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Chapter 1

Dynamics of Soil & Foundation


Lecturer: Dr. Amin Eisazadeh

Introduction to Geotechnical Earthquake Engineering

INSPIRING CREATIVE AND INNOVATIVE MINDS

INSPIRING CREATIVE AND INNOVATIVE MINDS

Introduction

Types of Seismic Hazards


Hazards associated with earthquakes are commonly referred to as seismic hazards: 1. 2. 3. 4. 5. 6. 7. Ground Shaking Structural Hazards Liquefaction Landslides Retaining Structure Failures Lifeline Hazards Tsunami Hazards

What is Earthquake Engineering?


Earthquake engineering deals with the effect of earthquakes on people and their environment and with methods of reducing those effects. Earthquakes are a global phenomenon and a global problem. They have occurred for millions of years and will continue in future as they have in the past. 3

Ground Shaking

Structural Hazards

When earthquake waves reach the ground surface, they produce shaking that may last from seconds to minutes. It is considered to be the most important of all seismic hazards because all the other hazards are caused by ground shaking. The strength and duration of shaking at a particular site depends on the size and location of the earthquake and on the characteristic of the site (filter).
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The leading cause of death and economic loss in many earthquakes. It can be due to the collapse of unreinforced structures or falling objects within a structure which have caused casualties in many earthquakes 6

Liquefaction

Landslides

In this phenomenon, the strength of the soil is reduced, often drastically, to the point where it is unable to support structures or remain stable. Liquefaction only occurs in saturated soils, hence, it is most commonly observed near rivers and other bodies of water. 7

Earthquake induced landslides can bury a entire town or a village. It can result from liquefaction phenomena or the failure of slopes that were marginally stable under static conditions. 8

Lifeline Hazards

Tsunami Hazards

A network of facilities that provide the services required for commerce and public health such as electrical power, transportation, water and gas distribution. Lifeline failures not only have severe economic consequences but can also hamper emergency response and rescue efforts following an earthquake. 9

Rapid vertical seafloor movements caused by fault rupture during earthquakes can produce long-period sea waves called tsunami. In the open sea, they have height of less than 1m and wavelengths of several hundred km, but as it approaches the shore the decreasing water depth causes its speed to decrease and the height of wave to increase. 10

Significant Historical Earthquakes

Chapter 2

Earthquakes occur almost continuously around the world. Fortunately, most are so small that cannot be felt and only a small percentage are large enough to be considered major earthquakes. Throughout recorded history, some of these major earthquakes can be regarded as being particularly significant, such as:
Year 1960 1964 1976 Location Chile Japan China Magnitude 9.5 7.5 7.8 Comment Probably the largest earthquake ever recorded Caused intense interest in liquefaction phenomenon The most deadly earthquake in history (700,000 death)
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Seismology & Earthquakes

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Introduction
The study of geotechnical earthquake engineering requires an understanding of the various processes by which earthquakes occur and their effects on ground motion. This chapter provides a brief introduction to the structure of earth, the reasons why earthquake occur, and the terminology used to describe them.

Internal Structure of the Earth

The earth is roughly spherical and consists of different layered structures which causes the refraction and reflection of seismic waves at their boundaries. The crust, on which human lives, is the outermost layer of the earth. Its thickness is only a small fraction of earths diameter (5-70 Km thick). The mantle which is located below crust and is separated by boundary known as Mohorovichic discontinuity is about 2900 Km thick.

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Seismic Waves
P-waves, also known as primary, compressional, or longitudinal waves, involve successive compression and refraction of the material through which they pass. The motion of an individual particle that a p-wave travels through is parallel to the direction of travel. S-waves, also known as secondary or shear waves, cause shearing deformations as they travel through a material. The motion of an individual particle is perpendicular to the direction of s-wave travel.
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Body Waves

When earthquake occurs different type of seismic waves are produced, they are: Body waves Surface waves Body waves can travel through the interior of the earth and are of two types: P-waves S-waves

City Epicenter

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Surface Waves
Surface waves result from the interaction between body waves and the surface and surficial layers of the earth. For engineering purposes, the most important surface waves are Rayliegh and Love waves. Rayligh waves are produced by interaction of p- and SV-waves with the earths surface, involve both vertical and horizontal particle motion. (They are similar to the waves produced by a rock thrown into a pond) Love waves result from the interaction of SH-waves with a soft surficial layer and have no vertical component of particle motion. S wave front P & S wave front

Surface Waves
Rayleigh Surface wave

Love Surface wave

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Multiple reflections of (horizontal component) SH wave trapped by surficial layer creates Love wave

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Continental Drift
Present

Continental Drift
200 Million years ago

Wegener, believed that the earth had only one large continent called Pangaea 200 million years ago which broke into pieces that slowly drifted into the present configuration of the continents. This was confirmed by the long-term deformations that were concentrated in narrow zones between relatively intact blocks of crust. The theory of continental drift had become the greatest advance in the earth sciences in a century.
19 Alfred Wegener (1920s) noted that surface geology and fossil records match at boundary indicating that Africa and South America where once united 20

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Plate Tectonics
The basic hypothesis of plate tectonics is that the earths surface consists of a number of large, intact blocks called plates, and that these plates move with respect to each other. The earths crust is divided into six continental-sized plates and about 14 of subcontinental size. The relative deformation between plates is due to the convection currents in the semimolten rock of the mantle, which impose shear stresses on the bottom of the plates, thus dragging them in the various directions across the surface of the earth.
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Plate Tectonics

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Earthquake Zones
1.

Plate Boundaries
Spreading Ridge Boundaries: The plates move apart from each other and hence the molten rock from the underlying mantle rises to the surface where it cools down and becomes part of spreading plate. Subduction Zone Boundaries: The plates move towards each other where at the point of contact, one plate sunducts beneath the other plate. Transform Fault Boundaries: The plates move past each other without creating new crust or consuming old crust.
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2.

3.
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Plate Boundaries

Faults
Faults are planes of weakness along which the Earth has been broken. Movements on a fault can be either slow (ductile deformation) or fast (brittle fracture). When a fault behaves in a brittle manner and breaks, earthquakes are generated.

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Fault Movement

Elastic Rebound Theory


As relative movement of the plate occurs, elastic strain energy is stored in the materials near the boundary as shear stresses increase on the fault planes that separate the plates. When the shear stress reaches the shear strength of the rock along the fault, the rock fails and the accumulated strain energy is released. If the rock is strong and brittle, the failure will be rapid and the rupture of rock will release the stored energy explosively in the form of heat and stress waves that are felt as earthquakes.
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Earthquake Energy

Earthquake Terminology
Earthquakes result from rupture of the rock along a fault. The point at which rupture begins and the first seismic waves originate is called the focus of earthquake. The point on the ground surface directly above the focus is called the epicenter. The distance on the ground surface between an observer or site and the epicenter is known as the epicentral distance.

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Earthquake Terminology

Earthquake Terminology
The earthquake size can be described in different ways: Earthquake Intensity: The intensity is the oldest measure of earthquake size and is a qualitative description of the effects of the earthquake at a particular location. (e.g., MMI scale) Earthquake Magnitude: The quantitative measurement of earthquake size with use of seismic instruments is made.

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Earthquake Intensity
I. Not felt except by a very few under especially favorable conditions. II. Felt only by a few persons at rest, especially on upper floors of buildings. III. Felt quite noticeably by persons indoors, especially on upper floors of buildings. Many people do not recognize it as an earthquake. Standing motor cars may rock slightly. Vibrations similar to the passing of a truck. Duration estimated. IV. Felt indoors by many, outdoors by few during the day. At night, some awakened. Dishes, windows, doors disturbed; walls make cracking sound. Sensation like heavy truck striking building. Standing motor cars rocked noticeably. V. Felt by nearly everyone; many awakened. Some dishes, windows broken. Unstable objects overturned. Pendulum clocks may stop. VI. Felt by all, many frightened. Some heavy furniture moved; a few instances of fallen plaster. Damage slight. VII. Damage negligible in buildings of good design and construction; slight to moderate in well-built ordinary structures; considerable damage in poorly built or badly designed structures; some chimneys broken. VIII. Damage slight in specially designed structures; considerable damage in ordinary substantial buildings with partial collapse. Damage great in poorly built structures. Fall of chimneys, factory stacks, columns, monuments, walls. Heavy furniture overturned. IX. Damage considerable in specially designed structures; well-designed frame structures thrown out of plumb. Damage great in substantial buildings, with partial collapse. Buildings shifted off foundations. X. Some well-built wooden structures destroyed; most masonry and frame structures destroyed with foundations. Rails bent. XI. Few, if any (masonry) structures remain standing. Bridges destroyed. Rails bent greatly. XII. Damage total. Lines of sight and level are distorted. Objects thrown into the air.

Earthquake Magnitude
1. Richter Local Magnitude: It is defined as the logarithm of the maximum trace amplitude recorded on a WoodAnderson seismometer located 100 Km from the epicenter of the earthquake. (for shallow and local earthquakes) Surface Wave Magnitude: It is based on the maximum ground displacement amplitude of Rayleigh waves. Moment Magnitude: It is based on the seismic moment, which is a direct measure of the factors that produce rupture along the fault. (Is not dependent on ground shaking levels and hence does not saturate) 34
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2.

3.

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Richters Magnitude
As known as the local magnitude (ML ) Measured on a Wood-Anderson seismometer 100km from the epicenter. Wood-Anderson is a short period instrument that records 0 to 1s period accurately. Thus is records the shaking that will be structurally important range for buildings. ML = Log ( peak amplitude in micro-metres) Logarithmic scale means that each unit increase in Richter magnitude is a 10 fold increase in earthquake size. Thus 7.3ML earthquake is 100 times larger than a 5.3ML event. An event magnitude is usually recorded from as many seismometers as possible and an mean taken. Best known scale but is doesnt distinguish between different types of seismic waves.
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Moment Magnitude - Mw
Mw = (2/3)log10Mo 10.7 Mo = Seismic Moment Mo = Au o = shear modulus (typically 30 x 109 N/m2 or 30 x 1010 dyne/cm2) o A = area of fault rupture o u =average displacement along fault
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Earthquake Magnitude

Chapter 8

Local Site Effects & Design Ground Motion

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Introduction
The effect of local geologic and soil conditions on the intensity of ground shaking and earthquake damage has been known for many years. Design ground motions are the motions that reflect the levels of strong motion amplitude, frequency content, and duration that a structure or facility at a particular site should be designed for.
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Local Site Effects


1. Evidence from Theoretical Ground Response Analysis:
If the effects of material damping is neglected, the conservation of elastic wave energy requires that the flow of energy from depth to the ground surface to be constant. Hence, since the density and s-wave velocity decreases as waves approach the ground surface, the particle velocity must increase.

S waves

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Local Site Effects


2. Evidence from Measured Amplification Functions: The strong amplification measured at the natural frequencies of the soil deposit shows the importance of local site conditions on ground response. Evidence from Measured Surface Motions: By comparing the ground surface motions measured at different locations of a particular site during an earthquake, the importance of local site conditions can be confirmed.
Earthquake Description

Mexico City, 1985

September, 1985 Michoacan (Ms=8.1) earthquake, 350 Km from Mexico city

Mexico City Soil Profile Foothill Zone: Shallow, compact deposits of mostly granular soils. Lake Zone: Thick deposits of very soft soils. Ground water was located at depth of 2m. Transition Zone: Located between Foothill and Lake Zone and comprised of thin soft soil deposits.

3.

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Mexico City, 1985


Location of Seismographs UNAM: University National Autonoma de Mexico (Foothill Zone) SCT: Secretary of Communications and Transportation (Lake Zone)

Mexico City, 1985


Comparison of Measured Surface Motions Peak Accelerations: At SCT site were up to five times greater than those at UNAM. (0.03g-0.04g at UNAM site) Spectral Acceleration: Response spectra computed from recorded motions for SCT site were about 10 times greater than at UNAM. Damages at SCT site: The characteristic site period for SCT site was estimated to be around 2 sec. Most buildings (5-20 storey high) with almost the same fundamental period were damaged. (Resonance effect)
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Local Site Effects


4. Compilations of Data on Local Site Effects: At low to moderate acceleration levels, peak accelerations at soft sites are likely to be greater than on rock sites. At higher acceleration levels, however, the low stiffness and nonlinearity of soft soils often prevent them from developing peak accelerations as large as those observed on rock. 5.

Local Site Effects


Effects of Surface Topography and Basin Geometry: Increased amplification near the crest of a ridge was measured in five earthquakes in Japan (acrest= 2.5 abase) The curvature of basin in which softer soils have been deposited can trap body waves and produce surface waves. (The amplification at edges will be different)

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Design Ground Motion


I. Design Parameters
Design Earthquakes Design Spectra
Design ground motions are the motions that reflect the levels of strong motion amplitude (ah(max), vh(max)), frequency content, and duration that a structure or facility at a particular site should be designed for.

Design Earthquake
Design earthquake have been associated with two-level design, at first level, remain operational, and to avoid catastrophic failure for more severe level. The Maximum Credible Earthquake (MCE): Is usually defined as the largest earthquake that can reasonably be expected. Operating Basis Earthquake (OBE): It is an earthquake that should be expected during the life of a structure.

II.

Development of Design Parameters


Site-Specific Development Code-Based Development

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Design Earthquake
Safe Shutdown Earthquake (SSE): The earthquake that produces the maximum peak horizontal acceleration for the following case: Moving the epicenter of the largest anticipated event in the surrounding seismotectonic province to the site. Moving the epicenter of the largest anticipated event in the surrounding seismotectonic province to the nearest points on boundaries and attenuating their motions to the site Moving the focus of the largest event on any capable faults to the closet point on the faults to the site and then attenuating their motions to the site. (SSE is used in design of nuclear power plants)
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Design Spectra
Response spectra are often used to represent seismic loading for the dynamic analysis of structures. As a result, design ground motions are often expressed in terms of design spectra. Newmark and Hall, for example, recommended that design response spectra be developed from a series of straight lines on a tripartie plot. A Newmark-Hall design spectrum is obtained by multiplying the peak ground acceleration, velocity, and displacement values by amplification factors given for different structural damping ratios.

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Design Spectra

Development of Design Parameters


Site-Specific Development: Site-specific design ground motions reflect the detailed effects of the particular subsurface conditions at the site of interest. The usual process for developing site-specific ground motions involves a seismic hazard analysis and a ground response analysis. The procedure is as follows: Seismic hazard analysis that produce ground motion at the surface (point A) Deconvolution through the soil profile to determine bedrock motion (point B) This is the bedrock motion at the base (point D) of the soil profile at the site. A conventional ground response analysis is then performed to predict the motion at the surface of the soil profile of interest (point E)

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Development of Design Parameters

Uniform Building Code (UBC)


The UBC building code is not intended to eliminate earthquake damage completely, In general, structures designed based on this code is able to: 1. Resist a minor level of earthquake ground motion without damage. 2. Resist a moderate level of earthquake ground motion without structural damage, but possibly experience some non-structural damage. 3. Resist a major level of earthquake ground motion having an intensity equal to the strongest either experienced or forecast for the building site, without collapse, but possibly with some structural as well as nonstructural damage.

Code-Based Development: The purpose of these codes is to produce minimum standards to safeguard life, health, property, and public welfare during an earthquake by regulating and controlling the design, construction, quality of materials and etc The UBC and NEHRP are the most influential contemporary documents that describe minimum standards for earthquakeresistant design of buildings in the United States.

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Uniform Building Code (UBC)


The UBC allows two basic approaches to the earthquake-resistant design of a building: Static Approach Dynamic Approach
Static Approach:

Uniform Building Code (UBC)

This approach is based on determination of a design base shear force, which is then distributed in a specific form over the height of the structure for structural resistance of lateral load resistance. (The effect of ground motions are represented by static lateral force)

V=

ZIC W Rw
Seismic dead load Seismic dead load

Z::Seismic Zone Factor Z Seismic Zone Factor II:Importance Factor : Importance Factor S::Soil Coefficient S Soil Coefficient T::Fundamental Period T Fundamental Period
C= 1.25S T
2 3

Structure Ductility Structure Ductility coefficient coefficient


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2.75
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Uniform Building Code (UBC)

Uniform Building Code (UBC)


Dynamic Approach:
This approach allows the response of the structure to be determined by response spectrum analysis or by time-history analysis which are obtained by site-specific ground response analysis or from smooth, normalized spectral shapes.

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Chapter 9

Liquefaction Phenomena
When cohesionless soils are saturated and rapid loading occurs under undrained conditions, the tendency for densification causes generation of excess pore pressure (main characteristic of liquefaction) which results in reduction of effective stress. Liquefaction phenomena that results from this process can be divided into two main groups: Flow Liquefaction Cyclic Mobility
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Liquefaction

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Liquefaction Phenomena
Flow Liquefaction:

Liquefaction Phenomena

Flow liquefaction can occur when the shear stress required for static equilibrium of a soil mass (the static shear stress) is greater than the shear strength of the soil in its liquefied state. The cyclic stresses may simply bring the to an unstable state at which its strength drops sufficiently. Once triggered the large deformations produced by flow liquefaction are actually driven by static shear stresses.

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Flow Liquefaction

Liquefaction Phenomena
Cyclic Mobility: Cyclic mobility occurs when the static shear stress is less then the shear strength of the liquefied soil. The deformations produced by cyclic mobility failures develop incrementally during earthquake and are driven by both cyclic and static shear stresses. Level-ground liquefaction is an example of cyclic mobility which results in excessive vertical settlements and development of sand boils on the ground surface.

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Cyclic Mobility

Evaluation of Liquefaction Hazards

1. Liquefaction Susceptibility: Is the soil susceptible to liquefaction? 2. Liquefaction Initiation: If the soil is susceptible, will liquefaction be triggered? 3. Liquefaction Effects: If liquefaction is triggered, will damage occur?

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Liquefaction Susceptibility
1. Historical Criteria: A great deal of information on liquefaction behavior has come from post-earthquake field investigations. This can be used to identify specific sites, or more general site conditions, that may be susceptible to liquefaction in future earthquakes. Post-earthquake field investigations have also shown that liquefaction effects have historically been confined to a zone within a particular distance of the seismic source. 2. Geologic Criteria:

Liquefaction Susceptibility

Geologic process that sort soils into uniform grain size distributions and deposit them in loose states produce soil deposits with high liquefaction susceptibility. The susceptibility of older soil deposits to liquefaction is generally lower than that of new deposits. The liquefaction only occurs in saturated soils, so the depth of ground water influences liquefaction susceptibility and are commonly observed at ground water tables within a few meters of the ground surface.

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Liquefaction Susceptibility
3. Compositional Criteria: The compositional characteristics that influence volume change behavior affect the liquefaction susceptibility of the soil. These characteristics include particle size, shape, and gradation. The liquefaction phenomena is mostly observed in sands which are capable of generating excess pore pressures. Nonetheless, liquefaction of non-plastic fine silts have also been observed. Well-graded soils are generally less susceptible to liquefaction due to filling of voids with smaller particles and hence lower volume change potential. Also, rounded particles densify more easily than angular grains and so are more susceptible to liquefaction.
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Liquefaction Susceptibility
4. State Criteria: Even if a soil meets all of the mentioned previous criteria, it may still not be susceptible to liquefaction. This is due to the fact that the liquefaction susceptibility is also dependent on the initial state of the soil (i.e., stress and density characteristics) which controls the tendency of soil to generate excess pore pressure. The initial state of soil required for liquefaction susceptibility of soils to phenomena introduced before, i.e., Flow liquefaction and cyclic mobility are different and should be considered separately. To evaluate soils liquefaction susceptibility in terms of state criteria, a brief review of some basic concepts of cohesionless soil behavior is required which will be discussed here.
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Critical Void Ratio (CVR)

Steady State of Deformation

Strain-controlled drained triaxial test performed on initially loose and dense sands showed that all samples with the same effective confining pressure approached the same density when sheared to large strain. The void ration corresponding to this constant density was termed the critical void ratio (ec) which is uniquely related to the effective confining 71 pressure and hence can be drawn as a CVR line.

The steady state of deformation is reached only at large strains where soil flows continuously under constant shear stress (residual strength). The relationship between void ratio and effective confining pressure in the steady state deformation can be shown on a line similar to CVR known as the steady-state line (SSL). 72

Liquefaction Susceptibility
State Parameter:
The SSL is useful for identifying the conditions under which a particular soil may or may not be susceptible to flow liquefaction. A soil whose state lies above the SSL (exhibits contractive behavior) will be susceptible to flow liquefaction only if the static shear stress exceeds its steady state (residual) strength.
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Initiation of Liquefaction

The fact that a soil deposit is susceptible to liquefaction does not mean that liquefaction will necessarily occur in a given earthquake. Its occurrence requires a disturbance that is strong enough to trigger it. In the following slides, the mechanism of both flow liquefaction and cyclic mobility will be discussed.

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Flow Liquefaction Mechanism

Flow Liquefaction Mechanism

The soil has an initial effective confining pressure, 3c , prior to undrained shearing (point A). When undrained shearing begins, the contractive behavior causes the generation of positive excess pore pressure as soil resistance reaches its peak value (shear strength) located at point B. At point B, the soil becomes unstable and strains dramatically until it reaches steady state (point C) conditions. Beyond point C the soil is in the steady state of deformation and the effective confining pressure is only a small fraction of the initial effective confining pressure. The conditions at the initiation of flow liquefaction can be seen most easily when a loose saturated sand is subjected to monotonically increasing stresses under undrained conditions in a stress-controlled triaxial test.
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The soil has exhibited flow liquefaction, the static shear stress required for equilibrium (point B) were greater than the available shear strength of the liquefied soil (point C).
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Flow Liquefaction Mechanism


We can determine the response of a series of soils with the same initial void ratio and having different effective confining pressures. As can be seen, samples C, D, and E show contractive behavior and also it reaches a peak undrained strength after which they strain rapidly towards the steady state. The flow liquefaction was initiated at points marked with o (point B) which when connected forms a straight line.
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Flow Liquefaction Mechanism

This line is used to define Flow Liquefaction Surface (FLS). The FLS marks the boundary between stable and unstable states in undrained shear. So, if the stress conditions in an element of soil reach the FLS under undrained conditions, whether by monotonic or cyclic loading, flow liquefaction will be triggered and the shearing resistance will be reduced to the steady-state strength.
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Cyclic Mobility Mechanism

Cyclic Mobility Mechanism

Unlike flow liquefaction, cyclic mobility can develop when the static shear stress is smaller than the steadystate strength (shaded region). Also, it can occur in both loose and dense soils.
1.

Three combinations of initial conditions and cyclic loading conditions generally produce cyclic mobility.

No shear stress reversal and no exceedance of the steady-state strength: Significant permanent strains can develop with each loading cycle. No shear stress reversal but steady-state strength is exceeded momentarily: Significant permanent strains can develop when it touches the FLS, momentarily. Stress reversal occurs and steady-state strength is not exceeded: Initial liquefaction can occur where soil reaches the state of zero effective 80 stress.

2.

3.
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Evaluation of Initiation of Liquefaction


Cyclic Stress Approach The cyclic stress approach is based on the assumption that excess pore pressure generation is fundamentally related to the cyclic shear stress. Conceptually is quite simple as well, i.e., the earthquake-induced loading, expressed in terms of cyclic shear stresses, is compared with the liquefaction resistance of the soil, also expressed in terms of cyclic shear stresses. At locations where the loading exceeds the resistance, liquefaction is expected to occur.
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Evaluation of Initiation of Liquefaction


Characterization of Earthquake Loading Actual earthquake motions can have very irregular time history of shear stresses. On the other hand, the lab data from which liquefaction resistance can be estimated are obtained tests in which the cyclic shear stresses have uniform amplitudes. Hence, in order to be able to compare earthquake-induced loading with lab-determined resistance, conversion of the earthquake loading to an equivalent series of uniform stress cycles is required.
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Evaluation of Initiation of Liquefaction


Seed et al. applied a weighting procedure to a set of shear stress time histories from recorded strong ground motions to determine the number of uniform stress cycles, Neq, at an amplitude of 65% of the peak cyclic shear stress, that would produce an increase in pore pressure equivalent to that of the irregular time history. The uniform cyclic shear stress amplitude for level (or gently sloping) sites can be also estimated from a simplified procedure:

Evaluation of Initiation of Liquefaction


0 20 40 60 80 100 0.000 Low Avg High Poly. (Low )

Depth, ft

0.200

0.400

0.600

0.800

1.000

cyc = 0 . 65 max cyc = 0 . 65


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Stress Reduction Factor, rd

a max v rd g

amax::peak ground surface acceleration amax peak ground surface acceleration g: gravity acceleration g: gravity acceleration v::The total vertical stress v The total vertical stress rr ::stress reduction factor dd stress reduction factor
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Evaluation of Initiation of Liquefaction


Characterization of Liquefaction Resistance Based on Lab Test
Stress conditions on horizontal plates beneath ground surface is simulated in lab by consolidating the soil samples isotropically. In these tests, the liquefaction failure is defined as the point which initial liquefaction or at which some limiting cyclic strain amplitude has been reached.

Evaluation of Initiation of Liquefaction


Characterization of Liquefaction Resistance Based on Lab Test The relationship between density, cyclic stress amplitude, and number of cycles to liquefaction failure can be expressed graphically by laboratory cyclic strength curves. These curves are frequently normalized by the initial effective overburden pressure to produce a cyclic stress ratio (CSR).

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Evaluation of Initiation of Liquefaction


The CSR for the cyclic simple shear test and cyclic triaxial obtained from the lab test and the field can be written as:
Reference Finn et al. Seed Castro Equation
0.4

Evaluation of Initiation of Liquefaction


Characterization of Liquefaction Resistance Based on In Situ Test
Liquefaction case histories can be used to characterize liquefaction resistance in terms of measured in situ test parameters. In this approach, the cyclic stress ratio is usually used as the loading parameter, and in situ test parameters that reflect the density and pore pressure generation characteristics of the soil are used as liquefaction resistance parameters.

Cr
1.0

(1+K0)/2 Varies
2(1+2K0)/(330.5)

0.7 0.55 0.69

1.0 1.0 1.15

(CSR ) ss =

cyc v0

(CSR ) ss = cr (CSR ) tx = cr dc 2 3c (CSR ) field = 0.9(CSR ) ss = 0.9cr (CSR ) tx


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Evaluation of Initiation of Liquefaction


Standard Penetration Resistance: The most common method used for characterization of liquefaction resistance. Seed compared the corrected SPT resistance and cyclic stress ratio for clean and silty sand sites at which liquefaction was or was not observed in earthquake of M=7.5 to determine the minimum cyclic stress ratio at which liquefaction could be expected in a sand of a given SPT number.

Evaluation of Initiation of Liquefaction


Standard Penetration Resistance: The presence of fines can affect SPT resistance and therefore must be accounted for in the evaluation of liquefaction resistance. Nonetheless, the liquefaction resistance of sands is not influenced by fines unless the fines comprise more than 5% of the soil. The plasticity of fines can also influence the liquefaction resistance. Ishihara suggested that the effect of plasticity could be accounted for by multiplying CSR by the factor:

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F = 1 . 0 PI 10 F = 1 . 0 + 0 . 022 (PI 10 ) PI > 10


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Evaluation of Initiation of Liquefaction


Standard Penetration Resistance: The minimum cyclic stress ratio required to initiate liquefaction decreases with increasing magnitude. The minimum cyclic stress ratio for other magnitudes may be obtained by multiplying the cyclic stress ration for M=7.5 earthquakes by the factors shown in the table.

Evaluation of Initiation of Liquefaction


Cone Penetration Resistance: The tip resistance from the CPT test can be used as a measure of liquefaction resistance. It has an advantage over the SPT in its ability to detect thin seams of loose soil. In CPT-based liquefaction evaluations, the tip resistance is normalized to a standard effective overburden pressure of 1 ton/ft2 by:
p qc1 = qc a v0
0.5

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Evaluation of Initiation of Liquefaction

Evaluation of Initiation of Liquefaction

Once the cyclic loading imposed by an earthquake and the liquefaction resistance of the soils have been characterized, liquefaction potential can be evaluated. The cyclic stress approach characterizes earthquake loading by the amplitude of an equivalent uniform cyclic stress and liquefaction resistance by the amplitude of the uniform cyclic stress required to produce liquefaction in the same manner of cycles. The evaluation of liquefaction potential is thus reduced to a comparison of loading and resistance throughout the soil deposit of interest. First, the variation of equivalent cyclic shear stress (earthquake loading) with depth is plotted. The variation of the cyclic shear stress required to cause liquefaction (liquefaction resistance) with depth is then plotted on the same graph.

Liquefaction can be expected at depths where the loading exceeds the resistance or when the factor of safety against liquefaction is less than 1.

FS L = FS L =

cyclic she ar stress required t o cause li quefaction equivalent cyclic sh ear stress induced b y earthqua ke

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cyc , L CSR L = cyc CSR


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Evaluation of Liquefaction Hazards

Effects of Liquefaction
1. Alteration of Ground Motion 2. Development of Sand Boils 3. Settlement

1. Liquefaction Susceptibility: Is the soil susceptible to liquefaction? 2. Liquefaction Initiation: If the soil is susceptible, will liquefaction be triggered? 3. Liquefaction Effects: If liquefaction is triggered, will damage occur?

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Alteration of Ground Motion


The development of positive excess pore pressures causes soil stiffness to decrease during an earthquake and hence soil becomes much softer. This softening prevents the transmittance of the high-frequency component of the bedrock motion to the ground surface.

Development of Sand Boils

Liquefaction is often accompanied by the development of sand boils. During and following earthquake shaking, seismically induced pore pressures are dissipated predominantly by the upward flow of pore water. This flow produces upward-acting forces on soil particles which carries them through localized channels and cracks to the ground surface to form sand boils. 98

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Settlement
Dry sands densify very quickly, hence, the settlement of a dry sand deposit is usually complete by the end of an earthquake. The settlement of a saturated sand deposit requires more time and can only occur as earthquake-induced pore pressure dissipate. The time required for this settlement to occur depends on the permeability and compressibility of the soil, and on the length of the drainage path, it can range from a few minutes up to about a day.

Settlement Value

Tokimatsu and Seed produced a chart that allows the volumetric strain after liquefaction in a M=7.5 earthquake to be estimated directly from the cyclic stress ratio and SPT resistance. The settlement of each layer is then computed as the product of the volumetric strain and the layer thickness.

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Settlement Value

Chapter 10

For earthquakes of other magnitudes, an equivalent cyclic stress ratio, CSRM, can be determined from the following equation and Table.

Seismic Slope Stability

cyc = 0.65

amax v rd g
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Introduction
When an earthquake occurs, the effects of earthquake-induced ground shaking is often sufficient to cause failure of slopes that were marginally to moderately stable before the earthquake. The resulting damage from slope instability can range from insignificant to catastrophic depending on the geometric and material characteristic of the slope. For instance, in the 1964 Alaska earthquake, an estimated 56% of the total cost of damage was caused by earthquake-induced landslides or in 1920 Haiyuan earthquake in China , more than 100,000 deaths were reported due to large landslides. Therefore, evaluation of seismic slope stability is one of the most important activities of the geotechnical earthquake engineer.
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Types of Earthquake-Induced Landslides

Earthquake-induced landslides can be divided into three main categories: Disrupted slides and falls: These type of failure, usually found in steep terrain, can produce extremely rapid movements and devastating damages such as rock and soil avalanches. Coherent slides: These type of failure, usually found in moderate to steeply sloping terrain, occur at lower velocities than disrupted slides and falls and its generally consist of transition of few coherent blocks of rock or soil.. Lateral spreads and flows: Generally involve liquefiable soils, and hence, due to the low residual strength of these materials, sliding can occur on remarkably flat slopes and produce very high velocities.
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Earthquake-Induced Landslides
It is logical to expect that the extent of earthquake-induced landslide activity should increase with increasing earthquake magnitude and also that the extent of earthquake-induced landslide activity should decrease with increasing source-tosite distance.

Earthquake-Induced Landslide Activity


ML 4.0 4.5 5.0 6.0 6.5 Description Rock falls, soil falls, rock slides Soil slumps, soil block slides Rock slumps, rock block slides, lateral spreads Rock avalanches Soil avalanches

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Evaluation of Slope Stability


Geological, hydrological, topographical, geometrical, and material characteristics all influence the stability of a particular slope and should be considered in the slope stability evaluation. For many sites, considerable useful information can be obtained from previously published documents such as topographic and hazard maps. Also, field reconnaissance which involves careful observation and detailed mapping of a variety of site characteristics associated with existing or potential slope instability such as displaced channels, cracked walls, leaning trees and etc are useful in the slope stability evaluation. Lab tests are often used to quantify the physical characteristics of the various subsurface materials for input into a numerical slope stability analysis. Only after this information is obtained can a stability analysis be performed.
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Evaluation of Slope Stability


Slopes become unstable when the shear stresses required to maintain equilibrium reach or exceed the available shearing resistance on some potential failure surface. For slopes in which the shear stress required to maintain equilibrium under static gravitational loading are high, the additional dynamic stresses needed to produce instability maybe low. Hence, the seismic stability of a slope is strongly influenced by its static stability and often rely on static stability analysis. Currently, the most commonly used methods of static slope stability analysis are: Limit Equilibrium Analysis Stress-Deformation Analysis
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Limit Equilibrium Analysis


Assumptions: Considers force/moment equilibrium of a mass of soil above a potential failure surface. The potential failure surface is rigid. (shearing can only occur on the potential failure surface) The shear strength is mobilized at the same rate over the entire failure surface. The soil on the potential failure surface shows rigid-perfectly plastic behaviour.
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Limit Equilibrium Analysis


Slope stability is usually expressed in terms of an index, most commonly the factor of safety, which is usually defined as:

Soil Strength

FS =

available shear strength shear stress required to maintain equilibriu m

Typical minimum FS used in slope design are about 1.5 for long-term loading conditions and about 1.3 for temporary slopes or short-term loading.
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Limit Equilibrium Analysis


Example of Limitations:
Considers rigid-perfectly plastic behaviour which suggests that the deformation will happen in ductile manner. Many soils exhibit brittle, strain-softening behaviour. Hence, the peak shear strength may not be mobilized simultaneously at all points on the failure surface. In this case, as the stress redistribution process continues, the zone of failure may grow until the entire slope become unstable (Progressive failure) even with the limit equilibrium factor of safety well above 1.(Residual shear strength should be used in the limit equilibrium analysis)
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Limit Equilibrium Analysis Limitations

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Stress-Deformation Analysis

Seismic Slope Stability Analysis

Seismic slope instabilities can be grouped into two main categories:


Stress-deformation analysis allow consideration of the stress-strain behaviour of soil are most commonly performed using the finite element methods. Non-linear stress-strain behaviour, complex boundary conditions, irregular geometries and etc can all be considered in a modern finite element analysis. This method offers the advantage of predicting slope deformations up to the point of failure and locating the most critically stresses zones within a slope. However, the accuracy of stress-deformation analysis is strongly influenced by the accuracy with which the stress-strain model represents actual material behaviour.
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Inertial Instabilities: the shear strength of the soil remains relatively constant, but slope deformations are produced by temporary exceedances of the strength by dynamic stresses. Weakening Instabilities: are those in which the earthquake serves to weaken the soil sufficiently that it can not remain stable under earthquake-induced stresses. Flow liquefaction and cyclic mobility are the most common causes of weakening instability

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Analysis of Inertial Instability

Pseudostatic Analysis

Earthquake motions can induce significant horizontal and vertical dynamic stresses in slopes. These stresses produce dynamic normal and shear stresses along the potential failure surfaces within a slope. When superimposed upon the previously existing static shear stresses, the dynamic shear stresses may exceed the available shear strength of the soil and produce inertial instability of the slope. Currently, the most commonly used methods of inertial instability analysis are: Pseudostatic Analysis (produces a factor of safety) Makdisi-Seed and Newmark Sliding Block Analysis (based on evaluating permanent slope displacement)
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The seismic stability of earth structures can be analyzed by a pseudostatic approach in which the effects of an earthquake are represented by constant horizontal and/or vertical accelerations that produce inertial forces (Fh and Fv) that act through the centre of the failure mass.

Fh =

a hW = k hW g a W Fv = v = k vW g

ah::horizontal pseudostatic acceleration ah horizontal pseudostatic acceleration av::vertical pseudostatic acceleration av vertical pseudostatic acceleration kk & kk::dimensionless coefficients hh & vv dimensionless coefficients W: weight of the failure mass W: weight of the failure mass
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Selection of Pseudostatic kh & kv


The results of pseudostatic analysis are critically dependent on these coefficients, since it controls the pseudostatic force on the failure mass. If the slope material was rigid, the inertial force induced on a potential slide would be equal to the product of the actual horizontal acceleration and the mass of the unstable material which increases with rising acceleration. In practice, the fact that actual slopes are not rigid and that the peak acceleration exists for only a short time so these coefficients generally correspond to acceleration well below amax.

Pseudostatic Analysis
Fh = ahW/g = khW Fv = avW/g = kvW
Fv

ahW = k hW g Terzaghi : k h = 0.1, 0.2, 0.5 (severe, destructive, catasrophic earthquake) Fh = Hynes - Griffin and Franklin : k h = 0.5 amax g
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The pseudostatic analysis, produces a factor of safety against seismic slope failure by resolving the forces on the potential failure mass in a direction parallel to the failure surface.

Fh Soil Strength

FS =

resisting force clab + [(W Fv ) cos Fh sin ] tan = driving force (W Fv )sin + Fh cos
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Newmark Sliding Block Analysis


The serviceability of a slope after an earthquake is controlled by deformations, therefore, analysis that predict slope displacement provide a more useful indication of seismic slope stability. Newmark uses a block resting on an inclined plane analogy to develop a method for prediction of the permanent displacement of a slope that is subjected to ground motions and is in unstable conditions.

Newmark Sliding Block Analysis


Considering the block is in stable conditions under static forces and that the blocks resistance to sliding is purely frictional:
FS = resisting force Wcos tan tan = = static driving force W sin tan

Kh(t) W

h
W N

Considering the effects of inertial forces transmitted to the block by horizontal vibration of the inclined plane with ah(t) = kh(t)g FS d (t ) =
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[cos k h (t ) sin ] tan resisting force = pseudostatic driving force sin + k h (t ) cos
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Newmark Sliding Block Analysis


Obviously, the dynamic factor of safety decreases as kh increases and there will be some positive values of kh that will produce a factor of safety of 1.0 which is known as yield coefficient (ky). Hence, the yield acceleration corresponding to ky, is the minimum pseudostatic acceleration required to produce instability of the block

Newmark Sliding Block Analysis


When a block on an inclined plane is subjected to a pulse of acceleration that exceeds the yield acceleration, the block will move relative to the plane. To illustrate the procedure by which the resulting permanent displacement can be calculated, consider the case in which an inclined plane is subjected to a single rectangular acceleration pulse of amplitude A and duration t. If the yield acceleration, ay, is less then A, the acceleration of the block relative to the plane during this period t0 to t0+ t is:

k y = tan ( ) tan + tan ky = 1 + tan tan

sliding downhill sliding uphill

arel (t ) = ab(t) a y = A a y

t 0 t t 0 + t

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Newmark Sliding Block Analysis


The relative movement of the block during this period can be obtained by integrating the relative acceleration twice, that is:

Newmark Sliding Block Analysis


The relative displacement of the block continues to increase with time. Note that the total relative displacement of the block can be given as:

v rel ( t ) = d rel

t0 t

a rel (t) dt = A a y (t t 0 )

t0 t t0 + t t0 t t0 + t

1 2 ( t ) = v rel (t) dt = A a y (t t 0 ) t0 2

d rel (t 1 ) =

1 (A a y ) t 2 A 2 ay

After the base acceleration drops to zero (at t = t0+t), the block will continue to slide on the plane but with decreasing velocity due to the friction force acting on the base:

arel (t ) = ab(t) a y = 0 a y = a y t0 + t t t1
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As can be seen, the total relative displacement depends strongly on both the amount by which and the length of time during which the yield acceleration is exceeded. 2 1 ay d rel = max 2a y A Using the rectangular pulse solution, Newmark suggested the following 2 max a max d max = equations for peak base velocity and 2a y a y permanent displacement produced: 124
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Makdisi-Seed Analysis
Makdisi and Seed used average accelerations computed by the Chopra and sliding block analysis to compute earthquake-induced permanent deformations of earth dams and embankments based on normalized charts.

Seismic Slope Stability Analysis

Seismic slope instabilities can be grouped into two main categories: Inertial Instabilities: the shear strength of the soil remains relatively constant, but slope deformations are produced by temporary exceedances of the strength by dynamic stresses. Weakening Instabilities: are those in which the earthquake serves to weaken the soil sufficiently that it can not remain stable under earthquake-induced stresses. Flow liquefaction and cyclic mobility are the most common causes of weakening instability.

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Analysis of Weakening Instability


Byrne Approach:
The method is based on modeling a slope as a crust of intact soil resting on a layer of liquefied soil, Byrne used work-energy principles to determine the permanent displacement of the slope (D):
D 3Sr 1 2 D st mv0 = 0 2 2 3( limTL )
2 3mv0 + 4S r limTL D= 6(S r st )

Deformation Failure Analysis

Through a process of pore pressure generation and/or structural disturbance, earthquake-induced stresses and strains can reduce the shear strength of a soil. Weakening instabilities can occur when the reduced strength drops below the static and dynamic shear stresses induced in the slope. Flow Failures: occur when the available shear strength becomes smaller than the static shear stress required to maintain equilibrium of a slope. Deformation Failures: occur when the shear strength of a soil is reduced to the point where it is temporarily exceeded by earthquake-induced shear stresses.
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D < limTL D limTL

Sr::residual strength of liquefied soil Sr residual strength of liquefied soil lim::limiting shear strain (table) lim limiting shear strain (table) TL::thickness of liquefied layer TL thickness of liquefied layer st::average shear stress st average shear stress
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Chapter 11

Types of Retaining Walls

Seismic Design of Retaining Walls

The problem of retaining soil is one of the oldest in geotechnical engineering. Retaining walls are often classified in terms of their relative mass, flexibility, and anchorage conditions, i.e.: Gravity walls: Gravity walls are thick and stiff enough that they do not bend, their movement occurs essentially by rigid-body translation and/or roatation. These walls usually fail by rigid-body mechanisms such as sliding and/or overturning. Cantilever walls: These walls bend as well as translate and rotate, rely on their flexural strength to resist lateral earth pressures. Cantilever walls are subject to the same failure mechanisms as gravity walls, and also to flexural failure mechanisms. Braced walls: These walls are constrained against certain types of movement by the presence of external bracing elements. They usually fail by gross instability, tilting, flexural failure, and/or failure of bracing elements.
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Gravity Walls

Static Pressures on Retaining Walls


Static earth pressures on retaining structures are strongly influenced by wall and soil movements. Active earth pressures develop as a retaining wall moves away from the soil behind it, inducing extensional lateral strain in the soil. When the wall movement is sufficient to fully mobilize the strength of the soil behind the wall, minimum active earth pressures act on the wall. Passive earth pressures develop as a retaining wall moves towards the soil thereby producing compressive lateral strain in the soil. When the strength of the soil is fully mobilized, maximum passive earth pressures act on the wall. Currently, the most commonly used methods for evaluating static loads are: Rankine Theory Coulomb Theory
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Rankine Theory (Active Earth Pressure)


Rankine developed the simplest procedure for computing minimum active earth pressures and expressed it at a point on the back of retaining wall as:
pA = K A v 2c K A K A : coefficient of active earth pressure, v : vertical effective stress, c : cohesion of the soil KA =

Rankine Theory (Passive Earth Pressure)

Rankine expressed passive earth pressure as:

pP = K P v + 2c K P K P : coefficient of passive earth pressure, v : vertical effective stress, c : cohesion of the soil KP = cos cos 2 cos 2 cos + cos 2 cos 2

1 sin = tan 2 45 1 + sin 2

K A = cos

(backfill angle)

1 + sin = tan 2 45 + 1 sin 2

K P = cos

cos + cos 2 cos 2 cos cos 2 cos 2

(backfill angle)

For dry cohesionless backfill, active earth pressure resultant, PA , acts at a point load at H 3 above the base : 1 PA = K AH 2 2

For dry cohesionless backfill, passive earth pressure resultant, PP , acts at a point load at H 3 above the base : 1 PP = K PH 2 2

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Coulomb Theory (Active Earth Pressure)


Coulomb assumed that the force acting on the back of a retaining wall resulted from the weight of a wedge of a soil above a planar failure surface. He then used force equilibrium to determine the soil thrust:
For dry cohesionless backfill, active earth pressure resultant, PA , acts at a point load at H 3 above the base : PA = 1 K AH 2 2

Coulomb Theory (Passive Earth Pressure)


Coulomb theory predicts passive earth pressure as:

PP =

1 K PH 2 2

KA =

cos 2 ( )
2

sin ( + )sin ( ) cos 2 cos( + )1 + cos( + ) cos( ) tan ( ) + C1 C2

sin ( + )sin ( + ) cos 2 cos( )1 + cos( ) cos( ) : angle of internal friction between the wall and the soil, and are shown in the figure.
2

KP =

cos 2 ( + )

: angle of internal friction between the wall and the soil, and are shown in the figure. A = + tan 1 A = angle of critical failure surface with horizontal

P = + tan 1

C1 = tan ( )[tan ( ) + cot ( )][1 + tan ( + ) cot ( )] C2 = 1 + {tan ( + )[tan ( ) + cot ( )]}
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C1 = tan ( + )[tan ( + ) + cot ( + )][1 + tan ( ) cot ( + )] C2 = 1 + {tan ( )[tan ( + ) + cot ( + )]}
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tan ( ) + C3 C4

A = angle of critical failure surface with horizontal

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Seismic Pressures on Retaining Walls

M-O method (Active Earth Pressure)


In addition to the forces that exist under static conditions, the wedge is also acted upon by horizontal and vertical pseudostatic forces whose magnitude are related to the mass of wedge by ah, av.
PAE = K AE = cos 2 ( ) , = d , = tan 1 [k h (1 k v )] 2 sin ( + ) sin ( ) cos cos 2 cos ( + + )1 + cos ( + + ) cos( ) tan ( ) + C1E = + tan 1 A = angle of critical failure surface with horizontal C2 E 1 K AE H 2 (1 k v ) 2

Common approach to the seismic design of retaining walls involves estimating the loads imposed on the wall during earthquake shaking and then ensuring that the wall can resist those loads. Yielding Walls: retaining walls that can move sufficiently to develop active/passive earth pressures are referred to as yielding walls. The dynamic pressure acting on these walls are usually estimated by pseudostatic method. Mononobe-Okabe Method: based on pseudostatic analysis of seismic earth pressures on retaining structures (also known as M-O method). It is the direct extension of the static coulomb theory to pseudostatic conditions. Hence, the pseudostatic accelerations are applied to a active/passive wedge and then from force equilibrium the total forces are obtained.
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AE

C1E = tan ( )[tan ( ) + cot ( )][1 + tan ( + + ) cot ( )] C2 E = 1 + {tan ( + + )[tan ( ) + cot ( )]} PAE = PA + PAE h= PA H 3 + PAE (0.6 H ) PAE h : the height whe re total force will act from the base

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M-O method (Passive Earth Pressure)


The total passive thrust on a wall retaining a dry, cohesionless backfill is given by:
PPE = 1 K PE H 2 (1 k v ) 2

Effects of Water on Wall Pressures


The presence of water plays a strong role in determining the loads on waterfront retaining walls both during and after earthquakes. Water outboard of a retaining wall can exert dynamic pressures on the face of the wall. Water within a backfill can also affect the dynamic pressures that act on the back of the wall.

K PE =

cos 2 ( + ) sin ( + )sin ( + ) cos ( + ) cos ( )


2

cos cos 2 cos ( + )1 +

, = d , = tan 1 [k h (1 k v )]

PE = + tan 1
C1E =

C 2 E = 1 + {tan ( + )[tan ( + ) + cot ( + )]} PPE = PP + PPE

tan ( + )[tan ( + ) + cot ( + )][1 + tan ( + ) cot ( + )]

tan ( + + ) + C 3 E C4 E

A = angle of critical failure surface with horizontal

Water Outboard of Wall: Hydrodynamic water pressure results from the dynamic response of a body of water. For retaining walls, this pressure is usually estimated from Westergaards solution. The resultant hydrodynamic thrust is given by:
PW = 7 ah W H 12 g
2

H : the depth of water in reservoir


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Effects of Water on Wall Pressures


Water in Backfill: for restrained water conditions (no relative movement of soil and water), the M-O method can be modified to account for the presence of porewater within the backfill. Representing the excess porewater pressure in the backfill by the pore pressure ratio, ru, the active soil thrust can be calculated, also, an equivalent hydrostatic thrust based on a fluid of unit weight eq must be added to the soil thrust:

Seismic Displacement of Retaining Walls

Richards and Elms proposed a method for the seismic design of gravity walls based on allowable permanent wall displacements. The method estimates permanent displacement in a manner analogous to the Newmark sliding block procedure. By defining yield acceleration as the level of acceleration that is just large enough to cause the wall to slide on its base and calculating PAE using the MO method, Richards and Elms proposed the following expression for permanent block displacement:
= 0 . 087
2 3 v max a max 4 ay

= b (1 ru ) = tan
.
eq 1

r u = u excess

3c

sat k h b (1 r u )( 1 k v ) + ru b
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perm

P cos ( + ) P AE sin ( + ) a y = tan b AE g W


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