Dynamic Stiffness and Damping of a Shallow Foundation from Forced Vibration of a Field Test Structure

Foundation impedance ordinates are identified from forced vibration tests conducted on a large-scale model test structure in Garner Valley, California. The structure is a steel moment frame with removable cross-bracing, a reinforced concrete roof, and a nonembedded square slab resting on Holocene silty sands. Low-amplitude vibration is applied across the frequency range of 5–15?Hz with a uniaxial shaker mounted on the roof slab. We describe procedures for calculating frequency-dependent foundation stiffness and damping for horizontal translational and rotational vibration modes. We apply the procedures to test data obtained with the structure in its braced and unbraced configurations. Experimental stiffness ordinates exhibit negligible frequency dependence in translation but significant reductions with frequency in rotation. Damping increases strongly with frequency, is stronger in translation than in rocking, and demonstrates contributions from both radiation and hysteretic sources. The impedance ordinates are generally consistent with numerical models for a surface foundation on a half-space, providing that soil moduli are modestly increased from free-field values to account for structural weight, and hysteretic soil damping is considered.     

Standard Penetration Test-Based Probabilistic and Deterministic Assessment of Seismic Soil Liquefaction Potential

This paper presents new correlations for assessment of the likelihood of initiation (or “triggering”) of soil liquefaction. These new correlations eliminate several sources of bias intrinsic to previous, similar correlations, and provide greatly reduced overall uncertainty and variance. Key elements in the development of these new correlations are (1) accumulation of a significantly expanded database of field performance case histories; (2) use of improved knowledge and understanding of factors affecting interpretation of standard penetration test data; (3) incorporation of improved understanding of factors affecting site-specific earthquake ground motions (including directivity effects, site-specific response, etc.); (4) use of improved methods for assessment of in situ cyclic shear stress ratio; (5) screening of field data case histories on a quality/uncertainty basis; and (6) use of high-order probabilistic tools (Bayesian updating). The resulting relationships not only provide greatly reduced uncertainty, they also help to resolve a number of corollary issues that have long been difficult and controversial including: (1) magnitude-correlated duration weighting factors, (2) adjustments for fines content, and (3) corrections for overburden stress.     

Plate Load Tests on Cemented Soil Layers Overlaying Weaker Soil

This paper addresses the interpretation of plate load tests bearing on double-layered systems formed by an artificially cemented compacted top soil layer (three different top layers have been studied) overlaying a compressible residual soil stratum. Applied pressure-settlement behavior is observed for tests carried out using circular steel plates ranging from 0.30 to 0.60 m diameter on top of 0.15 to 0.60-m-thick artificially cemented layers. The paper also stresses the need to express test results in terms of normalized pressure and settlement—i.e., as pressure normalized by pressure at 3% settlement (p/p3%) versus settlement-to-diameter (δ/D) ratio. In the range of H/D (where H = thickness of the treated layer and D = diameter of the foundation) studied, up to 2.0, the final failure modes observed in the field tests always involved punching through the top layer. In addition, the progressive failure processes in the compacted top layer always initiated by tensile fissures in the bottom of the layer. However, depending on the H/D ratio, the tensile cracking started in different positions. The footing bearing capacity analytical solution for layered cohesive-frictional soils appears to be quite adequate up to a H/D value of about 1.0. Finally, for a given project, combining Vésic’s solution with results from one plate-loading test, it is possible (knowing of the demonstrated normalization of p/p3%-δ/D, where the pressure-relative settlement curves for different H/D ratios produce a single curve for all values of H/D) to estimate the pressure-settlement curves for footings of different sizes on different thicknesses of a cemented upper layer.     

CPT-Based Probabilistic and Deterministic Assessment of In Situ Seismic Soil Liquefaction Potential

This paper presents a complete methodology for both probabilistic and deterministic assessment of seismic soil liquefaction triggering potential based on the cone penetration test (CPT). A comprehensive worldwide set of CPT-based liquefaction field case histories were compiled and back analyzed, and the data then used to develop probabilistic triggering correlations. Issues investigated in this study include improved normalization of CPT resistance measurements for the influence of effective overburden stress, and adjustment to CPT tip resistance for the potential influence of “thin” liquefiable layers. The effects of soil type and soil character (i.e., “fines” adjustment) for the new correlations are based on a combination of CPT tip and sleeve resistance. To quantify probability for performance-based engineering applications, Bayesian “regression” methods were used, and the uncertainties of all variables comprising both the seismic demand and the liquefaction resistance were estimated and included in the analysis. The resulting correlations were developed using a Bayesian framework and are presented in both probabilistic and deterministic formats. The results are compared to previous probabilistic and deterministic correlations.     

Load Testing and Settlement Prediction of Shallow Foundation

The purpose of this study was to critically examine insitu test methods as a means for predicting settlement of shallow foundations. Accordingly, a 1.8?m (6?ft) diameter concrete footing was statically load tested. Prior to construction, insitu [standard penetration test (SPT), cone penetration test (CPT), dilatometer (DMT), and pressuremeter (PMT)] and laboratory tests were performed to determine engineering properties of the soil. Predictions of the footing settlement were made by traditional as well as finite element methods. The results of the static load test showed settlements were over predicted by all methods. However, the traditional methods provided reasonable settlement estimates using either SPT-N or back computed CPT(N) as input. Finite element analyses using either DMT or CPT derived input parameters provided reasonable settlement estimates. Finite element analyses using SPT or PMT derived input parameters provided poor settlement estimates. The Mohr–Coulomb (elastoplastic) model, accounting for overconsolidation, provided better estimates than the hardening soil (hyperbolic-cap) model for all insitu test derived parameters.     

Centrifuge Testing to Evaluate and Mitigate Liquefaction-Induced Building Settlement Mechanisms

The effective application of liquefaction mitigation techniques requires an improved understanding of the development and consequences of liquefaction. Centrifuge experiments were performed to study the dominant mechanisms of seismically induced settlement of buildings with rigid mat foundations on thin deposits of liquefiable sand. The relative importance of key settlement mechanisms was evaluated by using mitigation techniques to minimize some of their respective contributions. The relative importance of settlement mechanisms was shown to depend on the characteristics of the earthquake motion, liquefiable soil, and building. The initiation, rate, and amount of liquefaction-induced building settlement depended greatly on the rate of ground shaking. Engineering design procedures should incorporate this important feature of earthquake shaking, which may be represented by the time rate of Arias intensity (i.e., the shaking intensity rate). In these experiments, installation of an independent, in-ground, perimetrical, stiff structural wall minimized deviatoric soil deformations under the building and reduced total building settlements by approximately 50%. Use of a flexible impermeable barrier that inhibited horizontal water flow without preventing shear deformation also reduced permanent building settlements but less significantly.     

Seismic Performance of a River Dike Improved by Sand Compaction Piles

Sand compaction piling is one of the commonly used countermeasures for earthquake liquefaction hazard of river dikes. This paper presents a case study of the performance of an instrumented dike in northeast Japan that was improved by sand compaction piles and subjected to the 2003 Northern Miyagi Earthquake, with the aim to better understand the effectiveness of this ground improvement method. Simulation has been carried out by means of a fully coupled numerical procedure which employs a sophisticated cyclic elastoplastic constitutive model and the updated Lagrangian algorithm. Comparisons between the field measurements and the computed responses, including the time histories of accelerations and pore-water pressures at different locations, show reasonably good agreement. Numerical simulation has also been made of the same dike but without ground improvement to identify the effects of sand compaction piles in altering the performance of the dike. The study demonstrates that the comprehensive numerical procedure is a promising tool for development of seismic performance-based design of earth structures.     

Analytical Modeling, System Identification, and Tracking Performance of Uniaxial Seismic Simulators

This technical note presents a simplified approach to reproducing historical earthquake records using uniaxial seismic simulators. Although complex, real-time feedback control systems may be utilized to control such simulators, it is shown herein that the application of a simple, off-line correction procedure is adequate for producing reasonable reproductions of historical earthquakes. An analytical model which describes the dynamic properties of a uniaxial seismic simulator is formulated in the frequency domain and calibration of the analytical model is performed via experimental system identification testing. It is shown that the model and identified properties are valid over a practical range of frequencies of motion. The analytical model is subsequently utilized in the implementation of an off-line correction procedure to improve the dynamic tracking performance of the seismic simulator. The effectiveness of the procedure is demonstrated by comparing motion of the simulator using both uncorrected and corrected command signals that correspond to historical earthquake records. The results show that the analytical model developed is adequate for describing the dynamic behavior of the seismic simulator and that the application of a simple, off-line correction procedure improves the dynamic tracking performance of the simulator.     

Influence of Input Motion and Site Property Variabilities on Seismic Site Response Analysis

Seismic site response analysis evaluates the influence of local soil conditions on earthquake ground shaking. There are multiple sources of potential uncertainty in this analysis; the most significant pertaining to the specification of the input motions and to the characterization of the soil properties. The influence of the selection of input ground motions on equivalent-linear site response analysis is evaluated through analyses performed with multiple suites of input motions selected to fit the same target acceleration response spectrum. The results indicate that a stable median surface response spectrum (i.e., within ±20% of any other suite) can be obtained with as few as five motions, if the motions fit the input target spectrum well. The stability of the median is improved to ±5 to 10% when 10 or 20 input motions are used. If the standard deviation of the surface response spectra is required, at least 10 motions (and preferably 20) are required to adequately model the standard deviation. The influence of soil characterization uncertainty is assessed through Monte Carlo simulations, where variations in the shear-wave velocity profile and nonlinear soil properties are considered. Modeling shear-wave velocity variability generally reduces the predicted median surface motions and amplification factors, most significantly at periods less than the site period. Modeling the variability in nonlinear properties has a similar, although slightly smaller, effect. Finally, including the variability in soil properties significantly increases the standard deviation of the amplification factors but has a lesser effect on the standard deviation of the surface motions.     

Failure Mechanisms of Pile Foundations in Liquefiable Soil: Parametric Study

This paper presents the response of piles in liquefiable soil under seismic loads. The effects of soil, pile, and earthquake parameters on the two potential pile failure mechanisms, bending and buckling, are examined. The analysis is conducted using a two-dimensional plain strain finite difference program considering a nonlinear constitutive model for soil liquefaction, strength reduction, and pile-soil interaction. The depths of liquefaction, maximum lateral displacement, and maximum pile bending moment are obtained for concrete and steel piles for different soil relative densities, pile diameters, earthquake predominant frequencies, and peak accelerations. The potential failure mechanisms of piles identified from the parametric analysis are discussed.     

Simplified Approach for the Seismic Response of a Pile Foundation

Pseudostatic approaches for the seismic analysis of pile foundations are attractive for practicing engineers because they are simple when compared to difficult and more complex dynamic analyses. To evaluate the internal response of piles subjected to earthquake loading, a simplified approach based on the “p-y” subgrade reaction method has been developed. The method involves two main steps: first, a site response analysis is carried out to obtain the free-field ground displacements along the pile. Next, a static load analysis is carried out for the pile, subjected to the computed free-field ground displacements and the static loading at the pile head. A pseudostatic push over analysis is adopted to simulate the behavior of piles subjected to both lateral soil movements and static loadings at the pile head. The single pile or the pile group interact with the surrounding soil by means of hyperbolic p-y curves. The solution derived first for the single pile, was extended to the case of a pile group by empirical multipliers, which account for reduced resistance and stiffness due to pile-soil-pile interaction. Numerical results obtained by the proposed simplified approach were compared with experimental and numerical results reported in literature. It has been shown that this procedure can be used successfully for determining the response of a pile foundation to “inertial” loading caused by the lateral forces imposed on the superstructure and “kinematic” loading caused by the ground movements developed during an earthquake.     

Correcting Liquefaction Resistance for Aged Sands Using Measured to Estimated Velocity Ratio

Factors for correcting liquefaction resistance for aged sands using ratios of measured to estimated shear-wave velocity (MEVR) are derived in this paper. Estimated values of shear-wave velocity (VS) are computed for 91 penetration resistance-VS data pairs using previously published relationships. Linear regression is performed on values of MEVR and corresponding average age. Age of the sand layer is taken as the time between VS measurements and initial deposition or last critical disturbance. It is found that MEVR increases by a factor of about 0.08 per log cycle of time, and time equals about 6?years on average when MEVR equals 1 for the recommended penetration resistance-VS relationships. The resulting regression equation is combined with the strength gain equation reported by Hayati et al. 2008 in “Proc., Geotechnical Earthquake Engineering and Soil Dynamics IV,” to produce a MEVR versus deposit resistance correction relationship. This new corrective relationship is applied to create liquefaction resistance curves based on VS, standard penetration test blow count, and cone tip resistance for sands of various ages (or MEVRs). Because age of natural soil deposits is usually difficult to accurately determine, MEVR appears to be a promising alternative.     

Resistance Factors for Use in Shallow Foundation LRFD

In shallow foundation design, the key improvements offered by LRFD over the traditional working stress design (WSD) are the ability to provide a more consistent level of reliability between different designs and the possibility of accounting for load and resistance uncertainties separately. In the development of LRFD, a framework for the objective, logical assessment of resistance factors is needed. Additionally, in order for LRFD to fulfill its promise for designs with more consistent reliability, the methods used to execute a design must be consistent with the methods assumed in the development of the LRFD factors. In this paper, a methodology for the estimation of soil parameters for use in design equations is proposed that should allow for more statistical consistency in design inputs than is possible in traditional methods. Resistance factors for ultimate bearing capacity are computed using reliability analysis for shallow foundations both in sand and in clay, with input parameters obtained from both the cone penetration test and the standard penetration test, and for both ASCE-7 2000 and AASHTO 1998 load factors. Resistance factor values are dependent upon the values of load factors used. Thus, a method to adjust the resistance factors to account for code-specified load factors is also presented.     

Seismic Response of Liquid Storage Tanks Incorporating Soil Structure Interaction

A frequency domain method is presented to compute the impulsive seismic response of circular surface mounted steel and concrete liquid storage tanks incorporating soil-structure interaction (SSI) for layered sites. The method introduces the concept of a near field region in close proximity to the mat foundation and a far field at distance. The near field is modeled as a region of nonlinear soil response with strain compatible shear stiffness and viscous material damping. The shear strain in a representative soil element is used as the basis for strain compatibility in the near field. In the far field, radiation damping using low strain soil response is used. Frequency dependent complex dynamic impedance functions are used in a model that incorporates horizontal displacement and rotation of the foundation. The focus of the paper is on the computation of the horizontal shear force and moment on the tank foundation to enable foundation design. Significant SSI effects are shown to occur for tanks sited on soft soil, especially tanks of a tall slender nature. SSI effects take the form of period elongation and energy loss by radiation damping and foundation soil damping. The effects of SSI for tanks are shown to reverse the trend of force and moment reduction under earthquake loading as is usually assumed by designers. The reasons for this important effect in tank design are given in the paper and relate to the very short period of most tanks, hence, period lengthening may result in load increase. A comparison is made with SSI effects evaluated using the code SEI/ASCE 7-02. Period elongation is found to be similar for relatively stiff soils when assessed by the code compared with the results of the dynamic analysis. For soft soils, the agreement is not as good. Code values of system damping are found to agree reasonably well with an assessment based on the dynamic analyses for the range of periods covered by the code. Energy loss by material damping and radiation damping is discussed. It is shown that energy loss may be computed using the complex dynamic impedance function associated with the viscous dashpot in the analytical model. The proportion of energy loss in the translation mode compared to that dissipated in the rotational mode is addressed as a function of the slenderness of the tank. Energy loss increases substantially with the volume of liquid being stored.     

Mechanisms of Seismically Induced Settlement of Buildings with Shallow Foundations on Liquefiable Soil

Seismically induced settlement of buildings with shallow foundations on liquefiable soils has resulted in significant damage in recent earthquakes. Engineers still largely estimate seismic building settlement using procedures developed to calculate postliquefaction reconsolidation settlement in the free-field. A series of centrifuge experiments involving buildings situated atop a layered soil deposit have been performed to identify the mechanisms involved in liquefaction-induced building settlement. Previous studies of this problem have identified important factors including shaking intensity, the liquefiable soil’s relative density and thickness, and the building’s weight and width. Centrifuge test results indicate that building settlement is not proportional to the thickness of the liquefiable layer and that most of this settlement occurs during earthquake strong shaking. Building-induced shear deformations combined with localized volumetric strains during partially drained cyclic loading are the dominant mechanisms. The development of high excess pore pressures, localized drainage in response to the high transient hydraulic gradients, and earthquake-induced ratcheting of the buildings into the softened soil are important effects that should be captured in design procedures that estimate liquefaction-induced building settlement.     

Evaluation of Cyclic Softening in Silts and Clays

Procedures are presented for evaluating the potential for cyclic softening (i.e., onset of significant strains or strength loss) in saturated silts and clays during earthquakes. The recommended procedures are applicable for fine-grained soils with sufficient plasticity that they would be characterized as behaving more fundamentally like clays in undrained monotonic or cyclic loading. The procedures are presented in a form that is similar to that used in semiempirical liquefaction procedures. Expressions are developed for a static shear stress correction factor and a magnitude scaling factor. Guidelines and empirical relations are presented for determining cyclic resistance ratios based on different approaches to characterizing fine-grained soil deposits. The potential consequences of cyclic softening, and the major variables affecting such consequences, are discussed. Application of these procedures is demonstrated through the analysis of the Carrefour Shopping Center case history from the 1999 Kocaeli earthquake. The proposed procedures, in conjunction with associated liquefaction susceptibility criteria, provide an improved means for distinguishing between the conditions that do and those that do not lead to ground deformations in fine-grained soil deposits during earthquakes.     

Liquefaction Hazard Mapping—Statistical and Spatial Characterization of Susceptible Units

In this paper, we present a three step method for characterizing geologic deposits for liquefaction potential using sample based liquefaction probability values. The steps include statistically characterizing the sample population, evaluating the spatial correlation of the population, and finally providing a local and/or global estimate of the distribution of high liquefaction probability values for the deposit. When spatial correlation is present, ordinary kriging can be used to evaluate spatial clustering of high liquefaction probability values within a geologic unit which in turn can be used in a regional liquefaction potential characterization. If spatial correlation is not present in the data, then a global estimate can be used to estimate the percentage of samples within the deposit which have a high liquefaction probability. By describing the liquefaction potential with a binomial distribution (high versus low), a global estimate can provide an estimate of the mean as well as uncertainty in the estimate. To demonstrate the method, we used a dense data set of subsurface borings to identify and characterize liquefiable deposits for hazard mapping in Cambridge, Mass.     

Seismic Performance of Industrial Facilities Affected by the 1999 Turkey Earthquake

Approximately 40% of the heavy industry in Turkey was located in the region affected by the 1999 Mw 7.4 Kocaeli earthquake. Twenty-four facilities representing different industries in the epicentral region were surveyed after the earthquake. Structural and nonstructural damage to these facilities is summarized and performance is reported using a damage classification scheme. Information on typical industrial-facility construction practice in Turkey is presented. Earthquake damage to the most common structural framing systems is highlighted. The structural performance of a small number of the facilities visited by the reconnaissance team is investigated.     

Rotation Response of a Rigid Body under Seismic Excitation

After the 1994 Sanriku-Haruka-Oki, Japan, earthquake, rotation of tombstones along the vertical axis occurred in a graveyard about 34?m from the Japan Meteorological Agency Hachinohe Observatory where strong motion was recorded. The properties of seismic motion that make a rigid rectangular solid body rotate are discussed. Shaking table tests were conducted to reproduce the rotation response of Japanese-style tombstones which typically consist of several stone blocks whose shapes are rectangular solids. Data obtained from those tests were used to calibrate a numerical model by the three-dimensional distinct element method. Results of the shaking tests and numerical analyses showed that rotation of a rigid rectangular solid body may be caused by the combination of the rocking of the body and particle motion of the input acceleration. Rotation behavior of an actual tombstone was simulated based on the observed accelerogram. Findings show that one or two cycles of particle motion near peak acceleration caused the rotation.     

Seismic Behavior of Soil-Pile-Structure Interaction in Liquefiable Soils: Parametric Study

Nonlinearity of the soil medium plays a very important role on the seismic behavior of soil-pile-structure interaction. The problem of soil-pile-structure interaction is further complicated when the piles are embedded in liquefiable soil medium. A finite-element code was developed in MATLAB to model three-dimensional soil-pile-structure systems. Frequency dependent Kelvin elements (spring and dashpots) were used to model the radiation boundary conditions. A work-hardening plastic cap model was used for constitutive modeling of the soil medium. The pore pressure generation for liquefaction was incorporated by a two-parameter volume change model reported in the literature. In this paper, a 2×2 pile group in liquefiable soil is considered and a parametric study is conducted to investigate its seismic behavior. The effects of loading intensity and stiffness of the soil on the seismic behaviour of the soil-pile system are investigated, considering nonlinearity and liquefaction of the soil medium for a wide range of frequencies of harmonic excitations. The inertial interaction attributable to a structure is analyzed for a system consisting of a four-storied portal frame on the pile group-soil subsystem. The responses of the structure are investigated for harmonic excitation and transient excitations. The importance of consideration of nonlinearity and liquefaction of the soil medium for analysis and design of a pile-supported structure is highlighted. Results from an analysis considering a practical soil-pile problem are presented to demonstrate the applicability of the developed algorithm for a practical problem.