On The Yielding of Soils

ON THE YIELDING OF SOILS
by
K. H. ROSCOE, M.A., A. N. SCHOFIELD, M.A., AND C. P. WROTH, M.A.
SYNOPSIS
On montre
Hvorslevs equation for the shear strength of clay
is shown to define a surface in a space of three
variables (I, e and 7. The progressive yielding of a
sample defines a loading path in this space, and the
paths taken by samples in differing tests can be
correlated 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 o, e and 7
remain constant.
The two concepts of the existence of such a
surface and such a critical voids ratio line are
verified by an analysis of results of triaxial tests on
a clay.
Similar tests on silt and sand also confirm
the concepts, although some inaccuracy is inherent
in these tests.
Finally results of tests on granular
media in a simple shear apparatus are presented
which confirm closely the applicability
of both
concepts to the yielding of granular media.
que lequation de Hvorslev sur la

force de cisaillement de largile determine une surface
dans un espace a trois variables, u, e et T. Lc
tassement progressif dun Bchantillon determine un
parcours de charge dans cet espace, et on peut
etablir une correlation entre les parcours pris par les
Bchantillons dans des essais differents si Ion applique
une correction
de lenergie limite.
Les parties
finales de tous les parcours se trouvent alors dans
une surface unique, et les parcours se terminent a
une ligne critique unique des indices de vide.
A
letat critique des indices de vide il peut se produire
une deformation
illimitee tandis que (I, e et T
restent constants.
Les deux conceptions de lexistence dune telle
surface et dune telle ligne critique des indices de
vide sont verifiees par une analyse des resultats
dessais triaxiaux dune argile. Des essais similaires
sur du limon et du sable confirment aussi les
conceptions,
quoique
quelque inexactitude
soit
inherente a ces essais. Finalement, on presente
des resultats dessais effect&s
sur des milieux
granulaires dans un appareil de cisaillement simple
qui confirment exactement lapplicabilite des deux
conceptions au tassement des milieux granulaires.
INTRODUCTION
The classic work of Hvorslev (1937)r on the shear resistance of remoulded saturated
cohesive soils at failure contains a clear statement of the fundamentals upon which the present
knowledge of the subject is based. He showed that the peak shear stress at failure* Q-,of
such a soil is a function of the effective normal stress ai on, and of the voids ratio efin, the
plane of failure at the moment of failure and this function is independent of the stress history
of the sample. Subsequent publications, such as Gibson (1953), have all tended to confirm
the findings of Hvorslev.
However, from Hvorslevs work it is only possible to predict the strength at failure if the
values of the normal stress and voids ratio are known at failure.
In many problems what is
known is the initial voids ratio prior to the application of any shear stress. To develop
Hvorslevs work to cover such problems it is necessary to have a test apparatus which imposes
uniform strain throughout the whole of any sample of the soil for the entire duration of the
test. Some soil samples need to be subjected to large strains before developing their peak
shear resistance Tf, and in tests such as those of the triaxial, shear box, or torsion ring apparatus, there may be cases in which the volume of the zone of failure within the sample is small
and of unknown magnitude.
Hence Roscoe (1953) designed an apparatus to impose uniform
simple shear strain to soil samples. With the uniformity of strain imposed by this apparatus
it is possible to determine the voids ratio with some reliability at all times during a test by
measuring the average voids ratio of the whole sample. A feature of this apparatus is that it
1 The references are given on p. 53.
* Throughout this Paper a sample subjected to increasing strain will be said to be in a state of failure
at that moment when the total applied shear stress reaches a maximum or peak value.
Such values are
given the suffix f.
22
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ON
THE
YIELDING
OF
23
SOILS
measures directly the quantities if, uf, and ef used in Hvorslevs failure criterion.
Being
strain-controlled it is also suitable for determining the conditions of the soil when subjected to
deformations beyond those required for failure.
This simple shear apparatus has been used to investigate the yielding of cohesionless media
such as sands, glass beads, and steel balls. It has also been used to investigate concepts
regarding the critical voids ratio of these media. In addition to this work it was found from
a study of previously published triaxial tests on several clays that they yield in a very similar
manner to the cohesionless media but, in fact, the analysis is even simpler. Furthermore, the
concepts of critical voids ratios apply to both types of soil.
One object of the Paper is to show the similarities between the behaviour of cohesionless
and cohesive soils when subjected to shear stresses. Part I deals with the simpler conditions
of cohesive soils and Part II deals with cohesionless media.
Part I : Remoulded
THE
HVORSLEV
SURFACE
saturated
AND
DOMAIN
clays
FOR
CLAY
1 (a). The Hvorslev surface

The Hvorslev criterion of failure stated verbally in the introduction above may be expressed, for a given soil, by the equation* :
7f = p&f + v exp. (- Be,) . . . . . . . . (1)
where pO, v, and B are constants of the particular soil.
This equation (1) is satisfied by all possible states of stress and voids ratio when the soil is
at failure in a drained test. It is a unique function connecting the three independent variables
a>, ef, and 7,. If equation (1) is plotted three dimensionally with right-handed co-ordinate
axes (u, e, T) it will define a unique surface in (u, e, T) space, which will be called the Hvorslev
surface.
Fig. 1 shows two general isometric views of this surface for Kleinbelt Ton which
have been plotted from the results quoted by Hvorslev from his tests on that clay in a standard
shear box. For convenience of presentation in this Paper, the Q-= 0 plane is considered
horizontal with the positive direction of the T-axis vertically upwards. A, B, C, F, E, D represent
points on the Hvorslev surface and all points below or on this surface will be within the
A point above the surface represents a condition which the soil cannot
Hvorslev domaifz.
experience.
The Hvorslev domain is bounded, in directions other than the vertical, by additional
surfaces.
It is assumed that both U > 0 and 7 > 0 and hence the planes u = 0 and 7 = 0
form two further boundaries to the domain, as shown in Fig. 1. By definition e > 0, but in
practice for any given soil a boundary will be formed by the surface e = eminwhere eminis the
minimum voids ratio that the soil can experience.
Before discussing the final boundary of
the domain, it is necessary to consider the normal or virgin consolidation curve of the soil as
shown by AiBiCr in Fig. 2. This curve represents the limit of the loosest packing or greatest
voids ratio for any given value of u, so that values of (u, e) lying further from the origin than
this curve are not permissible when 7 = 0. It is assumed here that the same limitation
applies to (a, e) when 7 > 0, so that a curved vertical wall through the normal consolidation
curve becomes a boundary for the domain as shown in Fig. 1. Hvorslevs experimental
work did, in fact, show a more stringent limitation to the possible values of (a, e) at which
failure can occur. However, the last assumption is convenient for the description of the
surface given in the next section, and it can only be modified in the light of later sections.
The Hvorslev surface and the Hvorslev domain are based only upon results of fully-drained
tests on saturated clays in shear boxes. Many refinements will be introduced as other types
of test are considered, but it is important at this stage to consider the geometry of the Hvorslev
surface in some detail.
* The exponential function is denoted throughout by exp. (x).
24
l(b).
K.
H.
ROSCOE,
A.
N.
SCHOFIELD,
AND
C.
P.
WROTH
Shape of the Hvorslev surface
Any point on the Hvorslev surface denoted by a letter in Fig. 1 has projections on the
7 = 0, e = 0 and U = 0 planes which will be denoted by the same letter as the point but with
the suffix I, 2, and 3, respectively.*
The Hvorslev surface can best be obtained by taking any point Pi in the (u, e) plane and
plotting P above it where PPi is the value of of obtained from equation (1). Figs 3 and 4
show projections of the Hvorslev surface on the e = 0 and U = 0 planes, respectively.
The points A,, Bi, Cr on the normal consolidation curve in Fig. 2 satisfy the equation :
1
CT
e - e. = - B log,
t xl
1 -.*-.-
where e,, u~ are constant and B is the same as in equation (1). The corresponding points
A, B, C on the Hvorslev surface must satisfy both (1) and (2) when u = u>. Combining
Tf = pouj
+ &rf
.
.
.
.
.
.
.
these equations :
.
(3)
where 5 = G exp. (-
Bee) which is a constant for any one soil.
Equation (3) is that of a
plane inters%ing the e = 0 plane in the straight line OAsBaCs which passes through the
origin and is of slope II,= tan-l (p. + f). This line is the projection on the e = 0 plane of the
curved edge line ABC, which contains the points on the Hvorslev surface corresponding to the
normal consolidation curve.
Points on the straight line F,Ci in Fig. 2 are of constant voids ratio, e = e, (say), and the
corresponding points on FC. in Fig. 1 must from equation (1) therefore satisfy the equation :
i-f = pouj
+ 5
.
.
.
.
.
.
.
.
(4)
where 5 = v exp. (- Be,) which is constant since e, is constant. Since equation (4) is the
equation of FC in the plane e = e, it follows that FC is a straight line. Hence the projection
F&s on the plane e = 0 is also a straight line and both FC and F&s are at an angle
#o = tan-lpo to the 7 = 0 plane.
Similarly EB and DA are straight lines contained in the Hvorslev surface which therefore
is a ruled surface of parallel straight lines inclined at #o to the T = 0 plane.
1(c). The edge of the Hvorslev surface
The assumption of the curved edge line ABC, vertically above the normal consolidation
curve, was made in order to simplify the presentation of the Hvorslev surface. Hvorslexwas, in fact, unable to obtain test results corresponding with the edge ABC. He observed, in
agreement with unpublished work of Casagrande and Albert, that when a normally consolidated sample was sheared, it decreased in volume and expelled water from its voids. The
sample reached what is, in effect, an over-consolidated state during the process of shear. The
failure values of such samples give an edge to the Hvorslev surface with a projection on the
7 = 0 plane lying inside the normal consolidation curve. To trace the boundary which must
replace the assumed vertical wall, the concept of progressive yielding before and after shear
failure must now be developed.
LOADING
2(a). Failure, @ogres&e
PATHS
AND
YIELD
SURFACES
yielding and test $aths
The shear tests carried out by Hvorslev were stress controlled, which prevented any
investigation of the conditions of samples after the peak shear stress had been attained.
With the advent of strain-controlled shear tests, the failure of a soil no longer becomes catastrophic with unlimited deformation, since the shear stress can pass through a peak value
without any sudden collapse of the sample. In order to plot the progressive yielding of such
samples the parameters u, e, and T are often plotted separately against strain, or deformation.
* D,
E, F lie in the O = 0 plane and coincide with their projections
D,, I?,, F,.
ON THE
YIELDING
OF
SOILS
35
However, at any stage in the test these parameters (a, e, T) define a point in the Hvorslev
domain. As the test progresses this point (u, e, T) defined by the condition of any one element*
will trace out a path in the domain. The direction of this test path is governed by the conditions of drainage allowed during the test, which restricts the degrees of freedom from three
to two. In general, tests are carried out either with full drainage or with no drainage, and the
differences between these extremes must be considered in detail.
2(b). Fully-drained tests in shear-boxes
In tests with f&l drainage, such as those carried out by Hvorslev, the effective normal
stress u remains constant throughout. The test path is therefore constrained to lie in this
u = constant plane. Such a plane is shown by BPPsPiB, in Fig. 1 and in elevation in Fig. 5.
As the test progresses the volume of the soil element will be changing, and this will require
work to be done art or by the external stresses acting on the boundaries of the element. The
shear stress, 7, as measured at any instant, can be split into components rs and 7i. The
component rc is that part of the shear stress which would be just sufficient to provide the
work used by the soil externally in changing its volume against the confining pressure ; and
pi is the remainder which provides the work absorbed internally by the soil (usually assumed
to be purely frictional).
When the element is expanding 7e is positive, and when contracting negative. With this
convention :
7=7e+ri
. . . . . . . . * (5)
For a shear-box :
re=ad; I dY
where y = sample thickness and x = relative displacement of shear-box halves.
(6)
dY
If - is
dx
observed for all points on the test path it is possible to calculate 7, from equation (6), so that
from equation (5), 7i can be deduced. pi will represent the shear stress corrected for the work
done in changing the boundaries of the sample ; and the necessary correction will be called
the boundary energy commission.
2(c). Undrained tests in shear-boxes
In tests where no drainage is allowed the test path is constrained to lie in an e = constant
plane, while the effective normal stress u changes according to the excess pore-water pressure
u set up in the soil. Such a plane is shown by BEBi in Fig. 1 and by the parallel plane
through P drawn in elevation in Fig. 6. Since the volume of the small soil element remains
constant 7, = 0 for the whole test path. Equation (5) reduces to 7 = ri, and the entire work
provided by the shear stress is absorbed internally.
2(d). Correlation of drained and undrained tests
Since 7, is identically zero throughout undrained tests, and is dependent on the rate of
dilatation in drained tests, it is necessary to compare the values not of 7 = (TV+ TJ but of pi
obtained in the two types of test. The test paths traced out by successive values of (u, e, pi)
will be called loading $aths.
An implicit assumption in the definition of pi in sections 2(b) and 2(c) is that the work
absorbed internally by the sample is not affected by any volume change. It is possible that
in a drained test when a sample changes its volume extra work has to be done, not only externally in altering the boundaries but also internally in changing the voids ratio. In an
* In shear tests an attempt is made to create uniform conditions throughout a sample. The analysis
can be extended to regions in which conditions vary, provided that an element can be defined, which is of
a size small enough, that throughout any test the conditions can be considered uniform within this element,
yet large enough compared with the soil particles that its voids ratio can be defined sensibly.
26
K.
H.
ROSCOE,
A.
N.
SCHOFIELD,
AND
C.
P.
WROTH
t
1.
Fig. 1.
Two isometric
views of the Hvorslev
surface for Kleinbelt Ton
R,
FIG. 6.
; A
FIG
-0-l
NO DRAINAGE SECTION
OBTAINED FROM FIG.3.
FULL DRAINAGE SECTION

OBTAINED FROM FIG. 4.
-u
FIC.2.
Figs 2-6.
Geometry
of Hvorslev
surface for Kleinbelt Ton
ON
THE
YIELDING
OF
27
SOILS
undrained test a sample is distorted in shear, so that the relative positions of the particles are
shifted without the average distance between the centres of particles changing. In a drained
test the relative positions of the particles are again shifted, and this certainly involves absorption of work internally ; but in addition the average distance between the centres of particles
changes and it is possible that additional internal work is absorbed if there is a marked
inelastic hysteresis in the compressibility of the grain structure.
If this is the case, then values
of 7i obtained from the two tests will not be comparable even after applying the above
boundary energy correction to the results from the drained tests. But if, as proves to be the
case, the two surfaces obtained from the two sets of test results coincide, then within the
limits of experimental accuracy the work internally absorbed will be independent of the rate
of dilatation and, in addition, 7i will be purely a function of u and e.
Experimental evidence (discussed in detail in later sections) suggests that in each type 07
test the loading paths have a surface as their envelope in (u, e, Ti) space, and as yield continues,
The surfaces so defined will consequently
the loading paths continue to lie on that surface.
be called the undrained yield surface and the drained yield surface.
The common surface,
when established, will then be the yield surface, and the space it contains the yield domain.
It is important to note at this stage the extent to which the concepts of the last paragraph
have developed beyond those of section 1 (a). Each test now gives a succession of results
which form a loading path, in place of a single result which forms a failure point. The
family of possible loading paths lies within the yield domain or on its surface. In contrast
the Hvorslev surface is only defined by a set of failure points, each of which is given by the
peak shear stress 7f from a drained test, with no boundary energy correction.
The Hvorslev
surface is quite distinct from both the drained and undrained yield surfaces, and cannot be
obtained experimentally with the same accuracy.
3(a).
Extension
of method to results from other apparatuses
If shear tests on saturated remoulded clays are carried out in any apparatus other than the
shear-box, the results can be plotted in an exactly similar and consistent fashion to give
three-dimensional surfaces reached by the various loading paths. These surfaces will differ
according to the choice of apparatus and to the choice of variable parameters by which the
condition of a sample is defined.
3(b).
Choice of variables for analysis of standard triaxial test results
Throughout all tests in the standard triaxial apparatus it will be assumed that c1 is the
stress on the end caps of the sample and (TV= a3 is the cell pressure. Since for the Hvorslev
domain 7 must be > 0 it will be assumed for the triaxial domains that o~ > u~, thereby
excluding consideration of conventional extension tests.
The stress parameters chosen for plotting the triaxial yield surfaces will be the mean
principal
effective stress p = & (all + 2&J, and the deviator stress (al - u3) = (u~ - u~)
where (u~, u~, uJ are the e$ective stresses, defined as usual. The parameter p is the first
invariant of the stress tensor while (u~ - u'J is derived from the second invariant of the
stress deviation tensor. These variable parameters both satisfy the condition that they are
independent of the choice of reference axes in a triaxial system of stress.*
The choice of the
third variable is essentially unchanged being the voids ratio, the porosity or the water
content, whichever is most convenient.
Three surfaces can be obtained from the analysis of standard triaxial test results : (a) the
peak surface from values of the variables obtained at failure in drained tests (analogous
to the Hvorslev surface), (b) the drained yield surface, and (c) the undrained yield surface.
* See, for example, Prager and Hodge (1951)
The theory of plasticity
is concerned with plastic
stress tensors is still relevant to dilatant media.
Theory
of perfectly
media,
incomfiressible
plastic solids , Chapter 1, Wiley.

but the discussion of invariants of
28
K.
H.
ROSCOE,
A.
N.
SCHOFIELD,
AND
C.
P.
WROTH
To obtain the drained-yield surface a boundary energy correctionmust be applied to (ur - us),
As in equation (5) :
.
.
.
.
(U'l - 0'3) = (U'l - u'& + (a'1 - a'&
.
(7)
dv
into which is substituted :
(01 - u& = us .
.
.
.
.
.
.
.
where ZJ= volumetric strain and E~ = axial strain, because the boundary work is done by or
against the cell pressure a3 (Bishop 1954). In the case of tests where the sample is made to
fail by increasing the pore-water pressure, the boundary energy correction has to allow for
the work supplied by this increase of pressure, becoming :
dv
dv
(a1 - a& = (us - 24)- = us . . . . . .
de1
de1
This reduces to equation (8) for fully drained tests when zc = 0. To emphasize the
importance of this correction, and for ease of distinction between the uncorrected and corrected
values, the corrected deviator stress (u1 - a'& will be denoted by the symbol q.
CRITICAL
VOIDS
RATIO
LINE
3(c). The cowept of critical voids ratio

The continuous yielding of a sample can be represented by a loading path which rises to
the yield surface and then remains on the surface. The problem arises as to whether the path
ends at any specific point. If such a point exists, then it will be appropriate to say that a
sample is in a critical voids ratio state when the loading path reaches that point.
However, the words critical voids ratio have generally been applied to a particular
state of a sand. This state has not been precisely defined, although there are two alternative
sorts of definition ; one is concerned with changes of volume in drained tests (Casagrande,
1938), and the other with changes of effective stress, and consequently of strength, in
undrained tests (Taylor, 1948). These definitions can be made more explicit if the concept
of loading paths in (p, e, q) space is used. It will be shown later that the critical voids ratio
concept is valid for clays as well as for sands.
In a drained test the critical voids ratio state can be defined as that ultimate state of a
sample at which any arbitrary further increment of shear distortion will not result in any
change of voids ratio. In any series of drained tests the set of critical voids ratio points so
defined can be expected to lie in or near a line on the drained yield surface.
In an undrained test the sample remains at a constant voids ratio, but the effective stress P
will alter to bring the sample into an ultimate state such that the particular voids ratio, at
which it is compelled to remain during shear, becomes a critical voids ratio. In any series of
undrained tests the set of critical voids ratio points so defined can be expected to lie in or
near a line (not necessarily the same as above) on the undrained yield surface.
If the results of drained and undrained tests show that there is, in fact, one unique line to
which all loading paths in (fi, e, q) space converge, then this will be called the critical voids
ratio line (C.V.R. line, for short). The drained and undrained yield surfaces will then
coincide along the C.V.R. line. These two surfaces may be identical and, if so, the common
surface would then form the yield surface.
In testing the two hypotheses of the existence of a yield surface in (p, e, q) space, and of the
existence of a C.V.R. line on that surface, it becomes evident that the first hypothesis is more
easily tested than the second. Loading paths reach the yield surface after only a slight
distortion of the sample, and the magnitudes of the parameters p, e, q as determined from
mean conditions in the sample can be expected to be accurate.
Loading paths only reach
the C.V.R. line after a severe distortion of the sample and, unless this distortion is a large controlled shear distortion, mean conditions in the sample cannot be expected to define accurately
OK
THE
YIELDING
OF
29
SOILS
a point in (fi, e, 4) space. This may mean that the loading paths converge on some bounded
region without closely defining a C.V.R. line.
Many sets of test results which have been examined tend to confirm the hypotheses stated
within the limitations outlined above, but there are few sets of sufficiently comprehensive
test results available for detailed study. One such set, which was kindly made available
during the preparation of the Paper, has proved extremely comprehensive and most suitable,
and for the sake of simplicity the following analysis will be confined to these tests. It is the
set of tests on samples of Weald Clay carried out at Imperial College, London, by Gilbert (1954)
and summarized by Henkel (1956).
ANALYSIS
ON UNDRAINED
TESTS ON CLAY
4 (a). Idroduction
The theoretical work in the following sections will be applied to the analysis of triaxial
test results on saturated remoulded samples of Weald Clay. The properties of this clay are,
according to Henkel :
The triaxial test results are given in terms of water content 291%which is used here, for
convenience, in place of the voids ratio e : the other variables p and q can readily be calculated
from quoted values of ulr us, u, etc. At any stage in a test a small increment of the stress
parameters will be denoted by Sal, Sus, au, etc., and the total change since the start of the
test by dur, da,, dzl, etc.
To facilitate the discussion of loading paths in (p, w, q) space, the q = 0 plane will be
considered to be horizontal with the q axis rising vertically from it. The last observed point
on a loading path will be called the end Point and will be denoted by Q. There may be tests
which have not been carried sufficiently far beyond the failure state for the sample to have
reached the ultimate state. In such cases the point on the C.V.R. line to which, by hypothesis,
the loading path is expected to converge will be denoted by X. On the other hand in many
tests Q will coincide with X and throughout the Paper values corresponding to X will be given
the suffix zc to denote the ultimate state.
4(b).
Theoretical
relationship
equivalent Pressure
between
overconsolidation
ratio,
consolidation
Presswe,
and
Before considering the Weald Clay in detail, a simple theoretical relationship which will
be of use later is now derived. Fig. 7 represents the consolidation lines in a semi-logarithmic
plot for a clay sample which has been normally consolidated from A to C and then allowed to
swell back to D. If the slope of each line is assumed to be constant and of magnitude - h
for ABC and - K for CD then a simple theoretical relationship can be established between
the over-consolidation
ratio 91= b
P3
the final consolidation pressure p, and the equivalent
pressure p,. This pressure pi is that of the point B on the normal consolidation line having
the same water content as D.
I<.
30
H.
ROSCOE,
A.
N.
SCHOFIELD,
C.
WROTH
Fig. 8. Loading path for undrained triaxial

test on normally consolidated Weald Clay
Fig. 7.
Simplified
relation
between
water
content and consolidation
pressure
for
a clay
line is :
73 - z&j = - A log, (p/p,)

The swelling or overconsolidation
. . . (11)
(10)
line is :
w - zP$= - K log, (p/p,)

Point B given by (el, ZQ) satisfies equation
:. 29/r-
(10) :
200 = -
Point C given by (fi,, ws) satisfies equation

:. w2 -
x log, @r/p,)
. .
(12)
(10) :
wa = -
Point D given by (A, z~r) satisfies equation
x log, (p&J
(13)
(14)
(15)
(16)
(17)
(11) :
:. UJl - Wz = Equations
P.
'09P
PJ po
P,
t-1
b$ (consolidationpressure)
The normal consolidation
AND
K lo& ($,/fi,)
(12), (13), and (14) give :
+ K lo& @s/$,~ .
0 = - h lo& (pdio) + x lo& &ho)

But by definition n = ps/p,,
and equation
ii
lo&
(15) becomes
(f@,/p,)
bg,?Z
and finally :
P3lPr = n
Equation
are straight.
G+
(17) is valid for any clay satisfying

For the Weald Clay approximate
= +.-A
the assumption that the consolidation lines

values from Fig. 1 of Henkels Paper give
i = 0.35 ; so that the ratio of the final consolidation
= p,/p,
pressure to the equivalent
n-0.65.
pressure
ON
THE
YIELDING
4(c). Undrained tests on normally cofuolidated
OF
SOILS
31
samples
The loading path of an undrained test will lie in a section of the (9, w, 4) domain made by
a w = constant plane. From Gilberts results, when a sample of Weald Clay is normally
consolidated under an all round pressure of 60 lb/sq. in., the equilibrium moisture content
is ze,= 20.7. This condition of the sample is represented by point P in Fig. 8, and all points in
this diagram lie in the plane w = 20.7.
Any system of applying external stresses to the boundaries of the sample can be represented
by a line in the plane of Fig. 8 which will start at P, provided (i) the initial pore-water pressure
u. = O,* and (ii) the applied stresses are plotted on the same axes as the effective stresses 9
and 4. Such a line will be called the applied stress path.
If the sample, in a condition represented by P, is subjected to a conventional undrained test
(us = constant, (pi increasing) the applied stress path is a straight line PST making an angle
tan-i 3 with the ~5axis. (This is because &a = das = 0 and every increment of applied stress
in the p direction of 6 3 (pi + 2~~) = f 6ui is accompanied by an increment in the q direction
1
>
which is 6(ui - ua) = Sal.) The loading path PRQ for this sample will also start at P. The
point R on the loading path has the same ordinate as the corresponding point S on the applied
stress path since (ul - ~~3) c (dl - u~), but the abscissa of R is 4 (u'~ + 20~) = 5 (aI + 24
- Au, where Au is the positive excess pore-water pressure corresponding to the applied stress
system S. Hence RS = Au in magnitude, and if RS is measured algebraically from R to S
in the positive direction of the p axis it will represent positive values of Au, and in the reverse
direction negative values.
Loading paths for conventional tests on six normally consolidated samples are shown in
Fig. 9. Each path lies in a different water-content plane, and they are seen in elevation
(or projection on the e = 0 plane) giving a family of similar curves.?
The end points Qi,
.
Qa
lie
on
a
line
in
space
which
has
a
straight
line
projection
Qi2,
Qz2
. . . Qe2 in Fig. 9
Q2 . .
passing through the origin. Fig. 10 is a plan (or projection on the q = 0 plane) showing in
addition the normal consolidation curve given by the starting points Pi, P, . . . Pg. Fig. 11
is the other elevation (or projection on the p = 0 plane). Hence the end points Qi, Q2 . . . Qs
lie on a curved line in space exactly analogous to the curved edge line ABC on the Hvorslev
surface except that it is not vertically above the normal consolidation curve.
4 (d) . Undrained tests on overconsolidated
samples
If the loading paths for a series of tests for one given overconsolidation ratio vzare plotted
then a family of similar curves is obtained.
It is formed in the same way as the family shown
in Fig. 9, where n = 1, but the shape of each family radically alters with the value of n. In
tests on overconsolidated samples the positive change in pore-water pressure Au is less than
in tests on normally consolidated samples. For heavily overconsolidated samples Au may
become negative.
The loading path will cross the applied stress path at the point for which
Au = 0, and will lie on the other side for negative values of Au. Except for the very heavily
overconsolidated series, the end points of paths of each family lie very close to the same
curvedline in space as that described by Qi, Q2 . . . Qe. Figs 12, 13, and 14 show the end
points of all the thirty-one undrained tests with n < 8 which are quoted by Gilbert (1954).
Since in Fig. 13 the abscissae of both curves for any given w bear a constant ratio to each
other, and because in Fig. 12 the relation of p to q is linear, it follows that if the locus of Q is
* For the case when u0 + 0, see section 10(b).
t Points on the yield surface are denoted by a single suffix, e.g., Q1, P,. . .
Projections of these points
on the q = 0, e = 0, and p = 0 reference planes in Figs 9, 10, and 11 are denoted by a second suffix 1, 2,
and 3, respectively, e.g. Q,,. P,,.
32
K.
H.
ROSCOE,
A.
N.
SCHOFIELD,
AND
C.
P.
20
40
WROTH
FIG. 9
25
24
NORMAL
23
180
20
FIG. IO
Figs 9-11.
40
60
80
loo
f Ib/sq.in..
120
FIG.11
60
qIb/+
Family of loading paths for undrained triaxial tests on normally

consolidated Weald Clay
plotted with logarithmic scales for p and q and arithmetic for W, then it will be a straight line in
this space. Hence the actual dimensions of the members of any one family vary logarithmically with their water contents.
Fig. 15 shows the appropriate member of each family for
the plane given by w = 20.7 : the representative loading path for each value of n has been
obtained by scaling up or down test loading paths from other water content planes, by means
of this logarithmic relationship.
The paths for tests with all values of n > 3 become tangential to a straight line, shown by
VUQ in Fig. 15, and PRQUV form the boundary for all loading paths in this one plane. As
w varies, giving sections of the same shape but of different size, the boundary PRQUV will
The part of the surface formed by the set of lines parallel
form the undrained yield surface.
to VUQ is a ruled surface and is similar in shape to the Hvorslev surface. The other part of
the surface is formed by the loading paths of normally consolidated samples, and has a curved
profile (PRQ).
This replaces the vertical wall through the normal consolidation curve
which had to be assumed for the Hvorslev surface (section l(a)) for want of more detailed
information.
The end points plotted in Figs 12, 13, and 14 closely define a line on the undrained yield
surface and this line is therefore a line of critical voids ratios. An isometric view of the undrained yield surface for Weald Clay is shown in Fig. 16. The section PRQUV and the line
PST in this view correspond to ze,= 20.7 and are the same as those shown in Fig. 15 in which
the same letters are used. The C.V.R. line in Fig. 16 corresponding to all the undrained test
results is shown by XQX.
The loading paths for heavily overconsolidated samples (n :> 8) appear to rise to the line
ON
THE
YIELDING
OF
33
SOILS
VQ as shown in Fig. 15, but do not appear to reach Q in this w = constant plane and instead
fall below the line VQ. The Authors suggest that ultimately the moisture content is not
uniform throughout the sample, and that only a portion of the sample achieves a state of
continuous deformation at constant shear stress. If so, the moisture content of this portion
will be greater than the measured mean value, and that of the rest of the sample will be
smaller. The true loading paths for this portion and for the rest of the sample would then
diverge on opposite sides of the w = constant plane, and the Authors believe that the former
path would reach the C.V.R. line at some other point such as X1, shown in Figs 15 and 16.
However, the evidence available to the Authors is felt to be inconclusive, because :
(i) Much higher values of strain are required to reach the ultimate state for high values
of n than for low values of n. This means that the error in the estimate of the stresses
al and as (and consequently $J and 4) due to the assumption that the triaxial sample
remains cylindrical, becomes worse.
(G) The effective stresses involved for high values of 1z are small because of the relatively low value of the maximum pressure that a conventional triaxial cell will withstand. The experimental errors due to corrections for membrane and filter drain strengths
and plunger friction become thereby accentuated.
60 POINTS
TESTS
q Ib/sq.ln.
OBTAINI
WITH
nb
0 = POINTS
AND
CVR
FROM TCSTS
LINC
UNDRAINED
FROMALL
8
ORAWH
WITH
t7 = 1,
FROHTliFSE
20 ; .*
.B
O/
0
I
20
)J Ib./sq.in ,.
*
40
I
60
I.
80
-P
FIG. 12.
UT
22
25
24
23 lU%
22 -
22 -
21 -
21 -
7.0 -
20 -
I9 -
I9
I8 I
0
Figs
12-14.
I
20
Critical
2C.
voids
I
60
13.
ratio
FIG. 14,
line from
undrained
triaxial
tests
on Weald
Clay
34
K.
H.
ROSCOE,
A.
N.
SCHOFIELD,
AND
C.
P.
WROTH
Fig. 15. Section of yield domain

for undrained tests on Weald
Clay showing loading paths
for various values of n.
4(e).
Theoretical
relationship
coejicient
A
between
the
overconsolidation
ratio
and
the
pore-pyessuye
In the case of fully saturated clays the pore-pressure coefficient, A, defined by Skempton
(1954) is given by the equation :
Au = Au, + A (Aal -
Au3)
(18)
For conventional undrained tests where a3 is held constant Aas = 0 and equation (18) can be
rewritten as :
A=
AU
Au -
AuS
Aal -
Aus = A (al -
AU
AU
us) = A (u~ -
u~) = dq
(19)
Fig. 17 shows a typical section of the yield domain by a w = constant plane. Consider a sample
with overconsolidation ratio n, having reached equilibrium at J under a final consolidation
pressure P,. For this sample J&T, is the applied stress path and JRnQ the loading path.
When the sample has reached the state, represented by R,, then from section 4(c), + Au =
Au
R,S,, 4 = JM and A = g
R,S,
When the sample has reached the C.V.R. line at Q:
= JM.
Eliminating P, from equations (17) and (20) :

A
Now $
= a and t
= PI%- - P4
W
4%
(21)
= b are geometrical properties of the section, and therefore since all
sections w = constant are similar, a and b will be dimensionless constants for the particular
clay. Equation (21) becomes :
(A, + b) = an-*
(22)
so that if log (A, + b) is plotted against log 1za straight line of slope - A should be obtained.
This predicted relationship is shown for the Weald Clay by the broken straight line in Fig. 18.
The values used for the soil constants are A = + 0.65 (from section 4(b)) a = 1.77 and
b = 0.824 (both obtained from Fig. 15). For low values of n the failure conditions of a sample
ON
THE
YIELDING
OF
SOILS
should be the same as the ultimate

conditions and the predicted values of )
(A, + b) should agree with the experimental values of (A/ + b) which may
be determined from Fig. 7 of Henkels
(1956) Paper. These values of (Af + b)
are plotted as the full line in Fig. 18,
and while agreement is good for low
values of n the divergence, as expected,
increases with n. An additional reason
to those given in section 4(d) for this
divergence, is that the swelling line in
Fig. 7 is not straight for high values of
n as assumed in section 4(b).
In an exactly
similar
manner
relationships can be predicted between
n and functions of ihe values of
variables at the ultimate state in
drained tests, comparable with
experimental relationships quoted
Henkel for failwe.
Fig. 16. Isometric view of yield surface for Weald Clay
These are :
(~1- udu
n*
= a
(Henkel, Fig. 5)
h*
(Henkel, Fig. 5)
(Henkel, Fig. 14) .
0%
A%
l--=7 %c
bl
4u
(73,
1
=- b
The last relationship, equation (25), predicts that

solidation ratio with a constant value of i = 1.21.
(1 - &I
is independent
03u
of the overcon-
This is a direct result of the fact that the
C.V.R. line has a straight line projection on the e = 0 plane in Fig. 12.
ANALYSIS
S(a). Drained
OF DRAINED
TESTS
ON CLAY
tests on normally consolidated samples
Consider a sample which has been normally consolidated under an all-round pressure of
60 lb/sq. in. having reached equilibrium at P in Fig. 16 and in Fig. 20. In a conventional
drained test a%is held constant so that 80~ = 0 and if uncorrected values of the deviator stress
were plotted S$J = Q (60~ + 26~~) = Q 6u~ and the increment in the q direction would be
=
36p.
So that the uncorrected stress path, i.e. the applied stress path,
(SC1 - 6~~) = WI
PST in Fig. 16 would be confined to a plane given by :
q = 3 (p -
60)
(26)
This plane given by equation (26) will be called an applied stress plane and is represented
by the plane containing XYP in Fig. 16 making an angle tan-l 3 with the q = 0 plane. The
K.
36
H.
ROSCOE,
A.
N.
SCHOFIELD,
AND
C.
P.
WROTH
projection
of PST
in the ze, =
constant plane containing
P is the
straight line PSTY in Fig. 16. This
is shown in elevation in Fig. 19 by
PzSsTs.
The loading path PRQ in Fig. 16
is obtained from the applied stress
path by correcting the deviator stress
at each point by the boundary energy
correction, represented by RS, which
is given by equations (7) and (8).
In
this test the sample is contracting,
so that (or - a& is negative, and
thus 2 is greater than the applied
The particular test
deviator stress.
Fig. 17.
Typical
section of yield surface
by constant
quoted here from Gilberts work, was
water-content
plane
still showing a very small decrease in
At this stage the paths had only reached Q and T, and
volume when the test was stopped.
had not arrived at X where they would be expected to coincide.
Fig. 20 is a plan view with the vertical projections of the two paths necessarily coincident.
It will be observed that for this particular test the initial water content at P differs from that
of the corresponding point W on the mean normal consolidation curve by a small fraction of
This discrepancy PW is due to experimental scatter, for it is difficult to measure initial
1%.
water contents accurately.
Fig. 21 is the other projection on the $ = 0 plane.
In order to be able to determine how close the loading path for this drained test PRQ
lies to the undrained yield surface the broken lines WZIXr and WsZsXs are drawn in Figs 20
and 21.
These broken lines are obtained as follows.
The loading path for the drained test
PRQ in Fig. 16 (PsRsQs in Fig. 19) is first projected parallel to the Zen
axis on to the undrained
This line is then projected on to
yield surface, thereby making a line lying on this surface.
the q = 0 and p = 0 planes to give WZrXi and WsZsXa in Figs 20 and 21, respectively.
If the water content discrepancy represented by PW, RrZ, and QrXr is ignored as
experimental error the curves PRQ and WZX in space are seen to be coincident ; so that the
drained loading path PRQ climbs up the undrained yield surface.
Moreover, the point X
lies very close to the C.V.R. line defined by the undrained tests.
Within such limits of
accuracy, the same is true for all other drained tests on normally consolidated samples.
5(b). Drained
tests on overconsolidated sam$les
Drained tests on overconsolidated

samples have to be investigated individually, because
it is not possible to consider the series given by any one value of the overconsolidation
ratio
collectively as a family, as proved to be so convenient in section 4(d).
Before considering
any test in detail some general features which the Authors would expect in the behaviour of
samples will be discussed.
(a) Samples which decrease in volunze.-In
are well conditioned in the following respects
all cases when the sample contracts

:
the tests
(i) The sample increases in strength throughout the test and the peak value of
uncorrected
deviator stress, defining failure, occurs when the sample has reached
ultimate state.
(ii) The whole sample will tend to deform uniformly, since if a localized region
greater shear deformation
develops, this region will decrease in volume, increase
strength, and work harden I.
the
its
of
in
ON
THE
YIELDING
OF
37
SOILS
ly(A + b)
I
Relation between A and overconsolidation
Fig. 18.
ratio n for Weald Clay
60
9 lb./spin.
40
Fir,
--
13.
,&r
25 -
25
24
22 W%
21 -
17
20
40
20
40
60
FIG. 21.
Figs
19-21.
Paths for a drained test on normally
consolidated
Weald Clay
38
I<.
H.
ROSCOE,
A.
N.
SCHOFIELD,
AND
C.
P.
WROTH
(iii) Due to the uniformity of deformation the average values of the water content
and boundary energy correction obtained from the test results remain representative of
the whole sample and give reliable information.
(b) Sam$les which increase in volume.-In contrast to (a) the tests in this case are illconditioned :
(i) The peak value of the uncorrected stress occurs well before the ultimate state is
reached.
(ii) If a localized region of greater shear deformation develops, this region will increase
in volume, decrease in strength, and become weaker than the rest of the sample. Work
is used externally in changing the volume. The smaller the region of deformation, the
smaller the boundary energy correction, and the smaller the amount of extra work that
has to be supplied. Hence the sample will be encouraged to confine its deformation to
some localized region, if this is possible, and restrict the extra work necessary to a minimum.
(iii) As a result of any non-uniformity of deformation, the values of the water content
and boundary energy correction obtained from measurements made on the whole sample,
are not representative of the actual region which is failing, and, in fact, both must
necessarily be under-estimates.
Consequently the Authors would expect in general that a sample which decreases in volume
would give reliable results, and a sample which increases in volume would give unreliable
results, and they have therefore treated results of tests on heavily overconsolidated samples
with caution.
However, the results of drained tests with an overconsolidation ratio of 12 < 8 show good
/ -p-S(P-)
FIG.22
Figs 22-24.
Paths for drained test on heavily overconsolidated
Weald Clay
ON
g
.-.*0
UT
I
40
THE
p lb./s.+.
I
80
FIC.25.
YIELDING
I
I20
OF
SOILS
39
'P
160
17 16 I
0
10
80
I20
FIG 26.
Figs 25-27.
160
16
:,
40
80
-%
120
FIG.27,
Drained-triaxial-test
results on Weald Clay with C.V.R.
undrained tests superimposed
line from
agreement with those obtained from undrained tests. The results of one drained test, which
is typical of the others, will now be described in some detail. In Figs 16 and 23, the overconsolidated sample, for which n = 8, is initially in equilibrium at P under a final consolidation pressure of 15 lb/sq. in. The applied stress path PRT lies, throughout the test, in the
applied stress plane XYP which makes an angle of tan-13 with the q = 0 plane. The
loading path PRQ, however, does not lie in the applied stress plane. Both paths are
shown projected on the reference planes in Figs 22, 23, and 24. In the initial phases of the
test the sample shows a negative volume change, or contraction, which makes q greater than
the applied deviator stress, and puts the loading path above the applied stress path. At the
dV
moment that d
= 0, there is no correction and both paths coincide at R.
El
Thereafter the
sample expands causing the loading path to be beneath the applied stress path. When the
test was stopped shortly after failure, the sample was still expanding and the paths had reached
the points given by Q and T.
The intersection of the applied stress plane XYP, given by 4 = 3 (9 - 15), with the
undrained yield surface is shown in Fig. 16 by the broken line XY, where X is on the
undrained C.V.R. line. Had the test been continued the loading path could be expected to
become tangential to XY and end at X, when the sample would have reached an ultimate
state.
In view of the limitations stated above, the correlation between the drained and undrained
yield surfaces is reasonable.
More surprising is the extent to which the end points of drained
tests confirm the same C.V.R. line that applied to the undrained tests. This is shown in

On The Yielding of Soils

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On The Yielding of Soils

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ON THE YIELDING OF SOILS

que lequation de Hvorslev sur la

1 (a). The Hvorslev surface

Shape of the Hvorslev surface

Bee) which is a constant for any one soil.

Equation (3) is that of a

2(a). Failure, @ogres&e

yielding and test $aths

E, F lie in the O = 0 plane and coincide with their projections

D,, I?,, F,.

where y = sample thickness and x = relative displacement of shear-box halves.

views of the Hvorslev

surface for Kleinbelt Ton

FULL DRAINAGE SECTION

surface for Kleinbelt Ton

of method to results from other apparatuses

Choice of variables for analysis of standard triaxial test results

plastic solids , Chapter 1, Wiley.

3(c). The cowept of critical voids ratio

the final consolidation pressure p, and the equivalent

Fig. 8. Loading path for undrained triaxial

73 - z&j = - A log, (p/p,)

w - zP$= - K log, (p/p,)

Point C given by (fi,, ws) satisfies equation

Point D given by (A, z~r) satisfies equation

The normal consolidation

(12), (13), and (14) give :

0 = - h lo& (pdio) + x lo& &ho)

(17) is valid for any clay satisfying

the assumption that the consolidation lines

i = 0.35 ; so that the ratio of the final consolidation

pressure to the equivalent

4(c). Undrained tests on normally cofuolidated

Family of loading paths for undrained triaxial tests on normally

Fig. 15. Section of yield domain

When the sample has reached the C.V.R. line at Q:

Eliminating P, from equations (17) and (20) :

= b are geometrical properties of the section, and therefore since all

should be the same as the ultimate

(Henkel, Fig. 14) .

The last relationship, equation (25), predicts that

This is a direct result of the fact that the

tests on normally consolidated samples

tests on overconsolidated sam$les

Drained tests on overconsolidated

all cases when the sample contracts

Relation between A and overconsolidation

ratio n for Weald Clay

Paths for a drained test on normally

Paths for drained test on heavily overconsolidated

= 0, there is no correction and both paths coincide at R.

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