Gudehus, G. & Nübel, K. (2004). Géotechnique 54, No.
3, 187–201
Evolution of shear bands in sand
G . G U D E H U S * a n d K . N Ü B E L †
Localisation of deformation in narrow shear bands is a
fundamental phenomenon of granular material behav-
iour. When modelling granular materials, shear localisa-
tion has therefore to be considered. The model must
include an adequate constitutive law with an intrinsic
length determining the thickness of the localised shear
zones, and a representation of microscopic inhomogene-
ities triggering shear localisation. In the framework of a
Cosserat continuum the behaviour of non-cemented gran-
ular material can be described by a hypoplastic law
including the evolution of non-symmetric stresses and
couple stresses. Void ratio fluctuations are introduced by
a physically justified probability density function. The
assumption is that fluctuations are minimal in the densest
state, and maximal in the critical state. It is shown that
shear bands can evolve spontaneously in the interior of a
granular body even under homogeneous stress or displa-
cement boundary conditions. Experimental verifications
are given. Numerical results are compared with labora-
tory tests performed with a Cornforth and a Hambly-
type biaxial apparatus. Shear localisation in the experi-
ment is visualised by means of an optical method called
particle image velocimetry. Further numerical results are
compared with experimental results taken from publica-
tions.
KEYWORDS: deformation; earth pressure; friction; limit state
design/analysis; numerical modelling and analysis; shear
strength
INTRODUCTION
The notion of slip surface, shear band or narrow shear zone
was introduced by Coulomb (1773). Rankine (1856) pre-
sumed a static limit condition to hold in a sand body with a
free plane surface. Sokolovsky (1942) extended this theory,
using slip lines as characteristics. Without using Coulomb’s
extremum principle, his resulting earth pressure Ea have
been formally obtained. It has not been proven, however,
why and under what conditions slip lines can occur. Darwin
(1883) made an important contribution that has remained
scarcely noticed until now. By means of model tests with
fine dry sand and a wall rotating around its foot, he found
(taking the slope angle for j) that none of the theories of
his time suited his observations. The procedure of filling had
a strong influence on Ea , which he called the historical
effect, following the advice of C. Maxwell.
Roscoe (1970) clarified several features of shear localisa-
tion in sand by means of innovative experiments. He showed
that void ratio, shear deformation and mobilised friction
angle, jm , increase together in zones of approx. 10–20
Manuscript received 29 July 2002; revised manuscript accepted 20
October 2003.
Discussion on this paper closes 1 October 2004, for further details
see p. ii.
* Institute of Soil and Rock Mechanics, University of Karlsruhe,
Germany.
† Ed. Züblin AG, Stuttgart, Germany.
187
La localisation de déformation dans des bandes de cisail-
lement étroites est un phénomène fondamental du com-
portement des matières granulaires. Pour la modélisation
des matières granulaires, la localisation du cisaillement
doit donc être prise en compte. Le modèle doit inclure
une loi constitutive adéquate avec une longueur intrinsè-
que déterminant l’épaisseur des zones de cisaillement
localisées ; il doit aussi inclure une représentation des
inhomogénéités microscopiques déclenchant une localisa-
tion de cisaillement. Dans le cadre de travail d’un con-
tinuum de Cosserat, le comportement d’une matière
granulaire non cimentée peut être décrit par une loi
hypoplastique incluant l’évolution des contraintes non
symétriques et des contraintes couplées. Des fluctuations
du taux de pore sont introduites par une fonction de
densité de probabilité justifiée sur le plan physique. Nous
supposons que les fluctuations sont minimes dans l’état le
plus dense et maximales dans l’état critique. Nous mon-
trons que les bandes de cisaillement peuvent évoluer
spontanément à l’intérieur d’un corps granulaire même
sous une contrainte homogène ou des conditions limites
de déplacement. Nous fournissons les vérifications expéri-
mentales. Nous comparons les résultats numériques avec
les essais de laboratoire réalisés avec un appareil biaxial
Conrford et de type Hambly. La localisation de cisaille-
ment dans l’expérience est visualisée au moyen d’une
méthode optique appelée vélocimétrie d’image de parti-
cule. D’autres résultats numériques sont comparés avec
les résultats expérimentaux publiés.
grains’ thickness. He found that the evolution of shear bands
did not lead to slip lines with constant jm as usually
presumed. Moreover, he initiated attempts to obtain limit
states by numerical calculations of deformation fields. As
such problems turned out to be mathematically ill-posed,
various methods of regularisation have been proposed, in-
cluding polar quantities.
The evolution of shear bands was first numerically calcu-
lated with a Cosserat extension by Mühlhaus (1987), and
then by Tejchman (1989), using elastoplasticity. Parallel to
further work along this line, Huang (2000), Tejchman &
Gudehus (2001), Huang & Bauer (2002) and Huang et al.
(2002) improved hypoplastic constitutive relations and car-
ried out systematic studies.
The present paper contains a selection from the thesis
by Nübel (2002), and consequences drawn by both authors.
The constitutive relation is briefly outlined with an as-
sumed shearing along a rough boundary. Fluctuations of
void ratio are then introduced, together with their reduc-
tion by compression or cyclic shearing. The first example
with shear banding is a slender biaxial sample. Stretching
of more compact rectangles leads to several dominating
bands. This is shown for a biaxial sample and a strip with
free surface. Cases of active and passive earth pressure are
presented in the next section, followed by two further
cases: vertical punching of a strip, and the active and
passive trapdoor problem. In all cases theoretical and
experimental results are strikingly similar. Finally, conclu-
sions are outlined.
188 GUDEHUS AND NÜBEL
BOUNDARY LAYER AND CONSTITUTIVE RELATIONS
Consider shearing of dry sand along a rough, plane and
rigid boundary (Fig. 1). The tangential displacement, u (Fig.
1(a)), may be linearly distributed outside a boundary layer
of thickness db, and may start at the boundary with u ¼ 0
and @u/@z ¼ 0 for z ¼ 0. The average rotation, ø (Fig.
1(b)), is constant outside the boundary layer, and tends to
zero at the boundary. There is a couple stress, M, in the
boundary layer (Fig. 1(c)), and also a non-symmetric portion
of shear stress,
xz

zx (Fig. 1(d)). Balance of angular
momentum requires @M/@z ¼
xz

zx . The angle of
shearing, ª ¼ @u/@z, is plotted in Fig. 1(e). There is a
curvature, k ¼ @ø/@z, inside the boundary layer (Fig. 1(f)).
Volume changes are excluded. Shear and normal stress
(abbreviated
¼
xz ,  ¼ zz ) are the same on wall-parallel
planes for equilibrium (Fig. 1(g)). The other stress compo-
nents (xx and  yy ) are not plotted. All quantities are
presumed to be constant along the x-axis.
The polar quantities may be imagined as those in a
clamped beam, as in Fig. 1(g). M is like the bending
moment; the non-symmetric shear stress,
xz

zx , corre-
sponds to the horizontal internal shear force. The curvature,
k, is related to the local rotation, ø, by k ¼ @ø/@z as for a
beam. Outside the boundary layer with polar quantities ø ¼
ª holds as usual. Explanations of polar quantities for two
dimensions are given by Mühlhaus (1987) and Tejchman
(2001), for example.
Figure 2 shows the evolution of states for the kinematics
of Fig. 1(a,b,e,f) with constant strain rate. The sand is
assumed to be rate-independent, so that stress paths can be
labelled only by order and not by real time. The initial state
may be isotropic with pressure p and void ratio e. Consider
first the zone z > db without polar effects. Typical stress
paths as calculated with the hypoplastic law tend to critical
states with
j
j ¼  tan jc (1)
(see Fig. 2(a)). The mean pressure p ¼
(xx +  yy + zz )/3
tends to that for e ¼ ec as sketched in Fig. 2(b). The critical
void ratio ec decreases with p/hs via
z z
db db
0 u 0 ω
(a) (b)
z z
db db
0 γ 0 κ
(e) (f)
Fig. 1. Variables in a sheared strip
"
 #
3p n
ec ¼ ec0 exp
(2)
hs
wherein the granulate hardness, hs , is used for scaling p.
There are upper and lower bounds of possible void ratios, ei
and ed , which decrease with p/hs as ec . The position of e in
the e–ln p plot can be described by the pressure-dependent
density index, Id ¼ (ec
e)/(ec
ed ).
Figure 2(a) and (b) may be compared with critical state
soil mechanics (CSSM; Schofield & Wroth, 1968). CSSM
presumes


p
ec ¼ ecr
º ln (3)
pr
for critical void ratios with reference values ecr and pr and a
slope º. The reference stress hs in equation (2) is objective,
whereas pr is subjective. The asymptotes of equation (2) for
p ! 0 and p ! 1 are physically reasonable, whereas
equation (3) holds only for a certain range of p. The upper
and lower bounds, ei and ed , decrease with p by equation (2)
with factors ei0 and ed0 instead of ec0 . The slope º ¼
de/
d ln(p/pr ) is not the same therefore as presumed in CSSM.
As in CSSM, ei can be related with an isotropic compres-
sion of a loose skeleton. e . ei would be possible only with
macropores. The lower bound of plasticity is not specified in
CSSM, whereas e , ei in hypoplasticity would mean crack-
ing due to shearing, as in dry masonry.
The hypoplastic constitutive relation describes the evolu-
tion of effective stress components with the evolution of
strain components by a set of differential equations. Critical
states can be reached asymptotically by monotonic shearing.
The stress component ratio tends to be constant by equation
(1), and correspondingly for cylindrical deformations, as in
CSSM. Thus the determination of jc is easy. For shearing
with constant e the mean pressure, p, decreases (A, Fig.
2(b)) or increases (B) if e . ec or e , ec respectively holds
initially. For shearing with constant  or p, the void ratio
decreases (C) or increases (D) if e . ec or e , ec
z z
db db
0 M 0 τxz ⫺ τxz
(c) (d)
τ
x
(g)
 EVOLUTION OF SHEAR BANDS IN SAND 189
c
τ M
B c

D
E
B
A C

ϕ A
0 σ 0 τ ⫺ τzx
(a) (c)

e db
A dg
C
D
ei
B ec
ed

0 ln ( p/hs) 0 Id
1
(b) (d)

Fig. 2. Evolution of: (a) stress component; (b) void ratio and pressure; (c) polar
stresses; (d) boundary layer thickness (mean grain size d g )

respectively holds initially. The initial contraction for e , ec
is dropped in Fig. 2(b) for simplicity. The peak of
/ for
this case (D) is indicated in Fig. 2(a); it is related to shear
localisation as outlined further below. The cases A, B, C and
D are qualitatively the same as in CSSM.
For an oedometric compression e tends to ep by equation
(2) with ep0 instead of ec0 , with ec0 , ep0 , ei0 . If e is
close to ep at the beginning, the asymptote ep is approached
in the usual range of p. As shown in Fig. 4(a) this requires a
loose initial packing. Such curves can be used for determin-
ing hs and n in equation (2). For hard minerals hs exceeds
1 GPa; then the turning point p ¼ hs /3 of e against ln p by
equation (2) is far above the usual p-range. n ranges from
about 0.2 for angular to 0.3 for round grains.

1 Id 0

Id ⫽ 0·5

0·2

ed ec ei e

(a) (b)

Fig. 3. The density index, Id , scatters randomly (a) with a number distribution (b)
depending on the average I d

0·16
ep
0·80 Loose 0·004
Loose Shear components

Mean
sσ
se
e

normal comp.
Dense Dense
Dense Loose

0·50 0 0
10 100 1000 0 2 4 6 0 2 4 6
p: kPa ε 1: % ε 1: %
(a) (b) (c)

Fig. 4. Evolution of (a) void ratio, e, (b) void ratio fluctuations, s e , and (c) stress fluctuations, só , with oedometric compression
190 GUDEHUS AND NÜBEL
The lower bound ed of e is approached by cyclic shearing
with constant pressure, as shown for example in Fig. 5(b).
ed0 for p ¼ 0 is close to the conventional emin for hard
grains, and ec0 is then close to emax . These and further rules
for determining the hypoplastic parameters are given by
Herle & Gudehus (1999). An exponent  in the range 1 , 
, 2 is needed for modelling compression. More important
is an exponent Æ in the range 0.1 , Æ , 0.3. Together with
jc and the density index Id , Æ determines the peak friction
angle, jp . As the actual jp depends on shear localisation, a
precise determination of Æ requires a more detailed analysis,
as the one in the section ‘Slender biaxial samples’ below.
Abrasion and fragmentation of grains may be neglected for
p/hs , approx. 10
3 .
Consider now the evolution of polar stresses (Fig. 2) in
the boundary layer. With distributions like those in Fig. 1,
the rates ª_ and k_ of shear strain and curvature are assumed
to be stationary. Starting from arbitrary small quantities, the
polar stresses tend to critical values with a ratio determined
by k_ =ª_ . The non-polar stress paths are close to those of Fig.
2(a), and the magnitude of the polar quantities depends on
e ¼ ec as p in Fig. 2. Equation (1) is replaced by the more
general friction condition (Huang et al., 2002)

2  2

M= d g þm[ð


zx Þ2 =]
þ ¼1 (4)
 tan jc c2p
where dg is a representative grain size, for example d50 from
the grain size distribution. This is a characteristic length of
the material. m is a constant, with order of magnitude 1,
which can be calculated from the constitutive relation. The
polar friction coefficient, cp , increases with the angularity of
the grains. Imagine a single grain in the interior of a grain
skeleton rotated from outside. The resisting moment will
tend to a limit that increases with angularity and with
density.
The hypoplastic constitutive relation with polar quantities
is formulated in such a way that the desired asymptotes are
obtained as attractors of solutions. The asymptote in equa-
tion (4) is approached by pure shearing with curvature (Fig.
2(c)). The asymptote by equation (1) is approached by pure
shearing without curvature; the polar stresses then tend to
zero. The latter property ensures that the non-polar hypo-
plastic relation is included consistently and suffices outside
shear bands. The analysis of experiments with shear localisa-
tion has shown that a good fit is obtained with the only
additional parameter, cp , in the range from 0.5 to 3 for
rounded to angular grains and m ¼ 1.
σ1
(b)
ε1
0·80
ε2
0·70
e
(a)
(d)
0·60
ed
0·50
⫺2
ε 1: %
Fig. 5. Evolution of void ratio, e, and its fluctuation, s e , under constant pressure and alternating lateral strain (a); (b, c)
initially loose specimen; (d, e) initially dense specimen
Shearing along a plane rough boundary has been analysed
numerically (Tejchman & Gudehus, 2001; Huang & Bauer,
2002; Huang et al., 2002) with different initial and boundary
conditions. As might be expected, the thickness, db, of the
boundary layer with polar stresses is a multiple of dg : for
example, db /dg  5 for rounded grains. db /dg increases
nearly in proportion to cp , which can be used to estimate cp .
For a given cp , db /dg increases if the initial density index,
Id , decreases (Fig. 2(d)). db /dg is lowest for densest states
(Id ¼ 1) and explodes for Id ! 0. This means that shear
banding can occur only if the void ratio at the onset is lower
than critical.
FLUCTUATIONS AND THEIR DECREASE
For solving boundary value problems with hypoplasticity,
an initial state field must be given with void ratio e and
stress components. It is helpful for the analysis of shear
banding to start with fluctuating e-fields. Stress fluctuations
can be generated as shown below.
Figure 3(a) shows a rectangle subdivided into rectangular
elements with a randomly distributed density index, Id . The
range of e is subdivided into 100 steps. The numbers, N, of
cells for each step are replaced in Fig. 3(b) by continuous
curves. These number distributions are taken over from
Shahinpoor (1981).They are exponential, with a cut-off at ed
and a decay towards ei above ec . In accordance with
observations, the scattering increases with decreasing aver-
age density index, I d . The spatial distribution also depends
on the element size, but this lack of objectivity had no
influence on our results, as was found by comparative
calculations. The size of the smallest cell is about three
grain sizes, and there is a fractal distribution of fluctuation
lengths.
Figure 4 shows the evolution of void ratios and fluctua-
tions calculated for an oedometric compression (the average
axial shortening, 1 , increases from 1 ¼ 0). The initial state
is isotropic with p ¼ 78 kPa and loose or dense with a
distribution of e as in Fig. 3(b). For loose sand, the spatial
average, e, of e approaches ep for proportional compression
described by equation (1) with ep0 instead of ec0 , whereas
the ep line is not approached for dense sand (Fig. 4(a)). The
scattering, s e , of e decreases with compression, more for
loose than for dense sand (Fig. 4 (b)). This is due to the
common asymptote s e ! 0 for p ! 1 (which cannot be
reached): the higher s e is (and the lower Id therefore, cf. Fig.
3(b)), the stronger is its decrease by compaction.
Figure 4(c) shows the calculated evolution of stress fluc-
0·16
(c)
se
0·08
(e)
0
0 2 ⫺2 0 2
ε 1: %
 EVOLUTION OF SHEAR BANDS IN SAND 191
tuations s . Assuming zero at the beginning, high values are
generated with a small strain. This is typical for an assembly
of hard grains enclosed by rigid moving boundaries. The
deviatoric stress fluctuation is bigger for loose sand, and is
suppressed only by very high pressures. The normal stress A
fluctuation is smaller and less regular, and is also reduced
with increasing pressure.
This can be related to so-called stress chains in granular
assemblies (Behringer & Miller, 1997; Behringer et al.,
2001). They are more marked for loose than for dense
skeletons: the larger the fluctuations of void ratio, the larger
therefore are the fluctuations of stress. The stress deviator
fluctuates more than the mean normal stress, as the latter is
an average over all directions. The stress fluctuations tend to
zero for p ! 1. s decreases more rapidly by compression
if it is higher. The hypothetical limit e ! 0 for p ! 1 B
under compression is thus an attractor for void ratio and
stress fluctuations: both tend to zero.
Starting with the same initial states as for Fig. 4, void
ratios are far more reduced by cyclic lateral strains, 2 ,
under constant pressure. This is shown in Fig. 5 for 1 ¼
78 kPa and mean 2 up to 2%. The mean vertical strain
(Fig. 5(a)) is alternating with a cumulative increase. Initial
fluctuations of e are taken similarly as in Fig. 3(b) with Id ¼
0 and Id ¼ 0.9. The evolution of mean void ratio, e, and
scattering, s e , is plotted in Fig. 5(b) and (c) for the loose
initial state, and in Fig. 5(d) and (e) for the dense state. C
Independently of the initial state, e tends to ed depending on
p by equation (1) with ed0 instead of ec0 . The scattering
tends to zero for e ! ed in accordance with Fig. 3(b). More
cycles are needed for the approach with higher initial void
ratio and with smaller strain amplitudes. (a) (b) (c) (d)
The state of maximum cyclic densification is thus an
attractor, with implied zero density fluctuation. The lower Fig. 6. Calculated evolution of shape and state during biaxial
bound, ed , in the e–ln p plot (Fig. 2(b)) is a kind of phase compression: (a) deformed mesh; (b) density index, Id ; (c)
:
volume strain rate, v; (d) mean couple stress, M
limit. For e , ed the granular skeleton would behave like
dry masonry with uniaxial strength and cracking by shear-
ing. 7 for the overall average and for the interior of the govern-
ing shear band.
Just before the 1 – 2 peak (A) volumetric strain rate,
SLENDER BIAXIAL SAMPLES _ 1 þ _ 2 , and couple stress, M, show a pattern (Fig. 6(c) and
The numerical results with polar effects shown in this (d)), whereas deformation and density, Id , (Fig. 6(a) and (b))
paper have a common numerical background. Quadrilateral do not. Just after the peak (B), the patterns are more
finite elements including Cosserat rotations and the hypo- marked, but still do not appear for deformation and density.
plastic relation were implemented in an ABAQUS code by There is a strong dilation inside the shear band, whereas the
Huang (2000). Time integration of the constitutive relation average e increases to the initial value after a small decrease
is performed with an implicit time integration scheme. To (Fig. 7(b)). The rotation increases inside the shear band after
prevent volumetric locking a selective reduced integration is the peak (Fig. 7(c)). The fluctuation of e increases in
applied (Zienkiewicz et al., 1971). The material parameters the shear band after the peak and remains low outside
have been determined with disturbed samples (Herle & (Fig. 7(d)).
Gudehus, 1999). The polar parameters have been estimated The pattern formation, which is a kind of self-organisa-
as outlined in the previous section. The size of the elements, tion, may be explained as follows. Alongside with fluctua-
visible in Figs 6(a) and 19(b), is about 3dg ; this was found tions of normal stresses, a minute fluctuation of couple
to suffice for obtaining mesh-independent shear bands. The stress, M, arises, say of amount M0 . For an assumed shearing
initial void ratio was randomly distributed according to Fig. with constant rate _ 1 ¼ 1 and dilation ratio  ¼
_1 =_2 the
3 by a Monte Carlo method. The boundary conditions were hypoplastic evolution equation for M can be written as
changed in steps with a predefined loading factor. In general,

f b  1 þ  2 pffiffiffiffiffiffiffiffiffiffiffiffiffi
for the non-linear process multiple iterations were needed to _
M¼M
2 a^ f d 1 þ 2 (5)
obtain equilibrium. Quadratic convergence was obtained with 3p 3p
a Newton–Raphson scheme for the set of linearised alge-
braic equations. where p ¼ (1 + 2 + 3 )/3 is the mean pressure, f b is
The calculated spatial evolution in a slender sample with proportional to hs (p/hs )1
n , fd ¼ (1
Id )Æ is calculated
constant lateral pressure 3 under biaxial compression is with Æ  0.2, and a^  0:15 depends on the friction angle
shown in Fig. 6. The average initial density index is rather jc . Equation (5) leads to exponential growth for
high, I d ¼ 0:87, and the density fluctuation is low (cf. Fig.
3(b)). These results are very similar to experimental ones by  1 3º þ 
. (6)
Desrues (1998) and Finno et al. (1997). The evolution of  2 1
3º
some quantities with average axial strain 1 is plotted in Fig.
using the empirical result 2  (1 + 3 )/3 (e.g. Finno et al.,
192 GUDEHUS AND NÜBEL
400 0·20
A B C A B C A B C
0·75
Inside shear Inside
σ1 ⫺ σ 2

band

ω
e
Complete sample
Complete
0 0·55 0
0 2 4 6 8 10 0 2 4 6 8 10 0 2 4 6 8 10
ε2: % ε2: % ε2: %
(a) (b) (c)

0·20 0·006 2 ⫻ 10⫺4

A B C A B C A B C

Inside Inside

M: kNm
Shear components
sσ
se

Complete Complete

Normal components
0 0 0
0 2 4 6 8 10 0 2 4 6 8 10 0 2 4 6 8 10
ε 2: % ε2: % ε2: %
(d) (e) (f)

Fig. 7. Calculated evolution of state during biaxial compression, averaged over the whole sample and inside the governing shear band

pffiffiffiffiffiffiffiffiffiffiffiffiffi
1997) and the abbreviation º ¼ a^ f d 1 þ 2 . As  depends
on 1 /3 via the constitutive relation (close to Rowe’s
stress–dilatancy relation), equation (6) is an implicit inequal-
ity for 1 /2 . It yields a 1 /2 below peak for Id near 1, and
always 1 /2 below the limit by equation (1) for Id . 0.
Thus we have a spontaneous polarisation more or less
before the peak. It starts at random locations where equation
(6) is first satisfied, according to initial and induced fluctua-
tions of void ratio and stress. Some parts of the sample thus
reach a maximal stress ratio, max|
/| ¼ tanjp , on planes
with inclination Łp  458 + jp /2, earlier than the average
(Fig. 8(a) and (b)). The peak friction angle, jp , is deter-
mined by Id (Herle & Gudehus, 1999) and scatters as Id
does. There are short narrow zones of thickness ds where
max|
/| has been reached (Fig. 8(c)). The dilation ratio,

_=ª_ (Fig. 8(d)), also goes through a peak. Id decreases,
and with it jp . Neighboured zones at peak unite owing to
positive feedback.
One of the narrow shear zones has the lowest average jp
and goes through first. It wins in the competition, the further
deformation is concentrated there. Well beyond the peak,
changes of shape and state are strongly localised (stage C in
Fig. 6). As can be seen in Fig. 7, inside the governing shear
zone the void ratio approaches the critical value (Fig. 7(b))
and maximal scattering (Fig. 7(e)), which corresponds to
experimental observations by Oda & Kazama (1998) and
numerical discrete element simulations (Viggiani et al.,
1997). After the peak the particle rotations grow continu-
ously (Fig. 7(c)), the stress deviator comes close to the
critical value (Fig. 7(e)), the normal stress fluctuations
approach a maximum (Fig. 7(d)), and the couple stress
decreases (Fig. 7(f)).
The shear band thickness, ds, can be estimated as follows.
Calculated mean values of shear rate, ª_ , and couple stress,
M, along the band are plotted in Fig. 9 against its normal.
Approximating by Gaussian distributions, ds may be defined
by means of the second moments. ds is not the same for ª_
as for M, as was noticed earlier (Tejchman & Gudehus,
2001). An approximation of ds is obtained from shearing
along a rough wall with constant pressure (Huang et al.,
2002). The thickness, db, of a boundary layer (second
section above) is about one half of ds .
The position of the governing shear zone is random. It
can be at any height, or the mirror image of the one in Fig.
6, and can also be reflected at the top or bottom plate. It is
triggered by a combination of highest void ratio and highest
stress ratio. Only the shear band inclination, Ł, can be
estimated in advance. Repeated numerical calculations like

τ
γ·
θa
d
s
2θa
σ3
ϕa σ
σ3 σ1 σ τ ε·
θa
θa

(a) (b) (c) (d)

Fig. 8. Some parts of the sample reach a maximal stress ratio earlier than the average
 EVOLUTION OF SHEAR BANDS IN SAND 193
0·3
Id ⫽ 0·97
Id ⫽ 0·47
xn Id ⫽ 0·13
γ·
0·2

N
0·1
M

0
32 36 40 44
xn ϕp: degrees
(a) (b)
Fig. 10. Frequency distribution, N, of the friction angle j p , for
Fig. 9. Definition of the thickness of a shear band different overall initial density index, I d , from 150 simulated
biaxial tests with random void ratio distribution

those for Fig. 6 yield Ł between approx. 568 and 608 for the
same conditions (Łp is slightly reduced by the mesh).
Experiments by Yoshida et al. (1994) yield Ł  628 for the
same data. Bifurcation analysis with an assumed uniform
shear zone leads to Ł  638. All this agrees with earlier
findings (Vardoulakis et al., 1978), so that Ł ¼ 458 + jp /2 is
not more than a crude upper bound.
The overall peak friction angle, jp , can only be estimated.
It is determined from the peak of 1
3 for constant 3
(as in Fig. 7(a)), and it depends strongly on the initial
overall density index, I d . Results of 150 simulated biaxial
tests are plotted in Fig. 10. The frequency distribution has a
low scattering; the mean, jp , depends quite markedly on I d .
The results would be different for other loading paths up to
peak. Properly speaking, jp is determined by the actual Id
(Herle & Gudehus, 1999) in the shear band, and j decreases
to jc when Id tends to zero (critical state). Owing to the
historical element (Darwin, 1883), jp therefore must not be
considered as a soil constant, even for given initial Id .
Comparative calculations have shown that the findings
shown in Figs 6, 7 and 10 are not numerical artefacts. The
initial distribution of void ratio, the arrangement of elements
and the convergence criteria had been varied, which had no
influence upon the results.
COMPACT BIAXIAL SAMPLES AND EXTENDED
STRIPS
Tests were made in a Hambly-type biaxial apparatus (as
described by Topolnicki et al., 1990) and analysed with our
numerical model. The sample is kept rectangular by a pair
of fixed and two pairs of movable smooth, hard plates (Fig.
11(a)). Karlsruhe sand (e.g. Herle & Gudehus, 1999) with
d50 ¼ 0.45 mm was used. A silicone grease between the
rubber mould around the sample and the plates kept the

Low ∆V High

x2

x3 x1

(b) (c)

A A

A–A

(a)

(d) (e)
PIV visualisation Calculated

Fig. 11. Experimental and calculated evolution of primary and secondary shear band patterns of Karlsruhe sand for plane
strain with a Hambly-type biaxial apparatus: (a) experimental device; (b, d) experimental shear band patterns; (c, e)
calculated shear band patterns
194 GUDEHUS AND NÜBEL
friction there very low, so that the measured pressures are
principal stresses. The mean confining pressure has been
kept below 100 kPa by servo control.
Digital photographs of the sample were taken through the
top glass plate, and evaluated with particle image velocime-
try (PIV) (Nübel & Weitbrecht, 2002). As shown in Fig. 12
the grains can serve as tracers. For evaluating a 2D deforma-
tion field, digital images are taken by means of a CCD
camera from consecutive stages. The digital image is divided
into small disjointed sub-areas called interrogation cells. If
the deformation of the specimen between two consecutive
images is sufficiently small it can be supposed that the
characteristic patterns of the interrogation cells do not
substantially change their characteristics but only their loca-
tion. Therefore a local displacement vector can be deter-
mined for each interrogation cell between two consecutive
images by means of a cross-correlation function (e.g. Raffel
Area of interest (AOI)
(a) (b)
Fig. 12. (a) Area of interest and (b) interrogation cell for PIV
(a)
(b)
Fig. 13. Sand layer with free surface and stretched base: (a) shear bands; (b) surface waves; (c) shear bands visualised
with PIV
et al., 1998). Knowing the displacement field the deforma-
tion field can be calculated (Nübel & Weitbrecht, 2002). A
PIV image of volume strain, ˜V, is shown in Fig. 11(b).
Four shear zones forming a rhomboid are more or less
visible. Closer inspection shows further less marked bands
parallel to the dominant ones. It is worth mentioning that
the PIV method to observe deformation fields is limited to
two dimensions. Experimental studies demonstrated that
shear band patterns can be also visualised in three dimen-
sions by computed tomography (Alshibli et al., 1984;
Desrues et al., 1996).
Calculated patterns are shown in Fig. 11(c) and (e). The
coincidence of both orientation and thickness with the
experiment is good. The positions are random both in theory
and experiment. The similarity of thick bands in Fig. 11(b)
and (c) can be considered as a validation of our theory. The
evolution is similar to that in Fig. 6, with the difference,
however, that dislocations at the boundaries are excluded by
the plates on all sides.
The shear bands are reflected at the smooth boundaries.
Polar quantities of opposite signs in two crossing bands
cancel each other in the crossing area. The further shear
bands in Fig. 11(b)–(e) are secondary: that is, they appear
after the dominating ones. The band thickness is roughly
twice that of Fig. 2(d). A strong fluctuation of deviatoric
stress has been observed and also calculated.
Figure 13 shows a model test with uniform stretching of
the base of a horizontal sand layer (initial height 15 cm)
with a free surface. The walls are hard and smooth, two side
walls are from glass, and a rubber membrane at the bottom
lies on a hard smooth plate. The sand was filled in densely
(I d  0:85) with thin horizontal marker layers of black
(c)
 EVOLUTION OF SHEAR BANDS IN SAND
grains. After 10% stretching two families of parallel shear
bands had developed (Fig. 13(a)). The surface had become
wavy with maximal slopes near the outcrops of the shear
bands (Fig. 13(b)). PIV images (Fig. 13(c)) show the thick-
ness and distance of the shear bands in more detail.
The calculated evolution (Fig. 14) agrees with the essen-
tial observations. Two primary families of bands appear
alongside, with a minor crisping of the free surface (Fig.
14(a)). Further stretching leads to more marked secondary
bands and deeper offsets at the outcrops of the primary
bands (Fig. 14(b)). The critical void ratio (Id ¼ 0) is nearly
reached in the latter. The band thickness is nearly twice that
of Fig. 2(d), taking the polar constant am ¼ 1.0, which
replaces cp in equation (4) and can thus be determined.
The extension of a strip has also been calculated with
constant lateral pressure and rigid smooth top and bottom
plates (Fig. 15). This corresponds to a flat biaxial sample. A
primary zigzag pattern evolves, followed by secondary and
tertiary patterns (Fig. 15(a) and (b)). Inclinations and thick-
nesses are the same as before. The distance of the primary
bands is evidently given by the size of the sample; the
following bands are nested in the primary pattern.
The evolution of state quantities may be explained with
some sketches. The mean void ratio (Fig. 15(c)) tends to the
critical value for the given pressure, ec by equation (2),
along with 1 /2 ¼ tan2 (458 + jc /2) and 2  (1 + 3 )/3.
The scattering of void ratio s e (Fig. 15(d)) tends to a
195
maximum as explained with Fig. 3(b), which is thus justi-
fied. The scattering of pressures, s (Fig. 15(e)), starts from
assumed zero and tends to a plateau. The couple stress, M12
(Fig. 15(f)), grows exponentially up to a maximum and then
tends to zero (cf. Fig. 7(f)). In the asymptote the whole field
is paved by fully dilated shear bands, and the average couple
stress is zero as those of crossing bands (cf. Fig. 11(e))
compensate each other. The fluctuation of M (not plotted)
reaches a maximum, and also that of deviatoric stress and
void ratio. An evolution of shear bands as in Fig. 15(a) and
(b) was experimentally observed by Desrues et al. (1996)
and Mokni & Desrues (1998).
This evolution is typical for self-organisation of dissipa-
tive dynamic systems. There is a pattern formation with
characteristic lengths and fractal nesting, and deterministic
chaos in the end. For these critical phenomena, the soil
mechanics critical state is a kind of strange attractor. In
simpler words, a sand body can be brought to an overall
critical state by large uniform boundary stretching, and then
the disorder is maximal. On the way there, a regular shear
band pattern can be achieved.
VICINITY OF MOVING WALLS
An example of a smooth rigid wall translated back from
an initially dense sand layer is shown in Fig. 16 by contours
of shear distortion. The calculated results for two wall

1 Id 0

(a) (b)

Fig. 14. Calculated surface and density index, Id , fields for two stretching stages of the test of Fig. 13: (a) ˜l/l
10%; (b) ˜l/l 20%

1 Id 0 e
ec sσ

0 ⫺ε3 0 ⫺ε3
(c) (e)
(a)

se M12

0 ⫺ε3 0 ⫺ε3
(b) (d) (f)

Fig. 15. Calculated biaxial compression of a flat sample with lateral constant pressure: (a, b) evolution of shear bands; (c,
d) average and scattering of void ratio; (e) scattering of pressure; (f) couple stress
196 GUDEHUS AND NÜBEL

Low εp High
u ⫽ 0·2 cm u ⫽ 0·4 cm
u u

PIV section

Finite element simulation Finite element simulation

(a) (b)

Experiment Experiment

(c) (d)

Fig. 16. Active wall of 6 cm height under translation, numerical and experimental results

displacements (Fig. 16(a), (b)) are in good agreement with
the PIV results (Fig. 16(c), (d)). The deformation is almost
totally localised to a single, practically plane, shear zone.
This reaches a thickness of about twice that of a boundary
layer as given in Fig. 2(d). The dilation inside tends to a
critical state. The inclination Ła ¼ 648 is close to that of a
slender biaxial sample (cf. Fig. (6)).
These findings again support our theory, but not the con-
ventional earth pressure theory. The resultant force, Ea , can
correctly be obtained with a suitable peak friction angle, jp ,
and Ka ¼ tan2 (458
jp /2), but jp depends on the overall
initial density index, nearly as for slender biaxial samples
(Fig. 10). The proper jp for Ka depends on the actual I d
in the shear band, and tends to jc for Id ! 0. The earth
pressure distribution (not plotted) is linear with depth only if
there is a smooth rigid bottom behind the wall foot. Other-
wise it increases linearly in the upper half and decreases
strongly with further depth. The latter finding is known from
more conventional finite element calculations and experi-
ments. The grain-size effect is missed therein, however: the
wall displacement up to Ea depends on the ratio of grain
size, dg, and wall height, h, in particular for h/dg , approx.
200 (Tejchman, 1997). The pressure distribution also de-
pends on dg /h.
Two examples of a smooth rigid wall rotated around its
foot back from an initially dense sand layer are shown in
Fig. 17. The calculated contours of volume expansion (Fig.
17(a)) are close to those observed with X-rays by Milligan
(1974) (Fig. 17(b)). There are three dominant shear bands,
nearly with Coulomb inclination, and steps at their outcrops
(cf. Figs 13 and 14).
A closer inspection shows that there are substantial differ-
ences from Rankine’s theory. Fig. 17(c) shows calculated
density contours for a small wall rotation so that the free
surface is still practically horizontal. Apart from three
dominant shear bands there are two families of less marked
bands. The mobilised friction angle along them is lower and
not uniform. With increasing wall rotation the earth pressure
distribution becomes increasingly non-linear.
Stronger deviations from classical theories are obtained
for passive cases. This is shown in Fig. 18 for a smooth
rigid wall pushed into an initially dense layer. The contours
of shear strains from calculation (Fig. 18(b)) agree with
those observed with PIV (Fig. 18(a)). Instead of a single
wedge, a curved slip band starting horizontally at the foot is
obtained, together with three weaker bands from the wall
top. As has been observed by Roscoe (1970), this kind of

1 Id 0

ω ω

Simulation Experiment Simulation

(a) (b) (c)

Fig. 17. Calculated and experimental (Milligan, 1974) density decrease behind a smooth rotating wall
 EVOLUTION OF SHEAR BANDS IN SAND
Low εp High
u ⫽ 1·0 cm
u
Experiment
Fig. 18. Passive wall translation, numerical and experimental strain deviators
progressive failure cannot be approximated by a classical
formula; what is the representative mean j therein?
The calculated earth pressure distribution is linear with
depth only for a smooth bottom. Otherwise it grows far
stronger than linear along the lower half of the wall. As with
the active case, the results depend also on the grain size, dg,
at least for h/dg , approx. 200. The shear band is far
thicker than in the previous cases.
A similar dominant shear band has been obtained by
pushing a rough rigid wall downwards into an initially dense
sand layer (Fig. 19). This can be seen from dislocations of
thin dark layers in an experiment (Fig. 19(a)) and likewise
from calculated distortions of a finite element mesh (Fig.
19(b)). More revealing is the evolution of localised dilation
(Fig. 20). The patterns of density decrease, as observed with
X-rays (Fig. 20(a)), are in remarkable agreement with the
calculated ones (Fig. 20(b)). A first narrow shear zone
propagates nearly horizontally from the wall foot (stage A).
It comes to a stop with further wall displacement, where-
upon a second curved band appears (stage B). Along with
the latter a weaker band appears slightly above, and an
opposite one ending at the wall top. Later on, a second band
of the latter kind appears, together with weak crossing bands
(stage C).
More precisely than reported by Roscoe (1970), the
Karlsruhe experiment shown in Fig. 20(a) seems to justify
the use of two sliding wedges for the calculation of Ep
(Gross, 1980). The slip plane inclinations can in fact be
estimated from the assumption that they make Ep minimal
as compared with other inclinations. However, the mobilised
friction angle must not be assumed equal along all the slip
surfaces, and as given from the initial density. Actually the
bottom slip zone is almost fully dilated, the rising one less,
and the one dipping from the wall top least. The coefficient
(a)
Fig. 19. (a) Passive earth pressure experiment by Schwing (1991); (b) calculated deformation
197
PIV section
Finite element simulation
of passive earth pressure, Kp , decreases with increasing ratio
of wall height, h, and grain size, dg, as the slip band
thickness increases with dg (cf. Fig. 2(d)).
The numerical calculation of stress and deformation fields
for such cases has turned out to be more difficult than
presumed 30 years ago (Simpson & Wroth, 1972). Our
calculations with such delicate features as those in Fig.
20(b) are numerically robust, which demonstrates that the
regularisation by polar quantities serves the purpose. Having
achieved such a good agreement of theory and experiment,
one could even go on with numerical instead of physical
model tests. However, the mesh size increases with (h/dg )2
for plane strain, as any possible shear zone of thickness ds
. approx. 10dg has to be subdivided.
VICINITY OF VERTICALLY TRANSLATED
HORIZONTAL STRIPS
Figure 21 shows density contours in originally dense
horizontal sand layers on a rigid bottom with a yielding
strip, called an active trapdoor. X-ray observations (Fig.
21(a)) by Graf (1984) reveal nearly the same arc-shaped
shear bands as in our calculations (Fig. 21(b)). In the latter
some other, wider, arcs are also visible. It has been calcu-
lated and observed with PIV that the region under the main
arc is dilated. For the passive trapdoor—that is, for punching
in a strip from the bottom—the agreement of measured and
calculated density contours is even more striking (Fig. 22).
Curved shear bands propagate from the edges of the strip
upwards and sideways. Conventional static and kinematic
limit state methods fail for such cases—a known difficulty
for tunnels and silos. Conventional numerical methods fail
for lack of regularisation.
The last case of the present selection is punching of a
(b)
198 GUDEHUS AND NÜBEL
Low ∆V High

(a) (b)

Fig. 20. (a) Experimental and (b) calculated evolution of volume strain for the experiment of Fig. 19

Dense Id Loose
Dense Id Loose

30 cm
30 cm
40 cm
40 cm

(a) (b) (a) (b)

Fig. 21. (a) Experimental (Graf, 1984) and (b) calculated Fig. 22. (a) Experimental (Graf, 1984) and (b) calculated
density fields above of a trapdoor translated downwards by density fields above of a trapdoor translated upwards by u
6 mm 6 mm

rigid strip into an originally dense horizontal sand layer.
Shear bands, as observed (Fig. 23(a)) for example by Vesic
(1973), are similarly obtained by calculation (Fig. 23(b)). A
rather undeformed wedge slides downwards and sideways,
and induces further shear bands similar to those in Fig.
20(b). The real wedge flanks are steeper than the calculated
ones, which is presumably due to a higher base friction at
the strip in the experiment. Weaker and steeper shear bands
evolve from the right edge and get stuck at some depth. As
with the passive trapdoor there is a loss of symmetry. A
simplified analysis with three or four slip wedges, or with a
wedge under the strip and with Ep at its one flank, might
appear to be justified. More than for Ep , however, this would
work only with the actual mobilised friction angles. These
depend not only on the initial density, but also on position
and on grain size, dg . The conventional calculation with Ng
is therefore not justified.
The dependence of Ng on dg is known from 1g and
 EVOLUTION OF SHEAR BANDS IN SAND 199
Dense Id Loose

Foundation

(a) (b)

Fig. 23. Calculated evolution in comparison with an experiment by Vesic (1973): (a) experiment; (b) simulation

centrifuge model tests. This is obtained with our theory, in
fairly good agreement with the results of model tests by
Tatsuoka et al. (1990) (Fig. 24). The calculated curves
depend strongly on the base friction coefficient of the strip,
and on the additional friction factor for the polar quantities.
This enables a good matching, but prevents precise predic-
tions. A better coincidence may be obtained by means of a
more precise boundary condition for the rather smooth base
of the strip.
More detailed insight can be gained by another example
of the same kind (Fig. 25). This time the pattern is more
symmetric. Two dominant shear bands enable the sand to be
pushed aside; two other strong bands get stuck at some
depth. Two families of weaker bands are reminiscent of

400
400
S.L.B. Sand, 1g

B ⫽ 1·2 cm
2P/(γB 2)
2P/(γB 2)

200 B ⫽ 2·4 cm
200
B ⫽ 1·0 cm
B ⫽ 2·5 cm
B ⫽ 10 cm

B ⫽ 10·0 cm

0 0·2 0·4
u/B 0 0·2 0·4
u/B
(a) (b)

Fig. 24. (a) Experimental (Tatsuoka et al., 1990) and (b) calculated influence of the footing breadth on
2P/(ªB2 )

Low εp High

(a) (b)

Fig. 25. Punching of a strip foundation: (a) experiment (Tatsuoka et al., 1990); (b) calculation
200 GUDEHUS AND NÜBEL
Sokolovsky’s (1942) theory, but cannot justify it as the
mobilised friction angle is not uniform and not even known.
The competition of shear bands and the survival of a few is
similar to those for slender biaxial samples (Fig. 6).
CONCLUSIONS
Our investigations permit a number of conclusions, as
follows.
(a) Proportional compression, and densification by alternat-
ing deformations with constant pressure cause a
reduction of fluctuations.
(b) The observed evolution of shear bands in various model
tests with dry sand is well modelled by means of
hypoplasticity with polar quantities.
(c) Higher void ratios have a stronger spatial fluctuation:
this is allowed for by suitable random distributions for
the onset and obtained with the calculated evolution.
(d ) The fluctuation of deviator stress increases with the
fluctuation of void ratio.
(e) Polar stresses evolve together with shear bands, starting
from rough boundaries, sharp edges or spontaneously
inside from small fluctuations.
( f ) Inside shear bands the sand tends to a critical state with
maximum spatial fluctuations of all quantities.
(g) A sand body that is uniformly stretched from its
boundary tends towards an overall critical state with a
fractal evolution of shear band patterns.
(h) Conventional mechanisms with slip surfaces are roughly
reproduced: realistic forces could thus be obtained with
actual peak friction angles, but these are not known in
advance.
A lot of further work is desirable. For sand bodies larger
than those in the models the mesh size is far too small.
Remeshing and interface elements for the localisation zones
will be necessary. Then limitations and extensions of simpli-
fied design models can be worked out; scattering and
uncertainty will play a key role.
A deeper physical understanding is achieved with our
approach, and can be widened. Strong scattering is inherent
with granular bodies; pattern formation and deterministic
chaos can appear. Scale effects are implied: faulting of the
earth crust is also a kind of shear banding.
ACKNOWLEDGEMENT
The work has been supported financially by the DFG
(Deutsche Forschungsgemeinschaft, German Research Coun-
cil), under contract No. Gu 103/52-1.
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