Okada, N. & Nemat-Nasser, S. (1994). GPotechnique 44, No.

1, 1-19

Energy dissipation

in inelastic flow of saturated

granular media

N. OKADA*

cohesionless

and S. NEMAT-NASSER*

The results of a study of energy dissipation in

cohesionless granular media are presented. The
relation between the excess pore water pressure,
accumulated in a water-saturated granular mass,
and the corresponding external work in undrained
cyclic loading is studied experimentally,
under
displacement-controlled
conditions.
A micromechanical model of internal energy dissipation
due to slip between contacting granules is introduced, and the results are compared with experimental measurements. The specimens are subjected
to two sequences of loading with an intermediate
reconsolidation to simulate reliquefaction. External
work per unit volume is calculated from the experimental results, and its correlation with the excess
pore water pressure is examined. In the first
loading, a unique non-linear relation exists between
the excess pore water pressure and the external
work per unit volume which is independent of the
shear strain amplitude. In the second loading this
relation is a function of strain amplitude. Based on
a micromechanical model, it is shown that the
internal dissipation per unit volume in cohesionless
granular media can be expressed in terms of the
time history of the applied effective pressure and a
single scalar parameter which depends on the
density and strain amplitude. The model is further
validated by torsion tests with random variation in
the applied strain amplitude, and excellent agreement with the experimental results is obtained.

KEYWORDS: friction; laboratory tests; liquefaction;

pore pressures;sands; torsion.

INTRODUCTION

Liquefaction is a complex phenomenon

in which
fluid-saturated
granular media may momentarily
behave like fluids. It is an important
aspect of

Manuscript
received 14 January
1992; revised manuscript accepted 11 March 1993.
Discussion on this Paper closes 1 July 1994; for further
details see p. ii.
* University of California, San Diego.

Larticle prCsente les rbultats obtenus au tours

dune Ctude sur la dissipation de Knergie dans des
milieux granulaires pulvCrulents. La relation existant entre Iexc&s de pression interstitielle deau,
accumul& dans une masse granulaire saturi?e, et le
travail extkrieur asscn+ apparaissant au tours de
cycles de chargement non-drain&s, h d&placement
contrSlt, est Ctudiee expi?rimentalement.
Une
mod%sation microm&anique
de la dissipation
dbnergie interne IiCe au glissement entre grains
jointifs, est proposCe. Les rCsultats obtenus i Iaide
de ce modkle sont cornpark aux mesures exp&imentales. Les izchantillons sont soumis g deux
cycles de chargement, s&par& par une reconsolidation permettant de simuler la reliqkfaction.
Le
travail extCrieur, par uniti: de volume, est calculb g
partir des ritsultats exp&rimentaux. La corr6lation
pouvant exister avec lexc& de pression interstitielle est i?tudi&e.Lors du premier chargement, il
nexiste quune seule relation entre Iexctis de pression interstitielle et le travail extbrieur, cette relation (?tant indbpendante de Iamplitude de la
d&formation au cisaillement.
Lors du second
chargement, cette relation devient dbpendante de
lamplitude de cette dtformation. I1 apparait, i
partir du micromod6le, que la dissipation interne,
par unit& de volume dun milieu granulaire p&&ulent, peut sexprimer en fonction de Ihistorique de
la pression effective appliqute et dun paramktre
scalaire unique dependant de la densiti! et de
Iamplitude de la dbformation. Le modhle est
ensuite valid& P Iaide dessais de torsion, pour des
variations alCatoires de Iamplitude de deformation. La correspondance avec les rCsultats expicrimentaux est excellente.

earthquake-resistant
foundation
design of many
structures,
especially
those located in coastal
areas, which are often built on sand with high
underground
water levels. As liquefaction
takes
place under
seismic loading,
saturated
sand
behaves more like a fluid, and therefore fails to
support the applied loads of the building. Severe
damage to the structure
is often the result.
Damage resulting
from liquefaction
has been
observed in the aftermath of many earthquakes,
including the Loma Prieta earthquake (1989), the

OKADA

AND NEMAT-NASSER

Niigata earthquake (1964) and the Alaska earthquake (1964).

The mechanism
of liquefaction
is closely
related to the dilatancy of granular media. Dilatancy was first studied by Reynolds (1885). It is
defined as the rate of volume expansion in granular media per unit rate of shearing. The granules
are rearranged during shear deformation, and this
results in a change in the total volume. If the granular medium (e.g. sand) is water-saturated
and
undrained,
the tendency
towards
densification
(contractancy)
results in an increase in the pore
water pressure and hence a decrease in the corresponding frictional resistance of the contacting
granules. In continued cyclic shearing, the pore
water pressure at the termination
of each cycle
increases until it reaches a value close to the
applied hydrostatic
pressure. At this stage, the
contact resistance of the granules can be regarded
as essentially negligible. This process leads to a
loss of the load-bearing
capacity of the sandmass, which hence ceases to behave like a solid
body. This is what is meant by liquefaction in this
Paper; see Casagrande (1975) and Seed (1979).
Liquefaction
has been extensively
treated
experimentally
(see, for example, Silver & Seed,
1971; Castro, 1975; Ishihara & Yasuda, 1975). In
such experiments,
parameters
influencing
the
onset of liquefaction
of the sand within a controlled volume are identified and measured. These
parameters
typically
include
overall
density,
initial packing conditions
and granule size distribution (Seed, 1979; Miura & Toki, 1982; Tatsuoka, Muramatsu
& Sasaki, 1982). In addition
to these internal
characteristics,
the applied
loading affects the onset and nature of liquefaction (Ishihara & Towhata,
1983, 1985; Symes,
Gens & Hight, 1984).
Previous work has in general studied liquefaction experimentally.
Theoretical work has focused
on phenomenological
considerations
rather than
a micromechanical
approach.
A unified energy
model for densification
and liquefaction of cohesionless sand was proposed by Nemat-Nasser
&
Shokooh (1979), who compared
its predictions
with the experimental
results of Peacock & Seed
(1968), Youd (1970, 1972) and DeAlba, Seed &
Chan (1976), and obtained excellent agreement.
The present work correlates the results of an
experimental
programme
with
a theoretical
model based on micromechanics
and energy principles. Models of this kind seek to relate the
overall response
of granular
materials
to the
Microresponse
of their
microconstituents.
mechanical analyses of densification and liquefaction phenomena,
which are also co-ordinated
with experiments,
are given by Nemat-Nasser
(1980), Nemat-Nasser
8~ Tobita
(1982) and
Nemat-Nasser
& Takahashi (1984).

EXPERIMENTAL
SET-UP
Motivation and background

Cohesionless
granular
materials
support
general external loads through contact friction.
An experimental
programme
must include compression and shearing of reproducible
samples in
a controlled manner with reliable data. This may
require complex experimental
facilities, with a
closed-loop
feedback
system
to control
the
experiment
and to monitor the specimen deformation. The specimen geometry
used for the
present investigation
is a large hollow cylinder,
25 cm high, with inner and outer diameters of
20 cm and 25 cm respectively. This geometry is
such that in torsion, the shear stress remains
(approximately)
homogeneous
throughout
the
thickness of the specimen; see Hight, Gens &
Symes (1983) for a detailed examination
of this
and related issues. The specimen is supported by
a triaxial load frame (Fig. 1). The axial and torsional deformations
are controlled
through an
MTS servohydraulic
loading system. In addition,
the specimen is subjected to lateral hydrostatic
pressure on both its inside and outside cylindrical
surfaces. In this manner, triaxial states of stress
can be imposed on the material under controlled
conditions with complete data acquisition capability. This load frame, to the Authors knowledge, is one of four that have been constructed to
date, and is fully computer-controlled.
Either the
stress path or the strain path can be preprogrammed
with automatic
mode switching
capability.

Specimen

preparation

and installation

The granular material chosen for this study is

Silica 60, manufactured
by U.S. Silica. This sand
is chosen for its fine particle size, which is necessary in order to minimize membrane penetration
phenomena
that would otherwise invalidate the
test results. The particle size distribution is shown
in Fig. 2. The mean particle diameter is 220 urn
and the specific gravity of the sand is 2.645.
Depending
on the packing conditions,
various
void ratios are obtained.
For Silica 60, the
minimum and maximum void ratios are 0.631
and 1.095 respectively, and are measured by the
JSSMFE method (Committee of JSSMFE on the
Test Method of Relative Density of Sand, 1979).
Special fixtures are used to prepare hollow
cylindrical sand specimens. These fixtures include
inner and outer moulds to which rubber membranes are attached. The sand is initially supported on the bottom by a ring of porous metal
with six evenly spaced fins, called the pedestal,
which in combination
with a mating top ring,
called the cap, applies the torsional load to the
specimen. The pedestal (with associated fins) is

INELASTIC

FLOW

OF GRANULAR

MEDIA

3
Adjustment

Top plate
Metal

Plexiglas

bands

Electrical

bar

dial gauge

Potentiometer

chamber
Cap

Torque

load cell
Supporltng

bars

Tie bars
Counter
Specimen
Ram of trlaxlal

balance

Inner membrane

apparatus
Outer

membrane

Bearings
Porous

metal

Bottom

Pedestal

plate

Clamp

Vertical

clamps
.Horizontal

-Wheels

Fixed counter

frame

Fig. 1. Triaxial load frame

attached to the bottom support plate. The outer

membrane is then slid over the inner membrane
and fixed to the pedestal with o-rings. The outer
mould is bolted in place, and the top of the outer
membrane is draped over the outer mould and
held in place by o-rings. A separate fixture is
installed on top of the outer mould to prevent
sand spillage on the rest of the triaxial load
frame. This fixture also allows for an overfill
amount of sand so that a desired packing condition can be obtained. The excess sand is removed
later.
It is well known that the initial packing condition of the sand has a noticeable effect on the
material response
of the specimen (Arthur &
Menzies, 1972; Oda, 1972a; Miura & Toki, 1982).
The specimen preparation
method must therefore
achieve a consistent initial packing condition so
that experiments
are repeatable. To this end, a

160
Sieve sizes: urn

Fig. 2. Particle size distribution curve

OKADA

AND NEMAT-NASSER

technique has been adopted that is known as the

rodding method. This method consists of pouring
an approximately
2 cm deep layer of sand into
the mould and then inserting
a rod approximately l-l.5 cm into the latest layer. The rod is
moved around the circumference
of the sand in
an up-and-down
motion for 2-3 revolutions. This
procedure is continued until the mould is filled.
Ten layers were used to obtain loose packing
conditions, and 14 layers for dense packing conditions. Experiments
performed under loose conditions use the sand in a wet form, where the sand
has been air dried and then mixed with 8 wt%
water before pouring into the mould. The water is
needed
to prevent
non-homogeneous
initial
packing conditions
in the loose form. The void
ratio for this condition varies between 0.865 and
0.874. Experiments
performed with dense conditions use only air-dried sand with a void ratio
varying between 0.708 and 0.725.
The fixture that was attached to the top of the
outer mould is removed and the amount of overfilled sand is cut away. The cap is then installed;
it consists of the same porous metal as the pedestal and also has six fins. A second vacuum
system is connected to the cap and pedestal. The
purpose of this vacuum system is to make the
under
atmospheric
pressure.
specimen
rigid
The vacuum level is maintained
at 29.4 kN/m2.
The first vacuum system that keeps the outer
membrane fixed to the outer mould is then released. The outer mould is removed, followed by
the inner mould. A torque load cell unit is first
bolted onto the ram of the triaxial load frame
(Fig. l), and then bolted onto the cap. Next, a
potentiometer
is attached to the load frame (Fig.
1). The potentiometer
measures the twist angle
during the experiment. A Plexiglas chamber with
steel bands is installed over the entire specimen,
and a top plate is installed. The top plate is
affixed to the bottom plate by stainless steel tie
bars, which hold the chamber firmly in place. The
chamber has three purposes: it provides confinement of the experiment if the sand mould loses
integrity, it holds the water that is used to apply
hydrostatic
pressure to the specimen, and it is
used as a viewport to observe the progress of the
experiment.
The specimen assembly is now complete. The
assembly is raised to the level of the MTS load
frame by a forklift. A special work frame has been
built onto the MTS load frame: this allows
attachment
of all connections
to the specimen
assembly, and provides a railway for installation
and removal of the specimen into and from the
MTS load frame.
The MTS load frame used for this experiment
has an axial capability of 89 kN and a torsional
capability of 565 Nm, which can be used inde-

pendently. The system uses a Digital Equipment

Corporation
PDP-11 computer
to control the
servohydraulic
actuators. The system is closedloop, so that feedback from any selected transducer can be used to control the test.
Once the triaxial load frame has been rolled
into place over the ram of the MTS load frame, it
is secured in place by both vertical and horizontal
clamps (Fig. 1). The hydraulics
for the MTS
system are turned on, and the MTS ram is raised
to the level of the universal joint by use of displacement control. An air clamp that is fixed to
the top of the MTS ram is then actuated and
grips the universal joint on the bottom of the ram
of the triaxial load frame. The universal joint is
required
to accommodate
any misalignment
between the ram of the MTS load frame and the
ram of the triaxial load frame.
The first step in the experimental
procedure is
to fill the Plexiglas chamber with water until the
specimen is completely submerged. The remaining space above the specimen is pressurized with
air to 29.4 kN/m, the same value as the vacuum
inside the specimen. During this operation
the
vacuum in the specimen is released and water
pressurized in such a manner as to keep the effective pressure in the specimen constant
at 29.4
kN/m2.
The specimen
is then water saturated
as
follows. To attain full saturation, the specimen is
first saturated with CO, gas through the porous
metal in the pedestal and cap. The flow of gas is
continued until all air is removed from the specimen. CO, gas is used because of its high solubility in water. A fixed amount (41) of de-aired
water is used to saturate the specimen. As much
as possible of the small amount of air and CO,
gas remaining
in the specimen must then be
removed. The pore water pressure is increased to
196 kN/m as back pressure, using a burette
system, while at the same time the external
hydrostatic pressure is increased to 225.4 kN/m2,
in order to keep the effective pressure constant
(29.4 kN/m2) during this procedure. The volume
of the excess gas in the specimen is hence reduced
due to the relatively high pore water pressure.
For experiments
of this type, the specimen is
required to be highly saturated.
The degree of
saturation is measured by the B value. For the B
value to be measured, the specimen must be in
the undrained condition. This condition is met by
closing the valve to the burette, ensuring that the
specimen remains at a fixed volume. The specimen is said to be perfectly saturated (B = 1) if an
increase in the external hydrostatic
pressure has
the effect of increasing the pore water pressure in
the specimen by an identical amount. The B value
is defined as the ratio of the incremental increase
of pore water pressure to the incremental increase

INELASTIC

FLOW

of hydrostatic
pressure. The value for all the
present experiments is higher than 0.99.
The last step of specimen preparation
is to
increase the effective pressure to 196 kN/m* by
reopening the valve to the burette, allowing water
to drain from the specimen. The external hydrostatic pressure is thereby increased to 392 kN/m,
where pore water pressure is 196 kN/m. Finally,
the specimen is left undisturbed
in this condition
to consolidate isotropically for a period of 3 h.

Experimental procedure and data acquisition

The MTS load frame has a computer-operated
controller
system. The computer
operates three
independent controllers. Each controller has three
independent
feedback channels. Controller
1 is
associated
with the vertical movement
of the
MTS/triaxial load frame ram assembly; channel 1
is used to monitor the load from the torque load
cell and channel 2 is used to monitor the vertical
displacement
of the specimen. Channel 3 is not
used with any controller. Controller
2 is associated with the pressure;
channel
1 is used to
monitor the chamber pressure P, and channel 2 is
used to monitor the pore water pressure Pi. Controller 3 is associated with the twist of the ram
assembly; channel 1 monitors the torque from the
torque load cell and channel 2 monitors the angle
of twist from the potentiometer.
The experiment
is conducted
by use of two
closed-loop feedback systems. The first feedback
system uses channel 1 of controller
1 in load
control to keep the specimen in a state of hydrostatic compression
in accordance with the external pressure P,. The second feedback system uses
channel 2 of controller 3 in displacement
control
to twist the specimen cyclically to desired shear
strain amplitudes
at desired shear strain rates.

OF GRANULAR

MEDIA

The imposed cyclic angular displacement

that
produces the applied shear strain has a triangular
time variation with constant strain rate, f%/min
over each quarter cycle. Shear strain amplitudes
are 0.2%, 0.5% and 1.0% for both loose and
dense specimens. Tests at 0.4% and 2.0% shear
strain amplitudes are performed on dense specimens. All tests are conducted
in an undrained
condition,
and continue
until the excess pore
water pressure reaches 95% of the initial effective
pressure, i.e. 186.2 kN/m. The tests are actually
stopped at the end of the cycle after which transchannel
2 of controller
2 (pore
pressure
transducer) reaches a value of 382.2 kN/m*. This
entire process is defined as the first loading.
The valve to the burette is then opened, and Pi
is reduced to its initial value of 196 kN/m2. The
specimen is not disturbed for 3 h, for reconsolidation purposes. The valve to the burette is closed,
and the exact procedure for the first loading is
repeated. This is called the second loading. After
the second loading, the experiment
is disassembled. Care is taken to remove the sand from the
specimen and place it in an oven for drying. The
sand is dried for 24 h and then weighed.

EXPERIMENTAL RESULTS
First loading
All the experiments
described were performed
under strain-controlled
conditions, in contrast to
the work of most other researchers,
who conducted the undrained
cyclic shear tests under
stress-controlled
conditions
(see, for example,
Ishihara & Yasuda, 1975; Seed, 1979; Tatsuoka
et al., 1982). Fig. 3 shows the relation of the shear
strain and the effective pressure for loose samples,
for two strain amplitudes, 0.2% and 1.0%. The
effective pressure decreases during each cycle; the

Effective pressure: kN/m

Fig. 3. Relation between shear strain and effective pressure in first loading of loose
specimens; strain amplitudes are 0.2% and l-O%

OKADA AND NEMAT-NASSER

No.
40
4,
,--_

75----

Amplitude
0.2%
1 .O%

--.

Void ratio
0.874
0.871

Number
of cycles
27
2

-25-

-50-I
0

50

100
Effective

150
pressure:

t
250

200

kN/m*

Fig. 4. Relation between shear stress and effective pressure in first loading of loose
specimens; strain amplitudes are @2% and 19%
The rate of external work per unit volume
(tir) can be evaluated in terms of the applied
boundary tractions z and the boundary velocity
field i

reduction after the first cycle is especially large.

The number of cycles required for the excess pore
water pressure to attain 95% of the initial effective pressure depends on the employed
strain
amplitude:
27 cycles are needed for 0.2%, and
only two cycles for 1.0% strain amplitude. Fig. 4
shows the relation of the shear stress and the
effective pressure; Fig. 5 plots the corresponding
shear stress against shear strain. The peak shear
stress (and the secant modulus) decreases after
each cycle.
The energy supplied through external work is
mainly consumed
by the frictional loss at contacting granules, resulting in a change of the
microstructure
in the granular mass. Therefore,
the external work can be used to measure the
history of fabric change in a granular mass.

No.
40
41

50

Amplitude
0.2%
1 .O%

Void ratio
0.874
0.871

t.tidS

L?D

where a dot denotes the inner product and aD is

the boundary
of the sample domain D. If it is
assumed that the boundary tractions are uniform,
then equation (1) can be expressed in terms of the
overall stresses and strain rates, as (Hill, 1963,
1967)
<GE) = (~,,>(~,,>

+ (a,,)<&)

+ (QX&Je>

+ (~,,>(3,e>

Number
of cycles
27
2

I
-0.5

0.0
Shear strain:

0.5

1.0

I
1.5

Fig. 5. Relation between shear stress and shear strain in first loading of loose specimens; strain amplitudes are @2% and lQ%

(2)

INELASTIC

FLOW

OF GRANULAR

Since the specimen is isotropically pressurized by

the external pressure P, throughout
the experiment, all three normal stresses equal P,. If p/V is
the average volumetric strain rate, equation (2)
can be rewritten as
(GE) = PJ(&,)

+ (&,> + (&,)I

+ (c,&jlrCJ

= P0CQ/V + (e,,>(3,e>

(3)

Since, for the pressure levels used here, sand particles and water can be assumed to be incompressible,
v/V
is zero during the undrained
experiment if the sample is completely saturated
and the change in the elastic rebound
of the
membrane due to the reduction of the effective
lateral stress is neglected. The rate of external
work per unit volume then becomes
(&)

(4)

= (a,,>(?.s>

The pressure term does not contribute to the rate

of external work for incompressible
materials, as
is evident at the outset. The external work per
unit volume (wr) up to time t can then be evaluated by the time-integration
of equation (4)
(WE) =

(e,e>(L>
s f0

(5)

dr

where t, is the time at which the experiment is

started.
The external
work is calculated
from the
experimental
results, and correlated
with the
accumulated
pore water pressure for both loose

and dense specimens. The relation of the external

work per unit volume and the excess pore water
pressure for the loose specimens is shown in Fig.
6. Three strain amplitudes, 0.2%, 0.5% and l.O%,
are used here. The data at the end of each cycle in
each experiment
are plotted in Fig. 6, which
shows a unique non-linear relation of the external
work and the accumulated
pore water pressure;
this relation is independent
of the shear-strain
amplitude employed, but the number of cycles to
95% of the initial effective pressure does depend
on the strain amplitude.
The relation of external work per unit volume
and excess pore water pressure for dense specimens is also shown in Fig. 6. Five strain amplitudes, 0.2%, 0.4%, 0.5%, 1.0% and 2.0%, are
employed. Again, there is a unique non-linear
relation of the external work and the accumulated pore water pressure.
The effect of specimen density on the relation
discussed above is now considered.
Both loose
and dense specimens
during the first loading
show a unique relation of the external work and
the corresponding
excess pore water pressure.
These essentially coincide up to 130 kN/m pore
water pressure, i.e. 65% of the initial effective
pressure. A significant difference appears thereafter, with the loose samples developing
higher
pore pressure, as expected.
To explore
this
interesting
phenomenon
further, randomly varying shear-strain amplitudes
up to 1.0% are applied to a dense specimen. The

Type
L0CSe

Amplitude

Void ratlo

NO of cycles

40

0.20%

27

37
34

Dense
Dense

0.20%
0.40%

O-674
O-665
0.871
0.722
o-719

Y
0

32
36

Dense
Dense

0.50%
1 .OO%

0.706
0.725

9
3

9
+

38
39

Dense
Dense

1 :o

No.

External

MEDIA

2.00%
Random

1:5
work per unit volume:

2:o

2
50
14

0.716
0.719

215

$0

kJ/m3

Fig. 6. Relation between external work per unit volume and excess pore water pressure
in first loading of both loose and dense specimens

OKADA

AND

NEMAT-NASSER

Speclmen no. 39
Void ratio 0.719

-,
0

i0

160
Effectwe

260

160
pressure

2;o

kN/m

Fig. 7. Relation between shear stress and effective pressure in first loading of dense
specimen subjected to random torsional loading

relation of the shear strain and the effective pressure is shown in Fig. 7. The relation of the external work and the excess pore water pressure for
this random loading is shown in Fig. 6, where the
accumulated pore pressure at zero shear strain is
plotted against the corresponding
external work.
The randomness
in loading does not affect the
unique non-linear relation of these two quantities.
Second loading
Experimental results for the second loading for
both loose and dense specimens are presented
below. After the first loading,
specimens
are
reconsolidated
under the same initial effective
pressure, 196 kN/m*, as in the first loading. The
second loading is then applied to the specimens.

The results where the strain amplitude

in the
second loading is the same as that in the first
loading, and then the results where the strain
amplitude in the second loading is different from
that in the first loading, are examined.
The shear deformation
characteristics
in the
second loading are compared with the results of
the first loading. Fig. 8 shows the first two cycles
of the relation between the shear strain and the
effective pressure in both the first and second
loading for a dense specimen deformed
at a
strain amplitude of 0.5%. The excess pore water
pressure accumulated
during the second loading
is much lower than in the first loading, and the
number of cycles required to reach 95% of the
initial effective pressure in the second loading is
much greater than in the first loading.
Strain ampktude
First
----Second

No. 32, dense

0.50%

Void rat10
0.706
0.696

Number

of cycles
9
36

speamen

0.5-

-0.5

I
0

50

150

100
Effectw

pressure:

I
200

I
250

kN/m

Fig. 8. Relation between shear strain and effective pressure in first and second loading
of dense specimen; strain amplitude is 05%

INELASTIC

FLOW

Fmt load,ng
0
og..
00 oOp

go:
.
.

OF GRANULAR

Second loading

MEDIA

+++++++++++++++

+++++

++,++++*
+

l+

Strain amplttude
NO.
33 (FL)
33 (SL)
32 (FL)
32 (SL)

0
0
0
+

lb

0.50%

Void ratio
0.865
0.646
0.706
0.696

i0
Number

Number

of cycles
6
11
9
36

i0

4b

of cycles

Fig. 9. Relation between number of cycles and excess pore water pressure in first and
second loadings of both loose and dense specimens; strain amplitude is 05%
Figure 9 shows a direct comparison
of the pore
water pressure variation in loose and dense specimens, deformed at a strain amplitude of 0.5%. It
takes a greater number of cycles for the pore
water pressure to reach a specified level in the
second loading than in the first loading, for both

cases. This is due to the ordered arrangement

of
the granules, attained on completion
of the first
loading. Specifically, the contact normals after the
first loading tend to be oriented such that the
specimen is better able to resist a similar shearing
(see Oda, 1972b; Konishi, Oda & Nemat-Nasser,

200
2.0%

O-5% (D)

(D)

**x
,***

150
3
Y
hi
;
I
a, 1oc
a
a,
kz
I
z
6

D = dense

50

*
.&
0

NO.
37
34
41

Type
LOWe
Loose
Loose

Amphtude
0.20%
0.50%
1 .OO%

0
l
w
0

37
34
32
36

Dense
Dense
Dense
Dense

0.20%
O-40%
0.50%
1 .OO%

O-710
0.706
0.696
0.711

(749,
61
36
9

38

Dense

2.00%

0.700

Void Ratva
O-657
0.646
0.652

4
External

work per unit volume.

Number

of cycles
(26)
11

kJlm3

Fig. 10. Relation between external work per unit volume and excess pore water pressure
in second loading of both loose and dense specimens; strain amplitude used in second
loading is the same as in first loading

10

OKADA

AND

NEMAT-NASSER

1982; Subhash,
Nemat-Nasser,
Mehrabadi
&
Shodja, 1991). Another notable trend is that the
pore water pressure builds up faster during the
first loading of the dense specimen than during
the second loading of the loose specimen. These
trends are seen in all results of the present study
when the behaviour of loose and dense specimens
deformed at a constant strain amplitude is compared. However, in a strain-controlled
test the
deformation of the specimen is limited by the prescribed strain amplitude. This prevents extensive
particle rearrangement,
which often occurs in
stress-controlled
tests, once sufficiently high pore
pressures
are attained
(see Nemat-Nasser
&
Tobita, 1982).
The relation of the external work per unit
volume and the excess pore water pressure in the
second loading is now presented. Fig. 10 shows
this for loose and dense specimens. There are no
significant differences up to half the initial effective pressure, but after that the relation in the
second loading seems to depend on the strain
amplitude employed, although the same relation
in the first loading does not. This is because, for
the same density, the sample packing is the same
for all samples at the start of the first loading,
whereas at the start of the second loading each
sample has experienced
a different stress and
strain history during its first loading, with a strain
amplitude different from the other samples. It is
still not clear whether or not the strain amplitude
used in the first loading affects the relation of the

0.50%
*A
L

external work and the excess pore water pressure

in the second loading. In order to investigate the
true effect of the strain amplitude
during the
second loading, the specimens are subjected to
cyclic loading at several different strain amplitudes, and then the second loading is performed
for each specimen at a common strain amplitude.
The results are shown in Fig. 11. It is clear that
the stress and strain history in the first loading
does not affect the relation of the external work
and the excess pore water pressure in the second
loading, i.e. this relation in the second loading
depends on the strain amplitude employed during
the second loading, and not on that employed
during the first loading.

THEORETICAL MODELLING
Energy dissipation in granular media
In the present context, the external work that is
supplied at constant temperature
to a material
sample is either dissipated
through friction or
stored in the material as strain energy. The relation of the external work and the internal dissipation provides a basic constitutive constraint for
the flow of granular media (Rowe, 1962). For the
stress levels considered
in the present experiments, essentially the entire external work is dissipated by slip between contacting
granules, and
hence a negligible amount is stored in the granules and the fluid as strain energy (Schofield &
Wroth,
1968). Energy dissipation
in granular

(Loose)
1

1 .OO%

I (Loose)

0-f.

0.20%

*o

(Dense)

+@DbQ)
o

*
0.20%

(Dense)

150.
3
Y
hi
5
I
g 100,
E
B

Amplitude
No.

a
z
G

*
0
A

40
57
33

TYPO
LOOS?
Loose
Loose

1st

2nd

0.20
1 .oo
0.50

0.20
0.20
0.50

Void

0.857
0.853
0.846

ratio

Number

(28)
(23)
11

of cycles

50

0*

54
37

Loose
Dense

0.20

0.50
0.20

0.846
0.710

(::,

t
0

56
48

Dense
Dense

1.00
0.20

0.20
1 .oo

0.706
0.708

(79)
7

9
+

36
49

Dense
Dense

1.00
2.00

1 .oo
1 .oo

0.711
0.705

9
8

3
External

Fig. 11. Relation

4
work

per unit volume:

kJ/m3

between external work and exea

pore water pressure in second
loading of both loose and dense specimens; strain amplitude used in second loading is
different from that used in first loading

INELASTIC

FLOW

OF GRANULAR

media is micromechanically
modelled below, and
is related to the pore water pressure built up in
cyclic shearing of saturated undrained samples.
The low-strain-rate
shear loading of a granular
mass that occupies spatial region D of volume V
is considered. The region R within D is occupied
by the granules, whereas D - R is occupied by
water (the specimen is saturated).
The rate of
external work per unit volume is expressed in
terms of the boundary tractions z and the boundary velocity field i by
<%(Q) = ;
The tractions
n on aD by

7(x, n, t) . ri(x, t) dS(x)

s aD
r relate to the exterior

(6)

(7)

where Q is some stress field in equilibrium with

the applied tractions. Substitution
of equation (7)
into equation (6) gives
($(t))

= $

(a(~, t) . n(x, 1)). i(x, t) dS(x)

11

The rate of external work can be related to the

rate of internal dissipation by the application
of
the Gauss theorem (see Malvern, 1969; NematNasser & Hori, 1993). In the application
of the
Gauss theorem for granular materials, slip at contacting granules renders the velocity field discontinuous there. Since the Gauss theorem requires
that both stress and velocity fields be differentiable, it cannot be applied directly to the whole
body. However, after the body is divided into the
necessary number of sub-regions
by the introduction of suitable surfaces, the Gauss theorem
can be applied to each sub-region in which the
derivatives are continuous.
Suppose that at time t there are N slip surfaces
in D at contacting granules (Fig. 12(a)). Let s be
the area on which the ath slip occurs. Then, the
velocity field is discontinuous
on the collection of
all slip surfaces, i.e. on If= 1 s. Let 5 be a typical
point on this slip area. Associated with the velocity field i(x, t) now is the velocity jump [ri(x, t)]
defined at 5 by

unit normal

7(x, n, t) = a(x, t) . n(x, t)

MEDIA

[fi(& t)] = lim ri(x+, t) - lim i(x-,

x--t
x+-t;

(8)

(b)

(d)
Fig. 12. Surface S and slips 9 in the considered region D

t)

(9)

OKADA AND NEMAT-NASSER

12

Consider
a surface S (Fig. 12(b)-(d)) which
includes the slip surfaces cf=r sa in D at time t,
and which divides region D into M sub-regions,
within each of which the velocity field is continuously differentiable.
The Gauss theorem
is
applied to each sub-region, to give

=-

1
r.idS-irI;.[ti,dS)
V (1 aD

and equation

=tjlI8

[(V.a).ri+o:Vi]dl

(10)

where aDB is the boundary of subregion DB. The

equilibrium
equation with no body and inertia
forces
V.a=O

(11)

and the symmetry

of the stress tensor

o = 07

(12)

give, from equation

(10)

1;.[4x+) - 4x-11ds}

- .f,
=-

t.idS

V {S BD

(18)

(13) reduces to

t.idS

aD

o:kdV

+il

j--.[i,

dS)

(19)

The first and second terms on the right-hand side

of equation (19) are the strain energy and frictional energy
terms respectively.
The strain
energy term in equation (19) can be decomposed
to the strain energy for granules and for water,
leading to
1
v

1
=-Ja:idV
VD

s aD

(13)

where
i: = i[Vi

+ (Vri)T]

(14)

is the strain-rate
tensor. The left-hand
equation (13) is expressed as

(15)

5(X,

n,

t) =

-t(X,

--n,

Formulation offrictional energy loss

The frictional energy term in equation (20) is formulated below as a linear function of the effective
pressure P. The unit contact normal to a slip
plane and the unit vector in the slip direction are
denoted by n and s respectively. The traction r on
the slip surfaces If= 1 soIin D is decomposed as
T(X,n, t) = F(x, t)s(x, t) + tyx, t)n(x, t)

(16)

z satisfy (Fig. 12(d))

t)

for satu-

faces of the same

s+(x, n, t) = s-(x, --n, t)

Since the surface tractions

equation

side of

+I;.idS+ir.idS)
where S+ and S- are opposite
surface S, i.e.

which is the energy dissipation

rated granular media.

(17)

the second and third terms in equation (15) cancel

out for any x on (S - I:= 1 f) where the velocity
field is continuous. Equation (15) then becomes

(21)

where T' and T" are the normal and shear components of the tractions respectively. The velocity
jump [i](x, t) is assumed to have only a shear
component [ti](x, t). The frictional energy term in
equation (20) then becomes

21
s-1

T(X,t) . CW, t) dS(4

S(X*

II,

I)

T(X,t)[d(-% t) dS(x) (22)

=-

1
V [I

t.idS
aD

The frictional coefficient for If= r sil is denoted by

~(x, t). Then the shear component T' is expressed
in terms of the normal component T" as
T(X,

t) =

p(X,

t)T(X,

t)

(23)

INELASTIC

FLOW

OF

Since the granules carry the effective pressure

through intergranular
frictional contacts, it is reasonable to assume that the normal tractions r at
a slipping contact in I:= 1 sa are linearly dependent on the effective pressure P
51(x, t) = W(w, t)P(t)

(24)

where Y is a scalar-valued
function defined at
points where slip occurs. In general, Y depends
on the size of the granules, the packing, the
loading condition and other relevant factors. Substitution from equations (23) and (24) into equation (22) yields
r(x, t) .

CW, t) dW

x WCW,
Since the effective pressure
ofx

GRANULAR

volume under these conditions

is expressed
terms of the average stresses and strains as
1
v
Equation

r(x, n, t) . Yx, t) dS = (c,e(t)><d,s(r))

(25)

4 . Cdb, t) dS(4
= <W>P(t) (26)

<~&)><3&)>

= <W)>W)

x W, t)Cirl(x,
4 dS(x)

(27)

Since a negligibly small part of the rate of

external work is stored in the granules and the
water at the stress levels considered in the experiments, the strain energy terms for granules and
water in equation (20) are negligibly small compared to the frictional energy term, therefore
(~~=d(S,.:idV+S,_~:PdV)

s
7.

ri dS

(31)

+ (&)>

Consider the energy per cycle. Integration

equation (3 1) over the nth cycle gives
<e&)X3,&)>
s *.-1

of

dt

,: (k(t))P(t)
sn L

dt +

fn (i(t))
s *.-1

dt

(32)

where t, is the time at which the nth cycle is completed. If equation (32) is decomposed
by taking
P outside the integral and accounting
for the
resulting error by the addition of a term E,, then
(e,s(t)>(3,s(t))
s r.- 1
fn
= I.
(i(t))
i I_I

dr
dt + E, +

where P,, is the average

nth cycle, given by

(e(t)) dt
s fn-L

effective

pressure

(33)
in the

1.

1
p, = t - t,-1

dissipation

(30)

P(t) is not a function

where

The energy
becomes

in

(29) yields

t) W-4

13

MEDIA

P(t) dt

s &,

If the efective pressure changes only slightly in the

nth cycle, the error E, is small. Summation
of
equation (33) over all cycles up to the kth cycle
gives

(~,s(t)><hs@)>
dt

(28)
in granular

media

then
Finally, equation

(35) is written as

= (E)P + (i)

a0

<~,&)>(L+(t)>
s 10

dt

Cyclic torsional loading

The energy dissipation for a cyclic torsion test

performed
on a hollow cylindrical specimen is
now considered.
Experiments
are performed
under undrained conditions.
The shear strain is
cyclically applied to the isotropically consolidated
specimen, as already described in the experimental results. The rate of external work per unit

&,+

*(c(t)) dt

n=l
to
P
= Ck
P(t) dt
s LO

(36)

(37)

14

OKADA
0.3

AND

NEMAT-NASSER

l-00%
0

Ftrst loading
Second loadmg

O-50%

4b
Number

80

&I

of cycles

Fig. 13. Variation of C, with number of cycles in first and second loading of loose
specimens

where
c, = t,

1
f:^G) dt
s

Equation (37) represents

the energy dissipation
up to the kth cycle. C, is called the energy dissipation coefficient, and has dimensions of l/time.
It is regarded as representing
the microstructural
arrangement of the granular mass at each instant.
The coefficient C, in equation (37) can be estimated experimentally.
Its variation
is plotted
against the number of cycles in Figs 13 and 14 for

loose and dense specimens

respectively,
and
against the excess pore water pressure in Figs 15
and 16. These results show that C, is nearly constant throughout the experiment, when a constant
strain amplitude is cyclically applied to the specimen. There is only a small difference in the C,
value between the first and second loadings,
although there is a large difference between the
corresponding
numbers of cycles. These results
suggest that C, does not depend on the strain
history, but does depend on the strain amplitude.
The relation of C, and the strain amplitude for
both loose and dense specimens is shown in Fig.
17, which indicates that C, depends on the strain
amplitude and the density, but not on the strain
history.

0.5-

2.00%

0.4-

First loadmg
Second loading

1 .OO%
.O

o!
0

20

40
Number

60

80

of cycles

Fig. 14. Variation of C, with number of cycles in first and second loading of dense
specimens

INELASTIC

FLOW

OF GRANULAR

0.50%

0.20%
0

l P

to*

l+?**Q*

80
Excess

eO*e

Of

nv

40

P*

15
1 .OO%
0

First loading
Second loading

MEDIA

120
pore pressure

160

200

kN/m*

Fig. 15. Variation of C, with excess pore water pressure in first and second loading of
loose specimens

From these results it seems reasonable

to
assume that at constant density and strain amplitude C, is a constant, say C, related to the internal work per unit volume of a given granular
mass. It can be evaluated experimentally,
provided the same strain amplitude
is cyclically
applied to the specimen. The C values shown in
Fig. 17 are used to calculate the internal work per
unit volume at the end of each cycle; these results
are plotted in Figs 18-21, with the corresponding
external work. Clearly, the data points match
closely in each case.
These results show that energy dissipation
in
granular media for cyclic torsional loading can be

expressed in terms of the time history of the effective pressure, together with a constant C value
that depends on the strain amplitude and density
only.

Random torsional loading

Energy dissipation for a torsional loading test in
which the shear strain is applied randomly (rather
than cyclically) was studied as an application
of
the above results. The experiments
were performed using dense specimens. Shear strains were
applied to a specimen at randomly varying strain
amplitudes
but at a constant shear strain rate,

o-5-

0
l

o-4

2.00%

First loading
Second loadfng

l 0**0

03
z
0
Y
x
0

0.2

0.1

0,
0

4b

.CiO
Excess

li0
pore pressure:

160

260

kN/m

Fig. 16. Variation of C, with excess pore water pressure in first and second loading of
dense specimens

16

OKADA AND NEMAT-NASSER

Stratnamplitude.%

Fig. 17. C values obtained experimentally

10

Number
of cycles

20

30

Fig. 18. Relation between external work and calculated internal work in first loading of
loose specimens

15

10
Number

20

25

of cycles

Fig. 19. Relation between external work and calculated internal work in second loading
of loose specimens

INELASTIC
z

4]

2.00%
/

(0.421

x 1Om4)

1.00%

(0.335

O-50%

FLOW

OF GRANULAR

Stratn amplitude
0
t

x 10-T
(0.267

17

MEDIA
(C value)

External work
Predtctlon

x 1O-4)
0.20%

40
Number

(0.155

x 10-e)

60

60

of cycles

Fig. 20. Relation between external work and calculated internal work in first loading
of dense specimens

(0.421

x 10m4)

(D
*
-

1.00%

Y
E
:
4.F
zl
z
a
s
=

2Strain amplitude

(C value)

External work
l Predicton

20

40
Number

Fig. 21. Relation between external

loading of dense specimens

60

60

of cycles

work and calculated

internal work in second

Specimen no. 39
Void ratlo 0.719
1.0 I
0

50

I
150

100
Effective

pressure:

I
200

I
250

kN/m

Fig. 22. Relation between shear stress and effective pressure in second loading of dense
specimen subjected to random torsional loading

18

OKADA

i0

AND

NEMAT-NASSER

4b

6b

Number of zero strain

crossqs

Fig. 23. Relation between external work and calculated internal work in first and second
loading of dense specimen subjected to random torsional loading

over each quarter cycle. The relation of the shear

strain and the effective pressure
in the first
loading is shown in Fig. 7 and examined in the
experimental
results for first loading. The same
relation in the second loading is shown in Fig. 22.
Since the C values are essentially independent
of the strain history, as discussed
above, the
energy balance for a random torsional loading
gives, modification of equation (37)
dt = f Ci
i=l

P dt
s ti- 1

depends on the strain amplitude and the density,

but is essentially
independent
of the stress or
strain history. However,
the effective pressure
clearly depends on the strain history, as shown by
the large difference
in the number
of cycles
required to attain the same pore water pressure in
the first and second loading. Therefore, the righthand side of equation (37) comprises a strainhistory-dependent
part
s& P dt
and
a
strain-history-independent
part C.

(39)

where ti is the time of the ith zero shear strain

and Ci is the ith C value. The value of Ci is
determined as follows. First, the maximum shear
strain between L,_~ and ti is found. Then, the C
value corresponding
to the shear strain
is
obtained from Fig. 17, which shows the relation
of the C value and the shear strain amplitude
(broken line).
The internal work per unit volume is calculated
from the right-hand
side of equation (39), using
the experimental
results, and is shown in Fig. 23
together with the external work per unit volume.
These two quantities are in excellent agreement;
this supports the validity of equation (39).

CONCLUSIONS
Energy dissipation
in the flow of cohesionless
granular media has been considered. A theoretical
formulation
is proposed,
based on a simple
micromechanical
model. The internal work for
cyclic torsional loading is shown to depend on
the time-history
of the effective pressure and an
experimentally
obtainable
parameter
C. The
results of a series of experiments
show that C

ACKNOWLEDGEMENTS
The Authors wish to express their appreciation
to Professor Muneo Hori of Tokyo University for
his critical
suggestions
and to Mr Ryuichi
Sugimae for his assistance in carrying out the
experiments.
This work has been supported
by
the US Air Force Office of Scientific Research
Grants AFOSR 87-0079 and AFOSR F49620-92J-01 17 to the University of California, San Diego.

NOTATION
energy dissipation coefficient

region considered
flth sub-region in D
volume average of the rate of strain energy
number of sub-regions DB at time t
exterior unit normal vector
number of slips in D at time t
effective pressure
pore water pressure
average effective presure in nth cycle
external pressure
unit vector in the slip direction
ccth slip surface
union of all surfaces containing slip surface
instant when the nth cycle is completed

INELASTIC

i
[i]
[ti]
V
(ws)
(tis)
dD
aDB
i:
n
5
o
r
z
r5
Y
R

FLOW

velocity
velocity jump
shear component of velocity jump
volume of D
volume average of the external work
volume average of the rate of external work
boundary of D
boundary of Ds
strain rate
friction coefficient
point on slip surface
stress tensor
tractions
normal component
of tractions
acting on slip
surface
shear component
of tractions
acting on slip
surface
operator
connecting
effective pressure
P to
normal traction component T
region occupied by granules in D

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