencies,
which, in turn, give different stress–deformation and
strength behavior for different directions of loading.
Fabric and mechanical property anisotropy are also
found in undisturbed sands and silts in the field. Un-
disturbed samples of Vicksburg loess exhibit up to 12
Figure 8.22 Variation of friction angles in plane strain and percent higher strength when sheared perpendicular to
triaxial compression as a function of principal stress direction grain orientation than parallel to it (Matalucci et al.,
relative to bedding plane orientation (from Park and Tat- 1970). The friction angle measured in triaxial tests de-
suoka, 1994). creased from 34 to 31 for dry loess and from 24 to
Figure 8.23 Effect of initial fabric anisotropy on stress–strain and volume change behavior
of Toyoura sand. Angle is between major principal stress direction and the original hori-
zontal plane (from Oda, 1972a). Reprinted with permission of The Japanese Society of
SMFE.
21 for moist samples as the direction of the major testing undisturbed samples1 cut as shown in Fig. 8.24.
principal stress was changed from normal to the pre-
ferred orientation of particles to 45 to it.
1
Anisotropic fabric in undisturbed Portsea Beach To handle undisturbed sand samples, Lafeber and Willoughby
(1971) used a two-stage replacement of the original seawater by pol-
sand is shown in Fig. 8.3. The effect of this anisotropy yethylene glycol (Carbowax 4000). Triaxial tests were done after first
on the behavior in triaxial compression was studied by heating the samples to melt the Carbowax.
Figure 8.24 Orientations of triaxial cylinders of Portsea Beach sand in relation to in situ
conditions (Lafeber and Willoughby, 1971).
Values of mean secant modulus for samples at different 1. Anisotropic fabric, as indicated by particle ori-
orientations are given in Table 8.6. There are signifi- entations and interparticle contact orientations, is
cant differences among samples tested in different di- likely in natural deposits, compacted fills, and
rections, and there is no horizontal plane of isotropy laboratory samples.
for deformation modulus. 2. Anisotropic fabrics produce anisotropic mechan-
Collectively, the results of studies of the effects of ical properties.
fabric anisotropy on properties of granular soils show 3. Strengths and deformation moduli are higher for
the following: shear directions across planes of preferred ori-
entation than along them.
4. The magnitude of strength and modulus aniso-
Table 8.6 Effect of Sample Orientation on Secant tropy depends on density and the extent to which
Modulus of Undisturbed Samples of Portsea Beach particles are platy and elongated. Differences in
Sand peak strength of the order of 10 to 15 percent
may exist when the axial ratios of particles are
Sample Sample Secant Standard 1.6 or greater.
Axis Axis Modulus Deviation 5. Differences in moduli in different directions are
Direction Azimuth (kN/m2) (kN/m2) greater than differences in peak strength. Moduli
in different directions may differ by a factor of 2
Vertical 5.41 ⫻ 104 0.27 ⫻ 104 or 3.
Horizontal Parallel to 6. The effect of fabric anisotropy on mechanical
coastline 4.01 ⫻ 104 0.24 ⫻ 104 property anisotropy is primarily through differ-
Horizontal 30 with ences in volume change tendencies for defor-
coastline 3.85 ⫻ 104 0.18 ⫻ 104 mation in different directions.
Horizontal 60 with
coastline 3.76 ⫻ 104 0.23 ⫻ 104 Clays
Horizontal Perpendicu-
lar to Clay fabric anisotropy studies in clays have dealt
coastline 3.55 ⫻ 104 0.53 ⫻ 104
mainly with effects on strength and hydraulic conduc-
tivity. Undrained strength anisotropy results from stress
Data from Lafeber and Willoughby (1971). anisotropy during consolidation, apart from any pos-
SAND FABRIC AND LIQUEFACTION 223
sible fabric anisotropy. In terms of the effective stress ume change tendencies. This, in turn, influences the
strength parameters c and , analysis of the effects dilatancy contribution to the strength of sands and the
of stress anisotropy by Brinch-Hansen and Gibson volume changes in drained deformation and the pore
(1949) leads to pressures in undrained shear of clays.
Anisotropy of soil fabric and natural stratification
cu c are responsible for higher hydraulic conductivities in
⫽ cos ⫹ (1 ⫹ K0) sin (2Aƒ ⫺ 1) the horizontal direction than in the vertical direction
p p
冋冉冊冉冊
2
for most soil deposits, and this topic is discussed in
cu cu more detail in Section 9.3.
⫻ ⫺ (1 ⫺ K0) cos2 45 ⫹ ⫺
p p 2
⫹ 冉冊册
1 ⫺ K0
2
2 1/2
(8.2) 8.11 SAND FABRIC AND LIQUEFACTION

If saturated sand is at a void ratio above the critical-
where cu is undrained shear strength, p is vertical con- state or steady state line (Fig. 8.20) and sheared rap-
solidation pressure, K0 is the coefficient of lateral Earth idly, it will try to densify. As water cannot escape from
pressure at rest, and is the inclination of the failure the pores instantaneously, the collapsing structure will
plane to the horizontal. The pore pressure parameter transfer normal stress to the pore water. The accom-
Aƒ is defined as panying decrease in effective stress reduces the shear
strength to a low value, and the soil mass liquefies.
Cyclic loading due to earthquakes is perhaps the most
uƒ
Aƒ ⫽ (8.3) common cause of dynamic liquefaction. The resistance
( 1 ⫺ 3)ƒ to liquefaction depends on characteristics of the sand,
including gradation, particle size, and particle shape;
where uƒ is the change in pore water pressure at fail- relative density; confining pressure; and initial stress
ure, and ( 1 ⫺ 3)ƒ is the deviator stress at failure. state. A comprehensive review of the state of knowl-
The degree of mobilization of c and at peak edge of the causes and effects of soil liquefaction
stress difference and the strain at failure in an un- during earthquakes was published by the National
drained test vary with orientation of principal stresses. Research Council (NRC, 1985) and by Kramer (1996).
Data on the variation of undrained compressive Liquefaction depends on a sand’s resistance to de-
strength with orientation of the failure plane are sum- formation and the degree to which rapidly applied
marized in Fig. 8.25. Strengths in the vertical and hor- shear stresses cause a tendency for the structure to re-
izontal directions may differ by as much as 40 percent duce in volume or collapse. Since samples of the same
as a result of fabric anisotropy. The differences in un- sand at the same density but having different fabrics
drained strength in the different directions result from have different stress–strain and volume change prop-
differences in pore pressures developed during shear erties, see Section 8.8, it follows that different fabrics
(Duncan and Seed, 1966; Bishop, 1966; Nakase and should influence liquefaction resistance as well. Figure
Kamei, 1983; Kurukulasuriya et al., 1999). The effec- 8.27 shows for three sands that preparation of samples
tive stress strength parameters are independent of sam- by two different methods produced distinctly different
ple orientation. The drained strength is independent of resistances to liquefaction, as measured by the number
shear stress orientation relative to fabric orientation, as of load cycles to cause liquefaction at a particular value
demonstrated by tests on kaolin (Duncan and Seed, of cyclic stress ratio. The cyclic stress ratio for these
1966; Morgenstern and Tchalenko, 1967b). Stress tests was defined as the ratio of half the cyclic deviator
paths for two samples from a clay with anisotropic stress to the initial effective confining pressure.
fabric but isotropic initial stresses are shown schemat- The differences in liquefaction behavior result from
ically in Fig. 8.26. differences in the sand fabric owing to different sample
The facts that both the effective stress strength pa- preparation methods (Mitchell et al., 1976). Results
rameters and the drained strength are independent of similar to those in Fig. 8.27 are shown in Fig. 8.28 for
fabric anisotropy, but that pore pressures developed in samples of Monterey No. 0 sand at a relative density
undrained shear are strongly influenced by anisotropy, of 50 percent prepared by three different methods.
suggest that the effect of fabric anisotropy on strength Similar behavior was measured for samples of the
is the same for both sands and clays. Changes in stress same sand at a relative density of 80 percent (Mulilus
orientation relative to fabric orientation influence vol- et al., 1977). Monterey No. 0 sand is a uniform me-
Figure 8.25 Variation of compressive strength with orientation of failure plane (from Dun-
can and Seed, 1966). Reprinted with permission of ASCE.
Figure 8.26 Stress paths in triaxial compression for differently oriented samples for clay
with anisotropic fabric.
SAND FABRIC AND LIQUEFACTION 225
Figure 8.27 Influence of sand sample preparation method on liquefaction resistance (from
Mulilis et al., 1977). Reprinted with permission of ASCE.
Figure 8.28 Liquefaction resistance of Monterey No. 0 sand prepared to a relative density
of 50 percent by three methods (Mulilus et al., 1977).
dium sand with rounded to subrounded grains consist- of undisturbed sand in the field since the field fabric
ing predominantly of quartz with some feldspar and is not usually known, and undisturbed samples are vir-
mica. tually impossible to obtain. It also explains partially
That the fabrics were different for the different prep- why such heavy reliance is placed on the results of in
aration methods was determined by analysis of particle situ tests such as the standard penetration test and the
long axis and interparticle contact on normal orienta- cone penetration test for assessment of the in situ liq-
tions measured on thin sections cut through the uefaction resistance of sand deposits.
samples. Pluviation resulted in distinct preferred Of several laboratory methods that can be used to
orientation of particle long axes in the horizontal di- prepare sand samples, pluviation usually produces the
rection. Moist vibration produced the most random ori- most compressible and weakest fabrics at any relative
entation of particle long axes, with moist tamping density. Thus this method can be used to obtain a lower
giving intermediate values. The results of static triaxial bound or most conservative estimate of the properties
compression tests (Fig. 8.29) showed stress–strain and that the same sand at the same relative density can
volume change behavior consistent with the observed have in the undisturbed state in the field. Most sands
fabrics and liquefaction resistance. That is, the weakest in situ are stronger because of prestressing effects, ag-
and least dilative material was that prepared by dry ing, and cementation. The difference between the plu-
pluviation, and the strongest and most dilative material viated sample lower bound values and the actual in situ
was prepared by moist vibration. values can be large. A corollary of this is that undis-
From results such as these, it is clear that relative turbed sand deposits can suffer a stress loss on distur-
density by itself is insufficient for characterization of bance; that is, they are sensitive in the same way as
the sand properties. This means that sand samples re- many clay deposits owing to loose metastable struc-
constituted in the laboratory ordinarily cannot be used tures.
for determination of properties that are representative
8.12 SENSITIVITY AND ITS CAUSES

As noted at the beginning of this chapter, early con-
cepts of fabric and structure in geotechnical engineer-
ing were developed, at least in part, to explain the loss
of undrained strength when undisturbed clay is re-
molded. Although virtually all normally consolidated
soils exhibit some amount of sensitivity, quick clay, as
illustrated in Fig. 8.1, is the most sensitive. Large de-
posits of this material, which turns into a heavy viscous
fluid on remolding, are found in previously glaciated
areas of North America and Scandinavia.
The ratio of peak undisturbed strength (Sup) to re-
molded strength (Sur), as determined by the unconfined
compression test, was used initially as the quantitative
measure of sensitivity St (⫽ Sup /Sur) (Terzaghi, 1944).
The remolded strength of some clay is so low, how-
ever, that unconfined compression test specimens can-
not be formed. Therefore, the vane shear test is often
used to measure sensitivity, both in the field and in the
laboratory, as is also the Swedish fall-cone test (Swed-
ish State Railways, 1922; Karlsson, 1961).
Several classifications of sensitivity have been pro-
posed; one of them is given in Table 8.7. Marine clays
with high salinity may exhibit considerable sensitivity
up to 30 (Torrance, 1983). Clays become quick not
because the undisturbed strength becomes very high
Figure 8.29 Influence of sample preparation method on but because the remolded strength becomes very low.
drained triaxial compression behavior of Monterey No. 0 Salt leaching is a requirement for the development of
sand at 50 percent relative density. very high sensitivity of more than 100. Leaching de-
SENSITIVITY AND ITS CAUSES 227
Table 8.7 Classification of Clay Sensitivity Values
St
Insensitive ⬃1.0
Slightly sensitive clays 1–2
Medium sensitive clays 2–4
Very sensitive clays 4–8
Slightly quick clays 8–16
Medium quick clays 16–32
Very quick clays 32–64
Extra quick clays ⬎64
From Rosenqvist (1953).

Figure 8.30 Photomicrograph of undisturbed Leda clay, air
dried. Picture width is 8 m (Tovey, 1971).
creases the liquid limit of low-activity clays and con-
sequently the remolded strength, while the void ratio
remains essentially constant or decreases only a small
amount. quick clays as a consequence of delayed or secondary
compression. This compression can be accelerated as
Composition of Sensitive Clays a result of leaching of salts during formation of the
deposit (Torrance, 1974).
Quick clays may not differ from clays of low sensitiv-
ity in terms of mineral composition, grain size distri-
Causes of Sensitivity
bution, or fabric. Most quick clays are postglacial
deposits, with the mineralogy of the clay fraction dom- At least six different phenomena may contribute to the
inated by illite and chlorite and that of the nonclay development of sensitivity:
fraction by quartz and feldspar. Amphibole and calcite
are also common. The activity of quick clays is usually 1. Metastable fabric
less than 0.5. The pore fluid composition and the 2. Cementation
changes in composition that have developed between 3. Weathering
the time of deposition and the present are of paramount 4. Thixotropic hardening
importance. Changes in the type and amount of elec- 5. Leaching, ion exchange, and change in the
trolyte, organic compounds, and small quantities of monovalent/divalent cation ratio
surface-active agents are controlling factors in the de- 6. Formation or addition of dispersing agents
velopment of quick clay. Metastable Fabric When particles and particle
groups flocculate and/or pack inefficiently, the initial
Fabric of Sensitive Clays fabric after deposition is open and involves some
With the possible exception of strongly cemented soils, amount of edge-to-edge and edge-to-face associations
the undisturbed fabric of sensitive clays is composed in a cardhouse arrangement of elongate and platy par-
of flocculated assemblages of particles or aggregates. ticles. A consequence of this is well illustrated by the
Electron photomicrographs show open and flocculated sedimentation compression line relative to the intrinsic
particle arrangements in medium sensitive to quick compression line in Fig. 8.16b. During consolidation
clays. The contribution of fabric to high sensitivity is this fabric can carry effective stress at a void ratio
through open networks of particles and aggregates that higher than would be possible if the particles and par-
are linked by unstable connections. The fabric of un- ticle groups were arranged in an efficient, parallel ar-
disturbed Leda clay is shown in Fig. 8.30. A very wide ray. When saturated soil is mechanically remolded
range of particle sizes may be seen. from a state such as represented by point 1 in Fig. 8.13,
The microfabric of quick clay and that of adjacent the fabric is disrupted, effective stresses are reduced
zones of much less sensitive clay may be the same. because of the tendency for the volume to decrease,
Thus, while an open flocculated fabric is necessary, it and the strength is less.
is not a sufficient condition for quick clay develop- If the original consolidation stress is reapplied, then
ment. Some preferred orientation might develop in there will be additional consolidation, and the void ra-
tio will decrease to a point as represented by 2 in Fig. effective stress to almost zero from the initial value of
8.13. Mechanical remolding and reapplication of 200 kPa. This illustrates the interdependence of effec-
stresses will cause consolidation to point 3, and con- tive stress and structure, as well as the effects of struc-
tinued repetition of the process will lead ultimately to ture metastability.
a minimum void ratio for the fully destructured soil at A point of practical importance is that the continu-
n. Thus, if the soil is at any state within the shaded ing generation of metastable fabrics following distur-
zone of Fig. 8.13, it will have some degree of metas- bance explains why some sand deposits have been
tability of structure and could be further consolidated observed to reliquefy at the same locations in succes-
if disturbed and recompressed. sive earthquakes.
Sensitivity values resulting from metastable particle Cementation Many soils contain carbonates, iron
arrangements were measured in undrained triaxial tests oxide, alumina, and organic matter that may precipitate
on saturated kaolinite samples consolidated from high at interparticle contacts and act as cementing agents.
initial water content (Houston, 1967). They decreased On disturbance, the cemented bonds are destroyed
from 12 at high water content and low consolidation leading to a loss of strength. Four naturally cemented
pressure to 2 at low water content and high consoli- Canadian clays tested by Sangrey (1970) had sensitiv-
dation pressure. Consolidated, undrained triaxial com- ities of 45 to 780.
pression tests on saturated sand–kaolinite mixtures Late glacial plastic clay from near Lilla Edit in the
consolidated initially under an effective stress of 200 Gota Valley of Sweden has a sensitivity of 30 to 70.
kPa gave the results shown in Fig. 8.31. The loss in The apparent preconsolidation pressure as determined
strength due to disturbance was accompanied by a by odometer tests is much greater than the maximum
large increase in pore water pressure and decrease in past overburden pressure (Bjerrum and Wu, 1960).
When consolidation pressure greater than this apparent
maximum past pressure is applied, there is a marked
reduction in cohesion. This was interpreted to result
from a rupture of cemented interparticle bonds that
were created by carbonation of microfossils and or-
ganic matter and precipitation of pore water salts at
particle contacts. Removal of carbonates, gypsum, and
iron oxide by leaching with EDTA (a disodium salt of
ethylene-diaminetetraacetic acid) resulted in a marked
reduction in the apparent preconsolidation pressure of
quick clay from Labrador (Bjerrum, 1967).
A quasi-preconsolidation effect (Leonards and Ra-
miah, 1960) results if clay remains under constant
stress for a long period. Whether or not the additional
resistance is due to a true chemical cementation is de-
batable; however, the effect is the same, and an in-
crease in sensitivity results.
Weathering Weathering processes change the types
and relative proportions of ions in solution, which, in
turn, can alter the flocculation–deflocculation tenden-
cies of the soil after disturbance. Some change in the
undisturbed strength is also probable; however, the ma-
jor effect on sensitivity is usually through change in
the remolded strength. Strengths and sensitivities may
be increased or decreased, depending on the nature of
the changes in ionic distributions (Moum et al., 1971).
Thixotropic Hardening Thixotropy is an isother-
mal, reversible, time-dependent process occurring un-
der conditions of constant composition and volume
whereby a material stiffens while at rest and softens or
Figure 8.31 Stress–strain characteristics of kaolinite–sand liquefies upon remolding. The properties of a purely
mixtures illustrating the effects of disturbance. thixotropic material are shown in Fig. 8.32. Thixo-
of the same clay that is allowed to rest at constant
water content and pore fluid composition. However, the
results of studies on samples allowed to harden starting
from present composition suggest that sensitivities up
to about 8 or so may be possible due to thixotropy
(Skempton and Northey, 1952; Seed and Chan, 1957;
Mitchell, 1960).2
Leaching and Changes in Monovalent/Divalent Cat-
ion Ratios Reduction in salinity of marine clay by
leaching is an essential first step in the development of
quick clay, as first suggested by Rosenqvist (1946).
Freshwater leaching following a drop in sea level or
rise in land level results in removal of the seawater
environment. Percolating freshwater in silt and sand
lenses is sufficient to remove salt from the clay by
Figure 8.32 Properties of a purely thixotropic material. diffusion without the requirement that the water flow
through all the pores of intact clay (Torrance, 1974).
Although leaching causes little change in fabric, the
interparticle forces are changed, resulting in a decrease
tropic hardening may account for low to medium sen- in undisturbed strength of up to 50 percent, and such
sitivity and for a part of the sensitivity of quick clays a large reduction in remolded strength that quick clay
(Skempton and Northey, 1952). forms. The large increase in interparticle repulsion is
The mechanism of thixotropic hardening is ex- responsible for the deflocculation and dispersion of the
plained as follows (Mitchell, 1960). Sedimentation, clay on mechanical remolding. It results in part from
remolding, and compaction produce soil structures the decrease in electrolyte concentration causing in-
compatible with these processes. Once the externally crease in double-layer thickness. Changes in strength
applied energy of remolding or compaction is re- and the increase in sensitivity accompanying the leach-
moved, however, the structure is no longer in equilib- ing of salt from a Norwegian marine clay are shown
rium with the surroundings. If the interparticle force in Fig. 8.34. The relationship between sensitivity and
balance is such that attraction is somewhat in excess salt content for several Norwegian marine clays is
of repulsion, there will be a tendency toward floccu- shown in Fig. 8.35. Confirmation of the leaching hy-
lation of particles and particle groups and for reorgan- pothesis was obtained by means of leaching tests on
ization of the water–cation structure to a lower energy artificially sedimented clays (Bjerrum and Rosenqvist,
state. Both effects, which have been demonstrated ex- 1956). Åsrum clay sedimented in saltwater (35 g/liter)
perimentally, take time because of the viscous resis- and then leached of salt exhibited an increase in sen-
tance to particle and ion movement. sitivity from 5 to 110. A sample sedimented in fresh-
The effect of time after disturbance on the pressure water had a sensitivity of 5 to 6.
in the pore water is particularly significant. Several Although leaching of salt is necessary, it may not be
studies show that there is a continual decrease in pore sufficient for the development of quick clay. The salt
water pressure, or increase in pore water tension, with content of Champlain clay in eastern Canada rarely
time after compaction or remolding. Figure 8.33 and exceeds 1 to 2 g/liter and is usually less than 1 g/liter,
Ripple and Day (1966) show that shear of thixotropic yet the sensitivities of different samples range from as
clay pastes causes an abrupt decrease in pore water low as 10 to over 1000 (Eden and Crawford, 1957;
tension (increase in pore water pressure) followed by Penner, 1963c, 1964, 1965). The reason for this large
slow regain during periods of rest. The concurrent range is that the essential condition for development
time-dependent increase in effective stress accounts for of quick clay is an increase in interparticle repulsions.
the observed increase in undrained strength. Considerations in Chapter 6 show that the type of cat-
The importance of thixotropic hardening in contrib- ions and the relative amounts of monovalent and
uting to the sensitivity of clay in the field is impossible divalent cations have a controlling influence on
to determine. Laboratory studies start with a specific equilibrium particle arrangements.
present composition and density. The initial state of a
clay deposit in nature is usually far different than at
the present time, and the history of an undisturbed clay 2
Sherard (1975, personal communication) indicated that thixotropic
bears little resemblance to that of a remolded sample strength ratios of up to 100 have been measured in Champlain clay.
Figure 8.33 Effect of shear on pore water tensions for various clays (after Day, 1955).
The electrokinetic or zeta potential in Champlain also shown in Fig. 8.36. The percent monovalent cat-
clay, as determined using electroosmosis (see Chapter ions in the pore water is given by
9), correlates well with sensitivity, as shown in Fig.
8.36 (Penner, 1965). The electrokinetic potential is a Na⫹ ⫹ K⫹
measure of the double-layer potential, with higher val- ⫻ 100
ues associated with thicker double layers and higher Na ⫹ K⫹ ⫹ Ca2⫹ ⫹ Mg2⫹
⫹
sensitivity. For clays of low salinity (⬍1 or 2 g salt/

liter of pore water) the sensitivity correlates well with with all concentrations in milliequivalents per liter. The
the percent of monovalent cations in the pore water, dependence of sensitivity on monovalent to total cation
ratio was also shown by Moum et al. (1971). An anal-
ysis in terms of sodium adsorption ratio (Section 6.15)
leads to a similar result (Balasubramonian and Mor-
genstern, 1972).
The percent monovalent cation in seawater is only
about 75 on a meq/liter basis. Thus, according to the
relationship in Fig. 8.36, if seawater is leached without
change in the relative concentrations of Na⫹, K⫹,
Mg2⫹, and Ca2⫹, very high sensitivities cannot develop.
Selective removal of divalent cations is necessary. In
quick clay, Ca2⫹ and Mg2⫹ are removed from the sys-
tem, possibly by organic matter (Söderblom, 1969;
Lessard and Mitchell, 1985). The mechanism by which
these changes occur as deduced by Lessard (1981) is
summarized as follows.
Organic matter from marine organisms deposits si-
multaneously with the illite, feldspar, and quartz that
constitute the bulk of a postglacial marine clay. Iron
oxide minerals are also present in small quantities. As
the depth of burial increases with continued deposition,
so does the distance to oxygen supply from the sea-
water above.
Bacterial oxidation of the organic matter depletes
the oxygen content of the pore water, and an anaerobic
environment develops that reduces ferric oxides to sol-
uble ferrous iron. Simultaneously, sulfates in the pore
water are reduced to hydrogen sulfide by the organic
matter with the aid of sulfate-reducing bacteria. The
formation of iron sulfide materials then follows:
Fe2⫹ ⫹ H2S → black amorphous FeS

→ slowly crystallizes → FeS2 (pyrite)
The amount of FeS and FeS2 produced is limited by

the rate of diffusion of sulfate from the overlying sea-
water and/or by the amount and reactivity of detrital
iron.
Carbon dioxide generated by the bacterial oxidation
of organic matter produces an increase in alkalinity
(pH increase) and decrease in the amount of dissolved
Ca2⫹ and Mg2⫹, as the latter precipitate as Mg–calcite.
All of these transformations can occur in a period of
only several years.
If the deposit is uplifted above sea level, sulfate be-
comes scarce, oxidation of organic matter is slow be-
cause of the depleted O2 content, and sulfides remain
stable. Freshwater leaching decreases the salt content,
Figure 8.34 Changes in properties of a normally consoli- which in combination with the low Ca2⫹ and Mg2⫹
dated marine clay when subjected to leaching by freshwater concentrations that result from the sulfate reduction
(Bjerrum, 1954). processes, provides the necessary conditions for the
existence of a quick clay, that is, low-salt content, high
percentage of monovalent cations in the adsorbed lay-
ers on the clay particles, and high pH.
Figure 8.35 Relationship between sensitivity and salt concentration for some Norwegian
clay deposits (Bjerrum, 1954).
Aging of Quick Clay Samples From studies on the quick clay from LaBaie, Que-
Important changes in the properties of quick clays have bec, it was possible to explain the transformations that
been observed to develop with time after sampling, cause changes in properties after sampling, such as
including increases in remolded strength and liquid those shown in Fig. 8.37 (Lessard and Mitchell, 1985).
limit and decrease in the liquidity index, all without Geotechnical properties of the LaBaie clay determined
change in water content. For example, the changes that within one month after sampling are shown in Fig.
occurred in remolded quick clay from Outardes-2 in 8.38. This clay is composed primarily of rock flour
Quebec over a 1-year period are shown in Fig. 8.37. containing plagioclase, K-feldspar, quartz, amphibole,
Changes such as these mean that laboratory tests on and calcite, with about 10 percent illite and trace
aged samples can give results that are misleading rel- amounts of kaolinite and chlorite.
ative to the clay properties in situ. The liquidity index, Samples of the LaBaie clay were stored under dif-
see Section 4.5, is useful for expressing and comparing ferent conditions. The changes in remolded strength,
the consistencies of different clays, as it normalizes the liquidity index, pH, and concentrations of several ion
water content relative to the plasticity index.3 types as a function of storage time are shown in Fig.
8.39. These results show that aging leads to increases
in both pore water salinity and the concentrations of
3
Similarly, the void index, Iv [Eq. (8.1)] is often used for correlating divalent cations in the pore water and decreases in pH.
the compression behavior of different clays and for assessing the
influence of structure on properties (Burland, 1990; Cotecchia and
Collectively, the compositional changes are responsible
Chandler, 2000; Jardine et al., 2004). for increase in remolded strength (Fig. 8.37) and de-
crease in liquidity index (Fig. 8.39) because each
e ⫺ e 100
* depresses the double layer, thereby decreasing the
Iv ⫽
C *c interparticle repulsive forces. The remolded strength
forms sulfuric acid and ferric hydroxide. The reactions
can be rapid at high pH. Slow transformation of
Fe(OH)3 to yellow goethite (FeO–OH) may give a
brownish color to the clay.
The sulfuric acid reacts with the Mg–calcite to in-
crease the concentrations of Ca2⫹ and Mg2⫹ in the pore
water and in the adsorbed complex on the clay parti-
cles. Concurrently, sodium and potassium are dis-
placed from the double layer to the pore water. The
salinity increases, and the increase in concentrations of
the divalent cations causes increases in the remolded
strength and the liquid limit and decreases in the sen-
sitivity and liquidity index. More complete descrip-
tions of the reactions, including phase diagrams and
reaction kinetics are given by Lessard (1981) and Les-
sard and Mitchell (1985). An important role of bacteria
in mediating the oxidation and reduction reactions
associated with quick clay formation and aging is
suggested. The importance of geochemical and
microbiological processes in geotechnical engineering
has been given little attention in the past. Future stud-
ies of the phenomena and processes are likely to pro-
vide important new insights and understanding.
Significance of Aging in Practice

The aging of quick clays shows how even seemingly
small changes in environmental conditions can result
in significant changes in properties. These changes can
occur over times typical of those associated with the
field and laboratory phases of many projects, for ex-
ample, from several weeks to a few months. If extreme
care is not exercised during sample storage, laboratory
tests may give misleading results. Simple pH measure-
Figure 8.36 Relationship between sensitivity and monova-
lent cations in low-salt-content clays and between sensitivity ments at the time of sampling and again at the time of
and electrokinetic potential (data from Penner, 1965). testing can provide a rapid and easy means for assess-
ing whether aging processes have occurred. To mini-
mize the aging effects the exposure of samples to air
correlates well with both the concentration of divalent should be minimized, thick wax caps should be used
cations and the total cation concentration, as shown in with rust-free sample tubes, and samples should be
Fig. 8.40. The method of storage (see Fig. 8.39) does stored at low temperatures to slow down reaction rates.
not affect the correlations shown in Fig. 8.40; rather,
it influences the time required for the chemical con- Summary of Sensitivity-Causing Mechanisms
centration changes to occur. The six causes for the development of sensitivity dis-
These changes in chemistry and properties are cussed above are summarized in Table 8.8. An estimate
caused by the following sequence of events. When of the upper limit of sensitivity for each mechanism is
quick clay is sampled or exposed, some contact with also given. Virtually all natural soils, including many
the air and oxygen is inevitable. This air causes some sands, are sensitive in that they lose some strength on
of the remaining organic matter to oxidize and form disturbance and remolding. Exceptions are heavily ov-
carbonic acid, which, in turn, dissolves calcium car- erconsolidated stiff fissured clays that can gain strength
bonate, thus increasing the concentrations of calcium because of the elimination of fissures and planes of
and bicarbonate in the pore water. Even extremely low weakness. Quick clays are formed from soft glacial
partial pressures of O2 are sufficient to initiate oxida- marine clays only after removal of excess salt by leach-
tion phases of the sulfur cycle. The oxidation of pyrite ing and further increase in double-layer repulsions as
Figure 8.37 Changes in the remolded strength and consistency of a Canadian quick clay as
a function of time (Lessard, 1978).
Figure 8.38 Geotechnical characteristics of the quick clay from LaBaie as a function of
depth (after Lessard, 1981).
PROPERTY INTERRELATIONSHIPS IN SENSITIVE CLAYS 235
a result of an increase in the relative proportion of
monovalent cations (mainly sodium) in the pore water
and increase in pH. More than one mechanism may
contribute to the total sensitivity of any one soil.
8.13 PROPERTY INTERRELATIONSHIPS IN

SENSITIVE CLAYS
The geotechnical properties of normally consolidated,
noncemented sensitive clays fit a pattern that is pre-
dictable in terms of sensitivity, liquidity index, and ef-
fective stress using the concepts given in the preceding
sections.
General Characteristics of Sensitive Clays

Glacial and postglacial clays of high and low sensitiv-
ity exhibit significant differences, as shown by the pro-
files in Fig. 8.41 for a normal clay from Drammen and
a quick clay from Manglerud, both in Norway. One of
the most important of these differences is that at Man-
glerud the water content is well above the liquid limit;
that is, the liquidity index is greater than 1.0. This is
characteristic of quick clays.
Plasticity and Activity When normal clays are con-
verted to highly sensitive or quick clays by the chem-
ical changes described in Section 8.12, the liquid limit,
plasticity index, and activity decrease. These changes
are reflected by an increase in the liquidity index at
constant effective stress. The liquid limit of highly sen-
sitive clay is usually less than 40 percent and rarely
Figure 8.39 Effect of time and storage conditions on the greater than 50 percent. Plastic limit values are usually
properties of LaBaie quick clay. about 20 percent. The activity of most normal inor-
ganic marine clays is of the order of 0.5 to 1.0,
whereas the activity of quick clays can be as low as
0.15. The sensitivity of a given clay type usually cor-
relates uniquely with liquidity index, as may be seen
in Fig. 8.42 for Norwegian marine clays.
Pore Pressure Parameter, Aƒ [Eq. (8.3)] High pore
pressures are developed when sensitive soils are
sheared. For some quick clay, pore pressures as high
as two times the peak deviator stress have been mea-
sured. Loose sand may develop excess pore pressure
equal to the initial confining effective stress when
sheared rapidly without drainage, thereby losing its
strength completely.
Undrained Shear Strength to Consolidation Pressure
Ratio, Su /p The Su /p ratio (often indicated as the c/
p ratio) decreases with increasing sensitivity, ranging
from 0.3 or more for normally consolidated insensitive
clays to less than 0.1 for quick clays. This is illustrated
Figure 8.40 Dependence of remolded strength on cation by Fig. 8.43 for normally consolidated clay. In this
concentration in LaBaie quick clay. figure the consolidation pressure p is taken as the over-
Table 8.8 Summary of the Causes of Sensitivity in Soils
Approximate Upper Limit

Mechanism of Sensitivitya Predominant Soil Types Affected
Metastable fabric Slightly quick (8–16) All soils
Cementation Extra quick (⬎64) Soils containing Fe2O3, Al2O3, CaCO3, free
SiO2
Weathering Medium sensitive (2–4) All soils
Thixotropic hardening Very sensitiveb Clays
Leaching, ion exchange, and change in Extra quick (⬎64) Glacial and postglacial marine clays
monovalent/divalent cation ratio
Formation or addition of dispersing Extra quick (⬎64) Inorganic clays containing organic compounds
agents in solution or on particle surfaces
a
Adjectival descriptions according to Rosenqvist (1953).
b
Pertains to samples starting from present composition and water content. Role of thixotropy in causing sensitivity in
situ is indeterminate.
burden vertical effective stress, vo, and CIUC means Sensitivity As each point on the curves for fully
isotropically consolidated undrained compression tests destructured soil in Figs. 8.13 and 8.14 represents com-
were used for determination of strength. pletely remolded material, the sensitivity at any point
Stress–Strain Relationships In general, strain at on this curve must be unity. Thus this curve is a line
failure decreases with increasing sensitivity. Some of constant sensitivity or sensitivity contour. Saturated
quick clays are quite brittle during unconfined loading clay at a given water content and pore fluid composi-
and fracture at very low strains, sometimes by axial tion cannot be made weaker than its thoroughly re-
splitting. Further working of the fractured specimen molded strength. Therefore, a water content–effective
may cause it to turn into a fluid mass. stress relationship to the left of that for the fully de-
Compressibility The compressibility of highly sen- structured soil is not possible. The undisturbed strength
sitive clays is relatively low until the consolidation increases with increasing effective stress at constant
stress exceeds the preconsolidation pressure. It then in- water content (Fig. 8.45), and the sensitivity at all
creases sharply as shown by Fig. 8.44 for Champlain points to the right of the fully destructured soil curve
clay. As the void ratio reduces under higher consoli- is greater than 1. Thus, the maximum gradient of sen-
dation pressures, the compressibility eventually as- sitivity increase is generally normal to the contour for
sumes a lower value. the fully destructured soil.
Pore Pressure Parameter, Aƒ The pore pressure at
Property, Effective Stress, and Water Content failure is controlled by the tendency of the soil to dilate
Relationships or contract. Thus Aƒ decreases with decreasing water
Consolidation Because the initial structure depends content at constant initial effective stress. At constant
on many factors and the volume changes under pres- water content, the lower the effective stress, the easier
sure are a function of structure, a soil does not have a it is for the soil to dilate since less energy is required
unique consolidation curve. All states and compression for expansion against low pressures than high. There-
curves must be above the curve for the fully destruc- fore, the maximum gradient of Aƒ is as shown in Fig.
tured material. 8.46.
Strength of Normally Consolidated Soil The higher Strain at Failure Restrained dilation increases ef-
the effective stress at a given water content, the greater fective stress, thus increasing shearing resistance. Con-
the undrained strength because of increased frictional sequently, the deformation required to cause failure
resistance between particles. For constant effective increases with increasing dilation. On the other hand,
stress, strength increases with decreasing water content strain at failure should decrease with increase in Aƒ
because of increased dilatancy. Thus the general be- because Aƒ varies inversely with dilation tendencies.
havior shown in Fig. 8.45 is observed. Consequently, the maximum positive gradient of strain
PROPERTY INTERRELATIONSHIPS IN SENSITIVE CLAYS 237
Figure 8.41 Soil profiles for marine clays of low and high sensitivity (from Bjerrum, 1954).
at failure should be opposite to the maximum gradient sensitivity, Aƒ , and strain at failure. Contours based on
for Aƒ . these values are shown in Fig. 8.47. The variations in
Example of Relationships The results of triaxial the measured values are in general accord with the
compression tests on kaolinite (Houston, 1967) illus- predictions stated previously.
trate the above relationships. By consolidating different
samples from several different initial water contents
and remolding and reconsolidating them in various Sensitivity–Effective Stress–Liquidity Index
ways, samples covering a range of initial effective Relationship
stress and water content values, each reflecting a dif- General relationships between sensitivity, effective
ferent structure, were obtained. The results of un- stress, and water content can be established based on
drained triaxial tests yield values of strength, normalization of the remolded strength versus water
Figure 8.42 Sensitivity as a function of liquidity index for

Norwegian marine clays. Relationship was averaged from Figure 8.44 Consolidation curves for Champlain (Leda)
many more data points than those shown (data from Bjerrum, clay. Reproduced with permission from the National Re-
1954). search Council of Canada, from the Canadian Geotechnical
Journal, Vol. 3, pp. 61–73, 1966.
Figure 8.43 Normalized undrained shear strength of nor-

mally consolidated clay as a function of liquidity index (from
Bjerrum and Simons, 1960). Reprinted with permission of
ASCE.
content relationship. The liquidity index (LI) provides

a basis for this normalization. A unique relationship
between sensitivity, liquidity index, and effective stress
exists if:
Figure 8.45 Gradient of strength increase with water content
1. The LI–effective stress relationship is the same and effective stress variation.
for thoroughly remolded specimens of all clays.
This relationship is the contour for a sensitivity
of 1.0.
2. The relationship between remolded strength and liquidity index for several clays is shown in Fig. 8.48.
liquidity index is the same for all clays. The data points in this figure were based on fall-cone
3. At any value of liquidity index, the variation of tests for determination of the liquidity index. The
Su /p with effective consolidation pressure is the wider band of values reported by Houston and Mitchell
same for all clays. This fixes the undisturbed (1969) resulted, at least in part, from the use of dif-
strength in terms of LI and effective stress. ferent methods for determination of the strength and
liquidity index values. A general relationship between
These conditions hold sufficiently well for most sen- the undrained shear strength of the remolded clay and
sitive clays. Remolded shear strength as a function of the liquidity index for the heavy curve in Fig. 8.48 is
DISPERSIVE CLAYS 239
available, to estimate changes in strength and sensitiv-
ity due to change in effective stress or liquidity index,
and as a guide for extrapolating a small amount of data
to a larger pattern. A very similar approach that relates
sensitivity, stress state, and void index Iv is proposed
by Cotecchia and Chandler (2000) and Chandler
(2000).
8.14 DISPERSIVE CLAYS

Some fine-grained soils are structurally unstable, easily
dispersed, and, therefore, easily eroded. Soils in which
the clay particles will detach spontaneously from each
other and from the soil structure and go into suspen-
sion in quiet water are termed dispersive clays. The
consequences of the exposure of dispersive clays to
water may be several, as shown by Figs. 8.50 and 8.51.
The surface erosion pattern on an excavated slope,
which is characteristic of ‘‘badlands’’ topography, is
Figure 8.46 Gradient of pore pressure parameter Aƒ with shown in Fig. 8.50. Erosion tunnels in a flood control
water content and effective stress variations. dike are shown in Fig. 8.51. Failures of this type have
occurred in well-constructed, low homogeneous dams.
In each case shown, the soil contained readily dis-
persed clay particles that went easily into suspension
1
Su ⫽ (kPa) (8.4) in flowing water. Failures of this type have occurred in
(LI ⫺ 0.21)2 embankments, dams, and slopes composed of clays
with low-to-medium plasticity (CL and CL–CH) that
The following equation that can be deduced from contain montmorillonite. Dispersive piping in dams
Sharma and Bora (2003) also fits the relationship de- has occurred either on the first reservoir filling or, less
fined by Eq. (8.4) well: frequently, after raising the reservoir to a higher level.
Dispersive clay failures are usually initiated when
2 w water flows into small cracks and fissures. When a res-
log ⫽ log LL ⫹ ⫻ log L (8.5)
log(wL /wp ) w ervoir is filled for the first time, settlement may accom-
pany saturation of the soil, particularly if the soil was
In Eq. (8.5) is the undrained strength and w, wL, and placed dry of optimum and not well compacted. Set-
wp are the water content, liquid limit, and plastic limit tlement below the phreatic surface and arching above
values. it can result in crack formation. Water moving through
By averaging data for several clays, the relationship the crack picks up dispersive clay particles, with the
between liquidity index, effective stress, and sensitivity rate of removal increasing as the seepage velocity and
shown in Fig. 8.49 is obtained. Figure 8.49 is also valid size of opening increase. This is a fundamentally dif-
for moderately overconsolidated clays, provided the ferent mechanism than erosive piping, which develops
preconsolidation pressure is used instead of the present and works backward from the discharge face. Tunnel-
effective stress. This is because the water content and ing has been initiated in soils with a hydraulic con-
undrained strength depend more on the preconsolida- ductivity as low as 1 ⫻ 10⫺7 m/s.
tion pressure than on the present effective stress. Some Visual classification, Atterberg limits, and particle
deviations from the values in Fig. 8.49 are to be ex- size analyses do not provide a basis for differentiation
pected because of the extensive averaging used in its between dispersive clays and ordinary erosion-resistant
preparation. These deviations may be greatest for extra clays. However, relatively simple chemical tests, a dis-
quick clays because of the very low remolded strength, persion test, a ‘‘crumb’’ test, and the pinhole test (Sher-
the difficulty in determining it accurately, and its con- ard et al., 1976) can be used for identification of
trolling influence on the calculated value of sensitivity. dispersive clays.
Nonetheless, the relationships in Figs. 8.48 and 8.49 In the pinhole test, distilled water is allowed to flow
can be used to estimate sensitivity and strength when through a 1.0-mm-diameter hole drilled through a
undisturbed samples or in situ strength data are not compacted specimen. If the soil is dispersive, the water
Figure 8.47 Strength properties of normally consolidated kaolinite as a function of effective

stress and water content: (a) shear strength, (b) strain at failure, (c) pore pressure parameter
Aƒ , and (d ) sensitivity.
becomes muddy and the hole rapidly erodes. For non- indicating probable dispersive clay behavior in soils of
dispersive clays the water remains clear and there is relatively low total salt concentration in the pore water.
no erosion. The pinhole test and test procedure are As determination of the ESP requires measurement of
described in ASTM Standard D4647-93 (1998) both the cation exchange capacity and the amount of
(ASTM 2000). sodium in the exchange complex, it is not a simple or
As noted in Section 6.15, the exchangeable sodium rapid method for identification of dispersive clay. A
percentage (ESP) is a strong indicator of potential dis- simpler chemical measure of potential dispersivity,
persive behavior, with an ESP greater than 2 indicating supported by the results of tests on many samples, was
possible dispersion, and an ESP greater than 10 to 15 proposed by Sherard et al. (1972, 1976) that is based
DISPERSIVE CLAYS 241
Figure 8.50 Erosion pattern in excavated slope of sensitive

clay (courtesy of J. L. Sherard).
on the percent sodium in the saturation extract from a

Figure 8.48 Relation between shear strength of remolded
clay and liquidity index (from Leroueil et al., 1983). Repro- soil–water paste. This correlation is shown in Fig.
duced with permission from the National Research Council 8.52.
of Canada. Many subsequent tests have shown, however, that
the zones in Fig. 8.52 are not always reliable indicators
of dispersibility. For example, Craft and Acciardi
(1984) found that only 62.3 percent of 223 samples
were classified correctly. This is not surprising because
Figure 8.49 General relationships between sensitivity, liquidity index, and effective stress.
pressure, and velocity of flowing water. The influence

of the chemistry of the water used for evaluation of
dispersibility was illustrated by the results of pinhole
tests on compacted samples of shale by Statton and
Mitchell (1977). A decrease in pH of the eroding water
to less than about 4, using hydrochloric acid, or an
increase to greater than about 11, using calcium hy-
droxide or sodium hydroxide, caused a change from
dispersive to nondispersive behavior. Similarly, in-
creasing the salt concentration of the water at its nat-
ural pH of 6.3 to 0.1 N CaCl2 or 0.5 N NaCl caused
erosion of the dispersive clay to stop.
In the dispersion test the percentage of particles finer
than 5 m is determined by hydrometer analyses of
samples with and without dispersing agent in the sus-
pension water (Sherard et al., 1972). The higher the
ratio of percentage material finer than 5 m by weight
Figure 8.51 Erosion damage on the crest of 5-m-high flood measured in the test without dispersing agent to that
control dike caused by rain runoff concentrating in drying measured in the test with a dispersing agent, the
cracks, Rio Zulia, Venezuela (courtesy of J. L. Sherard).
greater the probability of dispersion in the field. This
ratio, when expressed as a percentage, is termed the
percent dispersion. Values greater than 20 to 25 percent
whether or not a soil will exhibit dispersive behavior indicate that dispersion may be a problem. Values
depends not only on its chemical and mineralogical greater than 50 percent are nearly always indicative of
composition but also on its state, as reflected by water soils susceptible to severe erosion damage initiated by
content, density, and structure, on the chemistry of the clay dispersion.
water to which it is exposed, and on the specific con- In the crumb test a small clod of the soil is placed
ditions of exposure, including temperature, confining in a beaker and submerged in water. If the soil clod is
Figure 8.52 Relationship between dispersibility (susceptibility to colloidal erosion) and dis-
solved pore water salts based on pinhole tests and field observations. SAR ⫽ sodium ab-
sorption ratio, Eq. (6.33). Concentrations in meq / liter (from Sherard et al., 1976). Reprinted
with permission of ASCE.
COLLAPSING SOILS AND SWELLING SOILS 243
initially dry, it will often slake. If it is dispersive, clay Three mechanisms are responsible for these modes
particles will go into suspension in the quiet water, and of failure. Dispersion, which is dependent on the clay
the zone around the clod will become cloudy. and water chemistry, was described in the preceding
Of the several tests developed for identification of section. Swelling slaking results from stress relief and
dispersive clays, the pinhole test is considered the most water intake due to water adsorption and osmotic
reliable. But even with this test, it is important that the forces. Compression of entrapped air in partially sat-
samples correctly simulate the soil state and the water urated soils is responsible for body slaking and, to
composition to be expected in the field. some extent, for surface slaking. Rapid water absorp-
Several methods can be used to mitigate the adverse tion into the material compresses the air, which, in
effects of dispersive soils. The addition of 2 to 3 per- turn, exerts tensile stresses on the soil structure. If the
cent hydrated lime during construction will usually structural strength is insufficient to withstand these
convert a soil to a nondispersive form. Filters that are stresses, then the material splits apart. Seedsman
designed to retain small particle sizes should be used (1986) found that the slaking mechanism was related
on the discharge side of dams and dam cores. For an to the bulk density, and the higher the density the more
existing dam, in which tunneling erosion is expected resistant the material to slaking by any mode.
to develop, lime can be added at the upstream face to
be carried inward by the percolating water. Additional
strategies were suggested and evaluated by Sherard and
Decker (1977). 8.16 COLLAPSING SOILS AND SWELLING
SOILS
Large areas of Earth’s surface, particularly in the Mid-
8.15 SLAKING
west and Southwest United States, parts of Asia, South
Most fine-grained soils slake after exposure to air and America, and southern Africa, are covered by soils that
subsequent unconfined immersion in water; an initially are susceptible to large decreases in bulk volume when
intact piece of soil will disintegrate into a pile of pieces they become saturated. Such materials are termed col-
or sediment of small particles. This disintegration may lapsing soils. Collapse may be triggered by water alone
begin immediately upon immersion or develop slowly or by saturation and loading acting together. Soils with
with time. Slaking usually is more rapid and vigorous collapsible structures may be residual, water deposited,
in materials that have been dried prior to immersion or aeolian. In most cases, the deposits have a loose
compared to the same material immersed at its initial structure of bulky shaped grains, often in the silt-to-
water content. Whether a material slakes or not has fine-sand range. Collapsible grain structures are left
been proposed as a basis for distinguishing between behind in residual soils as a result of leaching of sol-
soil and rock (Morgenstern and Eigenbrod, 1974). The uble and colloidal material. Water- and wind-deposited
slaking of hard clays and clay shale is a concern in the collapsing soils are usually found in arid and semiarid
stability of open excavations and the shale durability regions and are a consequence of the loose fabrics and
when it is used as an aggregate or rockfill for construc- weak structures that form.
tion. Debris flows (mudflows and torrential stream depos-
From controlled tests on relatively pure samples of its) are deposited suddenly and locally, and may form
different clays (Moriwaki and Mitchell, 1977) and on a loose, metastable structure. Torrential stream sedi-
clay shales (Seedsman, 1986), four modes of disinte- ments, in particular, form a loose, poorly graded ma-
gration were identified. These are: terial. Some small amount of clay is present that serves
as a binder for the deposit after it dries. Some cemen-
1. Dispersion Slaking Particles of clay detach tation may also develop because in the arid climates
from the surface of the intact clay by dispersion where such deposits form, water moves upward to
into the adjacent water. evaporate, leaving behind its content of dissolved salts.
2. Swelling Slaking Water is adsorbed by the clay If subsequently wetted, the loose structure can collapse
and the material swells and softens. and cause large settlements.
3. Surface Slaking Aggregates of clay particles When a large canal was constructed through the San
spall off the surface and accumulate as sediment Joaquin Valley during the 1960s to carry water from
in the adjacent water. northern California to southern California, it was nec-
4. Body Slaking The material splits and disinte- essary to cross many collapsible debris flow deposits.
grates into pieces, and the failure appears to de- In order to minimize future settlements of the canal
velop from the inside out. and appurtenant structures as a result of canal leakage,
extensive preponding was carried out before construc- The low density and light cementation of the loess
tion of the canal. structure make it susceptible to collapse. When main-
Soils susceptible to large collapse as a result of wet- tained dry, it is reasonably strong and incompressible.
ting can be identified using a density criterion. If the The porous structure may persist even beneath 60 m
density is sufficiently low that the void space is larger of overburden. When saturated, however, loess depos-
than needed to hold the liquid limit water content, then its may lose their stability. Compression due to satu-
collapse problems are likely (Gibbs and Bara, 1967). ration alone may be small, but with a surcharge, it may
If the void space is less than that needed for the liquid be very large, as shown in Fig. 8.54. Watering lawns
limit water content, then collapse is not likely unless around new houses founded on loess has been known
the soil is loaded. to cause large settlements. If saturated loess deposits
Loess deposits are widespread throughout the mid-
western United States and parts of Asia. This material,
which is wind-blown silt, is light brown in color, crum-
bly, and essentially devoid of stratification. The par-
ticles are predominantly silt size and composed of
feldspar and quartz. A small amount of clay, usually
less than 15 percent, may be present. Smectite is the
usual clay mineral type. Calcite may be present in
amounts up to 30 percent and can act as weak cement
that precipitates along the sides of vertical root holes
and at interparticle contacts. Densities of undisturbed
loess may be as low as 1.2 g/cm3, and the natural
water content of metastable deposits of loess is low,
on the order of 10 percent. Most loesses plot near the
A-line on the plasticity chart.
Because of vertical root holes formed by gradual
burial of grassy plains, the absence of stratification,
and light cementation, loess cleaves on vertical planes,
and vertical faces cut in loess are quite stable, as shown
in Fig. 8.53. In fact, if inclined slopes are cut, they will Figure 8.54 Compression properties of Missouri River basin
gradually erode back to a series of steplike vertical loess (from Clevenger, 1958). Reprinted with permission of
faces. ASCE.
Figure 8.53 Loess deposit. Note vertical slopes.

are subjected to dynamic loading, such as from an to be more durable over the long term than compaction
earthquake, there may be instantaneous liquefaction shales, unless exposure to water and ions in solution
and large flow slides. The undisturbed density of a lo- leads to dissolution of the cementing material. Pyrite
ess deposit may be a fair indicator of the potential or sulfates in sedimentary rocks can be the cause of
settlement and loss of strength that may result from geochemical processes, often catalyzed by microbio-
saturation. Detailed information about the nature and logical activity, that result in heave and loss of the
behavior of Mississippi loess, a widespread loess de- intact rock strength. This deterioration can occur in
posit, is given by Krinitzky and Turnbull (1967). time periods as short as a few months. Chemically non-
durable shales are likely to be especially troublesome
in environments with pH less than 6. Recommenda-
8.17 HARD SOILS AND SOFT ROCKS tions for identifying these materials are given by Noble
(1977, 1983).
Among the continuum of soils and rocks that are en- Knowledge of the geologic history of a deposit, the
countered in engineering and construction, very heav- mineralogical and chemical composition, and the new
ily overconsolidated fine-grained soils and mudstones, loading and exposure conditions provides initial in-
shales, and siltstones are sometimes among the most sights about whether shales, siltstones, and sandstones
difficult to deal with. It is not always clear whether can be expected to degrade. Accelerated weathering
such materials should be treated as soil or rock. If be- and durability tests are used to classify shale durability.
havior is rocklike, the material can be used in earth- Tests used for this purpose have been described and
work construction like a rock and placed in thick lifts reviewed by Huber (1997). They include water adsorp-
without much compaction. If the shale is susceptible tion, wet–dry, freeze–thaw, jar slaking, crushing, point
to break down, however, it must be treated as a soil load strength, ultrasonic disaggregation, and slake
and placed in thin, well-compacted lifts. If considered durability tests in which the breakdown of shale
a rock and subsequent deterioration under the actions submerged in a rotating wire basket (Franklin and
of stress, water, and chemical change causes break- Chandra, 1972) is determined. The results of these
down, loss of strength and increase in compressibility, tests form the basis of several shale durability classi-
then there can be failures. Conversely, if the durability fication systems that have as their goal to distinguish
and mechanical properties are too conservatively as- shales that cause problems from those that do not. One
signed, then unnecessary overdesigns and excessive of the first such systems was developed by Underwood
costs may result. (1967) for engineering evaluations. Table 8.9, adapted
Shale is a prime example of a material that illus- from Underwood’s study, is a listing of physical and
trates the soft rock-hard soil problem. According to composition properties associated with the indicated
Terzaghi et al. (1996): types of unfavorable behavior. It may be seen that the
range of most properties within which unfavorable be-
Shale is a clastic sedimentary rock mainly composed of
havior is likely to develop is rather broad, which means
silt-size and clay-size particles. Most shales are laminated
and display fissility; the rock has a tendency to split along
that any single test or observation by itself is unlikely
relatively smooth and flat surfaces parallel to the bedding. to be sufficient for confirmation of favorable or unfa-
When fissility is completely absent, the clastic sedimentary vorable behavior.
deposit is called mudstone, or clay rock.
Unweathered, intact shale, although considerably 8.18 CONCLUDING COMMENTS
weaker and less durable than most igneous and meta-
morphic rocks, may still have adequate resistance and This chapter is concerned with how residual and trans-
long-term stability to be stable on cut slopes or to be ported soil deposits are formed, how the formative
used as an embankment fill or stable pavement sub- processes and subsequent changes over time act to
grade. On the other hand, many shales that appear in- produce unique types of soil structures with character-
tact and rocklike when exposed or excavated can have istic properties, and how these properties and the as-
properties that deteriorate with time. The problems, sociated behavior are interrelated. Several illustrations
then, are to determine whether degradation is likely, of the relevance of these processes and properties to
and if so, how much and how fast. geotechnical applications are among the subjects of
Degradation, apart from that caused by mechanical this chapter.
processes such as unloading, compression, crushing, The structure of a soil depends on its fabric and
and shearing, is usually by slaking (see Section 8.15) interparticle force system. It reflects all facets of the
initiated by exposure to air, moisture, and changed soil’s composition, history, present state, and environ-
chemical environment. Cementation shales are likely mental influences. Soil particles come in a great variety
246
Table 8.9 Properties and Conditions Likely to Cause Problems with Shale
Physical and Compositional Properties Probable in Situ Behavior

Lab tests and in situ Unfavorable behavior High pore Low Tendency to Slope Rapid Rapid Tunnel
observations probable for values pressure bearing rebound stability slaking erosion support
in indicated range capacity problems problems
Compressive ⬍300–1800 ⫻ ⫻
strength, kPa
Modulus of ⬍140–1400 ⫻ ⫻
elasticity, MPa
Cohesive strength, ⬍30–700 ⫻ ⫻ ⫻
kPa
Angle of internal ⬍10–20 ⫻ ⫻ ⫻
friction, deg.
Dry unit weight, ⬍11.0–17.3 ⫻ ⫻(?)
kN/m3
Potential swell, % ⬎3–15 ⫻ ⫻ ⫻ ⫻
Natural moisture ⬎20–35 ⫻ ⫻
content, %
Hydraulic ⬍10⫺5 ⫻ ⫻ ⫻
conductivity, m/s
Predominant clay Smectite or illite ⫻ ⫻
minerals
Activity ⬎0.75–2.0 ⫻
Wetting and drying Reduces to grain ⫻ ⫻
cycles sizes
Spacing of rock Closely spaced ⫻ ⫻ ⫻(?) ⫻
defects
Orientation of rock Adverse ⫻ ⫻ ⫻
defects
State of stress ⬎Existing ⫻ ⫻ ⫻
overburden
Adapted from Underwood (1967).
of sizes, shapes, and compositions. The possible par- 2. The results of unconfined compression tests on two
ticle arrangements (fabric) and stabilities of these ar- samples of kaolinite compacted by two different
rangements (structure) are many; therefore, any single methods are shown in Fig. 11.20.
soil can exist in many different states, each of which a. Why is the peak strength greater by static com-
can be viewed as a somewhat different material. paction than by kneading compaction? (Knead-
Geochemical and microbiological influences on the ing compaction is the type produced by a
geological processes and properties that are important sheepsfoot roller, and static compaction is pro-
in geoengineering are only now beginning to be stud- duced by a smooth steel roller.)
ied and understood by geotechnical engineers. It is b. Why are the ultimate or residual strengths of the
likely that knowledge drawn from these fields will be materials prepared by the two methods the
very useful in the future. same?
c. If this kaolinite were to be used for a structural
fill, which method of compaction would you
specify? Why?
QUESTIONS AND PROBLEMS d. If this kaolinite were to be used for the core of
an earth dam, which method of compaction
1. Indicate whether each of the following statements would you specify? Why?
is True or False. Justify your answer with a brief e. If each material was saturated without further
statement. change in dry unit weight and then sheared un-
a. Rearrangement of particles during shear pro- drained, sketch the curves of pore water pressure
vides an important contribution to the residual versus strain that you would expect to obtain for
strength of a highly plastic clay. each.
b. The relationship between critical void ratio and 3. Given heavily overconsolidated clay under a present
effective confining pressure is the same for un- vertical effective overburden stress of 200 kPa, the
disturbed and reconstituted samples of the same maximum past effective stress on the horizontal
sand. plane was 600 kPa. Consider this to be state I. It
c. The sensitivity of a clay can be explained by the has been determined that this clay has a peak fric-
change in effective stress caused by remolding. tion angle of 30 and a residual friction angle
d. Collapse of structure in a saturated soil is usually r of 17. There is no cementation of the clay struc-
accompanied by an increase in effective stress. ture. Rapid shear is defined as deformation at a rate
e. Relative density is a suitable single parameter for fast enough so there can be no change in pore pres-
characterizing sand properties. sure in the shear zone. Slow shear is deformation
f. Strength loss when a sensitive clay is disturbed at a rate slow enough that there can be no change
is related to the liquidity index. in pore pressure in the shear zone.
g. Marine clays have very high values of sodium a. What is the overconsolidation ratio?
adsorption ratio and exchangeable sodium per- b. Show paths on a diagram of shear stress versus
centage, which means that they are dispersive effective normal stress on the failure plane to
clays. represent the following, and state for each
whether the accompanying changes in volume
h. Two samples of the same sand have the same
( V) and pore pressure ( u) are positive, nega-
relative density and are confined under the same
tive, or zero:
mean effective stress. Therefore, they have the
same stress–deformation, volume change, and i. Rapid shear from I to peak strength
strength properties. ii. Slow shear from I to peak strength
i. A compacted clay liner is to be used for contain- iii. Rapid shear from peak strength to residual
ment of nonpolar organic solvent wastes. Time strength
can be saved in determining the hydraulic con- c. What changes in fabric would you anticipate in
ductivity of this clay by mixing the soil with the going from I to peak strength and from peak
solvent and then compacting samples for testing, strength to residual strength?
rather than doing the compaction using water and d. Deep cuts in heavily overconsolidated clay
then using the solvents as permeants. Each pro- sometimes fail many years after they are made,
cedure will give the same result. and stability analyses have indicated that the av-
erage strength at the time of failure corresponds Na⫹ ⫽ 1.0 meq/liter

to that at residual state.
Ca2⫹ ⫽ 2.5 meq/liter
i. Account for the time delay.
ii. Is it reasonable to assume simultaneous de- Mg2⫹ ⫽ 1.0 meq/liter
velopment of residual strength at all points
along the failure surface? If not, how can the Comment on the probable structural state of the
behavior be explained? Take into account soil at the time of construction.
stress–strain properties and water content d. The reservoir water to be stored behind this dam
changes that may be involved. will contain the following cation concentrations:
4. Suggest ways by which a quick clay might be sta-
bilized in situ, that is, made less susceptible to large
strength loss. Na⫹ ⫽ 4.0 meq/liter
5. It is shown in Fig. 8.48 that there is a unique re- Ca2⫹ ⫽ 0.5 meq/liter
lationship between remolded shear strength and li-
quidity index that seems to be independent of the Mg2⫹ ⫽ 0.3 meq/liter
particular clay. Explain why this should be so.
6. Which is easier to determine, the exchangeable so- Comment on the possible consequences of pro-
dium percentage or the sodium adsorption ratio? longed percolation by this water. Justify your
Why? conclusions numerically.
7. Salt-affected soils are classified by agronomists as 8. State special geotechnical characteristics of the
follows: following soil types and relate them to their
(1) formational processes, (2) composition, (3) en-
vironmental setting, and (4) structure. By all means
consult references in addition to the relevant sec-
Exchangeable Usual tions in this book to enhance the quality of your
Sodium Usual Structural answers.
Soil Group Percentage pH State a. Loess
Saline ⬍15 ⬍8.5 b. Organic clay
Saline-alkali ⬎15 8.5 c. Decomposed granite
Nonsaline alkali ⬎15 8.5–10.0 d. Expansive soil
Nonsaline, nonalkali ⬍15 ⬍8.5 e. Pyrite-rich soil
f. Loose sand
g. Carbonate sand
a. Complete the above table by filling in the last h. Glacial moraine
column on the right. i. Saprolite
b. Which, if any, of these soil types may be a prob- j. Torrential stream deposits and mudflows
lem soil? Why?
9. Manned missions to the Moon are likely to resume
c. A practical form of the Gapon equation is
within the next several years for several purposes,
including scientific studies, astronomical observa-
Na* tions, resource development, military advantage,
⫽ 0.17 (SAR) and development of a launching platform for further
Na* ⫹ Mg*
space exploration. The lunar soil and its properties
will have important impacts on many aspects of
where SAR is the sodium adsorption ratio and * these activities, especially facilities construction,
refers to the cation concentrations adsorbed on their operation, and maintenance. Consider the fol-
the clay. At the time of construction of a small lowing aspects of the Moon and its surface envi-
earth dam, the soil was compacted and the water ronment:
in it contained the following cation concentra- a. Lunar rocks are primarily basaltic.
tions: b. The gravitational field is one-sixth that of Earth.
c. The lunar surface temperature ranges from b. Soil particle sizes and size distributions
⫺150C at lunar midnight to ⫹120C at lunar c. Whether or not lunar soils will be cohesive
noon. d. The nature and magnitude of lunar soil weath-
d. There is no free water. ering
e. Atmospheric pressure is 10⫺13 Earth atmos- e. Local and regional variability of lunar soil com-
pheres. positions and densities
f. There is much higher cosmic and solar radiation f. Coefficient of friction between soil particles (see
on the Moon than on Earth. Chapter 11)
g. There is a high frequency of meteorite impact g. The ultimate bearing capacity of a cohesionless
compared to Earth. soil on the Moon compared to that of the same
soil on Earth.
Use principles relating to geologic and soil-forming h. The optimum size of particles that might form
processes, soil composition, surfaces, fabric, structure, metastable honeycomb structures on the Moon
and any other relevant concepts to make reasoned es- as opposed to a finding by Terzaghi that silt-size
timates of or comments on the following: particles in the range of 6- to 20-m diameter
a. Soil particle composition are most susceptible to this effect on Earth.
CHAPTER 9
Conduction Phenomena
9.1 INTRODUCTION flow are important under a variety of circumstances. A

coupled flow is a flow of one type, such as hydraulic,
Virtually all geotechnical problems involve soil or rock driven by a potential gradient of another type, such as
deformations and stability and/or the flow through electrical.
earth materials of fluids, chemicals, and energy in var- This chapter includes a review of the physics of di-
ious forms. Flows play a vital role in the deformation, rect and coupled flow processes through soils and their
volume change, and stability behavior itself, and they quantification in practical form, an evaluation of rele-
may control the rates at which the processes occur. vant parameters, their magnitudes, and factors influ-
Descriptions of these flows, predictions of flow quan- encing them, and some examples of applications.
tities, their rates and changes with time, and associated
changes in the properties and composition of both the
permeated soil and the flowing material are the sub-
9.2 FLOW LAWS AND INTERRELATIONSHIPS
jects of this chapter.
Water flow through soil and rock has been most ex- Fluids, electricity, chemicals, and heat flow through
tensively studied because of its essential role in prob- soils. Provided the flow process does not change the
lems of seepage, consolidation, and stability, which state of the soil, each flow rate or flux Ji (as shown in
form a major part of engineering analysis and design. Fig. 9.1) relates linearly to its corresponding driving
As a result, much is known about the hydraulic con- force Xi according to
ductivity and permeability of earth materials. Chemi-
cal, thermal, and electrical flows in soils are also Ji ⫽ Lii Xi (9.1)
important. Chemical transport through the ground is a
major concern in groundwater pollution, waste dis- in which Lii is the conductivity coefficient for flow.
posal and storage, remediation of contaminated sites, When written specifically for a particular flow type and
corrosion, leaching phenomena, osmotic effects in clay using familiar phenomenological coefficients, Eq. (9.1)
layers, and soil stabilization. Heat flows are important becomes, for cross section area A
relative to frost action, construction in permafrost ar-
eas, insulation, underground storage, thermal pollution,
Water flow qh ⫽ khih A Darcy’s law (9.2)
temporary ground stabilization by freezing, permanent
ground stabilization by heating, underground transmis- Heat flow qt ⫽ ktit A Fourier’s law (9.3)
sion of electricity, and other problems. Electrical flows Electrical flow I ⫽ eie A Ohm’s law (9.4)
are important to the transport of water and ground sta-
bilization by electroosmosis, insulation, corrosion, and Chemical flow JD ⫽ Dic A Fick’s law (9.5)
subsurface investigations.
In addition to the above four flow types, each driven In Eqs. (9.2) to (9.5) qh, qt, I, and JD are the water,
by its own potential gradient, several types of coupled heat, electrical, and chemical flow rates, respectively.
251
252 9 CONDUCTION PHENOMENA
9.3 HYDRAULIC CONDUCTIVITY

Darcy’s law1 states that there is a direct proportionality
between apparent water flow velocity vh or flow rate
qh and hydraulic gradient ih, that is,
vh ⫽ kh ih (9.6)
qh ⫽ kh ih A (9.7)
where A is the cross-section area normal to the direc-

tion of flow. The constant kh is a property of the ma-
terial. Steady-state and transient flow analyses in soils
are based on Darcy’s law. In many instances, more
attention is directed at the analysis than at the value of
kh. This is unfortunate because no other property of
importance in geotechnical problems is likely to ex-
hibit such a great range of values, up to 10 orders of
magnitude, from coarse to very fine grained soils, or
show as much variability in a given deposit as does
the hydraulic conductivity. Some soils exhibit 2 or 3
orders of magnitude variation in hydraulic conductivity
as a result of changes in fabric, void ratio, and water
content. These points are illustrated by Fig. 9.2 in
which hydraulic conductivity values for a number of
soils are shown.
Figure 9.1 Four types of direct flow through a soil porous Different units for hydraulic conductivity are often
mass. A is the total cross-section area normal to flow; n is used by different groups or agencies; for example, cen-
porosity. timeters per second by geotechnical engineers, feet per
year by groundwater hydrologists, and Darcys by pe-
troleum technologists. Figure 9.3 can be used to con-
vert from one system to another. The preferred unit in
the SI system is meters/second.
Coefficients kh, kt, e, and D are the hydraulic, thermal, Theoretical Equations for Hydraulic Conductivity
electrical conductivities, and the diffusion coefficient,
respectively. Typical ranges of values for these prop- Fluid flow through soils finer than coarse gravel is lam-
erties are given later. The driving forces for flow are inar. Equations have been derived that relate hydraulic
conductivity to properties of the soil and permeating
given by the respective hydraulic, thermal, electrical,
fluid. A usual starting point for derivation of such
and chemical gradients, ih, it, ie, and ic, respectively.
equations is Poiseuille’s law for flow through a round
The terms in Eqs. (9.2) through (9.5) are identified capillary, which gives the average flow velocity, vave,
in Fig. 9.1 and in Table 9.1, which also shows analogs according to
between the various flow types. As long as the flow
rates and gradients are linearly related, the mathemat- p R2
ical treatment of each flow type is the same, and the vave ⫽ i (9.8)
8 h
equations for flow of one type may be used to solve
problems of another type provided the property values where is viscosity, R is tube radius, and p is unit
and boundary conditions are properly represented. Two
well-known practical illustrations of this are the cor-
respondence between the Terzaghi theory for clay con- 1
This ‘‘law’’ was established empirically by Darcy based on the re-
solidation and one-dimensional transient heat flow, and sults of flow tests through sands. Its general validity for the descrip-
tion of hydraulic flow through most soil types has been verified by
the use of electrical analogies for the study of seepage many subsequent studies. Historical accounts of the development of
problems. Darcy’s law are given by Brown et al. (2003).
HYDRAULIC CONDUCTIVITY 253
Table 9.1 Conduction Analogies in Porous Media
Fluid Heat Electrical Chemical

Potential Total head h (m) Temperature T Voltage V (volts) Chemical potential or
(C) concentration c (mol
m⫺3)
Storage Fluid volume W Thermal energy u Charge Q (Coulomb) Total mass per unit total
(m3 /m3) (J/m3) volume, m (mol/m3)
Conductivity Hydraulic Thermal Electrical conductivity Diffusion coeff. D
conductivity kh conductivity kt (siemens/m) (m2 /s)
(m/s) (W/m/ C)
Flow qh (m3 /s) qt (J/s) Current I (amp) jD (mol/s)
Flux qh /A (m3 /s/m2) qt /A (J/s/m2) I/A (amp/m2) JD ⫽ jD /A (mol s⫺1 m⫺2)
h T V c
Gradient ih ⫽ ⫺ (m/m) it ⫽ ⫺ (C/m) ie ⫽ ⫺ (v/m) ic ⫽ ⫺ (mol m⫺4)
x x x x
Conduction Darcy’s law Fourier’s law Ohm’s law Fick’s law
h T V V c
qh ⫽ ⫺kh A qt ⫽ ⫺kt A I ⫽ ⫺e A⫽ JD ⫽ ⫺D A
x x x R x
Capacitance Coefficient of Volumetric heat Capacitance C (farads ⫽ Retardation factor, Rd
volume change C(J/ C/m3) coul/volt) (dimensionless)
dW a dQ
M⫽ ⫽ w v ⫽ C⫽
dh 1⫹e dT
kh
cv
Continuity
W
t 冉冊 q
⫹ h ⫽0
A
u
t 冉冊
q
⫹ t ⫽0
A
Q
t
⫹ 冉冊
I
A
⫽0
(m)
t
⫹ JD ⫽ 0
Steady state 2qh ⫽ 0 2qt ⫽ 0 2I ⫽ 0 2JD ⫽ 0
h k 2h T k 2T V 2V c D* 2c
Diffusion ⫽ h 2 ⫽ t 2 ⫽ ⫽
t M x t C x t C x2 t RD x2
冉 k
M
⫽ cv 冊冉冊
k
C
⫽a
weight of the flowing fluid. Because the flow channels 1 p 2

qcir ⫽ R ia (9.10)
in a soil are of various sizes, a characteristic dimension 2 Hh
is needed to describe average size. The hydraulic ra-
dius RH
where a is the cross-sectional area of the tube. For
other shapes of cross section, an equation of the same
flow channel cross-section area form will apply, differing only in the value of a shape
RH ⫽
wetted perimeter coefficient Cs, so
is useful. p RH2
For a circular tube flowing full, q ⫽ Cs ia (9.11)
h
R2 R
RH ⫽ ⫽ (9.9) For a bundle of parallel tubes of constant but irreg-
2R 2 ular cross section contributing to a total cross-sectional
area A (solids plus voids), the area of flow passages Aƒ
so Poiseuille’s equation becomes filled with water is
Figure 9.2 Hydraulic conductivity values for several soils. Soil identification code: 1, com-
pacted caliche; 2, compacted caliche; 3, silty sand; 4, sandy clay; 5, beach sand; 6, compacted
Boston blue clay; 7, Vicksburg buckshot clay; 8, sandy clay; 9, silt—Boston; 10, Ottawa
sand; 11, sand—Gaspee Point; 12, sand—Franklin Falls; 13, sand–Scituate; 14, sand–Plum
Island; 15, sand–Fort Peck; 16, silt—Boston; 17, silt—Boston; 18, loess; 19, lean clay; 20,
sand—Union Falls; 21, silt—North Carolina; 22, sand from dike; 23, sodium Boston blue
clay; 24, calcium kaolinite; 25, sodium montmorillonite; 26–30, sand (dam filter) (From
Lambe and Whitman (1969). Copyright 1969 by John Wiley & Sons. Reprinted with
permission from John Wiley & Sons.
Figure 9.3 Hydraulic conductivity and permeability conversion chart.

Aƒ ⫽ SnA (9.12) (LT⫺1), and the absolute or intrinsic permeability K has
units of area (L2).
where S is the degree of saturation and n is the poros- The effects of permeant properties are accounted for
ity. For this condition the hydraulic radius is given by by the / p term, provided the fabric of the soil is the
same in the presence of different fluids. The pore shape
Aƒ Aƒ L volume available for flow factor k0 has a value of about 2.5 and the tortuosity
RH ⫽ ⫽ ⫽ factor has a value of about 兹2 in porous media con-
P PL wetted area
taining approximately uniform pore sizes.
Vw For equal size spheres, S0 becomes 6/D (⫽surface
⫽ (9.13) area/volume of a sphere), where D is the diameter. If
Vs S0
a soil is considered to consist of spheres of different
where P is the wetted perimeter, L is the length of flow sizes, an effective diameter Deff can be computed from
channel in the direction of flow, Vs is the volume of the particle size distribution (Carrier, 2003) according
solids and S0 is the wetted surface area per unit volume to
of particles. The wetted surface area depends on the
100%
particle sizes and the soil fabric and may be considered Deff ⫽ (9.19)
as an effective surface area per unit volume of solids. 兺(ƒi /Dave,i)
It is less than the total specific surface area of the soil
where fi is the fraction of particles between two sizes
since flow will not occur adjacent to all particle sur-
(Dli and Dsi) and Dave,i is the average particle size be-
faces.
tween two sizes (⫽D0.5 0.5
li Dsi ); S0 can also be estimated
For void ratio e and volume of solids Vs, the volume
from the specific surface area. Methods for nonplastic
of water Vw is
soils and clayey soils are given in Chapter 3 and also
are summarized by Chapuis and Aubertin (2003). Var-
Vw ⫽ eVs S (9.14) ious modifications for S0 are available to take irregular
particle shapes (Loudon, 1952; Carrier, 2003) into ac-
Equation (9.11) becomes count.
冉冊冉冊冉冊
The Kozeny–Carman equation accounts well for the
p e dependency of permeability on void ratio in uniformly
q ⫽ Cs RH2 Snih A ⫽ Cs p RH2 S i A
1⫹e h graded sands and some silts; however, serious discrep-
ancies are often found when it is applied to clays. The
(9.15)
main reasons for these discrepancies are that most clay
soils do not contain uniform pore sizes and changes in
and substitution for RH using Eqs. (9.13) and (9.14) pore fluid type are often accompanied by changes in
gives the clay fabric. Particles in clays are grouped in clus-
冉冊冉冊冉冊
ters or aggregates that have large intercluster pores and
1 p 3 e3 small intracluster pores. The influences of fabric and
q ⫽ Cs S i A (9.16)
S 02 1⫹e h nonuniform pore sizes on the hydraulic conductivity of
fine-grained soils are discussed further later in this sec-
By analogy with Darcy’s law, tion.
If comparisons are made using materials having the
kh ⫽ Cs 冉冊冉冊 p 1 e3
S0 1 ⫹ e
2
S3 (9.17)
same fabric, the influence of permeant on hydraulic
conductivity is quite well accounted for by the p /
term. If, however, a fine-grained soil is molded or com-
pacted in different permeants, then the fabrics may be
For full saturation, S ⫽ 1, and denoting Cs by 1/
quite different, and the hydraulic conductivities for
(k0T 2), where k0 is a pore shape factor and T is a tor-
samples at the same void ratio can differ greatly.
tuosity factor, Eq. (9.17) becomes
If Cs in Eq. (9.17) is taken as a composite shape
冉冊冉冊
factor, and noting that total surface area per unit vol-
1 e3 ume is inversely proportional to particle size, then
K ⫽ kh ⫽ (9.18)
p k0 T S 0 1 ⫹ e
2 2
This is the Kozeny–Carman equation for the permea- kh ⫽ CD2s 冉冊

w e3
1⫹e
S3 (9.20)
bility of porous media (Kozeny, 1927; Carman, 1956).
The hydraulic conductivity kh has units of velocity where Ds is a characteristic grain size.
Like the Kozeny–Carman equation, Eq. (9.20) de- and clays (Khalifa et al., 2002). These nonsteady and
scribes the behavior of cohesionless soils reasonably turbulent flow conditions are not treated herein.
well, but it is inadequate for clays. For a uniform sand As early as 1898, instances were cited in which hy-
with bulky particles and a given permeant, Eqs. (9.17) draulic flow velocity in fine-grained materials in which
and (9.20) indicate that kh should vary directly with laminar flow can be expected increased more than pro-
e3 /(1 ⫹ e) and D2s , and experimental observations sup- portionally with increases in gradient (King, 1898).
port this. The absence of water flow at finite hydraulic gradients
Despite the inability of the theoretical equations to in ceramic filters of 0.1-m average pore diameter
predict the hydraulic conductivity accurately in many was reported by Derjaguin and Krylov (1944). Oakes
cases, they do reflect the overwhelming importance of (1960) found no detectable flow through a 30-cm-long
pore size. Flow velocity depends on the square of pore suspension of 6 percent Wyoming bentonite subjected
radius, and hence the flow rate depends on radius to to a 50-cm head of water. Experiments by Miller and
the fourth power. The specific surface in the Kozeny– Low (1963) led to the conclusion that there was a
Carman equation and the representative grain size term threshold gradient for flow through sodium montmo-
in Eq. (9.20) are both measures of pore size. All other rillonite. Flow rates through clay-bearing sandstones
factors equal, the hydraulic conductivity depends far were found to increase more than directly with gradi-
more on the fine particles than on the large. A small ent up to gradients of 170 by von Englehardt and Tunn
percentage of fines can clog the pores of an otherwise (1955). Deviations from Darcy’s law in pure and nat-
coarse material and result in a manyfold lower hydrau- ural clays up to gradients of 900 were measured by
lic conductivity. On the other hand, the presence of Lutz and Kemper (1959). Apparent deviations from
fissures, cracks, root holes, and the like can result in Darcy’s law for flow in undisturbed soft clay are shown
enormous increases in the rate of water flow through in Fig. 9.4.
an otherwise compact soil layer. The reported deviations from linearity between flow
Equation (9.20) predicts that the hydraulic conduc- rate and hydraulic gradient are most significant in the
tivity should vary with the cube of the degree of sat- lower range of gradients. Hydraulic gradients in the
uration, and some, but not all, experimental data field are seldom much greater than one. Thus, de-
support this, even in the case of fine-grained soils. viations from Darcy’s law, if real, could have very
Consideration of flow through unsaturated soils is important implications for the applicability of
given in Section 9.4. steady-state and transient flow analyses, including con-
solidation, that are based on it. Furthermore, gradients
typically used in laboratory testing are high, commonly
Validity of Darcy’s Law more than 10, and often up to several hundred. This
A basic premise of Darcy’s law is that flow is laminar brings the suitability of laboratory test results as indi-
and steady through saturated porous media. If particle cators of field behavior into question.
and pore sizes and flow rates are sufficiently great, then Three hypotheses have been proposed to account for
flow is turbulent, and Darcy’s law no longer applies. nonlinearity between flow velocity and gradient: (1)
Turbulent flow conditions are likely in flows through non-Newtonian water flow properties, (2) particle mi-
gravel and rockfill (Ahmed and Sunada, 1969; Ar- grations that cause blocking and unblocking of flow
bhabhirama and Dinoy, 1973; George and Hansen, passages, and (3) local consolidation and swelling that
1992; Hansen et al., 1995; Li et al., 1998).2 Some mod- is inevitable when hydraulic gradients are applied
ification of Darcy’s law is needed also to account for across a compressible soil. The apparent existence of
nonsteady and wave-induced flows through sands, silts, a threshold gradient below which flow was not de-
tected was attributed to a quasi-crystalline water struc-
ture. It is now known, however, that many of the
effects interpreted as resulting from unusual water
2
Flow transitions from laminar to turbulent flow when the Reynolds properties can be ascribed to undetected experimental
number Re, defined as the ratio of inertial to viscous forces, exceeds errors arising from contamination of measuring sys-
a critical value. For flow through soils the critical value of interstitial
flow Re is in the range of 1 to 10, with Re defined as (Khalifa et al.,
tems (Olsen, 1965), local consolidation and swelling,
2002) and bacterial growth (Gupta and Swartzendruber,
4 v
1962). Additional careful measurements by a number
Re ⫽ of investigators (e.g., Olsen, 1969; Gray and Mitchell,
(1 ⫺ n)Avd
1967; Mitchell and Younger, 1967; Miller et al., 1969;
in which is fluid density, is tortuosity (ratio of flow path mean
length to thickness), v is flow velocity, n is porosity, and Avd is the Chan and Kenney, 1973) failed to confirm the exis-
ratio of pore surface area exposed to flow to the volume of solid. tence of a threshold gradient in clays. Darcy’s law was
Figure 9.4 Dependence of flow velocity on hydraulic gradient. Undisturbed soft clay from
Skå Edeby, Sweden (from Hansbo, 1973).
obeyed exactly in several of these studies. Thus it is electrolyte concentration was changed from 0.6 to 0.1
unlikely that unusual water properties are responsible N NaCl are shown in Fig. 9.5. The cumulative through-
for non-Darcy flow behavior. put is the ratio of the total flow volume at any time to
On the other hand, particle migrations leading to the sample pore volume. The hydraulic conductivities
void plugging and unplugging, electrokinetic effects, for these materials ranged from more than 1 ⫻ 10⫺7 to
and chemical concentration gradients can cause appar- less than 1 ⫻ 10⫺9 m/s.
ent deviations from Darcy’s law. Analysis of interpar- Practical Implications Evidence indicates that
ticle bond strengths in relation to the magnitude of Darcy’s law is valid, provided that all system variables
seepage forces shows that particles that are not partic- are held constant. However, unless fabric changes, par-
ipating in the load-carrying skeleton of a soil mass can ticle migrations, and internal void ratio redistributions
be moved under moderate values of hydraulic gradient. caused by effective stress and chemical changes can
Soils with open, flocculated fabrics and granular soils be shown to be negligible, hydraulic conductivity mea-
with a relatively low content of fines appear particu- surements in the laboratory should be made under con-
larly susceptible to the movement of fine particles dur- ditions of temperature, pressure, hydraulic gradient,
ing permeation. and pore fluid chemistry as closely approximating
Internal swelling and dispersion of clay particles those in the field as possible. This is particularly im-
during permeation can cause changes in flow rate and portant in connection with the testing of clays as po-
apparent non-Darcy behavior. Tests on illite–silt tential waste containment barriers, such as slurry walls
mixtures showed that the hydraulic conductivity de- and liners for landfills and impoundments (Daniel,
pends on clay content, sedimentation procedure, 1994). Microbial activities may be important as well,
compression rate, and electrolyte concentration. Sub- as they can lead to formation of biofilms, pore clog-
sequent behavior was quite sensitive to the type and ging, and large reductions in hydraulic conductivity as
concentration of electrolyte used for permeation and shown, for example, by Dennis and Turner (1998).
the total throughput volume of permeant. Changes in Unfortunately, duplication of field conditions is not
relative hydraulic conductivity that occurred while the always possible, especially as regards the hydraulic
Figure 9.5 Reduction in hydraulic conductivity as a result of internal swelling (from Hard-
castle and Mitchell, 1974).
gradient. If hydraulic gradients are low enough to du- u0

i⫽ p (9.24)
plicate those in most field situations, then the labora- wH
tory testing time usually becomes unacceptably long.
In such cases, tests over a range of gradients are de- The real gradient for any layer thickness or loading
sirable in order to assess the stability of the soil struc- intensity can be obtained by using actual values of u0
ture against changes due to seepage forces. and H and the appropriate value of p from Fig. 9.6.
Similarly, the gradients that are developed in labo- For small values of u0 / w H, as is the case in the
ratory consolidation tests on thin samples are many field, for example, for u0 ⫽ 50 kPa, H ⫽ 5m, then
times greater than exist in thick layers of the same clay u0 / w H ⫽ 1, and the field gradients are low throughout
in the field. The variation of hydraulic gradient i with most of the layer thickness during the entire consoli-
time factor T during one-dimensional consolidation ac- dation process. On the other hand, for a laboratory
cording to the Terzaghi theory is shown in Fig. 9.6. sample of 10 mm thickness and the same stress in-
The solution of the Terzaghi equation gives excess crease, u0 / w H is 500, and the hydraulic gradients are
pore pressure u as a function of position (z/H) and very large. In this case a gradient-dependent hydraulic
time factor conductivity could be the cause of significant differ-
ences between the laboratory-measured and field val-
冘 2uM 冉sin MzH 冊e
⬁
⫺M2T
ues of coefficient of consolidation. Constant rate of
u⫽ 0
(9.21) strain or constant gradient consolidation testing of such
m⫽0
soils is preferable to the use of load increments be-
cause lower gradients minimize particle migration ef-
where M ⫽ (2m ⫹ 1)/2. Thus, the hydraulic gradient fects.
is
冉冊冉冊
Anisotropy
冘
⬁
u 2u0 Mz ⫺M2T
i⫽ ⫽ cos e (9.22) Anisotropic hydraulic conductivity results from both
z w wH m⫽0 H preferred orientation of elongated or platy particles and
stratification of soil deposits. Ratios of horizontal-to-
If a parameter p is defined by vertical hydraulic conductivity from less than 1 to
more than 7 were measured for undisturbed samples
冘 cos冉MzH 冊e
⬁ of several different clays (Mitchell, 1956). These ratios
⫺M2T
p⫽2 (9.23) correlated reasonably well with preferred orientation of
m⫽0
the clay particles, as observed in thin section. Ratios
of 1.3 to 1.7 were measured for kaolinite consolidated
Eq. (9.22) becomes one dimensionally from 4 to 256 atm, and 0.9 to 4.0
Figure 9.6 Hydraulic gradients during consolidation according to the Terzaghi theory.
were measured for illite and Boston blue clay consol- drains are used. On the other hand, lateral drainage
idated over a pressure range up to more than 200 atm beneath a loaded area may not be greatly influenced
(Olsen, 1962). A ratio of approximately 2 was mea- by a high ratio of horizontal to vertical conductivity if
sured for kaolinite over a range of void ratios corre- the width of loaded area is large compared to the thick-
sponding to consolidation pressures up to 4 atm ness of the drainage layer.
(Morgenstern and Tchalenko, 1967b). Thus, an average
hydraulic conductivity ratio of about 2 as a result of
microfabric anisotropy may be typical for many clays. Fabric and Hydraulic Conductivity
Large anisotropy in hydraulic conductivity as a re- The theoretical relationships developed earlier in this
sult of stratification of natural soil deposits or in earth- section indicate that the flow velocity should depend
work compacted in layers is common. Varved clays on the square of the pore radius, and the flow rate is
have substantially greater hydraulic conductivity in the proportional to the fourth power of the radius. Thus,
horizontal direction than in the vertical direction owing fabrics with a high proportion of large pores are much
to the presence of thin silt layers between the thin clay more pervious than those with small pores. For ex-
layers. The ratio of horizontal values to vertical values ample, remolding several undisturbed soft clays re-
determined in the laboratory, rk, is 10 5 for Con- duced the hydraulic conductivity by as much as a
necticut Valley varved clay (Ladd and Wissa, 1970). factor of 4, with an average of about 2 (Mitchell,
Similar values were measured for the varved clay in 1956). This reduction results from the breakdown of a
the New Jersey meadows. Values less than 5 were mea- flocculated open fabric and the destruction of large
sured for New Liskeard, Ontario, varved clay (Chan pores.
and Kenney, 1973). An illustration of the profound influence of com-
The practical importance of a high hydraulic con- paction water content on the hydraulic conductivity of
ductivity in the horizontal direction depends on the dis- fine-grained soil is shown in Fig. 9.7. All samples were
tance to a drainage boundary and the type of flow. For compacted to the same density. For samples compacted
example, the rate of groundwater flow will clearly be using the same compactive effort, curves such as those
affected, as will the rate of consolidation when vertical in Fig. 9.8 are typical. For compaction dry of optimum,
Figure 9.8 Influence of compaction method on the hydraulic

conductivity of silty clay. Constant compactive effort was
used for all samples.
Figure 9.7 Hydraulic conductivity as a function of compac-

tion water content for samples of silty clay prepared to con- Three levels of fabric are important when consid-
stant density by kneading compaction. ering the hydraulic conductivity of finer-grained soils.
The microfabric consists of the regular aggregations of
particles and the very small pores, perhaps with sizes
clay particles and aggregates are flocculated, the resis- up to about 1 m, between them through which very
tance to rearrangement during compaction is high, and little fluid will flow. The minifabric contains these ag-
a fabric with comparatively large pores is formed. For gregations and the interassemblage pores between
higher water contents, the particle groups are weaker, them. The interassemblage pores may be up to several
and fabrics with smaller average pore sizes are formed. tens of micrometers in diameter. Flows through these
Considerably lower values of hydraulic conductivity pores will be much greater than through the intraag-
are obtained wet of optimum in the case of kneading gregate pores. On a larger scale, there may be a ma-
compaction than by static compaction (Fig. 9.8) be- crofabric that contains cracks, fissures, laminations, or
cause the high shear strains induced by the kneading root holes through which the flow rate is so great as
compaction method break down flocculated fabric to totally obscure that through the other pore space
units. types.
These considerations are of particular importance in aggregates or clusters as shown schematically in Fig.
the hydraulic conductivity of compacted clays used as 9.10. These aggregates of N particles each have an
barriers for waste containment. The controlling units intracluster void ratio ec. The spaces between the ag-
in these materials are the clods, which would corre- gregates comprise the intercluster voids and are
spond to minifabric units. Acceptably low hydraulic responsible for the intercluster void ratio ep. The total
conductivity values are obtained only if clods and in- void ratio eT is equal to the sum of ec and ep. The
terclod pores are eliminated during compaction (Ben- clusters and intracluster voids comprise the microfa-
son and Daniel, 1990). This requires that compaction bric, whereas the assemblage of clusters comprises the
be done wet of optimum using a high effort and a minifabric. Fluid flow in such a system is dominated
method that produces large shear strains, such as by by flow through the intercluster pores because of their
sheepsfoot roller. larger size.
The wide range of values of hydraulic conductivity The sizes of clusters depend on the mineralogical
of compacted fine-grained soils that results from the and pore fluid compositions and the formational proc-
large differences in fabric associated with compaction ess. Conditions that favor aggregation of individual
to different water contents and densities is illustrated clay plates produce larger clusters than deflocculating,
by Fig. 9.9. The grouping of contours means that se- dispersing environments. There is general consistency
lection of a representative value for use in a seepage with the interparticle double-layer interactions de-
analysis is difficult. In addition, if it is required that scribed in Chapter 6. When a fine-grained soil is
the hydraulic conductivity of earthwork not exceed a sedimented in or mixed with waters of different
certain value, such as may be the case for a clay liner electrolyte concentration or type or with fluids of dif-
for a waste pond, then specifications must be carefully ferent dielectric constants, quite different fabrics result.
drawn. In so doing, it must be recognized also that This explains why the / term in Eqs. (9.18) and
other properties, such as strength, also vary with com- (9.20) is inadequate to account for pore fluid differ-
paction water content and density and that the com- ences, unless comparisons are made using samples
paction conditions that are optimal for one property having identical fabrics. This will only be the case
may not be suitable for the other. A procedure for the when a pore fluid of one type replaces one of another
development of suitable specifications for compacted type without disturbance to the soil.
clay liners is given by Daniel and Benson (1990). The cluster model developed by Olsen (1962) ac-
The primary reason equations such as (9.18) and counts for discrepancies between the predicted and
(9.20) fail to account quantitatively for the variation of measured variations in flow rates through different
the hydraulic conductivity of fine-grained soils with soils. The following equation can be derived for the
change in void ratio is unequal pore sizes (Olsen, ratio of estimated flow rate for a cluster model, qCM to
1962). A typical soil has a fabric composed of small the flow rate predicted by the Kozeny–Carman equa-
tion (9.18) qKC:
Figure 9.9 Contours of constant hydraulic conductivity for Figure 9.10 Cluster model for permeability prediction (after Ol-
silty clay compacted using kneading compaction. sen, 1962).
qCM (1 ⫺ ec /eT)3 found reasonable for compacted fine-grained soils and

⫽ N2/3 (9.25)
qKC (1 ⫹ ec)4 / 3 degrees of saturation greater than about 80 percent.
Similarly to Eq. (9.7), the unsaturated flow equation
Application of Eq. (9.25) requires assumptions for in the direction i can be written as
冉冊
the variations of ec with eT that accompany compres-
sion and rebound. Olsen (1962) considered the relative z
vi ⫽ ⫺k(S) ⫹ (9.26)
compressibility of individual clusters and cluster as- xi xi
semblages. The compressibility of individual clusters
is small at high total void ratios, so compression is where k(S) is saturation-dependent hydraulic conduc-
accompanied by reduction in the intercluster pore tivity, is the matric suction equivalent head (L), and
sizes, but with little change in intracluster void ratio. z/ xi is the unit gravitational vector measured upward
This assumption is supported by the microstructure in direction z (1.0 if xi is the direction of gravity z).
studies of Champlain clay by Delage and Lefebvre When percolating water infiltrates vertically into dry
(1984) Thus, the actual hydraulic conductivity de- soil, the hydraulic gradient near the sharp wetting front
creases more rapidly with decreasing void ratio during can be very large because of a large value of the /
compression than predicted by the Kozeny–Carman x term. However, the wetting front becomes less sharp
equation until the intercluster pore space is comparable as the infiltration proceeds and the gravity term then
to that in a system of closely packed spheres, when dominates. The hydraulic gradient then is close to one
the clusters themselves begin to compress. Further de- and the magnitude of flux is equal to the hydraulic
creases in porosity involve decreases in both ec and eT. conductivity k(S).
As the intercluster void ratio now decreases less rap- Using Eq. (9.26), the equation of mass conservation
idly, the hydraulic conductivity decreases at a slower becomes
rate with decreasing porosity than predicted by the
Kozeny–Carman equation. During rebound increase in
porosity develops mainly by swelling of the clusters,
whereas the flow rate continues to be controlled pri-
(nS)
t
⫽

xi 冋冉
k(S)

xi
⫹
z
xi 冊册 ⫹
R
w
(9.27)
marily by the intercluster voids.

where n is the porosity, w is the density of the water,
Recent attempts to quantify saturation and hydraulic
and R is a source or sink mass transfer term such as
conductivity of fine-grained soils containing a distri-
water uptake by plant roots (ML⫺3).
bution of particle sizes and fabric elements in terms of
If the soil is assumed to be incompressible and there
pore-scale relationships have given promising results
is no sink/sources (R ⫽ 0), Eq. (9.27) becomes
(Tuller and Or, 2003). Expressions for clay plate spac-
冋冉冊册
ing in terms of surface properties and solution com-
S z
position derived using DLVO theory (see Chapter 6), n ⫽ k() ⫹
combined with assumed geometrical representations of t xi xi xi
clay aggregates and pore space in combination with
silt and sand components, are used in the formulation. or C()

t
⫽

xi 冋冉
k()

xi
⫹
z
xi 冊册 (9.28)
9.4 FLOWS THROUGH UNSATURATED SOILS where C() ⫽ n(S/ ) and k(S) is converted to k()
using the soil–water characteristic curve (S– relation-
Darcy’s law [Eq. (9.7)] also applies for flow through ships). Equation (9.28) is called the Richards equation
unsaturated soils such as those in the vadose zone (Richards, 1931). For given S– and k() relationships
above the water table where pore water pressures are and initial/boundary conditions, the nonlinear govern-
negative. However, the hydraulic conductivity is not ing equation can be solved for (often numerically by
constant and depends on the amount and connectivity the finite difference or finite element method).
of water in the pores. For instance, Eq. (9.20) predicts The hydraulic conductivity of unsaturated soils can
that hydraulic conductivity should vary as the cube of be a function of saturation, water content, matric suc-
the degree of saturation.3 This relationship has been tion, or others. Measured hydraulic conductivities of
well-graded sand and clayey sand as a function of (a)
matric suction and (b) saturation ratio are shown in
3
The hydraulic conductivity can also be a function of volumetric Fig. 9.11. Both figures are related to each other, as the
moisture content or matric suction . These variables are related
to each other by the soil–water characteristic curve as described in matric suction is a function of saturation ratio by the
Chapter 7. soil moisture characteristic curve as described in Sec-
FLOWS THROUGH UNSATURATED SOILS 263
1.E+01 1.E+01
1.E-01 Sand 1.E-01 Sand
Clayey Sand
Hydraulic Conductivity (m/s)

1.E-03 Clayey Sand
Hydraulic conductivity (m/s)

1.E-03
1.E-05 1.E-05
1.E-07 Clayey Sand > Sand 1.E-07
1.E-09 1.E-09
1.E-11 1.E-11
1.E-13 1.E-13
1.E-15 1.E-15
1.E-17 1.E-17
1.E-19 Sand > Clayey Sand
1.E-19
1.E-21 1.E-21
1.E-01 1.E+00 1.E+01 1.E+02 1.E+03 1.E+04 1.E+05 0 20 40 60 80 100
Matric Suction (kPa) Saturation (%)
(a) (b)
1.E+00
1.E+00
Sand 1.E-02
Relative Permeability kr
1.E-02
Relative Permeability kr
Clayey Sand
1.E-04
1.E-04
1.E-06
1.E-06
1.E-08 1.E-08
1.E-10 1.E-10
1.E-12 1.E-12 Sand

1.E-14 1.E-14 Clayey Sand
1.E-16 1.E-16
1.E-01 1.E+00 1.E+01 1.E+02 1.E+03 1.E+04 1.E+05 0 20 40 60 80 100
Matric Suction (kPa) Saturation (%)
(c) (d)
Figure 9.11 Hydraulic conductivity of partially saturated sand and clayey sand as a function
of matric suction and degree of saturation (from Stephens, 1996).
tion 7.12. Various methods to measure the hydraulic meability, no interconnected path for the permeating
conductivity of unsaturated soils are available (Klute, fluid) to 1 (⫽ permeating fluid at full saturation). The
1986; Fredlund and Rahardjo, 1993). However, the equation can be used for a nonwetting fluid (e.g., air)
measurement in unsaturated soils is more difficult to by substituting the values of and of the nonwetting
perform than in saturated soils because the hydraulic fluid.
conductivity needs to be determined under controlled The data in Fig. 9.11a and 9.11b can be replotted
water saturation or matric suction conditions. as the relative permeability against matric suction in
A general expression for the hydraulic conductivity Fig. 9.11c and against saturation ratio in Fig. 9.11d.
k of unsaturated soils can be written as The two different curves in Fig. 9.11d clearly show
that kr ⫽ S3 derived from Eq. (9.20) is not universally
g applicable. At very low water contents, the water in
k ⫽ krK ⫽ kr ks (9.29)
the pores becomes disconnected as described in Chap-
ter 7. Careful experiments show that the movement of
where ks is the saturated conductivity, K is the intrinsic water exists even at moisture contents of a few percent,
permeability of the medium (L2) such as given by Eq. but vapor transport becomes more important at this dry
(9.18), is the density of the permeating fluid (ML⫺3), state (Grismer et al., 1986). Therefore, Eq. (9.20) is
g is the acceleration of gravity (LT⫺2), is the dynamic not suitable for low saturations. One reason for this
viscosity of the permeating fluid (MT⫺1L⫺1), and ks is discrepancy is that soil contains pores of various sizes
the conductivity under the condition that the pores are rather than the assumption of uniform pore sizes used
fully filled by the permeating fluid (i.e., full saturation). to derive Eq. (9.20).
The dimensionless parameter kr is called the relative Considering that the soil contains pores of random
permeability, and the values range from 0 (⫽ zero per- sizes, Marshall (1958) derived the following equation
for hydraulic conductivity as a function of pore sizes in which k(i) is the calculated hydraulic conductivity
for an isotropic material: for a specified water content i; is i the last water con-
tent class on the wet end, for example, i ⫽ 1 denotes
n2 r 21 ⫹ 3r 22 ⫹ 5r 23 ⫹ ⫹ (2m ⫺ 1)r 2m the pore class corresponding to the saturated water
K⫽ content S, and i ⫽ l denotes the pore class correspond-
m2 8
ing to the lowest water content L for which hydraulic
(9.30) conductivity is calculated; ks /ksc is the matching factor,
defined as the measured saturated hydraulic conductiv-
in which K is the specific hydraulic conductivity (perity divided by the calculated saturated hydraulic con-
meability) (L2), n is the porosity, m is the total number ductivity; and l is the total number of pore classes (a
of pore classes, and ri is the mean radius of the pores pore class is a pore size range corresponding to a water
in pore class i. Pore sizes can be measured from data content increment) between ⫽ L and S. Thus
on the amount of water withdrawn as the suction on
the soil is progressively increased. Using the capillary m S
equation, the radius of the largest water-filled pore un- ⫽ (9.35)
l S ⫺ L
der a suction of (L) is given by
A constant value of l is used at all water contents, and
2
r⫽ (9.31) the value of l establishes the number of pore classes
wg for which ⫺2 terms are included in the calculation at
j
saturation. Other pore size distribution models for un-
in which is the surface tension of water, w is the saturated soils are available, and an excellent review
density of water, and g is the acceleration of gravity. of these models is given by Mualem (1986).
As it is usually more convenient to use moisture suc- Equation (9.34) can be written in an integration form
tion than pore radius, Eq. (9.29) can be rewritten as as (after Fredlund et al., 1994)
K⫽
2 n2 ⫺2
[ ⫹ 32⫺2 ⫹ 5⫺2
22wg2 m2 1 3 k() ⫽
ks 2 Sp
ksc 2wg
冕

L
⫺x
2(x)
dx (9.36)
⫹ ⫹ (2m ⫺ 1)⫺2
m ] (9.32)
where suction is given as a function of volumetric
The permeability K can be converted to the hydraulic water content , and x is a dummy variable. The hy-
conductivity k by multiplying the unit weight (wg) di- draulic conductivity for fully saturated condition is cal-
vided by the dynamic viscosity of water . This gives culated by assigning ⫽ S. For generality, the term
2S in Eq. (9.34) is replaced by ps , where p is a constant
2 n2 ⫺2 that accounts for the interaction of pores of various
k⫽ [ ⫹ 3⫺2
2 ⫹ 53
⫺2
sizes (Fredlund et al., 1994).
2wg m2 1
From Eq. (9.36), the relative permeability kr is a
⫹ ⫹ (2m ⫺ 1)⫺2
m ] (9.33) function of water content as follows:
Following Green and Corey (1971), the porosity n

equals the volumetric water content of the saturated
condition S, and m is the total number of pore classes
kr() ⫽ 冕
r

⫺x
2(x)
dx 冒冕 S
r
⫺x
2(x)
dx (9.37)
between S and zero water content ⫽ 0.

A matching factor is usually used in Eq. (9.33) to Herein, the lowest water content L is assumed to be
equate the calculated and measured hydraulic conduc- the residual water content r. If the moisture content
tivities. Matching at full saturation is preferable to –suction relationship (or the soil–water character-
matching at a partial saturation point because it is sim- istic curve) is known, the relative permeability kr can
pler and gives better results. Rewriting Eq. (9.33) and be computed from Eq. (9.37) by performing a numer-
introducing a matching factor gives ical integration. The hydraulic conductivity k is then
estimated from Eq. (9.29) with the knowledge of sat-
冘 [(2j ⫹ 1 ⫺ 2i)
ks 2 2S l urated hydraulic conductivity ks.
k(i) ⫽ ⫺2
] The use of the soil–water characteristic curve to es-
ksc 2wg m2 j⫽1
j
timate the hydraulic conductivity of unsaturated soils
(i ⫽ 1, 2, . . . , l) (9.34) is attractive because it is easier to determine this curve
THERMAL CONDUCTIVITY 265
in the laboratory than it is to measure the hydraulic larger than the vertically infiltrating water flow. How-
conductivity directly. Apart from Eq. (9.37), the fol- ever, if the matric suction is reduced by large infiltra-
lowing relative permeability function proposed by Mu- tion, the barrier breaks and water enters into the
alem (1976) is often used primarily because of its initially dry coarse layer. Solutions are available to
simplicity: evaluate the amount of water flowing laterally across
the capillary barrier interface at the point of break-
kr() ⫽ 冉
⫺ r
s ⫺ r 冊冉冕 d()冒冕
q
r
s
r
d
() 冊
2
(9.38)
through for a given set of fine and coarse soil hydraulic
properties and interface inclination (Ross, 1990; Steen-
huis et al., 1991; Selkar, 1997; Webb, 1997).
Capillary barriers have received increased attention
where q describes the degree of connectivity between as a means for isolating buried waste from ground-
the water-conducting pores. Mualem (1976) states that water flow and as part of landfill cover systems in dry
q ⫽ 0.5 is appropriate based on permeability measure- climates (Morris and Stormont, 1997; Selkar, 1997;
ments on 45 soils. van Genuchten et al. (1991) substi- Khire et al., 2000). The barrier can be used to divert
tuted the soil–water characteristic equation (7.52) into the flow laterally along an interface and/or to store
Eq. (9.38) and obtained the following closed-form so- infiltrating water temporarily in the fine layer so that
lution4: it can be removed ultimately by evaporation and tran-
冉冊再冋冉冊册冎
p 1/m m 2
spiration. Capillary barriers are constructed as simple
⫺ r ⫺ r two-layer systems of contrasting particle size or mul-
kr() ⫽ 1⫺ 1⫺
S ⫺ r S ⫺ r tiple layers of fine- and coarse-grained soils. If the
(9.39) thickness of the overlying fine layer is too small, cap-
illary diversion is reduced because of the confining
flow path in the fine layer. The minimum effective
Both Eq. (9.39) as well as Eq. (9.37) using the soil– thickness is several times the air-entry head of the fine
water characteristic curve by Fredlund and Xing soil (Warrick et al., 1997; Smersrud and Selker, 2001).
(1994) give good predictions of measured data as Khire et al. (2000) stress the importance of site-specific
shown in Fig. 9.12. metrological and hydrological conditions in determin-
The two hydraulic conductivity–matric suction ing the storage capacity of the fine layer. The soil for
curves shown in Fig. 9.11a cross each other at a matric the underlying coarse layer should have a very large
suction value of approximately 50 kPa (or 5 m above particle size contrast with the fine soil, but fines
the water table under hydrostatic condition). Below migrations into the coarse sand should be avoided.
this value, the hydraulic conductivity of sand is larger Smesrud and Sekler (2001) suggest the d50 particle size
than that of the clayey sand. However, as the matric ratio of 5 to be ideal. The thickness of the coarse sand
suction increases, the water in the sand drains rapidly layer does not need to be great, as the purpose of the
toward its residual value, giving a very low hydraulic layer is simply to impede the downward water migra-
conductivity. On the other hand, the clayey sand holds tion.
the pore water by the presence of fines and the hy-
draulic conductivity becomes larger than that of the
sand at a given matric suction.
9.5 THERMAL CONDUCTIVITY
If the sand is overlain by the clayey sand, then the
matric suction at the interface is larger than 50 kPa, Heat flow through soil and rock is almost entirely by
and the water infiltrating downward through the finer conduction, with radiation unimportant, except for sur-
clayey sand cannot enter into the coarser sand layer face soils, and convection important only if there is a
because the underlying sand layer is less permeable high flow rate of water or air, as might possibly occur
than the overlying clayey sand. The water will instead through a coarse sand or rockfill. The thermal conduc-
move laterally along the bedding interface. This phe- tivity controls heat flow rates. Conductive heat flow is
nomenon is called a capillary barrier (e.g., Zaslavsky primarily through the solid phase of a soil mass. Values
and Sinai, 1981; Yeh et al., 1985; Miyazaki, 1988). of thermal conductivity for several materials are listed
The barrier will be maintained as long as the lateral in Table 9.2. As the values for soil minerals are much
discharge along the interface (preferably inclined) is higher than those for air and water, it is evident that
the heat flow must be predominantly through the sol-
ids. Also included in Table 9.2 are values for the heat
4
m ⫽ 1 ⫺ 1 / n is assumed (van Genuchten et al., 1991). See Eq. capacity, volumetric heat, heat of fusion, and heat of
(7.52). vaporization of water. The heat capacity can be used
10
Hydraulic Conductivity, k × 10(m/s)
Hydraulic Conductivity, k (cm/day)

1
0.1 Predicted coefficient

of permeability
(drying)
Predicted coefficient
0.01 of permeability
(wetting)
Measured coefficient
of permeability
(drying)
0.001
Measured coefficient
of permeability
(wetting)
0.0001
20 30 40 50 60
Volumetric Water Content
(a)
Figure 9.12 Comparisons of predicted and measured relationships between hydraulic con-
ductivity and volumetric water content for two soils. (a) By Eq. (9.37) with the measured
data for Guelph loam (from Fredlund et al., 1994) and (b) by Eq. (9.39) with the measured
data for crushed Bandelier Tuff (van Genuchten et al., 1991).
to compute the volumetric heat using the simple rela- to carry heat away from buried electrical transmission
tionships for frozen and unfrozen soil given in the ta- cables, or as an insulating material, for example, for
ble. Volumetric heat is needed for the analysis of many underground storage of liquefied gases. The water con-
types of transient heat flow problems. The heat of fu- tent below which the thermal resistivity begins to rise
sion is used for analysis of ground freezing and thaw- with further drying is termed the critical water content,
ing, and the heat of vaporization applies to situations and below this point the system is said to have lost
where there are liquid to vapor phase transitions. thermal stability (Brandon et al., 1989).
The denser a soil, the higher is its composite thermal The following factors influence the thermal resistiv-
conductivity, owing to the much higher thermal con- ity of partly saturated soils (Brandon and Mitchell,
ductivity of the solids relative to the water and air. 1989).
Furthermore, since water has a higher thermal conduc-
tivity than air, a wet soil has a higher thermal conduc- Mineralogy All other things equal, quartz sands
tivity than a dry soil. The combined influences of soil have higher thermal conductivity than sands con-
unit weight and water content are shown in Fig. 9.13, taining a high percentage of mica.
which may be used for estimates of the thermal con- Dry Density The higher the dry density of a soil,
ductivity for many cases. If a more soil-specific value the higher is the thermal conductivity.
is needed, they may be measured in the laboratory us- Gradation Well-graded soils conduct heat better
ing the thermal needle method (ASTM, 2000). More than poorly graded soils because smaller grains
detailed treatment of methods for the measurement of can fit into the interstitial spaces between the
the thermal conductivity of soils are given by Mitchell larger grains, thus increasing the density and the
and Kao (1978) and Farouki (1981, 1982). mineral-to-mineral contact.
The relationship between thermal resistivity (inverse Compaction Water Content Some sands that com-
of conductivity) and water content for a partly satu- pacted wet and then dried to a lower water content
rated soil undergoing drying is shown in Fig. 9.14. If have significantly higher thermal conductivity
drying causes the water content to fall below a certain than when compacted initially at the lower water
value, the thermal resistivity increases significantly. content.
This may be important in situations where soil is used Time Sands containing high percentages of silica,
as either a thermally conductive material, for example, carbonates, or other materials that can develop ce-
ELECTRICAL CONDUCTIVITY 267
Table 9.2 Thermal Properties of Materials a
Thermal
Conductivity Material Btu/h/ft2 / F/ft W/m/K
Air 0.014 0.024
Water 0.30 0.60
Ice 1.30 2.25
Snow
(100 kg m⫺3) 0.03 0.06
(500 kg m⫺3) 0.34 0.59
Shale 0.90 1.56
Granite 1.60 2.76
Concrete 1.0 1.8
Copper 225 389
Soil 0.15–1.5 (⬇1.0) 0.25–2.5 (⬇1.7)
Polystyrene 0.015–0.035 0.03–0.06
Heat Capacity Material Btu/lb/ F kJ/kg/K
Water 1.0 4.186
Ice 0.5 2.093
Snow
(100 kg m⫺3) 0.05 0.21
(500 kg m⫺3) 0.25 1.05
Minerals 0.17 0.710
Rocks 0.20–0.55 0.80–2.20
Volumetric Heat Material Btu/ft3 / F kJ/m3 /K
Unfrozen Soil d (0.17 ⫹ w/100) d (72.4 ⫹ 427w/100)
Soil
Frozen soil d (0.17 ⫹ 0.5w/100) d (72.4 ⫹ 213w/100)
Snow
(100 kg m⫺3) 3.13 210
(500 kg m⫺3) 15.66 1050
Heat of Fusion Water 143.4 Btu/lb 333 kJ/kg
Soil 143.4(w/100) d Btu/ft3 3.40 ⫻ 104(w/100) d kJ/m3
Heat of Vaporization Water 970 Btu/lb 2.26 MJ/kg
Soil 970(w/100) d Btu/ft3 230(w /100) d MJ/m3
a
d ⫽ dry unit weight, in lb/ft3 for U.S. units and in kN/m3 for SI units; w ⫽ water content in percent.
mentation may exhibit an increased thermal con- 9.6 ELECTRICAL CONDUCTIVITY

ductivity with time.
Temperature All crystalline minerals in soils have Ohm’s law, Eq. (9.4), in which e is the electrical con-
decreasing thermal conductivity with increasing ductivity, applies to soil–water systems. The electrical
temperature; however, the thermal conductivity of conductivity equals the inverse of the electrical resis-
water increases slightly with increasing tempera- tivity, or
ture, and the thermal conductivity of saturated
pore air increases markedly with increasing tem- 1 L
e ⫽ (siemens/meter; S/m) (9.40)
perature. The net effect is that the thermal con- RA
ductivity of moist sand increases somewhat with
increasing temperature. where R is the resistance ( ), L is length of sample
fects particle size, shape, and surface conductance, soil

structure, including fabric and cementation, and tem-
perature.
Electrical measurements found early applications in
the fields of petroleum engineering, geophysical map-
ping and prospecting, and soil science, among others.
The inherent complexity of soil–water systems and the
difficulty in characterizing the wide ranges of particle
size, shape, and composition have precluded develop-
ment of generally applicable theoretical equations for
electrical conductivity. However, a number of empiri-
cal equations and theoretical expressions based on
simplified models may provide satisfactory results,
depending on the particular soil and conditions. They
differ in assumptions about the possible flow paths for
electric current through a soil–water matrix, the path
lengths and their relative importance, and whether
charged particle surfaces contribute to the total current
flow.
Nonconductive Particle Models

Figure 9.13 Thermal conductivity of soil (after Kersten,
1949). Formation Factor The electrical conductivity of
clean saturated sands and sandstones is directly propor-
tional to the electrical conductivity of the pore water (Ar-
chie, 1942). The coefficient of proportionality depends on
porosity and fabric. Archie (1942) defined the formation
factor, F, as the resistivity of the saturated soil, T, divided
by the resistivity of the saturating solution, W, that is,
T
F⫽ ⫽ W (9.41)
W T
where W and T are the electrical conductivities of the

pore water and saturated soil, respectively.
An empirical correlation between formation factor and
porosity for clean sands and sandstones is given by
F ⫽ n⫺m (9.42)
where n is porosity, and m equals from 1.3 for loose sands

to 2 for highly cemented sandstones. An empirical relation
Figure 9.14 Typical relationship between thermal resistivity between formation factor at 100 percent water saturation
and water content for a compacted sand. and ‘‘apparent’’ formation factor at saturation less than
100 percent is
(m), and A is its cross-sectional area (m2). The value W

FatSw⫽1 ⫽ (Sw)p (9.43)
of electrical conductivity for a saturated soil is usually T
in the approximate range of 0.01 to 1.0 S/m. The spe-
cific value depends on several properties of the soil, where p is a constant determined experimentally. Archie
including porosity, degree of saturation, composition suggested a value of p ⫽ 2; however, other published val-
(conductivity) of the pore water, mineralogy as it af- ues of p range from 1.4 to 4.6, depending on the soil and
whether a given saturation is reached by wetting or by tance of clayey particles to the total current flow would
drainage. be small.
Capillary Model In this and the theoretical models
that follow, direct current (DC) conductivity is as- Conductive Particle Models
sumed, although they may apply to low-frequency al-
ternating current (AC) models as well. Consider a In conductive particle models the contribution of the
saturated soil sample of length L and cross-sectional ions concentrated at the surface of negatively charged
area A. If the pores are assumed to be connected and particles is taken into account. Two simple mixture
can be represented by a bundle of tubes of equal radius models are presented below; other models can be
and length Le and total area Ae, where Ae ⫽ porosity found in Santamarina et al. (2001).
⫻ A, and Le is the actual length of the flow path, then Two-Parallel-Resistor Model A contribution of sur-
an equation for the formation factor as a function of face conductance is included, and the soil–water sys-
the porosity n and the tortuosity T ⫽ Le /L is tem is equivalent to two electrical resistors in parallel
(Waxman and Smits, 1968). The result is that the total
electrical conductivity T is
T2
F⫽ (9.44)
n
T ⫽ X(W ⫹ s) (9.49)
For S ⬍ 1, and assuming that the area available for
electrical flow is nSA, then F ⫽ T 2 /nS. In principle, if in which s is a surface conductivity term, and X is a
F is measured for a given soil and n is known, a value constant analogous to the reciprocal of the formation
of tortuosity can be calculated to use in the Kozeny– factor that represents the internal geometry.
Carman equation for hydraulic conductivity. This approach yields better fits of T versus W data
Cluster Model As discussed earlier in connection for clay-bearing soils. However, it assumes a constant
with hydraulic conductivity, the cluster model (Olsen, value for the contribution of the surface ions that is
1961, 1962) shown in Fig. 9.10 assumes unequal pore independent of the electrolyte concentration in the pore
sizes. Three possible paths for electrical current flow water, and it fails to include a contribution for the sur-
can be considered: (1) through the intercluster pores, face conductance and pore water conductance in a se-
(2) through the intracluster pores, and (3) alternately ries path.
through inter- and intracluster pores. On this basis the Three-Element Network Model A third path is in-
following equations for formation factor as a function cluded in this formulation that considers flow along
of the cluster model parameters can be derived (Olsen, particle surfaces and through pore water in series in
1961): addition to the paths included in the two-parallel-
resistor model. The flow paths and equivalent electrical
冉冊冉冊
circuit are shown in Fig. 9.15. Analysis of the electrical
1 ⫹ eT 1
F ⫽ T2 (9.45) network for determination of T gives
eT ⫺ ec 1⫹X
aWs
X⫽Y⫹Z (9.46) T ⫽ ⫹ bs ⫹ cW (9.50)
(1 ⫺ e)W ⫹ es
[(1 ⫹ eT)/(eT ⫺ ec)]2
Y⫽ (9.47) If the surface conductivity s is negligible, the sim-
1 ⫹ (Tc /T)2 [(1 ⫹ ec)2 /ec(eT ⫺ ec)]
ple formulation proposed by Archie (1942) for sands
冉冊冉冊 2 is obtained; that is, T ⫽ constant ⫻ W. Some of the

ec T geometric parameters a, b, c, d, and e can be written
Z⫽a (9.48)
eT ⫺ ec Tc as functions of porosity and degree of saturation; oth-
ers are obtained through curve regression analysis of
in which T is the intercluster tortuosity, Tc is the intra- T versus W data.
cluster tortuosity, and a is the effective cluster ‘‘contact Soil conductivity as a function of pore fluid con-
area.’’ The cluster contact area is very small except for ductivity is shown in Fig. 9.16 for a silty clay. The
heavily consolidated systems. three-element model fits the data well over the full
This model successfully describes the flow of cur- range, the two-element model gives good predictions
rent in soils saturated with high conductivity water. In for the higher values of conductivity, and the simple
such systems, the contribution of the surface conduc- formation factor relationship is a reasonable average
Figure 9.15 Three-element network model for electrical conductivity: (a) current flow paths
and (b) equivalent electrical circuit.
for conductivity values in the range of about 0.3 to 0.6 frequency, and 0 is the permittivity of vacuum [8.85
S/m. ⫻ 10⫺12 C2 /(Nm2)]. The frequency-dependent effective
conductivities of deionized water and kaolinite–water
Alternating Current Conductivity and Dielectric mixtures at two different water contents (0.2 and 33
Constant percent) are shown in Fig. 9.18a. The complicated in-
teractions of different polarization mechanisms are re-
The electrical response of a soil in an AC field is fre-
sponsible for the variations shown.
quency dependent owing to the polarizability proper-
A material is dielectric if charges are not free to
ties of the system constituents. Several scale-dependent
move due to their inertia. Higher frequencies are
polarization mechanisms are possible in soils, as
needed to stop polarization at smaller scales. The di-
shown in Fig. 9.17. The smaller the element size the
electric constant (or the real relative permittivity !5)
higher the polarization frequency. At the atomic and
decreases with increasing frequency; more polariza-
molecular scales, there are polarizations of electrons
tion mechanisms occur at lower frequencies. The
[electronic resonance at ultraviolet (UV) frequencies],
frequency-dependent dielectric constants of deionized
ions [ionic resonance at infrared (IR) frequencies], and
water and kaolinite–water mixtures are shown in Fig.
dipolar molecules (orientational relaxation at micro-
9.18b. The value for deionized water is about 79 above
wave frequencies). A mixture of components (like wa-
10 kHz. Below this frequency, the values increase with
ter and soil particles) having different polarizabilities
decrease in frequency. This is attributed to experimen-
and conductivities produces spatial polarization by
tal error caused by an electrode effect in which charges
charge accumulation at interfaces (called Maxwell–
Wagner interfacial polarization). The ions in the Stern
layer and double layer are restrained (Chapter 6), and 5
hence they also exhibit polarization. This polarization To describe the out-of-phase response under oscillating excitation,
the electrical properties of a material are often defined in the complex
results in relaxation responses at radio frequencies. plane:
Further details of the polarization mechanisms are ⫽ ⫺ jⴖ
given by Santamarina et al. (2001).
The effective AC conductivity eff is expressed as where is the complex permittivity, j is the imaginary number
(兹⫺1), and and ⴖ are real and imaginary numbers describing the
electrical properties. The permittivity is often normalized by the
eff ⫽ ⫹ !ⴖ"0 (9.51) permittivity of vacuum 0 as

!⫽ ⫽ ! ⫺ j!ⴖ
where is the conductivity, !ⴖ is the polarization loss 0
(called the imaginary relative permittivity), " is the where ! is called the relative permittivity.
100
Deionized Water
10–2
σeff (S/m)
33%
10–4 No Data
Available
0.2%
10–6
100 102 104 106 108 1010
Frequency (Hz)
(a)
Electrode Effect
106 33% Deionized Water
104 0.2% No Data

Figure 9.16 Soil electrical conductivity as a function of pore κ Available
fluid conductivity and comparisons with three models.
102
100
accumulate at the electrode–specimen interface (Klein 100 102 104 106 108 1010
and Santamarina, 1997). Similarly to the observations Frequency (Hz)
made for the effective conductivities, the real permit- (b)
tivity values of the mixtures show complex trends of
Figure 9.18 (a) Conductivity and (b) relative permittivity as
frequency dependency.
a function of frequency for deionized water and kaolinite at
For analysis of AC conductivity and dielectric con- water contents of 0.2 and 33 percent (from Santamarina et
stant as a function of frequency in an AC field, Smith al., 2001).
and Arulanandan (1981) modified the three-element
model shown in Fig. 9.15 by adding a capacitor in
parallel with each resistor. The resulting equations can
be fit to experimental frequency dispersions of the con-
Figure 9.17 Frequency ranges associated with different polarization mechanisms (from San-
tamarina et al., 2001).
ductivity and apparent dielectric constant by computer Table 9.3 Self-Diffusion Coefficients for Ions at
optimization of geometrical and compositional param- Infinite Dilution in Water
eters. The resulting parameter values are useful for
characterizing mineralogy, porosity, and fabric. More Anion D0 ⫻ 1010(m2 /s) Cation D0 ⫻ 1010(m2 /s)
detailed discussions on electrical models, data inter- (1) (2) (3) (4)
pretation, and correlations with soil properties are
given by Santamarina et al. (2001). OH⫺ 52.8 H⫹ 93.1
F⫺ 14.7 Li⫹ 10.3
Cl⫺ 20.3 Na⫹ 13.3
Br⫺ 20.8 K⫹ 19.6
9.7 DIFFUSION I⫺ 20.4 Rb⫹ 20.7
HCO3⫺ 11.8 Cs⫹ 20.5
Chemical transport through sands is dominated by ad- NO3⫺ 19.0 Be2⫹ 5.98
vection, wherein dissolved and suspended species are SO42⫺ 10.6 Mg2⫹ 7.05
carried with flowing water. However, in fine-grained CO32⫺ 9.22 Ca2⫹ 7.92
soils, wherein the hydraulic flow rates are very small, — — Sr2⫹ 7.90
for example, kh less than about 1 ⫻ 10⫺9 m/s, chemical — — Ba2⫹ 8.46
diffusion plays a role and may become dominant when — — Pb2⫹ 9.25
kh becomes less than about 1 ⫻ 10⫺10 m/s. Fick’s law, — — Cu2⫹ 7.13
Eq. (9.5), is the controlling relationship, and D(L2T⫺1), — — Fe2⫹a 7.19
the diffusion coefficient, is the controlling parameter. — — Cd2⫹a 7.17
Diffusive chemical transport is important in clay — — Zn2⫹ 7.02
barriers for waste containment, in some geologic — — Ni2⫹a 6.79
processes, and in some forms of chemical soil — — Fe3⫹a 6.07
stabilization. Comprehensive treatments of the diffu- — — Cr3⫹a 5.94
sion process, values of diffusion coefficients and — — Al3⫹a 5.95
methods for their determination, and applications, a
Values from Li and Gregory (1974). Reprinted with
especially in relation to chemical transport and waste
permission from Geochimica et Cosmochimica Acta, Vol.
containment barrier systems, are given by Quigley et
38, No. 5, pp. 703–714. Copyright 1974, Pergamon
al. (1987), Shackelford and Daniel (1991a, 1991b),
Press.
Shincariol and Rowe (2001) and Rowe (2001).
Diffusive flow is driven by chemical potential gra-
dients, but for most applications chemical concentra-
tion gradients can be used for analysis. The diffusion 4. Retardation of some species as a result of ion
coefficient is measured and expressed in terms of exchange and adsorption by clay minerals and
chemical gradients. Maximum values of the diffusion organics or precipitation
coefficient D0 are found in free aqueous solution at 5. Biodegradation of diffusing organics
infinite dilution. Self-diffusion coefficients for a num- 6. Osmotic counterflow
ber of ion types in water are given in Table 9.3. Usu- 7. Electrical imbalance, possibly by anion exclusion
ally cation–anion pairs are diffusing together, thereby
slowing down the faster and speeding up the slower. The diffusion coefficient could increase with time of
This may be seen in Table 9.4, which contains values flow through a soil as a result of such processes as
of some limiting free solution diffusion coefficients for (Quigley, 1989):
some simple electrolytes. 1. K⫹ fixation by vermiculite, which would decrease
Diffusion through soil is slower and more complex the cation exchange capacity and increase the
than diffusion through a free solution, especially when free water pore space
adsorptive clay particles are present. There are several 2. Electrical imbalances that act to pull cations or
reasons for this (Quigley, 1989): anions
3. The attainment of adsorption equilibrium, thus
1. Reduced cross-sectional area for flow because of eliminating retardation of some species
the presence of solids
2. Tortuous flow paths around particles In an attempt to take some of these factors, espe-
3. The influences of electrical force fields caused by cially geometric tortuosity of interconnected pores,
the double-layer distributions of charges into account, an effective diffusion coefficient D* is
DIFFUSION 273
Table 9.4 Limiting Free Solution Diffusion transient diffusion, that is, the time rate of change of
Coefficients for Some Simple Electrolytes concentration with distance:
Electrolyte D0 ⫻ 1010(m2 /s) c 2c

⫽ D* 2 (9.53)
(1) (2) t x
HCl 33.36
For transient diffusion with constant effective diffusion
HBr 34.00
coefficient D*, the solution for this equation is of ex-
LiCl 13.66
actly the same form as that for the Terzaghi equation
LiBr 13.77
for clay consolidation and that for one-dimensional
NaCl 16.10
transient heat flow.
NaBr 16.25
An error function solution for Eq. (9.53) (Ogata,
NaI 16.14
1970; Freeze and Cherry, 1979), for the case of one-
KCl 19.93
dimensional diffusion from a layer at a constant source
KBr 20.16
concentration C0 into a layer having a sufficiently low
KI 19.99
initial concentration that it can be taken as zero at t ⫽
CsCl 20.44
0, is
CaCl2 13.35
BaCl2 13.85
C x x
⫽ erfc ⫽ 1 ⫺ erf (9.54)
Reported by Shackelford and Daniel, 1991a after Rob- C0 2兹D*t 2兹D*t
inson and Stokes, 1959. Reprinted from the Journal of
Geotechnical Engineering, Vol. 117, No. 3, pp. 467–484. where C is the concentration at any time at distance ⫻
Copyright 1991. With permission of ASCE. from the source.
Curves of relative concentration as a function of
depth for different times after the start of chloride dif-
used. Several definitions have been proposed (Shack- fusion are shown in Fig. 9.19a (Quigley, 1989). An
elford and Daniel, 1991a) in which the different factors effective diffusion coefficient for chloride of 6.47 ⫻
are taken into account in different ways. Although 10⫺10 m2 /s was assumed. Also shown (Fig. 9.19b) is
these relationships may be useful for analysis of the the migration velocity of the C/C0 front within the soil
importance of the factors themselves, it is sufficient for as a function of time. As chloride is one of the more
practical purposes to use rapidly diffusing ionic species, Fig. 9.19 provides a
basis for estimating maximum probable migration dis-
D* ⫽ a D0 (9.52) tances and concentrations as a function of time that
result solely from diffusion.
in which a is an ‘‘apparent tortuosity factor’’ that takes When there are adsorption–desorption reactions,
several of the other factors into account, and use values chemical reactions such as precipitation–solution, ra-
of D* measured under representative conditions. The dioactive decay, and/or biological processes occurring
effective coefficient for diffusion of different chemicals during diffusion, the analysis becomes more complex
through saturated soil is usually in the range of about than given by the foregoing equations. For adsorption–
2 ⫻ 10⫺10 to 2 ⫻ 10⫺9 m2 /s, although the values can desorption reactions and the assumption that there is
be one or more orders of magnitude lower in highly linearity between the amount adsorbed and the equi-
compacted clays and clays, such as bentonite, that can librium concentration, Eq. (9.53) is often written as
behave as semipermeable membranes (Malusis and
Shackelford, 2002b). Values for compacted clays are c D* 2c
⫽ (9.55)
rather insensitive to molding water content or method t Rd x2
of compaction (Shackelford and Daniel, 1991b), in
stark contrast to the hydraulic conductivity, which may where Rd is termed the retardation factor, and it is
vary over a few orders of magnitude as a result of defined by
changes in these factors. This suggests that soil fabric
differences have relatively minor influence on the ef- d
Rd ⫽ 1 ⫹ K (9.56)
fective diffusion coefficient. d
Whereas Fick’s first law, Eq. (9.5), applies for
steady-state diffusion, Fick’s second law describes in which d is the bulk dry density of the soil, is the
tailed discussions of distribution coefficients and their

determination are given by Freeze and Cherry (1979),
Quigley et al., (1987), Quigley (1989), and Shackel-
ford and Daniel (1991a, b).
9.8 TYPICAL RANGES OF FLOW

PARAMETERS
Usual ranges for the values of the direct flow conduc-
tivities for hydraulic, thermal, electrical, and diffusive
chemical flows are given in Table 9.5. These ranges
are for fine-grained soils, that is, silts, silty clays,
clayey silts, and clays. They are for full saturation;
values for partly saturated soils can be much lower.
Also listed in Table 9.5 are values for electroosmotic
conductivity, osmotic efficiency, and ionic mobility.
These properties are needed for analysis of coupling
of hydraulic, electrical, and chemical flows, and they
are discussed further later.
9.9 SIMULTANEOUS FLOWS OF WATER,

CURRENT, AND SALTS THROUGH
SOIL-COUPLED FLOWS
Usually there are simultaneous flows of different types
through soils and rocks, even when only one type of
driving force is acting. For example, when pore water
containing chemicals flows under the action of a hy-
draulic gradient, there is a concurrent flow of chemical
through the soil. This type of chemical transport is
Figure 9.19 Time rate of chloride diffusion (from Quigley, termed advection. In addition, owing to the existence
1989). (a) Relative concentration as a function of depth after of surface charges on soil particles, especially clays,
different times and (b) velocity of migration of the front hav- there are nonuniform distributions of cations and ani-
ing a concentration C / C0 of 0.5. ons within soil pores resulting from the attraction of
cations to and repulsion of anions from the negatively
charged particle surfaces. The net negativity of clay
particles is caused primarily by isomorphous substitu-
volumetric water content, that is, the volume of water tions within the crystal structure, as discussed in Chap-
divided by the total volume (porosity in the case of a ter 3, and the ionic distributions in the pore fluid are
saturated soil), and Kd is the distribution coefficient. described in Chapter 6. Because of the small pore sizes
The distribution coefficient defines the amount of a in fine-grained soils and the strong local electrical
given constituent that is adsorbed or desorbed by a soil fields, clay layers exhibit membrane properties. This
for a unit increase or decrease in the equilibrium con- means that the passage of certain ions and molecules
centration in solution. Other reactions influencing the through the clay may be restricted in part or in full at
amount in free solution relative to that fixed in the soil both microscopic and macroscopic levels.
(e.g., by precipitation) may be included in Kd, depend- Owing to these internal nonhomogeneities in ion
ing on the method for measurement and the conditions distributions, restrictions on ion movements caused by
being modeled. Distribution coefficients are usually de- electrostatic attractions and repulsions, and the de-
termined from adsorption isotherms, and they may be pendence of these interactions on temperature, a vari-
constants for a given soil–chemical system or vary ety of microscopic and macroscopic effects may be
with concentration, pH, and temperature. More de- observed when a wet soil mass is subjected to flow
SIMULTANEOUS FLOWS OF WATER, CURRENT, AND SALTS THROUGH SOIL-COUPLED FLOWS 275
Table 9.5 Typical Range of Flow Parameters for Fine-Grained Soilsa
Parameter Symbol Units Minimum Maximum

Porosity n — 0.1 0.7
Hydraulic kh m s⫺1 1 ⫻ 10⫺11 1 ⫻ 10⫺6
conductivity
Thermal kt W m⫺1 K⫺1 0.25 2.5
conductivity
Electrical e siemens m⫺1 0.01 1.0
conductivity
Electro osmotic ke m2 s⫺1 V⫺1 1 ⫻ 10⫺9 1 ⫻ 10⫺8
conductivity
Diffusion D m2 s⫺1 2 ⫻ 10⫺10 2 ⫻ 10⫺9
coefficient
Osmotic " — 0 1.0
efficiencyb
Ionic mobility u m2 s⫺1 V⫺1 3 ⫻ 10⫺9 1 ⫻ 10⫺8
a
The above values of flow coefficients are for saturated soil. They may be
much less in partly saturated soil.
b
0 to 1.0 is the theoretical range for the osmotic efficiency coefficient. Values
greater than about 0.7 are unlikely in most fine-grained materials of geotechnical
interest.
gradients of different types. A gradient of one type Xj flow is developed later. Electroosmosis has been used
can cause a flow of another type Ji, according to for many years as a means for control of water flow
and for consolidation of soils. Chemicalosmosis, the
Ji ⫽ Lij Xj (9.57) flow of water caused by a chemical gradient acting
across a clay layer, has been studied in some detail
The Lij are termed coupling coefficients. They are prop- recently, owing to its importance in waste containment
erties that may or may not be of significant magnitude systems.
in any given soil, as discussed later. Types of coupled Isothermal heat transfer, caused by heat flow along
flow that can occur are listed in Table 9.6, along with with water flow, has caused great difficulties in the
terms commonly used to describe them.6 creation of frozen soil barriers in the presence of flow-
Of the 12 coupled flows shown in Table 9.6, several ing groundwater. Electrically driven heat flow, the Pel-
are known to be significant in soil–water systems, at tier effect, and chemically driven heat flow, the Dufour
least under some conditions. Thermoosmosis, which is effect, are not known to be of significance in soils;
water movement under a temperature gradient, is im- however, they appear not to have been studied in any
portant in partly saturated soils, but of lesser impor- detail in relation to geotechnical problems.
tance in fully saturated soils. Significant effects from Streaming current, the term applied to both hydrau-
thermally driven moisture flow are found in semiarid lically driven electrical current and ion flows, has im-
and arid areas, in frost susceptible soils, and in expan- portance to both chemical flow through the ground
sive soils. An analysis of thermally driven moisture (advection) and the development of electrical poten-
tials, which may, in turn, influence both fluid and ion
flows as a result of additional coupling effects. The
complete roles of thermoelectricity and diffusion and
6
Mechanical coupling also occurs in addition to the hydraulic, ther- membrane potentials are not yet known; however, elec-
mal, electrical, and chemical processes listed in Table 9.6. A common
manifestation of this in geotechnical applications is the development trical potentials generated by temperature and chemical
of excess pore pressure and the accompanying fluid flow that result gradients are important in corrosion and in some
from a change in applied stress. This type of coupling is usually most groundwater flow and stability problems.
easily handled by usual soil mechanics methods. A few other types
of mechanical coupling may also exist in soils and rocks (U.S. Na- Whether thermal diffusion of electrolytes, the Soret
tional Committee for Rock Mechanics, 1987). effect, is important in soils has not been evaluated;
Table 9.6 Direct and Coupled Flow Phenomena
Gradient X
Chemical
Flow J Hydraulic Head Temperature Electrical Concentration
Fluid Hydraulic Thermoosmosis Electroosmosis Chemical
conduction osmosis
Darcy’s law
Heat Isothermal heat Thermal Peltier effect Dufour effect
transfer or conduction
thermal filtration Fourier’s law
Current Streaming current Thermoelectricity Electric Diffusion and
Seebeck or conduction membrane
Thompson effect Ohm’s law potentials or
sedimentation
current
Ion Streaming current Thermal diffusion Electrophoresis Diffusion Fick’s
ultrafiltration of electrolyte or law
(also known as Soret effect
hyperfiltration)
however, since chemical activity is highly temperature

dependent, it may be a significant process in some
systems. Finally, electrophoresis, the movement of
qhe
qh
⫽ 冉冊
ke E
kh H
( C ⫽ 0) (9.59a)
charged particles in an electrical field, has been used The ratio (kc /kh) in Fig. 9.20 indicates the hydraulic
for concentration of mine waste and high water content head difference in centimeters of water required to give
clays. a flow rate equal to the osmotic flow caused by a 10-
The relative importance of chemically and electri- fold difference in salt concentration on opposite sides
cally driven components of total hydraulic flow is il- of the layer. The ratio ke /kh gives the hydraulic head
lustrated in Fig. 9.20, based on data from tests on difference required to balance that caused by a 1 V
kaolinite given by Olsen (1969, 1972). The theory for difference in electrical potentials on opposite sides of
description of coupled flows is given later. A practical the layer. During consolidation, the hydraulic conduc-
form of Eq. (9.57) for fluid flow under combined hy- tivity decreases dramatically. However, the ratios kc /kh
draulic, chemical, and electrical gradients is and ke /kh increase significantly, indicating that the rel-
ative importance of osmotic and electroosmotic flows
H log(CB /CA) E to the total flow increases. Although the data shown in
qh ⫽ ⫺kh A ⫹ kc A ⫺ ke A (9.58)
L L L Fig. 9.20 are shown as a function of the consolidation
pressure, the changes in the values of kc /kh and ke /kh
in which kh, kc, and ke are the hydraulic, osmotic, and are really a result of the decrease in void ratio that
electroosmotic conductivities, H is the hydraulic head accompanies the increase in pressure, as may be seen
difference, E is the voltage difference, and CA and CB in Fig. 9.20c.
are the salt concentrations on opposite sides of a clay These results for kaolinite provide a conservative es-
layer of thickness L. timate of the importance of osmotic and electroosmotic
In the absence of an electrical gradient, the ratio of flows because coupling effects in kaolinite are usually
osmotic to hydraulic flows is smaller than in more active clays, such as montmoril-
冉冊
lonite-based bentonites. In systems containing confined
qhc k log(CB /CA) clay layers acted on by chemical and/or electrical gra-
⫽⫺ c ( E ⫽ 0) (9.59)
qh kh H dients, Darcy’s law by itself may be an insufficient
basis for prediction of hydraulic flow rates, particularly
and, in the absence of a chemical gradient, the ratio of if the clay is highly plastic and at a very low void ratio.
electroosmotic flows to hydraulic flows is Such conditions can be found in deeply buried clay
QUANTIFICATION OF COUPLED FLOWS 277
Figure 9.20 Hydraulic, osmotic, and electroosmotic conductivities of kaolinite (data from
Olsen 1969, 1972): (a) consolidation curve, (b) conductivity values, and (c) conductivities
as a function of void ratio.
and clay shale and in densely compacted clays. For Each approach has advantages and limitations. It is as-
more compressible clays, the ratios kc /kh and ke /kh may sumed in the following that the soil properties remain
be sufficiently high to be useful for consolidation by unchanged during the flow processes, an assumption
electrical and chemical means, as discussed later in this that may not be justified in some cases. The effects of
chapter. flows of different types on the state and properties of
a soil are discussed later in this chapter. However,
when properties are known to vary in a predictable
9.10 QUANTIFICATION OF COUPLED FLOWS manner, their variations may be taken into account in
numerical analysis methods.
Quantification of coupled flow processes may be done
by direct, empirical determination of the relevant pa-
rameters for a particular case or by relationships de- Direct Observational Approach
rived from a theoretical thermodynamic analysis of the In the general case, there may be fluid, chemical, elec-
complete set of direct and coupled flow equations. trical, and heat flows. The chemical flows can be sub-
divided according to the particular chemical species ductivity coefficient kh is readily determined.7 The co-
present. Each flow type may have contributions caused efficient of electroosmotic hydraulic conductivity is
by gradients of another type, and their importance usually determined by measuring the hydraulic flow
depends on the values of Lij and Xj in Eq. (9.57). A rate developed in a known DC potential field under
complete and accurate description of all flows may be conditions of ih ⫽ 0. The electrical conductivity e is
a formidable task. obtained from the same experiment through measure-
However, in many cases, flows of only one or two ment of the electrical current.
types may be of interest, some of the gradients may The main advantage of this empirical, but direct, ap-
not exist, and/or some of the coupling coefficients may proach is simplicity. It is particularly useful when only
be either known or assumed to be unimportant. The a few of the possible couplings are likely to be im-
matrix of flows and forces then reduces significantly, portant and when some uncertainty in the measured
and the determination of coefficients is greatly simpli- coefficients is acceptable.
fied. For example, if simple electroosmosis under iso-
thermal conditions is considered, then Eq. (9.57) yields General Theory for Coupled Flows
When several flows are of interest, each resulting from
qw ⫽ LHH(⫺H) ⫹ LHE(⫺E) ⫹ LHC(⫺C) (9.60) several gradients, a more formal methodology is nec-
I ⫽ LEH(⫺H) ⫹ LEE(⫺E) ⫹ LEC(⫺C) (9.61) essary so that all relevant factors are accounted for
properly. If there are n different driving forces, then
JC ⫽ LCH(⫺H) ⫹ LCE(⫺E) ⫹ LCC(⫺C) (9.62) there will be n direct flow coefficients Lii and n(n ⫺
1) coupling coefficients Lij(i ⫽ j). The determination
of these coefficients is best done within a framework
where qw ⫽ water flow rate that provides a consistent and correct description of
I ⫽ electrical current each of the flows. Irreversible thermodynamics, also
Jc ⫽ chemical flow rate termed nonequilibrium thermodynamics, offers a basis
H ⫽ hydraulic head for such a description. Furthermore, if the terms are
E ⫽ electrical potential properly formulated, then Onsager’s reciprocal rela-
C ⫽ chemical concentration tions apply, that is,
Lij ⫽ coupling coefficients; the first subscript
indicates the flow type and the second de-
notes the type of driving force Lij ⫽ Lji (9.65)
If there are no chemical concentration differences and the number of coefficients to be determined is sig-
across the system, then the last terms on the right-hand nificantly reduced. In addition, the derived forms for
side of Eqs. (9.60), (9.61), and (9.62) do not exist. In the coupling coefficients, when cast in terms of meas-
this case, Eqs. (9.60) and (9.61) become, when written urable and understood properties, provide a basis for
in more familiar terms, rapid assessment of their importance.
The theory of irreversible thermodynamics as ap-
plied to transport processes in soils is only outlined
qw ⫽ khih ⫹ keie (9.63) here. More comprehensive treatments are given by
I ⫽ hih ⫹ eie (9.64) DeGroot and Mazur (1962), Fitts (1962), Katchalsky
and Curran (1967), Greenberg, et al. (1973), Yeung
and Mitchell (1992), and Malusis and Shackelford
where kh ⫽ hydraulic conductivity (2002a).
ke ⫽ electroosmotic hydraulic conductivity Irreversible thermodynamics is a phenomenological,
h ⫽ electrical conductivity due to hydraulic macroscopic theory that provides a basis for descrip-
flow
e ⫽ electrical conductivity
ih ⫽ hydraulic gradient
7
ie ⫽ electrical potential gradient Note that unless the ends of the sample are short circuited to prevent
the development of a streaming potential, there will be a small elec-
troosmotic counterflow contributed by the keie term in Eq. (9.63).
Streaming potentials may be up to a few tens of millivolts in soils.
If permeability tests are done in the absence of an Streaming potential is one of four types of electrokinetic phenomena
electrical potential difference, then the hydraulic con- that may exist in soils, as discussed in more detail in Section 9.16.
SIMULTANEOUS FLOWS OF WATER, CURRENT, AND CHEMICALS 279
tion of systems that are out of equilibrium. It is based in the formulation of the flow equations. And # is also
on three postulates, namely, the sum of products of fluxes and driving forces:
1. Local equilibrium, a criterion that is satisfied if

冘JX
n
local perturbations are not large. #⫽ i i (9.69)

i⫽1
2. Linear phenomenological equations, that is,
The units of # are energy per unit time, and it is a
冘L X
n
Ji ⫽ ( j ⫽ 1,2, . . . , n) (9.66) measure of the rate of local free energy dissipation by
ij j
j⫽1 irreversible processes.
Application of the thermodynamic theory of irre-
3. Validity of the Onsager reciprocal relations, a versible processes requires the following steps:
condition that is satisfied if the Ji and Xj are for- 1. Finding the dissipation function # for the flows
mulated properly (Onsager, 1931a, 1931b). Ex- 2. Defining the conjugated flows Ji and driving
perimental verification of the Onsager reciprocity forces Xi from Eq. (9.69)
for many systems and processes has been ob- 3. Formulating the phenomenological equations in
tained and is summarized by Miller (1960). the form of Eq. (9.66)
4. Applying the Onsager reciprocal relations
Both the driving forces and flows vanish in systems
5. Relating the phenomenological coefficients to
that are in equilibrium, so the deviations of thermo-
measurable quantities
dynamic variables from their equilibrium values pro-
vide a suitable basis for their formulation. The When the Onsager reciprocity is used, the number
deviations of the state parameters Ai from equilibrium of independent coefficients Lij reduces from n2 to
are given by [(n ⫹ 1)n]/2.
i ⫽ Ai ⫺ A 0i (9.67) Application
The quantitative analysis and prediction of flows
where A 0i is the value of the state parameter at equilib- through soils, for a given set of boundary conditions,
rium and Ai is its value in the disturbed state. depends on the values of the various phenomenological
Criteria for deriving the forces and flows are then coefficients in the above flow equations. Unfortunately,
developed on the basis of the second law of thermo- these are not always known with certainty, and they
dynamics, which states that at equilibrium, the entropy may vary over wide ranges, even within an apparently
S is a maximum, and i ⫽ 0. The change in entropy homogeneous soil mass. The direct flow coefficients,
S that results from a change in state parameter gives that is, the hydraulic, electrical, and thermal conduc-
the tendency for a variable to change. Thus S/ i is tivities, and the diffusion coefficient, exhibit the
a measure of the force causing i to change, and is greatest ranges of values. Thus, it is important to ex-
called Xi. amine these properties first before detailed analysis of
The flows Ji, termed fluxes in irreversible thermo- coupled flow contributions. For many problems, it may
dynamics, are given by i / t, the time derivative of be sufficient to consider only the direct flows, provided
i. On this basis, the resulting entropy production the factors influencing their values are fully appreci-
per unit time becomes ated.
冘JX
n
dS
⫽ ⫽ i i (9.68) 9.11 SIMULTANEOUS FLOWS OF WATER,
dt i⫽1
CURRENT, AND CHEMICALS
The entropy production can be related explicitly to Use of irreversible thermodynamics for the description
various irreversible processes in terms of proper forces of coupled flows as developed above is straightforward
and fluxes (Gray, 1966; Yeung and Mitchell, 1992). If in principle; however, it becomes progressively more
the choices satisfy Eq. (9.68), then the Onsager reci- difficult in application as the numbers of driving forces
procity relations apply. and different flow types increase. This is because of
It has been found more useful to use # ⫽ T, the (1) the need for proper specification of the different
dissipation function, in which T is temperature, than coupling coefficients and (2) the need for independent
methods for their measurement. Thus, the analysis of

coupled hydraulic and electrical flows or of coupled
hydraulic and chemical flows is much simpler than the
analysis of a system subjected to electrical, chemical,
and hydraulic gradients simultaneously. Relationships
for the volume flow rate of water for several cases and
for thermoelectric and thermoosmotic coupling in sat-
urated soils are given by Gray (1966, 1969). The si-
multaneous flows of liquid and charge in kaolinite and
the fluid volume flow rates under hydraulic, electric,
and chemical gradients were studied by Olsen (1969,
1972). The theory for coupled salt and water flows was
developed by Greenberg (1971) and applied to flows
in a groundwater basin (Greenberg et al., 1973) and to
chemicoosmotic consolidation of clay (Mitchell et al.,
1973).
Equations for the simultaneous flows of water, elec- Figure 9.21 Schematic diagram of system for analysis of
tricity, cations, and anions under hydraulic, electrical, simultaneous flows of water, electricity, and ions through a
and chemical gradients were formulated by Yeung soil.
(1990) using the formalism of irreversible thermody-
namics as outlined previously. The detailed develop-
ment is given by Yeung and Mitchell (1993). The
Jv ⫽ L11(⫺P) ⫹ L12(⫺E) ⫹ L13(⫺cc)
results are given here. The chemical flow is separated
into its anionic and cationic components in order to ⫹ L14(⫺ca) (9.71)
permit determination of their separate movements as a
function of time. This separation may be important in I ⫽ L21(⫺P) ⫹ L22(⫺E) ⫹ L23(⫺cc)
some problems, such as chemical transport through the
⫹ L24(⫺ca) (9.72)
ground, where the fate of a particular ionic species, a
heavy metal, for example, is of interest. Jcd ⫽ L31(⫺P) ⫹ L32(⫺E) ⫹ L33(⫺cc)
The analysis applies to an initially homogeneous soil
mass that separates solutions of different concentra- ⫹ L34(⫺ca) (9.73)
tions of anions and cations, at different electrical po- Jad ⫽ L41(⫺P) ⫹ L42(⫺E) ⫹ L43(⫺cc)
tentials and under different hydraulic heads, as shown
schematically in Fig. 9.21. Only one anion and one ⫹ L44(⫺ca) (9.74)
cation species are assumed to be present, and no ad-
sorption or desorption reactions are occurring. These equations contain 4 conductivity coefficients Lii
The driving forces are the hydraulic gradient (⫺P), and 12 coupling coefficients Lij. As a result of Onsager
the electrical gradient (⫺E), and the concentration- reciprocity, however, the number of independent cou-
dependent parts of the chemical potential gradients of pling coefficients reduces because
the cation (cc) and of the anion (ca). The fluxes
are the volume flow rate of the solution per unit area L12 ⫽ L21
Jv, the electric current I, and the diffusion flow rates
of the cation Jdc and the anion Jda per unit area relative L13 ⫽ L31
to the flow of water. These diffusion flows are related
L14 ⫽ L41
to the absolute flows according to
L23 ⫽ L32
Ji ⫽ Jid ⫹ ci Jv (9.70) L24 ⫽ L42
L34 ⫽ L43
in which ci is the concentration of ion i. The set of
phenomenological equations that relates the four flows Thus there are 10 independent coefficients needed
and driving forces is for a full description of hydraulic, electrical, anionic,
SIMULTANEOUS FLOWS OF WATER, CURRENT, AND CHEMICALS 281
and cationic flows through a system subjected to hy- e ⫽ bulk electrical conductivity of the soil
draulic, electrical, and chemical gradients. If three of " ⫽ coefficient of osmotic efficiency
the four forces can be set equal to zero during a mea- w ⫽ unit weight of water
surement of the flow under the fourth force, then the cc ⫽ concentration of cation
ratio of the flow rate to that force will give the value ca ⫽ concentration of anion
of its corresponding Lij. However, such measurements u*c ⫽ effective ionic mobility of the cation
are not always possible or convenient. Accordingly, u*a ⫽ effective ionic mobility of the anion
two forces and one flow are usually set to zero and the D*c ⫽ effective diffusion coefficient of the cation
appropriate Lij are evaluated by solution of simultane- D*a ⫽ effective diffusion coefficient of the anion
ous equations. For measurements of hydraulic conduc- n ⫽ soil porosity
tivity, electroosmotic hydraulic conductivity, electrical R ⫽ universal gas constant (8.314 J K⫺1 mol⫺1)
conductivity, osmotic efficiency, and effective diffusion T ⫽ absolute temperature (K)
coefficients done in the usual manner in geotechnical
and chemical laboratories, the detailed application of Subsequently, Manassero and Dominijanni (2003)
irreversible thermodynamic theory led Yeung (1990) pointed out that the practical equations for diffusion
and Yeung and Mitchell (1993) to the following defi- L33 and L44 do not take the osmotic efficiency " (Sec-
nitions for the Lij. It was assumed in the derivations tion 9.13) into account, so Eqs. (9.82) and (9.84) more
that the solution is dilute and there are no interactions properly should be
between cations and anions.8
k L L
L11 ⫽ h ⫹ 12 21
wn L22
(9.75) L33 ⫽ cc 冋(1 ⫺ ")D*
RT
c c k"2
⫹ c
wn 册 (9.85)
L12 ⫽ L21 ⫽
ke
n
(9.76) L44 ⫽ ca 冋(1 ⫺ ")D*
RT
a c k"2
⫹ a
wn 册 (9.86)
⫺"cckh L L
L13 ⫽ L31 ⫽ ⫹ 12 23 (9.77) This modification becomes important in clays wherein
wn L22
osmotic efficiency, that is, the ability of the clay to
⫺"cakh L L restrict the flow of ions, is high.
L14 ⫽ L41 ⫽ ⫹ 12 24 (9.78) As the flows of ions relative to the soil are of more
wn L22
interest than relative to the water, Eq. (9.70) and Eqs.
e (9.73) and (9.74) can be combined to give
L22 ⫽ (9.79)
n
L23 ⫽ L32 ⫽ ccu* (9.80) Jc ⫽ (L31 ⫹ ccL11) w(⫺h) ⫹ (L32 ⫹ ccL12)(⫺E)
c
L24 ⫽ L42 ⫽ ⫺cau*a (9.81) RT

⫹ (L33 ⫹ ccL13) (⫺cc)
cc
D*
c cc
L33 ⫽ (9.82) RT
RT ⫹ (L34 ⫹ ccL14) (⫺ca) (9.87)
ca
L34 ⫽ L43 ⫽ 0 (9.83)
D*
a ca Ja ⫽ (L41 ⫹ caL11) w(⫺h) ⫹ (L42 ⫹ caL12)(⫺E)
L44 ⫽ (9.84)
RT
RT
⫹ (L43 ⫹ caL13) (⫺cc)
where kh ⫽ hydraulic conductivity as usually mea- cc
sured (no electrical short circuiting)
RT
ke ⫽ coefficient of electroosmotic hydraulic ⫹ (L44 ⫹ caL14) (⫺ca) (9.88)
conductivity ca
where (⫺h) is the hydraulic gradient. In Eqs. (9.87)

8
The Lij coefficients in Eqs. (9.75) to (9.84) were derived in terms and (9.88) the gradient of the chemical potential has
of the cross-sectional area of the soil voids. They may be redefined
in terms of the total cross-sectional area by multiplying each term been replaced by the gradient of the concentration ac-
on the right-hand side by the porosity, n. cording to
RT At the pore scale level, the fluid particles carrying dis-

(⫺ci ) ⫽ (⫺ci) (9.89) solved chemicals move at different speeds because of
ci
tortuous flow paths around the soil grains and variable
These equations reduce to the known solutions for velocity distribution in the pores, ranging from zero at
special cases such as chemical diffusion, advection– the soil particle surfaces to a maximum along the cen-
dispersion, osmotic pressure according to the van’t terline of the pore. This results in hydrodynamic dis-
Hoff equation [see Eq. (9.98)], osmosis, and ultra- persion and a zone of mixing rather than a sharp
filtration. They predict reasonably well the distribution boundary between two flowing solutions of different
of single cations and anions as a function of time and concentrations. Mathematically, this is accounted for
position in compacted clay during the simultaneous ap- by adding a dispersion term to the diffusion coefficient
plication of hydraulic, electrical, and chemical gradi- in the L33 and L44 terms to account for the deviation
ents (Mitchell and Yeung, 1990). of actual motion of fluid particles from the overall or
The analysis of multicomponent systems is more average movement described by Darcy’s law. More de-
complex. The use of averaged chemical properties and tails can be found in groundwater and contamination
the assumption of composite single species of anions textbooks such as Freeze and Cherry (1979) and Dom-
and cations may yield reasonable approximate solu- inico and Schwartz (1997).
tions in some cases. Malusis and Shackelford (2002a) Numerical models are available for groundwater
present a more general theory for coupled chemical flow and contaminant transport into which the above
and hydraulic flow, based on an extension of the Yeung flow equations can be introduced (e.g., Anderson and
and Mitchell (1993) formulation, which accounts for Woessner, 1992; Zheng and Bennett, 2002). The most
multicomponent pore fluids and ion exchange proc- widely used groundwater flow numerical code is
esses occurring during transport.9 MODFLOW developed by the United States Geolog-
The flow equations can be incorporated into numerical Survey (USGS); various updated versions are
ical models for the solution of transient flow problems. available (e.g., Harbaugh et al., 2000). To solve
Conservation of mass of species i requires that single-species contaminant transport problems in
groundwater, MT3DMS (Zheng and Wang, 1999) can
ci be used. The code utilizes the flow solutions from
⫽ ⫺Ji ⫺ Gi (9.90) MODFLOW. More complex multispecies reactions can
t
be simulated by RT3D (Clement, 1997). POLLUTE
(Rowe and Booker, 1997) provides ‘‘one- and one-
in which Gi is a source–sink term describing the ad- half-dimensional’’ solution to the advection–dispersion
dition or removal rate of species i from the solution. equation and is widely used in landfill design. A va-
As commonly used in groundwater flow analyses of riety of public domain groundwater flow and contam-
contaminant transport, Gi is given by inant transport codes is available from the web sites of
冋册
the USGS, the U.S. Environmental Protection Agency
Kd Kd ci (U.S. EPA), and the U.S. Salinity Laboratory.
Gi ⫽ 1 ⫹ ici ⫹ (9.90a)
n n t
where i is the decay constant of species i, is the

bulk dry density of the soil, Kd is the distribution co- 9.12 ELECTROKINETIC PHENOMENA
efficient, and n is the soil porosity. As defined previ- Coupling between electrical and hydraulic flows and
ously, the distribution constant is the ratio of the gradients can generate four related electrokinetic phe-
amount of chemical adsorbed on the soil to that in nomena in materials such as fine-grained soils, where
solution. The quantity in the brackets on the right-hand there are charged particles balanced by mobile coun-
side of Eq. (9.90) is the retardation factor Rd defined tercharges. Each involves relative movements of elec-
by Eq. (9.56). tricity, charged surfaces, and liquid phases, as shown
Advection rather than diffusion is the dominant schematically in Fig. 9.22.
chemical transport mechanism in coarse-grained soils.
Electroosmosis
9
When an electrical potential is applied across a wet
Malusis and Shackelford (2002a) defined parameters in terms of the
total cross-sectional area for flow rather than the cross-sectional area soil mass, cations are attracted to the cathode and an-
of voids as used in the development of Eqs. (9.75) through (9.84). ions to the anode (Fig. 9.22a). As ions migrate, they
ELECTROKINETIC PHENOMENA 283
Figure 9.22 Electrokinetic phenomena: (a) electroosmosis, (b) streaming potential, (c) elec-
trophoresis, and (d) migration or sedimentation potential.
carry their water of hydration and exert a viscous drag of the electrodes and repelled from the other. Nega-
on the water around them. Since there are more mobile tively charged clay particles move toward the anode as
cations than anions in a soil containing negatively shown in Fig. 9.22c. This is called electrophoresis.
charged clay particles, there is a net water flow toward Electrophoresis involves discrete particle transport
the cathode. This flow is termed electroosmosis, and through water; electroosmosis involves water transport
its magnitude depends on ke, the coefficient of elec- through a continuous soil particle network.
troosmotic hydraulic conductivity and the voltage gra-
dient, as considered in more detail later. Migration or Sedimentation Potential
Streaming Potential The movement of charged particles such as clay rela-

tive to a solution, as during gravitational settling, for
When water flows through a soil under a hydraulic example, generates a potential difference, as shown in
gradient (Fig. 9.22b), double-layer charges are dis- Fig. 9.22d. This is caused by the viscous drag of the
placed in the direction of flow. This generates an elec- water that retards the movement of the diffuse layer
trical potential difference that is proportional to the cations relative to the particles.
hydraulic flow rate, called the streaming potential, be- Of the four electrokinetic phenomena, electroos-
tween the opposite ends of the soil mass. Streaming mosis has been given the most attention in geotechni-
potentials up to several tens of millivolts have been cal engineering because of its practical value for
measured in clays. transporting water in fine-grained soils. It has been
used for dewatering, soft ground consolidation, grout
Electrophoresis injection, and the containment and extraction of chem-
If a DC field is placed across a colloidal suspension, icals in the ground. These applications are considered
charged particles are attracted electrostatically to one in a later section.
9.13 TRANSPORT COEFFICIENTS AND THE

IMPORTANCE OF COUPLED FLOWS I⫽ 冋册冋册
ke w
n
ih ⫹
e
n e
i (9.93)
To assess conditions where coupled chemical, electri-

cal, and hydraulic flows will be significant relative to For chemical flow relative to the soil:
direct flows, it is necessary to know the values of the
Lij relative to the Lii. Estimates can be made by con-
sidering the probable values of the soil state parameters
and the several flow and transport coefficients given in
Jc ⫽ 冋
(1 ⫺ ")ckh ck2e w
n
⫹
ne 册冋册
ih ⫹
cke
n e
i
Eqs. (9.75) to (9.84). Typical ranges are given in Table

9.5.
In Table 9.5 the diffusion coefficients and ionic mo-
⫹ 冋D* ⫺ 册 "ckh
n w
RT ic (9.94)
bilities for cations and anions are considered together

since they lie within similar ranges for most species. Coupling Influences on Hydraulic Flow
Values of ionic mobility for specific ions in dilute so- In the absence of applied electrical and chemical gra-
lution are given in standard chemical references, for dients, flow under a hydraulic gradient is given by the
example, Dean (1973), and values of diffusion coeffi- first bracketed term on the right-hand side of Eq.
cients are given in Tables 9.3 and 9.4. Ionic mobility (9.92). It contains the quantity k2e w /ne, which com-
is related to the diffusion coefficient according to pensates for the electroosmotic counterflow generated
by the streaming potential, which causes the measured
Di兩zi兩F value of kh to be slightly less than the true value of
ui ⫽ (9.91)
RT L11.
As it is not usual practice to short-circuit between
in which zi is the ionic valence and F is Faraday’s the ends of samples during hydraulic conductivity test-
constant. Similarly to the diffusion coefficients, the ing, the second bracketed term on the right-hand side
ionic mobilities are considerably less in a soil than in of Eq. (9.92) is not zero. This term represents an elec-
a free solution, especially in a fine-grained soil. troosmotic counterflow that results from the streaming
The importance of coupled flows to fluid, electrical potential and acts in the direction opposite to the hy-
current, and chemical transport through soil under dif- draulically driven flow. Analysis based on the values
ferent conditions can be examined by study of the con- of properties in Table 9.5, as well as the results of
tributions of the different terms in Eqs. (9.71), (9.72), measurements, for example, Michaels and Lin (1954)
(9.87), and (9.88). For this purpose, the equations have and Olsen (1962) show that this counterflow is negli-
been rewritten in one-dimensional form and in terms gible in most cases, but it may become significant rel-
of the hydraulic, electrical, and chemical concentration ative to the true hydraulic conductivity for soils of very
gradients: ih ⫽ ⫺dh/dx, ie ⫽ ⫺dV/dx, and ic ⫽ ⫺dc/ low hydraulic conductivity, for example, kh ⬍ 1 ⫻
dx, respectively. In addition, the chemical flows have 10⫺10 m/s. For example, for a value of ke of 5 ⫻ 10⫺9
been represented by a single equation. This assumes m2 /s-V, an electrical conductivity of 0.01 mho/m, and
that all dissolved species are moving together. Terms a porosity of 35 percent, the counterflow term is 0.7
involving the ionic mobility u do not exist in such a ⫻ 10⫺10 m/s.
formulation because the cations and anions move to- In the presence of an applied DC field the second
gether, with the effects of electrical fields assumed to bracketed term on the right-hand side of Eq. (9.92) can
accelerate the slower moving ions and to retard the be very large relative to hydraulic flow in soils finer
faster moving ions. Thus there is no net transfer of than silts, as ke, which typically ranges within only
electric charge due to ionic movement. The Lij coeffi- narrow limits, is large relative to kh; that is, kh is less
cients have been replaced by the physical and chemical than 1 ⫻ 10⫺8 m/s in these soils. The relative effect-
quantities that determine them, as given by Eqs. (9.74) iveness of hydraulic and electrical driving forces for
through (9.85). The resulting equations are the follow- water movement can be assessed by comparing gra-
ing. For fluid flow: dients needed to give equal flow rates. They will be
equal if
Jv ⫽ 冋 kh
n
k2
册冋册 k
⫹ e w ih ⫹ e ie ⫹ RT ⫺
en n 冋
"kh
i
wn c 册 keie ⫽ khih (9.95)
(9.92)
The hydraulic gradient required to balance the elec-
For electrical current flow: troosmotic flow then becomes
TRANSPORT COEFFICIENTS AND THE IMPORTANCE OF COUPLED FLOWS 285
ke
ih ⫽ i (9.96)
kh e
As the hydraulic conductivity of soils in which elec-

troosmosis is likely to be used is usually of the order
of 1 ⫻ 10⫺9 m/s or less, whereas ke is in the range of
1 ⫻ 10⫺9 to 1 ⫻ 10⫺8 m2 /s V, it follows that even
small electrical gradients can balance flows caused by
large hydraulic gradients. Because of this, and because
ke is insensitive to particle size while kh decreases rap-
idly with decreasing particle size, electroosmosis is ef-
fective in fine-grained soils, as discussed further in
Section 9.15.
Chemically driven hydraulic flow is given by the last
Figure 9.23 Theoretical values of osmotic pressure as a
term on the right-hand side of Eq. (9.92). It depends
function of concentration difference across a clay layer for
primarily on the osmotic efficiency ". Osmotic effi- different values of osmotic efficiency coefficient, ". (T ⫽
ciency has an important influence on the movement of 20C).
chemicals through a soil, the development of osmotic
pressure, and the effectiveness of clay barriers for
chemical waste containment.
Osmotic Efficiency The osmotic efficiency of clay, Values of osmotic efficiency coefficient, ", or
a slurry wall, a geosynthetic clay liner (GCL), or other membrane efficiency (" expressed as a percentage),
seepage and containment barrier is a measure of the have been measured for clays and geosynthetic clay
material’s effectiveness in causing hydraulic flow un- liners; for example, Kemper and Rollins (1966), Letey
der an osmotic pressure gradient and of its ability to et al. (1969), Olsen (1969), Kemper and Quirk (1972),
act as a semipermeable membrane in preventing the Bresler (1973), Elrick et al. (1976), Barbour and Fred-
passage of ions, while allowing the passage of water. lund (1989), and Malusis and Shackelford (2002b,
The osmotic pressure concept can be better appreciated 2002c). Values of membrane efficiency from 0 to 100
by rewriting the last term in Eq. (9.92): percent have been determined, depending on the clay
type, porosity, and type and concentration of salts in
kh k RT c 1 solution. The results of many determinations were
" RTic ⫽ " h (9.97)
wn n w x summarized by Bresler (1973) as shown in Fig. 9.24.
The efficiency is shown as a function of a normalizing
This form is analogous to Darcy’s law, with the quan- parameter, the half distance between particles b times
tity RT c/ w being the head difference. The osmotic the square root of the solution concentration 兹c.
efficiency is a measure of the extent to which this the- To put these relations into more familiar terms for
oretical pressure difference actually develops. Theo- use in geotechnical studies, the half spacings were con-
retical values of osmotic pressure, calculated using the verted to water contents on the assumption of uniform
van’t Hoff equation, as a function of concentration dif- water layer thicknesses on all particles, using specific
ference for different values of osmotic efficiency are surface areas corresponding to different clay types and
shown in Fig. 9.23. noting that volumetric water content equals surface
The van’t Hoff equation for osmotic pressure is area times layer thickness. The relationship between
specific surface area and liquid limit (LL) obtained by
⫽ kT 冘 (n iA ⫺ niB) ⫽ RT(ciA ⫺ ciB) (9.98) Farrar and Coleman (1967) for 19 British clays
where k is the Boltzmann constant (gas constant per LL ⫽ 19 ⫹ 0.56As (20%) (9.99)
molecule), R is the gas constant per molecule, T is the
absolute temperature, ni is concentration in particles in which the specific surface area As is in square meters
per unit volume, and ci is the molar concentration. The per gram, was then used to obtain the relationships
van’t Hoff equation applies for ideal and relatively di- shown in Fig. 9.25. The computed efficiencies shown
lute solution concentrations (Malusis and Shackelford, in Fig. 9.25 should be considered upper bounds be-
2002c). According to Fritz (1986) the error is low cause the assumption of uniform water distribution
(⬍5%) for 1⬊1 electrolytes (e.g., NaCl, KCl) and con- over the full surface area underestimates the effective
centrations 1.0 M. particle spacing in most cases. In most clays, espe-
concentrations on the inside of a lined repository

should be greater than on the outside, osmotically
driven water flow should be directed from the outside
toward the inside. The greater the osmotic efficiency
the greater the driving force for this flow. Furthermore,
if the efficiency is high, then outward diffusion of con-
tained chemicals is restricted (Malusis and Shack-
elford, 2002b). In diffusion-dominated containment
barriers, the effect of solute restriction on reducing sol-
ute diffusion is likely substantially more significant
than the effect of osmotic flow (Shackelford et al.,
2001).
Coupling Influences on Electrical Flow

Substitution of values for the parameters in Eq. (9.93)
indicates, as would be expected, that electrical current
flow is dominated completely by the electrical gradient
ie. In the presence of an applied voltage difference, the
other terms are of little importance, even if the move-
ments of anions and cations are considered separately
and the contributions due to ionic mobility are taken
into account. On the other hand, when a soil layer be-
haves as an open electrical circuit, small electrical po-
tentials, measured in millivolts, may exist if there are
hydraulic and/or chemical flows. This may be seen by
setting I ⫽ 0 in Eq. (9.93) and solving for ie, which
must have value if ih has value. These small potentials
Figure 9.24 Osmotic efficiency coefficient as a function of and flows are important in such processes as corrosion
b兹c where c is concentration of monovalent anion in nor- and electroosmotic counterflow.
mality and 2b is the effective spacing between particle sur-
faces (from Bresler, 1973). Coupling Influences on Chemical Flow
Equation (9.94) provides a description of chemical
transport relative to the soil. It contains two terms that
cially those with divalent adsorbed cations, individual influence chemical flow under a hydraulic gradient;
clay plates associate in clusters giving an effective spe- one for chemical transport under an electrical gradient,
cific surface that is less than that determined by most and one for transport of chemical under a chemical
methods of measurement. This means that the curves gradient. The first term in the first bracket of the right-
in Fig. 9.25 should in reality be displaced to the left. hand side of Eq. (9.94) describes advective transport.
High osmotic efficiencies are developed at low water As would be expected, the smaller the osmotic effi-
contents, that is, in very dense, low-porosity clays, and ciency, the more chemical flow through the soil is pos-
in dilute electrolyte systems. Malusis and Shackelford sible. The second term in the same bracket simply
(2002a, 2002b, 2002c) found that the osmotic effi- reflects the advective flow reduction that would result
ciency decreases with increasing solute concentration from electroosmotic counterflow caused by develop-
and attribute this to compression of the diffuse double ment of a streaming potential. As noted earlier, this
layers adjacent to the clay particles. flow will be small, and its contribution to the total flow
Water flow by osmosis can be significant relative to will be small, except in clays of very low hydraulic
hydraulically driven water flow in heavily overconsol- and electrical conductivities. Advective transport is the
idated clay and clay shale, where the void ratio is low dominant means for chemical flow for soils having a
and the hydraulic conductivity is also very low. Such hydraulic conductivity greater than about 1 ⫻ 10⫺9
flow may be important in geological processes (Olsen m/s.
1969, 1972). Densely compacted clay barriers for The importance of an electrical driving force for
waste containment, usually composed of bentonite, chemical flow depends on the electrical potential gra-
possess osmotic membrane properties. As the chemical dient. For a unit gradient, that is, 1 V/m, chemical flow
TRANSPORT COEFFICIENTS AND THE IMPORTANCE OF COUPLED FLOWS 287
Figure 9.25 Osmotic efficiency of clays as a function of water content.
quantities are comparable to those by advective flow der conditions where the value of " is low such that
under a unit hydraulic gradient in a clay having a hy- the second term in the bracket is negligible, chemical
draulic conductivity of about 1 ⫻ 10⫺9 m/s. Electri- transport by diffusion is significant relative to advec-
cally driven chemical flow is relatively less important tive chemical transport in soils with hydraulic conduc-
in higher permeability soils and more important in tivity values less than about 1 ⫻ 10⫺9 to 1 ⫻ 10⫺10
soils with lower kh. In cases where the electrically m/s for chemicals with diffusion coefficients in the
driven chemical transport is of interest, as in electro- range given by Table 9.7, that is, 2 ⫻ 10⫺10 to 2 ⫻
kinetic waste containment barrier applications, anion, 10⫺9 m2 /s.
cation, and nonionic chemical flows must be consid- This is illustrated by Fig. 9.26 from Shackelford
ered separately using expanded relationships such as (1988), which shows the relative importance of advec-
given by Eqs. (9.87) and (9.88). tive and diffusive chemical flows on the transit time
The last bracketed quantity of Eq. (9.94) represents through a 0.91-m-thick compacted clay liner having a
diffusive flow under chemical gradients. The quantity porosity of 0.5 acted on by a hydraulic gradient of
D*ic gives the normal diffusive flow rate. The second 1.33. A diffusion coefficient of 6 ⫻ 10⫺10 m2 /s was
term represents a restriction on this flow that depends assumed. The transit time is defined as the time re-
on the clay’s osmotic efficiency, "; that is, if the clay quired for the solute concentration on the discharge
acts as an effective semipermeable membrane, diffu- side to reach 50 percent of that on the upstream side.
sive flow of chemicals is restricted. However, even un- For hydraulic conductivity values less than about 2 ⫻
term stability of clay liners are discussed by Mitchell

and Jaber (1990).
Rigid wall, flexible wall, and consolidometer per-
meameters are used for compatibility testing in the lab-
oratory. These three types of test apparatus are shown
schematically in Fig. 9.27. Tests done in a rigid wall
system overestimate hydraulic conductivity whenever
chemical–clay interactions cause shrinkage and crack-
ing; however, a rigid wall system is well suited for
qualitative determination of whether or not there may
be adverse interactions. In the flexible wall system the
lateral confining pressure prevents cracks from open-
Figure 9.26 Transit times for chemical flow through a 0.91-
ing; thus there is risk of underestimating the hydraulic
m-thick compacted clay liner having a porosity of 50 percent conductivity of some soils. The consolidometer per-
and acted on by a hydraulic gradient of 1.33 (from Shack- meameter system allows for testing clays under a range
elford, 1988). of overburden stress states that are representative of
those in the field and for quantitative assessment of the
effects of chemical interactions on volume stability and
hydraulic conductivity. More details of these perme-
10⫺9 m/s the transit time in the absence of diffusion ameters are given by Daniel (1994).
would be very long. For diffusion alone the transit time
The effects of chemicals on the hydraulic conduc-
would be about 47 years.
tivity of high water content clays such as used in slurry
Most compacted clay barriers and geosynthetic clay
walls are likely to be much greater than on lower water
liners are likely to have hydraulic conductivity values
content, high-density clays as used in compacted clay
in the range of 1 ⫻ 10⫺11 to 1 ⫻ 10⫺9 m/s, with the
liners. This is because of the greater particle mobility
latter value being the upper limit allowed by the U.S.
and easier opportunity for fabric changes in a higher
EPA for most waste containment applications. In this
water content system. A high compactive effort or an
range, diffusion reduces the transit time significantly
in comparison to what it would be due to advection effective confining stress greater than about 70 kPa can
alone. This is shown by the curve labeled advection– make properly compacted clay invulnerable to attack
dispersion in Fig. 9.26. The calculations were done by concentrated organic chemicals (Broderick and
using the well-known advection–dispersion equation Daniel, 1990). However, it is not always possible to
(Ogata and Banks, 1961) in which the dispersion term ensure high-density compaction or to maintain high
includes both mechanical mixing and diffusion. Me- confining pressures, or eliminate all construction de-
chanical mixing is negligible in low-permeability ma- fects, so it is useful to know the general effects of
terials such as compacted clay. different types of chemicals on hydraulic conductivity.
The influences of inorganic chemicals on hydraulic
conductivity are consistent with (1) their effects on the
9.14 COMPATIBILITY—EFFECTS OF double-layer and interparticle forces in relation to floc-
CHEMICAL FLOWS ON PROPERTIES culation, dispersion, shrinkage, and swelling, (2) their
effects on surface and edge charges on particles and
Chemical Compatibility and Hydraulic Conductivity the influences of these charges on flocculation and de-
The compatibility between waste chemicals, especially flocculation, and (3) their effects on pH.
liquid organics, and compacted clay liners and slurry Acids can dissolve carbonates, iron oxides, and the
wall barriers constructed to contain them must be con- alumina octahedral layers of clay minerals. Bases can
sidered in the design of waste containment barriers. dissolve silica tetrahedral layers, and to a lesser extent,
Numerous studies have been done to evaluate chemical alumina octahedral layers of clay minerals. Removal
effects on clay hydraulic conductivity because of fears of dissolved material can cause increases in hydraulic
that prolonged exposure may compromise the integrity conductivity, whereas precipitation can clog pores and
of the liners and barriers and because tests have shown reduce hydraulic conductivity.
that under some conditions clay can shrink and crack The most important factors controlling the effects of
when permeated by certain classes of chemicals. Sum- organic chemicals on hydraulic conductivity are (1)
maries of the results of chemical compatibility studies water solubility, (2) dielectric constant, (3) polarity,
are given by Mitchell and Madsen (1987) and Quigley and (4) whether or not the soil is exposed to the pure
and Fernandez (1989), and factors controlling the long- organic or a dilute solution. Exposure of clay barriers
COMPATIBILITY—EFFECTS OF CHEMICAL FLOWS ON PROPERTIES 289
Figure 9.27 Three types of permeameter for compatibility testing: (a) rigid wall, (b) flexible
wall, and (c) consolidometer permeameter (from Day, 1984).
to water-insoluble pure or concentrated organics is 3. Many water-insoluble organic liquids (i.e., non-
likely only in the case of spills, leaking tanks, and with aquoues-phase liquids, NAPLs) can cause shrink-
dense non-aqueous-phase liquids (DNAPLs) or ‘‘sink- age and cracking of clays, with concurrent
ers’’ that accumulate above low spots in liners. Some increases in hydraulic conductivity.
general conclusions about the influences of organics 4. Hydraulic conductivity increases caused by per-
on the hydraulic conductivity are: meation by organics are partly reversible when
water is reintroduced as the permeant.
1. Solutions of organic compounds having a low 5. Concentrated hydrophobic compounds (like
solubility in water, such as hydrocarbons, have many NAPLs) permeate soils through cracks and
no large effect on the hydraulic conductivity. This macropores. Water remains within mini- and mi-
is in contrast to dilute solutions of inorganic com- cropores.
pounds that may have significant effects as a 6. Hydrophilic compounds permeate the soil more
result of their influence on flocculation and dis- uniformly than NAPLs, as the polar molecules
persion of the clay particles. can replace the water in hydration layers of the
2. Water-soluble organics, such as simple alcohols cations and are more readily adsorbed on particle
and ketones, have no effect on hydraulic conduc- surfaces.
tivity at concentrations less than about 75 to 80 7. Organic acids can dissolve carbonates and iron
percent. oxides. Buffering of the acid can lead to precip-
itation and pore clogging downstream. However, ative to that measured with water. The decreases in
after long time periods these precipitates may be hydraulic conductivity for dioxane concentrations up
redissolved and removed, thus leading to an in- to 70 percent can be accounted for in terms of fluid
crease in hydraulic conductivity. density and viscosity, as may be seen in Fig. 9.28b
8. Pure bases can cause a large increase in the hy- where the intrinsic values of permeability are shown.
draulic conductivity, whereas concentrations at or As noted earlier in this chapter, the intrinsic permea-
below the solubility limit in water have no effect. bility is defined by K ⫽ k / .
9. Organic acids do not cause large-scale dissolu- Although many chemicals do not have significant
tion of clay particles. effect on the hydraulic conductivity of clay barriers,
this does not mean that they will not be transported
The combined effects of confining pressure and con- through clay. Unless adsorbed by the clay or by or-
centration, as well as permeant density and viscosity, ganic matter, the chemicals will be transported by ad-
are illustrated by Fig. 9.28 (Fernandez and Quigley, vection and diffusion. Furthermore, the actual transit
1988). The data are for water-compacted, brown Sarnia time through a barrier by advection, that is, the time
clay permeated by solutions of dioxane in domestic for chemicals moving with the seepage water, may be
landfill leachate. Increased hydrocarbon concentration far less than estimated using the conventional seepage
caused a decrease in hydraulic conductivity up to con- velocity. The seepage velocity is usually defined as the
centrations of about 70 percent, after which the hy- Darcy velocity khih, divided by the total porosity n. In
draulic conductivity increased by about three orders of systems with unequal pore sizes the flow is almost to-
magnitude for pure dioxane (Fig. 9.28a), for samples tally through mini- and macropores, which comprise
that were unconfined by a vertical stress (v ⫽ 0). On the effective porosity ne, which may be much less than
the other hand, the data points for samples maintained the total porosity. Thus effective compaction of clay
under a vertical confining stress of 160 kPa indicated barriers must break down clods and aggregates to de-
no effect of the dioxane on hydraulic conductivity rel- crease the effective pore size and increase the propor-
Figure 9.28 (a) Hydraulic conductivity and (b) intrinsic permeability of compacted Sarnia
clay permeated with leachate–dioxane mixtures. Initial tests run using water (●) followed by
leachate–chemical solution (䉱). (from Fernandez and Quigley, 1988). Reproduced with per-
mission from the National Research Council of Canada.
ELECTROOSMOSIS 291
tion of the porosity that is effective porosity, thereby charges of one sign on or near the surface of the wall
increasing the transit time. and countercharges concentrated in a layer in the liquid
a small distance from the wall, as shown in Fig. 9.29.10
The mobile shell of counterions is assumed to drag
9.15 ELECTROOSMOSIS water through the capillary by plug flow. There is a
high-velocity gradient between the two plates of the
The coefficient of electroosmotic hydraulic conductiv- condenser as shown.
ity ke defines the hydraulic flow velocity under a unit The rate of water flow is controlled by the balance
electrical gradient. Measurement of ke is made by de- between the electrical force causing water movement
termination of the flow rate of water through a soil and friction between the liquid and the wall. If v is the
sample of known length and cross section under a flow velocity and is the distance between the wall
known electrical gradient. Alternatively, a null indicat- and the center of the plane of mobile charge, then the
ing system may be used or it may be deduced from a velocity gradient between the wall and the center of
streaming potential measurement. From experience it positive charge is v / ; thus, the drag force per unit
is known that ke is generally in the range of 1 ⫻ 10⫺9 area is dv /dx ⫽ v / , where is the viscosity. The
to 1 ⫻ 10⫺8 m2 /s V (m/s per V/m) and that it is of force per unit area from the electrical field is E/
the same order of magnitude for most soil types, as L, where is the surface charge density and E/ L
may be seen by the values for different soils and a is the electrical potential gradient. At equilibrium
freshwater permeant given in Table 9.7.
Several theories have been proposed to explain elec-
troosmosis and to provide a basis for quantitative pre- v E
⫽ (9.100)
diction of flow rates. L
Helmholtz and Smoluchowski Theory or

This theory, based on a model introduced by Helm-
holtz (1879) and refined by Smoluchowski (1914), is
one of the earliest and most widely used. A liquid- 10
A derivation using a Poisson–Boltzmann distribution of counter-
filled capillary is treated as an electrical condenser with ions adjacent to the wall gives the same result.
Table 9.7 Coefficients of Electroosmotic Permeability
Water ke in 10⫺5 Approximate kh

No. Material Content (%) (cm2 /s-V) (cm/s)
1. London clay 52.3 5.8 10⫺8
2. Boston blue clay 50.8 5.1 10⫺8
3. Kaolin 67.7 5.7 10⫺7
4. Clayey silt 31.7 5.0 10⫺6
5. Rock flour 27.2 4.5 10⫺7
6. Na-Montmorillonite 170 2.0 10⫺9
7. Na-Montmorillonite 2000 12.0 10⫺8
8. Mica powder 49.7 6.9 10⫺5
9. Fine sand 26.0 4.1 10⫺4
10. Quartz powder 23.5 4.3 10⫺4
11. Ås quick clay 31.0 20.0–2.5 2.0 ⫻ 10⫺8
12. Bootlegger Cove clay 30.0 2.4–5.0 2.0 ⫻ 10⫺8
13. Silty clay, West Branch Dam 32.0 3.0–6.0 1.2 ⫻ 10⫺8 –6.5 ⫻ 10⫺8
14. Clayey silt, Little Pic River, 26.0 1.5 2 ⫻ 10⫺5
Ontario
ke and water content data for Nos. 1 to 10 from Casagrande (1952). kh estimated by authors; no. 11
from Bjerrum et al. (1967); no. 12 from Long and George (1967); no. 13 from Fetzer (1967); no. 14
from Casagrande et al. (1961).
Figure 9.29 Helmholtz–Smoluchowski model for electrokinetic phenomena.
L D E
⫽ v (9.101) qA ⫽ Nqa ⫽ Na (9.104b)
E L
From electrostatics, the potential across a condenser If the porosity is n, then the cross-sectional area of
is given by voids is nA, which must equal Na. Thus,
D E
⫽ (9.102) qA ⫽ n A (9.105)
D L
where D is the relative permittivity, or dielectric con- By analogy with Darcy’s law we can write Eq.
stant of the pore fluid. Substitution for in Eq. (9.105) as
(9.102) gives
qA ⫽ keie A (9.106)
v⫽ 冉冊
D E
L
(9.103) in which ie is the electrical potential gradient E/ L
and ke the coefficient of electroosmotic hydraulic con-
ductivity is
The potential is termed the zeta potential. It is not
the same as the surface potential of the double-layer
D
0 discussed in Chapter 6, although conditions that ke ⫽ n (9.107)
give high values of 0 also give high values of zeta
potential. A common interpretation is that the actual
slip plane in electrokinetic processes is located some According to the Helmholtz–Smoluchowski theory
small, but unknown, distance from the surface of par- and Eq. (9.107), ke should be relatively independent of
ticles; thus should be less than 0. Values of in the pore size, and this is borne out by the values listed in
range of 0 to ⫺50 mV are typical for clays, with the Table 9.7. This is in contrast to the hydraulic conduc-
lowest values associated with high pore water salt con- tivity kh, which varies as the square of some effective
centrations. pore size. Because of this independence of pore size,
For a single capillary of area a the flow rate is electroosmosis can be more effective in moving water
through fine-grained soils than flow driven by a hy-
draulic gradient.
D E
qa ⫽ va ⫽ a (9.104a) This is illustrated by the following simple example.
L Consider a fine sand and a clay of hydraulic conduc-
tivity kh of 1 ⫻ 10⫺5 m/s and 1 ⫻ 10⫺10 m/s, respec-
and for a bundle of N capillaries within total cross- tively. Both have ke values of 5 ⫻ 10⫺9 m2 /s V. For
sectional area A normal to the flow direction equal hydraulic flow rates khih ⫽ keie, so
ELECTROOSMOSIS 293
ke E
ih ⫽ i (9.108) FE ⫽ A0 F0r 2 (9.112)
kh e L
If an electrical potential gradient of 20 V/m is used, where A0 is the concentration of wall charges in ionic
substitution in Eq. (9.108) shows that ih is 0.01 for the equivalents per unit volume of pore fluid, and F0 is the
fine sand and 1000 for the clay. This means that a Faraday constant. Replacement of FH by FE in Eq.
hydraulic gradient of only 0.01 can move water as ef- (9.111) gives
fectively as an electrical gradient of 20 V/m in fine
sand. However, for the clay, a hydraulic gradient of r 4 E F A
qa ⫽ A F ⫽ 0 0 r 2iea (9.113)
1000 would be needed to offset the electroosmotic 8 0 0 L 8
flow.
However, it does not follow that electroosmosis will so for a total cross section of N capillaries and area A
always be an efficient means to move water in clays
because the above analysis does not take into account A0 F0r 2
qA ⫽ nie A (9.114)
the power requirement to develop the potential gradient 8
of 20 V/m or energy losses in the system. These points
are considered further later. This equation shows that ke should vary as r 2, whereas
the Helmholtz–Smoluchowski theory leads to ke in-
Schmid Theory dependent of pore size, as previously noted. Of the two
theories, the Helmholtz gives the better results for
The Helmholtz–Smoluchowski theory is essentially a
soils, perhaps because most clays have a cluster or ag-
large-pore theory because it assumes a negligible ex-
gregate structure with electroosmotic flow controlled
tension of the counterion layer into the pore. Also, it
more by the larger pores than by the intracluster pores.
does not account for an excess of ions over those
needed to balance the surface charge. A model that
Spiegler Friction Model
overcomes the first of these problems was proposed by
Schmid (1950, 1951). It can be considered a small- A completely different concept for electrokinetic proc-
pore theory. esses takes into account the interactions of the mobile
The counterions are assumed to be distributed uni- components (water and ions) on each other and of the
formly throughout the fluid phase in the soil. The elec- frictional interactions of these components with pore
trical force acts uniformly over the entire pore cross walls (Spiegler, 1958). This theory provides insight
section and gives the same velocity profile as shown into conditions leading to high electroosmotic effi-
by Fig. 9.29. The hydraulic flow rate through a single ciency.
capillary of radius r is given by Poiseuille’s law: The assumptions include:
1. Exclusion of coions,11 that is, the medium be-
r 4
haves as a perfect perm-selective membrane,
q⫽ i (9.109)
8 w h admitting ions of only one sign
2. Complete dissociation of pore fluid ions
The hydraulic seepage force per unit length causing The following equation for electroosmotic transport
flow is of water across a fine-grained porous material contain-
ing adsorbed and free ions can be derived:
FH ⫽ r 2 wih (9.110)
C3
⫽ (W ⫺ H) ⫽ (9.115)
so C1 ⫹ C3(X34 /X13)
in which is the true electroosmotic water flow

r2
q⫽ F (9.111) (moles/faraday), W is the measured water transport
8 H
The electrical force per unit length FE is equal to the 11

Ions of the opposite sign to the charged surface are termed coun-
charge times the potential, that is, terions. Ions of the same sign are termed coions.
(moles/faraday), H is the water transport by ion hy- opposite sign. The greater the difference between the
dration (moles/faraday), C3 is the concentration of free concentrations of cations and anions, the greater the
water in the material (mol/m3), C1 is the concentration net drag on the water in the direction toward the cath-
of mobile counterions m2, X34 is the friction coefficient ode. The efficiency and economics of the process de-
between water and the solid wall, and X13 is the friction pend on the volume of water transported per unit
coefficient between cation and water. electrical charge passed. If the volume is high, then
Concentrations C1 and C3 are hypothetical and prob- more water is transported for a given expenditure of
ably less than values measured by chemical analysis electrical energy than if it is low. This volume may
because some ions may be immobile. Evaluation of X13 vary over several orders of magnitude depending on
and X34 requires independent measurements of diffu- such factors as soil type, water content, and electrolyte
sion coefficients, conductance, transference numbers, concentration.
and water transport. Thus Eq. (9.115) is limited as a In a low exchange capacity soil at high water content
predictive equation. Its real value is in providing a rel- in a low electrolyte concentration solution, there is
atively simple physical representation of a complex much more water per cation than in a high exchange
process. capacity, low water content soil having the same pore
From Eq. (9.115), water electrolyte concentration. This, combined
with cation-to-anion ratio considerations, leads to
1 the predicted water transport–water content–soil
⫽ (W ⫺ H) ⫽ (9.116) type–electrolyte concentration relationships shown
(C1 /C3 ⫹ X34 /X13)
schematically in Fig. 9.30, where increasing electrolyte
concentration in the pore water results in a much
At high water contents and for large pores, X34 /X13 →
0 because X34 becomes negligible. Then
X34→0 ⫽ C3 /C1 (9.117)
This relationship indicates that a high water-to-cation

ratio implies a high rate of electroosmotic flow. At low
water contents and for small pores, X34 will not be
zero, thus reducing the flow. An increase in C1 reduces
the flow of water per faraday of current passed because
there is less water per ion. An increase in X13 increases
the flow because there is greater frictional drag on the
water by the ions.
Ion Hydration
Water of hydration is carried along with ions in a direct
current electric field. The ion hydration transport H is
given by
H ⫽ t⫹N⫹ ⫺ t
N
(9.118)
where t⫹ and t
are the transport numbers, that is, num-
bers that represent the fraction of current carried by a
particular ionic species. The numbers N⫹ and N
are
the number of moles of hydration water per mole of
cation and anion, respectively.
9.16 ELECTROOSMOSIS EFFICIENCY

Electroosmotic water flow occurs if the frictional drag Figure 9.30 Schematic prediction of water transport by elec-
between the ions of one sign and their surrounding troosmosis in various clays according to the Donnan concept
water molecules exceeds that caused by ions of the (from Gray, 1966).
ELECTROOSMOSIS EFFICIENCY 295
greater decrease in efficiency for inactive clay than 2C0
y⫽ (9.120)
more plastic, active clay. Tests on sodium kaolinite (in- A0
active clay) and sodium illite (more active clay) gave
the results shown in Fig. 9.31, which agree well with The concentration C0 is in the external solution, is
the predictions in Fig. 9.30. the mean molar activity coefficient in the external so-
The slopes and locations of the curves can be ex- lution, is the mean activity coefficient in the double
plained more quantitatively in the following way. Al- layer, and A0 is the surface charge density per unit pore
ternatively to the double-layer theory given in Chapter volume. The parameter A0 is related to the cation
6, the Donnan (1924) theory can be used to describe exchange capacity (CEC) by
equilibrium ionic distributions in fine-grained materi-
als. The basis for the Donnan theory is that at equilib-
rium the potentials of the internal and external (CEC)w
A0 ⫽ (9.121)
solutions are equal and that electroneutrality is re- w
quired in both phases. It may be shown (Gray, 1966;
Gray and Mitchell, 1967) that the ratio R of cations to where w is the density of water and w is the water
anions in the internal phase for the case of a symmet- content. The higher R, the greater is the electroosmotic
rical electrolyte (z⫹ ⫽ z⫺) is given by water transport, all other things equal.
From Eqs. (9.119) to (9.121) it may be deduced that
C⫹ 1 ⫹ (1 ⫹ y2)1 / 2 exclusion of anions is favored by a high exchange
R⫽ ⫽ (9.119)
C⫺ ⫺1 ⫹ (1 ⫹ y2)1 / 2 capacity (active clay), a low water content, and low
salinity in the external solution. However, the concen-
where tration of anions in the double layer builds up more
Figure 9.31 Electroosmotic water transport versus concentration of external electrolyte so-
lution for homoionic kaolinite and illite at various water content (from Gray, 1966).
rapidly as the salinity of the external solution increases E L

⫽ ⫺ EH (9.124)
in inactive clays than in active clays. As a result the P LEE
efficiency, as measured by volume of water per unit
charge passed, decreases much more rapidly with in- In electroosmosis P ⫽ 0, so Eq. (9.122) is
creasing electrolyte concentration than in the more ac-
tive clay.
The results of electroosmosis measurements on a qh ⫽ LHE E (9.125)
number of different materials are summarized in Fig.
9.32, which shows water flow rate as a function of and Eq. (9.122) becomes
water content. This figure may be used as a guide for
prediction of electroosmotic flow rates. The flow rates I ⫽ LEE E (9.126)
shown are for open systems, that is, solution was ad-
mitted at the anode at the same time it was extracted so
from the cathode. Electrochemical effects (Section
9.18) and water content changes were minimized in
qh LHE
these tests. Thus, the values can be interpreted as upper ⫽ (9.127)
bounds on the flow rates to be expected in practice. I LEE
Values of water content, electrolyte concentration in
the pore water, and type of clay are required for elec- By Onsager’s reciprocity theorem LEH ⫽ LHE so
troosmosis efficiency estimation. Water content is read-
ily measured, the electrolyte concentration is easily
determined using a conductivity cell, and the clay type
can be determined from plasticity and grain size in-
冉冊
qh
I P⫽0
⫽⫺ 冉冊
E
P I⫽0
(9.128)
formation if mineralogical data are not available. Elec-

This equivalence between streaming potential and elec-
troosmotic flow rates of 0.03 to 0.06 gal/h/amp are
troosmosis was first shown experimentally by Saxen
predicted using Fig. 9.32 for soils 11, 13, and 14 in
(1892) and is known as Saxen’s law. It has been ver-
Table 9.7. Electrical treatment for consolidation and
ified for clay–water–electrolyte systems. Care must be
ground strengthening was effective in these soils. For
taken to ensure consistency in units. For example, the
soil 12, however, a flow rate of 0.008 to 0.012 gal/h/
electroosmotic flow rate in gallons per hour per ampere
amp was predicted, and electroosmosis was not effec-
is equal to 0.0094 times the streaming potential in mil-
tive.
livolts per atmosphere.
Saxen’s Law Prediction of Electroosmosis from
Energy Requirements
Streaming Potential
The preceding analysis leads to a prediction of the
Streaming potential can be measured directly during a
amount of water moved per unit charge passed, for
measurement of hydraulic conductivity by using a
example, gallons or cubic meters of water per hour per
high-impedance voltmeter and reversible electrodes.
ampere or moles per faraday. If this quantity is denoted
Equivalence between streaming potential and elec-
by ki, then
troosmosis may be derived. Expansion of Eq. (9.57)
for coupled hydraulic and current flows gives
qh ⫽ ki I (9.129)
qh ⫽ LHH P ⫹ LHE E (9.122)
Unlike ke, ki varies over a wide range, as may be seen
I ⫽ LEH P ⫹ LEE E (9.123) in Fig. 9.32. The power consumption P is
in which qh is the hydraulic flow rate, I is the electric Eqh

current, LHH and LEE are the direct flow coefficients, P ⫽ E I ⫽ (in W) (9.130)
ki
LHE and LEH are the coupling coefficients for hydraulic
flow due to an electrical gradient and electrical flow for E in volts and I in amperes. The power consump-
due to a hydraulic gradient, P is the pressure drop, tion per unit volume of flow is
and E is the electrical potential drop.
In a usual hydraulic conductivity measurement,
there is no electrical current flow, so I ⫽ 0, and E is P E
⫽ ⫻ 10⫺3 (in kWh) (9.131)
the streaming potential. Equation (9.123) then becomes qh ki
Figure 9.32 Electroosmotic water transport as a function of water content, soil type, and
electrolyte concentration: (a) homoionic kaolinite and illite, (b) illitic clay and collodion
membrane, and (c) silty clay, illitic clay, and kaolinite.
297
Relationship Between ke and ki equations in place of Darcy’s law in consolidation

From Eqs. (9.108) and (9.129), the electroosmotic flow theory.
rate is given by
Assumptions
E The following idealizing assumptions are made:
qh ⫽ ki I ⫽ ke A (9.132)
L
1. There is homogeneous and saturated soil.
2. The physical and physicochemical properties of
Because E/I is resistance and L/(resistance ⫻ A) is the soil are uniform and constant with time.12
specific conductivity , Eq. (9.132) becomes 3. No soil particles are moved by electrophoresis.
4. The velocity of water flow by electroosmosis is
ke directly proportional to the voltage gradient.
ki ⫽ (9.133)
5. All the applied voltage is effective in moving wa-
ter.13
As ke varies within relatively narrow limits, Eq. (9.133) 6. The electrical field is constant with time.
shows that the electroosmotic efficiency, measured by 7. The coupling of hydraulic and electrical flows
ki, is a sensitive function of the electrical conductivity can be formulated by Eqs. (9.63) and (9.64).
of the soil. For soils 11, 13, and 14 in Table 9.7, is 8. There are no electrochemical reactions.
in the range of 0.02 to 0.03 S. For soil 12, in which
electroosmosis was not effective, is 0.25 S. In es- Governing Equations
sence, a high value of electrical conductivity means For one-dimensional flow between plate electrodes
that the current required to develop the voltage is too (Fig. 9.33a), Eq. (9.63) becomes
high for economical movement of water. In addition,
if high current is used, the generation of gas, heat, and k u V
electrochemical effects become excessive. qh ⫽ ⫺ h ⫺ ke (9.134)
w x x
for the flow rate per unit area. For radial flow for the
9.17 CONSOLIDATION BY ELECTROOSMOSIS conditions shown in Fig. 9.33b and a layer of unit
thickness
If, in a compressible soil, electroosmosis draws water
to a cathode where it is drained away and no water is
k u V
allowed to enter at the anode, then consolidation of the qh ⫽ ⫺ h 2r ⫺ ke 2r (9.135)
soil between the electrodes occurs in an amount equal w r r
to the volume of water removed. Water movement
away from the anode causes consolidation in the vi- Introduction of Eq. (9.134) in place of Darcy’s law
cinity of the anode. The effective stress must increase in the derivation of the diffusion equation governing
concurrently. Because the total stress in the vicinity of consolidation in one dimension leads to
the anode remains essentially unchanged, the pore wa-
ter pressure must decrease. Water drains at the cathode kh 2u 2V u
⫹ k ⫽ mv (9.136)
where there is no consolidation. Therefore, the total, w x2 e
x2
t
effective, and pore water pressures at the cathode re-
main unchanged. As a result, hydraulic gradient de- and
velops that tends to cause water flow from cathode to
anode. Consolidation continues until the hydraulic
force that drives water back toward the anode exactly
12
balances the electroosmotic force driving water toward Flow of water away from anodes toward cathodes causes a non-
uniform decrease in water content along the line between electrodes.
the cathode. This leads to changes in hydraulic conductivity, electroosmotic hy-
The usefulness of consolidation by electroosmosis draulic conductivity, compressibility, and electrical conductivity with
as a means for soil stabilization was established by a time and position. To account for these effects, which are discussed
by Mitchell and Wan (1977) and Acar et al. (1990), would greatly
number of successful field applications, for example, complicate the analysis because it would be highly nonlinear. Similar
Casangrande (1959) and Bjerrum et al. (1967). Two problems arise in classical consolidation theory, but the simple linear
questions are important: (1) How much consolidation theory developed by Terzaghi is adequate for most cases.
13
In most cases some of the electrical energy will be consumed by
will there be? and (2) How long will it take? Answers generation of heat and gases at the electrodes. To account for those
to these questions are obtained using the coupled flow losses, an effective voltage can be used (Esrig and Henkel, 1968).
CONSOLIDATION BY ELECTROOSMOSIS 299
kh u V
⫽ ⫺ke (9.139)
w x x
or
k
du ⫽ ⫺ e w dV (9.140)
kh
The solution of this equation is
k
u ⫽ ⫺ e w V ⫹ C (9.141)
kh
At the cathode, V ⫽ 0 and u ⫽ 0; therefore, C ⫽ 0,

and the pore pressure at equilibrium at any point is
given by
k
u ⫽ ⫺ e w V (9.142)
kh
where the values of u and V are those at any point of

interest. A similar result is obtained from Eq. (9.135)
Figure 9.33 Electrode geometries for analysis of consoli- for radial flow.
dation by electroosmosis: (a) one-dimensional flow and (b) Equation (9.142) indicates that electroosmotic con-
radial flow. solidation continues at a point until a negative pore
pressure, relative to the initial value, develops that is
proportional to the ratio ke /kh and to the voltage at the
point. For conditions of constant total stress, there must
2u ke 2V 1 u be an equal and opposite increase in the effective
⫹ ⫽ (9.137)
x2
kh w
x2
cv t stress. This increase in effective stress causes the con-
solidation. For the one-dimensional case, consolidation
where mv is the compressibility and cv is the coefficient by electroosmosis is analogous to the loading shown
of consolidation. For radial flow, the use of Eq. (9.135) in Fig. 9.35.
gives For a given voltage, the magnitude of effective stress
increase that develops depends on ke /kh. As ke only
冉冊
varies within narrow limits for different soils, the total
2u ke 2V 1 u k V 1 u consolidation that can be achieved depends largely on
⫹ ⫹ ⫹ e w ⫽
r 2
kh w
r 2
r r kh r cv t kh. Thus, the potential for consolidation by electroos-
(9.138) mosis increases as soil grain size decreases because the
finer grained the soil, the lower is kh. However, the
amount of consolidation in any case depends on the
Both V and u are functions of position, as shown in soil compressibility as well as on the change in effec-
Fig. 9.34; V is assumed constant with time, whereas u tive stress. For linear soil compression with increase in
varies. effective stress, the coefficient of compressibility av is
Amount of Consolidation de de
av ⫽ ⫺ ⫽ (9.143)
When the hydraulic gradient that develops in response d du
to the differing amounts of consolidation between the
anode and cathode generates a counterflow (kh / w)/ or
(u/ x) that exactly balances the electroosmotic flow
ke(V/ x) in the opposite direction, consolidation is de ⫽ av du ⫽ ⫺av d (9.144)
complete. As there then is no flow, qh in Eqs. (9.14)
and (9.135) is zero. Thus Eq. (9.134) is in which d is the increase in effective stress.
Figure 9.34 Assumed variation of voltage with distance during electroosmosis: (a) one-
dimensional flow and (b) radial flow.
Thus, the more compressible the soil, the greater pendent on the voltage at the point. Accordingly, prop-
will be the amount of consolidation for a given stress erties at the end of treatment vary along a line between
increase, just as in the case of consolidation under ap- the anode and cathode, as shown, for example, by the
plied loads. It follows, also, that electroosmosis will be posttreatment variations in shear strength and water
of little value in an overconsolidated clay unless the content shown in Fig. 9.36. Values of these properties
effective stress increases are large enough to bring the before treatment are also shown for comparison. More
material back into the virgin compression range. uniform property distributions between electrodes can
The consolidation loading of any small element of be obtained if the polarity of electrodes is reversed
the soil is isotropic, as it is done by increasing the after partial completion of consolidation (Wan and
effective stress through reduction in the pore water Mitchell, 1976).
pressure. The entire soil mass being treated is not con- The results shown in Fig. 9.36 were obtained at a
solidated isotropically or uniformly, however, because site in Norway where electroosmosis was used for the
the amount of consolidation varies with position, de- consolidation of quick clay (Bjerrum et al., 1967). The
CONSOLIDATION BY ELECTROOSMOSIS 301
Figure 9.35 Consolidation by electroosmosis and by direct loading, one-dimensional case:

(a) electroosmosis and (b) direct loading.
variations in strength and water content after treatment voltage, and TV is the time factor, defined in terms of
are consistent with the patterns to be expected based the distance between electrodes L and real time t as
on the predicted variation of pore pressure decrease
and vertical strain stress increase with voltage and po- cvt
sition shown in Fig. 9.35. TV ⫽ (9.146)
L2
Rate of Consolidation where cv is the coefficient of consolidation, given by

Solutions for Eqs. (9.137) and (9.138) have been ob-
tained for several cases (Esrig, 1968, 1971). For the kh
one-dimensional case, and assuming a freely draining cv ⫽ (9.147)
mv w
(open) cathode and a closed anode (no flow), the pore
pressure is The average degree of consolidation U as a function
of time is
ke 2k V
冋冉冊册
u⫽ V(x) ⫹ e w 2 m
kh
冘
⬁
kh w 4 (⫺1)n 1
2
U⫽1⫺ exp ⫺ n ⫹ 2TV

冘 (n (⫹⫺1)1/2) sin冋(n ⫹ 1/2) 册
⬁ n
x 3 n⫽0 (n ⫹ 1/2)3 2

n⫽0
2
L (9.148)
冋冉冊册
exp ⫺ n ⫹
1 2 2
2
TV (9.145) Solutions for Eqs. (9.145) and (9.148) are shown in
Figs. 9.37 and 9.38. They are applied in the same way
as the theoretical solution for classical consolidation
where V(x) is the voltage at x, Vm is the maximum theory.
Figure 9.36 Effect of electroosmosis treatment on properties of quick clay at Ås, Norway
(from Bjerrum et al., 1967): (a) Undrained shear strength, (b) remolded shear strength, (c)
water content, and (d) Atterberg limits.
ELECTROCHEMICAL EFFECTS 303
Figure 9.39 Average degree of consolidation as a function

of dimensionless time for radial consolidation by electroos-
mosis (from Esrig, 1968). Reprinted with permission of
ASCE.
Figure 9.37 Dimensionless pore pressure as a function of
dimensionless time and distance for one-dimensional consol-
idation by electroosmosis. to pile driving, pile pulling, reduction of negative skin
friction, and recovery of buried objects. Special solu-
tions for in situ determination of soil consolidation
properties by electroosmosis measurements have also
been developed (Banerjee and Mitchell, 1980).
One of the most important points to be noted from
these solutions is that the rate of consolidation depends
completely on the coefficient of consolidation, which
varies directly with kh, but is completely independent
of ke. Low values of kh, as is the case in highly plastic
clays, mean long consolidation times. Thus, whereas a
low value of kh means a high value of ke /kh and the
potential for a high effective consolidation pressure, it
also means longer required consolidation times for a
given electrode spacing. The optimum situation is
when ke /kh is high enough to generate a large pore
water tension for reasonable electrode spacings (2 to 3
m) and maximum voltage (50 to 150 V DC), but kh is
Figure 9.38 Average degree of consolidation versus dimen-
sionless time for one-dimensional consolidation by electroos- high enough to enable consolidation in a reasonable
mosis. time. The soil types that best satisfy these conditions
are silts, clayey silts, and silty clays. Most successful
field applications of electroosmosis for consolidation
have been in these types of materials. As noted earlier,
A numerical solution to Eq. (9.138) gives the results the electrical conductivity of the soil is also important;
shown in Fig. 9.39 (Esrig, 1968, 1971). For the case if it is too high, as in the case of high-salinity pore
of two pipe electrodes, a more realistic field condition water, adverse electrochemical effects and unfavorable
than the radial geometry of Fig. 9.33b, Fig. 9.39 cannot economics may preclude use of electroosmosis for
be expected to apply exactly. Along a straight line be- consolidation.
tween two pipe electrodes, however, the flow pattern
is approximately the same as for the radial case for a
considerable distance from each electrode. 9.18 ELECTROCHEMICAL EFFECTS
A solution for the rate of pore pressure buildup at
the cathode for the case of no drainage (closed cath- The measured strength increases in the quick clay at
ode) is shown in Fig. 9.40. This condition is relevant Ås, Norway (Fig. 9.36), were some 80 percent greater
Figure 9.40 Dimensionless pore pressure at the face of a cylindrical electrode as a function
of dimensionless time for the case of a closed cathode (a swelling condition) (from Esrig
and Henkel, 1968).
than can be accounted for solely by reduction in water Chlorine may also form in a saline environment. Some
content. Also, the liquid and plastic limits were of the exchangeable cations on the clay may be re-
changed as a result of treatment. Consolidation alone placed by H⫹. Because hydrogen clays are generally
should have no effect on the Atterberg limits because unstable, and high acidity and oxidation cause rapid
changes in mineralogy, particle characteristics, and/or deterioration of the anodes, the clay will soon alter to
pore solution characteristics are needed to do this. the aluminum or iron form depending on the anode
In addition to movement of water when a DC volt- material. As a result, the soil is usually strengthened
age field is applied between metal electrodes inserted in the vicinity of the anode. If gas generation at the
into a wet soil, the following effects may develop: ion anode causes cavitation and heat causes desiccation,
diffusion, ion exchange, development of osmotic and cracking may occur. This will limit the negative pore
pH gradients, desiccation by heat generation at the pressure that can develop to a value less than 1 atm,
electrodes, mineral decomposition, precipitation of and also the electrical resistance will increase, leading
salts or secondary minerals, electrolysis, hydrolysis, to a loss in efficiency.
oxidation, reduction, physical and chemical adsorption, Hydrogen gas is generated at the cathode
and fabric changes. As a result, continuous changes in
soil properties that are not readily accounted for by the 4H2O ⫹ 4e⫺ → 2H2 ↑ ⫹ 4OH⫺ (9.150)
simplified theory developed previously must be ex-
pected. Some of them, such as electrochemical hard- Cations in solution are drawn to the cathode where
ening of the soil that results in permanent changes in they combine with (OH)⫺ that is left behind to form
plasticity and strength, may be beneficial; others, such
hydroxides. The pH may rise to values as high as 12
as heating and gas generation, may impair the effi-
at the cathode. Some alumina and silica may go into
ciency of electroosmosis. For example, heat and gas
solution in the high pH environment.
generation were so great that a field test of consoli-
More detailed information about electrochemical re-
dation by electroosmosis for foundation stabilization of
the leaning Tower of Pisa was unsuccessful. actions during electroosmosis can be found in Titkov
A simplified mechanism for some of the processes et al. (1965), Esrig and Gemeinhardt (1967), Chilingar
during electroosmosis is as follows. Oxygen gas is and Rieke (1967), Gray and Schlocker (1969), Gray
evolved at the anode by hydrolysis (1970), Acar et al. (1990), and Hamed et al. (1991).
Soil strength increases resulting from consolidation
2H2O ⫺ 4e⫺ → O2 ↑ ⫹ 4H⫹ (9.149) by electroosmosis and the concurrent electrochemical
hardening have application for support of foundations
Anions in solution react with freed H⫹ to form acids. on and in fine-grained soil. Pile capacity for a bridge
SELF-POTENTIALS 305
foundation in varved clay at a site in Canada was well 9.20 SELF-POTENTIALS
below the design value and inadequate for support of
the structure (Soderman and Milligan, 1961; Milligan, Natural DC electrical potential differences of up to
1994). Electrokinetic treatment using the piles as an- several tens of millivolts exist in the earth. These self-
odes resulted in sufficient strength increase to provide potentials are generated by differing chemical condi-
the needed support. Recently reported model tests by tions in adjacent soil layers, fluid flow, subsurface
Micic et al. (2003) on the use of electrokinetics in soft chemical reactions, and temperature differences. The
marine clay to increase the load capacity of skirt foun- self-potential (SP) method is one of the oldest geo-
dations for offshore structures resulted in increases in physical methods for characterization of the subsurface
soil strength and supporting capacity of up to a factor (National Research Council, 2000). Self-potentials
of 3. may be the source of phenomena of importance in geo-
technical problems as well.
The magnitude of self-potential between different
soil layers depends on the contents of oxidizing and
9.19 ELECTROKINETIC REMEDIATION reducing substances in the layers (F. Hilbert, in Veder,
1981). These potentials can cause a natural electroos-
The transport of dissolved and suspended constituents mosis in which water flows in the direction from the
into and out of the ground by electroosmosis and elec- higher to the lower potential, that is, toward the cath-
trophoresis, as well as electrochemical, reactions have ode. The process is shown schematically in Fig. 9.41.
become of increasing interest because of their potential An oxidizing soil layer is positive relative to a reducing
applications in waste containment and removal of con- layer, thus inducing an electroosmotic water flow to-
taminants from fine-grained soils. The electrolysis re- ward the interface. If water accumulates at the inter-
actions at the electrodes described in the preceding face, there can be swelling and loss of strength, leading
section, wherein acid is produced at the anode and base ultimately to formation of a slip surface.
at the cathode, are of particular relevance. After a few
days of treatment the pH in the vicinity of the anode Generation of Self-Potentials in Soil Layers
may drop to less than 2, and that at the cathode in-
crease to more than 10 (Acar and Alshewabkeh, 1993). Soils in an oxidizing environment are usually yellow
Toxic heavy metals are preferentially adsorbed by or tan to reddish brown and are characterized by oxides
clay minerals and they precipitate except at low pH. and hydrates of trivalent iron and a low pH relative to
Iron or aluminum cations from decomposing anodes reducing soils, which are usually dark gray to blue-
can replace heavy-metal ions from exchange sites, the gray in color and contain sulfides and oxides and hy-
acid generated at the anode can redissolve precipitated droxides of divalent iron. The local electrical potential
material, and the acid front that moves across the soil of the soil depends on the iron concentrations and
can keep the metals in solution until removed at the can be calculated from Nernst’s equation:
cathode. Geochemical reactions in the soil pores im-
pact the efficiency of the process. Among them are
complexation effects that reverse ion charge and
reverse flow directions, precipitation/dissolution,
sorption, desorption and dissolution, redox, and im-
mobilization or precipitation of metal hydroxides in the
high pH zone near the cathode.
Some success has been reported in the removal of
organic pollutants from soils, at least in the laboratory,
as summarized by Alshewabkeh (2001). However, it is
unlikely that large quantities of non-aqueous-phase liq-
uids can be effectively transported by electrokinetic
processes, except as the NAPL may be present in the
form of small bubbles that move with the suspending
water.
An in-depth treatment of the fundamentals of elec- Figure 9.41 Natural electroosmosis due to self-potential dif-
trokinetic remediation and the practical aspects of its ferences between oxidizing and reducing soil layers. The ox-
implementation are given by Alshewabkeh (2001) and idizing soil layer is positive relative to the reducing layer
the references cited therein. (redrawn from Hilbert, in Veder, 1981).
⫽ 0.771 ⫹
RT
F 冉冊
c3⫹
ln Fe
c2⫹
Fe
(9.151)
then ke /hh ⫽ 50 m/V. If the self-potential difference is
50 mV, then from Eq. (9.142) a pore pressure value of
in which the concentrations are of Fe in solution in u ⫽ 50 ⫻ 9.81 ⫻ 0.05 ⬇ 25 kPa

moles/liter pore water. The difference in potentials be-
tween two layers gives the driving potential for elec- is generated, which is not an insignificant value. If wa-
troosmosis. Values calculated using the Nernst ter that is driven toward the interface cannot escape or
equation are too high for actual soil systems because be absorbed by the soil, then the effective stress will
it applies for conditions of no current flow, and the be reduced by this amount. If the water is absorbed
flowing current also generates a diffusion potential act- into the clay layer, then softening will result. Either
ing in the opposite direction. Hilbert, in Veder (1981), way, the resistance to sliding along the interface will
gives the electrical potential as a function of the in situ be reduced.
pH, that is,
Landslide Stabilization Using Short-Circuit
Conductors
⫽ 0.186 ⫺ 0.059 pH (9.152)
If slope instability is caused by a slip surface between
Reasonable agreement has been obtained between reducing and oxidizing soil layers, then a simple means
measured and calculated values of for different soil for stabilization can be used (Veder, 1981). Short-
layers. The end result is that potential differences of circuiting conductors, such as steel rods, are driven
up to 50 mV or so are developed between different into the soil so that they extend across the slip surface
layers. Potentials measured in a trench excavated in a and about 1 to 2 m into the soil below. The mechanism
slide zone are shown in Fig. 9.42. that is then established is shown in Fig. 9.43.
Electric current generated by reduction reactions in
the oxidizing soil layer and oxidizing reactions in the
Excess Pore Pressure Generation by Self-Potentials reducing layer flows through the conductors. Because
The pore pressure that may develop at an interface be- of the presence of oxidizing agents such as ferric iron,
tween two different soil layers is given by Eq. (9.142) oxygen, and manganese compounds, in the upper ox-
in which V is the difference in self-potentials between idizing layer that take up electrons, electrons pass from
the layers. For a given value of V, the magnitude of the metal conductor to the soil. That is, the introduc-
pore pressure depends directly on ke /kh. For example, tion of electrons initiates reducing reactions. In the re-
if ke ⫽ 5 ⫻ 10⫺9 m2 /s V and kh ⫽ 1 ⫻ 10⫺10 m/s, ducing layer, on the other hand, there is already a
Figure 9.42 Electrical potentials measured in a trench cut into a slide (from Veder, 1981).
Reprinted with permission of Springer-Verlag.
THERMALLY DRIVEN MOISTURE FLOW 307
for use of short-circuiting conductors are (1) intact co-
hesive soils with a low hydraulic conductivity, (2)
shear between oxidizing and reducing clay layers, and
(3) a relatively thin, well-defined shear zone.
9.21 THERMALLY DRIVEN MOISTURE FLOW

Thermally driven flows in saturated soils are rather
small. Gray (1969) measured thermoelectric currents
on the order of 1 to 10 A/ C cm, with the warm side
positive relative to the cold side. Thermoosmotic pres-
sures of only a few tenths of a centimeter water head
per degree Celsius were measured in saturated soil. Net
flows in different directions have been measured in dif-
ferent investigations, evidently because of different
temperature dependencies of chemical activity coeffi-
cients. These small thermoelectric and thermoosmotic
effects in saturated soils may be of little practical sig-
Figure 9.43 Mechanism for slide stabilization using short- nificance in geotechnical problems.
circuiting conductors (adapted from Veder, 1981).
On the other hand, thermally driven moisture flows
in partly saturated soils can be large, and that these
flows can be very important in subgrade stability,
surplus of electrons. If these pass into the conductor, swelling soils, and heat transfer and storage problems
then the environment becomes favorable for oxidation of various types. Theoretical representations of mois-
reactions. Thus, positive charges are generated in the ture flow through partly saturated soils based solely on
reducing soil layer as the conductor carries electrons the application of irreversible thermodynamics, such as
away. The oxidizing soil layer then takes up these elec- developed by Taylor and Cary (1964), have not been
trons. completely successful. They underestimate the flows
Completion of the electrical circuit requires current substantially, perhaps because of the inability to ade-
flow through the soil pore water in the manner shown quately represent all the processes and interactions.
in Fig. 9.43, where adsorbed cations, shown as Na⫹, A widely used theory for coupled heat and moisture
plus the associated water, flow away from the soil layer flow through soils was developed by Philip and De
interface. This electroosmotic transport of water re- Vries (1957). It accounts for both liquid- and vapor-
duces the water content in the slip zone. Thus, short- phase flows. Vapor-phase flow depends on the thermal
circuit conductors have three main effects (Veder, and isothermal vapor diffusivities and is driven by tem-
1981): perature and moisture content gradients. The liquid-
phase flow depends on the thermal and isothermal
1. Natural electroosmosis is prevented because the liquid diffusivities and is driven by the temperature
short-circuiting conductors eliminate the poten- gradient, the moisture content gradient, and gravity.
tial difference between the two soil layers. The two governing equations are:
2. Electrochemical reactions produce electroos-
motic flow in the opposite direction, thus helping For vapor-phase flow:
to drain the shear zone.
3. Corrosion of the conductors produces high va- qvap
lence cations that exchange for lower valence ad- ⫽ ⫺DTVT ⫺ DV (9.153)
w
sorbed cations, for example, iron for sodium,
which leads to soil strengthening. and for liquid-phase flow:
Several successful cases of landslide stabilization
using short-circuiting conductors have been described qliq
⫽ ⫺DTLT ⫺ DL ⫺ k i (9.154)
by Veder (1981) and the references cited therein. Typ- w
ically, steel rods about 25 mm in diameter are used,
spaced a maximum of 3 to 4 m apart in grid patterns where qvap ⫽ vapor flux density (M/L2 /T)
covering the area to be stabilized. Conditions favorable w ⫽ density of water (M/L3)
T ⫽ temperature (K) in which is the surface tension of water (F/L).

⫽ volumetric water content (L3 /L3) Use of the above equations requires knowledge of
DTV ⫽ thermal vapor diffusivity (L2 /T/K) four relationships to describe the properties of the soils
DV ⫽ isothermal vapor diffusivity (L2 /T) in the system:
qliq ⫽ liquid flux density (M/L2 /T)
DTL ⫽ thermal liquid diffusivity (L2 /T/K) 1. Hydraulic conductivity as a function of water
DL ⫽ isothermal liquid diffusivity (L2 /T) content
k ⫽ unsaturated hydraulic conductivity (L/T) 2. Thermal conductivity as a function of water con-
i ⫽ unit vector in vertical direction tent
3. Volumetric heat capacity (see Table 9.2)
The thermal vapor diffusivity is given by 4. Suction head as a function of water content
DTV ⫽ 冉冊
D0
w
v[a ⫹ ƒ(a) ]h
d 0
dT 冉冊 (9.155) The hydraulic conductivity and suction relationships
are hysteretic; that is, they depend on whether the soil
The isothermal vapor diffusivity is given by is wetting or drying. Examples of the variations of the
different properties needed for the analysis are shown
DV ⫽ 冉冊冉冊冉冊
D0
w
hg
va 0
RT
d
d
(9.156)
in Fig. 9.44 as a function of degree of saturation and
volumetric water content. The data are for a crushed
limestone that is used for a trench backfill around bur-
where D0 ⫽ molecular diffusivity of water vapor in air ied electrical transmission cables. This material is used
(L2 /T) because of its low thermal resistivity, which makes it
v ⫽ mass flow factor ⫽ P/(P ⫺ p) suitable for effective dissipation of heat from the bur-
P ⫽ total gas pressure in pore space ied cable, provided the saturation does not fall below
p ⫽ partial pressure of water vapor in pore about 40 percent.
space The vapor flow is made up of a flow away from the
⫽ tortuosity factor high-temperature side that is driven by a vapor density
a ⫽ volumetric air content (L3 /L3) gradient and a return flow caused by variation in the
h ⫽ relative humidity of air in pores pore vapor humidity as reflected by variations in soil
⫽ ratio of average temperature gradient in suction. At moderate soil suction values, for example,
the air-filled pores to the overall temper- a few meters for sand and several tens of meters for
ature gradient clay, the thermal vapor diffusivity predominates, and
g ⫽ acceleration of gravity (L/T2) moisture is driven away from the heat source (McMil-
R ⫽ gas constant (FL/M/K) lan, 1985).
0 ⫽ density of saturated water vapor (M/L3) The isothermal diffusivity term only becomes im-
⫽ suction head of water in the soil (negative portant at very high suction levels. The liquid flow con-
head) (L) sists of a capillarity-driven flow toward the heat source
ƒ(a) ⫽ a/ak for 0 ⬍ a ⬍ ak and an outward liquid flow due to variations in water
⫽ 1 for a ak surface tension with temperature. McMillan’s analysis
ak ⫽ a at which liquid conductivity is lost or showed that for both sand and clay the isothermal liq-
at which the hydraulic conductivity falls uid diffusivity term was 4 to 5 orders of magnitude
below some arbitrary fraction of the sat- greater than the thermal liquid diffusivity term. Thus
urated value capillarity-driven flow predominates for any significant
gradient in the volumetric moisture content. The very
The thermal liquid diffusivity is given by small thermal liquid diffusivity is consistent with the
冉冊冉冊
observations noted earlier for saturated soils in which
d measured water flows under thermal gradients are
DTL ⫽ k (9.157)
dT small.
The total water flow q in an unsaturated soil under
The isothermal diffusivity is given by the action of a temperature gradient and its resulting
冉冊
water content gradient equals the sum of the vapor-
d phase and liquid-phase movements. Thus, from Eqs.
DL ⫽ k (9.158)
d (9.153) to (9.158),
THERMALLY DRIVEN MOISTURE FLOW 309
Figure 9.44 Examples of properties used for analysis of thermally driven moisture flow in
a partially saturated, compacted, crushed limestone: (a) particle size distribution, (b) suction
head as a function of volumetric water content, (c) hydraulic conductivity as a function of
degree of saturation and volumetric water content, (d) isothermal liquid diffusivity as a
function of degree of saturation and volumetric water content, (e) isothermal vapor diffusivity
as a function of degree of saturation and volumetric water content, and (f) Thermal water
diffusivity as a function of degree of saturation and volumetric water content. Thermal re-
sistivity as a function of water content for this soil is shown in Fig. 9.14.
q Equation (9.159) is the governing equation for mois-

⫽ ⫺(DTV ⫹ DTL)T ⫺ (DV ⫹ DL ) ⫺ ki
w ture movement under a thermal gradient in unsaturated
soils as proposed by Philip and De Vries (1957). Dif-
⫽ ⫺DTT ⫺ D ⫺ k i (9.159) ferentiation of this equation and application of the
continuity requirement gives the general differential
in which equation for moisture flow:
D ⫽ DTV ⫹ DTL ⫽ thermal water diffusivity k
⫽ (DTT) ⫹ (D) ⫹ (9.162)
(9.160) t z
and The heat conduction equation for the soil is

D ⫽ DV ⫹ DL ⫽ isothermal water diffusivity
(9.161)
T
t
k
冉冊
⫽ t T
C
(9.163)
where kt ⫽ thermal conductivity Table 9.2. Three topics are considered in this section:
C ⫽ volumetric heat capacity (1) the depth of frost penetration, which illustrates the
application of transient heat flow analysis, (2) frost ac-
The ratio of thermal conductivity to the volumetric tion in soils, a phenomenon of great practical impor-
heat capacity is the thermal diffusivity A. tance that can be understood through consideration of
Both transient and steady-state temperature distri- interactions of the physical and physicochemical prop-
butions computed using the Philip and De Vries theory erties of the soil, and (3) some effects of freezing on
incorporated into numerical models have agreed well the behavior and properties of the soil after thawing.
with measured values in a number of cases. The actual These topics are also covered in some detail by Konrad
moisture movements and distributions have not agreed (2001) and the references therein.
as well, for example, Abdel-Hadi and Mitchell (1981)
and Cameron (1986). The numerical simulations have
been done using transform methods, finite difference Depth of Frost Penetration
methods, the finite element method, and the integrated Accurate estimation of the depth of ground freezing
finite difference method. Cameron (1986) reformulated during the winter, the depth of thawing in permafrost
the equations in terms of suction head rather than areas during the summer, and the refrigeration and time
moisture content and incorporated them into the finite requirements for artificial ground freezing for tempo-
element model of Walker et al. (1981) for solution of rary ground stabilization are all problems involving
two-dimensional problems. transient heat flow analysis. They differ from the con-
duction analyses in the preceding sections in that the
9.22 GROUND FREEZING phase change of water to ice must be taken into ac-
count. Prediction of the maximum depth of frost pen-
Heat conduction in soils and rocks is discussed in Sec- etration illustrates this type of problem. Theoretical
tion 9.5, and values for thermal properties are given in solutions of this problem are based on a mathematical
GROUND FREEZING 311
analysis developed by Neumann in about 1860 (Berg- T 2T
⫽a 2 (9.168)
gren, 1943; Aldrich, 1956; Brown, 1964; Konrad, t z
2001).
The relationship between thermal energy u and tem- where a ⫽ kt /C is the thermal diffusivity (L2 /T). Equa-
perature T for a soil mass at constant water content is tion (9.168) is the one-dimensional, transient heat flow
shown in Fig. 9.45. In the absence of freezing or thaw- equation.
ing At the interface between frozen and unfrozen soil,
z ⫽ Z, and the equation of heat continuity is
u
⫽C (9.164)
T dZ
Ls ⫽ q ƒ ⫺ qu (9.169)
dt
The Fourier equation for heat flow is
where Ls is the latent heat of fusion of water and qƒ ⫺
T qu is the net rate of heat flow away from the interface.
qt ⫽ ⫺kt (9.165) Equation (9.169) can be written
z
In the absence of freezing or thawing, thermal conti- dZ T T

Ls ⫽ kƒ ƒ ⫺ ku u (9.170)
nuity and conservation of thermal energy require that dt z z
the rate of change of thermal energy of an element plus
the rate of heat transfer into the element equal zero, where the subscripts u and f pertain to unfrozen and
that is, for the one-dimensional case frozen soil, respectively. Simultaneous solution of Eqs.
(9.168) and (9.170) gives the depth of frost penetra-
u q tion.
⫹ ⫽0 (9.166) Stefan Formula The simplest solution is to assume
t z
that the latent heat is the only heat to be removed dur-
ing freezing and neglect the heat that must be removed
Using Eqs. (9.164) and (9.165), Eq. (9.166) may be
to cool the soil water to the freezing point, that is, the
written
thermal energy stored as volumetric heat is neglected.
This condition is shown by Fig. 9.46. For this case Eq.
T 2T (9.168) does not exist, and Eq. (9.170) becomes
C ⫽ kt 2 (9.167)
t z
dZ T
or Ls ⫽ kƒ s (9.171)
dt Z
where Ts is the surface temperature. The solution of

this equation is
Figure 9.45 Thermal energy as a function of temperature

for a wet soil. Figure 9.46 Assumed conditions for the Stefan equation.
Z⫽ 冉2kƒ 冕 T dt
Ls
s
冊
1/2
(9.172)
(9.170) has been made for the conditions shown in Fig.
9.48, assuming that the soil has a uniform initial tem-
perature that is T0 degrees above freezing and that the
surface temperature drops suddenly to Ts below freez-
ing (Aldrich, 1956). The solution is
冉冊
The integral of Ts dt is a measure of freezing intensity. 1/2
2kTst
It can be expressed by the freezing index F, which has Z⫽ (9.173)
units of degrees ⫻ time. Index F is usually given in Ls
degree-days. It is shown in relation to the annual tem-
perature cycle in Fig. 9.47. Freezing index values are where k is taken as an average thermal conductivity
derived from meteorological data. Methods for deter- for frozen and unfrozen soil. The dimensionless cor-
mination of freezing index values are given by Linell rection coefficient depends on the two parameters
et al. (1963), Straub and Wegmann (1965), McCormick shown in Fig. 9.49. The thermal ratio is given by
(1971), and others. Maps showing mean freezing index
values are available for some areas. It is important T0
⫽ (9.174)
when using such data sources to be sure that there are Ts
not local deviations from the average values that are
given. Different types of ground cover, local topogra- and the fusion parameter is
phy and vegetation, and solar radiation all influence
the net heat flux at the ground surface. C
⫽ T (9.175)
The Stefan equation can also be used to estimate the Ls s
summer thaw depth in permafrost; that is, the thickness
of the active layer. In this case the ground thawing An averaged value for the volumetric heats of frozen
index, also in degree-days and derived from meteoro- and unfrozen soil can be used for C in Eq. (9.175).
logical data, is used in Eq. (9.172) in place of the In application, the quantity Tst in Eq. (9.173) is re-
freezing index (Konrad, 2001). placed by the freezing index, and Ts in (9.175) is given
Modified Berggren Formula The Stefan formula by F/t, where t is the duration of the freezing period.
overpredicts the depth of freezing because it neglects The coefficient corrects the Stefan formula for ne-
the removal of the volumetric heats of frozen and un- glect of volumetric heat. For soils with high water con-
frozen soil. Simultaneous solution of Eqs. (9.168) and tent C is small relative to Ls; therefore, is small and
Figure 9.47 Freezing index in relation to the annual temperature cycle.

GROUND FREEZING 313
Figure 9.48 Thermal conditions assumed in the derivation of the modified Berggren for-
mula.
the Stefan formula is reasonable. For arctic climates, depths of frost penetration may be misleading if esti-
where T0 is not much above the freezing point, is mates for a proposed pavement or other structure are
small, is greater than 0.9, and the Stefan formula is needed because of differences in ground surface char-
satisfactory. However, in more temperate climates and acteristics and because the pavement or foundation
in relatively dry or well-drained soils, the correction base will be at different water content and density than
becomes important. the surrounding soil.
A comparison between theoretical freezing depths The solutions do not account for flow of water into
and a design curve proposed by the Corps of Engineers or out of the soil or the formation of ice lenses during
is shown in Fig. 9.50 for several soil types. The the- the freezing period. This may be particularly important
oretical curves were developed by Brown (1964) using when dealing with frost heave susceptible soils or
the modified Berggren equation and the thermal prop- when developing frozen soil barriers for the cutoff of
erties given in Fig. 9.13. groundwater flow. Methods for prediction of frost
Consideration should be given to the effect of dif- depth in soils susceptible to ice lens formation and the
ferent types of surface cover on the ground surface rate of heave are given by Konrad (2001). The initia-
temperature because air temperature and ground tem- tion of freezing of flowing groundwater requires that
perature are not likely to be the same, and the effects the rate of volumetric and latent heat removal be high
of thermal radiation may be important. Observed enough so that ice can form during the residence time
Figure 9.49 Correction coefficients for use in the modified Berggren formula (from Aldrich,
1956).
of an element of water moving between the boundaries a complex manner. If the cooling rate is too high, then
of the specified zone of solidification. the soil freezes before water can migrate to an ice lens,
so the heave becomes only that due to the expansion
Frost Heaving of water on freezing.
Three conditions are necessary for ice lens forma-
Freezing of some soils is accompanied by the forma-
tion and frost heave:
tion of ice layers or ‘‘lenses’’ that can range from a
millimeter to several centimeters in thickness. These 1. Frost-susceptible soil
lenses are essentially pure ice and are free from large 2. Freezing temperature
numbers of contained soil particles. The ground sur- 3. Availability of water
face may ‘‘heave’’ by as much as several tens of cen-
timeters, and the overall volume increase can be many Frost heaving can occur only where there is a water
times the 9 percent expansion that occurs when water table, perched water table, or pocket of water reason-
freezes. Heave pressures of many atmospheres are ably close to the freezing front.
common. The freezing of frost-susceptible soils be- Frost-Susceptible Soils Almost any soil may be
neath pavements and foundations can cause major dis- made to heave if the freezing rate and water supply
tress or failure as a result of uneven uplift during are controlled. In nature, however, the usual rates of
freezing and loss of support on thawing, owing to the freezing are such that only certain soil types are frost
presence of large water-filled voids. Ordinarily, ice susceptible. Clean sands, gravels, and highly plastic
lenses are oriented normal to the direction of cold-front intact clays generally do not heave. Although the only
movement and become thicker and more widely sep- completely reliable way to evaluate frost susceptibility
arated with depth. is by some type of performance test during freezing,
The rate of heaving may be as high as several mil- soils that contain more than 3 percent of their particles
limeters per day. It depends on the rate of freezing in finer than 0.02 mm are potentially frost susceptible.
GROUND FREEZING 315
Figure 9.50 Predicted frost penetration depths compared with the Corps of Engineers’ de-
sign curve (Brown, 1964). Curve a—sandy soil: dry density 140 lb / ft3, saturated, moisture
content 7 percent. Curve b—silt, clay: dry density 80 lb / ft3, unsaturated, moisture content
2 percent. Curve c—sandy soil; dry density 140 lb / ft3, unsaturated, moisture content 2
percent. Curve d—silt, clay: dry density 120 lb / ft3, moisture content 10 to 20 percent (sat-
urated). Curve e—silt, clay: dry density 80 lb / ft3 saturated, moisture content 30 percent.
Curve f—Pure ice over still water.
Frost-susceptible soils have been classified by the A method for the evaluation of frost susceptibility
Corps of Engineers in the following order of increasing that takes project requirements and acceptable risks
frost susceptibility: and freezing conditions into account as well as the soil
type is described by Konrad and Morgenstern (1983).
Mechanism of Frost Heave The formation of ice
lenses is a complex process that involves interrelation-
Group
ships between the phase change of water to ice, trans-
(increasing
port of water to the lens, and general unsteady heat
susceptibility) Soil Types
flow in the freezing soil. The following explanation of
F1 Gravelly soils with 3 to 20 percent the physics of frost heave is based largely on the mech-
finer than 0.02 mm anism proposed by Martin (1959). Although the Martin
F2 Sands with 3 to 15 percent finer (1959) model may not be correct in all details in the
than 0.02 mm light of subsequent research, it provides a logical and
F3 a. Gravelly soils with more than instructive basis for understanding many aspects of the
20 percent finer than 0.02- frost heave process.
mm sands, except fine silt The ice lens formation cycle involves four stages:
sands with more than 15
percent finer than 0.02 mm 1. Nucleation of ice
b. Clays with PI greater than 12 2. Growth of the ice lens
percent, except varved clays 3. Termination of ice growth
F4 a. Silts and sandy silts 4. Heat and water flow between the end of stage 3
b. Fine silty sands with more than and the start of stage 1 again
15 percent finer than 0.02
In reality, heat and water flows continue through all
mm
four stages; however, it is convenient to consider them
c. Lean clays with PI less than 12
separately.
percent
The temperature for nucleation of an ice crystal, Tn,
d. Varved clays
is less than the freezing temperature, T0. In soils, T0 in
pore water is less than the normal freezing point of

water because of dissolved ions, particle surface force
effects, and negative pore water pressures that exist in
the freezing zone. The freezing point decreases with
decreasing distance to particle surfaces and may be
several degrees lower in the double layer than in the
center of a pore. Thus, in a fine-grained soil, there is
an unfrozen film on particle surfaces that persists until
the temperature drops below 0C.
The face of an ice front has a thin film of adsorbed
water. Freezing advances by incorporation of water
molecules from the film into the ice, while additional
water molecules enter the film to maintain its thick-
ness. It is energetically easier to bring water to the ice
from adjacent pores than to freeze the adsorbed water
on the particle or to propagate the ice through a pore
constriction.
The driving force for water transport to the ice is an
equivalent hydrostatic pressure gradient that is gener-
ated by freezing point depression, by removal of the
water from the soil at the ice front, which creates a
higher effective stress in the vicinity of the ice than
away from it, by interfacial tension at the ice–water Figure 9.51 Temperature versus depth relationships in a
interface, and by osmotic pressure generated by the freezing soil.
high concentration of ions in the water adjacent to the
ice front. Ice formation continues until the water ten-
sion in the pores supplying water becomes great The quantity L is the latent heat. Supercooling of 1C
enough to cause cavitation, or decreased upward water is sufficient to lift 12.5 kg a distance of 10 mm. Al-
flow from below leads to new ice lens formation be- ternatively, the energy for heave may originate from
neath the existing lens. the thin water films at the ice surface (Kaplar, 1970).
The processes of freezing and ice lens formation As long as water can flow to a growing ice lens fast
proceed in the following way with time according to enough, the volumetric heat and latent heat can pro-
Martin’s theory. If homogeneous soil, at uniform water duce a temporary steady-state condition so that (dT/
content and temperature T0 above freezing, is subjected dz)A ⫽ (dT/dz)B. For example, silt can supply water at
to a surface temperature Ts below freezing, then the a rate sufficient for heave at 1 mm/h. After some time
variation of temperature with depth at some time is as the ability of the soil to supply water will drop because
shown in Fig. 9.51. The rate of heat flow at any point the water supply in the region ahead of the ice front
is ⫺kt(dT/dz). If dT/dz at point A is greater than at becomes depleted, and the hydraulic conductivity of
point B, the temperature of the element will drop. the soil drops, owing to increased tension in the pore
When water goes to ice, it gives up its latent heat, water. This is illustrated in Fig. 9.52, where hydraulic
which flows both up and down and may slow or stop conductivity data as a function of negative pore water
changes in the value of dT/dz for some time period, pressure are shown for a silty sand, a silt, and a clay,
thus halting the rate of advance of the freezing front all compacted using modified AASHTO effort, at a
into the soil. water content about 3 percent wet of optimum.
Ground heave results from the formation of a lens A small negative pore water pressure is sufficient to
at A, with water supplied according to the mechanisms cause water to drain from the pores of the silty sand,
indicated above. The energy needed to lift the over- and this causes a sharp reduction in hydraulic conduc-
lying material, which may include not only the soil and tivity. Because the clay can withstand large negative
ice lenses above, but also pavements and structures, is pore pressures without loss of saturation, the hydraulic
available because ice forms under conditions of super- conductivity is little affected by increasing reductions
cooling at a temperature T X ⬍ TFP, where TFP is the in the pore pressure (increasing suction). The small
freezing temperature. The available energy is decrease that is observed results from the consolidation
needed to carry the increased effective stress required
L(TFP ⫺ T X) to balance the reduction in the pore pressure. For the
F ⫽ (9.176)
TFP silt, water drainage starts when the suction reaches
GROUND FREEZING 317
which have now reduced the distance that water can
be from a particle surface. The temperature drop must
reach a depth where there is sufficient water available
after nucleation to supply a growing lens. The thicker
the overlying lens, the greater the distance, thus ac-
counting for the increased spacings between lenses
with depth. The greater the depth, the smaller the ther-
mal gradient, as may be seen in Fig. 9.51, where
(dT/dz)A ⬎ (dT/dz)A where A is on the temperature
distribution curve for a later time t2. Because of this,
the rate of heat extraction is slowed, and the temporary
steady-state condition for lens growth can be main-
tained for a longer time, thus enabling formation of a
thicker lens.
More quantitative analyses of the freezing and frost
heaving processes in terms of segregation potential,
rates, pressures, and heave amounts are available. The
Proceedings of the International Symposia on Ground
Freezing, for example, Jones and Holden (1988),
Nixon (1991), and Konrad (2001) provide excellent
sources of information on these issues.
Thaw Consolidation and Weakening

When water in soil freezes, it expands by about 9 per-
cent of its original volume. Thus a fully saturated soil
increases in volume by 9 percent of its porosity, even
Figure 9.52 Hydraulic conductivity as a function of negative
in the absence of ice segregation and frost heave. The
pore water pressure (from Martin and Wissa, 1972).
expansion associated with freezing disrupts the origi-
nal soil structure. When thawed, the water returns to
its original volume, the melting of segregated ice
about 40 kPa; however, a significant continuous water leaves voids, and the soil can be considerably more
phase remains until substantially greater values of suc- deformable and weaker that before it was frozen. Un-
tion are reached. der drained conditions and constant applied overburden
In sand, the volume of water in a pore is large, and stress, the soil may consolidate to a denser state than
the latent heat raises the freezing temperature to the it had prior to freezing. The lower the density of the
normal freezing point. Hence, there is no supercooling soil, the greater is the amount of thaw consolidation.
and no heave. Negative pore pressure development at The total settlement of foundations and pavements as-
the ice front causes the hydraulic conductivity to drop, sociated with thawing is the sum of that due to (1) the
so water cannot be supplied to form ice lenses. Thus phase change, (2) melting of segregated ice, and (3)
sands freeze homogeneously with depth. In clay, the compression of the weakened soil structure.
hydraulic conductivity is so low that water cannot be Testing of representative samples under appropriate
supplied fast enough to maintain the temporary steady- boundary conditions is the most reliable means for
state condition needed for ice lens growth. Heave in evaluating thaw consolidation. Samples of frozen soil
clay only develops if the freezing rate is slowed to well are allowed to thaw under specified levels of applied
below that in nature. Silts and silty soils have a com- stress and under defined drainage conditions, and the
bination of pore size, hydraulic conductivity, and freez- decrease in void ratio or thickness is determined. An
ing point depression that allow for large heave at example of the effects of freezing and thawing on the
normal freezing rates in the field. compression and strength of initially undisturbed Bos-
The freezing temperature penetrates ahead of a com- ton blue clay is shown in Fig. 9.53 from Swan and
pleted ice lens, and a new lens will start to form only Greene (1998). These tests were done as part of a
after the temperature drops to the nucleation temper- ground freezing project for ground strengthening to en-
ature. The nucleation temperature for a new lens may able jacking of tunnel sections beneath operating rail
be less than that for the one before because of reduced lines during construction of the recently completed
saturation and consolidation from the previous flows, Central Artery/Tunnel Project in Boston. Detailed
0
2
4 C1-UF
e0 = 1.064
Vertical Strain, εv (%)

6
8 C4-FT
e0 = 1.171
10
12
14
16
18
20
22
10 100 1000 10000
Effective Stress, σc (kPa)
(a)
120
100
Deviator Stress, σ1 – σ3 (kPa)
UUC1-UF
80 (σ1–σ3)max = 109.6 kPa
ε1 = 2.3%
su/σ3cell = 0.36
60 e0 = 1.02; w = 37.5%
40
UUC4-FT
(σ1– σ3)max = 42.4 kPa
20 ε1 = 12.8%
su/σ3cell = 0.14
e0 = 1.13; w = 43.2%
0
0 5 10 15 20 25
Axial Strain. %
(b)
Figure 9.53 (a) Comparison between the compression behavior of unfrozen (C1-UF) and
frozen then thawed (C4-FT) samples of Boston blue clay. (b) Deviator stress vs. axial strain
in unconsolidated–undrained triaxial compression of unfrozen (UUC1-UF) and frozen and
thawed (UUC4-FT) Boston blue clay (from Swan and Greene, 1998).
analysis of the thaw consolidation process and its an- cations are usually temporary, and they have the ad-
alytical representation is given by Nixon and Ladanyi vantage that the ground is not permanently altered,
(1978) and Andersland and Anderson (1978). except for such property changes as may be caused by
the freeze–thaw processes. Returning the ground to its
pristine state may be important for environmental rea-
Ground Strengthening and Flow Barriers by
sons where alternative methods for stabilization could
Artificial Ground Freezing
permanently change the state and composition of the
Artificial ground freezing has applications for formation subsoil.
of seepage cutoff barriers in situ, excavation support, Freezing is usually accomplished by installation of
and other ground strengthening purposes. These appli- freeze pipes and circulation of a refrigerant. For emer-
gency and rapid ground freezing, expendable refrig- 160
erants such as liquid nitrogen or carbon dioxide in an
open pipe can be used. The thermal energy removal
and time requirements for freezing the ground can be
calculated using the appropriate thermal conductivity,
volumetric heat, and latent heat properties for the
120
ground and heat conduction theory in conjunction with First Second Third
the characteristics of the refrigeration system (Sanger, Stage Stage Stage
1968; Shuster, 1972; Sanger and Sayles, 1979). For
many applications the energy required to freeze the
ground in kcal/m3 will be in the range of 2200 to 2800
Natural Strain, ε -%
times the water content in percent (Shuster, 1972). 80
However, if the rate of groundwater flow exceeds about Pa
M
1.5 m/day, it may be difficult to freeze the ground 55 Temperature
0. Effect
without a very high refrigeration capacity to ensure =
,σ
that the necessary temperature decrease and latent heat °C
0
removal can be accomplished within the time any el- =
T
ement of water is within the zone to be frozen. 40
The long-term strength and stress–strain character-
istics of frozen ground depend on the ice content, tem- Pa
,σ= 0.55 M
perature, and duration of loading. The short-term T= –2.2 °C
Stress effect
strength under rapid loading, which can be up to 20
MPa at low temperature, may be 5 to 10 times greater T = –2.2 °C, σ = 0.138 MPa
than that under sustained stresses. That is, frozen soils 0
0 10 tf 20 30
are susceptible to creep strength losses (Chapter 12). Time, t (hr)
The deformation behavior of frozen soil is viscoplastic,
and the stress and temperature have significant influ- Figure 9.54 Creep curves for a frozen organic silty clay
ence on the deformation at any time. The creep curves (from Sanger and Sayles, 1979).
in Fig. 9.54 illustrate these effects. The onset of the
third stage of creep indicates the beginning of failure.
The evaluation of stability of frozen soil masses, the
prediction of creep deformation, and the possibility of the permeability of soils to water and how this property
creep rupture are complex problems because of het- depends on soil type, especially gradation, and is
erogeneous ground conditions, irregular geometries, sensitive to testing conditions, soil fabric, and en-
and temperature and stress variations throughout the vironmental factors. The understanding of these fun-
frozen soil mass. Design and implementation consid- damentals is important, not only because of the
erations for use of ground freezing in construction are insights provided but also because many of the same
given by Donohoe et al. (1998). considerations apply to the several other types of flows
that are known to be important—chemical, electrical,
and thermal. Knowledge of one is helpful in the un-
9.23 CONCLUDING COMMENTS derstanding and quantification of the other because the
mathematical descriptions of the flows follow similar
Conductivity properties are one of the four key dimen- force-flux relationships.
sions of soil behavior that must be understood and At the same time it is necessary to take into account
quantified for success in geoengineering. The other that the flows of fluids of different composition and the
three dimensions are volume change, deformation and application of hydraulic, chemical, electrical, and ther-
strength, and the influences of time. They form the mal driving forces to soils can cause changes in com-
subjects of the following three chapters of this book. positions and properties, with differing consequences,
Water flows through soils and rocks under fully sat- depending on the situation. Furthermore, as examined
urated conditions have been the most studied, and hy- in considerable detail in this chapter, flow coupling can
draulic conductivity properties, their determination and be important, especially advective and diffusive chem-
application for seepage studies of various types, con- ical transport, electroosmotic water and chemical flow,
struction dewatering, and the like are central to geo- and thermally driven moisture flow. Considerable im-
technical engineering. One objective of this chapter has petus for research on these processes has been gener-
been to elucidate the fundamental factors that control ated by geoenvironmental needs, including enhanced
and more economical waste containment and site re- 6. How can the effects of incompatibility between
mediation strategies. chemicals in a waste repository and a compacted
Ground freezing, in addition to its importance in en- clay liner best be minimized?
gineering and construction in cold regions, is seeing
7. Two parallel channels, one with flowing water and
new applications for temporary ground stabilization
the other with contaminated water, are 100 ft apart.
needed for underground construction in sensitive urban
areas. The surface elevation of the contaminated channel
is 99 ft, and the surface elevation of the clean wa-
ter channel is at 97 ft. The soil between the two
QUESTIONS AND PROBLEMS channels is sand with a hydraulic conductivity of
1 ⫻ 10⫺4 m/s, a dry unit weight of 100 pcf, and
1. A uniform sand with rounded particles has a void a specific gravity of solids of 2.65. Estimate the
ratio of 0.63 and a hydraulic conductivity, k, of 2.7 time it will take for seepage from the contaminated
⫻ 10⫺4 m/s. Estimate the value of k for the same channel to begin flowing into the initially clean
sand at a void ratio of 0.75. channel. Make the following assumptions and sim-
2. The soil profile at a site that must be dewatered plifications:
consists of three homogeneous horizontal layers of a. Seepage is one dimensional.
equal thickness. The value of k for the upper and b. The only subsurface reaction is adsorption onto
lower layers is 1 ⫻ 10⫺6 m/s and that of the mid- the soil particles.
dle layer is 1 ⫻ 10⫺4 m/s. What is the ratio of the c. The soil–water partitioning coefficient is 0.4
average hydraulic conductivity in the horizontal cm3 /g.
direction to that in the vertical direction?
d. Hydrodynamic dispersion can be ignored.
3. Consider a zone of undisturbed San Francisco Bay
8. For the compacted clay waste containment liner
mud free of sand and silt lenses. Comment on the
shown below and assuming steady-state condi-
probable effect of disturbance on the hydraulic
tions:
conductivity, if any. Would this material be ex-
pected to be anisotropic with respect to hydraulic a. What is the contaminant transport for pure
conductivity? Why? molecular diffusion?
b. What is the contaminant transport rate for pure
4. Assume the specific surface of the San Francisco advection?
Bay mud in Question 3 is 50 m2 /g and prepare a
c. What is the contaminant transport rate for ad-
plot of the hydraulic conductivity in meters/sec-
ond as a function of water content over the range vection plus diffusion?
of 100 percent decreased to 25 percent by consol- d. Why don’t the answers to parts (a) and (b) add
idation using the Kozeny–Carman equation. up to (c)?
Would you expect the actual variation in hydraulic
conductivity as a function of water content to be
of this form? Why? Sketch the variation you
would expect and explain why it has this form.
5. At a Superfund site a plastic concrete slurry wall
was proposed as a vertical containment barrier
against escape of liquid wastes and heavily con-
taminated groundwater. The subsurface conditions
consist of horizontally bedded mudstone and silt-
stone above thick, very low permeability clay
shale. The cutoff wall was to extend into the slay
shale, which has been shown to be able to serve
as a very effective bottom barrier. For the final
design and construction, however, a 3-ft-wide NOTE: Advection and diffusion are in the
gravel trench was used instead of the slurry wall. same direction; therefore, J ⬎ 0, and the so-
Sumps and pumps placed in the bottom of the
lution will be in the form
trench are used to collect liquids. Explain how this
trench can serve as an effective cutoff and discuss
the pros and cons of the two systems. c ⫽ a1ea2x ⫹ a3
9. One-dimensional flow is occurring by electroos-
mosis between two electrodes spaced at 3.0 m with
a potential drop of 100 V (DC) between them.
What should the water flow rate be if the coeffi-
cient of electroosmotic permeability, ke, is 5 ⫻
10⫺9 m2 /s V assuming an open system? If no wa-
ter is resupplied at the anode, what maximum con-
solidation pressure should develop at a point
midway between electrodes if the hydraulic con-
ductivity of the soil is 1 ⫻ 10⫺8 m/s?
Assume that the water pressure at the top of the leach-
10. a. A soil has a coefficient of electroosmotic per- ate collection layer is atmospheric and that the only
meability equal to 0.3 ⫻ 10⫺8 m/s per V/m fluxes across the liner are water and electricity. The
and a hydraulic conductivity of 6 ⫻ 10⫺9 m/s. characteristics of the compacted clay liner are:
Starting from the general relationship
Hydraulic conductivity
Ji ⫽ Lij Xj kh ⫽ 1 ⫻ 10⫺7 m/s
Electroosmotic coefficients
derive an expression for the pore water tension ke ⫽ 2 ⫻ 10⫺9 m2 /s V
that may be developed under ideal conditions
for consolidation of the clay by electroosmosis ki ⫽ 0.2 ⫻ 10⫺6 m3 /s amp
and compute the value that should develop at a a. Wire mesh is proposed for use as electrodes.
point where the voltage is 25 V. Be sure to Where would you place the anode and cathode
indicate correct units with your answers. meshes?
b. In the absence of electrochemical effects or b. If the waste pond is to be filled to an average
cavitation, would you consider your answer to depth of 6 m, what voltage drop should be
part (a) to represent an upper or lower bound maintained between the electrodes?
estimate of the pore water tension? Why? c. What will the power cost be per hectare of im-
(HINT: Consider the influence of consolidation poundment per year? Power costs $0.09 per
on the soil properties that are used to predict kWh.
the pore water tension.) d. Assume that the leachate collection layer is
11. In 1892 Saxen established that there is equivalence flushed continuously with freshwater and that
between electroosmosis and streaming potential the liquid waste contains dissolved salts. Write
such that the results of a hydraulic conductivity the complete set of equations that would be re-
test in which streaming potential is measured can quired to describe all the flows across the liner
be used to predict the volume flow rate during during electroosmosis. Define all terms.
electroosmosis in terms of the electrical current. e. Will maintenance of a no hydraulic flow con-
Starting with the general equations for coupled dition ensure that no leachate will escape
electrical and hydraulic flow, derive Saxen’s law. through the clay liner? Why?
What will be the drainage rate from a soil, in
13. a. Estimate the minimum footing depths for struc-
m3 /h amp, if the streaming potential is 25 mV/
tures in a Midwestern city where the freezing
atm? What will be the cost of electrical power per
index is 750 degree-days and the duration of
cubic meter of water drained if electricity costs
the freezing index is 100 days. The mean an-
$0.10 per kWh and a maximum voltage of 75 V
nual air temperature is 50F. The soil is silty
is used? clay with a water content of 20 percent and a
12. It might be possible to prevent leakage of hazard- dry unit weight of 110 lb/ft3. Assume no ice
ous and toxic chemicals through waste impound- segregation and compare values according to
ment and landfill clay or geosynthetic-clay liners the Stefan and modified Berggren formulas.
by means of an electroosmosis counterflow barrier b. What will be the depth of frost penetration be-
against hydraulically driven seepage. Consider the low original ground surface level if a surface
impoundment and liner system shown below. heave of 6 inches develops due to ice lens for-
mation? Assume a frozen ground temperature through the liner as a function of the hydraulic
of 32F. conductivity. Show in the same diagram the
c. If a pavement is to be placed over the soil, what proportions of the total that are attributable to
thickness of granular base course should be diffusion and advection.
used to prevent freezing of the subgrade? The Assume that the leachate collection layer is
base course will be compacted to a dry density fully drained, but for purposes of analysis the
of 125 lb/ft3 at a water content of 15 percent. fluid level can be considered at the bottom of
If the pavement structure is to contain an 8- the clay. Determine the leakage rate through
inch-thick Portland cement concrete surface the liner per unit area as a function of the hy-
layer, will your result tend to overestimate or draulic conductivity and show it on a diagram.
underestimate the base thickness required? 15. The diagram below shows the cross section of a
Why? tunnel and underlying borehole in which waste
14. A compacted fine-grained soil is to be used as a canisters for spent nuclear fuel are located. Such
liner for a chemical waste storage area. Free liquid an arrangement is proposed for deep (e.g., several
leachate and possibly some heavier than water hundred meters) burial of nuclear waste in crys-
free phase nonsoluble, nonpolar organic liquids talline rock. The surrounding rock can be assumed
(DNAPLs) may accumulate in some areas as a re- fully saturated, and the groundwater table will be
sult of rupturing and corrosion of the drums in within a few tens of meters of the ground surface.
which they were stored. Two sources of soil for Thermal studies have shown that the temperature
use in the liner are available. They have the fol- of the waste canister will rise to as high as 150C
lowing properties: at its surface. A canister life of about 100 years is
anticipated using either stainless steel or copper
for the material. The surrounding environment
Property Soil A Soil B must be safe against leakage of radionuclides from
the repository for a minimum of 100,000 years.
Unified class (CH) (CL)
Liquid limit (%) 90 45
Plastic limit (%) 30 25
Clay size (%) 50 30
Silt size (%) 30 40
Sand size (%) 20 30
Predominant clay Smectite Illite
mineral
Cation exchange 60 20
capacity (meg/100 g)
a. Which of the two soils would be best suited for

use in the liner? Why?
b. What tests would you use to validate your
choice? Why?
c. Assume that you have confirmed that it will be
possible to compact the soil to states that will
have hydraulic conductivities in the range of 1
⫻ 10⫺8 to 1 ⫻ 10⫺11 m/s. A liner thickness of
0.6 m is proposed. Leachate is likely to accu-
mulate to a depth of 1.0 m above the top of the
liner. A leachate collection layer will underlie
the liner.
d. If the concentration of dissolved salts in the
leachate is 1.0 M and the average diffusion co-
efficient is 5 ⫻ 10⫺10 m2 /s, determine for the
steady state the total amount of dissolved
chemical per unit area per year that will escape
Clay or a mix of clay with other materials such as c. Assess the probable natures and directions of
sand and crushed rock is proposed for use as the heat and fluid flows that will develop, if any.
fill both around the canisters and in the tunnel. d. What alterations might occur in the material
a. What are the most important properties that the during the life of the repository if any? Con-
backfill should possess to ensure isolation and sider the effects of groundwater from the sur-
buffering of the waste from the outside envi- rounding ground, corrosion of the canister, and
ronment? the prolonged exposure to high temperature.
b. What clay material would you propose for this Would each of these alternations be likely to
application and under what conditions would enhance or impair the effectiveness of the clay
you place it? pack?
CHAPTER 10
Volume Change Behavior
10.1 INTRODUCTION the void ratios encompass virtually the full range from
fresh sediments to shale. Mechanical and chemical
Volume changes in soils are important because they changes accompany and influence the densification
determine settlements due to compression, heave due process. In general, the void ratio–effective pressure
to expansion, and contribute to deformations caused by relationship is related to grain size and plasticity in the
shear stresses. Changes in volume cause changes in manner shown by Fig. 10.2b.
strength and deformation properties that, in turn, influ- Particle size and shape, which together determine
ence stability. Volume changes are induced by changes specific surface area, are the most important factors
in applied stresses, chemical and moisture environ- influencing both the void ratio at any pressure and the
ments, and temperature. The effects of stress changes effects that physicochemical and mechanical factors
are generally the most important and have been the have on consolidation and swelling (Meade, 1964).
most studied. Particle size and shape are direct manifestations of
In this chapter, factors contributing to volume composition, with increasing colloidal activity and ex-
change are discussed, and their relative importance is
pansiveness associated with decreasing particle sizes.
considered. Emphasis is on consolidation and swelling.
Values of compression index, Cc, defined in Fig.
Shrinkage is a special case of consolidation, wherein
10.1, from less than 0.2 to as high as 17 for specially
the consolidation pressure is developed internally from
prepared sodium montmorillonite under low pressure
capillary menisci and the surface tension of water.
have been measured, although values less than 2.0 are
Reader familiarity with the phenomenological as-
usual. The compression index for most natural clays is
pects of compression and swelling as ordinarily treated
less than 1.0, with a value less than 0.5 in most cases.
in geotechnical engineering is assumed, as described
by the idealized void ratio–effective pressure relation- The swelling index, Cs, is less than the compression
ships shown in Fig. 10.1. Unless otherwise noted, the index, usually by a substantial amount, as a result of
discussion in this chapter is based on the behavior in particle rearrangement during compression that does
one-dimensional deformation conditions. Although the not recur during expansion. After one or more cycles
mathematics and numerical analyses needed for quan- of recompression and unloading accompanied with
tification of volume changes in two or three dimen- some irrecoverable volumetric strain, the reloading and
sions are more complex, the phenomena and processes swelling indices measured in the preyield region be-
that control the behavior are the same. come nearly equal. Swelling index values for three
clay minerals, muscovite, and sand are listed in Table
10.1. For undisturbed natural soils the swelling index
10.2 GENERAL VOLUME CHANGE BEHAVIOR
values are usually less than 0.1 for nonexpansive ma-
OF SOILS terials to more than 0.2 for expansive soils.
The compressibility of dense sands and gravels is
Soil void ratio is normally in the range of about 0.5 to far less than that of normally consolidated clays; none-
4.0, as shown in Fig. 10.2. Although the range of pres- theless, volume changes under high pressures may be
sures of interest in most cases (up to a few hundred substantial in granular materials as shown in Fig. 10.3.
kilopascals) is relatively small on a geological scale, At low stress levels, the compressibility of sand de-
325
326 10 VOLUME CHANGE BEHAVIOR
Figure 10.1 Idealized void ratio–effective stress relationships for a compressible soil.
Figure 10.2 Compression curves for several soils (redrawn from Lambe and Whitman,
1969).
PRECONSOLIDATION PRESSURE 327
Table 10.1 Swelling Index Values for Several Minerals
Pore Fluid, Adsorbed Cations, Void Ratio at Effective

Electrolyte Concentration, in Gram Consolidation Pressure of
Mineral Equivalent Weights per Liter 100 psf (5 kPa) Swelling Index
(1) (2) (3) (4)
Kaolinite Water, sodium, 1 0.95 0.08
Water, sodium, 1 ⫻ 10⫺4 1.05 0.08
Water, calcium, 1 0.94 0.07
Water, calcium, 1 ⫻ 10⫺4 0.98 0.07
Ethyl alcohol 1.10 0.06
Carbon tetrachloride 1.10 0.05
Dry air 1.36 0.04
Illite Water, sodium, 1 1.77 0.37
Water, sodium, 1 ⫻ 10⫺3 2.50 0.65
Water, calcium, 1 ⫻ 10⫺3 1.59 0.31
Dry air 1.46 0.04
Smectite Water, sodium, 1 ⫻ 10⫺1 5.40 1.53
Water, sodium, 5 ⫻ 10⫺4 11.15 3.60
Water, calcium, 1 ⫻ 10⫺3 2.18 0.34
Muscovite Water 2.19 0.42
Dry air 2.29 0.41
Sand 0.01 to 0.03
From Olson and Mesri (1970). Reprinted with permission of ASCE.
pends on initial density. However, at higher stress lev-

els, yielding is observed, and the compression curves
for a given sand at different initial densities merge into
a unique compression line. Particle crushing is the pri-
mary cause of the large volumetric strains that occur
along the normal compression line. The yield stress is
related to particle tensile strength (McDowell and Bol-
ton, 1998; Nakata et al., 2001).
Compressibility data for several sands, gravels, and
rockfills are shown in Fig. 10.4. At a pressure of 700
kPa (100 psi) a compression of 3 percent is common,
and values as high as 6.5 percent have been measured.
Interestingly, the compacted shells of a rockfill dam
are sometimes more compressible than the compacted
clay core.
10.3 PRECONSOLIDATION PRESSURE
Figure 10.3 Compressibility of three sands under high pres- Three different relationships between the present over-
sure (from Pestana and Whittle, 1995). burden effective stress v0 and the maximum past over-
Figure 10.4 Field compressibility of earth and rockfill materials (from Wilson, 1973). Re-
printed with permission from John Wiley & Sons.
burden effective stress vm are possible for the soil at solidation, and overconsolidated clays become
a site: normally consolidated clays when loaded beyond
their maximum past pressure.
1. vm ⬍ v0 —Underconsolidated The soil has 3. vm ⬎ v0 —Overconsolidated or Preconsol-
not yet reached equilibrium under the present idated The soil has been consolidated, or be-
overburden owing to the time required for con- haves as if consolidated, under an effective stress
solidation. Underconsolidation can result from greater than the present overburden effective
such conditions as deposition at a rate faster than stress. Characteristics, causes, and mechanisms
consolidation, rapid drop in the groundwater ta- of preconsolidation are summarized in Table
ble, insufficient time since the placement of a fill 10.2. Cemented or structured soil may behave
or other loading for consolidation to be com- like an overconsolidated soil; the yield pressure
pleted, and disturbance that causes a structure is larger than the maximum past pressure even
breakdown and decrease in effective stress. though the soil has not experienced a pressure
2. vm ⫽ v0 —Normally Consolidated The soil is greater than the present overburden stress.
in effective stress equilibrium with the present
overburden effective stress. Surprisingly few, if Accurate knowledge of the maximum past consoli-
any, deposits have been encountered that are ex- dation pressure is needed for reliable predictions of
actly normally consolidated. Most are at least settlement and to aid in the interpretation of geologic
very slightly overconsolidated as a result of history. If the recompression to virgin compression
processes of the type summarized in Table 10.2. curve does not show a well-defined break, such as at
Underconsolidated soil behaves as normally point B in Fig. 10.1, the preconsolidation pressure is
consolidated soil until the end of primary con- difficult to determine. Gentle curvature of the com-
PRECONSOLIDATION PRESSURE 329
Table 10.2 Preconsolidation Mechanisms for Horizontal Deposits Under Geostatic Stresses
Stress
History In situ Stress
Category Description Profile Condition Remarks/References
A. Mechanical one 1. Changes in total Uniform with K0, but value at Most obvious and
dimensional vertical stress constant given OCR varies easiest to identify
(overburden, p ⫺ v0 for reload versus
glaciers, etc.) unload
2. Changes in pore (except with
pressure seepage)
(water table,
seepage
conditions,
etc.)
B. Desiccation 1. Drying due to Often highly Can deviate from Drying crusts found at
evaporation, erratic K0, e.g., isotropic surface of most
vegetation, capillary stresses deposits; can be at
etc. depth within deltaic
deposits
2. Drying due to
freezing
C. Drained creep 1. Long-term Uniform with K0, but not Leonards and Altschaeffl
(aging) secondary constant necessarily (1964); Bjerrum
compression p / v0 normally (1967)
consolidated
value
D. Physicochemical 1. Natural Poorly understood and
cementation often difficult to
due to prove. Very
carbonates, pronounced in eastern
silica, etc. Canadian clays, e.g.,
2. Other causes of Not uniform No information Sangrey (1972),
bonding due Bjerrum (1973), and
to ion Quigley (1980)
exchange,
thixotropy,
‘‘weathering’’
etc.
After Jamiolkowski et al., 1985.
pression curve over the preconsolidation pressure Fig. 10.6 from Leroueil et al. (1990). The higher values
range is characteristic of sands, weathered clays, heav- of apparent preconsolidation pressure associated with
ily overconsolidated clays, and disturbed clays. the faster rates of loading reflect the influences of the
The rate of loading and time have significant effects viscous resistance of the soil structure. The rate-
on the equilibrium void ratio–effective stress relation- dependent value of preconsolidation pressure, p can
ship, especially for sensitive structured clays as shown be approximated by (e.g., Leroueil et al., 1985)
in Fig. 10.5. It is not surprising, therefore, that rate of
loading and time influence also the measured precon- log( p) ⫽ A ⫹ B log(˙a) (10.1)
solidation pressure. The preconsolidation pressure de-
creases as the duration of load application increases where ˙ a is the vertical strain rate in one-dimensional
and as the rate of deformation decreases, as shown by consolidation, and A and B are fitting parameters. Typ-
Constant Rate of Strain Tests at 5 °C

100 Constant Rate of Strain Tests at 25 °C
Preconsolidation Pressure (kPa)

90 Constant Rate of Strain Tests at 35 ° C
Creep Tests at 25 °C 5 °C
80
70 25 °C
60 35 °C
50
Conventional
Consolidation Test at
40 Conventional Consolidation
25 °C (At End of Primary
Test at 25 °C (After 24
Consolidation State)
Hours of Loading)
30
10 -9 10 -8 10 -7 10 -6 10-5 10-4
Volumetric Strain Rate (s-1)
Figure 10.7 Effect of compression strain rate and tempera-

ture on measured preconsolidation pressure of Berthierville
Figure 10.5 Compression curves corresponding to different clay (from Leroueil and Marques, 1996).
times after the completion of primary consolidation.
dictions of field behavior are possible only if

undisturbed samples or in situ tests are used for deter-
mination of properties. The following factors, several
of which are treated in more detail in later sections,
are important in determining resistance to volume
change.
Physical Interactions Between Particles Physical
interactions include bending, sliding, rolling, and
crushing of soil particles. Physical interactions are
more important than physicochemical interactions at
high pressures and low void ratios.
Physicochemical Interactions Between Particles
These interactions depend on particle surface forces
that are responsible for double-layer interactions, sur-
Figure 10.6 Effect of load duration increment and defor- face and ion hydration, and interparticle attractive
mation rate on compression curves (Leroueil et al., 1990). forces. Physicochemical interactions are most impor-
(a) Ottawa clay (data from Crawford, 1964). (b) Bäckebol tant in the formational stages of fine-grained soil de-
clay (data from Sällfors, 1975). posits when they are at low pressures and high void
ratios.
Chemical and Organic Environment Chemical
ical examples of the fitting for the results of different precipitates cement particles together. Organic matter
types of compression tests on Berthierville clay are influences surface forces and water adsorption prop-
shown in Fig. 10.7 (Leroueil and Marques, 1996). The erties, which, in turn, increase the plasticity and com-
effect of temperature on preconsolidation pressure can pressibility. Expansion of pyrite minerals in some
also be seen, and this is further discussed in Section shales and other earth materials as a result of oxidation
10.12. The data in Figs. 10.6 and 10.7 also illustrate caused by exposure to air and water has been the
the difficulties and uncertainties in determining the true source of significant structural damage (Bryant et al.,
in situ conditions from the results of laboratory tests. 2003). Temperature changes may cause changes in hy-
dration states of some salts leading to volume changes.
Mineralogical Detail Small differences in certain
10.4 FACTORS CONTROLLING RESISTANCE characteristics of expansive clay minerals can have ma-
TO VOLUME CHANGE jor effects on the swelling of a soil.
Fabric and Structure Compacted expansive soils
Both compositional and environmental factors influ- with flocculent structures may be more expansive than
ence volume change, so meaningful quantitative pre- those with dispersed structures. Figure 10.8 is an ex-
PHYSICAL INTERACTIONS IN VOLUME CHANGE 331
a decrease in effective stress. The responses of satu-
rated soils to temperature change are analyzed in Sec-
tion 10.12.
Pore Water Chemistry Any change in the pore so-
lution chemistry that depresses the double layers or
reduces the water adsorption forces at particle surfaces
reduces swell or swell pressure. An example of this is
shown in Fig. 10.8, where increased electrolyte con-
centration in the water imbibed by a compacted clay
resulted in reduced swelling. For soils containing only
nonexpansive clay minerals, the pore water chemistry
has relatively little effect on the compression behavior
after the initial fabric has formed and the structure has
stabilized under a moderate effective stress. This is in
accordance with the principle of chemical irreversibil-
ity of clay fabric, discussed in Section 8.2. The leach-
ing of normally consolidated marine clay at high water
Figure 10.8 Effect of structure and electrolyte concentration content, however, may be sufficient to cause a small
of absorbed solution on swelling of compacted clay (adapted
reduction in volume owing to changes in interparticle
from Seed et al. 1962a).
forces (Kazi and Moum, 1973; Torrance, 1974).
Stress Path The amount of compression or swell-
ing associated with a given change in stress usually
ample. At pressures less than the preconsolidation
depends on the path followed. Loading or unloading
pressure, the soil with a flocculent structure was less
from one stress to another in stages can give consid-
compressible than the same soil with a dispersed struc-
erably different volume change behavior than if the
ture. The reverse is generally true for pressures greater
stress change is done in one step. An example for
than the preconsolidation pressure.
swelling of a compacted sandy clay is shown in Fig.
Stress History An overconsolidated soil is less
10.10. Each sample was placed under water after com-
compressible but more expansive than the same ma-
paction and allowed to swell under different surcharge
terial initially at the same void ratio but normally con-
pressures. Further discussion of the stress path de-
solidated. This is illustrated in Fig. 10.9. If anisotropic
pendency on volume change is given in Section 10.11
stress systems have been applied to a soil in the past,
and Chapter 11.
then anisotropic compression and swelling character-
istics usually result.
Temperature Increase in temperature usually
causes a decrease in volume for a fully drained soil. If
10.5 PHYSICAL INTERACTIONS IN VOLUME
drainage is prevented, increase in temperature causes
CHANGE
Physical interactions between particles include bend-
ing, sliding, rolling, and crushing. In general, the
coarser the gradation, the more important are physical
particle interactions relative to chemically induced par-
ticle interactions. Deformation resistance developed by
particle rolling and sliding is discussed in Chapter 11.
Particle bending is important in soils with platy par-
ticles. Even small amounts of mica in coarse-grained
soils can greatly increase the compressibility. Mixtures
of a dense sand having rounded grains with mica flakes
can even duplicate the form of the compression and
swelling curves of clays, as shown in Fig. 10.11. Chat-
tahoochie River sand with a mica content of 5 percent
is twice as compressible as the same sand with no mica
Figure 10.9 Comparison of compressibility and swell char- (Moore, 1971). On the other hand, a well-graded soil
acteristics for normally consolidated (compression curve) and may be little affected in terms of compressibility by
overconsolidated (rebound and recompression curves) soil. the addition of mica. Further discussion of the me-
Figure 10.10 Effect of unloading stress path on swelling of a compacted sandy clay (Seed
et al. 1962a).
Figure 10.11 Comparison of compression and swelling curves for several clays and sand–
mica mixtures (from Terzaghi, 1931).
chanical behavior of mica–sand mixtures is given in terpreted, probably erroneously, as balanced entirely
Chapter 11. by interparticle repulsion.
Cross-linking adds rigidity to soil fabric, especially The importance of grain crushing increases with in-
clays containing platy particles. Particles and particle creasing particle size and confining stress magnitude.
groups act as struts whose resistance depends both on Particle breakage is a progressive process that starts at
their bending resistance and on the strengths of the relatively low stress levels because of the wide disper-
junctions at their ends. According to van Olphen sion of the magnitudes of interparticle contact forces.
(1977), cross-linking is important even in ‘‘pure clay’’ The number of contacts per particle depends on gra-
systems, where the confining pressure is sometimes in- dation and density, and the average contact force in-
PHYSICAL INTERACTIONS IN VOLUME CHANGE 333
creases greatly with particle size, as summarized in Studies of compressibility and grain crushing in
Table 10.3. Statistical analyses of the probable fre- sands and gravels under isotropic and anisotropic tri-
quency distribution of contact forces show large devi- axial stresses up to 20 MPa showed the following (Lee
ations from the mean (Marsal, 1973). An example of and Farhoomand, 1967):
this obtained from a numerical simulation of a particle
assemblage is presented in Chapter 11. 1. Coarse granular soils compress more and have
Unstressed, or idle particles, can occupy voids be- more particle breakage than fine granular soils.
tween larger particles or particle arches associated with A comparison of gradation curves before and af-
strong force chains, as discussed in Chapter 7. The ter isotropic compression is shown in Fig. 10.12.
percentage of idle particles depends on gradation, fab- 2. Soils with angular particles compress more and
ric, void ratio, stress history, and stress level. In soils undergo more particle crushing than soils with
containing idle particles, particulate mechanics analy- rounded particles.
ses of behavior that depend on such quantities as av- 3. Uniform soils compress and crush more than
erage number of particles per unit area or per unit well-graded soils with the same maximum grain
volume, average number of contacts per particle, and size.
the like lose their relevance unless the analyses allow 4. Under a given stress, compression and crushing
for their existence. continue indefinitely at a decreasing rate.
The resistance to grain crushing or breakage de- 5. Volume change during compression depends pri-
pends on the strength of the particles, which, in turn, marily on the major principal stress and is inde-
depends on mineralogy and the soundness of the pendent of the principal stress ratio.
grains. Failure may be by compression, shear, or in a 6. The higher the principal stress ratio (Kc ⫽ 1c /
split tensile mode. Quartz grains are more resistant 3c) during consolidation, the greater the amount
than feldspar, but there is greater variability in crushing of grain crushing.
and splitting resistance with changes in particle size
for quartz than for feldspar. Particle crushing results in increase in fines content
The amount of grain crushing to be expected for with increasing confining pressure. An example of the
rockfills and gravels is summarized in Table 10.4. In change in particle size distribution curve with increas-
this table, Bq is the proportion of the solid phase by ing confining pressure is shown in Fig. 10.13 (Fuku-
weight that will undergo breakage, and qi is the con- moto, 1992). Particle crushing can be quantified by
centration of solids [Vs /V ⫽ 1/(1 ⫹ e)]. Hardin’s (1985) relative breakage parameter Br, which
Table 10.3 Contacts and Contact Forces in Granular

Soils
Average
Grain Grain Contact
Contacts/ Contacts/ Force for
Particle Particle ⫽ 1 atm
Soil Type (Range) (Mean) (N)
Loose uniform 4–10 6.1
gravel
Dense uniform 4–13 7.7
gravel
Well-graded 5–1912 5.9
gravel, 0.8
mm ⬍ d ⬍
200 mm
Medium sand 10⫺2
Gravel 10
Rockfill, 104
d ⫽ 0.7 m
Table 10.4 Grain Crushing in Rockfills and Gravels
Crushing Particle
Grain Size Strength Breakage
Samples Distribution of Grains Bqqia
El infiernillo Well-graded High 0.02–0.10
silicified con- rockfills and for 5
glomerate gravels 1f 80
kg/cm2
Pinzandaran sand
and gravel
San Francisco
basalt (grada-
tions 1 and 2)
El infiernillo Somewhat uni- High 0.10–0.20
diorite form rockfills for 5
1f 80
kg/cm2
El granero slate Well-graded Low
(gradation A) rockfills
Mica granitic–
gneiss
(gradation X)
Mica granitic– Uniform rockfill Low Increases
gneiss produced by with 1f ⬊
(gradation Y) blasting meta- maximum
morphic rocks value ⫽
(Cu ⬍ 5) 0.30
a
Bq is grain breakage parameter; qi is initial concentration of solids; 1f
is major principal stress at failure.
From Marsal, 1973. Reprinted with permission of John Wiley & Sons.
Figure 10.12 Comparison of crushing of soils with different initial grain sizes for isotropic
compression under 8 MPa (from Lee and Farhoomand, 1967). Reproduced with permission
from the National Research Council of Canada.
FABRIC, STRUCTURE, AND VOLUME CHANGE 335
100
Ottawa Sand : Initial Grading 0.42-0.82 mm

80 One dimensional consolidation to
σ' v=14000 psi (97MPa)
60 σ' v=8000 psi (55MPa)
σ' v=5000 psi (34MPa)
40
σ' v=1000 psi (6.9MPa)
Initial
20
0
0.01 0.1 1
Grain Size (mm)
(a)
100
Landstejin Sand : Initial Grading 4-7 mm
80 Isotropically consolidated to 490 kPa and

then sheared in triaxial compression to
axial strain of 24%
60 Isotropically consolidated to 98 kPa and
then sheared in triaxial compression to
40 axial strain of 24%
Isotropically consolidated to 980 kPa Initial

20
0
0.01 0.1 1 10
Grain Size (mm)
(b)
Figure 10.13 Change in particle size distribution curve with increasing confining pressure:
(a) Ottawa sand and (b) Landstejn sand (from Fukumoto, 1992).
is defined in Fig. 10.14. The increase in Br with iso- solidation of these clays is related to sequential break-
tropic compression pressure is shown in Fig. 10.15 for age of clay aggregates into smaller aggregates as con-
Dog’s Bay carbonate sand (Coop and Lee, 1993). The solidation pressure increases (Bolton, 2000).
figure also shows the increase in Br at critical-state
failure (discussed further in Chapter 11). A unique
particle breakage characteristic at failure is obtained 10.6 FABRIC, STRUCTURE, AND VOLUME
irrespective of shearing conditions (i.e., undrained CHANGE
triaxial, drained triaxial, or constant mean pressure
shearing). Collapse, shrinkage, and compression are due to par-
Aggregates of clay mineral particles are often ob- ticle rearrangements from shear and sliding at inter-
served in clays, and intact aggregate clusters of clay particle contacts, disruption of particle aggregates, and
particles can be considered as the smallest units con- grain crushing. Thus, both the arrangement of particles
trolling the macroscopic mechanical behavior. These and particle groups and the forces holding them in
aggregate clusters behave in some ways similarly to place are important. Swelling depends strongly on
granular particles (e.g., Barden, 1973, and Collins and physicochemical interactions between particles, but
McGown, 1974). It can be conceptualized that the con- fabric also plays a role.
An illustration of such differences is provided by the

data in Table 10.5, where dry void ratios of several
undisturbed and remolded clays are listed. In each
case, the clay was dried from its natural water content
either undisturbed or after thorough remolding. The
substantially lower dry void ratios for the remolded
samples indicate greater shrinkage than in the undis-
turbed samples.
Structure anisotropy on a macroscale may be re-
flected by anisotropic shrinkage. For preferred orien-
tation of platy particles parallel to the horizontal,
vertical shrinkage on drying is greater than lateral
shrinkage. For example, the vertical shrinkage of
Seven Sisters clay was three times greater than the hor-
izontal shrinkage (Warkentin and Bozozuk, 1961).
Collapse
Figure 10.14 Definition of relative breakage parameter Br
by Hardin (1985). Collapse, as a result of wetting under constant total
stress, is an apparent contradiction to the principal of
effective stress discussed in Chapter 7. The addition of
water increases the pore water pressure and reduces
the effective stress; hence, expansion might be ex-
pected. The apparent anomaly of volume decrease
under decreased effective stress is because of the
application of continuum concepts to a phenomenon
that is controlled by particulate behavior at contact lev-
els for unsaturated soils. Collapse requires:
1. An open, low-density, partly unstable, partly
saturated fabric
2. A high enough total stress that the structure is
metastable
3. A strong enough clay binder or other cementing
agent to stabilize the structure when dry
When water is added to a collapsing soil in which
Figure 10.15 Increase in Br with confining pressure under the silt and sand grains are stabilized by clay coatings
isotropic compression (NCL) and at critical state (CSL) or buttresses, the effective stress in the clay is reduced,
achieved by standard triaxial compression shearing (both
the clay swells, becomes weaker, and contacts fail in
drained and undrained) and constant mean pressure shearing.
shear, thereby allowing the coarser silt and sand par-
ticles to assume a denser packing. Thus, compatibility
with the principle of effective stress is maintained on
a microscale.
Shrinkage
Compression
Drying shrinkage of fine-grained soils is caused by
particle movements resulting from pore water tensions Sands In Chapter 8 it was shown that the volume
developed by capillary menisci. If two samples of clay changes during the shear of samples of sand at the
are at the same initial water content but have different same void ratio but with different initial fabrics can be
fabrics, the one that is the more deflocculated and dis- different. Different volume change tendencies for dif-
persed shrinks the most. This is because the average ferent fabrics developed resulting from different meth-
pore sizes are smaller in the deflocculated sample, thus ods of sample preparation have also manifested
allowing greater capillary stresses, and because of eas- themselves by differences in liquefaction behavior un-
ier relative movements of particles and particle groups. der undrained cyclic loading (see Fig. 8.22).
FABRIC, STRUCTURE, AND VOLUME CHANGE 337
Table 10.5 Void Ratios of Several Clays After Drying in the Undisturbed and
Remolded States
Natural
Water Dry Void Dry Void
Content Ratio Ratio
Clay (%) Sensitivity Undisturbed Remolded
Boston blue 35.6 6.8 0.69 0.50
Boston blue 37.5 5.8 0.75 0.53
Fore River, Maine 41.5 4.5 0.65 0.46
Goose Bay, Labrador 29.0 2.0 0.60 0.55
Chicago 39.7 3.4 0.65 0.55
Beauharnois, Quebec 61.3 5.5 0.76 0.70
St. Lawrence 53.6 5.4 0.79 0.66
The compression behavior of a natural intact ce- strengths of cementation bonding and particles on the
mented calcarenite sand is shown in Fig. 10.16 (Cuc- compression behavior of structured soils.
covillo and Coop, 1997). Similarly to structured clays, Clays Compression curves obtained by odometer
the initial compressibility before yielding is stiff due tests on undisturbed and remolded Leda (Champlain)
to cementation. If the cementation is stronger than the clay, illite, and kaolinite are shown in Fig. 10.17. Li-
particle crushing strength, the compression line will lie quidity index is used as an ordinate, and the sensitivity
to the right of the normal compression line of the un- curves from Fig. 8.49 are superimposed.
cemented reconstituted sand. If the cementation is Curve A is for undisturbed Leda clay at an initial
weaker than the particle crushing strength, the com- water content corresponding to a liquidity index of
pression curve will merge gradually toward that of the 1.82. Because the sensitivity contours were developed
uncemented sand before yielding (Cuccovillo and for normally consolidated clays, they cannot be used
Coop, 1999). This highlights the importance of relative to estimate sensitivity for stresses less than the precon-
solidation pressure. After the preconsolidation stress
has been exceeded the curve cuts sharply across the
sensitivity contours, indicating a large decrease in sen-
p (kPa)
sitivity as the structure is broken down by compres-
100 1000 10000 10000
2.20 sion.
Intact Curve B is for kaolinite remolded at a liquidity index
Intact IB Reconstituted
2.00 of 2.06. The early part of the consolidation curve is
not shown in Fig. 10.17. Immediately after remolding
at high water content the effective stress is very low,
1.80 NCL and the sensitivity is equal to 1. Curve B shows that
consolidation results in an increase in sensitivity to a
ν
1.60 maximum of about 15 to 18, at an effective consoli-

dation pressure of about 20 kPa. At this point, the in-
2.40
terparticle and interaggregate shear stresses caused by
the applied compressive stress begin to exceed the
bond strengths, the degree of structural metastability
1.20 decreases, and the sensitivity decreases.
4 5 6 7 8 9 10 11 12
Curve D is for kaolinite remolded at a liquidity in-
In p(kPa)
dex of 0.98. It differs considerably from curve B. This
Figure 10.16 Isotropic compression curves of intact and re- is consistent with the results of other studies that show
constituted calcarenite sand specimens (from Cuccovillo and that the compression behavior, and therefore also the
Coop, 1997). structure, are different for a given clay remolded at
Figure 10.17 Change in sensitivity with consolidation for various clays.
different water contents, for example, Morgenstern and Swelling

Tchalenko (1967b). Significantly lower sensitivity is The structure influences swelling of fine-grained soils
developed in the kaolinite of curve D than that of curve that is initiated by reduction of effective stress by un-
B. These observations show that both the concentration loading and/or addition of water. For example, an ex-
of clay in suspension and the rate of sediment accu-
pansive soil that is compacted dry of optimum water
mulation are important in determining the initial struc-
content can swell more than if compacted to the same
ture of clay deposits. At high pressures, both curves
density wet of optimum (Seed and Chan, 1959). This
tend to merge together, indicating that the initial fab-
rics have been destroyed. difference cannot be accounted for in terms of differ-
Curve E is for a well-graded illitic clay remolded at ences in initial water content and, therefore, must be
a liquidity index of 1.36. The consolidation curve in- ascribed to differences in structure.
dicates a low sensitivity at all consolidation pressures. A swell sensitivity has been observed in some clays
Results of strength tests showed that the actual sensi- wherein the swelling index for the remolded clay is
tivity ranged from 1.0 to 2.6. higher than that of the same clay undisturbed. The in-
Curve C is for Leda clay remolded at a liquidity creased swelling of the disturbed material can result
index of 1.82. The sensitivity increases from 1 to about both from the rupture of interparticle bonds that inhibit
8 with reconsolidation, indicating development of me- swelling in the undisturbed state and from differences
tastability after remolding and recompression. The sen- in fabric. Old, unweathered, overconsolidated clays
sitivity decreases at high pressures as convergence with may be particularly swell sensitive. Swell sensitivities
curve A is approached. All of the above findings are as high as 20 were measured in one case (Schmert-
consistent with the principles stated in Section 8.13. mann, 1969).
OSMOTIC PRESSURE AND WATER ADSORPTION INFLUENCES ON COMPRESSION AND SWELLING 339
10.7 OSMOTIC PRESSURE AND WATER
ADSORPTION INFLUENCES ON COMPRESSION
AND SWELLING
Adsorption of cations on clays, the formation of double
layers, and water adsorption on soil surfaces generate
repulsive forces between particles as described in
Chapters 6 and 7. Calculation of interparticle repul-
sions due to interacting double layers may be done in
more than one way; the osmotic pressure concept is
convenient and most widely used. By this approach,
the pressure that must be applied to prevent movement
of water either in or out of clay is determined as a
function of particle spacings expressed in terms of void
ratio or water content.
The concept of osmotic pressure is illustrated by
Fig. 10.18. The two sides of the cell in Fig. 10.18a are
separated by a semipermeable membrane through
which solvent (water) may pass but solute (salt) can-
not. Because the salt concentration in solution is
greater on the left side of the membrane than on the
right side, the free energy and chemical potential of
the water on the left are less than on the right.1 Because
solute cannot pass to the right to equalize concentra-
tions due to the presence of the membrane, solvent
passes into the chamber on the left.
The effect of this is twofold as shown by Fig.
10.18b. First, the solute concentration on the left is
reduced and that on the right side is increased, which
reduces the concentration imbalance between the two
chambers. Second, a difference in hydrostatic pressure
develops between the two sides. Since the free energy
of the water varies directly with pressure and inversely
with concentration, both effects reduce the imbalance
between the two chambers. Flow continues through the
Figure 10.18 Osmotic pressure: (a) Initial condition: no
membrane until the free energy of the water is the equilibrium, (b) final condition: equilibrium, and (c) osmotic
same on each side. pressure equilibrium.
It would be possible in a system such as that shown
by Fig. 10.18a to completely prevent flow through the
membrane by applying a sufficient pressure to the so-
lution in the left chamber, as shown by Fig. 10.18c. absolute temperature, ni is the concentration (particles
The pressure needed to exactly stop flow is termed the per unit volume), and ci is the molar concentration.
osmotic pressure , and it may be calculated, for dilute Thus, the osmotic pressure difference between two so-
solutions, by the van’t Hoff equation, which was intro- lutions separated by a semipermeable membrane is di-
duced in Section 9.13: rectly proportional to the concentration difference.
冘(n 冘(c
In a soil, there is no true semipermeable membrane
⫽ kT iA ⫺ niB) ⫽ RT iA ⫺ ciB) (10.2) separating regions of high- and low-salt concentration.
The effect of a restrictive membrane is created, how-
where k is the Boltzmann constant (gas constant per ever, by the influence of the negatively charged clay
molecule), R is the gas constant per mole, T is the surfaces on the adsorbed cations. Because of the at-
traction of adsorbed cations to particle surfaces, the
cations are not free to diffuse, and concentration dif-
1
Formal treatment of the concepts stated here and derivation of Eq. ferences responsible for osmotic pressures are devel-
(10.1) are given in standard texts on chemical thermodynamics. oped whenever double layers on adjacent particles
overlap. The situation is shown schematically in Fig. where ca is the midplane anion concentration, and c⫹ 0
10.19. The difference in osmotic pressure midway be- and c⫺0 are the equilibrium solution concentrations of
tween particles and in the equilibrium solution sur- cations and anions. At equilibrium in dilute solutions
rounding the clay is the interparticle repulsive pressure
or swelling pressure Ps. It can be expressed in terms
cc ca ⫽ c0⫹ c0⫺ ⫽ c02 (10.6)
of midplane potentials according to the following
equation (see Section 6.11):
because c⫹ ⫺
0 ⫽ c0 . Thus Eq. (10.5) becomes
Ps ⫽ p ⫽ 2n0kT(cosh u ⫺ 1) (10.3)
where n0 is the concentration in the external solution,

and u is the midplane potential function.
Ps ⫽ RTc0 冉cc c0
⫹
c0 cc
⫺2 冊 (10.7)
In terms of midplane cation and equilibrium solution

concentrations cc and c0 (Bolt, 1956), Eq. (10.2) be- Midplane concentrations can be determined using
comes the relationships in Chapter 6. Equation (10.7) assumes
Ps ⫽ ⫽ RT 冘(c ic ⫺ ci 0) (10.4)
parallel flat plates and may be written in terms of void
ratio for saturated clay. The water content w, in terms
of weight of water per unit weight of soil solids, di-
For single cation and anion species of the same valence vided by the specific surface of soil solids As gives the
average thickness of water layer, which is half the par-
Ps ⫽ RT(cc ⫹ ca ⫺ c⫹ ⫺
0 ⫺ c0 ) (10.5) ticle spacing or d. Thus,
Figure 10.19 Mechanism of osmotic swelling pressure generation in clay.

w systems that cover most of the moisture suction or
d⫽ (10.8)
w As overburden ranges of interest in soil mechanics or soil
science are available (Collis-George and Bozeman,
For saturated soil the void ratio is related to the water 1970). They are suitable for
content by
兩兩 ⫻ 4 ⫻ 10⫺5
e ⫽ Gsw (10.9) 冘c 0
20 (10.13)
where Gs is the specific gravity of solids. Substituting where 兩兩 is the swelling pressure or matric suction (see
Eq. (10.9) into Eq. (10.8) gives Section 7.12) measured in centimeters of water.
Since the sum of the applied constraint 兩兩 in con-
e centration units and the external solution concentration
d⫽ (10.10) must equal the midplane concentration, the pressure or
Gs w As
suction is given by
Bolt (1955, 1956) showed that the double-layer equa-
tions (see Chapter 6) can be combined with Eq. (10.10) 兩兩 ⫽
冘c ⫺ 冘c
m
⫺5
0
(10.14)
to give 4 ⫻ 10
v(c0)1 / 2(x0 ⫹ d) ⫽ 2 冉冊c0

cc
1/2
For homovalent and dication/monoanion systems, 兺cm
is found from
⫻ 冕/2
d
(10.11)
冉冊
e 2
冉冘c 冊
(1 ⫺ (c0 /cc)2 sin2 )1/2 v()1/2 ⫽ ⫺
冪冘c
⫽0 1/2
Gs As
m
–41 %2 ⫹ m
in which v is the cation valence and distance x0 equals
approximately 0.1/ v nm for illite, 0.2/ v nm for kao- (10.15)
linite, and 0.4/ v nm for montmorillonite. The param-
eter is given by
where ⬇ 1.0 ⫻ 1015 cm/mmol at 20C and % is the
double-layer charge in meq/cm2. For dilute concentra-
⫽ 2F 2 /DRT (10.12) tions in the external solution, Eqs. (10.14) and (10.15)
reduce to
in which F is the Faraday constant, R is the gas con-
stant, and T is the temperature. 2
Combinations of (Ps /RTc0) and v(c0)1/2(x0 ⫹ e/ 兩兩 ⫽ 0.25 ⫻ 105 (10.16)
v2(e/Gs As)2
Gs w As) that satisfy Eqs. (10.7) and (10.11) are given
in Table 10.6. These values may be used to calculate
theoretical curves of void ratio versus pressure for con- For mixed-cation heterovalent systems, 兺cm is given by
冉冊
solidation or swelling. For any value of log[Ps /(RTc0)]
e
冉冘冊
the swelling pressure may be calculated. The void ratio v()1/2 ⫽ 1/2
can be computed from the corresponding value of Gs As
cm
v(c0)1/2(x0 ⫹ e/Gs w As). For a given soil, Ps depends
冉再冋冘冒冉冘c 冊册冎冊
completely on cc and c0 and those factors that cause cc
1/2 1/2
to be large relative to c0; for example, low c0, low
⫺cos⫺1 1/a 1⫺ cm –14 %2⫹ m
valence of cation, and high dielectric constant, cause
high interparticle repulsions, high swelling pressures, ⫻
and large physicochemical resistance to compression. cm
It is apparent from the values in Table 10.6 that the (10.17)
dominating influence on swelling pressure at any given
void ratio is the specific surface area, which is deter- The value of a in Eq. (10.17) is given by
mined mainly by mineralogy and particle size.
The preceding relationships were developed for soils 2cm ⫺ (c⫹ ⫹⫹ ⫹⫹ ⫹ ⫹⫹ 2 1/2
m ⫹ cm ) ⫹ [4cmcm ⫹ (cm ⫹ cm ) ]
containing a single electrolyte, and they assume ideal a⫽
2cm
behavior in accord with the DLVO theory as developed
in Chapter 6. Approximate equations for mixed-cation (10.18)
Table 10.6 Relation Between the Distance Variable Expressed as a

Function of the Void Ratio and the Swelling Pressure of Pure Clay
Systema
v(c0)1/2 v(c0)1/2
(x0 ⫹ e/ Gs w As) log Ps /(RTc0) (x0 ⫹ e/ Gs w As) log Ps /(RTc0)
0.050 3.596 0.997 0.909
0.067 3.346 1.188 0.717
0.100 2.993 1.419 0.505
0.200 2.389 1.762 0.212
0.300 2.032 2.076 ⫺0.046
0.400 1.776 2.362 ⫺0.301
0.500 1.573 2.716 ⫺0.573
0.600 1.405 3.09 ⫺0.899
0.700 1.258 3.57 ⫺1.301
0.801 1.130 4.35 ⫺1.955
0.902 1.012
a
v is the cation valence; is 8F /1000 DRT ⬇ 1015 cm/mmol for water
at normal T; c0 is the concentration in bulk solution (mmol/cm3); x0 ⫽ 4/ vT
⬇ 1/ v Å for illite, 2/ v Å for kaolinite, and 4/ v Å for montmorillonite; e is
the void ratio; Gs w is the density of solids, As is the specific surface area of
clay; Ps is the swelling pressure; R is the gas constant; T is the absolute
temperature; F is the Faraday constant; and D is the dielectric constant.
Adapted from Bolt (1956).
where cm is the midplane anion concentration. Since

evaluation of Eq. (10.18) requires knowledge of the
midplane concentrations of the different ions sepa-
rately, the application of Eq. (10.17) is not as straight-
forward as is the case of Eqs. (10.13) and (10.14).
Applicability of Osmotic Pressure Concepts

A reasonably clear understanding of how well the os-
motic pressure concept can account for the compres-
sion and swelling behavior of fine-grained soils has
been developed.
Homoionic Cation Systems

Early testing of the applicability of the osmotic pres- Figure 10.20 Relationship between particle spacing and
sure theory was done using ‘‘pure clays’’ consisting of pressure for montmorillonite (modified from Warkentin et al.,
specially prepared, very fine grained clay minerals. 1957).
Good agreement between theoretical and experimental
values of interparticle spacing and pressure for mont-
morillonite with particles finer than 0.2 m in 10⫺4 curves for sodium and calcium montmorillonite in 10⫺3
NaCl solution is shown in Fig. 10.20. The first com- M electrolyte solutions are compared in Fig. 10.21.
pression curves are above decompression and re- Agreement is fairly good as regards the influence of
compression curves because of cross-linking and cation valence. However, the experimental curves are
nonparallel particle arrangements, that is, fabric ef- substantially above the theoretical curves. This may be
fects, which are eliminated during the first compres- caused by ‘‘dead’’ volumes of liquid resulting from
sion cycle. Theoretical and experimental compression terraced particle surfaces (Bolt, 1956).
Figure 10.21 Compression curves of Na-montmorillonite

and Ca-montmorillonite, fraction ⬍2 m, in equilibrium with
10⫺3 M NaCl and CaCl2, respectively. The dashed lines rep-
resent the theoretical curves for As ⫽ 800 m2 / g (Bolt, 1956).
Osmotic pressure theory was used successfully for

prediction of swelling pressure developed in opalinum
shale, a Jurassic clay rock (Madsen and Müller-
Vonmoos, 1985, 1989). Swelling pressure was pre-
dicted using Eq. (10.2) and compared with the
measured values, with the results shown in Fig. 10.22.
Particle spacings were calculated from specific surface
area and water content.
Agreement between theory and experiment has not
Figure 10.22 Predicted and measured swelling pressures for
been good for clays containing particles larger than a Opalinum shale (Madsen and Müller-Vonmoos, 1989).
few tenths of a micrometer. The coarse fraction (0.2 to
2.0 m) of two bentonites gave swelling pressures less
than predicted, whereas the fine fraction (⬍0.2 m)
gave values close to theoretical, even though the of the midplane concentrations suffers from several de-
charge densities of the two fractions were the same ficiencies, as discussed in Chapter 6. In addition, phys-
(Kidder and Reed, 1972). ical particle interactions and the effects of interparticle
Compression and swelling curves for three size frac- short- and long-range forces such as van der Waals
tions of sodium illite are shown in Fig. 10.23. The forces are neglected.
discrepancies between theory and experiment are fairly
large for the ⬍0.2-m fraction; nonetheless, the ex-
perimental curves are in the predicted relative positions Mixed-Cation Systems
(Fig. 10.23a). However, for samples containing coarser Most soils contain mixtures of sodium, potassium, cal-
particles (Figs. 10.23b and 10.23c), the curves are in cium, and magnesium in their adsorbed cation com-
reverse order to theoretical prediction. This is because plex. Therefore, modifications of the double-layer and
the compression was controlled by initial particle ori- osmotic pressure equations for homoionic clays are re-
entations and physical interactions between the larger quired. The extent to which the resulting equations
particles rather than by osmotic repulsive pressures. may be suitable depends on the structural status of the
The concentration of CaCl2 or MgCl2 has essentially clay as well as on the particle size. Equations for
no influence on the swelling of a 2-m fraction of mixed-cation systems are derived on the assumption
illite, and the consolidation is influenced only by how that ions of all species are distributed uniformly over
the changes in concentration change the initial struc- the clay surfaces in proportion to the amounts present.
ture (Olson and Mitronovas, 1962). However, sodium and calcium ions may separate into
Factors in addition to clay particle size may also distinct regions. This is termed demixing (Glaeser and
contribute to failure of the theory in natural soils. The Mering, 1954; McNeal et al., 1966; McNeal, 1970;
DLVO theory that serves as the basis for determination Fink et al., 1971).
Figure 10.23 Influence of NaCl concentration and particle size on compression and swelling
behavior of Fithian illite.
Observed behavior was good for several cases ex- ical particle interference and fabric factors related to
amined using a demixed ion model (5 out of 6) for particle size. The behavior is consistent with the prin-
values of exchangeable sodium percentage (ESP) less ciple of chemical irreversibility of clay fabric (Bennett
than about 50 (McNeal, 1970). Based on X-ray deter- and Hurlbut, 1986), which is discussed in Section 8.2.
minations of interplate spacings in montmorillonite Nonetheless, when the physical and chemical influ-
(Fink et al., 1971) it appears that for ences of cation type on fabric and effective specific
surface are taken into account, the behavior can be
1. ESP ⬎ 50 percent, there is random mixing of better understood, as illustrated, for example, by Di
Na⫹ and Ca2⫹ and unlimited swelling between all Maio (1996). For those cases in which fabric changes
plates on addition of water. and interparticle interactions are small, such as swell-
2. 10 percent ⬍ ESP ⬍ 50 percent, there is demixing from a precompressed state, or for clays with very
ing on interlayer exchange sites, with progres- high specific surface area (very small particles) such
sively more sets of plates collapsing to a 20-Å as bentonite, the theory gives a reasonable description
repeat spacing with decrease in ESP. of swelling, at least qualitatively.
3. ESP ⬍ 10 to 15 percent the interlayer exchange
complex is predominantly Ca saturated, with Na Water Adsorption Theory of Swelling
ions on external planar and edge sites.
An alternative to the osmotic pressure theory for clay
swelling is that swelling is caused by surface hydration
Summary (Low, 1987, 1992). Interaction of water with clay sur-
Osmotic pressure (double-layer) theory fails to explain faces reduces the chemical potential of the water,
the first compression of most natural clays of the type thereby generating a gradient in the chemical potential
encountered in geotechnical practice because of phys- that causes additional water to flow into the system.
INFLUENCES OF MINERALOGICAL DETAIL IN SOIL EXPANSION 345
The general relationships that describe the water prop- ness would correspond to a water content of 400 per-
erties as a function of water layer thickness and water cent. Thus, a material such as sodium montmorillonite
content are given in Section 6.5. (bentonite) with its very high specific surface would
The swelling pressure (in atmospheres) for pure be expected to be expansive over a wide range of water
clays follows the following empirical relationship contents, and experience shows clearly that it is. On
(Low, 1980): the other hand, consider an illite or a smectite made
up of quasi-crystals so that interlayer swelling is neg-
( ⫹ 1) ⫽ B exp[ /w] ⫽ B exp[ki /(tw)] (10.19) ligible. As both materials have surface structures that
are essentially the same, it would be expected that the
hydration forces should be similar. Thus, an adsorbed
in which B and are constants characteristic of the water layer of 5 nm would also be reasonable. How-
clay, w is the water content, w is the density of water, ever, the specific surface areas of pure illite and non-
t is the average thickness of water layers, and ki ⫽ / expanded smectite are only about 100 m2 /g, which
( w As), where As is the specific surface. corresponds to a water content of 50 percent. For a
Equation (10.19) shows, as would be expected, that pure kaolinite having a specific surface of 15 m2 /g, the
the lower the water content and, therefore, the smaller water content would be only 7.5 percent for a 5-nm-
the water layer thickness, the higher is the swelling thick adsorbed layer.
pressure. Whereas this approach can explain the swell- It is evident, therefore, that the specific surface dom-
ing of pure clays accurately, the osmotic pressure the- inates the amount of water required to satisfy forces
ory cannot (Low, 1987, 1992). of hydration. Except for very heavily overconsolidated
On the other hand, the influences of surface charge clays and those soils that contain large amounts of ex-
density, cation valence, electrolyte concentration, and pandable smectite, there is sufficient water present
dielectric constant, which have profound influences on even at low water contents to satisfy surface hydration
swelling and swelling pressure, as shown in the pre- forces, and swelling is small. On the other hand, when
vious section, are not directly accounted for by the the clay content is high and particle dissociation into
hydration theory unless appropriate adjustments can be unit layers is extensive, the effective specific surface
made for the influences of these factors on B, , and area is large and swelling can be significant. The ten-
ki. An explanation that is consistent with both the in- dency for smectite dissociation into unit layers can be
fluences of the double-layer/osmotic pressure theory evaluated through consideration of double-layer inter-
and the water adsorption theory is as follows. actions, with those conditions that favor the develop-
Charge density and cation type influence the relative ment of high repulsive forces, as discussed in Chapter
proportions of fully expandable and partially expand- 6, leading to greater dissociation.
able layers in swelling clay. For example, calcium
montmorillonite does not swell to interplate distances
greater than about 0.9 nm where the particles stabilize
by attractive interactions between the basal planes of 10.8 INFLUENCES OF MINERALOGICAL
the unit layers as influenced by exchangeable cations DETAIL IN SOIL EXPANSION
and adsorbed water (Norrish, 1954; Blackmore and
Miller, 1962; Sposito, 1984). In the presence of high In soils where swelling is attributable solely to the clay
electrolyte concentrations or pore fluids of low dielec- content, smectite or vermiculite are the most likely
tric constant, interlayer swelling is suppressed, and the minerals because only these minerals have sufficient
effective specific surface is greatly reduced relative to specific surface area so that there are unsatisfied water
that for the case where interlayer swelling occurs. The adsorption forces at low water contents. Details of
amount of water required to satisfy surface hydration structure and the presence of interlayer materials may
is reduced greatly. have significant effects on the swelling properties of
A hydration water layer thickness on smectite sur- these minerals. In addition, the presence of certain
faces of about 10 nm is needed to reach a distance other minerals in soils and shales, such as pyrite and
beyond which the water properties are no longer influ- gypsum, as well as geochemical and microbiological
enced by surface forces (see Fig. 6.9), and Low (1980) factors, may lead to significant amounts of swelling
indicates that the swelling pressure of montmorillonite and heave. Details of all the phenomena go well be-
is about 100 kPa for a water layer thickness of about yond the scope of this book; however, a few examples
5 nm. For a fully expanding smectite having a specific are given in this section to illustrate their nature and
surface area of 800 m2 /g, this latter water layer thick- importance.
Crystal Lattice Configuration Effects properties of expansive clays, for example, Rich
Greatest swelling is observed for charge deficiencies (1968). Some aspects of interlayering between the ba-
in silicate layer structures of about one per unit cell as sic sheets in the expansive clay minerals are:
indicated in Table 10.7. Evidently, for layer silicates 1. Optimum conditions for interlayer formation are:
with sufficient isomorphous substitution to give charge a. Supply of A13⫹ ions
deficiencies greater than 1.0 to 1.5 per unit cell, the b. Moderately acid pH (⬇5)
balancing cations are so strongly held and organized c. Low oxygen content
in the interlayer regions that interlayer swelling is pre- d. Frequent wetting and drying
vented. 2. Hydroxyaluminum is the principal interlayer ma-
Within the range of charge deficiencies where swell terial in acid soils, but Fe–OH layers may be
is observed, there is no consistent relationship between present.
charge, as measured by the cation exchange capacity, 3. Mg(OH)2 is probably the principal interlayer
and the amount of swell (Foster, 1953, 1955). This component in alkaline soils.
finding is more consistent with the surface hydration 4. Randomly distributed islands of interlayer mate-
model for clay swelling than with the osmotic pressure rial bind adjacent layers together. The degree of
theory. interlayering in soils is usually small (10 to 20
An inverse correlation exists between free swell and percent), but this is enough to fix the basal spac-
the b dimension of the montmorillonite crystal lattice ing of montmorillonite and vermiculite at 14 Å.
(Davidtz and Low, 1970). Differences in b dimension, 5. The cation exchange capacity is reduced by in-
which may be caused by differences in isomorphous terlayer formation.
substitution, evidently cause changes in water hydra- 6. Swelling is reduced.
tion forces. Furthermore, as the water content in-
creases, so also does the b dimension, as shown in Fig.
6.5. Swelling ceases when the b dimension reaches Salt Heave
0.9 nm. Some saline soils with high contents of salts can un-
dergo changes in volume associated with hydration–
Hydroxy Interlayering dehydration phenomena. One example is the swelling
of some soils containing large amounts of sodium sul-
The occurrence, formation, and properties of fate (Na2SO4) found in and around the Las Vegas area
hydroxyl–cation interlayers (Fe–OH, Al–OH, Mg–H) of Nevada. When the temperature falls from above
have been studied regarding their effects on physical about 32C to below about 10C, the salt hydrates to
Na2SO4 10H2O with accompanying increase in vol-
ume. This salt heave has been responsible for damage
Table 10.7 Influence of Lattice Charge on to light structures and is described in more detail by
Expansion Blaser and Scherer (1969) and Blaser and Arulanandan
(1973).
Negative Charge
Mineral per Unit Cell Tendency to Expand Impact of Pyrite
Margarite 4 None Sulfur occurs in rock and soil as sulfide (S⫺ or S2⫺),
Muscovite Only with drastic sulfate (SO42⫺), and organic sulfur. The sulfide min-
chemical treat- erals, of which pyrite is one of the most common and
ment, if at all easily oxidized (Burkart et al., 1999), are of greatest
Biotite 2 concern. The amount of sulfide sulfur is a good indi-
Paragonite cator of the potential for oxidation reactions and
Hydrous mica ⬎1.2
weathering that can result in expansion. Sulfide-
and illite induced heave has occurred in materials containing as
Vermiculite 1.4–0.9 Expanding little as 0.1 percent sulfide sulfur (Belgeri and Siegel
Montmorillonite 1998). Products of pyrite oxidation include sulfate
Beidellite 1.0–0.6 Readily expanding minerals, insoluble iron oxides such as goethite
Nontronite (FeOOH) and hematite (Fe2O3), and sulfuric acid
Hectorite (H2SO4). Sulfuric acid can dissolve other sulfides,
Pyrophyllite 0 None heavy metals, carbonates, and the like that are present
in the oxidation zone, thus allowing the effects of ox-
From Brindley and MacEwen (1953). idation to increase as the process builds upon itself.
INFLUENCES OF MINERALOGICAL DETAIL IN SOIL EXPANSION 347
The relative proportion of sulfate sulfur is indicative et al., 1998; Yohta, 1999, 2000). The amount of heave
of the degree of weathering or oxidation that has al- was as much as 480 mm. The cost for repairs was
ready occurred. Sulfate crystals develop in the capil- estimated at 10 billion yen (Yohta, 2000). The mud-
lary zone and tend to localize along discontinuities due stone at the site contained 5 percent pyrite. Whereas
to reduced stress in these regions. The increase in vol- the pH of the sediment was initially 7 to 8 before
ume resulting from the growth of sulfate minerals heave, the pH of the heaved ground was about 3,
along bedding planes is a dominant factor in the ver- and it contained acidophilic iron-oxidizing bacteria
tical heave that occurs in shales and other materials (Oyama et al., 1998).
that have subhorizontal fissility (Kie, 1983; Hawkins Yamanaka et al. (2002) further confirmed the pres-
and Pinches, 1997). The production of sulfates by py- ence and effects of sulfate-reducing, sulfur-oxidizing,
rite oxidation also increases the potential for further and acidophilic iron-oxidizing bacteria by means of
deleterious reactions, such as the formation of gypsum several series of laboratory culture experiments. Test
and expansive sulfate minerals (e.g., ettringite). Gyp- results presented by Yamanaka et al. (2002), which
sum (CaSO4 2H2O) is considered to be the primary include electron photomicrographs of the bacteria,
cause of heave resulting from sulfate expansion. Vol- showed consistent variations of hydrogen sulfide con-
ume increases associated with several sulfidic chemical centration, pH, Fe3⫹ concentration, Fe2⫹ ⫹ Fe3⫹ con-
weathering reactions are given in Table 10.8. For com- centration, and SO42⫺ concentration over time periods
parative purposes, these percentages are based on the up to 50 days for both the natural mudstone and the
assumption that the altered rock was initially com- mudstone after heat treatment to 121C. The heat treat-
posed of 100 percent of the original mineral. ment prevented or greatly slowed the bacterial activity,
Sulfide oxidation reactions are usually catalyzed by whereas very significant changes in concentrations and
microbial activity. Gypsum forms when sulfate ions pH were measured for tests done at 28C. For example,
react with calcium in the presence of water, resulting the concentration of H2S increased from 0.3 to 2.2 mM
in very large volume increases. The products of pyrite in 20 days, the pH decreased from about 6.5 to 1.3
oxidation reactions are significantly less dense than the in 47 days, the concentration of Fe3⫹ increased from
initial sulfide product (pyrite); for example, the specific about 6 to 125 in 5 days, and the concentration of
gravity of pyrite is 4.8 to 5.1, whereas that of gypsum SO42⫺ increased from less than 1 to about 15 mM in
is only 2.3, and that of calcium is 2.6. Acidity pro- 25 days.
duced by pyrite oxidation can also result in significant Based on their results and observations, Yamanaka
quantities of acid mine and rock drainage. et al. (2002) developed the following explanation for
the processes leading to the foundation heave. The
Bacterially Generated Heave—Case History ground temperature, which had been about 18C at
About 1000 wooden houses founded on mudstone sed- depth, increased to about 25C in the summer after
iments in Iwaki City, Fukushima Prefecture, Japan, excavation. Initial anaerobic, high water content con-
were damaged by heaving of their foundations (Oyama ditions and the stimulation of sulfate-reducing bacteria
generated H2S. As the ground dried and became per-
meable to air, sulfate-oxidizing bacteria grew and stim-
ulated production of H2SO4, the lowering of pH, and
Table 10.8 Volume Increases of Selected Mineral pyrite oxidation. The reaction of H2SO4 with the cal-
Transformations cium carbonate present in the mudstone led to forma-
tion of gypsum and, with potassium and ferric ions, to
Mineral Transformation formation of jarosite. The foundation heave was asso-
ciated with the volume increase that accompanied the
Original Volume Increase of
formation of both gypsum and jarosite crystals.
Mineral New Mineral Crystalline Solids (%)
Illite Alunite 8 Sulfate-Induced Swelling of Cement- and Lime-
Illite Jarosite 10 Stabilized Soils
Calcite Gypsum 60
Pyrite Jarosite 115 Some fine-grained soils, especially in arid and semiarid
Pyrite Anhydrous ferrous areas, contain significant amounts of sulfate and car-
sulfate 350 bonate. Sodium sulfate, Na2SO4, and gypsum, Ca SO4
Pyrite Melanterite 536 2H20, are the common sulfate forms, and calcium
carbonate, CaCO3, and dolomite, MgCO3, are the usual
Data from Fasiska et al. (1974), Shamburger et al. carbonate forms. The dominant clay minerals in these
(1975), and Taylor (1988). soils are expansive smectites. Delayed expansion fol-
lowing admixture stabilization of these soils using fective stress is linear, and properties of the soil do not
Portland cement and lime has developed at several sites change during the consolidation process. Deformations
(Mitchell, 1986). Although test programs showed sup- in only one dimension, usually vertical, are considered
pression of swelling and substantial strength increase since determinations of settlements caused by loadings
at short times (days) as a result of the incorporation of from structures or fills are common applications of the
the stabilizer, subsequent heave of magnitude sufficient theory. In such a case, the relationship between void
to destroy pavements developed after of exposure to ratio and vertical stress is as shown in Fig. 10.24a for
water at some later time. The mechanism associated a normally consolidated clay layer, and that in Fig.
with this process appears to be as follows. 10.24b applies for an overconsolidated clay layer.2
When cement or lime is mixed with soil and water, As shown in any basic text on soil mechanics, the
there is a pH increase to about 12.4, some calcium amount of vertical settlement H that a homogeneous
goes into solution and exchanges with sodium on the clay layer of thickness H will undergo if subjected to
expansive clay. This ion exchange, along with light a vertical stress increase at the surface is given by
cementation by carbonate and gypsum, if present, sup-
presses the swelling tendency of the clay. The mixed e
and compacted soil is nonexpansive and has higher H ⫽ H (10.20)
1 ⫹ e0
strength than the untreated material. If sodium sulfate
is present, then available lime is depleted according to in which e0 is the initial void ratio and e is the de-
crease in void ratio due to the stress increase from
Ca(OH)2 ⫹ Na2SO4 → CaSO4 ⫹ 2NaOH v0
to v1
. For convenience, the change in void ratio
is often written in terms of compression index or co-
Silica (SiO2) and alumina (Al2O3) dissolve from the efficient of compressibility and change in effective
clay in the high pH environment and/or they may be stress as defined in Fig. 10.1.
present in amorphous form initially. These compounds The rate at which consolidation under the stress in-
can then combine with calcium, carbonate, and sulfate creases from v0 to v1
is determined using Terzaghi’s
to form ettringite, Ca6[Si(OH)6]2(SO4)3 26H2O, and/ solution to the one-dimensional diffusion equation ap-
or thaumasite, Ca6[Si(OH)6]2(SO4)2(CO3)2 24H2O, plied to the transient state water flow from the consol-
which are very expansive materials (Mehta and Hu, idating clay layer. It is assumed in this theory that the
1978). In addition, in the case of lime-treated soil, if rate of volume decrease is controlled totally by hydro-
the available lime is depleted, the pH will drop and the dynamic lag, that is, the time required for water to flow
further dissolution of SiO2 from the clay will stop. As out of the consolidating soil under the gradients gen-
silica is needed for formation of the cement (CSH) that erated by the applied pressures. The governing equa-
is the desired end product of the pozzolanic lime station is
bilization reaction, long-term strength gain is pre-
vented. Consequently, when the treated material is u 2u
⫽ cv 2 (10.21)
given access to water, a large amount of swell may t z
occur. Further details concerning lime–sulfate heave
reactions in soils are given in Dermatis and Mitchell in which u is the excess pore pressure, t is time, z is
(1992). distance from a drainage surface, and cv is the coeffi-
cient of consolidation. The coefficient is given by
kh(1 ⫹ e)
10.9 CONSOLIDATION cv ⫽ (10.22)
av w
Introduction and Simple One-Dimensional Theory
Terzaghi’s (1925b) quantitative description of soil where kh is the hydraulic conductivity, av ⫽ ⫺de/d v
compression and its relation to effective stress and the is the coefficient of compressibility, and w is the unit
rate at which it occurs marked the beginning of modern weight of water.
soil mechanics. An ideal homogeneous clay layer is
assumed to follow the paths shown in Fig. 10.1 when
subjected to compression, unloading, and reloading. 2
In engineering practice compression and swelling curves are often
Key assumptions for analysis of the consolidation rate plotted using settlement ratio, H / H as ordinate rather than void
ratio, e, for convenience in settlement computations. Void ratio is
according to the Terzaghi theory are that the soil is used herein because it is more indicative of the state and properties
saturated, the relationship between void ratio and ef- of the soil.
CONSOLIDATION 349
Figure 10.24 Idealized compression curves for clay layers: (a) normally consolidated and
(b) overconsolidated.
Solutions for Eq. (10.22) for different boundary con- greater than 0.4 indicates high compressibility. Corre-
ditions are given in standard soil mechanics texts in lations between compression index and compositional
terms of a dimensionless depth z/H (where H is the and state parameters have been proposed by a number
maximum distance to a drainage boundary) and a di- of investigators. Several such relationships for cohesive
mensionless time factor T ⫽ cvt/H 2 for different soils were summarized by Djoenaidi (1985) and quoted
boundary conditions. The solution for u ⫽ ƒ(z/H, T) by Kulhawy and Mayne (1990), and these relationships
for a layer of thickness 2H that is initially at equilib- are shown in Fig. 10.26. A simple correlation between
rium and subjected to a rapidly applied uniform sur- the compression ratio, defined as Cc /(1 ⫹ e0), where
face loading is shown in Fig. 10.25a. The average e0 is the initial void ratio, and the natural water content
degree of consolidation U over the full depth of the is shown in Fig. 10.27.
clay layer as a function of T for this case is shown in The large increase in compressibility that occurs
Fig. 10.25b. when sensitive clay is loaded beyond its maximum
prior effective consolidation pressure is shown in Fig.
Ranges of Compressibility and Consolidation 8.44. Values of compression index for the steepest part
Parameters of the compression curve as a function of in situ void
The curves in Fig. 10.2, as well as the fact that the ratio and sensitivity are shown in Fig. 10.28. The pro-
void ratio of a soil cannot decrease without limit under found influence of structure metastability as repre-
increasing pressure, mean that the assumption of a lin- sented by high sensitivity is clearly evident.
ear relationship between void ratio and log of effective Usual ranges of coefficient of consolidation for fine-
consolidation pressure that defines the compression in- grained soils are given in Fig. 4.19. Owing to the direct
dex Cc is simply a useful engineering approximation dependence of the coefficient of consolidation cv on
that applies over a range of stresses and void ratios of hydraulic conductivity and its inverse proportionality
practical interest.3 Values for compression index less to coefficient of compressibility, reliable determination
than 0.2 represent soils of slight to low compressibil- of a representative value in any case is difficult. Both
ity; values of 0.2 to 0.4 are for soils of moderate to hydraulic conductivity and compressibility are changed
intermediate compressibility; and a compression index by sample disturbance and by consolidation itself.
Most settlement predictions are done using average
values for coefficient of consolidation.
3
Compression index Cc or swelling index Cs and the coefficient of
compressibility av are related as follows: Shortcomings of Simple Theory for Predicting
de C Cs Volume Change and Settlements
av ⫽ ⫺ ⫽ ln 10 c or ln 10
d v v v In many cases, predictions of the volume changes and
Hence, av is both stress level and stress history dependent. settlements and the rates at which they develop, which
Figure 10.25 Solution to the one-dimensional consolidation equation: (a) distribution of

excess pore water pressures as a function of dimensionless time and depth for a doubly
drained clay layer and (b) average degree of consolidation as a function of time factor.
are based on the above simple theory, are poor. Among 4. Changes in pore pressure dissipation rates during
the types of deviations between the observed and pre- and following construction
dicted settlement and pore pressure responses are the 5. Apparent lack of strength gain with consolidation
following (Crooks et al., 1984; Becker et al., 1984; following load application
Tse, 1985; Mitchell, 1986; Duncan, 1993): There are two types of reasons for deviations from
the simple theory. In the first category are those that
1. Differences in predicted and observed initial pore relate to soil behavior and the fact that in general the
pressure development upon load applications simple relationships between effective stress shown in
2. Continued pore pressure buildup after completion Figs. 10.1 and 10.24 are neither unique nor time in-
of loading dependent. In the second category are those that relate
3. Differences between field consolidation rates and to the constitutive models and their application and the
those predicted based on the results of laboratory fact that the simplifying assumptions that may be re-
tests quired are not representative of the real conditions.
CONSOLIDATION 351
Figure 10.26 Representative values of compression index Cc for cohesive soils (Djoenaidi,
1985).
Soil Behavior Factors Characteristics of the real

behavior of fine-grained soils that are important in de-
termining the amount and rate of consolidation in-
clude:
1. Fabric and Structure Resistance to compression
is determined by both effective stress and struc-
ture. Structural influences that must be consid-
ered relate to the initial state, the effects of
sample disturbance, structural breakdown asso-
ciated with consolidation under pressures greater
Figure 10.27 Compression ratio as a function of natural wa- than the maximum past consolidation pressure,
ter content (from Lambe and Whitman, 1969). Reprinted and the effects of anisotropic loading.
with permission from John Wiley & Sons. 2. Time and Rate of Loading The relationship be-
tween void ratio and effective consolidation pres-
sure is not unique for a fine-grained soil but is
influenced by rate of loading and time under a
constant load as well. That is,
e ⫽ e( , t) (10.23)
In differential form, Eq. (10.23) can be written
de
dt
⫽ 冉冊
e
t
d
dt
⫹ 冉冊
e
t
(10.24)
According to this relationship, the total void ratio

change at any time is the sum of two compo-
nents: (1) that due to change in effective stress,
or effective stress related compressibility, given
by the first term on the right-hand side of Eq.
Figure 10.28 The influence of sensitivity and in situ void (10.24) and (2) that due to time, or time-related
ratio on compression index (from Leroueil et al., 1983). Re- compressibility, given by the second term on the
produced with permission of the National Research Council right. The rate at which the total void ratio de-
of Canada. creases as a function of time after application of
a stress increase may be controlled by either how information about them and about how to account for
rapidly the water can escape under a hydraulic them can be found in Gibson et al. (1981), Tse (1985),
gradient or by how fast the structure of the soil Mesri and Castro (1987), Leroueil et al. (1990), Scott
can deform or creep under a given magnitude of (1989), Duncan (1993), and elsewhere. Generalization
effective stress. Component (1) compression is of Terzaghi’s one-dimensional consolidation theory to
commonly referred to as primary consolidation. three dimensions was made by Biot (1941). At present,
Component (2) compression is commonly re- there are finite element and finite difference codes that
ferred to as secondary compression. In addition, solve Biot’s consolidation equation incorporating non-
aging phenomena during time under sustained linear stress–stress relationships as well as anisotropic
stress generate additional resistance to further hydraulic conductivity. The hydraulic conductivity can
compression. also be a function of void ratio or effective stress. Fur-
3. Temperature Owing to differential thermal ex- ther details can be found in Lewis and Schrefler (1997)
pansions of soil solids and the pore fluid and and Coussy (2004). Soil behavior factors are consid-
changes in interparticle bond strength and resis- ered further in the remainder of this section.
tance to sliding that can result from changes in
temperature, temperature-induced changes in ef-
Effects of Sample Disturbance
fective stress and volume are possible. These ef-
fects are considered further in Section 10.12. The effects of sample disturbance on the compression
curve of sensitive or structured clay are shown in Fig.
Modeling Factors The commonly used constitutive 8.44 and include:
models for soil compression and consolidation may not
give suitable representations of actual behavior for the 1. A lower void ratio under any effective stress.
following reasons: 2. Higher values of recompression index and lower
1. The relationship between void ratio and effective values of the compression index for a disturbed
consolidation pressure is not linear, as is assumed clay than for the undisturbed soil.
for the Terzaghi consolidation theory. In fact, the 3. Less clearly defined stress history; determination
use of compression index and swelling index to of the maximum past consolidation pressure may
characterize soil compression and swelling rec- be difficult and uncertain.
ognize the nonlinear nature of the void ratio–
effective stress relationship. Several methods to estimate the influences of sample
2. Changes in void ratio, compressibility, and hy- disturbance on measured compression properties and
draulic conductivity during consolidation are ne- strength have been proposed. Among them, Schmert-
glected or not properly taken into account. mann’s (1955) procedure is useful for determination of
3. Secondary compression, which is creep of the a corrected maximum past pressure and for estimation
soil skeleton, is often neglected, and models for of more representative values of swelling and recom-
taking it into account are of uncertain validity. pression indices.
4. Soil properties differ among the strata making up The SHANSEP (stress history and normalized soil
the soil profile and within the individual strata engineering properties) method (Ladd and Foott, 1974)
themselves. was developed for more accurate determination of the
5. Boundary conditions are uncertain or unknown, strength of soft clay. By this method, samples are con-
especially the drainage boundaries. Given that the solidated beyond the maximum past pressure into the
time for primary consolidation varies as the virgin compression range. Provided the structure of the
square of the distance to a drainage layer, errors consolidated clay does not differ extensively from that
in definition and location of drainage boundaries of the undisturbed clay, the relationships between the
have a major impact on settlement rate predic- ratios of shear stress divided by effective consolidation
tions. pressure versus strain and pore pressure divided by ef-
6. Although one-dimensional analyses are often fective consolidation pressure versus strain are the
used, two- and three-dimensional effects may be same for both the original undisturbed clay and the
important. consolidated samples. An uncertainty in this method,
7. The stress increments may not be known with however, is the extent of breakdown of a structured
certainty. soil from its initial state when it is consolidated past
its prior maximum past pressure. Evidence indicates
Analysis of modeling factors of the type listed above that it works well for clays of low-to-medium sensi-
is outside the scope of this book; however, additional tivity.
SECONDARY COMPRESSION 353
10.10 SECONDARY COMPRESSION solidation.5 Thus, it is convenient to define a coefficient
of secondary compression, Ce, according to
According to the simple consolidation theory, which
assumes uniqueness between void ratio and effective
Ce ⫽ ⫺de/d(log t) (10.25)
stress, consolidation ends when excess hydrostatic
pressures within a clay layer are fully dissipated. On
this basis, the relationship between degree of consoli- The value of Ce is usually related to the compression
dation and dimensionless time is as shown in Fig. index Cc as shown in Table 10.9, where values are
10.25b. In reality, however, most soils continue to listed for a number of different natural soils. Average
compress in the manner shown in Fig. 10.29. The rea- values for Ce /Cc are 0.04 0.01 for inorganic clays
son for secondary compression is that the soil structure and silts, 0.05 0.01 for organic clays and silts, and
is susceptible to a viscous or creep deformation under 0.075 0.01 for peats. Similar behavior for a number
the action of sustained stress as the fabric elements of clean sands is shown in Fig. 10.30, where it may
adjust slowly to more stable arrangements. The rate of be seen that Ce /Cc falls in the range of 0.015 to 0.03.
secondary compression is controlled by the rate at A general relationship between void ratio, effective
which the structure can deform, as opposed to the rate consolidation pressure, and time is shown in Fig.
of primary consolidation, which is controlled by 10.31, with slopes Ce and Cc indicated. When the
Darcy’s law, which determines how rapidly water can curves corresponding to different times after the end
escape from the pores under a hydraulic gradient.4 of primary consolidation are projected onto the void
The mechanism of secondary compression involves ratio–log effective stress plane, Fig. 10.5 is obtained
sliding at interparticle contacts, expulsion of water for the assumption of linearity between void ratio and
from microfabric elements, and rearrangement of ad- log . Algebraic manipulation of the secondary com-
sorbed water molecules and cations into different po- pression equation and the primary compression equa-
sitions. The observed behavior is consistent with that tion shows that the preconsolidation pressure is rate
of a thermally activated rate process, which involves dependent (Soga and Mitchell, 1996), consistent with
mechanisms that are discussed in more detail in Sec- the data presented in Fig. 10.7.
tion 12.4. Both laboratory tests and field measurements, as
The relationship between void ratio and log of time well as theoretical arguments, have been made to es-
during secondary compression is linear for most soils tablish whether or not (1) the relationship between the
over the time ranges of interest following primary con- end-of-primary consolidation void ratio and effective
consolidation pressure is unique and independent of
load increment ratio or deformation rate, and (2)
whether or not both primary consolidation and second-
ary compression can occur together or if all primary
consolidation must be completed before secondary
compression begins. The answers to these questions
are important as they impact the usefulness of labo-
ratory odometer test results on thin samples with short
drainage paths, in which consolidation times are short,
for prediction of the consolidation of thick layers in
the field wherein consolidation times are often very
long. Detailed discussion of these issues is outside the
scope of this book. Among the many important refer-
ences on these points are Taylor (1942), Murayama
and Shibata (1961), Bjerrum (1967), Walker (1969),
Figure 10.29 Idealized relationship between void ratio and
logarithm of time showing primary consolidation and sec-
ondary compression. 5
There is no reason to believe that secondary compression should
continue indefinitely because a final equilibrium of the structure
should ultimately develop under a given stress state. In nature, chem-
ical, biological, and climate changes also develop over long time
4
It is commonly assumed that there are no excess hydrostatic pres- periods. These changes can accelerate the establishment of equilib-
sures during secondary compression. However, water is expelled dur- rium or create new conditions of disequilibrium. However, the as-
ing secondary compression, and water flow is driven by hydrostatic sumption of linearity between void ratio and log of time after the
head differences, so there must be some small hydrostatic pressure end of primary consolidation is sufficiently accurate for most prac-
difference between the interior and a drainage boundary. tical cases.
Table 10.9 Values of the Ratio of Coefficient of Secondary

Compression to Compression Index for Natural Soils
Grouping Soil Type Ce / Cc

Inorganic clays Whangamarino clay 0.03–0.04
and silts Leda clay 0.025–0.06
Soft blue clay 0.026
Portland sensitive clay 0.025–0.055
San Francisco Bay mud 0.04–0.06
New Liskeard varved clay 0.03–0.06
Silty clay C 0.032
Near-shore clays and silts 0.055–0.075
Mexico City clay 0.03–0.035
Hudson River silt 0.03–0.06
Organic clays Norfolk organic silt 0.05
and silts Calcareous organic silt 0.035–0.06
Postglacial organic clay 0.05–0.07
Organic clays and silts 0.04–0.06
New Haven organic clay silt 0.04–0.075
Peats Amorphous and fibrous peat 0.035–0.083
Canadian muskeg 0.09–0.10
Peat 0.075–0.085
Peat 0.05–0.08
Fibrous peat 0.06–0.085
From Mesri and Godlewski (1977).
Figure 10.31 General relationship among void ratio, effec-

Figure 10.30 C / Cc values for clean sands (from Mesri et tive stress, and time (from Mesri and Godlewski, 1977). Re-
al., 1990). Reprinted with permission of ASCE. printed with permission of ASCE.
IN SITU HORIZONTAL STRESS (K0) 355
Aboshi (1973), Mesri (1973), Mesri and Godlewski In most cases, the horizontal stress in the ground
(1977), Jamiolkowski et al. (1985), Leroueil et al. does not equal the vertical overburden stress. The min-
(1985, 1988), Mesri and Choi (1985), Leroueil (1988), imum and maximum possible values can be calculated
Mesri et al. (1995), Leroueil (1995), and Mesri (2003). on the basis of plasticity theories for earth pressure.
In spite of these uncertainties, conventional practice The actual value, which must fall somewhere between
has been to assume that secondary compression does these limiting values, is a proportion of the vertical
not begin until completion of primary consolidation. overburden stress that depends primarily on soil type
This has the advantage of simplicity in that settlement and stress history. It is often determined (or estimated)
estimates can be made on the basis of degree of con- on the basis of these two factors using empirical cor-
solidation according to the simple theory during times relations, and, sometimes the results of in situ tests
up to the end of primary consolidation. For longer such as the self-boring pressuremeter (Mair and Wood,
times, the total settlement is taken as the consolidation 1987). The main limitation of in situ measurements is
settlement increased by an amount of secondary com- that they invariably cause disturbance and allow lateral
pression derived from Eq. (10.25). This is undoubtedly deformations of the ground that change the stress being
an oversimplification of real behavior, as from the per- measured. The general ranges of in situ lateral stress
spective of the soil, there should be no difference be- for different soil types are summarized, and factors in-
tween the two types of compression. It compresses just fluencing lateral stress are reviewed in this section.
sufficiently to withstand the applied stresses at any
time, and the rate at which it occurs in any element Development of Horizontal Stress
depends on whether or not the rate of water flow from
The relationship between the horizontal effective stress
the element at that time is controlled by a preexisting
and the vertical effective stress depends on the lateral
hydrostatic excess pressure gradient (primary consoli-
deformation that accompanies changes in vertical
dation) or by the time-dependent generation of small
stress. If the vertical stress and strain increase without
pore pressures owing to structural readjustment (sec-
any deformation in the horizontal directions (i.e., one-
ondary compression).
dimensional compression, as would be the case for an
On this basis, it would seem most likely that within
accumulating sediment), the soil is said to be in an at-
a clay layer both primary consolidation and secondary
rest state, and the horizontal stress associated with this
compression may be occurring concurrently in differ-
condition is termed the at-rest pressure.
ent elements. The major difficulty has been in the for-
The ratio between the horizontal and vertical effec-
mulation of a constitutive model to describe both the
tive stresses during initial compression of a soil is a
hydrodynamic and viscous components of the soil re-
constant, defined by the coefficient of earth pressure at
sponse that is both accurate and that can be readily
rest K0 (⫽ h / v). Values of K0 for normally con-
implemented into analytical or numerical solutions.
solidated soils are generally in the range of 0.3 to 0.75.
With recent advances in theory and programs that can
Jaky’s equation has been found to give a good estimate
be run on personal computers, it is now possible to
for many soils:
more properly describe the actual soil response and to
make improved settlement rate predictions (Duncan,
1993). K0 ⫽ 1 ⫺ sin (10.26)
in which is the effective stress friction angle

10.11 IN SITU HORIZONTAL STRESS (K0) measured in triaxial compression tests. Although cor-
relations have been published that suggest unique re-
Terzaghi’s consolidation theory considers compression lationships between K0 and liquid limit or plasticity
only in one dimension. The soil model relates the ver- index, a comprehensive set of data for 135 clay soils
tical strain to the change in vertical stress, and this indicates little correlation, as shown in Fig. 10.32. This
defines the volume change under zero horizontal dis- is not surprising since the Atterberg limits depend only
placement conditions. There is no need to consider the on composition, and K0 is a state parameter that is
change in horizontal stress to calculate the deforma- dependent on composition, structure, and stress history.
tion, even though the actual horizontal stress changes When the vertical stress on a normally consolidated
during loading and unloading. However, once soil de- soil is reduced, the horizontal stress does not decrease
formation departs from the one-dimensional condition, in the same proportion as the vertical stress. Thus, the
it is necessary to consider the state and changes of the value of at-rest earth pressure coefficient for an over-
stresses in the other directions and the associated vol- consolidated soil (K0)oc is greater than that for the nor-
ume change behavior. mally consolidated soil (K0)nc, and it varies with the
Figure 10.32 Lack of correlation between coefficient of

earth pressure at rest and plasticity index for normally con-
solidated soils (from Kulhawy and Mayne, 1990). Reprinted
with permission from EPRI.
amount of overconsolidation, as shown schematically

in Fig. 10.33, and in Fig. 10.34 for 48 clays. The data
in Fig. 10.34 can be approximated by the equation Figure 10.34 Dependence of (K0)oc on overconsolidation ra-
tio (from Kulhawy and Mayne, 1990). Reprinted with per-
mission from EPRI.
K0 ⫽ (1 ⫺ sin )(OCR)sin (10.27)
Kulhawy and Mayne (1990) give additional useful cor-

relations for estimation of K0. toward the K0 line coincides with the region of largest
The complicated stress paths associated with one- compression index (steepest slope on the volumetric
dimensional compression of four clays are illustrated strain versus effective mean stress diagrams), implying
in Fig 10.35. In the upper plot for each clay the de- structural degradation.
viator stress is shown as a function of the mean ef-
fective stress during one-dimensional compression. Effect of Lateral Yielding on the Coefficient of Earth
Before yielding, the stress path shows larger stress ra- Pressure
tios than the K0 ⫽ 1 ⫺ sin line. As the stress state
If an element of soil initially under an at-rest stress
approaches the preconsolidation pressure, the stress
condition is allowed to yield by compressing in a ver-
path moves to the K0 ⫽ 1 ⫺ sin line. The curvature
tical direction while spreading laterally, for example,
triaxial or plane strain compression, then the horizontal
earth pressure coefficient decreases until a failure con-
dition is reached. If, on the other hand, the element is
compressed in the horizontal direction while being al-
lowed to expand in the vertical direction, triaxial or
plane strain extension, then the horizontal earth pres-
sure increases until failure develops. These two con-
ditions and the associated variations in K are shown in
Fig. 10.36. The two failure conditions are termed ac-
tive and passive, respectively, and the corresponding
earth pressure coefficients are the coefficient of active
earth pressure Ka and the coefficient of passive earth
pressure Kp.
Figure 10.33 Variation of horizontal effective stress with According to classical theories of earth pressure
vertical effective stress for loading and unloading. based on limiting equilibrium of a plastic material hav-
IN SITU HORIZONTAL STRESS (K0) 357
100 1000
(σa – r)/2(kPa)
(σa – r)/2(kPa)
ure d
50 500 fai
l ture g)
ak s truc therin
Pe d e a
K o( by we
0 0
0 50 100 150 200 0 500 1000 1500 2000
(σa + r)/2(kPa) (σa + r)/2(kPa)
0 0
e0 = 1.97 e0 = 0.69
4
εv(%)
εv(%)
10
8
20
12
(a) Sensitive Canadian clay (b) Unweathered Keuper marl
200 50
(σa – r)/2(kPa)
(σa – r)/2(kPa)
ilure
k fa
Pea
100 25
d)
ucture
d estr
K o(
0 0
0 100 100 100 100 0 25 50 75 100
(σa + r)/2(kPa) (σa + r)/2(kPa)
0 0
e0 = 1.04 e0 = 0.69
5 5
εv(%)
εv (%)
10 10
15 15
(c) Artificially bonded soil (d) Chalk
Figure 10.35 Variation in lateral stress with mean stress during one-dimensional consoli-
dation of four clays (from Leroueil and Vaughan, 1990).
ing a friction angle and a cohesion c, the limiting Under one-dimensional conditions, compression is
minimum and maximum values of the earth pressure usually plotted on the e–log v plane, as shown in Fig.
coefficients are 10.1. For three-dimensional stress and deformation
conditions, however, the volumetric behavior is often
冉冊冉冊
plotted on the e–ln p plane (or v –ln p plane), where
2c p is the mean effective pressure and v is the specific
Ka ⫽ tan2 45 ⫺ ⫺ tan 45 ⫺ (10.28)
2 v 2 volume (⫽1 ⫹ e). When a specimen is consolidated
冉
Kp ⫽ tan2 45 ⫹

2
⫹
2c
v 冊
tan 45 ⫹

2 冉冊 (10.29)
isotropically, the slope of the normal compression line
is defined as ⫽ ⫺de/d ln p(⫽ ⫺dv /d ln p) (Scho-
field and Wroth, 1968).6
Figure 10.37 shows the change in void ratio with
These limiting values are for isotropic soil and a hor- mean effective stress (p) for reconstituted kaolin clay
izontal ground surface. Standard soil mechanics texts specimens consolidated isotropically at constant stress
should be consulted for further details on limiting earth
pressure coefficients under sloping ground and the in- 6
The swelling (or recompression) line is often called the ! line on
fluences of changes in applied loads on in situ lateral e–ln p plane and the slope is defined as the recompression index
stress. !(⫽ ⫺de / d ln p)
Stress Paths
1.9 q
1
2
1.7
3 p⬘
Void Ratio
1.5
Stress Path 1: q/p⬘ = 0.375

1.3 Stress Path 2: q/p⬘ = 0.288
Stress Path 3: q/p⬘ = 0
70 100 200 300 500 1000

Mean Pressure p⬘ (kPa)
Figure 10.37 Effect of stress ratio ( 1 / 3 or q / p) on vol-

umetric compression behavior of reconstituted kaolin clay.
Figure 10.36 Variation of lateral earth pressure coefficient
with deformation of a soil element.
in the ground is anisotropic. Furthermore, although it

ratios ( 1 / 3 or q/p) as shown by the stress paths is usually assumed that the in situ stresses are the same
in the insert diagram. The compression lines are par- in all directions beneath level ground, there are some
allel to each other and therefore they will have the conditions in which this may not be true. These include
same compression index . Similar behavior is ob- situations wherein there is a directional component to
served in sands; the isotropic compression line and the the soil fabric that formed during deposition, as might
one-dimensional compression line are parallel to each be the case, for example, for an alluvial or beach de-
other. Assuming that K0 is constant during loading, the posit. Directional variability has been measured at
value of isotropically consolidated specimens will be some sites by means of pressure cells, pressure meters
the same as that of one-dimensionally consolidated that contain multiple sensing arms, and flat plate dil-
specimens.7 atometers. With the development of new shear wave
Examination of Fig. 10.37 indicates that the volu- and tomography methods for the nondestructive and
metric behavior of soils can be separated into two com- nonintrusive testing of soil layers, it is possible to ob-
ponents: (i) one due to compression or swelling by the tain much more data on the actual lateral stress state
increase or decrease in mean effective pressure p and and its variability, thus providing new insights into ge-
(ii) the other due to dilation or contraction by shearing ologic and soil formational history, as well as quanti-
of the soil by the increase in q. Further discussion of tative values for use in the analysis and prediction of
deformation behavior under combined volumetric and behavior.
deviatoric stress loading conditions is given in Chapter
11.
Time Dependence of Lateral Earth Pressure at Rest
Anisotropy It is usually assumed in conventional geotechnical
Unless the horizontal earth pressure coefficient is equal analyses that the coefficient of lateral earth pressure at-
to 1.0, which is not the usual case, the stress condition rest K0 is a time-invariant constant. Whether or not this
is indeed the case is not known with certainty, and
there is no clear consensus on how K0 should be ex-
7
In one dimensional consolidation condition, p ⫽ (1 ⫹ 2K0) v. The pected to vary with time (Schmertmann, 1983). How-
relationship between Cc (⫽ ⫺de / d log v) and (⫽ ⫺de / d ln p) ever, if a soil is assumed to remain under a constant
is Cc ⫽ ln 10: Cc ⫽ ⫺de / d log v ⫽ ⫺ln 10[de / d(ln v)] ⫽ ⫺ln effective stress state following consolidation and there
10de / {d ln p ⫺ d[ln(1 ⫹ 2K0)]} ⫽ ⫺ln 10de / d ln p) (K0 is constant
in normally consolidated state, hence d[ln(1 ⫹ 2K0)] ⫽ 0). On the are no changes in the compositional or environmental
other hand, it is not possible to relate Cs obtained from the one- conditions, then slow changes in lateral pressure
dimensional consolidation test to ! obtained from the isotropic un- should occur in any material that is susceptible to creep
loading test. This is because the K0 value changes as the specimen
is unloaded and therefore the d[ln(1 ⫹ 2K0)] term in the above equa- and stress relaxation. Creep and stress relaxation are
tion does not become zero. analyzed in Section 12.7.
TEMPERATURE–VOLUME RELATIONSHIPS 359
As long as a deviator stress is acting K0 ⫽ 1.0, and
a soil element will tend to distort. If the vertical stress
is greater than the horizontal stress (K0 ⬍ 1.0), then
the element will try to expand laterally, but under one-
dimensional conditions it cannot, and the horizontal
stress increases to restrain it. Conversely, if the hori-
zontal stress is initially greater than the vertical stress
(K0 ⬎ 1.0), then the element will try to compress lat-
erally, but under one-dimensional conditions it cannot,
so the horizontal stress decreases. Thus, over long pe-
riods of time, the coefficient of horizontal earth pres-
sure at rest in normally consolidated soil should
increase toward 1.0 and that in heavily overconsoli-
dated soil should decrease toward 1.0.
Values of K0 as a function of time, as determined in
triaxial cells by Lacerda (1976), for undisturbed sam-
ples of soft San Francisco Bay mud, are shown in Fig.
10.38. Also shown is a theoretical relationship between
K0 and time that was developed using the general Figure 10.39 Volume of pore water drained from saturated
stress–strain–time equations developed in Section illite under an isotropic effective stress of 200 kPa as a func-
12.9. Thus, both theory and experiment support the tion of temperature change.
above reasoning that K0 should increase with time
when K0 is less than 1.0.
Fig. 10.40. Temperature effects such as these must be
considered relative to their influences on deformation
10.12 TEMPERATURE–VOLUME and stability both in the laboratory and the field.
RELATIONSHIPS
Theoretical Analysis
Temperature changes generate volume and/or effective
stress changes in saturated soils. For example, the per- Drained Conditions Increase in temperature causes
centage of the original pore water volume that is thermal expansion of mineral solids and pore water. In
drained from a saturated specimen of illite subjected addition, there can be changes in soil structure. For a
to a temperature increase from 18.9 to 60C followed temperature change T, the volume change of the pore
by cooling to 18.9C while maintaining an isotropic water is
effective stress of 200 kPa is shown in Fig. 10.39. The
variation in effective stress 3 under the same temper- ( Vw) T ⫽ wVw T (10.30)
ature changes but with drainage prevented is shown in
where w is the thermal expansion coefficient of soil
water, and Vw is the pore water volume. The change in
volume of mineral solids is
( Vs) T ⫽ sVs T (10.31)
where s is the thermal coefficient of cubical expansion

of mineral solids, and Vs is the volume of solids. The
thermal coefficient of water is approximately 15 times
greater than that of the solids (Cui et al., 2000).
If a saturated soil is free to drain due to a change in
temperature while under constant effective stress, the
volume of water drained is
Figure 10.38 K0 as a function of time for San Francisco Bay ( VDR) T ⫽ ( Vw) T ⫹ ( Vs) T ⫺ ( Vm) T (10.32)
mud. The theoretical curve was developed by Kavazanjian
and Mitchell (1984) using the general stress–strain–time Eq. in which ( Vm) T is the change in total volume due to
(12.43) adapted for zero lateral strain. T, with volume increases considered positive.
Figure 10.40 Effect of temperature changes on the effective stress in saturated illite under
constant confining pressure.
In a soil mass with all grains in contact, and assum- ity of mineral solids under hydrostatic pressure, and
ing the same coefficient of thermal expansion for all the compressibility of mineral solids under concen-
soil minerals, the soil grains and the soil mass undergo trated loadings, respectively, then
the same volumetric strain s T. In addition, the
change in temperature induces a change in interparticle ( Vw) P ⫽ mwVw u (10.36)
forces, cohesion, and/or frictional resistance that ne-
cessitates some particle reorientations to permit the soil ( Vs) P ⫽ msVs u ⫹ msVs (10.37)
structure to carry the same effective stress. If the vol-
ume change due to this effect is ( VST) T , then
where u is the change in pore water pressure and
is the change in effective stress. The term ms Vs is
( Vm) T ⫽ sVm T ⫹ ( VST ) T (10.33)
the change in volume of mineral solids due to a change
in effective stress, which also manifests itself by
and changes in forces at interparticle contacts. Also
( VDR) T ⫽ wVw T ⫹ s Vs T
( Vm) P ⫽ mv Vm (10.38)
⫺ [s Vm T ⫹ ( VST ) T] (10.34)
where mv is the compressibility of the soil structure.
Undrained Conditions The governing criterion for
From Eqs. (10.30), (10.31), (10.36), (10.37), and
undrained conditions is that the sum of the separate
(10.38), Eq. (10.35) becomes
volume changes of the soil constituents due to both
temperature and pressure changes must equal the sum
of the volume changes of the soil mass due to both wVw T ⫹ s Vs T ⫺ ( Vm) T ⫽ Mv Vm
temperature and pressure changes; that is
⫺ mwVw u ⫺ Vs(ms u ⫹ ms ) (10.39)
( Vw) T ⫹ ( Vs) T ⫹ ( Vw) P ⫹ ( Vs) P
For constant total stress during a temperature change
⫽ ( Vm) T ⫹ ( Vm) P (10.35)
where the subscripts T and P refer to temperature ⫽ ⫺ u (10.40)

and pressure changes, respectively. If mw, ms, and ms
refer to the compressibility of water, the compressibil- Thus, Eq. (10.39) becomes
w Vw T ⫹ sVs T ⫺ ( Vm) T ⫽ mv Vm temperature. The compressibilities mv and mw are neg-
ative because an increase in pressure causes a decrease
⫺ mwVw u ⫺ u Vs(ms ⫺ ms) (10.41) in volume, and ST is negative if an increase in tem-
perature causes a decrease in volume of the soil struc-
Since ms and ms are not likely to be significantly dif- ture.
ferent, and both are much less than mv and mw , little
error results from assuming ms ⫺ ms ⫽ 0, so Eq.
(10.41) can be written Volume Change Behavior
Permanent volume decreases occur when the temper-
wVw T ⫹ sVs T ⫺ ( Vm) T ature of normally consolidated clay is increased under
drained conditions, as shown by Fig. 10.41. Tempera-
⫽ ⫺mv Vm u ⫺ mwVw u (10.42) ture changes in the order indicated were carried out on
a sample of saturated, remolded illite after initial con-
The left side of Eq. (10.42) is equal to ( VDR) T , solidation to an effective stress of 200 kPa. Water
and the right side is an equivalent volume change drains from the sample during increase in temperature
caused entirely by a change in pore pressure. Because and is absorbed during temperature decrease. The
shape of the curves is similar to normal consolidation
Vm ⫽ Vw ⫹ Vs (10.43) curves for volume changes caused by changes in ap-
plied stresses.
Eq. (10.42) may be written, after substitution for When the temperature is increased, two effects oc-
( Vm) T by Eq. (10.33), cur. If the increase is rapid, a significant positive pore
pressure develops due to greater volumetric expansion
w Vw T ⫺ sVw T ⫺ ( VST) T ⫽ ⫺mv Vm u of the pore water than of the mineral solids. The lower
the hydraulic conductivity of the soil, the longer the
⫺mwVw u (10.44)
time required for this pore pressure to dissipate. Dis-
sipation of this pressure accounts for the parts of the
Rearrangement of Eq. (10.44) gives the pore pressure
curves in Fig. 10.41 that resemble primary consolida-
change accompanying a temperature change:
tion.
The second effect results because increase in tem-
n T(s ⫺ w) ⫹ ( VST ) T /Vm
u ⫽ perature causes a decrease in the shearing resistance at
mv ⫹ nmw individual particle contacts. As a consequence, there is
n T(s ⫺ w) ⫹ ST T partial collapse of the soil structure and decrease in
⫽ (10.45) void ratio until a sufficient number of additional bonds
mv ⫹ nmw
are formed to enable the soil to carry the stresses at
the higher temperature. This effect is analogous to sec-
in which n is the porosity, and ST is the physicochem- ondary compression under stress increase.
ical coefficient of structural volume change defined by When the temperature drops, differential thermal
contractions between the soil solids and the pore water
( VST ) T /Vm
ST ⫽ (10.46) cause pressure reduction in the pore water. The soil
T then absorbs water, as shown by the temperature de-
crease curves in Fig. 10.41. No secondary volume
Thus, the factors controlling pore pressure changes are change effect is observed because the temperature de-
the magnitude of T, porosity, the difference between crease causes a strengthening of the soil structure and
thermal expansion coefficients for soil grains and wa- no further structural adjustment is required to carry the
ter, the volumetric strain due to physicochemical ef- effective stress. On subsequent temperature increases,
fects, and the compressibility of the soil structure. For the secondary effect is negligible because the structure
most soils (but not rocks) mv » mw , so has already been strengthened in prior cycles.
The final height changes and volumes of water
n(s ⫺ w) T ⫹ ST T drained associated with each temperature change
u ⫽ (10.47)
mv shown in Fig. 10.41 are plotted as a function of tem-
perature in Fig. 10.42, and clay structure volume
Consistency in algebraic signs is required for the changes are shown in Fig. 10.43. The forms of these
application of the above equations. Both s and w are plots are similar to conventional compression curves
positive and indicate volume increase with increasing involving virgin compression, unloading, and reload-
Figure 10.41 Volume of water drained from a saturated clay as a function of time as a
result of temperature changes.
ing. An irrecoverable volume reduction after each ST , defined previously by Eq. (10.46). For the cases
temperature cycle is noted. Again, the effect of shown, ST has a value of about ⫺0.5 ⫻ 10⫺4 C⫺1.
temperature increase is analogous to a pressure in- The effect of temperature on clay compression de-
crease. The slope of the curves in Fig. 10.43 is the pends on the pressure range (Campanella and Mitchell,
coefficient of thermal expansion for the soil structure 1968; Plum and Esrig, 1969). Weaker structure at low
Figure 10.42 Effect of temperature variations on the height and volume change of saturated
illite.
stresses caused by increased temperature causes con- (Leroueil and Marques, 1996). The data show that
solidation to a lower void ratio in order to carry the there is approximately 1 percent decrease in precon-
stress. The weakening effect of higher temperature is solidation pressure per one 1C temperature increase
compensated by the strengthening effect of lower void between 5 and 40C and somewhat less at higher tem-
ratio. As shown in Fig. 10.44, the compression index peratures (Leroueil and Hight, 2002).
Cc is found to be approximately independent of tem- Stress history or overconsolidation ratio has a major
perature. On the other hand, the isothermal swelling influence on the volume change caused by increase in
index ! (⫽ ⫺de/d ln p) of reconstituted samples of temperature (Hueckel and Baldi, 1990). For normally
an illitic clay measured under isotropic confining stress consolidated to moderately overconsolidated clay, ir-
conditions is found to be temperature dependent as recoverable volume reduction was observed by struc-
shown in Fig. 10.45. ture degradation and the shear strength increased.
The preconsolidation pressure of a natural soft clay Volume expansion was observed in heavily overcon-
depends on temperature as illustrated in Fig. 10.7. Fig- solidated clay, and the expansion rate increased with
ure 10.46 shows the normalized preconsolidation pres- OCR.
sure (⫽ preconsolidation pressure at temperature T/ The effect of heating followed by cooling at two
preconsolidation pressure at 20C) with temperature stages in a consolidation test is shown in Fig. 10.47.
0.08
0.06
κT
0.04
䉭
䉭
0.02 䉭
䉭
0.00
10 20 40 60 80 100 200
Figure 10.45 Effect of temperature on swelling index of is-

otropically consolidated illitic clay specimens. The clay con-
tained small amounts of Kaolin, chlorite and quartz and had
a liquid limit of 30 percent (after Graham et al., 2001).
Figure 10.46 Effect of temperature on preconsolidation

Figure 10.43 Volume changes in clay structure caused by pressure. The preconsolidation pressure at temperature T is
temperature change. normalized by the preconsolidation pressure at 20C (after
Leroueil and Marques, 1996).
The effect is remarkably similar to the development of

an apparent precompression due to aging and creep
under a sustained stress as discussed in Chapter 12.
Pore Pressure Behavior

Pore pressure changes in saturated soils caused by tem-
perature changes are reasonably well predicted by Eq.
(10.47). The most important factors are the thermal
expansion of the pore water, the compressibility of the
soil structure, and the initial effective stress. The ap-
propriate value of the compressibility mv depends on
the rebound and recompression characteristics of the
soil. When temperature increases, pore pressure in-
Figure 10.44 Effect of temperature on isotropic consolida- creases, and effective stress decreases, which is a con-
tion behavior of saturated illite (Campanella and Mitchell, dition analogous to unloading. When temperature
1968). decreases, pore pressure decreases, and effective stress
pore water pressure and effective stress than for the
buckshot clay.
The parameter F is approximately the same for dif-
ferent clays (Table 10.10). Knowledge of F values al-
lows determination of laboratory temperature control
to assure accurate pore pressure measurements in un-
drained testing of soil samples. For example, if it were
desired to keep pore pressure fluctuations within 5
kPa for one of the clays in Table 10.10, the required
temperature control would be about 0.5C for a sample
at an effective stress of 500 kPa.
The preceding analyses indicate that the overall vol-
ume changes that result from changes in temperature
may not be large. However, the structural weakening
and pore pressure changes that occur may be signifi-
cant in terms of their influences on shear deformation
Figure 10.47 Effect of heating and cooling on void ratio and strength.
versus pressure relationship of illite (Plum and Esrig, 1969).
10.13 CONCLUDING COMMENTS
increases. As the previous temperature history caused Knowledge of volume changes to be expected in a soil
permanent volume decrease at the higher temperature, mass as a result of changes in confinement, loading,
the condition is analogous to recompression. Thus, the exposure to water and chemicals, changes in temper-
appropriate value of mv is based on the slope of the ature and the like is one of the four dimensions of soil
rebound or recompression curves, both of which are behavior that must be understood for success in geo-
approximately the same, and can be defined by engineering, the other three being fluid and energy
conduction properties, deformation and strength
Vm /Vm 0.435 Cs properties, and the influences of time. The nature and
(mv)R ⫽ ⫽ (10.48) influences of different factors on volume change have
(1 ⫹ e0)
been the subject of this chapter.
where Cs is the swelling index, e0 is the initial void Soil compression and consolidation under applied
ratio, and is the effective stress at which (mv)R is to stress have been the most studied owing to their es-
be evaluated. sential role in estimation of settlements, and this was
A pore pressure–temperature parameter F may be one of the first motivations for development of soil
defined as the change in pore pressure per unit change mechanics. The mechanical aspects of compression
in temperature per unit effective stress, or alternatively, and swelling are far better understood and quantified
the change in unit effective stress per unit change in than are those generated by physicochemical, geo-
temperature, that is, chemical, and microbiological factors, although inter-
est and research on the latter is intensifying.
u/ T / e [( ⫺ w) ⫹ ST /n] Although analysis of volume change is typically
F⫽ ⫽⫺ ⫽ 0 s done through consideration of a soil mass as a contin-
T 0.435Cs
uum, the processes that determine it are at the partic-
(10.49) ulate level and involve discreet particle movements
required to produce a new equilibrium following
Some values of F are given in Table 10.10. The values changes in stress and environmental conditions. Im-
listed for are averages for the indicated temperature portant aspects of colloidal type interactions involving
ranges. interparticle forces, water adsorption phenomena, and
The influence of effective stress on change in pore soil fabric effects were analyzed in this chapter. Dis-
pressure can be seen for the data for Vicksburg buck- creet particle movements and their relationships to
shot clay and for the saturated sandstone. The greater macroscopic volumetric and deviatoric behavior are
change in pore pressure for a given T for a higher discussed in more detail in Chapters 11 and 12.
initial effective stress is predicted by this theory. Also, Soil swelling, sometimes referred to as ‘‘the hidden
the much lower compressibility of the sandstone is re- disaster’’ owing to the very large economic, but un-
sponsible for a much higher temperature sensitivity of spectacular, damages (several billion dollars in the
Table 10.10 Temperature-Induced Pore Pressure Changes Under

Undrained Condtions
F
( u/ T)
T u
Soil Type (kN/m2) (C) (kN/m2) (C⫺1)
Illite (grundite) 200 21.1–43.4 ⫹58 0.013
San Francisco 150 21.1–43.4 ⫹50 0.015
Bay mud
Weald Claya 710 25.0–29.0 ⫹51 0.018
Kaolinite 200 21.1–43.4 ⫹78 0.017
Vicksburg 100 20.0–36.0 ⫹28 0.017
buckshot 650 20.0–36.0 ⫹190 0.018
clayb
Saturated 250 5.3–15.0 ⫹190 0.079
sandstone 580 5.3–15.0 ⫹520 0.092
(porous stone)
a
From Henkel and Sowa (1963).
b
From Ladd (1961) Fig. VIII-6.
U.S.) to pavements, structures, and utilities each year, Depth Range Unit Weight
is attributable to both double layer repulsions and wa- (m) Soil Type (kN/m3)
ter adsorption in soils that contain significant amounts
0–5 Surcharge fill 19.0
of high plasticity clay minerals. Other causes of soil
5–10 Rubble fill 17.0
and rock expansion have been identified as well, such
10–18 Clean sand 18.0
as pyrite related mineral transformations and sulfate
18–30 Soft clay 16.0
reactions, often mediated by microorganisms.
⬎30 Bedrock —
The water table is at a depth of 8 m.
QUESTIONS AND PROBLEMS a. Show profiles of vertical total, effective, and
1. What is the single most important property or water pressure as a function of depth below the
characteristic controlling the consolidation and ground surface before placement of the sur-
swelling behavior of a soil? Why? charge fill. Assume that each layer is normally
consolidated.
2. If two samples of the same sand have the same b. Show profiles of vertical total, effective, and
relative density and are confined under the same water pressure as a function of depth immedi-
effective stress, can they have different volume ately after placement of the surcharge fill.
change properties? Why? Indicate if the clay layer is normally consoli-
3. In what soil types and under what conditions do dated, overconsolidated, or underconsolidated
physical particle interactions dominate in deter- at this time.
mining the compression and swelling behavior? In c. Show profiles of vertical total, effective, and
what soil types and under what conditions do water pressure as a function of depth at a long
physicochemical factors dominate? time after the placement of the surcharge fill.
Are the sand and clay layers normally consol-
4. Provide an explanation for the differences in idated, underconsolidated, or overconsolidated?
amount of swelling associated with expansion fol-
d. Show profiles of vertical total, effective, and
lowing the different stress paths shown in Fig.
water pressure as a function of depth immedi-
10.10.
ately after removal of the surcharge fill. Are the
5. Consider the following soil profile beneath a level sand and clay layers normally consolidated, un-
ground surface: derconsolidated, or overconsolidated?
e. Show profiles of vertical total, effective, and a. Sodium montmorillonite in 0.002 M NaCl
water pressure as a function of depth at a long b. Sodium montmorillonite in 0.2 M NaCl
time after removal of the surcharge fill. Are the c. Sodium illite in 0.002 M NaCl
sand and clay layers normally consolidated,
under-consolidated, or overconsolidated? d. Sodium illite in 0.2 M NaCl
Assume any quantities needed but not stated.
f. Show depth profiles and approximate values of
the horizontal coefficient of earth pressure at 11. Consider the real behavior of sediments formed
rest for the conditions in parts (a) through (e). from montmorillonite and illite in waters of the
above concentrations. Approximately what void
6. Two near-surface strata of the same soft clay are
ratios would you expect to find after normal con-
to be consolidated. In one the consolidation is to
solidation to a pressure of 1.0 atm? If different
be done by placement of a surcharge fill at the
than the values you calculated in the preceding
ground surface. In the other, the consolidation is
problem, state why?
to be effected by lowering the water table to the
bottom of the clay layer and evaporation of water 12. A normally consolidated, saturated marine clay is
from the ground surface, which will cause shrink- sampled without structural disturbance from be-
age of the clay. The ground water table is initially neath the seafloor and sealed to prevent water
at the top of the clay stratum. Show profiles of movement in or out. The temperature of the clay
effective stress and water pressure versus depth for in situ is 5C. The effective stress at the time of
each stratum corresponding to the condition where sampling is 200 kPa and the void ratio of the clay
the vertical effective stress is the same in each at is 0.90. The sealed sample is taken immediately to
middepth. Will the clay structure be the same in the shipboard laboratory where the original in situ
each stratum at this depth at this time? Why? confining stress is immediately reapplied.
7. Describe and contrast the compression, consoli- a. What will be the subsequent effective stress in
dation, and swelling potential properties of the fol- the laboratory at a temperature of 20C? The
lowing soil types. Assume their initial states (wa- clay has a compression index of 0.5 and a
ter content, overburden pressure, environmental swelling index of 0.05. Other properties are as
chemistry) to be representative of the indicated follows:
soil type as ordinarily encountered in nature. • Compressibility of water ⫽ ⫺4.83 ⫻ 10⫺5
a. Loess cm2 /kg
b. Varved clay • Coefficient of thermal expansion of solid
c. Carbonate sand mineral particles ⫽ 0.35 ⫻ 10⫺4 C⫺1
d. Quick clay • Coefficient of thermal expansion of water ⫽
e. Tropical andisol 2.07 ⫻ 10⫺4C⫺1
f. Glacial moraine • Coefficient of thermal expansion of the soil
g. Torrential stream deposit or mudflow structure ⫽ 0.5 ⫻ 10⫺4C⫺1
h. Sand hydraulic fill b. How does the change in effective stress com-
puted in part (a) compare with the value esti-
i. Compacted clay liner of an earth dam mated on the basis of Table 10.10 in the text?
8. Prepare a schematic diagram of liquidity index c. If the same confining stress is maintained but
versus log effective consolidation pressure. Show drainage of the sample is then allowed, how
the positions of normally consolidated and heavily much water, expressed as a percentage of the
overconsolidated samples of a given clay on this original sample volume, will move in or out of
diagram. the clay?
9. Discuss the strengths and weaknesses of the os- d. Illustrate the changes accompanying the oper-
motic pressure and water adsorption theories for ation in parts (a) and (c) on a diagram of void
clay swelling in terms of their adequacy to explain ratio versus log effective consolidation pres-
the influences of mineralogical and compositional sure.
factors on the swelling of fine-grained soils. 13. Identify and discuss some possible consequences
10. Calculate the equilibrium void ratios at a pressure of seawater intrusion into a freshwater sand aqui-
of 1.0 atm for the following systems assuming that fer overlying a compressible clay stratum which,
the DLVO and osmotic pressure theories are valid: in turn, overlies another freshwater aquifer.
14. What is a collapsing soil? What conditions can (consolidating) a highly plastic clay slurry that is
initiate collapse? What factors determine the mag- initially at a liquidity index considerably greater
nitude and rate of collapse? Is the process com- than 1.0. Explain how each of the methods that
patible with the principle of effective stress? Why? you have identified works.
15. Volume and temperature stability over long peri- 17. Comment on the mechanisms of primary consoli-
ods of time (thousands of years) is a very im- dation and secondary compression in terms of the
rate-controlling factors, influences of and effects
portant consideration in the utilization of earth
on soil structure, whether they occur sequentially
materials as containment barriers for various types or concurrently, and the suitability of our usual
of chemical and radioactive waste. What mineral procedures for quantifying them for geoengineer-
types, gradations, and placement conditions would ing analysis.
you specify for this application? Why?
18. Suggest possible methods for preventing or reduc-
16. Suggest possible methods other than direct loading ing swelling on the exposure of expansive soil to
using surcharge fills for reducing the water content water and explain the mechanisms involved.
CHAPTER 11
Strength and Deformation

Behavior
11.1 INTRODUCTION In reality, the shearing resistance of a soil depends

on many factors, and a complete equation might be of
All aspects of soil stability—bearing capacity, slope the form
stability, the supporting capacity of deep foundations,
and penetration resistance, to name a few—depend on Shearing resistance ⫽ F(e, c, , , C, H, T, , ˙ , S)
soil strength. The stress–deformation and stress–
deformation–time behavior of soils are important in (11.3)
any problem where ground movements are of interest.
Most relationships for the characterization of the in which e is the void ratio, C is the composition, H
stress–deformation and strength properties of soils are is the stress history, T is the temperature, is the strain,
empirical and based on phenomenological descriptions ˙ is the strain rate, and S is the structure. All param-
of soil behavior. The Mohr–Coulomb equation is by eters in these equations may not be independent, and
far the most widely used for strength. It states that the functional forms of all of them are not known.
Consequently, the shear resistance values (including c
and ) are determined using specified test type (i.e.,
ff ⫽ c ⫹ ff tan (11.1) direct shear, triaxial compression, simple shear), drain-
age conditions, rate of loading, range of confining
ff ⫽ c ⫹ ff tan (11.2) pressures, and stress history. As a result, different fric-
tion angles and cohesion values have been defined, in-
cluding parameters for total stress, effective stress,
where ff is shear stress at failure on the failure plane, drained, undrained, peak strength, and residual
c is a cohesion intercept, ff is the normal stress on the strength. The shear resistance values applicable in
failure plane, and is a friction angle. Equation (11.1) practice depend on factors such as whether or not the
applies for ff defined as a total stress, and c and are problem is one of loading or unloading, whether or not
referred to as total stress parameters. Equation (11.2) short-term or long-term stability is of interest, and
applies for ff defined as an effective stress, and c and stress orientations.
are effective stress parameters. As the shear resis- Emphasis in this chapter is on the fundamental fac-
tance of soil originates mainly from actions at inter- tors controlling the strength and stress–deformation
particle contacts, the second equation is the more behavior of soils. Following a review of the general
fundamental. characteristics of strength and deformation, some re-
369
370 11 STRENGTH AND DEFORMATION BEHAVIOR
lationships among fabric, structure, and strength are (1ff ⫺ 3ff

) ⫽ (1ff
⫹ 3ff
)sin (11.5)
examined. The fundamentals of bonding, friction, par-
ticulate behavior, and cohesion are treated in some de- where the primes designate effective stresses
tail in order to relate them to soil strength properties. 1ff and 3ff
are the major and minor principal
Micromechanical interactions of particles in an assem- effective stresses at failure, respectively.
blage and the relationships between interparticle fric- 2. The basic contributions to soil strength are fric-
tion and macroscopic friction angle are examined from tional resistance between soil particles in con-
discrete particle simulations. Typical values of strength tact and internal kinematic constraints of soil
parameters are listed. The concept of yielding is intro- particles associated with changes in the soil fab-
duced, and the deformation behavior in both the pre- ric. The magnitude of these contributions de-
yield (including small strain stiffness) and post-yield pends on the effective stress and the volume
regions is summarized. Time-dependent deformations change tendencies of the soil. For such materials
and aging effects are discussed separately in Chapter the stress–strain curve from a shearing test is
12. The details of strength determination by means of typically of the form shown in Fig. 11.1a. The
laboratory and in situ tests and the detailed constitutive maximum or peak strength of a soil (point b)
modeling of soil deformation and strength for use in may be greater than the critical state strength,
numerical analyses are outside the scope of this book. in which the soil deforms under sustained load-
ing at constant volume (point c). For some soils,
the particles align along a localized failure plane
11.2 GENERAL CHARACTERISTICS OF after large shear strain or shear displacement,
STRENGTH AND DEFORMATION and the strength decreases even further to the
residual strength (point d). The corresponding
Strength three failure envelopes can be defined as shown
1. In the absence of chemical cementation between in Fig. 11.1b, with peak, critical, and residual
grains, the strength (stress state at failure or the friction angles (or states) as indicated.
ultimate stress state) of sand and clay is ap- 3. Peak failure envelopes are usually curved in the
proximated by a linear relationship with stress: manner shown in Fig. 4.16 and schematically in
Fig. 11.1b. This behavior is caused by dilatancy
ff ⫽ ff tan (11.4) suppression and grain crushing at higher
stresses. Curved failure envelopes are also ob-
or served for many clays at residual state. When
Shear
Secant Peak
Stress τ Strength Envelope
or Stress
Ratio τ/σ Peak b Shear Tangent Peak Critical state
Stress τ Strength Envelope Strength Envelope
φpeak
c At Large Strains Peak Strength
b, c φcritical state
Critical State
b Residual Strength Envelope
d
Residual c φ residual
d
a d
Strain a a Normal effective stress σ
Dense or Loose or Normally
Overconsolidated Consolidated
(a) (b)
Figure 11.1 Peak, critical, and residual strength and associated friction angle: (a) a typical
stress–strain curve and (b) stress states.
GENERAL CHARACTERISTICS OF STRENGTH AND DEFORMATION 371
expressed in terms of the shear strength nor- 4. The peak strength of cohesionless soils is influ-
malized by the effective normal stress as a func- enced most by density, effective confining
tion of effective normal stress, curves of the pressures, test type, and sample preparation
type shown in Fig. 11.2 for two clays are ob- methods. For dense sand, the secant peak fric-
tained. tion angle (point b in Fig. 11.1b) consists in part
Figure 11.2 Variation of residual strength with stress level (after Bishop et al., 1971): (a)
Brown London clay and (b) Weald clay.
of internal rolling and sliding friction between resistance depends only on composition and ef-
grains and in part of interlocking of particles fective stress. The basic concept of the critical
(Taylor, 1948). The interlocking necessitates state is that under sustained uniform shearing at
either volume expansion (dilatancy) or grain failure, there exists a unique combination of
fracture and/or crushing if there is to be void ratio e, mean pressure p, and deviator
deformation. For loose sand, the peak friction stress q.1 The critical states of reconstituted
angle (point b in Fig. 11.1b) normally coincides Weald clay and Toyoura sand are shown in Fig.
with the critical-state friction angle (point c), 11.4. The critical state line on the p –q plane is
and there is no peak in the stress–strain curve. linear,2 whereas that on an e-ln p (or e-log p)
5. The peak strength of saturated clay is influenced plane tends to be linear for clays and nonlinear
most by overconsolidation ratio, drainage con- for sands.
ditions, effective confining pressures, original 7. At failure, dense sands and heavily overconsol-
structure, disturbance (which causes a change in idated clays have a greater volume after drained
effective stress and a loss of cementation), and shear or a higher effective stress after undrained
creep or deformation rate effects. Overconsoli- shear than at the start of deformation. This is
dated clays usually have higher peak strength at due to its dilative tendency upon shearing. At
a given effective stress than normally consoli- failure, loose sands and normally consolidated
dated clays, as shown in Fig. 11.3. The differ- to moderately overconsolidated clays (OCR up
ences in strength result from both the different to about 4) have a smaller volume after drained
stress histories and the different water contents shear or a lower effective stress after undrained
at peak. For comparisons at the same water con- shear than they had initially. This is due to its
tent but different effective stress, as for points contractive tendency upon shearing.
A and A, the Hvorslev strength parameters ce 8. Under further deformation, platy clay particles
and e are obtained (Hvorslev, 1937, 1960). begin to align along the failure plane and the
Further details are given in Section 11.9. shear resistance may further decrease from the
6. During critical state deformation a soil is com- critical state condition. The angle of shear re-
pletely destructured. As illustrated in Fig. 11.1b, sistance at this condition is called the residual
the critical state friction angle values are inde- friction angle, as illustrated in Fig. 11.1b. The
pendent of stress history and original structure; postpeak shearing displacement required to
for a given set of testing conditions the shearing cause a reduction in friction angle from the crit-
ical state value to the residual value varies with
the soil type, normal stress on the shear plane,
and test conditions. For example, for shale my-
Water Content w
Normally Consolidated lonite3 in contact with smooth steel or other pol-

ished hard surfaces, a shearing displacement of
Void Ratio e
Virgin Compression only 1 or 2 mm is sufficient to give residual

strength.4 For soil against soil, a slip along the
A A
e ff
Rebound
Overconsolidated
1
In three-dimensional stress space ⫽ ( x, y, z, xy, yz, zx) or
the equivalent principal stresses ( 1, 2, 3), the mean effective
stress p, and the deviator stress q is defined as
σff σe
τ p ⫽ (x ⫹ y ⫹ z) / 3 ⫽ (1 ⫹ 2 ⫹ 3) / 3
Shear Stress τ
Peak Strength Envelope

φcrit q ⫽ (1 / 兹2)
Overconsolidated 兹(x ⫺ y)2 ⫹ (y ⫺ z)2 ⫹ (z ⫺ x)2 ⫹ 6 xy
2
⫹ 6 yz
2
⫹ 6 zx
2
A φe ⫽ (1 / 兹2)兹(1 ⫺ 2)2 ⫹ (2 ⫺ 3)2 ⫹ (3 ⫺ 1)2

A
ce Hvorslev Envelope For triaxial compression condition ( 1 ⬎ 2 ⫽ 3), p ⫽ ( 1 ⫹
2 2) / 3, q ⫽ 1 ⫺ 2
Normally Consolidated 2
The critical state failure slope on p–q plane is related to friction
0 σff angle , as described in Section 11.10.
Normal Effective Stress σ 3
A rock that has undergone differential movements at high temper-
ature and pressure in which the mineral grains are crushed against
Figure 11.3 Effect of overconsolidation on effective stress one another. The rock shows a series of lamination planes.
strength envelope. 4
D. U. Deere, personal communication (1974).
500 4
Critical State Line Critical State Line
Deviator Stress q (MPa)

Deviator Stress q (kPa)
400 3
300
2
200
Overconsolidated
1
100 Normally Consolidated
0 0
0 100 200 300 400 500 600 0 1 2 3 4
Mean Pressure p(kPa) Mean Pressure p(MPa)
(a-1) p versus q (b-1) p versus q
0.7 Critical State Line Critical State Line

Initial State
0.95
Isotropic Normal
0.6 Compression Line
0.90
Void ratio e
Void ratio e
0.5 0.85
0.80
0.4
Overconsolidated
0.75
0.3 Normally Consolidated
100 200 300 400 500 0.02 0.05 0.1 0.5 1 5

Mean Pressure p (kPa) Mean Pressure p(MPa)
(b-2) e versus logp
(a-2) e versus lnp
(a) (b)
Figure 11.4 Critical states of clay and sand: (a) Critical state of Weald clay obtained by
drained triaxial compression tests of normally consolidated () and overconsolidated (●)
specimens: (a-1) q–p plane and (a-2) e–ln p plane (after Roscoe et al., 1958). (b) Critical
state of Toyoura sand obtained by undrained triaxial compression tests of loose and dense
specimens consolidated initially at different effective stresses, (b-1) q–p plane and (b-2) e–
log p plane (after Verdugo and Ishihara, 1996).
shear plane of several tens of millimeters may of two samples of the same soil at the same void
be required, as shown by Fig. 11.5. However, ratio but with different fabrics are accountable
significant softening can be caused by strain in terms of different effective stresses as dis-
localization and development of shear bands, cussed in Chapter 8.
especially for dense samples under low confine- 10. Undrained strength in triaxial compression may
ment. differ significantly from the strength in triaxial
9. Strength anisotropy may result from both stress extension. However, the influence of type of test
and fabric anisotropy. In the absence of chemi- (triaxial compression versus extension) on the
cal cementation, the differences in the strength effective stress parameters c and is relatively
Figure 11.5 Development of residual strength with increasing shear displacement (after
Bishop et al., 1971).
small. Effective stress friction angles measured

in plane strain are typically about 10 percent
greater than those determined by triaxial com-
pression.
11. A change in temperature causes either a change
in void ratio or a change in effective stress (or
a combination of both) in saturated clay, as dis-
cussed in Chapter 10. Thus, a change in tem-
perature can cause a strength increase or a
strength decrease, depending on the circum-
stances, as illustrated by Fig. 11.6. For the tests
on kaolinite shown in Fig. 11.6, all samples
were prepared by isotropic triaxial consolidation
at 75F. Then, with no further drainage allowed,
temperatures were increased to the values indi-
cated, and the samples were tested in uncon-
fined compression. Substantial reductions in
strength accompanied the increases in temper-
ature.
Stress–Strain Behavior
1. Stress–strain behavior ranges from very brittle
for some quick clays, cemented soils, heavily
overconsolidated clays, and dense sands to duc- Figure 11.6 Effect of temperature on undrained strength of
tile for insensitive and remolded clays and loose kaolinite in unconfined compression (after Sherif and Bur-
sands, as illustrated by Fig. 11.7. An increase in rous, 1969).
(a) Typical Strain Ranges in the Field

Retaining Walls
Stiffness G or E
Foundations
Tunnels
Linear Elastic
Nonlinear Elastic
Preyield Plastic
Full Plastic
10-4 10-3 10-2 10-1 100 101

Figure 11.7 Types of stress–strain behavior.
Strain %
Dynamic Methods
Local Gauges
confining pressure causes an increase in the de- Conventional Soil Testing
formation modulus as well as an increase in
strength, as shown by Fig. 11.8. (b) Typical Strain Ranges for Laboratory Tests
2. Stress–strain relationships are usually nonlin- Figure 11.9 Stiffness degradation curve: stiffness plotted
ear; soil stiffness (often expressed in terms of against logarithm of strains. Also shown are (a) the strain
tangent or secant modulus) generally decreases levels observed during construction of typical geotechnical
with increasing shear strain or stress level up to structures (after Mair, 1993) and (b) the strain levels that can
peak failure stress. Figure 11.9 shows a typical be measured by various techniques (after Atkinson, 2000).
stiffness degradation curve, in terms of shear
modulus G and Young’s modulus E, along with
typical strain levels developed in geotechnical
construction (Mair, 1993) and as associated with four zones: (1) linear elastic zone, (2) nonlinear
different laboratory testing techniques used to elastic zone, (3) pre-yield plastic zone, and (4)
measure the stiffness (Atkinson, 2000). For ex- full plastic zone.
ample, Fig. 11.10 shows the stiffness degrada- 3. In the linear elastic zone, soil particles do not
tion of sands and clay subjected to increase in slide relative to each other under a small stress
shear strain. As illustrated in Fig. 11.9, the stiff- increment, and the stiffness is at its maximum.
ness degradation curve can be separated into The soil stiffness depends on contact interac-
tions, particle packing arrangement, and elastic
stiffness of the solids. Low strain stiffness val-
ues can be determined using elastic wave veloc-
ity measurements, resonant column testing, or
local strain transducer measurements. The mag-
nitudes of the small strain shear modulus (Gmax)
and Young’s modulus (Emax) depend on applied
confining pressure and the packing conditions
of soil particles. The following empirical equa-
tions are often employed to express these de-
pendencies:
Gmax ⫽ AG FG(e)pnG (11.6)
Ei(max) ⫽ AE FE(e)i nE (11.7)
where FG(e) and FE(e) are functions of void

ratio, p is the mean effective confining pres-
Figure 11.8 Effect of confining pressure on the consoli- sure, i is the effective stress in the i direction,
dated-drained stress–strain behavior of soils. and the other parameters are material constants.
Confining
TC PSC Pressure
Toyoura Sand 78.4 kPa Confining Pressures
Secant Shear Modulus G (MPa)
Secant Shear Modulus G (MPa)

140
120
Ticino Sand 49 kPa σc = 400 kPa
120
100
100 σc = 200 kPa
80
80
σc = 100 kPa
60 60
40 40 σc = 30 kPa
20 20
10-4 10-3 10-2 10-1 100 10-5 10-4 10-3 10-2 10-1 100
Shear Strain (%) Shear Strain (%)
(a) (b)
Figure 11.10 Stiffness degradation curve at different confining pressures: (a) Toyoura and
Ticino sands (TC: triaxial compression tests, PSC: plain strain compression tests) (after
Tatsuoka et al., 1997) and (b) reconstituted Kaolin clay (after Soga et al., 1996).
Figure 11.11 shows examples of the fitting of plastic soils at low confining pressure conditions
the above equations to experimental data. to greater than 5 ⫻ 10⫺2 percent at high confin-
4. The stiffness begins to decrease from the linear ing pressure or in soils with high plasticity (San-
elastic value as the applied strains or stresses tamarina et al., 2001).
increase, and the deformation moves into the 5. Irrecoverable strains develop in the pre-yield
nonlinear elastic zone. However, a complete cy- plastic zone. The initiation of plastic strains can
cle of loading, unloading, and reloading within be determined by examining the onset of per-
this zone shows full recovery of strains. The manent volumetric strain in drained conditions
strain at the onset of the nonlinear elastic zone or residual excess pore pressures in undrained
ranges from less than 5 ⫻ 10⫺4 percent for non- conditions after unloading. Available experi-
At each vertical effective stress,

Undisturbed horizontal effective stress σh⬘ (kPa)
104 Remolded was varied between 98 kPa and
500
Shear Modulus,Gmax MPa
Remolded with CaCO3

Vertical Young's Modulus
196 kPa
nG = 0.13
Evmax/FE(e) (MPa)
103 450
400 nE = 0.49
102 nG = 0.65
nG = 0.63 350
101 300
100 250
100 101 102 103 104 100 150 200 250 300
Confining pressure, p⬘ (kPa) Vertical Effective Stress,σv⬘ (kPa)
(a) (b)
Figure 11.11 Small strain stiffness versus confining pressure: (a) Shear modulus Gmax of
cemented silty sand measured by resonant column tests (from Stokoe et al. 1995) and (b)
vertical Young’s modulus of sands measured by triaxial tests (after Tatsuoka and Kohata,
1995).
mental data suggest that the strain level that in- changes when drainage is allowed or changes in
itiates plastic strains ranges between 7 ⫻ 10⫺3 pore water pressure and effective stress when
and 7 ⫻ 10⫺2 percent, with the lower limit for drainage is prevented. The general nature of this
uncemented normally consolidated sands and behavior is shown in Figs. 11.13a and 11.13b
the upper limit for high plasticity clays and ce- for drained and undrained conditions, respec-
mented sands. tively. The volume and pore water pressure
6. A distinctive kink in the stress–strain relation- changes depend on interactions between fabric
ship defines yielding, beyond which full plastic and stress state and the ease with which shear
strains are generated. A locus of stress states deformations can develop without overall
that initiate yielding defines the yield envelope. changes in volume or transfer of normal stress
Typical yield envelopes for sand and natural from the soil structure to the pore water.
clay are shown in Fig. 11.12. The yield envelope 8. The stress–strain relation of clays depends
expands, shrinks, and rotates as plastic strains largely on overconsolidation ratio, effective
develop. It is usually considered that expansion confining pressures, and drainage conditions.
is related to plastic volumetric strains; the sur- Figure 11.14 shows triaxial compression behav-
face expands when the soil compresses and ior of clay specimens that are first normally con-
shrinks when the soil dilates. The two inner en- solidated and then isotropically unloaded to
velopes shown in Fig. 11.12b define the bound- different overconsolidation ratios before shear-
aries between linear elastic, nonlinear elastic, ing. The specimens are consolidated at the same
and pre-yield zones. When the stress state confining pressure p0, but have different void
moves in the pre-yield zone, the inner envelopes ratios due to the different stress history (Fig.
move with the stress state. This multienvelope 11.14a). Drained tests on normally consolidated
concept allows modeling of complex deforma- clays and lightly overconsolidated clays show
tions observed for different stress paths (Mroz, ductile behavior with volume contraction (Fig.
1967; Prévost, 1977; Dafalias and Herrman, 11.14b). Heavily overconsolidated clays exhibit
1982; Atkinson et al., 1990; Jardine, 1992). a stiff response initially until the stress state
7. Plastic irrecoverable shear deformations of reaches the yield envelope giving the peak
saturated soils are accompanied by volume strength and volume dilation. The state of the
Yield State
Initial Condition Pre-yield State
q = σ⬘a-σ⬘r Yield State q = σ⬘a-σ⬘r Initial State Surrounded by
MPa MPa Linear Elastic Boundary
Failure Line Stress Path
0.8
0.6
Yield Envelope
Yield Envelope
0.6
0.4
0.4 Preyield Boundary
0.2
0.2 Linear Elastic
Boundary MPa
MPa
0.0 0.0
0.2 0.4 0.6 0.8 1.0 0.2 0.4 0.6
p = (σa + 2σr)/3 p = (σa + 2σr)/3
-0.2
-0.2
-0.4
Failure Line
(a) (b)
Figure 11.12 Yield envelopes: (a) Aoi sand (Yasufuku et al., 1991) and (b) Bothkennar clay
(from Smith et al., 1992).
Same Initial Confining Pressure Same Initial Confining Pressure
Dense Soil Critical State

Dense Soil
Deviator Metastable Fabric Deviator Cavitation
Stress Stress
Critical State
Loose Soil Loose Soil Critical State
Metastable Fabric
Axial or Deviator Strain Axial or Deviator Strain
Dense Soil
Dense Soil
-Δu Cavitation
+ΔV/V0
0 0
Loose Soil Loose soil

-ΔV/V0 +Δu
Metastable Fabric Metastable Fabric
(a) (b)
Figure 11.13 Volume and pore pressure changes during shear: (a) drained conditions and
(b) undrained conditions.
3 Heavily
Overconsolidated 3 Heavily Overconsolidated
Initial State Deviator Deviator
Failure at Critical State Stress 2 Lightly Stress U3
(D: Drained, U: Undrained) Overconsolidated
Void 2 Lightly Overconsolidated
Ratio U2
Virgin Compression Line D Critical State
U1 1 Normally Consolidated U1
1 Normally consolidated
Axial or Deviatoric Strain Axial or Deviatoric Strain

2 Lightly Overconsolidated
U2
D 3 Heavily Overconsolidated
+ΔV/V0 -Δu
U3 3 Heavily Overconsolidated
3 Heavily
Overconsolidated
Critical
2 Lightly Overconsolidated
State Line 2 Lightly Overconsolidated
-ΔV/V0 +Δu
p0 log p 1 Normally Consolidated
(a) (b) (c)
Figure 11.14 Stress–strain relationship of normally consolidated, lightly overconsolidated,

and heavily overconsolidated clays: (a) void ratio versus mean effective stress, (b) drained
tests, and (c) undrained tests.
FABRIC, STRUCTURE, AND STRENGTH 379
soil then progressively moves toward the critical
state exhibiting softening behavior. Undrained
shearing of normally consolidated and lightly
overconsolidated clays generates positive excess
pore pressures, whereas shear of heavily over-
consolidated clays generates negative excess
pore pressures (Fig. 11.14c).
9. The magnitudes of pore pressure that are de-
veloped in undrained loading depend on initial
consolidation stresses, overconsolidation ratio,
density, and soil fabric. Figure 11.15 shows the
undrained effective stress paths of anisotropi-
cally and isotropically consolidated specimens
(Ladd and Varallyay, 1965). The difference in
undrained shear strength is primarily due to dif-
ferent excess pore pressure development asso-
ciated with the change in soil fabric. At large
strains, the stress paths correspond to the same
friction angle.
10. A temperature increase causes a decrease in un-
drained modulus; that is, a softening of the soil.
As an example, initial strain as a function of
stress is shown in Fig. 11.16 for Osaka clay Figure 11.16 Effect of temperature on the stiffness of Osaka
clay in undrained triaxial compression (Murayama, 1969).
(MPa) Failure Line in

Triaxial Compression
0.3 tested in undrained triaxial compression at dif-
ferent temperatures. Increase in temperature
σr/σa = 0.54
causes consolidation under drained conditions
0.2 and softening under undrained conditions.
Deviator Stress q = σa + σrσ
0.1 11.3 FABRIC, STRUCTURE, AND STRENGTH

Fabric Changes During Shear of Cohesionless
0.0 Materials
0.1 0.2 0.3 0.4 (MPa)
The deformation of sands, gravels, and rockfills is in-
Mean Pressure fluenced by the initial fabric, as discussed and illus-
-0.1 p = (σa + 2σr )/3 trated in Chapter 8. As an illustration, fabric changes
associated with the sliding and rolling of grains during
triaxial compression were determined using a uniform
-0.2 sand composed of rounded to subrounded grains with
σr/σa = 1.84 sizes in the range of 0.84 to 1.19 mm and a mean axial
length ratio of 1.45 (Oda, 1972, 1972a, 1972b, 1972c).
-0.3 Failure Line in
Samples were prepared to a void ratio of 0.64 by tamp-
Triaxial Extension ing and by tapping the side of the forming mold. A
Initial At Failure
delayed setting water–resin solution was used as the
Anisotropically Consolidated σr/σa = 0.54
pore fluid. Samples prepared by each method were
Isotropically Consolidated
Anisotropically Consolidated σr/σa = 1.84
tested to successively higher strains. The resin was
then allowed to set, and thin sections were prepared.
Figure 11.15 Undrained effective stress paths of anisotrop- The differences in initial fabrics gave the markedly dif-
ically and isotropically consolidated specimens (after Ladd ferent stress–strain and volumetric strain curves shown
and Varallyay, 1965). in Fig. 11.17, where the plunging method refers to
Figure 11.17 Stress–strain and volumetric strain relationships for sand at a void ratio of
0.64 but with different initial fabrics (after Oda, 1972a). (a) Sample saturated with water
and (b) sample saturated with water–resin solution.
tamping. There is similarity between these curves and As the stress state approaches failure, a direct shear-
those for Monterey No. 0 sand shown in Fig. 8.23. A induced fabric forms that is generally composed of
statistical analysis of the changes in particle orientation regions of homogeneous fabric separated by discon-
with increase in axial strain showed: tinuities. No discontinuities develop before peak
strength is reached, although there is some particle ro-
1. For samples prepared by tapping, the initial fab- tation in the direction of motion. Near-perfect preferred
ric tended toward some preferred orientation of orientation develops during yield after peak strength is
long axes parallel to the horizontal plane, and the reached, but large deformations may be required to
intensity of orientation increased slightly during reach this state.
deformation.
2. For samples prepared by tamping, there was very
weak preferred orientation in the vertical direc- Compaction Versus Overconsolidation of Sand
tion initially, but this disappeared with deforma- Specimens at the same void ratio and stress state be-
tion. fore shearing, but having different fabrics, can exhibit
different stress–strain behavior. For example, consider
Shear deformations break down particle and aggre- a case in which one specimen is overconsolidated,
gate assemblages. Shear planes or zones did not appear whereas the other is compacted. The two specimens
until after peak stress had been reached; however, the are prepared in such a way that the initial void ratio is
distribution of normals to the interparticle contact the same for a given initial isotropic confining pres-
planes E() (a measure of fabric anisotropy) did sure. Coop (1990) performed undrained triaxial com-
change with strain, as may be seen in Fig. 11.18. This pression tests of carbonate sand specimens that were
figure shows different initial distributions for samples either overconsolidated or compacted, as illustrated in
prepared by the two methods and a concentration of Fig. 11.19a. The undrained stress paths and stress–
contact plane normals within 50 of the vertical as de- strain curves for the two specimens are shown in Figs.
formation progresses. Thus, the fabric tended toward 11.19b and 11.19c, respectively. The overconsolidated
greater anisotropy in each case in terms of contact sample was initially stiffer than the compacted speci-
plane orientations. There was little additional change men. The difference can be attributed to (i) different
in E() after the peak stress had been reached, which soil fabrics developed by different stress paths prior to
implies that particle rearrangement was proceeding shearing and (ii) different degrees of particle crushing
without significant change in the overall fabric. prior to shearing (i.e., some breakage has occurred dur-
FABRIC, STRUCTURE, AND STRENGTH 381
Figure 11.18 Distribution of interparticle contact normals as a function of axial strain for
sand samples prepared in two ways (after Oda, 1972a): (a) specimens prepared by tapping
and (b) specimens prepared by tamping.
ing the preconsolidation stage for the overconsolidated much lower peak strength for the sample prepared by
specimen). Therefore, overconsolidation and compac- kneading compaction.
tion produced materials with different mechanical The recoverable deformation of compacted kaolinite
properties. However, at large deformations, both spec- with flocculent structure ranges between 60 and 90
imens exhibited similar strengths because the initial percent, whereas the recovery of samples with dis-
fabrics were destroyed. persed structures is only of the order of 15 to 30 per-
cent of the total deformation, as may be seen in Fig.
11.21. This illustrates the much greater ability of the
Effect of Clay Structure on Deformations
braced-box type of fabric that remains after static com-
The high sensitivity of quick clays illustrates the prin- paction to withstand stress without permanent defor-
ciple that flocculated, open microfabrics are more rigid mation than is possible with the broken-down fabric
but more unstable than deflocculated fabrics. Similar associated with kneading compaction.
behavior may be observed in compacted fine-grained Different macrofabric features can affect the defor-
soils, and the results of a series of tests on structure- mation behavior as illustrated in Fig. 11.22 for the un-
sensitive kaolinite are illustrative of the differences drained triaxial compression testing of Bothkennar
(Mitchell and McConnell, 1965). Compaction condi- clay, Scotland (Paul et al., 1992; Clayton et al., 1992).
tions and stress–strain curves for samples of kaolinite Samples with mottled facies, in which the bedding fea-
compacted using kneading and static methods are tures had been disrupted and mixed by burrowing
shown in Fig. 11.20. The high shear strain associated mollusks and worms (bioturbation), gave the stiffest
with kneading compaction wet of optimum breaks response, whereas samples with distinct laminated fea-
down flocculated structures, and this accounts for the tures showed the softest response.
1.0
Overconsolidated
0.8
0.6
q (MPa)
Normal Compression Line
2 0.4
Compacted
0.2
Overconsolidated
Sample
Void 0
1.5 0 0.2 0.4 0.6
Ratio p (MPa)
(b)
q (MPa)
Compacted Sample
1.0
1
Compacted
0.75
0.5
(MPa) Overconsolidated
0.1 1
Mean Pressure p 0.25
(a)
0
0 4 8 12 16 20
Axial strain ε a (%)
(c)
Figure 11.19 Undrained response of compacted specimen and overconsolidated specimen

of carbonate sand: (a) stress path before shearing, (b) undrained stress paths during shearing,
and (c) stress–strain relationships (after Coop, 1990).
If slip planes develop at failure, platy and elongated clay can also be accounted for in terms of differences
particles align with their long axes in the direction of in effective stress, provided part of the undisturbed
slip. By then, the basal planes of the platy clay parti- strength does not result from cementation. Remolding
cles are enclosed between two highly oriented bands breaks down the structure and causes a transfer of ef-
of particles on opposite sides of the shear plane. The fective stress to the pore water.
dominant mechanism of deformation in the displace- An example of this is shown in Fig. 11.23, which
ment shear zone is basal plane slip, and the overall shows the results of incremental loading triaxial com-
thickness of the shear zone is on the order of 50 m. pression tests on two samples of undisturbed and re-
Fabrics associated with shear planes and zones have molded San Francisco Bay mud. In these tests, the
been studied using thin sections and the polarizing mi- undisturbed sample was first brought to equilibrium
croscope and by using the electron microscope (Mor- under an isotropic consolidation pressure of 80 kPa.
genstern and Tchalenko, 1967a, b and c; Tchalenko, After undrained loading to failure, the triaxial cell was
1968; McKyes and Yong, 1971). The residual strength disassembled, and the sample was remolded in place.
associated with these fabrics is treated in more detail The apparatus was reassembled, and pore pressure was
in Section 11.11. measured. Thus, the effective stress at the start of com-
pression of the remolded clay at the same water con-
tent as the original undisturbed clay was known.
Structure, Effective Stresses, and Strength
Stress–strain and pore pressure–strain curves for two
The effective stress strength parameters such as c and samples are shown in Figs. 11.23a and 11.23b, and
are isotropic properties, with anisotropy in un- stress paths for test 1 are shown in Fig. 11.23c.
drained strength explainable in terms of excess pore Differences in strength that result from fabric dif-
pressures developed during shear. The undrained ferences caused by thixotropic hardening or by differ-
strength loss associated with remolding undisturbed ent compaction methods can be explained in the same
FRICTION BETWEEN SOLID SURFACES 383
Figure 11.21 Ratio of recoverable to total strain for samples

of kaolinite with different structure.
Stress-Strain Relationships Stress Paths
0.6 0.6
(σa – σr)/2 σao
0.4 (σa – σr)/2 σao 0.4
Facies Facies
0.2 0.2
Mottled Mottled
Bedded Bedded
Laminated Laminated
0.0 0.0
Figure 11.20 Stress–strain behavior of kaolinite compacted 0 2 4 0.4 0.6 0.8 1.0
Axial Strain (%) (σa + σr)/2σao
by two methods.
Figure 11.22 Effect of macrofabric on undrained response
of Bothkennar clay in Scotland (after Hight and Leroueil,
2003).
way. Thus, in the absence of chemical or mineralogical
changes, different strengths in two samples of the same
soil at the same void ratio can be accounted for in
terms of different effective stress. true friction coefficient is shown in Fig. 11.24 and is
represented by
T
11.4 FRICTION BETWEEN SOLID SURFACES ⫽ ⫽ tan (11.8)
N
The friction angle used in equations such as (11.1),
(11.2), (11.4), and (11.5) contains resistance contri- where N is the normal load on the shear surface, T is
butions from several sources, including sliding of the shear force, and , the intergrain sliding friction
grains in contact, resistance to volume change (dila- angle, is a compositional property that is determined
tancy), grain rearrangement, and grain crushing. The by the type of soil minerals.
Figure 11.23 (a) and (b) Effect of remolding on undrained strength and pore water pressure
in San Francisco Bay mud. (c) Stress paths for triaxial compression tests on undisturbed and
remolded samples of San Francisco Bay mud.
Basic ‘‘Laws’’ of Friction 11.24, the value of T is the same for a given value
Two laws of friction are recognized, beginning with of N regardless of the size of the sliding block.
Leonardo da Vinci in about 1500. They were restated
by Amontons in 1699 and are frequently referred to as Although these principles of frictional resistance
Amontons’ laws. They are: have long been known, suitable explanations came
much later. It was at one time thought that interlocking
1. The frictional force is directly proportional to the between irregular surfaces could account for the be-
normal force, as illustrated by Eq. (11.8) and Fig. havior. On this basis, would be given by the tangent
11.24. of the average inclination of surface irregularities on
2. The frictional resistance between two bodies is the sliding plane. This cannot be the case, however,
independent of the size of the bodies. In Fig. because such an explanation would require that de-
Figure 11.23
(Continued )
contacting surfaces. He observed that the actual area

of contact is very small because of surface irregulari-
ties, and thus the cohesive forces must be large.
The foundation for the present understanding of the
mobilization of friction between surfaces in contact
was laid by Terzaghi (1920). He hypothesized that the
normal load N acting between two bodies in contact
causes yielding at asperities, which are local ‘‘hills’’
on the surface, where the actual interbody solid contact
develops. The actual contact area Ac is given by
N
Ac ⫽ (11.9)
y
where y is the yield strength of the material. The

shearing strength of the material in the yielded zone is
assumed to have a value m. The maximum shearing
force that can be resisted by the contact is then
T ⫽ Acm (11.10)
Figure 11.24 Coefficient of friction for surfaces in contact.
The coefficient of friction is given by T/N,
crease as surfaces become smoother and be zero for T Acm m

⫽ ⫽ ⫽ (11.11)
perfectly smooth surfaces. In fact, the coefficient of N Acy y
friction can be constant over a range of surface rough-
ness. Hardy (1936) suggested instead that static This concept of frictional resistance was subse-
friction originates from cohesive forces between quently further developed by Bowden and Tabor (1950,
1964). The Terzaghi–Bowden and Tabor hypothesis, Surface Adsorption

commonly referred to as the adhesion theory of fric- Because of unsatisfied force fields at the surfaces of
tion, is the basis for most modern studies of friction. solids, the surface structure may differ from that in the
Two characteristics of surfaces play key roles in the interior, and material may be adsorbed from adjacent
adhesion theory of friction: roughness and surface ad- phases. Even ‘‘clean’’ surfaces, prepared by fracture of
sorption. a solid or by evacuation at high temperature, are rap-
idly contaminated when reexposed to normal atmos-
Surface Roughness pheric conditions.
The surfaces of most solids are rough on a molecular According to the kinetic theory of gases, the time
scale, with successions of asperities and depressions for adsorption of a monolayer tm is given by
ranging from 10 nm to over 100 nm in height. The
slopes of the nanoscale asperities are rather flat, with
individual angles ranging from about 120 to 175 as 1
tm ⫽ (11.12)
shown in Fig. 11.25. The average slope of asperities SZ
on metal surfaces is an included angle of 150; on
rough quartz it may be over 175 (Bromwell, 1966).
When two surfaces are brought together, contact is es- where is the area occupied per molecule, S is the
tablished at the asperities, and the actual contact area fraction of molecules striking the surface that stick to
is only a small fraction of the total surface area. it, and Z is the number of molecules per second strik-
Quartz surfaces polished to mirror smoothness may ing a square centimeter of surface. For a value of S
consist of peaks and valleys with an average height of equal to 1, which is reasonable for a high-energy sur-
about 500 nm. The asperities on rougher quartz surface, the relationship between tm and gas pressure is
faces may be about 10 times higher (Lambe and Whit- shown in Fig. 11.26. The conclusion to be drawn from
man, 1969). Even these surfaces are probably smoother this figure is that adsorbed layers are present on the
than most soil particles composed of bulky minerals. surface of soil particles in the terrestrial environment,
The actual surface texture of sand particles depends on
geologic history as well as mineralogy, as shown in
Fig. 2.12.
The cleavage faces of mica flakes are among the
smoothest naturally occurring mineral surfaces. Even
in mica, however, there is some waviness due to ro-
tation of tetrahedra in the silica layer, and surfaces usu-
ally contain steps ranging in height from 1 to 100 nm,
reflecting different numbers of unit layers across the
particle.
Thus, large areas of solid contact between grains are
not probable in soils. Solid-to-solid contact is through
asperities, and the corresponding interparticle contact
stresses are high. The molecular structure and com-
position in the contacting asperities determine the mag-
nitude of m in Eq. (11.11).
Figure 11.26 Monolayer formation time as a function of at-

Figure 11.25 Contact between two smooth surfaces. mospheric pressure.
and contacts through asperities involve adsorbed ma- cles. The asperities, caused by surface waviness, are
terial, unless it is extruded under the high pressure.5 more regular but not as high as those for the bulky
minerals.
Adhesion Theory of Friction Thus, it can be postulated that for a given number
The basis for the adhesion theory of friction is in Eq. of contacts per particle, the load per asperity decreases
(11.10), that is, the tangential force that causes slid- with decreasing particle size and, for particles of the
ing depends on the solid contact area and the shear same size, is less for platy minerals than for bulky
strength of the contact. Plastic and/or elastic defor- minerals. Because should increase as the normal load
mations determine the contact area at asperities. per asperity increases, and it is reasonable to assume
Plastic Junctions If asperities yield and undergo that the adsorbed film strength is less than the strength
plastic deformation, then the contact area is propor- of the solid material (c ⬍ m), it follows that the true
tional to the normal load on the asperity as shown by friction angle () is less for small and platy particles
Eq. (11.9). Because surfaces are not clean, but are cov- than for large and bulky particles. In the event that two
ered by adsorbed films, actual solid contact may de- platy particles are in face-to-face contact and the sur-
velop only over a fraction of the contact area as face waviness is insufficient to cause direct solid-to-
shown in Fig. 11.27. If the contaminant film strength solid contact, shear will be through the adsorbed films,
is c, the strength of the contact will be and the effective value of will be zero, again giving
a lower value of .
T ⫽ Ac[m ⫹ (1 ⫺ )c] (11.13) In reality, the behavior of plastic junctions is more
complex. Under combined compression and shear
Equation (11.13) cannot be applied in practice be- stresses, deformation follows the von Mises–Henky
cause and c are unknown. However, it does provide criterion, which, for two dimensions, is
a possible explanation for why measured values of fric-
tion angle for bulky minerals such as quartz and feld- 2 ⫹ 3 2 ⫽ y2 (11.14)
spar are greater than values for the clay minerals and
other platy minerals such as mica, even though the For asperities loaded initially to ⫽ y, the appli-
surface structure is similar for all the silicate minerals. cation of a shear stress requires that become less
The small particle size of clays means that the load than y. The only way that this can happen is for the
per particle, for a given effective stress, will be small contact area to increase. Continued increase in leads
relative to that in silts and sands composed of the bulky to continued increase in contact area. This phenome-
minerals. The surfaces of platy silt and sand size par- non is called junction growth and is responsible for
ticles are smoother than those of bulky mineral parti- cold welding in some materials (Bowden and Tabor,
1964). If the shear strength of the junction equals that
of the bulk solid, then gross seizure occurs. For the
case where the ratio of junction strength to bulk ma-
terial strength is less than 0.9, the amount of junction
growth is small. This is the probable situation in soils.
Elastic Junctions The contact area between parti-
cles of a perfectly elastic material is not defined in
terms of plastic yield. For two smooth spheres in con-
tact, application of the Hertz theory leads to
d ⫽ (NR)1 / 3 (11.15)
Figure 11.27 Plastic junction between asperities with ad-

sorbed surface films.
where d is the diameter of a plane circular area of
contact; is a function of geometry, Poisson’s ratio,
and Young’s modulus6; and R is the sphere radius. The
5
contact area is
Conditions may be different on the Moon, where ultrahigh vacuum
exists. This vacuum produces cleaner surfaces. In the absence of
suitable adsorbate, clean surfaces can reduce their surface energy by
cohering with like surfaces. This could account for the higher co-
hesion of lunar soils than terrestrial soils of comparable gradation. 6
For a sphere in contact with a plane surface ⫽ 12(1 ⫺ 2) / E.
frictional resistance (Rowe, 1962). The residual fric-

Ac ⫽ (NR)2 / 3 (11.16) tion angles of quartz, feldspar, and calcite are indepen-
4
dent of normal stress as shown in Fig. 11.28.
If the shear strength of the contact is i, then On the other hand, a decreasing friction angle with
increasing normal load up to some limiting value of
T ⫽ i Ac (11.17) normal stress is evident for mica and the clay minerals
in Fig. 11.28 and has been found also for several clays
and and clay shales (Bishop et al., 1971), for diamond
(Bowden and Tabor, 1964), and for solid lubricants
T
such as graphite and molybdenum disulfide (Campbell,
⫽ ⫽ i (R)2 / 3 N⫺1 / 3 (11.18) 1969). Additional data for clay minerals show that fric-
N 4 tional resistance varies as ()⫺1 / 3 as predicted by Eq.
(11.22) up to a normal stress of the order of 200 kPa
According to these relationships, the friction coef- (30 psi), that is, the friction angle decreases with in-
ficient for two elastic asperities in contact should decreasing normal stress (Chattopadhyay, 1972).
crease with increasing load. Nonetheless, the adhesion There are at least two possible explanations of the
theory would still apply to the strength of the junction, normal stress independence of the frictional resistance
with the frictional force proportional to the area of real of quartz, feldspar, and calcite:
contact.
If it is assumed that the number of contacting as- 1. As the load per particle increases, the number of
perities in a soil mass is independent of particle size asperities in contact increases proportionally, and
and effective stress, then the influences of particle size the deformation of each asperity remains essen-
and effective stress on the frictional resistance of a soil tially constant. In this case, the assumption of one
with asperities deforming elastically may be analyzed. asperity per contact for the development of Eq.
For uniform spheres arranged in a regular packing, the (11.22) is not valid. Some theoretical considera-
gross area covered by one sphere along a potential tions of multiple asperities in contact are availa-
plane of sliding is 4R 2. The normal load per contacting ble (Johnson, 1985). They show that the area of
asperity, assuming one asperity per contact, is contact is approximately proportional to the ap-
plied load and hence the coefficient of friction is
N ⫽ 4R2 (11.19) constant with load.
2. As the load per asperity increases, the value of
Using Eq. (11.16), the area per contact becomes in Eq. (11.13) increases, reflecting a greater pro-
portion of solid contact relative to adsorbed film
contact. Thus, the average strength per contact
Ac ⫽ (4R3)2 / 3 (11.20) increases more than proportionally with the load,
4
while the contact area increases less than pro-
and the total contact area per unit gross area is portionally, with the net result being an essen-
tially constant frictional resistance.
(Ac)T ⫽
4R2 4冉冊
1 2
R (4)2 / 3 ⫽

16
(4)2 / 3
(11.21)
Quartz is a hard, brittle material that can exhibit both
elastic and plastic deformation. A normal pressure of
11 GPa (1,500,000 psi) is required to produce plastic
The total shearing resistance of is equal to the deformation, and brittle failure usually occurs before
contact area times i, so plastic deformation. Plastic deformations are evidently
restricted to small, highly confined asperities, and elas-
tic deformations control at least part of the behavior
⫽ (4)2 / 3 i ⫽ iK()⫺1 / 3 (11.22)
16 (Bromwell, 1965). Either of the previous two expla-
nations might be applicable, depending on details of
where K ⫽ (4)2 / 3 /16. On this basis, the coefficient surface texture on a microscale and characteristics of
of friction should decrease with increasing , but it the adsorbed films.
should be independent of sphere radius (particle size). With the exception of some data for quartz, there
Data have been obtained that both support and con- appears to be little information concerning possible
tradict these predictions. A 50-fold variation in the nor- variations of the true friction angle with particle size.
mal load on assemblages of quartz particles in contact Rowe (1962) found that the value of for assem-
with a quartz block was found to have no effect on blages of quartz particles on a flat quartz surface de-
FRICTIONAL BEHAVIOR OF MINERALS 389
Figure 11.28 Variation in friction angle with normal stress for different minerals (after
Kenney, 1967).
creased from 31 for coarse silt to 22 for coarse sand. do tests on two very small particles that are sliding
This is an apparent contradiction to the independence relative to each other, and test results for particle as-
of particle size on frictional resistance predicted by Eq. semblages are influenced by particle rearrangements,
(11.22). On the other hand, the assumption of one as- volume changes, surface preparation factors, and the
perity per contact may not have been valid for all par- like. Some values are available, however, and they are
ticle sizes, and additionally, particle surface textures on presented and discussed in this section.
a microscale could have been size dependent. Further-
more, there could have been different amounts of par-
ticle rearrangement and rolling in the tests on the Nonclay Minerals
different size fractions. Values of the true friction angle for several minerals
are listed in Table 11.1, along with the type of test and
Sliding Friction conditions used for their determination. A pronounced
The frictional resistance, once sliding has been initi- antilubricating effect of water is evident for polished
ated, may be equal to or less than the resistance that surfaces of the bulky minerals quartz, feldspar, and cal-
had to be overcome to initiate movement; that is, the cite. This apparently results from a disruptive effect of
coefficient of sliding friction can be less than the co- water on adsorbed films that may have acted as a lu-
efficient of static friction. A higher value of static bricant for dry surfaces. Evidence for this is shown in
friction than sliding friction is explainable by time- Fig. 11.29, where it may be seen that the presence of
dependent bond formations at asperity junctions. water had no effect on the frictional resistance of
Stick–slip motion, wherein varies more or less er- quartz surfaces that had been chemically cleaned prior
ratically as two surfaces in contact are displaced, ap- to the measurement of the friction coefficient. The
pears common to all friction measurements of minerals samples tested by Horn and Deere (1962) in Table 11.1
involving single contacts (Procter and Barton, 1974). had not been chemically cleaned.
Stick–slip is not observed during shear of assemblages An apparent antilubrication effect by water might
of large numbers of particles because the slip of indi- also arise from attack of the silica surface (quartz and
vidual contacts is masked by the behavior of the mass feldspar) or carbonate surface (calcite) and the for-
as a whole. However, it may be an important mecha- mation of silica and carbonate cement at interparticle
nism of energy dissipation for cyclic loading at very contacts. Many sand deposits exhibit ‘‘aging’’ effects
small strains when particles are not moving relative to wherein their strength and stiffness increase noticeably
each other. within periods of weeks to months after deposition,
disturbance, or densification, as described, for exam-
ple, by Mitchell and Solymar (1984), Mitchell (1986),
11.5 FRICTIONAL BEHAVIOR OF MINERALS Mesri et al. (1990), and Schmertmann (1991). In-
creases in penetration resistance of up to 100 percent
Evaluation of the true coefficient of friction and fric- have been measured in some cases. The relative im-
tion angle is difficult because it is very difficult to portance of chemical factors, such as precipitation at
Table 11.1 Values of Friction Angle (␾␮) Between Mineral Surfaces
Mineral Type of Test Conditions (deg) Comments Reference

Quartz Block over particle Dry 6 Dried over CaCl2 before Tschebotarioff and
set in mortar testing Welch (1948)
Moist 24.5
Water saturated 24.5
Quartz Three fixed particles Water saturated 21.7 Normal load per particle Hafiz (1950)
over block increasing from 1 to
100 g
Quartz Block on block Dry 7.4 Polished surfaces Horn and Deere (1962)
Quartz Particles on Water saturated 22–31 decreasing with in- Rowe (1962)
polished block creasing particle size
Quartz Block on block Variable 0–45 Depends on roughness Bromwell (1966)
and cleanliness
Quartz Particle–particle Saturated 26 Single-point contact Procter and Barton
(1974)
Particle–plane Saturated 22.2
Particle–plane Dry 17.4
Feldspar Block on block Dry 6.8 Polished surfaces Horn and Deere (1962)
Feldspar Free particles on flat Water saturated 37 25–500 sieve Lee (1966)
surface
Feldspar Particle–plane Saturated 28.9 Single-point contact Procter and Barton
(1974)
Calcite Block on block Dry 8.0 Polished surfaces Horn and Deere (1962)
Muscovite Along cleavage Dry 23.3 Oven dry Horn and Deere (1962)
faces
Dry 16.7 Air equilibrated
Saturated 13.0
Phlogopite Along cleavage Dry 17.2 Oven dry Horn and Deere (1962)
faces
Saturated 8.5
Biotite Along cleavage Dry 17.2 Oven dry Horn and Deere (1962)
faces
Saturated 7.4
Chlorite Along cleavage Dry 27.9 Oven dry Horn and Deere (1962)
faces
Saturated 12.4
interparticle contacts, changes in surface characteris- As surface roughness increases, the apparent anti-
tics, and mechanical factors, such as time-dependent lubricating effect of water decreases. This is shown
stress redistribution and particle reorientations, in caus- in Fig. 11.29 for quartz surfaces that had not been
ing the observed behavior is not known. Further details cleaned. Chemically cleaned quartz surfaces, which
of aging effects are given in Chapter 12. give the same value of friction when both dry and wet,
FRICTIONAL BEHAVIOR OF MINERALS 391
Figure 11.29 Friction of quartz (data from Bromwell, 1966 and Dickey, 1966).
show a loss in frictional resistance with increasing sur- Clay Minerals

face roughness. Evidently, increased roughness makes Few, if any, directly measured values of for the clay
it easier for asperities to break through surface films, minerals are available. However, because their surface
resulting in an increase in [Eq. (11.13) and Fig. structures are similar to those of the layer silicates dis-
11.27]. The decrease in friction with increased rough- cussed previously, approximately the same values
ness is not readily explainable. One possibility is that would be anticipated, and the ranges of residual fric-
the cleaning process was not effective on the rough tion angles measured for highly plastic clays and clay
surfaces. minerals support this. In very active colloidal pure
For soils in nature, the surfaces of bulky mineral clays, such as montmorillonite, even lower friction an-
particles are most probably rough relative to the scale gles have been measured. Residual values as low as 4
in Fig. 11.29, and they will not be chemically clean. for sodium montmorillonite are indicated by the data
Thus, values of ⫽ 0.5 and ⫽ 26 are reasonable in Fig. 11.28.
for quartz, both wet and dry. The effective stress failure envelopes for calcium
On the other hand, water apparently acts as a lubri- and sodium montmorillonite are different, as shown by
cant in sheet minerals, as shown by the values for mus- Fig. 11.30, and the friction angles are stress dependent.
covite, phlogopite, biotite, and chlorite in Table 11.1. For each material the effective stress failure envelope
This is because in air the adsorbed film is thin, and was the same in drained and undrained triaxial com-
surface ions are not fully hydrated. Thus, the adsorbed pression and unaffected by electrolyte concentration
layer is not easily disrupted. Observations have shown over the range investigated, which was 0.001 N to 0.1
that the surfaces of the sheet minerals are scratched N. The water content at any effective stress was inde-
when tested in air (Horn and Deere, 1962). When the pendent of electrolyte concentration for calcium mont-
surfaces of the layer silicates are wetted, the mobility morillonite, but varied in the manner shown in Fig.
of the surface films is increased because of their in- 11.31 for sodium montmorillonite.
creased thickness and because of greater surface ion This consolidation behavior is consistent with that
hydration and dissociation. Thus, the values of described in Chapter 10. Interlayer expansion in cal-
listed in Table 11.1 for the sheet minerals under satu- cium montmorillonite is restricted to a c-axis spacing
rated conditions (7 –13) are probably appropriate for of 1.9 nm, leading to formation of domains or layer
sheet mineral particles in soils. aggregates of several unit layers. The interlayer spac-
Figure 11.30 Effective stress failure diagrams for calcium and sodium montmorillonite (af-
ter Mesri and Olson, 1970).
the same time there is little increase in shear strength

because the shearing strength of water and solutions is
essentially independent of hydrostatic pressure. The
small friction angle that is observed for sodium mont-
morillonite at low effective stresses can be ascribed
mainly to the few interparticle contacts that resist par-
ticle rearrangement. Resistance from this source evi-
dently approaches a constant value at the higher
effective stresses, as evidenced by the nearly horizontal
failure envelope at values of average effective stress
greater than about 50 psi (350 kPa), as shown in Fig.
11.30. The viscous resistance of the pore fluid may
Figure 11.31 Shear and consolidation behavior of sodium contribute a small proportion of the strength at all ef-
montmorillonite (after Mesri and Olson, 1970). fective stresses.
An hypothesis of friction between fine-grained par-
ticles in the absence of interparticle contacts is given
by Santamarina et al. (2001) using the concept of
ing of sodium montmorillonite is sensitive to double-
‘‘electrical’’ surface roughness as shown in Fig. 11.32.
layer repulsions, which, in turn, depend on the
Consider two clay surfaces with interparticle fluid as
electrolyte concentration. The influence of the electro-
shown in Fig. 11.32b. The clay surfaces have a number
lyte concentration on the behavior of sodium mont-
of discrete charges, so a series of potential energy
morillonite is to change the water content, but not the
wells exists along the clay surfaces. Two cases can be
strength, at any effective consolidation pressure. This
considered:
suggests that the strength generating mechanism is in-
dependent of the system chemistry.
The platelets of sodium montmorillonite act as thin 1. When the particle separation is less than several
films held apart by high repulsive forces that carry the nanometers, there are multiple wells of minimum
effective stress. For this case, if it is assumed that there energy between nearby surfaces and a force is
is essentially no intergranular contact, then Eq. (7.29) required to overcome the energy barrier between
becomes the wells when the particles move relative to each
other. Shearing involves interaction of the mole-
i ⫽ ⫹ A ⫺ u0 ⫺ R ⫽ 0 (11.23) cules of the interparticle fluid. Due to the multi-
ple energy wells, the interparticle fluid molecules
Since ⫺ u0 is the conventionally defined effective go through successive solidlike pinned states.
stress , and assuming negligible long-range attrac- This stick–slip motion contributes to frictional
tions, Eq. (11.23) becomes resistance and energy dissipation.
2. When the particle separation is more than several
⫽ R (11.24) nanometers, the two clay surfaces interact only
by the hydrodynamic viscous effects of the in-
This accounts for the increase in consolidation pres- terparticle fluid, and the frictional force may be
sure required to decrease the water content, while at estimated using fluid dynamics.
PHYSICAL INTERACTIONS AMONG PARTICLES 393
disorder of particles, (i.e., local spatial fluctuations of
coordination number, and positions of neighboring par-
ticles) produce packing constraints and disorder. This
leads to inhomogeneous but structured force distribu-
tions within the granular system. Deformation is as-
sociated with buckling of these force chains, and
energy is dissipated by sliding at the clusters of par-
ticles between the force chains.
Discrete particle numerical simulations, such as the
discrete (distinct) element method (Cundall and Strack,
1979) and the contact dynamics method (Moreau,
1994), offer physical insights into particle interactions
and load transfers that are difficult to deduce from
physical experiments. Typical inputs for the simula-
tions are particle packing conditions and interparticle
contact characteristics such as the interparticle friction
angle . Complete details of these numerical methods
are beyond the scope of this book; additional infor-
mation can be found in Oda and Iwashita (1999).
However, some of the main findings are useful for
developing an improved understanding of how stresses
are carried through discrete particle systems such as
soils and how these distributions influence the defor-
mation and strength properties.
Strong Force Networks and Weak Clusters

Figure 11.32 Concept of ‘‘electrical’’ surface roughness ac-
cording to Santamarina et al., (2001): (a) electrical roughness Examples of the computed normal contact force dis-
and (b) conceptual picture of friction in fine-grained particles. tribution in a granular system are shown in Figs.
11.33a for an isotropically loaded condition and
11.33b for a biaxial loaded condition (Thornton and
Barnes, 1986). The thickness of the lines in the figure
The aggregation of clay plates in calcium montmo- is proportional to the magnitude of the contact force.
rillonite produces particle groups that behave more like The external loads are transmitted through a network
equidimensional particles than platy particles. There is of interparticle contact forces represented by thicker
more physical interference and more intergrain contact lines. This is called the strong force network and is the
than in sodium montmorillonite since the water content key microscopic feature of load transfer through the
range for the strength data shown in Fig. 11.30 was granular system. The scale of statistical homogeneity
only about 50 to 97 percent, whereas it was about 125 in a two-dimensional particle assembly is found to be
to 450 percent for the sodium montmorillonite. At a a few tens of particle diameters (Radjai et al., 1996).
consolidation pressure of about 500 kPa, the slope of Forces averaged over this distance could therefore be
the failure envelope for calcium montmorillonite was expected to give a stress that is representative of the
about 10, which is in the middle of the range for non- macroscopic stress state. The particles not forming a
clay sheet minerals (Table 11.1). part of the strong force network are floating like a fluid
with small loads at the interparticle contacts. This can
be called the weak cluster, which has a width of 3 to
11.6 PHYSICAL INTERACTIONS AMONG 10 particle diameters.
PARTICLES Both normal and tangential forces exist at interpar-
ticle contacts. Figure 11.34 shows the probability dis-
Continuum mechanics assumes that applied forces are tributions (PN and PT) of normal contact forces N and
transmitted uniformly through a homogenized granular tangential contact forces T for a given biaxial loading
system. In reality, however, the interparticle force dis- condition. The horizontal axis is the forces normalized
tributions are strongly inhomogeneous, as discussed in by their mean force value (⬍N⬎ or ⬍T⬎), which de-
Chapter 7, and the applied load is transferred through pend on particle size distribution (Radjai et al., 1996).
a network of interparticle force chains. The generic The individual normal contact forces can be as great
tric compression of a dense granular assembly (Thorn-

ton, 2000). The strong force network carries most of
the whole deviator load as shown in Fig. 11.36 and is
the load-bearing part of the structure. For particles in
the strong force networks, the tangential contact forces
are much smaller than the interparticle frictional resis-
tance because of the large normal contact forces. In
contrast, the numerical analysis results show that the
tangential contact forces in the weak clusters are close
to the interparticle frictional resistance. Hence, the fric-
tional resistance is almost fully mobilized between par-
ticles in the weak clusters, and the particles are perhaps
behaving like a viscous fluid.
Buckling, Sliding, and Rolling

As particles begin to move relative to each other during
shear, particles in the strong force network do not slide,
but columns of particles buckle (Cundall and Strack,
1979). Particles in the strong force network collapse
upon buckling, and new force chains are formed.
Hence, the spatial distributions of the strong force net-
work are neither static nor persistent features.
At a given time of biaxial compression loading, par-
ticle sliding is occurring at almost 10 percent of the
contacts (Kuhn, 1999) and approximately 96 percent
of the sliding particles are in the weak clusters (Radjai
Figure 11.33 Normal force distributions of a two- et al., 1996). Over 90 percent of the energy dissipation
dimensional disk particle assembly: (a) isotropic stress con- occurs at just a small percentage of the contacts (Kuhn,
dition and (b) biaxial stress condition with maximum load in 1999). This small number of sliding particles is asso-
the vertical direction (after Thornton and Barnes, 1986). ciated with the ability of particles to roll rather than to
slide. Particle rotations reduce contact sliding and dis-
sipation rate in the granular system. If all particles
could roll upon one another, a granular assembly
as six times the mean normal contact force, but would deform without energy dissipation.7 However,
approximately 60 percent of contacts carry normal this is not possible owing to restrictions on particle
contact forces below the mean (i.e., weak cluster rotations. It is impossible for all particles to move by
particles). When normal contact forces are larger than rotation, and sliding at some contacts is inevitable due
their mean, the distribution law of forces can be ap- to the random position of particles (Radjai and Roux,
proximated by an exponentially decreasing function; 1995).8 Some frictional energy dissipation can there-
Radjai et al. (1996) show that PN ( ⫽ N/ ⬍N⬎) ⫽ fore be considered a consequence of disorder of par-
ke1.4(1⫺ ) fits the computed data well for both two-and ticle positions.
three-dimensional simulations. The exponent was As deformation progresses, the number of particles
found to change very slightly with the coefficient of in the strong force network decreases, with fewer par-
interparticle friction and to be independent of particle ticles sharing the increased loads (Kuhn, 1999). Figure
size distributions.
Simulations show that applied deviator load is trans-
ferred exclusively by the normal contact forces in the 7
This assumes that the particles are rigid and rolling with a single-
strong force networks, and the contribution by the point contact. In reality, particles deform and exhibit rolling resis-
weak clusters is negligible. This is illustrated in Fig. tance. Iwashita and Oda (1998) state that the incorporation of rolling
11.35, which shows that the normal contact forces con- resistance is necessary in discrete particle simulations to generate
realistic localized shear bands.
tribute greater than the tangential contact forces to the 8
For instance, consider a chain loop of an odd number of particles.
development of the deviator stress during axisymme- Particle rotation will involve at least one sliding contact.
Figure 11.34 Probability distributions of interparticle contact forces: (a) normal forces and
(b) tangential forces. The distributions were obtained for contact dynamic simulations of
500, 1024, 1200 and 4025 particles. The effect of number of particles in the simulation on
probability distribution appears to be small (after Radjai et al., 1996).
Figure 11.35 Contributions of normal and tangential contact Figure 11.36 Contributions of strong and weak contact
forces to the evolution of the deviator stress during axisym- forces to the evolution of the deviator stress during axisym-
metric compression of a dense granular assembly (after metric compression of a dense granular assembly (after
Thornton, 2000). Thornton, 2000).
11.37 shows the spatial distribution of residual defor- boundary of the group shows large residual deforma-
mation, in which the computed deformation of each tion, whereas the center shows very small residual de-
particle is subtracted from the average overall defor- formation. The rotating group of interlocked particles,
mation (Williams and Rege, 1997). A group of inter- which can be considered as a weak cluster, becomes
locked particles that instantaneously moves as a rigid more apparent as applied strains increase toward fail-
body in a circular manner can be observed. The outer ure. The bands of large residual deformation [termed
Stress Ratio q/p

Contact Plane Normals Triaxial Compression
in Initial State: 1.5
A More in Vertical Direction
B Same in All Directions 1.0
C More in Horizontal Direction
0.5
-8 -6 -4 -2 2 4 6 8 10
-0.5 Axial Strain (%)
Triaxial Extension -1.0
(a)
Fabric Anisotropy A
Contact Plane Normals
in Initial State: 0.4
A More in Vertical Direction
0.3
B Same in All Directions
0.2
C More in Horizontal Direction
0.1
-8 -6 -4 -2 2 4 6 8 10
-0.1
Axial Strain (%)
-0.2
-0.3
-0.4
-0.5
Figure 11.37 Spatial distribution of residual deformation ob- (b)

served in an elliptic particle assembly at an axial strain level
of (a) 1.1%, (b) 3.3%, (c) 5.5%, (d) 7.7%, (e) 9.8%, and Figure 11.38 Discrete element simulations of drained tri-
(ƒ ) 12.0% (after Williams and Rege, 1997). axial compression and extension tests of particle assemblies
prepared at different initial contact fabrics: (a) stress–strain
relationships and (b) evolution of fabric anisotropy parameter
A (after Yimsiri, 2001).
microbands by Kuhn (1999)] are where particle trans-
lations and rotations are intense as part of the strong
force network. Kuhn (1999) reports that their thick- of discrete particle simulations of particle assemblies
nesses are 1.5D50 to 2.5D50 in the early stages of shear- prepared at different states of initial contact anisotropy
ing and increase to between 1.5D50 and 4D50 as under an isotropic stress condition (Yimsiri, 2001). The
deformation proceeds. This microband slip zone may initial void ratios are similar (e0 ⬇ 0.75 to 0.76) and
eventually become a localized shear band. both drained triaxial compression and extension tests
were simulated. Although all specimens are initially
isotropically loaded, the directional distributions of
Fabric Anisotropy contact forces are different due to different orientations
The ability of a granular assemblage of particles to of contact plane normals (sample A: more in the ver-
carry deviatoric loads is attributed to its capability to tical direction; sample B: similar in all directions; sam-
develop anisotropy in contact orientations. An initial ple C: more in the horizontal direction). As shown in
isotropic packing of particles develops an anisotropic Fig. 11.38a, both samples A and C showed stiffer re-
contact network during compression loading. This is sponse when the compression loading was applied in
because new contacts form in the direction of com- the preferred direction of contact forces, but softer re-
pression loading and contacts that orient along the di- sponse when the loading was perpendicular to the pre-
rection perpendicular to loading direction are lost. ferred direction of contact forces. The response of
The initial state of contact anisotropy (or fabric) sample B, which had an isotropic fabric, was in be-
plays an important role in the subsequent deformation tween the two. Dilation was most intensive when the
as illustrated in Fig. 11.18. Figure 11.38 shows results contact forces were oriented preferentially in the di-
rection of applied compression; and experimental data forces categorized by their magnitudes when the spec-
presented by Konishi et al. (1982) shows a similar imen is under a biaxial compression loading condition
trend. (Radjai, 1999). The direction of contact anisotropy of
Figure 11.38b shows the development of fabric an- the weak clusters (N/ ⬍N⬎ less than 1) is orthogonal
isotropy with increasing strain. The degree of fabric to the direction of compression loading, whereas that
anisotropy is expressed by a fabric anisotropy param- of the strong force network (N/⬍ N⬎ more than 2) is
eter A; the value of A increases with more vertically parallel. Figure 11.40 shows an example of fabric ev-
oriented contact plane normals and is negative when olution with strains in biaxial loading (Thornton and
there are more horizontally oriented contact plane nor- Antony, 1998). The fabric anisotropy is separated into
mals.9 The fabric parameter gradually changes with in- that in the strong force networks (N/⬍ N⬎ of more
creasing strains and reaches a steady-state value as the than 1) and that in the weak clusters (N/ ⬍N⬎ less than
specimens fail. The final steady-state value is indepen- 1). Again the directional evolution of the fabric in the
dent of the initial fabric, indicating that the inherent weak clusters is opposite to the direction of loading.
anisotropy is destroyed by the shearing process. The Therefore, the stability of the strong force chains
final fabric anisotropy after triaxial extension is larger aligned in the vertical loading direction is obtained by
than that after triaxial compression because the addi- the lateral forces in the surrounding weak clusters.
tional confinement by a larger intermediate stress in
the extension tests created a higher degree of fabric
anisotropy. Changes in Number of Contacts and Microscopic
Close examination of the contact force distribution Voids
for the strong force network and weak clusters gives At the beginning of biaxial loading of a dense granular
interesting microscopic features. Figure 11.39 shows
assembly, more contacts are created from the increase
the values of A determined for the subgroups of contact
in the hydrostatic stress, and the local voids become
smaller. As the axial stress increases, however, the lo-
cal voids tend to elongate in the direction of loading
as shown in Fig. 11.41. Consequently particle contacts
0.1 are lost. As loading progresses, vertically elongated lo-
cal voids become more apparent, leading to dilation in
Fabric Anisotropy Parameter A
0.05
0.0
1 2 3 4 5 6
N/<N>
-0.05
-0.1
Figure 11.39 Fabric anisotropy parameter A for different

levels of contact force when the specimen is under biaxial
compression loading conditions (after Radjai et al., 1996).
9
The density of contact plane normals E() with direction is fitted
with the following expression (Radjai, 1999):
c
E() ⫽ {1 ⫹ A cos 2( ⫺ c)}

where c is the total number of contacts, c is the direction for which Figure 11.40 Evolution of the fabric anisotropy parameters
the maximum E is reached, and the magnitude of A indicates the
amplitude of anisotropy. When the directional distribution of contact of strong forces and weak clusters when the specimen is un-
forces is independent of , the system has an isotropic fabric and der biaxial compression loading conditions (after Thornton
A ⫽ 0. and Antony, 1998).
Figure 11.41 Simulated spatial distribution of local microvoids under biaxial loading (after
Iwashita and Oda, 2000): (a) 11 ⫽ 1.1% (before failure), (b) 11 ⫽ 2.2% (at failure), (c)
11 ⫽ 4.4% (after failure), and (d ) 11 ⫽ 5.5% (after failure).
terms of overall sample volume (Iwashita and Oda, strain is required to reach the critical state void ratio.
2000). Practical implication of this is discussed further in Sec-
Void reduction is partly associated with particle tion 11.7.
breakage. Thus, there is a need to incorporate grain
crushing in discrete particle simulations to model the Macroscopic Friction Angle Versus Interparticle
contractive behavior of soils (Cheng et al., 2003). Nor- Friction Angle
mal contact forces in the strong force network are quite Discrete particle simulations show that an increase in
high, and, therefore, particle asperities, and even par- the interparticle friction angle results in an increase
ticles themselves, are likely to break, causing the force in shear modulus and shear strength, in higher rates of
chains to collapse. dilation, and in greater fabric anisotropy. Figure 11.42
Local voids tend to change size even after the ap- shows the effect of assumed interparticle friction angle
plied stress reaches the failure stress state (Kuhn, on the mobilized macroscopic friction angle of the
1999). This suggests that the degrees of shearing re- particle assembly (Thornton, 2000; Yimsiri, 2001). The
quired for the stresses and void ratio to reach the crit- macroscopic friction angle is larger than the interpar-
ical state are different. Numerical simulations by ticle friction angle if the interparticle friction angle is
Thornton (2000) show that at least 50 percent axial smaller than 20. As the interparticle friction becomes
50
40
Macroscopic Friction Angle (degrees)
30
20
Drained (Thornton, 2000)
Drained Triaxial Compression (Yimsiri, 2001)
Undrained Triaxial Compression (Yimsiri, 2001)
10 Drained Triaxial Extension (Yimsiri, 2001)
Undrained Triaxial Extension (Yimsiri, 2001)
Experiment (Skinner, 1969)
0
0 10 20 30 40 50 60 70 80 90
Interparticle Friction Angle (degrees)
Figure 11.42 Relationships between interparticle friction angle and macroscopic friction
angle from discrete element simulations. The macroscopic friction angle was determined
from simulations of drained and undrained triaxial compression (TC) and extension (TE)
tests. The experimental data by Skinner (1969) is also presented (after Thornton, 2000, and
Yimsiri, 2001).
more than 20, the contribution of increasing interpar- have like a fluid. Increased friction at the contacts in-
ticle friction to the macroscopic friction angle becomes creases the stability of the system and reduces the
relatively small; the macroscopic friction angle ranges number of contacts required to achieve a stable con-
between 30 and 40, when the interparticle friction dition. As long as the strong force network can be
angle increases from 30 to 90.10 formed, however, the magnitude of the interparticle
The nonproportional relationship between macro- friction becomes of secondary importance.
scopic friction angle of the particle assembly and in- The above findings from discrete particle simula-
terparticle friction angle results because deviatoric load tions are partially supported by the experimental data
is carried by the strong force networks of normal given by Skinner (1969), which are also shown in Fig.
forces and not by tangential forces, whose magnitude 11.42. He performed shear box tests on spherical par-
is governed by interparticle friction angle. Increase in ticles with different coefficients of interparticle friction
interparticle friction results in a decrease in the per- angle. The tested materials included glass ballotini,
centage of sliding contacts (Thornton, 2000). The in- steel ball bearings, and lead shot. Use of glass ballotini
terparticle friction therefore acts as a kinematic was particularly attractive since the coefficient of in-
constraint of the strong force network and not as the terparticle friction increases by a factor of between 3.5
direct source of macroscopic resistance to shear. If the and 30 merely by flooding the dry sample. Skinner’s
interparticle friction were zero, strong force chains data shown in Fig. 11.42 indicate that the macroscopic
could not develop, and the particle assembly will be- friction angle is nearly independent of interparticle
friction angle.
Effects of Particle Shape and Angularity

10
Reference to Table 11.1 shows that actually measured values of
for geomaterials are all less than 45. Thus, numerical simulations A lower porosity and a larger coordination number are
done assuming larger values of appear to give unrealistic results. achieved for ellipsoidal particles compared to spherical
particles (Lin and Ng, 1997). Hence, a denser packing

can be achieved for ellipsoidal particles. Ellipsoid par- Deviator
ticles rotate less than spherical particles. An assembly Stress
Critical
of ellipsoid particles gives larger values of shear q = σa – σr State Line M (triaxial
strength and initial modulus than an assemblage of compression)
spherical particles, primarily because of the larger co- σa
ordination number for ellipsoidal particles. Similar
findings result for two-dimensional particle assemblies. σr σr
Circular disks give the highest dilation for a given
stress ratio and the lowest coordination number com- Mean Pressure p
pared to elliptical or diamond shapes (Williams and
Critical M (triaxial
Rege, 1997). An assembly of rounded particles exhib- extension)
its greater softening behavior with fabric anisotropy State Line
change with strain, whereas an assembly of elongated
particles requires more shearing to modify its initial (a)
fabric anisotropy to the critical state condition
(Nouguier-Lehon et al., 2003). Specific Compression Lines of
Volume v Constant Stress Ratio q/p
Γ
11.7 CRITICAL STATE: A USEFUL REFERENCE λ
CONDITION
λ cs
After large shear-induced volume change, a soil under Isotropic
a given effective confining stress will arrive ultimately Compression
at a unique final water content or void ratio that is Line
Critical
independent of its initial state. At this stage, the inter- State Line
locking achieved by densification or overconsolidation
1 ln p
is gone in the case of dense soils, the metastable struc-
ture of loose soils has collapsed, and the soil is fully (b)
destructured. A well-defined strength value is reached Figure 11.43 Critical state concept: (a) p–q plane and (b)
at this state, and this is often referred to as the critical v–ln p plane.
state strength. Under undrained conditions, the critical
state is reached when the pore pressure and the effec-
tive stress remain constant during continued deforma-
tion. The critical state can be considered a fundamental state stress ratio. The critical state on the void ratio (or
state, and it can be used as a reference state to explain specific volume)–mean pressure plane is defined by
the effect of overconsolidation ratios, relative density, two material parameters: cs, the critical state com-
and different stress paths on strength properties of soils pression index and %, the specific volume intercept at
(Schofield and Wroth, 1968). unit pressure (p ⫽ 1). The compression lines under
constant stress ratios are often parallel to each other,
Clays as shown in Fig. 11.43b.
Parameter M in Equation (11.25) defines the critical
The basic concept of the critical state is that, under state stress ratio at failure and is similar to for the
sustained uniform shearing, there exists a unique re- Mohr–Coulomb failure line. However, Equation
lationships among void ratio ecs (or specific volume (11.25) includes the effect of intermediate principal
vcs ⫽ 1 ⫹ ecs), mean effective pressure pcs, and deviator
stress 2 because p ⫽ 1 ⫹ 2 ⫹ 3, whereas the
stress qcs as shown in Fig. 11.43. An example of the Mohr–Coulomb failure criterion of Eq. (11.4) or (11.5)
critical state of clay was shown in Fig. 11.4a. The crit- does not take the intermediate effective stress into ac-
ical state of clay can be expressed as count. In triaxial conditions, a ⬎ r ⫽ r and r ⫽
r ⬎ a for compression and extension, respectively
qcs ⫽ Mpcs
(11.25) (see Fig. 11.43).11 Hence, Eqs. (11.4) and (11.25) can
vcs ⫽ 1 ⫹ ecs ⫽ % ⫺ cs ln pcs (11.26) be related to each other for these two cases as follows:
where qcs is the deviator stress at failure, pcs is the

mean effective stress at failure, and M is the critical 11
a is the axial effective stress and r is the radial effective stress.
CRITICAL STATE: A USEFUL REFERENCE CONDITION 401
6 sin crit and C for drained triaxial compression. Hence, the de-
M⫽ for triaxial compression (11.27)
3 ⫺ sin crit viator stress at critical state is smaller for the undrained
case than for the drained case. On the other hand, when
6 sin crit the initial state of the soil is overconsolidated from
M⫽ for triaxial extension (11.28)
3 ⫹ sin crit D (Fig. 11.44b), the critical state becomes E for un-
drained loading and F for drained triaxial compression.
These equations indicate that the correlation be- The deviator stress at critical state is smaller for the
tween M and crit is not unique but depends on the drained case compared to the undrained case. It is im-
stress conditions. Neither is a fundamental property of portant to note that the soil state needs to satisfy both
the soil, as discussed further in Section 11.12. None- state equations [Eqs. (11.25) and (11.26)] to be at crit-
theless, both are widely used in engineering practice, ical state. For example, point G in Fig. 11.44b satisfies
and, if interpreted properly, they can provide useful pcs and qcs, but not ecs; therefore, it is not at the critical
and simple phenomenological representations of com- state.
plex behavior. Converting the void ratio in Eq. (11.26) to water
The drained and undrained critical state strengths are content, a normalized critical state line can be written
illustrated in Figs. 11.44a and 11.44b for normally using the liquidity index (see Fig. 11.45).
consolidated clay and heavily overconsolidated clay,
respectively. The initial mean pressure–void ratio state wcs ⫺ wPL /p)
ln(pPL
of the normally consolidated clay is above the critical LIcs ⫽ ⫽ (11.29)
wLL ⫺ wPL ln(pPL /pLL)
state line, whereas that of the heavily overconsolidated
clay is below the critical state line. When the initial
state of the soil is normally consolidated at A (Fig. where wcs is the water content at critical state when
11.44a), the critical state is B for undrained loading the effective mean pressure is p. pLL and pPL
are the
Critical
Deviator Critical Deviator Drained Peak Strength State Line
Stress q State Line M Stress q M
Drained Strength Undrained Strength
C
Drained Strength
E
Undrained G F
Strength
3
B 3
1 D
1
A Mean pressure p D Mean pressure p
Specific Specific
Volume v Volume v
Γ Γ
B A F
Isotropic G E Isotropic
Compression Compression
Line D Line
D
C
λ λ
λ cs λ cs
Critical State Line Critical State Line
1 ln p 1 ln p
(a) (b)
Figure 11.44 Drained and undrained stress–strain response using the critical state concept:
(a) normally consolidated clay and (b) overconsolidated clay.
Water Liquidity
Critical Isotropic Critical
Content Index
State Line Compression Line State Line
Liquid Limit
wLL LI = 1
(ln(p), w) (ln(p’), LI)

LI
w
LIeq-1
wcs LICS
Plastic Limit
wPL LI = 0
ln(pLL) ln(p) ln(pPL) ln(pLL) ln(p) ln(pPL) Mean

Mean
pressure Pressure
(a) (b)
Figure 11.45 Normalization of the critical state line: (a) water content versus mean pressure
and (b) liquidity index versus mean pressure.
mean effective pressure at liquid limit (wLL) and plastic Sands

limit (wPL), respectively; pLL ⬇ 1.5 to 6 kPa and pPL The critical state strength and relative density of sand
⬇ 150 to 600 kPa are expected considering the un- can be expressed as
drained shear strengths at liquid and plastic limits are
in the ranges suLL ⫽ 1 to 3 kPa and suPL ⫽ 100 to 300
qcs ⫽ Mpcs
(11.31)
kPa, respectively12 (see Fig. 8.48).
Using Eq. (11.29), a relative state in relation to the emax ⫺ ecs 1
critical state for a given effective mean pressure (i.e., DR,cs ⫽ ⫽ (11.32)
emax ⫺ emin ln(c /p)
above or below the critical state line) can be defined
as (see Fig. 11.45)
where ecs is the void ratio at critical state, emax and emin
log(p /pLL) are the maximum and minimum void ratios, and c is
LIeq ⫽ LI ⫺ LIcs ⫹ 1 ⫽ LI ⫹ (11.30) the crushing strength of the particles.13 The critical
/pLL
log(pPL )
state line based on Eq. (11.32) is plotted in Fig. 11.47.
The plotted critical state lines are nonlinear in the e–
where LIeq is the equivalent liquidity index defined by
ln p plane in contrast to the linear relationship found
Schofield (1980). When LIeq ⫽ 1 (i.e., LI ⫽ LIcs) and
for clays. This nonlinearity is confirmed by experi-
q/p ⫽ M, the clay has reached the critical state. Figure
mental data as shown in Fig. 11.4b.
11.46 gives the stress ratio when plastic failure (or
At high confining pressure, when the effective mean
fracture) initiates at a given water content. When LIeq
pressure becomes larger than the crushing strength,
⬎ 1 (the state is above the critical state line), and the
many particles begin to break and the lines become
soil in a plastic state exhibits uniform contractive be-
more or less linear in the e–ln p plane, similar to the
havior. When LIeq ⬍ 1 (the state is below the critical
state line), and the soil in a plastic state exhibits lo-
calized dilatant rupture, or possibly fracture, if the
stress ratio reaches the tensile limit (q/p ⫽ 3 for tri- 13
Equation (11.32) is derived from Eq. 11.36 proposed by Bolton
axial compression and ⫺1.5 for triaxial extension; see (1986) with IR ⫽ 0 (zero dilation). Bolton’s equation is discussed
further in Section 11.8. Other mathematical expressions to fit the
Fig. 11.46b). Hence, the critical state line can be used experimentally determined critical state line are possible. For exam-
as a reference to characterize possible soil behavior ple, Li et al. (1999) propose the following equation for the critical
under plastic deformation. state line (ecs versus p):
ecs ⫽ e0 ⫺ s 冉冊p
pa

12
A review by Sharma and Bora (2003) gives average values of where e0 is the void ratio at p ⫽ 0, pa is atmospheric pressure, and
suLL ⫽ 1.7 kPa and suPL ⫽ 170 kPa. s and are material constants.
CRITICAL STATE: A USEFUL REFERENCE CONDITION 403
Dilatant Ductile Plastic

Rupture and Contractive
Fracture q Tensile Triaxial Compression
q/p Fracture
3
3 MTC
MTC 1
0.5 1.0 LIeq

MTE p
Triaxial Extension
2
-1.5 MTE
3
Tensile Triaxial Extension

Fracture Dilatant Ductile Plastic
Fracture
Rupture and Contractive
(a)
(b)
Figure 11.46 Plastic state of clay in relation to normalized liquidity index: (a) stress ratio
when plastic state initiates for a given LIeq and (b) definition of stress ratios used in (a) (after
Schofield, 1980).
emax – ecs 1
DR,cs =
emax – emin = In (σc/p)
e max 0 emax 0
0.2 0.2
Relative Density Dr
Relative Density Dr
0.4 0.4
0.6 0.6
0.8 0.8
e min 1 emin 1
1.2 1.2
0.001 0.01 0.1 1 0 0.1 0.2 0.3 0.4 0.5
p/σc p/σc
(a) (b)
Figure 11.47 Critical state line derived from Eq. (11.32): (a) e–log p plane and (b) e–p
plane.
behavior of clays. Coop and Lee (1993) found that would not be sufficient to cause further breakage. Coop
there is a unique relationship between the amount of et al. (2004) performed ring shear tests (see Section
particle breakage that occurred on shearing to a critical 11.11) on a carbonate sand to find a shear strain re-
state and the value of the mean normal effective stress. quired to reach the true critical state (i.e., constant
This implies that sand at the critical state would reach particle grading). They found that particle breakage
a stable grading at which the particle contact stresses continues to very large strains, far beyond those
reached in triaxial tests. Figure 11.48a shows the vol- Early Studies
umetric strains measured for a selection of their tests, The important role of volume change during shear, es-
which were carried out at vertical stress levels in the pecially dilatancy, was recognized by Taylor (1948).
range of 650 to 860 kPa. A constant volumetric strain From direct shear box testing of dense sand specimens,
is reached at a shear strain of around 2000 percent. For he calculated the work at peak shear stress state and
specimens at lower stress levels, more shear strains showed that the energy input is dissipated by the fric-
(20,000 percent or more) were required. Similar find- tion using the following equation:
ings were made for quartz sand (Luzzani and Coop,
2002). Figure 11.48b shows the degree of particle peak dx ⫺ n dy ⫽ n dx (11.33)
breakage with shear strains in the logarithmic scale.
The amount of breakage is quantified by Hardin’s
where peak is the applied shear stress at peak, n is the
(1985) relative breakage parameter Br defined in Fig.
confining normal (effective) stress on the shear plane,
10.14. At very large strains, the value of Br finally
dx is the incremental horizontal displacement at peak,
stabilizes. The strain required for stabilization depends
dy is the incremental vertical displacement (expansion
on applied stress level. Interestingly, less shear strain
positive) at peak stress, and is the friction coefficient.
was needed for the mobilized friction angle to reach
The energy dissipated by friction (the component in
the steady-state value (Fig. 11.48c) than for attainment
the right-hand side) is equal to the sum of the work
of the constant volume condition, (Fig. 11.48a). The
done by shearing (first component in the left-hand
critical state friction angle was unaffected by the par-
side) and that needed to increase the volume (the sec-
ticle breakage.
ond component in the left-hand side). The latter com-
In summary, the critical state concept is very useful
ponent is referred to as dilatancy.
to characterize the strength and deformation properties
Rearranging Eq. (11.33),
of soils when it is used as a reference state. That is, a
冉冊
soil has a tendency to contract upon shearing when its
peak dy
state is above the critical state line, whereas it has a ⫽ tan m ⫽ ⫹ (11.34)
tendency to dilate when it is below the critical state dx
line. Various normalized state parameters have been
proposed to characterize the difference between the ac- Thus, the peak shear stress ratio or the peak mobilized
tual state and the critical state line, as illustrated in Fig. friction angle m consists of both interlocking (dy/dx)
11.49. These parameters have been used to character- and sliding friction between grains (). This equation
ize the stiffness and strength properties of soils. Some that relates stress to dilation is called the stress–
of them are introduced later in this chapter. dilatancy rule, and it is an important relationship for
characterizing the plastic deformation of soils, as fur-
ther discussed in Section 11.20.
Rowe (1962) recognized that the mobilized friction
11.8 STRENGTH PARAMETERS FOR SANDS angle m must take into account particle rearrange-
ments as well as the sliding resistance at contacts and
Many factors and phenomena act together to deter- dilation. Particle crushing, which increases in impor-
mined the shearing resistance of sands, for example, tance as confining pressure increases and void ratio
mineralogy, grain size, grain shape, grain size distri- decreases, should also be added to these components.
bution, (relative) density, stress state, type of tests and The general interrelationships among the strength con-
stress path, drainage, and the like [see Eq. (11.3)]. In tributing factors and porosity can be represented as
this section, the ways in which these factors have be- shown in Fig. 11.50. In this figure, f is the friction
come understood and have been quantified over the last angle corrected for the work of dilation. It is influenced
several decades are summarized. Several correlations by particle packing arrangements and the number of
are given to provide an overview and reference for sliding contacts. The denser the packing, the more im-
typical values and ranges of strength parameters for portant is dilation. As the void ratio increases, the mo-
sands and the influences of various factors on these bilized friction angle decreases. The critical state is
parameters.14 defined as the condition when there is no volume
change by shearing [i.e., (dy/dx) ⫽ 0 in Eq. (11.34)].
The corresponding mobilized friction angle m is crit .
14
A number of additional useful correlations are given by Kulhawy The ‘‘true friction’’ in the figure is associated with the
and Mayne (1990). resistance to interparticle sliding.
STRENGTH PARAMETERS FOR SANDS 405
Shear Strain (%)

0 50,000 100,000 150,000
Volumetric strain (%) 0 RS3

RS5
RS7
RS8
(a)
20 RS13
RS15
40
Luzzani & Coop, 805 kPa
650-930 kPa
1.0
248-386 kPa
0.8 60-97 kPa

Relative Breakage
RS7
0.6 RS8
(b)
0.4
0.2 ?
800 kPa
0.0 unsheared
10 100 1000 10,000 100,000 1,000,000
Shear Strain
50
Mobilized Friction Angle (degrees)
40
30 RS3
RS7
20 RS8
(c)
RS9
10
RS10
RS15
0
1 10 100 1000 10,000 100,000
Shear Strain (%)
Figure 11.48 Ring shear test results of carbonate sand: (a) volumetric strain versus shear
strain, (b) the degree of particle breakage with shear strains, and (c) mobilized friction angle
versus shear strains (after Coop et al., 2004).
1. State parameter (Been and Jefferies, 1985)

Void ratio
e Ψ = e – ec
Critical state
line (pc , e c) Loose Loose sand Ψ = eL – ecL (>0)
Sand
ecD
( pL, eL ) Dense sand Ψ = eD – ecD (<0)
2. State index (Ishihara et al., 1998)
Ψ<0
Is = (e 0 – ec )/(e0 – e)
Ψ>0
Loose sand Is = (e0 – ecL)/(e0 – eL) (>1)
Dense
sand Dense sand Is = (e 0 – e cD)/(e0 – e0) (<1)
ecL
( pD, e D) 3. State pressure index (Wang et al., 2002)
Ip = p/pc
pcL pcD Loose sand Ip = pL/pcL (>1)
Dense sand Ip = pD/pcD (<1)
Log (Mean pressure p)
Figure 11.49 Various parameters that relate the current state to the critical state.
1990; Yasufuku et al., 1991). This is demonstrated in

the ring shear test results shown in Figs. 11.48b and
46 11.48c; with increasing shear strains, the critical state
strength is reached well before particle crushing
42 φm
ceases.
38 Dilation Peak Friction Angle

Interlocking φcrit The peak friction angle can be considered as the sum
φ 34 φf of interparticle friction, rearrangement, crushing, and
Rearrangement, Fabric Development the dilation contribution. For plane strain conditions,
30 Bolton (1986) proposed the following empirical equa-
Crushing (estimated)
tion that relates the mobilized friction angle at a
26 given stress state to the critical state friction angle
Critical
Densest True Friction Void Ratio crit and dilation angle :
Packing
To Zero
⫽ crit ⫹ 0.8 (11.35)
26 30 34 38 42
Porosity n (%)
where dilation angle is the ratio of volumetric strain
Figure 11.50 Contributions to shear strength of granular increment dv to the axial strain da at the stress state
soils (modified from Rowe, 1962). of interest. This is similar to Taylor’s equation (Eq.
(11.34)). However, in Eq. (11.34) changes with
shear, whereas crit is a constant material property.
The relative density Dr is a convenient index to char-
Critical State Friction Angle acterize the interlocking characteristics packing struc-
The specific value of the critical state angle of internal ture. The effects of relative density, grain size, and
friction crit depends on the uniformity of particle gradation on the peak friction angle of cohesionless
sizes, their shape, and mineralogy and is developed at soils are illustrated by Fig. 11.51. Similar information
large shear strains irrespective of initial conditions. in terms of void ratio, unit weight, and Unified Soil
Typical values are 40 for well-graded, angular quartz Classification is given in Fig. 11.52. The peak values
or feldspar sands, 36 for uniform subangular quartz of friction angle for quartz sands range from about 30
sand, and 32 for uniform rounded quartz sand. Particle to more than 50, depending on gradation, relative den-
crushing appears to have little effect on crit (Coop, sity, and confining pressure.
Secant Friction Angle at Peak Failure (degree)

50 Uniformly Graded Cambria Sand
Initial Relative Density = 89.5%
45
Triaxial Extension
40
35
30
Dilation at Peak Failure Contraction at Peak Failure

25
20
0.1 0.2 0.5 1 2 5 10 20 50 100
Effective Mean Pressure at Peak Failure (kPa)
Figure 11.51 Dependence of the friction angle of cohesion-
less soils on relative density and gradation (after Schmert- Figure 11.53 Effect of confining pressure on peak friction
mann, 1978). angle (after Yamamuro and Lade, 1996).
To take effective confining pressure into account,

Bolton (1986) proposed the normalized dilatancy index
IR, defined as
IR ⫽ Dr(Q ⫺ ln p) ⫺ R ⫽ Dr ln 冉冊c

p
⫺R (11.36)
where Dr is the relative density, and p is the mean

effective confining pressure. The empirical parameter
Q is related to the crushing strength of the soil parti-
cles; that is, Q ⫽ ln c, where c is the crushing
strength (same dimensions as p). The Q values (using
kPa) are 10 for quartz and feldspar, 8 for limestones,
Figure 11.52 Dependence of friction angle of cohesionless 7 for anthracite, and 5.5 for chalk. Bolton (1986) found
soils on unit weight and relative density (after NAVFAC, that R ⫽ 1 fits the available data well. The critical state
1982). is achieved when IR ⫽ 0, and this is given as Eq.
(11.32). Index IR increases as the soil density increases.
The parameter characterizes the state of the soil in re-
Although the values of interparticle friction angle lation to the critical state, similarly to the ones illus-
and the critical state friction angle crit are essen- trated in Fig.11.49.
tially constant for a given mineral, the magnitudes of Using IR (between 0 and 4), Bolton (1986) deduced
the dilation angle in Eq. (11.35) vary with effective the following correlations for the peak friction angle
confining pressure; that is, Figs. 11.51 and 11.52 apply and critical state friction angle (in degrees) from the
for a particular value of confining pressure. In general, plots shown in Fig. 11.54.
the contribution of dilation increases with increasing
density and decreases with increasing confining pres- m ⫺ crit
⫽ 3IR for triaxial compression conditions
sure. The effect of confining pressure on peak friction (11.37)
angle is shown in Fig. 11.53 (Yamamuro and Lade,
1996). Up to confining pressures of 5 to 10 MPa, the m ⫺ crit
⫽ 5IR for plane strain conditions
peak friction angle decreases with increasing confining
pressure due to suppressed dilation and particle crush- (11.38)
ing. At pressures greater than about 10 MPa, the fric-
tion angle remains approximately constant, but the The dilatancy contribution to sand strength, repre-
values in triaxial extension are smaller than those in sented by the difference between the peak triaxial com-
triaxial compression. pression friction angle and the critical state friction
As shown in Fig. 11.54 and by Eqs. (11.37) and

(11.38), the critical state and peak friction angles vary
20 depending on test conditions. The difference is related
Plane Strain Tests Eq.(11.38) to the magnitude of the intermediate principal stress in
Triaxial Compression Tests
relation to the major and minor principal stresses. Fur-
16
φmax – φcrit (degrees)
Data for p ≈ 300 kPa ther details are given in Section 11.12.
12 Eq.(11.37) Undrained Strengths

In most cases, the deformation of sands occurs under
8 drained conditions. However, the undrained behavior
of sands is important when flow slides or earthquakes
are of concern. These events are very rapid, and rapid
4 deformation of loose to medium dense cohesionless
soils can generate excess pore water pressures resulting
in loss of strength or liquefaction. The stress-strain re-
0 lationship in undrained triaxial tests of Toyoura sand
0.0 0.2 0.4 0.6 0.8 1.0
at different densities are shown in Fig. 11.57a, and the
Relative Density Dr corresponding effective stress paths are shown in Fig.
11.57b (Yoshimine et al., 1998). A sudden flow failure
Figure 11.54 Difference between peak friction angle and
critical state friction angle for triaxial compression and plain
can occur in loose sand deposits by the drop in strength
strain compression data on sands (after Bolton, 1986). with increase in shear strain. Typical undrained re-
sponses of sand specimens at different densities are
illustrated in Fig. 11.58a.
Loose sand exhibits peak strength and then softens.
angle crit, as determined by Bolton (1986), is shown The peak state on the p –q plane is termed the collapse
in Fig. 11.55. The values shown are appropriate for surface (Sladen et al., 1985),15 and the slope increases
quartz sands (Q ⫽ 10). with increase in initial density and decrease in confin-
Other forms to characterize the peak friction angle ing pressure, as illustrated in Fig. 11.58b. In triaxial
in relation to the initial state of a sand are available. compression, the slope for many sandy soils ranges
For example, Been and Jefferies (1986) relate the peak from 0.62 to 0.90 with an upper bound of 1.0 (Olson
friction angle to the state parameter defined in Fig. and Stark, 2003). Once the soil softens, large shear
11.49, as shown in Fig. 11.56. deformation is generated by moderate shear stresses.
The softened soil eventually leads to the steady state,
in which there is no further contraction tendency. The
pore pressures and stresses remain constant as the soil
continues to shear in a steady state of deformation
(Castro, 1975; Poulos, 1981). The steady state occurs
when the soil continuously deforms at constant vol-
ume, constant stress, and constant velocity.16 It devel-
ops under stress-controlled conditions because of the
flowing nature of softened soil. When the soil is very
loose, the effective stress becomes zero, indicating a
static liquefaction condition, which is the transforma-
tion of a granular material from a solid to a liquefied
state (Youd et al., 2001).
15
Similar concepts are proposed by others. For example, the critical
stress ratio (Vaid and Chern, 1985), the instability line (Lade, 1992),
Figure 11.55 Dilatancy component as a function of mean and the yield strength ratio (Olson and Stark, 2003).
effective stress at critical state and relative density (modified 16
The basic concept of the steady state is essentially the same as the
from Bolton, 1986). critical state defined for clay by Schofield and Wroth (1969).
Figure 11.56 Peak friction angle versus state parameter (after Been and Jefferies, 1986).
Even dense sands exhibit positive excess pore pres- For loose sand, the steady state is the minimum un-
sures at the beginning of deformation up to small drained shear strength associated with a rapid collaps-
strain. However, after a certain stress ratio is reached, ing of soil structure. As discussed in Section 11.7, it
the undrained stress path reverses its direction indicat- has been suggested that the stress state of the steady
ing contractive to dilative behavior as shown in Fig. state is a function of void ratio, so a unique critical
11.58c, and the stress reversal is called the state of state line exists on the e–log p plane as shown in Fig.
phase transformation (Ishihara et al., 1975). The 11.4b (Castro, 1975; Poulos et al., 1985, and others).
stress–strain response thereafter is strain hardening and The shape depends on grain angularity and fines con-
does not exhibit any peak. The soil eventually reaches tent (Zlatovic and Ishihara, 1995). At a given initial
the ultimate steady state or the critical state as long as void ratio, the steady state strength can be determined
the pore water does not cavitate. from the critical state line. For a relatively small con-
Medium dense specimens initially soften after the fining pressure, a small change in void ratio can give
stress state passes the collapse line as illustrated in Fig. dramatic difference in undrained shear strength be-
11.58c. The stress state then reaches a point of mini- cause the critical state line on e–log p plane is very
mum strength, which is called the quasi-steady state flat at this stress level.
(Alarcon-Guzman et al., 1988) or flow with limited liq- For medium dense sand, the quasi-steady state can
uefaction (Ishihara, 1993). At this stage, the soil is in be considered as the minimum undrained shear
the state of phase transformation, and the mobilized strength. As the soil continues to deform, the shearing
strength then increases gradually with further shear resistance increases. Although the stress ratios at
strain due to increase in effective stress by negative quasi-steady state, and critical state are similar on the
pore water pressure development. As shearing contin- p –q plane, the quasi-steady state on e–log p plane
ues, the soil shows a strain-hardening behavior, climb- lies below the critical state line as shown in Fig. 11.59.
ing along the critical state line, and the stress state For a given initial void ratio, therefore, the stress state
finally reaches the critical or ultimate steady state at of quasi-steady state is smaller than that of the critical
very large strains. Reported data indicate that the slope state.
of the critical state on the p –q plane is approximately The location of the quasi-steady state line on e–log
the same as that of the phase transformation line (Been p plane is influenced by shear mode and sample prep-
et al., 1991; Ishihara, 1993; Zhang and Garga, 1997; aration method (i.e., soil fabric) (Konrad, 1990; Ishi-
Vaid and Sivathayalan, 2000); at least, these lines are hara, 1993; Yoshimine and Ishihara, 1998). Figure
difficult to distinguish from each other. 11.60 shows the undrained shear behavior of Toyoura
Next Page
Figure 11.57 Undrained stress–strain response of Toyoura sand specimens prepared at dif-
ferent densities by dry pluviation (after Yoshimine et al., 1998).
sand in triaxial compression, triaxial extension, and marily due to the anisotropic soil fabric. Further details
simple shear (Yoshimine et al., 1999). The specimens are given in Section 11.12.
were prepared to similar void ratios, and an initial con- The slope of the collapsing surface and the mini-
fining pressure of 100 kPa was applied. The minimum mum undrained strength are related to both initial
undrained shear strength and the quasi-steady state density and confining pressure. Typical values of the
vary significantly depending on the mode of shearing, collapse surface stress ratio obtained from triaxial
which in turn leads to different quasi-steady state lines compression tests are plotted against state parameter
on the e–p plane as shown in Fig. 11.61. Hence, large in Fig. 11.62 (Olson and Stark, 2003). Although the
variation of minimum undrained shear strengths is of- data are scattered, a general trend for a given sand is
ten observed depending on shear mode, which is pri- that the slope decreases with decreasing state param-
Previous Page
STRENGTH PARAMETERS FOR CLAYS 411
Phase Transformation Critical State Line
Deviator Stress (σ1 – σ3)

Critical State Collapse Surface
Dense for Loose Sand
Steady State
Dilative Collapse Surface for
Liquefaction Very Loose Sand
Loose
Medium Dense
Quasi-steady
State Critical State Very Loose
Mean Pressure p
Steady State (b)
Loose
Liquefaction (σ3 = 0)
Excess Pore Pressure Δu
Very Loose Critical State

Critical State Line

Deviator Strain
Very Loose Phase Transformation
Loose Lines
Collapse Surface for

Medium Dense Medium Dense Sand
Dense
Medium Dense
Dense
Mean Pressure p
Phase Transformation
(a) (c)
Figure 11.58 Typical undrained responses of sand specimens with different densities: (a)
stress–strain–pore pressure response, (b) stress paths for loose and very loose specimens,
and (c) stress paths for medium dense and dense specimens.
eter. Similarly, the minimum undrained strength nor-

malized by the initial confining pressure can be related
to state parameter as shown in Fig. 11.63 (Olson and
Stark, 2003). For a given soil, the strength ratio de-
creases with increasing state parameter and is larger in
Toyoura Sand triaxial compression than in triaxial extension.
0.95
0.90
Void Ratio e
11.9 STRENGTH PARAMETERS FOR CLAYS

0.85 Quasi-steady
State Line Friction Angles
0.80 The peak value of for clays decreases with increas-
Quasi-steady State ing plasticity index and activity as shown in Fig. 11.64.
Initial State Critical State Line Similarly, the critical state friction angle of normally
0.75 from Fig.11.4(b) consolidated kaolin clays ranges from 20 to 25,
whereas that of montmorillonite clays is approximately
0.02 0.05 0.1 0.2 0.5 1.0 2.0
20. However, as the shearing continues, the friction
Effective Mean Pressure p (kPa)
angle of normally consolidated montmorillonite clays
Figure 11.59 Quasi-steady state line and critical state line decreases to a value between 5 and 10. This is called
on e–log p plane (after Ishihara, 1993). the residual state and further details are given in Sec-
Figure 11.61 Quasi-steady state line in triaxial compression,

triaxial extension, and simple shear on e–p plane (after
Yoshimine et al., 1999).
ce ⫽ hce (11.40)
where hc is a material constant.

Figure 11.60 Undrained shear behavior of Toyoura sand in Substituting Eq. (11.40) into Eq. (11.39) gives
triaxial compression, triaxial extension, and simple shear (af-
ter Yoshimine et al., 1999).
ff
⫽ hc ⫹ ff tan e (11.41)
e e
tion 11.11. The friction angle of kaolin clays tends to
remain near the above values even at large strains. Reported values of hc and e range from 0.034 to
0.145, and from 9.9 to 18.8, respectively (Wood,
Failure Envelope for Overconsolidated Clays
1990).17
The differences in effective stress failure envelopes be- Rearranging Eq. (11.41) gives
tween normally consolidated and overconsolidated
clays were illustrated in Fig. 11.3, and Hvorslev (1960)
ff
proposed the following relationship to model the tan m ⬅ ⫽ hc e ⫹ tan e (11.42)
strength characteristics of overconsolidated clays: ff ff
ff ⫽ ce ⫹ ff tan e (11.39)

17
where e is an equivalent friction angle and ce is the For general stress conditions, Schofield and Wroth (1968) modified
the Hvorslev equation to the following:
冉冊
cohesion intercept. These are called the Hvorslev pa-
q 6 sin e p
rameters. If e is constant, ce becomes a linear function ⫽ c cot ⫹ for triaxial compression
pe 3 ⫺ sin e pe pe
of e, which is the equivalent consolidation pressure
as determined from the void ratio at failure eff as shown
in Fig. 11.3.
q
⫽
6 sin e
冉c cot ⫹
pe 3 ⫹ sin e pe
p
pe冊 for triaxial extension
STRENGTH PARAMETERS FOR CLAYS 413
Figure 11.62 Relationship between the slope of the instability line and state parameter
(after Olson and Stark, 2003).
Figure 11.63 Relationship between the undrained shear strength ratio and state parameter
(after Olson and Stark, 2003).
Figure 11.64 Relationship between sin and plasticity index for normally consolidated
soils (adapted from Kenny, 1959). Data for pure clays from Olsen, 1974.
where m is the mobilized friction angle at failure. For Undrained Shear Strength
normally consolidated clay, (e / ff) ⫽ 1 and tan m ⫽ Undrained shear strength su coupled with total stress
tan crit
⫽ hc ⫹ tan e. Substituting this into Eq. analysis [c ⫽ su and ⫽ 0 in Eq. (11.1)] is often used
(11.42) gives to examine the failure state of geotechnical structures
冉冊
under undrained conditions. The undrained shear
e strength of saturated normally consolidated clay deter-
tan m ⫽ hc ⫺ 1 ⫹ tan crit (11.43)
ff mined using isotropically consolidated specimens as a
function of liquidity index is shown in Fig. 8.43.
Hence the peak friction angle m for overconsolidated The undrained strength for a given initial void ratio
clays depends on the overconsolidation (e / ff) (the eini can be obtained using the critical state Eqs. (11.25)
first term in the right-hand side) and the critical state and (11.26):
friction angle crit. The form of this equation is similar
冉冊
to Eqs. (11.34) and (11.35) derived for sands.
The Hvorslev parameters, e and ce, have been M % ⫺ 1 ⫺ eini
su ⫽ exp (11.44)
termed true friction angle and true cohesion, and are 2
considered by some to reflect the mechanism of shear
strength in terms of interparticle forces and friction. The above equation applies to both normally consoli-
Such an interpretation is questionable, however, be- dated and overconsolidated clays.
cause, as shown in Chapter 8, two samples at the same For a given soil, the initial void ratio eini can be
water content but different effective stresses must have related to the current stress state and the overconsoli-
different structures. Thus, during deformation, there dation ratio. The relationship between undrained
will be differences in volume change under drained strength normalized by the effective overburden stress
conditions or differences in pore water pressure for de- after isotropic consolidation i has been deduced from
formation under undrained conditions. Furthermore, critical state soil mechanics by Wroth and Houlsby
Eq. (11.40) shows that ce is an effective stress- (1985) as
dependent property. Present evidence is that true co-
hesion is negligible in the absence of chemical bonding
between particles caused by cementation. su / i ⫽ 0.129 ⫹ 0.00435PI (11.45)
BEHAVIOR AFTER PEAK AND STRAIN LOCALIZATION 415
in which PI is the plasticity index. Alternatively, the the initial effective overburden pressure. In Fig. 11.66,
following relationship can be used for normally con- the normalized strength of the overconsolidated clay is
solidated to slightly overconsolidated clays with low- further normalized to the normalized strength of the
to-moderate plasticity (Jamiolkowski et al., 1985): normally consolidated clay. That normalization of un-
drained shear strength leads to unique relationships,
su / vp
⫽ 0.23 0.04 (11.46) such as those in these figures, forms the basis of the
SHANSEP (stress history and normalized soil engi-
where vp is the vertical preconsolidation stress, and su neering properties) method of design in soft clays
is for direct simple shear. (Ladd and Foott, 1974) that is widely used in practice:
The influence of overconsolidation on the undrained
strength of clays is shown by Figs. 11.65 and 11.66.
In Fig. 11.65, the undrained strength is normalized by
su
v0

⫽
su
冉冊
v0
NC
(OCR)m (11.47)
where (su / v0)NC is the strength ratio of normally con-

solidated clay, m is a material constant, and OCR is
the overconsolidation ratio, defined as the ratio of the
vertical preconsolidation stress vp to the current ver-
tical stress v. Typical values of m range between 0.7
and 0.9. This method is particularly well suited for use
with clays of low-to-medium sensitivity, that is, clays
that do not suffer large structural breakdown when
consolidated beyond their preconsolidation pressure. It
is also important to note that the strength ratio depends
largely on the mode of shearing as shown in Fig. 11.67
(Ladd, 1991) and the values given in Eqs. (11.45) and
(11.46) are at the lower range (or the conservative side)
in the figure. Further details of the effect of shearing
mode on undrained strength are given in Section 11.12.
11.10 BEHAVIOR AFTER PEAK AND STRAIN

Figure 11.65 Effect of overconsolidation on the normalized LOCALIZATION
undrained shear strength of several clays (after Ladd et al.,
1977). When laboratory tests are done on soils exhibiting
peak strength, strains at a certain location in a soil
specimen often localize after the peak, leading to
Figure 11.66 Normalized undrained strength ratio as a func- Figure 11.67 Effect of shear modes on undrained shear
tion of overconsolidation ratio (after Ladd et al., 1977). strength ratios of different plasticity soils (after Ladd, 1991).
(a) (b)
Figure 11.68 Shear bands observed in plane strain compression tests: axial strain of (a) 9.6
percent and (b) 19 percent (after Alshibli and Sture, 2000).
‘‘shear band’’ formation in a direction diagonal to the

principal stress directions. Examples of shear bands
observed in the laboratory are shown in Fig. 11.68 (Al-
shibli and Sture, 2000). The deformation is localized,
and the two soil bodies on opposite sides of the shear
band act as rigid bodies. Strain localization tends to
occur in soils that exhibit strain-softening behavior,
such as overconsolidated clay and dense sand under
low confining pressure. This observation illustrates the
difficulty in obtaining the material behavior from ex-
perimental measurements at the specimen boundaries,
as these strains are different from the strains in the
shear band where the actual shearing is occurring. The
peak strength and the associated strain are specimen
size dependent because of the progressive nature of
shear band development. Figure 11.69 Thickness of shear band as a function of par-
The direction of shear banding is influenced by particle size (after Oda and Iwashita, 1999).
ticle size (Arthur et al., 1982; Vermeer, 1990). In plane
strain conditions, the direction of shear band with re-
spect to the loading direction is bounded by /4 ⫹ ment is more than 20 particle diameters (Scarpelli and
/2 and /4 ⫹ crit /2, where is the dilation angle Wood, 1982; Oda and Kazama, 1998). However, this
at the peak stress and crit is the critical state friction does not mean that more particles are involved in the
angle. Experimental data indicate that the shear band shear band. It is more likely that the local void ratio
direction is close to /4 ⫹ crit /2 for small diameter in the shear band is growing. Examination of resin-
particles (D50 ⫽ 0.2 mm), but the inclination decreases impregnated specimens with shear bands shows that
toward /4 ⫹ /2 for larger diameter particles (Oda this local void ratio is larger than the maximum void
and Iwashita, 1999). ratio for a stable load-carrying structure (Oda and Ka-
The thickness of the shear band depends on particle zama, 1998, Frost and Jang, 2000) and the very loose
size as shown in Fig. 11.69. It increases with increas- structure in the shear band is shown in Fig. 11.70 using
ing displacement, but then reaches a constant value X-ray CT. Discrete particle simulations by Iwashita
between 7 to 10 particle diameters when the displace- and Oda (1998) show that the very large void ratios
RESIDUAL STATE AND RESIDUAL STRENGTH 417
increase in water content owing to dilatancy and (2)
reorientation of clay particles along the shear plane.
These processes transform the material to its residual
state. A postpeak drop in strength also occurs in nor-
mally consolidated clays if the strength loss due to
breakdown of structure and particle reorientation ex-
ceeds the strength gain due to consolidation during
shear.
The strength of the soil once the residual state has
been reached is a minimum and is termed the residual
strength. The deformation at this stage becomes local-
ized, and the residual state is developed within a shear
band, as described in the previous section. The residual
Figure 11.70 Large local voids observed along the shear
zone using microfocus X-ray computed tomography (after strength-determining factors for a given test type and
Oda et al., 2004). strain rate are reduced to the effective stress, compo-
sition, and friction angle. The friction angle corre-
sponding to this strength is the residual friction angle
r . Its value depends on the mineralogy, gradation,
inside the shear band (see Fig. 11. 41d) are associated bulky particle characteristics, and rate of shear. The
with particle rotation inside and near the shear band. relationships between stress and shear displacement for
The particles inside the shear band tend to rotate, soils with low and high clay fractions sheared under
whereas the particles outside the shear band remained constant effective stress on the failure plane are shown
in their original positions. A high gradient of particle in Fig. 11.73. A residual condition can also be devel-
rotation is developed at the boundary of shear bands, oped under undrained conditions. In this case, the ef-
and the rotational resistance at this high rotational gra- fective stress on the shear plane at the residual state
dient zone was able to transfer loads even at void ratios will differ from that initially or at peak stress.
larger than the maximum void ratio. As a result of the rearrangement contributions to the
Possible situations where strain localization is likely residual strength of soils with low clay contents, as in
to occur are listed in Table 11.2. Fig. 11.73b, the loss of strength, under drained con-
Distinct failure planes are often observed in both the ditions, between peak and residual is small. This is
laboratory and the field. Figure 11.72 is an X-ray pho- illustrated by Fig. 11.74, which shows the critical and
tograph of shear bands observed in a model of a re- residual friction angles for sand–bentonite mixtures
taining wall failure (Milligan, 1974 and interpretation tested in ring shear. Three zones are identified in Fig.
by Leśniewska and Mroz, 2000). Shear bands are ob-
11.74 and termed rolling shear, transitional shear, and
served in the field as slip planes. The practical impli-
sliding shear.
cation of strain localization is that there can be
The shear displacements required to reach the resid-
significant differences between the continuum-based
ual strength can be large, as indicated by the values in
assumptions and analyses used in common geotech-
Table 11.3. Because the shear displacements required
nical design (such as friction angle and critical state)
to reach the residual state are large, the stability of
and the actual conditions. Accordingly, careful inter-
embankments and slopes is only controlled by residual
pretation of experimental and field data, as well as the
relevance of analytical and numerical models is nec- strength when there are preexisting slide surfaces. For
essary. More detailed theoretical considerations of first-time slides the stability is controlled by an average
strain localization and shear band formation are outside strength that lies between the peak and residual with a
the scope of this book; however, other references are value that is influenced by the amount of progressive
available (Chambon et al., 1994; Vardoulakis and Su- failure along the shear surface.
lem, 1995). Owing to the large displacements required to de-
velop a full residual condition, special testing methods
have been developed. For example, a ring shear device
11.11 RESIDUAL STATE AND RESIDUAL was developed by Bishop et al. (1971), which can be
STRENGTH used to shear specimens through large displacements
that are always in the same direction. The values of
The drop in drained strength after peak is reached in residual friction angle shown in Fig. 11.28 were ob-
intact overconsolidated clay can be attributed to (1) an tained by shearing samples in direct shear back and
Table 11.2 Possible Occurrences of Strain Localization
1. Dilative Material Subjected to Drained Shear Localization occurs after the deviator stress reaches its peak as the
soil dilates. This type of localization occurs in dense sand under low confinement and in heavily overconsolidated
clay. Some examples are given in Desrues et al. (1996) and Saada et al. (1999).
2. Contractive Material Subjected to Undrained Shear Shear of loose sand at high confinement causes softening
after the effective stress state passes the collapse line (see Section 11.8) due to generation of excess pore pressures.
In some cases, shear bands are hidden by bulging (Santamarina and Cho, 2003). Some examples are given in Finno
et al. (1998) and Mokni and Desrues (1999).
3. Dilative Material Subjected to Undrained Shear Cavitation Shear of dense sand at low confinement generates
large reductions in pore pressure. If the pore pressure becomes less than the vapor pressure (⫺100 kPa) of water,
cavitation occurs. The effective stress drops at locations where cavitation occurs, and, therefore, the soil softens. Some
examples are given in Schrefler et al. (1996), Roger et al. (1998), and Mokni and Desrues (1999).
4. Alignment of Platy Particles If soil particles are platy, they align at a certain angle and this reduces the shearing
resistance. The residual friction angle discussed in Section 11.11 is a good example of this type of strain localization
behavior.
5. Lightly Cemented Soils When cemented sands are sheared under low confinement, interparticle cementation breaks
at low strain levels, and the shear resistance drops. Examples are given in Santamarina and Cho (2003) for artificially
cemented soils and Cuccovillo and Coop (1999) for naturally structured sands.
6. Unsaturated Soils For soils at low degree of saturation, menisci form at the particle contacts, and this increases
interparticle attractions by surface tension. When the soil is sheared, some of the menisci break, and this additional
contribution to strength is lost, at least temporarily, until new menisci are formed. The loss of menisci causes local
decrease in interparticle attraction, and, therefore, the soil may undergo softening.
7. Particle Breakage When particle breakage occurs, there is a change in particle size distribution, particle shape, and
textures. The collapse of soil structure by particle breakage leads to contractive behavior upon shearing.
8. Heterogeneous Soil If a soil has a layer of loose material sandwiched between denser materials, strain localizes in
the loose layer. Microlayering is observed in many natural soils due to their depositional conditions. For moist tamped
compacted soil, thin looser zones exist between tamping layers, and these can initiate localized failure.
9. Other Cases The degree of localization can be influenced significantly by experimental conditions. Influencing
factors include nonuniform specimen shape, friction at end platens, high length-to-diameter specimens, and tilted
platens. The occurrence of localization also depends on applied loading rate. Figure 11.71 shows failed samples of
kaolin clay after unconfined compression tests at two different loading rates (Atkinson, 2000). Sample A, which was
loaded slowly, exhibited strain localization due to local fluid migration in the dilating shear zone. Sample B, which
was loaded more rapidly, did not show distinct shear bands, as the pore fluid did not have time to migrate within the
specimen.
Modified from Santamarina and Cho (2003).
forth through displacements of 2 to 2.5 mm each side direct shear box to enable continued deformation al-
of center until minimum values were obtained. As Ta- ways in the same direction.
ble 11.3 indicates that many tens of millimeters in the
same direction may be required, some of the values in
Fig. 11.28 may be high, especially for the layer sili- Nonclay Minerals
cates, where the protrusion of particle edges across the The residual strength of nonclay minerals is not much
shear surface could give increased resistance. A pre- different than the critical state strength, as noted above.
ferred method of testing, if a ring shear device is not Quartz, feldspar, and calcite all have the same value of
available, is to separate and reset the two halves of a r ⫽ 35, as shown in Fig. 11.28, even though the
Figure 11.71 Samples of kaolin clay after unconfined com-

pression tests: (a) slower loading and (b) faster loading (cour-
tesy of J. H. Atkinson, 2000). Figure 11.73 Stress–shear displacement curves under con-
stant effective normal stress on the shear plane (Skempton,
1985): (a) high clay fraction (⬎40 percent and (b) low clay
fraction (⬍20 percent).
(a) (b)
Figure 11.72 Shear bands observed in centrifuge modeling of retaining wall failure: (a) X-
ray photograph (after Milligan, 1974) and (b) interpretation of the photography by Lés-
niewska and Mroz (2000).
to sliding shear at high contents of clay size particles.

The more active the clay fraction, the lower the resid-
ual friction angle at a given clay size fraction percent-
age.
A composite relationship showing the residual fric-
tion angle as a function of clay size fraction, derived
from Kenney (1967), Lupini et al. (1981), Skempton
(1985), and others is shown in Fig. 11.75. There is a
sharp drop in the residual friction angle when PI ex-
ceeds 30 percent. This is attributed to a transition from
turbulant shear to sliding shear. Other correlations are
available for certain soil types (Mesri and Cepeda-
Diaz, 1986; Colotta et al., 1989; Stark and Edit, 1994).
Highly plastic soils of volcanic origin are an excep-
tion to the general relationship shown in Fig. 11.75.
Figure 11.74 Influence of clay fraction on the peak and re-
These soils, which may have clay size fractions well
sidual friction angles for sand–bentonite mixtures as deter-
mined by ring shear tests (after Lupini et al., 1981). above 50 percent, exhibit residual friction angles that
are several degrees higher than those shown in the fig-
ure. Both particle morphology and structural factors
have been suggested as possible causes (Sitar, 1991;
Table 11.3 Displacements Corresponding to Various Wesley, 1992). As volcanic clays often contain large
Stages of Shear in Clays with a Clay Size Fraction amounts of allophane, which consists of bulky shaped
Greater Than 30 Percenta particles rather than platy particles, rolling shear may
continue to make a major contribution. Alternatively,
Displacement (mm) or in addition, physicochemical attractive forces be-
tween particles may be sufficiently strong to prevent
Normally
the development of parallel orientations of platy par-
Stage Overconsolidated Consolidated
ticles and basal plane shear. For soils with liquid limits
Peak 0.5–3 3–6 more than 50, Wesley (2003) shows that the position
Volume change rate ⬇ 0 4–10 on the plasticity chart in relation to the A-line [i.e.,
At r ⫹ 1 30–200 PI ⫽ PI ⫺ 0.73(LL ⫺ 20)] is a good indicator to give
Residual r 100–500 good correlations for residual friction angle for both
clays and volcanic ashes as shown in Fig. 11.76.
a
Intact clays with ⬍ 600 kPa.
Data from Skempton (1985).
interparticle friction angles are different (see Table

11.1). This is because the critical state friction angle
becomes approximately independent of interparticle
friction when the interparticle friction angle becomes
more than 25 ( ⫽ 0.47), as illustrated in Fig. 11.42.
The shape and roughness of particles are important
features that influence the critical state friction angle.
Influence of Increasing Clay Content

As the proportion of clay increases, the residual fric-
tion angle decreases as a result of the reduced contri-
bution from silt and sand particle rearrangement and
the lower sliding friction angle of the clay minerals in
comparison to the nonclay minerals. The influence of Figure 11.75 Composite relationship showing dependence
clay fraction is indicated through the transition from of residual friction angle on soil composition as represented
rolling shear for soils composed mainly of bulky grains by activity and clay size fraction.
of the layer silicates and solid lubricants such as graph-
ite and molybdenum disulfide (MoS2) is similar.
The type and number of bonds along the cleavage
planes are important for basal plane slip, as may be
seen by the values in Table 11.4. Of the materials
listed, only attapulgite does not fit the pattern of de-
creased r with decreased interlayer bond strength.
The high residual strength of attapulgite is because
the lathlike particles occur as intermeshed aggregates,
and the crystal structure gives a stair-step mode of
cleavage. As a result, attapulgite behaves more like
a massive mineral than a platy mineral in shear
(Chattopadhyay, 1972).
For many clays, the residual friction angle decreases
with increasing confining pressure, that is, the failure
envelopes are curved. The values in Fig. 11.28 for sev-
Figure 11.76 Residual friction angle of volcanic clays and eral clay minerals, as well as the data for brown Lon-
clays in relation to their location on the plasticity chart rel- don clay and Weald clay in Fig. 11.2, show significant
ative to the A-line (from Wesley, 2003). stress dependency of the residual friction angle, that
is, the failure envelope is curved. One possible reason
for this curvature is that under low normal stresses less
work is required to shear the clay in the absence of
Clay Minerals perfect orientation of clay particles in the shear zone
Basal plane slip is the dominant deformation mecha- than would be required to develop parallelism during
nism at large strain in the clay minerals and other layer shear.
silicates. Compression textures with basal planes ap- An alternative explanation of the stress dependency
proximately perpendicular to the normal load direction of r for clays can be based on the elastic junction
are formed in the shear zone, and most of the defor- theory developed in Section 11.4. If deformations at
mation takes place in this zone as well as in zones of particle contacts are elastic, then the area of real con-
high particle orientation that enclose it. The behavior tact between sliding surfaces increases less than pro-
Table 11.4 Bonding Along Cleavage Planes, Cleavage Mode, and Residual Strength
r
Mineral Mode of Cleavage Bonding Along Cleavage Planes (deg) Particle Shape
Quartz No definite cleavage 35 Bulky
Attapulgite Along (110) plane Si–O–Si, weak 30 Fibrous and
needle-shaped
Mica Good basal (001) Secondary valence (0.5–5 kcal/mol) 17–24 Sheet
⫹ K linkages
Kaolinite Basal (001) Secondary valence (0.5–5 kcal/mol) 12 Platy
⫹ H bonds (5–10 kcal/mol)
Illite Basal (001) Secondary valence (0.5–5 kcal/mol) 10.2 Platy
⫹ K linkages
Montmorillonite Excellent basal (001) Secondary valence (0.5–5 kcal/mol) 4–10 Platy–filmy
⫹ exchangeable ion linkages
Talc Basal (001) Secondary valence (0.5–5 kcal/mol) 6 Platy
Graphite Basal (001) van der Waal’s 3–6 Sheet
MoS2 Basal (001) Weak interlayer 2 Sheet
Adapted from Chattopadhyay (1972).
portionally with increase in normal effective stress; (1990) show from their database of past studies that
and according to Eq. (11.22), tan r should vary as the friction angle deduced from triaxial extension tests
(n)⫺1 / 3. Data for several clays are shown in Fig. 11.77, is 10 to 20 percent larger than that from triaxial com-
which show agreement with this theory in the low- pression tests. Similar differences have been observed
pressure range (up to 200 kPa), but at higher stresses, between plane strain friction angle and triaxial com-
r is independent of stress, indicating that the solid pression friction angle for both sands and clays. The
contact area varies in direct proportion to effective nor- peak friction angles of sands determined from plane
mal stress. strain tests are 0.5 to 4 larger than those from triaxial
Both hypotheses appear tenable, and evidence is not compression tests (Cornforth, 1964). The Mohr–
available to favor one over the other. Nonetheless, for Coulomb friction angle is based only on the major and
practical purposes it is clear that determinations of val- minor principal stresses [i.e., Eq. (11.5)]. Under tri-
ues of residual strength to be used for analysis of spe- axial compression conditions, the intermediate prin-
cific problems should be made under stress conditions cipal stress, 2, equals the minor principal stress,
approximating those in the field. whereas under plane strain loading it is greater. The
Other important considerations include the structural higher confinement under plane strain loading can ac-
features and lithological details in the field. Examples count for the higher measured friction angle.
of the former are presheared surfaces generated by The stress states at failure in the field differ from
old landslides and tectonic and glacial deformation, triaxial compression/extension and plane strain con-
whereas those for the latter are horizontal bedding ditions. The effect of intermediate principal stress can
planes, laminations, and weak seams (Mesri and Shah- be expressed by a b value, defined by
ien, 2003). They all can contribute in dropping to the
residual condition after relatively small displacements.
2 ⫺ 3
b⫽ (11.48)
1 ⫺ 3
11.12 INTERMEDIATE STRESS EFFECTS AND
ANISOTROPY
where 1, 2, and 3 are maximum, intermediate, and
The friction angles shown in Fig. 11.51 and Fig. 11.52 minor principal stresses, respectively; b ⫽ 0 for triaxial
are for triaxial compression. Kulhawy and Mayne compression conditions (1 ⬎ 2 ⫽ 3), whereas b ⫽
Figure 11.77 Residual friction angle as a function of normal effective stress on the shear
plane raised to the minus one-third power (replotted from data in Chattopadhyay, 1972).
INTERMEDIATE STRESS EFFECTS AND ANISOTROPY 423
1 for triaxial extension conditions (1 ⫽ 2 ⬎ 3). The in triaxial extension than in triaxial compression, as
value of b for plane strain conditions depends on ma- observed in Fig. 11.38b. Greater shear resistance is ex-
terial properties but is approximately 0.3 to 0.4. pected for conditions that give a larger degree of fabric
anisotropy.
Sands
The intermediate stress effect can be measured using Clays
true triaxial apparatus or hollow cylinder torsional Effective stress friction angles for normally consoli-
shear apparatus. The influence of intermediate princi- dated clays measured in plane strain compression are
pal stress (2) on measured friction angle of sands is compared with those determined in triaxial compres-
illustrated by Fig. 11.78. In general, the peak friction sion in Fig. 11.79. The added confinement in plane
angle increases 10 to 15 percent from b ⫽ 0 (triaxial strain yields a friction angle that is about 10 percent
compression) to b ⫽ 0.3 to 0.4 (plane strain), and it higher than measured in triaxial compression. The
stays constant or slightly decreases as b reaches 1 (tri- measured friction angle in triaxial extension is about
axial extension). 20 percent greater than in triaxial compression, as
The variation of measured friction angle with shown in Fig. 11.80. These results are consistent with
changes in intermediate principal stress can be attrib- the data presented in Fig. 11.78 for sands.
uted to the effects of different mean stress and stress The undrained shear strength su in triaxial compres-
anisotropy on the dilatancy and particle rearrangement sion is approximately twice as large as that of triaxial
contributions to the total strength. For given maximum extension for normally consolidated clay as shown in
and minimum principal stresses, the triaxial extension Fig. 11.67. This large variation is primarily due to the
conditions have the largest mean effective stress, difference in the excess pore pressures generated and
whereas the triaxial compression conditions have the is very much related to the initial bedding structure, as
smallest mean effective stress. The higher confinement discussed later.
for triaxial extension and plane strain conditions con-
tributes to the increasing friction angle for these con- Failure Envelopes
ditions.
Various models fit the experimental data showing the
Fabric anisotropy also contributes to differences be-
intermediate stress effect. Among them are
tween triaxial and plane strain strengths. Discrete par-
ticle simulations by Thornton (2000) show that the
average ratio of sliding contacts to the coordination I1I2
⫽ const. (Matsuoka and Nakai, 1985) (11.49)
number at failure were both independent of b. How- I3
ever, a larger degree of fabric anisotropy was observed
Figure 11.79 Comparative values of effective stress friction

Figure 11.78 Effect of intermediate principal stress on fric- angle of normally consolidated clays in triaxial compression
tion angle (from Kulhawy and Mayne, 1990). Reprinted with and plane strain compression (from Kulhawy and Mayne,
permission from EPRI. 1990). Reprinted with permission from EPRI.
60
Triaxial compression 40°

50
40 Triaxial compression 30°
Friction Angle
30
Triaxial compression 20°
20
Lade and Duncan (1975)

10
Matsuoka and Nakai (1985)
0
0 0.2 0.4 0.6 0.8 1
b-Value
Triaxial Plane Strain Triaxial
Compression Extension
Figure 11.81 Failure criterion models that include the inter-

mediate stress effect.
deposit with their long axis in the direction perpendic-

ular to gravity, and, therefore, the assembly will be
Figure 11.80 Comparative values of effective stress friction inherently stiffer in the depositional (vertical) direction
angle of normally consolidated clays in triaxial extension and than in the horizontal direction. This is inherent or
triaxial compression (from Kulhawy and Mayne, 1990). Re- fabric anisotropy. The effect of inherent anisotropy
printed with permission from EPRI. on strength is controlled by how rapidly the fabric
changes during shearing (called induced anisotropy). If
the fabric created by deformation-induced anisotropy
destroys the inherent anisotropy, the strength will not
I31
⫽ const. (Lade and Duncan, 1975) (11.50) be affected by the inherent anisotropy (even though the
I3 deformations prior to failure will be affected). Details
of the effects of fabric on mechanical property aniso-
where I1, I2, and I3 are the first, second and third stress tropy were given in Section 8.9.
invariants.18 The models are plotted in Fig. 11.81. Mat- Positive loading in triaxial compression tests is usu-
suoka and Nakai’s model gives the same friction angle ally in the direction perpendicular to the bedding plane,
for compression and extension, whereas Lade and whereas that in triaxial extension tests tends to be ra-
Duncan’s model gives the ratio of the triaxial extension dially inward in the bedding plane direction. Figure
friction angle (TE) to the triaxial compression friction 11.82 shows the undrained shearing responses of Toy-
angle (TC) to be 1.08 at TC ⫽ 20 to 1.15 at TC ⫽ oura sand specimens in triaxial compression and ex-
40. Given the large scatter in the published experi- tension tests (Yoshimine et al., 1998). The specimens
mental data (see Fig. 11.78), it is not possible to con- sheared in extension showed 100 percent excess pore
clude that one model is better than the other. pressure development leading to static liquefaction,
whereas the specimens sheared in compression showed
Fabric Anisotropy small softening at the beginning but then hardening at
The soil fabric created during depositional and post- large strains due to large dilative behavior. Similar var-
depositional processes contributes to mechanical ani- iations in undrained shear strength of clays were shown
sotropy. For example, nonspherical particles tend to in Fig. 11.67. From these data, it is not clear whether
the difference is due to the intermediate stress (b value)
effect or to the initial anisotropic fabric generated dur-
18
ing dry pluviation.
The three stress invariants are defined as
Figure 11.83 shows different cases of variation in b
I1 ⫽ 1 ⫹ 2 ⫹ 3 I2 ⫽ 12 ⫹ 23 ⫹ 31 I3 ⫽ 123 value and the major principal stress direction in rela-
where 1, 2, and 3 are the principal stresses. tion to initial cross-anisotropic soil fabric. A direc-
RESISTANCE TO CYCLIC LOADING AND LIQUEFACTION 425
bedding plane, more sand particles had to move to pro-
vide more stable soil fabric, and a larger magnitude of
excess pore pressure was therefore developed. Exam-
ination of Figs. 11.82 and 11.84 indicates that conven-
tional triaxial compression can give higher undrained
shear strength with less softening compared to other
shear modes. Similar data were presented by Kirkgard
and Lade (1993) for normally consolidated San Fran-
cisco Bay mud. These findings have practical signifi-
cance since the use of triaxial compression data may
result in unconservative evaluation of flow liquefaction
potential or undrained shear strength.
11.13 RESISTANCE TO CYCLIC LOADING AND

LIQUEFACTION
Repeated or cyclic loading of soils can be caused by
a number of natural phenomena or human activities,
including earthquakes, wind, waves, vehicular traffic,
and reciprocating machinery. Cyclic loads cause
stresses and deformations in much the same manner as
do slowly applied loads; however, their relatively short
duration and repetitive and dynamic nature are respon-
sible for several unique aspects of soil behavior. At-
tention is given in this section primarily to saturated
cohesionless soils and clays because these materials
are particularly susceptible to strength degradation
and/or failure during earthquakes. Soils of the type
encountered as pavement subgrades or as used in pave-
ment subbases and bases are usually relatively dense
and not susceptible to large strength and stiffness
Figure 11.82 Undrained response of dry plluviated Toyoura losses if properly prepared and compacted.
sand specimens in triaxial compression and extension: (a)
stress–strain relationships and (b) undrained stress paths (af-
ter Yoshimine et al., 1998). Drained Behavior
Repeated cyclic shear straining of sand under drained
tional parameter is defined as the angle between the conditions is shown in Figs. 11.85a and 11.85b for
direction perpendicular to the bedding plane and the loose and dense Toyoura sand specimens, respectively.
major principal stress direction. The conventional tri- The cyclic loading usually causes densification. Fig-
axial compression will be case A (b ⫽ 0 and ⫽ 0) ures 11.85(a-2) and 11.85(b-2) show development of
in Fig. 11.83, whereas the triaxial extension will be volumetric strain with increasing number of loading
case B (b ⫽ 1 and ⫽ 90) in Fig. 11.83. Ideally, cycles. For the loose sand specimen (Fig. 11.85a), the
therefore, the investigation of b-value effects on volumetric strain increases more or less monotonically.
strength should be performed with the same value Although there is a decreasing trend of void ratio with
or vice versa (e.g., cases A, C, and D or cases C, E, increasing number of cycles, it is also interesting to
and F in Fig. 11.83). note that, for a given cyclic shear application on the
Using a hollow cylinder torsional shear apparatus, dense sand specimen, the volumetric strain does not
Yoshimine et al. (1998) examined the effects of b value increase monotonically but fluctuates with cyclic load-
and the loading direction separately on undrained ing, as illustrated in Fig. 11.85(b-2). Shear-induced di-
behavior of Toyoura sand, and some test results are lation is observed as the applied shear displacement
shown in Fig. 11.84. For sands with relative density reaches its maximum in the loading stage. During un-
between 30 and 41 percent, the effect of inherent an- loading, there is shear-induced volume contraction.
isotropy appears to be more significant than the effect The combination of dilation during loading and con-
of b. When the loading direction was in parallel to the traction during unloading leads to overall contraction.
σv σv
σh1 σh1
σσh2 σh1
σh2
σh1v> σh2 > σv σh1v= σh2 > σv
α = 90° v
F B
Parallel to the
Bedding Plane
α
σ11
Loading Direction
of Major Principal α
Stress in Relation σσ3
to the Bedding σσ22
E
Plane σ1v> σ2 > σ3
α
σv σv σv
v
σh1 σh1
σh1
Perpendicular to σh2 σh2 σh2
the Bedding Plane σvv> σh1 = σh2 σvv> σh1 > σh2 σvv= σh1 > σh2
α = 0°
C D
0 A 1
Triaxial b - Value Triaxial
Compression Extension
Figure 11.83 Effects of inherent anisotropy and the intermediate stress.
The influences of shear strain magnitude and num- ment of shear strains with cyclic loading is called cy-
ber of load cycles are shown in Fig. 11.86. The den- clic mobility. Liquefaction is said to have occurred
sification results from the disruption of the initial soil when the pore water pressure has increased to the mag-
fabric caused by the repeated shear strains followed by nitude of the initial effective confining pressure, at
repositioning of the soil grains into more efficient which point the strains become very large. Similar to
packing. The higher the initial void ratio and the the undrained response in monotonic loading, the un-
greater the number of cycles, the greater the effect. drained response of sand under cyclic loading depends
on density, confining pressure, and soil fabric. The ef-
Undrained Behavior fect of density on cyclic behavior of Toyoura sand un-
When saturated soil is subjected to repeated cycles of der triaxial loading conditions is shown in Fig. 11.88.
loading, and provided the shear stresses are of suffi- All sands exhibit increase in pore pressure with in-
cient magnitude, the structure begins to break down, crease in number of loading cycles, but the shear strain
and part of the confining stress is transferred to the development for a given number of cycle is smaller for
pore water, with a concurrent reduction of effective denser specimens. In the loose sand (Fig. 11.88a),
stress and strength. This, in turn, leads to increase in when the stress state reaches the collapse surface, the
shear strain under constant stress cyclic loading or a soil softens leading to sudden liquefaction. The me-
decrease in the cyclic stress required to cause a given dium dense sand (Fig. 11.88b) exhibits quasi-steady
value of cyclic strain. The deformation and failure be- state as the stress state reaches the phase transforma-
havior of sands in undrained cyclic loading depends on tion line. Some cycles with large stress–strain loops
initial void ratio, initial effective stress state, and the are observed and the specimen finally reaches lique-
cyclic shear stress amplitude. faction. The dense sand (Fig. 11.88c) never liquefies.
The results of an undrained cyclic simple shear test Once the stress state reaches the phase transformation
on Monterey sand are shown in Fig. 11.87. Develop- line, the stress–strain curve moves back and forth
Figure 11.84 Effect of and b values on undrained response of dry plluviated Toyoura
sand: (a) effect of when b ⫽ 0.5 and (b) effect of b when ⫽ 45 (after Yoshimine et
al., 1998).
along and below the steady-state line and shear strain between cyclic shear stress and number of load cycles
develops gradually. to initial liquefaction depends on the relative density,
Beneath gently sloping to flat ground, liquefaction and is of the form shown in Fig. 11.89. In this figure
may lead to ground oscillation or lateral spread as a the cyclic shear stress applied by a simple shear ap-
consequence of either flow deformation or cyclic mo- paratus is normalized by dividing by the initial effec-
bility (Youd et al., 2001). The liquefaction suscepti- tive confining pressure 0, and the ratio is often called
bility of different types of natural and artificial the cyclic resistance ratio (CRR). Methods for deter-
sedimentary soil deposits is summarized in Table 11.5. mination of the liquefaction susceptibility of a specific
As the excess pore pressure developed during lique- site are given by Kramer (1996) and by Youd et al.
faction dissipates, ground settlement is observed. Sand (2001).
boils can develop through overlying less permeable In reality, generation of pore pressure is a result of
soils in order to dissipate the excess pore pressures the breakdown of soil structure and a tendency for the
from liquefied soil below. soil to densify, and this is caused by shear deforma-
The magnitude of the cyclic shear strains that de- tions, so liquefaction is more fundamentally controlled
velop following initial liquefaction decreases with in- by shear strain than by shear stress. Furthermore, there
creasing initial relative density and increases with is a level of shear strain, or threshold shear strain be-
increasing cyclic shear stress. The general relationship low which no pore pressure is generated. This is illus-
Stress Ratio q/p Stress Ratio q/p

Toyoura Sand 2 Toyoura Sand 2
Air Pluviated Air Pluviated
Initial Void Ratio = 0.845 Initial Void Ratio = 0.653
p = 98 kPa = constant p = 98 kPa = constant
_2 2 _2 2
Shear Strain γ (%) Shear Strain γ (%)
_1.2 _1.2
(a-1) Stress Ratio – Shear Strain Relation (b-1) Stress Ratio – Shear Strain Relation
Volumetric Strain εv
Volumetric Strain εv
0.6
3
_2 0 2
Shear Strain γ (%)

_2 0 2 _0.6
Shear Strain γ (%)
(a-2) Volumetric Strain – Shear Strain Relation (b-2) Volumetric Strain – Shear Strain Relation
(a) (b)
Figure 11.85 Cyclic behavior of Toyoura sand in drained conditions: (a) loose sand and (b)
dense sand (after Pradhan and Tatsuoka, 1989).
trated by Fig. 11.90 in which the pore pressure ratio

as a function of cyclic shear strain is shown for Mon-
terey No. 0 sand at three relative densities.
The mechanics of pore pressure generation during
cyclic loading can be understood by reference to Fig.
11.91 from Seed and Idriss (1982) and by Fig. 8.20.
In Fig. 11.91, point A represents a soil specimen in its
initial state. Under cyclic loading it would, if allowed
to drain and compress, decrease in void ratio to point
B in order to be able to continue to sustain effective
pressure 0. However, since the soil cannot drain, the
collapsing soil structure generates a pore pressure de-
noted in Fig. 11.91 by u. The magnitude of the pore
pressure depends on the slope of the rebound curve B–
C, as discussed below.
From laboratory cyclic simple shear tests on several
sands, the general relationship between pore pressure
ratio (i.e., the generated pore pressure divided by the
initial effective confining pressure) and the cycle ratio
Figure 11.86 Effect of shear strain and number of load cy- as shown in Fig. 11.92 has been determined. The cycle
cles on the reduction in void ratio of Ottawa sand (from ratio is defined by the number of load cycles Ne divided
Youd, 1972). Reprinted with permission of ASCE. by the number of load cycles to cause liquefaction Nl.
mined from testing at different densities under the
same confining stress condition, whereas the constant
density contour lines move downward if the confining
pressure increases, as illustrated in Fig. 11.93 for Aio
sand samples prepared at the same relative density.
This is because a soil at a given void ratio behaves as
if relatively looser or more compressible at higher con-
fining pressure. There are many other factors that im-
pact the actual value of CRR to use in practice; the
major ones are the confining pressure, the initial shear
stresses under static condition, sample preparation
methods, and the mode of shearing (Seed, 1979; Seed
and Harder, 1990). Additional information and data
can be found in Youd et al. (2001), Vaid et al. (2001),
Boulanger (2003), and Hosono and Yoshimine (2004).
Residual Strength after Liquefaction

The residual strength of sands, silty sands, and silts
following liquefaction is a subject of continuing study
owing to its importance in the analysis of postearth-
quake stability and deformation of embankments,
dams, and structures. Detailed discussion of this topic
is outside the scope of this book; however, two ap-
proaches have been used to estimate the residual
strength, one based on steady state strength determined
by laboratory tests as described in Section 11.8 and the
other on the Standard Penetration Test (SPT) N value
(Seed, 1987; Seed and Harder, 1990). A correlation
between the residual strength and the preearthquake
Figure 11.87 Results of an undrained cyclic simple shear SPT N value is shown in Fig. 11.94. The strength val-
test on loose Monterey sand (Seed and Idriss, 1982): (a) pore ues shown in this figure were determined by back anal-
water pressure response, (b) shear strain response, and (c) ysis of liquefaction-induced slides; thus, they avoid
applied cyclic shear stress.
problems related to sampling disturbance effects on
strength and are representative of known field behavior.
However, there is some uncertainty relating to how
Using the slope of the rebound curve (Fig. 11.91) and well the measured N values are representative of the
the densification that would occur if drainage was per- zone in which the failure developed. The selection of
mitted, it is possible to compute the induced pore pres- a particular value within the range of strengths shown
sure by for any given N value, and variability in the N values
that are measured, add additional uncertainty.
u ⫽ Er rd (11.51) Excess pore pressures can be generated either in-
ternally as described above or externally by transient
where Er is the rebound modulus and rd is the vol- seepage flow from an adjacent liquefied region. For
umetric strain that would occur if drainage were per- example, if there is a less permeable layer above a sand
mitted. Martin et al. (1975) give procedures to evaluate layer, excess pore pressures can develop under the
these two parameters from the results of static rebound impermeable layer leading to softening of the soil.
tests in a consolidation ring and cyclic load tests on Hence, local heterogeneity plays an important role in
dry sand, respectively. Finn (1981) reported good liquefaction-induced soil deformation and failure,
agreement between predicted and measured values us- which requires careful site investigation to identify any
ing the proposed method. low permeable layers.
The liquefaction resistance depends not only on cy- The strength degradation of clays due to cyclic load-
clic stress amplitude and density but also on the initial ing follows similar patterns to that of sand, but it is
effective stress state. For example, Fig. 11.89 is deter- much less for clays than for cohesionless and slightly
50 100
Dr = 30%
40 Initial Cyclic Loops 80 Reaching Collapse Surface
Initial p = 200 kPa
Before Failure after Several Cycles
Cyclic Stress Δq = 40 kPa 30 60

20 40
Liquefaction Failure
10 20
0 0
-15 -10 -5 -10 0 5 10 15 -20 0 50 100 150 200 250
-2 0 Liquefaction Failure -40
Reaching Collapse -30 -60 Initial State
Surface after Several Liquefaction
Cycles -40 -80
-50 -100
Axial Strain (%) Mean Pressure p(MPa)
(a)
100 100
Dr = 50% Phase Transformation Phase Transformation
80 80 Initial State
Initial p = 200 kPa
60 60
Cyclic Stress Δq = 60 kPa

40 40
Liquefaction Failure 20 20
0 0
-1 5 -10 -5 -20 0 5 10 15 -20 0 50 100 150 200 250
-40 -40
-60 -60
Reaching Collapse -80 -80 Liquefaction Reaching Collapse Surface
Surface after after Several Cycles
-100 -100
Several Cycles Mean Pressure p(MPa)
Axial Strain (%)
(b)
50 50
Dr = 70% Phase Transformation
40 40
Initial p = 100 kPa
Cyclic Stress Δq = 40 kPa30 30
Increasing
20 Cycles 20
10 10
0 0
-15 -10 -5 -10 0 5 10 15 -10 0 20 40 60 80 100 120
Increasing -20 -20

Cycles -30 -30 Initial State
-40 -40
Phase Transformation
-50 -50
Axial Strain (%) Mean Pressure p(MPa)
(c)
Figure 11.88 Cyclic behavior of Toyoura sand in undrained conditions: (a) loose sand, (b)
medium dense sand, and (c) dense sand (after Yamamoto, 1998).
Table 11.5 Liquefaction Susceptibility of Soil Deposits
Likelihood That Cohesionless Sediments, When Saturated,

General Distribution of Would Be Susceptible to Liquefaction (by Age of Deposit)
Cohesionless
Type of Deposit Sediments in Deposits ⬍500 yr Holocene Pleistocene Prepleistocene
(1) (2) (3) (4) (5) (6)
a. Continental Deposits
River channel Locally variable Very High High Low Very low
Floodplain Locally variable High Moderate Low Very low
Alluvial fan and plain Widespread Moderate Low Low Very low
Marine terraces and Widespread — Low Very low Very low
plains
Delta and fan-delta Widespread High Moderate Low Very low
Lacustrine and playa Variable High Moderate Low Very low
Colluvium Variable High Moderate Low Very low
Talus Widespread Low Low Very low Very low
Dunes Widespread High Moderate Low Very low
Loess Variable High High High Unknown
Glacial till Variable Low Low Very low Very low
Tuff Rare Low Low Very low Very low
Tephra Widespread High High ? ?
Residual soils Rare Low Low Very low Very low
Sabka Locally variable High Moderate Low Very low
b. Coastal Zone
Delta Widespread Very high High Low Very low
Esturine Locally variable High Moderate Low Very low
Beach high wave energy Widespread Moderate Low Very low Very low
Low wave energy Widespread High Moderate Low Very low
Lagoonal Locally variable High Moderate Low Very low
Fore shore Locally variable High Moderate Low Very low
c. Artificial
Uncompacted fill Variable Very high — — —
Compacted fill Variable Low — — —
(From Youd and Perkins (1978); reprinted from the Journal of Geotechnical Engineering, ASCE, Vol. 104, No. 4,
pp. 433–446. Copyright 1978. With permission of ASCE.
cohesive soils that are susceptible to liquefaction as triaxial tests (Fig. 11.96b), the initial static shear is
shown in Fig. 11.95 (Hyodo et al., 1994). An assump- defined as a /su ⫽ (ac ⫺ rc )/2su, where ac and rc

tion of a strength loss of about 20 percent is sometimes are the axial and radial consolidation stresses, respec-
used in practice. Figure 11.96 shows the undrained cy- tively. The values of cy /su ⫽ (a ⫺ r)/2su show
clic shear stress ratio cy /su that brings normally con- peaks at a /su ⫽ 0.2 to 0.3, indicating that the small
solidated clays to failure after 10 loading cycles initial anisotropy gave increased cyclic resistance.
(Andersen, 2004). The data include eight clays with However, the undrained cyclic shear stress ratio at fail-
different plasticity indices. In the direct shear tests ure decreases when the initial static shear stress is
(Fig. 11.96a), the undrained cyclic shear stress ratio at higher or in triaxial extension conditions. Evidently in
failure decreases with increase in initial static shear normal clays the magnitude of cyclic shear strain is
stress a /su and increases with plasticity index. In the less than that required to cause complete remolding.
Figure 11.89 Cyclic stress ratio and number of load cycles to cause initial liquefaction of
a sand at different initial relative densities (from De Alba et al., 1976). Reprinted with
permission of ASCE.
Figure 11.90 Pore pressure as a function of cyclic shear

strain illustrating a threshold strain of about 0.01 percent,
below which no excess pore pressures are developed (from
Dobry et al., 1981). Reprinted with permission of ASCE.
Complete remolding would define an absolute lower

bound, and its value is defined by the clay sensitivity.
Cyclic stresses could cause sufficient deformations in Figure 11.91 Mechanism of pore pressure generation during
quick clay to initiate a liquefaction-type flow failure. cyclic loading (Seed and Idriss, 1982).
Some examples are given in Andersen et al. (1988).
11.14 STRENGTH OF MIXED SOILS preparation methods. Figure 11.97 shows different sce-
narios of intergranular matrix of two different size par-
The presence of fines in sands can significantly influ- ticles (Thevanayangam and Martin, 2002). Initially the
ence the strength behavior. Differing effects can be ob- maximum and minimum void ratios of a sand–silt mix-
tained depending on particle size, shapes, and sample ture decrease with increase in silt content, but then the
STRENGTH OF MIXED SOILS 433
Figure 11.92 Rate of pore pressure buildup in cyclic simple

shear tests (from Seed et al., 1976). Reprinted with permis- Figure 11.95 Comparison of the cyclic resistance ratios of
sion of ASCE. Itukaichi clay and Toyoura sand (Hyodo et al., 1994).
Cyclic Shear Strength / Static Undrained Shear Strength

Direct Simple Shear Tests - Strength at 10 Cycles
OCR = 1
1.2
Offshore Africa, PI=80 -100%
1.0 Marlin IIa, PI=50%
Troll I, PI=37%
0.8
(τcy / suDSS)
Troll II, PI=20%

Marlin IIb+, PI=45%
0.6
Drammen, PI=27%
Figure 11.93 Effect of confining pressure on cyclic resis-
tance ratio (Hyodo et al., 2002). 0.4
North Sea GC, PI=16-27%
0.2
Storebælt, PI=7-12%
0.0
0.0 0.2 0.4 0.6 0.8 1.0
Initial Shear Stress / Static Undrained Shear Strength
(τa / s uDSS )
Static Undrained Shear Strength (τcy / su)
Triaxial Tests - Strength at 10 Cycles

1.0 OCR = 1
Offshore Africa, PI=80-100%
Cyclic Shear Strength /
0.8 Troll II, PI=20%

Marlin IIb+, PI=45%
Troll I, PI=37% Marlin IIa, PI=50%
0.6
0.4
Drammen, PI=27%
0.2
Storebælt, PI=7-10%
0.0
-0.6 -0.4 -0.2 0.0 0.2 0.4 0.6 0.8 1.0
Initial Shear Stress / Static Undrained Shear Strength
(τa / s u)
Figure 11.94 Postliquefaction residual strength as a function Figure 11.96 Normalized shear stresses that give undrained
of Standard Penetration Test N values (Seed and Harder, failure after 10 cycles in (a) direct shear tests and (b) triaxial
1990). tests (Andersen, 2004).
Figure 11.97 Granular mix classification (Thevanayangam and Martin, 2002).
void ratios increase when the silt becomes the host soil fines content have the same granular void ratio and the
as shown in Fig. 4.4. In case (i), the fine particles fit same mechanical properties, the fines are just occu-
in the void space formed by the coarse particles. The pying the void space and are not influencing shear re-
mechanical behavior is little affected by the presence sistance.
of fines because the external forces are transferred Most reported cases show that, for a given granular
through the contacts between coarse particles. In cases void ratio, the undrained strength and cyclic shear re-
(ii) and (iii), the fine particles start to fully occupy sistance are either independent of or increase with silt
some void space and separate the coarse particles and content (Shen et al., 1977; Vaid, 1994; Polito and
prevent them from touching each other. These fine par- Martin, 2001; Carraro et al., 2003). The undrained
ticles may reinforce the skeleton of coarse particles or response of sand mixed with equidimensional silt
they may make the skeleton unstable. As the propor- particles is shown in Fig. 11.98 (Kuerbis et al., 1988).
tion of fine particles increases, the coarse particles float Specimens of the mixture were created by slurry dep-
inside the matrix of fine particles as illustrated as case osition, and the density was controlled in such a way
(iv). The fine grains then dominate the mechanical be- that all specimens had relatively similar granular void
havior of the mixed soils, and the coarse grains may ratios eG, even though the actual void ratio decreased
or may not contribute to shear resistance as a reinforc- with increasing silt content. Both undrained triaxial
ing element. Once the mixing scenario reaches case compression and extension tests were performed fol-
(iv), the void ratio increases with increasing fines con- lowing isotropic consolidation. Increased silt content
tent due to increasing specific surface of the mixture. gave stiffer response in triaxial compression. Appar-
The threshold value to become case (iv) depends on ently, the silts filled the void space and stabilized the
the specific mixture but is usually in the range of 25 soil as shown in Fig. 11.99a. However, the effect was
to 45 percent fines in most cases (Polito and Martin, small in triaxial extension.
2001). Liquefaction resistance increases with relative den-
For cases (i) to (iii), the granular void ratio eG de- sity as shown in Fig. 11.89. However, increasing silt
fined in Chapter 4 is a useful index for consideration content gives scattered relationships between relative
of the effect of fines. If two mixed soils with different density and the CRR at 20 loading cycles, as shown in
STRENGTH OF MIXED SOILS 435
Silt Content e eG
% 0.8
Cyclic Resistance Ratio

0% fines
0 0.764 0.764 5% fines
4 0.728 0.802
200 7.5 0.669 0.805 0.6 10% fines
13.3 0.547 0.784 15% fines
22.3 0.448 0.863
0.4
(σa – r)/2 (kPa)
100 0.2
0.0
0.0 0.2 0.4 0.6 0.8 1.0
0 Relative Density
100 200 300 400
(a)
(σa + r)/2 (kPa) 0.8
0% fines

–100 5% fines
0.6 10% fines
Figure 11.98 Undrained triaxial compression and extension 15% fines
tests on silty sand with different mixing ratios (Kuerbis et 0.4
al., 1988).
0.2
0.0
0.8 0.7 0.6 0.5 0.4 0.3
Void Ratio
(b)
0.8
0% fines
5% fines
0.6 10% fines
15% fines
0.4
(a) (b)
0.2
0.0
0.8 0.7 0.6 0.5 0.4
Granular Void Ratio
(c )
Figure 11.100 Cyclic resistance ratios of silty sands plotted

against (a) relative density, (b) void ratio, and (c) granular
void ratio (from Carraro et al., 2003).
(c) (d)
Figure 11.99 Schematic diagrams of how fine particles are increasing silt content. If the CRR values are plotted
placed inside coarse-grain matrix: (a) sand–silt mixture with
as a function of the granular void ratio eG, as shown
silt filling the void, (b) sand–silt mixture with silts between
sands and granular void ratio larger than emax, (c) sand–clay
in Fig. 11.100c, the sand–silt mixtures give higher liq-
mixture, and (d ) sand–mica mixture. uefaction resistance than clean sand, but the resistance
of these mixtures was independent of silt content.
The above results are applicable when the granular
void ratio eG is smaller than the maximum void ratio
Fig. 11.100a due to variations in maximum and mini- emax of the host medium (without fines). When fines
mum void ratios with increasing silt content. If the are added, it is possible to create specimens that have
CRR values are plotted in terms of void ratio and cy- eG larger than emax even though the overall void ratio
clic resistance as shown in Fig. 11.100b, the liquefac- is smaller than emax (Lade and Yamamuro, 1997; Thev-
tion resistance at a given void ratio decreases with anayagam and Mohan, 2000). This condition can be
achieved if some fines are placed between the coarser bridged between the host sand particles (Fig. 11.99d),
particles as shown in Fig. 11.99b. In this case, the and increased the overall void ratio as shown in Fig.
structure is metastable, and the strength of the mixed 11.102. On the other hand, inclusion of smaller silt and
soil is reduced due to fewer sand grain contacts. clay particles decreased the overall void ratio, as also
When smaller particles such as clays are added in- shown in Fig. 4.4. The open fabric of a sand–mica
stead of silt-size particles, the clay fines act as a lu- mixture can give complicated soil deformation and
bricator at sand particle contacts as shown in Fig. strength properties depending on mica particle orien-
11.99c and make the soil unstable. Undrained re- tation and shear mode (Hight et al., 1998).
sponses of Ham river sand mixed with different kaolin Further increase in fines content leads to sand par-
contents are shown in Fig. 11.101 (Georgiannou et al., ticles floating in clay or silt as shown by case (iv) in
1991). Samples were prepared by pluviating the sand Fig. 11.97. The mixed soil then behaves more like pure
into distilled water with suspended kaolin particles so clay or silt. The deformation behavior then becomes
that similar granular void ratios were achieved. Both more clay/silt dominated, and the coarser particles
undrained triaxial compression and triaxial extension may or may not contribute to the strength properties.
tests were performed after consolidating the samples For example, Fig. 11.103 shows that the liquefaction
under K0 stress conditions. In triaxial compression, the resistance of mixtures with fines content greater than
increase in clay content did not affect the peak stress, 35 percent was independent of silt content and granular
but the strain-softening behavior was more pro- void ratio (Polito and Martin, 2001).
nounced. After the specimen passed the phase trans-
formation line, the stress increased toward the critical
state. In triaxial extension, addition of clay led to total 11.15 COHESION
liquefaction. The friction angle did not change for clay
fractions up to 20 percent. This delayed the develop- True cohesion is shear strength in excess of that gen-
ment of anisotropic fabric needed to resist the increas- erated by frictional resistance to sliding between par-
ing load. ticles, the rearrangement of particles, and particle
The shape of fine particles also influences the sta- crushing. That is, true cohesion must result from ad-
bility of the mixed soil. Hight et al. (1998) report the herence between particles in the absence of any exter-
behavior of micaceous sands in connection with flow nally applied or self-weight forces. The existence of
slides that occurred during construction of the Jamuna tensile or shear strength in the absence of effective
Bridge in Bangladesh. The large and platy mica flakes compressive stress in the soil skeleton or on the failure
plane might be considered true cohesion. However, the
particulate nature of soil and the fact that most inter-
particle contacts are not oriented in the plane of shear
(MPa) mean that the application of directional shear stress
0.3 Triaxial Compression Tests will induce normal forces at most interparticle con-
Clay Content = 0%, eG = 0.77 tacts. These forces will, in turn, generate a resistance
Clay Content = 4.6%, eG = 0.80
Clay Content = 7.6%, eG = 0.80
0.2
Initial Stress
(σ’a+ σ’ r)/2
State
0.1
(σ’a+ σ’r)/2
0.0 0.5
0.1 0.2 0.3 0.4
(MPa)
Triaxial Extension Tests
Clay Content = 0%, e G = 0.77
-0.1 Clay Content = 3.5%, e G = 0.80
Clay Content = 7.5%, e G = 0.80
Figure 11.101 Undrained triaxial compression and exten-

sion test stress paths of clay–sand mixtures with different
mixing ratios but at similar granular void ratios (Georgiannou Figure 11.102 Effect of fines (mica, silt, and kaolin) on void
et al., 1991). ratio of a sand (Hight et al. 1998).
COHESION 437
0.30
䉬 Monterey × Yatesville
Sand with 35% Sand with 50%
Silt Silt
0.25 䊏 Monterey 夽 Yatesville
Sand with 50% Sand with 75%
Cyclic Resistance Ratio CRR

Silt 䊉 Silt
䉱 Monterey 100% Silt
0.20 Sand with 75%
Silt
䊉
0.15 ×
夽夽
0.10 䊉䉬䉬䊏 × 䉱
䊉 × × 夽
0.05
0.00
0.80 1.00 1.20 1.40 1.60 1.80 2.00 2.20
Granular Void Ratio eG
Figure 11.103 Variation of cyclic resistance ratio with granular void ratio with silt content
above the threshold value (Polito and Martin, 2001).
to sliding at the contact provided the value of is solution–redeposition processes, or they may be
greater than zero. taken from solution. An analysis of the strength
Confirmation of the existence of a true cohesion and of cemented bonds was given by Ingles (1962)
determination of its value from strength tests is diffi- and is summarized in Section 7.4 and Eqs. (7.2)
cult because projection of the failure envelope back to to (7.8). Cohesive strengths of as much as several
⫽ 0 is uncertain, owing to the curvature of most hundred kilopascals (several tens of pounds per
failure envelopes, unless tests are done at very low square inch) may result from cementation.
effective stresses. Tensile tests cannot be made on most Stress–strain curves and peak failure envelopes
soils. Harison et al. (1994) performed various types of for cemented sands are shown in Fig. 11.104.
tensile tests on compacted clay specimens but found These curves show that even relatively small
that the tensile strengths decreased with increase in amounts of cement can have very large effects on
specimen size due to increase in the number of internal the deformation properties. Small values of co-
flaws. There is no convenient way to run a triaxial hesion have a large effect on the stability of a
compression test while maintaining the effective stress soil and its ability to stand unsupported on steep
equal to zero on the potential failure plane. Strength slopes. However, at large strains when the ce-
can be measured by direct shear with no applied nor- mentation breaks down, the strengths become
mal stress . Some examples are given in Bishop and similar irrespective of the degree of cementation
Garga (1969), Graham and Au (1985), and Morris et as shown in Fig. 11.104a.
al. (1992); however, for the reason given in the previ- 2. Electrostatic and Electromagnetic Attractions
ous paragraph, the measured strength cannot be attrib- Electrostatic and electromagnetic attractions be-
uted specifically to true cohesion. tween small particles are discussed in Sections
6.12 and 7.4. Electrostatic attractions become
Possible Sources of True Cohesion significant (⬎ 7 kPa or 1 psi) for separation dis-
Three possible sources for true cohesion between soil tances ⬍2.5 mm. Electromagnetic attractions or
particles have been proposed: van der Waals forces are a source of tensile
strength only between closely spaced particles of
1. Cementation Chemical bonding between par- very small size (⬍1 m).
ticles by cementation by carbonates, silica, 3. Primary Valence Bonding and Adhesion
alumina, iron oxide, and organic compounds is When normally consolidated clay is unloaded,
possible. Cementing materials may be derived thus becoming overconsolidated, the strength
from the soil minerals themselves as a result of does not decrease in proportion to the effective
Figure 11.104 Stress–strain curves and failure envelopes for cemented and uncemented sand
at a relative density of 74 percent: (a) stress–strain curves and (b) failure envelopes based
on peak strength (from Clough et al., 1981). Reprinted with permission of ASCE.
stress reduction, but a part is retained as shown stresses between particles generated by internal attrac-
in Fig. 11.3. Whether or not the higher strength tive forces. The mechanism of shear resistance result-
in the overconsolidated clay is because of the ing from these attractions should be the same as if the
lower void ratio or due to the formation of inter- contact normal stresses were derived from effective
particle bonds is not known. However, a ‘‘cold compression stresses carried by the soil. It is conven-
welding’’ or adhesion may be responsible for ient, therefore, to think of cohesion (except for cemen-
some of it. This could result from the formation tation) as due to interparticle friction derived from
of primary valence bonds at interparticle con- interparticle attractions, whereas the friction term in
tacts. the Mohr–Coulomb equation is developed by interpar-
ticle friction caused by applied stresses. Essentially the
Apparent Cohesion same concept was suggested by Taylor (1948) where
An apparent cohesion can be generated by capillary cohesion was attributed to an ‘‘intrinsic pressure.’’
stresses. Water attraction to particle surfaces combined Similarly, Trollope (1960) attributed shear strength to
with surface tension causes an apparent attraction be- the Terzaghi and Bowden–Tabor adhesion theory, with
tween particles in a partly saturated soil. Equation (7.9) both applied stresses and interparticle forces contrib-
can be used to estimate the magnitude of tensile uting to the effective stress that developed the frictional
strength that can be developed by capillary stresses in resistance. Present evidence indicates that cohesion
a soil. This is not a true cohesion; instead, it is a fric- due to interparticle attractive forces is quite small in
tional strength generated by the positive effective stress almost all cases, whereas that due to chemical cemen-
created by the negative pore water pressure. tation can be significant.
Summary
11.16 FRACTURING OF SOILS
Several contributions to cohesion are summarized in
Fig. 11.105 in terms of the potential tensile strengths Soil fracturing is often observed in geotechnical prac-
that can be generated by each mechanism as a function tice. Tensile cracks develop when there is external ten-
of particle size. For all the mechanisms except chem- sion stress such as at the crest of a landslide or vertical
ical cementation, cohesion is a consequence of normal cuttings. In some cases, water can fill the cracks, lead-
FRACTURING OF SOILS 439
Figure 11.105 Potential contributions of several bonding mechanisms to soil strength

(Ingles, 1962).
ing to further instability. Soil piping can occur in a dam principal effective stress is equal to the negative value
from water flow through cracks causing internal ero- of the tensile strength (t ).19 This criterion can be writ-
sion. Hydraulic fracturing results from increase in the ten as
pressure at the crack tips. Hydraulic fractures can be
created by injecting fluids, grouts, or chemicals and
used to control settlements caused by underground 3 ⫽ ⫺t (11.52)
construction, to determine the in situ horizontal stress
state, to create an impermeable hydraulic barrier, or to When a tensile force is applied to a saturated soil in
inject ground treatment chemicals for soil reinforce- the direction of minor principal stress, it will be
ment and contaminated ground remediation. Desicca- sheared in undrained conditions and the soil cracks if
tion also causes the development of tensile cracks as Eq. (11.52) is satisfied. The tensile total stress 3 then
the suction in the soil increases by evaporation and becomes
causes shrinkage of the soil by increase in effective
stresses.
Resistance to fracturing depends on tensile strength 3 ⫽ u0 ⫹ u ⫺ t ⫽ u0
(or true cohesion) of the material, which is often small
⫹ ( 3 ⫹ A( 1 ⫺ 3)) ⫺ t (11.53)
in geomaterials except when they are cemented. Frac-
turing can occur in clays in undrained conditions by
rapid increase in external pressure or in sands and where u0 is the initial pore pressure, u is the excess
clays by fluid permeation. Various mechanisms for pore pressure generated during the shearing process
fracture initiation are described below. leading to fracture, A is Skempton’s pore pressure pa-
rameter (Section 8.9), and 1 and 3 are the changes
Fracture under Undrained Conditions
If particle contacts cannot carry tension, it is often as-
sumed that the tensile cracking occurs when the minor 19
Note that the tensile strength of a soil is defined in terms of effec-
principal effective stress 3 becomes zero. If the soil tive stress. Unfortunately, many tensile strength values are written in
is cemented, cracking is generated when the minor total stress since pore pressure is not measured.
in major and minor principal total stresses, respec- increases, but the circumferential stress initially de-
tively.20 creases as long as the soil behaves linear elastically
Rearrangement of Eq. (11.53) gives and does not fail in shear (see Fig. 11.106a). Cracks
develop in the radial direction when the effective cir-
1 cumferential stress becomes zero for uncemented soils
3 ⫽ ⫺ (3i ⫹ t) ⫹ 1 (11.54) and equal to the negative value of the tensile strength
A
for cemented soils. Assuming that the clay behaves
linear elastically,21 the change in the radial total stress
where 3i is the initial minor principal effective stress r (⫽ 1) at the cavity is equal to the negative of
prior to applying the tensile force. the change in the circumferential stress (⫽ 3);
Injection of fluid into a cylindrical cavity surrounded r ⫽ ⫺ . Substituting this condition in Eq. (11.54)
by a clay formation can lead to fracture by increase in under plane strain conditions (A ⬇ –12 )22 gives
cavity pressure. Examples of this mechanism are frac-
ture grouting and soil fracturing around driven piezom- Pf ⫺ 3i ⫽ r ⫽ 3i
⫹ t or
eters (Lefebvre et al., 1981, 1991). According to cavity
expansion theory, the radial total stress at the cavity Pf ⫽ 23i ⫺ u0 ⫹ t (11.55)
20
A more general case can be written as 3 ⫽ u0 ⫹ ( p ⫹ a q) ⫺
t, where p and q are the changes in mean pressure and deviator 21
For simplicity, the undrained behavior of clays is assumed to be
stress, and a is the modified pore pressure parameter defined by linear elastic-perfectly plastic.
Wood (1990). 22
No change of intermediate principal stress ( 2 ⫽ 0) is assumed.
Tension crack σr = Pf
σθ
σ0 σr
Pf
σθ σ’0 σθ
Cavity
−σ σθ
Displacement
-σθ = σt t
Solid Line: Total Stresses
Dotted Line: Effective Stresses
Pf
(a)
Plastic σr = Pf
Deformation
σθ σ0 2su
σθ 2s σr
σ0 u
Pf
σθ Crack σθ Cavity
Displacement
Solid Line: Total Stresses

Plastic Instability Dotted Line: Effective Stresses
(b)
Figure 11.106 Fracture mechanisms of injection fluids into a cavity: (a) tensile fracture in
undrained conditions and (b) shear failure in undrained conditions.
where Pf is the injection pressure that causes the clay 1981; Yanagisawa and Panah, 1989), and they can be
to fracture. The above mechanism assumes that the generalized by the following equation:
tensile fracture occurs when Eq. (11.53) is satisfied in
a uniform displacement field at the injection cavity. Pf ⫽ m3i ⫹ n (11.57)
The fracture pressure Pf increases linearly with the in-
itial total confining pressure 3i with a slope of 2. In where m and n are material constants. Experimental
reality, deformation around the cavity is not uniform data give values of m varying between 1.5 and 1.8
and fracture can initiate at a localized zone at a pres- (Jaworski et al., 1981), whereas data indicating shear-
sure smaller than the prediction. This leads the slope induced fracture give values of m ⫽ 1.05 to 1.085
between Pf and 3i to be smaller than 2. Other consid- (Panah and Yanagisawa, 1989). Reported values of
erations for this fracture mechanism include the effect fracture pressure as a function of confining pressure
of shear-induced pore pressure and a nonlinear stress– for various soils are plotted in Fig. 11.107. The m val-
strain relationship (Andersen et al., 1994). ues of individual data sets are in general bounded by
As injection pressure increases, the clay at the sur- Eqs. (11.55) and (11.56).
face of the cavity may reach undrained shear failure
before the circumferential effective stress becomes
Fracture under Drained Conditions
zero in uncemented soils or reaches the tensile strength
in cemented soils. In such cases, the changes in the Forced seepage flow into a cavity in permeable soil
stress state at the cavity boundary with increasing cav- leads to soil fracture if the effective stress reduces to
ity strain are shown in Fig. 11.106b). Upon shear the negative sign of the tensile strength of the soil.
failure, the difference between the radial and circum- Practical applications of this situation are in situ per-
ferential stresses (both total and effective) remains meability testing and bore hole stability.
equal to 2su, and, therefore, the minimum principal ef- To interpret the fracture conditions around a driven
fective stress never reaches zero. In such circumstance, piezometer, Bjerrum et al. (1972) developed the fol-
it is difficult to see how plastic yielding initiates a frac- lowing conditions for the initiation of fracture in soils
ture. However, there is much field and experimental using the equilibrium equation with the assumptions of
evidence suggesting that fracture has indeed occurred steady state pore fluid flow from a cylindrical cavity
even though plastic deformation was observed at the and elastic soil material. Horizontal cracks may de-
cavity due to the low undrained shear strength of the velop if the injection pressure exceeds the initial total
soil (Mori and Tamura, 1987; Panah and Yanagisawa, vertical stress:
1989; Au et al., 2003). A possible explanation is that
the increase in plastic shear failure zone created shear Pinj ⫽ u0 ⫹ v0 (11.58)
bands or an unstable state around the cavity. This leads
to a localized microscale crack and the injected fluid where Pinj is the injection pressure, u0 is the initial pore
can penetrate into the crack to produce local tensile pressure, and v0 is the initial vertical effective stress.
stresses at the crack tips, as illustrated in Fig. 11.106b. Vertical cracks in the radial direction from the pie-
A simple cylindrical cavity expansion analysis shows zometer develop when the circumferential effective
that the cavity pressure required for the cavity bound- stress becomes smaller than the tensile strength of the
ary to reach the plastic state is material. Bjerrum et al. (1972) consider two cases: (i)
the piezometer is in contact with the surrounding soil
Pf ⫽ 3i ⫹ su (11.56) and (ii) the piezometer moves away from the surround-
ing soil (called ‘‘blow off’’). For the former case,
cracks develop when the following condition is satis-
where 3i is the initial total stress prior to shearing and
fied:
su is the undrained shear strength. The fracture pressure
冉冊
Pf increases with initial confining pressure in direct
proportion (i.e., slope of 1). If the plastic zone around 1
Pinj ⫽ u0 ⫹ ⫺ 1 [t ⫹ (1 ⫺ )h0
] (11.59)
the expanding cavity increases before fracture initiates
or su increases with initial confining pressure, the frac-
ture pressure Pf would increase from the value given where is Poisson’s ratio, t is the tensile strength,
in Eq. (11.56) and, therefore, the linear proportion be- h0 is the initial horizontal effective stresses; is a
tween Pf and 3i is expected to be larger than 1. disturbance factor that considers the change in circum-
Empirical equations to estimate soil fracture under ferential effective stress due to piezometer installation.
undrained conditions are available (Jaworski et al., Typical values of are given in Table 11.6.
Figure 11.107 Increase in fracture pressure with initial confining pressure of different soils.
Table 11.6 Typical Values of Disturbance Factors ␣ and ␤
Range of
Compressibility Ratio
Soil Type E/ h0(1 ⫹ v)
High compressibility 1–3 0.4–0.2 0.5–1.1

Medium compressibility 3–10 0.2 to ⫺0.2 1.1–2.0
Low compressibility 10–70 ⫺0.2 to ⫺1.1 2.0–4.2
From Bjerrum et al. (1972).
In some cases, the radial effective stress in the soil al., 1992). Soil shrinks by the decrease in pore pressure
next to the piezometer becomes zero and the soil sep- and increase in effective stress. This decrease in vol-
arates from the piezometer. This occurs when the in- ume generates vertical cracks. On the other hand, the
jection pressure becomes larger than the total radial tensile strength that provides the resistance to crack
effective stress: formation increases with increased negativity of pore
water pressure.
Pinj ⫽ u0 ⫹ h0(1 ⫹ ) (11.60)
Fracture Propagation
where is a disturbance factor that considers the Limited knowledge is available concerning fracture
change in radial effective stress during piezometer in- orientation and propagation. Some examples of frac-
stallation. Typical values of are given in Table 11.6. tures developed by injection of different fluids are
Further increase in injection pressure leads to devel- shown in Fig. 11.109. When fluid is injected into the
opment of vertical cracks in the radial direction, which
occurs when the following condition is satisfied:
Pinj ⫽ u0 ⫹ (1 ⫺ )[t ⫹ (2 ⫹ ⫺ )h0

] (11.61)
Desiccation Cracks
Reduction in moisture by surface evaporation from
clays leads to increase in interparticle contact forces
by suction. Soil then shrinks and desiccation cracks
may develop. The generation of cracks changes the
hydraulic properties from Darcy’s-type homogeneous
flow to fracture-dominated flow. This can cause some
environmental problems, such as unexpected poor per-
formance of contaminant barrier systems. Figure
11.108 shows the crack patterns observed after desic-
cation of sensitive clays (Konrad and Ayad, 1997). The
cracks can be pentagonal and heptagonal in shape, and
their size appears to be uniform. Morris et al. (1992)
report that crack depths from 0.5 to 6.0 m are observed (a)
in natural soils in Australia and Canada. Unfortunately,
the available knowledge for prediction of crack depth
and spacing is limited.
The decrease in matrix suction resulting from evap-
oration leads to two counteracting effects (Morris et
(b)
Figure 11.109 Different fracture patterns observed in labo-

ratory: (a) vertical and radial fractures hardened by epoxy
Figure 11.108 Photos of desiccation cracks (Konrad and and (b) horizontal fracture by cement bentonite mixture in-
Ayad, 1997). jection.
soil to create hydraulic fracture, a rule of thumb is that well before failure. A good example is the one-
vertical fractures are formed when K0 is less than 1 [as dimensional compression behavior discussed in Chap-
given Eq. (11.59)] and horizontal fractures develop ter 10. After the stress state becomes larger than the
when K0 is more than 1 [as given in Eq. (11.60) with preconsolidation pressure, the soil has yielded and
⫽ 0]. However, this assumes injection into a linear plastic strains develop. This leads to the concept of
elastic infinite soil medium. When multiple grout in- yield envelope (sometimes referred as yield surface or
jections are performed at close distance, horizontal limit state curve), which differentiates the state of the
fractures can be observed even though K0 is less than soil between elastic and plastic. Examples of the yield
1 (Soga et al., 2004). Natural bedding also affects frac- envelope of sands and clays were shown in Fig. 11.12.
ture orientation. In shallow formations, fractures are When the stress state reaches the yield envelope, the
often horizontally oriented or gradually dipped (Mur- total strain is governed by the development of plastic
doch and Slack, 2002). strain increments.
Simple criteria presented as Eqs. (11.56) to (11.61) Unfortunately, for soils, there is no distinct transition
are applied for global stress conditions, where micro- from elastic to plastic behavior. Plastic strains do de-
scale cracks often develop by local tensile stresses at velop inside the yield envelope and the stiffness de-
the crack tips. Fracture mechanics have been used with grades even at very small strain levels. Figure 11.111
some success to characterize the cracking resistance of shows a schematic nonlinear stress–strain relationship
the soils and to examine possible crack propagation
for a soil subjected to monotonic and cyclic deviator
(Morris et al., 1992; Harison et al., 1994; Murdoch and
loads. Some experimental data are shown in Figs.
Slack, 2002). The actual mechanisms of fracture de-
11.85 and 11.88. Under cyclic loading, the relation-
velopment in a fluid–soil system are more complicated
ships are hysteretic, which indicates energy absorption,
than in the above analyses, as illustrated in Fig. 11.110.
They may involve plastic deformation at the crack tip, or damping, during each complete cycle of stress re-
soil rate effects, penetration of injection fluid into the versal. The shear modulus G and damping ratio are
cracks, and permeation of injection fluid from cracks used to characterize the curves in Fig. 11.111, and they
into the soil medium. If the clay is overconsolidated are defined by
and saturated, the negative pore pressure generated by
shearing in front of the crack could possibly lead to
cavitation and dry cracks may develop in front of pen-
etrating injection fluid.
Secant Stiffness
11.17 DEFORMATION CHARACTERISTICS G1 G2

Shear Stress
Strains are often decomposed into elastic (recoverable)

and plastic (irrecoverable) parts. Conventional soil me- τ2
chanics assumes that plastic strains develop only when
the stress state satisfies some failure criterion (e.g., the Monotonic
loading curve
Mohr–Coloumb criterion). Otherwise, the soil behaves
elastically. However, plastic strains usually develop τ1
Localized Shearing γ1 γ2 Shear Strain

with Dilation and Cyclic loading
Rate Effect curves
Permeation
Injection Fluid Cavitation? Monotonic

loading curve
Fluid Penetration
Into Crack
Figure 11.110 Possible fracture propagation mechanisms in Figure 11.111 Monotonic and cyclic load stress–strain re-
soils. lationships at different strain amplitudes.
DEFORMATION CHARACTERISTICS 445
c mation parameters usually cannot be determined
G⫽ (11.62)
c accurately by conventional triaxial testing. With the
use of local strain measurement systems (Jardine et al.,
in which c is the applied shear stress and c is the 1984; Goto et al., 1991; Scholey et al., 1995; Cuccov-
corresponding shear strain, and illo and Coop, 1997; Lo Presti et al., 2001; Yimsiri and
Soga, 2002), however, it is now possible to measure
1 E the development of stresses from very small strains,
⫽ (11.63) which can then be used for accurate prediction of de-
2 G 2c
formations in the field.
in which E is the energy dissipated per cycle per unit To characterize nonlinear deformation inside the
volume, given by the area within the hysteresis loop. yield envelope, it is convenient to define four zones in
Understanding this pre-yield deformation behavior is the p –q plane as shown in Figs. 11.112b, 112c and
very important, as most strains observed in geotech- 112d. The initial stress state is considered to be at point
nical construction practice are indeed small (less than O, and the boundaries of the zones are determined by
0.1 percent) (Burland, 1989). Site response under stress probe testing in different stress path directions.
earthquake loading is influenced by stiffness degrada- The boundaries often associated with strain levels (ax-
tion and damping characteristics that are associated ial or shear strains), and the corresponding secant stiff-
with relatively small strain levels (Seed and Idriss, ness values are illustrated in Fig. 11.112a.
1982). This was illustrated in Fig. 11.9, which shows
typical strains observed in various types of geotech- 1. Zone 1 (True Elastic Region) Soil particles do
nical construction and shows that the necessary defor- not slide relative to each other under a small
I II III IV
Stiffness G or E
q Critical-State Line
State A State B Y3 Envelope

IVIV
State C Y2 Envelope
II III
dεp Plastic Strain Increment

Strain
dεt Total Strain Increment
O Y1 Envelope
1
dεp/dεt
Initial State
I
Strain p
0 ’
p
(a) (c) State B
Critical State Line q Critical State Line
q
Y3 Envelope Expanded Y3 Envelope
IV
II
III III
Y2 Envelope
Y2 Envelope Y1 Envelope
I II O
Y1 Envelope Initial State
I
p
(b) State A (d) State C
Figure 11.112 Four zones of deformation characterization: (a) stiffness degradation and
plastic strain development, (b), (c), and (d) are the stress conditions and the location of the
four zones associated with three successive states (modified from Jardine, 1992).
stress increment, and the stiffness is at its maxi- elastic even though microscopically soil particles
mum. The soil stiffness is determined from con- may not be back to their original locations after
tact interactions, particle packing arrangement, the cyclic loading. When the stress state reaches
and elastic stiffness of the solids. The soil stiff- the outer boundary of zone 2 (called the Y2 en-
ness values can be obtained from elastic wave velope), plastic strains start to develop. The ini-
velocity measurements, resonant column testing, tiation of plastic strains can be determined by
and very accurate local strain transducers. Cyclic examining the onset of permanent volumetric
loading produces only very small hysteresis by strain in drained conditions or residual excess
stick–slip motions at particle contacts and other pore pressures in undrained conditions after un-
mechanisms, producing very small energy dissi- loading. Hence the strain level that defines the Y2
pation less than 1 percent. The strains at which envelope is called volumetric threshold strain.23
the stress state reaches the outer boundary of The value of the volumetric threshold strain is
zone 1 (called Y1 envelope) are usually described generally one order of magnitude higher than that
as elastic limit strains or elastic threshold strains. of the elastic threshold strains. The available ex-
This state is illustrated as state A in Fig. 11.112b. perimental data suggest that it ranges between
The elastic limit axial strain depends on soil type, 7 ⫻ 10⫺5 and 7 ⫻ 10⫺4 (the lower limit for un-
solid stiffness, and confining pressure as shown cemented normally consolidated sands and the
in Table 11.7 for different geomaterials. Micro- upper limit for high plasticity clays and cemented
mechanics analysis by Santamarina et al. (2001) sands). At this strain level, the stiffness degrades
shows that it increases from less than 5 ⫻ 10⫺6 to 60 to 85 percent of the true elastic value
strain, for nonplastic soils at low confining pres- (Ishihara, 1996).
sure conditions, to greater than 5 ⫻ 10⫺4 strain
at high confining pressure conditions or in soils
with high plasticity.
2. Zone 2 (Nonlinear Elastic Region) Soil parti- 23
Other definitions of the Y2 surface are available. For example, (a)
cles start to slide or roll relative to each other in perform undrained cyclic loading test and find the linear relationship
this zone. The stress–strain behavior becomes between max and p / max, where max is the maximum strain for each
cycle and p is the residual strain (Smith et al., 1992); (b) the strain
nonlinear, and the stiffness begins to decrease level when excess pore pressures start to accumulate in a sequence
from the true elastic value as the applied strains of undrained cyclic tests at different strain levels (Vucetic, 1994); (c)
or stresses increase. However, a complete cyclic change in the direction of strain path in the vol–s space in drained
tests (Kuwano, 1999); and (d) change in the slope of the excess pore
loading (unloading and reloading) shows full re- pressure–vertical effective stress in undrained triaxial compression
covery of strains and therefore the zone is called test (Kuwano, 1999).
Table 11.7 Elastic Limit Strain for Various Geomaterials from Triaxial Tests
Material Elastic Limit Axial Strain Soil Description

Dogs Bay sand ⬍1 ⫻ 10⫺5 Uniform, angular biogenetic carbonate sand
Leighton Buzzard sand 2 ⫻ 10⫺5 Uniform, subround, quzartz sand
Kaolinite ⬍2 ⫻ 10⫺5 Reconstituted clay
Berthieville clay ⬍2 ⫻ 10⫺5 Soft silty clay
Bothkennar clay ⬍2 ⫻ 10⫺5 –3 ⫻ 10⫺5 Soft marine clay
Queenborough clay ⬍2 ⫻ 10⫺5 Soft silty clay
Osaka Bay clay 1 ⫻ 10⫺5 Overconsolidated marine clay
London clay 2 ⫻ 10⫺5 Stiff overconsolidated, fissured clay
Vallericca clay ⬍1 ⫻ 10⫺4 Weakly cemented overconsolidated clay
Calcarenite 1 ⫻ 10⫺4 Weak rock, carbonate sand cemented with calcite
Sandstone 2 ⫻ 10⫺4 Weak rock, quartz grain weakly bonded bny iron oxide
High-density chalk 5 ⫻ 10⫺5 Dry density ⫽ 1.94 g/cm3
Low-density chalk 2 ⫻ 10⫺5 –4 ⫻ 10⫺4 Dry density ⫽ 1.35 g/cm3
Cement-treated sandy soil 1 ⫻ 10⫺4 Hard soil/weak rock
Samamihara mudstone 2 ⫻ 10⫺4 Weak rock
After Matthews et al. (2000).
LINEAR ELASTIC STIFFNESS 447
3. Zone 3 (Preyield Plastic Region) As the stress envelope as illustrated in Figs. 11.112c and 11.112d.
state approaches the yield envelope (Y3 enve- If a stress state is probed in a certain direction within
lope), the ratio of plastic to total strain increases, zone 2, the Y1 envelope is dragged with the stress state.
approaching values close to 1.0 at the yield en- When the stress path is reversed inside the Y1 envelope,
velope. This state is illustrated as state B in Figs. the soil behaves as truly elastic. Once the stress state
11.112a and 11.112c. Soil particles slide relative reaches the other side of the Y1 envelope, the Y1 en-
to one another, with strong force chains breaking velope is again dragged with the stress state. When the
and reforming continuously to accommodate the stress state is in zone 3, both Y1 and Y2 envelopes are
changing stress conditions. dragged with the stress state. The movement of these
4. Zone 4 (Full Plastic Region) Once the stress surfaces is therefore kinematic. The stiffness and its
state reaches the Y3 yield envelope, there is a dis- degradation are controlled by the new stress path di-
tinct kink in the stress–strain relationship and rection in relation to the previous stress path direction
plastic strains develop fully. This state is illus- (Atkinson et al., 1990). If the soil is allowed to age at
trated as state C in Figs. 11.112a and 11.112d. a fixed effective stress point, the Y1 and Y2 envelopes
The yield envelope expands or shrinks depending may grow in size.
on the plastic increments; in general, the yield
envelope expands if positive plastic volumetric
strain (contraction) develops, whereas it shrinks 11.18 LINEAR ELASTIC STIFFNESS
if negative plastic volumetric strain (dilation)
develops. The sizes of Y1 and Y2 surfaces may Knowledge of soil stiffness in the linear elastic region
change with the enlargement or shrinkage of Y3 is important for evaluating soil response under dy-
surface. If the stress state reaches the critical namic loadings such as earthquakes, mechanical vibra-
state, the soil is considered to have reached fail- tion, and vehicle vibration. It also provides indirect
ure. information regarding the state and natural soil struc-
ture, and, therefore, stiffness values can be used to as-
Examples of experimentally determined boundaries sess the quality of soil samples (i.e., the degree of soil
are shown in Fig. 11.12b for Bothkennar clay and Fig. disturbance). The linear elastic stiffness of soils is eval-
11.113 for Ham River sand. These zones are not fixed uated from measurements of elastic wave velocities or
in space when the stress state moves inside the Y3 yield use of local displacement transducers. Theoretical
analysis of elastic waves in a particulate assembly is
outside the scope of this book, but details can be found
in Richart et al. (1970) and Santamarina et al. (2001),
0.3
among others.
Y3 Envelope The small strain shear modulus (Gmax) depends on
the applied confining pressure and packing conditions
0.2 of soil particles. The following empirical equation
(Hardin and Black, 1966) is often used for isotropic
Initial Stress stress conditions24:
State Y1 Envelope
0.1
Gmax ⫽ AF(e)pn (11.64)
q = σa – σr
Stress Path to Y2 Envelope

0.0
Initial State where F(e) is a void ratio function, p is the mean
0.1 0.2 0.3 0.4 effective stress, and A and n are material constants. An
p = (σa + 2σr )/3 example of the fitting was shown in Fig. 11.11, and
Table 11.8 summarizes some experimental data for dif-
-0.1
ferent types of soils.
Equation (11.64) is dimensionally inconsistent, ex-
Y3 Envelope cept when n ⫽ 1. Various theoretical solutions such as
-0.2 the Hertz–Mindlin contact theory are available to re-
-0.3 24
In practice, Gmax and pare often normalized by pa (reference pres-
sure such as atmospheric pressure) so that the equation appears to
Figure 11.113 Y1, Y2, and Y3 envelopes for Ham River sand be dimensionally consistent. However, there is no physical meaning
(Jardine et al., 2001). to this.
Table 11.8 Coefficients Used in Eq. (11.64)
Void Ratio Test

Soil Type A F(e) n Range Method a Reference
Sand
Round-grain Ottawa 6,900 (2.174 ⫺ e)2 0.5 0.3–0.8 RC Hardin and Richart
sand 1⫹e (1963)
Angular-grain crushed 3,270 (2.973 ⫺ e)2 0.5 0.6–1.3 RC Hardin and Richart
quartz 1⫹e (1963)
Several sands 9,000 (2.17 ⫺ e)2 0.4 0.6–0.9 RC Iwasaki et al. (1978)
1⫹e
Toyoura sand 8,000 (2.17 ⫺ e)2 0.5 0.6–0.8 Cyclic TX Kokusho (1980)
1⫹e
Several cohesionless 4,500– 1 0.5 NA RC Hardin and Blandford

and cohesive soils 140,000 0.3 ⫹ 0.7e2 (1989)
Ticino sand 7,100 (2.27 ⫺ e)2 0.43 0.6–0.9 RC and Lo Presi et al. (1993)
1⫹e TS
Clays
Reconstituted NC 3,270 (2.973 ⫺ e)2 0.5 0.5–1.5 RC Hardin and Black
kaoline 1⫹e (1968)
Several undisturbed 3,270 (2.973 ⫺ e)2 0.5 0.5–1.7 RC Hardin and Black
NC clays 1⫹e (1968)
Reconstituted NC 4,500 (2.973 ⫺ e)2 0.5 1.1–1.3 RC Marcuson and Wahls

kaolin 1⫹e (1972)
Reconstituted NC 450 (4.4 ⫺ e)2 0.5 1.6–2.5 RC Marcuson and Wahls

bentonite 1⫹e (1972)
Several undisturbed 893–1,726 (2.973 ⫺ e)2 0.46–0.61 0.4–1.1 RC Kim and Novak
silts and clays 1⫹e (1981)
Undisturbed NC clay 90 (7.32 ⫺ e)2 0.6 1.7–3.8 Cyclic TX Kokusho et al.

1⫹e (1982)
Undisturbed Italian 4,400–8,100 e⫺1.3(average 0.40–0.58 0.6–1.8 RC and Jamiolkowski et al.
clays from e⫺x: x BE (1995)b
⫽ 1.11–1.43)
Several soft clays 5,000 e⫺1.5 0.5 1–5 SCPT Shibuya and Tanaka
(1996)c
Several soft clays 18,000– 1 0.5 1–6 SCPT Shibuya et al. (1997)c
30,000 (1 ⫹ e)2.4
a
RC: resonant column test, TX: triaxial test, TS: torsional shear test, BE: bender element test, SCPT: seismic cone test.
b
From anisotropic stress condition.
c
Using v instead of p.
After Yimsiri (2001).
Table 11.9 Some Analytical Solutions for Shear Modulus Under Isotropic Loading of pⴕ
Coordination
Packing Number Shear Modulus
Simple cubic 6 Gmax
Gg
⫽
3
2 冉冊 1/3
(1 ⫺ g)1 / 3 p
2 ⫺ g Gg 冉冊 1/3
Body-centered cubic 8 Gmax

Gg
⫽9
1
6 冉冊 1/3
(1 ⫺ g)1 / 3 p
6 ⫺ 5g Gg冉冊 1/3
Face-centered cubic 12 Gmax 1 3

Gg
⫽
2 2 冉冊 1/3
(4 ⫺ 3g)
(2 ⫺ g)(1 ⫺ g)2/3
p
Gg 冉冊 1/3
Random packing Cn Gmax 1

Gg
⫽
兹3cn
5 兹2(1 ⫹ e) 冉冊 2/3
(5 ⫺ 4g) p
(2 ⫺ g)(1 ⫺ g)2 / 3 Gg 冉冊 1/3
After Santamarina and Cascante (1996).
late the global elastic stiffness to microscopic proper- F(e). Several expressions are available for the void ra-
ties such as particle stiffness and Poisson’s ratio, tio function as listed in Table 11.8. These functions are
number of contacts, void ratio, and contact force di- empirical and apply for specific ranges of void ratios
rections (see Table 11.9). These solutions suggest that and, therefore, should be used with caution.
the pressure p and Gmax could be normalized by the Equation (11.64) is derived assuming isotropic stress
shear modulus of the particle itself (Gg). conditions. Anisotropic stress conditions as well as an-
It is noted from Table 11.8 that the values of the isotropic soil fabric give stiffness values that depend
exponent n range from 0.4 to 0.6. As shown in Table on the direction of loading. The shear modulus is a
11.9, however, classical contact mechanics solutions function of the principal effective stresses in the direc-
using the Hertz–Mindlin contact theory predict n ⫽ tions of wave propagation and particle motion and is
–13 . This is because the soil particles are assumed to be relatively independent of the out-of-plane principal
smooth elastic spheres. If the contacts are considered stress. This is shown in Fig. 11.114, in which the var-
to be an interaction of rough surfaces, the modification iations of measured shear wave velocities propagating
of theory leads to increases in the exponent to values in three different directions (Vsxy, Vsyz, and Vszx) are
that are closer to the experimental observations given shown as the vertical effective stress z was increased
in Table 11.8 (Yimsiri and Soga, 2000).
By comparing Eq. (11.64) with the micromechanical
model listed at the bottom of Table 11.9, it is possible
σz Change in Vertical Effective Stress
to relate the void ratio function F(e) to number of con-
tacts per particle (i.e., coordination number) and A to 400 Direction of Wave Propagation
Vs-zx
S-wave Velocity, Vs (m/s)
the elastic properties of particle itself. From the anal- Particle Motion
ysis of uniform grain fabrics, the coordination number Vs-xy
Cn can be related to the porosity n by Eq. (5.1) or to Vs-xy
the void ratio e by the following equation. (Chang et Vs-yz
300
al., 1991).
Vs-yz
Vs-zx
Cn ⫽ 13.28 ⫺ 8e (11.65)
By varying compaction effort, sand samples can be 200

20 40 60 80 100 200 300
prepared to different densities for a given applied con-
Vertical Effective Stress, σ z (kPa)
fining stress. In this case, a smaller void ratio implies
that the number of particle contacts is larger, and, Figure 11.114 Variation of shear wave velocities in different
therefore, the small strain stiffness increases. This ef- directions as a function of anisotropic stresses (Stokoe et al.,
fect is taken into account in the void ratio function 1995).
with the horizontal effective stresses x and y being σz Change in Vertical Effective Stress
held constant (Stokoe et al., 1995). The shear wave 600 Direction of Wave Propagation
Vp-zz
Vsxy, which propagates and has the particle motion in
P-wave Velocity, Vp (m/s)

Particle Motion
the out-of-plane directions, shows no change in its ve- Vp-zz
Vp-xx Vp-xx
locity. This leads to the following empirical equation 500
Vp-yy
for stiffness under anisotropic stress conditions (Roes-
ler, 1979; Yu and Richart, 1984; Stokoe et al., 1985, 400 Vp-yy
1991; Hardin and Blandford, 1989):
Gij(max) ⫽ AGFGi rGj sG OCRk (11.66) 300

20 40 60 80 100 200 300
Vertical Effective Stress, σz (kPa)
where i is the effective normal stress in the direction
Figure 11.115 Variation of P-wave velocities in different di-
of wave propagation, j is the effective normal stress
rections as a function of anisotropic stresses (Stokoe et al.,
in the direction of particle motion, and AG, rG, sG, and 1995).
k are material constants. Experimental evidence sug-
gests that rG ⬇ sG. Hence, an alternative equation that
relates the stiffness to the mean state of stress on the and Tatsuoka, 1998). This leads to the following em-
plane of particle motion is also available: pirical equation for small strain Young’s modulus:
Gij(max) ⫽ AGFG 冉 i ⫹ j

2 冊 nG
OCRk (11.67)
Ei(max) ⫽ AEF(e)i nE (11.69)
where AE and nE are material constants. Micro-

Equations (11.66) and (11.67) include the effect of mechanics analysis by Yimsiri and Soga (2000) sup-
overconsolidation ratio (OCR). Hardin and Black ports this relation when the change in contact fabric
(1968) found that k is a function of plasticity index (k anisotropy with applied stress is considered.
increasing from 0 to 0.5 as PI increases from 0 to more Limited data are available with respect to Poisson’s
than 100). Viggiani and Atkinson (1995) report k ⫽ ratio, and it is often assumed to be a constant value.
0.3 for reconstituted kaolin and k ⫽ 0.35 for reconsti- The data by Hoque and Tatsuoka (1998) shown in Fig.
tuted and undisturbed London clay. It can be argued 11.117 indicate that Poisson’s ratio vh (i.e., horizontal
that the void ratio function is a redundant factor since expansion by vertical load) increases with vertical ef-
the void ratio is a unique function of present effective fective stress and decreases with increase in horizontal
stress, stress history (OCR), and soil compressibility. stress. The following empirical equations are proposed
However, this argument should be restricted to recon- by Horque and Tatsuoka (1998) for Poisson’s ratios:
stituted clays and not applied to natural clays.
vh ⫽ AvhF(e)(v / h)nvh (11.70)
Similar empirical equations are proposed for other
elastic constants. P-wave velocity is a function only of
hv ⫽ AhvF(e)(h / v)nhv (11.71)
the effective stress in the coaxial direction as shown in
Fig. 11.115 (Stokoe et al., 1995). Hence, the small
where Avh, Ahv, nvh, and nhv are material constants.
strain constrained modulus Mi(max) in the i direction can
Hoque and Tatsuoka (1998) report the values of nvh
be expressed as
and nhv can be assumed to be half of nE given in Eq.
(11.69).
Mi(max) ⫽ AMF(e)inM (11.68) Small strain stiffness anisotropy originates from (i)
anisotropic stress conditions and (ii) anisotropic soil
where AM and nM are material constants. fabric. The former is considered in Eqs. (11.66) to
Similarly to the constrained modulus, the small (11.71). For the latter, the material constant A should
strain Young’s modulus Ei(max) in the i direction (e.g., be directionally dependent reflecting a given aniso-
vertical or horizontal) is a function of the effective tropic fabric. The effect of soil fabric on small strain
stress in the coaxial direction (i direction) only. The stiffness of reconstituted London clay specimens is
increase in Young’s modulus with stress in the coaxial shown in Fig. 11.118 where the shear wave velocities
direction is shown in Fig. 11.116a, whereas no change in different directions are measured under the same
in the modulus with the increase in the stresses in or- confining pressures, and three different values of stiff-
thogonal direction is shown in Fig. 11.116b (Hoque ness (Gvh, Ghv, and Ghh) are obtained. Results indicate
5000
Ev SLB Sand Ev Toyoura Sand
Eh SLB Sand E
Ehv Toyoura
Toyoura sand
Sand
Ev/(F(e)Pa) or Eh/(F(e)Pa)
4000
3000
2000
For Ev (or Eh) measurement, σv/Pa (or σh/Pa) is

varied between 1.0 and 2.0 at each σv (or σh)
1000
1.0 1.5 2.0 Figure 11.117 Poission’s ratio as a function of anisotropic
σv/Pa or σh/Pa stresses (Hoque and Tatsuoka, 1998).
(a) Ev versus σv and Eh versus σh
Eh SLB Sand Eh Toyoura Sand
1.2
Ev/(AEF(e)σv)
1.0
0.8
0.0 1.0 2.0 3.0 4.0

σ’h/P a
(b) E v versus σh
Figure 11.116 Vertical and horizontal Young’s modulus as Figure 11.118 Stiffness anisotropy of undisturbed London
a function of anisotropic stresses for Toyoura sand (Hoque clay under isotropic stress conditions (Jovicic and Coop,
and Tatsuoka, 1998). 1998).
For sands, most studies show that the ratio Ghh /Gvh
that, for a given confining pressure, the values of Ghh is greater than 1 (e.g., Lo Presti and O’Neill, 1991;
are larger than those of Gvh ⬇ Ghv. Hence, the soil is Stokoe et al., 1991; Bellotti et al., 1996). However,
inherently stiffer horizontally than vertically due to its reported values for the ratio of Ev /Eh are inconclusive;
soil fabric. some sands are stiffer in the vertical direction (Hoque
The reported data on clay under isotropic stress con- and Tatsuoka, 1998), whereas the others are stiffer in
ditions consistently show that Ghh is approximately 50 the horizontal direction (Stokoe et al., 1991). Aniso-
percent larger than Gvh, indicating inherent anisotropic tropic properties are related to fabric (contact) aniso-
characteristics caused by orientation of platy clays tropy, and therefore the mixed results obtained may be
(Pennington et al., 1997; Jovicic and Coop, 1998). The due to the differences in sample preparation proce-
ratios of Ghh /Gvh for six Italian clays measured in one- dures.
dimensional consolidation tests were between 1.3 and The experimental data show that the small strain
2.0, and the ratio increased with overconsolidation ra- stiffness is rather insensitive to the strain rate and num-
tio (Jamiolkowski et al., 1995). ber of loading cycles as long as the loading is within
the true elastic range but that the elastic limit strain analysis. For instance, assume that the true elastic axial
increases with strain rate (Shibuya et al., 1992; Tat- stiffness of a soil is 100 MPa. Considering that the
suoka et al., 1997). Resonant column tests on clays and elastic threshold axial strain is of the order of 10⫺5,
sands show that the small strain shear modulus is in- the axial stress increment required to reach to this
dependent of frequency in the range of 0.05 to 2500 strain level is only 1 kPa. Hence, errors in stiffness of
Hz (e.g., Hardin and Richart, 1963; Hardin and Drnev- 100 percent result in small differences in the asso-
ich, 1972; Stokoe et al., 1995). ciated stress increments (a few kilopascals). Typical
Although conservation of energy may be an issue strain levels under working loads are usually in an in-
for true elastic response, experimental evidence indi- termediate level between linear elastic and plastic de-
cates that energy is dissipated even at this strain level formation, and, therefore, the knowledge of nonlinear
and damping values are typically 0.35 to 1 percent for (zone 2) and irreversible (zone 3) deformation char-
sands and 1.0 to 1.5 percent for clays. Similar to the acteristics is more important for evaluating ground
small strain stiffness, the damping at very small strain movements accurately.
also depends on confining pressure and the following Stiffness degradation from small strains to interme-
empirical form is proposed (Hardin, 1965): diate strains has been recognized in resonant column
testing since the 1960s when the soil was subjected to
⫽ Bpm (11.72) cyclic loading (Hardin and Drnevich, 1972). Nowa-
days, detailed characterization of deformation proper-
where B and m are material constants. The reported ties at intermediate strain levels is possible with the
values of the exponent m range from ⫺0.05 to ⫺0.22 use of local strain measurement systems, as described
(Santamarina and Cascante, 1996; Stokoe et al., 1999). previously.
Although the particles in contact are not moving rel- The shear modulus decreases and the damping in-
ative to each other, some microscopic proportion of the creases as the shear strain increases because of struc-
contact area can slide or slip, which is known as the tural breakdown that results in a decreasing proportion
stick–slip frictional contact loss. Micromechanical of elastic deformation and an increasing proportion of
analysis considering the energy dissipation by this plastic strain with increasing shear strain. The shear
behavior gives m ⫽ ⫺–23 . Santamarina and Cascante modulus degradation curves of Ticino sand, obtained
(1996) attribute the difference to other attenuation by monotonic and cyclic loadings using various testing
mechanisms available in soils. These include chemical apparatus (triaxial compression, torsional shear, and
interaction of adsorbed layers at contacts, wave scat- resonant column) are shown in Fig. 11.119 (Tastuoka
tering, thermal relaxation, and other forms of energy et al., 1997). The small strain stiffness is nearly inde-
coupling (e.g., mechanoelectromagnetic, mechano-
pendent of the test type, but at larger strains, the cyclic
acoustic). The damping is also affected by loading fre-
loading gives consistently larger shear modulus com-
quency, which is further described in Chapter 12.
It has been argued that the use of the empirical equa-
tions presented above may produce nonconservative
Monotonic Triaxial
‘‘elastic’’ response in terms of energy conservation 100 Monotonic Torsional Shear
(i.e., it may generate energy during a closed stress
Secant Shear Modulus G G
Cyclic Triaxial
loop) (Zytynski et al., 1978). To be thermomechani- Cyclic Torsional shear
cally consistent, theoretical models for the pressure- 80
Resonant Column
dependent stiffness of soils are available (e.g.,
Houlsby, 1985; Hueckel et al., 1992; Borja et al., 1997; 60
Einav and Puzrin, 2004). They show that, if both shear
and bulk moduli are to be mean pressure dependent,
the stiffness needs to be anisotropic and stress induced. 40
This is important in deformation analysis since the an- Ticino Sand
isotropic stiffness in turn leads to cross dependence 20 σ’0 = 49 kPa
between shear behavior and volumetric behavior (Gra- e = 0.640
ham and Houlsby, 1983).
0
10-4 10-3 10-2 10-1 100
11.19 TRANSITION FROM ELASTIC TO Shear Strain γ (%)
PLASTIC STATES
Figure 11.119 Stiffness degradation of Ticino sand obtained
In some cases, accurate evaluation of stiffness values by monotonic and cyclic loadings using various testing ap-
at very small strains may not be crucial in geotechnical paratus (Tatsuoka et al., 1997).
TRANSITION FROM ELASTIC TO PLASTIC STATES 453
pared to the monotonic loading at a given strain level. cause the specimens had different stress path histories
This is because the soil densifies during cyclic loading prior to shearing (AO, BO, CO, and DO) [termed re-
and the number of loading cycles has an effect on stiff- cent stress history by Atkinson et al. (1990)], and
ness. As noted earlier, the shear strain level that gives stiffer response was obtained when the stress path was
an onset of permanent volumetric strain in drained con- reversed (D → O → X). The use of the multisurface
ditions or residual excess pore pressures in undrained concept described in Section 11.17 conveniently ex-
conditions after unloading is called the volumetric plains this complex deformation behavior.
threshold strain. Since the small strain elastic stiffness is also influ-
The stiffness degradation curve is influenced by enced by the same factors, the stiffness degradation
many factors such as stress state, stress path, soil type, curves are sometimes normalized by the small strain
and soil fabric (i.e., anisotropy). For example, Fig. stiffness; G/Gmax versus log or E/Emax versus log a.
11.10 shows the stiffness degradation of sands and A summary of normalized shear modulus degradation
clays subjected to increase in shear stress at different curves for a variety of soils are shown in Fig. 11.121
confining pressures. The effect of stress path directions (Kokusho, 1987). The curve for modulus degradation
on the stiffness degradation curve is shown in Fig. with increasing strain may be somewhat flatter for
11.120 (Atkinson et al., 1990). Triaxial tests were per- gravels than that for sands and clays. The curves tend
formed on reconstituted overconsolidated London clay to move to the right as the confining pressure in-
specimens in such a way as to maintain a constant creases; it is possible that the degradation curve at very
mean pressure. Different stiffness degradation curves high confining pressure (in the megapascal range) may
were obtained even though they were sheared along lie beyond the bands given in Fig. 11.121 (Laird and
the same stress path (OX in Fig. 11.120a). This is be- Stokoe, 1993).
Sands and Gravels

The following relationship can be used for the dynamic
shear modulus of sands and gravels at different strain
Deviator stress q (kPa)
X
levels (Seed et al., 1984):
100 D
0
C
100
O
200
A
400
G
pa
⫽ 22.1K2
p
pa 冉冊 1/2
(11.73)
Mean Pressure p (kPa)

-100 B where p is the mean effective principle stress, pa is
the atmospheric pressure, and K2 is a coefficient that
(a) depends primarily on grain size, relative density, and
shear strain. The coefficient K2 is generally greater by
40
a factor from about 1.35 to 2.5 for gravels than for
sands. Values of K2 vary with relative density and shear
(D➝)O➝X
30
Shear Modulus G (MPa)
(A➝)O➝X
1.0
Shear Modulus Ratio G/Gmax
20
(C➝)O➝X
10 Clay, 100 kPa
0.5
(B➝)O➝X Sand, 50 kPa
0 Gravel, 50 ~ 830 kPa

10-2 10-1 100 101
Deviator strain γ (%) 0.0
(b) 10-4 10-3 10-2 10-1 100
Shear Strain γ (%)
Figure 11.120 Recent stress history effect on stiffness deg-
radation: (a) stress paths and (b) stiffness degradation on OX Figure 11.121 Normalized stiffness degradation curves of
stress path (from Atkinson et al., 1990). various types of soils (Kokusho, 1987).
strain approximately as shown in Fig. 11.122 and with Dobry (1991) based on the results of a review of avail-
void ratio and shear strain as shown in Fig. 11.123. able cyclic load data from 16 different studies. The
Equation (11.73) assumes that the exponent is –12 . Ex- influences of various compositional and environmental
perimental evidence suggests that the exponent in- factors on shear modulus and damping ratio of nor-
creases with strain level as shown in Fig. 11.124 and mally consolidated and moderately overconsolidated
reaches 0.8 to 0.9 at a strain level of 1 percent (Jovicic clays are listed in Table 11.10.
and Coop, 1998; Yamashita et al., 2000). Vucetic and Dobry (1991) hypothesized that increas-
Values of the damping ratio for sands and gravels ing plasticity influences the degradation curves in the
are about the same, and they are only slightly influ- following manner. Increasing plasticity index reflects
enced by grain size and density. The ranges of values decreasing particle size and increasing specific surface
as a function of cyclic shear strain are shown in Fig. area. The number of interparticle contacts becomes
11.125. The damping value decreases with increasing large, and interparticle electrical and chemical bonding
number of loading cycles and confining pressure, and and repulsive forces become large relative to the par-
much of the decrease occurs in the first 10 cycles (Sto- ticle weights in comparison with sands. The many
koe et al., 1999). bonds within the microstructure act as a system of rel-
atively flexible linear springs that can resist larger
Clays shear strains (up to 0.1 percent before they are broken)
Although the variation of shear moduli and damping than is the case for sands, wherein particle elasticity is
ratio with shear strain is relatively independent of com- practically the only source of linear behavior, and in-
position for sands and gravels, the same is not the case terparticle sliding at contacts may start at strains as low
for cohesive soils. Curves of the type shown in Figs. as percent with the onset of plastic deformations.
11.121 and 11.125 are displaced to the right for clays To these ideas might be added the fact that the thin,
with increasing plasticity, as shown by Fig. 11.126. platy morphology of most clay particles make them
These relationships were developed by Vucetic and able to deform elastically to considerably greater levels
Figure 11.122 Shear modulus factor K2 for sands as a function of relative density and shear
strain (Seed et al., 1984).
TRANSITION FROM ELASTIC TO PLASTIC STATES 455
Figure 11.123 Shear modulus factor K2 for sands as a function of void ratio and shear strain
(Seed et al., 1984).
Figure 11.124 Variation of the shear modulus n exponent

value with strains on Dogs Bay sand (Jovicic and Coop, Figure 11.125 Damping ratios for sands and gravels (Seed
1997). et al., 1984).
fully plastic state is obtained when the stress state

reaches the yield envelope as discussed in Section
11.17. As long as the stress state during and after geo-
technical construction is within the yield envelope, the
strain generated is elastic dominated. Hence, in order
to control ground deformation in overconsolidated
clays, it is useful to keep the construction-induced
stress paths within the yield envelope.
Once the stress state reaches the yield envelope, the
generated strain will be plastic dominated. Generation
of plastic strains is often unavoidable in normally and
lightly overconsolidated clays because the initial stress
state is either already on or near the yield envelope.
The most important mechanical feature of soil in the
plastic state is dilatancy, in which there is coupling
between shear and volumetric deformations. That is,
dense sands and heavily overconsolidated clays exhibit
volume dilation in drained conditions and negative ex-
cess pore pressure generation in undrained conditions,
whereas loose sands and normally consolidated and
lightly overconsolidated clays exhibit volume contrac-
tion in drained conditions and positive excess pore
pressure generation in undrained conditions. The rule
that governs the generation of plastic volumetric strain
associated with plastic deviator strain is called the di-
latancy (or flow) rule. Some examples of this for dense
sands were already presented in Eqs. (11.34) and
(11.35), in which the degree of dilatancy [dy/dx in Eq.
(11.34) and in Eq. (11.35)] is related to the applied
Figure 11.126 Normalized modulus and damping ratio as a principal stress ratio (or the mobilized friction angle)
function of cyclic shear strain showing the influence of soil and the internal friction angle. These observations are
composition as measured by plasticity index (from Vucetic important because the incorporation of stress–dilatancy
and Dobry, 1991). Reprinted with permission of ASCE. into plasticity theory can lead to a useful form of con-
stitutive modeling for soils.
The development of plastic strains is often charac-
terized by the following three aspects of soil behavior:
of strain than is possible for the bulky, stiff granular (a) yield envelope, (b) dilatancy rule, and (c) hardening
particles. Furthermore, the several orders-of-magnitude rule, which relates the change in the size of yield en-
smaller size and greater number of interparticle con- velope to plastic strain increments. By assigning math-
tacts per unit volume for the cohesive materials mean ematical functions to these three aspects of soil
that even minute elastic distortions at interparticle con- behavior, a plastic constitutive model can be devel-
tacts can give a cumulative strain that is large. For a oped. Detailed review and development of all recent
cohesionless soil to develop such large shear defor- plasticity theories and proposed constitutive soil mod-
mations would require much greater displacements at els are beyond the scope of this book. However, some
intergrain contacts than could be accommodated with- essential aspects of soil behavior observed during plas-
out sliding. tic deformation are summarized here.
Yield Envelope and Hardening

11.20 PLASTIC DEFORMATION
The yield envelope defines the stress state when there
Irrecoverable plastic strain initiates at a shear strain is full development of plastic strains. Typical yield en-
level of approximately 10⫺2 percent, and the amount velopes measured for a natural clay consolidated at
of plastic strain increases with further deformation. A different confining pressures are shown in Fig. 11.127.
PLASTIC DEFORMATION 457
Table 11.10 Effect of Various Compositional and Environmental Factors on Maximum Shear Modulus Gmax,
Modulus Ratio G /Gmax, and Damping Ratio of Normally Consolidated and Moderately Overconsolidated Clays
Increasing Factor Gmax G/ Gmax

(1) (2) (3) (4)
Confining pressure, 0 Increases with 0 Stays constant or Stays constant or
(or vc) increases with 0 decreases with 0
Void ratio, e Decreases with e Increases with e Decreases with e
Geologic age, tg Increases with tg May increase with tg Decreases with tg
Cementation, c Increases with c May increase with c May decrease with c
Overconsolidation, Increases with OCR Not affected Not affected
OCR
Plasticity index, PI Increases with PI if Increases with PI Decreases with PI
OCR ⬎ 1; stays
about constant if
OCR ⫽ 1
Cyclic strain, c — Decreases with c Increases with c
Strain rate, ˙ Increases with ˙ G increases with ˙ ; Stays constant or may
(frequency of cyclic G/ Gmax probably not increase with ˙
loading) affected if G and
Gmax are measured at
same ˙
Number of loading Decreases after N Decreases after N cycles Not significant for
cycles, N cycles of large c but of large c (Gmax moderate c and N
recovers later with measured before N
time cycles)
From Dobry and Vucetic (1987).
Some observations can be made from this figure as

follows:
1. The yield envelope is a function of stress and its

size is controlled by stress history variables such
as preconsolidation pressure. This is often ex-
pressed mathematically as
F(, pc, ) ⫽ 0 (11.74)
where is the effective stresses, pc is the pre-

consolidation pressure, and is the rotation angle
of the yield envelope with respect to the mean
pressure axis. The yield envelopes of intact sam-
ples are larger than those of remolded (or de-
structured) samples; geological aging processes
and cementation produce large yield envelopes
for intact clays as shown in Fig. 11.128. When
the cementation bonding breaks down and the
Figure 11.127 Yield surfaces of Winnipeg clay at different soil becomes destructured, the yield envelope can
confining pressures (Graham et al., 1983b). become smaller.
tions [i.e., (a) triaxial compression, (b) isotropic,

0.6 Intact State and (c) triaxial extension]. A mathematical form
that describes the change in with generation of
Destructured State
plastic strains is called the rotational hardening
(σa – σr)/2σp
0.4 rule.
Magnitude of Plastic Strains and Stress–Dilatancy

0.2
Once the stress state is on the yield envelope, the soil
is in the fully plastic state. The arrows in Fig. 11.129
show the vector magnitude of plastic strains measured
0
0 0.2 0.4 0.6 0.8 1.0 for a given stress increment. The vertical component
(σa+ σr)/2σp of the arrows is the deviator plastic strain increment
d ps (or d p), whereas the horizontal component is the
(a) volumetric plastic strain increment dpv.25 Similarly, the
plastic strain vectors measured in Winnipeg clay are
0.6 Intact State shown in Fig. 11.130 (Graham et al., 1983b). The vec-
tor of the plastic strain increment appears to be a func-
Destructured State
tion of the current stress state. This observation leads
(σa – σr)/2σp
0.4 to the concept of stress–dilatancy.

Dilatancy during plastic deformation can be ex-
pressed as the ratio of plastic volumetric strain incre-
0.2 ment dpv to plastic deviatoric increment dsp; D ⫽
dpv /dsp. For clays, the value of D can be expressed as
a function of stress ratio and material constants. For
0 instance, the following stress–dilatancy equation can
0 0.2 0.4 0.6 0.8 1.0
be proposed based on Taylor’s equation (11.34)26:
(σa+σr)/2σp
(b) dpv q
⫽M⫺ ⫹ 0 (11.75)
ds
p
p
Figure 11.128 Yield surfaces of intact and destructured soft
clays: (a) Saint Alban clay and (b) Bäckebol clay (Leroueil
and Vaughan, 1990).
where 0 is the initial anisotropy (e.g., Sekiguchi and
Ohta, 1977). When 0 ⫽ 0, the equation becomes the
stress–dilatancy rule used in the Cam-clay model (Ros-
coe and Schofield, 1963). Soil exhibits contractive be-
2. The yield envelope increases in size with increas- havior when the dilation angle is negative and q/p is
ing preconsolidation pressure pc, which is often less than M ⫹ 0, whereas the soil exhibits dilative
associated with the generation of plastic volu- behavior when the dilation angle is positive and q/p
metric strain. The size increases as the soil is is more than M ⫹ 0. Figure 11.131 shows the stress–
more densely packed along the normal consoli- dilatancy relationship for the data presented in Fig.
dation line. A mathematical form that describes 11.130. The data follow a similar trend to Eq. (11.75).
the change in pc with generation of plastic strains Other stress–dilatancy rules that are used to derive
is called the hardening rule. constitutive models for clays are available.
3. The shape of the yield envelope is often an in- Experimental evidence suggests that the stress–
clined ellipse in the p –q plane. The inclination dilatancy relationship for sand depends on confining
is related to the anisotropic consolidation history pressure and density as well as soil fabric, compared
as well as the anisotropic fabrics. Some yield en- to a simpler form used in clays such as Eq. (11.75).
velopes of sands are shown in Fig. 11.129 (Yas- Rowe (1962) derived the following stress–dilatancy
ufuku et al., 1991). The yield envelopes were
determined by applying different stress paths and
connecting the stress state when the plastic 25
In triaxial condition, dpv ⫽ dpa ⫹ 2drp, dsp ⫽ (–23 )(dpa ⫺ dpr ), and
strains initiate for a given stress path. The shape d p ⫽ dpa ⫺ dpr , where dpa is the axial plastic strain and dpr is the
of the yield envelopes resembles a tear drop, and radial plastic strain.
26
Note that Taylor’s expression was for the peak state only. This
the inclinations of the yield envelopes are clearly equation is applied to all stress state conditions under plastic defor-
affected by the initial anisotropic stress condi- mation for both loose and dense cases.
PLASTIC DEFORMATION 459
q q q
(MPa) (MPa) (MPa)
0.8 0.8 0.8
0.6 0.6 0.6

Initial Initial
0.4 State 0.4 0.4
State
0.2 0.2 Initial 0.2
(MPa) State (MPa) (MPa)
0.0 0.0 0.0
0.2 0.4 0.6 0.8 1.0 p’ 0.2 0.4 0.6 0.8 1.0 p’ 0.2 0.4 0.6 0.8 1.0 p’
-0.2 -0.2 -0.2
-0.4 -0.4 -0.4
(a) (b) (c)
Figure 11.129 Yield surfaces of sands with different initial stress histories. Initial states (a)
compression, (b) isotropic, and (c) extension (Yasufuku et al., 1991).
dε p Cam-clay
1.4
(Roscoe and Schofield, 1963)
dεsp
dε pv/dε ps = M - q/p
1.2
dε vp Modified Cam-clay
Stress Ratio q/p'
(Roscoe and Burland, 1968)

0.6 dε pv/dε ps = [M2 - (q/p)2]/ 2(q/p) 1
Data from Graham et al. (1983).
0.8 See Fig 11.130
0.4
Modified Cam-clay
q/σp
0.6
0.4
0.2
0.2
Cam-clay
0 0
0 0.2 0.4 0.6 0.8 1.0 -2.5 -2 -1.5 -1 -0.5 0 0.5 1 1.5 2 2.5
p
Plastic Strain Ratio (-dε pv/dε s)
p/σp
Figure 11.130 Plastic strain vectors at yielding of natural Figure 11.131 Stress dilatancy relations of natural Winnipeg
Winnipeg clay (Graham et al., 1983b). clay (Wood, 1991).
rule for sand in triaxial loading based on his experi- respectively. Equations (11.76) and (11.77) have a sim-
mental data as well as theoretical analysis: ilar form to Eq. (11.75), in which the dilation depends
on stress ratio and material constants.27 However,
a
r 冉冊冉
⫽
⫺2dpr
da
p
tan2
c
4
⫹
2 冊 Rowe (1962) noted that the material constant c used
in Eqs. (11.76) and (11.77) is influenced by the density.
Different initial anisotropic stress states give different
in triaxial compression (11.76)
r
a
⫽ 冉冊冉
⫺dap
2drp
tan2
c
4
⫹
2 冊 27
Equations (11.76) and (11.77) can be rewritten in terms of p, q,
d pv, and d p (Pradhan and Tatsuoka, 1989):
in triaxial extension (11.77)

q
⫽ 冋
3 (2K ⫹ 1)(⫺d pv / d p) ⫹ 2(K ⫺ 1)
p 2 (K ⫺ 1)(⫺d vp / d p) ⫹ (K ⫹ 2) 册 for d pa ⬎ 0
where dpa and dpr are the axial and radial strain
increments, c is the ‘‘characteristic friction angle’’
q
⫽ 冋
3 (K ⫹ 2)(⫺d pv / d p) ⫺ 2(K ⫺ 1)
p 2 (1 ⫺ K)(⫺d vp / d p) ⫹ (2K ⫹ 1) 册 for d pa ⬍ 0
and a and r are the axial and radial effective stresses, where K ⫽ (1 ⫹ sin c) / (1 ⫺ sin c).
stress–dilatancy curves as shown in Fig. 11.132. The 11.21 TEMPERATURE EFFECTS

curves were derived from the data presented in Fig.
11.129 and are presented in terms of stress ratio q/p The average ground temperature varies between 7 and
and plastic strain increment ratio d pv /d p. Hence, the 10, whereas laboratory conditions are between 18 and
stress–dilatancy relationship of a sand depends not 23. In some situations, the soil can undergo large tem-
only on stress ratio but also on density, confining pres- perature change, for example, ground freezing, heating
sure and initial anisotropic stress conditions. of nuclear waste repositories, underground storage res-
As noted in Eqs. (11.75) to (11.77) and Figs. 11.131 ervoirs, and the like. It can be important to recog-
and 11.132, the development of plastic increments is nize the significance of temperature when evaluating
governed by the current stress state. This is in contrast strength and model parameters. In general, increase in
to elastic deformation, which is related directly to temperature will result in thermal expansion of soil
stress increments. For example, for an isotropic elastic grains as well as pore fluid. The particle contact prop-
model, erties will also be modified. A change in temperature,
therefore, causes either a change in void ratio or a
change in effective stress (or a combination of both)
dev dp G in a saturated clay, as described in Section 10.12. In
⫽3 (11.78)
dse
dq K this section some effects of temperature on shear re-
sistance of soils are considered.
A change in temperature can cause a strength in-
where G is the shear modulus, K is the bulk modulus crease or a strength decrease depending on the circum-
and dev and dse are the elastic volumetric and devia- stances (e.g., temperature variation during initial
toric strains, respectively. consolidation or during shearing in drained or un-
The physical mechanisms of elastic deformation and drained conditions), as illustrated by Fig. 11.133.
plastic deformation are fundamentally different, that is, The higher the consolidation temperature, the
stress increment dependent versus stress dependent. greater the shear strength at any given test temperature
Because of this, the same stress increment may give because of the greater decrease in void ratio at the
very different strain increments. Careful selection of higher consolidation temperatures.28 In Fig. 11.133, Tc
elastic and/or plastic models is therefore necessary in represents the temperature at consolidation and Ts the
ground deformation analysis. temperature of shear for consolidated undrained direct
shear tests on highly plastic alluvial clay. For a given
consolidation temperature Tc, the undrained strength
decreases in a regular manner with the increasing test
Stress Ratio q/p temperature. From tests such as these, it has been es-
Case (a)
tablished that for given initial conditions the undrained
2.0 strength of normally consolidated saturated clay may
Case (b)
decrease by about 10 percent for a temperature in-
Case (c)
1.5 crease from 0 to 40C. For overconsolidated clays, the
in Fig.11.129 undrained shear strength is less influenced by temper-
1.0 ature (Marques et al., 2004). The relative insensitivity
Compression
of overconsolidated clay to temperature may be due to
the compensating effects of increase stiffness and soft-
0.5 ening of soil structure by volume expansion as de-
scribed in Section 10.12.
Similar to the strain rate effect, the preconsolidation
-4 -3 -2 -1 0 1 2 3 4
? pressure, and hence the size of the yield envelope, de-
Strain Increment
ratio -dεvp/dγ p
creases with increase in temperature, as illustrated in
-0.5
Fig. 10.46 and Fig. 11.134 for natural clay specimens
?
tested between 10 and 50. Hence, the weakening of
Extension
-1.0
Figure 11.132 Stress dilatancy relations of sands with dif- 28

For all tests, Ts Tc to prevent further consolidation under a higher
ferent initial anisotropic stress conditions (Yasufuku et al., temperature, which would result in the strength being about the same
1991). as if it had been consolidated under the higher temperature initially.
TEMPERATURE EFFECTS 461
Figure 11.133 Effect of consolidation and test temperatures on the strength of alluvial clay
in direct shear (Noble and Demirel, 1969).
Figure 11.134 Influence of temperature on yield surface of a St-Roch-de-l’Achigan clay,

Quebec (Marques et al., 2004).
soil structure by increase in temperature is apparent. sion of soil volume because thermal expansion of wa-
On the other hand, the critical state friction angle is ter is much larger than that of soil particles. This
found to be independent of temperature (Hueckel and results in generation of positive excess pore pressure
Baldi, 1990; Graham et al., 2001; Marques et al., and, as a consequence, undrained stiffness and shear
2004). strength decrease as shown in Fig. 11.16.
Drainage conditions during heating prior to shear are If drainage is allowed, the expanding water is free
important, as illustrated in Fig. 11.133. If drainage is to drain and hence the volume change of the soil is
prevented, the expansion of water controls the expan- governed by the expansion of soil particles and the
change in particle contact conditions. Normally con- a dense state (below critical state) can only be achieved
solidated clays often result in decrease in void ratio, by unloading, and, therefore, the preconsolidation pres-
and hence the initial stiffness generally increases with sure can be used to characterize the peak strength and
temperature. However, it has been reported that the de- deformation. For sands, on the other hand, the differ-
crease in void ratio in normally consolidated clays can- ence in strength and deformation behavior of normally
not be solely accounted for the increase in stiffness consolidated dense sand and overconsolidated sand is
(Tsuchida et al., 1991; Kuntiwattanakul et al., 1995). noted even when they are at the same void ratio and
This observation is similar to the aging effect discussed confining pressure. This is because of possible differ-
in Chapter 12. Hence, it can be considered that tem- ent soil fabrics. The critical friction angle of cohesion-
perature is one of the driving forces in time-dependent less soils contains contributions from particle crushing,
deformation of soils, and the rate process theory de- particle rearrangement by rolling, as well as from in-
scribed in the next chapter conveniently explains much terparticle sliding. The critical state concept can be
of the observed temperature–time–effective stress be- used to characterize the density effect on peak strength
havior of soils. for normally consolidated sand. Rearrangement and
rolling are unimportant when the clay content is high
enough to prevent granular particle interference. Ide-
11.22 CONCLUDING COMMENTS ally, the critical state strength or friction angle should
be used for design of simple geotechnical structures.
Limit equilibrium and plasticity analyses, as done, for Otherwise, a careful selection of safety factor is needed
example, in studies of slope stability, lateral pressure, when the peak strength or peak friction angle is used.
and bearing capacity, depend on accurate representa- However, whether it is possible to find the true critical
tion of soil strength. So also does soil resistance state from conventional triaxial and torsional shear
against failure due to earthquakes or other cyclic load- tests is questionable, especially for sands.
ings. The stresses and deformations under subfailure Because of the great diversity of soil types and the
loading conditions depend on stress–strain properties. range of environmental conditions to which they may
The factors responsible for and influencing strength be subjected, evaluations of deformation and strength,
have been identified and analyzed. their characterization for analyses, and prediction of
The strength of most uncemented soils is provided future behavior will continue as major components of
by interparticle sliding, dilatancy, particle rearrange- any project. In the majority of geotechnical engineer-
ments, particle crushing, and true cohesion. Frictional ing projects and problems, correct site characterization
resistance is developed by adhesion between contact- and property evaluation are the two most critical ele-
ing asperities on opposing particle surfaces. Values of ments. If they are not done reasonably and reliably,
true friction angle () range from less than 4 for then there cannot be understanding or confidence from
sodium montmorillonite to more than 30 for feldspar subsequent soil mechanics analyses, no matter how so-
and calcite. In the absence of cementation, true cohe- phisticated they may be or how powerful the computer
sion in soils is small. Results from discrete particle that provides the numerical solutions.
simulations indicate that the deviatoric load applied to
a particle assembly is transferred exclusively by the
normal contact forces in the strong force networks. The
QUESTIONS AND PROBLEMS
interparticle friction therefore acts as a kinematic con-
straint of the strong force network and not as the direct 1. Based on the descriptions given in Section 11.3
source of macroscopic resistance to shear. and 11.6, summarize microscopic interpretation of
The residual friction angle depends on gradation, overconsolidation, compaction, dilation, peak fric-
mineralogical composition, and effective stress. The tion angle, and critical state friction angle.
value of residual friction angle for clay may decrease
by several degrees for increases in effective stress on 2. A clay has liquid and plastic limits of 80 and 25,
the shear surface from 0 to 400 kPa (0 to 60 psi). The respectively. For the following conditions, find
shear displacements in one direction required to de- possible plastic failure mechanisms at different
velop residual strength may be several tens of milli- confining pressures using Eq. (11.30) and Fig.
meters. These factors should be taken into account 11.46. Discuss any practical implications.
when analyzing stability problems. a. The clay is consolidated to a water content of
Loose sands behave like normally consolidated 65 percent.
clays. The behavior of dense sand appears to be similar b. The clay is heavy compacted to a water content
to that of overconsolidated clays. However, for clays, of 25 percent.
3. A quartz sand has minimum and maximum void d. The clay at state (c) is sheared in undrained
ratios of 0.35 and 0.75, respectively. The critical conditions to the critical state. Also, sketch a
state friction angle is 35. possible stress–strain relationship.
a. Using Eqs. (11.31) and (11.32), plot the critical e. Repeat parts (c) and (d) for other OCR condi-
state line on the p –q plane and on the e–log tions. Comment on the results.
p plane.
6. The virgin compression curve of a clay was found
b. Find the undrained shear strengths at critical to be e ⫽ 1.3 ⫺ 0.6 log v from one-dimensional
state when the void ratios are 0.4 and 0.7. Does consolidation tests. The swelling index Cs was 0.1.
the initial effective stress state matter to the The clay was preconsolidated to v ⫽ 100 kPa
computed values? How about the values of ex- prior to shearing.
cess pore pressure generated during undrained a. Using the Hvorslev parameters of hc ⫽ 0.1 and
tests? e ⫽ 15, plot the failure envelope on the –
c. Draw the effective stress path of a drained tri- plane.
axial compression test on the p –q plane. The b. Plot shear strength f / v as a function of OCR
initial effective isotropic confining pressure is and compare the results to the data shown in
100 kPa. Find the drained strength and void ra- Fig. 11.65.
tio at critical state.
d. Sketch possible stress–axial strain and axial 7. Why does a sample with shear bands give different
strain–void ratio curves of the drained triaxial strengths depending on sample size?
compression test considered in part (c). Con- 8. Find a case study that describes the importance of
sider two different initial void ratios: (i) e ⫽ knowing the residual friction angle of clay. Ex-
0.4 and (ii) e ⫽ 0.7. Comment on the results. plain (a) the geologic and hydrogeologic condi-
e. Repeat the calculations of parts (c) and (d) tions, (b) the possible peak, critical, and residual
when the initial confining pressure is 1 MPa. friction angles, and (c) microscopic interpretation
Comment on the results. of decrease in friction angle at residual state.
4. Using the critical state of the sand defined in 9. Consider two saturated samples of the same soil
Question 3, plot void ratio versus peak friction an- having exactly the same water content, density,
gle at three different confining pressures: (i) 5 kPa, temperature, and structure are initially at equilib-
(ii) 500 kPa, and (iii) 5 MPa. To develop the plot, rium under the same effective stress states. Com-
try (i) Eq. (11.37) or (ii) Fig. 11.56. Comment on pare and explain differences in strength, if any,
the results by discussing the relative importance of that you would expect if
confining pressure and void ratio on friction angle a. One is loaded in triaxial compression and the
of soils. other in plane strain.
5. A clay was isotropically normally consolidated b. One is tested in triaxial compression and the
and the isotropic compression line was found to other is tested in plane stress.
be e ⫽ 1.5 ⫺ 0.35 ln p. The clay was then un- c. One is tested as is and the other is tested after
loaded isotropically and the slope of unloading heating with (i) no drainage allowed and (ii)
line on a e–ln p diagram was found to be ! ⫽ full drainage is allowed.
0.05. A series of undrained triaxial compression d. One is tested in triaxial compression and the
tests were performed on the clay, and the critical other is tested in triaxial extension.
state was found to be q ⫽ 0.8p and ecs ⫽ 1.3 ⫺
10. An embankment is to be constructed on a soft clay,
0.35 ln p. Plot the stress and state paths on the
and a potential failure surface is shown in the fig-
p –q plane and the e–ln p plane for the following
ure below. The clay possesses anisotropic fabric.
conditions:
Considering the intermediate stress effect and an-
a. The clay is isotropically consolidated to 400 isotropy effects described in Section 11.12, con-
kPa along the isotropic compression line. sider possible stress paths from the stress before
b. The clay at state (a) is sheared in undrained the construction and discuss what strength values
conditions to the critical state. Also, sketch a should be used in design for the following loca-
possible stress–strain relationship. tions in the clay: (i) location A, which is located
c. The clay at state (a) is unloaded isotropically underneath the embankment, (ii) location B, which
to 200 kPa (OCR ⫽ 2). is at some depth near the toe of the embankment,
and (iii) location C, which is located some dis- at a depth of 20 m. Consider both fracturing in (i)
tance away from the embankment. undrained conditions assuming that the injected
fluid has not permeated into the ground and (ii)
drained conditions assuming the injection is in a
steady state seepage state.
14. Convert some of the stiffness degradation curves
plotted in Figs. 11.10 and 11.119 to shear stress
versus logarithm of strain. Identify the shear
stresses required to reach the boundaries of differ-
ent zones described in Section 11.17. Discuss
which zones are important for what type of geo-
11. Find a paper that describes the effects of soil fabric technical activities.
on liquefaction resistance of sands. Give the mi- 15. Give physical microscopic explanations of differ-
croscopic interpretation of why a sample with a ent stiffness degradation curves presented in Fig.
certain soil fabric generates more excess pore pres- 11.120. Why can the multisurface concept pre-
sures than others. sented in Section 11.17 be used to model this com-
12. Provide physical explanations of how and why the plex behavior?
following factors can affect the cyclic resistance 16. Discuss the differences between elastic and plastic
ratio (CRR) of sands: deformations of soils as microscopic behavior and
a. Confining pressure macroscopic behavior.
b. Initial K0 stress condition 17. The data showing volume reduction with increas-
c. Static shear stress along the sloping ground ing temperature at a given pressure were presented
d. Shear modes (triaxial compression and exten- in Fig. 10.44 (Campanella and Mitchell, 1968). If
sion, simple shear, etc.) we consider the normal compression curve at
e. Sample preparation and soil fabric 76.5F to be the reference state, the compression
f. Silt fines and clay fines curves at the other temperatures can be interpreted
to have exhibited temperature-induced creep be-
13. Water is injected into overconsolidated clay with havior and hence reached the quasioverconsoli-
an OCR of approximately 3. Using the correlations dated state. Can the data presented in Fig. 11.133
and data presented throughout the book, estimate be explained in such a way using the Hvoslev
the injection pressure required to fracture the clay strength concept for overconsolidated clays?
CHAPTER 12
Time Effects on Strength and

Deformation
12.1 INTRODUCTION Time-dependent deformations and stress relaxation

are important in geotechnical problems wherein long-
Virtually every soil ‘‘lives’’ in that all of its properties term behavior is of interest. These include long-term
undergo changes with time–some insignificant, but settlement of structures on compressible ground, de-
others very important. Time-dependent chemical, formations of earth structures, movements of natural
geomicrobiological, and mechanical processes may and excavated slopes, squeezing of soft ground around
result in compositional and structural changes that tunnels, and time- and stress-dependent changes in soil
lead to softening, stiffening, strength loss, strength properties. The time-dependent deformation response
gain, or altered conductivity properties. The need to of a soil may assume a variety of forms owing to the
predict what the properties and behavior will be complex interplays among soil structure, stress history,
months to hundreds or thousands of years from now drainage conditions, and changes in temperature, pres-
based on what we know today is a major challenge in sure, and biochemical environment with time. Time-
geoengineering. Some time-dependent changes and dependent deformations and stress relaxations usually
their effects as they relate to soil formation, composi- follow logical and often predictable patterns, at least
tion, weathering, postdepositional changes in sedi- for simple stress and deformation states such as uni-
ments, the evolution of soil structure, and the like are axial and triaxial compression, and they are described
considered in earlier chapters of this book. Emphasis in this chapter. Incorporation of the observed behav-
in this chapter is on how time under stress changes the ior into simple constitutive models for analytical de-
structural, deformation, and strength properties of scription of time-dependent deformations and stress
soils, what can be learned from knowledge of these changes is also considered.
changes, and their quantification for predictive pur- Time-dependent deformation and stress phenomena
poses. in soils are important not only because of the imme-
When soil is subjected to a constant load, it deforms diate direct application of the results to analyses of
over time, and this is usually called creep. The inverse practical problems, but also because the results can be
phenomenon, usually termed stress relaxation, is a used to obtain fundamental information about soil
drop in stress over time after a soil is subjected to a structure, interparticle bonding, and the mechanisms
particular constant strain level. Creep and relaxation controlling the strength and deformation behavior.
are two consequences of the same phenomenon, that Both microscale and macroscale phenomena are dis-
is, time-dependent changes in structure. The rate and cussed because understanding of microscale processes
magnitude of these time-dependent deformations are can provide a rational basis for prediction of macro-
determined by these changes. scale responses.
465
466 12 TIME EFFECTS ON STRENGTH AND DEFORMATION
12.2 GENERAL CHARACTERISTICS of the soil. The most active clays usually exhibit
the greatest time-dependent responses (i.e.,
1. As noted in the previous section soils exhibit smectite ⬎ illite ⬎ kaolinite). This is because
both creep1 and stress relaxation (Fig. 12.1). the smaller the particle size, the greater is the
Creep is the development of time-dependent specific surface, and the greater the water ad-
shear and/or volumetric strains that proceed sorption. Thus, under a given consolidation
at a rate controlled by the viscouslike resistance stress or deviatoric stress, the more active and
of soil structure. Stress relaxation is a time- plastic clays (smectites) will be at higher water
dependent decrease in stress at constant defor- content and lower density than the inactive clays
mation. The relationship between creep strain (kaolinites). Normally consolidated soils exhibit
and the logarithm of time may be linear, con- larger magnitude of creep than overconsolidated
cave upward, or concave downward as shown soils. However, the basic form of behavior is
by the examples in Fig. 12.2. essentially the same for all soils, that is, undis-
2. The magnitude of these effects increases with turbed and remolded clay, wet clay, dry clay,
increasing plasticity, activity, and water content normally and overconsolidated soil, and wet and
dry sand.
3. An increase in deviatoric stress level results in
an increased rate of creep as shown in Fig. 12.1.
Some soils may fail under a sustained creep
stress significantly less (as little as 50 percent)
than the peak stress measured in a shear test,
wherein a sample is loaded to failure in a few
minutes or hours. This is termed creep rupture,
and an early illustration of its importance was
the development of slope failures in the Cucar-
acha clay shale, which began some years after
the excavation of the Panama Canal (Casa-
grande and Wilson, 1951).
4. The creep response shown by the upper curve
in Fig. 12.1 is often divided into three stages.
Following application of a stress, there is first a
period of transient creep during which the strain
rate decreases with time, followed by creep at
nearly a constant rate for some period. For ma-
terials susceptible to creep rupture, the creep
rate then accelerates leading to failure. These
three stages are termed primary, secondary, and
tertiary creep.
5. An example of strain rates as a function of stress
for undrained creep of remolded illite is shown
in Fig. 12.3. At low deviator stress, creep rates
are very small and of little practical importance.
Figure 12.1 Creep and stress relaxation: (a) Creep under The curve shapes for deviator stresses up to
constant stress and (b) stress relaxation under constant strain. about 1.0 kg/cm2 are compatible with the pre-
dictions of rate process theory, discussed in Sec-
tion 12.4. At deviator stress approaching the
1
The term creep is used herein to refer to time-dependent shear strength of the material, the strain rates become
strains and / or volumetric strains that develop at a rate controlled by
the viscous resistance of the soil structure. Secondary compression very large and signal the onset of failure.
refers to the special case of volumetric strain that follows primary 6. A characteristic relationship between strain rate
consolidation. The rate of secondary compression is controlled by and time exists for most soils, as shown, for
the viscous resistance of the soil structure, whereas, the rate of pri-
mary consolidation is controlled by hydrodynamic lag, that is, how example, in Fig. 12.4 for drained triaxial com-
fast water can escape from the soil. pression creep of London clay (Bishop, 1966)
GENERAL CHARACTERISTICS 467
Figure 12.2 Sustained stress creep curves illustrating different forms of strain vs. logarithm
of time behavior.
and Fig. 12.5 for undrained triaxial compression logarithm of time. The slope of this relationship
creep of soft Osaka clay (Murayama and Shi- is essentially independent of the creep stress;
bata, 1958). At any stress level (shown as a per- increases in stress level shift the line vertically
centage of the strength before creep in Fig. 12.4 upward. The slope of the log strain rate versus
and in kg/cm2 in Fig. 12.5), the logarithm of the log time line for drained creep is approximately
strain rate decreases linearly with increase in the ⫺1. Undrained creep often results in a slope be-
Figure 12.3 Variation of creep strain rate with deviator stress for undrained creep of re-
molded illite.
tween ⫺0.8 and ⫺1 for this relationship. The ditions are also susceptible to creep rupture due
onset of failure under higher stresses is signaled to softening associated with the increase in wa-
by a reversal in slope, as shown by the topmost ter content by dilation and swelling.
curve in Fig. 12.5. 8. Although stress relaxation has been less studied
7. Pore pressure may increase, decrease, or remain than creep, it appears that equally regular pat-
constant during creep, depending on the volume terns of deformation behavior are observed, for
change tendencies of the soil structure and example, Larcerda and Houston (1973).
whether or not drainage occurs during the de- 9. Deformation under sustained stress ordinarily
formation process. In general, saturated soft produces an increase in stiffness under the ac-
sensitive clays under undrained conditions are tion of subsequent stress increase, as shown
most susceptible to strength loss during creep schematically in Fig. 12.6. This reflects the
due to reduction in effective stress caused by time-dependent structural readjustment or ‘‘ag-
increase in pore water pressure with time. Heav- ing’’ that follows changes in stress state. It is
ily overconsolidated clays under drained con- analogous to the quasi-preconsolidation effect
GENERAL CHARACTERISTICS 469
Figure 12.4 Strain rate vs. time relationships during drained creep of London clay (data
from Bishop, 1966).
due to secondary compression discussed in Sec-

tion 8.11; however, it may develop under un-
drained as well as drained conditions.
p
p(ref)

⫽ 冉冊˙ 1
˙ 1(ref)
Ce / (Cc⫺Cr)
⫽ 冉冊
˙ 1
˙ 1(ref)

(12.1)
10. As shown in Fig. 12.7, the locations of both the

virgin compression line and the value of the pre- where Cc is the virgin compression index, Cr is
consolidation pressure, p, determined in the the recompression index and p(ref) is the pre-
laboratory are influenced by the rate of loading consolidation pressure at a reference strain rate
during one-dimensional consolidation (Graham ˙ 1(ref). In this equation, the rate effect increases
et al., 1983a; Leroueil et al., 1985). Thus, esti- with the value of ⫽ Ce /(Cc ⫺ Cr). The var-
mations of the overconsolidation ratio of clay iation of preconsolidation pressure with strain
deposits in the field are dependent on the load- rate is shown in Fig. 12.8 (Soga and Mitchell,
ing rates and paths used in laboratory tests for 1996). The data define straight lines, and the
determination of the preconsolidation pressure. slope of the lines gives the parameter . In gen-
If it is assumed that the relationship between eral, the value of ranges between 0.011 and
strain and logarithm of time during compression 0.094. Leroueil and Marques (1996) report val-
is linear over the time ranges of interest and that ues between 0.029 and 0.059 for inorganic
the secondary compression index Ce is constant clays.
regardless of load, the rate-dependent precon- 11. The undrained strength of saturated clay in-
solidation pressure p at ˙ 1 can be related to the creases with increase in rate of strain, as shown
axial strain rate as follows (Silvestri et al, 1986; in Figs. 12.9 and 12.10. The magnitude of the
Soga and Mitchell, 1996; Leroueil and Marques, effect is about 10 percent for each order of mag-
1996): nitude increase in the strain rate. The strain rate
Figure 12.5 Strain rate vs. time relationships during undrained creep of Osaka alluvial clay
(Murayama and Shibata, 1958).
effect is considerably smaller for sands. In a

manner similar to Eq. (12.1), a rate parameter
can be defined as the slope of a log–log plot
of deviator stress at failure qƒ at a particular
strain rate ˙ 1 relative to qƒ(ref), the strength at a
reference strain rate ˙ 1(ref), versus strain rate.
This gives the following equation:
qƒ
qƒ(ref)
⫽ 冉冊
˙ 1
˙ 1(ref)

(12.2)
The value of ranges between 0.018 and 0.087,

similar to the rate parameter values used to
define the rate effect on consolidation pressure
in Eq. (12.1). Higher values of are associated
with more metastable soil structures (Soga and
Mitchell, 1996). Rate dependency decreases
with increasing sample disturbance, which is
consistent with this finding.
12.3 TIME-DEPENDENT
DEFORMATION–STRUCTURE INTERACTION
Figure 12.6 Effect of sustained loading on (a) stress–strain In reality, completely smooth curves of the type shown
and strength behavior and (b) one-dimensional compression in the preceding figures for strain and strain rate as a
behavior. function of time may not exist at all. Rather, as dis-
TIME-DEPENDENT DEFORMATION–STRUCTURE INTERACTION 471
Figure 12.7 Rate dependency on one-dimensional compression characteristics of Batiscan

clay: (a) compression curves and (b) preconsolidation pressure (Leroueil et al., 1985).
Figure 12.8 Strain rate dependence on preconsolidation pressure determined from one-
dimensional constant strain rate tests (Soga and Mitchell, 1996).
Figure 12.9 Effect of strain rate on undrained strength (Kulhawy and Mayne 1990). Re-
printed with permission from EPRI.
cussed by Ter-Stepanian (1992), a ‘‘jump-like structure surmounting energy barriers, (2) mutual displacement
reorganization’’ may occur, reflecting a stochastic char- of particles as a result of bond failures, but without
acter for the deformation, as shown in Fig. 12.11 for rearrangement, (3) the structural level of soil defor-
creep of an undisturbed diatomaceous, lacustrine, ov- mation involving mutual rearrangements of particles,
erconsolidated clay. Ter-Stepanian (1992) suggests that and (4) deformation at the aggregate level. Behavior at
there are four levels of deformation: (1) the molecular levels 3 and 4 is discussed below; that at levels 1 and
level, which consists of displacement of flow units by 2 is treated in more detail in Section 12.4.
Figure 12.10 Strain rate dependence on undrained shear strength determined using constant
strain rate CU tests (Soga and Mitchell, 1996).
the somewhat irregular sequence of data points shown

in Fig. 12.11.
Microscopically, creep is likely to occur in the weak
clusters discussed in Section 11.6 because the contacts
in them are at limiting frictional equilibrium. Any
small perturbation in applied load at the contacts or
time-dependent loss in material strength can lead to
sliding, breakage or yield at asperities. As particles
slip, propped strong-force network columns are dis-
turbed, and these buckle via particle rolling as dis-
cussed in Section 11.6.
To examine the effects of particle rearrangement,
Figure 12.11 Nonuniformity of creep in an undisturbed, di- Kuhn (1987) developed a discrete element model that
atomaceous, lacustrine, overconsolidated clay (from Ter- considers sliding at interparticle contacts to be visco-
Stepanian, 1992). frictional. The rate at which sliding of two particles
relative to each other occurs depends on the ratio of
shear to normal force at their contact. The relationship
between rate and force is formulated in terms of rate
Time-Dependent Process of Particle Rearrangement process theory (see Section 12.4), and the mechanistic
Creep can lead to rearrangement of particles into more representations of the contact normal and shear forces
stable configurations. Forces at interparticle contacts are shown in Fig. 12.12. The time-dependent compo-
have both normal and tangential components, even if nent in the tangential forces model is given as a ‘‘sinh-
the macroscopic applied stress is isotropic. If, during dashpot’’.2 The average magnitudes of both normal and
the creep process, there is an increase in the proportion
of applied deviator stress that is carried by interparticle 2
Kuhn (1987) used the following equation for rate of sliding at a
normal forces relative to interparticle tangential forces, contact:
then the creep rate will decrease. Hence, the rate at
which deformation level 3 occurs need not be uniform Ẋ ⫽
2kT
h 冉冊冉
exp ⫺
F
RT
sinh
ƒt
2kTn1 ƒn 冊
owing to the particulate nature of soils. Instead it will
where n1 is the number of bonds per unit of normal force, ƒt is the
reflect a series of structural readjustments as particles tangential force and ƒn is the normal force. The others are parameters
move up, over, and around each other, thus leading to related to rate process theory as described in Section 12.4.
Figure 12.12 Normal and tangential interparticle force mod-

els according to Kuhn (1987).
tangential forces at individual contacts can change dur-

ing deformation even though the applied boundary
stresses are constant. Small changes in the tangential
and normal force ratio at a contact can have a very
large influence on the sliding rate at that contact. These
changes, when summed over all contacts in the shear
zone, result in a decrease or increase in the overall
creep rate.
A numerical analysis of an irregular packing of cir-
cular disks using the sinh-dashpot representation gives
creep behavior comparable to that of many soils as
shown in Fig. 12.13 (Kuhn and Mitchell, 1993). The
creep rate slows if the average ratio of tangential to
normal force decreases, whereas it accelerates and may
ultimately lead to failure if the ratio increases. In some
cases, the structural changes that are responsible for
the decreasing strain rate and increased stiffness may
Figure 12.13 Creep curves developed by numerical analysis
cause the overall soil structure to become more meta- of an irregular packing of circular disks (from Kuhn and
stable. Then, after the strain reaches some limiting Mitchell, 1993).
value, the process of contact force transfer from de-
creasing tangential to increasing normal force reverses.
This marks the onset of creep rupture as the structure
begins to collapse. A similar result was obtained by Particle Breakage During Creep
Rothenburg (1992) who performed discrete particle Particle breakage can contribute to time-dependent de-
simulations in which smooth elliptical particles were formation of sands (Leung et al., 1996; Takei et al.,
cemented with a model exhibiting viscous character- 2001; McDowell, 2003). Leung et al. (1996) performed
istics in both normal and tangential directions. one-dimensional compression tests on sands, and Fig.
100 夹
䊉
Additional insight into the structural changes ac-
companying the aging of clays is provided by the re-
sults of studies by Anderson and Stokoe (1978) and
80
Nakagawa et al. (1995). Figure 12.16 shows changes
Dry sand in shear modulus with time under a constant confining
RD = 75% pressure for kaolinite clay during consolidation (An-
Pressure = 15.4 MPa derson and Stokoe, 1978). Two distinct phases of shear
Percentage Passing (%)
60
modulus–time response are evident. During primary
consolidation, values of the shear modulus increase
rapidly at the beginning and begin to level off as the
40
excess pore pressure dissipates. After the end of pri-
mary consolidation, the modulus increases linearly
夹 with the logarithm of time during secondary compres-
20
After
sion.
5 days After The expected change in shear modulus due to void
Before
夹
290 s Test
䊉
ratio change during secondary compression can be es-
0夹䊉䊉
timated using the following empirical formula for
0 100 200 300 400
Sieve Size (μm) shear modulus as a function of void ratio and confining
pressure (Hardin and Black, 1968):
Figure 12.14 Changes in particle size distribution of sand
before loading and after two different load durations (from (2.97 ⫺ e)2 0.5
Leung, et al., 1996). G⫽A p (12.3)
1⫹e
where A is a unit dependant material constant, e is the

12.14 shows the particle size distribution curves for void ratio, and p is the mean effective stress. The
samples before loading and after two different load du- dashed line in Fig. 12.16 shows the calculated in-
rations. The amount of particle breakage increased creases in the shear modulus due to void ratio decrease
with load duration. Microscopic observations revealed using Eq. (12.3). It is evident that the change in void
that angular protrusions of the grains were ground off, ratio alone does not provide an explanation for the sec-
producing fines. The fines fill the voids between larger ondary time-dependent increase in shear modulus. This
particles and crushed particles progressively rear- aging effect has been recorded for a variety of mate-
ranged themselves with time. rials, ranging from clean sands to natural clays (Afifi
and Richart, 1973; Kokusho, 1987; Mesri et al., 1990,
Aging—Time-Dependent Strengthening of Soil and many others). Further discussion of aging phenom-
Structure ena is given in Section 12.11.
The structural changes that occur during creep that is
continuing at a decreasing rate cause an increase in Time-Dependent Changes in Soil Fabric
soil stiffness when the soil is subjected to further stress Changes in soil fabric with time under stress influence
increase as shown in Fig. 12.6. Leonards and Alt- the stability of soil structure. Changes in sand fabric
schaeffl (1964) showed that this increase in preconso- with time after load application in one-dimensional
lidation pressure cannot be accounted for in terms of compression were measured by Bowman and Soga
the void ratio decrease during the sustained compres- (2003). Resin was used to fix sand particles after var-
sion period. Time-dependent changes of these types are ious loading times. Pluviation of the sand produced a
a consequence of ‘‘aging’’ effects, which alter the horizontal preferred particle orientation of soil grains,
structural state of the soil. The fabric obtained by creep and increased vertical loading resulted in a greater ori-
may be different from that caused by increase in stress, entation of particle long axes parallel to the horizontal,
even though both samples arrive at the same void ratio. which is in agreement with the findings of Oda (1972a,
Leroueil et al. (1996) report a similar result for an ar- b, c), Mitchell et al. (1976), and Jang and Frost (1998).
tificially sedimented clay from Quebec, as shown in Over time, however, the loading of sand caused parti-
Fig. 12.15a. They also measured the shear wave ve- cle long axes to rotate toward the vertical direction
locities after different times during the tests using (i.e., more isotropic fabric).
bender elements and computed the small strain elastic Experimental evidence (Bowman and Soga, 2003)
shear modulus. Figure 12.15b shows the change in showed that large voids became larger, whereas small
shear modulus with void ratio. voids became smaller, and particles group or cluster
A A
2.6 Normal
Consolidation Line Stiffness Change
During the Primary
Consolidation
Between B and C
2.4 B B
Quasi-
preconsolidation
Void Ratio e
Pressure
2.2 Creep for C C

120 days
D D
Increase in Stiffness
2.0 Destructuring E during Creep (C-D) E
State
F F
1.8
4 6 8 10 20 0.5 1 2 5
Vertical Effective Stress σv (kPa) Small-strain Stiffness G0 (MPa)
(a ) (b )
Figure 12.15 (a) Compression curve and (b) variation of the maximum shear modulus G0
with void ratio for artificially sedimented Jonquiere clay (from Leroueil et al., 1996).
together with time. Based on these particulate level a strengthening of physicochemical bonds between
findings, it appears that the movements of particles particles. To illustrate this, Nakagawa et al. (1995) ex-
lead to interlocking zones of greater local density. The amined the physicochemical interactions between clays
interlocked state may be regarded as the final state of and pore fluid using a special consolidometer in which
any one particle under a particular applied load, due to the sample resistivity and pore fluid conductivity could
kinematic restraint. The result, with time, is a stiffer, be measured. Shear wave velocities were obtained us-
more efficient, load-bearing structure, with areas of rel- ing bender elements to determine changes in the stiff-
atively large voids and neighboring areas of tightly ness characteristics of the clay during consolidation.
packed particles. The increase in stiffness is achieved Kaolinite clay mixed with saltwater was used for the
by shear connections obtained by the clustering. Then, experiment, and changes in shear wave velocities and
when load is applied, the increased stiffness and electrical properties were monitored during the tests.
strength of the granular structure provides greater re- The test results showed that the pore fluid compo-
sistance to the load and the observed aging effect is sition and ion mobility changed with time. At each
seen. The numerical analysis in Kuhn and Mitchell load increment, as the effective stress increased with
(1993) led to a similar hypothesis for how a more pore pressure dissipation, the shear wave velocities,
‘‘braced’’ structure develops with time. For load appli- and therefore the shear modulus, generally increased
cation in a direction different to that during the aging with time as shown in Fig. 12.17. It may be seen, how-
period, however, the strengthening effect of aging may ever, that in some cases, the shear wave velocities at
be less, as the load-bearing particle column direction the beginning of primary consolidation decreased
differs from the load direction. slightly from the velocities obtained immediately be-
fore application of the incremental load, probably as a
Time-Dependent Changes in Physicochemical result of soil structure breakdown. During the subse-
Interaction of Clay and Pore Fluid quent secondary compression stage, the shear wave ve-
A portion of the shear modulus increase during sec- locity again increased. As was the case for the results
ondary compression of clays is believed to result from in Fig.12.16, the increases in shear wave velocity dur-
Shear Modulus of less than γ = 10-3% (MPa)
50 Ball Kaolinite
40
IG = ΔG per log time
= 6.2 MPa
30 Possible Change in G
by Void Ratio Decrease
Only Estimated Using
20 Eq. (12.3)
10
Primary Consolidation Secondary Compression
0
10 1 10 2 10 3 10 4
Time (min)
Sample Height Change (mm)
0.5
1.0
1.5
Initial Consolidation Pressure = 70 kPa
Initial Void Ratio e 0 = 1.1
2.0
10 0 10 1 10 2 10 3 10 4
Time (min)
Figure 12.16 Modulus and height changes as a function of

time under constant confining pressure for kaolinite: (a) shear
modulus and (b) height change (from Anderson and Stokoe,
1978).
Figure 12.17 Changes in shear wave velocity during pri-
mary consolidation and secondary compression of kaolinite.
Consolidation pressures: (a) 11.8 kPa and (b) 190 kPa (from
Nakagawa et al., 1995).
ing secondary compression are greater than can be ac-
counted for by increase in density.
The electrical conductivity of the sample measured
by filter electrodes increased during the early stages of
consolidation, but then decreased continuously there- cipitation of salts from the pore water and/or other
after as shown in Fig. 12.18. The electrical conductiv- processes.
ity is dominated by flow through the electrolyte Primary consolidation can be considered a result of
solution in the pores. During the initial compression, a drainage of pore water fluid from the macropores,
breakdown of structure releases ions into the pore wa- whereas secondary compression is related to the de-
ter, increasing the electrical conductivity. With time, layed deformation of micropores in the clay aggregates
the conductivity decreased, suggesting that the released (Berry and Poskitt, 1972; Matsuo and Kamon, 1977;
ions are accumulating near particle surfaces. Some of Sills, 1995). The mobility of water in the micropores
these released ions are expelled from the specimen as is restricted due to small pore size and physicochem-
consolidation progressed as shown in Fig. 12.18b. A ical interactions close to the clay particle surfaces. Ak-
slow equilibrium under a new state of effective stress agi (1994) did compression tests on specially prepared
is hypothesized to develop that involves both small clay containing primarily Ca in the micropores and Na
particle rearrangements, associated with decrease in in the macropores. Concentrations of the two ions in
void ratio during secondary compression, and devel- the expelled water at different times after the start of
opment of increased contact strength as a result of preconsolidation were consistent with this hypothesis.
sen and Wu (1964), Mitchell (1964), Mitchell et al.

(1968, 1969), Murayama and Shibata (1958, 1961,
1964), Noble and Demirel (1969), Wu et al. (1966),
Keedwell (1984), Feda (1989, 1992), and Kuhn and
Mitchell (1993).
Concept of Activation
The basis of rate process theory is that atoms, mole-
cules, and/or particles participating in a time-
dependent flow or deformation process, termed flow
units, are constrained from movement relative to each
other by energy barriers separating adjacent equilib-
rium positions, as shown schematically by Fig. 12.19.
The displacement of flow units to new positions re-
quires the acquisition of an activation energy F of
sufficient magnitude to surmount the barrier. The po-
tential energy of a flow unit may be the same following
the activation process, or higher or lower than it was
initially. These conditions are shown by analogy with
the rotation of three blocks in Fig. 12.20. In each case,
an energy barrier must be crossed. The assumption of
a steady-state condition is implicit in most applications
to soils concerning the at-rest barrier height between
successive equilibrium positions.
The magnitude of the activation energy depends on
the material and the type of process. For example, val-
ues of F for viscous flow of water, chemical reac-
tions, and solid-state diffusion of atoms in silicates are
about 12 to 17, 40 to 400, and 100 to 150 kJ/mol of
flow units, respectively.
Figure 12.18 Changes in electrical conductivity of the pore
water during primary consolidation and secondary compres- Activation Frequency
sion of kaolinite. Consolidation pressures: (a) 95 kPa and (b) The energy to enable a flow unit to cross a barrier may
190 kPa (from Nakagawa et al., 1995).
be provided by thermal energy and by various applied
potentials. For a material at rest, the potential energy–
displacement relationship is represented by curve A in
12.4 SOIL DEFORMATION AS A RATE Fig. 12.21. From statistical mechanics it is known that
PROCESS
Deformation and shear failure of soil involve time-
dependent rearrangement of matter. As such, these
phenomena are amenable for study as rate processes
through application of the theory of absolute reaction
rates (Glasstone et al., 1941). This theory provides
both insights into the fundamental nature of soil
strength and functional forms for the influences of sev-
eral factors on soil behavior.
Detailed development of the theory, which is based
on statistical mechanics, may be found in Eyring
(1936), Glasstone et al. (1941), and elsewhere in the
physical chemistry literature. Adaptations to the study
of soil behavior include those by Abdel-Hady and Her-
rin (1966), Andersland and Douglas (1970), Christen- Figure 12.19 Energy barriers and activation energy.
SOIL DEFORMATION AS A RATE PROCESS 479
Figure 12.20 Examples of activated processes: (a) steady-state, (b) increased stability, and
(c) decreased stability.
Figure 12.21 Effect of a shear force on energy barriers.

the average thermal energy per flow unit is kT, where The net frequency of activation in the direction of
k is Boltzmann’s constant (1.38 ⫻ 10⫺23 J K⫺1) and T the force then becomes
冉冊冉冊
is the absolute temperature (K). Even in a material at
rest, thermal vibrations occur at a frequency given by kT F ƒ
kT/h, where h is Planck’s constant (6.624 ⫻ 10⫺34 J ( →) ⫺ ( ←) ⫽ 2 exp ⫺ sinh
h RT 2kT
s⫺1). The actual thermal energies are divided among
the flow units according to a Boltzmann distribution. (12.8)
It may be shown that the probability of a given unit
becoming activated, or the proportion of flow units that
are activated during any one oscillation is given by Strain Rate Equation
At any instant, some of the activated flow units may
p( F) ⫽ exp ⫺
F
NkT 冉冊 (12.4)
successfully cross the barrier; others may fall back into
their original positions. For each unit that is successful
in crossing the barrier, there will be a displacement .
The component of in a given direction times the
where N is Avogadro’s number (6.02 ⫻ 1023), and Nk
number of successful jumps per unit time gives the rate
is equal to R, the universal gas constant (8.3144 J K⫺1
of movement per unit time. If this rate of movement
mol⫺1). The frequency of activation then is
is expressed on a per unit length basis, then the strain
冉冊
rate ˙ is obtained.
kT ⫺ F Let X ⫽ F (proportion of successful barrier cross-
⫽ exp (12.5)
h NkT ings and ) such that
In the absence of directional potentials, energy bar- ˙ ⫽ X[( →) ⫺ ( ←)] (12.9)

riers are crossed with equal frequency in all directions,
and no consequences of thermal activations are ob- Then from Eq. (12.8)
served unless the temperature is sufficiently high that
softening, melting, or evaporation occurs. If, however,
a directed potential, such as a shear stress, is applied,
then the barrier heights become distorted as shown by
˙ ⫽ 2X
kT
h 冉冊冉冊
exp ⫺
F
RT
sinh
ƒ
2kT
(12.10)
curve B in Fig. 12.21. If ƒ represents the force acting The parameter X may be both time and structure de-
on a flow unit, then the barrier height is reduced by an pendent.
amount (ƒ /2) in the direction of the force and in- If (ƒ /2kT) ⬍ 1, then sinh(ƒ /2kT) ⬇ (ƒ /2kT), and
creased by a like amount in the opposite direction, the rate is directly proportional to ƒ. This is the case
where represents the distance between successive for ordinary Newtonian fluid flow and diffusion where
equilibrium positions.3 Minimums in the energy curve
are displaced a distance from their original positions, 1
representing an elastic distortion of the material struc- ˙ ⫽ (12.11)

ture.
The reduced barrier height in the direction of force where ˙ is the shear strain rate, is dynamic viscosity,
ƒ increases the activation frequency in that direction to and is shear stress.
冉冊
For most solid deformation problems, however,
kT F/N ⫺ ƒ /2 (ƒ /2kT) ⬎ 1 (Mitchell et al., 1968), so
→⫽ exp ⫺ (12.6)
h kT
and in the opposite direction, the increased barrier

sinh 冉冊
ƒ
2kT
1
⬇ exp
2
ƒ
2kT 冉冊 (12.12)
height decreases the activation frequency to
and
←⫽
kT
h
exp ⫺
kT 冉
F/N ⫹ ƒ /2
冊 (12.7)
˙ ⫽ X
kT
冉冊冉冊
exp ⫺
F
exp
ƒN
(12.13)
h RT 2RT
Equation (12.13) applies except for very small stress

3
Work (ƒ / 2) done by the force ƒ as the flow unit drops from the
peak of the energy barrier to a new equilibrium position is assumed intensities, where the exponential approximation of the
to be given up as heat. hyperbolic sine is not justified. Equations (12.10) and
BONDING, EFFECTIVE STRESSES, AND STRENGTH 481
(12.13) or comparable forms have been used to obtain 12.5 BONDING, EFFECTIVE STRESSES, AND
dashpot coefficients for rheological models, to obtain STRENGTH
functional forms for the influences of different factors
on strength and deformation rate, and to study defor- Using rate process theory, the results of time-
mation rates in soils. For example, Kuhn and Mitchell dependent stress–deformation measurements in soils
(1993) used this form as part of the particle contact can be used to obtain fundamental information about
law in discrete element modeling as described in the soil structure, interparticle bonding, and the mecha-
previous section. Puzrin and Houlsby (2003) used it as nisms controlling strength and deformation behavior.
an internal function of a thermomechanical-based
model and derived a rate-dependent constitutive model Deformation Parameters from Creep Test Data
for soils. If the shear stress on a material is and it is distributed
uniformly among S flow units per unit area, then
Soil Deformation as a Rate Process
Although there does not yet appear to be a rigorous
ƒ⫽ (12.17)
proof of the correctness of the detailed statistical me- S
chanics formulation of rate process theory, even for
simple chemical reactions, the real behavior of many Displacement of a flow unit requires that interatomic
systems has been substantially in accord with it. Dif- or intermolecular forces be overcome so that it can be
ferent parts of Eq. (12.13) have been tested separately moved. Let it be assumed that the number of flow units
(Mitchell et al., 1968). It was found that the tempera- and the number of interparticle bonds are equal.
ture dependence of creep rate and the stress depend- If D represents the deviator stress under triaxial
ence of the experimental activation energy [Eq. stress conditions, the value of ƒ on the plane of max-
(12.14)] were in accord with predictions. These results imum shear stress is
do not prove the correctness of the theory; they do,
however, support the concept that soil deformation is D
ƒ⫽ (12.18)
a thermally activated process. 2S
Arrhenius Equation so Eq. (12.13) becomes
冉冊冉冊
Equation (12.13) may be written
kT F D
˙ ⫽ X exp ⫺
冉冊
exp (12.19)
kT E h RT 4SkT
˙ ⫽ X exp ⫺ (12.14)
h RT
This equation describes creep as a steady-state
process. Soils do not creep at constant rate, however,
where because of continued structural changes during de-
formation as described in Section 12.3, except for
ƒN the special case of large deformations after mobiliza-
E ⫽ F ⫺ (12.15)
2 tion of full strength. Thus, care must be taken in ap-
plication of Eq. (12.19) to ensure that comparisons of
is termed the experimental activation energy. For all creep rates and evaluations of the influences of differ-
conditions constant except T, and assuming that ent factors are made under conditions of equal struc-
X(kT/h) ⬇ constant ⫽ A, ture. The time dependency of creep rate and the
冉冊
possible time dependencies of the parameters in Eq.
E (12.19) are considered in Section 12.8.
˙ ⫽ A exp ⫺ (12.16)
RT Determination of Activation Energy From Eq.
(12.14)
Equation (12.16) is the same as the well-known em-
pirical equation proposed by Arrhenius around 1900 ln(˙ /T) E
⫽⫺ (12.20)
to describe the temperature dependence of chemical (1/T) R
reaction rates. It has been found suitable also for
characterization of the temperature dependence of provided strain rates are considered under conditions
processes such as creep, stress relaxation, secondary of unchanged soil structure. Thus, the value of E can
compression, thixotropic strength gain, diffusion, and be determined from the slope of a plot of ln(˙ /T) ver-
fluid flow. sus (1/T). Procedures for evaluation of strain rates for
soils at different temperatures but at the same structure known, /S is calculated as a measure of the number
are given by Mitchell et al. (1968, 1969). of interparticle bonds.4
Determination of Number of Bonds For stresses
large enough to justify approximating the hyperbolic Activation Energies for Soil Creep
sine function by a simple exponential in the creep rate Activation energies for the creep of several soils and
equation and small enough to avoid tertiary creep, the other materials are given in Table 12.1. The free energy
logarithm of strain rate varies directly with the deviator of activation for creep of soils is in the range of about
stress. For this case, Eq. (12.19) can be written 80 to 180 kJ/mol. Four features of the values for soils
in Table 12.1 are significant:
˙ ⫽ K(t) exp(D) (12.21)
1. The activation energies are relatively large, much
higher than for viscous flow of water.
where
2. Variations in water content (including complete
冉冊
drying), adsorbed cation type, consolidation pres-
kT F sure, void ratio, and pore fluid have no significant
K(t) ⫽ X exp ⫺ (12.22)
h RT effect on the required activation energy.
3. The values for sand and clay are about the same.
⫽ (12.23) 4. Clays in suspension with insufficient solids to
4SkT
form a continuous structure deform with an ac-
tivation energy equal to that of water.
Parameter is a constant for a given value of ef-
fective consolidation pressure and is given by the slope
of the relationship between log strain rate and stress. 4
A procedure for evaluation of from the results of a test at a
It is evaluated using strain rates at the same time after succession of stress levels on a single sample is given by Mitchell
the start of creep tests at several stress intensities. With et al. (1969).
Table 12.1 Activation Energies for Creep of Several Materials
Activation Energy
Material (kJ/ mol)a Reference
1. Remolded illite, saturated, water contents of 105–165 Mitchell, et al. (1969)
30 to 43%
2. Dried illite: samples air-dried from 155 Mitchell, et al. (1969)
saturation, then evacuated
3. San Francisco Bay mud, undisturbed 105–135 Mitchell, et al. (1969)
4. Dry Sacramento River sand ⬃105 Mitchell, et al. (1969)
5. Water 16–21 Glasstone, et al. (1941)
6. Plastics 30–60 Ree and Eyring (1958)
7. Montmorillonite–water paste, dilute 84–109 Ripple and Day (1966)
8. Soil asphalt 113 Abdel-Hady and Herrin (1966)
9. Lake clay, undisturbed and remolded 96–113 Christensen and Wu (1964)
10. Osaka clay, overconsolidated 120–134 Murayama and Shibata (1961)
11. Concrete 226 Polivka and Best (1960)
12. Metals 210⬃ Finnie and Heller (1959)
13. Frozen soils 393 Andersland and Akili (1967)
14. Sault Ste. Marie clay, suspensions, Same as Andersland and Douglas (1970)
discontinuous structures water
15. Sault Ste. Marie clay, Li⫹, Na⫹, K⫹ forms, 117 Andersland and Douglas (1970)
in H2O and CCl4, consolidated
a
The first four values are experimental activation energies, E. Whether the remainder are values of F or E is not
always clear in the references cited.
Number of Interparticle Bonds 50 kPa, and then remolded at constant water content.
Evaluation of S requires knowledge of , the separation The effective consolidation pressure dropped to 25 kPa
distance between successive equilibrium positions in as a result of the remolding. The drop in effective
the interparticle contact structure. A value of 0.28 nm stress was accompanied by a corresponding decrease
(2.8 Å) has been assumed because it is the same as the in the number of interparticle bonds. Tests on remolded
distance separating atomic valleys in the surface of a illite gave comparable results. A continuous inverse re-
silicate mineral. It is hypothesized that deformation in- lationship between the number of bonds and water
volves the displacement of oxygen atoms along con- content over a range of water contents from more than
tacting particle surfaces, as well as periodic rupture of 40 percent to air-dried and vacuum-desiccated clay is
bonds at interparticle contacts. Figure 12.22 shows this shown in Fig. 12.24. The dried material had a water
interpretation for schematically. If the above as- content of 1 percent on the usual oven-dried basis. The
sumption for is incorrect, calculated values of S will very large number of bonds developed by drying is
still be in the same correct relative proportion as long responsible for the high dry strength of clay.
as remains constant during deformation. Overconsolidated Clay Samples of undisturbed
Normally Consolidated Clay Results of creep tests San Francisco Bay mud were prepared to overcon-
at different stress intensities for different consolidation solidation ratios of 1, 2, 4, and 8 following the stress
pressures enable computation of S as a function of con- paths shown in the upper part of Fig. 12.25. The sam-
solidation pressure. Values obtained for undisturbed ple represented by the triangular data point was re-
San Francisco Bay mud are shown in Fig. 12.23. The molded after consolidation and unloading to point d,
open point is for remolded bay mud. An undisturbed where it had a water content of 52.3 percent. The un-
specimen was consolidated to 400 kPa, rebounded to drained compressive strength as a function of consol-
idation pressure is shown in the middle section of Fig.
12.25, and the number of bonds, deduced from the
creep tests, is shown in the lower part of the figure.
The effect of overconsolidation is to increase the num-
ber of interparticle bonds over the values for normally
consolidated clay. Some of the bonds formed during
consolidation are retained after removal of much of the
consolidation pressure.
Values of compressive strength and numbers of
bonds from Fig. 12.25 are replotted versus each other
in Fig. 12.26. The resulting relationship suggests that
strength depends only on the number of bonds and is
independent of whether the clay is undisturbed, re-
molded, normally consolidated, or overconsolidated.
Dry Sand Creep tests on oven-dried sand yielded
results of the same type as obtained for clay, as shown
in Fig. 12.27, suggesting that the strength-generating
and creep-controlling mechanisms may be similar for
both types of material.
Composite Strength-Bonding Relationship Values
of S and strength for many soils are combined in Fig.
12.28. The same proportionality exists for all the ma-
terials, which may seem surprising, but which in reality
should be expected, as discussed further later.
Significance of Activation Energy and Bond Number

Values
The following aspects of activation energies and num-
bers of interparticle bonds are important in the under-
Figure 12.22 Interpretation of in terms of silicate mineral standing of the deformation and strength behavior of
surface structure. uncemented soils.
Figure 12.23 Number of interparticle bonds as a function of consolidation pressure for

normally consolidated San Francisco Bay mud.
1. The values of activation energy for deformation

of soils are high in comparison with other ma-
terials and indicate breaking of strong bonds.
2. Similar creep behavior for wet and dry clay and
for wet and dry sand indicates that deformation
is not controlled by viscous flow of water.
3. Comparable values of activation energy for wet
and dry soil indicate that water is not respon-
sible for bonding.
4. Comparable values of activation energy for clay
and sand support the concept that interparticle
bond strengths are the same for both types of
material. This is supported also by the unique-
ness of the strength versus number of bonds re-
lationship for all soils.
5. The activation energy and presumably, there-
fore, the bonding type are independent of con-
solidation pressure, void ratio, and water
content.
6. The number of bonds is directly proportional to
effective consolidation pressure for normally
consolidated clays.
7. Overconsolidation leads to more bonds than in
normally consolidated clay at the same effective
consolidation pressure.
8. Strength depends only on the number of bonds.
9. Remolding at constant water content causes a
decrease in the effective consolidation pressure,
which means also a decrease in the number of
bonds.
Figure 12.24 Number of bonds as a function of water con- 10. There are about 100 times as many bonds in dry
tent for illite. clay as in wet clay.
Figure 12.25 Consolidation pressure, strength, and bond numbers for San Francisco Bay
mud.
Although it may be possible to explain these results up to four hydrogen bonds with its neighbors. If the
in more than one way, the following interpretation ac- single-bond interpretation is also correct for soils, then
counts well for them. The energy F activates a mole consistency in Eq. (12.10) requires that shear force ƒ
of flow units. The movement of each flow unit may pertain to the force per bond. On this basis, parameter
involve rupture of single bonds or the simultaneous S indicates the number of single bonds per unit area.
rupture of several bonds. Shear of dilute montmoril- In the event activation of a flow unit requires simul-
lonite–water pastes involves breaking single bonds taneous rupture of n bonds, then S represents 1/nth of
(Ripple and Day, 1966). For viscous flow of water, the the total bonds in the system.
activation energy is approximately that for a single hy- That the activation energy for deformation of soil is
drogen bond rupture per flow unit displacement, even well into the chemical reaction range (40 to 400 kJ/
though each water molecule may form simultaneously mol) does not prove that bonding is of the primary
Figure 12.26 Strength as a function of number of bonds for

San Francisco Bay mud.
Figure 12.28 Composite relationship between shear strength
and number of interparticle bonds (from Matsui and Ito,
1977). Reprinted with permission from The Japanese Society
valence type because simultaneous rupture of several of SMFE.
weaker bonds could yield values of the magnitude ob-
served. On the other hand, the facts that (1) the acti-
vation energy is much greater than for flow of water,
(2) it is the same for wet and dry soils, and (3) it is
essentially the same for different adsorbed cations and
Figure 12.27 Strength as a function of number of bonds for dry Antioch River sand.
pore fluids (Andersland and Douglas, 1970) suggest ever, for equal numbers of contacts per particle, the
that bonding is through solid interparticle contacts. number per unit volume should vary inversely with the
Physical evidence for the existence of solid-to-solid cube of particle size. Thus, the number of clay particles
contact between clay particles has been obtained in the of 1-m particle size should be some nine orders of
form of photomicrographs of particle surfaces that magnitude greater than for a sand of 1-mm average
were scratched during shear (Matsui et al., 1977, 1980) particle size. Each contact between sand particles
and acoustic emissions (Koerner et al., 1977). would involve many bonds; in clay, the much greater
Activation energy values of 125 to 190 kJ/mol are number of contacts would mean fewer bonds per par-
of the same order as those for solid-state diffusion of ticle.
oxygen in silicate minerals. This supports the concept The contact area required to develop bonds in the
that creep movements of individual particles could re- numbers indicted in Figs. 12.23 to 12.27 is very small.
sult from slow diffusion of oxygen ions in and around For example, for a compressive strength of 3 kg/cm2
interparticle contacts. The important minerals in both (⬇ 300 kPa) there are 8 ⫻ 1010 bonds/cm2 of shear
sand and clay are silicates, and their surface layers surface. Oxygen atoms on the surface of a silicate min-
consist of oxygen atoms held together by silicon at- eral have a diameter of 0.28 nm. Allowing an area 0.30
oms. Water in some form is adsorbed onto these sur- nm on a side for each oxygen gives 0.09 nm2, or 9 ⫻
faces. The water structure consists of oxygens held 10⫺16 cm2, per bonded oxygen for a total area of 9 ⫻
together by hydrogen. It is not too different from that 10⫺16 ⫻ 8 ⫻ 1010 ⫽ 7.2 ⫻ 10⫺5 cm2 /cm2 of soil cross
of the silicate layer in minerals. Thus, a distinct bound- section.
ary between particle surface and water may not be dis-
cernable. Under these conditions, a more or less Hypothesis for Bonding, Effective Stress, and
continuous solid structure containing water molecules Strength
that propagates through interparticle contacts can be Normal effective stresses and shear stresses can be
visualized. transmitted only at interparticle contacts in most soils.5
An individual flow unit could be an atom, a group The predominant effects of the long-range physico-
of atoms or molecules, or a particle. The preceding chemical forces of interaction are to control the initial
arguments are based on the interpretation that individ- soil fabric and to alter the forces transmitted at contact
ual atoms are the flow units. This is consistent with points from what they would be due to applied stresses
both the relative and actual values of S that have been alone.
determined for different soils. Furthermore, by using a Interparticle contacts are effectively solid, and it is
formulation of the rate process equation that enabled likely that both adsorbed water and cations in the con-
calculation of the flow unit volume from creep test tact zone participate in the structure. An interparticle
data, Andersland and Douglas (1970) obtained a value contact may contain many bonds that may be strong,
of about 1.7 Å3, which is of the same order as that of approaching the primary valence type. The number of
individual atoms. On the other hand, Keedwell (1984) bonds at any contact depends on the compressive force
defined flow units between quartz sand particles as transmitted at the contact, and the Terzaghi–Bowden
consisting of six O2⫺ ions and six Si4⫹ ions and be- and Tabor adhesion theory of friction presented in Sec-
tween two montmorillonite clay particles as consisting tion 11.4, can account for strength. The macroscopic
of four H2O molecules. strength is directly proportional to the number of
If particles were the flow units, not only would it be bonds.
difficult to visualize their thermal vibrations, but then For normally consolidated soils the number of bonds
S would relate to the number of interparticle contacts. is directly proportional to the effective stress. As a re-
It is then difficult to conceive how simply drying a clay sult of particle rearrangements and contacts formed
could give a 100-fold increase in the number of inter- during virgin compression, an overconsolidated soil at
particle contacts, as would have to be the case accord- a given effective stress has a greater number of bonds
ing to Fig. 12.27. A more plausible interpretation is and higher strength than a normally consolidated soil.
that drying, while causing some increase in the number This effect is more pronounced in clays than in sands
of interparticle contacts during shrinkage, causes because the larger and bulky sand grains tend to re-
mainly an increase in the number of bonds per contact
because of increased effective stress.
5
At any value of effective stress, the value of S is Pure sodium montmorillonite may be an exception since a part of
the normal stress can be carried by physicochemical forces of inter-
about the same for both sand and clay. The number of action. The true effective stress may be less than the apparent effec-
interparticle contacts should be vastly different; how- tive stress by R ⫺ A as discussed in Chapter 7.
cover their original shapes when unloaded, thus rup- From the relationships in Section 12.5, the following
turing most of the bonds in excess of those needed to relationship between bonds per unit area and effective
resist the lower stress. The strength of the interparticle stress is suggested.
contacts can vary over a wide range, depending on the
number of bonds per contact. S ⫽ a ⫹ bƒ (12.28)
The unique relationship between strength and num-
ber of bonds for all soils, as indicted by Fig. 12.28, where a and b are constants and ƒ is the effective
reflects the fact that the minerals comprising most soils normal stress on the shear plane. Thus, Eq. (12.27)
are silicates, and they all have similar surface struc- becomes
tures.
In the absence of chemical cementation, interparticle
bonds may form in response to interparticle contact
forces generated by either applied stresses, physico-
⫽
2a F 2akT ˙
N
⫹

ln ⫹
B N
⫹
冉
2b F 2bkT ˙
ln
B
ƒ 冊
chemical forces of interaction, or both. Any bonds ex- (12.29)
isting in the absence of applied effective stress, that is,
when ⫽ 0, are responsible for true cohesion. There Equation (12.29) is of the same form as the Cou-
should be no difference between friction and cohesion lomb equation for strength:
in terms of the shearing process. Complete failure in
shear involves simultaneous rupture or slipping of all ⫽ c ⫹ ƒ tan (12.30)
bonds along the shear plane.
By analogy,
2a F 2akT ˙
12.6 SHEARING RESISTANCE AS A RATE c⫽ ⫹ ln (12.31)
N B
PROCESS
2b F 2bkT ˙
Deformation at large strain can approach a steady-state tan ⫽ ⫹ ln (12.32)
N B
condition where there is little further structural change
with time (such as at critical state). In this case, Eq.
These equations state that both cohesion and friction
(12.19) can be used to describe the shearing resistance
depend on the number of bonds times the bond
as a function of strain rate and temperature. If the max-
strength, as reflected by the activation energy, and that
imum shear stress is substituted for the deviator stress
the values of c and should depend on the rate of
D, then
deformation and the temperature.
1 ⫺ 3 Strain Rate Effects

⫽ (12.24)
2 All other factors being equal, the shearing resistance
should increase linearly with the logarithm of the rate
and of strain. This is shown to be the case in Fig. 12.9,
which contains data for 26 clays. Additional data for
˙ ⫽ X
kT
h 冉冊冉冊
exp ⫺
F
RT
exp

2SkT
(12.25)
several clays are shown in Fig. 12.29, where shearing
resistance as a function of the speed of vane rotation
in a vane shear test is plotted. Analysis of the relation-
ship between shearing stress and angular rate of vane
Taking logarithms of both sides of Eq. (12.25) gives rotation " shows that / log " decreases with an
冉冊
increase in water content. This follows directly from
kT F Eq. (12.29) because
ln ˙ ⫽ ln X ⫺ ⫹ (12.26)
h RT 2SkT
d 2akT 2bkT 2kT
⫽ ⫹ ƒ ⫽ (a ⫹ bƒ)
By assuming X(kT/h) is a constant equal to B d ln(˙ /B)
(Mitchell, 1964), Eq. (12.26) can be rearranged to give (12.33)
⫽
2S
N
F ⫹
2SkT

ln
˙
B 冉冊 (12.27) that is, d /d ln (˙ /B) is proportional to the number of
bonds, which decreases with increasing water content.
CREEP AND STRESS RELAXATION 489
Figure 12.29 Effect of rate of shear on shearing resistance of remolded clays as determined
by the laboratory vane apparatus (prepared from the data of Karlsson, 1963).
This interpretation of the data in Figs. 12.9 and 12.29 12.7 CREEP AND STRESS RELAXATION
assumes that the effective stress was unaffected by
changes in the strain rate, which may not necessarily Although the designation of a part of the strain versus
be true in all cases. time relationship as steady state or secondary creep
may be convenient for some analysis purposes, a true
steady state can exist only for conditions of constant
Effect of Temperature structure and stress. Such a set of conditions is likely
Assumptions of reasonable values for parameters show only for a fully destructured soil, and a fully destruc-
that the term (˙ /B) is less than one (Mitchell, 1964). tured state is likely to persist only during deformation
Thus the quantity ln(˙ /B) in Eq. (12.29) is negative, at a constant rate, that is, at failure. This state is often
and an increase in temperature should give a decrease called ‘‘steady state,’’ in which the soil is deforming
in strength, all other factors being constant. That this continuously at constant volume under constant shear
is the case is demonstrated by Fig. 12.30, which shows and confining stresses (Castro, 1975; Castro and
deviator stress as a function of temperature for samples Poulos, 1977).
of San Francisco Bay mud compared under conditions Otherwise, bond making and bond breaking occur
of equal mean effective stress and structure. Other ex- at different rates as a result of different internal time-
amples of the influence of temperature on strength are and strain-dependent phenomena, which might include
shown in Figs. 11.6 and 11.133. thixotropic hardening, viscous flows of water and ad-
Figure 12.30 Influence of temperature on the shearing re-

sistance of San Francisco Bay mud. Comparison is for sam-
ples at equal mean effective stress and at the same structure.
sorbed films, chemical, and biological transformations,

and the like. Furthermore, distortions of the soil struc-
ture and relative movements between particles cause
changes in the ratio of tangential to normal forces at
interparticle contacts that may be responsible for large
changes in creep rate. Because of these time depend-
encies some of the parameters in Eq. (12.19) may be
time dependent. For example, Feda (1989) accounted
for the time dependency of creep rate by taking
Figure 12.31 Variation of creep strain rate with deviator
changes in the number of structural bonds into account. stress for drained creep of London clay (data from Bishop,
Therefore, application of Eq. (12.19) for the determi- 1966).
nation of the bonding and effective stress relationships
discussed in Section 12.5 required comparison of creep
rates under conditions of comparable time and struc-
ture.
The influence of creep stress magnitude on the creep and Fig. 12.32 for undrained tests on undisturbed San
rate at a given time after the application of the stress Francisco Bay mud. Only values for the midrange of
to identical samples of a soil was shown in Fig. 12.3. stresses are shown in Figs. 12.31 and 12.32.
At low stresses the creep rates are small and of little
practical importance. The curve shape is compatible
with the hyperbolic sine function predicted by rate Effect of Composition
process theory, as given by Eq. (12.10). In the mid- In general, the higher the clay content and the more
range of stresses, a nearly linear relationship is found active the clay, the more important are stress relaxation
between logarithm of strain rate and stress, also as pre- and creep, as illustrated by Figs. 4.22 and 4.23, where
dicted by Eq. (12.10) for the case where the argument creep rates, approximated by steady-state values, are
of the hyperbolic sine is greater than 1. At stresses related to clay type, clay content, and plasticity. Time-
approaching the strength of the material, the strain rate dependent deformations are more important at high
becomes very large and signals the onset of failure. water contents than at low. Deviatoric creep and sec-
Other examples of the relationships between logarithm ondary compression are greater in normally consoli-
of strain rate and creep stress corresponding to differ- dated than overconsolidated soils.
ent times after the application of the creep stress are Although the magnitude of creep strains and strain
given in Fig. 12.31 for drained tests on London clay rates may be small in sand or dry soil, the form of the
creep tests on sands. The conflicting evidence may be
due to the presence or absence of impurities that may
lubricate or cement the soil in the presence of water
(Human, 1992; Bowman, 2003).
Volume Change and Pore Pressures

Due to the known coupling effects between shearing
and volumetric plastic deformations in soils, an in-
crease in either mean pressure or deviator stress can
generate both types of deformations. Creep behavior is
no exception. Time-dependent shear deformations are
usually referred to as deviatoric creep or shear creep.
Time-dependent deformations under constant stress re-
ferred to as volumetric creep. Secondary compression
is a special case of volumetric creep.
Deviatoric creep is often accompanied by volumetric
creep. The ratio of volumetric to deviatoric creep fol-
Drained Triaxial Test E

1 2820 min
Confining Pressure σ3 = 414 kPa
0.8 1450 min
Volumetric Strain (%)
Deviator Stress from 344 to 377 kPa
0.6
D
0.4 90 min
0.2 20 min
C
2 min
Figure 12.32 Variation of creep strain rate with deviator 0
stress for undrained creep of normally consolidated San Fran- A B 0.5 1.0 1.5 2.0 2.5 3.0 3.5
cisco Bay mud. Deviator strain (%)
(a)
behavior conforms with the patterns described and il- 1.0

lustrated above. This is to be expected, as the basic
creep mechanism is the same in all inorganic soils.6 0.8
Stress ratio q/p
Water may ‘‘lubricate’’ the particles and possibly in-

crease the creep rate even though the basic mechanism 0.6
of creep is the same for dry and wet materials (Losert
et al., 2000). Takei et al. (2001) showed that the de- 0.4
velopment of creep strains due to time-dependent
breakage of talc specimens increased more for satu- 0.2
rated specimens than dry ones. However, a negligible
effect of water on creep rate was reported by Ahn-Dan 0
0 1 2 3 4
et al. (2001) who performed creep tests on unsaturated
Strain increment ratio dεv/dεs during creep
and saturated crushed gravel and by Leung et al.
(1996) who performed one-dimensional compression (b)
Figure 12.33 Dilatancy relationship obtained from drained

6
Volumetric creep and secondary compression of organic soils, peat, creep tests on kaolinite: (a) development of volumetric and
and municipal waste fills can develop also as a result of decompo- deviatoric strains with time and (b) effect of stress ratio on
sition of organic matter. strain increment ratio d / ds (from Walker, 1969).
lows a plastic dilatancy rule. Walker (1969) inves- history, with some samples contracting or dilating
tigated the time-dependent change of these two com- (Lade and Liu, 1998; Ahn-Dan et al., 2001). Some
ponents from incremental drained triaxial creep tests dense sand samples contract initially but then dilate
on normally consolidated kaolinite. The increase in with time (Bowman and Soga, 2003). Further discus-
shear strains with increase in volumetric strains at dif- sion of the creep behavior of sands in relation to me-
ferent times is shown in Fig. 12.33a. At the beginning chanical aging phenomena is given in Section 12.11.
of the triaxial test, the deviator stress was instantane- The fundamental process of creep strain develop-
ously increased from 344 to 377 kPa and kept constant. ment is therefore similar to that of time-independent
After an immediate increase in shear strains at constant plastic strains, and the same framework of soil plastic-
volume (AB in Fig. 12.33a), section BD corresponds ity can possibly be used. It can be argued whether
to primary consolidation that is controlled by the dis- it is necessary to separate the deformation into
sipation of pore pressures. After point D, creep oc- time-dependent and independent components. Rate-
curred, and the ratio of volumetric to deviatoric strains independent behavior can be considered as the limiting
was independent of time. This ratio decreased with in- case of rate-dependent behavior at a very slow rate of
creasing stress ratio as shown in Fig. 12.33b. This ob- loading.
Volumetric-deviatoric creep coupling implies that
servation led to the time-dependent flow rule, which is
rapid application of a stress or a strain invariably re-
similar to the dilatancy rule described in Section 11.20.
sults in rapid change of pore water pressures in a sat-
Sand deforms with time in a similar manner. Under urated soil under undrained conditions. For a constant
progressive deviatoric creep, the volumetric creep re- total minor principal stress, the magnitude of the pore
sponse is highly dependent on density, the stress level, pressure change depends on the volume change ten-
and the stress path before creep. The rate of both vol- dencies of the soil when subjected to shear distortions.
umetric and deviatoric creep increases with confining These tendencies are, in turn, controlled by the void
pressure, particularly after particle crushing becomes ratio, structure, and effective stress, and can be quan-
important at high stresses (Yamamuro and Lade, 1993). tified in terms of the pore pressure parameter A as dis-
For dense sand under high deviator stress, dilative cussed in Chapters 8 and 10. An example showing pore
creep is observed (Murayama et al., 1984; Mejia et al., pressure increase with time for consolidated undrained
1988). The volumetric response of dense sand and creep tests on illite at several stress intensities is shown
gravel with time is a highly complex function of stress in Fig. 12.34. Figure 12.35 shows a slow decrease in
Figure 12.34 Pore pressure development with time during undrained creep of illite.
Figure 12.35 Normalized pore pressure vs. time relationships during creep of kaolinite.
pore pressure during the sustained loading of kaolinite. Although the general form of the stress–strain–time
Similar behavior was demonstrated in the measured and stress–strain rate–time relationships are similar to
stress paths of undrained creep test on San Francisco those shown above for triaxial loading conditions, the
Bay mud (Arulanandan et al., 1971). As shown in Fig. actual values may differ considerably.
12.36, the effective stress states shifted toward the fail- For example, undisturbed Haney clay, a gray silty
ure line. At higher stress levels, the specimens even- clay from British Columbia, with a sensitivity in the
tually underwent creep rupture. However, soil strength range of 6 to 10, was tested both in triaxial compres-
in terms of effective stresses does not change unless sion and plane strain (Campanella and Vaid, 1974).
there are chemical, biological, or mineralogical Samples were normally consolidated both isotropically
changes during the creep period. This is illustrated by and under K0 conditions to the same vertical effective
the stress paths shown schematically in Fig. 12.37, stress. Samples consolidated isotropically were tested
where the pre- and postcreep strengths fall on the same in triaxial compression. Coefficient K0 consolidation
failure envelope. was used for both K0 triaxial and plane strain tests.
The results shown in Fig. 12.40 indicate that the pre-
Effects of Temperature creep stress history had a significant effect on the
An increase in temperature decreases effective stress, deformations. The plane strain and K0 consolidated
increases pore pressure, and weakens the soil structure. triaxial samples gave about the same creep behavior
Creep rates ordinarily increase and the relaxation under the same deviatoric stress, which suggests that
stresses corresponding to specific values of strain de- preventing strain in one horizontal direction and/or the
crease at higher temperature. These effects are illus- intermediate principal stress were not factors of major
trated by the data shown in Figs. 12.38 and 12.39. importance for this soil under the test conditions used.
Effects of Test Type, Stress System, and Stress Path Interaction Between Consolidation and Creep
Most measurements of time-dependent deformation Experimental evidence suggests that creep occurs dur-
and stress relaxation in soils have been done on sam- ing primary consolidation (Leroueil et al., 1985; Imai
ples consolidated isotropically and tested in triaxial and Tang, 1992). Following the initial large change
compression or by measurement of secondary com- following load application, the pore pressure may ei-
pression in oedometer tests. However, most soils in ther dissipate, with accompanying volume change if
nature have been subjected to an anisotropic stress his- drainage is allowed, or change slowly during creep or
tory, and deformation conditions conform more to stress relaxation, if drainage is prevented. The devel-
plane strain than triaxial compression in many cases. opment of complete effective stress and void ratio
Some investigations of these factors have been made. equilibrium may take a long time. One illustration of
Normal Undrained Triaxial

50 Compression Test: Effective
Stress Path
Possible Critical Total Stress Path of
State Line 3 Triaxial Compression Test
40
1
30
Effective Stress State
After 1,000 min Creep
20
Effective Stress Path
10 of Undrained Creep
0
0 10 20 30 40 50 60 70 80
(a)
Normal Undrained Triaxial

Compression Test: Effective
Stress Path
400
Total Stress Path of
Possible Critical
Triaxial Compression Test
State Line
320 3
240
Effective Stress State
160
Effective Stress Path
80 of Undrained Creep
0
0 80 160 240 320 400 480 560 640
(b)
Figure 12.36 Measured stress paths of undrained creep tests of San Francisco Bay mud.
Initial confining pressure: (a) 49 kPa and (b) 392 kPa (from Arulanandan et al., 1971).
Figure 12.37 Effects of undrained creep on the strength of normally consolidated clay.
Figure 12.38 Creep curves for Osaka clay tested at different temperatures—undrained tri-
axial compression (Murayama, 1969).
this is given by Fig. 10.5, where it is shown that the of the other tests was influenced by a pore pressure
relationship between void ratio and effective stress is that contained a contribution from the prior consoli-
dependent on the time for compression under any dation history.
given stress. Another is given by Fig. 12.41, which The magnitude and rate of pore pressure develop-
shows pore pressures during undrained creep of San ment if drainage is prevented following primary con-
Francisco Bay mud. In each sample, consolidation un- solidation depend on the time allowed for secondary
der an effective confining pressure of 100 kPa was al- compression prior to the prevention of further drain-
lowed for 1800 min prior to the cessation of drainage age. This is illustrated by the data in Fig. 12.42, which
and the start of a creep test. The consolidation period show pore pressure as a function of time for samples
was greater than that required for 100 percent primary that have undergone different amounts of secondary
consolidation. The curve marked 0 percent stress level compression.
refers to a specimen maintained undrained but not sub- In summary, creep deformation depends on the ef-
ject to a deviator stress. This curve indicates that each fective stress path followed and any changes in stress
Figure 12.39 Influence of temperature on the initial and final stresses in stress relaxation
tests on Osaka clay—undrained triaxial compression (Murayama, 1969).
Figure 12.40 Creep curves for isotropically and K0-consolidated samples of undisturbed
Haney clay tested in triaxial and plane strain compression (from Campanella and Vaid, 1974).
Reproduced with permission from the National Research Council of Canada.
RATE EFFECTS ON STRESS–STRAIN RELATIONSHIPS 497
Figure 12.41 Pore pressure development during undrained creep of San Francisco Bay mud
after consolidation at 100 kPa for 1800 min (from Holzer et al., 1973). Reproduced with
permission from the National Research Council of Canada.
Figure 12.42 Pore pressure development under undrained conditions following different
periods of secondary compression (from Holzer et al., 1973). Reproduced with permission
from the National Research Council of Canada.
with time. Furthermore, time-dependent volumetric re- is necessary to reconcile the time-dependent deforma-
sponse is governed both by the rate of volumetric creep tions observed in the field and laboratory.
and by the rate of consolidation. The latter is a com-
plex function of drainage conditions and material prop-
erties, especially the permeability and compressibility. 12.8 RATE EFFECTS ON STRESS–STRAIN
Because the effective stress path is controlled by the RELATIONSHIPS
rate of loading and drainage conditions, the separation
of consolidation and creep deformations can be diffi- An increase in strain rate during soil compression is
cult in the early stage of time-dependent deformation manifested by increased stiffness, as was noted in Sec-
as given by section BD in Fig. 12.33a. In some cases, tion 12.3. In essence, the state of the soil jumps to the
a fully coupled analysis of soil–pore fluid interaction stress–strain curve that corresponds to the new strain
with an appropriate time-dependent constitutive model rate. Commonly, this rate-dependent stress–strain
curve, noted by S̆uklje (1957), is the same as if the

soil had been loaded from the beginning at the new 0.6
strain rate. This phenomenon is often observed in 5% /h
clays. Examples are given in Fig. 12.43a for undrained R
triaxial compression tests of Belfast and Winnipeg 0.5
clays (Graham et al., 1983a) and Fig. 12.43b for one- R
dimensional compression tests of Batiscan clay (Ler-
oueil et al., 1985). 0.5% /h
0.4
0.05% /h
Yield and Strength Envelopes of Clays
(σ1 – σ3)/2σ1c
Belfast Clay 4 m
The undrained shear strength and apparent precon- σ1c = σv0
solidation pressure of soils decrease with decreasing 0.3
R
strain rate or increasing duration of testing. Preconsol-
idation pressures obtained from one-dimensional con-
solidation tests and undrained shear strengths obtained 16%/h
from triaxial tests are just two points on a soil’s yield 0.2
1%/h
envelope in stress space. For a given metastable soil 0.25%/h
structure, the degree of rate dependency of preconsol-
idation pressure is similar to that of undrained shear Winnipeg Clay 11.5 m
0.1 σ1c > σv0
strength (Soga and Mitchell, 1996). If the apparent pre-
consolidation pressure depends on the strain rate at CAU Triaxial Compression Tests
which the soil is deforming, then the same analogy can Relaxation Tests (R)
be expanded to the assumption that the size of the en- 0
0 4 8 12 16 20
tire yield envelope is also strain rate dependent (Tav-
enas and Leroueil, 1977). Figure 12.44 shows a family Axial Strain
of strength envelopes corresponding to constant strain Effective Stress σv (kPa)
rates7 obtained from drained and undrained creep tests 0 50 100 150 200 250
on stiff plastic Mascouche clay from Quebec (Leroueil 0
and Marques, 1996). .
εv2
.
εv1
The effective stress failure line of soil is uniquely
defined regardless of the magnitude of the strain rate 5 . .
εv2 εv1
applied in undrained compression. Figure 12.45a
shows the failure line of Haney clay (Vaid and Cam-
panella, 1977). The line represents the stress conditions 10 . .
Strain εv (%)
εv2 εv1
at the maximum ratio of 1 / 3. The data were obtained
by various undrained tests, and a unique failure line
can be observed. Figure 12.45b shows the undrained 15 .
εv1
stress paths and the critical state line of reconstituted
mixtures of sand and clay with plasticity indices rang- SP1 test εv2
.
ing from 10 to 30 (Nakase and Kamei, 1986). A unique 20 SP2 test .
εv3
critical state line can be observed although the rates of .
εv1 = 2.70 & 10–6 s–1
. .
εv1
shearing are different. The change in undrained shear εv2 = 1.05 & 10–7 s–1 .
.
εv3 = 1.34 & 10–5 s–1 εv1
strength with strain rate results from a difference in 25
generation of excess pore pressures. A decrease in
strain rate leads to larger excess pore pressures at fail-
ure due to creep deformation. 30
Figure 12.43 Rate-dependent stress–strain relations of

clays: (a) undrained triaxial compression tests of Belfast
and Winnipeg clay (Graham et al., 1983a) and (b) one-
7
The strain rate is defined as ˙ vs ⫽ 兹˙ 2v ⫹ ˙ s2, where ˙ v is the volu-
metric strain rate and ˙ s is the deviator strain rate (Leroueil and Mar- dimensional compression tests of Batiscan clay (Leroueil et
ques, 1996). Whether the use of this strain rate measure is appropriate al., 1985).
or not remains to be investigated.
Figure 12.44 Influence of strain rate on the yield surface of Masouche clay (from Leroueil
and Marques, 1996).
Excess Pore Pressure Generation in Normally stress relaxation tests in which the axial strain is kept
Consolidated Clays constant.
Excess pore pressure development depends primarily
on the collapse of soil structure. Accordingly, strain is Overconsolidated Clays
the primary factor controlling pore pressure generation. Rate dependency of undrained shear strength decreases
This is shown in Fig. 12.46 by the undrained stress– with increasing overconsolidation, since there is no
strain–pore pressure response of normally consolidated contraction or collapse tendency observed during creep
natural Olga clay (Lefebvre and LeBouef, 1987). The of heavily overconsolidated clays. Sheahan et al.
natural clay specimens were normally consolidated un- (1996) prepared reconstituted specimens of Boston
der consolidation pressures larger than the field over- blue clay at different overconsolidation ratios and
burden pressure and then sheared at different strain sheared them at different strain rates in undrained con-
rates. Although the deviator stress at any strain in- ditions. Figure 12.47 shows that the undrained stress
creases with increasing strain rate, the pore pressure path and the strength were much more strain rate de-
versus strain curves are about the same at all strain pendent for lightly overconsolidated clay (OCR ⫽ 1
rates. At a given deviator stress, the pore pressure gen- and 2) than for more heavily overconsolidated clay
eration was larger at slower strain rates as a result of (OCR ⫽ 4 and 8). The results also show that the
more creep under slow loading. This is consistent with strength failure envelope is independent of strain rate
the observation made in connection with undrained as discussed earlier.
creep of clays as discussed in Section 12.7. Strain- The strain rate effects on stress–strain–pore pressure
driven pore pressure generation was also suggested by response of overconsolidated structured Olga clays are
Larcerda and Houston (1973) who showed that pore shown in Fig. 12.48 (Lefebvre and LeBouef, 1987).
pressure does not change significantly during triaxial The natural samples were reconsolidated to the field
0.4
Const. Stress Creep
Const. Rate of Strain Shear
Const. Rate of Loading Shear
0.3
Aged Samples
Const. Load Creep
(σ1 – σ3)/2σ1c
Step Creep
0.2 Thixotropic Hardened
0.1
0
0 0.1 0.2 0.3 0.4 0.5 0.6 0.7 0.8
(σ1 + σ3)/2σ1c
(a)
1.0 1.0
0.8 0.8
e
e
Lin
Lin
0.6 0.6
ate
ate
St
St
e
al-
in
al-
M-15. e
-L in M-10
itic
itic
0.4 0.4 -L .
K0 ε(%/min) ε(%/min)
Cr
Cr
. K0
7&10-1: ε. 1 .
q/σvc
q/σvc
7&10-1: ε. 1
0.2 7&10 : ε2
-2 0.2 7&10-2: ε2
. .
7&10-3: ε3 7&10-3: ε3
0 0
Cr
Cr
–0.2 –0.2
itic
itic
al-
al-
St
St
ate
ate
–0.4 –0.4
Lin
Lin
e
–0.6 –0.6
0 0.2 0.4 0.6 0.8 1.0 0 0.2 0.4 0.6 0.8 1.0
p/σvc p/σvc
M15 Soil (Plasticity Index = 15) (b) M10 Soil (Plasticity Index = 10)
Figure 12.45 Strain rate independent failure line: (a) Haney clay (from Vaid and Campa-
nella, 1977) and (b) reconstituted mixtures of sand and clay (from Nakase and Kamei, 1986).
overburden pressure. The deformation is brittle, with generation becomes rate dependent. This is due to local
strain softening indicating development of localized drainage within the specimens as the deformation be-
shear failure planes. Up to the peak stress, the response comes localized. As the time to failure increased, there
follows what has been described previously, that is the is more opportunity for local drainage toward the di-
stress–strain response is rate dependent and the pore lating shear band and the measured pore pressure may
pressure generation is strain dependent but indepen- not represent the overall behavior of the specimens.
dent of rate. However, after the peak, the pore pressure The difference in softening due to swelling at the fail-
Overconsolidated Olga Clay

Normally Consolidated Olga Clay Undrained Triaxial Compression Tests
Undrained Triaxial Compression Tests 70 Initial Isotropic Confining Pressure = 17.6 kPa
120 Initial Isotropic Confining Pressure =137 kPa

60
100 50
40
80
30
Axial Strain Rate
60 0.1 %/hr
20 0.5 %/hr
Axial Strain Rate 2.5 %/hr
40 0.1 %/hr 10 12.3 %/hr
Excess Pore Pressure Δu (kPa)

0.5 %/hr
2.6 %/hr 0
1 2 3 4 5 6 7 8
20 12.3 %/hr Axial Strain (%)
20
Excess Pore Pressure Δu (kPa)
0
1 2 3 4 5 6 7 8 Axial Strain Rate
140 Axial Strain (%) 0.1 %/hr
120 10 0.5 %/hr
2.6 %/hr
100 12.3 %/hr
80 Axial Strain Rate
0.1 %/hr 0
60 1 2 3 4 5 6 7 8
0.5 %/hr Axial Strain (%)
40 2.6 %/hr
20 12.3 %/hr Figure 12.48 Stress–strain and pore pressure–strain curves
0 for overconsolidated Olga clay (from Lefebvre and LeBouef,
1 2 3 4 5 6 7 8
Axial Strain (%) 1987).
Figure 12.46 Stress–strain and pore pressure–strain curves

for normally consolidated Olga clay (from Lefebvre and
LeBouef, 1987).
ure plane results in apparent rate dependency at large
strains. Similar observations were made by Atkinson
and Richardson (1987) who examined local drainage
effects by measuring the angles of intersection of shear
bands with very different times of failure.
Effective Stress State at Peak for Initial K0 Consolidation State
Axial Strain Rate = 0.051 %/hr Effective Stress Path for Axial Rate Effects on Sands
Axial Strain Rate = 0.50 %/hr Strain Rate = 0.50 %/hr
(σa – σr)/2σvm
0.4
Axial Strain Rate = 5.0 %/hr Similar rate-dependent stress–strain behavior is ob-
Axial Strain Rate = 49 %/hr
served in sands (Lade et al., 1997), but the effects are
OCR=1
0.3 Large quite small in many cases (Tatsuoka et al., 1997; Di
OCR=8 OCR=4
OCR=2
Rate
Effect
Benedetto et al., 2002). An example of time depend-
Negligible OCR=1 ency observed for drained plane strain compression
0.2 Rate Effect
tests of Hostun sand is shown in Fig. 12.49 (Matsushita
et al., 1999). The stress–strain curves for three differ-
0.1
OCR=2
ent strain rates (1.25 ⫻ 10⫺1, 1.25 ⫻ 10⫺2, and 1.25 ⫻
OCR=4
10⫺3 %/min) are very similar, indicating very small
0.0
0.2 0.4 0.6 0.8
rate effects when the specimens are sheared at a con-
OCR=8 (σa + σr)/2σvm stant strain rate. On the other hand, the change from
one rate to another temporarily increases or decreases
-0.1
the resistance to shear. The influence of acceleration
Figure 12.47 Rate dependency stress path and strength of rather than the rate is reflected by the significant creep
overconsolidated Boston blue clay (from Sheahan et al., deformation and stress relaxation of this rate-
1996). insensitive material as shown the figure. This is differ-
Variation of Stress-strain curve by Constant Esec = Δq/εa, Eeq = (Δq)SA / (εa)SA

Strain Rate Tests at Axial Strain Rates = 0.125, 300
0.0125 and 0.00125 %/min. A Very Small Rate NSF-Clay
Effect Is Observed for Continuous Loading. Isotropically
6.0
Young's Modulus, Esec or Eeq (MPa)

CRS at Consolidated
0.00125%/min Emax = 239 MPa p0 = 300 kPa
5.5 Creep
CRS at
Stress Ratio σa /σr
CRS at
0.125%/min
0.125%/min
200
5.0
Creep Stress Relaxation
4.5 CRS at 0.00125%/min
Creep
4.0
CRS at 0.125%/min 100
3.5 Creep
Accidental Pressure Drop Followed
CRS at 0.125%/min by Relaxation Stage
3.0
0 1 2 3 4 5 6 7 8
Shear Strain γ = εa – εr (%) 0
10-3 10-2 10-1 100
Axial Strain, εa or
Figure 12.49 Creep and stress relaxation of Hostun sand Single Amplitude of Cyclic Axial Strain, (εa)SA (%)
(from Matsushita et al., 1999).
Figure 12.50 Clay stiffness degradation curves at three
strain rates (from Shibuya et al., 1996).
ent from the observations made for clays as shown in
Fig. 12.43 in which a unique stress–strain–strain rate
relationship was observed. Hence, the modeling of
stress–strain–rate behavior of sands appears to be
more complicated than that of clays, and further in-
vestigation is needed, as time-dependent behavior of
sands can be of significance in geotechnical construc-
tion as discussed further in Section 12.10.
Stiffness at Small and Intermediate Strains

Although the magnitude is small, the strain rate de-
pendency of the stress–strain relationship is observed
even at small strain levels for clays. The stiffness in-
creases less than 6 percent per 10-fold increase in
strain rate (Leroueil and Marques, 1996). The rate de-
pendency on stiffness degradation curves measured by
monotonic loading of a reconstituted clay is shown in
Coefficient of Strain Rate, (γ)
Fig. 12.50 (Shibuya et al., 1996). At different strain

levels, the increase in the secant shear modulus with
shear strain rate ˙ is often expressed by the following
equation (Akai et al., 1975; Isenhower and Stokoe,
1981; Lo Presti et al., 1996; Tatsuoka et al., 1997):
G
G( ) ⫽ (12.34)
log ˙ G( , ˙ ref)
where G is the increase in secant shear modulus with

increase in log strain rate log ˙ , and G( , ˙ ref) is the
secant shear modulus at strain and reference strain
rate ˙ ref. The magnitude is large in clays, considerably Shear Strain, γ (%)
less in silty and clayey sands, and small in clean sands
(Lo Presti et al., 1996; Stokoe et al., 1999). The vari- Figure 12.51 Strain rate parameter G and strain level for
ation of G with strain is shown in Fig. 12.51 for dif- several clays (from Lo Presti et al., 1996).
MODELING OF STRESS–STRAIN–TIME BEHAVIOR 503
ferent plasticity clays (Lo Presti et al., 1996). The where ƒ is the frequency and c is the cyclic shear
magnitude of rate dependency increases with strain strain amplitude. Using Eq. (12.35), Matesic and Vu-
level, especially for strain levels larger than 0.01 per- cetic (2003) report values of G of 2 to 11 percent for
cent, which is within the preplastic region zone 3 de- clays and 0.2 to 6 percent for sands as the strain rate
scribed in Section 11.17. increases 10-fold. The values of G in general de-
creased when the applied cyclic shear strain increased
Rate Effects During Cyclic Loading from 5 ⫻ 10⫺4 percent to 1 ⫻ 10⫺2 percent. It should
The frequencies of cyclic loading to which a soil is be noted that the strain range examined is within the
subjected can vary widely. For example, the frequency non-linear elastic range (zone 1 to zone 2 in Section
of sea and ocean waves is in the range of 10⫺2 to 10⫺1 11.17). The monotonic loading data presented in Fig.
Hz, earthquakes are in the range of 0.1 to a few hertz, 12.51 show that the rate effect becomes more pro-
and machine foundations are in the range of 10 to 100 nounced at larger strain, that is, as plastic deformations
Hz. Similarly to monotonic loading, the effect of load- become more significant. Hence, it is possible that the
ing frequency on shear modulus degradation is small fundamental mechanisms of rate dependency are dif-
in clean, coarse-grained soils (Bolton and Wilson, ferent at small elastic strain levels than at larger plastic
1989; Stokoe et al., 1995), but the effect becomes more strains.
significant in fine-grained soils (Stokoe et al., 1995; Small strain damping shows more complex fre-
d’Onofrio et al., 1999; Matesic and Vucetic, 2003; quency dependency, as shown in Fig. 12.53 (Shibuya
Meng and Rix, 2004). An example of frequency effects et al., 1995; Meng and Rix, 2004). At a frequency of
on a shear modulus degradation curve for a clay ob- more than 10 Hz, the damping ratio increases with
tained from cyclic loading is shown in Fig. 12.50 along increased frequency, possibly due to pore fluid viscos-
with the monotonic data. Figure 12.52 shows the effect ity effects. As the applied frequency decreases, the
of frequency on shear modulus of several soils at very damping ratio decreases. However, at a frequency less
small shear strains (less than 10⫺3 percent) measured than 0.1 Hz, the damping ratio starts to increase with
by torsional shear and resonant column apparatuses decreasing frequency. This may result from creep of
(Meng and Rix, 2004). The effect is 10 percent in- the soil (Shibuya et al., 1995).
crease per log cycle at most.
At a given frequency of cyclic loading, the strain
12.9 MODELING OF STRESS–STRAIN–TIME
rate applied to a soil increases with applied shear strain
BEHAVIOR
as shown by the equation below:
Constitutive models are needed for the solution of geo-
˙ ⫽ 4ƒ c (12.35) technical problems requiring the determination of de-
250
Vallencca Clay
200
Shear Modulus G (MPa)
Sandy Elastic Silt

150
100
Kaolin
Kaolin
Sandy Lean Clay
50 Sandy Silty Clay

Kaolin Subgrade
Fat Clay
0
10-2 10-1 100 101 102
Frequency (Hz)
Figure 12.52 Rate dependency of cyclic small strain stiffness of a sandy elastic silt (from
Meng and Rix, 2004).
6
Clayey Subgrades
5
Augusta Clay
4 Sandy Lean Clay
Damping (%)
Pisa Clay
Vallencca Clay Fat Clay
3
Sandy Silty Clay
2
1 Sandy Elastic Silt

Kaolin
10-2 10-1 100 101 102

Frequency (Hz)
Figure 12.53 Effect of strain rate of damping ratio of soils (from Shibuya et al., 1995 and
Meng and Rix, 2004).
formations, displacements, and strength and stability

changes that occur over time periods of different
lengths. Various approaches have been used, including
ln ˙ ⫽ ln ˙ (t1,D) ⫺ m ln 冉冊 t
t1
(12.37)
empirical curve fitting, extensions of rate process

where ˙ (t1,D) is the axial strain rate at unit time and
theory, rheological models, and advanced theories
is a function of stress intensity D, m is the absolute
of viscoelasticity and viscoplasticity. Owing to the
complexity of stress states, the many factors that influ- value of the slope of the straight line on the log strain
ence the creep and stress relaxation properties of a soil, rate versus log time plot, and t1 is a reference time, for
and the difficulty of accounting for concurrent volu- example, 1 min. Values of m generally fall in the range
metric and deviatoric deformations in systems that are of 0.7 to 1.3 for triaxial creep tests; lower values are
many times undergoing consolidation as well as sec- reported for undrained conditions than for drained con-
ondary compression or creep, it is not surprising that ditions. For the development shown here, the stress
development of general models that can be readily im- intensity D is taken as the deviator stress (1 ⫺ 3). A
plemented in engineering practice is a challenging un- shear stress or stress level could also be used.
dertaking. The same data plotted in the form of Figs. 12.3,
Nonetheless, some progress has been made in estab- 12.31, and 12.32 can be expressed by
lishing functional forms and relationships that can be
applied for simple analyses and comparisons, and one
of these is developed in this section. A complete re-
view and development of all recent theories and pro-
ln 冋册 ˙
˙ (t,D0)
⫽ D (12.38)
posed relationships for creep and stress relaxation is

beyond the scope of this book. Comprehensive reviews or
of many models for representation of the time-
dependent plastic response of soils are given in Adachi ln ˙ ⫽ ln ˙ (t,D0) ⫹ D (12.39)
et al. (1996).
in which ˙ (t,D0) is a fictitious value of strain rate at
General Stress–Strain–Time Function
D ⫽ 0, a function of time after start of creep, and
Strain Rate Relationships between axial strain rate is the slope of the linear part of the log strain rate
˙ and time t of the type shown in Figs. 12.4 and 12.5 versus stress plot. From Eqs. (12.37) and (12.39)
can be expressed by
ln
˙
˙ (t1,D)
⫽ ⫺m ln 冉冊 t
t1
(12.36) ln ˙ (t1,D) ⫺ m ln 冉冊t
t1
⫽ ln ˙ (t,D0) ⫹ D (12.40)
or For D ⫽ 0,
ln ˙ (t,D0) ⫽ ln ˙ (t1,D0) ⫺ m ln 冉冊 t
t1
(12.41)
vided the variation of strength with water content is
known. Since normal strength tests are considerably
simpler and less time consuming than creep tests, the
in which ˙ (t1,D0) is the value of strain rate obtained by uniqueness of the quantity Dmax can be useful because
projecting the straight-line portion of the relationship the results of a limited number of tests can be used to
between log strain rate and deviator stress at unit time predict behavior over a range of conditions. A further
to a value of D ⫽ 0. Designation of this value by A generalization of Eq. (12.43) then is
冉冊
and substitution of Eq. (12.41) into Eq. (12.39) gives m
t
冉冊
˙ ⫽ A exp(D) 1 (12.44)
t t
ln ˙ ⫽ ln A ⫹ D ⫺ m ln (12.42)
t1
where
which may be written
D
冉冊 m ⫽ Dmax D⫽ (12.45)
D
t1 Dmax
˙ ⫽ Ae (12.43)
t
Strain A general relationship between strain and
This simple three-parameter equation has been time is obtained by integration of Eq. (12.43). Two
found suitable for the description of the creep rate be- solutions are obtained, depending on the value of m.
havior of a wide variety of soils. The parameter A is If ⫽ 1 at t ⫽ t1 ⫽ 1, then
shown in Fig. 12.54. Since it reflects an order of mag-
nitude for the creep rate under a given set of condi- A
⫽ 1 ⫹ exp (D)(t1⫺m ⫺ 1) when m ⫽ 1
tions, it is in a sense a soil property. A minimum of 1⫺m
two creep tests are needed to establish the values of A, (12.46)
, and m for a soil. If identical specimens are tested
using different creep stress intensities, a plot of log and
strain rate versus log time yields the value of m, and
a plot of log strain rate versus stress for different values ⫽ 1 ⫹ A exp (D)ln t when m ⫽ 1 (12.47)
of time can be used to find and A from the slope
and the intercept at unit time, respectively. Creep curve shapes corresponding to these relation-
The parameter has units of reciprocal stress. If ships are shown in Fig. 12.55. These curves encompass
stress is expressed as the ratio of creep stress to the variety of shapes shown in Fig. 12.2. A similar
strength at the beginning of creep, D/Dmax, then the equation to Eq. (12.46) was developed by Mesri et al.
dimensionless quantity Dmax should be used. For a (1981) from Eq. (12.43). The initial time-independent
given soil and test type, values of Dmax do not vary strain was neglected, and the resulting equation is
greatly for different water contents, as the change in
with water content is compensated by a change in
Dmax. Thus the strain rate versus time behavior for any
stress at any water content can be predicted from the
⫽
1⫺m
At1
exp(D)
t
t1 冉冊 1⫺m
(12.48)
results of creep tests at any other water content, pro- It may be seen in Fig. 12.56 that this equation de-
scribes the uniaxial creep behavior of three clays very
well. Data for both drained and undrained creep are
shown.
Stress Relaxation Stress decay during stress relax-
ation is approximately linear with logarithm of time
until it levels off at some residual stress after a long
time. There is equivalency between creep and stress
relaxation in that a general phenomenological model
that predicts one can be used to predict the other, as
shown by Akai et al. (1975), Lacerda (1976), Borja
(1992), and others. For example, Eq. (12.44) takes the
following form when stress relaxation is started after
Figure 12.54 Influence of creep stress magnitude on the deformation at constant rate of strain (Lacerda and
creep rate at a given time after stress application. Houston, 1973):
Figure 12.55 Creep curve shapes predicted by the general stress–strain–time function of
Eqs. (12.46) and (12.47).
D D t h0
⫽ ⫽ 1 ⫺ s log (t ⬎ t0) (12.49) t0 ⫽ (12.52)
D0 D0 t0 ˙
where s is the slope of the stress relaxation curve, and where h0 is the strain rate to give a delay time of t0 ⫽
the zero subscript refers to conditions at the start of 1 min before stresses begin to relax. The data presented
stress relaxation. Also by Lacerda and Houston (1973) indicate that the values
of # and h0 increase with increasing plasticity of the
# soil.
s⫽ (12.50)
D
Constitutive Models
where Different rheological models have been proposed for
the mathematical description of the stress–strain–time
2.3(1 ⫺ m) behavior of soils that are made up of combinations of
#⫽ (12.51)
linear springs, viscous dashpots, and sliders. In the
Murayama and Shibata (1958), Christensen and Wu
The validity of this equation has been established (1964), and Abdel-Hady and Herrin (1966) models, the
for m ⬍ 1.0. Pore pressures decrease slightly during dashpots are nonlinear, with stress–flow rate response
undrained stress relaxation. governed by rate process theory. Rheological models
Stresses may not begin to relax immediately after are useful conceptually to aid in recognition of elastic
the strain rate is reduced to zero. The time t0 between and plastic components of deformation. They are help-
the time that the strain rate is reduced to zero and the ful for visualization by analogy of viscous flow that
beginning of relaxation is a variable that depends on accompanies time-dependent change of structure to a
the soil type and the prior strain rate. This is shown more stable state. Mathematical relationships can be
schematically in Fig. 12.57. The greater the initial rate developed in a straightforward manner for the descrip-
of strain to a given deformation, the more quickly re- tion of creep, stress relaxation, steady-state deforma-
laxation begins. This is a direct reflection of the relation, and the like in terms of the model constants. In
tive differences in equilibrium soil structures during most cases, these relationships are complex and neces-
and after deformation. Values of t0 as a function of sitate the evaluation of several parameters that may not
prior strain rate are shown in Fig. 12.58 for several be valid for different stress intensities or soil states.
soils. These curves can be described empirically by Only one-dimensional stresses and deformations are
Figure 12.56 Correspondence between creep strain predicted by Eq. (12.48) and measured
values. Diagrams are from Mesri et al. (1981), which were based on analyses by Semple
(1973).
12.10 CREEP RUPTURE

As discussed in Section 12.2 and shown in Fig. 12.6,
the strength of a soil and the stress–strain curve may
be changed as a result of creep. In some cases, such
as the drained creep of a compressive soil, the strength
may be increased. Changes in strength may be as much
as 50 percent or more of the strength measured in nor-
mal undrained tests prior to creep.
Causes of Strength Loss During Creep

Figure 12.57 Influence of prior strain rate on stress relaxa- Loss of strength during creep is particularly important
tion. in soft clays deformed under undrained conditions and
heavily overconsolidated clays in drained shear. Both
of these conditions are pertinent to certain types of
engineering problems: the former in connection with
stability of soft clays immediately after construction,
and the latter in connection with problems of long-term
stability.
The loss of strength as a result of creep may be
explained in terms of the following principles of be-
havior:
1. If a significant portion of the strength of a soil is

due to cementation, and creep deformations
cause failure of cemented bonds, then strength
will be lost.
2. In the absence of chemical or mineralogical
changes the strength depends on effective
stresses. If creep causes changes in effective
Figure 12.58 Influence of prior strain rate on the time to stress, then strength changes will also occur.
start of stress relaxation (adapted from Lacerda and Houston, 3. In almost all soils, shear causes changes in pore
1973). pressure during undrained deformation and
changes in water content during drained defor-
mation.
considered. None appears to exist that has the gener- 4. Water content changes cause strength changes.
ality and simplicity of the three-parameter creep Eqs.
(12.43), (12.46), and (12.47). These processes are illustrated by the stress paths
Both plasticity and creep are controlled by the mo- and effective stress envelope shown schematically in
tion of dislocations or breakage among soil particles, Fig. 12.37.
so it may be physically more correct to predict both Strength loss in saturated, heavily overconsolidated
plastic and creep deformations with one equation. Two clays tested under undrained conditions has also been
particularly promising approaches are based on an ex- reported, for example, Casagrande and Wilson (1951),
tension of the Cam-clay model to take into account Goldstein and Ter-Stepanian (1957), and Vialov and
time-dependent volumetric and deviatoric deforma- Skibitsky (1957). This may be explained as follows.
tions (Kavazanjian and Mitchell, 1980; Borja and Ka- Shear deformations cause dilation and the development
vazanjian, 1985; Kaliakin and Dafalias, 1990; Borja, of negative pore pressures, which do not develop uni-
1992; Al-Shamrani and Sture, 1998; Hashiguchi and formly throughout the sample but concentrate along
Okayasu, 2000) and on an elasto-viscoplastic equation planes where the greatest shearing stresses and strains
developed using flow surface theory (Sekiguchi, 1977, develop. With time during sustained loading, water mi-
1984; Matsui and Abe, 1985, 1986, 1988; Matsui et grates into zones of high negative pore pressures lead-
al., 1989; Yin and Graham, 1999) and overstress theory ing to softening and strength decrease relative to the
(Adachi and Oka, 1982; Katona, 1984: Kutter and strength in ‘‘normal’’ undrained strength tests. This
Sathialingham, 1992; Rocchi et al., 2003). leads to shear band formation.
CREEP RUPTURE 509
This process is shown in Fig. 12.59 with reference in turn, a function of deformation rates, the hydraulic
to an effective stress failure envelope for a heavily ov- conductivity, and the surrounding water pressure and
erconsolidated clay. The effective stress path is repre- drainage conditions. The time to failure of heavily ov-
sented by AB, and AC represents the total stress path erconsolidated clays in which negative pore water pres-
in a conventional consolidated-undrained (CU) test. sures develop as a result of unloading is best estimated
The negative pore pressure at failure is CB. If a creep on the basis of drained strengths, effective stresses, and
stress DE is applied to the same clay, a negative pore consideration of the rate of swelling that is possible
pressure EF is induced. This negative pore pressure for the particular clay and ambient stress and ground-
dissipates during creep, and the clay in the shear zone water conditions. An exception would be when
swells. At the end of the creep period, the effective strength loss results from the time-dependent rupture
stress will be as represented by point E. Further shear of cementing bonds. In this case, sustained load creep
starting from these conditions leads to strength G, tests in the laboratory may allow establishment of a
which is less than the original value at B. It is evident stress level versus time-to-failure relationship.
also that if the negative pore water pressure is large For soils subject to failure during undrained creep,
enough, and the sustained load is applied long enough, the time to failure is usually a negative exponential
then point E could reach the failure envelope. This function of the stress, for stresses greater than some
appears to have been the conditions that developed in limiting value below which no failure develops even
several cuts in heavily overconsolidated brown London after very long times.8 The relationship between devi-
clay, which failed some 40 to 70 years after excava- ator stress, normalized to the pretest major principal
tions were made (Skempton, 1977). effective stress, and time to failure for Haney clay is
shown in Fig. 12.60. These and similar data define cer-
Time to Failure
The time to failure of soils susceptible to strength loss
under sustained stresses depends on the rates at which 8
This critical stress below which creep rupture does not occur has
pore pressures develop and at which water can migrate been termed the upper yield, the lower yield being the stress below
into or out of the critical shear zone. These rates are, which deformations are elastic (Murayama and Shibata 1958, 1964).
Figure 12.59 Stress paths for normal undrained shear and drained creep of heavily over-
consolidated clay.
tain principles relating to the probability of creep rup-

ture and the time to failure:
1. Values of the parameter m less than 1.0 in Eqs.

(12.43) through (12.46) are indicative of a high
potential strength loss during creep and eventual
failure (Singh and Mitchell, 1969).
2. The minimum strain rate ˙ min prior to the onset
of creep rupture decreases, and the time to failure
increases, as the stress intensity decreases, as
shown in Fig. 12.61 for Haney clay. The rela-
tionship is unique, as may be seen in Fig. 12.62,
which shows that
C
tƒ ⫽ (12.53)
˙ min
Figure 12.60 Time to rupture as a function of creep stress Values of the constant C accurate to about 0.2
for Haney clay (Campanella and Vaid, 1972). log cycles are given in Table 12.2.
3. The strain at failure is a constant independent of
stress level, as shown in Fig. 12.63. The failure
Figure 12.61 Creep rate behavior of K0-consolidated, undisturbed Haney clay under axi-
symmetric loading (Campanella and Vaid, 1972).
SAND AGING EFFECTS AND THEIR SIGNIFICANCE 511
1 C
ƒ ⫽ constant ⫽ ˙ mintƒ ⫽ (12.56)
1⫺m 1⫺m
Thus, the constant in Eq. (12.53) is defined by
C ⫽ (1 ⫺ m)ƒ (12.57)
Values of ƒ for Haney clay tested in three ways are

shown in Fig. 12.63, and values of C and m are in
Table 12.3. The agreement between predicted and mea-
sured values of C is reasonable.
Predictions of the time to failure under a given stress
may be made in the following way. Strain at failure
can be determined by either a creep rupture test or by
a normal shear or compression test. If a normal
strength test is used, then the rate of strain must be
slow enough to allow pore pressure equalization or
drainage, depending on the conditions of interest, and
the stress history and stress system should simulate
those in the field. Parameter m can be established from
Figure 12.62 Relationship between time to failure and min-
a creep test, and then C can be computed from Eq.
imum creep rate (from Campanella and Vaid, 1974). Repro-
duced with permission from the National Research Council (12.57). Values of A and are established from creep
of Canada. tests at two stress intensities. Then, for t1 ⫽ 1,
C ⫽ ˙ mintƒ ⫽ A exp(D)t1⫺m
ƒ (12.58)
strain is taken as the strain corresponding to the and corresponding values of D and tƒ can be calculated
minimum strain rate. For the case of undrained using Eq. (12.58) rewritten as
creep rupture, this is consistent with the concept
that pore pressure development is uniquely re-
lated to strain and independent of the rate at
which it accumulates (Lo, 1969a, 1969b).
ln tƒ ⫽
1
1⫺m 冋冉冊册
ln
C
A
⫺ D (12.59)
Other constitutive models are available to model the

The relationship expressed by Eq. (12.53) results di- complex time-dependent behavior under various load-
rectly from the fact that the strain at the point of mining conditions. For example, Sekiguchi (1977) de-
imum strain rate is a constant independent of stress or veloped a viscoplastic model that gives excellent
strain rate. The general stress–strain rate–time function representations of strain rate effects on undrained
[see Eq. (12.43)] describes the strain rate–time behav- stress–strain behavior, stress relaxation, and creep rup-
ior until ˙ min is reached. For t1 ⫽ 1 and ⫽ 0 at t ⫽ ture of normally consolidated clays. Other models
0, the corresponding strain–time equation is listed in Section 12.9 are able to simulate time-
dependent behavior in a similar manner.
A
⫽ exp(D)t1⫺m (12.54)
1⫺m
12.11 SAND AGING EFFECTS AND THEIR
SIGNIFICANCE
By setting ⫽ 0 at t ⫽ 0, the assumption is made
that there is no instantaneous deformation. Substitution Over geological time, lithification and chemical reac-
for A exp(D) in Eq. (12.54) gives tions can change sand into sandstone or clay into mud-
stone or shale. However, even over engineering time,
1 behavior of soils can alter as stresses redistribute after
⫽ ˙ t mt1⫺m (12.55) construction (Fookes et al., 1988). As discussed in the
1⫺m
previous sections, it is well established that fine-
grained soils and clays have properties and behavior
which at the point of minimum strain rate becomes that change over time as a result of consolidation,
Table 12.2 Creep Rupture Parameters for Several Clays
Creep
Rate C ⫽ (˙min tƒ)
Test Parameter, (0.2 log
Soil Typea m cycles)
Undisturbed Haney ICU 0.7 1.2
clay, N.C.b
Undisturbed Haney ACU 0.4 0.2
clay, N.C.b
Undisturbed Haney ACU-PS 0.5 0.3
clay, N.C.b
Undisturbed Seattle ICU 0.5 0.6
clay, O.C.c
Undisturbed U 0.8 1.6
Tonegawa loamc
Undisturbed ICU 0.75 2.8
Redwood City
clay, N.C.c
Undisturbed Bangkok ICU 0.70 1.4
mudc
Undisturbed Osaka 1.0 0.07
clayc
a
ICU, isotropic consolidated, undrained triaxial; ACU, K0 consoli-
dated, undrained triaxial; ACU-PS, K0 consolidated, plane strain; and
U, compression test.
b
Data from Campanella and Vaid (1974).
c
Data from Singh and Mitchell (1969).
Figure 12.63 Axial strain at minimum strain rate as a function of creep stress for undis-
turbed Haney clay (from Campanella and Vaid, 1974). Reproduced with permission from
the National Research Council of Canada.
Table 12.3 Predicted and Measured Values of C for idation, t2 is some time of interest thereafter, G is the
Haney Clay change in small strain shear modulus from t1 to t2,
G1000 is the shear modulus measured after 1000 min of
Creep Rate constant confining pressure, which must be after com-
Parameter ƒ C pletion of primary consolidation, and NG is the nor-
m (from (from Predicted malized shear modulus increase with time. Large
Test Table Fig. by Eq. C increase in stiffness due to aging is represented by
Condition 12.2) 12.63) (12.57) Measured large values of IG or NG. In general, the measured NG
value for clays ranges between 0.05 and 0.25. The ag-
ICUa 0.7 2.8 0.84 1.2 ing effect also increases with an increasing plasticity
ACUb 0.4 0.3 0.18 0.20 index as shown in Fig. 12.64 (Kokusho, 1987). The
ACU-PSc 0.5 0.5 0.25 0.30 data in the figure have been supplemented by values
a
Isotropic consolidated, undrained triaxial. of G/G for several sands compiled by Jamiolkowski
b
Anisotropic, consolidated, undrained triaxial. (1996). Mesri et al. (1990) report that NG for sands
c
Anisotropic consolidated, undrained, plane strain. varies between 0.01 and 0.03 and increases as the soil
Data from Campanella and Vaid (1974). becomes finer. Jamiolkowski and Manassero (1995)
give values of 0.01 to 0.03 for silica sands, 0.039 for
sand with 50 percent mica, and 0.05 to 0.12 for car-
bonate sand. Experimental results show that the rate of
shear, swelling, chemical and biological changes, and increase in stiffness with time for very loose carbonate
the like. Until recently it has not been appreciated that sand increases as the stress level increases (Howie et
cohesionless soils exhibit this behavior as well. Much al., 2002). Isotropic stress state resulted in a slower
recent field evidence of the changing properties of rate of increase in stiffness.
granular soils over time is now available and these data There is only limited field data that shows evidence
suggest that recently disturbed or deposited granular of aging effects on stiffness. Troncoso and Garces
soils gain stiffness and strength over time at constant (2000) measured shear wave velocities using downhole
effective stress—a phenomenon called aging. The ev-
idence includes the time-dependent increase in stiff-
ness and strength of densified sands as measured by ΔG : Modulus Increase in Every 10-fold Time Increase
0.30
cone penetration resistance (Mitchell and Solymer, G1000 : Modulus at 1,000 min
1984; Thomann and Hryciw, 1992; Ng et al., 1998)
ΔG/G1000 = 0.03PI 0.5
and the setup of displacement piles in granular mate-
rials (Astedt et al., 1992; York et al., 1994; Chow et 0.25
al., 1998; Jardine and Standing, 1999; Axelsson,
Modulus Increase Ratio ΔG/G1000
2000). Hypotheses to explain this phenomenon include

both creep processes and chemical and biological ce-
0.20
mentation processes. The discussion in this section is
focused primarily on granular soils as the relevant as- Clay
pects for clays are treated in detail throughout other Marcuson et al. (1972)
Afifi et al. (1973)
sections of the book. 0.15 Trudeau et al. (1973)
Anderson et al. (1973)
f
Increase in Shear Modulus with Time Zen et al. (1978)
Kokusho et al. (1982)
As discussed in Section 12.3, the shear modulus at 0.10 Umehara et al. (1985)
small strain is known to increase with time under a Sand
Jamiolkowski (1996)
confining stress, and this is considered to be the con- a = Ticino Sand (Silica)
sequence of aging. This behavior can be quantified by e b = Hokksund Sand (Silica)
0.05 c = Messina Sand and Gravel (Silica)
a coefficient of shear modulus increase with time using d d = Glauconite Sand
the following formula (Anderson and Stokoe, 1978): c (Quartz/Glauconite)
e = Quiou Sand (Carbonate)
a, b f = Kenya Sand (Carbonate)
IG ⫽ G/log(t2 /t1) (12.60) 0.00
0 20 40 60 80 100
Plasticity Index PI
NG ⫽ IG /G1000 (12.61)
Figure 12.64 Modulus increase ratio for clays (from Ko-
where IG is the coefficient of shear modulus increase kusho, 1987), supplemented by the data for sands (from
with time, t1 is a reference time after primary consol- Jamiolkowski, 1996).
wave propagation tests in low-plasticity silts with fines and seepage blanket. Due to large depths of the loose
contents from 50 to 99 percent at four abandoned tail- sand deposit requiring densification, a two-stage den-
ing dams in Chile. The shear modulus normalized by sification program was performed. The upper 25 m of
the vertical effective stress is plotted against the age sand (and a 5- to 10-m-thick sand pad placed by hy-
of the deposit in Fig. 12.65. The age of the deposits is draulic filling of the river) was densified using vibro-
expressed as the time since deposition. Although the compaction. Deposits between depths of 25 to 40 m
soil properties vary to some degree at the four sites,9 were densified by deep blasting.
very significant increase in stiffness at small strains can During the blasting operations, it was observed that
be observed after 10 to 40 years of aging. The degree the sand exhibited both sensitivity—that is, strength
to which secondary compression could have contrib- loss on disturbance—and aging effects. A typical ex-
uted to this increase is not known. ample of the initial decrease in penetration resistance
after blasting densification and subsequent increase
Time-Dependent Behavior after Ground with time is shown in Fig. 12.66. Initially after im-
Improvement provement, there was in some cases a decrease in pen-
Stiffness and strength of sand increase with time after etration resistance, despite the fact that surface
disturbance and densification by mechanical processes settlements ranging from 0.3 to 1.1 m were measured.
such as blasting and vibrocompaction. Up to 50 per- With time (measured up to 124 days after improve-
cent or more increase in strength has been observed ment), however, the cone penetration resistance was
over 6 months (Mitchell and Solymer, 1984; Thomann
and Hryciw, 1992; Charlie et al., 1992; Ng et al., 1998;
Ashford, et al., 2004) as measured by cone penetration
testing.
The Jebba Dam project on the Niger River, Nigeria,
was an early well-documented field case where aging
effects in sands were both significant and widespread
(Mitchell and Solymer, 1984). The project involved the
treatment of foundation soils beneath a 42-m-high dam
Figure 12.65 Normalized shear modulus as function of ag-

ing of tailings (from Troncoso and Garces, 2000).
9
The four sites identified by Troncoso and Garces (2000) are called
Barahona, Cauquenes, La Cocinera, and Veta del Agua and the aging
times between abandonment and testing were 28, 19, 5, and 2 years,
respectively. The tailing deposits at Barahona had a liquid limit of
41 percent and a plastic limit of 14 percent, whereas those at the Figure 12.66 Effect of time on the cone penetration resis-
other three sites had liquid limits of 23 to 29 percent and plastic tance of sand following blast densification at the Jebba Dam
limits of 2 to 6 percent. site.
found to increase by approximately 50 to 100 percent
of the original values. Similar behavior was found fol-
lowing blast densification of hydraulic fill sand that
had been placed for construction of Treasure Island in
San Francisco Bay more than 60 years previously
(Ashford et al., 2004).
Aging effects were also observed after placement of
hydraulic fill working platforms in the river at the
Jebba Dam site and after densification by vibrocom-
paction as shown in Figs. 12.67 and 12.68. In the case
of vibrocompaction, however, there was considerable
variability in the magnitude of aging effects throughout
the site. Because of the greater density increase caused
by vibrocompaction than by blast densification, no in-
itial decrease in the penetration resistance was ob-
served at the end of the compaction process.
Charlie et al. (1992) found a greater rate of aging
after densification by blasting for sands in hotter cli-
mates than in cooler climates and suggested a corre-
lation between the rate of aging and mean annual air Figure 12.68 Effect of time on the cone penetration resis-
temperature for available field data as shown in Fig. tance of hydraulic fill sand after placement at the Jebba Dam
12.69. In the figure, the increase in the CPT tip resis- site.
tance (qc) with time is expressed by the following
equation:
qc (N weeks)
⫽ 1 ⫹ K log N (12.62)
qc (1 week) 1.0 Mitchell and
Solymer (1984)
Empirical Constant K
where N is the number of weeks since disturbance and

K expresses the rate of increase in tip resistance in Schmertmann (1987) and
logarithmic time. Fordham et al. (1991)
0.1 Charlie et al. (1992)
Jefferies et al. (1988)

0.02
-10 0 10 20 30 40
Temperature (°C)
Figure 12.69 Rate of increase of normalized CPT tip resis-

tance against temperature for different cases of reported ag-
ing effects after blasting (by Charlie et al., 1992).
Schmertmann (1991) postulated that a ‘‘complicated

soil structure’’ is present in freshly deposited soil. The
structure then becomes more stable by ‘‘drained dis-
persive movements’’ of soil particles. He suggests that
stresses would arch from softer, weaker areas to stiffer
Figure 12.67 Effect of time on the cone penetration resis- zones with time, leading to an increase in K0 with time.
tance of sand following vibrocompaction densification at the Mitchell and Solymar (1984) suggested that the ce-
Jebba Dam site. mentation of particles may be the mechanism of aging
of sands, similar to diagenesis in locked sands and with time (Axelsson, 2000). Evidence suggests that
young rocks (Dusseault and Morgenstern, 1979; Bar- piles in silts and find sands set up more than those in
ton, 1993) in which grain overgrowth has been ob- coarse sands and gravels (York et al., 1994). Both
served. However, others have questioned whether driven and jacked piles exhibit setup, whereas bored
significant chemical reactions can occur over the short piles do not. Hence, the stress–strain state achieved
time of observations. In addition, there is some evi- during the construction processes of pile driving have
dence of aging in dry sands wherein chemical proc- an influence on this time-dependent behavior and var-
esses would be anticipated to be very slow. ious mechanisms have been suggested to explain this
(Astedt et al., 1992; Chow et al., 1998; Bowman,
Setup of Displacement Piles 2002). Unfortunately, at present, there is no conclusive
evidence to confirm any of the proposed hypotheses.
Much field data indicates that the load-carrying capac- Despite the many field examples and laboratory
ity of a pile driven into sand may increase dramatically studies on aging effects, there is still uncertainty about
over several months, long after pore pressures have the mechanism(s) responsible for the phenomenon.
dissipated (e.g., Chow et al., 1998; Jardine and Stand- Understanding the mechanism(s) that cause aging is of
ing, 1999). The amount of increase is highly variable, direct practical importance in the design and evaluation
ranging from 20 to 170 percent per log cycle of time of ground improvement, driven pile capacity, and sta-
as shown in Fig. 12.70 (Chow et al., 1998; Bowman, bility problems where strength and deformation prop-
2002). Most of the increase in capacity occurs along erties and their potential changes with time are
the shaft of the pile as the radial stress at rest increases important. Mechanical, chemical, and biological fac-
tors have been hypothesized for the cause of aging.
Biological processes have so far been little studied;
however, mechanical and chemical phenomena have
been investigated in more detail, and some current un-
derstanding is summarized below.
12.12 MECHANICAL PROCESSES OF AGING

Creep is hypothesized as the dominant mechanism of
aging of granular systems on an engineering timescale
by Mesri et al. (1990) and Schmertmann (1991). In-
creased strength and stiffness does not occur solely
from the change in density that occurs during second-
ary compression. Rather, it is due to a continued re-
arrangement of particles resulting in the increased
macrointerlocking of particles and the increased mi-
crointerlocking of surface roughness. This is supported
by the existence of locked sands (Barton, 1993; Rich-
ards and Barton, 1999), which exhibit a tensile strength
even without the presence of binding cement. Some
micromechanical explanations of the process are given
in Section 12.3.
Although no increase in stiffness was detected when
glass balls were loaded isotropically (Losert et al.,
2000), sand has been found to increase in strength and
stiffness under isotropic stress conditions (Daramola,
1980; Human, 1992). These increases develop even un-
der isotropic confinement because the angular particles
can lock together in an anisotropic fabric. It has been
Figure 12.70 Increase in total and shaft capacity with time shown that more angular particles produce materials
for displacement piles in sand (from Chow et al., 1998 and more susceptible to creep deformations (Mejia et al.,
Bowman, 2003). 1988, Human, 1992, Leung et al., 1996). Isotropic
CHEMICAL PROCESSES OF AGING 517
compression tests by Kuwano (1999) showed that ra-
Stress State at Creep: p = 600 kPa and q = 800 kPa
dial creep strains were greater than axial strains in soils
All Samples Were Prepared With Relative Density of
with angular particles than in soils with rounded par-
Approximately 70%.
ticles due to a more anisotropic initial fabric. Angular
particles can result in longer duration of creep and a 0.25
greater aging effect since they have a larger range of
Deviatoric Strain (%)

stable contacts and the particles can interlock. As 0.20
spherical particles rearrange more easily than elon- Montpellier
gated ones (Oda, 1972a), rounder particles initially Natural Sand
0.15
creep at a higher rate before settling into a stable state. Glass Ball
Hence, any aging effect on rounded particles tends to 0.10
disappear quickly when the soil is subjected to new
stress state. 0.05 Leighton Buzzard
Uniform Silica Sand
When a constant shear stress is applied to loose
sand, large creep accompanied by volumetric contrac- 0.00
tion is observed (Bopp and Lade, 1997). Higher con- 10 1 10 2 10 3 10 4 10 5
tact forces due to loose assemblies contribute to
0.05 Montpellier Natural Sand
increased particle crushing, contributing to contraction
behavior. Hence, decrease in volume by soil crushing 0.00
Volumetric Strain (%)

leads to increase in stiffness and strength.
-0.05
Field data suggest that displacement piles in
Dilation
medium-dense to dense sands set up more than those -0.10
Glass Ball
in loose sand (York et al., 1994). Dense granular ma-
-0.15
terials may dilate with time depending on the applied
Leighton Buzzard
stress level during creep as shown in Fig. 12.71 (Bow- -0.20
Uniform Silica Sand
man and Soga, 2003). Initially, the soil contracts with
-0.25
time, but then at some point the creep vector rotates
and the dilation follows. Similar observations were -0.30
10 0 10 1 10 2 10 3 10 4 10 5
made by Murayama et al. (1984) and Lade and Lui
(1998). This implies that sands at a high relative den- Time (s)
sity will set up more as more interlock between par-
Figure 12.71 Dilative creep observed in triaxial creep tests
ticles may occur (Bowman, 2002). The laboratory
of dense fine sand (by Bowman and Soga, 2003).
observation of initial contraction followed by dilation
conveniently explains the field data of dynamic com-
paction where the greater initial losses and eventual
gains in stiffness and strength of sands are found close ing. Terzaghi originally referred to a ‘‘bond strength’’
to the point of application where larger shear stresses in connection with the presence of a quasi-
are applied to give dilation (Dowding and Hryciw, preconsolidation pressure in the field (Schmertmann,
1986; Thomann and Hryciw, 1992; Charlie et al., 1991). Generally, this mechanism has been thought of
1992). as type of cementation, which would increase the co-
Increased strength and stiffness due to mechanical hesion of a soil without affecting its friction angle.
aging occurs predominantly in the direction of previ- Denisov and Reltov (1961) showed that quartz sand
ously applied stress during creep (Howie et al., 2002). grains adhered to a glass plate over time. They placed
No increase was observed when the sand was loaded individual sand grains on a vibrating quartz or glass
in a direction orthogonal to that of the applied shear plate and measured the force necessary to move the
stress during creep (Losert et al., 2000). grains as shown in Fig. 12.72. The dry grains were
allowed to sit on the plate for varying times and then
the plate was submerged, also for varying times, before
12.13 CHEMICAL PROCESSES OF AGING vibrating began. It was found that the force required
to move the sand grains continued to increase up to
Chemical processes are a possible cause of aging. His- about 15 days of immersion in water. The cementating
torically, the most widespread theory used to explain agent was thought to be silica-acid gel, which has an
aging effects in sand has involved interparticle bond- amorphous structure and would form a precipitate at
(1) Glass or Quartz Plate

(2) To the Oscillation Generator
particle contacts (Mitchell and Solymer, 1984). The in-
creased strength is derived from crystal overgrowths
2
caused by pressure solution and compaction.
Strong evidence of a chemical mechanism being re-
sponsible for some aging was obtained by Joshi et al.
(1995). A laboratory study was made of the effect of
time on penetration resistance of specimens prepared
1 with different sands (river sand and sea sand) and pore
fluid compositions (air, distilled water, and seawater).
After loading under a vertical stress of 100 kPa, the
values of penetration resistance were obtained after
different times up to 2 years. Strength and stiffness
increases were observed in all cases, and a typical plot
䉭䊊 of load–displacement curves at various times is shown
f
––– 3.0 in Fig. 12.73. The effects of aging were greater for the
f0 (1) Without Soaking
(2) 42-hour Soaking submerged sand than for the dry specimens. Scanning
(3) 6-day Soaking 䊊
electron micrographs of the aged specimens in distilled
(4) 14-day Soaking
䉭
water and seawater showed precipitates on and in be-
2.0
䉭 4 䉭 tween sand grains. For the river sand in distilled water,
䊊 &
3
䊊
the precipitates were composed of calcium (the soluble
fraction of the sand) and possibly silica. For the river
1.0 & sand in seawater, the precipitates were composed of
2
& & sodium chloride.
1
However, there are several reported cases in which
cementation was an unlikely mechanism of aging, at
0 least in the short term. For example, dry granular soils
10 min 2h 20h
Time can show an increase in stiffness and strength with
time (Human, 1992; Joshi et al., 1995; Losert et al.,
Figure 12.72 Results of vibrating plate experiment from 2000). Cementation in dry sand is unlikely, as moisture
Denisov and Reltov (1961). Term ƒ / ƒ0 is a measure of the
is required to drive solution and precipitation reactions
bonding force between sand and glass or quartz plate.
involving silica or other cementation agents.
Mesri et al. (1990) used the triaxial test data from
Daramola (1980) to argue against a chemical mecha-
Figure 12.73 Effect of aging on the penetration resistance of River sand (from Joshi et al.,
1995).
CHEMICAL PROCESSES OF AGING 519
nism responsible for aging effects in sands. Figure application in denser materials. It is also associated
12.74 shows the effects of aging on both the stiffness with the microinterlocking occurring during the gen-
and shear strength of Ham River sand. Four consoli- eration of creep strain. The increase in stiffness and
dated drained triaxial tests were performed on samples strength is observed in the direction of the applied
with the same relative density and confining pressure stresses, but the aging effect disappears rather quickly
(400 kPa) but consolidated for different periods of time when loads are applied in other directions. Chemical
(0, 10, 30, and 152 days) prior to the start of the tri- aging can also occur within days depending on such
axial tests. The results showed that the stiffness in- factors as chemical environment and temperature.
creased and the strain to failure decreased with Some conditions in natural deposits are not repli-
increasing time of consolidation. Although increased cated in small-scale laboratory testing. Most laboratory
values of modulus were observed, the strain at failure tests are done using clean granular materials, whereas
is approximately 3 percent. Mesri et al. (1990) argue in the field there will be impurities, biological activity,
that this large strain would destroy any cementation, and heterogeneity of void ratio and fabric. Further-
and therefore another less brittle mechanism must be more, the introduction of air and other gases during
responsible for the increase in stiffness. ground improvement may have consequences that have
In summary, experimental evidence indicates that so far not been fully evaluated. Arching associated
mechanical aging behavior is enhanced by shear stress with dissipation of blast gases and the redistribution of
Figure 12.74 Effect of aging on stress–strain relationship of Ham River sand (from Dara-
mola, 1980).
stresses through the soil skeleton may also play a role analyses and predictions can be made for large and
(Baxter and Mitchell, 2004). The boundary conditions complex geotechnical structures.
associated with penetration testing in rigid-wall cylin-
ders in the laboratory may prevent detection of time-
dependent increases in penetration resistance that are QUESTIONS AND PROBLEMS
measured under the free-field conditions in the field.
1. Find an article about a problem, project, or issue
that involves some aspect of the long-term behavior
of a soil as an important component. The article
may be from a technical journal or magazine or
12.14 CONCLUDING COMMENTS elsewhere. The only requirement is that it involves
With exception of settlement rate predictions, most soil consideration of time-dependent ground behavior in
mechanics analyses used in geotechnical engineering some way.
assume limit equilibrium and are based on the as- a. Prepare a one-page informative abstract of the
sumption of time-independent properties and defor- article.
mations. In reality, time-dependent deformations and b. Summarize the important geotechnical issues in
stress changes that result from the time-dependent or the article and write down what you believe you
viscous rearrangement of the soil structure may be re- would need to know to understand them well
sponsible for a significant part of the total ground re- enough to solve the problem, resolve the issue,
sponse. advise a client, and so forth. Do not exceed two
Rate process theory has proven a particularly fruitful pages.
approach for the study of time-dependent phenomena c. Identify topics, figures, equations, and other ma-
in soils at consistencies of most interest in engineering terial in Chapter 12, if any, that might be useful
problems, that is, at water contents from about the in addressing the problems.
plastic limit to the liquid limit. From an analysis of the
influences of stress and temperature on deformation 2. The figure below shows relationships between (1)
number of interparticle bonds and effective consol-
rates and other evidence, it has been possible to deduce
idation pressure and (2) compressive strength and
that interparticle contacts are essentially solid and that
number of interparticle bonds for three soils as de-
clay strength derives from interatomic bonding in these
termined using rate process theory. Determine the
contacts. The strength depends on the number of bonds
angle of internal friction in terms of effective
per unit area, and the constant of proportionality be-
stresses (as determined from CU tests with pore
tween number of bonds and strength is essentially the
pressure measurements), for each soil. Assume Aƒ
same for all silicate minerals, probably because of their
⫽ 0, 0.3, and 0.3 for the sand, illite, and Bay mud,
similar surface structures.
respectively, in the range 0 ⬍ (1 ⫺ 3)ƒ ⬍ 500
Recognition of the fact that any macroscopic stress
kPa, where Aƒ is the ratio of pore pressure at failure
applied to a soil mass induces both tangential and nor-
to the deviator stress at failure (1 ⫺ 3)ƒ.
mal forces at the interparticle contacts is essential to
the understanding of rheological behavior. The results
40
of discrete particle simulations show that changes in
creep rate with time can be explained by changes in
the tangential and normal force ratio at interparticle
Number of Bonds - 1010 cm-2
contacts that result from particle rearrangement during 30

deformation. The change in microfabric in relation to Sand
strong particle networks and weak clusters leads to
possible explanation of the mechanical aging process. 20
Time-dependent deformations and stress relaxation
Illite
follow predictable patterns that are essentially the same
for all soil types. Simple constitutive equations can rea- 10
Bay Mud
sonably describe time-dependent behavior under lim-
ited conditions. Much remains to be learned, however,
about the influences of combined stress states, stress 0
history and transient drainage conditions on creep, 0 100 200 300 400 500
stress relaxation, and creep rupture before reliable σc = Effective Consolidation Pressure (kPa)
0 5 10 15 20 25 90
1000
-2
Number of Bonds - 1010 cm
80
800
70
Water Content (%)

(σ1 – σ3)max(kPa)
600
60
Sand, Illite, Bay Mud
400 50
40
200
30
20 40 80 100 200 400
0 Compressive Strength (kPa)
3. Equation (12.43) is a simple three-parameter equa- intensities are shown below, as is the variation of
tion for strain rate during constant stress creep of compressive strength with water content. A tem-
soils. porary excavation is planned that will create a slope
with an average factor of safety of 1.5. The average
a. Show the meaning of , D, and m on a clearly water content of the clay in the vicinity of the cut
labeled sketch. is 50 percent. The excavation is planned to remain
b. Modify Eq. (12.43) and indicate the information open for a period of 4 months. Prepare a plot of
needed to permit prediction of creep rates for a strain rate versus time for an element of clay and
given soil at any value of water content and assess the probability of a creep rupture failure oc-
stress intensity from a knowledge of creep rates curring during this period.
at a single water content corresponding to dif-
ferent stress intensities. 5. Given that
c. Develop a relationship between stress intensity a. The creep rate of a soil, for times up to the onset
and time to failure for a soil subject to strength of failure, can be expressed by Eq. (12.43), in
loss under the application of a sustained stress. which D is the deviator stress, and
b. The time to failure by creep rupture, tƒ, can be
4. The results of triaxial compression creep tests on taken as the time corresponding to minimum
samples of overconsolidated Bay mud at three stress strain rate, ˙ min, prior to acceleration of defor-
mation and failure, and tests have shown that
XRupture
˙ mintƒ ⫽ constant
50
If a test embankment designed at a factor of
Water Content = 60% D = 100 kPa
40 safety of 1.05 based on shear strength deter-
Axial Strain (%)
Dmax = 125 kPa

mined in a short-term test fails in creep rupture
30 after 3 months, how long should it be before
D = 85 kPa failure of a prototype embankment having a fac-
20
tor of safety of 1.3? From a plot of deformation
rate versus time for the test embankment, it has
D = 68 kPa been found that m ⫽ 0.75. The results of short-
term creep tests have shown also that Dmax ⫽
0 6.0. The factor of safety is defined as the
1 10 100 1000 10,000 strength available divided by the strength that
Time (min) must be mobilized for stability.
6. Would you expect that creep and stress relaxation tration tests) can increase significantly over time pe-
will be significant contributors to the stress– riods as short as weeks or months following depo-
deformation and long-term strength of soils on the sition and/or densification. Outline a test program
Moon? Why? that might be done to test the validity of one of
these causes.
7. List possible causes of sand aging wherein the stiff-
ness and strength (usually as determined by pene-
List of Symbols
a area As specific surface area per unit weight of

a coefficient for harmonics solids
a cross-sectional area of a tube Å Angstrom unit ⫽ 1 ⫻ 10⫺10 m
a crystallographic axis direction or distance b coefficient of harmonics
a effective cluster contact area b crystallographic axis direction or distance
a volumetric air content b intermediate stress parameter
a thermal diffusivity B parameter in rate process equation ⫽
ac effective area of interparticle contact X(kT/h)
am coefficient of compressibility with respect B Bishop’s pore water pressure coefficient
to changes in water content Bq grain breakage parameter
at coefficient of compressibility with respect Br Hardin’s relative breakage parameter
to changes in ( ⫺ ua) c cohesion
av coefficient of compressibility in one di- c cohesion intercept in total stress
mensional compression c concentration
A activity c molar concentration
A area c crystallographic axis direction or distance
A creep rate parameter c undrained shear strength
A cross section area normal to the direction c velocity of light
of flow c cohesion intercept in effective stress
A Hamaker constant c0 equilibrium solution concentration, bulk
A long-range interparticle attractions solution concentration
A Skempton’s pore pressure parameter c0⫹ cation equilibrium solution concentration
A thermal diffusivity c0⫺ anion equilibrium solution concentration
A van der Waal’s constant ca mid-plane anion concentration
A short-range attractive stress ce, ce Hvorslev’s cohesion parameter
A pore pressure parameter ⫽ u/ cec cation exchange capacity
(1 ⫺ 3) cic, cc mid-plane cation concentration
A0 concentration of charges on pore wall ci 0 equilibrium solution concentration
A0 surface charge density per unit pore vol- cm mid-plane concentration
ume cm mid-plane anion concentration
Ac solid contact area cu undrained shear strength
Aƒ area of flow passages cv coefficient of consolidation
Aƒ pore pressure parameter at failure cw concentration of water
Ah Hamaker constant C capacitance
Ai state parameter in disturbed state C chemical concentration
Ai total surface area of the ith grain C clay content by weight
A0i state parameter at equilibrium C composition
523
524 LIST OF SYMBOLS
C electrical capacitance ecs void ratio at critical state

C short-range repulsive force between con- eƒƒ void ratio at failure
tacting particles eg, eG void ratio of the granular phase, granular
C soil compressibility void ratio
C speed of light in vacuum or in air, 3 ⫻ eini initial void ratio
108 m/sec eL void ratio at liquid limit
C volumetric heat emax maximum void ratio
C volumetric heat capacity emin minimum void ratio
Cc compression index ep intercluster void ratio
C*
c intrinsic compression index eT total void ratio
Cl compressibility of pore fluid E experimental activation energy
Cn coordination number E potential energy
CR compression ratio E Young’s modulus
CRR cyclic resistance ratio E voltage, electrical potential
Cs compressibility of a solid E50 secant modulus at 50 percent of peak
Cs shape coefficient strength
Cs swelling index Emax small strain Young’s modulus
Cu coefficient of uniformity Er rebound modulus
Cu compressibility of soil skeleton by pore ESP exchangeable sodium percentage
pressure change E( ) distribution function for interparticle con-
CW compressibility of water tact plane normals
C, Ce coefficient of secondary compression ƒ force acting on a flow unit
d diameter ƒ frequency
d distance ƒi fraction of particles between two sizes
d10 sieve size that 10% of the particles by ƒn normal force
weight pass through ƒt tangential force
d60 sieve size that 60% of the particles by F force of electrostatic attraction
weight pass through
F formation factor
dx incremental horizontal displacement at
F free energy
peak
F freezing index
dy incremental vertical displacement at peak
F pressure-temperature parameter
D diameter of particle
F tensile strength
D dielectric constant, relative permittivity
D diffusion coefficient F, F0 Faraday constant ⫽ 96,500 coulombs
D deviator stress F partial molar free energy on adsorption
D stress level ⫽ D/Dmax Fd free energy of the double layer per unit
D0 molecular diffusivity of water vapor in air area at a plate spacing of 2d
D0 self-diffusion coefficient F free energy of activation
D50 sieve size that 50% of the particles by FE electrical force per unit length
weight pass through FH hydraulic seepage force per unit length
Deƒƒ effective diameter causing flow
DeV isothermal vapor diffusivity FI fabric index
Dmax strength at the beginning of creep F⬁ free energy of a single non-interacting
DR, Dr relative density double layer
Ds characteristic grain size g acceleration due to gravity
DTV thermal vapor diffusivity G shear modulus
D* effective diffusion coefficient G source-sink
e electronic charge ⫽ 4.8029 ⫻ 10⫺10 esu G1000 shear modulus measured after 1000
⫽ 1.60206 ⫻ 10⫺10 minutes of constant confining pressure
coulomb Gg shear modulus of grains
e void ratio Gmax small strain shear modulus
e0 initial void ratio Gs secant shear modulus
e*100 intrinsic void ratio under effective vertical Gs specific gravity of soil solids
stress of 100 kPa GSC specific gravity of clay particles
ec intracluster void ratio GSG specific gravity of the granular particles
LIST OF SYMBOLS 525
h head or head loss K double-layer parameter ⫽
h relative humidity of air in pores (8n0e2v2 /DRT)1 / 2
h Planck’s constant ⫽ 6.624 ⫻ 10⫺27 erg sec K pore shape factor
hm matrix or capillary head K rate of increase in tip resistance in loga-
hs osmotic or solute head rithmic time
H maximum distance to drainage boundary K0 coefficient of lateral earth pressure at rest
H stress history Ka coefficient of active earth pressure
H thickness Kc principal stress ratio
H total head Kc principal stress ratio during consolidation
H water transport by ion hydration Kd distribution coefficient
H partial molar heat content Kp coefficient of passive earth pressure
i gradient Kso stress-optical material constant
i unit vector K wavelengths of monochromatic radiation
ic chemical gradient l length
ie electrical gradient l material thickness
ih hydraulic gradient l total number of pore classes
it thermal gradient L latent heat of fusion
I electrical current L length
I intensity Lij coupling coefficient or conductivity coef-
I1, I2, I3 stress invariants ficient
IG coefficient of shear modulus increase with LI liquidity index
time LIeq equivalent liquidity index
IR dilatancy index LL liquid limit
Iv void index Ls latent heat of fusion of water
Jc chemical flow rate m slope of relationship between log creep
JD chemical flow rate strain rate and log time
Ji flux of constituent i m total mass per unit total volume
Ji value of property i in clay-water system m total number of pore classes
Js flow rate of salt relative to fixed soil layer mc mass of clay
Jv volume flow rate of solution ms compressibility of mineral solids under
Jw flow rate of water hydrostatic pressure
J 0i value of property i in pure water ms compressibility of mineral solids under
k Boltzmann’s constant ⫽ 1.38045 ⫻ concentrated loadings
10⫺23 J/ K mv compressibility
k hydraulic conductivity, hydraulic perme- mw compressibility of water
ability mw mass of water
k mean coordination number of a grain M constrained modulus or coefficient of vol-
k selectivity coefficient ume change
k thermal conductivity M metal cations
k true cohesion in a solid M monovalent cation concentration
k0 pore shape factor n concentration, ions per unit volume
kc osmotic conductivity n harmonic number
ke electro-osmotic conductivity n integer
kh hydraulic conductivity n number of grains in an ideal breakage
ki constant characteristic of a property plane
kr relative permeability n porosity
ks saturated conductivity n total number of pore classes
k(S) saturation dependent hydraulic conductiv- n unspecified atomic ratio
ity n0 concentration in external solution
kt thermal conductivity n1 number of bonds per unit of normal force
k unsaturated hydraulic conductivity ne effective porosity
K absolute permeability or intrinsic perme- ni Refractive index in i direction
ability N Avogadro’s number ⫽ 6.0232 ⫻ 1023
K bulk modulus mole⫺1
526 LIST OF SYMBOLS
N coordination number q degree of connectivity between water-

N monovalent cation concentration conducting pores
N normal load or force q deviator stress
N number of moles of hydration water per q flow rate
mole of ion q hydraulic flow rate
N number of particles per cluster in a cluster qc CPT tip resistance
structure qcs deviator stress at critical state
N number of weeks since disturbance qƒ deviator stress at failure
N total number of harmonics qh hydraulic flow rate
N1 number of load cycles to cause liquefac- qhc osmotic flow rate
tion qhe electro-osmotic flow rate
Ne number of load cycles qi concentration of solids
NG normalized shear modulus increase with qt heat flow rate
time qvap vapor flux density
Ns moles of water per unit volume of sedi- qw water flow rate
ment Q electrical charge
Nw moles of salt per unit volume of sediment Q quantity of heat
OCR overconsolidation ratio r pore radius
p constant that accounts for the interaction r radius
of pores of various sizes rk ratio of horizontal to vertical hydraulic
p hydrostatic pressure conductivities
p matrix or osmotic pressure rp pore size
p pressure rp tube radius
p partial pressure of water vapor in pore R coefficient of roundness
space R electrical resistance
p vertical consolidation pressure R gas constant ⫽ 1.98726 cal/ K-mole
p mean effective pressure 8.31470 joules/ K-mole
po present overburden pressure 82.0597 cm3 atm/ K-mole
pa atmospheric pressure R long-range repulsion pressure
pc preconsolidation pressure R ratio of cations and anions
pcs mean effective pressure at critical state R source or sink mass transfer term
ps osmotic or solute pressure R sphere radius
pz gravitational pressure R tube radius
P area Rd retardation factor
P bond strength per contact zone RH hydraulic radius
P concentration of divalent cations Rp average particle radius
P power consumption R() radius at angle
P total gas pressure in pore space s slope of stress relaxation curve
P total pressure su undrained shear strength
P wetted perimeter S entropy
Pc capillary pressure S fraction of molecules striking a surface
P̂c capillary pressure at air entry that stick to it
Pƒ injection pressure that causes clay to frac- S number of flow units per unit area
ture S partial molar entropy
PI plasticity index S saturation
Pinj injection pressure S specific surface area per unit volume of
PL plastic limit solids
PN probability distribution of normal contact S structure
force S swell
PR peak ratio S partial molar entropy
Ps swelling pressure S0 specific surface per unit volume of soil
PT probability distribution of tangential con- particles
tact force SAR sodium adsorption ratio
LIST OF SYMBOLS 527
St sensitivity V volume
Su undrained shear strength V0 initial volume
Sw water saturation ratio VA attractive energy
Sx, Sy, Sz projected areas of interparticle contact VDR volume of water drained
surfaces VGS volume of granular solids
t average thickness Vm total volume of soil mass
t tetrahedral coordinations Vp compression wave velocity
t time VR repulsive energy
t transport number Vs shear wave velocity
t1 reference time Vs volume of solids
tƒ time to failure Vw partial molar volume of water
tm time for adsorption of a monolayer Vw volume of water
T intercluster tortuosity w water content
T shear force wL, wl liquid limit
T temperature wP, wp plastic limit
T time factor W water content
T0 initial temperature W width
Tc intracluster tortuosity W fluid volume
Tc temperature at consolidation W water transport
TFP freezing temperature W weight
Ts surface temperature x distance from the clay surface
Ts temperature of shear for consolidated un- X distance
drained direct shear tests X friction coefficient
TV time factor Xi driving force
u excess pore pressure y potential function ⫽ ve /kT
u ionic mobility z direction of gravity
u midplane potential function z distance from drainage surface
u pore water pressure z electrolyte
u pore water pressure in the interparticle z ionic valence
zone Z elevation or elevation head
u pressure Z number of molecules per second striking
u thermal energy a surface
u* effective ionic mobility Z potential function ⫽ 'e0 /kT
u0 initial pore pressure angle between b and c crystallographic
u0 pore water pressure remote from the in- axes
terparticle zone directional parameter
Uƒ pore pressure at failure disturbance factor
U average degree of consolidation geometrical packing parameter
v flow velocity inclination of failure plane to horizontal
v frequency of activation plane
v ionic valance slope of the relationship between loga-
v settling velocity rithm of creep rate and creep stress
v specific volume ⫽ 1 ⫹ e thermal ratio
vave average flow velocity tortuosity factor
vc0 specific volume of the pure clay G normalized strain rate parameter
vcs specific volume at critical state s thermal expansion coefficient of soil sol-
vh apparent water flow velocity ids
V area ST thermal expansion coefficient of soil
V difference in self-potentials structure
V electrical potential w thermal expansion coefficient of water
V speed angle between a and c crystallographic
V valence axes
V voltage birefringence ratio
528 LIST OF SYMBOLS
disturbance factor ˙ shear strain rate

geometrical packing parameter c applied shear strain or cyclic shear strain
rotation angle of yield envelope amplitude
0, i constant characteristic of the property and d dry unit weight
the clay % double layer charge
Bishop’s unsaturated effective stress pa- % specific volume intercept at unit pressure
rameter dynamic viscosity
clay plate thickness measured between fraction of pore pressure that gives effec-
centers of surface layer atoms tive stress
deformation parameter in Hertz theory 0 initial anisotropy
displacement, distance ! swelling index
solid fraction of a contact area ! real relative permittivity
relative retardation !ⴖ polarization loss, imaginary relative per-
p particle eccentricity distance mittivity
dielectric constant, permittivity compression index
porosity correction coefficient for frost depth pre-
strain diction equation
˙ strain rate damping ratio
0 permittivity of vacuum, 8.85 ⫻ decay constant
10⫺12 C2 /(Nm2) pore size distribution index
1 axial strain separation distance between successive
˙ a vertical strain rate in one dimensional positions in a structure
consolidation wave length of X ray
ƒ strain at failure wave length of light
˙ min minimum strain rate cs critical state compression index
rd volumetric strain that would occur if chemical potential
drainage were permitted coefficient of friction
s deviator strain dipole moment
˙ s deviator strain rate fusion parameter
v volumetric strain Poisson’s ratio
˙ v volumetric strain rate viscosity
E energy dissipated per cycle per unit vol- ( critical state stress ratio
ume Poisson’s ratio
friction angle b Poisson’s ratio of soil skeleton
local electrical potential osmotic or swelling pressure
friction angle in effective stress angle of bedding plane relative to the
b angle defining the rate of increase in shear maximum principal stress direction
strength with respect to soil suction contact angle
c characteristic friction angle geometrical packing parameter
crit
friction angle at critical state liquid-to-solid contact angle
e, e Hvorslev friction parameter orientation angle
ƒ friction angle corrected for the work of volumetric water content
dilation m volumetric water content at full saturation
m peak mobilized friction angle r residual water content
r residual friction angle s volumetric water content at full saturation
repose angle of repose bulk dry density
v apparent specific volume of the water in charge density
a clay/water system of volume V mass density
, intergrain sliding friction angle d bulk dry density
# dissipation function T resistivity of saturated soil
activity coefficient w density of water
angle between a and b crystallographic W resistivity of soil water
axes area occupied per absorbed molecule on
unit weight a surface
LIST OF SYMBOLS 529
double-layer charge v vertical stress
electrical conductivity v vertical effective stress
entropy production v0 overburden vertical effective stress
normal stress v0 overburden effective stress
surface tension of water vm maximum past overburden effective stress
surface charge density vp vertical preconsolidation stress
total stress W electrical conductivity of pore water
effective stress ws interfacial tension between water and
0 initial effective confining pressure solid
1 major principal total stress y yield strength
1 tensile strength of the interface bond circumferential stress
1 major principal effective stress shear strength
1c major principal stress during consolida- shear stress
tion surface tension
1ƒ major principal stress at failure swelling pressure or matric suction
1ƒƒ major principal effective stress at failure undrained shear strength
2 intermediate principal effective stress a apparent tortuosity factor
3 minor principal total stress c applied shear stress
3 minor principal effective stress c contaminant film strength
3c minor principal stress during consolida- cy undrained cyclic shear stress
tion d drained shear strength
3ƒƒ minor principal effective stress at failure ƒƒ shear stress at failure on failure plane
a axial effective stress i shear strength
ac axial consolidation stress i shear strength of contact
as interfacial tension between air and solid m shear strength of solid material in yielded
aw interfacial tension between air and water zone
c crushing strength of particles peak applied shear stress at peak
c tensile strength of cement initial static shear stress
e electrical conductivity ' mass flow factor
e equivalent consolidation pressure ' cation valence
eƒƒ effective AC conductivity distance function ⫽ Kx, double-layer the-
ƒ partial stress increment for fluid phase ory
ƒ effective normal stress on shear plane ratio of average temperature gradient in
ƒƒ normal total stress on failure plane air filled pores to overall temperature gra-
ƒƒ normal effective stress on failure plane dient
h electrical conductivity due to hydraulic dilation angle
flow electrical potential
h0 initial horizontal effective stress intrinsic friction angle
i effective stress in the i-direction matric suction
i intergranular stress 0 surface potential of double layer
i isotropic consolidation d displacement pressure
iso isotropic total stress electrical potential
max maximum principal stress state parameter
min minimum principal stress total potential of soil water
n effective normal stress 0 electrical potential at the surface
p preconsolidation pressure s gravitational potential
r radial total stress m matrix or capillary potential
r radial effective stress p gas pressure potential
rc radial consolidation stress s osmotic or solute potential
s conductivity of soil surface " angular velocity
s partial stress increment for solid phase " frequency
s tensile strength of the sphere " osmotic efficiency
T electrical conductivity of saturated soil true electroosmotic flow
T , t tensile strength of cemented soil zeta potential
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Fundamentals of

JOHN WILEY & SONS, INC.

Library of Congress Cataloging-in-Publication Data:

Printed in the United States of America

CHAPTER 2 SOIL FORMATION 5

CHAPTER 3 SOIL MINERALOGY 35

3.20 Summary of Clay Mineral Characteristics 65

CHAPTER 4 SOIL COMPOSITION AND ENGINEERING PROPERTIES 83

CHAPTER 5 SOIL FABRIC AND ITS MEASUREMENT 109

CHAPTER 6 SOIL–WATER–CHEMICAL INTERACTIONS 143

CHAPTER 7 EFFECTIVE, INTERGRANULAR, AND TOTAL STRESS 173

CHAPTER 8 SOIL DEPOSITS—THEIR FORMATION, STRUCTURE,

CHAPTER 9 CONDUCTION PHENOMENA 251

9.11 Simultaneous Flows of Water, Current, and Chemicals 279

CHAPTER 10 VOLUME CHANGE BEHAVIOR 325

CHAPTER 11 STRENGTH AND DEFORMATION BEHAVIOR 369

CHAPTER 12 TIME EFFECTS ON STRENGTH AND DEFORMATION 465

List of Symbols 523

is not the case; in fact, it is for these very reasons that

2.1 INTRODUCTION (acid) rocks predominate beneath the continents, and

Other <1% Other <1%

23 olivine crystallizes from igneous rock magma at high

Physical Processes of Weathering

1. Unloading Cracks and joints may form to

Name Chemical Formula Characteristics

lution. Oxalic acid (C2O4H2), the chelating agent, re-

Oxidation of Fe(OH)2 gives

4Fe(OH)2 ⫹ O2 ⫹ 2H2O → 4Fe(OH)3

The H2SO4 formed in these reactions rejuvenates

CaMg(CO3)2 ⫹ 2CO2 ⫹ 2H2O

The dissolved components can be carried off in

Table 2.3 Morphoclimatic Zones and the Associated Geomorphologic Processes

In situ weathering processes lead to a sequence of ho-

Humus and Thin or absent

Sandstone, Thin leached zone

(a) (b) (c)

Table 2.5 Comparison of Sediment Transport Agents

Figure 2.11 Schematic diagram of sediment concentration with depth in a transporting

Figure 2.12 (Continued )

Table 2.6 Effects of Transportation on Sediments

Water Air Ice Gravity

Figure 2.14 Vertical section through varved clay from the

Figure 2.16 Biochemical sediments: (a) Dogs Bay calcium

environments (Locat et al., 2003). Characteristic soil

Table 2.7 Depositional Environment of Various Soil Deposits

Deposits Environment Type Texture

Figure 2.18 Clay characteristics at Manglerud in Oslo, Norway (Bjerrum, 1954).

iation characteristics similar to those of the Thames Consolidation and Densiﬁcation

Leaching, Ion Exchange, and Differential Solution Biological Effects

3.2 ATOMIC STRUCTURE 3.3 INTERATOMIC BONDING

Current concepts of atomic structure and interparticle Primary Bonds

Figure 3.3 Simpliﬁed representation of an atom.

3.5 CRYSTALS AND THEIR PROPERTIES

Particles composed of mineral crystals form the

1. From Solution Ions combine as they separate

densely packed. This is because the center-to-

Isometric or Cubic System There are three mutu-

Figure 3.8 (Continued )

3.12 SUMMARY OF NONCLAY MINERAL

3.13 STRUCTURAL UNITS OF THE LAYER

Figure 3.11 Sand and silt size particle shapes as seen in

four oxygens in each tetrahedron are shared to form a

Table 3.3 Major Constituents of Seawater and Evaporite Deposits