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1
1 Introduction
Liquefaction of soils is a major cause of both damage and loss of life in earthquakes (e.g.; the 1964
Alaska and Niigata, 1983 Nihonakai-Chubu, 1987 Elmore Ranch and Superstition Hills, 1989 Loma
Prieta, 1993 Kushiro-Oki, 1994 Northridge, 1995 Hyogoken-Nambu (Kobe), 1999 Izmit earthquakes).
Researchers have tried to quantify seismic soil liquefaction initiation risk through the use of both
deterministic and probabilistic techniques based on laboratory test results and/or correlations of
insitu index tests with field case history performance data.
Settle3D offers different methods of calculating the factor of safety associated with liquefaction
resistance, probability of liquefaction, and the input parameters required for those calculations. This
manual also describes a simplified method for calculating the lateral spreading displacement as well
as the vertical settlement due to liquefaction.
2 Theory
The use of in situ index testing is the dominant approach for assessment of the likelihood of
triggering or initiation of liquefaction. There in-situ test methods have now reached a level of
sufficient maturity as to represent viable tools for this purpose. The following tests are often used:
The potential for liquefaction can be evaluated by comparing the earthquake loading (CSR) with the
liquefaction resistance (CRR) - this is usually expressed as a factor of safety against
Liquefaction:
7.5
=
where
2
3 Standard Penetration Test (SPT) Based Calculations
This section summarizes the methods available for calculating liquefaction resistance based on SPT
data. The following are presented:
= = 0.65 ( ) ( )
where
= gravitational acceleration
3
3.2 Stress Reduction Factor, rd
The stress reduction factor, rd, is used to determine the maximum shear stress at different depths in
the soil. Values generally range from 1 at the ground surface to lower values at larger depths.
NCEER (1997)
Idriss (1999)
Kayen (1992)
NCEER (1997)
= 0.50 > 30
where
= depth in meters
Idriss (1999)
ln( ) = () + ()
() = 1.012 1.126 sin ( + 5.133)
11.73
() = 0.106 + 0.118 sin ( + 5.142)
11.28
where
= depth in meters 34
4
= earthquake magnitude
Kayen (1992)
= 1 0.012
where
= depth in meters
23.013 2.949 + 0.999 + 0.0525,12
[1 + ]
(, , , ,12 )= 16.258 + 0.201 0.341(20+0.0785,12+7.586) 0.0046( 20)
23.013 2.949 + 0.999 + 0.0525,12
[1 +
0.341(0.0785,12 +7.586)
]
16.258 + 0.201
where
= depth in meters
= gravitational acceleration
,12 = site shear wave velocity over the top 12m
5
Notes:
- If the site stiffness estimation is difficult, take ,12 150-200m/s.
- For very soft sites with ,12 less than 120m/s, use a limiting stiffness of 120m/s in
calculations.
- For very stiff sites, ,12 with stiffness greater than 250m/s, use 250m/s as the limiting value
in calculations.
where
6
3.3 SPT-N Value Correction Factors
Before the CRR can be calculated, the N values obtained from the SPT must be corrected for the
following factors: overburden, rod length, non-standard sampler, borehole diameter, and hammer
energy efficiency, resulting in a(1 )60 value. The equation below illustrates the correction.
60 =
(1 )60 = 60
The equations used to calculate the correction factors are summarized below.
The overburden correction factor adjusts N values to the N 1 value that would be measured at the
same depth if the effective overburden stress was 1 atm.
Bazaraa (1967)
Peck (1974)
7
Liao and Whitman (1986)
0.5
1
= ( ) 1.7
0
0.5
= ( )
Bazaraa (1967)
4
= 0 1.5
1 + 20
4
= 0 > 1.5
3.25 + 0.50
2.0
0.7840.0768(1)60
= ( ) 1.7
(1 )60 46
2000
= 0.77 log ( ) 0 282
0
2.2
= 1.7
1.2 +
8
3.3.2 Hammer Energy Efficiency Correction Factor, CE
The energy efficiency correction factor is calculated using the measured energy ratio as follows.
=
60
It varies from 0.5-1.3. The ranges are taken from Skempton (1986).
Hammer Type CE
Donut hammer 0.5-1.0
Safety hammer 0.7-1.2
Automatic hammer 0.8-1.3
More specifically,
Hammer Type CE
Automatic Trip 0.9-1.6
Europe Donut Free fall 1.0
China Donut Free Fall 1.0
China Donut Rope& Pulley 0.83
Japan Donut Free Fall 1.3
Japan Donut Rope& Pulley 1.12
United States Safety Rope& pulley 0.89
United States Donut Rope& pulley 0.72
United States Automatic Trip Rope& pulley 1.25
The following table, from Skempton (1986) summarizes the borehole diameter correction factors for
various borehole diameters.
9
3.3.4 Rod Length Correction Factor, CR
The rod length correction factor accounts for how energy transferred to the sampling rods is affected
by the rod length.
The following table from Youd et al (2001) summarizes the rod correction factor for various rod
lengths. The rod length above the ground must also be added to obtain the total rod length before
choosing the appropriate correction factor.
The figure below illustrates the recommended CR values (rod length from point of hammer impact to
tip of sampler).
10
3.3.5 Sampler Correction Factor, CS
The sampler correction factor is applied in cases when the split spoon sampler has room for liner
rings, but those rings were not used.
CS Condition Reference
= 1.0 Standard sampler (NCEER, 1997)
= 1.0 1.3 Sampler without liners (NCEER, 1997)
= 1.1 1,60 10 (Cetin et al, 2004)
1,60
= 1 + 10 1,60 30 (Cetin et al, 2004)
100
= 1.3 1,60 30 (Cetin et al, 2004)
= 7.5
The following methods of calculating CRR are for CRR7.5 and still need to have the MSF correction
factors applied:
11
Seed et al. (1984)
Figure 3: SPT clean-sand base curve for magnitude 7.5 earthquakes with data from liquefaction case
histories (modified from Seed et al. 1985)
12
The equation implemented in Settle3D is:
1 (1 )60 50 1
7.5 = + +
34 (1 )60 135 [10(1 )60 + 45]2 200
In this method, the N1,60 value is corrected for fines and adjusted to an equivalent clean sand value.
2
9.7 15.7
(1 )60 = exp (1.63 + ( ) )
+ 0.01 + 0.01
2 3 4
(1 )60 (1 )60 (1 )60 (1 )60
=7.5,=1 = exp ( +( ) ( ) +( ) 2.8) for (1 )60 < 37.5
14.1 126 23.6 25.4
The following formula calculates CRR for a given probability of liquefaction. In this equation, the
correction for fines content is built into the equations for PL and CRR.
(1 )60 (1 + 0.004) 29.53 ( ) 3.70 ( ) + 0.05 + 16.85 + 2.701 ( )
((1 )60 , , , , ) = exp [ ]
13.32
(1 )60 (1 + 0.004) 13.32 ln( ) 29.53 ln( ) 3.70 ln ( ) + 0.05 + 16.85
((1 )60 , , , , ) = ( )
2.70
where
13
1 ( )= inverse of the standard cumulative normal distribution (ie. mean = 0, and standard
deviation = 1)
The deterministic analysis is done for a probability of liquefaction of 50% and a factor of safety of 1.
This method is based on the equivalent clean sand value of N and the particle size distribution of
sand. The method of fines correction implemented is not necessarily the same as the one used in
Idriss and Boulanger (2004). The various methods of calculating fines correction factors will be
discussed in the next section.
(1 )60 0.35
=7.5,=1 = 0.0882
+ 0.255 log ( ) + 3 0.05 50 < 0.6
+ 0.7 50
(1 )60
=7.5,=1 = 0.0882 0.05 0.6 50 < 2
+ 0.7
3 = 0 < 40%
3 = 0.004 0.16 40%
/2
14
Youd and Noble (1997) Probabilistic
( ) = ln ( ) = 7.0351 + 2.1738 0.2678(1 )60 + 3.0265 ln()
1
15
3.5 Relative Density, DR
The relative density of a soil is used in the calculation of the overburden correction factor, CN. The
following methods are provided in Settle3D:
Skempton (1986)
1,60 = 41 2
Ishihara (1979)
= 0.06761,60
= 0.06761,60 + 0.0035
1,60
=
46
0.5
= 0.06761,60 + 0.085 10 ( )
50
16
3.6 Fines Content Correction
The fines content has been shown to influence 1,60 and a number of equations have been proposed
to account for this.
2
9.7 15.7
(1 )60 = exp (1.63 + ( ) )
+ 0.01 + 0.01
The following method can also be used with an N value corrected for fines content.
(1 )60 = + (1 )60
= 0 5%
190 2
= exp [1.76 ( ) ] 5% < < 35%
= 5.0 35%
= 1.0 5%
1.5
= [0.99 + ( )] 5% < < 35%
1000
= 1.2 35%
(1 )60 = (1 )60
= (1 + 0.004) + 0.05 ( ) 5% 35%
1,60
17
3.7 Magnitude Scaling Factor, MSF
As mentioned previously, the CRR equations above need to be corrected for earthquake magnitude (if
the earthquake magnitude is not 7.5).
= 2.5 0.2
Idriss (1999)
= 6.9 exp ( ) 0.058 1.8
4
2.56
= ( )
7.5
= 6.9 exp ( ) 0.058 1.8
4
The summary of the 1996/1998 NCEER Workshop proceedings by Youd and Idriss (2001) outlines
various methods for calculating the MSF and provide recommendations for engineering practice.
The following MSF values are for calculated probabilities of liquefaction, the equation for which is
also shown.
( ) = ln ( ) = 7.0351 + 2.1738 0.2678(1 )60 + 3.0265 ln()
1
103.81
< 20% = < 7
4.53
103.74
< 32% = < 7
4.33
104.21
< 50% = < 7.75
4.81
18
Cetin et al. (2012)
= ( ) =( )
=7.5 7.5
1
= ( )
=
=
19
Figure 7: Recommended curves for estimating K for engineering practice (from NCEER 1996
workshop)
The parameter f is a function of site conditions, and the estimates above are recommended
conservative values for clean and silty sands and gravels.
This method is basically the same as Idriss and Boulanger (2004), except that the limit for K is
higher.
= 1 ln ( ) 1.1
1
= 0.3
18.9 17.3
(1 )60
=
46
1
=
(18.9 2.55(1 )60 )
20
Cetin et al. (2004)
Figure 8: K values, shown with NCEER recommendations (for n=0.7 and DR<60%) for comparison
21
3.9 Shear Stress Correction Factor, K
K is the static shear stress correction factor, used to correct CRR values for the effects of static
shear stresses.
= + exp ( )
1
=
100
ln ( )
0.35
0.6 0
where
= relative density
= atmospheric pressure
22
4 Cone Penetration Test (CPT) Based Calculations
The Magnitude Scaling Factor, MSF, and Stress Reduction Factor, R d, equations are the same for
CPT as SPT. These equations can be found in sections 3.7 and 3.2, respectively.
The following methods are available in Settle3D for determining triggering of liquefaction.
=[ ] [( ) ]
2
=[ ] 100%
= 1.0
= 0.5
= 1.0
The recommended procedure for calculating the soil behaviour type index can be iterative. The
following procedure is outlined in the NCEER summary report (Robertson and Wride, 1997).
1) Assume n = 1.0 and calculate Q using the following equation and calculate Ic with the
equation above.
1.0
=[ ) [( ) ] = [
]
23
2) If Ic > 2.6, the soil is clayey and not susceptible to liquefaction.
5) If Ic > 2.6, the soil is probably silty. Calculate qc1N using the equations below using n = 0.7
in the equation for CQ. Calculate Ic using the qc1N value.
1 = ( )
2
= ( ) 1.7
= 1.0 1.64
1 = 1
1
7.5 = 0.833 [ ] + 0.05 1 < 50
1000
1 3
7.5 = 93 [ ] + 0.08 50 1 < 160
1000
Figure 9: Normalized CPT soil behaviour type chart, proposed by Robertson (1990)
OCR = overconsolidation ratio, = friction angle
24
The soil types from the chart above are listed below:
=( )( )
2
=[ ] 100
=
=
(
= 100)
2 = (= 0.1 )
2) If Ic2.6, the exponent for calculating Q changes to n=0.5, and Ic is calculated using qc1N and
F.
3) If Ic<2.6, the point can be plotted on the Robertson chart (shown below) using qc1N with
n=0.5.
4) If Ic iterates around 2.6 depending on n, then use n=0.75 to calculate qc1N as follows.
1
1 = ( ) = = ( )
2 2
25
< 1.26 (%) = 0
= 0 5%
= 0.0267( 5) 5 < < 35%
= 0.8 35%
1 =
1 1
1 = 1 + 1
1
7.5 = 0.833 [ ] + 0.05 1 < 50
1000
1 3
7.5 = 93 [ ] + 0.08 50 1 < 160
1000
= exp(() + ())
() = 1.012 1.126 sin ( + 5.133)
11.73
() = 0.106 + 0.118 sin ( + 5.142)
11.28
=
=
= 0.65() (
)
0.264
1.3380.249(1)
= ( ) 1.7
21 1 254
26
(101 )
=
= 100
101
=
=
1 = 1 + 1
2
1 9.7 15.7
1 = (5.4 + ) exp (1.63 + ( ) )
16 + 0.01 + 0.01
1 1 2 1 3 1 4
=7.5,
=1 = exp ( +( ) ( ) +( ) 3)
540 67 80 114
= 6.9 exp ( ) 0.058 1.8
4
= 1 ln ( ) 1.0
1
= 0.3
37.3 8.27(1 )0.264
1 211
= 7.5
= 1.859(1.1 )3 0
= 0 2
27
1
= min ( , 0.035(2 ) ( )) < < 2
1 =
0
1 1 2 1 3
= exp ( ( ) +( ) 4.42)
24.5 61.7 106
1 1 2 1 3 1
= exp ( ( ) + ( ) 4.42) (1 + exp ( 9.82))
24.5 61.7 106 11.1
1 = 1 + 1
Probability of liquefaction according to this method is also calculated by the following correlation;
1.045
1 + 1 (0.110) + (0.001) + (1 + 0.850) 7.177 ln() 0.848 ln( ) 0.002 ln( ) 20.923
= { }
1.632
28
where
= normalized exponent
The deterministic analysis is done for a probability of liquefaction of 50% and a factor of safety of 1.
A revised estimate of the normalization exponent is found using the normalized tip resistance,
shown in the figure below.
Figure 10: Proposed CPT normalization exponent curves from Moss et al. (2006), labeled by
normalization exponent, c, values
29
5 Velocity (Vs) Measurement Based Calculations
The Magnitude Scaling Factor, MSF, and Stress Reduction Factor, R d, equations are the same for
CPT as SPT. These equations can be found in sections 3.7 and 3.2, respectively.
Two methods are available for calculating triggering of liquefaction from velocity data.
NCEER (1997)
0.25
1 = ( )
0
1 2
= ( ) + /(1 1 ) /1
100
where Vs1c is the limiting upper value of Vs1 for liquefaction occurrence, and
Figure 11: Proposed cyclic stress ratio curves for different fines content (FC)
(Andrus and Stokoe 2000)
30
Juang et al. (2001) (Probabilistic)
1, = 1
= 1 5%
= 1 + 30 35%
where
ln [ ] = 14.8967 0.06111, + 2.6418ln(7.5 )
1
Figure 12: Vs-based probability cyclic stress ratio curves logistic regression (Juang et al. 2002)
31
6 Post-Liquefaction Lateral Displacement
The LDI is basically the lateral spreading that occurs due to liquefaction. It is calculated by
integrating the maximum shear strains over depth.
=
0
3
(1 )60
= 1.859 (1.1 ) 0
46
The spreadsheet example in Idriss and Boulanger (2008) also imposes the following limit.
3
(1 )60
: 1.859 (1.1 ) 0.5
46
The limiting shear strain can also be calculated from the relative density, with the same limits as
above.
= 1.859(1.1 )3
Using the limiting shear strain, , and the factor of safety, the maximum shear strain can be
calculated.
= 0 2
=
1
= min ( , 0.035(2 ) ( )) < < 2
32
Wu et al. (2003)
Figure 13: Relationship between maximum cyclic shear strain and factor of safety for different
relative densities, Dr, for clean sands
[based on data from Ishihara and Yoshimine (1992) and Seed (1979)]
33
Shamoto et al. (1998)
Figure 14: Relationship between normalized SPT N-value, dynamic shear stress ratio and residual
shear strain potential for clean sands
Figure 15: Relationship between normalized SPT N-value, dynamic shear stress ratio and residual
shear strain potential for FC=10%
34
Figure 16: Relationship between normalized SPT-N value, dynamic shear stress ratio, and residual
shear strain potential for FC=20%
Wu et al. (2003)
Figure 17: Estimation of cyclically induced deviatoric strains (Wu et al. 2003)
35
Cetin et al. (2009)
where ,20,1,1 are CSR values, corresponding to one-dimensional, 20 uniform loading cycles,
under a confining pressure of 100 kPa = 1 atm.
,20,1,1 = ,20
1
= ( ) , = 1 0.005
= 1
where
The recommended maximum double amplitude shear strain boundary curves are also shown in the
figure below.
36
Figure 14: Recommended maximum double amplitude shear strain boundary curves
37
7 Post-Liquefaction Settlement
The liquefaction settlement calculations in Settle3D are completely separate from the settlements
from the stress calculations. They are not superimposed in any way.
Vertical displacements from liquefaction occur due to settlement from reconsolidation as well as
shear deformation from lateral spreading.
The liquefaction settlement calculated in Settle3D is caused by the reconsolidation of the liquefied
soil. Reconsolidation strains are calculated, based on the maximum shear strains that developed
during the cyclic loading.
1 =
0
The following formulations (largely graphical methods) for are provided in Settle3D:
Wu et al. (2003)
38
Tokimatsu and Seed (1987)
Figure 16: volumetric strain assessment chart (adapted from Tokimatsu and Seed 1984)
Figure 17: Relationship between normalized SPT-N value, dynamic shear stress ratio and residual
volumetric strain potential for clean sands
39
Figure 18: Relationship between normalized SPT-N value, dynamic shear stress ratio, and residual
volumetric strain potential for FC=10%
Figure 19: Relationship between normalized SPT N-value, dynamic shear stress ratio, and residual
volumetric strain potential for FC=20%
40
Wu et al. (2003)
Figure 20: Cyclically induced volumetric strains (adapted from Wu and Seed 2004)
Figure 21: Post-cyclic volumetric strain boundary curves (Cetin et al. 2009)
41
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F., Martin, G. R., Mtchell, J. K., Moriwaki, Y., Power, M. S., Robertson, P. K., Seed, R. B., and Stokoe
II, K. H. (2001). Liquefaction resistance of soils: Summary report from the 1966 NCEER and 1998
NCEER/NSF workshops on evaluation of liquefaction resistance of soils J. Geotechnical and
Geoenvironmental Eng., 124(10), 817-833.
Youd, T. L., Noble, S. K. (1997), "Liquefaction Criteria Based on Statistical and Probabilistic
Analyses", Proceedings of the NCEER Workshop on Evaluation of Liquefaction Resistance of
Soils, December 31, 1997, pp. 201-205.
44
Table of Symbols
PL probability of liquefaction
Sr residual shear strength
F factor for calculating maximum shear strain
lim limiting shear strain
CRR M=7.5,=1 cyclic resistance ratio for magnitude M=7.5 and overburden stress=100kPa
CRR cyclic resistance ratio, corrected for magnitude and overburden
FS factor of safety
max maximum shear strain
LDI lateral displacement index
v vertical reconsolidation strain
S vertical reconsolidation settlement
Vs,12m Site shear wave velocity over the top 12 m
Mw Earthquake magnitude
z Soil depth
g Gravitational acceleration
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rd Stress reduction factor
46