Engineering Geology 303 (2022) 106647

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Engineering Geology
journal homepage: www.elsevier.com/locate/enggeo

The mechanical properties of a high plasticity expansive clay

T.A.V. Gaspar a, *, 1, S.W. Jacobsz a, G. Heymann a, D.G. Toll b, A. Gens c, A.S. Osman b
a
Department of Civil Engineering, University of Pretoria, Pretoria, South Africa
b
Department of Engineering, Durham University, United Kingdom
c
Department of Civil and Environmental Engineering. Universitat Politecnica de Catalunya - CIMNE, Barcelona, Spain

A R T I C L E I N F O A B S T R A C T

Keywords: The mechanical properties of a high plasticity expansive clay from South Africa are reported. The experimental
Expansive soils programme considered wetting after loading tests followed by one-dimensional consolidation and unloading of
Fabric/structure of soils undisturbed and statically compacted samples. The results of this study illustrate that laboratory preparation of
Laboratory tests
expansive clays do little to alter the soil’s swell characteristics. This finding is attributed to the fact that, due to
Consolidation
numerous swelling and shrinking cycles over a geological time frame, expansive clays tend to have reworked
fabric in-situ.
The effects of structure are also assessed in both undisturbed and compacted specimens by comparison of the
various consolidation tests with that of a reconstituted sample. The results illustrate a gradual yielding process
for both undisturbed and compacted specimens, indicating progressive disruption of structure. After consoli­
dation, while the expansion indices were found to be similar for both compacted and undisturbed samples,
measured values were lower than that of the reconstituted specimen. Such a result is indicative of some pres­
ervation of structure after testing. It is also emphasised that consolidation tests on expansive clays are likely to
exist in structure permitted space if swelling strains are restricted during the inundation process. Conversely, for
most results presented it is seen that the swell caused by the inundation phase is approximately as disruptive to
structure as laboratory preparation and compaction.

Leroueil and Vaughan (1990) as being as important in determining en­

1. Introduction gineering behaviour as the effects of initial porosity and stress history.
Whilst the terms structure, fabric, microfabric and bonding are often
Typically characterised as being largely composed of active clay used interchangeably, the usefulness of distinguishing these features
minerals, expansive clays are soils which undergo significant swell or have been highlighted by Toll and Ali Rahman (2010, 2017). The ter­
shrinkage upon wetting and drying respectively. The presence of minology used in this study is that proposed by Yong and Warkentin
swelling clays has caused severe economic implications in almost every (1975) who defined structure as being the combination of fabric, which
continent in the world. Jones and Holtz (1973) reported how, in the refers to the geometrical arrangement of particles, and inter-particle
USA, the annual damage to infrastructure caused by swelling clays bonding which results from cementation and physico-chemical in­
amounted to twice that caused by hurricanes, tornadoes and earth­ teractions. Leroueil and Vaughan (1990) highlighted how yield of
quakes combined. Similarly, Jones and Jefferson (2012) have referred to structure is a function of strain or strain energy, and can be brought
swelling clays as being the most damaging geohazard in Britain, costing about by either shear, compression or swelling. Considering that
the insurance industry over GBP 400 million per year. Other similar expansive clays undergo seasonal swell and shrinkage by varying mag­
accounts of the soil type have been made in China (Miao et al., 2012), nitudes throughout the depth of a profile, it can be recognised that the
Africa (Williams et al., 1985; Morin, 1971; Al Haj and Standing, 2015) effects of soil structure are important in characterising this problem soil.
and Australia (Li et al., 2014). This study considers a black expansive clay sampled from the Lim­
Apart from the tendency to undergo substantial volumetric changes popo province in South Africa, approximately 350 km northeast of
upon wetting and drying, an important characteristic of swelling clays is Pretoria. The testing programme consisted of 1-dimensional swell and
their distinct ‘structure’. The effect of soil structure was identified by consolidation testing which aimed to assess the differences in the

* Corresponding author.
E-mail address: [email protected] (T.A.V. Gaspar).
1
Present address: Department of Engineering, Durham University, Durham DH1 3LE, United Kingdom.

https://doi.org/10.1016/j.enggeo.2022.106647
Received 28 June 2021; Received in revised form 5 November 2021; Accepted 24 March 2022
Available online 28 March 2022
0013-7952/© 2022 The Authors. Published by Elsevier B.V. This is an open access article under the CC BY license (http://creativecommons.org/licenses/by/4.0/).
T.A.V. Gaspar et al. Engineering Geology 303 (2022) 106647

soil was described in situ as being a stiff, fissured and slickensided black
List of notations clay containing scattered fine nodular calcrete (Day, 2020). The site was
visited after wet and dry seasons to determine the range of water content
σ v′ vertical effective stress and matric suction that is likely to be experienced within a given year.
e void ratio These investigations illustrated seasonal variations in gravimetric water
mv coefficient of volume compressibility content and matric suction of approximately 30–40% and 4–2.5 MPa
cv coefficient of consolidation respectively. Measurements of matric suction were conducted using the
ksat saturated hydraulic conductivity filter paper method in accordance with ASTM D5298–16 (ASTM, 2016).
e100* void ratio on ICL at vertical effective stress of 100 kPa Furthermore, the results of wax density testing indicated an average
e1000* void ratio on ICL at vertical effective stress of 1000 kPa bulk density of the order of 1805 kg/m3.
Cc* intrinsic compression index Basic classification tests were performed to establish the soil’s par­
eL void ratio at the liquid limit ticle size distribution (by method of sieving (ASTM, 2017a) and hy­
Cc compression index drometer (ASTM, 2017b), Atterberg limits (ASTM, 2017c) and specific
Ce expansion index gravity (ASTM, 2014a). These results, as well as the unified soil classi­
p net-mean stress fication (ASTM, 2017d) are presented in Fig. 1 and Table 1. X-ray
σvy1′ yield stress accounting for swell induced softening diffraction testing to determine the mineralogical composition of the
(determined from 1D compression) clay was performed on the same site by a previous researcher, the results
σvy2′ predicted yield stress of an unstructured soil having not of which are shown in Table 2.
undergone swell (determined from 1D compression) The experimental programme carried out considered undisturbed,
compacted and reconstituted specimens. Undisturbed specimens were
prepared from block samples. The reconstituted sample was prepared by
producing a slurry at a water content of 1.1 times the soil’s liquid limit
mechanical properties of the undisturbed and laboratory compacted (LL) in accordance with the framework outlined by Burland (1990).
samples. Following preparation of the sample, a one-dimensional consolidation
Swell characteristics were assessed using two conventional ap­ test was performed. The results from this test allowed the intrinsic
proaches, namely wetting after loading (swell under constant load) and properties of the clay to be quantified and compared to a range of pre­
loading after wetting (swell followed by consolidation) tests (ASTM, viously documented clays. A characteristic of the intrinsic compression
2014a). In addition to conventional consolidation tests which were line (ICL) is that it illustrates the characteristics of the tested clay
performed on undisturbed and compacted samples, the intrinsic prop­ without the effects of structure.
erties of the clay were measured on a reconstituted sample in accordance A typical feature of expansive clays in situ is that they tend to possess
with the framework outlined by Burland (1990). Testing of a recon­
stituted specimen provides a useful reference framework against which
the effects of soil structure of undisturbed and compacted samples were Table 1
Soil classification data.
compared.
Liquid limit (%) 92
2. Sampling, preparation and testing procedures Plasticity index 55
Linear shrinkage (%) 25.5
Activity 0.8
The clay tested in this study was sampled from an expansive clay Specific gravity 2.65
profile, from a depth of between 0.5 and 1.5 m below ground level. This Unified soil classification CH

Fig. 1. Particle size distribution.

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T.A.V. Gaspar et al. Engineering Geology 303 (2022) 106647

Table 2 compacted samples are illustrated in Fig. 2 and can be described as

Mineralogical composition based on X-ray diffraction follows. Wetting after loading tests (ASTM, 2014a, 2014b) or swell under
(after Moses, 2008). constant load tests (as they are sometimes referred to in the literature)
Mineral Composition (%) were conducted at various applied stresses. Such tests involve placing a
Smectite 58
sample in the oedometer at its in-situ water content, applying a pre­
Palygorskite 19 determined stress (referred to as the soaking stress), and then flooding
Calcite 5 the oedometer housing with distilled water. Upon inundation, an in­
Plagioclase 5 crease in volume is typically expected at relatively low stresses (Path
Quartz 4
AB). However, if the soaking stress at the start of testing is greater than
Enstatite 4
Kaolinite 3 that required to keep the volume of the sample constant (i.e. swell
Diopside 2 pressure), then a reduction in volume will be observed.
The purpose of conducting this test at a range of stresses is therefore
to assess both the magnitude of swell expected at various depths, and to
a highly fissured macrofabric. This creates difficulties from the determine the stress required to completely prevent swell (i.e. the swell
perspective of sampling since the clay tends to break apart along its pressure). Predictions of swell at various depths which are based on such
fissures, creating a tendency towards stronger, less fissured samples laboratory measurements are however, only applicable to that portion of
(Thorne, 1984). Furthermore, this loss in macrofabric which occurs the profile having similar properties to the samples tested. Site in­
during sampling, can significantly affect measurements of soil properties vestigations revealed that the profile was homogeneous up to a depth of
related to the movement of water (Toll et al., 2018; Novak et al., 2000; 5.5 m (corresponding to an overburden stress of approximately 100
Van Genuchten et al., 1999). Recognising these difficulties, preparation kPa). Tests conducted at applied stresses exceeding this value served the
of the compacted samples was performed with the goal of producing purpose of establishing the swell pressure.
samples with a fissured macrofabric. To achieve this, intact masses of Following the swell tests, the same samples were subjected to one-
clay were broken down with a cheese grater at their in-situ water con­ dimensional consolidation (Path BC). For samples which underwent
tent (approximately 31%) and statically compacted to a targeted dry swell during the first phase of testing, consolidation was performed until
density of 1350 kg/m3. This created a macrofabric consisting of ‘fissures’ volumetric strains reached or surpassed 0% (i.e. the initial sample vol­
which were much more closely spaced than may be achieved from the ume prior to flooding). After consolidation, the samples were unloaded
retrieval of ‘undisturbed’ specimens. entirely, until only the weight of the top cap remained (Path CD). In
The targeted initial water content and dry density were representa­ addition to providing information on yield stresses and the slopes of
tive of the measured in-situ clay properties at the end of the dry season. normal consolidation and swelling lines, the consolidation tests per­
The rationale for targeting in-situ properties related to this season is that formed on samples inundated at a soaking stress of 12.5 kPa served as a
it provides the most critical scenario if swell properties are to be secondary check on the clay’s swell properties. In accordance with
measured (i.e. assessing the soil in its driest practical state allows for the ASTM D4546–14 (ASTM, 2014b), this approach to swell testing is
largest estimates of swell magnitude and swell pressure to be obtained). referred to as the loading after wetting approach, however it is sometimes
To allow for comparison of the swell characteristics, the initial void referred to as swell followed by consolidation (Schreiner, 1988) or the
ratio and water content of the compacted specimens were kept as close single oedometer test (Jennings et al., 1973). For samples which under­
to in-situ conditions as possible. The preparation procedure imple­ went compression during the flooding process, no additional stresses
mented in this study is in contrast to more typical approaches whereby were added and, as for the other samples, stresses were incrementally
air-dried soil is mixed with a predetermined quantity of water, allowed removed. For these tests, only Path CD in Fig. 2 is applicable. Table 3
to equilibrate and compacted to a target density. A drawback of this illustrates the initial properties of all samples tested.
more commonly used approach is that it results in a fabric with mac­
ropores which are relatively isolated. This is in contrast to the fabric type
3. Results and discussion
more commonly associated with expansive clays which has a series of
interconnected pores (i.e. fissures) that more easily facilitate the ingress
3.1. Consolidation test on reconstituted sample
of water.
Stress paths describing the testing sequence for undisturbed and
Consolidation of the reconstituted sample was conducted up to a

Table 3
Initial sample properties.
Description Soaking Void Gravimetric water Degree of
stress (kPa) ratio, ei content, wi (%) saturation, Sri

Compacted 12.5 0.969 33.6 91.9

Compacted 25 0.971 33.6 91.6
Compacted 50 0.908 30.3 88.5
Compacted 100 0.938 32.2 90.9
Compacted 200 0.973 34.7 94.4
Compacted 300 1.037 34.7 88.6
Compacted 400 1.027 34.7 89.4
Undisturbed 12.5 0.939 31.5 89.0
Undisturbed 25 0.888 30.3 90.5
Undisturbed 50 0.817 29.5 95.6
Undisturbed 100 0.889 30.2 90.2
Undisturbed 200 0.901 29.9 87.8
Undisturbed 300 0.992 30.3 81.0
Undisturbed 400 1.020 32.0 83.2
Undisturbed 500 1.068 30.8 76.3
Reconstituted NA 2.481 98.5 105.2a
a
Fig. 2. Stress paths undertaken for all samples (excluding the recon­ This value can possibly be attributed to a slight error in the measured void
stituted sample). ratio which can be problematic for a slurry.

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T.A.V. Gaspar et al. Engineering Geology 303 (2022) 106647

maximum stress of 1 MPa, with an average of 48 h allowed between load state.

increments. The results of this test are presented in Fig. 3. Apart from The framework outlined by Burland (1990) is defined in terms of the
illustrating the relationship between vertical effective stress (σv′ ) and intrinsic void ratios e100* and e1000* which correspond to the void ratios
void ratio (e) in Fig. 3(a), other fundamental parameters are presented in at vertical effective stresses of 100 and 1000 kPa respectively, and the
Fig. 3(b–d) such as the coefficient of volume compressibility (mv), the intrinsic compression index, Cc* = e100* − e1000*. In his original publi­
coefficient of consolidation (cv) (calculated using the root-time (Tay­ cation Burland (1990) reported that the relationships between these
lor’s) method) and the saturated hydraulic conductivity (ksat). The intrinsic parameters and the soil’s void ratio at its liquid limit (eL) were
saturated hydraulic conductivity presented in the results was calculated reasonably well defined. In a more recent publication, Al Haj and
using consolidation theory (ksat = cv. mv. γ w). While such a measurement Standing (2015) added the results of two Sudanese clays to Burland’s
of hydraulic conductivity is less accurate than measurements performed original dataset. This plot has been reproduced in Fig. 4 to determine
using the triaxial apparatus, it provides a rough indication of this clay’s whether the results of the South African clay tested in this study con­
hydraulic conductivity to place it in context with other clays reported in forms to the original framework. The solid lines in Fig. 4 are the
the literature. The results presented in Fig. 3 are referred to as intrinsic empirical relationships established by Burland (1990) while the broken
clay properties since they are inherent to the soil type and independent lines present the work of Nagaraj and Srinivasa Murthy (1986) who
of its natural state (Burland, 1990). Such a result is therefore useful in established a relationship between the ratio e/eL and σ v′ based on con­
characterising various soil properties in the absence of structure. Since siderations of physical chemistry. It should be noted that the study
the correlations proposed by Burland (1990) have been shown to apply conducted by Hong et al. (2010) considered intrinsic parameters for
for a wide range of soil types, if the results of a consolidation test on a samples reconstituted at a range of water contents. However, for the
reconstituted sample can be shown to conform to the proposed frame­ purposes of this study, only those reconstituted at a water content of 1.3
work, it eliminates the need to perform large numbers of tests (as times the clays’ liquid limits (LL) were considered since they fall within
highlighted by Al Haj and Standing, 2015).Arguably the most striking the range specified by Burland (1990) (between LL and 1.5LL). Also
result from Fig. 3 is the extremely low saturated hydraulic conductivity included in Fig. 4 are results of Boston Blue Clay (Cerato and Lutenegger,
(10− 10 to 10− 12 m/s). Considering the prominence of montmorillonite in 2004) and Kleinbelt Ton (Hvorslev, 1937).
this soil type, such a result can be expected for samples in an unfissured The results presented in Fig. 4 illustrate that the intrinsic properties

Fig. 3. One-dimensional consolidation test results of a sample prepared at 1.1wL illustrating the relationship between σv′ and a) e, b) mv, c) cv and d) ksat.

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T.A.V. Gaspar et al. Engineering Geology 303 (2022) 106647

Fig. 4. Relationships between eL and the intrinsic parameters a) e100* and b) Cc* (after Al Haj and Standing, 2015).

of the clay investigated for this study conform well with Burland’s profile, and to assess the pressure required to prevent swell (i.e. the swell
framework. By illustrating close conformity to the dataset presented in pressure). The results of swell versus time for the compacted and un­
Fig. 4, the intrinsic compression line (ICL) can be confidently used to disturbed material are presented in Fig. 5. Fig. 6 summarises the final
assess the effects of structure and yielding of the compacted and un­ strains achieved for the various tests in the form of ‘soaking under load’
disturbed samples. curves.
On the swell versus time plots presented in Fig. 5, it can be seen that a
constant value of volumetric strain was achieved by the end of testing.
3.2. Determination of swell properties
The final amount of strain seen in these two figures is subsequently
presented in Fig. 6 as discrete points. Best fit linear regression curves
Wetting after loading tests were performed to determine the amount
have been fitted through the data for compacted and undisturbed
of swell that could be expected at various depths throughout the clay

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T.A.V. Gaspar et al. Engineering Geology 303 (2022) 106647

Fig. 5. Swell versus time under constant vertical stress for a) compacted and b) undisturbed samples.

will, over a geological time frame, undergo many cycles of swelling and
shrinking. It should however be highlighted that this natural reworking
process does not necessarily break down structure to the same extent as
what is achieved during the preparation of a reconstituted specimen.
Recognising this explanation, the findings of this study and of those
reported, it would appear that changes in structure/fabric induced in the
laboratory by grating and compaction, have minimal effect on the
observed swell characteristics, provided that water contents and den­
sities are similar.
After undergoing swell under various applied vertical stresses, the
samples presented were subjected to one-dimensional consolidation
tests. These consolidation tests were performed to investigate a range of
soil parameters, the first of which was to provide a check on the swell
pressure and swell potential at various applied stresses using the loading
after wetting ASTM (2014b) approach.

3.3. Loading after wetting

Fig. 6. Soaking under load curves for compacted and undisturbed samples. In addition to the soaking under load curve presented in Fig. 6, a
clay’s swell characteristics can be evaluated using the loading after
samples respectively. Both Figs. 5 and 6 illustrate the effect of soaking wetting approach (ASTM D4546–14, 2014b). This test method typically
stress on the magnitude of volumetric strain. At low soaking stresses, involves inundating a sample under a small seating stress, and then,
samples experienced relatively high values of swell which decreased as once the sample begins to exhibit negligible changes in volume with
the soaking stress increased. This reduction in swell was observed until time, consolidation is performed in the conventional manner. While
the magnitude of soaking stress was sufficient to induce compression of different seating stresses have been used by various researchers (1 kPa
the sample upon inundation. (Jennings and Knight, 1957) and 6 kPa (Sridharan et al., 1986)), the
Fig. 6 illustrates how the general trends in swell characteristics be­ general approach to this testing method is to use a “small” seating stress.
tween undisturbed and laboratory compacted samples are similar. Not Research by Justo et al. (1984) revealed that this approach to quanti­
only was the magnitude of swell achieved at all soaking stresses similar fying swell characteristics generally produces results which are inde­
for the compacted and undisturbed samples, but the swell pressure also pendent of the seating stress, so long as this stress is greater than 5 kPa
remained close. Using the regression curves plotted in Fig. 6, the stress and less than the swelling pressure.
required to achieve 0% volumetric change was 329 and 392 kPa for the For this reason, only the samples inundated under a soaking stress of
compacted and undisturbed specimens respectively. While perhaps 12.5 kPa (the smallest of those considered in this study) were considered
counterintuitive, this finding is one which has been observed in the applicable for this purpose. The loading portion of these consolidation
literature. In studying the effects of fabric on the swelling characteristics tests for both the compacted and undisturbed samples is shown in Fig. 7
of highly plastic clays, Armstrong and Zornberg (2017) concluded that (the prefix “C” and “U” is used in the legend to denote compacted and
soil fabric did not affect the magnitude of swell for laboratory prepared undisturbed specimens respectively). These results have been super­
specimens. Furthermore, Brackley (1983) reported “no difference be­ imposed onto the soaking under load curves. This super-imposition al­
tween swell of undisturbed and remoulded samples at similar densities lows for a comparison of swell magnitude and swell pressure predicted
and moisture contents”. Brackley (1983) attributed this finding to the by the two test methods.
fact that highly expansive soils tend to have a reworked macrostructure From Fig. 7 it can be seen that the loading curves reach a volumetric
in situ. Such an explanation is supported by the fact that swelling clays strain of 0% at a pressure of 260 and 300 kPa for the undisturbed and
compacted samples respectively. These values, while slightly lower than

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T.A.V. Gaspar et al. Engineering Geology 303 (2022) 106647

swell rather than compression, were subjected to conventional one-

dimensional consolidation testing. The results of consolidation tests of
both the compacted and undisturbed samples are shown in Fig. 8
(stresses denoted in the legend of this figure are a reference to the
soaking stresses applied during wetting after loading tests) along with
the intrinsic compression line (ICL) as determined from the recon­
stituted sample. By including the ICL on this figure, the effects of
structure can be more closely evaluated. It should be highlighted that for
samples which underwent compression during inundation, no loading
stages were included. For this reason, the 400 kPa and 500 kPa samples
in Fig. 8(a and b) respectively illustrate only unloading stages.
Furthermore, Fig. 9 presents a comparison of the compression (Cc)
and expansion (Ce) indices of the compacted and undisturbed specimens.
Since the slope of the compression line varied throughout the loading
process, the values presented in Fig. 9 were calculated from the last
loading increment. Since the samples were not loaded to higher stresses
and their slopes had not yet converged to a single value, the reported Cc
values should be interpreted as merely an indication of loading stiffness
at the final stress increment. Conversely, Ce was observed to be constant
Fig. 7. The results of consolidation tests superimposed onto soaking under load
during unloading, and was therefore calculated using the first and last
curve (C – compacted; U – undisturbed).
data point of the unloading curve. Also included in Fig. 9, for the sake of
comparison, are the compression and expansion indices of the recon­
that predicted by the soaking under load curve, do compare well with
stituted specimen. Since the value of ‘soaking stress’ is not applicable to
the former approach from a practical engineering perspective. It is worth
this test, these values have merely been indicated as constant, horizontal
noting however that this finding is contrary to that reported by Srid­
dashed-dot lines, being denoted with a prefix “R” in the legend
haran et al. (1986) who noted that the loading after wetting test and
When assessing the behaviour of structured soils, it is useful to
swell under load curve produced upper and lower bounds for mea­
consider the existence of two yield points, relating to a structured and
surements of swell pressure respectively. Detailed comparisons of the
destructured soil respectively. Vaughan et al. (1988), when considering
two testing approaches lie outside the scope of this study and further
the behaviour of residual soils, postulated the existence of a first yield,
research on this matter is required.
corresponding to the stress at which bonds start to fail, and a second
Fig. 7 illustrates how the two methods predict similar values of swell
(more significant) yield which occurs when the stress applied to the
potential across the range of vertical effective stresses considered. In line
bonds equals the bond strength.
with previous studies, the loading after wetting tests generally plot
Following second yield, Vaughan et al. (1988) stated that the
above the soaking under load curve in the swelling zone (Al Haj and
compression curve of the bonded specimen would converge with that of
Standing, 2015; Justo et al., 1984; Justo and Saetersdal, 1981). The
the destructured (intrinsic) compression line. When the second yield
largest difference in volumetric change predicted within the stress range
stress occurs to the right of the ICL, as is observed for some of the un­
considered was for the undisturbed specimens at a vertical effective
disturbed specimens presented in Fig. 8, it is said to exist in “structure
stress of 400 kPa. The discrepancy at this stress was approximately 3%
permitted space”, a phenomenon which is described in more detail in the
volumetric strain.
following section. However, as observed in Fig. 8, the compacted spec­
The two swell tests presented in this study represent stress paths
imens exhibit progressive yielding to the left of the ICL. At increasing
which are better suited to different construction sequences. The wetting
loads, the slope of the normal consolidation line for the compacted
after loading approach arguably presents the most commonly applicable
specimens approaches that of the ICL. This gradual yielding is attributed
construction sequence whereby the soil experiences an increase in water
to the progressive disruption of structure as the samples undergo
content after a structure has been built. Conversely, the loading after
compressive strains. This phenomenon whereby compression of a
wetting represents a case whereby the soil is pre-wetter prior to con­
structured sample exhibited yielding to the left of the ICL, followed by
struction (Schreiner and Burland, 1991). However, both of these ap­
convergence with the normal consolidation line of the destructed ma­
proaches suffer from the same drawback of reducing a sample to a state
terial was described by Vaughan et al. (1988).
of zero suction (Schreiner, 1988). For this reason, these tests should only
It is also worth noting that upon unloading, both the undisturbed and
be regarded as indicator tests of a worst-case scenario. In spite of this
compacted specimens illustrate lower expansion indices (Ce) than that
limitation, it is however useful to note that both approaches produce
measured on the reconstituted specimen. This result can also be attrib­
similar predictions. An alternative approach to these measurements is to
uted to the retention of some original structure which, despite under­
use suction or moisture controlled oedometers (Justo et al., 1984;
going swelling and compressive strains, was not completely disrupted by
Schreiner, 1988). Such equipment is however, not readily available to
the end of testing. Values of Ce also remain relatively consistent between
geotechnical practitioners (Day, 2017). It is therefore useful to highlight
the compacted and undisturbed samples indicating a similar degree of
any limitations or discrepancies among the more commercially available
structure for both groups of specimens.
conventional swell testing.
These results illustrate that despite the limitations of the aforemen­
3.5. Structure permitted space
tioned testing methods, for the soil tested in this study, the two ap­
proaches produce consistent results. Over and above the validity of the
Drawing on the observations made by Leroueil and Vaughan (1990),
two testing methods, the results further illustrate that the sample
Fig. 10 illustrates the behaviour that may be expected for a structured
preparation procedure managed to retain key properties of the expan­
and unstructured soil. Firstly, Fig. 10 illustrates the results of a recon­
sive clay.
stituted specimen. Consolidation of such a specimen would result in a
straight diagonal line separating possible stress states on the left from
3.4. Consolidation testing impossible stress states on the right. If an overconsolidated, unstruc­
tured soil is subjected to a one-dimensional consolidation test, the case
Following the swell under load tests, all samples which underwent illustrated in Fig. 10(a) would be expected. With an increase in load, the

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T.A.V. Gaspar et al. Engineering Geology 303 (2022) 106647

Fig. 8. Results of one-dimensional consolidation tests following swell under constant load for a) compacted samples and b) undisturbed samples.

space as illustrated in Fig. 10(b). Such a soil can exist in structure

permitted space until such point that structure is destroyed, after which
the stress path will converge with, and follow the NCL defined by the
reconstituted specimen.
Fig. 8(a) presents the results of consolidation tests conducted on the
compacted samples after being allowed to swell under various soaking
stresses. From this figure it is clear that all samples lie within permissible
stress states. Fig. 8(b) illustrates consolidation tests performed on un­
disturbed samples. From this result, it can be seen that while most
samples lie within permissible stress states, those inundated at soaking
stresses of 300 and 400 kPa exist in structure permitted space. Such a
result is consistent with the proposition of Leroueil and Vaughan (1990)
that structure should be considered a function of strain. The two samples
which plotted in structure permitted space were also the two samples
which experienced the least amount of volumetric strain during the
swell under load tests (see Figs. 5 and 6). As a result, a greater amount of
structure was preserved in these specimens.
By recognising the preservation of structure in clays where swell is
restricted, it follows that an investigation of structure can possibly assist
Fig. 9. Comparison of swelling and compression indices for compacted (C) and in defining the active zone in an expansive clay profile. The active zone,
undisturbed (U) specimens. R denotes a reconstituted specimen. commonly defined as the portion of a clay profile undergoing seasonal
swell and shrinkage, is likely to undergo a reworking process over time.
void ratio would reduce at a rate dictated by Ce until the normal This mechanical process can result in the disruption of structure. This is
consolidation line (NCL) of the reconstituted specimen was reached. supported by the results presented in Figs. 5 and 6 where it is shown that
After this point, the stress path would follow the same trajectory as the samples retrieved from the upper portion of the soil horizon illustrate
reconstituted sample. However, the study conducted by Leroueil and remarkably similar swell characteristics, regardless of whether the
Vaughan (1990) illustrated that a sample could exist at seemingly specimens were undisturbed or statically compacted.
‘impossible states’ if the soil was structured. In their publication, Ler­
oueil and Vaughan (1990) defined this region as structure permitted

Fig. 10. One dimensional consolidation of a) an unstructured and b) a structured soil.

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T.A.V. Gaspar et al. Engineering Geology 303 (2022) 106647

3.6. Yielding

The consolidation results presented in Fig. 8 illustrate different yield

stresses for the various samples. Variation in the initial void ratio at the
start of a consolidation test will result in different measured yield
stresses. However, as described by Gens and Alonso (1992) the struc­
tural rearrangement that occurs as a result of macroscopic volumetric
change (i.e. swell) can also reduce the yield stress of a clay. This can be
described using the Extended Barcelona Basic Model for expansive clays
(BExM) as formulated by Gens and Alonso (1992). Using the constitutive
relationships outlined by the BExM framework, a conceptual description
of swell induced softening is provided in Fig. 11. To illustrate this
concept, consider an element of soil, initially at Point A, with its load-
collapse yield curve at position LCA.
If the suction within this soil element is reduced to Point B (under a
constant net-mean stress of pA), swelling will occur within the micro­
fabric. While the BExM formulation states that microscopic de­
formations are independent of the macrofabric, the opposite is not true.
Swelling strains at the microscopic level will act to increase the
Fig. 12. Reduction in yield stress due to swell.
macroscopic void ratio which is reflected by softening of the clay.
Graphically this can be illustrated by recognising a reduction in suction
swell.
from Point A to Point B is accompanied by movement of the LC yield
Another aspect of importance is the ability to assess the position of a
curve to the left (i.e. to position LCB). This swell induced softening is
given stress state in relation to its yield curve. This relationship is pro­
positively correlated with the magnitude of swell experienced within the
vided in Fig. 14 where macroscopic swell is plotted as a function of the
element of soil.
ratio of current vertical stress to the yield stress of the sample (σv′ /σ vy′ ).
To investigate this relationship quantitatively, consider the results of
In the original BExM formulation, consideration is given to both
two consolidation tests presented in Fig. 12. This figure illustrates both
macro and microscopic strains. Whilst an adequate description of the
the intrinsic compression line (ICL) and the consolidation test performed
microfabric has been shown to be useful in describing certain factors
on the compacted sample allowed to swell under a soaking stress of 12.5
such as strain irreversibility, hydraulic conductivity and various stress
kPa. To determine the yield stress of this sample the conventional
path dependencies (Alonso et al., 2013; Romero and Simms, 2008),
Casagrande (1936) construction was used. The yield stress determined
experimental measurements at the microscopic scale require sophisti­
in this manner (σ vy1′ ) accounts for swell induced softening. In order to
cated equipment (Lourenço et al., 2008; Romero and Simms, 2008). It is
determine where the sample would have yielded, had it not undergone
therefore useful to be able to deduce criteria governing hardening
swell, a straight line was drawn from the initial void ratio of the sample
plasticity of a given clay with conventional testing equipment as illus­
(at a slope of Ce) to the ICL (Line AB). The intersection of this line and the
trated in Fig. 14. It is also worth noting that the relationship provided in
ICL was then taken as the predicted yield stress for an unstructured
Fig. 14 is similar in shape to that conceptualised by Gens and Alonso
specimen in the absence of swell (σ vy2′ ). The aforementioned procedure
(1992).
was carried out for all samples tested and the results are presented in
Fig. 13.
4. Conclusions
From Fig. 13 there are several trends which can be observed. Firstly,
it is clear that swell does result in a significant reduction in yield stress. A
The mechanical properties of a black expansive clay from the Lim­
quantitative description of this reduction is however less obvious for the
popo province of South Africa have been presented. By means of con­
dataset provided. For the compacted specimens it appears that beyond
ventional oedometer testing, various mechanical characteristics have
approximately 8% swell, there is little additional reduction in yield
been investigated for undisturbed, compacted and reconstituted
stress. Such a non-linear trend is intuitively plausible since it indicates a
specimens.
limiting value to which yield stress can reduce due to swell. It is however
The study showed that a number of key mechanical properties
not clear from the data that the same trend is followed for undisturbed
remain, for all practical purposes, unchanged by laboratory preparation
samples. While the observed scatter in predicted yield stresses in Fig. 13
and compaction. This finding is attributed to the fact that expansive soils
(b) can be attributed to differing initial void ratios at the start of
undergo many drying and wetting cycles throughout their geological
consolidation, more testing is required to definitively establish a rela­
lifetime and as such, occur in a reworked state in situ. Key properties
tionship between reduction in yield stress due to swell and magnitude of
which were observed to remain almost unchanged between undisturbed
and compacted specimens include, swell potential (from an unsaturated
state), swell pressure and saturated compression and expansion indices.
Comparison of consolidation tests on undisturbed and compacted
specimens with that of a reconstituted specimen allowed for the effects
of structure to be investigated. All samples illustrated a gradual yielding
process occurring before reaching the intrinsic compression line (ICL).
Such a relationship can be attributed to the gradual disruption of
structure with increasing compressive strains. After consolidation, it was
found that expansion indices (Ce) for all samples were approximately the
same. These values of Ce were however found to be slightly less than that
measured on a reconstituted specimen illustrating some preservation of
structure at the end of testing.
For the range of consolidation tests conducted (on compacted and
undisturbed samples), only two specimens were found to exist in
Fig. 11. Swell induced softening (after Gens and Alonso, 1992).

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T.A.V. Gaspar et al. Engineering Geology 303 (2022) 106647

Fig. 13. Reduction in yield stress due to swell for a) compacted and b) undisturbed samples.

Declaration of Competing Interest

The authors declare that they have no known competing financial

interests or personal relationships that could have appeared to influence
the work reported in this paper.

Acknowledgements

The authors also thank Dr Gerrit Smit of the University of Pretoria for
his valuable insights throughout this study. This work was funded by the
UK Engineering and Physical Sciences Research Council (EPSRC) under
the Global Challenges Fund programme for a project entitled ‘Devel­
oping Performance based design for foundations of wind turbines in
Africa (WindAfrica)’, Grant Ref: EP/P029434/1. The first author would
also like to acknowledge the Newton Fund UnsatPractice PhD exchange
programme (grant Ref: ES/N013905/1), which enabled him to spend six
months at Durham University during his PhD study at the University of
Pretoria.

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