Yield states and stress-strain relationships in a natural plastic clay

J . GRAHAM
Uiziversily of Manitoba, Winnipeg, Man., Canada R3T 4B3

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M. L. NOONAN
Prairie Farm Rehabilitation Administration, Regina, Sask., Canada S4P OR5
AND

K . V . LEW
I . D . Engineering Company, Winnipeg, Man., Canada R3T 4M5
Received August 10, 1982
Accepted April 18, 1983
Natural clays are commonly anisotropic due to their mode of deposition, and lightly overconsolidated because of a variety of
subsequent geological processes. They exhibit marked changes in stiffness when they yield. Yield stresses from individual tests
can be generalized into a yield surface for the clay if displacements during loading are taken into account by calculating specific
volumes V = (1 e ) throughout the tests.
This paper describes tests on 76 mm diameter triaxial samples of natural plastic Lake Agassiz clay from Winnipeg. The
samples were carefully trimmed, reconsolidated to approximately their in-situ stresses, and loaded in stress controlled tests along
various stress paths in p f , q stress space.
The tests produced well-defined yield envelopes in pl,q; p ' , V ; and q , V plots, and in corresponding plots where the stresses
were normalized with respect to the vertical preconsolidation pressure a,,'. Comparison of one-dimensional yielding states with
results from KO-triaxial tests that were continued to large strains suggests that the clay is cemented. At stresses inside the yield
surface, the clay exhibits substantially linear elastic behaviour which is transversely isotropic. Values of bulk modulus, shear
modulus, and a cross modulus which can be used to link mean effective pressures with shear strains, and deviator stresses with
volumetric strains, have been evaluated in normalized form using a least-squares solution. The directions of plastic strain
increment vectors after yielding have been examined. Consideration of the results suggests that they are not normal to the yield
surface, and are influenced by systematic effects. Plastic compliances vary markedly with stress path direction.
Keywords: clay, yield, critical state, anisotropic elasticity, associated flow, plasticity.

Les argiles naturelles sont gCnCralement anisotropes par suite de leur mode de dCposition, et ICgtrement surconsolidCes 6 cause
de divers processus gCologiques. Elles montrent un changement marquC de dCformabilitC au passage 1'Ctat limite. Les
contraintes a 1'Ctat limite d'essais individuels peuvent &tregCnCralisCes en une surface d'Ctat limite si les dCplacements en cours
de chargement sont pris en compte en calculant les volumes spCcifiques V = (1 + e ) durant les essais.
L'article dCcrit des essais sur Cchantillons triaxiaux de 76 mm de diamttre d'une argile plastique du lac Agassiz de Winnipeg.
Les Cchantillons intacts ont CtC reconsolidCs aux contraintes en place et soumis des essais contraintes contrBlCes suivant divers
chemins de contraintes dans I'espace p',q.
Les essais ont donne des enveloppes d'btat limite bien dCfinies dans les graphiques p',q; p', V et q,V ainsi que dans les m h e s
graphiques avec les contraintes normalisCes par rapport la pression de prCconsolidation verticale a,.,'. La comparaison des Ctats
limites unidimensionnels avec les rCsultats d'essais triaxiaux KO poursuivis i grandes dCformations suggtre que l'argile est
cimentCe. Sous des contraintes I'intCrieur de 1'Ctat limite, l'argile prksente un comportement essentiellement Clastiqhe linCaire
isotropie transversale. Les valeurs du module volumCtrique, du module de cisaillement et d'un module reliant les contraintes
effectives moyennes aux dCformations de cisaillement ou les contraintes de cisaillement aux deformations volumiques, ont CtC
CvaluCes sous forme normalisCe par une solution aux moindres carrCs. Les directions des vecteurs d'accroissement des
dCformations plastiques au dela d e 1'Ctat limite sont examinCes. L'analyse des rCsultats suggtre qu'ils ne sont pas normaux B la
surface d'Ctat limite et qu'ils sont affect& par des effets systCmatiques. Les dCformatio'ns plastiques varient beaucoup selon la
direction du chemin des contraintes.
Mots-clis: argile, Ctat limite, Ctat critique, ClasticitC anisotrope, Ccoulement associC, plasticit6.
[Traduit par la revue]

Can. Geotech. .I.

20, 502-516 (1983)

Introduction
~~~~~~i~~has recently been directed to the yielding
of
soft 'lays (for
by Crooks and
~ r a h a m1976; ~ a v e n a and
s Leroueil 1977; and Baracos
et al. 1980). A yield envelope is a locus of stress states
which separates "elastic" pre-yield behaviour from
"plastic" post-yield behaviour. It includes, as a special

case, the preconsolidation pressure' o,,' in one-dimensional consolidation. When compared with relatively

he preconsolidation pressure is a vertical principal stress,

most often represented by p,'. T o avoid confusion with the
mean effective principal stress p1 = (a,' + 2a3')/3in triaxial
tests, preconsolidation pressures have here been represented
by a,,'. The notation is summarized in the Appendix.

503

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GRAHAM ET AL.

stiff, small-strain pre-yield behaviour, stress increments

after yielding produce larger strains, larger porewater
pressures (along certain stress paths), slower porewater
pressure dissipation, and faster creep rates. Yield
envelopes are not unique for a given preconsolidation
pressure, but depend on testing rate or test duration
(Tavenas and Leroueil 1977; Graham et al. 1983). The
concept of yielding has proved useful in understanding
soft clay behaviour beneath embankments and slopes
(Kenney and Folkes 1979; Wroth and Houlsby 1980;
Tavenas and Leroueil 1981; Crooks 1981). It is commonly
appreciated that while remoulded samples permit a
clearer understanding of many aspects of clay behaviour
under controlled conditions. other features such as
anisotropy, cementation, and aging are best studied from
carefully handled natural clays in which disturbance has
been minimized.
In field applications it is important to evaluate not
only yield stresses, but also the corresponding displacements. Studies of yield stresses in the laboratory should
therefore also examine displacements and strains. This is
most conveniently done in terms of changes in moisture
content w, voids ratio e, or specific volume V = (1 e),
the volume occupied by unit volume of solids. Yielding
"states" are here defined by the mean effective stress
p' = ( a , ' 2u3')/3, deviator stress q = ( a , ' - u3'),
and specific volume V = (1 + e) when the sample is
identified as yielding by the use of criteria which will be
reviewed later.
In an examination of thrproperties of plastic Lake
Agassiz clay from Winnipeg, Baracos et al. (1980)
presented preliminary evidence of yielding and identified
several aspects of behaviour where further work was
required. These tests have now been completed (Noonan
1980; Lew 1981). This paper deals with the constitutive
relationships for Winnipeg clay at stresses before
yielding is reached, the determination of yielding states
for different depths and preconsolidation pressures in
the deposit, and the direction and magnitude of plastic
straining which accompanies post-yield stress increments.

TABLE1 . Soil classification data, Winnipeg

Moisture content (%)
Liquid limit (%)
Plasticity index (%)
Undrained shear strength, s, (kPa)
Sensitivity
Compression index, C,
Clay fraction (%)
Normally consolidated 6' (deg)
Dominant mineralogy

54-63
65-85
35-60
50-75
3-4
0.6-1.1
70-80
17.5
Smectite

The testing program has been carried out on blue clay

from 6 to 12 m depth. Accompanying classification tests
have confirmed the general borehole log information
given in an earlier paper by Baracos et al. (1980). It is
sufficient here to summarize the principal classification
data for the soil (Table 1).
One-dimensional oedometer and KO-triaxialtest results
shown in Fig. 1 have clarified the variation of preconsolidation pressure with depth. Triaxial testing was
done on 76 mm diam. specimens that were carefully
trimmed from block samples. They were first reconsolidated anisotropically to axial stresses corresponding
to their effective overburden pressures a,,', assuming
an average groundwater level position at -3 m (Baracos
~ ' . and
et al. 1980), and lateral stresses 0 . 6 5 ~ ~Vertical
horizontal strains during reconsolidation averaged 2.07
and 0.37% respectively. Yielding behaviour was then
explored by loading (stress probing) along a variety of

E F F E C T I V E VERTICAL STRESS
200
400
I

(km)
60 0
I

Soil properties and testing procedures

Extensive deposits of laminated plastic freshwater
clays were deposited in Lake Agassiz in northwestern
Ontario, Manitoba, and Saskatchewan as the ice cover
retreated northwards (Teller and Fenton 1980; Quigley
1980). Samples for this test series were taken from the
/
University of Manitoba campus in Winnipeg, where
I
~Preconsolidotion
Pressure ub,
typically (Baracos et al. 1980) 2 m of mixed topsoil,
silty clay, and silt overlie (i) 3 m of stiff, laminated,
extensively fissured, brown, plastic clay (CH), (ii)
Oedometer
KO-Triaxiol
0
0
Authors
8-10 m of medium-stiff to stiff, lightly fissured, blue,
Tminor (1982) $
plastic clay (CH) containing silt partings and numerous
inclusions of silt-sized dolomite, pebbles, and occasional
cobbles, (iii) sandy gravelly basal till with irregular
FIG. 1. Variation of vertical preconsolidation pressure a,,'
waterlaid tills, and (iv) Ordovician dolomitic limestone. with depth, University of Manitoba, Winnipeg.

CAN. GEOTECH. J . VOL. 20, 1983

T312
T314
WINNIPEG

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10

v (PERCENT)

15

(PERCENT)

10

LSSV ( k P a )

FIG.2. Yielding and bilinear behaviour in plots of ( a ) mean effective pressure p' vs. volume strain u , (b) deviator stress q vs.
shear strain E , and (c) absorbed energylunit volume vs. length of stress vector.

stress paths in p r , q stress space. Most drained tests were

stress controlled and had approximately four stress
increments between the reconsolidation stresses and
yielding. To minimize the influence of testing procedures
on determination of the yield envelope, particular efforts
were taken to ensure equal stress increments, straight
stress paths, and 1-day load durations. In a separate series
of tests, the effects of time on compressibility behaviour
were investigated by varying the load increment duration.
These have been reported separately by Graham et al.
(1983). Strain-controlled undrained triaxial compression tests were also performed.
It is not possible-here to provide complete stressstrain records of the 28 tests which form the basis of this
paper. The data has been tabulated by Noonan (1980)
and by Lew (1981), and can be made available by the
senior author on request.

Stress-strain behaviour of natural clays

Tests on remoulded clays and normally consolidated
natural clays emphasize the nonlinearity of clay behaviour.
However, most naturally occurring soft clays are lightly
overconsolidated due to a variety of processes such as
erosional off-loading, groundwater level changes, cementation, porewater chemistry changes, delayed compression, desiccation, and freeze-thaw effects. Field

tests reported by Hoeg et al. (1969) and Wood (1980)

have shown that these clays are often stiffer and more
linear in behaviour than is commonly assumed. This is
supported by laboratory tests on a wide variety of natural
clays in which careful efforts have been taken to
preserve the in-situ arrangements of their particle
structures (for example, Mitchell 1970; Crooks and
Graham 1976; Tavenas and Leroueil 1977).
Graham et nl. (1982) showed that if test results are
examined using suitable stress-strain parameters, then
linear behaviour can be observed over a significant range
of pressures from the reconsolidation stresses towards
yielding. Figure 2 shows typical results from Winnipeg
clay in terms of the tendency to change volume (pl,v
curves in Fig. 2a), to distort or change shape ( q , curves
~
in Fig. 2b), and to absorb energy W during straining
(W,LSSV curves in Fig. 2c). In the last case the energy
absorbed per unit volume by the sample during stressing
is given by
where u is the average value of the effective stress in a
loading increment, SEis the correponding strain increment,
and LSSV represents the length of the stress vector as the
sample moves towards yield. This plot uses two scalar
quantities to provide a yield criterion which is independent

505

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GRAHAM ET AL.

+ RECONSOLIDATION STRESS

+-- YIELD

STRESS

WINNIPEG T312

E,(

"/,

LSSV ( k pa)

FIG.3. Yielding identified from various stress-strain criteria.

of stress probe direction (Crooks and Graham 1976;

Tavenas et al. 1979). Linear behaviour is less clearly
observed in stress-controlled tests along stress paths
where A q / A p l is large. This is due to two interrelated
effects. In these tests, time dependency or strain rate
effects become marked (Graham et al. 1983) as the
increased shear stresses cause samples to accelerate
towards failure. This may be associated with the
quasi-stable nature of undrained strengths in the overconsolidated range of stresses. As the strain rates
increase, it is no longer possible for drainage times to
remain in equilibrium with the applied stresses.
The evidence for pre-yield linearity comes largely
from monotonically increasing stress systems such as
the test results reported here. Evidence of reversibility is
less strong, although some information is available from
cyclic loading tests (Pappin and Brown 1980). Thus the
bulk and shear moduli interpreted from stress-strain
plots such as those shown in Fig. 2 are best thought of as
pseudo-elastic parameters (Graham and Houlsby 1983).
An initial range of elastic behaviour is a central feature
of the critical state family of constitutive relationships
(Schofield and Wroth 1968; Roscoe and Burland 1968;
Wroth and Houlsby 1980).

Figure 2 also shows that in common with some other

lightly overconsolidated clays the post-yield behaviour
of Winnipeg clay after a transition section is linear over a
measurable range of stresses. Compared with the preyield behaviour, larger nonreversible plastic strains are
experienced that are markedly stress-path dependent.
Linear post-yield behaviour causes some conceptual
difficulties. It might be expected that the soil should
exhibit the exponential behaviour that is observed as
straight lines in semilogarithmic plots of oedometer and
critical state results (Roscoe and Burland 1968). However, the evidence for post-yield linearity over a limited
range of stresses comes from a wide variety of lightly
overconsolidated or cemented clays . Further references
are given by Mitchell (1970), Crooks and Graham
(1976), and Graham et al. (1982). In the Winnipeg
samples, the post-yield behaviour became exponential
at stresses just after the last data points shown in Fig. 2.
The combination of pre-yield and post-yield linearity
permits bilinear plotting techniques for identifying yield
stresses (Graham et al. 1982). In the tests reported here,
yield stresses have been interpreted from a variety of
stress-strain relationships such as those shown in Fig. 3.
These come from a sample that was anisotropically loaded

506

CAN. GEOTECH. J. VOL. 20, 1983

Yield states
The test series consisted of 28 samples having four
different preconsolidation pressures. Yield stresses were
Mean effective
identified using the techniques described in Fig. 3 and
pressure p'
2. Critical state failure conditions were determined
Table
Criterion
at yield (kPa)
from undrained triaxial compression tests consolidated
to IT,' > IT,,', and from stress controlled drained tests
u I fVS. 1
143
that
yielded just before failure. Specific volumes V =
144
(uI- u3)VS.E
(1 + e) were calculated from initial moisture contents
p' vs. u
142
plus volume changes during reconsolidation and stress
u3'VS. 3
149
W vs. LSSV
143
probing.
r he results of these tests are shown in Figs. 4 and 5. In
Fig. 4 the results are plotted dimensionally in kPa. The
in such a way that lateral strains were close to the KO critical state line (slope M = 0.668) in this figure is
condition. The stresses and energies at yield from these equivalent to
= 17.5 deg from the q,,,
failure
graphs were then converted to a common stress variable criterion. (The clay is smectitic and highly plastic.) Four
(usually p ' ) for comparison purposes (Table 2). A separate yield envelopes have been drawn for the four
significant level of agreement was usually obtained, and different preconsolidation pressures measured in the
average values were used for defining the yield envelope tests. The difference in the shape of these yield envelopes
in pl,q,V space.
compared with those reported earlier by Baracos et al.

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TABLE2. Yield stresses from different

yield criteria, T3 12

+'

SPECIFIC VOLUME

CONSOLIDATION
NCL

FIG. 4 . Yielding states in dimensional stress space: (a) p' vs. q, (b) p' vs. V, ( c ) q vs. V.

507

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GRAHAM ET AL.

SPECIFIC VOLUME V

FIG.5 . Yielding states in nondimensional stress space: ( a ) p' /u,,' vs. q/u,,', ( 6 ) p 1 / c V c 'vs.

(1980) is largely due to the different ordinate scales

which have been used. If compared on the basis of
similar scales, the shapes are broadly similar (Noonan
1980). Results are also shown for the corresponding
p', V and q , V relationships for each preconsolidation
pressure. (The lack of data points below the M line for
uVc1
= 241 kPa in Fig. 4 a is discussed in a later paragraph.) It is clear that the yield envelopes increase in size
in terms of stresses and decrease in terms of specific
volumes as the preconsolidation pressures increase.
There are clear geometric simiIarities in the shapes of the
p', V and q , V relationships. The Winnipeg results in Fig.
4 have about the same test duration from the end of
reconsolidation to yield.
Undrained shear strengths in lightly overconsolidated
clays can be normalized with respect to the previous
highest consolidation stress that samples have experienced,
that is s,/uVc1= constant (Graham 1979; Larsson 1980).
In a more generalized way, yield envelopes can be
normalized to a single locus (or perhaps to a limited
range of loci depending on straining rates (Graham et al.

v, ( c ) q ' l c , , , ' vs.

V.

1983)) if the yield stresses are divided by some typical

stress representing the stress history of the samples. This
is commonly done using one-dimensional preconsolidation pressures (Graham 1974; Bell 1977; Lew 1981), but
other re~resentativestress Darameters such as the isotropic yield stress or the mean effective pressure p' at
critical state are possible alternatives. Figure 5 shows
results for Winnipeg clay normalized using a,,'. In this
case, (i) the four yield envelopes in Fig. 4 reduce in Fig. 5
to a single well-defined envelope in p ' / u V c 1 ,q)uVc1
space; (ii) the p ' / u V c 1 V
, and q / u V c 1V, relationships are
of constant size and ~arallel:and (iii) the critical state
line becomes a series' of closely spaced points. (In the
critical state model, the failure line reduces to a unique
point in normalized stress space.)
Because of the geometric relationships in Figs. 4 and
5 , it is possible to draw lines corresponding to onedimensional consolidation, isotropic consolidation, and
critical state, even though the data is limited. Similarly
although the data for any one of the yield or specific
volume curves in Figs. 4 and 5 may appear ill>

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508

CAN. GEOTECH. J . VOL. 20, 1983

conditioned, the consequences of normalization, parallelism, and geometric similarity mean that the diagrams
can be prepared with some confidence.
The curved yield lines in p' V and q , V space represent
the limit of pre-yield elastic behaviour for this natural
clay for different preconsolidation pressures. They are
similar in principle, but somewhat different in detail, to
the straight elastic walls in V, log p' space in the
Cam-clay models (Roscoe and Burland 1968; Schofield
and Wroth 1968).
Baracos et al. (1980) identified a three-section failure
envelope for low, intermediate, and high pressure
ranges. Improved data from strain controlled CAU tests
in the present series suggest a value of +' = 17.5"
(M = 0.668) in the normally consolidated, high stress
range (Figs. 4 and 5). This is rather smaller than the value
of 20.5" reported earlier by Baracos et al. (1980) on the
basis of a limited number of tests on 76 mm diam.
samples with pf' in the range 150-280 kPa. It agrees
with the value reported by Trainor (1982) from tests to
pf' = 600 kPa on 38 mm diam. samples. There is some
evidence that the failure envelope in smectitic clay may
be curved.
The upper parts of the yield envelopes in Figs. 4 and 5
correspond to the intermediate strength range envelope
in the earlier work, but have now been clarified in terms
of their respective preconsolidation stresses. The end-oftest results from overconsolidated samples in the intermediate range (Lefebvre 1981) lie close to the critical
state lines in Figs. 4 a and 50. However, when these
results are examined in Fig. 4 in terms of the average
specific volume V of the sample, they lie significantly
below the critical state line. This has also been observed
in tests on overconsolidated remoulded clays, and is due
to the nonuniformity of straining that occurs when
failure planes develop in overconsolidated samples. In
the low stress range, the results lie rather lower than
those shown earlier by Baracos et al. (1980), and are
below the locus of the no-tension line q = AqlAp' = 3.
Further tests to examine low stress strengths have
recently been completed.
The critical state, one-dimensional consolidation, and
isotropic consolidation results shown in Figs. 4 and 5 can
also be plotted in V, log p' space (Fig. 6). Critical state
values in the normally consolidated stress range define a
straight line with slope A = 0.305. The intercept r of
the critical state line at p' = 1 kPa is 3.993. Despite the
limited data, it is possible in Fig. 6 to draw lines parallel
to the critical state line, and relate them to the isotropic
and one-dimensional yields in Figs. 4 and 5. Average
reload curves can also be interpolated between the
reconsolidation states and one-dimensional yield states.
The mean slope of these lines is K = 0.078.
It is of interest to compare the one-dimensional
normal consolidation line (NCL) obtained only from the

P' ( k Po) (LOG SCALE)

261

40
1

60
$

80
100
l i l

200
I

300
I

400
I

6
I

K - 0 078

= 3 993

(MzO.668)

RECONSOLIOATION STATES
I - D CONSOLIDATION
ISOTROPIC CONSOLIDATION
CRITICAL STATE L I N E :
DRAINED STRESS CONTROLLED
UNDRAINED STRAIN CONTROLLED

FIG.6. Isotropic NCL, one-dimensional NCL, and critical

state line in V, log p' space drived from individual yield points.

preconsolidation yield stresses shown in Fig. 6 with

complete test results from KO-consolidatedsamples that
were stressed well past a,,'. This is shown in Fig. 7,
which plots log (axial stress a l l ) throughout four
different tests against specific volumes V. In Fig. 6, the
one-dimensional NCL has slope A = 0.305, and is
plotted in terms of mean effective pressure p'. This line
can be transformed to an equivalent line in terms of a , '
in Fig. 7 using the value of KO= 0.64 which was
determined in the testing program. The slope C, of this
line is 0.70 = 2.303A. It is normally expected that once
yielding has occurred, further straining will take place in
AXIAL

STRESS

U, IkPo)

,POST-YIELD
/

C,

(LOG SCALE)

COMPRESSION

108

I - D N C L FROM FIG 6

064.

S L O P E Cy

= 0 305)
0 70

'\

FIG. 7. Comparison of one-dimensional (I-D) normally

consolidated line from complete test program, with post-yield
compression of KO-consolidated triaxial samples.

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GRAHAM ET AL

Arctan ( h q / ~ p ' ) ( ~ e g r e e s )

3 = A r c t a n ( A ~ / A < ) ( D e g r e e s )

FIG.8. Variation of normalized equivalent bulk and shear moduli with stress path direction in triaxial tests.

the pl,q,V yield surface. However, the samples shown in the soil. The clay is therefore anisotropic. This is not
in Fig. 7 become highly compressible after a,,' is surprising since it was deposited in a proglacial lake
reached. The average value of compression index in the (Teller and Fenton 1980) and has a well-developed
immediate post-yield region is C, = 1.08. After further laminar structure (Baracos 1977). Although Fig. 8
straining, the V , log p' curve becomes less steep, and shows clearly that the material is anisotropic, the
approaches the slope C, at specific volumes lower than physical meaning of bulk and shear moduli varying with
those associated with the one-dimension NCL in Fig. 6. stress path direction is unclear.
Five parameters are needed to describe cross-anisoThus, once yielding has occurred, the particle structure
compresses and post-yield states lie inside the yield tropic, or transverse isotropic, elasticity (Raymond
surface in p' ,q, V space. This suggests that the Winnipeg 1970; Gibson 1974). In triaxial tests, the lateral pressures
are uniform, and this reduces the number of elastic
clay is cemented.
parameters which can be interpreted from these tests to
Pre-yield anisotropic elasticity
three. Graham and Houlsby (1983) have shown that the
The pre-yield linear behaviour shown in Figs. 2 and 3 3 X 3 direct stiffness matrix for triaxial tests in a
permits evaluation of pseudo-elastic equivalent bulk and transversely isotropic soil can be approximated by
shearmoduli, Keqand Geq,from graphs of p' vs. u and q multiplying the rows and columns of an equivalent
vs. E for each sample. The stiffness of lightly over- isotro ic stiffness matrix by a coefficient a = (Eh/
consolidated clays is related to preconsolidation pressure. E,) 0.2'. Houlsby (198 1) showed that the 3 X 3 matrix can
For example, in these clays the ratio E l s , can be used to be rewritten as follows so that three elastic parameters
express stiffnesses under direct compressive stresses, can be determined from measured relationship between
and s,/uVct is approximately constant when the over- p', q , u , and E:
consolidation ratio is less than 2.5-3.0 (Graham 1979;
Larsson 1980). Thus an isotropic but nonhomogeneous
lightly overconsolidated deposit can be expected to have
constant values of Keq/uVc1and Ge,/uVct. In the
Winnipeg samples, however, these parameters are not In these equations, K* and G* relate volume and
constant (Fig. 8), but depend on the stress path direction, shear strains to mean principal effective stress changes
here defined by 0 = arctan ( A q / A p t ) . It should be and deviator stress changes respectively. The parameter
remembered that the stress probes commenced from J describes the crosslinking of volume strains to shear
stresses crVo1,Kouvo',modelling the in-situ stress state stress, and shear strains to mean principal effective

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5 10

CAN. GEOTECH. J. VOL. 20, 1983

np/clc

P
cbc
I

FIG.9. Porewater pressure generation in overconsolidated CKoU tests.

stress in anisotropic soil. The parameters K*, G*, and J comparable moduli K*, G*, and J are then given by the
are constant for a given preconsolidation pressure. The relationships
introduction of a = (E~/E,)'.' as an assumption into
K* = C 3 / ( C 1C3 - C22)
the stiffness matrix makes it possible to estimate the [5] G*=C1/(C1C3-C22)
more familiar parameters E,, Eh, v,h, vhh,and Gvh for
J = -C2/(C1C3 - C2')
general problems in transverse isotropic soils (Graham
Graham and Houlsby (1983) show that the normalized
and Houlsby 1983).
The test program for determining the yield envelopes moduli for Winnipeg clay are K"/oVc1= 14.5, G*/avcl
shown in Figs. 4 and 5 involved 28 separate tests, each = 8.5, and J / u v c r = -5.5. The ratio of horizontal to
of which provided information about the anisotropic vertical stiffness a2 = E h / E v = 1.8, which agrees well
relationships between mean principal effective stress, with values from different test procedures by Loh and
deviator stress, volumetric strain, and shear strain. The Holt (1974) for brown Winnipeg clay from shallower
tests therefore provide redundant information for evaluating depth. The clay is therefore intermediate between the
the three parameters K*,G*, and J in [ 2 ] .Graham and isotropic behaviour assumed in Boussinesq analyses and
Houlsby (1983) propose a least-squares solution which the infinite horizontal stiffness assumed in Westergaard
analyses. The higher horizontal stiffnesses are confirmed
minimizes the "random errors" e given by
by the micrographs presented by Baracos (1977) which
show highly compressible smectites in clay layers
separated by densely packed layers of uniform silt.
The purpose of this work is to improve the ability to
where
predict strains and porewater pressures that result from
stress changes in anisotropic clay. Linear anisotropic
behaviour in Winnipeg clay is observed in the development of porewater pressures in undrained triaxial tests
represent the differences between measured and calculated on samples with a l c l<avc' (Fig. 9). The pre-yield
volumetric and shear strains. The compliances C , , C2, behaviour in these tests can be approximated by a linear
and C3 are directly related to the moduli G*, K*, and J , relationship Au = mAp, with an average value of
and may be found from the redundant equations by m = 1.44 +- 0.05. Isotropic clay in the elastic range
setting the partial differentials of the error e with respect would give m = 1.00 in Fig. 9 , that is Au = Ap
to each of C1, C,, and C3in turn to zero. The values of the (Sp' = 0). The measured value of m greater than unity

51 1

GRAHAM ET AL.

MEAN PRINCIPAL STRESS p'

S H E A R STRESS q

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SLOPE K
SLOPE 3 G

(b)
DIAGRAMMATIC

FIG.10. Diagrammatic relationships between total, elastic, and plastic strain increments.

again indicates anisotropy and is compatible with the increments can be calculated frcm unique measured
higher lateral direct stiffnesses calculated from [2] and bulk and shear moduli
[5]. Baracos et al. (1980) showed that the ratio 6u/6eI is [7] 6ue = 6pr/K; See = 6q/3G
smaller than 3.0 in isotropically consolidated tests. This
is also evidence of transverse isotropy in the clay However, the Winnipeg clay is not isotropic (Figs. 8 and
structure. In a more general sense, Graham and Houlsby 9) and the relationships in [7] are not useful. Instead, a
(1983) have shown that the anisotropic model using semigraphic procedure has been used. Figures 10a and
G*K* and J moduli gave better prediction of volume l o b respectively show diagrammatic pl,u and q,e plots
and shear strains in triaxial tests than the simpler for a typical, but well-conditioned sample which illustrates
isotropic model using only G and K moduli. The the technique clearly. The initial, transitional, and
application of the technique to more general boundary secondary sections observed in real samples have in
value problems awaits development.
each case been approximated by bilinear curve fitting
(Graham et al. 1982). For a standardized resultant stress
Plastic strain increments
change of 0. la,,', corresponding values of 6pr and 6q
An important feature of most continuum mechanics can be evaluated for the chosen stress path. Resulting
analyses for post-yield straining is that the direction of values of 6uP and 6eP can then be found from the
nonrecoverable strain increment vectors should depend ordinate differences between the post-yield lines and the
on the absolute stress level at yielding, and not on the extrapolated pre-yield lines.
incremental stress change. Post-yield straining comThe technique of projecting pre-yield elastic behaviour
prises an elastic recoverable component, and a plastic into the post-yield plastic region is common in metal
plasticity, and appears to be valid, in principle, for clay
nonrecoverable component.
soils. However, this clay appears cemented (Fig. 7), and
the technique needs careful consideration. The clay has
If plastic strains are to be examined, the elastic strains low sensitivity, and does not easily become "destruch in
60" and 6ee associated with post-yield stress increments tured." Recent work has shown that the ~ / ratio
must be subtracted from the measured total strains. In remoulded one-dimensional consolidated Winnipeg clay
isotropic soils, the elastic volume and shear strain is 0.23-0.37 compared with the figure of 0.26 inferred

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CAN. GEOTECH. J. VOL. 20, 1983

FIG. 11. Normalized yield envelope and plastic strain increment directions

from Figs. 6 and 7 . This implies that there is no large

difference in elastic stiffness of this clay before and just
after yielding occurs.

( a ) Directions of plastic straining

The "associated flow rule" or "normality rule" postulates
that irrespective of the stress increment vector which
takes the sample beyond yield, the corresponding plastic
strain increment vector should be normal to the yield
surface. This assumption is essential to the validity of
the limit or bound theorems (see, for example, Calladine
1969) which provide the framework for most soil
mechanics analyses, and it is incorporated in critical
state predictive models (Schofield and Wroth 1968;
Wroth and Houlsby 1980).
It is common to examine normality by aligning the
6uP and p' axes and the 6eP and q axes rspectively, and
then plotting plastic strain increments Sup and 6eP as a
strain vector from the corresponding yield stress. Thus
the yield envelope and plastic strain increments can be
examined together. If normality is observed, then the
yield envelope becomes a plastic potential for the soil
(Roscoe and Burland 1968). When experimental evidence is reviewed, however, most soils appear not to
conform precisely to the associated flow rule (for
example, Wong and Mitchell 1975).
Figure 1 1 shows plastic strain increment vectors from
the Winnipeg results plotted at the data points for the
normalized yield envelope. Although the results indicate
some scatter, several tests which yielded at about the
same normalized stress have similar plastic strain

increment directions. Figure 1 1 suggests that the deviation from normality in this clay may not be large.
This is further examined in Fig. 12a. Here the
deviation angle between the plastic strain increment
vector and the normal to the yield envelope is plotted
against the direction 0 of the stress probe, where
0-= arctan ( A q / A p l ) ,the direction of the stress probe
originating from the in-situ stress state. Thus, 0 becomes
essentially a measure of where the stress probe intersects
the yield- envelope. No systematic attempt has been
made in these tests to investigate how the plastic strain
increment vector varies with direction of the stress
increment vector at a single point on the yield surface.
Normality corresponds to zero deviation, and clockwise deviations are considered positive. Because of the
scatter in the yield stresses in Fig. 11, some care must be
taken in determining the "normal" directions. Two
methods can be usedy~nthe first, lines perpendicular to
the neighbouring yield envelope are used. In the second,
the scatter is considered due to small variations in u,,,'
. .
Lines are therefore drawn from zero stress through the
yield stresses to intersect the yield envelope, and the
normal is taken at this latter point. The two methods
produce broadly similar resulis. Figure 12a has been
prepared using the second method.
The average deviation of the test data shown in Fig.
12a is - 1 .OO.At first sight, this might be considered
insignificantly small. However, close examination suggests evidence of systematic behaviour which refutes
this conclusion. To the right of the critical state line
(CSL) in Fig. 11 where the yielding is normally stable
u

CAN. GEOTECH. J . VOL. 20, 1983

2E
+lUa-

2'dm
&

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5:
w w g;

",E
'

f?

- 2 I0

d
2 y-20Z+ZZ

,(

-40

0
0

-20

20

40

100

a m a w

2 0- - 4 0 - ~ 6 ~ - 8 0

oI

AVERAGE DEVIATION FRCM

NORMALITY = - 1.0 DEGREES-

~6:"
W -Zz0

(a)

60

80

120
I

140
I

160

STRESS PROBE VECTOR

DIRECTION
a
(ARCTAN A q / ~ p ' ) DEGREES-

100

120

e =ARCTAN

140

160

180

(aq/ap')

FIG.12. ( a )Deviation of plastic strain increment directions from normality. ( b )Distribution of plastic compliances around the
normalized yield envelope.

(-40" < 0 < 40), the average deviation is negative

(counter-clockwise). In the metastable region to the left
of the CSL (40" < 0 < 160"), however, the average
deviation is positive (or counter-clockwise). These latter
tests are stress controlled, and accelerate towards
rupture. Since volume changes cannot keep pace with
high axial strain rates, a transition takes place into
unmeasurable partially undrained behaviour. Thus the
measurements of Sv are too large since steep stress paths
cause dilation in this clay, and shear strains SE = (SE,
- Su/3) are too small. This moves the measured strain
increment vectors systematically counter-clockwise,
and reduces the average deviation below the value
shown in Fig. 12. On the basis of these tests, one must
conclude that the normality rule is not obeyed by this
clay.
(b) Magnitudes of plastic straining
The magnitudes of plastic straining are shown in Fig.
12b. The plastic compliances CP in Fig. 12b have been
calculated from a measure of the plastic strain increments

+ EP~)'.~which accompany post-yield stress increments of 0. lu,,'. Since compliances are the inverse of
stiffnesses, normalization requires multiplication (not
division) by u,,' to take acount of different preconsolidation pressures in the samples. The results appear
systematic, with an acceptable scatter. The figure shows
small plastic strains accompanying yielding in the stable
region below the KO-consolidationline (0 = 26"). As the
stress paths become steeper, the strains and compliances
increase rapidly and approach infinity (zero stiffness,
fully plastic) when yielding coincides with the vector
direction to the critical state line in Fig. 11. For larger 0
values, with yield stresses at the overconsolidated
strength surface, finite plastic strain increments could be
estimated for most samples, despite stress controlled
samples accelerating towards rupture and strain controlled
samples strain-softening down to the critical state line
(CSL) at large strains. That is, the plastic compliances
were finite along the top part of the overconsolidated
strength envelope in the intermediate stress range. These
results can also be expressed in terms of normalized
(up2

5 14

CAN. GEOTECH. J. VOL. 20. 1983

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plastic hardening moduli which, for example, would

reduce to zero at the CSL. The compliances in Fig. 12b
have been preferred, however, because they illustrate
the dominant influence of the CSL on plastic strain increment magnitudes.

Discussion
Marked features of these tests have been the significant
range of stresses over which linear quasi-elastic behaviour
is observed, and the changes in stiffness that result when
the samples yield (Figs. 2 and 3). Particular care was
taken during sampling and trimming to minimize disturbance. Normal test procedures, for example in
oedometer tests, allow access to water at low stresses,
and swelling is often observed in samples of Winnipeg
clay. Swelling modifies the interparticle mechanical
structure of this clay and results, for example, in curved
e , log a,' relationships. In contrast, the tests reported
here applied sufficiently large stresses during the early
part of the test that swelling was inhibited. Subsequent
straining was more linear, and yielding more clearly
defined (Noonan 1980; Lew 198 1).
The unexpectedly abrupt yields that have been observed
in this natural plastic clay are probably due to cementation. Figure 7 showed that once the samples had yielded
in one-dimensional compression, they decreased in
volume at a rate faster than that associated simply with
the pressure, specific volume relationships shown in
Fig. 6 for the yield surface in the natural soil. That is, the
post-yield C, value is larger than the value of compression index C, determined from the one-dimensional
NCL of slope A. Thus, even along KO stress paths, the
particle structure is metastable. It must therefore be held
in this configuration by a strength component which is
independent of effective stress. Baracos et al. (1980)
reported an effective cohesion c' = 3 kPa in their tests,
and a variety of +' values have been reported in the
literature for this clay. Detailed studies using strain
controlled undrained compression tests have shown a
tendency for the slope of the Coulomb-Mohr failure
envelope to decrease to the value of 4' = 17.5" reported
here as the consolidation stress levels increase. Render
(1970) showed that upwards gradients of gypsum-rich
groundwater have existed in the Winnipeg area since
deposition, and that these have led to the deposition of
cementing agents in the upper part of the profile due to
evaporation and desiccation cracking. This observation
is supported by the marked decrease of measured values
of u,,' with depth shown in Fig. 1.
The pl,V and q,V relationships in Figs. 4 and 5
correspond to the reload or K lines in the critical state
model. They represent the traces of yield envelopes for
different preconsolidation pressures in the yield surface.
Their "hooked" shape at higher values of p' in Fig. 4
(p'/crvc' in Fig. 5 ) reflects the shape of the yield
envelope in p l , q space where p' increases to the right

above pi,,' as q increases, before moving left to define

the remainder of the yield envelope. It was noted earlier
that the elastic wall traces in Figs. 4 and 5 were parallel
in p', V and q , V spaces. From Fig. 6 they should be
separated by
where a',, and a',, (,, represent the preconsolidation
pressures from neighbouring yield envelopes. On this
basis, the separations SV between successive lines
should be 0.071, 0.077, and 0.062 respectively. This
agrees favourably with the separations shown in Figs. 4
and 5 . The shapes of the yield envelopes and elastic
walls differ in detail from those proposed in the critical
state model, but agree well in principle. The critical state
line intersects the yield envelope to the right of and
below its highest point. No obvious lines of symmetry,
for example q = 0 or .r) = 3(1 - K O ) / ( l+ 2K,), are
apparent in p',q stress space (Figs. 4 and 5 ) .
The stiffnesses K*/uVc1and G*/uvc' found in this
study appear to be rather low compared with the review
reported by Wroth et al. (1979). This is supported by the
high values of K and K / X shown in Fig. 6. It might be
argued that the low stiffnesses indicate disturbance.
However, the substantial linear pre-yield behaviour
which has been observed and the sharpness of the yield
curves in Figs. 2 and 3 suggest that this is not so. It is
thought that the high pre-yield compressibilities result
from the smectites in the clay-rich layers (Baracos
1977).
Further work is needed to develop suitable methods of
describing the variation of behaviour such as the
directions of plastic straining and plastic compliances at
different points on the yield envelope. This has been done
in Fig. 12 in terms of the stress probe direction
0 = arctan ( A q / A p l )from the reconsolidation stresses
to the yield point. This has the advantage in the present
study of using the same parameter 0 to define the stress
probe direction for both pre-yield and post-yield straining.
However, in many testing programs, in-situ stresses are
difficult to determine (Baracos et al. 1980). Changes in
the starting position of the stress probe inside the yield
envelope do not significantly affect the measured conditions at yield, and afterwards in post-yield straining.
However, they do affect the parameter 0 . Polar diagrams
starting from p' = 0 or pi,,' on the p' axis do not appear
generally suitable for describing yield envelopes in all
clays. Attention should be given to techniques for
describing yield envelopes using intrinsic coordinates
consisting of chord length and direction starting from
pis,' (D. M. Wood, personal communication).

Conclusions
Tests on Lake Agassiz clay from Winnipeg have
shown a significant range of quasi-elastic behaviour
before yielding. The elasticity is transversely isotropic,

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GRAHAM ET AL.

515

GIBSON,
R. E. 1974. The analytical method in soil mechanics.
GCotechnique, 24, pp. 115-140.
GRAHAM,
J. 1969. Results of direct shear, oedometer and
triaxial tests from Mastemyr. Internal Report F.372-3,
Norwegian Geotechnical Institute.
1974. Laboratory testing of sensitive clay from
Lyndhurst. Ontario. Civil Engineering Research Report
CE74-2, Royal Military College of Canada, Kingston, Ont.
1979. Embankment stability on anisotropic soft clays.
Canadian Geotechnical Journal, 16, pp. 295-308.
GRAHAM,
J., and HOULSBY,G. T. H. 1983. Anisotropic
elasticity of a natural clay. GCotechnique, 33, pp. 165- 180.
GRAHAM,
J., PINKNEY,
R. B., LEW,K. V., TRAINOR, OR, P.
G. S. 1982. On curve-fitting and laboratory data. Canadian
Geotechnical Journal, 19, pp. 20 1-205.
GRAHAM,
J., CROOKS,
J. H. A,, and BELL,A. L. 1983. Time
effects on the stress-strain behaviour of natural soft clays.
GCotechnique, 33, in press.
HOEG,K., ANDERSLAND,
0. B., and ROLFSEN,
E. N. 1969.
Undrained behaviour of quick clay under load tests at
Asrum. GCotechnique, 19, pp. 101-1 15.
HOULSBY,
G. T. 1981. A study of plasticity theories and their
applicability to soils. Ph.D. Thesis, Cambridge University,
Cambridge, England.
KENNEY,
C., and FOLKES,D. J . 1979. Mechanical properties
of soft soils. State-of-the-art Report, 32nd Canadian Geotechnical Conference, Quebec P.Q., Sept. 1979.
LARSSON,R. 1980. Undrained shear strength in stability
calculation of embankments and soft clays. Canadian
Geotechnical Journal, 17, pp. 591-602.
Acknowledgements
LEFEBVRE,
G. 1981. Strength and slope stability in Canadian
The laboratory program was supported by Grant
soft clay deposits. Canadian Geotechnical Journal, 18, pp.
A3712 from the Natural Science and Engineering
420-442.
Research Council, Canada. Additional tests were per- LEW, K. V. 1981. Yielding criteria and limit state in a
formed by V. C . S. Au, E. C. C . Li, P. G . S . Trainor,
Winnipeg clay. M.Sc. Thesis, University of Manitoba,
and N. Piamsalee. Much of the interpretation of results
Winnipeg, Man.
was done by the senior author (J.G.) at Oxford Univer- LOH,A. K., and HOLT,R. T. 1974. Directional variation in
undrained shear strength and fabric of Winnipeg upper
sity, England, with support from the Science and
brown clay. Canadian GeotechnicalJournal, 11, pp. 430-437.
Engineering Research Council, U. K. C . P. Wroth,
G. C. Sills, G. T. Houlsby, and D. M . Wood have given MITCHELL,R. J. 1970. On the yielding and mechanical
strength of Leda clay. Canadian Geotechnical Journal, 7,
welcome encouragement and advice.
pp. 297-312.
M. L. 1980. Limit state studies in Winnipeg clays.
BARACOS,
A. 1977. Compositional and structural anisotropy NOONAN,
M.Sc. Thesis, University of Manitoba, Winnipeg, Man.
of Winnipeg soils - a study based on scanning electron
J. W., and BROWN,S. F. 1980. Resilient stress-strain
microscopy and X-ray diffraction analysis. Canadian Geo- PAPPIN,
behaviour of a crushed rock. Proceedings International
technical Journal, 14, pp. 125- 143.
Symposium on Soils under Cyclic and Transient Loading,
BARACOS,
A., GRAHAM,
J., and DOMASCHUK,
L. 1980.
Swansea, Wales, pp. 169- 177.
Yielding and rupture of a lacustrine clay. Canadian GeoQUIGLEY,R. M. 1980. Geology, mineralogy and geotechnical Journal, 17, pp. 559-573.
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BELL,A. L. 1977. A geotechnical investigation of post-glacial
problems. Canadian Geotechnical Journal, 17, pp. 261-285.
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RAYMOND,
G. P. 1970. Discussion on Stresses and displaceThesis, Queen's University, Belfast, N. Ireland.
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C. R. 1969. Engineering plasticity. Pergamon
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K. H., and BURLAND,
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J. 1976. Geotechnical
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26, pp. 293-315.

and can b e defined by normalized parameters K:k/uvc'

= 14.5, G k / o v c ' = 8 . 5 , and J/uVcf
= -5.5. By comparing the slope C, = 0 . 7 0 = 2 . 3 0 3 1 from the yielding
of samples from different depths with the compression
index C, = 1.08 from one-dimensional triaxial consolidation to post-yield stresses, it may b e concluded that
the material is cemented. These conclusions regarding
anisotropy and cementation in Winnipeg clay conform
with previous studies by electron microscopy and
geohydrology .
Samples with different preconsolidation pressures
have produced a well-defined normalized yield envelope
in p ' / u v c ' , q / u v c ' space. Yield states have been examined using the specific volume V of the samples. The
"elastic wall" traces of these yield envelopes in p' ,V and
q , V space are geometrically similar for different preconsolidation pressures, and parallel. Their separation
can be related to the slope A of the critical state lines in
V,ln p' space.
The average direction of plastic strain increments is
approximately perpendicular to the normalized yield
envelope. However, systematic effects have been observed
along some stress paths which suggest that the average
deviation from normality is counter-clockwise. The
magnitudes of plastic straining vary markedly with
stress path direction.

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516

CAN. GEOTECH. 1. VOL. 20, 1983

SCHOFIELD,
A. N., and WROTH,C. P. 1968. Critical state soil C 1, C Z , C3
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TAVENAS,
F., and LEROUEIL,
S. 1977. The effect of stresses C S L
and time on yielding of clays. Proceedings 9th International e
Conference Soil Mechanics and Foundation Engineering,
Eh, E,
Tokyo, 1, pp. 319-326.
1981. Creep and failure in slopes in clays. Canadian
z
Geotechnical Journal, 18, pp. 106- 120.
K,,,
G,,
TAVENAS,
F., DESROSIERS,
J.-P., LEROUEIL,
S., LAROCHELLE,
P., and ROY,M. 1979. The use of strain energy as a yield and
creep criterion for lightly overconsolidated clays. Gto- K*, G*, J
technique, 29, pp. 285-304.
TELLER,J. T., and FENTON,M. M. 1980. Late Wisconsinan N C L
glacial stratigraphy and history of southeastern Manitoba.
P'
Canadian Journal of Earth Sciences, 17, pp. 19-35.
TRAINOR,P. G. S. 1982. An investigation and review of 4
oedometer and triaxial tests on Winnipeg clays. M.Sc. SU
u
Thesis, University of Manitoba, Winnipeg, Man.
u
WOOD, D. M. 1980. Yielding of soft clays at Backebol,
V
Sweden. Gkotechnique, 30, pp. 49-65.
WONG,P. K . K., and MITCHELL,R. J. 1975. Yielding and (Y
plastic flow of sensitive cemented clay. Gkotechnique, 25,
pp. 763-782.
6
WROTH,C. P., and HOULSBY,
G. T. 1980. A critical state 1 , 3
model for predicting the behaviour of clays. Proceedings of rl
the Workshop on Limit Equilibrium, Plasticity and Generalised 0
Stress-Straining in Geotechnical Engineering, McGill UniverA, K
sity, Montreal, P.Q., May 1980, pp. 592-627.
WROTH,C. P., RANDOLPH,
M. F., HOULSBY,
G. T., and
FAHEY,M. 1979. A review of the engineering properties of u
soils with particular reference to the shear modulus. Internal M
Report CUEDID-soils TR75, Engineering Department,
Cambridge University, Cambridge, England.
Superscripts
', tot, e , p

Appendix: notation

C,

C,

anisotropic elastic compliances [4]

stress path dependent plastic compliance
critical state line
voids ratio, error
horizontal, vertical Young's modulus in
transversely isotropic material
serial counter
bulk and shear moduli dependent o n stress
path direction
bulk, shear, and cross moduli for transversely isotropic soil
normal consolidation line
mean effective pressure = ( u l l 2 u 3 ' ) / 3
deviator stress = ( u l l- u 3 ' )
undrained shear strength
porewater pressure
volumetric strain
specific volume = ( 1 e )
anisotropy factor = ( E h / ~ v ) 0 . 5
intercept of critical state line at p' = 1 kPa
shear strain = 2 ( ~-, e 3 ) / 3
major, minor principal strains
stress ratio q / p l
stress path direction arctan ( A q / A p r )
slopes of normal, reload lines in V, In p'
space
direct stress
slope of CSL in p l , q space = 6 sin +'/
( 3 - sin +')

effective, total, elastic, plastic

Subscripts

compression indices from (a) KO-consoli- vo, vc, iso

dation, ( b ) limit state surface

vertical overburden, vertical preconsolidation, isotropic