Applied Clay Science, 2 (1987) 363-374 363

ElsevierSciencePublishersB.V., AmsterdRm-- Printed in The Netherlands

Cyclic Swelling of Clays

V.I. OSIPOV,NGUENNGOKBIK and N.A. RUMJANTSEVA

Geological Department, Moscow State University, Moscow 119899 GSP (U.S.S.R.)
(ReceivedSeptember21, 1986;acceptedafter revisionMarch3, 1987)

ABSTRACT

Osipov, V.I.,Nguen Ngok Bik and Rumjantseva, N.A., 1987. Cyclic swellingof clays.Appl. Clay
Sci.,2: 363-374.

Changes in freeswellingand swellingpressure of differenttypes of clays in response to varying

cyclesof wetting and drying have been studied.It can be shown that cyclictestslead to a gradual
destructionof the durable contacts in the clay structureand theirtransformation into lessdurable
ones. At the same time, a reconstructionof the structureof the clays takes place, manifested by
the destructionof large micro-aggregates and by disorientationof structuralelements. All these
phenomena resultin great swellingwith increasein the number of wetting cycles.Between cycles
3 and 20 the expansibilityis at its m a x i m u m and may be 1.3-10 times as much as that afterone
wetting cycle. Cyclic swelling leads to an overallequilibrium in the system, when the internal
energy of the clay is minimal and the bound water content is at its maximum. Clay in this state
exhibits its m a x i m u m moisture uptake (W's), the meaning of which is of thermodynamic char-
acter and depends neither on the initialsoildensity and moisture, nor on the scheme of cyclic
testsadopted.

INTRODUCTION

Swelling in soils is a widely occurring natural process, caused by the wetting

of clay and the consequent increase in its volume. In geomechanical practice
the measurement of an expansibility index for soils with an undisturbed and
disturbed structure is accomplished by one-cycle wetting. Clay soils, however,
are often to be found in nature under conditions of variable moisture content
and undergo cyclic swelling and shrinkage, such behaviour having a great impact
on their physical state and properties. In spite of the number of Cases reported
in the literature (Jonas and Holtz, 1973; Gromko, 1975; Snethen, 1986), and
description of the deformation of engineering constructions as a result of clay
wetting, the main characteristics of clay behaviour in such conditions are not
well understood and need to be studied more thoroughly. In view of the scien-
tific and practical implications of this problem, the authors initiated a study

0169-1317/87/$03.50 © 1987ElsevierSciencePublishersB.V.
364

of the cyclic swelling of clays in order to enlarge our knowledge of the mecha-
nism and the steps involved in this process.

CLAYS TESTED AND EXPERIMENTAL PROCEDURE

To fulfil the task, clay soils, differing from one another in their genesis, age
and lithification ratio, were obtained from a number of regions in the U.S.S.R.
All in all, 5 types of clays were selected; their main characteristics are recorded
in Table I.
Detailed investigations proved that 4 structural types of clays can be distin-
guished. They differ from one another in the character of the contacts occur-
ring between their structural elements (Osipov, 1975) : ( 1 ) the existence of
long coagulation contacts in contemporary marine silts; ( 2 ) short coagulation
contacts in Upper Quaternary lacustrine-glacial clay; ( 3 ) transition contacts
in Upper Quaternary marine (Khvalinskaya) clay; (4) mixed (coagulation
and cementation ) contacts in marine Pliocene (Obozinskaya) and Upper Car-
boniferous (Gzhelskaya) clays. A study of their microstructure by means of
the scanning electron microscope proved that each of the clays has structural
elements orientated in the direction of bedding. Khvalinskaya and lacus-
trine-glacial clays have the most orientated fabric.
Swelling studies were made by determining the free expansion of the sam-
ples in an odometer ( T is 20 °-25 ° C ). The tests were carried out according to
2 schemes. In the first one denoted by the symbols ( S - S h - S ) , the test began
with the samples at their natural moisture and density and were wetted from
that state. When swelling had stabilized, they were dried in the open air until
they reverted to their initial moisture content. During the second cycle, sam-
ples were rewetted, and so on, until the repetition of wetting and drying cycles
led to a constant value for swelling. No less than 12 samples, taken from one
and the same monolith, were used to study the cyclic swelling of each clay. 6
samples were cut in the direction perpendicular to the lamination and the same
number in the direction parallel to it. In addition, 6 samples with a disturbed
structure, bearing density and moisture values analogous to those in the undis-
turbed state were tested. The average data obtained enabled an estimate to be
made of the magnitude of free swelling for each wetting cycle, as follows:
S h~~- ho
v= ho ×100% (1)

where Sv is relative expansibility for the nth cycle in %, h2 is the height of the
sample after the nth wetting cycle, ho is the height of the initial sample before
the test. Values of swelling moisture were determined simultaneously.
The second scheme (denoted by the symbols S h - S - S h ) provided for the
study of clay soil behaviour at the extreme states of wetting and drying. At the
beginning of the test the samples were dried out completely in the open air to
 TABLE I
Characteristic of soilstested

Denomination Strati- Clay particles Mineral Density Dry Porosity Moisture Degree of Liquid Plasti- Cohesion Friction Prevailing
of clays and graphic content composition (g/cm 3) density (% ) content water limit city (M P a ) angle type of
places of index ( < 0,001 ram) of clay (g/cm 3) (% ) saturation (% ) index (degr.) contacts
sampling % fraction*1 between
(in brackets structural
mineral elements
content in
%)

Marine silty m IV 23 H (50) 1.43 0.68 75 111 1.0 59 22 0.02 6 Long

clay Mx (35) coagula-
(Dnestrovsko - K (10-12) tion
Bugsky Ch (3-5)
estuary)
Lacustrine - gl III4 40 H(60-70) 1.95 1.43 47 35 1.0 49 23 0.035 14 Short
glacial clay Mx (15) coagula-
( Novgorod K (13-15) tion
region) Ch (7-8)
,i
Marine clay m P1 32 M(50) 2.08 1.70 41 21 0.91 74 47 0.18 22 Mixed
( Obozinskaya Mx (50) ( coagula-
svita, North
tion an
Caucasus)
cementa-
tion) ~i
Marine m III1 60 H (50-60) 1.94 1.47 47 32 0.98 63 36 Transi-
(Khvalinskaya) Mx (15) tional
clay (the Lower M (10-12)
Volga) K (12-15)
Ch (10)
Marine clay M C3 26 H (60) 2.07 1.72 37 20 0.95 49 25 0.13 22 Mixed
(Gzhelsky Mx (30) (coagula-
layer,Moscow Ch (5) tion and
region) K(5) cementa-
tion) e~
*~H = hydromica; K = kaolinite;M x = mixed layer;M = montmorillonite; Ch = chlorite.
366

obtain their shrinkage moisture and were then re-wetted. When the swelling
was over, the cycle was repeated and so on until a constant value of S~ was
obtained. The treatment and the number of samples were the same as those in
the first scheme. As well as free expansibility, cyclic swelling pressure was
studied (Ps). Its value was found by use of the odometer following standard
procedures. To do this, a number of samples were taken to the required cycle
at free swelling, and then, each of t h e m tested under various applied loads. In
this way P, for the first and the last swelling cycle was determined.
The microstructure of the soil samples before the test and after the last cycle
of swelling was also thoroughly studied. Quantitative microstructural analysis
was made according to methods based on the use of the scanning electron
microscope and microcomputers (Sergeev et al., 1985). This provided values
for pore size distribution and structural orientation before and after swelling
at the first and the last of wetting and drying cycle.

FREE SWELLINGOF CLAYSON CYCLICWETTING AND DRYING

As seen from Fig. 1, during the S - S h - S test the swelling value, Sv for the
clays tested grows exponentially with an increase in the number of cycles,
reaching its maximum value S'v at a specific cycle, whereupon no further change
occurs. Such development of Sv is typical for samples both of undisturbed and
disturbed structure, except that the latter reach maximum swelling at a fewer
number of cycles compared to the former. The number of cycles commensurate
with maximum swelling is not constant but depends on the type of structural
bonding present. The following conclusions can be reached.
The number of wetting and drying cycles necessary to obtain maximum
swelling increases as the structural bonds strengthen. For example, silty clays
with long coagulation contacts reach maximum swelling at the fourth cycle
( Fig. la).
Lacustrine-glacial clays with short coagulation contacts reach maximum
swelling at the fifth cycle ( for undisturbed structure) and at the fourth cycle
( for the disturbed state) (Fig. lb ).
Soils with transition contacts {Khvalinskaya clay) reach maximum S'v value
at the fifth cycle {for undisturbed structure) and at the third cycle {for the
disturbed state) (Fig. lc ).
Clays with mixed contacts need the greatest number of wetting and drying
cycles to reach maximum swelling: marine Pliocene (Gzhelskaya and Oboz-
inskaya) clays reach maximum S'v at 6-20 cycles ( for undisturbed structure )
and at 3-7 cycles (for the disturbed state) (Fig. ld, e).
As can be seen from the data presented in samples with short and long coag-
ulation contacts structural disturbance has little effect on the character of
swelling compared with swelling in the undisturbed state. In the Khvalinskaya
 367

Q b
Sv,% ~ _

Sv,Z

I II III IV V n
't/
0 ~ '

I
'

II
.

III
.

IV
. .

V /7

Sv,Z c "/,. d

/i/~
20. /m • 2O

16. f6-

12 -

4 4.

i i i i L i • o L,
0
I II III IV Y Vl r/ I II III IV V Vl Vii n
¢
v,% e
40" ...... ----:--- ..................
36-

32"

28.

24
?
20
/
t6

12

8
/
4

0 j ~ _ , , , , , i i , i h i i , ~

I II III IV V VI VII VIII IX X Xl Xll Xlll XIV XV XVl XVll XVJIJ n

~ 4 --,.o---- 2

Fig. I. Dependence of swelling (Sv) on the number of wetting and drying cycles (n), according to
scheme S- Sh-S for marine silts(a), lacustrine-glacialclays (b), marine Khvalinskaya clays (c),
marine Gzhelskaya clays (d), marine Obozinskaya clays (e). /=undisturbed structure;
2 = disturbed structure.

clay, with transition types of contact, this difference is more marked and
becomes even more pronounced in the clays with mixed types of contact.
It should be pointed out that in all clays with an undisturbed structure the
swelling of samples perpendicular to the lamination is slightly greater than
that in the direction parallel to it. This is a function of structural alignment in
the direction of bedding. This effect is seen best in lacustrine-glacial and
Khvalinskaya clay which have a comparatively high degree of particle
orientation.
368

The study of cyclic swelling of clays according to the s e c o n d scheme

( S h - S - S h ) proved that there are a number of peculiarities which differentiate
the process of cyclic swelling of clays when tested according to the two schemes.
For example the maximum value of swelling S'v for each clay (the silty clay
excepted) when tested according to scheme S h - S - S h is 1.3 to 2.0 times as
much as that tested in scheme S-Sh-S. In addition, the maximum expansibil-
ity value S'v in the same S h - S - S h was reached at a fewer number of wetting
and drying cycles than that in the scheme S-Sh-S. In the lacustrine-glacial
clay it was obtained at the third cycle, in the Khvalinskaya clay at the fourth
cycle, in the Gzhelskaya and Obozinskaya clays at the fourth and sixth cycles.
This behaviour of clays tested according to scheme S h - S - S h is explained by
the fact that interparticle stress increases on desiccation, leading to a quicker
break-down of strong contacts. This process is quicker than in scheme S-Sh-S.
There is also the influence of entrapped air when air-dried samples are re-
wetted. It creates extra pore pressure, promoting further disruption of the clays
on wetting (Ladd, 1959; Seed et al., 1962). The degree of water saturation of
clays in the expanded state in the scheme S h - S - S h never reaches 100%, but
with swelling in the scheme S - S h - S it is always about 100%.
Interesting results ar:e obtained from an examination of changes in moisture
of the clays on cyclic wetting and drying (Fig. 2 ). The tests proved that each
clay (the silty clay excepted) reached a constant moisture content W's which
depends neither on the type of structural bonds and the initial state of the soil
( density, moisture content), nor on the scheme of tests. Results suggest that
the W's value is determined solely by the soil composition and by the physi-
cochemical conditions occurring during its swelling (temperature, composi-
tion and concentration of pore solution, pH etc.).
It should be pointed out that the ultimate moisture content W'~ is constant
if it is expressed as a unit of weight, as it is then defined by the density and the
value of the specific surface area of the soil. If ultimate swelling moisture is
expressed as a unit of volume, the W's value depends on the degree of pore
water saturation, and so has different meanings under the two testing schemes.

S W E L L I N G P R E S S U R E OF CLAYS O N CYCLIC W E T T I N G A N D D R Y I N G

Clay soil expansibility under load was also studied. This was done by deter-
mining the expansion pressure in undisturbed state corresponding to the num-
ber of wetting and drying cycles. The investigations showed that the swelling
pressure of different clay soils increases with increase in the number of cycles
( Fig. 3 ). The character of the swelling pressure curve resembles the dynamics
of the free swelling process. As can be seen from Fig. 3, the swelling pressure
at the last wet cycle is much higher than that at at the first cycle. In the Gzhel-
skaya clay it increases by 2.6 times as much, in the Khvalinskaya 1.2 and in
lacustrine-glacial 1.8 times as much (scheme S - S h - S ) .
 369
Ws,Z b

'4°t 44 :

t
1// 2 0 ~
42-

40-
/f/,/
36

90:[- ~ ' ~ --~=- ::~'--"'~ 56

r,/
II

1":'
i i i i i~
I II Ill IV V /7 II III IV V Vl n
W s;/., c d
52"

50"

4~-

45-

44"

42:

52- 22

~0. ,2
',:F ....... 8"0V
5.0 ~ ~ , ~
I II III IV V VI n II III IV I/ Vl /"/

i i i i i i
II IV V! 1/111 X XII /IV XVi XVlII lX ,?

Fig. 2. Dependence of swelling moisture (Ws) on the number cycles of swelling and drying (n) in
the scheme S-Sh-S (continuous line) and in the scheme Sh-S-Sh (dashed line). 1, 3 = undisturbed
structure; 2, 4 = disturbed structure.

In scheme Sh-S-Sh the value of the swelling pressure is 1.2-2.5 times as

much as that in scheme S-Sh-S. As mentioned above, this can be explained
by the formation of entrapped air and by the development of inner stressdxpe-
rienced by the soil.
370

PsMPo PsMPo

0f2 00

05
~f
010 11
000 //// 04

0.06 // o~

004- O~

002 - 01-

0 o
l II IH IV V V} VII n i 10 Ill IV V V1 n

Fig. 3. Dependence of swelling pressure (P~) in undisturbed state on the number of wetting and
drying cycles (n) for lacustrine-glacial (a) and the Khvalinskaya (b) clays, tested according to
scheme S-Sh-S (continuous lines), and to scheme Sh-S-Sh (dashed lines).

MICROSTRUCTURAL CHANGES IN CLAYS ON CYCLIC SWELLING

Image analysis of the clay microsctructure, as studied under the scanning

electron microscope before and after cyclic swelling, proved that the increase
of swelling on recurrent wetting and drying is consistent with reconstruction
of the clay microstructure. The character and the magnitude of the changes in
each clay have their own peculiarities and depend on the initial microstructure
and on the character of the structural bonds. Nevertheless, the clays under
consideration have common trends in microstructural changes, which will be
discussed later. The Khvalinskaya clay may be cited as an example. The initial
samples of Khvalinskaya clay have a turbulent fabric ( Grabowska-Olszewska
et al., 1984), characterized by a high degree of micro-aggregate orientation on
the surface, displaced at an angle of 18 °-27 ° to the bedding plane (Fig. 4a, b).
The majority of the pores have a stretched anisometric form, and, as seen from
the curve of pore size distribution ( Fig. 5, continuous line ), there are two pre-
vailing dimensions: the first one about 1/~m, corresponding, probably, to intra-
aggregate pores; the second about 8/lm, corresponding to inter-aggregate pores.
The presence of such structural element orientation causes a substantial
anisotropy in the swelling value at the first cycle of wetting (Fig. 6), defined
as the ratio (/Ca) of free swelling perpendicular to the bedding ( S ¢ ) to its
value in the direction parallel to it (S~).
After the first wetting of the Khvalinskaya clay, a break-down in the struc-
ture (Fig. 4c), its segregation along the bedding, formation of stretched big
pores, swelling and partial disruption of large micro-aggregates is marked. The
curve of pore size distribution shows a bimodal character, the prevailing size
of inter-aggregate pores being about 16/~m and of intra-aggregate ones 2/~m
(Fig. 5, dashed line). In general, the structural element orientation is rather
 371

Q b

c d

e f

Fig. 4. Microstructure of the Khvalinskaya clay and orientation diagram of structural elements:
a, b - initialsample; c, d - after the 1st swelling cycle; e, f - after the 5th swelling cycle.
372

Sv

26.

co. if ,." / "%\

~" 45

go

~ ' " \- = ~rn , +o

0,65 t.37 2.7J5 5.50 fl.O 22.0 44.0 0.0 i i i i i i

])tameteR of poees I II III IV V Vl n

Fig. 5. Pore size distribution in the Khvalinskaya clay: 1 = initial sample; 2 = after the 1st swelling
cycle; 3 = after the 5th swelling cycle.

Fig. 6. Dependence of swelling anisotropy (Ko) of the Khvalinskaya clay on the number cycles of
wetting and drying (n): tested according to scheme S-Sh-S (1) and to scheme Sh-S-Sh (2).

high (Fig. 4d) and becomes even higher due to the segregation of structure
along the bedding.
Microstructural changes after the first cycle lead to the destruction of the
part of relatively solid transitional contacts in the clay and to an enhancement
in its potential ability to swell, which, in turn, causes new, deeper microstruc-
tural reconstructions on further clays of wetting and drying. In fact, the inves-
tigation of the Khvalinskaya clay microstructure after the fifth cycle of swelling,
proved that the number of isometric pores about 6/lm in size grew (Fig. 5,
dotted line), pore space became more homogeneous, and the number of the
biggest and the smallest pores diminished.
As the cycles increase in number, further destruction of large aggregates and
disorientation of structural elements takes place. After the fifth cycle of the
fabric of the Khvalinskaya clay becomes almost wholly disorientated (Fig. 4e,
f), expansibility anisotropy disappears (Fig. 6), structural elements exist
mainly as face-to-edge contacts, and there is a tendency to form a cell micro-
structure, considered to be typical for flocculated systems with coagulation
contacts.

CONCLUSIONS

The investigations described here have proved that free swelling of clays on
single-cycle wetting depends on the type of interparticle structural bonds pres-
ent and on soil composition. The role of the first factor increases with the
degree of clay lithification. Multiple cycle tests bring about the destruction of
solid contacts between the structural elements and their transformation into
short and long coagulation contacts, accounting for a gradual increase in swell-
ing. At the same time, in the course of cyclic swelling a structural reconstruc-
 373

tion of the clays, is developed, manifested by the destruction of micro-aggregates

and disorientation of the structural elements, leading to an increase in the
entropy of the system and the disappearance of swelling anisotropy. When
complete destruction of solid contacts and maximum disorientation is achieved,
the clay shows its maximum expansibility ( S'v ), the magnitude of which does
not change with an increase in the number of cycles of wetting and drying. In
the scheme S - S h - S , the number of cycles necessary to reach S'v increases with
the degree of clay lithification, and varies from 3-4 (modern silts) to 6-20
(lithified clays). In the scheme S h - S - S h , the expansibility value goes even
higher and the number of cycles necessary to reach maximum swelling
decreases. It is explained by the fact that when the dry clay is wetted, it pos-
sesses entrapped air, which causes the growth of internal pressure and total
swelling of the clay.
The data obtained testify to the fact that on one cycle swelling the clay sys-
tem does not reach equilibrium. The latter can happen only as the result of
cyclic wetting and drying, when destruction and disorientation of the struc-
tural elements, accompanied by maximum change in the volume of the system,
takes place. A minimal value of the internal energy of the clay and maximum
content of bound water correspond to this state. It is interesting to note that
remoulding of the soil does not lead to the direct development of equilibrium
in the system, neither does it produce its maximum swelling value. To do this,
it is necessary to impose 3-4 cycles of wetting and drying, which promote com-
plete destruction of the structure and its disorientation.
To estimate, quantitatively, the effect of degree of clay lithification on swell-
ing it would be useful to introduce an index of cyclic swelling (Ks), equal to
the ratio of maximum expansibility at the nth cycle {S'v), to the expansibility
value at the first cycle: Ks = S',,/Sv. Earlier, Schmertmann (1969) introduced
the so called "swelling sensitivity index". It can be estimated numerically as
the ratio of the expansibility value of the disturbed soil to its expansibility in
the undisturbed state. As the value of swelling on one cycle wetting in the
disturbed state does not reflect the total swelling potential of the soil and is
always lower than the value of maximum soil swelling at cyclic wetting and
drying (S'v), the index introduced by Schmertmann lacks physical signifi-
cance and so can never characterize the impact of structural bonds (or the
degree of lithification of clay soils) on the swelling value. The calculation of a
cyclic swelling index for the tested clays showed that the Ks value varies from
1.8 (modern silts) to 98 {marine Obozinskaya clay), i.e., it grows regularly
according to the transition from weakly lithified clay deposits with long coag-
ulation contacts to lithified clays with the mixed (coagulation and cementa-
tion) type of contacts.
The clay at equilibrium is characterized by maximum swelling moisture
(W's), the value for which is constant for each soil in any given physicochem-
ical condition and depends neither on the initial density and moisture content
374

of clay, nor on the s c h e m e of cyclic tests. T h e r e f o r e , t h e value W'~ can be con-

sidered to be an index c h a r a c t e r i z i n g the clay s t r u c t u r e in its m o s t loose state
with zero degree of lithification. Clay c o m p a c t i o n d u r i n g lithogenesis,
s t r e n g t h e n s its s t r u c t u r a l bonds, lowers w a t e r c o n t e n t a n d increases t h e dif-
ference between the n a t u r a l soil m o i s t u r e (We) in the w a t e r s a t u r a t e d state
and the value W's). T h e ratio We/S's is p r o b a b l y a useful m e a s u r e of the mag-
nitude of the i n t e r n a l e n e r g y of the clay, as e x p e n d e d d u r i n g h y d r a t i o n . In this
respect the ratio We/W's has real m e a n i n g in t h e r m o d y n a m i c terms. T h e less
it is, the more i n t e r n a l e n e r g y the soil possesses, a n d t h e higher it is t h e greater
the degree of clay lithification. It is v e r y likely t h a t We/W'~will c o r r e l a t e well
with the p h y s i c o m e c h a n i c a l p r o p e r t i e s of clay soils.
In addition to free swelling, the e x p a n s i b i l i t y of clays u n d e r load a n d the
swelling pressure increase with the n u m b e r of cycles of w e t t i n g a n d drying.
T h e value of the last increases 1.2-2.6 t i m e s as m u c h as the pressure at one
cycle swelling.

REFERENCES

Grabowska-Olszewska, B., Osipov, V., Sokolov, V., 1984. Atlas of the Microstructure of Clay Soils.
Panstwowe Wydawnictwo Naukowe, Warszawa, 414 pp.
Gromko, G.J., 1975. Review of expansive soils. J. Geotechn. Eng. Div., ASCE, 100(GT6): 667-687.
Jones, D.E. and Holtz, W.G., 1973.Expansive soils - the hidden disaster. Civ. Eng., ASCE, 43 (CE8):
49.
Ladd, C.C., 1959. Mechanism of swelling by compacted clay. Bull. Highway Res. Board. Natl. Res.
Council, Washington D.C., 245: 10-26.
Osipov, V.J., 1975. Structural bonds and the properties of clays. Int. Assoc. Eng. Geol. Bull., 12.
Schmertmann, I.H., 1969. Swelling sensitivity. Gdotechnique, 19: 530-534.
Seed, H.B., Mitchell, J.K. and Chan, C.K., 1962. Studies of swell and swell pressure characteristics
of compacted clays. Highway Res. Board, 113" 12-39.
Sergeev, J.M., Osipov, V.I. and Sokolov, V.N., 1985. Quantitative analysis of soil structure with
the microcomputer system. Int. Assoc. Eng. Geol. Bull., 31: 131-136.
Snethen, D.R., 1986. Expansive soils. Ground failure. National Research Council, Committee on
Ground Failure Hazards, 3: 12-19.