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Springer Theses
Recognizing Outstanding Ph.D. Research
Yongkang Wu
Multi-physics
Coupling Analysis of
Clayey Core Wall of
High Earth-Rockfill
Dam
Springer Theses
Recognizing Outstanding Ph.D. Research

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Yongkang Wu
Multi-physics Coupling
Analysis of Clayey Core Wall
of High Earth-Rockfill Dam
Doctoral Thesis accepted by
Tsinghua University, Beijing, China
123
Author Supervisor
Dr. Yongkang Wu Prof. Yuzhen Yu
State Key Laboratory of Hydroscience State Key Laboratory of Hydroscience
and Engineering, Department and Engineering, Department
of Hydraulic Engineering of Hydraulic Engineering
Tsinghua University Tsinghua University
Beijing, China Beijing, China
ISSN 2190-5053 ISSN 2190-5061 (electronic)

Springer Theses
ISBN 978-981-13-1031-7 ISBN 978-981-13-1032-4 (eBook)
https://doi.org/10.1007/978-981-13-1032-4
Library of Congress Control Number: 2018945086
© Springer Nature Singapore Pte Ltd. 2019

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Supervisor’s Foreword
It is my pleasure to introduce the Ph.D. thesis of Dr. Yongkang Wu for publication

in the series of Springer Theses. Dr. Wu started his research as a Ph.D. student
under my supervision in September 2011 and graduated in June 2016. During years
of study at Tsinghua University, Dr. Wu has achieved many achievements and
honors.
The work of this thesis focuses on the coupling analysis of seepage and con-
solidation problems in the clayey core wall of high earth-rockfill dams. In recent
years, many high earth-rockfill dams with heights of 200–300 m have been built in
China. For high earth-rock dams, the clayey core wall bears extremely complex
changes in stress, deformation, and saturation during construction and operation,
the seepage and consolidation behaviors of which become particularly important in
engineering practice. This topic was studied and discussed thoroughly in this thesis.
The mechanical properties of saturated–unsaturated compacted clayey soil were
experimentally studied. New theories and methods for saturated–unsaturated con-
solidation analysis considering the interactions between the seepage, the stress, the
deformation, the degree of saturation, etc., were developed. Moreover, an efficient
and practical finite element program for large-scale complex earth-rockfill dams
was developed and applied to the coupling analysis of seepage and consolidation in
a high earth-rockfill dam. The theories and methods help to reveal the behaviors of
compacted clayey soils under complex conditions of saturated–unsaturated, high
stress, large deformation, and high pore pressure.
This thesis work shows new helpful ideas and perspectives for analyzing
seepage and consolidation problems of high earth-rockfill dams as well as other
projects in geotechnical engineering, and it will be of interest to scholars working
on this topic.
Beijing, China Prof. Yuzhen Yu

April 2018
v
Abstract
The seepage and consolidation behaviors of the clayey core wall in high earth-rockfill
dams are significantly different from those in low dams, showing apparent
multi-physics coupling effects. In this dissertation, to decipher the coupling mech-
anism, the mechanical properties of unsaturated compacted clayey soil, the unsatu-
rated consolidation theory, and the multi-physics coupling analysis method are
investigated, and an efficient and practical finite element (FE) program for large-scale
complex high earth-rockfill dams is developed. The main work and contribution of
this dissertation are as follows:
(1) Saturated and unsaturated triaxial consolidated-drained (CD) tests are con-
ducted using the core material of gravelly clay from the Nuozhadu high
earth-rockfill dam to reveal the mechanical properties of the core material in
different saturation states. Due to the role of matric suction on the effective
stress, the strength and modulus of the unsaturated soil are significantly higher
than those of the saturated soil, especially under low confining pressures. The
unsaturated test simulates the actual state of the field core material under rolling
construction, and results indicate that the mechanical properties of the core
material will change significantly with the degree of saturation during con-
struction and impounding
(2) A multi-physics coupling analysis method for unsaturated seepage and consoli-
dation problems is established based on a simplified consolidation theory to char-
acterize the interactions between the physical-state field, the stress-deformation
field, and the seepage field in the core wall. In this method, core issues, such as the
calculation of effective stress, the modeling of soil permeability, and the constitutive
models, are also emphatically clarified.
(3) Based on the established coupling analysis method and the derived finite ele-
ment equations, a program for unsaturated seepage and consolidation analysis
is developed. Moreover, efficient solvers for large-scale linear equations, the
nonlinear iterative algorithm, and the under-relaxation method, are introduced
into the program to improve the accuracy, efficiency, and computational sta-
bility. Numerical examples of the program show that the matrix suction has
vii
viii Abstract
significant effects on the stress and deformation behaviors of the dam.

Compared with the traditional programs for saturated analysis, the program
developed in this dissertation has significant advantages.
(4) The multi-physics coupling analysis program is applied to analyze the seepage
and consolidation behaviors of the Nuozhadu high earth-rockfill dam. The
simulated spatial and temporal distributions of the pore-water pressure in the core
wall agree well with the field observation data, which implies the rationality
of the coupling consolidation analysis method and the validity of the FE pro-
gram. This program is suitable for large-scale three-dimensional consolidation
analyses of high earth-rockfill dams.
Keywords High earth-rockfill dam Multi-physics coupling Consolidation

Unsaturated Clayey core wall
Contents
1 Introduction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1
1.1 Background and Key Issues . . . . . . . . . . . . . . . . . . . . . . . . . . . . 1
1.1.1 Research Background . . . . . . . . . . . . . . . . . . . . . . . . . . . 1
1.1.2 Key Issues . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 2
1.2 Scope of the Dissertation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 3
References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 5
2 Review of the Relevant Research Progress . . . . . . . . . . . . . . . . . ... 7
2.1 Mechanical Properties of Compacted Unsaturated Clayey
Soils . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 7
2.1.1 Stress-State Variables . . . . . . . . . . . . . . . . . . . . . . . . . . . . 7
2.1.2 Strength Theory . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 13
2.2 Constitutive Models for Compacted Unsaturated Clayey Soils . . . . 16
2.2.1 Elastic Model . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 16
2.2.2 Elasto-plastic Models . . . . . . . . . . . . . . . . . . . . . . . . . . . . 17
2.3 Hydraulic Properties of Compacted Unsaturated Clayey
Soils . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . ... 18
2.4 Coupling Analysis Theories of Seepage and Consolidation
for Earth-Rock Dams . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 20
2.4.1 Consolidation Theories for Saturated Soils . . . . . . . . . . . . 21
2.4.2 Consolidation Theories for Unsaturated Soils . . . . . . . . . . 22
2.5 Summary . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 24
References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 25
3 Study on the Mechanical Properties of Clayey Core
Material . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 31
3.1 Test Material . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 31
3.2 Apparatus and Method for Triaxial Testing . . . . . . . . . . . . . . . . . 33
3.2.1 Testing Apparatus . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 33
ix
x Contents
3.2.2 Specimen Preparation . . . . . . . . . . . . . . . . . . . . . . . . . . . . 33

3.2.3 Experimental Scheme . . . . . . . . . . . . . . . . . . . . . . . . . . . . 34
3.3 Results of the Triaxial Tests . . . . . . . . . . . . . . . . . . . . . . . . . . . . 35
3.3.1 Saturated Test Results . . . . . . . . . . . . . . . . . . . . . . . . . . . 35
3.3.2 Unsaturated Test Results . . . . . . . . . . . . . . . . . . . . . . . . . 37
3.3.3 Comparison of the Test Results . . . . . . . . . . . . . . . . . . . . 38
3.4 Summary . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 40
4 Study on the Consolidation Theories for Unsaturated Soils . . . . . .. 43
4.1 Theory Basis and Basic Assumptions . . . . . . . . . . . . . . . . . . . .. 43
4.1.1 Stress-State Variables and the Unsaturated Consolidation
Theory . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .. 43
4.1.2 Basic Assumptions for the Simplified Consolidation
Theory . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .. 45
4.2 Calculation of the Pore-Air Pressure in the Simplified
Consolidation Theory . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .. 45
4.3 The Effective Stress in the Simplified Consolidation Theory
for Unsaturated Soils . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .. 49
4.4 The Continuity Equation of Pore Water . . . . . . . . . . . . . . . . . . .. 51
4.4.1 The Flow of Water in Unsaturated Soils . . . . . . . . . . . . .. 51
4.4.2 Governing Equation for Saturated-Unsaturated
Seepage . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 52
4.5 Coupling Analysis Method for Unsaturated Consolidation . . . . . . . 54
4.6 Description of Constitutive Relations and Parameters . . . . . . . . . . 58
4.6.1 Soil Skeleton Stress-Strain Relationship . . . . . . . . . . . . . . 58
4.6.2 Hydraulic Conductivity Models . . . . . . . . . . . . . . . . . . . . 61
4.6.3 Soil-Water Characteristic Curve . . . . . . . . . . . . . . . . . . . . 64
4.6.4 Effective Stress Parameter in Unsaturated Soils . . . . . . . . . 65
4.7 Summary . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 69
References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 70
5 Numerical Realization of the Unsaturated Seepage-Consolidation
Theory . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .. 71
5.1 FEM Equations for the Consolidation Theory of Unsaturated
Soils . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .. 71
5.1.1 Finite Element Discretization for the Continuity
Equation . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .. 73
5.1.2 Finite Element Discretization for the Equilibrium
Equations . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .. 76
5.2 Coupling Equations for Seepage and Consolidation Analysis . . .. 82
5.3 Initial and Boundary Conditions . . . . . . . . . . . . . . . . . . . . . . . .. 83
5.4 Development of the Program for Multi-physics Coupling
Analysis . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .. 86
Contents xi
5.4.1 Computation Procedure of the Finite Element

Program . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .... 86
5.4.2 Key Issues in the Finite Element Program
Development . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .... 86
5.5 Influence of Hydraulic Characteristics of Soil on the Seepage
Field . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .... 94
5.6 Unsaturated Seepage-Consolidation Analysis for Typical
Examples . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 98
5.6.1 Example 1: The Homogeneous Earth Dam . . . . . . . . . . . . 99
5.6.2 Example 2: The Earth-Rockfill Dam . . . . . . . . . . . . . . . . . 104
5.7 Summary . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 108
References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 109
6 Seepage and Consolidation Analysis of High Earth-Rockfill
Dam . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 111
6.1 Description of the Nuozhadu High Earth-Rockfill Dam
Project . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 111
6.1.1 Overview of the Dam Material Zoning
and Construction . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 112
6.1.2 Layout of the Monitoring Instruments and Typical
Monitoring Data . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 112
6.2 Finite Element Model and Parameters . . . . . . . . . . . . . . . . . . . . . 117
6.2.1 Finite Element Model for Numerical Simulation . . . . . . . . 117
6.2.2 Constitutive Model Parameters and Unsaturated
Parameters . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 119
6.2.3 Back-Analysis of the Hydraulic Conductivity Model
Parameters . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 121
6.3 Consolidation Analysis of the Nuozhadu High Earth-Rockfill
Dam . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 123
6.4 Summary . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 131
References . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 132
7 Conclusions and Future Work . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 133
7.1 Conclusions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 133
7.2 Future Work . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 135
List of Figures
Fig. 2.1 The water-air morphologies in unsaturated soils . . . . . . . . . . . .. 8

Fig. 2.2 Mohr-Coulomb failure envelope for saturated soils. . . . . . . . . .. 13
Fig. 2.3 Failure envelope for unsaturated soils (Bishop’s strength
equation) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .. 14
Fig. 2.4 Failure envelope for unsaturated soils (Fredlund’s strength
equation) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 14
Fig. 2.5 Soil-water characteristic curve . . . . . . . . . . . . . . . . . . . . . . . . . . 18
Fig. 3.1 Particle size grading curve of the Nuozhadu core material . . . . . 32
Fig. 3.2 Compaction curve of the Nuozhadu core material . . . . . . . . . . . 32
Fig. 3.3 Strain controlled triaxial apparatus . . . . . . . . . . . . . . . . . . . . . . . 33
Fig. 3.4 Specimen for unsaturated CD triaxial test: a before test;
b after test . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .. 34
Fig. 3.5 Relationship between the principal stress difference, ðr1 r3 Þ,
and the axial strain, e1 , for saturated tests . . . . . . . . . . . . . . . . .. 35
Fig. 3.6 Relationship between the volumetric strain, ev , and the axial
strain, e1 , for saturated tests . . . . . . . . . . . . . . . . . . . . . . . . . . .. 36
Fig. 3.7 Relationship between the void ratio, e, and the confining
pressure, r3 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .. 36
Fig. 3.8 Mohr circles and the failure envelope of the saturated CD
triaxial tests . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .. 37
Fig. 3.9 Relationship between the principal stress difference, ðr1 r3 Þ,
and the axial strain, e1 , for unsaturated tests . . . . . . . . . . . . . . .. 37
Fig. 3.10 Relationship between the volumetric strain, ev , and the axial
strain, e1 , for unsaturated tests . . . . . . . . . . . . . . . . . . . . . . . . .. 38
Fig. 3.11 Comparison of the (r1 − r3)–e1 curves for saturated and
unsaturated tests . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .. 38
Fig. 3.12 Comparison of the (r1 − r3)–e1 curves for saturated and
Fig. 3.13 Comparison of the ev –e1 curves for saturated and unsaturated
tests . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .. 39
xiii
xiv List of Figures
Fig. 3.14 Comparison of the ev –e1 curves for saturated and

Fig. 3.15 Stress path of the unsaturated CD (constant water content)
test . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .. 41
Fig. 4.1 Schematic of three-dimensional water flows . . . . . . . . . . . . . . .. 52
Fig. 4.2 Diagram of the multi-physics coupling relationship in the
core wall of high earth-rock dams . . . . . . . . . . . . . . . . . . . . . .. 55
Fig. 4.3 Normal stresses on a cubical soil element of infinitesimal
dimensions: a normal stresses in unsaturated soil; b effective
stresses in unsaturated soil . . . . . . . . . . . . . . . . . . . . . . . . . . . .. 58
Fig. 4.4 Space form of the mathematical model of hydraulic
conductivity . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .. 62
Fig. 4.5 Relationship between the relative hydraulic conductivity, kr,
and the effective degree of saturation, Se . . . . . . . . . . . . . . . . .. 63
Fig. 4.6 Soil-water characteristic curve modeled using the van
Genuchten model . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .. 64
Fig. 4.7 Relationship between the effective stress parameter, v, and the
matric suction, s, modeled using the Shen model . . . . . . . . . . .. 65
Fig. 4.8 Relationship between the reduced suction, v(ua − uw), and the
matric suction, s, modeled using the Shen model . . . . . . . . . . .. 66
Fig. 4.9 Determination of the reduced suction and effective stress
parameter . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .. 67
Fig. 4.10 Relationship between the effective stress parameter, v, and the
matric suction ratio, (ua − uw)/(ua − uw)b, from the test
results . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .. 69
Fig. 5.1 Flow chart of the finite element program . . . . . . . . . . . . . . . . .. 87
Fig. 5.2 Common C0 element types in seepage-consolidation
computation: a brick element; b wedge element;
c tetrahedral element; d pyramid element . . . . . . . . . . . . . . . . . . 89
Fig. 5.3 Iteration process of the Newton-Raphson method . . . . . . . . . . . . 90
Fig. 5.4 Soil column model for seepage analysis . . . . . . . . . . . . . . . . . . . 95
Fig. 5.5 Distribution of the phreatic lines in different cases . . . . . . . . . . . 96
Fig. 5.6 Simplification of the water head boundary in traditional
consolidation analysis . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .. 97
Fig. 5.7 Distribution of the phreatic lines for different SWCC
parameters. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .. 97
Fig. 5.8 Distributions of the total head for different SWCC parameters
(m): a parameter set 1; b parameter set 2; c parameter
set 3; d parameter set 4 . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .. 98
Fig. 5.9 Two-dimensional FE model of the homogeneous
earth dam . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .. 99
Fig. 5.10 Distribution of the major principal stress at completion
(MPa) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 100
List of Figures xv
Fig. 5.11 Distribution of the minor principal stress at completion

(MPa) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 100
Fig. 5.12 Distribution of the settlement at completion (m) . . . . . . . . . . . . . 100
Fig. 5.13 Distribution of the horizontal displacement
at completion (m) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 101
Fig. 5.14 Distribution of the major principal stress after impounding
(MPa) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 101
Fig. 5.15 Distribution of the minor principal stress after impounding
(MPa) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 102
Fig. 5.16 Distribution of the pressure head after impounding (m) . . . . . . . 102
Fig. 5.17 Distributions of the total head (m) and the flow velocity
after impounding. . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 102
Fig. 5.18 Distribution of the matric suction after impounding (kPa) . . . . . 102
Fig. 5.19 Distribution of the major principal stress (MPa) . . . . . . . . . . . . . 103
Fig. 5.20 Distribution of the minor principal stress (MPa) . . . . . . . . . . . . . 103
Fig. 5.21 Distribution of the horizontal displacement (m) . . . . . . . . . . . . . 103
Fig. 5.22 Distribution of the settlement (m) . . . . . . . . . . . . . . . . . . . . . . . . 103
Fig. 5.23 Material zoning and boundary condition of the FE model . . . . . 105
Fig. 5.24 Distribution of the major principal stress at completion
(MPa) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 105
Fig. 5.25 Distribution of the minor principal stress at completion
(MPa) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 106
Fig. 5.26 Distribution of the horizontal displacement at
completion (m) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 106
Fig. 5.27 Distribution of the settlement at completion (m) . . . . . . . . . . . . . 106
Fig. 5.28 Distribution of the pressure head in the core wall
at completion (m) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 106
Fig. 5.29 Distribution of the major principal stress after impounding
(MPa) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 107
Fig. 5.30 Distribution of the minor principal stress after impounding
(MPa) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 107
Fig. 5.31 Distribution of the pressure head after impounding (m) . . . . . . . 107
Fig. 5.32 Distribution of the total head after impounding (m) . . . . . . . . . . 108
Fig. 6.1 The maximum cross-section of the Nuozhadu high
earth-rockfill dam . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 112
Fig. 6.2 Construction process of the core wall and water level
of the reservoir . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 113
Fig. 6.3 Construction process of the upstream rockfill materials . . . . . . . 113
Fig. 6.4 Construction process of the downstream rockfill materials . . . . . 114
Fig. 6.5 Arrangement of the osmotic pressure gauges in the maximum
cross-section . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 114
Fig. 6.6 Observation data of the pore-water pressure at elevation
626 m . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 115
xvi List of Figures

660 m . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 115
701 m . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 116
738 m . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 116
Fig. 6.10 Spatial distribution of the pressure head at elevation
626 m (2012-12-18) (unit m) . . . . . . . . . . . . . . . . . . . . . . . . . . . 117
660 m (2012-12-18) (unit m) . . . . . . . . . . . . . . . . . . . . . . . . . . . 117
701 m (2012-12-18) (unit m) . . . . . . . . . . . . . . . . . . . . . . . . . . . 118
738 m (2012-12-18) (unit m) . . . . . . . . . . . . . . . . . . . . . . . . . . . 118
Fig. 6.14 Three-dimensional FE mesh of the Nuozhadu
earth-rockfill dam . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 119
Fig. 6.15 Maximum cross-section of the 3D-FE mesh . . . . . . . . . . . . . . . . 119
Fig. 6.16 Maximum longitudinal-section of the 3D-FE mesh . . . . . . . . . . . 119
Fig. 6.17 Comparison between the monitored and the simulated
construction process . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 120
Fig. 6.18 Comparison between the monitored and the simulated
impounding process . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 120
Fig. 6.19 Back-analysis method based on the neural network and
evolutionary algorithm . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 122
Fig. 6.20 Settlement distribution in the maximum cross-section (m) . . . . . 123
Fig. 6.21 Distribution of the horizontal displacement (y-direction)
in the maximum cross-section (m) . . . . . . . . . . . . . . . . . . . . . . . 123
Fig. 6.22 Settlement distribution in the maximum
longitudinal-section (m) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 124
Fig. 6.23 Distribution of the horizontal displacement (x-direction)
in the maximum longitudinal-section (m) . . . . . . . . . . . . . . . . . . 124
Fig. 6.24 Distribution of the major principal stress (MPa) . . . . . . . . . . . . . 124
Fig. 6.25 Distribution of the minor principal stress (MPa) . . . . . . . . . . . . . 124
Fig. 6.26 Distribution of pore water pressure (m): a results calculated
by the multi-physics coupling analysis program; b results
calculated by the traditional saturated consolidation analysis
program . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 125
Fig. 6.27 Comparison between calculated results and observation data
of water head at monitoring points of elevation 626 m:
a DB-C-P-15;b DB-C-P-16;c DB-C-P-17 . . . . . . . . . . . . . . . . . . 126
Fig. 6.28 Comparison between calculated results and observation data
of water head at monitoring points of elevation 660 m:
a DB-C-P-25;b DB-C-P-26;c DB-C-P-27 . . . . . . . . . . . . . . . . . . 127
List of Figures xvii
Fig. 6.29 Comparison between calculated results and observation data of

water head at monitoring points of elevation 701 m:
a DB-C-P-34; b DB-C-P-35;c DB-C-P-36 . . . . . . . . . . . . . . . . . 128
Fig. 6.30 Comparison between calculated results and observation data of
water head at monitoring points of elevation 738 m:
a DB-C-P-43; b DB-C-P-44;c DB-C-P-45 . . . . . . . . . . . . . . . . . 129
Fig. 6.31 Comparison of pore-water pressure between calculated results
and observation data of different elevations: a elevation 626 m;
b elevation 660 m; c elevation 701 m; d elevation 738 m . . . . . 130
Fig. 6.32 Distribution of the estimated saturated hydraulic conductivity,
k, in the core wall at the end of December 2012 (unit m/s) . . . . 131
List of Tables
Table 3.1 Scheme of the triaxial tests . . . . . . . . . . . . . . . . . . . . . . . . . . .. 35

Table 4.1 Test results of (s − ss) under different confining pressures . . . .. 69
Table 5.1 Application scope of the preconditioned iterative solutions
(Dong 2015) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .. 94
Table 5.2 Values of the hydraulic characteristic parameters . . . . . . . . . . .. 95
Table 5.3 Parameters of soil-water characteristic curve
(van Genuchten model) . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 97
Table 5.4 Parameters of Duncan and Chang’s EB model . . . . . . . . . . . . . . 99
Table 5.5 Relevant unsaturated parameters . . . . . . . . . . . . . . . . . . . . . . . . . 99
Table 5.6 Parameters of hydraulic characteristics . . . . . . . . . . . . . . . . . . . . 99
Table 5.7 Parameters of Duncan and Chang’s EB model . . . . . . . . . . . . . . 105
Table 5.8 Parameters of hydraulic characteristics . . . . . . . . . . . . . . . . . . . . 105
Table 5.9 Relevant unsaturated parameters . . . . . . . . . . . . . . . . . . . . . . . . . 105
Table 6.1 EB model parameters of the dam materials . . . . . . . . . . . . . . . . 121
Table 6.2 Parameters of the soil-water characteristic curve . . . . . . . . . . . . 121
Table 6.3 Unsaturated parameters of the gravelly clay . . . . . . . . . . . . . . . . 121
Table 6.4 Back-analyzed parameters of the hydraulic conductivity
model . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 122
xix
Chapter 1
Introduction
1.1 Background and Key Issues
1.1.1 Research Background
The earth-rock dam, as the oldest dam type, has many merits (Mai 2005) such as
the availability of natural earth and rock materials, the ability to adapt to complex
geological, topographic, and climatic conditions, and especially the ability to adapt
to high-intensity earthquakes, making it one of the most commonly used dam types
in hydropower projects. In recent years, earth-core rockfill dams account for a large
proportion of high dams with a large reservoir in western China. Moreover, because
of the growing social demand and the development of construction technology, earth-
rockfill built in China are being built higher and higher.
Many of the dams under construction or planning were designed with heights of
200–300 m, or even higher (e.g., the Nuozhadu dam with a height of 261.5 m and the
Rumei dam with a height of 315 m located on the Lancang River, the Shuangjiangkou
dam with a height of 314 m located on the Dadu River, and the Lianghekou dam with
a height of 292 m located on the Yalong River). The core wall is a key part of this
kind of dams; it bears extremely complex changes in seepage and stress-deformation
state in the processes of construction, impounding, and operation. In high earth-rock
dams, the internal stress is high and large shear deformation exists, which result
in significantly different physical states, stress-deformation behaviors, and seepage
behaviors of the dam materials from those of low dams.
During construction and operation of several high earth-rockfill dams in China,
the observed values of pore-water pressure, deformation, and their trends are quite
different from the numerical results obtained by using the traditional consolida-
tion analysis method. These phenomena are quite difficult to explain reasonably
with previous theories and methods, which may be because the physical state,
the stress-deformation, and the seepage have a complex coupling relationship dur-
ing construction, impounding and operation; the engineering characteristics of
© Springer Nature Singapore Pte Ltd. 2019 1
Y. Wu, Multi-physics Coupling Analysis of Clayey Core Wall of High Earth-Rockfill
Dam, Springer Theses, https://doi.org/10.1007/978-981-13-1032-4_1
2 1 Introduction
the unsaturated soil are very different from those of saturated soils. The traditional
methods of consolidation analysis show obvious deficiencies, and more reasonable
models and methods should be developed for analyzing and simulating the coupling
relationship in high earth-rockfill dams. This research topic deals with the engineering
characteristics of compacted clayey soils, the constitutive model, the multi-physics
coupling consolidation analysis of saturated-unsaturated soils, and so on.
1.1.2 Key Issues
The core wall is a key part of the earth-rock dams; it bears extremely complex
changes in seepage state and stress-deformation state in the process of construction,
impounding, and operation. Due to the complexity of the construction conditions and
the limitations of the test conditions and numerical methods, the existing numerical
simulation analysis methods cannot adequately reflect the actual stress, deformation,
and pore-water pressure states of the dam materials. Also, there are complex interac-
tions between stress-deformation field, the physical-state field and the seepage field
in the dam body. In particular, for the problems of saturated-unsaturated seepage and
consolidation analysis in high earth-rock dams, the effect of multi-physics coupling
should not be neglected.
During construction and operation of several high earth-rockfill dams, relatively
high pore-water pressures have been observed in the core wall. The observed values
of pore-water pressure and their trends are quite different from the estimated values
obtained by numerical methods. For instance, the Xiaolangdi earth-rockfill dam in
China (Chen et al. 2005), with a height of 160 m, was completed 12 years ago, but the
pore-water pressure in the core wall still stays at a high level and changes periodically
with the reservoir water level, and the water head in the core wall even exceeds the
crest elevation. The Nuozhadu earth-rockfill dam was completed at the end of 2012,
and the variations of pore-water pressure in the core wall have similar features.
Some observed values of pore-water pressure in the core wall during construction
and operation are one order of magnitude larger than the calculated values. These
phenomena indicate the deficiencies of the previous analysis methods and theories.
And the engineering properties of the compacted clayey soil and the analysis method
of consolidation for high earth-rockfill dams need to be further studied.
Based on the observation data of the Nuozhadu dam and the Xiaolangdi dam, it
is found that the existing models and numerical methods can hardly be verified by
the field observation data of the high earth-rockfill dams. The numerical results of
the stress, deformation, and pore-water pressure are significantly different from the
observation data. For many completed high earth-rockfill dams, the actual dissipation
rate of pore-water pressure in the core wall is significantly smaller than the values
calculated by traditional methods. During the dam construction and a long time
after completion, the pore-water pressure of the core wall is far greater than that in a
steady-seepage period, and the water head in the core wall even exceeds the elevation
1.1 Background and Key Issues 3
of the dam crest. These phenomena are difficult to explain reasonably and simulate
accurately with previous theories and methods. Thus, more reasonable models and
methods should be developed for analyzing and simulating the coupling relationship
in high earth-rockfill dams.
1.2 Scope of the Dissertation
For the engineering properties of the compacted clayey soil, saturated soil speci-
mens are mostly used to study the hydraulic and mechanical properties of the soil.
However, in practical high earth-rockfill dams, the degree of saturation of the core
material after roller compaction is about 85%. The core material is unsaturated, and
its mechanical and hydraulic properties are significantly different from those under
saturated conditions. Moreover, the stress state and the degree of saturation of the
core material will change significantly during construction and impounding, which
has not been fully considered in the previous studies. Therefore, more reasonable test
methods should be used to simulate the real changes in the mechanical properties of
the core material during construction and operation.
For the consolidation analysis of earth-rockfill dams, the saturated consolidation
theories have been developed to a relatively mature stage in both theoretical derivation
and numerical simulation, and have been successfully adopted in the consolidation
analyses of complex earth-rock dam projects. However, due to the restrictions of the
basic assumptions in the saturated consolidation theories, they can hardly be used
to analyze the unsaturated consolidation problems of soil. The theories show many
deficiencies when analyzing the seepage and consolidation of high earth-rock dams.
In view of this, the unsaturated consolidation theory should be adopted to analyze
the related problems in earth-rockfill dams. At present, the unsaturated consolida-
tion theories have got significant developments, but most of the theories sill stay
in the stage of theoretical analysis. It is very complicated to apply them to solving
practical problems, and thus there are very few practical application examples. Also,
although the existing simplified consolidation theories for unsaturated soils can be
applied in the analyses of simple problems, they still need to be further improved.
For example, the rationality of the theoretical simplification needs to be verified,
and the multi-physics coupling effects should be taken into account. During con-
struction, impounding, and operation of high earth-rock dams, the compacted clayey
soil of the core wall undergoes hugely complex changes in physical state, stress
state, and seepage state. The spatial and temporal distribution of the physical state
(e.g., density, degree of saturation, and microstructure) in the core wall is highly
inhomogeneous, which will affect the spatial and temporal variations of soil perme-
ability; the temporal and spatial nonuniformity of permeability will affect the stress
and deformation distribution; and obviously, the change of mechanical state in soil
will affect the physical state and the seepage characteristics. Hence, there are com-
plex coupling relationships between the physical-state field, the seepage field, the
deformation field, the stress field, and the surrounding environment. And the current
4 1 Introduction
theories and methods still hardly reflect these characteristics. In order to solve the
above problems, based on the existing consolidation theories for unsaturated soils,
a more reasonable saturated-unsaturated seepage and consolidation analysis method
which can be used in solving large-scale complex engineering problems is proposed
in this dissertation.
For the numerical solutions of the unsaturated seepage-consolidation analysis,
poor numerical stability and low computational efficiency are the main problems
due to the complex dam boundaries and the considerable differences in mechanical
and permeability properties between different dam materials. It is much more difficult
to solve the consolidation problems of unsaturated soil than to solve the saturated
consolidation problems. On the one hand, the theory is relatively complicated with
more parameters and variables; on the other hand, the material nonlinearity is more
significant. In the development of the finite element (FE) program in this dissertation,
the above problems of numerical solutions should be settled properly. To improve
the computational efficiency, the efficient solutions for linear systems of equations
which have been successfully used in other large-scale engineering problems can be
introduced into the FE program. Moreover, to improve the numerical stability, more
effective iterative methods for problems of material nonlinearity can also be adopted.
The above issues will be studied in depth in this study. The main contents of this
dissertation include the following chapters.
In Chap. 2, the main research progress on unsaturated compacted clayey soils is
summarized from the aspects of the engineering properties, the constitutive models,
the strength theories, and the coupling analysis methods of seepage and consolidation.
The related theoretical basis and the deficiencies of the current research results are
also reviewed.
In Chap. 3, in order to reveal the strength and deformation properties of the
core material under saturated and unsaturated (at optimal water content) conditions,
triaxial consolidated-drained tests are carried out with the gravelly clay of the core
material in the Nuozhadu high earth-rockfill dam. According to the test results, the
strength and modulus differences between the unsaturated and the saturated soils
under the same test conditions are analyzed.
In Chap. 4, a multi-physics coupling analysis method is introduced in the simpli-
fied consolidation theory for unsaturated soils to characterize the interactions of the
physical state, the stress-deformation, and the seepage in the soil and a more reason-
able multi-physics coupling analysis mode for seepage-consolidation is established.
Moreover, the core issues in the multi-physics coupling analysis method (e.g., the
constitutive model, the description of soil permeability, and the calculation of effec-
tive stress) are clarified.
In Chap. 5, based on the simplified consolidation theory and the coupling analysis
method, more general FE equations for unsaturated seepage and consolidation analy-
sis are derived, and a FE program for numerical simulations of multi-physics coupling
unsaturated consolidation problems is developed. In order to improve the computa-
tional accuracy and efficiency and the numerical stability of the program, multiple
types of elements, the iterative method for nonlinear problems, the under-relaxation
1.2 Scope of the Dissertation 5
method, and the iterative algorithms for large-scale linear systems of equations are
introduced into the FE program. Moreover, two typical examples of earth-rock dams
are analyzed to verify the analysis method as well as the FE program.
In Chap. 6, the field observation data of pore-water pressure in the core wall of the
Nuozhadu high earth-rockfill dam is analyzed. Moreover, the FE program developed
in this dissertation is applied to the analysis of seepage and consolidation of the dam.
Comparing the numerical results with the observation data, the reasonability of the
results is proved, and the multi-physics coupling mechanism in the core wall of high
earth-rockfill dams is explained. Then the applicability of the theory and program
established in this dissertation to the large-scale three-dimensional consolidation
analyses of complex high earth-rockfill dams is discussed.
In Chap. 7, the research results, main conclusions, innovations, and future works
of this dissertation are summarized.
References
Chen LH, Chen ZY, Zhang JP, Zhao C (2005) Study on high pore pressure in clay core wall of earth
dam in Xiaolangdi Project. J Hydraul Eng 02:219–224
Mai J (2005) Hydraulic structures. Tsinghua University Press, Beijing
Chapter 2
Review of the Relevant Research Progress
The multi-physics coupling analysis in the core wall of high earth-rockfill dam
involves a wide range of contents including the engineering properties of unsaturated
soils, the unsaturated seepage-consolidation theory, the coupling analysis method,
the theory of finite element method, the numerical solution algorithm, and so on. In
this chapter, the main research progress on unsaturated clayey soils is summarized
from the aspects of the stress-state variables, the strength theories, the constitutive
models, and the coupling analysis methods of seepage and consolidation. The related
theoretical basis and the deficiencies of the current research results are also reviewed.
2.1 Mechanical Properties of Compacted Unsaturated

Clayey Soils
The studies on the mechanical Properties of saturated soils have been relatively in-
depth and will not be discussed here. The following briefly introduces the research
progress of the mechanical Properties of compacted unsaturated clayey soils from
the aspects of the stress-state variables, the effective stress principle, the strength
characteristics, and the deformation characteristics.
2.1.1 Stress-State Variables
2.1.1.1 Single Stress-State Variable Theory
A reasonable description of the stress state of a soil is the basis for the study of its
mechanical properties. The stress state in soil can be expressed in different ways. For
saturated soils, the concept of effective stress has been widely accepted. The effective
© Springer Nature Singapore Pte Ltd. 2019 7

Y. Wu, Multi-physics Coupling Analysis of Clayey Core Wall of High Earth-Rockfill
Dam, Springer Theses, https://doi.org/10.1007/978-981-13-1032-4_2
8 2 Review of the Relevant Research Progress
Water-closed system Bi-open system Air-closed system
Decrease Degree of saturation Increase
Soil particles Water Air
Fig. 2.1 The water-air morphologies in unsaturated soils
stress principle for saturated soils, which is the basis of traditional soil mechanics,
was firstly developed by Terzaghi. The effective stress, σ , in a saturated soil can be
expressed in terms of the total stress, σ , and the pore-water pressure, u w , as follows:
σ σ − uw (2.1)
The deformation and strength behaviors of saturated soils can be described by the
effective stress. For unsaturated soils, the description of stress state is much more
complicated than that of saturated soils. And a lot of explorations have been made
in determining the variables of stress state in unsaturated soils.
Yu and Chen (1965) classified the unsaturated soils into three different states
based on the water-air morphology in the soils, as shown in Fig. 2.1. When a soil’s
degree of saturation is low, the pore space in the soil is mainly occupied by air, and
the air in the pores will be interconnected. In this case, the pore water is surrounded
by the pore air and in a “closed” state. Hence, the unsaturated soil is called a water-
closed system. When the soil’s degree of saturation is relatively high, the pore water
is interconnected, and the pore air will be enclosed in the water. In this case, the
soil is called an air-closed system. When the soil’s degree of saturation is between
those of the first two states, both the air phase and the water phase in the soil are
interconnected. Then, the soil is called a bi-open system.
In particular, for the air-closed system and water-closed system, the unsaturated
soil can be approximated as a saturated soil and a dry soil, respectively. And cor-
respondingly, the effective stress can be expressed by Eq. (2.1) and the following
equation:
σ σ − ua (2.2)
where ua is the pore-air pressure.

2.1 Mechanical Properties of Compacted Unsaturated Clayey Soils 9
For general cases, scholars have proposed various types of effective stress equa-
tions for unsaturated soils, of which the most representative one is the Bishop’s
equation proposed in 1959 (Bishop 1959):
σ σ∗ + χs (2.3)
The above equation can also be expressed as follows:
σ σ − [χ u w + (1 − χ )u a ] (2.4)
where, σ ∗ σ − u a is the net stress; s u a − u w is the matric suction; χ is

the effective stress parameter, which is used to describe the contribution of matric
suction to the effective stress, also known as the reduction coefficient or the suction
parameter; χ (u a − u w ), also indicated by the symbol s̄, is the reduced matric suction
(also known as the equivalent suction). The effective stress parameter of a soil is not
a constant and will change with the change of the matric suction or the degree of
saturation. The relationship between the effective stress parameter, χ , and the degree
of saturation, S r , of soil has been experimentally investigated by many scholars
(Blight 1961; Donald 1961; Escario et al. 1989).This equation involves two special
situations of saturated soil and dry soil. When the soil is saturated, χ 1, and the
effective stress equation will evolve into the effective stress equation of saturated
soils in Eq. (2.1). When the soil is completely dry, χ 0.
Aitchison (1961) and Jennings (1961) also gave similar expressions for the effec-
tive stress of unsaturated soils. However, due to the limitations of Bishop’s effec-
tive stress equation (e.g., the lack of reasonable explanations of mechanism, and
the inability to describe the phenomenon of collapsibility of unsaturated soils), the
application of the equation has been significantly limited. Bao (2004) also pointed
out that this principle failed to fully reflect the influence of the air phase (e.g., the
suction, the contractile skin, etc.) on the mechanical properties of unsaturated soils.
In the earlier studies, it was generally assumed that the effective stress parameter is
only related to the degree of saturation. Among these studies, Mctigue et al. (1983)
and Nikolaevsky (1985) directly substituted the degree of saturation, S r , for the
effective stress parameter, χ , and defined the effective stress as follows:
σij σi j − [Sr u w + (1 − Sr )u a ]δi j (2.5)
The above equation which is also known as the simplified Bishop formula is
essentially a special case of the Bishop’s effective stress formula.
Vardoulakis and Beskos (1986) proposed the following form of the effective stress
equation:
σi j σisj + Sr u w δi j + (1 − Sr )u a δi j (2.6)
σij σisj − γ u w δi j (2.7)
where γ is the soil parameter; σisj is the stress between soil particles. However, this
formula lacks theoretical basis and experimental support, and the meaning of the
parameter is also unclear.
However, many scholars pointed out that the relationship between the effective
stress parameters, χ , in Bishop’s equation and the degree of saturation, S r , is not
single-valued. For example, Chen et al. (1994) studied the effective stress from the
viewpoint of volume change in unsaturated soils based on the elastic theory, and
proposed that for an unsaturated soil with the saturation of S r and the porosity of n,
the effective stress can be expressed by the soil bulk modulus, K:
n
K Kn
σ σ− uw + 1 − S n ua (2.8)
K Sr n K r
where K n and K Sr n are the bulk modulus of soil with the porosity of n and S r · n,
respectively. Comparing Eq. (2.8) with the Bishop’s effective stress equation yields:
Kn
χ (2.9)
K Sr n
Since K n ≤ K Sr n , it can be concluded that 0 ≤ χ ≤ 1. Accordingly, Chen

deduced that the effective stress parameter, χ , is not only related to the degree of
saturation but also to the void ratio of the soil. Khalili and Khabbaz (1995) and Chen
and Chen (1999) also obtained the same conclusions.
Many of the above expressions of effective stress in unsaturated soils are similar
to the Bishop’s equation. Although these equations improved the Bishop’s equa-
tion from different perspectives, they still did not deviate from the basic idea of the
Bishop’s theory. Hence, they do not have significant advantages over the Bishop’s
equation. Moreover, the Bishop’s effective stress theory has many merits. For exam-
ple, the theory is simple, its expression of effective stress is similar to that of saturated
soils, and thus it is easy to use. Therefore, the Bishop’s theory has been accepted
by many scholars and got further developments (Kohgo et al. 1993; Modaressi and
Abou-Bekr 1994; Shen 1995; Khalili and Khabbaz 1998).
2.1.1.2 Theory of Double Stress-State Variables
The theory of double stress-state variables was first proposed by Coleman (1962).
He suggested that the “reduced” stress variables, (σ1 − u a ), (σ3 − u a ), and (u a − u w ),
can be used to describe the stress states in triaxial tests. Bishop and Blight (1963)
proposed a similar expression, in which the stress-state variables are expressed as
follows:
σ ∗ (σ − u a ), s (u a − u w ) (2.10)
Fredlund argued that unsaturated soils consist of four phases: the soil particles,
the air, the water, and the air-water interface (i.e., the contractile skin). Based on this
opinion, he derived the equilibrium equation of soil structure, and pointed out that
without considering the compressibility of soil particles and water, the stress state
that controls the balance of the soil structure and contractile skin can be represented
by two independent stress-state variables (Fredlund and Rahardjo 1993). In 1977,
Fredlund et al. verified the validity of the two stress-state variables and proposed that
the net stress, (σ − u a ), and the matric suction, (u a − u w ), can be used as the stress-
state variables for mechanical problems, such as deformation analysis and strength
analysis of unsaturated soils (Fredlund and Morgenstern 1977; Fredlund 1979). This
theory has been accepted by many scholars.
In the 1990s, Chen (1994) studied the stress-state variables of unsaturated soils
and proved the rationality of the double-stress variables theory proposed by Fredlund.
Chen and Qin (2012) pointed out that the Fredlund’s double stress-state variables
belong to a simplified form because the factors of the degree of saturation, S r , and
the porosity, n, are not considered.
Bolzon et al. (1996) replaced the effective stress parameter, χ , in the Bishop’s
equation with the degree of saturation, S r , and used the modified effective stress
equation (also known as the simplified Bishop’s equation) and the matric suction, s, as
two stress-state variables for establishing the elasto-plastic constitutive relationship
of unsaturated soils, as follows:
σij σi j − u a δi j + Sr (u a − u w )δi j (2.11)

s ua − uw (2.12)
Houlsby (1997) was inspired by Eqs. (2.11) and (2.12) and proposed that the
simplified Bishop’s equation and ns (where n is the porosity of soil) can be regarded
as the two stress-state variables of unsaturated soils.
Zhao et al. (2010) also obtained similar conclusions and proposed that n(1− Sr )u a
should be taken as the third stress-state variable of unsaturated soil when the pore-air
is in a closed state. Hence, the stress-state variables are as follows:
σij σi j − u a δi j + Sr (u a − u w )δi j (2.13)

s n(u a − u w ) (2.14)
u a n(1 − Sr )u a (2.15)
In the above three combinations of stress-state variables proposed by Bolzon et al.

(1996), Houlsby (1997), and Zhao et al. (2010), the factors of porosity or degree
of saturation were taken into account. However, the matrix suction was repeatedly
considered in these stress-state variable combinations (Chen 2014). The stress-state
variables are not independent of each other, and they lack sufficient theoretical and
experimental basis.
Considering that the matrix suction is affected by the surface tension and the
physicochemical actions, Lu (2008) used a soil parameter X to reflect the influence
of these factors on the mechanical properties of unsaturated soils. That is, X (u a −u w )
was chosen as one of the stress state variables.
Although many different combinations of stress-state variables have been pro-
posed, the Fredlund’s theory of double stress-state variables is still the most impor-
tant one because of its wide range of applications and abundant results. Compared
with the theory of effective stress, the theory of double stress-state variables has less
limitations and more definite physical meanings. But it is very complicated to use in
practical application. The theories in saturated soil mechanics cannot be employed
any more, and it is necessary to reestablish the theories of strength, deformation, and
consolidation for unsaturated soils.
2.1.1.3 Comparison of the Two Kinds of Theories
At present, there are mainly two ways to describe the stress state of unsaturated
soils: the single stress-state variable and the double stress-state variables. For the
theories of single stress-state variable, the Bishop’s theory of effective stress is the
most representative; for the theories of double stress-state variables, the Fredlund’s
theory is the most widely used. Both of the two kinds of theories can be adopted to
describe the stress state in unsaturated soils.
Although there are significant differences between the theories of single stress-
state variable and the theories of double stress-state variables, the two kinds of the-
ories are also closely interrelated. For example, the effective stress with a single
variable can be regarded as a comprehensive reflection of different stress state vari-
ables.
Chen (1994) compared the expressions of constitutive relationship and strength
of the two kinds of theories and concluded that the theories are equivalent except that
the methods for determining the parameters are different. Shen (2000) also pointed
out that for non-collapsible soils under certain conditions, the research ideas of the
two kinds of theories are interlinked. In addition, the basic assumptions of both
kinds of theories are the same. Neither of them considered the compressibility of
soil particles and water and the variation of internal friction angle with the degree
of saturation change. However, there are also significant differences between them.
Bishop’s effective stress theory can’t describe the collapsibility of soils, but its con-
cept is simple and can follow the related research results in saturated soil mechanics;
the Fredlund’s theory of double stress-state variables has fewer limitations, but it is
too complicated to apply in practice.
Fig. 2.2 Mohr-Coulomb τ

failure envelope for saturated
soils
ϕ′
c′
O σ′
2.1.2 Strength Theory
The shear strength of a saturated soil is described using the Mohr-Coulomb failure
criterion:
τf c + σ tan ϕ (2.16)
where τf is the shear strength; σ is the effective stress; c is the effective cohesion; ϕ
is the effective angle of internal friction. The strength equation in Eq. (2.16) defines
a failure envelope, as illustrated in Fig. 2.2.
As with the theories of stress-state variables used to describe the stress state of
unsaturated soils, the strength equations of unsaturated soils are also divided into two
types: the strength equations of single stress-state variable and the strength equations
of double stress-state variables. Of the two types of strength equations, the Bishop’s
strength equation and Fredlund’s strength equation are the most representative equa-
tions, respectively (Hu et al. 2008).
According to the Bishop’s equation of effective stress, Bishop expressed the
strength of unsaturated soils as follows (Bishop 1959):
τf c + [(σ − u a ) + χ (u a − u w )] tan ϕ (2.17)
Equation (2.17) has the same form as the strength equation for saturated soils
in Eq. (2.16). The strength parameters of the equations include both the effective
cohesion and the effective angle of internal friction. The only difference between
them is the expressions of the effective stress. Therefore, the failure envelope of the
Bishop’s strength equation can also be described by Fig. 2.2. If the Bishop’s strength
equation is rearranged into the following form,
τf c + (σ − u a ) tan ϕ + χ (u a − u w ) tan ϕ (2.18)
the envelope of unsaturated soils can be further plotted in three-dimensional coordi-

nates formed by the shear stress, τ , the net normal stress, (σ − u a ), and the reduced
suction, χ (u a − u w ), as shown in Fig. 2.3. In the figure, c χ (u a − u w ) tan ϕ ,
which represents the shear strength generated by the matric suction.
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That particular night—early in the evening—she had gone to Mr.
Zzyx's apartment with Henry. She happened to be carrying a new
novel which she was particularly anxious to begin reading that night.
Mr. Zzyx took a fancy to the book, probably on account of the picture
of an African jungle luridly depicted in colors on its cover. Pat refused
to give it to him, which put him in a bad temper.
She was in a dressing-gown and mules, when she discovered that,
after all her trouble in holding on to the book, she had left it behind in
Mr. Zzyx's apartment. She hurried back just as she was, and
knocked at the door. Niki answered her knock, and on her request,
returned the novel, and then closed the door. She went back to her
own apartment, and was just about to re-enter it, when she glanced
back, down the hall.
Mr. Zzyx was peering out of the doorway of his bedroom. This gave
her quite a start, and she darted into her room, quickly locking the
door after her.
Her story of what followed was an odd one.
"I wasn't so awfully frightened when I saw Mr. Zzyx peeping out at
me," she said, "or I would have gone straight into Aunt Jane's
apartment, the safest place in the castle. I had become so
accustomed to Mr. Zzyx's antics—he's just as playful as a child—I
saw no reason why I should become unduly alarmed. So I settled
down, and read my novel until about midnight. I went to sleep almost
as soon as my head touched the pillow.
"I don't know how long I'd been asleep when something aroused me.
It was a sound outside my bedroom door. I switched on the lights,
slid out of bed, caught up my dressing-gown and went to the door
and listened. I distinctly heard a scratching noise outside my door—a
sound my pet poodle makes when it wants to come into my room.
Then I saw the brass knob, inside my door, moving, and I got the
impression that some one was pressing his full weight against the
door. Well, I was just too scared to scream, so I started hammering
on the door.
"Then I listened again, by placing my ear close against the door. I'm
sure I heard a stealthy movement outside, a soft, cat's-foot
movement, as though some one was moving away, down the hall;
then everything became quiet. Finally, I became more composed
myself, and finding that I had not aroused anyone by hammering on
the door, I went back to bed. But I never closed my eyes again that
night."
When Pat recounted her adventure the next morning at breakfast,
Henry was inclined to dismiss it as trivial. "My dear, you had a
nightmare," he said. "Who on earth would want to get into your
apartment at that hour of the night? As for Mr. Zzyx, why, he wouldn't
hurt a fly."
Jane was stunned by Pat's story, and immediately added another
bolt to her bedroom door. For myself, I had heard no sound during
the night, and I'm a very light sleeper, and easy to waken. I felt, like
Henry, that perhaps Pat may have dreamed it.
At least, that was my opinion, until shortly after breakfast, while
examining the outside of her bedroom door, I found several distinct
marks, where the paint had been scratched, or clawed, off.
Discovering these marks, I felt it was not a nightmare of Pat's. So I
questioned Niki.
"You don't think it could have been Mr. Zzyx at Pat's door?" I asked
him.
Niki looked startled, then he grinned, and established a complete
alibi for our guest. "No," he said. "Mr. Zzyx never left his room last
night."
I left him, my mind confused in many ways, but entirely clear on one
point. There was something at Pat's door, that was sure.
Jane was naturally upset and uncomfortable the first night Mr. Zzyx
dined formally with us. We were both dressed for dinner, and waiting
in the entrance hall for the others to come down. She had just been
telling me of her resolve not to close the castle on November first,
and open our town house, a custom we had rigidly followed for so
many years, when she happened to glance up the grand staircase.
Clutching my arm suddenly, she whispered: "My God, Livingston!
Look!"
I turned, and gave one look, and then I burst out laughing, the sight
that met my eyes was so incredulous. Marching down the staircase,
three abreast, came Henry and McGinity, with Mr. Zzyx between
them, all three in immaculate dinner dress and enveloped in an
atmosphere of complete dignity. Henry seemed more astounded
than affronted at my mirth. Before he could voice his sentiments one
way or the other, an excited murmur came from Pat, who had just
entered the hall from the drawing room.
"Good work, Uncle Henry!" she exclaimed, rushing over to the foot of
the staircase. "And Mr. Zzyx! He looks as smart as they make them!"
Mr. Zzyx seemed pleased at the furore he was causing, and proud of
his tailed dinner clothes. He kept drawing our attention to his pearl
shirt-studs and cuff-links.
"Now, I suppose Mr. Zzyx will be expected to escort me into dinner,"
said Pat.
"Not a chance," said McGinity, moving quickly to her side; "unless
he's smarter than I think."
As Mr. Zzyx advanced towards Jane, she walked away. She stopped
when Henry said: "Don't be afraid, Jane. Mr. Zzyx has no idea of
hurting anyone. What interests him is that gold-beaded bag you're
carrying."
"Oh!" said Jane, flushing. Then she handed the bag to Mr. Zzyx, who
inspected it closely, smelt it, and then gave it back to her.
"Really!" she exclaimed. "He acts almost human!"
At this stage of the proceedings, Schweizer appeared on the scene,
to announce that dinner was served. And to my dying day, I shall
never forget the mingled look of amazement and horror that spread
over the butler's rotund face as his eyes fell on Mr. Zzyx.
And one couldn't blame him. It was enough to give any one the jitters
to see this half-human creature in smart evening dress, his heavy
animal fur framing a human face, and his hairy hands and forearms
protruding from the white cuffs of a stiff-bosomed shirt.
We had not been seated long at the table before I realized that Mr.
Zzyx, despite his repulsive appearance, possessed the mentality and
playful urge of a child. This was evident during the entrée course,
when he began to make wig-wag signals with his napkin, in an effort
to attract the butler's attention. What possible motive could he have?
Then, suddenly, the truth dawned on me. It was Schweizer who
served the dinner, and it was the food he brought that interested Mr.
Zzyx most. He had a most voracious appetite.
He sat between Henry and McGinity, in a great throne-chair which
Henry had brought from Europe. I must admit Niki had accomplished
wonders in teaching him how to handle his knife, fork and spoon. He
ate everything that was set before him, and showed a great
fondness for Henry's choice wines and champagne. Now and then,
he would pause in his eating, and look round the table, his sharp
black eyes taking us all in, one at a time; then he would chatter
something unintelligible, and resume his eating.
Henry noted this, and remarked: "Of course, we all appear very
strange to our honored guest, as it would be if we, ourselves, were
catapulted to Mars in a rocket, and suddenly found ourselves dining
with a group of Martians. In time, I hope he will be able to speak our
language."
"And then we'll know what he thinks about us," McGinity suggested.
"But he must realize by this time, how much we all think of him."
Turning to Mr. Zzyx, he patted him on the arm, and added: "You're in
pretty soft, aren't you, young fellow?"
And to out utter amazement, Mr. Zzyx turned to McGinity and spoke
—actually spoke for the first time. He distinctly mouthed a word that
sounded like "Spaghet!" with emphasis on the last syllable. He sort
of hissed the word.
"There you are!" exclaimed Henry. "I thought all along he had the
power of speech. I shall engage a tutor for him the very first thing
tomorrow morning."
"He certainly said something," McGinity observed; "sounded like
Latin to me."
And then Pat distinguished herself. "My opinion is that he tried to say
'spaghetti'," she offered. "That has some Latin connection, hasn't it?
Niki says he's terribly fond of it."
After dinner, Mr. Zzyx lounged indolently in the largest easy chair in
the library, while Schweizer served coffee. He smoked one cigarette
after another with evident enjoyment. When Henry first offered him
one of his big cigars, he surprised and amused us by biting off the
end of it, and then throwing the cigar away. The end he thrust in his
mouth and began chewing it.
A little later, as I placed my empty coffee cup on the butler's tray—
this was after Niki had taken Mr. Zzyx upstairs, to undress him and
put him to bed—Schweizer whispered: "I beg pardon, sir, but I don't
like the looks of that fellow!"
"I'm afraid, Schweizer," I rejoined, "that you'll be seeing a good deal
of this 'fellow' from now on."
The butler reflected a moment in silence on this information, and
then walked away, muttering: "I don't like his looks—I don't like his
looks!"
XVIII
The following morning, while Henry was making arrangements about
engaging a tutor for Mr. Zzyx, and McGinity busied himself in giving
proper publicity to our guest's first attempt at speech, Pat and I
strolled down to our dock. We went there on Niki's pressing invitation
to see the progress Mr. Zzyx was making in operating a runabout
Henry had recently acquired.
When we arrived at the dock, Mr. Zzyx was seated in the bow, at the
steering-wheel, looking very nautical and important in a blue worsted
suit, a white, soft-collar shirt, with a blue and white polka dot tie, and
a smart yachting cap. He beckoned at once to Pat to come down
and get into the boat.
"Oh, no! Thanks!" she called down to him.
He looked up at Pat and me imploringly. "I guess he wants us both to
come for a ride," I said. But Pat said she didn't want to go.
What happened, then and there, was an exhibition of handling a
runabout I didn't believe possible in a creature of such low mental
caliber. He seemed to take to it instinctively. Knowing there was a
great scarcity of water on Mars, I wondered how it came to him so
easily.
At Niki's word of command, he started the engine, and then steered
the boat, as unerringly as an arrow, in a swift and successful quarter-
mile run between the dock and our tiny island of rock, on which
stands the ruins of the old, stone lighthouse.
Pat and I applauded his feat on his return. In fact, Pat became so
enthusiastic over his expertness in steering the boat, that she took
her courage in hand, and ran down the steps, and jumped into the
runabout. "Now, Mr. Zzyx," I heard her say, "please give me a ride to
the island, and back."
Before I could voice my objection, Niki hopped out, and I was
horrified to see the boat race off again towards the island. While I
was protesting to Niki, I was keeping my eyes trained on the
runabout, which had now reached the island. Even from that
distance, I could see Mr. Zzyx doing a peculiar thing.
He had pulled up alongside the small dock; the engine was still
running, and the propeller kicking up a lot of foam. Apparently, he
didn't know how to tie up the boat. He was standing up, and making
funny motions to Pat, who seemed to be protesting by gestures. To
say I was not only puzzled but frightened is rather to understate the
situation.
If I had any coherent thoughts at all, they were that Mr. Zzyx wanted
Pat to go ashore with him and explore the island; he had an
abnormal sense of curiosity. There was really nothing of interest to
see there. It was all rock, devoid of trees and grass. The only
habitable building was a small shanty, which the Government had
used for storage purposes before Henry purchased the island.
"Why, in heaven's name, did you let him take Pat off like that?" I
protested to Niki. "Why didn't you stay aboard? He's dangerous."
Niki shrugged rather insolently at my fears. Since receiving a liberal
payment from Henry on the reward he had earned by first
discovering the rocket, he had become rather impudent. "Mr. Zzyx is
not dangerous, Meester Livingston," he countered. "He only likes fun
—like a leetle kitten!"
"When I say he's dangerous I mean that he is," I replied, with
vehemence. Then, profoundly shaken over Pat's security, I cried:
"Oh, what shall I do?" and turned round to run back to the castle.
The next moment, I had run full tilt into McGinity.
McGinity's reaction to the situation was typical. "That bird is too
dangerous to trifle with," he said; and within a few minutes he was in
one of our row-boats, heading for the island.
To my amazement, the next thing I saw was Mr. Zzyx bringing the
speed-boat back to the dock. I had pulled myself together somewhat
when he returned. I was surprised to see Pat, lolling comfortably
among some cushions, a cigarette in her hand and a cool smile on
her face. By that time, McGinity had put back to the dock. He arrived
in time to help Pat out of the runabout.
"What's all the trouble?" she asked him, a little sharply.
"Oh, I don't know," he replied, vaguely. "We just thought you might
be stuck over there, and couldn't get back."
"No fear," she returned, and laughed a little. "Mr. Zzyx has too much
common sense for that. The way he handles the boat is simply
marvelous. It was real excitement. I wouldn't have missed the ride—
not for anything!"
"All the same," McGinity remarked, "it was lucky for you, perhaps,
that I got here in time—that is, in case anything did happen."
Pat waved that off with a light gesture, and turned to me. "How does
Uncle Livingston feel about it?" she inquired.
"I was pretty well excited myself, Pat," I replied; "uneasy-like."
"I simply wanted to show Mr. Zzyx that I'm not afraid to be alone with
him, and that I'm a good sport besides," Pat explained.
"It's bad business," said McGinity, "any way you look at it. Matter of
fact, I think Mr. Zzyx is bad business."
"I don't see it," Pat retorted.
It was not until an hour later, when I found myself alone with Pat, that
I learned the truth about the situation, although I was convinced from
the first that she had deliberately overplayed her attitude of
indifference to danger.
"I was nearly scared to death," she confessed. "I did not miss Niki
until we were well on our way to the island. Mr. Zzyx showed by his
actions that he wanted me to tie up the boat, and go ashore with
him, but I wouldn't budge. If he had remained there, at the dock, a
minute longer, I would have yelled, screamed—jumped overboard.
But—" she concluded, as she tightened her grasp of my arm, "never
mind what I felt—Bob mustn't suspect."
In other words, she was still concealing her fear of Mr. Zzyx lest
something might happen to spoil McGinity's news stories, and
remove him from our midst. For some weeks now, he had been
assigned by his paper to "cover" Mr. Zzyx's every movement, and to
report all the news developments in connection with Henry's theories
about Mars. This necessitated his remaining at the castle.
The Daily Recorder, however, long since, had announced in its
editorial columns that while it printed all the news concerning the
recent Martian revelations, the publishers assumed no responsibility
for their veracity, and their readers were left to render a verdict in
accordance with the facts. This was a little raw on Henry, I thought.
Anyhow, the incident of the runabout was forgotten in the excitement
of the following day, when the Swedish-born Mayor of New York, His
Honor, Oscar Swenson, gave an official reception for Mr. Zzyx at the
City Hall. And what happened there became local history.
There was a large crowd outside our lodge-gate as we drove off, in
an open car; and all along the way, in the suburbs, and through the
city, to the downtown district, police reserves had to be called out to
control the vast throngs which lined our route.
It was a triumphal procession through the city. Mr. Zzyx waved to the
people in response to their loud huzzas. From the clouds of ticker-
tape and confetti that descended upon us, he collected a great
quantity. He and Henry, sitting in the rear seat, were knee-deep in it
by the time we reached the City Hall. On our way, while the
procession was held up by cross-town traffic, I bought a raspberry
lollypop from a street vendor for Mr. Zzyx. Henry frowned on this as
very undignified, but Mr. Zzyx sucked it with great enjoyment. His
actions reminded me of a small boy at his first circus.
The day was perfect—the air cool and crisp. We found City Hall
plaza one vast sea of faces. As we passed through a barrage of
cameramen, a Swedish chorus burst into song; and we had no
sooner taken our places on the steps, beside the Mayor, scores of
other city officials, and many notable invited guests, when several
hundred Swedish gymnasts entertained us with feats of physical
prowess.
I wished that Jane and Pat had come with us, but they both had
elected to remain at home, and enjoy the happenings at the City Hall
through the medium of the radio and television.
Mayor Swenson is a tall, gaunt, rosy-cheeked Swede, but his head
only reached to the shoulders of Mr. Zzyx when they stepped in front
of the microphone and television transmission instruments. Niki had
accompanied us as the Martian's bodyguard, and never left his side.
He carried an automatic pistol, ready for any emergency, as I
learned afterwards.
It was not my first experience of an official reception at the City Hall,
but many years had intervened since I attended the last one.
Although I was very familiar with the great changes that had taken
place, politically, in the city administration, this first close personal
contact with the Mayor, the Board of Aldermen, and the various
Commissioners, was in the nature of a shock. There was not one
single Irishman in the Aldermanic board, nor even a Jew. The board
was composed mostly of Chinese, Turks, Filipinos, and Bulgarians,
and one Eskimo, who had entered politics after graduating with
honors from Princeton University.
Amid this gathering of mixed nationalities, Mr. Zzyx was an
outstanding figure. As time passed, he grew restless, and kept
running a long, hairy finger around his immaculate collar as though it
choked him. He was attired in a formal cutaway coat and striped
trousers, topped with a silk hat, which he wore at an angle that gave
him a rather rakish appearance. He looked to me exactly like a huge,
over-stuffed piece of furniture, with the hair sticking out.
A breathless hush fell upon the thousands as the Mayor raised his
hand to command silence. His voice sounded a bit squeaky through
the loud speakers, not thunderous, as I had anticipated. I took notes
of his speech, which follows:
"I t'ank it's about time I introduced the city's distinguished visitor from
Mars." (A pause until the cheering had subsided.) "I bane t'anking as
I stood here that Mr. Zzyx is probably the most unique visitor the
great city of New York has ever welcomed, officially, yah?" (More
applause.) "Some of you no doubt bane t'anking that he is a great
fakir. My wife and me, we bane having an argument about this. My
wife, she t'anks he's just a big monkey that's got loose from some
zoo." (Laughter.) "When I ask our good friend, Mr. Henry Royce,"
(Mayor's voice lost in a tumult of cheers)—"when I ask him what he
bane t'anking about Mr. Zzyx, and his coming in a rocket, on a beach
out on Long Island, he only shakes his head, and says he knows
next to noddings; and I t'ank he's just as much fooled as the rest of
us. But whether our distinguished guest comes from Mars or the
moon, I bane t'anking we must hold fast to our traditions, and bestow
on him the key to our great city of fifteen million people—yah?
Therefore, it is with the greatest pleasure that I confer such an honor
upon Mr. Zzyx, the jungle man from Mars."
So saying, the Mayor handed an important-looking scroll to Mr. Zzyx,
who took it, and immediately unfolded it and began to look for
pictures. Not finding any, he passed it over to Henry, at whose signal,
Niki stepped forward to superintend Mr. Zzyx's introduction at the
microphone.
Our Martian visitor made a better showing at the microphone than I
had expected. I did not know then that for several days previous to
the reception, Niki had coached him in the use of the instrument.
First, he peered curiously into it, then he stuck his finger in, as
though he had seen some imprisoned insect inside.
Suddenly, he began to chatter, and then, just as suddenly, he
stopped. Hearing his own voice amplified through the loud speakers
seemed to have startled him. After Niki had patted him reassuringly
on the arm, he burst into chatter again, concluding with the only word
he could pronounce—"Spaghet!" He seemed to spit the word into the
microphone, which sent the crowd into convulsions of laughter and
cheers.
That practically ended the official city reception. After stepping into
our car, Mr. Zzyx further amused the crowd by smoking a cigarette,
and tipping his hat to the ladies, another trick Niki had taught him.
On the return trip to Long Island, he was greeted with even greater
acclaim than had been shown him earlier in the day.
We found Pat in a state of excitement. Mrs. Cornelius Van Dyk, she
said, had telephoned during our absence, to announce that she was
giving a dinner for Mr. Zzyx on the following Monday. After dinner,
she planned to take Mr. Zzyx to the opening performance of the
winter season at the Metropolitan-Civic Opera House.
Naturally, Pat was excited about this; we all were. Mrs. Van Dyk is
the last word in fashionable exclusiveness in New York society; even
European royalty is more accessible.
XIX
Mr. Zzyx behaved beautifully at the very brilliant dinner given in his
honor by Mrs. Cornelius Van Dyk at her town residence, the last red
brick mansion of a remote period, except our own, still left standing
in Washington Square. A dinner made more memorable than it
otherwise would have been by the distinguished array of guests.
Among them, Henry's beloved and revered old friend, the venerable
Episcopalian prelate, Bishop William Buckingham, who had grown a
bit queer in his dotage.
"A very novel idea on the part of our hostess," the Bishop remarked
to Henry after dinner, in the smoking-room, while I sat by, listening
and silent. "This sort of thing was done, years ago, at Newport, a
monkey-dinner, as I recall reading about it, and the clergy and the
newspapers made an awful row. Certainly times have changed when
we can sit down to dinner with a man-ape without the flicker of an
eye-lash. After this, I shan't be at all surprised to have one of my old
parishioners invite me to dine with a white rabbit. Mrs. Van Dyk sets
the fashions in New York, you know."
"After all," remarked Henry, "brutes and humans really belong to one
great family by common descent."
"Hold your miserable tongue, sir!" the Bishop responded, perkily.
"Not until I've extended an invitation to your reverence, to attend the
banquet the Exploration Club is giving for Mr. Zzyx on November
thirtieth," Henry rejoined.
"The Exploration Club! How extraordinary!" the Bishop exclaimed.
"The most exclusive club of its kind in the city. What's up?"
"Oh, just another revelation concerning Mars," Henry replied,
nonchalantly. "You will come, won't you?"
"Do my best to oblige," the Bishop replied.
At that, I felt my ears pricking. I already knew that Henry, Olinski and
McGinity, had something new about Mars up their sleeves, which
was to be disclosed at the banquet at the Exploration Club. What it
was, I had no idea. And I found out nothing that night. The
conversation between the Bishop and Henry was cut short by the
return of Mr. Zzyx and Niki, who had taken our Martian visitor to the
lavatory immediately after dinner, to tidy him up a bit before we left
for the opera.
A few moments later, we joined Mrs. Van Dyk, and her house guest,
Lady Gwynne of London, in the drawing room. The other dinner
guests had gone. Both were ready for the opera, Mrs. Van Dyk in a
stunning ermine wrap, and Lady Gwynne in sables.
We had no sooner entered the room, when, to my horror, Mr. Zzyx
went straight up to our hostess, and began to chatter, and stroke her
ermine coat. Then he walked over to Lady Gwynne, and repeated
the action on the sable wrap. I could see that they were both terribly
frightened.
Henry took the matter in hand at once, and drew Mr. Zzyx aside,
tenderly, as a father would treat a child of doubtful sanity. After
quieting him with a cigarette, he left him in Niki's care, and
approached Mrs. Van Dyk.
"A bad break, I'm afraid," he said to her, "and I apologize for this
breach of propriety. After all, Mr. Zzyx is part animal, and I'm afraid
the high instinctive animalism in him was beguiled by the sight and
smell of ermine and sable."
"A gesture of Martian jungle courtship," Lady Gwynne suggested.
Henry shook his head. "No; I don't think so," he said. "Mr. Olinski, my
associate, and I, have definitely proved that he is not influenced in
any way by what we mortals call sex appeal. Otherwise, he would be
very objectionable to have about. Pretty clothes, sparkling gems and
furs attract him just as toys intrigue small children. While instinctively
curious, and perhaps a little bold, he means no harm."
"Let's hope he'll keep up this high standard of behavior," the Bishop
remarked. "Undoubtedly a tremendous brute force lies sleeping
under his apparent docility. A pretty go, if this brute force is ever
aroused in him."
"I hope to God that'll never happen," said Henry, gravely.
And then Mrs. Van Dyk spoke. "We can't expect him to measure up
to Park Avenue social standards," she said. "A little clowning now
and then is relished by the best of men. Indeed, I've known men in
my own set to go much further than the mere stroking of a lady's fur
coat."
"Exquisite!" laughed the Bishop.
"How droll!" Lady Gwynne commented.
"As a creature from another planet," Mrs. Van Dyk continued, "I feel
very honored in having Mr. Zzyx as a guest in my house."
Henry sighed gustily, and said: "Very friendly of you, Mrs. Van Dyk."
And then the Bishop said: "Well, let's push on to the opera."
The Metropolitan-Civic Opera House was packed that night with one
of the largest crowds in its history. I was convinced upon our arrival
that the throng was there, not to hear Verdi's opera "Otello," but to
see Mr. Zzyx. The evening newspapers had heralded our coming,
and we encountered a large crowd outside the opera house, and
were met by a barrage of cameramen's flashlights as we entered.
Once inside, the crush about us was so great, we had considerable
difficulty in reaching Mrs. Van Dyk's box, in the parterre. Although
grand opera now was democratized, the "diamond horseshoe" still
remained. Opera, I'm afraid, will always remain the pet hobby of the
fashionably rich, just as racing will ever be regarded as the sport of
kings.
Two uniformed city policemen stood on guard, in the corridor, outside
the box. Mrs. Van Dyk, regal in black velvet and sparkling with
jewels, occupied the corner nearest the stage. Mr. Zzyx sat in the
other corner, with Henry sitting between. Behind them, Bishop
Buckingham was sandwiched between Lady Gwynne and Jane,
while I hovered, standing, in the rear, too nervous to sit down. Niki
was at my elbow.
We had missed the first act. Five minutes after we had settled
ourselves in the box, the curtain rose on the second act. Fashionable
women, like Mrs. Van Dyk, seem to make it a point to be late at the
opera. I doubt if our hostess had ever heard the first act of any opera
in the entire Metropolitan-Civic repertoire, during her long ownership
and occupancy of the box.
During that five minutes, every eye in the house appeared to be
turned on Mr. Zzyx, who, fortunately, was now in a state of lassitude,
which always overtook him after a heavy dinner. Apparently
undisturbed by the sensation he was causing, he devoted himself,
first, to a curious scrutiny of the packed masses in the balconies,
then he looked down at the arena below, and, finally, rested his gaze
on the two rows of boxes, filled with superbly gowned and bejeweled
women.
I was curious to see what effect grand opera music would have upon
him. What little music he had heard at the castle had come from our
radio, and in this he had displayed only a mild interest. His attitude
toward such music as he had heard rather dispelled the theory that
had been advanced, that if direct radio communication was ever
established between the earth and Mars, the interchange of ideas
would necessarily have to be through the medium of music, on
account of the lack of a common language.
Here, at last, was a chance to try music at its best on an inhabitant of
Mars. I wondered what the reaction would be. Mr. Zzyx watched the
musicians curiously as they trickled into the pit, and the noise of the
tuning up seemed to interest him immensely. Finally, when the house
went dark, he appeared quite excited. Then the baton of the
conductor rose, and the first crash of the orchestra came like a
thunder-clap.
Mr. Zzyx leapt to his feet, and started to climb over the edge of the
box. For a frenzied moment, I thought he was going to dive head first
into the midst of the spectators below. But Henry quickly grabbed
him by his swallow-tails, and pulled him back into his chair. The
incident did not attract the general attention it might have done if the
auditorium had not been darkened.
While Henry patted Mr. Zzyx on the shoulder to quiet him, Mrs. Van
Dyk leaned over, and said: "I don't wonder at him trying to jump out
of the box. To many, grand opera is a perfect hullabaloo, and
devastating. That's why so many people go out between acts for a
cocktail."
Presently Mr. Zzyx fell to listening, with his mouth open. At first, I
thought he was wholly lost in the delight of the orchestral movement
—drums and horns were silent now—and the beautiful singing on
the stage. Then, like a flash, it occurred to me that it was the dark-
skinned Otello who was claiming his attention, not the music or
singing.
I watched him, studied him attentively, as the opera swept on to its
violent climax—the smothering to death of Desdemona—by the
enraged Otello. After the final curtain, while the audience was
recalling and applauding the singers, I noticed he looked a little wild
about the eyes; a sort of inward brooding.
Was it possible that he had grasped the significance of the story, as
it had been unfolded before him on the stage? Could the climax of
the opera put ideas into his head beyond his purely natural instincts?
The force of ideas even stronger than his own inherent brute force,
which might quicken him to the fury of some deed of incredible
violence?
But I had no time for surmises. Yet, as we passed out of the opera
house, in an atmosphere of acclaim and some disorder, almost
mechanically, I jotted down the details in my memory of what I had
observed in him. From the look in his eyes, I felt some terrific instinct
had been aroused. It gave me a strange and eerie feeling, but I
made no mention of it to Henry.
Within ten days I was glad to have paid attention to such details.
Little did I suspect then that a black, threatening cloud was gathering
over our heads, or that more mystery, intrigue—even death—was
closing in about us.
XX
Life at the castle followed its usual routine during the interval
between Mrs. Cornelius Van Dyk's dinner and opera party, and the
banquet at the Exploration Club, in Mr. Zzyx's honor, with one
exception, which I shall mention further on.
I was delighted to see that McGinity shared the place of honor
allotted to our family group at the banquet, and justly so, because he
had put Henry's discoveries and theories over in the biggest possible
way. Later in the evening, I found he had other honors accruing to
him.
It was not until I was seated with the family party at the head of the
long U-shaped table, that I noticed the motion picture screen at the
far end of the dining room. Then the full significance of those secret
visits to a large film studio in Long Island City, on the part of Henry,
Olinski and McGinity, began to dawn upon me.
Gradually worming the secret out of McGinity, who sat on my left
(Jane was on my right) I was in possession of the complete facts of
the Martian revelations, shortly to be disclosed to this most highly
honored body of explorers and scientists, by the time the soup
course was over.
After Olinski had deciphered the Martian written message contained
in the mysterious scroll, found in the rocket, McGinity had put the
information contained therein into scenario form. A screen
production, backed by Henry's money, had been staged by one of
the largest and most progressive film corporations, at its Long Island
City studio, with Henry and Olinski acting in an advisory capacity.
I am telling this circumstantially, because the part McGinity played in
writing the scenario made the first real contribution to the solving of
the strange mysteries that enveloped us, and because it explains
how I myself in a small way became involved in the untangling of the
web.
As we sat placidly at the banquet table, my last thought was that
within twenty-four hours we would be plunged into a series of events,
which savored of the sort of thing associated with sensational fiction,
or exciting melodrama on the screen.
At odd moments, I cast my eye across the table at Mr. Zzyx. His
prolonged sojourn under our roof had become a "beastly vulgar
business," quoting Jane's own words. Daily, we were growing more
resentful of his impenetrable stupidity, and utterly bored with his
gross and ugly presence. Often I felt myself in the mood to wring his
neck.
It was also perfectly clear to me that Henry was beginning to tire of
shouldering the responsibility of this big, lumbering creature, but so
far he had kept it to himself. I felt angrier with him that I had ever
been in my life, yet I was angry rather for him than with him. It was
so utterly unlike him to allow the family's unpleasant associations
with Mr. Zzyx to continue, when a word from him would have ended
it.
The exception to our usual routine at the castle, during the week,
related to our guest from Mars. He was beginning to act very
queerly. I was of the opinion that a sort of madness was creeping on
him, brought on by the unnatural state in which he was living, the
strange food he ate so ravenously, and the constant excitement to
which he was subjected. One of the spookiest things he did was to
move about the castle during the night. Niki might be on guard, and
Mr. Zzyx's own bedroom door locked and bolted, but with uncanny
skill both were circumvented.
His first real outburst had come on the Friday night, preceding the
banquet. He began throwing things at Niki, and did considerable
damage to the furniture, pictures and walls in the State Apartment.
When I questioned Niki, he had dismissed the affair lightly, with the
excuse that Mr. Zzyx had been suffering from insomnia, and was not
himself.
Certainly he was not himself at the Exploration Club banquet. During
the dessert course, I saw that he had not touched his charlotte
russe, and was making holes in the table-cloth with his fork. His pet
hobby, while dining, was to roll his bread into little balls, toss them up
in the air, and then catch them in his mouth as they fell, something I
considered inexpressibly vulgar and disgusting.
I was astonished that Henry, or Bishop Buckingham, who was a
member of our party, did not rebuke him for making holes in the
cloth; but both seemed preoccupied. In a state of anxiety, I glanced
around at Pat, who was sitting on McGinity's left. It was not strange
to find that they both were practically oblivious to their surroundings.
The speech-making was now going on, having begun shortly before
coffee was served. The speakers were long-winded and tiresome. I
am neither a student, nor a philosopher, but I would like some
exponent of the doctrine of psychology to explain why men talk so
much and at such great length at banquets. I've often wished that
some bright person would organize a society for the suppression of
after-dinner speakers.
For fully half an hour, now, a little, rabbit sort of man, with big ears
and completely bald, and wearing tortoise-shell spectacles, had
been telling of his pursuit of prey, biped and quadruped, in distant
places, with minute detail of how he had killed one of every species
of beast and bird and fish in the world. The guests were showing
signs of impatience. Mr. Zzyx began making horrible grimaces, when
Henry tapped him warningly on the arm. Then he started to amuse
himself making those little bread balls. I became uneasy myself for
fear he might throw one of them at the speaker, something I wanted
to do myself but did not dare.
Then, suddenly, to my stunned astonishment, Mr. Zzyx picked up the
untasted charlotte russe, which is custard in a form made of sponge
cake, and hurled it at the speaker, who was directly opposite him.
His aim was true, and the little rabbit man got the charlotte russe full
in the face.
The guests roared with delight as the mighty hunter dug his features
out of the spattering custard, while Henry shook Mr. Zzyx sternly by
the arm, and whispered: "You ought to know better!"
Bubbling with mirth, I leaned over to McGinity, and said: "Too bad he
got it in the face." To this, the reporter replied: "The main thing is that
he got it."
After the bespattered speaker had gone to the lavatory to wash his
face, the toastmaster rose, and said: "Now that Mr. Zzyx, our
honored guest from Mars, has enlivened our dinner, we shall
proceed to the surprise event of the evening.
"No one is asked to accept these new disclosures about Mars which
our friend, Mr. Olinski, decoded from the mysterious writings of the
scroll, discovered in the rocket, as infallible," he continued. "Even our
fellow-scientist, Mr. Royce, who is accountable for this, and other
recent events of a scientific nature, which literally have rocked the
world, declares an uncertainty still exists in his own mind, and that
he is simply making public the information that has fallen into his
hands, from strange and unknown sources. In other words, he
wishes me to make clear to you all that he's not trying to put
something over on us. So, now, let's see what we shall see!"
The film, in four reels, was in the nature of a travelogue, beautifully
colored, and interspersed with sound and music. Henry was the
pictorial lecturer. McGinity's clever hand was seen in the numerous
whimsies and dramatic highlights. Many scenes were genuinely
stirring.
Mr. Zzyx, closely guarded by Niki in the darkened dining room,
watched the picture unfold with fascinated interest. At times, he
would gesticulate, strangely, like one familiar with the subject matter,
and utter primitive sounds, as though he wanted to speak, and tell us
more startling things about his home planet.
This newly acquired and first-hand information of present day life on
Mars, presented in picture form, supplemented by the free play of
imagination on the part of the director, proved infinitely more
valuable as educational entertainment than the cold facts would
have been if delivered from the lecture-platform.
The picture divulged, first of all, that life on Mars had originated and
evolved the same as on the earth, with the white division of the
human species exercising supreme authority over the affairs of the
planet.
Secondly, it showed that the strange, geometric markings on the
planet, as studied by astronomers on earth, are not a canal system,
or even man-made. The lines, or bands, which some of our
astronomers believed to be canals, constituting a system of
irrigation, are really deep wide canyons, ten to twelve miles in width
at the rim, and descending 2,000-3,000 feet below the sterile

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Multi-physics Coupling Analysis of

Clayey Core Wall of High Earth-Rockfill

Grand Ethiopian Renaissance Dam Versus Aswan High Dam:

High-resolution Seafloor Survey and Applications Ziyin

Multi layer Pavement System under Blast Load 1st

Unifying the Universe: The Physics of Heaven and Earth

High Temperature H2S Removal from IGCC Coarse Gas 1st

Time From Earth Rotation to Atomic Physics Dennis D.

Toward Inertial Navigation on Chip The Physics and

Foundations of High Energy Density Physics Physical

Recognizing Outstanding Ph.D. Research

Theses are accepted into the series by invited nomination only

More information about this series at http://www.springer.com/series/8790

ISSN 2190-5053 ISSN 2190-5061 (electronic)

© Springer Nature Singapore Pte Ltd. 2019

Printed on acid-free paper

It is my pleasure to introduce the Ph.D. thesis of Dr. Yongkang Wu for publication

Beijing, China Prof. Yuzhen Yu

signiﬁcant effects on the stress and deformation behaviors of the dam.

Keywords High earth-rockﬁll dam Multi-physics coupling Consolidation

3.2.2 Specimen Preparation . . . . . . . . . . . . . . . . . . . . . . . . . . . . 33

5.4.1 Computation Procedure of the Finite Element

Fig. 2.1 The water-air morphologies in unsaturated soils . . . . . . . . . . . .. 8

Fig. 3.14 Comparison of the ev –e1 curves for saturated and

Fig. 5.11 Distribution of the minor principal stress at completion

Fig. 6.7 Observation data of the pore-water pressure at elevation

Fig. 6.29 Comparison between calculated results and observation data of

Table 3.1 Scheme of the triaxial tests . . . . . . . . . . . . . . . . . . . . . . . . . . .. 35

1.1 Background and Key Issues

1.1.1 Research Background

1.1.2 Key Issues

1.2 Scope of the Dissertation

2.1 Mechanical Properties of Compacted Unsaturated

2.1.1 Stress-State Variables

2.1.1.1 Single Stress-State Variable Theory

© Springer Nature Singapore Pte Ltd. 2019 7

Water-closed system Bi-open system Air-closed system

Decrease Degree of saturation Increase

Soil particles Water Air

Fig. 2.1 The water-air morphologies in unsaturated soils

where ua is the pore-air pressure.

The above equation can also be expressed as follows:

where, σ ∗ σ − u a is the net stress; s u a − u w is the matric suction; χ is

σij σi j − [Sr u w + (1 − Sr )u a ]δi j (2.5)

σij σisj − γ u w δi j (2.7)

Since K n ≤ K Sr n , it can be concluded that 0 ≤ χ ≤ 1. Accordingly, Chen

2.1.1.2 Theory of Double Stress-State Variables

σij σi j − u a δi j + Sr (u a − u w )δi j (2.11)

σij σi j − u a δi j + Sr (u a − u w )δi j (2.13)

In the above three combinations of stress-state variables proposed by Bolzon et al.

2.1.1.3 Comparison of the Two Kinds of Theories

Fig. 2.2 Mohr-Coulomb τ

2.1.2 Strength Theory

τf c + [(σ − u a ) + χ (u a − u w )] tan ϕ (2.17)

τf c + (σ − u a ) tan ϕ + χ (u a − u w ) tan ϕ (2.18)

the envelope of unsaturated soils can be further plotted in three-dimensional coordi-

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