Disturbed soil properties and geotechnical design

Frontispiece
ðv
`
. jÞ map of disturbed saturated soil behaviour
Disturbed soil properties and
geotechnical design
Andrew Schofield
Published by Thomas Telford Publishing, Thomas Telford Ltd, 1 Heron Quay, London E14 4JD.
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First published 2005
Cover photograph of Kings’ College Chapel, Cambridge copyright The Salmon Picture Library #
Page 41, poem 267 (6 lines) ‘Upon Julia’s Clothes’ by Robert Herrick from Oxford Book of
English Verse edited by Quiller-Couch, Arthur (1963). By permission of Oxford University Press.
A catalogue record for this book is available from the British Library
ISBN: 0 7277 2982 9
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Dedication
For Margaret
Foreword
In my final year as an undergraduate at Oxford University, I undertook a project
on the warping of asymmetrical steel beams with Dr Edgar Lightfoot. I took no
formal lectures on soil mechanics, although Dr Lightfoot also gave a few lectures
on slip lines and bearing capacity within an optional ‘speciality’ paper on civil
engineering. He also gave me career advice along the lines that ‘there is this new
theory called critical state soil mechanics, which seems to be worth investigating’.
I duly bought a copy of Schofield and Wroth’s (1968) book on that subject, and so
began my education in soil mechanics. I subsequently studied for my PhD with
Professor Peter Wroth, and cut my teeth as a lecturer at Cambridge University
in the group then headed by Professor Andrew Schofield. It is therefore with
humility, and a sense of the wheel having turned full circle, that I find myself
writing a foreword to this ‘retrospective’ new book by Andrew; indeed, I have a
sense of being back under examination, wondering what grade my former
professor will assign.
Much of this book describes the developments leading to the original Cam Clay
model, focusing on fundamentals of the shearing of soil. The aim is to lay the
groundwork of understanding that should form the basis of geotechnical design,
guiding engineers towards the class of behaviour to be expected under different
combinations of effective stress and water content. There are a few equations,
but simple ones; much greater challenge rests in the arguments put forward
regarding soil behaviour and the intellectual effort needed to keep pace with the
author. After the Special Lecture that he delivered at the 2001 International
Society of Soil Mechanics and Geotechnical Engineering in Istanbul, he
commented that it was ‘heard without comprehension’. The lack of comprehension
was not to do with the complexity of concepts or algebra, but with grasping the
underlying message and appreciating the gap between the understanding that
many experienced academic and practising engineers do indeed have, and the
misleading language and teaching that pervades much education in soil mechanics.
The book is divided into six chapters, which progress from the simple planar
sliding of soil towards plastic design in geotechnical engineering. But Andrew
Schofield is not constrained by sequence, and rather than write a conventional
textbook, he had in mind the sort of book that ‘engineers might read on a flight
and leave on their office coffee tables’. The ‘coffee table’ image came from a
reviewer of the proposed book, perhaps meant as disparaging, but is excellent
advice here: the book invites reading at a single sitting, both because it is intensely
interesting, and because of the author’s global approach, with much cross-
referencing – across the centuries as well as between chapters. After reading, it is
a book to be left readily available for frequent dipping, both for the pleasure in
the historical anecdotes spread across the last 400 years and to reinforce the funda-
mental understanding of soil behaviour conveyed in the book.
The frontispiece illustration is the lynch-pin to the ideas the author wishes to
convey, and is referred to throughout this book. Heroes (Coulomb, Hvorslev
and Taylor) and villains (Terzaghi in particular) are identified in Chapter 1, with
detailed discussion of the nature of friction, the role of interlocking, and the misin-
terpretation of Hvorslev’s empirical envelope of peak strengths as indicating true
cohesion. The second chapter focuses on the critical state, correcting Casagrande’s
critical void ratio to allow for the effective stress level, and liquefaction, contrasting
extreme forms related to ultra-high void ratio, or to near-zero effective stress.
Historical anecdotes replace the usual glossy pictures of a coffee table book, and
suitably leaven the technical arguments, and one of the many rewards for those
who read the book will be the connection described here between the latter form
of liquefaction and the 17th-century poet Herrick.
There are frequent (positive) quotations from Terzaghi’s writings in the literature,
but inevitably for someone so fond of dogma it is not difficult to find negative
examples. His assertion of cohesive bonding between soil grains, and rejection of
the usefulness of Rankine’s limiting stress states, are two such examples that are
discussed at some length in Chapters 3 and 4. In defence of his ðc. cÞ strength
model, Terzaghi did advocate that clay should be tested ‘under conditions of pressure
and drainage similar to those under which the shear failure is likely to occur in
the field’. However, that caveat seems to have been overlooked and, even today,
the c–c strength model is taught widely and used inappropriately. Current teaching
is littered with calculations where the effective stress differs significantly from the
conditions under which the strength measurements used to generate the c–c fit
were derived. Modern teaching often applies such a model to bearing capacity
analyses on sand, without adjustment for the resulting high stresses, or to the stability
of slopes and cuts, where pore pressure dissipation would destroy any apparent c.
Students who understand soil strength according to Andrew’s approach are wise
to these dangers. A modest ambition for the present book might be to see the
words ‘cohesion’ and ‘adhesion’ excised from our soil mechanics vocabulary, repla-
cing them with, respectively, ‘shear strength’ (at a given water content and effective
stress level) and, on the rather rare occasions where it is appropriate, ‘cementation’.
The basis of the original Cam Clay model, including its background in the
theory of plasticity and the experimental evidence for the internal plastic work,
is described in Chapter 5. Limitations of this simple model in terms of anisotropy,
soil sensitivity and cyclic loading are readily acknowledged. As a basic framework
for teaching, however, the model still has much to offer, and it is refreshing to be
taken through the careful experimental data on reconstituted clays on which it is
based, and the (now classic) examination questions from the Cambridge Tripos
of nearly 40 years ago. Once armed with the simple concept of wet and dry of
the critical state line, students will understand whether a sample will wish to
contract or dilate, whether pore pressures generated during undrained shearing
will tend to the positive or negative, and conditions where ductile plastic deforma-
tion might change to brittleness and fracture. The ability of the model to quantify
these states is immediately appealing to modern students, rather than them having
to digest purely qualitative explanations.
viii DISTURBED SOIL PROPERTIES AND GEOTECHNICAL DESIGN
Andrew Schofield deserves to be regarded as one of the geniuses of soil
mechanics of the latter half of the 20th century. His Fellowship of the Royal
Society is based on his two remarkable contributions of original Cam Clay and
the promulgation of centrifuge modelling in geotechnical engineering beyond its
origins in Russia. It is appropriate, therefore, that the final chapter in this book
is devoted to the application of the principles of critical state soil mechanics by
means of centrifuge experiments conducted under conditions of stress similitude.
This is a rewarding book, full of insights, both technical and personal. It rein-
forces ideas described in the original Schofield and Wroth book Critical State
Soil Mechanics, and in Schofield’s 1980 Rankine Lecture. For the unconverted,
it is an invitation to re-examine your basic understanding of soil behaviour. For
the converted who might be tempted to dismiss the book too lightly, it is a call
to ensure that our teaching, and the vocabulary and nomenclature we use in
describing strength models for soil, reflect accurately the underlying concepts.
Professor Mark F. Randolph
The University of Western Australia, Perth
FOREWORD ix
Preface
This book originated with seminars that I gave in November 1999 at Georgia Insti-
tute of Technology in Atlanta. I outlined their intended content in the following
three paragraphs:
There is a fundamental error in the Mohr–Coulomb equation. The proposition
that opens Coulomb’s 1773 Essay supposes that a pier is cut by an inclined
plane in such a way that the two portions are connected at the cut by a given
cohesion, while all the rest of the material is of perfect strength. The pier is
loaded by a weight, which makes the upper portion of the pier slide along the
inclined plane. Coulomb resolves the load components along and normal to the
inclined plane and determines the inclination of the plane for which cohesion
and friction combine to give the greatest load. The same result is obtained if
Mohr’s circles have a limiting envelope with constant cohesion and friction.
The error in this simple analysis is that it omits a component of strength that
is due to ‘interlocking’.
Taylor in 1948 reported shear box tests on dense Ottawa standard sand. When
the upper part of his shear box was displaced laterally by dx it rose up vertically
by dy as his dense sand dilated. This is the phenomenon that he called ‘inter-
locking’. Peak strength t in dense sand occurred at a point where dy,dx was a
maximum. Taylor calculated what happened to the work t dx at peak strength.
Part went into friction ms
0
dx and part went to lift the weight s
0
dy on the normal
load hanger. This led to friction and interlocking components in the peak
strength of dense sand ðt,s
0
Þ ¼ ðm þ ðdy,dxÞÞ. The Mohr–Coulomb equation
omits interlocking. After the 1948 publication of Taylor’s book, Terzaghi
should have reviewed his interpretation of data of load-controlled drained tests
of saturated reconstituted clay soil in a shear box. Terzaghi and Hvorslev had
fitted peak strength data to a line with ‘true’ friction and ‘true’ cohesion, but
there was an increase of water content in the region of failure and hence a
volume increase. This effect is found both in laboratory shear box tests, and in
slickenside gouge material in failure planes in the field. Terzaghi and Hvorslev
did not have a component of peak strength due to interlocking, hence part of
the strength they attributed to bonds among fine soil grains was not due to
‘cohesion’ but to the high relative density of stiff clay soil.
The title to Coulomb’s Essay considers static problems that have solutions by
calculus (which he calls ‘the rules of minimum and maximum’), but which take
no account of strain boundary conditions. The error is not that a straight Mohr–
Coulomb envelope should be curved but that it contradicts the test data that
Coulomb himself published in his 1773 paper; for him, clay such as Hvorslev
tested can have no cohesion. The original Cam Clay (OCC) model is just dust
and water with no chemistry and it shows the ‘apparent cohesion’ of clay. Many
other soil models have been proposed and used in code calculations, and geotech-
nical centrifuge model test data are used to validate them.
In January 2000 I made a proposal to the publisher Thomas Telford for a book as
described in the following three paragraphs:
My experience of attempting to explain Terzaghi’s ‘Mohr–Coulomb’ error,
Schofield (1998a, b and c, 1999), shows that a simple, short and readable
book is needed. This proposal is for a 150-page book introducing and updating
critical state soil mechanics, the original Cam-Clay model, and geotechnical
centrifuge testing. Fundamental soil mechanics needs review because Coulomb
(1773) made a simple fundamental error. When he considered failure on an
inclined plane he assumed that the slip direction was the same as the direction
of the plane. This is true only if shear failure takes place at constant volume,
as in undrained shear tests, but in general there is a volume change during
shear strain of any aggregate of hard particles. Taylor (1948) tested dense
sand in a drained shear box and in addition to slip by an amount x in the direction
of the plane found what he called ‘interlocking’. Dense sand grains rose up to
pass each other, and the distance y between the upper and the lower halves of
his shear box increased. Taylor’s analysis showed that the peak strength of the
sand was equal to a combination of an angle of friction (the angle of repose),
plus a term ðdy,dxÞ for interlocking which Coulomb never considered. When
Hvorslev (1937), working as Terzaghi’s research student, made shear box
tests on stiff clay in a drained shear box, he found an increase in water content
in the vicinity of the slip plane, as is also found on slickenside failures in the field.
The thickness of a slickenside increases, so there is interlocking. Terzaghi and
Hvorslev analysed their data in terms of Coulomb’s ‘true cohesion and friction’
without considering interlocking. Mistaking interlocking for cohesion, they
attributed peak strengths of their stiff reconstituted clay soil to surface chemistry
among clay soil grains.
I conceived an ideal soft cohesionless soil that I called Cam-Clay, Roscoe and
Schofield (1963), as a paste of frictional interlocking fine cohesionless soil
grains. It behaves like data of reconstituted soil on the wet side of critical
states; hence no cohesion need be considered in any newly disturbed soil,
including the dry side either. Terzaghi failed to appreciate that peak strength
is due to soil compaction. The physical phenomenon of peak strength is not
chemical but geometrical. Values of soil ‘cohesion and friction’ cannot charac-
terize disturbed soil compacted in road formations or in embankment dams or
in fill behind retaining walls. Coulomb himself in his earth pressure calculation
states in three places in his Essay that newly remoulded soil has no cohesion
and so avoids this error.
Schofield and Wroth (1968), though widely quoted, is little understood. What
was described in 1968 as ‘the inter-relation of concepts, the capacity to create
new types of calculation, and the unification of the bases for judgment’ was
extended in Schofield (1980) and there is no book available anywhere that
correctly clarifies Terzaghi’s fundamental error.
PREFACE xi
The Shorter Oxford English Dictionary has several definitions of what is meant by
the word genius, of which the earliest, dated 1513, is ‘the tutelary god or attendant of
a place, institution etc.’ and the latest, dated 1749 is ‘a native intellectual power of an
exalted type’. About the time of my seminars and of my proposal for a book,
Goodman’s (1999) biography of Terzaghi was published, with an opening chapter
titled ‘The Roots of Genius’ that considers the roots of Terzaghi’s genius. His
insight into the effective stress principle and his founding of the International
Society of Soil Mechanics and Geotechnical Engineering (ISSMGE) made
Goodman and Skempton and many others see him as the genius of 20th-century
soil mechanics. He taught that soil has Mohr–Coulomb strength ðc. cÞ on slip
planes, and that drained shear box tests of clay in Vienna by his research student,
Hvorslev, had found true ðc. cÞ values under well-defined effective stress condi-
tions. However, I was surprised by an anecdote that Goodman related, that, as
a Harvard professor, Terzaghi prevented and delayed publication of a textbook
by Taylor, an assistant professor at MIT, until his own textbook could be
published (Terzaghi and Peck, 1948, referred to below as T&P, and described by
Goodman as ‘the main pillar of geotechnical education’). Goodman’s anecdote,
and my high regard for Taylor’s insight that part of the peak strength of dense
sand called interlocking is due to volume increase during shear distortion, led me
to reassess Harvard soil mechanics teaching and to offer to give the Istanbul
ISSMGE Special Lecture (Schofield, 2001), which is the basis for this book. In
preparing that lecture I learned that I was wrong to suppose that Coulomb did
not consider interlocking. Indeed, at the start of the 18th century (300 years
before Goodman’s book), Amontons (1699) proposed a theory that rough asperi-
ties on a slip plane are the cause of sliding friction. Since slip planes are observed at
failure of soil, Coulomb’s soil mechanics started with a reasonable suggestion that
the strength of soil on such planes must involve a combination of Amontons’ fric-
tion plus some cohesion. Although the asperity theory of friction was discarded
early in the 19th century, the 18th-century slip plane approach was retained in
Mohr–Coulomb strength theory; however, slip plane friction became linked with
energy dissipation in sliding rather than with work done to surmount asperities.
The theory is universally taught as the basis of geotechnical design and of studies
that range from earth science and rock mechanics to bulk solids handling and
powder technology. This book will explain how Mohr–Coulomb theory is in
error; an Istanbul lecture slide made a statement that I justify in this book, that
Terzaghi and Hvorslev wrongly claimed that true cohesion and true friction in
the Mohr–Coulomb model fits disturbed soil behaviour. Geotechnical practice
using Mohr–Coulomb to fit undisturbed test data has no basis in applied
mechanics. Critical state soil mechanics offers geotechnical engineers a basis
on which to continue working.
Roscoe, Schofield and Wroth (1958) took an approach to soil that treated it as an
aggregate of stressed grains in which energy is dissipated during shear distortion by
internal friction. Our critical state (CS) hypothesis has stressed aggregates of grains
yielding on test paths, with changes of stressed packing that lead to ultimate steady
CS shear flow. Roscoe and Schofield’s original Cam Clay (OCC) model saw soil
approaching CS as contractive material with a combination of plastic compression
xii DISTURBED SOIL PROPERTIES AND GEOTECHNICAL DESIGN
and distortion. Cambridge undergraduates studied the OCC model while studying
structural plasticity, and before using slip planes in geotechnical analysis. In this
book, I will reinterpret dense clay strengths as the sum of internal friction and
Taylor’s interlocking (Schofield, 1998a, 1999), rather than Terzaghi’s sum of
true friction and cohesion, and I will reassess Casagrande’s liquefaction. The
error of Harvard soil mechanics teaching on Mohr–Coulomb failure criterion
and on contractive soil has been plain to see for 40 years in Figs 52 and 63.
I met plastic design of structures in lectures by Professor J. F. Baker in the first
year of my Cambridge University course in 1948, and I met soil mechanics in final-
year lectures by Roscoe in 1950. After graduating in 1951, I worked as a junior
engineer of Scott & Wilson, consultants to the Nyasaland Protectorate (now
Malawi), on low-cost road design and pavement materials location (Schofield,
1957), under a partner, Henry Grace, who had been a pupil first at Bristol Univer-
sity under Baker and then at Harvard University. Roscoe wrote to ask me to
become his research student at Cambridge University. I returned from Africa in
1954 with confidence both in plastic design methods and in T&P soil mechanics.
My studies led me to OCC, to geotechnical centrifuge model tests, and to ideas
on cohesion and liquefaction that differ from Terzaghi and Casagrande, two
acclaimed professors at Harvard University. I have tried to write this book
using few equations, in such a way as to explain to Henry Grace (were he still
alive) how Taylor’s insight at MIT changes soil mechanics. A reader can find
more words and equations in my Roscoe and Schofield (1963) paper and in my
book (Schofield and Wroth, 1968), published with my colleagues and friends
nearly 40 years ago.
While I am entirely responsible for the views expressed here, many students and
colleagues with whom I worked have helped me to understand soil mechanics over
these years, and in particular I thank Dave White for reading through a final draft
of this book, and Mark Randolph for writing a foreword to it. Stuart Haigh (2002)
(who as a student heard my final lectures) stayed to test models as a research
student, and has worked from a desk next to mine in the final months of my
work on this book. He not only read through the book but also worked out the
examples in Chapter 5 and drew Figs 56 to 60, so a special thank you is due to him.
Since our marriage in 1961, my wife Margaret has continued to encourage me
over 44 years in which I have developed OCC and centrifuge tests, into the present
years of retirement in Cambridge in which (with her support) I have completed this
book. I dedicate this book to my beloved wife.
Andrew N. Schofield
http://www2.eng.cam.ac.uk/
~
ans/ans1.htm
PREFACE xiii
Nomenclature
Abbreviations
ANS&A Andrew N. Schofield & Associates Ltd
BRS Building Research Station (now Building Research Establishment,
BRE)
CS critical state at which an aggregate of grains can flow steadily
CVR critical voids ratio (an early name for CS)
ESB Empire State Building
FE finite element, in a computation to solve a problem
ISSMFE International Society of Soil Mechanics and Foundation
Engineering (now International Society of Soil Mechanics and
Geotechnical Engineering, ISSMGE)
LCPC Laboratoire Central des Ponts et Chause´ es
NCL normal compression line
OCC original Cam Clay
OCR over-compression ratio
PPT pore pressure transducer
SOED The Shorter Oxford English Dictionary
SRC Science Research Council
SSA Simple Shear Apparatus
T&P Terzaghi and Peck (1948)
TC2 Technical Committee 2 of the ISSMGE
USACE US Army Corps of Engineers
WES Waterways Experimental Station
WWII World War II
Notation
A thickness of a marsh clay layer (Fig. 64)
B height of a levee on a marsh (Fig. 64)
A. B Skempton’s pore pressure parameters in Eqn (25),
Áu ¼ B½Áo
3
þ AðÁo
1
ÿÁo
3
ފ
B
0
Skempton’s pore pressure parameter in Eqn (26b),
Áu ¼ BAÁo
a
¼
"
BBÁo
a
C thickness of a sand layer below clay (Fig. 64)
c cohesion; strength property (Fig. 1(b) and Eqn (2))
c
0
Hvorslev’s true cohesion (Fig. 27)
e ratio of the void volume to the solid volume in a grain aggregate
G
s
mass of a unit volume of a solid soil grain, about 2700 kg/m
3
g the acceleration of Earth’s gravity field, about 10 m/s
2
I
L
liquidity index, I
L
¼ ðw ÿ w
L
Þ,ðw
L
ÿ w
P
Þ
l length of a triaxial test specimen (Fig. 2(b))
l Coulomb’s equation has a constant l ¼ 2c tanð45 ÿ c,2Þ (Eqn (5))
m Coulomb’s equation has a constant m ¼ ð¸,2Þ½tanð45 ÿ c,2ފ
(Eqn (5))
n porosity of an aggregate, n ¼ e,ð1 þ eÞ
n
0
Casagrande’s (1937) critical porosity
n
1
. n
2
porosities (Fig. 17)
P
A
the minimum force on Vauban’s wall in Coulomb’s equation
(Eqn (5)), P
A
¼ mh
2
ÿ clh
p
0
mean normal effective pressure
p
0
¼ ðo
a
þ 2o
r
Þ,3 ÿ u ¼ ðo
0
a
þ 2o
0
r
Þ,3 (Fig. 2)
p
0
effective pressure at CS point C (Fig. 55)
p
0
B
the pressure at B (Fig. 18(b))
p
0
K
the pressure at K (Fig. 18(b))
q deviator stress; q ¼ ½ðq
2
1
þ q
2
2
þ q
2
3
Þ,2Š
1,2
(Eqn (23))
q q ¼ o
0
a
ÿ o
0
r
(Fig. 2)
s in Eqn (19) and Fig. 31, s ¼ ðo
1
þ o
2
Þ,2
t in Eqn (19) and Fig. 31, t ¼ ðo
1
ÿ o
2
Þ,2
u water pressure (Eqn (1))
V a point on the right of Fig. 61
v specific volume of aggregate v ¼ 1 þ e (Fig. 2(a))
v
`
in Eqn (10), v
`
¼ v þ `ln p
0
; in Fig. 55(a) at CS, v
`
¼ ÿ þ` ÿ i
w water content ratio of the mass of pore water to the mass of solids
in an aggregate
w
L
water content at the liquid limit
w
P
water content at the plastic limit
x shear box displacement (Fig. 1(a))
y shear box rise (Fig. 1(a))
c slip plane angle, c ¼ c
d
¼ 458 (Fig. 4(a))
ÿ CS soil constant, ÿ ¼ v þ `ln p
0
¸ weight of a unit volume of soil, ¸ ¼ ¸
w
ðG
s
þ eÞ,ð1 þ eÞ
¸
w
weight of a unit volume of water
· strain
·
x.y
strain components (Fig. 30(f ))
·
c.u
strain components (Fig. 30(g))
j generalized stress obliquity in a triaxial test, j ¼ q,p
0
; at CS,
j ¼ M
i slope of inclined single lines (Fig. 18(b))
` slope of double lines (Fig. 18(b))
M CS friction constant (Eqn (9))
j friction coefficient (Eqn (2))
o total stress normal to a plane (Fig. 1(a))
o
1
. o
2
. o
a
. o
b
total stress components on planes (Fig. 33)
o
i
. o
j
generalized stress components (Fig. 51)
NOMENCLATURE xv
o
0
effective stress (Eqn (1))
o
0
f
. o
0
g
. o
0
a
. o
0
r
effective stresses (Fig. (11))
t shear stress on a plane (Fig. 1(a))
t
1
. t
2
shear stresses near and on a slip plane (Fig. 11(a))
c angle of friction (Fig. 1(b))
c
d
drained angle of friction (Fig. 4(c))
c
0
angle of friction (Fig. 10(c))
xvi DISTURBED SOIL PROPERTIES AND GEOTECHNICAL DESIGN
Contents
Foreword vii
Preface x
Nomenclature xiv
1 Slip plane properties 1
1.1 Maps of soil behaviour 1
1.2 Masonry in Coulomb’s Essay 7
1.3 Marshal Vauban’s fortress wall 12
1.4 Soil properties in Coulomb’s Essay 15
1.5 Coulomb’s law 19
2 Interlocking, critical states (CS) and liquefaction 22
2.1 An interlocking soil strength component 22
2.2 Frictional dissipation of energy and the CS 29
2.3 Reynolds’ dilatancy and Hazen’s liquefied soil 32
2.4 Hazen’s liquefaction and Casagrande 35
2.5 Herrick’s liquefaction 41
2.6 Failure at low effective stress 43
3 Soil classification and strength 46
3.1 Casagrande’s soil classification and soil plasticity 46
3.2 Hvorslev’s clay strength data and the CS line of clay 50
3.3 CS interpretation of Hvorslev’s shear box data 58
4 Limiting stress states and CS 65
4.1 Strain circle, soil stiffness and strength 65
4.2 Rankine’s soil mechanics 73
4.3 Skempton’s parameters A and B, and CS values of c and c 78
5 Plasticity and original Cam Clay (OCC) 88
5.1 Baker’s plastic design of steel frame structures 88
5.2 The associated flow rule and Drucker’s stability criterion 91
5.3 Thurairajah’s power dissipation function 94
5.4 The OCC yield locus 96
5.5 Test data, model modification and OCC teaching 105
5.6 Laboratory testing and geotechnical design 110
6 Geotechnical plastic design 112
6.1 The place of plastic analysis in design 112
6.2 Lessons from the geotechnical centrifuge 114
6.3 Herrick’s liquefaction in models 117
6.4 Geotechnical centrifuge developments 123
6.5 Conclusions 125
References 129
Index 134
xviii DISTURBED SOIL PROPERTIES AND GEOTECHNICAL DESIGN
1 Slip plane properties
Coulomb was taught Amontons’ asperity theory of friction on slip planes and
Musschenbroek’s cohesion theory, but simple experiments led him to question
these 18th-century theories for the strength of soil and rock.
1.1 Maps of soil behaviour
For 300 years, since 1700, engineers have defined disturbed soil behaviour by slip
plane strength properties. Coulomb applied the slip plane model to both disturbed
and undisturbed soil and rock in an Essay that he wrote in French, On an Applica-
tion of the Rules of Maximum & Minimum to Some Statical Problems, Relevant to
Architecture (Coulomb, 1773). That Essay was on limiting states of masonry
construction. Heyman (1972) made the Essay accessible in an English translation,
with a study of Coulomb’s place in the history of civil engineering. George
Washington and Charles Coulomb were very much of an age. American geotech-
nical engineers who have read Goodman’s book and were interested in the histor-
ical context of Terzaghi’s work may also find it interesting that Washington was
born in 1732 and Coulomb 4 years later; Washington died on 19 December 1799
at the very end of the 18th century, and Coulomb died 6 years later. Washington
came from a well-born Virginia planter family, and pursued two intertwined inter-
ests: military arts and Western expansion. At 16 he helped survey Shenandoah
lands for Thomas, Lord Fairfax. Commissioned a lieutenant colonel in 1754, he
fought in the first skirmishes of the French and Indian War. In the War of Inde-
pendence that followed, he became US Commander in Chief, taking command
at Cambridge, Massachusetts, on 3 July 1775. The British gun batteries defending
Boston and New York against French ships had great military importance to the
armies. Heyman tells of Coulomb’s experience of construction of similar fortifica-
tions as a young French Royal Engineer in Martinique, where major French forti-
fications were needed against possible attack by the British Navy. Coulomb’s
posting there was accidental. A ship was sailing from Brest in February 1764,
and the engineer who had been posted originally fell ill. Coulomb, aged 28, was
drafted in his place. He was put in charge of the work in Martinique. In finding
the earth pressure in the ramparts using the slip plane model, he developed a
new calculation that improved on what he had been taught in France. When he
got back to France (in broken health after 13 years of overseas service on a
fever-stricken island) he included his new earth pressure calculation in the 1773
Essay on admission to the Academy.
Figure 1(a) sketches a shear box containing soil. In a soil shear test the total
pressure o on the mid-plane is held constant. Any water pressure u in the pores
of soil or rock is subtracted from the total stress o to give the effective stress o
0
Fig. 1 Coulomb’s 1773 Essay. (a) Shear box. (b) Shear box test data plots. (c)
Coulomb’s Plate 1 (French Academy of Sciences, prior to the French Revolution)
2 DISTURBED SOIL PROPERTIES AND GEOTECHNICAL DESIGN
normal to the slip plane (Eqn (1)). In the slip plane model (Eqn (2)), when a vector
of effective stress ðt. o
0
Þ across the mid-plane reaches a limiting value there is a slip
displacement þx (Fig. 1(b)). The 18th-century definitions of friction and cohesion
were symmetrical, and supposed that soil and rock had properties called friction
and cohesion where:
. friction depends on o
0
but is independent of the plane area;
. cohesion depends on the plane area but is independent of o
0
.
If a set of drained tests at various values of normal stress o
0
gives a set of peak
strength points that lie on a line BC in Fig. 1(b), then the slope c and the intercept
c of that line will give the friction angle c and cohesion c soil strength properties in
Eqn (2):
o
0
¼ o ÿu ð1Þ
Æt ¼ c þjo
0
¼ c þtan co
0
ð2Þ
Terzaghi and Hvorslev regarded the intercept c in Fig. 1(b) as true cohesion due to
the close approach of clay grains to each other. If that were so, the same cohesion
would apply at all o
0
values. Alternatively, in Fig. 5(d), dense clay strengths are
reinterpreted without any cohesion at all as the sum of internal friction (on the
line AC) and interlocking (bringing peak strengths up to BC). Coulomb gave an
example of the design of a high rampart such as the one that he built in Martinique
with a masonry wall that retained well-drained soil. Although the soil was well
compacted, his design assumed that it had zero cohesion, and he wrote words
that the reader should re-read several times:
Supposing that the coefficient of friction is unity, as for soils which take a slope
of 458 when left to themselves and that the cohesion is zero, as for newly
disturbed soils:
(Si l’on suppose que le frottment soit e´gal a la pression, comme dans les terres
qui, abandone´es a` elles-meˆmes, prennent 45 degre´s de talus; si l’on suppose
l’adhe´rance nulle; ce qui a lieu dans les terres nouvellment remue´es:)
The critical state (CS) concept agrees with what Coulomb puts forward here.
Engineers should still learn to design for newly disturbed soil with zero cohesion,
and to link internal friction with the observed slope at repose of an aggregate of
disturbed soil grains. The matrix of soil grains in mechanical contact gives soil
its elastic stiffness. I will calculate soil plastic strength from the dissipation of
energy in shear distortion of a unit volume of the aggregate of solid soil grains.
I will use the word grain rather than particle (a word better used in the context
of basic physics). The Frontispiece map considers soil bodies that exhibit other
mechanisms of behaviour, as well as slip on planes.
Maps give information about what is supposed to be known, and where to look
for what is not yet known. The limiting states of incipient slip plotted on the line
BC in Fig. 1(b) can be seen as mapping slip displacement soil behaviour at points
on the map with stress state coordinates ðt. o
0
Þ. Each dashed arrow in Fig. 1(b)
shows the succession of stress states on a test path that ends in slip plane
SLIP PLANE PROPERTIES 3
formation. If a test shows new behaviour not predicted by the slip plane model
state, points on a new map can record this, just as old maps were revised with
explorers’ new findings. The shear box allows only simple soil behaviour, with
slip in one direction or the other depending on the sign Æ. The triaxial cell
(Fig. 2) is less constraining. It lets some specimens fail with inclined slip planes
and lets other specimens exhibit axial compression and bulge laterally (Fig. 2(c)).
The geotechnical centrifuge allows even more freedom for soil bodies to exhibit
failure mechanisms and unexpected behaviour. My Rankine Lecture (Schofield,
1980) on geotechnical centrifuge modelling showed a map of soil behaviour like
the Frontispiece, with coordinates relating to triaxial test states.
There must be stress at boundaries, and forces at grain contacts, if innumerable
small soil grains without cohesion are to aggregate together and form a solid body.
When stresses change we do not see all grain movement in the aggregate in a
specimen. We see and measure displacements of boundaries that are caused by
integrated effects through the aggregate. The slip plane model does not predict
all the successive forms of a specimen. A body can divide into separate blocks
with slip displacement on planes, or crack with blocks moving apart from each
other, or bulge and flow. The behaviour of a solid body that deforms under
load but returns to its original form when the load is removed is called elastic;
the word plastic describes the behaviour if the body is left with permanent
deformation. The Shorter Oxford English Dictionary (SOED) tells us that the
word ‘plastic’ in the English language is derived from the Greek word
‘plassein’ (plassein) for forming clay paste into a pot or a figure. One difference
between soil and metal is that soil paste saturated with water shows permanent
changes not only in shape but also in volume and water content. Volume change
in an aggregate of grains in a soil paste shows up as a change in soil water content.
If soft water-saturated soil paste is allowed to dry in the air and is remoulded
between the fingers, changes of behaviour are observed with the change of water
content. At a water content called the liquid limit w
L
the paste has the consistency
of clotted cream. At what is called the plastic limit w
P
the paste has dried to the
Fig. 2 Triaxial test stresses and strains
4 DISTURBED SOIL PROPERTIES AND GEOTECHNICAL DESIGN
point at which it breaks into crumbs when we try to roll it into a thread.
Casagrande called the range w
L
ÿw
P
of water contents over which soil paste
exhibits plastic ductility the plasticity index I
P
. The liquidity index
I
L
¼ ðw ÿw
L
Þ,ðw
L
ÿw
P
Þ expresses the current water content w of a paste relative
to the liquid and plastic limits w
L
and w
P
. There are great differences between the
materials and pore water chemistry in different soil pastes, but pastes with the same
liquidity index have similar mechanical behaviour. A point in the Frontispiece
map defines a soil state in terms of two parameters ðv
`
. jÞ, where v
`
¼ v þ`ln p
0
is a measure of the effective liquidity and packing of a stressed grain aggregate
and j ¼ q,p
0
is a measure of the stress obliquity in that aggregate. Words on
the map record the behaviour seen in soil in states in various zones. This book
will discuss types of behaviour that are indicated on the map. I will argue that
soil liquefaction is not a phase transition from solid to liquid throughout an
aggregate but a failure mechanism in which a soil body near to zero effective
stress cracks and crumbles and is fluidized by seepage forces. In a zone on the
left in the Frontispiece the catastrophic transition from a solid body to flowing
rubble and hydraulic fracture and piping events are all linked under my heading
Herrick’s liquefaction.
It is another difference between soil and metal that geotechnical engineers can
break up soil by hand in water into slurry that is washed through a nest of
sieves in their site investigation. The innumerable clean solid grains left on the
sieves are weighed to give a grading analysis. The mechanical behaviour of the
disturbed soil that this book discusses depends on the behaviour of the aggregate
that would be formed if all those grains were mixed together. Drained heaps of
aggregate (whatever the height) usually have slopes at the same drained angle of
repose c
d
; this angle was taken to define the internal friction in soil in the 18th
century. Increased effective stress does not usually reduce the internal friction in
an aggregate. Aggregates in which increased stress reduced c
d
would be unusual;
in such aggregates, deep-seated slip failure would reduce the slope angle of high
heaps. The angle c
d
and the Greek letter M (capital mu) in the original Cam
Clay (OCC) model will be linked in Eqn (44).
Figure 1(c) is Plate 1 from Coulomb’s Essay; in it, his Fig. 7 shows that he
considered very small slips on many parallel slip planes, as well as localized rupture
on discrete slip planes. He extended the slip plane model of behaviour that he had
been taught to include continuous shear, but not to include another aspect of
deformation that needed consideration, spherical compression of soil paste
under an increase of triaxial cell pressure. The OCC model of plastic behaviour
of triaxial test specimens that will be discussed later in this book does include
plastic compression. It recognizes that when stressed grains slip in an aggregate
they can pass or move towards or away from one another, or rotate. In Fig.
2(a), many soil grains that all together have a unit volume form an aggregate in
solid-to-solid contact, with a pore volume e. The specific volume v ¼ 1 þe defines
grain-packing density; v varies from one specimen to the next. In saturated soil
with a solid grain specific gravity of G
s
the weight of the solid grains and of the
water in the pore space together is G
s
þe, and the saturated unit weight of the
soil is ðG
s
þeÞ,ð1 þeÞ. If a saturated soil specimen is weighed, dried in an oven
and reweighed, the specific volume v can be calculated.
SLIP PLANE PROPERTIES 5
In a shear box the slip plane measure of stress obliquity in cohesionless soil is
t,o
0
< tan c (Eqn (2)); as the obliquity of a vector of stress acting on a potential
slip plane increases, more and more friction is mobilized; slip occurs when friction
is fully mobilized. In a triaxial test (Fig. 2(a)), the effective stress parameters, mean
normal pressure p
0
¼ ðo
a
þ2o
r
Þ,3 ÿu, and shear stress q ¼ o
a
ÿo
r
, and specific
volume v define an isotropic stressed aggregate stress state ðq. p
0
. vÞ. The triaxial
test stress ratio j ¼ q,p
0
in the Frontispiece is a measure of the triaxial stress
obliquity.
A shear box has rectangular corners that make it difficult to prevent pore water
from leaving the test specimen. A triaxial test cylinder of soil is encased in a rubber
sheath that is clamped tightly to the top cap and the pedestal by rubber rings so
that the volume of pore water dv that leaves the specimen is controlled. In drained
triaxial tests the drainage dv is measured at the pore water connection (Fig. 2(a)).
In an undrained test, changes of the pore water pressure u are measured, and the
effective stress is calculated (Eqn (1)). Later, in Fig. 22(b), we will come to a simple
representation of the cylinder of soil as a compression spring, but here a general
measurement of deformation involves both a volume change dv and a distortion
d· of the specimen. The length of the specimen is l, the axial strain in the test is
dl,l, and the volume strain is dv,v. Compression with no distortion produces an
axial strain
1
3
dv,v. If there is both volume change and distortion in a deformation,
d· ¼ dl,l ÿ
1
3
dv,v is the pure distortion (Fig. 2(b)).
A state of a triaxial test specimen is defined by two parameters ðj. v
`
Þ; the
stressed-aggregate packing parameter v
`
¼ v þ` ln p
0
combines effective pressure
and specific volume. The ratio j ¼ q,p
0
is the stress obliquity. The stressed grain
aggregate packing in triaxial test specimens changes during distortion. As a test
progresses, state points follow a path that moves across the map in the Frontis-
piece. CS flow satisfies the equations v
`
¼ ÿ and j ¼ M, where ÿ and M are the
soil constants that give the CS point in the Frontispiece. Schofield and Wroth
(1968) discussed steady-state CS flow with no cohesion between grains as follows:
Consider a random aggregate of irregular solid (grains) of diverse sizes which
tear, rub, scratch, chip, and even bounce against each other during the process
of continuous deformation. If the motion were viewed at close range we could
see a stochastic process of random movements, but we keep our distance and
see a continuous flow. At close range we would expect to find many complicated
causes of power dissipation and some damage to (grains); however we stand
back from the small details and loosely describe the whole process of power
dissipation as ‘friction’, neglecting the possibilities of degradation or of orienta-
tion of (grains).
The OCC straight line in the Frontispiece follows the gradual mobilization of
internal friction; CS plastic shear flow occurs with an increase of stress obliquity
and decrease of specific volume that ultimately reaches the CS value v
`
¼ ÿ. In
the zone shaded with vertical lines in the Frontispiece, where stress ratio values
are j,M¼ q,Mp
0
< 1, friction is not fully mobilized in soil (e.g. at rest below
slopes of a heap at repose). The deformation behaviour of a stressed aggregate
of random disturbed solid grains of all shapes and sizes is mapped in the Frontis-
piece. In general, it is at rest at ðv
`
. jÞ, but at the CS point where v
`
¼ ÿ and j ¼ M
6 DISTURBED SOIL PROPERTIES AND GEOTECHNICAL DESIGN
the grains flow as a frictional fluid. Energy is dissipated in shear distortion of a
stressed aggregate. Analysis of the data of a series of triaxial tests at Cambridge
University in 1962 led to a simple equation (Eqn (33)) for the dissipation of
energy both in yielding and in continuous flow, as a function of effective stress
and plastic strain in the aggregate. The OCC hypothesis that a frictional aggregate
yields with small stable plastic deformation increments led to equations that, when
integrated, defined the strength of the ideal OCC soil (Roscoe and Schofield, 1963;
Roscoe et al., 1963a).
In states in the Frontispiece on the straight OCC line the aggregate yields as
paste. In states on the ‘watertight slip plane’ curve, a soil body fails with deforma-
tion becoming localized in layers where what is called gouge material softens to a
CS paste on the slip plane. If a body such as an embankment dam deforms as a
whole with a mechanism of slip planes and zones of plastic yielding without inter-
connected open cracks, it remains watertight. Strength on slip planes has a plastic
component that is due to CS friction, and another peak component due to inter-
locking. While CS friction usefully dissipates damaging load energy, the peak
component that is due to interlocking dissipates no energy. In over-compacted
states above CS density v
`
< ÿ the dense aggregate of lightly stressed soil grains
can have high stiffness, but a body is unsafe if it depends on interlocking peak
strength components for stability; in brittle failure mechanisms high loads
impart kinetic energy to soil masses, and their motions subsequent to failure
cannot be predicted. The Frontispiece contrasts compaction to a density at
which soil is strong but ductile and safe, with unreliable high compaction to
states with v
`
(ÿ of soil that is so dense and stiff that stress obliquity can rise
to values as high as j ¼ 3. Water-retaining structures of such soil can fail by
cracking or piping, causing high secondary permeability. Both Coulomb and
Rankine relied only on fully disturbed CS strength. It was safe for Coulomb to
use his low safety factor of 1.25 if his construction retained ductility, but the
over-compacted soil that was used to build the Los Angeles, Division of Water
and Power reservoir in the Baldwin Hills, or the US Department of the Interior,
Bureau of Reclamation dam on the Teton River would not have been made safe
by a 1.25 safety factor.
1.2 Masonry in Coulomb’s Essay
At this point a digression is needed about masonry, as lightly cemented heavily
over-compacted soil that cracks into discrete block rubble behaves rather like
random masonry. When large rough blocks of stone were brought by river in
the 15th century to construct King’s College Chapel in Cambridge (illustrated
on the front cover) they were sawn up and chiseled into shape on site. As construc-
tion progressed in successive bays along the length of the chapel, each block of
rock had faces squared to fit against the faces of adjacent blocks, all to the original
design. In the work that halted on Henry VI’s death the masons left a saw cut in
one large block that they did not complete until Henry VII restarted the work.
The early part of the work had the austerity appropriate to the pious Henry VI.
The later part was decorated with proud emblems, the rose of the Tudors and
the portcullis of Lady Margaret Beaufort, mother of Henry VII. Masons erected
SLIP PLANE PROPERTIES 7
formwork high in the air, and lifted the heavy blocks with ropes to assemble them
on the formwork. When wedges at points in the formwork were knocked away, all
the blocks descended together under gravity. As an arch settles, it reacts on the
abutments. A heavy keystone in the centre of an arch makes a line of force pass
from one block to the next from abutment to abutment. If one block crushes
when the full load bears on it, every block in an arch will settle safely on the form-
work. Masons then replace that defective block and repeat the process. All defec-
tive material was detected and eliminated as every block survived the construction
process.
Such masonry structures have no cement in their joints and are flexible. If a great
gale of wind applies a force to the structure or if the ground moves, a joint in the
masonry can open up, with a hinge along a line where two blocks make contact. As
the structure then moves a little, forces find alternative paths but the thrust vectors
in the masonry must remain in equilibrium (Heyman, 1995). The masons did not
learn the graphics that engineers were taught in the late 19th century, but Heyman
states that their use of models is well attested; they could learn a lot from diminu-
tive models. Figure 3(a), from Rankine’s 1874 textbook, shows a vertical section of
a buttress supporting an inclined thrust P from the roof at C in the direction CA.
The vector diagram APR represents the equilibrium of the masonry above section
DE. If the line of thrust CAR through the masonry is inverted, it has the form that
a string CR would have with W as a weight hung from the string. It has been
known from early times that a catenary form as adopted by a string hanging
under self-weight would, if inverted, be the perfect form for an arch; a Parthian
brick arch near the Tigris 20 miles from Baghdad at Ctesiphon exemplifies this.
In Fig. 3(a) the height of the buttress above C has been increased to increase the
weight W and make P and W have a resultant R that acts within the section
DE of contact in the masonry. This principle is evident in the pinnacles at the
corners of King’s College Chapel (Fig. 3(c)).
Fig. 3 Masonry. (a) Thrust lines in a buttress (from Rankine, 1874). (b) Chord
with weight W. (c) Plan and elevation of King’s College Chapel
8 DISTURBED SOIL PROPERTIES AND GEOTECHNICAL DESIGN
In the 15th century the Earth was considered flat; up was good and down was
bad. In Gothic Perpendicular style, an ideal structure should rise vertically to
heaven without a sloping line of props or flying buttresses that were thought
ugly. The King’s College Chapel vault inevitably required lateral support,
provided along the length of the chapel by triangular buttress slabs, projecting
out at each side (Fig. 3(c)). Between these slabs at their base there are closets,
some of which form side chapels S. The resultant of the thrust from the vault
and the weight of the slab is a vector that falls within the base of these buttresses.
At each corner of the chapel there is less lateral thrust of the vault than along a
side, but the increased weight of each high tower T combines with these thrusts
to make thrust lines that fall within the small circular bases of the towers. The
masons of the chapel thus created an illusion of ideal Perpendicular construction
without any ugly sloping lines. From outside the side chapel walls the ugly slope
of the buttresses cannot be seen against the strong vertical profile of the elegant
soaring corner towers. They are unbelievably slender when compared with other
famous Gothic towers that were completed at about the same time such as the
leaning tower of Pisa. From inside the chapel all that can be seen are the edges
of the buttress slabs in the wall of stained glass, thin lines that Wordsworth saw
as lofty pillars supporting tens of thousands of stone blocks to
. . . spread that branching roof
Self-poised, and scooped into ten thousand cells.
Each builder who learns the skills of an older master-builder will in their turn teach
the next apprentice. From very early times, men such as those who built Stone-
henge had to understand static equilibrium to organize the erection of the large,
heavy stone blocks in that structure. By the time of the East Anglian masons,
such men probably used models to learn the effects of applied loads and the thrusts
in stone skeletons. A line of thrust must pass through masonry blocks. No stone
block is flexible, but hinges can open in a stone skeleton. If hinges close up so
that blocks fit together again, the skeleton is restored to the form that it had
when first built. It will be argued later that, because no energy is dissipated in
the opening and closing of any hinge, a stone skeleton is less safe than a modern
steel skeleton structure, but use of a model as a structural analogue made
Gothic construction fairly safe. More was known about static equilibrium than
about strength in the 15th century, but the formwork provided what was in
effect a full-scale apparatus for testing material; the strength of all the material
was tested by an observational method as construction progressed. Physics and
mathematics have made slow progress. When peasants first made a tally, it was
easy to make a scratch on a rock or a piece of slate for each beast; but scribes
needed to read such scratches quickly, and taught men to form what we call
Roman numerals. The five fingers on a hand are represented by two scratches
for the letter V, and the ten fingers on two hands by two scratches for the letter
X. Two scratches < < is read as the letter C for 100, and four scratches give the
letter M to denote 1000. The Roman numerals were displaced by Arab numerals,
but when I lifted floor boards in a first-floor room of my house in Cambridge (built
in about 1650) I was intrigued to see chisel cuts making Roman numerals on each
beam. I do not know if the 17th-century builder salvaged those beams from an
SLIP PLANE PROPERTIES 9
older building or if he made those chisel cuts himself, but I think if he had been
asked then to mark today’s date of 2005 in a stone in the face of the house he
would quickly make ten cuts, forming MMV. That skill is lost. No builder
today would be asked to chisel those three letters in oak or in stone.
I am not an expert on 17th and 18th-century engineering, and have read few
papers of the period. Coulomb’s Essay was one of the papers on slip and strength
published by the French Academy of Science in the 18th century. Coulomb’s Fig. 5
within his Plate 1 (shown in Fig. 4(a)) shows compression failure of a column of
undisturbed rock with a slip plane CM inclined at c. The triangle of normal and
shear forces R and N on CM shows that R ¼ N tan c. Amontons tested surfaces
of various solid materials sliding in contact and, in explaining his data, he
suggested that asperities on sliding surfaces cause resistance to slip. This effect is
what Taylor later called interlocking. If asperities act like teeth (Fig. 4(b)), with
slip on smooth contact faces at an angle c, interlocking causes a resistance to
sliding of R ¼ N tan c independent of the area of contact and proportional to
the force N normal to the slip plane. It fits the 18th-century definition of friction,
but an interlocking motion that surmounts smooth asperities does not dissipate
energy, which is how friction was defined in the 20th century. Coulomb’s 1773
paper accepted Amontons’ friction as a first component of the internal strength
of soil and rock. Eight years later, Coulomb (1781) reported subsequent friction
tests with various sliding materials. Realizing that the asperity theory of friction
cannot continue to apply after the first asperities have slipped past each other,
he considered other suggestions for the physical causes of resistance to slip in
the slip plane model of soil strength. In that later publication (p. 117) Coulomb
questioned the friction, cohesion and interlocking components, and wrote of the
need for new insights from further experiments as follows:
The physical cause of the friction opposing the slip of surfaces on each other
cannot be explained by the engagement of surface asperities that do not dis-
engage as they bend, or break, or as they surmount each other, or perhaps by
the molecules of the plane surfaces in contact gaining a coherence that must
be overcome to produce movement: only experiment can help us to determine
the reality of these different causes.
(La cause physique de la re´sistance oppose´e par le frottement au mouvement
des surfaces qui glissent l’une sur l’autre, ne peut eˆtre explique´e, ou que par
Fig. 4 (a) Coulomb’s slip plane in rock. (b) Amontons’ asperities. (c) Slope at repose
10 DISTURBED SOIL PROPERTIES AND GEOTECHNICAL DESIGN
l’engrainage des aspe´rite´s des surfaces qui ne peuvant se de´gager qu’en se pliant,
qu’en se rompant, qu’en s’e´levant a` la sommite´ les unes des autres; ou bien il faut
supposer que les mole´cules des surfaces des deux plans en contact contractent,
par leur proximite´, une cohe´rence qu’il faut vaincre pour produire le mouvement:
l’expe´rience seule pourra nous de´cider sur la re´alite´ de ces diffe´rents causes.)
Rupture planes through intact rock and slip planes through soil are rough and
have asperities. The behaviour of loose granular aggregate such as sand or
gravel (Fig. 4(c)) was explained by asperities that are teeth with smooth horizontal
surfaces on which a smooth grain can move in either direction, as shown by the
double arrow, hence c ¼ c
d
. All 18th-century writers took the angle of repose
c
d
as the internal friction angle of soil. In Fig. 5(a), force components ðN. RÞ
normal to and tangential to the slope at repose are applied by a slab of soil to
the slope on which it rests. In Fig. 5(b), points on a line AC with slope c
d
represent
values of N. R at increasing depths in the slope: the same points are plotted as
components of stress (force per unit area o
0
. t) normal and tangential to the slip
surface in line AC (Fig. 5(c)). A series of slabs of increasing thickness (Fig. 5(a))
gives limiting stress points ðt. o
0
Þ on a line AC in Fig. 5(c) with a slope c
d
. This
was thought to be well known and not to need experiment.
An 18th-century physics textbook by Musschenbroek (1729) taught that the
cohesion strength component that is independent of the normal force acts effec-
tively on a slip area and depends on the slip area, and that this cohesion resists
direct separation of a solid body into parts, with the same effect causing both the
tension and the shear strength of solids. This was not obviously true, and
needed experiment. Figure 1(c) depicts Coulomb’s tests that showed the teaching
not to be exactly true even though the strength values were close enough for prac-
tical purposes. Tests of stone slabs are shown in Coulomb’s 1773 Plate 1 (Fig. 1(c)).
To measure cohesion in tension, in his Fig. 1 he had a slab of limestone with two
notches cut into it, with a weight hung on a loop of rope; it broke in tension across
Fig. 5 Coulomb’s soil strength theory. (a) Aggregate at repose in a drained heap.
(b) Forces. (c) Stresses. (d) Hvorslev’s peak strengths
SLIP PLANE PROPERTIES 11
the neck section ef. Other slabs were built into a wall. His Fig. 2 shows a short slab
with a heavy weight hung from a rope round it to cause shear failure, and his Fig. 3
shows a longer slab with a smaller weight hung from it to cause the upper surface
near the wall to fail in tension. His limestone strength data were that the notched
square slab 1 inch thick with a neck 2 inches wide failed with a tensile adhesion of
215 lb/in
2
and the short slab loaded with a force directed along the plane of shear
by a rope that passed round it close to the clamped end failed with a cohesion of
220 lb/in
2
. These strengths were almost the same, but the strength in shear
(cohesion) was usually slightly larger than the strength in direct tension (adhesion).
His test results for limestone were repeatable; the results for brick were not.
Musschenbroek was in error: tensile and shear strength are different; adhesion
and cohesion are not identical physical effects.
Several questions arise here for geotechnical engineers today. Why do we not
test soil in direct tension in the same way as Coulomb tested rock, and as structural
engineers test steel? We can never be sure if cemented bonds between grains that
formed in past times have been broken by subsequent disturbance, with failure
both in shear and in tension. Coulomb and Rankine did not rely on cohesion;
why are we less prudent than them? When engineers rely on cohesion to resist
slip on new slip surfaces through undisturbed soil or on old slip surfaces that
become bonded or cemented over time, do they appreciate that disturbed soil is
only left with frictional shear strength? Coulomb’s case of c ¼ c
d
¼ 458 is consis-
tent with R ¼ N on the inclined rupture plane, and with Amontons’ suggestion
that interlocking is the cause of friction. If Coulomb had wanted to include any
cohesion c
0
(Fig. 5(c)) in a calculation it would be a constant for undisturbed
soil that is not altered by o
0
, the effective normal pressure. A line BC
0
(Fig. 5(c))
displaced by a constant amount c
0
above AC would define Coulomb’s limiting
stress in undisturbed soil. Hvorslev found data that fitted a line BC with
c ¼ constant and c < c
d
(Fig. 5(d)), but his data did not support extension of
the line to the right of C, where there is plastic compression ultimately at some
point.
1.3 Marshal Vauban’s fortress wall
Before the 18th century, a force in a fort with high ramparts was safe but could still
sally out to engage attackers. After heavy cannon fire could bring down ramparts,
the infantry who had to fight in the open field took heavy casualties from the fire
of horse-drawn light cannon and from cavalry. Marshal Vauban (1633–1707)
built many forts to defend France, and formed an army engineer corps (Corps
Royale du Ge´ nie) to assist in the attack and defence of forts. He wrote books on
this, and gave the cross-section for a masonry wall that could retain a rampart of
compacted drained soil. If very heavy cannon fire dislodged masonry blocks so
that the wall fell and the retained soil formed a slope at repose, an enemy could
storm up the slope, over the rampart and into the fort (as in the fall of Constanti-
nople in 1453). Vauban’s glacis embankments stopped cannons from battering the
masonry. A vertical wall retained the glacis. It faced the fort wall, inwards. These
escarpment and counterscarp walls formed a ditch (Fig. 6) that could be swept by
defensive fire from bastions. Defensive fire from the ramparts also swept the gradual
12 DISTURBED SOIL PROPERTIES AND GEOTECHNICAL DESIGN
outward glacis slope. Discreet sally ports in the wall of the fort let the defenders sally
out into the ditch, where they could engage attackers at close quarters. An attacking
regiment (in the Napoleonic war in the Iberian peninsular for example) had to climb
the wall with ladders from the ditch, while their grenadiers supported their attack by
marching up the glacis under fire to throw grenades at the men on the ramparts
(grenadiers faced great danger, and children still sing the Grenadier Guards song
‘Our leaders carry fuses and we the hand grenades. We throw them from the glacis
about the enemy’s ears’). Great cities in the 18th and 19th centuries had star-
shaped fortifications in plan view, with ramparts and bastions from which defensive
cannon could fire at attackers. Old cities that were garrisoned and provisioned for
18th-century defence still have esplanades, ramparts and sally gardens. In the 21st
century these are used as public spaces for leisure, and seen as quaint. Engineers
today, unfamiliar with the reasoning behind the design and construction of these
fortification details, do not learn why Coulomb thought a wall of Vauban’s specified
width at the top and with his specified batter of the face can stand up and retain soil,
whatever the wall height.
For slip of a soil wedge in a fill behind Vauban’s walls on a plane shown by the
dashed lines in Fig. 6, Coulomb resolved the forces W and P due to the weight of
the wedge and the lateral force applied by the wall to get average stresses on the slip
plane. Introducing these stresses ðt. o
0
Þ into Eqn (2) gives an expression for P in
terms of the length x of the horizontal face of the wedge. Calculus finds the least
value of P. When a school for French Royal Engineers was opened in Me´ zie` res
in 1749 the teaching included the design of ramparts with high masonry walls
under the lateral pressure of a wedge of retained soil. Coulomb had graduated
from that school. His Figs 7 and 8 (in Fig. 1(c)) show slip plane and circle failure
mechanisms behind a wall. His Fig. 5, redrawn here as Fig. 4(a), shows a drained
test of a column of rock under an axial load P with failure on an inclined plane
CM; at this point the reader should note in passing that when solid bodies are
displaced to either side of a slip line such as CM in Fig. 4(a) there is no change
of their dimensions, and later will need to recall that a slip line keeps a constant
length during slip. There are two soil constants c and c in Eqn (2). Coulomb
regarded strength in tension as a safe approximation to shear strength c due to
cementation in the absence of friction, and he regarded the angle c
d
of the slope
Fig. 6 A glacis protects a rampart from cannon fire
SLIP PLANE PROPERTIES 13
at repose as a safe value for friction in the absence of cohesion. With these values of
the c. c constants, Coulomb could use Eqn (2) in design. The slip plane model is
still in use today, and design standards and codes are still written in terms of cohe-
sion and friction but with other values of cohesion and friction. The engineers who
use Eqn (2) today have heard different lectures to Coulomb about soil strength; no
student today hears that friction derives entirely from interlocking.
Coulomb used Eqn (2) in a calculation of lateral earth pressure on Vauban’s
wall, as shown in Fig. 6 with a rampart of height h. Coulomb’s Fig. 7 in Fig.
1(c) shows slip plane and slip circle failure mechanisms behind such a wall; in
his calculation he assumes that he knows the failure mechanism; he appeals to
experience, and writes ‘I assume first that the curve which gives the greatest thrust
is a straight line; experience shows that when retaining walls are overturned by
earth pressures, the surface which breaks away is very close to triangular’. Signifi-
cantly, he speaks of experience of a single slip line that is straight like aB in Fig.
1(c) rather than a curve like gB, but in both cases he draws a second parallel
line a
0
B
0
or a second parallel curve g
0
B
0
on which limiting stress conditions also
apply, thus considering volumes of soil (so Terzaghi was wrong to write ‘in contrast
to Rankine, Coulomb never attempted to investigate the state of stress within the
backfill ’; Coulomb did explicitly consider a soil continuum when he wrote about
slip surfaces through soil bodies). The force vectors in Fig. 6 show the weight W
of the triangular wedge, for a unit weight ¸ of the earth, supported by lateral
force P from the wall and by friction and cohesion force on the plane slip surface.
If the normal and shear stress on the slip plane given in the equations in Fig. 5 are
substituted into Eqn (2) they lead to Eqn (3):
P ¼ ½Wðh ÿxtan cÞ ÿcðx
2
þh
2
ފ,ðx þh tan cÞ ð3Þ
What Coulomb called the rules of maximum and minimum today we would call
differential calculus. An engineer today can differentiate Eqn (3) to find the
slope of aB for the least soil resistance and get
dP,dx ¼ 0 ¼ ðc þ¸h tan c,2Þðx
2
ÿh
2
ÿ2cxh tan cÞ ¼ 0
giving x ¼ h tanð45 ÿc,2Þ ð4Þ
This slip plane slope does not depend on c. Equation (3) leads to a minimum lateral
earth pressure value, the active earth pressure, that occurs with this slip plane:
P
A
¼ ð¸h
2
,2Þ½tan
2
ð45 ÿc,2ފ ÿ2ch tanð45 ÿc,2Þ ¼ mh
2
ÿclh ð5Þ
The constants l ¼ 2c tanð45 ÿc,2Þ and m ¼ ð¸,2Þ½tanð45 ÿc,2Š in Eqn (5)
depend on the soil properties; for example, the case where c ¼ 308 has
tanð45 ÿc,2Þ ¼ 1,
ffiffiffi
3
p
, and if we introduce these values in Eqn (4) we get values
of l ¼ 2,
ffiffiffi
3
p
and m ¼ 3¸,2, so c affects both l and m, but c only affects l. The
slip plane is inclined at an angle of 45 ÿc,2 to the vertical. The earth is active
with this force on the wall, as indicated by the suffix A for P
A
in Eqn (5) as the
wall moves outwards and the earth slips. With a variable h in Eqn (3), Coulomb’s
pressure has a triangular distribution. His whole mass slips on many parallel slip
lines aB, a
0
B
0
as shown in his Fig. 7 in Fig. 1(c). When he also considered soil-
resisting movement of a wall into the retained soil he stated that a (curved) surface
14 DISTURBED SOIL PROPERTIES AND GEOTECHNICAL DESIGN
must be sought for which the lateral thrust is a maximum. The suffix P denotes this
passive lateral force P
P
on the wall. Coulomb noted that if c and c are zero the
lateral thrust becomes that for retained fluid, P
A
¼ P
P
¼ ¸h
2
,2.
Thus it follows that the difference between forces in fluids for which friction
and cohesion are zero and those for which these quantities cannot be neglected
is that for the former the (vertical) side of the vessel containing them can be
supported only by a unique force while for the latter there is an infinite
number of forces (P) lying between the limits P
A
P P
P
which will not
disturb equilibrium.
Coulomb wrote Eqn (5), and to check this equation he confirmed that a retaining
wall with Vauban’s dimensions could resist the overturning moment of the calcu-
lated thrust with a factor of safety of at least 1.25, writing that ‘it is desired to
increase the mass of the masonry by a quarter above that which would be needed
for equilibrium’. Coulomb did not write Eqn (2).
1.4 Soil properties in Coulomb’s Essay
Coulomb began his Essay with clear propositions on friction (quoting the tests of
Amontons) and on cohesion (quoting his own test data). Amontons’ friction law
can be written as R ¼ jN for the normal force N and the tangential force R
that are effective at an interface between sliding solid bodies, where j is a supposed
material constant called the coefficient of friction. Amontons’ paper concerned
friction in machines. In his time, scientific observations of the motions of the
planets had accurately confirmed calculations of the orbit of planets (mechanics
in space without friction) but engineers made machines that had friction. Amon-
tons found that for slip of a wooden skid on soft earth the resisting force R was
about
3
4
of the weight N on the skid, but there was much less frictional resistance
on any hard plane surface lubricated with old oil; the coefficient j ¼ tan c
0
fell
from
3
4
to as little as
1
3
. For such lubricated hard plane surfaces he found that
this low friction coefficient value did not depend on whether the sliding material
was wood, iron, copper or lead. He explained that only an ideal plane surface is
truly flat; real surfaces seem flat, but machining leaves small asperities. He specu-
lated that the friction coefficient depends on the asperities that are left by whatever
types of tools are used in the machining of hard plane surfaces. His asperity theory
was reasonable if sliding friction did not depend on the material. It explained the
18th-century friction component (dependent on o
0
pressure normal to the plane
surface but independent of the plane area). The energy input by the force R in
his slip displacement y ¼ xtan c
d
is conserved in the energy output to the force
N (this differs from the later definition of friction where energy is dissipated in
slip). If this asperity theory is applied to slip through a stack of spheres (Fig. 7),
local asperity contact angles of c
d
give a slip direction different from the slip
plane and a friction coefficient of j ¼ tan c
d
. Displacements may be so small
that they are invisible. Coulomb learned the accepted theory in France in the
18th century, that the resistance R on the slip plane in Fig. 4(a) has two compo-
nents: friction force due to asperities is independent of the area of the slip surface
and is proportional to the pressure normal to the surface, and force due to
SLIP PLANE PROPERTIES 15
cohesion is proportional to the area of the slip surface and is independent of the
pressure on that surface.
Under Professor Bossut (1772) in Me´ zie` res, Coulomb studied a physics textbook
by Musschenbroek (1729) and a textbook by Be´ lidor (1737) that postulated (Fig. 8)
that the asperities on a pair of slip surfaces are smooth hemispheres; it calculated a
value of j ¼
1
3
from the slip angle geometry of hemispherical contacts. The
Me´ zie` res school was closed by the French Revolution, but the same teaching
was continued at the E
´
cole Polytechnique in Paris. Professor Navier in the early
19th-century E
´
cole Polytechnique created an annotated 1819 edition of Be´ lidor’s
book, in which he wrote his own footnote on asperities as follows:
Amontons’ experiments on friction of which Be´lidor speaks were published in
the Memoirs of the French Academy of Science (1699). That author concludes
that the resistance provided by friction is independent of the size of the area of
contact, as has since been confirmed; that it is more or less the same for
wood, iron, copper, lead, etc., when these various substances are lubricated
with old oil, and is about one-third of the pressure: we will show later that this
result requires some corrections. I need not say if the supposition of hemi-
spherical asperities with which Be´lidor tries to explain Amontons’ data merits
attention, nor need I delay any more here to burden these notes with useless
remarks on the geometry on which his hypothesis rests, which is quite wrong.
Fig. 7 Slip plane and slip direction (Couplet, 1726)
Fig. 8 Slip over spherical asperities (Be´lidor, 1737)
16 DISTURBED SOIL PROPERTIES AND GEOTECHNICAL DESIGN
(Les expe´riences d’Amontons sur le frottemont, dont Be´lidor vient de parler, se
trouvent dans les Me´moires d’ Acade´mie des Sciences pour 1699. L’auteur
conclut que la re´sistance provenant du frottement est inde´pendante de la
grandeur des surfaces en contact, ce qui a e´te´ confirme´ depuis; qu’elle est a`-
peu-pre`s la meˆme pour le boix, le fer, le cuivre, le plomb, etc., quand ces diverses
substances sont enduites de vieux oing, et environ le tiers de la pression: on va
voir plus bas les rectifications don’t ce dernier re´sulat est susceptible. Il n’est
pas besion de dire combine la supposition des demi spheres he´rissant la surface
des corps, sur laquelle Be´lidor veut appuyer le re´sultat expe´rimental d’Amon-
tons, merite peu d’attention. Je ne m’arreˆterai pas non plus, pour ne point
charger ces notes de remarques inutiles, a` la demonstration ge´ome´trique
fonde´e sur cette hypothe`se, demonstration qui est tre`s-fautive.)
The American War of Independence had profound effects in all of Europe. In
France at the end of the Ancien Re´gime, prominent intellectuals such as Voltaire
and lawyers such as Robespierre considered the possibility of changes in the
Catholic Church and in the French Monarchy. Similar intellectual views led to a
Scottish Enlightenment in Edinburgh, where David Hume was a leading figure.
One young Scot there was John Leslie (1766–1832), who later became Professor
of Physics at Edinburgh University. He considered heat transfer from the Sun
through space, and generation of heat by friction. He knew of the French asperity
theory and he queried it. In his book, Leslie (1804, pp. 299–305) expressed his
doubts about it as follows:
If the two surfaces which rub against each other are rough and uneven, there is a
necessary waste of force, occasioned by the grinding and abrasion of their
prominences. But friction subsists after the contiguous surfaces are worked
down as regular and smooth as possible. In fact, the most elaborate polish can
operate no other change than to diminish the size of the natural asperities.
The surface of a body, being moulded by its internal structure, must evidently
be furrowed, or toothed, or serrated. Friction is, therefore, commonly explained
on the principle of the inclined plane, from the effort required to make the incum-
bent weight mount over a succession of eminences. But this explication, however
currently repeated, is quite insufficient. The mass which is drawn along is not
continually ascending: it must alternately rise and fall: for each superficial
prominence will have a corresponding cavity; and since the boundary of contact
is supposed to be horizontal, the total elevations will be equaled by their collat-
eral depressions.
Coulomb may well also have had this doubt, but my deduction from the quota-
tions of Leslie and Navier is that the asperity theory of friction was generally
accepted in France when Navier himself taught it in 1819, objecting only to
Be´ lidor’s geometry. When Bowden and Tabor (1973) wrote their book on friction
they quoted Leslie’s criticism, but they developed another theory for sliding
friction of metal surfaces in which welded junctions grow between asperities
under load. In their theory of friction, work is dissipated due to plastic damage
at welded junctions. They argued that the total area and total strength of local
welds is proportional to the pressure normal to the surface, so for them sliding
SLIP PLANE PROPERTIES 17
friction is due to metallic bonds with what Coulomb would have called coherence.
Their junction growth theory is accepted today in mechanical engineering, and has
been validated by experiments on metal surfaces. In their book, Bowden and
Tabor showed the saw tooth slip plane of Fig. 4(b) but they did not discuss
aggregates of grains; they wrote that Leslie’s criticism of asperity theory
. . . remains unanswered. Of course one can say that work is used in dragging a
body up a slope and when it gets to the top it falls with a bang, bending and
denting the surface, so that all the work done on it is lost as deformation work
during impact. If we adopt this view we have gone a long way from the
dragging-up-the-roughness model. We are really talking of a deformation
mechanism.
This passage hints that the elastic bending energy in transient deformations is
dissipated on unloading. Leslie envisaged an ultimate steady slip process without
dilation in which the space between the sliding surfaces is constant. With almost
invisible asperities such a process begins after very small displacement. Be´ lidor’s
identical asperities are all perfectly in phase, but if the asperities are both very
small and irregular then high loads are applied to successive prominent asperities
with successive local elastic deflections. If energy stored in elastic asperities is not
recovered in Leslie’s steady sliding, that could explain what he called a waste of
force. Coulomb wrote of the molecules of the plane surfaces in contact gaining
coherence, but such welding could not explain all the data, for example for slip
of wood on wood. While friction, cohesion and interlocking were all thought of
as possible components of resistance to slip, Coulomb in 1781 wrote that ‘only
experiment can help us to decide the reality of these different causes’. Coulomb
published no more on friction or cohesion after 1781, but we cannot conclude
that he thought that Eqn (2) had been fully established by scientific experiment.
Coulomb, like Washington, had lived and continued working through a time of
revolution.
Heyman (1972) tells us that Coulomb held the army rank of Capitaine en
Premier de la Premie` re Classe when he was elected to the French Acadamy of
Science in 1781. He invented and used a torsion balance for experiments on
magnetic forces that were published by the academy. He wrote seven papers on
electricity and magnetism that were published between 1785 and 1791, describing
his own experiments and putting forward the case for an inverse square law for
action at a distance between electrical charges that was similar to Newton’s law
of gravitation. In his 13 years of military service in Martinique his health had
been ruined by fever (much the same happened to 20th-century engineers
constructing the Panama Canal). He did not resolve the problem of Amontons’
asperity theory, but it is no surprise that he wrote no more on friction and soil
strength. His skill in experimental mechanics had won him recognition as what
would be called a scientist in the 19th century. In Paris, revolutionary activity
increased. The Bastille was stormed on 14 July 1789. Coulomb resigned from
the army in 1790. William Wordsworth, as a Cambridge undergraduate sympa-
thetic to revolution, went to France in the 1790 summer vacation. He went back
the following year, and became friendly in Orleans with a Captain Beaupuy who
was in a group fighting for the lost royalist cause. On 4 August 1792 the Legislative
18 DISTURBED SOIL PROPERTIES AND GEOTECHNICAL DESIGN
Assembly voted for the abolition of all privileges and feudal rights of the
Church and King, and for equality of all in France. A Jacobin mob attacked the
Tuileries Palace and killed the Swiss Guards. Royalists were massacred in Parisian
prisons; the danger on Paris streets in September 1792 is described in Charles
Dickens’ Tale of Two Cities and in The Scarlet Pimpernel by Emmuska, Baroness
Orczy. When the Academies were suppressed, Coulomb went to his house in Blois
in 1793 to live outside Paris and make scientific experiments. Washington
proclaimed the neutrality of the USA in respect of European wars in 1793. After
the consolidation of power in France under Napoleon began, Coulomb was elected
in December 1795 to the Institut de France that replaced the former Academy of
Sciences. In Coulomb’s final years between 1802 and 1806 he was Inspector
General of Education under Napoleon, and was active in setting up the system
of lyce´e schools across France. He had clearly stated his educational intentions
30 years earlier:
J’ai taˆche´ autant qu’il m’a e´te´ possible de render les principes don’t je me suis
servi assis claires pour qu’un Artiste un pue instruit puˆt les entendre & s’en servir
(I hope that it is possible for me to make the principles that have served me clear
enough for a builder without higher education to understand and to follow them.)
1.5 Coulomb’s law
The slip plane model dominates soil mechanics, but no other branch of continuum
mechanics considers the vector of stress on any plane to be important. Coulomb’s
notable achievement in using calculus to find Eqn (5) and to explain how friction
and cohesion together affect lateral earth pressure did not discover a law of nature
that makes soil an exceptional continuum. What civil engineering students should
learn as Coulomb’s law rather than Eqn (2) or (5) is the truth in his Essay in the
repeated words ‘Cohesion is zero in the case of newly disturbed soils’. They
should learn to reconcile soil mechanics with the theory of plasticity. The apparent
cohesion of soil is behaviour due to solid-to-solid contact of interlocking grains,
not to electrochemical bonds that make grains cohere when they are close. If an
aggregate of solid grains has become cemented together to form a solid body
and then is broken up, it at first forms lumps that act as soft rubble, and is
freely draining while it has large connected voids. Coulomb’s workers excavated
soil by pick and shovel, wheeled soil lumps in a barrow and tipped them into
place in fill behind a retaining wall. Since the lumps formed a slope at an angle
of repose when tipped into the fill, they would seem to an 18th-century engineer
to have friction but not cohesion. The introduction to Coulomb’s 1773 Essay
says that it was originally meant only for his own use in the different tasks in
which he was professionally engaged. Presenting it to the Academy as a subject
of practical use he wrote
the Sciences are memorials dedicated to the public good, with each citizen contri-
buting to them according to his capabilities. While great men, installed in the
roof of the building, design and build the upper stories; ordinary workmen,
scattered in the lower stories, or hidden in the darkness of the foundations,
only try to perfect that which more capable hands have created.
SLIP PLANE PROPERTIES 19
He did not report new test data supporting a law of slip plane strength. He consid-
ered the static equilibrium of masonry, and gave an improved lateral earth pressure
calculation that other engineers might use for backfilled walls.
Coulomb invented an accurate torsion balance with which, as a scientist, he got
data that clarified the physics of interaction at a distance between electrostatic
charges. As an engineer he knew that construction engineers who select materials
carefully, and are vigilant as their work progresses, can rely on simple serviceable
principles even though these do not have the authority of physical law. Distur-
bance breaks cemented bonds in an aggregate of grains until, as more bonds are
broken, it forms a soft paste of silt-size grains. Ultimately, when mixed into
water each grain can act separately and be dispersed so that it settles with a velocity
related to the small grain diameter, or small grains can aggregate in flocs that settle
at a terminal velocity in water related to the size of the floc. At various stages of
disturbance as the size of the aggregated lumps or grains and of the pores in
the aggregate gets smaller the disturbed soil becomes less permeable, and if there
is air in some pores the soil behaviour will be too complicated to discuss in this
book.
By the 20th century, elastic solids were no longer explained by Young’s modulus
of elongation of a fibre normal to a particular plane but as a combination of a bulk
and a shear modulus. Friction was no longer explained as work done in
surmounting asperities but in terms of the energy dissipation in damage to
surfaces. The OCC model is defined in terms of the energy dissipation in a
volume of grains. Possible forms of damage are the crushing of a soil grain or one
grain scratching a face of another grain. Terzaghi taught that strength depends
on effective stress. The slip plane model has remained in use, but engineers do
not discuss dissipation or study interlocking or use the slope angle c
d
of a heap
of loose granular aggregate to define friction. Both cohesion and friction are
obtained from tests of soil in a shear box or a triaxial cell. If pore water with a
pressure u saturates the pores in the soil specimen in the shear box in Fig. 1(a),
or if part of the total load P across CM in granular rock body in Fig. 4(a) is carried
by pore fluid pressure u, the total load divided by the slip plane area gives the total
stress o normal to the slip plane. Equation (1) is used to find stress components
ðo
0
. tÞ normal and tangential to the slip plane, and these effective stresses are
used in the slip plane model of the strength of rock and soil (Eqn (2)). These
components apply in drained tests in a shear box such as is sketched in Fig. 1(a).
Figure 9(a) (Section 2.1) plots Taylor’s data of paths to peak strengths t in two
tests in drained equilibrium at two different aggregate packing densities (Taylor,
1948). The slip plane model of soil strength (Eqn (2)) with cohesion c and co-
efficient of friction j ¼ tan c is plotted in terms of effective stress in Fig. 9(b)
(Section 2.1). The line with slope c through peak strength data points has cohesion
c, given by the intercept of the line with the t axis. Stress paths in Fig. 9(b) rise to a
peak and then fall to an ultimate value on the CS double line. Coulomb and
Rankine designed for the case of soil with zero cohesion (states on the CS line
AC in Fig. 5(c)), but by the early 20th century the use of the Mohr–Coulomb
model of strength generally included cohesion; in this model, no shear stress
component t on any possible slip surface through rock and soil may exceed a
limiting value in Eqn (2). Terzaghi and Hvorslev proposed a modification by
20 DISTURBED SOIL PROPERTIES AND GEOTECHNICAL DESIGN
which in Fig. 5(d) the peak strengths on the line BC are regarded as the sum of true
cohesion c and true friction (given by the slope of BC). Skempton at Imperial
College regarded Terzaghi’s theories as fundamentally true, and advised Roscoe
to base research at Cambridge University on Hvorslev. My view is different,
that drained slopes of heaps of aggregate at repose at an angle c
d
give the basic
friction coefficient j ¼ tan c
d
, and that peak strengths result from adding Taylor’s
interlocking to this basic friction.
SLIP PLANE PROPERTIES 21
2 Interlocking, critical states (CS)
and liquefaction
Where Amontons had proposed that interlocking caused friction, Taylor found
experimentally that ultimate steady friction and interlocking must be summed
to give the peak strength on slip planes in dense sand. This work led to the CS
concepts of the Frontispiece, and leads to questions on liquefaction.
2.1 An interlocking soil strength component
Volume 6 of Ge´otechnique includes an obituary of D. W. Taylor, who at his death
in 1955 was an associate professor at MIT. Shear box experiments on dense and
loose sand (see Fig. 9(a) and Taylor, 1948) gave him an insight into energy dissipa-
tion in soil. In the sketch in Fig. 1(a), a dashed line shows the piston, and a dotted
line shows the mid-plane of the box. Figure 10(b) sketches development of the
shear stress t on the mid-plane in a shear box with what Taylor called interlocking
as the shear displacement x increased in a test at constant effective normal stress o
0
.
Figure 10(a) shows volume change with piston movement dy for a dense sand
aggregate. Figure 10(b) shows that the shear strength t reaches a peak. Taylor
saw that interlocking is a maximum at peak strength; at the point with a maximum
gradient dy/dx (although his book does not give Eqns (6), (7) and (8) below). The
terms þt dx and ÿo
0
dy in Eqn (7) relate to work that is done by stresses during
boundary movements that are in the direction of the force with which they are
associated; the term jo
0
dx relates to the work that is dissipated in friction; and
the displacement dx is not in the direction of the force that is associated with
the stress o
0
. In Eqn (8) the ultimate CS strength at Taylor’s large strain constant
friction of Fig. 9(a) gives the coefficient j on the mid-plane at the maximum peak
strength.
t dx ¼ jo
0
dx þo
0
dy ð6Þ
t dx ÿo
0
dy ¼ jo
0
dx ð7Þ
t ¼ jo
0
þo
0
dy, dx so t,o
0
¼ j þ dy, dx ð8Þ
Taylor also saw that an increase in the effective pressure reduces the interlocking,
so that above a critical effective pressure there will not be an increase of volume but
a reduction. A different book might embark at this point on a review of published
data of tests on various soils in various different shear test apparatus, but here it is
more important to consider logically the consequence of the equations. I assume
that at large displacement the ultimate strength falls to a CS value, and I have
sketched curves in Figs 10 and 11 that resemble Taylor’s data in Fig. 9(b). In
Fig. 11(b) the peak strength on BC is the sum of friction ðjo
0
Þ and interlocking
ðo
0
dy, dxÞ as shown in Fig. 10(c) with peak strength point P plotted on BC.
Figure 10(b) gave one test d under constant effective normal stress o
0
d
; Eqn (7)
and Fig. 11 led me to sketch curves of shear stress versus displacement for more
shear box tests e, f and g at constant effective normal stresses ðo
e
. o
f
. o
g
Þ.
The sketched paths d, e, f and g between peak and ultimate strength in Fig. 11
follow the logic of Taylor’s data. After high peak strengths ðP
d
. P
e
Þ on line BC in
Fig. 9 Shear box tests. (a) Taylor’s sand data. (b) Drained shear box test peaks
Fig. 10 The interlocking component of strength in a drained shear test
INTERLOCKING, CRITICAL STATES AND LIQUEFACTION 23
Fig. 11(b), the test strength at large displacement falls ultimately to ðU
Ã
d
. U
Ã
e
Þ on the
CS line AC. Work enters the shear box as the shear stress t moves through the
shear displacement dx; work leaves as the normal stress o
0
on the sand rises
through the vertical displacement dy. Taylor assumes that the difference between
these amounts of work is dissipated in internal friction and equals a quantity
ðjo
0
dxÞ found by multiplying the normal stress by the shear displacement and
by a friction coefficient. He assumes no work is dissipated in volume change.
Figure 9 shows Taylor’s piston movement before and after peak strength. Equa-
tions (6), (7) and (8) are consistent with four supposed test paths sketched in
Fig. 11(a); in tests d and e the piston rises; in test f it does not move; in test g it
falls. In Eqn (6) the work input from vertical and shear movements are added
together to provide the dissipated work. Taylor only considered the work dissi-
pated at peak strength, but, in Cambridge, Thurairajah (1961) found a dissipation
function by calculating the work done in every step along a path, before, at and
after peak strength. To the right of C, work still came in both from the pressure
o
0
on a falling piston, and from the applied shear stress t. The yield stress strength
Y
f
in test f has a value greater than all the peak strengths along line BC. Beyond C a
drained test g in Fig. 11(b) at constant effective pressure o
0
g
o
0
f
follows the dotted
path with yielding at a strength Y
g
< Y
f
, but ultimately reaches an even higher
strength U
Ã
g
Y
f
. The drained test at a normal stress o
0
g
slightly higher than o
0
f
yields with a lower yield stress Y
g
, but this is followed by drained hardening, as
shown on the dotted path from Y
g
to U
Ã
g
.
Taylor showed dense sand samples with brittle interlocking and loose contrac-
tive sand with yielding behaviour. The changing state of any aggregate (at peak
strength and on test paths through states before and after peak) is mapped in
Fig. 12. In Fig. 12(b) the state of a test specimen gives coordinates ðv. o
0
Þ of one
point. Every state shown in Fig. 12(b) falls into the interlocking I or contractive
C zones or on the CS line where the zones meet. In Fig. 12(a) the CS double
line has a constant stress ratio t,o
0
¼ j, so this corresponds to states with
dy,dx ¼ 0. In zone I in Figs 12(c) and 12(d), peak strength states on the dotted
Fig. 11 Interlocking decreases as pressure increases
24 DISTURBED SOIL PROPERTIES AND GEOTECHNICAL DESIGN
lines with t,o
0
j must be for tests with dy/dx 0; zone I has v increasing in
drained shear as the piston rises in the shear box. Zone C of contractive soil has
decreasing v in drained shear as the piston falls in the shear box, with yielding at
stress states t,o
0
< j on each dashed line. Three possibilities exist: (i) t,o
0
j
in zone I, (ii) t,o
0
< j in zone C and (iii) at the curve where zones I and C meet
in Fig. 12(b) at t,o
0
¼ j there are states with steady CS flow. The existence of
the CS curve follows from Eqns (6), (7) and (8). The form of the CS curve can
be found by experiment.
The double lines in Figs 11(b) and 12 should apply to any aggregate of grains that
flows with steady deformation at steady pressure and density and forms heaps with
a slope at a constant angle of repose for all heap heights. For this class of aggregate
we can represent CS strength by a straight double line in Fig. 12(a). Each point on
that straight line shows a state below a sliding block in Fig. 5(a), and represents
aggregate states at various depths in a heap. The paragraph above explains that a
CS curve in Fig. 12(b) must represent constant states ðv. o
0
Þ of steady CS flow of
a grain aggregate. Figure 12 shows zones C and I beside the CS line. Zone C
contains contractive soil states; we will later find yielding of soil as a ductile
frictional solid with the OCC model in this zone. Coulomb’s slip plane rupture
occurs in zone I, of interlocking soil behaviour. The argument given above suggests
that aggregates that have an angle of repose should have some form of CS line.
Roscoe et al. (1958) found from test data for fine grain and coarse grain soil that
the CS line is a straight line on a ðv. ln o
0
Þ plot with the equations
q ¼ Mp
0
ð9Þ
v þ`ln p
0
¼ v
`
¼ ÿ ¼ const. ð10Þ
In the Frontispiece the CS line with equations v
`
¼ ÿ ¼ const. and q,p
0
¼ j ¼ M
is reduced simply to a point, C.
Fig. 12 Variation of interlocking with soil state ðv. o
0
Þ
INTERLOCKING, CRITICAL STATES AND LIQUEFACTION 25
The existence of a peak strength shows the failure of interlocked soil to be
unstable. In Taylor’s shear box, failure was not instantaneous. Perhaps the large
sand grain size relative to the small dimensions of the box delayed localization
of failure and caused a gradual fall of strength in Fig. 9 after peak strength
rather than sudden instability. In interlocking aggregate, slip planes result from
a localization of interlocking that arises as follows. In Fig. 11(a) curve d of t
against x applies to a drained shear box test at constant o
0
, and the peak strength
is marked as point 1, where the shear stress is t
1
. If I consider three neighbouring
volumes, peak stress t
1
must apply to all three. If more strain occurs in the middle
volume and the strength in it falls to t
2
, the increase in strain corresponds to move-
ment from point 1 to point 2 on curve d in Fig. 11(a). This reduced stress t
2
now
applies to the two neighbouring volumes to either side, where a fall in the shear
stress from t
1
to t
2
will correspond to unloading from point 1 to point 3 on
curve d; however, strain in the middle volume will run ahead of strain in the neigh-
bouring volumes; both have been unloaded, and no further shear strain is possible
during unloading. These blocks to either side are displaced as rigid blocks to either
side of a weak localized slip surface where disturbed CS clay sucked in water and
has softened. A fall in strength after the peak in an interlocked aggregate localizes
progressive failure in an inclined slip plane as sketched in Fig. 2(c); it did not exist
before the instability occurred. Contractive soil displacement is quite different and
tends to be homogeneous. Small volumes of grains that contract will stop yielding
and will form harder volumes beside neighbouring generally softer volumes.
Figure 2(c) sketches a ductile test specimen of contractive soil C bulging in
compression.
The 18th-century slip plane model was inspired by the observation of slip planes
in the field. The instability in a disturbed grain aggregate model continuum
explains the development of such planes, and Skempton and Petley’s study
(1968) of localization of failure in a slip plane will be mentioned later. An increase
in the effective pressure o
0
and a decrease of the specific volume v will both reduce
interlocking ðdy,dxÞ. Drained test paths, shown in Fig. 12(d) by two chain-dashed
lines with arrows, approach an ultimate critical state U, across dashed and dotted
curves in contractive or interlocking zones. The drained test paths in Fig. 11 are
sketched to show volume change rates that correspond to the appropriate beha-
viour at these crossing points, whether the gains are sand size or clay size. Far
on the dry side of the CS, over-compaction makes soil so stiff and brittle that
cracks open, with undesirable high secondary permeability in the rubble. The
optimum most desirable degree of compaction for soil is just to the dry side of
the CS in the Frontispiece, where gouge material on a slip plane allows a body
to deform with pore water suction, but the body of the ground as a whole remains
watertight. Problems of large slow consolidation deformations with yielding and
plastic compression make soil states on the wet side of the CS less desirable. In
the CS model, local softening or hardening follows changes of specific volume
v ¼ 1 þe, as the fall from peak to ultimate strength in Figs 10 and 11 is seen as
local instability on a plane through an interlocking granular aggregate. When a
large body of stiff fissured clay breaks up into a body of rubble it interlocks or
slips. The ultimate strength will depend on the CS strength in layers of gouge
material on contact surfaces between blocks of dense soil with interlocked grains
26 DISTURBED SOIL PROPERTIES AND GEOTECHNICAL DESIGN
sucking water into the gouge material. Henkel (1956) discussed the phenomenon of
slip planes in softening stiff fissured London Clay, showing water contents in the
gouge material on slip surfaces higher than in undisturbed clay beside the slip
surface. According to CS theory the strength falls only from peak strength
points on BC to points on the CS line (Figs 10 and 11), and design for fully
softened strengths on the CS line instead of for peak strength is safe. Strength
on the slip surface is seen as due to CS friction and suction in soil paste, rather
than in terms of Mohr–Coulomb cohesion and friction.
An alternative to the CS explanation might be a theory that any plate-like grain
within the gouge material that happens to be longer than the layer thickness rotates
into the slip plane direction. If such an explanation were developed with plate-like
grains rotating to align themselves in the slip plane direction, the localization of
failure would be a process that depended on the chance that a grain was in a
position where this rotation could advance a progressive failure. In this view of
the grain aggregate, continued displacement on such a slip plane could lead to a
fall to less than CS strength; it might explain why failure of clay in Hvorslev’s
shear box was sudden. Clay soil grains are small, and localization of displacement
in incipient slip planes is delayed only by the time taken to suck a small quantity of
water into the voids of a few interlocked grains as the specific volume increases.
Equation (2) (with Mohr–Coulomb soil strength properties of friction and
cohesion) can be contrasted with Eqns (6), (7) and (8) (which relate to work dissi-
pated in distortion). Equations (6) and (7) lead to Eqn (8), where the peak stress ðtÞ
for dense sand is seen in Figs 10(b) and 10(c) to be the sum of two strength compo-
nents: a friction component ðjo
0
Þ and an interlocking component ðo
0
dy,dxÞ. If the
cohesion c
0
in undisturbed rock or soil is independent of the effective pressure o
0
,
then Mohr–Coulomb undisturbed peak strengths lie on line BC
0
that is parallel to
AC in Fig. 5(c) and at a constant distance c
0
above it. Figure 10(c) draws a line BC
to fit peak strengths in the way that Hvorslev interpreted his data, supposing that
peak strength is the sum of a large true cohesion c
0
(constant as normal stresses
increase), and a friction component jo
0
¼ o
0
tan c
0
(less friction because Hvorslev’s
c
0
< c
d
is less than the angle of repose). Figure 10(b) sketches friction and inter-
locking components of strength for one specimen in a drained shear test under
constant normal effective stress o
0
. Figure 11(a) sketches curves of t against
shear displacement x for three specimens d, e and f, all initially at the same specific
volume but under different effective normal pressures o
d
, o
e
and o
f
. The curves of t
against x in Fig. 11(a) represent successive uniform states on test paths, in a shear
box that imposes uniform conditions in an aggregate of grains in shear, while a
specimen is free to change volume and pressure is held constant. If we think of
soil as an elasto-plastic solid, then in test g before stress Y
g
the soil is elastic and
at Y
g
it yields. If we had an unloading cycle after Y
g
we would find that it had
yielded with plastic deformation. The curves sketched in Fig. 11(a) show how an
increase in pressure o
0
will reduce interlocking ðdy,dxÞ. The strength on line BC
in Fig. 11(b) is the sum of a CS friction component o
0
j ¼ o
0
tan c
d
and an
interlocking component that is large at low stress at B and decreases from B to
C. The strengths at first increase along the line BC in Fig. 11, but to the right of
C as effective normal stresses on the set of soil specimens increases above o
0
f
their ultimate strength increases along the line CD to values t ¼ o
0
tan c
d
. The
INTERLOCKING, CRITICAL STATES AND LIQUEFACTION 27
contribution of power input from the contractive effect suppresses the brittle peak
strength along line BC and makes it easy for soil to yield to the right of C. High
effective stress makes brittle dense aggregate become ductile. In both Figs 10(c)
and 11(b) the double lines of fully disturbed CS strengths t ¼ jo
0
¼ o
0
tan c
d
apply to loose soil as in a heap at repose. The CS double line represents the ulti-
mate strength of a disturbed soil specimen at large deformation under effective
normal pressures o
g
. In a set of several different specimens the soil behaviour
becomes contractive as the effective normal stress increases from o
0
f
to o
0
g
. The
interlocking effect is replaced by contraction. A contractive component
o
0
ðdy,dxÞ is subtracted from the frictional component jo
0
, giving yield strengths
that are on a curve below the CS double line and also below the extension of
line BC. A grain aggregate is brittle at low pressure but above the pressure denoted
by point C it becomes increasingly ductile; the high effective pressure makes
contractive soil very slippery.
Displacements dx and dy in Fig. 2(a) are associated with the horizontal shear
force t and the vertical effective normal force o
0
. The peak power tðdx,dtÞ is
equal to the rate of working o
0
ðdy,dtÞ at the peak rate of volume change plus
the power dissipated in friction, jo
0
ðdx,dtÞ. The displacement dx is not recovered
when the shear force t is removed. The normal force o
0
is held constant in a drained
shear test by a constant load on a loading hanger, and the work done by the shear
force t to lift the hanger load during dilation dy is recovered, not dissipated. The
work dissipated in the sand sample is the difference between the work done by the
shear force ðþt dxÞ and the work on the rising piston ðÿo
0
dyÞ. When Eqn (6) is
rearranged in the form of Eqn (7), then the term on the right in Eqn (7) is called
Taylor’s dissipation function for internal friction in the aggregate of grains:
t dx ÿo
0
dy ¼ jo
0
dx ð7 bisÞ
Equations (2) and (7) can be checked if the alternative components of shear box
test data at different o
0
pressures are compared. The contrast between them is
clear. Equation (2) predicts that the cohesion component of strength is unaltered
by pressure, whether to the left or the right of point C in Fig. 8(b). Equation
(7), applied through the shear displacement x, predicts the strength t both of inter-
locking and of contracting soil. During shear displacement, dense sand expands.
The term dy,dx in Eqn (7) is positive, with t,o
0
greater than j. Loose sand
contracts; the term dy,dx is negative, and Eqn (7) predicts that t,o
0
will be less
than j in Fig. 11(b) to the right of point C. Test data confirm the predictions of
Eqn (7) rather than of Eqn (2).
Equation (7) and Fig. 12 have further implications. Taylor himself interpreted
the interlocking component of peak strength in soil at peak stress as if it were
an increase in the angle of friction c c
d
, giving t,o
0
¼ tan c < j ¼ tan c
d
with
lines (dotted in Fig. 12(c)) that have steeper slopes than the double CS line at
the angle of repose. In the Frontispiece the stress ratio value j ¼ M at point C
represents the whole of the CS line. In Fig. 12(d) the straight chain-dashed
arrows represent drained test paths that approach a state U on the CS line. The
straight solid arrows represent undrained test paths that also approach U. At a
point at which an arrow in zone D crosses a dotted curve in Fig. 12(d) the rate
of change of the volume in a drained test or the rate of change of the pore water
28 DISTURBED SOIL PROPERTIES AND GEOTECHNICAL DESIGN
pressure in an undrained test has a particular value corresponding to the dotted
lines in Fig. 12(c). Taylor showed curves like those dotted in Fig. 12(d). In Figs
12(c) and 12(d) each dashed line in zone C relates to a certain rate of soil contrac-
tion in shear. As the behaviour depends on the distance from the CS line in this
way, data at the end of tests approaching CS should show one group of test
paths in which the specific volume increases in drained tests or the pore water pres-
sure decreases in undrained tests, and another group of paths where the specific
volume decreases or the pore water pressure increases; this effect was found by
Parry (1959).
2.2 Frictional dissipation of energy and the CS
Hvorslev’s thesis had already shown that CS soil behaviour applies both to clay
soil and to sand 10 years before Taylor published his data of interlocking in
sand in 1948. When the data of triaxial tests on clay began to be studied in 1950
and the work associated with volume changes of test specimens at peak strength
was calculated, Bishop (1954) introduced the term boundary energy correction
for what he envisaged as a small contribution to be added to cohesion and friction
to allow for the effect of interlocking on the peak strength of dense clay. We
(Roscoe et al., 1958) referred to this correction in our Ge´otechnique paper ‘On
the yielding of soils’; we had a misprint where ‘boundary error commission’ was
unfortunately printed, which should have read ‘boundary error correction’. I did
not understand at that time that the whole strength of disturbed soil can be
found by combining Taylor’s interlocking (boundary energy correction) with CS
friction in the CS model of soil behaviour. Understanding that apparent cohesion
is due to interlocking is more important than introduction of a small correction to
triaxial test data. When we (Roscoe et al., 1958) proposed the CS interpretation of
triaxial compression test data we wrote these words:
Hvorslev’s equation for the shear strength of clay (defines) a surface in a space
of three variables s
0
, e, t. The progressive yielding of a sample defines a loading
path in this space, and the paths taken by samples in differing tests can be corre-
lated if a boundary energy correction is applied. The final portions of all paths
then lie in a unique surface, and the paths end at a unique critical voids ratio
line. At the critical voids ratio state unlimited deformation can take place
while s
0
, e and t remain constant.
We considered an isotropic grain aggregate in terms of a void ratio e or the specific
volume v ¼ 1 þe in Fig. 2(a), the volume of space in which a unit volume of solid
grains is packed. In an undrained triaxial test in Fig. 2(b) the pore water pressure u
is measured at the pore water connection in the pedestal on which the specimen
stands. In a drained test, pore water can drain out and give the volume change
of a specimen. The mean normal pressure that acts effectively between the grains
in an aggregate is denoted as p
0
¼ ðo
0
a
þ2o
0
r
Þ,3, and q ¼ o
0
a
ÿo
0
r
is an isotropic
invariant measure of shear stress. The state ð p
0
. q. vÞ of soil changes during soil
deformation. We considered the ultimate steady CS flow of test specimens.
Schofield and Wroth (1968) taught that ultimate fully disturbed-soil grain
aggregate strength is predicted by the CS steady-state Eqns (9) and (10) below,
INTERLOCKING, CRITICAL STATES AND LIQUEFACTION 29
and that only this CS strength is reliable in a plastic design. We expressed the CS
concept as follows:
The kernel of our ideas is the concept that soil and other granular materials, if
continuously distorted until they flow as a frictional fluid, will come into a well
defined state determined by two equations
q ¼ Mp
0
ð9 bisÞ
ÿ ¼ v þ`ln p
0
ð10 bisÞ
The constants M, ÿ, and l represent basic soil material properties and the
parameters q, p
0
and v are defined in due course. The equations of the critical
states determine the magnitude of the ‘deviator stress’ q needed to keep the
soil flowing continuously as the product of a frictional constant M with the
effective pressure p
0
. Microscopically, we would expect to find that when
inter-particle forces increased, the average distance between particle centers
would decrease. Macroscopically the second equation states that the specific
volume v occupied by unit volume of flowing particles will decrease as the
logarithm of the effective pressure increases.
The friction coefficient is denoted by the lower-case Greek letter j in Eqn (2) and
by the Greek capital letter M in Eqn (9). The function on the right side of Eqn (8)
gives the dissipation of energy in internal friction in distortion of soil. The CS
definitions above do not state what local physical phenomena cause power dissipa-
tion in CS flow, but I assume that the same phenomena that cause internal friction
in a grain aggregate also make a loose heap stand with a constant angle of repose.
Coulomb in 1781 suggested that one cause of friction is dissipation of stored elastic
energy, as follows.
Coulomb made tests on lubricated sliding friction in a French naval dockyard
(naval constructors have a problem if ship’s hulls, constructed on land, stick on
the slipways and cannot be launched into the fitting-out basin). He used many
materials, with slip at different speeds, both when surfaces stick, and when slip
restarts. His report on the tests won a double prize of the French Academy. It
noted variations of resistance to slip of wood on wood unlike slip of metal. His
explanation was that when wood slides on wood, stubby brushes of flexible
fibres bend and store energy as they brush against each other (Fig. 13). When
the end of a fibre slips past a restraint it springs free, and the stored energy is
not recovered. This suggestion for wood could also apply to successive prominent
asperities on any slip plane that are elastically stressed and suddenly unloaded in
slip, and to grains that are elastically stressed and suddenly unloaded in an incre-
ment of deformation of an aggregate of grains. Since Coulomb relied on c
d
he did
need to develop this suggestion or give any further explanation of power dissipa-
tion in internal friction in soil. Schofield and Wroth’s (1968) discussion of steady
CS flow explicitly considered a process without degradation or orientation of
grains. The back cover of this book and Fig. 14(a) show a conical heap of sand
at repose in the bulb in the lower half of a time-glass. Tests of a plane model of
a grain aggregate with stress-sensitive circular discs seen in polarized light
showed lines of highly stressed grains, also found in a discrete numerical model
30 DISTURBED SOIL PROPERTIES AND GEOTECHNICAL DESIGN
(Fig. 14(b)) (Cundall and Strack, 1979). This suggests an explanation that applies
in the first instance to the very lightly stressed aggregate near the surface of a slope
at repose where rough strong elastic grains form columns in compression. If three-
dimensional frameworks of lines of highly stressed grains support the normal and
shear stress in a loose aggregate below a slope at repose, then when a line buckles
the aggregate will yield; new lines form from grains that were lightly stressed, and
they then bear new high stress.
Fig. 13 Dissipation of elastic energy (wood fibre brushes) (Coulomb, 1781)
Fig. 14 (a) Sand in a time-glass. (b) Aggregate in plane stress (with highly stressed
grain columns) (Cundall and Strack, 1979)
INTERLOCKING, CRITICAL STATES AND LIQUEFACTION 31
Site investigations classify disturbed soil samples broken up in water. A judge-
ment is made about the degree to which friable grains or grain clusters may
break up when soil flows as a paste in the expected failure. Wet sieving and sedi-
mentation analyses determine grain sizes. The MIT soil grain size classification
uses the words ‘coarse clay’, ‘silts’ and ‘sand’ for grains of 2, 60 and 200 m size,
respectively. I visualize an aggregate of grains as large blocks of more familiar
sizes (a bicycle, a building, and a city block are 2, 60 and 200 m, respectively). In
chaotic dumps of large blocks between the sizes of a bicycle or a building, forming
heaps of aggregate at repose 100 m high over the area of several city blocks, it
would be an impossible task at any scale to record the position and details of
each surface of each block. A CS flow of grains is like such blocks in slow
motion. It would be impossible to record the positions and sizes of flaws every-
where, and to find the forces at every contact of blocks where a load application
might initiate fractures during chaotic motions. However in the slope at repose
in Fig 14(a), each hard grain has survived innumerable highly stressed loadings
and has developed a rounded grain shape that make fracture of any grain increas-
ingly unlikely. Micro-mechanical models might envisage a frictional fluid flow of
hard grains of random shapes and sizes with rounded corners and edges, and a
CS law might result from repeated impact between elastic grains with conservation
of linear and angular momentum and dissipation of energy in damped vibrations
in a soil continuum. Aggregates can form heaps with a constant angle of repose,
and be unable to slump further into a slope that is less steep; I think the limiting
condition must be when the work done as grains fall further in the Earth’s gravity
field is less than the work that must be done in further distortion of the aggregate of
grains. Discrete numerical models might well develop, at some future date, to a
point where such reasoning is as reliable as that of the kinetic theory of gases,
and statistical studies might explain the way that grains of widely dispersed sizes
and shapes move relative to each other in CS flow. However, without having to
analyse the micro-mechanics of CS flow at the grain scale, CS theory has made
progress with a grain aggregate law for energy dissipation in shear flow that is
like a gas law. In the Frontispiece, CS frictional dissipation in disturbed aggregates
of grains is assumed to apply at all stages of yielding on test paths, as well as when
the soil state reaches the CS line (Eqns (9) and (10)).
2.3 Reynolds’ dilatancy and Hazen’s liquefied soil
Amontons published his paper on friction at the turn of the 18th century. His
thought, that friction resulted from what Reynolds (1885) called dilatancy and
Taylor (1948) called interlocking, does not seem to have been the subject of
clear discussion or of good experiments until Taylor’s work. In a Rede Lecture
in the Senate House of the Cambridge University, On an Inversion of Ideas as to
the Structure of the Universe, Reynolds (1902) demonstrated dilation with two
rubber balloons, each full of coloured water that his audience saw standing in a
tube above each balloon. One balloon contained only water. The other contained
a dense aggregate of small solid grains with water in the voids. He squeezed each
balloon in turn. The audience saw water rise in the tube from the water-filled
balloon but, when he squeezed the balloon that held grains, they saw with surprise
32 DISTURBED SOIL PROPERTIES AND GEOTECHNICAL DESIGN
that, although he squeezed the balloon, the water moved down the tube into the
enlarging voids as the aggregate dilated. He repeated what he had said in 1885,
that this explained something that they might have seen at the seaside:
A well-marked phenomenon receives its explanation at once from the existence
of dilatancy in sand. When the falling tide leaves the sand firm, as the foot falls
on it the sand whitens, or appears momentarily to dry round the foot. When this
happens the sand is full of water, the surface of which is kept up to that of the
sand by capillary attraction; the pressure of the foot causing dilatation of the
sand, more water is required, which has to be obtained either by depressing
the level of the surface against the capillary attraction or by drawing water
through the interstices of the surrounding sand.
Reynolds predicted that study of the property of dilatancy would place the theory of
earth pressure on a true foundation, but he did not discuss earth pressure problems
(he left them for engineers to solve). He wanted in his 1902 lecture to resolve
the cause of electromagnetism, a problem unresolved by Cambridge physicists.
Maxwell had died in Cambridge in 1879. In 1865 he had related electromagnetic
waves and electrostatic displacement curves, and Gibbs had rewritten Maxwell’s
relations as vector equations in 1884, but no-one had given a physical explanation
of the equations linking electricity and magnetism. It was not surprising that
Reynolds should feel confident in his proposal; the vortex effect in fluid flow
had been an unresolved problem until he made experiments. Kelvin (well known
for his self-confidence) had published a paper sketching granular ether with no
experimental data. From his experiments, Reynolds suggested that dilation
‘places a hitherto unrecognized mechanical contrivance at the command of those
who would explain the fundamental arrangement of the universe’. He thought of
the ‘luminiferous ether’ as an aggregate of very small spheres with cyclic transverse
shearing (electromagnetic waves) causing cyclic dilation (electric displacement
currents). Cyclic dilation could explain the oscillation of electrical charge in
Maxwell’s displacement current, with electromagnetic waves propagating in the
proposed granular ether. Reynolds’ 1902 lecture followed 17 years of personal
study (including study of how energy dissipation in the granular ether of his
universe could explain why the night sky is dark). Cambridge University Press
published his monograph on the structure of the universe, but demonstration of
dilation failed to make his ideas credible to a Cambridge audience that probably
included one of his own Manchester students, J. J. Thompson, who had been
elected in 1884 at the age of 28 to follow Maxwell as Cavendish Professor of
Physics in Cambridge. In 1897, Thompson’s experimental study of conduction
through gases in Cambridge had led him to the epoch-making discovery of the
electron. He respected Reynolds as his former professor, but he rightly thought
the ether dilatancy concept to be flawed. Nobody discussed Reynolds’ granular
ether after 1902, but he had not been entirely foolish to pin his hopes on changes
in length with dilation. We can read in Feynman’s 1963 lectures (Feynman et al.
1965) that, as a distribution of moving electrons oscillates to and fro, transient
shrinkage of space-time geometry (Lorentz’ contraction of space-time) causes
transient changes of charge density and hence changes in the electrostatic forces on
nearby static electrons. Lorentz’ idea was even more fantastic than Reynolds’ link
INTERLOCKING, CRITICAL STATES AND LIQUEFACTION 33
of electromagnetism with dilation of his supposed granular ether, but a relativistic
contraction of space is now accepted as the cause of electromagnetic waves.
However, Casagrande (1936) recalled Reynolds’ volume change in aggregates
when he introduced the critical voids ratio concept to explain the liquefied soil
that Hazen (1920) had mentioned in a paper on hydraulic-fill dam failures.
Hazen wrote that the hydraulic-fill method of dam construction grew out of the
process of hydraulic mining that moves slurry in pipelines at very low cost.
Figure 15(a) illustrates the method of construction, with points p showing a pair
of pipelines. The discharge of the slurry deposits gravel and sand on an upstream
and a downstream beach near to each pipeline, while fine soil grains are carried
into the pool (c) between them. As each deposit rises, it forms what Hazen calls
a toe dam, but Fig. 15(a) calls a shell (s). Hazen notes many failures during
construction because fine-grained materials ‘that have not consolidated to the
point of stability . . . remained in almost liquid form, dividing the (toes) and tending
to disrupt them . . . [The] core material is so fine in grain size that it is incapable of
drainage . . . within a reasonable length of time’. Hazen notes that in the core very
fine solid grains ‘settle down and consolidate while the water moves upward between
them to the top . . . [The core] acts essentially as a heavy liquid . . . and exerts the full
lateral pressure corresponding to its height’ on the two shell banks. Hazen refers to
the ‘Calaveras Dam near San Francisco Cal. which slipped as it was approaching
completion on March 24th 1918 (in which) the weight of material pushed forward
in the up-stream toe was five times as great as the pressure of core material against
it’. From this he estimates a friction coefficient of only 0.2 between the dam and its
foundation.
Figure 15(b) shows a plan view of a later but similar slide that occurred on the
upstream face of Fort Peck Dam on the Missouri river in north-eastern Montana;
Fig. 15(c) shows the cross section of this dam. The slurry discharge forms the
beaches that create the pervious banks upstream and downstream of the core
pool; they hold the fine soil grains in the core pool. After this fine soil consolidates
it forms the soft impervious core to the dam, but while the fine grains are in
suspension in the core and remain fluidized with no effective stress at any depth
Fig. 15 The Fort Peck Dam failure, 22 September 1938
34 DISTURBED SOIL PROPERTIES AND GEOTECHNICAL DESIGN
the total core pressure acts as a pore fluid pressure. High hydraulic pressure at the
base of the core, transmitted down the sides of the cut-off wall sheet piles (Fig.
15(c)) entered the horizontal permeable layers, and was transmitted laterally.
During construction, water issued from pressure relief wells R at the downstream
toe of the dam, and a corresponding uplift pressure must have acted (unseen)
below the upstream bank. As the reservoir filled, the effective vertical stress
below the upstream shell was reduced to only the buoyant weight of the soil.
Piles were used to support the hydraulic pipelines. Every time a pipe was moved,
new piles had to be installed. Piling proved hard, and engineers employed water
jetting to assist penetration. That increased the pore pressure in the region of
failure. The uplift pressure below the upstream embankment slope reduced the
friction resisting the lateral pressure of the fluidized core. Aerial photographs of
the failure on 22 September 1938 (Fig. 15(b)) shows that a length of the upstream
shell rotated as a rigid body (swung open like a ‘barn door’) and let core material
flow upstream into the lake. When the lake was drained after the failure, the soil
that had flowed from the core lay as a horizontal layer across the lakebed.
The condition in the hydraulic fill as solid grains settle down and consolidate
while the water moves upward between them to the top is no different from that
described by Terzaghi and Peck (1948) (T&P) when an upward seepage gradient
causes sand to boil in the floor of an open excavation. Chemical engineers achieve
this condition in fluidized beds; and they have a body of research dealing with it.
T&P distinguish between this and the condition of a small group of very fine and
very loose sands when they become ‘quick’ even without a critical hydraulic
gradient. Casagrande and T&P both pick up a suggestion with which Hazen
ends his paper on quicksand conditions in dams. He discusses the possible effect
of a sudden blow or shock that crushes the edges and points of contact between
grains to liquefy a certain volume and make quicksand (for a few seconds until
the surplus water can get out). Hazen then writes:
The thought has occurred to the writer, in looking at the material that slid in the
Calaveras Dam, that something of this kind may have happened on a large scale
– 800,000 cu.yd. of fill flowed for a brief space, and then became solid . . .
He continues:
It may be that after the first movement there was some readjustment of the
material in the toe which resulted in producing temporarily this condition of
quicksand, and which destroyed for a moment the stability of the material and
facilitated the movement that took place . . . This will not account for the initial
movement; but the initial movement of some part of the material might result in
accumulating pressure, first on one point and then on another, successively, as
the early points of concentration were liquefied and in that way a condition
comparable to quicksand in a large mass may have been produced.
2.4 Hazen’s liquefaction and Casagrande
In order to write the word liquefaction at a point on the Frontispiece map I must
know what the behaviour is and the state of the aggregate in which that liquefac-
tion event occurs. At Hazen’s points of concentration a sudden reduction of forces
INTERLOCKING, CRITICAL STATES AND LIQUEFACTION 35
at contact between grains results from a shock pressure, crushing points and edges
of grains, but the total stress still has to be carried after the shock has passed. The
sudden fall in the aggregate stress is replaced by a sudden rise in pore water
pressure. Pore water cannot drain away instantly. High transient positive pore
pressure eliminates positive effective stress that could have generated frictional
resistance. Hazen wrote of a sharp blow that ‘makes quicksand for only a few
seconds until the surplus water can find its way out’, so in an instant a body of
water-saturated contractive sand liquefies in a rapid flow of loose sand at constant
volume. Casagrande equated this event with an instability (like the buckling of a
strut) that occurs in a shear test path. His explanation (Casagrande, 1936) sketched
the data of a shear box test of an aggregate of irregular hard soil grains (Fig. 16).
The distance between an upper and a lower metal plate will increase if the
aggregate is initially dense (Figs 16(a) and 16(b)); the distance will decrease if
the aggregate is loose (Figs 16(c) and 16(d)). Figure 16(e) indicates the sort of
test path to be expected from sand in a shear box if displacement increases steadily.
Casagrande explained that a grain aggregate that is subject to shear distortion has
one critical density at which it can be distorted without volume change. If it is more
dense than critical, the specific volume of interlocked grains must increase in a
drained test, and water is sucked into pores that enlarge during distortion. In
undrained distortion this pore enlargement is prevented by incompressible pore
water that develops suction; as the pore water pressure u in Eqn (1) is reduced,
the effective pressure o
0
in the grain aggregate will increase, which, Casagrande
says, will increase the frictional strength so that ‘the mass seems to be bracing
itself, to become temporarily more stable’. On the other hand, in an undrained
distortion when the porosity is higher than critical there will be a positive pressure
u in incompressible pore water, and a fall in the effective pressure o
0
.
Casagrande proposed that all saturated soil without cohesion was at risk of
liquefaction if in a contractive state. He began his 1936 paper with a section on
‘the meaning of the term stability’, contrasting stable settlement of a building
when clay consolidates, with unstable bearing failure when soil stress reaches the
peak shear strength. The stable case is like a flexible beam on two supports bearing
a central load; his analogue of instability is an attempt to stand a pencil upright on
its pointed end. He gave curves of shear stress in drained shear tests versus shear
box displacement (Fig. 16(e)). When he compares liquefaction of contractive
sand to the instability of a pencil stood on its point, the energy that the pencil
gains as it falls in the Earth’s gravity gives the pencil increasing momentum.
Casagrande once saw a rock rotate as it entered a hydraulic-fill pipe, which led
him to think that grain rotation can change an interlocked grain structure to a
flow structure. To describe the way that he thought of his special flow structure
spreading through a loose aggregate under high effective stress he used the
words chain reaction (echoing words used to describe propagating nuclear reac-
tions). Casagrande expected an uncontrolled flow of energy in contractive soil to
cause a phase transition, like the change when a crystalline solid melts and becomes
a liquid. He made a laboratory experiment with a loose sand model in a tank. He
struck the tank with a hammer. It caused liquefaction flow. The aggregate of loose
grains had been a rigid solid until, all in an instant, the effective stress fell to a value
near zero as a high transient pore pressure was generated. In this view, liquefaction
36 DISTURBED SOIL PROPERTIES AND GEOTECHNICAL DESIGN
F
i
g
.
1
6
C
a
s
a
g
r
a
n
d
e

s
(
1
9
3
6
)
e
x
p
l
a
n
a
t
i
o
n
o
f
l
i
q
u
e
f
a
c
t
i
o
n
INTERLOCKING, CRITICAL STATES AND LIQUEFACTION 37
of soil is rather like the collapse of a house of cards. When playing-cards are built
up into a fragile house, some cards stand on edge as walls and others are laid across
them to form a floor of the house. When the area of one floor is large enough,
another floor can, with skill, be built on it. The house may be built up to have
several floors, but ultimately the placing of one last card will always lead to an
unexpected sudden collapse of the whole card house. This theory of Casagrande
was fully accepted in 1937 when the United States Engineer Office in Boston,
Mass. confronted the need to construct a large earth dam for flood control
purposes at Franklin Falls, N.H. out of fine silty sand. The safety of such an
embankment was thought to deserve special consideration, since Casagrande
had shown that a large mass of fine-grained soil is inherently unstable unless it
is compacted below the critical void ratio. The question immediately arose as to
how densely this material should be compacted to be safely below the critical
void ratio and triaxial compression tests were used to study this; extensive investi-
gation by means of direct shear tests did not lead to a satisfactory solution.
Casagrande explained pore pressure changes during shear in detail as follows. In
shear at constant effective normal stress (Fig. 16(e)) as shear stress on dense sand
increases to a peak strength point B the sand expands; loose sand shows a fall in
porosity. After large displacement, both loose and dense sand ultimately reach a
critical porosity n
0
where sand flows at constant shear stress. His critical porosity
n
0
was independent of the effective pressure; loose sand at a porosity higher than n
0
was potentially unstable, like the pencil standing on end. Casagrande proposed
that silty sand, if compacted to a porosity lower than n
0
, would not be at risk of
liquefaction. He showed compression by static pressure following curves such as
AB and FG in Fig. 17. His curve ABE for static compression of very loose sand
goes from point A under zero pressure and porosity n
1
to a point B at porosity
n
2
under pressure p
1
. Further pressure increase in a drained compression to p
3
takes the sand to porosity n
0
in a state at point E, where the risk of his liquefaction
is eliminated. He then considers a combination of compression and shear distor-
tion. Figure 17 shows pressure increase compressing the loose sand to E, but he
writes that static compression is relatively ineffective in reducing the volume,
compared with compression combined with drained shear. He supposes that
drained shear at constant pressure takes the sand from a state at B to a state C
at what he calls the curve of compression with large deformation. When this 1936
theory is re-plotted in Fig. 18(a) on axes of n. ln o
0
a drained test gives a chain-
dashed path from B to C and an undrained test gives a solid path from B to D.
Casagrande supposed in Fig. 17 that there is a particular grain structure at C,
and an undrained test reaches an ultimate state point D where a flowing aggregate
has the same flow structure at D as at C. Here and in Fig. 18(a), for the sake of
simplicity, the double line is for the critical void ratio concept as published by
Casagrande in 1936. In Fig. 18(b) the double line is the CS theory, published in
1958. The difference between CS theory and Casagrande in 1936 is that com-
pression with large deformation curves will depend on the initial state, but in CS
theory after large deformation an aggregate of grains does not retain any record
of any initial structure; we sent him a copy of the theory but he made no comment.
The curves in Fig. 17 become straight lines when plotted on a log stress base in
Fig. 18(a). Curve DC in Fig. 17 becomes the inclined dashed line through C in
38 DISTURBED SOIL PROPERTIES AND GEOTECHNICAL DESIGN
Fig. 18(a). If Casagrande’s curve of compression with large deformation is ulti-
mately reached by the soil initially at a state point B in Fig. 17, then in Fig.
18(a) the chain-dashed arrow of a drained test path at constant normal stress o
0
takes the soil from B to C, and the solid arrow of an undrained test path takes
it from B all the way to a point D on the dashed line. States on Casagrande’s
curve differ from those predicted on the CS line AH in Fig. 18(b). Our solid
arrow ends at state point K on the CS line and does not continue from K to D.
Casagrande had constant critical porosity in 1936. CS theory combines the specific
volume v and the effective pressure p
0
in Eqn (7) in a variable v
`
¼ v þ`ln p
0
.
Equation (9) gives v
`
¼ v þ`ln p
0
¼ ÿ, for a critical CS line in Fig. 18(b). Casa-
grande (1975) revised his theory of liquefaction and adopted this CS line, as will
be discussed later.
Inclined solid and dashed lines in Fig. 17 become elastic swelling and compres-
sion lines in Fig. 18(b). Roscoe et al. (1958) theorized that a large CS deformation
Fig. 17 Pressure–density relationship for sand (Casagrande, 1936)
INTERLOCKING, CRITICAL STATES AND LIQUEFACTION 39
of soil (drained or undrained) destroys any initial structure that the aggregate had
in a state such as B. By this CS prediction all test paths ultimately reach chaotic
fully disturbed states on a CS curve, and not states on one of Casagrande’s original
curves of compression with large deformation. In Fig. 18(b) the slope of the dashed
line DC is less than the slope of the CS double-line AH. Where Casagrande
predicted that the stress carried by the water after undrained large deformation
is shown in Fig. 17 as the difference, p
1
ÿp
2
, between the pressures at B and at
D, a CS prediction p
B
ÿp
K
is of a pore water pressure that is only the difference
between the pressures at B and at K in Fig. 18(b). Casagrande in 1936 had constant
critical porosity, as shown in Fig. 18(a) by a flat double line, and he predicted that
sand with this void ratio will not change in void ratio or pore water pressure when
subjected to shear distortion. He contrasted the instability in a body of contractive
sand (caused by a positive pore water pressure during liquefaction) with the
strength of a body of dense sand at less than critical porosity (in Fig. 18(b) on
the dry side of CS) where shear creates tension in the pore water, and an increase
of shear resistance. In Fig. 18(b) the CS double line has a slope that is greater than
the slope of the elastic compression lines. The solid bold arrows with the letter Z
show a striking difference between Figs 18(a) and 18(b). In Fig. 18(a) the arrow
shows that a reduction of effective pressure is unsafe as the aggregate of grains
swells slightly from a safe dilative state to an unsafe contractive state. Casagrande
warned of a risk of the behaviour that Hazen called liquefaction (flow in a critical
state) if an aggregate is contractive. Figure 18(b), where the slope ` of the CS line is
greater than the slope i of the elastic swelling and compression lines, has the arrow
Z showing an increase of effective pressure that carries an aggregate from a safe
dilative state to an unsafe contractive state, that led Casagrande in 1975 to advise
his readers that even dense sand, if heavily loaded, can liquefy. This (alarming)
advice is discussed later.
Fig. 18 Critical porosity n
0
and CSs ðv. ln p
0
Þ. (a) Casagrande constant n
0
.
(b) Cambridge CS line
40 DISTURBED SOIL PROPERTIES AND GEOTECHNICAL DESIGN
2.5 Herrick’s liquefaction
Florin and Ivanov (1961) used the word ‘liquefaction’ to describe the behaviour of
a horizontal layer of loose sand when compacted by blasting. If the pores were full
of air that could flow out quickly, the layer would quickly settle. If the pores are
full of water, that flow takes time. In that brief period the soil grains are suspended
in an upward flow of pore fluid, like an upward seepage flow fluidizing sand in the
floor of a cofferdam. Chemical engineers use fluidized beds for example in some
heat transfer processes. It is worth discussing carefully a difference between the
two words liquefy and fluidize in order to clarify two separate issues. First, did a
usage in the English language give the word liquefaction another, better meaning
before Hazen? Second, does Hazen’s concept of a shock transition in aggregates of
highly stressed grains explain observed liquefaction events?
Hazen’s use of the word liquefied may be questioned. In the SOED the word
‘fluid’ means ‘having the property of flowing; consisting of particles that move
freely among themselves, so as to give way before the slightest pressure’, and the
word ‘liquefaction’ means ‘the reduction to a liquid state; also the ‘melting’ of the
soul (1711)’. The words fluidization and liquefaction have about the same
meaning, but of the two words liquefaction is used less commonly. A possible
reason for the English to prefer to use the word ‘fluidization’ rather than ‘liquefac-
tion’ is to avoid any embarrassing reference to the soul and religion. Christian
believers in the Middle Ages who saw blood flowing from the wounds on a
statue of Christ in a shrine would describe that miracle by the word ‘liquefaction’.
But a Cavalier poet (1591–1674) famously used the word ‘liquefaction’ in a secular
sense with another precise meaning. Robert Herrick, an English country parson,
was a graduate of St John’s College in Cambridge. He put the idea of total absence
of stress when a light silk dress floats in the air in a poem:
Upon Julia’s Clothes
Whenas in silks my Julia goes,
Then, then, methinks, how sweetly flows
That liquefaction of her clothes.
Next, when I cast mine eyes and see
That brave vibration each way free;
O how that glittering taketh me!
Hazen adopted a meaning for liquefied that he thought right, unaware of, or
ignoring, this earlier meaning. Herrick’s secular use of the word ‘liquefaction’
conveys precisely the meaning that the SOED gives to the word ‘fluidization’. In
Herrick’s use, a light silk dress moves to and fro in the air as Julia’s movements
cause transient motions. In Hazen’s use of the word, his grains initially carry a
high stress that (in an instant) is transferred to the local pore water so that the
soil body flows as a liquid. In Hazen’s use, separate solid grains bearing stress
are initially held together as a single body by that stress until, like the fall of a
house of cards, an unstable chain reaction is propagated, causing unstressed
grains to flow away in suspension in the pore water, as if the aggregate had
melted. However, if a buried water main fractures, the escaping water will fluidize
the trench fill as it rises in the trench. And similarly, if an oil tank with an area of
INTERLOCKING, CRITICAL STATES AND LIQUEFACTION 41
500 m
2
on a layer of saturated sand settles 200 mm in an earthquake and displaces
500 Â0.2 ¼ 100 m
3
of water, that escaping water will fluidize the ground around
the tank, causing damage. I would then say that there has been settlement of the
sand below the tank and liquefaction or fluidization of the sand around the tank.
At the University of California at Berkeley, Professor Seed, once a Harvard
student under Casagrande, adopted zero effective stress as a criterion when
applying finite element (FE) analysis to liquefaction in Californian earthquakes.
FE analysis had been used (for example by Professor Ross at King’s College
London where Seed was once an assistant lecturer) to follow the stress history
of each part of a reinforced concrete nuclear reactor container vessel during
cyclic loading in service. The aim was to find if the history of cyclic loading
would cause fatigue failure at some point in the concrete. Seed needed a failure
criterion for soil liquefaction in order to apply this technique to Californian
embankment dams in earthquakes. Observing that, as the pore water pressure
rose in undrained cyclic triaxial tests of sand and the effective stress fell, there
was failure of sand at zero effective stress, he suggested a criterion of failure
under any loading that led to zero effective stress. The striking difference between
the Harvard and Berkeley criteria was that in Harvard the aggregate state before
the instant of liquefaction was at a point c in Fig. 12(d), very much on the wet side
of CS, and in Berkeley it was at a point u, far on the dry side. Casagrande’s 1936
paper noted that if small cycles of strain release the contact forces here and there
between grains, state points approach the lower left hand corner in Fig. 12(a) and
move to v
`
(ÿ, but to achieve a large displacement such as in Fig. 15(b) there
must be steady shearing distortion, and interlocking during continuing shear
flow brings states back to v
`
¼ ÿ. If a triaxial test specimen state arrives at
curve FG in Fig. 16 (Casagrande’s compression curve for the densest state), reaching
zero effective stress p
0
¼ 0 in cyclic loading, the state has got to follow a path that
crosses Fig. 17 to reach CE (Casagrande’s critical density) before Casagrande’s
liquefaction flow state is reached. The disagreement between Casagrande and
Seed was resolved by the introduction of the term cyclic liquefaction to describe
an aggregate at zero effective stress with small oscillations rather than continuous
shear flow. Herrick’s zero stress is not a sufficient condition for flow; pore flow is
needed. In a desert or on the seabed, a stress component normal to the free surface
is zero, but grains stay put on that surface unless the wind blows across the desert
and sand dunes form, or sea currents move across the bed and sand waves form.
CS theory also questions Casagrande’s alarming prediction of a risk of liquefac-
tion at high effective pressure. In Fig. 11(b), above the CS pressure o
0
f
yield
strengths fall, but the aggregate remains ductile and stable. A high effective
pressure to the right of C in Fig. 12(b) or to the right of the CS line ACH in
Fig. 18(b) makes it easier to cause plastic flow in an aggregate, but does not
cause a liquefaction event. This is seen in triaxial tests of sand that begin at a
state point to the right of Figs 12(b) and 12(d). Successive axial load increments
cause a pore pressure increment that takes the undrained test path towards the
CS line, with stable yielding on the wet side of the CS. The stable test path ends
with flow only when friction is fully mobilized. When the behaviour of contractive
soil is discussed later, the yield curve in Fig. 11 will become the inclined straight line
of the OCC model in the Frontispiece. Points on the wet side of CS do not map the
42 DISTURBED SOIL PROPERTIES AND GEOTECHNICAL DESIGN
states with the behaviour called liquefaction. At first, an increase of the effective
pressure on the dry side of CS will improve ductility, but after the OCC line is
reached the risk to the aggregate is the steady fall of strength, rather than
sudden instability. Along the OCC line the stress ratio to cause hardening and
yielding falls from the CS value of j ¼ M when v
`
¼ ÿ. Under increased pressure
as the aggregate approaches the state at which v
`
¼ ÿ þð` ÿiÞ it becomes so
slippery and it yields so easily that test specimens cannot be brought into the
state with a stress ratio j ¼ 0 at the point where v
`
¼ ÿ þð` ÿiÞ. An aggregate
can only be held near that point by cementation.
2.6 Failure at low effective stress
Casagrande commented on the news of widespread flow slides in loess in China
that, in this loess, trapped pore air pressures caused liquefaction flow slides. An
undisturbed very loose aggregate is transformed into a soft rock if the grains are
lightly cemented. Loess is made up from grains of rock flour washed out from
below glaciers in an interglacial period. They are deposited as a silt outwash fan
and then blown away by wind, to form lightly cemented very weak but firm
deposits. One description of Norwegian quick clay is sea loess. When thick glaciers
still rested on Scandinavian fells, silt washed out from below the glaciers was
deposited in the sea on the bottom of fjords. When the ice melted and the load
on the fells was less, the rock rose up, and the newly deposited seabed soil
formed land beside fjords. The quick clays were formed in the following millennia
as rainwater gradually leached salt out of the uplifted ground. Figure 12(b) maps
undisturbed lightly cemented rock flour at a state point like ¸ with a fully
remoulded CS line having moved away to the left. Such quick clay or loess
makes a firm foundation for small buildings if undisturbed; if disturbed, it will
be near zero effective stress. In quick clay regions a typical failure of the ground
below farm buildings or a housing estate starts with small initial cracks in the
level ground surface; they can be detected when pools of water on the surface
are seen to drain into them. These cracks open up. Large blocks of ground then
slip, taking trees and buildings with them. In the flow slide large blocks crumble,
and as rubble flows down a valley, it turns into fluidized silt with zero effective
stress. A visitor to an area that is well known for liquefaction flow slides will be
surprised to find how strong the undisturbed soil is, with steep almost vertical
escarpments beside small streams.
This type of failure is shown occurring at a state point with coordinates ðv
`
. jÞ
far to the left in the Frontispiece map, as pore pressures rise and the stress
approaches zero. It also applies to densely compacted soil where the onset of
micro-cracking causes an increase of permeability. If a body of soil near to zero
effective stress crumbles into rubble in the presence of a high hydraulic gradient,
the pore pressure gradients will fluidize the soil rubble, and this can also be
called liquefaction failure. This same name and explanation will apply to a
range of failures from hydraulic fracture of dams to sand boils behind flood
levees, from upward hydraulic gradients fluidizing sand in the base of a cofferdam
to water flow from a broken water main that fluidizes the trench fill in which the
main is buried. When effective pressure on a dense aggregate is near zero, and
INTERLOCKING, CRITICAL STATES AND LIQUEFACTION 43
there is a high hydraulic gradient, cracking, piping, channelling, boiling and clastic
debris flow occur. A sudden increase in permeability lets water flood into the
crumbling debris, and fluidizes it. What was previously firm ground is liquefied.
The Frontispiece maps the soil states in all these failures on the dry side of the
CS line. I described how a seepage pressure gradient unlocks a densely interlocked
aggregate on the dry side of the CS line as follows (Schofield, 1982):
The word ‘interlock’ is helpful in thinking about this event. A lock is made with a
sliding bolt which is mechanically secure even though it is unstressed. Any
attempt to shear a pair of interlocked doors apart will generate resistance by
the bolt. However if a pair of interlocked doors are pushed open their lock or
bolt will offer no resistance as the doors swing apart. In the same way a hydraulic
gradient across a soil body at very low effective stress will open cracks or
channels in the soil. In the case of a pair of doors where the bolts are jammed
tight, it may be possible to free a bolt by joggling it in different directions
until the forces that hold the bolt are relaxed. In the same way cyclic loading
on interlocked soil grains can reduce the effective stresses between them until
even the closest fitting interlocked grains become free to slide apart . . . The
opening within the body may be an extensive crack or a local pipe or channel.
In the case of a local pipe being formed, the seepage forces of water following
tortuous paths round interlocked grains may be able to dislodge grains in a
direction perpendicular to the axis in which the pipe is developing: the hydraulic
pressures transmitted along the pipe would form hydraulic gradients in these
directions . . . So in general the dilative response, that makes interlocked
grains brace themselves to resist shearing deformation in soil in dry state sand
(makes them suck water in among themselves as they dilate) turns into a
disintegrative response in soil in which effective stress components fall to zero.
In some cases the cracks are self-healing with soil grains from the walls of
cracks forming a mud which limits the sped of pressure transmission. In other
cases there can be sudden transmission of pressures, and a body of crumbling
soil can disintegrate into a sort of soil avalanche, or several pipes can break
through a sand layer and vigorous sand boiling can occur.
The report on the flow slide of Fort Peck Dam had made it clear that there was no
sudden instability in the aggregate of soil grains such as Hazen envisaged, Thad-
deus Merriman (1939) wrote
The facts which have been presented disclose the cause of the slide. During the 60
days prior hereto, the difference in level between the core pool and the water in
the reservoir had increased from 83 feet to 134 feet. Because of the open joints in
the disintegrated and subfirm shale, a substantial part of this pressure head was
transmitted through them by the drainage water from the core pool as it passed
through both the core and the shell. This pressure acting as an uplift under the
upstream portion of the dam reduced the effective weight of the toe so that
finally, it was unable to restrain the slope upon it. Failure was thus initiated.
The toe in the vicinity of station US þ00 and range US þ00 moved outward
on the lubricated and disintegrated shale. The first motion was necessarily
slow, but, once established, it rapidly became irresistible. All else happened as
44 DISTURBED SOIL PROPERTIES AND GEOTECHNICAL DESIGN
a matter of consequence. The downstream shell carrying the paving moved
smoothly outward, as though upon skids. As the bottom moved outward the
plastic core subsided into the space thus made and the ‘barn-door’ began to
open. The failure was distinctly in the disintegrated shale at depth under the
dam. All of the observed facts are thus explained. As there is still evidence of
pressure in the shale members, how much greater must that pressure have
been before the slide!
Clearly, the liquefaction failure in Fort Peck Dam involved high pore pressure
gradients in disintegrated shale near zero effective stress. It was not a phase transi-
tion occurring as a chain reaction in a granular aggregate as described by Hazen
(and Casagrande). In Hazen’s liquefaction, two sources of power drive chain reac-
tions: elastic energy stored in highly stressed grains is released, and pressures on
external boundaries move as high effective stress reduces the volume of a loose
sand grain aggregate. In what I called Herrick’s liquefaction, totally unstressed
grains liquefy with no unstable release of energy, and the hydraulic fill flow
described at the start of this section is powered by gravity. The criterion for lique-
faction is not only that the grains are nearly at zero effective stress but also that
they are subject to a hydraulic gradient and fluid flow. The Frontispiece has two
axes ðv
`
. jÞ, where v
`
¼ ðv þ` ln p
0
Þ, and liquefaction is written in a part of the
Frontispiece that fits lightly stressed states reached by cyclic loading. As a path
approaches p
0
¼ 0 it must leave the map; grains in an aggregate must always be
held together by some small stress. Contractive soils on the wet side of the CS
line are stable. Where Casagrande would plot liquefaction on the wet side of the
CS line, the Frontispiece has a ductile plastic zone. As the OCC model yields,
the energy input in volume reduction and the release of stored elastic energy
both contribute to the plastic dissipation of frictional power in CS flow,
Mp
0
d·,dt, and cause the ductile plastic yielding of soft soil. To explain what
happens when a soil body yields as a plastic body, I must clarify what plastic
means.
INTERLOCKING, CRITICAL STATES AND LIQUEFACTION 45
3 Soil classification and strength
Terzaghi and Casagrande had a preconception that clay and sand soils must be
very different types of material because of the surface chemistry of clay grains,
but when their data of disturbed clay soil are re-assessed, mechanical concepts of
plasticity and CS explain soil behaviour without chemistry.
3.1 Casagrande’s soil classification and soil plasticity
Readers of soil mechanics literature are troubled with several papers asserting that
the meaning that the word plastic now has in 20th-century solid mechanics does
not apply to soil. It had another meaning for many centuries before it got the
modern meaning. People who saw a potter forming a little figure and thought of
man being formed from clay, or asked how the identical full-grown forms of
many plants could come from a handful of small seeds, thought that all manner
of creation of forms involves a plastic principle that applies both in art and in
life. The SOED quotes a line from Sir Thomas Browne (a scientist and scholar
who lived from 1605 to 1682): ‘in what diminutives the plastick principle lodgeth
is exemplified in seeds’. Today we might write this as ‘seeds are examples of the
small dimensions needed to contain the plastic principle’. The SOED states that
the Greek derivation of the word ‘plastic’ alleges that a principle, virtue or force
in nature causes the growth of natural forms of living organisms. It covers the
growth of big recognizable plants from small grains. The solid mechanics of
metal forming involves stress. The ðt. xÞ plot in Fig. 1(b) shows a cycle of ðtÞ
loading and unloading that leaves a solid body with a plastic deformation ðxÞ,
but the original definition of the word ‘plastic’ is wider than this. The plastic
process in Fig. 1(a) gives a dimension x to a body. Unlike a fluid flow it covers
any process in which a body acquires a form that persists when the process finishes.
No stress need be involved. An example is finding the density of soil by digging a
hole and pouring in loose sand to fill it. The ratio of the weights of the soil taken
out and the sand put in gives the ratio of the densities of the soil and the sand. By
the SOED definition, the ability of the aggregate of grains to adopt the irregularly
formed form of the hole is correctly called a plastic property. The ductility of soil
paste that lets a potter form it into pottery is the result of the mechanics of water-
saturated fine-grained soil aggregates. The plasticity index I
p
of a soil, in the soil
classification system of Casagrande, is the range of water contents over which
soil paste shows this plastic behaviour and can be moulded into different forms.
Engineers use soil classification to help to select some construction sites or soil
materials, and to reject others. Classification begins with grading tests that break
up soil specimens in water and wash the grains through sieves. Grains that crush
when transported are called friable, and a size distribution that changes during
the handling of disturbed soil would have little meaning. In construction, strong
grains are better than grains that easily crush because the form aggregates with
predictable behaviour. The natural processes of transport and sorting can give
soils a strong grain aggregate that dissipates power in distortion in the way that
a loose grain aggregate dissipates energy in a slope at repose. When the CS
theory was initially developed in 1955 the soil classification tests were thought to
be only empirical, and Hvorslev’s interpretation of shear box data and the
Mohr–Coulomb failure criterion were thought much more fundamental than
soil classification (both at Imperial College and at Cambridge University). But
as developing CS concepts and the fundamental cause of plasticity in soil paste
were discussed with soil mechanics’ students making soil classification tests with
remoulded water-saturated reconstituted soil paste that dried in the air, two
explanations of the increase of the apparent cohesion strength were possible. I
could repeat the (a) electrochemical explanation of forces that increase as clay
grains became closer to each other, or (b) the explanation might involve surface
tension in open pores on the paste surface, with curved water menisci that cause
pore water suction and effective stress in the aggregate of grains. I preferred an
explanation as follows. As a paste is remoulded, the air–water interface that
envelopes it has innumerable menisci hanging like spider’s webs from grain to
grain across every surface pore. A student squeezing soil with their fingers can
think of the lump of paste as a small sack, with tension in the sack holding effective
pressure in the grains. As water evaporates from soil paste, the consolidation by
surface tension is as effective as consolidation would be in an oedometer. There
is internal friction in a sand bag that can effectively stop shrapnel fragments;
this is the same property that would give rise to a slope at an angle of repose if
the sand bag broke and the grains formed a heap. In 1955 a soil science research
unit of the Department of Agriculture in Cambridge had a laboratory that
would consolidate small cylinders of soil paste on water-saturated suction plates,
with fine pores giving high air entry suction; pore suction in the plate was in equili-
brium with mercury in a u-tube. The water content of the paste decreased, and p
0
and the paste strength c
u
(or s
u
) increased as water slowly evaporated into the air
from all surfaces. Unconfined compression tests gave data on the paste strength. A
straight line was obtained when strength was plotted against suction. The pore
suction was in equilibrium with the positive effective spherical stress p
0
in the
soil grain aggregate. The data showed that soil paste had frictional strength. The
mechanical explanation of the plasticity and friction in soil paste was better for
our students than a chemical explanation; geotechnical engineers do not regularly
make chemical tests of soil.
The same effect is seen if a small cup is filled with soil paste, a level surface struck
across the cup, and the apparent cohesion is measured with a falling cone that is
held with its tip at the surface of the paste and is let fall. The depth of penetration
d is measured when the cone comes to rest. Figure 19 shows the data of tests on
kaolin paste with two cones of 308 tip angle; one cone has mass of 80 g and the
other has mass of 240 g (Lawrence, 1980). Both cones were used to test a series
of specimens of paste with decreasing water content. As the paste strength
increases, d decreases, and as the water content of the paste decreases, the
logarithm of the depth d decreases. As strengths fit a logarithmic plot in Fig. 19,
SOIL CLASSIFICATION AND STRENGTH 47
the pair of lines confirm the proposal in Eqn (10) that soil paste in CS flow is in
states ðv. p
0
Þ that fit ÿ ¼ v þ `ln p
0
. Another deduction from Fig. 19 is that the
spacing Áw between the two lines is a measure of the slope ` of the CS line in
Eqn (10). In CS plastic compression an increase in p
0
by a factor of 240,80 ¼ 3
is linked with a reduction of water content by Áw. In Fig. 2 the specific volume
is v ¼ 1 þ e. If the voids e are full of water and the unit volume of solids has a
mass G
s
, I can calculate that the water content is w ¼ e,G
s
. So the fall in water
content Áw ¼ Áe,G
s
¼ `ln 3,G
s
, hence ` ¼ Áw G
s
, ln 3. Hence, tests with two
cones of different mass give `, a basic CS constant for the disturbed soil. I intro-
duced this form of plasticity testing in our laboratory teaching in 1964, measuring
depths of penetration of cones of 80 g and 240 g mass into the surface of soil paste.
For a series of paste samples of increasing water content this gave the pair of
straight lines (Fig. 19) at a spacing Áw that showed what reduction of water
content was needed to triple the clay paste strength. The test data gave students
an I
P
value.
I once heard Bishop relate how Atterberg developed his soil classification test
with the knife and the spoon in the lunch box that he took with him in the field.
He used the knife to mix up a pat of soil paste with some drinking water in the
bowl of the spoon, made a simple cut in the paste, tapped the spoon on the
back of his wrist, and counted the number of blows to make the knife cut close
up. In Casagrande’s refined test the spoon and knife became the falling bowl
and the grooving tool for his liquid limits. The US Army Corps of Engineers
took Casagrande’s liquid limit test with them around the world as they constructed
road and airfield pavements in World War II, to become the most frequently
performed and least understood of all soil mechanics tests, but in CS theory it
became the most significant of all tests. Makers of Casagrande’s apparatus made
significant differences between the beds onto which the bowl fell. Each time that
Casagrande’s bowl falls, a standard spike of impulsive deceleration causes a minia-
ture slope failure at each side of the groove in the soil paste. A little more water is
added again and again to the soil paste in a liquid limit test. As the water content
increases and the paste strength c
u
decreases, the duration of the brief period in
which a side of the groove flows will increase. The groove width is fixed, so the
number of blows to close the groove decreases. When a standard number of
blows closes Casagrande’s groove, his test has found the water content at which
the soil paste has the standard undrained shear strength. The CS relationships
between w and p
0
and c
u
for disturbed soil paste give the linear relationship between
w and ln (number of blows). The second soil classification test finds a water content
called the plastic limit w
P
at which it is impossible to roll a thread of soil paste that
does not crumble. The difference w
L
ÿ w
P
¼ I
P
gives the plasticity index of soil.
Skempton and Northey (1953) suggested that I
P
is the fall of water content
needed to give a 100-fold increase in the soil paste strength. My research student
Lawrence (1980) made tests of mixes of rock flour and coarse kaolin clay in
different proportions as tabulated in Fig. 19, giving the fan of CS lines shown in
Fig. 20. Skempton and Northey defined activity of the colloidal fraction of a
clay paste as I
P
,ð% < 2 mÞ, and related I
P
to the clay fraction, and Schofield and
Wroth (1968) translated this into a fan of CS6 lines all passing through one
point.
48 DISTURBED SOIL PROPERTIES AND GEOTECHNICAL DESIGN
F
i
g
.
1
9
F
a
l
l
c
o
n
e
t
e
s
t
d
a
t
a
(
L
a
w
r
e
n
c
e
,
1
9
8
0
)
SOIL CLASSIFICATION AND STRENGTH 49
The data of Lawrence’s set of test specimens in Fig. 20 define a point with more
accuracy than Schofield and Wroth. Casagrande’s soil classification system,
Coulomb’s dictum that disturbed soil has no cohesion and the CS model of its
behaviour are all generally applicable to all types of soil throughout the world.
By the CS concept, undrained strength is due to internal friction. Aggregates of
grains under effective spherical pressure dissipate energy as they flow. In a water-
saturated soil paste the grains are held together at constant volume by pore water
suction. Dry silt grains do not cohere; apparent cohesion is due to suction. The CS
concept is in agreement with Rankine’s mid-19th-century teaching. He had been
involved as a civil engineer in the construction of railway cuttings in undisturbed
stiff ground. Experience of construction in stiff clay taught him not to rely on the
adhesion of soil. A slope failure in stiff soil initially has a small vertical face at the
top of a slip, but in time that vertical face falls, leaving a slope at a constant angle
c
d
. Evidence of slopes in stiff clay that stand at an ultimate angle of repose led him
to believe that cohesion is unreliable and in the long-term only soil friction is
reliable. His textbook (Rankine, 1874) states that ‘friction is the only force
which can be relied upon to produce permanent stability’. The CS concept with
zero cohesion agrees with him.
3.2 Hvorslev’s clay strength data and the CS line of clay
At this point I can re-examine Terzaghi’s interpretation of Hvorslev’s tests. The
tests were the culmination of a research programme with colleagues and research
students in Harvard and Vienna. Terzaghi thought that they confirmed the role of
effective stress (Eqn (1)) in the equation for soil strength (Eqn (2)), but when re-
examined, his tests in shear boxes actually confirm the concept of the stable ductile
yielding of frictional soil on the wet side of the CS. Hvorslev wrote that a definite
Fig. 20 A family of critical state lines (Lawrence, 1980)
50 DISTURBED SOIL PROPERTIES AND GEOTECHNICAL DESIGN
critical void ratio does not exist in the case of a cohesive soil, but any void ratio can
become critical if it is produced by a critical consolidation procedure; he had
confirmed the CS concept. Terzaghi’s research on the strength of reconstituted
clay used a type of direct shear test box that also acts as an oedometer, to conso-
lidate samples for shear testing. Figure 21 shows the shear box in vertical section,
immersed in a bath full of water; it is square in plan, with upper and lower halves.
The lower half of the box is supported on roller bearings. Loading hangers apply
horizontal and vertical forces on the upper half of the box and on the porous piston
EF. The vertical load on the mid-plane is held constant. The lateral loading hanger
is subject to successive load increments. Shear displacement of the lower half of the
box is resisted by soil strength on the specimen mid-plane. In a test, average soil
stress components ðo
0
. tÞ act on the mid-plane JK.
A pipe shown by the double lines LMN is connected to a small porous stone that
is in contact with pore water in the soil at N. The pore water pressure at all points in
the soil and in the water bath is in equilibrium with the atmospheric pressure on the
upper free surface of the water bath. If the water in the standpipe is seen to rise above
or fall below the free surface level, then there is a positive excess pore water pressure
or suction at N. In Terzaghi’s analysis of the consolidation process, a load increment
on a soil layer causes excess pore pressure gradients that make pore water flowacross
drainage boundaries. Steady application of a load eventually changes the effective
stresses throughout an aggregate of soil grains. Terzaghi stated that any change of
state such as elastic or plastic compression, all distortion and all change of shearing
resistance of the aggregate depends only on changes of the effective stress o
0
. A
change in the volume of the soil will cause vertical displacement of the upper half
of the box and of the forces on the vertical loading hanger. Figure 22(a) sketches
shear test data for a work-hardening metal such as annealed copper. Compression
from B
0
to B is called elastic; from B to C it is called elastic–plastic; swelling from
C to C
0
is elastic. The same description is used for soil. Terzaghi analysed the conso-
lidation of a horizontal layer under an increment of vertical load due to transient
excess pore pressures. He treated the clay as a stack of elementary elastic coiled
spring elements, each in a cylinder full of water with a piston applying a load to
the spring and to the water (Fig. 22(c)). In Fig. 22(d), a vertical total stress o that
is applied to the piston causes an effective stress o
0
in the spring below the piston
Fig. 21 Slip plane in saturated soil in a shear box
SOIL CLASSIFICATION AND STRENGTH 51
and a pore water pressure u in the cylinder, as described in Eqn (1). If in Fig. 22(d)
the excess pore water pressure in the cylinder below the piston is u, then in the stand-
pipe, water with a unit weight ¸
w
will rise to a height h ¼ u,¸
w
above the piston that
rests on the water in the cylinder. His springs were elastic.
What is envisaged in the CS concept is an aggregate of fine grains, not a simple
stack of springs. When disturbed, water-saturated soil is slowly compressed or
swells in the box, and energy is dissipated in the transient process of consolidation
and swelling, with flow of pore water through fine pores and channels among the
grains. When this process ends, forces in grains resist all loads on the aggregate. If
the load is removed very slowly, some of the energy stored in grains in compression
can be recovered in swelling. The non-linear elastic compression and swelling
curves B
0
B, C
0
C and D
0
D are as sketched in Fig. 23(a), following Taylor (1948).
In Fig. 23(b) these elastic compression and swelling lines are idealized as straight
lines. It is a simplification, as loops will result if grains slip during loading and
unloading cycles. Terzaghi’s model for the compressibility of a horizontal layer
of soft water-saturated soil put a stack of springs and pistons in a vertical cylinder
filled with water. A load increment causes a change of length of the springs in the
water, and energy is dissipated by viscosity when water flows past a piston. The
work done is small if the movement is infinitesimal. No viscosity is taken into
Fig. 22 Elasticity, yielding and plastic strain
Fig. 23 Elastic and plastic compression of soil. (a) o
0
base. (b) ln o
0
base
52 DISTURBED SOIL PROPERTIES AND GEOTECHNICAL DESIGN
account in the dissipation of power here, although viscous dissipation of energy in
the transient flow of pore water must make a contribution to the stability of grain
aggregates. All loading and unloading cycles will be idealized simply by straight
lines such as are shown from D
0
to D as non-linear elastic behaviour, and not
with the loss of energy that there would be in loops. Geological processes involve
loading and unloading of sediment layers being laid down in water and then
uplifted and exposed by erosion. An undisturbed soil specimen that is brought
into a laboratory for tests will have had over-consolidation similar to the path
ADD
0
in Fig. 23, but the effects of viscosity and creep in real soil specimens that
creep under constant load must be discussed in other books – I only consider
the idealized elastic–plastic behaviour of aggregates.
The box EFGH in Fig. 21 has two halves, divided on the mid-plane JK. Before
shear, to eliminate sliding friction between these halves of the box, the upper and
lower halves of the box are slightly separated by three lifting screws that pass verti-
cally through the top half of the box and bear against the lower half of the box.
When vertical movement of the piston has stopped, to ensure that the weight of
the piston and of the top half of the box is carried entirely by the aggregate of
grains on the mid-plane, the top half of the box is lifted a little, and a small
screw that passes through the side FK is tightened to clamp the top half of the
box on to the piston. The lifting screws are then removed. When shear force is
applied in Fig. 21 the aggregate on the mid-plane resists slip. Whatever the grain
size, if the soil grains are densely packed, shear distortion requires a loosening
of the packing to let grains move past each other. As dense soil shears, the
piston and the top half of the box in Fig. 21 rise; with loose soil they fall. The
displacements are measured in both cases. In a stress-controlled drained test the
shear load is applied by adding weight to a loading hanger. Initially a transient
movement soon slows down, but as the hanger load is increased there will be an
increment at which a steady load causes a steady or very slow shearing velocity.
If that load is left on, there will be an ultimate failure on the slip plane. That failure
load gives the peak strength. Coulomb did not rely on cohesion, but Terzaghi
wanted to use accurate values that were found in laboratory tests of undisturbed
soil in design practice. He wrote (Terzaghi, 1943):
The data for making a stability calculation pertaining to clays can at present be
obtained only by means of the following purely empirical procedure. We test the
clay in the laboratory under conditions of pressure and drainage similar to those
under which the shear failure is likely to occur in the field . . . If we dig into a bed
of dry or completely immersed sand, the material at the sides of the excavation
slides towards the bottom. This behavior indicates the complete absence of a
bond between the individual sand grains. The sliding material does not come
to rest until the angle of inclination of the slopes becomes equal to a certain
angle known as the angle of repose. The angle of repose of dry sand as well as
that of completely immersed sand is independent of the height of a slope. On
the other hand a trench 20 to 30 feet deep can be excavated in stiff plastic
clay. This fact indicates the existence of a firm bond between clay particles.
However, as soon as the depth of a trench exceeds a certain value, dependent
on the intensity of the bond between the clay grains, the sides of the trench
SOIL CLASSIFICATION AND STRENGTH 53
fail and the slope of the debris that covers the bottom of the cut after failure is far
from vertical. The bond between the soil grains is called cohesion. No definite
angle of repose can be assigned to soil with cohesion, because the steepest
slope at which such a soil can stand decreases with increasing height of the
slope. Even sand, if it is moist, has some cohesion.
In this passage, Terzaghi links cohesion with clay in which bonds formed after a
long period of creep. He writes about total stress, not about frictional strength
generated by positive effective stress and pore water suctions in stiff clay and
moist sand. If he had made a vertically sided cylinder of newly remoulded clay
by compaction or consolidation, 10 or 15 cm high, he could have left it standing
on his laboratory bench with an air–water interface on all faces of the cylinder.
With suction in the pores it would not have failed under self-weight because fric-
tional strength would have been mobilized by effective stress. But tensile strength
of pore water is not part of the strength of effectively stressed soil. If he had filled a
sink in his laboratory with water, picked up that cylinder and immersed it in the
sink, he could have left it under water for his students to observe. Before long
the suction in the pores would have drawn water into the faces of the cylinder of
soil, soil grains would begin to fall off the vertical faces, demonstrating Coulomb’s
law (that newly remoulded soil has no cohesion) to students who saw a heap of soil
with fully softened clay soil slopes at an angle of repose.
In Terzaghi’s research tests on disturbed saturated soil specimens in shear boxes,
as a loading hanger applied weight to a square piston it slid freely down into the
box (Fig. 21), and caused a vertical effective stress o
0
through the depth of the
clay in the box. Drained increase and decrease of the normal stress o
0
caused
both plastic and elastic compression, and elastic swelling of the clay. Plots of
water contents w against ln o
0
gave straight lines like AB and BB
0
in Fig. 23(b),
or DE and EB in Fig. 24, with slopes that define elastic and plastic compression
properties of the clay. Casagrande and Albert (1932), in early shear box tests at
Harvard University, prepared soft soil specimens under various normal loads o
0
on line DE in Fig. 24. In slow fully drained shear tests at constant o
0
they found
that as each such specimen yielded, the specimen state moved from a state on
the line DE to a state on the line AC. The final loss of water content of each
specimen had the same value Áw. The ultimate shear strengths t of normally
consolidated specimens were proportional to the normal effective stress o
0
. Such
shear strength test data plotted as points on lines such as AC in Fig. 5 or 10(c).
Terzaghi’s tests in Vienna of both normally consolidated and over-consolidated
reconstituted clay specimens extended this Harvard work. Figure 24 sketches the
elastic–plastic compression behaviour in the shear box as line DHE. The clay
swells into equilibrium at states such as point B in Fig. 24. With the state at
point B, Hvorslev began slowly to load the shear-loading hanger, to start a fully
drained shear test at constant o
0
. Figure 2(c) shows the compression of a cylinder
of normally consolidated clay on line DHE causing general ductile bulging, and
compression of over-consolidated clay causing localized brittle rupture on an
inclined plane. Similarly in the shear box tests, Casagrande and Albert’s specimens
were ductile, but Hvorslev’s heavily over-consolidated clay was brittle. The dense
clay began to dilate as the shear stress increased, with the water content increasing
54 DISTURBED SOIL PROPERTIES AND GEOTECHNICAL DESIGN
from B to a point such as F. As Hvorslev’s shear load t on each such specimens
increased, at first the shear creep rate decayed. The shear load then reached a
value at which the creep rate began to accelerate. Hvorslev held that shear load
steady and waited. Failure was sudden, on a thin shear plane, with shear and
normal effective stress ðt. o
0
Þ at a state point F. After failure, Hvorslev cut out a
slice of clay a few millimetres thick that included this thin slip plane to try to
measure the water content at F, but slip planes are very thin. He mostly got clay
from beside the slip plane as it was just before failure. According to the CS concept,
water contents after failure in the slip plane would have given CS test data, but
what he measured was the water content w as it was just before failure, and in
Fig. 25 he plotted the data of ðw. o
0
Þ and the peak strength data of ðt. o
0
Þ for a
set of 12 specimens all consolidated to the same effective normal stress of about
5 kg/cm
2
(Hvorslev, 1937). The data on the dashed curves lie near to, but slightly
above, the solid straight line of CS frictional strength. There is only a slight differ-
ence between the peak strengths of over-consolidated clay on the dashed curves,
and the straight solid line of lightly over-consolidated peak strength points, but
the slight difference contains the significant information about cohesion.
The explanation of this slight difference is as follows. In Fig. 24 the line GFA
would represent a set of specimens that are all at the same water content when
they fail. To get the set of specimens such that at failure all were at the same
water content w as at point F, Hvorslev would have had to make many tests; a
specimen at G would have to be heavily over-consolidated to a point on DHE
beyond E, and swell back further than B, and dilate more than BF. He did not
need this large set because, knowing values of ðt. w. o
0
Þ at points 1 to 12, he normal-
ized those data as follows. From each value of w he found where the extended line
GFA intersects line DE at an equivalent stress o
0
e
. This point H in Fig. 24 is such
that plastic compression under the effective normal pressure o
0
e
would produce a
water content w. To normalize the peak strength data in Fig. 23 he divided each
shear and normal stress ðt. o
0
Þ by o
0
e
. When he plotted t,o
0
e
against o
0
,o
0
e
in
Fig. 26, he found that the normalized data lay on a straight line like BC in
Fig. 27, so that peak strength depended on the water content w in the region of
failure. Equation (10) fits line BC. It is like Eqn (2) but with a cohesion c
0
that
depends on water content.
t ¼ o
0
tan c
0
þ c
0
where c
0
¼ c
0
ðo
0
e
Þ ¼ c
0
ðwÞ ð11Þ
Fig. 24 Hvorslev’s shear box test path DHECBF
SOIL CLASSIFICATION AND STRENGTH 55
Figure 26 led Terzaghi to claim that Hvorslev had found a true friction c
0
of
clay smaller than the slope at repose c
0
< c
d
and a true cohesion of clay
c
0
¼ c
0
ðwÞ that was a function of the water content w. He claimed that these friction
c
0
and cohesion c
0
parameters are true constants in terms of effective stress
components ðt. o
0
Þ, for saturated reconstituted reconsolidated clay without natural
fabric. Terzaghi thought that the surface chemistry of fine clay mineral grains and
dissolved salts in pore water are the basis of adhesion between grains, and of his
true cohesion. In Fig. 27 the line BC applies to one value of o
0
e
, corresponding
to one value of w, or the equivalent void ratio e ¼ v ÿ 1. He failed to note that
Eqn (10) gives peak strength values of over-consolidated clay only on BC in Fig.
27 but does not apply to lightly consolidated clay to the right of C in Fig. 27
and in particular does not apply at point D where plastic compression occurs
Fig. 25 Hvorslev’s (1937) data of compression, swelling and shear strength
56 DISTURBED SOIL PROPERTIES AND GEOTECHNICAL DESIGN
when o
0
¼ o
0
e
. If the soil on Hvorslev’s thin slip plane had reached a CS failure
state, and if he had found the CS water content in that slip plane after failure,
then every data point on line BC in Fig. 27 could cluster round the CS point C.
If Roscoe (1953) could get the layer of soil that flowed in his Simple Shear
Apparatus (SSA) as shown in Fig. 28 to be as thick as the layers of gouge material
that are reported in the field then he would get data of soil in the region of failure at
the moment of failure; by the CS concept all the data would be at C.
The CS concept explains the undrained apparent cohesion of a soft paste
saturated with water as due to internal friction. Schofield and Wroth (1968)
describe failure on the left of the Frontispiece when a body of stiff clay dis-
integrates into lubricated block rubble with a layer of soil paste on areas of contact
between blocks in which soil grains are held together by suction. All soil has
strength due to friction. In stiff soil there is extra peak strength due to interlocking,
but it would be an error to think of friction in fine-grain soil in terms of total stress,
and to ignore the effect of volume change in gouge material on thin slip planes. The
flow of water for such a volume change takes time. According to the CS concept,
when a stiff clay body becomes rubble with cracks and slip planes between blocks,
there are layers of soil paste on contact planes at which pore water suction keeps
holding blocks together. Schofield and Wroth (1968) wrote about
. . . a rubble of lubricated blocks, sliding on each other on very thin moist layers of
soft, lubricating clay paste. Critical state theory explains the failure mechanism,
Fig. 26 Hvorslev’s (1937) normalized peak strengths
Fig. 27 Hvorslev’s ‘true’ strength of clay soil
SOIL CLASSIFICATION AND STRENGTH 57
and also gives us the key to the behaviour of this lubricating clay paste. The soft
clay is being severely remolded but it can only soften to the critical state that
corresponds with its effective spherical pressure. This pressure, and the corre-
sponding critical state strength, increase with depth in the rubble. The ‘friction’
concept involves a resistance to relative motion that depends on the effective
stress between blocks. We can apply the well established friction calculations
to the limiting equilibrium of a slipping rubble only because the strength with
which the blocks adhere to each other is proportional to the pressure that has
long been effective between them.
The suctions will be whatever is needed to keep CS undrained shear flow in the
paste. The ratio of total force normal and tangential to contact areas is the familiar
friction force ratio, but this strength will act like glue in resisting cyclic loading and
unloading of the contact. Without soil suction, a heap of hard rough grains that
stands steady on a vibrating table will sink down to the surface as soon as vibration
begins. This will not occur with CS paste at contacts, if cycles of loading and
unloading of contact plane areas take less than the time needed for the water
content of the CS gouge material on the contact planes to change. Forces between
pairs of strong blocks act at a line of contact; plastic hinges open with relative rota-
tion of blocks about this line. Stiff clay blocks in rubble are not as strong as rock,
and there will be areas rather than lines of contact. The explanation of peak
strength points on the straight line BC in Fig. 5(d) may be non-uniform effective
stress on Coulomb’s slip plane. The contact of blocks on a slip plane may have
two distinctly different areas (a) with high effective stress passing through CS
soil, and (b) a part of the slip plane with less stress where the stiff clay state
points lie to the left of the map of soil behaviour with cracks in dense soil, so
the two areas together give a point on line BC.
3.3 CS interpretation of Hvorslev’s shear box data
It is most significant that there are no data points on the right side of Fig. 27. If Eqn
(10) did apply over the whole range 0 ¼ o
0
,o
0
e
¼ 1 and if many lines AD, and BE
and CF, were plotted against the values of e, they would form (Fig. 29) what we
(Roscoe et al., 1958) drew as the Hvorslev surface. We drew a curve ABC in
Fig. 29 above the normal compression curve at o
0
,o
0
e
¼ 1 on the ðe. o
0
Þ plane.
Figure 29 shows a curved vertical wall, but Hvorslev did not obtain data
corresponding to ABC and to this wall. The line BC in Fig. 27 ends at C. It
Fig. 28 Roscoe’s Simple Shear Apparatus
58 DISTURBED SOIL PROPERTIES AND GEOTECHNICAL DESIGN
does not extend in the range 0.6 < o
0
,o
0
e
. In Fig. 26 from Hvorslev’s doctoral
thesis, the data that give the straight line BC in this figure leave a space to the
right of C. Hvorslev wrote equations there that obscured the fact that his data
fell into a set of ductile and a set of brittle failures as indicated in Fig. 12. The
drained tests of heavily over-consolidated stiff clay with o
0
,o
0
e
< 0.6 to the left of
AC in Fig. 24 moved from B to F in Fig. 24. At F the brittle clay failed on a
thin slip plane, and gave the data of failure states at points that fitted line BC in
Fig. 27. Normally consolidated and lightly over-consolidated specimens with
0.6 < o
0
,o
0
e
< 1 were ductile; they bulged and yielded with water contents that
fell from DE to ultimate states on line AC in Fig. 24. In Fig. 27 the normalized
state of any test path in the range 0.6 < o
0
,o
0
e
< 1 moved to 0.6 ¼ o
0
,o
0
e
, and the
data of the ultimate states lie near to point C. As the lightly over-consolidated
soft clay in the area between DE and AC in Fig. 24 yielded, it became denser
and reached the double lines AC. It then reached newly disturbed granular
material strength values corresponding to the angle of repose c ¼ c
d
, as in the
soft clay tests of Casagrande and Albert (1932).
Anote of cautionis neededhere. Normally consolidatedclay loses water indrained
shearing, and tests end at some value o
0
,o
0
e
< 1. The simple CS hypothesis that has
been outlined in Eqns (9) and (10) would require additional information about the
value of the lateral effective stresses in the shear box in order to precisely define a
CS double line in Fig. 24 or a value of o
0
,o
0
e
¼ 0.6 for point C in Fig. 27. A simple
CS theory will not apply to all soils, and it should be no surprise that Hvorslev
found a significant difference between the ranges of over-consolidation ratios for
which the line BC applies, for two different clays. The range for Wiener Tegel V
is 0.05 < o
0
,o
0
e
< 0.6 and for Klein Belt Ton is 0.1 < o
0
,o
0
e
< 0.85. However, in
neither case did Terzaghi and Hvorslev’s extension of their line BC to the right
of C in Fig. 27 describe the data of yielding of soft clay. Terzaghi claimed that
Hvorslev had verified Coulomb’s model of soil strength and found true cohesion
Fig. 29 The Hvorslev surface (Roscoe et al., 1958)
SOIL CLASSIFICATION AND STRENGTH 59
and friction values, but Hvorslev wrote in his thesis that what he had established is
that both sand and clay have critical states. He wrote that in the case of cohesive
soil a definite, critical void ratio does not exist; any void ratio can become critical if
it is produced by a critical consolidation procedure; (the path DEC in Fig. 24
shows such a procedure). Hvorslev was well aware of the plate shapes and small
sizes of the grains of clay in the soil he tested, and of the difference between
them and the sand that Casagrande had tested, but he still suggested that all soil
behaves as shown by the CS soil model in Fig. 11(b). If interlocking is as shown
in Fig. 11, soil interlocks at peak strength in zone I in Fig. 12 with Coulomb’s
failure, but as it shears and contracts in zone C in Fig. 12 it is ductile. Hvorslev
plotted his raw data of peak values of ðt. o
0
Þ in Fig. 25 for clay that was consoli-
dated to a state shown at point 2, allowed to swell to a state point 7, and reconso-
lidated to a state point 12. The set of shear box test specimens taken to those points
gave peak strengths on a loop forming a dotted curve that lies only slightly above
the straight line t ¼ jo
0
in Fig. 25, and are only slightly stronger than the straight
line in Fig. 25 of fully drained friction values. Rankine’s teaching on soil strength,
that friction is the only force which can be relied upon to produce permanent stability,
differs from what Terzaghi taught his students and from how he interpreted his
student Hvorslev’s research. This re-interpretation by Schofield and Togrol
(1966) of Hvorslev’s tests confirms Rankine’s teaching that engineers using the
slip plane model can rely on CS friction c
d
but cannot rely on cohesion.
In June 1948, in the foreword to Volume 1 of Ge´otechnique, Terzaghi wrote that
the publication of Coulomb’s earth pressure theory was a brilliant beginning for
soil mechanics but that the number of publications on this soil mechanics subject
was ‘utterly out of proportion to its practical importance’, as dry, clean cohesionless
backfill material is rarely encountered in practice. He noted that when geologists
made an inventory of materials that would be encountered in an excavation they
paid no attention to factors such as shearing resistance, permeability and com-
pressibility, contrasting structural design using man-made materials with well
known properties and earthwork engineering using soil bodies in which material
properties vary from point to point. He expressed his hope for advances in a
combination of engineering geology and soil mechanics. Clear perception of the
uncertainties involved in the fundamental assumptions and intelligently planned
and conscientiously executed observations during construction are the basis of
geotechnical success. He felt that theory and testing techniques had advanced
far beyond immediate practical needs in the years from 1938 to 1948 so that in
1948 ‘a well documented case history should be given as much weight as ten ingenious
theories and the results of laboratory investigations should not receive too much
attention’. But there were basic questions to be answered about what words such
as friction and cohesion mean when the strength of soil is discussed, and Ge´otech-
nique intended to include papers on this theoretical aspect of soil mechanics as well
as papers on case histories.
Volume 2 of Ge´otechnique, published in December 1950, has the proceedings of
a conference held at the Institution of Civil Engineers in London on the measure-
ment of the shear strength of soils in relation to practice. Roscoe was one of the
participants; all accepted Terzaghi’s claim on true peak strength cohesion c
0
and
friction o
0
tan c
0
in the slip plane model; his claim was that Hvorslev’s shear box
60 DISTURBED SOIL PROPERTIES AND GEOTECHNICAL DESIGN
test data had validated the slip plane model, and that true cohesion on slip planes
in clay depends on the water content of the clay in the region of failure at the
moment of failure (although when Hvorslev sampled soil beside the thin slip
plane he measured the water content of the clay just before peak strength, not
the water content of gouge material on a slip plane after failure). In the conference,
Bishop (1950), without explicit reference to Taylor (1948), suggested that (as well
as friction and cohesion) the shear stress to cause dilation should be considered,
called the boundary energy correction; he thought the correction contributed
little to shear strength. The research student who measured dilation in Bishop’s
shear box at Imperial College did find the correction to be small, but his tests
only sheared a small layer in the specimen. However, if I am correct in Section
2.1 of this book on an interlocking soil strength component in attributing all of
Terzaghi and Hvorslev’s true cohesion to a significant boundary energy correction,
then Bishop and Gibson were very wrong. For Roscoe (1950) the outstanding
result of the conference was confirmation of Hvorslev’s work. He subsequently
made each of his students study his translation of Hvorslev’s doctoral thesis
from German. He rejected the Imperial College shear box test data, and hoped
to bring specimens into the same critical states as gouge material on a slip plane
in a new research study at Cambridge University with a simple shear apparatus
(Roscoe, 1953) (Fig. 28) that was intended to find a larger effect with continuous
shear flow and uniform density changes in an aggregate of grains. End flaps BC
and DA were free to slide and rotate to control specific volumes of soil in his
shear box. To help free expansion of dense soil he secured lubricated rubber
sheets to the piston at A and B and to the pedestal at C
0
and D
0
. Uniformity of
stress within the SSA needs non-zero shear stresses on each face as it rotates.
Lubrication on the rotating ends meant the shear stress on the top and bottom
faces was not uniform so the SSA was difficult to develop and it was hard to get
good SSA data. The process of reinterpretation of published data that has led to
this book took many years.
At that London conference, Haefeli (1950) confirmed that water contents of soft
clay, before and after shearing at the ETH in Zurich, did lie on lines such as DE
and AC in Fig. 24. Ultimate soft clay strengths lay on what he called the a line,
at an angle c
s
of ‘apparent internal friction’. His a line at an angle c
s
was the
same as line AC at the angle c
d
in Figs 4(c) or 11(b). T&P attributed cohesion
to the shearing strength of adsorbed water layers between grains at contact
points, hence a water content decrease explained a cohesion increase. Haefeli
was expressing a general belief of the conference delegates in London when he
separated soil strength into a sum of friction and cohesion. He assumed that
cohesion relates to the energy that is needed to remove water molecules from the
absorbed water films, which surround the individual grains when he wrote:
Cohesion may be assumed to be governed by the adhesion of the absorbed water
films, which surround the individual grains. The proportional increase of cohesion
with the consolidation pressure can thus be explained by the increase in the contact
area or, more generally, by the more pronounced influence of the molecular forces.
The test path in Fig. 24 reached the point B and continued to F with drained
shearing and failure on a slip plane, but if it were to have returned along the
SOIL CLASSIFICATION AND STRENGTH 61
dashed line to C and if drained shearing had taken place at a point J between C and
E, the path would have been from J to K. The same soil that had been at B and had
been discussed with words such as friction and cohesion would then be discussed
with words such as plastic compression and yielding. CS yielding of soil before
failure occurs in small-volume elements containing many grains, in much the
same way as the gas laws apply to small volumes of gas containing many gas
molecules that all interact with each other. In the CS model an aggregate of
solid soil grains is held together only by effective spherical stress and not by any
adhesion of one grain with another. Energy stored and work done in distortion
of the aggregate of grains does not relate to a particular plane through it.
The Hvorslev surface that Roscoe et al. (1958) drew (Fig. 29) shows an edge to
the Hvorslev surface with a curved vertical wall directly above the curve of normal
compression with o
0
,o
0
e
¼ 1 on the ðo
0
. eÞ plane. We were incorrect to draw a
surface all the way to that edge since there is no test data in the space to the
right of C with o
0
,o
0
e
¼ 0.6 in Fig. 27. We should only have drawn lines such as
BC in Fig. 29 ending at the CS line in a space with axes ðt. o
0
. eÞ. The Hvorslev
surface relates only to the states on the dry side of CS just before peak strength
(Fig. 29). In Figs 12(c) and 12(d), the dotted lines on the dry side of the CS line
have stress ratios higher than those at the angle of repose on the wet side of the
CS line. They refer to a discontinuous interlocked aggregate with separate
blocks slipping relative to each other. In Figs 12(c) and 12(d) the dashed lines
on the wet side of the CS line have stress ratios lower than those at the angle of
repose. Roscoe et al. suggested that on the wet side of the CS line a curved yield
surface with cross sections of approximately parabolic form may be determined
experimentally from both drained and undrained tests, and that test paths cross
this surface and ultimately reach the CS. By the CS concept, if Hvorslev had
been able to sample the water content of CS gouge material within the slip plane
gouge material after dilation, all data on the dry or wet side of critical states
would have accumulated at the end C of the line BC in Fig. 27. In Fig. 29 the
curve DEF in the ðt. eÞ plane shows that t increases as e and hence water content
decreases. If the explanation of the curve DEF is a cohesion that depends on the
thickness of the water film, this must apply right across Fig. 27. Since the value
of e is constant, the water film thickness is constant, and if we apply the cohesion
theory from B to C we should also apply it to the right of C. When the slip plane
model was contrasted with the CS model of soil behaviour in the first chapter of
this book, the plot of Eqn (2) in Fig. 1(b) was described as a map of behaviour.
The CS model explains why behaviour changes at C.
The CS concept does not explain why Hvorslev’s slip planes through dense stiff
clay in his shear box mobilized strength data that fitted his straight lines in Fig. 26.
When Skempton and Petley (1968) studied the development of slip planes and the
formation of structural discontinuities in stiff clay they referred to experiments
on a slab of clay sheared into two parts. The underside of the slab was placed
over the edges of two plates that were made to slip past each other and dragged
the slab with them. The upper surface of the slab was observed, and successive
discontinuities were seen to develop at various angles to the ultimate slip plane.
The lightly stressed soil slabs were in non-uniform stress states far to the left in
the Frontispiece. The slip plane passed through what can be described as
62 DISTURBED SOIL PROPERTIES AND GEOTECHNICAL DESIGN
discontinuous rubble, and the angle between the direction of the slip plane and
the direction of the plane on which the major principal effective stress acted at
failure agreed with the Mohr–Coulomb failure criterion calculation when they
used Hvorslev’s true friction angle. The paper about the progressive development
of discontinuities and a slip plane then makes a calculation that requires the region
to which it is applied to be continuous. There is an attempt to understand
Hvorslev’s peak strength data in Fig. 29, and an attempt to understand the data
of stable yielding in triaxial tests of reconstituted clay soil in the Frontispiece.
CS theory considers scalar invariants of effective stress tensors of stress at points
in an aggregate, not vectors of stress on planes through it. It plots the spherical
effective pressure p
0
, and the stress ratio q,p
0
, but the Hvorslev surface plots
with components of stress o
0
normal to a slip plane in Fig. 12(d) and stress
ratios t,o
0
in Fig. 12(c). The Frontispiece builds on the 1958 conclusion of
Roscoe et al.:
The main, and perhaps most surprising, conclusion to be drawn from the work
outlined above is the remarkable similarity between the behavior of the clays
and the cohesionless granular media, and it might be relevant to refer to a
comment by Terzaghi (1956) on the mechanical concept of the behavior of clays.
Hvorslev’s analysis of his laboratory tests fitted his test data to a line such as BC in
Fig. 5(d) for Coulomb’s slip plane, and his data could be explained by combining
CS friction with interlocking in a disturbed aggregate of hard grains. Figure 5(d)
shows these alternative interpretations of test data in terms of cohesion and fric-
tion properties ðc. c
0
Þ or c ¼ 0. When Schofield and Wroth (1968) discussed
Henkel’s (1956) analysis of the long-term stability of retaining walls in stiff fissured
London Clay, we applied the CS analysis of disturbed soil to undisturbed soil with
cohesion caused by cemented bonds or chemical effects as well as the closeness of
grains. For Henkel’s set of wall failures in North London, he found that, with a
friction angle of c
0
¼ 208, the c contributing to the stability of the failed ground
fell below his expected peak c value. Skempton (1977) proposed that London
Clay had time-dependent cohesion. The CS alternative was for time effects to be
due to the transient flow of pore water in mechanical disturbance of the aggregate
of grains in gouge material near the slip plane. Skempton applied his supposition
that the value of c should fall with the passage of time to the calculation of the
short-term stand-up of a steeply battered face in the excavation for the foundation
of the Bradwell nuclear power station; this supposition was wrong, so the face
failed before completion of the work. Schofield and Wroth used c ¼ 0, c
0
¼ 228
to get a CS alternative to Skempton’s and Henkel’s calculations.
Geotechnical centrifuge testing is a laboratory test method with a longer history
than the triaxial test, as will be discussed further below. It re-creates aspects of an
actual case of failure with scaled boundary conditions. This method was used in
two studies of scaled combinations of consolidation, swelling, cracking and
shearing on models made of undisturbed soil in the UMIST centrifuge. One
example (Lyndon and Schofield, 1970) tested models of scaled excavations in
large undisturbed London Clay samples. Two cut faces of a 10 m excavation
into stiff, brown, weathered, fissured, London Clay, steeply battered at different
inclinations, failed in test times of 28 and 55 minutes corresponding to 12 and
SOIL CLASSIFICATION AND STRENGTH 63
24 week times for prototype failure, which more or less corresponded to what
happened at Bradwell. It was consistent with a time scale factor for softening of
the square of the length scale (as in Terzaghi’s time factor for consolidation).
The other example was Lyndon’s (1972) modelling of the 1954 Lodalen landslide
with a scaled excavation, slow swelling and long-term failure in large undisturbed
samples of Lodalen clay. In both examples the long-term softening in the failure
zone depended primarily on the suction of water into the zone, and the time for
which a slope will stand before failure is not a matter of time-dependent cohesion.
Skempton saw Hvorslev’s line BC in Fig. 5(d) as a fundamental truth about the
strength of clay. Although he finally accepted that first-time failure of stiff fissured
brown London Clay is consistent with soil strength on line AC equal to fully
softened CS friction with no cohesion, he did not appreciate the significance of
the predicted behaviour of OCC on the wet side of the CS.
64 DISTURBED SOIL PROPERTIES AND GEOTECHNICAL DESIGN
4 Limiting stress states and CS
Rankine (1857) began with a clear objective as follows:
The subject of this paper is the mathematical theory of that kind of stability,
which in a mass composed of separate grains, arises wholly from the mutual
friction of those grains, and not from any adhesion amongst them.
When he considered the aggregate of clean, rough irregular grains with limiting
stress on slip planes he tried to follow Cauchy’s method of dealing with a solid
body as a continuum, but he kept the concept of a frictional limit to the shear
stress on any plane.
4.1 Strain circle, soil stiffness and strength
The treatment of the vector components of stress on slip planes up to here in this
book would have been familiar to 18th-century engineers such as Coulomb. All
changed after Cauchy (1789–1857). Late 19th- and 20th-century engineers learned
about the stress and strain circles that will be developed in this section. For a
student who needs to familiarize themselves with the mathematical concepts of
stress and strain, a starting point is that properties do not change when samples
are moved from place to place and trimmed. This is the principle behind soil
sampling and laboratory testing, and it is also behind the concept of strain. Triaxial
and simple shear test specimens look different, but the two tests can be shown to be
fully equivalent by this principle. The shape changes in Fig. 30 are linked with
strain increments in the triaxial and the simple shear tests. In Fig. 30 a square
element of a plane body is moved and trimmed in five steps that restore it to the
original shape. Step a
ÃÃ
is simple shear distortion. Step b
Ã
is rotation. Step c
Ã
cuts the corners of the specimen, to leave a rectangular shape without displacement
or distortion. Step d
ÃÃ
distorts the rectangle back to the original square. Step e
Ã
rotates it back to the original position. The deformation geometry of the specimen
in steps a
ÃÃ
and d
ÃÃ
resembles the SSA and the triaxial test. These deformations do
not involve slip on any discrete plane.
Shearing of a square causes a change of angle ¸ at each corner. We see in Fig. 30
that this involves distortion (as two sides of a square rotate by angles Ƹ,2
towards each other in step a
ÃÃ
), and body rotation (in step b
Ã
). The essential
nature of strain is that steps a
ÃÃ
and d
ÃÃ
show exactly the same phenomenon,
but appear different as we adopt different reference axes. A body rotation of the
dashed vector diagonal is subtracted from step a
ÃÃ
to get step b
Ã
, and in step d
ÃÃ
an extension strain ·
1
of side 1 of the rectangle and a compression strain ·
2
of
side 2 of the rectangle returns the shape to the original square. To understand
how change of length and change of direction work in a more general plane
strain we examine a strain that involves stretching space by ·
x
in the x direction
and ·
y
in the orthogonal y direction in Fig. 30. The effect on a unit vector inclined
at an angle c to a major strain direction is shown in Fig. 30(f ). The unit vector both
extends by ·
c
and also rotates through ·
u
. If the unit vector is seen as having
components of length sin c and cos c that are each elongated by strains, simple
equations relate the strains as follows:
·
c
¼ ·
1
cos
2
c þ ·
2
sin
2
c ð12Þ
·
u
¼ ·
1
sin ccos c ÿ ·
2
cos csin c ð13Þ
Since cos 2c ¼ cos
2
c ÿ sin c, and sin 2c ¼ 2 sin ccos c, these equations give
·
c
¼ ð·
1
þ·
2
Þ,2 þ ½ð·
1
ÿ ·
2
Þ,2Š cos 2c ð14Þ
·
u
¼ ½ð·
1
ÿ ·
2
Þ,2Šðcos csin cÞ ð15Þ
This second set of equations show that ð·
c
. ·
u
Þ gives a point on the circle in Fig.
30(g) with centre ð·
1
þ ·
2
Þ,2 and radius ð·
1
ÿ ·
2
Þ,2. As the angle c in Figs 30(f )
and 30(g) rotates from 0 to p, the radius to the point ð·
c
. ·
u
Þ on the circle rotates
through 2c. The strain circle allows interpretation of data from a strain gauge
rosette that is stuck to a plate. From the data of changes of length in the directions
of the gauges in the rosette we can get principal directions of two lines on the plate
that elongate without rotation.
A simple starting point with plane stress is shown in Fig. 31 in a triangle KLM
with principal stresses ðo
1
. o
2
Þ acting on horizontal and vertical sides ML, KM,
Fig. 30 Distortion (
ÃÃ
), rigid body displacement (
Ã
) and the strain circle
Fig. 31 Plane stress components
66 DISTURBED SOIL PROPERTIES AND GEOTECHNICAL DESIGN
and with a general section side LK inclined at an angle c. To the left is a general
square plane element with axes ðx. yÞ inclined at the angle c. Normal and shear
stress components ðo
x
. o
y
. t
xy
Þ act on the element sides. The side LK of triangle
KLM is of unit length, so KM ¼ sin c and ML ¼ cos c. The stress components
ðo
0
x
. o
0
y
. t
xy
Þ can be found in terms of ðc. o
0
1
. o
0
2
Þ, or ðc. s. tÞ by the resolution of
forces normal to and parallel to LK in Fig. 31 as follows:
o
x
¼ o
1
cos ccos c þ o
2
sin csin c
¼ ðo
1
þ o
2
Þ,2 ÿ ½ðo
1
ÿ o
2
Þ,2Š cos 2c ¼ s ÿ t cos 2c ð16Þ
o
y
¼ o
1
cos ccos c þ o
2
sin csin c
¼ ðo
1
þo
2
Þ,2 þ ½ðo
1
ÿo
2
Þ,2Š cos 2c ¼ s þ t cos 2c ð17Þ
t
xy
¼ ðo
1
ÿ o
2
Þ cos csin c ¼ ½ðo
1
ÿ o
2
Þ,2Š sin 2c ¼ t sin 2c ð18Þ
where
s ¼ ðo
1
þ o
2
Þ,2 and t ¼ ðo
1
ÿ o
2
Þ,2 ð19Þ
Anticlockwise shear stress and compressive normal stress are plotted as positive
quantities in Fig. 32; this convention is adopted in soil mechanics because soil
fails in tension, but student engineers are taught the opposite convention in
strength of materials lectures on materials such as steel. The components ðt. o
0
Þ
give the point K. Equations (16) to (19) show that K lies on a stress circle with
the centre O at a point o ¼ s and radius t. The fact that this circle cuts the o axis
at the opposite ends of a diameter confirms the assumption in Fig. 31 that there
are two principal directions of principal planes on which ðo
1
. o
2
Þ major and minor
stresses act. Point P on the circle is called the pole of planes. Parallel to the plane
in direction KL in Fig. 31, a general line through P at the angle c cuts the circle
at a point K with coordinates ðo. tÞ that are the components of stress on that KL
plane. Through the pole P in Fig. 32(a) four lines (K, L, M, N) cut the circle at
points N, K, M, L, with coordinates representing the stress components on planes
in four directions of sections K, L, M and N shown in Fig. 32(b).
Pairs of points such as K and L, or M and N, represent stress components on
two orthogonal sections through points in a continuum. The normal stresses o
at these points differ, but the shear stresses t are equal in magnitude and opposite
Fig. 32 Plane stress circle. (a) Four plane stress points on a circle. (b) Directions of
four planes (K, L, M, N) on which four stress vectors act
LIMITING STRESS STATES 67
in sign, and are called complementary shear stresses. In Fig. 32(b) the major stress
o
1
on the plane test specimen acts vertically on the horizontal plane, and is plotted
as point Q. Through Q a line drawn parallel to the plane on which o
1
acts,
intersects the circle at the point P that is called the pole of planes. In general, to
find components of stress on a plane in a given direction, a line is drawn through
this pole P parallel to that direction. It intersects the circle at a point with
coordinates of the components of stress. For example in Fig. 32(b), minor stress
in the test specimen acts horizontally on the vertical planes, and a vertical line
drawn through P cuts and is tangential to the circle at the minor stress point o
2
.
In the early 20th century, transformations from one set of reference axes to
another that had been encountered in continuum analysis were met in problems
of relativity and electromagnetic theory. Newton had introduced what he called
fluxions and are now called derivatives in the calculus and physical laws that then
became expressed in terms of physical constants, or quantities that are independent
of the observer’s choice of reference axes. The aspects of the physical world that
could be deduced by mathematics became part of what is called applied mathe-
matics and mechanics. The role of experiment was reduced to the determination
of physical constants, thought by some to be work for technicians. An overarching
new mathematics developed, called tensor analysis, and new engineering textbooks
introduced tensor notation. Stress and strain circles now appear antiquated, but a
student who understands graphics well enough to solve engineering stressing
problems need not understand or be overawed by tensor analysis. For example,
the stress circle lets us comment on Coulomb’s tests on rock and SSA tests on
soil. Figure 33(a) shows a point in a continuum with lines at 458 through it in direc-
tions K, M, L and N. In Coulomb’s Plate 1 (Fig. 1(c)), of his 1773 Essay the test in
his Fig. 2 has a weight hung from a loop of rope round the root of a stubby canti-
lever. In Fig. 33(b) the vertical plane M bears a uniform shear stress t. If a clock-
wise shear stress c
u
acts on the vertical plane, equal and opposite shear must act on
the horizontal plane. Figure 33(e) shows the difficulty that was bound to occur in
Fig. 33 Boundary forces in alternative tests
68 DISTURBED SOIL PROPERTIES AND GEOTECHNICAL DESIGN
Roscoe’s SSA (Fig. 28). The rotating end flaps BC and DA (Fig. 28) covered by
lubricated rubber sheets did allow expansion but eliminated the shear stress that
was needed on them. Hence stress was not uniform in the SSA.
In the late 19th century it was still thought possible that one physical constant
might define the elastic properties for isotropic material; as a 20th-century student
I was taught about Young’s 17th-century elastic modulus E, not about K and G; I
thought that elongation of metal in tension depends on a single material property
like coiled spring stiffness. I found later that elongation of a bar involves two quite
different effects; part is caused by reduction of the metal density, but most is due to
shear distortion. Love (1927) still referred to multi-constant and rari-constant
theories in the historical introduction to his treatise on the mathematical theory
of elasticity. Cartesian tensor analysis (Jeffreys, 1931) showed that two elastic
properties, K and G, are needed to define the elastic stress–strain behaviour of
an isotropic continuum. In soil mechanics when the Mohr–Coulomb theory was
dominant, all laboratory tests aimed to find soil constants. Development of CS
theory had to rely on the data of soil laboratory tests where the original purpose
was to support the ruling theory. Penman (1953) had published his triaxial test
data at the BRE. Bishop and Henkel (1962) had published Imperial College triaxial
test data. These publications needed to be reinterpreted. The basic elastic constants
K and G for an isotropic elastic continuum (Fig. 34) led to the ðp
0
. qÞ parameters
that re-interpreted the data. A spherical stress increment dp
0
divided by the elastic
bulk modulus K gives dv, a volumetric strain increment. The increments in
deviator stress dq
i
divided by the elastic shear modulus G gave elastic shear
strain increments d·
i
. A truly triaxial test would apply a different pressure
ðo
0
1
. o
0
2
. o
0
3
Þ normal to each face of a cubical test specimen, but we do not have
cubes of soil to test because we drill vertical holes in ground, press sharp cutting
tubes down at the base of the holes, and get more or less undisturbed cylindrical
soil samples. These cylindrical samples are sheathed in thin flexible rubber and
tested in what is called a triaxial cell, but which in fact applies axial stress
o
0
a
¼ o
0
1
and radial stress o
0
r
¼ o
0
2
¼ o
0
3
, as we have already seen in Fig. 2. The
general stress state in Fig. 35 can be expressed in the following terms:
o
0
1
¼ ðo
0
1
þo
0
2
þ o
0
3
Þ,3 þ ðo
0
1
ÿ o
0
2
Þ,3 ÿ ðo
0
3
ÿ o
0
1
Þ,3 ¼ p
0
þ ðq
3
ÿ q
2
Þ ð20aÞ
o
0
2
¼ ðo
0
1
þo
0
2
þ o
0
3
Þ,3 þ ðo
0
2
ÿ o
0
3
Þ,3 ÿ ðo
0
1
ÿ o
0
2
Þ,3 ¼ p
0
þ ðq
1
ÿ q
3
Þ ð20bÞ
o
0
3
¼ ðo
0
1
þo
0
2
þ o
0
3
Þ,3 þ ðo
0
3
ÿ o
0
1
Þ,3 ÿ ðo
0
2
ÿ o
0
3
Þ,3 ¼ p
0
þ ðq
2
ÿ q
1
Þ ð20cÞ
Equations (20) and Fig. 35 show that a truly triaxial stress ðo
0
1
. o
0
2
. o
0
3
Þ can be
decomposed into three general shear components ðq
1
. q
2
. q
3
Þ and a spherical
Fig. 34 Bulk and shear stress and strain
LIMITING STRESS STATES 69
component p
0
. In gas or fluid that cannot sustain shear stress we think of p
0
as
pressure. Deviator stress involves compression þq acting on one face of a cube,
tension ÿq acting on a face at right angles, and zero pressure on the third face.
Their zero sum means that deviator components contribute nothing to the fluid
pressure p
0
, as is seen in Eqns (21) and (22):
p
0
¼ ðo
0
1
þ o
0
2
þo
0
3
Þ,3 ð21Þ
q
1
¼ ðo
0
2
ÿo
0
3
Þ,3 ð22aÞ
q
2
¼ ðo
0
3
ÿo
0
1
Þ,3 ð22bÞ
q
3
¼ ðo
0
1
ÿo
0
2
Þ,3 ð22cÞ
The successive states imposed in drained triaxial compression tests with o
0
1
¼ o
a
and o
0
2
¼ o
3
¼ o
r
define a test path. Scalar-invariant parameters ðq. p
0
Þ can be
derived from the principal effective stress components:
q ¼ ½ðq
2
1
þ q
2
2
þ q
2
3
Þ,2Š
1,2
¼ o
0
a
ÿo
0
r
ð23Þ
p
0
¼ ðo
0
a
þ 2o
0
r
Þ,3 ð24Þ
We have seen earlier in this book that the most important property of a grain
aggregate is that a shearing deformation can cause volume change. Isotropic
elasticity cannot model this. In an isotropic elastic continuum, spherical stress
cannot cause shear distortion, and shear stress cannot cause volume change. If
clockwise-turning shear caused dilation in a material, then anticlockwise shear
must cause contraction. If a clockwise material were to exist, symmetry would
require that an anticlockwise material must also exist, in which anticlockwise
turning shear would produce dilation. In order for linear isotropic elastic material
to be neither clockwise nor anticlockwise, it must have constant density in shear
distortion. In Fig. 14(b) the dilation or contraction of a grain aggregate cannot
depend on the shear direction.
This is an appropriate point for a small comment on the parameters plotted in the
Frontispiece. A value of q derived from the sum of the squares of shear components
as in Eqn (23) must be a positive quantity, but in Fig. 2(a), where q ¼ o
a
ÿ o
r
, the
possibility of both positive and negative values of q allows for a difference in
behaviour in tests where axial or radial stress is the major stress. This applies in
the Frontispiece where stress obliquity j ¼ q,p
0
¼ 3ðo
a
ÿ o
f
Þ,ðo
a
þ 2o
r
Þ covers
two zones. The top half of the map has o
a
o
f
stress obliquity j 1 positive and
the bottom half has o
a
< o
r
, so j < 1 is negative. In the case of a stress vector on
a plane, the angle of obliquity is always positive, but in the triaxial test the
Fig. 35 Components of truly triaxial stress
70 DISTURBED SOIL PROPERTIES AND GEOTECHNICAL DESIGN
generalized parameter j has an additional meaning. In Fig. 2(a) the cell pressure can
be held constant and, by pushing a plunger down into the cell, the force on the top
cap can be increased, but it is possible for the plunger to pull the top cap upwards
against the cell pressure and make axial stress less than radial stress. Two further
possibilities are that the hanger load will keep the axial stress constant and that
stress obliquity will be changed by a change of cell pressure, or that the total axial
and radial pressure will both be held constant and that injection of a small quantity
of pore water at the pedestal connection will reduce p
0
and cause the obliquity to
change.
Different limiting states are involved when a specimen shears on a slip plane and
when it cracks. The cracking that is observed in lightly stressed dense specimens
differs in different halves of the map. In the upper half of the Frontispiece, an
axial compression causes a test cylinder to split on axial planes, with cracks like
the cracks that are seen in the free surface of ground at the top of the slope, and
in logs that are split for firewood; in the lower half, either axial relief of stress or
radial compression causes cracking on planes perpendicular to the axis of a test
cylinder; it can crack into many discs. If a tunnel face carries stresses in both
radial directions that are too high it will spall, with pieces of rock bursting out
of the face along the tunnel axis, and similar spalling is seen when concrete slabs
fail with high stresses in the plane of the slab. Tension cracking of concrete is
seen in split cylinder specimens. In these tests, instead of standing in a testing
machine, specimens are compressed between two lines of contact at the ends of
a diameter. Cylinders split apart on the diametric plane. In tests of compacted
Teton dam core material tests at Cambridge University, the onset of cracking
was detected by an increase in permeability both to water and to air. Unsaturated
compacted soil cylinders were subjected to split cylinder tests. To detect cracking
they were cling-wrapped to seal the free surface, and an air pressure gradient led to
an axial flow of air, which then bubbled through water. The onset of cracking of
soil was detected both by a shift in the load deflection line and by a sudden increase
in the rate of air bubbling. The cracks were seen in radiographs after tests. No total
stress acts normal to a crack surface. In Fig. 2 with no pore water pressure u ¼ 0, if
the radial stress is zero then j ¼ þ3, or if the axial stress is zero then j ¼ ÿ
3
2
, so an
upper and a lower line can be drawn in the Frontispiece at these values. An
alternative tensile strain criterion for cracking is that, when a crack opens, the
grains that will form asperities on either side of the new crack surface move
away from each other far enough for the new crack surface to become unlocked.
Another possible criterion is a line with p
0
c
,p
0
cs
¼ 1,100 where p
0
c
is the mean
normal effective pressure at the onset of cracking and p
0
cs
is the CS mean normal
effective pressure. The Cambridge test data were scattered, but all were inside
such lines on the map.
The OCC model that will be discussed below is within the scope of isotropic
plasticity in solid mechanics. To describe granular media with critical states
ðv. p
0
Þ, it introduces the parameter v
`
¼ v þ` ln p
0
and the CS relation (Eqn
(10)) is written as v
`
¼ ÿ. During both clockwise and anticlockwise shearing,
soil contracts in states in which v
`
ÿ (called on the wet side of critical ), and dilates
in states in which v
`
< ÿ (called on the dry side of critical ). OCC is a model for
isotropic soft soil on the wet side of the CS during plastic yielding and flow. I
LIMITING STRESS STATES 71
developed analysis of soil test data using ðq. p
0
. vÞ parameters in 1955–1957 at the
outset of my research (Schofield, 1960) for the purpose of interpreting the then
newly published series of research theses and Ge´otechnique papers on triaxial
testing at Imperial College and the triaxial test handbook by Bishop and Henkel
(1957). These publications showed stress circles at failure of sets of triaxial test
specimens, and retained only one peak stress circle from the data of one specimen
at failure, and all other test data had to be discarded. The specimens’ specific
volumes varied. No set of circles at failure had a very precise failure envelope.
The advantage of ðq. p
0
Þ parameters over stress circles was that the new analysis
retained data from all stages of one test as points on one test path. The initial
portion of any path is not well defined. Initial displacement is needed before the
aggregate of grains at the end of a test cylinder is properly in contact with the
pedestal and the top cap. The final portion of the path suffers from the distortion
of test cylinders at failure. Data from the middle portions of many test paths when
correlated to reduce errors due to specific volume variation give more insight into
soil behaviour than is given by stress circle envelopes.
Slow tests of saturated cylindrical soil specimens in rubber sheaths in triaxial
cells with drainage or pore pressure measurement of pore pressures or suctions
to find the effective stress give excellent data, but the Mohr’s circle interpretation
of the test data is doubtful. Points on either the stress ellipse or circle do correctly
represent plane stress components ðt. o
0
Þ tangential to, and normal to, lines
through a point in a plane body, and engineers can find stress components on
inclined lines from the ellipse or circle, but it does not follow that vectors across
particular planes matter. The stress tensor and its invariants involve all vector
components on all planes. Schofield and Wroth’s (1968) criticism of both stress
circle and ellipse was that such
. . . representation of stress imparts no understanding of the inter-relation of
stress-increment and strain-increment in elastic theory, that it plays little part
in continuum theories, and that the uncritical use of Mohr’s circle by workers
in soil mechanics has been a major obstacle to the progress of our subject.
In the Mohr–Coulomb interpretation of data, a stress state is represented by a
stress circle, and a test path ends with one ultimate stress circle of limiting stress
at failure. The test interpretation by a path through a series of points ðq. p
0
. vÞ
space exhibits elastic strain and plastic yielding as well as ultimate failure of a
test specimen.
The above discussion of stress circles and ðq. p
0
Þ raises a question about
Rankine’s reaction to discovering that the limiting stress conditions on a plane
through a point in soil also apply on a plane in a second direction. Since experience
of failure of retaining walls is that a wedge of soil slips as a single slip plane forms,
an alternative reaction would have been to deduce that Eqn (2) is wrong, unless
failure planes also occur in the second direction. Rankine could have deduced
that soil failure also involves strain. Triaxial test specimens can fail in two slip
plane directions, but the second direction is never considered when soil is tested
in a shear box. Rankine, like Coulomb, did not rely on cohesion. He stated that
the permanent stability of earth is due to friction alone, but he failed to question
the slip plane concept behind Eqn (2).
72 DISTURBED SOIL PROPERTIES AND GEOTECHNICAL DESIGN
4.2 Rankine’s soil mechanics
Rankine had already made fundamental contributions to thermodynamics when
the University of Glasgow elected him to be Regius Professor of Civil Engineering
and Mechanics in 1855. He decided to teach stress from the basis of Cauchy’s early
19th-century discovery of the stress tensor as presented by Lame´ ’s Lec¸ ons sur la
The´orie` Mathe´matique de l’Elasticite´ des Corps. (Rankine (1858) refers to this
most influential mid-19th century French textbook.) The array of numbers
needed to define stress at a point exhibits tensor invariance under transformation
of axes; the physical quantities of this type are tensors. While plane stress
components ðt. o
0
Þ at a point in the mid plane of the shear box in Fig. 1(a) define
a physical quantity of a type called the vector, the whole stress at the point is a
physical quantity of a type that is of a higher order than the vector. Neither quantity
changes physically if reference axes are chosen in different directions, but each
component in the array that defines each quantity shows an appropriate change
as the reference axes change. Cauchy showed that when reference axes ðx. y. zÞ are
transformed, the array of stress components on inclined planes in a continuum
changes in the same way as the array of numbers that define coordinates of points
on an ellipsoid. The plane stress ellipse explains what changes in the numbers are
appropriate for the plane stress tensor. Rankine taught his students an interpretation
of the plane stress by an ellipse; a more simple interpretation is the stress circle. Stress
circle teaching in Berlin by Mohr replaced Rankine’s stress ellipse teaching, and
became universal (Swain, 1882).
What is now called the Mohr–Coulomb failure criterion, as shown in Fig. 36(a),
has a pair of lines DA and BC with c 0 enveloping all plane limiting stress circles.
In Fig. 36, where ADand CBshowMohr–Coulomb conditions (Eqn (2)), the failure
criterion lines are symmetrical on a ðt. o
0
Þ plot, and a stress circle with centre O
touches the lines at A and B. In Fig. 36(a), lines PA and PB define the a and b direc-
tions in Figs 36(b) and 36(c). Here we must explain why the Frontispiece, reproduced
in Fig. 37(b), and the ðq. p
0
Þ plot in Fig. 37(a) are asymmetrical. The asymmetrical
pair of lines for the Mohr–Coulomb failure criterion in Fig. 37(a), has states on
line EF with q 0 corresponding to axial major stress o
a
o
r
and states with
q < 0 on line E corresponding to o
a
< o
r
that are states not considered in Fig. 36.
Figure 37(a) shows how the curves for the Mohr–Coulomb failure criterion on
Fig. 36 Mohr–Coulomb theory. (a) Limiting stress at A, B. (b) Directions a. b.
(c) Slip lines
LIMITING STRESS STATES 73
slip planes in the Frontispiece can be obtained. At successive points ABCD on the
line AD the dashed lines show that as the effective pressure p
0
increases from A to
D, the slope q,p
0
and stress obliquity decreases. Points abcd in Fig. 37(b) and the
curved line through them map the Mohr–Coulomb failure criterion in the Frontis-
piece. There is uncertainty in Fig. 36(a) as to the value of the intermediate stress. The
effect on the parameters used in the Frontispiece and in Fig. 37(a) does not need to
be resolved here as the Frontispiece is only a map produced for the purpose of
discussion.
Rankine discovered that if Coulomb has a family of parallel lines of limiting stress
(as shown as aB, a
0
B
0
, in Fig. 1(c)), then limiting stress also applies on a second
family of lines in a different direction that Coulomb did not anticipate. The stress
circle in Fig. 38(a) represents the plane stress state of the plane soil element at
depth z by a wall, as shown in Fig. 38(b) in a vertical slice of ground with self-
weight below an inclined unstressed upper plane surface. The faces of a prismatic
element in Rankine’s Manual of Civil Engineering (1874) have pressures on them
that are called conjugate if the vector of pressure on one face is parallel to the
Fig. 37 Mapping of Mohr–Coulomb theory and safe states
Fig. 38 Conjugate stress and earth pressure. (a) Stress circle. (b) Earth pressure on
a wall. (c) Ratio of major and minor stress
74 DISTURBED SOIL PROPERTIES AND GEOTECHNICAL DESIGN
other face of the prism. Where he had a stress ellipse our Fig. 38(a) has a stress
circle. For a slice through the ground behind a vertical retaining wall, W is the
least pressure on the wall. The ground in this minimum active state tends to
move the wall. The point V on circle A represents the vertical stress on the inclined
upper face of the element. The other circles to the left of A represent plane stress
states higher up in the vertical slice. The line OV through V parallel to the inclined
upper face cuts the circle A in the point P, which is called the pole of planes. Each
inclined line drawn through P will cut the stress circle at a point that has
coordinates representing the components of the plane stress vector on a line at
that inclination in Fig. 38(b). The vertical line PW drawn through P cuts the
circle at point W, representing the stress vector components on the vertical face
of the soil element in Fig. 38(b). The solid lines DA and BC in Fig. 36(a) are
tangential to the stress circle at points D and B and satisfy the Coulomb equation:
Æt ¼ c þ o
0
tan c ð2 bisÞ
The faces of the plane prism of soil in Fig. 36(b) are in the vertical and the
horizontal direction. The dashed line PA and the chain-dashed line PB are in the
conjugate a and b line directions shown in Fig. 36(b) on which limiting stress
acts. The stress circle in Fig. 36(a) is drawn with both cohesion and friction in
the Mohr–Coulomb equation.
Rankine (1857) thought that he could solve the plane problem of the stability of
earth using a feature of conjugate planes that he had noticed. Figure 38(a) shows
three stress circles corresponding to soil states at increasing depths in a slope. Point
P is the pole of planes on the largest of these circles. The coordinates of W (Fig.
38(a)) show stress components that act on a plane in the direction PW. The pair
of lines OPV and OWU in Fig. 38(a) show that PW is parallel to the t axis,
hence point W in Fig. 38(a) represents the stress components that act on the
vertical plane in Fig. 38(b). For a prism with horizontal and vertical faces, the
lines OPV and OWU merge with the o
0
axis. The stress circle in Fig. 38(c) shows
that the ratio of major and minor stress is as given by the equation in that
figure. Rankine saw that if the weight of a vertical slice of a slope acted vertically
on the inclined base of the slice, then his theory would give him the inclined stress
acting on the vertical face of the slice (Fig. 39(b)). At the top of the slice there is
zero stress, and stress increases with depth in the slope. He knew the way that
the surface slope changed from one slice to the next, and wished to find a family
of curved surfaces below the surface such that the base slope of each slice is
always conjugate to the vertical direction of the side of the slice. He was on the
Glasgow train, preparing his new undergraduate course, when he formulated
equations for these surfaces, and quickly wrote a letter to the Secretary of the
Royal Society to tell him that he was going to write a paper for the Philosophical
Transactions of the Royal Society. He thought that he had to deal with the heat
equations, with which he was familiar, and could draw a family of curves below
the slope like the isothermal curves for conduction of heat in the semi-infinite
plane body with an upper surface of general form (Fig. 39(b)). If he had been
right, his curves would have been like the isothermals found by graphical methods,
but his solution for an upper surface of the general form shown in Fig. 39 in the
central part of his paper is wrong. After Rankine’s death, Boussinesq (1874)
LIMITING STRESS STATES 75
pointed out that Rankine should have used the wave equations rather than heat
equations. Rankine had useful solutions only for what are now called Rankine
stress states below an inclined plane surface as shown in Fig. 40. With cohesionless
horizontal back-fill, both Coulomb and Rankine found the same lateral force, and
agreed that ground can be at rest in a range of states between an active lower limit
and a passive upper limit; with the vertical pressure at a depth z in the fill behind the
wall as the major stress o
0
MAX
¼ ¸z the calculation for a smooth vertical wall from
Fig. 38(c) shows that the minor stress is o
0
MIN
¼ ¸zð1 ÿ sin cÞð1 þ sin cÞ.
Correct solutions to the limiting static earth pressure problems with given
stresses on the boundaries were given for example by Sokolovsky (1960). He
combined the two equations of equilibrium of plane stress with the limiting
stress equation to form three equations in three unknowns ðo
x
. o
y
. t
xy
Þ. When
transformed into two equations in new variables, he could solve the problem by
the method of characteristics (see Schofield and Wroth, 1968). All solutions that
used the slip plane model neglected strain. Terzaghi (1936) had learned in small-
scale earth pressure tests in Turkey and in tests at full scale in the USA that strains
affect earth pressures but, as strains did not enter Rankine’s earth pressure theory,
he concluded that
The fundamental assumptions of Rankine’s earth pressure theory are incompa-
tible with the known relation between stress and strain in soils, including sand.
Therefore the use of this theory should be discontinued.
Fig. 39 Rankine’s earth pressure analysis. (a) Conjugate stresses. (b) Figs 2 and 4
from Rankine (1857)
76 DISTURBED SOIL PROPERTIES AND GEOTECHNICAL DESIGN
Terzaghi correctly noted the importance of strain, and this is seen in tests by
Schofield (1961), but as there is no error in the equilibrium equations the funda-
mental fallacy that has to be corrected must be an error in Eqn (2). If Eqn (2)
were true, the stress boundary conditions would determine the stress throughout
the field, and the strain boundary conditions would not affect stresses. The symmetry
of the stress tensor requires that a limit to stress on a plane in one direction must also
apply to a second plane in another direction. Domains of dependence in solution by
the method of characteristics mean that stresses on boundaries fully determine
limiting stress in a field. If earth pressures involve strain, the strength parameters
ðc
0
. c
0
Þ cannot be constants. The formulation of the OCC model specifies internal
friction of soil in a different way, by a dissipation function.
Rankine wished to analyse a granular material without introducing what he called
the artifice or assumption of Coulomb’s slip plane or wedge of least resistance.
However, when Rankine assumed that resistance to displacement by sliding along a
given plane in a loose granular mass is equal to the normal pressure exerted between
the parts of the mass on either side of that plane multiplied by the coefficient of friction,
he defined internal friction of soil by the same slip plane strength model that
Coulomb had used. Neither Coulomb’s limiting stress model nor Rankine’s granular
material considered strains. A slip line has constant length. To either side of it a rigid
body is displaced along it with no dimension change. If the two families of lines of
limiting stress in conjugate directions a and b in Fig. 36(b) are also slip lines of
constant length, as mentioned in Section 1.3, then a lattice displacement in Fig.
36(c) will cause a dilatation increment in the plane area enclosed within the lattice.
Parallelograms tend to become squares of larger area. This applies to the slope at
repose in Fig. 40(a) and the simple shear box in Fig. 40(b) that is drawn with the
box base inclined at the slope angle. On the stress circles, point P represents stress
components on a line parallel to the limiting slope in Fig. 40(a) and the base of
the box in Fig. 40(b), and point Y represents limiting stress components on the
conjugate line, shown as a dashed vertical line PY. Lines in conjugate directions
bound the block on the slope in Fig. 40(a). Limiting stress acts on both vertical
and inclined lines in Fig. 40(b), and if both slip line segments have constant
length, then as shown in Fig. 40(c) the vertical line rotates forward with each
Fig. 40 Directions of limiting stress in (a) a slope at repose or (b) a shear box.
(c) Perfect dilation in a slope or box if limiting stress directions are slip lines
LIMITING STRESS STATES 77
material point on the line instantaneously moving horizontally. Hence when the
Mohr–Coulomb criterion is extended to consider strains both in the slope at
repose and inthe shear box, the soil dilates at angle c
d
. Aprincipal direction of plastic
strain increments cannot be aligned with a principal stress direction in simple flow of
the slope. It appears to be the case in landslides that moving material on a slope can
rotate as it flows. That type of flow is not associated with a potential function. The
Mohr–Coulomb concept returns us to perfect dilation, as in Amontons (1699),
Be´ lidor (1737) and Navier (1819). InFig. 40(a) nosoil mass falls in the Earth’s gravity
field. No work is done. Energy is not dissipated when the slope fails because a
perfectly interlocked Mohr–Coulomb soil does not dissipate energy. We need a
different model that does dissipate energy. The deformation of an aggregate of
grains is not modelled by the strains associated with the Mohr–Coulomb
equation.
Simple tests, made on a table, with screw-top glass bottles half-full of loose sand,
will show that perfect dilatancy does not occur in the flow of a heap at the angle of
repose. If the voids are filled with air in one bottle and with water in another, and
the bottles are slowly rolled along on their sides on the table and tilted to stand on
their ends, the sand will form slopes that will be seen to have the same angle of
repose c
d
in air or below water, confirming the effective stress principles and
showing that water is not a lubricant. Sand in each slope at repose will be seen
to move generally parallel to the slope, not horizontally, so the evidence from
slopes at repose does not support the deduction from Rankine’s stress ellipse or
from Mohr’s stress circle that there is identical behaviour in both the a and b direc-
tions with limiting stress and constant slip line length. Experiments on a laboratory
table in the Earth’s gravity will not have the high effective stress at depth in model
slopes that exists at full scale in the field. The geotechnical centrifuge in which the
acceleration is increased as the model scale is reduced is an excellent laboratory test
apparatus for the study of failure mechanisms rather than constants, but in 1955
this was not understood.
4.3 Skempton’s parameters A and B, and CS values of c
and
The Imperial College triaxial tests were discussed in Institution of Civil Engineers
meetings and published in Ge´otechnique papers, research theses, and a book by
Bishop and Henkel (1957). The results were expressed in terms of the pore pressure
coefficients A and B introduced by Skempton (1950, 1954) to describe the response
of a triaxial test specimen (Fig. 2(a)) to the change of the cell pressure o
r
and of the
axial stress o
a
. He suggested two causes of change in the pore pressure Áu in the
test specimen: change in the spherical total stress p ¼ ðo
a
þ 2o
r
Þ,3, and change
in the deviator stress o
a
ÿ o
r
. His equation can be written as follows:
Áu ¼ B½Áo
3
þ AðÁo
1
ÿÁo
3
ފ ð25Þ
If partially saturated soil is subjected to an increment of cell pressure Áo
3
, the pore
pressure increment will be less than Áo
3
, as small air bubbles in the water
compress, but a change of triaxial cell pressure on soil saturated with incompres-
sible water will cause an equal change of pore pressure, so B ¼ 1. Skempton
78 DISTURBED SOIL PROPERTIES AND GEOTECHNICAL DESIGN
suggested that A was a soil property, and he gave a table of suggested values,
with normally consolidated clays having values in the range þ0.5 A þ1. A
and B were applied in the analysis of slope stability. Figure 1(c) shows in
Fig. 8 of Coulombs 1773 Essay the method of slices in which a succession of
vertical lines PM, PM
0
and PM
00
divide a sliding mass into slices that rest on a
slip surface MM
0
M
00
. Part of the weight of soil in each slice is carried by effective
stress at the base of the slice, and part is carried by pore water pressure. In order
to analyse the change in slope stability caused by a load change, the change in
pore pressure on the slip surface must be known. If the triaxial test specimen
is regarded as a model of a cylinder of soil at the base of a slice in the field,
then the test data of pore pressure changes can be used to predict pore
pressures. In earth dam stability calculations it was convenient to introduce a
parameter
"
BB:
"
BB ¼ Áu,Áo
a
¼ B½1 ÿ ð1 ÿ AÞð1 ÿÁo
r
,Áo
a
ފ ð26aÞ
If the cell pressure o
r
is held constant so that Áo
r
¼ 0 and the axial stress o
a
is
changed, this reduces to a simple form:
Áu ¼ BAÁo
a
¼
"
BBÁo
a
ð26bÞ
Triaxial tests in the laboratory could disclose how elements of soil will behave in
the ground. Cylinders of soil were subject to axial stress by pressing a plunger
into a cell either with or without allowing drainage of pore water. Figures 45
and 46 show Henkel’s data for both soft and stiff clay. Figure 46 shows that as
axial pressure q is increased on soft clay with constant cell pressure the pore
water pressure u
1
is about equal to q so the value
"
BB ¼ 1 is constant. Skempton,
referring to a 1947 US War Department report, Triaxial Shear Research and
Pressure Distribution Studies on Soils, called
"
BB ¼ 1 the American working
hypothesis. With
"
BB ¼ 1 in a slip circle analysis of the lateral pressure of soft clay
on a sheet pile quay wall, a pressure placed on the quay will produce an equal
pore pressure at the base of slices, and so not increase effective stress on a slip
circle and not generate additional friction. This behaviour of soft ground on the
wet side of CS can be contrasted with ground on the dry side where loads on
dense soil generate suctions and additional friction in a dense soil body; Casa-
grande’s wrote that such soil ‘seems to be bracing itself, to become temporarily
more stable’. The difference between positive and negative pore pressure
parameters was seen as a difference between soft and dense clay. Data from the
curves in Figs 41 and 42 are tabulated in Fig. 43 for replotting as data points in
the space of the variables ðp
0
. q. vÞ;
"
BB is not a unique soil property. The effect is
simplified by considering only the value of
"
BB
f
at failure; Roscoe et al. were able
to relate
"
BB
f
for stiff clay to the over-consolidation ratio.
The CS concepts and the OCC model began with asking how the strength and
stiffness of solids could be found from ðq. p
0
Þ plots of triaxial test paths. Figure 35
shows the two different sorts of elastic stiffness that resist volume change and
shear deformation of solids. Much as the two elastic constants can be found
from triaxial test data, so also if there were two sorts of plastic strength (in
volume change and distortion) the data should reveal them. The test paths of
LIMITING STRESS STATES 79
Figs 41 and 42 become paths that approach the CS line (Fig. 43). The CS concept
was confirmed by the end points of tests of normally and over-consolidated
Weald Clay test data from Imperial College as shown in Fig. 47(b). Parry
(1959), a research student of Henkel, confirmed that his own test paths from
one side of the CS line or the other side did all approach but did not cross the
CS line at the end of each test. The CS line in Fig. 44(a) on the plot of ðq. p
0
Þ
from origin 0 and passing through D4 resembles the line of critical porosities
AC in Fig. 11(b). The ultimate states in many triaxial tests (Fig. 44) when plotted
as v versus ln p
0
become a straight line satisfying Eqns (9) and 10 with the CS soil
constants M, ` and ÿ:
q ¼ Mp
0
ð9 bisÞ
v þ `ln p
0
¼ v
`
¼ ÿ ð10 bisÞ
Fig. 41 Triaxial test data of normally consolidated clay (after Wood, 1976)
80 DISTURBED SOIL PROPERTIES AND GEOTECHNICAL DESIGN
If an undrained triaxial test of saturated disturbed soil at constant water content
and specific volume v ultimately reaches the CS, the undrained shear strength c
u
of such soil can be determined from these equations as follows:
c
u
¼ ðo
0
a
ÿ o
0
r
Þ,2 ¼ Mp
0
b
,2 ¼ fMexp½ðÿ ÿ vÞ,`Šg,2
hence ln c
u
¼ const. ÿ v ð27Þ
I digress at this point to comment how strange the data of test B in Fig. 41 must
have been for those who thought of stress in soil in terms of Terzaghi’s piston
on a spring in a cylinder of water (Fig. 22(d)). The test data show a curve for
the axial stress ðo
0
1
ÿ o
0
3
Þ increase equal to the curve for the increase in the pore
water pressure Áu. By Terzaghi’s effective stress principle, any shear deformation
in Fig. 42 that leads to failure of the soil requires a change in effective stress, but if
the change of pore pressure u in the cylinder is equal to the change of total pressure
on the piston o
1
there is no change of effective force in the spring. The soil deforms
Fig. 42 Triaxial test data of over-consolidated clay (after Wood, 1976)
LIMITING STRESS STATES 81
in Fig. 42 when the spring in Fig. 22(d) does not. Bishop and Henkel (1957) wrote
Eqn (22) in their textbook on triaxial testing and introduced Skempton’s pore
pressure parameters without explaining the strange undrained triaxial test of
normally consolidated clay (Fig. 41) with a pore pressure increase that is equal
to the increase in axial stress and a pore pressure parameter value
"
BB that is
"
BB ¼ 1 ð28Þ
This American working hypothesis is not strange if triaxial test paths are plotted in a
space of ðq. p
0
. vÞ parameters. In Fig. 43, triaxial test samples under normal plastic
Fig. 43 Triaxial test data (after Wood, 1976)
82 DISTURBED SOIL PROPERTIES AND GEOTECHNICAL DESIGN
compression as the cell pressure o
0
r
increases, and pore water drains follow the
inclined straight line through point A1, B1. This line is called the NC normal
compression line. Triaxial tests of NC specimens have test paths that start from
points on this NC line, and the paths will end on the CS curve that is shown by
the double lines. A test path will be in an applied loading plane such as is shown
in Fig. 45. For example, if a plane with v ¼ const. is drawn through the starting
point, the undrained test path must lie in the applied loading plane drawn with
a chain-dashed edge in Fig. 45, as follows from
q ¼ o
0
a
ÿ o
0
r
ð23 bisÞ
p
0
¼ ðo
0
a
þ 2o
0
r
Þ,3 ð24 bisÞ
For a drained triaxial test in which o
0
r
¼ const., the applied loading plane has
Áq,Áp
0
¼ 3, as is shown with a dotted edge in Fig. 45. If the applied loading in
a drained triaxial test is controlled so that p
0
¼ const. by decreasing the radial
Fig. 44 Drained and undrained triaxial test paths to the CS (after Wood, 1976)
LIMITING STRESS STATES 83
pressure as the axial pressure is increased, the applied loading plane will be as
shown with a dashed edge in Fig. 45. The CS curve in ðq. p
0
. vÞ space intersects
the planes in Fig. 45 at points that represent ultimate states on test paths.
The applied loading planes for p
0
¼ const. tests and for tests with an increase of
axial total stress and constant triaxial cell pressure are compared in Fig. 46. When
applied total loadings get to points shown as 1 or 2, the ultimate effective stress
point representing the soil state is C. The parameter
"
BB at failure as calculated in
Eqn (22) in cases 1 and 2, respectively, is
"
BB ¼ u
1
,q
c
or u
2
,q
c
, depending on the
choice of applied loading. Since differences of applied loading give different
values of
"
BB, it follows that
"
BB is not a basic material property of soil. If the concept
of a unique CS line is correct, then the basic material properties of soil are the para-
meters that define the CS line. The Conference on Pore Pressure and Suction in Soil
in London in 1960 made no mention of the CS concept, published 2 years earlier,
or of the use of plots of triaxial test scalar invariants ðq. p
0
Þ, or of any problem with
pore pressure parameter A that is clearly not a soil constant. Bishop and Henkel
(1962) never mentioned that Roscoe et al. (1958) had explained 4 years earlier
that it followed from the CS line in Eqn (21) that the plot of ln c
u
versus water
content w is linear and that the undrained cohesion of newly disturbed soil paste
depends on v, and hence on w (Fig. 47).
The first half of Critical State Soil Mechanics (Schofield and Wroth, 1968) led
up to a presentation of the OCC model, the second half introduced limiting
Fig. 45 Triaxial test applied loading planes
Fig. 46 Pore pressures in two undrained tests
84 DISTURBED SOIL PROPERTIES AND GEOTECHNICAL DESIGN
F
i
g
.
4
7
C
r
i
t
i
c
a
l
s
t
a
t
e
s
o
f
s
o
i
l
(
(
a
)
a
f
t
e
r
W
o
o
d
,
1
9
7
6
;
(
b
)
R
o
s
c
o
e
e
t
a
l
.
,
1
9
5
8
)
LIMITING STRESS STATES 85
stress calculations for geotechnical design. At the outset of that book Wroth and I
wrote:
We wish to emphasize that much of what we are going to write is already
incorporated by engineers in their present judgments. The new conceptual
models incorporate both the standard Coulomb model and the variations
which are commonly considered in practice; the words cohesion and friction,
compressibility and consolidation, drained and undrained will be used here as
in practice. What is new is the inter-relation of concepts, the capacity to
create new types of calculation, and the unification of the bases for judgment.
With hindsight we should have confronted our reader with a basic problem: the
words ‘problemes de statique’ in the title of Coulomb’s Essay leave unasked the
question of what happens after limiting static equilibrium is reached. A design
based on a limiting stress field needs to confirm that the construction materials
can dissipate the loading power in associated deformations in any conceivable
failure mechanism. In Fig. 48(a) the CS double line has slope M, and friction in
the CS flow of soil can dissipate the work done by the loads acting on the construc-
tion, but without effective stress there is no friction. Extra strength at peak stress
comes from interlocking. The power associated with it is not dissipated. It is safe to
rely on ultimate strength on the CS double line with slope M in Fig. 48(a); it is not
safe to rely on peak strength.
There are dashed lines with j < M in Fig. 48(a) for soil yielding in plastic
compression in states on the wet side of the CS double line. In Fig. 48(b) they
follow lines parallel to it with slope `. Elastic swelling and recompression lines
like BE have slope i, and the aggregation on line BE does not change until the
soil yields with a plastic volume change and moves to a new elastic i line. If an
aggregate is made to flow at a constant specific volume v (at point a on the v
Fig. 48 ` and i lines v
`
¼ v þ`ln p
0
. v
i
¼ v þ iln p
0
86 DISTURBED SOIL PROPERTIES AND GEOTECHNICAL DESIGN
axis in Fig. 48), the effective spherical pressure must gradually change to the
value of p
0
b
on the p
0
axis that is found by putting the value of v in Eqn (2), with
CS resistance to flow of that aggregate at a point on the double line in Fig.
48(a) as given by Eqn (1). The source of all resistance to flow is the same source
that gives frictional strength to a heap of loose grains at repose.
LIMITING STRESS STATES 87
5 Plasticity and original Cam Clay
Stable yielding in ductile mild steel bomb shelters dissipated the energy of
collapsed buildings in World War II (WWII). A dissipation function found
experimentally for soil led me to equations for stable yielding of an ideal soil,
OCC.
5.1 Baker’s plastic design of steel frame structures
Plastic design of a structural system ensures that it will safely absorb all the work
done in any damage to it. Before coming to more general discussion of plastic
design, a particular example will be described that Professor J. F. Baker quoted
in his opening lecture on structures to first-year undergraduates in 1948. He had
designed a bomb shelter in WWII (Fig. 49(a)) for houses in the UK where a
family would sleep under the kitchen table during a night bombing raid. The
risk to the family was that a nearby bomb burst could break the brick walls of
the house and cause the roof and floors to fall. Wood is weak, and such a table
and everyone below it would be crushed. Baker (1954) designed a strong shelter
made of mild steel. The members were bolted together in the kitchen, with a
steel plate to serve as a table top during the day, and steel mesh sides to prevent
rubble from coming in from a collapse of the house in a night raid (Fig. 49(b)).
He had already developed an early plastic design method for steel portal frames
in his pre-war research, and used this research in the shelter design. I have a
friend who, as a boy on the night that the blast of a flying bomb made his family’s
house collapse, was saved by this type of shelter.
A portal frame made of three lengths of rolled mild steel angle, AB, BD and DE,
is illustrated in Fig. 50. The plastic design finds what limiting vertical and hori-
zontal loads can act safely on the frame. We must know how work is absorbed
in it. Coulomb considered the application of a bending moment to a beam with
the upper fibres in tension AB and the lower fibres in compression (his Fig. 6 in
Fig. 1(c)). He shows plane sections remaining plane, and sketches a curve of
fibre stresses that would apply to a material with some curve of stress against
strain. Linear elastic bending with plane sections remaining plane will lead to
fibre stresses that vary linearly from top to bottom of the beam, shown by the
dashed line ac in Fig. 50(f ). With ductile mild steel, the full plastic moment is
got from the solid lines in Fig. 50(f ) with rectangular blocks of tension stress
above the neutral axis at b and of compression stress below b. The dashed line
of moment M against rotation 0 in Fig. 50(a) shows the limiting bending
moment M
P
for each member of the portal frame. The work dissipated when
any plastic hinge rotates through an angle 0 is M
P
0. The portal frame of height l
and span 2l in Fig. 50 yields with the plastic hinges that form at A, B, C, D or E
and turn the structure into one of three dissipative mechanisms; Figs 50(c), 50(d)
and 50(e) are, respectively, crushing, swaying and mixed-damage mechanisms in
this portal frame. The work done by the applied loads ðV. HÞ in each damage
mechanism is the sum of the plastic work in the hinges. Deflections c give plastic
hinge rotations such that in the three cases
(c) 0 ¼ c,l at B and D, and 2ðc,lÞ at C, giving 4M
P
0 ¼ 4M
P
ðc,lÞ (29a)
(d) 0 ¼ c,l at A, B, C and D, giving 4M
P
0 ¼ 4M
P
ðc,lÞ (29b)
(e) 0 ¼ c,l at A and E, and 2ðc,lÞ at C and D,
giving 6M
P
0 ¼ 6M
P
ðc,lÞ (29c)
(a)
(b) (c)
Fig. 49 Bomb Shelter WWII. (a) Details of a bolted ductile mild steel bomb shelter
designed by Baker (see Baker, 1954, Civil Engineer in War). (b) Site plan of a
WWII 250 kg bomb crater in Falmouth, UK. (c) The collapsed house, and the
bomb shelter of the mother and three children who survived the explosion
PLASTICITY AND ORIGINAL CAM CLAY 89
The work equations for these three cases are
(c) Vc ¼ M
P
 4ðc,lÞ (30a)
(d) Hc ¼ M
P
 4ðc,lÞ (30b)
(e) ðV þ HÞc ¼ M
P
 6ðc,lÞ (30c)
Introducing dimensionless generalized stress variables V
Ã
¼ V,M
P
 4ðlÞ, and
H
Ã
¼ H,M
P
 4ðlÞ, we get
(c) V
Ã
¼ 4 (31a)
(d) H
Ã
¼ 4 (31b)
(e) V
Ã
þ H
Ã
¼ 4 (31c)
In Fig. 50(g) we plot these as three lines, and get the yield locus in ðV
Ã
. H
Ã
Þ for this
portal frame. Two bold vectors are sketched within the yield locus for load combina-
tions ðV
Ã
. H
Ã
Þ, denoted by the letters c and e. Loading vector c will lead to a crushing
mode of the portal frame, and loading vector e will lead to the mixed crushing and
swaying mode. This plastic portal frame can absorb the work that will be done on
it by the limiting load that can cause each damage mechanism. At the two points
where the loading vectors c and e reach the yield locus (Fig. 50(g)), dashed vectors
drawn normal to the yield locus show the plastic strain rates. In mode e the failure
mechanism gives equal crushing and swaying strain rates, but in mode c there is no
sway at all. The yield locus has a distinct corner at the point z, so that in mode c to
one side of z the sway load H
Ã
does not move and does no work. To the other
side, in mode e, the loads V
Ã
and H
Ã
each have the same movement. The plastic
failure mechanism changes at point z. Unlike the elastic deflection of this portal
frame, with displacements of loading points gradually changing as loads change,
the plastic deflection changes abruptly when the loads pass the corner z.
Baker initially worked on the metal frame structures supporting gasbags in
the airships R100 and R101. He moved on to the Steel Structures Research
Fig. 50 Portal frame plasticity
90 DISTURBED SOIL PROPERTIES AND GEOTECHNICAL DESIGN
Committee, taking stress measurements as steel-framed buildings were constructed
in London, and making structural analyses. His tests showed that actual stresses
bore no relation to the regular stress analyses, but depended on dimensional
errors in members, or of their temperatures when in strong sunlight in construc-
tion, or on the exact positions and small movements of the foundations. From
this research before WWII he knew that ductile mild steel can yield and safely
redistribute stress concentrations. He studied bomb damage to buildings in the
WWII air raids on London, and his post-war lectures taught students the vital
lesson of the significance of structural ductility.
5.2 The associated flow rule and Drucker’s stability
criterion
The above particular case illustrates general principles shown in Fig. 51, where a
generalized load ðo
i
. o
j
Þ acts on a structure. The load was ðV
Ã
. H
Ã
Þ in the case of
Baker’s portal frame; general ði. jÞ axes can allow for many independent loads
acting on a structure. Plastic displacements ðd·
p
i
. d·
p
j
Þ associated with the ðo
i
. o
j
Þ
loads are also plotted in the i and j directions. In Baker’s frame the bold vector
represents the limiting load that brings a structure to the moment of plastic failure,
with crushing and swaying movements of V and H. The fan of vectors ðdo
i
. do
j
Þ in
Fig. 51 beyond the yield locus represents load increment vectors that cause
hardening and flow. In colloquial English, any one of these load increments
could be the last straw. These words come from the saying that the last straw
breaks the camel’s back. It conjures up the image of a camel that a merchant
loads with a great weight (corresponding to load H) at the same time as a camel
driver is goading or pulling it (corresponding to load V) to get the poor animal
to start moving. The merchant adds a last straw to the load, and the camel
collapses, but the collapse mode is determined by the total load ðV. HÞ on the
camel and not by the last straw (increment dV). The last straw simply provokes
failure in the mode determined by ðV. HÞ. In Fig. 50(g) the yield locus has a
corner at the point z and a last straw load increment dV to the left of point z
will cause the broken back mode of failure in Fig. 50(c), but a last straw to the
right causes the mixed mode of Fig. 50(e).
The general rule shown in Fig. 51 is that the dotted vector ð·
p
i
. ·
p
j
Þ of plastic flow
normal to the yield locus at ðo
i
. o
j
Þ is associated with the damage mode for ðo
i
. o
j
Þ.
This is called the associated flow rule. For the straight-line segments of the yield
locus of the portal frame in Fig. 50(g) this flow rule is evidently valid. The flow
Fig. 51 Yield locus and associated flow
PLASTICITY AND ORIGINAL CAM CLAY 91
shown as normal to the curved yield locus in Fig. 51 is drawn as if the rule is valid,
but it is not self-evident that it must always be valid. The point about a plastic
design of a structural system is that the designer makes sure that the rule is valid
for that particular system. A load or load increment vector o or do applied to
an elastic body causes elastic strain vectors in the direction of these vectors o or
do and proportional to them. The plastic strain increment vectors are not in the
direction of, or proportional to, either the load or load increment vectors. A
limiting load brings the system to some yield point on the locus. The damage
mode gives a plastic strain vector in the direction normal to the locus at that
point. The amount of plastic strain that will occur during the damage depends
on the amount of work that the structure has to absorb in this mode. The plastic
design of Baker’s shelter ensured that those sheltering in it survived the damage.
The desired property of being safe required that all the work done on the shelter
was dissipated without the people inside being crushed, and there was no work
left over that could lead to uncontrolled momentum. The shelter only deflected
1 ft as it absorbed the work done by a 20 lb/ft
2
ceiling load falling 9 ft in a
bombed house.
For Drucker’s (1959) stable material, the plastic strain increment ðd·
p
i
Þ in Fig. 51
multiplied by a load o or an outward directed load increment do always has a
positive product, ensuring that there is never any energy that the system fails to
dissipate or absorb. In Fig. 51 the load vector ðo
i
. o
j
Þ is shown as a bold line. At
the yield point a fan of bold load increment vectors ðdo
i
. do
j
Þ is shown directed
outward from the locus. If any of these load increments could cause the system
to pass some peak load point such that the strength fell (in the way shown in
Fig. 10(b) after peak strength at P) then the system would be brittle and not be
a desirable ductile safe system. The plastic design ensures ductility and makes
sure that the associated flow vector is normal to the locus. The load multiplied
by the associated flow vector is always positive if the locus is convex. Any
outward-directed load increment vector multiplied by the normal to the locus
gives a non-negative product. Any inward-directed load increment vector causes
elastic unloading with zero plastic strain increment. Drucker’s stability postulate
helped me to understand the associated flow rule and the yielding of soil when
the OCC model was developed in 1962. Geotechnical engineers are familiar with
contours of excess pore water pressure in seepage flow nets, and know that the
seepage flow lines are normal to these equipotentials. For the class of system
that Drucker postulated, the yield locus is the potential function for plastic
flow. At each point on the yield locus the vector of plastic flow is normal to the
yield locus.
With this class of structure, engineers can make some simple calculations that
bound an exact (but unknown) solution of a problem. The first class of bound
comes from a statically admissible stress field that distributes stress in all parts of
any structure that is under consideration in such a way that the stress everywhere
is in equilibrium and nowhere violates the yield condition. This gives a loading
vector that may or may not be the failure load but is certainly inside the yield
locus. With a convex yield locus we can certainly state that the vector product
of the approximate load and the actual plastic flow vector is not greater than
the loading power of the actual load and the actual flow vector. That is to say,
92 DISTURBED SOIL PROPERTIES AND GEOTECHNICAL DESIGN
the approximate static load is not powerful enough to cause the damage that must
be done in the failure. A second class of bound comes from a kinematically admis-
sible mechanism, distributing displacements everywhere in any way such that the
displacements everywhere are compatible with damaging movements of the
external system that applies loading. It gives a loading vector that will certainly
end outside the convex locus such as is shown at Z in Fig. 51. The loading
system is powerful enough to do the damage that must be done in the failure,
and it certainly violates the yield condition. Each of these two classes of solutions
is useful in particular circumstances. For example, rather than working out the
moments at beam-to-column connections in a welded or bolted highly redundant
steel frame structure, an engineer can find a safe lower bound solution to a
collapse load by introducing enough pin joints to eliminate the redundancies;
with ductile mild steel an engineer can be sure that the collapse load increases if
any pin joint is welded up. The upper-bound solution is appropriate where it is
essential to cause plastic flow; an upper-bound calculation would ensure that the
system as a whole provides at least enough power to be dissipated in a proposed
deformation.
Lecturers who teach simple calculations that are appropriate for ductile mild
steel structural components that are welded or strongly bolted together to form
stable structural systems should warn students that brick or concrete structures
may not be stable in this way, but by a right choice of construction materials
and methods an engineer can construct safe systems that are stable in Drucker’s
Fig. 52 Thurairajah’s (1961) analysis (after Roscoe et al. 1963)
PLASTICITY AND ORIGINAL CAM CLAY 93
sense. When I had a chance to undertake a final year project in 1950 I made and
tested concrete beams in bending. A curve of moment against rotation for my
over-reinforced concrete beam had a peak strength like curve d in Fig. 11(a)
with crushing of concrete in compression. My under-reinforced beam cracked
through the depth of the beam with yield and ductile extension of tensile reinforce-
ment and a curve like f in Fig. 11(a). Such a ductile failure with plastic flow does
not result from a law of nature like the gas laws. It is simply a property that
Drucker’s class of structure gets from right design choices. Application of this
lesson in soil mechanics requires care. A portal frame can sway, or be crushed,
or fail in a mixed mechanism, but it would be a mistake to think, because plastic
compression and shear distortion of a frame appear to be different types of
displacement, that there are different types of dissipation In all three different
failure mechanisms, work is absorbed by plastic hinge rotation. It would also be
a mistake in soil mechanics to think that compression and shear involve different
types of power dissipation. In aggregates, some grains will slip past each other and
some will slip towards each other, but it is the integrated effect of all grain
movements that give the boundary displacements of the whole body. We cannot
distinguish power dissipation and grain movements in overall compression from
those in overall distortion of an aggregate of grains. Power is dissipated when a
stressed aggregate is distorted. The stability and strength of both soft and stiff
soil involve work being done in shearing deformation and in volume changes in
loose and dense aggregates of soil grains.
5.3 Thurairajah’s power dissipation function
The end of Section 2.1 and the beginning of Section 2.2 discussed Roscoe and his
co-workers’ (1958) Ge´otechnique paper ‘On the yielding of soil’. Our Fig. 29
suggested that the peak strength data found from both drained and undrained
tests would lie in what we called the Hvorslev surface; this assumed that the
power dissipated in a step in test path shear distortion at a state point ðe. o
0
Þ is
the same in both drained and undrained tests. An alternative assumption would
have been that at a given state point the aggregate has the same strength in both
tests. Our discussion of the work done on soil specimens stated that, if there is a
marked inelastic hysteresis in the compressibility of the grain structure, internal
work might be absorbed when the average distance between the centres of
grains changes, but we anticipated that a detailed study of undrained and drained
test data would show that the work absorbed internally will be independent of the
rate of dilatation.
I later suggested that, as well as a boundary energy correction, we should
consider elastic energy as follows. In any step on a test path there is a difference
between the work that can be recovered if the specimen is allowed to swell fully
from the state at the start of that step and from the state at the end of that step.
I called the difference between these quantities of recoverable work the elastic
energy correction in order to fit in with the boundary energy correction (work
p
0
dv done in the contraction of a volume by dv in a step on a triaxial test path
with constant effective spherical pressure by p
0
). It was a task for a new student
to make a detailed study of the energy balance, step by step along paths of drained
94 DISTURBED SOIL PROPERTIES AND GEOTECHNICAL DESIGN
and undrained triaxial tests of saturated reconstituted kaolin clay. Thurairajah
(1961), a research student who arrived at Cambridge University in 1958, was
given this task. He made triaxial tests of kaolin, and plotted drained and undrained
strengths. The solid black points in Fig. 52 are his values of q after both correc-
tions. He calculated power dissipation in successive steps of both drained and
undrained triaxial tests, taking account of boundary energy and elastic energy
corrections. These corrections to q gave the open-symbol points in Fig. 52. On
an undrained test path the fall in the recoverable elastic energy provides a flow
of energy into the soil in a step between points on the path. In a drained test
there is a boundary energy correction, as above. The sum of the work done by
the descending plunger in the triaxial cell plus the energy in each step is the
power dissipation. Each open-symbol point is a corrected stress q
W
for a step
such that when multiplied by the increment of plastic distortion d· in that step,
ðq
W
d·Þ is equal to the power dissipation.
In 1963 the data of early stages of the tests were unreliable because tests were
made at rates that ensured that excess pore pressure in test specimens was low at
the time of ultimate failure. In the early stages of tests in Fig. 52 the open points
show more scatter for early stages of both drained and undrained tests than at a
late stage of a test path. Thurairajah and I discussed this at length. We had no
preconceived hypothesis, but it became obvious as we looked at his data that a
straight line that fitted the open symbols in Fig. 52, gave a simple function
Mp
0
d· for the work dissipated in a plastic distortion increment. It confirmed the
anticipation of Roscoe et al. (1958) that the work absorbed internally will be indepen-
dent of the rate of dilatation. These dissipation data from remoulded kaolin clay
tests showed that the soil did not have one kind of plastic strength resisting defor-
mation and a different kind of strength resisting contraction. Our discussion ended
as Thurairajah presented his PhD thesis, was examined and returned to Sri Lanka,
where he was a professor, and ultimately Vice Chancellor of Jaffna University.
At the beginning of the new academic year 1961–1962, Roscoe was the estab-
lished lecturer, and I was newly promoted from demonstrator (assistant lecturer)
to be a lecturer. Roscoe had sabbatical leave entitlement. Our students had done
much research that required his review and publication; he was aware that if he
delayed, others might publish their results, but he made an American lecture
tour. Calladine (1963), who as an undergraduate had heard Cambridge soil
mechanics lectures, had gone to America for post-graduate study of plasticity
under Drucker and returned to Cambridge to work on structures, was interested
in the CS teaching. He thought that successive yield curves to which the associated
flow rule might be found to apply would be given by projecting the elastic swelling
curves on the experimentally observed yield surface on the wet side of the CS (CVR
in Fig. 53). He got access to test data of plastic strains in drained and undrained
triaxial tests, but when he compared the data of plastic strain increments in the
tests with predictions from using a yield surface of our 1958 parabolic section he
did not find a close fit of strain data to the associated flow rule. Roscoe was in
America, and Calladine asked me for a comment. I realized that the set of equa-
tions formed by Thurairajah’s dissipation function and the associated flow rule
could be integrated. I had to discuss all this with Roscoe on his return from
America, and also had to ensure that every contribution was recognized in due
PLASTICITY AND ORIGINAL CAM CLAY 95
course, which was achieved by the same issue of Ge´otechnique that published
Roscoe et al. (1963) including a letter by Calladine (1963 and Fig. 53).
5.4 The OCC yield locus
Figure 54 was an illustration in the 1980 Rankine Lecture, and Fig. 55 explains
Fig. 54 in more detail. Equation (32) (the first equation in Fig. 54) applies to all
states in which Drucker’s postulate is satisfied (a positive outward vector product
in Fig. 52):
dp
0
dv þ dq d· ! 0 ð32Þ
For deformation of soil in states such as the CS point C in Fig. 55, Thurairajah’s
dissipation function gives Eqn (33) (it is the second equation in Fig. 54):
p
0
dv þ q d· ¼ Mp
0
d· ð33Þ
Equation (34) is found by eliminating the dilatancy dv/d· between these two
equations:
dv,d· ¼ ÿdq,dp
0
¼ M ÿ q,p
0
ð34Þ
The integration of Eqn (34) on the wet side of C gives a curve CBD of other stable
states as defined by Drucker, including a point B shown in Fig. 55(a).
Fig. 53 Calladine’s (1963) letter
96 DISTURBED SOIL PROPERTIES AND GEOTECHNICAL DESIGN
Point C in Figs 55(a) and 55(b) represents a CS aggregate of grains. Reduction of
the deviator stress q on this aggregate at C brings the soil into an elastic state point
G in Fig. 55(a), say where the stress ratio q,p ¼ j < M,2.5. Points like G below
the curve CD can be thought of as lying in an elastic wall that has the curved
area CDA as a projection on the ðq. p
0
Þ plane. A geotechnical engineer might
consider soil in state G to have a factor of safety against failure of 2.5, but in plastic
structure design the factor of safety is the proportional increases of all stress
components that causes plastic yielding. If we associate with each stress compo-
nent a plastic strain increment that will occur during yielding, we can ask by
how much the vector AG with q,p ¼ j can be extended if the aggregate is to
remain in a state where it can still absorb all the work that will be done by the
stress components that act as it yields. At a state point B in Figs 55(a) and (b)
the combination of deviator and spherical stress reaches a limiting value
(we have seen such procedures before in Figs 51 and 52). The aggregate is in a
Fig. 54 Original Cam Clay (Schofield, 1980)
Fig. 55 Details of OCC
PLASTICITY AND ORIGINAL CAM CLAY 97
contractive state where Casagrande supposed that the work done by spherical
stress could not be absorbed, and he thought the soil must experience liquefaction
as an unstoppable chain reaction. However, I adopted Thurairajah’s dissipation
function, so the work input from volume contraction p
0
dv plus a work input
from deviator loads q d· are dissipated in plastic power Mp
0
d·. A plastic
volume reduction dv can be stable if it is accompanied by a plastic distortion d·.
If the aggregate is to remain stable by Drucker’s stability criterion as we work
our way round the curve CD in the manner discussed in Section 2.1, there is a
requirement that there must be sufficient plastic distortion of the aggregate to
dissipate in friction within it the loading power that will flow into the aggregate
as it contracts. Note that the dashed line EFC in Fig. 55(b) has a straight line
projection on the q. v plot of Fig. 55(c).
Drucker’s stability criterion is an alternative to the stability criterion that
Casagrande used, but it is more than that. In much the same way that Professor
Baker selected ductile mild steel fabrication with fully bolted connections that
can transmit plastic moments in his design of an air raid shelter, geotechnical
engineers can ensure a stable state in soil construction at the point B in Fig. 55
by a design process which selects a soil and selects a degree of compaction such
that the material is ductile. Optimum compaction for the soil brings it into the
zone indicated in the Frontispiece.
Introducing the stress ratio j ¼ q,p
0
, by differentiation we can obtain Eqn (35):
dj ¼ dq,p
0
ÿ q dp
0
,p
2
p
0
dj,dp
0
¼ dq,dp
0
ÿ q
0
,p
0
ð35Þ
Combining Eqns (34) and (35) we obtain Eqn (36):
dj,dp
0
¼ M,p
0
ð36Þ
The curve CBD in Fig. 55(a) through the CS point C with coordinates ðq. p
0
c
Þ is
obtained by integrating Eqn (36). Equation (37) is the yield curve for the material
that Roscoe and Schofield (1963) called wet clay, that I later called Cam Clay in my
lecture notes, and that in this book I call OCC:
q,Mp
0
¼ 1 ÿ lnðp
0
,p
0
c
Þ ð37Þ
As p
0
increases in the range p
0
p
0
c
the sketched OCC curve CD on the wet side of
the CS line in Fig. 55(a) shows a steady fall of the yield strength q ¼ Mp
0
c
from the
CS strength at C until the strength has fallen to zero at the point D where
lnðp
0
,p
0
c
Þ ¼ 1. The power flowing into a contractive soil aggregate causes shear
flow to occur with increasing ease, but pressure can increase up to point D without
causing the chain reaction that Casagrande predicted in his liquefaction. At C the
soil will slip at j ¼ q,p
0
¼ M, but as the pressure increases from C to D the stress
ratio for slip falls through the range M j 1, so that the aggregate slips more
easily. The zone of stable ductile yielding ends when the effective spherical pressure
increase makes the loose aggregate so slippery that it is quite unable to bear both
spherical stress and any shear stress.
A proportional loading can increase so that j ¼ q,p
0
¼ const. The combined
spherical stress and shear stress that gives the vector AB ending at B in
98 DISTURBED SOIL PROPERTIES AND GEOTECHNICAL DESIGN
Fig. 55(a) then causes anisotropic plastic compression on the path BK in Fig.
55(b). Equation (37) leads to
lnðp
0
,p
0
c
Þ ¼ 1 ÿ q,Mp
0
¼ 1 ÿ j,M ¼ const. ð38Þ
Figure 55(b) shows that the spacing between C and B is lnðp
0
,p
0
c
Þ. This spacing
remains constant as the aggregate in the state represented by B yields. The
increase of stress from G to B in Fig. 55(a) is associated with elastic loading on
the path CB, followed by plastic yielding on the path BK (Fig. 55(b)). On the
path BK there is yielding and general hardening of the aggregate. When state
points are plotted on a base of ln p
0
, the paths become straight lines with slopes
` and i. The elastic and plastic compression of OCC in Fig. 55 corresponds in
general with Taylor’s data of one-dimensional compression of Boston Blue Clay
(Taylor, 1948) replotted in Fig. 56.
The OCC model can be worked out by following the geometry of Fig. 55. In Fig.
55(b) the path CD does not extend past the point D at which lnðp
0
,p
0
c
Þ ¼ 1 and
q ¼ 0. The slopes ` and i of the lines ED and CD gives the spacing between the
lines as ` ÿ i, which, as seen to the right of Fig. 55(b), gives the length EC.
There is a family of lines such as FB and ED with slope ` parallel to the CS
line. Equation (31) shows that each such line corresponds to a particular value
of j so that the length FC is ð` ÿ iÞð1 ÿ j,MÞ. Such lines represent anisotropic
plastic compression test paths across the OCC yield surface. It is possible to
obtain triaxial test data on drained test paths with increasing axial stress and
decreasing cell pressure that keep the spherical effective pressure p
0
constant.
The predicted path by the OCC model will be as sketched as EFC in Fig. 55(b).
On that path the prediction is that as the specific volume falls through ` ÿ i the
value of j,M will rise from 0 to 1 and the value of 1 ÿ j,M will fall from 1 to
0. In my lectures I gave out a three-dimensional pop-up Cam Clay model to my
students, that folded flat in their notes, but could be made to pop up and display
the OCC surface generated by straight stress strings, each representing test paths
like those of Fig. 55(c). Shibata (1963) (as a research student of Professor
Murayama in Kyoto) made such triaxial tests in which the shear strength increased
linearly with the reduction of the specific volume in this manner. Figure 48(b)
shows what are called i and ` lines, with the equations
v
i
¼ v þ iln p ð39Þ
v
`
¼ v þ `ln p ð40Þ
For the triaxial test in Fig. 2 where q ¼ o
a
ÿ o
r
and p
0
¼ ðo
a
þ 2o
r
Þ,3 ÿ u we have
o
a
¼ o
r
þ ðo
a
ÿ o
r
Þ ¼ o
r
þ q ð41Þ
In Fig. 38(c) the ratio of major stress to minor stress is given as
o
0
max,
o
0
min
¼ ð1 þ sin c
d
Þ,ð1 ÿ sin c
d
Þ ð42Þ
In Fig. 55(a) the ratio q,p
0
¼ M at the CS point C that corresponds to the drained
triaxial test and to a slope at repose with major stress parallel to the slope and
intermediate stress equal to the minor stress, giving a relationship between M
and sin c
d
:
q,p
0
¼ M ¼ 3ðo
a
ÿ o
r
Þ,ðo
a
þ 2o
r
Þ ð43Þ
PLASTICITY AND ORIGINAL CAM CLAY 99
M ¼ 6 sin c
d
,ð3 ÿ sin cÞ ð44Þ
In Fig. 55 the value v
`
¼ ÿ applies to the CS double line through C, and the value
v
`
¼ ÿ þ ð` ÿ iÞ applies to the line of isotropic spherical compression ED through
D. The OCC model makes the striking prediction that the spacing of these lines is
` ÿ i.
In preparation for Tripos examination questions there were example problems
for final-year lectures in Lent 1966 of the following type on OCC.
Question
Samples of reconstituted London Clay with the parameters listed in Table 1 follow
isotropic compression from a slurry to 500 kPa in a triaxial cell. All pore pressures
dissipate. They follow isotropic swelling back to over-compression ratio p
0
1
,p
0
2
¼ 2.
There are two samples that are subjected to different stress paths as follows:
(1) Sample A is subjected to a drained axial compression test to failure. Predict
the values of q, p
0
and v at both yield and failure.
(2) Sample B is subjected to undrained axial compression to failure. Predict the
values of q and pore pressure at yield and at failure.
Solution
First find how the clay sample’s specific volume varies as it is subjected to
consolidation and swelling. In Fig. 56, the clay consolidates down the normal
compression line (NC) to state 1, where it has an effective confining stress of
500 kPa. The specific volume of the sample v
1
at this point in Fig. 56 is
v
1
¼ ÿ þ ` ÿ i ÿ ` ln p
0
1
¼ 2.759 þ 0.161 ÿ 0.062 ÿ 0.161 Â lnð500Þ ¼ 1.857
Subsequently the soil swells to state 2, where it has an over-compression ratio
(OCR) of 2. As the maximum effective confining stress to which it has been
subjected it 500 kPa, an OCR of 2 means that
p
0
2
¼ 500,2 ¼ 250 kPa
From state 1 to state 2, the soil is elastically swelling on a i line, and hence at state 2
the specific volume v
2
is given by
v
2
¼ v
1
ÿ ilnðp
0
2
,p
0
1
Þ ¼ 1.857 ÿ 0.062 Â lnð0.5Þ ¼ 1.90
Both soil samples before the stress paths commence have an OCR of 2, an effective
confining stress of 250 kPa and a specific volume of 1.90. This tells us the location
of the yield surface in p
0
–q space. As the maximum effective confining stress to
Table 1 London Clay: parameters
` 0.161
i 0.062
ÿ (at 1 kPa) 2.759
M 0.89
100 DISTURBED SOIL PROPERTIES AND GEOTECHNICAL DESIGN
which the sample has been subjected is 500 kPa, the yield surface must cross the
p
0
axis at p
0
¼ p
0
1
¼ 500 kPa, as shown in Fig. 57. The initial state is at point 2 in
Fig. 57, and the yield surface shape is found from the equation
q,p
0
¼ Mlnðp
0
c
,p
0
Þ
Fig. 56 Example of an OCC normal compression (NC) and swelling (S) lines
Fig. 57 Example of an OCC CS strength (CSL) line and a yield surface curve
PLASTICITY AND ORIGINAL CAM CLAY 101
Sample A
Sample A is subjected to drained axial loading with constant cell pressure. We
must first plot the total stress path on our p
0
–q plot. For any increase of 3 kPa in
axial load, p
0
will increase by 1 kPa and q will increase by 3 kPa. The total stress
path will slope at 1 in 3 on the p
0
–q plot, as in the dashed line in Fig. 58. As the
test is drained, the effective stress and the total stress changes are identical; the
effective stress also follows the dashed line. The sample will yield at point Y in
Fig. 58, and reach an ultimate state on the CSL at point U. We find point U as
the intersection of the stress path and the CSL, and we find point Y as the
intersection of the stress path and the yield surface. At point Y,
q,p
0
¼ Mlnð500,p
0
Þ and q ¼ 3 Â ð p
0
ÿ 250Þ
When solved by iteration these equations give p
0
¼ 296 kPa and q ¼ 138 kPa. To
find the specific volume we must locate point Y on the v ln p
0
plot. As the stress
path is within the yield surface, all deformation is elastic and hence corresponds
to a i line in v ÿ ln p
0
space, so at point Y the specific volume v
3
is
v
3
¼ v
2
ÿ ilnðp
0
1
,p
0
2
Þ ¼ 1.90 ÿ 0.062 Â lnð296,250Þ ¼ 1.89
The ultimate state U is at the intersection of the lines,
q ¼ Mp
0
¼ 0.89p
0
and q ¼ 3 Â ðp
0
ÿ 250Þ
giving a point p
0
¼ 355.5 kPa and q ¼ 316.4 kPa. To find the specific volume we
must locate point U on the v ln p
0
plot (Fig. 56). The sample has yielded. The
yield surface has expanded to the new surface shown in Fig. 58. A yield surface
in p
0
–q space corresponds to a i line in v ÿ ln p
0
space, hence we can determine
where our new yield surface crosses the p
0
axis and then calculate our specific
Fig. 58 Example of OCC yielding and hardening in a drained triaxial test
102 DISTURBED SOIL PROPERTIES AND GEOTECHNICAL DESIGN
volume from the equation of the i line crossing the NC line at this effective stress.
From the OCC yield surface equation, the yield surface crosses the p
0
axis at a value
p
0
c
such that
q,p
0
¼ Mlnðp
0
1
,p
0
2
Þ
hence
p
0
c
¼ p
0
expðq,Mp
0
Þ ¼ 355.5 Â expð1Þ ¼ 966 kPa
A pressure of 966 kPa on the NC line corresponds to a specific volume v
4
of
v
4
¼ ÿ þ ` ÿ i ÿ `ln p
0
¼ 2.759 þ 0.161 ÿ 0.062 ÿ 0.161 Â lnð966Þ ¼ 1.751
so at point U the specific volume v
5
is
v
5
¼ v
4
ÿ ilnðp
0
4
,p
0
3
Þ ¼ 1.751 ÿ 0.062 Â lnð355.5,966Þ ¼ 1.813
Sample B
Sample B follows the same total stress path as sample A, but as the test is
undrained the effective stress path differs. Within the yield surface, the effective
confining stress will not change, as all loading will initially be carried as a
change in pore pressure rather than effective stress. The stress path shown in
Fig. 59 has a yield at point Y of
q,p
0
¼ Mlnð500,p
0
Þ and p
0
¼ 250 kPa
hence q ¼ 154 kPa. We know that the total stress path has the equation
q ¼ 3 Â ð p ÿ 250Þ
Fig. 59 Example of OCC yielding in a constant-volume triaxial test
PLASTICITY AND ORIGINAL CAM CLAY 103
so p ¼ 301 kPa, and hence the pore pressure at yield is 51 kPa. Between the yield
and ultimate states Y and U, the sample deforms plastically, and hence the effective
stress changes. The test is undrained so the specific volume remains constant at
v
2
¼ 1.90. Point U is on the CSL, and hence
q ¼ Mp
0
¼ 0.89p
0
and v ¼ ÿ ÿ `ln p
0
thus
p
0
¼ exp½ðÿ ÿ v
2
Þ,`Š ¼ 207.5 kPa and q ¼ 185 kPa
from the total stress path
q ¼ 3 Â ð p ÿ 250Þ
so
p ¼ 311.5 kPa
and hence
u ¼ 104 kPa
The advantage of depicting these stress states by points with coordinates ðq. p
0
Þ and
not by stress circles is illustrated in Fig. 60, where circles U and U
0
represent the total
and effective stress states at ultimate state, respectively, and similarly circles Yand Y
0
represent the total and effective stress states at yield. The circles clutter up the figure.
Each point on each circle is an accurate representation of the stress on some plane,
but it is unimportant if I take a grain aggregate to be an isotropic continuum.
On Roscoe’s return from America he began to write up some of the papers
planned for his sabbatical leave. We wrote one paper without data that developed
the idea of a theoretical model with behaviour that justified calling it wet clay for
presentation in Wiesbaden (Roscoe and Schofield, 1963) and another paper with
experimental data that we sent to Ge´otechnique with the request that a contribution
by Calladine should be published in the same issue; the editor, Cooling, said that
our model should have a name that might seem less strange to readers, so we used
the name wetter than critical for it (Roscoe et al., 1963). The Wiesbaden paper
stood in its own right with a theoretical model; while Roscoe continued to hope
Fig. 60 Effective and total stress circles for states U and Y
104 DISTURBED SOIL PROPERTIES AND GEOTECHNICAL DESIGN
that new research students would get SSA data that would let him discard all
triaxial test data, I did not expect this to happen. I took sabbatical leave as a
Fulbright Fellow at Caltech in 1963/1964, and in late 1963 I visited Drucker at
Brown University to discuss the corner on the OCC locus; his comment was
that a corner could be useful; it need not be altered. But while I spent a year in
America, back in Cambridge new students began to compute strain increments
on test paths, and when the corner caused a problem they proposed to remove
the corner by modifying the dissipation function, and found OCC strains that
were excessive on test paths that began from the corner. I sought an explanation
of this, as I knew and trusted our 1963 Ge´otechnique paper data.
5.5 Test data, model modification and OCC teaching
Thurairajah’s dissipation function had resulted from 3 years of triaxial testing. It
was consistent with Taylor’s supposition for power dissipation in sand in his shear
box. Taylor’s dissipation function (Eqn (8)) multiplies the normal stress o
0
that is
effective on the slip surface by the rate of shear displacement dx/dt and by the
coefficient j. Taylor did not have a second component of dissipation given by a
second coefficient of friction multiplied by the rate of dilatation dy/dt; distortion
in his shear box is written as dx. In triaxial tests, with a scalar measure · of the
distortion of shape without change of volume v, and with a CS flow rate d·/dt,
the rate of dissipation of energy was found to be q d·,dt ¼ Mp
0
d·,dt. In the
triaxial test the measure of elastic and plastic change of volume without distortion
is dv. I can explain dissipation of frictional power in CS flow as Mp
0
d·,dt if I
suppose that the elastic energy stored in an average grain depends on p
0
and that
the rate at which a succession of grains are pinched and elastically compressed
and quickly released depends on d·/dt. This energy dissipation concept provides
a reasonable alternative to slip plane strength components called cohesion and
friction. Thurairajah’s function Mp
0
d· ¼ q d· is consistent with power dissipation
in the CS, if columns of highly stressed elastic grains buckle in a heap of aggregate
at repose with the slope of Fig. 4(a) simply shearing at constant volume. In Fig.
40(a) the work done as the mass of soil descends under gravity is equal to the
total work dissipated in each layer parallel to the slope in CS shear under the
effective pressure acting on it. The slip plane model has a coefficient of friction
j ¼ tan c
0
(Eqns (9) and (2)). In CS flow in a slope at repose, the energy stored
in lines of grains and lost in sudden unloading explains the steady energy dissipa-
tion process. Additional processes such as high-stress abrasion and crushing may
also cause power dissipation, but grain crushing will make dust, and no dust is seen
in the time-glass after repeated CS flow at light stress. When a time-glass is made
elastic, rounded sand grains are selected that do not crush at light stress. At least
part of the friction in CS flow and the limiting stability both in lightly stressed sand
in a time-glass and large heaps at repose must be due to dissipation of energy as
contacts between highly stressed elastic rounded grains slip. Pore water rapidly
damps vibrations of grains in saturated fine soil. Dissipated energy ultimately
heats the soil.
Our 1958 hunch that the work absorbed internally will be independent of the rate
of dilatation meant that dissipation is the same at the CS and in an aggregate
PLASTICITY AND ORIGINAL CAM CLAY 105
yielding with volume change. The OCC model on the wet side of the CS has
contractive soil exhibiting ductile stable plastic yielding, and on the dry side of
the CS interlocked soil exhibiting brittle rupture with progressive softening in
the thin layer of gouge material forming on the slip surface. I had Taylor’s data
of tests of sand and Hvorslev’s data of tests of clay on the dry side of the CS
line. A concept that true cohesion results from electrochemical properties and
pore fluids was replaced by the mechanical concept that the behaviour of clays at
peak strength involves interlocking. Any true cohesion would exist on both the
dry and the wet side of the CS line or not exist at all. Any argument about true
cohesion would end; the OCC model was derived without introducing any
cohesion at all. The OCC is not a model of soil behaviour that covers all aspects
of cyclic loading and anisotropy. It shows a way to link Casagrande’s classification
of disturbed soil and Baker’s plastic design; it is consistent with treating a disturbed
frictional aggregate of interlocked soil grains as a plastic material to which plastic
design can be applied. Ducker’s stability postulate may not be automatically satis-
fied by all granular aggregates. The basis of plastic design is the stable dissipation
of plastic power. Engineers select construction materials and methods that bring
selected soil into safe states so that potentially damaging loading power is
dissipated and will not cause harm. Sudden failure on the dry side of the CS
indicates that peak strengths are unreliable, but on the wet side of the CS where
soil contracts there is a zone of stable yielding and ductile plastic behaviour. Soil
states in zone C in Fig. 12 can be stable in Drucker’s sense, rather than unstable
in the way that Casagrande predicted for the liquefaction of contractive soil.
In any triaxial test data analysis, the value of ` will be known, so v
`
can be
calculated at each stage of a test, whether the test is drained or undrained. The
stress ratio j ¼ q,p
0
is also easily found, so that the data can be plotted on axes
of ðj. v
`
Þ as shown by Schofield and Wroth (1968) in Fig. 61. In a series of tests
of water-saturated mixtures of rock flour and kaolin clay to make clay paste speci-
mens with a range of ` value (plasticity index) a test path of a typical sample as
shown in Fig. 62 fits the OCC prediction well. Figure 62 also indicates the difficulty
in getting test data corresponding to the corner point D in Fig. 55. The cylindrical
specimen in a triaxial test has a cylindrical face sheathed in rubber, giving a
Fig. 61 Finding OCC constants in a ðv
`
. jÞ plot (after Schofield and Wroth, 1968)
106 DISTURBED SOIL PROPERTIES AND GEOTECHNICAL DESIGN
stress-controlled boundary on which the cell pressure acts uniformly. It stands on a
rigid pedestal and has a rigid top plate that can be moved up or down. The
specimen is subject to a mixture of stress-controlled and displacement-controlled
boundary conditions. If the rigid faces of the top plate and the pedestal are lubri-
cated, the stress will act in the direction of the normal to these surfaces, but it need
not be uniform. In Fig. 55(a) when v
`
¼ ÿ þ ` ÿ i the predicted yield locus CBD
has a corner at C. If an aggregate structure is like a house of cards, then under pure
spherical stress it is likely to have volumes within which plate-like grains became
parallel in random directions. It will be very slippery and highly plastic in the
sense that it will flow to fill the irregular form of a general hole without needing
to be forced to flow by local shear stresses. It will not compress homogeneously
without distortion but will become heterogeneous. While triaxial test specimens
may approach the corner without showing any distortion as a whole, there can
be distortion in random volumes that dissipates energy. At the corner D in
Fig. 55(a), as we reach the plastic compression point the aggregate will not be
able to bear even the least increment of stress obliquity. In states for which
Casagrande predicts liquefaction, OCC predicts ductile stable plastic yielding; a
soil like Boston Blue Clay when reconstituted and under spherical effective stress
is very soft and slippery.
The introduction of the modified model was justified by a calculation that
assumed a specimen after isotropic compression in the triaxial cell must have an
initial state at the corner; I doubted that this initial state could be reached. It
required an initial path without even the very least amount of stress obliquity. A
small over-compression was introduced in the initial stage of sample preparation.
I could estimate it when I got the OCC constants (Figs 61 and 62). I used plots of
drained or undrained triaxial test data on a graph with the axes ðv
`
. jÞ as in the
Frontispiece. Extrapolation of the line ECB on the plot in Fig. 61 gives a point
V of virgin compression, and the value of j
B
gives the small amount of stress
obliquity at the point B at which the yielding began. I have already shown in
Fig. 62 Test data in a ðv
`
. jÞ plot (Lawrence, 1980)
PLASTICITY AND ORIGINAL CAM CLAY 107
Figs 19 and 20 some data that my student (Lawrence, 1980) got later from
index tests of a mix of rock flour and kaolin clay; his triaxial test data points in
Fig. 62 fit the OCC model in Fig. 61. Calculation of strains on the path ABC in
Fig. 61 for the OCC model must follow an initial elastic path between A and B
and a plastic path from B to C; I did not have these data on my return from
America in 1964, but I expected that if strains were calculated for OCC by this
procedure they would fit Roscoe and Burland’s (1969) data at least as well as
those calculated by the modified theory. Roscoe always raised an objection to
the mixture of boundary conditions in the triaxial cell, where the top cap and
pedestal control axial displacements, while cell fluid around the sheathed specimen
controls radial forces. His objection seemed to me to require the analysis of triaxial
test data by the procedures set out in Figs 61 and 62. In the year 1964–1965 after
my sabbatical leave, a university lectureship arose, allowing Wroth (who had
worked in a London consultancy) to return to Cambridge University. Roscoe
then arranged to transfer responsibility for final year lectures before Christmas
in 1965 to Wroth, and to me after Christmas in 1966 (Schofield, 1966). Our
collaboration in this teaching was the basis of the Schofield and Wroth (1968)
book. We included a discussion of stress in a triaxial test specimen under the
first increments of cell pressure in Fig. 61 as follows:
This specimen was initially under virgin compression, but experimentally we can
not expect that the stress is an absolutely uniform effective spherical pressure.
Any variation of stress through the interior of the specimen must result in
mean conditions that give a point A not quite at the very corner V.
I saw the basic significance of OCC to be that a grain aggregate of Rankine’s type
dissipated frictional work in distortion, and this frictional property gave rational
slip plane properties. There cannot be a cohesion that depends on clay minerals
and chemistry and is constant from B to C in Fig. 5(d), and then is zero to the
right of C. The soil strength theory shown in Fig. 5(c) cannot explain the point C
in Fig. 5(d). The apparent cohesion of OCC does not prove that there is adhesion
among grains of saturated clay; on the dry side of CS it indicates Taylor’s inter-
locking and pore water suction, and on the wet side it indicates ultimate CS strengths
and pore water pressure. Rankine began his 1857 paper by asking what ‘kind of
stability, in a mass composed of separate grains, arises from the mutual friction of
those grains’. The OCC model showed that if Rankine’s aggregate of grains had
Drucker’s kind of stability it would appear to behave like clay. Many modifications
have proved possible, but the yielding of soil with pore water pressures in undrained
tests on the wet side of the CS that Roscoe et al. (1958) discussed is what is expected
in the stable yielding of an aggregate of small grains. The most striking confirmation
of OCCas shown in Fig. 63 (Roscoe et al., 1963) quotes a body of data of Thompson
(1962) in which test paths with three or four increments of hanger load led to creep
until an ultimate pore water pressure was recorded. His data have no points at the
predicted corner but fit the OCCyield curve and are quite close to Skempton’s (1954)
B
0
¼ 1 straight line path. The modified yield locus normal to the p
0
axis with no
corner implied that an aggregate at the point of plastic compression is insensitive
to a slight change of q. If the collapse of an aggregate involves buckling of many
columns of stressed grains with local volumes of parallel grains forming, then
108 DISTURBED SOIL PROPERTIES AND GEOTECHNICAL DESIGN
isotropic compression of an aggregate in a triaxial cell at point D in Fig. 55(b) is very
sensitive to a change of q, and is a poor way to prepare soil samples for triaxial
testing. For Rankine’s granular aggregate on the wet side of CS with internal
friction as defined by an angle of repose but absolutely no cohesion between
grains, the OCC model makes a most striking prediction that the space in Fig. 24
between the virgin compression line DHE and the CS line AC is ` ÿ i, as
shown in Fig. 55(b) by the dashed arrowed line ECG; Casagrande and Albert
(1932) found a constant spacing Áw from ultimate states after continued shear
deformation.
In my final-year undergraduate lectures in early 1966 I contrasted a model with
i ¼ 0 (that I called Granta Gravel) with a model with 0 < i < ` (that I called Cam
Clay). I chose local names to recognize that our whole group had played roles in
the research that led to the model, and to make it clear to students that, although
OCC fits experimental data, it is a theoretical model based on mechanics. Plots of v
versus ln p
0
showed Granta Gravel and Cam Clay as being different, but in later
years I introduced plots with v
i
¼ v þ iln p
0
and Granta Gravel simply became
Cam Clay with i ¼ 0. The plastic hardening of OCC is seen to be a shift of
state from one i line to the next. The lecture notes in early 1966 gave a fully
three-dimensional yield function for Cam Clay from which general plastic strains
could be derived; it became an appendix to our McGraw Hill book in 1968. I left
Cambridge University at the end of 1969 to become a professor at UMIST. To
introduce CS concepts to practising engineers, I organized courses of lectures
with Wroth in UMIST; we once gave our course in Canada.
My handwritten notes in 1966 (now on my internet home page) showed an OCC
yield locus in the three-dimensional ðo
1
. o
2
. o
3
Þ principal stress space on the wet
Fig. 63 Thompson’s creep data (Roscoe et al., 1963)
PLASTICITY AND ORIGINAL CAM CLAY 109
side of CS with Mohr–Coulomb failure surfaces on the dry side. The OCC surface
of revolution intersects the six Mohr–Coulomb planes in six short arcs, repre-
senting innumerable three-dimensional states. Test paths with elastic and plastic
portions that reach these states will generally cause slip plane failures. The only
three state points where an OCC test path can reach a CS and can end with
steady CS flow are the triaxial compression test points with stress states
o
a
¼ o
1
o
2
¼ o
3
¼ o
r
. It follows that in a triaxial cell it is as difficult to reach
ultimate CS flow as it is to reach initial plastic isotropic compression at point D in
Fig. 55(b). A further problem arises in primary consolidation of slurry due to the
filter cake effect. In any filter press, grains form a cake across the filter, reducing
the rate of flow through the drainage boundary. The filter cake layer also is stronger
than the slurry, so that only part of the external stress on a sphere causes plastic
compression in the centre of the sphere; an attempt to cause spherical plastic
compression by applying a spherical total stress increment to a uniform sphere of
slurry with a spherical drainage boundary will fail because a spherical shell of filter
cake condenses on the drainage boundary, acts in compression and carries some of
the external stress. If a piston applies an axial load to a cylinder of slurry with
radial drainage, a filter cake forms on the cylindrical wall and supports some of
the axial load that is applied by the piston. In both cases the plastic compression
process produces a soil body with a hard crust (like a chocolate with a soft centre)
and not a uniform body of reconstituted soil. These effects make it hard to say
how well or how badly a theoretical model fits test data, by causing uncertainties
with reconstituted soil sample preparation. There were further difficulties if we
wanted to explain liquefaction and needed experimental data of cyclic shear in an
idealized aggregate. An experimental error in 1955 had already shown the need for
imperfection in any array of spheres such as is shown in Fig. 8. Wroth as a new
research student in 1955 at first tested a perfect aggregate of ball bearings in cyclic
shear in Roscoe’s SSA, and found that the strength fell as the density increased in
cyclic shear, which is counter-intuitive. The explanation was that as the number of
cycles increased, the ball bearings came into crystalline packing, and dislocations
propagated in deformation, as in metal plasticity. Wroth stored the clean spherical
ball bearings in oil, but water got into the oil by error, and the ball bearings
rusted. He had only just got enough ball bearings to fill the box, and so continued
the tests with rusty balls. They showed behaviour that was closer to real soil, with
increasing density and increasing strength, giving test paths that led to a well-defined
CS line. It had been a mistake to try to test a perfect specimen in a perfect shear box.
Minor imperfections in close-packed arrays of regular spheres make them behave
more like the soil grain aggregates that were the subject of our research. We did
not have ideal test apparatus or ideal soil to test in it.
5.6 Laboratory testing and geotechnical design
The test data that have been discussed so far confirm my claim that the Mohr–
Coulomb theory has not got a secure basis in experimental mechanics. The
significance of OCC remains that it stands in its own right as a consistent CS
theoretical model; OCC yield states lie on a line in the Frontispiece map. Attempts
to plot the Mohr–Coulomb failure states show the difficulty of reconciling the two
110 DISTURBED SOIL PROPERTIES AND GEOTECHNICAL DESIGN
models in the Frontispiece. Imperial College test data as plotted in Fig. 47, Hvorsev’s
shear box test and Casagrande’s index test data validated the CS concept. The OCC
model is easily modified, and papers proliferated as new students explored new
model modifications or used newtest apparatus. When data were published showing
that the CS concept did not apply to every soil, this did not mean that the CS concept
was invalid. If engineers are willing to question old theories it can help them to
explain soil behaviour in the laboratory. The OCC model needs modification to
include load cycles and anisotropy, but it does explain plastic volume change in
soft ground and pore pressures. It is one of a succession of changes of concepts of
soil strength in which components in successive centuries have been as follows:
. 18th century: strength ¼ friction þ cohesion. Friction observed in slopes at
repose was thought to be due to interlocking, not power dissipation, and
cohesion measured in direct tension was thought to be the same as cementation
strength in shear.
. 19th century: strength ¼sliding friction (not interlocking) þcohesion. Friction
was thought to dissipate power in slip on sliding surfaces, and clay chemistry
causes plots of shear box test data to have an intercept that is called cohesion.
. 20th century CS theory: strength ¼ CS friction as in a slope at repose due to
power dissipation in stressed-aggregate distortion þ interlocking with zero
cohesion.
Both Coulomb and Rankine took cohesion as zero in newly disturbed soil. In a CS
view, aggregated hard grains are held together only by the effective spherical stress
p
0
and not by adhesion of one grain to another. Taylor’s interlocking gives
apparent cohesion to soil, and adds a peak on top of CS strength without
increasing power dissipation or improving safety. If a soil has a reliable aggregate
of hard grains, the internal friction as measured at the CS is a reliable strength
component. It determines the drained angle of repose. Taylor did not study
cyclic loading, but small-amplitude shear strain cycles on lightly loaded dense
sand generally cause contraction. It was a steady increase of the shear strain
that caused the positive interlocking shown in Fig. 9(a). The rapid undrained
shear strength c
u
is the internal friction in an aggregate in states on the sloping
line ACH of critical porosities in Fig. 18(b); the undrained shear strength that
makes saturated soil paste seem to be a perfectly plastic body with constant cohe-
sion is due to friction, not cohesion.
To state that CS concepts offer a basis for geotechnical engineers to continue to
solve geotechnical problems, observe ground in the field and use plastic design
methods is not to propose a rejection of all the soil mechanics thinking set out
in T&P, which is indeed a good book. Milton wrote in the Areopagitica that
A good book is the precious life blood of a master spirit, embalmed and treasured
up on purpose to a life beyond life.
Milton was writing 150 years before the French Descriptions de L’Egypte, and 350
years before the opening of Tutankhamun’s tomb in the Valley of the Kings there,
so I do not read in this quotation all that is now associated with mummification,
but rather the sense that T&P is a book to be treasured by the reader.
PLASTICITY AND ORIGINAL CAM CLAY 111
6 Geotechnical plastic design
The ductile mild steel structure of the Empire State Building (ESB) absorbed
the impact of a B-25 bomber in 1945; less ductile structures exhibited progres-
sive failure. Geotechnical engineers can study ductile or brittle failures by model
tests with soil under appropriate stress in a centrifuge.
6.1 The place of plastic analysis in design
The OCC model shows that a type of plastic analysis that is helpful with structures
also helps us understand the classification and the selection or rejection of soils as
construction materials, and the problems of liquefaction and of dilation. I am sure
that our teaching, like Baker’s structural teaching, should be based on plastic
design theory and on approximate methods of analysis by upper and lower
bounds. Whether structures are made of reinforced concrete or mild steel or soil,
they will not have a disproportionate response to a small load increment or be
at risk of progressive collapse if they can dissipate enough energy in potential
failure mechanism. The value of alternative load paths within a structure and of
continuity and ductility, which was evident in bomb-damaged London, was also
evident on 28 July 1945 in New York when an Army Air Force B-25 bomber
crashed into the ESB between floors 79 and 80 in dense fog. The ESB was built
in 1930 with a 60 000 ton mild steel frame structure. The crew and some civilians
were killed, but the energy of the crash was absorbed locally in plastic deformation.
The B-25 started a fire but it did not penetrate into the core of the ESB. Newspaper
photographs in 1945 showed a plane embedded in the ESB (the tail portion stuck
out 80 floors above the street) not a collapsed ESB. There was a difference between
an aircraft structure and the ESB structure. The men flying the aircraft accepted
that they were in a structure that could not itself dissipate the energy of all poten-
tial failure mechanisms. The ESB was New York’s icon, where people could expect
engineers who built structures for public use to make them as safe as houses (and
more safe than aircraft). But if the tests to determine soil constants and computer
calculations in the design and construction of civil engineering structures, geotech-
nical or others, are compared with the material testing and design calculations and
flight testing required for aircraft, it is doubtful if our structures are as safe as
commercial aircraft.
Elastic structural analysis as used in the ESB design finds a distribution of stress
in equilibrium with the applied loads on the redundant frame structure, and finds
elastic strains compatible with the displacement imposed on it. An error in the
dimensions of a redundant structure that is within allowed construction tolerances,
or a foundation settlement, can cause strains that greatly increase the local
maximum elastic stress, but an understanding of the associated plastic flow rule
of the theory of plasticity in structural design reassures engineers that it does not
matter that the elastic analysis is not precise; it can be proved to be a safe lower
bound to the actual plastic collapse load of a fully connected ductile steel structure.
An elastic analysis that finds a stress distribution that does not cause yielding
anywhere in the structure in static equilibrium with an applied load is a statically
admissible lower bound to the actual plastic collapse load; an analysis that assumes
a failure mechanism and calculates an applied load that is powerful enough to
move it gives a kinematically admissible upper bound. After research on design of
steel frame structures before WWII, plastic design methods of steel frame struc-
tures (Baker et al., 1956) were validated by bomb and blast damage to all
manner of structures in WWII. Baker et al. claimed that the whole basis of elastic
design was faulty and the path which designers had been following for nearly a
century was nothing more than a blind alley. The value of ductility as a basis for
steel structure design was a lesson learned after WWII both in the UK and in
the USA (Beedle, 1968). The lesson did not continue to be taught, as is seen by
contrasting the safe ductile yielding of Baker’s bomb damage shelter in 1941
with the brittle failure and disproportionate bomb damage in the Oklahoma
Federal Center failure in 1985 and in the 2001 collapse of the Word Trade
Center towers. After a large amount of fuel spilled across open-plan floors, fire
affected the upper parts of both towers, but not their lower parts, and their final
collapse might not have been so rapid if a plastic design had considered failure
mechanisms such as are shown in Fig. 50, and had led to strong floors that
could continue dissipating energy during large deformations and strong floor-to-
column connections capable of surviving large displacements. Baker prefaced
the printed version of his introduction to a conference on the settlement of struc-
tures with a spoken comment that, while he valued kind remarks that some
geotechnical engineers made about him, he wondered if they appreciated that
his work aimed to reduce the need for their work. He had observed steel frames
during construction and seen causes of damage including dimensional error in
lengths of members, thermal strains, and errors in locating foundations that are
more serious than differential settlement of ground. If a building frame could
accept damage before being clad or given a brittle plaster finish, the builder
would not need a geotechnical engineer!
Masonry stone skeletons are flexible and can accommodate differential settlement,
but no energy is dissipated in structural strains; the rotation of a masonry hinge can
be seen, in soil mechanics terms, as interlocking, which does not dissipate energy.
Baker’s plastic design of mild steel structures involves the selection of materials in
which energy is dissipated. The construction of full-strength connections in redun-
dant structures ensures the redistribution of unsuspected stress concentrations. The
ductile yielding of mild steel safely redistributes stress concentrations that would
initiate fracture in stronger but more brittle steel. The metallic bonds between iron
atoms and the slip of dislocations in the crystal structure allow mild steel to yield
with constant volume. The strengthening of alloy steel can be based on the locking
of dislocations by alloy atoms, but steel can become brittle as it is strengthened.
Geotechnical engineers use soil classification tests to help them select construction
materials that are able to dissipate work when disturbed; compaction strengthens
and hardens them. Soil behaviour when disturbed will depend on the effective
GEOTECHNICAL PLASTIC DESIGN 113
pressure in the aggregate of soil grains and the packing density. Soil is a ductile plastic
material that is as reliable as mildsteel if it is not over-compacted. It is most toughand
ductile as a plastic material at the CS effective pressure, but is brittle when over-
compacted and lightly stressed. It will flow as debris in a catastrophic failure if,
when in states shown as Herrick’s liquefaction states in the Frontispiece, it is
fractured into rubble and subjected to a high hydraulic gradient.
6.2 Lessons from the geotechnical centrifuge
When Sokolovsky (1960) sets up stress field equations for solution by the method
of characteristics he refers to Pokrovsky’s centrifuge with a whole model at an N-
scale model factor in a uniform acceleration field N time’s the Earth’s gravity.
Experiments on models at reduced scale gave masons an understanding of static
equilibrium and of the mechanisms of deformation in a stone skeleton, but
small models cannot test rock. Mining of the slopes of an open-pit mine for ore
extraction has been studied in the Earth’s gravity with a model pit so large that
it filled a room, with all dimensions and the rock fissures equally reduced in
scale, and a frame built over the model, giving access to the model for excavation
of the open-pit by hand; that model was made from weak plaster blocks of strength
reduced by the scale factor of the model dimensions so it was possible to make that
model demonstrate the crushing of weak rock. The value of that reduced-stress
model depended on the accuracy with which failure of the weak plaster represented
a scaled-down failure of the rock. In a reduced-scale model at increased accelera-
tion in a centrifuge, each FE of real rock is subject to the real stress. It was not
possible at that time to excavate a pit while a test package was in centrifuge
flight. When modified constitutive models for soil were introduced into FE numer-
ical models of boundary value problems, new physical data were needed from
different tests of laboratory specimens. The geotechnical centrifuge offered a
new way to test disturbed soil under all appropriate boundary conditions. Effects
due to anisotropy and cyclic loading in soil occur in each small-model FE. Each
stage of a centrifuge model test satisfies equilibrium and compatibility in soil
elements that can be thought of as 10 000 laboratory test specimens. The state of
the reconstituted soil slurry in each of them is initialized and then follows a test
path with exactly the stress and the strain history that is ideal for laboratory
tests. Many new items of laboratory test equipment would need to be built in
order for each of those elements to be taken through appropriate test paths. In
the small tank that Casagrande struck with a hammer in his liquefaction experi-
ment the stresses were low. His later suggestion that even dense sand under high
pressure could liquefy was not based on a laboratory model test under high stress.
Pokrovsky’s centrifuge model contains many elements, each under an appro-
priate stress; some at very low stress near the ground surface and some at a
depth in the model where stress is high. As thousands of elements of reconstituted
soil, each of about the same size as a small triaxial test specimen, come under
different stress, every element provides the right boundary conditions for neigh-
bouring elements in the centrifuge, and each element of reconstituted soil in the
model follows a path in a small-scale model test at increased acceleration. If a
set of similar models at different scales show similar behaviour, the scaling laws
114 DISTURBED SOIL PROPERTIES AND GEOTECHNICAL DESIGN
will be confirmed by what is called modelling of models. In the First International
Conference on Soil Mechanics at Harvard University, Terzaghi said that ‘the possi-
bilities for successful mathematical treatment of problems involving soils are very
low’. In the proceedings of Terzaghi’s first international conference at Harvard
University, Pokrovsky (Pokrovsky and Feodorov, 1936) showed the data of centri-
fuge model tests giving earth pressures in the ground below a full-scale plate load
test. Terzaghi derided ‘the utter futility of small scale models’ (regarding published
‘well documented case histories’ as the only data of use to geotechnical engineers).
He failed to acknowledge that Pokrovsky’s paper did show that a centrifuge test
series could model plate loading tests and get the same data as full-scale field
trials with more accuracy and less cost and delay than was incurred in the field.
In a discussion of the actual lateral pressure of the earthwork, Sir Benjamin
Baker (1881) wrote that if a man says he has no experience of failure of works
of his own construction, ‘that merely proves that his experience has not been exten-
sive’. An engineer needs to be able, without putting a client to too great an expense,
to gain ‘experience of failure of works of his own construction’. Wherever trial
construction is considered, centrifuge model tests should also be considered. If
we can validate the techniques of geotechnical centrifuge model tests, our data
can change engineering theory and practice. A contract from engineers in practice
for geotechnical centrifuge testing can provide the experience of failure now, in an
orderly way, that the chaos of WWII provided for Baker’s generation, that gave
him the opportunity to introduce the plastic design of steel structures to engineers
in practice. Geotechnical centrifuge model testing can show liquefaction to
students, or can give us experience with which to check plastic design teaching
based on CS concepts. Engineers can solve problems at model scale of events
that at full scale are uncontrollable. We can learn how to get a new class of data
from repeatable strong earthquakes on small centrifuge models. I presented a
plan for geotechnical centrifuge development at a meeting of the British Geotech-
nical Society that would be costly and take time. UK Science Research Council
(SRC) funds were committed to other projects; a small centrifuge development
was supported, but a large centrifuge in Cambridge needed other funding (Scho-
field, 1995). I recruited a research student, who got access to a large British Aero-
space centrifuge in Luton, left over from earlier British rocket research, and took
Cambridge models in a strong box for testing there (Avgerhinos and Schofield,
1969). I went in 1969 to be Professor of Civil Engineering at UMIST. Rowe was
then a Professor at Manchester University, and we both built centrifuge facilities.
The UK Building Research Station (BRS) funded model tests at UMIST of
failures of raised Thames levees. Whatever Thames Tidal Flood Barrier was built,
the existing levees A shown in section in Fig. 64(a) as built on the marsh soil B
would have to be raised on the seaward side of the barrier. The BRS made a
cofferdam on the seaward side of a coastal levee, and filled it with water that
seepedthroughcracks. They sawthat the landwardslope hadsloughedaway, causing
a breach. This full-scale test had explained failures in the 1953 tidal floods that
occurred just before overtopping. But the BRS were concerned about a failure in
Dartford creek where the lock keeper had gone out and walked along the levee by
his house on the night of the flood. The levee by his house failed that night, and
blocks of levee of as much as 50tons were washed onto the marsh layer A in
GEOTECHNICAL PLASTIC DESIGN 115
Fig. 64(a). If he had seen that overtopping was imminent he would not have let his
family stay in the house where they all died. The BRS thought that there may have
been a new kind of failure, with rising water pressures in layer C altering the pore
pressures within the levee and causing failure on a slip surface. Any proposal to
raise the Thames levees faced the risk of this kind of failure. A full-scale trial could
not be made without great cost and public alarm, and the BRS wanted to study
such an event in confidence in tests of centrifuge models. The outcome of the tests
(Hird, 1974) was a simple explanation of the Dartford levee movement. As soon as
uplift pressure in the underlying sand layer C was equal to the weight of layer A,
the marsh was uplifted. The failure state with a flow of water up through tensile
cracks or pipes in layer A was to the left of the Frontispiece. The BRS learned
what they needed. To observe transient pore pressures in soft clay below model
levees we spent some BRS money giving Druck Ltd their first contract developing
a novel solid-state pore pressure transducer (PPT). It ensured that the model reached
equilibrium safely without failure before the storm surge tide was applied to the
model. This PPT was to play a crucial role in all later centrifuge studies, making it
possible to study liquefaction in model earthquakes.
In 1973 I thought that Pokrovsky (Pokrovsky and Feodorov, 1936) had published
no more centrifuge papers after the one written for the first ISSMFE Conference at
Harvard University, and wondered if this was due to a fundamental difficulty,
perhaps with Coriolis effects in rotating models. Contact with Russia was difficult,
but at the 7th International Society of Soil Mechanics and Foundation Engineering
(ISSMFE) Conference in 1973 in Moscow its Chamber of Commerce had a trade
exhibition. Hoping to provoke a centrifuge discussion there, I hired a space to exhibit
a display of posters describing work in Cambridge and Manchester. Soviet engineers
then got permission for an exchange of information with foreigners in a meeting at
the end of the conference at the Hydroproject, which had a very powerful
centrifuge. I met and was given books by Pokrovsky and Feodorov, and by Malush-
itsky. The books showed that Pokrovsky had modelled nuclear weapon craters and
had led the development of centrifugal modelling in the USSR (Schofield, 1998b). It
explained why his work was classified at the height of the Cold War. The Test Ban
Treaty prevented US full-scale tests from resolving uncertainty about liquefaction
in large weapon craters. All contact was difficult, but when I understood what
Soviet centrifuge model tests had achieved by 1973 I could also see that we were
not only separated from the Soviets by military secrecy; there was a theoretical gap
between us. Resource development in Siberia and Soviet far-eastern lands and
defence needs meant that their engineers dealt with permafrost, so Soviet soil
mechanics was basedoncreep, withmodel tests at different scales tofindthe exponent
of a power law for creep that best fitted the observed scaling of time. Our effectively
stressed aggregate of soil grains was an elastic–plastic body with time effects due to
consolidation. I based soil mechanics on a theory of plasticity with time effects
being due to primary consolidation, which made centrifuge models look better to
me thantothem. I got their books translatedintoEnglish, but I couldfind a publisher
only for the translation of Malushitsky (1981); there is still no published translation
of the other books into English.
Malushitsky describes his test facility at the Kiev Projekt Institute between 1966
and 1970, the procedures and soil types, observations, and systematic check of
116 DISTURBED SOIL PROPERTIES AND GEOTECHNICAL DESIGN
accuracy by modelling existing waste heaps of overburden soil in open-cast mines
for sulphur and for coal in the eastern Ukraine. He tested methods of forming
heaps, the effect of foundation weakness, and the construction of waste heaps
on hydraulic tailings lagoon areas with large movement of hydraulic wastes in
the foundation, and he integrated his model tests into the mine waste management:
Making use of the recommendations cited above, the first mine in the Kuzbass
(the ‘Krasnogor’) deposited without accident, during the course of one year,
on old hydraulic waste-heaps, more than one million cubic metres of solid,
hard overburden without occupying any new land, and reduced the mileage of
dump trucks by 1.5 times.
When excavators had to undermine existing heaps, the slopes seen to stand up
safely were much steeper than would be allowed by a soil mechanics calculation.
Model tests provided the chief engineer of the ‘Krasnogor’ mine with data that
he needed to ensure safe working, so that
. . . over a period of two years undercutting of the slopes of internal waste-heaps
was carried out at the ‘Krasnogor’ mine which made possible a reduction in the
volume of re-excavated material by 4.2 million cubic metres.
This example suggested to me that it was possible for a geotechnical centrifuge
facility to model problems connected with toxic and nuclear waste. The scale
factor for the mass of waste is N
3
. A model test of the movement of 10 g of
toxic waste in a plume at a scale of N ¼ 300 would correspond to a full-scale
test using 300
3
Â10 g ¼ 27 tonnes of toxic waste. The seepage flow in the model
in 1 week of continuous operation scaled up by a factor of N
2
would correspond
to 300
2
Â1 week ¼ 500 years. Models made safely in a laboratory glove box with
actual soils and toxic waste from a very hazardous site and tested in a dedicated
facility would give data that could not be obtained in the field. I proposed a
European facility, but that was not funded. Roscoe died in a motor accident in
1970 while I was at UMIST. In Cambridge, a 10 m beam centrifuge planned by
Roscoe was built by Wroth but not commissioned. The SRC had no funds for
centrifuge development. When I returned to Cambridge University in 1974 I had
to fund work on the centrifuge by a succession of contracts. In Schofield (1980)
I described how, with swinging platforms fitted to the beam, work was done on
a wide variety of contracts. Successive models were tested by a group of university
staff and research students. Funds for the continued development of equipment
and instrumentation were earned from industry by the centre under my direction
from 1974 to 1998. The basic research that led to OCC was going to undermine
confidence in the Mohr–Coulomb model, but centrifuge development would let
engineers in practice use model tests to gain new experience when the time came
to apply new theories as they were developed.
6.3 Herrick’s liquefaction in models
There is more to be found by laboratory testing about a geotechnical problem than
values of c or or other soil constants for use in a computation. A centrifuge
model test can reveal a failure mechanism and the displacement mechanism
GEOTECHNICAL PLASTIC DESIGN 117
before failure. When the USACE Waterways Experimental Station (WES) gave
me a contract for research into environmental problems of liquefaction they asked
me to model every example of liquefaction that I thought possible, and I began
with Mississippi levee tests. From the start of the 19th century, the US federal
government had tasked the USACE with maintaining navigation in what was to
become a system of over 20 000 miles of US waterways. The floods in the mid-
19th century established the need for the USACE also to be tasked with flood
control of the river through the Mississippi River Commission, formed in 1871.
The work involved levees and floodways, channel improvement and stabilization,
and tributary control. The Civil War had impoverished the South, and the USACE
got a new task after a flood in 1927 when Roosevelt’s New Deal addressed the
poverty of the South. About the same time as the Tennessee Valley Authority
was set to work, the USACE was to complete a project by which the highest
flood of record in every tributary of the Mississippi could be safely routed to the
Gulf of Mexico. The system of federal levees and river control structures had to
survive erosion that would occur at every bend as the river meanders through
the Lower Mississippi Valley. The USACE built a large hydraulic model in
Vicksburg in the WES grounds to study every river bend.
Soil selection for levee construction used Casagrande’s classification system. He
also gave advice on the risk of liquefaction of river banks. In places on the flood
way the federal levees are miles apart, in between which private levees protect
private interests, but a USACE general (who is in command in a flood fight)
takes control of the river and all tributaries and decides what land will be flooded
(after the flood the federal government makes compensation payments). The soil
in the Lower Mississippi Valley came down the river, transported as sediment
and deposited across the width of the valley. In a naturally formed meander the
river forms a shallow point bar deposit of sand on the inside of a bend and cuts
deeply into the outer bank. Each flood deposits silt over the sand bar, and as the
river meanders in the Lower Mississippi Valley, a typical vertical profile of ground
will show (Figs 64(b) and 64(c)) the point bar sand deposit (layer C in the figures) in
the face of the river bank below a crust of stiff silt soil of variable thickness (layer
A). When the river is at the flood stage, tree tops stand above the brown water, but
if engineers on the levee see the trees sink into the flood they know that their levee is
in danger. The river is eroding the point bar sand C and undermining the stiff crust
of soil A. If the erosion progresses, it may open a crevasse, breaching the main-
stem levee. They must build a set-back levee behind the potential breach quickly
to prevent the river flooding out of control. Prediction of the likely locations of
such breaches allows the USACE to have construction plant available in the
right location. Casagrande predicted that Hazen’s liquefaction event would be
likely to occur if the overburden A was thick, causing the effective pressure on
the point bar sand C to be high. A review of the records of actual crevasses
found the opposite to be true; I was asked if centrifuge model tests could explain
why, and I found that models could show me the reason.
Our Cambridge Mississippi tests (Padfield, 1978) considered a bend where the
main levee stands far back from the river. To model erosion by the river of the
exposed face of layer C our centrifuge model in an 850 mm diameter tub had
layers A and C (Fig. 64(a)), resting on a little platform below water. A water
118 DISTURBED SOIL PROPERTIES AND GEOTECHNICAL DESIGN
tank above the tub had a short pipe down into layer C and, when the model was in
equilibrium, air pressure applied to the tank caused a flow of water to erode the
sand layer C into the test river. Soil could flow away below the platform on
which the model rested. The centrifuge was fitted with swinging platforms so
that soil and water could swing up into the testing position. The test took place
under water out of sight, as it does at full scale, but after a test the tub swung
down and we could drain the river and inspect the under water failure. The
outcome was that the collapse mechanism of layer A above the site of erosion
depended on the ratio A/C. Figure 64(c) shows the case where A was thicker
than C. As A cracked, arching forces between segments spanned across the erosion
site, which kept the effective stresses in a cone of plastic failure so that slab A
remained intact as it descended, and acted as an articulated mattress, preventing
further loss by erosion of layer C. If A was thinner than C the segments of cone
descended past the level of the interface between A and C. All arching thrust
was lost. Once the stress moved to the dry side of the CS the soil in slab A was
no longer a ductile plastic material. Slabs of A and underlying point bar sand C
all flowed into the river, leaving a semi-circular crevasse in the bank. A WES
engineer who saw photographs of the model failures flew me along the river in a
light aircraft to see semi-circular liquefaction crevasses in the field, just as our
models had showed. I had no knowledge before the tests that this is the actual
mechanism of failure. A model test at reduced scale and increased acceleration is
an excellent way of testing models made with granular aggregates because their
behaviour mechanisms depend on the pressure and packing density.
The alarm that high effective overburden pressure could cause Hazen’s
liquefaction of deeply buried sand below levees protecting low-lying parts of
New Orleans, and result in crevasses and floods, seemed to have been mistaken.
Model liquefaction was in states to the left of the Frontispiece. A general lesson
Fig. 64 River bank failures. (a) Section. (b, c) Elevation. (d) Plan view of cracked
slab mechanism of the Mississippi River crevasses
GEOTECHNICAL PLASTIC DESIGN 119
from the Thames and Mississippi model tests about river bank system geometry is
shown in Fig. 64:
(1) B > A. If a river bank is higher than the layer on which it rests, a river at the
flood stage may cause uplift pressure failure. A possible safety measure
would be to cut through A to form open pools behind the levees to relieve
uplift pressure in C. The river would flood the land slowly and safely
without catastrophic sudden uplift failure of A or displacement of the levee.
(2) C > A. If an underlying point bar sand deposit is thicker than the
overburden layer, the overburden cannot arch across an erosion cavity as
a plastic slab and stop erosion. An articulated mattress on the exposed
face of C would provide a possible safety measure. Levee engineers can
learn a rule, like the geometrical rules of masons, that thin overburden is
dangerous. Layer A must be thicker than any underlying sand layer
(B<A) and thicker than the height of any levee that is built upon it (C<A).
A different concern arose in the last quarter of the 20th century when oil and gas
were found below the North Sea bed between Britain and Norway. The sea there is
about 100 m deep. In order to achieve early production, oil companies had to order
offshore structures ‘off the drawing-board’ before a single such structure had been
placed on the deep North Sea bed. One project, to supply Britain with gas from the
Norwegian Frigg field, had a steel jacket structure for drilling the wells and
production of gas in this northern field, and a pipeline that ran via a concrete
manifold structure to the south. The steel structure was accidentally ruined
during installation. The company kept the project on time by using their manifold
structure on the northern site. When installed in September 1975 in 96 m of water it
became CDP1 (Concrete Drilling Platform 1) at Frigg. The prestressed concrete
tower structure had a central shaft that extended 30 m above sea level to a steel
deck. It rested on an annular raft, of 101 m external diameter and 54.4 m internal
diameter, on dense sand. The raft did not have a skirt, as at that early date the
value of a skirt was not realized (later concrete rafts had steel skirts that penetrated
the sea bed round them). Casagrande’s 1975 advice that ‘even dense sand, if heavily
loaded, can experience actual liquefaction’ led the designer to reduce the effective
stress on the sand as far as possible, hoping to lower the liquefaction risk. The
sand state was far on the dry side of the CS line. In due course, storm waves
rocking the exposed tower of CDP1 were seen to be larger than had been expected
further south. The edges of the lightly loaded raft were intermittently pulled up and
pressed down on the sea bed, causing pumping and erosion. Lacasse et al. (1991)
wrote that
Videotapes of an underwater survey in September 1976 showed sand flowing
from the underside of the base through the rabbit holes. The sand flow was
described as a ‘breathing’ process with a rhythm close to the wave period.
The word breathing suggests an image of a man taking a nap with a handkerchief
over his face that rises and falls in rhythm as he snores; Herrick’s image of Julia is
more picturesque. Casagrande’s advice that even a dense sand bed can liquefy
under high stress led the CDP1 designer away from the wet side of the CS towards
the dry side of the CS. His maximum vertical stress was as low as possible, with a
120 DISTURBED SOIL PROPERTIES AND GEOTECHNICAL DESIGN
triangular stress distribution across the base under the design moment. The
pressure at the edge of the slab cycled from zero to a maximum pressure, but
when the storm wave heights at Frigg applied moments that were greater than
the design values, the effective pressure could not become negative. The moment
lifted first one edge of the slab and then the other off the dense sand, and caused
pumping. The ground loss caused cracks in the concrete. The cameras at Frigg
saw medium to fine very dense sand being pumped out from below the raft
under zero effective stress. The structure cracked when the loss of sand undermined
the base. The loss of sand by pumping might stop if a drained loading berm were
placed round the base; settlement damage might be made good by grouting. Model
tests were discussed but not proceeded with.
For Casagrande in 1936 nothing could stop a sand flowing once it has changed
into a flow structure. The chain-dashed arrow from B to C in Fig. 18(a) shows fully
drained shear and deformation at constant effective pressure p
1
that brings soil to a
safe porosity n
0
. In his 1975 theory the definite critical porosity for sand changes to
the CS double curve in Fig. 12 and the double line AH in Fig. 18(b). Hvorslev had
stated in 1937 that his experiments showed that Casagrande’s 1936 void ratio does
not exist in the case of fine-grained soil, and that any void ratio can become critical
if it is produced by a critical consolidation procedure, as in Fig. 18(b), where
critical porosity decreases as effective pressure increases. The CS concept applies
both to sand and to silt and clay. With a CS line AH in Fig. 18(b) crossing
compression lines AB and FH, in Fig. 18(b) a chain-dashed arrow from B towards
C leads to drained shearing deformation at the constant effective pressure p
1
in a
CS state at C, but now a solid arrow from B to K leads to undrained shearing with
effective pressure p
1
decreased only until the CS at K is reached with flow with a
constant positive pore water pressure u ¼ p
0
B
ÿp
0
K
, where p
0
B
is the pressure at B
and p
0
K
is the pressure at K.
The final set of tests that I will discuss here relate to brittle embankment dams.
The Lower San Fernando Dam was constructed by hydraulic filling above
Burbank; it failed on 9 February 1971 during the San Fernando earthquake
with high pore pressures that led to a slip of the upstream face similar to the slip
in the Fort Peck Dam. In the mid-West and the Mississippi valley where water
is plentiful, Army Engineers could build their dams with pumped hydraulic fill;
in the mountains, water is scarce, and the Bureau of Reclamation or the Los
Angeles Division of Water and Power had to use earth-moving and compaction
plant to build dams. A number of such dams had been built in California before
anyone raised the question of whether an embankment built of granular aggregates
without any clay was at risk of liquefaction in earthquakes. Older embankment
dams that had survived previous Californian earthquakes had been built with
clay soil. However, in the western states in general where water is too scarce for
hydraulic fill construction and no plastic clay is available, agencies such as
Bureau of Reclamation and the Los Angeles Division of Water and Power used
machines to excavate, haul and heavily compact non-plastic fine silt soil to build
embankment dams such as the Teton Dam in northern Idaho and the Baldwin
Hills Reservoir in Los Angeles. The foundation movement of dam sites under
the weight of water and soil causes brittle soil to crack. Both dams failed, with
cracks in dense brittle soil near zero effective stress in the zone on the dry side of
GEOTECHNICAL PLASTIC DESIGN 121
the CS line in the Frontispiece where liquefaction of cracked rubble is plotted, with
high hydraulic gradients. The engineers for both dams placed great emphasis on
achieving high density, but a less compact, more ductile, soil body would have
been a better barrier to water flow. Both dams failed with near-vertical faces to
a channel through which the water flowed. It was a tribute to the level of com-
paction that had been achieved that the faces stood while the entire contents of
the dam flowed past, but if less heavily compacted, such soil deforms with smaller
cracks. They flood with water when the dam fills. A small crack could self-heal, and
a dam could remain watertight.
I got support for a set of centrifuge tests at the University of California in Davis
and also at Cambridge University for centrifuge model tests made with Teton Dam
core material. I reported the results to the Bureau of Reclamation. A slab of
compacted soil formed a model of a section of the dam core, with a vertical
crack at right angles to the dam. A window against the crack face let it be observed
as water flowed through the narrow crack. Soil grains eroded from the face fell
down and filled the bottom of the crack. The erosion formed a void that migrated
upwards to the surface. There was a graded filter layer downstream that fell into
the rising void and plugged it, so the crack did not turn into a pipe. The vertical
face of a crack in compacted Teton Dam core material was observed while seepage
water flowed along the crack. My report showed loose soil sloughing off the crack
face, filling the crack with mud and causing a void to slowly migrate upwards to the
surface while mud slowly plugged the crack. A graded filter layer rested on the
upper surface, and the essential requirement of the layer was that it was thick
enough to fall into any void that arrived and plug it. Any faults in the rock
below the Teton Dam were due to move when the dam was filled, and there was
no possibility of predicting precisely where foundation movement would occur.
What was needed was construction that was not too stiff, leading to cracks that
were not too large, and filling that was not too fast, leading to plugging of
cracks, and graded filter layers to fill migrating voids. The Teton Dam was the
last in a series of Bureau of Reclamation dams that successively were compacted
harder, with soil states moving further to the left in the Frontispiece. It failed
with a crack face to the full height of the dam. It was filled more rapidly than
the others to get an earlier return on investment. There was no time for cracks
to heal (Muhunthan and Schofield (2000)).
The Seed et al. (1976) account of the Teton Dam failure began with an FE
analysis of the compacted embankment that found a low stress in the cut-off
trench below the dam as built. He superposed the pore water pressure transmitted
through the flow net on filling the dam, on top of the FE total stress. Where the
sum was negative it was said that the effective stress fell to zero and the soil
cracked, but simple superposition no longer applied with those boundary condi-
tions. Total stresses changed during filling, and should have been recalculated
with no strain parallel to the underlying rock faces. Cracks, pipes or channels
have often been encountered and led to failure. The lesson that should have
been learned was the value of ductility and of measures to ensure that internal
erosion leads to self-healing. The Los Angeles Division of Water and Power engi-
neer Proctor built a heavily compacted embankment that formed the Baldwin Hills
Reservoir. A novel drainage system below that reservoir was intended to detect
122 DISTURBED SOIL PROPERTIES AND GEOTECHNICAL DESIGN
leaks, and the data did reveal them, but no action was taken. The dam failed while I
was a Fulbright Fellow at Caltech (1963–1964). When I visited the dam just after
failure I was struck by the excellence of Proctor’s compaction. The vertical faces of
the very narrow vertical cleft in the embankment through which the entire contents
of the dam had flowed had not fallen. That very strong over-compacted soil made a
poor dam was also evident in photographs of the Teton Dam failure, showing the
great torrent at failure rushing past high vertical faces of over-compacted soil.
Hazen’s suggestion that a hydraulic-fill damhad been liquefiedby a shock has been
represented by points in the Frontispiece on the wet side of the CS. Casagrande’s
1936 theory refers to soil looser than a critical porosity in Fig. 18(a); his 1975
paper refers to unpublished studies for the USACE at the time of the Franklin
Falls Dam, to which Taylor (1948) also referred, with an inclined CS line like
ACH in Fig. 18(b) replacing the constant critical porosity line CE in Fig. 18(a).
In 1936, soil below the constant porosity critical line was supposed not to be at
risk of liquefaction but if soil was in a safe state, pressure reduction might allow
swelling into a state with a risk, as shown by the bold inclined arrow Z in Fig.
18(a). In contrast, in 1975 contractive soil above the CS line was supposed to be
at risk of liquefaction, and Casagrande warned that even dense sand might be
taken into a state where it is at risk by a pressure increase as shown by the bold
inclined arrow Z in Fig. 18(b). This 1975 paper led to concern that deeply
buried sand and gravel layers laid down at the end of the last glacial period may
cause widespread liquefaction risk and to much expense in construction. In my
centrifuge models of examples of liquefaction I never achieved Hazen’s liquefac-
tion. I cannot say that it will not be achieved in other centrifuge models, but I
have based the Frontispiece on the failures that I achieved. Various triaxial tests
have been reported as evidence for Hazen’s liquefaction, where a test path
approached the CS from the wet side and ended in unstable failure. I regard
such failures as instabilities that apply to the specimens with the boundary condi-
tions tested rather than as evidence that soil at the same state in an embankment
will liquefy. This section has discussed some cases on which I have based the
Frontispiece entry on Herrick’s liquefaction. Better model tests would be needed
to make a better entry.
6.4 Geotechnical centrifuge developments
In my 1980 Rankine Lecture and in a lecture in St Louis (Schofield, 1982), I
reported that centrifuge studies had led me to review Casagrande’s definition of
liquefaction. Model earthquake tests in Cambridge gave our students test data
from which they got a new understanding of pore water pressures (Schofield and
Lee, 1988). In the Bumpy Road system that we used for some years, the earthquake
actuation energy came from the massive centrifuge arm; later, it proved possible to
retain the modelling equipment and simply replace the supply of stored angular
momentum by a flywheel. The earthquake actuator applies earthquake waves at
predetermined frequency for a predetermined time in which an acquisition
system stores pore pressure, acceleration and displacement data from solid state
transducers in a flash memory for retrieval after the test. This type of test has
transformed the position in earthquake engineering research. Where previously
GEOTECHNICAL PLASTIC DESIGN 123
no one thought we had a basis from which to comment on Casagrande’s liquefac-
tion and critical voids, after we could analyse our own test data at Cambridge
University, and other centrifuge workers had similar direct experience, we all
had a new authority to make comments. The new geotechnical centrifuges have
created a new opportunity for laboratory workers. Both disturbed and undis-
turbed soil specimens can now be subjected to laboratory tests that produce
data with a direct relevance to works and observations in the field. A great
many computer programs are available which require soil to be characterized by
parameters describing one or other aspect of a constitutive model (many of
which models claim descent from CS concepts or Cam Clay). Engineers who
observed soil behaviour in the laboratory used merely to determine values to be
given to the parameters used in the computation. Triaxial test equipment does
not impose all the conditions that are relevant to failure; now we observe
behaviour mechanisms.
A new opportunity to make tests in geotechnical centrifuges on models that
represent a complete dam or segment or a foundation system as a whole allows
us to find a value of one or other parameter which covers integrated effects through
a unit of construction. In the application of plastic design to steel structures, the
role of stress and strain in the analysis are played by the bending moment applied
to a rolled steel member in Fig. 50(a) and the plastic hinge rotation. This example
can be extended in the study of jack-up spud fixity, where a structural analyst who
regards foundations as elastic spring hinges needs to know when the fixity became
non-linear. To study the behaviour of offshore jack-up platforms in a centrifuge
with a mobile model, a soil sea bed layer was placed as a carpet around the
circumference of the 2 m drum in Cambridge and accelerated to 300g. It offered
identical conditions at 20 different locations at which the model was deployed,
and the platform was subject to cyclic loading that modelled the wind and wave
forces on a platform in a storm (Tsukamoto, 1995). At the outset of the model
tests there were no data of fixity of jack-up spuds when loaded at full scale to
incipient failure in a storm. The data of foundation fixity found by the end of
the tests enabled an oil company to validate the new programme that they
wished to introduce for selection of rigs for use on North Sea sites. Much greater
danger and cost and uncertainty of environmental conditions would have been
involved if an attempt had been made to get similar data from platforms deployed
in the field.
The money for the development of centrifuges and of modelling technique was
earned on contracts. When the government stopped spending departments such as
Transport or the Environment from placing contracts for university research, it
was harder to get, but it remained possible to find money for research on offshore
structures for the exploration and production of oil and gas. I was told that oil
companies wanted to buy research within a market where there were several
competing research organizations that all reached international standards. It
was essential both to encourage and assist all those that wanted to compete with
me and also to try to remain pre-eminent in the field and win the best contracts.
At the time of the Stockholm ISSMFE conference in 1981 when President de
Mello first formed Technical Committees (TCs) on various topics he agreed that
one of the first should be TC2 on centrifuges. It was possible to internationalize
124 DISTURBED SOIL PROPERTIES AND GEOTECHNICAL DESIGN
the topic with a variety of committee members and a succession of specialist
conferences that produced many papers from many centres in ISSMFE TC2
conference volumes that lifted the shroud of military secrecy from the topic and
created wide academic and commercial activity in a centrifuge model testing
market.
Cambridge University was unwilling at that time to have their name associated
with trade, but I was allowed to set up a company, AndrewNSchofield &Associates
Limited (ANS&A), earn money on ANS&A contracts, fund successive students,
and continue equipment development in Cambridge. In one typical study the
bearing capacity factors that Terzaghi had based on fragments from the theory
of plasticity were replaced by yield locus concepts and studies of structure–founda-
tion interaction that we validated by experiments (Dean et al., 1993). Each such
study led to a PhD thesis by a research student. There was also the possibility of
earning money by manufacturing test equipment and instrumentation in
Cambridge for the new test facilities that began to be built. In France, LCPC
specified their facility at Nantes after reading all the published information, and
visiting and drawing help from our experience in Cambridge, but got a French
aerospace firm, Acutronic, to build their centrifuge. When I spoke at the Nantes
opening, Acutronic asked for ANS&A cooperation to help them to sell centrifuges
to other centres, so I formed a second company, Centrifuge Instrumentation and
Equipment Ltd (CIEL), for this purpose. Potential users visited Cambridge, and
were offered training for their workers and planning and provision of test equip-
ment for their facilities (Schofield and Taylor, 1988). ANS&A was particularly
closely involved with the US army centrifuge at the WES (Ledbetter et al.,
1994). With each development the risk of accidents was comparable to risks that
there would have been with research students and technicians using light aircraft.
Contact with professional engineers meant that all involved in Cambridge learned
to work responsibly. People that were funded by ANS&A to work in the
Cambridge facility went on to build and work in new centres in other countries.
In 20 years, new effective stress modelling techniques became well known.
Cambridge University had become better organized for its involvement in trade
on my retirement in 1998, so I liquidated ANS&A and CIEL, and passed over
goodwill and assets. Many of the 175 PhD theses in the Cambridge soil mechanics
group over the past 50 years involved cooperation with engineers in geotechnical
process and construction that continues today.
6.5 Conclusions
Any student civil engineer who learned the principles of soil mechanics in T&P and
found that il put les entendre les principles et s’en server (it was possible to under-
stand the principles and to follow them) will know from their own experience what
great benefit the teaching at Harvard gave to 20th century civil engineering
education. To conclude this book I must explain my confidence in proposing to
change some principles of that education. Goodman (1999) describes Terzaghi
as ‘the Artist as engineer’. My translation of Coulomb’s words un Artiste un pue
instruit as ‘a builder without higher education’ equated artisan and builder. The
front cover of this book shows a novel structure made 600 years ago, costing a
GEOTECHNICAL PLASTIC DESIGN 125
King’s ransom, and requiring 14th century builders (each of whom Coulomb or
Goodman could describe as un Artiste or an Artist) to adopt a building plan
that was accepted and trusted a century later by artisans who never met the authors
of the plan. I suggested in the second paragraph of Section 1.2 that their confident
design methods were based on education that included model testing. The same
properties of soil grain aggregates that lie behind the simple OCC equation
(shown on the front cover) also lie behind the success of geotechnical centrifuge
model tests. Aggregates are not perfectly scaled in models. No one yet knows
exactly how sand grains interact with each other in a slope at repose such as is
shown on the back cover. In any model the aggregate of individual soil grains
depends on lines of highly stressed grains to transmit forces. Each grain has experi-
enced many previous unstable events. When lines buckle each grain moves in ways
that are affected by the weights of grains, by the energy released in buckling, and by
the local geometry of grains. Whatever is happening among those grains the
success of centrifuge tests confirms that Critical State teaching places ‘the theory
of earth pressure on a true foundation’ (in Reynolds’ words).
I have explained in the pages of this book that a true cohesion governed by the
adhesion of absorbed water films around soil grains is not proved to be applicable
in the Mohr–Coulomb equation, and it is not proved that (on the wet side of the
CS) contractive soil liquefies. If there were any true cohesion on the dry side of the
CS line, it would also be seen on the wet side, but the OCC model for Rankine’s
aggregate of grains with no adhesion works there. Figure 63 shows plastic
compression and yielding with CS friction as predicted by the OCC model fitting
the data of equilibrium after creep. The CS concept and the OCC model give
a better insight into soil behaviour than the Mohr–Coulomb hypothesis (Schofield,
2000). Geotechnical engineers should prepare themselves to work within a civil
engineering industry that knows that there are fundamental errors in the soil
mechanics that Terzaghi and Casagrande at Harvard University, and Skempton
and Bishop at Imperial College, and their colleagues, taught their students.
Amontons observed a sliding friction force independent of the slip plane contact
area, and only dependent on
0
, with a coefficient of friction of about one-third
for well-lubricated surfaces. He formulated the asperity theory that Coulomb
learned, from Professor Bossut in the Me´ zie` res engineering school and from
Be´ lidor’s engineering textbook. This theory was still taught in Paris at the E
´
cole
Polytechnique in the 19th century using the edition of Be´ lidor revised by Navier.
This 18th-century asperity theory can only apply to resistance to an initial
motion, not to steady sliding. Coulomb also learned from the physics textbook
of Musschenbroek that a component of strength due to cohesion or adhesion
acts when a solid body separates into two parts, either in tension or shear. He
questioned these theories and his experiments found these theories were not
true. Intact rock strength in tension did give a safe approximate value for rock
strength in shear, but as a designer he made the prudent assumption that all soil
is newly disturbed with no cohesion. Gouge material on a slip surface may dilate
and reach CS strength and density with quite small slip displacements.
Casagrande envisaged a critical porosity such that loose grains at higher than
critical porosity will show a decrease of volume. Taylor made experiments on
dense sand in which he rediscovered Amontons’ interlocking on the dry side of
126 DISTURBED SOIL PROPERTIES AND GEOTECHNICAL DESIGN
the CS. Terzaghi did not notice that the dense clay shear box test data of his
research student Hvorslev showed that there was a critical effective pressure
such that there true cohesion and friction did not apply when a higher effective
pressure acted. The OCC model of the behaviour of contractive aggregate
represents what is observed in the yielding and plastic compression of soft silt
and clay. Terzaghi suggested that newly disturbed reconstituted clay has a true
cohesion that depends on the closeness of clay grains to each other, and a true
friction that is less than the angle of repose of a heap of loose grains. His supposed
cohesion on the dry side of the CS was not a true soil constant for a given porosity,
but was an effect due to interlocking that applied up to and not above a critical
effective pressure.
Thurairajah’s analysis of his triaxial test data showed that the energy dissipated
in the distortion of a stressed grain aggregate depends on the effective pressure
(energy stored in grains is lost when a grain slips) and on the magnitude of the
distortion increment. An isotropic grain aggregate with this dissipation function
has states that are stable by Drucker’s criterion. The plastic yielding of the
aggregate in these states interposes states of ductile plastic compression shown
in Fig. 55 between the line of critical states and the line of unstable isotropic
compression under spherical effective pressure that replaces Casagrande’s liquefied
states. CS soil mechanics teaching follows Coulomb and Rankine. The OCC model
shows soil aggregate behaving in the way that was found at Harvard University
and in Vienna, with interlocking instability localized into a distinct slip plane on
the dry side of the CS and with stable yielding on the wet side. The process of
education and research that Terzaghi envisaged, and his Harvard soil mechanics
teaching on ‘true’ cohesion and friction, and the teaching there by Casagrande
on liquefaction, must be reappraised. This should lead to new laboratory tests
and new observations in the field. Terzaghi spoke in his Conference at Harvard
University of the need for geotechnical engineers to be well grounded in mechanics.
The work on CS concepts and the OCC model has made it clear that soil
mechanics research needed continuity over much more than 50 years, rather
than the very brief periods of Harvard and MIT research. Plastic design is an
essential part of a well-grounded education. In their textbook, Schofield and
Wroth explained the use of the undrained cohesion and drained friction para-
meters c
u
and
d
in plastic design based on disturbed soil strength rather than
on peak strengths of undisturbed soil samples. Plastic design by student engineers
based on CS strength can follow the principles of Coulomb and Rankine with a
safety factor of 1.25. Model tests give insight into appropriate deformation
mechanisms. The Frontispiece shows the importance of the effective pressure in
the behaviour of a granular aggregate. If model tests at reduced scale are to be
relied on, they require increased acceleration. The research effort and investment
in geotechnical centrifuge modelling at Cambridge University has resulted in
model test facilities and expertise that are within reach of every geotechnical
engineer throughout the world.
Goodman (1999) wrote that, after investigation of ground conditions for the
design of construction works, Terzaghi was constantly vigilant to detect nuances
in new information from a site about ground conditions; he needed equal vigilance
to realize the significance of new theories of soil behaviour, and new mathematical
GEOTECHNICAL PLASTIC DESIGN 127
formulation and experimental validation of ways to solve problems; strain
compatibility equations had to be introduced if Eqns (9) and (10) replaced Eqn
(2). To Terzaghi, the possibility of the successful mathematical treatment of
problems involving soils appeared very limited, and small-scale model tests were
‘utterly futile’, but time has passed since Terzaghi recommended a shift of the
centre of gravity of research from the study and the laboratory into the construc-
tion camp. Laboratory geotechnical centrifuge modelling, digital modelling by
numerical methods, and field observational methods are all available as research
methods that can correct soil mechanics errors. Small model tests in advance of
construction and observations during it have proved useful in the development
of understanding of the geotechnical processes in which engineers are involved.
In early stages of design, much smaller amounts of soil are available for testing
than are accessible when construction begins; if unexpected problems arise, large
blocks of undisturbed soil can be obtained and tested in a geotechnical centrifuge.
The creation of centrifuge test facilities, and publications of the ISSMGE TC2,
provide the possibility of such tests giving new physical insights to engineers
who face the challenge of geotechnical engineering in the 21st century. Soil
mechanics knowledge learned by civil engineers during 300 years must not be
forgotten, but engineers must review the changes in basic thinking on soil strength
in the past 300 years, not changing every plastic design calculation that came
down to us from Coulomb and Rankine but making a rational choice of the soil
properties to be used in them. Any engineer should bring structural material
into a tough and ductile state as far as is possible. A plastic analysis on a CS
basis will emphasize the benefits of ductility in geotechnical structures. True
cohesion now has significance only in respect of the historic misinterpretation of
Hvorslev’s data. Rankine (1874) wrote:
Earthwork gives way by the slipping or sliding of its parts on each other; and its
stability arises from resistance to the tendency to slip. In solid rock, that
resistance arises from the elastic stress of the material, when subjected to a
shearing force; but in a mass of earth, as commonly understood, it arises
partly from the friction between the grains, and partly from their mutual
adhesion; which latter force is considerable in some kinds of earth, such as
clay, especially when moist.
But the adhesion of earth is gradually destroyed by the action of air and
moisture, and of the changes of the weather, and of alternate frost and thaw;
so that its friction is the only force which can be relied upon to produce
permanent stability . . . The temporary additional stability, however, which is
produced by adhesion, is useful in the execution of earthwork, by enabling the
side of a cutting to stand for a time with a vertical face for a certain depth
below its upper edge. That depth is greater the greater the adhesion of the
earth as compared with its heaviness; but diminished by excessive wetness.
128 DISTURBED SOIL PROPERTIES AND GEOTECHNICAL DESIGN
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Index
Note: page numbers in italics refer to Figures.
7th International Society of Soil Mechanics
and Foundation Engineering
(ISSMFE) Conference 116
1947 US War Department report 79
1980 Rankine Lecture 96ÿ7, 97
abbreviations xiv
active earth pressure 14ÿ15
actuation energy 123ÿ4
Acutronic 125
adhesion viii, 12, 126, 128
airplane crashes 112ÿ13
alloy steels 113ÿ14
American War of Independence 17
American working hypothesis 79, 82ÿ3
Amontons’ friction xii, 10, 10, 15, 16ÿ17,
126
Amontons’ interlocking 126ÿ7
Ancien Re´gime 17
Andrew N Schofield & Associates Limited
(ANS&A) 125
angle of repose see slope at repose
angular momentum 123ÿ4
anisotropy viii, 99, 106
ANS&A see Andrew N Schofield &
Associates Limited
apparent cohesion 47ÿ8, 57ÿ8, 108
applied loading planes 84
Arab numerals 9
Army Air Force B-25 bomber crash 112ÿ13
army rank, Coulomb, Charles 18
asperity theory of friction xii, 10ÿ11, 10,
16ÿ18, 126
associated flow rule 91ÿ4, 95ÿ6
Atterberg’s soil classification 48
axial compression 100ÿ5
axial stress 78ÿ87
Baker, Professor J. F. 88ÿ91, 113
Baldwin Hills Reservoir, Los Angeles 121ÿ3
bearing capacity vii, viii, 125
Be´ lidor, B. F. 16ÿ17
bending 94
bolted ductile steel bomb shelters 88ÿ91, 89
bomb damage 88ÿ91, 89, 113
bomb shelters 88ÿ91, 89, 113
Boston Blue Clay 99
boundary conditions 114ÿ15
boundary energy correction 29, 61, 94ÿ5
boundary forces 68ÿ9, 68
boundary stress 4
Boussinesq, J. 75ÿ6
breathing 120ÿ1
brittle embankment dams 121ÿ3
brittle failure 113
brittle interlocking 24ÿ5, 25
BRS see Building Research Station
buckling 108
Building Research Station (BRS) 115ÿ16
bulk stress 69, 69
Bumpy Road system 123
Bureau of Reclamation 121ÿ3
Californian earthquakes 42, 121ÿ2
Calaveras Dam 34, 35
Calladin, C. R. 95ÿ6, 96
Cam Clay see original Cam Clay
cannon fire rampart protection 12ÿ13, 13
Casagrande, A.
critical porosity 126ÿ7
critical void ratio viii, 29ÿ30, 34, 38, 121
Drucker’s stability criterion 98
geotechnical plastic design 120, 121
liquefaction
critical state theory 42ÿ3, 45
failure at low effective stress 43, 45
geotechnical centrifuge developments
123ÿ4
Hazen’s liquefaction 35ÿ40, 37, 45
preface xiii
Reynold’s dilatancy 34
Skempton’s pore pressure parameters 79
soil classification 46ÿ50
Cauchy, A. L. 65, 73
CDP1 (Concrete Drilling Platform 1), Frigg
120ÿ1
cell pressure 78ÿ87
centrifuge
displacement mechanisms 117ÿ19
failure mechanisms 117ÿ19
geotechnical plastic design 114ÿ19, 125,
128
modelling 117ÿ19, 128
testing
brittle embankment dams 122ÿ3
facilities 128
foreword ix
Hvorslev’s clay strength data 63ÿ4
preface xi, xiii
Centrifuge Instrumentation and Equipment
Ltd (CIEL) 125
clay strength data 58ÿ64, 59
cohesion
Casagrande’s liquefaction 36
Coulomb’s Essay 15
Coulomb’s law 19, 20ÿ1
foreword viii
geotechnical plastic design 126, 127, 128
Hvorslev’s clay strength data 55ÿ7,
61ÿ3
Hvorslev’s shear box data 60ÿ1
interlocking 27ÿ8, 29
masonry 10ÿ12
original Cam Clay 105ÿ8, 111
preface x, xi, xii, xiii
soil behaviour maps 3
soil classification and strength 53ÿ4,
55ÿ7, 60ÿ3
soil plasticity 47ÿ8
Vauban’s fortress walls 14
Cold War 116
collapse mode 91
compaction ii 26, 41, 98
compression
Casagrande’s liquefaction 39ÿ40, 39
critical states 67, 67
frontispiece ii
Hvorslev’s clay strength data 55ÿ7, 56
limiting stress states 67, 67
original Cam Clay 99, 100ÿ5, 107ÿ10
soil classification and strength 52ÿ3, 53,
55ÿ7, 56
steel frame structure plastic design 88ÿ91
yield locus 99, 100ÿ5
concrete beams, bending 94
Concrete Drilling Platform 1 (CDP1), Frigg
120ÿ1
Conference on Pore Pressure and Suction in
Soil, London 1960 84
conjugate stress 74ÿ6, 74, 76
contraction viii, 24ÿ5, 25, 33ÿ4
contractive sand 24ÿ5, 25
convex yield locus 92ÿ3
Coriolis effect 116
Coulomb, C. A.
see also MohrÿCoulomb equation
friction tests 30
geotechnical plastic design 126
Rankine’s soil mechanics 77ÿ8
shear and tension tests 68ÿ9, 68
slip plane properties 1ÿ3, 2, 5, 7ÿ12, 8,
10, 11, 15ÿ19, 77ÿ8
Vauban’s fortress walls 13ÿ15
Coulomb’s Essay
masonry 7ÿ12, 8, 10, 11
slip plane properties 2, 5, 7ÿ12, 8, 10, 11,
15ÿ19
soil behaviour maps 2, 5
soil properties 15ÿ19
Coulomb’s law 19ÿ21
counterscarp walls 12
cracking 71
craters, bomb damage 88ÿ91, 89
creep 108ÿ9, 109
critical density 36
critical effective pressure 127
critical porosity 40, 40, 121, 126ÿ7
critical states (CS)
Casagrande’s liquefaction 38ÿ40, 42ÿ3
Coulomb, Charles 3
energy dissipation 29ÿ32
foreword vii, viii, ix
frictional dissipation of energy 29ÿ32
frontispiece ii
geotechnical plastic design 121
Herrick’s liquefaction 42ÿ3
Hvorslev’s clay strength data 50ÿ8
Hvorslev’s shear box data 58ÿ64, 58, 59
interlocking soil strength 22, 24ÿ9
limiting stress states 65ÿ87
MohrÿCoulomb strength values 78ÿ87
original Cam Clay 105ÿ7, 111, 127
preface xi, xii
Rankine’s soil mechanics 72ÿ8
Skempton’s pore pressure parameters
78ÿ87
soil behaviour maps 6ÿ7
soil classification and strength 50ÿ64, 50,
58, 59
soil stiffness 65ÿ72
soil strength 65ÿ72
strain circles 65ÿ72
INDEX 135
critical void ratio viii, 29ÿ30, 34, 121, 124
crushing 89ÿ91
crystalline packing 110
CS see critical states
cyclic dilation 33ÿ4
cyclic loading vi, 106
damage mode 91ÿ4
dams
brittle embankment dams 121ÿ3
Calaveras Dam 34, 35
Casagrande’s liquefaction 38
Fort Peck Dam, Missouri river 34ÿ5, 34,
44ÿ5
Franklins Falls Dam 38, 123
geotechnical centrifuge developments 124
geotechnical plastic design 121ÿ3
hydraulic-fill 34ÿ5, 121, 123
Lower San Fernando Dam 121
Teton Dam, Northern Idaho 7, 71, 121ÿ3
Dartford Creek 115ÿ16
deflections 89ÿ91
dense clay strengths xiii, 3
dense Ottawa standard sand shear box
tests x
dense sand 24ÿ5, 25
density 36, 38ÿ40, 39, 69
design, plastic analysis 112ÿ14
deviator stress 69ÿ71, 78, 97
dilatancy/dilation
Casagrande’s liquefaction 40
foreword viii
Hazen’s liquefied soil 32ÿ5
Hvorslev’s shear box data 61
limiting stress states 77ÿ8, 77, 78
original Cam Clay 96, 105ÿ6
Rankine’s soil mechanics 78
displacement mechanisms 117ÿ19
distortion 65ÿ8, 66ÿ8
drained axial compression 100ÿ3
drained shear tests xi, 22ÿ4, 23, 27, 28, 36,
54ÿ5
drained shearing 61ÿ2
drained triaxial test 81ÿ3, 83
Drucker’s stability criterion 91ÿ4, 98
dry side of critical ii 71ÿ2
ductile failure 94
ductile mild steel 88ÿ91, 112ÿ13
ductile yielding 113ÿ14
earth dams 38
earth pressure
Coulomb’s law 20
geotechnical centrifuge 115
Rankine’s soil mechanics 74ÿ7, 74, 76
Reynold’s dilatancy 33ÿ5
Vauban’s fortress walls 14ÿ15
earthquakes
actuation energy 123ÿ4
brittle embankment dams 121ÿ2
geotechnical centrifuge developments
123ÿ4
pore pressure transducers 116
zero effective stress 42
earthwork lateral pressure 115
effective normal forces 28
effective normal strength 23ÿ4, 24
effective overburden pressure 119ÿ20
effective pressure 22, 26, 40, 40, 43ÿ5
effective stress
Casagrande’s critical void ratio viii
circles 104, 104
failure at 43ÿ5
foreword vii, viii
Hvorslev’s clay strength data 55ÿ7
OCC yield locus 103ÿ5
preface xii
Skempton’s pore pressure 81ÿ2
elastic bending energy 18
elastic bulk modulus 69ÿ71
elastic compression 52ÿ3, 53, 99
elastic constants 69ÿ71, 80
elastic deflection 90ÿ1
elastic energy 94ÿ5
correction 94ÿ5
dissipation 30ÿ1, 31, 94ÿ5
elastic loading 99
elastic modulus 20, 69
elasticÿplastic behaviour 51ÿ2, 52, 53
elastic properties CS 69ÿ71
elastic shear modulus 69ÿ71
elastic shear strain 69ÿ71
elastic solids
Coulomb’s law 20ÿ1
soil behaviour maps 4
elastic state points 97
elastic stiffness 3, 79ÿ80
elastic strain vectors 92
elastic stressÿstrain behaviour CS 69ÿ71
elastic structural analysis 112ÿ13
elastic swelling 39ÿ40, 39, 51ÿ2, 52, 86ÿ7
electricity 18, 20, 33ÿ4
electromagnetism 18, 20, 33ÿ4
electrostatic charge 20, 33ÿ4
elongation 20, 69
embankments 12ÿ13, 13, 121ÿ3
136 DISTURBED SOIL ANALYSIS AND GEOTECHNICAL DESIGN
Empire State Building (ESB) 112ÿ13
energy dissipation
Coulomb’s law 20ÿ1
friction 29ÿ32
masonry stone skeletons 113ÿ14
original Cam Clay model 105
Reynold’s dilatancy 33ÿ5
soil behaviour maps 7
equilibrium
limiting static equilibrium 86
masonry 8, 9, 20
erosion, river 118ÿ20
ESB see Empire State Building
escarpment walls 12
ether 33
factor of safety 97
failure mechanisms 43ÿ5, 117ÿ19
fall cone tests 47ÿ8, 49
FE see finite element
Feynman’s 1963 lectures 33
fibre stress 88ÿ91
financing centrifuge developments 124ÿ5
finite element (FE) analysis 122
First International Conference on Soil
Mechanics 1936 115
fixity 124
flexibility 8
flocs 20
flood control/barriers 38, 115ÿ16
fluidized beds 35
foreword viiÿix
Fort Peck Dam, Missouri river 34ÿ5, 34,
44ÿ5
fortress walls 12ÿ15
foundation systems 124
four plane stress 67, 67
Franklin Falls Dam 38, 123
friction
asperity theory xii, 17ÿ18, 126
coefficient 30
Coulomb’s Essay 15ÿ18
Coulomb’s law 20ÿ1
energy dissipation 29ÿ32
foreword viii
frictional power dissipation 105
geotechnical plastic design 126, 127
Hvorslev’s clay strength data 55ÿ7, 62, 63
Hvorslev’s shear box data 60ÿ1
interlocking soil strength 27ÿ8
internal friction xii, xiii, 3, 57ÿ8, 77ÿ8
masonry 10ÿ11
original Cam Clay 111
power dissipation 105
preface x, xi, xii, xiii
Rankine’s soil mechanics 77ÿ8
sliding friction xii, 111, 126
soil behaviour maps 3
Vauban’s fortress walls 14
Frigg field 120ÿ1
frontispiece ii
gas 120ÿ1
genius, definition xii
Georgia Institute of Technology, Atlanta x
geotechnical centrifuge 114ÿ19
developments 123ÿ5
modelling 117ÿ19, 128
testing ix, xi, 63ÿ4, 122ÿ3, 128
geotechnical plastic design 112ÿ28
centrifuge 114ÿ17, 123ÿ5
Herrick’s liquefaction 117ÿ23
original Cam Clay 110ÿ11
Ge´otechnique Volumes 1 and 2 60ÿ1
glacis embankments 12ÿ13, 13
Gothic Perpendicular styles 9
gouge materials 7, 26ÿ9, 57ÿ8
grain aggregate 25ÿ9
grain contact forces 4
grain sizes 32
Granta Gravel 109
Haefeli, R. 61ÿ2
Hazen’s liquefaction
Casagrande’s explanation 35ÿ40, 37, 45
effective overburden pressure 119ÿ20
frontispiece ii
Herrick’s liquefaction 41, 45
levees 118
Reynold’s dilatancy 32ÿ5
heat equations 75ÿ6
heat transfer 17
Herrick’s liquefaction ii 5, 41ÿ3, 45, 117ÿ23
horizontal shear force 28
Hvorslev, M. J.
clay strength data 50ÿ8
data 58ÿ64, 58, 59, 106
peak strength viii, 11
shear box data 58ÿ64, 58, 59
shear box tests xi
surfaces 58ÿ64, 59
hydraulic failure 43ÿ5
hydraulic-fill dams 34ÿ5, 121, 123
Hydroproject 116
incipient slip limiting states 3ÿ4
INDEX 137
interlocking
Coulomb’s law 20ÿ1
critical states 22ÿ45
failure at low effective stress 44
geotechnical plastic design 126ÿ7
Hazen’s liquefied soil 32ÿ5
liquefaction 22ÿ45
masonry 10
preface x, xi, xii, xiii
soil strength 22ÿ9
Taylor’s interlocking xiii, 10, 20ÿ9, 126ÿ7
internal friction xii, xiii, 3, 57ÿ8, 77ÿ8
internal plastic work viii
International Society of Soil Mechanics and
Foundation Engineering (ISSMFE)
Conference 116, 124ÿ5
International Society of Soil Mechanics and
Geotechnical Engineering (ISSMGE)
xii
isotropic elastic continuum 69ÿ71
Istanbul ISSMGE Special Lecture vii, xii
jack-up spud fixity 124
junction growth theory 18
kaolin clay triaxial tests 106ÿ10
kaolin paste 47ÿ8, 49
kaolin triaxial tests 95ÿ6, 106ÿ10
Kiev Projekt Institute 116ÿ17
kinematically admissible mechanisms 93,
113
King’s College Chapel, Cambridge 7ÿ9,
8
laboratory centrifuge modelling 128
laboratory testing 110ÿ11
lateral earth pressure 14ÿ15, 20, 115
leaks 122ÿ3
length changes 33ÿ4
Leslie, John 17
levees 115ÿ16, 118ÿ20
limiting bending moments 88ÿ91
limiting states 3ÿ4
limiting static equilibrium 86
limiting stress states
critical states 65ÿ87
Rankine’s soil mechanics 72ÿ8
Skempton’s pore pressure parameters
78ÿ87
soil stiffness 65ÿ72
soil strength 65ÿ72
strain circles 65ÿ72
strength 65ÿ72
linear elastic bending 88ÿ91
liquefaction
see also Hazen’s liquefaction
Californian earthquakes 42
Casagrande’s critical void ratio viii
Casagrande’s explanation xiii, 35ÿ40, 37,
42ÿ3, 45, 123ÿ4
earthquakes 116
failure at low effective stress 43ÿ5
frontispiece ii
geotechnical plastic design 117ÿ23
Herrick’s liquefaction ii 5, 41ÿ3, 45,
117ÿ23
preface xiii
soil behaviour maps 5
liquefied soil 32ÿ5
liquid limit 4ÿ5
liquidity index 5
loading planes 84
loading vectors 90ÿ1, 93ÿ4
loess, China flow slides 43
London Clay 27, 63ÿ4, 100ÿ5
Lorentz’ contraction 33ÿ4
Los Angeles Division of Water And Power
121ÿ3
Lower Mississippi Valley 118ÿ19, 119
Lower San Fernando Dam 121
magnetism 18, 20, 33ÿ4
Malushitsky, Yu. N. 116ÿ17
mapping MohrÿCoulomb failure criterion
73ÿ4, 74
masonry
Coulomb’s Essay 7ÿ12, 8, 10, 11
equilibrium 8, 9, 20
King’s College Chapel, Cambridge 7ÿ9, 8
stone skeletons 113ÿ14
Vauban’s fortress walls 12ÿ15
mean normal pressure 29ÿ30
metal density 69
mild steel 88ÿ91, 112ÿ13
military service 18
Mississippi River 118ÿ19, 119
levee tests 118
mixed-damage mechanisms 89ÿ91
model modification 105, 106ÿ10
modelling of models 115
modified models 105, 106ÿ10
MohrÿCoulomb equation x
MohrÿCoulomb failure criterion 63, 72,
73ÿ4, 73ÿ4, 78, 110ÿ11
MohrÿCoulomb strength xiiÿxiii, 27,
78ÿ87
138 DISTURBED SOIL ANALYSIS AND GEOTECHNICAL DESIGN
NC normal compression lines 83
New Orleans 119ÿ20
nomenclature xivÿxvi
normal compression lines 83
normal stress 22, 23ÿ4, 24, 67ÿ8, 67
normalized peak strengths 56ÿ7, 57
normally consolidated clay 79ÿ80, 80, 82
North London 63
North Sea bed 120ÿ1, 124
Norwegian Frigg field 120ÿ1
Norwegian quick clay 43
notation xivÿxvi
nuclear weapons 116
OCC see original Cam Clay
oedometers 51
offshore platforms 120ÿ1, 124
oil 120ÿ1
On an Inversion of Ideas as to the Structure of
the Universe 32
original Cam Clay (OCC)
associated flow rule 92ÿ4
critical states 71ÿ2
critical states concepts 127
Drucker’s stability criterion 92ÿ4
foreword vii, viiiÿix
geotechnical design 110ÿ11
laboratory testing 110ÿ11
limiting stress states 71ÿ2
model modification 105, 106ÿ10
plasticity 88ÿ111
preface xiÿxii
Skempton’s pore pressure parameters
79ÿ80, 84, 85
soil behaviour maps, slip plane properties
6ÿ7
test data 105ÿ10
Tripos examination questions 100ÿ5
yield locus 96ÿ105
over consolidated clay 79ÿ80, 81
paste strength 47ÿ8
peak strength
Coulomb’s Essay 11
Coulomb’s law 21
foreword viii
Hvorslev’s clay strength data 56ÿ8,
57
Hvorslev’s shear box data 60ÿ1
interlocking soil strength 23ÿ9
preface x, xi, xii
soil classification and strength 53ÿ4,
56ÿ8, 57, 60ÿ1
peak stress circles 72
penetration depths 47ÿ8, 49
permeability 44
Philosophical Transactions of the Royal
Society 75ÿ6
piston movement 22, 24, 81ÿ2
planar sliding vii
plane stress 30ÿ1, 31, 66ÿ8, 66ÿ7
plastic, definition 4
plastic analysis 112ÿ14
plastic compression
frontispiece ii
Hvorslev’s clay strength data 62
original Cam Clay 99, 108
Skempton’s pore pressure parameters
86ÿ7
soil classification and strength 52ÿ3, 53,
62
plastic design
analysis 112ÿ14
foreword vii
geotechnical centrifuge 114ÿ17
geotechnical centrifuge developments
123ÿ5
steel frame structures 88ÿ91
theory 112ÿ28
plastic distortion 98
plastic flow 92ÿ4
plastic hardening 109
plastic hinges 58, 88ÿ91
plastic limit 4ÿ5
plastic moments 88ÿ91, 98
plastic strain 51ÿ2, 52, 78, 90ÿ4, 97
plastic strength 3, 80
plastic swelling 51ÿ2, 52
plastic work viii
plastic yielding 99
plasticity
associated flow rule 91ÿ4
critical states 71ÿ2
foreword viii
limiting stress states 71ÿ2
original Cam Clay 88ÿ111
soil classification and strength 46ÿ50
steel frame structures 88ÿ91
plasticity index 5, 48, 106ÿ7
plate loading tests 115
point bar sand deposits 120
Pokrovsky’s centrifuge 114ÿ15
pole of planes 75ÿ6
pore pressure
Casagrande’s liquefaction 36, 38ÿ40
foreword viii
INDEX 139
pore pressure (continued)
geotechnical centrifuge developments 123
Reynold’s dilatancy 35
Skempton’s parameters 78ÿ87
pore pressure transducers (PPT) 116
portal frame plasticity 88ÿ91, 90
power dissipation function 93, 94ÿ6, 98,
105, 127
PPT see pore pressure transducers
preface xÿxiii
pressure
Casagrande’s liquefaction 38ÿ40, 39
effective pressure 22, 26, 40, 40, 43ÿ5
failure at low effective stress 43ÿ5
frictional dissipation of energy 29ÿ30
interlocking soil strength 22, 23ÿ9, 24
lateral pressure 14ÿ15, 20, 115
Rankine’s soil mechanics 74ÿ5
Reynold’s dilatancy 35
quick sand 36
rampart protection 12ÿ13, 13
Randolph, Professor Mark F. viiÿix
Rankine Lecture 96ÿ7, 97, 123
Rankine, W. J. M
aggregate of grains 108ÿ9
limiting stress viii
soil mechanics 72ÿ8
stress states 76
recompression lines 86ÿ7
Rede Lecture, Senate House, Cambridge
University 32
reservoirs 121ÿ3
retaining wall stability 63
Reynold’s dilatancy 32ÿ5
rigid body displacement 65ÿ8, 66
river banks 118ÿ19, 119
rock flour and kaolin clay triaxial tests
106ÿ10
Roman numerals 9ÿ10
Roscoe, K. H.
critical states 85
simple shear apparatus 58, 60ÿ2
work dissipation 95ÿ6
Royal Society 75ÿ6
rubber sheaths 72
rupture planes 11
sally ports 13
San Fernando earthquake 121
sand, time-glasses 30ÿ1, 31
sand flow 120ÿ1
sand pressure-density relationship 38ÿ40,
39
saturated cylindrical soil slow tests 72
saturated soil ii 54
scalar-invariant parameters 70ÿ1
scaled boundary condition 63ÿ4
scaling laws 114ÿ15
sea loess 43
sediment analysis 32
seepage pressure gradient 44
segments, geotechnical centrifuge 124
sensitivity viii
shear
box tests
clay strength 51ÿ2, 51, 52, 54ÿ5
geotechnical plastic design 127
Hvorslev’s data 51ÿ2, 51, 52, 54ÿ5,
58ÿ64, 58, 59
interlocking soil strength 22ÿ4, 23,
24ÿ9
soil classification and strength 51ÿ2,
51, 52, 54ÿ5, 58ÿ64, 58, 59
boxes
Coulomb, Charles 1ÿ3
limiting stress states 77ÿ8, 77
preface x, xi, xii
soil behaviour maps 1ÿ4, 6
Casagrande’s liquefaction 38ÿ40
deformation 80, 81ÿ2
displacement 22, 28ÿ9
distortion xii, 36, 69, 70ÿ1
interlocking soil strength 22ÿ9
strength 55ÿ7, 56, 81
stress 61, 67ÿ8, 67, 69, 69, 70ÿ1
shear-loading hangers 54ÿ5
shearing vii, 61ÿ2, 70ÿ1
Shenandoah lands 1
simple shear 68ÿ9, 68
simple shear apparatus (SSA) 58, 60ÿ2, 65
Skempton’s pore pressure parameters
78ÿ87
sliding friction xii, 111, 126
slip
Rankine’s soil mechanics 73ÿ4, 73, 77ÿ8
spherical asperities 16
slip planes
Coulomb’s Essay 15ÿ19
Coulomb’s law 7ÿ12, 8, 10, 11, 19ÿ21
critical states 65ÿ8, 66ÿ8, 71
fortress walls 12ÿ15
frontispiece ii
Hvorslev’s clay strength data 51, 55, 61ÿ3
Hvorslev’s shear box data 60ÿ1
140 DISTURBED SOIL ANALYSIS AND GEOTECHNICAL DESIGN
interlocking soil strength 26ÿ9
limiting stress states 65ÿ8, 66ÿ8, 71
masonry in Coulomb’s Essay 7ÿ12, 8, 10,
11
original Cam Clay 105, 108
preface xii, xiii
properties 1ÿ21
soil behaviour maps 1ÿ7
stress vector components 65ÿ8, 66ÿ8
Vauban’s fortress walls 12ÿ15
slope angles 20ÿ1
slope at repose 10, 11, 11, 32, 77ÿ8, 77, 78
soil behaviour maps 1ÿ7
soil classification and strength 46ÿ64
Atterberg 48
Casagrande’s soil classification 46ÿ50
critical states 50ÿ64, 50, 58, 59
Hvorslev’s clay strength data 50ÿ8
Hvorslev’s shear box data 58ÿ64, 58, 59
plasticity 46ÿ50
soil planar sliding vii
soil properties, Coulomb’s Essay 15ÿ19
Soviet engineers 116
spalling ii 71
specific volume 5, 26, 29ÿ30
spherical asperities 16
spherical stress 69, 70ÿ1
spring picture 52, 52
SSA see simple shear apparatus
stability
Casagrande’s liquefaction 36ÿ40
Drucker’s stability criterion 91ÿ4
Hvorslev’s clay strength data 63
Rankine’s soil mechanics 75ÿ6
soil classification and strength 53ÿ4
static earth pressure 76ÿ7
static equilibrium 9, 20, 86
static loads 93
statically admissible stress fields 92ÿ3, 113
steady state CS flows 6
steel frame structures 88ÿ91, 112ÿ13
stiff clay x, xi
stiffness 65ÿ72, 79ÿ80
Stockholm ISSMFE conference 124ÿ5
storm wave heights 121
strain
boundary conditions xÿxi, 77
circles 65ÿ72
critical states 65ÿ72
limiting stress states 65ÿ72
strength
critical states 65ÿ72
limiting stress states 65ÿ72
original Cam Clay 111
Skempton’s pore pressure parameters
79ÿ80
soil classification 46ÿ64
stress
see also effective stress
bomb shelters 88ÿ91
circles 74ÿ5, 74, 75ÿ6, 78, 104, 104
concentrations 113ÿ14
Coulomb’s Essay 11
critical states 65ÿ87, 67
deviator stress 69ÿ71, 78, 97
distribution 112ÿ13
Drucker’s stability criterion 92ÿ4
ellipses 78
interlocking soil strength 22, 23ÿ4, 24
limiting stress states 65ÿ87, 67
normal stress 22, 23ÿ4, 24, 67ÿ8, 67
North Sea bed 121
obliquity ii 6, 70ÿ1, 107ÿ10
OCC model modifications 107ÿ10
paths 102ÿ5
ratio 28ÿ9, 74ÿ5, 74, 98ÿ100
Skempton’s pore pressure parameters
78ÿ87
steel frame structure plastic design 88ÿ91
vector components 65ÿ8, 66ÿ8, 73
swaying 89ÿ91
swelling 55ÿ7, 56
elastic 39ÿ40, 39, 51ÿ2, 52, 86ÿ7
plastic 51ÿ2, 52
Taylor, D. W.
data, OCC model 106
interlocking x, xi, xii, xiii, 10, 20ÿ9, 126ÿ7
sand data 22ÿ4, 23
Technical Committees (TCs) 124ÿ5
Tennessee Valley Authority 118
tension 11ÿ12, 88ÿ91
tensors 68ÿ9, 73
Terzaghi, K.
cohesive strength viii
effective stress principle xii, 81ÿ2
fundamental error xi
geotechnical centrifuge 115
geotechnical plastic design 115, 127ÿ8
Hvorslev’s tests 50ÿ8
MohrÿCoulomb error xi
piston movement 22, 24, 81ÿ2
test data, original Cam Clay 105ÿ7
Teton Dam, Northern Idaho 7, 71, 121ÿ3
Thompson, J. J. 33
Thompson’s creep data 108ÿ9, 109
INDEX 141
thrust lines 8
Thurairajah’s power dissipation function
93, 94ÿ6, 98, 105, 127
time-glasses 30ÿ1, 31
torsion balance 18, 20
transient deformation elastic bending
energy 18
triaxial compression 68ÿ9, 68
Triaxial Shear Research and Pressure
Distribution Studies on Soils 79
triaxial tests
critical states 65, 70ÿ1, 72
frictional dissipation of energy 29
limiting stress states 65, 70ÿ1, 72
loading planes 84
original Cam Clay 99ÿ100, 106ÿ10
Skempton’s pore pressure parameters
78ÿ87
soil behaviour maps 4, 4, 6
strains 4, 4
stresses 4, 4
Thurairajah’s power dissipation 95ÿ6,
127
yield locus 99ÿ100
Tripos examination questions 100ÿ5
true cohesion xi, xii, 21, 55ÿ7, 106ÿ7,
126ÿ8
true friction x, xii, xiii, 21, 55ÿ7, 63
truly triaxial stress components 70, 70
UK Building Research Station 115ÿ16
UMIST 115ÿ16
undrained axial compression 100ÿ1, 103ÿ5
undrained triaxial test 81ÿ3, 83
Upon Julia’s Clothes 41
USACE Waterways Experimental Station
118, 123
Vauban, Marshall 12ÿ15
vector components 65ÿ8, 66ÿ8, 73
viscosity 52ÿ3
void ratio viii, 29ÿ30, 34, 121
volume changes 22, 24, 57ÿ8, 70ÿ1, 79ÿ80,
86ÿ7
volume strain 69ÿ71
vortex effect 33ÿ4
wall stability 63
Washington, George 1
water
frictional dissipation of energy 32
Hvorslev’s clay strength data 55
Waterways Experimental Station (WES)
118, 125
wave equations 76
Weald Clay tests 80, 85
wedge of least resistance 77ÿ8
WES see Waterways Experimental Station
wet side of critical ii 71ÿ2
wet sieving 32
Winer Tegel V 59ÿ60
Wood, D. M. 79ÿ83, 80, 81, 82, 83, 85
wood fibre brushes 30ÿ1, 31
work
dissipation 88ÿ91, 92, 94, 95, 113ÿ14
interlocking soil strength 24
original Cam Clay 98, 108
Thurairajah’s power dissipation function
94, 95
yield locus 98
work-hardening metals 51ÿ2, 52
World Trade Center towers 113
World War II bomb shelters 88ÿ91
yield locus
associated flow rule 91ÿ4, 91
Drucker’s stability criterion 92ÿ3
geotechnical centrifuge developments 125
OCC model modifications 108, 109ÿ10
original Cam Clay 96ÿ105
steel frame structure plastic design 90ÿ1
yield paths 102ÿ5
yielding
Hvorslev’s clay strength data 62, 63
Hvorslev’s shear box data 59ÿ60
interlocking soil strength 24ÿ5, 25
Skempton’s pore pressure parameters
86ÿ7
work-hardening metals 51ÿ2, 52
Young’s Modulus 20, 69
zero cohesion 3, 19
zero effective stress 42, 45
142 DISTURBED SOIL ANALYSIS AND GEOTECHNICAL DESIGN

Frontispiece

ðv ; Þ map of disturbed saturated soil behaviour

Disturbed soil properties and geotechnical design

Andrew Schofield

including translation. A catalogue record for this book is available from the British Library ISBN: 0 7277 2982 9 # The Author 2005 All rights. Japan Australia: DA Books and Journals. London E14 4JD. Chuo-ku. Tokyo 103. Thomas Telford Publishing. mechanical. 1801 Alexander Bell Drive. Thomas Telford Ltd. Ltd.com Distributors for Thomas Telford books are USA: ASCE Press. Book Department. reserved. Designs and Patents Act 1988.thomastelford. poem 267 (6 lines) ‘Upon Julia’s Clothes’ by Robert Herrick from Oxford Book of English Verse edited by Quiller-Couch. www. 3–10 Nihonbashi 2-chome.Published by Thomas Telford Publishing. Except as permitted by the Copyright. electronic. USA Japan: Maruzen Co. Bodmin . While every effort has been made to ensure that the statements made and the opinions expressed in this publication provide a safe and accurate guide. Australia First published 2005 Cover photograph of Kings’ College Chapel. Thomas Telford Ltd. 648 Whitehorse Road. no liability or responsibility can be accepted in this respect by the author or publishers. stored in a retrieval system or transmitted in any form or by any means. Mitcham 3132. VA 20191-4400. Typeset by Academic þ Technical. no part of this publication may be reproduced. By permission of Oxford University Press. photocopying or otherwise. Arthur (1963). This book is published on the understanding that the author is solely responsible for the statements made and opinions expressed in it and that its publication does not necessarily imply that such statements and/or opinions are or reflect the views or opinions of the publishers. 1 Heron Quay. 1 Heron Quay. Cambridge copyright The Salmon Picture Library # Page 41. Bristol Printed and bound in Great Britain by MPG Books. Reston. without the prior written permission of the Publishing Director. Victoria. London E14 4JD.

Dedication For Margaret .

which progress from the simple planar sliding of soil towards plastic design in geotechnical engineering. and because of the author’s global approach. guiding engineers towards the class of behaviour to be expected under different combinations of effective stress and water content. The book is divided into six chapters. he commented that it was ‘heard without comprehension’. The lack of comprehension was not to do with the complexity of concepts or algebra. The aim is to lay the groundwork of understanding that should form the basis of geotechnical design. which seems to be worth investigating’. but simple ones. The ‘coffee table’ image came from a reviewer of the proposed book. After reading. but is excellent advice here: the book invites reading at a single sitting. Much of this book describes the developments leading to the original Cam Clay model. focusing on fundamentals of the shearing of soil. it is a book to be left readily available for frequent dipping. He also gave me career advice along the lines that ‘there is this new theory called critical state soil mechanics. and cut my teeth as a lecturer at Cambridge University in the group then headed by Professor Andrew Schofield. After the Special Lecture that he delivered at the 2001 International Society of Soil Mechanics and Geotechnical Engineering in Istanbul. perhaps meant as disparaging. and rather than write a conventional textbook. he had in mind the sort of book that ‘engineers might read on a flight and leave on their office coffee tables’. I have a sense of being back under examination. wondering what grade my former professor will assign. I subsequently studied for my PhD with Professor Peter Wroth. I duly bought a copy of Schofield and Wroth’s (1968) book on that subject. and a sense of the wheel having turned full circle. But Andrew Schofield is not constrained by sequence. indeed. both because it is intensely interesting. that I find myself writing a foreword to this ‘retrospective’ new book by Andrew. I undertook a project on the warping of asymmetrical steel beams with Dr Edgar Lightfoot. both for the pleasure in .Foreword In my final year as an undergraduate at Oxford University. much greater challenge rests in the arguments put forward regarding soil behaviour and the intellectual effort needed to keep pace with the author. It is therefore with humility. I took no formal lectures on soil mechanics. but with grasping the underlying message and appreciating the gap between the understanding that many experienced academic and practising engineers do indeed have. although Dr Lightfoot also gave a few lectures on slip lines and bearing capacity within an optional ‘speciality’ paper on civil engineering. and so began my education in soil mechanics. and the misleading language and teaching that pervades much education in soil mechanics. There are a few equations. with much crossreferencing – across the centuries as well as between chapters.

His assertion of cohesive bonding between soil grains. replacing them with. with detailed discussion of the nature of friction. However. In defence of his ðc. students will understand whether a sample will wish to contract or dilate. that caveat seems to have been overlooked and. but inevitably for someone so fond of dogma it is not difficult to find negative examples. Terzaghi did advocate that clay should be tested ‘under conditions of pressure and drainage similar to those under which the shear failure is likely to occur in the field’. where pore pressure dissipation would destroy any apparent c. The ability of the model to quantify these states is immediately appealing to modern students. even today. the c– strength model is taught widely and used inappropriately. As a basic framework for teaching. on the rather rare occasions where it is appropriate. is described in Chapter 5. without adjustment for the resulting high stresses. soil sensitivity and cyclic loading are readily acknowledged. the model still has much to offer. Current teaching is littered with calculations where the effective stress differs significantly from the conditions under which the strength measurements used to generate the c– fit were derived. including its background in the theory of plasticity and the experimental evidence for the internal plastic work. The basis of the original Cam Clay model. ‘cementation’. the role of interlocking. and it is refreshing to be taken through the careful experimental data on reconstituted clays on which it is based. Students who understand soil strength according to Andrew’s approach are wise to these dangers. and rejection of the usefulness of Rankine’s limiting stress states. and conditions where ductile plastic deformation might change to brittleness and fracture. Once armed with the simple concept of wet and dry of the critical state line. correcting Casagrande’s critical void ratio to allow for the effective stress level. Þ strength model. whether pore pressures generated during undrained shearing will tend to the positive or negative. however. contrasting extreme forms related to ultra-high void ratio. Modern teaching often applies such a model to bearing capacity analyses on sand. and the misinterpretation of Hvorslev’s empirical envelope of peak strengths as indicating true cohesion. respectively. and one of the many rewards for those who read the book will be the connection described here between the latter form of liquefaction and the 17th-century poet Herrick. are two such examples that are discussed at some length in Chapters 3 and 4. Limitations of this simple model in terms of anisotropy. and suitably leaven the technical arguments. and the (now classic) examination questions from the Cambridge Tripos of nearly 40 years ago. rather than them having to digest purely qualitative explanations. or to near-zero effective stress. The second chapter focuses on the critical state. Hvorslev and Taylor) and villains (Terzaghi in particular) are identified in Chapter 1. and is referred to throughout this book. and liquefaction. Historical anecdotes replace the usual glossy pictures of a coffee table book. A modest ambition for the present book might be to see the words ‘cohesion’ and ‘adhesion’ excised from our soil mechanics vocabulary. ‘shear strength’ (at a given water content and effective stress level) and. Heroes (Coulomb. or to the stability of slopes and cuts. The frontispiece illustration is the lynch-pin to the ideas the author wishes to convey. There are frequent (positive) quotations from Terzaghi’s writings in the literature.viii DISTURBED SOIL PROPERTIES AND GEOTECHNICAL DESIGN the historical anecdotes spread across the last 400 years and to reinforce the fundamental understanding of soil behaviour conveyed in the book. .

Randolph The University of Western Australia. full of insights. and in Schofield’s 1980 Rankine Lecture. and the vocabulary and nomenclature we use in describing strength models for soil. It reinforces ideas described in the original Schofield and Wroth book Critical State Soil Mechanics. it is an invitation to re-examine your basic understanding of soil behaviour. it is a call to ensure that our teaching. This is a rewarding book. Professor Mark F. Perth . For the unconverted. both technical and personal.FOREWORD ix Andrew Schofield deserves to be regarded as one of the geniuses of soil mechanics of the latter half of the 20th century. For the converted who might be tempted to dismiss the book too lightly. that the final chapter in this book is devoted to the application of the principles of critical state soil mechanics by means of centrifuge experiments conducted under conditions of stress similitude. His Fellowship of the Royal Society is based on his two remarkable contributions of original Cam Clay and the promulgation of centrifuge modelling in geotechnical engineering beyond its origins in Russia. reflect accurately the underlying concepts. It is appropriate. therefore.

After the 1948 publication of Taylor’s book.Preface This book originated with seminars that I gave in November 1999 at Georgia Institute of Technology in Atlanta. The Mohr–Coulomb equation omits interlocking. Part went into friction ms0 dx and part went to lift the weight s0 dy on the normal load hanger. Taylor calculated what happened to the work t dx at peak strength. This led to friction and interlocking components in the peak strength of dense sand ðt=s0 Þ ¼ ðm þ ðdy=dxÞÞ. Taylor in 1948 reported shear box tests on dense Ottawa standard sand. for him. Peak strength t in dense sand occurred at a point where dy=dx was a maximum. Terzaghi should have reviewed his interpretation of data of load-controlled drained tests of saturated reconstituted clay soil in a shear box. The pier is loaded by a weight. hence part of the strength they attributed to bonds among fine soil grains was not due to ‘cohesion’ but to the high relative density of stiff clay soil. The title to Coulomb’s Essay considers static problems that have solutions by calculus (which he calls ‘the rules of minimum and maximum’). The error is not that a straight Mohr– Coulomb envelope should be curved but that it contradicts the test data that Coulomb himself published in his 1773 paper. The same result is obtained if Mohr’s circles have a limiting envelope with constant cohesion and friction. The proposition that opens Coulomb’s 1773 Essay supposes that a pier is cut by an inclined plane in such a way that the two portions are connected at the cut by a given cohesion. but which take no account of strain boundary conditions. This effect is found both in laboratory shear box tests. When the upper part of his shear box was displaced laterally by dx it rose up vertically by dy as his dense sand dilated. which makes the upper portion of the pier slide along the inclined plane. Terzaghi and Hvorslev had fitted peak strength data to a line with ‘true’ friction and ‘true’ cohesion. This is the phenomenon that he called ‘interlocking’. while all the rest of the material is of perfect strength. The error in this simple analysis is that it omits a component of strength that is due to ‘interlocking’. clay such as Hvorslev . Terzaghi and Hvorslev did not have a component of peak strength due to interlocking. Coulomb resolves the load components along and normal to the inclined plane and determines the inclination of the plane for which cohesion and friction combine to give the greatest load. and in slickenside gouge material in failure planes in the field. but there was an increase of water content in the region of failure and hence a volume increase. I outlined their intended content in the following three paragraphs: There is a fundamental error in the Mohr–Coulomb equation.

Coulomb himself in his earth pressure calculation states in three places in his Essay that newly remoulded soil has no cohesion and so avoids this error. as in undrained shear tests. plus a term ðdy=dxÞ for interlocking which Coulomb never considered. is little understood. When Hvorslev (1937). Terzaghi failed to appreciate that peak strength is due to soil compaction. The physical phenomenon of peak strength is not chemical but geometrical. short and readable book is needed. This is true only if shear failure takes place at constant volume. I conceived an ideal soft cohesionless soil that I called Cam-Clay. the original Cam-Clay model. so there is interlocking. 1999).PREFACE xi tested can have no cohesion. Schofield (1998a. The thickness of a slickenside increases. It behaves like data of reconstituted soil on the wet side of critical states. and the unification of the bases for judgment’ was extended in Schofield (1980) and there is no book available anywhere that correctly clarifies Terzaghi’s fundamental error. What was described in 1968 as ‘the inter-relation of concepts. This proposal is for a 150-page book introducing and updating critical state soil mechanics. as a paste of frictional interlocking fine cohesionless soil grains. the capacity to create new types of calculation. though widely quoted. including the dry side either. shows that a simple. they attributed peak strengths of their stiff reconstituted clay soil to surface chemistry among clay soil grains. as is also found on slickenside failures in the field. Taylor’s analysis showed that the peak strength of the sand was equal to a combination of an angle of friction (the angle of repose). Mistaking interlocking for cohesion. Taylor (1948) tested dense sand in a drained shear box and in addition to slip by an amount x in the direction of the plane found what he called ‘interlocking’. working as Terzaghi’s research student. When he considered failure on an inclined plane he assumed that the slip direction was the same as the direction of the plane. In January 2000 I made a proposal to the publisher Thomas Telford for a book as described in the following three paragraphs: My experience of attempting to explain Terzaghi’s ‘Mohr–Coulomb’ error. but in general there is a volume change during shear strain of any aggregate of hard particles. hence no cohesion need be considered in any newly disturbed soil. Roscoe and Schofield (1963). b and c. Many other soil models have been proposed and used in code calculations. and the distance y between the upper and the lower halves of his shear box increased. The original Cam Clay (OCC) model is just dust and water with no chemistry and it shows the ‘apparent cohesion’ of clay. Schofield and Wroth (1968). he found an increase in water content in the vicinity of the slip plane. Dense sand grains rose up to pass each other. Values of soil ‘cohesion and friction’ cannot characterize disturbed soil compacted in road formations or in embankment dams or in fill behind retaining walls. and geotechnical centrifuge model test data are used to validate them. made shear box tests on stiff clay in a drained shear box. . and geotechnical centrifuge testing. Fundamental soil mechanics needs review because Coulomb (1773) made a simple fundamental error. Terzaghi and Hvorslev analysed their data in terms of Coulomb’s ‘true cohesion and friction’ without considering interlocking.

dated 1513. institution etc.’ and the latest. I was surprised by an anecdote that Goodman related. Schofield and Wroth (1958) took an approach to soil that treated it as an aggregate of stressed grains in which energy is dissipated during shear distortion by internal friction. with changes of stressed packing that lead to ultimate steady CS shear flow. until his own textbook could be published (Terzaghi and Peck. slip plane friction became linked with energy dissipation in sliding rather than with work done to surmount asperities. referred to below as T&P. an assistant professor at MIT. with an opening chapter titled ‘The Roots of Genius’ that considers the roots of Terzaghi’s genius. However. About the time of my seminars and of my proposal for a book. Since slip planes are observed at failure of soil. that Terzaghi and Hvorslev wrongly claimed that true cohesion and true friction in the Mohr–Coulomb model fits disturbed soil behaviour.xii DISTURBED SOIL PROPERTIES AND GEOTECHNICAL DESIGN The Shorter Oxford English Dictionary has several definitions of what is meant by the word genius. however. led me to reassess Harvard soil mechanics teaching and to offer to give the Istanbul ISSMGE Special Lecture (Schofield. Roscoe and Schofield’s original Cam Clay (OCC) model saw soil approaching CS as contractive material with a combination of plastic compression . 2001). of which the earliest. the 18th-century slip plane approach was retained in Mohr–Coulomb strength theory. Terzaghi prevented and delayed publication of a textbook by Taylor. dated 1749 is ‘a native intellectual power of an exalted type’. which is the basis for this book. Hvorslev. Geotechnical practice using Mohr–Coulomb to fit undisturbed test data has no basis in applied mechanics. This book will explain how Mohr–Coulomb theory is in error. Þ on slip planes. Critical state soil mechanics offers geotechnical engineers a basis on which to continue working. 1948. as a Harvard professor. Amontons (1699) proposed a theory that rough asperities on a slip plane are the cause of sliding friction. In preparing that lecture I learned that I was wrong to suppose that Coulomb did not consider interlocking. Coulomb’s soil mechanics started with a reasonable suggestion that the strength of soil on such planes must involve a combination of Amontons’ friction plus some cohesion. Þ values under well-defined effective stress conditions. Roscoe. Although the asperity theory of friction was discarded early in the 19th century. and my high regard for Taylor’s insight that part of the peak strength of dense sand called interlocking is due to volume increase during shear distortion. that. His insight into the effective stress principle and his founding of the International Society of Soil Mechanics and Geotechnical Engineering (ISSMGE) made Goodman and Skempton and many others see him as the genius of 20th-century soil mechanics. Goodman’s (1999) biography of Terzaghi was published. The theory is universally taught as the basis of geotechnical design and of studies that range from earth science and rock mechanics to bulk solids handling and powder technology. and that drained shear box tests of clay in Vienna by his research student. had found true ðc. Goodman’s anecdote. at the start of the 18th century (300 years before Goodman’s book). and described by Goodman as ‘the main pillar of geotechnical education’). Indeed. He taught that soil has Mohr–Coulomb strength ðc. an Istanbul lecture slide made a statement that I justify in this book. Our critical state (CS) hypothesis has stressed aggregates of grains yielding on test paths. is ‘the tutelary god or attendant of a place.

many students and colleagues with whom I worked have helped me to understand soil mechanics over these years. and before using slip planes in geotechnical analysis. consultants to the Nyasaland Protectorate (now Malawi). I met plastic design of structures in lectures by Professor J. in such a way as to explain to Henry Grace (were he still alive) how Taylor’s insight at MIT changes soil mechanics.uk/~ans/ans1. into the present years of retirement in Cambridge in which (with her support) I have completed this book. so a special thank you is due to him. Baker in the first year of my Cambridge University course in 1948. and I will reassess Casagrande’s liquefaction. The error of Harvard soil mechanics teaching on Mohr–Coulomb failure criterion and on contractive soil has been plain to see for 40 years in Figs 52 and 63. I will reinterpret dense clay strengths as the sum of internal friction and Taylor’s interlocking (Schofield. my wife Margaret has continued to encourage me over 44 years in which I have developed OCC and centrifuge tests. rather than Terzaghi’s sum of true friction and cohesion. Stuart Haigh (2002) (who as a student heard my final lectures) stayed to test models as a research student. I have tried to write this book using few equations. Andrew N. 1968). 1998a. Cambridge undergraduates studied the OCC model while studying structural plasticity. published with my colleagues and friends nearly 40 years ago. who had been a pupil first at Bristol University under Baker and then at Harvard University. I dedicate this book to my beloved wife. and has worked from a desk next to mine in the final months of my work on this book. Schofield http://www2. and Mark Randolph for writing a foreword to it. F. on low-cost road design and pavement materials location (Schofield. and I met soil mechanics in finalyear lectures by Roscoe in 1950. and to ideas on cohesion and liquefaction that differ from Terzaghi and Casagrande. While I am entirely responsible for the views expressed here.htm . In this book. Since our marriage in 1961.eng. After graduating in 1951. two acclaimed professors at Harvard University. A reader can find more words and equations in my Roscoe and Schofield (1963) paper and in my book (Schofield and Wroth. and in particular I thank Dave White for reading through a final draft of this book. Roscoe wrote to ask me to become his research student at Cambridge University. He not only read through the book but also worked out the examples in Chapter 5 and drew Figs 56 to 60. Henry Grace. I worked as a junior engineer of Scott & Wilson. under a partner. to geotechnical centrifuge model tests.ac. My studies led me to OCC.cam. 1957). I returned from Africa in 1954 with confidence both in plastic design methods and in T&P soil mechanics.PREFACE xiii and distortion. 1999).

about 2700 kg/m3 . 1(b) and Eqn (2)) Hvorslev’s true cohesion (Fig. 64) Skempton’s pore pressure parameters in Eqn (25). " Áu ¼ BA Áa ¼ BÁa thickness of a sand layer below clay (Fig. BRE) critical state at which an aggregate of grains can flow steadily critical voids ratio (an early name for CS) Empire State Building finite element. 27) ratio of the void volume to the solid volume in a grain aggregate mass of a unit volume of a solid soil grain. strength property (Fig. Schofield & Associates Ltd Building Research Station (now Building Research Establishment. 64) height of a levee on a marsh (Fig. ISSMGE) ´ Laboratoire Central des Ponts et Chausees normal compression line original Cam Clay over-compression ratio pore pressure transducer The Shorter Oxford English Dictionary Science Research Council Simple Shear Apparatus Terzaghi and Peck (1948) Technical Committee 2 of the ISSMGE US Army Corps of Engineers Waterways Experimental Station World War II LCPC NCL OCC OCR PPT SOED SRC SSA T&P TC2 USACE WES WWII Notation A B A. Áu ¼ B½Á3 þ AðÁ1 ÿ Á3 ފ Skempton’s pore pressure parameter in Eqn (26b). in a computation to solve a problem International Society of Soil Mechanics and Foundation Engineering (now International Society of Soil Mechanics and Geotechnical Engineering.Nomenclature Abbreviations ANS&A BRS CS CVR ESB FE ISSMFE Andrew N. 64) cohesion. B B0 C c c0 e Gs thickness of a marsh clay layer (Fig.

NOMENCLATURE xv g IL l l m n n0 n1 .y " . n2 PA p0 p0 p0B p0K q q s t u V v v w wL wP x y ÿ w " "x.

   M   1 ; 2 ; a ; b i ; j

the acceleration of Earth’s gravity field, about 10 m/s2 liquidity index, IL ¼ ðw ÿ wL Þ=ðwL ÿ wP Þ length of a triaxial test specimen (Fig. 2(b)) Coulomb’s equation has a constant l ¼ 2c tanð45 ÿ =2Þ (Eqn (5)) Coulomb’s equation has a constant m ¼ ð =2Þ½tanð45 ÿ =2ފ (Eqn (5)) porosity of an aggregate, n ¼ e=ð1 þ eÞ Casagrande’s (1937) critical porosity porosities (Fig. 17) the minimum force on Vauban’s wall in Coulomb’s equation (Eqn (5)), PA ¼ mh2 ÿ clh mean normal effective pressure p0 ¼ ða þ 2r Þ=3 ÿ u ¼ ð0a þ 20r Þ=3 (Fig. 2) effective pressure at CS point C (Fig. 55) the pressure at B (Fig. 18(b)) the pressure at K (Fig. 18(b)) deviator stress; q ¼ ½ðq2 þ q2 þ q2 Þ=2Š1=2 (Eqn (23)) 1 2 3 q ¼ 0a ÿ 0r (Fig. 2) in Eqn (19) and Fig. 31, s ¼ ð1 þ 2 Þ=2 in Eqn (19) and Fig. 31, t ¼ ð1 ÿ 2 Þ=2 water pressure (Eqn (1)) a point on the right of Fig. 61 specific volume of aggregate v ¼ 1 þ e (Fig. 2(a)) in Eqn (10), v ¼ v þ  ln p0 ; in Fig. 55(a) at CS, v ¼ ÿ þ  ÿ  water content ratio of the mass of pore water to the mass of solids in an aggregate water content at the liquid limit water content at the plastic limit shear box displacement (Fig. 1(a)) shear box rise (Fig. 1(a)) slip plane angle, ¼ d ¼ 458 (Fig. 4(a)) CS soil constant, ÿ ¼ v þ  ln p0 weight of a unit volume of soil, ¼ w ðGs þ eÞ=ð1 þ eÞ weight of a unit volume of water strain strain components (Fig. 30(f )) strain components (Fig. 30(g)) generalized stress obliquity in a triaxial test,  ¼ q=p0 ; at CS, ¼M slope of inclined single lines (Fig. 18(b)) slope of double lines (Fig. 18(b)) CS friction constant (Eqn (9)) friction coefficient (Eqn (2)) total stress normal to a plane (Fig. 1(a)) total stress components on planes (Fig. 33) generalized stress components (Fig. 51)

xvi

DISTURBED SOIL PROPERTIES AND GEOTECHNICAL DESIGN 

0 0f ; 0g ; 0a ; 0r  1 ; 2  d 0

effective stress (Eqn (1)) effective stresses (Fig. (11)) shear stress on a plane (Fig. 1(a)) shear stresses near and on a slip plane (Fig. 11(a)) angle of friction (Fig. 1(b)) drained angle of friction (Fig. 4(c)) angle of friction (Fig. 10(c))

Contents

Foreword Preface Nomenclature

vii x xiv

1 Slip plane properties
1.1 1.2 1.3 1.4 1.5 Maps of soil behaviour Masonry in Coulomb’s Essay Marshal Vauban’s fortress wall Soil properties in Coulomb’s Essay Coulomb’s law

1
1 7 12 15 19

2 Interlocking, critical states (CS) and liquefaction
2.1 2.2 2.3 2.4 2.5 2.6 An interlocking soil strength component Frictional dissipation of energy and the CS Reynolds’ dilatancy and Hazen’s liquefied soil Hazen’s liquefaction and Casagrande Herrick’s liquefaction Failure at low effective stress

22
22 29 32 35 41 43

3 Soil classification and strength
3.1 3.2 3.3 Casagrande’s soil classification and soil plasticity Hvorslev’s clay strength data and the CS line of clay CS interpretation of Hvorslev’s shear box data

46
46 50 58

4 Limiting stress states and CS
4.1 4.2 4.3 Strain circle, soil stiffness and strength Rankine’s soil mechanics Skempton’s parameters A and B, and CS values of c and 

65
65 73 78

5 Plasticity and original Cam Clay (OCC)
5.1 5.2 Baker’s plastic design of steel frame structures The associated flow rule and Drucker’s stability criterion

88
88 91

4 5.2 6.5 5.6 Thurairajah’s power dissipation function The OCC yield locus Test data.3 6.1 6.3 5.4 6.xviii DISTURBED SOIL PROPERTIES AND GEOTECHNICAL DESIGN 5.5 The place of plastic analysis in design Lessons from the geotechnical centrifuge Herrick’s liquefaction in models Geotechnical centrifuge developments Conclusions 112 112 114 117 123 125 References Index 129 134 . model modification and OCC teaching Laboratory testing and geotechnical design 94 96 105 110 6 Geotechnical plastic design 6.

1 Slip plane properties Coulomb was taught Amontons’ asperity theory of friction on slip planes and Musschenbroek’s cohesion theory. was drafted in his place. Coulomb applied the slip plane model to both disturbed and undisturbed soil and rock in an Essay that he wrote in French. since 1700. Commissioned a lieutenant colonel in 1754. 1773). In finding the earth pressure in the ramparts using the slip plane model. Lord Fairfax. American geotechnical engineers who have read Goodman’s book and were interested in the historical context of Terzaghi’s work may also find it interesting that Washington was born in 1732 and Coulomb 4 years later. and pursued two intertwined interests: military arts and Western expansion. and the engineer who had been posted originally fell ill. he became US Commander in Chief. In a soil shear test the total pressure  on the mid-plane is held constant. Massachusetts. A ship was sailing from Brest in February 1764. That Essay was on limiting states of masonry construction. The British gun batteries defending Boston and New York against French ships had great military importance to the armies. aged 28. Washington came from a well-born Virginia planter family. on 3 July 1775. with a study of Coulomb’s place in the history of civil engineering. and Coulomb died 6 years later. taking command at Cambridge. 1. Relevant to Architecture (Coulomb. Heyman (1972) made the Essay accessible in an English translation. he developed a new calculation that improved on what he had been taught in France. Coulomb. At 16 he helped survey Shenandoah lands for Thomas. In the War of Independence that followed. Washington died on 19 December 1799 at the very end of the 18th century. engineers have defined disturbed soil behaviour by slip plane strength properties. He was put in charge of the work in Martinique. Heyman tells of Coulomb’s experience of construction of similar fortifications as a young French Royal Engineer in Martinique. he fought in the first skirmishes of the French and Indian War. When he got back to France (in broken health after 13 years of overseas service on a fever-stricken island) he included his new earth pressure calculation in the 1773 Essay on admission to the Academy.1 Maps of soil behaviour For 300 years. On an Application of the Rules of Maximum & Minimum to Some Statical Problems. George Washington and Charles Coulomb were very much of an age. but simple experiments led him to question these 18th-century theories for the strength of soil and rock. Any water pressure u in the pores of soil or rock is subtracted from the total stress  to give the effective stress 0 . where major French fortifications were needed against possible attack by the British Navy. Figure 1(a) sketches a shear box containing soil. Coulomb’s posting there was accidental.

(a) Shear box. (c) Coulomb’s Plate 1 (French Academy of Sciences.2 DISTURBED SOIL PROPERTIES AND GEOTECHNICAL DESIGN Fig. (b) Shear box test data plots. prior to the French Revolution) . 1 Coulomb’s 1773 Essay.

In the slip plane model (Eqn (2)). as for newly disturbed soils: (Si l’on suppose que le frottment soit e´gal a la pression. in Fig. 0 Þ across the mid-plane reaches a limiting value there is a slip displacement þx (Fig. as for soils which take a slope of 458 when left to themselves and that the cohesion is zero. comme dans les terres ` ˆmes. Coulomb gave an example of the design of a high rampart such as the one that he built in Martinique with a masonry wall that retained well-drained soil. and to link internal friction with the observed slope at repose of an aggregate of disturbed soil grains. If that were so. as well as slip on planes. I will calculate soil plastic strength from the dissipation of energy in shear distortion of a unit volume of the aggregate of solid soil grains. . abandone´es a elles-me l’adhe´rance nulle. then the slope  and the intercept c of that line will give the friction angle  and cohesion c soil strength properties in Eqn (2): 0 ¼  ÿ u Æ ¼ c þ 0 ¼ c þ tan  0 ð1Þ ð2Þ Terzaghi and Hvorslev regarded the intercept c in Fig. 1(b)). and he wrote words that the reader should re-read several times: Supposing that the coefficient of friction is unity. 1(b) shows the succession of stress states on a test path that ends in slip plane . If a set of drained tests at various values of normal stress 0 gives a set of peak strength points that lie on a line BC in Fig. Maps give information about what is supposed to be known.SLIP PLANE PROPERTIES 3 normal to the slip plane (Eqn (1)). The matrix of soil grains in mechanical contact gives soil its elastic stiffness. Engineers should still learn to design for newly disturbed soil with zero cohesion. and where to look for what is not yet known. 0 Þ. ce qui a lieu dans les terres nouvellment remue´es:) The critical state (CS) concept agrees with what Coulomb puts forward here. Although the soil was well compacted. his design assumed that it had zero cohesion. and supposed that soil and rock had properties called friction and cohesion where: . I will use the word grain rather than particle (a word better used in the context of basic physics). Alternatively. dense clay strengths are reinterpreted without any cohesion at all as the sum of internal friction (on the line AC) and interlocking (bringing peak strengths up to BC). 1(b) as true cohesion due to the close approach of clay grains to each other. 1(b). friction depends on 0 but is independent of the plane area. Each dashed arrow in Fig. The 18th-century definitions of friction and cohesion were symmetrical. the same cohesion would apply at all 0 values. cohesion depends on the plane area but is independent of 0 . The Frontispiece map considers soil bodies that exhibit other mechanisms of behaviour. 5(d). 1(b) can be seen as mapping slip displacement soil behaviour at points on the map with stress state coordinates ð. when a vector of effective stress ð. si l’on suppose qui. The limiting states of incipient slip plotted on the line BC in Fig. prennent 45 degre´s de talus.

2 Triaxial test stresses and strains formation. The slip plane model does not predict all the successive forms of a specimen. if innumerable small soil grains without cohesion are to aggregate together and form a solid body. 2) is less constraining. 2(c)). points on a new map can record this. If a test shows new behaviour not predicted by the slip plane model state. The shear box allows only simple soil behaviour. just as old maps were revised with explorers’ new findings. The triaxial cell (Fig. and forces at grain contacts. Volume change in an aggregate of grains in a soil paste shows up as a change in soil water content. The geotechnical centrifuge allows even more freedom for soil bodies to exhibit failure mechanisms and unexpected behaviour. or crack with blocks moving apart from each other. When stresses change we do not see all grain movement in the aggregate in a specimen. The behaviour of a solid body that deforms under load but returns to its original form when the load is removed is called elastic. the word plastic describes the behaviour if the body is left with permanent deformation. or bulge and flow. At what is called the plastic limit wP the paste has dried to the . If soft water-saturated soil paste is allowed to dry in the air and is remoulded between the fingers. 1980) on geotechnical centrifuge modelling showed a map of soil behaviour like the Frontispiece. My Rankine Lecture (Schofield. There must be stress at boundaries. At a water content called the liquid limit wL the paste has the consistency of clotted cream. with coordinates relating to triaxial test states.4 DISTURBED SOIL PROPERTIES AND GEOTECHNICAL DESIGN Fig. A body can divide into separate blocks with slip displacement on planes. It lets some specimens fail with inclined slip planes and lets other specimens exhibit axial compression and bulge laterally (Fig. changes of behaviour are observed with the change of water content. The Shorter Oxford English Dictionary (SOED) tells us that the word ‘plastic’ in the English language is derived from the Greek word ‘plassein’ (plassein) for forming clay paste into a pot or a figure. We see and measure displacements of boundaries that are caused by integrated effects through the aggregate. with slip in one direction or the other depending on the sign Æ. One difference between soil and metal is that soil paste saturated with water shows permanent changes not only in shape but also in volume and water content.

The liquidity index IL ¼ ðw ÿ wL Þ=ðwL ÿ wP Þ expresses the current water content w of a paste relative to the liquid and plastic limits wL and wP . The mechanical behaviour of the disturbed soil that this book discusses depends on the behaviour of the aggregate that would be formed if all those grains were mixed together. Þ. but not to include another aspect of deformation that needed consideration. The innumerable clean solid grains left on the sieves are weighed to give a grading analysis. in it. There are great differences between the materials and pore water chemistry in different soil pastes. Words on the map record the behaviour seen in soil in states in various zones. He extended the slip plane model of behaviour that he had been taught to include continuous shear. as well as localized rupture on discrete slip planes. but pastes with the same liquidity index have similar mechanical behaviour. This book will discuss types of behaviour that are indicated on the map. In saturated soil with a solid grain specific gravity of Gs the weight of the solid grains and of the water in the pore space together is Gs þ e. 2(a). A point in the Frontispiece map defines a soil state in terms of two parameters ðv . 7 shows that he considered very small slips on many parallel slip planes. or rotate. in such aggregates. dried in an oven and reweighed. the specific volume v can be calculated. . many soil grains that all together have a unit volume form an aggregate in solid-to-solid contact. The specific volume v ¼ 1 þ e defines grain-packing density. v varies from one specimen to the next. with a pore volume e. deep-seated slip failure would reduce the slope angle of high heaps. It recognizes that when stressed grains slip in an aggregate they can pass or move towards or away from one another. In a zone on the left in the Frontispiece the catastrophic transition from a solid body to flowing rubble and hydraulic fracture and piping events are all linked under my heading Herrick’s liquefaction. In Fig. and the saturated unit weight of the soil is ðGs þ eÞ=ð1 þ eÞ. spherical compression of soil paste under an increase of triaxial cell pressure. The OCC model of plastic behaviour of triaxial test specimens that will be discussed later in this book does include plastic compression. Drained heaps of aggregate (whatever the height) usually have slopes at the same drained angle of repose d . his Fig.SLIP PLANE PROPERTIES 5 point at which it breaks into crumbs when we try to roll it into a thread. this angle was taken to define the internal friction in soil in the 18th century. The angle d and the Greek letter M (capital mu) in the original Cam Clay (OCC) model will be linked in Eqn (44). If a saturated soil specimen is weighed. Figure 1(c) is Plate 1 from Coulomb’s Essay. It is another difference between soil and metal that geotechnical engineers can break up soil by hand in water into slurry that is washed through a nest of sieves in their site investigation. Aggregates in which increased stress reduced d would be unusual. I will argue that soil liquefaction is not a phase transition from solid to liquid throughout an aggregate but a failure mechanism in which a soil body near to zero effective stress cracks and crumbles and is fluidized by seepage forces. Increased effective stress does not usually reduce the internal friction in an aggregate. where v ¼ v þ  ln p0 is a measure of the effective liquidity and packing of a stressed grain aggregate and  ¼ q=p0 is a measure of the stress obliquity in that aggregate. Casagrande called the range wL ÿ wP of water contents over which soil paste exhibits plastic ductility the plasticity index IP .

In drained triaxial tests the drainage dv is measured at the pore water connection (Fig. chip. and the volume strain is dv=v. the effective stress parameters. In general. A shear box has rectangular corners that make it difficult to prevent pore water from leaving the test specimen. as the obliquity of a vector of stress acting on a potential slip plane increases. slip occurs when friction is fully mobilized. As a test progresses. scratch. neglecting the possibilities of degradation or of orientation of (grains). changes of the pore water pressure u are measured. rub. where ÿ and M are the soil constants that give the CS point in the Frontispiece. more and more friction is mobilized. v Þ. A triaxial test cylinder of soil is encased in a rubber sheath that is clamped tightly to the top cap and the pedestal by rubber rings so that the volume of pore water dv that leaves the specimen is controlled. Later. however we stand back from the small details and loosely describe the whole process of power dissipation as ‘friction’. and specific volume v define an isotropic stressed aggregate stress state ðq. The stressed grain aggregate packing in triaxial test specimens changes during distortion. in Fig. 2(a)). at rest below slopes of a heap at repose). the axial strain in the test is dl=l. we will come to a simple representation of the cylinder of soil as a compression spring. state points follow a path that moves across the map in the Frontispiece. 22(b). In the zone shaded with vertical lines in the Frontispiece. In a triaxial test (Fig. vÞ. and the effective stress is calculated (Eqn (1)). and shear stress q ¼ a ÿ r . The OCC straight line in the Frontispiece follows the gradual mobilization of internal friction. friction is not fully mobilized in soil (e.6 DISTURBED SOIL PROPERTIES AND GEOTECHNICAL DESIGN In a shear box the slip plane measure of stress obliquity in cohesionless soil is =0 < tan  (Eqn (2)). the stressed-aggregate packing parameter v ¼ v þ  ln p0 combines effective pressure and specific volume. where stress ratio values are =M ¼ q=Mp0 < 1. but at the CS point where v ¼ ÿ and  ¼ M .g. and even bounce against each other during the process of continuous deformation. 2(b)). In an undrained test. Schofield and Wroth (1968) discussed steady-state CS flow with no cohesion between grains as follows: Consider a random aggregate of irregular solid (grains) of diverse sizes which tear. 2(a)). CS flow satisfies the equations v ¼ ÿ and  ¼ M. CS plastic shear flow occurs with an increase of stress obliquity and decrease of specific volume that ultimately reaches the CS value v ¼ ÿ. but we keep our distance and see a continuous flow. The triaxial test stress ratio  ¼ q=p0 in the Frontispiece is a measure of the triaxial stress obliquity. The deformation behaviour of a stressed aggregate of random disturbed solid grains of all shapes and sizes is mapped in the Frontispiece. but here a general measurement of deformation involves both a volume change dv and a distortion d" of the specimen. mean normal pressure p0 ¼ ða þ 2r Þ=3 ÿ u. At close range we would expect to find many complicated causes of power dissipation and some damage to (grains). If the motion were viewed at close range we could see a stochastic process of random movements. p0 . Compression with no distortion produces an axial strain 1 dv=v. 3 A state of a triaxial test specimen is defined by two parameters ð. If there is both volume change and distortion in a deformation. Þ. 3 d" ¼ dl=l ÿ 1 dv=v is the pure distortion (Fig. it is at rest at ðv . The ratio  ¼ q=p0 is the stress obliquity. The length of the specimen is l.

Analysis of the data of a series of triaxial tests at Cambridge University in 1962 led to a simple equation (Eqn (33)) for the dissipation of energy both in yielding and in continuous flow. The later part was decorated with proud emblems. In states in the Frontispiece on the straight OCC line the aggregate yields as paste. and another peak component due to interlocking. 1. the peak component that is due to interlocking dissipates no energy. in brittle failure mechanisms high loads impart kinetic energy to soil masses. 1963. In states on the ‘watertight slip plane’ curve.. each block of rock had faces squared to fit against the faces of adjacent blocks. when integrated. Energy is dissipated in shear distortion of a stressed aggregate. Both Coulomb and Rankine relied only on fully disturbed CS strength. defined the strength of the ideal OCC soil (Roscoe and Schofield. Strength on slip planes has a plastic component that is due to CS friction. mother of Henry VII. As construction progressed in successive bays along the length of the chapel. The early part of the work had the austerity appropriate to the pious Henry VI. as a function of effective stress and plastic strain in the aggregate. Masons erected . The Frontispiece contrasts compaction to a density at which soil is strong but ductile and safe. or the US Department of the Interior. If a body such as an embankment dam deforms as a whole with a mechanism of slip planes and zones of plastic yielding without interconnected open cracks. While CS friction usefully dissipates damaging load energy. It was safe for Coulomb to use his low safety factor of 1. In over-compacted states above CS density v < ÿ the dense aggregate of lightly stressed soil grains can have high stiffness. but a body is unsafe if it depends on interlocking peak strength components for stability. Bureau of Reclamation dam on the Teton River would not have been made safe by a 1. The OCC hypothesis that a frictional aggregate yields with small stable plastic deformation increments led to equations that. but the over-compacted soil that was used to build the Los Angeles. and their motions subsequent to failure cannot be predicted.2 Masonry in Coulomb’s Essay At this point a digression is needed about masonry. as lightly cemented heavily over-compacted soil that cracks into discrete block rubble behaves rather like random masonry. 1963a).SLIP PLANE PROPERTIES 7 the grains flow as a frictional fluid. causing high secondary permeability. Division of Water and Power reservoir in the Baldwin Hills. In the work that halted on Henry VI’s death the masons left a saw cut in one large block that they did not complete until Henry VII restarted the work.25 safety factor. a soil body fails with deformation becoming localized in layers where what is called gouge material softens to a CS paste on the slip plane. with unreliable high compaction to states with v ( ÿ of soil that is so dense and stiff that stress obliquity can rise to values as high as  ¼ 3. it remains watertight. Roscoe et al. the rose of the Tudors and the portcullis of Lady Margaret Beaufort. Water-retaining structures of such soil can fail by cracking or piping.25 if his construction retained ductility. all to the original design. When large rough blocks of stone were brought by river in the 15th century to construct King’s College Chapel in Cambridge (illustrated on the front cover) they were sawn up and chiseled into shape on site.

it reacts on the abutments. every block in an arch will settle safely on the formwork. 1874). When wedges at points in the formwork were knocked away. Such masonry structures have no cement in their joints and are flexible. 3(c)). This principle is evident in the pinnacles at the corners of King’s College Chapel (Fig. 3(a) the height of the buttress above C has been increased to increase the weight W and make P and W have a resultant R that acts within the section DE of contact in the masonry. but Heyman states that their use of models is well attested. The vector diagram APR represents the equilibrium of the masonry above section DE. The masons did not learn the graphics that engineers were taught in the late 19th century. 1995). As an arch settles. Figure 3(a).8 DISTURBED SOIL PROPERTIES AND GEOTECHNICAL DESIGN Fig. In Fig. It has been known from early times that a catenary form as adopted by a string hanging under self-weight would. If one block crushes when the full load bears on it. If the line of thrust CAR through the masonry is inverted. 3 Masonry. shows a vertical section of a buttress supporting an inclined thrust P from the roof at C in the direction CA. and lifted the heavy blocks with ropes to assemble them on the formwork. All defective material was detected and eliminated as every block survived the construction process. As the structure then moves a little. be the perfect form for an arch. it has the form that a string CR would have with W as a weight hung from the string. from Rankine’s 1874 textbook. . if inverted. (b) Chord with weight W. all the blocks descended together under gravity. a joint in the masonry can open up. forces find alternative paths but the thrust vectors in the masonry must remain in equilibrium (Heyman. (a) Thrust lines in a buttress (from Rankine. A heavy keystone in the centre of an arch makes a line of force pass from one block to the next from abutment to abutment. they could learn a lot from diminutive models. Masons then replace that defective block and repeat the process. If a great gale of wind applies a force to the structure or if the ground moves. a Parthian brick arch near the Tigris 20 miles from Baghdad at Ctesiphon exemplifies this. with a hinge along a line where two blocks make contact. (c) Plan and elevation of King’s College Chapel formwork high in the air.

Physics and mathematics have made slow progress. and the ten fingers on two hands by two scratches for the letter X. heavy stone blocks in that structure. By the time of the East Anglian masons. The King’s College Chapel vault inevitably required lateral support. The resultant of the thrust from the vault and the weight of the slab is a vector that falls within the base of these buttresses. thin lines that Wordsworth saw as lofty pillars supporting tens of thousands of stone blocks to . some of which form side chapels S. but hinges can open in a stone skeleton. the strength of all the material was tested by an observational method as construction progressed. .SLIP PLANE PROPERTIES 9 In the 15th century the Earth was considered flat. up was good and down was bad. 3(c)). When peasants first made a tally. From very early times. because no energy is dissipated in the opening and closing of any hinge. . and scooped into ten thousand cells. but use of a model as a structural analogue made Gothic construction fairly safe. an ideal structure should rise vertically to heaven without a sloping line of props or flying buttresses that were thought ugly. but when I lifted floor boards in a first-floor room of my house in Cambridge (built in about 1650) I was intrigued to see chisel cuts making Roman numerals on each beam. From inside the chapel all that can be seen are the edges of the buttress slabs in the wall of stained glass. At each corner of the chapel there is less lateral thrust of the vault than along a side. and four scratches give the letter M to denote 1000. spread that branching roof Self-poised. men such as those who built Stonehenge had to understand static equilibrium to organize the erection of the large. a stone skeleton is less safe than a modern steel skeleton structure. Between these slabs at their base there are closets. such men probably used models to learn the effects of applied loads and the thrusts in stone skeletons. and taught men to form what we call Roman numerals. The five fingers on a hand are represented by two scratches for the letter V. A line of thrust must pass through masonry blocks. but scribes needed to read such scratches quickly. Each builder who learns the skills of an older master-builder will in their turn teach the next apprentice. Two scratches < is read as the letter C for 100. projecting out at each side (Fig. it was easy to make a scratch on a rock or a piece of slate for each beast. They are unbelievably slender when compared with other famous Gothic towers that were completed at about the same time such as the leaning tower of Pisa. It will be argued later that. In Gothic Perpendicular style. provided along the length of the chapel by triangular buttress slabs. The masons of the chapel thus created an illusion of ideal Perpendicular construction without any ugly sloping lines. but the formwork provided what was in effect a full-scale apparatus for testing material. I do not know if the 17th-century builder salvaged those beams from an . No stone block is flexible. but the increased weight of each high tower T combines with these thrusts to make thrust lines that fall within the small circular bases of the towers. the skeleton is restored to the form that it had when first built. If hinges close up so that blocks fit together again. The Roman numerals were displaced by Arab numerals. From outside the side chapel walls the ugly slope of the buttresses cannot be seen against the strong vertical profile of the elegant soaring corner towers. More was known about static equilibrium than about strength in the 15th century.

which is how friction was defined in the 20th century. forming MMV. but I think if he had been asked then to mark today’s date of 2005 in a stone in the face of the house he would quickly make ten cuts. If asperities act like teeth (Fig. 5 within his Plate 1 (shown in Fig. Coulomb (1781) reported subsequent friction tests with various sliding materials. ne peut e . (b) Amontons’ asperities. or break. and have read few papers of the period. ou que par des surfaces qui glissent l’une sur l’autre. or perhaps by the molecules of the plane surfaces in contact gaining a coherence that must be overcome to produce movement: only experiment can help us to determine the reality of these different causes. This effect is what Taylor later called interlocking. he suggested that asperities on sliding surfaces cause resistance to slip. he considered other suggestions for the physical causes of resistance to slip in the slip plane model of soil strength. In that later publication (p. Coulomb’s Fig. Coulomb’s 1773 paper accepted Amontons’ friction as a first component of the internal strength of soil and rock. or as they surmount each other. I am not an expert on 17th and 18th-century engineering. and wrote of the need for new insights from further experiments as follows: The physical cause of the friction opposing the slip of surfaces on each other cannot be explained by the engagement of surface asperities that do not disengage as they bend. but an interlocking motion that surmounts smooth asperities does not dissipate energy. (La cause physique de la re´sistance oppose´e par le frottement au mouvement ˆtre explique´e. in explaining his data. No builder today would be asked to chisel those three letters in oak or in stone. with slip on smooth contact faces at an angle . cohesion and interlocking components. That skill is lost. 4 (a) Coulomb’s slip plane in rock. Amontons tested surfaces of various solid materials sliding in contact and. 117) Coulomb questioned the friction. interlocking causes a resistance to sliding of R ¼ N tan  independent of the area of contact and proportional to the force N normal to the slip plane. 4(b)). Eight years later. (c) Slope at repose older building or if he made those chisel cuts himself.10 DISTURBED SOIL PROPERTIES AND GEOTECHNICAL DESIGN Fig. 4(a)) shows compression failure of a column of undisturbed rock with a slip plane CM inclined at . The triangle of normal and shear forces R and N on CM shows that R ¼ N tan . It fits the 18th-century definition of friction. Coulomb’s Essay was one of the papers on slip and strength published by the French Academy of Science in the 18th century. Realizing that the asperity theory of friction cannot continue to apply after the first asperities have slipped past each other.

SLIP PLANE PROPERTIES 11 l’engrainage des aspe´rite´s des surfaces qui ne peuvant se de´gager qu’en se pliant. points on a line AC with slope d represent values of N. par leur proximite´. (a) Aggregate at repose in a drained heap. R at increasing depths in the slope: the same points are plotted as components of stress (force per unit area 0 . ou bien il faut supposer que les mole´cules des surfaces des deux plans en contact contractent. 1 he had a slab of limestone with two notches cut into it. (b) Forces.) Rupture planes through intact rock and slip planes through soil are rough and have asperities. hence  ¼ d . (d) Hvorslev’s peak strengths . In Fig. with a weight hung on a loop of rope. qu’en s’e´levant a la sommite´ les unes des autres. 5 Coulomb’s soil strength theory. A series of slabs of increasing thickness (Fig. force components ðN. in his Fig. ` qu’en se rompant. Figure 1(c) depicts Coulomb’s tests that showed the teaching not to be exactly true even though the strength values were close enough for practical purposes. The behaviour of loose granular aggregate such as sand or gravel (Fig. with the same effect causing both the tension and the shear strength of solids. ) normal and tangential to the slip surface in line AC (Fig. 0 Þ on a line AC in Fig. 5(c)). une cohe´rence qu’il faut vaincre pour produire le mouvement: l’expe´rience seule pourra nous de´cider sur la re´alite´ de ces diffe´rents causes. All 18th-century writers took the angle of repose d as the internal friction angle of soil. 4(c)) was explained by asperities that are teeth with smooth horizontal surfaces on which a smooth grain can move in either direction. This was thought to be well known and not to need experiment. it broke in tension across Fig. and needed experiment. 5(a)) gives limiting stress points ð. 1(c)). An 18th-century physics textbook by Musschenbroek (1729) taught that the cohesion strength component that is independent of the normal force acts effectively on a slip area and depends on the slip area. (c) Stresses. and that this cohesion resists direct separation of a solid body into parts. To measure cohesion in tension. 5(c) with a slope d . as shown by the double arrow. 5(a). In Fig. Tests of stone slabs are shown in Coulomb’s 1773 Plate 1 (Fig. 5(b). RÞ normal to and tangential to the slope at repose are applied by a slab of soil to the slope on which it rests. This was not obviously true.

Why do we not test soil in direct tension in the same way as Coulomb tested rock. Musschenbroek was in error: tensile and shear strength are different. Vauban’s glacis embankments stopped cannons from battering the masonry. the effective normal pressure.12 DISTURBED SOIL PROPERTIES AND GEOTECHNICAL DESIGN the neck section ef. 5(d)). Coulomb and Rankine did not rely on cohesion. Marshal Vauban (1633–1707) built many forts to defend France. After heavy cannon fire could bring down ramparts. and with Amontons’ suggestion that interlocking is the cause of friction. Several questions arise here for geotechnical engineers today. His Fig. adhesion and cohesion are not identical physical effects. and gave the cross-section for a masonry wall that could retain a rampart of compacted drained soil. His limestone strength data were that the notched square slab 1 inch thick with a neck 2 inches wide failed with a tensile adhesion of 215 lb/in2 and the short slab loaded with a force directed along the plane of shear by a rope that passed round it close to the clamped end failed with a cohesion of 220 lb/in2 . inwards. Defensive fire from the ramparts also swept the gradual . and his Fig. with failure both in shear and in tension. and formed an army engineer corps (Corps ´ Royale du Genie) to assist in the attack and defence of forts. do they appreciate that disturbed soil is only left with frictional shear strength? Coulomb’s case of ¼ d ¼ 458 is consistent with R ¼ N on the inclined rupture plane. 5(c)) displaced by a constant amount c0 above AC would define Coulomb’s limiting stress in undisturbed soil. an enemy could storm up the slope. over the rampart and into the fort (as in the fall of Constantinople in 1453). and as structural engineers test steel? We can never be sure if cemented bonds between grains that formed in past times have been broken by subsequent disturbance. 3 shows a longer slab with a smaller weight hung from it to cause the upper surface near the wall to fail in tension. It faced the fort wall. Hvorslev found data that fitted a line BC with c ¼ constant and  < d (Fig. 1. These strengths were almost the same. Other slabs were built into a wall. If Coulomb had wanted to include any cohesion c0 (Fig. the infantry who had to fight in the open field took heavy casualties from the fire of horse-drawn light cannon and from cavalry. but the strength in shear (cohesion) was usually slightly larger than the strength in direct tension (adhesion). where there is plastic compression ultimately at some point. If very heavy cannon fire dislodged masonry blocks so that the wall fell and the retained soil formed a slope at repose. A line BC0 (Fig. His test results for limestone were repeatable. He wrote books on this. 5(c)) in a calculation it would be a constant for undisturbed soil that is not altered by 0 .3 Marshal Vauban’s fortress wall Before the 18th century. 6) that could be swept by defensive fire from bastions. why are we less prudent than them? When engineers rely on cohesion to resist slip on new slip surfaces through undisturbed soil or on old slip surfaces that become bonded or cemented over time. A vertical wall retained the glacis. a force in a fort with high ramparts was safe but could still sally out to engage attackers. These escarpment and counterscarp walls formed a ditch (Fig. the results for brick were not. 2 shows a short slab with a heavy weight hung from a rope round it to cause shear failure. but his data did not support extension of the line to the right of C.

and he regarded the angle d of the slope . Calculus finds the least ´ ` value of P. His Fig. 4(a) there is no change of their dimensions. Coulomb had graduated from that school. where they could engage attackers at close quarters. Old cities that were garrisoned and provisioned for 18th-century defence still have esplanades. 4(a). 6. His Figs 7 and 8 (in Fig. 6 A glacis protects a rampart from cannon fire outward glacis slope. For slip of a soil wedge in a fill behind Vauban’s walls on a plane shown by the dashed lines in Fig. and later will need to recall that a slip line keeps a constant length during slip. unfamiliar with the reasoning behind the design and construction of these fortification details. Coulomb resolved the forces W and P due to the weight of the wedge and the lateral force applied by the wall to get average stresses on the slip plane. Discreet sally ports in the wall of the fort let the defenders sally out into the ditch. There are two soil constants c and  in Eqn (2). Engineers today. whatever the wall height. do not learn why Coulomb thought a wall of Vauban’s specified width at the top and with his specified batter of the face can stand up and retain soil. Coulomb regarded strength in tension as a safe approximation to shear strength c due to cementation in the absence of friction. and children still sing the Grenadier Guards song ‘Our leaders carry fuses and we the hand grenades. 5. and seen as quaint. 0 Þ into Eqn (2) gives an expression for P in terms of the length x of the horizontal face of the wedge.SLIP PLANE PROPERTIES 13 Fig. 1(c)) show slip plane and circle failure mechanisms behind a wall. redrawn here as Fig. Great cities in the 18th and 19th centuries had starshaped fortifications in plan view. while their grenadiers supported their attack by marching up the glacis under fire to throw grenades at the men on the ramparts (grenadiers faced great danger. at this point the reader should note in passing that when solid bodies are displaced to either side of a slip line such as CM in Fig. ramparts and sally gardens. shows a drained test of a column of rock under an axial load P with failure on an inclined plane CM. When a school for French Royal Engineers was opened in Mezieres in 1749 the teaching included the design of ramparts with high masonry walls under the lateral pressure of a wedge of retained soil. Introducing these stresses ð. An attacking regiment (in the Napoleonic war in the Iberian peninsular for example) had to climb the wall with ladders from the ditch. In the 21st century these are used as public spaces for leisure. with ramparts and bastions from which defensive cannon could fire at attackers. We throw them from the glacis about the enemy’s ears’).

he speaks of experience of a single slip line that is straight like aB in Fig. His whole mass slips on many parallel slip lines aB. 6 with a rampart of height h. the case where  ¼ 308 has p tanð45 ÿ pffiffiffi ¼ 1= 3. The slip plane model is still in use today. With these values of the c. no student today hears that friction derives entirely from interlocking. If the normal and shear stress on the slip plane given in the equations in Fig. supported by lateral force P from the wall and by friction and cohesion force on the plane slip surface. Coulomb could use Eqn (2) in design. The force vectors in Fig. 1(c). An engineer today can differentiate Eqn (3) to find the slope of aB for the least soil resistance and get dP=dx ¼ 0 ¼ ðc þ h tan =2Þðx2 ÿ h2 ÿ 2cxh tan Þ ¼ 0 giving x ¼ h tanð45 ÿ =2Þ ð4Þ This slip plane slope does not depend on c. Coulomb never attempted to investigate the state of stress within the backfill ’. and if we introduce these values in Eqn (4) we get values =2Þ of l ¼ 2= 3 and m ¼ 3 =2. Coulomb used Eqn (2) in a calculation of lateral earth pressure on Vauban’s wall. for a unit weight of the earth. 1(c) shows slip plane and slip circle failure mechanisms behind such a wall. Equation (3) leads to a minimum lateral earth pressure value. a0 B0 as shown in his Fig. Coulomb’s Fig. as indicated by the suffix A for PA in Eqn (5) as the wall moves outwards and the earth slips. the surface which breaks away is very close to triangular’. thus considering volumes of soil (so Terzaghi was wrong to write ‘in contrast to Rankine. experience shows that when retaining walls are overturned by earth pressures. With a variable h in Eqn (3). 1(c) rather than a curve like gB. 6 show the weight W of the triangular wedge. The engineers who use Eqn (2) today have heard different lectures to Coulomb about soil strength. 7 in Fig. but c only affects l. The slip plane is inclined at an angle of 45 ÿ =2 to the vertical. and writes ‘I assume first that the curve which gives the greatest thrust is a straight line. the active earth pressure. When he also considered soilresisting movement of a wall into the retained soil he stated that a (curved) surface . 7 in Fig. so  affects both l and m.14 DISTURBED SOIL PROPERTIES AND GEOTECHNICAL DESIGN at repose as a safe value for friction in the absence of cohesion. Coulomb’s pressure has a triangular distribution. Coulomb did explicitly consider a soil continuum when he wrote about slip surfaces through soil bodies). for example. and design standards and codes are still written in terms of cohesion and friction but with other values of cohesion and friction.  constants. he appeals to experience. Significantly. but in both cases he draws a second parallel line a0 B0 or a second parallel curve g0 B0 on which limiting stress conditions also apply. in his calculation he assumes that he knows the failure mechanism. 5 are substituted into Eqn (2) they lead to Eqn (3): P ¼ ½Wðh ÿ x tan Þ ÿ cðx2 þ h2 ފ=ðx þ h tan Þ ð3Þ What Coulomb called the rules of maximum and minimum today we would call differential calculus. that occurs with this slip plane: PA ¼ ð h2 =2Þ½tan2 ð45 ÿ =2ފ ÿ 2ch tanð45 ÿ =2Þ ¼ mh2 ÿ clh ð5Þ The constants l ¼ 2c tanð45 ÿ =2Þ and m ¼ ð =2Þ½tanð45 ÿ =2Š in Eqn (5) depend on the soilffiffiffi properties. The earth is active with this force on the wall. as shown in Fig.

4 Soil properties in Coulomb’s Essay Coulomb began his Essay with clear propositions on friction (quoting the tests of Amontons) and on cohesion (quoting his own test data). the coefficient  ¼ tan 0 fell from 3 to as little as 1. It explained the 18th-century friction component (dependent on 0 pressure normal to the plane surface but independent of the plane area). where  is a supposed material constant called the coefficient of friction. In his time. Coulomb learned the accepted theory in France in the 18th century. 7). PA ¼ PP ¼ h2 =2. Coulomb wrote Eqn (5). 4(a) has two components: friction force due to asperities is independent of the area of the slip surface and is proportional to the pressure normal to the surface. Amontons found that for slip of a wooden skid on soft earth the resisting force R was about 3 of the weight N on the skid. iron. For such lubricated hard plane surfaces he found that 4 3 this low friction coefficient value did not depend on whether the sliding material was wood. real surfaces seem flat. The energy input by the force R in his slip displacement y ¼ x tan d is conserved in the energy output to the force N (this differs from the later definition of friction where energy is dissipated in slip). writing that ‘it is desired to increase the mass of the masonry by a quarter above that which would be needed for equilibrium’. Amontons’ paper concerned friction in machines. that the resistance R on the slip plane in Fig. but machining leaves small asperities. Thus it follows that the difference between forces in fluids for which friction and cohesion are zero and those for which these quantities cannot be neglected is that for the former the (vertical) side of the vessel containing them can be supported only by a unique force while for the latter there is an infinite number of forces (P) lying between the limits PA > P > PP which will not disturb equilibrium. If this asperity theory is applied to slip through a stack of spheres (Fig. scientific observations of the motions of the planets had accurately confirmed calculations of the orbit of planets (mechanics in space without friction) but engineers made machines that had friction. and force due to .25. He speculated that the friction coefficient depends on the asperities that are left by whatever types of tools are used in the machining of hard plane surfaces.SLIP PLANE PROPERTIES 15 must be sought for which the lateral thrust is a maximum. His asperity theory was reasonable if sliding friction did not depend on the material. copper or lead. but there was much less frictional resistance 4 on any hard plane surface lubricated with old oil. Coulomb did not write Eqn (2). Amontons’ friction law can be written as R ¼ N for the normal force N and the tangential force R that are effective at an interface between sliding solid bodies. He explained that only an ideal plane surface is truly flat. Coulomb noted that if c and  are zero the lateral thrust becomes that for retained fluid. The suffix P denotes this passive lateral force PP on the wall. 1. and to check this equation he confirmed that a retaining wall with Vauban’s dimensions could resist the overturning moment of the calculated thrust with a factor of safety of at least 1. local asperity contact angles of d give a slip direction different from the slip plane and a friction coefficient of  ¼ tan d . Displacements may be so small that they are invisible.

16 DISTURBED SOIL PROPERTIES AND GEOTECHNICAL DESIGN Fig. Coulomb studied a physics textbook ´ by Musschenbroek (1729) and a textbook by Belidor (1737) that postulated (Fig. in which he wrote his own footnote on asperities as follows: Amontons’ experiments on friction of which Be´lidor speaks were published in the Memoirs of the French Academy of Science (1699). I need not say if the supposition of hemispherical asperities with which Be´lidor tries to explain Amontons’ data merits attention. etc. 7 Slip plane and slip direction (Couplet. iron. 1737) . The 3 ´ ` Mezieres school was closed by the French Revolution. Professor Navier in the early ´ cole Polytechnique created an annotated 1819 edition of Belidor’s ´ 19th-century E book. lead. when these various substances are lubricated with old oil. Fig. and is about one-third of the pressure: we will show later that this result requires some corrections. 8 Slip over spherical asperities (Be´lidor. which is quite wrong. copper. as has since been confirmed. that it is more or less the same for wood. but the same teaching ´ was continued at the Ecole Polytechnique in Paris. it calculated a value of  ¼ 1 from the slip angle geometry of hemispherical contacts. 1726) cohesion is proportional to the area of the slip surface and is independent of the pressure on that surface. nor need I delay any more here to burden these notes with useless remarks on the geometry on which his hypothesis rests. That author concludes that the resistance provided by friction is independent of the size of the area of contact. ´ ` Under Professor Bossut (1772) in Mezieres. 8) that the asperities on a pair of slip surfaces are smooth hemispheres..

qu’elle est a `s ˆme peu-pre la me pour le boix. from the effort required to make the incumbent weight mount over a succession of eminences. quand ces diverses substances sont enduites de vieux oing. Similar intellectual views led to a Scottish Enlightenment in Edinburgh. se trouvent dans les Me´moires d’ Acade´mie des Sciences pour 1699. however currently repeated. le cuivre. being moulded by its internal structure. They argued that the total area and total strength of local welds is proportional to the pressure normal to the surface. the most elaborate polish can operate no other change than to diminish the size of the natural asperities. or serrated. Il n’est pas besion de dire combine la supposition des demi spheres he´rissant la surface des corps. where David Hume was a leading figure. the total elevations will be equaled by their collateral depressions. 299–305) expressed his doubts about it as follows: If the two surfaces which rub against each other are rough and uneven.. so for them sliding . merite peu d’attention. He considered heat transfer from the Sun through space. In his book. commonly explained on the principle of the inclined plane. The mass which is drawn along is not continually ascending: it must alternately rise and fall: for each superficial prominence will have a corresponding cavity. One young Scot there was John Leslie (1766–1832). Friction is. `s-fautive. pour ne point ` charger ces notes de remarques inutiles. there is a necessary waste of force. therefore. le fer. who later became Professor of Physics at Edinburgh University. In France at the end of the Ancien Re´gime. occasioned by the grinding and abrasion of their prominences. prominent intellectuals such as Voltaire and lawyers such as Robespierre considered the possibility of changes in the Catholic Church and in the French Monarchy.SLIP PLANE PROPERTIES 17 (Les expe´riences d’Amontons sur le frottemont. In fact.) fonde´e sur cette hypothe demonstration qui est tre The American War of Independence had profound effects in all of Europe. is quite insufficient. Coulomb may well also have had this doubt. etc. But friction subsists after the contiguous surfaces are worked down as regular and smooth as possible. pp. work is dissipated due to plastic damage at welded junctions. L’auteur conclut que la re´sistance provenant du frottement est inde´pendante de la `grandeur des surfaces en contact. When Bowden and Tabor (1973) wrote their book on friction they quoted Leslie’s criticism. He knew of the French asperity theory and he queried it. and generation of heat by friction. sur laquelle Be´lidor veut appuyer le re´sultat expe´rimental d’Amontons. Leslie (1804. ce qui a e´te´ confirme´ depuis. In their theory of friction. dont Be´lidor vient de parler. and since the boundary of contact is supposed to be horizontal. le plomb. must evidently be furrowed. But this explication. but they developed another theory for sliding friction of metal surfaces in which welded junctions grow between asperities under load. Je ne m’arreˆterai pas non plus. or toothed. objecting only to ´ Belidor’s geometry. a la demonstration ge´ome´trique `se. et environ le tiers de la pression: on va voir plus bas les rectifications don’t ce dernier re´sulat est susceptible. but my deduction from the quotations of Leslie and Navier is that the asperity theory of friction was generally accepted in France when Navier himself taught it in 1819. The surface of a body.

but if the asperities are both very small and irregular then high loads are applied to successive prominent asperities with successive local elastic deflections. Coulomb published no more on friction or cohesion after 1781. bending and denting the surface. Belidor’s identical asperities are all perfectly in phase. revolutionary activity increased. went to France in the 1790 summer vacation. If energy stored in elastic asperities is not recovered in Leslie’s steady sliding. Heyman (1972) tells us that Coulomb held the army rank of Capitaine en ` Premier de la Premiere Classe when he was elected to the French Acadamy of Science in 1781. If we adopt this view we have gone a long way from the dragging-up-the-roughness model. Coulomb wrote of the molecules of the plane surfaces in contact gaining coherence. 4(b) but they did not discuss aggregates of grains. We are really talking of a deformation mechanism. This passage hints that the elastic bending energy in transient deformations is dissipated on unloading. In their book. remains unanswered. Of course one can say that work is used in dragging a body up a slope and when it gets to the top it falls with a bang. and became friendly in Orleans with a Captain Beaupuy who was in a group fighting for the lost royalist cause. . Leslie envisaged an ultimate steady slip process without dilation in which the space between the sliding surfaces is constant. William Wordsworth. describing his own experiments and putting forward the case for an inverse square law for action at a distance between electrical charges that was similar to Newton’s law of gravitation. His skill in experimental mechanics had won him recognition as what would be called a scientist in the 19th century. Coulomb in 1781 wrote that ‘only experiment can help us to decide the reality of these different causes’. On 4 August 1792 the Legislative . While friction. as a Cambridge undergraduate sympathetic to revolution. but it is no surprise that he wrote no more on friction and soil strength. like Washington.18 DISTURBED SOIL PROPERTIES AND GEOTECHNICAL DESIGN friction is due to metallic bonds with what Coulomb would have called coherence. He went back the following year. In Paris. but we cannot conclude that he thought that Eqn (2) had been fully established by scientific experiment. Their junction growth theory is accepted today in mechanical engineering. In his 13 years of military service in Martinique his health had been ruined by fever (much the same happened to 20th-century engineers constructing the Panama Canal). Bowden and Tabor showed the saw tooth slip plane of Fig. Coulomb. had lived and continued working through a time of revolution. and has been validated by experiments on metal surfaces. so that all the work done on it is lost as deformation work during impact. . With almost ´ invisible asperities such a process begins after very small displacement. He did not resolve the problem of Amontons’ asperity theory. but such welding could not explain all the data. He invented and used a torsion balance for experiments on magnetic forces that were published by the academy. they wrote that Leslie’s criticism of asperity theory . The Bastille was stormed on 14 July 1789. for example for slip of wood on wood. that could explain what he called a waste of force. cohesion and interlocking were all thought of as possible components of resistance to slip. Coulomb resigned from the army in 1790. He wrote seven papers on electricity and magnetism that were published between 1785 and 1791.

or hidden in the darkness of the foundations. Coulomb went to his house in Blois in 1793 to live outside Paris and make scientific experiments. Coulomb was elected in December 1795 to the Institut de France that replaced the former Academy of Sciences. ordinary workmen.SLIP PLANE PROPERTIES 19 Assembly voted for the abolition of all privileges and feudal rights of the Church and King. When the Academies were suppressed. design and build the upper stories. but no other branch of continuum mechanics considers the vector of stress on any plane to be important. Washington proclaimed the neutrality of the USA in respect of European wars in 1793. Since the lumps formed a slope at an angle of repose when tipped into the fill. The apparent cohesion of soil is behaviour due to solid-to-solid contact of interlocking grains. the danger on Paris streets in September 1792 is described in Charles Dickens’ Tale of Two Cities and in The Scarlet Pimpernel by Emmuska. they would seem to an 18th-century engineer to have friction but not cohesion. Royalists were massacred in Parisian prisons. . After the consolidation of power in France under Napoleon began. with each citizen contributing to them according to his capabilities. and for equality of all in France. only try to perfect that which more capable hands have created. and was active in setting up the system of lyce´e schools across France. wheeled soil lumps in a barrow and tipped them into place in fill behind a retaining wall. He had clearly stated his educational intentions 30 years earlier: ˆche´ autant qu’il m’a e´te´ possible de render les principes don’t je me suis J’ai ta servi assis claires pour qu’un Artiste un pue instruit pu les entendre & s’en servir ˆt (I hope that it is possible for me to make the principles that have served me clear enough for a builder without higher education to understand and to follow them. scattered in the lower stories. What civil engineering students should learn as Coulomb’s law rather than Eqn (2) or (5) is the truth in his Essay in the repeated words ‘Cohesion is zero in the case of newly disturbed soils’.5 Coulomb’s law The slip plane model dominates soil mechanics. While great men. They should learn to reconcile soil mechanics with the theory of plasticity. and is freely draining while it has large connected voids. it at first forms lumps that act as soft rubble. Presenting it to the Academy as a subject of practical use he wrote the Sciences are memorials dedicated to the public good. Baroness Orczy. not to electrochemical bonds that make grains cohere when they are close. The introduction to Coulomb’s 1773 Essay says that it was originally meant only for his own use in the different tasks in which he was professionally engaged. A Jacobin mob attacked the Tuileries Palace and killed the Swiss Guards. installed in the roof of the building. If an aggregate of solid grains has become cemented together to form a solid body and then is broken up. In Coulomb’s final years between 1802 and 1806 he was Inspector General of Education under Napoleon. Coulomb’s workers excavated soil by pick and shovel.) 1. Coulomb’s notable achievement in using calculus to find Eqn (5) and to explain how friction and cohesion together affect lateral earth pressure did not discover a law of nature that makes soil an exceptional continuum.

but by the early 20th century the use of the Mohr–Coulomb model of strength generally included cohesion. Ultimately. in this model. The slip plane model has remained in use. and are vigilant as their work progresses. At various stages of disturbance as the size of the aggregated lumps or grains and of the pores in the aggregate gets smaller the disturbed soil becomes less permeable. The OCC model is defined in terms of the energy dissipation in a volume of grains. He considered the static equilibrium of masonry. These components apply in drained tests in a shear box such as is sketched in Fig. By the 20th century. no shear stress component  on any possible slip surface through rock and soil may exceed a limiting value in Eqn (2). Both cohesion and friction are obtained from tests of soil in a shear box or a triaxial cell. The line with slope  through peak strength data points has cohesion c. 9(b) (Section 2.1) plots Taylor’s data of paths to peak strengths  in two tests in drained equilibrium at two different aggregate packing densities (Taylor. and gave an improved lateral earth pressure calculation that other engineers might use for backfilled walls. 1948). but engineers do not discuss dissipation or study interlocking or use the slope angle d of a heap of loose granular aggregate to define friction. The slip plane model of soil strength (Eqn (2)) with cohesion c and coefficient of friction  ¼ tan  is plotted in terms of effective stress in Fig. Þ normal and tangential to the slip plane. it forms a soft paste of silt-size grains. Coulomb invented an accurate torsion balance with which. Equation (1) is used to find stress components ð0 . 5(c)). Coulomb and Rankine designed for the case of soil with zero cohesion (states on the CS line AC in Fig. 1(a). Terzaghi and Hvorslev proposed a modification by .1). Friction was no longer explained as work done in surmounting asperities but in terms of the energy dissipation in damage to surfaces. given by the intercept of the line with the  axis. 9(b) rise to a peak and then fall to an ultimate value on the CS double line. as a scientist. As an engineer he knew that construction engineers who select materials carefully. 1(a). the total load divided by the slip plane area gives the total stress  normal to the slip plane. he got data that clarified the physics of interaction at a distance between electrostatic charges. and if there is air in some pores the soil behaviour will be too complicated to discuss in this book. or if part of the total load P across CM in granular rock body in Fig. or small grains can aggregate in flocs that settle at a terminal velocity in water related to the size of the floc.20 DISTURBED SOIL PROPERTIES AND GEOTECHNICAL DESIGN He did not report new test data supporting a law of slip plane strength. and these effective stresses are used in the slip plane model of the strength of rock and soil (Eqn (2)). Stress paths in Fig. when mixed into water each grain can act separately and be dispersed so that it settles with a velocity related to the small grain diameter. as more bonds are broken. Terzaghi taught that strength depends on effective stress. Possible forms of damage are the crushing of a soil grain or one grain scratching a face of another grain. can rely on simple serviceable principles even though these do not have the authority of physical law. elastic solids were no longer explained by Young’s modulus of elongation of a fibre normal to a particular plane but as a combination of a bulk and a shear modulus. Figure 9(a) (Section 2. 4(a) is carried by pore fluid pressure u. If pore water with a pressure u saturates the pores in the soil specimen in the shear box in Fig. Disturbance breaks cemented bonds in an aggregate of grains until.

SLIP PLANE PROPERTIES 21 which in Fig. Skempton at Imperial College regarded Terzaghi’s theories as fundamentally true. that drained slopes of heaps of aggregate at repose at an angle d give the basic friction coefficient  ¼ tan d . 5(d) the peak strengths on the line BC are regarded as the sum of true cohesion c and true friction (given by the slope of BC). and advised Roscoe to base research at Cambridge University on Hvorslev. and that peak strengths result from adding Taylor’s interlocking to this basic friction. My view is different. .

This work led to the CS concepts of the Frontispiece.2 Interlocking. In the sketch in Fig. and I have sketched curves in Figs 10 and 11 that resemble Taylor’s data in Fig. 1948) gave him an insight into energy dissipation in soil. who at his death in 1955 was an associate professor at MIT. critical states (CS) and liquefaction Where Amontons had proposed that interlocking caused friction. at the point with a maximum gradient dy/dx (although his book does not give Eqns (6). the term 0 dx relates to the work that is dissipated in friction. 9(b). Figure 10(b) shows that the shear strength  reaches a peak. 2. Figure 10(a) shows volume change with piston movement dy for a dense sand aggregate. and leads to questions on liquefaction. and the displacement dx is not in the direction of the force that is associated with the stress 0 . A different book might embark at this point on a review of published data of tests on various soils in various different shear test apparatus. I assume that at large displacement the ultimate strength falls to a CS value. and a dotted line shows the mid-plane of the box. 9(a) gives the coefficient  on the mid-plane at the maximum peak strength. a dashed line shows the piston. 1(a). The terms þ dx and ÿ0 dy in Eqn (7) relate to work that is done by stresses during boundary movements that are in the direction of the force with which they are associated. In . Figure 10(b) sketches development of the shear stress  on the mid-plane in a shear box with what Taylor called interlocking as the shear displacement x increased in a test at constant effective normal stress 0 . Taylor saw that interlocking is a maximum at peak strength. Shear box experiments on dense and loose sand (see Fig. W.1 An interlocking soil strength component Volume 6 of Ge´otechnique includes an obituary of D. Taylor. (7) and (8) below). Taylor found experimentally that ultimate steady friction and interlocking must be summed to give the peak strength on slip planes in dense sand.  dx ¼ 0 dx þ 0 dy  dx ÿ 0 dy ¼ 0 dx  ¼  þ  dy= dx 0 0 ð6Þ ð7Þ so = ¼  þ dy= dx 0 ð8Þ Taylor also saw that an increase in the effective pressure reduces the interlocking. 9(a) and Taylor. so that above a critical effective pressure there will not be an increase of volume but a reduction. In Eqn (8) the ultimate CS strength at Taylor’s large strain constant friction of Fig. but here it is more important to consider logically the consequence of the equations.

The sketched paths d. 10 The interlocking component of strength in a drained shear test . CRITICAL STATES AND LIQUEFACTION 23 Fig. e. g Þ. After high peak strengths ðPd . 11 led me to sketch curves of shear stress versus displacement for more shear box tests e. Eqn (7) and Fig. f . (a) Taylor’s sand data. 11 follow the logic of Taylor’s data. (b) Drained shear box test peaks Fig. 11(b) the peak strength on BC is the sum of friction ð0 Þ and interlocking ð0 dy= dxÞ as shown in Fig.INTERLOCKING. f and g at constant effective normal stresses ðe . Figure 10(b) gave one test d under constant effective normal stress 0d . f and g between peak and ultimate strength in Fig. 9 Shear box tests. Pe Þ on line BC in Fig. 10(c) with peak strength point P plotted on BC.

In Fig. 12(b) falls into the interlocking I or contractive C zones or on the CS line where the zones meet. but. work leaves as the normal stress 0 on the sand rises through the vertical displacement dy. Taylor assumes that the difference between these amounts of work is dissipated in internal friction and equals a quantity ð0 dxÞ found by multiplying the normal stress by the shear displacement and by a friction coefficient. In zone I in Figs 12(c) and 12(d). 11(b). Thurairajah (1961) found a dissipation function by calculating the work done in every step along a path. In Fig. in Cambridge. peak strength states on the dotted . but ultimately reaches an even higher à strength Ug > Yf . Beyond C a drained test g in Fig. in test f it does not move. The drained test at a normal stress 0g slightly higher than 0f yields with a lower yield stress Yg . 11(a). Figure 9 shows Taylor’s piston movement before and after peak strength. 12(b) the state of a test specimen gives coordinates ðv. at and after peak strength. Taylor only considered the work dissipated at peak strength. before. Every state shown in Fig. in tests d and e the piston rises. To the right of C. but this is followed by drained hardening. the test strength at large displacement falls ultimately to ðUd . The yield stress strength Yf in test f has a value greater than all the peak strengths along line BC. 12(a) the CS double line has a constant stress ratio =0 ¼ . and from the applied shear stress . The changing state of any aggregate (at peak strength and on test paths through states before and after peak) is mapped in Fig. 11(b) at constant effective pressure 0g > 0f follows the dotted path with yielding at a strength Yg < Yf . Work enters the shear box as the shear stress  moves through the shear displacement dx. so this corresponds to states with dy=dx ¼ 0. 12. 11 Interlocking decreases as pressure increases à à Fig. He assumes no work is dissipated in volume change. (7) and (8) are consistent with four supposed test paths sketched in Fig.24 DISTURBED SOIL PROPERTIES AND GEOTECHNICAL DESIGN Fig. Equations (6). as à shown on the dotted path from Yg to Ug . work still came in both from the pressure 0 on a falling piston. 0 Þ of one point. in test g it falls. In Eqn (6) the work input from vertical and shear movements are added together to provide the dissipated work. Taylor showed dense sand samples with brittle interlocking and loose contractive sand with yielding behaviour. Ue Þ on the CS line AC.

we will later find yielding of soil as a ductile frictional solid with the OCC model in this zone.INTERLOCKING. 0 Þ lines with =0 >  must be for tests with dy/dx > 0. (ii) =0 <  in zone C and (iii) at the curve where zones I and C meet in Fig. 12(b) at =0 ¼  there are states with steady CS flow. Each point on that straight line shows a state below a sliding block in Fig. 12(a). Zone C contains contractive soil states. Figure 12 shows zones C and I beside the CS line. CRITICAL STATES AND LIQUEFACTION 25 Fig. Roscoe et al. with yielding at stress states =0 <  on each dashed line. ln 0 Þ plot with the equations q ¼ Mp0 v þ  ln p ¼ v ¼ ÿ ¼ const: 0 0 ð9Þ ð10Þ In the Frontispiece the CS line with equations v ¼ ÿ ¼ const: and q=p ¼  ¼ M is reduced simply to a point. of interlocking soil behaviour. 0 Þ of steady CS flow of a grain aggregate. Zone C of contractive soil has decreasing v in drained shear as the piston falls in the shear box. The paragraph above explains that a CS curve in Fig. zone I has v increasing in drained shear as the piston rises in the shear box. (1958) found from test data for fine grain and coarse grain soil that the CS line is a straight line on a ðv. (7) and (8). The double lines in Figs 11(b) and 12 should apply to any aggregate of grains that flows with steady deformation at steady pressure and density and forms heaps with a slope at a constant angle of repose for all heap heights. For this class of aggregate we can represent CS strength by a straight double line in Fig. and represents aggregate states at various depths in a heap. Coulomb’s slip plane rupture occurs in zone I. C. 12 Variation of interlocking with soil state ðv. 12(b) must represent constant states ðv. . The argument given above suggests that aggregates that have an angle of repose should have some form of CS line. 5(a). The form of the CS curve can be found by experiment. Three possibilities exist: (i) =0 >  in zone I. The existence of the CS curve follows from Eqns (6).

When a large body of stiff fissured clay breaks up into a body of rubble it interlocks or slips. peak stress 1 must apply to all three. In Taylor’s shear box. In interlocking aggregate. where gouge material on a slip plane allows a body to deform with pore water suction. The 18th-century slip plane model was inspired by the observation of slip planes in the field. and the peak strength is marked as point 1. 11(a) curve d of  against x applies to a drained shear box test at constant 0 . Contractive soil displacement is quite different and tends to be homogeneous. and no further shear strain is possible during unloading. and Skempton and Petley’s study (1968) of localization of failure in a slip plane will be mentioned later. 12(d) by two chain-dashed lines with arrows. where a fall in the shear stress from 1 to 2 will correspond to unloading from point 1 to point 3 on curve d. as the fall from peak to ultimate strength in Figs 10 and 11 is seen as local instability on a plane through an interlocking granular aggregate. 11 are sketched to show volume change rates that correspond to the appropriate behaviour at these crossing points. both have been unloaded. If more strain occurs in the middle volume and the strength in it falls to 2 . The drained test paths in Fig. local softening or hardening follows changes of specific volume v ¼ 1 þ e. If I consider three neighbouring volumes. 11(a). across dashed and dotted curves in contractive or interlocking zones. strain in the middle volume will run ahead of strain in the neighbouring volumes. it did not exist before the instability occurred. whether the gains are sand size or clay size. 2(c). In Fig. Far on the dry side of the CS. where the shear stress is 1 . failure was not instantaneous. The ultimate strength will depend on the CS strength in layers of gouge material on contact surfaces between blocks of dense soil with interlocked grains . the increase in strain corresponds to movement from point 1 to point 2 on curve d in Fig. shown in Fig. In the CS model. approach an ultimate critical state U. The instability in a disturbed grain aggregate model continuum explains the development of such planes. 9 after peak strength rather than sudden instability. Small volumes of grains that contract will stop yielding and will form harder volumes beside neighbouring generally softer volumes. Problems of large slow consolidation deformations with yielding and plastic compression make soil states on the wet side of the CS less desirable. however. Figure 2(c) sketches a ductile test specimen of contractive soil C bulging in compression. The optimum most desirable degree of compaction for soil is just to the dry side of the CS in the Frontispiece. slip planes result from a localization of interlocking that arises as follows.26 DISTURBED SOIL PROPERTIES AND GEOTECHNICAL DESIGN The existence of a peak strength shows the failure of interlocked soil to be unstable. These blocks to either side are displaced as rigid blocks to either side of a weak localized slip surface where disturbed CS clay sucked in water and has softened. Perhaps the large sand grain size relative to the small dimensions of the box delayed localization of failure and caused a gradual fall of strength in Fig. over-compaction makes soil so stiff and brittle that cracks open. Drained test paths. A fall in strength after the peak in an interlocked aggregate localizes progressive failure in an inclined slip plane as sketched in Fig. This reduced stress 2 now applies to the two neighbouring volumes to either side. An increase in the effective pressure 0 and a decrease of the specific volume v will both reduce interlocking ðdy=dxÞ. but the body of the ground as a whole remains watertight. with undesirable high secondary permeability in the rubble.

Equations (6) and (7) lead to Eqn (8). all initially at the same specific volume but under different effective normal pressures d . rather than in terms of Mohr–Coulomb cohesion and friction. and design for fully softened strengths on the CS line instead of for peak strength is safe. and localization of displacement in incipient slip planes is delayed only by the time taken to suck a small quantity of water into the voids of a few interlocked grains as the specific volume increases. 5(c) and at a constant distance c0 above it. showing water contents in the gouge material on slip surfaces higher than in undisturbed clay beside the slip surface. and a friction component 0 ¼ 0 tan 0 (less friction because Hvorslev’s 0 < d is less than the angle of repose). Henkel (1956) discussed the phenomenon of slip planes in softening stiff fissured London Clay. The strength on line BC in Fig. Figure 10(b) sketches friction and interlocking components of strength for one specimen in a drained shear test under constant normal effective stress 0 . Clay soil grains are small.INTERLOCKING. 11. Figure 10(c) draws a line BC to fit peak strengths in the way that Hvorslev interpreted his data. where the peak stress ðÞ for dense sand is seen in Figs 10(b) and 10(c) to be the sum of two strength components: a friction component ð0 Þ and an interlocking component ð0 dy=dxÞ. If we had an unloading cycle after Yg we would find that it had yielded with plastic deformation. Figure 11(a) sketches curves of  against shear displacement x for three specimens d. The strengths at first increase along the line BC in Fig. If we think of soil as an elasto-plastic solid. 11(a) show how an increase in pressure 0 will reduce interlocking ðdy=dxÞ. the localization of failure would be a process that depended on the chance that a grain was in a position where this rotation could advance a progressive failure. 11(a) represent successive uniform states on test paths. CRITICAL STATES AND LIQUEFACTION 27 sucking water into the gouge material. The curves of  against x in Fig. (7) and (8) (which relate to work dissipated in distortion). but to the right of C as effective normal stresses on the set of soil specimens increases above 0f their ultimate strength increases along the line CD to values  ¼ 0 tan d . An alternative to the CS explanation might be a theory that any plate-like grain within the gouge material that happens to be longer than the layer thickness rotates into the slip plane direction. Strength on the slip surface is seen as due to CS friction and suction in soil paste. while a specimen is free to change volume and pressure is held constant. The . in a shear box that imposes uniform conditions in an aggregate of grains in shear. e and f. According to CS theory the strength falls only from peak strength points on BC to points on the CS line (Figs 10 and 11). then in test g before stress Yg the soil is elastic and at Yg it yields. The curves sketched in Fig. If the cohesion c0 in undisturbed rock or soil is independent of the effective pressure 0 . then Mohr–Coulomb undisturbed peak strengths lie on line BC0 that is parallel to AC in Fig. e and f . If such an explanation were developed with plate-like grains rotating to align themselves in the slip plane direction. supposing that peak strength is the sum of a large true cohesion c0 (constant as normal stresses increase). 11(b) is the sum of a CS friction component 0  ¼ 0 tan d and an interlocking component that is large at low stress at B and decreases from B to C. Equation (2) (with Mohr–Coulomb soil strength properties of friction and cohesion) can be contrasted with Eqns (6). continued displacement on such a slip plane could lead to a fall to less than CS strength. In this view of the grain aggregate. it might explain why failure of clay in Hvorslev’s shear box was sudden.

Displacements dx and dy in Fig. 12(d) the straight chain-dashed arrows represent drained test paths that approach a state U on the CS line. In a set of several different specimens the soil behaviour becomes contractive as the effective normal stress increases from 0f to 0g . 12(c)) that have steeper slopes than the double CS line at the angle of repose. High effective stress makes brittle dense aggregate become ductile. During shear displacement. Test data confirm the predictions of Eqn (7) rather than of Eqn (2). the term dy=dx is negative. 11(b) to the right of point C. and the work done by the shear force  to lift the hanger load during dilation dy is recovered. Loose sand contracts. 2(a) are associated with the horizontal shear force  and the vertical effective normal force 0 . not dissipated. the high effective pressure makes contractive soil very slippery. The interlocking effect is replaced by contraction.28 DISTURBED SOIL PROPERTIES AND GEOTECHNICAL DESIGN contribution of power input from the contractive effect suppresses the brittle peak strength along line BC and makes it easy for soil to yield to the right of C. 12 have further implications. A grain aggregate is brittle at low pressure but above the pressure denoted by point C it becomes increasingly ductile. then the term on the right in Eqn (7) is called Taylor’s dissipation function for internal friction in the aggregate of grains:  dx ÿ 0 dy ¼ 0 dx ð7 bisÞ Equations (2) and (7) can be checked if the alternative components of shear box test data at different 0 pressures are compared. 8(b). predicts the strength  both of interlocking and of contracting soil. Equation (7). At a point at which an arrow in zone D crosses a dotted curve in Fig. The normal force 0 is held constant in a drained shear test by a constant load on a loading hanger. The displacement dx is not recovered when the shear force  is removed. giving yield strengths that are on a curve below the CS double line and also below the extension of line BC. Equation (7) and Fig. giving =0 ¼ tan  <  ¼ tan d with lines (dotted in Fig. Taylor himself interpreted the interlocking component of peak strength in soil at peak stress as if it were an increase in the angle of friction  > d . Equation (2) predicts that the cohesion component of strength is unaltered by pressure. When Eqn (6) is rearranged in the form of Eqn (7). 12(d) the rate of change of the volume in a drained test or the rate of change of the pore water . In Fig. whether to the left or the right of point C in Fig. The work dissipated in the sand sample is the difference between the work done by the shear force ðþ dxÞ and the work on the rising piston ðÿ0 dyÞ. In the Frontispiece the stress ratio value  ¼ M at point C represents the whole of the CS line. In both Figs 10(c) and 11(b) the double lines of fully disturbed CS strengths  ¼ 0 ¼ 0 tan d apply to loose soil as in a heap at repose. The straight solid arrows represent undrained test paths that also approach U. and Eqn (7) predicts that =0 will be less than  in Fig. The term dy=dx in Eqn (7) is positive. 0 ðdx=dtÞ. The CS double line represents the ultimate strength of a disturbed soil specimen at large deformation under effective normal pressures g . dense sand expands. applied through the shear displacement x. A contractive component 0 ðdy=dxÞ is subtracted from the frictional component 0 . with =0 greater than . The contrast between them is clear. The peak power ðdx=dtÞ is equal to the rate of working 0 ðdy=dtÞ at the peak rate of volume change plus the power dissipated in friction.

and q ¼ 0a ÿ 0r is an isotropic invariant measure of shear stress. 12(d). which should have read ‘boundary error correction’. When the data of triaxial tests on clay began to be studied in 1950 and the work associated with volume changes of test specimens at peak strength was calculated. The state ð p0 . pore water can drain out and give the volume change of a specimen.INTERLOCKING. Schofield and Wroth (1968) taught that ultimate fully disturbed-soil grain aggregate strength is predicted by the CS steady-state Eqns (9) and (10) below. 2(b) the pore water pressure u is measured at the pore water connection in the pedestal on which the specimen stands. In Figs 12(c) and 12(d) each dashed line in zone C relates to a certain rate of soil contraction in shear. 1958) referred to this correction in our Ge´otechnique paper ‘On the yielding of soils’. we had a misprint where ‘boundary error commission’ was unfortunately printed.. 2. In a drained test. We considered the ultimate steady CS flow of test specimens. q. and the paths end at a unique critical voids ratio line. We considered an isotropic grain aggregate in terms of a void ratio e or the specific volume v ¼ 1 þ e in Fig. e and t remain constant.2 Frictional dissipation of energy and the CS Hvorslev’s thesis had already shown that CS soil behaviour applies both to clay soil and to sand 10 years before Taylor published his data of interlocking in sand in 1948. vÞ of soil changes during soil deformation. and the paths taken by samples in differing tests can be correlated if a boundary energy correction is applied. Understanding that apparent cohesion is due to interlocking is more important than introduction of a small correction to triaxial test data. Bishop (1954) introduced the term boundary energy correction for what he envisaged as a small contribution to be added to cohesion and friction to allow for the effect of interlocking on the peak strength of dense clay. the volume of space in which a unit volume of solid grains is packed. I did not understand at that time that the whole strength of disturbed soil can be found by combining Taylor’s interlocking (boundary energy correction) with CS friction in the CS model of soil behaviour. When we (Roscoe et al. CRITICAL STATES AND LIQUEFACTION 29 pressure in an undrained test has a particular value corresponding to the dotted lines in Fig. e. As the behaviour depends on the distance from the CS line in this way. We (Roscoe et al. 12(c). In an undrained triaxial test in Fig. At the critical voids ratio state unlimited deformation can take place while s0 . The final portions of all paths then lie in a unique surface. 1958) proposed the CS interpretation of triaxial compression test data we wrote these words: Hvorslev’s equation for the shear strength of clay (defines) a surface in a space of three variables s0 . Taylor showed curves like those dotted in Fig. this effect was found by Parry (1959). and another group of paths where the specific volume decreases or the pore water pressure increases. The mean normal pressure that acts effectively between the grains in an aggregate is denoted as p0 ¼ ð0a þ 20r Þ=3. data at the end of tests approaching CS should show one group of test paths in which the specific volume increases in drained tests or the pore water pressure decreases in undrained tests. The progressive yielding of a sample defines a loading path in this space. 2(a). .. t.

both when surfaces stick. but I assume that the same phenomena that cause internal friction in a grain aggregate also make a loose heap stand with a constant angle of repose. The friction coefficient is denoted by the lower-case Greek letter  in Eqn (2) and by the Greek capital letter M in Eqn (9). Since Coulomb relied on d he did need to develop this suggestion or give any further explanation of power dissipation in internal friction in soil. ÿ. constructed on land. the average distance between particle centers would decrease. if continuously distorted until they flow as a frictional fluid. Schofield and Wroth’s (1968) discussion of steady CS flow explicitly considered a process without degradation or orientation of grains. His explanation was that when wood slides on wood. This suggestion for wood could also apply to successive prominent asperities on any slip plane that are elastically stressed and suddenly unloaded in slip. and the stored energy is not recovered. and l represent basic soil material properties and the parameters q. 14(a) show a conical heap of sand at repose in the bulb in the lower half of a time-glass. 13). will come into a well defined state determined by two equations q ¼ Mp0 ÿ ¼ v þ  ln p 0 ð9 bisÞ ð10 bisÞ The constants M. Macroscopically the second equation states that the specific volume v occupied by unit volume of flowing particles will decrease as the logarithm of the effective pressure increases. We expressed the CS concept as follows: The kernel of our ideas is the concept that soil and other granular materials. Tests of a plane model of a grain aggregate with stress-sensitive circular discs seen in polarized light showed lines of highly stressed grains. stubby brushes of flexible fibres bend and store energy as they brush against each other (Fig. p0 and v are defined in due course. as follows. and when slip restarts. It noted variations of resistance to slip of wood on wood unlike slip of metal. The equations of the critical states determine the magnitude of the ‘deviator stress’ q needed to keep the soil flowing continuously as the product of a frictional constant M with the effective pressure p0 . The CS definitions above do not state what local physical phenomena cause power dissipation in CS flow. He used many materials. Coulomb made tests on lubricated sliding friction in a French naval dockyard (naval constructors have a problem if ship’s hulls. with slip at different speeds.30 DISTURBED SOIL PROPERTIES AND GEOTECHNICAL DESIGN and that only this CS strength is reliable in a plastic design. Microscopically. The function on the right side of Eqn (8) gives the dissipation of energy in internal friction in distortion of soil. When the end of a fibre slips past a restraint it springs free. also found in a discrete numerical model . His report on the tests won a double prize of the French Academy. we would expect to find that when inter-particle forces increased. Coulomb in 1781 suggested that one cause of friction is dissipation of stored elastic energy. and to grains that are elastically stressed and suddenly unloaded in an increment of deformation of an aggregate of grains. stick on the slipways and cannot be launched into the fitting-out basin). The back cover of this book and Fig.

then when a line buckles the aggregate will yield. CRITICAL STATES AND LIQUEFACTION 31 Fig. 13 Dissipation of elastic energy (wood fibre brushes) (Coulomb. 1979). 14(b)) (Cundall and Strack. This suggests an explanation that applies in the first instance to the very lightly stressed aggregate near the surface of a slope at repose where rough strong elastic grains form columns in compression. 1979) . Fig. If threedimensional frameworks of lines of highly stressed grains support the normal and shear stress in a loose aggregate below a slope at repose. (b) Aggregate in plane stress (with highly stressed grain columns) (Cundall and Strack. and they then bear new high stress.INTERLOCKING. 1781) (Fig. new lines form from grains that were lightly stressed. 14 (a) Sand in a time-glass.

CS theory has made progress with a grain aggregate law for energy dissipation in shear flow that is like a gas law. It would be impossible to record the positions and sizes of flaws everywhere. 60 and 200 m. and be unable to slump further into a slope that is less steep. He squeezed each balloon in turn. ‘silts’ and ‘sand’ for grains of 2. at some future date. they saw with surprise . In chaotic dumps of large blocks between the sizes of a bicycle or a building. without having to analyse the micro-mechanics of CS flow at the grain scale. 60 and 200 m size. it would be an impossible task at any scale to record the position and details of each surface of each block. Aggregates can form heaps with a constant angle of repose. Reynolds (1902) demonstrated dilation with two rubber balloons. when he squeezed the balloon that held grains.3 Reynolds’ dilatancy and Hazen’s liquefied soil Amontons published his paper on friction at the turn of the 18th century. forming heaps of aggregate at repose 100 m high over the area of several city blocks. each full of coloured water that his audience saw standing in a tube above each balloon. On an Inversion of Ideas as to the Structure of the Universe.32 DISTURBED SOIL PROPERTIES AND GEOTECHNICAL DESIGN Site investigations classify disturbed soil samples broken up in water. Micro-mechanical models might envisage a frictional fluid flow of hard grains of random shapes and sizes with rounded corners and edges. each hard grain has survived innumerable highly stressed loadings and has developed a rounded grain shape that make fracture of any grain increasingly unlikely. as well as when the soil state reaches the CS line (Eqns (9) and (10)). and a city block are 2. I visualize an aggregate of grains as large blocks of more familiar sizes (a bicycle. respectively). and statistical studies might explain the way that grains of widely dispersed sizes and shapes move relative to each other in CS flow. In the Frontispiece. and to find the forces at every contact of blocks where a load application might initiate fractures during chaotic motions. Wet sieving and sedimentation analyses determine grain sizes. I think the limiting condition must be when the work done as grains fall further in the Earth’s gravity field is less than the work that must be done in further distortion of the aggregate of grains. The MIT soil grain size classification uses the words ‘coarse clay’. However in the slope at repose in Fig 14(a). A CS flow of grains is like such blocks in slow motion. does not seem to have been the subject of clear discussion or of good experiments until Taylor’s work. His thought. However. that friction resulted from what Reynolds (1885) called dilatancy and Taylor (1948) called interlocking. Discrete numerical models might well develop. 2. One balloon contained only water. The other contained a dense aggregate of small solid grains with water in the voids. In a Rede Lecture in the Senate House of the Cambridge University. The audience saw water rise in the tube from the water-filled balloon but. A judgement is made about the degree to which friable grains or grain clusters may break up when soil flows as a paste in the expected failure. respectively. a building. and a CS law might result from repeated impact between elastic grains with conservation of linear and angular momentum and dissipation of energy in damped vibrations in a soil continuum. CS frictional dissipation in disturbed aggregates of grains is assumed to apply at all stages of yielding on test paths. to a point where such reasoning is as reliable as that of the kinetic theory of gases.

the vortex effect in fluid flow had been an unresolved problem until he made experiments. J. transient shrinkage of space-time geometry (Lorentz’ contraction of space-time) causes transient changes of charge density and hence changes in the electrostatic forces on nearby static electrons. Cyclic dilation could explain the oscillation of electrical charge in Maxwell’s displacement current. He respected Reynolds as his former professor. From his experiments. Lorentz’ idea was even more fantastic than Reynolds’ link . He repeated what he had said in 1885. the water moved down the tube into the enlarging voids as the aggregate dilated. but demonstration of dilation failed to make his ideas credible to a Cambridge audience that probably included one of his own Manchester students. When this happens the sand is full of water. which has to be obtained either by depressing the level of the surface against the capillary attraction or by drawing water through the interstices of the surrounding sand. J. Maxwell had died in Cambridge in 1879. Cambridge University Press published his monograph on the structure of the universe. Reynolds predicted that study of the property of dilatancy would place the theory of earth pressure on a true foundation. as the foot falls on it the sand whitens. the surface of which is kept up to that of the sand by capillary attraction. with electromagnetic waves propagating in the proposed granular ether. Reynolds suggested that dilation ‘places a hitherto unrecognized mechanical contrivance at the command of those who would explain the fundamental arrangement of the universe’. Thompson’s experimental study of conduction through gases in Cambridge had led him to the epoch-making discovery of the electron. but he had not been entirely foolish to pin his hopes on changes in length with dilation. although he squeezed the balloon.INTERLOCKING. Nobody discussed Reynolds’ granular ether after 1902. CRITICAL STATES AND LIQUEFACTION 33 that. In 1865 he had related electromagnetic waves and electrostatic displacement curves. 1965) that. Reynolds’ 1902 lecture followed 17 years of personal study (including study of how energy dissipation in the granular ether of his universe could explain why the night sky is dark). Thompson. as a distribution of moving electrons oscillates to and fro. and Gibbs had rewritten Maxwell’s relations as vector equations in 1884. It was not surprising that Reynolds should feel confident in his proposal. who had been elected in 1884 at the age of 28 to follow Maxwell as Cavendish Professor of Physics in Cambridge. more water is required. or appears momentarily to dry round the foot. the pressure of the foot causing dilatation of the sand. He thought of the ‘luminiferous ether’ as an aggregate of very small spheres with cyclic transverse shearing (electromagnetic waves) causing cyclic dilation (electric displacement currents). We can read in Feynman’s 1963 lectures (Feynman et al. He wanted in his 1902 lecture to resolve the cause of electromagnetism. a problem unresolved by Cambridge physicists. but he did not discuss earth pressure problems (he left them for engineers to solve). that this explained something that they might have seen at the seaside: A well-marked phenomenon receives its explanation at once from the existence of dilatancy in sand. Kelvin (well known for his self-confidence) had published a paper sketching granular ether with no experimental data. In 1897. but no-one had given a physical explanation of the equations linking electricity and magnetism. When the falling tide leaves the sand firm. but he rightly thought the ether dilatancy concept to be flawed.

. . Figure 15(a) illustrates the method of construction. Hazen refers to the ‘Calaveras Dam near San Francisco Cal. but a relativistic contraction of space is now accepted as the cause of electromagnetic waves. which slipped as it was approaching completion on March 24th 1918 (in which) the weight of material pushed forward in the up-stream toe was five times as great as the pressure of core material against it’. The discharge of the slurry deposits gravel and sand on an upstream and a downstream beach near to each pipeline. Figure 15(b) shows a plan view of a later but similar slide that occurred on the upstream face of Fort Peck Dam on the Missouri river in north-eastern Montana. Hazen notes that in the core very fine solid grains ‘settle down and consolidate while the water moves upward between them to the top . . but Fig. 15(c) shows the cross section of this dam.2 between the dam and its foundation. After this fine soil consolidates it forms the soft impervious core to the dam. with points p showing a pair of pipelines. . dividing the (toes) and tending to disrupt them . 15 The Fort Peck Dam failure. Hazen notes many failures during construction because fine-grained materials ‘that have not consolidated to the point of stability .34 DISTURBED SOIL PROPERTIES AND GEOTECHNICAL DESIGN Fig. while fine soil grains are carried into the pool (c) between them. and exerts the full lateral pressure corresponding to its height’ on the two shell banks. Hazen wrote that the hydraulic-fill method of dam construction grew out of the process of hydraulic mining that moves slurry in pipelines at very low cost. [The core] acts essentially as a heavy liquid . . within a reasonable length of time’. As each deposit rises. . but while the fine grains are in suspension in the core and remain fluidized with no effective stress at any depth . [The] core material is so fine in grain size that it is incapable of drainage . . Casagrande (1936) recalled Reynolds’ volume change in aggregates when he introduced the critical voids ratio concept to explain the liquefied soil that Hazen (1920) had mentioned in a paper on hydraulic-fill dam failures. . remained in almost liquid form. it forms what Hazen calls a toe dam. they hold the fine soil grains in the core pool. . However. 22 September 1938 of electromagnetism with dilation of his supposed granular ether. 15(a) calls a shell (s). From this he estimates a friction coefficient of only 0. The slurry discharge forms the beaches that create the pervious banks upstream and downstream of the core pool. . Fig.

4 Hazen’s liquefaction and Casagrande In order to write the word liquefaction at a point on the Frontispiece map I must know what the behaviour is and the state of the aggregate in which that liquefaction event occurs. 15(c)) entered the horizontal permeable layers. first on one point and then on another. As the reservoir filled. Hazen then writes: The thought has occurred to the writer. Casagrande and T&P both pick up a suggestion with which Hazen ends his paper on quicksand conditions in dams. 2. successively. as the early points of concentration were liquefied and in that way a condition comparable to quicksand in a large mass may have been produced. The uplift pressure below the upstream embankment slope reduced the friction resisting the lateral pressure of the fluidized core.yd. in looking at the material that slid in the Calaveras Dam. He continues: It may be that after the first movement there was some readjustment of the material in the toe which resulted in producing temporarily this condition of quicksand. and engineers employed water jetting to assist penetration. of fill flowed for a brief space. High hydraulic pressure at the base of the core. When the lake was drained after the failure. and was transmitted laterally. T&P distinguish between this and the condition of a small group of very fine and very loose sands when they become ‘quick’ even without a critical hydraulic gradient. Piles were used to support the hydraulic pipelines.000 cu. 15(b)) shows that a length of the upstream shell rotated as a rigid body (swung open like a ‘barn door’) and let core material flow upstream into the lake. . During construction. and which destroyed for a moment the stability of the material and facilitated the movement that took place . water issued from pressure relief wells R at the downstream toe of the dam. The condition in the hydraulic fill as solid grains settle down and consolidate while the water moves upward between them to the top is no different from that described by Terzaghi and Peck (1948) (T&P) when an upward seepage gradient causes sand to boil in the floor of an open excavation. . This will not account for the initial movement. and a corresponding uplift pressure must have acted (unseen) below the upstream bank. At Hazen’s points of concentration a sudden reduction of forces . but the initial movement of some part of the material might result in accumulating pressure. Piling proved hard. . Every time a pipe was moved. and then became solid . the soil that had flowed from the core lay as a horizontal layer across the lakebed. That increased the pore pressure in the region of failure.INTERLOCKING. new piles had to be installed. CRITICAL STATES AND LIQUEFACTION 35 the total core pressure acts as a pore fluid pressure. He discusses the possible effect of a sudden blow or shock that crushes the edges and points of contact between grains to liquefy a certain volume and make quicksand (for a few seconds until the surplus water can get out). Aerial photographs of the failure on 22 September 1938 (Fig. Chemical engineers achieve this condition in fluidized beds. transmitted down the sides of the cut-off wall sheet piles (Fig. the effective vertical stress below the upstream shell was reduced to only the buoyant weight of the soil. . and they have a body of research dealing with it. that something of this kind may have happened on a large scale – 800.

The stable case is like a flexible beam on two supports bearing a central load. the distance will decrease if the aggregate is loose (Figs 16(c) and 16(d)). the effective pressure 0 in the grain aggregate will increase. which. to become temporarily more stable’. On the other hand. with unstable bearing failure when soil stress reaches the peak shear strength. To describe the way that he thought of his special flow structure spreading through a loose aggregate under high effective stress he used the words chain reaction (echoing words used to describe propagating nuclear reactions). Casagrande explained that a grain aggregate that is subject to shear distortion has one critical density at which it can be distorted without volume change. Hazen wrote of a sharp blow that ‘makes quicksand for only a few seconds until the surplus water can find its way out’. crushing points and edges of grains. The distance between an upper and a lower metal plate will increase if the aggregate is initially dense (Figs 16(a) and 16(b)). He gave curves of shear stress in drained shear tests versus shear box displacement (Fig. If it is more dense than critical. It caused liquefaction flow. in an undrained distortion when the porosity is higher than critical there will be a positive pressure u in incompressible pore water. 1936) sketched the data of a shear box test of an aggregate of irregular hard soil grains (Fig. In this view. so in an instant a body of water-saturated contractive sand liquefies in a rapid flow of loose sand at constant volume. He made a laboratory experiment with a loose sand model in a tank. will increase the frictional strength so that ‘the mass seems to be bracing itself. The sudden fall in the aggregate stress is replaced by a sudden rise in pore water pressure. 16(e)). Pore water cannot drain away instantly.36 DISTURBED SOIL PROPERTIES AND GEOTECHNICAL DESIGN at contact between grains results from a shock pressure. the effective stress fell to a value near zero as a high transient pore pressure was generated. Casagrande expected an uncontrolled flow of energy in contractive soil to cause a phase transition. In undrained distortion this pore enlargement is prevented by incompressible pore water that develops suction. liquefaction . contrasting stable settlement of a building when clay consolidates. 16). Casagrande equated this event with an instability (like the buckling of a strut) that occurs in a shear test path. like the change when a crystalline solid melts and becomes a liquid. Casagrande once saw a rock rotate as it entered a hydraulic-fill pipe. When he compares liquefaction of contractive sand to the instability of a pencil stood on its point. the energy that the pencil gains as it falls in the Earth’s gravity gives the pencil increasing momentum. He began his 1936 paper with a section on ‘the meaning of the term stability’. His explanation (Casagrande. The aggregate of loose grains had been a rigid solid until. Figure 16(e) indicates the sort of test path to be expected from sand in a shear box if displacement increases steadily. Casagrande proposed that all saturated soil without cohesion was at risk of liquefaction if in a contractive state. and a fall in the effective pressure 0 . the specific volume of interlocked grains must increase in a drained test. as the pore water pressure u in Eqn (1) is reduced. High transient positive pore pressure eliminates positive effective stress that could have generated frictional resistance. but the total stress still has to be carried after the shock has passed. Casagrande says. He struck the tank with a hammer. and water is sucked into pores that enlarge during distortion. all in an instant. which led him to think that grain rotation can change an interlocked grain structure to a flow structure. his analogue of instability is an attempt to stand a pencil upright on its pointed end.

CRITICAL STATES AND LIQUEFACTION Fig. 16 Casagrande’s (1936) explanation of liquefaction 37 .INTERLOCKING.

18(a) on axes of n. When playing-cards are built up into a fragile house. 17 become straight lines when plotted on a log stress base in Fig. both loose and dense sand ultimately reach a critical porosity n0 where sand flows at constant shear stress. After large displacement. He supposes that drained shear at constant pressure takes the sand from a state at B to a state C at what he calls the curve of compression with large deformation. Curve DC in Fig. compared with compression combined with drained shear. Here and in Fig. where the risk of his liquefaction is eliminated. with skill. The curves in Fig. Casagrande explained pore pressure changes during shear in detail as follows. Mass. published in 1958. we sent him a copy of the theory but he made no comment. another floor can. would not be at risk of liquefaction. but ultimately the placing of one last card will always lead to an unexpected sudden collapse of the whole card house. 17 that there is a particular grain structure at C. and an undrained test reaches an ultimate state point D where a flowing aggregate has the same flow structure at D as at C. extensive investigation by means of direct shear tests did not lead to a satisfactory solution. like the pencil standing on end. 17 becomes the inclined dashed line through C in . When this 1936 theory is re-plotted in Fig. but in CS theory after large deformation an aggregate of grains does not retain any record of any initial structure. Figure 17 shows pressure increase compressing the loose sand to E. His critical porosity n0 was independent of the effective pressure. ln 0 a drained test gives a chaindashed path from B to C and an undrained test gives a solid path from B to D. 18(a). He showed compression by static pressure following curves such as AB and FG in Fig. The difference between CS theory and Casagrande in 1936 is that compression with large deformation curves will depend on the initial state. loose sand at a porosity higher than n0 was potentially unstable. N. 17. 18(b) the double line is the CS theory. This theory of Casagrande was fully accepted in 1937 when the United States Engineer Office in Boston. 18(a). His curve ABE for static compression of very loose sand goes from point A under zero pressure and porosity n1 to a point B at porosity n2 under pressure p1 . some cards stand on edge as walls and others are laid across them to form a floor of the house. if compacted to a porosity lower than n0 . 16(e)) as shear stress on dense sand increases to a peak strength point B the sand expands. Further pressure increase in a drained compression to p3 takes the sand to porosity n0 in a state at point E. be built on it. In shear at constant effective normal stress (Fig. the double line is for the critical void ratio concept as published by Casagrande in 1936.38 DISTURBED SOIL PROPERTIES AND GEOTECHNICAL DESIGN of soil is rather like the collapse of a house of cards. When the area of one floor is large enough. for the sake of simplicity. The safety of such an embankment was thought to deserve special consideration. since Casagrande had shown that a large mass of fine-grained soil is inherently unstable unless it is compacted below the critical void ratio. The question immediately arose as to how densely this material should be compacted to be safely below the critical void ratio and triaxial compression tests were used to study this. He then considers a combination of compression and shear distortion. but he writes that static compression is relatively ineffective in reducing the volume.H. Casagrande supposed in Fig. The house may be built up to have several floors. out of fine silty sand. confronted the need to construct a large earth dam for flood control purposes at Franklin Falls. loose sand shows a fall in porosity. Casagrande proposed that silty sand. In Fig.

(1958) theorized that a large CS deformation . then in Fig. as will be discussed later. 17. If Casagrande’s curve of compression with large deformation is ultimately reached by the soil initially at a state point B in Fig.INTERLOCKING. 18(b). Casagrande (1975) revised his theory of liquefaction and adopted this CS line. for a critical CS line in Fig. 17 Pressure–density relationship for sand (Casagrande. Equation (9) gives v ¼ v þ  ln p0 ¼ ÿ. Roscoe et al. States on Casagrande’s curve differ from those predicted on the CS line AH in Fig. 18(a). 18(b). 18(a) the chain-dashed arrow of a drained test path at constant normal stress 0 takes the soil from B to C. 18(b). CRITICAL STATES AND LIQUEFACTION 39 Fig. Inclined solid and dashed lines in Fig. and the solid arrow of an undrained test path takes it from B all the way to a point D on the dashed line. CS theory combines the specific volume v and the effective pressure p0 in Eqn (7) in a variable v ¼ v þ  ln p0 . 17 become elastic swelling and compression lines in Fig. Casagrande had constant critical porosity in 1936. Our solid arrow ends at state point K on the CS line and does not continue from K to D. 1936) Fig.

18(a) the arrow shows that a reduction of effective pressure is unsafe as the aggregate of grains swells slightly from a safe dilative state to an unsafe contractive state. and he predicted that sand with this void ratio will not change in void ratio or pore water pressure when subjected to shear distortion. can liquefy.40 DISTURBED SOIL PROPERTIES AND GEOTECHNICAL DESIGN Fig. The solid bold arrows with the letter Z show a striking difference between Figs 18(a) and 18(b). This (alarming) advice is discussed later. 18 Critical porosity n0 and CSs ðv. 18(b). and not states on one of Casagrande’s original curves of compression with large deformation. and an increase of shear resistance. ln p0 Þ. a CS prediction pB ÿ pK is of a pore water pressure that is only the difference between the pressures at B and at K in Fig. where the slope  of the CS line is greater than the slope  of the elastic swelling and compression lines. p1 ÿ p2 . (b) Cambridge CS line of soil (drained or undrained) destroys any initial structure that the aggregate had in a state such as B. He contrasted the instability in a body of contractive sand (caused by a positive pore water pressure during liquefaction) with the strength of a body of dense sand at less than critical porosity (in Fig. between the pressures at B and at D. In Fig. . Casagrande warned of a risk of the behaviour that Hazen called liquefaction (flow in a critical state) if an aggregate is contractive. if heavily loaded. In Fig. By this CS prediction all test paths ultimately reach chaotic fully disturbed states on a CS curve. has the arrow Z showing an increase of effective pressure that carries an aggregate from a safe dilative state to an unsafe contractive state. Where Casagrande predicted that the stress carried by the water after undrained large deformation is shown in Fig. Figure 18(b). 18(b) on the dry side of CS) where shear creates tension in the pore water. as shown in Fig. that led Casagrande in 1975 to advise his readers that even dense sand. 18(b) the slope of the dashed line DC is less than the slope of the CS double-line AH. 18(b) the CS double line has a slope that is greater than the slope of the elastic compression lines. 17 as the difference. 18(a) by a flat double line. Casagrande in 1936 had constant critical porosity. In Fig. (a) Casagrande constant n0 .

so as to give way before the slightest pressure’. also the ‘melting’ of the soul (1711)’. but of the two words liquefaction is used less commonly. He put the idea of total absence of stress when a light silk dress floats in the air in a poem: Upon Julia’s Clothes Whenas in silks my Julia goes. causing unstressed grains to flow away in suspension in the pore water. his grains initially carry a high stress that (in an instant) is transferred to the local pore water so that the soil body flows as a liquid. or ignoring. If the pores are full of water. like an upward seepage flow fluidizing sand in the floor of a cofferdam. unaware of. the layer would quickly settle. if a buried water main fractures. better meaning before Hazen? Second. separate solid grains bearing stress are initially held together as a single body by that stress until. First.INTERLOCKING. like the fall of a house of cards. In Hazen’s use of the word. Christian believers in the Middle Ages who saw blood flowing from the wounds on a statue of Christ in a shrine would describe that miracle by the word ‘liquefaction’. If the pores were full of air that could flow out quickly. then. However. an unstable chain reaction is propagated. Herrick’s secular use of the word ‘liquefaction’ conveys precisely the meaning that the SOED gives to the word ‘fluidization’. It is worth discussing carefully a difference between the two words liquefy and fluidize in order to clarify two separate issues. In that brief period the soil grains are suspended in an upward flow of pore fluid. In Hazen’s use. was a graduate of St John’s College in Cambridge. But a Cavalier poet (1591–1674) famously used the word ‘liquefaction’ in a secular sense with another precise meaning. this earlier meaning. and the word ‘liquefaction’ means ‘the reduction to a liquid state. a light silk dress moves to and fro in the air as Julia’s movements cause transient motions. And similarly. Next. as if the aggregate had melted. consisting of particles that move freely among themselves. In Herrick’s use. Chemical engineers use fluidized beds for example in some heat transfer processes. when I cast mine eyes and see That brave vibration each way free. The words fluidization and liquefaction have about the same meaning. the escaping water will fluidize the trench fill as it rises in the trench. O how that glittering taketh me! Hazen adopted a meaning for liquefied that he thought right. if an oil tank with an area of . CRITICAL STATES AND LIQUEFACTION 41 2. an English country parson. A possible reason for the English to prefer to use the word ‘fluidization’ rather than ‘liquefaction’ is to avoid any embarrassing reference to the soul and religion. Robert Herrick. methinks. how sweetly flows That liquefaction of her clothes. did a usage in the English language give the word liquefaction another. Then. In the SOED the word ‘fluid’ means ‘having the property of flowing.5 Herrick’s liquefaction Florin and Ivanov (1961) used the word ‘liquefaction’ to describe the behaviour of a horizontal layer of loose sand when compacted by blasting. does Hazen’s concept of a shock transition in aggregates of highly stressed grains explain observed liquefaction events? Hazen’s use of the word liquefied may be questioned. that flow takes time.

12(d).42 DISTURBED SOIL PROPERTIES AND GEOTECHNICAL DESIGN 500 m2 on a layer of saturated sand settles 200 mm in an earthquake and displaces 500 Â 0:2 ¼ 100 m3 of water. Professor Seed. once a Harvard student under Casagrande. causing damage. FE analysis had been used (for example by Professor Ross at King’s College London where Seed was once an assistant lecturer) to follow the stress history of each part of a reinforced concrete nuclear reactor container vessel during cyclic loading in service. At the University of California at Berkeley. and in Berkeley it was at a point . The striking difference between the Harvard and Berkeley criteria was that in Harvard the aggregate state before the instant of liquefaction was at a point in Fig. that escaping water will fluidize the ground around the tank. Observing that. as the pore water pressure rose in undrained cyclic triaxial tests of sand and the effective stress fell. adopted zero effective stress as a criterion when applying finite element (FE) analysis to liquefaction in Californian earthquakes. he suggested a criterion of failure under any loading that led to zero effective stress. I would then say that there has been settlement of the sand below the tank and liquefaction or fluidization of the sand around the tank. The aim was to find if the history of cyclic loading would cause fatigue failure at some point in the concrete. Seed needed a failure criterion for soil liquefaction in order to apply this technique to Californian embankment dams in earthquakes. very much on the wet side of CS. there was failure of sand at zero effective stress.

the yield curve in Fig. far on the dry side. CS theory also questions Casagrande’s alarming prediction of a risk of liquefaction at high effective pressure. Points on the wet side of CS do not map the . 11(b). When the behaviour of contractive soil is discussed later. In Fig. A high effective pressure to the right of C in Fig. In a desert or on the seabed. 12(b) or to the right of the CS line ACH in Fig. 16 (Casagrande’s compression curve for the densest state). but the aggregate remains ductile and stable. with stable yielding on the wet side of the CS. or sea currents move across the bed and sand waves form. Herrick’s zero stress is not a sufficient condition for flow. and interlocking during continuing shear flow brings states back to v ¼ ÿ. Casagrande’s 1936 paper noted that if small cycles of strain release the contact forces here and there between grains. If a triaxial test specimen state arrives at curve FG in Fig. a stress component normal to the free surface is zero. The disagreement between Casagrande and Seed was resolved by the introduction of the term cyclic liquefaction to describe an aggregate at zero effective stress with small oscillations rather than continuous shear flow. the state has got to follow a path that crosses Fig. but does not cause a liquefaction event. 11 will become the inclined straight line of the OCC model in the Frontispiece. 17 to reach CE (Casagrande’s critical density) before Casagrande’s liquefaction flow state is reached. 15(b) there must be steady shearing distortion. above the CS pressure 0f yield strengths fall. but to achieve a large displacement such as in Fig. pore flow is needed. state points approach the lower left hand corner in Fig. The stable test path ends with flow only when friction is fully mobilized. 12(a) and move to v ( ÿ. but grains stay put on that surface unless the wind blows across the desert and sand dunes form.. This is seen in triaxial tests of sand that begin at a state point to the right of Figs 12(b) and 12(d). reaching zero effective stress p0 ¼ 0 in cyclic loading. Successive axial load increments cause a pore pressure increment that takes the undrained test path towards the CS line. 18(b) makes it easier to cause plastic flow in an aggregate.

rather than sudden instability. but after the OCC line is reached the risk to the aggregate is the steady fall of strength. An aggregate can only be held near that point by cementation. The quick clays were formed in the following millennia as rainwater gradually leached salt out of the uplifted ground. They are deposited as a silt outwash fan and then blown away by wind. A visitor to an area that is well known for liquefaction flow slides will be surprised to find how strong the undisturbed soil is. and . an increase of the effective pressure on the dry side of CS will improve ductility. Figure 12(b) maps undisturbed lightly cemented rock flour at a state point like  with a fully remoulded CS line having moved away to the left.INTERLOCKING. One description of Norwegian quick clay is sea loess. Along the OCC line the stress ratio to cause hardening and yielding falls from the CS value of  ¼ M when v ¼ ÿ. trapped pore air pressures caused liquefaction flow slides. to form lightly cemented very weak but firm deposits. and this can also be called liquefaction failure. if disturbed. In the flow slide large blocks crumble.6 Failure at low effective stress Casagrande commented on the news of widespread flow slides in loess in China that. When effective pressure on a dense aggregate is near zero. Loess is made up from grains of rock flour washed out from below glaciers in an interglacial period. with steep almost vertical escarpments beside small streams. Such quick clay or loess makes a firm foundation for small buildings if undisturbed. This type of failure is shown occurring at a state point with coordinates ðv . When thick glaciers still rested on Scandinavian fells. the pore pressure gradients will fluidize the soil rubble. from upward hydraulic gradients fluidizing sand in the base of a cofferdam to water flow from a broken water main that fluidizes the trench fill in which the main is buried. An undisturbed very loose aggregate is transformed into a soft rock if the grains are lightly cemented. as pore pressures rise and the stress approaches zero. In quick clay regions a typical failure of the ground below farm buildings or a housing estate starts with small initial cracks in the level ground surface. Large blocks of ground then slip. and the newly deposited seabed soil formed land beside fjords. Þ far to the left in the Frontispiece map. 2. it will be near zero effective stress. When the ice melted and the load on the fells was less. CRITICAL STATES AND LIQUEFACTION 43 states with the behaviour called liquefaction. the rock rose up. These cracks open up. taking trees and buildings with them. in this loess. Under increased pressure as the aggregate approaches the state at which v ¼ ÿ þ ð ÿ Þ it becomes so slippery and it yields so easily that test specimens cannot be brought into the state with a stress ratio  ¼ 0 at the point where v ¼ ÿ þ ð ÿ Þ. they can be detected when pools of water on the surface are seen to drain into them. If a body of soil near to zero effective stress crumbles into rubble in the presence of a high hydraulic gradient. At first. silt washed out from below the glaciers was deposited in the sea on the bottom of fjords. It also applies to densely compacted soil where the onset of micro-cracking causes an increase of permeability. and as rubble flows down a valley. it turns into fluidized silt with zero effective stress. This same name and explanation will apply to a range of failures from hydraulic fracture of dams to sand boils behind flood levees.

In the same way cyclic loading on interlocked soil grains can reduce the effective stresses between them until even the closest fitting interlocked grains become free to slide apart . . it may be possible to free a bolt by joggling it in different directions until the forces that hold the bolt are relaxed. All else happened as . In the case of a pair of doors where the bolts are jammed tight. channelling. it rapidly became irresistible. In some cases the cracks are self-healing with soil grains from the walls of cracks forming a mud which limits the sped of pressure transmission. that makes interlocked grains brace themselves to resist shearing deformation in soil in dry state sand (makes them suck water in among themselves as they dilate) turns into a disintegrative response in soil in which effective stress components fall to zero. Any attempt to shear a pair of interlocked doors apart will generate resistance by the bolt. This pressure acting as an uplift under the upstream portion of the dam reduced the effective weight of the toe so that finally. and a body of crumbling soil can disintegrate into a sort of soil avalanche. In the case of a local pipe being formed. . . boiling and clastic debris flow occur.44 DISTURBED SOIL PROPERTIES AND GEOTECHNICAL DESIGN there is a high hydraulic gradient. once established. a substantial part of this pressure head was transmitted through them by the drainage water from the core pool as it passed through both the core and the shell. In other cases there can be sudden transmission of pressures. I described how a seepage pressure gradient unlocks a densely interlocked aggregate on the dry side of the CS line as follows (Schofield. The Frontispiece maps the soil states in all these failures on the dry side of the CS line. The first motion was necessarily slow. The report on the flow slide of Fort Peck Dam had made it clear that there was no sudden instability in the aggregate of soil grains such as Hazen envisaged. The toe in the vicinity of station US þ 00 and range US þ 00 moved outward on the lubricated and disintegrated shale. A sudden increase in permeability lets water flood into the crumbling debris. 1982): The word ‘interlock’ is helpful in thinking about this event. Failure was thus initiated. the seepage forces of water following tortuous paths round interlocked grains may be able to dislodge grains in a direction perpendicular to the axis in which the pipe is developing: the hydraulic pressures transmitted along the pipe would form hydraulic gradients in these directions . piping. but. During the 60 days prior hereto. A lock is made with a sliding bolt which is mechanically secure even though it is unstressed. or several pipes can break through a sand layer and vigorous sand boiling can occur. cracking. Because of the open joints in the disintegrated and subfirm shale. the difference in level between the core pool and the water in the reservoir had increased from 83 feet to 134 feet. So in general the dilative response. it was unable to restrain the slope upon it. What was previously firm ground is liquefied. Thaddeus Merriman (1939) wrote The facts which have been presented disclose the cause of the slide. The opening within the body may be an extensive crack or a local pipe or channel. and fluidizes it. In the same way a hydraulic gradient across a soil body at very low effective stress will open cracks or channels in the soil. However if a pair of interlocked doors are pushed open their lock or bolt will offer no resistance as the doors swing apart. .

and liquefaction is written in a part of the Frontispiece that fits lightly stressed states reached by cyclic loading. grains in an aggregate must always be held together by some small stress. As the OCC model yields. and cause the ductile plastic yielding of soft soil. how much greater must that pressure have been before the slide! Clearly. The Frontispiece has two axes ðv . Contractive soils on the wet side of the CS line are stable. It was not a phase transition occurring as a chain reaction in a granular aggregate as described by Hazen (and Casagrande). As the bottom moved outward the plastic core subsided into the space thus made and the ‘barn-door’ began to open. totally unstressed grains liquefy with no unstable release of energy. the liquefaction failure in Fort Peck Dam involved high pore pressure gradients in disintegrated shale near zero effective stress. The failure was distinctly in the disintegrated shale at depth under the dam. Where Casagrande would plot liquefaction on the wet side of the CS line. and pressures on external boundaries move as high effective stress reduces the volume of a loose sand grain aggregate. and the hydraulic fill flow described at the start of this section is powered by gravity. As a path approaches p0 ¼ 0 it must leave the map. All of the observed facts are thus explained. the Frontispiece has a ductile plastic zone. as though upon skids. CRITICAL STATES AND LIQUEFACTION 45 a matter of consequence. I must clarify what plastic means. two sources of power drive chain reactions: elastic energy stored in highly stressed grains is released. The downstream shell carrying the paving moved smoothly outward. the energy input in volume reduction and the release of stored elastic energy both contribute to the plastic dissipation of frictional power in CS flow.INTERLOCKING. . To explain what happens when a soil body yields as a plastic body. The criterion for liquefaction is not only that the grains are nearly at zero effective stress but also that they are subject to a hydraulic gradient and fluid flow. Mp0 d"=dt. As there is still evidence of pressure in the shale members. where v ¼ ðv þ  ln p0 Þ. In what I called Herrick’s liquefaction. In Hazen’s liquefaction. Þ.

1(b) shows a cycle of ðÞ loading and unloading that leaves a solid body with a plastic deformation ðxÞ. mechanical concepts of plasticity and CS explain soil behaviour without chemistry. The solid mechanics of metal forming involves stress. is the range of water contents over which soil paste shows this plastic behaviour and can be moulded into different forms. An example is finding the density of soil by digging a hole and pouring in loose sand to fill it. It covers the growth of big recognizable plants from small grains. Today we might write this as ‘seeds are examples of the small dimensions needed to contain the plastic principle’. but the original definition of the word ‘plastic’ is wider than this. It had another meaning for many centuries before it got the modern meaning. and a size distribution that changes during . People who saw a potter forming a little figure and thought of man being formed from clay.1 Casagrande’s soil classification and soil plasticity Readers of soil mechanics literature are troubled with several papers asserting that the meaning that the word plastic now has in 20th-century solid mechanics does not apply to soil. virtue or force in nature causes the growth of natural forms of living organisms. The ratio of the weights of the soil taken out and the sand put in gives the ratio of the densities of the soil and the sand. xÞ plot in Fig. Engineers use soil classification to help to select some construction sites or soil materials. 3. The ductility of soil paste that lets a potter form it into pottery is the result of the mechanics of watersaturated fine-grained soil aggregates.3 Soil classification and strength Terzaghi and Casagrande had a preconception that clay and sand soils must be very different types of material because of the surface chemistry of clay grains. The SOED states that the Greek derivation of the word ‘plastic’ alleges that a principle. and to reject others. the ability of the aggregate of grains to adopt the irregularly formed form of the hole is correctly called a plastic property. The plasticity index Ip of a soil. 1(a) gives a dimension x to a body. The plastic process in Fig. Classification begins with grading tests that break up soil specimens in water and wash the grains through sieves. The ð. No stress need be involved. Unlike a fluid flow it covers any process in which a body acquires a form that persists when the process finishes. The SOED quotes a line from Sir Thomas Browne (a scientist and scholar who lived from 1605 to 1682): ‘in what diminutives the plastick principle lodgeth is exemplified in seeds’. thought that all manner of creation of forms involves a plastic principle that applies both in art and in life. or asked how the identical full-grown forms of many plants could come from a handful of small seeds. but when their data of disturbed clay soil are re-assessed. in the soil classification system of Casagrande. Grains that crush when transported are called friable. By the SOED definition.

As the paste strength increases. with fine pores giving high air entry suction. . Both cones were used to test a series of specimens of paste with decreasing water content. Figure 19 shows the data of tests on kaolin paste with two cones of 308 tip angle. the logarithm of the depth d decreases. I preferred an explanation as follows. The pore suction was in equilibrium with the positive effective spherical stress p0 in the soil grain aggregate. The water content of the paste decreased. or (b) the explanation might involve surface tension in open pores on the paste surface. with curved water menisci that cause pore water suction and effective stress in the aggregate of grains.SOIL CLASSIFICATION AND STRENGTH 47 the handling of disturbed soil would have little meaning. There is internal friction in a sand bag that can effectively stop shrapnel fragments. A straight line was obtained when strength was plotted against suction. A student squeezing soil with their fingers can think of the lump of paste as a small sack. I could repeat the (a) electrochemical explanation of forces that increase as clay grains became closer to each other. d decreases. one cone has mass of 80 g and the other has mass of 240 g (Lawrence. But as developing CS concepts and the fundamental cause of plasticity in soil paste were discussed with soil mechanics’ students making soil classification tests with remoulded water-saturated reconstituted soil paste that dried in the air. As strengths fit a logarithmic plot in Fig. When the CS theory was initially developed in 1955 the soil classification tests were thought to be only empirical. geotechnical engineers do not regularly make chemical tests of soil. two explanations of the increase of the apparent cohesion strength were possible. pore suction in the plate was in equilibrium with mercury in a u-tube. 1980). The natural processes of transport and sorting can give soils a strong grain aggregate that dissipates power in distortion in the way that a loose grain aggregate dissipates energy in a slope at repose. As a paste is remoulded. and the apparent cohesion is measured with a falling cone that is held with its tip at the surface of the paste and is let fall. the air–water interface that envelopes it has innumerable menisci hanging like spider’s webs from grain to grain across every surface pore. As water evaporates from soil paste. In 1955 a soil science research unit of the Department of Agriculture in Cambridge had a laboratory that would consolidate small cylinders of soil paste on water-saturated suction plates. 19. and p0 and the paste strength cu (or su ) increased as water slowly evaporated into the air from all surfaces. In construction. and Hvorslev’s interpretation of shear box data and the Mohr–Coulomb failure criterion were thought much more fundamental than soil classification (both at Imperial College and at Cambridge University). a level surface struck across the cup. The same effect is seen if a small cup is filled with soil paste. The depth of penetration d is measured when the cone comes to rest. strong grains are better than grains that easily crush because the form aggregates with predictable behaviour. The mechanical explanation of the plasticity and friction in soil paste was better for our students than a chemical explanation. The data showed that soil paste had frictional strength. the consolidation by surface tension is as effective as consolidation would be in an oedometer. with tension in the sack holding effective pressure in the grains. this is the same property that would give rise to a slope at an angle of repose if the sand bag broke and the grains formed a heap. and as the water content of the paste decreases. Unconfined compression tests gave data on the paste strength.

to become the most frequently performed and least understood of all soil mechanics tests. 19 is that the spacing Áw between the two lines is a measure of the slope  of the CS line in Eqn (10). I introduced this form of plasticity testing in our laboratory teaching in 1964. My research student Lawrence (1980) made tests of mixes of rock flour and coarse kaolin clay in different proportions as tabulated in Fig. p0 Þ that fit ÿ ¼ v þ  ln p0 . giving the fan of CS lines shown in Fig. Skempton and Northey (1953) suggested that IP is the fall of water content needed to give a 100-fold increase in the soil paste strength. Makers of Casagrande’s apparatus made significant differences between the beds onto which the bowl fell. When a standard number of blows closes Casagrande’s groove. made a simple cut in the paste. The US Army Corps of Engineers took Casagrande’s liquid limit test with them around the world as they constructed road and airfield pavements in World War II. So the fall in water content Áw ¼ Áe=Gs ¼  ln 3=Gs .48 DISTURBED SOIL PROPERTIES AND GEOTECHNICAL DESIGN the pair of lines confirm the proposal in Eqn (10) that soil paste in CS flow is in states ðv. the duration of the brief period in which a side of the groove flows will increase. so the number of blows to close the groove decreases. Hence. If the voids e are full of water and the unit volume of solids has a mass Gs . 19) at a spacing Áw that showed what reduction of water content was needed to triple the clay paste strength. 19. . but in CS theory it became the most significant of all tests. a basic CS constant for the disturbed soil. The groove width is fixed. a standard spike of impulsive deceleration causes a miniature slope failure at each side of the groove in the soil paste. 20. I once heard Bishop relate how Atterberg developed his soil classification test with the knife and the spoon in the lunch box that he took with him in the field. Another deduction from Fig. As the water content increases and the paste strength cu decreases. his test has found the water content at which the soil paste has the standard undrained shear strength. In Fig. I can calculate that the water content is w ¼ e=Gs . Each time that Casagrande’s bowl falls. The difference wL ÿ wP ¼ IP gives the plasticity index of soil. A little more water is added again and again to the soil paste in a liquid limit test. For a series of paste samples of increasing water content this gave the pair of straight lines (Fig. tests with two cones of different mass give . The CS relationships between w and p0 and cu for disturbed soil paste give the linear relationship between w and ln (number of blows). tapped the spoon on the back of his wrist. The second soil classification test finds a water content called the plastic limit wP at which it is impossible to roll a thread of soil paste that does not crumble. Skempton and Northey defined activity of the colloidal fraction of a clay paste as IP =ð% < 2 mÞ. The test data gave students an IP value. and Schofield and Wroth (1968) translated this into a fan of CS6 lines all passing through one  point. and counted the number of blows to make the knife cut close up. and related IP to the clay fraction. hence  ¼ Áw Gs = ln 3. In CS plastic compression an increase in p0 by a factor of 240=80 ¼ 3 is linked with a reduction of water content by Áw. 2 the specific volume is v ¼ 1 þ e. He used the knife to mix up a pat of soil paste with some drinking water in the bowl of the spoon. In Casagrande’s refined test the spoon and knife became the falling bowl and the grooving tool for his liquid limits. measuring depths of penetration of cones of 80 g and 240 g mass into the surface of soil paste.

SOIL CLASSIFICATION AND STRENGTH Fig. 1980) 49 . 19 Fall cone test data (Lawrence.

In a watersaturated soil paste the grains are held together at constant volume by pore water suction. 3. By the CS concept. Experience of construction in stiff clay taught him not to rely on the adhesion of soil. 1874) states that ‘friction is the only force which can be relied upon to produce permanent stability’. Coulomb’s dictum that disturbed soil has no cohesion and the CS model of its behaviour are all generally applicable to all types of soil throughout the world.50 DISTURBED SOIL PROPERTIES AND GEOTECHNICAL DESIGN Fig. leaving a slope at a constant angle d . His textbook (Rankine. The tests were the culmination of a research programme with colleagues and research students in Harvard and Vienna. his tests in shear boxes actually confirm the concept of the stable ductile yielding of frictional soil on the wet side of the CS. Casagrande’s soil classification system. Aggregates of grains under effective spherical pressure dissipate energy as they flow. 1980) The data of Lawrence’s set of test specimens in Fig. He had been involved as a civil engineer in the construction of railway cuttings in undisturbed stiff ground. but when reexamined. Dry silt grains do not cohere. A slope failure in stiff soil initially has a small vertical face at the top of a slip. 20 define a  point with more accuracy than Schofield and Wroth. but in time that vertical face falls. Evidence of slopes in stiff clay that stand at an ultimate angle of repose led him to believe that cohesion is unreliable and in the long-term only soil friction is reliable. The CS concept is in agreement with Rankine’s mid-19th-century teaching.2 Hvorslev’s clay strength data and the CS line of clay At this point I can re-examine Terzaghi’s interpretation of Hvorslev’s tests. Terzaghi thought that they confirmed the role of effective stress (Eqn (1)) in the equation for soil strength (Eqn (2)). apparent cohesion is due to suction. The CS concept with zero cohesion agrees with him. 20 A family of critical state lines (Lawrence. Hvorslev wrote that a definite . undrained strength is due to internal friction.

to consolidate samples for shear testing. then there is a positive excess pore water pressure or suction at N. immersed in a bath full of water. In a test. The lateral loading hanger is subject to successive load increments. from B to C it is called elastic–plastic. In Terzaghi’s analysis of the consolidation process. Loading hangers apply horizontal and vertical forces on the upper half of the box and on the porous piston EF. Terzaghi stated that any change of state such as elastic or plastic compression. it is square in plan. Compression from B0 to B is called elastic. Þ act on the mid-plane JK. he had confirmed the CS concept. a vertical total stress  that is applied to the piston causes an effective stress 0 in the spring below the piston . a load increment on a soil layer causes excess pore pressure gradients that make pore water flow across drainage boundaries. Terzaghi’s research on the strength of reconstituted clay used a type of direct shear test box that also acts as an oedometer. swelling from C to C0 is elastic. He treated the clay as a stack of elementary elastic coiled spring elements. Steady application of a load eventually changes the effective stresses throughout an aggregate of soil grains. In Fig. 21 Slip plane in saturated soil in a shear box critical void ratio does not exist in the case of a cohesive soil. The lower half of the box is supported on roller bearings. average soil stress components ð0 . Terzaghi analysed the consolidation of a horizontal layer under an increment of vertical load due to transient excess pore pressures. A pipe shown by the double lines LMN is connected to a small porous stone that is in contact with pore water in the soil at N. Figure 22(a) sketches shear test data for a work-hardening metal such as annealed copper. 22(c)).SOIL CLASSIFICATION AND STRENGTH 51 Fig. If the water in the standpipe is seen to rise above or fall below the free surface level. each in a cylinder full of water with a piston applying a load to the spring and to the water (Fig. The vertical load on the mid-plane is held constant. all distortion and all change of shearing resistance of the aggregate depends only on changes of the effective stress 0 . Figure 21 shows the shear box in vertical section. but any void ratio can become critical if it is produced by a critical consolidation procedure. Shear displacement of the lower half of the box is resisted by soil strength on the specimen mid-plane. The same description is used for soil. The pore water pressure at all points in the soil and in the water bath is in equilibrium with the atmospheric pressure on the upper free surface of the water bath. A change in the volume of the soil will cause vertical displacement of the upper half of the box and of the forces on the vertical loading hanger. 22(d). with upper and lower halves.

A load increment causes a change of length of the springs in the water. and energy is dissipated in the transient process of consolidation and swelling. with flow of pore water through fine pores and channels among the grains. water-saturated soil is slowly compressed or swells in the box. What is envisaged in the CS concept is an aggregate of fine grains. In Fig. (b) ln 0 base . His springs were elastic. then in the standpipe. When this process ends. water with a unit weight w will rise to a height h ¼ u= w above the piston that rests on the water in the cylinder. If the load is removed very slowly. No viscosity is taken into Fig. as loops will result if grains slip during loading and unloading cycles.52 DISTURBED SOIL PROPERTIES AND GEOTECHNICAL DESIGN Fig. 22(d) the excess pore water pressure in the cylinder below the piston is u. If in Fig. following Taylor (1948). C0 C and D0 D are as sketched in Fig. and energy is dissipated by viscosity when water flows past a piston. 23 Elastic and plastic compression of soil. Terzaghi’s model for the compressibility of a horizontal layer of soft water-saturated soil put a stack of springs and pistons in a vertical cylinder filled with water. The work done is small if the movement is infinitesimal. (a) 0 base. forces in grains resist all loads on the aggregate. as described in Eqn (1). It is a simplification. The non-linear elastic compression and swelling curves B0 B. When disturbed. not a simple stack of springs. 23(b) these elastic compression and swelling lines are idealized as straight lines. 22 Elasticity. yielding and plastic strain and a pore water pressure u in the cylinder. 23(a). some of the energy stored in grains in compression can be recovered in swelling.

The angle of repose of dry sand as well as that of completely immersed sand is independent of the height of a slope. When shear force is applied in Fig. Initially a transient movement soon slows down. although viscous dissipation of energy in the transient flow of pore water must make a contribution to the stability of grain aggregates. The displacements are measured in both cases. Geological processes involve loading and unloading of sediment layers being laid down in water and then uplifted and exposed by erosion. and a small screw that passes through the side FK is tightened to clamp the top half of the box on to the piston. Coulomb did not rely on cohesion. the material at the sides of the excavation slides towards the bottom. the sides of the trench . and not with the loss of energy that there would be in loops. 21 has two halves. divided on the mid-plane JK. 21 the aggregate on the mid-plane resists slip. On the other hand a trench 20 to 30 feet deep can be excavated in stiff plastic clay. the top half of the box is lifted a little. 23. However. . as soon as the depth of a trench exceeds a certain value. 1943): The data for making a stability calculation pertaining to clays can at present be obtained only by means of the following purely empirical procedure. When vertical movement of the piston has stopped. . All loading and unloading cycles will be idealized simply by straight lines such as are shown from D0 to D as non-linear elastic behaviour. there will be an ultimate failure on the slip plane. to ensure that the weight of the piston and of the top half of the box is carried entirely by the aggregate of grains on the mid-plane. This fact indicates the existence of a firm bond between clay particles. shear distortion requires a loosening of the packing to let grains move past each other. Before shear. the upper and lower halves of the box are slightly separated by three lifting screws that pass vertically through the top half of the box and bear against the lower half of the box. In a stress-controlled drained test the shear load is applied by adding weight to a loading hanger. An undisturbed soil specimen that is brought into a laboratory for tests will have had over-consolidation similar to the path ADD0 in Fig. He wrote (Terzaghi. We test the clay in the laboratory under conditions of pressure and drainage similar to those under which the shear failure is likely to occur in the field . 21 rise. but as the hanger load is increased there will be an increment at which a steady load causes a steady or very slow shearing velocity. That failure load gives the peak strength. The sliding material does not come to rest until the angle of inclination of the slopes becomes equal to a certain angle known as the angle of repose. but Terzaghi wanted to use accurate values that were found in laboratory tests of undisturbed soil in design practice. This behavior indicates the complete absence of a bond between the individual sand grains. As dense soil shears. The lifting screws are then removed.SOIL CLASSIFICATION AND STRENGTH 53 account in the dissipation of power here. dependent on the intensity of the bond between the clay grains. if the soil grains are densely packed. The box EFGH in Fig. but the effects of viscosity and creep in real soil specimens that creep under constant load must be discussed in other books – I only consider the idealized elastic–plastic behaviour of aggregates. Whatever the grain size. the piston and the top half of the box in Fig. If we dig into a bed of dry or completely immersed sand. to eliminate sliding friction between these halves of the box. with loose soil they fall. If that load is left on.

Terzaghi’s tests in Vienna of both normally consolidated and over-consolidated reconstituted clay specimens extended this Harvard work. he could have left it under water for his students to observe. But tensile strength of pore water is not part of the strength of effectively stressed soil. The final loss of water content of each specimen had the same value Áw. In this passage. because the steepest slope at which such a soil can stand decreases with increasing height of the slope. 24. Plots of water contents w against ln 0 gave straight lines like AB and BB0 in Fig. and elastic swelling of the clay. Even sand. 5 or 10(c). picked up that cylinder and immersed it in the sink. with the water content increasing .54 DISTURBED SOIL PROPERTIES AND GEOTECHNICAL DESIGN fail and the slope of the debris that covers the bottom of the cut after failure is far from vertical. Such shear strength test data plotted as points on lines such as AC in Fig. Hvorslev began slowly to load the shear-loading hanger. to start a fully drained shear test at constant 0 . demonstrating Coulomb’s law (that newly remoulded soil has no cohesion) to students who saw a heap of soil with fully softened clay soil slopes at an angle of repose. Before long the suction in the pores would have drawn water into the faces of the cylinder of soil. 24. The dense clay began to dilate as the shear stress increased. The clay swells into equilibrium at states such as point B in Fig. 23(b). Casagrande and Albert (1932). 10 or 15 cm high. in early shear box tests at Harvard University. Terzaghi links cohesion with clay in which bonds formed after a long period of creep. No definite angle of repose can be assigned to soil with cohesion. With the state at point B. and compression of over-consolidated clay causing localized brittle rupture on an inclined plane. and caused a vertical effective stress 0 through the depth of the clay in the box. but Hvorslev’s heavily over-consolidated clay was brittle. In slow fully drained shear tests at constant 0 they found that as each such specimen yielded. has some cohesion. as a loading hanger applied weight to a square piston it slid freely down into the box (Fig. soil grains would begin to fall off the vertical faces. Similarly in the shear box tests. Casagrande and Albert’s specimens were ductile. If he had made a vertically sided cylinder of newly remoulded clay by compaction or consolidation. or DE and EB in Fig. He writes about total stress. prepared soft soil specimens under various normal loads 0 on line DE in Fig. the specimen state moved from a state on the line DE to a state on the line AC. With suction in the pores it would not have failed under self-weight because frictional strength would have been mobilized by effective stress. he could have left it standing on his laboratory bench with an air–water interface on all faces of the cylinder. 21). if it is moist. Figure 2(c) shows the compression of a cylinder of normally consolidated clay on line DHE causing general ductile bulging. The ultimate shear strengths  of normally consolidated specimens were proportional to the normal effective stress 0 . not about frictional strength generated by positive effective stress and pore water suctions in stiff clay and moist sand. Figure 24 sketches the elastic–plastic compression behaviour in the shear box as line DHE. The bond between the soil grains is called cohesion. In Terzaghi’s research tests on disturbed saturated soil specimens in shear boxes. Drained increase and decrease of the normal stress 0 caused both plastic and elastic compression. with slopes that define elastic and plastic compression properties of the clay. 24. If he had filled a sink in his laboratory with water.

24 Hvorslev’s shear box test path DHECBF from B to a point such as F. and swell back further than B. The shear load then reached a value at which the creep rate began to accelerate. Failure was sudden. 0 Þ at points 1 to 12. 26. 0 Þ for a set of 12 specimens all consolidated to the same effective normal stress of about 5 kg/cm2 (Hvorslev. he found that the normalized data lay on a straight line like BC in Fig. 0 Þ at a state point F.SOIL CLASSIFICATION AND STRENGTH 55 Fig. When he plotted =0e against 0 =0e in Fig. with shear and normal effective stress ð. Hvorslev held that shear load steady and waited. but slip planes are very thin. 25 he plotted the data of ðw. To get the set of specimens such that at failure all were at the same water content w as at point F. From each value of w he found where the extended line GFA intersects line DE at an equivalent stress 0e . After failure. but the slight difference contains the significant information about cohesion. 24 is such that plastic compression under the effective normal pressure 0e would produce a water content w. He mostly got clay from beside the slip plane as it was just before failure. 24 the line GFA would represent a set of specimens that are all at the same water content when they fail. To normalize the peak strength data in Fig. the solid straight line of CS frictional strength. at first the shear creep rate decayed. 0 Þ by 0e . Hvorslev would have had to make many tests. knowing values of ð. 1937). This point H in Fig.  ¼ 0 tan 0 þ c0 where c0 ¼ c0 ð0e Þ ¼ c0 ðwÞ ð11Þ . It is like Eqn (2) but with a cohesion c0 that depends on water content. and the straight solid line of lightly over-consolidated peak strength points. and in Fig. on a thin shear plane. and dilate more than BF. In Fig. Hvorslev cut out a slice of clay a few millimetres thick that included this thin slip plane to try to measure the water content at F. but slightly above. but what he measured was the water content w as it was just before failure. a specimen at G would have to be heavily over-consolidated to a point on DHE beyond E. 27. 0 Þ and the peak strength data of ð. water contents after failure in the slip plane would have given CS test data. According to the CS concept. Equation (10) fits line BC. He did not need this large set because. As Hvorslev’s shear load  on each such specimens increased. so that peak strength depended on the water content w in the region of failure. w. The explanation of this slight difference is as follows. There is only a slight difference between the peak strengths of over-consolidated clay on the dashed curves. he normalized those data as follows. The data on the dashed curves lie near to. 23 he divided each shear and normal stress ð.

0 Þ. corresponding to one value of w.56 DISTURBED SOIL PROPERTIES AND GEOTECHNICAL DESIGN Fig. swelling and shear strength Figure 26 led Terzaghi to claim that Hvorslev had found a true friction 0 of clay smaller than the slope at repose 0 < d and a true cohesion of clay c0 ¼ c0 ðwÞ that was a function of the water content w. He claimed that these friction 0 and cohesion c0 parameters are true constants in terms of effective stress components ð. 27 the line BC applies to one value of 0e . for saturated reconstituted reconsolidated clay without natural fabric. 27 but does not apply to lightly consolidated clay to the right of C in Fig. 27 and in particular does not apply at point D where plastic compression occurs . He failed to note that Eqn (10) gives peak strength values of over-consolidated clay only on BC in Fig. and of his true cohesion. Terzaghi thought that the surface chemistry of fine clay mineral grains and dissolved salts in pore water are the basis of adhesion between grains. In Fig. 25 Hvorslev’s (1937) data of compression. or the equivalent void ratio e ¼ v ÿ 1.

lubricating clay paste. 27 could cluster round the CS point C. 28 to be as thick as the layers of gouge material that are reported in the field then he would get data of soil in the region of failure at the moment of failure. . Critical state theory explains the failure mechanism. If Roscoe (1953) could get the layer of soil that flowed in his Simple Shear Apparatus (SSA) as shown in Fig. In stiff soil there is extra peak strength due to interlocking. then every data point on line BC in Fig. The flow of water for such a volume change takes time. All soil has strength due to friction. Fig. a rubble of lubricated blocks. 26 Hvorslev’s (1937) normalized peak strengths when 0 ¼ 0e . sliding on each other on very thin moist layers of soft. 27 Hvorslev’s ‘true’ strength of clay soil . If the soil on Hvorslev’s thin slip plane had reached a CS failure state. and if he had found the CS water content in that slip plane after failure. when a stiff clay body becomes rubble with cracks and slip planes between blocks. there are layers of soil paste on contact planes at which pore water suction keeps holding blocks together. and to ignore the effect of volume change in gouge material on thin slip planes. Schofield and Wroth (1968) describe failure on the left of the Frontispiece when a body of stiff clay disintegrates into lubricated block rubble with a layer of soil paste on areas of contact between blocks in which soil grains are held together by suction. Schofield and Wroth (1968) wrote about . by the CS concept all the data would be at C. but it would be an error to think of friction in fine-grain soil in terms of total stress.SOIL CLASSIFICATION AND STRENGTH 57 Fig. According to the CS concept. The CS concept explains the undrained apparent cohesion of a soft paste saturated with water as due to internal friction. .

The soft clay is being severely remolded but it can only soften to the critical state that corresponds with its effective spherical pressure. and BE and CF. 29) what we (Roscoe et al. and the corresponding critical state strength. We drew a curve ABC in Fig. plastic hinges open with relative rotation of blocks about this line. were plotted against the values of e. and (b) a part of the slip plane with less stress where the stiff clay state points lie to the left of the map of soil behaviour with cracks in dense soil.58 DISTURBED SOIL PROPERTIES AND GEOTECHNICAL DESIGN Fig.. The suctions will be whatever is needed to keep CS undrained shear flow in the paste. but this strength will act like glue in resisting cyclic loading and unloading of the contact. This will not occur with CS paste at contacts. The ratio of total force normal and tangential to contact areas is the familiar friction force ratio. Figure 29 shows a curved vertical wall. 0 Þ plane.3 CS interpretation of Hvorslev’s shear box data It is most significant that there are no data points on the right side of Fig. 1958) drew as the Hvorslev surface. if cycles of loading and unloading of contact plane areas take less than the time needed for the water content of the CS gouge material on the contact planes to change. The contact of blocks on a slip plane may have two distinctly different areas (a) with high effective stress passing through CS soil. and there will be areas rather than lines of contact. 27. 29 above the normal compression curve at 0 =0e ¼ 1 on the ðe. 5(d) may be non-uniform effective stress on Coulomb’s slip plane. a heap of hard rough grains that stands steady on a vibrating table will sink down to the surface as soon as vibration begins. Without soil suction. This pressure. It . 3. but Hvorslev did not obtain data corresponding to ABC and to this wall. 27 ends at C. If Eqn (10) did apply over the whole range 0 ¼ 0 =0e ¼ 1 and if many lines AD. they would form (Fig. Stiff clay blocks in rubble are not as strong as rock. so the two areas together give a point on line BC. 28 Roscoe’s Simple Shear Apparatus and also gives us the key to the behaviour of this lubricating clay paste. Forces between pairs of strong blocks act at a line of contact. The explanation of peak strength points on the straight line BC in Fig. The ‘friction’ concept involves a resistance to relative motion that depends on the effective stress between blocks. increase with depth in the rubble. The line BC in Fig. We can apply the well established friction calculations to the limiting equilibrium of a slipping rubble only because the strength with which the blocks adhere to each other is proportional to the pressure that has long been effective between them.

and it should be no surprise that Hvorslev found a significant difference between the ranges of over-consolidation ratios for which the line BC applies. and gave the data of failure states at points that fitted line BC in Fig. However. 24. Normally consolidated and lightly over-consolidated specimens with 0:6 < 0 =0e < 1 were ductile. 26 from Hvorslev’s doctoral thesis. In Fig. for two different clays. as in the soft clay tests of Casagrande and Albert (1932). 29 The Hvorslev surface (Roscoe et al. A simple CS theory will not apply to all soils. The drained tests of heavily over-consolidated stiff clay with 0 =0e < 0:6 to the left of AC in Fig. Hvorslev wrote equations there that obscured the fact that his data fell into a set of ductile and a set of brittle failures as indicated in Fig.. in neither case did Terzaghi and Hvorslev’s extension of their line BC to the right of C in Fig. The simple CS hypothesis that has been outlined in Eqns (9) and (10) would require additional information about the value of the lateral effective stresses in the shear box in order to precisely define a CS double line in Fig. It then reached newly disturbed granular material strength values corresponding to the angle of repose  ¼ d .SOIL CLASSIFICATION AND STRENGTH 59 Fig. As the lightly over-consolidated soft clay in the area between DE and AC in Fig. 1958) does not extend in the range 0:6 < 0 =0e . the data that give the straight line BC in this figure leave a space to the right of C. 24. Normally consolidated clay loses water in drained shearing. it became denser and reached the double lines AC. 24 or a value of 0 =0e ¼ 0:6 for point C in Fig. In Fig. 27 describe the data of yielding of soft clay. and tests end at some value 0 =0e < 1. 24 moved from B to F in Fig. they bulged and yielded with water contents that fell from DE to ultimate states on line AC in Fig. 24 yielded. 12. A note of caution is needed here. 27. 27 the normalized state of any test path in the range 0:6 < 0 =0e < 1 moved to 0:6 ¼ 0 =0e . 27. Terzaghi claimed that Hvorslev had verified Coulomb’s model of soil strength and found true cohesion . At F the brittle clay failed on a thin slip plane. The range for Wiener Tegel V is 0:05 < 0 =0e < 0:6 and for Klein Belt Ton is 0:1 < 0 =0e < 0:85. and the data of the ultimate states lie near to point C.

permeability and compressibility. and are only slightly stronger than the straight line in Fig. clean cohesionless backfill material is rarely encountered in practice. but he still suggested that all soil behaves as shown by the CS soil model in Fig. Clear perception of the uncertainties involved in the fundamental assumptions and intelligently planned and conscientiously executed observations during construction are the basis of geotechnical success. (the path DEC in Fig. allowed to swell to a state point 7. 11. But there were basic questions to be answered about what words such as friction and cohesion mean when the strength of soil is discussed. 12 it is ductile. has the proceedings of a conference held at the Institution of Civil Engineers in London on the measurement of the shear strength of soils in relation to practice. and reconsolidated to a state point 12. Roscoe was one of the participants. but Hvorslev wrote in his thesis that what he had established is that both sand and clay have critical states. 12 with Coulomb’s failure. but as it shears and contracts in zone C in Fig. published in December 1950. and of the difference between them and the sand that Casagrande had tested. differs from what Terzaghi taught his students and from how he interpreted his student Hvorslev’s research. 24 shows such a procedure). his claim was that Hvorslev’s shear box . any void ratio can become critical if it is produced by a critical consolidation procedure. Volume 2 of Ge´otechnique. Terzaghi wrote that the publication of Coulomb’s earth pressure theory was a brilliant beginning for soil mechanics but that the number of publications on this soil mechanics subject was ‘utterly out of proportion to its practical importance’. He felt that theory and testing techniques had advanced far beyond immediate practical needs in the years from 1938 to 1948 so that in 1948 ‘a well documented case history should be given as much weight as ten ingenious theories and the results of laboratory investigations should not receive too much attention’. He noted that when geologists made an inventory of materials that would be encountered in an excavation they paid no attention to factors such as shearing resistance. If interlocking is as shown in Fig. soil interlocks at peak strength in zone I in Fig. Hvorslev plotted his raw data of peak values of ð. contrasting structural design using man-made materials with well known properties and earthwork engineering using soil bodies in which material properties vary from point to point. 11(b). 25 of fully drained friction values. as dry. The set of shear box test specimens taken to those points gave peak strengths on a loop forming a dotted curve that lies only slightly above the straight line  ¼ 0 in Fig. critical void ratio does not exist. In June 1948. This re-interpretation by Schofield and Togrol (1966) of Hvorslev’s tests confirms Rankine’s teaching that engineers using the slip plane model can rely on CS friction d but cannot rely on cohesion. He expressed his hope for advances in a combination of engineering geology and soil mechanics. Hvorslev was well aware of the plate shapes and small sizes of the grains of clay in the soil he tested. He wrote that in the case of cohesive soil a definite. Rankine’s teaching on soil strength. that friction is the only force which can be relied upon to produce permanent stability. all accepted Terzaghi’s claim on true peak strength cohesion c0 and friction 0 tan 0 in the slip plane model. 0 Þ in Fig. 25 for clay that was consolidated to a state shown at point 2. 25. in the foreword to Volume 1 of Ge´otechnique. and Ge´otechnique intended to include papers on this theoretical aspect of soil mechanics as well as papers on case histories.60 DISTURBED SOIL PROPERTIES AND GEOTECHNICAL DESIGN and friction values.

The proportional increase of cohesion with the consolidation pressure can thus be explained by the increase in the contact area or. He subsequently made each of his students study his translation of Hvorslev’s doctoral thesis from German. which surround the individual grains when he wrote: Cohesion may be assumed to be governed by the adhesion of the absorbed water films. and hoped to bring specimens into the same critical states as gouge material on a slip plane in a new research study at Cambridge University with a simple shear apparatus (Roscoe. by the more pronounced influence of the molecular forces. but if it were to have returned along the . called the boundary energy correction. at an angle s of ‘apparent internal friction’. The process of reinterpretation of published data that has led to this book took many years. Ultimate soft clay strengths lay on what he called the a line. not the water content of gouge material on a slip plane after failure).1 of this book on an interlocking soil strength component in attributing all of Terzaghi and Hvorslev’s true cohesion to a significant boundary energy correction. His a line at an angle s was the same as line AC at the angle d in Figs 4(c) or 11(b). Bishop (1950). For Roscoe (1950) the outstanding result of the conference was confirmation of Hvorslev’s work. He rejected the Imperial College shear box test data. Haefeli was expressing a general belief of the conference delegates in London when he separated soil strength into a sum of friction and cohesion. 24 reached the point B and continued to F with drained shearing and failure on a slip plane. To help free expansion of dense soil he secured lubricated rubber sheets to the piston at A and B and to the pedestal at C0 and D0 . he thought the correction contributed little to shear strength. In the conference. 24. then Bishop and Gibson were very wrong. Haefeli (1950) confirmed that water contents of soft clay. but his tests only sheared a small layer in the specimen. He assumed that cohesion relates to the energy that is needed to remove water molecules from the absorbed water films. before and after shearing at the ETH in Zurich. The test path in Fig. However. 28) that was intended to find a larger effect with continuous shear flow and uniform density changes in an aggregate of grains. and that true cohesion on slip planes in clay depends on the water content of the clay in the region of failure at the moment of failure (although when Hvorslev sampled soil beside the thin slip plane he measured the water content of the clay just before peak strength. more generally. At that London conference. suggested that (as well as friction and cohesion) the shear stress to cause dilation should be considered. Lubrication on the rotating ends meant the shear stress on the top and bottom faces was not uniform so the SSA was difficult to develop and it was hard to get good SSA data. T&P attributed cohesion to the shearing strength of adsorbed water layers between grains at contact points. hence a water content decrease explained a cohesion increase. The research student who measured dilation in Bishop’s shear box at Imperial College did find the correction to be small. Uniformity of stress within the SSA needs non-zero shear stresses on each face as it rotates. End flaps BC and DA were free to slide and rotate to control specific volumes of soil in his shear box. without explicit reference to Taylor (1948).SOIL CLASSIFICATION AND STRENGTH 61 test data had validated the slip plane model. 1953) (Fig. which surround the individual grains. if I am correct in Section 2. did lie on lines such as DE and AC in Fig.

In Figs 12(c) and 12(d) the dashed lines on the wet side of the CS line have stress ratios lower than those at the angle of repose. eÞ plane. 27. this must apply right across Fig. The upper surface of the slab was observed. 27.62 DISTURBED SOIL PROPERTIES AND GEOTECHNICAL DESIGN dashed line to C and if drained shearing had taken place at a point J between C and E. the dotted lines on the dry side of the CS line have stress ratios higher than those at the angle of repose on the wet side of the CS line. the water film thickness is constant. The same soil that had been at B and had been discussed with words such as friction and cohesion would then be discussed with words such as plastic compression and yielding. the plot of Eqn (2) in Fig. The Hvorslev surface relates only to the states on the dry side of CS just before peak strength (Fig. 29). We should only have drawn lines such as BC in Fig. In Fig. 29 ending at the CS line in a space with axes ð. When Skempton and Petley (1968) studied the development of slip planes and the formation of structural discontinuities in stiff clay they referred to experiments on a slab of clay sheared into two parts. Energy stored and work done in distortion of the aggregate of grains does not relate to a particular plane through it. The CS concept does not explain why Hvorslev’s slip planes through dense stiff clay in his shear box mobilized strength data that fitted his straight lines in Fig. 29 the curve DEF in the ð. They refer to a discontinuous interlocked aggregate with separate blocks slipping relative to each other. suggested that on the wet side of the CS line a curved yield surface with cross sections of approximately parabolic form may be determined experimentally from both drained and undrained tests. 1(b) was described as a map of behaviour. CS yielding of soil before failure occurs in small-volume elements containing many grains. The Hvorslev surface that Roscoe et al. The underside of the slab was placed over the edges of two plates that were made to slip past each other and dragged the slab with them. Since the value of e is constant. In the CS model an aggregate of solid soil grains is held together only by effective spherical stress and not by any adhesion of one grain with another. The CS model explains why behaviour changes at C. 26. all data on the dry or wet side of critical states would have accumulated at the end C of the line BC in Fig. eÞ. and if we apply the cohesion theory from B to C we should also apply it to the right of C. in much the same way as the gas laws apply to small volumes of gas containing many gas molecules that all interact with each other. Roscoe et al. (1958) drew (Fig. 29) shows an edge to the Hvorslev surface with a curved vertical wall directly above the curve of normal compression with 0 =0e ¼ 1 on the ð0 . if Hvorslev had been able to sample the water content of CS gouge material within the slip plane gouge material after dilation. By the CS concept. When the slip plane model was contrasted with the CS model of soil behaviour in the first chapter of this book. In Figs 12(c) and 12(d). and successive discontinuities were seen to develop at various angles to the ultimate slip plane. If the explanation of the curve DEF is a cohesion that depends on the thickness of the water film. We were incorrect to draw a surface all the way to that edge since there is no test data in the space to the right of C with 0 =0e ¼ 0:6 in Fig. and that test paths cross this surface and ultimately reach the CS. 27. the path would have been from J to K. eÞ plane shows that  increases as e and hence water content decreases. The slip plane passed through what can be described as . 0 . The lightly stressed soil slabs were in non-uniform stress states far to the left in the Frontispiece.

29. weathered. It re-creates aspects of an actual case of failure with scaled boundary conditions. Skempton (1977) proposed that London Clay had time-dependent cohesion. 0 Þ or c ¼ 0. Schofield and Wroth used c ¼ 0. conclusion to be drawn from the work outlined above is the remarkable similarity between the behavior of the clays and the cohesionless granular media. as will be discussed further below. 5(d) for Coulomb’s slip plane. Figure 5(d) shows these alternative interpretations of test data in terms of cohesion and friction properties ðc. and it might be relevant to refer to a comment by Terzaghi (1956) on the mechanical concept of the behavior of clays.SOIL CLASSIFICATION AND STRENGTH 63 discontinuous rubble. this supposition was wrong. with a friction angle of 0 ¼ 208. When Schofield and Wroth (1968) discussed Henkel’s (1956) analysis of the long-term stability of retaining walls in stiff fissured London Clay. and his data could be explained by combining CS friction with interlocking in a disturbed aggregate of hard grains. Hvorslev’s analysis of his laboratory tests fitted his test data to a line such as BC in Fig. Two cut faces of a 10 m excavation into stiff. The CS alternative was for time effects to be due to the transient flow of pore water in mechanical disturbance of the aggregate of grains in gouge material near the slip plane. and perhaps most surprising. 1970) tested models of scaled excavations in large undisturbed London Clay samples. 12(c). brown. The Frontispiece builds on the 1958 conclusion of Roscoe et al. not vectors of stress on planes through it. 12(d) and stress ratios =0 in Fig. and an attempt to understand the data of stable yielding in triaxial tests of reconstituted clay soil in the Frontispiece. but the Hvorslev surface plots with components of stress 0 normal to a slip plane in Fig. The paper about the progressive development of discontinuities and a slip plane then makes a calculation that requires the region to which it is applied to be continuous. Skempton applied his supposition that the value of c should fall with the passage of time to the calculation of the short-term stand-up of a steeply battered face in the excavation for the foundation of the Bradwell nuclear power station. and the angle between the direction of the slip plane and the direction of the plane on which the major principal effective stress acted at failure agreed with the Mohr–Coulomb failure criterion calculation when they used Hvorslev’s true friction angle. There is an attempt to understand Hvorslev’s peak strength data in Fig. steeply battered at different inclinations. cracking and shearing on models made of undisturbed soil in the UMIST centrifuge. 0 ¼ 228 to get a CS alternative to Skempton’s and Henkel’s calculations. It plots the spherical effective pressure p0 . he found that. This method was used in two studies of scaled combinations of consolidation. failed in test times of 28 and 55 minutes corresponding to 12 and .: The main. London Clay. swelling. One example (Lyndon and Schofield. so the face failed before completion of the work. and the stress ratio q=p0 . fissured. CS theory considers scalar invariants of effective stress tensors of stress at points in an aggregate. the c contributing to the stability of the failed ground fell below his expected peak c value. we applied the CS analysis of disturbed soil to undisturbed soil with cohesion caused by cemented bonds or chemical effects as well as the closeness of grains. For Henkel’s set of wall failures in North London. Geotechnical centrifuge testing is a laboratory test method with a longer history than the triaxial test.

It was consistent with a time scale factor for softening of the square of the length scale (as in Terzaghi’s time factor for consolidation). which more or less corresponded to what happened at Bradwell. . and the time for which a slope will stand before failure is not a matter of time-dependent cohesion. The other example was Lyndon’s (1972) modelling of the 1954 Lodalen landslide with a scaled excavation. In both examples the long-term softening in the failure zone depended primarily on the suction of water into the zone. 5(d) as a fundamental truth about the strength of clay.64 DISTURBED SOIL PROPERTIES AND GEOTECHNICAL DESIGN 24 week times for prototype failure. slow swelling and long-term failure in large undisturbed samples of Lodalen clay. Skempton saw Hvorslev’s line BC in Fig. he did not appreciate the significance of the predicted behaviour of OCC on the wet side of the CS. Although he finally accepted that first-time failure of stiff fissured brown London Clay is consistent with soil strength on line AC equal to fully softened CS friction with no cohesion.

30 are linked with strain increments in the triaxial and the simple shear tests. These deformations do not involve slip on any discrete plane. but appear different as we adopt different reference axes. and in step dÃà an extension strain "1 of side 1 of the rectangle and a compression strain "2 of side 2 of the rectangle returns the shape to the original square. The deformation geometry of the specimen in steps aÃà and dÃà resembles the SSA and the triaxial test. Step bà is rotation. and not from any adhesion amongst them. 4. The shape changes in Fig. Late 19th.and 20th-century engineers learned about the stress and strain circles that will be developed in this section.4 Limiting stress states and CS The subject of this paper is the mathematical theory of that kind of stability. We see in Fig. In Fig. 30 a square element of a plane body is moved and trimmed in five steps that restore it to the original shape. Step cà cuts the corners of the specimen. a starting point is that properties do not change when samples are moved from place to place and trimmed. Step eà rotates it back to the original position. The essential nature of strain is that steps aÃà and dÃà show exactly the same phenomenon. but he kept the concept of a frictional limit to the shear stress on any plane. All changed after Cauchy (1789–1857). Step aÃà is simple shear distortion. Shearing of a square causes a change of angle at each corner.1 Strain circle. but the two tests can be shown to be fully equivalent by this principle. For a student who needs to familiarize themselves with the mathematical concepts of stress and strain. and it is also behind the concept of strain. Triaxial and simple shear test specimens look different. Rankine (1857) began with a clear objective as follows: When he considered the aggregate of clean. rough irregular grains with limiting stress on slip planes he tried to follow Cauchy’s method of dealing with a solid body as a continuum. 30 that this involves distortion (as two sides of a square rotate by angles Æ =2 towards each other in step aÃà ). which in a mass composed of separate grains. To understand how change of length and change of direction work in a more general plane strain we examine a strain that involves stretching space by "x in the x direction . to leave a rectangular shape without displacement or distortion. Step dÃà distorts the rectangle back to the original square. A body rotation of the dashed vector diagonal is subtracted from step aÃà to get step bà . arises wholly from the mutual friction of those grains. This is the principle behind soil sampling and laboratory testing. and body rotation (in step bà ). soil stiffness and strength The treatment of the vector components of stress on slip planes up to here in this book would have been familiar to 18th-century engineers such as Coulomb.

The effect on a unit vector inclined at an angle to a major strain direction is shown in Fig. 30 Distortion (ÃÃ ).66 DISTURBED SOIL PROPERTIES AND GEOTECHNICAL DESIGN Fig. 30. rigid body displacement (Ã ) and the strain circle and "y in the orthogonal y direction in Fig. The unit vector both extends by " and also rotates through ". 30(f ).

If the unit vector is seen as having components of length sin and cos that are each elongated by strains. . simple equations relate the strains as follows: " ¼ "1 cos2 þ "2 sin2 ".

and sin 2 ¼ 2 sin cos . ¼ "1 sin cos ÿ "2 cos sin Since cos 2 ¼ cos2 ÿ sin . these equations give " ¼ ð"1 þ "2 Þ=2 þ ½ð"1 ÿ "2 Þ=2Š cos 2 ".

". ¼ ½ð"1 ÿ "2 Þ=2Šðcos sin Þ ð14Þ ð15Þ ð12Þ ð13Þ This second set of equations show that ð" .

30(g) with centre ð"1 þ "2 Þ=2 and radius ð"1 ÿ "2 Þ=2. ". Þ gives a point on the circle in Fig. As the angle in Figs 30(f ) and 30(g) rotates from 0 to p. the radius to the point ð" .

The strain circle allows interpretation of data from a strain gauge rosette that is stuck to a plate. Þ on the circle rotates through 2 . KM. 31 in a triangle KLM with principal stresses ð1 . 2 Þ acting on horizontal and vertical sides ML. 31 Plane stress components . A simple starting point with plane stress is shown in Fig. Fig. From the data of changes of length in the directions of the gauges in the rosette we can get principal directions of two lines on the plate that elongate without rotation.

2 Þ major and minor stresses act. L. a general line through P at the angle cuts the circle at a point K with coordinates ð. M and N shown in Fig. (b) Directions of four planes (K. K. The stress components ð0x . xy Þ act on the element sides. N) on which four stress vectors act and with a general section side LK inclined at an angle . so KM ¼ sin and ML ¼ cos . tÞ by the resolution of forces normal to and parallel to LK in Fig.LIMITING STRESS STATES 67 Fig. Parallel to the plane in direction KL in Fig. 01 . represent stress components on two orthogonal sections through points in a continuum. but student engineers are taught the opposite convention in strength of materials lectures on materials such as steel. this convention is adopted in soil mechanics because soil fails in tension. Pairs of points such as K and L. The fact that this circle cuts the  axis at the opposite ends of a diameter confirms the assumption in Fig. 0 Þ give the point K. 32(b). The side LK of triangle KLM is of unit length. L. M. To the left is a general square plane element with axes ðx. 32 Plane stress circle. L. Through the pole P in Fig. 31 as follows: x ¼ 1 cos cos þ 2 sin sin ¼ ð1 þ 2 Þ=2 ÿ ½ð1 ÿ 2 Þ=2Š cos 2 ¼ s ÿ t cos 2 y ¼ 1 cos cos þ 2 sin sin ¼ ð1 þ 2 Þ=2 þ ½ð1 ÿ 2 Þ=2Š cos 2 ¼ s þ t cos 2 xy ¼ ð1 ÿ 2 Þ cos sin ¼ ½ð1 ÿ 2 Þ=2Š sin 2 ¼ t sin 2 where s ¼ ð1 þ 2 Þ=2 and t ¼ ð1 ÿ 2 Þ=2 ð19Þ ð17Þ ð18Þ ð16Þ Anticlockwise shear stress and compressive normal stress are plotted as positive quantities in Fig. Normal and shear stress components ðx . M. s. M. Equations (16) to (19) show that K lies on a stress circle with the centre O at a point  ¼ s and radius t. 31 that there are two principal directions of principal planes on which ð1 . 02 Þ. or ð . N) cut the circle at points N. or M and N. 0y . 31. but the shear stresses  are equal in magnitude and opposite . yÞ inclined at the angle . with coordinates representing the stress components on planes in four directions of sections K. Þ that are the components of stress on that KL plane. y . 32(a) four lines (K. (a) Four plane stress points on a circle. Point P on the circle is called the pole of planes. The normal stresses  at these points differ. xy Þ can be found in terms of ð . L. 32. The components ð.

equal and opposite shear must act on the horizontal plane. and new engineering textbooks introduced tensor notation. 1(c)). 32(b) the major stress 1 on the plane test specimen acts vertically on the horizontal plane. minor stress in the test specimen acts horizontally on the vertical planes. In Fig. and are called complementary shear stresses. An overarching new mathematics developed. The role of experiment was reduced to the determination of physical constants. In general. The aspects of the physical world that could be deduced by mathematics became part of what is called applied mathematics and mechanics. and a vertical line drawn through P cuts and is tangential to the circle at the minor stress point 2 . For example. but a student who understands graphics well enough to solve engineering stressing problems need not understand or be overawed by tensor analysis. It intersects the circle at a point with coordinates of the components of stress. 32(b). In Fig. M. In the early 20th century. Newton had introduced what he called fluxions and are now called derivatives in the calculus and physical laws that then became expressed in terms of physical constants. a line is drawn through this pole P parallel to that direction. transformations from one set of reference axes to another that had been encountered in continuum analysis were met in problems of relativity and electromagnetic theory.68 DISTURBED SOIL PROPERTIES AND GEOTECHNICAL DESIGN in sign. and is plotted as point Q. 33 Boundary forces in alternative tests . Stress and strain circles now appear antiquated. L and N. In Coulomb’s Plate 1 (Fig. of his 1773 Essay the test in his Fig. 2 has a weight hung from a loop of rope round the root of a stubby cantilever. called tensor analysis. If a clockwise shear stress cu acts on the vertical plane. Figure 33(a) shows a point in a continuum with lines at 458 through it in directions K. to find components of stress on a plane in a given direction. intersects the circle at the point P that is called the pole of planes. Figure 33(e) shows the difficulty that was bound to occur in Fig. Through Q a line drawn parallel to the plane on which 1 acts. the stress circle lets us comment on Coulomb’s tests on rock and SSA tests on soil. For example in Fig. thought by some to be work for technicians. or quantities that are independent of the observer’s choice of reference axes. 33(b) the vertical plane M bears a uniform shear stress .

02 . and get more or less undisturbed cylindrical soil samples. Hence stress was not uniform in the SSA. A spherical stress increment dp0 divided by the elastic bulk modulus K gives dv. 28) covered by lubricated rubber sheets did allow expansion but eliminated the shear stress that was needed on them. q2 . 2. 03 Þ normal to each face of a cubical test specimen. 35 can be expressed in the following terms: 01 ¼ ð01 þ 02 þ 03 Þ=3 þ ð01 ÿ 02 Þ=3 ÿ ð03 ÿ 01 Þ=3 ¼ p0 þ ðq3 ÿ q2 Þ 02 03 ¼ ¼ ð01 ð01 þ þ 02 02 þ þ 03 Þ=3 03 Þ=3 þ þ ð02 ð03 ÿ ÿ 03 Þ=3 01 Þ=3 ÿ ÿ ð01 ð02 ÿ ÿ 02 Þ=3 03 Þ=3 ¼ p þ ðq1 ÿ q3 Þ ¼ p þ ðq2 ÿ q1 Þ ð01 . 02 . but we do not have cubes of soil to test because we drill vertical holes in ground. a volumetric strain increment. are needed to define the elastic stress–strain behaviour of an isotropic continuum. The basic elastic constants K and G for an isotropic elastic continuum (Fig. I found later that elongation of a bar involves two quite different effects. but most is due to shear distortion. Penman (1953) had published his triaxial test data at the BRE. I thought that elongation of metal in tension depends on a single material property like coiled spring stiffness. The rotating end flaps BC and DA (Fig. These publications needed to be reinterpreted. not about K and G. 34 Bulk and shear stress and strain Roscoe’s SSA (Fig. 03 Þ 0 0 ð20aÞ ð20bÞ ð20cÞ can be Equations (20) and Fig. Cartesian tensor analysis (Jeffreys. Bishop and Henkel (1962) had published Imperial College triaxial test data. A truly triaxial test would apply a different pressure ð01 . q3 Þ and a spherical . qÞ parameters that re-interpreted the data. The increments in deviator stress dqi divided by the elastic shear modulus G gave elastic shear strain increments d"i .LIMITING STRESS STATES 69 Fig. 28). In the late 19th century it was still thought possible that one physical constant might define the elastic properties for isotropic material. as we have already seen in Fig. as a 20th-century student I was taught about Young’s 17th-century elastic modulus E. Love (1927) still referred to multi-constant and rari-constant theories in the historical introduction to his treatise on the mathematical theory of elasticity. K and G. The general stress state in Fig. part is caused by reduction of the metal density. 1931) showed that two elastic properties. press sharp cutting tubes down at the base of the holes. 34) led to the ð p0 . These cylindrical samples are sheathed in thin flexible rubber and tested in what is called a triaxial cell. 35 show that a truly triaxial stress decomposed into three general shear components ðq1 . In soil mechanics when the Mohr–Coulomb theory was dominant. all laboratory tests aimed to find soil constants. Development of CS theory had to rely on the data of soil laboratory tests where the original purpose was to support the ruling theory. but which in fact applies axial stress 0a ¼ 01 and radial stress 0r ¼ 02 ¼ 03 .

The top half of the map has a > f stress obliquity  > 1 positive and the bottom half has a < r . This is an appropriate point for a small comment on the parameters plotted in the Frontispiece. This applies in the Frontispiece where stress obliquity  ¼ q=p0 ¼ 3ða ÿ f Þ=ða þ 2r Þ covers two zones. Their zero sum means that deviator components contribute nothing to the fluid pressure p0 . In the case of a stress vector on a plane. then anticlockwise shear must cause contraction. A value of q derived from the sum of the squares of shear components as in Eqn (23) must be a positive quantity. In Fig. If clockwise-turning shear caused dilation in a material. but in the triaxial test the . but in Fig. In an isotropic elastic continuum. and shear stress cannot cause volume change. In order for linear isotropic elastic material to be neither clockwise nor anticlockwise. as is seen in Eqns (21) and (22): p0 ¼ ð01 þ 02 þ 03 Þ=3 q1 ¼ q2 ¼ q3 ¼ ð02 ð03 ð01 ÿ ÿ ÿ 03 Þ=3 01 Þ=3 02 Þ=3 01 ð21Þ ð22aÞ ð22bÞ ð22cÞ The successive states imposed in drained triaxial compression tests with ¼ a and 02 ¼ 3 ¼ r define a test path. where q ¼ a ÿ r . the angle of obliquity is always positive. tension ÿq acting on a face at right angles. spherical stress cannot cause shear distortion. In gas or fluid that cannot sustain shear stress we think of p0 as pressure. Scalar-invariant parameters ðq. symmetry would require that an anticlockwise material must also exist.70 DISTURBED SOIL PROPERTIES AND GEOTECHNICAL DESIGN Fig. 2(a). If a clockwise material were to exist. so  < 1 is negative. p0 Þ can be derived from the principal effective stress components: q ¼ ½ðq2 þ q2 þ q2 Þ=2Š1=2 ¼ 0a ÿ 0r 1 2 3 p ¼ 0 ð23Þ ð24Þ ð0a þ 20r Þ=3 We have seen earlier in this book that the most important property of a grain aggregate is that a shearing deformation can cause volume change. 14(b) the dilation or contraction of a grain aggregate cannot depend on the shear direction. 35 Components of truly triaxial stress component p0 . Isotropic elasticity cannot model this. Deviator stress involves compression þq acting on one face of a cube. in which anticlockwise turning shear would produce dilation. and zero pressure on the third face. it must have constant density in shear distortion. the possibility of both positive and negative values of q allows for a difference in behaviour in tests where axial or radial stress is the major stress.

either axial relief of stress or radial compression causes cracking on planes perpendicular to the axis of a test cylinder. In these tests. soil contracts in states in which v > ÿ (called on the wet side of critical ). which then bubbled through water. and in logs that are split for firewood. and an air pressure gradient led to an axial flow of air. The Cambridge test data were scattered. The OCC model that will be discussed below is within the scope of isotropic plasticity in solid mechanics. Different limiting states are involved when a specimen shears on a slip plane and when it cracks. by pushing a plunger down into the cell. with pieces of rock bursting out of the face along the tunnel axis.LIMITING STRESS STATES 71 generalized parameter  has an additional meaning. 2 with no pore water pressure u ¼ 0. the grains that will form asperities on either side of the new crack surface move away from each other far enough for the new crack surface to become unlocked. and similar spalling is seen when concrete slabs fail with high stresses in the plane of the slab. The cracking that is observed in lightly stressed dense specimens differs in different halves of the map. If a tunnel face carries stresses in both radial directions that are too high it will spall. so an 2 upper and a lower line can be drawn in the Frontispiece at these values. In tests of compacted Teton dam core material tests at Cambridge University. and dilates in states in which v < ÿ (called on the dry side of critical ). In the upper half of the Frontispiece. To detect cracking they were cling-wrapped to seal the free surface. p0 Þ. Cylinders split apart on the diametric plane. when a crack opens. if the radial stress is zero then  ¼ þ3. During both clockwise and anticlockwise shearing. Unsaturated compacted soil cylinders were subjected to split cylinder tests. Two further possibilities are that the hanger load will keep the axial stress constant and that stress obliquity will be changed by a change of cell pressure. or that the total axial and radial pressure will both be held constant and that injection of a small quantity of pore water at the pedestal connection will reduce p0 and cause the obliquity to change. Another possible criterion is a line with p0c =p0cs ¼ 1=100 where p0c is the mean normal effective pressure at the onset of cracking and p0cs is the CS mean normal effective pressure. The cracks were seen in radiographs after tests. Tension cracking of concrete is seen in split cylinder specimens. with cracks like the cracks that are seen in the free surface of ground at the top of the slope. but all were inside such lines on the map. In Fig. The onset of cracking of soil was detected both by a shift in the load deflection line and by a sudden increase in the rate of air bubbling. instead of standing in a testing machine. No total stress acts normal to a crack surface. An alternative tensile strain criterion for cracking is that. OCC is a model for isotropic soft soil on the wet side of the CS during plastic yielding and flow. in the lower half. or if the axial stress is zero then  ¼ ÿ 3. it can crack into many discs. but it is possible for the plunger to pull the top cap upwards against the cell pressure and make axial stress less than radial stress. it introduces the parameter v ¼ v þ  ln p0 and the CS relation (Eqn (10)) is written as v ¼ ÿ. an axial compression causes a test cylinder to split on axial planes. I . the onset of cracking was detected by an increase in permeability both to water and to air. To describe granular media with critical states ðv. specimens are compressed between two lines of contact at the ends of a diameter. the force on the top cap can be increased. 2(a) the cell pressure can be held constant and. In Fig.

that it plays little part in continuum theories. vÞ parameters in 1955–1957 at the outset of my research (Schofield. Points on either the stress ellipse or circle do correctly represent plane stress components ð. lines through a point in a plane body. and retained only one peak stress circle from the data of one specimen at failure. Triaxial test specimens can fail in two slip plane directions. In the Mohr–Coulomb interpretation of data. p0 . The final portion of the path suffers from the distortion of test cylinders at failure. .72 DISTURBED SOIL PROPERTIES AND GEOTECHNICAL DESIGN developed analysis of soil test data using ðq. 0 Þ tangential to. a stress state is represented by a stress circle. The initial portion of any path is not well defined. These publications showed stress circles at failure of sets of triaxial test specimens. and normal to. p0 Þ parameters over stress circles was that the new analysis retained data from all stages of one test as points on one test path. . Slow tests of saturated cylindrical soil specimens in rubber sheaths in triaxial cells with drainage or pore pressure measurement of pore pressures or suctions to find the effective stress give excellent data. representation of stress imparts no understanding of the inter-relation of stress-increment and strain-increment in elastic theory. like Coulomb. He stated that the permanent stability of earth is due to friction alone. and all other test data had to be discarded. but he failed to question the slip plane concept behind Eqn (2). and a test path ends with one ultimate stress circle of limiting stress at failure. and that the uncritical use of Mohr’s circle by workers in soil mechanics has been a major obstacle to the progress of our subject. p0 . Data from the middle portions of many test paths when correlated to reduce errors due to specific volume variation give more insight into soil behaviour than is given by stress circle envelopes. but the second direction is never considered when soil is tested in a shear box. The specimens’ specific volumes varied. The advantage of ðq. but it does not follow that vectors across particular planes matter. and engineers can find stress components on inclined lines from the ellipse or circle. did not rely on cohesion. Schofield and Wroth’s (1968) criticism of both stress circle and ellipse was that such . 1960) for the purpose of interpreting the then newly published series of research theses and Ge´otechnique papers on triaxial testing at Imperial College and the triaxial test handbook by Bishop and Henkel (1957). vÞ space exhibits elastic strain and plastic yielding as well as ultimate failure of a test specimen. but the Mohr’s circle interpretation of the test data is doubtful. Since experience of failure of retaining walls is that a wedge of soil slips as a single slip plane forms. The test interpretation by a path through a series of points ðq. unless failure planes also occur in the second direction. No set of circles at failure had a very precise failure envelope. Rankine. The stress tensor and its invariants involve all vector components on all planes. an alternative reaction would have been to deduce that Eqn (2) is wrong. . p0 Þ raises a question about Rankine’s reaction to discovering that the limiting stress conditions on a plane through a point in soil also apply on a plane in a second direction. The above discussion of stress circles and ðq. Initial displacement is needed before the aggregate of grains at the end of a test cylinder is properly in contact with the pedestal and the top cap. Rankine could have deduced that soil failure also involves strain.

2 Rankine’s soil mechanics Rankine had already made fundamental contributions to thermodynamics when the University of Glasgow elected him to be Regius Professor of Civil Engineering and Mechanics in 1855. In Fig. the physical quantities of this type are tensors. has a pair of lines DA and BC with c > 0 enveloping all plane limiting stress circles. where AD and CB show Mohr–Coulomb conditions (Eqn (2)). 0 Þ plot. lines PA and PB define the a and b directions in Figs 36(b) and 36(c). (b) Directions a. the failure criterion lines are symmetrical on a ð. Cauchy showed that when reference axes ðx. b. (c) Slip lines . What is now called the Mohr–Coulomb failure criterion. 36(a). and a stress circle with centre O touches the lines at A and B.LIMITING STRESS STATES 73 4. zÞ are transformed. B. 37(a). the whole stress at the point is a physical quantity of a type that is of a higher order than the vector. and became universal (Swain. 1(a) define a physical quantity of a type called the vector. While plane stress components ð. He decided to teach stress from the basis of Cauchy’s early ´ 19th-century discovery of the stress tensor as presented by Lame’s Lecons sur la ¸ ` The´orie Mathe´matique de l’Elasticite´ des Corps. Stress circle teaching in Berlin by Mohr replaced Rankine’s stress ellipse teaching. 36. 36 Mohr–Coulomb theory. 36. Neither quantity changes physically if reference axes are chosen in different directions. a more simple interpretation is the stress circle. The asymmetrical pair of lines for the Mohr–Coulomb failure criterion in Fig. y. p0 Þ plot in Fig. 1882). the array of stress components on inclined planes in a continuum changes in the same way as the array of numbers that define coordinates of points on an ellipsoid. The plane stress ellipse explains what changes in the numbers are appropriate for the plane stress tensor. Rankine taught his students an interpretation of the plane stress by an ellipse. 37(a) are asymmetrical. In Fig. and the ðq. reproduced in Fig.) The array of numbers needed to define stress at a point exhibits tensor invariance under transformation of axes. 0 Þ at a point in the mid plane of the shear box in Fig. 37(b). 36(a). Here we must explain why the Frontispiece. as shown in Fig. Figure 37(a) shows how the curves for the Mohr–Coulomb failure criterion on Fig. has states on line EF with q > 0 corresponding to axial major stress a > r and states with q < 0 on line E corresponding to a < r that are states not considered in Fig. but each component in the array that defines each quantity shows an appropriate change as the reference axes change. (Rankine (1858) refers to this most influential mid-19th century French textbook. (a) Limiting stress at A.

The faces of a prismatic element in Rankine’s Manual of Civil Engineering (1874) have pressures on them that are called conjugate if the vector of pressure on one face is parallel to the Fig. At successive points ABCD on the line AD the dashed lines show that as the effective pressure p0 increases from A to D. in Fig. 37(b) and the curved line through them map the Mohr–Coulomb failure criterion in the Frontispiece. 38 Conjugate stress and earth pressure. There is uncertainty in Fig. 38(b) in a vertical slice of ground with selfweight below an inclined unstressed upper plane surface. The stress circle in Fig. then limiting stress also applies on a second family of lines in a different direction that Coulomb did not anticipate. The effect on the parameters used in the Frontispiece and in Fig. 37 Mapping of Mohr–Coulomb theory and safe states slip planes in the Frontispiece can be obtained. a0 B0 . the slope q=p0 and stress obliquity decreases. 36(a) as to the value of the intermediate stress. Points abcd in Fig. Rankine discovered that if Coulomb has a family of parallel lines of limiting stress (as shown as aB. (b) Earth pressure on a wall. (c) Ratio of major and minor stress . (a) Stress circle. 38(a) represents the plane stress state of the plane soil element at depth z by a wall. 37(a) does not need to be resolved here as the Frontispiece is only a map produced for the purpose of discussion. as shown in Fig. 1(c)).74 DISTURBED SOIL PROPERTIES AND GEOTECHNICAL DESIGN Fig.

LIMITING STRESS STATES

75

other face of the prism. Where he had a stress ellipse our Fig. 38(a) has a stress circle. For a slice through the ground behind a vertical retaining wall, W is the least pressure on the wall. The ground in this minimum active state tends to move the wall. The point V on circle A represents the vertical stress on the inclined upper face of the element. The other circles to the left of A represent plane stress states higher up in the vertical slice. The line OV through V parallel to the inclined upper face cuts the circle A in the point P, which is called the pole of planes. Each inclined line drawn through P will cut the stress circle at a point that has coordinates representing the components of the plane stress vector on a line at that inclination in Fig. 38(b). The vertical line PW drawn through P cuts the circle at point W, representing the stress vector components on the vertical face of the soil element in Fig. 38(b). The solid lines DA and BC in Fig. 36(a) are tangential to the stress circle at points D and B and satisfy the Coulomb equation: Æ ¼ c þ 0 tan  ð2 bisÞ

The faces of the plane prism of soil in Fig. 36(b) are in the vertical and the horizontal direction. The dashed line PA and the chain-dashed line PB are in the conjugate a and b line directions shown in Fig. 36(b) on which limiting stress acts. The stress circle in Fig. 36(a) is drawn with both cohesion and friction in the Mohr–Coulomb equation. Rankine (1857) thought that he could solve the plane problem of the stability of earth using a feature of conjugate planes that he had noticed. Figure 38(a) shows three stress circles corresponding to soil states at increasing depths in a slope. Point P is the pole of planes on the largest of these circles. The coordinates of W (Fig. 38(a)) show stress components that act on a plane in the direction PW. The pair of lines OPV and OWU in Fig. 38(a) show that PW is parallel to the  axis, hence point W in Fig. 38(a) represents the stress components that act on the vertical plane in Fig. 38(b). For a prism with horizontal and vertical faces, the lines OPV and OWU merge with the 0 axis. The stress circle in Fig. 38(c) shows that the ratio of major and minor stress is as given by the equation in that figure. Rankine saw that if the weight of a vertical slice of a slope acted vertically on the inclined base of the slice, then his theory would give him the inclined stress acting on the vertical face of the slice (Fig. 39(b)). At the top of the slice there is zero stress, and stress increases with depth in the slope. He knew the way that the surface slope changed from one slice to the next, and wished to find a family of curved surfaces below the surface such that the base slope of each slice is always conjugate to the vertical direction of the side of the slice. He was on the Glasgow train, preparing his new undergraduate course, when he formulated equations for these surfaces, and quickly wrote a letter to the Secretary of the Royal Society to tell him that he was going to write a paper for the Philosophical Transactions of the Royal Society. He thought that he had to deal with the heat equations, with which he was familiar, and could draw a family of curves below the slope like the isothermal curves for conduction of heat in the semi-infinite plane body with an upper surface of general form (Fig. 39(b)). If he had been right, his curves would have been like the isothermals found by graphical methods, but his solution for an upper surface of the general form shown in Fig. 39 in the central part of his paper is wrong. After Rankine’s death, Boussinesq (1874)

76

DISTURBED SOIL PROPERTIES AND GEOTECHNICAL DESIGN

Fig. 39 Rankine’s earth pressure analysis. (a) Conjugate stresses. (b) Figs 2 and 4 from Rankine (1857) pointed out that Rankine should have used the wave equations rather than heat equations. Rankine had useful solutions only for what are now called Rankine stress states below an inclined plane surface as shown in Fig. 40. With cohesionless horizontal back-fill, both Coulomb and Rankine found the same lateral force, and agreed that ground can be at rest in a range of states between an active lower limit and a passive upper limit; with the vertical pressure at a depth z in the fill behind the wall as the major stress 0MAX ¼ z the calculation for a smooth vertical wall from Fig. 38(c) shows that the minor stress is 0MIN ¼ zð1 ÿ sin Þð1 þ sin Þ. Correct solutions to the limiting static earth pressure problems with given stresses on the boundaries were given for example by Sokolovsky (1960). He combined the two equations of equilibrium of plane stress with the limiting stress equation to form three equations in three unknowns ðx ; y ; xy Þ. When transformed into two equations in new variables, he could solve the problem by the method of characteristics (see Schofield and Wroth, 1968). All solutions that used the slip plane model neglected strain. Terzaghi (1936) had learned in smallscale earth pressure tests in Turkey and in tests at full scale in the USA that strains affect earth pressures but, as strains did not enter Rankine’s earth pressure theory, he concluded that The fundamental assumptions of Rankine’s earth pressure theory are incompatible with the known relation between stress and strain in soils, including sand. Therefore the use of this theory should be discontinued.

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77

Fig. 40 Directions of limiting stress in (a) a slope at repose or (b) a shear box. (c) Perfect dilation in a slope or box if limiting stress directions are slip lines Terzaghi correctly noted the importance of strain, and this is seen in tests by Schofield (1961), but as there is no error in the equilibrium equations the fundamental fallacy that has to be corrected must be an error in Eqn (2). If Eqn (2) were true, the stress boundary conditions would determine the stress throughout the field, and the strain boundary conditions would not affect stresses. The symmetry of the stress tensor requires that a limit to stress on a plane in one direction must also apply to a second plane in another direction. Domains of dependence in solution by the method of characteristics mean that stresses on boundaries fully determine limiting stress in a field. If earth pressures involve strain, the strength parameters ðc0 ; 0 Þ cannot be constants. The formulation of the OCC model specifies internal friction of soil in a different way, by a dissipation function. Rankine wished to analyse a granular material without introducing what he called the artifice or assumption of Coulomb’s slip plane or wedge of least resistance. However, when Rankine assumed that resistance to displacement by sliding along a given plane in a loose granular mass is equal to the normal pressure exerted between the parts of the mass on either side of that plane multiplied by the coefficient of friction, he defined internal friction of soil by the same slip plane strength model that Coulomb had used. Neither Coulomb’s limiting stress model nor Rankine’s granular material considered strains. A slip line has constant length. To either side of it a rigid body is displaced along it with no dimension change. If the two families of lines of limiting stress in conjugate directions a and b in Fig. 36(b) are also slip lines of constant length, as mentioned in Section 1.3, then a lattice displacement in Fig. 36(c) will cause a dilatation increment in the plane area enclosed within the lattice. Parallelograms tend to become squares of larger area. This applies to the slope at repose in Fig. 40(a) and the simple shear box in Fig. 40(b) that is drawn with the box base inclined at the slope angle. On the stress circles, point P represents stress components on a line parallel to the limiting slope in Fig. 40(a) and the base of the box in Fig. 40(b), and point Y represents limiting stress components on the conjugate line, shown as a dashed vertical line PY. Lines in conjugate directions bound the block on the slope in Fig. 40(a). Limiting stress acts on both vertical and inclined lines in Fig. 40(b), and if both slip line segments have constant length, then as shown in Fig. 40(c) the vertical line rotates forward with each

It appears to be the case in landslides that moving material on a slope can rotate as it flows. but a change of triaxial cell pressure on soil saturated with incompressible water will cause an equal change of pore pressure. Experiments on a laboratory table in the Earth’s gravity will not have the high effective stress at depth in model slopes that exists at full scale in the field. That type of flow is not associated with a potential function. His equation can be written as follows: Áu ¼ B½Á3 þ AðÁ1 ÿ Á3 ފ ð25Þ If partially saturated soil is subjected to an increment of cell pressure Á3 . and change in the deviator stress a ÿ r . ´ Belidor (1737) and Navier (1819). will show that perfect dilatancy does not occur in the flow of a heap at the angle of repose. and the bottles are slowly rolled along on their sides on the table and tilted to stand on their ends. but in 1955 this was not understood.3 Skempton’s parameters A and B. the sand will form slopes that will be seen to have the same angle of repose d in air or below water. not horizontally. so B ¼ 1. No work is done. Sand in each slope at repose will be seen to move generally parallel to the slope. made on a table. A principal direction of plastic strain increments cannot be aligned with a principal stress direction in simple flow of the slope. the soil dilates at angle d . 2(a)) to the change of the cell pressure r and of the axial stress a . Simple tests. as in Amontons (1699). 4. Skempton . The results were expressed in terms of the pore pressure coefficients A and B introduced by Skempton (1950. research theses. Hence when the Mohr–Coulomb criterion is extended to consider strains both in the slope at repose and in the shear box. In Fig. 1954) to describe the response of a triaxial test specimen (Fig. We need a different model that does dissipate energy. 40(a) no soil mass falls in the Earth’s gravity field.78 DISTURBED SOIL PROPERTIES AND GEOTECHNICAL DESIGN material point on the line instantaneously moving horizontally. The deformation of an aggregate of grains is not modelled by the strains associated with the Mohr–Coulomb equation. The Mohr–Coulomb concept returns us to perfect dilation. and CS values of c and  The Imperial College triaxial tests were discussed in Institution of Civil Engineers meetings and published in Ge´otechnique papers. as small air bubbles in the water compress. so the evidence from slopes at repose does not support the deduction from Rankine’s stress ellipse or from Mohr’s stress circle that there is identical behaviour in both the a and b directions with limiting stress and constant slip line length. Energy is not dissipated when the slope fails because a perfectly interlocked Mohr–Coulomb soil does not dissipate energy. He suggested two causes of change in the pore pressure Áu in the test specimen: change in the spherical total stress p ¼ ða þ 2r Þ=3. If the voids are filled with air in one bottle and with water in another. the pore pressure increment will be less than Á3 . The geotechnical centrifuge in which the acceleration is increased as the model scale is reduced is an excellent laboratory test apparatus for the study of failure mechanisms rather than constants. with screw-top glass bottles half-full of loose sand. confirming the effective stress principles and showing that water is not a lubricant. and a book by Bishop and Henkel (1957).

so also if there were two sorts of plastic strength (in volume change and distortion) the data should reveal them. Cylinders of soil were subject to axial stress by pressing a plunger into a cell either with or without allowing drainage of pore water. Figures 45 and 46 show Henkel’s data for both soft and stiff clay. Casagrande’s wrote that such soil ‘seems to be bracing itself. Roscoe et al. q. vÞ. the change in pore pressure on the slip surface must be known. this reduces to a simple form: " Áu ¼ BA Áa ¼ B Áa ð26bÞ Triaxial tests in the laboratory could disclose how elements of soil will behave in the ground. Figure 46 shows that as axial pressure q is increased on soft clay with constant cell pressure the pore " water pressure u1 is about equal to q so the value B ¼ 1 is constant. Data from the curves in Figs 41 and 42 are tabulated in Fig. In order to analyse the change in slope stability caused by a load change. Triaxial Shear Research and " Pressure Distribution Studies on Soils. Skempton. The CS concepts and the OCC model began with asking how the strength and stiffness of solids could be found from ðq. then the test data of pore pressure changes can be used to predict pore pressures. and so not increase effective stress on a slip circle and not generate additional friction. were able " to relate Bf for stiff clay to the over-consolidation ratio.LIMITING STRESS STATES 79 suggested that A was a soil property. referring to a 1947 US War Department report. to become temporarily more stable’. and part is carried by pore water pressure. The difference between positive and negative pore pressure parameters was seen as a difference between soft and dense clay. A and B were applied in the analysis of slope stability. Much as the two elastic constants can be found from triaxial test data. In earth dam stability calculations it was convenient to introduce a " parameter B: " B ¼ Áu=Áa ¼ B½1 ÿ ð1 ÿ AÞð1 ÿ Ár =Áa ފ ð26aÞ If the cell pressure r is held constant so that Ár ¼ 0 and the axial stress a is changed. 43 for replotting as data points in " the space of the variables ð p0 . Part of the weight of soil in each slice is carried by effective stress at the base of the slice. with normally consolidated clays having values in the range þ0:5 > A > þ1. Figure 35 shows the two different sorts of elastic stiffness that resist volume change and shear deformation of solids. 8 of Coulombs 1773 Essay the method of slices in which a succession of vertical lines PM. a pressure placed on the quay will produce an equal pore pressure at the base of slices. B is not a unique soil property. With B on a sheet pile quay wall. If the triaxial test specimen is regarded as a model of a cylinder of soil at the base of a slice in the field. PM0 and PM00 divide a sliding mass into slices that rest on a slip surface MM0 M00 . called B ¼ 1 the American working " ¼ 1 in a slip circle analysis of the lateral pressure of soft clay hypothesis. The test paths of . The effect is " simplified by considering only the value of Bf at failure. This behaviour of soft ground on the wet side of CS can be contrasted with ground on the dry side where loads on dense soil generate suctions and additional friction in a dense soil body. and he gave a table of suggested values. Figure 1(c) shows in Fig. p0 Þ plots of triaxial test paths.

p0 Þ from origin 0 and passing through D4 resembles the line of critical porosities AC in Fig. 47(b). 1976) Figs 41 and 42 become paths that approach the CS line (Fig. The CS line in Fig.  and ÿ: q ¼ Mp0 v þ  ln p ¼ v ¼ ÿ 0 ð9 bisÞ ð10 bisÞ . 11(b). 43). 44) when plotted as v versus ln p0 become a straight line satisfying Eqns (9) and 10 with the CS soil constants M. 41 Triaxial test data of normally consolidated clay (after Wood. a research student of Henkel. The ultimate states in many triaxial tests (Fig. The CS concept was confirmed by the end points of tests of normally and over-consolidated Weald Clay test data from Imperial College as shown in Fig. Parry (1959). 44(a) on the plot of ðq. confirmed that his own test paths from one side of the CS line or the other side did all approach but did not cross the CS line at the end of each test.80 DISTURBED SOIL PROPERTIES AND GEOTECHNICAL DESIGN Fig.

but if the change of pore pressure u in the cylinder is equal to the change of total pressure on the piston 1 there is no change of effective force in the spring.LIMITING STRESS STATES 81 Fig. 41 must have been for those who thought of stress in soil in terms of Terzaghi’s piston on a spring in a cylinder of water (Fig. The test data show a curve for the axial stress ð01 ÿ 03 Þ increase equal to the curve for the increase in the pore water pressure Áu. By Terzaghi’s effective stress principle. The soil deforms . 1976) If an undrained triaxial test of saturated disturbed soil at constant water content and specific volume v ultimately reaches the CS. 42 that leads to failure of the soil requires a change in effective stress. the undrained shear strength cu of such soil can be determined from these equations as follows: cu ¼ ð0a ÿ 0r Þ=2 ¼ Mp0b =2 ¼ fM exp½ðÿ ÿ vÞ=Šg=2 hence ln cu ¼ const: ÿ v ð27Þ I digress at this point to comment how strange the data of test B in Fig. 42 Triaxial test data of over-consolidated clay (after Wood. any shear deformation in Fig. 22(d)).

82 DISTURBED SOIL PROPERTIES AND GEOTECHNICAL DESIGN Fig. 22(d) does not. 1976) in Fig. 41) with a pore pressure increase that is equal " to the increase in axial stress and a pore pressure parameter value B that is " B¼1 ð28Þ This American working hypothesis is not strange if triaxial test paths are plotted in a space of ðq. p0 . triaxial test samples under normal plastic . In Fig. Bishop and Henkel (1957) wrote Eqn (22) in their textbook on triaxial testing and introduced Skempton’s pore pressure parameters without explaining the strange undrained triaxial test of normally consolidated clay (Fig. 42 when the spring in Fig. 43. vÞ parameters. 43 Triaxial test data (after Wood.

the applied loading plane has For a drained triaxial test in which Áq=Áp0 ¼ 3. This line is called the NC normal compression line. 45. if a plane with v ¼ const: is drawn through the starting point. 1976) compression as the cell pressure 0r increases. 45. by decreasing the radial . as is shown with a dotted edge in Fig. A test path will be in an applied loading plane such as is shown in Fig. 44 Drained and undrained triaxial test paths to the CS (after Wood. and pore water drains follow the inclined straight line through point A1. Triaxial tests of NC specimens have test paths that start from points on this NC line. as follows from q ¼ 0a ÿ 0r p ¼ 0 ð23 bisÞ ð24 bisÞ 0r ð0a þ 20r Þ=3 ¼ const:. B1. If the applied loading in a drained triaxial test is controlled so that p0 ¼ const. the undrained test path must lie in the applied loading plane drawn with a chain-dashed edge in Fig. and the paths will end on the CS curve that is shown by the double lines.LIMITING STRESS STATES 83 Fig. For example. 45.

is B choice of applied loading. (1958) had explained 4 years earlier that it followed from the CS line in Eqn (21) that the plot of ln cu versus water content w is linear and that the undrained cohesion of newly disturbed soil paste depends on v. 45 Triaxial test applied loading planes pressure as the axial pressure is increased. Bishop and Henkel (1962) never mentioned that Roscoe et al. and hence on w (Fig. 46 Pore pressures in two undrained tests . the ultimate effective stress " point representing the soil state is C. respectively.84 DISTURBED SOIL PROPERTIES AND GEOTECHNICAL DESIGN Fig. p0 Þ. The applied loading planes for p0 ¼ const. depending on the Eqn (22) in cases 1 and 2. 45. If the concept of a unique CS line is correct. published 2 years earlier. The first half of Critical State Soil Mechanics (Schofield and Wroth. When applied total loadings get to points shown as 1 or 2. the applied loading plane will be as shown with a dashed edge in Fig. then the basic material properties of soil are the parameters that define the CS line. the second half introduced limiting Fig. or of the use of plots of triaxial test scalar invariants ðq. The Conference on Pore Pressure and Suction in Soil in London in 1960 made no mention of the CS concept. The parameter B at failure as calculated in " ¼ u1 =qc or u2 =qc . it follows that B is not a basic material property of soil. 47). p0 . 1968) led up to a presentation of the OCC model. 45 at points that represent ultimate states on test paths. Since differences of applied loading give different " " values of B. The CS curve in ðq. 46. vÞ space intersects the planes in Fig. or of any problem with pore pressure parameter A that is clearly not a soil constant. tests and for tests with an increase of axial total stress and constant triaxial cell pressure are compared in Fig.

LIMITING STRESS STATES 85 Fig. (b) Roscoe et al. 47 Critical states of soil ((a) after Wood.. 1958) . 1976.

48(b) they follow lines parallel to it with slope . It is safe to rely on ultimate strength on the CS double line with slope M in Fig. 48(a) for soil yielding in plastic compression in states on the wet side of the CS double line. At the outset of that book Wroth and I wrote: We wish to emphasize that much of what we are going to write is already incorporated by engineers in their present judgments. The new conceptual models incorporate both the standard Coulomb model and the variations which are commonly considered in practice. and the unification of the bases for judgment. There are dashed lines with  < M in Fig. 48(a). v ¼ v þ  ln p0 stress calculations for geotechnical design. If an aggregate is made to flow at a constant specific volume v (at point a on the v . the capacity to create new types of calculation. it is not safe to rely on peak strength. and the aggregation on line BE does not change until the soil yields with a plastic volume change and moves to a new elastic  line. 48  and  lines v ¼ v þ  ln p0 . the words cohesion and friction. The power associated with it is not dissipated. In Fig. drained and undrained will be used here as in practice. In Fig. 48(a) the CS double line has slope M. What is new is the inter-relation of concepts. and friction in the CS flow of soil can dissipate the work done by the loads acting on the construction. Extra strength at peak stress comes from interlocking. compressibility and consolidation. A design based on a limiting stress field needs to confirm that the construction materials can dissipate the loading power in associated deformations in any conceivable failure mechanism. Elastic swelling and recompression lines like BE have slope .86 DISTURBED SOIL PROPERTIES AND GEOTECHNICAL DESIGN Fig. but without effective stress there is no friction. With hindsight we should have confronted our reader with a basic problem: the words ‘problemes de statique’ in the title of Coulomb’s Essay leave unasked the question of what happens after limiting static equilibrium is reached.

The source of all resistance to flow is the same source that gives frictional strength to a heap of loose grains at repose. 48). 48(a) as given by Eqn (1). . with CS resistance to flow of that aggregate at a point on the double line in Fig. the effective spherical pressure must gradually change to the value of p0b on the p0 axis that is found by putting the value of v in Eqn (2).LIMITING STRESS STATES 87 axis in Fig.

49(a)) for houses in the UK where a family would sleep under the kitchen table during a night bombing raid. He had designed a bomb shelter in WWII (Fig. Coulomb considered the application of a bending moment to a beam with the upper fibres in tension AB and the lower fibres in compression (his Fig. a particular example will be described that Professor J. shown by the dashed line ac in Fig. 50(f ). and sketches a curve of fibre stresses that would apply to a material with some curve of stress against strain. OCC. with a steel plate to serve as a table top during the day. AB. The portal frame of height l and span 2l in Fig. I have a friend who. The work dissipated when any plastic hinge rotates through an angle  is MP . BD and DE. 50 yields with the plastic hinges that form at A. and such a table and everyone below it would be crushed. 5. The plastic design finds what limiting vertical and horizontal loads can act safely on the frame. The members were bolted together in the kitchen. 50(a) shows the limiting bending moment MP for each member of the portal frame. Linear elastic bending with plane sections remaining plane will lead to fibre stresses that vary linearly from top to bottom of the beam. Before coming to more general discussion of plastic design. With ductile mild steel. The dashed line of moment M against rotation  in Fig. He shows plane sections remaining plane. and steel mesh sides to prevent rubble from coming in from a collapse of the house in a night raid (Fig. Baker quoted in his opening lecture on structures to first-year undergraduates in 1948. B. 49(b)).1 Baker’s plastic design of steel frame structures Plastic design of a structural system ensures that it will safely absorb all the work done in any damage to it. the full plastic moment is got from the solid lines in Fig. He had already developed an early plastic design method for steel portal frames in his pre-war research. The risk to the family was that a nearby bomb burst could break the brick walls of the house and cause the roof and floors to fall. 6 in Fig. D or E . Baker (1954) designed a strong shelter made of mild steel. Wood is weak. is illustrated in Fig. F. A dissipation function found experimentally for soil led me to equations for stable yielding of an ideal soil. was saved by this type of shelter.5 Plasticity and original Cam Clay Stable yielding in ductile mild steel bomb shelters dissipated the energy of collapsed buildings in World War II (WWII). 50(f ) with rectangular blocks of tension stress above the neutral axis at b and of compression stress below b. 50. A portal frame made of three lengths of rolled mild steel angle. C. We must know how work is absorbed in it. and used this research in the shelter design. 1(c)). as a boy on the night that the blast of a flying bomb made his family’s house collapse.

49 Bomb Shelter WWII. and 2ð=lÞ at C and D. 1954. giving 4MP  ¼ 4MP ð=lÞ (d)  ¼ =l at A. and 2ð=lÞ at C. crushing. giving 6MP  ¼ 6MP ð=lÞ (29a) (29b) (29c) . Civil Engineer in War). (a) Details of a bolted ductile mild steel bomb shelter designed by Baker (see Baker. HÞ in each damage mechanism is the sum of the plastic work in the hinges. respectively. (c) The collapsed house. The work done by the applied loads ðV. C and D. (b) Site plan of a WWII 250 kg bomb crater in Falmouth.PLASTICITY AND ORIGINAL CAM CLAY 89 (a) (b) (c) Fig. 50(d) and 50(e) are. giving 4MP  ¼ 4MP ð=lÞ (e)  ¼ =l at A and E. swaying and mixed-damage mechanisms in this portal frame. Deflections  give plastic hinge rotations such that in the three cases (c)  ¼ =l at B and D. and the bomb shelter of the mother and three children who survived the explosion and turn the structure into one of three dissipative mechanisms. UK. Figs 50(c). B.

with displacements of loading points gradually changing as loads change. the loads V Ã and H Ã each have the same movement. He moved on to the Steel Structures Research . H Ã Þ. This plastic portal frame can absorb the work that will be done on it by the limiting load that can cause each damage mechanism. dashed vectors drawn normal to the yield locus show the plastic strain rates. so that in mode c to one side of z the sway load H Ã does not move and does no work. Two bold vectors are sketched within the yield locus for load combinations ðV Ã . and H Ã ¼ H=MP Â 4ðlÞ. in mode e. the plastic deflection changes abruptly when the loads pass the corner z. Unlike the elastic deflection of this portal frame. denoted by the letters c and e. we get (c) V Ã ¼ 4 (d) H Ã ¼ 4 (e) V þ H ¼ 4 Ã Ã (31a) (31b) (31c) In Fig. Baker initially worked on the metal frame structures supporting gasbags in the airships R100 and R101. The yield locus has a distinct corner at the point z. 50 Portal frame plasticity The work equations for these three cases are (c) V ¼ MP Â 4ð=lÞ (d) H ¼ MP Â 4ð=lÞ (e) ðV þ HÞ ¼ MP Â 6ð=lÞ (30a) (30b) (30c) Introducing dimensionless generalized stress variables V Ã ¼ V=MP Â 4ðlÞ. To the other side. In mode e the failure mechanism gives equal crushing and swaying strain rates.90 DISTURBED SOIL PROPERTIES AND GEOTECHNICAL DESIGN Fig. H Ã Þ for this portal frame. Loading vector c will lead to a crushing mode of the portal frame. 50(g) we plot these as three lines. At the two points where the loading vectors c and e reach the yield locus (Fig. and get the yield locus in ðV Ã . 50(g)). but in mode c there is no sway at all. The plastic failure mechanism changes at point z. and loading vector e will lead to the mixed crushing and swaying mode.

d"p Þ associated with the ði . "p Þ of plastic flow j i normal to the yield locus at ði . It conjures up the image of a camel that a merchant loads with a great weight (corresponding to load H) at the same time as a camel driver is goading or pulling it (corresponding to load V) to get the poor animal to start moving. and his post-war lectures taught students the vital lesson of the significance of structural ductility. but depended on dimensional errors in members. 51. j Þ. or on the exact positions and small movements of the foundations. 50(c). any one of these load increments could be the last straw. j Þ acts on a structure. HÞ on the camel and not by the last straw (increment dV). From this research before WWII he knew that ductile mild steel can yield and safely redistribute stress concentrations. jÞ axes can allow for many independent loads acting on a structure. 50(e). 51 beyond the yield locus represents load increment vectors that cause hardening and flow. He studied bomb damage to buildings in the WWII air raids on London. taking stress measurements as steel-framed buildings were constructed in London. The merchant adds a last straw to the load. 50(g) this flow rule is evidently valid. with crushing and swaying movements of V and H. The load was ðV Ã . For the straight-line segments of the yield locus of the portal frame in Fig. His tests showed that actual stresses bore no relation to the regular stress analyses. 51 is that the dotted vector ð"p . but a last straw to the right causes the mixed mode of Fig. or of their temperatures when in strong sunlight in construction. 51 Yield locus and associated flow . and making structural analyses. general ði. This is called the associated flow rule. where a generalized load ði . The general rule shown in Fig.2 The associated flow rule and Drucker’s stability criterion The above particular case illustrates general principles shown in Fig. The flow Fig. The last straw simply provokes failure in the mode determined by ðV. but the collapse mode is determined by the total load ðV. In colloquial English. dj Þ in Fig. The fan of vectors ðdi . Plastic displacements ðd"p . 50(g) the yield locus has a corner at the point z and a last straw load increment dV to the left of point z will cause the broken back mode of failure in Fig. and the camel collapses. j Þ is associated with the damage mode for ði . These words come from the saying that the last straw breaks the camel’s back. In Baker’s frame the bold vector represents the limiting load that brings a structure to the moment of plastic failure. In Fig.PLASTICITY AND ORIGINAL CAM CLAY 91 Committee. HÞ. 5. j Þ j i loads are also plotted in the i and j directions. H Ã Þ in the case of Baker’s portal frame.

ensuring that there is never any energy that the system fails to dissipate or absorb. . The plastic design ensures ductility and makes sure that the associated flow vector is normal to the locus. 51 is drawn as if the rule is valid. The desired property of being safe required that all the work done on the shelter was dissipated without the people inside being crushed. and know that the seepage flow lines are normal to these equipotentials. Any outward-directed load increment vector multiplied by the normal to the locus gives a non-negative product. the yield locus is the potential function for plastic flow. Geotechnical engineers are familiar with contours of excess pore water pressure in seepage flow nets. The first class of bound comes from a statically admissible stress field that distributes stress in all parts of any structure that is under consideration in such a way that the stress everywhere is in equilibrium and nowhere violates the yield condition. engineers can make some simple calculations that bound an exact (but unknown) solution of a problem. the plastic strain increment ðd"p Þ in Fig. The amount of plastic strain that will occur during the damage depends on the amount of work that the structure has to absorb in this mode. The point about a plastic design of a structural system is that the designer makes sure that the rule is valid for that particular system. A load or load increment vector  or d applied to an elastic body causes elastic strain vectors in the direction of these vectors  or d and proportional to them. dj Þ is shown directed outward from the locus. 10(b) after peak strength at P) then the system would be brittle and not be a desirable ductile safe system. 51 the load vector ði . The damage mode gives a plastic strain vector in the direction normal to the locus at that point. and there was no work left over that could lead to uncontrolled momentum. For the class of system that Drucker postulated. That is to say. This gives a loading vector that may or may not be the failure load but is certainly inside the yield locus. but it is not self-evident that it must always be valid. or proportional to. With a convex yield locus we can certainly state that the vector product of the approximate load and the actual plastic flow vector is not greater than the loading power of the actual load and the actual flow vector. j Þ is shown as a bold line. For Drucker’s (1959) stable material. either the load or load increment vectors. Drucker’s stability postulate helped me to understand the associated flow rule and the yielding of soil when the OCC model was developed in 1962. The shelter only deflected 1 ft as it absorbed the work done by a 20 lb/ft2 ceiling load falling 9 ft in a bombed house. With this class of structure. The load multiplied by the associated flow vector is always positive if the locus is convex. The plastic design of Baker’s shelter ensured that those sheltering in it survived the damage. If any of these load increments could cause the system to pass some peak load point such that the strength fell (in the way shown in Fig. At each point on the yield locus the vector of plastic flow is normal to the yield locus. Any inward-directed load increment vector causes elastic unloading with zero plastic strain increment. In Fig. 51 i multiplied by a load  or an outward directed load increment d always has a positive product. A limiting load brings the system to some yield point on the locus.92 DISTURBED SOIL PROPERTIES AND GEOTECHNICAL DESIGN shown as normal to the curved yield locus in Fig. The plastic strain increment vectors are not in the direction of. At the yield point a fan of bold load increment vectors ðdi .

The upper-bound solution is appropriate where it is essential to cause plastic flow. 52 Thurairajah’s (1961) analysis (after Roscoe et al. It gives a loading vector that will certainly end outside the convex locus such as is shown at Z in Fig. Lecturers who teach simple calculations that are appropriate for ductile mild steel structural components that are welded or strongly bolted together to form stable structural systems should warn students that brick or concrete structures may not be stable in this way. distributing displacements everywhere in any way such that the displacements everywhere are compatible with damaging movements of the external system that applies loading. and it certainly violates the yield condition. an upper-bound calculation would ensure that the system as a whole provides at least enough power to be dissipated in a proposed deformation. For example.PLASTICITY AND ORIGINAL CAM CLAY 93 Fig. 51. but by a right choice of construction materials and methods an engineer can construct safe systems that are stable in Drucker’s . 1963) the approximate static load is not powerful enough to cause the damage that must be done in the failure. The loading system is powerful enough to do the damage that must be done in the failure. Each of these two classes of solutions is useful in particular circumstances. A second class of bound comes from a kinematically admissible mechanism. with ductile mild steel an engineer can be sure that the collapse load increases if any pin joint is welded up. rather than working out the moments at beam-to-column connections in a welded or bolted highly redundant steel frame structure. an engineer can find a safe lower bound solution to a collapse load by introducing enough pin joints to eliminate the redundancies.

When I had a chance to undertake a final year project in 1950 I made and tested concrete beams in bending. An alternative assumption would have been that at a given state point the aggregate has the same strength in both tests. work is absorbed by plastic hinge rotation. It was a task for a new student to make a detailed study of the energy balance. 5. I later suggested that. I called the difference between these quantities of recoverable work the elastic energy correction in order to fit in with the boundary energy correction (work p0 dv done in the contraction of a volume by dv in a step on a triaxial test path with constant effective spherical pressure by p0 ). It would also be a mistake in soil mechanics to think that compression and shear involve different types of power dissipation. 11(a). this assumed that the power dissipated in a step in test path shear distortion at a state point ðe. Our Fig. as well as a boundary energy correction. if there is a marked inelastic hysteresis in the compressibility of the grain structure. but it is the integrated effect of all grain movements that give the boundary displacements of the whole body. Power is dissipated when a stressed aggregate is distorted.1 and the beginning of Section 2. Our discussion of the work done on soil specimens stated that. The stability and strength of both soft and stiff soil involve work being done in shearing deformation and in volume changes in loose and dense aggregates of soil grains. In any step on a test path there is a difference between the work that can be recovered if the specimen is allowed to swell fully from the state at the start of that step and from the state at the end of that step. In aggregates. some grains will slip past each other and some will slip towards each other. 0 Þ is the same in both drained and undrained tests. A portal frame can sway. but it would be a mistake to think. internal work might be absorbed when the average distance between the centres of grains changes. Application of this lesson in soil mechanics requires care. or fail in a mixed mechanism. but we anticipated that a detailed study of undrained and drained test data would show that the work absorbed internally will be independent of the rate of dilatation. 11(a) with crushing of concrete in compression. step by step along paths of drained . It is simply a property that Drucker’s class of structure gets from right design choices. Such a ductile failure with plastic flow does not result from a law of nature like the gas laws.2 discussed Roscoe and his co-workers’ (1958) Ge´otechnique paper ‘On the yielding of soil’. that there are different types of dissipation In all three different failure mechanisms.3 Thurairajah’s power dissipation function The end of Section 2.94 DISTURBED SOIL PROPERTIES AND GEOTECHNICAL DESIGN sense. or be crushed. My under-reinforced beam cracked through the depth of the beam with yield and ductile extension of tensile reinforcement and a curve like f in Fig. we should consider elastic energy as follows. 29 suggested that the peak strength data found from both drained and undrained tests would lie in what we called the Hvorslev surface. We cannot distinguish power dissipation and grain movements in overall compression from those in overall distortion of an aggregate of grains. A curve of moment against rotation for my over-reinforced concrete beam had a peak strength like curve d in Fig. because plastic compression and shear distortion of a frame appear to be different types of displacement.

Roscoe had sabbatical leave entitlement. 52 the open points show more scatter for early stages of both drained and undrained tests than at a late stage of a test path. Calladine (1963). ðqW d"Þ is equal to the power dissipation. Thurairajah and I discussed this at length. In a drained test there is a boundary energy correction. was given this task. I realized that the set of equations formed by Thurairajah’s dissipation function and the associated flow rule could be integrated. At the beginning of the new academic year 1961–1962. and ultimately Vice Chancellor of Jaffna University. 53). as above. Roscoe was the established lecturer. gave a simple function Mp0 d" for the work dissipated in a plastic distortion increment. Our students had done much research that required his review and publication. 52 are his values of q after both corrections. Each open-symbol point is a corrected stress qW for a step such that when multiplied by the increment of plastic distortion d" in that step. was interested in the CS teaching. In 1963 the data of early stages of the tests were unreliable because tests were made at rates that ensured that excess pore pressure in test specimens was low at the time of ultimate failure. He calculated power dissipation in successive steps of both drained and undrained triaxial tests. Thurairajah (1961). On an undrained test path the fall in the recoverable elastic energy provides a flow of energy into the soil in a step between points on the path. In the early stages of tests in Fig. he was aware that if he delayed. was examined and returned to Sri Lanka. 52. (1958) that the work absorbed internally will be independent of the rate of dilatation. had gone to America for post-graduate study of plasticity under Drucker and returned to Cambridge to work on structures. The solid black points in Fig. Roscoe was in America. and plotted drained and undrained strengths. Our discussion ended as Thurairajah presented his PhD thesis. a research student who arrived at Cambridge University in 1958. others might publish their results. The sum of the work done by the descending plunger in the triaxial cell plus the energy in each step is the power dissipation. These corrections to q gave the open-symbol points in Fig. These dissipation data from remoulded kaolin clay tests showed that the soil did not have one kind of plastic strength resisting deformation and a different kind of strength resisting contraction. but he made an American lecture tour. but when he compared the data of plastic strain increments in the tests with predictions from using a yield surface of our 1958 parabolic section he did not find a close fit of strain data to the associated flow rule. who as an undergraduate had heard Cambridge soil mechanics lectures. and I was newly promoted from demonstrator (assistant lecturer) to be a lecturer. 52. taking account of boundary energy and elastic energy corrections. I had to discuss all this with Roscoe on his return from America. He made triaxial tests of kaolin. It confirmed the anticipation of Roscoe et al. He got access to test data of plastic strains in drained and undrained triaxial tests.PLASTICITY AND ORIGINAL CAM CLAY 95 and undrained triaxial tests of saturated reconstituted kaolin clay. and Calladine asked me for a comment. but it became obvious as we looked at his data that a straight line that fitted the open symbols in Fig. We had no preconceived hypothesis. He thought that successive yield curves to which the associated flow rule might be found to apply would be given by projecting the elastic swelling curves on the experimentally observed yield surface on the wet side of the CS (CVR in Fig. where he was a professor. and also had to ensure that every contribution was recognized in due .

52): dp0 dv þ dq d" ! 0 ð32Þ For deformation of soil in states such as the CS point C in Fig. 53). 54 in more detail. . 5. (1963) including a letter by Calladine (1963 and Fig. and Fig. 54) applies to all states in which Drucker’s postulate is satisfied (a positive outward vector product in Fig. 55. 55 explains Fig.4 The OCC yield locus Figure 54 was an illustration in the 1980 Rankine Lecture. 55(a). which was achieved by the same issue of Ge´otechnique that published Roscoe et al. 53 Calladine’s (1963) letter course.96 DISTURBED SOIL PROPERTIES AND GEOTECHNICAL DESIGN Fig. 54): p0 dv þ q d" ¼ Mp0 d" ð33Þ Equation (34) is found by eliminating the dilatancy dv/d" between these two equations: dv=d" ¼ ÿdq=dp0 ¼ M ÿ q=p0 ð34Þ The integration of Eqn (34) on the wet side of C gives a curve CBD of other stable states as defined by Drucker. including a point B shown in Fig. Equation (32) (the first equation in Fig. Thurairajah’s dissipation function gives Eqn (33) (it is the second equation in Fig.

A geotechnical engineer might consider soil in state G to have a factor of safety against failure of 2. p0 Þ plane. say where the stress ratio q=p ¼  < M=2:5. we can ask by how much the vector AG with q=p ¼  can be extended if the aggregate is to remain in a state where it can still absorb all the work that will be done by the stress components that act as it yields. 55(a). The aggregate is in a Fig.5. but in plastic structure design the factor of safety is the proportional increases of all stress components that causes plastic yielding. 54 Original Cam Clay (Schofield.PLASTICITY AND ORIGINAL CAM CLAY 97 Fig. Reduction of the deviator stress q on this aggregate at C brings the soil into an elastic state point G in Fig. Points like G below the curve CD can be thought of as lying in an elastic wall that has the curved area CDA as a projection on the ðq. 1980) Point C in Figs 55(a) and 55(b) represents a CS aggregate of grains. At a state point B in Figs 55(a) and (b) the combination of deviator and spherical stress reaches a limiting value (we have seen such procedures before in Figs 51 and 52). 55 Details of OCC . If we associate with each stress component a plastic strain increment that will occur during yielding.

so the work input from volume contraction p0 dv plus a work input from deviator loads q d" are dissipated in plastic power Mp0 d". so that the aggregate slips more easily. but it is more than that. Introducing the stress ratio  ¼ q=p0 . 55(a) through the CS point C with coordinates ðq. 55(b) has a straight line projection on the q. Note that the dashed line EFC in Fig. that I later called Cam Clay in my lecture notes. However. I adopted Thurairajah’s dissipation function. but pressure can increase up to point D without causing the chain reaction that Casagrande predicted in his liquefaction. Equation (37) is the yield curve for the material that Roscoe and Schofield (1963) called wet clay. At C the soil will slip at  ¼ q=p0 ¼ M. 55(a) shows a steady fall of the yield strength q ¼ Mp0c from the CS strength at C until the strength has fallen to zero at the point D where lnðp0 =p0c Þ ¼ 1. Drucker’s stability criterion is an alternative to the stability criterion that Casagrande used.1. 55(c).98 DISTURBED SOIL PROPERTIES AND GEOTECHNICAL DESIGN contractive state where Casagrande supposed that the work done by spherical stress could not be absorbed. In much the same way that Professor Baker selected ductile mild steel fabrication with fully bolted connections that can transmit plastic moments in his design of an air raid shelter. A plastic volume reduction dv can be stable if it is accompanied by a plastic distortion d". and he thought the soil must experience liquefaction as an unstoppable chain reaction. there is a requirement that there must be sufficient plastic distortion of the aggregate to dissipate in friction within it the loading power that will flow into the aggregate as it contracts. The zone of stable ductile yielding ends when the effective spherical pressure increase makes the loose aggregate so slippery that it is quite unable to bear both spherical stress and any shear stress. p0c Þ is obtained by integrating Eqn (36). If the aggregate is to remain stable by Drucker’s stability criterion as we work our way round the curve CD in the manner discussed in Section 2. v plot of Fig. 55 by a design process which selects a soil and selects a degree of compaction such that the material is ductile. and that in this book I call OCC: q=Mp0 ¼ 1 ÿ lnð p0 =p0c Þ 0 0 ð37Þ p0c As p increases in the range p > the sketched OCC curve CD on the wet side of the CS line in Fig. A proportional loading can increase so that  ¼ q=p0 ¼ const. geotechnical engineers can ensure a stable state in soil construction at the point B in Fig. by differentiation we can obtain Eqn (35): d ¼ dq=p0 ÿ q dp0 =p2 p0 d=dp0 ¼ dq=dp0 ÿ q0 =p0 Combining Eqns (34) and (35) we obtain Eqn (36): d=dp0 ¼ M=p0 ð36Þ ð35Þ The curve CBD in Fig. but as the pressure increases from C to D the stress ratio for slip falls through the range M >  > 1. Optimum compaction for the soil brings it into the zone indicated in the Frontispiece. The power flowing into a contractive soil aggregate causes shear flow to occur with increasing ease. The combined spherical stress and shear stress that gives the vector AB ending at B in .

It is possible to obtain triaxial test data on drained test paths with increasing axial stress and decreasing cell pressure that keep the spherical effective pressure p0 constant. 55(b). Equation (31) shows that each such line corresponds to a particular value of  so that the length FC is ð ÿ Þð1 ÿ =MÞ. The slopes  and  of the lines ED and CD gives the spacing between the lines as  ÿ . 38(c) the ratio of major stress to minor stress is given as 0max= 0min ¼ ð1 þ sin d Þ=ð1 ÿ sin d Þ In Fig. 55(b). Figure 48(b) shows what are called  and  lines. as seen to the right of Fig. 56. The elastic and plastic compression of OCC in Fig. In Fig. 55(c). gives the length EC. Equation (37) leads to lnð p0 =p0c Þ ¼ 1 ÿ q=Mp0 ¼ 1 ÿ =M ¼ const: ð38Þ Figure 55(b) shows that the spacing between C and B is lnðp0 =p0c Þ. This spacing remains constant as the aggregate in the state represented by B yields. Such lines represent anisotropic plastic compression test paths across the OCC yield surface. with the equations v ¼ v þ  ln p v ¼ v þ  ln p 0 ð39Þ ð40Þ ð41Þ ð42Þ For the triaxial test in Fig. but could be made to pop up and display the OCC surface generated by straight stress strings. 55(a) is associated with elastic loading on the path CB. 55(b) the path CD does not extend past the point D at which lnðp0 =p0c Þ ¼ 1 and q ¼ 0. 55(b). In my lectures I gave out a three-dimensional pop-up Cam Clay model to my students. 55(a) the ratio q=p0 ¼ M at the CS point C that corresponds to the drained triaxial test and to a slope at repose with major stress parallel to the slope and intermediate stress equal to the minor stress. On that path the prediction is that as the specific volume falls through  ÿ  the value of =M will rise from 0 to 1 and the value of 1 ÿ =M will fall from 1 to 0. There is a family of lines such as FB and ED with slope  parallel to the CS line. The increase of stress from G to B in Fig.PLASTICITY AND ORIGINAL CAM CLAY 99 Fig. 2 where q ¼ a ÿ r and p ¼ ða þ 2r Þ=3 ÿ u we have a ¼ r þ ða ÿ r Þ ¼ r þ q In Fig. that folded flat in their notes. 55. The predicted path by the OCC model will be as sketched as EFC in Fig. 1948) replotted in Fig. which. the paths become straight lines with slopes  and . 55 corresponds in general with Taylor’s data of one-dimensional compression of Boston Blue Clay (Taylor. On the path BK there is yielding and general hardening of the aggregate. The OCC model can be worked out by following the geometry of Fig. When state points are plotted on a base of ln p0 . 55(b)). Shibata (1963) (as a research student of Professor Murayama in Kyoto) made such triaxial tests in which the shear strength increased linearly with the reduction of the specific volume in this manner. 55(a) then causes anisotropic plastic compression on the path BK in Fig. each representing test paths like those of Fig. followed by plastic yielding on the path BK (Fig. giving a relationship between M and sin d : q=p0 ¼ M ¼ 3ða ÿ r Þ=ða þ 2r Þ ð43Þ .

56. Solution First find how the clay sample’s specific volume varies as it is subjected to consolidation and swelling.161 0. an effective confining stress of 250 kPa and a specific volume of 1. the clay consolidates down the normal compression line (NC) to state 1. Predict the values of q and pore pressure at yield and at failure. The specific volume of the sample v1 at this point in Fig. In preparation for Tripos examination questions there were example problems for final-year lectures in Lent 1966 of the following type on OCC. In Fig. This tells us the location of the yield surface in p0 –q space. p0 and v at both yield and failure. the soil is elastically swelling on a  line. Predict the values of q.90. As the maximum effective confining stress to . and hence at state 2 the specific volume v2 is given by v2 ¼ v1 ÿ  lnð p02 =p01 Þ ¼ 1:857 ÿ 0:062 Â lnð0:5Þ ¼ 1:90 Both soil samples before the stress paths commence have an OCR of 2. Question Samples of reconstituted London Clay with the parameters listed in Table 1 follow isotropic compression from a slurry to 500 kPa in a triaxial cell.759 0. where it has an effective confining stress of 500 kPa.062 2. where it has an over-compression ratio (OCR) of 2.89 M ¼ 6 sin d =ð3 ÿ sin Þ ð44Þ In Fig. and the value v ¼ ÿ þ ð ÿ Þ applies to the line of isotropic spherical compression ED through D. All pore pressures dissipate. There are two samples that are subjected to different stress paths as follows: (1) Sample A is subjected to a drained axial compression test to failure. They follow isotropic swelling back to over-compression ratio p01 =p02 ¼ 2.100 DISTURBED SOIL PROPERTIES AND GEOTECHNICAL DESIGN Table 1 London Clay: parameters   ÿ (at 1 kPa) M 0. The OCC model makes the striking prediction that the spacing of these lines is  ÿ . an OCR of 2 means that p02 ¼ 500=2 ¼ 250 kPa From state 1 to state 2. 56 is v1 ¼ ÿ þ  ÿ  ÿ  ln p01 ¼ 2:759 þ 0:161 ÿ 0:062 ÿ 0:161 Â lnð500Þ ¼ 1:857 Subsequently the soil swells to state 2. (2) Sample B is subjected to undrained axial compression to failure. As the maximum effective confining stress to which it has been subjected it 500 kPa. 55 the value v ¼ ÿ applies to the CS double line through C.

57. and the yield surface shape is found from the equation q=p0 ¼ M lnð p0c =p0 Þ Fig. as shown in Fig. 57 Example of an OCC CS strength (CSL) line and a yield surface curve .PLASTICITY AND ORIGINAL CAM CLAY 101 Fig. 56 Example of an OCC normal compression (NC) and swelling (S) lines which the sample has been subjected is 500 kPa. 57. the yield surface must cross the p0 axis at p0 ¼ p01 ¼ 500 kPa. The initial state is at point 2 in Fig.

q=p0 ¼ M lnð500=p0 Þ and q ¼ 3 Â ð p0 ÿ 250Þ When solved by iteration these equations give p0 ¼ 296 kPa and q ¼ 138 kPa. so at point Y the specific volume v3 is v3 ¼ v2 ÿ  lnð p01 =p02 Þ ¼ 1:90 ÿ 0:062 Â lnð296=250Þ ¼ 1:89 The ultimate state U is at the intersection of the lines. all deformation is elastic and hence corresponds to a  line in v ÿ ln p0 space. We find point U as the intersection of the stress path and the CSL. 58. To find the specific volume we must locate point U on the v ln p0 plot (Fig. At point Y. To find the specific volume we must locate point Y on the v ln p0 plot.102 DISTURBED SOIL PROPERTIES AND GEOTECHNICAL DESIGN Sample A Sample A is subjected to drained axial loading with constant cell pressure. hence we can determine where our new yield surface crosses the p0 axis and then calculate our specific Fig. We must first plot the total stress path on our p0 –q plot. 58. and we find point Y as the intersection of the stress path and the yield surface. The sample has yielded. For any increase of 3 kPa in axial load. 56). The total stress path will slope at 1 in 3 on the p0 –q plot. 58 Example of OCC yielding and hardening in a drained triaxial test . q ¼ Mp0 ¼ 0:89p0 and q ¼ 3 Â ð p0 ÿ 250Þ giving a point p0 ¼ 355:5 kPa and q ¼ 316:4 kPa. and reach an ultimate state on the CSL at point U. as in the dashed line in Fig. The yield surface has expanded to the new surface shown in Fig. the effective stress also follows the dashed line. The sample will yield at point Y in Fig. the effective stress and the total stress changes are identical. p0 will increase by 1 kPa and q will increase by 3 kPa. 58. As the stress path is within the yield surface. As the test is drained. A yield surface in p0 –q space corresponds to a  line in v ÿ ln p0 space.

We know that the total stress path has the equation q ¼ 3 Â ð p ÿ 250Þ Fig. the effective confining stress will not change. as all loading will initially be carried as a change in pore pressure rather than effective stress. but as the test is undrained the effective stress path differs. 59 has a yield at point Y of q=p0 ¼ M lnð500=p0 Þ and p0 ¼ 250 kPa hence q ¼ 154 kPa. The stress path shown in Fig.PLASTICITY AND ORIGINAL CAM CLAY 103 volume from the equation of the  line crossing the NC line at this effective stress. From the OCC yield surface equation. 59 Example of OCC yielding in a constant-volume triaxial test . the yield surface crosses the p0 axis at a value p0c such that q=p0 ¼ M lnð p01 =p02 Þ hence p0c ¼ p0 expðq=Mp0 Þ ¼ 355:5 Â expð1Þ ¼ 966 kPa A pressure of 966 kPa on the NC line corresponds to a specific volume v4 of v4 ¼ ÿ þ  ÿ  ÿ  ln p0 ¼ 2:759 þ 0:161 ÿ 0:062 ÿ 0:161 Â lnð966Þ ¼ 1:751 so at point U the specific volume v5 is v5 ¼ v4 ÿ  lnð p04 =p03 Þ ¼ 1:751 ÿ 0:062 Â lnð355:5=966Þ ¼ 1:813 Sample B Sample B follows the same total stress path as sample A. Within the yield surface.

and hence q ¼ Mp0 ¼ 0:89p0 thus p0 ¼ exp½ðÿ ÿ v2 Þ=Š ¼ 207:5 kPa from the total stress path q ¼ 3  ð p ÿ 250Þ so p ¼ 311:5 kPa and hence u ¼ 104 kPa The advantage of depicting these stress states by points with coordinates ðq. The Wiesbaden paper stood in its own right with a theoretical model. 1963) and another paper with experimental data that we sent to Ge´otechnique with the request that a contribution by Calladine should be published in the same issue. 1963). but it is unimportant if I take a grain aggregate to be an isotropic continuum. p0 Þ and not by stress circles is illustrated in Fig. the sample deforms plastically. We wrote one paper without data that developed the idea of a theoretical model with behaviour that justified calling it wet clay for presentation in Wiesbaden (Roscoe and Schofield.104 DISTURBED SOIL PROPERTIES AND GEOTECHNICAL DESIGN so p ¼ 301 kPa. Cooling. On Roscoe’s return from America he began to write up some of the papers planned for his sabbatical leave. while Roscoe continued to hope and q ¼ 185 kPa and v ¼ ÿ ÿ  ln p0 Fig. and hence the effective stress changes. the editor. and similarly circles Y and Y0 represent the total and effective stress states at yield. 60. Each point on each circle is an accurate representation of the stress on some plane. The circles clutter up the figure. Point U is on the CSL. Between the yield and ultimate states Y and U. The test is undrained so the specific volume remains constant at v2 ¼ 1:90.. respectively. 60 Effective and total stress circles for states U and Y . said that our model should have a name that might seem less strange to readers. where circles U and U0 represent the total and effective stress states at ultimate state. so we used the name wetter than critical for it (Roscoe et al. and hence the pore pressure at yield is 51 kPa.

I did not expect this to happen. distortion in his shear box is written as dx. Dissipated energy ultimately heats the soil. This energy dissipation concept provides a reasonable alternative to slip plane strength components called cohesion and friction.5 Test data. and when the corner caused a problem they proposed to remove the corner by modifying the dissipation function. When a time-glass is made elastic. Pore water rapidly damps vibrations of grains in saturated fine soil.PLASTICITY AND ORIGINAL CAM CLAY 105 that new research students would get SSA data that would let him discard all triaxial test data. 4(a) simply shearing at constant volume. it need not be altered. In triaxial tests. Taylor’s dissipation function (Eqn (8)) multiplies the normal stress 0 that is effective on the slip surface by the rate of shear displacement dx/dt and by the coefficient . his comment was that a corner could be useful. and no dust is seen in the time-glass after repeated CS flow at light stress. the rate of dissipation of energy was found to be q d"=dt ¼ Mp0 d"=dt. In Fig. and in late 1963 I visited Drucker at Brown University to discuss the corner on the OCC locus. 40(a) the work done as the mass of soil descends under gravity is equal to the total work dissipated in each layer parallel to the slope in CS shear under the effective pressure acting on it. as I knew and trusted our 1963 Ge´otechnique paper data. back in Cambridge new students began to compute strain increments on test paths. Thurairajah’s function Mp0 d" ¼ q d" is consistent with power dissipation in the CS. I sought an explanation of this. 5. The slip plane model has a coefficient of friction  ¼ tan 0 (Eqns (9) and (2)). if columns of highly stressed elastic grains buckle in a heap of aggregate at repose with the slope of Fig. rounded sand grains are selected that do not crush at light stress. Our 1958 hunch that the work absorbed internally will be independent of the rate of dilatation meant that dissipation is the same at the CS and in an aggregate . the energy stored in lines of grains and lost in sudden unloading explains the steady energy dissipation process. But while I spent a year in America. In the triaxial test the measure of elastic and plastic change of volume without distortion is dv. Taylor did not have a second component of dissipation given by a second coefficient of friction multiplied by the rate of dilatation dy/dt. model modification and OCC teaching Thurairajah’s dissipation function had resulted from 3 years of triaxial testing. I took sabbatical leave as a Fulbright Fellow at Caltech in 1963/1964. but grain crushing will make dust. and with a CS flow rate d"/dt. It was consistent with Taylor’s supposition for power dissipation in sand in his shear box. with a scalar measure " of the distortion of shape without change of volume v. At least part of the friction in CS flow and the limiting stability both in lightly stressed sand in a time-glass and large heaps at repose must be due to dissipation of energy as contacts between highly stressed elastic rounded grains slip. Additional processes such as high-stress abrasion and crushing may also cause power dissipation. and found OCC strains that were excessive on test paths that began from the corner. In CS flow in a slope at repose. I can explain dissipation of frictional power in CS flow as Mp0 d"=dt if I suppose that the elastic energy stored in an average grain depends on p0 and that the rate at which a succession of grains are pinched and elastically compressed and quickly released depends on d"/dt.

The basis of plastic design is the stable dissipation of plastic power. Ducker’s stability postulate may not be automatically satisfied by all granular aggregates. The OCC is not a model of soil behaviour that covers all aspects of cyclic loading and anisotropy. giving a Fig. 55. and on the dry side of the CS interlocked soil exhibiting brittle rupture with progressive softening in the thin layer of gouge material forming on the slip surface. Any argument about true cohesion would end. Any true cohesion would exist on both the dry and the wet side of the CS line or not exist at all. 62 fits the OCC prediction well. I had Taylor’s data of tests of sand and Hvorslev’s data of tests of clay on the dry side of the CS line. 12 can be stable in Drucker’s sense. It shows a way to link Casagrande’s classification of disturbed soil and Baker’s plastic design. whether the test is drained or undrained.106 DISTURBED SOIL PROPERTIES AND GEOTECHNICAL DESIGN yielding with volume change. the OCC model was derived without introducing any cohesion at all. but on the wet side of the CS where soil contracts there is a zone of stable yielding and ductile plastic behaviour. Sudden failure on the dry side of the CS indicates that peak strengths are unreliable. In any triaxial test data analysis. In a series of tests of water-saturated mixtures of rock flour and kaolin clay to make clay paste specimens with a range of  value (plasticity index) a test path of a typical sample as shown in Fig. 61 Finding OCC constants in a ðv . Figure 62 also indicates the difficulty in getting test data corresponding to the corner point D in Fig. Soil states in zone C in Fig. it is consistent with treating a disturbed frictional aggregate of interlocked soil grains as a plastic material to which plastic design can be applied. so that the data can be plotted on axes of ð. The cylindrical specimen in a triaxial test has a cylindrical face sheathed in rubber. rather than unstable in the way that Casagrande predicted for the liquefaction of contractive soil. 61. The stress ratio  ¼ q=p0 is also easily found. A concept that true cohesion results from electrochemical properties and pore fluids was replaced by the mechanical concept that the behaviour of clays at peak strength involves interlocking. Engineers select construction materials and methods that bring selected soil into safe states so that potentially damaging loading power is dissipated and will not cause harm. Þ plot (after Schofield and Wroth. 1968) . so v can be calculated at each stage of a test. The OCC model on the wet side of the CS has contractive soil exhibiting ductile stable plastic yielding. the value of  will be known. v Þ as shown by Schofield and Wroth (1968) in Fig.

In states for which Casagrande predicts liquefaction. It required an initial path without even the very least amount of stress obliquity. but it need not be uniform. I have already shown in . If the rigid faces of the top plate and the pedestal are lubricated. as we reach the plastic compression point the aggregate will not be able to bear even the least increment of stress obliquity. I used plots of drained or undrained triaxial test data on a graph with the axes ðv . OCC predicts ductile stable plastic yielding. In Fig. It will be very slippery and highly plastic in the sense that it will flow to fill the irregular form of a general hole without needing to be forced to flow by local shear stresses. If an aggregate structure is like a house of cards. Extrapolation of the line ECB on the plot in Fig. then under pure spherical stress it is likely to have volumes within which plate-like grains became parallel in random directions. Þ as in the Frontispiece. I could estimate it when I got the OCC constants (Figs 61 and 62).PLASTICITY AND ORIGINAL CAM CLAY 107 Fig. 62 Test data in a ðv . It stands on a rigid pedestal and has a rigid top plate that can be moved up or down. While triaxial test specimens may approach the corner without showing any distortion as a whole. 61 gives a point V of virgin compression. there can be distortion in random volumes that dissipates energy. It will not compress homogeneously without distortion but will become heterogeneous. the stress will act in the direction of the normal to these surfaces. The specimen is subject to a mixture of stress-controlled and displacement-controlled boundary conditions. and the value of B gives the small amount of stress obliquity at the point B at which the yielding began. The introduction of the modified model was justified by a calculation that assumed a specimen after isotropic compression in the triaxial cell must have an initial state at the corner. 1980) stress-controlled boundary on which the cell pressure acts uniformly. At the corner D in Fig. I doubted that this initial state could be reached. Þ plot (Lawrence. 55(a) when v ¼ ÿ þ  ÿ  the predicted yield locus CBD has a corner at C. A small over-compression was introduced in the initial stage of sample preparation. a soil like Boston Blue Clay when reconstituted and under spherical effective stress is very soft and slippery. 55(a).

If the collapse of an aggregate involves buckling of many columns of stressed grains with local volumes of parallel grains forming. but the yielding of soil with pore water pressures in undrained tests on the wet side of the CS that Roscoe et al. The modified yield locus normal to the p0 axis with no corner implied that an aggregate at the point of plastic compression is insensitive to a slight change of q. We included a discussion of stress in a triaxial test specimen under the first increments of cell pressure in Fig. The soil strength theory shown in Fig. and then is zero to the right of C. Any variation of stress through the interior of the specimen must result in mean conditions that give a point A not quite at the very corner V. The most striking confirmation of OCC as shown in Fig. I did not have these data on my return from America in 1964. I saw the basic significance of OCC to be that a grain aggregate of Rankine’s type dissipated frictional work in distortion. The OCC model showed that if Rankine’s aggregate of grains had Drucker’s kind of stability it would appear to behave like clay.108 DISTURBED SOIL PROPERTIES AND GEOTECHNICAL DESIGN Figs 19 and 20 some data that my student (Lawrence. 61 for the OCC model must follow an initial elastic path between A and B and a plastic path from B to C. and on the wet side it indicates ultimate CS strengths and pore water pressure. 1980) got later from index tests of a mix of rock flour and kaolin clay. in a mass composed of separate grains. then . Many modifications have proved possible. Our collaboration in this teaching was the basis of the Schofield and Wroth (1968) book. 61 as follows: This specimen was initially under virgin compression. His objection seemed to me to require the analysis of triaxial test data by the procedures set out in Figs 61 and 62. 62 fit the OCC model in Fig. (1958) discussed is what is expected in the stable yielding of an aggregate of small grains. 1963) quotes a body of data of Thompson (1962) in which test paths with three or four increments of hanger load led to creep until an ultimate pore water pressure was recorded. allowing Wroth (who had worked in a London consultancy) to return to Cambridge University. but experimentally we can not expect that the stress is an absolutely uniform effective spherical pressure. Calculation of strains on the path ABC in Fig. on the dry side of CS it indicates Taylor’s interlocking and pore water suction. 63 (Roscoe et al. and to me after Christmas in 1966 (Schofield. There cannot be a cohesion that depends on clay minerals and chemistry and is constant from B to C in Fig. while cell fluid around the sheathed specimen controls radial forces. his triaxial test data points in Fig. His data have no points at the predicted corner but fit the OCC yield curve and are quite close to Skempton’s (1954) B0 ¼ 1 straight line path. but I expected that if strains were calculated for OCC by this procedure they would fit Roscoe and Burland’s (1969) data at least as well as those calculated by the modified theory. Roscoe always raised an objection to the mixture of boundary conditions in the triaxial cell. Rankine began his 1857 paper by asking what ‘kind of stability. 61.. where the top cap and pedestal control axial displacements. arises from the mutual friction of those grains’. In the year 1964–1965 after my sabbatical leave. and this frictional property gave rational slip plane properties. The apparent cohesion of OCC does not prove that there is adhesion among grains of saturated clay. 5(c) cannot explain the point C in Fig. 1966). 5(d). Roscoe then arranged to transfer responsibility for final year lectures before Christmas in 1965 to Wroth. 5(d). a university lectureship arose.

and to make it clear to students that. although OCC fits experimental data. The lecture notes in early 1966 gave a fully three-dimensional yield function for Cam Clay from which general plastic strains could be derived. 3 Þ principal stress space on the wet . 24 between the virgin compression line DHE and the CS line AC is  ÿ . 2 . In my final-year undergraduate lectures in early 1966 I contrasted a model with  ¼ 0 (that I called Granta Gravel) with a model with 0 <  <  (that I called Cam Clay). 1963) isotropic compression of an aggregate in a triaxial cell at point D in Fig. it is a theoretical model based on mechanics. but in later years I introduced plots with v ¼ v þ  ln p0 and Granta Gravel simply became Cam Clay with  ¼ 0. To introduce CS concepts to practising engineers. For Rankine’s granular aggregate on the wet side of CS with internal friction as defined by an angle of repose but absolutely no cohesion between grains. and is a poor way to prepare soil samples for triaxial testing..PLASTICITY AND ORIGINAL CAM CLAY 109 Fig. Plots of v versus ln p0 showed Granta Gravel and Cam Clay as being different. Casagrande and Albert (1932) found a constant spacing Áw from ultimate states after continued shear deformation. we once gave our course in Canada. I left Cambridge University at the end of 1969 to become a professor at UMIST. The plastic hardening of OCC is seen to be a shift of state from one  line to the next. 55(b) is very sensitive to a change of q. My handwritten notes in 1966 (now on my internet home page) showed an OCC yield locus in the three-dimensional ð1 . it became an appendix to our McGraw Hill book in 1968. 63 Thompson’s creep data (Roscoe et al. I organized courses of lectures with Wroth in UMIST. 55(b) by the dashed arrowed line ECG. the OCC model makes a most striking prediction that the space in Fig. I chose local names to recognize that our whole group had played roles in the research that led to the model. as shown in Fig.

representing innumerable three-dimensional states. but water got into the oil by error. Wroth as a new research student in 1955 at first tested a perfect aggregate of ball bearings in cyclic shear in Roscoe’s SSA. OCC yield states lie on a line in the Frontispiece map. In any filter press. It had been a mistake to try to test a perfect specimen in a perfect shear box. These effects make it hard to say how well or how badly a theoretical model fits test data. The significance of OCC remains that it stands in its own right as a consistent CS theoretical model. and the ball bearings rusted. so that only part of the external stress on a sphere causes plastic compression in the centre of the sphere. grains form a cake across the filter. He had only just got enough ball bearings to fill the box. An experimental error in 1955 had already shown the need for imperfection in any array of spheres such as is shown in Fig. Minor imperfections in close-packed arrays of regular spheres make them behave more like the soil grain aggregates that were the subject of our research. as in metal plasticity. Test paths with elastic and plastic portions that reach these states will generally cause slip plane failures. The explanation was that as the number of cycles increased. It follows that in a triaxial cell it is as difficult to reach ultimate CS flow as it is to reach initial plastic isotropic compression at point D in Fig. 55(b). which is counter-intuitive. an attempt to cause spherical plastic compression by applying a spherical total stress increment to a uniform sphere of slurry with a spherical drainage boundary will fail because a spherical shell of filter cake condenses on the drainage boundary. Attempts to plot the Mohr–Coulomb failure states show the difficulty of reconciling the two . 8. the ball bearings came into crystalline packing. with increasing density and increasing strength. and found that the strength fell as the density increased in cyclic shear. The OCC surface of revolution intersects the six Mohr–Coulomb planes in six short arcs. Wroth stored the clean spherical ball bearings in oil. We did not have ideal test apparatus or ideal soil to test in it. The filter cake layer also is stronger than the slurry. 5. The only three state points where an OCC test path can reach a CS and can end with steady CS flow are the triaxial compression test points with stress states a ¼ 1 > 2 ¼ 3 ¼ r . a filter cake forms on the cylindrical wall and supports some of the axial load that is applied by the piston. If a piston applies an axial load to a cylinder of slurry with radial drainage. They showed behaviour that was closer to real soil.110 DISTURBED SOIL PROPERTIES AND GEOTECHNICAL DESIGN side of CS with Mohr–Coulomb failure surfaces on the dry side. acts in compression and carries some of the external stress. A further problem arises in primary consolidation of slurry due to the filter cake effect. In both cases the plastic compression process produces a soil body with a hard crust (like a chocolate with a soft centre) and not a uniform body of reconstituted soil.6 Laboratory testing and geotechnical design The test data that have been discussed so far confirm my claim that the Mohr– Coulomb theory has not got a secure basis in experimental mechanics. and dislocations propagated in deformation. There were further difficulties if we wanted to explain liquefaction and needed experimental data of cyclic shear in an idealized aggregate. and so continued the tests with rusty balls. by causing uncertainties with reconstituted soil sample preparation. reducing the rate of flow through the drainage boundary. giving test paths that led to a well-defined CS line.

It determines the drained angle of repose. The OCC model needs modification to include load cycles and anisotropy. the internal friction as measured at the CS is a reliable strength component. If a soil has a reliable aggregate of hard grains. but small-amplitude shear strain cycles on lightly loaded dense sand generally cause contraction. embalmed and treasured up on purpose to a life beyond life. 18(b). Imperial College test data as plotted in Fig. . Taylor did not study cyclic loading.PLASTICITY AND ORIGINAL CAM CLAY 111 models in the Frontispiece. 19th century: strength ¼ sliding friction (not interlocking) þ cohesion. When data were published showing that the CS concept did not apply to every soil. It is one of a succession of changes of concepts of soil strength in which components in successive centuries have been as follows: . Hvorsev’s shear box test and Casagrande’s index test data validated the CS concept. Milton wrote in the Areopagitica that A good book is the precious life blood of a master spirit. The OCC model is easily modified. and 350 years before the opening of Tutankhamun’s tomb in the Valley of the Kings there. which is indeed a good book. In a CS view. Milton was writing 150 years before the French Descriptions de L’Egypte. 9(a). . and adds a peak on top of CS strength without increasing power dissipation or improving safety. the undrained shear strength that makes saturated soil paste seem to be a perfectly plastic body with constant cohesion is due to friction. not power dissipation. and cohesion measured in direct tension was thought to be the same as cementation strength in shear. To state that CS concepts offer a basis for geotechnical engineers to continue to solve geotechnical problems. The rapid undrained shear strength cu is the internal friction in an aggregate in states on the sloping line ACH of critical porosities in Fig. but rather the sense that T&P is a book to be treasured by the reader. If engineers are willing to question old theories it can help them to explain soil behaviour in the laboratory. . It was a steady increase of the shear strain that caused the positive interlocking shown in Fig. and clay chemistry causes plots of shear box test data to have an intercept that is called cohesion. Friction was thought to dissipate power in slip on sliding surfaces. Taylor’s interlocking gives apparent cohesion to soil. observe ground in the field and use plastic design methods is not to propose a rejection of all the soil mechanics thinking set out in T&P. this did not mean that the CS concept was invalid. Both Coulomb and Rankine took cohesion as zero in newly disturbed soil. 18th century: strength ¼ friction þ cohesion. 47. but it does explain plastic volume change in soft ground and pore pressures. and papers proliferated as new students explored new model modifications or used new test apparatus. not cohesion. aggregated hard grains are held together only by the effective spherical stress p0 and not by adhesion of one grain to another. Friction observed in slopes at repose was thought to be due to interlocking. 20th century CS theory: strength ¼ CS friction as in a slope at repose due to power dissipation in stressed-aggregate distortion þ interlocking with zero cohesion. so I do not read in this quotation all that is now associated with mummification.

and the problems of liquefaction and of dilation. The ESB was New York’s icon. like Baker’s structural teaching. An error in the dimensions of a redundant structure that is within allowed construction tolerances. I am sure that our teaching. or a foundation settlement. Whether structures are made of reinforced concrete or mild steel or soil. they will not have a disproportionate response to a small load increment or be at risk of progressive collapse if they can dissipate enough energy in potential failure mechanism. The men flying the aircraft accepted that they were in a structure that could not itself dissipate the energy of all potential failure mechanisms. was also evident on 28 July 1945 in New York when an Army Air Force B-25 bomber crashed into the ESB between floors 79 and 80 in dense fog. but an understanding of the associated plastic flow rule . which was evident in bomb-damaged London. it is doubtful if our structures are as safe as commercial aircraft. The B-25 started a fire but it did not penetrate into the core of the ESB. The value of alternative load paths within a structure and of continuity and ductility. Elastic structural analysis as used in the ESB design finds a distribution of stress in equilibrium with the applied loads on the redundant frame structure. But if the tests to determine soil constants and computer calculations in the design and construction of civil engineering structures. There was a difference between an aircraft structure and the ESB structure. Geotechnical engineers can study ductile or brittle failures by model tests with soil under appropriate stress in a centrifuge. can cause strains that greatly increase the local maximum elastic stress. and finds elastic strains compatible with the displacement imposed on it. geotechnical or others.6 Geotechnical plastic design The ductile mild steel structure of the Empire State Building (ESB) absorbed the impact of a B-25 bomber in 1945. The crew and some civilians were killed.1 The place of plastic analysis in design The OCC model shows that a type of plastic analysis that is helpful with structures also helps us understand the classification and the selection or rejection of soils as construction materials. 6. should be based on plastic design theory and on approximate methods of analysis by upper and lower bounds. Newspaper photographs in 1945 showed a plane embedded in the ESB (the tail portion stuck out 80 floors above the street) not a collapsed ESB. The ESB was built in 1930 with a 60 000 ton mild steel frame structure. are compared with the material testing and design calculations and flight testing required for aircraft. less ductile structures exhibited progressive failure. where people could expect engineers who built structures for public use to make them as safe as houses (and more safe than aircraft). but the energy of the crash was absorbed locally in plastic deformation.

The metallic bonds between iron atoms and the slip of dislocations in the crystal structure allow mild steel to yield with constant volume. Baker’s plastic design of mild steel structures involves the selection of materials in which energy is dissipated. while he valued kind remarks that some geotechnical engineers made about him. compaction strengthens and hardens them. The value of ductility as a basis for steel structure design was a lesson learned after WWII both in the UK and in the USA (Beedle. Geotechnical engineers use soil classification tests to help them select construction materials that are able to dissipate work when disturbed. claimed that the whole basis of elastic design was faulty and the path which designers had been following for nearly a century was nothing more than a blind alley. fire affected the upper parts of both towers. in soil mechanics terms. He had observed steel frames during construction and seen causes of damage including dimensional error in lengths of members. it can be proved to be a safe lower bound to the actual plastic collapse load of a fully connected ductile steel structure. but steel can become brittle as it is strengthened. and errors in locating foundations that are more serious than differential settlement of ground. The ductile yielding of mild steel safely redistributes stress concentrations that would initiate fracture in stronger but more brittle steel. Baker et al. and had led to strong floors that could continue dissipating energy during large deformations and strong floor-tocolumn connections capable of surviving large displacements. an analysis that assumes a failure mechanism and calculates an applied load that is powerful enough to move it gives a kinematically admissible upper bound. 50. After research on design of steel frame structures before WWII. but no energy is dissipated in structural strains. Baker prefaced the printed version of his introduction to a conference on the settlement of structures with a spoken comment that. Soil behaviour when disturbed will depend on the effective . The construction of full-strength connections in redundant structures ensures the redistribution of unsuspected stress concentrations. as is seen by contrasting the safe ductile yielding of Baker’s bomb damage shelter in 1941 with the brittle failure and disproportionate bomb damage in the Oklahoma Federal Center failure in 1985 and in the 2001 collapse of the Word Trade Center towers. The strengthening of alloy steel can be based on the locking of dislocations by alloy atoms. which does not dissipate energy. the rotation of a masonry hinge can be seen. as interlocking. the builder would not need a geotechnical engineer! Masonry stone skeletons are flexible and can accommodate differential settlement. thermal strains. If a building frame could accept damage before being clad or given a brittle plaster finish. he wondered if they appreciated that his work aimed to reduce the need for their work. An elastic analysis that finds a stress distribution that does not cause yielding anywhere in the structure in static equilibrium with an applied load is a statically admissible lower bound to the actual plastic collapse load. and their final collapse might not have been so rapid if a plastic design had considered failure mechanisms such as are shown in Fig. The lesson did not continue to be taught. but not their lower parts.. plastic design methods of steel frame structures (Baker et al. 1968). 1956) were validated by bomb and blast damage to all manner of structures in WWII.GEOTECHNICAL PLASTIC DESIGN 113 of the theory of plasticity in structural design reassures engineers that it does not matter that the elastic analysis is not precise. After a large amount of fuel spilled across open-plan floors.

each of about the same size as a small triaxial test specimen. giving access to the model for excavation of the open-pit by hand. that model was made from weak plaster blocks of strength reduced by the scale factor of the model dimensions so it was possible to make that model demonstrate the crushing of weak rock. If a set of similar models at different scales show similar behaviour. but small models cannot test rock. In the small tank that Casagrande struck with a hammer in his liquefaction experiment the stresses were low. Effects due to anisotropy and cyclic loading in soil occur in each small-model FE. It will flow as debris in a catastrophic failure if. It is most tough and ductile as a plastic material at the CS effective pressure. but is brittle when overcompacted and lightly stressed. Pokrovsky’s centrifuge model contains many elements. every element provides the right boundary conditions for neighbouring elements in the centrifuge. The geotechnical centrifuge offered a new way to test disturbed soil under all appropriate boundary conditions. 6. some at very low stress near the ground surface and some at a depth in the model where stress is high. Soil is a ductile plastic material that is as reliable as mild steel if it is not over-compacted. His later suggestion that even dense sand under high pressure could liquefy was not based on a laboratory model test under high stress. Each stage of a centrifuge model test satisfies equilibrium and compatibility in soil elements that can be thought of as 10 000 laboratory test specimens. When modified constitutive models for soil were introduced into FE numerical models of boundary value problems. Many new items of laboratory test equipment would need to be built in order for each of those elements to be taken through appropriate test paths. Experiments on models at reduced scale gave masons an understanding of static equilibrium and of the mechanisms of deformation in a stone skeleton. and a frame built over the model. and each element of reconstituted soil in the model follows a path in a small-scale model test at increased acceleration. each under an appropriate stress. Mining of the slopes of an open-pit mine for ore extraction has been studied in the Earth’s gravity with a model pit so large that it filled a room. In a reduced-scale model at increased acceleration in a centrifuge. the scaling laws . come under different stress.114 DISTURBED SOIL PROPERTIES AND GEOTECHNICAL DESIGN pressure in the aggregate of soil grains and the packing density. with all dimensions and the rock fissures equally reduced in scale. As thousands of elements of reconstituted soil. each FE of real rock is subject to the real stress. when in states shown as Herrick’s liquefaction states in the Frontispiece. The value of that reduced-stress model depended on the accuracy with which failure of the weak plaster represented a scaled-down failure of the rock. It was not possible at that time to excavate a pit while a test package was in centrifuge flight. The state of the reconstituted soil slurry in each of them is initialized and then follows a test path with exactly the stress and the strain history that is ideal for laboratory tests.2 Lessons from the geotechnical centrifuge When Sokolovsky (1960) sets up stress field equations for solution by the method of characteristics he refers to Pokrovsky’s centrifuge with a whole model at an Nscale model factor in a uniform acceleration field N time’s the Earth’s gravity. new physical data were needed from different tests of laboratory specimens. it is fractured into rubble and subjected to a high hydraulic gradient.

Pokrovsky (Pokrovsky and Feodorov. but a large centrifuge in Cambridge needed other funding (Schofield. left over from earlier British rocket research. In a discussion of the actual lateral pressure of the earthwork. Terzaghi derided ‘the utter futility of small scale models’ (regarding published ‘well documented case histories’ as the only data of use to geotechnical engineers). or can give us experience with which to check plastic design teaching based on CS concepts. We can learn how to get a new class of data from repeatable strong earthquakes on small centrifuge models. and blocks of levee of as much as 50 tons were washed onto the marsh layer A in . But the BRS were concerned about a failure in Dartford creek where the lock keeper had gone out and walked along the levee by his house on the night of the flood. in an orderly way. This full-scale test had explained failures in the 1953 tidal floods that occurred just before overtopping. 1936) showed the data of centrifuge model tests giving earth pressures in the ground below a full-scale plate load test. Whatever Thames Tidal Flood Barrier was built. The UK Building Research Station (BRS) funded model tests at UMIST of failures of raised Thames levees. ‘that merely proves that his experience has not been extensive’. and we both built centrifuge facilities. An engineer needs to be able. 1995). to gain ‘experience of failure of works of his own construction’. that gave him the opportunity to introduce the plastic design of steel structures to engineers in practice. A contract from engineers in practice for geotechnical centrifuge testing can provide the experience of failure now. Terzaghi said that ‘the possibilities for successful mathematical treatment of problems involving soils are very low’. a small centrifuge development was supported. the existing levees A shown in section in Fig. centrifuge model tests should also be considered. that the chaos of WWII provided for Baker’s generation. They saw that the landward slope had sloughed away. without putting a client to too great an expense. The levee by his house failed that night. Geotechnical centrifuge model testing can show liquefaction to students. 1969). who got access to a large British Aerospace centrifuge in Luton. Wherever trial construction is considered. UK Science Research Council (SRC) funds were committed to other projects. He failed to acknowledge that Pokrovsky’s paper did show that a centrifuge test series could model plate loading tests and get the same data as full-scale field trials with more accuracy and less cost and delay than was incurred in the field. Sir Benjamin Baker (1881) wrote that if a man says he has no experience of failure of works of his own construction. The BRS made a cofferdam on the seaward side of a coastal levee. I went in 1969 to be Professor of Civil Engineering at UMIST. I recruited a research student.GEOTECHNICAL PLASTIC DESIGN 115 will be confirmed by what is called modelling of models. and took Cambridge models in a strong box for testing there (Avgerhinos and Schofield. In the proceedings of Terzaghi’s first international conference at Harvard University. and filled it with water that seeped through cracks. causing a breach. In the First International Conference on Soil Mechanics at Harvard University. 64(a) as built on the marsh soil B would have to be raised on the seaward side of the barrier. I presented a plan for geotechnical centrifuge development at a meeting of the British Geotechnical Society that would be costly and take time. our data can change engineering theory and practice. Engineers can solve problems at model scale of events that at full scale are uncontrollable. Rowe was then a Professor at Manchester University. If we can validate the techniques of geotechnical centrifuge model tests.

but when I understood what Soviet centrifuge model tests had achieved by 1973 I could also see that we were not only separated from the Soviets by military secrecy. with rising water pressures in layer C altering the pore pressures within the levee and causing failure on a slip surface. the marsh was uplifted. It ensured that the model reached equilibrium safely without failure before the storm surge tide was applied to the model. but at the 7th International Society of Soil Mechanics and Foundation Engineering (ISSMFE) Conference in 1973 in Moscow its Chamber of Commerce had a trade exhibition. Malushitsky describes his test facility at the Kiev Projekt Institute between 1966 and 1970. and wondered if this was due to a fundamental difficulty. I got their books translated into English. 1936) had published no more centrifuge papers after the one written for the first ISSMFE Conference at Harvard University. Hoping to provoke a centrifuge discussion there. the procedures and soil types. and systematic check of . and by Malushitsky. A full-scale trial could not be made without great cost and public alarm. I met and was given books by Pokrovsky and Feodorov. which had a very powerful centrifuge. observations. Resource development in Siberia and Soviet far-eastern lands and defence needs meant that their engineers dealt with permafrost. I based soil mechanics on a theory of plasticity with time effects being due to primary consolidation. I hired a space to exhibit a display of posters describing work in Cambridge and Manchester. Soviet engineers then got permission for an exchange of information with foreigners in a meeting at the end of the conference at the Hydroproject. perhaps with Coriolis effects in rotating models. with model tests at different scales to find the exponent of a power law for creep that best fitted the observed scaling of time. If he had seen that overtopping was imminent he would not have let his family stay in the house where they all died. but I could find a publisher only for the translation of Malushitsky (1981). In 1973 I thought that Pokrovsky (Pokrovsky and Feodorov. It explained why his work was classified at the height of the Cold War. The BRS thought that there may have been a new kind of failure.116 DISTURBED SOIL PROPERTIES AND GEOTECHNICAL DESIGN Fig. As soon as uplift pressure in the underlying sand layer C was equal to the weight of layer A. The books showed that Pokrovsky had modelled nuclear weapon craters and had led the development of centrifugal modelling in the USSR (Schofield. and the BRS wanted to study such an event in confidence in tests of centrifuge models. All contact was difficult. To observe transient pore pressures in soft clay below model levees we spent some BRS money giving Druck Ltd their first contract developing a novel solid-state pore pressure transducer (PPT). This PPT was to play a crucial role in all later centrifuge studies. 1998b). The Test Ban Treaty prevented US full-scale tests from resolving uncertainty about liquefaction in large weapon craters. The outcome of the tests (Hird. Any proposal to raise the Thames levees faced the risk of this kind of failure. The failure state with a flow of water up through tensile cracks or pipes in layer A was to the left of the Frontispiece. 1974) was a simple explanation of the Dartford levee movement. which made centrifuge models look better to me than to them. Our effectively stressed aggregate of soil grains was an elastic–plastic body with time effects due to consolidation. The BRS learned what they needed. making it possible to study liquefaction in model earthquakes. so Soviet soil mechanics was based on creep. there was a theoretical gap between us. 64(a). there is still no published translation of the other books into English. Contact with Russia was difficult.

during the course of one year. When I returned to Cambridge University in 1974 I had to fund work on the centrifuge by a succession of contracts. . but centrifuge development would let engineers in practice use model tests to gain new experience when the time came to apply new theories as they were developed. Roscoe died in a motor accident in 1970 while I was at UMIST. hard overburden without occupying any new land. In Schofield (1980) I described how. but that was not funded.GEOTECHNICAL PLASTIC DESIGN 117 accuracy by modelling existing waste heaps of overburden soil in open-cast mines for sulphur and for coal in the eastern Ukraine. work was done on a wide variety of contracts. Model tests provided the chief engineer of the ‘Krasnogor’ mine with data that he needed to ensure safe working. 6. so that . The SRC had no funds for centrifuge development. more than one million cubic metres of solid. He tested methods of forming heaps. over a period of two years undercutting of the slopes of internal waste-heaps was carried out at the ‘Krasnogor’ mine which made possible a reduction in the volume of re-excavated material by 4. This example suggested to me that it was possible for a geotechnical centrifuge facility to model problems connected with toxic and nuclear waste. the effect of foundation weakness. Successive models were tested by a group of university staff and research students. and he integrated his model tests into the mine waste management: Making use of the recommendations cited above. I proposed a European facility. . In Cambridge. A centrifuge model test can reveal a failure mechanism and the displacement mechanism . the first mine in the Kuzbass (the ‘Krasnogor’) deposited without accident. the slopes seen to stand up safely were much steeper than would be allowed by a soil mechanics calculation. The scale factor for the mass of waste is N 3 . The seepage flow in the model in 1 week of continuous operation scaled up by a factor of N 2 would correspond to 3002 Â 1 week ¼ 500 years. Models made safely in a laboratory glove box with actual soils and toxic waste from a very hazardous site and tested in a dedicated facility would give data that could not be obtained in the field.3 Herrick’s liquefaction in models There is more to be found by laboratory testing about a geotechnical problem than values of c or  or other soil constants for use in a computation.5 times. Funds for the continued development of equipment and instrumentation were earned from industry by the centre under my direction from 1974 to 1998. and reduced the mileage of dump trucks by 1. a 10 m beam centrifuge planned by Roscoe was built by Wroth but not commissioned. When excavators had to undermine existing heaps. and the construction of waste heaps on hydraulic tailings lagoon areas with large movement of hydraulic wastes in the foundation. A model test of the movement of 10 g of toxic waste in a plume at a scale of N ¼ 300 would correspond to a full-scale test using 3003 Â 10 g ¼ 27 tonnes of toxic waste.2 million cubic metres. on old hydraulic waste-heaps. with swinging platforms fitted to the beam. The basic research that led to OCC was going to undermine confidence in the Mohr–Coulomb model.

A review of the records of actual crevasses found the opposite to be true. To model erosion by the river of the exposed face of layer C our centrifuge model in an 850 mm diameter tub had layers A and C (Fig. causing the effective pressure on the point bar sand C to be high. The USACE built a large hydraulic model in Vicksburg in the WES grounds to study every river bend. and I began with Mississippi levee tests. but if engineers on the levee see the trees sink into the flood they know that their levee is in danger. From the start of the 19th century. Prediction of the likely locations of such breaches allows the USACE to have construction plant available in the right location. but a USACE general (who is in command in a flood fight) takes control of the river and all tributaries and decides what land will be flooded (after the flood the federal government makes compensation payments). When the river is at the flood stage. and the USACE got a new task after a flood in 1927 when Roosevelt’s New Deal addressed the poverty of the South. and I found that models could show me the reason. A water . Each flood deposits silt over the sand bar. In places on the flood way the federal levees are miles apart. About the same time as the Tennessee Valley Authority was set to work. 64(a)). In a naturally formed meander the river forms a shallow point bar deposit of sand on the inside of a bend and cuts deeply into the outer bank.118 DISTURBED SOIL PROPERTIES AND GEOTECHNICAL DESIGN before failure. formed in 1871. in between which private levees protect private interests. and as the river meanders in the Lower Mississippi Valley. Our Cambridge Mississippi tests (Padfield. I was asked if centrifuge model tests could explain why. The Civil War had impoverished the South. breaching the mainstem levee. He also gave advice on the risk of liquefaction of river banks. the US federal government had tasked the USACE with maintaining navigation in what was to become a system of over 20 000 miles of US waterways. 1978) considered a bend where the main levee stands far back from the river. Casagrande predicted that Hazen’s liquefaction event would be likely to occur if the overburden A was thick. The soil in the Lower Mississippi Valley came down the river. it may open a crevasse. the USACE was to complete a project by which the highest flood of record in every tributary of the Mississippi could be safely routed to the Gulf of Mexico. Soil selection for levee construction used Casagrande’s classification system. The floods in the mid19th century established the need for the USACE also to be tasked with flood control of the river through the Mississippi River Commission. tree tops stand above the brown water. They must build a set-back levee behind the potential breach quickly to prevent the river flooding out of control. and tributary control. resting on a little platform below water. a typical vertical profile of ground will show (Figs 64(b) and 64(c)) the point bar sand deposit (layer C in the figures) in the face of the river bank below a crust of stiff silt soil of variable thickness (layer A). The river is eroding the point bar sand C and undermining the stiff crust of soil A. channel improvement and stabilization. When the USACE Waterways Experimental Station (WES) gave me a contract for research into environmental problems of liquefaction they asked me to model every example of liquefaction that I thought possible. The system of federal levees and river control structures had to survive erosion that would occur at every bend as the river meanders through the Lower Mississippi Valley. If the erosion progresses. The work involved levees and floodways. transported as sediment and deposited across the width of the valley.

The outcome was that the collapse mechanism of layer A above the site of erosion depended on the ratio A/C. but after a test the tub swung down and we could drain the river and inspect the under water failure. preventing further loss by erosion of layer C. A WES engineer who saw photographs of the model failures flew me along the river in a light aircraft to see semi-circular liquefaction crevasses in the field. Figure 64(c) shows the case where A was thicker than C. Soil could flow away below the platform on which the model rested. (b. and result in crevasses and floods. (a) Section. (d) Plan view of cracked slab mechanism of the Mississippi River crevasses tank above the tub had a short pipe down into layer C and. Once the stress moved to the dry side of the CS the soil in slab A was no longer a ductile plastic material. Model liquefaction was in states to the left of the Frontispiece. If A was thinner than C the segments of cone descended past the level of the interface between A and C. All arching thrust was lost. air pressure applied to the tank caused a flow of water to erode the sand layer C into the test river. The centrifuge was fitted with swinging platforms so that soil and water could swing up into the testing position. arching forces between segments spanned across the erosion site. I had no knowledge before the tests that this is the actual mechanism of failure. As A cracked. Slabs of A and underlying point bar sand C all flowed into the river. A model test at reduced scale and increased acceleration is an excellent way of testing models made with granular aggregates because their behaviour mechanisms depend on the pressure and packing density. seemed to have been mistaken.GEOTECHNICAL PLASTIC DESIGN 119 Fig. leaving a semi-circular crevasse in the bank. 64 River bank failures. and acted as an articulated mattress. The test took place under water out of sight. which kept the effective stresses in a cone of plastic failure so that slab A remained intact as it descended. c) Elevation. as it does at full scale. when the model was in equilibrium. A general lesson . just as our models had showed. The alarm that high effective overburden pressure could cause Hazen’s liquefaction of deeply buried sand below levees protecting low-lying parts of New Orleans.

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from the Thames and Mississippi model tests about river bank system geometry is shown in Fig. 64: (1) B > A. If a river bank is higher than the layer on which it rests, a river at the flood stage may cause uplift pressure failure. A possible safety measure would be to cut through A to form open pools behind the levees to relieve uplift pressure in C. The river would flood the land slowly and safely without catastrophic sudden uplift failure of A or displacement of the levee. (2) C > A. If an underlying point bar sand deposit is thicker than the overburden layer, the overburden cannot arch across an erosion cavity as a plastic slab and stop erosion. An articulated mattress on the exposed face of C would provide a possible safety measure. Levee engineers can learn a rule, like the geometrical rules of masons, that thin overburden is dangerous. Layer A must be thicker than any underlying sand layer (B < A) and thicker than the height of any levee that is built upon it (C < A). A different concern arose in the last quarter of the 20th century when oil and gas were found below the North Sea bed between Britain and Norway. The sea there is about 100 m deep. In order to achieve early production, oil companies had to order offshore structures ‘off the drawing-board’ before a single such structure had been placed on the deep North Sea bed. One project, to supply Britain with gas from the Norwegian Frigg field, had a steel jacket structure for drilling the wells and production of gas in this northern field, and a pipeline that ran via a concrete manifold structure to the south. The steel structure was accidentally ruined during installation. The company kept the project on time by using their manifold structure on the northern site. When installed in September 1975 in 96 m of water it became CDP1 (Concrete Drilling Platform 1) at Frigg. The prestressed concrete tower structure had a central shaft that extended 30 m above sea level to a steel deck. It rested on an annular raft, of 101 m external diameter and 54.4 m internal diameter, on dense sand. The raft did not have a skirt, as at that early date the value of a skirt was not realized (later concrete rafts had steel skirts that penetrated the sea bed round them). Casagrande’s 1975 advice that ‘even dense sand, if heavily loaded, can experience actual liquefaction’ led the designer to reduce the effective stress on the sand as far as possible, hoping to lower the liquefaction risk. The sand state was far on the dry side of the CS line. In due course, storm waves rocking the exposed tower of CDP1 were seen to be larger than had been expected further south. The edges of the lightly loaded raft were intermittently pulled up and pressed down on the sea bed, causing pumping and erosion. Lacasse et al. (1991) wrote that Videotapes of an underwater survey in September 1976 showed sand flowing from the underside of the base through the rabbit holes. The sand flow was described as a ‘breathing’ process with a rhythm close to the wave period. The word breathing suggests an image of a man taking a nap with a handkerchief over his face that rises and falls in rhythm as he snores; Herrick’s image of Julia is more picturesque. Casagrande’s advice that even a dense sand bed can liquefy under high stress led the CDP1 designer away from the wet side of the CS towards the dry side of the CS. His maximum vertical stress was as low as possible, with a

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triangular stress distribution across the base under the design moment. The pressure at the edge of the slab cycled from zero to a maximum pressure, but when the storm wave heights at Frigg applied moments that were greater than the design values, the effective pressure could not become negative. The moment lifted first one edge of the slab and then the other off the dense sand, and caused pumping. The ground loss caused cracks in the concrete. The cameras at Frigg saw medium to fine very dense sand being pumped out from below the raft under zero effective stress. The structure cracked when the loss of sand undermined the base. The loss of sand by pumping might stop if a drained loading berm were placed round the base; settlement damage might be made good by grouting. Model tests were discussed but not proceeded with. For Casagrande in 1936 nothing could stop a sand flowing once it has changed into a flow structure. The chain-dashed arrow from B to C in Fig. 18(a) shows fully drained shear and deformation at constant effective pressure p1 that brings soil to a safe porosity n0 . In his 1975 theory the definite critical porosity for sand changes to the CS double curve in Fig. 12 and the double line AH in Fig. 18(b). Hvorslev had stated in 1937 that his experiments showed that Casagrande’s 1936 void ratio does not exist in the case of fine-grained soil, and that any void ratio can become critical if it is produced by a critical consolidation procedure, as in Fig. 18(b), where critical porosity decreases as effective pressure increases. The CS concept applies both to sand and to silt and clay. With a CS line AH in Fig. 18(b) crossing compression lines AB and FH, in Fig. 18(b) a chain-dashed arrow from B towards C leads to drained shearing deformation at the constant effective pressure p1 in a CS state at C, but now a solid arrow from B to K leads to undrained shearing with effective pressure p1 decreased only until the CS at K is reached with flow with a constant positive pore water pressure u ¼ p0B ÿ p0K , where p0B is the pressure at B and p0K is the pressure at K. The final set of tests that I will discuss here relate to brittle embankment dams. The Lower San Fernando Dam was constructed by hydraulic filling above Burbank; it failed on 9 February 1971 during the San Fernando earthquake with high pore pressures that led to a slip of the upstream face similar to the slip in the Fort Peck Dam. In the mid-West and the Mississippi valley where water is plentiful, Army Engineers could build their dams with pumped hydraulic fill; in the mountains, water is scarce, and the Bureau of Reclamation or the Los Angeles Division of Water and Power had to use earth-moving and compaction plant to build dams. A number of such dams had been built in California before anyone raised the question of whether an embankment built of granular aggregates without any clay was at risk of liquefaction in earthquakes. Older embankment dams that had survived previous Californian earthquakes had been built with clay soil. However, in the western states in general where water is too scarce for hydraulic fill construction and no plastic clay is available, agencies such as Bureau of Reclamation and the Los Angeles Division of Water and Power used machines to excavate, haul and heavily compact non-plastic fine silt soil to build embankment dams such as the Teton Dam in northern Idaho and the Baldwin Hills Reservoir in Los Angeles. The foundation movement of dam sites under the weight of water and soil causes brittle soil to crack. Both dams failed, with cracks in dense brittle soil near zero effective stress in the zone on the dry side of

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the CS line in the Frontispiece where liquefaction of cracked rubble is plotted, with high hydraulic gradients. The engineers for both dams placed great emphasis on achieving high density, but a less compact, more ductile, soil body would have been a better barrier to water flow. Both dams failed with near-vertical faces to a channel through which the water flowed. It was a tribute to the level of compaction that had been achieved that the faces stood while the entire contents of the dam flowed past, but if less heavily compacted, such soil deforms with smaller cracks. They flood with water when the dam fills. A small crack could self-heal, and a dam could remain watertight. I got support for a set of centrifuge tests at the University of California in Davis and also at Cambridge University for centrifuge model tests made with Teton Dam core material. I reported the results to the Bureau of Reclamation. A slab of compacted soil formed a model of a section of the dam core, with a vertical crack at right angles to the dam. A window against the crack face let it be observed as water flowed through the narrow crack. Soil grains eroded from the face fell down and filled the bottom of the crack. The erosion formed a void that migrated upwards to the surface. There was a graded filter layer downstream that fell into the rising void and plugged it, so the crack did not turn into a pipe. The vertical face of a crack in compacted Teton Dam core material was observed while seepage water flowed along the crack. My report showed loose soil sloughing off the crack face, filling the crack with mud and causing a void to slowly migrate upwards to the surface while mud slowly plugged the crack. A graded filter layer rested on the upper surface, and the essential requirement of the layer was that it was thick enough to fall into any void that arrived and plug it. Any faults in the rock below the Teton Dam were due to move when the dam was filled, and there was no possibility of predicting precisely where foundation movement would occur. What was needed was construction that was not too stiff, leading to cracks that were not too large, and filling that was not too fast, leading to plugging of cracks, and graded filter layers to fill migrating voids. The Teton Dam was the last in a series of Bureau of Reclamation dams that successively were compacted harder, with soil states moving further to the left in the Frontispiece. It failed with a crack face to the full height of the dam. It was filled more rapidly than the others to get an earlier return on investment. There was no time for cracks to heal (Muhunthan and Schofield (2000)). The Seed et al. (1976) account of the Teton Dam failure began with an FE analysis of the compacted embankment that found a low stress in the cut-off trench below the dam as built. He superposed the pore water pressure transmitted through the flow net on filling the dam, on top of the FE total stress. Where the sum was negative it was said that the effective stress fell to zero and the soil cracked, but simple superposition no longer applied with those boundary conditions. Total stresses changed during filling, and should have been recalculated with no strain parallel to the underlying rock faces. Cracks, pipes or channels have often been encountered and led to failure. The lesson that should have been learned was the value of ductility and of measures to ensure that internal erosion leads to self-healing. The Los Angeles Division of Water and Power engineer Proctor built a heavily compacted embankment that formed the Baldwin Hills Reservoir. A novel drainage system below that reservoir was intended to detect

I cannot say that it will not be achieved in other centrifuge models. 18(a). 18(a). This type of test has transformed the position in earthquake engineering research. his 1975 paper refers to unpublished studies for the USACE at the time of the Franklin Falls Dam.4 Geotechnical centrifuge developments In my 1980 Rankine Lecture and in a lecture in St Louis (Schofield. Various triaxial tests have been reported as evidence for Hazen’s liquefaction. The dam failed while I was a Fulbright Fellow at Caltech (1963–1964). but no action was taken. acceleration and displacement data from solid state transducers in a flash memory for retrieval after the test. where a test path approached the CS from the wet side and ended in unstable failure. 18(b). The earthquake actuator applies earthquake waves at predetermined frequency for a predetermined time in which an acquisition system stores pore pressure. showing the great torrent at failure rushing past high vertical faces of over-compacted soil. to which Taylor (1948) also referred. 6. In 1936. When I visited the dam just after failure I was struck by the excellence of Proctor’s compaction. Better model tests would be needed to make a better entry. but I have based the Frontispiece on the failures that I achieved. In the Bumpy Road system that we used for some years. This 1975 paper led to concern that deeply buried sand and gravel layers laid down at the end of the last glacial period may cause widespread liquefaction risk and to much expense in construction.GEOTECHNICAL PLASTIC DESIGN 123 leaks. and Casagrande warned that even dense sand might be taken into a state where it is at risk by a pressure increase as shown by the bold inclined arrow Z in Fig. 1988). 18(a). soil below the constant porosity critical line was supposed not to be at risk of liquefaction but if soil was in a safe state. pressure reduction might allow swelling into a state with a risk. This section has discussed some cases on which I have based the Frontispiece entry on Herrick’s liquefaction. Model earthquake tests in Cambridge gave our students test data from which they got a new understanding of pore water pressures (Schofield and Lee. later. 1982). and the data did reveal them. I reported that centrifuge studies had led me to review Casagrande’s definition of liquefaction. The vertical faces of the very narrow vertical cleft in the embankment through which the entire contents of the dam had flowed had not fallen. Hazen’s suggestion that a hydraulic-fill dam had been liquefied by a shock has been represented by points in the Frontispiece on the wet side of the CS. 18(b) replacing the constant critical porosity line CE in Fig. In my centrifuge models of examples of liquefaction I never achieved Hazen’s liquefaction. Casagrande’s 1936 theory refers to soil looser than a critical porosity in Fig. That very strong over-compacted soil made a poor dam was also evident in photographs of the Teton Dam failure. with an inclined CS line like ACH in Fig. In contrast. it proved possible to retain the modelling equipment and simply replace the supply of stored angular momentum by a flywheel. Where previously . as shown by the bold inclined arrow Z in Fig. in 1975 contractive soil above the CS line was supposed to be at risk of liquefaction. I regard such failures as instabilities that apply to the specimens with the boundary conditions tested rather than as evidence that soil at the same state in an embankment will liquefy. the earthquake actuation energy came from the massive centrifuge arm.

now we observe behaviour mechanisms. I was told that oil companies wanted to buy research within a market where there were several competing research organizations that all reached international standards. and other centrifuge workers had similar direct experience. When the government stopped spending departments such as Transport or the Environment from placing contracts for university research. To study the behaviour of offshore jack-up platforms in a centrifuge with a mobile model. but it remained possible to find money for research on offshore structures for the exploration and production of oil and gas. 1995). A new opportunity to make tests in geotechnical centrifuges on models that represent a complete dam or segment or a foundation system as a whole allows us to find a value of one or other parameter which covers integrated effects through a unit of construction. where a structural analyst who regards foundations as elastic spring hinges needs to know when the fixity became non-linear. and the platform was subject to cyclic loading that modelled the wind and wave forces on a platform in a storm (Tsukamoto. Both disturbed and undisturbed soil specimens can now be subjected to laboratory tests that produce data with a direct relevance to works and observations in the field. 50(a) and the plastic hinge rotation. The new geotechnical centrifuges have created a new opportunity for laboratory workers. we all had a new authority to make comments. after we could analyse our own test data at Cambridge University. It offered identical conditions at 20 different locations at which the model was deployed. At the time of the Stockholm ISSMFE conference in 1981 when President de Mello first formed Technical Committees (TCs) on various topics he agreed that one of the first should be TC2 on centrifuges. In the application of plastic design to steel structures. a soil sea bed layer was placed as a carpet around the circumference of the 2 m drum in Cambridge and accelerated to 300g. Much greater danger and cost and uncertainty of environmental conditions would have been involved if an attempt had been made to get similar data from platforms deployed in the field.124 DISTURBED SOIL PROPERTIES AND GEOTECHNICAL DESIGN no one thought we had a basis from which to comment on Casagrande’s liquefaction and critical voids. At the outset of the model tests there were no data of fixity of jack-up spuds when loaded at full scale to incipient failure in a storm. it was harder to get. This example can be extended in the study of jack-up spud fixity. The money for the development of centrifuges and of modelling technique was earned on contracts. the role of stress and strain in the analysis are played by the bending moment applied to a rolled steel member in Fig. Engineers who observed soil behaviour in the laboratory used merely to determine values to be given to the parameters used in the computation. A great many computer programs are available which require soil to be characterized by parameters describing one or other aspect of a constitutive model (many of which models claim descent from CS concepts or Cam Clay). It was possible to internationalize . It was essential both to encourage and assist all those that wanted to compete with me and also to try to remain pre-eminent in the field and win the best contracts. Triaxial test equipment does not impose all the conditions that are relevant to failure. The data of foundation fixity found by the end of the tests enabled an oil company to validate the new programme that they wished to introduce for selection of rigs for use on North Sea sites.

In one typical study the bearing capacity factors that Terzaghi had based on fragments from the theory of plasticity were replaced by yield locus concepts and studies of structure–foundation interaction that we validated by experiments (Dean et al. Goodman (1999) describes Terzaghi as ‘the Artist as engineer’. to build their centrifuge. fund successive students. and were offered training for their workers and planning and provision of test equipment for their facilities (Schofield and Taylor. My translation of Coulomb’s words un Artiste un pue instruit as ‘a builder without higher education’ equated artisan and builder. There was also the possibility of earning money by manufacturing test equipment and instrumentation in Cambridge for the new test facilities that began to be built. so I formed a second company. and visiting and drawing help from our experience in Cambridge. Acutronic. LCPC specified their facility at Nantes after reading all the published information. but got a French aerospace firm. Potential users visited Cambridge. and continue equipment development in Cambridge. but I was allowed to set up a company. costing a . Acutronic asked for ANS&A cooperation to help them to sell centrifuges to other centres. Centrifuge Instrumentation and Equipment Ltd (CIEL). 1994). new effective stress modelling techniques became well known.GEOTECHNICAL PLASTIC DESIGN 125 the topic with a variety of committee members and a succession of specialist conferences that produced many papers from many centres in ISSMFE TC2 conference volumes that lifted the shroud of military secrecy from the topic and created wide academic and commercial activity in a centrifuge model testing market. Many of the 175 PhD theses in the Cambridge soil mechanics group over the past 50 years involved cooperation with engineers in geotechnical process and construction that continues today. People that were funded by ANS&A to work in the Cambridge facility went on to build and work in new centres in other countries. and passed over goodwill and assets. so I liquidated ANS&A and CIEL. Cambridge University was unwilling at that time to have their name associated with trade. Andrew N Schofield & Associates Limited (ANS&A).5 Conclusions Any student civil engineer who learned the principles of soil mechanics in T&P and found that il put les entendre les principles et s’en server (it was possible to understand the principles and to follow them) will know from their own experience what great benefit the teaching at Harvard gave to 20th century civil engineering education. In 20 years. for this purpose. To conclude this book I must explain my confidence in proposing to change some principles of that education. earn money on ANS&A contracts. The front cover of this book shows a novel structure made 600 years ago. When I spoke at the Nantes opening. In France.. Each such study led to a PhD thesis by a research student. ANS&A was particularly closely involved with the US army centrifuge at the WES (Ledbetter et al. 1988). With each development the risk of accidents was comparable to risks that there would have been with research students and technicians using light aircraft.. Cambridge University had become better organized for its involvement in trade on my retirement in 1998. 6. 1993). Contact with professional engineers meant that all involved in Cambridge learned to work responsibly.

This theory was still taught in Paris at the Ecole ´ Polytechnique in the 19th century using the edition of Belidor revised by Navier. Aggregates are not perfectly scaled in models. Figure 63 shows plastic compression and yielding with CS friction as predicted by the OCC model fitting the data of equilibrium after creep. by the energy released in buckling. taught their students. Gouge material on a slip surface may dilate and reach CS strength and density with quite small slip displacements. He questioned these theories and his experiments found these theories were not true. and only dependent on 0 . This 18th-century asperity theory can only apply to resistance to an initial motion.126 DISTURBED SOIL PROPERTIES AND GEOTECHNICAL DESIGN King’s ransom. not to steady sliding. If there were any true cohesion on the dry side of the CS line. with a coefficient of friction  of about one-third for well-lubricated surfaces. and requiring 14th century builders (each of whom Coulomb or Goodman could describe as un Artiste or an Artist) to adopt a building plan that was accepted and trusted a century later by artisans who never met the authors of the plan. it would also be seen on the wet side. Whatever is happening among those grains the success of centrifuge tests confirms that Critical State teaching places ‘the theory of earth pressure on a true foundation’ (in Reynolds’ words). Each grain has experienced many previous unstable events. The CS concept and the OCC model give a better insight into soil behaviour than the Mohr–Coulomb hypothesis (Schofield. I have explained in the pages of this book that a true cohesion governed by the adhesion of absorbed water films around soil grains is not proved to be applicable in the Mohr–Coulomb equation. 2000). either in tension or shear. Coulomb also learned from the physics textbook of Musschenbroek that a component of strength due to cohesion or adhesion acts when a solid body separates into two parts. No one yet knows exactly how sand grains interact with each other in a slope at repose such as is shown on the back cover. from Professor Bossut in the Mezieres engineering school and from ´ ´ Belidor’s engineering textbook. and by the local geometry of grains. but as a designer he made the prudent assumption that all soil is newly disturbed with no cohesion. and Skempton and Bishop at Imperial College. and it is not proved that (on the wet side of the CS) contractive soil liquefies. He formulated the asperity theory that Coulomb ´ ` learned. Amontons observed a sliding friction force independent of the slip plane contact area. Casagrande envisaged a critical porosity such that loose grains at higher than critical porosity will show a decrease of volume. and their colleagues. The same properties of soil grain aggregates that lie behind the simple OCC equation (shown on the front cover) also lie behind the success of geotechnical centrifuge model tests. I suggested in the second paragraph of Section 1. Geotechnical engineers should prepare themselves to work within a civil engineering industry that knows that there are fundamental errors in the soil mechanics that Terzaghi and Casagrande at Harvard University.2 that their confident design methods were based on education that included model testing. Taylor made experiments on dense sand in which he rediscovered Amontons’ interlocking on the dry side of . but the OCC model for Rankine’s aggregate of grains with no adhesion works there. Intact rock strength in tension did give a safe approximate value for rock strength in shear. In any model the aggregate of individual soil grains depends on lines of highly stressed grains to transmit forces. When lines buckle each grain moves in ways that are affected by the weights of grains.

The process of education and research that Terzaghi envisaged. Terzaghi was constantly vigilant to detect nuances in new information from a site about ground conditions. Plastic design by student engineers based on CS strength can follow the principles of Coulomb and Rankine with a safety factor of 1. must be reappraised. 55 between the line of critical states and the line of unstable isotropic compression under spherical effective pressure that replaces Casagrande’s liquefied states. The work on CS concepts and the OCC model has made it clear that soil mechanics research needed continuity over much more than 50 years. and the teaching there by Casagrande on liquefaction. and his Harvard soil mechanics teaching on ‘true’ cohesion and friction. and a true friction that is less than the angle of repose of a heap of loose grains. Model tests give insight into appropriate deformation mechanisms. An isotropic grain aggregate with this dissipation function has states that are stable by Drucker’s criterion. Terzaghi spoke in his Conference at Harvard University of the need for geotechnical engineers to be well grounded in mechanics. Terzaghi suggested that newly disturbed reconstituted clay has a true cohesion that depends on the closeness of clay grains to each other. His supposed cohesion on the dry side of the CS was not a true soil constant for a given porosity. they require increased acceleration. The research effort and investment in geotechnical centrifuge modelling at Cambridge University has resulted in model test facilities and expertise that are within reach of every geotechnical engineer throughout the world. Plastic design is an essential part of a well-grounded education. This should lead to new laboratory tests and new observations in the field. The OCC model of the behaviour of contractive aggregate represents what is observed in the yielding and plastic compression of soft silt and clay. but was an effect due to interlocking that applied up to and not above a critical effective pressure. The plastic yielding of the aggregate in these states interposes states of ductile plastic compression shown in Fig. The OCC model shows soil aggregate behaving in the way that was found at Harvard University and in Vienna.GEOTECHNICAL PLASTIC DESIGN 127 the CS. after investigation of ground conditions for the design of construction works.25. Schofield and Wroth explained the use of the undrained cohesion and drained friction parameters cu and d in plastic design based on disturbed soil strength rather than on peak strengths of undisturbed soil samples. rather than the very brief periods of Harvard and MIT research. CS soil mechanics teaching follows Coulomb and Rankine. Goodman (1999) wrote that. Thurairajah’s analysis of his triaxial test data showed that the energy dissipated in the distortion of a stressed grain aggregate depends on the effective pressure (energy stored in grains is lost when a grain slips) and on the magnitude of the distortion increment. Terzaghi did not notice that the dense clay shear box test data of his research student Hvorslev showed that there was a critical effective pressure such that there true cohesion and friction did not apply when a higher effective pressure acted. In their textbook. If model tests at reduced scale are to be relied on. he needed equal vigilance to realize the significance of new theories of soil behaviour. and new mathematical . The Frontispiece shows the importance of the effective pressure in the behaviour of a granular aggregate. with interlocking instability localized into a distinct slip plane on the dry side of the CS and with stable yielding on the wet side.

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formulation and experimental validation of ways to solve problems; strain compatibility equations had to be introduced if Eqns (9) and (10) replaced Eqn (2). To Terzaghi, the possibility of the successful mathematical treatment of problems involving soils appeared very limited, and small-scale model tests were ‘utterly futile’, but time has passed since Terzaghi recommended a shift of the centre of gravity of research from the study and the laboratory into the construction camp. Laboratory geotechnical centrifuge modelling, digital modelling by numerical methods, and field observational methods are all available as research methods that can correct soil mechanics errors. Small model tests in advance of construction and observations during it have proved useful in the development of understanding of the geotechnical processes in which engineers are involved. In early stages of design, much smaller amounts of soil are available for testing than are accessible when construction begins; if unexpected problems arise, large blocks of undisturbed soil can be obtained and tested in a geotechnical centrifuge. The creation of centrifuge test facilities, and publications of the ISSMGE TC2, provide the possibility of such tests giving new physical insights to engineers who face the challenge of geotechnical engineering in the 21st century. Soil mechanics knowledge learned by civil engineers during 300 years must not be forgotten, but engineers must review the changes in basic thinking on soil strength in the past 300 years, not changing every plastic design calculation that came down to us from Coulomb and Rankine but making a rational choice of the soil properties to be used in them. Any engineer should bring structural material into a tough and ductile state as far as is possible. A plastic analysis on a CS basis will emphasize the benefits of ductility in geotechnical structures. True cohesion now has significance only in respect of the historic misinterpretation of Hvorslev’s data. Rankine (1874) wrote: Earthwork gives way by the slipping or sliding of its parts on each other; and its stability arises from resistance to the tendency to slip. In solid rock, that resistance arises from the elastic stress of the material, when subjected to a shearing force; but in a mass of earth, as commonly understood, it arises partly from the friction between the grains, and partly from their mutual adhesion; which latter force is considerable in some kinds of earth, such as clay, especially when moist. But the adhesion of earth is gradually destroyed by the action of air and moisture, and of the changes of the weather, and of alternate frost and thaw; so that its friction is the only force which can be relied upon to produce permanent stability . . . The temporary additional stability, however, which is produced by adhesion, is useful in the execution of earthwork, by enabling the side of a cutting to stand for a time with a vertical face for a certain depth below its upper edge. That depth is greater the greater the adhesion of the earth as compared with its heaviness; but diminished by excessive wetness.

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C. 94ÿ5 boundary forces 68ÿ9. 96 Cam Clay see original Cam Clay cannon fire rampart protection 12ÿ13. 126. A. 113 Boston Blue Clay 99 boundary conditions 114ÿ15 boundary energy correction 29. 16ÿ18. F. 95ÿ6 Atterberg’s soil classification 48 axial compression 100ÿ5 axial stress 78ÿ87 Baker. 7th International Society of Soil Mechanics and Foundation Engineering (ISSMFE) Conference 116 1947 US War Department report 79 1980 Rankine Lecture 96ÿ7. Frigg 120ÿ1 . 125 ´ Belidor. 16ÿ17 bending 94 bolted ductile steel bomb shelters 88ÿ91. 10ÿ11. 89. 106 ANS&A see Andrew N Schofield & Associates Limited apparent cohesion 47ÿ8. 13 Casagrande. 10. 113 Baldwin Hills Reservoir. 82ÿ3 Amontons’ friction xii. 88ÿ91. 29ÿ30. 68 boundary stress 4 Boussinesq. Coulomb. 89 bomb damage 88ÿ91. 25 BRS see Building Research Station buckling 108 Building Research Station (BRS) 115ÿ16 bulk stress 69. 10. 57ÿ8. 16ÿ17. B. 45 preface xiii Reynold’s dilatancy 34 Skempton’s pore pressure parameters 79 soil classification 46ÿ50 Cauchy. A. 45 geotechnical centrifuge developments 123ÿ4 Hazen’s liquefaction 35ÿ40. critical porosity 126ÿ7 critical void ratio viii. Charles 18 asperity theory of friction xii. 97 abbreviations xiv active earth pressure 14ÿ15 actuation energy 123ÿ4 Acutronic 125 adhesion viii. 126 Amontons’ interlocking 126ÿ7 Ancien Re´gime 17 Andrew N Schofield & Associates Limited (ANS&A) 125 angle of repose see slope at repose angular momentum 123ÿ4 anisotropy viii. Los Angeles 121ÿ3 bearing capacity vii. 99. 10. 73 CDP1 (Concrete Drilling Platform 1). 35 Calladin. 34. 37. 128 airplane crashes 112ÿ13 alloy steels 113ÿ14 American War of Independence 17 American working hypothesis 79. R. 113 bomb shelters 88ÿ91. Professor J. 45 failure at low effective stress 43. 121 liquefaction critical state theory 42ÿ3. 38. 126 associated flow rule 91ÿ4. 12. 95ÿ6. 121 Drucker’s stability criterion 98 geotechnical plastic design 120. L. 69 Bumpy Road system 123 Bureau of Reclamation 121ÿ3 Californian earthquakes 42. 121ÿ2 Calaveras Dam 34. viii. 61. 75ÿ6 breathing 120ÿ1 brittle embankment dams 121ÿ3 brittle failure 113 brittle interlocking 24ÿ5.Index Note: page numbers in italics refer to Figures. 15. 89. 108 applied loading planes 84 Arab numerals 9 Army Air Force B-25 bomber crash 112ÿ13 army rank. J. F. 65.

128 Hvorslev’s clay strength data 55ÿ7. 55ÿ7. 8. 33ÿ4 contractive sand 24ÿ5. 67 frontispiece ii Hvorslev’s clay strength data 55ÿ7. 53. 5 soil properties 15ÿ19 Coulomb’s law 19ÿ21 counterscarp walls 12 cracking 71 craters.INDEX 135 cell pressure 78ÿ87 centrifuge displacement mechanisms 117ÿ19 failure mechanisms 117ÿ19 geotechnical plastic design 114ÿ19. 41. 11. 7ÿ12. 25 convex yield locus 92ÿ3 Coriolis effect 116 Coulomb. 7ÿ12. 127 preface xi. C. 76 contraction viii. 107ÿ10 soil classification and strength 52ÿ3. 56 steel frame structure plastic design 88ÿ91 yield locus 99. 59 interlocking soil strength 22. xiii Centrifuge Instrumentation and Equipment Ltd (CIEL) 125 clay strength data 58ÿ64. 126ÿ7 critical states (CS) Casagrande’s liquefaction 38ÿ40. 15ÿ19. London 1960 84 conjugate stress 74ÿ6. 61ÿ3 Hvorslev’s shear box data 60ÿ1 interlocking 27ÿ8. 59 soil stiffness 65ÿ72 soil strength 65ÿ72 strain circles 65ÿ72 . 29 masonry 10ÿ12 original Cam Clay 105ÿ8. 5. 58. 5. 8. 40. 10. 121. A. bomb damage 88ÿ91. 15ÿ19 soil behaviour maps 2. 39 critical states 67. xiii soil behaviour maps 3 soil classification and strength 53ÿ4. xii. 100ÿ5 concrete beams. 20ÿ1 foreword viii geotechnical plastic design 126. ix frictional dissipation of energy 29ÿ32 frontispiece ii geotechnical plastic design 121 Herrick’s liquefaction 42ÿ3 Hvorslev’s clay strength data 50ÿ8 Hvorslev’s shear box data 58ÿ64. 55ÿ7. 50. 98 compression Casagrande’s liquefaction 39ÿ40. 111. 128 modelling 117ÿ19. 58. 127. 11 slip plane properties 2. xii Rankine’s soil mechanics 72ÿ8 Skempton’s pore pressure parameters 78ÿ87 soil behaviour maps 6ÿ7 soil classification and strength 50ÿ64. 24ÿ5. 42ÿ3 Coulomb. see also MohrÿCoulomb equation friction tests 30 geotechnical plastic design 126 Rankine’s soil mechanics 77ÿ8 shear and tension tests 68ÿ9. Frigg 120ÿ1 Conference on Pore Pressure and Suction in Soil. 59 cohesion Casagrande’s liquefaction 36 Coulomb’s Essay 15 Coulomb’s law 19. 10. 10. 67 original Cam Clay 99. 89 creep 108ÿ9. 125. Charles 3 energy dissipation 29ÿ32 foreword vii. xi. bending 94 Concrete Drilling Platform 1 (CDP1). 111 preface x. 11. 2. 60ÿ3 soil plasticity 47ÿ8 Vauban’s fortress walls 14 Cold War 116 collapse mode 91 compaction ii 26. 77ÿ8 Vauban’s fortress walls 13ÿ15 Coulomb’s Essay masonry 7ÿ12. 25. 109 critical density 36 critical effective pressure 127 critical porosity 40. 24ÿ9 limiting stress states 65ÿ87 MohrÿCoulomb strength values 78ÿ87 original Cam Clay 105ÿ7. viii. 68 slip plane properties 1ÿ3. 100ÿ5. 8. 74. 56 limiting stress states 67. 128 testing brittle embankment dams 122ÿ3 facilities 128 foreword ix Hvorslev’s clay strength data 63ÿ4 preface xi.

112ÿ13 ductile yielding 113ÿ14 earth dams 38 earth pressure Coulomb’s law 20 geotechnical centrifuge 115 Rankine’s soil mechanics 74ÿ7. 77. 52. 123 Lower San Fernando Dam 121 Teton Dam. 43ÿ5 effective stress Casagrande’s critical void ratio viii circles 104. 35 Casagrande’s liquefaction 38 Fort Peck Dam. 22ÿ4. 29ÿ30. 121ÿ3 . 39. 23. 99 elastic constants 69ÿ71. 76 Reynold’s dilatancy 33ÿ5 Vauban’s fortress walls 14ÿ15 earthquakes actuation energy 123ÿ4 brittle embankment dams 121ÿ2 geotechnical centrifuge developments 123ÿ4 pore pressure transducers 116 zero effective stress 42 earthwork lateral pressure 115 effective normal forces 28 effective normal strength 23ÿ4. 98 dry side of critical ii 71ÿ2 ductile failure 94 ductile mild steel 88ÿ91. 38ÿ40. 51ÿ2. 3 dense Ottawa standard sand shear box tests x dense sand 24ÿ5. 33ÿ4 elongation 20. 66ÿ8 drained axial compression 100ÿ3 drained shear tests xi. 34. Northern Idaho 7. 54ÿ5 drained shearing 61ÿ2 drained triaxial test 81ÿ3. 123 geotechnical centrifuge developments 124 geotechnical plastic design 121ÿ3 hydraulic-fill 34ÿ5. 104 failure at 43ÿ5 foreword vii. 33ÿ4 electrostatic charge 20. 27. 40. 13. 28. 36. 121ÿ3 Dartford Creek 115ÿ16 deflections 89ÿ91 dense clay strengths xiii. 78 original Cam Clay 96. 33ÿ4 electromagnetism 18. 25 density 36. 69 embankments 12ÿ13. 80 elastic deflection 90ÿ1 elastic energy 94ÿ5 correction 94ÿ5 dissipation 30ÿ1. 121. 97 dilatancy/dilation Casagrande’s liquefaction 40 foreword viii Hazen’s liquefied soil 32ÿ5 Hvorslev’s shear box data 61 limiting stress states 77ÿ8. 69 elasticÿplastic behaviour 51ÿ2. plastic analysis 112ÿ14 deviator stress 69ÿ71. 34. viii Hvorslev’s clay strength data 55ÿ7 OCC yield locus 103ÿ5 preface xii Skempton’s pore pressure 81ÿ2 elastic bending energy 18 elastic bulk modulus 69ÿ71 elastic compression 52ÿ3. 124 crushing 89ÿ91 crystalline packing 110 CS see critical states cyclic dilation 33ÿ4 cyclic loading vi. 24 effective overburden pressure 119ÿ20 effective pressure 22. 74. 53 elastic properties CS 69ÿ71 elastic shear modulus 69ÿ71 elastic shear strain 69ÿ71 elastic solids Coulomb’s law 20ÿ1 soil behaviour maps 4 elastic state points 97 elastic stiffness 3. 26.136 DISTURBED SOIL ANALYSIS AND GEOTECHNICAL DESIGN critical void ratio viii. 53. Missouri river 34ÿ5. 71. 20. 94ÿ5 elastic loading 99 elastic modulus 20. 39. 20. 40. 106 damage mode 91ÿ4 dams brittle embankment dams 121ÿ3 Calaveras Dam 34. 86ÿ7 electricity 18. 69 design. 78. 52. 31. 121. 83 Drucker’s stability criterion 91ÿ4. 105ÿ6 Rankine’s soil mechanics 78 displacement mechanisms 117ÿ19 distortion 65ÿ8. 79ÿ80 elastic strain vectors 92 elastic stressÿstrain behaviour CS 69ÿ71 elastic structural analysis 112ÿ13 elastic swelling 39ÿ40. 44ÿ5 Franklins Falls Dam 38.

xii. 106 peak strength viii. 122ÿ3. xi. 9. 44ÿ5 fortress walls 12ÿ15 foundation systems 124 four plane stress 67. 126 coefficient 30 Coulomb’s Essay 15ÿ18 Coulomb’s law 20ÿ1 energy dissipation 29ÿ32 foreword viii frictional power dissipation 105 geotechnical plastic design 126. 62. 49 FE see finite element Feynman’s 1963 lectures 33 fibre stress 88ÿ91 financing centrifuge developments 124ÿ5 finite element (FE) analysis 122 First International Conference on Soil Mechanics 1936 115 fixity 124 flexibility 8 flocs 20 flood control/barriers 38. 45. Atlanta x geotechnical centrifuge 114ÿ19 developments 123ÿ5 modelling 117ÿ19. M. 59. 127 Hvorslev’s clay strength data 55ÿ7. 123 Hydroproject 116 incipient slip limiting states 3ÿ4 . 123ÿ5 Herrick’s liquefaction 117ÿ23 original Cam Clay 110ÿ11 Ge´otechnique Volumes 1 and 2 60ÿ1 glacis embankments 12ÿ13. 111. 59 shear box tests xi surfaces 58ÿ64. 17ÿ18. 26ÿ9. 20 erosion. 45 effective overburden pressure 119ÿ20 frontispiece ii Herrick’s liquefaction 41. 41ÿ3. 123 friction asperity theory xii. xi. 63 Hvorslev’s shear box data 60ÿ1 interlocking soil strength 27ÿ8 internal friction xii. 126 soil behaviour maps 3 Vauban’s fortress walls 14 Frigg field 120ÿ1 frontispiece ii gas 120ÿ1 genius. 115ÿ16 fluidized beds 35 foreword viiÿix Fort Peck Dam. 13 Gothic Perpendicular styles 9 gouge materials 7. 121. 128 geotechnical plastic design 112ÿ28 centrifuge 114ÿ17. 117ÿ23 horizontal shear force 28 Hvorslev. 59 hydraulic failure 43ÿ5 hydraulic-fill dams 34ÿ5. 3. definition xii Georgia Institute of Technology. xiii Rankine’s soil mechanics 77ÿ8 sliding friction xii. 61ÿ2 Hazen’s liquefaction Casagrande’s explanation 35ÿ40. 63ÿ4. 34. 77ÿ8 masonry 10ÿ11 original Cam Clay 111 power dissipation 105 preface x. 37. 128 testing ix. clay strength data 50ÿ8 data 58ÿ64.INDEX 137 Empire State Building (ESB) 112ÿ13 energy dissipation Coulomb’s law 20ÿ1 friction 29ÿ32 masonry stone skeletons 113ÿ14 original Cam Clay model 105 Reynold’s dilatancy 33ÿ5 soil behaviour maps 7 equilibrium limiting static equilibrium 86 masonry 8. Missouri river 34ÿ5. 67 Franklin Falls Dam 38. 11 shear box data 58ÿ64. 117ÿ19 fall cone tests 47ÿ8. 57ÿ8 grain aggregate 25ÿ9 grain contact forces 4 grain sizes 32 Granta Gravel 109 Haefeli. J. river 118ÿ20 ESB see Empire State Building escarpment walls 12 ether 33 factor of safety 97 failure mechanisms 43ÿ5. xiii. 58. 45 levees 118 Reynold’s dilatancy 32ÿ5 heat equations 75ÿ6 heat transfer 17 Herrick’s liquefaction ii 5. 57ÿ8. R. 58.

78ÿ87 . 126ÿ7 internal friction xii. xiii soil strength 22ÿ9 Taylor’s interlocking xiii. 10. 20. China flow slides 43 London Clay 27. 20. John 17 levees 115ÿ16. Yu. 41ÿ3. 8 laboratory centrifuge modelling 128 laboratory testing 110ÿ11 lateral earth pressure 14ÿ15. 33ÿ4 Malushitsky. 118ÿ20 limiting bending moments 88ÿ91 limiting states 3ÿ4 limiting static equilibrium 86 limiting stress states critical states 65ÿ87 Rankine’s soil mechanics 72ÿ8 Skempton’s pore pressure parameters 78ÿ87 soil stiffness 65ÿ72 soil strength 65ÿ72 strain circles 65ÿ72 strength 65ÿ72 linear elastic bending 88ÿ91 liquefaction see also Hazen’s liquefaction Californian earthquakes 42 Casagrande’s critical void ratio viii Casagrande’s explanation xiii. 3. 93ÿ4 loess. 123ÿ4 earthquakes 116 failure at low effective stress 43ÿ5 frontispiece ii geotechnical plastic design 117ÿ23 Herrick’s liquefaction ii 5. xi. 27. 113 King’s College Chapel. 37. 20 King’s College Chapel. 72. 106ÿ10 modelling of models 115 modified models 105. 8. 42ÿ3. xiii. 124ÿ5 International Society of Soil Mechanics and Geotechnical Engineering (ISSMGE) xii isotropic elastic continuum 69ÿ71 Istanbul ISSMGE Special Lecture vii. 110ÿ11 MohrÿCoulomb strength xiiÿxiii. 63ÿ4. 77ÿ8 internal plastic work viii International Society of Soil Mechanics and Foundation Engineering (ISSMFE) Conference 116. 78. 10. xii jack-up spud fixity 124 junction growth theory 18 kaolin clay triaxial tests 106ÿ10 kaolin paste 47ÿ8. 115 leaks 122ÿ3 length changes 33ÿ4 Leslie. 106ÿ10 Kiev Projekt Institute 116ÿ17 kinematically admissible mechanisms 93. 116ÿ17 mapping MohrÿCoulomb failure criterion 73ÿ4. 100ÿ5 Lorentz’ contraction 33ÿ4 Los Angeles Division of Water And Power 121ÿ3 Lower Mississippi Valley 118ÿ19. 8 stone skeletons 113ÿ14 Vauban’s fortress walls 12ÿ15 mean normal pressure 29ÿ30 metal density 69 mild steel 88ÿ91. 74 masonry Coulomb’s Essay 7ÿ12. 11 equilibrium 8. N. 20ÿ9. 45. 112ÿ13 military service 18 Mississippi River 118ÿ19. 117ÿ23 preface xiii soil behaviour maps 5 liquefied soil 32ÿ5 liquid limit 4ÿ5 liquidity index 5 loading planes 84 loading vectors 90ÿ1. 57ÿ8. 73ÿ4. 35ÿ40.138 DISTURBED SOIL ANALYSIS AND GEOTECHNICAL DESIGN interlocking Coulomb’s law 20ÿ1 critical states 22ÿ45 failure at low effective stress 44 geotechnical plastic design 126ÿ7 Hazen’s liquefied soil 32ÿ5 liquefaction 22ÿ45 masonry 10 preface x. xii. 106ÿ10 MohrÿCoulomb equation x MohrÿCoulomb failure criterion 63. Cambridge 7ÿ9. 119 levee tests 118 mixed-damage mechanisms 89ÿ91 model modification 105. Cambridge 7ÿ9. 45. 73ÿ4. 9. 49 kaolin triaxial tests 95ÿ6. 119 Lower San Fernando Dam 121 magnetism 18.

108 Skempton’s pore pressure parameters 86ÿ7 soil classification and strength 52ÿ3. definition 4 plastic analysis 112ÿ14 plastic compression frontispiece ii Hvorslev’s clay strength data 62 original Cam Clay 99. 49 permeability 44 Philosophical Transactions of the Royal Society 75ÿ6 piston movement 22. 52 plastic work viii plastic yielding 99 plasticity associated flow rule 91ÿ4 critical states 71ÿ2 foreword viii limiting stress states 71ÿ2 original Cam Clay 88ÿ111 soil classification and strength 46ÿ50 steel frame structures 88ÿ91 plasticity index 5. 23ÿ4. 24. 66ÿ8. 60ÿ1 peak stress circles 72 penetration depths 47ÿ8. 66ÿ7 plastic. 53. slip plane properties 6ÿ7 test data 105ÿ10 Tripos examination questions 100ÿ5 yield locus 96ÿ105 over consolidated clay 79ÿ80. 98 plastic strain 51ÿ2. 62 plastic design analysis 112ÿ14 foreword vii geotechnical centrifuge 114ÿ17 geotechnical centrifuge developments 123ÿ5 steel frame structures 88ÿ91 theory 112ÿ28 plastic distortion 98 plastic flow 92ÿ4 plastic hardening 109 plastic hinges 58. 80 plastic swelling 51ÿ2. 24. 85 soil behaviour maps. 81 paste strength 47ÿ8 peak strength Coulomb’s Essay 11 Coulomb’s law 21 foreword viii Hvorslev’s clay strength data 56ÿ8. 48. 80. 106ÿ7 plate loading tests 115 point bar sand deposits 120 Pokrovsky’s centrifuge 114ÿ15 pole of planes 75ÿ6 pore pressure Casagrande’s liquefaction 36. 57. 56ÿ8. 84. 67ÿ8. 38ÿ40 foreword viii . 88ÿ91 plastic limit 4ÿ5 plastic moments 88ÿ91. 78. 57 Hvorslev’s shear box data 60ÿ1 interlocking soil strength 23ÿ9 preface x. 67 normalized peak strengths 56ÿ7. 124 Norwegian Frigg field 120ÿ1 Norwegian quick clay 43 notation xivÿxvi nuclear weapons 116 OCC see original Cam Clay oedometers 51 offshore platforms 120ÿ1. 52. xi. 106ÿ10 plasticity 88ÿ111 preface xiÿxii Skempton’s pore pressure parameters 79ÿ80. 81ÿ2 planar sliding vii plane stress 30ÿ1. 90ÿ4. 97 plastic strength 3. 124 oil 120ÿ1 On an Inversion of Ideas as to the Structure of the Universe 32 original Cam Clay (OCC) associated flow rule 92ÿ4 critical states 71ÿ2 critical states concepts 127 Drucker’s stability criterion 92ÿ4 foreword vii. 31. xii soil classification and strength 53ÿ4. viiiÿix geotechnical design 110ÿ11 laboratory testing 110ÿ11 limiting stress states 71ÿ2 model modification 105. 82 North London 63 North Sea bed 120ÿ1. 57 normally consolidated clay 79ÿ80.INDEX 139 NC normal compression lines 83 New Orleans 119ÿ20 nomenclature xivÿxvi normal compression lines 83 normal stress 22.

81 stress 61. 98. 69. 13 Randolph. 51. 97. 73. viiÿix Rankine Lecture 96ÿ7. 28ÿ9 distortion xii. 127 PPT see pore pressure transducers preface xÿxiii pressure Casagrande’s liquefaction 38ÿ40. 23ÿ9. 65 Skempton’s pore pressure parameters 78ÿ87 sliding friction xii. critical states 85 simple shear apparatus 58. W. 23. 94ÿ6. 54ÿ5. 31 sand flow 120ÿ1 sand pressure-density relationship 38ÿ40. 119 rock flour and kaolin clay triaxial tests 106ÿ10 Roman numerals 9ÿ10 Roscoe. 60ÿ2. 77 preface x. 111. 51. Senate House. 24 lateral pressure 14ÿ15. 105. geotechnical centrifuge 124 sensitivity viii shear box tests clay strength 51ÿ2. 71 fortress walls 12ÿ15 frontispiece ii Hvorslev’s clay strength data 51. 90 power dissipation function 93. 66ÿ8. 126 slip Rankine’s soil mechanics 73ÿ4. 69. 52. 52. 40. 77ÿ8 spherical asperities 16 slip planes Coulomb’s Essay 15ÿ19 Coulomb’s law 7ÿ12. 36. Cambridge University 32 reservoirs 121ÿ3 retaining wall stability 63 Reynold’s dilatancy 32ÿ5 rigid body displacement 65ÿ8. 59 interlocking soil strength 22ÿ4. 81ÿ2 displacement 22. 69. 43ÿ5 failure at low effective stress 43ÿ5 frictional dissipation of energy 29ÿ30 interlocking soil strength 22. time-glasses 30ÿ1. K. 67. M aggregate of grains 108ÿ9 limiting stress viii soil mechanics 72ÿ8 stress states 76 recompression lines 86ÿ7 Rede Lecture. 39 saturated cylindrical soil slow tests 72 saturated soil ii 54 scalar-invariant parameters 70ÿ1 scaled boundary condition 63ÿ4 scaling laws 114ÿ15 sea loess 43 sediment analysis 32 seepage pressure gradient 44 segments. 70ÿ1 shear-loading hangers 54ÿ5 shearing vii. 39 effective pressure 22. 115 Rankine’s soil mechanics 74ÿ5 Reynold’s dilatancy 35 quick sand 36 rampart protection 12ÿ13. 58ÿ64. 52. 40. 70ÿ1 Shenandoah lands 1 simple shear 68ÿ9. 60ÿ2 work dissipation 95ÿ6 Royal Society 75ÿ6 rubber sheaths 72 rupture planes 11 sally ports 13 San Fernando earthquake 121 sand. xii soil behaviour maps 1ÿ4. 10. 70ÿ1 interlocking soil strength 22ÿ9 strength 55ÿ7. Charles 1ÿ3 limiting stress states 77ÿ8. 58. 58. 51. 61ÿ3 Hvorslev’s shear box data 60ÿ1 . 8. xi. 56. 67ÿ8. 66 river banks 118ÿ19. 123 Rankine.140 DISTURBED SOIL ANALYSIS AND GEOTECHNICAL DESIGN pore pressure (continued) geotechnical centrifuge developments 123 Reynold’s dilatancy 35 Skempton’s parameters 78ÿ87 pore pressure transducers (PPT) 116 portal frame plasticity 88ÿ91. 61ÿ2. 54ÿ5. H. 6 Casagrande’s liquefaction 38ÿ40 deformation 80. 11. 26. J. Professor Mark F. 58ÿ64. 68 simple shear apparatus (SSA) 58. 20. 19ÿ21 critical states 65ÿ8. 59 boxes Coulomb. 54ÿ5 geotechnical plastic design 127 Hvorslev’s data 51ÿ2. 24ÿ9 soil classification and strength 51ÿ2. 55.

98ÿ100 Skempton’s pore pressure parameters 78ÿ87 steel frame structure plastic design 88ÿ91 vector components 65ÿ8. 113 steady state CS flows 6 steel frame structures 88ÿ91. 67 normal stress 22. 23ÿ4. 67 deviator stress 69ÿ71. Northern Idaho 7. 71. OCC model 106 interlocking x. 67ÿ8. 11. data. 86ÿ7 plastic 51ÿ2. 104 concentrations 113ÿ14 Coulomb’s Essay 11 critical states 65ÿ87. xiii. 71 masonry in Coulomb’s Essay 7ÿ12. D. 8. 20ÿ9. 77 circles 65ÿ72 critical states 65ÿ72 limiting stress states 65ÿ72 strength critical states 65ÿ72 limiting stress states 65ÿ72 original Cam Clay 111 Skempton’s pore pressure parameters 79ÿ80 soil classification 46ÿ64 stress see also effective stress bomb shelters 88ÿ91 circles 74ÿ5. 32. 88ÿ91 tensors 68ÿ9. 70ÿ1. 52. 26. 56 elastic 39ÿ40. 77. 11 original Cam Clay 105. 73 Terzaghi. 39. 108 preface xii. 11. 104. 66ÿ8 Vauban’s fortress walls 12ÿ15 slope angles 20ÿ1 slope at repose 10. 58. 78 soil behaviour maps 1ÿ7 soil classification and strength 46ÿ64 Atterberg 48 Casagrande’s soil classification 46ÿ50 critical states 50ÿ64. 59 Hvorslev’s clay strength data 50ÿ8 Hvorslev’s shear box data 58ÿ64. 10. 59 plasticity 46ÿ50 soil planar sliding vii soil properties. 97 distribution 112ÿ13 Drucker’s stability criterion 92ÿ4 ellipses 78 interlocking soil strength 22. xi stiffness 65ÿ72. 109 . 23 Technical Committees (TCs) 124ÿ5 Tennessee Valley Authority 118 tension 11ÿ12. 79ÿ80 Stockholm ISSMFE conference 124ÿ5 storm wave heights 121 strain boundary conditions xÿxi.INDEX 141 interlocking soil strength 26ÿ9 limiting stress states 65ÿ8. 20. J. 24. 81ÿ2 fundamental error xi geotechnical centrifuge 115 geotechnical plastic design 115. 50. 33 Thompson’s creep data 108ÿ9. xi. 24 limiting stress states 65ÿ87. 74. J. 23ÿ4. 24. xii. 81ÿ2 test data. 74. original Cam Clay 105ÿ7 Teton Dam. 78. 52 SSA see simple shear apparatus stability Casagrande’s liquefaction 36ÿ40 Drucker’s stability criterion 91ÿ4 Hvorslev’s clay strength data 63 Rankine’s soil mechanics 75ÿ6 soil classification and strength 53ÿ4 static earth pressure 76ÿ7 static equilibrium 9. 10. 78. 121ÿ3 Thompson. 51ÿ2. 77ÿ8. 86 static loads 93 statically admissible stress fields 92ÿ3. 70ÿ1 spring picture 52. xiii properties 1ÿ21 soil behaviour maps 1ÿ7 stress vector components 65ÿ8. 66ÿ8. 127ÿ8 Hvorslev’s tests 50ÿ8 MohrÿCoulomb error xi piston movement 22. 126ÿ7 sand data 22ÿ4. 58. 67 North Sea bed 121 obliquity ii 6. K. cohesive strength viii effective stress principle xii. 66ÿ8. 74ÿ5. 107ÿ10 OCC model modifications 107ÿ10 paths 102ÿ5 ratio 28ÿ9. 75ÿ6. 52 Taylor. W. Coulomb’s Essay 15ÿ19 Soviet engineers 116 spalling ii 71 specific volume 5. 29ÿ30 spherical asperities 16 spherical stress 69. 73 swaying 89ÿ91 swelling 55ÿ7. 112ÿ13 stiff clay x.

81. 70ÿ1. 52 Young’s Modulus 20. 91 Drucker’s stability criterion 92ÿ3 geotechnical centrifuge developments 125 OCC model modifications 108. George 1 water frictional dissipation of energy 32 Hvorslev’s clay strength data 55 Waterways Experimental Station (WES) 118. 103ÿ5 undrained triaxial test 81ÿ3. 63 truly triaxial stress components 70. 31 torsion balance 18. 126ÿ8 true friction x. 95. 69 zero cohesion 3. 85 wood fibre brushes 30ÿ1. M. 98. 106ÿ7. 94ÿ6. 106ÿ10 Skempton’s pore pressure parameters 78ÿ87 soil behaviour maps 4. 127 yield locus 99ÿ100 Tripos examination questions 100ÿ5 true cohesion xi. 95 yield locus 98 work-hardening metals 51ÿ2. 4 Thurairajah’s power dissipation 95ÿ6. 105. 55ÿ7. 25 Skempton’s pore pressure parameters 86ÿ7 work-hardening metals 51ÿ2. 4. 108 Thurairajah’s power dissipation function 94. D. 24. 70ÿ1. 79ÿ80. xii. 68 Triaxial Shear Research and Pressure Distribution Studies on Soils 79 triaxial tests critical states 65. 125 wave equations 76 Weald Clay tests 80. 82. 83. 19 zero effective stress 42. 121 volume changes 22. 57ÿ8. 127 time-glasses 30ÿ1. 45 . 55ÿ7. 4 stresses 4. Marshall 12ÿ15 vector components 65ÿ8. xii. 63 Hvorslev’s shear box data 59ÿ60 interlocking soil strength 24ÿ5. 83 Upon Julia’s Clothes 41 USACE Waterways Experimental Station 118. 72 loading planes 84 original Cam Clay 99ÿ100. 113ÿ14 interlocking soil strength 24 original Cam Clay 98. 109ÿ10 original Cam Clay 96ÿ105 steel frame structure plastic design 90ÿ1 yield paths 102ÿ5 yielding Hvorslev’s clay strength data 62. 21. 66ÿ8. 70ÿ1. 20 transient deformation elastic bending energy 18 triaxial compression 68ÿ9. 72 frictional dissipation of energy 29 limiting stress states 65. 70 UK Building Research Station 115ÿ16 UMIST 115ÿ16 undrained axial compression 100ÿ1. 86ÿ7 volume strain 69ÿ71 vortex effect 33ÿ4 wall stability 63 Washington. 79ÿ83. 6 strains 4. 123 Vauban. 85 wedge of least resistance 77ÿ8 WES see Waterways Experimental Station wet side of critical ii 71ÿ2 wet sieving 32 Winer Tegel V 59ÿ60 Wood. 52 World Trade Center towers 113 World War II bomb shelters 88ÿ91 yield locus associated flow rule 91ÿ4. 21. 94. xiii. 92. 73 viscosity 52ÿ3 void ratio viii. 29ÿ30. 31 work dissipation 88ÿ91. 34.142 DISTURBED SOIL ANALYSIS AND GEOTECHNICAL DESIGN thrust lines 8 Thurairajah’s power dissipation function 93. 80.