1

Notes by: Jose Pereira, University of Brasilia, Brazil

Soil Mechanics for
Unsaturated Soils
by
Delwyn G. Fredlund
University of Saskatchewan
Saskatoon, Sask., Canada
and
Harianto Rahardjo
Nanyang Technological University
Singapore
John Wiley & Sons
1993
Different approaches could be taken towards synthesizing the material on
the behavior of unsaturated soil mechanics. The approach deemed most
desirable was to maintain a relatively close parallel to classical saturated
soil mechanics.
The emphasis was not focused solely on problematic soils, but rather on
the areas of seepage, shear strength and volume change of all soils with
negative pore-water pressures.
The prepared notes closely follows the material in the textbook. Additional
notes have been prepared on new and important subjects that have
immerged during the years subsequent to 1993.
The textbook appears to have filled an important role in centralizing
understanding the behavior of unsaturated soils from the standpoint of two
independent stress state variables.
Additional notes:
2
SOIL MECHANICS FOR UNSATURATED SOILS was written by
Professor Delwyn G. Fredlund and Dr. Harianto Rahardjo in 1993 to
provide a synthesis of research on unsaturated soil mechanics. It was felt
that classical soil mechanics had focused primarily on SATURATED SOIL
MECHANICS PROBLEMS and that there was a need to present information
relevant to geotechnical engineering on soils located above the groundwater
table.
SOIL MECHANICS FOR UNSATURATED SOILS presents soil
mechanics theories related to the classic areas of: i.) flow through porous
media, ii.) shear strength, and iii.) volume change and deformation. In each
case, it is assumed that the reader has a basic understanding of soil
mechanics for saturated soils and the book, therefore, focuses on the new
concepts and formulations required to understand unsaturated soil
mechanics problems.
SOIL MECHANICS FOR UNSATURATED SOILS also shows how
problems with real-world flux boundary conditions can be addressed. It is
the environment or the climate above the ground surface that is related to
the changes in soil suction below the ground surface. These changes in soil
suction, in turn, become the trigger mechanism for slope instability and
volume change. It is paramount that the geotechnical engineer understand
these mechanisms since the infrastructure for civilization is developed at the
boundary between the atmosphere and the ground surface.
3
Notes by: Jose Pereira, University of Brasilia, Brazil
Soil Mechanics for
Unsaturated Soils
OBJECTIVE
To set forth the principles of engineering mechanics and
soil testing pertaining to the behavior of unsaturated soils.
SOIL MECHANICS FOR UNSATURATED SOILS is presented
as an extension of classical soil mechanics with the assumption
that the reader already has a knowledge of soil mechanics as
it is applied to saturated soils.
Notes added by:
Dr. Jose H. F. Pereira, University of Brasilia, Brazil
Mr. Gilson Gitirana, U. of S., Canada
Mr. Rezaur Rahman Bhiriyan, NTU, Singapore
Dr. Delwyn G. Fredlund, U. of S., Canada
Dr. Harianto Rahardjo, NTU, Singapore
The intent of SOIL MECHANICS FOR UNSATURATED SOILS is to
present unsaturated soil behavior and application as a relatively simple
extension of classical saturated soil mechanics.
More precisely, to present saturated soil mechanics as a special case of the
more general unsaturated soil mechanics.
Desire is to maintain as many of the principles and assumptions of
classical soil mechanics as possible.
Assumption is made that the student has an understanding of saturated soil
mechanics and therefore, the emphasis will be upon the extrusion in
concepts necessary for understanding unsaturated soil mechanics.
Additional notes:
4
Soil Mechanics for Unsaturated Soils
TABLE OF CONTENTS
Chapter
1 Introduction to Unsaturated Soil Mechanics
2 Phase Properties and Relations
3 Stress State Variables
4 Measurement of Soil Suction
5 Flow Laws
6 Measurement of Permeability
7 Steady State Flow
8 Pore Pressure Parameters
9 Shear Strength Theory
10 Measurement of Shear Strength Parameters
11 Plastic and Limit Equilibrium
12 Volume Change Theory
13 Measurement of Volume Change Indices
14 Volume Change Predictions
15 One-dimensional Consolidation and Swelling
16 Two- and Three-dimensional Unsteady-state Flow
and Non-isothermal Analyses
Chapters are directed at the three classic areas of soil mechanics; mainly
i.) Seepage ii.) shear strength and iii.) volume change.
Each subject area is addressed in terms of i.) theory ii.) measurement and
iii.) application.
Special emphasis is given to defining the stress state variables for an
unsaturated soil.
Role and measurement of the components of soil suction is emphasized.
Consolidation and swelling theories are developed for unsaturated soils in
a manner similar to that found in saturated soil mechanics.
Additional notes:
5
Soil Mechanics for Unsaturated Soils
The ground surface becomes a moisture flux boundary condition, giving
special importance in unsaturated soil mechanics.
Climate needs to be quantified in order to assess the moisture flux
boundary condition.
It is important to establish that there is truly a need for unsaturated soil
mechanics within geotechnical engineering practice.
Some new variables must be defined for unsaturated soil mechanics.
Additional notes:
6
Categories of Soil Mechanics
Saturated soil mechanics has been successfully applied to two-phase materials at both
saturated conditions (gravels, sands, clays and silts) and dry conditions (sands and gravels).
Unsaturated soils have more than two-phases and have negative pore-water pressures.
Saturated soil mechanics and unsaturated soil mechanics can be categorized primarily on the
state of stress in the pore-water (i.e., positive and negative pore-water pressures).
Any soil near the ground surface, in a dry environment, might have negative pore-water
pressures and possible desaturation.
Natural and compacted unsaturated soil deposits might undergo severe changes in
mechanical behavior in response to increases in negative pore-water pressures.
Swelling and collapsing soil behavior are typical volume change problems involving
unsaturated soils.
Additional notes:
7
NATURE OF THE WATER
AND AIR PHASES
Saturated soils generally have pore-voids filled with water at positive pore-
water pressures (relatively to atmospheric air pressure).
Unsaturated soils can be considered as a four-phase continuum composed
of solids, water, air and contractile skin.
The pore-fluid in an unsaturated soil has a compressibility that depends on
the relative proportion of water and air (either dissolved or as occluded
bubbles).
Air and water phases can be either continuous or discontinuous.
Air and water can flow through the soil voids.
Additional notes:
8
CATEGORIES OF UNSATURATED
SOIL MECHANICS PROBLEMS
Geotechnical engineering problems can be categorized according to the
main soil properties involved.
Seepage, shear strength and volume change needs to be characterized
according to the saturation condition of the soil.
Mechanical behavior of soils needs to be described by using appropriate
stress state variables.
Net normal stress and matric suction have proven to be the most
appropriate stress state variables to describe the mechanical behavior of
unsaturated soils.
Earth structure design can be optimized by considering the influence of
matric suction on soil behavior.
Additional notes:
9
GENETIC CATEGORIZATION OF
UNSATURATED SOILS
Any soil deposit can be found in a saturated or an unsaturated condition.
Soil formations derived from a wide variety of genetic processes can be
encountered having unsaturated conditions.
Natural and compacted soil masses constitute the usual earth structures
encountered by the geotechnical engineer in practice.
Additional notes:
10
VOLUME CHANGE CONSTITUTIVE
CATEGORIZATION
Soils can either increase or decrease in volume upon a change in the stress
state (i.e., matric suction).
Highly plastic clays generally exhibit swelling behavior during saturation.
Clayey and silty sands with an open soil structure and low density
generally exhibit structural collapse upon saturation.
Additional notes:
11
STRESS DISTRIBUTION DUE TO DESICCATION
Climate plays an important role in whether the soil is saturated or unsaturated.
Evaporation and evapotranspiration produce an upward water flux.
Water precipitation produces a downward flux.
Depth of the water table is strongly influenced by the net surface flux.
Swelling, shrinkage and cracking of the soil near the ground surface might occur
as a result of wetting and drying cycles.
Plants are capable of applying 10-20 atm of tension to the pore-water before
reaching their wilting point.
Additional notes:
12
Primary Factors Affecting the Categorization of Unsaturated Soils:
1.) Material Characterization
2.) Climatic Characterization
Solution of problems involving unsaturated soils requires an understanding of
specific behavior of these soils due to changes on the surrounding environmental
conditions.
This require the categorization of unsaturated soils according to mechanical
behavior and a knowledge of climatic conditions of the specific area where a
problem has to be solved.
Additional notes:
13
CLIMATIC CHARACTERISTICS
State of stress in the pore-water pressure is strongly influenced by climatic
conditions.
Geotechnical engineers need to know more about ground surface
hydrology and the analysis of climatic data.
Actual evaporative flux can range from zero to 100% of potential
evaporative flux.
The Penman equation can be solved for Potential Evaporation from a water
surface.
Additional notes:
14
About 33% of the earths surface is considered arid and semi-arid (Dregne, 1976).
Mapping of these zones is based on the Thornthwaite moisture index (Thornthwaite ,
1948 ).
Regions with a Thornthwaite moisture index less than -40 indicates arid zones.
Thornthwaite moisture index indicates the potential evaporation of water.
Ground surface moisture flux is still of importance when soils are saturated.
Additional notes:
15
. Saskatoon
In North America, arid areas cover a large portion from the south, bounded by
the Gulf of Mexico, up into Canada.
Dry areas usually have a deep groundwater table .
Soils above the groundwater table are generally unsaturated and have negative
pore-water pressures.
Additional notes:
16
EXAMPLES OF PROBLEMS REQUIRING AN UNDERSTANDING
OF UNSATURATED SOIL MECHANICS
There are a wide variety of near-ground-surface geotechnical engineering
problems where unsaturated soil mechanics and numerical analysis can be
of significant value.
It is most important that the geotechnical engineer learns to think that the
way the soil behaves.
Additional notes:
17
Soil presents a wide range of mechanical behavior as its water content
changes. For instance, a clayey soil might behavior as a liquid (i.e., at a water
content equal to or higher than the liquid limit) to a behavior as a rigid
material (i.e., at a water content lower than its plastic limit).
What other examples of geotechnical engineering problems can you think of
that involve unsaturated soils?
Additional notes:
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?
CONSTRUCTION OF A HOMOGENEOUS
ROLLED EARTH DAM
Following are the series of typical questions that could be asked of a
geotechnical engineer.
What are the magnitudes of the pore-air and pore-water pressures which
are induced as each layer of fill is placed?
Is pore-water pressure of significance?
Does the geotechnical engineer only need to be concerned with pore-water
pressures?
Does an induced pore-air pressure result in an increase or a decrease in the
stability of the dam? Or, would the computed factor of safety be
conservative if the pore-air pressures are assumed to be zero?
What is the effect of air going into solution and subsequently coming out of
solution?
Additional notes:
19
Water phase
Air phase
CONSTRUCTION OF A HOMOGENEOUS
ROLLED EARTH DAM
Further questions that could be asked of a geotechnical engineer.
Will the pore-air pressures dissipate to atmospheric conditions much faster
than the pore-water pressures can come to equilibrium?
What deformations would be anticipated as a result of changes in the total
stress and the dissipation of the induced pore-air and pore-water
pressures?
What are the boundary conditions for the air and water phases during the
placement of the fill?
Additional notes:
20
SOME RELEVANT QUESTIONS MIGHT BE ASKED
DURING THE FILLING OF THE RESERVOIR
Water phase
Air phase
?
FILLING THE RESERVOIR
New boundary conditions must be applied to the problem as the reservoir
is filled with water.
What are the boundary conditions associated with the equalization
processes once the filling of the reservoir is underway?
How will the pore-air and pore-water pressures change with time and what
are the equilibrium conditions?
Will further deformation take place as the pore-air and pore-water
pressures change in the absence of a change in total stress? If so, how
much deformation can be anticipated as steady state conditions are
established?
What changes take place in the limit equilibrium factor of safety of the
dam as the reservoir is being filled and the pore-water pressures tend to a
steady state condition?
Additional notes:
Filling the Reservoir
21
SOME RELEVANT QUESTIONS MIGHT BE ASKED AS
STEADY STATE CONDITIONS ARE ESTABLISHED
Water phase
?
ENVIRONMENTAL EFFECTS DURING THE
OPERATION OF THE RESERVOIR
A ground surface moisture flux can significantly influence the pore-water
pressure in the dam.
Does water flow across the phreatic line under steady state conditions?
What effect will a prolonged dry or wet period have on the pore pressures
of the dam?
Could a prolonged dry period produce cracking of the dam? If so, to what
depth might the cracks extend?
Could a prolonged wet period result in the local or overall instability of the
dam?
Additional notes:
22
RELEVANT QUESTIONS?
?
NATURAL SLOPES SUBJECTED TO
ENVIRONMENTAL CHANGES
Following are some relevant questions that could be asked of a geotechnical
engineer.
What effect could changes in the geometry have on the pore pressure conditions?
What changes in pore pressures would result from a prolonged period of
precipitation? How could reasonable pore pressures be predicted?
Could the location of a potential slip surface change as a result of precipitation?
How significantly would a slope stability analysis be affected if negative pore-
water pressures were ignored?
What would be the limit equilibrium factor of safety as a function of time?
What lateral deformations might be anticipated as a result of changes in pore
pressures?
Additional notes:
23
RELEVANT QUESTIONS?
?
MOUNDING BELOW WASTE RETENTION PONDS
Piezometers placed below the waste effluent pond might be dry but this does
not mean that water is not flowing through the soil.
How could seepage be modeled to this situation? What are the boundary
conditions?
How should the coefficient of permeability of the unsaturated soil be
characterized? The coefficient of permeability is a function of the negative
pore-water pressure and thereby becomes a variable in the seepage analysis?
What equipment and procedures should be used to characterize the coefficient
of permeability in the laboratory?
How do the contaminant transport numerical models interface with unsaturated
flow modeling?
What would be the effect on the water table mounding if a clay liner was
placed at the base of the retention pond?
Additional notes:
24
SOME RELEVANT QUESTIONS THAT MIGHT BE ASKED ARE
REFERRED TO THE STABILITY OF THE EXCAVATION SLOPES
?
STABILITY OF VERTICAL OR
NEAR VERTICAL EXCAVATIONS
The stability of open excavations is often considered to be too difficult to
assess and consequently is left up to the contractors to resolve.
How long will be the excavation backslope stand prior to failing?
How could the excavation backslope be analytically modeled, and what
would be the boundary conditions?
What soil parameters are required for the above modeling?
What in situ measurements could be taken to indicate incipient instability?
Could soil suction measurements be of value?
What effect would a ground surface covering (e.g., plastic sheeting) have
on the stability of the backslope?
What would be the effect of temporary bracing, and how much bracing
would be required to ensure stability?
Additional notes:
25
SOME RELEVANT QUESTIONS MIGHT BE ASKED
PERTAINING TO LATERAL EARTH PRESSURES
?
LATERAL EARTH PRESSURES
The computation of active and passive earth pressures are amongst the earliest
of calculations performed for sands and gravels, but how can these pressures
be computed for unsaturated soils in a soil-structure interaction situation?
How high might the lateral earth pressures be against a vertical wall upon
wetting of the backfill?
What are the magnitudes of the active and passive earth pressures for an
unsaturated soil?
Are the lateral pressures related to the swelling pressureof the soil?
Is there a relationship between the swelling pressureof a soil and the passive
earth pressure?
Additional notes:
26
?
LATERAL EARTH PRESSURES
AGAINST WALLS
Houses built in northern environments generally have basements that
extend below the frostline but the basement walls may not be adequately
designed.
If the backfill is not properly compacted, what are the magnitudes of earth
pressures if the soil collapses?
Is there a need for a impermeable concrete cover near and surrounding the
house basement wall?
What is the influence of the sand drain on the backfill stress distribution
applied on the wall?
Additional notes:
27
SOME POINTS ARE IMPORTANT TO DISCUSS
REGARDING THE DESIGN OF SUCH FOUNDATIONS.
?
BEARING CAPACITY FOR SHALLOW FOUNDATIONS
Design is often based on unconfined compressive strength data of the soil.
The assumption is often made that the negative pore-water pressure in the soil
remains constant. (There is an inconsistency with respect to the approach used for
slope stability analysis).
What changes in pore-water pressures might occur as a result of sampling soils
from above the water table?
What changes in pore-water pressures might occur in the soil foundation as a
result of environmental changes at the ground surface?
Practice adopts a relatively high factor safety in bearing capacity footing design.
A probing question is: Has the engineers attitude towards negative pore-water
pressures been strongly influenced by expediency?
How should unconfined compressive strength data on unsaturated soils be
analyzed? Could effective shear parameters be used in the design?
Additional notes:
28
?
EXPANSIVE SOILS PROBLEMS
Cracking of houses placed on expansive soils is a problem of enormous
financial magnitude around the world.
Shallow foundations typically undergo 50 to 150 mm of vertical movement
subsequent to construction, in western Canada.
Changes in the environment may occur as a result of the removal of trees,
grass, and the excessive watering of a lawn around a new structure.
The zone of soil undergoing volume change on an annual basis is called the
ACTIVE ZONE.
Teleposts installed to keep the upper part of the house level, are often not
adjusted due to a lack of knowledge and training.
Additional notes:
29
RELEVANT QUESTIONS MIGHT BE ASKED
REGARDING FOUNDATIONS ON EXPANSIVE SOILS
?
EXPANSIVE SOILS PROBLEMS
Pile foundations may increase the original price of a house by only a few
thousand dollars but house owners generally elect to go with spread footings.
How much heave can be anticipated if the soil foundation is flooded?
How much heave can be anticipated if the negative pore-water pressure go to
zero or remains at a slightly negative value?
What is a reasonable final stress condition to assume for the pore-water
pressures?
What is the effect of prewetting or flooding the soil prior to constructing the
foundation? How long must the prewetting continue?
What is the influence of surcharge on a swelling soil?
What is the influence of a impermeable covering around the construction?
What are suitable laboratory testing procedures to define the swelling
properties of an expansive soil?
Additional notes:
30
EXPANSIVE SOIL CONDITIONS IN WESTERN CANADA
Expansive soil deposits may range from lacustrine deposits to bedrock shale deposits.
In general, expansive soils have a high plasticity (i.e., high liquid limit) and are relatively
dense and stiff.
The expansive nature of the soil is most obvious near ground surface where the profile is
subjected to seasonal, environmental changes.
Extensive areas of western Canada are covered by preglacial, lacustrine clays that are
expansive.
Western Canada is a semi-arid region with an annual precipitation of about 350 mm (14
inches).
The lacustrine clay shown in the above profile is a Calcium Montmorillonite. The higher
the amount of monovalent cations (e. g., Na) absorbed to the clay mineral, the more
severe is expansive soils problem.
Additional notes:
31
-Soils that has a metastable structure.
-It is a material often cemented at the grain contacts.
-Soil collapse happens in response to an increase in the pore-water pressure.
Loaded dry soil..
Wetting after Loading.
COLLAPSIBLE SOILS
Soils that collapse upon wetting (i.e., a decrease in suction) can be received as
having a behavior opposite to that of an expansive soil that swells upon wetting
(i.e., a decrease in suction).
What is the nature of the constitutive surface for a metastable structured soil?
Is the collapse phenomenon a discontinuous soil behavior?
How should collapsing soils be tested in the laboratory?
How should the laboratory data be interpreted and applied to practical problems?
Either man-made (compacted) or natural soils might have an open, porous,
metastable structure.
Additional notes:
32
RESIDUAL SOILS PROFILE
Residual soils have been observed to not respond as would be anticipated in
classic saturated soil mechanics.
Negative pore-water pressures are important in understanding residual soil
behavior.
Residual soils have unique characteristics related to their composition and the
environment, particularly in terms of the groundwater table position.
These soils have a microstucture that changes in a gradational manner with depth.
Soil at the top of the profile has no resemblance to the parent rock.
Density, plasticity and compressibility are often less than that found in temperate
zone soils with comparable limit liquids.
Strength and permeability are likely to be higher than temperate zone soils with
comparable liquid limits.
Additional notes:
33
TYPICAL RESIDUAL SOILS PROPERTIES
Soil profile from South Brazil, city of Londrina in the state of Parana. The region has a
hot, humid summer and a mild, dry winter climate with an annual rainfall of less than
1500 mm.
The groundwater level is deep, the soil deposit is unsaturated, and the in situ pore-
water pressures are negative.
The soil near the top of the profile has an open and porous metastable structure which
might undergo soil collapse upon loading and wetting.
Strength, compressibility and permeability are dependent upon matric suction.
Additional notes:
34
IS THERE A NEED FOR
UNSATURATED SOIL MECHANICS?
YES!
It appears that university curricula promote the teaching of saturated soil
mechanics and then many geotechnical engineers discover that they are
called upon to solve many problems involving unsaturated soils.
This does not appear to be an acceptable curricula for the new millennium.
Additional notes:
35
HOW COSTLY ARE EXPANSIVE SOILS PROBLEMS?
Financial losses alone are not sufficient for agencies and governments to
invest money to solve practical engineering problems.
The loss of lives appears to provide a much greater motivation for
providing research funds.
Additional notes:
36
PHASES OF AN UNSATURATED SOIL
A FOUR PHASE SYSTEM?
It is important to limit the number of new variables that must be defined
for unsaturated soil mechanics.
The suggestion that the contractile skin is a fourth phase in an
unsaturated soil seems to have raised concerns. More justification for the
fourth phase would be of value.
Additional notes:
37
AN UNSATURATED SOIL ELEMENT WITH
A CONTINUOUS AIR PHASE
An unsaturated soil is a mixture of several phases.
The unsaturated soil behavior (i.e., from both mechanical and seepage standpoints)
are highly dependent on the relative fractions of its phases.
An unsaturated soil can be visualized as a mixture with two phases that come to
equilibrium under applied stress gradients (i.e., soil particles and contractile skin)
and two phases that flow under applied stress gradients (i.e., air and water).
Additional notes:
38
Notice the indents on the
contractile skin
The water strider would sink into the water were it not for the contractile skin,
whereas the backswimmer would pop out of the water.
Additional notes:
39
TERMINOLOGY AND DEFINITIONS
Some basic definitions, consistent with continuum mechanics, need to be
defined.
Additional notes:
40
A FEW HISTORICAL HIGHLIGHTS
Unsaturated soil mechanics was slow in developing in comparison to the
development of saturated soil mechanics.
Additional notes:
41
CAPILLARY FLOW EFFECTS
The term capillarity was adopted to describe the phenomenon of water flow
upward from the static groundwater table.
Water flow through a dam took place overtop of the impervious core. This
siphon phenomenon might show up as seepage problems along the downstream
face of the dam.
The above figure illustrates the ineffectiveness of the cutoff ditches in
intercepting groundwater flow. Freezing and thawing of the capillary water leads
to embankment instability and subgrade failures.
Additional notes:
42
Capillary flow is related to surface tension, gravity and the principles of
hydraulics, as applied to free water.
It was noted that the strength of an unsaturated soil was influenced by the
the stress state in the capillary water.
The stabilizing effect of capillary saturation was recognized from a
practical point of view for the stability of excavated slopes.
Additional notes:
43
?
Log matric suction
W
a
t
e
r
C
o
n
t
e
n
t
Sand was placed in a glass tube that had one end immersed in water.
The results showed an uneven water content in the sand in the capillary zone.
It was recognized that there was a hysteresis in water content with respect to
wetting and drying.
Additional notes:
44
Actual flow was slower
than predicted from
saturated flow theory
Terzaghis (1943) equation for capillarity was derived to estimate the time
required for the rise of water in the capillary zone.
Terzaghis equation had the assumptions that porosity, n, and the coefficient of
permeability, k, were constants.
Lane and Washburn (1946) obtained open tube test results that showed
reasonable agreement between the measured and the predicted values (i.e., by
using Terzaghis equation) for the of height of capillary rise.
Terzaghis equation, however, seemed to over-estimate the rate of capillary rise.
Discrepancy was attributed to a changing coefficient of permeability in the
capillary zone.
Additional notes:
45
Sitz (1948) noted that capillary water would rise to more than 10 m above a static
groundwater table.
Was suggested that capillary water be subdivided into gravitational and molecular
water.
Suggested that gravitational water capillary water had properties similar to ordinary
water.
Molecular water was assumed to have unique properties, mainly its ability to
withstand high tensile stresses without cavitating.
Additional notes:
46
Hydraulic head = Pressure head + Elevation head
Lambe (1951) performed open tube capillary rise and drainage tests on graded
sands and silts with various initial degrees of saturation.
Negative pore-water pressures were measured along the specimens.
Observed that the hydraulic gradient was not uniform across the capillary
zone.
A large part of the available head appeared to be lost in the zone immediately
behind the wetting front.
Additional notes:
47
Lambe (1951) noted that the degree of saturation in the capillary zone might be
less than 100 %.
It was postulated that the soil property controlling flow was different from the
saturated coefficient of permeability (i.e., less than the saturated coefficient of
permeability).
Additional notes: