New Structure-Based Model for Estimating Undrained

Shear Strength
Ozer Cinicioglu1; Dobroslav Znidarcic, M.ASCE2; and Hon-Yim Ko, M.ASCE3

Abstract: This paper presents an experimental study of the strength in anisotropic clays by means of centrifuge model, cone penetration,
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and vane shear tests. To understand the effects of void ratio, overconsolidation ratio, and testing rate on the undrained shear strength 共Su兲
of anisotropic Speswhite clay, a new centrifugal testing technique is designed to obtain constant overconsolidation ratio 共OCR兲 profiles
with varying void ratios 共e兲, called the “descending gravity test.” The parameters controlling the generation of peak shear strength are
quantified. As a result of this function, a new material and rate-dependent surface is defined in the e-OCR-Su space, which is identified as
a “structural state capacity surface” since it relates the anisotropic structure to structure inherent capacity and properties. A new function
for the estimation of excess pore pressure 共uex兲 generated by cone penetration is found. By combining the strength and pore pressure
functions a new model is proposed, called the “CU model.” The CU model is a structure-based model that provides reliable estimates of
shear strength for in situ saturated clays using the knowledge of void and overconsolidation ratios. Finally, by combining Su-e-OCR and
uex-e-OCR relationships, it estimates the void ratio and OCR profiles of anisotropic clays from piezocone penetration test results.
DOI: 10.1061/共ASCE兲1090-0241共2007兲133:10共1290兲
CE Database subject headings: Clays; Centrifuge; Void ratio; Cone penetration tests; Shear strength; Overconsolidated soils; Pore
water pressure; Vanes.

Introduction transforms into a new formation which is controlled by the void

Shear strength is an important parameter for describing the resis-
tance of soil masses against shear stresses, but it is not a funda-
mental soil property. It is dependent on various variables such as
the orientation of the respective shear planes, type of testing, and
the rate of shearing. Therefore, to be able to correctly estimate
shear strength under any condition, it is essential to link it to
measurable and calculable soil properties. This paper presents a
new empirical model that is developed with the aim of relating
the shear strength of saturated cohesive soils to various measur-
able and calculable soil properties.
According to critical state soil mechanics theory, undrained
strength depends only on the void ratio. However, strength here is
defined as the deviator stress at critical state. At critical state,
shear deformations can continue at constant effective stresses and
constant volume. The soil is being continuously churned up or
remolded 共Wood 1990兲. As a result, the effects of stress history
are obliterated. Under constant deformation, the granular structure
1
Assistant Professor, Dept. of Civil Engineering, Bogazici Univ.,
Bebek, Istanbul, Turkey, 34342 共corresponding author兲. E-mail:
ozer.cinicioglu@boun.edu.tr
2
Professor, Dept. of Civil, Environmental and Architectural Engineer-
ing, Univ. of Colorado, Boulder, CO 80309.
3
Professor, Dept. of Civil, Environmental and Architectural Engineer-
ing, Univ. of Colorado, Boulder, CO 80309.
Note. Discussion open until March 1, 2008. Separate discussions must
ratio, granular shape, and size. But this concept presents a differ-
ent structural behavior than the one that is observed during the
peak failure of naturally deposited clays. Strength varies with the
orientation of clay particles as the forces acting between them are
completely different in the cases of parallel and random orienta-
tion. In the case of one-dimensionally anisotropic kaolin, the par-
ticles are flat plates, arranged mostly face to face in subparallel
groups called “domains.” These domains retain their identity, ori-
entation, and relative positions during prepeak shearing. The gen-
erated strain is accommodated by small changes in their sizes due
to particle packing as they slip over one another 共Bai and Smart
1997兲. Therefore, since stress history is a parameter controlling
the formation of these domains, peak undrained strength of one-
dimensionally anisotropic kaolin is dependent on stress history.
The dependence of peak strength on stress history has been ob-
served at the Massachusetts Institute of Technology on a wide
variety of clays. It has been reported that the results of various
laboratory tests on clay samples with the same overconsolidation
ratio 共OCR兲, but different consolidation stresses, exhibit very
similar strength and stress–strain characteristics when normalized
with respect to the consolidation stress. Ladd and Foott 共1974兲
have adopted this observation to come up with a new design
procedure for stability of soft clays from the normalized soil pa-
rameter 共NSP兲 concept, called “stress history and normalized soil
engineering properties” 共SHANSEP兲. The most frequently used
NSP is Su/␴⬘v; in which ␴⬘v⫽in situ vertical effective stress. Ac-
cording to SHANSEP

冉 冊 冉 冊
be submitted for individual papers. To extend the closing date by one
month, a written request must be filed with the ASCE Managing Editor. Su Su
= OCRm 共1兲
The manuscript for this paper was submitted for review and possible ␴⬘v oc ␴⬘v nc
publication on March 30, 2006; approved on March 15, 2007. This paper
is part of the Journal of Geotechnical and Geoenvironmental Engineer- where m⫽soil parameter defining the relationship between nor-
ing, Vol. 133, No. 10, October 1, 2007. ©ASCE, ISSN 1090-0241/2007/ malized undrained shear strength values at different OCR levels.
10-1290–1301/$25.00. The validity of Eq. 共1兲 is dependent on the assumption that the

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 normalized strength parameter is a constant for each OCR. As a
result, the shear response is assumed to be completely frictional.
This may be correct for residual or ultimate strengths of reconsti-
tuted clays where the shear surface has already been created or
the stress history has been obliterated. But for peak strength the
outcome should depend on the combined effects of interlocking
and friction 共Schofield 1998兲.
Other than void ratio and stress history, rate dependency of
shear strength of cohesive soils has long been recognized by
many researchers. It was pointed out that the rate effect is caused
by the change in the excess pore pressure generated during the
shearing process. New techniques have been proposed to model
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the rate dependency of strength 共Lefebvre and Leboeuf 1987;

Sheahan et al. 1996; Zhu and Yin 2000; Katti et al. 2003兲.
As a result, it is found that void ratio, stress history, and rate
are the parameters that control the generation of undrained shear
strength in reconstituted cohesive soils. In this research a new
centrifugal testing method is used to observe the uncoupled ef-
fects of void ratio, stress history, and testing rate on the genera-
tion of undrained shear strength and accompanying excess pore
pressure in reconstituted Speswhite clay. This new method is
named the descending gravity test 共DGT兲 共Cinicioglu et al.
2006a兲.
Descending Gravity Test
The descending gravity test is a new centrifuge test that combines
in situ shear strength tests with a new material preparation tech-
nique. By using this new material preparation technique, within a
one-dimensionally anisotropic sample it is possible to create a
section where the OCR does not change as the void ratio changes
with depth. This section of the clay model is called the constant
OCR section 共COS兲. As explained in detail in Appendix I, the
OCR of the COS is found as 共Cinicioglu et al. 2006a兲
␻2max
OCR = 共2兲
␻2u
where ␻max⫽maximum angular rotational speed; and ␻u⫽angular
rotational speed of the centrifuge during the unloading stage.
When this new material preparation technique is combined with
in situ shear strength tests, such as the cone penetration test 共CPT兲
and the vane shear test that has been used for this research, and
repeated for a series of successively lower g levels—which cor-
respond to a series of successively greater OCRs within the
COS—this new test is called the descending gravity test. DGT
provides the void ratio–shear strength relationships for various
OCRs. Therefore, it renders the observation of the uncoupled ef-
fects of void ratio and OCR on the generation of shear strength
feasible.
Obtained data from the DGTs conducted during this research
are used to construct an empirical model named the CU model.
The reason for calling this model CU is that the tests were con-
ducted in the centrifuge by successively unloading the model
under consolidated-undrained conditions. Also, the tests were
conducted at the University of Colorado at Boulder. CU model
estimates the test specific undrained shear strength and the ac-
companying excess pore pressure generated in one-dimensionally
consolidated cohesive soil using the knowledge of void ratio and
OCR profiles. Also, it allows the engineer to back-calculate the
void ratio and OCR profiles by using the undrained shear strength
and excess pore pressure data. In the first part of this paper, the
Fig. 1. Container
testing equipment, materials, and testing procedure are described.
In the second part, the test results are presented. And in the final
part, the CU model is presented and discussed.
Testing Equipment, Material, and Procedure
Testing Equipment
The centrifuge employed in this research is located in the Depart-
ment of Civil Engineering at the University of Colorado at Boul-
der. In the fully extended position, the top of the swing platform
is at a radius of 5.5 m. This centrifuge has a payload capacity of
1,800 kg and it is capable of accelerating to a maximum of 200g.
The configuration of the container that houses the clay model
is shown in Fig. 1. Prior to the test, the container containing the
clay cake is placed inside a specifically designed testing frame
that is located on the centrifuge arm. The testing frame 共Fig. 2兲 is
designed to conduct CPT and vane shear tests, and to rotate the
container in-flight. There are four motors on the frame that are
used to operate the turntable which is used to rotate the container
in-flight to reach virgin testing sites on the clay model, to facili-
tate cone and vane penetration, and to apply torque to the vane
rod.
The piezocone used in this research is approximately 175 mm
in length with a tip area of 1 cm2. The piezofilter is located on the
shoulder of the cone tip 共u2兲. The vane is 12.7 mm in height and
12.7 mm in width. Moreover, six miniature pore pressure trans-
ducers are used to monitor the consolidation process.
Material
The soil that has been used as a testing material is reconstituted
Speswhite clay. Speswhite clay is almost 100% kaolinite and clas-
sified as CH. Its plastic limit is 32% and plasticity index is 21%.
The specific gravity is 2.66. Basic physical properties of Sp-
eswhite clay are presented in detail by Peric et al. 共1988兲. From
the results of oedometer tests, the average coefficient of consoli-
dation 共cv兲 is found as 15.3 m2/year for the loading history and
stress ranges of the centrifuge tests.
Defining the e-␴v⬘ Relationship for Speswhite Clay
Since the goal of this study is to obtain the void ratio–shear
strength relationships for various OCRs, it is imperative to track

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Fig. 2. Configuration of the frame: 共a兲 side view; 共b兲 plan view; and 共c兲 photograph

the changes in the void ratio profile during the DGT. This is e = 共␣A ln ␴⬘vo + ␤A兲 . 关␴⬘v + Z兴共␣B ln ␴⬘vo+␤B兲 共4兲
achieved by obtaining e-␴⬘v data from a step loading test in an
oedometer, and constructing representative functions of the load- where ␣A, ␤A, ␣B, ␤B⫽parameters defining the semilogarithmic
ing and unloading processes. The extended power function relationship between parameters A, B and preconsolidation stress
proposed by Liu and Znidarcic 共1991兲 has been selected for math- 共␴⬘vo兲 共Cinicioglu et al. 2006a兲.
ematically defining the e-␴⬘v relationship of Speswhite clay:
Preparation for the Test
e = A共␴⬘v + Z兲B 共3兲
The model is prepared by consolidating clay slurry. During this
where A, B, and Z⫽empirical consolidation constitutive param- research, water content of 1.36 has been chosen for the prepara-
eters specific for the normal consolidation or unloading–reloading tion of the slurry since this value corresponds to the empirically
lines 共url兲 they are obtained for. The methods for obtaining and found appropriate water content at which the Speswhite clay
calculating these parameters have been explained in detail by Liu
and Znidarcic 共1991兲. However, in its original form, this extended
power function Eq. 共3兲 has to be defined exclusively for each url.
This is a drawback since in the case of DGT, there are an infinite
number of urls. Undoubtedly, it is impossible to obtain the param-
eters for all urls by testing. But given that the urls have the same
shape 共which means parameter Z is the same for all urls兲 and are
parallel in the e-log ␴⬘ graph, it has been found that it is possible
to find a trend between the parameters A, B, and the preconsoli-
dation stresses 共␴⬘vo兲. When the A and B parameters calculated
from experimentally obtained urls are plotted against respective
preconsolidation stresses, semilogarithmic relationships are ob-
tained 共Fig. 3兲. Using these semilogarithmic relationships, the
path followed by soil of known preconsolidation stress on the e-
␴⬘v graph can be mathematically defined without resorting to ex-
clusive step-loading tests. Accordingly, modifying Eq. 共3兲 to in- Fig. 3. Variation of A and B parameters with respect to preconsoli-
clude A and B as functions of ␴⬘vo we get dation pressure

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 slurry can be prepared and poured without entrapping air in. The
slurry is preconsolidated in the model container by surcharge
loading. After the completion of consolidation under the selected
preconsolidation pressure, the surcharge load is released and the
sample rebounded. Then, pore pressure transducers are inserted at
predetermined positions. Finally, the sample is placed in the test-
ing frame on the centrifuge arm for the initiation of the test.
Selection of Testing Rates
Since undrained strength is investigated, selection of an appropri-
ate testing rate is critical. The selected cone penetration rate
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should provide undrained conditions during all stages of the test.
For an undrained cone penetration test in clay, the recommended
constant rate of penetration is 20 mm/ s 共Lunne et al. 1997兲 for
standard size cones 共35.7 mm diameter兲 under earth’s gravity.
Bolton et al. 共1993兲 used miniature cone penetrometer 共10 mm
diameter兲 during centrifuge tests on kaolin clay. They have used
undrained penetration rates ranging from 3.6 to 26 mm/ s. A non-
dimensional velocity for assessing the degree of consolidation
during penetration is proposed by Finnie and Randolph 共1994兲
vd
V= 共5兲
cv
where v⫽cone velocity; and d⫽cone diameter. Using this nondi-
mensional velocity, Randolph and Hope 共2004兲 present a back-
bone curve for kaolin clay obtained by cone penetration tests in
centrifuge. From the investigation of the data, it is observed that
the penetration resistances drop up to a V value of 400. This
suggests that there is no viscous rate effect up to this point. Un-
fortunately, there are no reported test results for V values greater
than 400. Because this value is reported as a result of tests on
kaolin clay, an average V value of 400 is adopted for this work.
This corresponds approximately to 20 mm/ s rate with the avail-
able cone penetrometer and within the stress ranges experienced
by Speswhite clay. Therefore, cone penetration rates ranging from
5 to 30 mm/ s have been used in this study to create undrained
conditions.
The presence of viscous rate effects during CPT has been in-
vestigated for the model scale changes due to the centrifugal
forces. Employed method was to conduct comparative CPT tests
on the same soil with the same penetration rate, but at different g
levels. This was achieved by performing subsequent CPTs, one
being at the end of the consolidation process at one g level, and
the other immediately at the next g level. As a result the soil did
not have sufficient time to consolidate or to rebound, hence, the
void ratios and effective stresses were almost identical 共there may
be minor differences as a result of the duration of centrifuge
speeding up or slowing down兲. But the g levels were significantly
different. Any viscous effect as a result of model scale change
would have been noticed from the comparison of the cone resis-
tances. Fig. 4 shows some results obtained from such comparative
CPT tests. Clearly, there are no viscous rate effects as a result of
model scale change. Therefore the selected penetration rates for
CPT are suitable at any g level to be used as the undrained pen-
etration rate.
The vane rotation rate has to be chosen considering the testing
time limitations. The total rotation angle was selected as 400° to
be able to observe the residual drop of strength. Additionally, for
obtaining the shear strength profile, five vane shear tests were
conducted during each penetration event. The vertical locations of
these tests were selected such that they are one vane diameter
away from the neighboring tests and from the top and bottom
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Fig. 4. Comparative CPTs at subsequent g levels: 共a兲 loading from
20 to 60g; 共b兲 loading from 1 to 20g
boundaries. Therefore, the total degrees of rotation sum up to
2,000°, which would require an excessive amount of time with
the recommended field testing rates. Matsui and Abe 共1981兲 sug-
gested that the undrained testing of kaolin can be achieved at rates
greater than 1°/s. Bolton et al. 共1993兲 reported that increasing the
rate from 1.2 to 6°/s resulted in a 6–10% increase in shear
strength. This is an indication of possible drainage since 6°/s
corresponds to less than 10% drainage according to the time fac-
tor suggested by Blight 共1968兲 and with the vane and clay used by
Bolton et al. 共1993兲. Therefore, rotational speed of the vane was
selected to be 50°/s as a result of time constraints and to assure
that shearing is completely undrained.
Testing Method
Centrifuge is used to obtain various e-OCR profiles within the
clay model. This is achieved by varying the angular swept veloc-
ity, therefore, changing the self-weight stresses in the clay. When
a desired soil profile is obtained in-flight 共calculated from the e-
␴⬘v relationship of the soil, and verified through pore pressure
monitoring兲 then in situ tests are conducted on virgin testing sites.
This is accomplished by rotating the model container, located
inside the testing frame, around its axis via rotating the turntable
共Fig. 2兲. When the stationary minipiezocone and vane shear de-
vices are above previously determined testing sites, they are in-
serted into the model to obtain the shear strength profiles. To
minimize the disturbance from the neighboring tests, the relative
positions of the testing sites on the model surface are determined
by taking into account the in situ testing device dimensions and
the size of the container.
A reference penetration rate for CPT is used for all e-OCR
profiles. However, to examine the effects of penetration rate on
the shear strength and generated pore pressure, CPTs can be re-
peated occasionally with different rates. Results from the simul-
taneous vane shear tests are used as a reference to obtain the
necessary cone factor Nkt. The cone factor is defined as the em-
pirical parameter that is used to relate the CPT tip resistance
measurements to undrained shear strength. By using a total stress
approach the cone factor is obtained as 共Lunne et al. 1997兲
qt − ␴v
Nkt = 共6兲
Su−R
where qt⫽corrected cone tip resistance; ␴v⫽total overburden
pressure at the level of the cone tip; and Su-R⫽reference und-
rained shear strength obtained by the reference shear strength
test—vane shear test. Accordingly, the rotation rate of the vane
shear device is kept constant throughout each centrifuge test.
 Table 1. Summary of the Tests
Test

Measurement 1 2 3
␴⬘vo 共kPa兲 360 100 70
Model thickness 共mm兲 164 157 157
g levels 1-20-60-150-60-20 1-20-60-150-60-20 1-150-50-30-15-1
DGT — 3 3
COS OCRS — 1-2.5-7.5 1-3-5-10-150
COS thickness 共mm兲 — 50 75
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Tests context, it is useful to investigate the shear strength–void ratio

In the course of this project, three different centrifuge tests were
conducted 共Table 1兲. The final two of these tests were descending
gravity tests. The main differences of these three tests were the
chosen initial preconsolidation pressures and the g levels. As
shown in Table 1, the preconsolidation pressure of the model
during Test 1 was 360 kPa. The basis for the selection of such a
high stress level is obtaining compatibility with some previous
centrifuge model tests. As a result, the combination of the sample
thickness and the centrifuge capabilities was not sufficient to cre-
ate a constant OCR section 共COS兲 within the clay model. But the
different OCR and void ratio profiles of Test 1 were very valuable
for the evaluation of the constructed model. A single penetration
rate of 10 mm/ s was used for all CPTs of Test 1.
Both during Tests 2 and 3, COS were created within the clay
model. The initial preconsolidation stresses of the models as a
result of surcharge loading–unloading outside the centrifuge were
100 and 70 kPa, respectively. Test 3 was solely designed as a
DGT, and Test 2 was designed as a transition test with a first
half—before 150g—similar to Test 1 and a second half—after the
generation of a COS at 150g—similar to Test 3 共Table 1兲. The
OCRs of the COS during Tests 2 and 3 are given in Table 1.
A single penetration rate 共10 mm/ s兲 for all CPTs and a single
rotation rate 共50°/s兲 for all vane shear tests were used during Test
2. However during Test 3, three different CPT rates were used.
CPTs for the evaluation of the effects of void ratio and OCR on
undrained shear strength were conducted at 20 mm/ s, and from
time to time these tests are repeated both with 50 mm/ s and
30 mm/ s rates to observe the changes in the measured shear
strength profiles and generated excess pore pressures.
relationship for constant OCR values. The void ratio profiles, cal-
culated using the constitutive relations in Eqs. 共3兲 and 共4兲 are later
verified by obtaining samples from the model after the completion
of the DGT test. Void ratio profiles measured by testing the ob-
tained samples are compared with the calculated profiles to con-
firm the accuracy of predictions. Figs. 6 and 7 show the void
ratio–shear strength relationships obtained from the COS of Tests
2 and 3, respectively. The void ratio values are calculated by
using Eq. 共4兲 and constant OCR values are calculated by using
Eq. 共2兲. From these results shown in Figs. 6 and 7, it is possible to
claim that void ratio-shear strength relationship is linear for a
constant OCR value, and this linear relationship is dependent on
the value of the OCR. This phenomenon will be further investi-
gated and quantified in the CU Model section of this paper.
As previously pointed out, in situ tests were carried out by a
piezocone penetrometer which, in addition to cone tip measure-
ments, simultaneously measures the pore pressure. Evidently,
variation of pore pressure with depth is similar to the variation of
undrained shear strength with depth. This similarity of response
should be anticipated since excess pore pressure generated by
cone penetration is a product of the disturbance to the soil struc-
ture, as tip resistance measurements are. This parallel behavior
can be appreciated by examining the void ratio–excess pore pres-
sure relationships obtained from the COS of Test 3 共Fig. 8兲. With-
out a doubt, the void ratio and CPT-generated excess pore
pressure relationship is linear for constant OCR. When the OCR
changes, the slope and zero intercept of this linear relationship
also changes. However, it should be noted that pore pressures

Test Results

Cone factors 共Nkt兲 obtained from the comparison of all simulta-

neous CPT and vane shear tests has been found to vary around 8.
Therefore, this value is found to be suitable for calculating the
shear strength from the cone tip resistance measurements.
The most noteworthy observation obtained from the analysis
of the shear strength-depth profiles is the different trends of re-
sponse obtained from the varying OCR and COS. Fig. 5 shows
the shear strength–depth profiles obtained from some of the CPTs
conducted on samples with COS. Visibly, the soil in the COS
共below 100 mm depth兲 responds differently. The possible expla-
nation to this observable fact is the absence of the OCR effect. In
a naturally deposited overconsolidated clay layer, OCR varies
with the stresses as void ratio does. As a result, shear strength
varies with depth similar to the shear strength–depth profiles ob- Fig. 5. Su depth profiles obtained from samples with constant OCR
tained from the varying OCR section 共VOS兲 of the model. In this sections

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Fig. 6. Void ratio–shear strength relationships obtained from the
constant OCR section of Test 2
measured via u2 piezocone during DGT should be corrected for
time lag in order to be able to compare pore pressure measure-
ments at different g levels. The u2 pore pressure measurement
correction is explained in Appendix II.
The undrained shear strength and excess pore pressure values
obtained at different CPT rates are very close, suggesting und-
rained conditions for the range of penetration rates that have been
used. However, even though not sufficient for quantification, the
results also suggest that there is a slight dependence on penetra-
tion rate for both Su and uex, which increases with increasing
OCR. The results of this rate comparison, even though not con-
clusive, have been reported by Cinicioglu et al. 共2006a兲.
Fig. 7. e-Su relationships obtained from the constant OCR section of
Test 3
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J. Geotech. Geoenviron. Eng. 2007.133:1290-1301.
Fig. 8. e-uex relationships obtained from the constant OCR section of
Test 3
CU Model
The linear void ratio–shear strength relationships, obtained during
the DGT of Test 3 for different OCRs 共Fig. 7兲 have been quanti-
fied by simple mathematical expressions. As a result of the lin-
earity, the void ratio–shear strength relationship for a single OCR
can be written as follows 共Cinicioglu 2005兲:
Su = Te + R 共7兲
where T and R⫽empirical parameters defining the slope and the
zero intercept, respectively. These parameters are dependent on
the stress history of the soil and the rate of testing. Their units are
the same as Su. Su⫽undrained shear strength calculated from the
cone tip measurements by using the appropriate cone factor 共Nkt兲.
This calculation method does not alter the e-Su relationship since
Nkt is a function of OCR and the plasticity index, which are con-
stants within the COS 共Francescon 1983; Almeida and Parry
1985; Aas et al. 1986; Powell and Quarterman 1988兲.
To quantify the dependency of the T and R parameters on
OCR, the values obtained from different g levels corresponding to
different OCRs are plotted in Fig. 9. Consequently, the T共OCR兲
and R共OCR兲 functions are found to be in the form of a power
function. These power functions can be quantified as follows:
T = bTOCRkT 共8兲
R = bROCRkR 共9兲
where bT, bR, kT, and kR⫽rate-dependent empirical parameters
that can be obtained for a specific clay by conducting DGT tests.
The parameters bT and bR have the units of stress, and the param-
eters kT and kR are unitless. Finally, we obtain the equation for
undrained shear strength as shown
Su = Te + R = 共bTOCRkT兲e + 共bROCRkR兲 共10兲
This equation is rate dependent since the e-Su relationship is rate
dependent 共Cinicioglu et al. 2006a兲. The validity of Eq. 共10兲 has
been investigated by comparing the obtained Su profiles of Tests
1, 2, and 3 with the estimations of Eq. 共10兲. The differences in
rate are not considered here, since the penetration has been shown
to be completely undrained for the range of 5–30 mm/ s. Some of
the results are shown in Fig. 10. Clearly, the estimations closely
captured the trends of the experimentally obtained Su-depth
profiles.
Eq. 共10兲 defines a special surface in the e-OCR-Su space 共Fig.
11兲. The shape and location of this surface is material and shear-
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Fig. 10. Comparisons of the experimentally obtained and estimated

Su depth profiles

range of void ratios. For void ratios greater than this range, the
Fig. 9. Variation of T and R parameters with OCR and the obtained peak failure is obtained on the Hvorslev surface. This transition
functions void ratio range is expected to depend on the grain size and shape.
The effect of this transition void ratio on the shear strength is
more plainly observed in Fig. 12共b兲. Each line in Fig. 12共b兲 rep-
ing rate dependent. It yields the peak undrained shear strength resents the OCR-Su relationship at a different void ratio.
values for any combination of void ratio and OCR for the refer- Visibly, undrained shear strength increases with OCR for soils
ence testing rate. This surface is not a state boundary surface, with a greater void ratio than the transition void ratio range, and
because even though the void ratio and OCR define the preshear decreases with OCR for soils with a lower void ratio than the
state of the soil, Su represents the capacity of this state to with- transition void ratio range. This is a consequence of the response
stand shear stresses. Therefore, a new terminology is necessary. of the clay domains to shear. The domains and the force chains
The surface defined by Eq. 共10兲 is a “structural state capacity formed by domains 共Wood 2004兲 as a result of one-dimensional
surface.” It relates the structure to the structure inherent capacity anisotropy 共Bai and Smart 1997兲 form a strong structure against
and properties. There are some advantages of using this surface, prepeak shearing. However, since these domains are formed by
such as: particles of flat plates, as the OCR of the clay increases the do-
• The surface is dependent on the measured preshear soil prop-
erties, not soil properties at the time of failure.
• The surface is a result of one-dimensionally anisotropic soil
behavior; therefore, it is suitable for field conditions.
• It covers all possible combinations of void ratios and OCRs
for reconstituted clays that are inside the scope of soil mechan-
ics problems, which also include the highly overconsolidated
clays with low void ratios and soils that fail on the Hvorslev
surface 共Fig. 11兲. The only exception is clays with very high
void ratios, which require further investigation with more sen-
sitive equipment.
• The surface is defined by parameters that can be obtained by
conducting a single DGT.
For better perception, Figs. 12共a and b兲 present the projections
of the surface on the e-Su and OCR-Su planes, respectively. In Fig.
12共a兲, each line represents the e-Su relationship for a single OCR
value. Clearly, as the OCR increases the slopes of the linear rela- Fig. 11. Surface defined by the Su共e,OCR兲 function in the e-OCR-Su
tionships decrease. Consequently, the lines intersect at a small space

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J. Geotech. Geoenviron. Eng. 2007.133:1290-1301.

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Fig. 12. Projection of the Su共e,OCR兲 function on the e-Su plane
main buckling and force chain buckling as a result of preferred
orientation increases. Even though this interlocking behavior at
high void ratios results in high shear strength, at small void ratios
it leads to a more unstable structure due to the stored buckling
energy. Therefore, under shear stresses, highly overconsolidated
clays at low void ratios fail sooner as a result of a repressed
buckling mechanism. Since the energy stored within a domain
as a result of overconsolidation is dependent on particle shape
and size, the transition void ratio is a function of the particle
characteristics.
Similar behavior is observed from the results of the void ratio–
excess pore pressure relationship. This is expected since excess
pore pressure generated as a result of cone penetration is a con-
sequence of the deformation of the same structure. The linear e-u2
relationships for different OCRs 共Fig. 8兲 can be represented by a
function as
uex = eF + C 共11兲
where F and C⫽empirical parameters defining the slope and the
zero intercept of the linear relationship, respectively. uex⫽excess
pore pressure, which is obtained as
uex = u2 − uo 共12兲
where u2⫽pore pressure measured at the shoulder of the cone tip,
and uo⫽hydrostatic pore pressure. Hydrostatic pore pressure is
used since the data in Fig. 8 were obtained at the completion of
consolidation and swelling processes. It should be noted here that
the calculated uex values were corrected for the time difference
between the instants of initial generation and measurement as
explained in Appendix II.
The generated pore pressure during CPT is a consequence of
the instantaneous compression of the clay surrounding the cone.
JOURNAL OF GEOTECHNICAL AND GEOENVIRONMENTAL ENGINEERING © ASCE / OCTOBER 2007 / 1297
J. Geotech. Geoenviron. Eng. 2007.133:1290-1301.
Fig. 13. Variation of F and C parameters with OCR and the obtained
functions
The breadth of the deformed soil surrounding the cone is depen-
dent on the cone diameter and the rate of penetration. As a result,
unlike the T and R parameters of shear strength, parameters F and
C of excess pore pressure are cone diameter dependent. F and C
vary with OCR in the form of an extended power function, as
shown in Fig. 13. Therefore, the uex共e,OCR兲 function for a spe-
cific penetration rate and certain cone diameter can be written as
uex = eF + C = e关bF共OCR + jFC兲kF兴 + 关bC共OCR + jFC兲kC兴
共13兲
where bF, bC, kF, kC, and jFC⫽rate- and cone diameter-dependent
empirical parameters that can be obtained for a specific clay by
conducting DGT with a certain cone penetrometer. The param-
eters bF and bC have the units of stress, and the parameters kF, kC,
and j FC are unitless. The validity of Eq. 共13兲 has been investigated
by comparing the obtained uex profiles of Tests 1, 2, and 3 with
the estimations of Eq. 共13兲. The differences in rate are not con-
sidered here. Some of the results are shown in Fig. 14. Clearly,
the uex estimations were close to the experimentally obtained uex
profiles.
The combination of Su-e-OCR and uex-e-OCR relationships
constitutes a structure-based model. This model is called the CU
model. The Su and uex functions as given by Eqs. 共10兲 and 共13兲,
respectively, have the same variables; e and OCR. As a result of
their different parameters, they link the same structural properties
to different outcomes as shear strength and excess pore pressure.
Since these two relationships form two equations with two un-
knowns, by using both of them it is possible to predict the void
ratio and OCR profiles of clay from the knowledge of the Su and
uex profiles, which are measured by piezocone penetration tests.
This method requires knowledge of the presence of possible ex-
cess pore pressures in the soil, which should be investigated by

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Fig. 14. Comparisons of the experimentally obtained and estimated
uex depth profiles
stopping the cone several times and allowing the CPT-generated
excess pore pressure to dissipate. Tables 2 and 3 present the mea-
sured values of CU model parameters for Speswhite clay. These
values were obtained at a CPT rate of 20 mm/ s and by using vane
shear as the reference test. It should be noted that the rate depen-
dency of the parameters should be investigated. Additionally, the
reference strength test should be chosen by considering the pos-
sible failure mechanism investigated. Consequently, the CU
model serves several purposes:
• It provides reliable estimates of shear strength for one-
dimensionally anisotropic saturated clays, using the knowl-
edge of void ratio and OCR.
• It provides estimates of excess pore pressure generated as a
result of cone penetration.
• By combining Su-e-OCR and uex-e-OCR relationships, it esti-
mates the e and OCR profiles of anisotropic clays from CPTU
measurements.
Table 2. Measured Values of CU Model Parameters for Shear Strength
Shear strength parameters Values
bT 共kPa兲 −230.90
bR 共kPa兲 390.40
kT −0.22
kR −0.21
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J. Geotech. Geoenviron. Eng. 2007.133:1290-1301.
Table 3. Measured Values of CU Model Parameters for Excess Pore
Pressure
Excess pore pressure parameters Values
bF 共kPa兲 −972.50
bC 共kPa兲 1,742.30
kF −0.41
kC −0.40
jFC −0.98
Discussion
One of the interesting features of the CU model is the power
function form of the shear strength and excess pore pressure func-
tions, shown by Eqs. 共10兲 and 共13兲, respectively. Both of these
functions have OCR as a variable. As a result of its definition,
OCR is a power function itself 关OCR= f共␴⬘v兲 = ␴⬘vo共␴⬘v兲−1兴. There-
fore, any function with OCR as a variable yields a power function
as in the cases of Eqs. 共10兲 and 共13兲.
Fig. 15 represents the Su共e,OCR兲 function defined by the CU
model on the preshear ␴⬘v-Su plane. It is clear that the behavior is
not frictional. Solely frictional behavior can only occur between
well-defined surfaces sliding with respect to each other. Since
saturated-reconstituted clay is a continuum, to have a completely
frictional failure, first the continuum has to be broken. The con-
tinuum of clay is formed by particles that interlock. When the
initial deformations occur due to shearing, the particles move
around each other, getting rearranged in the direction of the shear
band. The process requires shear stresses to overcome the combi-
nation of interlocking and friction. Therefore, the peak shear
strength is a function of both interlocking and friction. Here, one
should not confuse peak strength with critical state or residual
strength. It is clear from Fig. 15 that according to the CU model,
the ␴⬘v-Su relationship is dependent on the OCR. As the vertical
effective stress 共␴⬘v兲 increases, in other words as the void ratio
decreases, the interlocking mechanism dominates the peak shear
strength. Therefore, both the interlocking and friction mecha-
nisms are functions of preshear void ratio and OCR. To obtain the
magnitudes for interlocking 共c兲 and friction angle 共␾⬘兲, the tan-
gent to the surface for the specific OCR should be found, as
Fig. 15. Depiction of the Su共e,OCR兲 function on the ␴⬘v-Su plane
 shown in Fig. 15. Consequently, structural properties such as fric-
tion and interlocking have physical meanings within the CU
model.
There are some limitations to the applicability of CU model.
For clays with very high void ratios, which do not form interlock-
ing structures, the strength is a consequence of a mechanism that
combines both internal friction and rolling of particles without
volume change. Because of the inadequacy of Eq. 共10兲 to capture
the transition to this different mechanism, the estimated shear
strength values at high void ratios reach zero even though there
are effective stresses present. Another limitation of CU model is
the shear strength of extremely stiff clays for which interlocking
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totally dominates the behavior therefore failure occurs by the
breaking of clay particles. This phenomenon may be regarded as
a rock mechanics problem out of the context of soil behavior.
Conclusion
A series of centrifuge tests have been designed and carried out to
understand the uncoupled effects of void ratio and OCR on the
undrained shear strength of one-dimensionally anisotropic Sp-
eswhite clay. The centrifugal testing method, solely designed for
this purpose, is called the Descending Gravity Test 共Cinicioglu et
al. 2006a兲. Obtained results have revealed that the undrained
shear strength varies linearly with void ratio for constant OCR
profiles and these linear relationships are dependent on the OCR.
A similar pattern of behavior has been observed from the mea-
surements of excess pore pressure generated by cone penetration.
The Su and uex functions have been quantified to construct a struc-
ture based model called the CU model. Shear strength function of
CU model defines a surface in the e-OCR-Su space which yields
the peak shear strength values for any combination of void ratio
and OCR including soils that fail on the Hvorslev surface. In
other words, it relates the structure to structure inherent capacity
and properties. Therefore it is defined as a “structural state capac-
ity surface,” because it is dependent on the measured preshear soil
properties, not soil properties at the time of failure. Additionally,
it is a result of anisotropic behavior, thus it is suitable for field
conditions. From the perspective of the CU model, the peak
strength of soil is a consequence of combined effects of interlock-
ing and internal friction mechanisms. And finally, by combining
Su-e-OCR and uex-e-OCR relationships, CU model estimates the
void ratio and OCR profiles of anisotropic clays from CPTU data.
Appendix I. Descending Gravity Test
The details of the theory and material preparation for DGT have
been given by Cinicioglu et al. 共2006a兲. It is a well-based assump-
tion that during one-dimensional consolidation, no clay particle
can pass other particles. Therefore, the amount of solids 共not soil,
solids without any voids兲 above any horizontal layer within the
model remains constant, and the end of consolidation vertical
effective stress 共␴⬘v兲 at any point can be calculated by using the
buoyant unit weight of solids—soil particles without any voids—
⬘ 兲
共␥solid
␴⬘v = NDsa␥solid
⬘ = NDsa␳w共Gs − 1兲g 共14兲
where Dsa⫽equivalent thickness of the solids above the corre-
sponding horizontal soil layer; g⫽earth’s gravitational accelera-
tion; ␳w⫽mass density of water; Gs⫽specific gravity of solid
particles; and N⫽gravity ratio as defined in Eq. 共15兲
JOURNAL OF GEOTECHNICAL AND GEOENVIRONMENTAL ENGINEERING © ASCE / OCTOBER 2007 / 1299
J. Geotech. Geoenviron. Eng. 2007.133:1290-1301.
␻ 2r
N= 共15兲
g
where ␻⫽angular rotational velocity of the centrifuge; and
r⫽radius to any element in the soil model. Radius r is assumed to
be constant since the deformations are miniscule compared to the
radius of the centrifuge. N is called the g level. Clearly, N is a
controlled factor and it is dependent on the angular rotational
velocity of the centrifuge. As a result, N is the only variable in Eq.
共14兲. To be able to track the changes in the void ratio profile, it is
necessary to prepare the clay slurry uniformly at a predetermined
void ratio. As a result, the initial void ratio 共ei兲, and the initial
undeformed depth of the clay slurry are known to the researcher.
Subsequently, the equivalent thicknesses of solids above any hori-
zontal slurry layer can be calculated by using the following
equation:
Dsa = Dia/ei 共16兲
where Dia⫽depth of a horizontal layer in the slurry. Since all the
parameters other than the g level in Eq. 共14兲 are constants after
the preparation of the slurry, the effective stress can be calculated
at any instant by using the appropriate g level. This gives the
researcher the flexibility to monitor the changes in the void ratio
by using the previously obtained parameters of Eqs. 共3兲 and 共4兲.
This can be achieved even by a simple worksheet function. Then,
the thickness of the model can be back-calculated from the cal-
culated void ratios. The obtained values can be verified through
measurements and sampling.
The model preparation technique is composed of two distinct
phases. The first phase is the preconsolidation of the clay slurry
by surcharge loading and unloading outside the centrifuge, and
the second phase is the formation of the desired testing conditions
in the centrifuge by increasing the body forces within the precon-
solidated clay cake to obtain stresses that are dependent on the
relative positions of soil layers. The initial preconsolidation pres-
sure, obtained by the step loading and unloading process outside
the centrifuge, is a constant for the entire soil profile. However,
during centrifuge spinning at sufficiently high g levels, soil below
a certain depth may consolidate under a vertical stress equal to the
sample’s initial preconsolidation pressure. If that is the case, the
stress state of the sample at that certain depth and deeper reaches
the normal consolidation line. Due to the nature of centrifuge
testing, the vertical stresses increase significantly with depth.
Therefore, for a clay model that is consolidated normally in the
centrifuge, the stress state of any layer in the normally consoli-
dated region represents a unique point on the normal consolida-
tion line in the e-␴⬘v graph. Consequently, when the consolidation
is complete under these stress conditions, the preconsolidation
stress of each layer becomes a function of soil depth for the
portion of soil that is normally consolidated. This section of the
sample is called the COS. When this sample is unloaded, we
obtain a different unloading–reloading line for each unique pre-
consolidation stress. Unloading of the clay layer in the centrifuge
corresponds to decreasing the angular rotational speed of the cen-
trifuge. Therefore, the OCR of the COS is found as 共Cinicioglu
et al. 2006b兲
␴⬘vo NmaxDsa␳w共Gs − 1兲g Nmax ␻2max
OCR = = = = 2 共17兲
␴⬘v NuDsa␳w共Gs − 1兲g Nu ␻u
where Nmax⫽g level during the normally consolidated state of the
COS; and Nu⫽g level at the unloaded state. Since the g level is
the only variable in Eq. 共17兲, the equation simplifies to the form
 Notation

The following symbols are used in this paper:

A , B , Z ⫽ consolidation constitutive parameters;
C , F ⫽ empirical excess pore pressure parameters;
Dsa ⫽ thickness of solids above a certain layer;
Gs ⫽ specific gravity;
H , Y ⫽ empirical parameters defining the effect of
gravity on u2;
K ⫽ absolute permeability;
N ⫽ gravity ratio;
Nkt ⫽ empirical cone factor;
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Nmax ⫽ maximum gravity ratio;

Nu ⫽ gravity ratio at the unloaded state;
R , T ⫽ empirical shear strength parameters;
Fig. 16. Obtained uex-1g/uex-Ng ratios from Test 2
Su ⫽ undrained shear strength;
Su-r ⫽ reference undrained shear strength for Nkt;
V ⫽ nondimensional velocity;
of Eq. 共2兲. Consequently, even though all layers within the COS bC, kC, jFC ⫽ empirical parameters defining C;
unload on different unloading lines, their OCRs are a function of bF, kF, jFC ⫽ empirical parameters defining N;
the angular rotational speed of the centrifuge. Since the ratios of bR, kR ⫽ empirical parameters defining R;
the angular rotational velocities are equal to each other for all bT, kT ⫽ empirical parameters defining T;
points in the clay model, all the layers within the COS have the cv ⫽ coefficient of consolidation;
same OCR after unloading. Even if the OCR is the same for all d ⫽ cone diameter;
the layers within the COS, the effective stresses they are experi- e ⫽ void ratio;
encing and unloading lines they are following are different. g ⫽ earth’s gravitational acceleration;
Therefore, their void ratios are different. kNg ⫽ coefficient of permeability of water at Ng;
qt ⫽ corrected cone tip resistance;
r ⫽ radius;
u ⫽ pore pressure;
Appendix II. Correction of uex for the g Level u2 ⫽ pore pressure measured at the cone
shoulder;
The excess pore pressure generated as a result of cone penetration uex ⫽ excess pore pressure;
共uex兲 is measured at the back of the cone 共u2兲 after a time lag that uo ⫽ hydrostatic pore pressure;
is dependent on the speed of penetration. During this interval v ⫽ cone penetration velocity;
some amount of excess pore pressure dissipates into the perim- ␣A, ␣B, ␤A, ␤B ⫽ empirical consolidation parameters;
eter. The amount of dissipation is a function of the penetration ⬘ ⫽ buoyant unit weight of solids;
␥solid
rate and the hydraulic conductivity. Unfortunately, during centri- ␮ ⫽ absolute viscosity;
fuge testing hydraulic conductivity is dependent on the g level of ␳w ⫽ mass density of water;
the test ␴⬘v ⫽ vertical effective stress;
␴⬘vo ⫽ preconsolidation stress;
N␥w ␻max ⫽ maximum angular rotational speed; and
kNg = K 共18兲
␮ ␻u ⫽ angular rotational speed at the unloaded
state.
where kNg⫽hydraulic conductivity when the g level of the centri-
fuge is equal to N; K⫽absolute permeability; and ␮⫽absolute
viscosity of the pore fluid. References
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