The climate-driven volumetric response of unsaturated soils (shrink-swell and frost heave) frequently causes costly distresses in lightly loaded structures (pavements and shallow foundations) due to the sporadic climatic fluctuations and soil heterogeneity which is not captured during the geotechnical design. The complexity associated with the unsaturated soil mechanics combined with the high degree of variability in both the natural characteristics of soil and the empirical models which are commonly implemented tends to lead to engineering judgment outweighing the results of deterministic computations for the basis of design. Recent advances in the application of statistical techniques and Bayesian Inference in geotechnical modeling allows for the inclusion of both parameter and model uncertainty, providing a quantifiable representation of this invaluable engineering judgement. The overall goal achieved in this study was to develop, validate, and implement a new method to evaluate climate-driven volume change of shrink-swell soils using a framework that encompasses predominantly stochastic time-series techniques and mechanistic shrink-swell volume change computations. Four valuable objectives were accomplished during this research study while on the path to complete the overall goal: 1) development of an procedure for automating the selection of the Fourier Series form of the soil suction diffusion equations used to represent the natural seasonal variations in suction at the ground surface, 2) development of an improved framework for deterministic estimation of shrink-swell soil volume change using historical climate data and the Fourier series suction model, 3) development of a Bayesian approach to randomly generate combinations of correlated soil properties for use in stochastic simulations, and 4) development of a procedure to stochastically forecast the climatic parameters required for shrink-swell soil volume change estimations. The models presented can be easily implemented into existing foundation and pavement design procedures or used for forensic evaluations using historical data. For pavement design, the new framework for stochastically forecasting the variability of shrink-swell soil volume change provides significant improvement over the existing empirical models that have been used for more than four decades.

The experience base of practitioners with expansive soils is largely devoid of directly measured soil suction. This historical lack of soil suction measurement represents an impediment to adoption of modern unsaturated soil engineering to problems of expansive soils. Most notably, soil suction-based analyses are paramount to proper design of foundations in expansive soils. Naturally, the best method to obtain design suction profiles is to perform an appropriate geotechnical investigation that involves soil moisture change-appropriate drilling depths, sampling intervals, and requisite laboratory testing, including suction measurement. However, as practitioners are slow to embrace changes in methodology, specifically regarding the adoption of even relatively simple suction measurement techniques, it has become imperative to develop a method by which the routine geotechnical procedures currently employed can be used to arrive at acceptable approximations of soil suction profiles.

Herein, a substitute, or surrogate, for soil suction is presented, such that the surrogate agrees with observed field soil suction patterns and provides estimates of soil suction that are acceptable for use in practice. Field investigations with extensive laboratory testing, including direct suction measurement, are used in development of the soil suction surrogate. This surrogate, a function of water content and routinely measured soil index properties, is then used in estimation of field expansive soil suction values. The suction surrogate, together with existing geotechnical engineering reports, is used to augment the limited existing database of field soil suction profiles. This augmented soil suction profile database is used in development of recommendations for design suction envelopes and design suction profiles. Using the suction surrogate, it is possible to proceed from the beginning to the end of the Suction-Oedometer soil heave/shrinkage analysis without directly measuring soil suction. The magnitude of suction surrogate-based heave estimates is essentially the same as heave estimates obtained using direct soil suction measurements.

The soil suction surrogate-based approach, which uses a complete-stress-state approach, considering both net normal stress and soil suction, is an intermediate step towards the adoption of unsaturated soil engineering in expansive soils analyses, wherein direct soil suction measurements are routinely made.

Expansive clay soils, when subjected to substantial moisture change, can be extremely problematic causing various types of damage to lightly-loaded structures. Solving these problems requires an understanding of unsaturated soil mechanics. Soil suction, related to moisture content change, is important in the development of unsaturated soil properties and in the assessment of initial and final stress for heave computation. Direct measurement of soil suction on expansive clays to determine field suction profiles is quite limited due primarily to tradition and cost-driven geotechnical field investigation practices prioritizing water content measurement over soil suction measurement. This study employs a surrogate to estimate soil suction profiles for various sites consisting of clay soils with a Plasticity Index of greater than 15. The soil suction surrogate was used to determine suction profiles from existing geotechnical engineering expansive clay field investigations and a limited amount of directly measured suction profiles were also used. Equilibrium suction magnitudes and the depths to constant suction were obtained from the field suction profiles and results were compared to data found in the existing literature. Thornthwaite Moisture Index (TMI) is a climatic index to describe climatic conditions for a given region. Surface flux boundary conditions (i.e. covered and uncovered and irrigated and non-irrigated) were investigated and comparisons were made to the extent possible. Previous studies have presented correlations between TMI and equilibrium suction and TMI and depth to constant suction. Relationships within this study are presented and comparisons are made to existing relationships. Results and recommendations for further research are discussed.

A large portion of the United States is known to have problematic expansive clay soil. These expansive clay soils can cause damage to major infrastructures such as roads and lightly loaded residential buildings. The shrinking or swelling potential of unsaturated expansive clay soils requires an understanding of unsaturated soil mechanics, such as matric suction profile and the site’s environmental condition, such as climate. In unsaturated soil engineering, the most used climatic parameter is Thornthwaite Moisture Index (TMI). Since its inception, there have been several versions of TMI models in the literature. Historically, TMI is used to predict suction parameters such as edge moisture variation length, the depth to equilibrium suction, and equilibrium suction. Currently, TMI is used in Post-Tension Institute’s Slab-on-grade Design Manual (DC 10.1-08) to estimate edge moisture variation length and equilibrium suction, and Australian Standard Residential Slabs and Footing (AS2870-2011) to predict the climatic zone and the depth to suction change. However, there is no clear-cut guidance on which version of TMI models to use, how the variables within TMI should be collected, the length of the study period for determination of TMI, or assumptions and compromises associated with TMI estimation methods. In this thesis, broad-scale study and comparison of the original TMI (1948) to the newer TMI models for the contiguous United States are conducted as well as in-depth analysis of the variables within TMI, using National Oceanic and Atmospheric Administration’s (NOAA) dataset and Geographic Information System (GIS). The results of the study, the recommendations for the state of practice for TMI and further research are discussed.

Laterally-loaded short rigid drilled shaft foundations are the primary foundation used within the electric power transmission line industry. Performance of these laterally loaded foundations is dependent on modulus of the subsurface, which is directly measured by the Pressuremeter (PMT). The PMT test provides the lateral shear modulus at intermediate strains, an equivalent elastic modulus for lateral loading, which mimics the reaction of transmission line foundations within the elastic range of motion. The PMT test, however, is expensive to conduct and rarely performed. Correlations of PMT to blow counts and other index properties have been developed but these correlations have high variability and may result in unconservative foundation design. Variability in correlations is due, in part, because difference of the direction of the applied load and strain level between the correlated properties and the PMT. The geophysical shear wave velocity (S-wave velocity) as measured through refraction microtremor (ReMi) methods can be used as a measure of the small strain, shear modulus in the lateral direction. In theory, the intermediate strain modulus of the PMT is proportional to the small strain modulus of S-wave velocity. A correlation between intermediate strain and low strain moduli is developed here, based on geophysical surveys conducted at fourteen previous PMT testing locations throughout the Sonoran Desert of central Arizona. Additionally, seasonal variability in S-wave velocity of unsaturated soils is explored and impacts are identified for the use of the PMT correlation in transmission line foundation design.

Design and mitigation of infrastructure on expansive soils requires an understanding of unsaturated soil mechanics and consideration of two stress variables (net normal stress and matric suction). Although numerous breakthroughs have allowed geotechnical engineers to study expansive soil response to varying suction-based stress scenarios (i.e. partial wetting), such studies are not practical on typical projects due to the difficulties and duration needed for equilibration associated with the necessary laboratory testing. The current practice encompasses saturated “conventional” soil mechanics testing, with the implementation of numerous empirical correlations and approximations to obtain an estimate of true field response. However, it has been observed that full wetting rarely occurs in the field, leading to an over-conservatism within a given design when partial wetting conditions are ignored. Many researchers have sought to improve ways of estimation of soil heave/shrinkage through intense studies of the suction-based response of reconstituted clay soils. However, the natural behavior of an undisturbed clay soil sample tends to differ significantly from a remolded sample of the same material.

In this study, laboratory techniques for the determination of soil suction were evaluated, a methodology for determination of the in-situ matric suction of a soil specimen was explored, and the mechanical response to changes in matric suction of natural clay specimens were measured. Suction-controlled laboratory oedometer devices were used to impose partial wetting conditions, similar to those experienced in a natural setting. The undisturbed natural soils tested in the study were obtained from Denver, CO and San Antonio, TX.

Key differences between the soil water characteristic curves of the undisturbed specimen test compared to the conventional reconstituted specimen test are highlighted. The Perko et al. (2000) and the PTI (2008) methods for estimating the relationship between volume and changes in matric suction (i.e. suction compression index) were evaluated by comparison to the directly measured values. Lastly, the directly measured partial wetting swell strain was compared to the fully saturated, one-dimensional, oedometer test (ASTM D4546) and the Surrogate Path Method (Singhal, 2010) to evaluate the estimation of partial wetting heave.

This thesis was prepared by Tyler Maynard and Hayley Monroe, who are students at Arizona State University studying to complete their B.S.E.s in Civil Engineering and Construction Engineering, respectively. Both students are members of Barrett, the Honors College, at Arizona State University, and have prepared the following document for the purpose of completing their undergraduate honors thesis. The early sections of this document comprise a general, introductory overview of earthquakes and liquefaction as a phenomenon resulting from earthquakes. In the latter sections, this document analyzes the relationship between the furthest hypocentral distance to observed liquefaction and the earthquake magnitude published in 2006 by Wang, Wong, Dreger, and Manga. This research was conducted to gain a greater understanding of the factors influencing liquefaction and to compare the existing relationship between the maximum distance for liquefaction and earthquake magnitude to updated earthquake data compiled for the purpose of this report. As part of this research, 38 different earthquake events from the Geotechnical Extreme Events Reconnaissance (GEER) Association with liquefaction data were examined. Information regarding earthquake depth, distance to the furthest liquefaction event (epicentral and hypocentral), and earthquake magnitude (Mw) from recent earthquake events (1989 to 2016) was compared to the previously established relationship of liquefaction occurrence distance to moment magnitude. The purpose of this comparison was to determine if recent events still comply with the established relationship. From this comparison, it was determined that the established relationship still generally holds true for the large magnitude earthquakes (magnitude 7.5 or above) that were considered herein (with only 2.6% falling above the furthest expected liquefaction distance). However, this relationship may be too conservative for recent, low magnitude earthquake events; those events examined below magnitude 6.3 did not approach established range of furthest expected liquefaction distance. The overestimation of furthest hypocentral distance to liquefaction at low magnitudes suggest the empirical relationship may need to be adjusted to more accurately capture recent events, as reported by GEER.

The goal of this project was to develop criteria to signify when a soil specimen is just on the verge of failure when tested in a consolidated-drained triaxial test. By identifying the imminent failure of the specimen, a multi-stage triaxial test can be automated, allowing for soil strength properties to be determined from a single specimen. The purpose of identification of imminent failure of the specimen is for purposes of development of automated multi-stage test operation of a single specimen for determination of soil properties. Currently, shear strength parameters for a soil could either be calculated from at least three separate triaxial tests or a multi-stage test where each stage would end based on the operator's judgement. By developing generalized criteria that would signify failure, and therefore the need to move on to the next stage of a multi-state test, a computer program could be used to automatically end one loading stage and begin the next. This automation would allow for a wider use of multi-stage tests, which are faster and therefore less expensive to run than three standard triaxial tests. Triaxial tests were performed on loose and dense sand specimens. During standard testing, the loose sand had a friction angle of 29.61o and the dense sand had a friction angle of 38.63o. Using a zero tangent modulus as the stage-end criteria, the loose sand had a friction angle of 27.69o and the dense sand had a friction angle of 37.03o. Using the maximum volumetric strain as the stage-end criteria, the loose sand had a friction angle of 25.16o. The multi-stage shear strength parameters were reasonable compared to the single-stage test parameters, if slightly conservative. This suggests that computer automation of multi-stage triaxial tests will produce results that can be used in analysis and design by geotechnical engineers. However, more research will be required to confirm this initial assumptions for a wider range of sand gradations as well as for other soil types and testing conditions.

This thesis describes the conduct and interpretation of large scale direct shear testing of municipal solid waste (MSW) which was recently conducted at Arizona State University under the guidance of Dr. Edward Kavazanjian Jr. This research was performed to establish the shear strength parameters for MSW of a particular landfill in the eastern United States. As part of this research, the unit weight of the material of interest was recorded to help establish if the properties of the waste tested in this project were consistent with the properties of MSW reported in the technical literature.
The paper begins with an overview of scholarly articles on shear strength and unit weight of MSW. This overview summarizes trends found in other MSW investigations. The findings described in these articles served as a basis to determine if the direct shear test results in this investigation complied with typical values reported in other MSW investigations.
A majority of this thesis is dedicated to describing testing protocol, nuances of experimental execution, and test results of the direct shear tests. This culminates in an analysis of the shear strength parameters and consolidated unit weight exhibited by the MSW tested herein. Throughout the testing displacement range of 3.5 inches, none of the MSW specimens achieved a peak shear stress. Consequently, the test results were analyzed at displacements of 1.7 inches, 2.1 inches, and 2.4 inches during the tests to develop Mohr-Coulomb envelopes for each specified displacement. All three envelopes indicated that the cohesion of the material was effectively 0 psf). The interpreted angles of internal friction were of 30.6°, 33.7°, and 36.0° for the displacements of 1.7, 2.1, and 2.4 inches, respectively. These values correlate well with values from previous investigations, indicating that from a shear strength basis the waste tested in this project was typical of MSW from other landfills. Analysis of the consolidated unit weight of the MSW specimens also suggests the MSW was similar to in-situ MSW which was placed in a landfill with low levels of compaction and small amounts of cover soil.

After describing the types of foundation systems employed for high rise buildings, this thesis discusses the process of foundation design for tall buildings as it is practiced today, including computer programs used in designing the foundations of high rise buildings. This thesis then presents the geotechnical in-situ and laboratory tests used to establish the parameters required for input to design analyses for high rise building foundations. This thesis subsequently describes the Construction Quality Assurance practices used in the construction of the foundations of high rise buildings. This thesis next presents several case histories detailing the foundation practices employed in the design and construction of modern high rise buildings. Finally, this thesis provides some concluding thoughts regarding the development of the geotechnical practices when designing and constructing high rise buildings.