Geology topics

Ning Lu

Publications and source records attributed to Ning Lu.

At least 19 recordsLinked to original sources

USGS2021

Clays are not created equal: How clay mineral type affects soil parameterization

Clay minerals dominate the soil colloidal fraction and its specific surface area. Differences among clay mineral types significantly influence their effects on soil hydrological and mechanical behavior. Presently, the soil clay content is used to parameterize soil hydraulic and mechanical properties (SHMP) for land surface models while disregarding the type of clay mineral. This undifferentiated use of clay leads to inconsistent parameterization, particularly between tropical and temperate soils, as shown herein. We capitalize on recent global maps of clay minerals that exhibit strong climatic and spatial segregation of active and inactive clays to consider spatially resolved clay mineral types in SHMP estimation. Clay mineral-informed pedotransfer functions and machine learning algorithms trained with datasets including different clay types and soil structure formation processes improve SHMP representation regionally with broad implications for hydrological and geomechanical Earth surface processes.

Geophysical Research Letters↗

USGS2021

Evaluation of techniques for mitigating snowmelt infiltration-induced landsliding in a highway embankment

Infiltration-induced landslides threaten transportation infrastructure around the world, and impose both direct costs through repair and remediation work and indirect costs through lost economic activity. Therefore, finding the most cost-effective techniques to mitigate slope failures that can impact critical infrastructure links is desirable. The Straight Creek landslide, which affects a segment of Interstate 70 in Summit County, Colorado (USA), has experienced seasonal failure driven by rapid springtime snowmelt infiltration since the early 1970s, allowing changes in its stability to be studied. Past studies have established that seasonal failure is driven by pore-water pressure increase caused by the rapid infiltration of snowmelt and the hydraulic conductivity contrast between upper slope materials and the highway embankment. Two remediation designs have been applied to the site, including lightweight caissons beneath the highway surface in 2011 and 2012, and horizontal drains near the slide toe in 2012. The effects of the lightweight caissons and horizontal drains, as well as an alternative drain design that would extend into the hillslope above the highway embankment, are evaluated within a rigorous hydro-mechanical simulation framework along with a method to generate a field of local factor of safety. Model results show that the effect of the lightweight caissons on the factor of safety is no more than 1% during times of critical instability, as they do not affect the seasonal changes in hydrology that cause destabilizing decreases in effective stress along the failure surface. Horizontal drains are intended to reduce pore-water pressures, but the location of existing drains limit their efficacy due to the low hydraulic conductivity of subsurface materials underneath the highway. Model results indicate that these drains are only partially responsible for a reduction in movement rate since their installation, which is also due to lower annual cumulative snowmelt infiltration levels since 2012. Results also show that an alternative drain design could result in increased stability during critical periods by intercepting downslope subsurface flow before it arrives at the hydraulic conductivity contrast at the embankment.

Colorado↗

USGS2021

In-situ monitoring of infiltration-induced instability of I-70 embankment west of the Eisenhower-Johnson Memorial Tunnels, phase III

A new methodology that uses recent advances in unsaturated soil mechanics and hydrology was developed and tested. The approach consists of using soil suction and moisture content field information in the prediction of the likelihood of landslide movement. The testing ground was an active landslide on I-70 west of the Eisenhower/Johnson Memorial Tunnels. A joint effort between Colorado School of Mines, CDOT, and USGS performed detailed site characterization, set up and calibrated a hydro-mechanical model of the site based on seven years of field data, and performed a stability analysis of the slope. Results indicate that consecutive years of high or low infiltration have a compounding effect so that the slope stability is influenced by the preceding years. Additionally, a new drainage system is proposed based on analysis of the current horizontal drains.

Colorado↗

USGS2019

Bayesian analysis of the impact of rainfall data product on simulated slope failure for North Carolina locations

In the past decades, many different approaches have been developed in the literature to quantify the load-carrying capacity and geotechnical stability (or the Factor of Safety, F_s) of variably saturated hillslopes. Much of this work has focused on a deterministic characterization of hillslope stability. Yet, simulated F_s values are subject to considerable uncertainty due to our inability to characterize accurately the soil mantle’s properties (hydraulic, geotechnical and geomorphologic) and spatiotemporal variability of the moisture content of the hillslope interior. This is particularly true at larger spatial scales. Thus, uncertainty-incorporating analyses of physically based models of rain-induced landslides are rare in the literature. Such landslide modeling is typically conducted at the hillslope scale using gauge-based rainfall forcing data with rather poor spatiotemporal coverage. For regional landslide modeling, the specific advantages and/or disadvantages of gauge-only, radar-merged and satellite-based rainfall products are not clearly established. Here, we compare and evaluate the performance of the Transient Rainfall Infiltration and Grid-based Regional Slope-stability analysis (TRIGRS) model for three different rainfall products using 112 observed landslides in the period between 2004 and 2011 from the North Carolina Geological Survey database. Our study includes the Tropical Rainfall Measuring Mission (TRMM) Multi-satellite Precipitation Analysis Version 7 (TMPA V7), the North American Land Data Assimilation System Phase 2 (NLDAS-2) analysis, and the reference ‘truth’ Stage IV precipitation. TRIGRS model performance was rather inferior with the use of literature values of the geotechnical parameters and soil hydraulic properties from ROSETTA using soil textural and bulk density data from SSURGO (Soil Survey Geographic database). The performance of TRIGRS improved considerably after Bayesian estimation of the parameters with the DiffeRential Evolution Adaptive Metropolis (DREAM) algorithm using Stage IV precipitation data. Hereto, we use a likelihood function that combines binary slope failure information from landslide event and ‘null’ periods using multivariate frequency distribution-based metrics such as the False Discovery and False Omission Rates. Our results demonstrate that the Stage IV-inferred TRIGRS parameter distributions generalize well to TMPA and NLDAS-2 precipitation data, particularly at sites with considerably larger TMPA and NLDAS-2 rainfall amounts during landslide events than null periods. TRIGRS model performance is then rather similar for all three rainfall products. At higher elevations, however, the TMPA and NLDAS-2 precipitation volumes are insufficient and their performance with the Stage IV-derived parameter distributions indicate their inability to accurately characterize hillslope stability.

North Carolina↗

USGS2019

Effects of infiltration characteristics on the spatial-temporal evolution of stability of an interstate highway embankment

Infiltration-induced landslides are among the most common natural disasters threatening modern civilization, but conventional methods for studying the triggering mechanisms and predicting the occurrence of these slides are limited by incomplete consideration of underlying physical processes and the lack of precision inherent in limit-equilibrium analyses. To address this problem the spatial-temporal evolution of failure is investigated in a seasonally unstable section of interstate highway embankment, known as the Straight Creek landslide, Colorado. The study includes multi-year site investigation, monitoring, and numerical simulation using a rigorous hydromechanical framework along with a field of local factor of safety method. The sensitivity of episodic landslide reactivation to infiltration characteristics is evaluated. Results indicate that annual cumulative snowmelt infiltration, which typically accounts for approximately 75% of total annual cumulative infiltration and occurs over a short period in the spring, has the most substantial impact on slide activation. The rate of snowmelt infiltration varies independently of annual cumulative snowmelt infiltration and cumulative infiltration in the previous year, but still affects antecedent soil moisture conditions at the onset of snowmelt infiltration and therefore also the level of slide activation. These findings are used to establish specific thresholds for exacerbated slide movement using annual snowpack accumulation, forecasted snowmelt rate, and the previous year’s snowmelt, an approach which may be applied for predicting movement at this and other recurring or potential slide sites.

Colorado↗

USGS2018

Field and laboratory hydraulic characterization of landslide-prone soils in the Oregon Coast Range and implications for hydrologic simulation

Unsaturated zone flow processes are an important focus of landslide hazard estimation. Differences in soil hydraulic behavior between wetting and drying conditions (i.e., hydraulic hysteresis) may be important in landslide triggering. Hydraulic hysteresis can complicate soil hydraulic parameter estimates and impact prediction capability. This investigation focused on hydraulic property estimation for soil in a landslide‐prone area where the relative importance of hysteresis is unclear. Laboratory measurements of soil‐water retention from field soils in the Oregon Coast Range during wetting and drying show that pronounced hydraulic hysteresis is present. In contrast, a 4‐yr field data record of pore‐water pressure and soil‐water content from multiple soil pits at the same landslide‐prone area shows relatively minor hydraulic hysteresis compared with the laboratory estimates. Simulated subsurface hydrologic response parameterized using estimates from field data more closely matched hydrologic observations relative to model parameterization based on laboratory analysis of repacked soil samples. Our results suggest that (i) unsaturated hydraulic parameter estimates based on in situ field data, as opposed to laboratory measurements alone, may lead to more accurate simulation of the hydrologic response to rainfall, (ii) in situ data of soil‐water retention may need to include values at both high suctions and near saturation to improve estimates of soil hydraulic parameters for slope failure applications, and (iii) laboratory measurements of soil‐water retention made under dynamic conditions may overestimate hydraulic hysteresis.

Oregon↗

USGS2018

Variability in soil-water retention properties and implications for physics-based simulation of landslide early warning criteria

Rainfall-induced shallow landsliding is a persistent hazard to human life and property. Despite the observed connection between infiltration through the unsaturated zone and shallow landslide initiation, there is considerable uncertainty in how estimates of unsaturated soil-water retention properties affect slope stability assessment. This source of uncertainty is critical to evaluating the utility of physics-based hydrologic modeling as a tool for landslide early warning. We employ a numerical model of variably saturated groundwater flow parameterized with an ensemble of texture-, laboratory-, and field-based estimates of soil-water retention properties for an extensively monitored landslide-prone site in the San Francisco Bay Area, CA, USA. Simulations of soil-water content, pore-water pressure, and the resultant factor of safety show considerable variability across and within these different parameter estimation techniques. In particular, we demonstrate that with the same permeability structure imposed across all simulations, the variability in soil-water retention properties strongly influences predictions of positive pore-water pressure coincident with widespread shallow landsliding. We also find that the ensemble of soil-water retention properties imposes an order-of-magnitude and nearly two-fold variability in seasonal and event-scale landslide susceptibility, respectively. Despite the reduced factor of safety uncertainty during wet conditions, parameters that control the dry end of the soil-water retention function markedly impact the ability of a hydrologic model to capture soil-water content dynamics observed in the field. These results suggest that variability in soil-water retention properties should be considered for objective physics-based simulation of landslide early warning criteria.

Landslides↗

USGS2018

Tropical storm-induced landslide potential using combined field monitoring and numerical modeling

When heavy rainfall, such as that associated with tropical storms, falls on steep hillsides, shallow landslides are often one of the damaging consequences. To assess landslide potential from heavy rainfall, a strategy of combined numerical simulation and field monitoring of variably saturated hillslope conditions is developed. To test the combined method, hillslope hydrologic data from paired field monitoring sites in western North Carolina are examined. The hydrologic data collected from the field monitoring site where no shallow landslide has occurred is used to identify and calibrate the hydromechanical parameters used in a numerical ground water flow model. The identified parameters are then used to simulate landslide potential at the two hillslopes during heavy rainfall associated with hurricanes Frances and Ivan (HFI) that impacted western North Carolina in 2004. Results identify the timing of instability at the shallow landslide site and show that the stable site remains stable during rainfall associated with the HFI tropical storms. Thus, the results demonstrate the effectiveness of combined numerical modeling and field monitoring to evaluate landslide potential under variably saturated conditions.

North Carolina↗

USGS2017

Evolution of strain localization in variable-width three-dimensional unsaturated laboratory-scale cut slopes

To experimentally validate a recently developed theory for predicting the stability of cut slopes under unsaturated conditions, the authors measured increasing strain localization in unsaturated slope cuts prior to abrupt failure. Cut slope width and moisture content were controlled and varied in a laboratory, and a sliding door that extended the height of the free face of the slope was lowered until the cut slope failed. A particle image velocimetry tool was used to quantify soil displacement in the x - y "> x - y (horizontal) and x - z "> x -z (vertical) planes, and strain was calculated from the displacement. Areas of maximum strain localization prior to failure were shown to coincide with the location of the eventual failure plane. Experimental failure heights agreed with the recently developed stability theory for unsaturated cut slopes (within 14.3% relative error) for a range of saturation and cut slope widths. A theoretical threshold for sidewall influence on cut slope failures was also proposed to quantify the relationship between normalized sidewall width and critical height. The proposed relationship was consistent with the cut slope experiment results, and is intended for consideration in future geotechnical experiment design. The experimental data of evolution of strain localization presented herein provide a physical basis from which future numerical models of strain localization can be validated.

Journal of Engineering Mechanics↗

USGS2017

Effect of hydraulic hysteresis on the stability of infinite slopes under steady infiltration

Hydraulic hysteresis, including capillary soil water retention (SWR), air entrapment SWR, and hydraulic conductivity, is a common phenomenon in unsaturated soils. However, the influence of hydraulic hysteresis on suction stress, and subsequently slope stability, is generally ignored. This paper examines the influence of each of these three types of hysteresis on slope stability using an infinite slope stability analysis under steady infiltration conditions. First, hypothetical slopes for representative silty and sandy soils are examined. Then a monitored hillslope in the San Francisco Bay Area, California is assessed, using observed rainfall conditions and measured hydraulic and geotechnical properties of the colluvial soil. Results show that profiles of suction stress and the corresponding factor of safety are generally strongly affected by hydraulic hysteresis. Results suggest that each of the three types of hydraulic hysteresis may play a major role in the occurrence of slope failure, indicating that ignoring hydraulic hysteresis will likely lead to underestimates of failure potential and hence to inaccurate slope stability analysis.

Journal of Geotechnical and Geoenvironmental Engin↗

USGS2016

Geomorphological control on variably saturated hillslope hydrology and slope instability

In steep topography, the processes governing variably saturated subsurface hydrologic response and the interparticle stresses leading to shallow landslide initiation are physically linked. However, these processes are usually analyzed separately. Here, we take a combined approach, simultaneously analyzing the influence of topography on both hillslope hydrology and the effective stress fields within the hillslope itself. Clearly, runoff and saturated groundwater flow are dominated by gravity and, ultimately, by topography. Less clear is how landscape morphology influences flows in the vadose zone, where transient fluxes are usually taken to be vertical. We aim to assess and quantify the impact of topography on both saturated and unsaturated hillslope hydrology and its effects on shallow slope stability. Three real hillslope morphologies (concave, convex, and planar) are analyzed using a 3-D, physically based, distributed model coupled with a module for computation of the probability of failure, based on the infinite slope assumption. The results of the analyses, which included parameter uncertainty analysis of the results themselves, show that convex and planar slopes are more stable than concave slopes. Specifically, under the same initial, boundary, and infiltration conditions, the percentage of unstable areas ranges from 1.3% for the planar hillslope, 21% for convex, to a maximum value of 33% for the concave morphology. The results are supported by a sensitivity analysis carried out to examine the effect of initial conditions and rainfall intensity.

Water Resources Research↗

USGS2015

Closing the loop of the soil water retention curve

The authors, to their knowledge for the first time, produced two complete principal soil water retention curves (SWRCs) under both positive and negative matric suction regimes. An innovative testing technique combining the transient water release and imbibition method (TRIM) and constant flow method (CFM) was used to identify the principal paths of SWRC in the positive pore-water pressure regime under unsaturated conditions. A negative matric suction of 9.8 kPa is needed to reach full saturation or close the loop of the SWRC for a silty soil. This work pushes the understanding of the interaction of soil and water into new territory by quantifying the boundaries of the SWRC over the entire suction domain, including both wetting and drying conditions that are relevant to field conditions such as slope wetting under heavy rainfall or rapid groundwater table rise in earthen dams or levees.

Journal of Geotechnical and Geoenvironmental Engin↗

USGS2014

Hysteresis and uncertainty in soil water-retention curve parameters

Accurate estimates of soil hydraulic parameters representing wetting and drying paths are required for predicting hydraulic and mechanical responses in a large number of applications. A comprehensive suite of laboratory experiments was conducted to measure hysteretic soil-water characteristic curves (SWCCs) representing a wide range of soil types. Results were used to quantitatively assess differences and uncertainty in three simplifications frequently adopted to estimate wetting-path SWCC parameters from more easily measured drying curves. They are the following: (1) α w =2α d , (2) n w =n d , and (3) θ w s =θ d s , where α, n, and θ s are fitting parameters entering van Genuchten’s commonly adopted SWCC model, and the superscripts w and d indicate wetting and drying paths, respectively. The average ratio αw/αd for the data set was 2.24±1.25. Nominally cohesive soils had a lower α w /α d ratio (1.73±0.94) than nominally cohesionless soils (3.14±1.27). The average n w /n d ratio was 1.01±0.11 with no significant dependency on soil type, thus confirming the n w =n d simplification for a wider range of soil types than previously available. Water content at zero suction during wetting (θ w s ) was consistently less than during drying (θ d s ) owing to air entrapment. The θ w s /θ d s ratio averaged 0.85±0.10 and was comparable for nominally cohesive (0.87±0.11) and cohesionless (0.81±0.08) soils. Regression statistics are provided to quantitatively account for uncertainty in estimating hysteretic retention curves. Practical consequences are demonstrated for two case studies.

Journal of Geotechnical and Geoenvironmental Engin↗

USGS2014

Interrelations among the soil-water retention, hydraulic conductivity, and suction-stress characteristic curves

The three fundamental constitutive relations that describe fluid flow, strength, and deformation behavior of variably saturated soils are the soil-water retention curve (SWRC), hydraulic conductivity function (HCF), and suction-stress characteristic curve (SSCC). Until recently, the interrelations among the SWRC, HCF, and SSCC have not been well established. This work sought experimental confirmation of interrelations among these three constitutive functions. Results taken from the literature for six soils and those obtained for 11 different soils were used. Using newly established analytical relations among the SWRC, HCF, and SSCC and these test results, the authors showed that these three constitutive relations can be defined by a common set of hydromechanical parameters. The coefficient of determination for air-entry pressures determined independently using hydraulic and mechanical methods is >0.99, >0.98 for the pore size parameter, and 0.94 for the residual degree of saturation. One practical implication is that one of any of the four experiments (axis-translation, hydraulic, shear-strength, or deformation) is sufficient to quantify all three constitutive relations.

Journal of Geotechnical and Geoenvironmental Engin↗

USGS2013

Hysteresis of unsaturated hydromechanical properties of a silty soil

Laboratory tests to examine hysteresis in the hydrologic and mechanical properties of partially saturated soils were conducted on six intact specimens collected from a landslide-prone area of Alameda County, California. The results reveal that the pore-size distribution parameter remains statistically unchanged between the wetting and drying paths; however, the wetting or drying state has a pronounced influence on the water-entry pressure, the water-filled porosity at zero suction, and the saturated hydraulic conductivity. The suction stress values obtained from the shear-strength tests under both natural moisture and resaturated conditions were mostly bounded by the suction stress characteristic curves (SSCCs) obtained from the hydrologic tests. This finding experimentally confirms that the soil-water retention curve, hydraulic conductivity function, and SSCC are intrinsically related.

Journal of Geotechnical and Geoenvironmental Engin↗

USGS2012

Analysis of rainfall-induced slope instability using a field of local factor of safety

Slope-stability analyses are mostly conducted by identifying or assuming a potential failure surface and assessing the factor of safety (FS) of that surface. This approach of assigning a single FS to a potentially unstable slope provides little insight on where the failure initiates or the ultimate geometry and location of a landslide rupture surface. We describe a method to quantify a scalar field of FS based on the concept of the Coulomb stress and the shift in the state of stress toward failure that results from rainfall infiltration. The FS at each point within a hillslope is called the local factor of safety (LFS) and is defined as the ratio of the Coulomb stress at the current state of stress to the Coulomb stress of the potential failure state under the Mohr-Coulomb criterion. Comparative assessment with limit-equilibrium and hybrid finite element limit-equilibrium methods show that the proposed LFS is consistent with these approaches and yields additional insight into the geometry and location of the potential failure surface and how instability may initiate and evolve with changes in pore water conditions. Quantitative assessments applying the new LFS field method to slopes under infiltration conditions demonstrate that the LFS has the potential to overcome several major limitations in the classical FS methodologies such as the shape of the failure surface and the inherent underestimation of slope instability. Comparison with infinite-slope methods, including a recent extension to variably saturated conditions, shows further enhancement in assessing shallow landslide occurrence using the LFS methodology. Although we use only a linear elastic solution for the state of stress with no post-failure analysis that require more sophisticated elastoplastic or other theories, the LFS provides a new means to quantify the potential instability zones in hillslopes under variably saturated conditions using stress-field based methods.

Water Resources Research↗

USGS2012

Stability of infinite slopes under transient partially saturated seepage conditions

Prediction of the location and timing of rainfall‐induced shallow landslides is desired by organizations responsible for hazard management and warnings. However, hydrologic and mechanical processes in the vadose zone complicate such predictions. Infiltrating rainfall must typically pass through an unsaturated layer before reaching the irregular and usually discontinuous shallow water table. This process is dynamic and a function of precipitation intensity and duration, the initial moisture conditions and hydrologic properties of the hillside materials, and the geometry, stratigraphy, and vegetation of the hillslope. As a result, pore water pressures, volumetric water content, effective stress, and thus the propensity for landsliding vary over seasonal and shorter time scales. We apply a general framework for assessing the stability of infinite slopes under transient variably saturated conditions. The framework includes profiles of pressure head and volumetric water content combined with a general effective stress for slope stability analysis. The general effective stress, or suction stress, provides a means for rigorous quantification of stress changes due to rainfall and infiltration and thus the analysis of slope stability over the range of volumetric water contents and pressure heads relevant to shallow landslide initiation. We present results using an analytical solution for transient infiltration for a range of soil texture and hydrological properties typical of landslide‐prone hillslopes and show the effect of these properties on the timing and depth of slope failure. We follow by analyzing field‐monitoring data acquired prior to shallow landslide failure of a hillside near Seattle, Washington, and show that the timing of the slide was predictable using measured pressure head and volumetric water content and show how the approach can be used in a forward manner using a numerical model for transient infiltration.

Water Resources Research↗

USGS2012

Comparison of soil thickness in a zero-order basin in the Oregon Coast Range using a soil probe and electrical resistivity tomography

Accurate estimation of the soil thickness distribution in steepland drainage basins is essential for understanding ecosystem and subsurface response to infiltration. One important aspect of this characterization is assessing the heavy and antecedent rainfall conditions that lead to shallow landsliding. In this paper, we investigate the direct current (DC) resistivity method as a tool for quickly estimating soil thickness over a steep (33–40°) zero-order basin in the Oregon Coast Range, a landslide prone region. Point measurements throughout the basin showed bedrock depths between 0.55 and 3.2 m. Resistivity of soil and bedrock samples collected from the site was measured for degrees of saturation between 40 and 92%. Resistivity of the soil was typically higher than that of the bedrock for degrees of saturation lower than 70%. Results from the laboratory measurements and point-depth measurements were used in a numerical model to evaluate the resistivity contrast at the soil-bedrock interface. A decreasing-with-depth resistivity contrast was apparent at the interface in the modeling results. At the field site, three transects were surveyed where coincident ground truth measurements of bedrock depth were available, to test the accuracy of the method. The same decreasing-with-depth resistivity trend that was apparent in the model was also present in the survey data. The resistivity contour of between 1,000 and 2,000 Ωm that marked the top of the contrast was our interpreted bedrock depth in the survey data. Kriged depth-to-bedrock maps were created from both the field-measured ground truth obtained with a soil probe and interpreted depths from the resistivity tomography, and these were compared for accuracy graphically. Depths were interpolated as far as 16.5 m laterally from the resistivity survey lines with root mean squared error (RMSE) = 27 cm between the measured and interpreted depth at those locations. Using several transects and analysis of the subsurface material properties, the direct current (DC) resistivity method is shown to be able to delineate bedrock depth trends within the drainage basin.

Oregon↗