MODIFIED NEWMARK MODEL FOR SEISMIC DISPLACEMENTS

OF COMPLIANT SLOPES

By Steven L. Kramer/ Member, ASCE, and Matthew W. Smith,z Associate Member, ASCE

ABSTR.ACT: Newmark sliding bl?ck analyses are widely used for estimation of permanent displacements of
slopes m earthquakes. The conventIOnal Newmark model, however, neglects the dynamic response of the material
above a potential failure surface. Dec~upled procedures have been developed to account for that response, but
they negle~t the effects.of per:rnanent displacements on the response. A modified Newmark analysis that considers
~he dynamic response, mcludmg the effects of permanent displacements, of the material above the failure surface
IS ~resent~d. The modified NewJ?ark analysis shows that the decoupled approach produces somewhat conser-
vative estm~ates o~ permanent .dlsplacements for stiff and/or shallow failure masses, but that it may produce
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unc~nserv~tlve estimates for failure masses that are soft and/or deep. Many slopes of large, lined landfills may
fall mto .thls ~atter category. The notion of a slope spectrum, which illustrates the effect of the natural period of
a potential failure mass on permanent slope displacement, is also introduced.

INTRODUCTION LANDFILL CHARACTERISTICS

The seismic stability of slopes has been a topic of consid-
erable interest in geotechnical engineering practice for the past
30 years. During that period, the state of practice has moved
from simple pseudostatic analyses to more complicated per-
manent displacement analyses. A variety of analytical tools
ranging from sliding block analyses to multidimensional non-
linear dynamic response analyses are now available for pre-
diction of permanent displacements. These tools represent the
mechanics of the seismic slope stability problem with different
levels of rigor, and require different levels of information on
material behavior. The most useful are those that can represent
the important physical mechanisms of a particular seismic sta-
bility problem using material information that can be obtained
practically and economically.
An important contemporary problem is the seismic stability
of landfill slopes. Landfills are complex structures whose de-
signs are constrained by factors including base and cover sta-
bility; leachate collection, gas collection, and disposal; and
various economic and political considerations. Recent federal
regulations (USCOFR 1991) require that new municipal solid
waste (MSW) landfills or lateral expansions of existing MSW
landfills located in seismic impact zones be designed to miti-
gate seismic hazards. Specifically, all containment structures
(including liners, leachate collection and removal systems, and
surface water collection and removal systems) must be de-
signed to resist a maximum horizontal acceleration with 10%
probability of exceedance in 250 years. State and local regu-
latory agencies may specify additional requirements and cri-
teria for acceptable landfill slope stability.
The present paper identifies characteristics of landfills that
distinguish them, from the standpoint of seismic slope stability
from conventional slopes. It presents a new approach to the
prediction of permanent landfill slope displacements that ac-
counts for important physical mechanisms of landfill behavior
t~at are ~ot considered in most existing methods of analysis.
Fmally, It compares the new approach with conventional and
recently proposed alternatives.
'Assoc. Prof., Dept. of Civ. Engrg., Univ. of Washinglon, Box 352700,
Seattle, WA 98195.
2Geotech. Engr., GeoEngineers, Inc., 8410 I54th Ave. NE, Redmond
WA 98052.
Note. Discussion open until December I, 1997. To extend the closing
date one month, a written request must be filed with the ASCE Manager
of Journals. The manuscript for this paper was submitted for review and
possible publication on November 20, 1995. This paper is part of the
Journal of Geotechnical and Geoenvironmenml Engineering, Vol. 123,
No.7, July, 1997. ©ASCE, ISSN 1090-0241197/0007-0635-0644/$4.00
+ $.50 per page. Paper No. 12083.
JOURNAL OF GEOTECHNICAL AND GEOENVIRONMENTAL ENGINEERING 1 JULY 1997/635
Landfills have a number of characteristics that distinguish
them from natural slopes and other types of constructed slopes.
The most significant of these, from the standpoint of seismic
stability, are their large size, the relatively soft nature of the
material placed within them, and the existence of liner sys-
tems.
Difficulties in the siting and permitting of new landfills have
resulted in the construction of fewer but larger landfills in the
United States. The Eagle Mountain landfill in southern Cali-
fornia, e.g., will contain up to 510,000,000 m 3 of waste ma-
terials with slopes up to 350 m in height (Kavazanjian et al.
1995a). Obviously, slopes of substantial height with very large
potential failure masses can exist both during landfill operation
and after closure. The waste materials placed in these landfills
tend to have low stiffnesses. The combination of large size
and low stiffness indicates that landfills are likely to have
longer natural periods of vibration than most natural or con-
structed slopes.
Because of their role in leachate containment and collection,
landfill liners must have low permeability. The types of ma-
terials used to satisfy this requirement, typically layered sys-
tems including geomembranes and/or compacted clays, tend
to have low shearing resistance. As a result, landfill liners
usually introduce planes of weakness into a landfill slope.
Landfill instabilities generally involve deformations that are
concentrated in the vicinity of these weak planes. As a result,
critical potential failure masses in landfills often extend to
much greater depths than their counterparts in earth dams and
embankments.
LANDFILL MATERIAL PROPERTIES
Landfills are used for disposal of a wide variety of materials,
and characterization of their material properties is difficult. For
seismic stability evaluation the most important material prop-
erties of a landfill are the strength of the waste fill and the
liner system, and the stiffness and damping characteristics of
the waste fill.
The shear strength of waste fill has been estimated on the
basis of laboratory test results, back-calculation of field test
performance, and in situ test results. Singh and Murphy (1990)
' compiled Mohr-Coulomb strength parameters that had been
u~ed in landfill stability analyses; combinations ranging from
~Igh cohesion and low friction to low cohesion and high fric-
tIOn were noted. When waste has been modeled as a friction-
less material (<I> = 0), cohesive strengths of 35 -100 kPa are
used. Friction angles of 26-39 0 are used when waste has been
modeled as a cohesionless (c = 0) material. Kavazanjian et al.

J. Geotech. Geoenviron. Eng. 1997.123:635-644.

 (1995b) suggested a bilinear failure surface with c = 24 kPa
and <l> = 0 at normal stresses below 30 kPa, and c = 0 and
<l> = 33° at higher normal stresses. Due to heterogeneity of
constituents and placement, it is unlikely that waste fill
strengths will ever be known with great accuracy. The stability
of most landfills, however, is strongly influenced by the
strength and geometry of the liner system.
The shear strength of landfill liner interfaces has been a
subject of intense interest since the 1988 failure of the Kettle-
man Hills waste repository in California (Mitchell et al. 1990;
Seed et al. 1990). Liner strengths have been measured using
large-scale pullout (Seed et al. 1990), large-scale direct shear
(Bove 1990; O'Rourke et al. 1990; Byrne et al. 1992; Yegian
and Lahlaf 1992; Orman 1994), and ring shear tests (Negussey
et al. 1989; Stark and Poeppel 1994). Strengths have been
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shown to vary for the many different combinations of mate-
rials found in modern liner systems; the weakest of these ap-
pear to have friction angles as low as 5_6°. At high normal
stresses, interface friction angles may be even lower (Stark
and Poeppel 1994). Laboratory measurements (Yegian and
Lahlaf 1992) have not indicated significant differences be-
tween static and dynamic interface strengths.
Information about the dynamic behavior of waste fill ma-
terial is limited. Low-strain stiffnesses have been estimated
from measured shear-wave velocities. Seismic refraction tests
in the Operating Industries, Inc. (OIl), landfill, which operated
in southern California from 1948 to 1984, indicated average
shear-wave velocities of about 244 m/s. Crosshole and down-
hole seismic tests have indicated shear-wave velocities of 200
mls (Sharma et al. 1990) in a landfill operated since the 1950s,
274 mls (Earth Technology Council, unpublished paper, 1988),
and 91 m/s (Singh and Murphy 1990). Kavazanjian (1993)
reported the results of spectral analysis of surface waves tests
that showed shear-wave velocities ranging from about 90 m/s
at the ground surface to about 160 m/s at a depth of 20 m for
young, uncompacted waste. Older compacted waste exhibited
shear-wave velocities about twice as large as those of young
waste. Waste fill stiffnesses at strain levels greater than those
induced in geophysical tests have not been measured. The
modulus reduction and damping behavior of waste fill has of-
ten been assumed to be similar to that of peat, even though
little data are available to establish those characteristics of
peat. Dynamic response analyses following measurements of
ground motion in small and moderate earthquakes near the OIl
landfill (Anderson et al. 1992; Stewart et al. 1994; Kavazanjian
and Matasovic 1995; Idriss et al. 1995), however, indicate that
waste material behaves more linearly than the peak analogy
would suggest. These analyses also confirmed the validity of
the previous seismic refraction measurements and indicated
that the landfill responded essentially linearly at input accel-
eration levels as high as 0.1-0.2g. The on landfill, approxi-
mately 85 m high and unlined, exhibited a fundamental period
on the order of 1.1-1.4 s in several small to moderate earth-
quakes (Anderson et al. 1992).
Direct measurements of the damping characteristics of
waste fill material are virtually nonexistent. Damping charac-
teristics are commonly assumed to be similar to those of peat
or a combination of those of peat and clay (Singh and Murphy
1990). More recently, dynamic response analyses of the OIl
landfill indicate that waste damping is greater than that exhib-
(a)
•
FIG. 1.
• •
Schematic Illustration of Conventional Newmark Model
636/ JOURNAL OF GEOTECHNICAL AND GEOENVIRONMENTAL ENGINEERING / JULY 1997
J. Geotech. Geoenviron. Eng. 1997.123:635-644.
ited by typical clays, but less than that commonly assumed for
peat.
METHODS OF SEISMIC SLOPE STABILITY ANALYSIS
The seismic stability of slopes can now be analyzed by a
variety of methods. The oldest and simplest of these, the pseu-
dostatic method, is still commonly used in engineering prac-
tice. Methods that allow estimation of permanent slope dis-
placement have been available for 30 years and are being used
more and more frequently. Relatively recently, wave-propa-
gation analyses have been applied to the problem of landfill
seismic stability. The following paragraphs review the advan-
tages and limitations of the various methods of analysis.
Pseudostatic analyses represent the transient effects of an
actual earthquake motion by applying constant unidirectional
accelerations (horizontal and vertical) to a mass of potentially
unstable material. The resulting inertial forces are taken to act
in directions that destabilize the slope. The magnitudes of the
horizontal and vertical pseudostatic loads are usually ex-
pressed in terms of seismic coefficients, kh and k v , numerically
equal to the ratios of the inertial forces to the weight of the
potentially unstable material. By solving for force and/or mo-
ment equilibrium of the potentially unstable soil, a pseudo-
static factor of safety can be computed. The pseudostatic factor
of safety provides an index of stability under seismic condi-
tions in a form familiar to geotechnical engineers. Selection
of an appropriate seismic coefficient, however, is a crucial and
complicated matter (Terzaghi 1950; Seed 1979; Marcuson
1981; Hynes-Griffin and Franklin 1984). Furthermore, pseu-
dostatic factors of safety provide no information on potential
slope deformations and can be particularly unreliable for ma-
terials that exhibit reduced strength at large strain levels.
The postearthquake serviceability of a slope is more fun-
damentally related to the permanent deformations that develop
during shaking than to the factor of safety. Newmark (1965)
developed a simple procedure for estimation of permanent
slope displacements due to earthquake shaking. This proce-
dure, hereafter referred to as the "conventional Newmark"
procedure, assumes that permanent displacement begins when
the inertial forces induced by an earthquake exceed the resist-
ing forces that result from mobilization of shear strength along
the failure surface. By assuming the material above the failure
surface (the "failure mass") to be rigid, Newmark showed
that the seismic slope stability problem was analogous to the
problem of a rigid block resting on an inclined plane (Fig. 1).
A block on a plane will move with the plane as long as the
inertial force acting on the block parallel to the plane does not
exceed the frictional force that resists relative movement be-
tween the block and the plane. When this frictional force is
exceeded, the block can no longer accelerate as fast as the
plane, and the block moves relative to the plane. The move-
ment continues until the inertial force drops below the fric-
tional force long enough for the velocity of the plane to match
that of the block. Because the material above the potential
failure surface is assumed to be rigid, the acceleration through-
out it is constant and the inertial force is proportional to the
acceleration of the block. The acceleration at which the inertial
force is equal to the resisting force (and at which slip begins)
is the yield acceleration; it is usually taken as the pseudostatic
(b)
•• •
 q:.U~
z
cr (b)
FIG. 2. Effect of Failure Mass Compliance, Input Motion Wave-
length, and Failure Mass Geometry on Average Accelerations:
(a) Low Frequency, Long Wavelength; (b) High Frequency, Short
Wavelength
acceleration that produces a computed factor of safety of 1.
Knowing the yield acceleration and the time history of base
acceleration, permanent displacements can be calculated by a
straightforward double integration process.
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The materials that comprise most slopes, however, are com-
pliant rather than rigid-this is particularly true for landfills.
As an earthquake motion propagates through a slope, different
parts of the slope move by different amounts and with different
phases. The extent to which the compliance of the slope de-
viates from the conventional Newmark assumption of rigidity
depends primarily on the relationship between the wavelength
of the motion and the size of the potential failure mass. For
thin failure masses and/or long wavelengths (that would be
produced by low frequency motions or motions in very stiff
materials), the effects of failure mass compliance are likely to
be small [Fig. 2(a)]. For thick failure masses and/or short
wavelengths (as would be expected for most landfills), the ef-
fect may be considerable. In such cases, motions within the
potential failure mass will vary in amplitude and phase; in-
deed, different parts of the failure mass may be moving in
different directions at a given instant in time [Fig. 2(b)].
Clearly, the resultant driving force acting on the potential fail-
ure mass will not be proportional to the acceleration of any
individual point within the failure mass. An approach to the
estimation of the resultant driving force developed by Chopra
(1966) has been used to estimate pseudostatic coefficients
(Seed and Martin 1966) and permanent embankment displace-
ment (Makdisi and Seed 1978). A one-dimensional analog to
this procedure (Bray et al. 1993; Repetto et al. 1993a,b; Bray
and Repetto 1994; Augello et al. 1995; Bray et al. 1995) has
recently been applied to landfills. In this procedure a one-di-
mensional, equivalent linear ground response analysis is used
to compute the time history of horizontal shear stress Th(t) at
the level of the landfill liner. The acceleration that would cause
the same time history of shear stress if the material above the
liner was rigid, termed the horizontal equivalent acceleration
(HEA), is computed as
(1)
where (1" = vertical stress at the level of the liner; and g =
acceleration of gravity. This HEA is then used as the input
motion in a conventional Newmark analysis to predict per-
manent displacement at the level of the liner. In this procedure
the effects of failure mass compliance and permanent slope
displacements are computed separately, or "decoupled." The
decoupled procedure assumes that the dynamic response of the
potential failure mass is not influenced by permanent displace-
ment (slip) that occurs on the failure surface.
The validity of the decoupling assumption has been inves-
tigated in the context of earth dam stability. Lin and Whitman
(1983) idealized earth dams as vertical stacks of discrete
masses connected by springs and dashpots with a horizontal
sliding element at one level within the stack. After subjecting
the idealized model to harmonic and simulated earthquake mo-
tions, Lin and Whitman concluded that the decoupled ap-
proach provided a somewhat conservative estimate of perma-
nent displacement. The conservatism was greatest at the
JOURNAL OF GEOTECHNICAL AND GEOENVIRONMENTAL ENGINEERING / JULY 1997/637
J. Geotech. Geoenviron. Eng. 1997.123:635-644.
fundamental period of the dam, but the overall errors were
considered insignificant relative to other sources of uncertainty
inherent in sliding block analyses. Gazetas and Uddin (1994)
used two-dimensional finite-element analyses with rigid-per-
fectly plastic pre-existing potential sliding interfaces to inves-
tigate the decoupling assumption. By comparing the perma-
nent displacements computed with the interfaces with those
computed by a decoupled procedure based on the time history
of average acceleration (obtained by repeating the finite-ele-
ment analysis without the interface elements) for hypothetical
and actual rockfill dams, Gazetas and Uddin concluded that
the decoupling assumption generally produced good results.
An exception was noted for narrowband input motions that
coincided with the fundamental period of the dam-the de-
coupled procedure tended to overpredict permanent displace-
ments under those conditions. Single-step analyses of the type
performed by Gazetas and Uddin (1994) account for failure
mass compliance and for the effects of permanent displace-
ment on the dynamic response of the failure mass. As such,
they account for important physical mechanisms of embank-
ment response and permanent displacement, which the previ-
ously described methods do not. Because they require com-
plicated and time-consuming dynamic, nonlinear finite-
element analyses and because their results are similar, they are
likely to be less commonly used than decoupled analyses for
evaluation of earth dam stability.
Landfills, on the other hand, are generally constructed of
softer materials and have planes of weakness (liners) that drive
critical potential failure surfaces to greater depths than en-
countered in most earth dams. While earthquakes are likely to
excite earth dams at frequencies well below the natural fre-
quencies of potential failure masses (which are usually stiff
and thin), they are likely to excite potential failure masses in
landfills (typically soft and thick) well above their natural fre-
quencies. The conservatism of the decoupled approach, amply
illustrated for earth dams by Lin and Whitman (1983) and
Gazetas and Uddin (1994), has not been demonstrated for
landfills or other soft slopes.
MODIFIED NEWMARK ANALYSIS
To develop a simple and practical method of seismic slope
stability analysis that accounts for the dynamic response of a
landfill and for the effects of permanent displacement on that
dynamic response, a modified version of the Newmark anal-
ysis was developed. In the modified Newmark analysis the
single rigid block of the conventional Newmark analysis is
replaced by two or more blocks connected by springs and
dashpots. The masses, spring constants, and dashpot coeffi-
cients can be selected to approximate the dynamic character-
istics of a potential failure mass.
Development
The modified Newmark analysis is most easily illustrated in
its two-mass form; the extension to additional masses is
straightforward. In the two-mass form, the total mass of the
material above a potential failure surface, m" is divided into
two separate masses [Fig. 3(a)]. The lower mass rests on an
inclined plane with an interface friction angle &. The upper
mass is connected to the lower mass by a spring of stiffness
k and dashpot of coefficient c. The distribution of total mass
between the upper and lower masses is described by the mass
ratio
(2)
Fig. 3(b) illustrates the notation used to describe the significant
displacements of the modified Newmark model. The displace-
 { ..
, I
,-If---.!::
.....
:"7
: I
: I
, I
: I (b)
: I
, I
: I
: I

:'"

FIG. 3. Newmark Model: (a) Schematic Illustration; (b) Notation Used to Describe Displacements of Modified Newmark Model

produced by the unbalanced driving and resisting forces in the

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same manner used in conventional Newmark analyses.

Prediction of permanent displacement by the modified New-
mark analysis involves computing the dynamic response of the
upper mass and the permanent displacement of the lower mass
at the same time. An algorithm that used a fourth-order Runge-
Kutta procedure to compute the response of the upper mass
(or upper masses in cases where more than two masses were
used) and a simple trapezoidal integration procedure for the
permanent displacement of the lower mass was developed. The
response of the system is computed in a series of small time
steps-the occurrence of slip and its effects on the spring,
dashpot, and inertial forces are accounted for in each time step.

FIG. 4. Forces Acting on Lower Block of Modified Newmark
Model
ment of the base plane is Ub' The displacement of the upper
mass relative to the lower mass is denoted Ub and the per-
manent displacement of the lower mass relative to the base
plane is uo.
The upper block, spring, and dashpot represent a single-
degree-of-freedom system with the lower block as its base. Its
response, therefore, depends on the absolute displacement of
the lower block. The equation of motion for the upper block
is
(3)
As illustrated in Fig. 4, the lower block is acted on by a static
force Fstatic, a spring force F$I a dashpot force Fd , an inertial
force F;, and a resisting force. These forces can be grouped
into a driving force FD and a resisting force FR' The driving
force can be expressed as
Verification
If M r = 0 (no upper mass) or k = 00 (upper mass rigidly
linked to lower mass), the modified Newmark model is equiv-
alent to the conventional Newmark model. The results of the
modified Newmark analysis were compared with those of a
conventional Newmark analysis as M r approached zero and as
k became very large. In both cases the permanent displace-
ments predicted by the modified Newmark analysis smoothly
approached those predicted by the conventional Newmark
analysis. If k = 0 and c = 0, the upper mass can transmit no
driving force to the lower mass, and the modified Newmark
model is equivalent to the conventional Newmark model with
a mass rna and an equivalent friction coefficient J.Lequiv = J.L/(1
- M r). The modified Newmark analysis also converged
smoothly to the permanent displacement predicted by the con-
ventional Newmark method for this case.
The case in which the modified Newmark model rests on a
horizontal plane is similar to that of a frictional base isolation
system. Westermo and Udwadia (1983) developed analytical
expressions for the response of such systems to harmonic base
motions of acceleration amplitude A. The solutions, expressed
in terms of the normalized peak displacement of the upper
mass (the response parameter of primary interest for the base
isolation problem), are shown in Fig. 5(a); the results of the

(4) 1: 3

"E i (a) "E" (b)

The available resisting force depends on the normal force be- "
0 I I "0
<0
i5. Ii I c. '"
tween the lower block and the plane, i.e. '"
'C I 'C '"
2 11
ft
F R = N tan 0 (5) lil'" 1\
\ 1\ 1\
I '"E'"'"
E I
Oi
0.
1\ 1\
I! Ii
/I I / Oi
c-
The normal force may vary with time due to components of o.
\./ g.
" 1
ground motion that act normal to the inclined plane. Perma-
f\\
"C ."

"
:a"
N .~
nent displacement will begin when the driving force exceeds 'iii

the available resisting force (FD > F R ). The permanent dis- E " ... ......... f\ E
(;
0
z ...... ~""'- Z
placement will continue to increase until the driving force has 10' '0 10' 10 10
1

Tuning ratio, CD/roo Tuning ratio, CiJ/CiJo

dropped below the resisting force long enough for the absolute
velocity of the lower block to match that of the plane (or until FIG. 5. Normalized Displacements of Upper Mass for Fric-
the relative velocity, Uo = 0). These displacements can be com- tional Base Isolation System: (a) by Westermo and Udwadia
puted by double integrating the acceleration of the lower mass (1983); (b) Using Modified Newmark Model with Horizontal Base

638/ JOURNAL OF GEOTECHNICAL AND GEOENVIRONMENTAL ENGINEERING / JULY 1997

J. Geotech. Geoenviron. Eng. 1997.123:635-644.

 same analyses using the modified Newmark analysis with a
level base plane are shown in Fig. 5(b).
Additional verification of the modified Newmark procedure
was performed by testing a small physical model on a shaking
table. The model was constructed of two 203.2- by 406.4- by
6.4-mm aluminum plates connected by four short aluminum
cantilever springs (Fig. 6). Provisions for fixing additional
rigid masses to each of the plates were also made. To provide
a low-friction, approximately rigid-perfectly plastic sliding in-
terface, a 1.52-mm high-density polyethylene geomembrane
was glued to the surface of the inclined plane, and a non-
woven, needle-punched geotextile was glued to the bottom of
the lower mass. By tipping the inclined plane, a static interface
friction angle of approximately 14° was measured; the dy-
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namic interface friction angle was slightly smaller. The shak-
ing table was excited by a crankshaft-type actuator (Kramer
et al. 1992) driven by a variable speed electric motor. Dis-
placements of the shaking table, lower mass, and upper mass
were measured by linear variable differential transducers and
recorded by a PC-based data acquisition system. No damping
elements were included in the system; free vibration tests in-
dicated an effective damping ratio £ = 0.0005. The shaking
table model was subjected to harmonic and transient input
(base) motion. In the harmonic input tests, the crankshaft
stroke was held constant and the response measured at a num-
ber of different loading frequencies-as a result, the base ac-
celeration increased with the square of the input frequency.
Because the electric motor could not start instantaneously, the
input motion was not perfectly harmonic; furthermore, the low
damping of the system allowed the transient component of the
response (the system was initially at rest) to continue through
the period in which data were acquired. Nevertheless, com-
parison of the measured and computed average displacement
per cycle [Fig. 7(a)] showed that the modified Newmark anal-
ysis correctly represented the mechanics of the physical model.
Both the analyses and visual observation of the shaking table
tests illustrated two important aspects of the response of the
system:
1. At input motion frequencies J near the natural frequency
10 of the system (0.8/0 :s: J:s: 1.210)' the spring force was
in phase with the inertial force acting on the lower block.
Actuator
FIG. 6. Schematic Illustration of Physical Model of Modified
Newmark Model Used in Shaking Table Tests
uo/cycle
(em)
1.5
1.0
0.5
0.0 L-_~"""'--JZ._--,LL.._~_--'
0.0 1.0 2.0 3.0
Tuning Ratio
(0)
FIG. 7. Measured and Computed Response of Shaking Table Model: (a) for Harmonic Input Motions of Constant Displacement Am-
plitude; (b) for Transient Input Motion
JOURNAL OF GEOTECHNICAL AND GEOENVIRONMENTAL ENGINEERING / JULY 1997/639
J. Geotech. Geoenviron. Eng. 1997.123:635-644.
The total driving force, therefore, was relatively high,
and the observed (and predicted) permanent displace-
ment per cycle uo/cycle was large.
2. At somewhat higher input motion frequencies (1.2/0 :s:
J:s: 1.810)' the spring force was out of phase with the
inertial force acting on the lower block. The total driving
force was greatly reduced and, in fact, did not exceed
the available resisting force. As a result, no permanent
displacement was observed (or predicted) despite the fact
that the input acceleration was over three times greater
than the input acceleration at the natural frequency. At
input motion frequencies J 2: 1.8/r), the input accelera-
tions were so high that the inertial force on the lower
block was large enough to produce permanent displace-
ment.
These results illustrate the important effects of failure mass
compliance, a factor not considered in the conventional New-
mark analysis. Transient vibration tests were conducted by dis-
connecting the crankshaft actuator and shaking the model
manually. The observed permanent displacement and the per-
manent displacement computed by the modified Newmark
analysis are shown in Fig. 7(b). Because the static and dy-
namic interface friction angles in the physical model were not
identical, the modified Newmark analyses were repeated to
find an equivalent interface friction angle (0 = 13°) that
matched the total permanent displacement at the end of shak-
ing. The fact that the modified Newmark analysis followed the
individual steps of displacement throughout the motion indi-
cated that it represented the mechanics of the problem cor-
rectly.
Application to Continuous Systems
Application of the modified Newmark analysis to actual
slope stability problems requires that the failure mass be ide-
alized as a discrete system. To provide the most accurate re-
sults, the discretization should be constrained to match the
most important characteristics of the continuous system. If per-
manent displacements are assumed to be restricted to the slid-
ing interface, the most important characteristics are the stiff-
ness and distribution of mass within the failure mass. These
characteristics, which influence the natural frequencies and
mode shapes of the failure mass, can be represented by se-
lecting individual springs, dashpots, and masses that produce
a discrete system with the same natural frequencies and gen-
eralized masses [e.g., Clough and Penzien (1975)] as those of
the continuous system.
For simple geometries the natural frequencies and general-
ized masses can be computed with the aid of shear beam anal-
yses. For example, the shear beam solution of Ambraseys
0.56£3
ub
(em)
-0.5
0.0
-La
,'~,::1~2~]
0.0 _ _....L ~ __
2 4 6 10
Time (sec)
(b)
 ,/ H
,,
,
/t'
= 75
,,
,
m',
" <ll
, ;/
" "
(1.=
0
8 =7.5
FIG. 8. Hypothetical Landfill with Truncated Wedge Geometry
on 50 Slope with 7.5 0 Interface Friction Angle
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(1960) indicates that a truncated wedge would have natural
frequencies given by
where V s = shear-wave velocity; H = height; and an = tabulated
function of geometry and mode number. A hypothetical land-
fill is shown in Fig. 8; the yield acceleration for this landfill
is 0.044g. For a two-mass modified Newmark model of the
landfill, an = 3.59 and the truncated wedge shear beam solution
gives a natural frequency of 0.57 Hz. Letting m(z) describe
the distribution of mass of the hypothetical landfill, the gen-
eralized mass m* can be computed as
m* = L H
m(z)[ljJ(z)]2 dz
where ljJ(z) = variation of normalized displacement of the land-
fill. Because the generalized mass represents the portion of the
total mass that responds dynamically, it is taken as the mass
of the upper block ml in the modified Newmark model. Setting
ljJ(z) equal to the fundamental mode shape from the truncated
shear beam solution of Ambraseys (1960) and carrying out the
required integration of (7), the mass ratio M r = mtfm, = m*/m,
= 0040. Knowing the total mass, the mass ratio, and the natural
frequency, the quantities mo, m" and k are easily computed.
For more complicated geometries the material above the po-
tential failure surface can be discretized in finite-element form
and the equivalent mass and stiffness values can be computed
from the resulting eigenvalues and eigenvectors. The dashpot
coefficient can be computed as that which produces the desired
damping ratio for the landfill waste material. Extension of this
procedure to modified Newmark models with more than two
masses is straightforward.
PARAMETRIC ANALYSES
The response predicted by the modified Newmark analysis
can be compared with that predicted by conventional New-
mark analyses and by a discrete equivalent of the decoupled
procedure. The discrete equivalent of the decoupled procedure
was developed by dividing the time history of base shear from
a fixed base (un = 0) analysis of a two-mass discrete model by
the total mass of the system to produce a HEA time history.
The HEA time history was then used as input to a conventional
Newmark analysis. This procedure is analogous to the decou-
pled procedure proposed for landfills (Bray et al. 1993; Re-
petto et al. 1993a,b; Bray and Repetto 1994; Augello et al.
1995; Bray et al. 1995).
Harmonic Input Motions
The hypothetical landfill shown in Fig. 8 was subjected to
harmonic base motion with an acceleration amplitude of 0.30g.
The responses of all three models to input motions at different
640/ JOURNAL OF GEOTECHNICAL AND GEOENVIRONMENTAL ENGINEERING / JULY 1997
J. Geotech. Geoenviron. Eng. 1997.123:635-644.
E 3.0
<ll
E
3.5
lU
C.
2.5
III
is 2.0 Conventional Newmark
50
"5l
.!::!
til
§
1.5
1.0
If; Modified Newmark
Decouplad
Z
0.5
0.0
0.0 1.0 2.0 3.0 4.0 5.0
Tuning Ratio
FIG. 9. Response of Conventional Newmark, Modified New-
mark, and Decoupled Models to Harmonic Input Motions (Mass
Ratio, Mr = 0.4; Damping Ratio, ~ = 0.10; and Yield Acceleration,
B y =0.044g)
(6) frequencies (expressed in terms of the permanent displacement
per cycle normalized by the permanent displacement per cycle
predicted by the conventional Newmark analysis) are shown
in Fig. 9. Fig. 9 illustrates significant differences between the
results of the conventional Newmark, modified Newmark, and
decoupled analyses. Because very low tuning ratios corre-
spond to very stiff systems (for a given input frequency), all
three analyses should and do produce equivalent results as the
tuning ratio approaches zero. As the tuning ratio increases,
however, the responses diverge.
The permanent displacement produced by the decoupled
(7)
analysis increases dramatically and reaches a maximum at a
tuning ratio just below 1.0. At this point, the permanent dis-
placements predicted by the decoupled analysis exceed those
predicted by the conventional Newmark analysis by a factor
of nearly 3. At higher tuning ratios, however, the permanent
displacements are greatly reduced. At tuning ratios above ap-
proximately 1.3, the decoupled analysis predicts permanent
displacements ranging from 13 to 42% of those predicted by
the conventional Newmark analysis.
The modified Newmark analysis also predicts greater per-
manent displacements than the conventional Newmark analy-
sis at low tuning ratios. The difference, however, is far less
pronounced than for the decoupled analysis. At tuning ratios
up to about 1.0, the modified Newmark displacements are ap-
proximately equal to or slightly greater than those predicted
by the conventional Newmark analysis. At higher tuning ra-
tios, the modified Newmark analysis also predicts smaller dis-
placements than the conventional Newmark analysis, but not
as much smaller as predicted by the decoupled procedure.
These results follow from the behavior observed in the
physical model tests. At tuning ratios near 1, the dynamic
(spring and dashpot) forces from the upper block are in phase
with the inertial force on the lower block. As a result, the
driving forces become large. In the decoupled analysis the
driving force is allowed to exceed the available resisting force
because the lower block is assumed to be fixed to the inclined
plane. This results in greater horizontal equivalent accelera-
tions than could physically occur. Consequently, the decoupled
procedure overpredicts the actual permanent displacement. At
tuning ratios above 1, the phase relationship is affected such
that the decoupled procedure underpredicts the actual perma-
nent displacement. The extent to which the modified Newmark
and decoupled procedures differ from each other (and from
the conventional Newmark procedure) depends on mass ratio
(Fig. 10) and damping ratio (Fig. 11). As would be expected,
the dynamic effects increase with increasing mass ratio and
decreasing damping ratio.
Earthquake Input Motions and Slope Spectrum
The permanent displacements produced by earthquake mo-
tions can also be compared for the conventional Newmark,
 2.0
Decoupled • Northridge
(a)
E
Cll 1.5
E M,. 0.0

i
.!II
M,.0.1 E
......
Cl 1.0 ~ Modified Newmark • Lama Prieta

~iii ~ 1.0

Z
E
0
--M,.0.5 I ~ 0.5
~
0.0

2.0 E
M,. 0.5 ~
E (b)
0.0 L..-_ _ __ _ _--J
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Cll
~ ~ ~

M,. 0.2
E 0.0 1.0 2.0 3.0 4.0 5.0
~ M, .0.1
Q. Period (sec)
.!II /M,. 0.0
Cl 1.0
FIG. 12. Slope Spectra for Two Earthquake Motions as Com-
IE puted by Modified Newmark and Decoupled Analyses (Mass Ra-
tio, M, = 0.4; Damping Ratio, ~ = 0.10; and Yield Acceleration,
z
0 By = 0.044g)

0.0 Because a conventional Newmark analysis assumes that the

0.0 1.0 2.0 3.0 4.0 5.0
failure mass is rigid, the computed displacement corresponds
Tuning Ratio to the zero period displacement of a slope spectrum. Slope
FIG. 10. Effect of Mass Ratio on Permanent Slope Displace- spectra for the modified Newmark and decoupled procedures,
ments Caused by Harmonic Input Motions: (a) for Modified New- however, illustrate the influence of failure mass period on per-
mark Model; (b) for Decoupled Model (Damping Ratio, ~ = 0.10; manent displacement. Fig. 12 shows slope spectra computed
and Yield Acceleration, By = 0.044g) by the modified Newmark and decoupled procedures for
2.5r---~--~---~--~--~
ground motions recorded in the Loma Prieta and Northridge
(a) earthquakes. The spectra of both motions indicate that the per-
j 2.0
manent displacement produced by a particular ground motion
is strongly influenced by the natural period of the failure mass.
If the natural period is very low (corresponding to very stiff
1Cl 1.5
and/or thin failure masses), the effect is not large. The decou-
pled procedure conservatively overpredicts permanent dis-

I
Z 0.5
~. 0.20 placements by factors of up to about 2 in this particular case.
Such conditions are common for potentially unstable slopes in
dams and embankments, and this result is consistent with those
observed by Lin and Whitman (1983) and Gazetas and Uddin
0.0
(1994). For failure masses with longer natural periods, how-
2.5
ever, the reverse is true. The permanent displacements of soft
slopes are considerably lower than those that would be pre-
E
Ql dicted by the conventional Newmark analysis, and the decou-
E 2.0
2l pled analysis underpredicts permanent displacements. The
~
., 1.5
~. 0.20 magnitude of this unconservative underprediction is different
i5 ~. 0.10 for different ground motions. For the hypothetical landfill
i.!::l 1.0 ~ • 0.05 shown in Fig. 8 (T = 1/0.57 Hz = 1.75 s), the decoupled anal-
iii ysis would underpredict permanent displacement by 10-35%.
Z
~ 0.5
For a landfill twice as large the decoupled procedure would
underpredict permanent displacement by 37 -41 %.
Slope spectra computed from 26 recorded ground motions
2.0 3.0 4.0 5.0 from the Northridge earthquake are shown in Fig. 13(a). Be-
Tuning Ratio cause the individual motions represent a wide range of site
conditions and source-site distances, the magnitudes of the
FIG. 11. Effect of Damping Ratio on Permanent Slope DIs-
placements Caused by Harmonic Input Motions: (a) for Modified computed permanent displacements vary widely. Normalizing
Newmark Model; (b) for Decoupled Model (Mass Ratio, M,= 0.4; the slope spectra by the conventional Newmark displacement,
and Yield Acceleration, By = 0.044g) as in Fig. 13(b), reveals a consistent though scattered trend.
For relatively stiff slopes (low natural period), the permanent
modified Newmark, and decoupled analyses. To facilitate this displacements are greater than those predicted by conventional
comparison and to illustrate the effects of failure mass com- Newmark analyses. The reverse is true for soft systems (high
pliance on permanent displacements, the concept of a "slope natural periods). The bold curve in Fig. 13(c) represents the
spectrum" is introduced. The slope spectrum is a plot of per- average of all of the normalized spectra.
manent displacement versus natural period of a failure mass The slope spectrum is a useful tool for estimation of per-
for a given mass ratio and damping ratio. It is analogous, in manent slope displacements caused by earthquakes. The slope
many respects, to a response spectrum (particularly an inelastic spectrum is a property of a particular ground motion; once
response spectrum) in that it illustrates the effect of a ground computed, it can be used to estimate the permanent displace-
motion on the response of systems with different natural pe- ment of a variety of slopes of different stiffness-its use is
riods. not limited to landfill slopes. More masses could be required
JOURNAL OF GEOTECHNICAL AND GEOENVIRONMENTAL ENGINEERING / JULY 1997/641

J. Geotech. Geoenviron. Eng. 1997.123:635-644.

 2.5
(a) (b)
2.0

!
..E
1:
1.5

.,
i: ~
Q. 1.0
.,u
E
0
CIl

."..
0.5
'"
C.
<II
.!::!

I
C5 0.0
.,c:c:
::L;
~

E
I"~
1.0
0
z
.'"E,
Cl.

0.0 0.0
0.0 1.0 2.0 3.0 4.0 5.0 0.0 1.0 2.0 3.0 4.0 5.0

Period (sec) Period (sec)

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FIG. 13. Slope Spectra: (a) Modified Newmark Slope Spectra for 26 Different Ground Motions Recorded during 1994 Northridge
Earthquake; (b) Same Spectra All Normalized by Conventional Newmark Displacement (Mass Ratio, M, 0.4; Damping Ratio, ~ 0.10; = =
and Yield Acceleration, By = 0.044g); (c) Average of Normalized Spectra

(a) (b)

_ 3.0 r---~----'-----'----~---.,
c:
(I)
E
(I)

~ 2.0
Q.
III
is
"0
(I)
Two-mass model
.!:l 1.0
iii
...E .. ,: \ \ ..
o ....:. Three-mass model
Z
0.0 '-----'.......----'-----'---~-----'
0.0 1.0 2.0 3.0 4.0 5.0

Frequency (Hz)
FIG. 14. Modified Newmark Model: (a) Schematic illustration of Three-Mass Model; (b) Comparative Responses of Undamped Two-
Mass and Three-Mass Models (Yield Acceleration, By = O.044g)

if higher natural frequencies coincide with the predominant
frequencies of an input motion.
Influence of Higher Modes
It is possible that base motions could excite higher modes
of vibration of a compliant failure mass. The modified New-
mark analysis can be used with three or more masses [Fig.
14(a)] to consider higher modes. By matching the first two
natural frequencies from a shear beam analysis (fl = 0.57 Hz
and 12 = 1.53 Hz) and the first two generalized masses (m f =
OAOm, and mf = 0.28m,), the discrete mass values for the
hypothetical landfill shown in Fig. 8 are mo = OA54m" ml =
0.382m" and m 2 = 0.164m,. The response of the three-mass
model is compared with that of the two-mass model (assuming
both are undamped) in Fig. 14(b). The effect of the second
mode is to shift the low-frequency peaks to slightly lower
frequencies and to cause a localized drop in the frequency
response curve at the second natural frequency. The overall
effect of the second (and higher) modes is modest. Conse-
quently, the two-mass form of the modified Newmark analysis
appears adequate for evaluation of most seismic stability prob-
lems.
APPLICABILITY OF MODIFIED NEWMARK ANALYSIS
The modified Newmark analysis provides a useful, practical
tool for evaluation of permanent slope displacements in earth-
quakes. It produces permanent displacements that are consis-
tent with those produced by more complicated and time-con-
suming nonlinear dynamic response analyses over a broad
range of slope conditions and earthquake ground motions.
642/ JOURNAL OF GEOTECHNICAL AND GEOENVIRONMENTAL ENGINEERING / JULY 1997
The modified Newmark model computes permanent dis-
placements rigorously, but it approximates the failure mass as
a discrete system. Such approximations are common in soil
and structural dynamics and, when performed with proper con-
sideration of slope behavior, are acceptable for estimation of
permanent slope displacements. Possible exceptions include
slopes of unusually complex geometry and slopes with ex-
treme spatial variations of mass and stiffness. Such slopes are
better analyzed by nonlinear dynamic response analyses.
Like the conventional Newmark analysis, the modified
Newmark analysis assumes that permanent slope displace-
ments occur on a localized failure surface. This assumption is
quite reasonable for lined landfills and many other types of
slopes but may not be valid for some slopes. In such cases the
magnitude and pattern of permanent displacements should be
estimated by nonlinear dynamic response analyses.
SUMMARY AND CONCLUSIONS
This paper introduces a new approach to seismic stability
analysis of slopes. The modified Newmark analysis provides
a practical approach to seismic slope stability analysis that
accounts for important aspects of the seismic stability problem
not accounted for in the most commonly used analyses. While
it is particularly useful for landfill slopes, it can be applied to
all types of slopes. The modified Newmark analysis considers
the dynamic response of a compliant failure mass and the ef-
fects of permanent displacements on that dynamic response.
In that sense, it accounts for the same mechanisms as more
complicated and time-consuming dynamic response analyses.
Comparison of results from the modified Newmark analysis

J. Geotech. Geoenviron. Eng. 1997.123:635-644.

 and other seismic stability analyses leads to the following con-
clusions.
The modified Newmark analysis predicts permanent dis-
placement behavior that is consistent with that predicted by
nonlinear dynamic response analyses and appears to represent
a practical alternative to such analyses for many slopes.
The conventional Newmark analysis, which does not ac-
count for failure mass compliance, provides good to slightly
unconservative estimates of the permanent displacements of
relatively thin and/or stiff failure masses. On the other hand,
it overpredicts permanent displacements of thick and/or soft
failure masses-by a factor that varies for different ground
motions but appears to be on the order of about 2 for many.
Because many landfills fall into this second category, the con-
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ventional Newmark analysis may produce overconservative
estimates of permanent landfill displacements.
The decoupled procedure, which accounts for the dynamic
response of the potential failure mass but neglects the effects
of permanent displacement on that dynamic response, provides
good to substantially overconservative estimates of permanent
displacement for relatively thin and/or stiff failure masses. For
thick and/or soft failure masses, however, the decoupled pro-
cedure appears to underpredict permanent displacements. The
factor by which displacements are underpredicted varies for
different ground motions but appears to be on the order of
1.5-1.7 for many. Consequently, the decoupled procedure may
produce unconservative estimates of permanent displacement
for many landfills.
The slope spectrum is a useful tool for seismic slope sta-
bility analysis. Because it is a property of a particular ground
motion, it only needs to be calculated once-after that, the
permanent displacements of failure masses with different nat-
ural periods can be read directly from it.
ACKNOWLEDGMENTS
Financial support for this research was provided by grants from Wood-
ward-Clyde Consultants and the National Science Foundation. The sec-
ond writer was also supported by Valle and William L. Shannon fellow-
ships at the University of Washington. This support is gratefully
acknowledged.
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