Etd Tamu 2005B CVEN Shi

NUMERICAL SIMULATIONS AND PREDICTIVE MODELS OF UNDRAINED
PENETRATION IN SOFT SOILS
A Dissertation
by
HAN SHI
Submitted to the Office of Graduate Studies of

Texas A&M University
in partial fulfillment of the requirements for the degree of
DOCTOR OF PHILOSOPHY
August 2005
Major Subject: Civil Engineering

NUMERICAL SIMULATIONS AND PREDICTIVE MODELS OF UNDRAINED
PENETRATION IN SOFT SOILS
A Dissertation
by
HAN SHI
Submitted to the Office of Graduate Studies of

Texas A&M University
in partial fulfillment of the requirements for the degree of
DOCTOR OF PHILOSOPHY
Approved by:
Chair of Committee, Charles Aubeny

Committee Members, James D. Murff
J. N. Reddy
Harry Hogan
Head of Department, David Rosowsky
August 2005
Major Subject: Civil Engineering

iii
ABSTRACT
Numerical Simulations and Predictive Models of Undrained
Penetration in Soft Soils. (August 2005)
Han Shi, B.S., China University of Geosciences;
M.S., China University of Geosciences
Chair of Advisory Committee: Dr. Charles Aubeny
There are two aspects in this study: cylinder penetrations and XBP (Expendable
Bottom Penetrometer) interpretations. The cylinder studies firstly investigate the
relationship between the soil resisting force and penetration depth by a series of rate-
independent finite element analyses of pre-embedded penetration depths, and validate
the results by upper and lower bound solutions from classical plasticity theory.
Furthermore, strain rate effects are modeled by finite element simulations within a
framework of rate-dependent plasticity. With all forces acting on the cylinder estimated,
penetration depths are predicted from simple equations of motion for a single particle.
Comparisons to experimental results show reasonable agreement between model
predictions and measurements.
The XBP studies follow the same methodology in investigating the soil shearing
resistance as a function of penetration depth and velocity by finite element analyses.
With the measurements of time decelerations during penetration of the XBP, sediment
shear strength profile is inferred from a single particle kinetic model. The predictions
compare favorably with experimental measurements by vane shear tests.

iv
ACKNOWLEDGMENTS
This research was sponsored by the Office of Naval Research and its support is
gratefully acknowledged.
I would like to express my sincere gratitude to my advisor, Dr. Charles Aubeny,
for his invaluable guidance, encouragement and assistance throughout this research. It
was a pleasure and privilege working with him. I also greatly appreciate the tremendous
help from Dr. Don Murff during my study. I would also like to thank Dr. J. N. Reddy
and Dr. Harry Hogan for serving as the advisory committee.
I would like to extend my thanks to all my friends, and special thanks to Zhigang
Yao, for helping me on this research. Finally, I would like to thank my family for their
enduring love and support.

v
TABLE OF CONTENTS
Page
ABSTRACT ..................................................................................................................... iii
ACKNOWLEDGMENTS.................................................................................................iv
TABLE OF CONTENTS ...................................................................................................v
LIST OF FIGURES........................................................................................................ viii
LIST OF TABLES ...........................................................................................................xii
CHAPTER
I INTRODUCTION ................................................................................................1
1.1 Scope of Study ...........................................................................................1

1.2 Objectives...................................................................................................5
1.3 Outline of Research....................................................................................5
II BACKGROUND ..................................................................................................7
2.1 Plasticity Concepts .....................................................................................7

2.2 Plastic Limit Methods ................................................................................9
2.2.1 Lower Bound Method .....................................................................10
2.2.2 Upper Bound Method......................................................................18
2.2.3 Plasticity Solutions for Fully Embedded Cylinder..........................24
2.2.4 Plasticity Solutions for Partially Embedded Cylinders ...................26
2.3 Finite Element Method.............................................................................35
2.3.1 FEM Theory ....................................................................................35
2.3.2 FEM Studies for Cylinders of Flow-around Conditions .................37
2.4 Rate Dependent Properties of Soil ...........................................................39
2.5 Experimental Studies................................................................................41
2.5.1 Miniature Vane Shear Tests ............................................................41
2.5.2 Penetration Tests .............................................................................43
2.5.3 XBP Tests........................................................................................46
III RATE-INDEPENDENT STUDIES ....................................................................49
3.1 Plastic Limit Analysis ..............................................................................49

3.1.1 Lower Bound Analysis....................................................................49
vi
CHAPTER Page
3.1.2 Upper Bound Analysis for Variable Strength Profiles....................54

3.1.3 Upper Bound Analysis for Penetration Exceeding One Radius......59
3.2 Finite Element Analysis ...........................................................................64
3.2.1 Geometry Model .............................................................................64
3.2.2 Material Model ................................................................................65
3.2.3 Boundary Conditions.......................................................................66
3.2.4 Mesh Construction ..........................................................................69
3.2.5 Loading Step ...................................................................................71
3.2.6 Cylinder Penetration Studies...........................................................72
3.2.7 XBP Penetration Studies .................................................................74
3.3 Comparison of Solutions..........................................................................77
IV RATE-DEPENDENT STUDIES ........................................................................89
4.1 Rate-Dependent Strength Model ..............................................................89

4.2 Finite Element Studies for Cylinders .......................................................91
4.2.1 Finite Element Model......................................................................92
4.2.2 Finite Element Results ....................................................................93
4.2.3 Empirical Resisting Force Relations ...............................................99
4.3 Finite Element Studies for XBPs ...........................................................102
4.4 Summary and Discussions .....................................................................102
V PREDICTIVE MODELS .................................................................................105
5.1 Penetration Studies.................................................................................105

5.1.1 Penetration Model .........................................................................105
5.1.2 Parametric Studies.........................................................................110
5.1.3 Rate-Dependent Strength and Sensitivity .....................................112
5.1.4 Comparison to Experimental Data ................................................117
5.2 XBP Interpretations................................................................................123
5.2.1 Algorithm for XBP Interpretation .................................................123
5.2.2 Field Measurements ......................................................................125
5.2.3 Interpreted Undrained Shear Strength Profiles .............................128
VI CONCLUSIONS AND RECOMMENDATIONS ..........................................140
6.1 Conclusions ............................................................................................140

6.2 Recommendations ..................................................................................144
REFERENCES...............................................................................................................146
vii
Page
APPENDIX A MATLAB PROGRAM: MOC_CYLINDER .......................................151
APPENDIX B MATLAB PROGRAM: RH_CYLINDER ...........................................157
APPENDIX C MATLAB PROGRAM: CU_CYLINDER ...........................................170
APPENDIX D MATLAB PRGRAM: MINE_BURIAL ..............................................173
APPENDIX E MATLAB PROGRAM: XBP_SOFTCLAY ........................................177
APPENDIX F A TYPICAL ABAQUS INPUT FILE

(GENERATED BY ABAQUS CAE) ...................................................180
VITA ..............................................................................................................................185
viii
LIST OF FIGURES
FIGURE Page
1.1 Definition Sketch of Penetrating Cylinder (after Aubeny and Shi, 2005a) .......3
1.2 Definition Sketch of Penetrating XBP (Aubeny and Shi, 2005b)......................4
2.1 Plastic Material Models......................................................................................8
2.2 Mohr’s Circle and Failure Condition (after Murff, 2003)................................10
2.3 Illustration of the Method of Characteristics....................................................13
2.4 Mapped Rectangular Grids of the Radial Fan (Murff, 2003)...........................16
2.5 Calculation of the Dissipation Rate for Slip Surfaces (after Murff, 2002) ......20
2.6 Failure Mechanism Developed from MOC......................................................22
2.7 The Resultant Velocity along OA ....................................................................22
2.8 Examples of Characteristic Nets by Randolph and Houlsby (1984)................25
2.9 Solution for Cylindrical (T-bar) Penetrometer (Randolph et al., 2000)...........25
2.10 Characteristic Net for Uniform Strength (after Murff et al., 1989)..................27
2.11 Upper Bound Models (Murff et al., 1989) .......................................................29
2.12 Comparison of Lower and Upper Bound Solutions

(after Murff et al., 1989)...................................................................................34
2.13 FEM Solutions for Cylinders of Flow around Conditions (Yao, 2003)...........38
2.14 Normalized Shear Strength versus Strain Rate, CK0UC Tests,

Resedimented BBC (Sheahan et al., 1996) ....................................................40
2.15 The Vane Shear Testing Machine Set-Up (Munim, 2003) ..............................42
2.16 Penetration Test Basin with Gulf of Mexico Sediments (Yao, 2003)..............44
2.17 Typical Time-Dependent Penetration for Non-Impact Tests

(after Aubeny and Dunlap, 2003; Munim, 2003).............................................46
ix
FIGURE Page
2.18 Expendable Bottom Penetrometer, XBP (Aubeny and Shi, 2005b) ................47
2.19 Typical XBP Field Record (Stoll et al., 2004) .................................................48
3.1 Boundary Condition for the Method of Characteristics ...................................51
3.2 Effect of Strength Gradient on Characteristics Solution

(Aubeny et al., 2005)........................................................................................53
3.3 Normalized Load Capacity from MOC Solutions (Aubeny et al., 2005) ........54
3.4 Extension of Randolph-Houlsby Solution (Aubeny et al., 2005) ....................59
3.5 Geometry Model for Full Flow-around Cylinder.............................................65
3.6 Boundary Conditions at the Soil-Cylinder Interface........................................67
3.7 Boundary Conditions of a Fully Embedded Cylinder (No Slippage) ..............68
3.8 Finite Element Mesh for Full Flow-around Cylinder.......................................70
3.9 Effect of Mesh Refinement on the Collapse Loads

of a Full Flow-around Cylinder........................................................................71
3.10 Loading Step for a Fully Embedded Rough Cylinder......................................72
3.11 Finite Element Model for Cylinder Penetration Studies, h/D≤0.5 ...................73
3.12 Finite Element Model for Cylinder Penetration Studies, h/D>0.5...................74
3.13 Finite Element Model for the XBP Penetration Studies ..................................75
3.14 Influencing Factors of the Collapse Load for the Hard Layer Study ...............76
3.15 Collapse Loads for Cylinders of h/D≤0.5 and η=0 ..........................................79
3.16 Collapse Loads for Cylinders of h/D≤0.5 and η=∞ .........................................80
3.17 Collapse Loads for Cylinders of h/D>0.5 and η=0 ..........................................82
3.18 Collapse Loads for Cylinders of h/D>0.5 and η=∞ .........................................83

x
FIGURE Page
3.19 Empirical Curve Fits ........................................................................................85
3.20 Collapse Loads for the XBP Penetration..........................................................87
3.21 Preliminary Hard Layer Study Results.............................................................88
4.1 Rate-Dependent Strength Model ......................................................................90
4.2 Stress Profile ahead of Cylinder at Various Penetration Velocities.................94
4.3 Finite Element Predictions of Collapse Loads at Various Velocities ..............96
4.4 Comparison of Strain Rate Multipliers λ0 and ρ0 .............................................96
4.5 Simplified Prediction of Strain Rate Effects (Rough, η = 0 ) ..........................97
4.6 Simplified Prediction of Strain Rate Effects (Smooth, η = 0 ) ........................98
4.7 Simpified Prediction of Strain Rate Effects (Rough, η = ∞ )...........................98
4.8 Simplified Prediction of Strain Rate Effects (Smooth, η = ∞ ).......................99
4.9 Evaluation of Empirical Estimates of Collapse Loads (Rough, η = 0 ) .........100
4.10 Evaluation of Empirical Estimates of Collapse Loads (Smooth, η = 0 ) .......100
4.11 Evaluation of Empirical Estimates of Collapse Loads (Rough, η = ∞ ) ........101
4.12 Evaluation of Empirical Estimates of Collapse Loads (Smooth, η = ∞ ) ......101
4.13 Approximation of the Strain Rate Effects for the XBP..................................103
4.14 Empirical Estimates of the Collapse Loads for the XBP ...............................103
5.1 Acting Forces on a Penetrating Cylinder .......................................................106
5.2 Calculation of Volume of Soil Displaced by the Cylinder.............................108
5.3 Parametric Study of Cylinder Penetration......................................................111
5.4 Strain Rate Dependence from MV Test (Aubeny and Shi, 2005a) ................113
xi
FIGURE Page
5.5 Effect of Assumed Threshold Strain Rate on

Penetration Predictions ( Г = 0.5) ..................................................................115
5.6 Estimated Sensitivity of Clays Used in Experimental Study

(Aubeny and Shi, 2005a)................................................................................116
5.7 Geometry of the Model Cylinder ...................................................................117
5.8 Predictions versus Experimental Measurements of Penetration ....................121
5.9 Predictions without Strain Rate Correction versus Measurements ................122
5.10 Typical Velocity and Deceleration Histories during

XBP Penetration (Aubeny and Shi, 2005b) ...................................................127
5.11 Interpreted XBP Strength Profile at Site 4 .....................................................129
5.12 Interpreted XBP Strength Profile at Site 5 .....................................................130
5.13 Interpreted XBP Strength Profile at Site 12 ...................................................131
5.16 Comparison between XBP Strength Profiles and MV Strength

Profiles at Site 4 (after Abelev and Valent, 2005) .........................................137

Profiles at Site 5 (after Abelev and Valent, 2005) .........................................137

Profiles at Site 12 (after Abelev and Valent, 2005) .......................................138

Profiles at Site 19 (after Abelev and Valent, 2005) .......................................138
xii
LIST OF TABLES
TABLE Page
2.1 Summary of Penetration Tests (after Aubeny and Dunlap, 2003;

Munim, 2003)...................................................................................................45
3.1 Dissipation Rates for the Consistent Upper Bound Model of

Non-Uniform Condition (Regions Defined in Figure 2.11a) ...........................56
3.2 Dissipation Rates for the Randolph-Houlsby Upper Bound Model

of Non-Uniform Condition (Regions Defined in Figure 2.11b) ......................57
3.3 Vertical Coordinates for Consistent Characteristic Net

(Regions Defined in Figure 2.11a) ...................................................................58
3.4 Vertical Coordinates for Randolph-Houlsby Characteristic Net

(Regions Defined in Figure 2.11b)...................................................................58
3.5 Dissipation Rates for the Extended Randolph-Houlsby Mechanism

of Non-Uniform Condition (Regions Defined in Figure 3.5) ..........................62
3.6 Vertical Coordinates for the Extended Randolph-Houlsby Mechanism

(Regions Defined in Figure 3.5).......................................................................63
3.7 Fitting Coefficients between Collapse Load and Cylinder Embedment

(Aubeny et al., 2005)........................................................................................85
5.1 Strain Rate Multipliers and Threshold Strengths for Various Assumptions
of Threshold Strain Rate (Aubeny and Shi, 2005a) .......................................114
5.2 Test Conditions for Basin Tests Measuring Penetration of Cylinders into
Reconstituted Marine Clay (Aubeny and Shi, 2005a)....................................118
5.3 Calculated Volume Displaced by the XBP (h/d<1.2) .....................................124
5.4 Soil Properties at Corpus Christi Test Site (Aubeny and Shi, 2005b) ............126
1
CHAPTER I
INTRODUCTION *
1.1 Scope of Study
This dissertation presents the results of numerical studies that were conducted to
develop predictive models for depth of penetration of cylinders in soft sediments and
undrained shear strength characterization from impact penetrometer deceleration
measurements. The two aspects in this study (cylinder penetration and strength
characterization) are independent yet closely related to each other in applications and
methodologies.
Prediction of penetration of cylinders into soft soils is relevant to a number of
applications, including offshore pipeline burial (Murff et al., 1989; Schapery and Dunlap,
1984) and penetration of a catenary riser at its touchdown point (Willis and West, 2001).
In naval mine-clearing operations, prediction of the degree of mine burial into seafloor
sediments is a key aspect of mine detection and removal.
Estimation of undrained shear strength of soft seafloor sediments near the
mudline is of interest to a number of seafloor engineering applications including burial
predictions of objects impacting the seafloor (Chu et al, 2004; Aubeny and Shi, 2005a),
analysis of submarine pipeline penetration (Murff et al., 1989), and characterizing
This dissertation follows the style and format of Journal of Geotechnical and
Geoenviromental Engineering.
*
Part of this chapter is reprinted with permission of ASCE from “Collapse loads for a cylinder embedded
in trench in cohesive soil.” by C. P. Aubeny, H. Shi and J. D. Murff, 2005, International Journal of
Geomechanics, ASCE, scheduled to be published in the 2005.
2
sediment stiffness in the touchdown zone of catenary risers used by the offshore
petroleum industry (Bridge et al., 2004). Sampling and strength testing of soft sediments
near the mudline can present considerable challenges due to their low shear strength,
sometimes less than 1 kPa. Further, the applications noted above often require strength
characterization over a large area extent, which can render conventional seafloor
characterization approaches such as quasi-static penetration tests prohibitively expensive
or infeasible. In this study we investigate the possibility of estimating sediment shear
strength from measurements from penetrometers that fall through a water column and
penetrate to shallow depths in the seafloor. Penetrometers that can be deployed from a
moving vessel, such as the Expendable Bottom Penetrometer (XBP), are particularly
attractive, as they have the potential for providing a relatively inexpensive means of
obtaining shallow sediment strengths over a wide area.
Figures 1.1 and 1.2 illustrate the two penetrating objects considered in this
research. The cylinder is assumed to be infinitely long, i.e., plane strain conditions are
considered, and the XBP is axisymmetric in geometry. Moreover, the cylinder is
assumed to be horizontal and the XBP is vertical. When the penetrating object contacts
the seafloor it will begin to decelerate in a manner controlled by the net effect of its own
weight, the buoyant resistance of the soil, and the shearing resistance of the soil.
Pertinent aspects of the problems include: (1) a soil bearing resistance factor that
increases with penetration depth, (2) disturbance of the soil due to the large penetration
strains, (3) soil shearing resistance that depends on strain rate and therefore penetration
velocity, and (4) variable conditions of penetration velocity. A rigorous analysis of these
3
problems involves considerable complexity, including large strains, large deformations,
and a contact boundary condition. The simplified approach presented herein provides a
means for evaluating collapse load conditions for a penetrating object pre-embedded at a
series of penetration depths. Such an approach neglects the large strain aspects of the
problem; nevertheless, comparisons of collapse loads predicted from this procedure to
experimental measurements (Murff et al., 1989) indicate that the simplified approach can
produce realistic estimates of soil resistance. A vertical trench is assumed to form in the
wake of the advancing object when the object penetrates past its maximum section
(Figures 1.1 and 1.2). This assumption is not entirely consistent with some of the
collapse mechanisms considered in this study. However, it is a reasonable assumption
for shallow penetrations, and experimental data show open trenches forming above
penetrating cylinders to depths of about two to three diameters even in very soft soils
having undrained shear strengths on the order of 1 kPa (Aubeny and Dunlap, 2003).
Diameter, D
Penetration, h
Velocity, v
Figure 1.1 Definition Sketch of Penetrating Cylinder (after Aubeny and Shi, 2005a)
4
Maximum
Projected
Penetration Area
Depth, h A=πd2/4
Diameter d
at Maximum
Section
Figure 1.2 Definition Sketch of Penetrating XBP (Aubeny and Shi, 2005b)
Traditional bearing capacity theory for shallow foundations (e.g., Terzaghi, 1943)
can not be applied to this research directly because of the non-linear soil-object contact
boundary. A simplified approach can be taken assuming an equivalent solution of a strip
footing with the width equal to the chord of embedded object at shallow embedment
(Small et al., 1971; Ghazzaly and Lim, 1975). In my opinion, this approach over-
simplifies the problem and it is not utilized in this research. The strain path method
(SPM; Baligh 1985) for deep penetration problems is also not directly applicable since
the penetrating objects are still in proximity to the free surface. Given all the
considerations above, the finite element method (FEM) was used as a major analytical
tool for this research. Additionally, plastic limit analysis methods were used to compare
with the results of the FEM.

5
1.2 Objectives
The objectives of this research may be summarized as follows:
1. Calculate collapse loads for undrained penetration of the cylinder and the
XBP in soft soils;
2. Evaluate the strain rate effects on the collapse loads;
3. Develop predictive models for penetration depth of cylinders and strength
characterization from dynamic measurements of the XBP.
1.3 Outline of Research
This research consists of three components: rate-independent studies, rate-
dependent studies and predictive models.
In the first step we calculate collapse loads for a penetrating object at a series of
penetration depths for quasi-static undrained loading conditions, i.e., the strain rate
dependence of soil strength is not considered at this stage. Through this step, the
relationship between collapse loads and penetration depths is established.
The second step starts from the FEM simulations in the previous step, with the
primary refinement being the incorporation of strain rate-dependent shearing resistance
into the collapse load calculations. The rate-dependent solutions are then evaluated with
reference to the rate-independent solutions. Through this step, the relationship between
collapse loads and penetration velocities is established.
The last step develops simplified predictive models. With the soil shearing
resistance force defined by the collapse loads as a function of penetration depth and
6
penetration velocity, accelerations can be determined at any instant of time for a
penetrating object from simple equations of motion for a rigid body projectile. The
penetration depth can then be evaluated through direct integration. On the other hand,
with the measurements of accelerations at any given time, the soil shearing resistance
force can be inferred and the soil shear strength can be obtained through back-
calculation. The predictive models were further calibrated against experimental
measurements.
7
CHAPTER II
BACKGROUND*
2.1 Plasticity Concepts
Plasticity theory is a very important tool in soil mechanics and it has been
applied extensively. A central concept in plasticity theory is the yield condition, which is
a relationship among stress components at which yield starts to occur (Murff, 2002). The
yield condition can be written as
f (σij ) = 0 (2.1)
where σ ij is the stress tensor, representing the six independent components of the stress
at a point (i = 1 to 3 and j = 1 to 3).
For undrained condition of purely cohesive soils, possible yield conditions
include the von Mises condition and the Tresca condition. The von Mises condition is
formulated as
1/ 2
J2 −k =0 (2.2a)
where J2 is the second invariant of the stress deviation tensor, and k is a constant.
Written in terms of principal stresses
1
J 2 = [(σ1 − σ 2 ) 2 + (σ 2 − σ3 ) 2 + (σ 3 − σ1 ) 2 ] (2.2b)
6
where σ1 , σ 2 and σ3 are major, intermediate, and minor principal stresses, respectively.
*
8
The Tresca condition is written as
σ1 − σ3
=c (2.3)
2
where c is soil undrained shear strength. For plane strain conditions the two yield
functions above have an identical form (Murff, 2002).
There are two different kinds of material models in plasticity theory: perfectly
plastic and work hardening. Figure 2.1 illustrates an example of these two models. For a
perfectly plastic material, stress remains constant and strains increase indefinitely once
at yield, whereas stresses continue to increase beyond yield for a work hardening
material. If the yield surface in stress space expands symmetrically in all directions it is
called isotropic hardening (Murff, 2002).
σ σ
ε ε
a. Elastic-Perfectly Plastic b. Work Hardening Plastic
Figure 2.1 Plastic Material Models

9
The plastic strain increment of a material obeying an associated flow rule is
given as (Drucker and Prager, 1952)
∂f
ε ijp = λ (2.4)
∂σ ij
where λ = a positive scalar multiplier
f = the plastic potential which is assumed to be the yield function
σ ij = the corresponding stress
2.2 Plastic Limit Methods
There are two very important plastic limit theorems in estimating collapse loads:
the upper bound theorem and the lower bound theorem. The upper bound theorem states:
“if an estimate of the plastic collapse load of a body is made by equating internal rate of
dissipation of energy to the rate at which external forces do work in any postulated
(kinematically admissible) mechanism of deformation of the body, the estimate will be
either high or correct” (Calladine, 1969). The lower bound theorem states: “if any stress
distribution throughout the structure can be found which is everywhere in equilibrium
internally and balances certain external loads and at the same time does not violate the
yield condition, those loads will be carried safely by the structure” (Calladine, 1969).
This provides a means of estimating the collapse load which is less than or equal to the
true value. If a solution based on both bound theorems yields the same result, then it is
the exact solution.

10
2.2.1 Lower Bound Method
First we will look at the method of characteristic (MOC). For a plane strain
condition we can write the equations of equilibrium as
∂σ x ∂τ xy
+ = γx (2.5a)
∂x ∂y
∂τ xy ∂σ y
+ = γy (2.5b)
∂x ∂y
where σ x , σ y are normal stresses in the x and y direction, τ xy is the shear stress on the x
and y planes, γ x and γ y are body forces in the x and y directions.
c x, xy
2θ
3 m 1
,
y xy
-c
Figure 2.2 Mohr’s Circle and Failure Condition (after Murff, 2003)
11
The soil will also satisfy the yield criterion. For an undrained condition we can
write the yield condition as follows, referring to the Mohr’s circle (Figure 2.2)
σx − σ y
( ) 2 + τ xy 2 = c 2 (2.6)
2
To simplify the problem we define the mean stress σ m as
1
σm = (σ x + σ y ) (2.7)
2
Furthermore, we define another variable θ which is the angle between major principal
stress σ1 and the x axis.
The following relations can be established from the Mohr’s circle (Figure 2.2)
σ x = σ m + c cos 2θ (2.8a)
σ y = σ m − c cos 2θ (2.8b)
τ xy = c sin 2θ (2.8c)
Substituting the above relations into the equilibrium equations, we get
∂σ m ∂θ ∂θ ∂c ∂c
− 2c sin 2θ + 2c cos 2θ = γ x − cos 2θ − sin 2θ (2.9a)
∂x ∂x ∂y ∂x ∂y
∂σ m ∂θ ∂θ ∂c ∂c
+ 2c sin 2θ + 2c cos 2θ = γ y + cos 2θ − sin 2θ (2.9b)
∂y ∂y ∂x ∂y ∂x
It can be shown that (e.g., Sokolovskii, 1965) two sets of equations comprise
characteristics sets of Eqs. 2.9a and 2.9b. These are designated as α and β
characteristics. The corresponding equations are as follows:
On an α characteristic
12
dy π
= tan(θ − ) (2.10a)
dx 4
∂c ∂c
dσ m − 2cdθ = (γ x − )dx + (γ y + )dy (2.10b)
∂y ∂x
On a β characteristic
dy π
= tan(θ + ) (2.10c)
dx 4
∂c ∂c
dσ m + 2cdθ = (γ x + )dx + (γ y − )dy (2.10d)
∂y ∂x
In the above four equations we have four unknowns which are x, y ,σ m and θ . In
some simple cases we can get closed-form solutions, but generally the equations must be
solved numerically.
As an example we will consider a case of a smooth strip footing, and we assume
that γ x , γ y = 0 and c = cm + c1 y , where cm and c1 are constants. Consider a point on the
free surface in Figure 2.3. At the free surface the vertical stress σ3 = 0 and the horizontal
σ1 + σ3
stress σ1 = σ3 + 2c = 2c , therefore σ m = = c and θ = 0 . Substitute θ = 0 into Eqs.
2
dy
2.10a and 2.10c we get = ∓1 for α and β characteristics respectively, which means
dx
π π
the characteristics at the free surface emanate at an angle of ∓ and intersect at .
4 2
Therefore, the characteristics in this zone are straight and form a triangular region in
which θ is constant. For uniform strength case ( c1 = 0 ), from Eq. 2.10b we have
13
degenerate 1
A B
C
2
C
C'''
C'' C' 3
4 1
3 2
Figure 2.3 Illustration of the Method of Characteristics
dσ m = 2cdθ = 0 (2.11)
Therefore σ m is a constant in this region and it equals c.
On the other hand, we consider a point immediate under the footing (Figure 2.3).
Assuming the pressure at the footing boundary is σ 0 , the vertical stress at the boundary
is then σ1 = σ 0 , and the horizontal stress is σ3 = σ1 − 2c = σ 0 − 2c . So
σ1 + σ3 π π
σm = = σ 0 − c and θ = . Substitute θ = into Eqs. 2.10a and 2.10c we get
2 2 2
dy
= ±1 for α and β characteristics respectively, which means the characteristics at the
dx
π 3 π
footing boundary emanate at an angle of and π and intersect at . Therefore,
4 4 2
14
another triangular region forms under the footing. For uniform strength case σ m is
constant in this region and it equals σ 0 − c .
The region in between these two triangular regions is generally a shear fan. For
uniform strength case, the β characteristics are straight and the α characteristics are
circular (Murff, 2003). Apparently there is a discontinuity of σ m at point A, and the
π π π
change in θ through the shear fan is π − − = (Figure 2.3). From Eq. 2.10b we
4 4 2
have
σ m = 2c θ = cπ (2.12)
Therefore the change in mean stress across the shear fan is cπ . Recalling that σ m in the
left and the right triangular regions are c and σ 0 − c respectively, we have
σ 0 − c = c + cπ (2.13)
σ 0 = c(π + 2) (2.14)
For the non-uniform strength case ( c1 ≠ 0 ), we can solve for the collapse load by
numerical methods. Consider point A and point B at the free surface in Figure 2.3. At
point A and point B the four variables σ m ,θ, x and y are all known, so we can then write
the following difference equations (Murff, 2003):
On an α characteristic
θC + θ B π
yC − yB = ( xC − xB ) tan( − ) (2.15a)
2 4
cC + cB
σ mC − σ mB − 2( )(θC − θ B ) = −c1 ( xC − xB ) (2.15b)
2
15
On a β characteristic
θC + θ A π
yC − y A = ( xC − x A ) tan( + ) (2.15c)
2 4
cC + cA
σ mC − σ mA + 2( )(θC − θ A ) = −c1 ( xC − xA ) (2.15d)
2
By combining the above difference equations we can develop recursive relations
as follows:
yB − y A + x ATCA − xBTCB
xC = (2.16a)
TCA − TCB
1
yC = [( yB + y A ) + ( xC − xB )TCB + ( xC − x A )TCA ] (2.16b)
2
σ mA − σ mB + 2cCB θ B + 2cCAθ A + c1 (2 xC − xA − xB )
θC = (2.16c)
2cCA + 2cCB
1
σ mC = [σ mA + σ mB + 2cCB (θC − θ B ) − 2cCA (θC − θ A ) + c1 ( xB − x A )] (2.16d)
2
θ A + θC π
where TCA = tan[( )+ ]
2 4
θ B + θC π
TCB = tan[( )− ]
2 4
cCA = (cC + cA ) / 2
cCB = (cC + cB ) / 2
We can start by assuming θC = θ B on the α characteristic and θC = θ A on the β
characteristic, then we can calculate xC , yC ,θC and σ mC in turn. Substitute the new
values into the above equations and recycle until the values of xC , yC ,θC and σ mC are
16
within tolerance (e.g., 10−6 for θC in this study). The change in θ across the shear fan is
π
. We can divide it into a number of increments, and integrate the mean stress along the
2
α characteristics.
A''' A'' A' A
C''' C'' C' C B
3 2 1
Figure 2.4 Mapped Rectangular Grids of the Radial Fan (Murff, 2003)
Figure 2.4 illustrates the mapped rectangular grids of the radial fan shown in
Figure 2.3. The point A in Figure 2.3 is a degenerate α characteristic. We divide the fan
θ
into n increments (3 as shown here), so ∆θ = . The degenerate α characteristics A ', A ''
n
and A' ' ' have the same x, y coordinates, and θ at A' , A' ' and A' ' ' are ∆θ , 2∆θ , and
3∆θ respectively. The mean stresses at A' , A' ' and A' ' ' can be determined by the
following difference equations:

17
σ m ( A ') = σ m ( A) + 2c∆θ (2.17a)
σ m ( A '') = σ m ( A ') + 2c∆θ (2.17b)
σ m ( A ''') = σ m ( A '') + 2c∆θ (2.17c)
From the conditions at A' and C we can solve for the conditions ( x, y,θ, σ m ) at C ' using
the previously described recursive method. Then we can solve for the conditions at C ' '
and C ' ' ' along the α characteristics.
The point C IV under the footing is a boundary on an α characteristic but not on
a β characteristic. We know y and θ at C IV so we can solve the two unknown variables
x and σ m by the two α equations:
θC ''' + θC IV π
yC IV − yC ''' + xC ''' tan( − )
xC IV = 2 4 (2.18a)
θC IV + θC ''' π
tan( − )
2 4
cC ''' + cC IV
σ mC IV = σ mC ''' + 2( )(θC IV − θC ''' ) − c1 ( xC IV − xC ''' ) (2.18b)
2
The vertical stress σ 0 at C IV is then
σ 0 = σ mC IV + c0 (2.19)
For non-uniform strength case the vertical pressure under the footing is not
uniform, therefore we should proceed to the next α characteristic until it reaches the
center of the footing. By integrating the vertical stress and multiplying the result by two
we can obtain the collapse load.

18
To establish a solution of the method of characteristic as a lower bound solution,
the stress field needs to be extended beyond the slip line field into the rigid zone (e.g.
Randolph and Houlsby, 1984). Once this is done the characteristic solution is said to be a
rigorous lower bound (Murff, 2002).
2.2.2 Upper Bound Method
To apply the upper bound method, we define the unknown collapse load F
moving at a velocity v 0 , the external work rate is then W = Fv0 . We postulate a
kinematically admissible failure mechanism and velocity field, and then we compute the
internal rate of energy dissipation D satisfying the yield condition and the associated
flow rule. By equating the external work to the internal energy dissipation Fv0 = D , we
can obtain the collapse load F as v 0 will cancel out in the equation.
For a material obeying an associated flow rule (Eq. 2.4), the dissipation rate is
calculated by
∂f
D = σ ij ε ijp = λσ ij (2.20)
∂σ ij
For undrained plane strain conditions the yield function can be written as
(σ x − σ y ) 2 1 1 1
f =[ + τ 2xy + τ 2yx ] 2 − c = 0 (2.21)
4 2 2
By substituting Eq. 2.21 into Eq. 2.20 and carrying out the dot product operations we can
obtain
D = λc (2.22)
19
Also, by the associated flow rule the strain rates can be calculated as
∂f λ
εx = λ = (σ x − σ y ) (2.23a)
∂σ x 4c
∂f −λ
εy = λ = (σ x − σ y ) (2.23b)
∂σ y 4c
∂f λ
ε xy = ε yx = λ = τ xy (2.23c)
∂τ xy 2c
We can see that the volumetric strain rate is ε v = ε x + ε y = 0 , which implies that the
material is incompressible for this yield condition. By substituting Eqs. 2.23a, 2.23b and
2.23c into the yield condition (Eq. 2.21) we can solve for λ , which is
λ = (2ε 2x + 2ε 2y + 2ε 2xy + 2ε 2yx )1/ 2 (2.24)
Therefore
D = c(2ε 2x + 2ε 2y + 2ε 2xy + 2ε 2yx )1/ 2 (2.25)
Since ε x = −ε y and ε xy = ε yx , Eq. 2.25 is reduced to
D = 2c(ε 2x + ε 2xy )1/ 2 (2.26)
For undrained and general three dimensional conditions, the dissipation functions for
continuously deforming regions are
von Mises condition:
D = c(2ε ij ε ij )1/ 2 (2.27)
Tresca condition:
D = 2c ε shear = γ max c (2.28)

max
20
For slip surfaces, consider the following (Murff, 1978)
Rigid
Moving
v 0
Deforming
y region
x
Rigid
Stationary
1.0 unit wide
Figure 2.5 Calculation of the Dissipation Rate for Slip Surfaces (after Murff, 2002)
Assuming the thickness of the deforming region is t, from Figure 2.5 the
velocities in the deforming region can be calculated as
v0
vx = y (2.29a)
t
v y = vz = 0 (2.29b)
The strain rates are
εx = ε y = 0 (2.30a)
1 ∂v ∂v y 1 v0
ε xy = ε yx = ( x + )= (2.30b)
2 ∂y ∂x 2 t
21
Therefore, the dissipation is
1 v0 2 1/ 2 cv0
D = 2c[( ) ] = (2.31)
2 t t
The total dissipation in the deforming region is then
cv0
DTOT = ∫ DdV = × 1× t = cv0 (2.32)
V
t
So as t → 0 the dissipation on the slip surface is simply
D = cv0 (2.33)
where v0 is the relative velocity of slip along the slip surface.
To illustrate the application of the upper bound method we will consider the
same strip footing problem as the lower bound method and a uniform strength condition.
We can develop a failure mechanism (Figure 2.6) from the solution by the method of
characteristics. The mechanism can be shown to be kinematically admissible so it
constitutes a valid upper bound. Consider the right half of the footing, there are 3 regions:
OAD, ABD and BCD. OAD and BCD are rigid regions so no energy is dissipated within
them, hence, only the dissipation within region ABD and along slip planes OA, AB and
BC need to be evaluated.
22
F,v 0
o D C
A B
Figure 2.6 Failure Mechanism Developed from MOC
v R
v0
v
H
Figure 2.7 The Resultant Velocity along OA

23
From Figure 2.7 we can see that the resultant velocity along OA is
π b π 2
vR = v0 / cos = 2v0 . The length of OA is cos = b , where b is the width of the
4 2 4 4
footing. Therefore the dissipation along OA is
2 cv b
D = c ⋅ 2v0 ⋅ b= 0 (2.34)
4 2
The tangential velocity along arc AB is the same as OA, and the length of arc AB is
π 2 2
⋅ b= πb , thus
2 4 8
2πb cv0 πb
D = c ⋅ 2v0 ⋅ = (2.35)
8 4
The dissipation rate along BC can be evaluated similarly, which is the same as OA.
The tangential velocity within the region ABD is constant, vt = 2v0 , and the
radial velocity is zero, so the shear strain rate is
∂vt vt 2v0
γ = −( − )= (2.36)
∂r r r
where r is radius of curvature within this region. Thus
π/2 2b / 4 2v0 cv πb
D=∫ ∫ c rdrdθ = 0 (2.37)
0 0 r 4
where θ is the cylindrical coordinate. Therefore, the total energy dissipation rate is the
sum of the calculated dissipations above and multiply by two, which gives
DTOT = cv0b(π + 2) (2.38)
Equate the external work rate to the internal dissipation rate, we have
24
Fv0 = cv0b(π + 2) (2.39)
Thus
F / b = c(π + 2) (2.40)
which is the same as the lower bound solution. Therefore, it is the exact solution.
2.2.3 Plasticity Solutions for Fully Embedded Cylinder
Randolph and Houlsby (1984) applied classical plasticity theory to estimate the
limiting pressure on a fully embedded, laterally translating, circular cylinder unaffected
by any free surface. Their approach employed the method of characteristics (MOC) to
estimate a lower bound limiting resistance, and they used the characteristic net found in
the lower bound solution to derive the velocity field for a collapse mechanism in an
upper bound solution. Figure 2.8 illustrates the characteristic nets for α = 0 (smooth pile)
and α = 1 (rough pile), where α is the interface adhesion coefficient. For the case of full
adhesion between the soil and cylinder boundary, α=1, their procedure produces
identical lower and upper bound solutions for the normalized collapse load, F/cD =
11.94; i.e., an exact solution. Subsequent study by Murff et al. (1989) indicated some
divergence between lower and upper bound solutions for α<1. The maximum
discrepancy occurs for the case of a perfectly smooth cylinder, where the upper bound
solution exceeds the lower bound (F/cD = 9.14) by about 9%. An optimized upper
bound by Randolph et al. (2000) reduces the difference to 5.5% (Figure 2.9).
25
a. α = 0 b. α = 1
Figure 2.8 Examples of Characteristic Nets by Randolph and Houlsby (1984)
Figure 2.9 Solution for Cylindrical (T-bar) Penetrometer (Randolph et al., 2000)
26
2.2.4 Plasticity Solutions for Partially Embedded Cylinders
Murff et al. (1989) used the Randolph-Houlsby approach for computing collapse
loads for partially embedded cylinders for embedments up to one-half diameter, h/D
=0.5. Their characteristic net takes the following form (Figure 2.10):
(a) Rigid zones OAF and DEQ. For a perfectly smooth cylinder (α = 0) the rigid
zone OAF vanishes.
(b) A circular fan CDQ centered about Q.
(c) Zone ACQF containing curved characteristics comprised of involutes having
centers of curvature located on an evolute of radius r0 cos ψ, where r0 is the
π ∆
radius of the cylinder, ψ = − , which is the angle the straight
4 2
characteristics intersect with the cylinder and ∆ =arcsin(adhesion/shear
strength).
This net is similar to the Randolph-Houlsby net, except for the rigid wedge DEQ, which
arises as a consequence of the free surface.
For uniform soil strength conditions, tractions on the cylinder can be derived
analytically by integration along the characteristics. The tractions can further be
integrated analytically to obtain the following expressions for collapse load F for
embedment such that ω < π/2 - ∆/2 provided by Murff et al.:
⎡ ∆ ∆ ⎤
F = 2r0 c ⎢cos(ω + ∆) + 2sin + (1 + ∆ + 2ω) cos ω + 2 cos − 2sin ω ⎥ (2.41)
⎣ 2 2 ⎦
where ω = arcsin(1 − h / r0 )
27
Figure 2.10 Characteristic Net for Uniform Strength (after Murff et al., 1989)
For shallow embedments ω > π/2 - ∆/2, this expression becomes:
F = 2r0 c(2 + π) cos ω (2.42)
The Murff et al. solution (1989) can be extended beyond the slip line field to the rigid
region. Hence, their solution constitutes a rigorous lower bound.
For upper bound estimates of a collapse load for a partially embedded cylinder,
Murff et al. (1989) consider two velocity fields for estimation of collapse loading for a
partially embedded cylinder. The first is the velocity field implied by the consistent
stress characteristic net shown in Figure 2.11a. The second is the velocity field obtained
by truncating at the ground surface the velocity field used in the Randolph-Houlsby
28
analysis for a fully embedded cylinder far from a free surface (Figure 2.11b). Both of the
above mechanisms contain velocity jumps across slip planes as well as continuously
deforming regions. Both velocity fields considered above are kinematically admissible
mechanisms; hence, collapse loads derived from them are valid upper bounds.
The energy dissipation rates across the slip planes and deforming regions were
evaluated by Murff et al. (1989). Referring to Figure 2.11a, AFF ' is a rigid zone,
interface AF is inclined at 45 degrees to the vertical direction. The tangential velocity
along AF is vt = v0 / 2 , therefore
∆
D = cv0 r0 sin( ) (2.43)
2
Interface ABC is an involute, with the center moving anticlockwise along the evolute,
which is a circle of radius r0 cos ψ concentric with the cylinder. The tangential velocity
along ABC is vt = v0 / 2 , so the dissipation rate along the interface is
π / 2 −∆ / 2 v0
D=∫ c rdθ 2 (2.44)
ω
2
where r is the radius of curvature of ABC, and
∆ π ∆
r = r0 [ 2 sin( ) + sin ψ + ( − − θ 2 ) cos ψ] (2.45)
2 2 2
θ 2 locates specific straight characteristic.
Interface CD is a circular arc centered at Q. The tangential velocity along CD is
vt = v0 / 2 , therefore
π / 4 +∆ / 2 + ω v0
D=∫ c rdθ3 (2.46)
π/4
2
29
a. Consistent Upper Bound Model
b. Randolph and Houlsby Upper Bound Model
Figure 2.11 Upper Bound Models (Murff et al., 1989)

30
where r is the radius of curvature of CD, and
∆ π ∆
r = r0 [ 2 sin( ) + ( − − ω) cos ψ] (2.47)
2 2 2
θ3 locates specific straight characteristic.
Interface DE is inclined at 45 degrees to the free surface so its length is the same
∆ π ∆
as QD, which is equal to r0 [ 2 sin( ) + ( − − ω) cos ψ] . The tangential velocity along
2 2 2
CD is vt = v0 / 2 , therefore
∆ π ∆
D = v0 cr0 [sin( ) + ( − − ω) cos ψ / 2] (2.48)
2 2 2
Interface FGH is an involute similar to ABC. A tangential velocity discontinuity exists
across FGH equal to
vt = v0 [cos(∆ / 2) sec ψ − 1/ 2] (2.49)
Thus
π / 2 −∆ / 2
D=∫ c vt rdθ 2 (2.50)
ω
π ∆
where r is the radius of curvature of FGH, and r = r0 [sin ψ + ( − − θ 2 ) cos ψ] .
2 2
Interface HI is a circular arc similar to CD. A tangential velocity discontinuity
same as FGH exists across HI, therefore
π / 4 +∆ / 2 + ω
D=∫ c vt rdθ3 (2.51)
π/4
π ∆
where r is the radius of curvature of HI, and r = r0 ( − − ω) cos ψ .
2 2
31
Interface IJ is inclined at 45 degrees to the free surface, and its length is the same
π ∆
as QI, which is equal to r0 ( − − ω) cos ψ . The velocity discontinuity across IJ is
2 2
identical to FGH and HI, therefore
∆ cos ψ π ∆
D = v0 cr0 [cos( ) − ]( − − ω) (2.52)
2 2 2 2
For Interface FKQ, the relative velocity between the cylinder and the soil is
vt = v0 (cos θ1 + sin θ1 tan ψ) (2.53)
The limiting shear stress or adhesion at the soil cylinder interface is c sin ∆ . Thus
π / 2 −∆ / 2
D=∫ c sin ∆ vt r0 dθ1 (2.54)
ω
where θ1 locates a specific curved characteristic.
The straight characteristics KGB, QHC and QID all terminate in the rigid region,
therefore no relative velocity develop along them and the energy dissipations are zeros.
Within the deforming region ABCHGF, the tangential velocity is v0 / 2 , and
the radial velocity is zero, so the shear strain rate is
∂vt vt v
γ = −( − )= 0 (2.55)
∂r θ2 r r 2
where r is the radius of curvature in each deforming region. Therefore
π / 2 −∆ / 2 r2 cv0
D=∫ ∫ rdrdθ 2 (2.56)
ω r1
r 2
where the radial integration limits r1 and r2 denote the radius of curvature along FGH
and ABC, respectively.

32
For region CDIH, the tangential velocity and the shear strain rate are in the same
form as within region ABCHGF, thus
π / 4 +∆ / 2 + ω r2 cv0
D=∫ ∫ rdrdθ3 (2.57)
π/4 r1
r 2
where r1 and r2 denote the radii of curvature along HI and CD, respectively.
Region DEJI is a rigid zone, so the dissipation within it is zero. For region
FGHQK, the tangential velocity along the curved characteristics is vt = v0 sin θ1 / cos ψ ,
and the radius of curvature in the region is r = r0 [sin ψ + (θ1 − θ 2 ) cos ψ] , so the shear
strain rate is
∂ vt vt v cos θ v sin θ1
γ = −( − ) = −( 0 2 1 − 0 ) (2.58)
∂r θ2 r r0 cos ψ r cos ψ
Thus
π / 2 −∆ / 2 θ1
D=∫ ∫ cγrr0 cos ψdθ 2 dθ1 (2.59)
ω ω
For region HIQ, the tangential velocity and the shear strain rate are in the same form as
v0 cos θ1 v0 sin θ1
within region FGHQK, i.e., γ = −( − ) , but the radius of curvature is
r0 cos 2 ψ r cos ψ
r = r0 (θ1 − ω) cos ψ . Similarly we have
π / 2 −∆ / 2 π / 4 +∆ / 2 + ω
D=∫ ∫ cγrr0 cos ψdθ3 dθ1 (2.60)
ω π/4
For region IJQ, a new set of axes is taken to facilitate the calculation. Q is the
new origin and y ' runs along QID. The tangential velocity along the straight
characteristics is
33
vx ' = v0 sin θ1 / cos ψ (2.61)
Recalling that y ' = r0 (θ1 − ω) cos ψ , the shear strain rate becomes
∂vx ' ∂v y ' v0 cos θ1

γ= + = (2.62)
∂y ' ∂x ' r0 cos 2 ψ
Thus
π ∆
− y' v0 cos θ1
D = ∫2 2
∫ cr0 cos ψdx ' dθ1 (2.63)
ω 0 r0 cos 2 ψ
For the Randolph-Houlsby upper bound model, the energy dissipation rates are
the same except slip planes IJ, DE and deforming regions DEJI and IJQ (Figure 2.11b).
Slip plane DE is a circular arc extended from CD, thus
π/4 v0
D=∫ c rdθ3 (2.64)
0
2
Slip plane is also a circular arc extended from HI, thus
π/4
D=∫ c vt rdθ3 (2.65)
0
The deforming region DEJI is an extension of region CDIH, thus
π/4 r2 cv0
D=∫ ∫ rdrdθ3 (2.66)
0 r1
r 2
Region IJQ is an extension of the circular shear fan HIQ, thus
π / 2 −∆ / 2 π/4
ω 0
By evaluating the integrals and summing all the energy dissipation rates for slip
planes and deforming regions together, we obtain the total internal dissipation DTOT . The
external work rate is

34
W = Fv v0 = DTOT (2.68)
From the equation above we can obtain Fv and the collapse load by multiplying Fv by 2
due to symmetry. Figure 2.12 illustrates the comparison of the upper bound and lower
bound solutions by Murff et al.
h/r0
Figure 2.12 Comparison of Lower and Upper Bound Solutions (after Murff et al.,
1989)
35
2.3 Finite Element Method
In essence, the finite element method (FEM) is an approximate method
implemented by discretizing the solution domain into a number of “finite elements”. By
doing so we can choose interpolation functions and construct approximate equations for
each element. We can solve for the unknown variables by assembling all the element
equations together and imposing the boundary conditions (Reddy, 1993).
2.3.1 FEM Theory
There are two main reasons to discretize the domain (Reddy, 1993). The first
reason is to approximate the geometry, e.g., we can approximate a curve by a set of
straight lines. The accuracy of the approximation will depend on the refinement of the
mesh. If one keeps increasing the refinement of a mesh, the solution will tend to
converge on the exact value. The second reason is to approximate the solution over each
element instead of the whole domain, which is more difficult to do.
As an example we will consider a solid mechanics frame work (Aubeny, 2003).
The basic solution variable is the displacement vector [u ] , and the strain-displacement
relationship is
[ε] = [ B][u ] (2.69)
where [B] is the strain-displacement operator. The stress-strain relationship can be
established as
[σ] = [C ][ε] (2.70)

36
where [C] is the constitutive matrix. The governing differential equation in tensor form
is
∇ iσ + f = 0 (2.71)
which can also be written as
[ B]T [σ] = [ f ] (2.72)
where [ f ] is the externally applied force vector. Combine Eqs. 2.69, 2.70 and 2.72, we
obtain the following:
[ B]T [C ][ B][u ] − [ f ] = 0 (2.73)
or
[ K ][u ] = [ f ] (2.74)
where [K] is the stiffness matrix and [ K ] = [ B ]T [C ][ B] .
In each element, we approximate the displacement by interpolation functions as
follows:
[u ] = [ H ][uˆ ] (2.75)
where [H] is the interpolation matrix, and [uˆ ] is the nodal displacement vector. If we
multiply the left hand side of Eq. (2.73) by a weighting function matrix [ w] = [ H ]T we
obtain the following:
[ B ]T [C ][ B][uˆ ] − [ H ]T [ f ] = [ R] (2.76)
where [R] is the residual error term. By the method of weighed residuals (MWR) we
integrate it over the element and let it equal zero, which can be written as
37
∫ [ B] [C ][ B][uˆ ]dV − ∫ [ H ] [ f ]dV = 0 (2.77)

T T
V V
For each element the element stiffness matrix [ K ]e = ∫ [ B ]T [C ][ B ]dV , and the force
V
vector [ F ]e = ∫ [ H ]T [ f ]dV . Therefore the element equation in matrix form is

V
[ K ]e [u ] = [ F ]e (2.78)
The element equations can be assembled together based on the satisfaction of
inter-element continuity and equilibrium. The global stiffness matrix and force vector
can be written as
# elements
[ K ]G = ∑
i =1
[ K ]e (2.79)
# elements
[ F ]G = ∑i =1
[ F ]e (2.80)
To solve the assembly equations, the boundary conditions need to be applied for the
specific problem, such as a prescribed displacement, an applied load etc. The equations
can be solved by mathematical operations. If necessary, the solutions can be post-
processed into graphical or tabular presentation.
2.3.2 FEM Studies for Cylinders of Flow-around Conditions
Finite element studies on undrained penetration of rough cylindrical mines in
uniform soils were carried forward at Texas A&M University by Yao (2003), with the
assumption that the soil will flow around the cylinder after the penetration depth exceeds
one half diameter (Figure 2.13). He calculated the quasi-static collapse loads assuming
38
the cylinder is pre-embedded at a series of embedment depths. The analyses used linear,
quadrilateral elements for a linearly elastic, perfectly plastic material obeying a von
Mises yield criterion and an associated flow rule. Figure 2.13 illustrates his solutions,
F
where N = , and d c is the actual projected contact area per unit length.
cd c
Figure 2.13 FEM Solutions for Cylinders of Flow around Conditions (Yao, 2003)
39
2.4 Rate Dependent Properties of Soil
The dependence of undrained shear strength of soil on applied rate of strain has
long been recognized (Casagrande and Wilson, 1951). Rate dependency of soil on
undrained shear strength has been studied extensively both in triaxial compression tests
(e.g., Bjerrum et al., 1958; Richardson and Whitman; 1963; Richardson, 1963; Ladd et
al., 1972; Alberro and Santoyo, 1973; Berre and Bjerrum, 1973; Vaid and Campanella,
1977; Hight, 1983; Lefebvre and LeBoeuf, 1987; Sheahan et al., 1996) and in vane shear
tests (e.g., Skempton, 1948; Cadling & Odenstad, 1950; Aas, 1965; Halwachs, 1972;
Wiesel, 1973; Torstensson, 1977; Smith & Richards, 1975; Perlow & Richards, 1977;
Schapery & Dunlap, 1978; Sharifounnasab & Ulrich, 1985; Roy & LeBlanc, 1988;
Biscontin and Pestana, 2001). The relationship between undrained shear strength and
strain rate in triaxial tests is often expressed by a logarithmic relationship (Sheahan et al.,
1996), while either a logarithmic or a power law can be formulated in terms of rotation
rates in vane shear tests (Biscontin and Pestana, 2001). The Biscontin-Pestana data also
suggest that substituting peripheral velocity for rotation rate provides a better basis for
interpreting test data from different vane blade radius dimensions.
A possible predictive framework for strain rate dependence is that of a viscous
fluid model (e.g., Whitney and Rodin, 2001). Viscous models have been used very
effectively in practical applications such as pipeline embedment in soft seafloor soils
(Schapery and Dunlap, 1984). This framework has the advantage that the material
parameters describing strain rate effects can be estimated from variable strain rate shear
tests in a relatively straight-forward manner. A chief disadvantage is that soil shearing

40
resistance decays to negligible levels as penetration velocity approaches zero, which can
lead to unrealistic results, depending on the problem.
A second alternative, which was adopted in this research, is a rate-dependent
plasticity approach (Aubeny and Shi, 2005a). With this approach, at elevated strain rates
soil shearing resistance has a rate-dependent form that is similar to that of a viscous fluid
model, but the soil shearing resistance remains constant for strain rates below a certain
threshold value. Evidence for this type of behavior is given by Sheahan et al. (1996) for
lightly to moderately over-consolidated clay (Figure 2.14). Although no threshold value
was established for normally consolidated clay in their study, the overall magnitude of
strain rate effects clearly appears to be declining at very low strain rates.
Figure 2.14 Normalized Shear Strength versus Strain Rate, CK0UC Tests,
Resedimented BBC (Sheahan et al., 1996)
41
An appealing feature of the rate-dependent plasticity approach is that the
framework follows naturally from well-established methods for estimating collapse
loads from rate-independent plasticity theory. Hence, rate-independent solutions can
provide a useful frame of reference from which strain rate effects can be evaluated. A
drawback of the approach is that the threshold strain rate is at present ill-defined, and the
magnitude of the threshold may in fact be so low that the assumption of undrained
shearing no longer becomes valid.
2.5 Experimental Studies
The experimental studies relevant to this research include the mini-vane shear
tests, the penetration tests and the XBP tests. The details of these tests and their
interpretations are discussed in the following section.
2.5.1 Miniature Vane Shear Tests
The miniature vane (MV) shear test consists of inserting a four-bladed vane into
a soil sample and rotating it at a constant rate to determine the maximum torque to be
developed (ASTM, 2001). For isotropic materials, the torque can be converted to
undrained shear strength by the following equation (Murff, 1980):
4
k = T /(2π R 2 L + π R 3 / cos ν) (2.81)
3
where k = undrained shear strength
T = torque
R = radius of the blade

42
L = height of the vane
ν = angle of vane taper
The MV shear test apparatus used in this study used a 12.6 mm diameter by 18.2
long vane with a 45º taper on top and bottom. The device is equipped with a small
variable speed motor to drive the vane shaft, and the readings are taken from a
transducer in volts and then converted to torque. Figure 2.15 shows the set-up of the
vane shear testing machine.
Figure 2.15 The Vane Shear Testing Machine Set-Up (Munim, 2003)
43
2.5.2 Penetration Tests
The penetration tests (Aubeny and Dunlap, 2003) involve penetration
measurements of a model cylinder for various conditions of cylinder weight and mudline
velocity. The soils used in the tests were reconstituted marine clays collected from the
Gulf of Mexico seafloor approximately 32 km south of Port Aransas, Texas. The soils
were collected using a box core sampler and transported in 0.21-m3 (55-gal) drums to the
laboratory. The natural soils were processed to remove shells, mixed to achieve a
uniform mixture, and dried from a water content of about 69% down to 52%. The
reconstituted soil had a liquid limit of 44-45 and a plastic limit of 20-22. Given that the
water content of the soils was well above the liquid limit, sampling and laboratory
strength testing was not practical. Soil strength in the test basin was therefore estimated
using a hand-held vane shear apparatus rotated at a rate of 0.02 rad/sec. Typical
strengths were on the order of 1-1.5kPa. This test method can not be considered highly
accurate, but given the limited options for measuring the strength of shallow, extremely
soft soils, the above methods were adopted for characterizing soil strength.
The cylinder penetration tests were performed in a 1.83-m diameter by 1.22-m
high basin (Figure 2.16). The tests were performed using a 0.168-m diameter aluminum
cylinder. Both ends of the cylinder were rounded with hemispherical caps. The total
length of the cylinder, including the rounded caps, was 0.505 m. The cylinder and the
guide frame were constructed to permit variation of the weight of the cylinder. In the test
program, cylinder weights were varied from 160-750 N. During each test the cylinder
was released at the desired drop location and penetration depths versus time were
44
measured by a data acquisition system which was set up with Magneto-restriction Linear
Displacement Transducer (MLDT) and Labview hardware and software. Soil strengths
were measured after each drop at six locations surrounding the cylinder; hence, the soil
strength c varied somewhat throughout the test program. Both non-impact and impact
tests were performed (Table 2.1). For non-impact tests the cylinder was released at the
mudline so the impact velocity v0 = 0 . For impact tests involving non-zero mudline
velocity v0 , the cylinder was attached to a displacement transducer from which velocity
could be computed. The test apparatus permitted inclination of the cylinder to an angle
β up to about 20o from horizontal.
Figure 2.16 Penetration Test Basin with Gulf of Mexico Sediments (Yao, 2003)
45
Table 2.1 Summary of Penetration Tests (after Aubeny and Dunlap, 2003; Munim,
2003)
a. Non-Impact Tests
Test Mine Weight Shear Strength Penetration (cm) Penetration (cm)

No. (kg) (kPa) 1 min 64 min
1 16.61 1.36 1.40 1.75*
5 46.55 1.22 6.96 9.40
7 56.53 1.04 11.23 14.58
8 64.51 1.34 10.80 15.29
9 76.49 1.43 15.49 22.28
* Measurements taken after 60 min
b. Impact Tests
Test Mine Weight Shear Strength Impact Velocity Penetration (cm) Penetration (cm)
No. (kg) (kPa) (m/sec) 1 sec 24 hrs
22 28.59 1.86 1.82 11.86 12.29
23 46.55 1.20 2.07 21.41 22.02
24 76.49 1.98 1.79 23.60 25.45
251 28.59 1.40 1.69 11.63 12.37
261 46.55 1.39 1.74 20.90 21.54
271 76.49 1.60 1.88 32.05 33.17
282 28.59 1.20 1.91 22.00 22.40
2
29 46.55 1.46 1.73 21.92 22.73
302 76.49 1.48 1.58 34.85 36.63
1 – Cylinder oriented 10 degrees from horizontal.
2 – Cylinder oriented 20 degrees from horizontal.
For the non-impact tests, data in Table 2.1a indicates the penetration continues to
increase significantly after the initial penetration over a long period of time. Figure 2.17
illustrates this behavior for test 9. Possible causes of this additional penetration may
include soil consolidation and/or creep (Aubeny and Dunlap, 2003). On the other hand,
data in Table 2.1b indicates that only very small additional penetration was developed
46
after the initial impact for the impact tests. Apparently the inertial forces imposed by the
dropped cylinders caused penetration near the long term static equilibrium depth.
25
Measured Penetration (cm)
20
15
Test 9
10
1 10 100 1000 10000
Time (min)
Figure 2.17 Typical Time-Dependent Penetration for Non-Impact Tests (after

Aubeny and Dunlap, 2003; Munim, 2003)
2.5.3 XBP Tests
Figure 2.18 illustrates the XBP that is under consideration in this study. It is
21.55 cm long with a maximum diameter of 5.067 cm. Its total and buoyant weights are
W = 6.91 N and Wb=5.34 N, respectively. After falling several meters through a water
column, it reaches a terminal velocity of approximately 7 m/s (Stoll et al., 2004). The
probe is equipped with an accelerometer; decelerations measured upon impact into the
seafloor sediment provide a basis for estimating shear strength. Peak decelerations are
47
typically well in excess of 10g, even in the very soft sediments considered in this study.
Maximum penetration depths are typically on the order of 25 cm; i.e., about equal to the
probe length. As its name implies, the XBP is not retrieved following deployment. A
significant advantage of the device is that it can be launched from a moving vessel,
making it well suited to expeditiously mapping seafloor sediment conditions over a large
area.
The XBP tests were conducted as a part of ONR Mine Burial Program (Stoll et
al., 2004) in the Gulf of Mexico near Corpus Christi, Texas. A typical example of an
XBP test record is shown in Figure 2.19.
21.55 cm
5.067 cm 1.27 cm
Figure 2.18 Expendable Bottom Penetrometer, XBP (Aubeny and Shi, 2005b)
48
Figure 2.19 Typical XBP Field Record (Stoll et al., 2004)

49
CHAPTER III
RATE-INDEPENDENT STUDIES*
3.1 Plastic Limit Analysis
Plastic limit analyses were carried forward for collapse loads of horizontal
cylinders embedded in open trenches. The analysis extends the study by Murff et al.
(1989) to both non-uniform strength conditions and embedments exceeding one-half
diameter. Following the precedent of previous studies (e.g., Davis and Booker, 1973) the
analysis considers linearly varying strength profiles where the undrained shear strength c
at a depth z can be characterized by the following expression:
c = cm + c1 z (3.1)
where cm is the strength at the ground surface (mudline) and c1 is the rate of strength
increase with depth. Such strength variation is conveniently characterized in terms of a
dimensionless parameter η:
η = c1 D / cm (3.2)
3.1.1 Lower Bound Analysis
MOC collapse load calculations for smooth cylinders and non-uniform strength
conditions were calculated by the method illustrated in Chapter II, with the differences
here being the change in θ across the shear fan and the boundary condition at the soil-
*
50
π π π
cylinder interface. The angle across the singularity is π-( -ω)- - =ω , where ω is
2 4 4
defined in Figure 2.11. For the boundary point C IV which is immediately under the
cylinder in this case (Figure 3.1), the major principal stress σ1 is the normal stress at the
cylinder boundary. Therefore, from Figure 3.1 we have
xC IV = r0 2 − ( yC IV + r0 − h) 2 (3.3)
yC IV + r0 − h
θC IV = tan −1 ( ) (3.4)
xC IV
Also, from the α -characteristic equation we have
θC IV + θC ''' π
yC IV = yC ''' + ( xC IV − xC ''' ) tan( − ) (3.5)
2 4
By combining Eqs. 3.3, 3.4 and 3.5, we obtain the following equation:
⎧ −1 yC IV + r0 − h ⎫
⎪ tan [ 2 ] + θC ''' ⎪
⎪ r0 − ( yC IV + r0 − h) 2 π⎪
yC IV = yC ''' + [ r0 2 − ( yC IV + r0 − h) − xC ''' ] tan ⎨
2
− ⎬ (3.6)
⎪ 2 4⎪
⎪ ⎪
⎩ ⎭
By solving this equation we can obtain yC IV , then we can calculate xC IV and θC IV by Eqs.
3.3 and 3.4, and we can calculate σ mC IV by the following α -characteristic equation:
cC ''' + cC IV
σ mC IV = σ mC ''' + 2( )(θC IV − θC ''' ) − c1 ( xC IV − xC ''' ) (3.7)
2
The normal stress at the interface is then
σ = σ mC IV + cC IV (3.8)
51
yC +r0-h
IV
r0 x
θ
xCIV
IV
C h
Figure 3.1 Boundary Condition for the Method of Characteristics
We can then progress to the next α characteristic until it reaches the bottom of the
π
cylinder ( xC IV = 0, yC IV = h,θC IV = ). Finally we can obtain the collapse load by
2
integrating along the circular interface:
π
F = 2∫ 2 σr0 sin θdθ (3.9)
ω
A MATLAB program entitled MOC_CYLINDER has been developed for the
MOC collapse load calculations for cylinders (Appendix A). Figure 3.2 illustrates the
implementation of this approach for a condition of a perfectly smooth boundary (α=0)
and a cylinder embedment of one-half diameter, (h/D = 0.5). Figure 3.2a shows the
characteristic nets for the limiting cases of uniform (η=0) and triangular (η=infinity)
52
strength profiles. With the introduction of a strength gradient, the size of the slip line
field noticeably diminishes; that is, the failure zone is more localized. For example, at
the free surface the lateral extent of the slip line field for η = infinity is nearly 25 percent
less than that for η = 0, 0.61D versus 0.79D. Slip line field boundaries for intermediate
strength profiles are shown in Figure 3.2b. These again depict a continuous trend of
decreasing depth and lateral extent as η increases. For the uniform strength case (η = 0),
the stress field can be extended into the rigid region hence the MOC solution constitutes
a valid lower bound (Murff et al., 1989). However, this task has not been undertaken in
the present study for the non-homogeneous case; hence, some caution should be
exercised in interpreting these solutions as the lower bounds.
Figure 3.3 illustrates normalized collapse loads computed from characteristics
solutions for embedments h/D varying from 0 to 0.5. When the soil strength at depth h,
ch , is taken as the reference strength, the normalized load-embedment relationships fall
into a relatively narrow band. This result may be viewed as somewhat surprising in view
of rather significant effect that η had on the geometry of the slip line field. Apparently
the effects of the altered slip line geometry are more or less offset by the variable
strength profile so that the normalized collapse load remains essentially the same. In any
event, the relative insensitivity of normalized collapse loads to variations in η shown in
Figure 3.2 point to ch as a convenient reference strength measure in the case of general
values of η (Aubeny et al., 2005).

53
a. Characteristic Nets
b. Slip Surfaces for Various η
Figure 3.2 Effect of Strength Gradient on Characteristics Solution (Aubeny et al.,

2005)
54
5
Normalized Resistance, F/c D
h 4
2 =0
=4
= 10
1 = 20
= inf
0
0 0.1 0.2 0.3 0.4 0.5
Embedment, h/D
Figure 3.3 Normalized Load Capacity from MOC Solutions (Aubeny et al., 2005)
3.1.2 Upper Bound Analysis for Variable Strength Profiles
Upper bound solutions for non-uniform strength profiles are possible using either
of the velocity fields shown in Figure 2.11; i.e. the consistent solution by Murff et al. in
Figure 2.11a or the truncated Randolph-Houlsby in Figure 2.11b. This approach applies
the velocity fields from characteristic nets in a uniform soil profile to non-uniform soil
strength conditions. The mechanism is kinematically admissible so it is a valid upper
bound. While the use of characteristic nets from non-uniform strength profiles (e.g.,
Figure 3.2) may be more appropriate in principle, such a refinement would involve
numerical rather than analytical evaluation for velocities and strain rates. The
computational complexity and numerical accuracy issues associated with this approach
55
would seem to offset much of the advantage and motivation for performing the upper
bound approximation; hence, this study did not adopt the more rigorous approach.
The energy dissipation rates for the deforming regions and slip planes can be
evaluated in a manner similar to that of the uniform strength case, except that c is a
variable changing with depth (Eq. 3.1) instead of being a constant. Therefore, the
strength needs to be integrated with depth when evaluating the energy dissipation rates.
For example, the dissipation rate for interface AF (Figure 2.11) is

∆ ∆
r0 cos − r0 sin ω + r0 sin
D=∫ ∆
2 2
(cm + c1 z )v0 dz (3.10)
r0 cos − r0 sin ω
2
Also, for interface DE of the consistent upper bound model (Figure 2.11a), the
dissipation rate is
∆ π ∆
r0 [sin( ) + ( − − ω)cos ψ / 2 ]
D=∫ 2 2 2
(cm + c1 z )v0 dz (3.11)
0
For interface IJ of consistent upper bound model (Figure 2.11a), the dissipation rate is
π ∆
r0 ( − − ω)cos ψ / 2
D=∫ 2 2
(cm + c1 z )∆vt 2dz (3.12)
0
For all other slip planes and deforming regions, the dissipations can be evaluated
by substitution of Eq. 3.1 into the integrals for the uniform case. Tables 3.1 and 3.2
present the integrals for the consistent upper bound model and the Randolph-Houlsby
upper bound model, respectively.

56
Table 3.1 Dissipation Rates for the Consistent Upper Bound Model of Non-Uniform
Condition (Regions Defined in Figure 2.11a)
Region Velocity or Strain Rate, v or γ Energy Dissipation Rate, D

AF v0 / 2 r0 cos
∆
− r0 sin ω + r0 sin
∆
∫ ∆
2
2
(cm + c1 z )v0 dz
2
ABC v0 / 2 π / 2−∆ / 2 v0
∫ ω
(cm + c1 z )
2
rdθ 2
CD v0 / 2 π / 4+∆ / 2+ω v0
Slip ∫ π/4
(cm + c1 z )
2
rdθ 3
Planes DE v0 / 2
∆ π ∆
) + ( − − ω ) cos ψ /
∫
r0 [sin( 2]
2 2 2
(cm + c1 z )v0 dz
0
FGH vt = v0 [cos( ∆ / 2) ∗ sec ψ − 1/

π / 2 −∆ / 2
2]
∫ ω
(cm + c1 z ) vt rdθ 2
HI vt = v0 [cos( ∆ / 2) ∗ sec ψ − 1/
π / 4+ ∆ / 2+ ω
2]
∫ π/4
IJ vt = v0 [cos( ∆ / 2) ∗ sec ψ − 1/ 2]
π ∆
r0 ( − − ω ) cos ψ /
∫
2
2 2
(cm + c1 z ) vt 2 dz
0
FKQ vt = v0 (cos θ1 + sin θ1 tan ψ) π / 2 −∆ / 2
∫ ω
(cm + c1 z ) sin ∆ vt r0 dθ1
ABCHGF v0 π / 2 −∆ / 2 (cm + c1 z )v0
∫ ∫
r2
rdrdθ 2
ω
r 2 r1
r 2
CDIH v0 π / 4+∆ / 2+ω (cm + c1 z )v0
∫ ∫
r2
rdrdθ 3
π/4
Deforming r 2 r1
r 2
DEJI 0 0
Regions FGHQK v0 cos θ1 v0 sin θ1 π / 2−∆ / 2
∫ ∫
θ1
γ = −( − ) (cm +c1 z )γrr0 cos ψdθ 2 dθ1

2 ω ω
r0 cos ψ r cos ψ
HIQ v0 cos θ1 v0 sin θ1 π / 2−∆ / 2 π / 4+ ∆ / 2+ ω
γ = −( 2
− ) ∫ ω ∫π/4
(cm + c1 z )γrr0 cos ψdθ 3 dθ1
r0 cos ψ r cos ψ
IJQ v0 cos θ1 π ∆
− v0 cos θ1
∫ ∫
y'
2
2 2
(cm + c1 z ) r0 cos ψdx ' dθ1
r0 cos ψ ω 0
r0 cos ψ
2
57
Table 3.2 Dissipation Rates for the Randolph-Houlsby Upper Bound Model of Non-
Uniform Condition (Regions Defined in Figure 2.11b)

AF v0 / 2 r0 cos
∆
− r0 sin ω + r0 sin
∆
∫ ∆
2
2
(cm + c1 z )v0 dz
2
ABC v0 / 2 π / 2 −∆ / 2 v0
∫ ω
(cm + c1 z )
2
rdθ 2
Slip
CDE v0 / 2 π / 4+∆ / 2+ω v0
Planes ∫ 0
(cm + c1 z )
2
rdθ 3
FGH π / 2−∆ / 2
vt = v0 [cos( ∆ / 2) ∗ sec ψ − 1 / 2 ]
∫ ω
HIJ π / 4+ ∆ / 2+ ω
vt = v0 [cos( ∆ / 2) ∗ sec ψ − 1 / 2]
∫ 0
FKQ vt = v0 (cos θ1 + sin θ1 tan ψ) π / 2 −∆ / 2
∫ ω
(cm + c1 z ) sin ∆ vt r0 dθ1
ABCHGF v0 π / 2 −∆ / 2 (cm + c1 z )v0
∫ ∫
r2
rdrdθ 2
ω
r 2 r1
r 2
Deforming CDEJIH v0 π / 4+∆ / 2+ω (cm + c1 z )v0
∫ ∫
r2
rdrdθ 3
0
Regions r 2 r1
r 2
FGHQK v0 cos θ1 v0 sin θ1 π / 2 −∆ / 2
∫ ∫
θ1
γ = −( − ) (cm +c1 z )γrr0 cos ψdθ 2 dθ1

2 ω ω
r0 cos ψ r cos ψ
HIJQ v0 cos θ1 v0 sin θ1 π / 2 −∆ / 2 π / 4+ ∆ / 2+ ω
γ = −( 2
− ) ∫ ω ∫0
(cm +c1 z )γrr0 cos ψdθ 3 dθ1
r0 cos ψ r cos ψ
The vertical coordinate z to characterize the strength profile must be transformed
so that it is expressed in terms of the same variables as the energy dissipation
relationships. Table 3.3 and 3.4 contain the appropriate expressions. Substitution of these
expressions into the integrals in Table 3.1 and 3.2 will result in modified integrals, some
of which must be evaluated numerically. MATLAB programs entitled RH_CYLINDER
and CU_CYLINDER have been developed for the upper bound models above
(Appendix B and C).

58
Table 3.3 Vertical Coordinates for Consistent Characteristic Net (Regions Defined
in Figure 2.11a)
Region Vertical Coordinate, z
ABC z = r0 sin θ 2 − r0 sin ω + (r − r0 sin ψ) cos(θ 2 − ψ)
CD z = r sin θ3
Slip
FGH z = r0 sin θ 2 − r0 sin ω + (r − r0 sin ψ) cos(θ 2 − ψ)
Planes HI z = r sin θ3
FKQ z = r0 sin θ1 − r0 sin ω
ABCHGF z = r0 sin θ 2 − r0 sin ω + (r − r0 sin ψ) cos(θ 2 − ψ)
CDIH z = r sin θ3
Deforming
FGHQK z = r0 sin θ 2 − r0 sin ω + (r − r0 sin ψ) cos(θ 2 − ψ)
Regions HIQ z = r sin θ3
2
IJQ z= ( y '− x ')
2
Table 3.4 Vertical Coordinates for Randolph-Houlsby Characteristic Net (Regions

Defined in Figure 2.11b)
Region Vertical Coordinate, z

ABC z = r0 sin θ 2 − r0 sin ω + (r − r0 sin ψ) cos(θ 2 − ψ)
CDE z = r sin θ3
Slip
FGH z = r0 sin θ 2 − r0 sin ω + (r − r0 sin ψ) cos(θ 2 − ψ)
Planes HIJ z = r sin θ3
FKQ z = r0 sin θ1 − r0 sin ω
ABCHGF z = r0 sin θ 2 − r0 sin ω + (r − r0 sin ψ) cos(θ 2 − ψ)
Deforming CDEJIH z = r sin θ3
Regions FGHQK z = r0 sin θ 2 − r0 sin ω + (r − r0 sin ψ) cos(θ 2 − ψ)
HIJQ z = r sin θ3
59
3.1.3 Upper Bound Analysis for Penetration Exceeding One Radius
The truncated Randolph-Houlsby solution is extended to penetrations exceeding
one radius h / r0 > 1 , simply by extending the circular fan QEOP upward as shown in
Figure 3.4. The mechanism is kinematically admissible so it is a rigorous upper bound.
To evaluate the total energy dissipation in this extended region integration proceeds
along the characteristics until a characteristic intersects either the horizontal free surface
or the vertical surface of the open trench.
Figure 3.4 Extension of Randolph-Houlsby Solution (Aubeny et al., 2005)

60
Interface EO is a circular arc centered at Q (extension of CDE), the tangential
velocity along EO is vt = v0 / 2 , thus
β1
D = ∫ cv0 / 2rdθ3 (3.13)
0
∆ π ∆
where r = r0 [ 2 sin( ) + ( − ) cos ψ] , and β1 = sin −1 ((h − r0 ) / r ) when h < r0 + r and
2 2 2
β1 = π / 2 when h ≥ r0 + r .
Interface JMN is a circular arc extended from HIJ. A tangential velocity
discontinuity same as that of HIJ exists across JMN, i.e.,
vt = v0 [cos(∆ / 2) sec ψ − 1/ 2] . Thus
β2
D = ∫ c vt rdθ3 (3.14)
0
π ∆
where r = r0 ( − − ω) cos ψ , and β 2 = sin −1 ((h − r0 ) / r ) when h < r0 + r and β 2 = π / 2
2 2
when h ≥ r0 + r .
Area EOMJ is a deforming region extended from CDEJIH. The tangential
velocity and the shear strain rate is in the same form as within region CDEJIH, i.e.
v0
γ= . Thus
r 2
β1 r2 cv0
D=∫ ∫ rdrdθ3 (3.15)
0 r1
r 2
π ∆
where r1 = r0 ( − ) cos ψ
2 2
∆ π ∆
r2 = r0 [ 2 sin( ) + ( − ) cos ψ]
2 2 2
61
Region JNQ is a shear fan extended from HIJQ. The tangential velocity and
shear strain rate is in the same form as within HIJQ, i.e., γ = −( − ) , and
the radius of curvature r = r0θ1 cos ψ . Thus
π / 2 −∆ / 2 β2
0 0
For region OMN, The tangential velocity and the shear strain rate is in the same
v0
form as within region EOMJ, i.e., γ = . Thus
r 2
β2 r2 cv0
D=∫ ∫ rdrdθ3 (3.17)
β1 r1
r 2
π ∆ h − r0
where the radial integration limits r1 = r0 ( − ) cos ψ ; r2 = .
2 2 sin θ 3
For region NQP, the tangential velocity and shear strain rate is in the same form
as within HIJQ, i.e., γ = −( − ) , θ1 = r / r0 cos ψ . Thus
h − r0
π/2
D=∫ ∫ sin θ3
cγrdrdθ3 (3.18)
β2 0
For non-uniform conditions and penetrations exceeding one radius, the
dissipation rates for the extended slip planes and deforming regions were evaluated
using the same velocity field as the uniform case. The integrals for the dissipation
relationships are listed in Table 3.5, and the corresponding expressions of the vertical
coordinates are listed in Table 3.6. Appendix B contains the MATLAB program for the
extended Randolph-Houlsby upper bound model.

62
Table 3.5 Dissipation Rates for the Extended Randolph-Houlsby Mechanism of

Non-Uniform Condition (Regions Defined in Figure 3.5)

EO
∫
β1
v0 / 2 (cm + c1 z )v0 / 2rdθ 3
Slip 0
JMN
∫
β2
vt = v0 [cos( ∆ / 2) ∗ sec ψ − 1/ 2] (cm + c1 z ) vt rdθ 3
Planes 0
v0 (cm + c1 z )v0
∫ ∫
β1 r2
EOMJ rdrdθ 3
0
r 2 r1
r 2
v0 cos θ1 v0 sin θ1 π / 2 −∆ / 2
∫ ∫
β2
JNQ γ = −( − ) (cm +c1 z )γrr0 cos ψdθ 3 dθ1

Deforming 2 0 0
r0 cos ψ r cos ψ
Regions v0 (cm + c1 z )v0
∫ ∫
β2 r2
OMN rdrdθ 3
β1
r 2 r1
r 2
v0 cos θ1 v0 sin θ1 h − r0
∫ ∫
π/2
NQP γ = −( 2
− ) sin θ 3
(cm +c1 z )γrdrdθ 3
r0 cos ψ r cos ψ β2 0
63
Table 3.6 Vertical Coordinates for the Extended Randolph-Houlsby Mechanism

(Regions Defined in Figure 3.5)
Region Vertical coordinate, z

ABC z = r0 sin θ 2 + (r − r0 sin ψ) cos(θ 2 − ψ) + h − r0
CDE z = r sin θ3 + h − r0
Slip FGH z = r0 sin θ 2 + (r − r0 sin ψ) cos(θ 2 − ψ) + h − r0
HIJ z = r sin θ3 + h − r0
Planes FKQ z = r0 sin θ1 + h − r0
EO z = h − r0 − r sin θ3
JMN z = h − r0 − r sin θ3
ABCHGF z = r0 sin θ 2 + (r − r0 sin ψ) cos(θ 2 − ψ) + h − r0
CDEJIH z = r sin θ3 + h − r0
Deforming FGHQK z = r0 sin θ 2 + (r − r0 sin ψ) cos(θ 2 − ψ) + h − r0
HIJQ z = r sin θ3 + h − r0
Regions EOMJ z = h − r0 − r sin θ3
JNQ z = h − r0 − r sin θ3
OMN z = h − r0 − r sin θ3
NQP z = h − r0 − r sin θ3
64
3.2 Finite Element Analysis
The finite element analysis was conducted for both the cylinder studies and the
XBP studies using the commercial code ABAQUS 6.4 (2003). To establish the accuracy
of the finite element model, an analysis was first conducted for the case of a fully
embedded cylinder (full flow-around condition) and the collapse load was compared to
the analytical solution of Randolph and Houlsby (1984). After that, finite element
simulations at a series of embedment depths were conducted for both the cylinders and
the XBPs. The case of full flow-around cylinder is considered initially as an example to
illustrate the method of the finite element analysis.
3.2.1 Geometry Model
Following the previous study by Yao (2003), the analysis used the geometry
model illustrated in Figure 3.5. Due to symmetry only the right half was modeled in the
finite element study. The far-field boundary is located 4.5D from the cylinder boundary
in both horizontal and vertical directions.

65
Cylinder
Soil
Figure 3.5 Geometry Model for Full Flow-around Cylinder
3.2.2 Material Model
The plastic limit methods discussed above employed a rigid plastic material
model, and the material was assumed to obey the von Mises yield criterion and an
associated flow rule. Similarly, the finite element model employed an elastic-plastic
model, i.e., the soil is linearly elastic for stress states beneath the yield surface and
perfectly plastic at yield with a von Mises yield criterion and an associated flow rule.
The analysis introduced elastic behavior to permit implementation of the finite element
formulation, however, as demonstrated by Chen (1975), the computed collapse loads
should be independent of elastic behavior.

66
For undrained analysis the soil is incompressible, that is, the poisson ratio
υ = 0.5 . To avoid an infinite bulk modulus, a value of 0.499 was used instead of 0.5.
ABAQUS defines material strength in terms of the yield stress in uniaxial loading; i.e.; a
stress state with σ 1 = σ y , σ 2 = σ 3 = 0 , where σ y is the yield stress. According to Eqs.
2.2a and 2.2b, σ y is related to the strength in simple shear by the relation:
σ y = 3k (3.19)
3.2.3 Boundary Conditions
Two kinds of soil-cylinder boundary condition were considered in this study: no
slippage and full slippage (Figure 3.7), corresponding to the rough and smooth cases in
the study by Randolph and Houlsby (1984). For the no slippage case, the displacement
of a point on the cylinder δ is identical to the displacement of the soil us at the boundary
(Figure 3.6a), that is, no relative displacement occurs between the soil and the cylinder
along the interface. This boundary condition can be formulated as
ux = 0 (3.20a)
uy = δ (3.20b)
For the full slippage case, the displacements in the normal direction of the boundary of a
point on the cylinder at the interface and the adjacent soil must be equal, whereas the
motion of the soil in the tangential direction of the boundary is unconstrained (Figure
3.6b). This boundary condition can be formulated as
u x cos θ + u y sin θ = δ sin θ (3.21)

67
u= s
u s
a. No Slippage b. Full Slippage
Figure 3.6 Boundary Conditions at the Soil-Cylinder Interface
In this case, the soil displacements at the boundary can not be directly prescribed like the
no slippage case, however, it can be imposed using the linear constraint equation option
of ABAQUS (2003).
Figure 3.7 illustrates the boundary conditions for a fully embedded rough
cylinder. The cylinder was modeled as a cavity translating downwards, and the soil
displacements were prescribed by Eq. 3.20a and 3.20b. The mudline was an
unconstrained free surface. The centerline was constrained horizontally due to symmetry
(roller condition). The right far-field boundary was also constrained horizontally (roller
condition), and the bottom boundary was constrained in all directions (fixed condition).
68
Roller
Condition
Roller
Condition
Fixed Condition
Figure 3.7 Boundary Conditions of a Fully Embedded Cylinder (No Slippage)

69
3.2.4 Mesh Construction
Figure 3.8 illustrates the mesh used for the full flow-around cylinder case, in
which the element dimensions (s) are on the order of 0.005D near the cylinder boundary.
For efficiency a non-uniform mesh is more reasonable, i.e., a finer mesh in the zone of
interest near the cylinder boundary, and a coarser mesh near the far-field boundary. The
computed normalized collapse load for conditions of full slippage was F / cD = 9.23 ,
exceeding the Randolph-Houlsby lower bound estimate, F / cD = 9.14 , by 1%. For
conditions of no slippage the computed collapse load, F / cD = 12.03 , similarly exceeded
the Randolph-Houlsby exact solution by 1%. The mesh was established by a trial and
error method. Finite element meshes at different levels of refinement were used and the
results were compared to the analytical solutions by Randolph and Houlsby (1984), as
illustrated in Figure 3.9.
Following the previous study by Yao (2003), the analysis used linear, 4-node
quadrilateral, plane strain elements.

70
Figure 3.8 Finite Element Mesh for Full Flow-around Cylinder

71
14
Normalized Collapse Load, F/cD
13
12
FEM
11
Analytical Solution
10
0.1 0.01 0.001
Element Size at the Cylinder Boundary, s/D
Figure 3.9 Effect of Mesh Refinement on the Collapse Loads of a Full Flow-around
Cylinder
3.2.5 Loading Step
The loading step in this analysis was achieved by imposing a vertical downward
displacement incrementally on the cylinder until the soil reaches failure state. The total
reaction force is obtained by summing up the vertical reaction forces of the soil at the
soil-cylinder interface. As the displacement increases, the total reaction force will tend
toward a limit, which is the collapse load of the soil. Figure 3.10 illustrates the
relationship between the normalized total reaction force and the vertical displacement of
the cylinder for a fully embedded rough cylinder.

72
Normalized Total Reaction Force, P/cD

14
12
10
0
0 0.002 0.004 0.006 0.008 0.01
Vertical Displacement of Cylinder, d/D
Figure 3.10 Loading Step for a Fully Embedded Rough Cylinder
3.2.6 Cylinder Penetration Studies
Cylinder penetration studies were conducted at a series of embedment depths
with a similar finite element model and level of mesh refinement as described above.
Figures 3.11 and 3.12 illustrate an example of the models used for a cylinder embedded
at a depth of h / D ≤ 0.5 and a cylinder embedded at a depth of h / D > 0.5 , respectively.
The analysis was performed for both no slippage and full slippage boundary conditions.
Also, two limiting strength profiles were considered: η = 0 (uniform) and η = ∞
(triangular). Based on experimental data from the penetration tests, the FEM studies
consider embedments h/D ranging from 0 to 4. A typical ABAQUS input file for finite
element computation of a collapse load for a horizontal cylinder is shown in Appendix F.

73
Roller
Roller Condition
Condition
Fixed Condition
Figure 3.11 Finite Element Model for Cylinder Penetration Studies, h/D≤0.5
74
Roller
Roller Condition
Condition
Fixed Condition
Figure 3.12 Finite Element Model for Cylinder Penetration Studies, h/D>0.5
3.2.7 XBP Penetration Studies
The finite element studies on XBP penetration were conducted within a similar
framework of the cylinder penetration studies, with the major difference being that the
XBP is axisymmetric instead of a plane strain condition. The finite element analysis for
the XBP studies was performed with a finite element model and level of mesh
75
refinement similar to the cylinder studies. The study employed linear, 4-node
quadrilateral, axisymmetric elements. The analysis considered a uniform strength profile
and a rough boundary between the soil and the penetrometer. Figure 3.13 illustrates an
example of the finite element models. Based on the depth of penetration of the XBP tests,
a range of embedments h/d from 0 to 7 was considered.
Roller
Roller Condition
Condition
Fixed Condition
Figure 3.13 Finite Element Model for the XBP Penetration Studies
76
Special cases of a thin hard layer embedded in a relative soft layer were also
considered as a preliminary study of the inter-bed effect, which will be described in
Chapter V. Aside from the embedment depth h, other influencing factors for the collapse
load include the thickness of the inter-bed, t; the distance from the tip of the
penetrometer to the centerline of the inter-bed, zs ; and the ratio of the strength of the
inter-bed to that of the soft soil, ci / cs (Figure 3.14).
h c s
zs
ci t
c s
Figure 3.14 Influencing Factors of the Collapse Load for the Hard Layer Study
77
3.3 Comparison of Solutions
Figures 3.15 and 3.16 compare finite element estimates of collapse loads of a
cylinder at shallow embedments ( h / D ≤ 0.5 ) for various conditions of cylinder
boundary roughness and soil strength profiles to the plasticity solutions.
For a smooth cylinder with uniform soil strength conditions (Figure 3.15a), the
lower bound MOC solution is in close agreement with the finite element solution for
embedments h/D up to about 0.3. Beyond this depth the two solutions diverge somewhat
until at h/D=0.5 the finite element solution exceeds the lower bound estimate by about
10%. The consistent upper bound solution agrees with the finite element solution only
for very shallow embedments, h/D<0.1. At greater embedments, the consistent upper
bound solution increasingly diverges from the finite element solution, until at h/D=0.5 it
exceeds the finite element solution by about 25%. For embedments greater than h/D>0.3,
the upperbound derived from truncated Randolph-Houlsby velocity field is actually in
better agreement with the finite element solution than the consistent upperbound solution.
Figure 3.15b presents the case of a rough boundary and a uniform strength
profile. The consistent upperbound solution is in virtual perfect agreement with the finite
element solution for embedment depths up to h/D<0.3, diverging from the finite element
solution at greater embedments by up to 5%. The Randolph-Houlsby solution exceeds
the finite element solution by over 10% at shallow embedments, h/D<0.3. At greater
embedments the differences decline, until at one radius embedment, h/D=0.5, the two
solutions are in agreement.

78
Considering a linearly varying strength profile, η= ∞ , and a smooth cylinder, the
finite element solutions in Figure 3.16a closely match the MOC solutions to embedments
h/D<0.4; beyond this depth the finite element solutions exceed the MOC estimates by up
to 5%. Upper bound collapse load estimates derived from the truncated Randolph-
Houlsby and consistent upper bound velocity fields are nearly identical, and both
significantly exceed finite element estimates (by up to 40%) at shallow embedments,
h/D<0.3. Such discrepancy is not unexpected in view of the earlier comment that these
velocity fields strictly correspond to conditions of uniform strength. Nevertheless, at
greater embedment, the upper bound solutions come into closer agreement with the finite
element solutions, with the upper bound collapse load estimate at h/D=0.5 exceeding the
finite element value by only 5%.
For the case shown in Figure 3.16b of a rough cylinder boundary with a linearly
varying strength profile, η= ∞ , little difference exists between the consistent and
truncated Randolph-Houlsby upper bound solutions, with the consistent upper bound
solution being in slightly closer agreement with the finite element solutions. The
differences between the upper bound and finite element solutions are greatest at
intermediate penetrations.
79
Normalized Collapse Load, F/chD 5
2 Finite Element
Randolph-Houlsby Upperbound
1 Method of Characteristics
Consistent Upperbound
0
0 0.1 0.2 0.3 0.4 0.5
Embedment, h/D
a. Smooth
6
Normalized Collapse Load, F/chD
2
1 Randolph-Houlsby Upperbound
Finite Element
0
0 0.1 0.2 0.3 0.4 0.5
Embedment, h/D
b. Rough
Figure 3.15 Collapse Loads for Cylinders of h/D≤0.5, η=0

80
6
5
2
Finite Element
1 Method of Characteristics
0
0 0.1 0.2 0.3 0.4 0.5
Embedment, h/D
a. Smooth
8
2 Finite Element
1
0
0 0.1 0.2 0.3 0.4 0.5
Embedment, h/D
b. Rough
Figure 3.16 Collapse Loads for Cylinders of h/D≤0.5, η=∞

81
Figures 3.17 and 3.18 compare finite element and upper bound solutions at
embedments of h / D > 0.5 . Figure 3.17a compares solutions for uniform soil strength
profile and smooth cylinder boundary condition. The collapse loads predicted from the
upper bound solution increase rather abruptly between cylinder embedments 0.5<h/D<1,
beyond which they becomes constant. Such a trend is predictable for this presumed
failure mechanism, since no additional soil resistance can be mobilized once the
horizontal free surface lies above the slip line field boundary (Figure 3.4). The finite
element solution indicates the abrupt break in the upper bound solution (Figures 3.17a)
to be unrealistic. Refinement of the upper bound solution to allow the passive wedge to
exit at an optimized angle (Martin, 2001) could likely smooth these abrupt transitions.
The upper bound solution overestimates the finite element solution most severely - by
about 50%- at relatively low embedments in the range 1<h/D<2. At greater embedment
depths, the finite element predictions gradually trend toward the upper bound solution.
The upper bound solution for a smooth boundary and linearly varying strength profile,
η= ∞ , in Figure 3.18a begins to significantly diverge from the finite element solution at
embedments h/D>1. Beyond h/D>1.5, it roughly parallels the finite element solutions,
exceeding it by about 20%. The comparison of the upper bound solutions for a rough
boundary in Figures 3.17b and Figure 3.18b to the finite element solutions is similar to
that of the smooth case.

82
10

8
2 Finite Element
Randolph-Houlsby Upper Bound
0
0.5 1 1.5 2 2.5 3 3.5 4
Embedment, h/D
a. Smooth
10
2 Randolph-Houlsby Upper Bound

Finite Element
0
0.5 1 1.5 2 2.5 3 3.5 4
Embedment, h/D
b. Rough
Figure 3.17 Collapse Loads for Cylinders of h/D>0.5, η=0

83

6
2
Finite Element
0
0.5 1 1.5 2 2.5 3 3.5 4
Embedment, h/D
a. Smooth
10
2 Finite Element
0
0.5 1 1.5 2 2.5 3 3.5 4
Embedment, h/D
b. Rough
Figure 3.18 Collapse Loads for Cylinders of h/D>0.5, η=∞

84
For simplified calculations, the finite element predictions presented above may
be fitted to an empirical power law expression of the form:
F/chD = a (h/D)b (3.22)
The fitting coefficients a and b for limiting conditions of roughness (perfectly smooth
and rough) and limiting soil strength profiles, η = 0 and ∞ , are tabulated in Table 3.7.
Figure 3.20 shows that the curve fits match excellently with the finite element solutions.
Application of Eq. 3.22 to general conditions of η is desirable for practical
applications. The MOC analyses summarized in Figure 3.3 indicate that collapse loads
normalized by soil strength at the bottom of the cylinder, ch, fall into a relatively narrow
band for various η. Comparisons of the finite element predictions for the limiting cases
η = 0 and ∞ (Figure 3.19) similarly suggest that collapse loads normalized by ch are
relatively insensitive to η. For general conditions of η, Table 3.7 presents fitting
coefficients a and b that reflect the average of the limiting conditions. Figure 3.19 shows
predicted collapse loads for limiting values of η to deviate from the best fit to vary by a
maximum of 10% at very low embedments (h/D = 0.1) and less than 5% at greater
embedments.
85
Table 3.7 Fitting Coefficients between Collapse Load and Cylinder Embedment
(Aubeny et al., 2005)
Strength Boundary Coefficients a, b

Gradient Roughness h/D<0.5 h/D>0.5
η
0 Smooth a = 5.42 a = 5.16
b = 0.29 b = 0.21
Rough a = 7.41 a = 6.35
b = 0.37 b = 0.15
∞ Smooth a = 4.44 a = 4.62
b = 0.17 b = 0.21
Rough a = 6.02 a = 5.95
b = 0.20 b = 0.15
Entire Range Smooth a = 4.97 a = 4.88
0≤η≤∞ b = 0.23 b = 0.21
Rough a = 6.73 a = 6.15
b = 0.29 b = 0.15
10
Rough,
Best fit all η

8
Smooth,
4 Best fit all η
2 FEM, η=0
FEM, η=∞
0
0 1 2 3 4
Embedment, h/D
Figure 3.19 Empirical Curve Fits

86
Figure 3.20 illustrates the finite element solution for the XBP studies. A sharp
break occurs in the collapse load – embedment depth curve at about h / d = 1.2 , which is
about at the depth where an open trench begins to form in the wake of the advancing
penetrometer. The result also shows that the collapse load tends to reach a limit at deep
penetrations. As with the cylinder studies, the finite element predictions were fitted to a
simplified empirical form. Eqs. 3.23a and 3.23b fit the finite element predictions to
power law functions as follows:
If h / d ≤ 1.2
F / cA = 8.55 (h / d )0.756 (3.23a)
If h / d > 1.2
F / cA = 9.60 (h / d )0.21 (3.23b)
where A is the maximum cross sectional area, and d is the diameter at the maximum
section. The curve fits, shown by dashed lines in Figure 3.20, satisfactorily match the
finite element predictions.
Preliminary studies on hard layer effects were conducted for cases of t / d = 0.5 ,
ci / cs = 5 and 10. To minimize the free surface effect, finite element simulations were
performed starting from embedments of h / d = 5 . Figure 3.21 shows that the collapse
load is almost constant for the uniform case ( ci / cs = 1 ) as the embedment increases. For
the non-uniform cases, the collapse loads change little before the tip gets close to the
hard layer. The collapse loads increase significantly as the tip comes into contact with
the hard layer and continue to increase as more area comes into contact. As the tip
87
penetrates through the hard layer the collapse loads decline. The results also show that
the increment of the collapse load for ci / cs = 10 compared to the uniform case is about
twice that of ci / cs = 5 .
16
Normalized Collapse Load, F/cA
12
4
Finite Element
Empirical Curve Fit
0
0 1 2 3 4 5 6 7 8
Embedment, h/d
Figure 3.20 Collapse Loads for the XBP Penetration

88
Normalized Collapse Load, F/csA

-1.5
-1 ci /cs =1
ci /cs =5
ci /cs =10
-0.5
Distance, zs/d
0
10 20 30 40
0.5
1.5
Figure 3.21 Preliminary Hard Layer Study Results

89
CHAPTER IV
RATE-DEPENDENT STUDIES
4.1 Rate-Dependent Strength Model
The dependence of undrained shear strength on strain rate may be characterized
in terms of a semi-logarithmic relation:
c = cref ⎡⎣1 + ρ ref log10 ( ε / ε ref ) ⎤⎦ (4.1)
where c = undrained shear strength at strain rate ε
cref = undrained shear strength at reference strain rate ε ref
ρ ref = strain rate parameter associated with the reference strain rate ε ref
Data by Sheahan et al. (1996) suggest the existence of a threshold strain rate, ε 0 ,
below which strain rate effects are negligible. In re-sedimented Boston Blue Clay,
reported threshold strain rates were 0.5 and 5%/hr for over-consolidation ratios (OCR) of
4 and 8, respectively. For lower OCR, thresholds were not encountered for strain rates
down to 0.05%/hr. Hence, for normally and lightly over-consolidated soils, the lower
limit of strain rate, or threshold strain rate for which Eq. 4.1 is valid, is a matter of some
uncertainty. The maximum strain rates investigated in previously reported investigations
are typically on the order of 50%/hr (Sheahan et al., 1996), with a single study
considering strain rates up to 670%/hr (Vaid and Campanella, 1977).
Having noted the considerable uncertainty in the range of strain rates for which
Eq. 4.1 is valid for normally consolidated clays, the following assumptions were made
90
for the present study (Aubeny and Shi, 2005a): (1) a threshold strain rate of 0.05%/hr,
and (2) no upper bound of strain rate. Since the selection of a reference strain rate is
arbitrary, in this study the reference strain rate will be taken as the threshold value unless
otherwise noted. Figure 4.1 illustrates the rate-dependent strength model employed in
this study, which can be formulated as follows:
If ε ≤ ε 0
c = c0 (4.2a)
If ε > ε 0
c = c0 [1 + ρ 0 log(ε / ε 0 )] (4.2b)
Shear Strength, c
c0
Threshold
. 0.05% .
Log Strain Rate,
Figure 4.1 Rate-Dependent Strength Model
91
The data by Sheahan (1996) also show that ρref is not in general constant, but tends to
increase with increasing strain rate; i.e., soil shearing resistance actually increases at a
rate greater than that predicted from the simple semi-logarithmic law in Eq. 4.1. Data
from miniature vane shear tests conducted at variable vane peripheral velocities
(Biscontin and Pestana, 2001) indicate a similar trend.
4.2 Finite Element Studies for Cylinders
Eq. 4.1 describes rate dependent soil resistance at a point. To characterize the
total soil shearing resistance Fs of a cylinder of diameter D at an instantaneous velocity
v, an analogous equation may be considered (Aubeny and Shi, 2005a):
Fs = Fs0 ⎡⎣1 + λ 0 log10 ( v / Dε 0 ) ⎤⎦ (4.3)
The threshold soil resistance Fs 0 in Eq. 4.3 is the quasi-static soil shearing
resisting force computed using a soil strength corresponding to the threshold strain rate
ε 0 , and λ 0 is the strain rate multiplier for a cylinder embedded in a trench. The strain
rate parameter λ 0 is analogous to the parameter ρ 0 in Eq. 4.2b; however, the existence
of a threshold strain rate below which strength remains constant precludes the possibility
that λ 0 may be identically equal to ρ 0 . The first objective of the finite element studies is,
therefore, to evaluate λ 0 in relation to ρ 0 for various conditions of (1) dimensionless
velocity v/D ε 0 , (2) dimensionless penetration h/D. The second objective is to evaluate
the accuracy of applying Eq. 3.22 to Eq. 4.3 in obtaining estimates of the soil resisting
force Fs corresponding to penetration velocity v. For the purposes of the mine impact
92
penetration investigations that motivated this research, a range of dimensionless
velocities v/D ε 0 up to 109 are taken as the range of interest.
4.2.1 Finite Element Model
The rate-dependent finite element analysis used the same geometry model, finite
element mesh and element type as the rate-independent studies. The boundary conditions
are also the same, except that the cylinder was modeled as a circular cavity translating
downward at a constant velocity v instead of a prescribed displacement.
The soil was modeled as a rate-dependent, isotropic hardening material with a
von Mises yield criterion and associated flow rule. This is possible by using the “RATE
DEPENDENT, TYPE=YIELD RATIO” option together with the “PLASTIC,
HARDENING=ISOTROPIC” option in ABAQUS. The yield ratio is defined as
σ y = σ y 0 R(ε) (4.4)
where σ y is the yield stress at strain rate ε , σ y 0 is the static yield stress, and R is the
yield ratio at strain rate ε . For a von Mises yield criterion, the yield stress is 3 times
the strength in simple shear. Combining with Eq. 4.2a and Eq. 4.2b we have
If ε ≤ ε 0
R (ε) = 1 (4.5a)
If ε > ε 0
R (ε) = 1 + ρ 0 log(ε / ε 0 ) (4.5b)

93
The loading step is similar with that of the rate-independent study, i.e., the
collapse load is achieved when the cylinder moves at a certain displacement. However,
since we prescribe velocity instead of displacement in this case, ABAQUS calculates a
displacement increment by multiplying the velocity of the cylinder by the time
increment.
4.2.2 Finite Element Results
Figure 4.2 illustrates the effects of rate-dependent shear strength for velocities
v/D ε 0 of 0 through 109 for a cylinder embedded at a depth h/D =2.15 with a strain rate
multiplier ρ 0 = 0.15 . This figure shows the magnitude of J 2 (where J2 is the second
invariant of the deviatoric stress tensor) along the centerline beneath the cylinder for
collapse loading conditions. Recalling that the von Mises yield condition is J 21/ 2 − k = 0 ,
the calculated J 2 is normalized by the static soil strength k0 to evaluate the strain rate
effects.
The predictions show that for quasi-static conditions, v/D ε 0 = 0, the elasto-
plastic boundary occurs at a depth of about z/d = 3.1 below the bottom of the cylinder
and the mobilized shearing resistance is essentially constant within the plastic region. In
contrast, for “high” penetration velocities, say v/D ε 0 > 103, the yielded region is slightly
expanded, with the elasto-plastic boundary occurring at about z/D = 3.6-3.8. Further, the
mobilized shearing resistance increases substantially within the yielded region in the
vicinity of the cylinder boundary due to the variable strain rates that occur within this
94
region. It may be noted that in all cases stress levels decline toward zero in the
immediate vicinity of the cylinder boundary. This is a consequence of the rough
boundary condition that leads to the formation of a “rigid” wedge of soil ahead of the
cylinder ( z / D < 0.2 ). As strains tend toward zero in this zone, deviatoric stress levels
correspondingly decline (Aubeny and Shi, 2005a).
1
Distance Below Cylinder, z/D
0 103 106 109

2
v / Dε 0
4
h/D=2.15
No Slippage
5
0 0.5 1 1.5 2 2.5 3
Normalized Stress, J 2 / k0
Figure 4.2 Stress Profile ahead of Cylinder at Various Penetration Velocities

95
The differences in the patterns of the stress distributions between the quasi-static and
rate-dependent cases suggest that rate-dependent collapse loads will not be exact simple
multiples of quasi-static loads; i.e., a simple normalization using Eq. 4.3 will not be valid
in an exact sense. Nevertheless, an approximate normalization is possible as
demonstrated in the following paragraph.
Fig. 4.3 shows typical finite element predictions of collapse load Fs versus
penetration h/D for a uniform strength and no slippage condition. Such predictions
together with Eq. 4.3 may be used to compute the relation between λ 0 and ρ 0 shown in
Fig. 4.4. The predictions indicate that for high velocities, in the range v/D ε 0 =106 to 109,
λ 0 deviates from ρ 0 by less than 6%. At lower velocities, the differences become more
significant. At first glance, one might be tempted to conclude that Eq. 4.3 is inaccurate
for low velocities. However, since the magnitude of the strain rate correction is relatively
small at low velocities, the overall effect of the error in λ 0 on the total force
computation is also relatively small as shown Fig. 4.5. Threshold collapse loads
(computed from FEM) were applied to Eq. 4.3 with λ 0 = ρ 0 to estimate the increased
resistance due to strain rate effects. Figure 4.5 shows that the collapse loads estimated
from Eq. 4.3 are in reasonable agreement with finite element predictions at all velocity
levels considered.
96
20
109
Shearing Resistance Force, Fs/c0D
15
106
103
10
0
v / Dε 0
5
Uniform Strength
No Slippage
0
0 1 2 3 4
Penetration, h/D
Figure 4.3 Finite Element Predictions of Collapse Loads at Various Velocities
1.20
1.10
Computed l 0/r 0
log(v / Dε 0 )
1.00
9
6
0.90
Uniform Strength 3
No Slippage
0.80
0.00 1.00 2.00 3.00 4.00
Penetration, h/D
Figure 4.4 Comparison of Strain Rate Multipliers λ0 and ρ0

97
20
v / Dε 0
Shearing Resistance Force, F s/c 0D 15

109
106
10 103
0
5
FEM
Approximation
0
0 1 2 3 4
Penetration, h/D
Figure 4.5 Simplified Prediction of Strain Rate Effects (Rough, η=0)
For smooth boundary or non-uniform strength conditions, the finite element
results were also checked against the approximations by Eq. 4.3. For the smooth and
uniform case (Figure 4.6), the approximations are in good agreement with the finite
element results overall. For non-uniform cases with η = ∞ , the collapse loads are
normalized by ch 0 , the threshold shear strength at the bottom of the penetrating cylinder.
The approximations are about 10% lower than the finite element results at shallow
penetrations and low velocities for both rough and smooth boundaries (Figures 4.7 and
4.8, respectively). Therefore, the approximations should be used with caution at shallow
embedments. Nevertheless, when the penetration depth increases the approximations
tend to match very well with the finite element results.

98
18
Shearing Resistance Force, F s/c 0D 15

v / Dε 0
109
12
106
9
103
6
0
3 FEM
Approximation
0
0 1 2 3 4
Penetration, h/D
Figure 4.6 Simplified Prediction of Strain Rate Effects (Smooth, η=0)
18
v / Dε 0
Shearing Resistance Force, F s/c h0D
15 109
12 106
9 103
6 0
3 FEM
Approximation
0
0 1 2 3 4
Penetration, h/D
Figure 4.7 Simplified Prediction of Strain Rate Effects (Rough, η=∞)

99
15
v / Dε 0
Shearing Resistance Force, F s/ch0D 12

109
9 106
103
6
0
3
FEM
Approximation
0
0 1 2 3 4
Penetration, h/D
Figure 4.8 Simplified Prediction of Strain Rate Effects (Smooth, η=∞))
4.2.3 Empirical Resisting Force Relations
In the above section, finite element estimates of the threshold collapse loads were
used in Eq. 4.3 to estimate collapse loads at elevated velocities accounting for strain rate
effects. This section considers a further simplification in which (1) threshold collapse
loads are estimated from Eq. 3.22, and (2) the effect of strain rate on total soil shearing
resistance is estimated from Eq. 4.3.
Figure 4.9 presents the results of this procedure for uniform strength and no
slippage condition, and the empirical fits show an overall excellent agreement with the
finite element predictions of collapse loads. The empirical fits for other cases are also
presented in Figures 4.10, 4.11 and 4.12, which are very close to the approximations in
Figures 4.6, 4.7 and 4.8.

100
20
v / Dε 0
15 109
106
10 103
0
5
FEM
Empirical
0
0 1 2 3 4
Penetration, h/D
Figure 4.9 Evaluation of Empirical Estimates of Collapse Loads (Rough, η=0)
18
v / Dε 0
15
109
12
106
9
103
6 0
3 FEM
Empirical
0
0 1 2 3 4
Penetration, h/D
Figure 4.10 Evaluation of Empirical Estimates of Collapse Loads (Smooth, η=0)

101
18
Shearing Resistance Force, Fs/ch0D

v / Dε 0
15 109
12
106
9 103
6 0
3 FEM
Empirical
0
0 1 2 3 4
Penetration, h/D
Figure 4.11 Evaluation of Empirical Estimates of Collapse Loads (Rough, η=∞)
15
v / Dε 0
Shearing Resistance Force, Fs/ch0D
12 109
9
106
103
6
0
3
FEM
Empirical
0
0 1 2 3 4
Penetration, h/D
Figure 4.12 Evaluation of Empirical Estimates of Collapse Loads (Smooth, η=∞)

102
4.3 Finite Element Studies for XBPs
Rate-dependent studies for the XBP were conducted in the same manner as the
cylinder studies. Velocities up to 3500 cm/sec were taken as the range of interest in this
study. Similar approximation relationship as Eq. 4.3 was applied to the XBP studies,
with D in Eq. 4.3 replaced by the diameter at the maximum section of the XBP in this
case. Figure 4.13 presents the comparison between the approximations and the finite
element results for a rough boundary and uniform strength condition. It can be seen that
the approximations fit excellently with the finite element results. As with the cylinder
studies, the empirical fits for the quasi-static case (Eqs. 3.23a and 3.23b) were used
together with the approximations to produce empirical estimates at elevated velocities.
The results shown in Figure 4.14 match with the finite element results satisfactorily.
4.4 Summary and Discussions
Based on the above studies, the soil shearing resistance force for penetrating
cylinders may be empirically described by a logarithmic function:
N c = N c 0 [1 + λ0 log10 (v / Dε 0 )] (4.6)
where N c 0 = Fs 0 / ch 0 D ; quasi-static bearing factor defined by Eq. 3.22
N c = Fs / ch 0 D ; rate-dependent bearing factor
A similar equation may be used to approximate the soil shearing resistance force for the
XBP:
N = N 0 [1 + λ0 log10 (v / d ε 0 )] (4.7)
103
40
35
3500cm / sec
Shearing Resistance Force, Fs/c0A
30 3.5cm / sec
25
0.0035cm / sec
20
15 v = 0cm / sec
10
FEM
5
Approximation
0
0 2 4 6 8
Penetration, h/d
Figure 4.13 Approximation of the Strain Rate Effects for the XBP
40
3500cm / sec
35
Shearing Resistance Force, Fs/c0A
30 3.5cm / sec
25
0.0035cm / sec
20
15 v = 0cm / sec
10
5 FEM
Empirical
0
0 2 4 6 8
Penetration, h/d
Figure 4.14 Empirical Estimates of the Collapse Loads for the XBP
104
where N 0 = Fs 0 / c0 A ; quasi-static bearing factor defined by Eqs. 3.23
N = Fs / c0 A ; rate-dependent bearing factor
For rate-dependent studies, direct use of the plastic limit analysis methods can
not be made. A rate-dependent model can not include slip surfaces because strain rates
are effectively infinite. However, the rate-independent solutions are still useful as
reference cases.
In this analysis the inertial resistance of the soil is ignored because the range of
impact velocities of interest is very low. Care should be taken to investigate these effects
for significantly higher penetration rates.

105
CHAPTER V
PREDICTIVE MODELS
5.1 Penetration Studies
Based on the previously described studies and a rigid body projectile model, a
predictive model for the depth of penetration of cylinders has been developed. Model
predictions were compared to the results of the experimental penetration tests.
5.1.1 Penetration Model
If the penetrating cylinder is modeled as a rigid body, the forces acting on the
cylinder during penetration include the weight W, soil shearing resistance force Fs, and
the buoyancy force Fb (Figure 5.1). Thus, the acceleration of the cylinder can be defined
by the following equation (Aubeny and Dunlap, 2003):
a / g = 1 − Fs / W − Fb / W (5.1)
where a = acceleration of the cylinder
g = gravitational acceleration
The buoyant force Fb comprises the soil buoyant force and the buoyant force of water (if
the cylinder is submerged). The buoyant force of water is simply the unit weight of
water multiplied by the volume of cylinder being submerged. It was not considered in
this analysis for the purpose of calibration with the penetration tests by Aubeny and
Dunlap (2003), but it can be easily added.

106
Weight, W
Soil Shearing Buoyant

Resistance, F s Resistance, F b
Figure 5.1 Acting Forces on a Penetrating Cylinder
The velocity and penetration depth of the cylinder can be obtained through direct
integration:
v = v0 + ∫ adt (5.2)
h = ∫ vdt (5.3)
where v = velocity of the cylinder
v0 = Impact velocity of the cylinder at the mudline
t = time
h = penetration depth
For generalization the following dimensionless parameters for acceleration,
velocity, penetration depth and time are defined (Aubeny and Dunlap, 2003):
A= a/ g (5.4a)
V = v / gD (5.4b)
107
V0 = v0 / gD (5.4c)
H = h/ D (5.4d)
T =t D/ g (5.4e)
By combining the above equations with Eqs. 5.2 and 5.3 we have
V = V0 + ∫ AdT (5.5)
H = ∫ VdT (5.6)
The soil shear resistance force Fs can be calculated by combining Eqs. 3.22 and
4.3 together. Expressed by dimensionless parameters it gives
Fs / W = aH bC0 [1 + λ 0 log10 (V / E0 )] (5.7)
ch 0 LD
where C0 =
W
ch 0 = threshold strength at the bottom of the cylinder
L = length of the cylinder
ε0
E0 =
g/D
For intermediate boundary roughness ( 0 < α < 1 ) Fs may be approximated by linearly
interpolating between the two limiting cases: smooth ( α = 0 ) and rough ( α = 1 ).
The soil buoyancy force is simply the soil unit weight times the volume displaced
by the cylinder, which was given by Aubeny and Dunlap (2003). If h/D<0.5 (Figure
5.2a), the volume of the soil displaced by the cylinder is 2LAABC, where AABC is the area
of ABC in Figure 5.2a. Apparently

108
O
D/2
C B
h
a. h/D<0.5
D
h
b. h/D>0.5
Figure 5.2 Calculation of Volume of Soil Displaced by the Cylinder

109
AABC = AOAB − AOBC (5.8)
and
1 D 2 ΛD 2
AOAB = Λ( ) = (5.9a)
2 2 8
D/2−h h
cos Λ = OC / OB = = 1− 2 (5.9b)
D/2 D
1 1 D D D 1 D
AOCB = OC × CB = ( − h) ( ) 2 − ( − h) 2 = ( − h) hD − h 2 (5.9c)
2 2 2 2 2 2 2
Combining the above equations, we have
2h D 2 1 D
AABC = cos −1 (1 − ) − ( − h) hD − h 2 (5.10)
D 8 2 2
Thus, the soil buoyancy force can be expressed in dimensionless form as
Fb 1 1
= Γ[ cos −1 (1 − 2 H ) − ( − H ) H − H 2 (5.11a)
W 4 2
γLD 2
where Γ =
W
γ =soil unit weight
If h/D>0.5 (Figure 5.2b), the volume of the displaced soil is simply
πLD 2 D
+ (h − ) LD . Therefore, the soil buoyancy force can be expressed by
8 2
Fb π 1
= Γ( + H − ) (5.11b)
W 8 2
Given the soil shearing resistance force and the buoyancy force defined above,
the procedure to predict the penetration depth may be summarized as follows:

110
1. The soil shearing resistance force Fs and the buoyancy force Fb may be
evaluated by Eqs. 5.7 and 5.11 respectively at each time step;
2. Acceleration A at each time step is determined by Eq 5.1;
3. Acceleration is integrated over each time step to update velocity V and
embedment depth H.
4. The maximum penetration depth Hmax occurs when velocity declines to zero.
A MATLAB program entitled MINE_BURIAL has been developed for this
penetration model (Appendix D). Variables controlling predicted penetration can be
expressed in terms of the strain rate multiplier, the boundary conditions at the soil-
cylinder interface, impact velocity at the mudline, soil shearing resistance, soil unit
weight effects, threshold strain rate and variable strength profile. The integration is
achieved numerically due to the non-linear relationships between the resistance forces
Fs , Fb and penetration depth H.
5.1.2 Parametric Studies
Fig. 5.3 illustrates the general nature of the predictions from the impact
penetration model for conditions of a uniform strength profile ( η = 0 ), a soil-cylinder
adhesion α = 1, mudline velocities V0 of 0 and 2, shear resistance C0 ranging from 0.1 to
0.5, unit weight Γ = 0.5, a threshold strain rate E0 = 2x10-8. The analyses consider strain
rate mulipliers, λ 0 , for the range 0.05 to 0.15. One should note that for the case of V0 = 0,
substantial accelerations and velocities can develop until sufficient soil resistance is
mobilized at greater penetration depths. Hence, V0 = 0 cannot be considered a quasi-

111
static condition, except under the special circumstance in which the soil resistance, C0, is
sufficiently high to preclude significant accelerations and velocities (Aubeny and Shi,
2005a).
3.5
α =1
λ 0 = 0.05
3 Γ = 0.5
0.10 E0 = 2 ×10−8
2.5
0.15
Penetration, h/D
1.5
V0 = 2
λ 0 = 0.05
1
0.10
0.15
0.5
V0 = 0
0
0 0.1 0.2 0.3 0.4 0.5
Soil Shearing Resistance, C 0
Figure 5.3 Parametric Study of Cylinder Penetration
Fig. 5.3 shows that mudline velocity is, as might be expected, of major
significance, with predicted penetrations, h/D, for V0 of 0 and 2 differing by nearly an
order of magnitude in some cases. The magnitude of the strain rate multiplier can also be
significant, with penetrations corresponding to λ 0 = 0.05 typically exceeding those for
λ 0 = 0.15 by 50 to 100%.
112
5.1.3 Rate-Dependent Strength and Sensitivity
Due to the very soft soils under consideration, conventional laboratory tests
involving uniform distributions of strains and strain rates were not feasible. In such
circumstances, recourse must be taken to intrusive methods for strength measurements
involving highly non-uniform distributions of strain and strain rates for which any
assessment of strain rate effects entails considerable uncertainty. In the case of this study
the MV shear apparatus was used to estimate soil strength, but a similar observation
would apply to alternative intrusive test methods such as the cone penetrometer or the T-
bar.
An assessment of the dependence of shear strength on strain rate is possible by
varying the rate of rotation, θ , in the MV shear test. Fig. 5.4 illustrates the results of this
procedure for the reconstituted marine soils under consideration in this study. While the
MV shear strength versus rotation rate relationship in Fig. 5.4 is relatively simple,
applying the data to the impact penetration model actually requires a number of
assumptions, some of which have limited theoretical or experimental support at present.
For the present study we assume that the MV shear strength fits a framework analogous
to that defined by Eqs. 4.2; i.e., it may be expressed in terms of rotation rate as follows
(Aubeny and Shi, 2005a):
( )
cmv = cmv 0 ⎡⎣1 + λ mv 0 log10 θ / θ 0 ⎤⎦ (5.12)
113
(kPa)
2
mv
Miniature Vane Strength, c
1.5
1
Best fit: .
c = 1.87+0.138 log (θ)
mv 10
0.5
0
0.0001 0.001 0.01 0.1 1
.
Rotation Rate, θ (rad/sec)
Figure 5.4 Strain Rate Dependence from MV Test (Aubeny and Shi, 2005a)
where cmv is the shear strength associated with rotation rate θ , cmv0 is the threshold shear
strength associated with the threshold rotation rate θ 0 , and λ mv 0 is the strain rate
multiplier for the MV test.
We also assume that the MV strain rate multiplier λ mv 0 approximates the strain
rate multiplier for collapse loading of a horizontal cylinder and ρ 0 . Furthermore, we
assume that the threshold rotation rate θ 0 can be taken as the threshold strain rate ε 0
(Aubeny and Shi, 2005a).

114
Regarding the first assumption, Biscontin and Pestana (2001) present a
compilation of data supporting the form of Eq. 5.12, although a power law function is
also possible. While the second assumption is certainly open to debate, it is at least
intuitively plausible in view of the comparisons between λ 0 and ρ 0 presented earlier in
this paper. The third assumption is perhaps of most concern; therefore, to assess its
implications, the data in Fig. 5.4 were interpreted for the three arbitrarily assumed
threshold rotation rates shown in Table 5.1. Using the parameters in Table 5.1 in
conjunction with the range of mudline velocities, cylinder weights, and diameters
relevant to this study yielded the parametric evaluation summarized in Figure 5.5. In all
cases predicted penetrations proved to be insensitive to the assumed threshold rotation
rate.
Table 5.1 Strain Rate Multipliers and Threshold Strengths for Various
Assumptions of Threshold Strain Rate (Aubeny and Shi, 2005a)
Assumption Threshold Rotation Threshold Strength, Strain Rate

Rate, θ 0 cmv0 Multiplier, λmv0
(rad/sec) (kPa)
1 1.4x10-7 0.928 0.15
2 1.4x10-6 1.07 0.13
3 1.4x10-5 1.20 0.12
115
2.5
Assumption 1
Assumption 2
2
Assumption 3
C0 = 0.1
Penetration, h/D
1.5
0.3
0.5
0.5
0
0 0.5 1 1.5 2 2.5
Mudline Velocity, V 0
Figure 5.5 Effect of Assumed Threshold Strain Rate on Penetration Predictions

(Г=0.5)
The penetration predictions require an estimate of the boundary conditions at the
soil-cylinder interface. In this study, this estimate proceeded on the basis of the
sensitivity, St, of the soil, with the adhesion factor α taken as the reciprocal of St. The
model cylinder penetration tests described previously entailed a procedure in which,
prior to each test, the soil in the test basin was thoroughly mixed and remolded and
allowed to set for 24 hours prior to testing. The measured thixotropic strength increase
over a 24-hr setup period is shown in Figure 5.6. The sensitivity of the soil after the 24-
hr setup period was therefore estimated by two approaches. The first method related the
peak MV 24-hr strength to the MV strength measured immediately following remolding.

116
The second approach related the peak 24-hr strength to the residual strength measured at
large rotations. Sensitivity measured on a residual strength basis was somewhat greater
than that measured on a thixotropic peak strength gain basis, 1.3 versus 1.2. For the
purpose of the penetration predictions, the sensitivity was taken as the average of these
two values, resulting in a selected adhesion value for the analyses of α=0.8 (Aubeny and
Shi, 2005a).
(kPa)
2
Peak
mv
Miniature Vane Strength, c
1.5
1 Residual
24-hr Sensitivity, S
t
0.5 Thixotropy 1.2
Residual 1.3
0
0 5 10 15 20 25
Time (hours)
Figure 5.6 Estimated Sensitivity of Clays Used in Experimental Study (Aubeny and
Shi, 2005a)
117
5.1.4 Comparison to Experimental Data
The model described above was used to interpret the experimental data in Table
2.1. Recalling that the cylinder had hemispherical ends (Figure 5.7), the effective length
of the cylinder LC was taken as the footprint area divided by the cylinder diameter to
evaluate C0 (Aubeny and Shi, 2005a). Thus
π(0.168) 2
LC = [(0.337)(0.168) + ) / 0.168 = 0.467m (5.13)
4
Model Cylinder
Figure 5.7 Geometry of the Model Cylinder
A similar approach was used for evaluating Γ , i.e., LC was taken as the volume of the
cylinder divided by the cross-sectional area. Thus
π(0.168) 2 (0.337) 4π 0.168 3 π

LC = [ + ( ) ] /[ (0.168) 2 ] = 0.449m (5.14)
4 3 2 4
118
For cases in which the cylinder was inclined at an angle β , the horizontal projection of
the cylinder length, LC ' = LC cosβ , was taken as the effective cylinder length (Aubeny
and Shi, 2005a). Based on experimental measurements, the value of γ used in this study
is 16.7 kN / m3 .
Table 5.2 Test Conditions for Basin Tests Measuring Penetration of Cylinders into
Reconstituted Marine Clay (Aubeny and Shi, 2005a)
Test Designation Mudline Velocity Shearing Resistance Soil Unit Weight

V0 C01 Γ
1 0 0.374 1.31
5 0 0.119 0.466
7 0 0.0839 0.384
8 0 0.0945 0.336
9 0 0.0850 0.284
22 1.41 0.297 0.758
23 1.61 0.117 0.466
24 1.39 0.117 0.283
252 1.31 0.220 0.758
262 1.36 0.134 0.466
272 1.46 0.0935 0.284
283 1.48 0.179 0.758
293 1.35 0.134 0.466
303 1.23 0.0828 0.284
1- Computed on a basis of c0 referenced to a threshold strain rate = 1.4x10-7 sec-1.

2- Axis of cylinder inclined 10o from horizontal.
3- Axis of cylinder inclined 20o from horizontal.
119
Mudline velocities, soil strengths, and soil unit weights of the penetration tests
expressed in dimensionless form were summarized in Table 5.2. Tests performed at non-
zero inclination angles are noted in Table 5.2. Predicted penetrations h/D were based on
the dimensionless variables shown in Table 5.2, adhesion factors α of 0.8 and 1, a E0
value corresponding to ε 0 = 1.4x10-7 sec-1 (0.05%/hr), a strain rate multiplier λ0 = 0.15
(see Table 5.1), and a uniform strength profile ( η = 0 ).
The predicted penetrations were compared to the measurements taken after 1
minute for the non-impact tests and 1 second for the impact tests. Figure 5.8 shows
predicted versus measured penetrations. Hollow and solid symbols designate predictions
based on adhesion factors α of 0.8 and 1, respectively. Tests performed at non-zero
inclination angles β are also designated on the plot by crosses superimposed on the
symbols. Predicted penetrations using α = 1 were actually in slightly closer agreement
with measurements than for α = 0.8. That is, statistical analyses indicated a correlation
coefficient between predictions and measurements r2 = 0.88 for the α = 0.8 predictions
versus r2 = 0.90 for the α = 1 predictions. This may be viewed as somewhat unexpected
in view of the sensitivity measurements, since an overestimate of the adhesion factor α
should lead to an underestimate of penetration. One possible explanation is
compensating errors. Specifically, as noted earlier, the predictions assume the formation
of a vertical trench in the wake of the advancing cylinder. Neglecting the tendency of the
walls of the trench to close in around the cylinder will tend to under-estimate the soil
shearing resistance and over-estimate penetration. The soil inertial resistance was also
120
neglected in this analysis. In addition, the soil shear resistance force is estimated from
plane solutions; hence, end resistance effects are neglected. An over-estimate of the
adhesion factor, α = 1, may actually compensate for these effects, resulting in somewhat
better predictions (Aubeny and Shi, 2005a).
The overall level of agreement between predicted and measured penetrations for
the tests performed at inclinations β of 10 and 20 degrees is comparable to that for the
horizontal tests, suggesting that predictions based on a horizontally oriented cylinder can
provide reasonable penetration estimates for shallow inclination angles. Overall, given
the level of uncertainty in characterizing the strength properties of the soil, the predicted
penetrations agree reasonably well with measurements.
Figure 5.9 presents the predictions of penetrations without strain rate correction
( λ = 0 ) for the α = 1 case. We can see that the predictions distinctly over-estimate the
penetrations when the effect of strength increase with strain rate is neglected, and the
value of the statistical correlation coefficient r 2 is only 0.64. By comparison of Figure
5.8 and Figure 5.9 we may conclude that the mechanism of strain rate correction
incorporated in this penetration model is effective.

121
2.5
2
Predicted Penetration, (h/D)pred
1.5
α = 0.8
0.5
α =1
β = 10
β = 20
0
0 0.5 1 1.5 2 2.5
Measured Penetration, (h/D)meas
Figure 5.8 Predictions versus Experimental Measurements of Penetration

122
2.5
Predicted Penetration, (h/D)pred
1.5
0.5
α =1
λ0 = 0
0
0 0.5 1 1.5 2 2.5 3
Measured Penetration, (h/D)meas
Figure 5.9 Predictions without Strain Rate Correction versus Measurements

123
5.2 XBP Interpretations
The XBP interpretation is a reverse process of the penetration studies. The soil
strength is an input parameter for the penetration studies whereas it is the target
parameter to be solved for the XBP studies. The XBP studies employed the same single
particle model as illustrated by Eq. 5.1, while the soil strength is back-calculated from
acceleration measurements in this case.
5.2.1 Algorithm for XBP Interpretation
Eq. 5.1 can be rewritten into the following form:
Fs / W = 1 − Fb / W − a / g (5.15)
The buoyancy force of water for the XBP is 1.57 N. The soil buoyancy force is the soil
unit weight multiplied by the volume displaced by the penetrometer. The volume is
calculated as follows: before the XBP penetrates past the maximum section ( h / d < 1.2 ),
it is interpolated from the calculated volumes at a series of embedment depths as
illustrated in Table 5.3; after the open trench forms ( h / d > 1.2 ), the volume V in cm3 is
calculated by
V = 89.35 + A(h − 6.1) (5.16)
The empirical soil resistance relationship may be established by combining Eqs. 3.23
and 4.7, which gives
If h / d < 1.2
Fs / c0 A = 8.55(h / d )0.756 [1 + λ 0 log10 (v / dε 0 )] (5.17a)

124
Table 5.3 Calculated Volume Displaced by the XBP (h/d<1.2)
Penetration Volume
(cm) (cm3)
0 0
0.1 0.20
0.3 0.96
0.6 2.66
1.1 6.52
1.6 11.63
2.1 17.77
2.6 24.82
3.1 32.72
3.6 41.25
4.1 50.24
4.6 59.67
5.1 69.39
5.6 79.30
6.1 89.35
If h / d > 1.2
Fs / c0 A = 9.60(h / d )0.210 [1 + λ 0 log10 (v / dε 0 )] (5.17b)
With the soil shearing resistance force and the buoyancy force characterized
within the framework described above, estimation of the soil undrained shear strength
profile from XBP data is possible through the following steps (Aubeny and Shi, 2005b):
1. The accelerometer provides a history of acceleration versus time a(t)
throughout the penetration process.
2. Invoking Eq. 5.15 permits a determination of the soil shearing resistance
force Fs at each time step.

125
3. Acceleration is integrated to obtain a history of velocity v and embedment
depth h throughout penetration.
4. Undrained shear strength c0 corresponding to the reference strain rate ε 0 is
evaluated from Eqs. 5.17.
A MATLAB computer code implementing this algorithm entitled
XBP_SOFTCLAY was developed for this research (Appendix E).
5.2.2 Field Measurements
Investigations by the Office of Naval Research on mine burial prediction have
included XBP tests at offshore sites for which independent estimates of shallow seafloor
sediment strengths are available. These data provided a valuable opportunity for an
evaluation the proposed framework for XBP interpretation which is discussed below.
The field data under consideration involve two XBP drops at each of five test
sites (designated Sites 4, 5, 12, 19, and 20) in the Gulf of Mexico near Corpus Christi,
Texas, in water depths ranging from 20.4 to 43.0 m (Abelev, 2005). At each test site, one
to two 2-m long by 8.9-cm diameter drop core samples were obtained for total density
and laboratory miniature vane (MV) shear strength tests. Table 5.4 shows data provided
by Valent (2003) relevant to the penetration depth range of the XBP’s. Soil classification
tests were not performed on the specific core samples associated with the test drops;
however, laboratory tests on samples from nearby locations in the Corpus Christi test
area typically classified the sediments as clays ranging from medium to high plasticity
(CL, CH). Exact positions were not measured for the XBP tests and the drop core
126
locations, with the distance between these locations at a given test being influence by
local wind, current and tide conditions. Based on estimates by personnel conducting the
investigations (Abelev, 2005), the drop core locations are likely within 20 to 100 m of
the XBP test locations.
Table 5.4 Soil Properties at Corpus Christi Test Site (Aubeny and Shi, 2005b)
Site/Core Depth Wet MV

(cm)Density* Strength
(g/cm3) (kPa)
4/1 0-10 1.60 1.1
10-20 1.76 2.7
20-30 1.77 4.3
5/1 0-10 1.64 1.5
10-20 1.75 3.1
20-30 1.60 3.8
5/2 0-10 1.57 0.8
10-20 1.82 2.1
20-30 1.74 2.4
12/1 0-10 1.64 0.7
10-20 1.76 1.7
20-30 1.67 2.6
12/2 0-10 1.68 1.0
10-20 1.79 1.9
20-30 1.67 2.4
19/1 0-10 1.64 1.3
10-20 1.74 2.1
20-30 1.66 2.2
20/1 0-10 1.74 0.8
10-20 1.90 1.7
20-30 1.74 2.4
*From nuclear data-logger.
127
Figure 5.10 shows a typical deceleration and velocity profile from an XBP drop.
The penetrometer impacted the seafloor at a velocity of 727 cm/sec. Decelerations
increase almost linearly to a depth of 15 cm and then taper to a plateau of about 15g at a
depth of 20 cm. An upward spike in the decelerations occurs between 23 and 24 cm
depth. Similar spikes occur in other tests. The cause of their occurrence is not fully
certain at present, but thin sand seams in the soil profile are a likely explanation.
Figure 5.10 Typical Velocity and Deceleration Histories during XBP Penetration
(Aubeny and Shi, 2005b)
128
5.2.3 Interpreted Undrained Shear Strength Profiles
Figures 5.11 through 5.15 show sediment strength profiles interpreted from the
XBP drops. Penetration measurements were interpreted under assumptions of strain rate
dependence ( λ 0 = 0.15 , ε 0 = 0.05% / hr ) and rate-independence ( λ 0 = 0 ). The same
strain rate multiplier as in the penetration studies was used, because the previously noted
MV tests conducted at variable rotation rates to estimate λ 0 were also performed on
remolded soil samples from the Corpus Christi test area, although not on the specific
core samples discussed herein. Superimposed on the plots are profiles of undrained shear
strength from the miniature vane (MV) tests. To compensate for the relatively high strain
rate levels in the MV tests, θ = 77o/min (80.6 radians/hr), the XBP c0 strengths were
scaled upward to a comparable strain rate level using Eq. 5.12 assuming θ = ε . This
assumption obviously involves some uncertainty, but it provides an objective basis for
accounting for the strain rate effects associated with the five orders of magnitude
difference between the rate of shearing in the MV test relative to the reference strain
rate ε 0 (Aubeny and Shi, 2005b).

129
Test 4a (07my1508)
0
XBP, λ0=0.15
XBP, λ0=0
5 MV Test
10
Depth (cm)
15
20
25
0 2 4 6 8 10
Undrained Strength (kPa)
Test 4b (07my1510)
0
XBP, λ0=0.15
XBP, λ0=0
5
MV Test
10
Depth (cm)
15
20
25
0 2 4 6 8 10
Figure 5.11 Interpreted XBP Strength Profile at Site 4

130
Test 5a (08my1018)
XBP, λ0=0.15
5 XBP, λ0=0
MV Test 1
10 MV Test 2
Depth (cm) 15
20
25
30
0 1 2 3 4 5 6 7
Test 5b (08my1020)
0
XBP, λ0=0.15
5 XBP, λ0=0
MV Test 1
MV Test 2
10
Depth (cm)
15
20
25
30
0 1 2 3 4 5 6 7

131
Test 12a (10my1353)

0
XBP, λ0=0.15
5 XBP, λ0=0
MV Test 1
MV Test 2
10
Depth (cm) 15
20
25
30
0 2 4 6 8
Test 12b (10my1354)
0
XBP, λ0=0.15
5 XBP, λ0=0
MV Test 1
MV Test 2
10
Depth (cm)
15
20
25
30
0 1 2 3 4 5 6

132
Test 19a (15my0929)

0
XBP, λ0=0.15
XBP, λ0=0
5
MV Test
10
Depth (cm)
15
20
25
0 1 2 3 4 5 6
Test 19b (15my0933)

0
XBP, λ0=0.15
XBP, λ0=0
5 MV Test
10
Depth (cm)
15
20
25
0 4 8 12 16 20

133
Test 20a (15my1452)

0
XBP, λ0=0.15
5 XBP, λ0=0
MV Test
10
Depth (cm) 15
20
25
30
0 2 4 6 8
Test 20b (15my1453)

0
XBP, λ0=0.15
5 XBP, λ0=0
MV Test
10
Depth (cm)
15
20
25
30
0 1 2 3 4 5 6

134
Examination of the interpreted XBP strength profiles vis-à-vis the MV strength
profiles reveals two regions where the XBP strengths are consistently unrealistic
(Aubeny and Shi, 2005b):
1. During the initial stages of penetration, the interpreted XBP strengths
severely over-estimate the reference MV strengths in all cases. A possible
source of this discrepancy is that this analysis does not account for the inertial
resistance from the soil and the hydrodynamic resistance from the water
column that may be significant during early stages of penetration. Neglecting
resistance from this source can lead to over-estimates of the sediment
shearing resistance. The depth of this initial phase of penetration for which
valid XBP strength interpretations are considered unreliable is taken as the
depth at which the apparent interpreted strength reaches a local minimum.
Figures 5.11 through 5.15 indicate unreliable strength estimates from the
XBP in the initial 5 cm ( h/d ≈ 1 ) of penetration.
2. The apparent XBP strength precipitously declines in the final stages of
penetration. Elastic rebound of the soil as the penetration velocity declines to
zero, an effect not considered in Eq. 5.1, is a probable source of this
discrepancy.
Penetration measurements from intermediate depths between the initial and final
phases of penetration described above appear to provide a valid basis for estimating
sediment undrained shear strength. Comparisons between MV and interpreted XBP
strengths within this range of depths indicate the following (Aubeny and Shi, 2005b):
135
1. The interpreted XBP strengths match reasonably well to the reference MV
strength profile in Tests 4a, 5a, 5b, 12a, and 12b, 19a, 20a, and 20b.
Considering that the MV tests are conducted at discrete 10 cm depth intervals
and that they do not necessarily match the exact location where the XBP
actually impacted the seafloor, the overall level of agreement is considered
satisfactory.
2. The most serious deviations between MV reference strengths occur in Tests
4b (Figure 5.11) and 19b (Figure 5.14). In the case of Test 4b, the most
severe mismatch occurs at a depth interval of 14 to 18 cm. In Test 19b, the
XBP interpreted strength profile matches well with the reference MV profile
between 5 and 15 cm. Below that depth, a large ‘spike’ occurs in the XBP
profile, with the XBP strengths exceeding the MV strength by a factor of 6.
The source of these spikes is at present uncertain. A plausible explanation
under consideration is the possible existence of thin sandy seams in the soil
profiles at these locations. The behavior of sands under dynamic loading
appears to differ considerably from that of clays (Stoll et al., 2004) and will
be discussed subsequently in this dissertation.
3. Overall, the XBP test interpretations that assume strain rate dependence (λ =
0.15) match the reference MV strength profiles better than those which
assume rate independence. The strain rate independent interpretations
generally overestimate the MV strength, resulting from neglect of strength
increase at elevated strain rates.

136
4. The algorithm evaluates the soil shearing resistance force by Eqs. 5.17, which
is based on the finite element result of a uniform strength and no slippage
case. While the use of the result of a general strength profile seems to be
more desirable, it will not necessarily generate better predictions. As with the
cylinder studies, the normalized collapse loads for the general strength case
would be lower than the uniform case, hence it will predict higher strengths.
Yet from Figures 5.11 to 5.15 we can see that this will generally cause
deviation from the measurements. This again may be viewed as the effect of
compensation errors, i.e., neglecting the tendency of the soil to close into the
void formed in the wake of the advancing penetrometer, the inertial
resistance of soil and the hydrodynamic forces during penetration will tend to
over-estimate the soil strength. The use of the results from the uniform
strength case may have somewhat offset these errors and generated better
predictions. Meanwhile, based on the penetration studies, the predictions with
α = 1 appear to be reasonable.
Comparison to the most recent and more extensive strength profiles at sites 4, 5,
12 and 19 from Naval Research Laboratory (data provided by Abelev and Valent, 2005)
also indicates good agreement between interpreted XBP strength profiles and the MV
strength profiles (Figures 5.16 through 5.19). The wide scatter of the MV strength
measurements introduces some ambiguity in interpreting the results, but overall the XBP
profiles match reasonably well with the measurements except the spike for Test 19b,
which may be caused by thin sandy seams.

137
10
XBP, Test 4b
15
Depth (cm)
20
XBP, Test 4a
25
30 Miniature Vane
35
40
0 2 4 6 8 10 12
Soil Strength (kPa)
Figure 5.16 Comparison between XBP Strength Profiles and MV Strength Profiles
at Site 4 (after Abelev and Valent, 2005)
10
15
Depth (cm)
20
XBP, Test 5a
XBP, Test 5b
25
30
Miniature Vane
35
40
0 2 4 6 8 10
Soil Strength (kPa)
138
10
15
XBP, Test 12a
Depth (cm)
20
XBP, Test 12b
25
30
Miniature Vane
35
40
0 1 2 3 4 5 6
Soil Strength (kPa)
10
XBP, Test 19b
15
Depth (cm)
20
25
Miniature Vane
XBP, Test
30 19a
35
40
0 2 4 6 8 10 12 14
Soil Strength (kPa)
139
As noted above, the existence of thin seams in the soil profiles has been
postulated as a possible cause of the spikes in the interpreted XBP strength profiles.
Indeed, these phenomena spurred an experimental study by Stoll et al. (2004)
investigating the behavior of sands under impact loading using instrumented probes
capable of measuring tip resistance and pore pressures during impact penetration. The
Stoll study showed the rate sensitivity of sands to be much higher than that of the clays
under consideration in this study, and conditions of partial drainage are also a likely
critical factor. High negative pressures measured by the pore water pressure transducers
suggested the tendency for dilation to be related to the apparent strain rate effects.
At present, it appears that more work is needed both to develop a theoretical
framework and to acquire experimental data for analyzing impact penetration in sands.
Accordingly, the framework presented herein for interpreting impact penetration
measurements in soft clays should not be extended to sands until a number of questions
relating to rate effects in sands have been resolved (Aubeny and Shi, 2005b).
140
CHAPTER VI
CONCLUSIONS AND RECOMMENDATIONS*
6.1 Conclusions
There are two aspects in this study: cylinder penetrations and XBP interpretations.
For cylinder penetrations, this study first considers quasi-static collapse loads for a
cylinder embedded in a purely cohesive soil mass. At embedments greater than one-half
diameter, a vertical trench is assumed to exist above the cylinder. The finite element and
plasticity collapse load calculations show the following (Aubeny et al., 2005):
1. For cylinder embedments less than one-half diameter, h/D < 0.5, computed
finite element collapse loads are bracketed by the upper and lower bound
estimates from plasticity theory (Figures 3.15 and 3.16), thus supporting the
validity of the finite element estimates. At shallow embedments, h/D < 0.3,
the lower bound MOC collapse load estimates are virtually in full agreement
with the finite element estimates.
2. For cylinder embedments less than one-half diameter, h/D < 0.5, in a uniform
soil, two velocity fields for upper bound solutions are applied to partially
embedded cylinders, one based on the solution of Randolph and Houlsby
(1984) for a fully embedded translating cylinder, and one based on the
consistent solution of Murff et al. (1989) for a partially embedded cylinder.
*
141
Both solutions (Figure 3.15) provide reasonable estimates of collapse loads,
although the Murff et al. (1989) consistent solution gives somewhat better
overall agreement with finite element estimates. Application of either the
Randolph-Houlsby or the Murff et al. velocity fields to non-uniform soil
strength conditions (Figure 3.16) provides reasonable upper bound collapse
load estimates in the embedment range 0.3 ≤ h / D ≤ 0.5 for the smooth case.
At shallower embedments, the disparity between these upper bound estimates
and both finite element and lower bound MOC solutions becomes
increasingly severe.
3. For cylinder embedments greater than one-half diameter, h/D > 0.5, extension
of the Randolph-Houlsby velocity field to the side wall of the trench and the
ground surface (Figure 3.4), while providing valid upper bound solutions,
tends to substantially over-estimate the finite element collapse load estimates
(Figures 3.17 and 3.18).
4. Collapse loads normalized by the soil strength at the bottom of the cylinder,
ch, are relatively insensitive to strength gradients η. Figure 3.19 shows the
maximum variation in predicted collapse loads due to variation in η is on the
order of 10%.
The study then evaluates the strain rate effects on the collapse loads for a
penetrating cylinder through rate-dependent finite element analyses. A predictive model
for the penetration depth of cylinders was developed subsequently based on a single
particle model. The findings suggest the following (Aubeny and Shi, 2005a):
142
1. If the soil strength c increases semi-logarithmically with strain rate (Eq. 4.1),
the total shearing resistance Fs will, to a reasonable degree of accuracy,
increase in a proportionate manner (Eq. 4.3). Specifically, if ρ0 is the semi-
logarithmic strain rate multiplier for soil strength, then λ0 ≅ ρ0 is a
reasonably accurate estimate of the strain rate multiplier for the total soil
shearing resistance force acting on the cylinder.
2. The approximate power law equations defined by Eq. 3.22 in conjunction
with the approximate approach to accounting for strain rate effects
(Conclusion 1 and Eq. 4.3) provide realistic estimates of the total soil
shearing resistance to penetration of a horizontal cylinder for variable
conditions of velocity v and penetration depth h.
3. Realistic estimates of penetration require a proper accounting of strain rate
effects.
4. The rate-dependent plasticity framework utilized in this study requires an
estimate of a threshold strain rate, below which soil shear strength remains
constant. Limited data are available on this issue, so estimates of this value
entail considerable uncertainty. For the range of conditions considered in this
study, penetration predictions were not sensitive to the magnitude of the
threshold strain rate; however, this observation will not necessarily hold
under all conditions.
The XBP studies were conducted within a framework similar to that of the
cylinder studies. The interpretation is achieved by back-calculating soil strength from

143
impact penetration measurements in soft clays. The development and evaluation of a
framework for relating impact penetration measurements to soil strength lead to the
following conclusions (Aubeny and Shi, 2005b):
1. The highly variable velocity conditions associated with impact penetration
dictate a somewhat different approach to test interpretation than is usually
adopted for constant penetration rate tests. In a constant penetration rate test,
it is reasonable to adopt a single strain rate correction factor relating soil
strength under conditions of penetration to soil strength under other
conditions of interest. However, conditions of variable velocity dictate a
variable strain rate correction (Eq. 4.7) throughout the penetration process.
2. The continuously varying conditions of embedment during XBP penetration
similarly dictate continuous updating of the penetrometer tip resistance
related to soil strength (Eqs. 3.23).
3. Acceleration measurements provide an attractive approach to estimating
strength from impact penetration measurements. In addition to being the
fundamental variable that can be related to soil shearing resistance (Eq. 5.15),
acceleration measurements can be integrated to obtain velocity data for
characterizing rate effects (Eq. 4.7) and depth data for characterizing
embedment effects (Eqs. 3.23).
4. Sediment strength interpreted from XBP measurements agrees reasonably
well with MV shear strength values performed on nearby core samples.
Occasional anomalous spikes in the XBP strength profiles cannot be fully

144
explained at present, but sand seams in the soil profiles are a suspected cause
of this phenomenon.
6.2 Recommendations
The following recommendations can be made for future study (Aubeny and Shi,
2005a):
1. This study assumes a vertical trench is formed in the wake of the advancing
object. In reality the soil will tend to cave in at a certain depth. Therefore, to
which depth this assumption is valid remains an issue to be resolved.
2. The lack of data on the threshold strain rate for very soft normally
consolidated soils is a particular obstacle to using the proposed model with
confidence. It might be noted that if the threshold strain rate is extremely low,
a viscous fluid model could be a preferable model for soil shearing resistance.
3. Much experimental data indicate that the simple semi-logarithmic equation
(Eq. 4.1) relating shear strength to strain rate is not strictly valid over a large
range of strain rates. Accordingly, a need exists for more data and possibly
more comprehensive models.
4. The strength of very soft soils usually cannot be measured directly in tests
having uniform strain and strain rate conditions; i.e., intrusive test methods
(e.g., vane shear, T-bar, cone penetration) are required. Inferring rate-
dependent soil properties from tests involving non-uniform strain rates at

145
present involves considerable ambiguity, pointing to a research need for
improved interpretation of intrusive tests in rate-dependent materials.
5. Further study on the interpretation of the “hard layer effects”, particularly
study on the impact penetration in sands is needed.
6. Although only two geometries (the cylinder and the XBP) were considered in
this research, the methodology described in this study is likely to be feasible
for other geometries, e.g., the spherical penetrometer (Randolph et al., 2000)
etc.
7. Further study taking into account the large strain aspects of the problem may
be considered. The Shallow Strain Path Method (SSPM) proposed by
Sagaseta et al. (1995) combines the Strain Path Method (SPM; Baligh 1985)
with the consideration of the influence of the free surface for shallow
penetration problems by means of image sources and sinks. A strain path
finite element method as described by Teh and Houlsby (1988) may also be
incorporated.
8. Extend study of cylinder penetration to inclined cylinders rotating at some
angular velocity.
146
REFERENCES
Aas, G. (1965). “Study of the effect of vane shape and rate of strain on measured values
of in situ shear strength of clays,” Proceedings, 6th International Conference on Soil
Mechanics and Foundation Engineering, Montreal, I, 141-145.
Abelev, A. (2005). Personal communication, Naval Research Laboratory, Stennis Space

Center, Mississippi.
Abelev, A. and Valent P. (2005). Personal communication, Naval Research Laboratory,

Stennis Space Center, Mississippi.
Alberro, J., and Santoyo, E. (1973). “Long term behavior of Mexico City clay.” Proc.,
8th International Conference on Soil Mechanics and Foundation Engineering, 1, 1-9.
ASTM (2001). “Standard test method for laboratory miniature vane shear test for
saturated fine-grained clayey soil.” Annual Book of ASTM Standards, Vol. 04.08,
American Society for Testing and Matererials, Philadelphia, 810-815.
Aubeny, C.P. (2003). Advanced numerical methods class notes. Department of Civil
Engineering, Texas A&M University, College Station, Texas.
Aubeny, C.P, and Dunlap, W.A. (2003). “Penetration of cylindrical objects in soft mud.”
Proc., Oceans 2003, San Diego, 4, 2068-2073.
Aubeny, C.P. and Shi, H. (2005a). “Effect of rate-dependent soil strength on cylinders
penetrating into soft clay.” Submitted for publication in IEEE Journal of Oceanic
Engineering, Special Issue: Predicting Burial on the Littoral Seafloor.
Aubeny, C.P. and Shi, H. (2005b). “Interpretation of impact penetration measurements

in soft clays.” Submitted for publication in Journal of Geotechnical and
Geoenvironmental Engineering, ASCE.
Aubeny, C.P., Shi, H. and Murff, J.D. (2005). “Collapse loads for a cylinder embedded
in trench in cohesive soil.” International Journal of Geomechanics, ASCE, scheduled to
be published in the 2005.
Baligh, M.M. (1985). “Strain path method.” Journal of Geotechnical Engineering,

ASCE, 111(9), 1108-1136.
147
Berre, T., and Bjerrum, L. (1973). “Shear strength of normally consolidated clays.”
Proc., 8th International Conference on Soil Mechanics and Foundation Engineering, 1,
39-49.
Biscontin, G., and Pestana, J.M. (2001). “Influence of peripherial velocity on vane shear
strength of an artificial clay.” ASTM. Geotechnical Testing Journal, 24(4), 423-429.
Bjerrum, L., Simons, N., and Toblaa, I. (1958). “The effect of time on the shear strength
of a soft marine clay.” Proc., Conference on Earth Pressure Problems, 1, 148-158.
Bridge, C., Laver, K., Clukey, E., and Evans, T. (2004). “Steel catenary riser touchdown
point vertical interaction models.” Offshore Technology Conference, Houston, OTC
16628.
Cadling, L., and Odenstad, S. (1950). “The vane borer: an apparatus for determining the
shear strength of clay soils directly in the ground.” Royal Swedish Geotechnical Institute,
Proceedings, 2, 1-87.
Calladine, C.R. (1969). Engineering plasticity, Pergamon Press, Oxford.
Casagrande, A., and Wilson, S.D. (1951). “Effect of rate of loading on the strength of
clays and shales at constant water content.” Geotechnique, 2(3), 251-263.
Chen, W.F. (1975). Limit analysis and soil plasticity, Elsevier, New York.
Chu, P.C., Evans, A., Gilles, A., Smith, T., and Taber, V. (2004). “Development of the
Navy’s 3D Mine Impact Burial Prediction Model (IMPACT35).” Journal of Counter-
Ordnance Technology, 6th International Symposium on Technology and Mine Problem.
Davis E.H., and Booker, J.R. (1973). “The effect of increasing strength with depth on the
bearing capacity of clays.” Geotechnique, 23(4), 551-563.
Drucker, D.C. and Prager, W. (1952). “Soil mechanics and plastic analysis or limit
design.” Quarterly of Applied Mathematics, 10, 157-165.
Ghazzaly, O.I. and Lim, S.T. (1975). “Experimental investigation of pipeline stability in
very soft clays.” Offshore Technology Conference, OTC 2277, 315-326.
Halwachs, J.E. (1972). “Analysis of sediment shear strength at varying rates of shear.”
Trident Scholar Project Report, TSPR 28, United States Naval Academy.
Hight, D. W. (1983). “Laboratory investigations of sea bed clays.” PhD thesis, Imperial
College, London, U.K.
148
HKS (2003). ABAQUS Version 6.4 User’s Manuals. Hibbitt, Karlson and Sorensen, Inc.
Ladd, C.C., Williams, C.E., Connell, D.H., and Edgers, L. (1972). “Engineering
properties of soft foundation clays at two south Louisiana levee sites.” Research Report
No. R72-26, Massachusetts Institute of Technology, Cambridge, Massachusetts.
Lefebvre, G., and LeBoeuf, D. (1987). “Rate effects and cyclic loading of sensitive
clays.” Journal of Geotechnical Engineering., ASCE, 113(5), 476-489.
Martin (2001). “Vertical bearing capacity of skirted circular foundations on Tresca soil.”
15th International Conference on Soil Mechanics and Geotechnical Engineering,
Istanbul, International Society for Soil Mechanics and Geotechnical Engineering, 743-
746.
Munim, M. (2003). “Experimental investigation of mine penetration in soft sediments.”

MS thesis, Department of Civil Engineering, Texas A&M University, College Station,
Texas.
Murff, J.D. (1978). “Upper bound analysis of incompressible, anisotropic media.” Proc.,
15th Annual Meeting of the Society of Engineering Science, 521-526.
Murff, J.D. (1980). “Vane shear testing of anisotropic, cohesive soils.” International
Journal for Numerical and Analytical Methods in Geomechanics, 4, 285-289.
Murff, J.D. (2002). Geo-mechanics class notes. Department of Civil Engineering, Texas
A&M University, College Station, Texas.
Murff, J.D. (2003). Advanced numerical methods class notes. Department of Civil
Engineering, Texas A&M University, College Station, Texas.
Murff, J.D., Wagner, D.A., and Randolph, M.F. (1989). “Pipe penetration in cohesive
soil.” Geotechnique, 39(2), 213-229.
Perlow, M., and Richards, A.F. (1977). “Influence of shear velocity on vane shear
strength.” Journal of the Geotechnical Engineering Division, ASCE, 103(GT1), 19-32.
Randolph, M.F., and Houlsby, G.T. (1984). “The limiting pressure on a circular pile
loaded laterally in cohesive soil.” Geotechnique, 34(4), 613-623.
Randolph, M.F., Martin, C.M. and Hu, Y. (2000). “Limiting resistance of a spherical
penetrometer in cohesive material.” Geotechnique, 50(5), 573-582.
Reddy, J.N. (1993). An introduction to the finite element method, McGraw-Hill, New
York.
149
Richardson, A.M. (1963). “The relationship of the effective stress-strain behavior of a

saturated clay to the rate of strain.” ScD thesis, Massachusetts Institute of Technology,
Cambridge, Massachusetts.
Richardson, A.M., and Whitman, R.V. (1963). “Effect of strain-rate upon undrained
shear resistance of a saturated remoulded fat clay.” Geotechnique, 13(4), 310-324.
Roy, M., and LeBlanc, A. (1988). “The in-situ measurement of the undrained shear
strength of clays using the field vane.” Vane Shear Strength Testing in Soils: Field and
Laboratory Studies, ASTM STP 1014, A.F. Richards, Ed., Philadelphia, 117-128.
Sagaseta, C., Whittle, A., and Santagata, M. (1995). “Deformation analysis of shallow
penetration in saturated clay.” Research Report R94-09, Massachusetts Institute of
Technology, Cambridge, Massachusetts.
Schapery, R.A., and Dunlap, W.A. (1978). “Prediction of storm-induced sea bottom
movement and platform forces.” Offshore Technology Conference, Houston, OTC 3259.
Schapery, R.A. and Dunlap, W.A. (1984). “Theoretical and experimental investigation
of mud forces on offshore pipelines.” Report No. RF4534-1, Texas A&M University,
College Station, Texas.
Sharifounnasab, M., and Ullrich, R.C. (1985). “Rate of shear effects on vane shear
strength.” Journal of Geotechnical Engineering, ASCE, 111(1), 135-139.
Sheahan, T.C., Ladd, C.C., and Germaine, J.T. (1996). “Rate-dependent undrained shear
strength behavior of saturated clay.” Journal of Geotechnical Engineering, ASCE,122(2),
99-108.
Skempton, A.W. (1948). “Vane tests in the alluvial plain of the river forth near
Grangemouth.” Geotechnique, 1(2), 111-124.
Small, S.W., Tambuvello, R. D., and Piaseckyj, P. J. (1971). “Submarine pipeline

support by marine sediments.” Offshore Technology Conference, Houston, OTC 1357,
309-318.
Smith, A.D., and Richards, A.F. (1975). “Vane shear strength at two high rotation rates,”
Proc., Civil Engineering in the Oceans III, Newark, Delaware, Vol. I, 421-433.
Sokolovskii, V.V. (1965). Statics of granular media, Pergamon Press, Oxford.

150
Stoll, R.D., Sun, Y.F. and Bitte, I. (2004). Measuring Sea Bed Properties Using Static
and Dynamic Penetrometers, Lamont-Doherty Earth Observatory of Columbia
University, New York.
Teh, C.I., and Houlsby, G.T. (1988). “Analysis of the cone penetration test by the strain
path method.” Proc., 6th International Conference on Numerical and Analytical
Methods in Geo-mechanics, Innsbruck, 2, 1443-1448.
Terzaghi, K. (1943). Theoretical soil mechanics, Wiley, New York.
Torstensson, B.A. (1977). “Time-dependent effects in the field vane test.” International
Symposium on Soft Clay, Bangkok, 387-397.
Vaid, Y.P., and Campanella, R.G. (1977). “Time-dependent behavior of undisturbed

clay.” Journal of the Geotechnical Engineering Division, ASCE, 103(7), 693-709.
Valent, P. (2003). Personal communication, Naval Research Laboratory, Stennis Space

Center, Mississippi.
Whitney, M.J., and Rodin, G.J. (2001). “Force-velocity relationships for rigid bodies
translating through unbounded shear-thinning power-law fluids.” International Journal
of Non-Linear Mechanics, 36, 947-953.
Wiesel, C.E. (1973). “Some factors influencing in-situ vane tests results.” Proc., 8th
International Conference on Soil Mechanics and Foundation Engineering, Moscow, Vol.
1.2, 475-479.
Willis, N.R.T. and West, P.T.J. (2001). “Interaction between deepwater catenary risers
and a soft seabed: large scale sea trials.” Offshore Technology Conference, Houston,
OTC 13113.
Yao, Z. (2003). “Numerical simulations of mine penetration in soft sediments.” MS

thesis, Department of Civil Engineering., Texas A&M University, College Station,
Texas.
151
APPENDIX A
MATLAB PROGRAM: MOC_CYLINDER

152
% MOC collapse load solution for smooth pipe penetration problem

%(penetration less than one radius) with linearly increasing strength.
% xa,ya,xb,yb,xc,yc: coordinates; aa,ab,ac: angles between principal
%stress and x coordinate; fa,fb,fc: mean stresses; suaa,subb,succ etc.:
%shear strength.
clear;
p=input('Enter the depth of penetration, h/r: ');
eta=input('Enter the strength ratio(-1 for infinity): ');
incr=input('Enter the increment size at the free surface: ');
m=input('Enter number of increments divided across the fan: ');
r=1;
omega=asin(1-p/r);
if eta==-1
su0=0;
su1=1;
else
su0=1;
su1=eta*su0/2/r;
end
% Degenerate alpha characteristics

aa(1,1)=0;
xa(1,1)=r*cos(omega);
ya(1,1)=0;
suaa(1,1)=su0;
fa(1,1)=su0;
for i=2:m+1
xa(1,i)=r*cos(omega);
ya(1,i)=0;
aa(1,i)=aa(1,i-1)+omega/m;
suaa(1,i)=su0;
fa(1,i)=fa(1,i-1)+2*suaa(1,i)*omega/m;
end
% k: number of alpha characteristics

for k=1:400
temp3=k;
xb(k,1)=r*cos(omega)+k*incr;
yb(k,1)=0;
ab(k,1)=0;
fb(k,1)=su0;
subb(k,1)=su0;
% j: number of beta characteristics

for j=1:m-1+2*k
temp=1;
tca(k,1)=tan((aa(k,j)/2+aa(k,j)/2+pi/4));
tcb(k,1)=tan((ab(k,j)/2+ab(k,j)/2-pi/4));
xc(k,1)=(yb(k,j)-ya(k,j)+xa(k,j)*tca(k,1)-xb(k,j)*tcb(k,1))/...
(tca(k,1)-tcb(k,1));
yc(k,1)=(yb(k,j)+ya(k,j)+(xc(k,1)-xb(k,j))*tcb(k,1)+(xc(k,1)-...
xa(k,j))*tca(k,1))/2;
153
succ(k,1)=su0+yc(k,1)*su1;
suca(k,1)=(succ(k,1)+suaa(k,j))/2;
sucb(k,1)=(succ(k,1)+subb(k,j))/2;
ac(k,1)=(fa(k,j)-fb(k,j)+2*sucb(k,1)*ab(k,j)+2*suca(k,1)*...
aa(k,j)+su1*(2*xc(k,1)-xa(k,j)-xb(k,j)))/(2*suca(k,1)...
+2*sucb(k,1));
% Recycle
for i=1:99
temp=temp+1;
tca(k,i+1)=tan(aa(k,j)/2+ac(k,i)/2+pi/4);
tcb(k,i+1)=tan(ab(k,j)/2+ac(k,i)/2-pi/4);
xc(k,i+1)=(yb(k,j)-ya(k,j)+xa(k,j)*tca(k,i+1)-xb(k,j)*...
tcb(k,i+1))/(tca(k,i+1)-tcb(k,i+1));
yc(k,i+1)=(yb(k,j)+ya(k,j)+(xc(k,i+1)-xb(k,j))*tcb(k,i+1)+...
(xc(k,i+1)-xa(k,j))*tca(k,i+1))/2;
succ(k,i+1)=su0+yc(k,i+1)*su1;
suca(k,i+1)=(succ(k,i+1)+suaa(k,j))/2;
sucb(k,i+1)=(succ(k,i+1)+subb(k,j))/2;
ac(k,i+1)=(fa(k,j)-fb(k,j)+2*sucb(k,i+1)*ab(k,j)+2*...
suca(k,i+1)*aa(k,j)+su1*(2*xc(k,i+1)-xa(k,j)-xb(k,j)))/...
(2*suca(k,i+1)+2*sucb(k,i+1));
if abs(ac(k,i)-ac(k,i+1))<0.000001
break;
elseif i==99
disp('Not converged')
end
end
% Progress to the next step on alpha characterstics

fc(k,j)=(fa(k,j)+fb(k,j)+2*sucb(k,temp)*(ac(k,temp)-ab(k,j))-...
2*suca(k,temp)*(ac(k,temp)-aa(k,j))+su1*(xb(k,j)-xa(k,j)))/2;
xb(k,j+1)=xc(k,temp);
yb(k,j+1)=yc(k,temp);
ab(k,j+1)=ac(k,temp);
fb(k,j+1)=fc(k,j);
subb(k,j+1)=succ(k,temp);
temp4=j;
end
% Boundary condition
temp2(k)=temp4+1;
aaa=0;
bbb=p-.00000001;
faa=fff(aaa,xb(k,temp2(k)),yb(k,temp2(k)),ab(k,temp2(k)),r,p);
fbb=fff(bbb,xb(k,temp2(k)),yb(k,temp2(k)),ab(k,temp2(k)),r,p);
if faa*fbb>0
yb(k,temp2(k)+1)=p;
xb(k,temp2(k)+1)=0;
ab(k,temp2(k)+1)=pi/2;
subb(k,temp2(k)+1)=su0+su1*yb(k,temp2(k)+1);
fb(k,temp2(k)+1)=fb(k,temp2(k))+2*(subb(k,temp2(k))/2+...
subb(k,temp2(k)+1)/2)*(ab(k,temp2(k)+1)-ab(k,temp2(k)))...
154
-su1*(xb(k,temp2(k)+1)-xb(k,temp2(k)));
ff(k)=fb(k,temp2(k)+1)+subb(k,temp2(k)+1);
hold on;
plot(xb(k,:),-yb(k,:));
break;
end
cc=(aaa+bbb)/2;
fcc=fff(cc,xb(k,temp2(k)),yb(k,temp2(k)),ab(k,temp2(k)),r,p);
while abs(fcc)>=.000001
if fcc*faa<0
bbb=cc;
cc=(aaa+bbb)/2;
fbb=fff(bbb,xb(k,temp2(k)),yb(k,temp2(k)),ab(k,temp2(k)),r,p);
elseif fcc*fbb<0
aaa=cc;
cc=(bbb+aaa)/2;
faa=fff(aaa,xb(k,temp2(k)),yb(k,temp2(k)),ab(k,temp2(k)),r,p);
else
disp('Bottom of cylinder not reached');
break;
end
end
yb(k,temp2(k)+1)=cc;
xb(k,temp2(k)+1)=sqrt(r*r-(cc+r-p)^2);
ab(k,temp2(k)+1)=atan((cc+r-p)/xb(k,temp2(k)+1));
subb(k,temp2(k)+1)=su0+su1*yb(k,temp2(k)+1);
fb(k,temp2(k)+1)=fb(k,temp2(k))+2*(subb(k,temp2(k))/2+...
subb(k,temp2(k)+1)/2)*(ab(k,temp2(k)+1)-ab(k,temp2(k)))-...
su1*(xb(k,temp2(k)+1)-xb(k,temp2(k)));
ff(k)=fb(k,temp2(k)+1)+subb(k,temp2(k)+1);
% Plot alpha characteristics

figure(1)
hold on;
axis equal;
plot(xb(k,:),-yb(k,:))
% Progress to the next alpha characteristics

for j=1:temp2(k)+1
xa(k+1,j)=xb(k,j);
ya(k+1,j)=yb(k,j);
aa(k+1,j)=ab(k,j);
fa(k+1,j)=fb(k,j);
suaa(k+1,j)=subb(k,j);
end
end
% Calculate collapse load

f1=ff(1)*sin(ab(1,temp2(1)+1))*r*(ab(1,temp2(1)+1)-aa(1,21));
for i=1:temp3-1
f1=f1+ff(i+1)*sin(ab(i+1,temp2(i+1)+1))*...
155
(ab(i+1,temp2(i+1)+1)-ab(i,temp2(i)+1));
end
f2=fa(1,21)*sin(aa(1,21))*r*(ab(1,temp2(1)+1)-aa(1,21));
for i=1:temp3-1
f2=f2+ff(i)*sin(ab(i,temp2(i)+1))*(ab(i+1,temp2(i+1)+1)-...
ab(i,temp2(i)+1));
end
f=(f1+f2)/2;
% Normalize by the soil strength at the bottom of cylinder

cavg=su0+su1*p;
disp(' ');
disp('Normalized collapse load');
fv=2*f/2/r/cavg
% Plot beta characteristics

for k=1:temp3-1
for j=1:temp2(k)+1
xx(1)=xb(k,j);
yy(1)=yb(k,j);
xx(2)=xb(k+1,j+1);
yy(2)=yb(k+1,j+1);
figure(1)
hold on;
plot(xx,-yy);
end
end
xs(1)=xa(1,1);
ys(1)=ya(1,1);
xs(2)=xb(1,2);
ys(2)=yb(1,2);
figure(1)
hold on;
plot(xs,-ys);
% Plot cylinder
yp=linspace(-p,2-p,100);
for i=1:100
xp(i)=sqrt(r*r-(yp(i)-r+p)^2);
end
figure(1);
hold on;
axis equal;
plot(xp,yp);
% Plot free surface

x00=sqrt(r*r-(r-p)^2);
xh=linspace(x00,2.8,100);
yh(1:100)=0;
figure(1)
hold on;
plot(xh,yh)
axis([0,2.8,-2,2]);
156
function[f]=fff(y,xc,yc,ac,r,p)
x=sqrt(r*r-(y+r-p)^2);
af=atan((y+r-p)/x);
f=yc+(x-xc)*tan((atan((y+r-p)/x)+ac)/2-pi/4)-y;
157
APPENDIX B
MATLAB PROGRAM: RH_CYLINDER

158
% Program for modified Randolph-Houlsby upperbound for cylinder

%penetration with linearly increasing strength
clear;
% Input data
delta=input('Enter the adhesion angle(0~pi/2): ');
%note: enter pi/2-0.000001 for pi/2 to avoid singularity
r0=1;
ksai=pi/4-delta/2;
v0=1;
if eta==-1
su0=0;
su1=1;
else
su0=1;
su1=eta*su0/2/r0;
end
if p>r0
omega=0;
else
omega=asin((r0-p)/r0);
end
% Interface AF
if p<=r0
a1=r0*cos(delta/2)-r0*sin(omega);
b1=r0*cos(delta/2)-r0*sin(omega)+r0*sin(delta/2);
elseif p>r0
a1=p-r0+r0*cos(delta/2);
b1=p-r0+r0*cos(delta/2)+r0*sin(delta/2);
end
w(1)=su0*v0*(b1-a1)+su1*v0*(b1*b1-a1*a1)/2;
% Interface ABC
w(2)=intABC(ksai,v0,r0,su0,su1,delta,omega,pi/2-delta/2,p,omega);
% Interface CDE
rr1=r0*(sqrt(2)*sin(delta/2)+(pi/2-delta/2-omega)*cos(ksai));
if p<=r0
w(3)=v0*su0/sqrt(2)*rr1*(delta/2+omega+pi/4)+...
su1*rr1*rr1*v0/sqrt(2)*(1-cos(pi/4+delta/2+omega));
else
w(3)=v0*su0/sqrt(2)*rr1*(delta/2+omega+pi/4)+su1*(p-r0)*...
v0/sqrt(2)*rr1*(delta/2+omega+pi/4)+su1*rr1*rr1*v0/...
sqrt(2)*(1-cos(pi/4+delta/2+omega));
end
% Interface FGH
w(4)=intFGH(ksai,v0,r0,su0,su1,delta,omega,pi/2-delta/2,p,omega);
159
% Interface HIJ
rr2=r0*(pi/2-delta/2-omega)*cos(ksai);
vt=v0*cos(delta/2)/cos(ksai)-v0/sqrt(2);
if p<=r0
w(5)=vt*su0*rr2*(delta/2+omega+pi/4)+su1*rr2*rr2*vt*...
(1-cos(pi/4+delta/2+omega));
else
w(5)=vt*su0*rr2*(delta/2+omega+pi/4)+vt*su1*(p-r0)*rr2*...
(delta/2+omega+pi/4)+su1*rr2*rr2*vt*(1-...
cos(pi/4+delta/2+omega));
end
% Interface FKQ
w(6)=int1(ksai,v0,r0,su0,su1,delta,omega,pi/2-delta/2,p,omega);
% Region ABCHGF
w(7)=dblint1(ksai,v0,r0,su0,su1,omega,pi/2-delta/2,delta,p,omega);
% Region CDEJIH
r3=r0*(pi/2-delta/2-omega)*cos(ksai);
r4=r0*(sqrt(2)*sin(delta/2)+(pi/2-delta/2-omega)*cos(ksai));
w(8)=dblint4(ksai,v0,r0,su0,su1,0,pi/4+delta/2+omega,r3,r4,p,1);
% Region FGHQK
w(9)=dblint2(ksai,v0,r0,su0,su1,omega,pi/2-delta/2,p,omega);
% Region HIJQ
w(10)=dblint3(ksai,v0,r0,su0,su1,omega,pi/2-delta/2,0,pi/4+...
delta/2+omega,omega,p,1);
if (p>r0&p<=r3+r0)
% Region EOMJ
beta1=asin((p-r0)/r4);
w(11)=dblint4(ksai,v0,r0,su0,su1,0,beta1,r3,r4,p,2);
% Region OMN
w(12)=dblint5(ksai,v0,r0,su0,su1,beta1,beta2,delta,omega,p);
% Region JNQ
w(13)=dblint3(ksai,v0,r0,su0,su1,omega,pi/2-delta/2,0,beta2,omega,p,2);
% Region NQP
w(14)=dblint6(ksai,v0,r0,su0,su1,beta2,pi/2,omega,p);
% Interface EO
w(15)=(su0+su1*(p-r0))*v0/sqrt(2)*r23*beta1+su1*r23*r23*v0/...
sqrt(2)*(cos(beta1)-1);
160
% Interface JMN
w(16)=(su0+su1*(p-r0))*vt*r15*beta2+su1*r15*r15*vt*(cos(beta2)-1);
elseif (p>r3+r0&p<r4+r0)
% Region EOMJ
w(11)=dblint4(ksai,v0,r0,su0,su1,0,beta1,r3,r4,p,2);
% Region OMN
w(12)=dblint5(ksai,v0,r0,su0,su1,beta1,pi/2,delta,omega,p);
% Region JNQ
w(13)=dblint3(ksai,v0,r0,su0,su1,omega,pi/2-delta/2,0,pi/2,omega,p,2);
% Interface EO
w(14)=(su0+su1*(p-r0))*v0/sqrt(2)*r23*beta1+su1*r23*r23*v0/...
sqrt(2)*(cos(beta1)-1);
% Interface JMN
w(15)=(su0+su1*(p-r0))*vt*r15*pi/2+su1*r15*r15*vt*(cos(pi/2)-1);
elseif p>=r4+r0
% Region EOMJ
w(11)=dblint4(ksai,v0,r0,su0,su1,0,pi/2,r3,r4,p,2);
% Region JNQ
w(12)=dblint3(ksai,v0,r0,su0,su1,omega,pi/2-delta/2,0,pi/2,omega,p,2);
% Interface EO
w(13)=(su0+su1*(p-r0))*v0/sqrt(2)*r23*pi/2+su1*r23*r23*v0/...
sqrt(2)*(cos(pi/2)-1);
% Interface JMN
w(14)=(su0+su1*(p-r0))*vt*r15*pi/2+su1*r15*r15*vt*(cos(pi/2)-1);
end

fv=2*sum(w(:))/v0;
cp=su0+su1*p;
disp(' ');
disp('Normalized collapse load: ');
fv=fv/2/r0/cp
161
% Integration function for interface ABC

function[sum2]=intABC(ksai,v0,r0,su0,su1,delta,a,b,p,omega)
sum2=0;
xsum=0;
d=(b-a)/100;
for theta2=a:d:b
xsum=xsum+1;
if p<=r0
z=r0*sin(theta2)-r0*sin(omega)+cos(theta2-omega)*(r0*...
sqrt(2)*sin(delta/2)+r0*(pi/2-delta/2-theta2)*cos(ksai));
elseif p>r0
z=p-r0+r0*sin(theta2)+cos(theta2-omega)*(r0*sqrt(2)*...
sin(delta/2)+r0*(pi/2-delta/2-theta2)*cos(ksai));
end
c2=su0+su1*z;
v2=v0/sqrt(2);
w(xsum)=c2*v0/sqrt(2)*r0*(sqrt(2)*sin(delta/2)+sin(ksai)+...
(pi/2-delta/2-theta2)*cos(ksai));
end
for i=1:xsum
sum2=sum2+w(i)*d;
end
sum2=sum2-w(1)*d/2-w(xsum)*d/2;
162
% Integration function for interface FGH

function[sum2]=intFGH(ksai,v0,r0,su0,su1,delta,a,b,p,omega)
sum2=0;
xsum=0;
d=(b-a)/100;
for theta2=a:d:b
xsum=xsum+1;
if p<=r0
z=r0*sin(theta2)-r0*sin(omega)+cos(theta2-omega)*r0*...
(pi/2-delta/2-theta2)*cos(ksai);
elseif p>r0
z=p-r0+r0*sin(theta2)+cos(theta2-omega)*r0*(pi/2-...
delta/2-theta2)*cos(ksai);
end
c3=su0+su1*z;
w(xsum)=c3*vt*r0*(sin(ksai)+(pi/2-delta/2-theta2)*cos(ksai));
end
for i=1:xsum
sum2=sum2+w(i)*d;
end
163
% Integration function for region FKQ

function[sum2]=int1(ksai,v0,r0,su0,su1,delta,a,b,p,omega)
sum2=0;
xsum=0;
d=(b-a)/100;
for theta1=a:d:b
xsum=xsum+1;
if p<=r0
z=r0*sin(theta1)-r0*sin(omega);
elseif p>r0
z=r0*sin(theta1)+p-r0;
end
c3=su0+su1*z;
v3=v0*(cos(theta1)+sin(theta1)*tan(ksai));
w(xsum)=c3*sin(delta)*v3*r0;
end
for i=1:xsum
sum2=sum2+w(i)*d;
end
164
% Integration function for region ABCHGF

function[sum2]=dblint1(ksai,v0,r0,su0,su1,a,b,delta,p,omega)
xsum=0;
sum2=0;
d1=(b-a)/100;
for theta2=a:d1:b
xsum=xsum+1;
ysum=0;
c=r0*(sin(ksai)+(pi/2-delta/2-theta2)*cos(ksai));
d=r0*(sqrt(2)*sin(delta/2)+sin(ksai)+(pi/2-delta/2-theta2)...
*cos(ksai));
d2=(d-c)/100;
if c==d
for ysum=1:101
w(xsum,ysum)=0;
end
else
for r=c:d2:d
ysum=ysum+1;
if p<=r0
z=r0*sin(theta2)-r0*sin(omega)+(r-r0*sin(ksai))...
*cos(theta2-ksai);
elseif p>r0
z=p-r0+r0*sin(theta2)+(r-r0*sin(ksai))*cos(theta2-ksai);
end
c4=su0+su1*z;
g1=v0/r/sqrt(2);
w(xsum,ysum)=c4*v0/r/sqrt(2)*r;
end
end
end
for i=1:xsum
sum1(i)=0;
for j=1:ysum
sum1(i)=sum1(i)+w(i,j)*d2;
end
sum1(i)=sum1(i)-w(i,1)*d2/2-w(i,ysum)*d2/2;
sum2=sum2+sum1(i)*d1;
end
sum2=sum2-sum1(1)*d1/2-sum1(xsum)*d1/2;
165
% Integration function for region FGHQK

function[sum2]=dblint2(ksai,v0,r0,su0,su1,a,b,p,omega)
xsum=0;
sum2=0;
d1=(b-a)/100;
for theta1=a:d1:b
xsum=xsum+1;
ysum(xsum)=0;
for theta2=a:d1:theta1
ysum(xsum)=ysum(xsum)+1;
rr=r0*(sin(ksai)+(theta1-theta2)*cos(ksai));
if p<=r0
z=r0*sin(theta2)-r0*sin(omega)+(rr-r0*sin(ksai))...
*cos(theta2-ksai);
elseif p>r0
z=r0*sin(theta2)+p-r0+(rr-r0*sin(ksai))*cos(theta2-ksai);
end
c5=su0+su1*z;
g2=v0*sin(theta1)/rr/cos(ksai)-v0*cos(theta1)/r0/...
cos(ksai)/cos(ksai);
w(xsum,ysum(xsum))=abs(c5*g2*rr*r0*cos(ksai));
end
end
for i=1:xsum
sum1(i)=0;
for j=1:ysum(i)
end
sum1(i)=sum1(i)-w(i,1)*d1/2-w(i,ysum(i))*d1/2;
end
166
% Integration function for region HIJQ and JNQ

function[sum2]=dblint3(ksai,v0,r0,su0,su1,a,b,c,d,omega,p,flg)
xsum=0;
sum2=0;
if (a==b|c==d)
sum2=0;
else
d1=(b-a-.000001)/100;
for theta1=a+.000001:d1:b
xsum=xsum+1;
ysum=0;
d2=(d-c)/100;
for theta3=c:d2:d
ysum=ysum+1;
r=r0*(theta1-omega)*cos(ksai);
if flg==1
if p<=r0
z=r*sin(theta3);
elseif p>r0
z=p-r0+r*sin(theta3);
end
elseif flg==2
z=p-r0-r*sin(theta3);
end
c6=su0+su1*z;
g3=v0*sin(theta1)/r/cos(ksai)-v0*cos(theta1)/r0/...
w(xsum,ysum)=c6*g3*r*r0*cos(ksai);
end
end
for i=1:xsum
sum1(i)=0;
for j=1:ysum
end
end
end
167
% Integration function for region CDEJIH and EOMJ

function[sum2]=dblint4(ksai,v0,r0,su0,su1,a,b,c,d,p,flag)
xsum=0;
sum2=0;
d1=(b-a)/100;
if (a==b|c==d)
sum2=0;
else
for theta3=a:d1:b
xsum=xsum+1;
ysum=0;
d2=(d-c)/100;
for r=c:d2:d
ysum=ysum+1;
if flag==1
if p<=r0
z=r*sin(theta3);
elseif p>r0
z=p-r0+r*sin(theta3);
end
elseif flag==2
end
c4=su0+su1*z;
g1=v0/r/sqrt(2);
end
end
for i=1:xsum
sum1(i)=0;
for j=1:ysum
end
end
end
168
% Integration function for region OMN

function[sum2]=dblint5(ksai,v0,r0,su0,su1,a,b,delta,omega,p)
xsum=0;
sum2=0;
sum1(1:101)=0;
d1=(b-a)/100;
if a==b
sum2=0;
else
for theta3=a:d1:b
c=r0*(pi/2-delta/2-omega)*cos(ksai);
d=(p-r0)/sin(theta3);
d2=(d-c)/100;
if c==d
break;
end
xsum=xsum+1;
ysum=0;
for r=c:d2:d
ysum=ysum+1;
c4=su0+su1*z;
g1=v0/r/sqrt(2);
sum1(xsum)=sum1(xsum)+w(xsum,ysum)*d2;
end
sum1(xsum)=sum1(xsum)-w(xsum,1)*d2/2-w(xsum,ysum)*d2/2;
sum2=sum2+sum1(xsum)*d1;
end
end
169
% Integration function for region NQP

function[sum2]=dblint6(ksai,v0,r0,su0,su1,a,b,omega,p)
xsum=0;
sum2=0;
sum1(1:101)=0;
d1=(b-a)/100;
for theta3=a:d1:b
xsum=xsum+1;
ysum=0;
c=0;
d=(p-r0)/sin(theta3);
d2=(d-c)/100;
for r=c+.000001:d2:d
ysum=ysum+1;
theta1=r/r0/cos(ksai);
c6=su0+su1*z;
g3=v0*sin(theta1)/r/cos(ksai)-v0*cos(theta1)/r0/...
w(xsum,ysum)=c6*g3*r;
sum1(xsum)=sum1(xsum)+w(xsum,ysum)*d2;
end
sum1(xsum)=sum1(xsum)-w(xsum,1)*d2/2-w(xsum,ysum)*d2/2;
sum2=sum2+sum1(xsum)*d1;
end
170
APPENDIX C
MATLAB PROGRAM: CU_CYLINDER∗
∗
Functions are the same as defined in Appendix B.
171
% Program for modified consistent upperbound for cylinder penetration

%with linearly increasing strength
clear;
% Input data
delta=input('Enter the adhesion angle(0~pi/2): ');
%note: enter pi/2-0.000001 for pi/2 to avoid singularity
r0=1;
ksai=pi/4-delta/2;
omega=asin((r0-p)/r0);
v0=1;
if eta==-1
su0=0;
su1=1;
else
su0=1;
su1=eta*su0/2/r0;
end
% Interface AF
a1=r0*cos(delta/2)-r0*sin(omega);
b1=r0*cos(delta/2)-r0*sin(omega)+r0*sin(delta/2);
w(1)=su0*v0*(b1-a1)+su1*v0*(b1*b1-a1*a1)/2;
% Interface ABC
w(2)=intABC(ksai,v0,r0,su0,su1,delta,omega,pi/2-delta/2,p,omega);
% Interface CD
rr1=r0*(sqrt(2)*sin(delta/2)+(pi/2-delta/2-omega)*cos(ksai));
w(3)=v0*su0/sqrt(2)*rr1*(delta/2+omega)+su1*rr1*rr1*v0/sqrt(2)*...
(sqrt(2)/2-cos(pi/4+delta/2+omega));
% Interface DE
w(4)=v0/sqrt(2)*su0*rr1+v0*su1*rr1*rr1/4;
% Interface FGH
w(5)=intFGH(ksai,v0,r0,su0,su1,delta,omega,pi/2-delta/2,p,omega);
% Interface HI
rr2=r0*(pi/2-delta/2-omega)*cos(ksai);
w(6)=vt*su0*rr2*(delta/2+omega)+su1*rr2*rr2*vt*(sqrt(2)/2-...
cos(pi/4+delta/2+omega));
% Interface IJ
w(7)=su0*vt*rr2+su1*vt*sqrt(2)*rr2*rr2/4;
% Interface FKQ
w(8)=int1(ksai,v0,r0,su0,su1,delta,omega,pi/2-delta/2,p,omega);
172
% Region ABCHGF
w(9)=dblint1(ksai,v0,r0,su0,su1,omega,pi/2-delta/2,delta,p,omega);
% Region CDIH
w(10)=dblint4(ksai,v0,r0,su0,su1,pi/4,pi/4+delta/2+omega,r3,r4,p,1);
% Region FGHQK
w(11)=dblint2(ksai,v0,r0,su0,su1,omega,pi/2-delta/2,p,omega);
% Region HIQ
w(12)=dblint3(ksai,v0,r0,su0,su1,omega,pi/2-delta/2,pi/4,pi/4+...
delta/2+omega,omega,p,1);
% Region IJQ
w(13)=v0*su0*r0*(sin(delta/2)+(pi/2-delta/2-omega)*cos(delta/2)-...
cos(omega))+sqrt(2)/4*v0*su1*r0*r0*cos(ksai)*(rr2*rr2*...
sin(rr2)-2*sin(rr2)+2*rr2*cos(rr2)-2*omega*cos(rr2)-...
2*omega*rr2*sin(rr2)+omega^2*sin(rr2)+2*omega);

fv=2*sum(w(:))/v0;
cp=su0+su1*p;
disp(' ');
disp('Normalized collapse load: ');
fv=fv/2/r0/cp
.
173
APPENDIX D
MATLAB PROGRAM: MINE_BURIAL

174
% Accounts for:
% buoyancy
% variable soil strengh profile
% strain rate effects
% soil-cylinder adhesion
% open trench
clear all
% Inputs
srr=input('Enter soil resistance ratio ');
v0=input('Enter impact velocity ratio ');
gamma=input('Enter soil unit weight ratio ');
epsref=input('Enter reference normalized strain rate ');
lambda=input('Enter strain rate multiplier ');
dt=input('Enter dimensionless time increment ');
alpha=input('Enter adhesion factor ');
eta=input('Enter strength ratio(-1 for infinity) ');
% Initialize
h=0;
v=v0;
% For loop for penetration process
for i=1:1000000
if eta==0
if alpha==0
if h<=0.5
fs=srr*10^0.7341*h^0.2881;
else
fs=srr*10^0.7122*h^0.2077;
end
elseif alpha==1
if h<=0.5
fs=srr*10^0.87*h^0.3703;
else
fs=srr*10^0.802*h^0.1551;
end
else
if h<=0.5
fs=srr*10^0.7341*h^0.2881+alpha*(srr*10^0.87*h^0.3703-...
srr*10^0.7341*h^0.2881);
else
fs=srr*10^0.7122*h^0.2077+alpha*(srr*10^0.802*h^0.1551-...
srr*10^0.7122*h^0.2077);
end
end
elseif eta==-1
if alpha==0
if h<=0.5
fs=srr*10^0.6478*h^1.1707;
else
fs=srr*10^0.6649*h^1.2086;
end
elseif alpha==1
if h<=0.5
175
fs=srr*10^0.7797*h^1.2042;
else
fs=srr*10^0.7745*h^1.1527;
end
else
if h<=0.5
fs=srr*10^0.6478*h^1.1707+alpha*(srr*10^0.7797*h^1.2042...
-srr*10^0.6478*h^1.1707);
else
fs=srr*10^0.6649*h^1.2086+alpha*(srr*10^0.7745*h^1.1527...
-srr*10^0.6649*h^1.2086);
end
end
else
if alpha==0
if h<=0.5
fs=srr*10^0.6962*h^0.235*(1+eta*h);
else
fs=srr*10^0.6885*h^0.2081*(1+eta*h);
end
elseif alpha==1
if h<=0.5
fs=srr*10^0.8282*h^0.2914*(1+eta*h);
else
fs=srr*10^0.7883*h^0.1539*(1+eta*h);
end
else
if h<=0.5
fs=srr*10^0.6962*h^0.235*(1+eta*h)+alpha*(srr*10^0.8282...
*h^0.2914*(1+eta*h)-srr*10^0.6962*h^0.235*(1+eta*h));
else
fs=srr*10^0.6885*h^0.2081*(1+eta*h)+alpha*(srr*...
10^0.7883*h^0.1539*(1+eta*h)-srr*10^0.6885*...
h^0.2081*(1+eta*h));
end
end
end
if h<0.5
fb=gamma*(.25*acos(1-2*h)-(.5-h)*sqrt(h-h^2));
end
if h>=0.5
fb=gamma*(pi/8+h-.5);
end
% Strain rate correction
if v<=epsref
src=1;
else
src=1+lambda*log10(v/epsref);
end;
fs=fs*src;
% Acceleration (assumed constant in time increment)
a=1-fs-fb;
% Velocity at end of time increment
ve=v+a*dt;
176
% Check for zero velocity

if ve<=0
dt=-v/a;
vavg=v/2;
hmax=h+vavg*dt
break;
end
% Average velocity in time increment
vavg=(v+ve)/2;
% Update velocity and penetration
v=ve;
h=h+vavg*dt;
end
% Inputs:
%Soil resistance ratio= c*A/W for uniform case (eta=0), A=projected
% mine area, W=mine weight, c=soil strength
% = c1*d*A/W for linear increasing strength case
% (eta=Inf.). c1=strength gradient, c0=soil
% strength at ground surface, d=mine diameter
% = c0*A/W for general stength profile (0<eta<Inf.)
%Impact velocity ratio= v0/(g*d)^1/2, v0=impact velocity
% g=gravitational acceleration
%Soil unit weight ratio= gamma*A*d/W, gamma=soil unit weight
%Threshold normalized strain rate= e0/sqrt(g/d), e0=threshold strain
% rate
%Strain rate multiplier
%Dimensionless time increment (recommended: 0.001)
%Adhesion factor = 0~1
%Strength ratio = c1*d/c0
177
APPENDIX E
MATLAB PROGRAM: XBP_SOFTCLAY

178
% XBP Interpretation
% Units: kg, cm
clear all
% Inputs
v0=input('enter impact velocity, cm/s ');
gamma=input('enter soil buoyant unit weight, kg/cm^3 ');
load mmt.dat; %XBP measurements
t=mmt(:,1); %Time, msec, start from t=0
h=mmt(:,2); %Depth, cm, start from h=0
a=-mmt(:,3); %Deceleration, g
nt=length(t);
epsref=1.39/10000000; %Reference strain rate: 0.05%/hr
lambda=0.15; %Strain rate multiplier
dt=0.5/1000; %Time increment
d=5.0673; %Diameter of XBP,cm
W=0.544; %Weight of XBP,kg
h=h/d;
% Initialize
v(1)=v0;
x=[0,0.0195,0.059,0.1185,0.217,0.3155,0.4145,0.513,0.6115,0.7105,...
0.809,0.9075,1.0065,1.105,1.2035];
%x is the depth used for interpolation
y=[0,0.1999,0.9649,2.6597,6.5165,11.6255,17.7709,24.8164,32.7174,...
41.2456,50.2374,59.6665,69.3861,79.3021,89.3526];
%y is the volume of soil displaced by XBP corresponding to x
% For loop for penetration process
for i=1:nt
if h(i)<=1.2035
svol=interp1(x,y,h(i));
fb(i)=gamma*svol/W;
fs(i)=1-fb(i)-a(i);
end
if h(i)>1.2035
svol=89.3526+pi*d*d/4*(h(i)-1.2035)*d;
fb(i)=gamma*svol/W;
fs(i)=1-fb(i)-a(i);
end
% Strain rate correction
src=1;
if v(i)>epsref*d
src=1+lambda*log10(v(i)/epsref/d);
end;
fs1(i)=fs(i)/src;
if h(i)<=1.2035&h(i)>0
su(i)=fs1(i)*W/(pi*d*d/4)/(10^0.932*(h(i)^0.756))*100/1.0197;
end
if h(i)>1.2035
su(i)=fs1(i)*W/(pi*d*d/4)/(10^0.9822*(h(i)^0.2102))*100/1.0197;
end
if i>1
su02(i-1)=su(i)*(1+lambda*log10(0.0224/epsref));
end
179
if i==nt
break;
else
v(i+1)=v(i)+[a(i)+a(i+1)]/2*981*dt;
end
end
h02=h(2:nt);
plot(su02,h02*d);
set(gca,'YDir','reverse');
ylabel('Depth (cm)','FontSize',12,'FontWeight','Demi');
xlabel ('Soil Strength (kPa)','FontSize',12,'FontWeight','Demi');
title('Soil Strength Profile','FontSize',14,'FontWeight','Demi');
180
APPENDIX F
A TYPICAL ABAQUS INPUT FILE (GENERATED BY ABAQUS CAE)

181
*Heading
** Job name: fr04 Model name: Model-1
*Preprint, echo=NO, model=NO, history=NO, contact=NO
**
** PARTS
**
*Part, name=Part-1
*End Part
**
** ASSEMBLY
**
*Assembly, name=Assembly
**
*Instance, name=Part-1-1, part=Part-1
*Node
1, 0., -10.
2, 0., -100.
3, 100., -100.
6248, 3.895229, -12.94132

6249, 4.252222, -13.79167
6250, 4.176704, -13.55151
*Element, type=CPE4
1, 959, 742, 743, 960
2, 620, 619, 378, 379
3, 612, 627, 936, 626
6057, 6240, 5276, 5316, 5432

6058, 6243, 5782, 5760, 5637
6059, 6248, 6246, 5645, 5614
** Region: (Section-1:Picked)
*Elset, elset=_PickedSet2, internal, generate
1, 6059, 1
** Section: Section-1
*Solid Section, elset=_PickedSet2, material=Material-1
1.,
*End Instance
*Nset, nset=Set-1, instance=Part-1-1
1, 5, 6, 7, 8, 292, 293, 294, 295, 296, 297, 298, 299, 300, 301, 302
303, 304, 305, 306, 307, 308, 309, 310, 311, 312, 313, 314, 315, 316, 317, 318
319, 320, 321, 322, 323, 324, 325, 326, 327, 328, 329, 330, 331, 332, 333, 334
335, 336, 337, 338, 339, 340, 341, 342, 343, 344, 345, 346, 347, 348, 349, 350
351, 352, 353, 354, 355, 356, 357, 358, 359, 360, 361, 362, 363, 364, 365, 366
367, 368, 369, 370, 371, 372, 373, 374, 375, 376, 377, 378, 379, 380
182
*Elset, elset=Set-1, instance=Part-1-1

2, 4, 6, 7, 9, 10, 12, 14, 16, 17, 19, 21, 24, 25, 26, 31
38, 41, 43, 44, 228, 229, 233, 234, 235, 237, 242, 243, 246, 249, 250, 251
253, 257, 259, 261, 262, 263, 264, 265, 266, 267, 268, 270, 271, 272, 273, 279
280, 283, 285, 287, 289, 291, 292, 295, 296, 297, 300, 301, 303, 305, 306, 309
310, 312, 480, 482, 485, 490, 491, 492, 500, 502, 503, 529, 531, 533, 537, 539
541, 544, 547, 553, 557, 560, 563, 565, 567, 573, 585, 698, 811
*Nset, nset=_PickedSet5, internal, instance=Part-1-1
1, 2, 9, 10, 11, 12, 13, 14, 15, 16, 17, 18, 19, 20, 21, 22
23, 24, 25, 26, 27, 28, 29, 30, 31, 32, 33, 34, 35, 36, 37, 38
39, 40, 41, 42, 43, 44, 45, 46, 47, 48, 49, 50, 51, 52, 53, 54
55, 56, 57, 58, 59, 60, 61, 62, 63, 64, 65, 66, 67, 68, 69, 70
71, 72, 73, 74, 75, 76, 77, 78, 79, 80, 81, 82, 83, 84, 85, 86
87, 88, 89, 90, 91, 92, 93, 94, 95, 96, 97, 98, 99, 100, 101, 102
103, 104, 105, 106, 107, 108, 109, 110, 111, 112, 113, 114, 115, 116, 117, 118
119, 120, 121, 122, 123, 124, 125, 126, 127, 128, 129, 130, 131, 132, 133, 134
135, 136, 137, 138, 139, 140, 141, 142, 143, 144, 145, 146, 147, 148, 149, 150
151, 152, 153, 154, 155, 156, 157, 158, 159, 160, 161, 162, 163, 164, 165, 166
167, 168, 169, 170, 171
*Elset, elset=_PickedSet5, internal, instance=Part-1-1
5, 8, 18, 29, 30, 32, 35, 36, 37, 39, 40, 46, 47, 54, 58, 60
63, 64, 67, 68, 70, 71, 72, 73, 74, 75, 76, 78, 80, 81, 82, 83
84, 87, 90, 91, 93, 97, 108, 109, 110, 111, 112, 113, 114, 116, 118, 120
122, 123, 124, 130, 134, 151, 152, 155, 158, 159, 163, 184, 186, 187, 188, 197
201, 203, 204, 207, 208, 209, 211, 212, 213, 215, 216, 217, 219, 220, 221, 223
225, 269, 274, 276, 284, 288, 304, 305, 307, 308, 318, 333, 335, 337, 339, 341
343, 347, 349, 352, 353, 355, 359, 360, 364, 366, 367, 369, 371, 373, 375, 376
378, 379, 383, 384, 415, 421, 427, 428, 431, 436, 438, 439, 442, 453, 460, 463
468, 471, 543, 545, 548, 549, 551, 552, 554, 558, 559, 566, 569, 570, 571, 576
582, 587, 595, 597, 600, 604, 610, 615, 659, 670, 671, 697, 702, 703, 857, 862
866, 873, 906, 907
3, 4, 205, 206, 207, 208, 209, 210, 211, 212, 213, 214, 215, 216, 217, 218
219, 220, 221, 222
101, 103, 105, 173, 177, 179, 180, 182, 183, 192, 193, 322, 327, 403, 408,
424
623, 709, 1055
2, 3, 172, 173, 174, 175, 176, 177, 178, 179, 180, 181, 182, 183, 184, 185
186, 187, 188, 189, 190, 191, 192, 193, 194, 195, 196, 197, 198, 199, 200, 201
202, 203, 204
102, 125, 127, 129, 131, 136, 140, 141, 144, 145, 147, 149, 150, 152, 156, 161
183
162, 164, 165, 168, 174, 176, 178, 180, 181, 323, 324, 326, 368, 374, 382, 390
393, 405
1, 5, 6, 7, 8, 292, 293, 294, 295, 296, 297, 298, 299, 300, 301, 302
303, 304, 305, 306, 307, 308, 309, 310, 311, 312, 313, 314, 315, 316, 317, 318
319, 320, 321, 322, 323, 324, 325, 326, 327, 328, 329, 330, 331, 332, 333, 334
335, 336, 337, 338, 339, 340, 341, 342, 343, 344, 345, 346, 347, 348, 349, 350
351, 352, 353, 354, 355, 356, 357, 358, 359, 360, 361, 362, 363, 364, 365, 366
367, 368, 369, 370, 371, 372, 373, 374, 375, 376, 377, 378, 379, 380
2, 4, 6, 7, 9, 10, 12, 14, 16, 17, 19, 21, 24, 25, 26, 31
38, 41, 43, 44, 228, 229, 233, 234, 235, 237, 242, 243, 246, 249, 250, 251
253, 257, 259, 261, 262, 263, 264, 265, 266, 267, 268, 270, 271, 272, 273, 279
280, 283, 285, 287, 289, 291, 292, 295, 296, 297, 300, 301, 303, 305, 306, 309
310, 312, 480, 482, 485, 490, 491, 492, 500, 502, 503, 529, 531, 533, 537, 539
541, 544, 547, 553, 557, 560, 563, 565, 567, 573, 585, 698, 811
*End Assembly
**
** MATERIALS
**
*Material, name=Material-1
*Elastic
5e+06, 0.499
*Plastic
400.,0.
**
** BOUNDARY CONDITIONS
**
** Name: BC-1 Type: Displacement/Rotation
*Boundary
_PickedSet5, 1, 1
*Boundary
_PickedSet6, 1, 1
*Boundary
_PickedSet7, 1, 1
_PickedSet7, 2, 2
** ----------------------------------------------------------------
**
** STEP: Step-1
**
*Step, name=Step-1
refined p/r=0.4
184
*Static
0.001, 1., 1e-05, 0.05
**
** BOUNDARY CONDITIONS
**
*Boundary
_PickedSet8, 1, 1
_PickedSet8, 2, 2, -0.5
**
** OUTPUT REQUESTS
**
*Restart, write, frequency=1
**
** FIELD OUTPUT: F-Output-1
**
*Output, field
*Node Output, nset=Set-1
COORD, RF, U
*Node Print, nset=Set-1
COORD, RF, U
**
** HISTORY OUTPUT: H-Output-1
**
*Output, history, variable=PRESELECT
*El Print, freq=999999
*Node Print, freq=999999
*End Step
185
VITA
Han Shi was born on August 9, 1975 in Huanggang, China. He received his
Bachelor of Science degree in Hydrogeology & Engineering Geology from China
University of Geosciences, Wuhan in July 1995. He received his Master of Science
degree in Hydrogeology & Engineering Geology from China University of Geosciences,
Wuhan in June 1998. His permanent address is: 93 D3 District, 202, Huazhong
University of Science & Technology, Wuhan, Hubei 430074, China.

Etd Tamu 2005B CVEN Shi

Uploaded by

Copyright:

Available Formats

Etd Tamu 2005B CVEN Shi

Uploaded by

Document Information

Original Title

Copyright

Available Formats

Share this document

Share or Embed Document

Sharing Options

Did you find this document useful?

Is this content inappropriate?

Copyright:

Available Formats

Etd Tamu 2005B CVEN Shi

Uploaded by

Copyright:

Available Formats

NUMERICAL SIMULATIONS AND PREDICTIVE MODELS OF UNDRAINED

PENETRATION IN SOFT SOILS

Submitted to the Office of Graduate Studies of

Major Subject: Civil Engineering

PENETRATION IN SOFT SOILS

Submitted to the Office of Graduate Studies of

Chair of Committee, Charles Aubeny

Major Subject: Civil Engineering

Numerical Simulations and Predictive Models of Undrained

Penetration in Soft Soils. (August 2005)

Han Shi, B.S., China University of Geosciences;

M.S., China University of Geosciences

Chair of Advisory Committee: Dr. Charles Aubeny

Bottom Penetrometer) interpretations. The cylinder studies firstly investigate the

independent finite element analyses of pre-embedded penetration depths, and validate

Comparisons to experimental results show reasonable agreement between model

predictions and measurements.

resistance as a function of penetration depth and velocity by finite element analyses.

compare favorably with experimental measurements by vane shear tests.

I would like to express my sincere gratitude to my advisor, Dr. Charles Aubeny,

and Dr. Harry Hogan for serving as the advisory committee.

enduring love and support.

ABSTRACT ..................................................................................................................... iii

TABLE OF CONTENTS ...................................................................................................v

LIST OF FIGURES........................................................................................................ viii

LIST OF TABLES ...........................................................................................................xii

1.1 Scope of Study ...........................................................................................1

2.1 Plasticity Concepts .....................................................................................7

III RATE-INDEPENDENT STUDIES ....................................................................49

3.1 Plastic Limit Analysis ..............................................................................49

3.1.2 Upper Bound Analysis for Variable Strength Profiles....................54

IV RATE-DEPENDENT STUDIES ........................................................................89

4.1 Rate-Dependent Strength Model ..............................................................89

V PREDICTIVE MODELS .................................................................................105

5.1 Penetration Studies.................................................................................105

VI CONCLUSIONS AND RECOMMENDATIONS ..........................................140

6.1 Conclusions ............................................................................................140

APPENDIX A MATLAB PROGRAM: MOC_CYLINDER .......................................151

APPENDIX B MATLAB PROGRAM: RH_CYLINDER ...........................................157

APPENDIX C MATLAB PROGRAM: CU_CYLINDER ...........................................170

APPENDIX D MATLAB PRGRAM: MINE_BURIAL ..............................................173

APPENDIX E MATLAB PROGRAM: XBP_SOFTCLAY ........................................177

APPENDIX F A TYPICAL ABAQUS INPUT FILE

1.2 Definition Sketch of Penetrating XBP (Aubeny and Shi, 2005b)......................4

2.1 Plastic Material Models......................................................................................8

2.2 Mohr’s Circle and Failure Condition (after Murff, 2003)................................10

2.3 Illustration of the Method of Characteristics....................................................13

2.4 Mapped Rectangular Grids of the Radial Fan (Murff, 2003)...........................16

2.6 Failure Mechanism Developed from MOC......................................................22

2.7 The Resultant Velocity along OA ....................................................................22

2.8 Examples of Characteristic Nets by Randolph and Houlsby (1984)................25

2.9 Solution for Cylindrical (T-bar) Penetrometer (Randolph et al., 2000)...........25

2.11 Upper Bound Models (Murff et al., 1989) .......................................................29

2.12 Comparison of Lower and Upper Bound Solutions

2.14 Normalized Shear Strength versus Strain Rate, CK0UC Tests,

2.17 Typical Time-Dependent Penetration for Non-Impact Tests

2.19 Typical XBP Field Record (Stoll et al., 2004) .................................................48

3.1 Boundary Condition for the Method of Characteristics ...................................51

3.2 Effect of Strength Gradient on Characteristics Solution