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CIVL 6079
Slope Engineering

Lecture 2: Theory of soil

strength
Clarence E. Choi 蔡灝暉
Email: [email protected]
Web: www.cechoi.org

Lecture outline
Date Topic Lecturer
3 Sept. 20 Introduction and landslide classification Choi
10 Sept. 20 Theory of shear strength Choi

17 Sept. 20 Landslide trigger and mechanisms Choi

24 Sept. 20 Slope stability analysis Cheuk
1 Oct. 20 National day (holiday) -
8 Oct. 20 Slope stabilization Cheuk
15 Oct. 20 Stabilisation of loose fill slopes Cheuk
(make up class during reading week)

22 Oct. 20 Debris mobility assessment Sun

29 Oct. 20 Geotechnical control and slope safety management Sun
5 Nov. 20 Forensic landslide investigations Ho
12 Nov. 20 Quantitative risk assessment Ho
19 Nov. 20 Natural terrain landslide risk management Ho
26 Nov. 20 Design of risk mitigation measures Ho

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Considerations in slope design

(Geotechnical Manual for Slopes, Geotechnical Engineering Office)

Existing maps and

plans

Desk study

Aerial photograph
interpretation
Surface study

Visual examination
Field study and geological
mapping

Site investigation Trial pits and

trenches

Boring and drilling Soil strength

parameters
Subsurface study
Field testing (e.g.
SPT;
Pressuremeter)

Groundwater
(runoff; infiltration;
recharge)

Recap: stress in the ground

𝜎𝑧 = 𝛾𝑧 𝜎z = 𝛾𝑧 + 𝛾w 𝑧w 𝜎z = 𝛾𝑧 + 𝑞

where 𝜎z and 𝜎h are the vertical and horizontal stresses in the soil; 𝛾 is the unit weight of the
soil; 𝛾w is the unit weight of water; z is depth; 𝑧w is the depth of water; q is surcharge

Remember that 𝛾 is the weight of everything (soil grains and water) in unit volume.

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Recap: pore pressure

𝑢 = 𝛾w ℎw
where 𝑢 is the pore pressure, 𝛾w is the unit weight of water; ℎw is the depth of
water in the standpipe

Pore pressure and suctions in the ground

In reality, are
slopes saturated
or unsaturated?

𝑢 = −𝛾w ℎw
where 𝑢 is the pore pressure, 𝛾w is the unit weight of water; ℎw is the depth of
water in the standpipe

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Suctions in saturated soils

𝜋𝑑t2 4𝑇 4𝑇
𝑇𝜋𝑑t = − 𝛾 ℎ −ℎw = −𝑢w = 𝑤
4 w w 𝛾𝑤 𝑑t 𝑑t
𝑢 = 𝛾w ℎw

where 𝑢 is the pore pressure, 𝛾w is the unit weight of water; ℎw is the depth or
height of water in the tube; dt is the diameter of the tube; ds is the diameter of a soil
particle; dv is the diameter of the void

Limiting suctions in saturated soils

4𝑇 𝑑v = (𝑣 − 1)𝑑s 4𝑇
−ℎw = −𝑢w =
𝛾w 𝑑t 4𝑇 (𝑣 − 1)𝑑s
−ℎw =
𝛾w (𝑣 − 1)𝑑s

where 𝑢 is the pore pressure, 𝛾w is the unit weight of water; ℎw is the depth or
height of water in the tube; dt is the diameter of the tube; ds is the diameter of a soil
particle; dv is the diameter of the void; 𝑣 is the specific volume (1+e)

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Stress-strain, stiffness, strength

In Geotechnical
engineering soil
behavior is
governed by pore
water pressures!

• In simple terms the strength of a material is the largest shear stress that the
material can sustain and it is this which governs the stability or collapse of
structures.
• Stiffness and strength are quite different things: one governs displacements at
working load and the other governs the maximum loads that a structure can
sustain.

Saturated soil mechanics is

governed by effective stress
Total stress 𝜎

Air
Voids Water
(e)
Water

Solid

Saturated soil

𝜎 = 𝜎′ + 𝑢
Total Effective Pore water Terzaghi (1943)
stress stress pressure
10

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The effect of water on soil strength

Why do slopes fail?
An incorrect answer: lubrication effect

……then why is a sand castle stronger than a heap of dry sand?

𝑢 = ℎ ∙ 𝛾w

https://www.youtube.com/watch?v=a-
11
6YbkZJ5UY&list=PLm_XdL5VWE_uADbL7Mf2hJVlKkCZWuwP6&index=5

Strength
There are fundamentally two criteria to consider:

The first is called cohesion, and it says that a material will fail when the
Mohr circle of stress touches an envelope given by:

𝜏 ′ = 𝑐′
where 𝑐 ′ is the cohesion

The second is called friction and it says that the material will fail when
the Mohr circle of stress touches the envelope given by:

𝜏 ′ = 𝜎 ′ 𝜇 = 𝜎 ′ tan 𝜙 ′
where 𝜇 is the coefficient of friction and 𝜙 ′ is the angle of friction.

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Mohr-Coulomb criterion
The sum of the cohesion and friction component gives the Mohr-
Coulomb criterion. It says that the material will fail when the Mohr
circle touches a line given by:

𝜏 ′ = 𝑐 ′ + 𝜎 ′ tan 𝜙 ′
The development of the Mohr–Coulomb criterion from Coulomb’s
original research is described by Heyman (1972).

Types of strength

Subscripts a; c; n; r; t; are axial; compressive; normal; radial; and tensile.

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True cohesion
• Involves the breakup of short-range and cementation bonds (up to
500kPa),

Cementing by Fe2O3, CaCO3, NaCl etc.

• Electrostatic and electromagnetic attractions (e.g., stiff OC clay has true

cohesion of 5 to 24 kPa)

• May be lost through weathering

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Apparent cohesion
• Involves capillary stresses due to the surface tension properties of
water

Unsaturated soils
• Water menisci form at grain contacts under negative capillary
pressure.
• The net capillary forces over a unit area is referred to matric suction,
which creates inter-particle forces to be the apparent cohesion.
• May be lost during wetting

Capillary forces in
unsaturated porous media Force of water on grain in
saturated porous media

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Inclination of the plane of failure caused by shear

1 + sin 𝜙 ′
𝜎1′ = 𝑁𝜙 𝜎3′ + 2𝑐 ′ 𝑁𝜙 𝑁𝜙 =
1 − sin 𝜙 ′

Derivation of equation in previous slide

𝑎𝑑
= sin 𝜙 ′
𝑓𝑎
𝜎1′ + 𝜎3′
𝑓𝑎 = 𝑓𝑂 + 𝑂𝑎 = 𝑐 ′ cot 𝜙 +
2
𝜎1′ − 𝜎3′
𝑎𝑑 =
2
𝜎1′ − 𝜎3′
sin 𝜙 ′ = 2
𝜎 ′ + 𝜎3′
𝑐 cot 𝜙 + 1
′ ′
2
Or
1 + sin 𝜙 ′ cos 𝜙 ′
𝜎1′ = 𝜎3′ ′ + 2𝑐 ′
1 − sin 𝜙 1 − sin 𝜙 ′
Please note that:
1 + sin 𝜙 ′ 𝜙′
′ = tan2 45 +
1 − sin 𝜙 2
cos 𝜙 ′ 𝜙′
= tan 45 +
1 − sin 𝜙 ′ 2

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Mohr circles of total and effective stress

t

s
s 3 s 1 s3 s1

u
u
For any point in the soil a total and an effective stress Mohr circle can be drawn.
These are the same size with

s 1  s 3  s 1  s 3
The two circles are displaced horizontally by the pore pressure, u.

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Laboratory test to determine shear

strength parameters: principle features
1. Total stresses and pore pressures must be controlled and measured
separately so effective stresses, which govern soil behaviour, can be
determined.
2. Drainage of water into, or out of, the sample must be controlled so that
tests may be either drained (i.e. constant pore pressure) or undrained
(i.e. constant volume).
3. To investigate soil stiffness, measurements must be made of small
strains, but to investigate soil strength it is necessary to apply large
strains, sometimes greater than 20%.
4. Because soils are essentially frictional it is necessary to apply both
normal and shear stresses. This can be done either by applying
confining pressures to cylindrical or cubic samples or by applying normal
stresses in direct shear tests

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Volume change and drainage

∆𝜎 ′ = ∆𝜎 − ∆𝑢

If the volume of the soil grains remains constant then for saturated soils the change
of volume of the soil ∆𝑉 is the same as the volume of water expelled ∆𝑉𝑤

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Drainage conditions
Drained Undrained

SOIL

Volume change No volume change

No excess pore water pressure Excess pore water pressure is
generated

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Rates of loading and drainage

記⼀記
𝑣 = −𝑘𝑖

where v is the seepage velocity; k is

the permeability of the soil and i is
the hydraulic gradient

𝑢0 = 𝛾𝑤 ℎ𝑤0
𝑢ത = 𝛾𝑤 ℎത
𝛿ℎ𝑤
𝑖=
𝛿𝑠

When distinguishing between drained and undrained loading it is relative rates of

loading and seepage that are important, not the absolute rate of loading.
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Drained and undrained loading

Drained Undrained
slow rate of loading
Total
stress

fast rate of loading

Volume

Pore
pressure

Effective
stress

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Drained strength
1. When soil is loaded slowly enough so that no
excess pore pressures are induced by applied
loads.

2. In the field drained conditions result when loads are

applied slowly to the soil, or where they persist for a
long enough time so that the soil can drain.

3. In the lab, drained conditions are achieved by

loading test specimens slowly so that excess pore
pressure do not develop as the soil is loaded.

Undrained strength
1. The strength of the soil when loaded to failure under
undrained conditions.

2. In the field, un-drained conditions result when loads

are applied to a mass of soil faster than the soil can
drain.

3. In the lab, un-drained conditions are achieved by

loading test specimens so rapidly that they cannot
drain, or by sealing them in impermeable
membranes.

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Total vs. effective stress analysis

• Effective stress analysis (ESA) relates the strength to
the effective normal stress through a friction angle. In
order to use this equation it is necessary to be able to
calculate the effective stress which requires
knowledge of the pore pressure.
• Total stress analysis (TSA), gives the strength
directly as the undrained strength Su and, for a given
water content, this is independent of the total normal
stress. TSA can be used when the soil is undrained
and the voids ratio does not change during
construction. Total stress analyses are used when
saturated soil is undrained.

How about for slopes?

1. For temporary slopes and cuttings in fine grained
soils with low permeability you should choose the
undrained strength Su and do analyses using total
stresses. If you do this, remember that the analysis
is valid only so long as the soil remains undrained
and the stability will deteriorate with time as pore
pressures rise and the soil swells and softens.
2. For a permanent slope the critical conditions are at
the end of swelling when pore pressures have
reached equilibrium with a steady state seepage
flownet or with hydrostatic conditions. In this case
you can calculate the pore pressures, choose the
drained strength ( 𝝓′ ; 𝒄′ ) and do analyses using
effective stresses.

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Stress and pore pressure

changes in a stable slope

• The critical time in the life of a slope can be in the long term when the pore pressures
have come into equilibrium with steady state seepage. Consequently, a permanent slope
should be designed for the long-term, fully drained, condition.
• Temporary slopes that are required to stand for very short periods are often designed as
undrained, but remember that just because a slope or a trench is standing now does not
mean that it will still be stable in 10 minutes time.

Stress and pore pressure

changes in a failing slope

Remember that stress states above

the failure envelops are impossible.
The stress state can only traverse
along the envelop until steady pore
pressures are reached.

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Direct shear test

Direct shear test: key points

• Usually only relatively slow drained tests are performed in
shear box apparatus. For clays rate of shearing must be
chosen to prevent excess pore pressures building up. For
sands and gravels tests can be performed quickly

• Tests on sands and gravels are usually performed dry. Water

does not significantly affect the (drained) strength.

• If there are no excess pore pressures and as the pore

pressure is approximately zero the total and effective
stresses will be identical.

• The failure stresses thus define an effective stress failure

envelope from which the effective (drained) strength
parameters 𝑐 ′ ,𝜙 ′ can be determined.
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Dilation and contraction (drained)

Dense

Shear stress
Dilation

Loose

𝜎′

SOIL 𝜏
𝜏
Volumetric strain

Dense Loose

Dense

Loose

(Knappett and Craig 2012)

Dilation and contraction

Volume increase

Pore water
Dilation pressure
decreases

Volume decrease
Pore water
Contraction pressure
increases

• Dilation: Dense sand

• Contraction: Loose sand

(Knappett and Craig, 2012)

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What are the different types of soil strength?

Critical State Concept (Roscoe et al. 1958)

• “Critical state” is the state where the stress and volume of the soil does not
change under continuous shear deformation.

Critical state
Dense
Shear stress

Dilation

Loose

𝜎′

SOIL 𝜏
𝜏
Volumetric strain

Dense

Loose

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Typical drained shear results

Curve with higher

peak with normal
stress increased.

Although we do not use critical state in design, what are the

advantages of using critical state?
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Direct shear test: advantages

1. Easy and quick test for sands and gravels

2. Large deformations can be achieved by reversing shear

direction. This is useful for determining the residual
strength of a soil

3. Large samples may be tested in large shear boxes.

Small samples may give misleading results due to
imperfections (fractures and fissures) or the lack of them.

4. Samples may be sheared along predetermined planes.

This is useful when the shear strengths along fissures or
other selected planes are required.

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Direct Shear Test: disadvantages

1. Non-uniform deformations and stresses in the specimen. The stress-

strain behaviour cannot be determined. The estimated stresses may not
be those acting on the shear plane.

2. There is no means of estimating pore pressures so effective stresses

cannot be determined from undrained tests

3. Undrained strengths are unreliable because it is impossible to prevent

localised drainage without high shearing rates

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Question 1
A series of direct shear tests has been conducted on a
certain saturated soil. Each test was performed on a 6-
cm diameter, 2.5-cm tall sample. The test has been
performed slowly enough to produce drained conditions.
The results of these tests are as follows:
Test No. Normal Load (N) Shear Load at failure (N)
1 340 227
2 667 490
3 1000 627 .

Determined 𝑐 ′ and 𝜙 ′

40

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Solution to Q1
Solution

 D2   62
A   28.27cm 2  2.827  10 3 m 2
4 4
Based on the area and the measured forces
Direct shear tests
250
Test No. Normal stress Shear stress
200
(kPa) (kPa)

Sehar stress (kPa)

150
1 120.3 80.3 y = 0.6056x + 15.152

2 235.9 173.3 100

3 53.7 221.8 50

0
0 50 100 150 200 250 300 350 400
Normal stress (kPa)

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Additional thoughts on Q1
• The experimental data do not fit a perfect line. This may be
caused by experimental error, minor difference in the three
examples, material nonlinearity and other factors

• The shear area of the sample changes as the direct shear

test progresses, and a more thorough analysis would
account for this change.

• Q-a: How would you expect the shear area change during the direct
shear?
• Q-b: How would this effect manifest in the three tests?
• Q-c: How would you reinterpret the obtained strength parameters
accounting for the above effect?

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Triaxial test

Stress space
Shear Triaxial
𝝈′𝟏 𝑜𝑟 𝝈𝒂 ′

𝜎𝑛′
𝝈𝟑 ′ 𝝈𝟑 ′
SOIL 𝜏𝑛′
SOIL
𝜏𝑛′
𝝈𝟑 ′ 𝝈𝟑 ′ or 𝝈𝒓 ′

Mean normal effective stress:

𝜎1 ′ + 2𝜎3 ′
𝑝′ =
3
a denotes axial stress
Deviator stress: r denotes radial stress
𝑞 = 𝜎1 ′ − 𝜎3 ′ 1 denotes major principal stress
44
3 denotes minor principal stress

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Strains in Triaxial tests

From the measurements of change in height, dh, and change in volume, dV, we
can determine:
𝑑ℎ
Axial strain 𝜀𝑎 = −
ℎ0

𝑑𝑉
Volume strain 𝜀𝑣 = −
𝑉0

where h0 is the initial height and V0 is the initial volume of the specimen

It is assumed that the specimen deform as right circular cylinders. The cross-
sectional area, A, can then be determined from:

1 + 𝑑𝑉Τ𝑉0 1 − 𝜀𝑣
𝐴 = 𝐴0 = 𝐴0
1 + 𝑑ℎΤℎ0 1 − 𝜀𝑎
where 𝐴0 is the initial area of the specimen

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Triaxial tests - Advantages

1. Specimens are subjected to (approximately) uniform
stresses and strains

2. The complete stress-strain-strength behaviour can be

investigated

3. Drained and undrained tests can be performed

4. Pore water pressures can be measured in undrained tests,

allowing effective stresses to be determined

5. Different combinations of cell pressure and axial stress can

be applied

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Three standard types of triaxial tests

1. Consolidated-drained test or
drained test (CD test)
2. Consolidated-undrained test (CU
test)
3. Unconsolidated-undrained test or
undrained test (UU test)

Consolidated-drained test or drained

test (CD test)

• Specimen is subjected to
all around confining
pressure 𝜎3.
Correspondingly, the
pore water pressure of
the specimen increases
by 𝑢𝑐 (no drainage
allowed).
• The B value for saturated
What if q = 𝝈𝟏 − 𝝈𝟑 = 0? soil should be ~ 1

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Consolidated-drained test or drained

test (CD test)

• Pore water pressure developed during the test is completely dissipated

• 𝜎3 = 𝜎3′
• 𝜎3 + ∆𝜎𝑑 𝑓 = 𝜎1 = 𝜎1′

Question 2
A consolidated-drained triaxial test was conducted on a soil without
cohesion. The results are:

σ3 = 140 kN/m3
∆σd f = 104 kN/m3

Determine:
1. ϕ′
2. Angle of failure plane with respect to the major principal plane θ
3. Find the normal stress 𝜎 ′ and the shear stress 𝜏𝑓 on the failure plane
4. Determine the effective normal stress on the plane of maximum shear
stress

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Question 2 - solution
The failure envelope is (𝑐 ′ =0):

𝜏𝑓 = 𝜎 ′ tan 𝜙 ′ + 𝑐 ′

The effective major and minor principal stresses at failure are:

𝜎1′ = 𝜎1 = 𝜎3 + (Δ𝜎𝑑 )𝑓 = 140 + 104 = 244 𝑘𝑁/𝑚2

And
𝜎3′ = 𝜎3 = 140 𝑘𝑁/𝑚2

𝜎1′ − 𝜎3′ 244 − 140

sin 𝜙 ′ = = = 0.333
𝜎1′ + 𝜎3′ 244 + 104

𝜙 ′ = 17.46 °

𝜎1′
Question 2 - solution
𝜃

𝜎3′ 𝜙′
𝜎3′
Shear stress

𝜎1′
2𝜃

O 𝜎3′ = 140 𝑘𝑁/𝑚2 A 𝜎1′ = 244 𝑘𝑁/𝑚2

Normal stress

𝜙′ 17.46°
𝜃 = 45 + = 45° + = 53.73°
2 2

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Question 2 - solution
𝜎1′ +𝜎3′ 𝜎1′ −𝜎3′
𝜎 ′ (on the failure plane) = + cos 2𝜃 (Eqn. 1)
2 2
𝜎1′ −𝜎3′
𝜏𝑓 = sin 2𝜃 (Eqn. 2)
2
′ 244+140 244−140
𝜎 = 2
+ 2
cos 2 × 53.73 = 176.36 𝑘𝑁/𝑚2
244−140
𝜏𝑓 = sin 2 × 53.73 = 49.59 𝑘𝑁/𝑚2
2
From Eqn. 2 above, it is evident that the maximum shear
stress will occur on the plane with 𝜃 = 45° . Thus, using
Eqn. 1:
244+140 244−140
𝜎′ = + cos 90 = 192 𝑘𝑁/𝑚2
2 2

Consolidated-undrained triaxial test

(CU test)

• 𝐴ҧ is Skempton’s pore
pressure parameter
• NC clays: 0.5 to 1
• OC clays: -0.5 to 0

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Consolidated-undrained triaxial test (CU

test)

𝜎1 = 𝜎3 + ∆𝜎𝑑 𝑓
𝜎1′ = 𝜎1 − ∆𝑢𝑑
𝜎3 = 𝜎3
𝑓
𝜎1 − 𝜎3 = 𝜎1′ − 𝜎3′
𝜎3′ = 𝜎3 − ∆𝑢𝑑 𝑓

Question 3
A specimen of saturated sand was consolidated under an all-around
pressure of 105 kN/m2. The axial stress was then increased and drainage
was prevented. The specimen failed when the axial deviator stress
reached 70 kN/m2. The pore water pressure at failure was 50 kN/m2.
Determine 𝜙 ′ .

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Question 3 - solution
Shear stress 𝑘𝑁/𝑚2 𝜙′

Total stress
Effective
stress

O 55 105 125 175

Normal stress 𝑘𝑁/𝑚2

𝜎1 − 𝜎3 175 − 105
𝜙 ′ = sin−1 = sin−1 = 22.9°
𝜎1 + 𝜎3 − 2(Δ𝑢𝑑 )𝑓 175 + 105 − 2 50

Unconsolidated-undrained triaxial test

(UU test)
• Drainage from the soil specimen is not permitted during the application of
chamber pressure 𝜎3 and during shearing as deviator stress ∆𝜎𝑑 is applied

• Test can be performed quickly.

• Any increment of 𝜎3 in the soil will increase by 𝑢𝑐

• A further increase in ∆𝑢𝑑 will only occur because of deviator stress application.

• The total pore pressure u in the specimen at any stage of deviator stress
application can be given as:
𝑢 = 𝑢𝑐 + ∆𝑢𝑑

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Unconsolidated-undrained triaxial test (UU

test)

𝜏𝑓 = 𝑐 = 𝑐𝑢

Why is the shear strength independent of confining stress?

Unconsolidated-undrained triaxial test (UU test)

The undrained strength Su is not a fundamental soil property. If the

moisture content changes so will the undrained strength.

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Question 4

In a unconsolidated undrained triaxial test the undrained strength is measured as

17.5 kPa. Determined the cell pressure used in the test if the effective strength
parameters are 𝑐 ′ = 0 and 𝜙 ′ = 26° and the pore pressure at failure is 43 kPa

61

Question 4 - solution
t
26

17.5

s 3 s 1 s3 s1

62

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Unconfined compression test

where 𝑞𝑢 is the unconfined compressive strength

What are the typical strength

parameters for soil?

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Typical stress paths in triaxial tests

Mean effective stress:

𝜎1 ′ + 2𝜎3 ′
𝑝′ =
3
Deviator stress:
𝑞 = 𝜎1 ′ − 𝜎3 ′

a denotes axial stress

r denotes radial stress
1 denotes major principal stress
3 denotes minor principal stress

Question 5
M, the slope of the critical state line, is defined as the ratio between
deviatoric stress and the mean effective stress at failure:
qf
M 
pf
Suppose the failure of the soil is governed by the Mohr-Coulomb
criterion (c’=0).

Derive the expression of M under triaxial compression

and triaxial extension condition, and demonstrate them by figures.

66

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Question 5- solution
The Mohr-Coulomb criterion:
1  sin  
s 1  N s 3  2c N  N 
1  sin  
if c  0 1  sin  
s 1  N s 3  s 3
1  sin  

 Axial stress: s a
Triaxial tests: 
Cell pressure: s r
ì
ïTriaxial compression: s𝜎11′¢ =
= s𝜎𝑎¢′ ,,s =s
𝜎 ′¢ = =s
𝜎3′¢ = 𝜎𝑟′¢
a 22
í 3 r

s = s𝜎22¢, =
= s𝜎𝑟¢r ,,s =s
′ ′ ′
ï
îTriaxial extension: 𝜎1¢ = ′ 𝜎3¢ = 𝜎𝑎¢ ′
1 3 a

Question 5 solution
(a) Triaxial compression:
At failure, the MC criterion reads:
1  sin    1  sin    2 sin  
s a  s r  q f  s a  s r  s r   1  s r
1  sin    1  sin    1  sin  
1 s   1  sin    3  sin   s r
pf s a  2s r   r   2 
3 3  1  sin    1  sin   3
q 6sin  
 Mc  f 
pf 3  sin  

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Question 5: solution
(b) Triaxial extension:
At failure, the MC criterion reads:
1  sin    1  sin    2 sin  
s r  s a  q f  s a  s r  s r   1  s r
1  sin    1  sin    1  sin  
1 s   1  sin    3  sin   s r
s a  2s r   r 
pf   2 
3 3  1  sin    1  sin   3
q Mc
qf 6sin   1
 Me  
pf 3  sin  

TC p
TE
1
Me
69

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