This dissertation includes the three major parts of the study: volume change, and lateral earth pressure due to suction change in expansive clay soils, and design of civil infrastructure drilled pier, retaining wall and pavement in expansive soils. The volume change model in expansive clay has been refined to reinforce realistic characteristics of swelling and shrinkage behavior of expansive clay soils. Refinements include more realistic design soil suction versus depth profiles and improved characterizations of the effects of soil cracking, overburden stress, and lateral earth pressure. The refined model also includes an algorithm of assigning suctionvolumetric water content curves and diffusivity through the soil. The typical lateral earth pressure distribution during wetting against a stationary wall is proposed. The proposed stationary retaining wall-soil system in expansive soils includes an upper movement active zone and a lower anchor zone. Mohrâ s circles and failure envelopes are used to define the effective horizontal stress and shear failure in an unsaturated soil. The prediction of the horizontal pressures due to suction change in a soil is compared with the in situ measurement of natural horizontal pressures and the measurements from the large scale tests. It is found that agreement between the measured and predicted horizontal pressures is satisfactory. Case studies of axial and bending of the pier are presented with both uniform and non-uniform wetting. The pier case study for axial behavior shows a good agreement with a heave at ground surface and uplift forces. Three case studies for bending behavior of the pier and retaining wall are presented based on suction change. Pavement design program has been refined to extend the design capabilities into both flexible and rigid pavements supported by pavement treatments. The comparative case studies using both current and new methods in pavement design show that the current method criterion of 1-inch is unnecessarily conservative. Furthermore, the current method does not provide a means of anticipating subgrade shrinkage that will result in longitudinal cracking along the edge of the pavement. The design calculations with both methods lead to the conclusion that neither the swelling movement, as in the current method, nor the total movement, as in the new method, is a reliable indicator of likely acceptable pavement performance. Instead, all of these case studies show that it is important to use the predicted history of the present serviceability index and the international roughness index as the proper design guideline for an acceptable treatment of the subgrade of an expansive soil.

Lateral earth pressures (LEP) that arise due to backfill on retaining structures are typically determined by extending the principles of saturated soil mechanics. However, there is evidence in the literature to highlight the LEP on retaining structures due to the influence of soil backfill in saturated and unsaturated conditions are significantly different. Some studies are reported in the literature to interpret the variation of LEP on the retaining structures assuming that the variation of matric suction in unsaturated backfill material is hydrostatic (i.e. matric suction is assumed to decrease linearly from the surface to a value of zero at the ground water table). Such an assumption however is not reliable when the backfill behind the retaining wall is an expansive soil, which is extremely sensitive to the changes in variation of water content values. Significant volume changes occur in expansive soils due to the influence of environmental factors such as the infiltration and evaporation. In addition to the volume changes, the swelling pressure of the expansive soils also varies with changes in water content and can significantly influence the LEPs behind the retaining wall. In this thesis, a framework for estimating the LEPs of unsaturated soils is proposed considering the variation of matric suction with respect to various water flow rates (i.e. infiltration and evaporation). The proposed approach is extended for expansive and non-expansive soils in this thesis taking into account of the influence of both the cracks and the lateral swelling pressure with changes in water content. A program code LEENES (Lateral pressure estimation on retaining walls taking account of Environmental factors for Expansive and Non-Expansive Soils) in MATLAB is written to predict the LEP. The program LEENES is valuable tool for geotechnical engineers to estimate the LEPs on retaining structures for various scenarios that are conventionally encountered in geotechnical engineering practice. The studies presented in this thesis are of interest to the practitioners who routinely design retaining walls with both expansive and non-expansive soils as backfill material.

Two series of static full-scale lateral pile cap tests were conducted on pile caps with different aspect ratios, with full width (homogeneous) and limited width backfill conditions involving loose sand and dense gravel. The limited width backfills were constructed by placing a relatively narrow zone (3 to 6 ft (0.91 to 1.83 m)) of higher density gravel material adjacent to the cap with loose sand beyond the gravel zone. Test results indicated that large increases in lateral passive resistance could be expected for limited width backfills. The main focus of this study is to assess the contribution of plane strain stress effects and 3D geometric end effects to the total passive resistance mobilized by limited width backfills, using soil and pile cap properties associated with the field tests. For this purpose, the finite element program, PLAXIS 2D was used to investigate the static plane strain passive behavior of the full-scale tests. To validate the procedure, numerical results were calibrated against analytical results obtained from PYCAP and ABUTMENT. The analytical models were additionally validated by comparison with measured ultimate passive resistances. The calibrated model was then used to simulate the passive behavior of limited width gravel backfills. Parametric studies were also executed to evaluate the influence of a range of selected design parameters, related to the pile cap geometry and backfill soil type, on the passive resistance of limited width backfills. Numerical results indicated that significant increases in passive resistance could be expected for long abutment walls where end effects are less pronounced and the geometry is closer to a plane strain condition. Comparisons between measured and numerical results indicated that using the Brinch-Hansen 3D correction factor, R3D, as a multiplier to the plane strain resistances, will provide a conservative estimate of the actual 3D passive response of a pile cap with a limited width backfill. Based on results obtained from the parametric studies, a design method was developed for predicting the ultimate passive resistance of limited width backfills, for both plane strain and 3D geometries.

There has been an increasing interest in fundamental and applied research on emerging geotechnical and geoenvironmental engineering applications that pose multi-physics problems involving non-isothermal processes in unsaturated soils. Properly studying these problems requires the development of analytical models to describe the constitutive behavior of unsaturated soils under non-isothermal conditions. However, major gaps remain in the development of unified models that can properly represent the temperature dependency of unsaturated soil behavior. The effects of temperature on the stability of slopes, lateral earth pressure, and pile resistance in unsaturated soils are also not well understood. The main objective of this study is to provide new insight and robust tools to characterize and model the temperature-dependent behavior of unsaturated soils. For this purpose, novel unified models are developed for soil water retention curve, effective stress, thermal conductivity function, and small-strain shear modulus for unsaturated soils at elevated temperatures. The models are proposed by establishing or extending the unified model at isothermal conditions to nonisothermal conditions. The fundamental and main variable in all unified models is capillary pressure (also referred to as matric suction). The effect of temperature is considered on adsorption and capillarity as a function of water-air surface tension, soil-water contact angle, and enthalpy of immersion. The proposed models are verified by comparing them with experimental data reported in the literature and measurements made in this study. Overall results of the proposed models show an excellent predictive capability. Furthermore, the parametric study is conducted to understand the effect of different parameters such as soil type, temperature, drainage conditions, and among others on hydraulic and mechanical properties of unsaturated soil. Finally, the proposed models are incorporated into geotechnical applications such as slope stability, lateral earth pressure, and pile resistance involving unsaturated conditions and elevated temperatures. The variation of temperature in unsaturated soils for these applications can be notable and cannot be ignored in the design and analysis. The proposed formulations can also be readily incorporated into analytical solutions and numerical simulations of thermo-hydro-mechanical processes in unsaturated soils. The findings of the study can facilitate using numerical models to simulate various non-isothermal applications including geo-energy systems and soil-atmospheric interaction problems.

In recent years, the desperate need for reliable clean and relatively small power demand has emerged for edge-of-grid or off-grid regions to keep pace with development demands. A salient technology that has gained much attention for this purpose is the Small Modular Reactors, i.e., SMRs. SMRs differ from conventional Nuclear Power Plants (NPPs) in many aspects, specifically the enclosing structure of the reactor. The burial depth of the SMR structure is expected to reach great depths. For example, the substructure depth reaches 30 m in the SMR design proposed by NuScale (NuScale Power, 2020). Consequently, seismic analysis of deeply embedded structures with a relatively small footprint has been identified as one of the challenges to the safe implementation of SMR technology (DIS-16-04, 2016). Such structures are expected to be more sensitive to surface wave propagation and the seismic interaction with nearby substructures and nonstructural elements such as pipelines. This dissertation develops analytical and numerical methods to analyze the seismic earth pressure exerted on the SMR substructure by considering the effects of seismic surface waves, structure-soil-structure interaction (SSSI), and the interaction with nearby pipelines. The three-dimensional wave propagation theory is employed in the analysis. Solutions for the earth pressure induced by Rayleigh waves are obtained for substructures deeply embedded into homogeneous or multilayered soil profiles. In addition, the effect of thin soil layer (stiff or soft) soils in a soil profile is investigated in the presence of Rayleigh waves. Furthermore, additional earth pressure due to SSSI is examined, and a simplified procedure is proposed based on the three-dimensional wave propagation theory and a guided flow chart to track seismic wave interference. The SSSI analysis yields solutions for the optimal distance between substructures corresponding to the minimum SSSI in new designs. The interaction between substructures and nearby pipelines is explored numerically using the Spectral Element Method. SPECFEM2D software is adopted to perform the analysis, where the three-dimensional wave propagation is successfully implemented. Based on the analysis for pipelines with different configurations, general conclusions are drawn regarding the additional earth pressure on substructures and pipelines based on a comprehensive parametric study of various parameters. In addition, this research also provides an approach to determine the backfill configuration and the selection of backfill materials, which could minimize the seismic amplitudes transmitted to substructures. / Thesis / Doctor of Philosophy (PhD) / Small Modular Reactors (SMRs) are the cornerstone of recent developments in the nuclear industry. However, the SMRs technology faces several safety-related challenges, which includes the earthquake hazards related to the large embedment depth of the enclosing structure. In particular, the major concerns are about the risks related to seismic surface waves as well as the seismic interaction between nearby structural and non-structural elements (e.g., pipelines). The thesis addressed these major concerns by developing analytical and numerical methods to complement the analysis for the integrity of SMRs with sufficient seismic resistance. The solutions are verified and benchmarked using data in the literature. Future researches are suggested to further improve seismic analysis of SMRs.

Yes / Arching in soils has received great attention due to its significance on the soil–underground structure interaction. The state of stress on underground structures as a result of cycles of active and passive arching was neither explored nor systematically assessed. In the present study, comprehensive investigation was carried out to examine: i. the effects of displacement direction to induce active or passive arching, ii. the behaviour of subsequent arching, iii. the effect of magnitude of initial displacement on the formation of arching and iv. the influence of soil height on sequential active and passive arching. The results showed that alternating the displacement of the underground inclusion exacerbated the formation of active and passive arching leading to a substantial reduction in shear resistance and stress redistribution. It is noted that sequentially alternating displacement of the underground inclusion was detrimental to the formation of full active and passive arches irrespective of the burial height.

O objetivo desta dissertação consiste em aprofundar o entendimento dos mecanismos que controlam o atrito lateral sob arrancamento de estacas instaladas por fluidização em areia. A técnica de instalação é estudada como uma alternativa para a utilização de estacas torpedo na fixação de plataformas offshore. Trabalhou-se em laboratório com o arrancamento de estacas metálicas circulares em modelo reduzido. Foram utilizados três diâmetros de estacas modelo, simulando três diferentes escalas: 14 mm (1:76), 16,2 mm (1:67) e 21,3 mm (1:50). Foram realizados 8 ensaios de arrancamento (24 horas após a fluidização) em estacas modelo instaladas por fluidização em solo arenoso com densidade relativa de 50% e submetido à sobrecarga de 2,236 kPa. Foram também realizados 17 ensaios de arrancamento em estacas modelo pré-instaladas (sem fluidização) em areia com densidade relativa de 30%, simulando uma instalação sem perturbação do solo, uma vez que esta é a densidade relativa aproximada que a areia atinge após o processo de fluidização. Os resultados foram comparados com pesquisas anteriores de arrancamento de estacas instaladas por fluidização em areia. Para um aumento médio de 2 vezes a tensão vertical efetiva nas estacas modelo instaladas por fluidização com sobrecarga, observa-se um ganho médio de 1,8 na resistência. O coeficiente de empuxo lateral de serviço para estes ensaios não apresentou diferenças significativas em relação ao mesmo tipo de ensaio sem sobrecarga. As estacas instaladas por fluidização com sobrecarga e estacas pré-instaladas (sem perturbação) apresentam valores de constantes e independentes das profundidades instaladas, com respectivas médias de 0,15 e 0,31. O valor de parece aumentar com o tempo para as estacas fluidizadas (efeito setup) devido à reconstituição das tensões radiais. Os valores de estacas cravadas em areia densa diminuem seu valor com o aumento da profundidade instalada (e da tensão efetiva média atuante), por restrição de dilatação, tendendo ao valor de encontrado para ensaios pré-instalados realizados neste trabalho. / The main goal of this study is to deepen the understanding of the shaft friction behavior under tension loads of piles installed by fluidization in Osório sand. The installation technique is studied as an alternative for the use of torpedo piles in offshore platforms anchoring. This work was done in laboratory with metallic circular piles in reduced model. Three diameters of model piles were used, simulating three different scales: 14 mm (1:76), 16,2 mm (1:67) and 21,3 mm (1:50). Eight pullout tests (24 hours after fluidization) were carried out on model piles installed by fluidization in sandy soil with a relative density of 50% and subjected to a surcharge of 2,236 kPa. Eighteen pullout tests were performed on pre-installed (non-fluidized) model piles in sand with a relative density of 30%, simulating an installation without soil disturbance, since this is the approximate relative density reached after the process of fluidization. The results were compared with previous studies of pullout resistance of fluidized piles in sand. For an average increase of 2 times the vertical effective stress in the model piles installed by fluidization with surcharge, an average increase of 1,8 times is observed in the pullout resistance. The lateral earth pressure coefficient on the pile shaft for these tests did not show significant differences in relation to the same type of test without surcharge. For tests installed by fluidization and pre-installed tests (without soil disturbance), remains constant and independent of the installed depths, with respective averages of 0,15 and 0,31. The value seems to increase with time for fluidized tests (setup effect) due to the reconstitution of the radial tensions. The values for pullout tests in driven model piles in dense sand decrease their value with the increase of the installed depth (and the increase of the vertical effective stress), by restriction of the expansive behavior, tending to the value found for pre-installed tests carried out in this work.

Procurando diminuir as incertezas a respeito do comportamento de estacas em perfis arenosos, desenvolveu-se um campo experimental localizado em Araquari-SC, conduzido pela Universidade Federal do Rio Grande do Sul, no qual foram executados (a) ensaios de campo para definir as condições geotécnicas do solo, (b) estacas escavadas e hélice continua e (c) provas de carga estática nos elementos estruturais. O presente trabalho tem como objetivo estudar as variáveis que intervêm no mecanismo de transferência de carga ao solo. Mediante ensaios de laboratório, caracterizou-se o solo presente no campo experimental, definiram-se os parâmetros de resistência, mineralogia, forma, distribuição e tamanho das partículas, para serem usadas na retro análise do coeficiente de pressão de solo (ks) das provas de carga. Para esta finalidade foram analisados os resultados medidos em estacas escavadas executadas com bentonita e polímero. A retro análise foi realizada através do método beta (β), abordagem que permite a obtenção da capacidade lateral das estacas construídas em perfis arenosos, baseado nas tensões verticais, no coeficiente de pressão de solo e no ângulo de atrito da interface solo-estaca. Devido à interação entre as partículas do solo e concreto da estaca, estas são mobilizadas a elevados níveis de deformações, o ângulo de atrito da interface é considerado próximo ao ângulo de atrito no estado crítico da areia. O solo presente no campo experimental corresponde a areia fina com lentes de silte. Assim, os parâmetros de resistência definidos foram o ângulo de atrito no estado crítico e de pico com valores de 33,0° e 33,4° respetivamente. O ângulo no estado crítico foi utilizado na retro análise das provas de carga e como resultado foi obtido o ks, para posteriormente ser comparado ao coeficiente de empuxo no repouso (k0). Os resultados mostraram que com a profundidade o valor ks aproxima-se ao valor de k0, apresentado uma relação de ks/k0 próxima a unidade. Conclui-se que, o mecanismo de transferência de carga entre o solo e a estaca pode ser avaliado em função das tensões iniciais do depósito, expressas a partir de k0 estimado com base nos ensaios de laboratório. / In order to reduce the uncertainties regarding the behavior of piles in sandy profiles, an experimental field was developed by the Federal University of Rio Grande do Sul in Araquari-SC, where were executed (a) field tests to define soil geotechnical conditions, (b) bored and continuous flight auger piles and (c) static load tests on the structural elements. The aim of this research was to study the variables that intervene in the soil load transfer mechanism. The soil at the experimental field was characterized by laboratory tests, and parameters of resistance, mineralogy, particle shape, distribution and size were obtained for use in the back analysis of the soil pressure coefficient (ks) of the load tests. For this purpose, were analyzed the results measured on bored piles executed with bentonite and polymer. The back analysis was made using the beta method (β), which allows to estimate the lateral capacity of the piles constructed in sandy profiles, based on vertical stresses, soil pressure coefficient and friction angle of the soil-pile interface. Due to the interaction between the soil particles and the pile concrete, the first are mobilized at high deformation levels, the friction angle of the interface is considered close to the friction angle in the sand critical state. The soil present in the experimental field corresponds to fine sand with silt lenses. Thus, the resistance parameters defined were the critical state and peak friction angle with values of 33.0 ° and 33.4 ° respectively. The critical state angle was used in the back analysis of the load tests, and as a result the ks was obtained, to be subsequently compared to the at rest lateral earth pressure coefficient (k0). The results showed that, with depth, the value ks approaches the value of k0, with a relation of ks / k0 close to unity. It is concluded that the load transfer mechanism between the soil and the pile can be evaluated as a function of the initial stresses of the deposit, expressed from an estimated k0 based on the laboratory tests.

Procurando diminuir as incertezas a respeito do comportamento de estacas em perfis arenosos, desenvolveu-se um campo experimental localizado em Araquari-SC, conduzido pela Universidade Federal do Rio Grande do Sul, no qual foram executados (a) ensaios de campo para definir as condições geotécnicas do solo, (b) estacas escavadas e hélice continua e (c) provas de carga estática nos elementos estruturais. O presente trabalho tem como objetivo estudar as variáveis que intervêm no mecanismo de transferência de carga ao solo. Mediante ensaios de laboratório, caracterizou-se o solo presente no campo experimental, definiram-se os parâmetros de resistência, mineralogia, forma, distribuição e tamanho das partículas, para serem usadas na retro análise do coeficiente de pressão de solo (ks) das provas de carga. Para esta finalidade foram analisados os resultados medidos em estacas escavadas executadas com bentonita e polímero. A retro análise foi realizada através do método beta (β), abordagem que permite a obtenção da capacidade lateral das estacas construídas em perfis arenosos, baseado nas tensões verticais, no coeficiente de pressão de solo e no ângulo de atrito da interface solo-estaca. Devido à interação entre as partículas do solo e concreto da estaca, estas são mobilizadas a elevados níveis de deformações, o ângulo de atrito da interface é considerado próximo ao ângulo de atrito no estado crítico da areia. O solo presente no campo experimental corresponde a areia fina com lentes de silte. Assim, os parâmetros de resistência definidos foram o ângulo de atrito no estado crítico e de pico com valores de 33,0° e 33,4° respetivamente. O ângulo no estado crítico foi utilizado na retro análise das provas de carga e como resultado foi obtido o ks, para posteriormente ser comparado ao coeficiente de empuxo no repouso (k0). Os resultados mostraram que com a profundidade o valor ks aproxima-se ao valor de k0, apresentado uma relação de ks/k0 próxima a unidade. Conclui-se que, o mecanismo de transferência de carga entre o solo e a estaca pode ser avaliado em função das tensões iniciais do depósito, expressas a partir de k0 estimado com base nos ensaios de laboratório. / In order to reduce the uncertainties regarding the behavior of piles in sandy profiles, an experimental field was developed by the Federal University of Rio Grande do Sul in Araquari-SC, where were executed (a) field tests to define soil geotechnical conditions, (b) bored and continuous flight auger piles and (c) static load tests on the structural elements. The aim of this research was to study the variables that intervene in the soil load transfer mechanism. The soil at the experimental field was characterized by laboratory tests, and parameters of resistance, mineralogy, particle shape, distribution and size were obtained for use in the back analysis of the soil pressure coefficient (ks) of the load tests. For this purpose, were analyzed the results measured on bored piles executed with bentonite and polymer. The back analysis was made using the beta method (β), which allows to estimate the lateral capacity of the piles constructed in sandy profiles, based on vertical stresses, soil pressure coefficient and friction angle of the soil-pile interface. Due to the interaction between the soil particles and the pile concrete, the first are mobilized at high deformation levels, the friction angle of the interface is considered close to the friction angle in the sand critical state. The soil present in the experimental field corresponds to fine sand with silt lenses. Thus, the resistance parameters defined were the critical state and peak friction angle with values of 33.0 ° and 33.4 ° respectively. The critical state angle was used in the back analysis of the load tests, and as a result the ks was obtained, to be subsequently compared to the at rest lateral earth pressure coefficient (k0). The results showed that, with depth, the value ks approaches the value of k0, with a relation of ks / k0 close to unity. It is concluded that the load transfer mechanism between the soil and the pile can be evaluated as a function of the initial stresses of the deposit, expressed from an estimated k0 based on the laboratory tests.

O objetivo desta dissertação consiste em aprofundar o entendimento dos mecanismos que controlam o atrito lateral sob arrancamento de estacas instaladas por fluidização em areia. A técnica de instalação é estudada como uma alternativa para a utilização de estacas torpedo na fixação de plataformas offshore. Trabalhou-se em laboratório com o arrancamento de estacas metálicas circulares em modelo reduzido. Foram utilizados três diâmetros de estacas modelo, simulando três diferentes escalas: 14 mm (1:76), 16,2 mm (1:67) e 21,3 mm (1:50). Foram realizados 8 ensaios de arrancamento (24 horas após a fluidização) em estacas modelo instaladas por fluidização em solo arenoso com densidade relativa de 50% e submetido à sobrecarga de 2,236 kPa. Foram também realizados 17 ensaios de arrancamento em estacas modelo pré-instaladas (sem fluidização) em areia com densidade relativa de 30%, simulando uma instalação sem perturbação do solo, uma vez que esta é a densidade relativa aproximada que a areia atinge após o processo de fluidização. Os resultados foram comparados com pesquisas anteriores de arrancamento de estacas instaladas por fluidização em areia. Para um aumento médio de 2 vezes a tensão vertical efetiva nas estacas modelo instaladas por fluidização com sobrecarga, observa-se um ganho médio de 1,8 na resistência. O coeficiente de empuxo lateral de serviço para estes ensaios não apresentou diferenças significativas em relação ao mesmo tipo de ensaio sem sobrecarga. As estacas instaladas por fluidização com sobrecarga e estacas pré-instaladas (sem perturbação) apresentam valores de constantes e independentes das profundidades instaladas, com respectivas médias de 0,15 e 0,31. O valor de parece aumentar com o tempo para as estacas fluidizadas (efeito setup) devido à reconstituição das tensões radiais. Os valores de estacas cravadas em areia densa diminuem seu valor com o aumento da profundidade instalada (e da tensão efetiva média atuante), por restrição de dilatação, tendendo ao valor de encontrado para ensaios pré-instalados realizados neste trabalho. / The main goal of this study is to deepen the understanding of the shaft friction behavior under tension loads of piles installed by fluidization in Osório sand. The installation technique is studied as an alternative for the use of torpedo piles in offshore platforms anchoring. This work was done in laboratory with metallic circular piles in reduced model. Three diameters of model piles were used, simulating three different scales: 14 mm (1:76), 16,2 mm (1:67) and 21,3 mm (1:50). Eight pullout tests (24 hours after fluidization) were carried out on model piles installed by fluidization in sandy soil with a relative density of 50% and subjected to a surcharge of 2,236 kPa. Eighteen pullout tests were performed on pre-installed (non-fluidized) model piles in sand with a relative density of 30%, simulating an installation without soil disturbance, since this is the approximate relative density reached after the process of fluidization. The results were compared with previous studies of pullout resistance of fluidized piles in sand. For an average increase of 2 times the vertical effective stress in the model piles installed by fluidization with surcharge, an average increase of 1,8 times is observed in the pullout resistance. The lateral earth pressure coefficient on the pile shaft for these tests did not show significant differences in relation to the same type of test without surcharge. For tests installed by fluidization and pre-installed tests (without soil disturbance), remains constant and independent of the installed depths, with respective averages of 0,15 and 0,31. The value seems to increase with time for fluidized tests (setup effect) due to the reconstitution of the radial tensions. The values for pullout tests in driven model piles in dense sand decrease their value with the increase of the installed depth (and the increase of the vertical effective stress), by restriction of the expansive behavior, tending to the value found for pre-installed tests carried out in this work.