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Marine Georesources & Geotechnology

ISSN: 1064-119X (Print) 1521-0618 (Online) Journal homepage: http://www.tandfonline.com/loi/umgt20

The critical state and steady state of sand: A


literature review

Xin Kang, Zhao Xia, Renpeng Chen, Louis Ge & Xiaoming Liu

To cite this article: Xin Kang, Zhao Xia, Renpeng Chen, Louis Ge & Xiaoming Liu (2019): The
critical state and steady state of sand: A literature review, Marine Georesources & Geotechnology,
DOI: 10.1080/1064119X.2018.1534294

To link to this article: https://doi.org/10.1080/1064119X.2018.1534294

Published online: 12 Jan 2019.

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MARINE GEORESOURCES & GEOTECHNOLOGY
https://doi.org/10.1080/1064119X.2018.1534294

The critical state and steady state of sand: A literature review


Xin Kanga, Zhao Xiaa, Renpeng Chena, Louis Geb and Xiaoming Liua
a
College of Civil Engineering, Hunan University, Changsha, China; bDepartment of Civil Engineering, National Taiwan University,
Taipei, Taiwan

ABSTRACT ARTICLE HISTORY


The critical state and steady state theories are widely accepted for simulating the soil behavior Received 4 July 2018
and providing a basis for liquefaction evaluation and constitutive modeling. However, there was Accepted 7 October 2018
conflicting evidence regarding the critical state and steady state of sands in the last decades. In
KEYWORDS
some cases, the critical state and steady state are taken to be identical and in others they differ
Steady state; critical state;
significantly. Whether they are the same or not remain a hot academic debate to date. This paper sands; state parameter;
provides a critical review on the origin and history of the critical state and steady state of sands, stress path; flow structure
which identifies conflicting evidences and discusses the influencing factors on the existence and
uniqueness of critical state and steady state. Based on a critical review of literature, it is concluded
that the steady state concept is a refinement of the critical state concept and the uniqueness of
the critical state and steady state was affirmed. Special care should be paid in the laboratory tech-
niques in order to accurately measure the critical state and steady state due to the numerous
influencing factors of them.

Introduction implemented into the framework of critical state. The critical


state is well defined by Schofield (1968) within the framework
During earthquakes, the shaking of the ground may cause
of critical state soil mechanics by the following two equations.
saturated cohesionless soils to lose their strength and behave
like a liquid. This phenomenon is called soil liquefaction q ¼ Mp0 (1)
and it will cause settlement or tipping of buildings, failures
of earth dams, earth structures and slopes. Triggered by C ¼ t þ k ln p0 (2)
numerous liquefaction-induced failures during the 1964
Equation (1) determines the magnitude of the “deviator
Niigata, Japan earthquake (Naeini 2004), the modern study
stress” q needed to keep the soil flowing continuously as the
of soil liquefaction has made ground breaking progress,
product of a frictional constant M with the effective pressure
where the critical state and steady state theories were widely
accepted for simulating the clay and sand behaviors and p0 , as illustrated in Figure 1(a). Equation (2) states that the
provided a corner stone for liquefaction evaluation and con- specific volume t occupied by unit volume of flowing par-
stitutive modeling (Roscoe 1963; Roscoe and Burland 1968; ticles will decrease as the logarithm of the effective pressure
Schofield 1968; Wood 1990; Reza et al. 2005; Sun et al. increases (see Figure 1(b)). Specimens yield at what we call
2006; Suebsuk et al. 2011; Sang et al. 2017; Gao and Zhao “critical state” that remain as constant volume, and the plas-
2017; Wei and Yang 2018; Yao et al. 2018). Thus, a well- tic yielding can continuously occur without changing in q or
defined critical or steady state line is important to several t. The material behaves as a “frictional fluid” rather than a
aspects of the engineering and constitutive models, more- yielding solid, as it is considered that the specimens had
over, all factors affecting them should be identified. melted under stress. It is normally assumed that the critical
Nevertheless, there has been unresolved argument on the state is one in which the initial fabric and structure of the
existence and uniqueness of the critical state/steady state, as soil are destroyed or rearranged to produce a random fabric.
well as whether they are the same or not (e.g., Casagrande Castro and Poulos (1977) first defined the concept of steady
1976; Poulos 1981; Sladen et al. 1985; Alarcon et al. 1988; state of deformation: “a soil can flow at constant void ratio,
Poulos et al. 1988; Kang et al. 2012; Kang and Kang 2015). constant effective minor principal stress and constant shear
The critical void ratio (CVR) of sands has been a subject of stress.” This definition seems quite similar to the concept of
much discussion since the pioneering work of Casagrande “CVR state” proposed by Roscoe et al. (1958). To eliminate the
(1936). A major step forward was the development of critical confusion between these two technical terms, Poulos (1981)
state soil mechanics, starting with the classic paper “On the published a paper and maintained the difference between
yielding of soils” by Roscoe, Schofield, and Worth (1958), “critical state” and “steady state.” The core differences are that
where an elastic-plastic constitutive model was developed and in the steady state of deformation, soil specimens have a

CONTACT Zhao Xia xiazhao_xz@hnu.edu.cn College of Civil Engineering, Hunan University, Changsha, China.
ß 2018 Taylor & Francis
2 X. KANG ET AL.

Figure 1. The critical state diagram from Schofield (1968).

unique “flow structure” and “constant velocity.” Poulos (1981) did pioneering work on studying the “critical density” of a
suggested that such a state of shearing under constant stress soil. He found that at large strains, continuous deformation
and volume can be temporarily achieved in a quasi-steady was possible without any further change in density and no
state, in which the shear stress reaches a minimum value and volume change would take place. If the sands are sheared at
remains at the minimum value until phase transformation, the critical density, no volume change will take place during
this phenomenon is also called “limited liquefaction” or “flow shearing. When it is below critical density, shear deform-
with limited deformation” by other researchers (Riemer et al. ation will result in expansion, and vice versa. In geotechnical
1990; Ishihara 1993; Zhang 1997). However this is not the true society, this discovery was subsequently recognized as the
ultimate state, continued shearing will develop an oriented corner stone of the “critical state.”
flow structure when a true state of shearing (steady state) A decade later, Geuze (1948) put forward a concept of
under constant stresses, volume, and velocity is achieved. “turning point density,” which was used to characterize the
Poulos (1981) further underlined that the steady state of state of density. The density at the turning point of Dutch
deformation is achieved only after all particle orientation has sands would remain constant withstanding continuous
reached a statistically steady state condition and after all par- deformation at a constant shearing stress. The turning point
ticle breakage is complete. density is considered the same as Casagrande’s original def-
Due to the subtle differences and similarities of these two inition of critical density, which marks the transition from
concepts, different researchers hold different opinions from the branch of volume decrease to the branch of volume
their own perspectives, conceptual confusion is of frequent increase. In the same year, Koppejan et al. (1948) conducted
occurrence in the last decades. In this paper, the origin and research on characterizing the coastal flow slide of Holocene
history of critical state and steady state of sands are sand in Zeeland, the post failure investigation found the
reviewed. Similarities, differences, existences, and uniqueness sand densities were all below the critical density (void ratio
of these two technical terms were discussed. Factors that is plotted above the critical state line(CSL)). A “turning
influence the measurement of the critical state and steady point” was first used to characterize the critical point of the
state have also been discussed. A comprehensive literature density of a sand sample, beyond which it is reached by vol-
review of critical state and steady state is performed and ume reduction (contraction), and under which it is reached
aimed to offer a profound understanding of the character- by volume increase (dilation). This catastrophic coastal fail-
ization of cohesionless materials and provide a more solid ure has brought practitioners to come up with an idea that
foundation for constitutive modeling (Reza et al. 2005; Sun critical density might be a good criterion for flow fail-
et al. 2006; Suebsuk et al. 2011; Sang et al. 2017; Gao and ure evaluation.
Zhao 2017; Wei and Yang 2018; Yao et al. 2018) and lique- Based upon Casagrande’s idea, Roscoe and et al. (1958)
faction evaluation in natural slopes, dam failures, and flow systematically established the concept of “CVR state” for
failures of hydraulic placement of artificial fills (Roscoe cohesionless granular soils. In drained test, the CVR state
1963; Roscoe and Burland 1968; Schofield 1968; Sladen et al. was defined as an ultimate state of specimens at which any
1985; Wood 1990; Ishihara et al. 1991; Anderson and arbitrarily further increment of shear distortion will not
Eldridge 2011). The influencing factors identified in this result in any change of void ratio. In any series of drained
paper can be incorporated in mathematical definition of tests, the set of CVRs can be expected to lie in or near a
critical/steady state and numerical simulation of cohesionless line on the drained yield surface. In undrained tests, void
materials in future studies. ratios of the specimens remain constant, but the effective
stress p0 will alter due to excess pore water pressure. In any
series of undrained tests, the set of CVRs can be expected to
Literature review
lie in or near a line (not necessarily the same as above) on
The origin and history on the development of critical state the undrained yield surface. If the results of drained and
and steady state are shown in Figure 2. Casagrande (1936) undrained tests show that all loading paths converge to one
MARINE GEORESOURCES & GEOTECHNOLOGY 3

Figure 2. A brief development history of critical state and steady state.

unique line in the (p0 ; e; q) space, this will be called the CVR Castro’s work was dedicated to the development of a
line (CVR line for short). The drained and undrained yield “flow structure” under stress-controlled test that was postu-
surface will then coincide with the CVR line. These two sur- lated by Casagrande (1976) when the Fort Peck Dam in
faces may be identical and, if so, the common surface would Montana suffered a static flow failure. The post-failure
then form the yield surface. Drained and undrained loading investigation showed that the initial state of the soils was
paths together with a yield surface in (p0 ; e; q) space are obviously plotted below the CVR line. When sands are
illustrated in Figure 3. Subsequently, undrained, drained, liquefied to flow, each sand particle keeps rotating and rear-
and simple shear tests were carried out on various granular ranging itself so that the whole structure evolves into a state
media including sands, glass beads, and steel balls. All these of minimum frictional resistance, where such structure was
results tend to confirm the concept of the yield surface and termed “flow structure” by Casagrande (1976). In determin-
CVR line and they are applicable to both silt and sands. ing the CVR state, the load control test should be used
Castro (1969) made a step forward to extend the previous because load control ensures that when a flow structure is
work on critical state. Stress-controlled static and cyclic tri- beginning to develop, the driving force does not relax as in
axial tests on isotropically consolidated specimens, static strain control. By keeping the driving force constant, the
tests on anisotropically consolidated specimens, and strain mass accelerates faster and faster and more of the sand
controlled triaxial tests of both consolidated drained and grains will rearrange themselves into a flow structure.
undrained were carried out, where a unique relationship The technical term steady state first appeared in Castro
between CVR and effective confining pressure at large (1975), who studied the liquefaction and cyclic mobility of
strains was established. Regardless the initial condition for saturated sands. Later, Castro and Poulos (1977) defined the
each test, the void ratio of the specimens would eventually steady state: “a soil in steady state can flow at constant void
reach the CVR line. However, graphically, the CVR line ratio, constant effective minor principal stress, and constant
obtained from strain controlled consolidated undrained tri- shear stress.” The void ratio at steady state is the same as
axial tests were found roughly parallel to the CVR line the CVR defined by Casagrande. The definition of steady
obtained from stress-controlled consolidated undrained tests. state is quite similar to the definition of critical state. Poulos
The CVR line obtained from strain controlled drained tests (1981), however, made a supplementary explanation: “the
was placed even further away from undrained tests. steady state of deformation for any mass of particles is that
4 X. KANG ET AL.

Figure 3. Isometric view of yield surface by Roscoe (1958).

state in which the mass is continuously deforming at con- Therefore, they are the key differences that differentiate
stant volume, constant normal effective stress, constant these two concepts.
shear stress, and constant velocity. The steady state of Researchers stand by steady state considered that the
deformation is achieved only after all particle orientation steady state possesses an oriented flow structure, where the
has reached a statistically steady state condition and after all grains align themselves in the direction of shear. While
particle breakage, if any, is complete, so that the shear stress researchers support critical state didn’t point out which kind
needed to continue deformation and the velocity of deform- of structure a specimen holds at its critical state, however, it
ation remains constant. At this point, the critical and steady is widely accepted that at critical state, the initial fabric and
states differ in that the steady state, by definition, has an structure of the soil is destroyed or rearranged to produce a
associated flow structure and a requirement for a constant random fabric, no specific structure can be guaranteed. As
velocity, neither of which are incorporated in critical state for the “velocity,” it represents the strain rate during shear-
concepts.” However, in these different definitions, the par- ing. Critical state researchers didn’t specify which velocity a
ticular flow structure and applicable strain rate have not specimen has when it reaches its critical state, it is generally
been explicitly defined, which makes a clear distinction of defined to occur at the quasi-static strain rate. The constant
the steady state from the critical state impossible. velocity (i.e., constant strain rate) emphasized by Poulos
Since Poulos proposed the definition of steady state in (1981) in the steady state condition, however, reveals the
steady state is rate-dependent. In other words, the critical
1977, whether the critical state is identical to steady state or
state is actually a particular case scenario of the steady state
not has become a hot academic debate. Many researchers
at the quasi-static strain rate.
tend to confirm that either critical state or steady state, is
To summarize, the above two additional requirements indi-
the final shearing state, but the truth is that different CVR
cate the strict definition of the steady state over and above the
lines are achieved in the (p0 ; e; q) space under different con-
critical state, viz. a constant deformation velocity (not neces-
ditions, and the locations of CVR lines are affected by sev-
sarily the quasi-static rate) and oriented flow structure (the
eral influencing factors. steady state structure rather than undetermined critical state
structure). This is why the general agreement in soil mechanics
is that the steady state is a refinement of the critical state, and
Are critical and steady state lines the same?
this may be the main reason that there were few studies on
Poulos (1981) held the idea that the “flow structure” and whether the critical state nor steady state of sands are the same
“constant velocity” govern the critical/steady state. or not after 1990s.
MARINE GEORESOURCES & GEOTECHNOLOGY 5

Figure 4. e F line and e S line defined by Casagrande (1975).

In the last decades, there are conflicting evidences regard- stated previously, steady state describes the flow structure of
ing the critical state and steady state of sands. It seems that specimens whereas specimens usually do not show flow
in some cases, the critical state and steady state are taken to behavior in drained tests. Thus, researchers often obtain
be equal and in others they differ significantly. Major con- critical state and steady state according to drained and
flicting evidences are shown below. undrained tests, respectively. Since the critical state is associ-
ated with drained tests and steady state is associated with
undrained tests, this is equivalent to the statement that the
Evidences support the two lines are different
two states are the same. Meanwhile, neither a “flow
According to Castro’s work (1969), the CVR lines came from structure” nor the “constant velocity” have been observed in
undrained stress-controlled test and drained strain controlled the steady/critical state. Essentially, these two terms are only
test located in different positions in the ep space. In addition, in definition, which cannot make a clear distinction between
as mentioned previously, Casagrande (1976) defined the e S the steady and critical states.
line based on drained tests, which can be considered the crit- The term steady state is almost exclusively used to
ical state line. The e F line based on the Castro-type undrained describe a flow state under the undrained conditions for
stress-controlled tests, is the steady state line, as shown in contractive soils while dilative soils normally do not mani-
Figure 4. Apparently, they are different. fest flow behavior under undrained condition; therefore, a
Two types of triaxial tests were carried out by Lindengerg relationship between critical state and steady state is only
and Koning (1981) to study the critical density (CVR). In valid for contractive soils (Chu et al. 1995). Under this def-
the first type of tests, dry sands were prepared as dilatant inition, the critical state is the ultimate state in a drained
samples. Second type of tests was drained and stress-con- test and the steady state is the ultimate state in an undrained
trolled tests on saturated sands. Under the same normal test. Thus, it can be concluded that the steady state line is
stress level, undrained wet critical density (saturated sand the same as the critical state line for contractive soils. The
specimens) located a little bit higher than the dry critical steady state lines obtained from several undrained triaxial
density (dry sand samples) on the state diagram; i.e., critical tests of very loose of sands are plotted in Figure 5. The dia-
state line is located a little bit higher than steady state line. gram also shows that the three critical state points obtained
This observation is consistent with the findings of from drained tests fall on the steady state line. Therefore, it
Casagrande (1976) and Castro (1969). can be concluded that the steady state line is the same as
the critical state line for loose contractive soils. This finding
agreed with the observations reported by Sladen et al. (1985)
Evidences support the two lines are the same
and Been et al. (1991).
Both strain controlled and load controlled triaxial compres- Drained and undrained triaxial isotropically compression
sion tests were adopted by Been et al. (1991). The test (TIC) tests were carried on sandy soils by Verdugo and
results showed that drained or undrained shearing did not Ishihara (1996). The results of drained tests at large defor-
have any effects on the location of the ultimate state. As mations indicated the existence of an ultimate state with
6 X. KANG ET AL.

Figure 5. Effective stress paths from undrained triaxial tests results of very loose sand by Chu (1995).

constant volumetric strain and continuous deformation observations and thermodynamics considerations, a critical
under constant shear stress. The ultimate states evaluated state theory taking fabric anisotropy into account was pro-
from drained tests (critical states) were in good agreement posed by Li and Dafalias (2012), in which the uniqueness of
with the steady states obtained from undrained tests. At the CSL was affirmed. Li and Dafalias (2012) further stated
large deformations, both undrained and drained loading that the uniqueness of CSL is not only of a phenomeno-
conditions converged to the same curve in the eqp0 logical nature but comes with the Gibbs stability (Collins
space, indicating that the critical state line is the same as the and Houlsby 1997; Collins et al. 2007, 2010) requirement in
steady state line. conjunction with the notion of a critical state material fab-
ric, which is a fundamental attribute that has not been expli-
citly stated in the classical critical state theory, thus, leaving
Are the critical state and steady state unique? the uniqueness of the CSL a debatable issue in the past.
Questions regarding the uniqueness of the critical state and
steady state are also important to explore. Different material
Factors influencing the measurement of critical
properties (chemical composition, fines content, gradation,
state and steady state
and angularity) and strain rate may cause the nonuniqueness
of steady state (Alarcon and Leonards 1988). Konrad (1990) Because many of the researchers approached the critical/
found that there exists an upper limit of steady state steady states from different perspectives and described their
strength (UF line) and lower limit of steady state strength results in a variety of forms, the current literature contains
(LF line) which indicates that the steady state is not unique. many apparent contradictions with regard to the important
Chu (1995) elaborated the idea that the critical state is factors governing the critical/steady state behaviors, such as
unique if a sample is sheared by a certain stress path. initial fabric, drainage condition, loading type, stress path,
Mooney et al. (1998) indicated that the relationship between stress level, density, etc. In particular, it is difficult to reach
shear stress q and mean effective stress p0 at critical state is agreement about which factors may dominate the shear
unique; however, there is no unique critical state void ratio strength of soils at large strains. A brief review of the previ-
e at a given mean effective stress p0 . Been and Jefferies ous research on the factors that influence the measurement
(1985) inferring that the CSL could be fabric-dependent, of critical/steady state are presented in Figure 6.
thus, possibly nonunique.
However, the unique CSLs were obtained by a growing
Effect of particle size and sample size
number of researchers in recent years (Wheeler et al. 2003;
Hosseini 2005; Mahdi and Yannis 2013; Gao et al. 2014; Li Several factors have been pointed out by Castro et al. (1982)
et al. 2014). Based on the discrete element method (DEM) that are significantly affect the position of the critical/steady
MARINE GEORESOURCES & GEOTECHNOLOGY 7

Figure 6. Influencing factors of critical/steady state.

state line. Among those factors, the grain size distribution tested in compression. This finding is consistent with
and grain angularity are the primary factors. It has been Hanzawa (1980), Miura and Toki (1982), Vaid et al. (1990),
shown that relatively small changes in grain size distribution and Negussey and Islam (1994). Been et al. (1991) also
(grain angularity being constant) will result in significant found that there is apparently greater softening in the exten-
changes in the position but not the slope of the critical/ sion tests than those observed in compression tests. Similar
steady state lines. Sample size was also considered have great behavior has been reported by Symes et al. (1984) for
contribution to the critical/steady state lines. However, the undrained shear in a hollow-cylinder apparatus.
effect of sample size is still unclear because some of the
smaller samples tended to yield conservative results, while
Effect of void ratio
others indicated the opposite.
Poulos et al. (1977) thought that soil can develop liquefac-
tion only if the stress acting on the soil is substantially
Effect of extension and compression
higher than those corresponding to the steady state for the
The stress path dependent soil behavior has been widely given void ratio. A plot of void ratio versus effective minor
reported by Bishop (1971), Miura and Toki (1982), principle stress, the steady state is represented by a line as
Hanzawa (1980), Chang et al. (1982), Vaid and Chung shown in Figure 8. If the actual stress and void ratio of the
(1989), Kuerbis et al. (1988), and Kuerbis and Vaid (1988), sands plots above and to the right of its steady state line,
using triaxial compression and extension tests. Vaid et al. liquefaction can develop, thus the void ratio in dilative soils
(1990) showed that the steady state lines in compression are (dense samples) was a key point in determining the steady
different from steady state lines in extension. Kuerbis et al. state. However, the void ratio in shear zone of dilative soils
(1988) and Vaid et al. (1990) suggested that very large dif- can’t be measured precisely, if a bulk void ratio is used, it
ferences exist in extension and compression due to inherent can result in great errors, especially when the steady state
anisotropy, therefore, triaxial extension and compression line is quite flat. Therefore, highly contractive specimens
yield different critical/steady state lines. The steady state val- (loose samples) are recommended to determine the steady
ues obtained from Riemer et al. (1997) and Chern (1985) state line. Due to this reason, most researchers often refer
are plotted in Figure 7. It showed that the samples tested in dense sample to critical state while loose sample to steady
extension are considerably weaker at large strains than those state (Been and Jefferies 1991).
8 X. KANG ET AL.

Figure 7. Steady state line from compression and extension tests by Riemer and Seed (1997) and Chern (1985).

material. Other studies (Polito and Martin 2001; Xenaki and


Athanasopoulos 2003; Belkhatir et al. 2013; Hsiao et al.
2014; Phan et al. 2016) have uncovered similar results.

Effect of stress level


In order to investigate the effects of stress level on the
apparent steady state behavior, Michael and Raymond
(1997) carefully prepared and consolidated a series of identi-
cal samples in different stress levels at essentially the same
void ratio. The test results are plotted in Figure 10. It can be
seen that the specimens consolidated to lower confining
stresses, which are far more realistic stress levels for such
low densities, exhibit their lower shear strengths over a wide
range of strains, and in fact, never reach their “ultimate”
steady-state strength within the strains achievable in the tri-
axial apparatus. These data strongly support the use in
Figure 8. Undrained tests on fully saturated sands from Castro and
Polous (1977). engineering practice of the minimum undrained strength
observed at a representative level of confining stress, since
Effect of fines content the strengths mobilized in tests at very large stresses may
not be mobilized at acceptable strain levels in the field. This
Been and Jefferies (1985) studied the influence of fines con- confirmed the finding “different normal stress level corre-
tent on the steady state lines. Steady state lines in void sponds to different critical/steady state” proposed by Vesic
ratio-normal stress space for Kogyuk 350 sand with different and Clough (1968). Therefore, different stress level can
fines contents are shown in Figure 9. The slope of the steady result in different “ultimate” state.
state line increases with increasing fines content, which is
consistent with a trend toward greater compressibility with
Effect of stress rotation
increasing fines content. Therefore, the silt contents can also
  
influence the steady state line. It is further apparent that the Different loading directions (a of 0 , 24:5 , and 45 ) were
position of the steady state line at low stresses (arbitrarily employed for an anisotropic consolidated medium loose
taken as 10 kPa) is related to the maximum void ratio of the sample as shown in Figure 11 by Symes et al. (1984). It is
MARINE GEORESOURCES & GEOTECHNOLOGY 9

Figure 9. Steady state line with different silt contents by Been and
Jefferies (1985).

found that the failure envelop during dilation varied with



loading directions. The value of qp for a ¼ 45 was only 52% of
qp for a ¼ 0 . Samples loaded with the major principle stress
0

vertical were stiffer and failed at a higher value of q=p; .


Therefore, the stress rotation (represented by loading
directions a) is a factor in determining the behavior of sands
(Schofield and Wroth 1968; Atkinson and Bransby 1978; Been
and Jefferies 1991; Wood 1991; Zhang et al. 2013).

Effect of loading type


Figure 10. Plots of (a) stress path and (b) stress-strain of individual specimens
As stated previously, Casagrande (1976) verified the exist- sheared at same void ratio, but from different consolidation stress levels.
ence of two different CVR lines (e S Line and e F Line, first
presented in Figure 4) which were obtained from strain con-
trolled and stress-controlled tests, respectively. However, (Casagrande 1976). In addition, test results given by Konrad
Poulos et al. (1977) argued that stress and strain controlled (1990) show that constant strain rate yields slightly different
tests yielded similar results, they confirmed the type of load- results from those in the stepped loading tests. The “Kink”
ing is not a big issue in obtaining steady state line, at least phenomenon in liquefaction proposed by Alarcon-Guzman
limited for their research sands. This finding is contradicted et al. (1988) also indirectly show that the steady state is
with Casagrande’s (1976) findings. related to the strain rate but may vary in different loading
Type of loading might have less effects, but still is a pri- conditions. However, Hunger and Morgenstern (1984)
mary factor affecting the position of critical/steady state line. showed even during the most rapid flows, the materials con-
Castro et al. (1982) carried out two R tests (consolidated tinued to behave as Coulomb frictional fluids, indicating
undrained tests) on banding sand NO. 6 and one R test on that strain rate has a minor effect to the shear strength of
mine tailings using strain controlled axial compression load- granular materials. Although previous researchers believed
ing and the results were in good agreement with the data strain rate has impacts on the position of critical/steady state
from the load controlled tests. However, this can’t guarantee lines, Been et al. (1991) conducted load controlled and strain
stress-controlled and strain controlled tests can always yield controlled testing on contractive, undrained samples. The
the same results. Different strain rate should also be adopted range in strain rates at steady state is from 4%/h for strain
and validated in the future research. controlled tests to 300,000%/h for loading controlled tests.
No significant difference was observed, suggesting that the
strain rate effect is small for Erksak sand. In summary, it
Effect of strain rate
seems that both the stress-controlled test and strain con-
According to Castro (1969), strain rate controls the “flow trolled test are dependent on the strain rate. In theory, if the
structure” of specimen at steady state, thus, different strain loading is slow enough or strain rate is fast enough, then
rate will induce different steady state of the same specimen the two conditions should yield the same results.
10 X. KANG ET AL.

Figure 11. (a) Effective stress paths in different loading directions by Symes et al. (1984); (b) Stress-strain (qcoct ) behavior in different loading directions by Symes
et al. (1984).

Effect of initial fabric conclusion agrees with the findings reported by Poulos et al.
(1985), Li and Dafalias (2012) and Gao et al. (2014).
Sand samples were prepared by wet pluviation and by moist
compaction techniques to give different (but unknown) initial
fabrics in Been et al. (1991). The purpose of these tests was to Effect of initial state
investigate the effect of initial fabric on the critical state line.
The effect of initial fabric is difficult to investigate because dir- The possibility that the initial state affects the critical state was
ect quantification of fabric is not practical. However, Oda also investigated by Been et al. (1991). Figure 13 shows that in
(1972) has clearly shown how the tamping and pluviation both the initial and final states for all compression tests, all
techniques do in fact result in different fabrics. Figure 12 apparently reached the critical state. Clearly, there are no differ-
shows the critical state line data as a function of sample prep- ent lines for tests starting above and below the critical state line.
aration method. No effect of sample preparation method is In particular, the tests beginning below the critical state do not
observed. Soil initial fabric was also studied by moist tamping consistently end above the mean line, or vice versa.
and slurry deposited methods (Murthy et al. 2007). It was
found that the moist tamping method produced considerably Effect of drainage condition
larger undrained shear strength and slightly smaller flow
potential than the slurry deposited counterpart and the slope To investigate the effect of the drainage condition on the
of steady state line is independent of initial fabric. This steady-state relationship, five specimens prepared and
MARINE GEORESOURCES & GEOTECHNOLOGY 11

Figure 12. Effect of sample initial fabric on critical state by Been et al. (1991) (note: pluviated specimens at high void ratios cannot be prepared).

Figure 13. Effect of initial state on the critical state (all tests compression) by Been et al. (1991).

consolidated in the same manner as the undrained specimens The influence of grain breakage (Coop et al. 2004;
were sheared in drained triaxial compression by Michael et al. Kikumoto et al. 2010; Bandini and Coop 2011; Hu et al.
(1997). The relationship between effective stress and void ratio 2013), grain size distribution (Biarez and Hicher 1994;
for these five samples at large strains is plotted in Figure 14, Daouadji et al. 2001; Wood and Maeda 2007; Li et al. 2014)
along with the data from the drained tests for comparison. The and consolidation history (Finno and Rechenmacher 2003)
test results show that there is no discernible effect of the drain- on critical/steady state lines were also studied in recent
age condition on the steady state relationship. This is agreeable years. From all these influence factors proposed by previous
with the standpoint that whether the test is drained or research, a summary can be drawn as follows. It has been
undrained does not have any influence on the location of the shown that particle size, grain breakage and grain size distri-
ultimate state proposed by Been et al. (1991). bution will result in changes in the position but not the
12 X. KANG ET AL.

Figure 14. Steady state data from both drained and undrained triaxial compression tests by Michael et al. (1997).

slope of the critical/steady state lines. The difference of crit- level and stress rotation can significantly influence the pos-
ical/steady state between the compression and extension ition of critical/steady state lines. The fines constantly influ-
response seems to be large. Void ratio is a key point in ence the slope of critical/steady state lines. Loading type,
determining the steady state. The slope of the steady state consolidation history and strain rate have a minor effect on
line increases with increasing fines content. Different normal the critical/steady state; however, the drainage condition, ini-
stress levels correspond to different critical/steady state. tial fabrics and initial state have almost no effects. Lastly,
Stress rotation is also a factor in determining the behavior the effect of sample size is still unclear.
of sands. Type of loading might be less, but still a primary
factor that affects the position of critical/steady state line,
where the strain rate and consolidation history also has a Acknowledgments
minor effect to critical/steady state. The initial fabric does This work was carried out with the support from the National Key
not affect the critical state. Drained or undrained condition Research and Development Program of China (2016YFC0800207),
does not have any influence on the location of the ultimate National Natural Science Foundation of China (41472244), National
Natural Science Foundation of China (51808207), the Provincial Key
state and the initial state has no effect on critical/steady
Research and Development Program of Human (0105679005), the
state. Effect of sample size is still unclear because some of Industrial Technology and Development Program of Zhongjian Tunnel
the smaller samples tended to yield conservative results, Construction Co., Ltd. (17430102000417), and the Research Program
while others indicated the opposite. of Construction Engineering of Shenzhen (20151118003B).

Conclusions Disclosure statement


Based on the literature review presented in this paper, it can No potential conflict of interest was reported by the authors.
be concluded that the difference between critical state and
steady state, if exists, is trivial, because the steady state
researchers embodied critical state researchers’ concept and ORCID
extended the definition of critical state by postulating a
“flow structure” and defining the “constant velocity.” Louis Ge http://orcid.org/0000-0002-1150-3733
Therefore, one can conclude that the steady state concept is
a refinement of the critical state concept, which is not
exactly the same with the critical state itself, while the References
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