An Expansive Soil Index for Predicting Shrink-Swell Potential
P. J. Thomas,* J. C. Baker, and L. W. Zelazny
ABSTRACT
Soil properties indicative of shrink-swell potential were studied
for 12 soils encompassing several parent materials in Virginia. Soils
are rated from moderate to very high shrink-swell potential. The
mineralogy classes, soil series, and (parent materials) examined in-
clude: smectitic—Iredell (hornblende gneiss), lackland and Waxpool
(diabase); vermiculitic—Kelly (thermal shale); kaolinitic—Cecil
(granite gneiss) and Davidson (diabase); and mixed—Carbo and Fred-
erick (limestone), Craven and Peawick (Coastal Plain sediments),
and Mayodan and Creedmoor (Triassic sandstones). Soil properties
measured were swell index, coefficient of linear extensibility (COLE),
particle-size distribution, cation-exchange capacity (CEC), liquid
limit, plasticity index (PI), and clay mineralogy. Soils with estimated
high or very high shrink-swell potential were clayey, with clay contents
exceeding 60%. These expansive soils also exhibited high CEC (>15
cmolc kg"1 soil), high liquid limits (>70), and appreciable swelling 2:1
mineral content (>15% montmorillonite + 1/2 vermiculite on whole-
soil basis). An expansive soil rating system, termed the Expansive
Soil Index (ESI), was developed using the soil properties most corre-
lated with shrink-swell potential. The sum of swelling 2:1 minerals,
swell index, liquid limit, and CEC gave ESI ratings for each soil series.
The higher the ESI, the greater the shrink-swell potential. Where
less-detailed information is required, such as for initial feasibility
studies, an ESI consisting of liquid limit and CEC is recommended.
Finally, the soils were grouped into risk categories based on parent
material to allow for classification of similar soils into the ESI rating
system. Soils with restricted drainage formed from mafic rocks, car-
bonate parent material, and metamorphic shales are at high risk for
expansive soil behavior.
E XPANSIVE SOILS may occur throughout Virginia, but
they especially pose a problem where rapid urban-
ization and development are occurring. As development
extends into these areas, identification and quantifica-
tion of the soil properties that define shrink-swell poten-
tial are essential to evaluate properly the stability of a
soil as a foundation material.
Shrink-swell classes for each horizon and for the soil
profile are based on the change in length of an uncon-
fined clod as moisture content is decreased from a moist
to a dry state. If this change is expressed as a percentage,
the value used is linear extensibility percentage (LEP).
If it is expressed as a fraction, the value used is COLE
(Soil Survey Staff, 1996). The shrink-swell classes are
P.J. Thomas, J.C. Baker, and L.W. Zelazny, Dep. of Crop and Soil
Environmental Sciences, Virginia Polytechnic Inst. and St. Univ.,
Blacksburg, VA 24061-0404. Received 18 June 1998. *Corresponding
author (pthomas@vt.edu).
Published in Soil Sci. Soc. Am. J. 64:268-274 (202000).
defined as follows: low (LEP <3%, COLE <0.03); mod-
erate (LEP 3-6%, COLE 0.03-0.06); high (6-9%,
COLE 0.06-0.09); and very high (LEP >9%, COLE
>0.09) (Soil Survey Staff, 1997a). Occasionally shrink-
swell classes are estimated from accessory soil character-
istics such as field-determined plasticity and stickiness
and texture. Thus, accurate quantitative measures of
linear extensibility are not always available.
Presently, no one method of soil analysis estimates
shrink-swell potential accurately for all soils. Soil scien-
tists recognize that shrink-swell behavior can best be
predicted by examining a combination of physical,
chemical, and mineralogical soil properties. A protocol
that integrates these properties and then establishes a
shrink-swell model that can be extrapolated across the
same or similar parent materials is needed.
Most studies examining expansive soils have been
conducted on Vertisols and high base, montmorillonitic
(smectitic) soils. In these studies several parameters
have been identified as correlated with swelling. Poten-
tial volume change of expansive soils in the western
USA had been linked to clay content and PI (Holtz and
Gibbs, 1956). The variation in swelling of Hapludalfs in
Ohio was related to clay content in a study where all
other parameters were held constant (McCormack and
Wilding, 1975). Swell potentials of montmorillonitic
soils in southern Ontario were correlated with clay con-
tent and specific surface area (SSA), and SSA explained
more of the variability in shrink-swell potential than
did clay content (Ross, 1978). In Usterts and Torrerts
of arid regions, swell potential, as measured by the
COLE, was related to the fine clay content and ex-
changeable Na percentage (Anderson et al., 1973).
Schafer and Singer (1976) determined that the percent-
age of expandable clays explained most of the variability
in swelling potential in soils of Yolo County, California.
Shrink-swell potential in kaolinitic and mixed mineral-
ogy soils and acid montmorillonitic soils are often more
difficult to predict. Franzmeier and Ross (1968) ob-
served that soils having equal amounts of kaolinite and
montmorillonite behaved like montmorillonitic soils,
whereas soils with appreciable amounts of montmoril-
lonite had wide ranges in swelling potentials. They pos-
tulated the variability was related to the amount of clay
Abbreviations: CEC, cation-exchange capacity; COLE, coefficient of
linear extensibility; ESI, Expansive Soil Index; LEP, linear extensibil-
ity percentage; PI, plasticity index; PVC, potential volume change;
SSA, specific surface area.
 THOMAS ET AL.: SOIL INDEX FOR PREDICTING SHRINK-SWELL POTENTIAL
Table 1. Classification and estimated shrink-swell potential of selected soil series.
Physiographic
province Parent material
Valley and Ridge Limestone
Piedmont Granite gneiss
Hornblende gneiss
Triassic Basins Diabase (diorite)
Thermal shale
Sandstone/shale
Coastal Plain Marine sediments
Fluvial sediments
t All soils are in the fine family particle-size class (350-600 g kg"1 clay), except for Carbo, which is very fine (>60 g kg ' clay). Frederick, Carbo, Jackland,
Waxpool, and Kelly are in the mesic soil temperature class; other soil series are in the thermic soil temperature class.
and the soil fabric. Acid montmorillonitic and mixed
mineralogy Alfisols and Ultisols in Alabama showed
weak correlations between COLE and potential volume
change (PVC) (Karathanasis and Hajek, 1985). Higher
Al saturations may contribute to resistance of the clay
minerals to dehydration. Acid conditions were found to
favor interlayer formation with Al and Fe in montmoril-
lonite (Carstea et al., 1970) and to inhibit swelling (Rich,
1968). Iron coatings have also been found to reduce
swell potential (Davidson and Page, 1956). In a study of
Alabama soils ranging from kaolinitic Davidson (Kandi-
udult) to montmorillonitic Houston soils (Hapludert),
CEC was highly correlated with SSA, -1500 kPa mois-
ture content, and PI (Gill and Reaves, 1957).
As can be surmised from the discussion above, several
physical, chemical, and mineralogical soil properties in-
fluence shrink-swell behavior, with no one property
accurately predicting shrink-swell potential for all soils.
Often most expansive soils are clayey with high CECs,
high SSAs, and high liquid limits. Smectite typically
comprises most of the soil clay fraction.
Our study was undertaken with the hypothesis that
no one soil property or expansive soil test can precisely
predict shrink-swell potential for all soils. However, a
set of soil properties that estimates shrink-swell behav-
ior can usually be determined for clayey soils with ka-
olinitic, mixed, or smectitic mineralogy formed from a
variety of parent materials. The objectives of our study
were (i) to quantify properties and shrink-swell indices
of 12 expansive soils in four major physiographic prov-
inces in Virginia, (ii) to correlate shrink-swell potential
with soil properties and shrink-swell indices, (iii) to
develop an expansive soil rating system using soil prop-
erties correlated with shrink-swell potential to evaluate
each soil's propensity to be expansive, and (iv) to de-
velop shrink-swell risk categories for soils within differ-
ent parent materials.
MATERIALS AND METHODS
Study Design
Twelve map units in four physiographic provinces in Vir-
ginia comprised the study. These clayey soils have estimated
moderate to very high shrink-swell potential with varying
amounts of expanding 2:l's, interlayered 2:l's, mica, and ka-
olinite. Estimated shrink-swell potential for each of the soils
269
Shrink-swell
Soil series Classification! potential
Frederick Mixed, semiactive, Typic Paleudult High
Carbo Mixed, active, Typic Hapludalf Very high
Cecil Kaolinitic, Typic Kanhapludult Moderate
Iredell Smectitic, Typic Hapludalf Very high
Jackland Smectitic, Aquic Hapludalf Very high
Waxpool Smectitic, Aerie Epiaqualf Very high
Davidson Kaolinitic, Rhodic Kandiudult Moderate
Kelly Vermiculitic, Aquic Hapludalf High
Creedntoor Mixed, semiactive, Aquic Hapludult High
Mayodan Mixed, semiactive, Typic Hapludult High
Craven Mixed, subactive, Aquic Hapludult Moderate
Peawick Mixed, active, Aquic Hapludult High
for initial placement into expansive soil classes was obtained
from the USDA-NRCS database (Table 1) (Soil Survey Staff,
1997b). All soils are classified (Soil Survey Staff, 1994) as fine,
with mineralogy classes encompassing kaolinitic, vermiculitic,
smectitic, and mixed families (Table 1).
Map units in this study were delineated in accordance with
procedures of the National Cooperative Soil Survey (Soil Sur-
vey Staff, 1993). Three delineations in each of the 12 map
units were selected from soil survey maps. One pedon within
each delineation was excavated to 1.8 m for a total of three
pedons per map unit. The most representative pit face was
described and sampled. Data from the mid-argillic horizon
are presented here since this is the depth at which foundations
are typically installed (0.5-0.9 m).
Laboratory Analysis
Samples were air dried, ground, and sieved to remove
coarse fragments >2 mm. Laboratory analyses include parti-
cle-size distribution, CEC, Atterberg limits, PVC, and clay
mineralogy. Particle-size distribution was accomplished by the
pipette method (Gee and Bauder, 1986) and CEC by the sum
of cations method (NH4OAc, pH 7 and BaCl2-TEA, pH 8.2)
(Thomas, 1982). Atterberg limits (liquid limit, PI) were mea-
sured by ASTM method D4318 (American Society for Testing
and Materials, 1993). Coefficient of linear extensibility was
determined by the method of the National Survey Center (Soil
Survey Staff, 1996). Potential volume change was determined
by the method of Lambe (1960). Shrink-swell potential was
determined on each sample on the basis of PVC data. Shrink-
swell potential classes are low (<81 kPa), moderate (81-153
kPa), high (153-225 kPa), and very high (>225 kPa) (Soil
Survey Staff, 1993). Mineralogical composition was deter-
mined by x-ray diffraction and thermal methods. Free Fe ox-
ides were removed with dithionate-citrate-bicarbonate (Mehra
and Jackson, 1960). Sand was removed by sieving, and the clay
fraction was separated from silts by centrifugation (Jackson et
al., 1950). Oriented mounts of the clay fraction were prepared
by the method of Rich (1969) and saturated with KC1 and
MgCl2-glycerol (Whittig and Allardice, 1986). Clay minerals
were identified with a Scintag XDS 2000 x-ray diffractometer
(Scintag, Santa Clara, CA) with Cu-Ka radiation. Thermal
analysis of the clay fraction was accomplished with a Dupont
990 Differential Scanning Calorimeter (Dupont, Wilmington,
DE). Quantitative estimates of kaolinite and gibbsite were
obtained by measuring endothermic peak areas. Quantitative
estimates, to the nearest 5%, of other clay fractions were
determined by proportioning integrated peak areas of x-ray
diffractograms, using kaolinite as an internal standard. Swell-
ing 2:1 minerals were estimated by summing the smectite con-
270 SOIL SCI. SOC. AM. J., VOL. 64, JANUARY-FEBRUARY 2000

Limit Limit ( % H2O)

800 100
MODERATE HIGH VERYHIGH MODERATE HIGH VERYHIGH
686
700 677 676 90
615 79 80
600 584 80
,;•„>" S',1!.
Jig 71
500 70 ;:-"••"?;•• = pri-v]
61 62
400 60 56
55 «:;:<:« :"ilr:"./i

51
300 50 : y
:J' : Kft 11; 51 S--
n
ipb'-'!

200 40 Sif ilfRj 'iC^ y&'^t'. lift i.vs -„-:>!

III =*s IP;
pit "xft; ^prf,>i JiCS Sip: I»ft y^t ?«;r: sea SBS yea
100 • illi II 30 s? Iftt ai i|| sit « ;1B IS?;
0 !'t°p~.%-f 70 M i'li IW M; ?*:; M w :W' ••.*'^: .••

Cecil Mayodan Creedmoor Frederick Iredell Waxpool Cecil Mayodan Creedmoor Frederick Iredell Waxpoot
Davidson Craven Peawick Kelly Jackland Carbo Davidson Craven Peawick Kelly Jackland Carbo

Fig. 1. Relationship between clay content and estimated shrink-swell Fig. 3. Relationship between liquid limit and estimated shrink-swell
class. Means as indicated by the same letter are not significantly class. Means as indicated by the same letter are not significantly
different at the 0.05 level of probability. different at the 0.05 level of probability.

tent and one-half of the vermiculite content, since expansion
is limited to two water layers for vermiculite.
Statistical Analysis
Significantly different means of Bt horizon soil properties
were separated by least significant difference at the 0.05 level.
The Pearson product moment correlation coefficient between
variables was used to examine the relationships between
soil properties.
RESULTS AND DISCUSSION
Soil Properties
Average values for soil properties for each map unit
are presented in Fig. 1 through 7, and all data for each
profile are given in Table 2. The largest (most extreme)
variance within individual map units was observed in
clay content and liquid limit (Table 2). The low clay
contents and liquid limits corresponded with low values
for other measured soil properties. Most of the following
discussion refers to average values for soil properties
for each of the map units (Fig. 1-7). Shrink-swell classes
indicated in the figures (moderate, high, very high) are
the USDA-NRCS shrink-swell potential classes (Soil
Survey Staff, 1997b).
The Bt horizons of all 12 soils were clayey with clay
CEC (cmolc kg-1 soil)
MODERATE HIGH
contents ranging from 363 to 693 g kg"1 (Fig. 1) and 182
to 790 g kg"1 for individual profiles (Table 2). Estimated
high and very high shrink-swell soils had similar clay
contents, except Creedmoor, which had a much lower
clay content (Fig. 1). Moderate shrink-swell soils, Cecil
and Davidson, also had high clay contents similar to the
more expansive soils. Thus, no apparent relationship
between clay content and susceptibility to shrink-swell
behavior was observed.
A partial trend in shrink-swell behavior can be ob-
served with CEC. High and very high shrink-swell soils
generally had higher CECs than the moderate soils (Fig.
2). However, the Frederick map unit had significantly
lower CEC and behaved or belonged in the same class
as the moderate shrink-swell soils if only CEC is used
to estimate shrink-swell potential. Likewise, Mayodan
and Craven, which occur in the moderate to high shrink-
swell class, had significantly higher CEC, comparable
with Creedmoor, Peawick, Kelly, and Iredell in the high
and very high classes.
Liquid limit is the highest in the very high shrink-swell
class, intermediate in the high class, and lowest in the
moderate class (Fig. 3). Liquid limit demonstrated good
correlation with expected shrink-swell class, yet differ-
entiating the moderate from the high shrink-swell class
and the high from the very high class was difficult.
Plasticity Index (% H2O)
VERYHIGH 50
MODERATE HIGH VERYHIGH
43
26.3 26.4 40

30
17.3 : 17.2

m
10

Cecil Mayodan Creedmoor Frederick Iredell Waxpool Cecil Mayodan Creedmoor Frederick Iredell Waxpool
Davidson Craven Peawick Kelly Jackland Carbo Davidson Craven Peawick Kelly Jackland Carbo
Fig. 2. Relationship between cation-exchange capacity (CEC) and Fig. 4. Relationship between plasticity index and estimated shrink-
estimated shrink-swell class. Means as indicated by the same letter swell class. Means as indicated by the same letter are not signifi-
are not significantly different at the 0.05 level of probability. cantly different at the 0.05 level of probability.
 THOMAS ET AL.: SOIL INDEX FOR PREDICTING SHRINK-SWELL POTENTIAL 271

Coefficient of Linear Extensibility Swelling 2:1 Clay Minerals (g kg-' soil)

0.20
MODERATE HIGH VERYHIGH MODERATE i HIGH \ VERYHIGH
i i 513
0.16 500
0.14 432

0.12 :
400 373 i 380
: 348
0.10 300
217 e
200 e' e
175 182 175 r^-1
0.05 d «t d d
0.03 100 . 87
103 c e c c C
b b b b
0.00
a
(1
a a a a
Cecil Mayodan Creedmoor Frederick Iredell Waxpool Cecil Mayodan Creedmoor Frederick Iredell Waxpool
Davidson Craven Peawick Kelly Jackiand Carbo Davidson Craven iwick Kelly Jackiand Carbo
Fig. 5. Relationship between COLE and estimated shrink-swell class. Fig. 7. Relationship between swelling 2:1 mineral content and esti-
Means as indicated by the same letter are not significantly different mated shrink-swell class. Means as indicated by the same letter
at the 0.05 level of probability. are not significantly different at the 0.05 level of probability.

Plasticity index, used widely by the geotechnical com- and Carbo were borderline to the very high class
munity to assess shrink-swell potential, showed little (>225 kPa).
correlation with expected shrink-swell class (Fig. 4). Swelling 2:l's (smectite, 1/2 vermiculite) had the high-
However, two distinct groups, which overlap the prede- est correlation with shrink-swell class, as expected (Fig.
fined classes, were indicated. Kelly, Iredell, Jackiand, 7). Smectitic Waxpool, Jackiand, and Iredell had high
Waxpool, and Carbo had much higher Pis than the smectite contents, as does the mixed mineralogy Carbo.
remainder of the soils. The kaolinitic Cecil and Davidson soils had the lowest
Coefficient of linear extensibility and swell index are smectite contents, whereas soils with mixed mineralogy,
direct measurements of shrink-swell potential (Fig. 5 in both the moderate and high classes, had intermediate
and 6). No discernable relationship was observed be- smectite contents. The Creedmoor soil averaged 363 g
tween estimated shrink-swell class and COLE for the kg"1 clay but had similar smectite content, on a whole-
12 soils (Fig. 5). However, as with plasticity index, two soil basis, to the high clay Frederick. Both had similar
distinct groups separating soils into moderate or high swell indices of =120-150 kPa, further supporting the
(Cecil, Davidson, Craven, Creedmoor, Peawick, Freder- use of whole-soil smectite content rather than clay con-
ick) and high or very high (Kelly, Iredell, Jackiand, tent when estimating shrink-swell behavior.
Waxpool, Carbo) were observed. The other direct indi-
cator of shrink-swell potential, swell index, showed a Correlation of Shrink-Swell Properties
high correlation with estimated shrink-swell class (Fig. All shrink-swell indices measured were positively
6). All four moderate class soils had moderate swell correlated with each other. Swelling 2:l's, CEC, and
indices (81-153 kPa). Cecil and Mayodan, although hav- liquid limit (indirect measures of shrink-swell potential)
ing measured swell indices of moderate, bordered the were significantly and positively correlated with swell
low class (<81 kPa). All four very high soils had average index, a direct measurement of shrink-swell potential
swell indices that placed the soils in the high shrink- (Table 3). Values for COLE and PI were not signifi-
swell class (153-225 kPa), although Jackiand, Waxpool, cantly correlated with shrink-swell properties, although
other studies have indicated as such (Anderson et al.,
Swell Index (kPa) 1973; Franzmeier and Ross, 1968; McCormack and
250 Wilding, 1975; Schafer and Singer, 1976). The lack of
MODERATE : HIGH i VERYHIGH
; 211 210
correlation of COLE and PI in this study may be due
200
to Al interlayering or high Fe oxide coating of the clays
i : 187
inhibiting swelling.
151 I 148 147 \
150
124
Expansive Soil Index
100
101 100 i The absolute values of the four soil indices most corre-
85 82
A
lated with predicted shrink-swell potential in this study
d d d <l A d
50 c c c C c
were swelling 2:l's, CEC, swell index, and liquid limit.
b b b b b b b Thus, these soil indices were summed into an Expansive
a a a a a a a Soil Index (ESI) given by the following equation:
Cecil Mayodan Creedmoor Frederick Iredell Waxpoof
Davidson Craven Peawick Kelly Jackiand Carbo ESI-1 = swelling 2:l's + swell index + liquid
Fig. 6. Relationship between swell index and estimated shrink-swell limit + CEC
class. Means as indicated by the same letter are not significantly
different at the 0.05 level of probability. The ESI-1 ratings >500 indicate high and very high
272 SOIL SCI. SOC. AM. J., VOL. 64, JANUARY-FEBRUARY 2000

Table 2. Physical, chemical, and mineralogical data of control sections (Bt horizons) and (ESIs) for each profile in the map units.
Liquid Plasticity Swell Swelling
Map unit Profile Clay CECf limit index COLE$ index 2:l's ESI-1§ ESI-2§ ESI-3§
'soil kPa g kg~' soil
Valley and Ridge
Frederick 759 11.5 67 9 0.05 162 220 461 241 79
790 13.5 68 16 0.04 102 280 464 184 82
375 5.4 40 7 0.02 107 150 302 152 45
Carbo 713 25.0 85 39 0.08 214 525 849 324 110
704 23.0 73 16 0.05 254 565 915 350 96
662 28.5 81 29 0.03 136 450 696 246 110
Piedmont
Cecil 569 7.0 60 17 0.03 76 60 203 143 67
677 9.1 61 18 0.03 94 75 239 164 70
506 9.0 57 19 0.03 84 125 275 150 66
Iredell 681 17.0 70 37 0.09 265 465 817 352 87
712 20.0 73 42 0.11 159 280 532 223 85
665 15.0 70 35 0.07 138 300 523 223 85
Triassic Basin (diabase, metamorphic shale)
Jackland 1 688 28.0 65 37 0.14 171 380 644 264 93
2 679 26.7 90 48 0.16 240 420 777 357 117
3 662 24.3 82 44 0.17 223 340 669 329 106
Waxpool 1 680 29.0 76 40 0.18 254 475 834 359 105
2 641 27.6 72 39 0.12 228 455 783 328 100
3 525 22.6 61 17 0.12 148 365 597 232 84
Davidson 1 662 9.0 53 17 0.04 155 95 312 217 62
2 690 11.0 57 19 0.05 159 125 352 227 68
3 679 8.0 56 16 0.04 140 90 294 204 64
Kelly 1 709 37.9 71 38 0.11 108 405 622 217 109
2 589 33.4 45 33 0.10 65 325 468 143 78
3 677 12.8 71 39 0.14 128 390 602 212 84
Triassic Basin (sandstones/shales)
Creedmoor 1 368 19.5 61 17 0.05 76 185 342 157 81
2 182 5.1 56 9 0.01 178 115 354 239 61
3 539 26.9 67 31 0.09 189 225 508 283 94
Mayodan 1 282 13.0 61 24 0.02 82 170 326 156 74
2 383 14.4 51 13 0.05 95 180 340 160 65
3 541 24.6 57 17 0.08 68 175 325 150 82
Coastal Plain
Craven 1 356 9.5 47 10 0.02 102 125 284 159 57
2 486 13.4 59 17 0.04 125 250 447 197 72
3 418 13.9 53 17 0.03 76 170 313 143 67
Peawick 1 348 18.3 36 7 0.10 141 165 360 195 54
2 648 25.8 58 20 0.04 178 200 462 262 84
3 572 21.6 58 21 0.08 121 230 431 201 80
t Cation-exchange capacity.
I Coefficient of linear extensibility.
§ ESI-1 = swelling 2:l's + swell index + liquid limit + cation-exchange capacity (CEC); ESI-2 = swell index + liquid limit + CEC; ESI-3 = liquid
limit + CEC.

shrink-swell potential (Table 4) and would require spe- tential. Special design features are suggested to reduce
cial design of foundations, such as adding reinforcing shrink-swell risk, although the design of such features
bars to footings or installing moisture barriers, to de- may not be as extensive as required for foundations
crease potential expansive soil damage. An ESI-1 <500 constructed on higher shrink-swell potential soils.
describes soils with moderate to high shrink-swell po- Identifying and quantifying swelling 2:1 minerals is
difficult, time-consuming, and expensive to routinely
Table 3. Correlation coefficients for soil properties. measure. Only a few laboratories are equipped to make
Swelling Plasticity Liquid Swell these types of quantifications. Table 3 showed that high
Clay CEC 2:l's index limit index values of swell index, liquid limit, and CEC corre-
CECt 0.36 sponded with high amounts of swelling 2:1 clay minerals.
Swelling 2:l's 0.49 0.70* Thus, an alternative ESI, termed ESI-2, was proposed
Plasticity index 0.52 0.63 0.53
Liquid limit 0.61 0.45 0.72* 0.79* that used only the absolute values of swell index, liquid
Swell index 0.41 0.32 0.89* 0.49 0.60 limit, and CEC. The ESI-1 and ESI-2 were highly corre-
COLE* 0.41 0.65 0.61 0.76* 0.71 0.51
lated (R2 = 0.92) and gave similar shrink-swell risk
* Significant at the 0.05 level of probability. separations of the soils (Table 4). However, separations
t Cation-exchange capacity.
t Coefficient of linear extensibility. were not as distinct as when swelling 2:l's are in the
 THOMAS ET AL.: SOIL INDEX FOR PREDICTING SHRINK-SWELL POTENTIAL 273

Table 4. Expansive soil indices (ESI). Table 5. Shrink-swell potential risk of soils as related to parent
material.
Soil series ESI-lt ESI-2J ESI-3§ Shrink-swell risk
Shrink-swell risk Parent material Soil series
Cecil 239 152 68 Moderate
Davidson 319 216 65 Very high Mafic rocks Jackland
Mayodan 330 155 74 Moderately high poorly drained to Waxpool
Craven 348 166 65 moderately well drained Iredell
Creedmoor 401 226 79 Carbonate rocks
Frederick 409 192 68 High shallow to rock Carbo
Peawick 418 219 73 Triassic rocks
Kelly 564 191 90 thermally altered shales Kelly
Iredell 624 276 88 High Carbonate rocks
lackland 697 317 105 Very high deep to rock Frederick
Waxpool 738 306 96
Carbo 820 307 105 Moderately high Triassic rocks Mayodan
shales and sandstones Creedmoor
t Swelling 2:l's + swell index + liquid limit + cation-exchange capacity Coastal Plain sediments Craven
(CEC). clayey fluvial/marine Peawick
$ Swell index + liquid limit + CEC.
§ Liquid limit + CEC. Moderate Mafic rocks
well drained Davidson
equation. An ESI-2 of =250 did appear to separate soils Felsic rocks
well drained Cecil
of high risk from soils of very high risk. Demarcation
of moderate risk soils from high risk was not as distinct.
Thus, conservative estimates of shrink-swell potential Soils with restricted drainage formed from mafic rocks,
are recommended. Although swell index is an easy pa- soils formed from metamorphic shales, and shallow soils
rameter to measure, there is little swell index (PVC) formed from carbonate parent material are at very high
risk for expansive soil behavior (Table 5). Moderately
data in soil survey databases. However, extensive data
high to high risk was assumed in soils formed from
on liquid limits and CEC are contained in many soil metamorphic shales, soils derived from Triassic sand-
characterization databases. Thus, a third expansive soil stones and shales, deep soils formed from carbonate
index, ESI-3, can be formulated using only liquid limit rocks, and Coastal Plain clayey fluvial and marine sedi-
and CEC as shrink-swell predictors. Fewer categories ments. Moderate risk can be correlated with soils
of estimated shrink-swell risk would be entailed when formed from well-drained felsic and mafic parent ma-
using this index. terials.
We now have developed three ESIs, each requiring
a different level of data input and applying a different
level of shrink-swell predictability. What ESI rating CONCLUSIONS
should be employed for various intensities of site assess- Expansive soils cause billions of dollars of damage to
ment? We suggest the following guidelines: homes and property in the USA each year. Damage
ESI-3 — Liquid Limit and Cation-Exchange Capac- can be avoided or mitigated if the propensity of a soil
ity. Employed when general information is needed, such to shrink and swell is known before construction. Pre-
as performing feasibility studies for a proposed subdivi- dicting shrink-swell potential accurately requires both
sion or highway, ESI-3 would be sufficient to screen the knowledge of which soil properties influence shrink-
suitable areas from unsuitable areas. Liquid limit and ing and swelling and the magnitude of these parameters.
CEC are indirect indicators of shrink-swell potential. Recognizing the need for quantitative soil information,
ESI-2 — Swell Index, Liquid Limit, and Cation- we developed an expansive soil rating system to assess
Exchange Capacity. Used when site-specific informa- shrink-swell potential of 12 clayey soils formed from
tion is needed, application of ESI-2 would include suit- major parent materials that occur throughout Virginia.
ability of a site for home foundations or on-site waste- Expansive Soil Indices are obtained by summing the
water disposal. Swell index is a direct measure of absolute values of swelling 2:1 minerals, swell index,
swelling pressure. liquid limit, and CEC. Three levels of precision are
ESI-1 — Swelling 2:l's, Swell Index, Liquid Limit, available, with highest precision obtained with all four
and Cation-Exchange Capacity. The ESI-1 rating would properties. Intermediate precision is available by using
be used when data is needed in litigation court cases or swell index, liquid limit, and CEC. Lower precision, but
when additional information is required for foundations rapid assessment, can be achieved by using only liquid
or other structures designed to reduce potential damage limit and CEC. The ESI system has the flexibility of
from shrink-swell soils. allowing for the classification of other soils formed from
similar parent materials, enabling in rapid, quantitative
Parent Material Correlation assessment of shrink-swell potential of a soil.
with Shrink-Swell Indices
Many other soils are formed from the same or similar
parent materials as the soils described in this study.
Thus, it is possible to extrapolate these data and ESI
ratings for similar soils on the basis of parent material.
274 SOIL SCI. SOC. AM. J., VOL. 64, JANUARY-FEBRUARY 2000
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