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A New Hypothesis on Ice Lens Formation in Frost-Susceptible Soils

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 A New Hypothesis on Ice Lens Formation in Frost-Susceptible Soils
Lukas U. Arenson
BGC Engineering Inc., Vancouver, BC
Tezera Firew Azmatch
UofA Geotechnical Centre, Department of Civil and Environmental Engineering – University of Alberta,Edmonton, AB,
Canada
David C. Sego
UofA Geotechnical Centre, Department of Civil and Environmental Engineering – University of Alberta,Edmonton, AB,
Canada

Abstract
Generally it is accepted that frost heave is a one-dimensional process assuming that the ground conditions are
homogeneous and the temperature gradient is one-dimensional. Unfrozen water is attracted to the base of the warmest
ice lens for it to grow. Recent laboratory investigations suggest that the growth of ice lenses is more complex. Vertical
ice veins form through the frozen fringe in a regular, hexagonal pattern reaching the freezing front. Based on these
observations, a new hypothesis for ice lens formation is suggested. As suction builds within the frozen fringe, thin
vertical cracks form that do not completely fill with ice, allowing a thin film of water to migrate from the unfrozen
zone to the warmest ice lens. The existence of these vertical channels helps explain the measured ice lens growth
considering the decreasing hydraulic conductivity in the frozen fringe as voids fill with ice. The tensile strength and
the stress state of the soil that governs the crack pattern, therefore, control the ice lens growth and hence frost heave.

Keywords: frost heave; frost susceptibility; ice lens formation; hexagonal cracks.

Introduction It is further thought that this new hypothesis may explain

Saturated fine grained soils are known to form horizontal
ice lenses when subjected to sub-zero temperatures. These ice
lenses change the structure of the soil, generally associated
with frost heaving. This change in structure as well as the
expansion of these so-called frost-susceptible soils hasve to
be taken into consideration when encountering such a soil as
a construction or foundation material.
Phenomena associated with frost-susceptible soils have
long been recognized by many researchers (e.g., Beskow
1935, Miller 1973, Penner 1959, Penner 1972, Taber 1929,
Taber 1930). The basic mechanisms involved in frost heave
were identified in the early days based on experimental
evidences. Ice lenses form at a certain distance above the
freezing front, and water from the unfrozen zone migrates
towards the ice lens. Under thermal steady state the warmest
ice lens continues to grow as long as water is available.
Under transient conditions (penetrating frost front) the ice
lens grows until, under some conditions still being debated,
a new ice lens starts to form at a location below the initial
one. By eliminating the water accessibility or reducing the
hydraulic conductivity of the soil, frost heave is significantly
reduced. In other words, the water migration towards the ice
lens and its amount are the governing factors that contribute
to ice lens development and frost heave under thermal steady
state.
Based on experimental evidence this paper proposes a
new hypothesis on ice lens growth, in particular on how
water migrates towards the growing ice lens. The hypothesis
assumes that the water migration from the unfrozen zone
towards the ice lens is not a simple one-dimensional process.
the phenomenon of frost heave better and may help in better
quantifying the frost susceptibility and frost heave potential
of freezing ground.
Ideas Behind Frost Heave Theories
Several theories and ideas have been proposed over the
years that describe the thermodynamic processes involved
in frost heave. Henry (2000) presents a thorough overview
of available frost heave concepts. To date two main concepts
are widely used to predict frost heave: (1) the segregation
potential (SP) concept that was introduced by Konrad
& Morgenstern (1980, 1982) and (2) the discrete ice lens
theory proposed by Nixon (1991), which is an extension and
modification of the rigid ice model by Gilpin (1980) and
O’Neill & Miller (1985). Figure 1 shows the idealized frost
heave concept generally used. Under a constant thermal
gradient, the warm side of the ice lens at a certain time is
at a temperature Tl slightly colder than the temperature at
the pore freezing front at the base of the frozen fringe, the
partially frozen zone between the warmest ice lens and the
freezing front. Water migrates through the unfrozen zone
and the frozen fringe towards the warm side of the ice lens.
Under saturated condition it can be assumed that the increase
in pore water pressure in the unfrozen zone with depth is
constant. At the interface between the ice lens and the water,
the thermodynamic equilibrium requires that free energy
of the ice equals that of the water. By using the Clapeyron
equation, the suction at the interface between the ice and the
water can be calculated. For example, if the temperature at
the bottom of the ice lens is -0.1°C, the suction is -125 kPa

59
60   Ninth International Conference on Permafrost
0 ºC
Tc Tl
frozen soil with
ice lenses
ice lens Pf
frozen fringe
water migration
unfrozen soil
Tw
Temperature
Figure 1. Temperature gradient and pore water pressure distribution
und an idealized, one-dimensional ice lens growth scenario after
Konrad (1989) and Nixon (1991). Significant suction is noted in
the frozen fringe.
and for -0.2°C, the suction is -250 kPa. In order to satisfy the
thermodynamic equilibrium, significant suction is required
that rapidly decreases within the frozen fringe (Fig. 1).
Experimental Evidence
Recently a series of frost heave tests have beenwere carried
out at the University of Alberta using novel visualization
techniques. The one-dimensional freezing tests were
performed on frost-susceptible Devon silt (Xia 2006). High
resolution digital images were further utilized to measure ice
lens growth with time under different temperature and stress
conditions. Later, particle image velocimetry was applied
to measure ice lens growth and soil consolidation during
freezing on a microscopic scale (Arenson et al. 2007).
Ice lens structure and growth
The freezing tests clearly demonstrated that ice lens
growth is not a simple one-dimensional process, but rather
more complex. A snapshot from an early freezing stage (Fig.
2) shows that vertical ice veins precede the formation of the
horizontal ice lens. The thin vertical ice vein nearly reaches
down to the unfrozen zone through the frozen fringe. Even
though the ice veins are not necessarily continuous, they
grow more or less vertically on a continuous line. The thin
nature of the ice veins makes them difficult to extract using
digital image techniques (Fig. 3). However, it can be noted
that the thickness of the ice veins does not change much with
time in contrast to horizontal ice lenses.
The vertical ice lens structure was also observed when the
sample was split at the end of the test (Fig. 4). The vertical ice
veins of the frozen segment where well attached to the upper
half, whereas a crack pattern was observed in the unfrozen
half. The separation of the two halves occurred just below
the final horizontal ice lens. In other words one sees on top
of the frozen fringe when looking at the unfrozen section
Pu
P0 Figure 2. Original and modified image of ice lenses during one-
Pore water pressure dimensional freezing. The image was taken early during a freezing
test at a high cooling rate. Scale in mm (after Xia, 2006).
(e.g., Fig. 4 right). The fact that the unfrozen part could be
separated easily from the frozen part with the vertical ice
veins attached to the frozen side indicates that there is only a
weak bond between the unfrozen soil and the ice within the
frozen fringe.
Analysis of the cross section confirms observations that
were previously described during observations from the side
as the sample froze. A regular pattern of vertical ice veins is
formed along the height of the frozen section (Fig. 2). The
existence of the vertical ice veins that precede horizontal
ice lens formations is not a boundary effect occurring at the
outer limit of the circular freezing test. On the contrary, a
regular, hexagonal pattern forms throughout the whole cross
section. Similar patterns were observed by Mackay (1974,
McRoberts & Nixon 1975) for lake and marine clays, glacial
tills, and mudflow deposits in permafrost areas of northern
Canada. They also provide some theories of the reticulate ice
lens growth mainly based on the idea of water being sucked
from the clay resulting in suction cracks. Chamberlain and
Gow (1979) also presented images of frozen silt that show
the reticulate ice structure. They further suggest that there
is a direct connection between the vertical ice veins and the
vertical hydraulic conductivity of the freezing and frozen
soil. However, no evidence or connection is shown between
the vertical ice veins and the horizontal ice lenses.
The hexagonal pattern that was observed in the frozen
fringe, i.e. the unfrozen side of the sample has a very
strong resemblance to drying soils (Fig. 5). The size of the
hexagonal elements in the freezing tests further depends
on initial conditions, such as consolidation pressure or
pore water salinity, and the boundary condition, such as
temperature gradient or water availability. Figure 6 shows
cross sections from three additional freezing tests. Test #1
(Fig. 4) was consolidated at a vertical pressure of 100 kPa,
but frozen at 0 kPa pressure. Tests #4, #5, and #6 in Figure
6, on the other hand, were frozen under the consolidation
pressures of 100 kPa, 200 kPa and 400 kPa, respectively.
The horizontal ice lens and the frost heave rates decreased
with increasing consolidation pressure as expected. In

Figure 3. Digitally extracted ice lens structure with time for freezing test. The sequence shows the initiation of the final ice lens (Arenson et
al. 2007).
addition, a change in the vertical ice structure can be noted.
The size of the hexagonal elements increases with increasing
pressure, i.e. the distance between the vertical ice veins
increases. This was also visible in the pictures taken from
the side of the freezing cell. The change in element size can
be quantified by counting the number of full elements within
a 50 mm x 50 mm square in the centre of the cross section.
Even though the measure is quite rough it shows that with
decreasing number of elements, i.e. increasing distance
between the vertical ice veins, the final ice lens growth rate
decreases. Test #1 and #4 showed similar heave rates of
2.64·10-6 mm/s and Test #5 and #6 displayed values of 1.53
and 1.51·10-6 mm/s, respectively (Xia 2006). The element
count gives 18, 17, 11 and 10 hexagonal elements in the
centre of the cross section. Even though only four tests are
available the trend is convincing.
Hydraulic conductivity and water demand
The one-dimensional ice lens growth hypothesis assumes
that all the water at the base of the growing ice lens migrates
from the unfrozen soil through the partially frozen soil in
the frozen fringe. Experiments on the hydraulic conductivity
of partially frozen soils have shown that the permeability
decreases rapidly as soon as pore ice forms (Aguirre-Puente
and Gruson, 1983; Chamberlain and Gow, 1979; Konrad and
Samson, 2000a; Konrad and Samson, 2000b; Williams and
Burt, 1974). This reduction is caused by the decrease in void
ratio as the pore water freezes and water migration to an ice
lens is hindered. Williams and Burt (1974) present data for
hydraulic conductivities k of silt as a function of temperature
that show the rapid decrease in k from 10-6 m/s at -0.1°C
to 10-11 m/s at -0.4°C, i.e. 5 orders of magnitude for 0.3°C
temperature change. This decrease is not linear. A decrease
of four orders of magnitude was actually recorded for the
temperature drop from -0.1°C to -0.2°C. Similar trends
were obtained by Horoguchi & Miller (1980). They further
show a hysteresis effect that depends on whether the silt
undergoes freezing or thawing. The hydraulic conductivities
of the frozen silt (4-8µ) measured by Horoguchi & Miller
(1980) ranged from 2·10-8 m/s (0°C) to 10-12 m/s (-0.15°C).
The rate of Williams & Burt (1974) are probably affected
by the presence of lactose used in their experimental
Arenson, Azmatch, and Sego   61  
setup, indicating the challenges in measuring the hydraulic
conductivity for partially frozen soils.
The authors are not aware of any experimental study that
measures the hydraulic conductivity in the frozen fringe. A
simple approach is therefore used to estimate the change in
hydraulic conductivity k within the frozen fringe based on
the soil-water characteristic curve (SWCC). Because the
freezing process is somewhat similar to the drying process,
the SWCC approach was judged to be suitable to estimate
this change. The problem of using temperature dependent
approximations, such as the temperature dependent
permeability function suggested by Gilpin (1980), is that
three-dimensional effects are excluded, and vertical flow of
water from the unfrozen zone towards the growing ice lens
is implied.
The Devon silt used for these investigations has an
unfrozen, saturated hydraulic conductivity of 9.9·10-10 m/s
at an effective stress of 100 kPa. The moisture content at
saturation was 26% with a porosity n of 40% (Xia, 2006).
The volumetric water content changes in the frozen fringe
when suction builds up (Fig. 1). Hence, the hydraulic
conductivity changes. The hydraulic conductivity can, for
example, be calculated after Fredlund and Xing (1994). The
following parameters were utilized to calculate the hydraulic
conductivity distribution (Fig. 7):
a = 1.948 parameter for Fredlund and Xing (1994)
n = 2.708 "
m = 1.084 "
ksat = 9.9 x 10-10 m/s saturated hydr. conductivity
θ = 15.6% saturated vol. water content
The water requirement at the final ice lens can be calculated
from the ice lens growth rate. For test #1 2.9 x 10-9 m3/s
has to migrate from the unfrozen zone through the frozen
fringe. Konrad (1994) showed that for temperatures close to
0°, theoretically the suction at an ice lens under atmospheric
pressure increases linearly with decreasing temperature at
a rate of 1250 kPa/°C. In test #1, a temperature gradient
of 0.058°C/mm is applied at thermal steady state. With a
frozen fringe thickness of 6 mm, the suction at the ice lens
base is estimated to 438 kPa to satisfy the thermodynamic
62   Ninth International Conference on Permafrost
Figure 4. Hexagonal structure of the vertical ice lenses. The frozen
section is on the left, the unfrozen section on the right. The sample
diameter is about 100 mm (Xia 2006).
Figure 5. Cracked earth inside the Ubehebe Crater, California
(www.tawbaware.com).
Figure 6. Cross sections after freezing for tests under different
vertical pressure: #4: 100 kPa, #5: 200 kPa, #6: 400 kPa.
equilibrium. In an unfrozen state such suction would reduce
the hydraulic conductivity in the Devon silt by more than
70%.
In order to estimate the amount of water flowing through
the frozen fringe, an average value had to be determined.
The average hydraulic conductivity kmv can be calculated
by assuming flow through a series of layers with changing
hydraulic permeability and using Equation 1:
k mv
¦d i (1)
d (1)
¦k i
i
Where di is the layer thickness and ki the permeability.
An exponential decrease in pore water pressure is further
assumed in the frozen fringe towards the ice lens with no
suction at the freezing front. This is a conservative approach
since suction is most likely to penetrate into the unfrozen
soil (Seto & Konrad 1994). Under these conditions, kmv =
1.7 x 10-16 m/s, and a minimum of 8 x 10-18 m/s at the ice
lens is determined for the frozen fringe in test #1 (Fig. 8).
Utilizing Darcy’s law a hydraulic gradient can be estimated.
The average hydraulic gradient required in order to attract
the necessary amount of water would be 17 x 106. This is
significantly higher than the hydraulic gradient (~7000) that
can be generated over the frozen fringe with a suction of
438 kPa.
Using the suction development at the ice lens and the
SWCC may underestimate the hydraulic conductivity of the
soil. However, even if the minimum hydraulic conductivity
was capped at 1 x 10-14 m/s, the gradient would be in the
order of 80,000. Such a cap would represent values measured
for hydraulic permeability in frozen soils (Williams & Burt
1974).
Even though several assumptions had to be made that
need further confirmation, and it may even be possible that
the suction generated at the ice lens is capable of attracting
enough water towards the ice lens, some concerns remain.
If the suction reaches values of approximately 900 kPa it is
possible that cavitation occurs under atmospheric conditions,
i.e. as it reaches its vapor pressure, the pore fluid vaporizes
and forms small bubbles of gas. According to the authors’
knowledge no experimental evidence is available that shows
the formation of gas bubbles at an ice lens.
New Ice Lens Growth Hypothesis
Based on recent laboratory investigations a new concept
behind ice lens growth and frost heave is proposed. In 1979,
Chamberlain & Gow (1979) presented similar ideas and
experimental evidences. They showed that freezing and
thawing caused a reduction in void ratio and an increase in
vertical conductivity. The later was attributed to the formation of
polygonal shrinkage cracks. However, no definite relationship
could be established and the mechanisms observed have not
been connected to ice lens formation and growth.
The new idea is based on water flow along vertical ice

1E-08
1E-09
1E-10
Hydraulic conductivity (m/s)
1E-11
1E-12
1E-13
1E-14
1E-15
1E-16
1E-17
1E-18
1E-19
0.01 0.1 1 10 100 1000
Matric suction (kPa)
Figure 7. Hydraulic conductivity as a function of suction. Curve
determined after Fredlund and Xing (1994).
veins. As suction builds within the frozen fringe and the
unfrozen soil below the freezing front, the soil reaching its
tensile strength resulting in thin vertical cracks. These cracks
Frozen fringe
are originally filled with water but will freeze rapidly as the
freezing front penetrates. Between the vertical ice vein and
the soil, a water film forms. This film is not the same as a
water film that would form around a soil particle at thermal
steady state, and may only be 60–100 nm thick at 0.1°C.
Instead of a one-dimensional water flow through the
frozen fringe, that has a low hydraulic conductivity, water
from the unfrozen zone migrates along the vertical ice
veins towards the growing horizontal ice lens. By assuming
laminar, incompressible, steady flow between two parallel
plates (e.g., Streeter and Wylie 1985), a layer of 3 µm and a
suction of 100 kPa would be enough to allow the necessary
amount of water flow towards the ice lens in test #1. This
simple calculation shows that significantly more water can
migrate from the unfrozen soil to the growing ice lens along
these ice veins at a much lower suction gradient than if it has
to migrate through partially frozen pores of the frozen fringe.
The thickness of the vertical ice lens did not change with
time. It is assumed that no ice accumulation occurs because
of the moving water film at the interface between the soil
and the ice. Further, there is no major heat loss perpendicular
to the ice vein that could lead to horizontal crystal growth.
Figure 9 shows a schematic of the flow scheme based on this
new concept.
Because water flow along vertical ice lenses controls the
amount of water that migrates through the frozen fringe,
it is basically the tensile strength of the soil at a certain
stress state that governs ice lens growth. In order to attract
sufficient water the suction may reach values that would
cause tension cracking of the soil below the warmest ice
lens. With a higher tensile strength, fewer vertical cracks
can form, and therefore a lower number of preferential flow
paths are available for water to migrate towards the ice lens.
The application of a vertical stress, for example, changes the
stress state of the Devon silt resulting in fewer cracks and
therefore slower frost heave.
Arenson, Azmatch, and Sego   63  
6
5
Frozen fringe height (mm)
4
3
2
1
0
1.00E-18 1.00E-16 1.00E-14 1.00E-12 1.00E-10 1.00E-08
Hydraulic conductivity (m/s)
Figure 8. Hydraulic conductivity in the frozen fringe.
Ice lens
Unfrozen water channel
Partially frozen / frozen pores
unfrozen
Figure 9. Water migration in freezing soils.
Conclusions
Based on experimental evidence a new hypothesis for a
frost heave mechanism is proposed. The existence of vertical
channels can explain the measured growth of the horizontal
ice lenses considering the consolidation and the decreasing
hydraulic conductivity in the frozen fringe. To date it is not
clear how these vertical ice veins and water channels form.
The tensile strength of the unfrozen soil may be reached
as suction occurs. In addition, strain compatibility in the
consolidation soil may also trigger the formation of vertical
cracks.
However, the stress state and tensile strength of a soil
basically govern ice lens growth because they controls the
number of vertical cracks and vertical ice lenses that form in
the frozen fringe.
A new series of one-dimensional freezing tests is currently
being carried out at the University of Alberta Geotechnical
Centre to improve our understanding of the hypothesis
presented. The relationship between the hexagonal element
sizes and frost heave rate will be studied in more detail using
different soils as well as saline pore water. Saline pore water
is known to change the size and shape of the ice lens pattern
as well as the frost heave behavior (Arenson et al. 2006). The
goal of this future research is to couple the tensile strength of
a soil directly with frost heave potential.
 64   Ninth International Conference on Permafrost
Even though intense research has to be carried out in the
future to support these ideas, the authors believe that it is time
to move from a one-dimensional frost heave model towards
a three-dimensional concept, even for one-dimensional
freezing conditions.
Acknowledgments
The authors wish to acknowledge the valuable contri-
butions obtained from three independent reviewers. They
would further like to thank Andy Take from Queen’s Uni-
versity for his support with the GeoPIV analysis. Tezera
Firew Azmatch appreciated the financial support through the
NSERC Discovery Grant held by Dr. Sego.
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