FOR THE NGTS PROJECT
DOC.NO. 20160154-02-R REV.NO. 0 / 2019-12-03
3URMHFW
Project title: Norwegian Geo-Test Sites (NGTS)
Document title: Laboratory procedures and standards for the NGTS project Document no.: 20160154-02-R
Date: 2019-12-03
Revision no. /rev. date: 0
&OLHQW
Client: RCN
Client contact person: Herman Fabrot Contract reference:
IRU1*,
Project manager: Jean-Sebastien L'Heureux
Prepared by: Ragnhild Christin Hansen, Morten Andreas Sjursen, Nouri El Hadj, Anatoly Sinitsyn, Arne Instanes and Karl Ivar Volden Kvisvik Reviewed by: Tom Lunne, Ørjan Nerland, Priscilla Paniagua
6XPPDU\
7KLVUHSRUWJLYHVDQ RYHUYLHZRIWKHODERUDWRU\WHVWLQJSURFHGXUHVXVHGLQ WKH1*76 SURMHFW
&RQWHQWV
1 Introduction 4
2 Laboratory testing procedures 5
2.1 Index and chemical tests 5
2.2 Maximum and minimum density of sand 11
2.3 Direct simple shear test ASTM 6528 12
2.4 Triaxial testing (CAUc and CAUe) 14
2.5 Consolidation tests 18
2.6 Permeability test 19
2.7 Gmax with bender elements 20
2.8 Specimen preparation 21
2.9 Laboratory testing procedures for frozen soils 21
3 References 25
$SSHQGL[
Appendix A Comparison of consolidation procedures
5HYLHZDQGUHIHUHQFHSDJH
,QWURGXFWLRQ
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
7RHQVXUHTXDOLW\RIWKHGDWDJHQHUDWHGLQWKHSURMHFWDQGWRHQVXUHDVPXFKXQLIRUPLW\
RIWKHUHVXOWVDVSRVVLEOHLWLVLPSRUWDQWWKDWDOOSDUWQHUVSHUIRUPLQJZRUNDWWKHVLWHV IROORZWKHVDPHWHVWSURFHGXUHVDQGVWDQGDUGV
7KHSUHVHQWUHSRUWJLYHVDQRYHUYLHZRIWKHPDLQODERUDWRU\WHVWLQJPHWKRGVDQGWHFK QLTXHV WR EH XVHG LQ WKH 1*76 SURMHFW /DERUDWRU\ WHVWV RQ WKH 1*76 VLWHV VKDOO EH SHUIRUPHGDFFRUGLQJWRWKHUHIHUHQFHGVWDQGDUGVDQGUHTXLUHPHQWVOLVWHGLQWKHSUHVHQW UHSRUW
/DERUDWRU\WHVWLQJSURFHGXUHV ,QGH[DQGFKHPLFDOWHVWV
0HWKRGRYHUYLHZ1$6
7\SHRIWHVW±PHDVXULQJSULQFLSOHWHFKQLTXHLQVWUXPHQW 7HVWPDWHULDO 0HWKRGUHIHUHQFH
'HWHUPLQDWLRQRIZDWHUFRQWHQW VRLO 16(1,62
'HWHUPLQDWLRQRIOLTXLGOLPLW FOD\ 16
'HWHUPLQDWLRQRISODVWLFOLPLW FOD\ 16
'HWHUPLQDWLRQRISHUFXVVLRQOLTXLGOLPLW FOD\ 16
'HWHUPLQDWLRQRIXQGUDLQHGVKHDUVWUHQJWKZLWKIDOOFRQH FOD\
16
'HWHUPLQDWLRQRIXQGUDLQHGVKHDUVWUHQJWKZLWKXQFRQ
ILQHGFRPSUHVVLRQWHVW FOD\ 16(7&
'HWHUPLQDWLRQRIJUDLQVL]HGLVWULEXWLRQZLWKVLHYLQJ VDQGVLOW 16
'HWHUPLQDWLRQRIJUDLQVL]HGLVWULEXWLRQZLWKK\GURPHWHU VDQGVLOWFOD\ ,6276
135$5PHWKRGQR 'HWHUPLQDWLRQRIJUDLQVL]HGLVWULEXWLRQZLWK)DOOLQJ'URS
PHWKRG VDQGVLOWFOD\ 1*,LQKRXVHSURFHGXUH0RXP
'HWHUPLQDWLRQRIXQLWZHLJKW±WKHS\NQRPHWHUPHWKRG VRLO 16(1,62
'HWHUPLQDWLRQRIPD[DQGPLQGU\XQLWZHLJKW VDQGVLOW
1*,LQKRXVHSURFHGXUH
'HWHUPLQDWLRQRIXQLWZHLJKW VRLO 16(1,62
3HUIRUPDWLRQRIRHGRPHWHUWHVWLQFUHPHQWDOORDGLQJ VRLO
16
3HUIRUPDWLRQRIRHGRPHWHUWHVWFRQWLQRXVORDGLQJ VRLO
16 3HUIRUPDWLRQRISHUPHDELOLW\WHVWWULD['66DQGRHGRPHWHU
FHOO VRLO &(1,6276FRQVWDQWKHDG
'HWHUPLQDWLRQRIRUJDQLFFRQWHQW VRLO 16(1$QQH[1$QQH[;
'LUHFWVLPSOHVKHDUWHVW VRLO &(1,6276
7ULD[LDOWHVWLQJ&$8FDQG&$8H VRLO &(1,6276
*PD[WHVWVZLWKEHQGHUHOHPHQWV VRLO ,62
'HWHUPLQDWLRQRIVDOWFRQWHQWVDOLQLW\ VRLO $670
'HWHUPLQDWLRQRIWKHUPDOFRQGXFWLYLW\LNNHWLOJDQJWLOSURV VRLO $670'
$670'
7\SHRIWHVW±PHDVXULQJSULQFLSOHWHFKQLTXHLQVWUXPHQW 7HVWPDWHULDO 0HWKRGUHIHUHQFH
'HWHUPLQDWLRQRIKHDWFDSDFLW\LNNHWLOJDQJWLOSURV VRLO $670'
7UDQVSRUWDWLRQSUHSDUDWLRQDQGVWRUDJHRIIUR]HQVRLOVDPSOHVIRU
ODERUDWRU\WHVWLQJ )UR]HQVRLO $670673
6DPSOLQJPDFKLQLQJDQGWHVWLQJRIQDWXUDOO\IUR]HQVRLOV )UR]HQVRLO 6WLOOHWDOE
&ODVVLILFDWLRQRIIUR]HQVRLOV )UR]HQVRLO $670'
6WDQGDUGWHUPLQRORJ\UHODWLQJWRIUR]HQVRLODQGURFN )UR]HQVRLO $670'
7KHLQLWLDOIUHH]LQJWHPSHUDWXUH )UR]HQVRLO 3UREDEO\ZLOOEHHODERUDWHGE\1*76SURMHFW
&UHHSSURSHUWLHVRIIUR]HQVRLOVDPSOHVE\XQLD[LDOFRPSUHVVLRQ )UR]HQVRLO
0HWKRGRORJ\QHHGVWREHVHOHFWHG%ULHIGHVFULS WLRQLVJLYHQLQ$QGHUVODQG/DGDQ\L 0RVFRZ6WDWH8QLYHUVLW\KDVHODERUDWHGDPHWK
RGRORJ\DVZHOO 6WUHQJWKSURSHUWLHVRIIUR]HQVRLODWDFRQVWDQWUDWHRIVWUDLQ )UR]HQVRLO $670' 6WDQGDUGWHVWIRUPHWKRGVIRUIURVWKHDYHDQGWKDZZHDNHQLQJVXV
FHSWLELOLW\RIVRLO 6RLO $670'
6WDQGDUGWHVWPHWKRGIRUGHWHUPLQLQJWKHHIIHFWRIIUHH]HWKDZRQ
K\GUDXOLFFRQGXFWLYLW\RIFRPSDFWHGRULQWDFWVRLO 6RLO $670'
&UHHSWHVWLQJRIIUR]HQVRLOVXQGHUWULD[LDOG\QDPLFDQGVWDWLFWHVW
FRQGLWLRQV )UR]HQVRLO $670''0
6KHDUVWUHVVWHVW )UR]HQVRLO .RUQILHOG=XEHFN
&\FOLFFRPSUHVVLRQWHVW )UR]HQVRLO
0HWKRGRORJLHVDUHRXWOLQHGLQ2HVWJDDUG
=XEHFNVRPHPHWKRGVDUHGHVFULEHGLQ
$NVHQRY
&RQVWDQWVWUHVVFUHHSWHVW )UR]HQVRLO
&RPSUHVVLELOLW\RIWKDZLQJVRLOV )UR]HQVRLO
5HOD[DWLRQWHVW )UR]HQVRLO
7KDZFRQVROLGDWLRQWHVW 6RLO
6HJUHJDWLRQSRWHQWLDORIVRLOV )UR]HQVRLO .RQUDG
:DWHUFRQWHQW
*HQHUDO
:DWHUFRQWHQWZLVWKHUDWLRRIWKHPDVVRIIUHHZDWHUWRWKHPDVVRIGU\VRLOH[SUHVVHG DV D SHUFHQWDJH RI WKH PDVV RI VROLGV 7KH PHWKRG LV GHVFULEHG LQ GHWDLO LQ 16(1 ,623DUW
3URFHGXUH
7KHZDWHUFRQWHQWLVIRXQGE\ZHLJKLQJDUHSUHVHQWDWLYHSDUWRIWKHVRLOLQDGU\LQJRYHQ PDLQWDLQHGDWR&WRR&DQGVKDOOEHGULHGWRDFRQVWDQWPDVV,QPRVWFDVHVGU\LQJ DILQHVRLOIRUKLVVXIILFLHQW
$WWHUEHUJOLPLWV
*HQHUDO
/LTXLGOLPLWZ/DQGSODVWLFOLPLWZ3DUHWKHKLJKHVWDQGORZHVWZDWHUFRQWHQWVUH VSHFWLYHO\DWZKLFKWKHUHPRXOGHGVRLOPDWHULDOLVLQDSODVWLFVWDWH6WDQGDUGPHWKRG GHVFULEHGLQ16LVXVHGWRGHWHUPLQHZ3DQGVWDQGDUGPHWKRGVGHVFULEHGLQ16 DQGDUH XVHGWRGHWHUPLQHZ/E\&DVDJUDQGHDQG6LQJOH3RLQWPHWKRGUH VSHFWLYHO\
3URFHGXUHV
7KHSHUFXVVLRQOLTXLGOLPLWLVWKHZDWHUFRQWHQWLQWKHVRLODWDFHUWDLQFRQVLVWHQF\7KH WHVWLVFRQGXFWHGXVLQJ&DVDJUDQGHVOLTXLGOLPLWDSSDUDWXV7KHPHWKRGLVGHVFULEHGLQ 163DUWE\PHDQVRIVWURNHVFRQGXFWHGDWWKHVDPHZDWHUFRQWHQW:KHQWKH QXPEHURIVWURNHVIDOOVEHWZHHQDQGWKHZDWHUFRQWHQWRIWKHVDPSOHLVGHWHUPLQHG DQGWKHSHUFXVVLRQOLTXLGOLPLWFDQEHFDOFXODWHGDFFRUGLQJWRWKH6WDQGDUG
7KHOLTXLGOLPLWZ/LVSHUIRUPHGDFFRUGLQJWRWKH6LQJOH3RLQWPHWKRGDVGHVFULEHGLQ 163DUWE\PHDQVRIDJIDOOFRQH:KHQWKHFRQHSHQHWUDWLRQIDOOVEHWZHHQ DQGPPWKHZDWHUFRQWHQWRIWKHVDPSOHLVGHWHUPLQHGDQGWKH/LTXLGOLPLWFDQ EHFDOFXODWHGDFFRUGLQJWRWKH6WDQGDUG
7KHSODVWLFOLPLWZSLVSHUIRUPHGDFFRUGLQJWR167KHSODVWLFOLPLWLVGHILQHGDV WKHZDWHUFRQWHQWDWZKLFKDWUHDGRIVRLOZLWKDGLDPHWHURIPPFUXPEOHV
8QGUDLQHGVKHDUVWUHQJWKIURPIDOOFRQH
*HQHUDO
7KHIDOOFRQHWHVWLVXVHGWRHVWDEOLVKDTXLFNPHDVXUHRIWKHXQGUDLQHGVKHDUVWUHQJWKRI WKHVRLOERWKWKHXQGLVWXUEHGDQGWKHUHPRXOGHGVWUHQJWK7KHPHWKRGLVGHVFULEHGLQ GHWDLOLQ16
3URFHGXUH
7KHIDOOFRQHDSSDUDWXVLVSURGXFHGE\ *HRQRU $6,WPHDVXUHVWKHSHQHWUDWLRQRID FRQHLQWRWKHVSHFLPHQDIWHULWKDVEHHQUHOHDVHGIURPDQLQLWLDOVWDWLRQDU\SRVLWLRQZLWK WKHWLSRIWKHDSH[DWWKHVXUIDFHRIWKHVSHFLPHQ&RQHVZLWKGLIIHUHQWDSH[DQJOHVDQG PDVVHVDUHXVHG)RUKDUGFOD\VDJFRQHZLWKDQDSH[DQJOHRILVXVHGDQGIRU VRIWFOD\VDJFRQHZLWKDQDSH[RIDJFRQHZLWKDQDSH[DQJOHRIRUD JFRQHZLWKDQDSH[RIRLVXVHG7KHFDOLEUDWLRQFXUYHSURYLGHGE\*HRQRULVXVHG
7RGHWHUPLQHWKHVHQVLWLYLW\RIDVRLOLQWKHODERUDWRU\DIDOOFRQHWHVWLVFRQGXFWHGRQ DQXQGLVWXUEHGDQGRQDUHPRXOGHGVSHFLPHQ7KHVHQVLWLYLW\LVWKHUDWLREHWZHHQWKH IDOOFRQHVKHDUVWUHQJWKRIWKHXQGLVWXUEHGDQGRIWKHUHPRXOGHGVSHFLPHQ
8QFRQILQHGFRPSUHVVLRQWHVW
*HQHUDO
7KHXQFRQILQHGFRPSUHVVLRQWHVWLVXVHGWRHVWDEOLVKDTXLFNPHDVXUHRIWKHXQGUDLQHG XQGLVWXUEHGVKHDUVWUHQJWKRIWKHVRLO7KHPHWKRGLVGHVFULEHGLQGHWDLOLQ16DQG 16
3URFHGXUH
$ VSHFLPHQ RI VRLO PDWHULDO VKDSHG DV D F\OLQGHU RU D SULVP LV D[LDOO\ ORDGHG LQ DQ XSULJKWSRVLWLRQXQWLOIUDFWXUHRFFXUVLQWKHVDPSOH$[LDOVWUDLQLQWKHVDPSOHZLWKD FHUWDLQFRPSUHVVLRQLVFRQVLGHUHGDVWKHUHODWLRQVKLSEHWZHHQD[LDOIRUFHDQGPHDQFURVV VHFWLRQDODUHDDWWKLVFRPSUHVVLRQ6KHDUVWUHVVLQDSODQHLQFOLQHGRFRPSDUHGWRWKH KRUL]RQWDOLVHTXDOWRD[LDOVWUHVVGLYLGHGE\8QGUDLQHGVKHDUVWUHQJWKLVLQGLFDWHGDV WKHPD[LPXPYDOXHRIWKHVKHDUVWUHVVRQDSODQHLQFOLQHGR
'HQVLW\RIVRLOEXONGHQVLW\
*HQHUDO
'HQVLW\RIVRLOLVPDVVRIVRLOSHUXQLWYROXPHRIWKHPDWHULDOLQFOXGLQJDQ\ZDWHURU JDVLWFRQWDLQV'HQVLW\RIVRLOLVPHDVXUHGE\WKHOLQHDUPHDVXUHPHQWPHWKRGDQGWKH LPPHUVLRQLQIOXLGPHWKRG7KHPHWKRGVDUHGHVFULEHGLQGHWDLOLQ16(1,62 3DUW
3URFHGXUH
7KHOLQHDUPHDVXUHPHQWPHWKRGLVVXLWDEOHIRUWKHGHWHUPLQDWLRQRIWKHEXONGHQVLW\RI DVSHFLPHQRIVRLORIUHJXODUVKDSHLQFOXGLQJVSHFLPHQVSUHSDUHGIRURWKHUWHVWV7KH VSHFLPHQVXVHGDUHF\OLQGHUVZLWKFLUFXODUFURVVVHFWLRQV7KHSULQFLSOHRIWKHPHWKRG LVWRZHLJKDVSHFLPHQRINQRZQYROXPH
7KHLPPHUVLRQLQIOXLGPHWKRGFRYHUVWKHGHWHUPLQDWLRQRIWKHEXONGHQVLW\RIDVSHFL PHQRIQDWXUDORU FRPSDFWHGVRLOE\PHDVXULQJLWVPDVVLQDLUDQGLWVDSSDUHQWPDVV ZKHQVXVSHQGHGLQIOXLG7KHPHWKRGPD\EHXVHGZKHQOXPSVRIPDWHULDORIVXLWDEOH VL]HFDQEHREWDLQHG
*UDLQVL]HGLVWULEXWLRQ
*HQHUDO
'HWHUPLQDWLRQRIWKHJUDLQVL]HGLVWULEXWLRQRIVDQGDQGFRDUVHUPDWHULDOLVSHUIRUPHG DFFRUGLQJWR166DPSOHVFRQWDLQLQJPDLQO\VLOWRUFOD\DUHVXEMHFWWRWKHIDOOLQJ GURSPHWKRG0RXPRUWKHK\GURPHWHUPHWKRGDVGHVFULEHGEHORZ
3URFHGXUHV
7KHJUDLQVL]HGLVWULEXWLRQLVGHWHUPLQHGE\WKHIROORZLQJWKUHHSURFHGXUHV
, 6DPSOHVWKDWFRQWDLQPDLQO\VDQGDQGFRDUVHUPDWHULDODUHVXEMHFWHGWRDQRUGLQDU\
GU\VLHYHDQDO\VLV0DWHULDOVFRQWDLQLQJPRUHWKDQVLOWDQGFOD\SDUWLFOHV DUHZHWVLHYHGRQDPPVLHYHEHIRUHGU\VLHYLQJ7KHPHWKRGLVGHVFULEHGLQ16
,, +\GURPHWHULVDJUDLQVL]HGLVWULEXWLRQWHVWIRUILQHSDUWLFOHVP+\GURPHWHU LVDQLQGLUHFWDQDO\VLVRIJUDLQGLVWULEXWLRQE\PHDVXULQJWKHGHQVLW\RIDVOXUU\
VDPSOH VXVSHQVLRQ EDVHG RQ SDUWLFOHV RI GLIIHUHQW VL]H KDYH GLIIHUHQW VLQNLQJ WLPHLQVXVSHQVLRQ6WRNHVODZ
,,, )RUVDPSOHVFRQWDLQLQJPDLQO\VLOWRUFOD\WKHIDOOLQJGURSPHWKRGLVXVHG0RXP 7KHIDOOLQJGURSPHWKRGLVDVHGLPHQWDWLRQPHWKRGEDVHGXSRQ6WRNHV/DZ
$VPDOOVDPSOHRIPRLVWPDWHULDOLVVXVSHQGHGLQZDWHUZDVKHGWKURXJKDPP VLHYHEHIRUHEHLQJSRXUHGLQWRDVHGLPHQWDWLRQWXEH'URSOHWVIURPDFHUWDLQGHSWK LQWKHVHGLPHQWDWLRQWXEHDUHVDPSOHGZLWKDFDOLEUDWHGPLFURSLSHWWHDIWHUFHUWDLQ WLPHLQWHUYDOVDQGWKHQHMHFWHGLQWRDJODVVFROXPQFRQWDLQLQJDQRUJDQLFOLTXLG 7KHWLPHUHTXLUHGIRUHDFKGURSOHWWRIDOODFHUWDLQGLVWDQFHLQWKHRUJDQLFOLTXLGLV PHDVXUHG7KHFRQFHQWUDWLRQRIVXVSHQGHGSDUWLFOHVLQHDFKGURSOHWFDQWKHQEH UHDGIURPDFDOLEUDWLRQFKDUW
,WLVUHFRPPHQGHGWRXVHERWKPHWKRGǿǿDQGǿǿǿLQRUGHUWRFKHFNLIWKHPHWKRGVJLYH VLPLODUUHVXOWV,WLVQHFHVVDU\WRDOZD\VVWDWHZKLFKPHWKRGKDVEHHQXVHGLQWKHUHSRUW
2UJDQLFFRQWHQW
*HQHUDO
2UJDQLFFRQWHQWXVLQJWKHORVVRILJQLWLRQPHWKRGLVGHVFULEHGLQ699+%5/D ERUDWRULHXQGHUV¡NHOVHUFKDSWHU
3URFHGXUH
$JVSHFLPHQLVSODFHGLQDQRYHQZLWKWHPSHUDWXUHq&DQGGULHGXQWLOLWUHDFKHV FRQVWDQWPDVV7KHVSHFLPHQLVSXOYHULVHGDQGVLHYHGXVLQJDPPVLHYH&DJRI WKHVLHYHGPDWHULDOLVSODFHGRQDSRUFHODLQGLVKDQGGULHGLQWKHRYHQIRUWZRKRXUVZLWK WKHVDPHWHPSHUDWXUHDVHDUOLHU$IWHUWZRKRXUVWKHVSHFLPHQLVFRROHGWRURRPWHPSHU DWXUHLQDQH[VLFFDWRU$IWHUFRROLQJH[DFWO\JRIWKHPDWHULDOLVSODFHGRQDTXDUW]
GLVKLQDIXUQDFHZLWKFRQVWDQWWHPSHUDWXUHRIq&IRUKRXUV7KHVSHFLPHQLVWKHQ SODFHGLQDQH[VLFFDWRUDQGFRROHGWRURRPWHPSHUDWXUH$IWHUFRROLQJWKHVSHFLPHQLV ZHLJKHGDQGWKHORVVRIPDVVLVGHWHUPLQHG
7KHPDVVORVVHTXDOVWKHRUJDQLFFRQWHQWDQGLVH[SUHVVHGDVDSHUFHQWDJHRIWKHRYHQ GULHGPDVV
'HQVLW\RIVROLGSDUWLFOHV
7KLVSURFHGXUHGHVFULEHVWKHS\FQRPHWHUPHWKRGE\IOXLGGLVSODFHPHQWIRUGHWHUPLQD WLRQRIGHQVLW\RIVROLGSDUWLFOHVLQVDPSOHVFRPSULVLQJJUDLQVL]HVPDOOHUWKDQPP 7KHPHWKRGLVGHVFULEHGLQGHWDLOLQ16(1,623DUW
7KHIOXLGS\FQRPHWHUPHWKRGLVEDVHGRQWKHGHWHUPLQDWLRQRIWKHGLIIHUHQFHLQWKHYRO XPHRIOLTXLGUHTXLUHGWRILOOWKHS\FQRPHWHUZLWKWKHVDPSOHEHLQJSUHVHQW7KHGHQVLW\
RIVROLGSDUWLFOHVLVFDOFXODWHGIURPWKHGU\PDVVRIWKHVRLOSDUWLFOHVߩ௦,GLYLGHGE\WKHLU YROXPHGLIIHUHQFH
6DOLQLW\
*HQHUDO
&RQGXFWLYLW\LVPHDVXUHGGLUHFWIURPZDWHU7KHPHWKRGIRUGHWHUPLQDWLRQRIFRQGXF WLYLW\LQZDWHULVGHVFULEHGLQGHWDLOLQ16,62
3URFHGXUH
)LUVWWKHSRUHZDWHULVVTXHH]HGRXWIURPWKHVDPSOHHLWKHUE\FRPSUHVVHGDLURUE\
FHQWULIXJDWLRQ1718UHFRPPHQGVILOWUDWLRQDIWHUH[WUDFWLRQZLWKV\ULQJHILOWHUP 7KHFRQGXFWLYLW\LQWKHZDWHULVGHWHUPLQHGE\LQVHUWLQJDQHOHFWURGHLQWKHZDWHUVDPSOH VRWKDWWKHZDWHUVXUIDFHLVDERYHWKHPHDVXULQJSRLQWVRQWKHHOHFWURGH7KHKLJKHVW VHQVLWLYLW\LVDXWRPDWLFDOO\FKRVHQP6FPRU6FPDQGWKHQWHPSHUDWXUHDQGFRQ GXFWLYLW\LVIRXQG7KHFRQGXFWLYLW\PHWHULVFDOLEUDWHGZLWKVROXWLRQVZLWKNQRZQVDOW FRQWHQWDFFRUGLQJWRWKHPDQXDO
7KHSURFHGXUHGLIIHUVIURPWKHVWDQGDUGE\WKHXVHRIWKHUPRVWDWLFEDWKDWR&
7KLVLVFRQVLGHUHGQRWWRDIIHFWWKHUHVXOWVEHFDXVHRIWKHWHPSHUDWXUHFRUUHFWLRQLQWKH LQVWUXPHQW
7KHUPDOFRQGXFWLYLW\
*HQHUDO
7KHUDWHDWZKLFKKHDWIORZVWKURXJKDPDWHULDOLVDPHDVXUHRILWVWKHUPDOFRQGXFWLYLW\
Ȝ,WLVDSURSHUW\RIPDWHULDOVWKDWH[SUHVVHVWKHKHDWIOX[I:PWKDWZLOOIORZWKURXJK WKHPDWHULDOLIDFHUWDLQ WHPSHUDWXUHJUDGLHQW'7.PH[LVWVRYHUWKHPDWHULDO7KH PHWKRG IRU GHWHUPLQDWLRQ RI WKHUPDO FRQGXFWLYLW\ LV GHVFULEHG LQ GHWDLO LQ $670 '
3URFHGXUH
7KHUPDOFRQGXFWLYLW\LVPHDVXUHGIURPDVDPSOHWXEHZLWKDUDGLXVRIPP!
PPLVUHFRPPHQGHGZLWKWKHXVHRIWKHSUREH73731RQ6WHDG\6WDWH3UREH FRQVLVWVRIDQHHGOHZLWKWKHUPRFRXSOHMXQFWLRQVRQHRIZKLFKDFWVDVDUHIHUHQFH
DQG D KHDWLQJ ZLUH LW LV LQVHUWHG LQWR WKH PDWHULDO WKDW LV LQYHVWLJDWHG ,Q WKH EDVH D WHPSHUDWXUHVHQVRULVPRXQWHG
7KHSUREHPXVWEHIDVWHQHGLQDZD\VXFKWKDWWKHSUREHLVLQVHUWHGLQWRWKHFHQWUHRIWKH VRLOWRWKHFRUUHFWGHSWKDQGLVIL[HGZLWKRXWYLEUDWLRQVGXULQJWKHH[SHULPHQW5XQWLPH LVLQLQFUHPHQWVRIVDWVXVWDLQHGHIIHFWLQWKHVWHSVKLJKPHGLXPDQGORZ7KHWHVW VKRXOGEHSHUIRUPHGZLWKVKRUWLQFUHPHQWVDQGORZHIIHFWDFFRUGLQJWRWKHFRQGXFWLYLW\
RIWKHVDPSOH,WLVLPSRUWDQWWKDWWKHWHVWPDWHULDOLVLQWKHUPDOEDODQFHEHIRUHWKHWHVW LVVWDUWHG
+HDWFDSDFLW\
*HQHUDO
6SHFLILFKHDWLVDEDVLFWKHUPRG\QDPLFSURSHUW\RIDOOVXEVWDQFHV7KHYDOXHRIVSHFLILF KHDW GHSHQGV XSRQ FKHPLFDO RU PLQHUDORJLFDO FRPSRVLWLRQ DQG WHPSHUDWXUH 6SHFLILF KHDWLVDQHVVHQWLDOSURSHUW\RIURFNDQGVRLOZKHQWKHVHPDWHULDOVDUHXVHGXQGHUFRQGL WLRQVRIXQVWHDG\RUWUDQVLHQWKHDWIORZ7KHPHWKRGIRUGHWHUPLQDWLRQRIKHDWFDSDFLW\
LVGHVFULEHGLQGHWDLOLQ$670' 3URFHGXUH
7KLVWHVWPHWKRGFRYHUVWKHGHWHUPLQDWLRQRILQVWDQWDQHRXVDQGPHDQYDOXHVRIWKHVSH FLILFKHDWRIURFNDQGVRLO7KHWHVWLQJSURFHGXUHSURYLGHVDVSHFLILFKHDWRYHUWHPSHUD WXUHVUDQJLQJIURPWRR&ZLWKWKHXVHRIDFDORULPHWHU
7KHWHVWPHWKRGHPSOR\VWKHFODVVLFDOPHWKRGRIPL[WXUHV7KHPHWKRGRIPL[WXUHVFRQ VLVWVHVVHQWLDOO\RIDGGLQJDNQRZQPDVVRIPDWHULDODWDNQRZQWHPSHUDWXUHWRDNQRZQ PDVVRIFDORULPHWULFIOXLGDWDNQRZQORZHUWHPSHUDWXUHDQGGHWHUPLQLQJWKHHTXLOLEULXP WHPSHUDWXUH7KHKHDWDEVRUEHGE\WKHIOXLGDQGFRQWDLQLQJYHVVHOFDQEHFDOFXODWHGIURP FDOLEUDWLRQVDQGWKLVYDOXHHTXDWHGWRWKHH[SUHVVLRQIRUWKHKHDWJLYHQXSE\WKHKRW PDWHULDO)URPWKLVHTXDWLRQWKHXQNQRZQVSHFLILFKHDWFDQEHFDOFXODWHG
0D[LPXPDQGPLQLPXPGHQVLW\RIVDQG
7KLVLVDQLQKRXVH1*,SURFHGXUHWRGHWHUPLQHPD[DQGPLQXQLWGHQVLW\1*,5HSRUW ,WLVUHFRPPHQGHGKRZHYHUWRGRVHYHUDOPHWKRGVDVWKH\VKRZGLIIHUHQWUHVXOWV
0LQLPXPGU\GHQVLW\
7KHPLQLPXPGU\GHQVLW\UGPLQLVGHWHUPLQHGE\ILOOLQJDPRXOGZLWKGU\VDQG7KH YROXPHRIWKHPRXOGLVDERXWFPDQGWKHLQWHUQDOGLDPHWHUPP7KHVDQGLVILUVW SODFHGLQWRDWXEHPRXQWHGFHQWUDOO\LQWKHPRXOG7KHWXEHLVWKHQUDLVHGVORZO\VRWKDW WKHVDQGIORZVLQWRWKHPRXOGDQGILOOVLWFRPSOHWHO\7KHVRLOZKLFKSLOHGDERYHWKHWRS RIWKHPRXOGLVWKHQUHPRYHGYHU\VORZO\XVLQJDVWUDLJKWHGJHEHIRUH ZHLJKLQJWKH PDWHULDO7KHSURFHGXUHLVUHSHDWHGILYHWLPHVDQGWKHDYHUDJHYDOXHLVFRPSXWHG
0D[LPXPGU\GHQVLW\
7KHPD[LPXPGU\GHQVLW\LVGHWHUPLQHGE\ERWKDGU\DQGDZHWPHWKRG7KHGU\RUWKH ZHWVDQGZLWKWKHSUHGHWHUPLQHGZDWHUFRQWHQWLVSODFHGLQWRWKHPRXOGLQWKLQOD\HUV HDFKFRQVLVWLQJRIWRJVRLO(DFKOD\HULVYLEUDWHGYHUWLFDOO\IRUPLQXWH'XULQJ DOOYLEUDWLRQVWKHVXUFKDUJHLVN1P'XULQJWKHYHUWLFDOYLEUDWLRQVWKHYLEUDWRULV DSSOLHGRQWRSRIWKHVXUFKDUJH)RUWKHZHWPHWKRGLQSDUWLFXODUIRUHDFKOD\HUDIDOOLQJ ZHLJKW RI NJ LV UDLVHG ´ DQG GURSSHG WLPHV DIWHU WKH YHUWLFDO YLEUDWLRQV 7KH PDWHULDOLVWKHQZHLJKHG
,WLVUHFRPPHQGHGWRDOVRPHDVXUHPLQLPXPDQGPD[LPXPGHQVLW\DFFRUGLQJWR',1 PHWKRG',1
'LUHFWVLPSOHVKHDUWHVW$670 *HQHUDO
7KH'LUHFW6LPSOH6KHDUDSSDUDWXVHQDEOHVWKHGHWHUPLQDWLRQRIVRLODQLVRWURS\LQDQ HIILFLHQW ZD\ $ WHVW FDQ EH SHUIRUPHG GUDLQHG FRQVWDQW YHUWLFDO ORDG RU XQGUDLQHG FRQVWDQWYROXPH
$F\OLQGULFDOVSHFLPHQZLWKFURVVVHFWLRQDODUHDRIDQGFPDQGKHLJKW RIPPLVSODFHGZLWKLQDUHLQIRUFHGUXEEHUPHPEUDQHZKLFKSUHYHQWVUDGLDOGHIRU PDWLRQEXWDOORZVWKHVSHFLPHQWREHGHIRUPHGLQVLPSOHVKHDU7KHDSSDUDWXVIRUWKLV WHVWLVGHVFULEHGE\%MHUUXPDQG/DQGYDDQG$QGUHVHQHWDO
3URFHGXUH
6WDWLFWHVWV
0RXQWLQJXQGLVWXUEHGPDWHULDO
7ULPPLQJDQGPRXQWLQJRIVSHFLPHQVDUHGRQHXVLQJDNXWWLQJNQLIHWRDFKLHYHDSHUIHFW GLDPHWHU'XHWRWKHSRVVLEOHH[LVWHQFHRIDQHJDWLYHSRUHSUHVVXUHLQWKHFOD\VSHFLPHQV VSHFLDOFDUHLVWDNHQWRDYRLGVZHOOLQJGXHWRWKHSUHVHQFHRIIUHHZDWHU7KLVLVDFKLHYHG E\XVLQJGU\SRURXVVWRQHVDWWKHVWDUWRIWKHFRQVROLGDWLRQ:KHQZDWHULVDGGHGWKH KHLJKW GLIIHUHQFH VKRXOG EH 'U\ SRURXV VWRQHV VKRXOG EH XVHG LQ RUGHU WR SUHYHQW GHWULPHQWDOVZHOOLQJRIWKHVSHFLPHQLQLWLDOO\
0RXQWLQJUHFRQVWLWXWHGVDQG
5HFRPSDFWHGVDQGVSHFLPHQVDUHEXLOWLQXVLQJDVOLJKWO\PRGLILHGYHUVLRQRIWKHPHWKRG RIXQGHUFRPSDFWLRQGHVFULEHGE\/DGG)LUVWWKHGU\VRLOLVPL[HGZLWKZDWHUWR DWWDLQDW\SLFDOZDWHUFRQWHQWDURXQG
)RU '66 WHVW VSHFLPHQV WKH VRLO LV WDPSHG LQWR WKH PRXOG LQ RQH OD\HU )RU UHODWLYH GHQVLWLHVEHORZFRPSDFWLRQLVQRUPDOO\GRQHE\KDQGWDPSLQJRQO\)RUUHODWLYH
GHQVLWLHVDERYHERWKKDQGWDPSLQJDQGYHUWLFDOYLEUDWLRQVPD\EHUHTXLUHGLQRUGHU WRDFKLHYHWKHVSHFLILHGGHQVLWLHV
$OWHUQDWLYHPHWKRGVRIUHFRQVWLWXWLQJVDQGVSHFLPHQVPD\EHXVHGEDVHGRQDQRQJRLQJ 5 'SURMHFWDW1*,
&RQVROLGDWLRQ
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
6KHDULQJ
$IWHUFRQVROLGDWLRQWKHVSHFLPHQLVVKHDUHGE\DSSO\LQJDKRUL]RQWDOVKHDUVWUHVV.HHS LQJWKHYROXPHFRQVWDQWVLPXODWHVXQGUDLQHGFRQGLWLRQV7KHYROXPHLVNHSWFRQVWDQWE\
LQFUHDVLQJRUGHFUHDVLQJWKHD[LDOVWUHVVGXULQJVKHDULQJ1RUPDOO\DVWUDLQUDWHRI VKHDUVWUDLQSHUKRXULVXVHG7KHFKDQJHLQWKHD[LDOVWUHVVIRUDFRQVWDQWYROXPHWHVWLV HTXDOWRWKHFKDQJHLQSRUHSUHVVXUHIRUDQXQGUDLQHGWHVWZKHUHWKHWRWDOD[LDOVWUHVVLV NHSWFRQVWDQW7KHUHDVRQIRUSHUIRUPLQJDFRQVWDQWYROXPHLQVWHDGRIDQXQGUDLQHGWHVW LVWKDWGUDLQDJHFDQQRWEHFRPSOHWHO\SUHYHQWHGDQGWKHVDWXUDWLRQE\PHDQVRIEDFN SUHVVXUHFDQQRWEHSHUIRUPHGLQWKHVLPSOHVKHDUGHYLFH
5HSRUWLQJ
7KHUHVXOWVDUHSUHVHQWHGLQWKUHHGLDJUDPVKRUL]RQWDOVKHDUVWUHVVDJDLQVWVKHDUVWUDLQ SRUH SUHVVXUH DJDLQVW VKHDU VWUDLQ DQG HIIHFWLYH D[LDO VWUHVV DJDLQVW KRUL]RQWDO VKHDU VWUHVV,QDGGLWLRQWKHZDWHUFRQWHQWXQLWZHLJKWDQGYROXPHFKDQJHGXULQJFRQVROLGD WLRQDUHUHSRUWHG
7ULD[LDOWHVWLQJ&$8FDQG&$8H *HQHUDO
7KHWULD[LDOWHVWLVFDUULHGRXWLQRUGHUWRPHDVXUHWKHVWUHVVVWUDLQEHKDYLRUDQGWKHVKHDU VWUHQJWKSDUDPHWHUVRIDVRLOVSHFLPHQXQGHUFRQWUROOHGVWUHVVFRQGLWLRQV7KHPHDVXUH PHQWVGXULQJFRQVROLGDWLRQSKDVHFDQDOVREHXVHGWRHYDOXDWHVDPSOHTXDOLW\ǻHH 7KHWULD[LDOHTXLSPHQWXVHGDW1*,LVGHVFULEHGE\%HUUH
$F\OLQGULFDOVRLOVSHFLPHQLVHQFORVHGLQDUXEEHUPHPEUDQHDQGSODFHGLQVLGHDSUHV VXUHFKDPEHUFDOOHGDWULD[LDOFHOO)LJXUH$QLVRWURSLFVWUHVVLVDSSOLHGWRWKHVSHFL PHQWKURXJKWKHFKDPEHUSUHVVXUH,QDGGLWLRQWRWKHFKDPEHUSUHVVXUHWKHVSHFLPHQLV ORDGHGD[LDOO\E\DSLVWRQSDVVLQJWKURXJKWKHWRSRIWKHFHOO
Figure 1 Sketch of triaxial test set-up
3URFHGXUHV
6WDWLFWHVWV
0RXQWLQJXQGLVWXUEHGPDWHULDO
7ULPPLQJDQGPRXQWLQJRIWULD[LDOVSHFLPHQVDUHGRQHXVLQJDNXWWLQJNQLIHWRDFKLHYH DSHUIHFWGLDPHWHU'XHWRWKHSRVVLEOHH[LVWHQFHRIDQHJDWLYHSRUHSUHVVXUHLQWKHFOD\
VSHFLPHQVVSHFLDOFDUHLVWDNHQWRDYRLGVZHOOLQJGXHWRWKHSUHVHQFHRIIUHHZDWHU7KLV LVDFKLHYHGE\XVLQJGU\SRURXVVWRQHVDWWKHVWDUWRIWKHFRQVROLGDWLRQ
$ERXWDOOFOD\VVZHOOZKHQWKH\KDYHDFFHVVWRIUHHZDWHU7KLVDSSOLHVWR1&2&
VKDOORZGHHSIUHVKDQGROGVDPSOHVHWF7KHVZHOOSUHVVXUHPLJKWEHORZHJ
N3DRUKLJK!N3DGHSHQGHQWRQWKHVDPSOH6ZHOOLQJGDPDJHWKHVDPSOHVWUXF WXUHDQGVKRXOGEHDYRLGHGE\XVLQJGU\VWRQHVDQGDGGZDWHUDIWHULVRWURSLFVZHOOLQJ SUHVVXUHLVDSSOLHG
([FHSWIRUYHU\VRIWFOD\VILOWHUVWULSVFDQEHXVHG7KH\DUHSODFHGRQWKHVLGHRIFOD\
VSHFLPHQVWRVSHHGXSGUDLQDJHGXULQJFRQVROLGDWLRQDQGSRUHSUHVVXUHHTXDOL]DWLRQGXU LQJXQGUDLQHGVKHDULQJ7KHILOWHUSDSHUVWULSVDUHPRLVWEXWIUHHZDWHURQWKHVXUIDFHRI WKHVWULSVLVZLSHGDZD\EHIRUHWKH\DUHSODFHGRQWKHVSHFLPHQ7KHVWULSVDUHSODFHGLQ VSLUDOVDURXQGWKHVSHFLPHQVWRDYRLGILOWHUSDSHUFRUUHFWLRQRQPHDVXUHGVWUHVVHV
0HPEUDQHVVKRXOGEHVWRUHGLQZDWHUIRUKRXUVZLSHGGU\RQWKHLQVLGHDQGFKHFNHG IRUDQ\GDPDJHRUOHDNVEHIRUHXVH)RULQVWDOOLQJWKHPHPEUDQHDVSHFLDOPRXQWLQJ DSSDUDWXVLVDSSOLHG
:KHQWKHVSHFLPHQPHPEUDQHDQGILOWHUVHWFDUHPRXQWHGRQWKHSHGHVWDODQGWKHFHOO ILOOHGZLWKZDWHUDVPDOOFHOOSUHVVXUHLVDSSOLHG±N3DLQRUGHUWRSUHYHQWWKH IOXVKLQJZDWHUIURPSHQHWUDWLQJEHWZHHQWKHPHPEUDQHDQGWKHVSHFLPHQDQGWRSUHYHQW VZHOOLQJ)OXVKLQJRIWKHSRUHSUHVVXUHV\VWHPLVWKHQFRPSOHWHG$Q\YHUWLFDOGHIRU PDWLRQLVPRQLWRUHGGXULQJWKLVSURFHVVDQGUHPHGLDODFWLRQPD\EHDSSOLHGLIDQ\DQRP DOLHVDUHREVHUYHG5HPHGLDODFWLRQEHLQJDGMXVWHGWKHVZHOOLQJSUHVVXUHDVQHHGHGWR SUHYHQWVSHFLPHQVZHOOLQJ7KHUHDIWHUFRQVROLGDWLRQLVVWDUWHG)RUGHWDLOVVHH6WDWHQV 9HJYHVHQ5$FRPSDULVRQRIFRQVROLGDWLRQSURFHGXUHVLVDOVRSUHVHQWHGLQ
$SSHQGL[$
0RXQWLQJUHFRQVWLWXWHGVDQG
5HFRPSDFWHGVDQGVDPSOHVDUHEXLOWLQXVLQJDVOLJKWO\PRGLILHGYHUVLRQRIWKHPHWKRG RIXQGHUFRPSDFWLRQGHVFULEHGE\/DGG)LUVWWKHGU\VRLOLVPL[HGZLWKZDWHUWR DWWDLQDW\SLFDOZDWHUFRQWHQWDURXQG
)RUWULD[LDOWHVWVSHFLPHQVWKHVRLOLVWDPSHGLQWRWKHPRXOGLQVL[OD\HUV7KHLQLWLDO OD\HUVDUHFRPSDFWHGWRORZHUGHQVLWLHVWKDQVXFFHHGLQJOD\HUVVRWKDWWKHILQDOGHQVLW\
RI HDFK VSHFLPHQ OD\HU LV DSSUR[LPDWHO\ XQLIRUP )RU UHODWLYH GHQVLWLHV EHORZ FRPSDFWLRQLVQRUPDOO\GRQHE\KDQGWDPSLQJRQO\)RUUHODWLYHGHQVLWLHVDERYH ERWK KDQG WDPSLQJ DQG YHUWLFDO YLEUDWLRQV PD\ EH UHTXLUHG LQ RUGHU WR DFKLHYH WKH VSHFLILHGGHQVLWLHV
$OWHUQDWLYHPHWKRGVRIUHFRQVWLWXWLQJVDQGVSHFLPHQVPD\EHXVHGEDVHGRQDQRQJRLQJ 5 'SURMHFWDW1*,
$IWHUPRXQWLQJVDWXUDWLRQRIVWRQHVLVGRQHXVLQJIOXVKLQJZLWK&2
6DWXUDWLRQ
&OD\VSHFLPHQVDUHILUVWVXEMHFWHGWRDQLVRWURSLFVWUHVVHTXDOWRWKHHVWLPDWHGYDOXHRI WKHLQLWLDOQHJDWLYHSRUHSUHVVXUH(VWLPDWHGLQLWLDOQHJDWLYHSRUHSUHVVXUHLVLVRWURSLF FHOOSUHVVXUHDSSOLHGGXULQJIOXVKLQJVDWXUDWLRQRIWKHVWRQHVDQGWKHWXEHZKHQWKHVDP SOH LV DW UHVW QHLWKHU VZHOO QRU FRQVROLGDWH :DWHU ZLWK DSSUR[LPDWHO\ WKH VDPH VDOW FRQFHQWUDWLRQDVWKHSRUHZDWHURIWKHVRLOLVWKHQIOXVKHGWKURXJKWKHSRURXVVWRQHV$Q\
VLJQRIYROXPHFKDQJHRUGHIRUPDWLRQRIWKHVSHFLPHQLVSUHYHQWHGE\UHJXODWLQJWKH FHOOSUHVVXUHXQWLOVWDEOHFRQGLWLRQVKDYHEHHQUHDFKHG
$EDFNSUHVVXUHLVDSSOLHGWRLQFUHDVHWKHGHJUHHRIVDWXUDWLRQRIWKHVSHFLPHQDQGRI WKHSRUHSUHVVXUHPHDVXULQJV\VWHPDIWHUWKHVZHOOSUHVVXUHLVDSSOLHG7KHEDFNSUHV VXUHLVDSSOLHGZLWKRSHQGUDLQDJH
)RUVSHFLPHQVDVVXPHGWREHIXOO\VDWXUDWHGLQWKHILHOGDQDWWHPSWLVPDGHWRUHDFKD
%YDOXHRIDWOHDVWIRUVWDWLFWHVWV)RUXQGUDLQHGWHVWVRQYHU\VRIWFOD\VDEDFN SUHVVXUHRIDERXWN3DPD\EHVXIILFLHQW)RUYHU\VWLIIFOD\VDQGGHQVHVDQGEDFN SUHVVXUHVXSWRN3DPD\EHUHTXLUHG
+DYLQJDFKLHYHGDVXLWDEOHEDFNSUHVVXUHD%WHVWLVSHUIRUPHGE\FORVLQJWKHGUDLQDJH V\VWHPDQGLQFUHDVLQJWKHFHOOSUHVVXUHE\ǻıDURXQGN3DIRUQRUPDOO\FRQVROLGDWHG VDPSOHVDQGXSWRN3DIRURYHUFRQVROLGDWHGVDPSOHV7KH%WHVWLVXVXDOO\DFFHSWD EOHLIFULWHULDLVPHWZLWKLQPLQXWHV5HSRUWYDOXHVDIWHUPLQ
&RQVROLGDWLRQ
7KHVSHFLPHQLVORDGHGWRWKHVSHFLILHGFRQVROLGDWLRQVWUHVVHVLQWZRVWHSVE\DQLVRWURSLF FRQVROLGDWLRQ7KHFRQVROLGDWLRQPD\EHDSSOLHGE\WZRPHWKRGVHLWKHUE\
)LUVWDSSO\LQJDQLVRWURSLFSUHVVXUHıDQGWKHQ REWDLQLQJWKHUHTXLUHG DQLVR WURSLFSUHVVXUHıE\DGMXVWLQJWKHD[LDOSUHVVXUH7KHVDPHUDPSLQJUDWHVDUH DSSOLHG DV JLYHQ DERYH 7KH D[LDO SUHVVXUH LV DSSOLHG LPPHGLDWHO\ DIWHU ı LV REWDLQHG
$SSO\LQJERWKWKHFHOOSUHVVXUHHIIHFWLYHSUHVVXUHıDQGD[LDOSUHVVXUHHIIHF WLYHSUHVVXUHıVLPXOWDQHRXVO\ZLWKDVORZHUUDWHIRUWKHD[LDOORDG5DWHRI SUHVVXUHORDGLQJıLVIURPWRN3DPLQDQGıIURPWRN3DPLQ
7KH ILUVW SURFHGXUH LV SUHIHUUHG GXH WR H[SHULHQFH IURP FRPSDUDEOH WHVWV FRQGXFWHG 1*,
7KHFRQVROLGDWLRQVWDJHLVVWRSSHGZKHQWKHFKDQJHRIYROXPHRIH[SHOOHGSRUHZDWHULV RIDQLQVLJQLILFDQWPDJQLWXGHDQGWKHVORSHRIWKHYROXPHWLPHFXUYHUHDFKDVSHFLPHQ YROXPHFKDQJHUDWHRIOHVVWKDQPPPLQ7KLVLVDVWDELOLW\FKHFNZKLFKYHULILHV DGHTXDWHVDWXUDWLRQQROHDNVLQWKHPHPEUDQHKRVHVILWWLQJVHWFDQGWKDWVKHDULQJFDQ VWDUW
6KHDULQJ
6WDWLFDQLVRWURSLFFRQVROLGDWHGXQGUDLQHGWHVWV&$8
7KHVSHFLPHQLVVKHDUHGDWDFRQVWDQWUDWHRID[LDOVWUDLQ7KHWRWDOUDGLDOVWUHVVLVNHSW FRQVWDQWZKLOHWKHWRWDOD[LDOVWUHVVLVLQFUHDVHGLQFRPSUHVVLRQWHVWVDQGGHFUHDVHGLQ H[WHQVLRQWHVWV'XULQJWKHXQGUDLQHGDQLVRWURSLFDOO\FRQVROLGDWHGWHVWVFDUULHGRXWRQ FOD\PDWHULDO&$8QRGUDLQDJHLVDOORZHGGXULQJVKHDULQJVRWKDWH[FHVVSRUHSUHV VXUHVPD\GHYHORS7KHUDWHRIVWUDLQLVKRXUKLVXVHGIRUWKHVDNHRISRUH SUHVVXUH HTXDOL]DWLRQ WLPH WR IDLOXUH DQG WLPH WR LQWHUFHSW VNM ULQJ 2WKHU UDWHV RI VWUDLQPD\EHXVHGLIHIIHFWRIFKDQJHVLQUDWHLVLQYHVWLJDWHG7KLVPXVWEHQRWHGLQDOO WHVWUHVXOWV
6WDWLFDQLVRWURSLFFRQVROLGDWHGGUDLQHGWHVWV&$'
7KHVSHFLPHQLVVKHDUHGDWDFRQVWDQWUDWHRID[LDOVWUDLQ7KHWRWDOUDGLDOVWUHVVLVNHSW FRQVWDQWZKLOHWKHWRWDOD[LDOVWUHVVLVLQFUHDVHGLQFRPSUHVVLRQWHVWVDQGGHFUHDVHGLQ H[WHQVLRQWHVWV'UDLQDJHLVDOORZHGGXULQJVKHDULQJVRQRH[FHVVSRUHSUHVVXUHVPD\
GHYHORS,QVWHDGWKHYROXPHWULFVWUDLQLVPHDVXUHGDQGUHFRUGHG7KHUDWHRIVWUDLQZLOO EHFKRVHQORZHQRXJKWRDYRLGGHYHORSPHQWRISRUHZDWHUSUHVVXUH
7KHWHVWPD\EHVWRSSHGZKHQWKHD[LDOVWUDLQUHDFKDPLQLPXPRILQERWK&$8 DQG&$'WHVWV
'LVPRXQWLQJVSHFLPHQ
$IWHUWKHFHOOSUHVVXUHKDVEHHQUHGXFHGWR]HURWKHVSHFLPHQLVFDUHIXOO\UHPRYHGIURP WKHWULD[LDOFHOODQGZHLJKHG0DWHULDOIRUFODVVLILFDWLRQWHVWLQJPD\WKHQEHWDNHQRXW
5HSRUWLQJ
7KHUHVXOWVDUHSUHVHQWHGLQWKUHHGLDJUDPVPD[VKHDUVWUHVVDJDLQVWD[LDOVWUDLQSRUH SUHVVXUH GHYHORSPHQW DJDLQVW D[LDO VWUDLQ DQG VWUHVV SDWK FXUYH 1718SORW RU 0,71*,SORW ,Q DGGLWLRQ WKH ZDWHU FRQWHQW GHQVLW\ FODVVLILFDWLRQ YROXPH VWUDLQ DQGRUSRUHQXPEHUFKDQJHDQGDQ\FRUUHFWLRQPRGHODUHWREHSUHVHQWHGZLWKWKHUHVXOWV 7ZRFRUUHFWLRQVDUHLQFOXGHGFRUUHFWLRQIRUFLUFXODUDUHDFKDQJHDQGFRUUHFWLRQIRUWKH HIIHFWRIUXEEHUPHPEUDQH9DOXHVXVHGIRU(PRGXOXVDQGWKLFNQHVVRIWKHUXEEHUPHP EUDQHDUHH[DPLQHGEHIRUHHDFKWHVW$QHZUXEEHUPHPEUDQHLVXVHGIRUHDFKWHVW&RU UHFWLRQYDOXHVIRUDVWDQGDUGPHPEUDQHDUHXVHG7KHVHYDOXHVFKDQJHPDWKHPDWLFDOO\
DFFRUGLQJWRDVLPSOHLQGH[H[WHQVLRQWHVWDWHDFKPHPEUDQHXVHG7KLVPDWKHPDWLF FKDQJHFRPSHQVDWHVGLIIHUHQW(PRGXOXVDQGRUGLPHQVLRQWKLFNQHVVLQWKHDFWXDOPHP EUDQH7KLVLVDSSUR[LPDWHO\WKHVDPHDVPHDVXULQJWKHDFWXDO(PRGXOXVGLDPHWHUDQG WKLFNQHVVLQHYHU\PHPEUDQH7KHPHPEUDQHFRUUHFWLRQLVDSSOLHGRQERWKYHUWLFDODQG UDGLDOVWUHVVGXULQJWKHZKROHWHVW
7KHODWH[(PRGXOXVXVHGLVRIWHQN3D1*,KDVIRXQGDW\SLFDO(PRGXOXVFORVH WRN3D
)RUFOD\VSHFLPHQVVDPSOHTXDOLW\VKDOOEHFRPPHQWHGE\UHSRUWLQJFKDQJHLQYRLGUDWLR GXULQJFRQVROLGDWLRQRIVSHFLPHQWREHVWHVWLPDWHRILQVLWXVWUHVVHV
&RQVROLGDWLRQWHVWV *HQHUDO
2HGRPHWHUWHVWVRQXQGLVWXUEHGPDWHULDODUHSHUIRUPHGWRGHWHUPLQHWKHSUHFRQVROLGD WLRQVWUHVVRIWKHPDWHULDODVZHOODVWKHFRPSUHVVLELOLW\DQGSHUPHDELOLW\7KHUHVXOWV FDQDOVREHXVHGIRUHYDOXDWLRQRIVDPSOHTXDOLW\$GHWDLOHGGHVFULSWLRQRIHTXLSPHQW DQGSURFHGXUHVXVHGDW1*,LVJLYHQE\6DQGE NNHQHWDO
3URFHGXUHV
&RQWLQXRXVORDGLQJ&56
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
,QFUHPHQWDOORDGLQJ,/
,QWKHLQFUHPHQWDOORDGLQJWHVWWKHYHUWLFDOORDGRQWKHVSHFLPHQLVDSSOLHGLQLQFUH PHQWV 7KH GXUDWLRQ RI HDFK ORDG LQFUHPHQW VKRXOG EH ORQJ HQRXJK WR HQVXUH FRQVROLGDWLRQDVGHVFULEHGLQ16
0RXQWLQJ
7KHWULPPLQJDQGPRXQWLQJRI&56VSHFLPHQLVGRQHXVLQJDFXWWLQJF\OLQGHURUULQJ DFKLHYHDSHUIHFWGLDPHWHU7KHF\OLQGULFDOVSHFLPHQKDVDFURVVVHFWLRQDODUHDRI FPFPRUFPDQGKHLJKWPPDQGLVSODFHGZLWKLQDVWHHOULQJZKLFKSUHYHQWV UDGLDOGHIRUPDWLRQRIWKHVSHFLPHQ'XHWRWKH SRVVLEOHH[LVWHQFHRIDQHJDWLYHSRUH SUHVVXUHLQWKHFOD\VSHFLPHQVVSHFLDOFDUHLVWDNHQWRDYRLGVZHOOLQJGXHWRWKHSUHVHQFH RIIUHHZDWHU7KLVLVDFKLHYHGE\XVLQJGU\SRURXVVWRQHVDWWKHVWDUWRIWKHFRQVROLGDWLRQ
$QD[LDOYHUWLFDOVWUHVVLVDSSOLHGRQWKHWRSRIWKHVSHFLPHQDQGWKHUHVXOWLQJYHUWLFDO FRPSUHVVLRQRIWKHVSHFLPHQLVPHDVXUHG
:DWHURIFRUUHFWVDOLQLW\LVDGGHGWRWKHILOWHUVWRQHVZKHQDYHUWLFDOVWUHVVKLJKHQRXJK WRSUHYHQWVZHOOLQJKDVEHHQDSSOLHG$QXQORDGLQJUHORDGLQJORRSLVRIWHQGRQHZKHQ WKHYHUWLFDOVWUHVVKDVEHFRPHHTXDOWRDERXWWZLFHWKHHVWLPDWHGSUHFRQVROLGDWLRQVWUHVV VHHEHORZ7KHSXUSRVHZLWKWKLVORRSLVWREHDEOHWRFRUUHFWIRUVDPSOHGLVWXUEDQFH DQGWRREWDLQUHORDGLQJSDUDPHWHUV$VHFRQGXQORDGLQJ±UHORDGLQJORRSFDQEHGRQHDW WKHHQGRIWKHWHVWLQRUGHUWRGHWHUPLQHUHORDGLQJSDUDPHWHUVDWKLJKVWUHVVOHYHOV
7KHWHVWLVGHVLJQHGWRGHWHUPLQHWKHFRPSUHVVLELOLW\RUFRQVWUDLQHGPRGXOXVDQGWKH FRHIILFLHQWRIFRQVROLGDWLRQRIWKHVSHFLPHQWHVWHG7KHFRHIILFLHQWRIFRQVROLGDWLRQFY LVFDOFXODWHGIURPWKHHTXDWLRQ
F 0 N
Y Z
J
ZKHUH0LVWKHFRQVWUDLQHGPRGXOXVDQGNWKHFRHIILFLHQWRISHUPHDELOLW\7KHNYDOXHV DUH FKHFNHG E\ FRQVWDQW KHDG SHUPHDELOLW\ WHVWV LI WKHUH LV DQ\ GRXEW DERXW NYDOXHV EDFNFDOFXODWHGIURPWLPHFRPSUHVVLRQFXUYHVLQFUHPHQWDOORDGLQJRUIURPPHDVXUHG SRUHSUHVVXUHVFRQWLQXRXVORDGLQJ7KHXQFHUWDLQW\E\GHULYLQJFYIURPWLPHFRPSUHV VLRQFXUYHVRUPHDVXUHGSRUHSUHVVXUHVDORQHLVWKHQDYRLGHGDQGWKHFYYDOXHFDQEH EDVHGRQ0YDOXHVFRUUHFWHGIRUVDPSOHGLVWXUEDQFHDQGRQNYDOXHVRILQVLWXSRURVLW\
DQGWHPSHUDWXUH
)RUXQGLVWXUEHGVSHFLPHQVWKHWHVWLVDOVRXVHGWRGHWHUPLQHWKHHIIHFWLYHYHUWLFDOVWUHVV ZKHUHWKHFRPSUHVVLELOLW\RIWKHVSHFLPHQVWDUWVWRLQFUHDVH7KLVVWUHVVLVUHSUHVHQWHG E\DPRUHRUOHVVVKDUSEHQGLQWKHVWUHVVVWUDLQFXUYHDQGLVFDOOHGWKHSUHFRQVROLGDWLRQ VWUHVVGHQRWHGSF¶
5HSRUWLQJ
7KHVWUDLQUDWHWREHXVHGIRUDWHVWVHULHVVKRXOGEHGHWHUPLQHGEDVHGRQDWULDOWRVHH SRUHSUHVVXUHGHYHORSPHQW7KHUHVXOWVDUHSUHVHQWHGLQGLDJUDPVOLQHDUVFDOHZKHUH VWUDLQܭVWUHVVPRGXO0DQGFRQVROLGDWLRQFRHIILFLHQWFYDUHSORWWHGDJDLQVWD[LDO HIIHFWLYHVWUHVVıYWKHFKDQJHLQYRLGUDWLRDWDYHUWLFDOVWUHVVHTXDOWREHVWHVWLPDWH VKDOOEHUHSRUWHGIRUHYDOXDWLRQRIVDPSOHTXDOLW\
3HUPHDELOLW\WHVW
3HUPHDELOLW\ LQ WKH WULD[LDO WHVWV DQG &56 WHVWV LV PHDVXUHG XVLQJ WKH FRQVWDQWKHDG PHWKRG7KHSHUPHDELOLW\LVPHDVXUHGDIWHUFRQVROLGDWLRQLQWKHWULD[LDOWHVWVDQGDIWHU VKHDU7KHODWWHUSHUPHDELOLW\WHVWLVFDUULHGRXW XQGHULQLWLDOFRQVROLGDWLRQVWUHVVDQG H[FHVVSRUHSUHVVXUHGLVVLSDWHG&56SHUPHDELOLW\WHVWVLVFDUULHGRXWDWDVSHFLILHGSRLQW LQWKHWHVW
7KHSHUPHDELOLW\LVFDOFXODWHGIURP'DUF\VODZDVN T$LZKHUHTLVWKHIORZUDWH
$LVWKHVSHFLPHQDUHDLLVWKHK\GUDXOLFJUDGLHQW7KHWRWDOIORZPHDVXUHGGXULQJDWHVW LVW\SLFDOO\RIDIHZFXELFFHQWLPHWUHVRIZDWHUDQGWKHWRWDOWLPHRIPHDVXUHPHQWFDQ YDU\IURPPLQXWHVWRKRXUV
*
PD[ZLWKEHQGHUHOHPHQWV *HQHUDO
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
*PD[ YU
ZKHUHY WKHVKHDUZDYHYHORFLW\
U GHQVLW\RIWKHVRLO
$W1*,PHDVXUHPHQWRI*PD[XVLQJEHQGHUHOHPHQWWHFKQLTXHFDQEHGRQHDWDQ\VWDJH RIDWULD[LDOGLUHFWVLPSOHVKHDURURHGRPHWHUWHVWZLWKRXWLQWHUIHULQJZLWKWKHSDUWLFXODU WHVW
)RUWKHEHQGHUHOHPHQWWHVWVSHUIRUPHGLQFRQQHFWLRQZLWKVWDWLF'66WHVWVWZRGHWHU PLQDWLRQVDUHPDGHIRUWZRRIWKHWHVWVRQHDWWKHPD[LPXPYHUWLFDOVWUHVVDQGRQHDW WKHILQDOFRQVROLGDWLRQVWUHVVV¶PLQ2QHGHWHUPLQDWLRQLVPDGHIRUWKH'66WHVWORDGHG GLUHFWO\WRWKHFRQVROLGDWLRQVWUHVVEHIRUHVKHDULQJ
3UHSDUDWLRQDQGPRXQWLQJ
7KHEHQGHUHOHPHQWLVDKLJKLPSHGDQFHGHYLFHDQGFDQQRWEHH[SRVHGWRPRLVWXUHDV WKLV ZLOO HOHFWULFDOO\ VKRUW WKH WUDQVGXFHU 7KH GHYLFH LV WKHUHIRUH FDVHG LQ D YDFXXP WUHDWHGKHDWFXUHGWZRFRPSRQHQWHSR[\*UHDWFDUHPXVWEHWDNHQWRDYRLGRSHQVHDPV FUDFNVRUDLUEXEEOHV
7KHFDVHGEHQGHUHOHPHQWLVWKHQSODFHGLQDVORWLQWKHSHGHVWDORUWRSFDSLQWKHVRLO WHVWLQJGHYLFH7KHEHQGHUHOHPHQWSURWUXGHVLQWRWKHVSHFLPHQDVDFDQWLOHYHUDQGWKH
VXUURXQGLQJVRLOSDUWLFOHVPRYHLQWKHVDPHEDFNDQGIRUWKPRYHPHQWDVWKHWLSRIWKH HOHPHQW7KLVZLOOUHVXOWLQVKHDUZDYHVZKLFKSURSDJDWHWKURXJKWKHVSHFLPHQLQDGL UHFWLRQSDUDOOHOWRWKHOHQJWKRIWKHUHOD[HGHOHPHQW
6SHFLPHQSUHSDUDWLRQ
7KHUHDUHGLIIHUHQWPHWKRGVIRUWULPPLQJDQGSUHSDUDWLRQRIDVSHFLPHQIRUDGYDQFHG WHVWLQJ7KHPHWKRGVDUHOLVWHGEHORZ
7ULPPHGE\ZLUHVDZ
7ULPPHGZLWKDFXWWLQJNQLIHRUDFXWWLQJULQJ 7ULPPHGZLWKEDQGVDZ
7ULPPHGE\ODWKH &RUHERULQJ
5HFRQVWLWXWHGUHPRXOGHG
,IWKHVRLOLVYHU\VRIWXQGUDLQHGVKHDUVWUHQJWKOHVVWKDQDSSUR[N3DWKHVDPSOH PD\EHH[WUXGHGIURPWKHVDPSOHWXEHDQGGLUHFWO\LQWRDWULD[LDOPHPEUDQHRHGRPHWHU ULQJRU '66FXWWLQJULQJ7KHSXUSRVHLVWRUHGXFHDQGPLQLPL]HVDPSOHGLVWXUEDQFH EHFDXVHRIOHVVFULWLFDODQGRUGLIILFXOWVDPSOHKDQGOLQJRSHUDWLRQVRIVRIWPDWHULDO
7ULPPHGZLWKDZLUHVDZ
7KHUHDUHWZRGLIIHUHQWZLUHGLDPHWHUV±DWKLQZLUHIRUPDWHULDOZLWKXQGUDLQHGVKHDU VWUHQJWKEHORZDSSUR[LPDWHO\N3DDQGDWKLFNHUZLUHIRUPDWHULDOZLWKKLJKHUVWUHQJWK
7ULPPHGZLWKDFXWWLQJNQLIH
7KHWULPPLQJDQGPRXQWLQJRI'66DQG&56VDPSOHVLVGRQHXVLQJDFXWWLQJNQLIHWR DFKLHYHDSHUIHFWGLDPHWHU
/DERUDWRU\WHVWLQJSURFHGXUHVIRUIUR]HQVRLOV
5HTXLUHPHQWVWRTXDOLW\RIVDPSOHVRIIUR]HQVRLOVIRUODERUDWRU\
WHVWLQJ
5HTXLUHPHQWVWRVDPSOHVRIIUR]HQVRLOVIRUODERUDWRU\WHVWLQJGHSHQGRQLWKHVWDJHRI VWUXFWXUHGHYHORSPHQWSURVSHFWGHVLJQRUPRQLWRULQJVWDJHRIDQGRULLGHVLJQUH TXLUHPHQWVIRUWKHSURSRVHGVWUXFWXUHRUIDFLOLW\
)RUVRPHDSSOLFDWLRQVSURVSHFWVWDJHRUVRPHW\SHVRIVWUXFWXUHVWHPSRUDU\VWUXF WXUHV RU VWUXFWXUHV WKDW FDQ WROHUDWH VRPH PRYHPHQW VDPSOHV REWDLQHG IURP DXJHU IOLJKWVRUFXWWLQJVPD\EHDGHTXDWH$QGHUVODQG/DGDQ\L)RUVRLOZLWKKLJKLFH FRQWHQW SDUWO\ GLVWXUEHG VDPSOHV GULYH VDPSOHV PD\ EH DGHTXDWH $QGHUVODQG /DGDQ\L
)RUDSSOLFDWLRQVZKHUHFRQVROLGDWLRQDQGFUHHSWHVWVUHTXLUHGKLJKLFHFRQWHQWKHDY\
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
FODVVLI\JURXQGLFHDQGSHUPLWWKHFDOFXODWLRQVRIZDWHUFRQWHQWGU\DQGEXONGHQVLW\
0LQLPDOO\GLVWXUEHGFRUHVDPSOHVFDQEHREWDLQHGIURPLEORFNVDPSOHV6WLOOHWDO E DQG E\ XVLQJ WKH IROORZLQJ FRULQJ PHWKRGV ZKLFK GHPRQVWUDWHG VDPSOHG RI DSSURSULDWHTXDOLW\LLGRXEOHWXEHVZLYHOKHDGFRUHEDUUHORIWKH0W\SH*LOEHUWHW DO+YRUVOHY*RRGHLLLVLQJOHWXEHFRUHEDUUHO&DOPHOV HWDO 'LFNLQVRQHWDOLY&55(/FRULQJDXJHU%URFNHWW/DZVRQY6,1 7()PRGLILHG&55(/FRULQJDXJHU:ROG% YHUIMRUG
7KHIROORZLQJIDFWRUVGHILQHWKHTXDOLW\RIWKHQDWXUDOO\IUR]HQVRLOVDPSOH6WLOOHWDO EW\SHRIIUR]HQVRLOWKHLQVLWXWKHUPDOFRQGLWLRQDWWKHWLPHRIVDPSOLQJWKH VDPSOLQJPHWKRGWKHWUDQVSRUWDWLRQDQGVWRUDJHSURFHGXUHVDQGWKHVSHFLPHQPDFKLQ LQJSULRUWRWHVWLQJ
5RXWLQHVIRUVDPSOLQJIRUVDPSOLQJIUR]HQVRLOVDUHSUHVHQWHGLQ1*76UHSRUWRQILHOG RSHUDWLRQV>1*76UHSRUW5@
5HTXLUHPHQWVWRWUDQVSRUWDWLRQVWRUDJHPDFKLQLQJDQGWHVWLQJRI VDPSOHVRIIUR]HQVRLOV
'HWDLOHGURXWLQHVIRUWUDQVSRUWDWLRQSUHSDUDWLRQDQGVWRUDJHRIIUR]HQVRLOVDPSOHVIRU ODERUDWRU\WHVWLQJDUHSUHVHQWHGLQ%DNHU6RPHDGYDQFHVLQWKHVHURXWLQHVDQG GHVFULSWLRQRIURXWLQHVLQPRUHFRQGHQVHGZD\DUHSUHVHQWHGLQ6WLOOHWDOE
7HPSRUDOVWRUDJHLQWKHILHOGWUDQVSRUWDWLRQDQGVWRUDJHRIIUR]HQVRLOV
6XEOLPDWLRQHYDSRUDWLRQDQGWKHUPDOGLVWXUEDQFHDIIHFWPHFKDQLFDOSURSHUWLHVRIIUR ]HQ VRLOV WKHUPDO GLVWXUEDQFH HPEUDFHV ERWK WKDZLQJ DQG WHPSHUDWXUH IOXFWXDWLRQV
%DNHU7KHGHJUHHRIFDUHLQSURYLGLQJSURWHFWLRQDJDLQVWPHQWLRQHGDERYHGHW ULPHQWDODFWLRQVGHSHQGVRQWKHW\SHRIODERUDWRU\WHVW
$IWHUWKHVDPSOHVDUHH[WUDFWHGIURPWKHJURXQGWKH\VKDOOEHZUDSSHGLQFHOORSKDQH DLUVKDOOEH H[WUXGHGIURPWKHEDJDQGDIWHUZDUGVWKHEDJVKDOOEHVHDOHGWRSUHYHQW VXEOLPDWLRQ$LUFDQEHH[WUXGHGE\XVLQJYDFXXPSXPSRUIRUFLQJPRVWRIWKHDLUE\
KDQGSULRUWRVHDOLQJ3ODFLQJVRPHVQRZRULFHLQWKHEDJFDQKHOSWRPDLQWDLQKXPLGLW\
RIWKHVDPSOH7\SHVRIVHDOLQJLKHDWVHDOLQJLLORFNLQJQ\ORQWLHLLLSODVWLF]LS
8QIUR]HQVDPSOHVWKDWKDYHEHHQREWDLQHGIRUWKDZFRQVROLGDWLRQPXVWQRWEHDOORZHG WRIUHH]HVRWKDWWKH\ FDQEHWHVWHGLQWUXO\XQGLVWXUEHGFRQGLWLRQV)UR]HQVDPSOHV REWDLQHGIRUWKDZFRQVROLGDWLRQVWUHQJWKDQGFUHHSWHVWVPXVWEHPDLQWDLQHGDWWKHLQ VLWXWHPSHUDWXUH%DNHU
7HPSRUDOVWRUDJHRISDFNHGVDPSOHVLQWKHILHOGFDQEHRUJDQL]HGLQWKHIROORZLQJZD\V DSRUWDEOHIUHH]HULLQVXODWHGER[SDFNHWZLWKLFHGU\LFHRUIUHH]HUMHOO\SDFNVLL LQLLLVWRULQJLQWKHERUHKROHVPDGHGXULQJVDPSOLQJIRULQVWDQFHLYLQDQXQLQVX ODWHGER[LIDPELHQWDLUWHPSHUDWXUHVDUHQHJDWLYHDOLPLWVKRXOGEHSUREDEO\GHILQHG KHUHOHWVVD\϶&LQGD\WLPHYEXUULQJVDPSOHVLQVQRZ
7UDQVSRUWDWLRQRIVDPSOHVVKDOOEHSHUIRUPHGLQSRUWDEOHIUHH]HURULQVXODWHGER[>$G GLWLRQDOUHTXLUHPHQWVVKDOOEHVXPPDUL]HGIRUWUDQVSRUWDWLRQ$QDWRO\6LQLWV\Q@
6WRUDJHDQGSURWHFWLRQGXULQJODERUDWRU\WHVWLQJ
6DPSOHVVKDOOEHLQVSHFWHGXSRQGHOLYHU\LQWKHVWRUDJHIRUZDUHRIFHOORSKDQHEDJVGXH WRWUDQVSRUWDWLRQ6DPSOHVLQGDPDJHGEDJVVKDOOEHUHSDFNHG6WRUDJHRIVDPSOHVRI IUR]HQVRLOVVKDOOEHSHUIRUPHGDWWKHWHPSHUDWXUHDVFORVHWRWKHLQVLWXWHPSHUDWXUHDV SRVVLEOH)UHH]HUVVKDOOEHHTXLSSHGFRQQHFWHGWRDXWRPDWLFV\VWHPSURYLGLQJDOWHUQD WLYHSRZHUVXSSO\IURPDJHQHUDWRUIRULQVWDQFHLQFDVHRIWKHSRZHUFXW
$GGLWLRQDOLQVXODWLRQSRO\XUHWKDQHEDJIRULQVWDQFHVDPSOHVGXULQJWHPSRUDOVWRUDJH LQWKHILHOGWUDQVSRUWDWLRQDQGVWRUDJHDUHEHQHILFLDOIRUUHGXFWLRQRIWHPSHUDWXUHIOXF WXDWLRQV
0DFKLQLQJRIVDPSOHVRIIUR]HQVRLOV
5RXJKDQGILQLVKLQJPHWKRGVDUHSUHVHQWHGLQ%DNHU&\OLQGULFDOVDPSOHVDUH QRUPDOO\XVHGIRUXQFRQILQHGFRPSUHVVLRQWHVWV6WDQGDUG'GHVFULEHV UHTXLUHPHQWVIRUJHRPHWULFDOGLPHQVLRQVRIDVSHFLPHQIRUWKHODWWHUWHVW)DEULFDWLRQRI F\OLQGULFDOVSHFLPHQVIURPEORFNVDPSOHVLVGHVFULEHGLQ6WLOOHWDOE
7HVWLQJRIIUR]HQVRLOV
&RPPRQRSHUDWLRQV
&RQGLWLRQLQJRIWKHVSHFLPHQVWRDVSHFLILFWHPSHUDWXUH
3LFWXULQJQRWHVRQYLVXDOFODVVLILFDWLRQDFFRUGLQJWR$670' LQFOXGLQJORFDWLRQVL]HGLVWULEXWLRQRILFHDQGODUJHUJUDLQVRIVRLOGLPHQVLRQV RIDVSHFLPHQRULHQWDWLRQRIDVSHFLPHQODEHORQVDPSOHVKRZLQJVDPSOLQJ VLWHDQGRWKHULQIRUPDWLRQDVERUHKROHQXPEHUDQGGHSWK
1RWHVRQFDOLEUDWLRQZKHQLWZDVGRQHDQGUHVXOWVRIORDGFHOODQGDSSDUDWXVHV PHDVXULQJVWUDLQV
1RWHVRIIDLOXUHPRGHRIWHVWHGVSHFLPHQV
&ODVVLILFDWLRQRIIUR]HQVRLOV
9LVXDOFODVVLILFDWLRQRIIUR]HQVRLOFDQEHSHUIRUPHGE\XVLQJVWDQGDUG$670' 7KLVFODVVLILFDWLRQLVLQGHSHQGHQWIURPWKHJHRORJLFDOKLVWRU\DQGPRGHRI RULJLQ&ODVVLILFDWLRQDFFRUGLQJWRWKHODWWHUVWDQGDUGGRHVQRWLQFOXGHLQGH[SURSHUWLHV DVZDWHULFHFRQWHQWGU\GHQVLW\DQGVWUHQJWKSURSHUWLHV
&ODVVLILFDWLRQLQYROYHVWKUHHSDUWV
3DUW±WKHVRLOSKDVHLVLGHQWLILHGLQGHSHQGHQWO\RIWKHIUR]HQVWDWHXVLQJWKH 8QLILHG6RLO&ODVVLILFDWLRQ6\VWHP
3DUW±FKDUDFWHULVWLFVUHVXOWLQJIURPWKHIUR]HQVWDWHDUHGHVFULEHG 3DUW±LFHVWUDWDIRXQGLQWKHVRLODUHGHVFULEHG
&ODVVLILFDWLRQ IRU 3DUW VKDOO EH SHUIRUPHG DFFRUGLQJ WR 16(1 1$3URFHGXUHVIURP$670'VKDOOEHXVHGIRU 3DUWDQG3DUW
$FFRUGLQJ WR 6WLOO HW DO D VWDQGDUG $670 ' LV QRW DGHTXDWH DORQHWRFODVVLI\IUR]HQVRLOV7KDZVHWWOHPHQWHVWLPDWLRQVDQGDVVHVVPHQWRIDQHHGIRU PHFKDQLFDOWHVWLQJRIWKHIUR]HQVRLOZLOOEHIDFLOLWDWHGLIRQHLQFOXGHLQFODVVLILFDWLRQRI WKHVRLOWKHIROORZLQJLQGH[SURSHUWLHVLWKHZDWHUFRQWHQWLLGU\DQGLLLEXONGHQ VLW\
,QGH[SURSHUWLHVDQGFKHPLFDOWHVWRIIUR]HQVRLOV
,QGH[SURSHUWLHVRIWKDZHGVRLOV
,QGH[SURSHUWLHVRIIUR]HQVRLOVZKLFKDUHGHILQHGRQWKDZHGPDWHULDOVKDOOEHREWDLQHG E\XVLQJVWDQGDUGVOLVWHGLQVHFWLRQV
6SHFLILFLQGH[SURSHUWLHV
,QLWLDOIUHH]LQJWHPSHUDWXUHFDQEHGHWHUPLQHGE\DQDSSURDFKGHVFULEHGLQ$QGHUVODQG /DGDQ\LDQGEDVHGRQWKHFRROLQJFXUYH/RPRQRVRY0RVFRZ6WDWH8QLYHUVLW\
KDVGHYHORSHGDPHWKRGEDVHGRQWKHWKDZLQJFXUYH6RPHRWKHUVSHFLILFLQGH[SURSHU WLHVOLNHXQIUR]HQZDWHUFRQWHQWFDQEHDOVRGHWHUPLQHG
0HFKDQLFDOWHVWLQJRIIUR]HQVRLOV
&UHHSSURSHUWLHVRIIUR]HQVRLOVDPSOHVFDQEHGHWHUPLQHGE\XVLQJVWDQGDUG' 6WUHQJWKSURSHUWLHVRIIUR]HQVRLODWDFRQVWDQWUDWHRIVWUDLQHGFDQEHGHWHU PLQHGE\XVLQJVWDQGDUG'0HWKRGRORJLHVIRUWULD[LDOWHVWLQJRIIUR]HQ VRLODUHSUHVHQWHGLQ.RUQILHOG=XEHFN
0HWKRGVIRURWKHUPHFKDQLFDOWHVWVDUHEULHIO\UHYLHZHGLQ2HVWJDDUG=XEHFN
)URVWKHDYHDQGWKDZZHDNHQLQJSURSHUWLHV
)URVW KHDYH DQG WKDZ ZHDNHQLQJ VXVFHSWLELOLW\ RI VRLOV FDQ EH GHWHUPLQHG E\ XVLQJ VWDQGDUG$670''HWHUPLQDWLRQRIWKHHIIHFWRIIUHH]HWKDZRQK\
GUDXOLFFRQGXFWLYLW\RIFRPSDFWHGRULQWDFWVRLOFDQEHGHWHUPLQHGE\XVLQJVWDQGDUG
$670''0
0HWKRGRORJ\IRUGHILQLQJWKHVHJUHJDWLRQSRWHQWLDOZDVVXJJHVWHGE\.RQUDG
7KHUPDOSURSHUWLHVRIIUR]HQVRLOV
7KHUPDO FRQGXFWLYLW\ RI VRLOV FDQ EH GHWHUPLQHG E\ XVLQJ WKHUPDO QHHGOH SUREH GH VFULEHGLQ'KHDWFDSDFLW\RIVRLOVFDQEHGHWHUPLQHGE\XVLQJVWDQGDUG
$670'
5HIHUHQFHV
$QGUHVHQ$7%HUUH$.OHYHQDQG7/XQQH
3URFHGXUHVXVHGWRREWDLQVRLOSDUDPHWHUVIRUIRXQGDWLRQHQJLQHHULQJ LQWKH1RUWK6HD0DULQH*HRWHFKQRORJ\9RO1RSS
$OVRSXEOLQ1RUZHJLDQ*HRWHFKQLFDO,QVWLWXWH 3XEOLFDWLRQ
$NVHQRY9,
=DVROHQQ\\HPHU]O\\HJUXQW\DUNWLFKHVNLNKSREHUH]KL\NDNRVQRYDQL\D VRRUX]KHQL\6DOLQHIUR]HQVRLOVRI$UFWLFFRDVWDVEDVHVIRUVWUXFWXUHV 9VHRPLUHVWURLWHOVWYD(YHU\WKLQJDERXWFRQVWUXFWLRQZRUOG0RVFRZ
$QGHUVODQG2%DQG/DGDQ\L%
)UR]HQ*URXQG(QJLQHHULQJQG(GLWLRQ-RKQ:LOH\ 6RQV +RERNHQ1HZ-HUVH\
$670'6WDQGDUG3UDFWLFHIRU'HVFULSWLRQRI)UR]HQ6RLOV9LVXDO 0DQXDO3URFHGXUH
$670'6WDQGDUG7HVW0HWKRGIRU6SHFLILF+HDWRI5RFNDQG6RLO
$670'6WDQGDUG7HVW0HWKRGIRU'HWHUPLQDWLRQRI7KHUPDO&RQGXFWLYLW\RI 6RLODQG6RIW5RFN
$670'6WDQGDUG7HVW0HWKRGVIRU)URVW+HDYHDQG7KDZ:HDNHQLQJ 6XVFHSWLELOLW\RI6RLOV
$670''06WDQGDUG7HVW0HWKRGIRU'HWHUPLQLQJWKH(IIHFWRI)UHH]H 7KDZRQ+\GUDXOLF&RQGXFWLYLW\RI&RPSDFWHGRU,QWDFW6RLO6SHFLPHQV8VLQJD )OH[LEOH:DOO3HUPHDPHWHU:HVW&RQVKRKRFNHQ3$
%DNHU7+:
7UDQVSRUWDWLRQ3UHSDUDWLRQDQG6WRUDJHRI)UR]HQ6RLO6DPSOHV
IRU/DERUDWRU\7HVWLQJ6RLO6SHFLPHQ3UHSDUDWLRQIRU/DERUDWRU\7HVWLQJ
$670673$PHULFDQ6RFLHW\IRU7HVWLQJDQG0DWHULDOV0RQWUHDO
&DQDGD-XQH
%HUUH7
7ULD[LDOWHVWLQJDWWKH1RUZHJLDQ*HRWHFKQLFDO,QVWLWXWH
*HRWHFKQLFDO7HVWLQJ-RXUQDO9RO1RSS
$OVRSXEOLQ1RUZHJLDQ*HRWHFKQLFDO,QVWLWXWH 3XEOLFDWLRQSS
%MHUUXP/DQG$/DQGYD
'LUHFWVLPSOHVKHDUWHVWVRQD1RUZHJLDQTXLFNFOD\
*HRWHFKQLTXH9RO1RSS
$OVRSXEOLQ1RUZHJLDQ*HRWHFKQLFDO,QVWLWXWH3XEOLFDWLRQ1R
%URFNHWW%(DQG/DZVRQ'(
3URWRW\SHGULOOIRUFRUHVDPSOLQJILQHJUDLQHGSHUHQQLDOO\IUR]HQJURXQG&55(/SS
&DOPHOV)*DUGRQ2DQG$OODUG0
$SRUWDEOHHDUWKGULOOV\VWHPIRUSHUPDIURVWVWXGLHV3HUPDIURVWDQG3HULJODF 3URFHVV
'$6WDQGDUG7HVW0HWKRGIRU'HWHUPLQDWLRQRI7KHUPDO&RQGXFWLYLW\RI 6RLODQG6RIW5RFNE\7KHUPDO1HHGOH3UREH3URFHGXUH
'$6WDQGDUG7HVW0HWKRGIRU/DERUDWRU\'HWHUPLQDWLRQRI&UHHS 3URSHUWLHVRI)UR]HQ6RLO6DPSOHVE\8QLD[LDO&RPSUHVVLRQ
'$6WDQGDUG7HVW0HWKRGIRU/DERUDWRU\'HWHUPLQDWLRQRI6WUHQJWK 3URSHUWLHVRI)UR]HQ6RLODWD&RQVWDQW5DWHRI6WUDLQ
'LFNLQVRQ:&RRSHU3:HEVWHU%DQG$VKE\-
$SRUWDEOHGULOOLQJULJIRUFRULQJSHUPDIUVRWHGVHGLPHQWV-RXUQDORI6HGLPHQWDU\
5HVHDUFK
',1
%HVWLPPXQJGHU'LFKWHQLFKWELQGLJHU%|GHQEHLORFNHUVWHUXQGGLFKWHVWHU/DJHUXQJ ',1'HXWVFKHV,QVWLWXWIU1RUPXQJ%HUOLQ*HUPDQ\
'\YLN5DQG&0DGVKXV
/DE0HDVXUHPHQWVRI*PD[8VLQJ%HQGHU(OHPHQWV
$6&($QQXDO&RQYHQWLRQ$GYDQFHVLQWKH$UWRI7HVWLQJ6RLOV8QGHU&\FOLF&RQGL WLRQV
'\YLN5DQG762OVHQ
*PD[PHDVXUHGLQRHGRPHWHUDQG'66WHVWVXVLQJEHQGHUHOHPHQWV
,QWHUQDWLRQDO&RQIHUHQFHRQ6RLO0HFKDQLFV DQG )RXQGDWLRQ(QJLQHHULQJ5LRGH -DQHLUR3URFHHGLQJV9ROSS
$OVRSXEOLQ1*,2VOR3XEOLFDWLRQ
*HRWHNQLVNH IHOW RJ ODERUDWRULHXQGHUV¡NHOVHU ± /DERUDWRULHSU¡YLQJ DY MRUG ± 'HO
%HVWHPPHOVHDYYDQQLQQKROG,62
*LOEHUW*/&KULVWLDQVHQ++DQG1HXPDQQ8
&RULQJRIXQFRQVROLGDWHGSHUPDIURVWGHSRVLWVPHWKRGRORJLFDOVXFFHVVHVDQG
FKDOOHQJHV*(24XHEHF&KDOOHQJHVIURP1RUWKWR6RXWK'HVGHILVGX1RUGDX 6XG
+YRUVOHY0-DQG*RRGH7%
&RUHGULOOLQJLQIUR]HQVRLOV3HUPDIURVW,QWHUQDWLRQDO&RQIHUHQFH1RYHPEHU /DID\HWWH,QGLDQD
.RQUDG-0
3URFHGXUHIRUGHWHUPLQLQJWKHVHJUHJDWLRQSRWHQWLDORIIUHH]LQJVRLOV*HRWHFK7HVW-
$670
.RUQILHOG76DQG=XEHFN+
7ULD[LDO7HVWLQJRI)UR]HQ6RLOV6WDWHRIWKH$UW0HFKDQLFDO3URSHUWLHVRI)UR]HQ 6RLOV673/DGG56
3UHSDULQJ7HVW6SHFLPHQV8VLQJ8QGHUFRPSDFWLRQ
*HRWHFKQLFDO7HVWLQJ-RXUQDO*7-2'-9RO1R 0DUFKSS
0RXP-
)DOOLQJGURSXVHGIRUJUDLQVL]HDQDO\VLVRIILQHJUDLQHGPDWHULDOV6HGLPHQWRORJ\9RO 1RSS
$OVRSXEOLQ1RUZHJLDQ*HRWHFKQLFDO,QVWLWXWH3XEOLFDWLRQ
1RUJHV%\JJVWDQGDUGLVHULQJVUnG1%516
*HRWHFKQLFDOWHVWLQJ±/DERUDWRU\PHWKRGV±&RQVLVWHQF\OLPLWWHUPVDQGV\PEROV
1RUJHV%\JJVWDQGDUGLVHULQJVUnG1%516
*HRWHFKQLFDOWHVWLQJ±/DERUDWRU\PHWKRGV±3HUFXVVLRQOLTXLGOLPLW
1RUJHV%\JJVWDQGDUGLVHULQJVUnG1%516
*HRWHFKQLFDOWHVWLQJ/DERUDWRU\PHWKRGV)DOOFRQHOLTXLGOLPLW
1RUJHV%\JJVWDQGDUGLVHULQJVUnG1%516
*HRWHFKQLFDOWHVWLQJ/DERUDWRU\PHWKRGV3ODVWLFOLPLW
1RUJHV%\JJVWDQGDUGLVHULQJVUnG1%516
*HRWHFKQLFDOWHVWLQJ/DERUDWRU\PHWKRGV*UDLQVL]HDQDO\VLVRIVRLOVDPSOHV
1RUJHV%\JJVWDQGDUGLVHULQJVUnG1%516
*HRWHFKQLFDOWHVWLQJ/DERUDWRU\PHWKRGV±6RLOFRQVWLWXHQWVDQGVWUXFWXUH7HUPVDQG V\PEROV
1RUJHV%\JJVWDQGDUGLVHULQJVUnG1%516
*HRWHFKQLFDOWHVWLQJ/DERUDWRU\PHWKRGV'HWHUPLQDWLRQRIXQGUDLQHGVKHDUVWUHQJWK E\IDOOFRQHWHVWLQJ
1RUJHV%\JJVWDQGDUGLVHULQJVUnG1%516
*HRWHFKQLFDOWHVWLQJ/DERUDWRU\PHWKRGV±'HWHUPLQDWLRQRIRQH±GLPHQVLRQDO FRQVROLGDWLRQSURSHUWLHVE\RHGRPHWHUWHVWLQJ±0HWKRGXVLQJLQFUHPHQWDOORDGLQJ
1RUJHV%\JJVWDQGDUGLVHULQJVUnG1%516
*HRWHFKQLFDOWHVWLQJ/DERUDWRU\PHWKRGV'HWHUPLQDWLRQRIRQH±GLPHQVLRQDO FRQVROLGDWLRQSURSHUWLHVE\RHGRPHWHUWHVWLQJ±0HWKRGXVLQJFRQWLQXRXVORDGLQJ
16(11$
(XURFRGH*HRWHFKQLFDOGHVLJQ3DUW*URXQGLQYHVWLJDWLRQDQGWHVWLQJ(XURNRGH
*HRWHNQLVNSURVMHNWHULQJ'HO5HJOHUEDVHUWSnJUXQQXQGHUV¡NHOVHURJ ODERUDWRULHSU¡YHU
16(1,62*HRWHNQLVNHIHOWRJODERUDWRULHXQGHUV¡NHOVHU±/DERUDWR ULHSU¡YLQJDYMRUG±'HO%HVWHPPHOVHDYURPGHQVLWHW,62
16(1,62*HRWHNQLVNHIHOWRJODERUDWRULHXQGHUV¡NHOVHU±/DERUDWR ULHSU¡YLQJDYMRUG±'HO%HVWHPPHOVHDYNRUQGHQVLWHW,62NRUULJHUW YHUVMRQ
16,629DQQXQGHUV¡NHOVH±%HVWHPPHOVHDYNRQGXNWLYLWHW (1
2HVWJDDUG)(DQG=XEHFN+.
7ULD[LDO7HVWLQJRI)UR]HQ6RLOV6WDWHRIWKH$UW 3UDFWLFHRI7HVWLQJ)UR]HQ6RLOV
6DQGE NNHQ*7%HUUHDQG6/DFDVVH
2HGRPHWHUWHVWLQJDWWKH1RUZHJLDQ*HRWHFKQLFDO,QVWLWXWH&RQVROLGDWLRQRIVRLOVWHVW LQJDQGHYDOXDWLRQDV\PSRVLXP
$6706SHFLDO7HFKQLFDO3XEOLFDWLRQSS
6WDWHQV9HJYHVHQ1RUZHJLDQ3XEOLF5RDGV$GPLQLVWUDWLRQ
+DQGERRN5+DQGERRN7HVWSURFHGXUH+XPXVLQQKROGYHGJO¡GLQJ
6WDWHQV9HJYHVHQ1RUZHJLDQ3XEOLF5RDGV$GPLQLVWUDWLRQ
+DQGERRN5+DQGERRN7HVWSURFHGXUH7UHDNVLDOIRUV¡N
6WLOO%3URVNLQ6=XEHFN+DQG<DQJ=D
)UR]HQ6RLO&ODVVLILFDWLRQ:LWK,QGH[7HVWLQJ0HFKDQLFDO3URSHUWLHVRI)UR]HQ6RLOV 673
6WLOO%<DQJ=-DQG*H;E
6DPSOLQJ0DFKLQLQJDQG7HVWLQJRI1DWXUDOO\)UR]HQ6RLOV0HFKDQLFDO3URSHUWLHVRI )UR]HQ6RLOV673
:ROG0DQG% YHUIMRUG0*
7HVWLQJRIGLIIHUHQWPHWKRGVIRUVDPSOLQJFRDUVHVRLOVLQZDUPFRDVWDOSHUPDIURVW 3URFHHGLQJVRIWKHQG,QWHUQDWLRQDO&RQIHUHQFHRQ3RUWDQG2FHDQ(QJLQHHULQJ XQGHU$UFWLF&RQGLWLRQV-XQH(VSRR)LQODQG
Appendix A
Comparison of triaxial consolidation procedures
x ŽŵƉĂƌŝƐŽŶďĞƚǁĞĞŶhƚĞƐƚƐ͗
R KE^ϰϭͲϭϭͲͲϭ͕ŽŶƐŽůŝĚĂƚĞĚĂĐĐŽƌĚŝŶŐƚŽE'/ŵĞƚŚŽĚŽůŽŐLJ͕ŝ͘Ğ͘ŝƐŽƚƌŽƉŝĐƐƚƌĞƐƐ ŝŶĐƌĞĂƐĞƚŽĨŝŶĂůƌĂĚŝĂůĞĨĨĞĐƚŝǀĞƐƚƌĞƐƐĨŽůůŽǁĞĚďLJŝŶĐƌĞĂƐĞŝŶĚĞǀŝĂƚŽƌŝĐƐƚƌĞƐƐƵƉƚŽ ĨŝŶĂůĂdžŝĂůĞĨĨĞĐƚŝǀĞƐƚƌĞƐƐ
R KE^ϰϭͲϭϭͲͲϭ͕ŽŶƐŽůŝĚĂƚĞĚĂĐĐŽƌĚŝŶŐƚŽ^ssŵĞƚŚŽĚŽůŽŐLJ͕ŝ͘Ğ͘ƐŝŵƵůƚĂŶĞŽƵƐ ŝŶĐƌĞĂƐĞŝŶĂdžŝĂůĂŶĚƌĂĚŝĂůĞĨĨĞĐƚŝǀĞƐƚƌĞƐƐĂƚĐŽŶƐƚĂŶƚƌĂƚŝŽ
R KE^ϰϭͲϭϭͲͲϭ͕ŽŶƐŽůŝĚĂƚĞĚĂĐĐŽƌĚŝŶŐƚŽE'/ŵĞƚŚŽĚŽůŽŐLJ͕ŝ͘Ğ͘ŝƐŽƚƌŽƉŝĐƐƚƌĞƐƐ ŝŶĐƌĞĂƐĞƚŽĨŝŶĂůƌĂĚŝĂůĞĨĨĞĐƚŝǀĞƐƚƌĞƐƐĨŽůůŽǁĞĚďLJŝŶĐƌĞĂƐĞŝŶĚĞǀŝĂƚŽƌŝĐƐƚƌĞƐƐƵƉƚŽ ĨŝŶĂůĂdžŝĂůĞĨĨĞĐƚŝǀĞƐƚƌĞƐƐ
x ĞůŽǁŝƐƚŚĞƐĂŵƉůĞƚƵďĞƐƵďĚŝǀŝƐŝŽŶ
x ZĞƐƵůƚƐƵŵŵĂƌLJƚĂďůĞʹƐĞĞƚĂďůĞŶƌϭ x ZĞƐƵůƚƐƉůŽƚƐ͗
R WĂŐĞϮ ĐŽƌƌĞůĂƚŝŽŶƐ
R WĂŐĞϯͲϰ ƐŚĞĂƌŝŶŐƉŚĂƐĞĂůůƚĞƐƚƐ R WĂŐĞϱ ĐŽŶƐŽůŝĚĂƚŝŽŶƉŚĂƐĞĂůůƚĞƐƚƐ R ƉƉ͘ WĚĨƐŝŶŐůĞƚĞƐƚƐ
x KďƐĞƌǀĂƚŝŽŶƐŽŶƚŚĞƌĞƐƵůƚƐ R &ƌŽŵĨŝŐƵƌĞϭ
ƐƚŚĞƐĂŵƉůĞĚĞƉƚŚŝŶĐƌĞĂƐĞƐ͕ƚŚĞŝŶŝƚŝĂůƐƉĞĐŝŵĞŶǁĂƚĞƌĐŽŶƚĞŶƚĚĞĐƌĞĂƐĞƐ
ƐƚŚĞŝŶŝƚŝĂůƐƉĞĐŝŵĞŶǁĂƚĞƌĐŽŶƚĞŶƚĚĞĐƌĞĂƐĞƐ͕ƚŚĞǀŽůƵŵĞƚƌŝĐƐƚƌĂŝŶĂƚĞŶĚ ŽĨĐŽŶƐŽůŝĚĂƚŝŽŶĚĞĐƌĞĂƐĞƐ
R &ƌŽŵĨŝŐƵƌĞϮ
ƐƚŚĞǀŽůƵŵĞƚƌŝĐƐƚƌĂŝŶĂƚĞŶĚŽĨĐŽŶƐŽůŝĚĂƚŝŽŶĚĞĐƌĞĂƐĞƐ͕ƚŚĞŶŽƌŵĂůŝnjĞĚ ƐŚĞĂƌƐƚƌĞŶŐƚŚŝŶĐƌĞĂƐĞƐ;ůŝŶĞĂƌůLJͿ
R dŚĞƵŶĚƌĂŝŶĞĚƐŚĞĂƌƐƚƌĞŶŐƚŚŽƌǀŽůƵŵĞƚƌŝĐƐƚƌĂŝŶĂƚĞŶĚŽĨĐŽŶƐŽůŝĚĂƚŝŽŶĚŽĞƐŶŽƚ ĂƉƉĞĂƌƚŽĐŽƌƌĞůĂƚĞǁŝƚŚĐŽŶƐŽůŝĚĂƚŝŽŶŵĞƚŚŽĚ
&ŝŐƵƌĞϭ/ŶŝƚŝĂůǁĂƚĞƌĐŽŶƚĞŶƚǀĞƌƐƵƐǀŽůƵŵĞƚƌŝĐƐƚƌĂŝŶĞŶĚŽĨĐŽŶƐŽůŝĚĂƚŝŽŶĂŶĚƐƉĞĐŝŵĞŶĚĞƉƚŚ
&ŝŐƵƌĞϮsŽůƵŵĞƚƌŝĐƐƚƌĂŝŶĞŶĚŽĨĐŽŶƐŽůŝĚĂƚŝŽŶǀĞƌƐƵƐƵŶĚƌĂŝŶĞĚƐŚĞĂƌƐƚƌĞŶŐƚŚ
ϭϬ͘Ϯϱ ϭϬ͘ϯϬ ϭϬ͘ϯϱ ϭϬ͘ϰϬ ϭϬ͘ϰϱ ϭϬ͘ϱϬ ϭϬ͘ϱϱ ϭϬ͘ϲϬ ϭϬ͘ϲϱ Ϭ͘ϬϬ
Ϭ͘ϱϬ ϭ͘ϬϬ ϭ͘ϱϬ Ϯ͘ϬϬ Ϯ͘ϱϬ ϯ͘ϬϬ ϯ͘ϱϬ
ϱϯ͘ϬϬ ϱϰ͘ϬϬ ϱϱ͘ϬϬ ϱϲ͘ϬϬ ϱϳ͘ϬϬ ϱϴ͘ϬϬ ϱϵ͘ϬϬ ϲϬ͘ϬϬ
ĞƉƚŚ;ŵͿ
HǀĐ;йͿ
tŝ;йͿ
sŽů͘^ƚƌĂŝŶŶĚŽĨŽŶƐ ĞƉƚŚ
Ϭ͘ϯϱ Ϭ͘ϯϱ Ϭ͘ϯϲ Ϭ͘ϯϲ Ϭ͘ϯϳ Ϭ͘ϯϳ Ϭ͘ϯϴ Ϭ͘ϯϴ Ϭ͘ϯϵ Ϭ͘ϯϵ Ϭ͘ϰϬ
Ϭ͘ϬϬ ϭ͘ϬϬ Ϯ͘ϬϬ ϯ͘ϬϬ ϰ͘ϬϬ ϱ͘ϬϬ
ƐƵĐͬVΖĂĐ
HǀĐ;йͿ
6KHDUVWUHVVN3D
$[LDOVWUDLQ
E'/ͲϭϭͲͲϭ
^ssͲϭϭͲͲϭ E'/ͲϭϭͲͲϭ
6KHDUVWUHVVN3D
0HDQHIIVWUHVVN3D
([FHVVSRUHSUHVVXUHN3D
$[LDOVWUDLQ
1RUPDOL]HG6KHDUVWUHVVN3D
$[LDOVWUDLQ
1RUP6KHDUVWUHVVN3D
1RUP0HDQHIIVWUHVVN3D
(IID[LDOVWUHVVN3D
7LPHPLQ
E'/ͲϭϭͲͲϭ
^ssͲϭϭͲͲϭ E'/ͲϭϭͲͲϭ
6KHDUVWUHVVN3D
0HDQHIIVWUHVVN3D
$[LDOVWUDLQ
7LPHPLQ
9ROXPHWULFOVWUDLQ
7LPHPLQ
$[LDO6WUDLQ D
6KHDU6WUHVVDU
$[LDO6WUDLQ D
3RUH3UHVVXUHXN3D
dƌŝĂdžŝĂůƚĞƐƚ͗
ŽƌŝŶŐ͗ ĞƉƚŚс ŵ ŽŶƐŽůŝĚĂƚŝŽŶƐƚƌĞƐƐĞƐ
h
KE^ϰϭ ϭϬ͘ϭϴ
ĂƚŽͬƌĞǀ͗͘ϮϬϭϰͲϭϮͲϮϯͬϬϭ
E'd^ͲKŶƐƆLJdĞƐƚ^ŝƚĞ
'yy
ϮϬϭϲϬϭϱϰͲϭϬ
ƌĂǁŶďLJͬĐŚĞĐŬĞĚ ĂƚĞ
&ŝŐƵƌĞEŽ͘
ŽĐƵŵĞŶƚEŽ͘
WĂ ͬ D^
6KHDU6WUHVV
D
N3D U
(IIHFWLYH0HDQ6WUHVVS DUN3D
D 3RV1HJ
dƌŝĂdžŝĂůƚĞƐƚ͗
ŽƌŝŶŐ͗ ĞƉƚŚс ŵ ŽŶƐŽůŝĚĂƚŝŽŶƐƚƌĞƐƐĞƐ
h
KE^ϰϭ ϭϬ͘ϭϴ
ĂƚŽͬƌĞǀ͗͘ϮϬϭϰͲϭϮͲϮϯͬϬϭ
E'd^ͲKŶƐƆLJdĞƐƚ^ŝƚĞ
'yy
ϮϬϭϲϬϭϱϰͲϭϬ
ƌĂǁŶďLJͬĐŚĞĐŬĞĚ ĂƚĞ
&ŝŐƵƌĞEŽ͘
ŽĐƵŵĞŶƚEŽ͘
WĂ ͬ D^
$[LDO6WUDLQ D
6KHDU6WUHVVDU
$[LDO6WUDLQ D
3RUH3UHVVXUHXN3D
dƌŝĂdžŝĂůƚĞƐƚ͗
ŽƌŝŶŐ͗ ĞƉƚŚс ŵ ŽŶƐŽůŝĚĂƚŝŽŶƐƚƌĞƐƐĞƐ
h
KE^ϰϭ ϭϬ͘ϯϮ
ĂƚŽͬƌĞǀ͗͘ϮϬϭϰͲϭϮͲϮϯͬϬϭ
E'd^ͲKŶƐƆLJdĞƐƚ^ŝƚĞ
'yy
ϮϬϭϲϬϭϱϰͲϭϬ
ƌĂǁŶďLJͬĐŚĞĐŬĞĚ ĂƚĞ
&ŝŐƵƌĞEŽ͘
ŽĐƵŵĞŶƚEŽ͘
WĂ ͬ D^
6KHDU6WUHVV
D
N3D U
(IIHFWLYH0HDQ6WUHVVS DUN3D
D 3RV1HJ
dƌŝĂdžŝĂůƚĞƐƚ͗
ŽƌŝŶŐ͗ ĞƉƚŚс ŵ ŽŶƐŽůŝĚĂƚŝŽŶƐƚƌĞƐƐĞƐ
h
KE^ϰϭ ϭϬ͘ϯϮ
ĂƚŽͬƌĞǀ͗͘ϮϬϭϰͲϭϮͲϮϯͬϬϭ
E'd^ͲKŶƐƆLJdĞƐƚ^ŝƚĞ
'yy
ϮϬϭϲϬϭϱϰͲϭϬ
ƌĂǁŶďLJͬĐŚĞĐŬĞĚ ĂƚĞ
&ŝŐƵƌĞEŽ͘
ŽĐƵŵĞŶƚEŽ͘
WĂ ͬ '^
0 4 8 12 16 20 24 28 Axial Strain, ea (%)
0 8 16 24
Shear Stress t = (sa - sr)/2 (kPa)
0 4 8 12 16 20 24 28
Axial Strain, ea (%) 0
20 40 60 80
Pore Pressure, u (kPa)
Triaxial test:
Boring: Depth= m Consolidation stresses
CAUC
ONSB41 16.60
Dato/rev.: 2014-12-23/01
NGTS - Onsøy Test Site
GXX 2018-02-12 20160154-10
Drawn by/checked Date
Figure No.
Document No.
PCa / MAS
70 60 50 40 30 20 10 0 Shear Stress,
t = (s - s a
)/2 (kPa) r
01020304050607080 Effective Mean Stress, p' = (sa' + sr')/2 (kPa)
ea(%) Pos. Neg. ! ! 0.0 . / 0.2 + , 0.5 4 5 1.0 ( * 2.0 : ; 3.0 $ & 4.0 7 8 6.0 8.0 < > 10.0l n
Triaxial test:
Boring: Depth= m Consolidation stresses
CAUC
ONSB41 10.60
Dato/rev.: 2014-12-23/01
NGTS - Onsøy Test Site
GXX 2018-02-12 20160154-10
Drawn by/checked Date
Figure No.
Document No.
PCa / MAS