CJCC CONCEPT AND K0 DURING

SECONDARY COMPRESSION
By G. Mesri, 1 M. ASCE, and A. Castro 2
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ABSTRACT: The CJCC concept, which completely defines secondary compres-

sion behavior of any one soil in terms of a constant Ca/Cc and the EOP e-Iog
cr£, is a powerful practical tool for settlement analysis and interpretation of data
from load-controlled and deformation-controlled consolidation tests. The cor-
rect procedure for evaluating CJCC for any soil is described. The CJCC concept
was used to obtain an expression for the behavior of the coefficient of earth
pressure at rest, K„, during secondary compression. This approach predicts an
increase in K„ during secondary compression. This approach also predicts that
the K„ = 1 condition will not be reached during the typical geologic age of soft
clay deposits. Laboratory measurements on the behavior of K0, including dur-
ing secondary compression, are presented for four soft clays. The proposed
approach also provides an estimate of in situ K„ in soft clay deposits. Two al-
ternative laboratory procedures were used to determine in situ K0 for four soft
clays. These values compare well with the predictions.

INTRODUCTION

The Ca/Cc concept was developed by Mesri and Godlewski (24) for
the analysis of secondary settlement. The concept is based on the ob-
servation that the magnitude and behavior of C„ with time is directly
related to the magnitude and behavior of Cc with consolidation pressure.
In general, C„ remains constant, decreases, or increases with time, in
the range of consolidation pressure at which Cc remains constant, de-
creases, or increases with a'v, respectively. The value of Ca/Cc together
with the end-of-primary (EOP) e-log v'v curve completely defines the sec-
ondary compression behavior of any one soil.
Since the publication of Mesri and Godlewski (24), additional data on
a wide range of geotechnical materials have been evaluated (21). For a
variety of natural materials, including peats, organic silts, highly sen-
sitive clays, shales, as well as granular materials, the values of Ca/Cc are
in the remarkably narrow range of 0.02-0.10. For a majority of inorganic
soft clays:
C
— = 0.04 ± 0.01 (1)
and for the highly organic plastic clays:
C„
— = 0.05 ± 0.01 (2)
'Prof., Dept. of Civ. Engrg., Univ. of Illinois at Urbana-Champaign, Urbana,
IL 61801.
2
Research Asst., Dept. of Civ. Engrg., Univ. of Illinois at Urbana-Champaign,
Urbana, IL 61801.
Note.—Discussion open until August 1, 1987. To extend the closing date o n e
month, a written request m u s t be filed with the ASCE Manager of Journals. The
manuscript for this paper w a s submitted for review a n d possible publication on
March 24, 1986. This paper is part of the Journal of Geotechnical Engineering,
Vol. 113, N o . 3, March, 1987. ©ASCE, ISSN 0733-9410/87/0003-0230/$01.00. Pa-
per No. 21323.

230

J. Geotech. Engrg. 1987.113:230-247.

 The CJCC concept h a s b e e n u s e d to predict a n d explain observed sec-
ondary compression behavior in laboratory one-dimensional compres-
sion tests a n d u n d e r e m b a n k m e n t loading in the field (16,24,25). The
concept has also b e e n u s e d to explain the shape of the settlement curve
in transition from the primary to secondary consolidation stage (16,
18,24,25). The Ca/Cc concept, along with a reliable theory for time-rate
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of primary consolidation, is r e c o m m e n d e d as a practical tool for evalu-

ating the significance of secondary settlement in field situations (19). In
the present paper, the CJCC concept is used to predict the behavior of
K0 during secondary compression.

How TO EVALUATE Ca/Cc

The postulate on the unique relationship between the secondary

compression index a n d the compression index w a s stated by Mesri a n d
Godlewski (24) using the following definitions for C„ a n d Cc:
de
Ca = — — (3)
d log t
de
Cc = ; (4)
d log v'v
where e = void ratio; t = time; a n d <J'V = effective vertical stress. The
purpose of these definitions, which apply b o t h to the recompression a n d
compression ranges, a n d Fig. 1 of Ref. 24 were to emphasize that each
corresponding pair of C 0 a n d C c at any instant (e, a'v, t) during secondary
compression, represent the slopes of t h e e-log t a n d e-log a'v curves pass-
ing through that point. However, e-log t a n d e-log a'v data from labo-
ratory consolidation tests are seldom expressed in terms of analytical
equations. The c o m m o n practice is to present the results in a graphical
form using a finite n u m b e r of data points. Therefore, rather than ob-
taining Ca a n d C c by analytical differentiation, as is suggested by Eqs.
3 a n d 4, they are evaluated graphically using the following equations:
Ae
c = (5)
w
A log t
Ae
Cc = — ; (6)
A log <s'v
The correct graphical procedure is s h o w n in Fig. 1, using compression
curves for three consolidation pressures. Three or four pairs of values
of Ca and Cc are generally sufficient for evaluating Ca/Cc for any one
soil. The value of Ca at each consolidation pressure u'v is obtained from
the linear segment of the e-log t curve immediately beyond the transition
from primary to secondary compression. The corresponding value of C c
at the same consolidation pressure is obtained from the slope of the EOP
e-log v'v curve. For the three consolidation pressures in Fig. 1, the e-log
t a n d e-log cri segments that correctly define the corresponding values
of Ca a n d Cc are indicated by thick lines. Only about one log time cycle
of secondary compression is required for defining the Ca that corre-
sponds to the Cc from the EOP e-log u'v curve. In Fig. 1, longer durations

231

J. Geotech. Engrg. 1987.113:230-247.

 EOP e-log cr(,
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Slope = C c

logt log <rv

FIG. 1.—Corresponding Values of C„ and Cc at Any Instant (e,<j'v,t) during Sec-

ondary Compression

of secondary compression are shown in order to illustrate the general

relationship between Ca and Cc during the secondary compression (24).
The three corresponding values of Ca and Cc at the third consolidation
pressure are indicated in Fig. 1. Note that at this consolidation pressure
[CJ, > [Ca]2 > [Ca], (7)
and [C c ], > [Ce]2 > [Cc\ (8)

i^aJi L^al2 L^als

such that (9)
[Cc\ ICC]2 [Cc\
The (C a , Cc) data pairs should be plotted in a Ca versus Cc diagram.
The slope of the best fit line through the origin defines Ca/Cc. Fig. 2
shows typical Ca versus Cc data on three dramatically different geotech-
nical materials: a soft sensitive clay from eastern Canada, a tar sand from
California, and a highly plastic shale from Montana. The compressibility
data for the shale cover the recompression as well as the compression
range up to a pressure of 13.5 MPa. The main source of scatter in the
Ca versus Cc plot is in using (Ca, Cc) pairs that do not exactly correspond
to each other. In general, Ca is not a constant with time (16,24,25). For
example, in Fig. 1, Ca increases, remains constant, and decreases with
time at the first, second, and third consolidation pressures, respectively.
Therefore, in the range of consolidation pressure at which Cc changes
rapidly, care must be exercised in selecting the corresponding values of
Ca and Cc. This is especially true for highly structured clays near the
preconsolidation pressure where Cc abruptly increases from the re-
compression to the compression range and Ca increases with time.
An example of this type of behavior is shown in Fig. 3 for a structured
clay from eastern Canada. The procedure for selecting Ca and Cc in this
range of consolidation pressure has been described by Mesri and Choi
(21). Other factors that can contribute to the scatter in the Ca versus Cc
plot include chemical changes in the specimen, such as oxidation of or-
ganic soils or thixotropic changes (27) under laboratory conditions, or
232

J. Geotech. Engrg. 1987.113:230-247.

 0.07
Test No.
o BE-I
0.06 A -2 4 /
G -3
7 -4
0.05 -7
O

9 -8
/
4 -13
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g1 0.04 -14
» »7/ \
B -15
< 0.03 * -16 \-Ca/Cc=Q045
*^
o ^ O w0= 5 6 - 6 1 %
0.02 - B wfi = 4 6 %
wp= 247o
crp/<r'wo= 1.31
0.01

0,
t$E i 1 | 1 1 1 1
0 0.2 0.4 0.6 0.8 1.2 1.4
Cc = Ae/Alog a v

0.005 1 . 1
'
fl

Test No.
0.004 0 TR-I
0 -2
t. -3
e -4 $S
0.003
<7 s£\
V
/ C „ / C c = 0.035
0.002
•*"6o
Initial Properties
a°
D 0 Void Ratio = 0.504
— a
0 ^ Water Content =8.2%
Tar Content = 8.5 %
Degree of Saturation = 88 %
^ 1 I 1 1 1
0.06 0.08 0,12
Cc = Ae/Alog o-v

Test No.
0 BFPD-I
0 -2
& -3 s£
0.008 0 -4
» -5 ,/ ^ ^ C / C c = 0.029
/ • ^ w0 =29.4%
u/T Wj= 258%
0.004
ys ° wp= 4 4 %
°-p=4.8MPa
,/J-I 1 1 1 1 1 1 1 1
0.1 0.2 0.3 0.5
Cc = A e / A l o g o-v
(O

FIG. 2.—(a) Berthierville Clay; (b) Tar Sand; (c) Bearpaw Shale, Ft. Peck Dam

serious testing problems such as ring friction or deterioration of filter

paper. In order to minimize ring friction, it is recommended to use highly
polished stainless steel rings with a diameter to height ratio of three or
more, coated inside with a thin film of high vacuum silicon grease. The
233

J. Geotech. Engrg. 1987.113:230-247.

 Broadback Clay

300
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10 100 1000 lOflOO

Time, minutes

FIG. 3.—Example of C„ Increasing with Time

filter paper should be replaced by synthetic filter cloth (e.g., Tetko poly-
ester screen HD 7-6) in order to avoid deterioration and interaction of
the filter paper with the soil specimen.
Some confusion has resulted from the use of Eqs. 5 and 6 in place of
Eqs. 3 and 4. One discrepancy was brought to the attention of the first
author by G. A. Leonards, who had computed values of Ca/CC!lve using
the following equation:

— log I 1 + — (10)
r •'MOO \ Gvi

where Rs = secondary settlement per log cycle of time; and Rioo = set-
tlement during primary consolidation stage. The computed values of CJ
Ccave were both rather high and dependent on the load-increment ratio.
The difference between Cc and C cave , and therefore Ca/Cc and CJ
C cave , is shown in Fig. 4, which shows that CCRVe depends on both the
amount of secondary compression allowed under the previous incre-
ment and the load-increment ratio, ^a'Ja'm . For example, a common
procedure for performing the incremental loading consolidation test is
to maintain each pressure increment for 24 hrs. For most soft clays,
standard specimen sizes, and drainage boundary conditions, the primary
consolidation stage is completed in several hours and some secondary
compression is included in the 24-hr pressure increment duration. Thus,
as shown in Figs. 1 and 4, the e-logCT^curve for each pressure increment
consists of a recompression and a compression part (path abc). For this
type of loading, Ccave is expected to be smaller than Cc at cr^, at which
Ca is evaluated. Therefore, the values of CJCcave are expected to be
larger than those of CJCC. In addition, the difference between Ccave and
Cc is expected to increase as load-increment ratio decreases. In sum-
mary, CJCcave, which depends on both the loading history and pro-

234

J. Geotech. Engrg. 1987.113:230-247.

 o-vj <rvf
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Slope = C c
Ae 100

Slope = Cc<>ve

log o-v

FIG. 4 . ~ D i t f e r e n c e between Cc at a'vf and C „ v e for Ao-;,

cedure, is not a fundamental soil parameter, and in general it is not

equal to Ca/Cc.
A related problem came to the attention of the authors in the reply of
Graham, et al. (5) to a discussion by Mesri and Choi (21). Graham, et
al. (5) cited Leonards and Girault (13) to support their contention that
CJCC has higher values in the pressure range close to the preconsoli-
dation pressure, a'p . They were apparently referring to a single data point
on Rs/Rioo at a'v in Fig. 3 of Leonards and Girault (13). The problem with
such a line of reasoning is shown in Fig. 5 and can be explained by
rewriting Eq. 10 as follows:
C
(11)
Rim C<r / Ao-J,
log 1 + - r

Slope = C c

Slope = Cc°ve

jb A-Slope = Cc'»"

Slope = C c

log <rv

FIG. 5.—Significant Difference between C c and C cave for Consolidation Pressure

near a'

235

J. Geotech. Engrg. 1987.113:230-247.

 In order to simplify the discussion, Fig. 5 has been prepared assuming
that only primary consolidation is allowed under the pressure incre-
ments. Eq. 11 clearly shows that Rs/Rw0 is a function of CJCC as well
as Affi/ai, and Cc/Ccave. Thus, the behavior of Ca/Cc could not be in-
ferred from RjRiw unless the values of Aa^/a^, and Cc/Ccave are taken
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into account. Fig. 5 shows that, for the pressure increment from b to c
that ends near <J'V , the difference between Ccave and Cc becomes most
significant, and Cc/Ccave is always much higher than unity. Therefore,
Eq. 11 and Fig. 5 together explain the position of the single data point
in Fig. 3 of Leonards and Girault (13). It is clear that the confusion arises
from the use of Ccave in place of Cc.

K0 DURING SECONDARY COMPRESSION

One of the important implications of the CJCC concept is that the

overconsolidation resulting from secondary compression can be esti-
mated using the following equation (16,20,21):
/ v (C„/C c )/(1-C r /C c )

OCR = ^ c = - (12)
Vvi \tp/
where <J'W - preconsolidation pressure resulting from secondary com-
pression; <j'vi = consolidation pressure at which secondary compression
takes place; and tp = time required for the completion of primary con-
solidation. Note that whereas in all discussions of the Ca/Cc concept, Cc
represents the slope of the e-log v'v curve in both the recompression and
the compression ranges, the Cr/Cc term makes a distinction between the
recompression index, Cr, and the compression index, Cc. According to
Mesri and Rokhsar (26), the low values of Cr/Cc are generally associated
with clays that have developed preconsolidation as a result of secondary
compression.
An example of the preconsolidation pressure resulting from secondary
compression is shown in Fig. 6. The consolidation pressure was main-
tained constant at <r'vi = 95.8 kPa for t = 583 days. The primary consol-
idation was completed in tp = 200 min. For Brown Mexico City clay the
value of CJCC = 0.046 (25) and Cr/Cc = 0.06. Eq. 12 predicts a o'vc/a'vi
= 1.50, which compares very well with a value of 1.6 from the reloading
curve in Fig. 6. Similar laboratory data on other soft clays suggest that
generally Eq. 12 slightly underestimates measured v'vclv'vi, probably be-
cause it does not include the thixotropic increase in interparticle resis-
tance during the aging process.
Schmertmann's "simple question" (28) has generated considerable in-
terest on the behavior of the coefficient of earth pressure at rest, K0,
during secondary compression (6,7,8,29). The majority of published ex-
perimental results show an increase in K„ with time for the normally
consolidated young clays. However, the suggestion by Kavazanjian and
Mitchell (7) that K0 for the normally consolidated clays will increase to
"a value of 1.0 over geologic time" has met considerable disapproval
(4,6,12).
The increase in K0 with time can be determined by combining Eq. 12
with an empirical equation by Schmidt (30) modified by Mayne and Kul-
hawy (14), which relates K0 to OCR:
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J. Geotech. Engrg. 1987.113:230-247.

 -i 1—i i i i i r | 1—i—r

Brown Mexico City Clay

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l HI l
500

FIG. 6.—Preconsolidation Pressure Resulting from Secondary Compression

1
K0 = (1 - s i n <()') OCR sin<]>' (13)
Assuming that overconsolidation resulting from secondary compres-
sion is fundamentally similar to the overconsolidation that results from
unloading, then Eq. 12 can be substituted into Eq. 13 to obtain
/ \ [(C a /C e )/(l-C,/C c )]-sin+'

K0 = (l-sin<|>')(jj (14a)
If the value of K0 at the end of primary consolidation is known, a slightly
better form of Eq. 14 is
[<C a /C c )/(l-C,/C c )]-sin<|>'

K0 - [K0]„ (146)

Eq. 14b was used to predict the increase in K0 during secondary

compression for five natural soft clays, Tables 1 and 2. The results are
summarized in Table 2 and Fig. 7. For all five clays a value of Cr/Cc =
0.05 was used in the computations. In Table 2, Col. 5 shows the pre-
dicted rate of increase in K„/log cycle of time. Since Eq. 14b predicts a
slight increase in Ai<C0/A log t with time, the average value over four log
cycles has been listed in Col. 5. A typical geologic age for soft clays is
in the order of 10,000 yrs. Since deposition and primary consolidation
of clay sublayers in the field is expected to exceed one year, Col. 6 rep-

TABLE 1.—Soft Clays Used in Investigation

Soft clay Wo ( % ) w, (%) wp (%) <Tp/<C
(1) (2) (3) (4) (5)
Saint Alban 48-74 31-42 18-22 2.13-3.04
Broadback 42-48 28-36 19-25 2.40
Atchafalaya 52-78 82 33 1.14-1.22
Batiscan 82-88 49 22 1.62-1.72

237

J. Geotech. Engrg. 1987.113:230-247.

 TABLE 2.—Input Parameters and K„ Predictions Using Eg. 146
AK„/A log ( K0 t/tp for AK„/A log t
Soft clay CJCC if' (degrees) \Ko\ (Eq. 14b) (t/tp = 10,000) K0 = 1 (measured)
(1) (2) (3) (4) (5) (6) (7) (8)
Bay M u d 0.050 26 0.53 0.031 0.66 1012 0.025-0.065
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Saint Alban 0.024 31 0.49 0.016 0.55 1024 0.020

Broadback 0.040 30 0.51 0.027 0.62 10M 0.045
Atchafalaya 0.022 22 0.66 0.014 0.72 1021 0.038
Batiscan 0.030 30 0.55 0.022 0.64 10w 0.070

resents, according to Eq. 14b, the upper limit of the coefficient of earth
pressure at rest for these clays. Col. 7 lists the values of t/tp required to
reach the K0 = 1 condition. These numbers, along with a reasonable
value of tp for the geologic deposition and primary consolidation, sug-
gest that the question of K0 approaching 1.0 is of little practical impor-
tance.
The last column in Table 2 presents laboratory measurements of AK0/
A log t over 0.7-1.7 log cycle of time (i.e., t/tp from 1 to 5.6 and 50).
The data on K0 for San Francisco Bay Mud correspond to Figs. 1 and 6
of Kavazanjian and Mitchell (7,8). The value of Ca/Cc for this soil is from
Mesri and Choi (21). The remaining four clays were tested at the Uni-
versity of Illinois and are identified in Table 1. The values of K0 as well
as the difference between the volumetric strain and axial strain, and ex-
cess pore water pressure measurements during secondary compression
are shown in Fig. 8. High quality 20-cm diameter undisturbed clay sam-
ples were taken with the Laval sampler (10). The tests were performed
in special triaxial cells using 3.81-cm diameter by 7.62-cm long speci-
mens. In all tests, drainage was allowed from the top, and pore water
pressure was measured at the bottom of the specimen. The use of a
bellophram bushing assembly and a load cell inside the triaxial cell guar-
anteed constant axial loads over long periods of time. The tests were
carried out inside constant temperature water baths at 24.70 ± 0.01° C.
Under a constant axial load, axial deformation and volume changes
were monitored, and the cell pressure was continuously adjusted to
maintain a one-dimensional compression condition (1). The observed
values of AK0/A log t in Table 2 are generally higher than those com-
puted using Eq. 14b. Possible problems with the measurements are re-

1.0
o—o San Francisco Bay Mud Batiscan Clay
&—& Broadback Clay 0 — o Saint Alban Clay
a—a Atchafalaya Clay
0.8

10,000

FIG. 7.—Increase in K„ with Time during Secondary Compression (Eq. 14b)

238

J. Geotech. Engrg. 1987.113:230-247.

 0.7 Saint Alban
Clay
o-i/tr'p = 1.13

0.6
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0.5

6? 0.04
f 0
i 0.04

i 0.5
-=" 0
L_
0.2 I ° 4
Time, minutes x I0 4

Batiscan Clay Broadback Clay

0.7 o- v /crp = 1.12 <r|,/crp= 1.12

A
Atchafalaya Clay
"J-k
^P4 "*T
0.5
gS 0.04
^ O 01
«T 0
- o o o
5^8^ - J > A^sv^ate-
o
S 0.04
r

1.0
Q_ 0.5
0 S^SUCfek
=3
1 I I I M M I I I I I T I i 11 I I _U-
2 5 10 20 Q7 2 5 10 0.5 I 2 5
Time, minutes x I0 4
(b)

FIG. 8.—Observed Behavior of K„ during Secondary Compression

lated to the deviations from the one-dimensional compression condition

as indicated by eH — 6j, and the accuracy of the measured sample volume
changes, which is influenced by very small leakage into or out of both
the sample and drainage lines. The leakage rate in these tests, expressed
in terms of the volumetric strain of the sample, is not expected to exceed
2 x lCT6%/min. The authors believe that the fluctuations in e„ - et be-
yond a value of 0.02% tend to disturb the one-dimensional compression
condition and produce an overestimate of AK0/A log t. In fact the closest
agreement between the computed and observed values of AK0/A log t
was obtained for the tests that were most successful in terms of the value
of e„ - 6! remaining close to zero.

239

J. Geotech. Engrg. 1987.113:230-247.

 The prediction by Eq. 14b of the magnitude of the increase in K0 with
time during secondary compression is another example of the impor-
tance and fundamental nature of the Ca/Cc concept. That the predictions
of the increase in K„ are probably close to the true soil behavior is sup-
ported by the previous reasonable predictions by the Ca/Cc concept of
the magnitude of a'p/v^ for soft clays (16,20), the strain rate effect on
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o-p (20,21), and the increase in undrained shear modulus (15). The most
important feature of the Ca/Cc concept is that not only does it allow a
prediction of the nature of a behavior (e.g., the increase in K0 with time),
but it also specifies a realistic limit on the order of the magnitude of the
effect, as illustrated by the results in Cols. 6 and 7 of Table 2.

IN-SITU K0

In addition to overconsolidation through a decrease in effective ver-

tical pressure, three fundamental mechanisms could operate during the
geological aging of a soft clay deposit and produce a preconsolidation
pressure a'p greater than the existing effective overburden u'vo. The
mechanisms that can contribute to an increase in interparticle resistance
at constant effective vertical pressure are as follows:

1. Secondary compression resulting in a decreased void ratio and in-

creased number of short-range particle interactions.
2. Thixotropic increase in structural resistance requiring no void ratio
decrease. Increased interparticle resistance results from the reorientation
of plate-shaped clay particles to edge-face short-range interaction and
from the reorganization of ions, ionic complexes, and adsorbed water
molecules.
3. Chemical changes, also requiring no void ratio decrease, including
cation exchange and the bonding of the soil fabric by components such
as oxides, carbonates, silicates, and organic molecules. The increased
resistance in this case results from very small and relatively strong and
therefore brittle links at particle contacts.

All three mechanisms could contribute to the observed preconsolidation

pressure (jp of a soft clay deposit. However, assuming that the miner-
alogy and nature of soil particles remain unaltered during the aging pro-
cess, only the first mechanism can be expected to produce an increase
in K0. If this line of reasoning is correct, then the computed values of
K0 in Cols. 6 and 2 of Tables 2 and 3, respectively, represent estimates
of the in-situ K0. The true value of the in-situ K0 is not known because
no method exists for measuring the horizontal pressure in an undis-
turbed ground. However, a number of field and laboratory tests have
been used to estimate the coefficient of earth pressure at rest.
One laboratory method which was originally suggested by Zeevaert
(32) and later recommended by Tavenas, et al. (31) consists of comparing
the horizontal and vertical preconsolidation pressures [o-p];, and [<r'p]v.
The values of [a'p]h and [a'p]v = a'p are determined from the EOP e-log
<j'v curves of oedometer specimens that are trimmed with their axes per-
pendicular and parallel to the vertical direction, respectively. This ap-
proach for estimating in-situ K0 assumes that
240

J. Geotech. Engrg. 1987.113:230-247.

 TABLE 3.~Estimates of In-Situ K „ , and Measured Values of Kr and [K„]p

K„(Eq. 146)
Soft clay (t/t„ = 10,000) Kr [KJ,
(1) (2) (3) (4) (5) (6)
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Saint Alban 0.55 0.72 0.79 0.26 0.49

Broadback 0.62 0.66 0.78 0.31 0.51
Atchafalaya 0.72 0.87 0.72 0.50 0.66
Batiscan 0.64 0.80 0.73 0.28 0.55

(15)

or K0 = (16)

It is recognized that whereasCT/,„represents effective horizontal stress

under a zero horizontal strain condition, to measure [a'p]h the sample is
actually strained in the horizontal direction. The values of K0 determined
using this method are listed in Col. 3 of Table 3 and are generally larger
than the predictions in Col. 2. However, this method is expected to
overestimate in-situ K0 because sample disturbance is expected to move
the measured values of [a-p];, and [ap]„ closer to each other. Incidentally,
using this procedure Zeevaert (31) determined values of in-situ K0 for
Mexico City clay in the range 0.76-0.87.
Another approach for estimating the in-situ K0 was independently de-
veloped by G. Lefebvre of Sherbrooke University and the authors. The
method is shown in Fig. 9, which includes the er/, versus o'v paths of two
incremental loading and one constant rate of axial deformation (CRS)
one-dimensional compression tests. These tests were performed in the
T triaxial cell using the method that was described in the previous section.
y

c r v , kPa

FIG. 9.—a'h versus <J'V Path in One-Dimensional Compression and Construction

for Estimating In-Situ K0, Batiscan Clay

241

J. Geotech. Engrg. 1987.113:230-247.

 In the incremental loading consolidation tests, axial load was in-
creased in small increments and cell pressure was adjusted during the
time allowed for the dissipation of the excess pore water pressure.
Therefore, a'h versus <J'V paths in Fig. 9 correspond to the EOP e-log u'v .
The imposed strain rate for determining the EOP e-log a'„ from the CRS
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test is obtained by the following equation (23):

e = km a; C,
c 2 {W)
*" 2 ^H ywCc
where km = initial vertical coefficient of permeability; Ck = Ae/A log kv;
and H = maximum drainage distance. The imposed strain rate according
to Eq. 17 is expected to generate excess pore water pressures generally
less than about 1 kPa. In the CRS test, a constant axial deformation rate
was imposed, and cell pressure was frequently adjusted to maintain a
one-dimensional compression condition.
The cr'h versus <J'V paths for the laboratory specimens start from the
isotropic effective stress (j's, corresponding to the measured negative pore
water pressure initially present in the specimen. In the recompression
range from a to b, a/, increases at a rate defined by Kr. The values of Kr
that are listed in Table 3 are generally around 0.3. Similar values have
been previously measured by Bellotti, et al. (2) and Lefebvre and Phili-
bert (11). As the preconsolidation pressure is approached, soil structure
yields and soil composition is mobilized to transmit lateral pressure. Be-
yond point c, the coefficient of earth pressure [K0]p is determined by the
composition of the soft clay. The values of [K0]p are listed in Table 3. It
is this composition-related coefficient of earth pressure that has been
previously estimated by such expressions as K0 = 1 — sin <f>'.
If abed in Fig. 9 represents the effective stress path for a laboratory
oedometer specimen, then what cr/, versus a'v path defines the behavior
of a clay element in the field subjected to a wide embankment loading?
It is postulated that all or at least most of the jump from point b to point
c is related to the reversing of the effects of sampling. Therefore, the
clay element in the field is expected to start at point g, recompress along
gc parallel to ab, and after yielding at point c join the compression path
cd of the laboratory specimen. This line of reasoning suggests a proce-
dure for estimating the in-situ K0. Point c is defined by a'p and [K„]p . A
line from point c with slope Kr and u'm define the point g, which rep-
resents the stress condition in the ground. The values of in-situ K0 ac-
cording to this procedure are listed in Col. 4 of Table 3. These estimates
of K0 are also generally higher than the predictions by Eq. 14b. However,
one may speculate that part of the jump from b to c at the yielding of
the clay structure also exists at the field condition. A modification of the
proposed procedure would move the line gc down and produce smaller
estimates of in-situ K0. Alternatively, it is quite possible that at least
some of the soft clays in Table 3 have been subjected to geological un-
loading. This possibility could explain the generally higher values in-situ
K0 in Cols. 3 and 4 of Table 3 as compared to the predictions in Col. 2.
The analyses and discussion in this section illustrate the difficulties
with the experimental evaluation of in-situ K0 in soft clay deposits. Sim-
ilar problems have been encountered with the interpretations of field
242

J. Geotech. Engrg. 1987.113:230-247.

 measurements (31). Therefore, it is highly desirable to have an inde-
pendent theoretical framework for establishing realistic bounds on pos-
sible effects of such mechanisms as secondary compression on the mag-
nitude of in-situ K0. The authors believe that Eq. 14b represents a first
useful step in that direction. This progress has been possible with the
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help of the CJCC concept.

SECONDARY COMPRESSION—K0 RELATIONSHIP

In a discussion of the behavior of K0 during secondary compression

Lacerda and Martins (9) conclude that "the possibility of an increase in
K0 could be used to explain some phenomena that have not been well-
known, such as secondary compression." This statement appears to im-
ply that: (1) Secondary compression is not well-understood; and (2) sec-
ondary compression is an effect, and K0 is the cause. Neither implication
is correct. In terms of the Ca/Cc concept, secondary compression is as
well understood as any other important phenomenon in soil mechanics.
Furthermore, secondary compression, which represents the gradual
readjustment of the soil particles to more stable equilibrium positions
following the disruption caused by the effective stress increase and as-
sociated compression, is also expected under an isotropic loading con-
dition. De Jong and Verruijt (3) performed consolidation tests using
spherical samples in order to completely exclude external shear stresses
and measured considerable secondary compression. Mesri and Choi (21)
have reported for three soft clays identical values of Ca/Cc for one-di-
mensional and isotropic compression. Since natural soft clays have been
formed under a one-dimensional compression condition, they show more
resistance to one-dimensional compression than isotropic compression.
Different EOP e-log a' curves are therefore expected for one-dimensional
and isotropic loading (22). Thus, at a given consolidation pressure, Ca
may have different values for isotropic and one-dimensional compres-
sion because of the difference in the values of C c . Incidentally, the pore
water pressures that develop from arresting secondary compression re-
sult from the arresting of particle readjustment required for stable equi-
librium. These pore water pressures, which have been observed under
both one-dimensional and isotropic loading conditions, can be predicted
by the CJCC concept (17).
In the compression range beyond a'p, the coefficient of earth pressure
[K0]p remains essentially constant with cr^, whereas C„ generally first in-
creases and then dramatically decreases with the increase in consoli-
dation pressure (24). Existing limited data also appear to suggest that K0
increases during secondary compression regardless of whether Ca in-
creases, decreases, or remains constant with time. These observations
reinforce the conclusion that secondary compression is not an effect caused
by the K0 condition.

CONCLUSIONS

The following conclusions are based on the analyses, data, and dis-
cussion presented in this paper:
243

J. Geotech. Engrg. 1987.113:230-247.

 1. The Ca/Cc concept, which completely defines the secondary
compression behavior of any one soil in terms of a constant Ca/Cc and
the EOP e-log a'v, is a powerful tool for the analysis of secondary set-
tlements and interpretation of data from load-controlled and deforma-
tion-controlled consolidation tests. It is also a useful means of evaluating
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the implications of secondary compression on the results of laboratory

tests that include a consolidation stage.
2. The value of Ca/Cc for any soil should be evaluated using the pro-
cedure which has been outlined in this paper and in Mesri and God-
lewski (24). Specifically, Ca/Cc in general is not equal to Ca/Ccave.
3. The CJCC concept has been used to obtain an expression for the
behavior of the coefficient of earth pressure K0 during secondary
compression. The empirical Eq. 14b predicts an increase in K0 during
secondary compression. For typical values of CJCC, the predicted val-
ues of AK"0/A log t are in the range of 0.014-0.031. Measurements of
AK„/A log t for soft clays were presented, with values in the range of
0.020-0.070. It is believed that experimental problems contribute to an
overestimation of AK0/A log t, and the predicted values based on the
empirical Eq. 14b probably better reflect the true soil behavior.
4. The empirical Eq. 14b also predicts that during the typical geologic
age of soft clay deposits, the K0 = 1.0 condition will not be reached.
Therefore, any discussion of K0 approaching 1.0 for soft clays that have
not been subjected to geological unloading is of little practical impor-
tance.
5. It is also possible to compute, using Eq. 14b, an estimate of the in-
situ K0 of soft clay deposits. A comparison of the predicted estimates of
the in-situ K0 with the values determined from the interpretation of spe-
cial laboratory consolidation tests provide valuable insights into the ef-
fective stress paths in oedometer specimens and in-situ soil elements
under wide embankments. The distinction among in-situ K0, Kr in the
recompression range, and [K0]p in the compression range is of significant
fundamental and practical importance both in soil testing and analysis.
6. It is not possible to know the true value of in-situ K0 in soft clays,
and generally it is difficult to obtain an estimate either by field or lab-
oratory measurements. Therefore, any theoretical framework that could
establish realistic bounds on the behavior of in-situ K0 for soft clays would
be a valuable contribution. It is believed that Eq. 14b represents a first
useful step in that direction. This progress has been possible with the
help of the CJCC concept.
7. Secondary compression is not an effect caused by the K0 condition.
Secondary compression is observed under both one-dimensional and
isotropic compression conditions. Identical values of Ca/Cc have been
observed for one-dimensional and isotropic loading conditions.

ACKNOWLEDGMENTS

The undisturbed samples of soft clays in Table 1 were suppied by F.

Tavenas and S. Leroueil of Laval University. The Ca/Cc data on Bearpaw
shale are part of the Ph.D thesis research of A. F. Cepeda-Diaz. This
study was performed as a part of National Science Foundation Grant
244

J. Geotech. Engrg. 1987.113:230-247.

 CEE-8212064. The continued support of this agency is gratefully ac-
knowledged.

APPENDIX I.—REFERENCES
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1. Bishop, A. W., "Test Requirements for Measuring the Coefficient of Earth

Pressure at Rest," Proceedings of Conference on Earth Pressure Problems, Brus-
sels, Belgium, Vol. 1, 1958, pp. 2-14.
2. Bellotti, R., Formigoni, G., and Jamiolkowski, M. B., "Remarks on the Effects
of Overconsolidation on Coefficient of Earth Pressure at Rest," Proceedings,
Istanbul Conference on Soil Mechanics and Foundation Engineering, Istanbul, Tur-
key, Vol. 1, 1975, pp. 17-25.
3. Dejong, J., and Verruijt, A., "Primary and Secondary Consolidation of a
Spherical Clay Sample," Proceedings, 6th International Conference on Soil Me-
chanics and Foundation Engineering, Montreal, Canada, Vol. 1, 1965, pp. 254-
258.
4. Holtz, R. D., and Jamiolkowski, M. B., Discussion of "Time Dependence of
Lateral Earth Pressure," by E. Kavazanjian, Jr., and J. K. Mitchell, Journal of
Geotechnical Engineering, ASCE, Vol. I l l , No. 10, Oct., 1985, pp. 1239-1242.
5. Graham, J., Crooks, J. H. A., and Bell, A. L., "Time Effects on the Stress-
Strain Behavior of Natural Soft Clays," Discussion, Geotechnique, Vol. 34, No.
3, Sept., 1984, pp. 442-444.
6. Jamiolkowski, M. B., Ladd, C. C , Germaine, J. T., and Lancelotta, R., "New
Developments in Field and Laboratory Testing of Soils," Proc. of the Eleventh
International Conference on Soil Mechanics and Foundation Engineering, San Fran-
cisco, Calif., Vol. 1, 1985, pp. 57-153.
7. Kavazanjian, E., and Mitchell, J. K., "Time Dependence of Lateral Earth
Pressure," Journal of Geotechnical Engineering, ASCE, Vol. 110, No. 4, Apr.,
1984, pp. 530-533.
8. Kavazanjian, E., and Mitchell, J. K., Closure to "Time Dependence of Lateral
Earth Pressure," Journal of Geotechnical Engineering, ASCE, Vol. I l l , No. 10,
Oct., 1985, pp. 1246-1248.
9. Lacerda, W. A., and Martins, I. S., Discussion of "Time Dependence of Lat-
eral Earth Pressure," by E. Kavazanjian and J. K. Mitchell, Journal of Geo-
technical Engineering, ASCE, Vol. I l l , No. 10, Oct., 1985, pp. 1242-1244.
10. LaRochelle, P., Sarrailh, J., Tavenas, F., Roy, M., and Leroueil, S., "Causes
of Sampling Disturbance and Design of a New Sampler for Sensitive Soils,"
Canadian Geotechnical Journal, Vol. 18, No. 1, Feb., 1981, pp. 52-66.
11. Lefebvre, G., and Philibert, A., "Measurement of Lateral Pressures During
the One-Dimensional Consolidation of a Structured Clay," 32nd Canadian
Geotechnical Conference, Quebec, Canada, 1979, pp. 2.61-2.75.
12. Leonards, G. A., Discussion of "Time Dependence of Lateral Earth Pres-
sure," by E. Kavazanjian, Jr., and J. K. Mitchell, Journal of Geotechnical En-
gineering, ASCE, Vol. I l l , No. 10, Oct., 1985, pp. 1244-1246.
13. Leonards, G. A., and Girault, P., "A Study of the One-Dimensional Con-
solidation Test," Proceedings, Fifth International Conference on Soil Mechanics and
Foundation Engineering, Vol. 1, 1961, pp. 213-218.
14. Mayne, P. W., and Kulhawy, F. H., "K0-OCR-Relationship in Soil," Journal
of the Geotechnical Engineering Division, ASCE, Vol. 108, No. 6, June, 1982, pp.
851-872.
15. Mesri, G., and Choi, Y. K., "Dynamic Properties of Soft Clay for Wide Strain
Range," Discussion, Soils and Foundations, Japanese Society of Soil Mechanics
and Foundation Engineering, Vol. 23, No. 1, Mar., 1983, pp. 125-127.
16. Mesri, G., and Choi, Y. K., "Excess Pore Water Pressure and Preconsoli-
dation Effect Developed in Normally Consolidated Clay of Some Age," Dis-
cussion, Soils and Foundations, Japanese Society of Soil Mechanics and Foun-
dation Engineering, Vol. 20, No. 4, D e c , 1980, pp. 131-136.
17. Mesri, G., and Choi, Y. K., "Excess Pore Water Pressures During Consoli-

245

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 dation," Proceedings, 6th Asian Regional Conference on Soil Mechanics and Foun-
dation Engineering, Vol. 1, 1979, pp. 151-154.
18. Mesri, G., and Choi, Y. K., "A Method for Estimating the Consolidation of
a Normally Consolidated Clay of Some Age," Discussion, Soils and Founda-
tions, Japanese Society of Soil Mechanics and Foundation Engineering, Vol.
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21, No. 2, June, 1981, pp. 131-134.

19. Mesri, G., and Choi, Y. K., "Settlement Analysis of Embankments on Soft
Clays," Journal of the Geotechnical Engineering Division, ASCE, Vol. I l l , No.
4, Apr., 1985, pp. 441-464.
20. Mesri, G., and Choi, Y. K., "Strain Rate Behavior of Saint-Jean-Vianney Clay,"
Discussion, Canadian Geotechnical Journal, Vol. 16, No. 4, Nov., 1979, pp. 831-
834.
21. Mesri, G., and Choi, Y. K., "Time Effects on the Stress-Strain Behavior of
Natural Soft Clays," Discussion, Geotechniaue, Vol. 34, No. 3, Sept., 1984,
pp. 439-442.
22. Mesri, G., and Choi, Y. K., "The Uniqueness of the End-of Primary (EOP)
Void Ratio-Effective Stress Relationship," Proceedings, 11th International Con-
ference in Soil Mechanics and Foundation Engineering, San Fransisco, Calif., Vol.
2, 1985, pp. 587-590.
23. Mesri, G., and Feng, T. W., "Stress-Strain-Strain Rate Relation for the Com-
pressibility of Sensitive Natural Clays," Discussion, Geotechniaue, Vol. 36, No.
2, June, 1986, pp. 283-287.
24. Mesri, G., and Godlewski, P. M., "Time- and Stress-Compressibility Inter-
relationship," Journal of the Geotechnical Engineering Division, ASCE, Vol. 103,
No. 5, May, 1977, pp. 417-430.
25. Mesri, G., and Godlewski, P. M., Closure to "Time- and Stress-Compress-
ibility Interrelationship," Journal of the Geotechnical Engineering Division, ASCE,
Vol. 105, No. 1, Jan., 1979, pp. 106-113.
26. Mesri, G., and Rokhsar, A., 'Theory of Consolidation for Clays," Journal of
the Geotechnical Engineering Division, ASCE, Vol. 100, No. 8, Aug., 1974, pp.
889-904.
27. Mesri, G., Rokhsar, A., and Bohor, B. F., "Composition and Compressibility
of Typical Samples of Mexico City Clay," Geotechniaue, Vol. 25, No. 3, Sept.,
1975, pp. 527-554.
28. Schmertmann, J. M., "A Simple Question About Consolidation," Journal of
the Geotechnical Engineering Division, ASCE, Vol. 109, No. 1, Jan., 1983, pp.
119-122.
29. Schmertmann, J. M., Closure to "A Simple Question About Consolidation,"
Journal of the Geotechnical Engineering Division, ASCE, Vol. 110, No. 5, May,
1984, p. 673.
30. Schmidt, B., "Earth Pressure at Rest Related to Stress History," Discussion,
Canadian Geotechnical Journal, Vol. 3, No. 4, Nov., 1966, pp. 239-242.
31. Tavenas, F., Blanchette, G., Leroueil, S., Roy, M., and LaRochelle, P., "Dif-
ficulties in the In Situ Determination of K0 in Soft Sensitive Clays," Proceed-
ings, In Situ Measurement of Soil Properties, ASCE, Vol. 1, 1975, pp. 450-476.
32. Zeevaert, L., "Theories and Hypotheses of General Character, Soil Proper-
ties, Soil Classification, Engineering Geology," Discussion, Proceedings of the
Third International Conference on Soil Mechanics and Foundation Engineering,
Switzerland, Vol. 3, 1953, pp. 113-114.

APPENDIX II.—NOTATION

The following symbols are used in this paper:

Cc = compression index, slope of the e-log v'v curve;
Ccave = defined on Fig. 4;
Q = permeability index, slope of e-log kv;
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J. Geotech. Engrg. 1987.113:230-247.

 Cr = recompression index, slope of e-log <j'v in the recompression
range;
Ca = secondary compression index, slope of e-log t during second-
ary compression;
EOP = end of primary;
e = void ratio;
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H = maximum drainage distance;

K0 = coefficient of earth pressure at rest;
[K0]v = coefficient of lateral pressure in the compression range;
Kr = coefficient of lateral pressure in the recompression range;
km = initial vertical coefficient of permeability;
OCR = overconsolidation ratio;
Rs = secondary settlement per log cycle of time;
Rioo = settlement during primary consolidation stage;
t = elapsed time;
tp = time required for the completion of primary consolidation;
W\ = liquid limit;
w0 = natural water content;
wv = plastic limit;
7„, = unit weight of water;
€„ = volumetric strain;
ej = axial strain;
CT/, = effective horizontal stress;
aim = in-situ effective horizontal stress;
Vp = [vplv — preconsolidation pressure;
[<jp]i, = horizontal preconsolidation pressure;
v's = initial isotropic effective stress in an undisturbed sample;
<ri = effective vertical stress;
alx = preconsolidation pressure resulting from secondary compres-
sion;
v'Vf = final effective vertical stress;
a'vi = initial effective vertical stress;
o'vo = [<To]v = in-situ effective vertical stress; and
4>' = effective friction angle.

247

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