LIMITATIONS TO THE USE OF EFFECTIVE STRESSES IN

PARTLY SATURATED SOILS

by
J. E. B. JENNINGS, S.M., B.Sc.(Eng.), M.I.C.E., M.(S.A.)I.C.E.
and
J. B. BURLAND, M.Sc.(Eng.), Stud.M.(S.A.)I.C.E.

SYNOPSIS

Terzaghi’s effective stress principle may be stated Le principe dc tension effective de Terzaghi peut
in the form of two propositions:- s’enoncer sous la forme de deux propositions:-
(i) Changes in volume and shearing strength of (i) Les changements en volume et en effort de
a soil are due exclusively to changes in cisaillement d’un sol sont dtis exclusive-
ment aux changement de tension effective.
effective stress. (ii) La tension effective u’ dans un sol est
(ii) The effective stress o’ in a soil is defined as determinee d’apres l’excedent de la
the excess of the total applied stress o tension applique totale 0 sur la pression
over the pore pressure zl. interstitielle u.
The validity of this principle for fully saturated La validit du principe pour des sols complete-
soils is now well established and has proved invalu- ment satures est maintenant bien 6tablie et s’est
montree inestimable pour la prediction de la man&e
able in the prediction of the behaviour of such soils.
dont ces sols se comportent. Ces dernieres an&es des
In recent years workers have attemptedto extend the chercheurs ont essay6 de developper ce principe pour
principle to cover the case of partly saturated soils qu’il comprenne le cas des sols partiellemcnt satures
and to date most of this work has been concerned et jusqu’a present la plupart de ce travail a eu pour
with deriving a suitable form of effective stress but de developper une forme convenable d’equation
de tension effective. Jusqu’a maintenant la validite
equation. Up till now the validity of the first
de la premiere proposition, sur laquelle se base la
proposition, upon which the main practical signific- principale signification pratique du principe de
ance of the effective stress principle relies, does not tension effective, ne semble pas avoir et6 mise en
appear to have been questioned. doute.
In this Paper the results of a series of oedometer Dans cet article on presente les resultats d’un
serie d’essais cedometrique et d’essais complets de
and all-round compression tests on partly saturated
compression sur des sols partiellement satures et
and fully saturated soils are presented. The soils completement saturis. Les sols employ& varient
used range from a silty sand to a silty clay. The du sable limoneux a l’argile limoneuse. Les resul-
results, together with additional experimental data tats, avec aussi les renseignements experimentaux
derived mainly from oedometer tests on wind-blown additionnels derives principalement des essais
cedomdtriques sur des sables eoliens et des argiles
sands and expansive clays, indicate that most soils,
expansibles, indiquent que la plupart des SOIS,
from sands right through to clays exhibit behaviour depuis les sables jusqu’aux argiles montrent qu’ils
which, below a critical degree of saturation, cannot se comportent, au dessous d’un degre critique de
be accounted for purely on the basis of effective saturation, d’une maniere qui ne peut pas s’expliquer
stress changes. In sands the critical degree of simplement sur la base des changements de tension
effective. Pour les sables le degre critique de
saturation is below 50%. In clays, however, the
saturation est inferieur a 50%. Par centre pour
critical degree of saturation appears to be as high les argiles le degre critique de saturation semble
as 90%. atteindre 90 “//o.
An explanation for the observed behaviour of On donne une explication sur la maniere dont se
partly saturated soils is offered. It is suggested comporte les sols partiellement satures qui ont et6
observes. On suggere que les changements de
that the structural changes resulting from a change
structure resultant d’un changemcnt de manque de
of pressure deficiency in a soil are very different from pression dans un sol sont t&s differents de ceux qui
those resulting from an equivalent change in applied resultent d’un changement equivalent dans la
stress. Although the experimental work described tension appliqueee. hlalgre que le travail experi-
in the Paper is confined mainly to considerations of mental decrit dans l’article soit limit6 principalement
aux considerations de changement de volume lej
volume change the conclusions drawn apply equally
conclusions tirCes s’appliquent aussi bien B la
well to shear strength. The practical significance resistance au cisaillement.
of the results of the investigation are discussed On expose une breve discussion de la signification
briefly. pratique des resultats de l’enqu&te.
125

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126 J. E. B. JENNINGS AND J. B. BURLAND

INTRODUCTION

Classical soil mechanics has been concerned chiefly with soil in which the voids are com-
pletely filled with water. It was for such soils that Terzaghi formulated his principle of
effective stress. This principle has proved invaluable to the engineer who is concerned with
the prediction of soil behaviour, and in fact has come to be regarded by many foundation
engineers as axiomatic. It is true to say that the principle of effective stress lies at the
foundation of most modem soil mechanics theory and practice.
In most semi-arid regions many engineering soils do not conform to the classical pattern
because they are not fully saturated. Besides involving the normal questions of consolidation
and shear strength, the problems of partly saturated soils also include phenomena not en-
countered in fully saturated soils, e.g. heave due to swelling of desiccated clays and additional
settlement due to collapse of grain structure on wetting the loaded soil. The need for placing
the prediction of the behaviour of unsaturated soils on a sound scientific basis has long been
considered to be an urgent necessity. In extending the science of soil mechanics to cover the
case of partly saturated soils the possibility that some of the classical theories might require
modification must not be overlooked. For this reason it is important that theories formulated
for fully saturated soils should not be applied to partly saturated soils until their validity has
been tested.
The fundamental rale played by Terzaghi’s principle of effective stress in the prediction
of the behaviour of saturated soil makes its extension to partly saturated soils attractive and
important. The purpose of this Paper is to examine the behaviour of some partly saturated
soils in relation to the principle of effective stress with a view to assessing its validity. The
present investigation is confined mainly to considerations of volume change.

THE PRINCIPLE OF EFFECTIVE STRESS

Saturated soils
The principle of effective stress, as formulated by Terzaghi (1923 and 1932),1 may be
stated in the form of two propositions:
(i) All measurable effects of a change of stress, such as compression, distortion, and a
change of shearing resistance of a soil are exclusively due to changes in effective
stress.
(ii) The effective stress U’is defined as the excess of the total applied stress u over the
pore pressure U, i.e.
uI=cr-U . . . .
(1) . . . .
The validity of the principle of effective stress for saturated soils has been adequately
verified by the work of Rendulic (1936), Bishop and Eldin (1950)) Henkel(1959 and 1960), and
Skempton (1960).

Unsaturated soils
A number of workers have attempted to extend the principle of effective stress to the case
of partly saturated soils. Aitchison and Donald (1956) have shown that provided the soil
remains fully saturated the soil moisture suction or pressure deficiency in the soil water $”
contributes directly to the effective stress in the soil and equation (1) becomes:
O’=fJ++U . . . . . .
* (2). . .
AS soon as air enters the pore space the pressure in the pore-water no longer acts over the
whole cross-sectional area and equation (2) will no longer apply. Jennings (1957), Croney,
et a2 (1958), Bishop (1959), and Aitchison (1960) all proposed modified forms of effective stress
1 The references are given on p. 144.

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 EFFECTIVE STRESSES IN PARTLY SATURATED SOILS 127
equation to account for the two-phase nature of the pore fluid in a partly saturated soil. A
recent Conference* brought together all the above schools of thought. Discussion at this
Conference showed that there was a substantial measure of agreement between the various
expressions defining effective stress and that the one proposed by Bishop was the most general
since it included a term for the pressure in the gas phase. In a written discussion to the
Conference, Aitchison and Bishop proposed that the effective stress equation for a partly
saturated soil should take the form:
(J’= U + x(2.&- U,) - 24, . . . . . . . * (3)
=u+xpr,-ua . . . .
. (34 . . . . .
where U, is the pressure in the gaseous phase of the pore fluid;
ZL,is the pressure in the liquid phase of the pore fluid;
x is a parameter identical to the parameters x, #, and /3 proposed by Bishop, Aitchison,
Croney, and Jennings and the equation may equally well be written in terms of any
of these alternative parameters.
Equation (3) can be re-written in the form:
U’= a - [x.2.& + (1 - x)2&] . . . . . . . W4
=a-uU* . . . . . . * (34
. . . . .
The quantity [x.u~ + (1 - x)u~] may be considered as an equivalent pore-pressure u*, i.e.,
that portion of the effective stress in a soil resulting from fluid pressures in the pores. This
retains the present understanding of the effective stress law in which the effective stress is
considered as being made up of two components-one resulting from total normal pressure
and the other from pressures exerted by the fluid in the pores. If the soil is saturated x = 1
and the ordinary Terzaghi Law results.
From the engineering point of view the usefulness of the effective stress principle is that by
applying a relationship of the form of Terzaghi’s Law, practical engineering problems relating
to volume change and shear can easily be manipulated. It is most desirable to retain this
adaptability and equation (3~) is in a form which is identical to that of the original equation (1).
Bishop and Donald (1961) performed a triaxial test on a partly saturated silt with a view
to verifying the validity of equations (3). In this test the cell pressure (us), the pore-water
pressure (uW),and the pore-air pressure (Us) were varied, during the shearing process, in such
a way that both (us - u,) and (u, - u,) remained constant throughout the test. It was
found that these variations had no effect on the stress/strain curve. However, a change in
(us - u,) or (ZL~- u,) alone had a marked effect on the shape of the stress/strain curve. It
was therefore concluded that the form of equation (3) is correct and that the behaviour of the
soil is independent of the absolute values of a, u,, and u,.
If it can be accepted that the form of equation (3) with its various modifications is correct,
it becomes possible to state the principle of effective stress for partly saturated soils. As for
the case of saturated soils, the principle takes the form of two propositions:
(i) All measurable effects of a change of stress, such as compression, distortion, and a
change of shearing resistance of the soil are exclusively due to changes in effective
stress.
(ii) The effective stress U' in a partly saturated soil is defined as the excess of the total
applied stress a over the equivalent pore pressure [x.tiW + (1 - x)ua],
i.e. u’ = u - [x.u~ + (1 - x)ua]
or any of the other forms given in equation (3).
This definition is in close agreement with Skempton (1960) who stated that an effective stress
* Conference on Pore Pressure and Suction in Soils, London (1960). Butterworths.

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 128 J. E. B. JENNINGS AND J. B. BURLAND

is that stress controlling changes in volume or strength of the soil, and suggested that the
effective stress in a partly saturated soil could be defined by equation (3). Lambe and
Whitman (1959), though using a slightly different form of effective stress equation, gave a
definition for the principle of effective stress which is very similar to the one used in this
Paper. There appears, therefore, to be some measure of agreement on the definition of the
principle of effective stress.
To date most Authors have tacitly assumed that the principle is valid for partly saturated
soils. Bishop (1960) stated that there appeared to be no reason why the principle of effective
stress should not be valid for negative pore pressures or suctions. Jennings (1960) outlined
two methods of measuring x by comparing the behaviour of a soil specimen under changes in
applied suction with the behaviour of an identical saturated soil sample under changes in
externally applied pressure. Bishop, et al (1960) and Bishop and Donald (1961) measured x
using methods which were essentially similar to those proposed by Jennings. These methods
all rely on the assumption that the effective stresses under conditions of externally applied
pressures are directly comparable with the effective stresses under applied suctions. This is a
tacit assumption of the validity of the principle of effective stress over the whole range of
partial saturation.

EXPERIMENTAL WORK
Unlike the case of saturated soils littIe experimental work has been done on the validity
of the effective stress principle for partly saturated soils. Bishop’s and Donald’s tests des-
cribed above, while showing that equation (3) may be statically correct, cannot be interpreted
as demonstrating the validity of the principle of effective stress. To do this it is necessary to
show that the soil behaviour is unaffected by changes in (0 - ‘u,) and X(M~ - u,) such that
their sum (= a’) is constant. Such a test would be very difficult to perform since it would
require a knowledge of x which, at present, can only be measured using methods which tacitly
assume the validity of the effective stress principle. It is therefore not possible at this stage
to test the validity of the principle of effective stress in partly saturated soils rigorously.
However, by comparing the behaviour of a partly saturated soil under externally applied
loads with the behaviour of an identical saturated soil under the same loads it is possible to
assess in a qualitative way, whether the soil is behaving in accordance with the principle of
effective stress or not.
The work described in this Paper was confined to considerations of volume change only.
The voids ratio of a compressible soil is, if anything, a more direct measure of effective stress
than is the shear strength, and its measurement is a comparatively simple procedure whereas
strength determinations, particularly in unsaturated soils, are very complex and lengthy.

Soils used
The three types of soil used were a silt, a silty sand, and a silty clay. The silt consisted
entirely of very fine quartz particles derived from the ball milling of quartzite. The silty sami
was a reddish-brown soil of the type used extensively for road construction in the Transvaal.
The silty clay was derived by mixing the silt just described with Wyoming bentonite in the
proportions 4 : 1 by weight. These three materials were chosen because they provided a
complete coverage of the range of soils from sands through to clays. The properties of the
three soils are shown in Fig. 1.

Tests
(1) Oedometer tests on air dry &.-A quantity of the oven-dry silt was mixed with distilled
water to give a moisture content of 35% which was just sufficient to allow a little bleeding
as the slurry settled. The slurry was carefully spooned into 3&-in.-dia. x l$-in.-high greased

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 EFFECTIVE STRESSES IN PARTLY SATURATED SOILS 129
moulds with porous stone bases. Great care was taken to ensure that no air bubbles were
trapped in the specimens. They were then allowed to stand open to the atmosphere for a few
davs and were weighed at frequent intervals. When the samples had reached constant
weight they were removed and trimmed to fit snugly into 3-in. x l-in. oedometer rings. They
were then placed in a consolidometer between two air-dry sintered brass disks. All joints
were carefully sealed with Vaseline and the cells were covered with plastic membranes bedded
on Vaseline by rubber bands.
Five specimens of air-dried silt were then tested using the double oedometer technique
described by Jennings and Knight (1957). The natural moisture content samples were soaked
at applied pressures of 2, 4, S, and 16 tons/sq. ft. The e/loge plots for the five samples are
shown in Fig. 2, together with the compression curve obtained in the ordinary way, starting
with the silt in an initially slurried condition. It will be observed that after soaking the com-
pression curves for all five samples are almost co-incident up to the maximum loading.
In another set of oedometer tests air dried samples were loaded in the normal way up to
2, 4,8, and 16 tons/sq. ft. When equilibrium had been reached at these loads the specimens
were soaked. At the same time the loads were decreased in the effort to maintain constant
volume. The e/logp curves for the four samples are shown in Fig. 3 which also includes the
curves for compression of the soaked air-dried sample and for the sample starting as a slurry.
It will be observed that a certain amount of volume change took place on soaking. This was
unavoidable as the process of reducing the loads with soaking was one of trial and error.
(2) Oedometev tests on silty sand at various degrees of saturation.-The soil at its liquid limit
was placed in 3$-in. x l&in. moulds and left in the atmosphere to dry. At various stages in
the drying-out process the samples were removed and placed under sealed bell jars for 7 days
to allow time for moisture equilibrium in the samples. Four samples, having initial degrees
of saturation of 69*52/,,49.40/o, 40*7%, and 32.6% were prepared in this way. They were then
trimmed and tested in the oedometer, care being taken to maintain the initial moisture con-
tents. After reaching equilibrium under 16 tons/sq. ft these four samples were soaked. The
e/logp curves are shown on Fig. 4 and for comparison other compression curves are also
included; the virgin curve for the soil slurry; the soaked curve for the same soil, dried to 30.0%
saturation and soaked under 0.1 ton/sq. ft before compressing; a special soaked curve where
a sample at 36.3% saturation was first loaded to 8 tons/sq. ft then soaked and further com-
pressed to 16 tons/sq. ft.
(3) All-rou?td compression tests on silt.-Tests were carried out on silt under all-round
pressure in a high-pressure apparatus shown diagrammatically in Fig. 5. Air-dried specimens
of silt were tested using a procedure similar to that described for the oedometer tests on the
same material. The applied loads at which soaking took place were O-324, 3.24, and 10.2
tons/sq. ft. The results are shown in the form of e/log@ curves in Fig. 6. For comparison
the compression curve for a sample having a natural moisture content giving 42.5% saturation
is shown dotted.
(4) Compression under suction pressures on &.-Fig. 7 shows the e/pF curve obtained in
the high-pressure apparatus used as a pressure membrane when the silt slurry was subjected
to increments of pressure deficiency. The dimensions of the sample for each increment were
measured with callipers and dial gauge comparator. The pF/moisture content curve for the
silt obtained using standard pressure membrane procedures, is shown in Fig. 8.
(5) AU-round compression tests on silty clay at various initial jwessuye de$ciencies.-Samples
of silty clay were formed in 3&in. x l&in. moulds and brought to equilibrium at various
pressure deficiencies in a pressure membrane apparatus. The time required for the samples
to reach equilibrium under a given pressure deficiency was about 28 days. When a sample
had reached equilibrium its ends were trimmed flat and the overall dimensions were carefully
measured.
The specimen was then weighed and placed in the high-pressure consolidation apparatus

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 GRAIN DIAMETER MM.

Fig. 1. Grain distribution curves for silt, silty sand and silty clay

Fig. 2. Oedometer curves for air-dry silt soaked at various constant applied pressures

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 EFFECTIVE STRESSES IN PARTLY SATURATED SOILS 131
between air-dry end plates. The specimen was consolidated under increments of all-round
pressure. Twenty-four hours were allowed between each increment of load and the maximum
applied load was 32.4 tons/sq. ft. The e/logp curves for three specimens having initial
pressure deficiencies of pF 3.0, pF 3.5, and pF 4.5 are shown in Fig. 9, together with the
saturated virgin compression curve and e/pF curve for the material.

DISCUSSION OF TEST RESULTS

Oedometer tests
The e/log J!Jcurve for the air-dry silt sample which was soaked at 0.1 tons/sq. ft (see Fig. 2)
joins up with the virgin compression curve. This is consistent with normal consolidation
experience which has shown that if a preconsolidated soil is recompressed, the compression
curve will join up with a unique virgin compression curve. The partly saturated specimens
are very much more incompressible and instead of joining up with the virgin compression
curve their e/log@ curves actually cross it.
The compression curves for the soaked soils are plotted in terms of effective stress, whereas
the compression curves for the partly saturated cases are in terms of applied stress. This

APPLIED PRESSURE TONS/SC& FT.

Fig. 3. Oedometer curves for air-dry silt soaked at various constant voids ratio

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132 J. E. B. JENNINGS AND J. B. BURLAND

approach is not inconsistent with general soil mechanics practice and it is frequently used for
shear strength interpretation. In a partly saturated soil, under a specific external loading,
the positive effective stress component clue to the pressure deficiency in the soil, is unknown.
With reference to equation (3a), a process of soaking the soil will bring about a reduction
of this unknown component to zero representing a decrease in effective stress. On the basis
of the effective stress principle this decrease in effective stress should be accompanied by an
increase in the volume of the soil.
In every case when the partly saturated silt was soaked under constant applied load it
underwent additional settlement or “collapsed”. This occurred even when soaking took place
at small values of applied load. In these cases the void ratio changes are small and well
within the range of previous experience in normal consolidation and shear. The phenomenon
of collapse is thus not necessarily a feature resulting from major structural change. Clearly,
the “collapse” is the reverse of the behaviour predicted on the basis of the effective stress
principle.

APPLIED LOAD TONS/SQ.FT.

Fig. 4. Oedometer curves for silty sand tested at various initial degrees of saturation

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EFFECTIVE STRESSES IN PARTLY SATURATED SOILS 133

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134 J. E. B. JENNINGS AND J. B. BURLAND

0
t=

; .76

;;

0
> ‘75

.74

.7 3

APPLIED PRES?JRE TONS /SC&FT.

Fig. 6. All-round compression curves for afrklry silt soaked at various constant applied
pressures

PRESSURE DEFICIENCY - TONS /SQ. FT.

Fig. 7. Voids ratio: pressure deficiency curve for silt

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 EFFECTIVE STRESSES IN PARTLY SATURATED SOILS 135
The results of the consolidometer tests on air-dry silt soaked at constant voids ratio (Fig. 3)
offer further evidence that the normal concept of effective stress is not always valid for such
soils. If the principle were valid it could be expected that soaking at constant volume would
require an increase in applied stress approximately equal in magnitude to the pore pressure
(unknown) p” relieved during soaking. However, the results show that in order to retain
constant volume it is necessary to reduce the applied load during soaking.
The results of the oedometer tests on silty sand (Fig. 4) follow the same pattern as shown
by the air-dry silt. Even at fairly high degrees of saturation the e/log $I curves for the partly
saturated soil cross the virgin compression curve. The sample which was dried out to 30%
saturation, soaked at zero applied stress and then compressed, joins up with the virgin com-
pression curve in the classical manner.

All-round compression tests

The stress conditions set up in a specimen of partly saturated soil during an oedometer
test are complex. Quite apart from secondary edge effects the sample is subjected to a
shear condition resulting from the difference in magnitude of the major and minor principal
stresses. Hilf (1956) explains the collapse effect purely on the basis that saturation of the
soil releases a certain amount of confining stress and the sample fails in shear with the result
that it undergoes additional settlement. The only satisfactory way to establish if collapse
of structure is due to shear stresses, which can be accounted for by the principle of effective
stress, is to test the soil in equal all-round compression. The results of such a test on air-dry
silt are shown in Fig. 6. It can be seen that the soil behaviour in all-round compression is
very similar to the behaviour in laterally confined compression. By testing silt at various
initial degrees of saturation it was found that collapse on soaking under load became evident
below degrees of saturation of about 50%*.
The results of the series of tests under equal all-round pressure performed on silty clay at
various initial pressure deficiencies are shown in Fig. 9. The sample having an initial pressure
deficiency of pF 3.0 joins up with the virgin compression curve. However, the e/log p curves
for the samples having initial pressure deficiencies of pF 3.5 and pF 4.5 cross the saturated
virgin compression curve. The arguments applied to the partly saturated silt as regards its
behaviour in relation to the principle of effective stress apply equally well to the silty clay.
The most significant difference between the silt and the silty clay is that, whereas the silt
appears to behave in accordance with the effective stress principle down to degrees of satura-
tion of about 50%, the silty clay exhibits deviations from the principle at degrees of saturation
as high as 90%.

Examination of field data on heaving and collapsing soils

In 1957 Jennings and Knight described a special consolidation technique known as the
“ double oedometer test ” for use in predicting the total collapse settlement or heave in partly
saturated soils. The reliability of these methods have recently been further substantiated
by Jennings (1961) and Knight (1961) and in the time since they were proposed a large amount
of experimental data on partly saturated soils has been collected, mainly in the form of natural
moisture content and soaked e/log p curves (example shown in Figs 10 and 11).
Burland (1961) examined these data and made the following observations:
(i) The natural moisture content compression curve of most partly saturated soils in
nature will enter a straight tangent, provided the loading is carried sufficiently
high.
* This 50% saturation value was not determined precisely. The figure lies between S, = 68.4% which
gave no collapse and S, = 42.576 which gave collapse as shown in Fig. 6.

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136 J. E. B. JENNINGS AND J. B. BURLAND

(ii) If the two compression curves obtained from the double oedometer test are adjusted
so that the initial voids ratios are equal then the straight line portion of the natural
moisture content curve is often displaced to the right of the saturated virgin
compression line for the material. This is invariably the case with collapsing
materials and is most frequently the case with heaving soils particularly for
samples which are taken from the upper sections of the profile. Table 1 gives the
displacement expressed as a change in voids ratio for sixteen tests on heaving soils
from these sites. Even at quite high degrees of saturation the two curves are
still significantly displaced.
Table 1

The displacement between the straight-line portions of natural moisture content and soaked
consolidometer curves*

Vereeniging Coalbrook
-
r Odendaalsrust
7-
Depth: e 2 / Dep: ~ e Sr: Depth: 7 e Sr:
ft % ft %
_- -.

10
+0.061
0.000
+ 0.062
76

::
5
8
+0.115
0.000
79

i;
6
7
11
+
+
+
0.068
0.040
0.032
iz;
89
:z 0.000 96 16 + 0.030 86
:: - 0.000
0.020 EG 21 + 0.035 93
19 0.000 100 32 + 0.045 87
- -
* A positive displacement indicates that the natural moisture content curve is displaced above the soaked
curve.

Jennings and Knight (1957) have explained the heaving phenomenon in terms of a de-
crease in effective pressure in accordance with the principle of effective stress. This provides
a reasonable working hypothesis but the consistent displacement of the straight line portion
of the natural moisture content curves to the right of the soaked virgin compression line

WATER CONTENT PERCENT.

Fig. 8. pF/water content curve for silt

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 EFFECTIVE STRESSES IN PARTLY SATURATED SOILS

-1 .2 .3 .4 .r 4 .7 .a.0 10 2 34 5 6 7 .PIC 20 30 4c

APPLIED PRESSURE TONS/SQ.FT.

Fig. 9. Silty clay consolidated from various initial degrees of saturation under all-round applied
stress

suggests a similarity with the results already observed for the collapse of silty soils. It is
probable that these heaving soils also exhibit some degree of collapse and this might be the
cause of some over-estimation of heave, particularly in the case of heaving sandy clays,
already reported by these Authors. It appears, therefore, that even with heaving soils the
principle of effective stress is not wholly applicable in all cases.

Collapse of compacted soils

Holtz (1948) and Wagener (1961) have obtained compression curves showing that collapse
occurs in soils compacted dry of optimum moisture content, even when the densities are high.
These data show that collapse is not confined only to loose natural soils.

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138 J. E. B. JENNINGS AND J. B. BURLAND

SOIL STRUCTURE
The data presented in this Paper makes it apparent that changes in the water phase of a
partly saturated soil can cause changes in soil behaviour which are not accounted for by the
effective stress principle. This seems to apply to all soil types, both granular and clayey.
Considerations of the structure of partly saturated soils and the mechanism of the develop-
ment of inter-granular stress resulting from externally applied loads and pressure deficiencies
furnish an explanation for the apparently anomalous behaviour described in this Paper.

Granular soils
The structure of most natural granular soils is very different from the traditional spherical
grained open-pack and closed-pack structure so often assumed. In a non-uniform granular
material the grains tend to form local bridges or arches as depicted in an idealized form in

COLLAPSE OF GRAIN STRUCTURES

SILTY SAND FROM INDUSTRIA

APPLIED PRESSURE TONS/ SQ.FT.

Fig. 10. Typical double oedometer curves for a collapsing sandadjusted to equal initial voids
ratio at an applied load equal to overburden pressure

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 EFFECTIVE STRESSES IN PARTLY SATURATED SOILS 139

Fig.11. Typical doubleoedometer curves for expansive clayadjustedto equalinitialvoidsratio

at0.01tons/sq. ft applied pressure

Fig. 12(a). Application of external loads under drained conditions cause both shear and
normal forces to develop at each grain contact point. Under the action of these local shear
forces the grains tend to take up a closer packing by rolling and sliding (see Fig. 12(b)) and
the soil mass as a whole may be considered as fairly compressible. An identical effect may be
obtained if the compression is caused by surface tension effects instead of by externally
applied loads. This is indicated on Fig. 12(c) where the compressive forces are due to the
menisci at the edges of the saturated soil. If further loss of water is allowed, air will enter the
soil and the menisci will recede into the soil structure. This results in a new stress situation
which has no direct parallel to any applied pressure condition. The interparticle forces are
now derived from high curvature menisci at the grain contact points (Fig. 12(d)). These
menisci induce only normal forces between the particles which tend to become “bonded”
together thereby increasing their relative stability. The “ bonded” particles offer consider-
able resistance to local shear forces induced by additions of applied load, but if the partly
saturated soil is wetted while under load the interparticle “bonds” are removed and the soil
will collapse to the equivalent condition it would have experienced if it had remained saturated.

Clayey soils
Very little work has been done on the structure of partly saturated clays. Michaels (1959)
has suggested that as a clay dries and the menisci at the surface are drawn into the soil matrix

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 140 J. E. B. JENNINGS AND J. B. BURLAND

the clay structure tends to form into “packets” of clay particles. This theory is confirmed by
the well-known phenomenon of “micro-shattering” encountered in many desiccated clays. A
clay which is “micro-shattered” consists of numerous small grains which are easily mistaken
for sand grains but which, when rubbed in the palm of the hand with water, break down into
clay.
In a desiccated condition the structure of a clay soil is similar to a granular structure in
which each grain is composed of numerous clay particles tightly bonded together. If the soil
in this state undergoes an increase in applied load the grains will tend to distort but there will
be little tendency for them to slip or roll because of the bonding action of the high curvature
menisci at the particle contact points.
When the soil is wetted under load there are two aspects of behaviour to consider. The
bonding between each “packet” of clay particles will be removed and the grains will tend to
be displaced relative to one another. On the other hand each “packet” will take up water
and expand. The overall behaviour of the soil on wetting will depend on the magnitude of the
applied loads and the change in water content. At low applied loads the volume of the soil
will increase and at large applied loads a decrease of volume on wetting can be expected as

-. -. __. - _ _._._

(a)

T T T T 4 T-T
(b)
Fig. 12. Structural changes in a granular soil resulting from increases in applied load and
pressure deficiency. (a) Loosely packed granular material; (6) Displacement of grains
resulting from an increase in applied load; (c) Small displacement of grains due to compres-
sive forces resulting from menisci at the boundaries of the saturated soil; (d) Particles
“bonded” together by the action of high curvature menisci at the grain contact points

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 EFFECTIVE STRESSES IN PARTLY SATURATED SOILS 141
has been shown experimentally by Komornik (1961). It is quite possible that soaking of the
soil under load will result first in a rapid reduction in volume due to removal of intergranular
“bonds ” and then a slow increase in volume due to particles taking up water.

THE CONCEPT OF EFFECTIVE STRESS IN PARTLY SATURATED SOILS

At this point it is as well to review the use of the term “effective stress” in a partly
saturated soil. The principle of effective stress can be considered as a hypothesis which
attributes certain properties exhibited by a soil to the action of an effective stress in the soil.
This effective stress is an equivalent intergranular stress obtained either from considerations
of equilibrium between the applied stress and the pore water and pore air pressures or by some
empirical method.
The tests performed by Bishop and Donald (1961) on a partly saturated silt (described
previously) show that equation (3) is probably statically correct. However, the experi-
mental data presented here indicate that it is not C’that controls the behaviour of the majority
of partly saturated soils but rather functions of the separate values of 0 and [x.u, - (1 + x)u~]
or more simply (T and u*. To say, therefore, that equation (3) defines the effective
stress in a partly saturated soil according to the effective stress principle is not always correct.
Equation (3) actually defines an intergranular stress; the important difference being that,
whereas an effective stress is that stress controlling soil behaviour, this is not necessarily true
of an intergranular stress. Therefore, in a partly saturated soil, until the stress defined in
equation (3) has been shown definitely to control soil behaviour it should be called the inter-
granular stress which might be denoted by oil*. In the case of clays, where the meaning of
intergranular stresses becomes obscure, the term “equivalent intergranular stress” (u,i’)
might be used.

THE PARAMETER x

By making use of an idealized model of an unsaturated soil, Aitchison (1960) was able to
show that the parameter x is given by the expression:
P”
x=$zs,+~ 0.3p”.AS,
P 9c
0
By assuming various pressure deficiency : degree of saturation relationships, Donald (1960)
derived a theoretical x :S, relationship shown in Fig. 13. Bishop, et al (1960) and Bishop and
Donald (1961) have measured x for a number of soils using volume change and shear strength
procedures. For the silt and silty clay referred to in this Paper, x has been calculated from the
relationship of applied pressures and suctions at equal voids ratio and these values, together
with those obtained by the above workers are also plotted in Fig. 13.
The x/S, curves for all of the granular materials follow the theoretical relationship quite
closely down to degrees of saturation of between 60% and 40%. For the more clay materials,
a major departure from the theoretical curve takes place at much higher saturation values.
These observations agree with the results of the tests on the silt and silty clay where it was
found that below the approximate values of saturation 50% and 90%, respectively, they failed
to obey the principle of effective stress. This suggests that there is a critical degree of satura-
tion above which the effective stress principle may be expected to apply or otherwise as

* This symbol is put forward as a tentative proposaland should not be confused with the identical one used
by Colemalz a?zd Russam (1961).

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142 J. E. B. JENNINGS AND J. B. BURLAND

DEGREE OF SATURATION Sr

I
2
3
COMPACTED
COMPACTED
BREAHEAD
BOULDER
SHALE
SILT.
(-2
CLAY
.22%)
BISH 8 P AND
(-2)~.4%)

DONALD
1BISHOP
ET AL(l960)
(1961)
4 SILT (-2jJ ‘3% )
5 SILTY CLAY (-2jJ= 23%)
e THEORETICAL DONALD (1960)

Fig. 13. Curves of parameter x against degree of saturation for various soils

suggested by Jennings and Knight (1957) above which there will be no collapse in a partly
saturated soil.
In a recent investigation, Knight (1961) has shown that the critical degree of saturation
for many sandy subsoils lies between 45% and 60%. Unpublished consolidation and triaxial
shear tests on crushed rock (- 8 to + 48 sieve) give a critical degree of saturation of approxi-
mately 20%.
The above discussion has shown that depending upon the degree of saturation x may take
on two different values for the same soil:-
(i) The value of x requires to satisfy equation (3) from a statical point of view. This
value can be called the true or intergranular x.
(ii) The value of x obtained by relating the behaviour of the partly saturated soil to the
behaviour of an identical fully saturated soil. In this case x has no physical
significance but is merely a convenient empirical parameter. Bishop, et al (1960)
recognized this when they suggested that x measured in this way should be called
an apparent x.
In both the above cases it must be realized that the value of x with respect to volume
change need not necessarily be identical with that in respect to shear strength. This point
has been discussed in some detail by Croney, et al (1958) and by Bishop (1960). Bishop and
Donald (1961) found that in the special case of Braehead silt there appeared to be no marked
difference between the x values based on shear strength and on volume change characteristics.
The experimental determination of true x requires a method which does not assume the validity
of the principle of effective stress and it appears that no such method is yet available.

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 EFFECTIVE STRESSES IN PARTLY SATURATED SOILS 143

PRELIMINARY CONSIDERATIONS OF SHEAR STRENGTH

The work described in this Paper has been concerned exclusively with volume change
characteristics of partly saturated soils. Similar methods can be used for checking the
validity of the effective stress principle in relation to shear strength. Burland (1961) analysed
some existing shear strength data for partly saturated and fully saturated compacted soils.
By relating shear strength to void ratio at failure he was able to show that the principle of
effective stress is not valid for these soils below a critical degree of saturation. In any given
soil, this critical degree of saturation appears to have approximately the same value as that
found for volume change effects.

PRACTICAL SIGNIFICANCE

The finding that the principle of effective stress is not valid over a considerable portion
of the range of partial saturation will necessitate a certain amount of readjustment along lines
which do not follow the traditional effective stress approach. The most significant implication
relates to the prediction of the behaviour of partly saturated soils during changes in moisture
content. Prediction on the basis of tests involving changes in effective stresses due to applied
loads only, though quite acceptable from a traditional approach, could lead to gross errors,
particularly for conditions where collapse of structure on wetting occur.
In South Africa, where subsoils are often very dry, it has become standard practice to test
the soil at its natural moisture content and in a saturated condition. From the point of view
of shear strength prediction, the two tests usually employed are the standard unconsolidated
undrained test for the soil at its natural moisture content and a consolidated soaked undrained
test for the soil in a soaked condition. For the prediction of volume changes the double
oedometer test which follows comparable lines has proved both simple and reliable. The
tests just described enable the behaviour of the soil to be estimated for the two extremes of
possible moisture content conditions likely to be encountered in the field.

CONCLUSIONS

1. The effective stress principle is only valid for a partly saturated soil when, at a specific
condition of applied stress and pressure deficiency, the change in volume or shear strength
resulting from a change in pressure deficiency is identical to the change in volume or shear
strength resulting from an equivalent change in applied stress.
2. There is no unique relationship between voids ratio and effective stress, as defined by
the equation:
CT’= a - [.u, - X(2& - u,)]
for most partly saturated soils below a critical degree of saturation. This critical degree of
saturation appears to depend largely on the grain size characteristics of the soil. Preliminary
results show that for coarse granular soils the critical degree of saturation might be as low as
20%, for silts of the order of 40-50%, while for clayey soils the critical value is upwards of
85%.
3. Until the soil behaviour is known to obey the principle of effective stress over the range
of partial saturation involved in the practical case concerned, the stress defined by equation (3)
should be called the intergranular stress and denoted by ai’.
4. Present methods of determining x yield apparent values over a considerable portion
of the range of partial saturation which bear little relation to the values of x required to satisfy
the equation defining usi’.

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144 J. E. B. JENNINGS AND J. B. BURLAND

ACKNOWLEDGEMENTS

The tests have been carried out in the Department of Civil Engineering, University of the
Witwatersrand, with the aid of funds provided by the South African Council for Scientific and
Industrial Research.

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