ZIENKIEWICZ,0. C., CHANG, C. T. & Bettess, P. (1980). G&edmique 30, No.

4, 385-395

Drained, undrained, consolidating and dynamic

behaviour assumptions in soils

0. C. ZIENKIEWICZ,* C. T. CHANG* and P. BETTESS*

The behaviour of saturated, porous media under charges dynamiques ou quasi statiques a itt analyst- pour
dynamic or quasi-static loads was first formulated by la premikre fois par Boit (1941, 1960). Pour les problkmes
Biot (1941, 1960). For dynamic problems a simplifi- dynamiques, une simplification a ttk rkemment proposke
cation was recently proposed by one of the Authors. par l’un des Auteurs. Comme les deux formulations
As the two formulations must coincide over a range of doivent coincider pour une certaine gamme de probltmes
problems and as for slow transients both must be et que, dans le cas de phtnomines transitoires lents, elles
adequately represented by pure consolidation theory, doivent toutes deux &tre reprksentkes d’une manikre
this Paper examines the respective ranges of validity by correct par une thtorie de consolidation pure, cet Article
an analytical study of a soil layer subject to a periodic examine les zones respectives de validitt en ttudiant
surface force. The analysis also indicates under what analytiquement une couche de sol soumise I une force
conditions such extremes as undrained or quasi-static supeficielle pkiodique. L’analyse indique bgalement
assumptions can be safely used. Results of the analysis dans quelles conditions les hypothtses extrimes de
are given in a non-dimensional, generally valid, form charges non drain&es ou quasi statiques, peuvent Gtre
and should find practical application in assessing the utilists sans risque d’erreur. Les rksultats de l’analyse sont
the type of approximation that is applicable in new don&s sous une forme non dimensionnelle, ginttralement
problems. valable, et devraient trouver leur application pratique
dans l’tvaluation du type d’approximation applicable B de
Le comportement des milieux poreux sat&s soumis g des nouveau1 problemes.

INTRODUCTION
In quasi-static analysis it is common to make the assumption of drained or undrained behaviour
depending on the rapidity of loading and permeability of soil. If neither of these characteristics
is extreme, full consolidating behaviour needs to be considered but the point at which one must
resort to the more complex solution is difficult to determine a priori.
In dynamic analysis the situation is additionally complicated by inertia terms and here
certainly the fully drained assumptions are never tenable. However, under such rapid loads
as earthquakes it is often stated that totally undrained behaviour presents a reasonable assump-
tion. This assumption is not valid when the permeability is large and on many occasions the
effects of drainage may be considerable.
The object of this Paper is to determine some limits of validity of the various possible
assumptions. To do this a full set of governing, dynamic equations is presented for a non-linear
two-phase medium, following the work of Biot, and a series of simplifying assumptions which
in the limit reduce to the well-known, quasi-static consolidation or undrained formulations is
introduced. These formulations are applied to a simple problem of a homogeneous soil layer
under periodic surface loading and from inspection of the exact solution the limits of various
assumptions are shown.
The problem solved is assumed to be linear (i.e. linear elasticity is used to describe the
behaviour of solid and fluid phases, and permeability is assumed constant). Such linearity
does not correspond with the true observable behaviour which can be modelled using numerical
computations. Nevertheless, the results can be used qualitatively to assess the formulation
necessary in such more detailed analysis and thus give considerable savings.

Discussion on this Paper closes 1 March, 1981. For further details see inside back cover.
* Department of Civil Engineering, University College of Swansea.
386 0. C. ZIENKIEWICZ, C. T. CHANG AND P. BETTESS

NOTATION

D ijkl tangent stress matrix coefficients VC2 J((D+K,/n)/p) compression wave

D bulk modulus of soil skeleton velocity (approximately equal
E, v elastic modulus and Poisson’s to that in fluid)
ratio wi (average) fluid phase displacement
gravity acceleration; components “7 Yy z; Xi Cartesian co-ordinates
gi
of g in i direction zlL
k (kinematic) permeability coeffi- PJIP
cient &ij strain
EijO initial strain (creep, thermal, etc.)
fG bulk modulus of fluid
K (Kf/n)/(D + KJn) dimensionless
L a typical length
parameter
n porosity
n1 k Vc2/gj?wL2
P pore pressure
n2 02L/ VC2
G loading intensity P total density
T 2n/w, period imposed Pf fluid density (water)
? 2L/V,, a natural period of the cij total stress (tension positive)
system Oij’ effective stress (tension positive)
ui solid phase displacement 0 angular frequency imposed

THE GENERALIZED BIOT (1960) FORMULATION FOR A TWO-PHASE MEDIUM

Biot (1941,196O) presented a general set of equations governing the behaviour of a saturated
linear elastic porous solid under dynamic conditions. These equations are easily generalized
to non-linear material behaviour if the constitutive relation is written incrementally. The Biot
equations are presented below in an alternative form.
The definition of effective stresses, ~ij’, which are assumed to control the deformation of the
solid skeleton, give for the total stress aij

Qij = aij’-GijP . . . . . . . . .
. (1)

introducing the pressure p in the interstitial fluid (and noting that tension is positive). If ui
represents the displacement vector of the skeleton, strains (assumed here to be small) can be
defined as
Eij = ~(Ui,j+Uj,i) (2)
. . . . . . . . . .

For simplicity it is assumed that changes of pressure p cause no strain in the material. (This
is a reasonable assumption for soils but not for rocks where skeleton material strains are
appreciable. However, it is easy to generalize these equations, as shown by Zienkiewicz,
Humpheson & Lewis (1977).) Any constitutive relations of the skeleton can therefore be defined
incrementally in terms of effective stress changes as

daij’ = Dijkl(d&kl-d&~lO) . . . . . . . . (3)

In the above, Dijkl represents tangent stress matrix coefficients which depending on the consti-
tutive low can vary with stress, strain or indeed their history, and &lo includes creep or other
autogeneous strains. Equations (l)-(3) are completed by specifying appropriate equilibrium
conditions. To do this a fluid displacement, Wi, must be introduced, so defined that its time
derivative &vi/& = 3, gives the average velocity, obtained by dividing the appropriate volu-
metric flow rate by the total area. For a unit total volume the equilibrium equations can now
be written as
BEHAVIOUR ASSUMPTIONS IN SOILS 387

aij,j+pgi=piii+p,~i . . . , . . . * (4)
where p is the combined density, pr is the fluid density and gi is the body force acceleration,
usually given by the appropriate components of gravity.
To this must be added the equations that specify the equilibrium of the fluid phase. This
necessitates the definition of viscous resisting forces by the usual Darcy flow law introducing
permeability, k. This can be written as

-ppi+pfgi = p,ii,+; cq+yii . . . . . . .

(In equation (5) the fluid acceleration term is divided by n, the porosity, to account for the
previous definition of wi.)
The equation set is completed by a continuity of flow condition (assuming the fluid to have
a volumetric compressibility, Kr). Thus

Bii+tii,i = -fin/x’, . . . . . . . . . (6)

Equations (l)-(6) can be used to represent the most general soil behaviour in any numerical
formulation with appropriate boundary problems and can be solved imposing initial and
boundary conditions. Ghaboussi & Wilson (1972) for instance, solve a simple linear problem
using equations (l)-(6) and later Ghaboussi & Dickman (1978) extend its application to a one-
dimensional, non-linear, liquefaction problem.

SIMPLIFIED FORM

The six equations defining the dynamic behaviour can readily be written as two second-order
simultaneous sets, in terms of primary displacement variables ui and wi. This obvious choice
of unknowns is convenient for the finite element formulation but results in a large number of
nodal unknowns (3 + 3 in three-dimensional analysis). Such a formulation has been adopted
in previous analyses but an alternative simplification is possible.

u-p Dynamic form

By neglecting the terms involving the second time derivatives of the relative fluid displace-
ments, i.e. pi in equations (4) and (5) it is easy to eliminate ii using (5) and (6). NOW the
primary variables are ui and p which in finite element form leaves 3 + 1 nodal variables in
three-dimensional analysis. This approximation is thus economical and convenient in numerical
transient analysis (Zienkiewicz, 1977); its validity is investigated here. The appropriate
equation set becomes
bij = aij’-Gijp . . . . . . . . . . (7)

&ii = 3(ui,j+uj,i) . . . . . . . . . (8)

doij’ = Dijkl(d&kl-d&klO) . . . f . . . . (9)

aij,j+pgi = piii . . . . . . . . . . * w
and taking Gi from (5) and eliminating in (6)

1
-k k k..
- p,i+ggi--gui ,i=j5n/K, . . . . . . . (11)
Pfg
In the solution gij’, gij and sij are naturally treated as interim variables.
388 0. C. ZIENKIEWICZ, C. T. CHANG AND I’. BETTESS

Fig. 1. Soil layer subject to periodic loading

Consolidation equations
If in equations (7)-(11) all acceleration terms are neglected then the resulting system corres-
ponds to the well-known, quasi-static, consolidation equation used frequently in soil mechanics
(e.g. Madsen, 1978). If the phenomena are sufficiently slow the full set of equations (l)-(6) will
also reduce to such a quasi-static problem.

Undrained form
Another degeneration of the full dynamic equation occurs if no relative movement of the fluid
is permitted (w--+0, k-+0). Now equation (11) takes a simple form
sii = -pn/K, . . . . . . . . . . (lla)

and this limiting case must be approached by all approximations. The solution can be obtained
either using the u,-p variable system or by reduction to the variable Ui alone, providing that Kf
is finite. Such a formulation is of a penalty type when numerical analysis is used (uide chapter
11, Zienkiewicz, 1977).

Drained form
At the other extreme, at least in static problems, the drained case arises. This is the case
when permeability, k, approaches infinity. Uncoupling of equations does not occur in the
dynamic problems as it does in statics, unless pr, the fluid density, becomes zero. Indeed it
now appears that equations (l)-(6) may present a different approximation to that given by
equations (7)-(11) as cij, is now no longer negligible. Both approximations give a coupling
which we shall observe later to be different.

A COMPARATIVE SOLUTION: SOIL LAYER UNDER PERIODIC LOADING

To assess the approximation attainable by the simplified form of equations-and to gain
some idea of when limiting drained and undrained cases arise-a simple linear problem in
Fig. 1 will be solved exactly. The problem is one-dimensional with a permeable layer of depth
L subject to a periodic surface load.
First, equations (l)-(6) are reduced to one-dimensional form. The analysis is restricted to
a linear periodic response-and thus all quantities can be replaced immediately by their com-
plex form
gij = cijeiot
(12)
kij = imijijeirUt etc.
i
BEHAVIOUR ASSUMPTIONS IN SOILS 389

The division of all equations by @“’ is presumed and thus all quantities such as 5, will be
complex.
For the one-dimensional case omitting the static gravity terms and assuming that E, = ay = 0
and isotropic elasticity equations (l)-(6) reduce to

a=a’--p . . . . . . . . . * (13)
E= aulaz . . . . . . . . . . (14)
o’=Dc . . . . . . . . . . * (19
dc .. ..
z=pu+p,w 1 . . . . . * .

dp =p,~+pr&+!!Ep,g
(17)
-dz n k “***“’

Q+g= -@n/K, . . . . . . . . .

where all stresses and displacements are in the vertical, z, direction. The above is concerned
only with excess pressures and stress above the static state. Substituting (13)-( 15) and (18)
into the remaining equations, two coupled equations for u and w are obtained

. . . . . . (19)

. . . , . . (20)
For an isotropic material, D is given by D = E( 1 - v)/( 1+ v) (1 - 2v) where E and v are the
elastic modulus and Poisson’s ratio respectively. Equations (19) and (20) become, for the
periodic case,

-w2pU-02pfG . . . . . (21)

(22)
These equations can be rearranged using new parameters defined as

K = jYj$$$ P = PfIP
. . . . . . (23)
D+Kfln _
VC2 = z = z/L
P ’ i
Here VCrepresents a compression wave velocity and L is the thickness of the soil layer. The
equations now become
d2ii d2iC W2L2 02L2
@+K7T2 = -- u-p v,2 W . . . . . . (24)
v,2
K d%+ Ic d2W
df2 $= (25)
 390 0. C. ZIENKIEWICZ, C. T. CHANG AND P. BETTESS

Two non-dimensional parameters are now defined as

kV ’ W2L2
n, cc and Ll, = v,2*. * . . . . Wd
gBoL2
Introducing the period of forced motion T = 271/o and noting that p = 2L/V, is a representa-
tive natural period of the system the parameters can be rewritten as

(26b)

Using these non-dimensional parameters equations (24) and (25) can be written as

d21 d2W
s+Ks= -n,fi--jIn,w . . . . . . . (27)

d’ii d2F B-i

K-+K-=-j?~,fi--~,W+~i?
di2
. . . . . (28)
df2 n 1

The dimensionless parameters /I, K and n are of lesser importance than the II, and n2 groups
and in later numerical examples typical values will be assumed for these. These coupled
equations are easily solved, the general solution taking the form

J-I
-B+J(BZ-4AC) _
ii= Crexp + 2A }z]+ C,exp[ -J{ -B+J$2A4Ac)}~]
[

-B-,/(B’-4AC)
2A

with a similar expression for W. A, B and C are constants (complex), which are derived from
the coefficients of equations (27) and (28). To complete the solution boundary conditions must
be applied at 5 = 0 and Z = 1 to find C, to C,. These conditions are

Z= q and jj =0 for i =O
(30a)
ii =0 and djiJdi=O for2 = 1 ’ . * * ’ ’
I
These boundary conditions can be expressed entirely in terms of G and 5. Thus from equations
(13)-(15) for Z = 0
D(dii/dZ) = ijL . , . . . . . . . (30b)

and by virtue of equation (18), D(di@/dT)= - ?jL. Similarly at I = 1, E = 0 and using equation
(17)
w = 0. . . . . . . . . . . (3Oc)

If the simplification that & can be omitted from equations (4) and (5) is adopted, then
equations (26) and (27) reduce to
d’ii d2E
s+K-= -nzii . . . . . . . . (31)
di2
d’ii d2W
K-j-g+Ks=-/3n2ii++ . . . . . . . (32)
1
BEHAVIOUR ASSUMPTIONS IN SOILS 391

which is equivalent to the r&p form. If all second-time derivatives are omitted the equations
simplify further to
d’ii
a+,$;=0 . . . . . . . . . (33)

d2c d2i? i
-=--w . . . . . . . . .
‘dZ2+ICd5’ lI,

This is the quasi-static case equivalent to the simple consolidation problem.

A small computer program was written to evaluate the solution, given by equation (29) as
the application of the boundary conditions necessitates the solution of linear simultaneous
equations, with complex coefficients. The various solutions, corresponding to the three cases of
B complete equations, Z the u-p approximation neglecting G, and C the quasi-static consoli-
dation neglecting & and ii, were evaluated for a large range of values for 17, and n,. The para-
meters K, /3 and n were here set to values typical for a wide range of soils (the solution being
insensitive to their exact values)
K = 0.973, B = 0.333, n = 0.333

The intention was to see for what values of ZI, and II, the results for the different assumptions
diverged.
Figure 2 shows the normalized absolute value of the excess pore pressure, as a function of
depth for B, Z and C solutions.
The examination of the results shown (and others here not reported, Chang, 1978) shows
that some general conclusions can be drawn. In Fig. 3 plotted in the 17Jf12 space there are
three zones. In zone I the phenomena are so slow that even the consolidation equation gives
results agreeing with the full Biot theory. In zone II the u-p approximation form is acceptable
but dynamic terms are sufficiently important to invalidate the quasi-static consolidation
equation. Zone III covers extremely rapid motions which can only be described using the full
Biot theory.
For n, < lo2 and n, > 10’ the results with a given n, are insensitive to the n, values and thus
give approximate limits of fully undrained behaviour and fully drained behaviour.
Two additional points should be noted. First the lines marking the boundaries between
zones in Fig. 3 are imprecise, and their exact position depends on the degree ofaccuracy
required. (In plotting the lines a discrepancy of about 3 ‘A was accepted.) The second point is
that there will always be small zones which are drained even when most of the domain is
undrained, and that the limit of undrained behaviour excludes small boundary layers.

Extrapolation of results to practical situations

The analytical study described has determined the limits of applicability of the various
assumptions in the particular case of a linear one-dimensional and periodic problem. An
extrapolation of the conclusions can be made to other more realistic problems of soil mechanics
giving some quantitative basis for the recommended analysis procedure and avoiding a priori
assumptions. If in any problem a characteristic dimension L and the time period of the physical
occurrence can be estimated, then the 17, and II2 parameters will serve as a guideline to the
assumptions of analysis, that is to determine whether or not the fully undrained behaviour
assumption is tenable, whether all dynamic terms can be omitted and the problem treated as
one of slow consolidation, and if the only meaningful solution is available by the use of the full
Biot formulation.
The answer to such basic points is usually taken intuitively-and sometimes erroneously.
392 0. C. ZIENKIEWICZ, C. T. CHANG AND P. BETTESS

TT,= d$‘/g~wL’ = f; )+ + K= 0,973

- B (Bid theory) ?T
- - - Z (U-P approximation theory)
- C (Consolidation theory) T n = p = o-333
2
[Solution (C) is independent of 41
2 = Z/L

(a)

0 PfQ
05 1.0 15
0

.z 05

10

(c)

= 1 O,, T, as showr

id)
BEHAVIOUR ASSUMPTIONS IN SOILS 393

P/Q
0 05 1-o 15

(9

i-r2 = 10, n, as shown

(e)

Fig. 2. Variation of pore pressure with depth for various values of 17, and II,

Zone I B=Z=C Slow phenomena (ti and b can be

neglected)

Zone II B=Z#C Moderate speed (w can be neglected)

Zone III B#Z#C Fast phenomena(tican not be neglected)
only full Biot equation valid

Undrained- Drained (influence

of TT, negligible)

-2
KPV, OPT
n=-=
1
WL2 ,i2

lo2 L2
n=_=rzc
2 T
“c

K = KIPfS i - ktnematlc permeablllty

-_I &T=2n/w
i= 2LlV V ’ = (D+~,ln)lp 1o-2 1
c c lo2
- PK,Ip,n
sl
- ~,/p, (speed of sound In water)

P = P,lP n-033 p-033

Fig. 3. Zones of applicability of various assumptions

394 0. C. ZIENKIEWICZ, C. T. CHANG AND P. BETTESS

L=50m

‘r’ ia)
///I///////////// / /////// /

motion
I

63

//// /////// ///f////Y

L=lOm

Fig. 4. Some extrapolation of results. Typical L values for (a) an earth dam earthquake motion, and (h) wave
pressure of Madsen (1978)

Much of the cost of subsequent analysis can be avoided by the proper choice of assumptions.
The kind of decisions required are illustrated by two examples shown in Fig. 4, in which a
rough estimate of the characteristic length is made.
The first problem concerns an earthquake analysis of an earth dam for which the estimated
characteristic length is L = 50 m, and the periods included in the earthquake motion range
between T = 5 s and T = 0.05 s. The question of interest is whether the undrained behaviour
assumption is adequate or whether the u-p approximation is applicable. To compute the non-
dimensional parameters

VC= 1000 m/s

giving

0.1 s

minimum II2 = 71

2 kT
maximum I7, = ( - > -7---- 2 1 5 k = 97.4 k
0.3337~ g T2- 0.3337~ 9.81 (O.1)2

minimum If, = O-974 k

The behaviour is fully undrained if max n, < 10m2, or

97.4 k< 1O-2

kc 10e4 m/s
Thus the assumption of undrained behaviour is justified only for relatively impervious materials
during an earthquake at points well below the surface. As L is reduced the need for inclusion
of seepage effects increases and for points close to the surface drainage effects occur at smaller
values of k. Figure 3 shows that the need for the use of the full Biot approximation is not
apparent until k becomes of the order of lop3 ms-‘. However, the range of IZ2 parameters
BEHAVIOUR ASSUMPTIONS IN SOILS 395

show that discrepancies will only occur for the very high frequencies of motion. For the pre-
dominant periods, in the range of O*l-0.5 s, a much wider range of applications exists.
The second example concerns a problem discussed by Madsen (1978). Here a parametric
analysis of pore pressure distribution in a seabed due to the passage of a surface wave is dis-
cussed. As the analysis a priori disregards dynamic effects one could question its validity.
Taking L = 10 m (half wave length) and T = 10 s for typical sea waves

%20=0.02s
1000

n,=n2 F =4x10-5
( >
a value well within the range of applicability of consolidation equations (C). Although the
validity of such extrapolations may be questioned, it can be seen, nevertheless, that used as a
guide to the general behaviour they are quite valuable.
The apparently wide range of situations for which only the Biot approximation is usable is
in fact confined to rapid oscillations of the kind encountered only in dynamic ground consoli-
dation practice. Here quite large amplitudes of pressure fluctuation are seen (viz. Fig. 2(f)) and
in such cases effective liquefaction and flow of the material can be anticipated. The coupled
dynamic equations serve well in predicting liquefaction phenomena encountered in earthquake
engineering. Zienkiewicz et al. (1981) show such applications in a numerical study of the
earthquake response of dams.

REFERENCES
Biot, M. A. (1941). Theory of three-dimensional consolidation. J. Appl. Phys. 12, 155-164.
Biot, M. A. (1960). Mechanics of deformation and acoustic propagation in porous media. J. Appl. Phys. 33,
1483-1498.
Chang, C. T. (1978). Nonlinear response of earth dams and foundations in earthquakes. PhD thesis, University
College of Swansea.
Ghaboussi, .I. & Umit Dikman (1978). Liquefaction analysis of horizontally layered sands. J. Geotech. Div.
Am. Sot. Ciu. Engrs 104, GT3,341-356.
Ghaboussi, J. & Wilson, E. L. (1972). Variational formulation of dynamics of fluid saturated porous elastic
solids. J. Engng Mech. Div. Am. Sot. Civ. Engrs 98, EM4, 947-963.
Madsen, 0. S. (1978). Wave induced pore pressures and effective stresses in a porous bed. Geotechnique 28,
377-393.
Zienkiewicz, 0. C. (1977). Thefinite element method, 3rd edn. New York: McGraw-Hill.
Zienkiewicz. 0. C.. Humnheson. C. & Lewis. R. W. (1977). A unified approach to soil mechanics problems.
Finite elements in Geomechanics, chapter 4, 151-178. New York: Wiley.
Zienkiewicz, 0. C., Leung, K. H., Hinton, E., & Chang, C. T. Earth dam analysis for earthquakes; numerical
solution and constitutive relations for non-linear analysis. Conference on ‘Design of dams to resist earth-
quakes’, Instn Civ. Engrs, 1981 (to be presented).