ZIENKIEWICZ,0. C., HUMPHBON, C. & L~wrs, R. W. (1975). GPotechnique25, No. 4, 671-689.

Associated and non-associated visco-plasticity and

plasticity in soil mechanics

0. C. ZIENKIEWICZ, DSc, FXYE*, C. HUMPHESON, MSct

and R. W. LEWIS, PhD, MICE1

The visco-plastic model is established as a realistic
general description of soil behaviour as well as a
computationally convenient fiction for solving any
properly formulated plasticity problem. The Paper
focuses attention on simple elastic-ideally plastic
formulations in which both associated and non-
associated forms of behaviour are assumed. In the
non-associated form the usual bounding theorems
are not applicable and it is of interest that in some
cases collapse situations significantly different from
those given by limit theorems are predicted. Also,
some problems of strain-dependent plasticity are
solved to demonstrate the flexibility of the visco-
plastic algorithm.
Le mod&e viscoplastique constitue une description
gknerale et realiste du comportement du sol aussi
bien qu’un modkle facilement calculable pour
rksoudre tout probkme de plasticitk convenablement
formulk. L’Btude concentre l’attention sur des
schtmas (ou modkles) oh les deux types de comporte-
ment (elasticit simple et plasticitk idkale) sent pris
en compte simultankment ou sCparCment. Dans
les schkmas (ou modkles) oh les deux types de com-
portement ne sent pas associk, les thkortmes limites
ordinaires ne sent pas applicables et il est intkressant
de noter que dans certains cas on prkvoit des situa-
tions de rupture t&s diffkrentes de celles don&es par
les thkorkmes limites. 11 y a Bgalement quelques
problkmes de ddformation plastique qui sent r6solus
afin de ddmontrer la flexibilitk de l’algorithme visco-
plastique.

Since the early 1950s when the foundations of classical plasticity theory were laid down
(Drucker and Prager, 1952; Drucker, 1953; Hill, 1950; Drucker, 1954) soil mechanics specialists
have been preoccupied with extending these concepts to answer the complex problems of soil
behaviour. Much has been achieved, both from the point of view of deriving collapse bounds
and of postulating models capable of describing the deformation behaviour. In two recent
symposia the achievements to date have been summarized (Parry, 1972; Palmer, 1973) and a
particularly lucid account is presented by Wroth (1973). It is important however to remark
that the path was by no means easy and that much of the classical theory was abandoned or
considerably modified to obtain reasonable results.
One of the main stumbling blocks of the classical plasticity theory lay in the universal
assumption, based on Drucker’s postulates (Drucker and Prager, 1952), that the plastic be-
haviour is ‘associated’. With the use of Mohr-Coulomb type yield envelopes to define the
limit between states of elasticity and of continuing irreversible deformation, the associated
behaviour manifestly contradicted observation and gave excessive dilation. It became
necessary therefore to extend plasticity ideas to a ‘non-associated’ form in which the plastic
potential and yield surfaces are defined separately (Davis, 1968a, 1968b; Davis and Booker,
1973). This eliminated the possibility of applying classical bounding theorems for collapse
loads and created doubts about the uniqueness of collapse possibilities (Prager, 1972).
Attempts to revise bounding theorems (Radenkovic, 1964; Palmer, 1966) for such non-
associated behaviour proved too weak and to date have not provided a useful criterion for
* Professor of Civil Engineering. Univesity College of Swansea.
t Research Assistant, University College of Swansea.
$ Lecturer, University College of Swansea.
672 0. C. ZIENKIEWICZ, C. HLMPHESON AND R. W. LEWIS

judgement of results. Thus, it is clear that there is no theoretical justification in the case of
frictional materials for describing collapse solutions derived by slip circle or slip line analysis
as ‘bounding’.
In real soils, the phenomena of strain hardening or softening are present and a limit collapse
state is in most cases not directly approachable. For such soils partly or fully associated,
strain hardening plasticity models (Drucker et al., 1957; Roscoe and Burland, 1968; Schofield
and Wroth, 1968; DiMaggio and Sandler, 1971; Zienkiewicz and Naylor, 1972) have been
suggested and used with considerable success in defining the deformation characteristics.
Unless the critical failure condition is associated no useful bounds can be placed on the collapse
loads.
All the foregoing studies and extensions of the plasticity theory have explicitly eliminated
time effects which are invariably observed in real soils. Although to a large extent such time
effects are due to the movement of pore-water and can therefore be accommodated in a time-
independent constitutive relation for the soil skeleton, (Biot, 1941; Sandhu and Wilson, 1969;
Ghaboussi and Wilson, 1973) some of the time-dependence is inherent in the behaviour of the
basic material evident in so-called secondary consolidation. It appears therefore that a true
constitutive law for the material should be one in which time can be explicitly given. Such a
law is readily formulated as a general visco-plastic relation (Bingham, 1922). Much work
has been done recently in the formulation of such a law for a variety of materials, and its
numerical solution (Perzyna, 1966; Zienkiewicz and Cormeau, 1972, 1973, 1974; Zienkiewicz,
1974; Zarka, 1972; Nguyen and Zarka, 1973). One by-product of such a formulation is that
purely plastic solutions are available when steady state conditions are reached. The two
classes of visco-plasticity used will be distinguished by the use of ‘real’ or ‘fictitious’ time.
Here, the formulation provides a computationally economical and efficient way of incorporat-
ing complex plasticity relations involving strain hardening, softening or non-associated be-
haviour, and the time aspect is purely fictiti0us.l
This Paper is intended to present briefly the essential ideas of the general formulation and, in
the main, to turn attention to the study of some typical problems of ideally elastic-plastic
situations involving associated and non-associated laws. Although in such studies the full
deformation history is only approximated (assuming simply a linear elastic behaviour before
‘failure’) it is felt that some of the solutions obtained will cast a new light on the continuing
debate between adherents to ‘associated’ and ‘non-associated’ behaviour patterns which
would not be possible without numerical results. Whilst it is easy enough to conclude that
the results of such two laws may be different, it is essential to find numerically the magnitude
of these differences. If these are smaller than the limits of confidence in experimental data
used, debate may well be ‘academic’ in the derogatory sense!
To date relatively few elasto-plastic computations have been carried out for embankments
in which frictional behaviour occurs and collapse studies using such procedures appear only
for $ = 0 materials (Smith and Hobbs, 1974). It is felt, therefore, that the answer to the prob-
lem of collapse behaviour is essential if some confidence is to be placed on existing methods of
computation. In order to complete the study a ‘critical state’ strain-dependent plasticity
model with failure characteristics identical with those assumed in ideally elastic-plastic cases
will be investigated.

1 For numerical treatment of plasticity involving strain softening and other complexities the initial stress method
(Zienkiewicz er al., 1969, Smith and Hobbs, 1974) is accepted as an efficient computational procedure. It can be shown
(Zienkiewicz and Cormeau, 1974) that the visco-plastic algorithm when used in such situations provides an accelerafed
version of initial stress in a simplified manner giving thus a very economical solution procedure with a greater physical
reality.
ASSOCIATED AND NON-ASSOCIATED VISCO-PLASTICITY AND PLASTICITY IN SOIL MECHANICS 673

Whilst the foregoing study is the main objective of this Paper, an example will now be shown
of a situation which can be solved using a real-time visco-plastic model. This is typical of
problems occurring in tunnel design, and is introduced to show how the new model can be
used to incorporate simultaneously the phases of plastic and creep behaviour previously
treated by separate procedures. It is the opinion of the Authors that the philosophy of the
combined model is at all times more realistic and that as knowledge of material behaviour
expands its use will become more extensive.

GENERAL FORMULATION
The visco-plastic model used here follows Perzyna (1966) and can be generalized to include
most behaviour patterns encountered in soil. It is first postulated that the total strain is a
sum of elastic and visco-plastic components.
Thus 2
e=@+rVP . . . . . . . . . . (1)
The elastic strain is linearly related to the effective stresses3 Q’as
~0 = D-lo’ . . . . (2) . . . . . .
in which D is a matrix of elastic constants. Whilst the elastic strain is recoverable, the visco-
plastic strain persists and only a constitutive relation prescribing its time rate is given. This
is of the form of a general creep relation
daVP
- = iVP = f(cV’,C’) . . . . . . . .
dt
The visco-plastic effect is mobilized only when the stresses exceed some state at which yield
starts. If such a state is defined, as in plasticity, by a yield function F as
F(a, evp) = 0 . . . . . . . . . . (4)
then F-CO defines a purely elastic behaviour and the strain rates are different from zero only
if F>O.
To define a complete strain rate law in an explicit form it is necessary to introduce, as in
plasticity, the concept of a ‘plastic potential’ Q (e.g. Hill, 1950)
Q = Q(u’, . . . . . . . . . . (5)
the derivatives of this defining the directions of the straining. The visco-plastic flow laws can
thus be written with considerable generality as follows

r=<#(F)>g$ . . . . . . . * .
in which
(#(F)) = 0 if F_<O

<W’D = (CI(F) if F>O . . . . . . 1 (7)

defines the dependence of the rate on the ‘distance’ of the stress state from the yield surface.
In many practical applications a simple linear relation $ suffices and this will be used here
4(F) = yF/F, . . . . . . . . . (8)
in which y is a positive constant and F,, is some reference value of stress.

2 In the notation used here strains and stresses are given usually by a vector listing their components. For instance
E=CCrx, Q,,, czz, yxV, yvz, y.“) in the three-dimensional case.
3 In all subsequent presentation it is assumed that the constitutive relation is given in terms of effective stresses and that
pore-pressures are known and therefore can be represented as known body forces.
674 0. C. ZIENKIEWICZ, C. HUMF’HESON AND R. W. LEWIS

The well known concept of ‘association’ in plasticity assumes that Q and F vary identically
with u’, but the basis of this is postulated rather than proved and it is well known that in
frictional situations this assumption is not tenable. Thus whenever the identity of derivatives
of Q and F does not exist we shall refer to the behaviour as ‘non-associated’. If constants
are disregarded F= Q thus gives associated, and F# Q, non-associated behaviour.
The form of the visco-plastic relationship given by eqn (6) embodies in itself the classical
plasticity theory as y --+ co. Further, if a solution satisfying compatibility of displacements
and equilibrium is obtained in which all strain rates reduce to zero it is clear that the plastic
yield condition has not been exceeded anywhere and that the solution is ‘safe’.
If a solution can be obtained by incrementing the loads so that at all stages the yield condi-
tion is only exceeded by an infinitesimal amount then the solution of the visco-plastic and
classical plasticity problems coincide. Many investigations conducted to date show quite
clearly that even if such an incremental process is not followed the final, steady state, solution
is identical with that of classical plasticity (Zienkiewicz and Cormeau, 1972, 1973, 1974;
Zienkiewicz, 1974).
The process of solution which shall be used in examples and studies presented in this Paper
utilizes a plane strain finite element method approximation. Isoparametric displacement type
elements are used with a 2 x 2 Gauss point numerical integration. Details of the specific com-
putation procedures are outlined elsewhere utilizing the standard processes described by
Zienkiewicz (1971), and need not be discussed here. However, it is observed briefly that these
follow a pattern which can be adopted with any numerical or exact process which allows the
solution of a linear elastic problem with prescribed ‘initial strains’. From eqns (1) and (2) it
is noted that
0’ = D(e-e”P) . . . . . . . . . (9)
gives the basic elastic relation. Provided the ‘initial strain’ evp is known the problem is one
of classical elasticity.
Taking small time steps At, eqn (3) can be integrated in time by one of the many numerical
techniques available and a succession of elastic solutions will yield the time history of stress
and displacement changes. In the method used here a simple, Euler type, scheme of forward
time integration is used which can become unstable if critical time steps are exceeded. Studies
of such critical time steps are given by Cormeau (1975), and his criteria of stability were ad-
hered to in this Paper.

FORM OF YIELD SURFACE AND PLASTIC POTENTIAL-IDEAL VISCO-PLASTICITY

In the previous section the concepts of a yield surface F and of a plastic potential Q in the
stress domain have been introduced. In general F is dependent on the accumulated visco-
plastic strain. If the surface F expands with straining a hardening occurs or, if it contracts, a
softening tendency is shown. From the point of view of numerical techniques explored pre-
viously all these conditions are amenable to treatment by the same algorithm with no special
difficulties. Ideal plasticity or visco-plasticity is characterized by a yield surface F=O which
does not include such strain dependence. This section will deal with such behaviour.
Various forms of the surfaces F and Q can be defined in terms of stresses. If the failure
condition is taken as one of yield then the most commonly used expressions are those of Mohr-
Coulomb or their simplification due to Drucker and Prager (1952). The former is graphically
represented by a six-sided pyramid in the principal stress space, the latter by a cone inscribed
tangentially into the pyramid (Fig. 1). If the angle of friction reduces to zero the Trescn and
Von Mises conditions are immediately recovered from such formulations. Zienkiewicz and
ASSOCIATED AND NON-ASSOCIATED VISCO-PLASTICITY AND PLASTICITY IN SOIL MECHANICS 675

Fig. 1. Some isotropic yield surfaces in principal stress space: (a) Drucker-Prager and Von MI&s; (b) Mobr-
Coulomb and Tresca

Cormeau (1974) discuss in detail the explicit expression for both types. In the context of
failure, Bishop (1966) and Kirkpatrick (1957) make the assessment of both forms deciding in
favour of the angular one from experimental evidence.
Although a general form of both the expressions has been programmed, in the examples of
this Paper the Mohr-Coulomb yield condition for ideal plasticity will be used. The Drucker-
Prager one has, however, the advantage that it can be simply presented in terms of only two
strain invariants. For completeness both forms will be written.
Mohr-Coulomb

F= u,siIl~+ cosa- sin;;n’)~J+cos+ . . . . (10)

Drucker-Prager
43 sin + 2/3c cos 4
1”= 2/(3sina) urn + dJ~-~(3+27) * * . * - (11)
In eqns (10) and (11) (reverting to a tensorial notation for this instance)
(rm-- 3%
s, = ui, - sua,
(12)
J2 = i&$, - ’ ’ ’ ’ ’ ’ ’ ’

Ja = &W,c,
(a,= -p and J2 =q2/3 in usual soil mechanics notation) and OL,the Lode angle, is defined as
1
_T < a = -sin-l 343 J3
-__.- _<E
6 3 2 J21’2) 6
In a space of the two stress invariants p, q the Drucker-Prager condition is shown in Fig. 2.
If a non-associated form of flow behaviour is to be assumed in general the same type of
description will be used for the plastic potential as that for the yield surface but a different
angle 0 will be inserted in place of 4. Thus, if for instance in the use of the Mohr-Coulomb
criterion it is desirable to have a flow which shows no volume changes, a surface given by
eqn (10) is used for Q with 8=0, i.e. a simple Tresca criterion.

4 Use of the Drucker-Prager substitute will always result in lower collapse loads and the differences between the two
assumptions may be very substantial.
676 0. C. ZIENKJEWICZ, C. HUMPHESON AND R. W. LEWIS

Plastic *train increment

Fig. 2. Drucker-Prager criterion in space of two stress invariants p and y

A FORM OF AN ASSOCIATED YIELD SURFACE-STRAIN-DEPENDENT PLASTICITY

Various forms of plasticity in which the yield surface depends on current density (or voids
ratio) of the material have been frequently proposed. Such models are introduced to repro-
duce more accurately the deformations preceding collapse and have an important part to play
in description of the material behaviour. A simple version of a model is shown in Fig. 3.
It assumes, as also does the Drucker-Prager approximation, that the yield condition is not
dependent on the third stress invariant. Here a series of ellipses all starting at a point A
placed at a distance a from the origin is used to define a series of yield surfaces which depend
on the plastic compaction. The part of the model below the critical state line is identical with
that used for the modified Cam clay by Roscoe and Burland (1968).
Normality to the yield surface is assumed and as higher yield surfaces correspond to higher
degrees of compaction (or negative change of volumetric strain), it is noted that a stress path of
the type l-2 gives plastic strain characteristics of the type shown in Fig. 3(b) reaching a state
of constant stress q2, at which point, due to the normality of the strain increment vector, no
further volumetric strains occur. A stress path 3-4 on the contrary shows a strain softening
behaviour due to expansion of the material and approaches a constant stress at point 4 where
once again the tangent to the current yield surface is vertical.
The straight line 2-4 is in a sense critical as on it ‘ideal’ plasticity conditions exist. Many
investigators have serious misgivings about the validity of the strain softening behaviour
thus described and define the law only below the critical line. Without arguing in favour or
otherwise of the present description the Authors note that it is not frequently that a stress state
will enter the softening zone during analysis.
Extending the arguments to a yield surface of the Mohr-Coulomb type a strain-hardening
set of surfaces can be imagined in the space of three invariants. Identifying the critical state
with the Mohr-Coulomb envelope of Fig. l(b) leads to a surface shown in Fig. 3 in which the
various parameters are given in the following.
ASSOCIATED AND NON-ASSOCIATED VJSCO-PLASTICITY AND PLASTICITY IN SOIL MECHANICS 611

(4

Fig. 3. Critical state strain hardeninglsoften-

ing yield function: (a) graphical representation
of yield surface in space of the two stress in-
variantsp and q; (b) strain hardening behaviour;
(c) strain softening behaviour; generalisation
(b) % corresponding to Mohr-Coulomb critical surface

3 sin 4
tan @ = 2/3
cos Q - sin LZC$
3c cos +
coscr-sincrsin+ * ’ * ’ ’ . . (13)
“=1/3
The equation of the yield surface n’ow becomes
3qa (P-Pco+aY= 1
. . . . . . (14)
’ = (p,, tan @)”+ PC02

with 2p,, being the diameters of the ellipse in Figs 3(a) and (d). The initial pC,,is defined for a
given material by its density. Subsequent changes are related to changes of volumetric stress
by means of consolidation tests. Thus
dpCO= f(EVp) = pCOexp (_XE,~) . . . . . . . (15)
where the exponential form is suggested by Roscoe and Burland (1968). Here X is a constant
depending upon the initial voids ratio, the compression index and the swelling index, and
would be obtained by making oedometer tests.
The yield surface given by eqn (14) and the conditions of association permit definition of the
visco-plastic relation in eqn (6) in detail. In this Paper the use of this type of yield criterion
will be limited to one example to show the influence (if any) of the alternative formulation on
collapse.

COLLAPSE LOADS FOR ASSOCIATED AND NON-ASSOCIATED PLASTICITY LAWS-CASE

STUDIES
Axisymmetric compression between rough platens
This example has received some attention in literature. Due to the considerable degree of
‘restraint’ it is expected that wide differences will occur between the collapse loads for asso-
ciated and non-associated plasticity. Indeed Davis (1968a, 1968b) presents a study of this
678 0. C. ZIENKIEWICZ. C. HIJMPI-IESON AND R. W. LEWIS

1 Prescribed load CJ I

Smooth platen
(associated and non-associated)
___-_~_-__-----

cl =cx *

\\\\\\\\\\\ \\\\\\\\\\\\
B-I

0 I.0 2.0 3.0 4.0 5.0 6.0 7.0

Material properties
Displacement Y: m x IO’
C = IO kN/m2

$ = 45

E=2x10SkN/m2

Y = 0.15

Fig. 4. Uniaxial compression between rough plates: (a) dimensions and physical data; (b) load-displacement
carves for axisymmetric compression

case in which he anticipates that the ratio of associated to non-associated (incompressible)

collapse load for +=45” is greater than 1.36 but unfortunately he does not state what kind of
strain conditions are assumed. It is easy to show that if completely smooth platens were used
the collapse loads for both flow rules would be identical so this particular study is intrinsically
interesting.
In this and subsequent studies in this section the visco-plastic conditions are introduced as a
fiction by which plasticity solutions are approached. The load is incremented and for each
increment the visco-plastic flow is allowed to continue until the rate of straining becomes
negligible (0.1% norm). The number of time steps required to accomplish this is shown on
some solution figures.
In Fig. 4(a) the problem is defined and it will be noticed that the rigid platen is replaced in
the analysis by an elastic one with high rigidity (Eplaten= 100 E,,,J which maintains a no slip
condition between the soil and itself. In Fig. 4(b) the results of the analysis for the axisym-
metric case are given for different values of 0 the equivalent of 4 in the Mohr-Coulomb
expression for the plastic potential. Considerable differences between the collapse load for
the associated and non-associated behaviour are shown with the latter giving, as expected,
lower collapse loads. With 0=0, i.e. no volume change during yield, the ratio of associated
and non-associated collapse is 1.28, a figure somewhat smaller than that obtained by Davis
(1968a, 1968b).
Figures 5(a) and 5(b) show respectively the pattern of purely plastic movement (velocities)
and that of the distribution of maximum shear strain rate contours occurring during collapse;
these contours indicate the zones in which the maximum slippage occurs but due to the nature
of the continuous displacement assumption and ‘finite’ element size do not show the velocity
discontinuities which are admissible in plasticity. This kind of ‘smoothing’ is physically
tenable, and has been shown in another context to have very little effect on the collapse
loads (Zienkiewicz and Godbole, 1974; Nayak and Zienkiewicz, 1972).
ASSOCIATJZW AND NON-ASSOCIATED VJSCO-PLASTICITY AND PLASTICITY IN SOIL h4ECHANICS 679

Associated &I- + 45) Non-associrtdd &7-O.+= 45)

E G

20

( Non-associated (& 0. + ,5)

(b)
Fig. 5. (a) Velocity pattern; (b) maximum shear strain rate contours during collapse of uniaxial axisymmetric
uncontined compression problem of Fig. 4

Mohr-Coulomb (associated)

, Prescribed load q
t

Mohr-Coulomb (non-associated) 0 = 0

Material properties Plane strain q P= 45lblinf m P= 120Ib/inf

E = 30 OW lb/in? 32 parabolic elements
Y = 0.3 P- 60Ib/inf &j P = 14Olblln.2
C - IO lb/in?
.#.=20
80 lb,,“! q P = 147 lb/in!
P = I51 Ib/im2
(non-associated)
(associated)
a P = IO0 lb/In?
(a) -(b)

Fig. 6. Strip footing on elastic-plastic soil: (a) geometric data and mesh; (b) spread of plastic zones for
increasing load
680 0. C. ZIENKIEWICZ, C. HUMPHESON AND R. W. LEWIS

Associated Mohr-Coulomb
P = 147 lb/in!
I _*

Non-associated Mohr-Coulomb

(b)

Fig. 7. Strip load problem-Mobr-Coulomb yield surface: (a) load-displacement curves; (b) relative plastic
velocities at collapse (assumed failure mechanisms of Terzaghi and Prandtl)

Plane strain uniformly loaded flexible and frictionless strip footing

This example compares the associated and non-associated behaviour (with no volume change)
of a uniform strip footing. This case is less ‘confined’ than the previous one and, as expected,
shows a diminished difference between collapse loads given by associated and non-associated
laws. Now the collapse loads differ only by some 3%. Fig. 6 shows the geometry of the
problem and the spread of plastic zones with increase of load. In this study no initial stress
in the ground was assumed, a condition compatible with laboratory conditions but not
reality.
The load-settlement characteristics and the plastic flow patterns at collapse are shown in
Fig. 7.
A similar problem with somewhat simplified conditions was studied by Cox (1963) and for
an infinite foundation he finds in fact no difference between the associated and non-associated
collapse loads. The collapse loads for associated and non-associated assumptions are 151
and 147 lb/in.2 respectively as compared with 143 and 175 lb/in2 given by the Prandtl and
Terzaghi solutions. This example also serves to investigate the effect of introducing the strain-
dependent critical state model with the critical state line corresponding to the Mohr-Coulomb
failure surface as given by equations (13)-(15).
Figure 8 shows the load-settlement curve and corresponding velocity patterns. Again the
collapse loads are not appreciably altered by the flow rule, the values of collapse loads being
now about 144 lb/in2.
The displacement curve depends strongly on both the initial elasticity and the strain harden-
ing parameters. These can be suitably matched to observable characteristics. With the para-
meters given as shown in Fig. 8(a) a displacement load characteristic is obtained similar to
that of an ideally elastic-plastic non-associated behaviour.
 ASSOCIATED AND NON-ASSOCIATED VISCO-PLASTICITY AND PLASTICITY IN SOIL MECHANICS 681

Applied footing ,xerrure: lb/In?

\ ii
ii

E
x 2.5.
C = IOlb/inf
p
:n 3.0. 4 = 20
B; 3.5. 2, _ 40 Ib,in.2

i x _ 700 Mohr-Coulomb
t 40.
1 E = 70 OM) Iblln!.

4.5 - Y = 0.3

b)
Fig. 8. Strip load problem-critical state yield function: (a) load4isplacement curve; (b) relative plastic
velocities at collapse

An idealized homogeneous embankment or excavation

It is shown that for this practically important problem the deformation patterns can be
traced to collapse and that again very small differences arise between associated and non-
associated formulations as little constraint on deformations exists, Further it is demonstrated
that the result is relatively insensitive to initial stress conditions and the loading path. In the
case of the embankment the initial stresses are those resulting from the application of gravity
to a completed section (Fig. 9) whilst for an excavation a stress resulting from the removal of
the ground is used as the initial condition (Fig. 10). In both studies the angle of friction 4 is
kept constant (at 20”) and the cohesion is reduced starting from some arbitrary value. In
both collapse occurs at approximately the same value of cohesion (=3 kN/m2).
The patterns of velocities and the maximum shear strain rates for both associated and non-
associated conditions are shown in Figs 11(a) and (b). These indicate clearly the generally
circular nature of flow and indeed the concentration of strain along an approximately circular
path. Indeed, for this particular case a standard slip circle analysis was carried out. This
shows that with the values $=20 and C=3 kN/m’ the factor of safety was 1.01 showing an
682 0. C. ZIENKIEWICZ, C. HUMPHESON AND R. W. LEWIS

Coherlon : kNln?

ISm
A HaterIll properties

E = 2 x IOskN/m2

Y _ 0.25
n
d-20
I y-2OtNlm)
5m
I

Fig. 9. Embankment-deformations resulting from reduction of cohesion. Initial stress results from applica-
of gravity

Cohesion: kNlm2

-1.6’
Collapse cohesion by slip circle
-2.0
E .
d6-2.4 ~~~~~~~~~~~
flow de ( e -=Q = 20)
E
K
g -2.8’ x---x Non-associative flow rule ( 0 =O.+= 20)
$
$J -3-2. ; 4.0
1
*
5 -3.6.
Y
3.0
5 IO I5 20 25 10 32
2
Cohesion: kNlm2
2 -4.o- t
-x
Ib 15m Maccrlalpropenler
E=2x10SkNld
-4.4

-48. rp-20

y = 20 kNd
-5.2
Q#‘YZ
~~-065 mu
%-a,

Fig. 10. Excavation-deformations resulting from reduction of cohesion. Initial stress results from removal
of overburden
ASSOCIATED AND NON-ASSOCIATED VISCO-PLASTICITY AND PLASTICITY IN SOIL MECHANICS 683

Fig. 11. Embankment-relative plastic velocities at collapse and effective shear strain rate contours at collapse:
(a) associative (8 =+ =20); (b) non-associative (8 =0, + =20)

extremely close agreement with the calculations given here. The critical slip circle is shown
in Fig. 11.
It is of interest to remark that very similar results are obtained in other cases analysed. For
instance taking the example of Fig. 9 but reducing simultaneously C and tan 4 in the same
proportion, in accordance with the usual soil mechanics definition of safety factor, collapse
safety factors as given in Table 1 are obtained and these agree very closely with those of stand-
ard slip circle analysis.

A composite embankment
In the previous examples, well known simple problems have been solved and both the
foundation and embankment studies have demonstrated that the results of simple and conven-
tional estimates of the collapse loads are adequate. However, the method of analysing is
purely general and in more complex practical situations may well differ from the over simpli-
fied methods necessary with conventional procedures. To illustrate this point a composite
embankment illustrated in Fig. 12(a) is studied in some detail. This example in which it is
684 0. C. ZIENKIEWICZ, C. HUMPHESON AND R. W. LEWIS

60 80 I00 120 140

(a)

(b)

Fig. 12. Layered embankment problem: (a) geometry and material properties; (b) finite element mesh (53
parabolic isoparametric elements); (c) relative shear strain rate contours at collapse

Table 1

c= 10 Q = 20 (assumed given material properties)

C and tan 4 reduced simultaneously to collapse by factor l/N

1.38 < N < 1.39 associated flow rule

N = l-38 standard slip circle analysis

Table 2

Method Safety factor Reference

Whitman-Bailey 1.24-l a26 Whitman-Bailey (1967)

Bishop 1.33 Whitman-Bailey (1967)
Fellenius 1.09 Whitman-Bailey (1967)
Sarma 1.542 Sarma (1973)
reTgenstern-Price 1.557 Sarma (1973)
1.49 Bell (1968)
Associated Mohr-Coulomb 1.165
Non-associated Mohr-Coulomb 1.165
ASSOCIATED AND NON-ASSOCIATED VISCO-PLASTICITY AND PLASTICITY IN SOIL MFCHANICS 685
assumed that a fill layer is placed on top of an existing geological shape has been studied
extensively using several variants of collapse mechanism calculations.
All of these solutions are based on the principle of limiting equilibrium and the method of
slices. The differences in the computed factor of safety result from the shape and position of
the assumed failure surface and the manner in which the equilibrium of each slice is considered.
The Bishop and Fellenius methods are applicable only to circular failure surfaces whereas the
remaining solutions mentioned can be used for non-circular failure surfaces.
The results of these investigations for collapse safety factors are presented in Table 2 together
with those obtained by elasto-visco-plastic computations in which both ideally plastic associated
and non-associated (6 = 0) assumptions were made.
The safety factors are defined in the present calculation as appropriate ratios by which c
and tan I$are reduced in all layers and it is remarkable that once again the differences between
associated and non-associated (0= 0) assumptions are negligible. The value of the safety
factor obtained is lower than all those based on limiting equilibrium except the Fellenius solu-
tion, and then the factor of safety is only overestimated by 6%, and it is 33% lower than the
highest estimate.
Figure 12(c) shows the distribution of maximum shear strain rates which indicates consider-
able departures from the slip surfaces assumed in the analysis by others.

REAL TIME VISCO-PLASTICITY-STRESSES IN TUNNEL LININGS

In the previous examples the time-dependence played a fictitious role, as a convenient device
to obtain the steady state plastic solution. This need not have been the case if real creep
properties of the soil were known and the true time-dependence could be established. In
some problems this time-dependence is of great interest. One such situation concerns the
development of stresses in tunnel linings which are inserted after the original excavation is
made. Clearly in such cases the creep provides the major mechanism by which loads are trans-
ferred to the lining.
The example included here is one of plane strain and is studied once again with associated
and non-associated (e=O) behaviour of the Mohr-Coulomb type.
The visco-plastic law of a linear type given by eqn (8) is taken in which y has units of l/T.
The time to insertion of the lining is 5 dt where ~lt=O+MX)034T is the time step used. The
steady state conditions are reached approximately at 200 At.
The geometry of the problem, with the finite element mesh used and some of the physical
data, is presented in Fig. 13. The following sequence is now assumed: first, a circular tunnel
is excavated in the virgin rock subject to some initial stress system and a fixed time allowed to
elapse-during this period mainly elastic stress changes occur and the displacements shown in
Fig. 14(a) are recorded; second, the lining is inserted in an unstressed state and a long period
of time investigated in which complete transfer of load to the lining takes place-the lining is
taken to be ideally elastic and in Fig. 14(b) the final displacements of this are shown for both
the material behaviour patterns assumed.
The results show now a very strong dependence on the flow rule assumed. With constant
volume and non-associated flow, very much smaller displacements (and hence loads) are
induced in the lining; associated plasticity with its dilatant behaviour causes much larger
stresses. It has been sometimes suggested that an insertion of a soft layer between the lining
and ground may have a beneficial effect in reducing the loads. In Fig. 14(c) it is shown that
this effect cannot be obtained with a non-cohesive sand layer. Table 3 shows the maximum
lining stresses for all cases.
686 0. C. ZIENKIEWICZ, C. HUMPHESON AND R. W. LEWIS

Studies of the kind described here require a considerable amount of material information
which often is not available at the start of tunnel construction. It is expected nevertheless
that if scientific study of important tunnel projects is to be attempted this information should
be sought!

Rock E - 0.72 x IO* lbd Lining E = 4.32 x IO* lb/f?

Y = 0.2 V=O.IS

C- 144 x IO4 lb,’ d _ 0.5 R

+30’

Fig. 13. Lined tunnel-dimensions and physical data

Table 3. Maximum lining stress in example of Fig. 13

I Ib/ft” x lo4

No soft layer associated I 10.45

non-associated 6.15
With soft layer associated 9.99
non-associated 6.45
ASSOCIATED AND NON-ASSOCIATED VISCO-PLASTICITY AND PLASTICITY IN SOIL MECHANICS 687

Material properties of soft layer (associated)

E = I.0 x IO’ lb/f?

v=O-4996

c=o

+30

e=d,
(b) Thickness k - 02 ft

Displacement scale

1.0x 10%
-

Fig. 14. Tunnel lining study: (a) displacement of rock before lining is inserted; (b) displacement of lining at
steady state from moment of insertion; (c) displacement of lining with soft layer inserted between it and the rock

CONCLUDING REMARKS
The examples of the general visco-plastic formulation presented here show some of the
capabilities for solving efficiently various plasticity formulations. The attention given to the
comparison of associative and non-associative laws shows that, provided the displacement
constraints are not excessive, the limit loads given by standard bounding theorems are applic-
able. However, the formulation given here allows complex layered configuration with vari-
able properties to be dealt with in a general manner which is simpler and more accurate than
coresponding limit calculations.
If a considerable degree of restraint exists in the soil the influence of the type of flow rule
assumed can be considerable and in such cases the use of limit analysis is suspect.
The effects of pore-pressure have not been included in any of the examples presented here
and implicitly it has been assumed that either the pore-pressures are known (as in long-term
loading) or else that their effect is negligible. It is a simple matter to extend the method of
calculation to rapid, undrained loading conditions by a simple device in which compressible
fluid elements are placed in parallel with the visco-plastic ones.
With a transient process of coupled visco-plastic yield and drainage computation the full
consolidation problem can in principle be solved.
If real visco-plastic solutions are sought in which the history of deformation is to be recorded,
a greater physical parameter is needed. As it appears that at the present time most effective
constitutive laws can be written within the framework of visco-plastic relationships, experi-
mental workers could well concentrate some of their attention here. Both from the numerical
and theoretical standpoint the visco-plastic relationships are more tenable and convenient
than purely classical plasticity assumptions.
688 0. C. ZIENKIEWICZ, C. HUMPHESON AND R. W. LEWIS

ACKNOWLEDGEMENT
The Authors are indebted to the Science Research Council for providing the financial
assistance necessary to pursue this work.

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