NOTES 395

Acknowledgements 1984. A new method of soil stabilization. Proceedings, Conference

on Polymer Grid Reinforcement. Thomas Telford, London, pp.
Miss Li would like to acknowledge financial support from a 244-249.
Queen's Graduate Dr. grate- MITCHELL,R. J. 1981. A new control system for soils testing.
fully acknowledges financial support from a Natural Sciences American Society for Testing and Materials, Special Technical
and Engineering Research Council of Canada operating grant. Publication 740, pp. 180- 190.
1986. Centrifuge model tests on backfill stability. Canadian
MERCER, K. Z., MCGOWN,A., and HYTIRIS,
F. B., ANDRAWES, N. Geotechnical Journal, 23: 34 1-345.
Can. Geotech. J. Downloaded from www.nrcresearchpress.com by University of Otago on 01/03/15

Failure state of a sand in simple shear

MUNIRAM
BUDHU
Department of Civil Engineering, State University of New York at Buffalo, Buffalo, NY 14260, U.S.A.
Received August 20, 1987
Accepted January 20, 1988

The stress state in many practical geotechnical problems is analogous to simple shear strain. However, the devices available
to test soil samples in simple shear strain impose nonuniform stress and strain fields. Consequently, the interpretation of results
from simple shear tests is often questioned. In this article, results of tests on loose and dense Leighton Buzzard sand from two
specially instrumented simple shear devices-Cambridge University's device and a Norwegian Geotechnical Institute
For personal use only.

type-are used to interpret the failure mode and the failure stress state. The data were obtained from the centre of the samples,
a region removed from stress concentrations. Failure was observed to be initiated on vertical planes and occurred very soon
after shear displacement was applied. However, neither these vertical planes nor the horizontal planes were the planes of
maximum stress obliquity mobilized during the tests.
Key words: deformation, failure, loads, sand, shear tests, simple shear, stresses.

L'Ctat des contraintes dans plusieurs problkmes pratiques de gtotechnique est analogue i la diformation en cisaillement
simple. Cependant les appareils disponibles pour tester les Cchantillons de sol en dCformation de cisaillement simple imposent
des champs de contraintes et de diformations non uniformes; en consCquence, les rCsultats d'essais de cisaillement simple sont
souvent remis en question. Dans cet article, des rCsultats d'essais sur le sable Leighton Buzzard dans des Ctats liche et dense
rCalists sur deux appareils de cisaillement simple spCcialement instrumentks, soit ceux de 1'UniversitC de Cambridge et du
Norwegian Geotechnical Institute, sont utilisCs pour interprkter le mode de rupture et 1'Ctat de contraintes de rupture. Les
donnCes sont obtenues au centre des Cchantillons, rCgion CloignCe des concentrations de contraintes. I1 a CtC observC que la
rupture s'initiait sur des plans verticaux et se produisait trks tr6t aprks que le dCplacement en cisaillement soit appliquC.
Cependant, aucun de ces plans verticaux ou horizontaux Ctaient les plans d'obliquit6 maximum mobilisCe durant les essais.
Mots clis : dCformation, rupture, charges, sable, essais de cisaillement, cisaillement simple, contraintes.
[Traduit par la revue]

Csn. Gcotech. J. 25, 395-400 (1988)

Introduction boundaries and confined laterally by a rubber membrane rein-

Simple shear strain tests-plane strain tests in which the
principal axes of stresses and strains are free to rotate-are
desirable because they closely approximate the stress-strain
states in many practical geotechnical situations. In this note
these tests will be referred to as simple shear tests.
Two basic devices have been constructed to supposedly
apply simple shear to soil samples. One, intended for research
and continuously developed at Cambridge University (see, for
example, Budhu 1984; Roscoe 1953), tests a cuboidal sample
between rigid boundaries. The initial cuboidal sample is trans-
formed into a parallelepiped through the rotation of two hinged
end flaps resulting from horizontally displacing the bottom of
the device relative to the horizontally fixed upper portion
(Fig. la). The other, developed at the Norwegian Geotech-
nical Institute (Bjermm and Landva 1966) for practical pur-
poses, tests a cylindrical sample between rigid top and bottom
Prinlcd in Canada 1 IrnprimC au Canada
forced by a helical binding of wire (Fig. lb).
Neither of these devices can impose on the sample, as a
major problem is that shear stresses T,, -
whole, the stresses consistent with simple shear (Fig. 2). The
0 (the vertical sides
of the devices are smooth) and thus the normal stresses as well
as the shear stresses are not uniformly distributed on the
boundaries of the sample. Elastic and elastoplastic analyses
(Budhu and Britto 1987; Shen et al. 1978; Prevost and Hoeg
1976; Lucks et al. 1972; Roscoe 1953) show that the mid-
region of the sample in these devices, however, will be under
uniform stress and strain fields.
Even if one comes to terms with the nonuniformities and
measures the relevant stresses and strains in the sample core
(Fig. 2), there is still the provocative question as to how to
interpret the desirable failure stresses or failure state. The pur-
pose of this note is to present results of tests on a sand, in two
 CAN. GEOTECH. J . VOL. 25,
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I
rubber membrane
FIG. 1. Schematic of simple shear devices: (a) Cambridge Univer-
sity device; (b) Norwegian Geotechnical Institute type.
instrumented simple shear devices, to evaluate the failure
For personal use only.
mode and the failure stress state.
Failure mode and failure states for simple shear
Conventionally, one of two approaches is used to determine
the failure state in simple shear. The first and the more popular
one is the assumption that the horizontal planes are planes of
maximum stress obliquity (Fig. 3a). The second approach is to
assume that the horizontal planes are planes of maximum shear
stress (Fig. 36).
de Josselin de Jong (197 1) proposed another approach which
was not seriously considered except recently by Wroth (1984).
de Josselin de Jong (1971) proposed that failure in simple shear
could occur either by sliding on horizontal planes or sliding in
conjunction with rotations on vertical planes. But, if the
boundary conditions are such that both modes of failure are
equally possible, the sample will choose the one with the least
resistance, the latter mode. The stress state corresponding to de
Josselin de Jong's (1971) proposal is shown in Fig. 3c.
de Josselin de Jong's hypothesis relates the maximum stress
obliquity not to the horizontal planes as assumed in the other
approaches but to the vertical planes. Airey et al. (1985)
pointed out that de Josselin de Jong's hypothesis is feasible
only if rupture occurs along the zero extension direction,
which must be the planes of maximum stress obliquity.
Wroth (1984) brilliantly elucidated de Josselin de Jong's
hypothesis in his interpretation of the failure of normally con-
solidated Boston Blue clay tested in Norwegian Geotechnical
Institute (NGI) device (Ladd Edgers 1972). Using a single
undrained test on normally consolidated kaolin conducted by
Borin (1973) in the Cambrige University device, he showed
that failure occurs as proposed by de Josselin de Jong-the ver-
tical planes are the planes of maximum stress obliquity. He
suggested that failure in frictional material should be associ-
ated with conditions of maximum shear stress ratio (shear
stress normalized with respect to the normal stress).
A comparison of these various failure modes for soils
requires a knowledge of not only the stresses on the horizontal
1988
sample core
/
02
FIG.2. Stress for ideal simple shear.
planes but also those on the vertical planes. This information,
with the exception of Borin's tests (1973) on normally consoli-
dated kaolin, is available for sands tested in the Cambridge
University device. However, de Josselin de Jong's hypothesis
was not used in interpreting the failure condition for sands. In
this note results of tests on a sand in two elaborately instru-
mented simple shear devices will be used to investigate de
Josselin de Jong's hypothesis as well as the other failure
modes.
Apparatus and tests
The Cambridge University's simple shear device (referred to
here as RSSA) and a specially instrumented NGI type (referred
to here as CSSA) with load cells on the top and bottom bound-
aries were used to test similarly prepared samples of loose
-
(relative density 7 %) and dense (relative density - 95 %)
14/25 Leighton Buzzard sand (average grain size 1.0 mm).
Both devices as well as the method of sample preparation have
been described by Budhu (1984).
In tests using the RSSA, the complete stress state of the
sample, in particular, the sample core (see Fig. 2), as deter-
mined from data recorded from the load cells. The results
reported in this note are for the sample core only. In tests using
the CSSA, only the normal and shear stresses on the top and
bottom boundaries could be measured. The rubber membrane
enclosing the sample in the CSSA was reinforced with resis-
tance wire and used as a strain gauge over the middle third of
the height of the sample. However, the radial stresses mea-
sured, when compared with similar tests in the RSSA, were
neither equal to u., nor u2 (Budhu 1985). Accordingly, they
could not be used in determining the stress state of the
samples.
It was found from a series of tests on 14/25 Leighton Buz-
zard sand in the Cambridge University device that the inclina-
tion of the principal axes of stress ($) is directly proportional to
the shear stress ratio (7?,/uy) on the horizontal planes. On this
basis, Wood et al. (1979) showed that
where k is a constant. For this Leighton Buzzard sand, k was
found experimentally to be 0.67. Equation [ l ] was used to cal-
culate the horizontal stress ratio U . ~ / U ~on the sample core for
the CSSA. In the case of the RSSA, measured values will be
reported.
Radiographic studies were also conducted to determine the
internal strains and to detect rupture zones. These have been
published elsewhere (Budhu 1984). The tests reported here are
 NOTES
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t (01 4 (b)

FIG. 3. Mohr's circles for various assumed failure modes.

horizontal plane
For personal use only.

CML
(a

FIG.4. Variation of shear stress ratio with shear strain in the RSSA FIG. 5. Variation of shear stress ratio with shear strain in the CSSA
for (a) loose sand; (b) dense sand. for (a) loose sand; (b)dense sand.

all constant load tests-applied vertical stress 98.1 kPa-on
dry sand (drained condition).
Stress- strain behavior
The following notation scheme is used to avoid confusion in
distinguishing between the tests in the two devices: R, Cam-
bridge device; C, circular (NGI type) device; M, monotonic
load; D, dense; L, loose. Figures 4 and 5 show the variation of
shear stress ratios T,,/Q, and T ~ ~ / on
o , the sample core of the
two devices with shear strain y. The stresses for the tests in the
RSSA were computed by the method proposed by Wood et al.
(1979). But for the CSSA, the average values on the top and
bottom boundaries of the sample core were used for loose sand
and only the values on the top boundary were used for dense
sand. This latter preference is deliberate and will be discussed
later.
The shear stress ratios on the vertical planes in the tests in
the RSSA quickly rose to a maximum value of about 0.71
(4 = 35.0") at a shear strain of 1 and 2.5 % for dense and loose
sand respectively and then subsequently decrease. The shear
 398 CAN. GEOTECH. J. VOL. 25. 1988

r,upture zone

rupture zone
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FIG. 6. Sketches of radiograph for ( a ) test RMD; (b) test CMD.

stress ratios on the horizontal ~ l a n e s ,which are the conven-

tional measurements, rose to ahaximum value of about 0.95
(4p= 4.4" where the subscript p denotes peak) at a shear strain
of 18% for the dense sand and to a value of 0.71 at a shear
strain of about 21 % for the loose sand. All angles are rounded
off to the nearest whole number. A similar trend in behavior
with respect to the shear stress ratios on the vertical and hori-
zontal planes is displayed from the results of tests in the CSSA
(Fig. 5).
Cole (1967) reported that for 14/25 Leighton Buzzard sand
the angle of friction at the critical state-a stress state at which
neither a change in volume nor stresses occurs under further
shearing (Schofield and Wroth 1968)-is 35". This agrees with
For personal use only.

the maximum angle of friction mobilized on the vertical

planes. It seems that an advantage of knowing the stresses on
the vertical planes is that the angle of friction that will be mobi-
lized at the critical state can be obtained without shearing the
samples to the large levels of strain that are often required.
Test RMD did not show the peak shear stress ratio character-
istic of dense sand. The reason was that, just after maximum
shear stress ratio on the horizontal planes was attained, rupture
was detected on the radiographs and this zone becomes fully
developed at about 20% shear strain. Figure 6a shows this rup-
ture zone as traced from the original radiograph. In the RSSA,
only the middle one-third of the sample is visible to X-rays and
thus it is uncertain whether this zone is approximately horizon-
tal or is oriented at about 15" to the horizontal (Fig. 60). The
blocks of sand above and below the rupture zone behave like
rigid bodies, all changes in stresses and strains being predomi-
nant in the rupture zone with little change in the boundary-
measured shear stress ratio. The boundary measurements will
not, therefore, be an accurate representation of the behavior of
dense sand once rupture has developed. In test CMD, a rupture
zone was also observed but this occurred principally on the top
boundary dipping towards the lower right hand comer of
sample. Figure 6b shows a trace of the radiograph for this test
in which the whole sample was visible to X-rays. The angle to
the horizontal planes of the longest slope is about 14". The
stresses recorded by the load cell at the top boundary of the
sample core are likely to be a fair representation of stresses in
the rupture zone and it is for this reason that these stresses are
presented for the tests in the CSSA rather than the average
stresses for the sample core. No rupture zone was detected in
any of the tests on loose sand.
Mohr's circle of stress
Figures 7 and 8 show the Mohr's circles of stress for four
stages of the tests: I, initial KO consolidation; 11, when the
maximum shear stress ratio on the vertical planes was
FIG. 7. Mohr's circles for ( a ) test RML; (b) test CML.
achieved; 111, when the maximum shear stress ratio on the hor-
izontal planes was achieved; IV, at end of test.
All simple shear tests start with the samples being one-
dimensionally consolidated as they would be in the field and
this initial state for test RML is represented by a Mohr's circle
I of diameter AB in Fig. 7a. At the instant of applying the
shear displacement the diameter AB of the initial Mohr's circle
rapidly expands to AC with a very small amount of rotation of
the principal axis of stress, which was initially vertical. With
further shear displacement AC rotates, moves slowly to the
right with A constrained by the test condition (constant vertical
load) to move vertically upwards. The stress path traced by the
stresses on the vertical planes (ux/uy, rXy/uy) is shown as
BCDFEF in Fig. 7a. For clarity, only a few experimental
points are shown.
At stage D, the maximum shear stress ratio on the vertical
planes is achieved. This occurs at a very early stage of the test.
The principal axis of stress is inclined, at this stage, at 28" to
the vertical. The minor principal stress ratio uj/uy reached a
value of 0.33 at the commencement of shearing and remained
at this value throughout the test. This virtually fixes another
stress state point on all subsequent Mohr's circles. During fur-
ther shear displacement, the Mohr's circle expands, rotates,
and continues to move to the right. At the end of the test and
also when the maximum shear stress ratio on the horizontal
planes was achieved, the inclinations of the principal axis of
stress were 45 and 47" to the vertical planes respectively.
Similar results were obtained from test CML (Fig. 7b) where
the end of the test represented by Mohr circle IV was taken at a
 NOTES
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For personal use only.
FIG.8. Mohr's circles for ( a ) test RMD; (b)test CMD.
shear strain of 60%. The value of KO used in this test was
obtained from the RSSA, since it was observed that the CSSA
gives lower KO values as a result of its less rigid lateral bound-
ary (Budhu 1985).
When $ = 7~14,in the case of dense sand (Figs. 8a, 8b), a
distinct change of slope of the stress path for the stresses on the
vertical planes occurs: a, becomes greater than a,. At E, the
peak angle of friction +p = 44" was mobilized, at which stage
$ = 55". Further shear deformation beyond E causes the
Mohr's circle to shrink, the principal axis of stress to rotate
counterclockwise to the vertical, and the stress path of the
stresses on the vertical planes to move back along EF and pro-
ceed no further backwards than E (Fig. 8b).
Discussion
One of the features of simple shear tests, but not of, say, tri-
axial tests, is that the stress state rotates, enabling the shear
stress ratio to be greater on some planes than on others. Thus,
the maximum shear stress ratio may not be reached on all
planes at the same time as that of the planes of maximum stress
obliquity. Failure will be initiated on those planes that by
virtue of their orientation reach their maximum shear stress
ratio first. These planes are the weakest planes in the material.
The results presented here indicate that the vertical planes are
the weakest, mobilizing the minimum of the maximum shear
stress ratio on all possible failure planes. At this particular
stage of the test, the vertical planes are the planes of maximum
stress obliquity and on which the principal axis of stress is
(a ) Ideal s~mpleshear
expansion contraction
( b ) Nonideal simple shear
FIG.9. ( a )Ideal simple shear deformation; (b) constant load simple
shear deformation.
-
inclined at 7r/4 - 412 28". However, neither the horizontal
nor the vertical planes are the planes of maximum stress obliq-
uity that the material manages to mobilize during the tests
(Figs. 7 and 8).
Wroth (1984) in his elegant interpretation of the behavior of
normally consolidated clays in simple shear devices assumed
(because of the lack of data) that after maximum shear stress
ratio is achieved on the vertical planes, the lateral stresses a, do
not change, so that the planes of maximum stress obliquity
remained vertical. Data from tests on sands (for example,
Budhu 1984) show that a, increases rapidly during the tests and
especially at the early stages. The increase in lateral stresses is
necessary to ensure that the maximum shear stress ratio on the
vertical planes is not exceeded as a result of greater mobiliza-
tion of shear stresses on the complementary horizontal planes.
The planes of maximum stress obliquity are oriented at
+
angles 0, = 7r/4 + +,I2 + $ and O2 = 7r/4 +,I2 - $ (4, is
the angle of friction on the planes of maximum stress obliq-
uity) to the horizontal of planes on which the maximum shear
stress occurred. Similar findings were reported by Airey et al.
(1985) for tests on clays in which the orientations of the rup-
ture planes were measured. For 4, = 49" (obtained from the
experiments, Fig. 8) and $ = 55", e2 = 14.S0, which agrees
satisfactorily with the inclinations of the rupture planes to the
horizontal deduced from the experiment (Fig. 6); If the hori-
zontal planes were planes of maximum stress obliquity then $
should be 7r/4 - 412 to the vertical. This value of $ was never
reached in any of the simple shear tests on sand in the RSSA.
There is an important difference between the tests reported
here and an ideal simple shear test (the kind de Josselin de
Jong's hypothesis is based on). An ideal simple shear test is
one in which the volume of the material remains constant
during the shear deformation (Fig. 9a). But, since geotechnical
engineers wish to know the volume change that accompanies
shear deformation, simple shear tests on dry sands, in particu-
lar, are performed by allowing the material freedom to move
vertically (Fig. 9b) under a constant applied vertical load.
Consequently, the kinematics of ideal simple shear and the
tests reported here are different. de Josselin de Jong's hypoth-
esis, therefore, cannot be expected to be fully satisfied.
Evaluation of 4 and $ from tests in routine devices
In routine simple shear devices, only the stresses on the hori-
zontal planes are known. It is possible to compute the angle of
friction mobilized on the vertical planes (which, at least for
 400 CAN. GEOTECH. J. VOL. 25, 1988

principal axis of stress from the shear stress ratio on the hori-
zontal planes.

AIREY,A,, BUDHU,M., and WOOD,D. M. 1985. The behavior of

soils in simple shear. In Developments in soil mechanics and foun-
dation engineering. Vol. 2. Edited by P. K. Banerjee and R. Butter-
field. Applied Science Publishers, London, United Kingdom,
pp. 185-213.
BJERRUM, L., and LANDVA, A. 1966. Direct simple-shear tests on a
Norwegian quick clay. GCotechnique, 16: 1 -20.
BORIN,D. L. 1973. The behavior of saturated kaolin in the simple
shear apparatus. Ph.D. thesis, Cambridge University, Cambridge,
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United Kingdom.
BUDHU,M. 1984. Nonuniformities imposed by simple shear appar-
atus. Canadian Geotechnical Journal, 21: 125- 137.
1985. Lateral stresses observed in two simple shear appar-
atus. ASCE Journal of Geotechnical Engineering, 111: 698 -71 1.
BUDHU,M., and BRITTO,A. M. 1987. Numerical analysis of soils in
simple shear devices. Soils and Foundations, 27(2): 33-46.
COLE,E. R. L. 1967. The behavior of soils in the simple shear appar-
atus. Ph.D. thesis, Cambridge University, Cambridge, United
Kingdom.
DE JOSSELIN DE JONG,G. 1971. Discussion Session 2. Stress-strain
behavior of soils. In Proceedings, Roscoe Memorial Symposium.
Edited by R. H. G. Parry, G. T. Foulis, and Co., Henley-on-
Thames, United Kingdom, pp. 258 -261.
F~~ 10, ~ ~ of ~
f of rotation
f principal
~ ares on the stress ratio for LADD,C. C., and E ~ ~ RL Si 9, 7 2 Consolidated-undrained direct-
different effective angles of friction. simple shear tests on saturated clays. MIT Research Report
For personal use only.

R72-82. Massachusetts Institute of Technolow. ",, Boston. MA.

LUCKS,A. S., CHRISTIAN, J. T., BRANDOW, G. E., and HOEG,K.
I
1972. Stress conditions in NGI simple shear test. ASCE Journal of
these tests, corresponds to the angle of friction at the critical
the Soil Mechanics and Foundations Division, 98(SM1): 155 - 160.
from the shear ratio On the PREVOST, J. H., and HOEG,K. 1976. Reanalysis of simple shear soil
planes. From the Mohr's circles of stress (Figs. 7 and 8), testing.
', Canadian Geotechnical Journal. 13: 41 8 -429.
[2] tan 4 = sin 4, ROSCOE,K. H. 1953. An apparatus for the application of simple shear
to soil samples. Proceedings, 3rd International Conference on Soil
Wood et al. (1979) showed that -
Mechanics and Foundation Engineering, - Zurich, Vol. 1, pp. --
186-191.
. . SCHOFIELD. A. N.. and WROTH. C. P. 1968. Critical state soil
mechanids. MCG~W- ill, on don, United Kingdom.
At critical state, rl/ = ~ 1 and
4 r,,/a, = tan 4 . Hence,
SHEN,C. K., SADIGH, K., and HERRMANN, L. R. 1978. An analysis
[4] k = t a n + of the NGI simple shear apparatus for cyclic soil testing. American
Society for Testing and Materials, Special Technical Publication
Substituting [4] in [3], we obtain 654, pp. 146- 162.
WOOD,D. M., DRESCHER, A., and BUDHU,M. 1979. On the deter-
[5] ~,,/a,= tan 4 tan rl/ mination of the stress state in the simple shear apparatus. Geotech-
Figure 10 shows predictions of the effect of rotation of prin- nical Testing Journal, 2(4): 21 1-221.
cipal stress directions on the stress ratio on the horizontal WROTH,C. P. 1984. The interpretation of in situ soil tests. GCotech-
nique, 34: 449-489.
planes for various effective angles of friction using [ 5 ] . The
failure stress ratios and the peak stress ratios that could be
mobilized by the given sand are also marked in this figure. List of symbols
Conclusion Y shear strain
6 inclination of the principal stress to the vertical
The behavior of soils in simple shear is rather complex. Con- horizontal and vertical normal stresses respectively
sequently, test results require careful interpretation to evaluate a,, a,
T~.~ rXy
, shear stresses on horizontal and vertical planes
the failure stress state and the modes of failure. An examina-
respectively
tion of the data from carefully conducted drained tests on a
sand in two different devices reveals that failure is initiated on 4 effective angle of friction
the vertical planes but neither these planes nor the horizontal el, O2 inclinations of the planes of maximum stress obliq-
uity to the horizontal of planes on which the maxi-
planes are the planes of maximum stress obliquity. An expres-
mum shear stress occurs
sion has been proposed in this paper to compute the angle of
friction mobilized on the vertical planes and the rotations of the Subscripts p and m denote peak and maximum stress obliquity