Load Transfer Mechanisms between Underground Structure

and Surrounding Ground: Evaluation

of the Failure of the Daikai Station
H. Huo1; A. Bobet2; G. Fernández3; and J. Ramírez4
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Abstract: The Daikai Station, a cut and cover structure in the subway system in Kobe, collapsed during the Hyogoken-Nambu
earthquake of January 17, 1995 in Japan. The Daikai Station is the first well-documented underground structure not crossing an active
fault that has completely collapsed during an earthquake without liquefaction of the surrounding soil. What makes this case even more
interesting is that tunnel sections adjacent to the station, with similar structural characteristics and analogous soil conditions, did not
collapse. Dynamic numerical analyses have been conducted to investigate the load transfer mechanisms between the underground
structure and the surrounding soil and to identify the causes for different behavior of similar sections of the station subjected to the same
seismic loading. A hysteretic nonlinear soil model has been used for the analysis. The model captures well the soil’s shear modulus
degradation and the increase of damping with strain. The results from the analyses show that, for a given earthquake, there are two key
factors that determine the response of an underground structure: the relative stiffness between the structure and the degraded surrounding
ground, and the frictional characteristics of the interface. A stiff structure has small deformations; because the adjacent soil movement is
restricted by the structure, the shear modulus degradation of the soil is limited which contributes to reduce further deformation of the soil
and thus decreases the displacement demand on the structure. A strong interface is capable of transmitting larger shear to the structure but
in turn increases the confinement of the soil surrounding the structure which limits the soil’s shear modulus degradation. The model
predicts larger deformations in the section that collapsed because this section had a smaller stiffness, and thus triggered drifts in critical
structural elements which were larger than at other sections of the station which remained stable.
DOI: 10.1061/共ASCE兲1090-0241共2005兲131:12共1522兲
CE Database subject headings: Soil–structure interaction; Underground structures; Seismic design; Stiffness; Shear modulus;
Degradation; Load transfer; Japan; Earthquakes.

Introduction
Before recent earthquakes in Japan, 1995, Turkey and Taiwan,
1999, the general perception of structural and geotechnical engi-
neers was that underground structures presented minimal seismic
risk unless they were either intersected by active faults where slip
could occur or liquefaction of the surrounding ground could be
triggered. Even current design specifications in the USA
共AASHTO LRFD 1998, Interim 2001兲 for highway structures do
not consider the seismic design in the transverse direction unless
the structure crosses an active fault. The argument that has been
1 ber 1999 Turkey earthquake contributed to the failure of the Bolu
School of Civil Engineering, Purdue Univ., West Lafayette, IN
47907.
2
School of Civil Engineering, Purdue Univ., West Lafayette, IN
47907.
3
Dept. of Civil and Environmental Engineering, Univ. of Illinois,
Urbana, IL 61801.
4
School of Civil Engineering, Purdue Univ., West Lafayette, IN
47907.
Note. Discussion open until May 1, 2006. Separate discussions must
be submitted for individual papers. To extend the closing date by one
month, a written request must be filed with the ASCE Managing Editor.
The manuscript for this paper was submitted for review and possible
publication on May 11, 2004; approved on April 18, 2005. This paper is
part of the Journal of Geotechnical and Geoenvironmental Engineer-
ing, Vol. 131, No. 12, December 1, 2005. ©ASCE, ISSN 1090-0241/
2005/12-1522–1533/$25.00.
used is that during the earthquake the underground structure fol-
lows the deformation of the surrounding ground, and because the
structure is confined no damaging stresses are produced in the
structure. This perception changed after the severe damage and
even collapse of a number of underground structures that oc-
curred during recent earthquakes. The Hyogoken-Nambu earth-
quake of January 17, 1995 in Japan caused the failure of the
Daikai Station, a cut and cover structure in the subway system in
Kobe. The earthquake also produced severe damage to the Ko-
saku Nagata and Sannomiya stations in the same line and to an
underground shopping mall near the Shinkaichi Station, as well as
to the Shinkansen 共the Japanese bullet train兲 tunnels. The Novem-
highway tunnel that was under construction, and the Chi-chi
earthquake in Taiwan in September 1999 caused severe damage
to underground gas and water pipelines. During the 1994
Northridge earthquake, extensive lateral crushing occurred in the
corrugated metal pipe used for the outlet of the reconstructed San
Fernando Dam 共Bardet and Davis 1995兲 which was apparently
caused by seismic induced large pore pressures in the soil around
the pipe.
Dowding and Rozen 共1978兲 studied the response of 71 tunnels
to earthquake motions. Different levels of damage ranging from
cracking to closure were recorded in 42 of the observations.
Sharma and Judd 共1991兲 compiled a database on the response of
192 tunnels during 85 earthquakes throughout the world; 94 of
the tunnels suffered from small to heavy damage. More than half

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Fig. 1. Longitudinal damage patterns to the Daikai Station 关adapted from Iida et al. 共1996兲兴
the damage reported was caused by events that exceeded magni-
tude 7 in the Richter scale, and nearly 75% of the damage re-
ported occurred within 50 km of the earthquake epicenter. The
data analyzed was conclusive in that there was no damage in
tunnels with horizontal peak ground accelerations 共PGA兲 up to
0.19g. In most of the cases where damage was reported the peak
ground accelerations were larger than 0.4g. Total collapse of the
structure was more likely at PGA of 0.5g – 0.55g. The data shows
that shallow tunnels are at greater risk during an earthquake than
deeper tunnels; roughly 60% of the total cases with overburden
depths less than 50 m suffered some damage. Cut and cover
structures are more vulnerable during earthquakes than deeper
circular tunnels. The type of ground is also a factor; 79% of the
openings excavated in soils were reported to have suffered some
damage while excavations in rock were much less likely to suffer
damage.
The apparent discrepancy between the general perception of
safety and the observed damage is rooted in the incomplete un-
derstanding of the load transfer mechanisms between the ground
and the structure as well as the effects of seismically induced
distortions on the structure’s behavior. The final support system of
underground facilities in seismic zones must be designed to sup-
port static overburden loads as well as to accommodate the addi-
tional deformations imposed by the earthquake-induced motions.
There are two basic approaches in present seismic design of un-
derground structures. One approach is to carry out dynamic, non-
linear soil–structure interaction analysis using finite element
methods. The input motions in these analyses are time histories
emulating design response spectra, and the input motions are ap-
plied to the boundaries of a “soil island” to represent vertically
propagating shear waves. The second approach assumes that the
seismic ground motions induce a pseudostatic loading condition
on the structure. This approach allows the development of ana-
lytical relationships to evaluate the magnitude of seismically in-
duced strains in underground structures 共Merritt et al. 1985; Pen-
zien and Wu 1998; Penzien 2000; Hashash et al. 2001兲. These
relationships are based on the premise that underground structures
under seismic loading will tend to deform with the surrounding
ground, and thus the structure is designed to accommodate the
free-field deformations without loss of its structural integrity. The
newly rebuilt Daikai Station in Kobe was designed with this
criterion.
The failure of the Daikai Station is relevant because it is the
first well-documented underground structure not crossing an ac-
tive fault that has completely collapsed during an earthquake
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without liquefaction of the surrounding soil. It is also significant
because geometrically different but adjacent sections of the sta-
tion behaved differently. The central section collapsed while two
adjacent sections suffered only light damage. Under the current
design practice the anticipated seismic-induced deformations and
structural behavior of the undamaged sections of the station
would have been similar to those expected in the collapsed
section.
The objective of the paper is not to replicate the station’s col-
lapse process, or to backcalculate the failure of the structure; there
is excellent work done by others on this problem 共Shawky and
Maekawa 1996兲 which shows that the central freestanding col-
umns were grossly underdesigned for earthquake loading. The
focus of the paper is on the assessment of ground behavior, the
identification and analysis of the load-transfer mechanisms be-
tween the structure and the surrounding soil, and on the causes
and mechanisms of the failure. It is particularly important to de-
termine why the central section of the station failed while two
adjacent sections did not.
Daikai Station
The Kobe earthquake, also known as the Hyogoken-Nanbu earth-
quake or the Great Hanshin earthquake, occurred at 5:46 a.m. on
Tuesday, January 17, 1995, local time. The earthquake struck the
region of Kobe and Osaka in southwestern Japan, which is Ja-
pan’s second-most populated and industrialized area after Tokyo.
A moment magnitude 共MW兲 of 6.9 was assigned to the main
shock of the earthquake.
The Daikai subway station was built between 1962 and 1964
by cut-and-cover and belongs to the privately owned Kobe Rapid
Transit System. The station is located about 15 km from the epi-
center of the earthquake. During the earthquake more than 30
columns of the central section of the station completely collapsed
over a total length of about 110 m, which caused the failure of the
overlying concrete roof slab and resulted in a 2.5 m subsidence
on the national road No. 28 running above the subway.
The Daikai Station can be divided into three sections 共see
Fig. 1兲: 共1兲 the main section of the station that collapsed; 共2兲 the
subway tunnels section, where no severe damage occurred; and
共3兲 the access station section that had two underground levels,
where no severe damage occurred. The cross sections of each of
the three structures are shown in Fig. 2. The collapsed Section 1,

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Fig. 2. Cross sections of the Daikai Station, dimensions in mm
Fig. 2共a兲, consisted of a rectangular reinforced concrete box struc-
ture with dimensions 17 m wide and 7.17 m high, with central
columns spaced 3.5 m between axis in the longitudinal direction.
The columns were about 5 m high and had a rectangular
reinforced-concrete cross section of 0.4 m by 1.0 m. The top of
the concrete roof in Section 1 was located about 4.8 m below the
ground surface. The running tunnel section, Fig. 2共b兲, consisted of
a smaller rectangular reinforced concrete box structure 6.36 m
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high by 9.0 m wide; it also had a series of central columns with
reinforced-concrete cross section 0.4 m by 0.6 m with axial spac-
ing of 2.5 m. Finally Section 3, which corresponds to the access
station structure with two underground levels, Fig. 2共c兲, consisted
of a concrete structure 10.12 m high and 26.0 m wide, with cen-
tral columns identical to those of Section 1. Corrugated round
steel bars were used as reinforcement for the three sections. Bars
with diameters ranging from 16 to 25 mm were used in the walls
and slabs. The column in Section 1 had 30 bars of 32 mm diam-
eter as axial reinforcement and ties with 9 mm diameter spaced at
350 mm as transverse reinforcement; the column in Section 2 had
14 longitudinal bars of 19 mm diameter and 9 mm diameter ties
spaced at 200 mm. For the three sections, the design strength of
the concrete was 23.52 MPa for the central columns and
20.58 MPa for other structural components, although compres-
sion tests on column’s concrete specimens yielded larger strength
values of about 39.7 MPa for the central columns. The design
yield stress of the reinforcing steel was 235.2 MPa 共Iida et al.
1996; Chuto Industrial, Inc. 1997兲.
The site of the Daikai Station is essentially composed of soft
Holocene alluvial deposits and dense Pleistocene gravel, overlain
by man-made fill 共Fig. 3兲. The fill reaches a depth of about 2 m,
the Holocene deposits about 5 – 7 m, and Pleistocene sand, clay,
and gravel extend all the way down to the bedrock, which is
found several kilometers below the surface 共Huo et al. 2004兲. Two
boreholes were made to investigate the soil conditions at the site
in 1959, prior to the construction of the station, and a more de-
tailed site exploration was performed in February 1995 after the
earthquake 共Iida et al. 1996兲. Five boreholes were drilled close to
the Daikai Station with depths ranging from 12 to 30 m. The
boreholes showed that the soils consisted of a fill 1 to 2 m thick
underlain by a Holocene clay 1 – 1.5 m thick. Underneath the clay
layer lies Holocene sand of varying thickness ranging from
1 to 7.5 m on the western part of the Daikai Station, 2.5 to 5 m at
the central part of the station, and 3 to 8.5 m on the eastern part.
Layers of Pleistocene sand and clay of varying thickness were
also encountered between depths of 5 and 17.5 m; a Pleistocene
gravel at least several meters thick was found below the sand and
clay layers. The standard penetration test 共SPT兲 N values for the
submerged deposits are generally in the 20 blows/ ft range, al-
though localized layers exhibited N values as low as 10 blows/ ft
while the lower Pleistocene soil deposits, in particular at the cen-
ter of the station, showed larger values of about 50 blows/ ft or
more at depths below 15– 17 m. The station had a drainage sys-
tem at the bottom slab. The ground water table was located at a
depth of 6 – 8 m below the ground surface, which was 3 – 5 m
lower than in 1959, prior to the construction of the station.
Numerical Model
A number of investigations have been carried out to evaluate the
behavior of the Daikai Station under the seismically induced load-
ing, particularly by Japanese researchers 共Iida et al. 1996; Shawky
and Maekawa 1996兲. Preliminary analysis indicated that the de-
sign of the central column of the Daikai Station was grossly in-
adequate to resist the lateral deformations imposed by the earth-
quake. Shawky and Maekawa 共1996兲 suggested that the central
reinforced concrete column failed in shear due to the lateral dis-
placements imposed by the earthquake-induced ground motions,
while Iida et al. 共1996兲 indicated that the inertial force of the
overburdened soil above the structure could be the primary cause
of failure. While it is important to identify the mechanisms of
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Fig. 3. Geotechnical exploration of 1995 关adapted from Iida et al. 共1996兲兴

failure of the station, the problem cannot be fully understood
without an in-depth analysis of the load transfer mechanisms be-
tween the structure and the surrounding ground and a comparison
of the behavior of the different sections of the station that resulted
in such dramatically different responses during the earthquake.
A detailed numerical model of the structure and the surround-
ing soil was developed with the finite element method 共FEM兲
software package ABAQUS 共2002兲. This software was chosen for
several reasons: 共1兲 the code has been extensively verified for
static and dynamic analyses of underground structures; 共2兲 it al-
lows the introduction of special 共frictional兲 elements between the
ground and the structure; 共3兲 it allows user-defined material mod-
els; and 共4兲 there is extensive experience with the code in the
geotechnical and structural fields. It was assumed that the re-
sponse of the structure and the soil could be approximated with a
two-dimensional plane strain discretization of the station with
representative cross sections perpendicular to the axis of the sta-
tion. Localized three-dimensional 共3D兲 effects such as load trans-
fer and/or damage at the connections between sections will not be
captured by the model. The limits of the discretization were
placed far enough from the structure such that they did not influ-
ence the response of the structure. A free boundary condition was
imposed at the lateral boundaries. The adequacy of the type of
boundaries and mesh size was verified by running a number of
preliminary numerical tests where the lateral and bottom bound-
aries of the discretization were placed at different distances from
the station; it was decided that the size of the discretization was
acceptable when free-field conditions were recovered in the area
between the structure and the mesh boundaries.
The ground motions imposed at the bottom of the model for
the numerical analyses are the motions registered at the Port Is-
land strong motion station. This station is representative of the
ground motions at the Daikai Station because it is located about
3 km to the east of the station and is the closest to the Daikai
Station, and because the soil conditions at the Port Island are very
similar to those at the Daikai Station. Both sites are essentially
composed of diluvial deposits 共Pleistocene clay, sand, and
gravel兲, overlain by alluvial deposits 共Holocene clay and sand兲.
The Pleistocene gravel extends all the way downward to the bed-
rock, which is located at a depth of about 1.7– 2 km at both sites.

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Fig. 4. Input accelerations
The strong ground motions at Port Island were obtained at four
different depths: 83, 32, 16, and 0 m below the ground surface.
Both horizontal 共north-south and east-west兲 and vertical accelera-
tion time histories were recorded. The ground motion at 83 m
depth was used as the input for the numerical analysis because the
Pleistocene gravel layer present at this depth is similar to the
gravel layer found at the Daikai site. The similarity of the soils at
both sites is expected since after all the geologic origin and depo-
sition process of the soils at the two locations is analogous. At the
83 m depth, the recorded maximum horizontal and vertical accel-
erations were about 0.58g and 0.16g, respectively 共Fig. 4兲.
A critical issue in the analysis is to use an appropriate material
model for the soil surrounding the structure, which is representa-
tive of the soil behavior and is simple enough to allow the solu-
tion in the time domain of highly complex, nonlinear problems.
Most soils exhibit a pronounced nonlinear behavior under signifi-
cant shear loading with their shear stiffness decreasing rapidly
with increasing shear strain. With load reversal, the soil experi-
ences hysteretic behavior with the percentage of the material
damping 共i.e., the size of the stress-strain loop兲 being largely in-
dependent of frequency. A material model was developed and
incorporated in ABAQUS which accounts for the nonlinear hys-
teretic behavior of the soil 共Huo et al. 2004兲. The model is based
on what is known as the Extended Masing’s Rules 共Masing 1926;
Duncan and Chang 1970; Pyke 1979; Assimaki et al. 2000兲. De-
tails of the model can be found elsewhere 共Huo et al. 2004兲, but in
essence, the tangent shear modulus is given by
Gt+⌬t =
⳵␶t+⌬t
oct
t+⌬t = Gmax
⳵␥oct
冋 1
关1 + 兩␥oct − ␥oct,c兩/共n␥oct,y兲兴2
t+⌬t 册 共1兲
where the indices “t” and “t + ⌬t” represent values at the end of
the previous increment and at the end of the current increment,
respectively; Gt+⌬t = tangent shear modulus; Gmax = maximum
shear modulus; ␶oct and ␥oct = ground octahedral shear stress and
shear strain, respectively; ␶oct,y and ␥oct,y = reference octahedral
shear stress and strain, with ␶oct,y being the ground octahedral
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shear strength and ␥oct,y = ␶oct,y / Gmax; ␥oct,c = value of the octahe-
dral shear strain at the last load reversal; and n = scale factor,
which is 1 for initial loading and 2 for unloading and reloading.
The results obtained using the model are consistent with exist-
ing experimental data 共Seed et al. 1986; Vucetic and Dobry
1991兲, as shown in Fig. 5. The degradation of shear modulus with
strain and the hysteretic behavior and damping are critical char-
acteristics of the behavior of soil during cyclic loading, which
influence the soil–structure interaction. The model captures this
behavior and predicts values of shear modulus degradation and
damping increase with strain.
The soil properties input into the model are obtained from
shear wave velocity and SPT measurements at the site 共Shawky
and Maekawa 1996兲, and are as follows: Gmax = 80 MPa at the
surface, increasing with depth to 200 MPa, at 58 m below the
surface, which corresponds to the limit of the discretization of the
model with the mesh. The Poisson’s ratio is taken as 0.35, and the
total unit weight of the soil as 19.6 kN/ m3 共Shawky and
Maekawa 1996兲. The ground conditions at the site are such that
the deep ground motions were amplified towards the surface. An
estimate from our model predicts an amplification of about 17%
compared with an amplification of about 20% predicted by
SHAKE 共Schnabel et al. 1972兲 for the same input parameters.
The structure, with the central columns, is assumed to exhibit
an elastic behavior throughout the entire analysis. No hysteretic
or elastoplastic behavior was assigned to the structure. The con-
crete in the structure is modeled as an elastic material, with unit
weight 25 kN/ m3, Poisson’s ratio 0.15 and Young’s modulus
24 GPa for the frame, and 7 GPa for the column 共Chuto Industrial
Inc. 1997兲. The Young’s modulus of the central column of the
station is obtained by performing a 3D FEM analysis of the struc-
ture with the actual dimensions and spacing of the central col-
umns, and matching the stiffness of the 3D structure with a 2D
structure where the column is assumed as a continuous wall;
hence the actual spacing of the column is taken into consideration
with the reduced stiffness 共note that 7 GPa is approximately the
ratio of 24 GPa, the stiffness of the frame, divided by 3.5 m,
which is the spacing of the columns兲.
The interface between the structure and the ground is modeled
as a frictional surface. The contact can open if there is a tensile
normal stress or it can slip if the magnitude of the applied shear
Fig. 5. Comparison between numerical model predictions and
experiment data
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Fig. 6. Center column distortion, Section 1
stress is larger than the shear strength, which is assumed to follow
the Coulomb friction law. A coefficient of friction, ␮, equal to 0.4
is assumed which corresponds to a friction angle of 22°; no co-
hesion between structure and ground is included.
Numerical Model Results
The key parameter used to evaluate the response of the various
structures is the deformation of the central column at each of the
three sections 共Fig. 1兲. The time history of the central column
distortion, given by the relative horizontal displacement between
top and bottom of the column, in Section 1 is shown in the two
plots of Fig. 6. The first plot was obtained with horizontal ground
accelerations only and the other one with both vertical and hori-
zontal ground accelerations. There are some phase differences
between the two time histories, but the maximum magnitude of
the seismically induced column displacement is essentially the
same, and equal to about 4 cm, which corresponds approximately
to a 0.8% column drift. In both cases maximum distortions occur
early during the earthquake and coincide with the occurrence of
the largest accelerations. About 4 to 5 s after the start of the
earthquake the column distortions significantly decrease in mag-
nitude, and after 10 s the oscillations are small. Note that because
of the collapse of the station the results shown after the peak are
only theoretical. However, as shown in Fig. 6, at the end of the
earthquake the column exhibits a permanent displacement, which
is caused by plastic soil deformations that accumulate during the
earthquake loading cycles. The ground deformations are transmit-
ted to the structure through the interface and cause permanent
deformations and loads 共as it will be discussed later兲 to the
structure.
The axial load of the center column of Section 1 during the
earthquake loading is shown in the plot of Fig. 7. Solutions were
obtained for both horizontal ground accelerations only and simul-
taneous horizontal and vertical ground accelerations. Prior to the
earthquake, the column had an axial load of about 3,700 kN re-
sulting from static equilibrium; during the earthquake the maxi-
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Fig. 7. Axial load in center column, Section 1
mum axial load predicted is 4,200 kN with horizontal accelera-
tions only and 4,900 kN with both vertical and horizontal
accelerations. The increase from static to dynamic column load-
ing is caused by the distortion of the structure due to shaking and
by the vertical accelerations and inertial forces of the soil around
the structure, in particular of the soil above the structure. The
increase of about 16% in the axial load when vertical accelera-
tions are included compares well with the maximum vertical
ground acceleration of 0.16g. The estimated axial column load at
the end of the ground motions, assuming an elastic structural
behavior and no failure, is about 3,100 kN when only horizontal
ground accelerations are considered and about 3,300 kN when
both vertical and horizontal ground accelerations are included.
Thus in properly designed structures there is a net unload of the
central column throughout the earthquake motions, which indi-
cates arching of the soil above and around the structure. The
arching phenomenon is confirmed by the increase in the axial
load on the lateral walls during the earthquake, as shown in the
plots of Fig. 8 for both horizontal ground accelerations only and
simultaneous vertical and horizontal ground accelerations. The
more compliant center of the station can deform more than the
stiffer side walls which allows for larger deformations of the soils
immediately on top of the roof, where the soil yields and thus the
capacity to take shear is reduced. As a result there is unloading at
the center of the roof span and loading at the lateral walls.
Similar displacement and load trends are found at the other
two sections: Section 2, running tunnels, and Section 3, access to
the station. The time history deformations of the central column
of the three sections of the Daikai Station are shown in Fig. 9. In
all sections the largest deformations occur early during the earth-
quake; also permanent column distortions are estimated at the end
of shaking. However, the estimated maximum magnitude of the
column distortion is different for the three sections: Section 1 has
the largest maximum column distortion, about 4 cm 共0.8% drift兲,
and is followed by Section 2 with a 3 cm column distortion 共0.5%
drift兲, and Section 3 with a 2.2 cm column distortion 共0.4% drift兲.
Structural analyses 共Parra et al., unpublished兲 indicate the cen-
tral column of the collapsed Section 1 to behave as a brittle mem-
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Fig. 8. Axial load in lateral wall, Section 1

ber under shear demand. Flexural yielding was estimated at a drift

ratio of about 0.5–0.7% and a peak shear demand of about
2.2 MPa was calculated at a slightly larger drift ratio. The large
axial load on the column 共i.e., 0.4f ⬘c 兲 combined with the inad-
equate transverse reinforcement results in a sharp reduction of the
column’s capacity to accommodate the shear demand under post-
peak drift ratios. Thus a shear failure occurred in the column
under the seismic-induced drift ratio.
The columns in Section 2, with a smaller axial load, present a
more ductile behavior. Flexural yielding was estimated also at a
drift ratio of about 0.5–0.7%. However, the lighter axial rein-
forcement results in a lower peak shear demand of about 1 MPa,
which the column section with the enhanced transverse reinforce-
ment can accommodate without failure. Furthermore, because of
the relatively light axial load the column can withstand the shear
demand under larger postpeak drift ratios in excess of 1.5%. This
ductility allowed the column to accommodate the seismic-induced
drift ratio without failure, with only limited cracking. Light dam-
age with no collapse was reported in 210 columns over a 335 m
long stretch within the running tunnels between the Kasaku Na-
gata and Daikai stations 共Iida et al. 1996兲.
The comparison of the seismically induced column distortions
predicted by the model with the allowable column distortions
obtained from the structural analyses allows an accurate assess-
ment of the structural behavior observed in the field. The corre-
spondence between the estimated and the observed column per-
formance in the adjacent sections of the Daikai Station brings
confidence in the ground material simulation, the discretization
approach, and the modeling chosen in this analysis.
The axial load in the central columns of all three sections
shows a similar response to earthquake loading as shown by Huo
et al. 共2004兲, which includes details on the axial, shear, and mo-
ment column loads on the three adjacent sections.
The fundamental reason for the different behavior of the sec-
tions of the Daikai Station is the interplay that exists between the
deformations of each structure and the surrounding soil as well as
the axial load in the columns. The smaller, stiffer Section 2, run-
ning tunnels between stations, experiences a relatively small seis-
mically induced displacement, which generates limited distortions
in the central columns. The limited axial load in the central col-
Fig. 9. Column distortion in Sections 1, 2, and 3 with horizontal and
vertical accelerations
umns of this section results in a relatively ductile column behav-
ior, which allows a significant column distortion to take place
with some damage but no catastrophic collapse. On the other
hand, the wider, more flexible Section 1 at the Daikai Station,
undergoes a larger seismically induced displacement and more
pronounced column distortions. In addition, the relatively high
axial load induced by the larger span of this section results in a
relatively brittle column behavior with catastrophic collapse at
relatively modest column distortions. The structural analysis of
the axially loaded columns subjected to shear reversals have been
previously evaluated by others 共Pujol et al. 2000兲.
A discussion of the mechanisms of ground–structure interac-
tion under seismic loading and their impact on the magnitude of
the distortions experienced by the various structural elements is
presented below.
Assessment of Ground–Structure Interaction
under Seismic Loading
Away from the station the ground moves freely under the input
motions generated by the earthquake. Because of the considerable
magnitude of the transient input, large soil strains with associated
large degradation of the shear modulus develop within the ground
materials resulting in significant soil deformations. Close to the
structure, however, the soil movements are affected by the pres-
ence of the structure. Stiff structures reduce the free-field defor-

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Fig. 10. Contour plot of shear modulus degradation 共G / Gmax兲 at Fig. 11. Contour plot of shear modulus degradation 共G / Gmax兲 at
maximum distortion 共␮ = 0.4兲 with horizontal and vertical ground maximum distortion 共␮ = 0.4兲 with horizontal and vertical ground
accelerations, Section 1 共labels in axes are distance in meters兲 accelerations, Section 2 共labels in axes are distance in meters兲

mations of the surrounding soil and, as a consequence, the deg- rounding ground. It is important to mention that the stiffness of
radation of the soil shear modulus is limited. On the other hand in the structure includes the resistance of the structure to deform
the vicinity of flexible structures the surrounding ground can ex- both in compression and in shear. Structures with large compres-
perience strains larger than the free field and the shear modulus of sional stiffness are capable of significant load transfer at the soil–
the soil will substantially degrade favoring larger deformations structure interface.
around the opening. This phenomenon is illustrated in Fig. 10 The structure’s response during shaking is also significantly
where contours of shear modulus degradation 共G / Gmax兲 in the influenced by the nature of the ground–structure interface. Fric-
ground surrounding Section 1 are shown at peak column distor- tion along the interface governs the nature of the loads and/or
tion 共at about 4 s兲. Only the left half of the soil–structure is shown displacements transferred from the ground to the structure. Dur-
because of symmetry. The shear modulus degradation of the soil ing shaking the structure deforms not only due to the normal
shown in Fig. 10 is controlled by the presence of the structure. A stresses but also due to the shear stresses induced at the interface.
small shear modulus degradation 共effective modulus about 80–
90% of the maximum shear modulus兲 develops in an area of soil
near the structure within a distance of about the height of the
opening. Beyond this area the shear modulus degradation in-
creases rapidly until it reaches the far field response 共effective
modulus about 30–40% of maximum shear modulus兲. This is an
interesting observation because it indicates that there is an “at-
tached” soil mass which displaces concurrently with the structure
and which has an influence on the structure’s dynamic response.
A similar relation between the geometry of the structure and the
size of the attached soil mass was found for Sections 2 and 3 of
the Daikai Station. Contours of soil shear modulus degradation at
maximum distortion of the central column for Sections 2 and 3
are shown in Figs. 11 and 12, respectively. Inspection of these
two figures and Fig. 10 highlights the relationship between the
size of the attached soil mass and the dimensions of the structure.
The relatively low degradation of the shear modulus of the soil
layers around the stations indicates that the three stations ana-
lyzed are stiffer than the excavated materials. However, the sec-
tion of the Daikai Station that collapsed 共Section 1兲 had a relative
stiffness with respect to the surrounding ground smaller than the
relative stiffness of the adjacent tunnels’ section between stations
共Section 2兲 which had a smaller excavated area and similar struc-
tural members. Hence a key factor that determines the magnitude Fig. 12. Contour plot of shear modulus degradation 共G / Gmax兲 at
of the seismically induced displacements of the structure is the maximum distortion 共␮ = 0.4兲 with horizontal and vertical ground
relative stiffness between the structure and the degraded sur- accelerations, Section 3 共labels in axes are distance in meters兲

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Fig. 13. Center column distortion for different interface friction with
horizontal and vertical ground accelerations, Section 1
For a given ground motion the soil stiffness determines the mag-
nitude of the free-field displacements that can potentially be im-
posed on the structure. The capacity of transferring such displace-
ments to the structure is determined by the relative stiffness of the
structure with respect to the surrounding soil and by the friction
developed along the interface; in other words the deformations of
the soil around the structure may not be the same as those of the
free field and are dependent on the relative stiffness between the
structure and the soil and on the interface characteristics. These
two factors are interrelated and have opposite effects. A strong
interface can effectively transfer large shear stresses and thus
could induce significant structural deformations. However, if the
structure is stiff and the interface friction remains high the dis-
placements of the surrounding soil are highly constrained, result-
ing in a limited soil degradation and limited soil deformations
around the structure. Thus even if the free field strain is large, the
development of a stiff “attached” soil mass reduces the potential
to impose large seismically induced displacements on the struc-
ture. A weaker interface on the same structure will transmit
smaller shear stresses to the structure which would tend to limit
its deformation. However, the reduced constraint on the attached
soil mass will result in larger seismically induced deformations or
perhaps in slip along the interface. As a consequence the degra-
dation of the soil shear modulus will increase generating in turn
larger deformations in the surrounding soil and high normal
stresses at the interface. Hence the potential to develop consider-
able soil displacements is increased although the capability to
transmit them in shear to the structure is small.
The interface effects are illustrated in Fig. 13, which shows a
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plot of the central column distortion of Section 1 for different
friction characteristics at the interface. Three scenarios are con-
sidered: coefficient of friction, ␮ = 0.4 共previous discussion兲; ␮
= 0 共full slip兲; and no relative displacement along the interface,
with the ground nodes tied to the structure nodes 共no slip兲. Any
other possible scenario for load transfer between the structure and
the surrounding soil should be bracketed within the range defined
by the three cases. The three plots in Fig. 13 have similar shape
and characteristics: 共1兲 maximum distortions occur at the begin-
ning of the earthquake and coincide with the time of maximum
accelerations; and 共2兲 as time progresses, if no failure occurs, the
distortions become smaller, and at the end of the earthquake the
three cases show permanent deformations. However, the column
distortions for the case of full slip 共␮ = 0兲 are almost symmetrical
with modest permanent deformations, in contrast to the other two
cases where pronounced irreversible distortions developed after
the initial period of intense shaking. This behavior reflects the
difference between the mainly normal-stress induced distortions
for the full slip conditions versus the combined normal-shear
stress induced distortion for the other two cases. The largest dis-
tortions are obtained for the frictional interface scenario, ␮ = 0.4,
and are 4 cm as discussed before, while the smallest distortions
are obtained with full slip, ␮ = 0, and are equal to 2.4 cm. The
maximum deformation of the column with no slip is 3.2 cm, be-
tween the two cases above. It might be expected that the condi-
tion of no slip would result in the largest deformations of the
structure. However, as already discussed there are two competing
factors that influence the seismically induced deformations of the
structure: the potential to impose displacements to the structure
which is determined by the relative stiffness of the structure and
the ground, and the capability to transmit such deformations
through the interface.
Analysis of the stress history at the interface during the earth-
quake shows that, as expected, the magnitude of the shear stress
between the soil and the structure increases with the coefficient of
friction; in particular for the case of full slip the shear stresses at
the interface are zero, the size of the attached soil mass is modest,
and structural deformations are due to the normal stresses applied
by the soil. However, as the coefficient of friction increases, the
soil is more constrained by the presence of the structure, the size
of the attached soil mass is larger, and the soil’s shear modulus
degradation is reduced. This phenomenon is observed in Figs. 14
and 15 which show contour plots of the shear modulus degrada-
tion at maximum column distortion for full slip 共␮ = 0兲, and for no
slip, respectively. With full slip 共Fig. 14兲, the area of influence of
the structure extends to a distance of about 4 m from the structure
in the horizontal direction, which is about half the structure
height, and about 6 m in the vertical direction. For the case with
no slip 共Fig. 15兲 the horizontal and vertical extent of the area of
influence from the structure are about 16 and 20 m, respectively,
which are about more than two times the structure height. These
values can be compared with those of Fig. 10 共9 m horizontally
and 12 m vertically兲 which corresponds to a friction coefficient of
0.4 along the interface. From this analysis it can be concluded that
the extent of the zone of influence increases with an increasing
friction coefficient of the interface.
For the particular case of Section 1 of the Daikai Station, the
maximum column displacements are obtained for ␮ = 0.4
共Fig. 13兲. This conclusion cannot be generalized to other under-
ground structures with different shape or depth since results de-
pend on the actual characteristics of each particular problem 共i.e.,
ground characteristics, earthquake motions, depth, excavated ge-
ometry, etc.兲. Part of the significant reduction of displacements

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Fig. 14. Contour plot of shear modulus degradation 共G / Gmax兲 at
maximum distortion 共␮ = 0兲 with horizontal and vertical ground
accelerations, Section 1 共labels in axes are distance in meters兲
for the full slip case is caused by the formation of gaps at the
corner areas between the soil and the structure during the earth-
quake simulation; as the soil detaches from the structure there is
no transmission of either shear or normal stresses resulting in a
large reduction of the displacement demand on the structure, and
in a significant decrease in the size of the attached soil mass. The
creation of gaps also results in a large reduction of the axial load
on the central column for the same reasons. The reduced struc-
tural displacements for the no slip condition results from the large
size of the attached soil mass which modifies the dynamic re-
sponse of the structure.
Fig. 15. Contour plot of shear modulus degradation 共G / Gmax兲 at
maximum distortion 共no slip兲 with horizontal and vertical ground
accelerations, Section 1 共labels in axes are distance in meters兲
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At the end of the earthquake, the permanent distortion of the
central column is the smallest with full slip 共less than 1 cm兲,
increases with friction 共1.2– 1.4 cm for ␮ = 0.4兲, and is the largest
with no interface 共2.2– 2.6 cm兲 共see Fig. 13兲. This behavior tends
to indicate that the frictional characteristics of the interface have a
significant influence on the cumulative response of rectangular
structures. The magnitude of the shear stress along the interface
increases with the coefficient of friction and as a consequence the
cumulative deformations of the structure are larger with larger
friction.
Thus a dominant factor controlling the magnitude of the cu-
mulative distortion at the end of the earthquake for rectangular
structures appears to be the nature of the interface, while the
response during shaking depends on both the relative value of
shear modulus degradation and the nature of the interface.
Restoration of the Daikai Station
The restoration of the Daikai Station started shortly after the
earthquake on January 25, 1995. The design of the new Daikai
Station was done based on a pseudostatic analysis, where it is
assumed that the structure experiences the free-field deformation
of the surrounding ground during an earthquake. The earthquake
record obtained at the depth of 83 m at Kobe Port Island was used
to compute the soil deformations at the location of the structure,
which resulted in 3.1 cm relative displacement between the top
and bottom slabs of the structure. These calculations apparently
did not consider the relative stiffness of the structure with respect
to the surrounding ground. The vertical ground motions were
taken into account as a vertical static inertial force. Structural
members were dimensioned based on limit state design methods
with the condition that they should have sufficient ductility; that
is the shear strength should exceed the bending strength. The
dimensions and embedded depths of the new station are identical
to those of the old one. The undamaged base slab and bottom of
the lateral walls were used as structural members for the new
station, while the collapsed central columns, ceiling slab, and lat-
eral walls were demolished and reconstructed above the original
undamaged members. The central columns of the collapsed sta-
tion were enlarged to 0.45 m by 1.35 m; 32 mm diameter steel
bars were used for axial reinforcement, and 13 mm diameter steel
bars, spaced at 600 mm, were used as hoop reinforcement. The
design yield stress of the steel was 300 MPa, and of the concrete
was 30 MPa. To further increase ductility the outside perimeter of
the columns was encased in welded steel plates. The new station
was opened to public use on January 17, 1996, just 1 year after
the earthquake. Fig. 16 shows a photograph of the new station
共Sections 1 and 3兲.
Conclusions
The current seismic design of underground structures relies
mainly on empirical evaluations and approximations that may not
incorporate all relevant variables, and may not provide an accu-
rate assessment of the factor of safety against failure. Thus earth-
quake related failures such as that of the Daikai Station are of
great interest because they show the limitations and deficiencies
of current design methods and are large-scale experiments that
can be used to assess potential modes of failure and to investigate
load and deformation transfer mechanisms between the structure
and the surrounding ground during seismic motion. The failure of

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Fig. 16. Rebuilt Sections 1 and 3 of the Daikai Station
the Daikai Station is also significant because geometrically differ-
ent adjacent sections behaved differently under seismic loading.
The central section collapsed while two adjacent sections suffered
only light damage. Under current design criteria it would have
been anticipated that the undamaged sections of the station should
have experienced similar deformations triggering also significant
damage and/or collapse.
A numerical dynamic analysis of the structure and the sur-
rounding soil was conducted using as input motions accelerations
recorded near the site. A nonlinear hysteretic soil model was de-
veloped and used to represent the deformations of the soil when
subjected to cycles of loading-unloading during the earthquake.
Results from the model indicate that the section of the Daikai
Station that failed had a relative stiffness with respect to the sur-
rounding ground smaller than the running tunnels section between
stations which did not fail. The maximum seismically induced
drift of the central column of the station predicted by the model is
4.0 cm while the maximum drift of the central column of the
tunnel’s section is less than 3.0 cm. Also, structural analyses in-
dicate that the poor transverse reinforcement and the relatively
high axial column load induced by the large span of the failed
section resulted in a brittle column behavior under the shear de-
mand generated by the seismic drift. On the other hand the mod-
est axial load on the central column in the narrower running tun-
nel section, with an enhanced transverse reinforcement, resulted
in a ductile column behavior capable of accommodating without
failure the shear demand at drift ratios in excess of those induced
by the seismic motion. Thus the fundamentally different behavior
observed in the adjacent sections of the Daikai Station resulted
from the combined effect of the difference in the seismically in-
duced column distortions plus the different degree of ductility
shown by the central columns in each section. For future design it
is important to understand that the behavior of freestanding col-
umns in underground structures under seismic loading is similar
to the behavior of columns in a frame above the ground surface
and thus their stability is sensitive to relatively small differences
in column distortions.
On the basis of these considerations, it can be concluded that
the use of seismically induced free-field deformations for struc-
tural design is only a first approximation which requires further
evaluation for sensitive structural members in underground struc-
tures. The use of the same seismically induced free-field distor-
tions for the design of the columns in all three sections of the
Daikai Station masks the larger vulnerability of the heavily axi-
ally loaded columns in Section 1, with respect to the relatively
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safer behavior of the more ductile columns in the narrower
Section 2 between stations. Most important, however, given the
limitations of current analytical methods to assess seismically in-
duced deformations with a high degree of accuracy, the prudent
design approach is to provide a large degree of ductility to sensi-
tive structural members. Further, similar to aboveground struc-
tures, it would be highly desirable to instrument underground sta-
tions in seismic areas.
Efforts towards a more precise assessment of seismically in-
duced structural deformations should take into account the key
mechanisms that determine the deformations of an underground
structure which are the relative stiffness of the structure to that of
the degraded surrounding ground and the frictional characteristics
of the structure–ground interface. Close to the structure the
ground movements are affected by the presence of the structure.
If the structure is stiffer than the surrounding ground, which is the
case at Kobe, the structure reduces the deformations of the sur-
rounding ground below free-field deformations and, as a conse-
quence, the degradation of the ground shear modulus is limited.
This fundamental relation between soil and structure can be sub-
stantially affected by the frictional characteristics of the interface.
A stronger interface will be able to transmit larger shear to the
structure but will induce more confinement to the surrounding soil
thus limiting its shear modulus degradation; in contrast a weaker
interface will be able to impose a smaller shear on the structure
but the soil would be able to slip at the interface, thus reducing its
confinement and increasing its shear modulus degradation.
Acknowledgments
The research has been supported by the National Science Foun-
dation, Structural Systems and Hazards Mitigation Program,
under Grant No. CMS-0000136. This support is gratefully
acknowledged.
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