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Instability Conditions of Loose Sand in Plane Strain

Article  in  Journal of Geotechnical and Geoenvironmental Engineering · January 2008

DOI: 10.1061/(ASCE)1090-0241(2008)134:1(136)

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 Instability Conditions of Loose Sand in Plane Strain
J. Chu1 and D. Wanatowski, A.M.ASCE2

Abstract: When a loose sand specimen is loaded under an undrained condition, it may become unstable. The instability conditions may
be specified by an instability line determined using undrained tests. However, the instability behavior of sand has seldom been studied
under plane-strain conditions. Experimental data obtained under both triaxial and plane-strain conditions are presented in this paper to
define the instability conditions of loose sand under plane-strain conditions. Using the state parameter, a unified relationship can be
established between the normalized slope of instability line and the state parameters for both axisymmetric and plane-strain conditions.
Using this relationship, the instability conditions established under axisymmetric conditions can also be used for plane-strain conditions.
DOI: 10.1061/共ASCE兲1090-0241共2008兲134:1共136兲
CE Database subject headings: Laboratory tests; Liquefaction; Sand; Stress strain relations.

Introduction at which instability would occur corresponds to the top of the

It is well known that loose granular soil exhibits liquefaction
behavior even under static load. It is also observed experimentally
that sand can become unstable even before the stress state reaches
the failure state. This type of instability has been observed to
occur for saturated loose sand under undrained conditions 共Lade
and Pradel 1990; Han and Vardoulakis 1991; Lade 1992; Leong
et al. 2000兲 and for saturated medium to dense sand under strain
path controlled conditions 共Chu 1991; Chu et al. 1993; Chu and
Leong 2001兲. The term instability as used here refers to a be-
havior in which large plastic strains are generated rapidly due to
the inability of a soil element to sustain a given load or stress. In
recent years, instability has been considered as one of the failure
mechanisms that leads to flow slide or collapse of granular soil
slopes in a number of case studies, e.g., Kraft et al. 共1992兲, Lade
共1992, 1993兲, Hight et al. 共1999兲, Olson et al. 共2000兲, and Sento
et al. 共2004兲.
Although Hill’s postulate 共Bishop and Hill 1951; Hill 1958兲
has been used as a stability condition in plasticity, the violation of
it does not always imply that a soil element is in an unstable
condition, as experimentally demonstrated by Lade and Pradel
共1990兲. Therefore, Hill’s postulate is only a necessary, but not
sufficient condition for stability. It has been established by Lade
共1992兲 that instability occurs when the stress ratio at the onset
of instability is above the instability line. The instability line is
defined as the line that separates potentially unstable stress states
from stable stress states. Lade 共1992兲 explains that the stress state
current yield surface which is slightly before, but very close to,
the top of the undrained effective stress path, as shown in Fig. 1.
Therefore the instability line can be determined experimentally by
a line connecting the peak of a series of effective stress paths
obtained from undrained tests. For the sand studied in this paper,
the instability line as determined using the undrained tests on
loose sand is shown in Fig. 2. The critical state line 共CSL兲, which
is also the failure line for loose sand as determined by drained
tests, is also shown in Fig. 2. The region between the instability
line and the failure line has been called the zone of potential
instability 共Lade 1992兲.
Other definitions similar to the instability line have also been
given to specify the instability condition, such as the collapse
surface by Sladen et al. 共1985兲 and the state boundary surface by
Sasitharan et al. 共1993兲. However, the differences among the dif-
ferent definitions are small, as pointed out by Lade 共1993兲. The
physical meanings behind the different interpretations are also
essentially the same, i.e., to specify a yielding point where large
plastic strains can develop 共Chu et al. 2003兲.
It should be pointed out that the instability line is not unique,
but varies with the void ratio of sand and the applied effective
stresses. Fig. 3 shows the effective stress paths obtained from a
series of isotropically consolidated undrained compression
共CIUC兲 tests conducted on specimens with different consolidation
void ratios, ec, under the same mean effective stress. It can be
seen from Fig. 3 that the smaller the ec, the higher the instability

1
Associate Professor, School of Civil and Environmental Engineering,
Nanyang Technological Univ., Blk N1, 50 Nanyang Ave., Singapore
639798 共corresponding author兲. E-mail: cjchu@ntu.edu.sg
2
Lecturer, Nottingham Centre for Geomechanics, School of Civil
Engineering, Univ. of Nottingham, University Park, Nottingham NG7
2RD, United Kingdom. E-mail: dariusz.wanatowski@nottingham.ac.uk
Note. Discussion open until June 1, 2008. Separate discussions must
be submitted for individual papers. To extend the closing date by one
month, a written request must be filed with the ASCE Managing Editor.
The manuscript for this paper was submitted for review and possible
publication on September 25, 2006; approved on May 11, 2007. This
paper is part of the Journal of Geotechnical and Geoenvironmental
Fig. 1. Location of instability line for loose sand 关Reprinted with
Engineering, Vol. 134, No. 1, January 1, 2008. ©ASCE, ISSN 1090-
0241/2008/1-136–142/$25.00. permission from Lade 共1992兲兴

136 / JOURNAL OF GEOTECHNICAL AND GEOENVIRONMENTAL ENGINEERING © ASCE / JANUARY 2008


Fig. 2. The critical state line and instability line defined by drained
and undrained tests for loose sand
line. The highest instability line for loose sand is on or very close
to the CSL. Similar observations have also been made by Sladen
et al. 共1985兲. Based on Fig. 3, a relationship between the slope of
the instability line, ␩IL, and ec can be established in Fig. 4.
The abovementioned findings are established for clean sand. Chu
and Leong 共2002兲 have further established that the relationship
given in Fig. 4 is also applicable to sand with a fines content not
exceeding 10%, if the intergranular void ratio 共Mitchell 1993;
Thevanayagam 1998兲 is used.
It should be noted that the abovementioned findings are es-
tablished under axisymmetric conditions using triaxial tests.
Whether the instability conditions established under axisymmetric
conditions are applicable to stability analysis under plane-strain
conditions or not need to be studied. Although the behavior of
sand under plane-strain conditions has been studied by a number
of researchers before 共e.g., Vardoulakis and Graf 1985; Drescher
et al. 1990; Han and Vardoulakis 1991; Finno et al. 1997; Alshibli
et al. 2003兲, the instability behavior of sand under plane-strain
condition has seldom been studied. The main objectives of this
paper are to study the instability conditions in plane strain and to
establish an instability condition that is applicable to both plane-
strain and axisymmetric conditions. Both triaxial and plane-strain
tests were conducted and the test results are presented in this
paper. A comparison between the instability conditions estab-
lished under axisymmetric and plane-strain conditions is made. A
Fig. 3. Undrained effective stress paths and instability lines obtained
from triaxial CIU tests on specimens with different void ratios
JOURNAL OF GEOTECHNICAL AND GEOENVIRONMENTAL ENGINEERING © ASCE / JANUARY 2008 / 137
Fig. 4. Relationship between the slope of instability line and void
ratio of sand
unified instability condition which is applicable to both axisym-
metric and plane-strain conditions is also established using the
state parameter 共Been and Jefferies 1985兲.
Material Tested and Testing Arrangement
A marine dredged silica sand retrieved from a reclaimed land in
Singapore was used for the experimental study. The basic prop-
erties of the sand are given in Table 1. The grain size distribution
curve is plotted in Fig. 5. Laboratory reconstituted specimens
were prepared by either the water sedimentation 共WS兲 or the
moist tamping 共MT兲 method. The WS method was used for me-
dium loose and medium dense specimens, whereas the MT
method was used to prepare very loose specimens. A liquid rubber
technique 共Lo et al. 1989兲 was adopted to reduce the effect of
membrane penetration. In this method, a thin layer of liquid rub-
ber was coated onto the inner side of the membrane before the
placement of sand.
All the specimens were saturated by flushing with de-aired
water from the bottom to the top for a period of 60 min. A small
water head of about 0.5 m was used. A backpressure of 400 kPa
was also applied. Skempton’s B values of 0.96–0.98 were
achieved for all specimens. The void ratio after saturation was
backcalculated based on the measurement of the water content of
the specimen at the end of test and the volume changes during
consolidation and shearing, a procedure proposed by Verdugo and
Ishihara 共1996兲.
The plane-strain apparatus used was developed recently by
Wanatowski and Chu 共2006兲. The plane-strain testing arrange-
ment is shown in Fig. 6. The dimension of the prismatic specimen
was 120 mm in height and 60⫻ 60 mm in cross section. Two
35 mm thick⫻ 74 mm wide⫻ 120 mm high stainless steel verti-
cal platens were fixed in position by two pairs of horizontal tie
rods to impose a plane-strain condition. The lateral stress in this
direction 共␴2兲 was measured by four submersible pressure trans-
ducers with two on each vertical platen 共see Fig. 6兲. The total
lateral pressure was calculated as an average value obtained from
the four individual transducers. The free-end technique 共Rowe
and Barden 1964兲 was adopted to reduce the boundary frictions
and to delay the occurrence of nonhomogeneous deformations.
For this purpose, all the platens were properly enlarged. High
vacuum silicone grease was applied to all the rigid surfaces. For
the top and base platens, latex discs with a thickness of 1.3 to 1.5
times the mean grain size were used. For the two lateral platens,
Table 1. Basic Properties of the Tested Sand
Fines Shell
Mean size Uniformity Specific Maximum Minimum content content
Type 共mm兲 coefficient gravity void ratio void ratio 共%兲 共%兲
Marine dredged sand 0.30 2.0 2.60 0.916 0.533 0.4 14

Teflon sheets were used. These free-end arrangements have been in Fig. 4 will be affected by consolidation paths. K0 consolidation
confirmed to be effective by Chu and Lo 共1993兲 and Chu et al. in both triaxial and plane-strain tests was carried out by using a
共1996兲. A pair of miniature submersible linear variable differential strain path method developed by Lo and Chu 共1991兲. In this
transformers 共LVDT兲 was used to measure the vertical displace- method, the zero lateral strain condition was achieved by control-
ment. An external LVDT was also used to measure the axial strain ling the strain increment ratio d␧v / d␧1 = 1. The list of triaxial and
when the internal LVDTs run out of travel. As shown in Fig. 6, a plane-strain tests presented in this paper is given in Table 2.
digital hydraulic force actuator was mounted at the bottom of a
loading frame to apply axial load. The actuator was controlled by
a computer via a digital load/displacement control box. The con- Instability Lines
trol box adjusted the movement of the base pedestal to achieve a
desired rate of load or rate of displacement so that the plane-strain
Under Axisymmetric Conditions
apparatus could be used under either deformation-controlled or
load-controlled loading mode. The cell pressure was applied The stress-strain curves and effective stress paths of four K0 con-
through a digital pressure/volume controller 共DPVC兲. Another solidated undrained 共CK0U兲 triaxial tests conducted on very loose
DPVC was used to control the backpressure from the bottom of sand are presented in Figs. 7共a and b兲. It should be pointed out
the specimen while measuring the volumetric change at the same that when a true K0 condition 共i.e., ␧2 = ␧3 = 0兲 is imposed, the
time. A pore pressure transducer was used to record the pore effective stress paths followed will be dependent on the void ratio
water pressure at the top of the specimen. of the specimen, that is, the K0 value at the end of K0 consoli-
The above-presented plane-strain apparatus is similar to that dation is affected by the void ratio of the soil, as discussed by
developed by Vardoulakis and Graf 共1985兲, Drescher et al. Chu and Gan 共2004兲. This explains why different CK0U tests
共1990兲, and Han and Vardoulakis 共1991兲. One of the major ad- start from different initial stress states. Using the effective
vantages of this type of design is that the specimen can be seen in stress paths in Fig. 7共b兲, instability lines can be obtained from the
the ␴3 direction 共perpendicular to the paper in Fig. 6兲, so the CK0U tests. It can be seen that the slope of instability line, ␩IL,
formation of shear band can be monitored. One major difference
between the plane-strain apparatus used in this study and that by
Drescher et al. 共1990兲 is that the lateral stress ␴2 in the latter was
not measured, whereas ␴2 in the former was measured by four
button pressure transducers as shown in Fig. 6. This enabled all
three stress components to be measured directly.
The triaxial testing system adopted has been described by Chu
and Leong 共2001兲. The dimensions of the triaxial specimen were
100 mm in diameter and 190 mm in height.
As all the plane-strain tests were conducted on K0 con-
solidated specimens, K0 consolidated undrained 共CK0U兲 triaxial
tests were also conducted for comparison. These CK0U tests also
serve to check whether the ␩IL versus ec relationship as shown

Fig. 5. Grain size distribution curves of the tested sand Fig. 6. Plane-strain testing arrangement

138 / JOURNAL OF GEOTECHNICAL AND GEOENVIRONMENTAL ENGINEERING © ASCE / JANUARY 2008

Table 2. List of Tests Conducted
Test Type pc⬘
No. of test ec 共kPa兲 ␺ ␩IL ␩IL / M
CU20 CIU-tc 0.916 150 0.052 0.89 0.60
CU21 CIU-tc 0.864 150 0.000 1.35 1.00
CU26 CIU-tc 0.888 150 0.024 1.05 0.78
CU44 CIU-tc 0.972 150 0.108 0.74 0.54
K0U1 CK0U-tc 0.899 191 0.035 0.99 0.73
K0U2 CK0U-tc 0.844 201 −0.019 — —
K0U3 CK0U-tc 0.922 199 0.058 0.86 0.63
K0U4 CK0U-tc 0.881 200 0.017 1.12 0.83
K0U04 CK0U-psc 0.935 97 0.018 0.87 0.75
K0U05 CK0U-psc 0.915 198 0.031 0.88 0.77
K0U06 CK0U-psc 0.899 298 0.029 0.89 0.78
K0U08 CK0U-psc 0.902 198 0.018 0.97 0.83 Fig. 8. Relationship between the slope of instability line and the void
K0U09 CK0U-psc 0.893 198 0.009 1.01 0.87 ratio established for CIU and CK0U triaxial tests
K0U10 CK0U-psc 0.888 199 0.004 1.07 0.93
K0U11 CK0U-psc 0.884 200 0.000 1.16 1.00 Under Plane-Strain Conditions
The stress-strain curves and the effective stress paths of five
increases with decreasing ec. The new data and the data shown in K0 consolidated undrained 共CK0U兲 plane-strain tests are pre-
Fig. 4 are plotted together in Fig. 8. All the data points fall on the sented in Figs. 9共a and b兲. The critical state line determined under
same line. Therefore, the ␩IL versus ec relationship does not seem plane-strain conditions 共Wanatowski and Chu 2006兲, CSLpsc, is
to be affected by whether the specimen is isotropically or K0 also plotted in Fig. 9共b兲. All the specimens were consolidated
consolidated.

Fig. 7. Results of CK0U triaxial tests conducted on very loose sand: Fig. 9. Results of CK0U plane-strain tests conducted on very loose
共a兲 stress–strain curves; 共b兲 effective stress paths sand: 共a兲 stress-strain curves; 共b兲 effective stress paths

JOURNAL OF GEOTECHNICAL AND GEOENVIRONMENTAL ENGINEERING © ASCE / JANUARY 2008 / 139


Fig. 10. Relationship between the slope of instability line and the
void ratio established for triaxial and plane-strain tests
to p⬘c = 198– 200 kPa. The void ratios, ec, of the specimens after
K0 consolidation were in the range of 0.884 and 0.915. From
Fig. 9共a兲 strain softening is seen to have occurred in all the tests.
Using the same definition as for triaxial tests, the instability line
for plane-strain conditions can be drawn through the peak point
of the undrained effective stress path, as shown in Fig. 9共b兲. It
can be seen that the smaller the ec, the higher the slope of the
instability line ␩IL. Note that ␩IL is calculated using generalized
deviatoric and mean stresses. The ␩IL and ec relationship obtained
from plane-strain tests is compared with that from triaxial tests in
Fig. 10. A unique relationship is observed.
It should be pointed out that within a narrow stress range, the
value ␩IL does not seem to be affected by stress level, as demon-
strated by Lade 共1993兲 and Fig. 2. This appears to be the case
under plane-strain conditions too. The effective stress paths of the
three K0 consolidated undrained plane-strain tests, K0U04,
K0U05, K0U06, conducted on very loose sand, are presented in
Fig. 11. It can be seen that a single instability line can be drawn
through the peak points of the undrained stress paths.
However, generally speaking, ␩IL will be affected by stress
level as well. To take the effect of both void ratio and stress level
into consideration, Fig. 10 can be replotted using the state param-
eter 共Been and Jefferies 1985兲, ␺, in lieu of void ratio. The ␩IL
against ␺ relationships for both triaxial and plane strain test data
Fig. 11. Definition of the zone of potential instability based on CK0U
plane-strain tests on very loose sand
140 / JOURNAL OF GEOTECHNICAL AND GEOENVIRONMENTAL ENGINEERING © ASCE / JANUARY 2008
Fig. 12. Relationship between the slope of instability line and the
state parameter established for triaxial and plane-strain tests
are plotted in Fig. 12, in which two different curves are formed
for triaxial and plane-strain data, respectively. Please note that the
CSL determined under plane-strain test conditions is different
from that under axisymmetric conditions on both q-p⬘, and
e-log p⬘ planes 共Wanatowski and Chu 2006兲. Hence the ␺ value
for triaxial tests is different from that for plane-strain tests for soil
with the same void ratio and mean stress. The difference in CSL
is related to effect of the intermediate principal stress, as dis-
cussed by Jefferies and Shuttle 共2002兲.
If we normalize ␩IL using the slope of the CSL, M, and plot
␩IL / M against ␺, a single curve can be obtained as shown in
Fig. 13共a兲. Therefore, a unique relationship between ␩IL / M and ␺
exists for both plane-strain and triaxial tests. This is not surpris-
ing, as relationships between ␩ / M and ␺ have also been estab-
lished in the constitutive models for sand proposed by Jefferies
共1993兲; Li and Dafalias 共2000兲; and Jefferies and Shuttle 共2002兲.
A general dilatancy function that reflects the state-dependent
properties of sand has been proposed by Li and Dafalias 共2000兲
d = d0共em␺ − ␩/M兲 共1兲
where d = d␧vp / 兩d␧qp兩 = the
dilatancy ratio and d0 and m = two posi-
tive modeling parameters. This relationship is not confined to
axisymmetric conditions only and can be applied to plane-strain
conditions, too.
At the peak of an undrained effective path, d␧v ⬇ d␧vp = 0, i.e.,
d = 0, then
␩/M = em␺ 共2兲
On the other hand, Fig. 13共a兲 can be replotted into Fig. 13共b兲
in which the following relationship can be obtained:
␩IL/M = 0.936e−5.8␺ 共3兲
Therefore, the ␩IL / M and ␺ appear to be fundamentally related
and are not affected by the intermediate principal stress. This
relationship also implies that the instability line of sand estab-
lished under axisymmetric conditions can be extended to plane-
strain conditions using the relationship established in Fig. 13共a兲 or
Eq. 共3兲 when the generalized stress parameters are used in calcu-
lating ␩.

Fig. 13. Relationships between the normalized slope of instability
line ␩IL / M and the state parameter ␺ established for triaxial and
plane-strain tests, plotted in: 共a兲 linear scale; 共b兲 semilog scale
Conclusions
The instability conditions of loose sand under plane-strain condi-
tions are established in this paper. The results are compared with
those established under axisymmetric conditions. The following
conclusions can be drawn from the study:
1. The ␩IL versus ec relationship does not seem to be affected
by whether the specimen is isotropically or K0 consolidated,
as the triaxial data indicate.
2. Instability line can be established under plane-strain condi-
tions in the same way as that under triaxial conditions. The
slope of the instability line, ␩IL, varies with the void ratio of
sand or, in general, the state parameter, ␺.
3. The ␩IL versus ␺ relationship obtained under plane-strain
conditions is different from that under axisymmetric condi-
tions. However, when ␩IL is normalized by the slope of criti-
cal sate line, M, the ␩IL / M versus ␺ relationship is unique
for both axisymmetric and plane-strain conditions. Using this
relationship, the instability conditions established under axi-
symmetric conditions can be used for plane-strain conditions.
Notation
The following symbols are used in this paper:
d ⫽ d␧vp / 兩d␧qp兩; dilatancy ratio;
d␧qp ⫽ plastic deviatoric strain increment;
d␧vp ⫽ plastic volumetric strain increment;
d␧v ⫽ volumetric strain increment;
JOURNAL OF GEOTECHNICAL AND GEOENVIRONMENTAL ENGINEERING © ASCE / JANUARY 2008 / 141
d␧1 ⫽ axial strain increment;
e ⫽ void ratio;
⌴ ⫽ ␩ at critical state 关M psc = 1.16 in plane-strain test;
M tc = 1.35 in triaxial test兲兴;
p⬘ ⫽ mean effective stress: in plane-strain test 关=共␴⬘1 + ␴⬘2
+ ␴⬘3兲 / 3兴, and in triaxial test 关=共␴⬘1 + 2␴⬘3兲 / 3兴;
q ⫽ deviatoric stress: in plane-strain test 共=关共␴1 − ␴2兲2 + 共␴2
− ␴3兲2 + 共␴3 − ␴1兲2兴1/2 / 冑 2兲, and in triaxial test 共=␴1 − ␴3兲;
␧1 ⫽ axial strain;
␧v ⫽ volumetric strain;
␩ ⫽ q / p⬘; effective stress ratio;
␩IL ⫽ ␩ at instability point 共at peak deviatoric stress兲;
␴⬘1 ⫽ effective major principal stress;
␴2⬘ ⫽ effective intermediate principal stress
␴⬘3 ⫽ effective minor principal stress; and
␺ ⫽ state parameter.
Subscripts
c ⫽ consolidated;
cs ⫽ critical state;
IL ⫽ instability line;
psc ⫽ plane-strain compression; and
tc ⫽ triaxial compression.
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