OTHER TITLES IN T H I S S E R I E S

1. Controlled Atmosphere Storage of Grains

by J. Shejbal (Editor)
1980 viii + 6 0 8 pp.

2. Land and Stream Salinity

by J.W. Holmes and T. Talsma (Editors)
1981 vi + 3 9 2 pp.

3. Vehicle Traction Mechanics

by R.N. Yong, E.A. Fattah and N. Skiadas
1984 xi + 307 pp.

4. Grain Handling and Storage

by G. Boumans
1984 xiii + 4 3 6 pp.

5. Controlled Atmosphere and Fumigation in Grain Storages

by B.E. Ripp et al. (Editors)
1984xiv + 7 9 8 pp.

6. Housing of Animals
by A. Maton, J. Daelemans and J. Lambrecht
1985 xii + 4 5 8 pp.

7. Soil Cutting and Tillage

by E. M c K y e s
1985 viii + 2 1 8 pp.

8. Mechanics of Agricultural Materials

by G. Sitkei

9. Trickle Irrigation for Crop Production. Design, Operation and Management

by F.S. Nakayama and D.A. Bucks
1 9 8 6 x + ^ 8 4 pp.
Developments in Agricultural Engineering 10

Agricultural
Engineering
Soil Mechanics
E. M c K Y E S

Macdonald College of McGill University, Department of Agricultural Engineering,

P.O. Box 950, Ste. Anne de Bellevue, Que. H9X 1C0, Canada

ELSEVIER
Amsterdam — Oxford — New York — Tokyo 1989
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 ν

FOREWORD

Since the profession of A g r i c u l t u r a l E n g i n e e r i n g requires m a n y of the s a m e

s k i l l s as those used by C h e m i c a l , C i v i l , E l e c t r i c a l and M e c h a n i c a l E n g i n e e r s ,
m a n y c o u r s e s in A g r i c u l t u r a l E n g i n e e r i n g degree p r o g r a m s are the s a m e as
t h o s e in o t h e r e n g i n e e r i n g d i s c i p l i n e s , o r a r e indeed t a k e n in those
departments of a u n i v e r s i t y . S u c h a s i t u a t i o n does not a l w a y s w o r k out ideally,
a n d t h e s u b j e c t of Soil M e c h a n i c s is a c a s e in point. T h e principles are the
s a m e f o r A g r i c u l t u r a l or C i v i l E n g i n e e r s , but the applications d i v e r g e ,
especially w h e n it c o m e s to the subjects of a g r i c u l t u r a l d r a i n a g e , stability of
d r a i n d i t c h b a n k s , soil e r o s i o n , soil c u t t i n g and t i l l a g e , c o m p a c t i o n of arable
soil and the like.
I t is f o r t h i s reason that the e f f o r t has been put into w r i t i n g this book,
in the hopes that it m a y s e r v e as a useful t e x t for students aspiring to enter
the profession of A g r i c u l t u r a l E n g i n e e r i n g . It is hoped also that the text will
assist s u c h students and perhaps p r a c t i s i n g e n g i n e e r s to obtain the foundations
of Soil M e c h a n i c s theory and its application to t y p i c a l p r o b l e m s a s s o c i a t e d
with agriculture.
T h e author would like to thank s i n c e r e l y c e r t a i n c o l l e a g u e s who g a v e
generous and helpful a d v i c e , c o m m e n t s and s u g g e s t i o n s for parts of the w o r k ,
notably D r s . Suzelle B a r r i n g t o n , R o b e r t B r o u g h t o n and C h a n d r a M a d r a m o o t o o .
 XI

LIST OF SYMBOLS

QL- B l a d e rake angle Η - Height, m

β- A n g l e of failure plane - Horizontal force, k N
7- W e i g h t density, k N / m 3
k - Stiffness, k P a / m n

δ- A n g l e of s u r f a c e f r i c t i o n - P e r m e a b i l i t y , m/s
€- A n g l e of a plane - T h e r m a l c o n d u c t i v i t y , J/(ms°)
- Engineering strain Κ - E r o d i b i l t y f a c t o r , ton/acre
7]- Porosity Ka - A c t i v e pressure c o e f f i c i e n t
- N e g a t i v e shear slip line K -
c Cohesion coefficient
β- A n g l e of a plane KQ - A t rest c o e f f i c i e n t
μ - 7Γ/4 - φ/2 Kp - P a s s i v e pressure c o e f f i c i e n t
£- P o s i t i v e shear slip line L - Length, m
p- M a s s density, t / m 3
Ls - L a t e n t heat of f u s i o n , J/kg
- Angle LL - Liquid limit, %
(7- Stress level, kPa m - Slope stability number
(7 - D Blade stress, k P a m - v C o e f f i c i e n t of c o m p r e s s i o n , k P a
tfjw' Ice-water energy, J / m 2
Μ - Moment, kNm
σ - η N o r m a l stress, k P a η - Exponent
(7'- Effective stress, kPa Πςΐ - N u m b e r of potential drops
7 - Shear s t r e s s , k P a nf - N u m b e r of flow paths
φ- c cot0 Ν - Normal force, k N
<jf>- A n g l e of internal f r i c t i o n - N u m b e r of passes
a - Length, m Ny- Frictional cutting factor
A - Area, m 2
N - c Cohesional cutting factor
- Soil loss, t/ha N - c a Adhesion cutting factor
b - Width, m Nq - Overburden cutting factor
Β - Foundation width, m ρ - Pressure, kPa
c - Cohesion, kPa Ρ - Wall or blade f o r c e , k N
c -
a Adhesion, kPa P -
!
a E f f e c t i v e wall f o r c e , k N
C - Undrained strength, kPa Pa - A c t i v e wall f o r c e , k N
- Cropping factor PI - P l a s t i c i t y index, %
C -
c C o e f f i c i e n t of c o m p r e s i o n PL - Plastic limit, %
C -
v C o e f f i c i e n t of Q - Bearing load, k N
consolidation, m / y 2
Quit- U l t i m a t e load, k N
d - Depth, m q - B e a r i n g pressure, k P a
D - Grain size, m m - D r a i n a g e rate, mm/day
- O v e r b u r d e n depth, m - H e a t flow, J / ( m s ) 2

- Bin diameter, m q - 0 F o u n d a t i o n pressure, k P a

e - V o i d ratio r - Radius, m
- Eccentricity, m R - Reaction force, k N
F - Force, kN - H y d r a u l i c radius, m
- F r e e z i n g index, ° d a y s - E r o s i v i t y index
G - s Solids s p e c i f i c g r a v i t y R - e A r e a reduction factor
h - Height, m s - Shear strength, k P a
Xll

s - F i e l d slope, %
- Side w i d t h , m
S - D e g r e e of s a t u r a t i o n
- Wheelslip, %
SF - Safety factor
t - Time, s
Τ - Torque, k N m
- Tangential force, k N
- Tensile s t r e n g t h , k N / m
- Temperature, ° C
T -
v Time factor
u - P o r e w a t e r pressure, k P a
U - Uniformity coefficient
- D e g r e e of consolidation
- Water force, kN/m
ν - W a t e r v e l o c i t y , m/s
- Specific volume, m / t 3

V - Volume, m 3

V -
s Solids v o l u m e , m*3
V -
v V o i d s v o l u m e , m.3
Vw - Water volume, m 3

w - W a t e r content, dry basis

- Width, m
W- Weight, k N
Ws - Solids w e i g h t , k N
W - w Water weight, k N
x,X - H o r i z o n t a l distance, m
Y - S e d i m e n t yield, t
- C r o p y i e l d , t/ha
ζ - Settlement, m
z,Z - V e r t i c a l depth, m
z -
0 D e p t h of wall tension, m
Chapter 1. Origins and classification of soils

1.1. O R I G I N S O F SOILS

S o i l s c a n be defined as m a s s e s of m i n e r a l p a r t i c l e s m i x e d with v a r y i n g
p r o p o r t i o n s of w a t e r , gases and s a l t s , and o f t e n o r g a n i c m a t t e r . S o i l s are
s o m e t i m e s f o r m e d physically and c h e m i c a l l y in place f r o m parent r o c k
m a t e r i a l , a n d c a n o c c u r f r o m this o r i g i n in l a y e r s up to 25 m deep.
A l t e r n a t i v e l y , they c a n be r e m o v e d f r o m r o c k m a t e r i a l by physical and
chemical w e a t h e r i n g and subsequently be t r a n s p o r t e d and s e d i m e n t e d to a new
location.
S a n d a n d g r a v e l , and m a n y silt m a t e r i a l s (individual p a r t i c l e s larger than
0 . 0 0 2 m m d i a m e t e r ) , are generally of the s a m e m i n e r a l o g i c a l c o m p o s i t i o n as
t h e i r parent r o c k s s u c h as q u a r t z , f e l d s p a r s , c a l c i t e , d o l o m i t e , m i c a s and
o t h e r s . T h e y are r e m o v e d f r o m m a s s i v e r o c k f o r m a t i o n s usually by physical
agents including w i n d , w a t e r and f r e e z i n g . T r a n s p o r t a t i o n of these granular
m a t e r i a l s by w i n d , w a t e r , ice or falling d o w n slopes c a n alter the shape and
size of individual p a r t i c l e s by abrasion and i m p a c t , and c a n also s o r t different
g r a i n s i z e s one f r o m another. T h a t is the r e a s o n w h y , for e x a m p l e , m a n y
shoreline beaches or desert sand dunes are found to have r e m a r k a b l y u n i f o r m
s i z e s of sand p a r t i c l e s . Y e t , s o m e g r a n u l a r m a t e r i a l s s u c h as g l a c i a l till
c o m p r i s e a wide m i x t u r e of g r a i n s i z e s , f r o m silt to boulders larger than
300 m m in d i a m e t e r , because of their mode of transport in ice.
Exceptions to the above case do o c c u r , s u c h as the c r y p t o c r y s t a l l i n e quartz
s h o w n in F i g . 1 . 1 . T h e s e silt s i z e d q u a r t z p a r t i c l e s have been r e f o r m e d f r o m
dissolved c o n s t i t u e n t s in a hot spring in A r k a n s a s , but they have f o r m e d into
the c h a r a c t e r i s t i c rounded shape of q u a r t z c r y s t a l s found in m o s t sands.
C l a y m i n e r a l s , on the other h a n d , are f o r m e d m o r e usually by c h e m i c a l
changes to produce new m i n e r a l s s u c h as k a o l i n i t e , illite, c h l o r i t e , v e r m i c u l i t e ,
m o n t m o r i l l o n i t e and others. T h e s e new m i n e r a l s tend to break easily into s m a l l
( l e s s t h e n 0.002 m m ) s i z e d p a r t i c l e s and have rather c h e m i c a l l y a c t i v e
s u r f a c e s , as well as a large s u r f a c e area per unit m a s s . F i g . 1.2 s h o w s a
kaolinite m a t e r i a l w h i c h has been f o r m e d as a residual soil on parent r o c k in
G e o r g i a , U . S . A . T h e large b l o c k s of c l a y platelets have not yet been broken
up into individual p a r t i c l e s due to the l a c k of s u f f i c i e n t physical and c h e m i c a l
a c t i o n at this point in their h i s t o r y . F i g . 1.3 s h o w s p a r t i c l e s of the s a m e
m i n e r a l in a finer s t r u c t u r e . F i g . 1.4 illustrates a m i x e d clay soil f r o m the
C h a m p l a i n S e a deposits in Q u e b e c and O n t a r i o . It c o m p r i s e s illite, chlorite
and m u s c o v i t e c l a y s i z e d p a r t i c l e s , as well as silt s i z e d r o c k g r a i n s . F i g . 1.5
2 AGRICULTURAL E N G I N E E R I N G SOIL MECHANICS

F i g . 1.1. P h o t o m i c r o g r a p h of c r y p t o c r y s t a l l i n e q u a r t z f o r m e d in a hot spring

in A r k a n s a s .

F i g . 1.2. R e l a t i v e l y l a r g e b l o c k s of kaolinite MP which have formed

m i n e r a l o g i c a l l y , but not broken apart.
 ORIGINS A N D CLASSIFICATION OF SOILS 3

is a m i c r o p h o t o g r a p h of a m o n t m o r i l l o n i t e clay f r o m the N o r t h A m e r i c a n
p r a i r i e s . T h i s is a m i n e r a l w h i c h c a n absorb considerable a m o u n t s of water
and swell to s e v e r a l t i m e s its dry v o l u m e .

F i g . 1.3. K a o l i n clay in individual platelet f o r m .

C l a y soils c a n be f o r m e d in situ above parent r o c k , usually in tropical

r e g i o n s w i t h adequate heat and h u m i d i t y , or they c a n be built in solution or
f o r m e d by t h e b r e a k d o w n o f o t h e r m i n e r a l s in w a t e r suspension and
transported to other l o c a t i o n s . If t r a n s p o r t e d to a lake or sea, clay particles
will slowly s e d i m e n t to the floor and c a n build up into l a y e r s of 60 m or more
in t h i s f a s h i o n over hundreds of y e a r s . In the case of clay soils, the
concentration and types of s a l t s w h i c h are c o n t a i n e d w i t h i n the soil w a t e r are
very influential in controlling their p h y s i c a l behavior. In addition, it is possible
f o r s e d i m e n t e d c l a y s to be leached later in t i m e , and for s o m e salts to be
w a s h e d o u t o r e x c h a n g e d for o t h e r s , c a u s i n g further alterations in the
m e c h a n i c a l nature of the soil.
B e s i d e s t h e n a t u r a l f o r m a t i o n or s e d i m e n t a t i o n of soils, e a r t h w o r k
c o n s t r u c t i o n o f t e n involves the filling of soil f r o m another l o c a t i o n . U s u a l l y
it is desirable to c o m p a c t a fill for reasons of soil s t r e n g t h or i m p e r m e a b i l i t y
to water flow, depending on the purpose of the s t r u c t u r e . B u t in the case of
either a fill or a natural soil deposit, it is n e c e s s a r y to understand the
m e c h a n i c a l behavior of the m a t e r i a l , and how it c a n c h a n g e w i t h t i m e , in
o r d e r to be confident in designing a s a f e s t r u c t u r e or a n a l y z i n g the stability
of a natural one.
4 AGRICULTURAL E N G I N E E R I N G SOIL MECHANICS

F i g . 1.4. M i x e d illite, chlorite and m u s c v i t e c l a y p a r t i c l e s w i t h silt sized

rock minerals.

F i g . 1.5. M o n t m o r i l l o n i t e c l a y , thin flat p a r t i c l e s w h i c h c a n s w e l l a great

deal on w e t t i n g .
 r 3
Mn 4
/ in No.' X 10 40 2C)0 U.S. standard sieve
1 1 1
Gravel Sand
Unified Cobbles Silt or clay
coarse fine coarse medium fine

Gravel Sand
AASHO Boulders Silt Clay
coarse medium fine coarse fine

Sand
ASTM Gravel Silt Clay
coarse fine
Sand
FA A Gravel Silt Clay
coarse fine

Gravel Sand
USDA Cobbles Silt Clay
e r
c o a r s e mediurrι fine Y *
coarse fine coTrse fine

101DO 100 10 1 0.1 0.01 0.001

Grain size, mm

F i g , 1.6. C l a s s i f i c a t i o n s y s t e m s o f soils by g r a i n s i z e s .
ORIGINS AND CLASSIFICATION OF SOILS
5
6 AGRICULTURAL E N G I N E E R I N G SOIL MECHANICS

1.2. C L A S S I F I C A T I O N O F SOILS

A p r i m a r y approach to c l a s s i f y i n g soils is on the basis of the s i z e of

i n d i v i d u a l g r a i n s . F i g . 1.6 shows the division of d i f f e r e n t particle s i z e s into
i n c r e a s i n g r a n g e s of clay, silt, sands, g r a v e l and cobbles or boulders. T h e r e
are several different sets of standards s h o w n in F i g . 1.6, and one m u s t s p e c i f y
the standard s y s t e m w h i c h is r e f e r r e d to when c l a s s i f y i n g a soil particle s i z e .
M o s t soils do not fall into only one of the c a t e g o r i e s in F i g . 1.6, but are
m i x t u r e s of two or m o r e s i z e c l a s s i f i c a t i o n s . In order to then c l a s s i f y the
s o i l s , m a n y soil survey bureaus use the so called t e x t u r a l triangle s h o w n in
Fig. 1.7. T h e particle size analysis of a soil for interpretation on the triangle
s h o u l d be c o n d u c t e d only on that m a t e r i a l w h i c h is less than 2 m m in s i z e
(sand or s m a l l e r ) , and soil should be p u l v e r i z e d or s o a k e d to break d o w n stable
a g g r e g a t e s of fine particles. T h e sand s i z e d p a r t i c l e s c a n be f r a c t i o n a t e d by

100 90 80 70 60 50 40 30 20 10 0
Percent S a n d

F i g . 1.7. T h e U S D A textural triangle for c l a s s i f i c a t i o n of soil m i x t u r e s .

 ORIGINS A N D C L A S S I F I C A T I O N OF SOILS 7

sieves m e c h a n i c a l l y and the portion of e a c h s i z e f r a c t i o n w e i g h e d . Silt or clay

p a r t i c l e f r a c t i o n s m u s t be e s t i m a t e d by a h y d r o m e t e r or pipette a n a l y s i s in
which the s e t t l e m e n t rate of p a r t i c l e s suspended in w a t e r is m e a s u r e d ( L a m b e ,
1 9 5 1 ; A . S . T . M . , 1985)

Problem 1 . 1 . A g r a i n s i z e a n a l y s i s of a soil s a m p l e r e v e a l s that 1 0 0 % of the

particles by m a s s are less than 2 m m in d i a m e t e r , 6 0 % are less than 0.06 m m
and 3 0 % finer than 0.002 m m . W h a t is the t e x t u r a l c l a s s i f i c a t i o n of this soil.

T h e a m o u n t s of c l a y , silt and sand are found as f o l l o w s .

Clay= 3 0 %
Silt = 6 0 % - 3 0 % = 3 0 %
Sand= 1 0 0 % - 6 0 % = 4 0 %

O n the textural c h a r t , this soil is in the r e g i o n of clay l o a m (small c i r c l e

in F i g . 1.7).

P r o b l e m 1.2. A m e c h a n i c a l a n a l y s i s is p e r f o r m e d on a p p r o x i m a t e l y 1000 g of
a pulverized soil s a m p l e , w i t h the f o l l o w i n g results. W h a t is the textural class
of this s o i l ?

U . S . standard sieve N o . 10 N o . 40 N o . 200 Pan

M a s s of soil r e t a i n e d , g 110 482 148 272

R e f e r r i n g to F i g . 1.6, and using the U . S . D . A . c l a s s i f i c a t i o n s y s t e m for g r a i n

sizes, it c a n be seen that m a t e r i a l r e t a i n e d o n , and t h e r e f o r e l a r g e r than the
openings of the N o . 10 s i e v e , is g r a v e l , and it should be s u b t r a c t e d f r o m the
t o t a l m a s s for the purposes of the t e x t u r a l t r i a n g l e . T h e total m a s s to be
c o n s i d e r e d , t h e r e f o r e , is that retained on s i e v e s of s m a l l e r openings and the
pan at the b o t t o m , as f o l l o w s .

4 8 2 + 148 + 272 g = 902 g

Sand p a r t i c l e s are those retained on the N o . 200 and 40 s i e v e s , and these

c o m p r i s e (482 + 148)/902 = 6 8 . 5 % of the total m a s s .
Referring now to the textural triangle in F i g . 1.7, the soil is classed either
a s a sandy l o a m or a sandy clay l o a m . If there is less than 2 0 % clay in the
9 0 2 g t o t a l , the soil is the f o r m e r , and if there is m o r e t h a n 2 0 % it is the
l a t t e r . A h y d r o m e t e r or pipette a n a l y s i s could then be p e r f o r m e d on the
m a t e r i a l finer than the N o . 200 s i e v e in order to d e t e r m i n e this d i s t i n c t i o n .

A n o t h e r f o r m of c l a s s i f i c a t i o n is the unified soil c l a s s i f i c a t i o n developed

by the U . S . B u r e a u of R e c l a m a t i o n and C o r p s of E n g i n e e r s (Wagner, 1957)
w h i c h is s h o w n in part in T a b l e 1 . 1 . It is an e f f o r t to c l a s s i f y soils on the
b a s i s of engineering properties, and has provided useful guidelines in that
8 AGRICULTURAL E N G I N E E R I N G SOIL MECHANICS

r e s p e c t over the y e a r s .
W h e t h e r a soil is well g r a d e d or poorly graded depends on the v a r i e t y of
d i f f e r e n t g r a i n s i z e s c o n t a i n e d in the m a t e r i a l . O n e m e a s u r e of g r a d a t i o n is
called the ' u n i f o r m i t y c o e f f i c i e n t , U , w h e r e ;
1

U = D 6 0 /D 1 Q (1.1)

In the expression a b o v e , D ^ n d D-JQ are the g r a i n s i z e s below w h i c h 6 0 %

a n

a n d 1 0 % , r e s p e c t i v e l y , of the soil m a s s is finer. A well graded soil is

considered one in w h i c h U is g r e a t e r than 4 for m o s t soils, and 6 for s a n d s .

T A B L E 1.1. A s u m m a r y of the unified soil classification system and the

i m p o r t a n t engineering soil properties.

I m p o r t a n t properties
N a m e of group Symbols Compacted Compacted Compressi- Worka-
permeability strength bility bility

Well graded
gravels. GW pervious excellent negligible exec.
P o o r l y graded
gravels. GP high good negligible good
Silty gravels. GM f a i r to poor good negligible good
Clayey gravels. GC impervious low v e r y low good
Well graded sands. SW pervious excellent negligible exec.
P o o r l y graded sands SP pervious good v e r y low fair
Silty sands. SM f a i r to poor good low fair
C l a y e y sands. SC impervious fair-good low good
Inorganic silts. ML f a i r to poor fair medium fair
I n o r g a n i c c l a y s of fair to
low p l a s t i c i t y . CL impervious fair medium good
Organic silts. OL f a i r to poor poor medium fair
Inorganic silts,
elastic. MH f a i r to poor fair-poor high poor
Plastic clays. CH impervious poor high poor
Organic clays. OH impervious poor high poor

T h e p l a s t i c i t y of soils is another p r o p e r t y w h i c h c a n be used as a

c l a s s i f i c a t i o n c r i t e r i o n . T h e p l a s t i c i t y index is defined as the w a t e r c o n t e n t
range o v e r w h i c h a soil is judged to be in a ' p l a s t i c s t a t e . T h e m e a s u r e m e n t
1

of plasticity index is a c h i e v e d by t w o s e p a r a t e t e s t s on a s o i l , one to m e a s u r e

t h e l o w e r plastic l i m i t (often called the p l a s t i c l i m i t , P L ) and the other to
measure the upper, or liquid l i m i t , L L . T h e s e two w a t e r c o n t e n t s are r e f e r r e d
to as the A t t e r b e r g l i m i t s a f t e r A t t e r b e r g ( 1 9 1 1 ) , and w e r e developed f u r t h e r
 O R I G I N S A N D C L A S S I F I C A T I O N OF SOILS 9

by C a s a g r a n d e (1948). T h e plastic l i m i t is the w a t e r c o n t e n t of soil w h i c h

begins to show c r a c k i n g when rolled d o w n to a 3 m m d i a m e t e r cylinder on a
glass plate. T h e liquid l i m i t is m e a s u r e d in a s m a l l steel bowl w h i c h is
dropped repeatedly f r o m a s t a n d a r d height. W h e n a s t a n d a r d w i d t h and shape
o f g r o o v e is closed in a layer of soil after 25 blows in the d e v i c e , the soil
is judged to be at the liquid l i m i t . T h e p l a s t i c i t y index, P I , is then;

PI = L L - PL (1.2)

W h i l e the plastic and liquid l i m i t s m a y appear to have been chosen

arbitrarily for soils, they at least c o m p r i s e tests w i t h repeatable results, and
c a n s e r v e to c h a r a c t e r i z e soils as to their w a t e r holding c a p a c i t y before
b e c o m i n g liquid in behavior. F i n e g r a i n e d soils w i t h high p l a s t i c i t y indices have
a r e l a t i v e l y larger w a t e r holding c a p a c i t y (such as m o n t m o r i l l o n i t e w h i c h , in
p u r e c l a y f o r m , has a p l a s t i c i t y index of a p p r o x i m a t e l y 7 0 0 % ) , while those
w i t h generally less a c t i v e s u r f a c e a r e a , s u c h as kaolinite, have a P I as low
as 3 5 % . F o r the purposes of the unified soil c l a s s i f i c a t i o n s y s t e m , a fine
grained soil is considered highly plastic if the p l a s t i c i t y index is g r e a t e r than
5 0 % , and of low plasticity if the P I is less than 4 0 % .

1.3. S O I L PHASES

A s w a s n o t e d earlier, soils are m i x t u r e s of solid p a r t i c l e s , w a t e r and

s o l u t e s a n d air. T h e r e are s e v e r a l definitions w h i c h are usually e m p l o y e d to
denote the r e l a t i v e v o l u m e s of these phases, t o g e t h e r w i t h their ratios,
densities and the like.

F i g . 1.9. D i f f e r e n t phases in s o i l s ; (a) s c h e m a t i c of p h y s i c a l soil phases,

(b) r e l a t i v e v o l u m e s of the soil phases.
10 AGRICULTURAL E N G I N E E R I N G SOIL MECHANICS

In F i g . 1.9, the s y m b o l s used are defined as f o l l o w s .

V = the total volume of soil

Vs = the v o l u m e of all solid particles
V v = the volume of voids, including w a t e r and air = V - V = V + V
Vw = the volume of water (with solutes) a w

Va = the volume of air and other gases

Some of the c o m m o n definitions of relationships a m o n g the soil phases are

g i v e n below. T h e various densities, y, are w e i g h t per unit v o l u m e .

V o i d ratio e = V v /V
' s (1.3)

Porosity η = Vv (1.4)

D e g r e e of s a t u r a t i o n S
( W x 100% (1.5)

Weiqht of w a t e r
y W
w
=V V (1.6)

S p e c i f i c g r a v i t y of solids G g = (1.7)

Weight of solids W g = 7s s = 7w s s
V G V (1.8)

T o t a l soil weight density y = ( w s + W w,)/V = ( l + w ) W s/V

o w (1.9)

Water content by w e i g h t w = (W w / WsJ χ 1 0 0 % (1.10)

V o l u m e t r i c water content θ = (V w /V) χ 1 0 0 % (1.11)

Soil dry density = w /v = γ / d + w )

g (1.12)

S a t u r a t e d buoyant density Ύ ο υ ο ν = 7' - 7 ' w = 7' dJ r y ( s - D / s

Q G (1.13)

1.4. P R O B L E M S

1.3. A m e c h a n i c a l and h y d r o m e t e r analysis of a soil g i v e s the following

m a s s e s retained on various sieve s i z e s . C l a s s i f y the soil by (a) the
textural triangular and (b) the unified s y s t e m .

U.S. standard sieve size N o . 10 N o . 40 N o . 200 Pan

M a s s retained, g 157 330 351 2 0 1 ( 4 0 % clay)

A n s w e r : (a) Sandy l o a m (b) S W .

 ORIGINS A N D C L A S S I F I C A T I O N OF SOILS 11

1.4. Plastic and liquid l i m i t d e t e r m i n a t i o n tests are c o n d u c t e d on five s a m p l e s

e a c h o f a c l a y e y s o i l , w i t h the results s h o w n below. T h e m a s s e s g i v e n
are of each soil sample in a d r y i n g c a n i m m e d i a t e l y after each test, the
combined m a s s after drying in an o v e n at 1 0 5 C for 24 h and the e m p t y
m a s s o f e a c h d r y i n g c a n . F i n d the plastic l i m i t , liquid l i m i t and
p l a s t i c i t y index of the soil, and its c l a s s i f i c a t i o n in the unified s y s t e m .

P l a s t i c l i m i t test N o . 1 2 3 4 5
M a s s of can plus wet soil, g 30.96 29.56 30.46 29.19 28.22
M a s s of c a n plus dry s o i l , g 28.84 27.76 28.37 27.42 26.66
M a s s of drying c a n , g 19.94 20.22 19.78 20.06 20.15

L i q u i d limit test N o . 1 2 3 4 5
N u m b e r of blows 21 23 26 28 30
M a s s of c a n plus wet soil, g 85.67 96.79 93.18 83.32 92.27
M a s s of c a n plus dry s o i l , g 58.30 64.42 61.67 56.20 60.13
M a s s of drying c a n , g 20.34 20.80 19.93 21.02 19.85

Answer: P L = 24.0%, L L = 7 5 . 3 % , P I = 51.3, C H .

1.5. A s o i l h a s a void ratio of 0.90, s a t u r a t i o n 5 0 % and s p e c i f i c g r a v i t y of

solids 2.65. C a l c u l a t e the total and dry densities.

Answer: γ= 16.0 k N / m 3 , γ = 13.6 kN/m . 3

1.6. A soil has a solids s p e c i f i c g r a v i t y of 2.60. C a l c u l a t e the dry density if

the water content of the soil is 3 5 % and the degree of s a t u r a t i o n is (a)
1 0 0 % and (b) 8 0 % .

A n s w e r : (a) * y d = 18.9 k N / m , (b) 7

3
d r y = 17.7 k N / m . 3

1.7. G i v e n a void ratio of 1.02, a solids s p e c i f i c g r a v i t y 2.70 and a w a t e r

content 3 0 % , find the degree of s a t u r a t i o n , total density and dry density
of a soil.

A n s w e r : S = 7 9 % , J= 17.0 k N / m ,
3
γ. = 13.1 k N / m . 3
12 AGRICULTURAL E N G I N E E R I N G SOIL MECHANICS

Chapter 2. Soil Shear Strength

2.1. C O U L O M B ' S L A W O F F R I C T I O N A N D COHESION

For m a n y classes of m a t e r i a l , only one value of c u t t i n g or shear s t r e n g t h

n e e d s t o be specified in order to design a s t r u c t u r e f a b r i c a t e d of that
substance. M e t a l s , for e x a m p l e , are f o r m u l a t e d and m a n u f a c t u r e d to a c e r t a i n
s p e c i f i c a t i o n of tensile s t r e n g t h or m a x i m u m shear s t r e s s , and one of these
q u a n t i t i e s s u f f i c e s to a n a l y z e the s t r e n g t h and s a f e t y f a c t o r of a s t r u c t u r a l
c o m p o n e n t . If, as an illustration, a p a r t i c u l a r grade of c a r b o n steel has a
tensile yield s t r e n g t h of 300 M P a (and thus a shear yield s t r e n g t h of 150 M p a )
t h i s v a l u e will r e m a i n unchanged no m a t t e r what level of pressure is placed
on the shearing s u r f a c e within the m a t e r i a l .
Soils in general do not fall into this c a t e g o r y of m a t e r i a l . B e i n g c o m p o s e d
of mineral p a r t i c l e s w h i c h do not i n t e r a c t m e c h a n i c a l l y as do m e t a l l i c a t o m s ,
a unique value of m a x i m u m shear s t r e s s (or shear strength) cannot be g i v e n .
C o u l o m b (1776) provided the first c o m p r e h e n s i v e d e s c r i p t i o n of soil shear
s t r e n g t h . H e stated that the l i m i t of shear r e s i s t a n c e is c o m p o s e d of two
components, namely cohesion and f r i c t i o n . C o h e s i o n is that part of r e s i s t a n c e
w h i c h c a n be measured by the d i r e c t rupture of t w o parts of a body in
t e n s i o n . In other words, that is the c o m p o n e n t of shear s t r e n g t h w h i c h does
n o t depend on perpendicular pressure on the rupture s u r f a c e in the m a t e r i a l .
C o u l o m b m e a s u r e d values of cohesion by d e s t r u c t i v e tensile tests on quarry
rock f r o m the B o r d e a u x , F r a n c e area as depicted in his figure 1 ( F i g . 2.1) as
well as on b r i c k s of different ages.
Friction, on the other hand, is a process w h e r e i n shear r e s i s t a n c e depends
u p o n the perpendicular pressure on the sliding s u r f a c e . C o u l o m b cited his
c o u n t r y m a n A m o n t o n s for proof that m a n y m a t e r i a l s d e m o n s t r a t e a linear
f r i c t i o n a l behavior, that is to say shear r e s i s t a n c e is proportional to n o r m a l
pressure on a particular plane w i t h i n a m a t e r i a l body. C o u l o m b used figure 5
in F i g . 2.1 to prove that the angle of the shear failure plane in a f r i c t i o n a l
m a t e r i a l is larger than 45 degrees by half the angle of internal f r i c t i o n , as
will be demonstrated in other t e r m i n o l o g y in S e c t i o n 2.2, w h e r e a s the rupture
plane is observed at a 45 degree inclination in purely cohesive m a t e r i a l s .
Applying these c o n c e p t s of soil s t r e n g t h to e a r t h w o r k m e c h a n i c s , C o u l o m b
c a l c u l a t e d c u r v e d failure planes in soil behind retaining walls as s h o w n
s c h e m a t i c a l l y in his f i g u r e s 7 and 8. T h e s e shapes will be developed in
C h a p t e r 4 using a more e x a c t m a t h e m a t i c a l a p p r o a c h , but yielding m u c h the
s a m e results as those of C o u l o m b over 210 y e a r s ago.
I n m o d e r n s t r e n g t h of m a t e r i a l s t e r m i n o l o g y , C o u l o m b ' s law of soil shear
s t r e n g t h c a n be expressed as f o l l o w s , (see F i g . 2.2).
 SOIL S H E A R S T R E N G T H 13

. ·.«·. /•/«.«./. J - -.). ι:,.,. ;wS./Ί .ΧΡ:

Fig. 2.1. A r e p r o d u c t i o n of the o r i g i n a l i l l u s t r a t i o n s of C o u l o m b (1776)

showing (1) a tensile s t r e n g t h test on w h i t e q u a r r y r o c k , (2 and 3)
s h e a r and bending t e s t s on r o c k b e a m s , (4) the addition of f o r c e
v e c t o r s , (5) a c o m p r e s s i o n test on a m a s o n r y pillar and the angle
o f t h e f a i l u r e plane in a f r i c t i o n a l m a t e r i a l , (6) b e a m bending
s t r e s s e s and (7 and 8) a c t i v e soil f a i l u r e behind a r e t a i n i n g wall
w i t h a c u r v e d and a p p r o x i m a t e s t r a i g h t line soil f a i l u r e s u r f a c e .
14 AGRICULTURAL E N G I N E E R I N G SOIL MECHANICS

s = c + a tan</>
n (2.1)

where:
s = soil shear s t r e n g t h ( m a x i m u m shear stress)
c = c o h e s i o n , the part of s t r e n g t h independent of n o r m a l pressure
(Tn = n o r m a l stress on the sliding plane
φ = angle of internal f r i c t i o n of the m a t e r i a l .

I n E q n . 2 . 1 , the tangent of the angle of internal f r i c t i o n , t a n 0 , is the

c o e f f i c i e n t of f r i c t i o n c o m m o n l y used when c o m p u t i n g the sliding r e s i s t a n c e
of one m a t e r i a l body over another. In this a p p l i c a t i o n , the c o e f f i c i e n t is that
o f f r i c t i o n a l s t r e n g t h o n a n i n t e r n a l s u r f a c e , and is the c o n s t a n t of
proportional increase in shear s t r e n g t h w i t h increasing n o r m a l pressure on the
surface.

Normal stress, σ π

I V
\ * ^
^.Developed
shear strength, s

Soil'
internal sliding plane

F i g . 2.2. P e r p e n d i c u l a r (normal) and parallel (shear) s t r e s s e s on the internal

slip s u r f a c e of a failing soil block.

I n g e n e r a l , soils possess both of these c o m p o n e n t s of shear s t r e n g t h , but

there are special c a s e s in w h i c h only one or the other is o b s e r v e d . D r y s a n d ,
f o r i n s t a n c e , usually exhibits little or no c o h e s i o n , and is designated as a
p u r e l y f r i c t i o n a l m a t e r i a l . T h e angle of internal f r i c t i o n , φ , c a n have a
m a g n i t u d e v a r y i n g f r o m 18 to 55 degrees ( P r o c t o r , 1948), depending on the
density of the sand and the properties of its constituent p a r t i c l e s . U n d r a i n e d
saturated fine grained soils, on the other h a n d , d e m o n s t r a t e negligible f r i c t i o n
a n d h a v e a p r a c t i c a l l y constant shear s t r e n g t h r e g a r d l e s s of n o r m a l total
pressure on the failure plane. T h e shear s t r e n g t h c a n r a n g e f r o m nearly z e r o ,
f o r v e r y wet and loosely consolidated soil, to over 280 k P a for a highly
consolidated fine grained soil. T a b l e s 2.1 and 2.2 g i v e t y p i c a l values of angles
 SOIL S H E A R S T R E N G T H 15

TABLE 2 . 1 . R e l a t i v e d e n s i t y and angle of internal friction of frictional

g r a n u l a r soils ( f r o m T e n g , 1962).

Compactness V e r y loose Loose Medium Dense V e r y dense

R e l a t i v e density, % 0-15 15-35 35-65 65-85 85-100

S t a n d a r d penetration 0-4 4-10 10-30 30-50 50

r e s i s t a n c e , blows/ft

F r i c t i o n angle] φ° 25-28 28-30 30-36 36-41 41-48

U n i t m a s s , t/m?
Moist 1.5 1.8 1.9 2.1 2.1
Submerged 0.9 0.95 1.05 1.2 1.2

1
1 n c r e a s e f i v e degrees for soils c o n t a i n i n g less than 5 % fines.

TABLE 2.2. U n d r a i n e d shear s t r e n g t h of c o h e s i v e soils (Teng, 1962).

Consistency Very soft Soft Medium Stiff Very stiff Hard

U n d r a i n e d shear
strength, kPa 0-25 25-50 50-100 100-200 200-400 400

S t a n d a r d penetration
r e s i s t a n c e , blows/ft 0 2 4 8 16 32

U n i t wet m a s s , t/m? 1.6 1.7 1.9 2.0 2.1 2.2

of internal f r i c t i o n and undrained shear s t r e n g t h for f r i c t i o n a l and cohesional

s o i l s , r e s p e c t i v e l y , o v e r a r a n g e of density of particle p a c k i n g .
Other soils w h i c h c o n t a i n m i x t u r e s of c o a r s e and fine m a t e r i a l s , and w h i c h
a r e partially s a t u r a t e d w i t h w a t e r , will possess both f r i c t i o n a l and cohesive
u l t i m a t e s h e a r s t r e n g t h properties, and E q n . 2.1 should be used to calculate
t o t a l shear r e s i s t a n c e to sliding. A p p e n d i x 6 presents values of cohesion and
f r i c t i o n angle for selected soils at v a r y i n g m o i s t u r e c o n t e n t s . V a l u e s of
strength p a r a m e t e r s can be t a k e n f r o m A p p e n d i x 6 for a soil w h i c h is s i m i l a r
to o n e o f t h o s e listed. If, h o w e v e r , there is doubt whether a p a r t i c u l a r soil
c a n be c o m p a r e d to one of those in the A p p e n d i x , then shear s t r e n g t h tests
should be c o n d u c t e d on the m a t e r i a l in the l a b o r a t o r y or field (Section 2.6 or
16 AGRICULTURAL E N G I N E E R I N G SOIL MECHANICS

2.7).
W i t h the knowledge of the cohesional and f r i c t i o n a l s t r e n g t h p a r a m e t e r s
of a soil, E q n . 2.1 c a n be used directly to find the u l t i m a t e f o r c e on a plane
of a g i v e n area in a soil, if it is k n o w n that that plane is the failure s u r f a c e .
O n e s u c h simple example is the failure s u r f a c e beneath a d r i v e n lugged tire
o f a v e h i c l e . A t the m a x i m u m tire t r a c t i o n f o r c e , slip will o c c u r in the soil
o n a h o r i z o n t a l plane beneath the tire. If the tire lugs have penetrated the
soil surface, then the failure plane will be essentially a soil to soil i n t e r f a c e ,
between the m a t e r i a l trapped in the s p a c e s b e t w e e n lugs and the soil beneath.

F i g . 2.3. T h e failure plane in soil under a tractor tire at the maximum

t r a c t i o n f o r c e application.

P r o b l e m 2 . 1 . F i g . 2.3 shows a two wheel drive t r a c t o r w h i c h has a m a s s of

4000 kg, of which 7 5 % rests on the rear wheels. T h e rear driving tires are of
size 16.9-28 w i t h a loaded w i d t h of 43.2 c m and a c o n t a c t l e n g t h , L, of 66 c m
on a particular soil. T h e soil in question has s t r e n g t h properties c = 3 0 k P a and
φ = 2 5 ° . W h a t is the m a x i m u m possible h o r i z o n t a l t r a c t i o n f o r c e , H of the
m

tractor on this soil, if it a s s u m e d that the w e i g h t balance b e t w e e n front and

rear r e m a i n s the s a m e , and that c o m p l e t e soil to soil failure is caused by the
lugs on the rear tires.

I n t h i s e x a m p l e , it is possible to w o r k w i t h n o r m a l and shear pressures,

but it is perhaps s i m p l e r to multiply E q n . 2.1 by the c o n t a c t area, A , of the r

r e a r t i r e s in order to produce an equation of f o r c e s . It is a s s u m e d that the

a v e r a g e n o r m a l v e r t i c a l tire c o n t a c t pressure, σ η , multiplied by the total
contact area, A , of both rear tires, g i v e s the portion of the t r a c t o r w e i g h t ,
r

W , w h i c h r e s t s on the rear wheels.

r

Η = sA = cA + σ A tan<f> = c A + W tan φ
m r
n
r
n
η r ^ r r ^
I n t h i s c a s e , the cohesion and angle of internal f r i c t i o n of the soil are
k n o w n , t h e c o n t a c t area of the rear tires is the loaded w i d t h of e a c h
 SOIL S H E A R S T R E N G T H 17

m u l t i p l i e d by the c o n t a c t length on the g r o u n d , t i m e s two tires, and the

w e i g h t on the rear wheels is 7 5 % of the total t r a c t o r w e i g h t .

H m = 30 kPaxO.432 m x 0 . 6 6 m x 2 + 0.75x4x9.8 t a n 2 5 ° k N

= (17.1 + 13.7) k N = 30.8 kN

A t a flat boundary between a soil and another m a t e r i a l , s u c h as w o o d ,

concrete, steel or rubber, the shear s t r e n g t h is generally less than the internal
s o i l s t r e n g t h , and different p a r a m e t e r s m u s t be used. E q n . 2.2 w i t h its
d i f f e r e n t p a r a m e t e r s , adhesion c , and boundary s u r f a c e angle of f r i c t i o n , δ ,
a

is then e m p l o y e d to c a l c u l a t e sliding r e s i s t a n c e b e t w e e n the t w o bodies.

Adhesion and s u r f a c e angle of f r i c t i o n play the s a m e roles on an i n t e r f a c e as
do c o h e s i o n and angle of internal f r i c t i o n on planes w i t h i n the soil m a t e r i a l .

s = c + σ tan δ (2.2)
α Π

Appendix 6 g i v e s typical values of these t w o boundary s t r e n g t h p a r a m e t e r s

for s o m e of the soils listed t h e r e i n , w h i c h a g a i n c a n be used as rule of t h u m b
e s t i m a t e s w h e n there is a l a c k of i n f o r m a t i o n m o r e s p e c i f i c to a p a r t i c u l a r
design or a n a l y s i s c a s e .

2.2. T H E M O H R CIRCLE OF STRESSES AT A POINT

E q n . 2 . 1 of the previous S e c t i o n a l l o w s the c a l c u l a t i o n of u l t i m a t e shear

strength on an internal plane of a soil if the n o r m a l s t r e s s or pressure a c t i n g
o n t h a t plane is k n o w n b e f o r e h a n d . H o w e v e r , it is often the case that s o m e
stresses are k n o w n to be a c t i n g on c e r t a i n s u r f a c e s of a soil body w h i c h are
not coincident w i t h the failure or sliding planes. In s u c h c a s e s it is n e c e s s a r y
to be able to c a l c u l a t e s t r e s s e s on s u r f a c e s of d i f f e r e n t orientations or angles
t o t h e h o r i z o n t a l in a soil body. M o h r (1914) showed how this c a n be
a c c o m p l i s h e d in any solid m a t e r i a l so long as equilibrium (no accelerations)
c a n be m a i n t a i n e d at all points in the body c o n s i d e r e d .
O n e w a y of developing M o h r ' s idea is g i v e n below. O n e begins w i t h the
t w o m u t u a l l y perpendicular planes in a m a t e r i a l under m e c h a n i c a l loading
w h i c h have the highest and l o w e s t n o r m a l s t r e s s e s , r e s p e c t i v e l y . T h e s e are
k n o w n as the ' p r i n c i p a l planes a n d , as ν Ul be d e m o n s t r a t e d , they have no
1

s h e a r s t r e s s a c t i n g on t h e m . In g e n e r a l , all planes at other angles to the

p r i n c i p a l planes do have s o m e positive or n e g a t i v e shear s t r e s s a c t i n g on
them. I n F i g . 2.4, two principal planes are s h o w n w i t h c o m p r e s s i v e pressures,
Ο] a n d # 3 applied to t h e m . T h e c o n v e n t i o n for soil m e c h a n i c s is that
c o m p r e s s i v e n o r m a l s t r e s s e s are c o n s i d e r e d as a l g e b r a i c a l l y p o s i t i v e , since
pressures are nearly a l w a y s c o m p r e s s i v e in e a r t h w o r k s . In addition, shear s t r e s s
is c o n v e n t i o n a l l y positive if it a c t s in a c o u n t e r c l o c k w i s e sense on an element
18 AGRICULTURAL E N G I N E E R I N G SOIL MECHANICS

F i g . 2.4. S t r e s s e s at a point. E q u i l i b r i u m of a m a t e r i a l e l e m e n t and M o h r s

!

c i r c l e of stresses.

of m a t e r i a l . T h i s c o n v e n t i o n is for c o n v e n i e n c e in rendering the relative angles

o f d i f f e r e n t planes in the m a t e r i a l the s a m e d i r e c t i o n as angles between
points for those planes on M o h r ' s c i r c l e of s t r e s s e s , as will be seen below.
B e g i n n i n g w i t h the c o m p r e s s i v e s t r e s s levels on the two principal planes,
t h e c a l c u l a t i o n of n o r m a l and shear s t r e s s e s on any other plane at an angle
o f θ to the σ-| plane is c a r r i e d out by c o n s i d e r i n g a triangular free body of
m a t e r i a l bounded by the principal planes and the plane at angle θ· T h e free
b o d y h a s a length of one, and d i f f e r e n t i a l width and height, dx and dz.
E q u i l i b r i u m is then imposed on the body w h i c h m e a n s that the net force on
t h e b o d y in any direction must equal z e r o . It is convenient to choose
d i r e c t i o n s perpendicular and parallel to the plane of unknown stresses for
these f o r c e s u m m a t i o n s , and the results are s h o w n below in E q n . 2.3 to 2.4.
 SOIL S H E A R S T R E N G T H 19

P e r p e n d i c u l a r to the plane at angle 0:

a d x / c o s 0 - a^dxtan0 sin0 - (J^dxcos^ = 0

R

P a r a l l e l to the plane:

T dx/cos0 + a d x t a n 0 c o s 0
3 - ajdxs^ = 0

σ η = a^mH + a-jsin^ = + j°^-I^Jcos20 (23)

Τ = ( σ - a^sin0cos0
1 = | 1~ 3 |
σ a
s i n 2 g (2Λ)

E q n . 2.3 a n d 2.4 together happen to describe the shape of a circle if

p l o t t e d on a g r a p h of shear stress, 7, v e r s u s n o r m a l s t r e s s , σ , to the s a m e
η

scale. F i g . 2.4 s h o w s this circle in T-Gn s t r e s s s p a c e , and indicates that each

point on the circle corresponds to the c o m b i n a t i o n of n o r m a l and shear s t r e s s
on a p a r t i c u l a r plane in the m a t e r i a l body. T h e angle of the point on the
circle measured f r o m the major principal s t r e s s , tf-j, is t w i c e the angle 0 of the
actual plane w h i c h experiences these t w o s t r e s s e s m e a s u r e d f r o m the α-j plane
in p h y s i c a l s p a c e . T h e t w o principal planes are not a l w a y s h o r i z o n t a l l y and
v e r t i c a l l y oriented as they are in F i g . 2.4. F u r t h e r m o r e , they are not a l w a y s
the planes upon w h i c h stresses are initially k n o w n .

F i g . 2.5. A n e x a m p l e o f a n o r m a l a n d shear s t r e s s c o m b i n a t i o n at a point

for P r o b l e m 2.2.
20 A G R I C U L T U R A L E N G I N E E R I N G SOIL M E C H A N I C S

Problem 2.2. A n example is given in Fig. 2.5 wherein normal stresses o and zz

σχ χ are known acting on the Η and V planes perpendicular to the ζ and χ

directions in space, respectively, as well as the shear stresses T = -7χζ· The z x

particular Mohr's circle of stresses for this point can be constructed from the
stress combinations on these two mutually perpendicular planes as shown in
Fig. 2.5. The centre of the circle can be calculated as;

(σ χχ + σ )/2 = (σ + σ )/2 = (60 + 30)/2 kPa = 45 kPa

ζζ λ 3

and the radius as;

V{ xx (a
* ζζ
σ ) / 2
} 2 +
r
xl = ^ { ( 6 0 - 30)/2J + 1 0 2 2
kPa = 18.03 kPa
Then the principal stresses are equal to the normal stress at the centre
of Mohr's circle plus or minus the radius as follows.

Q = 45 ± 18.03 kPa = { g ; < » } kPa

In addition, the clockwise angle of the major principal plane, 0 1 ? from the
ζ plane can be found from the geometry of Mohr's circle as:

tan20 1 = 27 /(σ ζ χ ζ ζ - σ ) = 20/30;

χχ θ λ = 16-85°

Angles between stress combinations in Mohr's circle diagram do not always

have to be measured from the principal stress points. They are relative angles
between points on the circle, and are equal to twice the angle between planes
in physical space having the corresponding normal and shear stress
combinations acting on them. A s an example in Fig. 2.5, a point S is identified
on Mohr's circle which is the point of maximum positive shear stress (the top
of the circle) acting on any plane at any inclination in the material. This
point S is located at a relative angle 202 counterclockwise from the horizontal
Η normal and shear stresses (60,10) kPa. Thus the physical plane S which
supports the most positive (counterclockwise) shear stress in the body is
located at angle 02 from the Η plane as shown in Fig. 2.5. The magnitude of
this shear stress is the circle radius, 18.03 kPa, and the angle of its plane
from the horizontal can be calculated as follows.

20 2 = 90° - 2 0 l 5 0 2 = 28.15°

Note in Fig. 2.5 that the S point in Mohr's circle is 90° from the σ-j point,
and therefore the S plane in the material body is inclined at 45° relative to
the major principal (σ-j) plane in the same direction. Further examples of this
nature are provided for the purpose of practice at the end of this Chapter.
 SOIL S H E A R S T R E N G T H 21

2.3. T H E M O H R - C O U L O M B CIRCLE OF STRESSES AT FAILURE

The M o h r m e t h o d of finding s t r e s s e s on planes at d i f f e r e n t inclinations in

a m a t e r i a l body is especially c o n v e n i e n t w h e n one is t r y i n g to find the
stresses on a failure plane w i t h i n a s o i l . If, for e x a m p l e , the principal s t r e s s e s
a r e k n o w n on an e l e m e n t of soil that f a i l s , M o h r ' s c i r c l e c a n be c o n s t r u c t e d
o n the s h e a r - n o r m a l s t r e s s g r a p h as s h o w n in F i g . 2.6. T h e m a x i m u m shear
strength w h i c h a soil c a n exhibit is described by E q n . 2 . 1 , w h i c h c a n also be
plotted on the s t r e s s g r a p h , and is s h o w n in F i g . 2.6 as the ' f a i l u r e c r i t e r i o n 1

s t r a i g h t l i n e . T h i s line of failure shear and n o r m a l s t r e s s c o m b i n a t i o n s

i n t e r s e c t s t h e s h e a r a x i s ( n o r m a l s t r e s s equals zero) at the value of
c o h e s i o n , c, and it has a slope angle φ to the h o r i z o n t a l a x i s .

Failure strength
criterion
s = c + (7 tan0
n

F i g . 2.6. M o h r ' s circle of s t r e s s e s at a point in a soil w h i c h is f a i l i n g .

So long as the soil r e m a i n s in e q u i l i b r i u m while at the s a m e t i m e being in

a s t a t e o f s l i d i n g f a i l u r e , then the s t r e s s c o m b i n a t i o n on s o m e plane in the
m a t e r i a l m u s t m e e t the failure c r i t e r i o n , and the c i r c l e of s t r e s s e s on all
planes m u s t t o u c h the failure c r i t e r i o n line at s o m e point. T h i s point is s h o w n
a s F in F i g . 2.6, and there is a c o r r e s p o n d i n g second point, identified as F , f

o n t h e b o t t o m part of the c i r c l e . T h e shear s t r e s s e s at points F and F are 1

the s a m e e x c e p t that one has the n e g a t i v e m a g n i t u d e of the other. It is not

m e c h a n i c a l l y p e r m i t t e d for e a c h of the internal failure s t r e s s lines on the
d i a g r a m to c u t M o h r ' s c i r c l e at m o r e than one point. O t h e r w i s e the shear
stress on s o m e planes would be g r e a t e r t h a n the soil s t r e n g t h resisting shear,
a n d e x t r a f o r c e would be available to c a u s e m a s s a c c e l e r a t i o n s in the body.
T h u s the c o n d i t i o n of e q u i l i b r i u m , required for the c o n s t r u c t i o n of the M o h r
s t r e s s d i a g r a m , dictates that the c i r c l e of s t r e s s e s be tangent to the failure
c r i t e r i o n line at points F and F w h e n soil failure o c c u r s .
f
22 AGRICULTURAL E N G I N E E R I N G SOIL MECHANICS

T h i s f a c t p e r m i t s the c a l c u l a t i o n of the shear and n o r m a l s t r e s s e s on the

failure plane F, as well as the inclination of the failure plane, and additional
i n f o r m a t i o n c o n c e r n i n g the required ratios of the principal s t r e s s v a l u e s .
Because the radius A F to s t r e s s point F is perpendicular to the tangent failure
criterion line, then triangle F A O is right angled, and the angle 0f f r o m the
1

plane to the F or F failure plane c a n be derived as:

1

20 f = (180° - ^ F A O ) = (90° + φ)

0 f = 4 5 ° + φ/2 (2.5)

I t is n o t e w o r t h y that the angle of the soil internal failure plane is

independent of the cohesion portion of s t r e n g t h , and that only the angle of
i n t e r n a l f r i c t i o n g o v e r n s the attitude of the sliding plane. T h i s phenomenon
has i m p o r t a n t consequences for the d e t e r m i n a t i o n of the shapes of rupture
planes behind soil retaining walls, underneath building foundations and the like,
as will be seen in following C h a p t e r s .
Another consequence of the c o n t a c t between M o h r s c i r c l e of stresses and
!

the failure c r i t e r i o n line in F i g . 2.6 is a prescribed relation between the major

and minor principal s t r e s s e s , θ\ and σ . T h e radius of M o h r ' s c i r c l e is half of
3

the d i f f e r e n c e between the principal s t r e s s e s , and the c e n t r e A is located at

the a v e r a g e of the m a g n i t u d e s of the principal s t r e s s e s , m e a s u r e d f r o m the
graph origin, O . T h e side A O ' of the right angled triangle F A O ' is the s u m of
n o r m a l s t r e s s m a g n i t u d e s O A and O O ' . F r o m these conditions, a relationship
b e t w e e n the principal stresses at the failure state c a n be derived as s h o w n
below.

OO 1
= c/tan</> = c c o t 0 (2.6)

In the right angled triangle AFO ;f

= sin<p = (2.7)
AO' (σ + σ )/2 + c οοίφ
λ 3

C o n v e r t i n g this equation to an explicit expression for the m i n o r principal

stress;

E q n . 2.9 is k n o w n as the R a n k i n e a c t i v e earthpressure c a s e , and can be

a p p l i e d as is to find the pressure a c t i n g on s m o o t h v e r t i c a l soil retaining
walls, as will be seen in C h a p t e r 5. T h e above d e r i v a t i o n s h o w s that it is not
 SOIL S H E A R S T R E N G T H 23

n e c e s s a r y to c a l c u l a t e the actual shear and n o r m a l s t r e s s on the failure plane

in order to k n o w the r a t i o of the principal s t r e s s e s for the soil failure
c o n d i t i o n . In s o m e instances, it is not the principal planes nor the failure
p l a n e on w h i c h the applied s t r e s s e s are k n o w n , but another set of s u r f a c e s
h a v i n g both shear and n o r m a l s t r e s s e s .

-40L

F i g . 2.7. E x a m p l e 2.3 of the failure c o n d i t i o n in a purely f r i c t i o n a l soil.

P r o b l e m 2.3. T h e e x a m p l e s h o w n in F i g . 2.7 is s u c h a case in a purely

frictional s o i l . M o h r ' s c i r c l e has been c o n s t r u c t e d in the f i g u r e for the s t r e s s
c o n d i t i o n at this point in the soil, using the k n o w n s t r e s s e s on the Η and V
p l a n e s . F r o m the d i a g r a m , the angle of internal f r i c t i o n , φ, as well as the
inclination of the positive shear failure plane, 0 1f and the attitude, 0, of the
major principal s t r e s s , a-|, f r o m the h o r i z o n t a l c a n be c a l c u l a t e d as f o l l o w s .

{^} [ ° = (9 +30)721
y{< 90
" 30)/2} + 10 ] k P a =
2 2
|J1.6j k R a

φ = sin- 1
I 91.6 - 28 4) ο
\ 91.6 + 28.4/
0 = {90° + 31.8° - tan- (10/30)}/2 = 51.7°
1
1

0 = {180° + tan- (10/30)}/2 = 99.2°

1

M o h r ' s c i r c l e c a n be utilized also to find angles and s t r e s s e s of planes at

a b o u n d a r y b e t w e e n soil and another m a t e r i a l . A s an i l l u s t r a t i o n , F i g . 2.8
d e p i c t s a v e r t i c a l r e t a i n i n g wall w h i c h has a w a l l to soil f r i c t i o n angle, δ,
while the angle of internal f r i c t i o n s t r e n g t h of the soil is φ. If the soil fails
a l o n g the c u r v e d line A B s h o w n , sliding will o c c u r s i m u l t a n e o u s l y along the
wall s u r f a c e , W, and on a plane, F, w i t h i n the s o i l . In the M o h r d i a g r a m of
24 AGRICULTURAL E N G I N E E R I N G SOIL MECHANICS

Soil to wall failure

F i g . 2.8. Soil s t r e s s e s on a retaining wall during a c t i v e f a i l u r e .

Fig. 2.8, the s t r e s s e s on the internal failure s u r f a c e are indicated as point F,

while those on the wall interface are at point W. T h i s latter point is on both
t h e c i r c l e of s t r e s s c o m b i n a t i o n s a c t i n g on all planes in the soil at point B,
a n d the line of wall to soil s t r e n g t h inclined to the n o r m a l s t r e s s axis at
a n g l e - δ . P o i n t W is in the r e g i o n of n e g a t i v e shear s t r e s s because the soil
s l i d e s d o w n w a r d s along the wall at failure, and the wall e x e r t s a r e a c t i v e
u p w a r d s , or c l o c k w i s e acting shear s t r e s s onto the soil. I n addition, point W
is at the left hand intersection of the wall to soil s t r e n g t h line w i t h the
circle of stresses because the soil is p r e s u m e d to fail d o w n w a r d s in this c a s e ,
a n d the s m a l l e r n o r m a l s t r e s s o c c u r s on the v e r t i c a l plane, w i t h the larger
a c t i n g on the horizontal plane.
A t p o i n t Β in the soil, the s t r e s s e s on the h o r i z o n t a l plane are s h o w n as
p o i n t Η on M o h r ' s c i r c l e , w h i c h is at an angle 2 6 f r o m σ-j. W h e n both the
 SOIL S H E A R S T R E N G T H 25

i n t e r n a l and i n t e r f a c e s t r e n g t h lines i n t e r s e c t the n o r m a l s t r e s s axis at the

same point, Ο in F i g . 2.8, the angle 6 c a n be c a l c u l a t e d as f o l l o w s f r o m the
g e o m e t r y of the c i r c l e .

^ i ^ - 1
{*$}-*] (2J0)

A n d the slope of the soil internal failure plane, as it m e e t s the wall at Β

can be seen from the stress d i a g r a m to be θ^= 4 5 ° + φ/2 - € . A t point A on the
s o i l s u r f a c e , the major principal s t r e s s a c t s on the h o r i z o n t a l plane because
there is no shear there, and the slope of the soil failure plane is 4 5 ° + 0/2, as
in the R a n k i n e earthpressure c a s e d i s c u s s e d p r e v i o u s l y . T h e r e f o r e , when there
is a finite angle of wall to soil f r i c t i o n , that is the wall is not p e r f e c t l y
s m o o t h , the above c o n s i d e r a t i o n of s t r e s s e s using the M o h r d i a g r a m d i c t a t e s
that the failure line A B behind the wall will be c u r v e d , h a v i n g a s m a l l e r slope
at the wall b o t t o m than at the top of the soil s t r a t u m , as s h o w n in F i g . 2.8.
T h e a c t u a l pressures a c t i n g on the wall are only those on the wall plane
itself. These are s h o w n in F i g . 2.8 as ( 7 and T , perpendicular and parallel,
X X x z

respectively, to the wall s u r f a c e . is s h o w n at the angle € to the wall n o r m a l

s t r e s s , b u t it does not act on the wall plane, but rather on an internal soil
p l a n e at angle € c l o c k w i s e f r o m the wall s u r f a c e . T h e wall pressures c a n be
c a l c u l a t e d in the c a s e of soil failure if the c e n t r e of M o h r ' s c i r c l e in the
stress d i a g r a m is k n o w n , as s h o w n below. T h e a p p l i c a t i o n of these techniques
will be presented in C h a p t e r 5.

σ
χχ =
^^Y 1
' sin0cos2e} (211)

Τ χ ζ = { σ ΐ
2 ° 3
}{sin</>sin2e} (212)

2.4. T H E M E T H O D O F S T R E S S CHARACTERISTICS

M o h r ' s s t r e s s relationships, c o m b i n e d w i t h the a s s u m p t i o n of soil failure,

a l l o w the d e t e r m i n a t i o n of s t r e s s e s on any desired plane at a point in a soil
w h e r e s o m e of the s t r e s s levels are k n o w n . H o w e v e r , in m o s t e x a m p l e s of
e a r t h w o r k design the s t r e s s levels v a r y in the soil body f r o m point to point
d u e t o a p p l i e d loads and g r a v i t a t i o n a l f o r c e s . W h a t is needed is a set of
r e l a t i o n s h i p s w h i c h p e r m i t the c o m p u t a t i o n of c h a n g e s in s t r e s s levels f r o m
place to place w i t h i n a soil m a s s . T h e n M o h r ' s m e t h o d c a n be used at desired
points to c a l c u l a t e pressures on d i f f e r e n t planes.
F i g . 2.9 g i v e s the f r a m e w o r k of d e f i n i t i o n s for the d e v e l o p m e n t of
equations to d e t e r m i n e c h a n g e s in s t r e s s e s w i t h d i s t a n c e . S i n c e there are three
independent s t r e s s v a r i a b l e s , σ , ( T and T in the plane s t r e s s s i t u a t i o n s h o w n ,
χ χ zz x z

and the equations of plane e q u i l i b r i u m g i v e only t w o linear equations, in the

26 AGRICULTURAL E N G I N E E R I N G SOIL MECHANICS

F i g . 2.9. Notation for s t r e s s c h a r a c t e r i s t i c lines, £ and η, and the equilibrium

of stress gradients at a point.

χ and ζ directions, a third expression is needed to solve for the v a r i a t i o n s in

s t r e s s e s w i t h position. T h e a s s u m p t i o n for the third equation is that the soil
is in a state of shear failure over the soil v o l u m e being c o n s i d e r e d . T h i s state
is expressed in t e r m s of s t r e s s e s by E q n . 2.1 or 2.9, and also below in
E q n . 2.13 to 2.16 using the newly defined s t r e s s v a r i a b l e s of F i g . 2.9.
In Fig. 2.9, two new variables are i n t r o d u c e d . S t r e s s value Ο is the l o c a t i o n
o f t h e c e n t r e of M o h r ' s circle m e a s u r e d f r o m point O on the n o r m a l s t r e s s
1

a x i s . T h a t is the point where the C o u l o m b soil failure condition line O ' ^

 SOIL S H E A R S T R E N G T H 27

intersects that a x i s , and m a k e s Ο the hypotenuse of the right angled triangle

0 A £ . T h e o t h e r new variable is angle 0, w h i c h is the angle of the major
!

p r i n c i p a l s t r e s s , θ\ m e a s u r e d c l o c k w i s e f r o m the h o r i z o n t a l or χ a x i s . W h e n
s o i l f a i l u r e h a s been a s s u m e d , these t w o v a r i a b l e s are s u f f i c i e n t to describe
c o m p l e t e l y the stress state at a point, and the principal s t r e s s e s or stresses
on the horizontal and v e r t i c a l planes in the m a t e r i a l c a n be obtained directly
f r o m these variables using the equations below. B y e m p l o y i n g these t w o
v a r i a b l e s , the number o f p a r a m e t e r s needed to describe the state o f s t r e s s e s
a t a point has been reduced f r o m three to t w o , by utilising the a s s u m p t i o n
of the soil failure condition.

^ j =σ(1 ± sin0) - c c o t 0 =σ(1 ± sin0) - ψ (2.13)

σ χ χ = σ(1 + sin0cos20 ) - φ (2.14)

σ ζ ζ = σ ( 1 - sin</>cos20) - ψ (2.15)

r
x z = '^ζχ =^ n0sin20 s i
(2.16)

A l s o in F i g . 2.9 is s h o w n an e l e m e n t a l square of soil h a v i n g sides dx and

d z . A p p l i e d to this element are the s t r e s s e s on the v e r t i c a l and horizontal
planes, as well as the possible d i f f e r e n t i a l c h a n g e s w h i c h c a n o c c u r f r o m one
side to the other of the e l e m e n t . T h e c h a n g e s are s h o w n as partial gradients
of the stress levels multiplied by d i s t a n c e , since d i s p l a c e m e n t s are considered
separately along the χ and ζ d i r e c t i o n s .
Next, the condition o f equilibrium is i n v o k e d , as in the M o h r m e t h o d , along
the χ and ζ d i r e c t i o n s . F o r c e s , not s t r e s s e s , m u s t be added in e a c h d i r e c t i o n
to determine the c o n d i t i o n o f e q u i l i b r i u m , s o the s t r e s s o n e a c h face m u s t be
m u l t i p l i e d by the length of the f a c e , and by an a s s u m e d unit depth of the
e l e m e n t a l v o l u m e perpendicular to both the χ and ζ axes.

In the χ d i r e c t i o n :

σ dz - q dz - -RV**dxdz + T d x + tf^zXdxdz - r dx = 0
xx xx Ox ζχ σζ ζχ

S i m i l a r l y , in the ζ d i r e c t i o n :

C218)
28 AGRICULTURAL E N G I N E E R I N G SOIL MECHANICS

T h e s e t w o equilibrium equations are w r i t t e n in t e r m s of the three stress

v a r i a b l e s acting on vertical and horizontal planes in the soil. A t this point,
Eqn. 2.14 to 2.16 c a n be used to substitute the t w o s t r e s s variables, α and 0,
for the three, and result in two partial differential equations in t w o u n k n o w n s .

(l+sin</>cos20)|j + sin0sin20 | j - 2 σ sin<£ (sin20 ff-cos20 |f)= 0 (2.19)

sin0sin20|j + (ΐ-βίηφ cos20)^J + 2 σ s i n 0 (cos20 sin20|^)=7 (2.20)

In their present form, Eqn. 2.19 and 2.20 are virtually impossible to
integrate over finite χ and ζ displacements because they comprise partial
differentials of the stress variables a and 0. However, Sokolovsky (1956)
demonstrated that the two expressions can be rearranged by multiplying them
by sin(0±/>O and -cos(0±/i), respectively, with the following result.

fjcos(0±/i) + gjsin(0±/i) ± 2 a t a n 0 ^ c o s ( 0 ± / i ) + ffsin(0±/o]

= J^sin±0cos(0±/x) + cos±(/)sin(0±/>t)j (2.21)

T h e two relationships represented by E q n . 2.21 c a n now be r e c o g n i z e d as

e x p r e s s i o n s of total d e r i v a t i v e s of variables α and 0 along c e r t a i n s p e c i f i c
directions in χ and ζ space. T h e t w o directions are inclined at angles of θ μ ±

t o t h e h o r i z o n t a l χ axis. R e f e r r i n g to F i g . 2.9, these directions c a n be seen

to be t h e s a m e a s the soil failure slip lines, £ and 7J, r e s p e c t i v e l y .
M a t h e m a t i c a l l y , the two directions are k n o w n as ' c h a r a c t e r i s t i c lines , and in
1

t h e p r o b l e m at hand, total differentials of the t w o s t r e s s variables c a n be

defined only along these t w o orientations in a soil m a t e r i a l as f o l l o w s .

A l o n g £ slip lines:

£ = tan(0 + μ) (222)

da + 2atan<£d0 = 7 ( d z + tan</> dx) (2.23)

A l o n g η slip lines:

S = tan(0 - μ) (224)

da - 2 a t a n 0 d 0 = 7(dz - tan0dx) (2.25)

In the subsequent chapters, s p e c i f i c applications of the above m a t h e m a t i c a l

t e c h n i q u e will be described f o r the analysis of shallow foundation bearing
c a p a c i t y , lateral pressures on w a l l s , soil cutting and tillage and the like.
 SOIL S H E A R S T R E N G T H 29

2.5. T O T A L A N D I N T E R G R A N U L A R (EFFECTIVE) STRESSES

F i g . 2.10. I n t e r g r a n u l a r (effective) and w a t e r pressures in a s a t u r a t e d soil.

W h e n a granular soil has the voids a m o n g p a r t i c l e s s a t u r a t e d w i t h w a t e r ,

t h e n a pressure c a n exist in this liquid w h i c h , at e q u i l i b r i u m , has an equal
magnitude in all d i r e c t i o n s . F o r a c e r t a i n total n o r m a l s t r e s s level applied to
an outside s u r f a c e of the s a t u r a t e d soil body, the w a t e r pressure will support
a portion of this total load and will tend to reduce the c o n t a c t f o r c e s a m o n g
s o l i d soil p a r t i c l e s . In such a c a s e , the e f f e c t i v e i n t e r g r a n u l a r s t r e s s , w h i c h
is the a v e r a g e s u m of individual i n t e r p a r t i c l e f o r c e s per unit area, will not
e q u a l the total applied s t r e s s in the s a m e d i r e c t i o n . A s s h o w n s c h e m a t i c a l l y
in F i g . 2.10, the s u m of the w a t e r pressure w i t h i n the pore fluid and the
e f f e c t i v e i n t e r g r a n u l a r s t r e s s equals the total s t r e s s on a plane s u r f a c e in the
soil, as d e m o n s t r a t e d by T e r z a g h i (1936). T h e s i m p l e m a t h e m a t i c a l expressions
f o r this result are:

σ η = σ'
η + u (2.26)

or

σ ' η = σ η - u (2.27)

where:

(7 n = total applied n o r m a l s t r e s s on a plane s u r f a c e ,

σ η
!
= e f f e c t i v e i n t e r g r a n u l a r s t r e s s (average per unit area),

u = pore w a t e r pressure, or neutral s t r e s s .

30 AGRICULTURAL E N G I N E E R I N G SOIL MECHANICS

If effective n o r m a l s t r e s s e s are used to c a l c u l a t e the soil failure c o n d i t i o n ,

r a t h e r than total applied pressure, then the failure p a r a m e t e r s , c and φ will
be d i f f e r e n t . I n f a c t , if the pore pressure c h a n g e s in a soil, then the apparent
total soil s t r e n g t h will also c h a n g e , because the f o r c e s a m o n g , and hence the
f r i c t i o n a l r e s i s t a n c e of soil g r a i n s is altered. W h e n w a t e r pressure is present
in a g r a n u l a r soil, then the e f f e c t i v e i n t e r g r a n u l a r s t r e s s e s should be used if
p o s s i b l e , since only then will c o n s i s t e n t s t r e n g t h p a r a m e t e r s , k n o w n as the
e f f e c t i v e s t r e n g t h c o n s t a n t s , c' and φ\ be o b s e r v e d . C o u l o m b ' s soil s t r e n g t h
condition c a n be c h a n g e d to:

s
= ' + a 'tan0
c
n
!
(2.28)

Fig. 2.11. M o h r ' s circle of s t r e s s e s for a soil in the failure condition using
total and intergranular (effective) s t r e s s e s .

F i g . 2.11 s h o w s a p r i s m of cohesionless granular soil in a state of failure

under applied principal stresses, and σ , and w i t h pore pressure, u, a c t i n g in
3

t h e p o r e w a t e r . O n the a c c o m p a n y i n g s t r e s s d i a g r a m , t w o c i r c l e s have been

d r a w n , one for the total applied pressures, and the other for c a l c u l a t e d
effective s t r e s s e s . W h e n soil cohesion is z e r o , the e f f e c t i v e angle of internal
friction, </>', is the slope of the tangent f r o m the s t r e s s d i a g r a m o r i g i n to the
c i r c l e o f e f f e c t i v e stresses, and the inclination of the failure plane, 0f, is
d e t e r m i n e d a c c o r d i n g l y by substituting φ* in E q n . 2.5.
T h e s i t u a t i o n is not so simple in c o m p r e s s i b l e fine grained soils. So long
as such a m a t e r i a l is ' n o r m a l l y c o n s o l i d a t e d ' , that is c o m p r e s s e d f r o m a loose
d e n s i t y by the action of the e x i s t i n g n o r m a l pressures, then the above
e f f e c t i v e s t r e s s m e t h o d has been s h o w n to provide predictable results
 SOIL S H E A R S T R E N G T H 31

( H v o r s l e v , 1937; B j e r r u m , 1954; L a m b e and W h i t m a n , 1979). H o w e v e r a

c o m p r e s s i b l e soil c a n be in a state of o v e r c o n s o l i d a t i o n , that is it has been
c o m p r e s s e d at s o m e t i m e by a l a r g e r n o r m a l s t r e s s than is a c t i n g at the
present. A s w a t e r has drained f r o m the soil voids during c o m p r e s s i o n , the soil
p a r t i c l e s have been f o r c e d closer t o g e t h e r , and upon release of the pressure
to a s m a l l e r m a g n i t u d e , the p a r t i c l e s do not rebound to their original density.
B e c a u s e the p a r t i c l e s of fine g r a i n e d soils are v e r y s m a l l , the long range
e l e c t r o n i c f o r c e s a m o n g t h e m are r e l a t i v e l y s t r o n g , and they c a n influence
s h e a r s t r e n g t h , as well as c a n the n o r m a l e f f e c t i v e s t r e s s a c t i n g on a plane
in t h e m a t e r i a l . T h e r e f o r e , a c o m p r e s s i b l e soil c a n have t w o d i f f e r e n t
strengths even at the s a m e e f f e c t i v e c o n f i n i n g pressure, depending on whether
the soil is ' n o r m a l l y c o m p r e s s e d , or o v e r c o n s o l i d a t e d at s o m e previous t i m e .
1

Hvorslev (1937), as cited in B j e r r u m (1954) and L a m b e and W h i t m a n (1979),

p r o p o s e d a theory in w h i c h fine g r a i n e d soil s t r e n g t h is a f u n c t i o n of both
effective n o r m a l s t r e s s and particle density. F o r a s a t u r a t e d s o i l , the particle
density is reflected directly by the w a t e r c o n t e n t ( m a s s of w a t e r in the voids
per m a s s of solids), and the w a t e r c o n t e n t c a n thus be used functionally in
p l a c e o f the particle density. H v o r s l e v postulated that there c a n be defined
a 'true' e f f e c t i v e cohesion and internal f r i c t i o n angle, c ' and φ ' , w h i c h v a r y
e θ

with water c o n t e n t , or particle density, for o v e r c o n s o l i d a t e d fine grained soils.

F i g . 2.12 s h o w s three failure s t r e s s c r i t e r i o n lines on a M o h r s t r e s s d i a g r a m ,
two of which c o r r e s p o n d to o v e r c o n s o l i d a t e d soil at w a t e r c o n t e n t s w and w ,
1 2

and the third of w h i c h is used for n o r m a l l y consolidated m a t e r i a l s . A s the soil

p a r t i c l e d e n s i t y i n c r e a s e s , and the w a t e r content d e c r e a s e s , there are
i n c r e a s e d i n t e r l o c k i n g and long r a n g e f o r c e s a m o h g s m a l l particles, and the
'true' s t r e n g t h p a r a m e t e r s also i n c r e a s e , especially the c o h e s i o n t e r m as s h o w n
in F i g . 2.12.

F i g . 2.12. H v o r s l e v ' s p a r a m e t e r s f o r soil s t r e n g t h taking into account

e f f e c t i v e s t r e s s and pore w a t e r pressure.
32 AGRICULTURAL E N G I N E E R I N G SOIL MECHANICS

T h e H v o r s l e v p a r a m e t e r s are useful in describing to s o m e extent the role

o f i n t e r p a r t i c l e f o r c e s f o r c o m p r e s s e d fine grained soils, but in soil
e n g i n e e r i n g p r a c t i c e , it is m u c h more p r a c t i c a l to use the n o r m a l e f f e c t i v e
strength p a r a m e t e r s , c and φ , and to evaluate t h e m for a g i v e n soil condition
1 1

by d i r e c t m e a s u r e m e n t . T h e applications of pore pressures and e f f e c t i v e

s t r e s s e s will be seen in subsequent c h a p t e r s c o n c e r n i n g foundations and wall
earthpressures.

F i g . 2.13. E x a m p l e of a soil layer w i t h a w a t e r table for P r o b l e m 2.4.

P r o b l e m 2.4. F i g . 2.13 s h o w s a profile of a sandy soil deposit in w h i c h the

w a t e r table is 2 m f r o m the soil s u r f a c e . W h a t is the shear s t r e n g t h on a
h o r i z o n t a l plane at a depth of 5 m ?

T h e e f f e c t i v e n o r m a l s t r e s s m u s t be found on the desired plane by

s u b t r a c t i n g w a t e r pressure, u, f r o m the total s t r e s s , following E q n . 2.27 and
2 . 2 8 . T h e total v e r t i c a l s t r e s s is the s u m of w e i g h t per unit area of soil
a b o v e t h e p l a n e in question, or the s u m of the total w e i g h t densities (mass
times g r a v i t a t i o n a l attraction) multiplied by the r e s p e c t i v e heights of the dry
a n d w e t l a y e r s . T h e water pressure is the height of w a t e r above the plane
t i m e s its w e i g h t density.

σ η = 7dry x 2 m +
%at x 3 m =
^ 1 3 x 2 + 1 8 x 3
^ k P a = 8 0 , 0 k P a

u = 9.8 k N / m 3
χ 3 m = 29.4 k P a

σ ' = σ - u = (80.0 - 29.4) k P a = 50.6 k P a

η π

S h e a r s t r e n g t h , s = c + a^tanc/) = (6 + 50.6tan30°) k P a = 35.4 k P a

1 1
 SOIL S H E A R S T R E N G T H 33

2.6. L A B O R A T O R Y METHODS OF SOIL S T R E N G T H MEASUREMENT

T h e r e are r o u g h guidelines for the c o h e s i o n a l and f r i c t i o n a l s t r e n g t h

properties of t y p i c a l soils, s u c h as in T a b l e 2 . 1 , 2.2 and A p p e n d i x 6. H o w e v e r ,
there is a g r e a t v a r i a b i l i t y a m o n g the g r a i n s i z e d i s t r i b u t i o n s , m i n e r a l o g i c a l
constitutions, shapes of p a r t i c l e s and other c o m p o u n d s in soils, not to m e n t i o n
t h e c h a n g e in properties w i t h v a r y i n g m o i s t u r e c o n t e n t s . T h e r e f o r e it is
important to m e a s u r e the m e c h a n i c a l p r o p e r t i e s of a p a r t i c u l a r soil if one is
to have c o n f i d e n c e in any design p r e d i c t i o n s .
T h e r e are two principal c l a s s e s of soil s t r e n g t h m e a s u r e m e n t techniques,
n a m e l y l a b o r a t o r y and field t e s t s . E a c h of these has its benefits and
d r a w b a c k s . L a b o r a t o r y m e a s u r e m e n t s c a n in general be controlled more
carefully, the a m o u n t of w a t e r draining f r o m the soil is k n o w n m o r e precisely
a n d q u a n t i t i e s s u c h as f o r c e s and d e f o r m a t i o n s c a n be m e a s u r e d m o r e
a c c u r a t e l y . F r o m the physical point of v i e w , h o w e v e r , it is d i f f i c u l t to be
c e r t a i n that a soil s a m p l e c a n be r e m o v e d f r o m its natural l o c a t i o n in the
field and tested in the l a b o r a t o r y in e x a c t l y the s a m e s t a t e . W h e t h e r the soil
is sandy or c l a y e y , there is usually a s t r o n g possibility that its density will
c h a n g e , o r t h a t s o m e o t h e r s t r u c t u r a l a l t e r a t i o n will result f r o m the
e x c a v a t i o n of a s a m p l e and its subsequent t r a n s p o r t a t i o n to and installation
in t h e l a b o r a t o r y testing d e v i c e . T h u s in m a n y instances, it is impossible to
be c o m p l e t e l y c o n f i d e n t that the b e h a v i o r s h o w n by the l a b o r a t o r y tests
measurements will in f a c t r e f l e c t the m e c h a n i c a l p e r f o r m a n c e of the m a t e r i a l
in r e a c t i o n to in situ f o r c e s .
A d d e d to this is the f a c t that testing in the l a b o r a t o r y is generally more
time c o n s u m i n g and expensive than field m e c h a n i c a l t e s t i n g . W h e n i n f o r m a t i o n
is needed g u i c k l y , and the level of c o n t r o l and a c c u r a c y of a p a r t i c u l a r test
p r o c e d u r e in the field is adequate for the purposes, then the a d v a n t a g e s of
field t e s t s are evident. I f , h o w e v e r , m o r e c o m p l e t e i n f o r m a t i o n is needed than
c a n be provided by field d e v i c e s , then the c a r e f u l e x t r a c t i o n of soil s a m p l e s
a n d their c h a r a c t e r i z a t i o n in l a b o r a t o r y tests are d i c t a t e d . T h e details of
additional i n f o r m a t i o n and c o n t r o l w h i c h c a n be obtained in laboratory d e v i c e s
will be seen w i t h i n the d e s c r i p t i o n s of the t e s t s w h i c h follow.

2.6.1. The direct shear box.

Schematically represented in F i g . 2.14, the d i r e c t shear box is the s i m p l e s t
l a b o r a t o r y device available for the d i r e c t m e a s u r e m e n t of soil c o h e s i v e and
f r i c t i o n a l s t r e n g t h p a r a m e t e r s . Soil s a m p l e s are placed inside t w o or three
concentric round or square r i n g s , w h i c h c a n be m o v e d h o r i z o n t a l l y r e l a t i v e to
e a c h o t h e r , and a v e r t i c a l l o a d , N , is applied. T h e soil m a y be allowed to
come to a d r a i n a g e equilibrium under the load Ν if d e s i r e d . T h e n one of the
r i n g s is m o v e d r e l a t i v e l y to the other(s), usually at a c o n s t a n t speed of one
to two m m / s or so, and the required h o r i z o n t a l f o r c e , T , m e a s u r e d by
m e c h a n i c a l or electronic m e a n s .
34 AGRICULTURAL E N G I N E E R I N G SOIL MECHANICS

F i g . 2.14. Schematic d i a g r a m of a t w o ring d i r e c t shear box for soil s t r e n g t h

testing.

A s i n d i c a t e d in F i g . 2.14, the entire height of the soil s a m p l e does not

undergo e x t e n s i v e shearing s t r a i n . R a t h e r there is a zone of c o n c e n t r a t e d
d e f o r m a t i o n of unknown t h i c k n e s s around the s e p a r a t i o n plane of the r i n g s .
D u r i n g the shear process, the h o r i z o n t a l m o v e m e n t , x, of the ring can be
measured and r e c o r d e d , as well as the v e r t i c a l m o v e m e n t , z, of the top c a p .
H o w e v e r , neither of these d i s p l a c e m e n t s c a n be c o n v e r t e d to a m e a s u r e m e n t
of s t r a i n in the soil because the v o l u m e and t h i c k n e s s of the shear zone are
n o t k n o w n . N e v e r t h e l e s s , c u r v e s of shear f o r c e , T , v e r s u s increasing shear
displacement, x, in the shear zone c a n be obtained for d i f f e r e n t v e r t i c a l loads,
N , as illustrated in F i g . 2.15. In f a c t , these shear f o r c e - d i s p l a c e m e n t c u r v e s
r e f l e c t how a soil would behave on a p r e d e t e r m i n e d thin shear zone in the
field, s u c h as under a t r a c t o r tire as illustrated in P r o b l e m 2 . 1 , S e c t i o n 2 . 1 .
O n t h e f o r c e - d i s p l a c e m e n t c u r v e for e a c h v e r t i c a l l o a d , N , the failure
point F is d e t e r m i n e d , as indicated in F i g . 2.15. T h i s point is the l a r g e s t shear
f o r c e , T , or that point where the shear f o r c e v e r s u s d i s p l a c e m e n t c u r v e
i n c r e a s e s only slowly along a s t r a i g h t line, depending on the c h a r a c t e r i s t i c s
o f t h e p a r t i c u l a r direct shear d e v i c e . In order to e s t i m a t e the s t r e n g t h
p a r a m e t e r s of the soil s a m p l e s t e s t e d , the failure shear f o r c e values, T , are
p l o t t e d against the n o r m a l loads, N , as s h o w n in F i g . 2.16. T h e best fit
straight line through the points c o r r e s p o n d i n g to individual shear tests has the
s l o p e φ and intercept c A on the shear f o r c e axis, where A is the h o r i z o n t a l
c r o s s s e c t i o n a r e a of the shear box r i n g s . T h e best fit line c a n be d r a w n by
e y e , o r the shear and n o r m a l f o r c e pairs c a n be s u m m e d on a c a l c u l a t o r to
obtain c A and tan</> directly by a least squares linear r e g r e s s i o n .
 SOIL S H E A R S T R E N G T H 35

F i g . 2.15. R e s u l t s of shear f o r c e v e r s u s h o r i z o n t a l d e f o r m a t i o n m e a s u r e m e n t s
for a sandy soil in a d i r e c t shear box.

F i g . 2.16 P l o t t i n g of soil failure shear f o r c e m e a s u r e m e n t s v e r s u s v e r t i c a l

loads to find soil c o h e s i o n and f r i c t i o n angle p a r a m e t e r s .
 36 AGRICULTURAL E N G I N E E R I N G SOIL MECHANICS

Either drained or undrained shear s t r e n g t h m e a s u r e m e n t s are possible w i t h

t h i s d e v i c e . If drained tests are desired on a fine g r a i n e d soil, h o w e v e r , the
shearing m u s t be p e r f o r m e d at a s u f f i c i e n t l y slow speed to allow drainage of
e x c e s s w a t e r pressure f r o m the center of a s a m p l e by the t i m e that the
f a i l u r e shear s t r e s s is a c h i e v e d . D e p e n d i n g on the h y d r a u l i c c o n d u c t i v i t y of
t h e s o i l , this could take up to s e v e r a l d a y s for a fine clay s o i l , w h e r e a s a
f e w s e c o n d s of t i m e c a n o f t e n s u f f i c e in the case of a c o a r s e s a n d . W h e n
undrained tests are r e q u i r e d , the porous stones at the top and b o t t o m of the
s o i l s a m p l e s c a n be replaced by i m p e r m e a b l e plates, and the shear tests
p e r f o r m e d quite quickly. T h e r e is really no e f f e c t i v e w a y of m e a s u r i n g the
p o r e w a t e r pressure, nor its v a r i a t i o n w i t h l o c a t i o n in the soil s a m p l e , so a
total s t r e s s analysis must be e m p l o y e d in undrained t e s t s .

f 4
*

7
i
kPa
80 40!
CA φ=0
60
Test points 3$·
Τ, Ν c
3
4
40 20]
c-
20! 10

0 0
0 20 40 60 80 100 120 140 10 20 30 40 50 σ =
Ν, Ν
a -u,kPa
n

F i g . 2.17. R e s u l t s of a direct shear test for a s a t u r a t e d undrained soil.

F i g . 2.17 s h o w s t y p i c a l failure shear f o r c e v e r s u s v a r y i n g n o r m a l f o r c e

v a l u e s for an undrained shear box test s e r i e s on s a m p l e s of a s a t u r a t e d clay
soil. The f o r c e quantities in this plot r e f l e c t the total applied s t r e s s e s on the
s o i l , and the result indicates an apparent z e r o angle of internal f r i c t i o n . If
t h e pore pressure in e a c h test could be k n o w n , it w o u l d show that the
i n c r e a s e in n o r m a l f o r c e is balanced by a l a r g e r pore w a t e r pressure in the
s o i l , a n d the actual e f f e c t i v e n o r m a l s t r e s s on the soil failure plane is
essentially the s a m e in e a c h test. T h u s the shear s t r e n g t h is equal f o r all
n o r m a l f o r c e levels, and is defined as the undrained shear s t r e n g t h , C . T h i s
 SOIL S H E A R S T R E N G T H 37

r e s u l t c a n be applied to design c a s e s w h e r e the clay soil is at the s a m e

e f f e c t i v e c o n f i n i n g pressure as the test s a m p l e s , and w h e n it is not allowed
to d r a i n s i g n i f i c a n t l y during the t i m e period of interest.
T h e installation of g r a n u l a r soils into the d i r e c t shear box is e f f e c t e d
simply by pouring t h e m in and v i b r a t i n g or t a m p i n g t h e m to a c e r t a i n p a c k i n g
density if so desired. C o h e s i v e s o i l s , on the other h a n d , m u s t f i r s t be cut to
d i m e n s i o n s v e r y close to those of the inside of the shear box c i r c u l a r or
s q u a r e r i n g s . F o r m o s t c o m m e r c i a l l y available shear box d e v i c e s , properly
d i m e s i o n e d c u t t i n g r i n g s w i t h s h a r p e n e d edges are provided f o r this purpose.
C a r e m u s t be t a k e n , h o w e v e r , to r e d u c e the d i s t u r b a n c e to the internal
s t r u c t u r e of e a c h c o h e s i v e soil s a m p l e to a m i n i m u m during the c u t t i n g
process. O t h e r w i s e , the r e s u l t s of soil s t r e n g t h m e a s u r e m e n t in the shear t e s t s
m a y not r e f l e c t the natural s t r u c t u r e of the soil a c c u r a t e l y .

2.6.2. The triaxial test.

Cell
Top cap
Porous stone

Soil sample

Membrane

Cell fluid

Flexible tube

Porous stone
Elastic ring
Stress
model

F i g . 2.18. S c h e m a t i c d i a g r a m of the t r i a x i a l soil s t r e n g t h testing d e v i c e .

38 AGRICULTURAL E N G I N E E R I N G SOIL MECHANICS

T h e triaxial test, illustrated s c h e m a t i c a l l y in F i g . 2.18, is considerably

m o r e versatile than the direct shear box test in its ability to control soil
s t r a i n s , s t r e s s c o m b i n a t i o n s and the drainage or m e a s u r e m e n t of pore w a t e r
pressure. C y l i n d r i c a l s a m p l e s of any soil type are surrounded by a m e m b r a n e
a n d c o n f i n e d by the pressure, in the cell f l u i d . T h e s o u r c e of this cell
p r e s s u r e c a n be a liquid c o l u m n , p r e s s u r i z e d gas, m e c h a n i c a l pump or other
device. A d d i t i o n a l stress (compressive or tensile) is applied to the top of the
soil cylinder by a m o v a b l e piston, and the d i f f e r e n c e between pressures on the
top and side s u r f a c e s of the soil c y l i n d e r g e n e r a t e shear s t r e s s e s on d i f f e r e n t
p l a n e s as s h o w n in F i g . 2.4 to 2.6. B e c a u s e the cell pressure a c t s on the
piston f r o m the inside of the cell, the f o r c e , P , applied to the top cap is less !

than Ρ applied externally to the p i s t o n , as f o l l o w s .

Ρ 1
= Ρ - σ Α 3 ρ (2.29)

where A ^ i s the c r o s s sectional a r e a of the piston opening in the c e l l .

T h e n e t f o r c e P is added to the cell c o n f i n i n g pressure, and this s u m is

f

divided by the c r o s s s e c t i o n a r e a of the soil c y l i n d e r in order to c a l c u l a t e the

a v e r a g e v e r t i c a l s t r e s s applied to the s a m p l e . T h e area, h o w e v e r , c h a n g e s
d u r i n g a c o m p r e s s i o n test owing to the shortening and widening of the soil
c y l i n d e r . If the test is undrained and the soil a l m o s t s a t u r a t e d , then the
v o l u m e c h a n g e during axial c o m p r e s s i o n will be p r a c t i c a l l y nil, and the area
at any point during the test m a y be c a l c u l a t e d by the f o l l o w i n g f o r m u l a .

A = A /(i - e0 z z ) (2.30)

where
A = the soil cylinder c r o s s s e c t i o n area at any t i m e ,
A ο = the initial area,
€ = the v e r t i c a l s t r a i n of the soil s a m p l e = Δ ζ / ζ (compression).
z z 0

If the soil c h a n g e s v o l u m e during a t r i a x i a l test, and the a m o u n t of v o l u m e

c h a n g e is m e a s u r e d , then the f o l l o w i n g f o r m u l a c a n be applied.

A = V/z = ( V Q + A V ) / { z ( l - e )\
Q zz (2.31)

where
V = the soil s a m p l e v o l u m e at f a i l u r e ,
ζ = the s a m p l e height at f a i l u r e ,
V 0 = the initial soil cylinder v o l u m e ,
A V = the change in soil v o l u m e f r o m the initial value (expansion),
z = the
Q initial soil cylinder height.
 SOIL S H E A R S T R E N G T H 39

T h e a p p l i e d f o r c e Ρ m a y be increased in steps by w e i g h t s , or the top

p i s t o n c a n be displaced at a desired c o n s t a n t speed by a m e c h a n i c a l d e v i c e .
In any event, the f o r c e , P, the v e r t i c a l m o v e m e n t , Δ ζ , of the piston and the
change in soil v o l u m e , A\f, c a n all be m o n i t o r e d during a soil shear test. T h e
porous stone at the b o t t o m of the soil s a m p l e , and one possibly at the top as
w e l l , allow a c c e s s to the pore w a t e r at the ends of the s a m p l e . T h i s a c c e s s
p e r m i t s either the c o n t r o l of the d r a i n a g e of pore w a t e r before and during
shear t e s t i n g , or the m e a s u r e m e n t of s a t u r a t e d soil pore w a t e r pressure in the
u n d r a i n e d c a s e , by a g a u g e or t r a n s d u c e r w h i c h allows a l m o s t no v o l u m e
change.
A s a result of the flexibility p e r m i t t e d by the t r i a x i a l test f i x t u r e s , three
principal t y p e s of s t r e s s - s t r a i n and s t r e n g t h t e s t s are possible, n a m e l y the;

1. Consolidated D r a i n e d test ( C D ) , in w h i c h the soil s a m p l e is allowed to drain

completely and c o m e to e q u i l i b r i u m z e r o pore w a t e r pressure before shear
t e s t i n g under the cell c o n f i n i n g p r e s s u r e . A l s o , pore w a t e r is allowed to
d r a i n during a slow increase of applied f o r c e P. The v o l u m e of w a t e r
e x i t i n g c a n be m e a s u r e d to indicate the soil v o l u m e c h a n g e both before
and during shear t e s t i n g .

2. C o n s o l i d a t e d U n d r a i n e d test ( C U ) , in w h i c h the s a m p l e is drained to

equilibrium under θ$ before Ρ is applied, but w a t e r is not p e r m i t t e d to exit
the s y s t e m w h e n Ρ and shear s t r e s s e s are imposed in the soil. H o w e v e r ,
during shear tests, the pore pressure c a n be m e a s u r e d in s a t u r a t e d soils as
mentioned p r e v i o u s l y . T h e rp.te of a p p l i c a t i o n of Ρ or v e r t i c a l s t r a i n m u s t
be s l o w enough to allow the pore pressure to be t r a n s m i t t e d f r o m the
sample center to the external pressure m o n i t o r i n g device at e a c h s t a g e of
the shear p r o c e s s .

3 . U n c o n s o l i d a t e d U n d r a i n e d test ( U U ) , in w h i c h pore w a t e r is never allowed

t o f l o w f r o m the soil either w h e n the cell pressure or the additional
v e r t i c a l s t r e s s is applied. H e r e a g a i n , pore pressure c a n a l w a y s be
measured.

F i g . 2 . 1 8 s h o w s also the s t r e s s m o d e l w h i c h is a s s u m e d for the triaxial

test c o n f i g u r a t i o n . T h e cell fluid pressure c o m p r i s e s a principal s t r e s s on the
side of the soil cylinder, and it is a s s u m e d that the top and b o t t o m c a p s also
a p p l y n o r m a l s t r e s s only. F r o m m e a s u r e m e n t s during shear t e s t s , i n f o r m a t i o n
concerning the v e r t i c a l c o m p r e s s i v e or tensile s t r a i n s and the v o l u m e c h a n g e s
of s a t u r a t e d soils as a f u n c t i o n of principal s t r e s s d i f f e r e n c e c a n be obtained.
I n addition, the principal s t r e s s e s c a n be r e c o r d e d when the s a m p l e fails,
e i t h e r w i t h an a c c o m p a n y i n g visible rupture s u r f a c e , or by m o r e u n i f o r m
bulging at the m a x i m u m shear s t r e s s .
Fig. 2.19 g i v e s an e x a m p l e set of v e r t i c a l s t r a i n ( 6 = Δ ζ / ζ ) v e r s u s principal
ζ ζ 0

s t r e s s d i f f e r e n c e c u r v e s , at d i f f e r e n t cell c o n f i n i n g pressure levels, m e a s u r e d

on s a m p l e s of a particular unsaturated soil. A l s o , M o h r ' s c i r c l e s are
40 AGRICULTURAL E N G I N E E R I N G SOIL MECHANICS

F i g . 2.19. C u r v e s of principal s t r e s s d i f f e r e n c e v e r s u s v e r t i c a l soil s t r a i n in

a t r i a x i a l test for d i f f e r e n t cell c o n f i n i n g pressures, and M o h r ' s
c i r c l e s of failure s t r e s s c o m b i n a t i o n s .

c o n s t r u c t e d in s h e a r - n o r m a l s t r e s s space at the point of failure for each test,

from w h i c h the soil cohesion and angle of internal f r i c t i o n c a n be e s t i m a t e d .
F o r instance, at the point of failure during the test at 57 k P a c o n f i n i n g
p r e s s u r e , the principal s t r e s s d i f f e r e n c e ,

σ λ - σ 3 = 218 k P a , and σ γ = (218 + 57) k P a = 275 k P a

I n t h e a n a l y s i s of s t r e n g t h f r o m t r i a x i a l test results, both consolidated

u n d r a i n e d tests and those p e r f o r m e d on u n s a t u r a t e d soils c a n be handled
simply by total s t r e s s analyses as in F i g . 2.19. W h e n , h o w e v e r , pore pressures
a r e i n v o l v e d and have been m e a s u r e d , then an e f f e c t i v e s t r e s s t r e a t m e n t
should be applied as d e m o n s t r a t e d in the e x a m p l e p r o b l e m below.

P r o b l e m 2.5. T h e table below g i v e s the m e a s u r e d principal s t r e s s e s and pore

p r e s s u r e s for the undrained failure of s i m i l a r s p e c i m e n s of a s a t u r a t e d clay
soil consolidated to different c o n f i n i n g pressures ( C U tests). F i n d the e f f e c t i v e
soil c o h e s i o n and angle of internal f r i c t i o n .
 SOIL S H E A R S T R E N G T H 41

Test No. σ , kPa

3 σ ΐ9 kPa u, k P a

1 13 78 3
2 70 157 15
3 120 238 28
4 155 302 35

F i g . 2.20. P r o b l e m 2.5 c o n s t r u c t i o n of M o h r s c i r c l e s of e f f e c t i v e
f
failure
s t r e s s e s to obtain e f f e c t i v e c o h e s i o n and f r i c t i o n angle.

T h e p o r e p r e s s u r e , u, is s u b t r a c t e d f r o m both principal s t r e s s e s for e a c h

t e s t , and M o h r ' s c i r c l e s c o n s t r u c t e d using these e f f e c t i v e or intergranular
principal s t r e s s e s , as illustrated in F i g . 2.20. F o r e x a m p l e , in test N o . 1 , σ'ι =
78 - ~5 kPa = 75 kPa and σ 3 = 1 3 - 3 k P a = 10 k P a , f r o m w h i c h the first c i r c l e
!

is d r a w n in F i g . 2.20. T h e r e s u l t i n g e f f e c t i v e s t r e n g t h p a r a m e t e r s are c = 1

20 k P a a n d 0 ' = 1 6 ° .

T h e e s t i m a t i o n of s t r e n g t h p a r a m e t e r s f r o m s e t s of M o h r ' s c i r c l e s at soil
f a i l u r e , s u c h as in F i g . 2.20, c a n be a c c o m p l i s h e d by g r a p h i c a l m e a n s on a
l a r g e scale g r a p h , and the values of c o h e s i o n and f r i c t i o n angle m e a s u r e d .
A l t e r n a t i v e l y , E q n . 2.32 below, f r o m E q n . 2.9, c a n be adapted to an a n a l y t i c a l
e s t i m a t i o n of c and φ , or c and 0 ' f o r e f f e c t i v e s t r e s s e s , using the total or
f

e f f e c t i v e principal s t r e s s e s at soil f a i l u r e .

σ
3 = a
l K
a "
2 c
V^ ( 2
· 3 2 )

Sets of and σ$ value pairs at soil f a i l u r e for individual t r i a x i a l tests c a n

be used as χ and y values, r e s p e c t i v e l y , in a linear r e g r e s s i o n . T h e resulting
s l o p e is the best fit K , either total or e f f e c t i v e , f r o m w h i c h the f r i c t i o n
a

angle, ώ o r 0 ' , c a n be c a l c u l a t e d as s h o w n below, and the r e g r e s s i o n intercept

is - 2 c V i < a or -2c'VK^.
42 AGRICULTURAL E N G I N E E R I N G SOIL MECHANICS

(233)

T h e p r e p a r a t i o n of soil s a m p l e s for t r i a x i a l tests m u s t be e x e c u t e d

carefully for reliable results. E x c e p t for g r a n u l a r m a t e r i a l s , the s a m e s a m p l e
c a n n o t really be used for repeated s t r e n g t h tests owing to the irreversible
structural d a m a g e w h i c h c a n o c c u r to the soil f a b r i c by shearing and f a i l u r e .
T h i s is especially true in sensitive clay soils w h i c h s u f f e r reduced shear
s t r e n g t h w h e n their s t r u c t u r e is disturbed. T h e only r e c o u r s e for multiple
t r i x i a l tests is to obtain several s a m p l e s of s u c h a soil w h i c h are as s i m i l a r
as possible, and as little disturbed f r o m their in situ condition as is feasible.

Fig. 2.21. Soil lathe for shaping c y l i n d r i c a l s a m p l e s of c o h e s i v e soil for the

t r i a x i a l test, and a mold for holding cohesionless s a m p l e s before
a v a c u u m c a n be applied internally.

For cohesive soils, the c y l i n d r i c a l test s a m p l e s can be prepared by c u t t i n g

t h e i r shape on a soil lathe w i t h a thin wire k n i f e , F i g . 2 . 2 1 , and they will
r e t a i n their shape during installation in the test m a c h i n e . C o h e s i o n l e s s soils,
however, will not stand up in the c y l i n d r i c a l shape by t h e m s e l v e s and require
s u p p o r t before the cell c o n f i n i n g pressure c a n be applied. F o r this purpose,
m e t a l m o l d s are available as depicted in F i g . 2 . 2 1 . T h e s a m p l e ' s rubber
m e m b r a n e is first placed inside the m o l d and d r a w n to the inside s u r f a c e by
m e a n s o f a s m a l l amount of v a c u u m t h r o u g h the s u c t i o n tube (mouth power
 SOIL S H E A R S T R E N G T H 43

s u f f i c e s here). A f t e r the m o l d w i t h m e m b r a n e is placed on the t r i a x i a l cell

base, the g r a n u l a r m a t e r i a l is deposited in the m o l d , either loosely or t a m p e d
and vibrated to a desired density. T h e top c a p and elastic m e m b r a n e retaining
r i n g s a r e installed next, and a s m a l l v a c u u m applied to the interior of the
s o i l t h r o u g h one of the pore w a t e r a c c e s s ports of the d e v i c e . T h i s v a c u u m
w i l l p r o v i d e s u f f i c i e n t positive e f f e c t i v e s t r e s s in the g r a n u l a r soil for it to
retain its shape until the r e m a i n d e r of the cell c o m p o n e n t s are in place, and
the required cell c o n f i n i n g pressure has been e s t a b l i s h e d .
If so desired at this point, w a t e r c a n be introduced f r o m the b o t t o m pore
water access inlet, and the air w i t h i n the soil expelled t h r o u g h the top a c c e s s ,
w h i l e still m a i n t a i n i n g a s m a l l cell c o n f i n i n g pressure to support the s a m p l e .
S u b s e q u e n t l y , the cell pressure c a n be b r o u g h t to the desired level for a
p a r t i c u l a r test, and shear testing c a n proceed n o r m a l l y under either drained
or undrained conditions w i t h the a p p l i c a t i o n of v e r t i c a l f o r c e P.

P r o b l e m 2.6. T h r e e consolidated drained t r i a x i a l tests are p e r f o r m e d on s i m i l a r

s a t u r a t e d clay soil s a m p l e s f r o m the s a m e site. T h e initial v o l u m e of all
s a m p l e s w a s 76 c m and the original height w a s 7.6 c m . T h e c r o s s s e c t i o n a l
3

a r e a o f the piston where it passes t h r o u g h the top of the t r i a x i a l cell is

1.25 c m . F r o m the m e a s u r e d r e s u l t s below at the point of failure of e a c h
2

s a m p l e , find both the total and the e f f e c t i v e c o h e s i o n and f r i c t i o n angle.

Test No. 1 2 3

σ , 3 kPa 200 300 400

Ρ, Ν 460 655 845
Δζ, cm 1.40 1.45 1.40
u, kPa 35 49 65

Ρ', Ν 435 618 793

Af, c m 2
12.3 12.4 12.3
σ
1 ' 3> σ
kPa 354 498 645
σ Λ9 kPa 554 798 1045
σ-, , 1
kPa 519 749 980
G\ 3 kPa 165 251 335

c = 19.9 k P a , φ = 2 4 . 9 ° , c 1
= 21.4 k P a , φ' = 2 7 . 5 °

E q n . 2.29 has been used to find the net f o r c e , P , applied to the top cap
f

at soil failure for e a c h of the t e s t s . T h e n E q n . 2.30 w a s used to c a l c u l a t e the

a v e r a g e c r o s s s e c t i o n a r e a in e a c h c a s e . D i v i d i n g the c y l i n d e r area into the
n e t f o r c e g i v e s the a v e r a g e principal s t r e s s d i f f e r e n c e at f a i l u r e . T h e table
a b o v e s h o w s these c a l c u l a t i o n s , t o g e t h e r w i t h the d e r i v a t i o n of e f f e c t i v e
s t r e s s e s . A l s o , the e s t i m a t i o n of total and e f f e c t i v e s t r e n g t h p a r a m e t e r s is
done, using linear r e g r e s s i o n s in the f o r m of E q n . 2.32.
44 AGRICULTURAL E N G I N E E R I N G SOIL MECHANICS

2.6.3. The consolidation test.

F i g . 2.22. F i x e d base consolidation test apparatus, or o e d o m e t e r .

T h e theory of consolidation of fine g r a i n e d soils will be described in

Chapter 4. It involves the m o v e m e n t of w a t e r in soil as increases in v e r t i c a l
c o n f i n i n g pressure cause soil p a r t i c l e s to c o m p r e s s closer t o g e t h e r . F i g . 2.22
p r o v i d e s a s c h e m a t i c illustration of a t y p i c a l c o n s o l i d a t i o n test apparatus. A
s o i l c y l i n d e r is c o m p r e s s e d by f o r c e P, and is c o n f i n e d in the h o r i z o n t a l
direction in a rigid ring. M e a s u r e m e n t s are m a d e of the s e t t l e m e n t of the top
c a p , u s u a l l y by a m e c h a n i c a l dial g a u g e to an a c c u r a c y of 0.002 m m . T h e
s e t t l e m e n t m e a s u r e m e n t s fulfil t w o purposes, f i r s t l y to c a l c u l a t e the c h a n g e
i n soil v o l u m e as force Ρ is i n c r e a s e d , and secondly to e s t i m a t e the t i m e
required for the soil to c o m e to an equilibrium v o l u m e under e a c h load level.
F o r the e s t i m a t i o n of t i m e to 1 0 0 % c o n s o l i d a t i o n under e a c h c o n s t a n t l o a d ,
the s e t t l e m e n t readings m u s t be plotted on a s e m i l o g a r i t h m i c g r a p h v e r s u s
time during the test. O n this plot, of w h i c h an e x a m p l e is s h o w n in F i g . 2.23,
the primary consolidation appears as a s t r a i g h t line. N e a r the end of p r i m a r y
c o n s o l i d a t i o n , w h e n the pore w a t e r pressures in the soil are d e c r e a s i n g close
to z e r o , the line c u r v e s to a s m a l l e r r a t e of s e t t l e m e n t until finally it
reaches a new s t r a i g h t line slope. T h i s latter period c o r r e s p o n d s to s e c o n d a r y
c o n s o l i d a t i o n , or creep. A t this t i m e the pore w a t e r is essentially at z e r o
p r e s s u r e , but there is still slow m o v e m e n t of soil p a r t i c l e s r e l a t i v e to one
another.
I t is p r i m a r y consolidation w h i c h is the principal p r o c e s s to be quantified
in t h e a p p a r a t u s . D u r i n g e a c h of the f i r s t c o n s t a n t loads in the test,
s e t t l e m e n t readings are taken w i t h t i m e and plotted v e r s u s the l o g a r i t h m of
time as in F i g . 2.23. C a s a g r a n d e (1936) described how the i n t e r s e c t i o n of the
slopes of the p r i m a r y and s e c o n d a r y c u r v e s on this g r a p h intersect at a point
w h i c h m a y be considered the t i m e of 1 0 0 % p r i m a r y c o n s o l i d a t i o n . T h i s t i m e
is shown as t-jQO i n
F i g . 2.23 as about 1500 m i n or 25 h in this e x a m p l e . W h e n
 SOIL S H E A R S T R E N G T H 45

1100 n a s D
established during a f e w trials w i t h i n c r e a s i n g loads, P, the
e e n

plotting of s e t t l e m e n t v e r s u s t i m e does not need to be repeated for all other

loads, because the t i m e r e m a i n s r e l a t i v e l y c o n s t a n t .

0.1

0.2

0.3
Settlement
A h , mm 0.4

l 0.5

0.6

0.7

1 0 100 1000 10000

T i m e , min, log s c a l e

F i g . 2.23. R e s u l t s of c h a n g e of soil height in a c o n s o l i d a t i o n test plotted

a g a i n s t t i m e on a l o g a r i t h m i c s c a l e .

Conventionally, the v o l u m e m e a s u r e m e n t used for c o n s o l i d a t i o n predictions

i s the v o i d r a t i o , e = v o l u m e of v o i d s divided by v o l u m e of solids. F o r e a c h
n e w l o a d , P, the a v e r a g e v e r t i c a l pressure is found by dividing Ρ by the
circular soil a r e a . T h e c h a n g e in void r a t i o after 1 0 0 % c o n s o l i d a t i o n for each
load is the net c h a n g e in s a m p l e height divided by one plus the void ratio at
t h e b e g i n n i n g of application of that l o a d . A g r a p h of final void ratio v e r s u s
t h e l o g a r i t h m of pressure is then p l o t t e d , as s h o w n in F i g . 2.24. T h e
s i g n i f i c a n c e of the slope of the c u r v e will be described in C h a p t e r 4.
I t is d i f f i c u l t to k n o w the v o i d r a t i o of the soil s a m p l e at the beginning
of the c o n s o l i d a t i o n test, because loading m u s t begin after the s a m p l e has
c o m e to equilibrium under a v e r y s m a l l initial l o a d . T h e procedure for
d e t e r m i n i n g void r a t i o s at the v a r i o u s loads is to quickly r e m o v e the s a m p l e
a f t e r the last load, and d e t e r m i n e its m o i s t u r e c o n t e n t by oven d r y i n g and
w e i g h i n g . T h e n , k n o w i n g the s p e c i f i c g r a v i t y of the solid p a r t i c l e s , the final
void r a t i o , e f , is c a l c u l a t e d as f o l l o w s .
46 AGRICULTURAL E N G I N E E R I N G SOIL MECHANICS

Verticle pressure p, log scale, kPa

F i g . 2.24. F i n a l consolidated soil void ratio values plotted a g a i n s t vertical

pressure on a l o g a r i t h m i c s c a l e .

e f = wG s (2.34)

where ef = the final void ratio of the soil,

w = the m o i s t u r e c o n t e n t on a dry w e i g h t basis,
G = the s p e c i f i c g r a v i t y of the solid p a r t i c l e s .
s

V o i d r a t i o values for e a c h height, h, of soil s a m p l e are then back

c a l c u l a t e d f r o m the final void r a t i o , e f , and final m e a s u r e d height, h f .

e = e + * - f h
(235)
f h (l + e )
f f

2.6.4. Compaction tests.

In Chapter 10 the theory and p r a c t i c e of soil c o m p a c t i o n will be d i s c u s s e d ,
b u t c o m p a c t i o n tests are included here together w i t h the other soil property
m e a s u r e m e n t techniques. G e n e r a l l y , a c o m p a c t i o n test is used either to
s i m u l a t e the field c o m p a c t i o n of a soil in e a r t h w o r k c o n s t r u c t i o n , or to
characterize a p a r t i c u l a r soil w i t h r e s p e c t to its in situ c o m p a c t i o n behavior.
In both c a s e s v o l u m e c h a n g e response of an unsaturated soil to loading as
a f u n c t i o n of v a r y i n g m o i s t u r e c o n t e n t is very i m p o r t a n t . T h i s i n f o r m a t i o n is
needed to predict the range of soil m o i s t u r e appropriate for c o m p a c t i o n of
 SOIL S H E A R S T R E N G T H 47

F i g . 2.25. S t a n d a r d P r o c t o r c o m p a c t i o n m o l d and h a m m e r (Soiltest Inc.).

roads, e a r t h d a m s , foundation s u b - b a s e s and the l i k e , or to r e c o m m e n d suitable

field m o i s t u r e r a n g e s for m a c h i n e r y t r a f f i c in a g r i c u l t u r a l o p e r a t i o n s .
The most popular c o m p a c t i o n test d e v i c e in N o r t h A m e r i c a is the P r o c t o r
test in either its standard or m o d i f i e d f o r m ( P r o c t o r , 1 9 3 3 ; A S T M , 1985). A s
shown in F i g . 2.25, the P r o c t o r a p p a r a t u s c o m p r i s e s a c o m p a c t i o n m o l d and a
h a m m e r . T h e m o l d , w h e n a s a m p l e is t r i m m e d to its final d i m e n s i o n s , has a
diameter of 4 inches (101.6 m m ) and height 4.584 inches (116.4 m m ) , g i v i n g a
volume of 1/30 f t or 1/1060 m 3 . T h e h a m m e r for the S t a n d a r d P r o c t o r test
3

h a s a m a s s o f 5.5 lb (2.49 kg) and a drop of 12 in (304.8 m m ) , while the

M o d i f i e d h a m m e r has a m a s s of 10 lb (4.54 kg) and a drop of 18 in (457.2 m m ) .
T h e procedure for this test is to fill the m o l d , w i t h a collar a t t a c h e d to
t h e t o p , to a p p r o x i m a t e l y one third f u l l , using g r a n u l a t e d soil at about the
desired moisture c o n t e n t . T h e n the soil s u r f a c e is i m p a c t e d u n i f o r m l y 25 t i m e s
by allowing the h a m m e r to fall f r o m its full drop height e a c h t i m e . T h e m o l d
is then filled t w o thirds full w i t h loose s o i l , i m p a c t e d a g a i n 25 t i m e s and
f i n a l l y filled and c o m p a c t e d a third t i m e . A f t e r the top collar is r e m o v e d ,
t h e top of the c o m p a c t e d soil v o l u m e is t r i m m e d w i t h a w i r e k n i f e to the
final d i m e n s i o n s of the m o l d . T h e outside of the m o l d is cleaned and the m o l d
a n d c o m p a c t e d soil therein w e i g h e d . T h r e e s a m p l e s of the c o m p a c t e d soil of
a b o u t 50 g a r e r e m o v e d f r o m the top, middle and b o t t o m r e g i o n s of the
s a m p l e in the m o l d , and are w e i g h e d , dried and r e w e i g h e d in order to
determine the a v e r a g e m o i s t u r e c o n t e n t of the s o i l . T h e test is continued by
t h o r o u g h l y m i x i n g more w a t e r w i t h the soil r e m o v e d f r o m the m o l d and
l o o s e n e d , a n d r e p e t i t i o n s o f t h e c o m p a c t i o n , w e i g h i n g and m o i s t u r e
determination procedures.
48 AGRICULTURAL E N G I N E E R I N G SOIL MECHANICS

w %

Fig. 2.26. R e s u l t s of dry density v e r s u s molding w a t e r content for the

s t a n d a r d and m o d i f i e d P r o c t o r c o m p a c t i o n tests, t o g e t h e r w i t h
calculated lines of dry densities at d i f f e r e n t degrees of s a t u r a t i o n .

T h e usual representation of the test r e s u l t s is a plot of soil dry density

v e r s u s m o i s t u r e content, s u c h as the ones depicted in F i g . 2.26 for both the
S t a n d a r d and M o d i f i e d P r o c t o r tests. T h e dry density is c a l c u l a t e d for e a c h
test repetition by s u b t r a c t i n g the w a t e r m a s s f r o m the total m a s s density, or
by the f o r m u l a ,

p
dry = TT^ ( 2
· 3 6 )

where w = m a s s of water divided by m a s s of solids.

I f t h e s p e c i f i c g r a v i t y of the solid p a r t i c l e s , G , is k n o w n , lines of

s

t h e o r e t i c a l dry density for the soil at s a t u r a t i o n levels of 1 0 0 % , 9 0 % , 8 0 %

a n d s o o n c a n be plotted on the s a m e g r a p h , as in F i g . 2.26. T h e n the
 SOIL S H E A R S T R E N G T H 49

a p p r o x i m a t e s a t u r a t i o n of the c o m p a c t e d soil c a n be e s t i m a t e d at any point

by i t s l o c a t i o n on the g r a p h in r e l a t i o n to the r e l a t i v e s a t u r a t i o n lines. T h e
t h e o r e t i c a l dry m a s s density at d i f f e r e n t m o i s t u r e c o n t e n t s and degrees of
saturation, S (= v o l u m e of w a t e r divided by v o l u m e of voids), is g i v e n by the
following formula.

Pdry =
vi/S + 1 / G q
( 2 3 7 )

In Fig. 2.26, the o p t i m u m m o i s t u r e c o n t e n t s for c o m p a c t i o n of the e x a m p l e

soil, at the energy levels of these t w o p a r t i c u l a r tests, are 1 5 % and 1 0 % , for
t h e S t a n d a r d and M o d i f i e d t e s t s , r e s p e c t i v e l y . T h e m a x i m u m densities ( 1 0 0 %
r e l a t i v e density) for the two t e s t s are 1.7 and 1.79 t/m3. M a x i m u m density,
a n d r e l a t i v e densities less t h a n 1 0 0 % of the m a x i m u m , a l w a y s m u s t be
r e f e r r e d to the precise test w h i c h has been e m p l o y e d to d e t e r m i n e t h e m .
T h e S t a n d a r d P r o c t o r test, developed in the 1 9 3 0 % w a s designed to
s i m u l a t e the field input energy of a n a v e r a g e kneading c o m p a c t i o n m a c h i n e
used at that t i m e in road or e a r t h d a m c o n s t r u c t i o n . L a t e r , w i t h the advent
o f l a r g e r c o n s t r u c t i o n m a c h i n e s , the M o d i f i e d test w a s proposed to g i v e
compaction r e s u l t s m o r e appropriate to the l a r g e r input e n e r g i e s of the b i g g e r
and h e a v i e r equipment. O t h e r s i m i l a r tests are used w i t h d i f f e r e n t m a s s e s of
h a m m e r a n d n u m b e r of b l o w s per soil l a y e r . F o r e x a m p l e , the s t a n d a r d
A A S H O test uses the s a m e s i z e of m o l d , but s p e c i f i e s 12 blows for each of
f i v e l a y e r s in the m o l d , w i t h a h a m m e r h a v i n g 4.54 k g m a s s and a 457 m m
d r o p . T h e m o d i f i e d A A S H O test uses 55 b l o w s per e a c h of f i v e l a y e r s w i t h
t h e s a m e h a m m e r . In g e n e r a l , both of these tests will produce a m a x i m u m
density higher than that of the S t a n d a r d P r o c t o r p r o c e d u r e .
S t a t i c tests c a n also be p e r f o r m e d on u n s a t u r a t e d soils in order to
c h a r a c t e r i z e t h e i r b e h a v i o r under m o r e steady loads in the f i e l d . T h e
c o n s o l i d o m e t e r (Section 2.6.3) or a s i m i l a r a p p a r a t u s m a y be used for this
purpose. T h e v o l u m e c h a n g e under r e p e a t e d i n c r e a s e s in v e r t i c a l pressure c a n
be m o n i t o r e d by m e a s u r i n g the v e r t i c a l m o v e m e n t of the top p i s t o n , as is
d o n e i n the c o n s o l i d a t i o n test. A l t e r n a t i v e l y , v a r i o u s single quantities of
p r e s s u r e c a n be applied to loose u n s a t u r a t e d soil s a m p l e s , and the w e i g h t ,
density and m o i s t u r e content of e a c h s p e c i m e n d e t e r m i n e d subsequently. S t a t i c
tests of this nature are m o r e suitably m a t c h e d to the c o n d i t i o n s undergone by
t o p s o i l due to the a c t i o n s of steady s u r f a c e loads or slowly m o v i n g v e h i c l e s
and the l i k e .
I t w i l l be noted in C h a p t e r 10 that both c o m p r e s s i v e s t r e s s e s and shear
strain g o v e r n the degree of c o m p a c t i o n s u f f e r r e d by an u n s a t u r a t e d soil. T h i s
h a s b e e n d e m o n s t r a t e d in field e x p e r i m e n t s and in specially f a b r i c a t e d
l a b o r a t o r y d e v i c e s . H o w e v e r , c o m m e r c i a l test d e v i c e s are not available for
t h e m e a s u r e m e n t of the shear s t r a i n during the c o m p a c t i o n p r o c e s s , and the
e x p e r i e n c e gained by others m u s t be used f o r p r e d i c t i v e purposes, as will be
discussed in the appropriate S e c t i o n of C h a p t e r 6.
50 AGRICULTURAL E N G I N E E R I N G SOIL MECHANICS

2.7. F I E L D S T R E N G T H TESTS

A s m e n t i o n e d in the previous S e c t i o n , t e s t s p e r f o r m e d to m e a s u r e soil

strength p a r a m e t e r s in the field m a y not yield the s a m e degree of c o n t r o l or
a c c u r a c y as laboratory tests. H o w e v e r , they do o f f e r the a d v a n t a g e s of
g e n e r a l l y s p e e d i e r r e s u l t s , and the possibility of m e a s u r i n g m e c h a n i c a l
p r o p e r t i e s without r e m o v i n g soil f r o m its original e n v i r o n m e n t . S o m e field
s t r e n g t h tests are suitable for all types of s o i l , while others are useful only
in the case of wet c o h e s i v e soils.
S o m e of the most popular field testing d e v i c e s are s h o w n in F i g . 2.27.

TP—Ψ
1- S h e a r ring 2. Shear plate

Ν J,

Spring-*

J-Scale

Piston
4. S h e a r vane 5. Penetrometer
6. Pocket
penetrometer

F i g . 2.27. Six c o m m o n field soil s t r e n g t h testing d e v i c e s .

 SOIL S H E A R S T R E N G T H 51

T h e f i r s t three d e v i c e s identified are s i m i l a r in their principle of operation,

namely they m e a s u r e the m a x i m u m shear f o r c e on an internal h o r i z o n t a l plane
near the soil s u r f a c e . I n this r e s p e c t , these three t e s t s s i m u l a t e the mode of
s o i l f a i l u r e p r o d u c e d in t h e d i r e c t s h e a r b o x l a b o r a t o r y apparatus
( S e c t i o n 2.6.1). T h e shear r i n g and shear plate are c o n s t r u c t e d so as to
a t t e m p t to produce r e l a t i v e l y u n i f o r m levels of n o r m a l and shear s t r e s s on
t h e soil potential failure plane, w h i c h o c c u r s at the b o t t o m of the v e r t i c a l
lugs which penetrate the soil s u r f a c e . T o r q u e , T , is applied to the shear r i n g ,
and horizontal f o r c e , F, to the plate until the m a x i m u m m a g n i t u d e is achieved
when the soil fails on a h o r i z o n t a l slip plane under a p a r t i c u l a r v e r t i c a l l o a d ,
N . T h e m a x i m u m torque, T , applied to the r i n g is related to the C o u l o m b
m

soil s t r e n g t h p a r a m e t e r s by the f o l l o w i n g r e l a t i o n .

T m = ( c A + Ntan</>)r (2.38)

w h e r e A is the ring plan a r e a , and r is the a v e r a g e r i n g r a d i u s .

T h e m a x i m u m shear plate h o r i z o n t a l f o r c e , F , is; m

F m = c A + Ntan</> (2.39)

in w h i c h A is the h o r i z o n t a l plate a r e a .
I n p r a c t i c e , the shear ring is m o r e c o n v e n i e n t to operate in the field
because it is both m a n u a l l y or m e c h a n i c a l l y easier to provide a f o r c i n g torque
to the d e v i c e , than to find the a n c h o r a g e and s t r e n g t h needed to apply large
h o r i z o n t a l f o r c e s to the plate. A l t h o u g h neither the shear r i n g nor plate are
readily available for purchase, m a n y m o d e l s have been built over the y e a r s by
r e s e a r c h e r s and soil testing t e a m s . T h e y have ranged f r o m s i m p l e manual
d e v i c e s , i n w h i c h the v e r t i c a l f o r c e is p r o v i d e d by dead w e i g h t s , and the
torque or h o r i z o n t a l f o r c e applied by handles, to a u t o m a t e d and e l e c t r o n i c a l l y
m o n i t o r e d h y d r a u l i c or e l e c t r i c p o w e r e d m a c h i n e s m o u n t e d on v e h i c l e s . T h e
t y p e of d e v i c e required depends on the r e s o u r c e s a v a i l a b l e , and the n u m b e r
of m e a s u r e m e n t s to be m a d e . L a r g e r e s e a r c h institutes w i t h s u f f i c i e n t funding
o f t e n opt f o r an a u t o m a t e d v e h i c l e - m o u n t e d m o d e l , w h i l e typically
p o s t g r a d u a t e r e s e a r c h e r s w i t h l i m i t e d r e s o u r c e s are f o r c e d to build and
m a n u a l l y operate their o w n a p p a r a t u s . In the latter c a s e , the applied torque
i s g e n e r a l l y m e a s u r e d by s o m e s o r t of s p r i n g g a u g e d e v i c e . T h i s does not
imply that the a c c u r a c y of m e a s u r e m e n t s m u s t be c o m p r o m i s e d in either c a s e ,
p r o v i d e d that c a r e is taken to insert and operate the shear testing d e v i c e s
properly.

P r o b l e m 2.7. A shear ring is operated on the s u r f a c e of a m o i s t clay l o a m

field. T h e d e v i c e has a ring outside d i a m e t e r of 250 m m and inside d i a m e t e r
2 0 0 m m . N o r m a l loads of 100, 200 and 300 Ν are placed on the shear r i n g ,
and the resulting m a x i m u m levels of torque for these loads are 45.0, 50.2 and
55.5 N m , r e s p e c t i v e l y . E s t i m a t e the soil c o h e s i o n and angle of internal f r i c t i o n
on the plane of failure i m m e d i a t e l y below the shear ring l u g s .
52 AGRICULTURAL E N G I N E E R I N G SOIL MECHANICS

T h e e f f e c t i v e radius of the shear r i n g is the a v e r a g e d i a m e t e r divided by

t w o , or;

r = ( 2 5 0 + 200)mm/4 = 112.5 m m = 0.1125 m

and the a r e a of the r i n g is;

A = (250 2
- 200 )/4 m m
2
2
= 17,700 m m 2
= 0.0177 m 2

E q n . 2 . 3 8 c a n be divided by the a v e r a g e r i n g r a d i u s , r, w h i c h s h o w s that

at soil f a i l u r e ;

T /r
m = c A + Ntan</>

The three torque v a l u e s divided by r are 4 0 0 , 446 and 493 N , r e s p e c t i v e l y .

I f t h e s e three quantities are used as v a l u e s of x, and the v e r t i c a l f o r c e s as
y in a linear r e g r e s s i o n , the r e s u l t i n g i n t e r c e p t and slope are c A and tan0.
Thus;

cA = 353.3 N , c = 20.0 kPa

tan</>= 0.465, φ= 24.9°

T h e t h i r d test device in F i g . 2.27, the C o h r o n s h e a r g r a p h (Soiltest, 1976)

a l s o u l t i m a t e l y fails the soil on a h o r i z o n t a l plane w i t h r e l a t i v e l y u n i f o r m
s h e a r s t r e s s , if the soil is failed to a s u f f i c i e n t d e f o r m a t i o n . B u t the radius
t o e a c h point of shear s t r e s s c a n n o t be a p p r o x i m a t e d as a c o n s t a n t as is
a s s u m e d for the shear r i n g . T h e shear s t r e s s t i m e s radius is i n t e g r a t e d o v e r
t h e c i r c u l a r area of the soil c o n t a c t i n g cup of o v e r a l l radius, r. in order to
arrive at the torque required for a p a r t i c u l a r shear s t r e s s applied to the s o i l ,
as s h o w n in the f o r m u l a below.

Τ = /VrdA = [ΐττν ύτ
2
= 1Τ7Γγ 3
(2.40)

It is not n e c e s s a r y , by v i r t u e of the d e s i g n of the s h e a r g r a p h , to p e r f o r m

the calculations of shear s t r e s s as a f u n c t i o n of applied t o r q u e . T o g e t h e r , the
applied torque and v e r t i c a l f o r c e cause s i m u l t a n e o u s r o t a r y and v e r t i c a l
d e f o r m a t i o n s in the s h e a r g r a p h s p r i n g , w h i c h are c a l i b r a t e d to the a v e r a g e
a p p l i e d v e r t i c a l pressure and shear s t r e s s . T h e pointer, w h i c h is f i x e d to the
soil c o n t a c t i n g c u p , then m o v e s v e r t i c a l l y and r o t a t i o n a l l y w i t h r e s p e c t to the
u p p e r b a r r e l of the d e v i c e . A n d on this c y l i n d r i c a l b a r r e l is a f f i x e d a sheet
of pressure s e n s i t i v e g r a p h paper, already c a l i b r a t e d to g i v e r e a d i n g s of shear
stress on the soil (on the h o r i z o n t a l axis) v e r s u s n o r m a l s t r e s s (on the v e r t i c a l
a x i s as v i e w e d in F i g . 2.27).
T h e p r e f e r r e d procedure for the s h e a r g r a p h test is to f i r s t insert the soil
circular cup w i t h internal lugs f i r m l y into the soil in order to ensure c o m p l e t e
 SOIL S H E A R S T R E N G T H 53

contact b e t w e e n cup and soil. T h e n hand pressure is applied v e r t i c a l l y on the

handle until the pointer m o v e s to the desired v e r t i c a l s t r e s s indication on the
graph. N e x t , while a t t e m p t i n g to m a i n t a i n c o n s t a n t v e r t i c a l f o r c e , the handle
is r o t a t e d , thus increasing the torque applied to the s o i l . O n c e the m a x i m u m
t o r q u e has been r e a c h e d , the pointer no longer m o v e s along the shear s t r e s s
d i r e c t i o n w i t h r e s p e c t to the g r a p h on the upper b a r r e l . R a t h e r , it either
r e m a i n s at a f i x e d spot in the c a s e of a soil w i t h a c o n s t a n t plastic failure

F i g . 2.28. R e s u l t s of a s e r i e s of s h e a r g r a p h t e s t s on a clay l o a m s o i l .
54 AGRICULTURAL E N G I N E E R I N G SOIL MECHANICS

strength, or declines s o m e w h a t in shear s t r e s s for a s e n s i t i v e soil w h i c h loses

strength w i t h considerable shear d e f o r m a t i o n . I n either event, the highest point
on the shear v e r s u s n o r m a l s t r e s s g r a p h identifies the point of m a x i m u m shear
s t r e n g t h of the soil, for a p a r t i c u l a r n o r m a l l o a d .
The test is then repeated at d i f f e r e n t n o r m a l pressure levels, at the s a m e
spot for a soil w i t h s t r e n g t h insensitive to d e f o r m a t i o n , or at nearby l o c a t i o n s
for a s e n s i t i v e soil. T h e n directly on the g r a p h sheet laid f l a t , a line c a n be
d r a w n t h r o u g h the points of m a x i m u m shear s t r e s s . T h i s line will be at the
slope φ to the n o r m a l s t r e s s a x i s , and will have intercept c on the shear s t r e s s
axis, as demonstrated in F i g . 2.28. T h i s result is s i m i l a r to that of the d i r e c t
shear box ( F i g . 2.16).
A s w e l l as m e a s u r i n g the internal soil s t r e n g t h , the s h e a r g r a p h c a n be
a d a p t e d to measure the s t r e n g t h properties of d i f f e r e n t m a t e r i a l s in c o n t a c t
with a soil s u r f a c e . T h e Soiltest s h e a r g r a p h , for instance, c o m e s equipped with
t w o inserts for the soil c o n t a c t i n g c u p . O n e of these is f a c e d w i t h s m o o t h
steel, and c a n be used together w i t h the c a l i b r a t e d spring and graph sheet to
find the adhesion and angle of s u r f a c e f r i c t i o n of steel on soil, just as c and
φ a r e found as described above. A l s o , an insert w i t h a m e d i u m hard rubber
f a c i n g is provided for the s a m e purpose w i t h r e s p e c t to rubber on soil
strength p a r a m e t e r s . T h e s e a t t a c h m e n t s are useful for e s t i m a t i n g the s t r e n g t h
coefficients of m e t a l tools or s m o o t h m e t a l w h e e l s or t r a c k s in c o n t a c t w i t h
soil, or a s m o o t h rubber tire or t r a c k .
The sheargraph is designed p r i m a r i l y to m e a s u r e soil s t r e n g t h at the ground
s u r f a c e . H o w e v e r , it can be adapted to e s t i m a t e properties at m o d e r a t e depths
if a careful e x c a v a t i o n is made w i t h m i n i m a l d i s t u r b a n c e to the soil s t r u c t u r e .
A l s o , s t r e n g t h m e a s u r e m e n t s c a n be m a d e on a v e r t i c a l plane in the soil by
applying the s h e a r g r a p h to v e r t i c a l sides of an e x c a v a t e d hole in the g r o u n d .
A l l t h r e e of the shear r i n g , shear plate and s h e a r g r a p h d e v i c e s m u s t be
operated in an accessible and visible l o c a t i o n , because it m u s t be ensured for
each test that the soil c o n t a c t i n g plates or cup are in f a c t in good continuous
c o n t a c t w i t h a flat soil s u r f a c e .
T h e fourth popular field s t r e n g t h testing device s h o w n in F i g . 2.27 is the
s h e a r v a n e . T h i s apparatus f a i l s soil in shear m o s t l y on a v e r t i c a l plane, and
there is no w a y in w h i c h to c o n t r o l the n o r m a l s t r e s s on this plane. It is
c o n c e i v e d for a l m o s t s a t u r a t e d c o h e s i v e soils w h i c h act in a f r i c t i o n l e s s
f a s h i o n when undrained, and is operated w i t h the standard handle at depths
o f 0 t o 3 0 c m . T h e shear s t r e s s on the failure planes is then the undrained
shear s t r e n g t h , C . If it is a s s u m e d that the soil is not s i g n i f i c a n t l y disturbed
when the shear vane is inserted to a p a r t i c u l a r depth, then the shear s t r e n g t h
measured is principally at the v e r t i c a l edges of the v a n e s , and on the b o t t o m
s u r f a c e . F o r vanes of height, h, and overall d i a m e t e r , d, this shear s t r e n g t h
C requires a turning torque Τ for c o m p l e t e soil f a i l u r e , as f o l l o w s .

Τ = 7Tcd h/2 + 7Tcd /12

2 3
(2.41)
 SOIL S H E A R S T R E N G T H 55

If the h e i g h t h of the v a n e s is m o r e t h a n t w i c e the o v e r a l l vane d i a m e t e r ,

d , t h e n the s e c o n d t e r m in the f o r m u l a a b o v e , w h i c h is derived f r o m the
s h e a r s t r e s s on the b o t t o m of the v a n e , is less than 8 % of the total torque,
a n d c a n be neglected to provide a s i m p l e r f o r m u l a . S e v e r a l c o m m e r c i a l l y
a v a i l a b l e models of shear vane have c a l i b r a t e d torque sensing s p r i n g s , and a
scale which indicates the undrained shear s t r e n g t h , C , of a wet clay d i r e c t l y .
E x t e n s i o n s rods are also a v a i l a b l e , or c a n be f a b r i c a t e d f a i r l y easily for
s h e a r v a n e s , in order to m e a s u r e the undrained shear s t r e n g t h at g r e a t e r
d e p t h s in the s o i l . W i t h o u t further p r e p a r a t i o n , a shear vane can be pressed
into the soil s u r f a c e , and undrained shear s t r e n g t h m e a s u r e d at desired depths
up to 45 c m or so. If m e a s u r e m e n t s are required deeper than that, a c l e a r a n c e
hole should be e x c a v a t e d in order to r e m o v e the adhesion of soil on the
e x t e n s i o n r o d , w h i c h would a r t i f i c i a l l y i n c r e a s e the indicated shear s t r e n g t h
o f t h e v a n e . T h i s hole c a n be m a d e w i t h a 5 c m or so d i a m e t e r auger, and
t h e shear vane subsequently inserted a f e w c e n t i m e t r e s below the b o t t o m of
t h e h o l e t o a v o i d the v o l u m e of soil w h i c h w a s disturbed by the e x c a v a t i o n
p r o c e s s ( F i g . 2.29). S u c h deep shear s t r e n g t h t e s t s are p a r t i c u l a r l y useful for
t h e d e s i g n of wide f o o t i n g s w h i c h h a v e a l a r g e depth of i n f l u e n c e , s u c h as
f o r h e a v y silos and the like. T h e y c a n be utilized also to d e t e r m i n e the
internal undrained s t r e n g t h of a slope f o r m e d of w e t c o h e s i v e soil for the
purpose of future slope s t a b i l i t y c a l c u l a t i o n s .

F i g . 2.29. T h e u s e o f an auger hole and e x t e n s i o n rods for deep undrained

shear s t r e n g t h m e a s u r e m e n t s w i t h a shear v a n e .
56 AGRICULTURAL E N G I N E E R I N G SOIL MECHANICS

F i e l d d e v i c e n u m b e r 5 in F i g , 2.27 is a p e n e t r o m e t e r . U n l i k e the
a f o r e m e n t i o n e d tests, the i n f o r m a t i o n r e c e i v e d f r o m the p e n e t r o m e t e r does
not relate to the C o u l o m b soil s t r e n g t h p a r a m e t e r s , c and φ . I n s t e a d , a single
quantity is m e a s u r e d , n a m e l y the f o r c e required to m o v e the p e n e t r o m e t e r at
a s e l e c t e d c o n s t a n t speed and a p a r t i c u l a r depth in the soil. T h i s f o r c e is
o f t e n n o r m a l i z e d by dividing by the the base area of the p e n e t r o m e t e r tip,
t o a r r i v e at the a v e r a g e applied v e r t i c a l pressure, k n o w n as the cone index.
While either the penetration f o r c e or the cone index by itself does not allow
t h e e s t i m a t i o n of soil cohesion or f r i c t i o n angle, it has been used o f t e n to
g i v e a n indication of the r e l a t i v e soil s t r e n g t h , density, root p e n e t r a t i o n ,
t r a f f i c a b i l i t y by vehicles or other design a p p l i c a t i o n . T h e s e uses of the
p e n e t r o m e t e r require extensive testing and c a l i b r a t i o n of the cone index
m e a s u r e m e n t s w i t h respect to the application d e s i r e d , but m a n y e x a m p l e s of
this procedure are available in the soil m e c h a n i c s l i t e r a t u r e .
The pocket p e n e t r o m e t e r is designed for an application d i f f e r e n t f r o m the
g e n e r a l p e n e t r o m e t e r test. A c i r c u l a r flat tipped rod is pressed into a soil
s u r f a c e up to an indicated depth. B y the theory of bearing c a p a c i t y of
f o o t i n g s on cohesive soils ( C h a p t e r 3) the required f o r c e is c o n v e r t e d to the
u n d r a i n e d shear s t r e n g t h , C , and this is indicated on the c a l i b r a t e d spring
s c a l e o n the i n s t r u m e n t . T h i s device is useful for a rapid and a p p r o x i m a t e
d e t e r m i n a t i o n of the undrained shear s t r e n g t h and bearing c a p a c i t y of shallow
c o h e s i v e undrained soils.
C o m p a r i n g the applicability of all the tests illustrated in F i g . 2.27, only
t h e shear vane and pocket p e n e t r o m e t e r are a l w a y s r e s t r i c t e d to use in
s a t u r a t e d c o h e s i v e soils. B o t h of these d e v i c e s g i v e an indication of the
u n d r a i n e d shear s t r e n g t h , C , w i t h the a s s u m p t i o n that total s t r e s s angle of
f r i c t i o n is z e r o . T h e shear r i n g , shear plate and s h e a r g r a p h c a n give drained
strength p a r a m e t e r s , provided that the soil in question has adequate hydraulic
c o n d u c t i v i t y to release developed pore w a t e r pressures over the t i m e period
of each test. E v e n for the few c e n t i m e t r e s of d i s t a n c e b e t w e e n the soil under
o n e o f t h e s e shearing d e v i c e s , it c a n take m o r e than one hour for the pore
water to m o v e and reduce the pore pressure, if the soil h y d r a u l i c c o n d u c t i v i t y
is l e s s than 10 ~ c m / s e c . B e c a u s e this is not a p r a c t i c a l t i m e delay for the
4

c o n d u c t i o n of these tests, only undrained s t r e n g t h properties will be m e a s u r e d

in s u c h soils, w h i c h c o m p r i s e m a n y c l a y s and fine silty m a t e r i a l s .
If the s a t u r a t e d h y d r a u l i c c o n d u c t i v i t y of a soil is g r e a t e r than 1 0
_ 1
cm/sec,
then only a few seconds are required for nearly all of the pore w a t e r pressure
c a u s e d by a d d e d n o r m a l s t r e s s and shear s t r a i n to m o v e a couple of
c e n t i m e t r e s f r o m the soil interior to the s u r f a c e , and drained or e f f e c t i v e
c o h e s i o n and f r i c t i o n angle c a n be e s t i m a t e d .
 SOIL S H E A R S T R E N G T H 57

2.8. PROBLEMS

2.8 A t a point in a f r i c t i o n a l soil w h i c h is u n d e r g o i n g f a i l u r e , the n o r m a l

c o m p r e s s i v e s t r e s s on the h o r i z o n t a l plane is 140 k P a and that on the
vertical plane 40 k P a . A l s o on the h o r i z o n t a l plane is a c o u n t e r c l o c k w i s e
acting shear stress of 15 k P a . F i n d the angle of internal f r i c t i o n of this
s o i l , and the angle 0f of the t w o potential rupture planes f r o m the
horizontal.

A n s w e r : φ = 3 5 . 5 ° , 0 = 54.4° (ccw), 7 1 . 1 ° (cw).

f

2.9 A series of direct shear box tests is p e r f o r m e d on a m o i s t silty soil. The

shear box is a square single r i n g d e v i c e w i t h a s a m p l e l e n g t h and w i d t h
o f 5.08 χ 5.08 c m . A t soil f a i l u r e , the f o l l o w i n g shear f o r c e s , T , were
recorded for different v e r t i c a l f o r c e s , N . F i n d the cohesion and angle of
internal f r i c t i o n of the s o i l .

Ν (Ν) 20 40 80 160 320

Τ (Ν) 31 40 59 100 175

A n s w e r : c = 8.2 k P a , φ = 2 5 . 8 ° .

2.10 A series of consolidated drained t r i a x i a l tests is p e r f o r m e d on four

e s s e n t i a l l y identical s a m p l e s of a wet silty clay soil. A l l s a m p l e s are
initially t r i m m e d to c y l i n d e r s of d i a m e t e r 3 8 . 1 m m and l e n g t h 76.2 m m .
T h e top loading piston has a d i a m e t e r of 10.16 m m where it passes
t h r o u g h the top of the c e l l . T h e results below indicate the external
p i s t o n f o r c e , P, at the points of soil f a i l u r e , and the total c h a n g e s in
h e i g h t and v o l u m e of e a c h s a m p l e during both the c o n s o l i d a t i o n and
s h e a r testing phases. F i n d the c o h e s i o n and angle of internal f r i c t i o n
of this soil.

Test N o . σ , kPa
3 Ρ, Ν Δζ, m m Δ\/, c m 3

1 70 203 -1.37 1.5

2 105 300 -1.40 -1.6
3 210 530 -1.42 -2.7
4 315 780 -1.46 -3.3

A n s w e r : c = 10.2 k P a , φ= 30.2°.
58 AGRICULTURAL E N G I N E E R I N G SOIL MECHANICS

2.11 A c o n s o l i d a t i o n t e s t is c o n d u c t e d on a s a t u r a t e d clay soil. T h e

m e a s u r e m e n t s below are the total c h a n g e in height of the s a m p l e at
v a r i o u s elapsed t i m e s a f t e r the a p p l i c a t i o n of a pressure i n c r e a s e .
E s t i m a t e the t i m e to 1 0 0 % c o n s o l i d a t i o n of this s o i l .

Time, h 0.1 0.2 0.5 1 2 5 10 20 50 100

Ah, mm 0.05 0.10 0.29 0.39 0.54 0.60 0.68 0.72 0.76 0.78

Answer: t 1 Q Q = 4 hours.

2.12 A m o d i f i e d P r o c t o r c o m p a c t i o n test is c o n d u c t e d on a clay s o i l . T h e

m a s s of the mold without top collar is 3.650 k g , and the m o l d has an
i n s i d e d i a m e t e r 101.6 m m and height 116.4 m m . F r o m the recorded
results below of c o m b i n e d m a s s of c o m p a c t e d soil and mold versus soil
w a t e r c o n t e n t on a dry m a s s basis, find (a) the o p t i m u m m o i s t u r e
content of this soil, and (b) its 1 0 0 % r e l a t i v e dry m a s s density.

w, % 5 10 15 20 25 30
T o t a l m a s s , kg 4.84 5.00 5.22 5.41 5.42 5.37

A n s w e r : (a) w = 2 0 % , (b) 1 0 0 % dry density = 1.55 t/m .

3

2.13 A n annular shear ring is e m p l o y e d to e s t i m a t e the s t r e n g t h p a r a m e t e r s

of the s u r f a c e of a clay f i e l d . T h e shear ring has an outside d i a m e t e r
of 30 c m , inside d i a m e t e r 20 c m and is f i t t e d w i t h 20 v e r t i c a l lugs of
length 2 c m . F r o m the results g i v e n below of shear ring applied torque
a t s o i l failure v e r s u s v e r t i c a l f o r c e placed on the r i n g , e s t i m a t e the
cohesion and f r i c t i o n angle of this soil. W h a t c a n be said about the
drainage conditions in the soil during the t e s t s ?

Applied force, Ν 100 200 400 800

Torque, N m 103.1 103.2 103.9 104.8

A n s w e r : c = 20.9 k P a , φ= 1.2°. Soil is essentially undrained.

 SHALLOW FOUNDATIONS 59

Chapter 3. Shallow Foundations

3.1. B E A R I N G CAPACITY

A foundation is a s t r u c t u r a l e l e m e n t w h i c h distributes a v e r t i c a l load over

a c e r t a i n soil c o n t a c t area, and a s h a l l o w f o u n d a t i o n is defined generally as
o n e w h i c h is not located deeper below the soil s u r f a c e than t w o or three
t i m e s its o w n w i d t h . T h e a p p r o a c h to the design of foundations is usually to
compute the m a x i m u m allowable a v e r a g e c o n t a c t pressure, or bearing pressure,
over the c o n t a c t area, and then to r e d u c e this pressure to a design level. T h e
m a x i m u m bearing pressure, or m a x i m u m bearing c a p a c i t y , is divided by the
' s a f e t y f a c t o r in order to a r r i v e at the design pressure. In this a p p l i c a t i o n ,
1

t h e s a f e t y f a c t o r has two principal f u n c t i o n s . F i r s t l y , it p r o t e c t s the design

f r o m e x p e r i m e n t a l error in the m e a s u r e m e n t of soil s t r e n g t h properties,
u n e x p e c t e d l o a d i n g s on the f o u n d a t i o n and the like. S e c o n d l y , by providing
lower shear s t r e s s e s in the soil than the m a x i m u m s t r e n g t h , the a c c o m p a n y i n g
s t r a i n s hopefully are reduced to a m a g n i t u d e w h i c h will not result in an
unacceptable s i n k a g e of the total s t r u c t u r e . I n g e n e r a l , a s a f e t y f a c t o r of 3.0
h a s been found to a c c o m p l i s h both of these f u n c t i o n s s a t i s f a c t o r i l y , and is a
good rule of t h u m b to follow in the absence of m o r e s p e c i f i c c r i t e r i a .

A. Punching B. Rotation

F i g . 3 . 1 . M o d e s of soil failure under a s u r f a c e f o o t i n g .

F i g . 3 . 1 s h o w s t w o c o m m o n m o d e s of f o u n d a t i o n failure under a v e r t i c a l
f o r c e , Q. If the foundation is c o n s t r a i n e d to descend in a level attitude, for
e x a m p l e by a r i g i d c o n n e c t i o n to a v e r t i c a l c o l u m n , then the foundation
punches into the soil as s h o w n in c a s e A . A f r e e standing load usually c a u s e s
a foundation to r o t a t e as in case B, s i n c e the soil tends to m o v e to one side
o f t h e f o u n d a t i o n before the other. I n f a c t the a n a l y s i s for the f o r c e w h i c h
c a u s e s incipient failure is p r a c t i c a l l y identical f o r both c a s e s .

3.1.1. Soil with small angle of friction

F i g . 3.2 p r o v i d e s a s i m p l i f i e d m e t h o d of a n a l y s i s for the u l t i m a t e bearing
capacity of a soil w h i c h is a s s u m e d to h a v e a s m a l l angle of internal f r i c t i o n .
60 AGRICULTURAL E N G I N E E R I N G SOIL MECHANICS

T h i s case is not an a c c u r a t e r e p r e s e n t a t i o n of the general s i t u a t i o n in w h i c h

a soil possesses a considerable f r i c t i o n angle, but it s e r v e s to illustrate the
general trends of s t r e s s t r a n s f e r beneath a r i g i d f o u n d a t i o n , and prepares one
for an understanding of the m o r e c o m p l e x a n a l y t i c a l c a s e s .
It is a s s u m e d in the model of F i g . 3.2 that the foundation is m u c h longer
t h a n its w i d t h , B, that the bearing p r e s s u r e , q , is distributed evenly over the
0

F i g . 3.2. A s i m p l i f i e d analysis of soil failure at the u l t i m a t e bearing c a p a c i t y

on a m a t e r i a l w i t h a s m a l l angle of internal f r i c t i o n .

smooth c o n t a c t area w i t h the soil, and that the depth of the a c t i v e zone (soil
m o v i n g downwards) is the s a m e as that of the passive zone (soil m o v i n g up).
T o t h e s i d e s of the foundation base and at the s a m e e l e v a t i o n , there is a
vertical pressure a c t i n g in the soil a r i s i n g f r o m a depth D of o v e r b u r d e n . The
m a g n i t u d e of this pressure is:

q =γΌ (3.1)

where y %
is the e f f e c t i v e w e i g h t density of the soil above the f o u n d a t i o n .

W h e n t h e soil fails beneath the f o u n d a t i o n , slip lines are g e n e r a t e d as

s h o w n t h r o u g h points A and C . A t any depth z, the v e r t i c a l pressure at a
point beneath the f o u n d a t i o n , s u c h as A , is the major principal s t r e s s w i t h a
magnitude;
 SHALLOW FOUNDATIONS 61

<7i = % y
+ z

where y- the e f f e c t i v e w e i g h t density below the foundation

= the total density of a dry or m o i s t soil,
= the buoyant density of a s a t u r a t e d soil (Section 2.4).

A t s o i l f a i l u r e , the principal s t r e s s e s at point A obey the Mohr-Coulomb

s t r e n g t h c r i t e r i o n of E q n . 2.8.

where Κ = } '
a 1 + sincp
I f it is a s s u m e d that there is p r a c t i c a l l y no s t r e s s c h a n g e b e t w e e n points
A and C , then σ at point A equals
3 at point C , since the major principal
s t r e s s c h a n g e s d i r e c t i o n b e t w e e n the t w o points. A t point C , the v e r t i c a l
s t r e s s is;

# 3 = yz + q = yz + y'D

R e l a t i n g σ$ to σ-| at point C by E q n . 2.8, and equating σ at point C to σ 1 3 at

point A , the result is;

q = γζ(Κ 2
- 1) + q K 2
+ 2cv1<~(l + Κ )
Ό ' ρ ρ ρ ρ

where Κ = 1/Κ = } l ^ + s n
02)
ρ a 1 - sin0

T a k i n g the a v e r a g e e f f e c t i v e depth of soil failure below the foundation

base as B/2, the a v e r a g e s t r e s s , q , c a n be f o r m u l a t e d as; Q

q n = (K 2
- 1)γΒ/2 + 2c\/K"(l + Κ ) + qK 2

ο ρ ' ρ ρ ρ

= (7Β/2)Νγ+ cN c + qN q (3.3)

T h e l a t t e r f o r m of E q n . 3.3 is T e r z a g h i ' s bearing c a p a c i t y equation

( T e r z a g h i , 1 9 4 3 ) . F i g . 3.3 s h o w s the v a l u e s of the Ν f a c t o r s of E q n . 3.3,
together w i t h the results of m o r e a c c u r a t e c o m p u t a t i o n s t a k i n g f r i c t i o n angle
into account by M e y e r h o f (1955) for Ny and P r a n d t l (1921) for N , w h i c h will q

be d e s c r i b e d in the f o l l o w i n g S e c t i o n s . It c a n be seen that the s i m p l e

a p p r o a c h above c o m p a r e s well to the m o r e c o m p r e h e n s i v e m e t h o d s up to
a n g l e s of internal f r i c t i o n of a p p r o x i m a t e l y 1 0 ° for N q and 2 0 ° for Ν γ . F o r
c a s e s of soils w i t h l a r g e r f r i c t i o n a n g l e s , this s i m p l i f i e d a p p r o a c h to bearing
capacity c o m p u t a t i o n s c a n n o t be j u s t i f i e d , and a m o r e c o m p r e h e n s i v e a p p r o a c h
m u s t be t a k e n .
62 AGRICULTURAL E N G I N E E R I N G SOIL MECHANICS

Fig. 3.3. V a l u e s of the Ny and Ν bearing c a p a c i t y f a c t o r s f r o m t w o s o u r c e s .

3.1.2. Prandtl's solution for smooth shallow footings

F i g . 3.4. T h e m o d e l o f P r a n d t l (1921) f o r failure of a frictional but

w e i g h t l e s s m a t e r i a l under a plate loading.
 SHALLOW FOUNDATIONS 63

A s s h o w n in F i g . 3.3, the a s s u m p t i o n o f a s m a l l angle o f internal soil

f r i c t i o n is n o t valid f o r the g e n e r a l c a s e o f f r i c t i o n a l soils. P r a n d t l (1921)
s h o w e d h o w a d i f f e r e n t s i m p l i f y i n g a s s u m p t i o n c a n be used to solve the
b e a r i n g c a p a c i t y p r o b l e m f o r g e n e r a l f r i c t i o n angles, a n d the model is
r e p r e s e n t e d in F i g . 3.4 f o r a c o n t i n u o u s s m o o t h footing i.e. a long n a r r o w
f o o t i n g h a v i n g no shear s t r e s s on the base. T h e r e is a n a c t i v e R a n k i n e soil
failure zone beneath the foundation w h i c h m o v e s d o w n w a r d s , a n d passive zones
to t h e sides w h i c h m o v e up a g a i n s t the s u r c h a r g e pressure, q, arising f r o m
the depth D o f soil above the f o u n d a t i o n base. B e t w e e n these zones is another
called the radial shear zone in w h i c h the soil r o t a t e s during failure. L i n e s O A
a n d O C w h i c h f o r m the side boundaries o f this radial shear zone are ζ slip
lines ( F i g . 2.8) h a v i n g positive shear s t r e s s , w h i l e the lower boundary f o r m e d
by the c u r v e d line A C is a n η slip line.
P r a n d t l ( 1 9 2 1 ) showed that if the soil w e i g h t in the radial shear zone is
n o t i m p o r t a n t c o m p a r e d t o the soil c o h e s i o n f o r c e along line A C , then the
s h a p e o f the boundary is a l o g spiral a s s h o w n in F i g . 3.4. I n addition, the
a s s u m p t i o n o f negligible soil density t i m e s the depth o f the zone, c o m p a r e d
t o c o h e s i o n s t r e n g t h , allows a s t r a i g h t f o r w a r d i n t e g r a t i o n o f E q n . 2.23 along
line A C , and thus the d e t e r m i n a t i o n o f the s t r e s s p a r a m e t e r , σ, at point A a s
s h o w n below. T h e angle, 0, o f the major principal s t r e s s is 0 at point C and
7Γ/2 at point A .

d a - 2 a t a n < / > d 0 = 7(dz - t a n 0 d x ) = 0 (3.4)

Y^ 7T/2/'
= 2 t a n 0 d 0 (3.5)

σ Α = a e*" c
t a n
0 (3.6)

A t point C , s t r e s s p a r a m e t e r , a , is found using E q n . 2.11 in t e r m s of the

c

p r i n c i p a l s t r e s s , #3, w h i c h is the v e r t i c a l s t r e s s at that point. T h e n # A is

calculated by E q n . 3.6 above, and derived using E q n . 2.11 a g a i n to c o n v e r t
to the major principal s t r e s s a t point A .

_ Cfo + ccotcfr _ 7d + q + ccot0Μ

f
η\
°c 1 - sin0 1 - sin<£

n _ q + 7d + c c o t O _ „ 7 T t a n d > _ Q /7d + q +ccot0 \ „ 7 T t a n 0

f

σ
Α " 1 ι sin0 " c a
- e
χ 1 - sin</> / e

I n t h e e x p r e s s i o n a b o v e , d a n d d a r e the m a x i m u m depths o f soil failure

f

b e l o w t h e midpoints o f the a c t i v e zone beneath the footing and the passive

zone, r e s p e c t i v e l y . T h e y a r e found as described below, using the a s s u m e d l o g
spiral radial shear zone boundary.

r = r e" ^ t a n
0
c
64 A G R I C U L T U R A L ENGINEERING SOIL MECHANICS

_ d _ = _S_J -ftan0l
e

cos/i sin/i\ j

d» = d tan/A e f tan<
A

T h e d e p t h of soil in the a c t i v e a n d passive failure z o n e s is not c o n s t a n t

a c r o s s t h e footing w i d t h , and v a r i e s linearly f r o m the m a x i m u m values of d
and d to zero at the foundation outer edges. T h u s the a v e r a g e soil depths are
f

o n e half of these m a x i m u m values, and the a v e r a g e footing bearing c a p a c i t y

is:

Vyfp^e^^-cot^ »*φ[{β^^-ΐ] + q

= (γΒ/2)Νγ + c N c + q N q (3.8)

A s Eqn. 3.8 indicates, this analysis results in an equation o f the s a m e f o r m

as T e r z a g h i ' s bearing c a p a c i t y f o r m u l a , E q n . 3.3, and the Ν f a c t o r s a r e ;

T h e v a l u e s given for N c and N q in E q n . 3.10 and 3.11 above are those

a c c e p t e d in engineering p r a c t i c e today, and g i v e n in m o s t textbooks on soil
m e c h a n i c s and foundations. T h e y are provided graphically in A p p e n d i x 1 of this
b o o k . T h e Ν γ m a g n i t u d e s predicted by E q n . 3.9, h o w e v e r , are too large in
c o m p a r i s o n to other theoretical models w h i c h include the e f f e c t s of shear
f o r c e s on a foundation base. T h e s e latter models, developed by T e r z a g h i
(1943), M e y e r h o f (1955) and S o k o l o v s k y (1956) are described in the next
S e c t i o n . F i g . 3.5 shows that the s m o o t h base prediction of the Ny bearing
c a p a c i t y f a c t o r ( E q n . 3.9) yields values w h i c h are about t w o to four t i m e s
h i g h e r t h a n the models w h i c h include base shear e f f e c t s . I t c a n thus be
c o n c l u d e d that the s m o o t h base Ny f a c t o r s are not s u f f i c i e n t l y c o n s e r v a t i v e
in that they indicate a larger bearing c a p a c i t y . T h e c o m p u t e d values of
M e y e r h o f a n d S o k o l o v s k y are the a c c e p t e d design quantities, and have
subsequently proved to be reasonably a c c u r a t e f o r p r a c t i c a l predictions.
 SHALLOW FOUNDATIONS 65

F i g . 3.5. Comparison of Ny b e a r i n g f a c t o r s f o r a s m o o t h f o o t i n g and a r o u g h

s u r f a c e d f o o t i n g a s c a l c u l a t e d by T e r z a g h i , M e y e r h o f and
Sokolovski.

3.1.3. Rough footing on frictional soil

A real s i t u a t i o n of a shallow f o u n d a t i o n r e s t i n g on a f r i c t i o n a l soil w i t h
weight is m o r e c o m p l e x than the p r e v i o u s m o d e l s . F i r s t l y , soil density cannot
be set to zero in the c h a r a c t e r i s t i c equations 2.21 and 2.23. In addition, there
is no justification for the a s s u m p t i o n that no shear s t r e s s e x i s t s on the footing
base. In f a c t , the equations of s t r e s s distribution under the f o o t i n g , E q n . 2.20
t o 2.23, c a n n o t be solved e x p l i c i t l y in these c o n d i t i o n s . H o w e v e r , repetitive
n u m e r i c a l c o m p u t a t i o n s c a n be m a d e by putting the c h a r a c t e r i s t i c equations
into a finite d i f f e r e n c e f o r m , and s o l v i n g for v a l u e s of s t r e s s m a g n i t u d e s and
orientations t h r o u g h a net of c h a r a c t e r i s t i c lines. S u c h a result is depicted in
F i g . 3.6(a), and results f o r f o o t i n g b e a r i n g c a p a c i t y have been obtained in this
w a y by L u n d g r e n and M o r t e n s e n (1953), M e y e r h o f (1955), S o k o l o v s k y (1956),
H a r r (1966) and others.
66 AGRICULTURAL E N G I N E E R I N G SOIL MECHANICS

Qo

(a)
Rigorous solution
for c=0; γ , 0 *0

F i g . 3.6. The pattern of soil failure as predicted (a) by s t r e s s c h a r a c t e r i s t i c s

and (b) the a p p r o x i m a t e solution of T e r z a g h i (1943).

Terzaghi (1943) showed how an a p p r o x i m a t i o n to these n u m e r i c a l solutions

c a n be a c c o m p l i s h e d . S t r a i g h t lines are used to bound the a c t i v e soil failure
zone under the f o o t i n g , s u c h as A E in F i g . 3.6(b), and the passive zone A C D .
T h e p r i n c i p a l s t r e s s e s are d e t e r m i n e d along line A E just as in the log spiral
m e t h o d of S e c t i o n 3.1.2, and r e s o l v e d into v e r t i c a l n o r m a l and h o r i z o n t a l shear
s t r e s s e s a c t i n g on the footing base. T h e a v e r a g e v e r t i c a l s t r e s s for this
assumed soil failure c o n f i g u r a t i o n is the u l t i m a t e bearing c a p a c i t y , q , and the
0

values of the corresponding bearing c a p a c i t y f a c t o r , Ny, are g i v e n in F i g . 3.5.

This s i m p l i f i e d model still yields f a c t o r s higher than the M e y e r h o f - S o k o l o v s k y
m a g n i t u d e s , but m u c h closer than the s m o o t h base model of the previous
Section.
M e y e r h o f (1955) and S o k o l o v s k y (1956) have obtained the a p p r o x i m a t e
values of the v a r i o u s bearing c a p a c i t y equation Ν f a c t o r s w h i c h are a c c e p t e d
in practice today. T h e N c and N q f a c t o r s are c a l c u l a t e d as P r a n d t l (1921) did
a s s u m i n g a w e i g h t l e s s soil. T h e v a l u e s of Ny w e r e c o m p u t e d a s s u m i n g a
c o h e s i o n l e s s soil, as in F i g . 3.6(a). I t w a s d e m o n s t r a t e d by S o k o l o v s k y (1956)
t h a t the superposition of the e f f e c t s of soil w e i g h t , cohesion and overburden
in the bearing c a p a c i t y equation, E q n . 3.3, yields c o n s e r v a t i v e results for
 SHALLOW FOUNDATIONS 67

u l t i m a t e bearing c a p a c i t y . T h u s the use of the Ν f a c t o r s , as g i v e n by

A p p e n d i x 1 , in E q n . 3.3 for v e r t i c a l bearing c a p a c i t y d e t e r m i n a t i o n s , will give
d e s i g n results for strip f o o t i n g w i d t h s w h i c h are on the s a f e side. It should
be r e m e m b e r e d a l w a y s to apply the appropriate s a f e t y f a c t o r (usually 3.0) to
r e d u c e the design pressure on a f o o t i n g f r o m the u l t i m a t e bearing c a p a c i t y ,
as mentioned previously in S e c t i o n 3 . 1 .

P r o b l e m 3 . 1 . C o n s i d e r a long n a r r o w r i g i d s t r i p f o o t i n g to be installed at a
d e p t h o f 1 m in a clay l o a m soil h a v i n g a m o i s t density of 17.6 k N / m 3 .
c=15 k P a and φ = 3 0 ° . If the strip f o o t i n g is to be designed to c a r r y a load of
500 k N per m e t r e length s a f e l y , w h a t should be the w i d t h of the f o o t i n g ?

T h e u l t i m a t e bearing s t r e n g t h of the f o o t i n g m u s t be the design pressure

( l o a d per unit length divided by the f o o t i n g width) multiplied by the s a f e t y
f a c t o r , 3.0.
q = 3x500 kN/m/B
Q

F r o m A p p e n d i x 1 , the bearing c a p a c i t y f a c t o r s are N y = 1 6 , N = 3 0 and N = 1 8 .

c q

U s i n g E q n . 3.3, the u l t i m a t e bearing c a p a c i t y is g i v e n as;

q 0 = (γΒ/2)Νγ+ cN c + qN q = ( 1 7 . 6 x l 6 B / 2 + 15x30 + 1x17.6x18) k P a

= 1500 kN/m/B

Thus 1500 k N / m = ( 1 4 1 B + 7 7 4 B ) k N / m
2

and Β = 1.52 m is the required f o o t i n g w i d t h .

3.1.4. Footings with finite length and inclined loads

—3

\/ /
V /
'111-

F i g . 3.7. The m o r e general case of a s h a l l o w f o o t i n g w i t h finite length and

an inclined l o a d .
68 A G R I C U L T U R A L E N G I N E E R I N G SOIL MECHANICS

F i g . 3.7 s h o w s a shallow footing case where the l e n g t h , L , is not

s e m i - i n f i n i t e c o m p a r e d to the w i d t h , B, but is larger than B . A l s o , the total
loading f o r c e , Q o , is not acting perpendicular to the f o o t i n g but is inclined at
an angle β to the v e r t i c a l . T h e c o m p o n e n t s of the load c a n be considered as
Η in the horizontal d i r e c t i o n , and V in the v e r t i c a l . T h e f a c t that the footing
l e n g t h is finite has the e f f e c t of increasing the u l t i m a t e bearing c a p a c i t y of
t h e f o o t i n g on cohesive soil, since there is additional shear r e s i s t a n c e to
f o o t i n g s e t t l e m e n t in the soil below the t w o ends. I n a f r i c t i o n a l soil, there
is the opposite e f f e c t , since the footing bearing pressure is spread out in two
d i m e n s i o n s at depth in the soil, and f r i c t i o n a l shear r e s i s t a n c e is r e d u c e d
c o m p a r e d to the long strip footing c a s e .
In addition, an inclination of the footing load f r o m the v e r t i c a l reduces its
m a x i m u m possible value, since it c h a n g e s the shear s t r e s s condition on the
f o o t i n g b a s e , and reorients s t r e s s d i r e c t i o n s in the subsoil. T h i s results in
shorter and w e a k e r slip planes at soil f a i l u r e , as s h o w n in F i g . 3.8.

F i g . 3.8. T h e failure of soil beneath f o o t i n g s w i t h (a) a v e r t i c a l load and (b)

an inclined load.

H a n s e n (1957) reported r e s e a r c h conducted on both of these c o m p l i c a t i o n s

in t h e c a l c u l a t i o n o f b e a r i n g c a p a c i t y . H e s u m m a r i z e d the resulting
r e c o m m e n d a t i o n s for u l t i m a t e bearing c a p a c i t y e s t i m a t i o n s as f o l l o w s .

F o r granular soils (c = 0):

ς = | Β Ν [ ΐ - 0 . 3 5] [l-1.5 Hj2
ο Ύ γ + y D N q [i + 0 . § ][l
2 + 0 .l g][l-1.5 &12)

Limitations: Β :< L , D < 15B, Η < Vtan0

 SHALLOW FOUNDATIONS 69

F o r c o h e s i v e soils ( φ = 0):

q Q = 5 c [ l + 0.2 g ] [ l + 0.2 g ] [ l - 1.3 ^ ] + yD (3.13)

Limitations: Β L L, D < 2.5B, Η < 0.4V ( β < 22°)

β°
F i g . 3.9. B e a r i n g c a p a c i t y f o r m u l a Ν f a c t o r s under inclined loads as
e s t i m a t e d by S o k o l o v s k i (1956) and B r i n c h H a n s e n (1957).

T h e t e r m s in E q n . 3.12 and 3.13 are those illustrated in F i g . 3.7 and 3.8.

S o k o l o v s k y (1956) also e x a m i n e d the question of inclination of f o o t i n g loads,
a n d a n a l y z e d the p r o b l e m by a p p r o x i m a t e s o l u t i o n s of the f o r m s h o w n in
F i g . 3 . 8 ( b ) . A c o m p a r i s o n is m a d e of these c a l c u l a t i o n s w i t h those f o r m u l a e
p r o p o s e d by H a n s e n ( E q n . 3.12 and 3.13) in F i g . 3.9 for a soil f r i c t i o n angle
o f 3 0 ° . B o t h m e t h o d s have the s a m e s t a r t i n g v a l u e s for z e r o angle of load
i n c l i n a t i o n in F i g . 3.9, and they c a n be seen to produce v e r y s i m i l a r results
for the Ny and N q t e r m s over the r a n g e of i n c l i n a t i o n s . T h e N c t e r m of
H a n s e n is g e n e r a l l y higher than S o k o l o v s k y ' s , and there is evidently a
d i f f e r e n c e in philosophy here. In f a c t , the t w o m e t h o d s would also yield
70 AGRICULTURAL E N G I N E E R I N G SOIL MECHANICS

c o m p a r a b l e results if the H/V t e r m in E q n . 3.13 w e r e multiplied by 1.64

instead of 1.30.
F o r the case of a square f o o t i n g , E q n . 3.12 and 3.13 are s i m i l a r to the
ideas proposed by T e r z a g h i (1943) in w h i c h the cohesional bearing c a p a c i t y is
i n c r e a s e d by 2 0 % over the long strip f o o t i n g , and the soil self w e i g h t t e r m
d e c r e a s e d by 2 0 % . F o r a c i r c u l a r foundation of radius r, T e r z a g h i (1943)
proposed the following f o r m u l a .

q Q = 0.6γτΝγ+ 1.2cN c + qN q (3.14)

T h e f i r s t t e r m involving soil self w e i g h t c o n t a i n s the f a c t o r 0.6r = 0 . 3 B ,

w h e r e Β is the c i r c u l a r f o o t i n g d i a m e t e r . T h i s is a s m a l l e r f a c t o r than 0.4B
p r o p o s e d for a square f o o t i n g , since the c i r c u l a r f o o t i n g has a s m a l l e r w i d t h
t o w a r d s the ends than at the center, and thus a variable depth of influence
in the soil. A s a result, the depth of influence and c o r r e s p o n d i n g soil w e i g h t
pressure are less near the edges than under the f o o t i n g c e n t r e .

3.1.5· Effect of soil water

Total density y 1 (b)

Q
W.T.

7'ii
1 I l q

7
Total density y

F i g . 3.10. S h a l l o w f o o t i n g s on a soil w i t h a w a t e r table (a) at the footing

depth and (b) above the f o o t i n g base.

If a soil is s a t u r a t e d below a shallow f o o t i n g and the w a t e r is not m o v i n g ,

then static w a t e r pressure a c t s w i t h i n the soil and one m u s t consider e f f e c t i v e
intergranular stresses in c a l c u l a t i n g f r i c t i o n a l shear r e s i s t a n c e , as discussed in
C h a p t e r 2. F i g . 3.10 d e m o n s t r a t e s t w o possible c a s e s involving w a t e r in the
subsoil. In case (a) the w a t e r table is at the base of the f o o t i n g . In a g r a n u l a r
soil, the w a t e r pressure will be nearly z e r o at that level, and the full a m o u n t
o f the s u r c h a r g e pressure, q = γ Ό , will apply there v e r t i c a l l y . H o w e v e r , the
e f f e c t i v e soil density below the w a t e r table is reduced by w a t e r pressure (the
buoyancy effect) and n o r m a l s t r e s s e s on the soil failure s u r f a c e s r e d u c e d . F o r
this c a s e , the u l t i m a t e bearing c a p a c i t y e x p r e s s i o n , E q n . 3.3, c a n be r e w r i t t e n
as:
 SHALLOW FOUNDATIONS 71

% =7 b u o y (B/2)N<y + c N c + qN q
(3.15)

where Ύ, = Ύ - Ύ (3.16)
'buoy ι /w
and y = the w e i g h t density of w a t e r = 9.8 k N / m 3

I n c a s e (b), the w a t e r table is higher than the foundation base, and is

p a r t w a y into the s u r c h a r g e m a t e r i a l . H e r e s o m e of the s u r c h a r g e pressure is
reduced by w a t e r pressure, and there are at least three possible total m a t e r i a l
densities corresponding to the soil beneath the f o o t i n g , and to those portions
o f t h e s u r c h a r g e m a s s w h i c h are s a t u r a t e d or not. A n e f f e c t i v e s u r c h a r g e
pressure, q , c a n be used in this case in E q n . 3.15, w h e r e :
1

q- = 7 » D l + (y . 7 W )D 2
(3.17)

T h e densities y and y are the total densities, c o m p r i s i n g the w e i g h t s of

n %

solids plus w a t e r per unit v o l u m e , of the s u r c h a r g e m a t e r i a l at the expected

m o i s t and s a t u r a t e d w a t e r c o n t e n t s .

F i g . 3 . 1 1 . S h a l l o w footing e x a m p l e for P r o b l e m 3.2.

P r o b l e m 3.2. F i g . 3.11 s h o w s a r e c t a n g u l a r f o o t i n g of w i d t h 1 m and length

2 m to be c o n s t r u c t e d at a depth of 1.3 m in a sandy soil. I f the w a t e r table
is a t a depth of 0.6 m , and the soil densities and s t r e n g t h properties are as
shown, w h a t will be the u l t i m a t e c e n t r a l bearing c a p a c i t y f o r c e , Q | t ? (It m u s t
U

be remembered that the design f o r c e should be less by the s a f e t y f a c t o r 3.0.)

F o r a g r a n u l a r soil, the bearing c a p a c i t y E q n . 3.12 c a n be m o d i f i e d to

a c c o u n t for buoyancy e f f e c t s both below and above the footing base. It will
take account of the r e c t a n g u l a r shape (B/L=0.5) as w e l l . F r o m A p p e n d i x 1 , the
appropriate bearing c a p a c i t y f a c t o r s are N 7 = 2 2 . 5 and N q = 2 3 . T h e soil buoyant
72 AGRICULTURAL E N G I N E E R I N G SOIL MECHANICS

density below the footing should be used in the f i r s t t e r m of E q n . 3.12 instead

of y.

7 b u o y = (18.6-9.8) k N / m 3
= 8.8 k N / m 3

F o r the second t e r m in E q n . 3.12, w h i c h r e p r e s e n t s the e f f e c t of the depth

o f f o o t i n g p l a c e m e n t , the net pressure on the soil beside the footing base
( E q n . 3.17) should be used in place of the quantity yD.

q f
= [ 1 3 . 7 x 0 . 6 + 8.8x0.7 ] k P a = 14.4 k P a

T h e u l t i m a t e bearing c a p a c i t y pressure and f o r c e are thus;

q 0 = [8.8x0.5x22.5(1-0.3x0.5) + 14.4x23(1-0.2x0.5) ] k P a = 3 8 2 k P a

Q u l t = 382 k P a x l m x 2 m = 764 k N

3.1.6. Layered soils

Soils in real field situations are o f t e n n o t u n i f o r m w i t h depth. I f discrete
l a y e r s h a v i n g widely d i f f e r i n g s t r e n g t h properties are f o u n d , it is not a l w a y s
simple to find representative soil s t r e n g t h and density p a r a m e t e r s to plug into
t h e b e a r i n g c a p a c i t y equation. B u t t o n (1953) s h o w e d how an e s t i m a t i o n of
b e a r i n g c a p a c i t y c a n be made f o r a c o h e s i v e soil h a v i n g t w o layers of
d i f f e r e n t s t r e n g t h . H e proposed a m o d i f i c a t i o n to the N f a c t o r f o r bearing,
c

d e p e n d i n g on both the r e l a t i v e m a g n i t u d e s of cohesional s t r e n g t h , and the

relative depth of the boundary between the t w o l a y e r s . H i s analysis w a s based
o n a s i m p l i f i e d c i r c u l a r soil failure shape beneath a strip f o o t i n g , w h i c h h a s
been s h o w n to provide reasonable a c c u r a c y f o r c o h e s i v e soils ( S k e m p t o n , 1948).
A s F i g . 3.12 s h o w s , the top h o r i z o n t a l c o h e s i v e soil layer is considered to
have c o h e s i o n c-j, and the lower C2- B y a c o n s i d e r a t i o n of the equilibrium of
m o m e n t s tending to r o t a t e the soil a n d f o o t i n g , B u t t o n (1953) c a l c u l a t e d the
effective bearing c a p a c i t y f a c t o r , N by w h i c h the upper layer cohesion should
f
c

be m u l t i p l i e d in order to e s t i m a t e the u l t i m a t e bearing c a p a c i t y pressure as

follows.

% = c N^ x (3.18)

The above procedure is equivalent to c a l c u l a t i n g a w e i g h t e d a v e r a g e of the

u p p e r and lower layer values of c o h e s i o n , in the proportion of length of slip
s e m i - c i r c l e over w h i c h each one a c t s . F i g . 3.12 g i v e s the appropriate values
o f N ' f o r v a r i o u s r a t i o s of layer depth to footing w i d t h , D / B , and lower to
c

upper layer cohesion m a g n i t u d e s , C2/c 1e

I n t h e c a s e o f a layered soil w i t h considerable f r i c t i o n a l s t r e n g t h , the

analysis is n o t as s i m p l e . H o w e v e r , a r o u g h e s t i m a t e c a n be m a d e o f w e i g h t e d
average strength p a r a m e t e r values w h i c h could be used in the standard bearing
 SHALLOW FOUNDATIONS 73

F i g . 3.12. T h e N ' bearing capacity factor on a layered cohesional soil

( B u t t o n , 1953)

f* Β

Qo
ν ν
I
1

F i g . 3.13. A p p r o x i m a t e a n a l y s i s of b e a r i n g c a p a c i t y in a l a y e r e d soil having

both f r i c t i o n a l and c o h e s i o n a l s t r e n g t h c o m p o n e n t s .
74 AGRICULTURAL E N G I N E E R I N G SOIL MECHANICS

c a p a c i t y equation. A s F i g . 3.13 indicates, the slip s u r f a c e in the soil c a n be

d i v i d e d i n t o lengths contained w i t h i n e a c h soil layer. In the e x a m p l e s h o w n ,
t h r e e distinct layers are present, and the w e i g h t e d a v e r a g e soil properties
w h i c h could be used are:

7 = typi + γ ο 2 2
+
73 3 D ) / ( D
1 + D
2 + D
3> ( 3
· 1 9 )

c
= [ l( l + L ) + c (L
c L
5 2 2 + L ) + c L3]/[L
4 3 1 + L 2 + L3 L + 4 + L ] 5 (3.20)

Φ = ΙΦι^ λ + L ) + 0 (L 5 2 2 + L ) + 03L ]/[L

4 3 1 + L 2 + L3 L + 4 + L ] 5 (3.21)

The same principle could be used for two or four l a y e r s if so desired, and
a t l e a s t a crude e s t i m a t e of u l t i m a t e pressure c a n be obtained using these
a v e r a g e p a r a m e t e r s in the bearing c a p a c i t y e q u a t i o n .

Κ Β'- 5
•ζ Β ^

F i g . 3.14. T h e e f f e c t i v e bearing a r e a s of f o o t i n g s h a v i n g e c c e n t r i c loading

for the c a s e s of (a) e c c e n t r i c i t y in one d i r e c t i o n , (b) e c c e n t r i c i t y
in t w o directions and (c) a c i r c u l a r f o o t i n g .
 SHALLOW FOUNDATIONS 75

5.1,7. Eccentric loading

I f t h e center of applied load is not at the c e n t r o i d of a r e c t a n g u l a r or
c i r c u l a r f o u n d a t i o n , then the pressure distribution on the subsoil c a n n o t be
expected to be s y m m e t r i c a l . M e y e r h o f (1953) s h o w e d that on a c o h e s i v e soil,
it is appropriate to identify a useful p o r t i o n of the f o o t i n g s u r f a c e w h i c h is
s y m m e t r i c about the load c e n t e r . T h e r e m a i n i n g area of the footing is
a s s u m e d s i m p l y to be superfluous. I n F i g . 3.14(a), a single e c c e n t r i c i t y , e, is
considered, the load Q being c e n t e r e d on a point at distance e s i d e w a y s f r o m
the footing c e n t e r l i n e . T a k i n g , t h e n , the e f f e c t i v e useful f o o t i n g to extend
equal distances, B/2-e, on e a c h side of the load point, a new e f f e c t i v e w i d t h ,
B , is f o u n d . T h e shaded a r e a of the f o o t i n g in F i g . 3.14(a) is considered to be
1

t h e useful bearing area, and the bearing c a p a c i t y c o m p u t e d a c c o r d i n g l y . T h e

e f f e c t i v e w i d t h and bearing area are c a l c u l a t e d as f o l l o w s .

Effective width B f
= Β - 2e (3.22)

E f f e c t i v e bearing area A !
= BM_ (3.23)

In the case of double e c c e n t r i c i t y , as s h o w n in F i g . 3.14(b), the s a m e

principle c a n be used to find r e d u c t i o n s in both the useful or e f f e c t i v e w i d t h

i.Oi

-V \ -
Dhesive s oil
0.8
v^ C <

\ -
^Granu ar soil
0.6
Reduction
factor, R
- -
e

= '/A
A
0.4

- -
0.2

-
0
0.5
Eccentricity ratio, e/B
F i g . 3.15. The bearing c a p a c i t y r e d u c t i o n f a c t o r for e c c e n t r i c loading in the
c a s e s of c o h e s i v e and g r a n u l a r soils ( M e y e r h o f , 1953).
76 AGRICULTURAL E N G I N E E R I N G SOIL MECHANICS

and l e n g t h , as in E q n . 3.22, and the useful bearing area found as;

E f f e c t i v e bearing area A 1
= B'L 1
= (B - 2 e ) ( L - 2e )
b { (3.24)

W h e n a footing is c i r c u l a r , as depicted in F i g . 3.14(c), the useful w i d t h ,

B , is calculated in the s a m e manner as for the r e c t a n g u l a r case w i t h single
1

eccentricity, E q n . 3.22. T h i s useful w i d t h , or the useful radius, r = B / 2 , is used

, ,

in the bearing c a p a c i t y expression for c i r c u l a r f o u n d a t i o n s , E q n . 3.14, w i t h

conservative results.
F o r all of the above foundation c o n f i g u r a t i o n s , the r e d u c t i o n f a c t o r , R , is
e

the ratio of the useful bearing area to total f o o t i n g a r e a for a c e r t a i n loading

e c c e n t r i c i t y , and is c a l c u l a t e d as f o l l o w s .

Reduction factor R e = A /Af

(3.25)

M e y e r h o f (1953) found that the proportional r e d u c t i o n in bearing area

d e s c r i b e d above does not f u n c t i o n well in g r a n u l a r , f r i c t i o n a l soils, but only
i n c o h e s i v e soils. H e d e t e r m i n e d that the e f f e c t i v e bearing a r e a r e d u c t i o n
f a c t o r is m o r e a parabolic f u n c t i o n of e c c e n t r i c i t y in g r a n u l a r soil t h a n a
linear one, and proposed the relationship g i v e n in F i g . 3.15. I n the latter c a s e ,
the g r a n u l a r soil r e d u c t i o n f a c t o r should be utilized to multiply the total
f o o t i n g area in order to e s t i m a t e the useful bearing s u r f a c e .

F i g . 3.16. A footing with e c c e n t r i c loading for P r o b l e m 3.3.

P r o b l e m 3.3. A r e c t a n g u l a r footing on the soil s u r f a c e is illustrated in

Fig. 3.16. The point of a c t i o n of the l o a d , Q, is off the centre of the footing
b y 0.2 m in both directions as s h o w n . W h a t design load could be applied to
the footing on the unsaturated soil d e s c r i b e d ?
 SHALLOW FOUNDATIONS 77

T h e e f f e c t i v e w i d t h and l e n g t h of the f o o t i n g c a n be e s t i m a t e d as;

B f
= Β - 2e = (1.0 - 0.4)m = 0.6 m , and L ' = (2.0 - 0.4)m = 1.6 m

S i n c e t h e f o o t i n g is r e c t a n g u l a r and r e s t s on a soil h a v i n g both c o h e s i o n

and internal f r i c t i o n , the e x p r e s s i o n s of H a n s e n ( E q n . 3.12 and 3.13) c a n be
added w i t h the s u b s t i t u t i o n of the f o u n d a t i o n w i d t h r e d u c e d due to load
e c c e n t r i c i t y . F o r an angle of internal f r i c t i o n , φ = 2 5 ° , the bearing c a p a c i t y
factors from A p p e n d i x 1 are Ν Ύ = 6 . 3 and Ν = 2 1 , and the w i d t h to l e n g t h r a t i o ,
B'/L»=0.375.

q 0 = 0 . 5 γ Β Ή γ ( 1 - 0.3BVL ) + c N ( l + 1
c 0.2B'/U)

= [17.6x0.5x0.6x6.3(1 - 0.113) + 7 x 2 1 ( 1 + 0.075)]kPa

= 188 k P a

The d e s i g n f o o t i n g load is then the u l t i m a t e b e a r i n g c a p a c i t y , q , multiplied 0

by the useful or e f f e c t i v e b e a r i n g a r e a , B M J , and divided by the usual s a f e t y

f a c t o r of 3.0.

Q
design = q 0
B
' L I
/ S F
= 1 8 8 k P a x
°* 6 m x
l - 6 m / 3 = 60 kN

3.2. F O U N D A T I O N SETTLEMENT

3.2.1. Traditional prediction methods

F i g . 3.17. T h e s e t t l e m e n t of f o o t i n g s in soil g e n e r a l l y i n v o l v e s both shear

s t r a i n and v o l u m e c h a n g e s .
78 AGRICULTURAL E N G I N E E R I N G SOIL MECHANICS

W h e n soils are subjected to loading s t r e s s e s , they respond by d e f o r m i n g ,

a s indicated by the s t r e s s - s t r a i n behavior e x a m p l e s g i v e n in S e c t i o n s 2.4
p r e v i o u s l y . U n d e r n e a t h a f o u n d a t i o n , these soil s t r a i n s translate into a
s u b s i d e n c e of the soil s u r f a c e , and s i n k a g e of the s t r u c t u r e . B o t h c h a n g e s in
s p e c i f i c v o l u m e of the soil m a t e r i a l and shear s t r a i n s c a n c o n t r i b u t e to
f o u n d a t i o n s e t t l e m e n t , as s h o w n in F i g . 3.17. In the case of c o a r s e - g r a i n e d
m a t e r i a l s (sand and g r a v e l ) , m o s t of the soil d e f o r m a t i o n t a k e s place w i t h i n
a few m i n u t e s of t i m e . In a w e t f i n e - g r a i n e d m a t e r i a l , s u c h as silty or c l a y e y
soil, there is s o m e initial s e t t l e m e n t upon loading of a f o u n d a t i o n , and there
i s a l s o s l o w s e t t l e m e n t arising f r o m shear " c r e e p " of the m a t e r i a l , and
c o n s o l i d a t i o n a c c o m p a n i e d by slow w a t e r m o v e m e n t w i t h i n the soil. T h e s e
l a t t e r p h e n o m e n a will be discussed subsequently in C h a p t e r 4, and only the
short t e r m soil d e f o r m a t i o n s leading to " i n i t i a l " foundation s e t t l e m e n t will be
treated in this S e c t i o n .
T a y l o r (1948) s u g g e s t e d d i f f e r e n t s e t t l e m e n t v e r s u s loading b e h a v i o r s for
c o h e s i v e as opposed to cohesionless soils. W h e n s e t t l e m e n t s are s m a l l , he
reasoned that c o e f f i c i e n t s of s e t t l e m e n t c a n be c a l c u l a t e d for each p a r t i c u l a r
s o i l , a s s u m i n g that d e f o r m a t i o n s are a p p r o x i m a t e l y proportional to applied
load Q. In the case of cohesionless soils, the s e t t l e m e n t c o e f f i c i e n t appears in
practice to be dependent upon the s i z e of the f o o t i n g , and the r e l a t i o n below
w a s proposed.

ζ = qBC 2 (3.26)

where ζ = foundation s e t t l e m e n t ,
q = a v e r a g e foundation bearing pressure
^ 2 = a soil s e t t l e m e n t c o n s t a n t (in units of pressure" ) 1

In the case of a cohesionless s o i l , absolute s e t t l e m e n t s s e e m to be a l m o s t

i n d e p e n d e n t of footing w i d t h , B, for the s a m e loading pressure, and T a y l o r
(1948) proposed;

ζ = qC^ (3.27)

where - a c o n s t a n t c o e f f i c i e n t (settlement per unit pressure)

T e r z a g h i and P e c k (1967) added s o m e s o p h i s t i c a t i o n to the f o r m u l a for

s e t t l e m e n t on cohesionless soil by noting s o m e e f f e c t of f o o t i n g w i d t h . T h e y
p r o p o s e d that a test footing c a n be loaded v e r t i c a l l y to a c e r t a i n pressure
l e v e l a n d t h e s e t t l e m e n t m e a s u r e d . T h e n the s e t t l e m e n t of a proposed
foundation (usually larger than the test model) c a n be e s t i m a t e d for the s a m e
loading pressure as s h o w n below.

z_ = 4 028)
z " (1 + B / B )
0 0
2
 SHALLOW FOUNDATIONS 79

where ζ = the s e t t l e m e n t of a proposed f o o t i n g

Zo = the s e t t l e m e n t of the test f o o t i n g
Β = the w i d t h of the proposed f o o t i n g
B 0 = the w i d t h of the test f o o t i n g

F i e l d tests have s h o w n the above f o r m u l a to be a p p r o x i m a t e l y c o r r e c t ,

a l t h o u g h actual results of full s c a l e f o o t i n g s e t t l e m e n t m e a s u r e m e n t s show
considerable s c a t t e r about the p r e d i c t e d v a l u e s , ( B j e r r u m and E g g e s t a d , 1 9 6 3 ;
L a m b e and W h i t m a n , 1979). T h e p r e d i c t i o n s of E q n . 3.28 m u s t be based on
l o a d i n g a test f o o t i n g to the s a m e pressure as the proposed f o u n d a t i o n , and
do not g i v e an indication of the shape of the l o a d - s e t t l e m e n t c u r v e .

5.2.2. Pressure-settlement curves - Bekker's formula

Bernstein (1913) and G o r i a t c h k i n (1937) had proposed a c u r v e d relationship
for applied pressure v e r s u s the s e t t l e m e n t of r i g i d plates on the soil s u r f a c e ,
f o l l o w i n g a power law as s h o w n below.

q = kz n
(3.29)

w h e r e k = a soil s t i f f n e s s c o n s t a n t (units of pressure/sinkage )

n

ζ = total plate s e t t l e m e n t
η = a c o n s t a n t exponent for a soil

This relationship is useful for a p p r o x i m a t i n g the shape of a p r e s s u r e - s i n k a g e

c u r v e in a real soil quite well in m o s t c a s e s , but it cannot take a c c o u n t of
t h e s i z e dependency for d i f f e r e n t s c a l e s of f o o t i n g w i d t h . I n 1 9 5 6 , B e k k e r
presented a s y n t h e s i s of the power f u n c t i o n for s i n k a g e c u r v e s , together w i t h
a s i z e f a c t o r s i m i l a r to that of T a y l o r (1948) and proposed a general s i n k a g e
f o r m u l a w h i c h could be used for both c o h e s i o n a l and c o h e s i o n l e s s soil t y p e s ,
as f o l l o w s .

q = (k /B + k ) z
c 0
n
= kz n
(3.30)

where k c and \<φ = soil s t i f f n e s s c o n s t a n t s , independent of w i d t h B.

In S I or I m p e r i a l units, the d i m e n s i o n s of these c o n s t a n t s are;

k :
c kPa/m" " 1 1
or p s i / i n " " ,
1
k : kPa/m
0
n
or p s i / i n n

Bekker (1960) did find that for c i r c u l a r plates resting on s o i l , Β should be

the radius of the f o o t i n g , w h e r e a s Β is the w i d t h (smaller t h a n or equal to
the length) of a r e c t a n g u l a r or square f o o t i n g . T h i s c o n c e p t is s i m i l a r to the
reduction of c i r c u l a r f o o t i n g e f f e c t i v e w i d t h for bearing c a p a c i t y e s t i m a t i o n s ,
as proposed by T e r z a g h i (1943) in E q n . 3.14 a b o v e .
I n order to c a l c u l a t e the three soil c o n s t a n t s of E q n . 3.30, at least t w o
s i n k a g e t e s t s m u s t be p e r f o r m e d on test f o o t i n g s of d i f f e r i n g w i d t h , w i t h
80 AGRICULTURAL E N G I N E E R I N G SOIL MECHANICS

s e t t l e m e n t m e a s u r e m e n t s t a k e n for p r o g r e s s i v e levels of v e r t i c a l load. T h e n

by graphical or analytical m e a n s , the exponent, n, and the s t i f f n e s s c o n s t a n t ,
k, can be found for e a c h f o o t i n g s i z e . A n e x a m p l e of the technique is s h o w n
in F i g . 3.18, w h e r e i n a v e r a g e loading pressures are plotted v e r s u s observed
total s i n k a g e values f o r t w o f o o t i n g s on l o g - l o g s c a l e s . T h e t h e o r e t i c a l c u r v e
shape on l o g - l o g paper is a s t r a i g h t line w i t h the equation:

log(p) = log(k) + η log(z) (3.31)

Then η is the slope of the line, and k c a n be found as the intercept w i t h

the vertical axis t h r o u g h log(z)=0, or z = l (either 1 m or 1 in), as indicated in
F i g . 3.18. R a t h e r than relying on g r a p h i c a l m e t h o d s and " e y e b a l l i n g " of the
b e s t f i t s t r a i g h t line to a set of e x p e r i m e n t a l points, it is s i m p l e n o w a d a y s
t o p e r f o r m a linear r e g r e s s i o n on the l o g a r i t h m s of pressure and s i n k a g e
values m e a s u r e d in s i n k a g e tests, by using an e l e c t r o n i c c a l c u l a t o r (or a

101 1 1 1 1—I 1 » ι I I I I I ' ι ' « ι

0.01 0.02 0.05 0.1 0.2 0.5 1
ζ, m log scale
F i g . 3.18. Graphical d e t e r m i n a t i o n of s i n k a g e p a r a m e t e r s η and k using plate
s i n k a g e m e a s u r e m e n t s (data f r o m F a n , 1985).
 SHALLOW FOUNDATIONS 81

c o m p u t e r ) . T h e slope and intercept r e s u l t i n g f r o m the r e g r e s s i o n for a

particular s i n k a g e test will be the exponent, n, and log(k), r e s p e c t i v e l y . H a v i n g
two values for k c o r r e s p o n d i n g to t w o plate w i d t h s , B, one c a n solve for the
t h r e e c o n s t a n t s k , k^ and η as s h o w n below, using the the e x a m p l e values
c

f r o m F i g . 3.18.

k c = B B (k
1 2 1 -k )/(B
2 2 - Β ) = -0.323 k P a / m "
χ
n 1
(3.32)

k
0 = 0<2 2 - k j B j V ^
B
- Β ) = 71.1 k P a / m
χ
n
(3.33)

η = (n 2 + n ) / 2 = 0.566
2 (3.34)

C o n s i d e r i n g the v a r i a b i l i t y of soil m e c h a n i c a l properties, e v e n w i t h i n a

small v o l u m e of the m a t e r i a l , it is a r i s k y proposition to e s t i m a t e the above
s e t t l e m e n t c o n s t a n t s f r o m the r e s u l t s of only t w o plate s i n k a g e tests. F a n
( 1 9 8 5 ) and M c K y e s and F a n (1985) have s h o w n that the s t a t i s t i c a l e r r o r s
involved c a n be reduced substantially by e m p l o y i n g a series of three, four or
f i v e s e t t l e m e n t tests w i t h plates of d i f f e r e n t s i z e s . M e a s u r e m e n t s were
c o n d u c t e d in a u n i f o r m l y prepared sand using five c i r c u l a r plates h a v i n g
d i a m e t e r s r a n g i n g f r o m 3.5 to 5.5 c m . W h e n e a c h pair of tests is c o m p a r e d ,
values for s i n k a g e c o n s t a n t s k , c and η c a n be obtained by E q n . 3.32 to 3.34
a b o v e . T h u s for f i v e plate s i z e s , ten c o m b i n a t i o n s of t w o plates e a c h are
p o s s i b l e , and ten d i f f e r e n t m a g n i t u d e s of the s i n k a g e c o n s t a n t s c a n be
c a l c u l a t e d . A f t e r c o n d u c t i n g 20 s u c h test series of five plates e a c h , F a n
(1985) found that the c o e f f i c i e n t of v a r i a t i o n (standard d e v i a t i o n divided by
t h e m e a n value) c a n range b e t w e e n 5 0 % and 1 2 5 % for k , and f r o m 1 8 % to c

3 5 % f o r k 0 , using pairs of plates as described above. T h e v a r i a t i o n in the

values of η were considerably s m a l l e r , a v e r a g i n g 1 . 5 % .
I f m o r e than two individual s e t t l e m e n t t e s t s are used to find the s i n k a g e
constants, the linear E q n . 3.32 and 3.33 c a n n o t be used, s i n c e there are three
o r m o r e d i f f e r e n t values of k and Β to c o m p a r e . W h a t is required is a best
f i t procedure using v a r i a b l e s k f r o m e a c h test and the r e c i p r o c a l of w i d t h ,
1/B, a s i n d i c a t e d in E q n . 3.30. T h e slope and intercept of s u c h a linear
regression will be k and k0, r e s p e c t i v e l y . A n e x a m p l e g r a p h i c a l r e p r e s e n t a t i o n
c

of this procedure is g i v e n in F i g . 3.19, while the values of slope, k , and c

i n t e r c e p t , k 0 , a r e m o r e a c c u r a t e l y c o m p u t e d using a c a l c u l a t o r linear
regression.
F a n (1985) d e m o n s t r a t e d that the c o n f i d e n c e in s i n k a g e c o n t e n t s increases
m a r k e d l y if sets of three or four plates h a v i n g d i f f e r e n t s i z e s are used for
s e t t l e m e n t t e s t s . T a b l e 3.1 g i v e s the a v e r a g e c o e f f i c i e n t s o f v a r i a t i o n in the
constants for four series of s i n k a g e t e s t s , using i n c r e a s i n g n u m b e r s of plates.
I t is evident that in the type of soil t e s t e d , i m p r o v e m e n t s in the c o n f i d e n c e
o f the k values c a n be i m p r o v e d by m o r e than five t i m e s if four plates of
d i f f e r e n t w i d t h s are used instead of t w o .
82 AGRICULTURAL E N G I N E E R I N G SOIL MECHANICS

3601 I 1 1 1 1 1
0 10 20 30 40 50 60
1/B, m" 1

F i g . 3.19. G r a p h i c a l d e t e r m i n a t i o n of k c and k^ p a r a m e t e r s .

T A B L E 3 . 1 . A v e r a g e c o e f f i c i e n t s of v a r i a t i o n of s i n k a g e c o n s t a n t s w h e n
d i f f e r e n t n u m b e r s of plates are used ( M c K y e s and F a n , 1985).

N o . plates A v e r a g e c o e f f i c i e n t of v a r i a t i o n , %
used η
k
c

2 81.6 26.3 1.5

3 27.0 7.2 1.1

4 15.6 4.6 0.7

 SHALLOW FOUNDATIONS 83

Fan (1985) also d e m o n s t r a t e d that the s i n k a g e c o n s t a n t s c o m p u t e d using a

series of four or five d i f f e r e n t plates c a n be used s u c c e s s f u l l y to describe the
settlement behavior of a l a r g e r f o o t i n g . H a v i n g tested f i v e c i r c u l a r plates of
diameters r a n g i n g f r o m 4.5 to 6.5 c m , he c a l c u l a t e d the s i n k a g e c o n s t a n t s and
e m p l o y e d t h e m to predict the p r e s s u r e v e r s u s s i n k a g e values of a 15 c m
d i a m e t e r plate. T h e s e predicted values of pressure were all w i t h i n 1 0 % of
actual measured m a g n i t u d e s for the v a r i o u s s i n k a g e s of a 15 c m plate on the
s a m e s o i l , ( M c K y e s and F a n , 1985).
H o w e v e r , one c a n n o t e x p e c t that the e x t r a p o l a t i o n of s i n k a g e c o n s t a n t s
obtained f r o m s m a l l plate tests c a n be extended to v e r y large f o o t i n g s , w h i c h
are s e v e r a l orders of m a g n i t u d e w i d e r . T h e e x p e r i e n c e cited above s h o w s that
s u c h a p r o c e d u r e is feasible to a s c a l e m u l t i p l i c a t i o n of at least three, and
perhaps it is possible for a f a c t o r up to t e n . B u t w i t h o u t s u b s t a n t i a t i n g
evidence, one would be wiser to use model plate s e t t l e m e n t tests w i t h w i d t h s
not less than one quarter or so of the design f o u n d a t i o n d i m e n s i o n . S i n k a g e
tests are m o r e e c o n o m i c a l w h e n s m a l l e r model f o o t i n g s are used because less
l o a d n e e d s to be c a r r i e d to the f i e l d . N e v e r t h e l e s s , the closer that one c a n
a p p r o a c h the actual design f o u n d a t i o n w i d t h using model f o o t i n g s , the m o r e
a c c u r a t e the predicted s e t t l e m e n t b e h a v i o r is likely to be.

P r o b l e m 3.4. A s e r i e s of s i n k a g e t e s t s is p e r f o r m e d on a bare sandy l o a m soil

u s i n g t h r e e c i r c u l a r plates h a v i n g d i a m e t e r s , d, of 5, 7.5 and 10 c m . I f the
m e a s u r e m e n t s of c u m u l a t i v e s i n k a g e depths v e r s u s applied v e r t i c a l pressure
a r e t h o s e s h o w n below, w h a t are the s i n k a g e c o n s t a n t s in E q n . 3.30 for this
soil?

d^, c m p, k P a z, c m d ,
2 cm p, k P a z, c m d^, c m p, k P a z, c m

5 50 0.4 7.5 50 0.6 10 50 0.8

100 1.0 100 1.6 100 1.9
200 2.7 200 4.4 200 5.3
300 4.8 300 7.9 300 9.8

F o r e a c h of the three plates, the s i n k a g e m e a s u r e m e n t s are c h a n g e d to

u n i t s of m e t r e s , and these t o g e t h e r w i t h the applied pressures are c o n v e r t e d
t o l o g a r i t h m i c values to fit E q n . 3 . 3 1 . T h e n a least squares linear r e g r e s s i o n
can be p e r f o r m e d to find the best fit v a l u e s of log(k) and exponent η for e a c h
plate. T h e s e results are s h o w n below.

d, c m 5 7.5 10
k, k P a / m n
2683 1751 1602
η 0.719 0.694 0.711

T h e e f f e c t i v e exponent, n, for this site c a n be e s t i m a t e d as the a v e r a g e

of the three c a l c u l a t e d v a l u e s .
84 AGRICULTURAL E N G I N E E R I N G SOIL MECHANICS

η = (n 1 + n 2 + n ) / 3 = 0.71
3

Since the test plates are c i r c u l a r , then e a c h r a d i u s , r=d/2, is used instead

of plate w i d t h , B, in E q n , 3·30· T h e v a l u e s of k and k# are best e s t i m a t e d by
c

performing another linear r e g r e s s i o n w i t h the v a r i a b l e s 1/r and k as χ and y.

F o l l o w i n g the f o r m of k in E q n . 3.30, k will be the slope of this linear
c

r e g r e s s i o n , and k^ the intercept.

κ = (l)k ^ c+

kQ = 56.3 k P a / m " ' 1

and k^ = 385 k P a / m n

( C o r r e l a t i o n c o e f f i c i e n t R = 0.98)

3.3. P R E S S U R E D I S T R I B U T I O N U N D E R FOUNDATIONS

T h e t h e o r y of elastic m a t e r i a l s c a n be used to c a l c u l a t e the distribution

of pressure underneath a r i g i d f o o t i n g , but the r e s u l t s o f t e n do not m a t c h
w h a t o c c u r s in p r a c t i c a l experience. T e r z a g h i and P e c k (1948) and S c o t t
(1963), among others, have s h o w n that the s t r e s s p a t t e r n s under rigid f o o t i n g s
h a v e d i f f e r e n t c h a r a c t e r i s t i c s depending on the soil t y p e . O n a c o h e s i v e s o i l ,
f o r e x a m p l e , v e r t i c a l pressure distributions closely r e s e m b l e those predicted
by e l a s t i c t h e o r y . A n e x a m p l e is g i v e n in F i g . 3.20(a) together w i t h
approximate m a g n i t u d e s of the pressures under a long strip f o u n d a t i o n h a v i n g
a v e r t i c a l loading along the c e n t r e l i n e .
O n a cohesionless soil, h o w e v e r , the p a t t e r n c h a n g e s , w i t h g r e a t e r pressure
b e i n g observed near the f o o t i n g c e n t r e l i n e , as s h o w n in F i g . 3.20(b). T h i s
d i s c r e p a n c y does not m a k e a great d i f f e r e n c e to the internal f o r c e s w i t h i n
t h e f o o t i n g itself. T h e shear f o r c e d i a g r a m s for both c a s e s are g i v e n in
F i g . 3.20, and despite a slightly different shape, both soils will result in the
same m a x i m u m shear f o r c e at the f o u n d a t i o n c e n t r e l i n e . (The c o n v e n t i o n used
is t h a t p o s i t i v e shear f o r c e is c o u n t e r c l o c k w i s e acting.) T h e r e is m o r e
v a r i a t i o n in the m a g n i t u d e of bending m o m e n t s of the t w o c a s e s . A s s h o w n
i n the f i g u r e , the c o h e s i v e soil f o o t i n g has about 5 0 % m o r e bending m o m e n t
at the centre than that on the f r i c t i o n a l soil (downwards bending a c t i o n
positive). W i t h these results, s t r u c t u r a l design techniques c a n be used to design
t h e foundation slab to be s a f e l y s t r o n g for the e x p e c t e d loading and soil
reaction.
T h e r e are other types of foundation loadings, and an e x a m p l e is g i v e n in
Fig. 3 . 2 1 . T h i s is a wide r a f t type of f o o t i n g w h i c h a c t s both as the building
f l o o r and as the foundation supporting the wall and roof w e i g h t s . S i n c e the
f o o t i n g is w i d e , it c a n be a s s u m e d that the pressure distribution in the soil
is nearly u n i f o r m as s h o w n . T h e pressure d i a g r a m is the s a m e as that of a
s i m p l y supported, u n i f o r m l y loaded b e a m turned upside d o w n , and the shear
f o r c e and
 SHALLOW FOUNDATIONS 85

F i g . 3.20. Groundpressure d i s t r i b u t i o n s , shear f o r c e s and bending m o m e n t s in

f o o t i n g s on (a) c o h e s i o n a l and (b) f r i c t i o n a l s o i l s .

V/Q I
1 Shear force

,5
X/B
Raft footing

Bending moment
Q Pressure distribution ^
.5
Κ Β

X — * — * — * — * — τ — *

F i g . 3 . 2 1 . A wide r a f t f o o t i n g .
86 AGRICULTURAL E N G I N E E R I N G SOIL MECHANICS

bending m o m e n t d i a g r a m s are s i m i l a r t o s u c h a c a s e . I f t h e f o o t i n g is
c o n s i d e r e d to be r i g i d , then considerable bending m o m e n t s c a n be generated
along the centreline due to the r e l a t i v e l y large s i z e of w i d t h , B .

Differential
settlement

F i g . 3.22. T h e control o f s u r f a c e c r a c k i n g in a wide r a f t f o o t i n g .

W h a t often happens in p r a c t i c e is that the s i n k a g e o f the soil is n o t

u n i f o r m because the r a f t foundation is n o t p e r f e c t l y r i g i d . I n s u c h a c a s e , the
b e a r i n g pressures tend to be larger near the ends o f the footing than at the
centre, as s h o w n in F i g . 3.22(a). I n c r e a s e d soil s e t t l e m e n t t o w a r d s t h e outside
e d g e s o f the floor develops higher soil r e a c t i o n pressures. H o w e v e r , the
differential s e t t l e m e n t s a r e usually t o o g r e a t f o r brittle c o n c r e t e foundations
to suffer without local m a t e r i a l f a i l u r e , a n d s u r f a c e c r a c k s a r e o f t e n observed
in the floor.
A p r a c t i c e w h i c h is c o m m o n in t h e c o n s t r u c t i o n o f s u c h wide " f l o o r "
f o u n d a t i o n s is to m a k e shallow s a w c u t s in t h e t o p o f t h e footing where
c r a c k i n g would be e x p e c t e d . T h e philosophy is that t h e floor cannot be
e x p e c t e d t o r e m a i n p e r f e c t l y r i g i d o n soil w h i c h exhibits differential
s e t t l e m e n t , but the s a w c u t s e n c o u r a g e local floor c r a c k i n g to o c c u r at their
l o c a t i o n s , thus p e r m i t t i n g c r a c k s in a m o r e aesthetic s t r a i g h t line, F i g . 3.22(b).
 SHALLOW FOUNDATIONS 87

3.4. T O W E R SILO FOUNDATIONS

3.4.1» Bearing capacity

h Β >-

F i g . 3.23. W a l l and floor f o r c e p a r t i t i o n in a t o w e r silo.

F o u n d a t i o n s for t o w e r silos present s o m e unique p r o b l e m s owing both to

t h e c i r c u l a r shape of silos, and to the large m a s s e s c o n c e n t r a t e d over s m a l l
surface a r e a s . M o d e r n t o w e r silos are c o m m o n l y built w i t h d i a m e t e r s of 7 to
9 m a n d h e i g h t s of over 24 m , ( F i g . 3.23). A silo of these d i m e n s i o n s c a n
contain between 800 and 1300 t of c o r n or g r a s s s i l a g e , and yet the base area
is only 36 to 64 m . T h e a v e r a g e pressure o v e r the base of the silo itself is
2

thus in the order of 210 k P a ( w h i c h is about 30 psi or 4 4 0 0 psf).

The actual silage pressure on the floor is c o n s i d e r a b l y less than the above
figure since m u c h of the s i l a g e w e i g h t is t r a n s f e r r e d to the wall by f r i c t i o n a l
force. F o r a silo w i t h a three to one h e i g h t to d i a m e t e r r a t i o , a p p r o x i m a t e l y
half of the total silage w e i g h t is supported by wall f r i c t i o n ( N e g i et al., 1977;
Turnbull et al., 1979). T h e r e f o r e , the v e r t i c a l f o r c e at the wall base c o m p r i s e s
a b o u t h a l f of the total w e i g h t of c o n t e n t s , in addition to the w e i g h t of the
structure itself and any a t t a c h m e n t s above g r o u n d , s u c h as top unloaders and
the like. A 7.3 m d i a m e t e r by 24.4 m height c o n c r e t e silo w i t h 15 c m thick
walls, for e x a m p l e , has a m a s s of over 200 t, b r i n g i n g the total full silo m a s s
88 AGRICULTURAL E N G I N E E R I N G SOIL MECHANICS

to about 1120 t. O f this, a p p r o x i m a t e l y 4 0 % r e s t s on the silo floor, while the

r e m a i n d e r is supported at the wall base as s h o w n in F i g . 3.23.
T h e d e s i g n of a t o w e r silo foundation m u s t be a p p r o a c h e d f r o m s e v e r a l
v i e w p o i n t s . F i r s t l y , the overall a v e r a g e bearing pressure under the footing
m u s t b e w i t h i n the allowable r a n g e . F o r this purpose, the bearing c a p a c i t y
E q n . 3.12 to 3.14 c a n be utilized to find the m a x i m u m possible bearing
pressure on the p a r t i c u l a r soil in question. I n order to find the allowable
d e s i g n b e a r i n g pressure, this m a x i m u m p r e s s u r e , q , is divided by the 0

appropriate f a c t o r of s a f e t y . (Subsequent discussion will s u g g e s t that this

f a c t o r be 3.0.) T h e required overall w i d t h or d i a m e t e r , B, of the ring
f o u n d a t i o n c a n then be found f r o m the f o l l o w i n g e x p r e s s i o n . It c a l c u l a t e s
a v e r a g e bearing pressure, q, as the total w e i g h t o f all the silo c o m p o n e n t s ,
including the foundation itself, divided by the o v e r a l l s u r f a c e area w i t h i n the
bounds of the f o u n d a t i o n .

q = q /SF = Q/A = ( Q
0 e U a g e + Q s i i Q + Q f o o t i n g )/(jB ) 2
(3.35)

where Q s i l a g e , Q s i l o and Q f o o t i n g = total c o m p o n e n t w e i g h t s .

Problem 3.5. A steel silo is planned to have a d i a m e t e r o f 7.3 m , a height of

2 4 . 4 m a n d a net m a s s o f 30 t including the r o o f . T h e e x p e c t e d c o n t e n t o f
t h e silo is 820 t. W h a t would be the n e c e s s a r y outside d i a m e t e r of a 60 c m
t h i c k c i r c u l a r f o o t i n g f o r this s t r u c t u r e on the s u r f a c e of a s o f t c l a y soil
h a v i n g c = 2 5 k P a and a very s m a l l f r i c t i o n a n g l e ?

Although the total w e i g h t o f the f o o t i n g itself c a n n o t be k n o w n before the

d i a m e t e r is found, its bearing pressure c a n be c a l c u l a t e d as the unit w e i g h t
o f c o n c r e t e (about 23.6 k N / m ) t i m e s f o o t i n g t h i c k n e s s , if the foundation is
3

a s s u m e d to be a c o m p l e t e disc.

Q f o o t i n g /A = 23.6 k N / m 3
χ 0.6 m = 14.2 k P a

T h e n E q n . 3.35 c a n be r e a r r a n g e d by s u b t r a c t i n g the footing bearing

pressure f r o m both sides, as f o l l o w s .

q - 14.2 K P a = q / F - 14.2 K P a = ( Q o S s i l a g e + Q s i l ( J )/A

T h e u l t i m a t e bearing c a p a c i t y is c a l c u l a t e d by E q n . 3.14 f o r a c i r c u l a r
f o o t i n g , using the N f a c t o r f r o m A p p e n d i x 1 .
Q

q = 1 . 2 c N = 1.2 χ 25 k P a χ 5.14 = 154.2 k P a

0 c

T h e bearing c a p a c i t y equation c a n then be e v a l u a t e d a s ;

q - 14.2 k P a = (154.2/3 - 14.2) k P a = (8036 + 2 9 4 ) k N / ( | B ) 2

f r o m w h i c h Β = 16.9 m is the required f o o t i n g diameter.

 SHALLOW FOUNDATIONS 89

3.4.2. Settlement and safety factor

A further c o n s i d e r a t i o n is the s e t t l e m e n t of the s t r u c t u r e , w h i c h should be
a m a x i m u m of 2.5 c m for a s u c c e s s f u l d e s i g n , (see T a b l e 3.2). T h e r e are at
least t w o w a y s in w h i c h to assess t h i s aspect of the f o u n d a t i o n . M o d e l f o o t i n g
s e t t l e m e n t tests could be p e r f o r m e d at the s e l e c t e d s i t e , and their results
used to e s t i m a t e the s i n k a g e c o n s t a n t s of E q n 3.30 a b o v e . H o w e v e r , this c a n
be a time c o n s u m i n g and c o s t l y p r a c t i c e , especially since large loads m u s t be
carried to the site in order to c r e a t e plate bearing pressures in the order of
those e x p e c t e d in the actual d e s i g n .

TABLE 3.2. P e r f o r m a n c e c r i t e r i a f o r t o w e r silos ( O n t a r i o S i l o Association,

1980).

Rating Performance Vertical Tilt

settlement, m m Degrees % height

A Excellent. B e l o w 25 B e l o w 0.2 B e l o w 0.3

Β Good with 25 - 75 0.2-0.5 0.3-0.8
slight p r o b l e m s .
C Important 75 - 150 0.5-1.0 0.8-1.7
problems.
D Serious 150 - 300 1.0-1.5 1.7-2.5
problems.
Ε V e r y serious O v e r 300 Over 1.5 O v e r 2.5
problems.

A n o t h e r w a y in w h i c h to reduce silo s e t t l e m e n t s to acceptable levels is to

m a k e t h e b e a r i n g s a f e t y f a c t o r s u f f i c i e n t l y h i g h that soil s t r a i n s will be
l i m i t e d below the f o o t i n g . F o r e x a m p l e , M o r i n and B o z o z u k (1983) c o n d u c t e d
a p e r f o r m a n c e s u r v e y of 108 c o n c r e t e t o w e r silos sited on w e a k , c o m p r e s s i b l e
marine c l a y soils in the s o u t h e r n Q u e b e c r e g i o n . T h e y based the p e r f o r m a n c e
r a t i n g s o f the silos upon the a m o u n t of t o t a l s e t t l e m e n t and tilt f r o m the
v e r t i c a l . I n 28 c a s e s , f o o t i n g s e t t l e m e n t and tilt were m e a s u r e d for four
years, and soil shear s t r e n g t h m e a s u r e m e n t s t a k e n at depths up to 12 m using
a N i l c o n shear v a n e .
F r o m t h e soil s t r e n g t h m e a s u r e m e n t s , the m a x i m u m bearing c a p a c i t y of
each of the silo f o u n d a t i o n s w a s e s t i m a t e d using E q n . 3.13. T h e actual bearing
p r e s s u r e w a s c a l c u l a t e d in e a c h c a s e , and divided into the m a x i m u m bearing
c a p a c i t y in order to e s t i m a t e the s a f e t y f a c t o r . Individual s a f e t y f a c t o r s are
compared to the s e t t l e m e n t and tilt m e a s u r e m e n t s for the first loading c y c l e
of e a c h of the silos in F i g . 3.24.
F e w o f the silos tilted m o r e than 0 . 3 % , and none o f those had an
estimated s a f e t y f a c t o r g r e a t e r than 2.5. A l s o , m o s t of the silos w i t h a s a f e t y
90 AGRICULTURAL E N G I N E E R I N G SOIL MECHANICS

30 -τ— I ι 1 •— 1 1

\ D
Ti It 0.3 percent
Ti t > 0.3 percent "
ι Δ

\• •

20 δ\ -
Average ID

foundation
\
• A

settlement
V
•

cm
\
10
- • \ \ Δ

γ •

\ •
• V 0
•
, •.• \ ttp
V n π
Ρ • •
π
υ0 1 2 3 4 5 6
Safety factor

F i g . 3.24. A c o m p a r i s o n of o b s e r v a t i o n s of a v e r a g e c o n c r e t e tower silo

s e t t l e m e n t s versus c a c u l a t e d safety factors (from Morin and
B o z o z u k , 1983).

factor less than 2.1 or so exhibited s e t t l e m e n t s of m o r e than 8 c m , w h i c h is

very likely to cause problems w i t h operation and a t t a c h e d s t r u c t u r e s . O n the
other hand, those silos w i t h c a l c u l a t e d s a f e t y f a c t o r s g r e a t e r than 2.5 s h o w e d
less than 3 c m s e t t l e m e n t after the first loading, w i t h only one e x c e p t i o n .
Morin and B o z o z u k (1983) g a v e a b r e a k d o w n of the p e r f o r m a n c e r a t i n g s of
these silos in c o m p a r i s o n to their c a l c u l a t e d s a f e t y f a c t o r s , as s h o w n in
Table 3.3.
T a b l e 3.3 d e m o n s t r a t e s that w h e n a t o w e r silo is sited on a w e a k
c o m p r e s s i b l e soil, it is preferable to employ a s a f e t y f a c t o r of 3.0 in order
to ensure a s u c c e s s f u l foundation d e s i g n . S u c h a s a f e t y f a c t o r m a k e s it m o r e
likely that problems of e x c e s s i v e s e t t l e m e n t or tilting will not o c c u r .
 SHALLOW FOUNDATIONS 91

T A B L E 3.3. P e r f o r m a n c e r a t i n g s on c o n c r e t e t o w e r silo foundations on clay

soil ( M o r i n and B o z o z u k , 1983).

Calculated Safety Factor Performance Rating

> 3.0 Excellent

2.5 V e r y good

2.0 T o l e r a b l e , i m p o r t a n t p r o b l e m s could be expected

< 2.0 Generally u n s a t i s f a c t o r y , serious p r o b l e m s could be

expected

F i g . 3.25. A s e c t i o n t h r o u g h a t o w e r silo extended ring foundation s h o w i n g

the tendency for r o t a t i o n , and the l o c a t i o n of internal r e i n f o r c i n g
steel ( f r o m T u r n b u l l et al., 1983).
92 AGRICULTURAL ENGINEERING SOIL MECHANICS

3.4.3. Silo foundation design

T h e d e s i g n of a ring foundation itself is a c o m p l e x a f f a i r , and is closely
l i n k e d to the related soil m e c h a n i c s . F i g . 3.25 s h o w s a s e c t i o n t h r o u g h part
o f a r i n g f o u n d a t i o n , t o g e t h e r w i t h the load applied by the silo w a l l s . T h e r e
is an additional pressure, p , on the inside v e r t i c a l f a c e of the r i n g w h i c h is
x

t r a n s f e r r e d t h r o u g h the underfloor sand f r o m the floor loading. C a n a d a P l a n

S e r v i c e (1977) and Turnbull et al. (1979) described how the f o l l o w i n g e l e m e n t s
should be included in the design of the r i n g f o o t i n g .

Ap^, radial r e i n f o r c i n g bars to resist bending

A , spiral r e i n f o r c i n g bars to p r e v e n t r o t a t i o n of the r i n g

s

A|_, additional r e i n f o r c i n g to resist lateral p r e s s u r e , ρ χ

b, the ring w i d t h to provide the n e c e s s a r y s a f e soil bearing area

d, the ring t h i c k n e s s s u f f i c i e n t for bending r e s i s t a n c e

Turnbull et al. (1979) e s t i m a t e d the total loads of v a r i o u s s i z e s of c o n c r e t e

c a s t - i n - p l a c e and stave silos, and c a l c u l a t e d the required m a g n i t u d e s of the
d e s i g n e l e m e n t s listed above. T h e y found that the radial r e i n f o r c i n g bars
specified in previous designs w e r e not n e c e s s a r y provided that s u f f i c i e n t spiral
reinforcing is installed. T h i s spiral r e i n f o r c i n g c a n r e s i s t the tendencies of the
r i n g f o o t i n g both to rotate and to bend under the wall l o a d , and the spiral
reinforcing should be placed 10 c m f r o m the b o t t o m of the c o n c r e t e f o o t i n g .
T h e r e s u l t s of their c o m p u t a t i o n s are g i v e n in A p p e n d i x 2 as a f u n c t i o n of
silo s i z e and the safe soil bearing pressure. T h i s s a f e bearing pressure is the
u l t i m a t e bearing c a p a c i t y , q , divided by the s a f e t y f a c t o r (preferably 3.0).
0

O n c e the soil shear s t r e n g t h is k n o w n , (see C h a p t e r 2), the u l t i m a t e bearing

capacity can be found f r o m E q n . 3.13 and, in the case of c o h e s i v e soils, it is
f o r t u n a t e l y independent of overall f o o t i n g d i a m e t e r , B.

3.5. P I L E FOUNDATIONS

3.5.1. Pile capacity

P i l e s are long slender s t r u c t u r a l units used to t r a n s f e r loads to soil or
rock. T h e y c a n be made of w o o d , c o n c r e t e or m e t a l m a t e r i a l s , and c a n have
c r o s s s e c t i o n a l shapes w h i c h are c i r c u l a r , square or Η - s h a p e d . P i l e s are
u t i l i z e d m o s t c o m m o n l y in s t r u c t u r e s a s s o c i a t e d w i t h a g r i c u l t u r e for the
f o l l o w i n g s p e c i f i c purposes, as illustrated in F i g . 3.26.

(a) T o c a r r y w e i g h t through s o f t , w e a k soil l a y e r s to s t r o n g e r s t r a t a .

(b) T o distribute loads in w e a k soils along the pile l e n g t h by m e a n s of
shear s t r e s s or s k i n f r i c t i o n .
! 1

(c) T o r e s i s t an uplift or tension f o r c e as an anchor.

 SHALLOW FOUNDATIONS 93

(a) End or point-bearing pile (b) Friction pile (c) Tension pile

F i g . 3.26. T h r e e types of load bearing piles.

In the case of the end or p o i n t - b e a r i n g pile, it is a s s u m e d that the shear

force along the pile length c o n t r i b u t e s a negligible a m o u n t to the load bearing
resistance. T h e tip of the pile t h e r e f o r e s e r v e s as the bearing point, of w h i c h
t h e u l t i m a t e c a p a c i t y c a n be e s t i m a t e d like a foundation w i t h an adaptation
of E q n . 3.14 below (Teng, 1962). A s in f o u n d a t i o n d e s i g n , the u l t i m a t e bearing
capacity of a single pile or group of piles should be divided by a s a f e t y f a c t o r
(preferably 3 . 0 ) to a r r i v e at the e s t i m a t e d d e s i g n l o a d .

Q
ult = 7ΓΓ (0.67ΓΝ 2
Γ + 1.3cN c + yDN )
q (3.36)

w h e r e r = the radius of a c i r c u l a r pile.

I n t h e c a s e of f r i c t i o n piles, p r a c t i c a l l y the entire bearing c a p a c i t y is

considered to arise f r o m the shear s t r e n g t h along the pile l e n g t h , as f o l l o w s .

Q u l t = 2 7TrrD (3.37)

T h e nature of the pile to soil shear s t r e s s , r, will depend on the type of

soil and the d e f o r m a t i o n s w h i c h the soil has undergone either during the pile
i n s t a l l a t i o n or t h e r e a f t e r . In g e n e r a l , the i n t e r f a c e a d h e s i o n - f r i c t i o n shear
s t r e n g t h c o n c e p t c a n be u s e d .

7 = s = c
a +
tf ^ tan (3.38)
n
94 AGRICULTURAL E N G I N E E R I N G SOIL MECHANICS

T h e d i f f i c u l t y w i t h t h e above f o r m u l a is the d e t e r m i n a t i o n of the

m a g n i t u d e of the n o r m a l s t r e s s , G , at d i f f e r e n t depths in the soil. T h e
n

c o e f f i c i e n t of lateral earthpressure at rest, K , r e l a t e s the h o r i z o n t a l s t r e s s

0

on the pile, σ , to the v e r t i c a l pressure, σ , at a p a r t i c u l a r depth.

η ζζ

<Tn = σ
ζζ ο
Κ
= 7 z K
o (3.39)
F o r s t r a i g h t s m o o t h pile sides, the c o e f f i c i e n t of earthpressure at rest
suggested by T e r z a g h i (1943), K = 0 . 5 , c a n be used. H i g h e r c o e f f i c i e n t s m a y be
o

allowed for different shapes of pile. Ireland (1957) has s u g g e s t e d that K 0 can
be a s h i g h as 1.75 for step-tapered c o n c r e t e piles, w h i c h b e c o m e s m a l l e r in
diameter w i t h depth. T h e s a m e E q n . 3.37 c a n be used to find the tension load
capacity, T , for u n i f o r m d i a m e t e r tension piles as well, since the c o n f i g u r a t i o n
of shear stress along the pile length is the s a m e , only r e v e r s e d in d i r e c t i o n .

3.5.2. Pile groups

F i g . 3.27. S e t t l e m e n t of the end cap of a pile g r o u p .

 SHALLOW FOUNDATIONS 95

It has been s h o w n by T e r z a g h i and P e c k (1967) that a c o n n e c t e d group of

f r i c t i o n piles in a silt or s o f t c l a y soil c a n settle together like a single
f o u n d a t i o n ( F i g . 3.27). T h e f o r m u l a below w a s proposed to describe the
ultimate pile group bearing c a p a c i t y , Q g , for this c a s e . Β and L are the width
and l e n g t h of the pile c a p , and q jt is the u l t i m a t e bearing pressure of a
u

r e c t a n g u l a r f o u n d a t i o n h a v i n g the s a m e l e n g t h and w i d t h as the pile cap and

a depth D . Soil internal shear s t r e n g t h s is the a v e r a g e value c a l c u l a t e d over
the r a n g e of depth, D .

Q g = q u l ( . B L + D ( 2 B + 2L)s (3.40)

Terzaghi and P e c k (1967) noted f u r t h e r that s u c h a pile group as illustrated

i n F i g . 3.27 c a n be considered s a f e if the total design load on the group is
less than Q g / 3 .

3.5.3. Negative skin friction

F i g . 3.28. Negative skin friction on deep end bearing piles due to soil
settlement.

T h e r e are c a s e s in w h i c h a load is c a r r i e d by a pile, and additional

d o w n w a r d f o r c e is applied by the d r a g of soil w h i c h is s e t t l i n g . S u c h an
example is illustrated in F i g . 3.28 f o r the c a s e of a h i g h w a y bridge supported
o n piles, and adjoining an e a r t h fill e m b a n k m e n t on the soil s u r f a c e . W i t h
t i m e , the w e i g h t of the e m b a n k m e n t c a u s e s c o n s o l i d a t i o n and s e t t l e m e n t of
the subsoil surrounding the piles. I n t u r n , the soil s e t t l e m e n t results in a
d o w n w a r d drag on the pile s u r f a c e , w h i c h adds to the total v e r t i c a l load
w h i c h the piles must c a r r y .
96 AGRICULTURAL E N G I N E E R I N G SOIL MECHANICS

T h e a m o u n t of soil s e t t l e m e n t m a y not be enough over the entire soil

depth in order to cause appreciable d o w n w a r d d r a g , or negative s k i n f r i c t i o n ,
along the whole length of the piles. In F i g . 3.28, an e f f e c t i v e depth, D , has n

been identified over w h i c h e f f e c t i v e n e g a t i v e s k i n f r i c t i o n is considered to

act. T h e r e is no e x a c t rule for d e t e r m i n i n g the e f f e c t i v e depth, D . H o w e v e r ,
n

experience w i t h shear testing of c o m p r e s s i b l e soils would indicate that at least

two or more m m of soil s e t t l e m e n t relative to the pile m o v e m e n t is required
to develop a major f r a c t i o n of the soil to pile shear s t r e n g t h . T h u s , by using
t h e techniques described in C h a p t e r 4.1.2 for e s t i m a t i n g the consolidation
s e t t l e m e n t of a compressible soil at different depths, one could locate the
depth at w h i c h , say 2 m m of soil s e t t l e m e n t o c c u r s in t i m e , and identify that
depth as D . n

H a v i n g the depth D n thus defined, the total load to be supported by the

pile near the b o t t o m c a n be e s t i m a t e d as the s u m of the load carried at the
top, and the downward drag of the surrounding soil. The negative skin f r i c t i o n
shear stress, T, cannot be greater than the u l t i m a t e shear s t r e n g t h of the soil
to pile interface, c + a t a n 6 . A t any depth within D , the d o w n w a r d drag force
a n n

per unit depth is;

dQ /dz = 2 7Tr(c + a^tano) = 2 7Tr(c +

t a n a
yzKο tan5)
Thus Q t = Q + 2 7Tr(c D a n + ^γΟ^Κ^βηδ) (3.41)

w h e r e r is the pile c r o s s - s e c t i o n a l radius, K is the c o e f f i c i e n t of

0

earthpressure at rest and ζ is the soil depth.

For smooth s u r f a c e d piles, the c o e f f i c i e n t of lateral earthpressure at rest,
K , can be e s t i m a t e d as 0.5. In c a s e s where D n is large, the second part of
0

the total pile load, arising f r o m negative skin f r i c t i o n , c a n be m a n y t i m e s the

load Q supported by the top of the pile. T h i s c a n have i m p o r t a n t consequences
f o r t h e d e s i g n of the s t r e n g t h of the pile, as well as the required bearing
c a p a c i t y at the lower pile tip.

P r o b l e m 3.6. A s illustrated in F i g . 3.29, a r e i n f o r c e d c o n c r e t e pile c a r r i e s a

l o a d o n the top of 2000 t m a s s through a clay layer w h i c h is 45 m thick.
M e a s u r e m e n t s of the soil properties have s h o w n that the clay to c o n c r e t e
adhesion is 5 k P a and the angle of s u r f a c e f r i c t i o n is 1 0 ° . A l s o , the e f f e c t i v e
d e p t h of negative skin f r i c t i o n is 25 m under the relevant conditions of soil
s e t t l e m e n t . If the pile can be designed to have a safe c o m p r e s s i v e s t r e n g t h
of 35 M P a , what is the required pile d i a m e t e r ?
T h e force c a p a c i t y of the pile is the design s t r e n g t h multiplied by the
c r o s s sectional area. T h e r e f o r e , E q n . 3.41 c a n be changed to;

Q fc = 35,0007Tr 2
kPa = Q + 2 7Tr(c D a n π-γϋ^Κ tan6/2)

= 19,600 k N + 1,220 7ΓΓ k N / m

F r o m w h i c h the required pile diameter D = 2r = 0.88 m .
 SHALLOW FOUNDATIONS 97

F i g . 3.29. A deep end bearing pile for P r o b l e m 3.6.

3.6. PROBLEMS

3.7. A long footing of w i d t h 1 m r e s t s on the s u r f a c e of an unsaturated silty

s a n d w h i c h has a density of 17.6 k N / m , cohesion 15 k P a and internal
3

f r i c t i o n angle 2 5 ° . If the load on the f o o t i n g is 120 k N / m , w h a t is the

s a f e t y f a c t o r of the d e s i g n ?

Answer: S.F. = 3 . 1 .

3.8. A r e c t a n g u l a r f o o t i n g of l e n g t h 1.5 m and w i d t h 1 m is c o n s t r u c t e d at

a depth of 1 m in a silty soil. T h e soil has a dry density of 13.7 k N / m , 3

a saturated density of 18.6 k N / m , c o h e s i o n

3
10 k P a and angle of internal
friction 3 0 ° . F o r the case of a w a t e r table s i t u a t e d at the footing base,
and the soil above it r e l a t i v e l y d r y , find the s a f e load w h i c h c a n be
c a r r i e d by this f o o t i n g .

A n s w e r : Q = 339 k N .

3.9. A b u i l d i n g c o l u m n c a r r i e s 200 k N v e r t i c a l l y . It is desired to design a

s q u a r e f o o t i n g for the c o l u m n 1 m deep in a w e t clay soil having
C = 20 k P a and density 16.7 k N / m . W h a t are the d i m e n s i o n s of the
3

square f o o t i n g for a s a f e t y f a c t o r of 3.0?

A n s w e r : Β = L = 2.1 m.
98 AGRICULTURAL E N G I N E E R I N G SOIL MECHANICS

3.10. A clay field is m e a s u r e d to have k c = 100 k P a / m " - , k = 700 k P a / m

1
0
n

and η = 0.5. A 1000 Ν load is placed on t w o plates, (a) 3x4 c m and (b)
4x4 c m , on the s u r f a c e of the f i e l d . W h a t are the e x p e c t e d s e t t l e m e n t s
of plates (a) and (b) under this l o a d ? A r e the s e t t l e m e n t s of the plates
proportional to the pressures a c t i n g on t h e m ?

A n s w e r : (a) ζ = 4.3 c m , (b) ζ = 3.8 c m . T h e s e t t l e m e n t s are not

proportional to the pressures. P l a t e (a) has 3 3 % m o r e pressure on it but
settles only 1 3 % m o r e than plate (b).

3.11. A t r a c t o r has rear tires w i t h a ground c o n t a c t length of 965 m m and

a wheel load of 13.2 k N on e a c h . O n a soil w i t h k = 30 k P a / m , k ^ =
c
n _ 1

1 0 0 k P a / m and η = 0.5, w h a t w i d t h of tire, b, would be required in

n

order to l i m i t the rear tire s i n k a g e to 50 m m ?

A n s w e r : b = 312 m m .

3.12. A f a r m e r wishes to c o n s t r u c t a g r a i n s t o r a g e silo of 4.9 m d i a m e t e r

by 9.1 m height to have a full m a s s of 200 t e x c l u d i n g the f o u n d a t i o n .
T h e p r o p o s e d site is on a rather s o f t wet clay h a v i n g an undrained
s h e a r s t r e n g t h of 17 k P a . W h a t outside of d i a m e t e r of a 45 c m thick
c i r c u l a r foundation would be needed for a s a f e t y f a c t o r of 3.0?

A n s w e r : Β = 8.8 m.
 W A T E R FLOW IN SOILS 99

Chapter 4. Water flow in soils

4.1. C O N S O L I D A T I O N A N D S E T T L E M E N T RATES

C o n s o l i d a t i o n is defined as the gradual expelling of w a t e r f r o m a nearly

s a t u r a t e d soil and c o n c u r r e n t r e d u c t i o n in the total soil v o l u m e . T h e final
a m o u n t of consolidation w h i c h will o c c u r in a g i v e n soil depends upon the
s t i f f n e s s of the solid m a t r i x of the soil, that is the increase of interparticle
f o r c e s a c c o m p a n y i n g the b r i n g i n g of p a r t i c l e s closer together. T h e rate at
w h i c h c o m p r e s s i o n of a s a t u r a t e d fine grained soil will take place is a
f u n c t i o n also of the hydraulic c o n d u c t i v i t y (speed of w a t e r flow under a
c e r t a i n pressure gradient) and the distance w h i c h w a t e r m u s t flow to escape
the soil m a s s .

Pore pressure u

F i g . 4 . 1 . S c h e m a t i c d i a g r a m of soil c o n s o l i d a t i o n .

F i g . 4.1 s h o w s s c h e m a t i c a l l y w h a t t a k e s place during c o n s o l i d a t i o n of a

s a t u r a t e d fine g r a i n e d s o i l . W h e n the total s t r e s s , α , is increased f r o m the
η

o r i g i n a l equilibrium value, initially the pore w a t e r r e m a i n s at its original

v o l u m e w i t h i n the s o i l , and supports v i r t u a l l y all of the pressure increase
through an increase in pore w a t e r pressure, u. T h e e x c e s s pore pressure gives
r i s e to a pressure gradient between the centre of the soil m a s s and the
b o u n d a r y , a n d w a t e r begins to flow to the outside. A s the v o l u m e of w a t e r
is d e c r e a s e d gradually the total soil v o l u m e d e c r e a s e s , allowing a closer
100 AGRICULTURAL E N G I N E E R I N G SOIL MECHANICS

p r o x i m i t y of soil p a r t i c l e s . T h e approaching of p a r t i c l e s in turn causes their

i n t e r a c t i n g repulsive f o r c e s to increase, thus d e c r e a s i n g the pressure in the
w a t e r . W h e n all of the additional total boundary s t r e s s is supported by the
i n t e r p a r t i c l e s t r e s s , then water flow c e a s e s and the p r i m a r y c o n s o l i d a t i o n
process is c o m p l e t e .

4.1.1. One dimensional consolidation

T e r z a g h i ( 1 9 4 3 ) d e v e l o p e d a t h e o r e t i c a l a n a l y s i s for the rate of
c o n s o l i d a t i o n for one dimensional flow of w a t e r in a u n i f o r m s a t u r a t e d fine
grained soil, based on the f o l l o w i n g a s s u m p t i o n s .
- Water flow velocity is proportional to h y d r a u l i c pressure gradient ( D a r c y ,
1856).
- W a t e r is incompressible c o m p a r e d to the soil particle m a t r i x s t r u c t u r e .
- O v e r a c e r t a i n l i m i t of v o l u m e c h a n g e , the increase in e f f e c t i v e or
intergranular stress is proportional to the decrease in soil v o l u m e .
F r o m the first a s s u m p t i o n , the apparent v e l o c i t y of w a t e r f l o w , v, that is
the total v o l u m e of water passing t h r o u g h a unit c r o s s s e c t i o n a l soil area per
unit t i m e , can be expressed as by D a r c y ' s equation (1856) as f o l l o w s .

V = ki = - k f r ' = (4.1)
dz 7 dz
w

H e r e , k is the hydraulic c o n d u c t i v i t y of the soil (in units of length per

u n i t t i m e ) and h' is the e x c e s s h y d r a u l i c h e a d , above the s t a t i c head caused
by w a t e r unit weight and depth. H e r e , pore pressure u s i g n i f i e s e x c e s s
p r e s s u r e above the static w a t e r head also, and is expressed in units of
p r e s s u r e . T h e second underlying a s s u m p t i o n d i c t a t e s that an increase in
effective intergranular s t r e s s in the soil c a n n o t o c c u r before the soil particles
approach each other through w a t e r m o v e m e n t and soil v o l u m e c h a n g e . B e f o r e
v o l u m e c h a n g e o c c u r s , the pore w a t e r supports all additions in total s t r e s s
supported by the soil. T h u s , for a c o n s t a n t total boundary s t r e s s , the s u m of
e f f e c t i v e s t r e s s and pore pressure will r e m a i n c o n s t a n t , and c h a n g e s in one
m u s t equally o f f s e t those in the other. C o n v e n t i o n a l l y , the s y m b o l ρ is used
to represent e f f e c t i v e n o r m a l s t r e s s in c o n s o l i d a t i o n .

dR = du (4.2)
AT " AT

T h e third a s s u m p t i o n leads to a relationship between soil v o l u m e and

e f f e c t i v e s t r e s s over a l i m i t e d r a n g e , w h i c h c a n be stated as follows for
c o n s t a n t total pressure.
AV
V = - m Ap = m Au (4.3)
v v

where m v is the c o e f f i c i e n t of v o l u m e c o m p r e s s i b i l i t y , w h i c h is a s s u m e d
to be p r a c t i c a l l y a constant over a l i m i t e d r a n g e of soil v o l u m e c h a n g e , and
 WATER FLOW IN SOILS 101

ρ is t h e e f f e c t i v e v e r t i c a l soil s t r e s s . T h e basic equation for rate of soil

consolidation c o m e s f r o m the principle of c o n s e r v a t i o n of m a t t e r . It is stated
a s t h e r a t e of change of w a t e r v e l o c i t y over distance equals the rate of
change of volume at a point per unit t i m e , or in t e r m s of the above s y m b o l s ;

( ω
>

F r o m Eqn. 4 . 1 , the w a t e r v e l o c i t y above c a n be replaced by a f u n c t i o n of

p o r e p r e s s u r e , w i t h the f o l l o w i n g equation h a v i n g u as the only dependent
variable.

du = k dfu ( ^ 5 )

dt 7 m 9z
w v
2

A l t h o u g h E q n . 4.5 describes v a r i a t i o n s in pore pressure u, this c a n be

converted easily to volume change of the soil by E q n . 4.3 above. A t any point
i n t h e s o i l , t h e r e f o r e , a r e d u c t i o n in pore pressure is a s s u m e d to be
p r o p o r t i o n a l to the decrease in soil v o l u m e , and the degree of consolidation
f r o m initial conditions to the final equilibrium state c a n be defined by the
relative m a g n i t u d e of either pressure or v o l u m e .
For the one dimensional w a t e r flow c a s e , an added v e r t i c a l total s t r e s s is
assumed to be c o n s t a n t at all points in a soil layer. T h e initial pore pressure,
a t t i m e t = 0 , is a s s u m e d to be equal to this additional total s t r e s s , and then
to decrease w i t h t i m e . These a s s u m e d initial conditions do not lend t h e m s e l v e s
to a simple solution of the differential equation 4.5, because the natural
solution to the equation is a sinusoidal f u n c t i o n of depth, z, multiplied by an
e x p o n e n t i a l f u n c t i o n of t i m e , t. H o w e v e r , a F o u r i e r series c a n be used to
c o m b i n e m a n y t e r m s of the natural solution f o r m to yield the appropriate
initial conditions, and yield the degree of c o n s o l i d a t i o n , U .

Γ kn 7T t"|
2 2

U = i L = £ ^(l-cosn7r)sin[^]el Tw v 4 m H 2
J (40

A nondimensional t i m e f a c t o r , Τ , c a n be found in E q n . 4.6 as f o l l o w s .

Τ = = (4.7)
v
7w v m H 2

Cv is c a l l e d the c o e f f i c i e n t of c o n s o l i d a t i o n , and is in units of length

squared per unit t i m e . T h e one d i m e n s i o n a l c o n s o l i d a t i o n rate of any layer of
u n i f o r m soil c a n be d e t e r m i n e d by s u b s t i t u t i n g the appropriate c o e f f i c i e n t of
consolidation and layer drainage l e n g t h , H , into E q n . 4.7, and then finding the
d e g r e e o f s e t t l e m e n t at a p a r t i c u l a r t i m e f r o m E q n . 4.6, or its graphical
representation in F i g . 4.2.
102 AGRICULTURAL E N G I N E E R I N G SOIL MECHANICS

T h e d r a i n a g e l e n g t h , H , depends on whether w a t e r c a n escape f r o m both

t h e t o p and b o t t o m boundaries of the c o m p r e s s i b l e soil layer. If w a t e r can
m o v e in only one d i r e c t i o n , as in F i g . 4.2(a), then the s i t u a t i o n is t e r m e d
" s i n g l e d r a i n a g e " , and Η is the total layer t h i c k n e s s . If, on the other hand,
water can m o v e practically without r e s i s t a n c e f r o m both the top and b o t t o m
surfaces, then "double d r a i n a g e " is the appropriate t e r m , and Η is one half of
the layer height, as shown in F i g . 4.2(b).
F o r large c h a n g e s in soil v o l u m e , it is the proportionality between v e r t i c a l
effective pressure and s e t t l e m e n t a s s u m p t i o n in the d e v e l o p m e n t above w h i c h
b e c o m e s the m o s t i n a c c u r a t e . In f a c t , a loose s a t u r a t e d c o m p r e s s i b l e soil
changes v o l u m e proportionally to the l o g a r i t h m of applied pressure, rather than
linearly. T r a d i t i o n a l l y , the change in v o l u m e is expressed as v a r i a t i o n s in void
r a t i o ( v o l u m e of soil voids divided by v o l u m e of solid particles) as s h o w n in
Fig. 4.3 plotted against vertical pressure, p, on a l o g a r i t h m i c s c a l e . The void
r a t i o s on this d i a g r a m are the final quantities, after enough t i m e has passed
f o r p r i m a m r y consolidation to be p r a c t i c a l l y c o m p l e t e d , and for e x c e s s pore
w a t e r p r e s s u r e to be essentially z e r o . O n this kind of d i a g r a m , m o s t
compressible soils exhibit nearly a s t r a i g h t line void ratio versus l o g a r i t h m of

Time factor, T v

F i g . 4.2. D e g r e e of conslidation versus t i m e f a c t o r for the one dimensional

u n i f o r m pressure case ( T e r z a g h i , 1943).
 WATER FLOW IN SOILS 103

F i g . 4.3. F i n a l consolidated void r a t i o v e r s u s the l o g a r i t h m of pressure.

pressure b e h a v i o r The slope of this line is called the coefficient of

c o m p r e s s i o n , and is defined as f o l l o w s .

- C - _ E2 - GO (4.8)
c "Alogp log(p /p )
2 0

T o c o n v e r t the v a r i a t i o n in void r a t i o to the c h a n g e in soil v o l u m e , or

s e t t l e m e n t in the one dimensional c a s e , the f o l l o w i n g equation can be used,
in which V , h and e represent the initial conditions and A h is the observed
0 0 0

s e t t l e m e n t o f a soil layer. H e r e , h r e f e r s to the total height of the

compressible layer, and is not a l w a y s equal to the m a x i m u m drainage l e n g t h ,
H , above.

AV
Ah _ Ae
=
(4*9)
Vhi " 1 + e„
o

0 0 ο
To calculate the s e t t l e m e n t of a soil w h i c h has been n o r m a l l y consolidated
(that is has not s u f f e r e d a larger pressure at s o m e t i m e in the past), the
change in pressure, A p , c a n be used in the f o l l o w i n g e x p r e s s i o n .

(4J0)
104 AGRICULTURAL E N G I N E E R I N G SOIL MECHANICS

Void
ratio

log ρ
F i g . 4.4. Consolidation c u r v e for a preconsolidated c o m p r e s s i b l e soil, and the
m e t h o d of e s t i m a t i o n of the preconsolidation pressure, p , of Q

C a s a g r a n d e (1936).

F o r a soil w h i c h has been preconsolidated to a higher pressure than the

ambient one, then the p used in E q n . 4.10 should not be the initial pressure
0

e x e r t e d v e r t i c a l l y on the s o i l , but should be the p r e c o n s o l i d a t i o n pressure to

w h i c h the soil w a s f o r m e r l y exposed. F i g . 4.4 s h o w s the typical void ratio
v e r s u s pressure behavior of a c o m p r e s s i b l e soil when it is subjected to
pressure w h i c h begins below the historical p r e c o n s o l i d a t i o n pressure, and then
increases beyond it. A t low pressure, s u c h as point A in F i g . 4.4, the ratio of
c h a n g e in void ratio to increase in l o g a r i t h m of applied p r e s s u r e , p, is m u c h
s m a l l e r than at higher pressures above p . T h i s is because the soil particles
0

" r e m e m b e r " the higher preconsolidation s t r e s s , p , to w h i c h they were

0

p r e v i o u s l y c o n s o l i d a t e d , and will not begin to c o m p r e s s at the n o r m a l

c o e f f i c i e n t of c o m p r e s s i o n , C , until this p r e c o n s o l i d a t i o n s t r e s s has been
c

exceeded.
A commonly used method for e s t i m a t i n g the preconsolidation pressure f r o m
t h e results of a consolidation test w a s proposed by C a s a g r a n d e (1936) and is
shown in Fig. 4.4. The point Β where the m i n i m u m radius of c u r v a t u r e o c c u r s
is located, and a tangent B D and horizontal line B E d r a w n t h r o u g h this point.
P o i n t F above the e s t i m a t e d preconsolidation pressure, p , is found at the 0

i n t e r s e c t i o n of the bisector of angle D B E and the slope C c of the higher

p r e s s u r e s t r a i g h t line portion of the c o n s o l i d a t i o n c u r v e . H a v i n g found the
e s t i m a t e d value of p , one c a n then c a l c u l a t e the expected s e t t l e m e n t of a
0

thin, wide soil layer by inserting this p value in E q n . 4.10. Δ ρ in the equation
0
 WATER FLOW IN SOILS 105

is the increase in vertical pressure above p , or; 0

Δ ρ = P 2 - p Q (4.11)

where ρ 2 is the final applied pressure.

A s discussed in C h a p t e r 2, the c o e f f i c i e n t of c o n s o l i d a t i o n , C , can bev

e s t i m a t e d also f r o m the results of a c o n s o l i d a t i o n test if m e a s u r e m e n t s of

s e t t l e m e n t are made at different t i m e s , and the nondimensional t i m e f a c t o r
T is read f r o m F i g . 4.2. F u r t h e r m o r e , the s a t u r a t e d h y d r a u l i c c o n d u c t i v i t y , k,
v

c a n be a p p r o x i m a t e d f r o m E q n . 4.7, and the linear c o e f f i c i e n t of v o l u m e

compressibility, m , estimated.
v

AV Ah / x

<W>
m / l l o

m
v = N ^ = h ^

I n s u m m a r y , the final one dimensional s e t t l e m e n t of a soil layer can be

calculated f r o m E q n . 4.10 as a result of a v e r t i c a l pressure increase over the
presonsolidation s t r e s s . A n d the p r o g r e s s of that s e t t l e m e n t w i t h t i m e is m o s t
e a s i l y e s t i m a t e d by c o m p u t i n g the t i m e f a c t o r , T , at different t i m e s , and
v

reading the p e r c e n t a g e of the final c o n s o l i d a t i o n a m o u n t f r o m F i g . 4.2.

F i g . 4.5. A u n i f o r m clay layer in P r o b l e m 4 . 1 .

P r o b l e m 4 . 1 . F i g . 4.5 s h o w s a u n i f o r m c l a y layer of depth 20 m s i t t i n g on

sand. A n overburden of 20 k P a pressure is placed on the clay s u r f a c e at time
z e r o . W h a t will be the final s e t t l e m e n t of the s u r f a c e due to c o n s o l i d a t i o n ,
and how long will it take for 5 0 % of this subsidence to o c c u r ?

I n this e x a m p l e , the c o e f f i c i e n t of c o n s o l i d a t i o n , C , is not p r o v i d e d , but

v

it c a n be w o r k e d out f r o m the h y d r a u l i c c o n d u c t i v i t y , k, and the c o e f f i c i e n t

of compressibility, m , by E q n . 4.7. m will be e s t i m a t e d using E q n . 4.3 after
v v

the final s e t t l e m e n t has been c a l c u l a t e d by E q n . 4.10.

106 AGRICULTURAL E N G I N E E R I N G SOIL MECHANICS

h
• ^ H ^ ] • #?}°^] - °·' 20 88 m

For the c a l c u l a t i o n of C , the hydraulic c o n d u c t i v i t y , k, m u s t be c o n v e r t e d

v

to u n i t s o f velocity per unit pressure gradient in f o r c e per unit area per

l e n g t h , rather than the pressure unit, head of w a t e r , as it is g i v e n .

k = 0.01 (m/day)/(l m head/1 m length)

= 0.01 (m/day)/(9.8 k P a / m ) = 1 . 0 2 x l O " m / ( k P a 3 2
day)

C v = 1.02xl0" m kPa/(9.69xl0"
3 2 4
k P a day) = 1.05 m / d a y 2

For 5 0 % consolidation, F i g . 4.2 indicates that the t i m e f a c t o r , T , is 0.20. v

T h e t i m e for 5 0 % consolidation c a n then be found using E q n . 4.7 w i t h Η =

20m/2 due to drainage at both the top and b o t t o m of the clay layer.

T v = C t/H
y
2
= 1.05t ( m / d a y ) / 1 0 0 m
2 2
= 0.20

t = 19 days for 5 0 % settlement

4.1.2. Three dimensional cases

I n T e r z a g h i s (1943) development of c o n s o l i d a t i o n theory outlined above,
f

t h e r e w a s also s o m e consideration of special c a s e s w h i c h did not exhibit

uniform c o n f i n i n g pressure w i t h depth. O n e , s h o w n s c h e m a t i c a l l y in F i g . 4.6(a)
was the case of a hydraulically placed landfill. I n i t i a l l y , the fill is essentially
a fluid and the e f f e c t i v e granular s t r e s s is zero at the top, and increases
m o r e or less linearly w i t h increasing depth due to the self w e i g h t of soil
p a r t i c l e s . T h i s situation can be a p p r o x i m a t e d by a linear increase in pore
water pressure w i t h depth initially, as s h o w n . T h e v a r i a t i o n in initial pressure
with depth requires a different F o u r i e r series of sinusoidal t e r m s as a f u n c t i o n
o f soil depth, and the decrease in pressure w i t h t i m e is g i v e n in A p p e n d i x 4
as c u r v e C .
A n o t h e r case is rather the r e v e r s e , n a m e l y a decrease in initial e x c e s s
p o r e p r e s s u r e w i t h depth. T h i s is the case when the s u r c h a r g e c a u s i n g
c o n s o l i d a t i o n is of finite width c o m p a r e d to the soil layer t h i c k n e s s . T h e
additional applied pressure f r o m the l o a d , Q, s h o w n in F i g . 4.6(b), spreads out
w i t h d e p t h over an increasingly large h o r i z o n t a l area, and thus decreases at
greater depths. T h e s i m p l e s t model, a s s u m i n g that the e x c e s s v e r t i c a l pressure
a n d i n i t i a l pore pressure is nearly zero at the soil layer base, is shown in
Fig. 4.6(b). The corresponding s e t t l e m e n t behavior w i t h t i m e is g i v e n by c u r v e
Β in A p p e n d i x 4.
 WATER FLOW IN SOILS 107

7 / / / / / / / / / / / /

/ / / / / / /

(a) Hydraulic fill tz

(b)Load of finite width

F i g . 4.6. Cases of c o n s o l i d a t i o n pressures w h i c h are not u n i f o r m w i t h depth:

(a) h y d r a u l i c fill and (b) a load of finite w i d t h .

I n f a c t , it is very d i f f i c u l t to e s t i m a t e the actual t i m e for a c e r t a i n

fraction of s e t t l e m e n t to take place in a three dimensional c a s e . C u r v e Β in
A p p e n d i x 4 has been c a l c u l a t e d based on the a s s u m p t i o n that w a t e r flow is
only vertical. A n d yet an e x a m i n a t i o n of F i g . 4.6(b) would indicate that e x c e s s
p o r e w a t e r pressure could easily cause w a t e r to flow to the sides of the
pressure zone beneath the s u r c h a r g e l o a d , Q, as well as v e r t i c a l l y . I t m u s t be
c o n c l u d e d , t h e r e f o r e , that c u r v e Β in A p p e n d i x 4 g i v e s a rather c o n s e r v a t i v e
e s t i m a t e of the t i m e required for a p a r t i c u l a r p e r c e n t a g e of s e t t l e m e n t to
o c c u r , and that actual t i m e s will probably be s m a l l e r , even in a u n i f o r m
isotropic soil.
A further consequence of a finite w i d t h load on a c o m p r e s s i b l e soil is that
t h e a d d i t i o n a l pressure and s e t t l e m e n t are not c o n s t a n t w i t h depth. F i g . 4.7
s h o w s b o t h a long and a r e c t a n g u l a r load on a soil l a y e r . A traditional rule
has been that the pressure spreads out w i t h depth w i t h i n a zone of influence
o f w h i c h the boundary has a slope of 1:2 to the h o r i z o n t a l as s h o w n . F o r a
l o a d o f w i d t h B, the area influenced at a depth Ζ is then B + Z . A s s u m i n g a
u n i f o r m pressure distribution on e a c h h o r i z o n t a l plane for s i m p l i c i t y ' s s a k e ,
the pressure at depth Ζ is less than the s u r f a c e pressure, p It can be found
1 #

f o r the strip and r e c t a n g u l a r loads using E q n . 4.13 and 4.14, r e s p e c t i v e l y . In

a d d i t i o n , a c i r c u l a r load can be treated like the r e c t a n g u l a r load by putting
both Β and L equal to the d i a m e t e r in E q n . 4.14.

(413)
* P = P I [ B T Z ]

Δ ρ =
PI[(B + zjo. + z)] («A)
108 AGRICULTURAL E N G I N E E R I N G SOIL MECHANICS

B e c a u s e the added pressure c h a n g e s w i t h depth, as well as the initial

pressure and very possibly the soil properties, E q n . 4.10 c a n n o t be used to find
t h e total soil s e t t l e m e n t . H o w e v e r , a finite element model c a n be used for
a n a p p r o x i m a t i o n as s h o w n in F i g . 4.7. The soil layer is cut into h o r i z o n t a l
slices, w i t h the upper slices being thinner than the lower ones. T h i s is because

F i g . 4.7. A n e s t i m a t i o n of the areas a f f e c t e d by consolidation pressure at

depth for a finite load w i d t h or r e c t a n g l e , and the m e t h o d of slices
to be used in such a case for s e t t l e m e n t c a l c u l a t i o n s .
 WATER FLOW IN SOILS 109

t h e s u r c h a r g e pressure is l a r g e r near the top, and the initial pressure lower,

c a u s i n g m o s t of the s e t t l e m e n t to o c c u r in the upper part of the l a y e r . T h e
a v e r a g e w i d t h of each slice is c a l c u l a t e d at the slice c e n t r e , s u c h as Ζ 3 in
F i g . 4.7, and the pressure e s t i m a t e d f r o m E q n . 4.13 or 4.14 as the case
d i c t a t e s . F o r a n o r m a l l y consolidated s o i l , the initial pressure, p , c a n be 0

e s t i m a t e d as the soil b u o y a n t density t i m e s the a v e r a g e depth of e a c h s l i c e .

I n t h e case of a presonsolidated s o i l , the values of p m u s t be d e t e r m i n e d
0

f r o m c o n s o l i d a t i o n tests on soil s a m p l e s f r o m d i f f e r e n t depths in the total

layer. Eqn. 4.10 c a n then be applied to e a c h slice to find its eventual change
i n h e i g h t , and all of the s e t t l e m e n t s are added to e s t i m a t e the total
s e t t l e m e n t of the soil s u r f a c e .

P r o b l e m 4.2. A n e x a m p l e of the above procedure is g i v e n in T a b l e 4.1 for a

s i t u a t i o n w h i c h r e s e m b l e s that in F i g . 4.7.

T A B L E 4 . 1 . E x a m p l e c a l c u l a t i o n s of the s e t t l e m e n t of a s a t u r a t e d clay soil

under a strip load. C c= 0.2, y = 19.6 k N / m , p-j = 50 k P a , Β = 1 0 m , a v e r a g e
3

e = 1.0 and Η = 30 m . E q n . 4.10 is used f o r e a c h h o r i z o n t a l s l i c e .

0

Slice Hj, m z., m Width, m Δρ, kPa P , 0 k P a AH, mm

1 4 2 12 42 39 127
2 4 6 16 31 118 41
3 4 10 20 25 196 21
4 8 16 26 19 314 20
5 10 25 35 14 490 12

Total 30 221

I t c a n be seen in T a b l e 4.1 that m o r e than half of the total soil profile

s e t t l e m e n t t a k e s place in the first 4 m t h i c k l a y e r , while only about five
percent o c c u r s in the b o t t o m l a y e r . T h e s e proportions are even m o r e disparate
under a r e c t a n g u l a r or c i r c u l a r load w h e r e the applied pressure decreases even
m o r e w i t h i n c r e a s i n g soil depth.

4.2. W A T E R F L O W I N S A T U R A T E D SOIL

E q n . 4 . 1 described the apparent speed of w a t e r flow in response to a

pressure gradient (that is the speed at w h i c h a c e r t a i n v o l u m e of w a t e r m o v e s
through the soil total v o l u m e ) . If w a t e r m o v e m e n t is not one d i m e n s i o n a l , then
t h e speed of w a t e r flow c a n c h a n g e f r o m place to place. F i g . 4.8 illustrates
s u c h a c a s e . F l o w lines c a n be described parallel to the d i r e c t i o n of w a t e r
110 AGRICULTURAL E N G I N E E R I N G SOIL MECHANICS

F i g . 4.8. W a t e r flow lines and lines of equal potential.

m o v e m e n t , and in an isotropic soil, these flow lines are perpendicular to

equipotential lines along e a c h of w h i c h the d y n a m i c h y d r a u l i c pressure is the
s a m e . I n F i g . 4.8, the distance b e t w e e n s u c c e s s i v e equipotential lines is
labelled a, and the separation of flow lines as b. The total rate of w a t e r flow
t h r o u g h e a c h flow channel, bounded by a pair of flow lines, can thus be
c a l c u l a t e d as f o l l o w s , for a unit depth of soil.

q = ^ = vb = k A h k (4J5)
dt a

If the flow and potential lines are d r a w n as ' s q u a r e s w i t h equal distances

1

between t h e m at any point, the E q n . 4.15 b e c o m e s even m o r e s i m p l e because

b/a b e c o m e s unity. W h e n this is done, then the d i f f e r e n c e in hydraulic
p o t e n t i a l , or p o t e n t i a l d r o p , is t h e s a m e between any t w o adjacent
e q u i p o t e n t i a l lines, and c a n be c a l c u l a t e d as the total potential d i f f e r e n c e
a c r o s s t h e entire soil m a s s under c o n s i d e r a t i o n , divided by the number of
drops or potential lines, n^. A l s o , the total w a t e r flow in the soil m a s s is the
e q u a l quantity of flow in each flow channel multiplied by the number of
channels, n^. In that c a s e , if the total h y d r a u l i c potential on the u p s t r e a m and
d o w n s t r e a m ends of the w a t e r flow r e g i o n are h ^ and h , r e s p e c t i v e l y , the
0

total v o l u m e of water flow per unit t i m e for a unit soil depth is;

% = k(h.-h ) n Πί (416)
at 1 ο Πς)
 WATER FLOW IN SOILS 111

4.2.1 Flow nets in soil structures

T h e a p p l i c a t i o n of the above technique for the c a l c u l a t i o n of rates of
w a t e r flow c a n be applied to m o s t c o n f i g u r a t i o n s of soil s t r u c t u r e s , provided
that the h y d r a u l i c c o n d u c t i v i t y is the s a m e in all d i r e c t i o n s .

F i g . 4.9. C o n s t r u c t i o n of a flow net t h r o u g h an e a r t h d a m for P r o b l e m 4.3.

P r o b l e m 4 . 3 . In F i g . 4.9 an e x a m p l e is g i v e n of a s m a l l u n i f o r m e a r t h d a m on
a r e l a t i v e l y i m p e r m e a b l e base. (If the subbase is m o r e permeable than the
d a m s o i l m a t e r i a l , then m o r e w a t e r w o u l d f l o w below the d a m than t h r o u g h
it.) The technique w h i c h has been used in F i g . 4.9 is to draw flow lines, s u c h
a s A C and B D , n o r m a l to equipotential lines s u c h as A B . T h e equipotential
lines are d r a w n in also between A B and C D , s u c h that a p p r o x i m a t e squares
are f o r m e d by the i n t e r s e c t i n g lines. N e a r the u p s t r e a m d a m slope, A B , it is
difficult to m a k e e x a c t squares because the f l o w lines c u r v e c o n s i d e r a b l y , but
a n e f f o r t is m a d e to m a k e the distance between equal head lines about the
s a m e as the w i d t h of the f l o w p a t h .
The u p p e r m o s t line, A C , is called the p h r e a t i c line or s u r f a c e , as it is at
zero gauge pressure. T h e potential of this line at any point is therefore only
i t s height above the r e f e r e n c e e l e v a t i o n , line B D . In d r a w i n g equipotential
lines intersecting line A C , the d i f f e r e n c e in height of A C should be the s a m e
b e t w e e n p o t e n t i a l drops. T h u s the phreatic line c u r v e s d o w n w a r d s w i t h
i n c r e a s i n g n e g a t i v e slope as the equipotential lines b e c o m e closer together,
and the flow paths b e c o m e n a r r o w e r near C D .
I n the e x a m p l e s h o w n , the n u m b e r s of flow paths and head drops in the
s t r u c t u r e are n f = 2 and n ^ l l . T h e s e n u m b e r s are then substituted into
E q n . 4.16, t o g e t h e r w i t h the soil p e r m e a b i l i t y , in order to c a l c u l a t e the v o l u m e
of w a t e r l e a k a g e t h r o u g h the d a m per unit t i m e and per unit l e n g t h of the
dam. F o r i n s t a n c e , if in the e x a m p l e η-|=10 m , h = l m and k = 3 m/year, then
0

the total v o l u m e of w a t e r flow t h r o u g h the soil in the d a m w o u l d be;

q = ^ = 3 ( 1 0 m - l m ) - | = 4.9 m / y e a r / m
m 3
length
dt y 11 -—
112 AGRICULTURAL E N G I N E E R I N G SOIL MECHANICS

F i g . 4.10. F l o w beneath a retaining wall for P r o b l e m 4.4.

P r o b l e m 4.4. A n o t h e r example of w a t e r flow in a soil s t r u c t u r e is g i v e n in

F i g . 4.10. It is a retaining wall supporting soil w i t h a w a t e r table near the
top, and a w a t e r c u t o f f w a l l , A B , designed to lengthen the w a t e r flow paths,
a n d to r e d u c e the hydraulic pressure near the wall edge C . A n a t t e m p t is
m a d e to draw square shapes contained a m o n g i n t e r s e c t i n g equipotential and
f l o w l i n e s , although the endmost ' s q u a r e s are not v e r y e x a c t square shapes.
1

H e r e , D E is the first potential line w i t h the r e f e r e n c e potential h-j - h , and

0

t h e r e are three flow lines s h o w n ; one along the wall f o l l o w i n g path D A B C ,

the centre one and one along the horizontal bedrock. T h e last potential line,
w i t h the lowest potential, is C F ( A C being part of the u p p e r m o s t flow line).
The number of potential drops in this case is f i v e , and there are two flow
paths. T h e s e numbers are then inserted into E q n . 4.16 to e s t i m a t e the rate of
w a t e r flow per unit t i m e per unit wall l e n g t h .
 WATER FLOW IN SOILS 113

In both the c a s e s of the e a r t h d a m and wall s h o w n above, the d r a w i n g of

water flow nets g i v e s i n f o r m a t i o n not only c o n c e r n i n g the rate of w a t e r flow,
b u t also of the hydraulic pressures a c t i n g w i t h i n the e a r t h w o r k s . B e c a u s e
potential, h, has been defined as the ' e x c e s s ' h y d r a u l i c head above that due
to s t a t i c h e a d , it m a y be defined also as the s u m of total w a t e r pressure
(expressed as a height unit) plus the r e l a t i v e height of a point of water. T h i s
c o n c e p t is f a i r l y clear in the case of the d a m , F i g . 4.9, w h e r e i n all of the
w a t e r in the r e s e r v o i r behind the d a m is considered to have the s a m e
p o t e n t i a l , h-|, r e g a r d l e s s of height above the base. A t all points in the
r e s e r v o i r , the w a t e r has the s a m e s u m of e l e v a t i o n and pressure, (z+u=h-|),
b o t h e x p r e s s e d in height units. A t the top s u r f a c e , for e x a m p l e , the gauge
p r e s s u r e is z e r o , but the e l e v a t i o n is h-j, while at the b o t t o m , the height is
zero r e l a t i v e to elevation B D , but the pressure is h-j m of w a t e r .
T h e s a m e is true for the w a t e r in the soil around the wall in F i g . 4.10.
S i n c e ' s q u a r e ' potential and flow lines have been d r a w n , then all of the
p o t e n t i a l lines represent equal potential d r o p s . A t point G , for e x a m p l e in
F i g . 4.10, the potential drop is one f i f t h of the total head loss along the flow
p a t h , and the potential at that point is 0.8(h-j-h ). T h e e l e v a t i o n of point G is
o

Z Q above the r e f e r e n c e h 0 of line C F . T h e r e f o r e , the actual s t a t i c w a t e r

pressure at this point is the total potential m i n u s the e l e v a t i o n , or;

u = h - z Q = 0.80^ - h ) - zQ Q (4.17)

T h e w a t e r p r e s s u r e will be in units of w a t e r height in E q n . 4.17, and

r e q u i r e s m u l t i p l i c a t i o n by the density of w a t e r (7w = 9.8 k N / m ) in order to
3

c o n v e r t it to a s p e c i f i c f o r c e pressure ( k P a ) . T h e pressure distribution is

s h o w n in F i g . 4.10 w i t h the values noted representing a proportion of the
water height (h-j-h ) multiplied by the w e i g h t density of w a t e r . It c a n be seen
0

t h a t the installation of the c u t o f f wall has reduced the pressures on the

b o t t o m of the wall c o n s i d e r a b l y .

Problem 4.5. A n o t h e r e x a m p l e of this technique is s h o w n in F i g . 4 . 1 1 , for the

c a s e o f a s m a l l i m p e r m e a b l e c o n c r e t e d a m on an isotropic permeable soil
layer. T h e flow lines and equipotential lines are d r a w n for the w a t e r flow
t h r o u g h the soil beneath the d a m , m a k i n g squares as m u c h as possible. T h e
calculation of s t a t i c w a t e r pressure is s i m p l e r in this c a s e , since the base of
the c o n c r e t e d a m is all at the s a m e e l e v a t i o n . T a k i n g this e l e v a t i o n to be the
r e f e r e n c e zero potential, then the w a t e r pressure values along the d a m base
are equal to the potential quantities at e a c h point.
I n F i g . 4.11(a), the potential lines w i t h whole n u m b e r s have been labelled
( h = 4 m , etc.), and the head a s s o c i a t e d w i t h e a c h potential line is the s t a t i c
pressure a c t i n g on the d a m base at the point where that line m e e t s the base
surface (such as point A for the 4 m head). T h e w a t e r pressure at point A is
thus 4 m χ 9.8 k N / m = 39 k P a , and the pressures at other potential lines are
3

calculated in the s a m e m a n n e r . In F i g . 4.11(b), the w a t e r pressure d i a g r a m is

s h o w n below the flow net f i g u r e , and this d i a g r a m c a n now be of a s s i s t a n c e
114 AGRICULTURAL E N G I N E E R I N G SOIL MECHANICS

k 12.8m -H

Fig. 4.11. Water flow through soil under a c o n c r e t e d a m , and the water
pressure distribution on the d a m .

in d e t e r m i n i n g all of the f o r c e s a c t i n g on the d a m ( F i g . 4.11c), and its

s t a b i l i t y . The v e r t i c a l w a t e r force on the d a m b o t t o m , U2, is found by
i n t e g r a t i n g the w a t e r pressure distribution of F i g . 4.11(b). In the example
s h o w n , this f o r c e is a p p r o x i m a t e l y U = 3 0 0 k N / m l e n g t h .
2

In F i g . 4.11(c), the f o r c e s on the d a m , per unit l e n g t h in the y d i r e c t i o n ,

a r e i n d i c a t e d as U1, the h y d r o s t a t i c f o r c e f r o m the w a t e r in the r e s e r v o i r
b e h i n d t h e d a m ; U , the f o r c e f r o m the pore w a t e r pressure illustrated in
2

F i g . 4.11(b); N , the e f f e c t i v e soil particle to d a m base f o r c e ; W, the weight

f

o f t h e d a m itself; and T , the sliding r e s i s t a n c e f o r c e . T h e stability of the

c o n c r e t e d a m in sliding is assessed using the f o r m u l a e below. E x a m p l e
quantities w h i c h have been used are W = 6 0 0 k N / m l e n g t h , c = 3 k P a and δ = 2 5 ° . a
f ,

U
l = YYVJ h
l = 1 2 2
' 5 k N
/ m ( 4 e l 8 )
 WATER FLOW IN SOILS 115

Ν» = W - U 2 = 300 k N / m (4.19)

Τ = υ 122.5 χ= kN/m (4.20)

T
max = c
a ( 1 2
- 8 m ) + N
' t a n
& = 178 k N / m (4.21)

Safety Factor = _a = 1.46

(422)
T m x

F u r t h e r e x a m p l e s of d y n a m i c pressures in e a r t h s t r u c t u r e s will be seen in

C h a p t e r 5, Slope S t a b i l i t y .

4.2.2. Flow to subsurface drains

Another s t r u c t u r e in w h i c h the flow of w a t e r is i m p o r t a n t is a s u b s u r f a c e
drain s y s t e m . S u c h a s y s t e m is used in h u m i d areas in order to r e m o v e e x c e s s
s o i l w a t e r d u r i n g and just after periods of r a i n , and to r e m o v e e x c e s s salts
in saline soils or under i r r i g a t i o n w i t h b r a c k i s h w a t e r . A typical subsurface
d r a i n c o n f i g u r a t i o n w h i c h is used to lower or m a i n t a i n the depth of a w a t e r
t a b l e is s h o w n on a c r o s s s e c t i o n in F i g . 4.12(a). F i g . 4.12(b) illustrates the
a c t u a l flow net pattern for this c a s e . U n f o r t u n a t e l y , this p a t t e r n involves
complicated equations for an analysis of the drainage r a t e , q, (the v o l u m e of
water r e m o v e d per unit area and time) of s u c h a s y s t e m . In 1940, H o o g h o u d t
developed a t r a n s f o r m a t i o n of the s u b s u r f a c e drain flow net to a s i m p l e r
v e r t i c a l and h o r i z o n t a l flow s i t u a t i o n . H i s m e t h o d of a n a l y s i s is explained by
v a n S c h i l f g a a r d e (1957), L u t h i n (1973) and S m e d e m a and R y c r o f t (1983), and
it is the s i m p l e s t and m o s t o f t e n used a n a l y t i c a l m e t h o d today.
Hooghoudt reasoned that the flow of w a t e r to buried drain pipes above an
i m p e r m e a b l e level barrier at depth, D , below the drainpipes, r e s e m b l e s that
t o p a r a l l e l open d i t c h e s . The principal d i f f e r e n c e between the t w o cases is
t h e radial flow pattern close to the drainpipe itself, as can be seen in
Fig. 4.12(b). H o o g h o u d t t r a n s f o r m e d this radial flow into a h o r i z o n t a l flow, as
illustrated in F i g . 4.12(c), but t h r o u g h a r e d u c e d depth, d, to the i m p e r m e a b l e
b a r r i e r . T h e f o l l o w i n g f o r m u l a e give the equivalent depth, d, in the c a s e s of
r e l a t i v e l y deep and shallow i m p e r m e a b l e b a r r i e r s , for a pipe r a d i u s , r.

D
F o r D > L/4; d = _8D l n ["Dl + ± (4.23)
7TL n
|7TrJ

For D<I_M; d =
" ^ f f f (4.24)
|_7rrJ

S i n c e the p a t t e r n of w a t e r flow has been t r a n s f o r m e d to v e r t i c a l flow

m o s t l y above the drain e l e v a t i o n , and h o r i z o n t a l flow below that, it w a s
s i m p l e to m o d i f y the prediction of drainage rate for the s i t u a t i o n in w h i c h
 116
AGRICULTURAL
E N G I N E E R I N G SOIL
MECHANICS

Fig. 4.12. The transformed flow net to parallel subsurface drain tiles (Hooghoudt, 1940).
 WATER FLOW IN SOILS 117

t h e r e are different h y d r a u l i c c o n d u c t i v i t i e s , k 1 and k , above and below the

2

d r a i n level, r e s p e c t i v e l y . H o o g h o u d t ' s equation for the drainage rate in this

c a s e is thus;

Eqn. 4.25 allows the prediction of drainage rate f r o m a s p e c i f i c s y s t e m in

a p a r t i c u l a r soil of k n o w n properties. A l t e r n a t i v e l y , the drainage s y s t e m m a y
be designed in t e r m s of drainpipe s p a c i n g and depth in order to m a i n t a i n a
d e s i r e d drainage rate and w a t e r table h e i g h t . T h e reader is directed t o w a r d s
L u t h i n (1957, 1973), S c h w a b et al. (1981) or S m e d e m a and R y c r o f t (1983) for
f u r t h e r i n f o r m a t i o n on drainage theory and techniques.

F i g . 4.13. S u b s u r f a c e drains in P r o b l e m 4.6.

P r o b l e m 4 . 6 . It is desired to drain a clay field w i t h parallel drains of

diameter 10 c m placed at a depth of 1.3 m below the w a t e r table, as s h o w n
in F i g . 4.13. The s a t u r a t e d c o n d u c t i v i t y has been m e a s u r e d to be an a v e r a g e
of 0.1 m/day above the drain depth, and 0.01 m/day below the drain depth to
an impermeable layer 2 m below the drains. W h a t drain s p a c i n g , L, should be
used to provide r e m o v a l of 10 m m / d a y of r a i n f a l l ?

A s s u m i n g that the depth f r o m the drains to the i m p e r m e a b l e layer is less

t h a n one quarter of the drain s p a c i n g , E q n . 4.24 is used to find the reduced
depth, d.

d =7TL/[81n(L/7Tr)]

q = 8k 7TLh/[8L ln(L/7Tr)]
2
2
+ 4k h /L
x
2 2

= 0.048(m /day)/[L
2
ln(L/.05 m ) ] + 0.676(m /day)/L
2

B y trial and error, the required d r a i n s p a c i n g L = 8.75 m .

118 AGRICULTURAL E N G I N E E R I N G SOIL MECHANICS

4.3. P R O B L E M S .

4.7. A l a y e r of wet clay soil 5 m thick has m o r e p e r m e a b l e layers both

above and below it. A v e r t i c a l pressure of 20 k P a is added u n i f o r m l y to
the layer, and it is observed that the s e t t l e m e n t of the l a y e r is 25 c m
a f t e r a long t i m e , and that it took t w o y e a r s for one half of this
s e t t l e m e n t to o c c u r . E s t i m a t e the p e r m e a b i l i t y of the soil.

A n s w e r : k = 0.015 m/y = 4 . 9 x l 0 ~ 8
cm/s.

4.8. A u n i f o r m wet layer of c o m p r e s s i b l e soil is 10 m deep and rests on

relatively impermeable r o c k . The soil is found to have C c = 0.20, C v =
10 m /y, e = 1.05 and p = 50 k P a . If a pressure of 10 k P a is applied
2
0 0

across the s u r f a c e of this soil, (a) w h a t will be the final s e t t l e m e n t of

t h e l a y e r , and (b) how long will it take for 9 0 % of the s e t t l e m e n t to
occur?

Answer: (a) A h = 7.7 c m , (b) t g n = 8.5 y.

To. 5 m
3m Silt

s / / / / / / / / / / / / / / / / 7 T / / / / / // / //////// ι / ξ
k 3m y 1m*« 3m Rock

F i g . 4.14. C o n c r e t e d a m in P r o b l e m 4.9.

4.9. F i g . 4 . 1 4 shows a s m a l l c o n c r e t e d a m c o n s t r u c t e d on a layer of silt

s o i l w h i c h has a s a t u r a t e d h y d r a u l i c c o n d u c t i v i t y of 10 m/y. F i n d (a)
t h e v o l u m e of water w h i c h will seep under the d a m per m e t r e l e n g t h
per year, and (b) the w a t e r pressure uplift f o r c e on the d a m per m e t r e
length.

A n s w e r : (a) F l o w = 6.9 m / m / y , (b) U = 150 k N / m .

3
 WATER FLOW IN SOILS 119

|*-6m -»|

F i g . 4.15. E a r t h d a m in P r o b l e m 4.10.

4.10. In Fig. 4.15 an e a r t h d a m is i l l u s t r a t e d . I f the s a t u r a t e d p e r m e a b i l i t y of

t h e s o i l is 5 m/y, w h a t annual w a t e r loss will o c c u r t h r o u g h the d a m
per m e t r e l e n g t h ?

A n s w e r : F l o w = 7.7 m^/m/y.

4.11. A n agricultural field has a deposit of fine sand 3.3 m deep situated on
r e l a t i v e l y i m p e r m e a b l e r o c k . P e r f o r a t e d tile drains of 10 c m d i a m e t e r
a r e placed in the field at a s p a c i n g of 15 m and an a v e r a g e depth
1.3 m . T h e s a t u r a t e d h y d r a u l i c c o n d u c t i v i t y of the soil has been
measured to be a fairly c o n s i s t e n t 0.05 m/day at all depths down to the
rock. If it is desired to m a i n t a i n the w a t e r table no higher than 30 c m
f r o m t h e s u r f a c e , w h a t p r e c i p i t a t i o n rate c a n this drainage s y s t e m
handle?

A n s w e r : q = 3.2 mm/day.

4.12. A l o a m soil is 3.5 m deep above a r e l a t i v e l y i m p e r m e a b l e l a y e r , and

it is desired to drain the field w i t h a w a t e r table no higher than 30 c m
d e e p . T h e hydraulic c o n d u c t i v i t y of the soil has been m e a s u r e d to be
a n a v e r a g e 0.1 m/day at all depths. I f the s p e c i f i c a t i o n is for a
d r a i n a g e rate of 10 m m / d a y of input p r e c i p i t a t i o n , w h a t would the
required s p a c i n g of 10 c m d i a m e t e r p e r f o r a t e d drain tiles be at depths
below the soil s u r f a c e of (a) 1.3 m and (b) 2.3 m ?

A n s w e r : (a) L = 8.5 m , (b) L = 16 m .

120 AGRICULTURAL E N G I N E E R I N G SOIL MECHANICS

Chapter 5. Slope Stability

5.1. S L O P E S T A B I L I T Y DETERMINATION

F i g . 5 . 1 . S l u m p failure of a s i m p l e slope on a c i r c u l a r slip s u r f a c e .

5.1.1. Uniform soils

F i g . 5.1(a) s h o w s a s i m p l e plane slope, and the w a y in w h i c h s u c h an earth
structure usually fails when it is not stable. T h e slip s u r f a c e is very close to
a c i r c u l a r shape, and s u c h an a s s u m p t i o n is very helpful in the m e c h a n i c a l
analysis of slope stability. In F i g . 5.1(b) are s h o w n the f o r c e s and s t r e s s e s
a c t i n g o n t h e s e c t i o n of cohesive soil w h i c h slips. H e r e , Ο is the center of
the circular slip shape, r is the c i r c l e radius, A is the c r o s s s e c t i o n a l area of
t h e s o i l s e c t i o n , L is the length of the slip s u r f a c e , W is the w e i g h t of the
s o i l s e c t i o n (equal to weight density t i m e s area for a u n i f o r m soil) and c is
the cohesional shear r e s i s t a n c e along the slip c i r c l e .
In this c a s e , the safety f a c t o r of the s t r u c t u r e c a n m o s t simply be defined
as t h e r e s i s t i n g m o m e n t of force about center O , divided by the m o m e n t
tending to cause the soil s e c t i o n to m o v e d o w n w a r d s , as f o l l o w s .

SF - cLr _ cLr (c-a

~ W X eg ~ 7 A X eg

A s s h o w n in E q n . 5 . 1 , the f a c t o r of s a f e t y depends on the cohesion and

density of the soil, as well as on the g e o m e t r i c f a c t o r s of circle radius, slip
l i n e l e n g t h , area of sliding soil s e c t i o n and the h o r i z o n t a l distance of the
center of g r a v i t y of the s e c t i o n f r o m the c i r c l e center. F o r a particular slope
a n g l e , /3, these g e o m e t r i c quantities are not k n o w n b e f o r e h a n d . H o w e v e r ,
T a y l o r (1937, 1948) d e m o n s t r a t e d that trial slip c i r c l e s could be d r a w n , the
f a c t o r of s a f e t y c a l c u l a t e d for e a c h and the c i r c l e w i t h the s m a l l e s t
 SLOPE STABILITY 121

0 10 20 30 40 50 60 70 80 90
Slope angle β°

F i g . 5.2. S i m p l e slope stability n u m b e r s , m (after T a y l o r , 1937).

122 AGRICULTURAL E N G I N E E R I N G SOIL MECHANICS

e s t i m a t e d safety f a c t o r can be considered as the " c r i t i c a l " and m o s t likely

failure c i r c l e .
F o r d i f f e r e n t s l o p e angles and soil internal f r i c t i o n angles, T a y l o r
r e a r r a n g e d E q n . 5.1 into the f o r m below. T e r m m is called the " s t a b i l i t y
n u m b e r " of the slope. It is a dimensionless quantity w h i c h c a n be m e a s u r e d
or c a l c u l a t e d f r o m the c r i t i c a l c i r c l e g e o m e t r i c p a r a m e t e r s .

AXcg
(5.2)
m
- H(S°.F.)7 " LrH

F i g . 5.2 g i v e s the stability n u m b e r s w h i c h T a y l o r (1937, 1948) found for

different slope angles, β, and angles of internal f r i c t i o n , φ . T h e n u m b e r s can be
used in various w a y s . F o r instance, the m a x i m u m height of a slope s t r u c t u r e
can be found for a c e r t a i n slope angle and desired s a f e t y f a c t o r using
Eqn. 5.2. A l t e r n a t i v e l y , the required slope angle can be d e t e r m i n e d for a fixed
height of slope and desired s a f e t y f a c t o r , or the s a f e t y f a c t o r of a g i v e n soil
s t r e n g t h , slope angle and height c a n be assessed.

Η =lOm

7 — 7 — 7 / / / / / / — / / / / /

F i g . 5.3. A simple slope in P r o b l e m 5 . 1 .

P r o b l e m 5 . 1 . The 10 m high slope illustrated in F i g . 5.3 rests on a s t r o n g e r

s o i l d e p o s i t . The soil in the slope is f r i c t i o n l e s s w i t h a c o h e s i v e s t r e n g t h of
23.5 k P a and a density 16 k N / m . W h a t is the highest permissible slope a n g l e ?
3

F r o m E q n . 5.2, m = ο / ( γ Η ) = 0.15
F i g . 5.2 shows that the m a x i m u m slope angle for φ=0 and n = l is 3 8 ° .
d

P r o b l e m 5.2. If the slope in F i g . 5.3 had an angle j3=45°, density 18 k N / m , 3

c o h e s i o n 13 k P a and f r i c t i o n angle 2 5 ° , w h a t would be the e s t i m a t e d s a f e t y

factor?

Fig. 5.2 gives m = 0.042 for β = 4 5 ° and φ= 2 5 ° . T h u s the s a f e t y factor,

S.F. = ο / ( η η γ Η ) = 1.72.
 SLOPE STABILITY 123

F i g . 5.4. (a) T h e method of slices for a n a l y z i n g slope stability, (b) F o r c e s on

one slice, (Taylor, 1948)
124 AGRICULTURAL E N G I N E E R I N G SOIL MECHANICS

5.1.2. The Method of Slices

A s usual in soil m e c h a n i c s , a g r e a t m a n y real s i t u a t i o n s are m o r e c o m p l e x
t h a n t h e s t r a i g h t slope c o m p o s e d of u n i f o r m soil s h o w n in F i g . 5 . 1 . L a y e r e d
s o i l s , the presence of a water table, i r r e g u l a r l y shaped slopes, s u r f a c e loads
a n d o t h e r f a c t o r s cannot be handled by the stability n u m b e r s of F i g . 5.2. In
c o m p l i c a t e d c a s e s , the method of s l i c e s c a n be used, as described by T a y l o r
( 1 9 4 8 ) . F i g . 5.4(a) depicts a slope in a soil h a v i n g t w o l a y e r s , a w a t e r table
and a s u r f a c e l o a d , Q. T h e analysis m e t h o d of s l i c e s i n v o l v e s the d r a w i n g of
a trial soil slip circle w i t h a center chosen at Ο and radius r, as s h o w n . T h e
p o t e n t i a l sliding soil s e c t o r is then split into slices w i t h v e r t i c a l sides. The
c r e a t i o n of six slices has been s h o w n in F i g . 5.4(a) as an e x a m p l e , w i t h the
objective being to have the b o t t o m boundary of e a c h slice not far away f r o m
a s t r a i g h t line w i t h constant inclination (such as L in F i g . 5.4(b)). T h i s will
allow the resolution of f o r c e s on e a c h slice in singular d i r e c t i o n s .
T h e slope of the b o t t o m of each slice is m e a s u r e d at a point vertically
b e l o w the center of g r a v i t y . In slices w i t h two v e r t i c a l sides, s u c h as slices
2, 3, 4 and 5 in F i g . 5.4, the center of g r a v i t y lies essentially along the
v e r t i c a l centerline, s u c h as the line of W4. In s l i c e s w i t h m o r e triangular
shapes, as n u m b e r s 1 and 6 in the e x a m p l e of F i g . 5.4, an a t t e m p t should be
m a d e to e s t i m a t e the l o c a t i o n of the c e n t e r of g r a v i t y , and m e a s u r e the
bottom boundary slope below it, like -Qy In the case of a s u r c h a r g e load, Q,
a n g l e 0Q is m e a s u r e d on the slip c i r c l e directly below the center of Q as
shown.
Each slice can now be a n a l y z e d as pictured in F i g . 5.4(b). W is the weight
o f the slice w h i c h has c r o s s sectional area A . In u n i f o r m soils, the slice
w e i g h t is simply the w e i g h t density t i m e s the a r e a . If the slice c o m p r i s e s
more than one soil type or degree of s a t u r a t i o n , the area c a n be divided into
a p p r o p r i a t e parts, s u c h as Α-j and A2, and the w e i g h t s of the parts s u m m e d
to y i e l d t h e total wet w e i g h t . O n the b o t t o m s u r f a c e there act n o r m a l and
t a n g e n t i a l f o r c e s , Ν and T . F o r the purpose of an e f f e c t i v e s t r e s s a n a l y s i s ,
the n o r m a l f o r c e should be divided into the e f f e c t i v e i n t e r g r a n u l a r f o r c e , N , f

p l u s the w a t e r f o r c e , U . T h e w a t e r f o r c e is found by d e t e r m i n i n g the w a t e r

pressure, u, at the b o t t o m midpoint and m u l t i p l y i n g by l e n g t h , L. Water
pressure, u, in the absence of s i g n i f i c a n t d y n a m i c w a t e r pressure, is the height
of the water table, above the slice b o t t o m midpoint h t i m e s the unit weight
w

of w a t e r . T h u s the w a t e r f o r c e U is:

u
= Tw w h L ( 5
' 3 )

I n t h e case that the flow of w a t e r in the slope c a u s e s d y n a m i c s h i f t s of

t h e s t a t i c pressure r e g i m e , then flow nets should be d r a w n as s h o w n in
Chapter 4. F i g . 5.5 g i v e s an example of a slope h a v i n g a w a t e r table at height
h-j above the toe, and an i m p e r m e a b l e underlying base. T h e flow net is d r a w n
a s d e s c r i b e d in C h a p t e r 4, w i t h squares being made a m o n g i n t e r s e c t i n g
equipotential and flow lines. A f t e r the possible failure slip c i r c l e has been
d r a w n , the w a t e r pressure c a n be evaluated at all points along this s u r f a c e .
 SLOPE STABILITY 125

F i g . 5.5. A w a t e r f l o w net in a slope, and the m e a s u r e m e n t of height, z, and

potential, h, at a slice b o t t o m m i d p o i n t , A .

A t p o i n t A , for instance, the total w a t e r potential (static pressure plus

e l e v a t i o n ) is Ιΐβ, w h i c h is t w o equal potential drops less than h-j. T h e height
of point A is ζ above the r e f e r e n c e e l e v a t i o n , and thus the pore pressure, u,
at that point c a n be found as;

3 " ?w (5-4)
U = ( h z )

I n t h e s i m p l i f i e d m e t h o d of s l i c e s , it is a s s u m e d that the f o r c e s on the

s l i c e s i d e s , h o r i z o n t a l , H , and v e r t i c a l , V , are equal on both sides. T h e n for
equilibrium, the s u m of f o r c e c o m p o n e n t s n o r m a l to the base equals z e r o , as
follows.

Ν = N + U = Wcos0
!
(5.5)
Force Τ parallel to the slice base is the actual f o r c e required to m a i n t a i n
e q u i l i b r i u m . I t s m a x i m u m possible v a l u e , T a x * found f r o m C o u l o m b ' s
m
c a n D e

soil s t r e n g t h law, m o d i f i e d for e f f e c t i v e s t r e s s e s .

T
max = N l t a n <
£' + c M
- = (Wcos0- U ) t a n φ 1
+ c'L (5.6)

A t this s t a g e , one c a n consider the m o m e n t s w h i c h are tending to rotate

each slice along the a s s u m e d c i r c u l a r slip line, as c o m p a r e d to those m o m e n t s
w h i c h c a n potentially resist this r o t a t i o n . S u c h a c o n c e p t is used c o m m o n l y
in soil m e c h a n i c s to assess the s a f e t y f a c t o r of a s t r u c t u r e , and s u c h a f a c t o r
c a n be d e f i n e d for the entire slope by s u m m i n g the potential resisting and
a c t i v e r o t a t i n g m o m e n t s of all the s l i c e s and the s u r f a c e l o a d . I t should be
noted that load Q c o n t r i b u t e s both to the total r o t a t i n g m o m e n t , and to the
resisting m o m e n t by virtue of the additional f r i c t i o n a l s t r e n g t h it c a n produce
on the slip c i r c l e below it. H o w e v e r , there is no additional c o h e s i v e shear
s t r e n g t h along the circle a s s o c i a t e d w i t h Q.
126 AGRICULTURAL E N G I N E E R I N G SOIL MECHANICS

Σ Resisting moments ]CJ[7 Acos

0 - u L +
Qcos0Q]tan</> +
!
C'L]
S p
t t - ' ' =
(5.7)
Σ Rotating moments Σ [γΑβίηβ + Qsin0Q]
E q n . 5.7 now gives an e s t i m a t i o n of the s a f e t y f a c t o r for the trial c i r c l e
w h i c h w a s originally d r a w n . H o w e v e r , this does not g u a r a n t e e that the
' c r i t i c a l or m o s t likely failure s u r f a c e has been f o u n d . T h e above procedure
1

should be repeated for s o m e other c i r c u l a r slip s u r f a c e s h a v i n g d i f f e r e n t radii

and c e n t e r s . F i g . 5.6 g i v e s an e x a m p l e of a t h o r o u g h a n a l y s i s of a slope in
t h i s f a s h i o n . If a s u f f i c i e n t n u m b e r of trial c i r c l e s are d r a w n and a n a l y z e d
f o r their e s t i m a t e d s a f e t y f a c t o r s , loci of slip c i r c l e c e n t e r s yielding equal
factors of s a f e t y c a n be f o u n d . T h e slip c i r c l e and its center w h i c h g i v e s the
s m a l l e s t safety f a c t o r is deemed to be the c r i t i c a l c i r c l e , and its safety
f a c t o r the likely one for the s t r u c t u r e . In usual p r a c t i c e , not that m a n y
c i r c l e s need to be c o n s t r u c t e d and a n a l y z e d , because experience in this
m e t h o d generally allows the c r i t i c a l failure circle to be c h o s e n q u i c k l y .

S.F. = 1.5 1.3

F i g . 5.6. The loci of centres of slip c i r c l e s w h i c h give equal e s t i m a t i o n s of

slope stability s a f e t y f a c t o r s .

P r o b l e m 5.3. F i g . 5.7 shows an e x a m p l e of a fairly steep slope c o m p r i s e d of

uniform cohesive and f r i c t i o n a l soil, and h a v i n g a s u r f a c e l o a d , Q. L o a d Q is
3 m wide and is 200 kn/m of l e n g t h . B e c a u s e the slope is fairly steep, the slip
c i r c l e is l i k e l y to pass t h r o u g h the toe at point B. A n d since there is a
c o n s i d e r a b l e s u r c h a r g e load Q, w i t h a defined w i d t h of e f f e c t , 3 m, the slip
c i r c l e m o s t probably intersects the edge of the s u r c h a r g e at point C . In this
e x a m p l e , four c i r c l e s have been d r a w n t h r o u g h points Β and C , along w i t h a
f i f t h c i r c u l a r s e c t i o n , D E , not passing t h r o u g h Β and C . T a b l e 5.1 is
c o n s t r u c t e d to r e c o r d the areas, angles and w e i g h t s of the individual slices
s y s t e m a t i c a l l y , in order to fit t h e m c o n v e n i e n t l y into E q n . 5.7.
 SLOPE STABILITY 127

T A B L E 5 . 1 . M e a s u r e m e n t s and c a l c u l a t i o n s for the slope slices of F i g . 5.7 to

use in E q n . 5.7 for the s a f e t y f a c t o r d e t e r m i n a t i o n .

r Slice A W Wcosfltan ιφ L cL Wsin θ

0° m2
m kN/m kN/m m kN/m kN/m
12 1 3 3.0 52.9 24.6 2.5 2.8
2 12 8.7 153.5 70.0 2.6 31.9
3 24 12.5 220.5 93.9 2.9 89.7
4 37 15.0 264.6 98.5 3.2 159.2
5 56 12.0 211.7 55.2 6.8 175.5
Q 60 - 200.0 46.6 - 173.2
388.8 18.0 324.0 632.3
S.F. = (388.8 + 324.0)/632.3 = 1.13
14 1 9 2.5 44.1 20.3 2.5 6.9
2 13 7.5 132.3 60.1 2.6 29.8
3 28 11.3 199.3 82.1 2.8 93.6
4 42 13.0 229.3 79.5 3.1 153.4
5 56 9.0 158.8 41.4 6.6 131.7
Q 59 - 200.0 48.0 - 171.4
331.4 17.6 316.8 586.8
S . F . = (331.4 + 316.8)/586.8 = 1.10
16 1 12 2.4 42.3 19.3 2.6 8.8
2 21 7.2 127.0 55.3 2.7 45.5
3 30 10.0 176.4 71.2 2.8 88.2
4 41 11.8 208.2 73.3 3.0 136.6
5 54 8.3 146.4 40.1 5.9 118.4
Q 57 _ 200.0 50.8 - 167.7
310.0 17.0 306.0 565.2
S.F. = (310.0 + 306.0)/565.2 = 1.09
20 1 13 2.0 35.3 16.0 2.6 7.9
2 24 6.6 116.4 49.6 2.7 47.3
3 32 8.8 155.2 61.4 3.0 88.2
4 42 10.0 176.4 61.1 3.0 118.0
5 51 7.5 132.2 38.8 5.9 102.8
Q 54 - 200.0 54.8 - 161.8
281.7 17.1 307.8 520.0
S . F . = (281.7 + 307.8)/520.0 = 1.13
12 1 -5 5.9 104.1 48.3 5.5 -9.1
(DE) 2 9 11.8 208.2 95.9 2.5 32.6
3 21 16.3 287.5 125.2 2.6 103.0
4 35 20.0 352.8 134.8 2.8 202.4
5 51 22.0 388.1 113.9 9.8 301.5
Q 53 - 200.0 56.1 - 159.7
574.2 23.2 417.6 790.1
S . F . = (574.2 + 417.6)/790.1 = 1.26
128 AGRICULTURAL E N G I N E E R I N G SOIL MECHANICS

F i g . 5.7. A n a l y s i s of slope in P r o b l e m 5.3 by the m e t h o d of s l i c e s .

In Table 5 . 1 , the 16 m radius c i r c u l a r s e c t i o n has the s m a l l e s t s a f e t y

f a c t o r of 1.09, thus m a k i n g the c r i t i c a l c i r c l e very close to this radius. A s
suspected, s e c t i o n D E , w h i c h does not intersect the slope toe or the edge of
the s u r c h a r g e , has a considerably higher s a f e t y f a c t o r of 1.26.

5.2 S T A B I L I T Y O F W A T E R C O U R S E BANKS

T h e c o n s t r u c t i o n of w a t e r c o u r s e s , especially drainage w a t e r w a y s , poses

s e r i o u s problems of bank stability in m a n y soil types. T h e d i f f i c u l t y is
generally most serious at s p e c i f i c t i m e s of each year when a large a m o u n t of
water is present in the soil beside a w a t e r c o u r s e , either due to high r a i n f a l l s ,
or s p r i n g m e l t i n g in colder c l i m a t e s . F i g . 5.8(a) s h o w s the case of a high
water table adjacent to a w a t e r c o u r s e . A s w a t e r f l o w s f r o m the soil t o w a r d s
the d i t c h b a n k s , a flow net is established s i m i l a r to the one illustrated in the
figure.
A t a n y p o i n t on the potential c i r c u l a r soil slip s u r f a c e s h o w n , the w a t e r
p r e s s u r e can be calculated as the potential value of the equipotential line
intersecting that point, less the elevation of the point above the zero
 SLOPE STABILITY 129

F i g . 5.8. (a) W a t e r flow in a d i t c h b a n k w i t h a high w a t e r table in the

adjacent field, (b) W a t e r pressure distribution on the potential slip
surface.

reference potential (the level of the w a t e r in the d i t c h b o t t o m in this case),

a s d e s c r i b e d in S e c t i o n 4 . 2 . 1 . I n F i g . 5.8(b), a t y p i c a l w a t e r pressure
distribution d i a g r a m has been c o n s t r u c t e d for the r e l e v a n t c a s e .
When the stability of the bank is e s t i m a t e d , using the m e t h o d of slices of
S e c t i o n 5.1.2, the w a t e r pressure a c t i n g on the slip s u r f a c e will have a
considerable e f f e c t in reducing the e f f e c t i v e n o r m a l s t r e s s on the slip s u r f a c e ,
a n d hence the soil shear s t r e n g t h . T h i s explains the f a c t that w a t e r c o u r s e
b a n k s v e r y o f t e n are seen to fail at t i m e s w h e n there is m u c h w a t e r in the
adjacent soil above the level of the d i t c h b o t t o m .
E v e n if t h e presence of w a t e r does not cause the entire bank to slip at
o n e m o m e n t , the high pressure gradient near the bank toe can cause 'quick'
c o n d i t i o n s there (practically z e r o e f f e c t i v e n o r m a l s t r e s s and shear strength)
p a r t i c u l a r l y in granular soils. T h i s p h e n o m e n o n g i v e s rise to the conditions
illustrated in F i g . 5.9(a), (b) and (c). F o l l o w i n g the s l a k i n g of soil f r o m the toe
r e g i o n , a new e f f e c t i v e slope angle is g i v e n to the entire bank. T h i s new
c o n f i g u r a t i o n is less stable than the o r i g i n a l , and w i t h the aid of the w a t e r
in the adjacent soil, the entire bank s l u m p s into a new shape. T h e new shape
m a y w e l l be stable for s o m e t i m e , but the b o t t o m of the w a t e r c o u r s e has
been raised by the fallen soil m a t e r i a l , and thus the e f f e c t i v e d i t c h depth is
l e s s . In addition, if w a t e r is m o v i n g quickly in the w a t e r c o u r s e , the loose
f a i l e d soil m a t e r i a l is w a s h e d easily d o w n s t r e a m to cause even greater
c o n c e n t r a t i o n s of s e d i m e n t at s o m e s e t t l i n g l o c a t i o n down the w a y .
130 AGRICULTURAL E N G I N E E R I N G SOIL MECHANICS

F i g . 5.9. (a) W a t e r flow f r o m the toe r e g i o n of a w a t e r c o u r s e bank causing

(b) slaking of the toe, and possibly (c) total slope instability.

The lowering of the bank slope angle will increase the overall stability of
t h e b a n k , but by itself cannot guarantee the p r e v e n t i o n of the local s l a k i n g
and subsequent failure s h o w n in F i g . 5.9. O n e m e t h o d w h i c h m a y be c o s t l y ,
but p r o m i s e s to be e f f e c t i v e in preventing bank failure due to seepage
pressures, is the installation of an interceptor s u b s u r f a c e p e r f o r a t e d drain tile
parallel to the w a t e r c o u r s e , and at a depth equal to or g r e a t e r than the ditch
b o t t o m . A s s h o w n in F i g . 5.10(a), the drain e f f e c t i v e l y l o w e r s the w a t e r table
near the w a t e r c o u r s e bank, and reduces the h y d r a u l i c pressures a c t i n g within
the slope and at its f a c e . T h e drain tile c a n have a s m a l l e r longitudinal slope
than the watercourse bed, and thus have an outlet in the ditch itself at s o m e
point d o w n s t r e a m , as s h o w n in F i g . 5.10(b).

5.3. E R O S I O N O F BANKS

N o t only can water inside the soil cause instability in sloped w a t e r c o u r s e

b a n k s , a s s h o w n in the previous S e c t i o n , but the w a t e r m o v i n g in the
waterway, or into it, c a n also give rise to s t r u c t u r a l d a m a g e . If the w a t e r is
moving too fast at the b o t t o m of the w a t e r c o u r s e , erosion c a n take place at
the toe of e a c h side of the d i t c h and produce a shape s i m i l a r to that pictured
in F i g . 5.9(b) above. T h e o r e t i c a l l y , a c e r t a i n w a t e r v e l o c i t y is required to
m o v e soil p a r t i c l e s , as described by the equation of M a v i s (1935) below.

ν = 0.152D 4 / 9
(G S - D 1 / 2
(5.8)

where ν = the m i n i m u m water velocity for m o v e m e n t (m/s)

D = a v e r a g e soil particle d i a m e t e r (mm)
G = s p e c i f i c g r a v i t y of particles (usually 2.6 - 2.7)
 SLOPE STABILITY 131

F i g . 5.10. (a) T h e a c t i o n of a s u b s u r f a c e drain in a w a t e r c o u r s e bank in

lowering the w a t e r table near the bank, (b) The d o w n s t r e a m outlet
of the d r a i n .

F o r soil m i x t u r e s , T a b l e 5.2 developed by F o r t i e r and S c o b e y (1926) g i v e s

t h e m a x i m u m permissible a v e r a g e f l o w v e l o c i t i e s in unprotected s t r a i g h t
waterways with small grades.

T A B L E 5.2. M a x i m u m p e r m i s s i b l e flow velocities in unprotected ditches,

( F o r t i e r and S c o b e y , 1926).

Soil m a t e r i a l M a x i m u m w a t e r v e l o c i t y , m/s
Clear water W a t e r w i t h suspension

F i n e sand 0.45 0.75

Silty l o a m and silt 0.50-0.60 0.75-1.00
Loam 0.70-0.80 1.00-1.10
Clay 1.10-1.20 1.50
Fine gravel 0.75 1.50
Coarse gravel 1.20 1.80
132 AGRICULTURAL E N G I N E E R I N G SOIL MECHANICS

S m e d e m a and R y c r o f t (1983) have also interpreted s o m e r e c o m m e n d e d

w a t e r c o u r s e design guidelines e m p l o y e d in the N e t h e r l a n d s , both for m a x i m u m
p e r m i s s i b l e w a t e r velocity and side slopes, as s h o w n in T a b l e 5.3. T h e lower
v e l o c i t i e s and slopes apply to unprotected w a t e r c o u r s e b a n k s , while the larger
quantities on each line refer to v e g e t a t e d c a n a l s .

T A B L E 5.3. L i m i t a t i o n s on flow v e l o c i t y and on side slope in drainage canals

( S m e d e m a and R y c r o f t , 1 9 8 3 , adapted f r o m I L R I , 1964).

Soil type Permissible M a x i m u m side slope

m e a n flow v e l o c i t y (m/s)

F i n e sand 0.15-0.30 1:3-1:2

C o a r s e sand 0.20-0.50 1:3-1:1.5
Loam 0.30-0.60 1:2-1:1.5
H e a v y clay 0.60-0.80 1:2-1:1

I n o r d e r to limit the m e a n flow v e l o c i t y in w a t e r w a y s , the grade of the

b e d m u s t be c o n t r o l l e d , or well designed drop s t r u c t u r e s are required along
t h e w a t e r w a y l e n g t h . R e a d e r s are r e f e r r e d to the b o o k s by L u t h i n (1973),
S c h w a b et al. (1981) or S m e d e m a and R y c r o f t (1983) for further details on
the appropriate design p r a c t i c e s for w a t e r c o u r s e p r o f i l e s .
E r o s i o n and d e f o r m a t i o n of ditch banks can arise also f r o m w a t e r flowing
d o w n into a w a t e r c o u r s e f r o m the sides during periods of heavy r u n o f f f r o m
adjacent lands. The description of s u c h erosion will be found in C h a p t e r 7. In
g e n e r a l , the best m e t h o d for c o m b a t t i n g s u c h erosion on w a t e r c o u r s e banks
s e e m s to be the establishment of a v i g o r o u s g r o w t h of g r a s s y v e g e t a t i o n , by
whatever technique is appropriate to the local c l i m a t e . T a b l e 5.3 indicates that
a g o o d c o v e r of v e g e t a t i o n on c a n a l sides allows a doubling of the interior
water flow v e l o c i t y , without serious erosion on m o s t soils. T h i s would indicate
also a similar i m p r o v e m e n t in r e s i s t a n c e to rill and gully erosion arising f r o m
w a t e r running d o w n the banks.

5.4. S T A B I L I T Y O F S M A L L EARTHDAMS

F i g . 4.9 illustrated a w a t e r f l o w net t h r o u g h a s m a l l e a r t h d a m in the case

w h e r e t h e r e s e r v o i r behind the d a m is full. T h e analysis of stability of this
s l o p e is c a r r i e d out in the s a m e m a n n e r as those described in S e c t i o n 5.1.2.
F i g . 5.11 s h o w s the kind of w a t e r pressure distribution w h i c h o c c u r s on a
potential slip c i r c l e for the s a m e type of d a m as s h o w n in F i g . 4.9. T h e w a t e r
pressure a c t i n g on e a c h slice b o t t o m center is mutliplied by the slice l e n g t h ,
L , t o g i v e the water f o r c e U for insertion in E q n . 5.7, in order to e s t i m a t e
the slope stability s a f e t y f a c t o r .
 SLOPE STABILITY 133

One instance in w h i c h hydraulic g r a d i e n t s and internal pore w a t e r pressures

can b e c o m e c r i t i c a l l y large in an e a r t h d a m is the c o n d i t i o n of d r a w d o w n . T h i s
occurs w h e n the r e s e r v o i r behind the d a m h a s been e m p t i e d q u i c k l y , and there
s t i l l r e m a i n s m o s t of the w a t e r inside the soil, as s h o w n in F i g . 5.12. T h i s
f i g u r e also s h o w s the kind o f w a t e r pressure d i s t r i b u t i o n w h i c h c a n arise in
such a c a s e , both on the f o r m e r u p s t r e a m and d o w n s t r e a m sides of the e a r t h
s t r u c t u r e . T h e m e t h o d of s l i c e s , as explained in S e c t i o n 5.1.2 should be
employed to v e r i f y the stability s a f e t y f a c t o r of both sides of the d a m in this
instance.

= zlwcosfl- u l - } t a n 0 ' +Zc'L

S F
'~ 2Wsin0

Fig. 5.11. Water flow net in an e a r t h d a m and the w a t e r pressure distribution

on the potential slip c i r c l e w h e n the r e s e r v o i r is full.

The illustrated d r a w d o w n c a s e is not a p e r m a n e n t s t a t e , since after a t i m e

t h e phreatic line will be lowered as w a t e r drains f r o m w i t h i n the d a m .
Nevertheless, the s i t u a t i o n does r e m a i n m u c h as p i c t u r e d in F i g . 5.12 for s o m e
t i m e , a n d the s t r u c t u r e could be in danger of failing during that period. A s
w i t h the steady state case of l e a k a g e as s h o w n in F i g . 5 . 1 1 , the water
p r e s s u r e d i s t r i b u t i o n , c a l c u l a t e d f r o m the potential of w a t e r along the slip
circle minus the e l e v a t i o n at e a c h point, is used in E q n . 5.7 to d e t e r m i n e the
s a f e t y f a c t o r of both slopes i n v o l v e d .
134 AGRICULTURAL E N G I N E E R I N G SOIL MECHANICS

Fig. 5.12. W a t e r flow nets and w a t e r pressure distribution on potential slip

c i r c l e s during d r a w d o w n of the w a t e r in an e a r t h d a m .

5.5. PROBLEMS

5.4. I t is d e s i r e d to cut a slope 10 m high in a f r i c t i o n l e s s soil h a v i n g a

c o h e s i o n of 20 k P a and a density 17 k N / m . W h a t is the m a x i m u m
3

possible angle of the s l o p e ?

Answer: β = 23°.

5.5. A 9 m high slope has a slope angle of 4 0 ° and the soil is a clay l o a m
h a v i n g a density of 17.6 k N / m , cohesion 10 k P a and angle of f r i c t i o n
3

2 0 ° . What is the s a f e t y f a c t o r of the s l o p e ?

A n s w e r : S.F. = 1.26.

5.6. T h e s l o p e s h o w n in F i g . 5.13 is a c o m p o s i t e being f o r m e d of layers of

s a n d a n d c l a y soils, w i t h the properties s h o w n . U s i n g the m e t h o d of
v e r t i c a l s l i c e s , e s t i m a t e the s a f e t y f a c t o r of this slope.

A n s w e r : S.F. = 1.75.
 SLOPE STABILITY 135

F i g . 5.13. L a y e r e d slope in P r o b l e m 5.6.

F i g . 5.14. Slope w i t h a w a t e r table in P r o b l e m 5.7.

5.7. The slope of F i g . 5.14 is c o m p o s e d of a sandy l o a m soil h a v i n g a density

of 16.7 k N / m , e f f e c t i v e f r i c t i o n angle 3 0 ° and cohesion 2.25 k P a . In the
3

spring after s n o w m e l t and r a i n s , the w a t e r table in the slope is as s h o w n

to scale in F i g . 5.14. If the slope potential failure c i r c l e has a radius of
6 m as s h o w n , find the slope s a f e t y f a c t o r (a) w i t h the w a t e r table as
s h o w n , and (b) w i t h the w a t e r table r e m o v e d by t i m e or s u b s u r f a c e
d r a i n a g e . ( A s s u m e that the soil e f f e c t i v e s t r e n g t h and density r e m a i n
a p p r o x i m a t e l y the s a m e in both c a s e s ) .

A n s w e r : (a) S . F . = 0.90, (b) S.F. = 1.4.

136 AGRICULTURAL E N G I N E E R I N G SOIL MECHANICS

F i g . 5.15. G r a v e l slope of P r o b l e m 5.8.

5.8. T h e g r a v e l slope s h o w n in F i g . 5.15 is used to support a r a i l w a y

e m b a n k m e n t . E s t i m a t e the s a f e t y f a c t o r of the slope using the g i v e n
w e i g h t of train per unit l e n g t h .

A n s w e r : S.F. = 1.9.
 LATERAL EARTH PRESSURES 137

Chapter 6. Lateral Earth Pressures

6.1. A C T I V E A N D P A S S I V E W A L L PRESSURES

F i g . 6 . 1 . A c t i v e and passive lateral e a r t h p r e s s u r e c a s e s and wall f o r c e s .

L a t e r a l , or wall pressures are those a c t i n g m o r e or less in the h o r i z o n t a l

d i r e c t i o n f r o m soil onto retaining s t r u c t u r e s or soil c u t t i n g tools. The t e r m
'active soil pressure is used in c a s e s w h e r e the soil is m o v i n g d o w n w a r d s w i t h
1

gravity, and is a c t i v e l y m o v i n g a wall a w a y f r o m its original p o s i t i o n . ' P a s s i v e

1

s o i l p r e s s u r e o c c u r s w h e n soil is being f o r c e d upwards a g a i n s t g r a v i t y by a

m o v i n g s t r u c t u r e or soil c u t t i n g tool, as depicted in F i g . 6 . 1 . B o t h of these
c a s e s represent the l i m i t equilibrium s t a t e , and the soil is considered to be
failing, both on internal rupture s u r f a c e s , s u c h as lines B C in F i g . 6 . 1 , as well
as at the i n t e r f a c e w i t h the c o n t a c t i n g object along lines A B . F i g . 6.1 s h o w s
also the basic s y s t e m s of f o r c e s a c t i n g on a wall or other object in the a c t i v e
and passive soil failure c a s e s .
In F i g . 6 . 1 , the f o r c e f r o m the soil perpendicular to the wall has been
c o m b i n e d w i t h the f r i c t i o n a l shear r e s i s t a n c e f o r c e parallel to the wall to
form a single r e s u l t a n t , P, inclined at angle δ to the perpendicular. It should
be noticed that the wall adhesion f o r c e , c L , the f r i c t i o n a l c o m p o n e n t of soil
a

force P, and the base shear r e s i s t a n c e f o r c e , T , all act in directions opposite

to the r e l a t i v e m o t i o n of the soil w i t h r e s p e c t to the w a l l .
138 AGRICULTURAL E N G I N E E R I N G SOIL MECHANICS

T h e r e are further possibilities for the directions of i n t e r f a c e shear f o r c e s

in t h e c a s e that the wall or tool is not m o v e d h o r i z o n t a l l y , but these are
s i t u a t i o n s r a r e l y m e t in p r a c t i c e . F i g . 6.2 s h o w s the c o n d i t i o n s of shear and
n o r m a l s t r e s s e s on the wall f a c e , A B , for four possible c a s e s of a c t i v e and
p a s s i v e soil failure, using the M o h r s t r e s s d i a g r a m and the s a m e c o n v e n t i o n s
a s s h o w n in C h a p t e r 2. S i t u a t i o n s n u m b e r 1 and 2 are those r e p r e s e n t e d in
F i g . 6.1 for the n o r m a l a c t i v e and passive soil failure c a s e s , r e s p e c t i v e l y ,
while situations number 3 and 4 are rarely s e e n .

F i g . 6.2. Four possible soil to wall failure c o n f i g u r a t i o n s . C a s e s 1 and 2 are

the n o r m a l a c t i v e and passive c o n d i t i o n s .
 LATERAL EARTH PRESSURES 139

Stresses at point Β

F i g . 6.3. S t r e s s conditions on a wall during a c t i v e soil failure.

I n F i g . 6.1 and 6.2, the soil internal failure s u r f a c e s , B C , are s h o w n as

curved. T h i s results when there is f r i c t i o n a l shear r e s i s t a n c e along a v e r t i c a l
wall face, as depicted in F i g . 6.3. A t point C on the soil s u r f a c e , there is no
s h e a r on the h o r i z o n t a l plane, and thus the v e r t i c a l and h o r i z o n t a l pressures
a r e principal s t r e s s e s , the latter being 0$· T h e inclination of the soil failure
plane at point C is 0f =(7Γ/2+φ)/2, as in F i g . 2.6. In g e n e r a l , h o w e v e r , there is
s h e a r s t r e s s along the soil to wall i n t e r f a c e , and for the v e r t i c a l wall f a c e
s h o w n in F i g . 6.3, the n o r m a l pressure on the wall c a n n o t be a principal
s t r e s s . I n s t e a d , the wall s u r f a c e is a soil to wall failure plane of w h i c h the
s t r e n g t h is g o v e r n e d by the soil to wall c o e f f i c i e n t of f r i c t i o n and adhesion
(Eqn. 2.2), and the principal s t r e s s e s t o g e t h e r w i t h the soil rupture plane are
r o t a t e d to a d i f f e r e n t inclination than that at point C .
In F i g . 6.3, the wall n o r m a l and shear s t r e s s e s are identified on the M o h r
diagram as point V , the shear being n e g a t i v e . T h i s s t r e s s c o m b i n a t i o n lies also
on the line of soil to wall s t r e n g t h w h i c h has i n t e r c e p t - c on the shear a x i s ,
a

and slope-δ. The m i n o r principal s t r e s s , O 3 , is l o c a t e d at a c l o c k w i s e angle of

2 € in t h e M o h r d i a g r a m f r o m the wall s t r e s s e s . T h e r e f o r e , 03 is inclined
clockwise at angle € f r o m ( 7 w h i c h is perpendicular to the v e r t i c a l w a l l . T h e
X X

major principal s t r e s s , O j , as well as the soil failure plane are r o t a t e d also at

that s a m e angle c o m p a r e d to their a t t i t u d e s at point C on the soil s u r f a c e .
In the cases where soil w e i g h t density t i m e s depth is s i g n i f i c a n t c o m p a r e d
t o i n t e r n a l c o h e s i o n , it is impossible to a n a l y z e the e x a c t s t r e s s v a r i a t i o n s
f r o m point C to point Β behind a r e t a i n i n g w a l l . T h i s is because s t r e s s
140 AGRICULTURAL E N G I N E E R I N G SOIL MECHANICS

c h a r a c t e r i s t i c equations 2.21 and 2.22 c a n n o t be i n t e g r a t e d e x a c t l y between

those two points in x - z s p a c e . S o m e s i m p l i f i c a t i o n s or n u m e r i c a l m a t h e m a t i c a l
t e c h n i q u e s m u s t be employed in order to a r r i v e at a solution to the f o r c e s
a c t i n g on soil retaining walls in the general c a s e .

6.1,1. Coulomb's method

In 1776, C o u l o m b did not have the techniques of M o h r ' s c i r c l e of s t r e s s e s
a t his disposal, nor the m e t h o d of s t r e s s c h a r a c t e r i s t i c s . N e v e r t h e l e s s , he
m a n a g e d to a n a l y z e the f o r c e s on a c e r t a i n class of r e t a i n i n g w a l l s , locate
the a p p r o x i m a t e soil internal failure plane and find the n e c e s s a r y c o n s t r a i n i n g
f o r c e f r o m a wall for the a c t i v e soil failure c a s e .
Jij.7.

F i g . 6.4. (a) Coulomb's (1776) d r a w i n g of a c t i v e soil failure behind a s m o o t h

r e t a i n i n g w a l l (lines g B and g'B') and a p p r o x i m a t e s t r a i g h t line
failure planes a B and a'B'. (b) C o n t e m p o r a r y n o t a t i o n for the f o r c e s .

Fig. 6.4(a) is reproduced f r o m C o u l o m b ' s original paper (1776), and it shows

some observed c u r v e d soil rupture s u r f a c e s , s u c h as B e g and B e g ' , s i m i l a r tof

F i g . 6 . 1 , 6.2 and 6.3. C o u l o m b noted that to find the soil failure plane, it is
n e c e s s a r y to locate that path in the soil w h i c h will result in the l a r g e s t
p r e s s u r e on the wall during a c t i v e soil f a i l u r e . I n other w o r d s , the w e a k e s t
p l a n e in the soil, taking a c c o u n t of internal f r i c t i o n , cohesion s t r e n g t h and
soil w e i g h t , is the likely rupture s u r f a c e .
However, C o u l o m b stated also that the appropriate t h e o r e t i c a l s t r a i g h t line
soil rupture plane, s u c h as B a in F i g . 6.4(a), will yield a wall retaining f o r c e
w h i c h " d o e s not differ except by a v e r y s m a l l q u a n t i t y " f r o m that of the
c u r v e d f a i l u r e line, B e g . H e proceeded to establish the f o r c e s y s t e m on the
s o i l m a s s bounded by a h o r i z o n t a l s u r f a c e , the s t r a i g h t internal failure plane
and a s m o o t h v e r t i c a l w a l l . F i g . 6.4(b) s h o w s the f o r c e s y s t e m , using present
day t e r m i n o l o g y for the force v e c t o r s .
 LATERAL EARTH PRESSURES 141

H e r e , Ρ is the required wall r e t a i n i n g f o r c e to just prevent m o v e m e n t , Ν

is the soil reaction n o r m a l to the internal failure plane and Ntan0 and c L are
t h e f r i c t i o n a l and cohesional c o m p o n e n t s , r e s p e c t i v e l y , of soil shear s t r e n g t h
along the rupture s u r f a c e B a . R e s o l v i n g all of these f o r c e s in directions
p e r p e n d i c u l a r and parallel to the failure plane, B a , and invoking equilibrium
f o r the condition of the l i m i t i n g f o r c e s w h e n soil failure is i m m i n e n t , the
following expression results f o r the wall f o r c e Ρ in t e r m s of the soil s t r e n g t h
p a r a m e t e r s and the g e o m e t r y of soil failure.

^ 7 x ( z - xtan</>) - c ( x 2
+ z ) 2

Ρ = - (6.1)
χ + ztan</>

where y is the soil s p e c i f i c w e i g h t .

In Eqn. 6 . 1 , the d i m e n s i o n χ of the soil wedge has not yet been determined
s i n c e the i n c l i n a t i o n , β, of the soil failure s u r f a c e is not k n o w n . C o u l o m b
a p p l i e d the c a l c u l u s principle of m a x i m i z a t i o n to find the rupture attitude
w h i c h g i v e s the l a r g e s t wall f o r c e , as f o l l o w s .

( γ ζ ί 8 η φ + c ) ( z - 2xztan</>- χ )
2 2

d£ = = Ο (6.2)
d x
(χ + ztan</>) 2

χ = z(y}l + tan 0 - t a n $
2
(6.3)

z/x = tan/3 = (V 1
+ tan 0 2
- tan</>) _1
= tan(7T/4 + φ/2) (6.4)

ρ = Ι γ ζ 2Γ]^4ηό1_ J l ^ i O 0 ( 6 . 5 )

2 ' [ 1 + sincpj * 1 + sm<p

This is the well k n o w n C o u l o m b solution f o r the a c t i v e f o r c e on a s m o o t h

vertical earth retaining w a l l . It c a n also be expressed in t e r m s of the a c t i v e
earthpressure c o e f f i c i e n t s , Κ and Κ .
a c
P = |7z K - 2czK 2
a (6.6) c

w h e r e in the case of the s m o o t h v e r t i c a l w a l l ,

K 2
c
= κ
a
= }- Si

1 + sin<p
. %
n
(6.7)

6.1.2. Tension cracks

A problem w i t h the C o u l o m b solution above f o r wall pressures is that the
wall f o r c e , P, c a n have a n e g a t i v e m a g n i t u d e . T h i s o c c u r s w h e n the second
term of E q n . 6.5 or 6.6 is larger than the f i r s t , in cases of walls w i t h s m a l l
height and soils of large cohesional s t r e n g t h . T h e physical m e a n i n g of s u c h a
142 AGRICULTURAL E N G I N E E R I N G SOIL MECHANICS

F i g , 6.5. (a) A p p a r e n t tension f r o m soil at the top of a wall predicted by

t h e C o u l o m b m e t h o d , (b) A c t u a l tension c r a c k s w h i c h f o r m , (c) A
m o r e realistic picture of s t r e s s on the w a l l .

situation is that a tensile f o r c e m u s t be applied on the soil to wall interface

in o r d e r to c a u s e a c t i v e failure. E v e n if the net f o r c e is in positive
compression, the upper section of the wall is t h e o r e t i c a l l y under tension f r o m
t h e soil a c c o r d i n g to C o u l o m b ' s theory, as s h o w n in F i g . 6.5(a). S u c h a state
is not p r a c t i c a l over a finite length of t i m e , because air would enter b e t w e e n
the soil and the w a l l , c a u s i n g a tension c r a c k at that i n t e r f a c e , F i g . 6.5(b). In
addition, F i g . 6.5(b) illustrates that tension c r a c k s can appear f r o m the ground
surface behind the wall to a depth s i m i l a r to that at the wall s u r f a c e . F r o m
E q n . 6.6, the depth of apparent tension can be c a l c u l a t e d as;

T h e r e f o r e , the pressure distribution s h o w n in F i g . 6.5(c) is the one w h i c h

should be used for design purposes. It will result in a net e s t i m a t i o n of a c t i v e
f o r c e on a wall of height h w h i c h is s h o w n below, and w h i c h is evidently
larger and more c o n s e r v a t i v e than that of E q n . 6.6.

P =
z 0
h
/P d z
= [ > z K
2
a - οζΚ ]" ε = |7(h -z2)K
2
a - c(h-z )K
0 c

2 2 Z
°
= ! γ η
2
Κ - chK + c K c
(6.9)
2 ' a c 2γΚ 3
 LATERAL EARTH PRESSURES 143

6.1.3. The general wedge theory

F i g . 6.6. (a) A wedge of sliding soil bounded by an a s s u m e d s t r a i g h t line slip

plane, and (b) the f o r c e s a c t i n g on the w e d g e .

In the general case, retaining w a l l s are not s m o o t h nor are they necessarily
vertical. T h e y exhibit a c o e f f i c i e n t of f r i c t i o n , tano, in c o n t a c t w i t h the soil,
a s w e l l a possible adhesion s t r e n g t h , c . T h e s e c o m p l e x i t i e s , as well as a
a

possible s u r c h a r g e , q, on the soil s u r f a c e are s h o w n in F i g . 6.6(a). F i g . 6.6(b)

depicts the f o r c e s acting on an a s s u m e d soil failure w e d g e . O n the inclined
w a l l f a c e , B C , a resultant f o r c e Ρ is c o m p o s e d of a n o r m a l f o r c e and the
f r i c t i o n a l c o m p o n e n t of shear r e s i s t a n c e , and thus Ρ is inclined to the
perpendicular at the f r i c t i o n angle, δ . In addition, there is the adhesive
resistance f o r c e c o m p o n e n t , c L - j , a c t i n g c o n t r a r y to the d i r e c t i o n of m o t i o n
a

o f t h e soil m a s s relative to the w a l l . T h e inclination angle of the wall face

to the h o r i z o n t a l is OL.
I n the s a m e m a n n e r as C o u l o m b e m p l o y e d , these f o r c e s c a n be r e s o l v e d
parallel and perpendicular to f o r c e N , and equilibrium r e q u i r e d , w i t h the
f o l l o w i n g expression resulting for f o r c e P.

[w+Q]sin(j3-0) - c L c o s < £ - c ι |cos(a + j8) + s i n t a + B)]coso

η

Ρ = L J ± Ζ ZJ1 (6.10)
βίηία+β-δ-φ)
144 A G R I C U L T U R A L E N G I N E E R I N G SOIL MECHANICS

S u b s t i t u t i n g the g e o m e t r i c a l details for W, Q, L and L-j, and putting the

a b o v e e x p r e s s i o n in the f o r m of the a c t i v e earthpressure c o e f f i c i e n t s , the
f o r m u l a e below result.

P = \yh K 2
a - chK c - c hKa c a + qhK a (6.11)

IX (cota + cotjS )sin(ff - φ) to17 x

a " βΙη(α+/5-δ-φ)

c - sin0sin(a 8-6 +j -φ) tffcL>;

κ _ cos<ft sinfo: + B) + cosfa: + β) /, η/Λ

ca " β1η(α + | 8 - δ - ψ ) ( }

I n o r d e r to find the angle, β, of the soil failure plane, the K a t e r m is

m a x i m i z e d w i t h respect to this angle w i t h the f o l l o w i n g result.

dK / 3 = ο
a dj

/sin(Q!- 5)sin(6 + Φ) , * JL\

cot/3 = V sinttsina -costa-δ-φ) ( 6 a 5 )

sin(a - δ - φ)

T h e value of failure angle β c a l c u l a t e d f r o m E q n . 6.15 c a n then be

s u b s t i t u t e d into E q n . 6.12 to 6.14 to find the earthpressure c o e f f i c i e n t s . The
Κ a f a c t o r s thus c a l c u l a t e d are the s a m e as those c o m p u t e d by T e r z a g h i in
1943. A p p e n d i x 3 g i v e s the values of the c o e f f i c i e n t s for a v a r i e t y of soil and
w a l l f r i c t i o n angles and wall inclination angles.
A s in the case of the s m o o t h v e r t i c a l w a l l , S e c t i o n 6.1.2, the theoretical
m o d e l above c a n predict n e g a t i v e , or tensile pressures on the upper portion
of any wall, which is not p r a c t i c a l in real life. In the general c a s e , the depth
to w h i c h s u c h negative wall pressure is predicted c a n be found by E q n . 6.16
below. O n l y positive values of depth zq should be used. I f z is c a l c u l a t e d in 0

Eqn. 6.16 to be zero or n e g a t i v e , then it should be ignored, and E q n . 6.11 used

to compute wall f o r c e s . I f z is predicted to be positive, then E q n . 6.17 should
0

be e m p l o y e d .

z
o = < c K
c + c
a ca " ^ 7 Κ
K
3 (6.16)

A n d the integration of only the positive pressures acting on a wall face

will yield the force as f o r m u l a t e d below.

Ρ = I K ( 2 - 2) - cK (h - z ) - c K
a h z c 0 a c a (h - z ) 0 + qK (h - z )
a 0 (6.17)

I n t h e e v e n t that the soil behind a wall is s a t u r a t e d w i t h w a t e r up to a

 LATERAL EARTH PRESSURES 145

c e r t a i n depth, then the e f f e c t i v e s t r e s s m e t h o d should be used. The soil slip

a n g l e and the a c t i v e earthpressure Κ f a c t o r s should be c a l c u l a t e d using the
e f f e c t i v e soil f r i c t i o n angle, and the wall pressure evaluated at each depth.
T h i s p r e s s u r e is then integrated to g i v e the e f f e c t i v e or i n t e r g r a n u l a r f o r c e
on the w a l l , and then the f o r c e arising f r o m w a t e r pressure is added to give
the t o t a l . A n e x a m p l e of s u c h a c a l c u l a t i o n is s h o w n in F i g . 6.7. A s is often
the c a s e , the w a t e r f o r c e is m u c h l a r g e r than the i n t e r g r a n u l a r soil force on
the w a l l .

Effective soil Water pressure Total forces

pressure

F i g . 6.7. (a) A l e v e l w a t e r table in soil behind a r e t a i n i n g w a l l , (b) The

c a l c u l a t i o n of total wall pressures for the a c t i v e failure c a s e .
146 AGRICULTURAL E N G I N E E R I N G SOIL MECHANICS

T h e g e n e r a l wedge theory described above m a y not be as e x a c t as s o m e

more complex m e t h o d s using S o k o l o v s k i ' s (1956) c h a r a c t e r i s t i c equations g i v e n
in Chapter 2, although the error in the a c t i v e soil failure c a s e does not total
more than a few percent of the wall f o r c e s . H o w e v e r , the wedge theory c a n
be extended fairly easily to handle n o n h o m o g e n e o u s soils, l a y e r e d b a c k f i l l s ,
w a t e r tables, point s u r f a c e loads and other c o m p l i c a t i o n s w h i c h m o r e r i g o r o u s
a n a l y t i c a l techniques c a n n o t . It m a y not be as easy to find the angle, β , of
the a p p r o x i m a t e soil slip line directly as w a s a c c o m p l i s h e d by E q n . 6.4 or 6.15,
but a trial and error procedure c a n be used. A l w a y s using the philosophy that
i n t e r n a l and soil to wall f r i c t i o n properties d e t e r m i n e the shape of the soil
failure s u r f a c e , then only the t e r m s i n v o l v i n g soil w e i g h t , w a t e r pressures and
s u r c h a r g e loads should be m a x i m i z e d to find the likely s t r a i g h t failure line
a p p r o x i m a t i o n , and t e r m s i n v o l v i n g c o h e s i o n and adhesion should be o m i t t e d
f r o m this procedure.

F i g . 6.8. A layered soil behind a retaining wall in P r o b l e m 6 . 1 .

Problem 6 . 1 . F i g . 6.8 shows an e x a m p l e of a v e r t i c a l wall behind w h i c h there

a r e t w o l a y e r s of soil having different densities and c o h e s i o n s , separated by
the water table s u r f a c e . F i n d the e f f e c t i v e soil particle to wall f o r c e P. (The
w a t e r f o r c e U-| must be added to this e f f e c t i v e f o r c e to e s t i m a t e the total
f o r c e on the wall.) Soil to wall adhesion is a s s u m e d to be zero here.

A l l t h e f o r c e s acting on the soil failure wedge are added as s h o w n in

F i g . 6.8, and the f o l l o w i n g expression is obtained for the e f f e c t i v e f o r c e , P.
I t can be separated into two c o m p o n e n t s , P a and P , of w h i c h the first will
c

be used to d e t e r m i n e the likely c r i t i c a l s t r a i g h t line failure plane angle in the

soil.
 LATERAL EARTH PRESSURES 147

ρ = W 1 + W 2 + Q - U(cot|3) - c h ) ( l + cot
2 2 βοοί[β-φ\)
sino + coso cot(/3- φ)

= Γ 30 + H 0 . 2 5 c o t f l _ 25q cot/3 c o t [ ^ ]
+ k N / m = ρ ρ
|_sino + c o s o c o t ( p - 0 ) s i n o + c o s o cotCjy-φΤJ a c

T a b l e 6.1 shows the values of P w h i c h result f r o m different trial values

a

of the slip angle, β. T h i s Table c a n be produced in only a few minutes using

a programmable hand c a l c u l a t o r to p e r f o r m repeated evaluations of P . In this a

case, the failure line inclination of 6 7 ° g i v e s the prediction of the l a r g e s t wall

force component P due to the soil w e i g h t , s u r c h a r g e load and w a t e r pressure,
a

and thus a net force Ρ = P - P of 18.49 k N / m . The c r i t i c a l failure angle is

a c

influenced s o m e w h a t by the s u r f a c e l o a d , Q. If the s u r c h a r g e did not exist, a

smaller failure line angle of 5 8 ° would result in the m a x i m u m P f o r c e . There a

a r e , o f c o u r s e , innumerable possible e x a m p l e s of retaining walls w i t h slopes,

sloped b a c k f i l l s , l a y e r e d soils, irregularly distributed s u r f a c e loads and the like.
B u t in e a c h c a s e , by using c o m m o n sense, a m e c h a n i c a l model equation for
P, similar to that above, should be possible, w i t h a subsequent trial and error
solution for angle β w h i c h g i v e s the m a x i m u m , and m o s t likely wall force
c o m p o n e n t due to e f f e c t i v e soil and s u r c h a r g e w e i g h t s , including water
pressure influences.

T A B L E 6 . 1 . T r i a l and error solutions for different failure plane inclinations,

β, for the m a x i m u m wall force c o m p o n e n t P a in the e x a m p l e of F i g . 6.8.

P , kN/m P=p -P , kN/m

β° a a c

65 40.73 18.12
66 40.79 18.34
67 40.80 18.49
68 40.75 18.58

Problem 6.2. F i g . 6.9 shows an e x c a v a t i n g m a c h i n e situated near the edge of

a braced sheet steel retaining w a l l . The m a c h i n e has a w e i g h t of 88 k N / m of
length parallel to the w a l l . E s t i m a t e the a c t i v e wall f o r c e .

F i g . 6.9 illustrates that there are t w o possible failure mode c a s e s in this

instance. In C a s e a, the failure s u r f a c e is too steep to allow both supporting
t r a c k s of the e x c a v a t o r to apply s u r c h a r g e f o r c e to the soil failure w e d g e ,
a n d only one of the t r a c k s , or half the w e i g h t of the m a c h i n e , c o m e s into
p l a y . O n l y the left hand t r a c k would descend w i t h the soil in this p a t t e r n ,
a n d t h e m a c h i n e would tilt. In C a s e b, the failure plane o c c u r s at a
sufficiently s m a l l slope (<45°) to p e r m i t all of the m a c h i n e weight to act on
148 AGRICULTURAL E N G I N E E R I N G SOIL MECHANICS

the soil wedge. F o r both c a s e s , the f o r m u l a for Ρ is the s a m e , as d e t e r m i n e d

by equilibrium of the soil w e d g e , but the value of s u r c h a r g e l o a d , Q, is 44 or
88 k N / m , r e s p e c t i v e l y .

ρ (W + Q) - c h ( l + cotff cot[j8-<fl) Q D
P =
s i n £ + οοβδ c o t ( / j j - 0 ) = a " p p
c

where W = i^h cotj8=

2
141.1cot/3 kN/m

I n C a s e a, s u r c h a r g e load Q is set at 44 k N / m . M a x i m i z a t i o n of the P a

t e r m above results in a c r i t i c a l f a i l u r e angle of 6 6 ° , P of 64.4 k N / m and

a

ρ = 49.0 k N / m . The failure angle is w i t h i n the allowable l i m i t s of the f o r c e

d i a g r a m of C a s e a.

F i g . 6.9. C o m p u t a t i o n of wall f o r c e s w i t h a s u r c h a r g e in P r o b l e m 6.2.

 LATERAL EARTH PRESSURES 149

In Case b, a m a x i m i z a t i o n of P indicates thatβ should be 8 2 ° . T h i s failure

a

angle, h o w e v e r , is not c o m p a t i b l e w i t h the c o n d i t i o n that all of the e x c a v a t o r

w e i g h t is l o c a t e d on the top of the soil failure w e d g e . S e t t i n g the failure
angle at the m a x i m u m possible angle, 4 5 ° , for physical reality yields a value
f o r P a o f 59.9 k N / m , w h i c h is less than the result of C a s e a. It can be
c o n c l u d e d for this particular e x a m p l e that C a s e a is the likely failure mode
of the soil under the c o m b i n e d e f f e c t s of soil and m a c h i n e w e i g h t s , and that
ρ = 49 k N / m is the wall a c t i v e f o r c e .
I f t h e w e i g h t of the e x c a v a t o r w e r e l a r g e r in c o m p a r i s o n to that of the
soil wedge, C a s e b m i g h t well have been the m o r e c r i t i c a l failure mode g i v i n g
a l a r g e r quantity of P a a c t i n g on the w a l l . E a c h design e x a m p l e m u s t be
a p p r o a c h e d w i t h c o m m o n sense in this w a y .

6.1.4. S t r i p loading surcharge

F i g . 6.10. T e r z a g h i ' s (1954) c a l c u l a t i o n of wall pressure f r o m a s u r c h a r g e .

F o r uniform strip loads on the soil s u r f a c e behind a v e r t i c a l retaining wall,

it is possible to use the theory of e l a s t i c m a t e r i a l s to predict the h o r i z o n t a l
pressure r e s u l t i n g f r o m this l o a d . T e r z a g h i (1954) p e r f o r m e d s o m e e x p e r i m e n t s
w h i c h d e m o n s t r a t e d that the elastic t h e o r y does not w o r k e x a c t l y for soil
m a t e r i a l , b u t t h a t m e a s u r e d p r e s s u r e s on a r i g i d v e r t i c a l wall were
c o n s i s t e n t l y t w i c e those predicted by the theory of e l a s t i c i t y . H e proposed
that the f o l l o w i n g e x p r e s s i o n g i v e s a reasonable e s t i m a t e , using the p a r a m e t e r s
s h o w n in F i g . 6.10, for the wall pressure p . q

P q = 2q(/?- sin/3cos2a)/7T (6.18)

w h e r e anglesOi andβ in F i g , 6.10 are m e a s u r e d in r a d i a n s .

150 AGRICULTURAL E N G I N E E R I N G SOIL MECHANICS

7TPq

Fig. 6.11. D i m e n s i o n l e s s wall pressure f a c t o r s versus depth, resulting f r o m a

surcharge pressure as a f u n c t i o n of s u r c h a r g e w i d t h and distance.

I n t e r m s of the depth, z, the d i s t a n c e , x, f r o m the wall to the edge of

t h e s t r i p l o a d and the w i d t h , B, of the l o a d , F i g . 6.11 g i v e s nondimensional
v a l u e s of the wall pressure divided by the strip s u r c h a r g e pressure, versus
d e p t h d i v i d e d by x, for various values of strip load w i d t h divided by x. The
c u r v e s in F i g . 6.11 r e f l e c t the actual shapes of pressure distributions w h i c h
a r e e x p e c t e d on a vertical wall due to a strip l o a d . S u c h a pressure
d i s t r i b u t i o n m u s t be added to the a c t i v e earthpressures in order to arrive at
the total pressures to be supported by the w a l l .
 LATERAL EARTH PRESSURES 151

F i g . 6.12. S u r c h a r g e l o a d f o r P r o b l e m 6.3 and the resulting pressure

d i s t r i b u t i o n on the r e t a i n i n g w a l l .

P r o b l e m 6.3. A n e x a m p l e s i t u a t i o n w h i c h c a n be a p p r o x i m a t e d as a strip
s u r c h a r g e load beside a retaining wall is s h o w n in F i g . 6.12. A 28 t tracked
tractor w i t h the d i m e n s i o n s noted rests on sand at a distance of 1 m from a
r e t a i n i n g w a l l of 3 m height. T h e t r a c t o r t r a c k s are 2.90 m long on the
g r o u n d . W h a t is the pressure distribution w i t h depth on the w a l l ?

E a c h t r a c k will be a p p r o x i m a t e d as a s t r i p l o a d . The a v e r a g e s u r c h a r g e
pressure is the w e i g h t on e a c h t r a c k divided by the t r a c k ground c o n t a c t area
as f o l l o w s .

q = (28tx9.8kN/t)/(2x0.6mx2.9m) = 78.9 k P a

L a b e l l i n g the left t r a c k as N o . 1 and the r i g h t N o . 2, the f o l l o w i n g are

the r e s p e c t i v e w i d t h s , B, divided by the d i s t a n c e s , X , f r o m the w a l l .

Β /χ
1 1 = 0.60/1.00 = 0.60, B /X
2 2 = 0.60/3.20 = 0.19
152 AGRICULTURAL E N G I N E E R I N G SOIL MECHANICS

T h e r e is also pressure on the wall due to the a c t i v e e f f e c t of the soil.

The coefficient of a c t i v e horizontal earthpressure is obtained f r o m A p p e n d i x 3
as 0.243 for this soil and a vertical w a l l , and the pressure due to the soil is
c a l c u l a t e d as;

p
ah = 7 a h
K z = 1 4
· 7 χ 0
- 2 4 : 5 ζ
kN/m 3
= 3.57 ζ kN/m 3

T h e table below presents the c a l c u l a t i o n s of the pressures arising f r o m

t r a c k s 1 and 2, c a l c u l a t e d f r o m E q n . 6.18 or F i g . 6 . 1 1 , as well as that f r o m
t h e s o i l w e i g h t . The individual pressure distributions and the total are also
s h o w n graphically in F i g . 6.12.

z, m z/x 1 P /2q
x
z/x 2
p /2q
2 Pi P 2 Pah
T o t a l p^, k P a

0.5 0.5 0.28 0.16 0.05 14.1 2.5 1.8 18.4

1.0 1.0 0.28 0.31 0.08 14.1 4.0 3.6 21.7
1.5 1.5 0.20 0.47 0.11 10.0 5.5 5.4 20.9
2.0 2.0 0.12 0.63 0.12 6.2 5.6 7.1 18.9
2.5 2.5 0.08 0.78 0.11 4.0 5.5 8.9 18.4
3.0 3.0 0.05 0.94 0.10 2.5 4.9 10.7 18.1

6.2. D E S I G N O F R E T A I N I N G WALLS

Fig. 6.13 s h o w s the f o r c e s acting on t w o types of self supporting retaining

walls, (a) a g r a v i t y wall and (b) a c a n t i l e v e r w a l l . Ρ and c L ^ are the e f f e c t i v e
s o i l f o r c e s a c t i n g on the w a l l , while U is the w a t e r f o r c e in the case of
s a t u r a t e d s o i l b a c k f i l l s . W is the w e i g h t of the g r a v i t y w a l l , or that of the
c a n t i l e v e r wall plus the soil entrapped in the zone B C D . T h e s u r f a c e of this
soil wedge, B C , is considered like a wall s u r f a c e , but it has the shear s t r e n g t h
properties internal to the soil (i.e. δ = φ and c = c ) . a

T h e s a f e d e s i g n o f s u c h w a l l s against a c t i v e soil failure and wall

displacement must take account of the t w o possible modes of wall m o v e m e n t ,
n a m e l y s l i d i n g and tipping. T h e sliding m e c h a n i s m is simpler to a n a l y z e and
will be considered f i r s t .
T h e h o r i z o n t a l c o m p o n e n t s of f o r c e s Ρ and U tend to m o v e the w a l l
h o r i z o n t a l l y , while force T , along the wall base, r e s i s t s this m o t i o n . T h e
maximum possible value of force Τ is the shear s t r e n g t h f o r c e at the soil to
w a l l b a s e i n t e r f a c e , and depends upon the n o r m a l force Ν as well as the
frictional and adhesive s t r e n g t h properties between the soil and wall m a t e r i a l
(usually concrete). F o r equilibrium to exist, the f o l l o w i n g equations m u s t hold
for f o r c e s in the horizontal and v e r t i c a l d i r e c t i o n s .

Τ = P s i n ( a - o) + U s i n a - c ^ c o t a = Η + U s i n a - c h c o t a a (6.19)

Ν = P c o s ( a - δ) + U c o s a + c h + W = V + U c o s a + c h + W a (6.20)
 LATERAL EARTH PRESSURES 153

F i g . 6.13. F o r c e s on (a) a g r a v i t y r e t a i n i n g wall and (b) a c a n t i l e v e r w a l l ,

p l u s for your added e n t e r t a i n m e n t (c) the sliding wall failure
c o n d i t i o n , (d) wall tipping and (e) the pressure distribution under
the w a l l s .

The safety f a c t o r , S.F., of a p a r t i c u l a r w a l l design depends on the u l t i m a t e

shear s t r e n g t h at the wall base, c o m p a r e d to the a c t u a l h o r i z o n t a l shear f o r c e
required for e q u i l i b r i u m , and c a n be expressed as s h o w n below. Β is the w i d t h
of the wall base in c o n t a c t w i t h the s o i l , and f o r c e s Ν and Τ are in units of
f o r c e per unit wall l e n g t h .
154 AGRICULTURAL E N G I N E E R I N G SOIL MECHANICS

S.F. = ( N t a n 6 + c B ) / T a (6.21)

T h e e x p e c t e d f o r c e s Ν and Τ are g o v e r n e d by the g e o m e t r y of the wall

d e s i g n , especially the wall inclination angle, a , as well as by the total m a s s
of the w a l l . If a design is a n a l y z e d and found to have a s m a l l s a f e t y f a c t o r ,
less than or just larger than one, then the s i z e of the wall m u s t be increased
in order to alter the force quantities in E q n . 6 . 2 1 .
The tipping s c e n a r i o is m o r e c o m p l e x to a n a l y z e . T h e s u m of the m o m e n t s
a t t e m p t i n g to rotate the wall s t r u c t u r e both c l o c k w i s e and c o u n t e r c l o c k w i s e
must be in equilibrium. In addition, the bearing c a p a c i t y of the soil under the
wall must be s u f f i c i e n t to sustain the v e r t i c a l f o r c e Ν w i t h a suitable s a f e t y
f a c t o r . I n F i g . 6 . 1 3 , the v e r t i c a l f o r c e Ν on the wall base is shown
concentrated at a point positioned a distance X f r o m the left hand wall edge.
T h i s d i s t a n c e X can be d e t e r m i n e d f r o m the equilibrium of wall r o t a t i o n by
taking the m o m e n t s of all f o r c e s about point O , as f o l l o w s .

M q = Hz p - Vx p + Usinaz u - Ucosax u - c hB - W x g c g + NX = 0 (6.22)

X = [Vx p - Hz p + Ucosax u - Usino;z u + c hB + Wx

a c g ]/N (6.23)

A s s u m i n g a triangular distribution of the pressure, p , on the wall base, as z

s h o w n in F i g . 6.13(e), the e f f e c t i v e w i d t h of the bearing s u r f a c e can be

c o n s i d e r e d as 3 X , and the a v e r a g e design bearing pressure as q = N / 3 X .
Recalling E q n . 3.3, the ultimate bearing c a p a c i t y of this area of the wall base
c a n be c a l c u l a t e d , as illustrated below.

q
ult =
^ T 3 X N
7 + c N
c ( -24)
6

T h e s a f e t y f a c t o r of the wall in tipping c a n now be e s t i m a t e d as the

u l t i m a t e bearing c a p a c i t y of the base divided by the actual a v e r a g e bearing
pressure as determined by the equilibrium of m o m e n t s above.

V t 2 Ύ 3 Χ Ν
Ύ + c N
c
b.h. - q = Ν / ( 3 χ ) (6.25J
Problem 6.4. F i g . 6.14 s h o w s a c o n c r e t e g r a v i t y wall having a height of 4 m,
r e t a i n i n g dry c o m p a c t sand w i t h the properties noted. W h a t is the s a f e t y
f a c t o r of this wall in sliding and t i p p i n g ?

T h e a c t i v e earthpressure c o e f f i c i e n t for this case can be found from

E q n . 6.12 or A p p e n d i x 3 to be K = 0 . 3 6 6 . T h u s ; a

P a =γΗ Κ /2 2
3 = 43.0 k N / m

Η = Ρ s i n ( a - δ) = 32.5 k N / m
V = Ρ cos(Q! - δ ) = 28.2 k N / m
 LATERAL EARTH PRESSURES 155

F i g . 6.14. G r a v i t y retaining wall of P r o b l e m 6.4.

T a k i n g the s p e c i f i c g r a v i t y of c o n c r e t e as 2.4, the wall w e i g h t is;

W = 4 m χ 1.5 m χ 2.4 χ 9.8 k N / m 3

= 141.1 k N / m

Ν = W + V = 169.3 k N / m
and the s a f e t y f a c t o r in sliding;

q r N t a n o _ 169.3 t a n 2 7 ° k N / m 9

Η " 32.5 k N / m " —

For the safety f a c t o r in tipping, f i r s t the position of f o r c e Ν is determined

using E q n . 6.23, w h i c h s i m p l i f i e s in this e x a m p l e to;

X = (Vx p - Hz p + Wx )/N c g

= (28.2x1.67 - 32.5x1.33 + 141.1x0.78)kN/169.3 k N / m = 0.673m

T h e f r i c t i o n a l bearing c a p a c i t y f a c t o r for this soil s t r e n g t h is found in

Appendix 1 as Ν>γ= 3 9 , and the u l t i m a t e bearing c a p a c i t y over wall base w i d t h ,
3 X , is; 1

q
ult =
^Ύ3ΧΝ7= ^ 1 4 . 7 x 3 x 0 . 6 7 3 x 3 9 k P a = 579 k P a

T h u s the s a f e t y f a c t o r of b e a r i n g , w i t h the m o m e n t s in e q u i l i b r i u m , is;

S , F
* = q
ult « = / c 5 7 9
k P a / ( N / 3 X ) = 579 kPa/83.9 k P a = 6.9
156 AGRICULTURAL E N G I N E E R I N G SOIL MECHANICS

In this example, there appears to be no problem w i t h the bearing c a p a c i t y

under the w a l l . P r i m a r i l y , this is due to the r e l a t i v e l y large internal f r i c t i o n
angle of the soil, and high bearing c a p a c i t y . If φ were reduced by just 5 ° , the
b e a r i n g s a f e t y f a c t o r would be diminished to about one third of the value
obtained above.

C A

F i g . 6.15. F o r c e s a c t i n g on a braced sheet m e t a l r e t a i n i n g w a l l .

A n o t h e r t y p e of retaining wall does not depend on wall w e i g h t for

stability, but uses b r a c e s for support as s h o w n in F i g . 6.15(a). T h e r e are m a n y
d i f f e r e n t c o n f i g u r a t i o n s of b r a c e d w a l l s , and F i g . 6.15 depicts only one
example. N o n e t h e l e s s a s i m i l a r a n a l y s i s procedure is used in all c a s e s , n a m e l y
to find the a c t i v e soil and w a t e r f o r c e s , P, U and c h , and then to design the
a

supporting m e m b e r s , s u c h as brace D E and the soil in front of the wall at Β

in Fig. 6.15. The f o r c e s F| and F2 are found f r o m the equilibrium of m o m e n t s
t a k e n about a chosen point in F i g . 6.15(b), and the s t r e n g t h of the wall and
bracing m e m b e r s v e r i f i e d a c c o r d i n g l y . T h e s t r e n g t h of the soil in passive soil
failure at Β and Ε must be c h e c k e d also, as is described in the next s e c t i o n .
T h e s a f e t y f a c t o r for the design of wall and bracing m e m b e r s t r e n g t h need
n o t be as h i g h as 3.0 because soil d e f o r m a t i o n is not involved in these
elements. H o w e v e r , the s a f e t y f a c t o r should be about 3.0 for the passive soil
r e s i s t a n c e at points like Β and Ε in the case s h o w n , in order that soil
m o v e m e n t at these locations be kept to a reasonable l e v e l .
 LATERAL EARTH PRESSURES 157

6.3. P A S S I V E S O I L RESISTANCE

F i g . 6.16. T h e a c t i v e and passive soil failure conditions behind a retaining

w a l l , a n d the M o h r ' s c i r c l e s of s t r e s s e s at soil points beside the
wall.

The definition of passive soil failure is the m o v e m e n t of soil partly in

a n u p w a r d s d i r e c t i o n , opposite to g r a v i t y . F i g . 6.16 s h o w s s o m e of the
d i f f e r e n c e s between the a c t i v e and passive soil failure c a s e s . S o m e of
these d i f f e r e n c e s are:

- T h e shear s t r e s s on the internal soil rupture s u r f a c e , F, is positive in

a c t i v e failure and n e g a t i v e (i.e. c l o c k w i s e ) in passive f a i l u r e .
- The f r i c t i o n a l and adhesive shear f o r c e s a c t i n g on the wall s u r f a c e , B C ,
are d o w n w a r d s in the a c t i v e c a s e , and u p w a r d s in the p a s s i v e .
- T h e i n c l i n a t i o n f r o m the h o r i z o n t a l of the soil rupture plane at the
s u r f a c e , A , is (7Γ/4)+(φ/2) and (7Γ/4)-(φ/2) in the a c t i v e and passive c a s e s ,
respectively.
- The normal s t r e s s on the w a l l , B C , is on the m i n o r half of M o h r ' s c i r c l e
o f s t r e s s e s (nearer CJ3) while it is on the major side in the passive c a s e .
T h i s m e a n s , of c o u r s e , that the passive wall f o r c e is m u c h g r e a t e r than
the a c t i v e one, as will be d e m o n s t r a t e d below.
158 AGRICULTURAL E N G I N E E R I N G SOIL MECHANICS

In both cases s h o w n in F i g . 6.16, the soil failure line is generally c u r v e d .

T h i s happens because of the roughness of the wall s u r f a c e w h i c h r o t a t e s the
wall normal and shear stress c o m b i n a t i o n on M o h r ' s c i r c l e away f r o m in the
active case, and G\ in the passive c a s e , c o u n t e r c l o c k w i s e by an angle 26. T h u s ,
in t h e case of a vertical w a l l , the soil failure plane is rotated c l o c k w i s e by
the angle € f r o m its inclination at the s u r f a c e , (point A ) .
T h e s m o o t h v e r t i c a l wall case of C o u l o m b (1776) is not really m o r e
representative of real conditions in the passive failure case s h o w n in F i g . 6.17
than it was in the a c t i v e s i t u a t i o n , F i g . 6.4. H o w e v e r , the model is simple and
s e r v e s to i l l u s t r a t e t h e d i f f e r e n c e b e t w e e n a c t i v e and passive failure
conditions in a simple m a n n e r . U s i n g the knowledge c o n t a i n e d in M o h r ' s c i r c l e
( w h i c h w a s not available to C o u l o m b in 1776), and a s s u m i n g that the soil is
in t h e failure condition along plane A B , the f o l l o w i n g expressions can be
o b t a i n e d for the relationship between v e r t i c a l and h o r i z o n t a l s t r e s s e s at the
wall s u r f a c e , B C , and for the passive wall f o r c e P.

F i g . 6.17. The s m o o t h wall passive soil failure c a s e .

Ρ = i 7 h 2
K + ZchyjK (6.27)

Comparing E q n . 6.27 w i t h 6.6 for the a c t i v e c a s e , it can be seen that the

p a s s i v e earthpressure c o e f f i c i e n t is the inverse of the a c t i v e one. F o r an
example soil angle of internal f r i c t i o n of 3 0 ° , the a c t i v e wall pressure is one
t h i r d of the vertical s t r e s s at a point, while the passive w a l l stress is three
t i m e s the vertical pressure, or nine t i m e s the a c t i v e pressure for the s a m e
vertical s t r e s s .
F o r the g e n e r a l c a s e of an i n c l i n e d r o u g h w a l l , the relatively
straightforward passive stress analysis above cannot be used due to the c u r v e d
soil failure line. H e t t i a r a t c h i (1969) and H e t t i a r a t c h i and R e e c e (1974) have
d e m o n s t r a t e d how the shapes of soil failure s u r f a c e s can be d e t e r m i n e d , and
t h e wall stresses calculated using the c h a r a c t e r i s t i c equations described by
 LATERAL EARTH PRESSURES 159

Sokolovski (1956) and s h o w n previously in S e c t i o n 2.4. T h e y presented c h a r t s

of passive earthpressure c o e f f i c i e n t s , for soil m o v e m e n t in two d i m e n s i o n s ,
w h i c h are substituted into the e x p r e s s i o n below. T h i s f o r m u l a w h i c h is very
s i m i l a r to that of the a c t i v e c a s e .

Ρ =iyh K 2
p + chK c + c hK
a c a + qhK q (6.28)

' ah
c

Impending
Mction

Fig. 6.18. T h e general passive soil failure wedge m o d e l .

C o u l o m b s (1776) notion that a s t r a i g h t line adequately represents the

f

i n t e r n a l soil failure s u r f a c e in the a c t i v e c a s e c a n be tested also for the

p a s s i v e case by m e a n s of the f o r c e model s h o w n in F i g . 6.18. The angles of
Ρ and R, and the presence of c o h e s i v e and adhesive shear s t r e n g t h on s u r f a c e s
A B and B C m e e t the r e q u i r e m e n t of passive soil failure. The equilibrium
c o n d i t i o n y i e l d s t h e f o l l o w i n g expressions for the passive earthpressure
c o e f f i c i e n t s in E q n . 6.28.

is _ ( c O t Q ? + C O t f f ) SJN(/3 + Φ) (fnq\
ρ " 2βίη(α+|8 + δ + φ ) ^

Κ = . ^ . , *Φ ^ 00
JN (630)
cβιηβ s i n f o +β + δ + </>)

Κ = .-οο *(α β+φ) + (631)

ca s i n a S I N ( a +β + £ + φ)

K q = 2K p (6.32)

I n o r d e r t o d e t e r m i n e the best a p p r o x i m a t i o n for the failure plane

i n c l i n a t i o n , β, the K t e r m is m i n i m i z e d (rather than m a x i m i z e d as in the
p

a c t i v e case) w i t h respect to that angle, w i t h the f o l l o w i n g result.

160 A G R I C U L T U R A L E N G I N E E R I N G SOIL MECHANICS

isinta+δ) 8ίη(δΤ^Γ. c o s ( a + δ + φ)

= * S m a s
' n
s i n ( a + 6 ^ ) ( & 3 3 )

T A B L E 6 . 2 . E x a m p l e values of passive soil wedge failure angle, β, and

earthpressure c o e f f i c i e n t s , c o m p a r e d to m o r e e x a c t results f r o m H e t t i a r a t c h i
and R e e c e (1974)?

Φ 0 δ° a 0
β° Κ
Ρ
Κ
c K
ca *Kp 1
*Kp 2

30 20 90 18.1 3.05 7.47 2.00 2.70 2.90

70 26.0 1.79 3.53 1.12 1.77 1.87
50 32.5 1.45 2.19 0.68 1.40 1.45
30 36.9 1.58 1.64 0.23 1.49 1.52
10 28.4 3.20 1.82 - 2 . 1 2 3.23 3.38

35 2 3 . 3 90 14.6 6.00 1 1 . 1 2.59 4.05 4.62

70 22.7 2.40 4.38 1.34 2.39 2.62
50 29.5 1.75 2.48 0.81 1.74 1.87
30 33.4 1.78 1.75 0.35 1.71 1.77
10 27.3 3.38 1.79 - 1 . 7 6 3.53 3.58

1
E x t r a p o l a t e d by the power law: K p = K (K^/K )
0 Q
φ
(6.34)

2
E x t r a p o l a t e d by linear proportion: K p = K Q + (Κφ - K )(8/(f>) Q (6.35)

where K q and Κφ apply to the c a s e s δ=0 and δ=0, r e s p e c t i v e l y .

T h e a n g l e β determined by E q n . 6.33 for a particular wall g e o m e t r y and

s e t of s o i l s t r e n g t h p a r a m e t e r s is substituted into the expressions for
earthpressure c o e f f i c i e n t s in E q n . 6.29 to 6.32. Table 6.2 g i v e s s o m e examples
o f the c o e f f i c i e n t s calculated by the above m e t h o d for a range of wall
i n c l i n a t i o n a n g l e s , a n d c o m p a r e s t h e m to the m o r e e x a c t results of
Hettiaratchi and R e e c e (1974). S u r p r i s i n g l y enough, the values are quite close
together in m o s t c a s e s .
A s in the active c a s e , the wedge m e t h o d allows one to include m a n y
complications such as layered soils, water tables, irregular shapes of wall and
soil s u r f a c e , s u r f a c e loads and even c u r v e d wall or soil c u t t i n g tool shapes,
by using appropriate a v e r a g e and a p p r o x i m a t e quantities.

P r o b l e m 6.5. In F i g . 6.19 an e x a m p l e is s h o w n of a sand layer above a clay

soil behind an inclined wall. The f o r c e d i a g r a m for a soil wedge is s h o w n a l s o
for the passive failure c a s e , using the a v e r a g e angle of i n t e r n a l f r i c t i o n , 0, of
the two layers and the average angle of soil to wall f r i c t i o n , δ · The
 LATERAL EARTH PRESSURES 161

F i g . 6.19. L a y e r e d soil in passive failure ( P r o b l e m 6.5).

d e n s i t i e s and cohesive s t r e n g t h s of the l a y e r s c a n be included separately in

their r e s p e c t i v e v o l u m e s or lengths of a c t i o n , to give w e i g h t s W-j and W 2 , as
w e l l as cohesive resistance forces c L 1 and e L 2 . E q u i l i b r i u m g i v e s the
1 2

f o l l o w i n g expression for passive wall f o r c e , P.

(W x + W ) + ( C J L J + c L ) ( s i n / 3 + cos/3 cot [ β + φ ] )
2 2 2

P =
c o s ( a +o ) + sin(o: + o ) c o t ( j g + 0 ) P
p + P
c
7 2 . 7 7 ( c o t a + cotjg) + 2 4 ( 1 + cot/3 c o t [ β + φ ] ) /
c o s ( a + o) + s i n ( a + 6)cot( j8 + <p)
k f s J m

Two parts, Pp and P , of wall force Ρ are apparent, arising f r o m the m a s s

c

and f r i c t i o n a l s t r e n g t h of the soil, and the c o h e s i o n , r e s p e c t i v e l y . F o l l o w i n g

C o u l o m b ' s (1776) principle, and that of H e t t i a r a t c h i and R e e c e (1974), only
the soil and wall f r i c t i o n a l s t r e n g t h s g o v e r n the shape of the soil failure
surface. T h e r e f o r e , in order to e s t i m a t e the failure angle, β, just P should be p

m i n i m i z e d w i t h respect to v a r i a t i o n s in that angle. Table 6.3 indicates the

v a r i a t i o n s in both Pp and total f o r c e Ρ w i t h β. T h e m i n i m u m value of P p

o c c u r s at a d i f f e r e n t failure angle (25°) than does Ρ (27°), because of the

i n f l u e n c e of soil cohesion in the latter c a s e . It can be concluded in this
example that the likely passive wall f o r c e is 340.3 k N / m , a c t i n g at the angle
s h o w n in F i g . 6.19.
162 AGRICULTURAL E N G I N E E R I N G SOIL MECHANICS

T A B L E 6 . 3 . T r i a l and error solution for wall f o r c e P p as a f u n c t i o n of soil

failure plane inclination, β.

β° P , kN/m
p Ρ = P p + P ,c kN/m

24 252.9 341.9
25 252.5 340.3
26 252.6 339.4
27 253.1 339.2
28 254.0 339.6

6.4. P R E S S U R E S ON BIN A N D SILO WALLS

B i n s and silos are used universally to store a g r i c u l t u r a l p r o d u c t s s u c h as

g r a i n s , s i l a g e s , vegetables and f r u i t s . M o s t of these m a t e r i a l s c a n be treated
as continuous m e d i a with m e c h a n i c a l properties very s i m i l a r to those of soils,
including internal angle of f r i c t i o n s t r e n g t h , angle of f r i c t i o n s t r e n g t h between
m a t e r i a l and walls and even pore pressures for s u b s t a n c e s w h i c h are nearly
s a t u r a t e d w i t h water or juices. Table 6.4 g i v e s guideline e x a m p l e s of these
properties for several a g r i c u l t u r a l m a t e r i a l s .

T A B L E 6.4. A v e r a g e m e c h a n i c a l properties of some agricultural materials

( A . S . A . E . , 1985, M o h s e n i n , 1970).

Material γ, kN/m 3
00 δ°
Metal 2
Wood 3 Concrete

S i l a g e , 1 0 % m.c. 1
2.9 20 20 20 20
5 0 % m.c. 3.9 33 33 31 33
C o r n , 1 0 % m.c. 6.9 — 14 17 22
1 4 % m.c. 7.8 — 19 19 33
O a t s , 1 0 % m.c. 4.9 — 12 14 22
1 6 % m.c. 4.9 — 22 19 25
R i c e , 1 4 % m.c. 5.9 — 23 27 27
S o y b e a n s , 7 % m.c. 12.7 -- 12 17 21
1 2 % m.c. 13.7 — 12 24 29
W h e a t , 1 0 - 1 5 % m.c. 7.8 27 11 22 27
1 6 - 2 0 % m.c. 6.9 27 22 27 27
1
m.c. = m o i s t u r e content on a percent wet basis.
^ G a l v a n i z e d sheet s t e e l .
^ D o u g l a s fir or oak, a v e r a g e d .
4
S t e e l trowel f i n i s h .
 LATERAL EARTH PRESSURES 163

A review of the theories available for c a l c u l a t i n g lateral pressures on the

walls of bins or silos w a s provided by S i n g h and M o y s e y (1985). O n e of the
early theories w a s g i v e n by J a n s s e n (1895), and it is still used widely for the
c a s e o f filling a bin o w i n g to its r e l a t i v e s i m p l i c i t y . T h e a s s u m p t i o n for his
m o d e l w a s t h a t a h o r i z o n t a l thin slice at e a c h depth in a bin or silo has a
uniform v e r t i c a l pressure a c t i n g on it, and the f o l l o w i n g f o r m u l a resulted for
the pressure perpendicular to the w a l l .

p
h-a5-[i--- K h t a n o / R
] «*>
w h e r e P h = lateral bin wall pressure,
7 = m a t e r i a l bulk density,
Κ = ratio of lateral to v e r t i c a l pressure,
h = depth f r o m the top s u r f a c e of the m a t e r i a l .

R is the h y d r a u l i c radius of the bin or silo, defined as the c r o s s s e c t i o n a l

a r e a o f the s t r u c t u r e divided by the p e r i m e t e r l e n g t h . F o r d i f f e r e n t c r o s s
s e c t i o n a l shapes of bins or silos, R c a n be found as f o l l o w s .

R = 7 Γ γ / ( 2 7 Γ γ ) = r/2
2
f o r a c i r c l e of radius r, (6.37)

R = B / ( 4 B ) = B/4
2
f o r a square of side B, (6.38)

R = BL/(2B+2L) for a r e c t a n g l e of sides Β and L. (6.39)

O n e o f t h e d i f f i c u l t c o n s t a n t s to d e t e r m i n e for use in E q n . 6.36 is the

ratio, K , of lateral to v e r t i c a l p r e s s u r e s . I t w a s s u g g e s t e d by K e t c h u m (1919)
that K a be used ( E q n . 6.7) as in an a c t i v e failure c a s e . T h i s a s s u m p t i o n ,
h o w e v e r , is based on a s m o o t h w a l l m o d e l , w h i c h is not the c a s e in a real
bin or silo. Jaky (1948) s u g g e s t e d that Κ = 1 - sine/) could be used. T h i s t e r m
h a s s o m e t i m e s b e e n c a l l e d Κ ο i n s o i l m e c h a n i c s , the c o e f f i c i e n t of
earthpressure at r e s t , and is l a r g e r than K . E v e r t s et al. (1977) and M o y s e y
a

( 1 9 7 9 ) proposed a f o r m of Κ w h i c h depends upon both the angles of internal

a n d i n t e r f a c e f r i c t i o n of the m a t e r i a l in a b i n , s u c h as E q n . 6.12 for w a l l s .
T h i s r e l a t i o n is s h o w n below for the a c t i v e m a t e r i a l failure c a s e .

Κ 1 - sin0cos2C ( 6 Λ 0 )

1 + sin<p c o s 2 €

where 2 6 = sin 1
(sinδ /sin φ) - δ

F o r a m a t e r i a l s u c h as w h e a t , w h i c h o f t e n has an internal f r i c t i o n angle

of near 2 7 ° and an angle of m a t e r i a l to steel wall f r i c t i o n of 1 7 ° , K e t c h u n Y s
v a l u e o f Κ w o u l d be 0.376, while J a k y ' s w o u l d be c o m p u t e d as 0.546 and
Everts et al. or M o y s e y ' s is 0 . 4 1 1 . S o m e e x p e r i m a n t a l i n v e s t i g a t i o n s have been
164 AGRICULTURAL E N G I N E E R I N G SOIL MECHANICS

made also on lateral pressures in bins i n v o l v i n g d i f f e r e n t m a t e r i a l s . K e t c h u m

( 1 9 1 9 ) , f o r e x a m p l e , reported Κ to be m e a s u r e d a s 0.6 f o r w h e a t , while
C a u g h y e t a l . (1951) also found Κ = 0.6 f o r w h e a t and c o r n . P i e p e r (1969)
f o u n d Κ = 0.5 when filling a p l y w o o d b i n w i t h barley, and M o h s e n i n (1970)
s u g g e s t e d that Κ be 0.42 f o r barley, 0.4 to 0.5 f o r g r a i n c o r n , 0.23 t o 0.38
for rice and 0.33 to 0.44 in the case of w h e a t .
A n o t h e r m e c h a n i c a l model w a s developed by L v i n (1970) f o r c y l i n d r i c a l
bins. I t e m p l o y e d c o n c e n t r i c r i n g s o f stored m a t e r i a l as m e c h a n i c a l e l e m e n t s ,
r a t h e r than Janssen's s l i c e s . T h i s model predicts that wall pressure will
i n c r e a s e to a c e r t a i n depth below the m a t e r i a l s u r f a c e , and then r e m a i n
c o n s t a n t at g r e a t e r depths, a s f o l l o w s .

p
h = γ Κ η ( 1 - Khtan6/D) f o r h/D < l/(2Ktan6) (6.41)

P h =7D/(4tan6) f o r h/D > l/(2Ktan6) (6.42)

Experimental results reported by T u r i t z i n (1963), P i e p e r (1969) a n d M o y s e y

(1983) have s h o w n that L v i n ' s model generally predicts higher lateral pressures
t h a n that of J a n s s e n , and usually c o m e s very close to e s t i m a t i n g actual
e x p e r i m e n t a l wall pressures in c y l i n d r i c a l w o o d and c o n c r e t e bins (Singh and
M o y s e y , 1985).

Problem 6.6. G i v e n a 4 m inside d i a m e t e r g r a i n bin of height 20 m filled w i t h

wheat having an a v e r a g e bulk density of 7.8 k N / m , angle of internal f r i c t i o n
3

2 7 ° and angle of wall f r i c t i o n 1 7 ° , find the distribution of wall pressure w i t h

depth a c c o r d i n g to the theories of (a) J a n s s e n (1895) and (b) L v i n (1970).

A s m e n t i o n e d previously, the r a t i o of lateral to v e r t i c a l p r e s s u r e , K , f o r

t h e s e f r i c t i o n angles c a l c u l a t e d by E q n . 6.40 is 0 . 4 1 1 . T h e depth at w h i c h
lateral pressure ceases to increase in L v i n ' s model is;

h = D / ( 2 K t a n £ ) = 4 m / ( 2 x 0 . 4 1 1 t a n l 7 ° ) = 15.9 m

T h e f o r m u l a e of (a) J a n s s e n and (b) L v i n c a n then be evaluated a s ;

(a) p h = 7 ^ 1 KPa ^ . -tanl70 0.411h/lm j

e x = ^ _ -h/Bm ]
e k R a

(b) P h = 3.22h/(l - h/31.83m) k N / m

a n d the values of lateral pressure predicted by the t w o m e t h o d s at various

depths are s h o w n in Table 6.5 below as well as in F i g . 6.20.
Lvin's predicted lateral silo pressures a r e c o n s i s t e n t l y higher than those o f
J a n s s e n , as is usually the c a s e , by 59 to 3 3 0 % in this e x a m p l e .
 LATERAL EARTH PRESSURES 165

T A B L E 6.5. V a l u e s of lateral pressures on a silo wall f r o m P r o b l e m 6.6·

h, m P ,kPa
n (Janssen) P , k P a (Lvin)
h

5 11.9 19.1
10 18.2 47.0
15 21.6 91.3
20 23.4 102.3

F i g . 6.20. C u r v e s of n o r m a l wall pressure v e r s u s depth in the tower silo of

P r o b l e m 6.6 by the theories of (a) J a n s s e n and (b) L v i n .

6.5. P R E S S U R E S ON B U R I E D PIPES A N D CONDUITS

T h e theory of v e r t i c a l pressure w h i c h m u s t be w i t h s t o o d by buried pipes,

c u l v e r t s , conduits and the like has been developed by M a r s t o n and A n d e r s o n
(1913) and is well explained by S p a n g l e r and H a n d y (1982). A s F i g . 6.21 s h o w s ,
166 AGRICULTURAL E N G I N E E R I N G SOIL MECHANICS

t h e t h e o r y begins w i t h the a s s u m p t i o n that a t r e n c h of width Β has been

e x c a v a t e d and then refilled for the installation of the pipe or conduit. The
weight of soil in this t r e n c h , and a possible s u r c h a r g e load Q, f o r c e per unit
length of t r e n c h , are being c o u n t e r a c t e d by f r i c t i o n at the t r e n c h sides. The
t h e o r y a s s u m e s that the n o r m a l pressure on the t r e n c h sides is the vertical
pressure in the trench soil t i m e s the c o e f f i c i e n t of a c t i v e e a r t h p r e s s u r e , called
Κ in this instance, where;

Κ = 1 - sin0 (6Λ3)
1 + sin<p

and φ is the angle of internal f r i c t i o n of soil filled in the t r e n c h .

T h u s t h e horizontal f o r c e s per unit length on the sides of an elemental
slice of height dh in the t r e n c h soil are the a v e r a g e side pressure, K V / B ,

Surface
1ST

tano

F i g . 6 . 2 1 . T h e o r e t i c a l model for buried pipes (Spangler and H a n d y , 1982).

t i m e s the slice height, dh. A n d the shear f o r c e s on the slice sides are the
horizontal forces t i m e s the c o e f f i c i e n t of f r i c t i o n , tano, between the m a t e r i a l s
inside and outisde the t r e n c h . T h e w e i g h t of soil in the slice dh is ' y B d h , per
u n i t l e n g t h of t r e n c h . Thus the s u m of v e r t i c a l f o r c e s a c t i n g on a slice is
equated to zero for equilibrium as f o l l o w s .
 LATERAL EARTH PRESSURES 167

V + dV + 2 K V ( t a n 5 ) d h / B - V - 7 B d h = 0 (6.44)

dV + 2KV(tano)dh/B - 7 B d h = 0 (6.45)

T h i s differential equation has a solution of the f o r m ;

V = A 1 + A e2
C h
(6.46)

Ο 0.2 0.4 0.6 0.8 1.0

Vq/Q

Fig. 6 . 2 2 . T h e o r e t i c a l and e x p e r i m e n t a l pipe loads t r a n s m i t t e d f r o m static

s u r f a c e wheel loads (Spangler and H a n d y , 1982).
168 AGRICULTURAL E N G I N E E R I N G SOIL MECHANICS

Substituting this f o r m into E q n . 6.45, and e v a l u a t i n g v e r t i c a l f o r c e V as Q,

f o r c e per unit length at the s u r f a c e where h = 0 g i v e s the general result
below.

V = ΎΒ 2
Γ _ -2K(tan5)h/Bl
e + Qe -2K(tan<5)h/B ( 6 Λ ? )

2Ktan5 L J
M a r s t o n and A n d e r s o n (1913) found that E q n . 6.47 w o r k s quite reliably to
p r e d i c t v e r t i c a l loads on pipes of d i a m e t e r s 457 and 9 1 4 m m buried in
t r e n c h e s of widths 683 and 1266 m m , r e s p e c t i v e l y , at depths of about 5 m
w i t h o u t a s u r c h a r g e load, Q.
W h e n a s u r c h a r g e load is of finite l e n g t h , s u c h as a vehicle wheel,
S p a n g l e r (1973) s u g g e s t e d that a B o u s s i n e s q type of pressure distribution c a n
be u s e d to design c o n s e r v a t i v e l y f o r the load c a r r i e d by a c e r t a i n length of
p i p e o r c o n d u i t , and he r e c o m m e n d e d that a length of 1 m be considered.
F i g . 6 . 2 2 s h o w s his theoretical c a l c u l a t i o n , w h i c h is consistently equal to or
h i g h e r than experimental m e a s u r e m e n t s of pipe loads f r o m s t a t i c wheels on
t h e s o i l s u r f a c e . A l s o in F i g . 6.22 is d r a w n the predicted c u r v e f r o m the
s e c o n d t e r m of E q n . 6.47 above w h i c h involves a line load, Q, using t y p i c a l
soil strength quantities. T h a t part, V q , of the v e r t i c a l load due to a line load
is larger than the B o u s s i n e s q r e c t a n g u l a r load on a pipe, because the latter
s p r e a d s out in t w o dimensions in the soil (ref. F i g . 4.7). T h u s the B o u s s i n e s q
c u r v e appears to be the logical design tool for this s i t u a t i o n .

6.6. P R O B L E M S

6.7. A c o n c r e t e wall ( 7 = 23.5 k N / m ) supports dry sand as s h o w n in

3

F i g . 6 . 2 3 . (a) W h a t should be the w i d t h , B, of the top of the wall in

order that it should have a s a f e t y f a c t o r of 3.0 in s l i d i n g ? (b) W h a t then
is the safety f a c t o r in bearing at the b o t t o m left hand edge of the w a l l ?

A n s w e r : (a) Β = 2.36 m , (b) S . F . = 5.0.

Dry sand
7 = 15.7 kN/m 3

0= 3 2 °
6m
120 = 28°

F i g . 6.23. G r a v i t y retaining wall in P r o b l e m 6.7.

 LATERAL EARTH PRESSURES 169

F i g . 6.24. Wall retaining s a t u r a t e d soil, P r o b l e m 6.8.

6.8. I n F i g . 6.24, a c o n c r e t e g r a v i t y wall is illustrated supporting s a t u r a t e d

silt. If it is a s s u m e d that the w a t e r pressure, u, on the b o t t o m wall has
a linear decrease b e t w e e n the m a x i m u m value at point Β and zero at
c o r n e r A , find the s a f e t y f a c t o r of this wall in sliding. Is this s a f e t y
factor adequate?

A n s w e r : S.F. = 1.27. N o t adequate.

Bulldozer
blade, ^ ~ 1
3m \
Loose sand 30 cm average
7=12.7 kN/m 3
. . . . |

30 cm S a n d
' T= 5- kN/m3
1 7

φ = 35°
JL δ = 23.3°

F i g . 6.25. P a s s i v e soil failure by a wide blade, P r o b l e m 6.9.

170 AGRICULTURAL E N G I N E E R I N G SOIL MECHANICS

6.9. F i g . 6 . 2 5 s h o w s a 3 m wide bulldozer blade c u t t i n g 30 c m deep in a

c o m p a c t s a n d . T h e r e is a s u r c h a r g e of loose sand on the s u r f a c e w h i c h
h a s a n a v e r a g e depth of 30 c m . U s i n g a t w o dimensional passive soil
f a i l u r e a n a l y s i s , e s t i m a t e (a) the h o r i z o n t a l c o m p o n e n t , H , of the f o r c e
n e e d e d to push the blade in the c o n f i g u r a t i o n s h o w n , and (b) the
p e r c e n t a g e of the total h o r i z o n t a l f o r c e w h i c h arises because of the
s u r c h a r g e load. ( A s s u m e that the s u r c h a r g e is s e m i - i n f i n i t e in extent).

A n s w e r : (a) Η = 14.5 k N , (b) S u r c h a r g e c o m p o n e n t = 3 6 % .

6.10. A s t e e l silo has an inside d i a m e t e r of 7.3 m and height 24 m . It is

f i l l e d w i t h c o r n silage h a v i n g a m o i s t u r e content of 5 0 % , a v e r a g e
d e n s i t y 4.9 k N / m and internal and wall f r i c t i o n angles of 3 3 ° . U s i n g
3

t h e f o r m u l a e of L v i n (1970), e s t i m a t e the m a x i m u m lateral pressure

level expected on the inside of the silo, and at w h a t depth it o c c u r s ?

Answer: P h = 13.8 k P a , b e t w e e n 10.4 m depth and the b o t t o m .

6.11. I n P r o b l e m 6.10 above, if the v e r t i c a l shear s t r e s s on the silo wall is

always Ρ tano at every point, w h a t proportion of the total silage w e i g h t
is c a r r i e d by wall f r i c t i o n ?

A n s w e r : A b o u t 8 0 % of the silage w e i g h t .

6.12. In F i g . 6.26, find F.

Answer: F = 479 k N .
Α Δ Δ Δ
3m Gravel 7 = 15.7 kN/m 3

A Δ Δ Δ
J* 2m Tiebacks at 3 m spacing
3m
Water table

Silt 7 d r y =12.7 kN/rrr

G s = 2.60
C = 6 kPa
0' = 30°
δ' = 20°
0
Rock
"7 7 7
F i g . 6.26. Sheet steel wall for P r o b l e m 6.12.
 LATERAL EARTH PRESSURES 171

6.13. F i g . 6.27 d e p i c t s a v e r t i c a l r e t a i n i n g wall holding a soil of low

c o h e s i o n , and a strip load h a v i n g 60 k P a a v e r a g e pressure on the soil
s u r f a c e . F i n d the m a x i m u m h o r i z o n t a l pressure on the wall and the
depth at w h i c h it a c t s .

Answer: Maximum p h = 19.8 k P a at the wall b o t t o m .

3m -2m

q=60kPa

SILT
7 = 15.7 kN/m3

c = 6 kPa
0 = 30°
δ-26°

F i g . 6.27. G r a v i t y wall w i t h s u r c h a r g e l o a d , P r o b l e m 6.27.

172 AGRICULTURAL E N G I N E E R I N G SOIL MECHANICS

Chapter 7. Soil erosion and protection

E r o s i o n is regarded as the d e t a c h m e n t , m o v e m e n t and deposition of soil

particles due to e n v i r o n m e n t a l f a c t o r s . It is considered one of the m o r e
s e r i o u s f o r m s of soil d e g r a d a t i o n in all regions of the w o r l d . The principal
agents responsible for soil erosion are wind and w a t e r .

7.1. W A T E R EROSION

W a t e r erosion of soil o c c u r s because of the p r o g r e s s i v e c o n c e n t r a t i o n of

s u r f a c e w a t e r r u n o f f . The kinetic energy of falling raindrops causes the
d e t a c h m e n t of soil particles w h i c h are subsequently transported by water
moving on the s u r f a c e . A s the velocity of overland f l o w , the slope of a field
a n d the travel length increase, w a t e r flow c o n c e n t r a t e s into s m a l l rivulets
which carry soil m a s s . T h i s phenomenon is k n o w n as rill e r o s i o n . The c o m b i n e d
a c t i o n of soil d e t a c h m e n t by raindrops and the soil m o v e m e n t in thin layers
is denoted as interrill erosion, while the d e t e r i o r a t i o n and collapse of s t r e a m
banks due to s t r e a m f l o w is called s t r e a m b a n k e r o s i o n .
T h e m o v e m e n t of soil particles f r o m a field leads not only to a breakup
o f the soil s t r u c t u r e and a loss of topsoil r e s o u r c e s , but it also contributes
to d o w n s t r e a m pollution of w a t e r c o u r s e s and revenue losses in the f o r m of
a g r i c u l t u r a l c h e m i c a l s , including f e r t l i z e r s , pesticides and the l i k e .

7.2. T H E U N I V E R S A L SOIL LOSS E Q U A T I O N (USLE)

T h e universal soil loss equation as developed by W i s c h m e i e r (1976) is

d e s i g n e d to be used to e s t i m a t e the quantity of soil eroded f r o m land by
r a i n f a l l r u n o f f . It is used p r i m a r i l y for planning purposes as a first e s t i m a t e
of soil losses on a particular f i e l d . T h e n , based on w h a t is judged as an
a l l o w a b l e annual soil loss r a t e , different cropping s y s t e m s or c o n s e r v a t i o n
p r a c t i c e s could be r e c o m m e n d e d . The equation and its c o m p o n e n t s are;

A = 2.24 (t/ha)/(ton/ac) R K L S C P (7.1)

where A = the a v e r a g e annual soil loss in t/(ha y e a r ) ,

R = the rainfall and r u n o f f e r o s i v i t y index ( F i g . 7.1)
Κ = soil erodibility f a c t o r , tons/(acre year) (Table 7.1)
L = length f a c t o r of the field ( E q n . 7.2)
S = the slope f a c t o r ( E q n . 7.3)
C = crop m a n a g e m e n t f a c t o r (Table 7.2)
Ρ = c o n s e r v a t i o n p r a c t i c e f a c t o r (Table 7.3).
 SOIL E R O S I O N A N D P R O T E C T I O N 173

Fig. 7.1. T h e rainfall and r u n o f f e r o s i v i t y indices for N o r t h A m e r i c a (data

f r o m U S D A - E P A , 1 9 7 5 , and W a l l et al., 1983).

T h e l e n g t h and slope f a c t o r s in the universal soil loss equation are

d e t e r m i n e d f r o m E q n . 7.2 and 7.3 below.

L = (l/22m) x
(7.2)

where 1 = the length of a slope, m ,

χ = an exponent = 0.5 for slopes less than 4 % , = 0.4 for a 4 % slope,
= 0.3 for slopes less than 4 % .

S = (0.43 + 0.30s + 0 . 0 4 3 s ) / 6 . 5 7 4
2
(7.3)

where s = the field slope expressed in p e r c e n t .

174 AGRICULTURAL E N G I N E E R I N G SOIL MECHANICS

T A B L E 7 . 1 . Soil erodibility f a c t o r s , K , by soil texture in tons/(acre year) for

use in E q n . 7.1 ( U S D A - E P A 1975).

Soil textural class Soil o r g a n i c m a t t e r content %

0.5 2 4

F i n e sand 0.16 0.14 0.10

V e r y fine sand 0.42 0.36 0.28
L o a m y sand 0.12 0.10 0.08
L o a m y very fine sand 0.44 0.38 0.30
Sandy l o a m 0.27 0.24 0.19
V e r y fine sandy l o a m 0.47 0.41 0.33
Silt l o a m 0.48 0.42 0.33
Clay loam 0.28 0.25 0.21
Silty clay l o a m 0.37 0.32 0.26
Silty clay 0.25 0.23 0.19

T A B L E 7.2. C r o p m a n a g e m e n t f a c t o r s , C , for the universal soil loss equation

( S m i t h and W e i s c h m e i e r , 1962).

C r o p practice C r o p s t a g e period
0 1 2 3 4

F i r s t year c o r n 0.15 0.30 0.27 0.15 0.22

after g r a s s
S e c o n d year c o r n 0.32 0.51 0.41 0.22 0.26
w i t h residues
S e c o n d year corn 0.60 0.65 0.51 0.24 0.65
without residues
T h i r d or later year corn 0.36 0.63 0.50 0.26 0.30
w i t h residues
S m a l l grains after - 0.30 0.18 0.03 0.02
two years corn
S m a l l grains on - 0.80 0.50 0.07 0.03
disked c o r n stubble
E s t a b l i s h e d g r a s s and - - .004 - -
legume meadow

0 - m o l d b o a r d plowing to seedbed preparation; 1 - first m o n t h after

s e e d i n g ; 2 - second m o n t h ; 3 - between second m o n t h and h a r v e s t ; 4 -
stubble or residue after h a r v e s t before p l o w i n g .
 SOIL E R O S I O N A N D P R O T E C T I O N 175

TABLE 7 . 3 . Soil conservation practice f a c t o r s , P, ( W i s c h m e i e r and S m i t h ,

1965).

P e r c e n t slope Contouring 0 m a x ,m) S t r i p cropping T e r r a c i n g and

contouring

U p and d o w n 1.0
Parallel ( 1 2 % ) 0.8 - _

1.1 - 2 0.6 (150) 0.30 -

2.1 - 7 0.5 (100) 0.25 0.10
7.1 - 12 0.6 (60) 0.30 0.12
12.1 - 18 0.8 (20) 0.40 0.16
18.1 - 24 0.9 (18) 0.45 -

Problem 7 . 1 : A n example of the use of the universal soil loss equation f o r the
prediction of an a p p r o x i m a t e rate of soil erosion is as f o l l o w s . C o n s i d e r a
silage corn field near D e t r o i t , M i c h i g a n or W i n d s o r , O n t a r i o , on a sandy l o a m
field h a v i n g a slope of 2 % and a slope length of 100 m . T h e c u l t i v a t i o n
p r a c t i c e h a s been plowing up and d o w n the slope of the f i e l d . T h e r e l e v a n t
p a r a m e t e r s in this case a r e ;

R = 100 ( F i g . 7.1)

Κ = 0.24 tons/(acre year) (Table 7.1)

L = (100/22) · 0 3
= 1.57 ( E q n . 7.2)

S = (0.43 + 0.3x2 + 0.043x4)/6.574 = 0.18 ( E q n . 7.3)

C = 0 . 5 1 a v e r a g e d over the year w i t h o u t residue (Table 7.2)
Ρ = 1.0 (Table 7.3)
T h e e s t i m a t e d annual soil loss due to w a t e r erosion would then be

A = 2.24 χ 100 χ 0.24 χ 1.57 χ 0.18 χ 0 . 5 1 χ 1.0 = 7.75 t/(ha y)

P r o b l e m 7.2: T h e universal soil loss equation c a n be used to assess the

suitability of d i f f e r e n t cropping and c o n s e r v a t i o n s y s t e m s to reduce soil losses,
and to permit a c e r t a i n loss t o l e r a n c e , (allowable rate). A s s u m e , for e x a m p l e ,
a soil loss tolerance of 1.5 t/(ha y) f o r the s a m e r e g i o n . T h e values of R, K ,
L a n d S would r e m a i n c o n s t a n t , but the f o l l o w i n g new p r a c t i c e s could be
introduced in the p r e d i c t i o n .

W i n t e r wheat planted after t w o y e a r s of c o r n ( C = 0.13), and

c r o p s are planted along field contour lines (P = 0.6).

The e s t i m a t e d annual soil losses would then be c h a n g e d to;

176 AGRICULTURAL E N G I N E E R I N G SOIL MECHANICS

A = 2.24 χ 100 χ 0.24 χ 1.57 χ 0.18 χ 0.13 χ 0.6 = 1.19 t/(ha y)

T h e o r e t i c a l l y , t h e a b o v e p r a c t i c e s m e e t the r e c o m m e n d e d soil loss

t o l e r a n c e of 1.5 t/(ha y), and a considerable s a v i n g of topsoil, a p p r o x i m a t e l y
6 . 5 6 t/(ha y), could be r e a l i z e d by the introduction of these cropping and
c o n s e r v a t i o n p r a c t i c e s . E x a m p l e s of soil loss t o l e r a n c e s have been g i v e n by
the A m e r i c a n S o c i e t y of A g r o n o m y (1982).

7.3. M O D I F I E D U N I V E R S A L SOIL LOSS EQUATION

A d i s a d v a n t a g e of the standard E q n . 7.1 is that it does not take into

a c c o u n t the r u n o f f v o l u m e during an individual s t o r m . T h e R f a c t o r is based
o n l o n g t e r m rainfall c h a r a c t e r i s t i c s , and does not r e f l e c t rainfall intensity
accurately during s p e c i f i c s t o r m s . W i l l i a m s and B e r n d t (1977) m o d i f i e d E q n . 7.1
by replacing the R f a c t o r w i t h a r u n o f f f a c t o r . T h e application of E q n . 7.1 on
a w a t e r s h e d b a s i s r e q u i r e s i n f o r m a t i o n on delivery r a t i o s . T o p o g r a p h i c
v a r i a t i o n s w i t h i n a watershed area result in soil losses f r o m s o m e areas, and
soil deposition in others. T h e R f a c t o r represents the energy used only in the
d e t a c h m e n t of soil p a r t i c l e s , w h e r e a s the r u n o f f f a c t o r in the m o d i f i e d
equation takes account of the energies used in both d e t a c h m e n t and s e d i m e n t
transport, as f o l l o w s .

Y = 11.8(Q χ q ) - p
0 5 6
Κ L S C Ρ (7.4)

where

Y = the sediment yield f r o m an individual s t o r m , in m e t r i c tonnes,

Q = storm runoff volume, m^

q p = peak r u n o f f rate, m^/sec, and

K, L, S, C , Ρ are as previously defined

S e v e r a l methods are available for e v a l u a t i n g Q and q , the m o s t c o m m o n

p

of which is the Soil C o n s e r v a t i o n S e r v i c e triangular h y d r o g r a p h (Schwab et al.,

1981).

7.4. T H E S O I L L O S S E S T I M A T O R F O R SOUTHERN AFRICA (SLEMSA)

T h e a p p l i c a t i o n of the universal soil loss equation has proved to be very

d i f f i c u l t in s o m e areas of the w o r l d . W h e r e the annual v a r i a t i o n s in c l i m a t e
and cropping p r a c t i c e s are quite d i f f e r e n t f r o m those in N o r t h A m e r i c a , s o m e
of the f a c t o r s in the U S L E are not appropriate, or would be e n o r m o u s l y costly
a n d t i m e c o n s u m i n g to determine a c c u r a t e l y . F o r e x a m p l e , the rainfall and
 SOIL E R O S I O N A N D P R O T E C T I O N 177

r u n o f f e r o s i v i t y f a c t o r , R, is based on the k i n e t i c energy of an individual

r a i n s t o r m multiplied by its m a x i m u m 30 m i n u t e intensity, and s u m m e d over
many years of o b s e r v a t i o n . In m a n y tropical r e g i o n s , erosion producing s t o r m s
a r e o f t e n s h o r t e r than 30 m i n u t e s and their intensity would be a r t i f i c i a l l y
d i m i n i s h e d if spread out over this t i m e s p a n . F u r t h e r m o r e , the p e r m e a b i l i t y ,
s t r u c t u r e and shallow depth of m a n y tropical soil types are v i r t u a l l y impossible
to fit into the U S L E soil textural c l a s s e s (Table 7.1 above), and d i f f e r e n t i a t e
properly a c c o r d i n g to their s t r u c t u r e and erodibility (Wendelaar, 1978).
In addition to these d i f f i c u l t i e s , m a n y t r o p i c a l a r e a r o t a t i o n s and cropping
p r a c t i c e s are not listed in T a b l e 7.2 of c r o p m a n a g e m e n t f a c t o r s , C . S u c h
r e g i o n s usually have a well defined wet s e a s o n lasting f r o m three to six
m o n t h s . L a n d plowing c a n take place at any t i m e near the end of the rainy
s e a s o n or d u r i n g the dry p e r i o d . A l s o , c r o p s needing the m a x i m u m of
p r e c i p i t a t i o n are planted at the beginning of the wet s e a s o n , but i r r i g a t e d
crops can be planted a m o n t h or m o r e b e f o r e h a n d , and dryland crops t o w a r d s
t h e end. T h u s it is d i f f i c u l t to c a t e g o r i z e s u c h p r a c t i c e s into the five
A m e r i c a n crop s t a g e periods (Table 7.2), and tropical crop s t a g e s o c c u r at
w i d e l y v a r y i n g t i m e s w i t h i n the r a i n f a l l s e a s o n , when soil properties differ
greatly. It could be possible to evaluate the U S L E f a c t o r s e x p e r i m e n t a l l y for
i n d i v i d u a l tropical r e g i o n s , and be able to m a k e use of the equation as a
r e s u l t . H o w e v e r , t a k i n g into a c c o u n t the v a r i e t y and c o m b i n a t i o n s of tillage,
c r o p p i n g , r o t a t i o n and soil m a n a g e m e n t p r a c t i c e s w h i c h are f o u n d , the
f i n a n c i a l and t i m e r e s o u r c e s w h i c h w o u l d be n e c e s s a r y are p r o h i b i t i v e .
I n view of the above d i f f i c u l t i e s e n c o u n t e r e d in a t t e m p t i n g to apply the
U S L E in a tropical area, a m o d e l l i n g a p p r o a c h has been t a k e n by r e s e a r c h e r s
in s o u t h e r n A f r i c a w i t h the result being the soil loss e s t i m a t o r for southern
A f r i c a , S L E M S A , (Elwell, 1978, 1984). T h e m o d e l is designed for arable lands
in r e g i o n s of high intensity r a i n f a l l , and for a wide v a r i e t y of cropping
conditions. H o w e v e r , interpretations of the f a c t o r s in the model m u s t be made
from relatively f e w field plots. F o r this purpose, the soil sheet erosion model
has been divided into five principal c o n t r o l variables as f o l l o w s .

1. Seasonal rainfall e n e r g y , Ε ( J / m ) , 2

2. Soil erodibility index, F^,

3. R a i n f a l l energy i n t e r c e p t i o n by c r o p s , i (%),
4. F i e l d slope l e n g t h , L (m), and
5. Slope steepness, S (%).

T h e above c o n t r o l v a r i a b l e s are related to soil losses at the s u b m o d e l

level. T h e principal s u b m o d e l , quantity K , c o m b i n e s the e f f e c t s of the r a i n f a l l
e n e r g y , E , and the soil erodibility index, F , in s u c h a w a y as to yield the
b

estimated m e a n annual s p e c i f i c soil loss f r o m a c o n v e n t i o n a l l y tilled bare field

h a v i n g a slope of 4 . 5 % and length 30 m . A f a c t o r C , derived f r o m the
proportion of rainfall energy intercepted by c r o p s , c o r r e c t s the above soil loss
e s t i m a t e for cropped l a n d , and a t o p o g r a p h y r a t i o , X , a c c o u n t s for different
field slopes and l e n g t h s . T h e r e s u l t i n g e s t i m a t e of m e a n annual soil loss, Ζ in
178 AGRICULTURAL E N G I N E E R I N G SOIL MECHANICS

t/(ha y), is then;

Ζ = KCX (7.5)

T h e three m a i n f a c t o r s are g i v e n below, Κ in F i g . 7.4, C in F i g . 7.5 and

X in F i g . 7.6 and 7.7, or E q n . 7.6 and 7.7.

0 1000 2000
Annual rainfall, mm

F i g . 7.2 M e a n annual rainfall energy v e r s u s annual rainfall depth for guti

a n d n o n - g u t i regions (more or less than 20 days of early m o r n i n g
d r i z z l e , r e s p e c t i v e l y ) f r o m E l w e l l (1980).

7.4.1. Soil loss rate, Κ

I n o r d e r to begin the e s t i m a t i o n of the bare soil erosion rate K, the
a v e r a g e annual incident rainfall energy can be e s t i m a t e d directly for southern
A f r i c a f r o m the m e a n annual p r e c i p i t a t i o n , as s h o w n in F i g . 7.2. T h e r e is a
difference between guti and n o n - g u t i r e g i o n s , guti inferring that there are at
least 20 days per year on the a v e r a g e w i t h early m o r n i n g d r i z z l e . The r a i n f a l l
e n e r g y v e r s u s precipitation line is lower in the guti case since the m o r n i n g
drizzles are of relatively lower energy intensity. T h e m e a n annual r a i n f a l l m a p
for Z i m b a b w e is shown as an e x a m p l e of a tropical p r e c i p i t a t i o n pattern in
F i g . 7.3.
The combination of m e a n annual rainfall e n e r g y , E , and soil erodibility, F^,
is c o n d u c t e d in F i g . 7.4 in order to e s t i m a t e the bare soil erosion quantity,
K. Table 7.4 g i v e s e s t i m a t e s of the basic values, F^, for s e v e r a l types of
 SOIL E R O S I O N A N D P R O T E C T I O N 179

F i g . 7.3. M e a n annual rainfall in Z i m b a b w e ( E l w e l l , 1980), m m / y .

tropical soil, while T a b l e 7.5 provides c o r r e c t i o n f a c t o r s , t a k i n g into a c c o u n t

s o i l m a n a g e m e n t p r a c t i c e s . T h e s e c o r r e c t i o n f a c t o r s are added a l g e b r a i c a l l y
t o F b in order to arrive at the total soil erodibility index, F . F m has been
m

d e s i g n e d to be a reduction f a c t o r for soil losses. It can be noted in F i g . 7.4

t h a t as F m i n c r e a s e s , the rate of soil loss is s m a l l e r . A l s o , the m o r e
c o n s e r v a t i o n p r a c t i c e s w h i c h are present, including r i d g i n g , planting on
c o n t o u r s , r o u g h plowing and installing pasture as s h o w n in T a b l e 7.5, the larger
are the c o r r e c t i o n f a c t o r s w h i c h reduce the bare soil loss e s t i m a t e , K .
 180 AGRICULTURAL E N G I N E E R I N G SOIL MECHANICS

300

200
Specific
soil loss,
K, t/ha/y

100

Rainfall energy, E, kj/m /y 2

F i g . 7.4. S p e c i f i c soil loss r a t e , K , v e r s u s r a i n f a l l e n e r g y , E , f o r different

degrees of soil erodibility, F ( E l w e l l , 1980).

0.8

0.6
Soil
loss
ratio
C
0.4

0.2

Rainfall energy intercepted, \ %

F i g . 7.5. Soil loss ratio, C , v e r s u s i ( E l w e l l , 1980).

 SOIL E R O S I O N A N D P R O T E C T I O N 181

T A B L E 7.4. B a s i c soil erodibility f a c t o r s , F^, for v a r i o u s tropical soils, f r o m

E l w e l l (1980).

Soil group Soil f a m i l y T e x t u r e of topsoil

Sands Loams Clays

Regosol K a l a h a r i sand 4.0

Lithosol Lithosol 2.0 2.5 4.0
Vertisol Basic rocks 5.0
Sediments 4.5
Siallitic Basic rocks 3.5 4.0
U l t r a basic 4.0
Sediments 3.5
Sandstones 3.5 4.0
Granites
Fersiallitic Basic rocks 5.5 6.0
U l t r a basic 6.0
Sediments 4.5 4.5
Granites 4.0 4.5
Arenaceous 3.5 4.0
Paraferrallitic Granites 4.5 5.0
Orthoferrallitic Basic rocks 7.0
Sediments 5.5
Granites 5.5 6.5 6.5
Sandstones 5.0 6.0
Sodic S t r o n g l y sodic 1.0 1.5 1.5
W e a k l y sodic/saline 1.0 1.5 2.0

7.4.2. Cropping factor, C

T h e n e x t s t e p in e s t i m a t i n g soil losses is to evaluate the c r o p c o v e r
effect. A s m e n t i o n e d above, the S L E M S A model a p p r o a c h is to obtain a single
number for the proportion of r a i n f a l l e n e r g y w h i c h is intercepted by any c r o p
and at any s t a g e of g r o w t h . T a b l e s 7.6 and 7.7 g i v e e s t i m a t i o n s of the
p r o p o r t i o n of rainfall e n e r g y , i % , w h i c h is intercepted by v a r i o u s c r o p s ,
d e p e n d i n g on their date of e m e r g e n c e r e l a t i v e to the beginning of the rainy
s e a s o n , or age of p l a n t a t i o n . F r o m this energy i n t e r c e p t i o n index, the crop
soil loss r a t i o C , to use in E q n . 7.5 is r e a d f r o m F i g . 7.5.

7.4.3. Topography factor, X

The e s t i m a t i o n of the t o p o g r a p h y f a c t o r , X , c o m b i n e s the e f f e c t s of field
l e n g t h , L, and slope, S, m u c h in the s a m e m a n n e r as does the universal soil
l o s s equation ( E q n . 7.2 and 7.3 in S e c t i o n 7.2). T h e equation c o e f f i c i e n t s are
d i f f e r e n t , h o w e v e r , due to the d i f f e r e n t s t a n d a r d field l e n g t h and slope used
in the S L E M S A model (30m v e r s u s 2 2 m and 4 . 5 % r a t h e r than 9 % ) . E q n . 7.6
182 AGRICULTURAL E N G I N E E R I N G SOIL MECHANICS

2.0|

1.5

05

0.5
" 025~

0 100 200 300 400 500

Slope length, L, m

F i g . 7.6. Soil loss r a t i o , X , versus slope l e n g t h , L ( E l w e l l , 1980).

0 20 40 60 80 100
Slope length, L, m

F i g . 7.7. Soil loss ratio X for higher slopes, S ( E l w e l l , 1980).

 SOIL E R O S I O N A N D P R O T E C T I O N 183

a n d 7.7 below g i v e the appropriate t o p o g r a p h y f a c t o r s , X , for slopes less or

g r e a t e r than 1 % . In these equations, L is in m e t r e s and S is in percent.

For S < 1 % X = S ^ T / ( 1 0 . 7 4 S + 8.04) (7.6)

For S > 1 % X = yJZ (0.76 + 0.53S + 0 . 0 7 6 S ) / 2 5 . 6 5

2
(7.7)

T A B L E 7.5. C o r r e c t i o n f a c t o r s to be added a l g e b r a i c a l l y to the soil erodibility

factor, F , for soil m a n a g e m e n t techniques ( E l w e l l , 1980). = F^ + correction
factors.

Practice Factor

A. Soil loss in previous year < 1 0 t/ha 0

10 to 20 t/ha -0.5
> 2 0 t/ha -1.0
B. Ridging practices N o r m a l tilth 0
F i n e powdery -0.25
B l . C r o p s on large ridges (>200 m m ) Slope < 1 % 1.5
R i d g e s without tie-ridges Slope < 1 % 1.0
Slope 1 to 2 % 0
Slope > 2 % -1.0
B 2 . C r o p s on s m a l l ridges (<200 m m ) Slope < 1 % -1.0
Slope 1 to 2 % 0
Slope > 2 % -1.0
C I . A n n u a l crops planting d i r e c t i o n On contours 0
A n g l e to c o n t o u r s -0.25
A t r i g h t angle -0.5
C 2 . Tillage techniques F i n e powdery tilth -0.5
Z e r o tillage -0.5
D i s c e d fine tilth 0
R i p p e d and disced 0
P l o w e d and rolled 0.5
P l o w e d only 1.0
D. F a l l o w s and leys F i r s t year 0
S e c o n d year 1.0
T h i r d year and m o r e 2.0
G o o d pasture 2.0
E. P e r e n n i a l crops and o r c h a r d s Mechanical cultivation -0.5
H e r b i c i d e weed control 0
M u l c h soil c o v e r 2.0
F. I r r i g a t e d lands S a n d s and l o a m s -0.5
Good pastures 3.0
184 AGRICULTURAL E N G I N E E R I N G SOIL MECHANICS

T A B L E 7.6. V a l u e s of rainfall energy interception p r o p o r t i o n , i % , for v a r i o u s

c r o p s a n d e m e r g e n c e t i m e s before (-) or after the s t a r t of the rainy s e a s o n
( E l w e l l , 1980).

Crop Yield E m e r g e n c e t i m e after s t a r t of rainy s e a s o n

(t/ha) - 1 mo. 0 1 mo. 2 mo. 3 mo.

Cotton 1.0 62 55 41 24 9
2.5 84 75 56 32 13
4.5 95 84 63 36 14
C o w p e a s hay 1.5 54 62 67 55 35
2.5 65 76 81 67 43
" silage 2.0 26 29 32 29 20
6.0 43 50 54 49 34
10.0 61 70 83 69 48
11
green crop 6.0 5 17 26 30 22
10.0 7 24 35 41 36
Groundnuts 0.8 50 57 49 32 16
1.5 64 73 62 41 20
3.0 71 80 69 45 22
Maize 2.0 24 29 28 21 12
6.0 43 52 51 37 21
10.0 55 68 66 48 27
Rice 1.5 54 56 53 40 24
2.5 69 72 67 51 31
4.5 84 88 82 62 37
Sorghum 1.0 39 40 35 25 12
2.0 47 49 43 30 15
6.0 81 84 73 52 26
Soybeans 0.8 34 38 36 27 14
1.5 51 57 54 39 20
2.5 69 77 73 53 28
4.0 80 90 85 62 32
Sunflowers 0.1 5 8 11 9 5
0.4 11 19 24 21 12
1.3 28 50 62 55 30
Tobacco 1.0 3 6 8 6 3
2.0 11 21 26 22 11
3.0 19 36 46 38 20
4.0 27 52 66 54 28
Grass ley 97 89 68 42
Poor ley 65 55 33 14
Weed fallow 0 2 10 32
Poor fallow 0 1 5 14
 SOIL E R O S I O N A N D P R O T E C T I O N 185

I n a d d i t i o n , the t o p o g r a p h y f a c t o r X is s h o w n g r a p h i c a l l y in F i g . 7.6 and

7.7 for d i f f e r e n t ranges of field s l o p e s .
Once the variables K, C and X have been e s t i m a t e d for a p a r t i c u l a r c a s e ,
t h e y are s i m p l y inserted into E q n . 7.5 (Z = K C X ) in order to e s t i m a t e the
m e a n annual soil loss f r o m a f i e l d .

T A B L E 7.7. V a l u e s of rainfall energy i n t e r c e p t i o n p r o p o r t i o n , i % , for e v e r g r e e n

o r c h a r d trees (except apples) and c o f f e e plantations ( E l w e l l , 1980).

Year E v e r g r e e n tree s p a c i n g , m C o f f e e tree s p a c i n g , m

7.25x7.25 6.75x6.75 4.5x6.0 3.0x4.5 2x3 2.5x2.5 2.5x3

1st 1 1 2 3 0.6 0.5 0.4

2nd 3 4 6 13 8 7 5
3rd 9 10 17 34 23 22 18
4th 17 20 32 51 43 41 34
5th 27 31 51 57 57 58 48
6th 45 52 68 59 60 70 58
7th 52 60 72 63 60 71 60

Problem 7.3; A f a r m field 20 k m n o r t h e a s t of H a r a r e , Z i m b a b w e is 100 m long

a n d has a u n i f o r m 3 % slope. T h e soil is a f e r s i a l l i t i c clay l o a m w i t h n o r m a l
t i l t h . M a i z e w a s planted for the third y e a r on N o v e m b e r 1 (the beginning of
t h e r a i n y season) w i t h the r o w s along c o n t o u r lines and no special ridging
techniques. T h e e x p e c t e d yield of the c r o p is 6 t/ha. I f the r a i n f a l l is 850 m m
that year, e s t i m a t e the annual w a t e r erosion soil loss.

F r o m F i g . 7.2, rainfall energy Ε is 12,000 J / m . 2

F r o m T a b l e 7.4, soil erodibility f a c t o r F b = 6.0.

F r o m Table 7.5, c o r r e c t i o n f a c t o r s are essentially z e r o .
F i g . 7.4 g i v e s the bare soil erosion e s t i m a t e Κ as 7 t/ha.
F r o m T a b l e 7.6, for a 6 t/ha c r o p planted at the beginning of the rainy
s e a s o n , i = 5 2 % . T h i s g i v e s a c r o p p i n g f a c t o r C of 0.06 in F i g . 7.5.
F i g . 7.6 c o m b i n e s the 100 m field l e n g t h and 3 % slope to yield a
t o p o g r a p h y f a c t o r X of 1.2.
E q n . 7.5 is now used to e s t i m a t e the annual soil loss.

Ζ = KCX = (7 t/ha) χ 0.06 χ 1.2 = 0.50 t/ha

P r o b l e m 7.4: T h e next year on the field of P r o b l e m 7.3, for one r e a s o n or

another, the m a i z e w a s planted one m o n t h late and yielded only 2 t/ha. W h a t
d i f f e r e n c e does this m a k e to the e s t i m a t e of annual soil l o s s ?
186 AGRICULTURAL E N G I N E E R I N G SOIL MECHANICS

O n l y the crop energy interception f a c t o r , i, v a r i e s in this c a s e . Table 7.6

g i v e s i = 2 8 % w h i c h yields a cropping f a c t o r C = 0.19 f r o m F i g . 7.5. T h e
e s t i m a t e of soil loss is thus three t i m e s higher than for the p r e v i o u s year,
or;

Ζ = (7 t/ha) χ 0.19 χ 1.2 = 1.60 t/ha

P r o b l e m 7.5: What would be the e f f e c t of c o n s t r u c t i n g high ridges (200 m m )

w i t h t i e - r i d g e s on a relatively flat field ( 0 . 5 % ) c o m p o s e d of fersiallitic sand
topsoil, w i t h a cropping f a c t o r C = 5 0 % and a topography f a c t o r , X , of 1.0?
A s s u m e that the annual rainfall energy is 10 k J / m . 2

F r o m Table 7.4, the erodibility index for the soil type is found to be 4.0.
F r o m Fig. 7.4, the bare soil erosion is e s t i m a t e d to be about 2 1 t/(ha y). T h u s ,
including the cropping and topography f a c t o r s , C and X , the soil loss e s t i m a t e
w i t h o u t ridges would be:

Ζ = KCX = ( 2 1 t/ha/y) χ 0.50 χ 1.0 = 10.5 t/(ha y)

W i t h 2 0 0 m m ridges and t i e - r i d g e s , T a b l e 7.5 indicates that a c o r r e c t i o n

factor of 1.5 should be added to F b to c a l c u l a t e a value of F of 4.0 + 1.5 =
m

5 . 5 . T h e n the annual bare soil loss e s t i m a t e f r o m F i g . 7.4 is reduced to

a p p r o x i m a t e l y 6 t/ha, and the net e s t i m a t e is;

Ζ = 6 t/(ha y) χ 0.50 χ 1.0 = 3 t/(ha y), ( 2 9 % of the previous value)

7.5. D E S I G N O F S O I L C O N S E R V A T I O N P R A C T I C E S AND STRUCTURES

The conservation p r a c t i c e s listed in Table 7.3 are illustrated s c h e m a t i c a l l y

in F i g . 7.8 to 7.10. C o n t o u r i n g is the p r a c t i c e of e x e c u t i n g p l o w i n g , planting
a n d c u l t i v a t i o n as closely as possible along e l e v a t i o n c o n t o u r s . The plow
furrows and later r o w s w h i c h result can store s o m e of the rainfall r u n o f f and
d e c r e a s e the downhill velocity of w a t e r . S t o r e d w a t e r in the r o w s infiltrates
i n t o t h e soil and is an added benefit in dry areas where w a t e r c o n s e r v a t i o n
is also i m p o r t a n t (Schwab et al., 1981). Table 7.3 indicates that on slopes up
t o 1 2 % , c o n t o u r plowing reduces w a t e r erosion soil losses by 40 to 5 0 %
c o m p a r e d to plowing up and down the slope.
Strip cropping, as s h o w n in F i g . 7.9, c o n s i s t s of planting strips of a buffer
crop, s u c h as g r a s s or l e g u m e s , between u n i f o r m l y wide s t r i p s of row crops
planted along c o n t o u r s . In areas where wind erosion is a m o r e serious problem
t h a n t h a t due to w a t e r , the buffer strips and crop r o w s are installed
p e r p e n d i c u l a r to the direction of the prevailing winds (Schwab et al., 1981).
T h e buffer strips trap m u c h of the w a t e r f l o w i n g downhill, and retain soil
w a s h e d f r o m the row crop a r e a s . Table 7.3 indicates that strip c r o p p i n g ,
 SOIL E R O S I O N A N D P R O T E C T I O N 187

elevation contours

F i g . 7.8· C o n t o u r i n g a slope as an erosion c o n t r o l p r a c t i c e .

Grass or legume
buffer strips

F i g . 7 . 9 . C o n t o u r i n g and b u f f e r strips to reduce r u n o f f and e r o s i o n .

including r o t a t i o n in the r o w crop a r e a s , c a n reduce soil losses by about 7 0 %

for slopes up to 1 2 % .
T e r r a c i n g ( F i g . 7.10) is a m e t h o d o f altering the l a n d f o r m to provide
c u t o f f s to downhill w a t e r f l o w , and lower slopes over m u c h of the land a r e a .
Broadbase t e r r a c e s include shallow c h a n n e l s c u t along c o n t o u r s and spaced at
30 m o r s o . T h e c u t s and fills a r e n o t steep, a n d so p r a c t i c a l l y all of the
f i e l d a r e a c a n be used f o r c u l t i v a t i o n . I n addition, not a great deal of
e a r t h m o v i n g is required f o r this type of t e r r a c e , and thus l a n d f o r m i n g c o s t s
are l o w ( F i g . 7.10a).
188 AGRICULTURAL E N G I N E E R I N G SOIL MECHANICS

Channel
£2:1 Cut Fill
_ % slope
6

1
0 15
1> X, m
30
(a) Broadbase

Embankment

2% slo pe Level

—^ X, m
30 60 90

(b) Conservation bench

F i g . 7.10. S o i l c o n s e r v a t i o n benches, (a) broadbase b e n c h , (b) c o n s e r v a t i o n

bench w i t h e m b a n k m e n t s and (c) level or r e v e r s e slope b e n c h e s .
 SOIL E R O S I O N A N D P R O T E C T I O N 189

C o n s e r v a t i o n benches ( F i g . 7.10b), on the other h a n d , involve the m o v e m e n t

o f m o r e soil than broadbase t e r r a c i n g , in order to c o n s t r u c t level strips of
l a n d of about 30 m w i d t h e v e r y 90 m . T h e s e level a r e a s hold w a t e r trapped
by the e m b a n k m e n t s , and allow the i n f i l t r a t i o n and s t o r a g e of m o r e w a t e r
than the f o r m e r t e r r a c e c o n f i g u r a t i o n . T h i s is i m p o r t a n t in drier areas of the
w o r l d in w h i c h w a t e r c o n s e r v a t i o n is desirable.
Bench t e r r a c e s ( F i g . 7.10c) c o m p r i s e f l a t t e n e d shelves cut into steep slopes
of 2 0 % or m o r e . T h e y are used to c o n t r o l the distribution of i r r i g a t i o n w a t e r
( e s p e c i a l l y in wet crops s u c h as r i c e ) , or to s t a b i l i z e steeper slopes w h i c h
would be subjected to s e v e r e w a t e r erosion w h e n cleared of g r a s s or trees for
cultivation. T h e b a c k of e a c h t e r r a c e c a n h a v e a s m a l l slope to the h o r i z o n t a l
(0.2 - 2 % ) in order to channel e x c e s s r u n o f f to g r a s s e d w a t e r w a y s or s u r f a c e
inlets w h i c h will allow it to m o v e downhill s a f e l y .
T h e r e c o m m e n d e d h o r i z o n t a l interval (HI) b e t w e e n t e r r a c e s c a n be
c a l c u l a t e d as f o l l o w s .

_ Γ 100 L S "Ι 2
H I
00)
™ -
[ 0.75 + 0.53 S 1 + 0.076 S^J

where S 1 = the land slope in %

and L S is c a l c u l a t e d f r o m E q n . 7 . 1 , based on a p r e d e t e r m i n e d or tolerable

rate of soil e r o s i o n .

T h e use of v e r t i c a l pipe inlets to c o n t r o l s u r f a c e w a t e r r u n o f f is another

useful p r a c t i c e . The distance of o v e r l a n d flow should be m i n i m i z e d to prevent
excessive r e m o v a l of topsoil during r a i n f a l l e v e n t s . V e r t i c a l inlets also reduce
t h e d a n g e r of soil s l u m p i n g in e m b a n k m e n t s t r u c t u r e s due to w a t e r seepage
at the d o w n s t r e a m side. S t r u c t u r e s s u c h as silt traps or s e d i m e n t a t i o n basins
c o u l d a l s o be c o n s t r u c t e d in order to p r e v e n t d o w n s t r e a m s i l t a t i o n in
w a t e r c o u r s e s , or further gully e r o s i o n .

7.6. W I N D EROSION

Erosion due to wind o c c u r s in l o c a l i z e d a r e a s , and c a n o f t e n be as severe

a p r o b l e m as w a t e r erosion is in o t h e r s . W i n d erosion is m o r e pronounced in
dry l o c a t i o n s or periods and w h e r e s a n d y or silty soils p r e d o m i n a t e , or where
l i g h t o r g a n i c soils are f o u n d . T h e s e soils have a low r e s i s t a n c e to m o v e m e n t
by the w i n d due to their low c o h e s i o n and unit w e i g h t . T h e a m o u n t of soil
liable to be m o v e d by wind is dependent p r i m a r i l y on two f a c t o r s , n a m e l y
wind v e l o c i t y and the r o u g h n e s s of the soil s u r f a c e . Soil p a r t i c l e s of less than
2 m m d i a m e t e r are the m o s t susceptible to m o v e m e n t by air. H u d s o n (1981)
has reported soil deposition rates due to wind erosion as h i g h as 35 g/(m2day).
M e t h o d s for c o n t r o l l i n g w i n d erosion are a i m e d m a i n l y at keeping the
ground s u r f a c e under vegetal c o v e r . T i l l a g e m e t h o d s w h i c h c a n be incorporated
190 AGRICULTURAL E N G I N E E R I N G SOIL MECHANICS

w i t h crop stubble m a n a g e m e n t are t h e r e f o r e a d v a n t a g e o u s . T h e use of natural

a n d a r t i f i c i a l w i n d b r e a k s is also r e c o m m e n d e d . N a t u r a l w i n d b r e a k s , or
vegetative b a r r i e r s , c a n be c r e a t e d by planting trees or by strip c r o p p i n g w i t h
alternate bands of tall and shorter c r o p s . A r t i f i c i a l w i n d b r e a k s include f e n c e s
a n d vertical geotextile w a l l s , and are also e f f e c t i v e in r e d u c i n g the v e l o c i t y
of the wind over the ground s u r f a c e .
S o i l m u l c h i n g c a n also be e f f e c t e d , and has two m a i n e f f e c t s . It leaves
less soil particles exposed to the w i n d , and retains m o r e m o i s t u r e in the s o i l ,
thereby increasing internal soil c o h e s i o n .

7.7. PROBLEMS

7.6. A sandy loam field near M o n t r e a l , C a n a d a ( R = 75) is 100 m long w i t h

a 2 % slope. The o r g a n i c m a t t e r in the topsoil a v e r a g e s 2 % , and silage
corn has been g r o w n the year previous l e a v i n g no residues. P l o w i n g and
planting have been done on c o n t o u r s , but no strip c r o p p i n g or t e r r a c i n g
have been e f f e c t e d . W h a t is the e s t i m a t e d rate of soil loss during the
f i r s t m o n t h after seeding the s e c o n d year of silage c o r n ?

A n s w e r : 9.4 t/(ha y).

7.7. Is it possible to incorporate a c o n s e r v a t i o n p r a c t i c e on the above field

in order to reduce the soil loss in this period to below 1.5 t/(ha y ) ?

A n s w e r : Y e s , by t e r r a c i n g and c o n t o u r i n g , A < 1.5 t/(ha y).

7.8. A r a i n s t o r m o c c u r s in a 4 k m a g r i c u l t u r a l area of N e w Y o r k S t a t e
2

resulting in a total r u n o f f v o l u m e of 10,000 m and a peak r u n o f f rate

3

of 0.25 m3/s. T h e a v e r a g e soil erodibility f a c t o r of the soil in the area

i s 0 . 2 0 tons/acre, the a v e r a g e l e n g t h and slope f a c t o r s are 8 and 0.2,
respectively, and the p r a c t i c e f a c t o r is 0.6. H o w m u c h soil per hectare
c a n be expected to be c a r r i e d f r o m the a r e a ?

A n s w e r : Y = 8 t/ha.

7.9. A cotton field near L u s a k a , Z a m b i a r e c e i v e s 600 m m of annual r a i n f a l l .

T h e field has a siallitic sandy l o a m topsoil, l e n g t h 150 m and a v e r a g e
s l o p e 4 % . The crop w a s planted at the beginning of the rainy season
o n f i e l d contours w i t h a very fine powdery soil tilth and no ridges or
t e r r a c e s , and the expected yield is 2.5 t/ha. W h a t is the e s t i m a t e d
annual rate of soil l o s s ?

A n s w e r : Ζ = 4.4 t/(ha y).

 SOIL E R O S I O N A N D P R O T E C T I O N 191

7.10 T o w h a t l e v e l could the e s t i m a t e d annual soil loss be reduced on the

f i e l d o f P r o b l e m 7.9 if the soil were plowed and disced in a m o r e
conventional manner?

A n s w e r : Ζ = 2.4 t/(ha y).

7.11 A corn field in southern O n t a r i o r e c e i v e s an annual r a i n f a l l of 1000 m m

a n d h a s an e r o s i v i t y index of 100. The field is 100 m long up a 3 %
s l o p e a c r o s s w h i c h g r a i n c o r n is planted for the second year after
c o n v e n t i o n a l tillage and no residues r e m a i n i n g . T h e field topsoil is a
s i a l l i t i c sandy l o a m derived f r o m sandstone and has about 2 % o r g a n i c
m a t t e r c o n t e n t . The c o r n w a s planted at the beginning of the g r o w i n g
s e a s o n and is expected to yield a p p r o x i m a t e l y 10 t/ha after 5 m o n t h s .
Estimate the annual w a t e r e r o s i o n soil loss rate by (a) the universal soil
loss e q u a t i o n , and (b) the soil loss e s t i m a t o r for southern A f r i c a .

A n s w e r : (a) 8.3 t/(ha y), (b) 9.9 t/(ha y ) .

192 AGRICULTURAL E N G I N E E R I N G SOIL MECHANICS

Chapter 8. Soil cutting and tillage

8.1. C U T T I N G FORCES

8.1,1. Two dimensional cases

In Chapters 2 and 6 the basic notions of soil failure m e c h a n i c s and lateral
pressures were discussed. T h e s e s a m e principles apply to w a l l s , a n c h o r s or soil
cutting tools w h i c h m o v e soil in passive f a i l u r e . T h e t w o dimensional approach
c a n be v a l i d f o r c a s e s in w h i c h the s t r u c t u r e or tool in question is
considerably wider than it is deep (a ratio of about ten to one). M e c h a n i c a l l y
s p e a k i n g , there is actually no d i f f e r e n c e b e t w e e n , s a y , a bulldozer blade and
a retaining wall w h i c h fails the soil p a s s i v e l y , as s h o w n in F i g . 8 . 1 . The slope
o f t h e s o i l internal failure plane at the b o t t o m of the wall or blade is
governed by the interface angle and angles of internal f r i c t i o n and soil to wall
or blade f r i c t i o n (ref. F i g . 6.11). The slope of the failure line at the s u r f a c e
is also the s a m e in both c a s e s as s h o w n .

Fig. 8.1. A c o m p a r i s o n between a r e t a i n i n g wall and a c u t t i n g blade failing

soil in the passive c a s e .

T h e f o r c e s w h i c h are required to m o v e the wall or blade and soil can be

c o m p o s e d in the h o r i z o n t a l and v e r t i c a l directions and labelled Η and V as
i l l u s t r a t e d . If the w e i g h t of the wall or the blade and its c a r r i a g e , W , is
 SOIL C U T T I N G A N D T I L L A G E 193

s i g n i f i c a n t c o m p a r e d to the v e r t i c a l c o m p o n e n t of the required soil f o r c e , then

it should be included as well in the c a l c u l a t i o n of V . A l s o , a wall or blade of
finite width should have this w i d t h , w, included in the c a l c u l a t i o n of soil force
Ρ and the adhesion f o r c e , as s h o w n below.

Ρ = (γη Κ 2
ρ + chK c + c hK
a c a + qhK )w
q (8.1)

Η = P s i n ( a + δ) + c d w c o t a (8.2)
a
V = Pcos(a + δ) - c dw + W a (8.3)

T h e soil f o r c e , P, to be d e t e r m i n e d in e a c h c a s e , c a n be found using the

coefficients of passive earthpressure c a l c u l a t e d by E q n . 6.27 to 6.32 in C h a p t e r
6, or by using the soil c u t t i n g f a c t o r s l o c a t e d in A p p e n d i x 5 and putting t h e m
i n t o E q n . 8 . 1 . In the case of passive soil failure in t w o d i m e n s i o n s , the
s t r a i g h t wedge model represented by E q n . 6.27 to 6.32 c a n be used, or the
m o r e a c c u r a t e log spiral failure shape e m p l o y e d by H e t t i a r a t c h i (1969),
( H e t t i a r a t c h i and R e e c e , 1974).

F i g . 8.2. A bulldozer soil c u t t i n g blade in P r o b l e m 8 . 1 .

Problem 8 . 1 . A n e x a m p l e application of the technique is illustrated in F i g . 8.2.

A 317 kW tracked t r a c t o r w i t h a m a s s of 41.8 t is s h o w n w i t h a flat bulldozer
blade h a v i n g a total width of 4.80 m . T h e t r a c t o r is beginning to cut soil at
a depth of 40 c m as indicated, the soil properties being 7=17.6 k N / m , 0 = 3 0 ° , 3

δ=20°, c=10 k P a and c = 4 k P a . T h e blade itself, not including the a r m s w h i c h

a

s u p p o r t it, has a m a s s of 4 t. F i n d the h o r i z o n t a l (draft) and v e r t i c a l uplift

f o r c e s required to m o v e the blade t h r o u g h the s o i l .
194 AGRICULTURAL E N G I N E E R I N G SOIL MECHANICS

The c o e f f i c i e n t s of passive earthpressure m u s t be d e t e r m i n e d by r e f e r r i n g

to Hettiaratchi and R e e c e (1974), (Appendix 5), or by f o l l o w i n g the procedure
outlined in S e c t i o n 6.3 w h i c h will be done as f o l l o w s .

/sinfo+ δ ) 8 ΐ η ( δ Τ ^ _ ϋ 0 8 ( α + δ + φ)"
β = cot" 1
I sinasino = 3 1 6 ? o
μ
sinTa + 0+φ)

Κ = (cot Ο! + cot β ) sin( | 3 + φ ) _ 1 β ^ 7

ρ 2sin(a + β + δ + φ )

Κ = • cos φ . =

c sin^Q s i n ( a +β+ δ + φ)

κ = . -οο (α + 0 + φ )
8 = 0 β 7 3

ca sin α s i n t o + ρ + δ +
Φ)

T h e n the soil force Ρ c a n be d e t e r m i n e d f r o m E q n . 8 . 1 , m u l t i p l y i n g the

f o r c e per unit blade w i d t h by the w i d t h , w=4.8 m .

Ρ = (γη Κ 2
ρ + c hK c + c hKa c a )w = 70.1 k N

N o w E q n . 8.2 and 8.3 are applied to find the h o r i z o n t a l and v e r t i c a l f o r c e s

required to m o v e the blade in the m a n n e r s h o w n .

Η = P s i n t o + δ ) + c h w c o t a = 72.8 k N
a
V = P c o s ( a + δ ) - c h w + W = 52.0 a kN

It is interesting to note in the above case that the g r a v i t y c o e f f i c i e n t s of

p a s s i v e earthpressure, K , g i v e n by H e t t i a r a t c h i and R e e c e (1974) for the
p

r e l e v a n t blade and soil p a r a m e t e r s are 0.92 and 1.75 for δ = 0 and δ = φ ,

r e s p e c t i v e l y . A linear extrapolation ( M c K y e s , 1985) for δ = 2 0 ° g i v e s K p = 1 . 4 7 ,
e x a c t l y the s a m e answer as w a s d e t e r m i n e d above using the s t r a i g h t line
w e d g e f a i l u r e m o d e l . The power e x t r a p o l a t i o n s u g g e s t e d by H e t t i a r a t c h i and
R e e c e (1974) g i v e s Κ ρ of 1.41. The c o e f f i c i e n t s do not a l w a y s equal each
other using the t w o approaches, but the d i f f e r e n c e is usually less than 1 0 % .

P r o b l e m 8.2.
A n o t h e r example is shown in F i g . 8.3 involving a s t r u c t u r e . A n anchor
made of concrete (specific g r a v i t y 2.4) is designed w i t h the d i m e n s i o n s s h o w n
t o hold down a cable with a design tension of 450 k N . T h e soil has been
compacted around the anchor to have properties γ = 1 9 . 6 k N / m , φ = 3 5 ° , δ = 2 7 ° , 3

c=15 kPa and c = 5 k P a . In order to d e t e r m i n e the s a f e t y f a c t o r of this overall

a

d e s i g n , t h e m a x i m u m s t r e n g t h of the a n c h o r - s o i l c o m b i n a t i o n m u s t be
e s t i m a t e d for horizontal m o v e m e n t and v e r t i c a l uplift.
 SOIL C U T T I N G A N D T I L L A G E 195

450 kN

F i g . 8.3. A buried anchor, P r o b l e m 8.2.

Ε φ . 6.28 to 6.32 and 8.1 are used to c a l c u l a t e the f o l l o w i n g c o n s t a n t s and

forces.

β = 27.6°, K p = 1.88, K c = 2.73, K Qa = 0.77.

Ρ = (γη Κ 2
ρ + c hK c + c hK
a c a )w = 817 kN

a n d E q n . 8.2 and 8.3 g i v e the e s t i m a t e d m a x i m u m h o r i z o n t a l and vertical

f o r c e s w h i c h the anchor can resist before m o v e m e n t .

H m = Psin(a + 6) + C g d w c o t a = 838 k N

v
m = P c o s ( a + δ) - c d w + W = 369 k N
g

T h e s a f e t y f a c t o r of this s t r u c t u r e c a n then be c a l c u l a t e d either as the

horizontal load c a p a c i t y of the anchor divided by the h o r i z o n t a l c o m p o n e n t of
the design cable tension, or s i m i l a r l y in the v e r t i c a l d i r e c t i o n , w h i c h e v e r is
less. The design load c o m p o n e n t s in these two d i r e c t i o n s are;

Η = 450 c o s 4 0 ° k N = 345 k N , and V = 450 s i n 4 0 ° k N = 294 k N

In the h o r i z o n t a l d i r e c t i o n , S.F. = H / H m = 838/345 = 2.43

I n the v e r t i c a l d i r e c t i o n , S.F. = V /V = 369/294 = 1.26

196 AGRICULTURAL E N G I N E E R I N G SOIL MECHANICS

T h e v e r t i c a l s a f e t y f a c t o r is the c r i t i c a l one in this e x a m p l e and c a n be

u s e d as the s a f e t y f a c t o r for the p a r t i c u l a r s t r u c t u r e . A g a i n c o m p a r i n g the
wedge method for e s t i m a t i n g Κ ρ w i t h the log spiral of H e t t i a r a t c h i and R e e c e
(1974), the s t r a i g h t line model predicts K p = 1 . 8 8 , while the latter m e t h o d g i v e s
v a l u e s of 1.96 or 1.87 using a linear and power e x t r a p o l a t i o n , r e s p e c t i v e l y ,
b e t w e e n the quantities for δ = 0 and δ=0.

8.1.2. Three dimensional cases

(a) Wide blade (b) Narrow blade

F i g . 8.4. T h e difference in soil m o v e m e n t pattern between a wide and

n a r r o w c u t t i n g blade (after P a y n e , 1956).

W h e n a s t r u c t u r e or tool m o v i n g soil passively is less than ten t i m e s as

wide as it is deep, the a c c u r a c y of the two dimensional a p p r o a c h described
a b o v e can be poor. T h i s o c c u r s principally because a considerable a m o u n t of
s o i l m o v e s s i d e w a y s near the edges of the m o v i n g soil z o n e , r a t h e r than
s i m p l y f o r w a r d and v e r t i c a l l y . P a y n e (1956) illustrated this p h e n o m e n o n by
conducting field tests w i t h flat steel blades h a v i n g d i f f e r e n t depths and widths
in several soil types. H i s observations w i t h respect to edge e f f e c t s in passive
soil failure are illustrated in F i g . 8.4.
Evidently, the edge e f f e c t s , c o m p r i s i n g soil m o v i n g outside the edges of a
blade, are larger in c o m p a r i s o n to the central soil zone, d i r e c t l y ahead of the
blade, for n a r r o w e r tools. T h i s f a c t m a n i f e s t e d itself in P a y n e ' s m e a s u r e m e n t s
of horizontal draft force by the higher f o r c e s per unit w i d t h of blade in the
c a s e of n a r r o w e r tools in the s a m e s o i l . T h e two dimensional passive e a r t h
p r e s s u r e theory discussed earlier would dictate that the soil force per unit
w i d t h should r e m a i n c o n s t a n t . B u t the two dimensional t r e a t m e n t does not
take into account the e f f e c t s of soil m o v e m e n t outside the w i d t h of the blade
itself.
Not only did P a y n e find unit draft f o r c e to be a f f e c t e d by tool w i d t h , but
e v e n t h e p a t t e r n of soil failure at the center of tools w a s altered by blade
w i d t h . O n e of the m e a s u r e m e n t s of the soil rupture s u r f a c e g e o m e t r y is the
 SOIL C U T T I N G A N D T I L L A G E 197

s u r f a c e d i s t a n c e f r o m the blade to the f o r w a r d failure plane, labelled r in

F i g . 8.4. P a y n e observed in field tests that this distance w a s a f f e c t e d by the
w i d t h of a blade at constant operating d e p t h . The ratio r/d c h a n g e d f r o m
about 1.6 for a wide v e r t i c a l blade (w/d=5) to nearly 1.0 for a n a r r o w e r blade
h a v i n g w/d=0.2 in sandy soil, and s i m i l a r e f f e c t s were seen in l o a m and clay
s o i l s . It would appear that the edge e f f e c t s on n a r r o w blades, and the
requirement of the blade to m o v e soil s i d e w a y s as well as only f o r w a r d , alters
the whole pattern of soil failure ahead of the t o o l .

Circular
side
crescents

F i g . 8.5. Three dimensional wedge soil failure model ( M c K y e s and A l i , 1977).

T h e r e is a m e c h a n i c a l model w h i c h c a n a p p r o x i m a t e s u c h behavior, and

e s t i m a t e draft f o r c e s in different soils for v a r y i n g w i d t h s of c u t t i n g tool
( M c K y e s and A l i , 1977). A s illustrated in F i g . 8.5, the model uses a plane soil
f a i l u r e s u r f a c e ahead of the blade, just like the two dimensional wedge
a p p r o x i m a t i o n for active or passive soil failure seen in S e c t i o n s 6.1 and 6.3.
The failure plane has a slope,β, to the h o r i z o n t a l and the r a k e angle of the
blade is called(X. D i r e c t l y ahead of the tool is a p r i s m a t i c m o v i n g soil s e c t i o n
of constant w i d t h , w. T o e a c h side of this center zone is a c i r c u l a r c r e s c e n t
e d g e s e c t i o n having the s a m e s u r f a c e r a d i u s , r, as the l e n g t h of the center
zone. T h i s shape of edge zone w a s s u g g e s t e d by G o d w i n in 1974 ( G o d w i n and
S p o o r , 1977), and it w a s p r e s u m e d that the m a x i m u m w i d t h , s, of the side
c r e s c e n t s o c c u r r e d beside the l o w e r tip of the blade, as s h o w n in F i g . 8.4.
This a s s u m p t i o n f o r c e s the w i d t h , s, of the side zones to be a f u n c t i o n of the
b l a d e r a k e angle and soil failure plane angle for a c e r t a i n blade depth, as
follows.

s = rsinr? = d V c o t j S + 2cotCX cot/3

2
(8.4)
198 AGRICULTURAL E N G I N E E R I N G SOIL MECHANICS

F i g . 8.6. S e p a r a t i o n of f o r c e s acting on centre and side soil elements

( M c K y e s and A l i , 1977).

F i g . 8.6 s h o w s the pressures and f o r c e s acting on the s u r f a c e s of the

separated s e c t i o n s , in front and to the sides of the blade. T h e resultant f o r c e s
o n t h e c e n t e r s e c t i o n a r e i d e n t i c a l to those f o r m u l a t e d for the two
d i m e n s i o n a l p a s s i v e soil failure case seen in S e c t i o n 6.3. F o r the side
c r e s c e n t s , a differential approach m u s t be t a k e n because the f o r c e s are
distributed around the c i r c u l a r a r c s w h i c h bound these z o n e s . G o d w i n (1974)
showed how a differential element of these side c r e s c e n t s c a n be defined by
t a k i n g an arc having horizontal included angle dp, as s h o w n in F i g . 8.6. T h e
t o p a r e a o f t h i s section is r d p / 2 , the soil internal failure plane area is
2

rd dp/(2sin/3) and the volume is r2d dp/6.

H a v i n g the s u r f a c e areas and v o l u m e s of the center and side sections
a l l o w s the c o m p u t a t i o n of f o r c e s on these s u r f a c e s . T h e r e q u i r e m e n t of
equilibrium can then be used to eliminate soil r e a c t i o n f o r c e s , R-j and d R and 2

f o r m u l a t e the blade f o r c e s P-j and dP2«

For the center s e c t i o n , the result for P is as in S e c t i o n 6.3, for a blade
1

of w i d t h , w.

ρ =
[(i d qd)(cota.cot/3)sinfa 6)
L 2 _ _ _
T
2
+
sinp
+ + cd^?4- c
a
d ^ ^ ^ l w
sing J (8.5)
1 s i n ( a + j 3+ o φ ) +
 SOIL C U T T I N G A N D T I L L A G E 199

F o r a d i f f e r e n t i a l s e c t i o n of the side c r e s c e n t s , the blade f o r c e d P ^ is;

dP Q =
[d7dr +2
iqr )sin(a
2
+ δ) +
2
W ^ l d p
sinff J ^ ( Q £ )

2 sin(a+|8 + δ + φ )

E a c h of these elemental f o r c e s is at an angle ρ f r o m the f o r w a r d travel

direction. The c o m p o n e n t of each in the f o r w a r d d i r e c t i o n is dP2COsp, and the
t o t a l f o r c e f r o m e a c h side c r e s c e n t c a n be found by i n t e g r a t i n g the f o r w a r d
c o m p o n e n t s of the elemental f o r c e s over the included angle, p . f

2 =
l^2 P
C0S

_
\(\ydr
L Ρ
2
+ i q r ) s i n ( a δ) +
£
2
+ ^ r d ^ l s i n
2 sinff J 1
p'
/q -y\
" 8ίη(α+/5 + δ φ ) +

T h e c o m p o n e n t s of the e l e m e n t a l f o r c e s perpendicular to the direction of

t r a v e l are equal and opposite to the c o r r e s p o n d i n g f o r c e s f r o m the c r e s c e n t
o n t h e o t h e r side, and thus they c a n c e l e a c h other out. A t this point, the
total f o r c e , P, required by the blade c a n be found by adding together the
f o r c e s f r o m the center s e c t i o n and those of the two side c r e s c e n t s .

ρ ΓβΎ^Μτ,)
L -2
l
d 3w
+
^ d v
w J βΐηΟα+δ) + c d cs a
i nsp& i + iw) + c ad c o
s if neg ^ l Jw
s

s i n ( a +β+ δ + φ)

= ( 7 ^ Ν / + c d Nc + q d Nq + c ad N cJa w
2
Ύ n (8.8)

E q n . 8.8 r e s o l v e s intself into d i m e n s i o n a l c o m p o n e n t s s i m i l a r to the Κ

factors of lateral earthpressure seen in C h a p t e r 6, and in f a c t is in the s a m e
f o r m a s the universal e a r t h m o v i n g equation proposed by R e e c e (1965). In its
form of E q n . 8.8, the equation for soil m o v i n g does not have the slope angle,
β, o f the soil failure plane d e t e r m i n e d . W h e n the g e o m e t r i c a l details are
included in the first c o e f f i c i e n t , Ν γ , it looks like this.

k c o t Q f + cotfi) 1 + | ^ \ c o t j 3 + 2 c o t a c o t j 8 s i n ( a + δ )
2

Ny = ± L -Y Ε l\ n =ί (8.9)
ι sinia+β + δ + φ)
I t c a n be seen in E q n . 8.9 that the slenderness r a t i o , d/w, is an i m p l i c i t
component of the Ν γ f a c t o r , and will thus a f f e c t the f o r c e per unit w i d t h on
a cutting blade. A l s o , if the principle used in C h a p t e r 6 is e m p l o y e d , to find
t h e m o s t likely failure plane by m i n i m i z i n g the Ny t e r m , then the failure
a n g l e , β, will be influenced also by the blade depth to width r a t i o . These
e f f e c t s are in a g r e e m e n t w i t h the p h y s i c a l o b s e r v a t i o n s of P a y n e (1956).
200 AGRICULTURAL E N G I N E E R I N G SOIL MECHANICS

T h e u s e of C o u l o m b ' s (1776) principle of m i n i m i z a t i o n of E q n . 8.9, w i t h

r e s p e c t to cotjS by c a l c u l u s , is a bit f o r m i d a b l e since s u c h a procedure results
in some 25 terms in cotjS, its square and c o m b i n a t i o n s o f square r o o t s . I n this
instance, it is s i m p l e r to f o r m u l a t e E q n . 8.9 in a c o m p u t e r or a p r o g r a m m a b l e
c a l c u l a t o r , and d e t e r m i n e the values of failure angle, β ο ηw h i c h yield the
m i n i m u m quantities of Ny by a trial and error p r o c e d u r e . T h e s a m e value of
| 8 in each case is then substituted into the other f a c t o r s , N , N q and N
cr c to c a

g i v e the c o m p l e t e solution for any c o m b i n a t i o n of soil and i n t e r f a c e f r i c t i o n

a n g l e s , blade r a k e angle and slenderness r a t i o . Table 8.1 g i v e s e x a m p l e s o f this
procedure, and further values of the four Ν f a c t o r s are provided in A p p e n d i x 5
for different values of these v a r i a b l e s .

T A B L E 8 . 1 . E x a m p l e values of the c r i t i c a l failure plane slope angle, β , and 0Γ

Ν f a c t o r s for particular quantities of soil f r i c t i o n angle, i n t e r f a c e f r i c t i o n

angle and tool depth to width r a t i o .

δ°
a 0
d/w β
^cr
0
Νγ N
c N ca O Q

30 20 70 0 26.0 1.79 3.53 1.48 1.12

0.1 28.6 2.06 4.23 1.99 1.27
0.2 30.2 2.31 4.88 2.46 1.38
0.5 33.0 3.03 6.78 3.80 1.60
1.0 35.3 4.17 9.82 5.95 1.81
2.0 37.2 6.38 15.83 10.19 2.01
5.0 38.9 12.89 33.7 22.8 2.23
10.0 39.7 23.7 63.5 43.9 2.34
20.0 40.1 45.2 123.1 86.1 2.40

30 20 40 0 34.8 1.45 1.85 1.10 0.48

0.1 39.4 1.66 2.14 1.46 0.67
0.2 42.4 1.86 2.42 1.79 0.80
0.5 48.2 2.41 3.23 2.73 1.10
1.0 53.2 3.25 4.57 4.19 1.42
2.0 58.0 4.84 7.21 7.06 1.81
5.0 62.9 9.44 15.13 15.54 2.32
10.0 65.4 16.97 28.4 29.7 2.66
20.0 66.9 31.9 54.9 57.9 2.90

T h e f i r s t line of T a b l e 8 . 1 , for d/w=0 or a very wide blade, is the s a m e

a s would be predicted by the t w o d i m e n s i o n a l passive wedge theory of
S e c t i o n 6.3, and Ny w a s s h o w n to be close to the value predicted by
H e t t i a r a t c h i a n d R e e c e (1974) using c h a r a c t e r i s t i c equations. U p o n the
i n t r o d u c t i o n o f the side e f f e c t s , h o w e v e r , all of the Ν f a c t o r s increase w i t h
d/w, the slenderness ratio, and the soil failure plane angle, |Q , increases also. cr
 SOIL C U T T I N G A N D T I L L A G E 201

T h u s the trend of this model m a t c h e s the o b s e r v a t i o n s of P a y n e (1956),

n a m e l y that the failure pattern on the soil s u r f a c e b e c o m e s shorter, and the
d r a f t per unit tool w i d t h increases w i t h blade slenderness.
I n f a c t , P a y n e had made m e a s u r e m e n t s in the field of d r a f t f o r c e s
( h o r i z o n t a l c o m p o n e n t of P ) for f l a t , v e r t i c a l steel blades in d i f f e r e n t soil
types. In addition, he e m p l o y e d a torsional shear box to m e a s u r e field values
o f s o i l c o h e s i o n a n d f r i c t i o n angle, independently of the blade trials.
T h e r e f o r e , his m e a s u r e m e n t s c a n be used to c h e c k the model for the three

F i g . 8.7. Experimental m e a s u r e m e n t s of passive soil c u t t i n g d r a f t f o r c e s for

n a r r o w v e r t i c a l steel blades in a c l a y and sandly l o a m by P a y n e
(1956) c o m p a r e d to t h e o r e t i c a l p r e d i c t i o n s .

dimensional passive soil failure c o n d i t i o n presented a b o v e . I n F i g . 8.7, P a y n e ' s

o b s e r v a t i o n s of d r a f t f o r c e , H , are s h o w n f o r a 10.2 c m wide v e r t i c a l blade
at v a r i o u s depths in both a clay and sandy l o a m .
Using P a y n e ' s values of m e a s u r e d c o h e s i o n , f r i c t i o n angle and soil density,
a v e r a g e d o v e r the depths of 0-20 c m , the Ν f a c t o r s c a n be c a l c u l a t e d (or
taken from A p p e n d i x 5) for e v e r y blade depth to w i d t h r a t i o , and placed into
R e e c e ' s e a r t h m o v i n g E q n . 8.8 to predict the f o r c e , P, on the blade for each
d e p t h of the field t e s t s . T h e n , E q n . 8.2 is used to e s t i m a t e the theoretical
v a l u e s of d r a f t , H . A d h e s i o n b e t w e e n soil and blade w a s not m e a s u r e d by
202 AGRICULTURAL E N G I N E E R I N G SOIL MECHANICS

P a y n e (1956), and so it w a s a s s u m e d to be z e r o . T h e solid and dashed line

c u r v e s in F i g . 8.7 represent the predictions of draft for the t w o soils, and
they are seen to be reasonable a p p r o x i m a t i o n s of the e x p e r i m e n t a l l y m e a s u r e d
values.
L a t e r , L u t h and W i s m e r (1971) c o n d u c t e d l a b o r a t o r y tests on a dry sand in
a soil bin using flat steel blades m o v i n g h o r i z o n t a l l y at c o n s t a n t s p e e d . T h e y
also measured soil cohesion and internal f r i c t i o n angle of the sand by t r i a x i a l
s h e a r t e s t s , as well as the soil density and the c o e f f i c i e n t of soil to steel
friction w i t h an annular shear d e v i c e . T h e i r m e a s u r e m e n t s for a 12.7 c m wide
b l a d e a t a rake angle of 3 0 ° are s h o w n for d i f f e r e n t depths of operation in
F i g . 8.8. U s i n g the s a m e procedure as above w i t h the soil properties w h i c h
L u t h and W i s m e r r e p o r t e d , a predicted c u r v e of d r a f t f o r c e versus depth has
been prepared also in F i g . 8.8. H e r e a g a i n , the model appears to hold up well
in the light of e x p e r i m e n t a l m e a s u r e m e n t s .

F i g . 8.8. L a b o r a t o r y tests of n a r r o w c u t t i n g blade draft f o r c e s in dry sand

by by L u t h and W i s m e r (1971) c o m p a r e d to model p r e d i c t i o n s .
 SOIL C U T T I N G A N D T I L L A G E 203

~0 5 10 15 20
w, cm

F i g . 8.9. F i e l d test results of n a r r o w c u t t i n g tools in clay l o a m by Desir

(1981) c o m p a r e d to t h e o r e t i c a l c a l c u l a t i o n s .

In 1 9 8 1 , D e s i r reported the results of a series of field tests on a clay

loam f i e l d , using flat mild steel blades h a v i n g a r a k e angle of 2 0 ° and v a r i o u s
values of width and depth. H e had m e a s u r e d the soil s t r e n g t h properties w i t h
a C o h r o n s h e a r g r a p h (Section 2.7), including internal s o i l , and soil to m e t a l
a n g l e s of f r i c t i o n , as well as blade a d h e s i o n , soil cohesion and density. The
r e s u l t s of his o b s e r v a t i o n s of d r a f t f o r c e are r e p r o d u c e d g r a p h i c a l l y in
Fig. 8.9, along w i t h the predictions of the above m o d e l , using his reported soil
p r o p e r t i e s . The predictions of d r a f t , H , are s l i g h t l y high in this c a s e , but
usually by not m o r e than 1 0 % , w h i c h is a c c e p t a b l e c o n s i d e r i n g the absolute
a c c u r a c y of the shear s t r e n g t h t e s t i n g d e v i c e used by D e s i r (1981).
While these c o m p a r i s o n s of the three d i m e n s i o n a l soil c u t t i n g model do not
c o m p r i s e an e x h a u s t i v e proof of its v a l i d i t y , they do show that the model can
p e r f o r m an a c c e p t a b l e task of explaining the m e a s u r e m e n t s of soil c u t t i n g
f o r c e s , w h i c h have been g i v e n in the l i t e r a t u r e t o g e t h e r w i t h independently
m e a s u r e d soil s t r e n g t h p r o p e r t i e s .
The three d i m e n s i o n a l soil c u t t i n g m o d e l c a n be used to predict the f o r c e s
and energy r e q u i r e m e n t s of v a r i o u s e a r t h m o v i n g and tillage tools, or to
d e t e r m i n e t h e o r e t i c a l l y the best design of a tool for a g i v e n purpose, before
204 AGRICULTURAL E N G I N E E R I N G SOIL MECHANICS

p r o t o t y p e trials are c o n d u c t e d . I n addition, the model c a n be e m p l o y e d to

a n a l y z e different soil c u t t i n g p r o c e d u r e s , s u c h as the e x a m p l e p o r t r a y e d in
P r o b l e m 8.3 below.

7=17.6 kN/m , φ = 35° 5 = 23.3°, c = 20kPa,c = 5kPa

3
a

6.35err"If" ~^L
Ο ΓΊ
30cm a = 60"
pom
20cm
40 cm

(b) Two passes

(a) One pass

Fig. 8.10. Cross-section of (a) one deep pass and (b) the first of two passes
of a set of chisel plows, P r o b l e m 8.3.

P r o b l e m 8.3. In F i g . 8.10, two possible m e t h o d s for deep chiselling a soil to

a 40 c m depth are s h o w n . F i r s t l y , the three shank chisel plow c a n be operated
d i r e c t l y at 40 c m depth in one pass as illustrated in F i g . 8.10(a). A l t e r n a t i v e l y ,
t h e c h i s e l s c a n be run at 20 c m depth ( F i g . 8.10b), and then a second pass
p e r f o r m e d at a total of 40 c m deep.
T h e r e a s o n for the two pass m e t h o d is that the f i r s t pass at a 20 c m
d e p t h w i l l loosen m o s t of the soil in that layer, and m a k e it easier for the
tractor to m a n a g e the second pass at a depth of 40 c m . W i t h r e s p e c t to the
m a t h e m a t i c a l c u t t i n g m o d e l , the s e c o n d pass would have an e f f e c t i v e depth,
d, of 20 c m in undisturbed soil w i t h the original soil s t r e n g t h . T h e original top
20 c m layer would be a s u r c h a r g e pressure, q, a s s u m i n g that it is m u c h w e a k e r
than the undisturbed lower 20 c m s t r a t u m .

T h e c a l c u l a t i o n s proceed as f o l l o w s .

(a) F o r the first pass at 40 c m deep,

d/w = 40/6.35 = 6.30
0 c r= 3 9 . 5 ° , Ν = 18.53, N
γ = 39.8, N c c a = 2.14

Ρ = 3 ( 1 7 . 6 x 0 . 4 x l 8 . 5 3 + 20x0.4x39.8 + 5x0.4x2.14)0.0635 = 71.4 k N

2

Η = P s i n ( a + 6 ) + c d w c o t a = 71.1 k N
a
 SOIL C U T T I N G A N D T I L L A G E 205

(b) F o r the f i r s t pass at 20 c m ;

d/w = 20/6.35 = 3.15
β ο = 3 8 . 5 ° , Ny=
τ 10.40, N c = 21.66, N q = 15.78, N c a = 2.02

Ρ = 3 ( 1 7 . 6 x 0 . 2 x l 0 . 4 + 20x0.2x21.66 + 5x0.2x2.02)0.0635 = 18.30

2
kN
H = P s i n t a + δ ) + c d w c o t a = 18.27 k N
1 a

F o r the s e c o n d pass at 40 c m total depth,

Ρ = 3(7d N<y+ cdN + qdN + c dN
2
c q a c a )w

where d = 0.20 m
and q = 0.20 m χ 17.6 k N / m 3 = 3.52 k P a
Ρ = 20.43 k N
H = P s i n t a + δ ) + c d w c o t a = 20.40 k N
2 a

T h e r e f o r e , the soil c u t t i n g model theory tells us that e a c h of the passes

i n t h e t w o - p a s s s y s t e m will require m u c h less t r a c t i o n f o r c e than the single
pass d i r e c t l y at 40 c m depth (about 2 9 % ) , thus a l l o w i n g a s m a l l e r t r a c t o r to
be used for this task. E v e n adding the c o m b i n e d e n e r g y c o n s u m p t i o n quantities
o f the two passes together g i v e s less w o r k required than in the single pass
method.
H 1 + H = 38.7 k N = 5 4 % of the one pass d r a f t
2

A n o t h e r e x a m p l e of the t h e o r e t i c a l w o r k w h i c h c a n be a c c o m p l i s h e d w i t h
t h e m e c h a n i c a l m o d e l o f passive soil failure by n a r r o w blades is the
o p t i m i z a t i o n of tool design for p a r t i c u l a r purposes, as illustrated by the
p r o b l e m s o l v e d below.

F i g . 8 . 1 1 . C h i s e l plow e x a m p l e in P r o b l e m 8.4.
206 AGRICULTURAL E N G I N E E R I N G SOIL MECHANICS

P r o b l e m 8.4. F i g . 8.11 s h o w s a typical chisel shank w i t h an overall width of

6.35 c m . The chisel can be mounted on a f r a m e at a v a r i e t y of rake angles,
OL. E s t i m a t e w h i c h rake angle would yield the s m a l l e s t draft f o r c e for a single
chisel s u c h as this.

T h e soil forces are c a l c u l a t e d for different rake angles, as shown in

T a b l e 8.2, using E q n . 8.8.

T A B L E 8.2. C a l c u l a t i o n s of d r a f t f o r c e for a 6.35 c m wide chisel h a v i n g

varying rake angle, in a soil h a v i n g 7 = 1 7 . 6 k N / m 3 , φ = 3 5 ° , δ = 2 3 . 3 ° , c = 2 0 k P a ,
c = 5 k P a , and operating at a 20 c m depth.
a

a0
Ny Ν Η, Ν
c N
ca
15 17.0 9.6 10.0 932
20 12.0 9.7 5.0 892
25 10.5 9.8 2.6 903
30 9.1 10.2 2.1 970

I n t h i s instance, the theoretical model has predicted that a rake angle

b e t w e e n 20 and 25 degrees will provide the least draft f o r c e in the type of
soil represented.

F i g . 8.12. T h e o c c u r r e n c e of a c r i t i c a l depth in soil c u t t i n g . B e l o w the

c r i t i c a l depth, soil is not lifted upwards but m o v e s h o r i z o n t a l l y
around the tool.
 SOIL C U T T I N G A N D T I L L A G E 207

8.1.3. Critical depth

T h e m o d e l s of soil c u t t i n g , w h e t h e r they be in t w o or three d i m e n s i o n s ,
h a v e a l l a s s u m e d that soil is m o v e d u p w a r d s o v e r the entire depth r a n g e of
the c u t t i n g tool (e.g. F i g . 8 . 1 , 8.4 and 8.5). It has been o b s e r v e d that this is
not a l w a y s the c a s e , especially in i n s t a n c e s w h e r e a n a r r o w c u t t i n g i m p l e m e n t
i s o p e r a t i n g at depth in a plastic s o i l . Z e l e n i n (1950) and K o s t r i t s y n (1956)
b o t h r e p o r t e d o b s e r v a t i o n s of this p h e n o m e n o n w h i c h has c o m e to be called
' c r i t i c a l depth , and K o s t r i t s y n s u g g e s t e d f r o m his e x p e r i e n c e that this depth
1

is usually s e v e n to eight t i m e s the tool w i d t h .

F i g . 8.12 illustrates s c h e m a t i c a l l y w h a t o c c u r s in the soil w h e n a c r i t i c a l
depth is present. T h e c r i t i c a l d e p t h , d , c a n be d e f i n e d a p p r o x i m a t e l y at the
c

p o i n t b e l o w w h i c h soil is m o v e d by a tool p r i n c i p a l l y along h o r i z o n t a l lines.

A b o v e the c r i t i c a l depth, soil m o v e s h o r i z o n t a l l y and u p w a r d s as in the
p r e v i o u s m o d e l s . R e p o r t s of the value of the c r i t i c a l depth have v a r i e d
c o n s i d e r a b l y depending on the type of soil in q u e s t i o n . O ' C a l l a g h a n and
Farrelly (1964) o b s e r v e d c r i t i c a l depths of the s a m e order of m a g n i t u d e as the
blade w i d t h w h e n testing v e r t i c a l steel blades in p l a s t i c sandy and c l a y l o a m
s o i l s . U s i n g s i m i l a r t o o l s , h o w e v e r , M i l l e r (1971) found c r i t i c a l depths up to
14 times the blade w i d t h d i m e n s i o n in s t i f f s a n d , and G o d w i n (1974) o b s e r v e d
c r i t i c a l depth to blade w i d t h r a t i o s to v a r y f r o m 10 to 16, depending on the
blade r a k e angle in a f r i a b l e s a n d y l o a m .
I n 1 9 7 4 , G o d w i n also postulated a m o d e l w i t h w h i c h the r e g i m e of f o r c e s
i n t h e s o i l c a n be a n a l y z e d w h e n a c r i t i c a l depth is present. A s depicted in
F i g . 8.13, soil is m o v e d to the sides of the tool at depths g e a t e r than the
c r i t i c a l o n e , along l o g a r t h m i c spiral p a t h s , s i m i l a r to the deep f o u n d a t i o n
failure m o d e l postulated by M e y e r h o f (1951). T h e e f f e c t i v e end of the s p i r a l s
along w h i c h soil is m o v e d is l o c a t e d at an angleφ behind the blade f a c e . A t
the back of the t o o l , a h o r i z o n t a l pressure is a s s u m e d to a c t on the s o i l , and
is calculated as a t r e s t e a r t h p r e s s u r e , ρ = γ Κ = 7z(l-sin0). T h e M e y e r h o f (1951)
f 1
0 0

f o r m u l a is then used to c a l c u l a t e the h o r i z o n t a l p r e s s u r e , q , a c t i n g o n the 1

tool f a c e below the c r i t i c a l d e p t h .

q' = C N - C + P O N , Q = C N , C + Y Z K O ^ (8.10)

N' q = j^_i_|ia^J 2(7T/2 e + 0 )tanjz> (8J.1)

Ν
Ό = cot
* [[π^]« 2 ( 7 Γ / 2 +0 ) t a n
^ - l] (822)

The i n t e g r a t i o n of this h o r i z o n t a l p r e s s u r e f r o m the c r i t i c a l depth d o w n to

t h e b o t t o m of the blade yields the total f o r c e Q a c t i n g o v e r this portion of
the t o o l .

Q = [cN' ( c d - d ) + c |K N» (d0 q
2
- d c
2
)] w (8.13)
208 AGRICULTURAL E N G I N E E R I N G SOIL MECHANICS

F i g . 8.13. The f o r c e model for c r i t i c a l depth failure of G o d w i n (1974).

For the force Ρ on that part of a blade above the c r i t i c a l depth, the three
dimensional model of S e c t i o n 8.1.2 is used. T h u s the total h o r i z o n t a l draft
r e q u i r e d to m o v e the i m p l e m e n t is the s u m of Q below the c r i t i c a l depth,
and H-^ above it as s h o w n below.

H = Q + H 1 = Q + P s i n ( a + 6) + c ^ w c o t a (8.14)

In addition, G o d w i n (1974) noted that the l o c a t i o n of a c r i t i c a l depth could

be p r e d i c t e d theoretically using the above m o d e l . If trial values of c r i t i c a l
depth are c h o s e n , the f o r c e s Ρ and Q a c t i n g above and below this depth c a n
be f o u n d . C o m b i n i n g the t e r m s as in E q n . 8.14 g i v e s the total e s t i m a t e d d r a f t
f o r c e of the tool. F o l l o w i n g the principle of soil failing on the path of least
r e s i s t a n c e , it is logical that the c r i t i c a l depth is that w h i c h results in the
s m a l l e s t overall d r a f t for the t o o l . T h u s , the trial c r i t i c a l depth w h i c h g i v e s
the l o w e s t total d r a f t , H , is the likely one.
 SOIL C U T T I N G A N D T I L L A G E 209

P r o b l e m 8.5.
Suppose that a steel flat blade w i t h a w i d t h of 5 c m operates at 100 c m
d e p t h in a l o a m soil w i t h properties Y = 1 9 . 6 k N / m 3 , c = 3 0 k P a , c = 5 k P a , 0=35°
a

and δ =23.3°. F i n d if a c r i t i c a l depth o c c u r s at tool rake angles of 90, 60 and

30°.

Table 8.3 s h o w s the c a l c u l a t i o n s f o r Η using d i f f e r e n t trial c r i t i c a l depths,

a n d at the three different rake angles of the flat blade. E q n . 8.8 is used to
calculate H i for the draft arising above the c r i t i c a l depth, and E q n . 8.13 for
Q below the c r i t i c a l depth. I n T a b l e 8.3, a c r i t i c a l depth is found for e a c h
of the three r a k e angles in the c a s e of this e x a m p l e c u t t i n g blade.
A s G o d w i n (1974) n o t e d , the c r i t i c a l depth c h a n g e s w i t h r a k e angle.
F i g . 8 . 1 4 s h o w s this change g r a p h i c a l l y for the preceding e x a m p l e s w i t h the
c u r v e w h i c h is labelled 0 = 3 5 ° . E x a m p l e c u r v e s have been d r a w n also in
F i g . 8.11 for f r i c t i o n angles of 3 0 ° and 4 0 ° , w i t h the soil to m e t a l angle of
f r i c t i o n b e i n g two thirds of φ in e a c h c a s e . T h e s e theoretical results m a t c h
t h e a s p e c t s o f e x p e r i m e n t a l o b s e r v a t i o n s , insofar as the c r i t i c a l depth
d e c r e a s e s w i t h Oi f r o m the h o r i z o n t a l , and i n c r e a s e s also w i t h 0.

T A B L E 8.3. E x a m p l e trial c r i t i c a l depths in the c a l c u l a t i o n of draft f o r c e s on

a flat steel blade operating at 100 c m depth.

K Q = 0.426, N' g = 78.33, N ' c = 110.44

a° d ,cm
c Q,MM d /w
c Ny N Q NQa H^,kN Η = Η +0,Ι<Ν
χ

90 5 173.7 2 15.7 45.5 3.5 3.2 176.5

7 170.3 1.4 19.0 54 3.6 5.4 175.7
10 165.3 2 26.5 79 3.8 11.2 176.5
15 156.8 3 36 109 3.9 23.4 180.2

60 30 130.8 6 27.5 38 2.1 19.6 150.4

40 113.1 8 23 51 2.2 34.2 147.3
45 102.5 9 25 57 2.2 43.5 146.0
50 95.1 10 28 61 2.2 52.6 147.7

30 60 76.7 12 27 34 2.8 32.6 109.3

70 58.0 14 33 41 2.8 40.0 98.0
80 39.0 16 36 46 2.9 62.9 101.9
210 AGRICULTURAL E N G I N E E R I N G SOIL MECHANICS

F i g . 8.14. C r i t i c a l depth ratios for v a r i o u s r a k e and f r i c t i o n angles.

A s T a b l e 8.3 d e m o n s t r a t e s , the d r a f t f o r c e does not change a g r e a t deal

b e c a u s e of the existence of a c r i t i c a l d e p t h . H o w e v e r , the v o l u m e of soil
which is lifted by a c u t t i n g tool (rather than c o m p r e s s e d to the sides) c h a n g e s
c o n s i d e r a b l y as indicated in F i g . 8.12. T h i s is an i m p o r t a n t c o n s i d e r a t i o n for
the loosening of soils in the tillage of a g r i c u l t u r a l land or other purposes.
W h e n a n a r r o w high r a k e angle soil c u t t i n g tool does exhibit the c r i t i c a l
d e p t h behavior, m o d i f i c a t i o n s c a n be m a d e to the i m p l e m e n t design in order
t o reduce or eliminate the e f f e c t in the s a m e s o i l . The f o l l o w i n g problem
g i v e s an e x a m p l e of how this c a n be a c c o m p l i s h e d .

P r o b l e m 8.6. A n a r r o w vertical tool operating at 100 c m depth is s h o w n in

F i g . 8 . 1 5 ( a ) . I f the soil s t r e n g t h properties are taken the s a m e as in
P r o b l e m 8.5, Table 8.3 indicates that the illustrated tool will have a c r i t i c a l
depth of about 7 c m . F i g . 8.15(b) s h o w s an a t t a c h m e n t w h i c h c a n be m a d e to
t h e o r i g i n a l tool d e s i g n . A flat blade has been fixed to the base of the
v e r t i c a l leg like a w i n g , w i t h a r a k e angle of 3 0 ° to the h o r i z o n t a l , and a
w i d t h of 10 c m .
 SOIL C U T T I N G A N D T I L L A G E 211

100 cm '

(a)

F i g . 8.15. A n a r r o w leg w i t h and w i t h o u t a w i n g , P r o b l e m 8.6.

T h e l i f t or height of the w i n g should be at least 10 c m for a 100 c m

f f

operating depth in order to ensure full f a i l i n g of the soil by the w i n g to the

surface ( M c K y e s , 1985). H o w m u c h will the c r i t i c a l depth be increased by this
attachment?

T o c h e c k for a c r i t i c a l depth w i t h this new d e s i g n , the c a l c u l a t i o n s are

repeated as in T a b l e 8.3.

Trial 6 Q = 80 c m , Q = 78.0 k N , Η χ + Q = 142.4 kN

Trial d Q = 90 c m , Q = 39.4 k N , H ^ + Q = 123.7 kN

Trial d c = 100 c m , Q = 0, Η χ + Q = 107.5 kN

In Table 8.3, the draft of the u n m o d i f i e d v e r t i c a l tool of F i g . 8.15(a) w a s

e s t i m a t e d as 175.7 k N w i t h a c r i t i c a l depth at a p p r o x i m a t e l y 7 c m . T h e
calculations above indicate that there is no c r i t i c a l depth likely w i t h the new
design, s i n c e the m i n i m u m d r a f t is c a l c u l a t e d w i t h the c r i t i c a l depth at least
equal to the tool depth. I n addition, t h e o r e t i c a l l y , the required d r a f t f o r c e of
the tool has been reduced by s o m e 3 9 % .

The e l i m i n a t i o n of c r i t i c a l depth illustrated in P r o b l e m 8.6 o c c u r r e d in the

t h e o r e t i c a l analysis because, f i r s t l y , the new design is wider, thus doubling a
c r i t i c a l depth for the s a m e c r i t i c a l depth to w i d t h r a t i o . S e c o n d l y , the
e f f e c t i v e r a k e angle of the c u t t i n g tool has been altered to 3 0 ° r a t h e r than
90°. F i g . 8.14 s h o w s that t h e o r e t i c a l l y this can i n c r e a s e the c r i t i c a l depth to
w i d t h r a t i o by up to ten t i m e s . O n e m u s t c o n c l u d e that the design s h o w n in
212 AGRICULTURAL E N G I N E E R I N G SOIL MECHANICS

Fig, 8.15(b) is superior in theory f r o m the points of view of c u t t i n g e f f i c i e n c y

and depth of soil l i f t i n g . S o m e e x p e r i m e n t a l w o r k p e r f o r m e d o n soil loosening
by c u t t i n g tools of different g e o m e t r i e s is g i v e n further in this C h a p t e r .

8.2. V O L U M E O F SOIL C U T

Boundary of cut volume

(a) Real shape Cb) Model shape

F i g . 8.16. (a) O b s e r v e d c r o s s sectional area o f soil disturbed by a narrow

t o o l a n d (b) the shape predicted by the three dimensional wedge
model.

The volume o f soil c u t by an e a r t h m o v i n g or tillage tool is defined as the

volume per unit tool travel distance of soil w h i c h is m o v e d appreciably f r o m
its original position, a n d c h a n g e d in density or s t r u c t u r e . F i g . 8.16(a) illustrates
t h e shape o f soil v o l u m e typically m o v e d or disturbed by a s y m m e t r i c a l
c u t t i n g tool, a n d F i g . 8.16(b) s h o w s h o w s u c h a v o l u m e is e s t i m a t e d by the
mechanical models of G o d w i n (1974) ( G o d w i n a n d S p o o r , 1 9 7 7 ) or M c K y e s and
A l i ( 1 9 7 7 ) . T h e a s s u m p t i o n in F i g . 8.16(b) is that negligible disturbance is
i m p a r t e d t o the soil outside o f the r a n g e o f soil f a i l u r e , a n d that the c u t
v o l u m e boundaries a r e s t r a i g h t lines. N o t i n g that the v o l u m e c u t per unit
t r a v e l distance is the s a m e as the c r o s s s e c t i o n a l area o f soil c u t , the
m e c h a n i c a l models would predict the f o l l o w i n g c r o s s s e c t i o n a l a r e a s , A , o f
soil disturbed by a typical i m p l e m e n t h a v i n g w i d t h , w , a n d depth, d .

A = (w + s)d (8.15)

I f a c u t t i n g tool is n a r r o w , a n d a c r i t i c a l depth, d , o c c u r s below w h i c h

c

soil is not lifted appreciably, then d should be used in E q n . 8.15 rather than
c
 SOIL C U T T I N G A N D T I L L A G E 213

the total tool depth, d.

B e c a u s e real c r o s s sectional boundaries of soil cut are c u r v e d , as s h o w n in
F i g . 8.16(a), the model shape w i t h s t r a i g h t sides is bound to o v e r e s t i m a t e the
v o l u m e f o r the s a m e side d i s t a n c e , s, by a s m a l l a m o u n t . N o n e t h e l e s s , the
m o d e l s are useful for predicting the trends of cut v o l u m e and loosening
e f f i c i e n c y as blade design p a r a m e t e r s are a l t e r e d . F o r e x a m p l e , the v o l u m e
of soil cut per unit input energy c o u l d be e s t i m a t e d as a f u n c t i o n of v a r y i n g
g e o m e t r i c a l p a r a m e t e r s of c u t t i n g t o o l s . T h e s e quantities c a n e v a l u a t e the
r e l a t i v e e f f i c i e n c y of d i f f e r e n t i m p l e m e n t designs for the purpose of m o v i n g
soil. It c a n be noted that v o l u m e of soil cut per unit input energy is the s a m e
as the inverse of the of the a v e r a g e n o r m a l pressure applied by a tool to the
v e r t i c a l c r o s s sectional a r e a , A / H , as s h o w n in the equation below, in w h i c h
X is the distance t r a v e l l e d .

V o l u m e cut _ AX _A / P 1 ^
E n e r g y input " HX "H

.10r 1 1 1 1 1 r

F i g . 8.17. Wedge model t h e o r e t i c a l c u r v e s of a r e a of soil disturbed per d r a f t

force unit, c o m p a r e d to m e a s u r e m e n t s by Spoor and G o d w i n (1978)
and G i l l and M c C r e e r y (1960).
214 AGRICULTURAL E N G I N E E R I N G SOIL MECHANICS

A s a n e x a m p l e , the soil v o l u m e cut per unit energy input, or A / H , has

b e e n c a l c u l a t e d and plotted in F i g . 8.17 for a flat blade h a v i n g a depth of
o p e r a t i o n of 30 c m and three different rake angles, w o r k i n g in a l o a m soil
with 7 = 1 9 . 6 k N / m , c = 2 0 k P a , c = 0 , 0 = 3 0 ° and δ = 2 0 ° using the above theories.
3
a

T h e d e s i g n p a r a m e t e r s are the depth to w i d t h of the blade on the g r a p h

a b s c i s s a , and the three rake angles. T w o trends are evident in the f i g u r e .
F i r s t l y , the tool is m u c h less e f f i c i e n t in t e r m s of s p e c i f i c energy input as
t h e depth to w i d t h , or slenderness of the blade i n c r e a s e s . In addition, higher
r a k e a n g l e s are less e f f i c i e n t than lower ones (at least d o w n to 2 0 ° or so).
T h e s e theoretical results do not indicate d i f f e r e n c e s in the quality of soil
l o o s e n i n g p e r f o r m e d in t e r m s of c h a n g e s in soil s t r u c t u r e . N o n e t h e l e s s , they
demonstrate that wider tools of lower rake angle are m o r e e f f i c i e n t in m o v i n g
a v o l u m e of soil for a s p e c i f i c energy expenditure.
A l s o i n F i g . 8.17 are plotted s o m e e x p e r i m e n t a l m e a s u r e m e n t s conducted
by Gill and M c C r e e r y (1960) using m o l d b o a r d plows cut to d i f f e r e n t widths in
a D e c a t u r silty clay l o a m at an a v e r a g e 1 4 % m o i s t u r e content by w e i g h t .

d/w

F i g . 8.18. F i e l d test results of soil area cut by n a r r o w blades per draft

f o r c e , c o m p a r e d to theoretical predictions.
 SOIL C U T T I N G A N D T I L L A G E 215

T h e y did not provide the s t r e n g t h properties of that s o i l , nor the e f f e c t i v e

rake angle of the plows e m p l o y e d . N e v e r t h e l e s s , their m e a s u r e d results of area
o f s o i l cut per unit draft f o r c e generally lie close to the 4 0 ° r a k e angle
t h e o r e t i c a l c u r v e of F i g . 8.17.
I n F i g . 8.17 e x p e r i m e n t a l results of S p o o r and G o d w i n (1978) are s h o w n
too, measured on conventional subsoilers, w i n g e d subsoilers and a chisel shank
i n clay soils. The values of area of soil disturbed per unit draft f o r c e lie
w i t h i n t h e r a n g e of predicted quantities, but generally l o w e r than those of
G i l l and M c C r e e r y , possibly due to a s t r o n g e r soil in the f o r m e r c a s e .
O t h e r m e a s u r e m e n t s were p e r f o r m e d in a field of clay l o a m by D e s i r
( 1 9 8 1 ) , ( M c K y e s and D e s i r , 1984) at depths of 15 to 25 c m , and the soil
s t r e n g t h properties were m e a s u r e d independently w i t h a s h e a r g r a p h (ref.
Section 2.7). F l a t steel blades of v a r y i n g w i d t h and rake angles w e r e operated
a t a h o r i z o n t a l speed of 1.4 m/s, and the d r a f t m e a s u r e d by a hydraulic
cylinder d y n a m o m e t e r connected to a pressure g a u g e . A f t e r e a c h r u n , soil was
excavated by hand and the area of soil disturbed by the tools m e a s u r e d . The
a v e r a g e soil properties at the t i m e of the field tests w e r e m . c . = 2 2 % , γ = 1 4 . 5
k N / m , c=6.3 k P a , c = 2 . 2 k P a , 0=36° and δ = 2 3 . 3 ° . T h e o r e t i c a l model c u r v e s for
3
a

c u t t i n g e f f i c i e n c y ( A / H ) h a v e been c o n s t r u c t e d in F i g . 8.18 for these soil

properties, and the two rake angles and v a r y i n g depth to w i d t h r a t i o s t e s t e d .

h^-Spacing

W i n g e d subsoiler

F i g . 8.19. A w i n g e d subsoiler preceeded by two chisels (Spoor and G o d w i n ,

1978).
216 AGRICULTURAL E N G I N E E R I N G SOIL MECHANICS

The measured results are quite close to the theoretical predictions for the
20 blade rake angle, but are generally lower than predictions for the 3 5 ° t o o l .
T h e trends of c h a n g e s in v o l u m e c u t t i n g e f f i c i e n c y w i t h v a r y i n g r a k e angle
a n d slenderness ratio predicted by the m e c h a n i c a l model are c o n f i r m e d by
these e x p e r i m e n t a l field results in any e v e n t .
A n o t h e r possibility for i m p r o v i n g soil c u t t i n g e f f i c i e n c y is to arrange
implements to follow one another at different depths. Spoor and G o d w i n (1978)
t e s t e d s u c h a s y s t e m in a friable clay s o i l . A s p i c t u r e d in F i g . 8.19, the
c o m b i n a t i o n c o m p r i s e d two chisel plow s h a n k s f o l l o w e d by a deeper w i n g e d
subsoiler. T h e subsoiler had a total w i d t h of 30 c m , w i n g s at a r a k e angle of
2 2 ° and a depth of operation of 40 c m . T h e c h i s e l s were 8 c m wide w i t h a tip
r a k e angle of 2 0 ° and were varied in both depth and s p a c i n g as indicated in
T a b l e 8.4 below. There w a s no g r e a t d i f f e r e n c e in the d r a f t r e q u i r e m e n t of
t h e s y s t e m no m a t t e r w h a t the chisel depths or s p a c i n g . H o w e v e r , the area
d i s t u r b e d by the tool c o m b i n a t i o n increased m a r k e d l y w i t h both chisel depth
and s p a c i n g . The best c o n f i g u r a t i o n f r o m the point of view of e f f i c i e n c y w a s
t h a t having the widest chisel spacing and depth, and w a s about 7 7 % m o r e
e f f i c i e n t in the v o l u m e of soil cut per unit d r a f t than the subsoiler shank
operated alone.

T A B L E 8.4. D r a f t f o r c e s and disturbed soil areas for the c o m b i n a t i o n of two

c h i s e l s followed by a deeper subsoiler shank in a friable clay (Spoor and
G o d w i n , 1978).

Chisel Chisel Total Subsoiler D r a f t of A r e a of soil Specific

spacing depth draft draft chisels disturbed resistance
cm cm kN kN kN m2 kN/m 2

Subsoiler alone 23.94 23.94 0 0.242 99

50 16 21.41 16.18 5.23 0.238 90
50 24 20.86 12.25 8.61 0.283 74
100 16 20.80 15.23 5.57 0.360 58
100 24 23.48 14.84 8.64 0.418 56

Problem 8.7. A flat chisel blade is 63.5 m m wide and operates 200 m m deep
in a clay loam field having γ = 15.7 k N / m , 0 = 3 0 ° , δ = 2 3 . 3 ° , c o h e s i o n 20 k P a
3

and adhesion 6 k P a . If there is an option to operate the chisel at r a k e angles

of 30 or 60°, w h i c h w o u l d provide the best c u t t i n g e f f i c i e n c y in t e r m s of least
d r a f t f o r c e per unit area of soil c u t ?

Using E q n . 8.9 for the Ν γ passive e a r t h p r e s s u r e t e r m , the m i n i m i z a t i o n of

this t e r m g i v e s the soil wedge angle β as f o l l o w s , w i t h a depth to w i d t h r a t i o
of 200/63.5. T h e area of soil cut and the d r a f t f o r c e are c a l c u l a t e d using
E q n . 8.15, 8.8 and 8.2.
 SOIL C U T T I N G A N D T I L L A G E 217

|(cota+ cot|8)[l + |^^οο1 )8+ 2

2cotacot/3 sin(a+o)
N
T= ein(a + β + δ + φ )

s = dVcot j8 + 2cotacotj8
2

Η = Ρ sinfc+δ) + c dwcot(2= ( 7 d N ' v + c d N +c d N )wsinfa+o) + c dwcotQi

a ' '
2

c a ca a

a 0
β° Νγ Ν N
ca
A=(w+s)d, m 2
H, k N H/A, kPa
c
30 61 9.21 10.46 2.25 0.0724 2.69 37.2
60 38.5 10.40 21.66 1.95 0.0824 3.34 40.6

T h e s m a l l e r rake angle yields less d r a f t f o r c e per unit area of soil cut,

and therefore the higher cutting e f f i c i e n c y by about 1 0 % .

8.3. S O I L LOOSENING

The cutting e f f i c i e n c y of soils, as defined above, involves only the v o l u m e

of soil cut per unit energy input, but not the considerations of change in soil
density or s t r u c t u r e . In a g r i c u l t u r a l applications, the change in soil v o l u m e
a n d s t r u c t u r e are i m p o r t a n t aspects of the physical fertility of soil for crop
g r o w t h . E v e n in e a r t h m o v i n g operations, the c h a n g e in soil density during
e x c a v a t i o n is of interest because of the resulting v o l u m e of soil to be
t r a n s p o r t e d . The experience of the e a r t h m o v i n g industry in this r e g a r d is
r e f l e c t e d by Table 8.5 below. T h i s table g i v e s the a v e r a g e in s i t u , or 'bank 1

densities of s o m e typical soils, together w i t h their new unit m a s s e s after they

h a v e been e x c a v a t e d c o m p l e t e l y and redeposited into a t r u c k or trailer. The
s w e l l f a c t o r is defined as the percent increase in soil v o l u m e above the
original.

S w e l l f a c t o r = (V./V - 1) χ 1 0 0 % = ( JolJl) χ 100% (8.16)

f ο 7 f

where Vf = the volume of soil after c u t t i n g ,

V 0 = the original soil v o l u m e ,
Yj = the soil density a f t e r c u t t i n g ,
γ 0 = the original in situ soil density.

T a b l e 8.5 s e r v e s only as a r o u g h guideline to expected degrees of soil

l o o s e n i n g during soil c u t t i n g . T h e c h a n g e in soil density during the cutting
p r o c e s s depends not only on the original soil c o n d i t i o n , but also on the
g e o m e t r y of the c u t t i n g i m p l e m e n t and its speed of o p e r a t i o n . D e s i r (1981),
218 AGRICULTURAL E N G I N E E R I N G SOIL MECHANICS

T A B L E 8.5. Guideline values of in situ and e x c a v a t e d densities for different

soils f r o m industry experience ( C a t e r p i l l a r C o . , 1981).

Material γ 0 , kN/m 3
Y f , kN/m 3
Swell factor %

D r y clay 18.0 14.5 24

Wet clay 20.4 16.3 25
Wet ' e a r t h
1
19.8 15.7 26
D r y loose sand 15.7 13.9 13
Wet sand 20.4 18.0 13
Topsoil 13.4 9.3 44

( M c K y e s and D e s i r , 1984), c o n d u c t e d field tests on clay and l o a m soils at

d i f f e r e n t moisture contents using flat blades h a v i n g v a r y i n g w i d t h s and rake
a n g l e s . H e observed that the degree of soil loosening in both soil types w a s
increased w i t h ;

- increasing blade r a k e angle f r o m 2 0 ° to 3 5 ° ,

- decreasing blade w i d t h f r o m 1.33 to 0.25 t i m e s the depth, and
- decreasing m o i s t u r e content f r o m 44 to 4 0 % in the c l a y , and f r o m 30
to 2 2 % in the l o a m .

T h e o b s e r v e d values of soil swell f a c t o r v a r i e d f r o m 30 to 1 0 0 % for the

c l a y , a n d f r o m 25 to 7 0 % for the l o a m , w i t h i n the r a n g e s of tool g e o m e t r y
a n d soil m o i s t u r e contents indicated a b o v e . T h e s e s w e l l f a c t o r s attain larger
v a l u e s than those of T a b l e 8.5, but in the field tests p e r f o r m e d for these
m e a s u r e m e n t s , the soil was left untouched a f t e r the passage of the c u t t i n g
blades. The e a r t h m o v i n g guidelines in the T a b l e imply that e x c a v a t e d soil has
b e e n d r o p p e d into a t r u c k or trailer body f r o m a height of t w o to three
metres, and to a load depth of 2 m or s o , w h i c h p r e s u m a b l y entails s o m e soil
r e c o m p a c t i o n f r o m the e x c a v a t e d v o l u m e .
N o n e t h e l e s s , these field results d e m o n s t r a t e that the p a r t i c u l a r state of
t h e s o i l , especially h u m i d i t y , and the g e o m e t r y of the c u t t i n g tool have a
profound e f f e c t on the final soil density. W h e n it is desired to s i m p l y lift soil
a s e f f i c i e n t l y as possible, then the designer should a i m for a wide c u t t i n g
i m p l e m e n t (d/w<l) w i t h a low r a k e angle of 20 to 3 0 ° . I f it is i m p o r t a n t to
produce a loose s t r u c t u r e in the e x c a v a t e d s o i l , then a n a r r o w e r tool (d/w>2)
should be utilized w i t h a rake angle g r e a t e r than 4 5 ° .
Another aspect of the quality of soil s t r u c t u r e produced by the m e c h a n i c a l
action of c u t t i n g tools is the clod s i z e s . G i l l and M c C r e e r y (1960) have s h o w n
here again that a n a r r o w e r i m p l e m e n t breaks up the soil s t r u c t u r e m o r e than
a w i d e r one. I n tests using 17 c m deep m o l d b o a r d plow shapes v a r y i n g f r o m
2.5 to 20 c m in w i d t h , the clod m e a n w e i g h t d i a m e t e r of the plowed soil
increased from 3.7 to 21.9 c m , that is in the s a m e order of m a g n i t u d e as the
w i d t h of the tools. A n d , although the w i d e s t plow they used required about
 SOIL C U T T I N G A N D T I L L A G E 219

3.5 t i m e s the draft f o r c e of the n a r r o w e s t , and cut eight t i m e s as m u c h soil

volume, the increase in v o l u m e c u t t i n g e f f i c i e n c y in the latter case w a s o f f s e t
by t h e e q u i v a l e n t l a r g e r e n e r g y input in t e r m s of soil s t r u c t u r a l b r e a k u p . In
f a c t , c o m p a r i n g the clod m e a n w e i g h t d i a m e t e r s to those developed in
d r o p - s h a t t e r t e s t s , it w a s e s t i m a t e d that the n a r r o w e r plow w a s m o r e than
f i v e t i m e s as e f f i c i e n t in applying s p e c i f i c clod breakup e n e r g y to the soil
s t r u c t u r e than the wider tool. T h i s o b s e r v a t i o n c o m p l e m e n t s that mentioned
above c o n c e r n i n g the superior loosening of soils by n a r r o w e r tools.

8.4. PROBLEMS

F i g . 8.20. C h i s e l plow in P r o b l e m 8.8.

8.8. F i g . 8 . 2 0 s h o w s a steel chisel plow w i t h an e f f e c t i v e r a k e angle of 50

d e g r e e s to the h o r i z o n t a l . T h e chisel has a w i d t h of 63.5 m m and
operates in a clay l o a m soil h a v i n g c = 20 k P a , c = 6 k P a , 0= 3 0 ° , δ = 20°
a

o n s t e e l a n d γ = 14.7 k N / m . W h a t will be the d r a f t f o r c e of this

3

i m p l e m e n t at operating depths of (a) 15 c m , and (b) 30 c m ?

A n s w e r : (a) Η = 1.9 k N , (b) Η = 7.2 k N .

8.9. For the same chisel plow and soil as in P r o b l e m 8.8, how deep c a n the
i m p l e m e n t be operated before the c r i t i c a l depth p h e n o m e n o n will be
encountered?

A n s w e r : d = 0.55 m .

8.10. A f l a t r o a d grader blade is 3 m long and to be operated in soil at a

depth of 10 c m . W h a t w o u l d be the r a k e angles of this blade to provide
the m i n i m u m h o r i z o n t a l d r a f t f o r c e s in (a) a sand h a v i n g y = 14.7 k N / m , 3

c = 0, 0 = 35° and δ = 2 3 ° , and (b) a c l a y w i t h y = 14.7 k N / m , c = 30 k P a ,

3

c = 5 k P a , φ = 3 0 ° and δ = 2 0 ° ?
a

A n s w e r : (a) a= 2 7 ° , (b) QC = 9 ° .
220 AGRICULTURAL E N G I N E E R I N G SOIL MECHANICS

8.11. F i g . 8 . 2 1 depicts an e x c a v a t i n g b u c k e t w i t h a w i d t h of 1.5 m and an

effective a t t a c k angle of 3 0 ° to the h o r i z o n t a l . T h e m a x i m u m h o r i z o n t a l
t h r u s t or ' b r e a k o u t f o r c e of the m a c h i n e , H , is 50 k N . I n a soil w i t h
1

7 = 15.7 kN/m3, c = 30 kPa, c = 9 k P a , 0 = 30ο and δ = 2 0 ° , find the

a

m a x i m u m depth, d, w h i c h this bucket c a n c u t . ( N o t e that the soil

m o v e s inside the bucket in essentially a t w o d i m e n s i o n a l fashion.)

A n s w e r : d = 0.65 m .

F i g . 8 . 2 1 . E x c a v a t i n g b u c k e t in P r o b l e m 8 . 1 1 .

8.12. A 100 kW tractor has a m a x i m u m d r a f t f o r c e of 50 k N on a particular

field. The soil has properties 7 = 15.7 k N / m , c = 25 k P a , c = 5 k P a on
3
a

steel, 0 = 3 0 ° and δ = 2 0 ° . H o w m a n y c h i s e l s of w i d t h 63.5 m m , r a k e

angle 60 degrees and operating depth 150 m m c a n the t r a c t o r pull?

A n s w e r : 15 c h i s e l s .

8.13. A f l a t steel soil c u t t i n g tool is 30 c m wide and operates at a 30 c m

depth in a l o a m soil w i t h 7 = 16.7 k N / m , c = 15 k P a , c = 4 k P a , φ = 35°
3
a

a n d δ = 2 3 ° . A t r a k e angles of (a) 3 0 ° and (b) 6 0 ° , how m u c h c r o s s

s e c t i o n a l area of soil will be c u t by this tool, and w h a t is the energy
input for both per unit v o l u m e of soil c u t ?

A n s w e r : (a) A = 0 . 1 9 m , H / A = 3 6 . 6 k P a , (b) A = 0 . 2 1 m , H / A = 7 1 . 6
2 2
kPa.

8.14 The tractor back blade illustrated in F i g . 8.22 w e i g h s 1500 N , is 210 c m

w i d e a n d is used to s c r a p e soil on a c l a y field w i t h soil properties
7 = 15.7 k N / m , c = 25 k P a , c = 0, φ = 3 5 ° and δ = 2 3 ° . W i t h an e f f e c t i v e
3
a

rake angle of 8 0 ° , how deep c a n the blade c u t this soil w i t h the w e i g h t

w h i c h it h a s ? W h a t would the d r a f t f o r c e be at this d e p t h ?

A n s w e r : d = 2 c m ; Η = 6.5 k N .
 SOIL C U T T I N G A N D T I L L A G E 221

F i g . 8.22. T r a c t o r b a c k blade of P r o b l e m 8.14.

222 A G R I C U L T U R A L E N G I N E E R I N G SOIL MECHANICS

Chapter 9. Soil compaction

9.1. C O M P A C T I O N F O R E A R T H W O R K CONSTRUCTION

When soil is e x c a v a t e d and replaced in a new l o c a t i o n for the c o n s t r u c t i o n

o f f o u n d a t i o n subbases, r o a d s , d a m s or b a c k f i l l s as e x a m p l e s , it is usually
n e c e s s a r y t o c o m p a c t the m a t e r i a l in order to i m p r o v e its m e c h a n i c a l
p r o p e r t i e s . The soil s t r e n g t h and i m p e r m e a b i l i t y to w a t e r flow both increase
considerably with applied c o m p a c t i v e e f f o r t , and these enhanced qualities are
m o s t o f t e n desirable in e a r t h w o r k d e s i g n s . The extent to w h i c h c o m p a c t i o n
a n d d r y m a s s density c a n alter soil physical properties is indicated in Table
9.1.

T A B L E 9 . 1 . The effect of soil dry density on s o m e m e c h a n i c a l properties.

Property Soil type D e n s i t y range P r o p e r t y range Source

t/m3

c Clay 0.84-1.89 0-282 kPa 1

Clay 0.84-1.89 0-370 1
t
Φ Sand 1.74-2.11 18-55° 1
Φ Sand 1.60-1.72 27-32° 2
Penetration Clay 0.84-1.89 0-8250 k P a 1
resistance
Undrained C Clay 1.02-1.25 5-40 k P a 3
k c
Y o l o loam 1.26-1.55 980-5200 k P a / m n _ 1
4
k0 Sandy l o a m 1.48-1.73 2470-4800 k P a / m n
4
Hydraulic B e a c h sand 1.40-1.66 0.05-0.02 cm/s 2
conductivity Clay 1.15-1.55 2700-100xl0- cm/s 6
5
II
Silt 1.43-1.66 6 0 - 0 . 6 x l 0 " cm/s
6
2
It
B o s t o n silt 1.27-1.51 l-0.002xl0 cm/s
- 6
6

1. P r o c t o r (1948)
2. T a y l o r (1948)
3. G r a e c a n (1960)
4. C h a n c e l l o r and S c h m i d t (1962)
5. R o w l e s (1948)
6. L a m b e and W h i t m a n (1979)

T h e c o m p a c t i o n test, w h i c h w a s described in S e c t i o n 2.6.4, is usually

e m p l o y e d to c h a r a c t e r i z e the c o m p a c t i o n behavior of a particular soil, and
the design s p e c i f i c a t i o n s for c o n s t r u c t i o n are based on the r e s u l t s of this test.
For example, the w a t e r content at w h i c h field c o m p a c t i o n is to be conducted
c a n be specified w i t h i n a c e r t a i n range around the ' o p t i m u m ' w h i c h w a s found
 SOIL C O M P A C T I O N 223

in the appropriate c o m p a c t i o n test, and the final soil dry density s p e c i f i c a t i o n

c a n be a c e r t a i n p e r c e n t a g e of the e x p e r i m e n t a l m a x i m u m density, t y p i c a l l y
9 5 % or m o r e .

P r o b l e m 9 . 1 . L a b o r a t o r y results f r o m a m o d i f i e d Proctor compaction test

p e r f o r m e d on a clay soil are s h o w n below.

Soil w a t e r c o n t e n t , % 10 12.5 15 17.5 20 22.5

D r y m a s s density, t / m 3
1.60 1.68 1.74 1.72 1.65 1.60

A t what range of m o i s t u r e c o n t e n t should this soil be c o m p a c t e d to ensure

t h a t t h e r e s u l t i n g density will be 9 8 % of the m a x i m u m , a s s u m i n g that the
c o m p a c t i v e e f f o r t is the s a m e as that in the t e s t ?

T h e c o m p a c t i o n test results are plotted as dry density v e r s u s m o l d i n g

w a t e r c o n t e n t in F i g . 9 . 1 . The r a n g e of m o i s t u r e c o n t e n t s is that for w h i c h
the compaction c u r v e lies above the r e q u i r e d dry m a s s density l e v e l , w h i c h is
9 8 % χ 1.75 = 1.715 t / m , and is 14 to 1 7 . 5 % .
3

1.81 1 1 r

I ι 1 1 1 1
0 5 10 15 20 25
Water content %

F i g . 9 . 1 . C o m p a c t i o n c u r v e results for P r o b l e m 9 . 1 .
224 AGRICULTURAL E N G I N E E R I N G SOIL MECHANICS

I t has been found that the c o m p a c t i o n of unsaturated fine g r a i n e d soils,

a s m e a s u r e d by the change in dry density, i n c r e a s e s proportionally w i t h the
l o g a r i t h m of applied pressure (Vanden B e r g , 1 9 6 6 ; R a g h a v a n et al., 1977a).
O t h e r f a c t o r s include the a m o u n t of shear s t r a i n s u f f e r e d by the soil during
c o m p r e s s i o n , and the number of repetitions of applied pressure. T h e equation
below s u m m a r i z e s these e f f e c t s , and that of soil m o i s t u r e c o n t e n t as w e l l .

Pdry = Po +
A
^ [ M 1
+
S % ) / p ] + Β log(w%)
Q (9.1)

where p^y = c o m p a c t e d dry m a s s density

Po = initial dry density before c o m p a c t i o n
A, Β = soil c o n s t a n t s
Ν = n u m b e r of repeated applications of pressure
ρ = applied c o m p a c t i o n pressure
S = wheelslip = slip speed divided by wheel or t r a c k speed
p 0 = soil p r e c o m p a c t i o n pressure
w = soil w a t e r content by m a s s (less than the o p t i m u m ) .

T h e c o n s t a n t Β is a m e a s u r e of the s e n s i t i v i t y of the c o m p a c t i b i l i t y of a
soil to increases in m o i s t u r e content up to the o p t i m u m w a t e r c o n t e n t . B e y o n d
t h e o p t i m u m m o i s t u r e c o n t e n t , Β will have a n e g a t i v e v a l u e . E x a m p l e s of
s o m e of the c o n s t a n t s in E q n . 9.1 are g i v e n in T a b l e 9.2 below.

T A B L E 9.2. E x a m p l e values of c o n s t a n t s in the c o m p a c t i o n p r e d i c t i o n E q n . 9 . 1 .

Soil p , t/m3
Q p , kPa
Q A , t/m3 B, t / m 3 Source

S t e . R o s a l i e clay 0.7 3 0.13 0.4 1

L o a m y sand 1.0 7 0.17 0.3 1
Sandy l o a m 0.8 7 0.17 0.5 1
Y o l o silt l o a m 1.0 7 0.13 1.1 2
H e a v y l o a m y clay 1.1 7 0.17 0.5 2
Clay 1.2 7 0.14 0.3-0.7 3
Sandy loam 1.3 7 0.17 0.5 3

1 . R a g h a v a n et al., (1977a, b)
2. Soehne (1958)
3. H o v a n e s i a n (1958)

Problem 9.2. A clay l o a m soil has an a v e r a g e dry density of 1.1 t / m f r o m 0 3

t o 3 0 c m depth, and a m o i s t u r e content of 2 5 % by w e i g h t . If the c o n s t a n t s

A and Β in E q n . 9.1 are 0.15 and 0.3 t/m3, and the ' p r e c o m p a c t i o n pressure 1

is 7 k P a , w h a t will be the c h a n g e s in soil density under the wheels of a two

wheel drive t r a c t o r w i t h a g r o u n d pressure of 60 k P a w h e n it passes (a) once
 SOIL C O M P A C T I O N 225

and (b) t w i c e over the s a m e t r a c k w i t h negligible s l i p ?

Pdry " P o = [ ° - 1 5
l o g ( N x 6 0 / 7 ) + 0.3 l o g ( 2 5 ) ] t / m 3

In the case of granular s o i l s , including g r a v e l s a n d c o a r s e s a n d s , it h a s

b e e n f o u n d that the shape o f the g r a i n s i z e distribution c u r v e a f f e c t s
compaction s t a b i l i t y . T h i s s t a b i l i t y r e f e r s to the degree of c o m p a c t n e s s under
a g i v e n input e n e r g y , and the s t r e n g t h o f the c o m p a c t e d g r a n u l a r s o i l . F o r
e x a m p l e , a soil w i t h v e r y l o w c o m p a c t i o n s t a b i l i t y is a l m o s t impossible to
c o m p a c t into a m a t e r i a l suitable f o r high bearing c a p a c i t y a p p l i c a t i o n s , s u c h
a s a r o a d s u r f a c e . F i g . 9.2 s h o w s the r a n g e o f g r a i n s i z e distributions w h i c h
a r e likely to produce stable c o m p a c t e d s o i l s . T h e m a x i m u m s i z e o f particle
of the stable range in the f i g u r e is 25 m m ( 1 inch). I f a particular soil h a s a
maximum grain s i z e d i f f e r e n t f r o m this s i z e , the shaded a r e a c a n be slid left
or r i g h t in t h e d i a g r a m to begin at the appropriate l a r g e s t d i a m e t e r .

U.S. standard sieve numbers

U
100 50 20 10 5 2 1 0.5 0.2 O.i 0.05 0.02 0.01 0.001
Grain size, mm

F i g . 9.2. T h e envelope o f g r a i n s i z e d i s t r i b u t i o n f o r soils w h i c h a r e stable

w h e n c o m p a c t e d . T h e envelope should be s h i f t e d h o r i z o n t a l l y in
o r d e r that the t o p l e f t c o r n e r c o r r e s p o n d s to the m a x i m u m soil
g r a i n s i z e , if it is d i f f e r e n t f r o m one inch (25.4 m m ) .
226 AGRICULTURAL E N G I N E E R I N G SOIL MECHANICS

ο.
100 10 1 0.1 0.01 0.001
Grain size, mm

F i g . 9.3. E x a m p l e s of stable and unstable g r a i n s i z e distributions for two

soils h a v i n g a m a x i m u m g r a i n s i z e of 10 m m .

Tired roller

Pressure spread

F i g . 9.4. T h e concept of decrease in v e r t i c a l pressure w i t h depth below a

rubber tired or plain c o m p a c t i o n roller.
 SOIL C O M P A C T I O N 227

A n e x a m p l e of this procedure is s h o w n in F i g . 9.3 for a soil h a v i n g 10 m m

as the l a r g e s t g r a i n s i z e , and e x a m p l e s of stable and unstable soil g r a i n size
d i s t r i b u t i o n s are provided also.
W h e n c o m p a c t i o n is c o n d u c t e d in the f i e l d , only a l i m i t e d depth of soil,
e i t h e r in situ or t r a n s p o r t e d , c a n be c o m p r e s s e d e f f e c t i v e l y at a t i m e . T h i s
is because the pressure applied by c o m p a c t i o n rollers spreads out w i t h depth,
a s s h o w n in F i g . 9.4. T h i s l i m i t s the depth of soil w h i c h r e c e i v e s adequate
c o m p a c t i o n pressure to between 0.3 and 0.6 m , depending on the s i z e and
w e i g h t of the c o m p a c t i o n d e v i c e . T h e rubber tired and plain rollers w h i c h are
r e p r e s e n t e d in F i g . 9.4 are m a n u f a c t u r e d in m a s s e s up to 180 t. The rubber
t i r e d m a c h i n e is the m o r e e f f e c t i v e in c o m p a c t i n g sandy and c l a y e y soils,
because of the shear a c t i o n w h i c h t a k e s place b e t w e e n individual t i r e s . R o l l e r s
w i t h v i b r a t i n g m e c h a n i s m s are also a v a i l a b l e , and are e f f e c t i v e on cohesionless
s o i l s , but not as useful on c l a y s . A n o t h e r v a r i a t i o n is called the s h e e p s - f o o t
roller and it has foot shaped knobs protruding f r o m a plain roller to p r o m o t e
shear s t r a i n s and increased soil c o m p a c t i o n .

F i g . 9.5. A g a m m a r a y soil density m e a s u r i n g probe (Troxler Inc.).

228 AGRICULTURAL E N G I N E E R I N G SOIL MECHANICS

Whichever c o m p a c t i o n device is e m p l o y e d , the soil to be c o m p r e s s e d m u s t

be within the appropriate r a n g e of m o i s t u r e c o n t e n t , as noted a b o v e . T h i s m a y
require the w e t t i n g or drying of the m a t e r i a l before c o m p a c t i o n is c o n d u c t e d .
W i t h s o m e soil t y p e s , s u c h as a poorly drained silt, and in c o o l , h u m i d
c l i m a t e s , the d r y i n g p r o c e s s c a n be v e r y t i m e c o n s u m i n g , w i t h up to a w e e k
o r m o r e r e q u i r e d to dry a one m e t r e t h i c k n e s s of s o i l . O n s o m e large
p r o j e c t s , heating ovens have even been e m p l o y e d to speed up the soil d r y i n g
p r o c e s s . W h e n the soil is dryer than the o p t i m u m range of m o i s t u r e content
specified, w a t e r can be added to soil l a y e r s by a sprinkler tank, and the soil
layer m i x e d before c o m p a c t i o n .
In order to v e r i f y that the c o m p a c t i o n p r o c e s s has been c a r r i e d out to the
p r e d e t e r m i n e d s p e c i f i c a t i o n s , nuclear density m e t e r s are m a n u f a c t u r e d to
measure the unit wet m a s s of the final p r o d u c t . A n e x a m p l e of s u c h a gauge
i s s h o w n in F i g . 9.5 w i t h a variable r a n g e of m e a s u r i n g depth up to 30 c m .
The g a m m a r a y s produced by a r a d i o a c t i v e s o u r c e in the probe are attenuated
q u i t e p r o p o r t i o n a l l y w i t h the total soil density, and the intensity of r a y s
passing through the soil are m o n i t o r e d by a g e i g e r counter in the m e t e r base.
Individual readings are a v e r a g e d over 30 seconds to two m i n u t e s , and the new
meters available are c a l i b r a t e d to g i v e a d i r e c t e l e c t r o n i c r e a d i n g of the total
unit mass of the soil over e a c h m e a s u r i n g depth. T h e m o i s t u r e content of the
s o i l m u s t also be m e a s u r e d in order to c a l c u l a t e soil dry density using
E q n . 2 . 3 6 . T h i s can be a c c o m p l i s h e d either by a neutron m o i s t u r e g a u g e , or
by drying soil s a m p l e s in an oven and m e a s u r i n g the w e i g h t loss.

9.2. C O M P A C T I O N O F A G R I C U L T U R A L SOILS

T a b l e 9.1 indicated increases in soil s t r e n g t h and s t i f f n e s s , as well as a

decrease in h y d r a u l i c c o n d u c t i v i t y w i t h i n c r e a s e d c o m p a c t i o n . F o r c o n s t r u c t i o n
p u r p o s e s , these e f f e c t s are desirable for they provide s t r o n g e r and m o r e
i m p e r m e a b l e earth s t r u c t u r e s . T o s o m e e x t e n t , h o w e v e r , the s a m e e f f e c t s in
s o i l s a r e the opposite of desirable for a g r i c u l t u r a l purposes. I n c r e a s e d soil
s t r e n g t h prevents the proper g r o w t h of c r o p r o o t s and i n c r e a s e s the energy
i n p u t r e q u i r e m e n t for soil tillage. In addition, s e v e r e l y r e d u c e d h y d r a u l i c
c o n d u c t i v i t y can impede proper soil drainage and the flow of w a t e r to plant
r o o t s . O n e of the m a i n purposes of soil tillage is the r e d u c t i o n of soil density
and the production of a loose soil tilth for w a t e r flow and plant g r o w t h .
I t is d i f f i c u l t to s p e c i f y w h a t e x a c t l y is the o p t i m u m dry density for a
p a r t i c u l a r soil and c r o p c o m b i n a t i o n , because the best density for crop
p e r f o r m a n c e depends s o m e w h a t on annual c l i m a t e . I n a r e l a t i v e l y dry l o c a t i o n
o r y e a r , the best soil density is s o m e w h a t higher than for m o r e h u m i d
c o n d i t i o n s , since w a t e r m u s t be c o n s e r v e d better in the dry periods. W h e n
t h e r e is s u f f i c i e n t or e x c e s s p r e c i p i t a t i o n , a looser soil s t r u c t u r e aids in the
a d e q u a t e drainage of w a t e r f r o m the root zone and prevents the o c c u r r e n c e
o f w a t e r l o g g e d c o n d i t i o n s . A l s o , w a t e r r e t e n t i o n is not required to the s a m e
degree because of the m o r e frequent advent of r a i n f a l l to the s o i l .
 SOIL C O M P A C T I O N 229

F i g . 9.6. E x p e r i m e n t a l results of silage c o r n yields in d i f f e r e n t y e a r s on plots

of clay soil h a v i n g d i f f e r e n t degrees of c o m p a c t i o n ( M c K y e s , 1985).

T h i s e f f e c t is s h o w n in F i g . 9.6 w h e r e silage c o r n is the e x a m p l e crop

grown on a clay field in s e a s o n s of d i f f e r i n g r a i n f a l l . I n the w e t y e a r of 1976
( 3 3 0 m m of r a i n in J u n e , July and A u g u s t c o m b i n e d ) , the o p t i m u m soil dry
density appears to have been 0.99 t / m . H o w e v e r , in the r e l a t i v e l y dry y e a r s
3

1977 and 1980 (215 to 220 m m of r a i n in the s a m e m o n t h s ) , a l a r g e r density

o f a b o u t 1.13 t / m 3
r e s u l t e d in higher c r o p yields than lower or higher
densities. A t dry densities b e t w e e n 1.15 and 1.25 in t h i s s o i l , the y i e l d r e s u l t s
w e r e of c o m p a r a b l e m a g n i t u d e for all of the y e a r s , but w e r e lower than the
o p t i m u m y i e l d s . It c a n be noted also that the c o n s t a n t of s e n s i t i v i t y to
c o m p a c t i o n , C , w a s c o n s i d e r a b l y l a r g e r in the drier y e a r s 1977 and 1980,
282 (t/ha)/(t/m )? as c o m p a r e d to 90 in 1976. T h e o p t i m u m yield c o n s t a n t , on
3

the other h a n d , w a s higher in 1976 (16 t/ha as opposed to 12.3). I n the w e t t e r

y e a r , it is apparent that the c r o p w a s able to take a d v a n t a g e of the m o r e
230 AGRICULTURAL E N G I N E E R I N G SOIL MECHANICS

p l e n t i f u l p r e c i p i t a t i o n , and a tighter soil f a b r i c w a s not required since there

were fewer and shorter periods of d r y n e s s in that s e a s o n .
For both dry and wet conditions, the c r o p yield versus soil density relation
of V o m i c i l (1955) c a n be applied, but w i t h d i f f e r e n t c o n s t a n t s in each c a s e .

(9.2)
Υ
* ~ Y = C (
Pdry-P*dry) 2

where Y* = the m a x i m u m obtainable crop yield

Y = the actual expected crop yield
C = a soil-crop-climate constant
Pdry = actual soil dry density (10 - 40 c m depth a v e r a g e )
p*dry = o p t i m u m dry density for a particular crop and c l i m a t e .

15

Pdry - t/m 3

F i g . 9.7. E x p e r i m e n t a l results of silage c o r n yield on plots of sandy l o a m

soil having different degrees of c o m p a c t i o n ( N e g i et al., 1981).

F i g . 9.7 s h o w s another case where V o m i c i l ' s equation applies w e l l , this t i m e

in a sandy l o a m soil. The shape of the crop yield versus soil dry density c u r v e
is t h e s a m e as that for the clay s o i l , but the density values are larger due
to the higher natural density of the l o a m s o i l .
 SOIL C O M P A C T I O N 231

P r o b l e m 9.3. T h e clay field on w h i c h the results of F i g . 9.6 were m e a s u r e d

is in a location where one of e a c h four y e a r s is r e l a t i v e l y w e t like 1976, and
the other three are dry like 1977. W h a t w o u l d be the best soil dry density to
use e a c h year in order to m a x i m i z e the yields over the four year p e r i o d ?

T h e four year yield c a n be s u m m e d as;

Y =[l6 - 90(p d r y -0.99) 2

+ 3[l2.3 - 2 8 2 ( p d r y -1.13) ]] 2
t/ha

T o f i n d t h e dry density for the best a v e r a g e y i e l d , Y can be m a x i m i z e d

w i t h r e s p e c t to the density using c a l c u l u s .

= -180 n , + 178 - 1692 p . + 1912 = - 1 8 7 2 p . + 2090 = 0

dp y
d r ^dry ^dry dry r

p d r y = 1.12 t/m 3

9.3. PROBLEMS

9.4. A s t a n d a r d P r o c t o r c o m p a c t i o n test series is p e r f o r m e d on a silty clay

s o i l . T h e c o m p a c t i o n m o l d has an e m p t y m a s s of 3.50 kg and t r i m m e d
volume 1/1060 m . A f t e r c o m p a c t i o n in three l a y e r s and w e i g h i n g of the
3

m o l d plus soil, s a m p l e s have been e x t r a c t e d f r o m the top, center and

b o t t o m of the m o l d and c o m b i n e d in one d r y i n g c a n per test. The
m e a s u r e m e n t s are as f o l l o w s .

Mass of mold plus s o i l , kg 5.27 5.41 5.51 5.53 5.49 5.46

Can plus wet s o i l , g 74.58 70.95 81.12 76.42 78.38 82.96
Can plus dry s o i l , g 71.61 66.73 75.13 69.42 70.03 73.27
Mass of d r y i n g c a n , g 20.32 20.40 20.65 20.13 20.38 20.05

W h a t is the o p t i m u m m o i s t u r e c o n t e n t for c o m p a c t i o n in this test

s e r i e s , and w h a t is the r a n g e of m o i s t u r e c o n t e n t for 9 8 % c o m p a c t i o n ?

Answer: w = 1 1 % . R a n g e = 10 to 1 4 % .

9.5. A S t e . R o s a l i e c l a y soil has the f o l l o w i n g c o n s t a n t s for c o m p a c t i o n

Eqn. 9.1. p = 0.7 t / m , p = 3 k P a , A = 0.13 t / m and Β = 0.4 t / m . If the
0
3
0
3 3

s o i l is a t an a v e r a g e w a t e r content of 2 0 % by m a s s , w h a t will be the

resultant dry densities under the wheel t r a c k s of a t r a c t o r w i t h 70 k P a
ground pressure after (a) one pass, and (b) f i v e passes, w i t h no w h e e l s l i p ?

A n s w e r : (a) p d p y = 1.40 t / m , (b) p

3
d r y = 1.49 t/m .
3
232 AGRICULTURAL E N G I N E E R I N G SOIL MECHANICS

9.6 A s a n d y l o a m field has the f o l l o w i n g c o n s t a n t s in the c o m p a c t i o n

Eqn. 9.1; p = 0.8 t / m , p = 7 k P a , A = 0.17 t / m and Β = 0.5 t / m . A l s o it
0
3
0
3 3

has been found in a year of a v e r a g e p r e c i p i t a t i o n to have the following

constants in V o m i c i l ' s crop yield E q n . 9.2 for silage c o r n ; p * = 1.375 t / m , 3

Y * = 11.4 t/ha and C = 204 ( t / h a ) / ( t / m ) . If the p o s t - t i l l a g e m a c h i n e r y

3 2

activities are e s t i m a t e d to have an a v e r a g e ground pressure e f f e c t over

t h e entire field equivalent to 30 k P a , w h a t would be the silage c o r n
y i e l d s of the field if these m a c h i n e r y operations were p e r f o r m e d w i t h
no wheelslip at a v e r a g e topsoil m o i s t u r e c o n t e n t s of (a) 1 0 % and (b) 2 0 % ?

A n s w e r : (a) Y = 11.2 t/ha; (b) Y = 4.4 t/ha.

9.7 A c l a y field has c o m p a c t i o n c o n s t a n t s p = 0.7 t / m , p = 3 k P a , A =

0
3
0

0.15 t / m 3
a n d Β = 0.3 t / m . F o r the p r o d u c t i o n of g r a i n c o r n in an
3

average year, the c o n s t a n t s are p * = 1.2 t / m , Y * = 8 t/ha dry m a t t e r and

3

C = 200 (t/ha)/(t/m ) . T h e f a r m ' s 80 kW t r a c t o r has a m a s s of 5 t resting

3 2

on the two rear wheels together, and each rear tire has a field c o n t a c t
a r e a o f 0.45 m . If the a v e r a g e topsoil m o i s t u r e content is 2 0 % by
2

w e i g h t , a n d there is little wheelslip, w o u l d there be m o r e c r o p loss in

the rear wheel t r a c k s if (a) single rear wheels were used, or (b) dual rear
wheels w h i c h e f f e c t i v e l y halve the ground pressure but c o v e r t w i c e the
field area per p a s s ?

Answer: Single wheels loss in t r a c k s = 1.3 t/ha; duals loss in t r a c k s = 0.2

t/ha χ t w i c e the area = 0.4 t/ha t o t a l . D u a l wheels cause less loss.

9.8 A sandy g r a v e l f r o m L a G r a n d e near J a m e s B a y , Q u e b e c is a n a l y z e d for

grain s i z e distribution using s i e v e s , w i t h the results g i v e n below. Is this
a s u i t a b l e m a t e r i a l for c o n s t r u c t i n g a road s u r f a c e ? If not, what could
be done to i m p r o v e i t ?

d, m m : 10 4.7 2.3 1.2 0.4 0.2

% finer: 100 75 65 52 14 2

A n s w e r : N o t suitable. A d d about 2 0 % by w e i g h t of fine s a n d .

 GEOTEXTILES 233

Chapter 1 0 . Geotextiles

10.1. U S E S O F GEOTEXTILES

G e o t e x t i l e s are c l o t h m a t e r i a l s , either w o v e n or bonded and n o n - w o v e n ,

u s u a l l y m a n u f a c t u r e d f r o m p o l y m e r s and used in g e o t e c h n i c a l a p p l i c a t i o n s .
T h e r e are five principal uses of g e o t e x t i l e s in e a r t h w o r k s , n a m e l y ;

1. S e p a r a t i o n of soil m a t e r i a l s ,
2. L a t e r a l retention of m a t e r i a l l a y e r s ,
3. S p r e a d i n g of loads in the subsoil,
4. D r a i n a g e envelopes and
5. Erosion protection.

T h e p r o p e r t y of g e o t e x t i l e s w h i c h a l l o w s t h e m to p e r f o r m the above
f u n c t i o n s is their tensile s t r e n g t h in t w o d i m e n s i o n s , a property w h i c h is not
s h a r e d by g r a n u l a r soil m a t e r i a l s . W h e n , for e x a m p l e , large p a r t i c l e s rest on
a layer of a finer grained s o i l , especially a w e t soil w i t h large pore pressures,
individual g r a v e l or sand grains c a n sink into the finer soil thus d e s t r o y i n g the
original c o n f i g u r a t i o n and f u n c t i o n of the e a r t h w o r k d e s i g n . F i g . 1 0 . 1 , for
i n s t a n c e , s h o w s the installation of a sheet of g e o t e x t i l e between l a y e r s of
g r a v e l a n d w e t f i n e g r a i n e d s o i l . T h e g e o t e x t i l e allows w a t e r to be
t r a n s m i t t e d t h r o u g h the boundary, thus p e r m i t t i n g drainage and the relief of
s o i l pore pressure. H o w e v e r , by virtue of its tensile s t r e n g t h and s i z e of
openings, the geotextile does not p e r m i t the e n t r a n c e of g r a v e l particles down
i n t o t h e s u b s o i l , or pumping of w e t f i n e s upwards into the g r a v e l l a y e r .
T h e r e f o r e , the g r a v e l layer r e m a i n s i n t a c t as a r o a d b a s e , f o u n d a t i o n subbase
or w h a t e v e r f u n c t i o n d e s i r e d . I n this m a n n e r , a g e o t e x t i l e c a n replace soil
filter m a t e r i a l s .

Fig. 10.1. S e p a r a t i o n of g r a v e l f r o m a fine g r a i n e d soil by a g e o t e x t i l e .

I n m u c h the s a m e a p p l i c a t i o n , g e o t e x t i l e s c a n assist in the prevention of

deformation of a layer of g r a n u l a r s o i l . F i g . 10.2 illustrates s c h e m a t i c a l l y how
t h e tensile s t r e n g t h and f r i c t i o n of the g e o t e x t i l e at the i n t e r f a c e w i t h a
234 AGRICULTURAL E N G I N E E R I N G SOIL MECHANICS

g r a n u l a r layer c a n help to hold t h e g r a v e l in place, p r e v e n t i n g i t s lateral

m o v e m e n t and change in t h i c k n e s s . F u r t h e r m o r e , g e o t e x t i l e sheets aid in the
d i s t r i b u t i o n of pressure in a subbase, a g a i n because of their tensile s t r e n g t h .
T h e d i s t r i b u t i o n of a load over a g r e a t e r area reduces the pressure in the
subsoil and i t s c o n c u r r e n t d e f o r m a t i o n s , providing a superior load bearing
s u r f a c e as s h o w n s c h e m a t i c a l l y in F i g . 1 0 . 3 .

Tension

F i g . 1 0 . 2 . T h e s t a b i l i z i n g e f f e c t of a g e o t e x t i l e on road material arising

f r o m f r i c t i o n a n d tension in the m a t e r i a l .

Pressure distribution

F i g . 10.3. T h e distribution of loads by a geotextile under a r o a d .

 GEOTEXTILES 235

A n o t h e r i m p o r t a n t a p p l i c a t i o n o f g e o t e x t i l e s is in the drainage of
e a r t h w o r k s , especially r o a d s . R a t h e r than using open ditches if space is at a
p r e m i u m , s u b s u r f a c e drains c a n be used t o m a i n t a i n road bases at l o w w a t e r
contents throughout the y e a r , a n d hence at higher s t r e n g t h l e v e l s . E x c a v a t i o n s
a r e m a d e t o the sides o f a r o a d a t the d e s i r e d depth a n d longitudinal slope,
b e t w e e n 30 and 60 c m in w i d t h depending o n the e x p e c t e d v o l u m e of w a t e r
f l o w . A g e o t e x t i l e is then used t o line the e x c a v a t e d d i t c h , a n d permeable
granular fill is placed to the desired depth o n the g e o t e x t i l e . I f f a s t e r w a t e r
f l o w i s needed in a p a r t i c u l a r a p p l i c a t i o n , then a p e r f o r a t e d drain tile c a n
a l s o be installed in the e x c a v a t i o n a n d s u r r o u n d e d by g r a n u l a r m a t e r i a l . T h e
g r a n u l a r m a t e r i a l s e r v e s t o i m p r o v e h y d r a u l i c c o n d u c t i v i t y and the
p e r f o r m a n c e of the d r a i n , thus e n h a n c i n g the net drainage e f f e c t . F i g . 10.4
s h o w s both o f these options. T h e g e o t e x t i l e is then wrapped around the t o p
of the g r a n u l a r fill m a t e r i a l a n d the s u r f a c e topped up w i t h e x i s t i n g s o i l .

Soil surface

Perforated drain
Fig. 10.4. G e o t e x t i l e s used t o w r a p r o c k drains w i t h or w i t h o u t a drain pipe.

T h e u s e o f a geotextile in this d r a i n a g e a p p l i c a t i o n is p r i m a r i l y as a
f i l t e r i n g m a t e r i a l w h i c h p r e v e n t s fine p a r t i c l e s o f the s u r r o u n d i n g soil f r o m
entering a n d blocking the g r a n u l a r drain f i l l . A g a i n i t s tensile s t r e n g t h allows
t h e g e o t e x t i l e continuity t o be m a i n t a i n e d , y e t a high p e r m e a b i l i t y t o w a t e r
flow h a s a m i n i m a l d e t r i m e n t a l e f f e c t o n the r a t e of w a t e r inflow t o drains.
Some g e o t e x t i l e s are used d i r e c t l y o n drain tiles, e s p e c i a l l y in c a s e s where a
large quantity of tile is p l a c e d . T h i s is p a r t i c u l a r l y true in the c a s e of
s u b s u r f a c e drainage of a g r i c u l t u r a l fields w h e r e up t o 1 0 0 0 m o f s u b s u r f a c e
drains m a y be installed per h e c t a r e of s u r f a c e a r e a . I n these applications, the
a d d i t i o n o f g r a v e l e n v e l o p e s around drains is e c o n o m i c a l l y p r o h i b i t i v e .
H o w e v e r , the l a c k o f g r a v e l renders the entry a r e a f o r w a t e r to drains
considerably s m a l l e r , a n d the flow o f w a t e r longitudinally t h r o u g h g e o t e x t i l e s
t o e n t r y holes in drain tiles m o r e c r i t i c a l . R e s e a r c h projects on these
p r o b l e m s are ongoing t o d a y , and the reader is r e f e r r e d t o r e c e n t articles in
a g r i c u l t u r a l engineering r e s e a r c h journals f o r the l a t e s t d e v e l o p m e n t s .
236 AGRICULTURAL E N G I N E E R I N G SOIL MECHANICS

I n the drain tube envelope a p p l i c a t i o n , it should be noted that n o n - w o v e n

g e o t e x t i l e s allow the f a b r i c a t i o n of filters w i t h m u c h s m a l l e r openings than
w o v e n f a b r i c s . T h u s the f o r m e r m a t e r i a l exhibits a superior p e r f o r m a n c e in
fine soils, w h e r e a s w o v e n m a t e r i a l s do not f u n c t i o n as well in p r e v e n t i n g soil
p a r t i c l e s f r o m penetrating s u b s u r f a c e drain tubes. In addition, if a w o v e n
g e o t e x t i l e , s u c h as a n y l o n w o v e n s o c k , is s t r e t c h e d , then the pore s i z e
openings increase in s i z e even further.
Some recent findings have been reported by M c K y e s and B r o u g h t o n (1974),
B r o u g h t o n et al. (1976, 1982) and B o n n e l l et al. (1986). It has been found that
synthetic fabrics, of s p e c i f i c m a s s e s r a n g i n g f r o m 20 to 250 g / m 2 of a r e a , do
p r o v i d e adequate w a t e r flow into d r a i n tubes in the short t e r m . H o w e v e r , in
m a n y c a s e s of fine sandy and silty soils, the f a b r i c s tend to be blocked by
f i n e soil particles and the rate of w a t e r entry is reduced s u b s t a n t i a l l y . Spun
bonded polyethylene and knitted n y l o n g e o t e x t i l e m a t e r i a l s have proved to be
t h e b e s t at m a i n t a i n i n g reasonably high w a t e r f l o w s into drains, while
preventing soil particles f r o m being t r a n s m i t t e d . I n the s a m e fine sandy soils
in w h i c h these m a t e r i a l s w e r e t e s t e d , drain tubes w i t h openings as s m a l l as
0.7 m m were o f t e n filled w i t h fine sand after s e v e r a l m o n t h s of field
operation. G r a v e l envelopes are still superior to thin g e o t e x t i l e s for p r e v e n t i n g
s o i l entry into drains and allowing h i g h w a t e r flow r a t e s , but as m e n t i o n e d
p r e v i o u s l y , their cost is m a n y t i m e s l a r g e r .
Two other problems w h i c h have been observed in the a b o v e m e n t i o n e d thin
g e o t e x t i l e t e s t s were the f o r m a t i o n of iron o c h r e on the m a t e r i a l in soils of
s u b s t a n t i a l iron content ( G a m e d a et al., 1983) and the need for s u f f i c i e n t
strength of the geotextiles in order to w i t h s t a n d handling during transport and
i n s t a l l a t i o n . L i g h t w e i g h t m a t e r i a l s of less than 50 g / m 2 or so were seen to
suffer considerable abrasive and tearing d a m a g e , and thus a r e d u c t i o n in their
filtering effectiveness.

F i g . 10.5. The use of a geotextile to s e p a r a t e riprap and c r u s h e d stone f r o m

a shoreline, while allowing the dissipation of w a v e energy and exit
of soil seepage pressures.
 GEOTEXTILES 237

A further use o f g e o t e x t i l e s is i n soil e r o s i o n c o n t r o l o n c o a s t a l shorelines

a n d w a t e r w a y s , in conjunction w i t h c o a r s e r o c k or c o n c r e t e b l o c k a r m o r . A
m u l t i l a y e r e d a g g r e g a t e filter c a n also be used f o r this purpose, b u t it is
usually m o r e t i m e c o n s u m i n g a n d expensive to install, a n d h a s less erosion
r e s i s t a n c e . A s s h o w n in F i g . 1 0 . 5 , a g e o t e x t i l e sheet allows bank seepage
p r e s s u r e s to e x i t , but resists the m o v e m e n t o f soil f r o m w i t h i n the bank. A
c e r t a i n r e v e r b e r a t i o n a c t i o n is allowed to be t r a n s m i t t e d f r o m w a t e r w a v e
a c t i o n , w h i c h results in less e n e r g y being expended in bank e r o s i o n . Y e t , the
g e o t e x t i l e m a t e r i a l also r e s i s t s the a c t i o n o f the m o v i n g w a t e r , w h i c h would
t e n d t o w a s h m a t e r i a l f r o m beneath t h e c o a r s e bank a r m o r , and it provides
a relatively permanent installation.

10.2. D E S I G N O F G E O T E X T I L E APPLICATIONS

10,2.1, Bearing capacity of fills.

Geotextile.

L+0.8t

F i g . 10.6. T h e a s s u m e d spread o f pressure beneath a r e c t a n g u l a r loaded a r e a .

When gravel or sand fill is placed o n a s o f t e r s o i l , s u c h as in the case of

r o a d c o n s t r u c t i o n , g e o t e x t i l e s c a n be used t o prevent t h e fill f r o m entering
t h e s o f t subbase a s m e n t i o n e d earlier. I n order t o c a l c u l a t e the s a f e load
which c a n be c a r r i e d by the fill s u r f a c e , the tensile s t r e n g t h o f the g e o t e x t i l e
is not t a k e n into a c c o u n t in a c o n s e r v a t i v e a p p r o a c h . H o w e v e r , the spreading
o f t h e s u r f a c e c o n t a c t load t o a l a r g e r a r e a a t the b o t t o m of the fill is
c o n s i d e r e d a s s h o w n i n F i g . 10.6 ( G o u r c , 1983). F o r a l o a d , Q, s u c h a s f r o m
a v e h i c l e w h e e l , the w i d t h , B , a n d l e n g t h , L , o f the h o r i z o n t a l loaded area
238 A G R I C U L T U R A L E N G I N E E R I N G SOIL MECHANICS

can be taken to increase w i t h depth at a slope of about 0.4 to 1 , as indicated

in F i g . 10.6. The average pressure, q , at the base of the fill w i t h a t h i c k n e s s
0

t is thus;

q
o =
(B + 0.8t)(L + 0.8t) ( m )

The design load w h i c h c a n be c a r r i e d safely by the fill s u r f a c e depends on

t h e u l t i m a t e bearing c a p a c i t y of the s o f t e r soil below, and it can be
c a l c u l a t e d as follows for a cohesive subsoil. H e r e S.F. is the desired s a f e t y
f a c t o r (usually 3.0 in order to l i m i t v e r t i c a l deflections of the subsoil).

cN (B+0.8t)(L+0.8t)
c 6.28c(B+0.8t)(L+0.8t)
Q
design = SjT. = sF. < ·)10 2

The w e i g h t of the fill itself does not need to be considered in E q n . 10.2.

I t is t r u e that the depth of fill also applies a v e r t i c a l pressure, q = 7 t , onto
the interface between fill and subsoil, but this portion of the pressure is
c a n c e l l e d exactly by the additional bearing c a p a c i t y arising f r o m the fill
p r e s s u r e to the sides of the area loaded by a wheel (qN in E q n . 3.3, w h e r e
N = l for 0 = 0 ) .
q
q

P r o b l e m 1 0 . 1 ; A clay soil has an undrained s t r e n g t h of 15 k P a . H o w thick

must c o m p a c t e d g r a v e l be placed to m a k e a road base capable of c a r r y i n g a
50 k N wheel load on a tire of 30 c m w i d t h and 30 c m c o n t a c t l e n g t h , w i t h a
s a f e t y f a c t o r of 3 on the c l a y ?

U s i n g E q n . 7.2;

50 k N = 6.28 χ 15 k P a (0.3 m + 0 . 8 t ) / 3 2

t = 1.2 m

T h e c o n s e r v a t i v e approach used above does not take into a c c o u n t the

t e n s i l e s t r e n g t h of the g e o t e x t i l e , and the additional bearing c a p a c i t y w h i c h
it c a n c o n t r i b u t e . E x p e r i m e n t a l w o r k by G o u r c (1983) has d e m o n s t r a t e d
considerable increases in allowable bearing pressure on the base of a plate at
d i f f e r e n t depths of penetration, depending on the s t r e n g t h of the g e o t e x t i l e
m a t e r i a l used, and the undrained shear s t r e n g t h , C , of the subsoil, as s h o w n
in F i g . 10.7. T h e o r e t i c a l l y , using the s t r i p f o o t i n g c o h e s i v e b e a r i n g c a p a c i t y
factor of 5.14 (Appendix 1), the u l t i m a t e bearing pressure at the base of the
15 c m wide plate would be;

q
ult = c N
c ( B +
°- 8 t
V B
= 9 k P a χ 5.14 χ (0.15 + 0.08)/0.15

= 70.9 k P a
 GEOTEXTILES 239

Penetration Ζ , cm

F i g . 10.7. T h e r e d u c t i o n i n p e n e t r a t i o n of a load in the presence of

i n c r e a s i n g l y heavier g e o t e x t i l e s ( G o u r c , 1983).

H o w e v e r , F i g . 10.7 s h o w s that the B D 550 g e o t e x t i l e has i n c r e a s e d the

m a x i m u m possible bearing pressure to about 90 k P a , w h e r e a s the w e a k e r
B D 210 m a t e r i a l yields a bearing c a p a c i t y of only 70 k P a , w h i c h is essentially
the s a m e as the u n r e i n f o r c e d e s t i m a t e above in w h i c h g e o t e x t i l e s t r e n g t h w a s
ignored.

Granular fill

V
Geotextile Τ 5 o f t s o j|

F i g . 10.8. S i m p l i f i e d r e p r e s e n t a t i o n of lateral pressure w i t h i n a slope, and

the tensile f o r c e in a r e i n f o r c i n g g e o t e x t i l e .
240 AGRICULTURAL E N G I N E E R I N G SOIL MECHANICS

10.2.2. Slopes on soft strata.

I n s i t u a t i o n s wherein fills are placed w i t h slopes on s o f t soil s t r a t a , s u c h
a s illustrated in F i g . 10.8, a layer of g e o t e x t i l e m a t e r i a l c a n be used to
s e p a r a t e the two soil t y p e s , and also to r e i n f o r c e the s t a b i l i t y of the slope.
Two c r i t e r i a c a n be used to e s t i m a t e the s u i t a b i l i t y of the g e o t e x t i l e s t r e n g t h
i n r e l a t i o n to the relative soil s t r e n g t h p a r a m e t e r s . If it is considered that
t h e r e is negligible or very s m a l l shear s t r e n g t h on a h o r i z o n t a l plane at the
b a s e of the slope, then the g e o t e x t i l e m a t e r i a l c a n be considered to provide
a l l of the n e c e s s a r y shear f o r c e . A s F i g . 10.8 i n d i c a t e s , the lateral pressure
on a plane under the top of the slope, σ , c a n be c a l c u l a t e d as f o l l o w s as a
χ χ

f u n c t i o n of depth ζ m e a s u r e d f r o m the top for a granular f i l l .

<*xx = K
a 7 * (10-3)

The total shear f o r c e per unit length of slope is the integral of the above
expression over the height Η of the slope.

Τ = ^ K a 7 H 2
(10.4)

This is the force per unit w i d t h of footing w h i c h the geotextile is expected

to support in tension if the above a s s u m p t i o n s are a c c e p t e d .

P r o b l e m 10.2: A g r a v e l fill is placed three m e t r e s high on a s o f t clay soil

such as pictured in F i g . 10.8. T h e g r a v e l has a unit w e i g h t of 17.6 k N / m and 3

an angle of internal f r i c t i o n 3 5 ° . F i n d the required g e o t e x t i l e tensile s t r e n g t h

to prevent sliding of the fill slope.

T h e c o e f f i c i e n t of active e a r t h p r e s s u r e , K , a is found f r o m E q n . 6.7 a s :

Κ = ] - ? ^ =
s n
1 - ? ^ ° = 0.271
s n

a 1 + sin0 1 + sm35 u

The tensile s t r e s s , in force per unit w i d t h of g e o t e x t i l e m a t e r i a l , required

is then found f r o m E q n . 10.4.

Τ = K j H 2
/ 2 = 0.271 χ 17.6 k N / m 3
x(3 m ) / 2 = 21.5 k N / m
2

A n o t h e r approach to the a n a l y s i s of g e o t e x t i l e r e i n f o r c e d slopes w a s taken

b y G o u r c (1983). It is a s s u m e d that a base c i r c u l a r soil slip c i r c l e f o r m s at
the slope failure c o n d i t i o n , as s h o w n in F i g . 10.9. T h e g e o t e x t i l e sheet at the
s l o p e base is placed under tension as the failure c i r c l e f o r m s , and thus adds
to the slope s t r e n g t h . F i g . 10.10 indicates the additional h e i g h t , H , w h i c h the
s l o p e c a n a t t a i n for a s a f e t y f a c t o r of 1.0 under d i f f e r e n t conditions of
subsoil undrained shear s t r e n g t h ( C ) and g e o t e x t i l e tension per unit w i d t h (T).
The unreinforced m a x i m u m slope h e i g h t , H , is also s h o w n for v a r i o u s subsoil
c
 GEOTEXTILES 241

F i g . 10.9. T h e tensile r e i n f o r c i n g e f f e c t of a g e o t e x t i l e in a slope tending

to fail along a c i r c u l a r slip line, (after G o u r c , 1983)1

10 15

H = 3m
D

Δ Η
m

F i g . 10.10. T h e additional h e i g h t , Δ Η , possible in a slope f o r different

g e o t e x t i l e tensile s t r e n g t h s , T , as a f u n c t i o n of soil undrained
shear s t r e n g t h , C , (after G o u r c , 1983).
u
242 AGRICULTURAL E N G I N E E R I N G SOIL MECHANICS

s t r e n g t h values in F i g . 10.10 for the e x a m p l e base depth, H , of 3 m , a 2/3

D

s l o p e a n d soil density 17.6 k N / m . A t low values of subsoil shear s t r e n g t h

3

(5 k P a ) and a high geotextile tensile s t r e n g t h (200 k N / m ) , the increase in

p e r m i s s i b l e slope height can r e a c h 8 0 % .

P r o b l e m 1 0 . 3 : A slope begins at 3 m above a s t r o n g base at a slope of 2/3

as s h o w n in F i g . 10.9. The undrained shear s t r e n g t h of the subsoil is 22 k P a .
W h a t tensile s t r e n g t h per m e t r e w i d t h w o u l d a base r e i n f o r c i n g g e o t e x t i l e
m a t e r i a l require in order to allow the slope to r e a c h a height of 1 1 m ?

E x t r a p o l a t i n g f r o m F i g . 10.10, the u n r e i n f o r c e d slope height for an

undrained shear s t r e n g t h of 22 k P a is about 8.0 m . The additional r e i n f o r c e d
height, Δ Η = 1 1 - 8 = 3 m . A g a i n f r o m F i g . 10.10, the g e o t e x t i l e unit s t r e n g t h
is e x t r a p o l a t e d to be a p p r o x i m a t e l y 120 k N / m .
T h e r e are m a n y m o r e applications for g e o t e x t i l e s in the c o n s t r u c t i o n of
drains, r o a d s , f i l t e r s , w a t e r c o u r s e banks, d a m s and the like, and the reader is
r e f e r r e d to K o e r n e r (1986) for a m o r e e x h a u s t i v e t r e a t m e n t .

10.3. PROBLEMS

10.4. A g r a v e l roadbed of t h i c k n e s s 0.8 m and density 17.6 k N / m is 3

s e p a r a t e d by a thin g e o t e x t i l e sheet f r o m a c l a y subsoil h a v i n g an

undrained shear s t r e n g t h of 20 k P a . If a t r u c k tire is 25 c m wide and
has a 50 c m c o n t a c t length on the g r a v e l , w h a t is the s a f e wheel load
in this s i t u a t i o n .

A n s w e r : Q = 42.5 k N .

10.5. If in the s i t u a t i o n of P r o b l e m 10.4 above the g e o t e x t i l e sheet between

t h e g r a v e l roadbed and clay subsoil were not thin, but a s t r o n g e r
B D 550 geotextile s u c h as in F i g . 10.7, w h a t m i g h t the e x p e c t e d
allowable wheel load be on the t r u c k t i r e ?

A n s w e r : Q = 54.6 k N .

10.6. A 4 m high slope c o m p o s e d of sand requires c o n s t r u c t i o n on the s u r f a c e

of a layer of soft c l a y , as in F i g . 10.8. I f the sand has a density of
1 6 . 7 k N / m and an angle of internal f r i c t i o n s t r e n g t h of 3 0 ° , w h a t
3

t e n s i l e s t r e n g t h , T , per unit w i d t h of geotextile. is required at the

i n t e r f a c e between sand and clay to just prevent the clay f r o m failing
in the h o r i z o n t a l d i r e c t i o n ?

A n s w e r : Τ = 44.4 k N / m .
 GEOTEXTILES 243

10.7. A clay slope s u c h as s h o w n in F i g . 10.10 has a rise over run of 2/3, a

soil density of 17.6 k N / m and an undrained shear s t r e n g t h of 20 k P a .
3

(a) W h a t w o u l d be the u n r e i n f o r c e d m a x i m u m possible height of the

s l o p e , a n d (b) w h a t w o u l d be the m a x i m u m height w i t h a base
r e i n f o r c i n g g e o t e x t i l e w i t h a s t r e n g t h per unit w i d t h of 100 k N / m ?

A n s w e r : (a) H Q = 7.0 m , (b) H Q = 9.2 m .

244 AGRICULTURAL E N G I N E E R I N G SOIL MECHANICS

Chapter 11. Soil Freezing

11.1. F R O S T PENETRATION

A t l o c a t i o n s in the w o r l d where soil t e m p e r a t u r e s a r e caused t o descend

b e l o w 0 ° C , by either natural or a r t i f i c i a l a g e n t s , the free w a t e r in the soil
w i l l f r e e z e w i t h t i m e . T h i s phenomenon c a u s e s the soil s t r e n g t h to i n c r e a s e ,
d e p e n d i n g on the t e m p e r a t u r e and the f r a c t i o n o f soil w a t e r f r o z e n . I n the
c a s e o f coarse sands and g r a v e l s , it is usually considered that p r a c t i c a l l y all
o f t h e s o i l w a t e r f r e e z e s into a n o r m a l ice s t r u c t u r e . H o w e v e r , in finer
grained soils containing appreciable a m o u n t s of silt and c l a y , both pore w a t e r
solutes and the interactions between w a t e r and soil particles cause m u c h of

— Temperature, °C

Fig. 11.1. T h e u n f r o z e n w a t e r content in silts a n d c l a y s a r e a f u n c t i o n o f

both original m o i s t u r e c o n t e n t and t e m p e r a t u r e ( Y o n g , 1965).
 SOIL F R E E Z I N G 245

the water to r e m a i n u n f r o z e n at t e m p e r a t u r e s a f e w d e g r e e s below the n o r m a l

f r e e z i n g p o i n t , w i t h l e s s w a t e r being u n f r o z e n as the t e m p e r a t u r e is
progressively l o w e r e d , ( Y o n g and W a r k e n t i n , 1975). F i g . 11.1 g i v e s e x a m p l e s of
s u c h soil w a t e r behavior for t w o s o i l s .
I n c o a r s e r g r a i n e d s o i l s , it is possible to e s t i m a t e t h e o r e t i c a l l y the depth
t o w h i c h frost will penetrate f r o m the s u r f a c e in s u b - z e r o air t e m p e r a t u r e
c o n d i t i o n s w i t h the a s s u m p t i o n that all of the pore w a t e r f r e e z e s . T h e heat
f l o w i n s o i l f o l l o w s a behavior p a t t e r n s i m i l a r to that of w a t e r flow
( C h a p t e r 4) as f o l l o w s .

(HI)

where q = heat flow rate per unit c r o s s s e c t i o n a l a r e a ,

k = thermal conductivity,
Τ = temperature,
ζ = depth.

B y t h e rule of energy c o n s e r v a t i o n , the c h a n g e in heat flow rate w i t h

position equals the rate of c h a n g e of heat c o n t e n t at a p a r t i c u l a r point in the
soil, and the heat content is r e l a t e d to the point t e m p e r a t u r e by the s p e c i f i c
v o l u m e t r i c heat c o n t e n t , C . T h u s ;

(1L2)

%t = a
fez (1L3)

w h e r e a = k/C is the t h e r m a l d i f f u s i v i t y c o n s t a n t for the soil m a t e r i a l .

E q n . 11.2 and 11.3 c a n be used to c a l c u l a t e transient heat f l o w s in soil

under c h a n g i n g t e m p e r a t u r e c o n d i t i o n s . H o w e v e r , a s i m p l i f i c a t i o n c a n be made
if it is a s s u m e d that t e m p e r a t u r e s r e m a i n essentially c o n s t a n t w i t h t i m e if
they c h a n g e only v e r y s l o w l y . B o t h sides of E q n . 11.3 then go to z e r o , and
the temperature distribution w i t h soil depth m u s t be a s t r a i g h t line since the
first d e r i v a t i v e , or slope of t e m p e r a t u r e c h a n g e w i t h depth will be a c o n s t a n t .
T h i s c o n s t a n t will depend on the boundary t e m p e r a t u r e s of the soil profile, as
shown in F i g . 11.2 for a s u b z e r o air t e m p e r a t u r e c a s e . I n t h i s instance T f is
t h e s u b z e r o s u r f a c e t e m p e r a t u r e , and Z f is the depth to the z e r o C e l s i u s
i s o t h e r m . T h e n the t e m p e r a t u r e at any depth c a n be found as;

Τ = -T f + (T /z )z
f f (11.4)

U s i n g the above s i m p l i f i c a t i o n , the S t e f a n m o d e l for e s t i m a t i n g the depth

of frost p e n e t r a t i o n o v e r t i m e c a n be d e v e l o p e d , if it is a s s u m e d that the
246 AGRICULTURAL E N G I N E E R I N G SOIL MECHANICS

Unfrozen soil

F i g . 11.2. T h e a s s u m p t i o n of a s t r a i g h t line t e m p e r a t u r e distribution with

depth in a soil layer.

f r o s t l i n e of 0 ° C m o v e s d o w n w a r d s v e r y s l o w l y in s u b z e r o air conditions.
Eqn. 11.1 g i v e s the rate at w h i c h heat is t r a n s f e r r e d t h r o u g h soil for a g i v e n
temperature g r a d i e n t . The quantity of heat w h i c h m u s t be m o v e d to a d v a n c e
the frost front in depth is p r i m a r i l y the latent heat of fusion, L , of the pore s

water per unit v o l u m e of soil as it f r e e z e s . I n the e x p r e s s i o n of this equality

below, kf is the t h e r m a l c o n d u c t i v i t y of the soil when it is f r o z e n . F i g . 11.3
g i v e s typical values of this p a r a m e t e r f o r t w o soils at v a r i o u s m o i s t u r e
contents.

T f d Z f

- k
f — = L
s — (11.5)
z f dt

T h e l a t e n t heat of fusion of pore w a t e r per unit v o l u m e of soil can be

c a l c u l a t e d as a f u n c t i o n of w, the w a t e r content f r a c t i o n on a dry solids
basis, and ρ ^ , the dry m a s s density of soil, as f o l l o w s .
Γ γ

L s = 334.8 w p d r y (kJ/kg or M J / t ) (11.6)

Integrating E q n . 11.5 w i t h the c o n v e n t i o n that the f r o s t depth is zero when

t i m e t = 0;

Ζ 2
!• t
f
f Γ ,
— = — -T dt
f (11.7)
2 L ·'
 SOIL F R E E Z I N G 247

40

30

Water
content,
% dry
matter

20

10

0 4 6 8 10 12 14
Thermal conductivity, k , kJ/(m-h-°C)
f

0
F i g . 11.3. T h e r m a l c o n d u c t i v i t y , k f , o f f r o z e n sand or silt and clay as a
function of d r y density and w a t e r content (converted f r o m A l d r i c h ,
1956).

T h e i n t e g r a l of s u b z e r o t e m p e r a t u r e w i t h t i m e is c o m m o n l y called the
f r e e z i n g index, F, a n d is usually e x p r e s s e d in d e g r e e - d a y s . M a p s o f a v e r a g e
a n n u a l f r e e z i n g indices a r e available f o r m a n y p a r t s o f the w o r l d , a n d t h e
f r e e z i n g index f o r a p a r t i c u l a r l o c a t i o n c a n be used in the expression below
w h i c h s o l v e s f o r frost depth z^.

z f = (11.8)

When using E q n . 11.8, it m u s t be r e m e m b e r e d to m a t c h the units of t i m e

i n t h e p a r a m e t e r s k f a n d F . I f one is e x p r e s s e d in t e r m s of hours a n d the
other in d a y s , then a c o n v e r s i o n o f one or t h e other will be n e c e s s a r y .
S i m i l a r l y , if one t e r m is in i m p e r i a l units a n d t h e other S I , c o n v e r s i o n s will
248 AGRICULTURAL E N G I N E E R I N G SOIL MECHANICS

be needed to obtain the required depth unit for Z f .

It has been noted by Y o n g and W a r k e n t i n (1975) that the S t e f a n E q n . 11.8
t e n d s to predict a l a r g e r f r o s t p e n e t r a t i o n depth than is actually m e a s u r e d .
This is due probably to the f a c t s that additional heat content of the soil and
w a t e r m u s t also be t r a n s f e r r e d to i n c r e a s e the f r o s t d e p t h , and that the
s t r a i g h t line t e m p e r a t u r e distribution is not a r i g o r o u s a n a l y s i s of the real
situation.

P r o b l e m 1 1 . 1 : A silty soil has a dry m a s s density of 1.7 t / m and a w a t e r 3

content of 2 0 % . If it has also a bare s u r f a c e w h i c h has been subjected to 900

degree (C) days f r e e z i n g index, e s t i m a t e the depth of frost p e n e t r a t i o n .

F r o m F i g . 11.3, the f r o z e n t h e r m a l c o n d u c t i v i t y , k , c a n be e s t i m a t e d as
f

about 7.25 kJ/(mhOC).

E q n . 11.6 is used to find the pore w a t e r latent heat of f u s i o n .

L g = 334.8 M J / t χ 0.20 χ 1.7 t / m 3

= 113.8 M J / m 3
= 113,800 kJ/m 3

T h e e s t i m a t e d depth of f r o s t p e n e t r a t i o n , z^., is obtained f r o m E q n . 11.8.

- J · kJ(°C)m days 24~h

V '
L , ο Ι ~
x 7 2 3 x 9 0 0 3
2

V 2 75 m =
7 7 M
Z
f " 113,800 k J ( ° C ) m h X
daT" =

11.2. F R O S T H E A V E PRESSURE

F i g . 11.4. Heave of the soil s u r f a c e upon f r e e z i n g due to (a) w a t e r expansion

alone and (b) m i g r a t i o n of w a t e r to an ice lens.

When soil w a t e r f r e e z e s it c a n c a u s e e x p a n s i o n of the s o i l . T h i s can arise

either f r o m the n o r m a l increase in v o l u m e of w a t e r w h e n it solidifies (about
9 % near 0 ° C ) , or the m i g r a t i o n of w a t e r t o w a r d s the frost line and the
buildup of ice 'lenses w i t h i n the soil as s h o w n s c h e m a t i c a l l y in F i g . 11.4.
1
 SOIL F R E E Z I N G 249

11.2.1. Water expansion.

4
%
expansion

~0 10 20 30 40
Water content %

F i g . 11.5. T h e expansion of soil w a t e r in s i t u is a f u n c t i o n of both soil

water c o n t e n t and t e m p e r a t u r e . T h e e x a m p l e s h o w n is t y p i c a l for
silt.

I f w a t e r m i g r a t i o n does not o c c u r , then only the soil w a t e r w h i c h w a s

originally in the f r o z e n zone c o n t r i b u t e s to the e x p a n s i o n in soil v o l u m e . T h e
increase in s p e c i f i c v o l u m e of soil will not be as l a r g e as that o f pure w a t e r
s i n c e w a t e r does not o c c u p y all of the soil v o l u m e . A t low degrees of
s a t u r a t i o n , there is s u f f i c i e n t air in a soil to allow f r e e z i n g w a t e r to expand
into air s p a c e s and not require an o v e r a l l soil v o l u m e i n c r e a s e . A s the w a t e r
content i n c r e a s e s , s o m e soil e x p a n s i o n will o c c u r as it b e c o m e s m o r e d i f f i c u l t
f o r f r o z e n w a t e r t o enter the r e m a i n i n g v o i d s p a c e . A n d as the soil
a p p r o a c h e s 1 0 0 % s a t u r a t i o n , the soil e x p a n s i o n on f r e e z i n g will be a
c o n s i d e r a b l e f r a c t i o n o f that o f pure w a t e r . S o m e t y p i c a l r e s u l t s for a silt
soil are shown in F i g . 11.5. A s the soil t e m p e r a t u r e d e c r e a s e s below 0 ° C , the
expansion of fine g r a i n e d soils i n c r e a s e s as m o r e w a t e r f r e e z e s . T h i s increase
depends on the fineness of soil g r a i n s , the n a t u r e of the soil m i n e r a l s and the
pore w a t e r solutes w h i c h are p r e s e n t .
A l s o , a s the soil t e m p e r a t u r e drops below 0 ° C it b e c o m e s i n c r e a s i n g l y
d i f f i c u l t to prevent a w e t soil f r o m e x p a n d i n g . T h e pressure that w o u l d be
r e q u i r e d f r o m a r i g i d s t r u c t u r e to s t o p a soil at s u b z e r o t e m p e r a t u r e s f r o m
e x p a n d i n g c a n b e c o m e v e r y l a r g e . T h e C l a p e y r o n r e l a t i o n g i v e s the pressure,
p, required to produce a c e r t a i n f r e e z i n g point d e p r e s s i o n , Δ Τ ^ , on a flat ice
250 AGRICULTURAL E N G I N E E R I N G SOIL MECHANICS

s u r f a c e (Penner, 1959).

L
s A
T f
(11.9)
p
" J
K - V
where L s= the latent heat of fusion of w a t e r ,
Τ = ambient absolute t e m p e r a t u r e ,
v =
w the s p e c i f i c v o l u m e of w a t e r and
v, = the s p e c i f i c v o l u m e of ice per unit m a s s .

Near 0°C the s p e c i f i c v o l u m e of w a t e r is 1 m / t , that of ice is 1.090 m / t

3 3

a n d t h e heat of fusion of w a t e r is 334.8 kJ/kg or M J / t . T h u s the pressure

required for a c e r t a i n f r e e z i n g point depression (i.e. in order to prevent
f r e e z i n g and expansion at a c e r t a i n t e m p e r a t u r e below 0 ° C ) is;

334.8 M J / t A T f

ρ = - L
= - 13.6 A T f MPa/o (11.10)
2 7 3 ° χ 0.09 m /t
3

T h u s one is talking of over 13 M P a applied to the soil w a t e r for e a c h

degree Celsius of f r e e z i n g point depression in order to prevent e x p a n s i o n , and
it is obvious that a rigid restraint to soil v o l u m e increase would be subjected
to very high pressures f r o m wet soil at just a few degrees below 0 ° C .

Τ Saturated soil
1m

7 ι^ / / / y y
ν y y y y
Limestone

F i g . 11.6. B u i l d i n g extension of P r o b l e m 11.2.

 SOIL F R E E Z I N G 251

P r o b l e m 1 1 . 2 ; A building in northern latitudes has a very large m a s s and is

founded on piles at 3 m below the soil s u r f a c e in l i m e s t o n e . A n extension is
c o n n e c t e d rigidly to this building, but its floor rests directly on the soil
s u r f a c e ( F i g . 11.6). The soil layer is 1 m deep to the r o c k s u r f a c e , and is
saturated at 3 5 % w a t e r c o n t e n t . In F e b r u a r y the soil f r e e z e s to the 1 m depth
a t a n a v e r a g e t e m p e r a t u r e in the profile of - 5 ° C . (a) What pressure could
result as an uplift stress on the building e x t e n s i o n f l o o r ? (b) If the extension
connection to the m a i n building c a n n o t resist s u c h a floor pressure, how m u c h
could the extension be expected to r i s e ?

(a) F r o m E q n . 11.10, ρ = -13.6 M P a / o χ (-5°) = 68 MPa

(b) A s s u m i n g that the soil is s i m i l a r to that of F i g . 11.5, the percent

expansion would be an a v e r a g e of a p p r o x i m a t e l y 3 . 5 % . The h e a v e , A h , is then
the percent expansion t i m e s the f r o z e n depth:

A h = 3 . 5 % χ 1 m = 3.5 c m

11.2.2. I c e l e n s i n g .
F i g . 11.4(b) s h o w s s c h e m a t i c a l l y a c a s e of an ice lens separating itself
f r o m the soil. T h i s phenomenon o c c u r s essentially at the frost front in
s i t u a t i o n s w h e r e there is a plentiful w a t e r supply w i t h i n the soil, and
s u f f i c i e n t t i m e for the w a t e r to m o v e to the ice lens. W h e n a soil is nearly
s a t u r a t e d , w a t e r does tend to m o v e naturally f r o m w a r m e r depths to colder
p l a c e s , because of the higher free energy in w a r m e r w a t e r . P o r e w a t e r will
move faster, of c o u r s e , in a c o a r s e g r a i n e d soil w i t h a high p e r m e a b i l i t y , and
if there is an upwards hydraulic gradient (artesian conditions).
When the f r o s t front is s t a t i o n a r y for s o m e t i m e , the ice lens will continue
to grow upwards f r o m the f r e e z i n g depth and lift the soil a b o v e , provided that
t h e w a t e r supply r e m a i n s in e x i s t e n c e . T h e r e a s o n for w h i c h the ice lens
grows is that portions of the lower s u r f a c e of the ice are at a higher f r e e z i n g
p o i n t than the local t e m p e r a t u r e itself. T h e s e areas are those of n e g a t i v e
c u r v a t u r e , s h o w n as points A in F i g . 11.7, because the i c e - w a t e r s u r f a c e
tension g i v e s rise to a r e d u c t i o n in pressure on the c u r v e d ice s u r f a c e .
On the other hand, ice l o c a t i o n s w i t h a positive c u r v a t u r e (B in F i g . 11.7)
h a v e a r e l a t i v e pressure increase on t h e m due to i c e - w a t e r s u r f a c e tension,
and their f r e e z i n g point is lower than the e x i s t i n g t e m p e r a t u r e . T h e r e f o r e ,
f r e e z i n g will not o c c u r at these latter p l a c e s , and the ice front does not
advance in the s o i l . H o w e v e r , the f r e e z i n g of w a t e r continues at points A as
w a t e r is supplied f r o m below, and the ice lens g r o w s . G i v e n s u f f i c i e n t t i m e
a n d a h i g h soil hydraulic c o n d u c t i v i t y , the g r o w t h of the ice lens can be
considerable, e v e n at rates up to s e v e r a l m m / h .
The potential heaving pressure is not as g r e a t as that of w a t e r at several
degrees below f r e e z i n g , h o w e v e r , since the f r e e z i n g point depression required
to s t o p g r o w t h of the ice lens is s m a l l at points A in F i g . 11.7. In f a c t the
e f f e c t i v e n e g a t i v e pressure, p, a c t i n g on points A c a n be c a l c u l a t e d as:
252 AGRICULTURAL E N G I N E E R I N G SOIL MECHANICS

F i g . 11.7. T h e g e o m e t r y of the i c e - w a t e r i n t e r f a c e at the f r o s t front during

the ice lens g r o w t h p r o c e s s .

ρ = __20iw_
Ρ
where a j = the i c e - w a t e r s u r f a c e tension (energy per unit area), and
w

Γ ρ = the radius of c u r v a t u r e of the ice s u r f a c e indentation.

Sill and S k a p s k i (1956) s h o w e d that M a x w e l l ' s t h e r m o d y n a m i c relations c a n

be u s e d f o r a c u r v e d ice to w a t e r i n t e r f a c e in order to predict the rate of
positive n o r m a l pressure required per degree of f r e e z i n g point depression as
follows:

% = - J=s (11.12)
dT f jT V

P u t t i n g E q n . 11.12 into an i n c r e m e n t a l f o r m allows its c o m b i n a t i o n w i t h

Eqn. 11.11 to find the f r e e z i n g point e l e v a t i o n for l o c a t i o n A on the ice f r o n t
h a v i n g a radius of c u r v a t u r e Γ ρ .

ΔΤ = 20jwTvi ( 1 L 1 3 )

* r L
Ρ 3
L i k e w i s e , the f r e e z i n g point depression for positively c u r v e d s e c t i o n s Β in
F i g . 11.7 is;

ΔΤ = - 2 a
»wTvi 01.14)
f r v Ls L
 SOIL F R E E Z I N G 253

The t e m p e r a t u r e of the frost f r o n t will be 0 ° C m i n u s this latter f r e e z i n g

point depression, because that is w h e r e i c e c e a s e s to a d v a n c e in the soil pores
a t points B. T h u s the r e l a t i v e f r e e z i n g point e l e v a t i o n o f n e g a t i v e l y c u r v e d
l o c a t i o n s A on the ice front will be the s u m o f the t w o f r e e z i n g point
d i f f e r e n c e s , or;

ΔΤ = ζσίν,τνιΓι. + U ( 1 L 1 5 )

s
L p
r
vJ
r

Knowing that a j = 0.020 J / m ( Y o n g , 1967), absolute t e m p e r a t u r e Τ is 273°,

w
2

Vj = 0.00109 m3/kg and L = 334,800 J/kg;Q

ΔΤρ = 3.56 χ 1 0 " 8

+ ,Lj o m ( Π # 1 6 )

A s the above expression s h o w s , the f r e e z i n g point e l e v a t i o n of portions of

the i c e - w a t e r i n t e r f a c e i n c r e a s e s w i t h the i n v e r s e of e f f e c t i v e particle plus
v o i d r a d i i . T h e C l a p e y r o n E q n . 11.9 i n d i c a t e s that the pressure required to
l o w e r the f r e e z i n g point, a n d thus halt the f r e e z i n g p r o c e s s , is proportional
t o the f r e e z i n g point d i f f e r e n c e . T h e r e f o r e , finer g r a i n e d soils s u c h as silts
a n d c l a y s are e x p e c t e d to have p r o p o r t i o n a l l y higher f r o s t heave pressures
t h a n c o a r s e r m a t e r i a l s including sands and g r a v e l s . T h i s c a n be s h o w n
e x p l i c i t l y by s u b s t i t u t i n g E q n . 11.16 into 11.10 w i t h the f o l l o w i n g result.

ρ = 4.84 χ 1 0 ' 4
+ j L J kPa m (11.17)

T h i s i s the pressure w h i c h w o u l d need to be applied to the c o n c a v e

s e c t i o n s o f the ice lens lower s u r f a c e (around points A in F i g . 11.7) T h e
a v e r a g e observed pressure a c r o s s the soil projected area would be less than
t h i s a m o u n t . A s i m p l i f i e d g e o m e t r i c m o d e l a s s u m i n g u n i f o r m s p h e r i c a l soil
particles in a cubic pattern c a n produce an e s t i m a t e of the r a t i o between the
s o i l c r o s s s e c t i o n a l a r e a , A , w h i c h c o n t a c t s the b o t t o m of the ice lens,
c

divided by the total area, A , as f o l l o w s ( M c K y e s , 1966; Y o n g , 1967).

A /Ac = (1 - η) 213
(11.18)

w h e r e rj = the soil void r a t i o (volume of v o i d s over total v o l u m e ) .

I n a d d i t i o n , the model c a n g i v e a r e l a t i o n s h i p b e t w e e n the e f f e c t i v e void
space r a d i u s , r , and the u n i f o r m particle r a d i u s , r , as f o l l o w s .
v

'V-P[TV! 1 / 3 m
- i9)

Combining the last three equations g i v e s an e x p r e s s i o n f o r the a v e r a g e soil

cross sectional frost heave p r e s s u r e , p^, w h i c h could be e x p e c t e d f r o m an ice
254 AGRICULTURAL E N G I N E E R I N G SOIL MECHANICS

lens in a u n i f o r m soil.

p f = 4.84 χ I P ' 4
|\ + (L^JI -r,] 2 / 3
kPa m (11.20)

In the c a s e , for e x a m p l e , that the void ratio of a soil is 0.5;

p f = J4.84 χ 10"^(2)(o.63) k P a m (11.21)

The number 2 in the bracket above s h o w s that the particle and void radii
are essentially equal in this c a s e , and 0.63 is the r a t i o of soil area c o n t a c t i n g
the ice lens to the total c r o s s sectional area for this void r a t i o .

Problem 11.3: A u n i f o r m silt has an e f f e c t i v e g r a i n s i z e d i a m e t e r of 0.010 m m

and a void ratio of 0.5. W h a t frost heave pressure could be e x p e c t e d f r o m an
ice lens f o r m a t i o n ?

T h e particle radius of the soil is (10/2) χ 1 0 " 6

m.

U s i n g E q n . 11.21: = 6.10 χ 1 0 " k P a m

4
= 1 2 ? kPa
*f (10/2) χ 1 0 " m
6

W h e n soils do not have a u n i f o r m g r a i n s i z e , an e f f e c t i v e particle radius

must be found. C a s a g r a n d e (1931) s u g g e s t e d that the particle d i a m e t e r at 1 0 %
passing ( 1 0 % particles smaller by mass) c a n represent a c h a r a c t e r i s t i c particle
size for both frost heaving as well as h y d r a u l i c c o n d u c t i v i t y purposes in fairly
u n i f o r m soils. 1 0 % of the soil m a s s appears to be just enough to represent
the smallest particles w h i c h c o m p l e t e l y c o v e r a c r o s s sectional area in a soil
mass. I f a g r a i n size represents m o r e m a s s , n u m e r o u s s m a l l e r p a r t i c l e s fill the
voids between particles of that s i z e . A n y less m a s s appears to be insufficient
to r e p r e s e n t the controlling d i a m e t e r of p a r t i c l e s and voids w h i c h can
c o m p l e t e l y c o v e r a sectional area in the s o i l .
It w a s further noted ( T e r z a g h i and P e c k , 1967) that frost h e a v i n g does not
n o r m a l l y o c c u r in soils having less than 1 % of the g r a i n s s m a l l e r than
0.02 m m . A s s u m i n g a well graded s o i l , s u c h as the e x a m p l e s s h o w n in F i g . 1.8
or 9.2, one could e s t i m a t e roughly that the 1 0 % passing d i a m e t e r of such soils
would be in the order of 0.1 m m . I f 0.05 m m is substituted into E q n . 11.21 for
t h e e f f e c t i v e particle radius, the potential ice lens frost heave pressure of
s u c h a n o n - f r o s t susceptible soil is c a l c u l a t e d as a p p r o x i m a t e l y 12 k P a . S u c h
a p r e s s u r e would be developed by the self w e i g h t of a 0.6 m depth of soil
h a v i n g a d e n s i t y of 20 k N / m . Thus there is logical support for the above
3

c r i t e r i o n f o r a soil w h i c h is not frost susceptible, since at a frost depth of

0.6 m or so, a typical wet soil has s u f f i c i e n t v e r t i c a l pressure f r o m its own
w e i g h t to prevent frost h e a v i n g .
A n o t h e r w a y of c h a r a c t e r i z i n g the void s i z e distribution in a soil is by
 SOIL F R E E Z I N G 255

m e a s u r i n g the pore w a t e r tension required to e x t r a c t d i f f e r e n t a m o u n t s of

l i q u i d . T h e a d v a n c e of air t h r o u g h soil v o i d s , on the m i c r o s c o p i c s c a l e
(Fig. 11.8), appears very s i m i l a r to the a d v a n c e of ice ( F i g . 11.7). In f a c t , the
same f o r m u l a as E q n . 11.11 c a n be used to find the required air pressure, p,
o r pore w a t e r tension, - u , for this a d v a n c e w i t h the s u b s t i t u t i o n of the
a i r - w a t e r s u r f a c e tension quantity, C T , f o r the i c e - w a t e r tension as f o l l o w s .
aw

F i g . 11.8. The c u r v a t u r e of an a i r - w a t e r i n t e r f a c e w i t h i n a soil is s i m i l a r to

that of w a t e r and ice.

ρ = -u = 2 ^ § w ( 1 L 2 2 )

U s i n g the above equation, an a p p r o x i m a t i o n of the e f f e c t i v e a v e r a g e void

r a d i u s c a n be made f r o m the m e a s u r e m e n t of pore w a t e r tension w h e n air
e n t e r s the soil in considerable quantity, (the " a i r - e n t r y " tension value). Y o n g
a n d O s i e r (1971) s h o w e d that a good c o r r e l a t i o n c a n be d r a w n between the
w a t e r t e n s i o n at air entry in a s o i l , e x p r e s s e d in m of w a t e r h e a d , and the
ice lens frost heaving pressure m e a s u r e d , as s h o w n in F i g . 11.9.
It m u s t be r e m e m b e r e d that the f r o s t s u s c e p t i b i l i t y of soil is subject to
t w o p r i n c i p a l c r i t e r i a , n a m e l y the pressure w h i c h an ice lens c a n e x e r t , and
t h e s p e e d at w h i c h the ice lens c a n g r o w . If either of these f a c t o r s is very
s m a l l , then a soil does not present a p r a c t i c a l danger for f r o s t h e a v i n g . F o r
l a r g e g r a i n e d soils s u c h as c o a r s e sand and g r a v e l , the potential f r o s t heave
pressure is so s m a l l that even a thin layer of the soil itself will provide the
pressure n e c e s s a r y to a r r e s t f r o s t h e a v i n g (see F i g . 11.10). O n the other h a n d ,
v e r y f i n e g r a i n e d c l a y soils have s u c h low p e r m e a b i l i t y ( F i g . 11.10) that it
t a k e s l o n g e r than a few days for any appreciable w a t e r m o v e m e n t and ice
lens g r o w t h to o c c u r , and by then the soil m a y be u n f r o z e n or the f r o s t front
has c h a n g e d l o c a t i o n . F i g . 11.10 s h o w s that the m o s t d a n g e r o u s of frost
s u s c e p t i b l e soils lie in the g r a i n s i z e r a n g e of fine sands and silts. T h i s has
been borne out by experience as w e l l .
256 AGRICULTURAL E N G I N E E R I N G SOIL MECHANICS

Tension at air entry, m water

F i g . 11.9. C o r r e l a t i o n of frost heave pressures in v a r i o u s soils w i t h t h e soil

w a t e r tension at a i r entry ( Y o n g a n d W a r k e n t i n , 1975). T h e soils
and s o u r c e s of data a r e s h o w n below.

1. Silty sand ( H a m m a m j i , 1969).

2. A u g r e y s a n d ( H o e k s t r a et al., 1965).
3. S e a w a y silt ( M c K y e s , 1966).
4. P o t t e r ' s flint (Penner, 1959).
5. S a n d y silt (Janiga, 1970).
6. N e w H a m p s h i r e silt ( H o e k s t r a e t al., 1965).
7. R i c h f i e l d silt ( H o e k s t r a et al., 1965).
8. S e a w a y till (Janiga, 1970).

W h e n a soil is frost susceptible, F i g . 11.10 indicates that it is capable o f

d e v e l o p i n g heave pressures of 10 t o 100 k P a . S u c h uplift pressure c a n pose
v e r y s e r i o u s problems f o r s t r u c t u r e s placed o n s u c h a s o i l . T h e r e a r e t w o
solutions to the d i l e m m a . F i r s t l y , t h e f o u n d a t i o n s o f s t r u c t u r e s c a n be placed
 SOIL F R E E Z I N G 257

F i g . 11.10. T h e n e t s u s c e p t i b i l i t y or clanger of f r o s t h e a v i n g of a soil is a

c o m b i n a t i o n o f b o t h t h e potential heave pressure and the
saturated p e r m e a b i l i t y . If one or the other is too s m a l l , the soil
p r e s e n t s little f r o s t heave d a n g e r . T h e m a x i m u m susceptibility
c o m e s in the g r a i n s i z e r a n g e of silts and fine sands.

b e l o w the frost l e v e l , that is the m a x i m u m depth of frost p e n e t r a t i o n for a

particular c l i m a t i c r e g i o n . R e g i o n a l building c o d e s and other m a n u a l s , s u c h as
the M i d w e s t P l a n S e r v i c e S t r u c t u r e s and E n v i r o n m e n t H a n d b o o k (1983), g i v e
the local a v e r a g e and e x t r e m e depths of f r o s t p e n e t r a t i o n f o r a c e r t a i n a r e a .
W h e n deep foundations are not f e a s i b l e , s u c h as in the c a s e s of roads,
retaining w a l l s , r a f t foundations and the l i k e , the s o l u t i o n to p r e v e n t i n g f r o s t
heaving is thorough drainage of the s u b s o i l . I f there is little w a t e r in the s o i l ,
it will not cause soil expansion upon f r e e z i n g (see F i g . 11.5). S u r f a c e drainage
i s i m p o r t a n t in these s i t u a t i o n s also f o r the periods of d a y t i m e t h a w i n g and
night f r e e z i n g in the s p r i n g . D u r i n g these e v e n t s only the s u r f a c e layer of soil
thaws during the day, and the f r o z e n soil b e n e a t h c a n f o r m a barrier to w a t e r
d r a i n a g e if e x c e s s w a t e r enters by the soil s u r f a c e . T h i s is one of the
p r i n c i p a l causes of the d e t e r i o r a t i o n of paved roads during the s p r i n g t i m e in
cold regions.
258 AGRICULTURAL E N G I N E E R I N G SOIL MECHANICS

11.3. PROBLEMS

11.4. A railway is situated on a s a t u r a t e d silty soil h a v i n g an a v e r a g e w a t e r

c o n t e n t of 3 5 % , and the e x t r e m e depth of frost penetration is 3 m .
H o w m u c h c a n the r a i l w a y be e x p e c t e d to heave if the a v e r a g e
t e m p e r a t u r e in the frost zone is - 5 ° C , and little w a t e r m o v e m e n t
occurs?

Answer: Heave = 11 c m .

11.5. In the situation of P r o b l e m 11.4, to w h a t w a t e r content should the silt

subsoil be drained in order to prevent f r o s t expansion p r o b l e m s ?

Answer: w = 1 5 % .

11.6. A r e f r i g e r a t i o n plant in the S t a t e of F l o r i d a f e a t u r e s an underground

liquid a m m o n i a tank w h i c h has an a v e r a g e internal t e m p e r a t u r e of
- 4 0 ° C . If the soil surrounding the tank is a s a t u r a t e d silt w i t h an
e f f e c t i v e g r a i n size of 0.04 m m and a void ratio of 0.5, w h a t f r o s t
h e a v e pressure m i g h t be e x p e c t e d to act on the tank due to ice
lensing?

Answer: p f = 32 k P a .

11.7. A f i n e s i l t soil has a 1 0 % passing g r a i n s i z e of 0.008 m m and a void

ratio of 0.5. (a) W h a t m a x i m u m ice lens heave pressure could this soil
e x e r t , a n d (b) at w h a t speed could an ice lens g r o w if the w a t e r
pressure d y n a m i c gradient below the ice lens is 0.2 m head per m e t r e
l e n g t h and the frost front r e m a i n s s t a t i o n a r y for s e v e r a l d a y s ?

A n s w e r : (a) p f = 160 k P a , (b) Speed = 0.055 m m / d a y .

11.8. (a) W h a t would the e f f e c t i v e g r a i n s i z e d i a m e t e r have to be in a soil

where an ice lens is observed to g r o w at a r a t e of 1 m m per hour w i t h
a hydraulic pressure gradient in the soil w a t e r of 0.4 m/m t o w a r d s the
ice l e n s ? (b) W h a t heave pressure could this soil e x e r t ?

A n s w e r : (a) d = 0.03 m m , (b) p f = 45 kPa.

 REFERENCES 259

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APPENDIX 1. B E A R I N G C A P A C I T Y FACTORS FOR SHALLOW FOUNDATIONS

APPENDIX 1 267
268 AGRICULTURAL E N G I N E E R I N G SOIL MECHANICS

APPENDIX 2. D E S I G N R E Q U I R E M E N T S F O R E X T E N D E D S I L O RING
FOUNDATIONS

(Turnbull et al., 1979)

APPENDIX 2 269
270 AGRICULTURAL E N G I N E E R I N G SOIL MECHANICS
 APPENDIX 3 271

APPENDIX 3. W A L L PRESSURE FACTORS IN F R I C T I O N A L SOILS

Κ . = horizontal c o m p o n e n t , Κ = vertical component.

Φ δ° a 0
Φ°δ° α ° δ°
0
Κ Κ
ah K
av ah av
φο
α° ah av
36 32 90 0 . 2 0 2 0 . 1 2 6 34 30 90 0 . 2 2 1 0 . 1 2 8 32 28 90 0 . 2 4 3 0 . 1 2 9
85 .222 .167 85 .242 .169 85 .264 .171
80 .240 .216 80 .261 .219 80 .283 .221
75 .256 .275 75 .278 .278 75 .301 .280
70 .269 .345 70 .292 .348 70 .315 .350
65 .279 .430 65 .302 .431 65 .326 .433
60 .283 .533 60 .307 .533 60 .333 .533

30 26 90 0 . 2 6 6 0 . 1 3 0 28 25 90 0 . 2 8 9 0 . 1 3 5 26 23 90 0 . 3 1 6 0 . 1 3 4
85 .287 .173 85 .310 .179 85 .337 .179
80 .307 .223 80 .330 .231 80 .357 .232
75 .325 .283 75 .347 .291 75 .375 .293
70 .340 .352 70 .362 .362 70 .390 .364
65 .352 .435 65 .374 .445 65 .403 .447
60 .360 .533 60 .381 .545 60 .411 .545

24 2 1 90 0 . 3 4 5 0 . 1 3 2 22 19 90 0 . 3 7 7 0 . 1 3 0 20 17 90 0 . 4 1 2 0 . 1 2 6
85 .367 .179 85 .399 .178 85 .434 .175
80 .387 .233 80 .419 .232 80 .454 .231
75 .405 .294 75 .437 .295 75 .472 .295
70 .421 .366 70 .453 .367 70 .488 .368
65 .433 .449 65 .466 .450 65 .501 .451
60 .442 .546 60 .476 .547 60 .511 .548

36 24 90 0 . 2 1 5 0 . 0 9 6 34 23 90 0 . 2 3 4 0 . 0 9 9 32 2 1 90 0 . 2 5 7 0 . 0 9 9
85 .238 .132 85 .257 .137 85 .281 .137
80 .260 .175 80 .280 .182 80 .304 .183
75 .281 .228 75 .301 .235 75 .325 .236
70 .300 .290 70 .320 .298 70 .345 .300
65 .316 .364 65 .336 .373 65 .362 .375
60 .330 .454 60 .349 .464 60 .376 .465
272 AGRICULTURAL ENGINEERING SOIL MECHANICS

</>° δ ° « ° K g h K a v φο δ ο α οφ ο δ ο «ο K g h K j

30 20 90 0 . 2 7 9 0 . 1 0 2 28 19 90 0 . 3 0 4 0 . 1 0 5 26 17 90 0 . 3 3 2 0 . 1 0 2
85 .304 .142 85 .328 .146 85 .357 .144
80 .326 .188 80 .350 .194 80 .380 .194
75 .348 .244 75 .372 .251 75 .401 .251
70 .367 .308 70 .391 .316 70 .421 .317
65 .384 .384 65 .408 .394 65 .438 .395
60 .398 .475 60 .422 .485 60 .453 .486

24 16 90 0 . 3 6 1 0 . 1 0 3 22 15 90 0 . 3 9 1 0 . 1 0 5 20 13 90 0 . 4 2 7 0 . 0 9 9
85 .385 .148 85 .415 .151 85 .451 .147
80 .407 .199 80 .437 .204 80 .473 .201
75 .429 .258 75 .458 .264 75 .494 .263
70 .448 .325 70 .476 .333 70 .513 .333
65 .465 .404 65 .493 .413 65 .529 .414
60 .479 .496 60 .506 .506 60 .544 .507
 APPENDIX 4 273

APPENDIX 4. C O N S O L I D A T I O N T I M E FACTORS
274 AGRICULTURAL E N G I N E E R I N G SOIL MECHANICS
 APPENDIX 5 275

APPENDIX 5. P A S S I V E S O I L C U T T I N G FACTORS

Ρ = (yd Ny
2
+ cdN c + q dN q + c dN
a c a ) w
276 AGRICULTURAL E N G I N E E R I N G SOIL MECHANICS

0 10 20 30 40 50 60 70 80 90
Rake angle a0

0 10 20 30 40 50 60 70 80 90
Rake angle a°
APPENDIX 5 277
278 AGRICULTURAL E N G I N E E R I N G SOIL MECHANICS
APPENDIX 5 279
280 AGRICULTURAL E N G I N E E R I N G SOIL MECHANICS

300;

0 10 20 30 40 50 60 70 80 90
Rake angle a°
APPENDIX 5 281
282 AGRICULTURAL E N G I N E E R I N G SOIL MECHANICS
APPENDIX 5 283
284 AGRICULTURAL E N G I N E E R I N G SOIL MECHANICS
 APPENDIX 5 285

300

200

0 10 20 30 40 50 60 70 80 90
Rake angle ct°

0 10 20 30 40 50 60 70 80 90
Rake angle, a0
286 AGRICULTURAL E N G I N E E R I N G SOIL MECHANICS
 APPENDIX 5 287

3001 1 1 1 1 1 1 1 r

200

0 10 20 30 40 50 60 70 80 90
Rake angle a 0

0 10 20 30 40 50 60 70 80 90
Rake angle, a 0
288 AGRICULTURAL E N G I N E E R I N G SOIL MECHANICS

APPENDIX 6. S E L E C T E D V A L U E S O F S O I L M E C H A N I C A L PROPERTIES
( f r o m B e k k e r , 1969).
 APPENDIX 6 289

Soil m.c. kc k0 η c
% kPa/m n _ 1
kPa/m n
kPa

Sandy loam, M i c h i g a n 11 52 1127 0.9 4.8 20

13 17 911 0.8 6.9 29
21 11 1138 0.4 17.2 22
23 11 1802 0.7 11.0 25
23 11 808 0.4 9.6 35
Sandy loam, Maryland 26 3 141 0.3 13.8 22
29 3 169 0.6 13.8 26
30 6 3 0.4 6.2 23
31 1 36 0.4 5.5 15
32 1 52 0.5 5.2 11

Dry sand 3
0 1 1527 1.1 1.0 28

Sandy l o a m 3
15 5 1514 0.7 1.7 29
22 3 43 0.2 1.4 38

Unplowed soil, M I 17 2322 0.6 11.0 38

Plowed soil, M I 5 169 0.8 6.9 20

C l a y , Thailand 38 13 692 0.5 4.1 13

43 105 752 0.9 1.8 10
45 7 297 0.3 5.5 17
47 38 500 0.6 7.6 14
55 48 1356 1.0 0 11
55 16 1262 0.7 2.1 10
185 21 814 1.0 3.4 11

Heavy clay^ 25 13 1555 0.13 68.9 34

30 7 696 0.12 48.2 22
35 4 153 0.125 34.5 14
40 2 103 0.11 20.7 6

L e a n clay* 3
22 16 1723 0.20 68.9 20
24 10 1030 0.17 48.2 18
26 7 580 0.17 34.5 15
28 3 372 0.16 27.6 12
30 3 248 0.16 17.2 11
32 2 120 0.15 13.8 11

3
Land Locomotion Laboratory, Detroit M I .

b
Waterways Experimentation Station, Vicksburg MS.
290 AGRICULTURAL E N G I N E E R I N G SOIL MECHANICS

AUTHOR INDEX

A l d r i c h , H.P., 247,259 H o e k s t r a , P., 2 5 6 , 2 6 1

A l i , O.S., 197,198,212,262 H o o g h o u d t , S.B., 115,116,261
A n d e r s o n , A . O . , 165,168,262 Hovanesian, J.D., 224,261
A . S . A . E . , 162,259 Hudson, N., 31,261
A . S . T . M . , 7,47,259 Hvorslev, M . J . , 31,261
A t t e r b e r g , Α., 8,259 I r e l a n d , H.O., 9 4 , 2 6 1
B e k k e r , M . G . , 79,259 Jaky, J., 163,261
B e r n d t , H.D., 176,265 J a n i g a , P.V., 2 5 6 , 2 6 1
B e r n s t e i n , R., 79,259 J a n s s e n , H.A., 1 6 3 , 2 6 1
B j e r r u m , L., 31,79,259 K e t c h u m , M . S . , 163,164,261
B o l d u c , G . , 259 Koerner, R.M., 242,261
B o n n e l l , R.B., 236,259 K o s t r i t s y n , A . K . 207,262
B o z o z u k , M . , 89,90,91,263 L a m b e , T.W., 7,31,79,222,262
B r o u g h t o n , R.S., 236,259,263 L u n d g r e n , H., 65,262
B u t t o n , S.J., 72,73,259 L u t h , H.J., 202,262
C a n a d a P l a n S e r v i c e , 92,254,259 L u t h i n , J . N . , 115,117,132,262
C a s a g r a n d e , Α . , 9,44,104,259 L v i n , J.B., 164,262
C a t e r p i l l a r C o . , 218,259 M a r s t o n , Α . , 165,168,262
C a u g h y , R.A., 164,260 M a v i s , F.T., 130,262
C h a n c e l l o r , W . J . , 222,260 M c C r e e r y , W.F., 213-215,218,260
C o u l o m b , C . A . , 12,13,30,140,143, M c K y e s , E., 8 1 - 8 3 , 1 9 4 , 1 9 7 , 1 9 8 , 2 1 1 ,
158,159,161,260 212,215,218,229,236,256,262
D a r c y , H., 100,260 M e y e r h o f , G . G . , 61,64-66,75,76,207,
D e s i r , F.L., 203,215,217,218, 262,263
260,262 M i d w e s t P l a n S e r v i c e , 257,263
E g g e s t a d , Α . , 79,259 M i l l e r , P . C . H . , 207,263
E l l w e l l , H.A., 1 7 7 - 1 8 5 , 260 M o h r , O., 17,140,263
E v e r t s , R., 163,260 M o h s e n i n , N . N . , 162,164,263
F a n , T . L . , 80-83,260,262 M o r i n , J.P., 8 9 - 9 1 , 2 6 3
F a r r e l l y , K.M., 207,263 M o r t e n s e n , K., 65,262
F o r t i e r , S., 131,260 M o y s e y , E.B., 165,263,264
G a m e d a , S., 236,260 N e g i , S.C., 87,230,262,263
G i l l , W.R., 213-215,218,260 O ' C a l l a g h a n , J.R., 207,263
G o d w i n , R.J., 197,198,207-209, O n t a r i o Silo A s s n . , 89,263
212,213,215,216,260,264 O s i e r , J . C . , 255,265
Goriatchkin, V.P., 79,261 P a y n e , P . C . J . , 196,199,201,202,263
G o u r c , J.P., 2 3 7 - 2 4 1 , 2 6 1 P e c k , R.B., 78,94,95,254,265
G r a e c a n , E.L., 2 2 2 , 2 6 1 P e n n e r , E., 250,256,263
H a m m a m j i , Y . , 256,261 P i e p e r , K., 164,263
H a n d y , R.L., 165-167,264 P r a n d t l , L., 6 1 - 6 3 , 2 6 3
H a n s e n , J.B., 68,69,261 P r o c t o r , R.R., 14,47,222,263
Harr, M.E., 65,261 R a g h a v a n , G.S.V., 224,262,263,264
H e t t i a r a t c h i , D . R . P . , 158,160, R e e c e , A . R . , 158,160,161,193,194,196,
161,193,194,196,200,261 200,201,261,264
 AUTHOR INDEX 291

R o w l e s , W., 222,264
R y c r o f t , D.W., 115,117,132,264
S c h m i d t , R . H . , 222,260
S c h w a b , G.O., 117,132,176,186,264
S c o b e y , F . C . , 131,260
S c o t t , R.F., 84,264
Sill, R . C . , 252,264
S i n g h , D., 163,264
S k a p s k i , A . S . , 252,264
S k e m p t o n , A . W . , 72,264
S m e d e m a , L.K., 115,117,132,264
S m i t h , D . D . , 174,175,264,265
Soehne, W., 224,264
S o k o l o v s k i , V.V., 28,64-66,69,
146,159,264
Soiltest Inc., 52,264
Spangler, M . G . , 165-168,264
Spoor, G . , 197,212-216,260,264
T a y l o r , D.W., 7 8 „ 1 2 0 - 1 2 4 , 2 2 2 , 2 6 4
T e n g , W . C . , 15,264
T e r z a g h i , K., 29,61,64,66,70,78,
79,84,94,95,100,102,106,144,
149,254,264,265
T u r i t z i n , A . M . , 164,265
T u r n b u l l , J.E., 87,91,92,265,268
V a n d e n B e r g , G . E . , 224,265
van S c h i l f g a a r d e , J . , 115,265
V o m i c i l , J.A., 230,265
W a g n e r , A . A . , 7,265
Wall, 173,265
W a r k e n t i n , B.P., 245,248,265
Wendlaar, F.E., 177,265
W h i t m a n , R.V., 31,79,221,265
W i l l i a m s , J.R., 176,265
W i s c h m e i e r , W . H . , 172,174,264,265
W i s m e r , R . D . , 202,262
Y o n g , R . N . , 244,245,248,253,265
Z e l e n i n , A . N . , 207,265
292 AGRICULTURAL E N G I N E E R I N G SOIL MECHANICS

SUBJECT INDEX

A c t i v e soil failure, 24,137ff Soil, classification, 6

A t t e r b e r g l i m i t s , 8,9 c o h e s i o n , 12,289
B e a r i n g c a p a c i t y , 59ff c u t t i n g f o r c e s , 192ff
B i n pressures, 162ff freezing, 244ff
B u r i e d pipes, 165ff f r i c t i o n , 12,289
C h i s e l plow, 204 origins, 1
C o m p a c t i o n , 222ff phases, 9
C o m p a c t i o n test, 99 shear s t r e n g t h , 12
C o m p r e s s i b i l i t y , 100 S t a b i l i t y number, 122
C o n d u i t s , 165ff S t r e s s e s at a point, 17
C o n s e r v a t i o n b e n c h , 188 Stress characteristics, 25ff
C o n s o l i d a t i o n , 99ff,273 S u b s u r f a c e drains, 115
C o n t o u r i n g , 187 S w e l l f a c t o r , 218
C r i t i c a l depth, 207 Tension cracks, 141
C u t o f f w a l l , 112 T r i a x i a l test, 3 7 f f
D i r e c t shear box, 33 W a l l pressures, 137ff
Earthdams, l l l , 1 3 2 f f W a t e r c o u r s e b a n k s , 128ff
E a r t h p r e s s u r e , 137ff W a t e r f l o w , 109ff
E f f e c t i v e s t r e s s e s , 29 W e d g e theory, 143,159
E r o s i o n , of banks, 130
of soil, 172ff
F o u n d a t i o n s , 59ff,266
G e o t e x t i l e s , 233ff
Liquid limit, 9
M e t h o d of s l i c e s , 108,124
M o h r ' s c i r c l e , 17ff
P a s s i v e soil failure, 157ff,275
P e n e t r o m e t e r , 50,56
Plastic limit, 9
P l a s t i c i t y index, 9
P l a t e s i n k a g e test, 79
P i l e foundations, 9 2 f f
P o c k e t p e n e t r o m e t e r , 50,56
P o r e w a t e r pressure, 29ff
R e t a i n i n g walls, 1 3 7 , 1 5 2 f f , 2 7 1
S a f e t y f a c t o r , 59,67,88,153
S h e a r g r a p h , 50,52
Shear plate, 50,51
Shear r i n g , 50,51
Shear vane, 50,54
Silo f o u n d a t i o n s , 87ff,268
Silo p r e s s u r e s , 162
Slope s t a b i l i t y , 120ff