Geotechnical engineering design has relied upon deterministic methods of analysis whereby values for analysis parameters and conditions are selected subjectively based on judgment with the intent of providing acceptable margins of safety. The objective of this research was to improve the use of probabilistic slope stability analysis in practice so that the design of slopes can be made on a consistent and probabilistic basis. The current research involved the development of a methodology for the measurement and modeling of the anisotropic autocorrelation distance of cohesive soils, which was demonstrated at Dyke 17 West of the McArthur Falls Generating Station. In-situ testing using the piezocone and laboratory testing was conducted to characterize the spatial variability of the effective-shear strength envelope. Vertical (down-hole) and horizontal (cross-hole) geostatistical analysis was conducted to assess the anisotropy of the semivariogram. The investigation identified that heterogeneous inclusions had significant impacts on the results, but that simplistic (visual) identification and filtering procedures were adequate. The effective-stress shear strength envelope was statistically characterized as a random field, which was simulated as a first-order Markov process using customized add-in functions in a limit-equilibrium slope stability analysis. The analysis accounts for the spatial variability of shear strength and is capable of simulating both isotropic and anisotropic autocorrelation functions. The study showed that the critical slip surface geometry and the probability of failure can be significantly different when the anisotropy of spatial correlation is accounted for. The study also showed that neglecting spatial correlation may over-estimate the probability of failure, however this finding was noted to be likely case-specific. The primary conclusion of the study was that appropriate representation of spatial correlation is essential to calculating the probability of failure. Finally, convergence of the probabilistic simulation was evaluated using bootstrapping of the simulated factor of safety distribution to assess the standard error in the mean factor of safety, standard deviation of factor of safety and the probability of failure. A convergence criterion based on the percentage standard error in the probability of failure was proposed and used to define the number of Monte-Carlo iterations required.

An essential component for evaluating the performance of a mine site after its closure includes the tracking of water movement through mine waste such as tailings and overburden. A critical element of this evaluation is the measurement of the volume of water stored in the closure landform. The objective of this project was to design a time domain reflectometry (TDR) device that could be used to measure the volumetric water content of a soil profile to depths of 10 to 20 m. Upon completion of this project, the device will be integrated onto ConeTec’s cone penetration testing (CPT) shaft for initially monitoring Syncrude Canada Limited’s northeastern Alberta oil sands mine site. The objective of this project will be achieved through at least two phases of research and development; this thesis concentrates on the first phase. In this phase, research focused on prototype development through laboratory testing to determine appropriate TDR probe geometries and configurations that could be integrated onto a CPT shaft. Considerations also had to be made for protecting the integrity of the probe during field use and mitigating the effects of highly electrically conductive soils common in reclaimed mine sites. A number of different prototype designs were initially investigated in this research, leading to the development of a refined prototype for advanced testing. Testing for the project was carried out first in solutions of known dielectric constants and salinities, and then proceeded to soils with a range of known water contents and salinities. Good quality electrical connections were found to be crucial for generating waveforms that were easy to interpret; bad connections resulted in poor results in a number of cases. Decreased probe sensitivity was observed in response to increased rod embedment within the probe variants. A far greater decrease in sensitivity was seen in the results of the fully sheathed rods, although the sheathing was effective for extending the range of the probe in electrically conductive testing conditions. Despite poor results that were seen in some of the tests, overall the results were promising. In particular, results from the push-test showed that the probe was able to monitor changes in water content with depth.

Characterization and assessment of liquefaction potential of gravelly soil in a reliable cost-effective manner has always been a great challenge for the geotechnical engineers. The typical laboratory investigation techniques have proven to be ineffective for characterizing gravelly soil due to the cost and difficulty of extracting undisturbed sample from gravelly deposits. The traditional in-situ tests like SPT or CPT are not very suitable for gravelly soil because of interference with large size gravel particles which can artificially increase the penetration resistance. The Becker Penetration Test, well known for gravelly soil characterization, is cost-prohibitive for routine projects and is not available in most of the world. The Chinese dynamic cone penetration test (DPT) with a larger diameter probe compared to the SPT or CPT, can be economically performed with conventional drilling equipment. Besides the penetration testing, in-situ measurement of shear wave velocity (Vs) is another alternative of characterizing gravel liquefaction. Probabilistic liquefaction triggering curves were developed by performing both DPT and shear wave velocity test at the Chengdu Plain of China where massive gravel liquefaction took place during 2008 Wenchuan earthquake. These curves have significant uncertainty as they were developed from a single event database. As a part of this study, both DPT and Vs tests have been performed at various sites around the world where gravelly soil did or did not liquefy in various past earthquakes. These newly collected data have been added to the existing Chinese dataset to form a large database on gravel liquefaction case histories for both DPT and Vs. Based on this larger database, new magnitude dependent probabilistic liquefaction triggering procedures have been developed for both DPT and Vs. The larger database has significantly improved the triggering curves by reducing the spread and constraining the curves at both the higher and lower end. New Magnitude Scaling Factor (MSF) curves have been developed for both DPT and Vs which were found to be consistent with existing MSF curves. Further, an instructive comparison has been drawn between the performance of CPT and newly developed DPT triggering procedure the liquefaction potential of gravelly deposits CentrePort in Wellington. Results showed that both DPT and CPT performed reasonably well in liquefaction assessment of the gravelly fill. However, the CPT-based CRR profiles contain intermittent spikes due to the interaction with gravel particles whereas the DPT resistance appear to be relatively smooth. Similar comparison has been presented between the DPT and BPT in performing liquefaction assessment of gravelly soil at the Borah Peak sites in Idaho. It is found that both DPT and BPT successfully evaluate the liquefaction potential of the loose critical layers but the medium dense to dense layers are identified as non-liquefiable by the DPT whereas the same deposits are identified as liquefiable by the BPT. Lastly, an investigation has been carried out to observe the effect of hydraulic conductivity and in-situ drainage on the liquefaction triggering in gravelly soils based on field data along with a group of numerical analyses. It is found that the hydraulic conductivity of gravelly soil reduces with sand content which eventually may cause liquefaction during earthquake shaking. Low permeability cap layer may also impede the drainage path to generate excess pore pressure to trigger liquefaction in the gravelly strata.

Soil liquefaction can cause devastating damage and loss and is a serious concern in civil engineering practice. One method for evaluating liquefaction triggering potential is a risk-targeted probabilistic approach that has been shown to provide more consistent and accurate estimates of liquefaction risk than traditional methods. This approach is a “performance-based” procedure which is based off of the performance-based earthquake engineering (PBEE) framework developed by the Pacific Earthquake Engineering Research (PEER) Center. Unfortunately, due to its complexity, performance-based liquefaction assessment is not often used in engineering practice. However, previous researchers have developed a simplified performance-based procedure which incorporates the accuracy and benefits of a full performance-based procedure while maintaining a more simplistic and user-friendly approach. Until now, these simplified performance-based procedures have only been available for the SPT (Standard Penetration Test). With the increasing popularity of the CPT (Cone Penetration Test), a simplified procedure is needed for CPT-based liquefaction assessment. This thesis presents the derivation of a simplified performance-based procedure for evaluating liquefaction triggering using the Ku et al. (2012) and Boulanger and Idriss (2014) models. The validation study compares the results of the simplified and full performance-based procedures. The comparison study compares the accuracy of the simplified performance-based and traditional pseudo-probabilistic procedures. These studies show that the simplified performance-based procedure provides a better and more consistent approximation of the full performance-based procedure than traditional methods. This thesis also details the development of the liquefaction loading maps which are an integral part of the simplified method.

This thesis evaluates the commonly used geotechnical probing method CPTu, on how different probe configurations impact the resulting evaluated undrained shear strength in soft clay deposits, in comparison to each other and laboratory methods. This is done by performing field investigations on Lindefältet, Södermanlands län, Sweden. Comparison is done on the two Swedish manufacturers of CPTu probes, by different calibration limits, filter types and whether overloading the probe over the calibration limit affects the evaluated undrained shear strength registered. The main conclusions are that one of the manufacturers’ probes registers deviating results in one configuration, that calibration limit has a noticable impact on the results, and that overloading on the probe and filter choice has negliable impact on the results. / I detta examensarbete utvärderas den vanligt förekommande geotekniska sonderingsmetoden CPTu, på hur olika konfigurationer av sonder påverkar den resulterande utvärderade odränerade skjuvhållfastheten i lösa leravlagringar, 9i jämförelse med varandra och med laboratoriemetoder. Detta är genomfört genom fältundersökningar på Lindefältet, Södermanlands län. Jämförelsen gjordes på de två svenska CPTu-tillverkarnas sonder. Detta är gjort med hänsyn till olika kalibreringar av konspetstryck, filtertyper, och huruvida sonden har varit överlastad påverkar den utvärderade skjuvhållfastheten som registreras. De huvudsakliga slutsatserna är att en av tillverkarnas sonder registerar udda värden i en konfiguration, att kalibreringar av konspetstryck har en märkbar påverkan på de resulterande värdena på utvärderade odränerade skjuvhållfastheten, samt att överlastning av sonder och val av filtertyp har liten till omärkbar påverkan på resultatet.

The knowledge about the shear strength of a soil is important because it is a key parameter that is used in many calculations in construction engineering. Some examples of what’s possible to calculate are slope stability, the soil pressure against retaining walls and the carrying capacity of building foundations. Great economic losses or, in the worst case scenario the risk for human lives, could be the result if the geotechnical properties of the soil are ignored. This report considers the undrained shear strength of clay from Uppsala. There are different methods based on empirical experiences which are used to determine the undrained shear strength of a clay. In this project the methods and the results in undrained shear strength are compared between CPT-probing, which is carried out in-situ, and the drop cone test which is done in a laboratory. The reason for this comparison is that they usually don’t show the same results.The tests had already been made before this project started and therefore it is only the comparison of the results between the methods that has been done. The comparison was done by creating charts in Excel where the results from CPT and the drop cone test from was put together from the same point. The shear strength values from the methods were also statistically analysed with a t-test to see if they show the same hypothetical expected value with 95 % significance in every test point / Kunskap om skjuvhållfastheten är viktig då den används för beräkningar inom byggoch anläggningsbranschen. Exempel på vad som kan beräknas är släntstabilitet, jordtrycket mot en spont eller bärförmågan hos en byggnadsgrund. Stora ekonomiska förluster och i värsta fall fara för människoliv kan bli resultatet om jordens geotekniska egenskaper ignoreras. Denna rapport tar upp den odränerade skjuvhållfastheten i Uppsalalera. Det finns olika metoder som bygger på empiriska erfarenheter som kan användas för att ta reda på den odränerade skjuvhållfastheten i lera. I föreliggandeprojekt jämförs metoderna och resultaten i odränerad skjuvhållfasthet mellan CPT-sondering som utförs in-situ och fallkonförsök som utförs på lerprover i ett laboratorium. Anledningen till studien är att metoderna inte alltid ger samma mätvärden. Undersökningarna utfördes innan projektet började. Jämförelsen har gjorts genom den statistiska jämförelsen t (student)-test. Resultatet från t-testet visar att skjuvhållfasthetsvärdena från CPT respektive fallkonförsöken från samma undersökningspunkt och från samma nivå har samma hypotetiska förväntade värde på 95 % signifikansnivå. Genom sammanställda grafer syns att metoderna i de flesta fall överensstämmer till ett djup på minst 20 m.

This study examines the use of performance-based engineering in earthquake liquefaction hazard analysis with Cone Penetration Test data (CPT). This work builds upon previous research involving performance-based liquefaction analysis with the Standard Penetration Test (SPT). Two new performance-based liquefaction triggering models are presented herein. The two models used in this liquefaction analysis are modified from the case-history based probabilistic models proposed by Ku et al. (2012) and Boulanger and Idriss (2014). Using these models, a comparison is made between the performance-based method and the conventional pseudo-probabilistic method. This comparison uses the 2014 USGS probabilistic seismic hazard models for both methods. The comparison reveals that, although in most cases both methods predict similar liquefaction hazard using a factor of safety against liquefaction, by comparing the probability of liquefaction, the performance-based method on average will predict a smaller liquefaction hazard.

Enhanced Integration of Shear Wave Velocity Profiling in Direct-Push Site Characterization Systems Alexander V. McGillivray 370 Pages Directed by Dr. Paul W. Mayne Shear wave velocity (VS) is a fundamental property of soils directly related to the shear stiffness at small-strains. Therefore, VS should be a routine measurement made during everyday site characterization. There are several lab and field methods for measuring VS, but the seismic piezocone penetration test (SCPTu) and the seismic dilatometer test (SDMT) are the most efficient means for profiling the small-strain stiffness in addition to evaluating large-strain strength, as well as providing evaluations of the geostratigraphy, stress state, and permeability, all within a single sounding. Although the CPT and DMT have been in use for over three decades in the USA, they are only recently becoming commonplace on small-, medium-, and large-size projects as more organizations begin to realize their benefits. Regrettably, the SCPTu and the SDMT are lagging slightly behind their non-seismic counterparts in popularity, in part because the geophysics component of the tests has not been updated during the 25 years since the tests were envisioned. The VS measurement component is inefficient and not cost effective for routine use. The purpose of this research is to remove the barriers to seismic testing during direct-push site characterization with SCPTu and SDMT. A continuous-push seismic system has been developed to improve the integration of VS measurements with SCPTu and SDMT, allowing VS to be measured during penetration without stopping the progress of the probe. A new type of portable automated seismic source, given the name RotoSeis, was created to generate repeated hammer strikes at regularly spaced time intervals. A true-interval biaxial seismic probe and an automated data acquisition system were also developed to capture the shear waves. By not limiting VS measurement to pauses in penetration during rod breaks, it is possible to make overlapping VS interval measurements. This new method, termed frequent-interval, increases the depth resolution of the VS profile to be more compatible with the depth intervals of the near-continuous non-seismic measurements of the SCPTu and the SDMT.

As a consequence of the 2010 – 2011 Canterbury earthquake sequence, Christchurch experienced widespread liquefaction, vertical settlement and lateral spreading. These geological processes caused extensive damage to both housing and infrastructure, and increased the need for geotechnical investigation substantially. Cone Penetration Testing (CPT) has become the most common method for liquefaction assessment in Christchurch, and issues have been identified with the soil behaviour type, liquefaction potential and vertical settlement estimates, particularly in the north-western suburbs of Christchurch where soils consist mostly of silts, clayey silts and silty clays. The CPT soil behaviour type often appears to over-estimate the fines content within a soil, while the liquefaction potential and vertical settlement are often calculated higher than those measured after the Canterbury earthquake sequence. To investigate these issues, laboratory work was carried out on three adjacent CPT/borehole pairs from the Groynes Park subdivision in northern Christchurch. Boreholes were logged according to NZGS standards, separated into stratigraphic layers, and laboratory tests were conducted on representative samples. Comparison of these results with the CPT soil behaviour types provided valuable information, where 62% of soils on average were specified by the CPT at the Groynes Park subdivision as finer than what was actually present, 20% of soils on average were specified as coarser than what was actually present, and only 18% of soils on average were correctly classified by the CPT. Hence the CPT soil behaviour type is not accurately describing the stratigraphic profile at the Groynes Park subdivision, and it is understood that this is also the case in much of northwest Christchurch where similar soils are found. The computer software CLiq, by GeoLogismiki, uses assessment parameter constants which are able to be adjusted with each CPT file, in an attempt to make each more accurate. These parameter changes can in some cases substantially alter the results for liquefaction analysis. The sensitivity of the overall assessment method, raising and lowering the water table, lowering the soil behaviour type index, Ic, liquefaction cutoff value, the layer detection option, and the weighting factor option, were analysed by comparison with a set of ‘base settings’. The investigation confirmed that liquefaction analysis results can be very sensitive to the parameters selected, and demonstrated the dependency of the soil behaviour type on the soil behaviour type index, as the tested assessment parameters made very little to no changes to the soil behaviour type plots. The soil behaviour type index, Ic, developed by Robertson and Wride (1998) has been used to define a soil’s behaviour type, which is defined according to a set of numerical boundaries. In addition to this, the liquefaction cutoff point is defined as Ic > 2.6, whereby it is assumed that any soils with an Ic value above this will not liquefy due to clay-like tendencies (Robertson and Wride, 1998). The method has been identified in this thesis as being potentially unsuitable for some areas of Christchurch as it was developed for mostly sandy soils. An alternative methodology involving adjustment of the Robertson and Wride (1998) soil behaviour type boundaries is proposed as follows:  Ic < 1.31 – Gravelly sand to dense sand  1.31 < Ic < 1.90 – Sands: clean sand to silty sand  1.90 < Ic < 2.50 – Sand mixtures: silty sand to sandy silt  2.50 < Ic < 3.20 – Silt mixtures: clayey silt to silty clay  3.20 < Ic < 3.60 – Clays: silty clay to clay  Ic > 3.60 – Organics soils: peats. When the soil behaviour type boundary changes were applied to 15 test sites throughout Christchurch, 67% showed an improved change of soil behaviour type, while the remaining 33% remained unchanged, because they consisted almost entirely of sand. Within these boundary changes, the liquefaction cutoff point was moved from Ic > 2.6 to Ic > 2.5 and altered the liquefaction potential and vertical settlement to more realistic ii values. This confirmed that the overall soil behaviour type boundary changes appear to solve both the soil behaviour type issues and reduce the overestimation of liquefaction potential and vertical settlement. This thesis acts as a starting point towards researching the issues discussed. In particular, future work which would be useful includes investigation of the CLiq assessment parameter adjustments, and those which would be most suitable for use in clay-rich soils such as those in Christchurch. In particular consideration of how the water table can be better assessed when perched layers of water exist, with the limitation that only one elevation can be entered into CLiq. Additionally, a useful investigation would be a comparison of the known liquefaction and settlements from the Canterbury earthquake sequence with the liquefaction and settlement potentials calculated in CLiq for equivalent shaking conditions. This would enable the difference between the two to be accurately defined, and a suitable adjustment applied. Finally, inconsistencies between the Laser-Sizer and Hydrometer should be investigated, as the Laser-Sizer under-estimated the fines content by up to one third of the Hydrometer values.

The boundary value problems (BVPs) of geomechanics are challenging due to the complexity in modeling soil behavior and difficulties in modeling large deformations. While traditional numerical schemes have struggled in realistically simulating geomechanical BVPs, new numerical methods –such as the material point method (MPM)–are increasingly being used to tackle these problems. However, algorithms in MPM have not yet been sufficiently developed, scrutinized, and validated. This thesis focuses on the development, verification, and validation of MPM for use in geomechanical BVPs. In particular, the thesis focuses on simulation of cone penetration tests in both controlled environments and in field conditions.<div><br></div><div>To efficiently simulate cone penetration, a silent boundary scheme, known as a cone boundary, was proposed in the generalized interpolation material point method (GIMP), a variant of MPM. The implementation of the cone boundary in GIMP was discussed, and the boundaries were validated by comparison against several benchmark problems. The cone boundaries were shown to be suitable in transmitting energy at the boundary. In addition, the implementation of traction boundaries in GIMP was analyzed. In GIMP, traction boundaries may be implemented either at the centroid of the material point, or at the edge of the material point domain. It was shown that the implementation of traction boundaries at the edge of the domain led to stress oscillations near the boundary, which were minimized when the traction boundaries were implemented at the edge of the domain.<br></div><div><br></div><div>During cone penetration, the soil near the cone-soil interface is pushed to large strains. At large strains, soils reach critical state, a state in which the soil shears at constant volume. Simulation of incompressible materials using low-order shape functions commonly used in GIMP leads to stiffer solutions and stress oscillations. To mitigate the constraints imposed by incompressibility, the non-linear B-bar method was implemented in GIMP. The modifications required for the implementation of the B-bar method in GIMP were discussed, and the efficacy of the method in mitigating incompressibility was demonstrated by analyzing several benchmark problems.<br></div><div><br></div><div>To simulate cone penetration in saturated soil, a coupled formulation was proposed in GIMP.A single material point was used to represent both the soil matrix and water. The governing equations were solved using an explicit scheme with the velocity of the soil matrix and the velocity of water as the primary variables. The formulation was validated through problems for which analytical or numerical solutions are available.<br></div><div><br></div><div>Finally, cone penetration analyses were performed both in dry sand and saturated clays. Two bounding surface models –one for sand and one for clay –were used for accurately capturing the soil response. Cone penetration tests were performed on Ottawa 20-30 sand under a variety of loading conditions at a large calibration chamber. The penetration resistances were measured, and the displacement fields were captured using the digital image correlation technique(DIC). The cone penetration resistances predicted by MPM were within 25% of the measured values, and the displacement fields computed using MPM were similar to those captured using DIC. For saturated clays, cone penetration test results reported in the literature for a Boston Blue Clay (BBC) test site were used. The simulated cone resistance of 650 kPa lied within the CPT resistance range of 580-730 kPa reported in the field. The results demonstrate the capability of MPM in simulating cone penetration in both sands and clays provided that sufficiently accurate algorithms and advanced constitutive models capable of reproducing realistic soil behavior are used in the analyses.<br></div>