Identification of Expansive Soils and

Assessment of Expansion Potential by

Fuzzy Approach

P. Venkata Subba Reddy

Department of Computer Science and Engineering, Sri Venkateswara University,
Tirupati, India
K. Mallikarjuna Rao
Department of Civil Engineering Sri Venkateswara University, Tirupati, India
Ch. Sudha Rani
Department of Civil Engineering, Sri Venkateswara University, Tirupati, India

ABSTRACT
Expansive clayey soils are highly moisture sensitive with respect to stress, deformation and
strength. These soils exhibit extreme variation in deformation such as heaving, loss of shear
strength under certain Moisture Content and settlement and shrinkage as the Moisture Content
alters. Swelling is the process of increase in volume of soil that occurs during its interaction
with water. Expansive soils are classified based on Expansion Potential. Estimation of
Expansion Potential serves as a guide for safe analysis and design of structures resting on
expansive soils . Expansion potential is dependant on mineralogical composition of soil which
influences the index properties of soil. Several investigators proposed criteria for qualitative
assessment of Expansion Potential making use of index properties of soil .Uncertainties arise
in making use of these criteria, since the soil properties cannot be used separately but
collectively to assess Expansion Potential. These soil properties are fuzzy rather than Crisp.
This paper presents a Fuzzy Rule Based Approach using fuzzy IF-THEN rules to quantify the
Expansion Potential in qualitative terms considering the index properties of expansive soils
and expanding clay minerals. Fine Fraction, Liquid Limit, Shrinkage limit, Plasticity Index
and Free Swell Index are used as Linguistic and numeric input variables. The output is
Expansion Potential in quantitative terms determined from the fuzzy output membership
function using Mandani Fuzzy Inference.

INTRODUCTION
Engineering classification of soils is generally based on simple to determine field and
laboratory identification and classification tests. Composition and environmental conditions of
soil deposits are known to have influence on both identification and classification properties, as
well as engineering properties. Hence, it is possible to extrapolate qualitatively engineering
properties and engineering use of soils based on identification and classification. Several
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investigators in the past reported methods for identification and classification of soils as well as
interpretation of classification in terms of probable range of engineering properties and
engineering use of soils. Most commonly used engineering classification systems namely Indian
Standard Classification System (ISC), Unified Soil Classification System (USC), American
Association of State Highway Transportation Officials (AASHTO) American Society of Testing
Materials (ASTM), and British Standard Classification System (BSC). None of the above
engineering classification systems are found to be suitable for identification of expansive soils or
for prediction of swelling characteristics or Expansion Potential. The methods developed by
different investigators (Altmeyer 1953, Holtz 1959, Chen 1975, IS:1498 1970, USBR: 1973,
Snethen 1979) serve this purpose using Fuzzy / Linguistic Variables like High, Very High
etcetera making them not suitable for development of develop software. Here a novel technique
known as Fuzzy Approach System is adopted to overcome this problem. The objective of this
paper is to develop an fuzzy approach system using the already available information for
identifying and assessment of Expansion Potential of expansive soils.

IDENTIFICATION OF EXPANSIVE SOILS-SIMPLE

LABORATORY TESTS
The behavior of the soil and rock at the location of any structure and the interactions of the
earth materials during and after construction has major influence on the success, economy and
safety of the structure. In Expansive soils, major problem is large ground deformations in and
around the structures due to swelling and shrinking of soil on wetting and drying. These excessive
movements can damage structures and utilities also. The problems may be large ones or small
ones and these have tremendous negative impact on the structure performance in terms of time
and cost. A knowledge and understanding of geology of earth materials is necessary while
dealing with expansive soils.

Three groups of methods are proposed in literature for recognizing expansive soils in
practice namely (i) Mineralogical Identification, (ii) Direct measurement, and (iii) Indirect
methods. Mineralogical identification is important for exploring the basic properties of clays, but
it is impractical and uneconomical for practicing engineers. The second one being the direct
measurement is most useful but time consuming and laborious, involving the use of costly and
elaborate testing equipment and trained personnel to conduct the experiments. Soil type and
mineral type can be inferred by simple laboratory tests and field observations. The third group of
methods falls under this category. Recognition of soil type, mineral type or composition provides
a guide to the expected properties of that soil and selection of appropriate methods for improving
behaviour of soil. A knowledge base concerning simple laboratory tests and field tests as well as
field observations for identification of expansive soils is collected and presented in the following
sections.

Expansive soils are classified basing on the term called potential expansion, also termed as
potential swell or degree of expansion. Conventionally, Expansion Potential is expressed in terms
of Fuzzy linguistic variables like critical/marginal/non critical or Very High / High / Medium /
Low degree of expansiveness. In other words, the methods falling under first two groups may not
be possible always in time and economy aspects. Criteria were developed by several investigators
(Altmeyer 1955, Holtz & Gibbs 1956, Williams et.al. 1958, Holtz 1959, Chen 1975 , Snethen
1979, Holtz and Kovacs 1981, Meehan & Karp 1994, Uniform building Code 1997 and IS

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1498:1970) for classifying the expansive soils to ascertain the Expansion Potentiality using some
of factors such as Clay Content, Liquid Limit (WL) Plasticity Index (IP) Shrinkage Limit (WS)
and Free Swell Index (FSI).. The range of each property for different degrees of expansion vary
from one investigator to another and also does not have sharply defined boundaries, leaving
ambiguity and vagueness in deciding upon the probable degree of expansion of a given soil. This
is also a stumbling block for development of expert systems for identification and classification
of expansive soils. Inabilities to correctly identify the Expansion Potential, especially in transition
zones, and the absence of a quantifiable parameter for Expansion Potential are obvious
shortcomings of the available methods. Fuzzy methodology is investigated to meet this need and
to help users to correctly interpret Expansion Potential using simple laboratory test results.

A FUZZY APPROACH FOR PREDICTION OF

EXPANSION POTENTIAL
In this investigation, an attempt has been made to identify simple soil properties for
identification of expansive soils and to assess the potential degree of expansion of any soil using
these simple properties by expressing them as linguistic variables, in addition to numerical
variables. The relationship between these variables is characterized by conditional Fuzzy
statements. This facilitates the decision-making regarding the potential expansiveness nearer
heuristic than mechanistic thereby facilitating adoption for development of expert systems for
identification and classification of expansive soils.

Parameters for Assessment of Expansion Potential

According to opinion of domain experts and references on expansive soil characteristics
(Grim 1968, Chen 1975 , Mitchell 1993) clay mineralogy has significant influence on volume
change behavior of expansive soils. Kaolinite, Montmorillonite and Illite are identified as
commonly occurring clay minerals in soils. The soils containing Montmorillonite group of clay
minerals are generally expansive in nature. Typical clay minerals and their characteristics as
reported in literature (Mitchell, 1993; Koenner, 1985) are presented in Table 1.

From Table 1 it can be seen that the readily expansive clay minerals like Montmorillonite are
characterized by high Liquid Limit, high Plasticity Index, low Shrinkage Limit and less particle
size compared to medium and less expansive clay minerals like Illite and Kaolinite. This fact can
be efficiently utilized to identify expansive soils based on results of simple tests like grain size
distribution and Atterberg Limits.

Fuzzy Description of Expansion Potential of a Soil

The process of estimation of Expansion Potential of a soil begins with search for presence of
expanding clay minerals in the soil indirectly from the soil properties and parameters namely
percentage passing 75µ sieve, Liquid Limit, Plasticity Index and Free Swell Index. The Liquid
Limit, Plasticity Index, Shrinkage Limit and Free Swell Index of expanding clay minerals
significantly differ from those of non-expanding clay minerals. Based on this several
investigators developed criteria for classification of expansive soils and their potential for
expansion making use of two or more of these properties. The Expansion Potential is qualitatively
expressed by descriptor terms like Very High, High, Marginal, Critical and so on. For each

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descriptor of Expansion Potential, the probable range of Liquid Limit, Plasticity Index etcetera
are suggested based on their experience and perception keeping in view the characteristics of
expanding clay minerals.
Table 1: Typical Values of Consistency Limits for Various Cohesive Soils
(After Koenner, 1985)
Liquid Plastic Plasticity Shrinkage
Exchangeable
Mineral Limit Limit Index Limit
Ion
(%) (%) (%) (%)
Na 710 54 656 9.9

K 660 98 562 9.3

Ca 510 81 429 10.5

Montmorillonite
Mg 410 60 350 14.7

Fe 290 75 215 10.3

Fe++ 140 73 67 10.0

Na 120 53 67 15.4

K 120 60 60 17.5

Ca 100 45 55 16.8
Illite
Mg 95 46 49 14.7

Fe 110 49 61 15.3

Fe++ 79 46 33 12.0

Na 53 32 21 26.8

K 49 29 20 20.0

Ca 38 27 11 24.5
Kaolinite
Mg 54 31 23 28.7

Fe 59 37 22 29.2

Fe++ 56 35 21 22.0

Among the several parameters used for identification of expansive soils by different
investigators, percentage passing 75µ sieve, Liquid Limit, Plasticity Index, Shrinkage Limit and
Free Swell Index tests are easy to determine and are routinely determined in any laboratory.
Hence these properties are used in this investigation for estimating the probable degree of
expansion. Since the natural soil may contain both expanding clay minerals and non-expanding
clay minerals along with silt and coarse fraction, their property may fall in between those of
expanding clay minerals and non-expanding clay minerals leading to some uncertainty and

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ambiguity in assessing the Expansion Potential of a soil, by comparing its properties with those of
clay minerals. However, high Liquid Limit, high Fine Fraction, low Shrinkage Limit, high
Plasticity Index and high Free Swell Index in contrast to non-expansive soils characterize
potentially expansive soils.

The exact numeric range of each of the soil properties namely Liquid Limit, Plasticity Index,
Shrinkage Limit, Fine Fraction and Free Swell Index for each descriptor namely Very High (VH)
High (H) Medium (M) and Low (L) are not explicitly known and are generally left to the
perception of the expert. Further, the degree of expansion itself is described qualitatively in terms
of very high, high, medium and low. The theory of Fuzzy sets is a mathematically intuitive
method of quantifying imprecision and uncertainty by grouping individuals into classes that do
not have sharply defined boundaries. Hence the theory of Fuzzy sets can very well be applied to
the problem of qualitative estimation of Expansion Potential from index properties of soils.

Fuzzy Sets And Relations

Fuzzy sets are useful for describing the ambiguity and vagueness in conceptual or
mathematical models of empirical phenomena (Gupta & Yamakawa, 1988). A brief introduction
to the Fuzzy set theory is presented as follows. According to Zadeh (1965)

The Fuzzy set A of X is defined by its membership function µA and take the values in
the unit interval l [0, 1]

µA: X [0, 1], where X is finite set.

For example, consider the proposition “x is tall” and is defined as

µtall (x) [0, 1], x Є X

Tall= µtall(x1)/0.6+µtall(x2)/0.75+…….+µtall(x n)/0.67

Fuzzy logic is defined as combination of Fuzzy sets using logical operators. Some of
the logical operations are given bellows

Suppose A, B, C are Fuzzy sets

AVB=max {µA(x) µB(x)} disjunction

AΛB=min {µA(x) µB(x)} conjunction

A′=1-µA(x) negation

If A then B= min(1, µA(x) +µB(x)} implication

According to Mandani Fuzzy Inference,

If A1, A2, …, An then B

B=min( A1, A2, …, An)

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The Fuzzy propositions may contain quantifiers. These Fuzzy quantifiers may be eliminated
as

µvery(x) =µA(x) ²

µmore or less(x) = µA(x) ½.

Fuzzy Approach System

In this study, Fuzzy theory is adopted to assess the Expansion Potential of a soil using five
index properties namely percentage passing 75µ sieve i.e. Fine Fraction, Liquid Limit, Plasticity
Index, Shrinkage Limit and Free Swell Index. The problem of qualitative assessment of degree of
Expansion Potential can be approached using combination of degree of match and the Fuzzy rule
based system.

In a Fuzzy rule based system, the knowledge concerning the classification of the object
(potential expansion) is represented in the form of rules. Each rule has a set of antecedent
propositions comprising attribute names namely percentage passing 75µ sieve i.e. Fine Fraction,
Liquid Limit, Plasticity Index, Shrinkage Limit and Free Swell Index and linguistic description of
attributes like very high, high etcetera. These linguistic variables are invariably imprecise,
keeping in view the inadequate information on influence of each attribute on the object (that is
Expansion Potential) and the integrated effect of all the attributes in the potential expansion
(object). The set of rules formed are based on the criteria developed for Expansion Potential by
Altmeyer 1955, Holtz 1959, Chen 1975 , IS: 1498 1970, Snethen 1979 and the properties of
expanding clay mineral presented Table 1. The rules framed for use in this investigation are
shown in Table 1. The degree of match of each classification rule indicates the certainty value of
classification. The greater the degree of match, the greater is the possibility that the object
(Expansion Potential) is classified in that class.

Table 2: Rules Framed in Fuzzy Inference System

LL PL PI SL
Montmorillonite Rule 1: IF VH VH VH L

Illite Rule 2: IF VH H H L

Kaolinite Rule 3: IF VH H H M

Fuzzy inference process consists of five steps:

1. Fuzzification of the input variables

2. Application of the Fuzzy operator (AND or OR) in the antecedent

3. Implication from the antecedent to the consequent

4. Aggregation of the consequents across the rules

5. Defuzzification.

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Fuzzification of the Input Variables

The parameter used as input for assessing the Expansion Potential varies from one
method to another. Different methods have different criteria’s for obtaining the degree of
expansion (Altmeyer, 1955; Holtz, 1959; Chen, 1975; IS 1498:1970; and Snethen, 1979).
Altmeyer (1955) has considered Shrinkage Limit and Linear Shrinkage for obtaining the degree
of expansion of soil. IS classification method has used Liquid Limit, Plasticity Index, Shrinkage
Index, Free Swell Index as the criteria for obtaining degree of expansion. Though each of the
input parameters possess certain crisp values, it may not be always possible to expect all the input
parameters to fall in any one output descriptor using certain method. Even though when single
parameter criteria is considered instead of combination of different parameters, the parameter
with certain value may fall in one output descriptor as per one method and another output
descriptor as per another method. In such situations ambiguity arises in assigning the degree of
expansion. For example, for a soil with Liquid Limit value of 65%, Plasticity Index of 35% and
Shrinkage Limit of 12%, the degree of expansion predicted by different methods considering each
parameter separately is given in the following Table 3.
Table 3: Degree of Expansion by different methods for a given input
Degree of Expansion
Method Input Parameter
(Output in terms of descriptor)
Plasticity Index Very High/ High
Holtz/USBR
(Table 2.3)
Shrinkage Limit High/Medium

IS Classification Liquid Limit High

(Table 2.5) Shrinkage Index Medium
Snethen/UASEWES Liquid Limit High
(Table 2.11) Plasticity Index Medium

Chen (Table 2.4) Liquid Limit Very High

Note: Parameters are wL = 65%, IP = 35% and wS = 12%

From Table 3 it is clear that for same input, predicted Expansion Potential varies not only
from one method to another method but also from one parameter to another parameter in any
given method. That is, according to Holtz/USBR method for soil of 65% Liquid Limit, the
Expansion Potential is very high to medium where as it is high to medium for Plasticity Index of
36%. This gives raise to ambiguity in assessing Expansion Potential even by any one given
method also. Such situations can efficiently be handled in Fuzzy-Logic method by fuzzify the
input variables.

Fuzzification is the process of making a crisp quantity fuzzy. In this investigation the input
parameters to the system are percentage passing 75µ sieve that is Fine Fraction, Liquid Limit,
Plasticity Index, Shrinkage Limit and Free Swell Index. Ambiguity or vagueness exists in all
these parameters as their relation to degree of expansion or Expansion Potential is not crisp. In
Fuzzy approach system the parameters representing inputs and outputs are represented in the
form of Fuzzy sets. A Fuzzy set represents the set of values that a parameter can take. The Fuzzy

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sets can be represented by a function whether continuous or discontinuous, symmetrical or

asymmetrical in shape. All the information contained in a Fuzzy set is described by its
membership function. All of these Fuzzy sets or membership functions are characterized by core,
support and boundaries.

The core of a membership function for a Fuzzy set A is defined as the region of the universe
that is characterized by complete and full membership in the set A. That is, the core comprises
those elements x of the universe such that μA(x) = 1. The support of a membership function for a
Fuzzy set A is defined as the region of the universe that is characterized by nonzero membership
in the set A. That is, the support comprises those elements x of the universe such that μA(x) > 0.
The boundary comprises of a membership function for a Fuzzy set A and is defined as the region
of the universe containing elements that have a nonzero membership but not complete
membership. That is, the boundaries comprise those elements of x the universe such that 0 <
=μA(x)<=1

For example, the Rule 1 presented in Table 2 has five antecedents namely FF(VH) WL(VH)
IP (VH) Ws(L) and FSI (VH). For any given set of input variables, the membership values for
Fuzzy descriptors that is L, M, H and VH can be obtained based on Fuzzy Membership Function.
Different parts of these antecedent can be clubbed by either AND or OR operators in order to
represent only one result of the antecedent rule. The same is explained through the following
numerical example.

By the observation, the Fuzziness for parameters are as given below for a certain soil.
Liquid Plastic Plasticity Shrinkage
Exchangeable
Mineral Limit Limit Index Limit
Ion
(%) (%) (%) (%)
Na 0.85/710 0.65/54 0.9/656 0.75/9.9

K 0.8/660 0.9/98 0.8/562 0.7/9.3

Ca 0.75/510 0.8/81 0.7/429 0.8/10.5

Montmorillonite
Mg 0.7/410 0.65/60 0.6/350 0.9/14.7

Fe 0.65/290 0.7/75 0.5.215 0.8/10.3

Fe++ 0.6/140 0.7/73 0.2/67 0.8/10.0

The Low. High and Medium are computed as

Low(X) = min(X)

High(X)=Max(X)

Medium(X)=(Low(X) + High(X))/2
2
Very High(X)= ( High )

Where X is Liquid , Plastic, Plasticity and Shrinkage Limit

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The Table given below summarizes the membership values for each of the input variable for
all the four Fuzzy descriptors.
Fuzzy Membership Values for the example considered.
Fuzzy Plasticity Shrinkage
Liquid Limit Plastic Limit
Descriptor Index Limit

Low 0.6 0.65 0.2 0.7

Medium 0.72 0.77 0.5 0.8

High 0.85 0.9 0.9 0.9

Very High 0.72 0.81 0.81 0.81

All parts of the antecedent of rule 1 are clubbed by ‘AND’ operator. For the above data, rule
1 appears as given below.

Montmorillonite LL PL PI SL

Rule 1 IF VH VH VH L

0.72 0.81 0.81 0.7

IF ( LL is 0.72 ) AND ( PL is 0.81 ) AND ( PI is 0.81 ) AND ( SL is 0.7 )

The consequent / output for this antecedent is a single truth value obtained using the function
“min” as given below

RULE 1 : min (0.72, 0.81M 0.81, 0.71) = 0.7

Hence the truth value of Rule 1 is 0.7 In other words the consequent Expansion Potential of
Rule 1 is 0.7 memberships. . The other Rules will be calculated similar lines.
Expansion
Montmorillonite LL PL PI SL
Potential
VH VH VH L
IF THEN 0.7
0.72 0.81 0.81 0.7

Defuzzification of the Output Set

The aggregate Fuzzy set is defuzzified in order to resolve a single output value from the set.
The conversion of a Fuzzy set to single crisp value is called defuzzification. Five built-in methods
are used to defuzzify the output set: centroid, bisector, middle of maximum, largest of maximum
and the smallest of maximum. Here the smallest of maximum method is considered. According
to Mandani method of fuzzy Inference, the Expansion Potential is 0.7 and is High. In the
centroid method is used to deffuzzify the output. Initially, the centroids are computed for each

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competing membership functions. Then, the new output areas determined by shortening the
height of the membership value on the Y-axis as dictated by the rule strength value. Finally, the
Center of Gravity (CG) is computed using weighted average of the X-axis centroid points with
the newly computed output areas The details of this method may be found in Timothy Ross
(2004) or any other text book on Fuzzy Set Theory and Application.

CONCLUSIONS
A rule based Fuzzy Approach System has been developed for identification and estimation of
potential degree of expansion of a soil basing on simple index properties of the soil. Methods of
Fuzzy knowledge representation and fuzzy reasoning were employed to convert uncertain system
inputs to Fuzzy linguistic information. The results from 3 different soils reported in literature
indicate that the proposed system is effective in predicting potential degree of expansion. The
proposed system can be effectively used as a subsystem for expert system dealing with prediction
of engineering properties of soils using Index properties.

REFERENCES
1. Altmeyer, W.T. (1955) “Discussion of Engineering properties of expansive clays”, Proc.
ASCE, Vol.81, Separate No. 658.
2. Bellman and Zadeh, L.A. (1970) Decision Making in Fuzzy Environment, Management
Science 17, pp 141-164.
3. Chen, F.H. (1973) “The Basic physical property of expansive soils”, Proc. 3rd Int. Conf.
On Expansive soils, Haifa, Israel, Vol.1. pp 17-25.
4. Gupta, M.M. and Yamakawa, T. (1988) Fuzzy Logic in Knowledge Based System,
Decision and Control, North-Holland, New York.
5. Holtz, W.G. (1959) “Expansive clays-properties and problems”, Quarterly of the
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7. Koenner, M (1985) Construction and Geotechnical Methods in Foundation Engineering ,
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Nehru Technological University, Kakinada.
9. Meehan, R.L., and Karp, L.B. (1994) “California Housing Damage Related to
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10. Mitchell, K James (1993) Fundamentals of Soil Behaviour, John Wiley & Sons, New
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12. Snethen, D.R. (1979) “An evaluation of methodology for prediction and minimization of
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13. Sudharani, Ch., etal (2004) “Identification and assessment of Engineering properties of
soil using a Knowledge Based System”, International e-Conference, Indian Institute of
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14. Uniform Building Code (1997) International Conference of Building Officials, Whittier,
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15. Zadeh, L. A. (1964) Fuzzy Sets , Information and control, 8, pp. 338- 353.
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