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Abstract: A simplified semiempirical predictive relationship for estimating permanent displacements due to earthquake-induced devia-
toric deformations is presented. It utilizes a nonlinear fully coupled stick-slip sliding block model to capture the dynamic performance of
an earth dam, natural slope, compacted earth fill, or municipal solid-waste landfill. The primary source of uncertainty in assessing the
likely performance of an earth/waste system during an earthquake is the input ground motion. Hence, a comprehensive database contain-
ing 688 recorded ground motions is used to compute seismic displacements. A seismic displacement model is developed that captures the
primary influence of the system’s yield coefficient 共ky兲, its initial fundamental period 共Ts兲, and the ground motion’s spectral acceleration
at a degraded period equal to 1.5Ts. The model separates the probability of “zero” displacement 共i.e., 艋1 cm兲 occurring from the
distribution of “nonzero” displacement, so that very low values of calculated displacement do not bias the results. The use of the seismic
displacement model is validated through reexamination of 16 case histories of earth dam and solid-waste landfill performance. The
proposed model can be implemented rigorously within a fully probabilistic framework or used deterministically to evaluate seismic
displacement potential.
DOI: 10.1061/共ASCE兲1090-0241共2007兲133:4共381兲
CE Database subject headings: Dams; Earthquakes; Displacement; Structural reliability; Seismic effects; Slope stability.
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Lin and Whitman 共1986兲 studied the probability of failure of 共PEER兲 Center developed a probabilistic framework for the com-
sliding blocks using a rigid block assumption and modeling the putation of probabilities of exceedance of specified thresholds for
strong ground motion as a Gaussian stationary process. They variables that relate to the performance of engineered systems.
characterized ground motion pulses by their peak ground accel- The PEER framework, which is described in Deirlein et al.
eration 共PGA兲, root mean square acceleration, and central 共2003兲, is based on deconvolving overall system performance into
frequency, and characterized the slope strength by its yield coef- independent steps by introducing intermediate random variables.
ficient 共i.e., the seismic coefficient that brings the slope to a factor It is applied to seismic slope stability with the goal of computing
of safety of one in a pseudostatic analysis兲. In the end, seismic probabilities of exceeding specified displacement thresholds as
displacements are only conditioned on PGA and yield coefficient,
and the computation of the annual probability of exceeding speci-
fied displacement thresholds involves computing the seismic haz-
ard for one scalar parameter, i.e., PGA. Also using the Newmark
共D兲 = 冕
IM
G共D兩IM兲兩d共IM兲兩 共1兲
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viscoelastic modal analysis that uses strain-dependent material
properties to capture the nonlinear response of earth and waste
materials. It considers a single mode shape, but the effect of in-
cluding three modes was shown to be small. The results from this
model have been shown to compare favorably with those from a
fully nonlinear D-MOD-type stick-slip analysis 共Rathje and Bray
2000兲, but this model can be utilized in a more straightforward
and transparent manner. The model used herein is one dimen-
sional 共i.e., a relatively wide vertical column of deformable soil兲
to allow for the use of a large number ground motions with wide
range of properties of the potential sliding mass in this study.
One-dimensional 共1D兲 analysis has been found to provide a rea-
sonably conservative estimate of the dynamic stresses at the base
of two-dimensional 共2D兲 sliding systems 共e.g., Vrymoed and Cal-
Fig. 1. 共a兲 Generic seismic slope displacement problem of height H zascia 1978; Elton et al. 1991兲 and the calculated seismic dis-
and initial stiffness Vs and 共b兲 idealized nonlinear coupled stick-slip placements 共Rathje and Bray 2001兲. However, 1D analysis can
deformable sliding mass model with one-way sliding used in study underestimate the seismic demand for shallow sliding at the top
of 2D systems where topographic amplification is significant. For
this special case, the input PGA can be amplified as recommended
discussed previously, the uncertainty in the ground motion char- by Rathje and Bray 共2001兲 for moderately steep slopes 共i.e.,
acterization is by far the dominant source of uncertainty in calcu- ⬃1.25 PGA兲 and by Ashford and Sitar 共2002兲 for steep slopes
lating seismic displacements. 共i.e., ⬃1.5 PGA兲. In this study, the sliding mass was assigned a
The ground motion database used to generate the seismic dis- constant unit weight of 17.6 kN/ m3, the strain-dependent shear
placement data comprises available records from shallow crustal modulus reduction and material damping ratio curves for a soil
earthquakes that occurred in active plate margins 共PEER strong with a plasticity index of 30 共Vucetic and Dobry 1991兲. Sensitiv-
motion database 具http://peer.berkeley.edu/smcat/index.html典兲. ity analyses indicate that reasonable adjustments of these param-
These records conform to the following criteria: 共1兲 5.5艋 M w eters do not have a significant effect on the computed
艋 7.6, 共2兲 R 艋 100 km, 共3兲 Simplified Geotechnical Sites B, C, or displacements.
D 关i.e., rock, soft rock/shallow stiff soil, or deep stiff soil, respec- The Newmark sliding block mechanism used in this nonlinear
tively, Rodriguez-Marek et al. 共2001兲兴, and 共4兲 frequencies in the coupled stick-slip slope model captures that part of the seismi-
range of 0.25– 10 Hz have not been filtered out. Earthquake cally induced permanent displacement attributed to deviatoric
records totaling 688 from 41 earthquakes comprise the ground shear deformation 共i.e., either rigid body slippage along a distinct
motion database for this study 关see Travasarou 共2003兲 for a list of failure surface or distributed deviatoric shearing within the de-
records used兴. The two horizontal components of each record formable sliding mass兲. Ground movement due to volumetric
were used to calculate an average seismic displacement for each compression is not explicitly captured by Newmark-type models.
side of the records, and the maximum of these values was as- This is an important distinction of this slope displacement model.
signed to that record. The top of a slope can displace downward due to deviatoric de-
formation or volumetric compression of the slope-forming mate-
rials. However, top of slope movements resulting from distributed
Idealized Sliding Mass Model
deviatoric straining within the sliding mass or stick-slip sliding
Most of the available simplified probabilistic slope displacement along a failure surface are mechanistically different than top of
procedures employ the original Newmark rigid sliding block as- slope movements that result from seismically induced volumetric
sumption 共e.g., Lin and Whitman 1986; Ambrasseys and Menu compression of the materials forming the slope. The Newmark
1988; and Yegian et al. 1991b兲, which is known not to capture sliding block provides a simplified mechanistic analogy to capture
accurately the dynamic response of the deformable earth/waste deviatoric deformation. The finding that a Newmark procedure
potential sliding mass during earthquake shaking 共Seed and Mar- sometimes captures the overall top of slope displacement for
tin 1966; and Makdisi and Seed 1978兲. Some of the methods cases where seismic compression due to volumetric straining of
discussed previously recognize the deformability of the earth/ the earth or waste mass is the dominant mechanism is fortuitous,
waste system, but they do so in a decoupled fashion, which has because those seismic forces that tend to produce large volumetric
been shown to be overly conservative or slightly unconservative compression strains also often induce large calculated displace-
depending on the slope properties 共Kramer and Smith 1997; and ments in a Newmark method. There are cases where the
Rathje and Bray 2000兲. Compared to the rigid sliding block Newmark method does not capture the overall top of slope dis-
model, a nonlinear coupled stick-slip deformable sliding block placement, such as the seismic compression of large compacted
model offers a more realistic representation of the dynamic re- earth fills 共e.g., Stewart et al. 2001兲. Hence, it is preferred to
sponse of an earth/waste structure by accounting for the deform- separate these effects and use procedures based on the sliding
ability of the sliding mass and by considering the simultaneous block model to estimate deviatoric-induced displacements and use
occurrence of its nonlinear dynamic response and periodic sliding procedures based on the seismic compression of soils 共e.g., Toki-
episodes. In addition, its validation against shaking table experi- matsu and Seed 1987兲 to estimate volumetric-induced
ments provides confidence in its use 共Wartman et al. 2003兲. displacements.
The nonlinear coupled stick-slip deformable sliding model This nonlinear coupled stick-slip deformable sliding model
proposed by Rathje and Bray 共2000兲 for one-directional sliding, can be characterized by: 共1兲 its strength as represented by its yield
which is shown in Fig. 1, is used in this study. The seismic re- coefficient 共ky兲, and 共2兲 its dynamic stiffness as represented by its
sponse of the sliding mass is captured by an equivalent-linear initial fundamental period 共Ts兲. Seismic displacement values were
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Fig. 2. Efficiency of relating seismic displacement to three ground motion intensity measures: 共a兲 Arias intensity for a stiff, weak slope; 共b兲
spectral acceleration for a flexible, weak slope; and 共c兲 peak ground velocity for a flexible, weak slope
generated by computing the response of the idealized sliding mass quire that the ground motion hazard be available for the vector of
model with specified values of its yield coefficient 共i.e., ky = 0.02, IMs, which is significantly more complex. The goal of this study
0.05, 0.075, 0.1, 0.15, 0.2, 0.25, 0.3, 0.35, and 0.4兲 and its initial is to develop a simplified procedure that can be used in practice,
fundamental period 共i.e., Ts = 0, 0.2, 0.3, 0.5, 0.7, 1.0, 1.4, and so use of a single IM is desirable.
2.0 s兲 to the entire set of recorded earthquake motions described The efficiency and sufficiency of estimating seismic displace-
previously. For the baseline case, the overburden-stress corrected ment given an IM of an earthquake ground motion for 29 differ-
shear wave velocity 共Vs1兲 was set to 250 m / s, and the shear wave ent IMs were investigated. The optimal IMs included PGA,
velocity profile of the sliding block was developed using the re- spectral acceleration 共Sa兲, root mean square acceleration 共arms兲,
lationship that shear wave velocity 共Vs兲 is proportional to the peak ground velocity 共PGV兲, Arias intensity 共Ia兲, effective peak
fourth-root of the vertical effective stress. The sliding block velocity 共EPV兲, Housner’s response spectrum intensity 共SI兲, and
height 共H兲 was increased until the specified value of Ts was ob- Ang’s characteristic intensity 共Ic兲. Partial results from this study
tained. For common Ts values from 0.2 to 0.7 s, another reason- are shown in Fig. 3 关see Travasarou and Bray 共2003a兲 for full
able combination of H and average Vs were used to confirm that definitions and a more complete comparison兴. For period-
the results were not significantly sensitive to these parameters independent IMs 共i.e., no knowledge of the fundamental period of
individually. For nonzero Ts values, H varied between 12 and the potential sliding mass is required兲, Arias intensity was found
100 m, and the average Vs was between 200 and 425 m / s. All to be the most efficient IM for a stiff, weak slope, and response
sliding block systems would be classified as 2003 International spectrum intensity was found to be the most efficient for a flexible
Building Code Sites C or D. Hence, realistic values of the initial slope. No one period-independent IM was found to be adequately
fundamental period and yield coefficient for a wide range of earth efficient for slopes of all dynamic stiffnesses and strengths. How-
dams, earth fills, natural slopes, and solid-waste landfills were ever, the 5% damped elastic spectral acceleration at the degraded
used. fundamental period of the slope was found to be the optimal IM
across the wide range of slope periods and strengths considered in
this study.
Selection of Independent Variables
An estimate of the fundamental period of the slope is required
The amount of earthquake-induced seismic displacement of an with this IM, but an estimate of Ts is useful in characterizing the
embankment depends on the characteristics of the strong ground slope anyway, so it is accepted that spectral acceleration can be
motion and the slope properties. In the majority of the simplified
procedures for estimating seismic slope displacement, researchers
have used PGA as the primary ground motion intensity measure.
PGA has sometimes been supplemented by additional parameters
characterizing the frequency content and duration of the ground
motion. For example, Makdisi and Seed 共1978兲 used earthquake
magnitude as a proxy for duration in combination with the esti-
mated PGA at the crest of the embankment; Yegian et al. 共1991b兲
used predominant period and equivalent number of cycles of
loading in combination with PGA; and Bray et al. 共1998兲 used the
mean period and significant duration of the design rock motion in
combination with its PGA.
To compute the displacement hazard in a framework compat-
ible to that outlined in Eq. 共1兲, however, it is desirable to use a
single ground motion intensity measure 共IM兲, which satisfies the
requirements for efficiency and sufficiency 共i.e., it minimizes the
variability in the correlation with seismic displacement 共Fig. 2兲,
and it renders the relationship independent of other variables, re-
spectively, Cornell and Luco 2001兲. No one ground motion IM
could be expected to be fully sufficient in capturing all influenc-
ing aspects of the ground motion 共i.e., its intensity, frequency
content, and duration兲. Thus, the goal is to identify the optimal IM
that is as efficient and sufficient as possible. A vector containing Fig. 3. Relative efficiency of selected ground motion intensity
several IMs could be used, but then implementation would re- parameters 共data from Travasarou 2003兲
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used to characterize the earthquake shaking. Due to material non-
linearity, it would be expected that the spectral acceleration at a
degraded period would be better than that at its initial period.
After evaluating 11 cases, it was found that the spectral accelera-
tion at a degraded period equal to 1.5 times the initial fundamen-
tal period of the slope, i.e., Sa共1.5Ts兲, was overall the most
efficient IM 共Travasarou and Bray 2003a兲. This degraded funda-
mental period captures the overall average stiffness reduction for
the earth/waste slopes considered in this study. Although
Sa共1.5Ts兲 does not satisfy sufficiency for all slopes, it was found
to be the most sufficient of the IMs examined. Spectral accelera-
tion does directly capture the important ground motion character-
istics of intensity and frequency content in relation to the
fundamental period of the potential sliding mass, and it indirectly
partially captures the influence of duration in that it tends to in-
crease as earthquake magnitude 共i.e., duration兲 increases. An ad-
ditional benefit of selecting spectral acceleration to represent the
ground motion is that the ground motion hazard for spectral ac-
celeration can be computed relatively easily due to the existence
of several robust attenuation relationships.
The slope’s yield coefficient 共ky兲 and initial fundamental pe-
Fig. 4. Distribution of simulated displacement data for D ⬎ 1 cm
riod 共Ts兲 were selected to represent the dynamic strength and with moment magnitude, rupture distance, yield coefficient, initial
stiffness, respectively, of the earth/waste slope in the seismic dis- fundamental period, and spectral acceleration at 1.5 times the initial
placement model. The yield coefficient represents the dynamic fundamental period
resistance of the slope, so it is second in importance to only the
key characteristics of the ground motion, which represents the
dynamic loading. The yield coefficient has always been used in slope yield coefficient, the slope’s initial fundamental period, and
simplified sliding block procedures due to its important effect on the ground motion’s spectral acceleration at 1.5 times the slope’s
seismic displacement. Simplified equations for calculating ky as a initial fundamental period. The scatter in these graphs is signifi-
function of slope geometry and strength are found in Bray et al. cant. However, examining the trends of the data, seismic displace-
共1998兲 among several other works. The primary issue in calculat- ment increases with increasing magnitude and decreases with
ing ky is estimating the dynamic strength of the critical strata increasing distance as expected. Spectral acceleration can capture
within the slope. Several publications include extensive discus- these effects as a ground motion parameter. As shown in the bot-
sions of the dynamic strength of soil 共e.g., Blake et al. 2002; tom graph, the amount of calculated seismic displacement is cor-
Duncan and Wright 2005兲, so the reader is referred to the litera- related to the spectral acceleration of the input earthquake ground
ture for a full discussion of this important topic. For this study, it motion at the degraded period of the slope, with displacement
is assumed that ky is constant, so consequently, the earth materials increasing significantly as Sa共1.5Ts兲 increases. Additionally, seis-
do not undergo severe strength loss as a result of earthquake mic displacement decreases with increasing yield coefficient as
shaking 共e.g., no liquefaction兲. expected. There is also a modest sensitivity of seismic displace-
Research by investigators 共e.g., Bray et al. 1998兲 has found ment to the slope’s fundamental period. The results shown in Fig.
that seismic displacement also depends on the dynamic response 4 and the calculated seismic displacement values that are less than
characteristics of the potential sliding mass or its stiffness. All 1 cm are the “simulated data” used to develop the regression
other factors held constant, seismic displacements increase when equations for estimating seismic displacements.
the sliding mass is near resonance compared to that calculated for
very stiff or very flexible slopes 共e.g., Kramer and Smith 1997;
Functional Forms of Predictive Equations
Rathje and Bray 2000; Wartman et al. 2003兲. This effect can be
taken into account by including the initial fundamental period in Currently available probabilistic procedures only address the case
the predictive equation. For these seismic stability calculations, of nonzero displacements occurring due to seismic loading. How-
the initial fundamental period of the sliding mass 共Ts兲 can be ever, situations commonly arise where a combination of earth-
estimated using the expression: Ts = 4H / Vs for the case of a rela- quake loading and slope properties will result in no significant
tively wide potential sliding mass that is either shaped like a deformation of an earth/waste system. Consequently, the finite
trapezoid or segment of a circle where its response is largely 1D probability of obtaining negligible 共“zero”兲 displacement should
共e.g., Rathje and Bray 2001兲, where H⫽the average height of the be modeled as a function of the independent random variables.
potential sliding mass, and Vs⫽average shear wave velocity of the Thus, during an earthquake, an earth slope may experience zero
sliding mass. For the case of a triangular-shaped sliding mass that or finite permanent displacements depending on the characteris-
largely has a 2D response, the expression: Ts = 2.6H / Vs should be tics of the strong ground motion and the slope’s dynamic proper-
used. ties and geometry. As discussed in Travasarou and Bray 共2003b兲,
The seismic displacements 共⬎1 cm兲 calculated for the set of seismically induced permanent displacements can be modeled as
idealized slopes defined previously, each with its specific yield a mixed random variable, which has a certain probability mass at
coefficient and initial fundamental period, undergoing the 688 zero displacement and a probability density for finite displace-
earthquake ground motions described previously are shown in ment values. Displacements smaller than 1 cm are not of
Fig. 4. The variation of the calculated seismic displacement is engineering significance and can for all practical purposes be con-
plotted against earthquake magnitude, source-to-site distance, sidered as negligible or zero. Additionally, the regression of dis-
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Fig. 5. 共a兲 Probability density function and 共b兲 probability of
exceedance for a mixed and a continuous random variable
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Fig. 8. Residuals 共lnDdata − lnDpredicted兲 of Eq. 共5兲 plotted versus
magnitude, rupture distance, the yield coefficient, and the initial
fundamental period
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P共D ⬎ d兲 = 关1 − P共D = 0兲兴P共D ⬎ d兩D ⬎ 0兲 共7兲 seismic displacement increases rapidly. However, fundamental
period is also an important parameter to consider in addition to
The term P共D = 0兲 is computed using Eq. 共3兲. The term ground motion intensity and yield coefficient.
P共D ⬎ d 兩 D ⬎ 0兲 may be computed assuming that the estimated The proposed model has been developed for values of the
displacements are lognormally distributed as yield coefficient between 0.02 and 0.4, fundamental period be-
Table 1. Comparison of the Range of Computed Displacement Using Three Different Methods with the Maximum Observed Displacement
Proposed methodc
Makdisi and Bray
Obs. Seed 1978 et al. 1998
Dmax Site Sa共1.5Ts兲 Est. disp D D
System EQa 共cm兲 b ky Ts共s兲 class 共g兲 P共D = 0兲 共cm兲 P共D ⬎ Dmax兲 共cm兲 共cm兲
BuenaVista LF LP None 0.26 0.64 Alluvium 0.36 0.75 0–2 0.2 0 0
Guadalupe LF LP Minor 0.20 0.64 Rock 0.21 0.95 0 0.0 0 0–4
Pacheco Pass LF LP None 0.30 0.76 Rock 0.12 1.0 0 0.0 0 0
Marina LF LP None 0.26 0.59 Alluvium 0.30 0.9 0 0.05 0 0
Austrian Dam LP 50 0.14 0.33 Soft rock 0.94 0.0 20–70 0.3 1–30 20–100
Lexington Dam LP 15 0.11 0.31 Soft rock 0.78 0.0 15–65 0.9 0–10 30–110
Lopez Canyon C-A LF NR None 0.27 0.64 Soft rock 0.48 0.4 0–5 0.6 0 0
Lopez Canyon C-B LF NR None 0.35 0.45 Soft rock 0.43 0.85 0 0.1 0 0
Chiquita Canyon C LF NR 24 0.09 0.64 Soft rock 0.35 0.0 10–30 0.3 1–40 3–20
Chiquita Canyon D LF NR 30 0.10 0.64 Soft rock 0.35 0.0 5–20 0.1 0–10 2–15
Sunshine Canyon LF NR 30 0.31 0.77 Soft rock 1.40 0.0 20–70 0.6 0 0
Oll Section HH LF NR 15 0.08 0.00 Soft rock 0.24 0.1 4–15 0.1 3–30 2–25
Chabot Dam SF Minor 0.14 0.55 Rock 0.26 0.35 0–5 0.2 1–10 0–1
La Villita Dam S3 1 0.20 0.60 Alluvium 0.20 0.95 0 0.01 0 0
La Villita Dam S4 1.4 0.20 0.60 Alluvium 0.33 0.5 0–4 0.4 0 0
La Villita Dam S5 4 0.20 0.60 Alluvium 0.41 0.25 0–10 0.5 0–1 0
a
LP= 1989 Loma Prieta; NR= 1994 Northridge; SF= 1906 San Francisco; S3, S4, and S5 from Elgamal et al. 共1990兲.
b
Dmax⫽maximum observed displacement.
c
P共D = 0兲 from Eq. 共3兲. 0 displacement refers to negligible displacement 共i.e. D 艋 1 cm兲. Estimated displacement range is median ± from Eqs. 共3兲–共8兲.
P共D ⬎ Dmax兲 from Eqs. 共7兲 and 共8兲 using 1 or 5 cm for Dmax⫽None or Minor, respectively, and using observed Dmax value when available.
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tion are described in Table 1. In all cases, the maximum observed There are four cases of observed moderate seismic displace-
displacement 共Dmax兲 is that portion of the permanent displacement ment for solid-waste landfills during the 1994 Northridge earth-
attributed to stick-slip type movement and distributed deviatoric quake 共i.e., Dmax = 15– 30 cm兲. In all of these cases, the proposed
shear within the deformable mass, and crest movement due to method estimates a very low chance of zero displacement occur-
volumetric compression was subtracted from the total observed ring. Moreover, the observed seismic displacement is within the
permanent displacement when appropriate to be consistent with range of the estimated seismic displacement for all cases, except
the mechanism implied by the Newmark method. The observed for one case. For this case, i.e., Chiquita Canyon D Landfill, the
seismic performance and best estimates of yield coefficient and observed value of 30 cm is only slightly above the upper esti-
initial fundamental period are based on the information provided mated value of 20 cm and within 1.5 s . d. of the median estimate
in Makdisi and Seed 共1978兲, Bray et al. 共1998兲, Harder et al. of seismic displacement, indicating that even for this case the
共1998兲, and Elgamal et al. 共1990兲. Complete details regarding model predictions are reasonable. It is also noteworthy that the
these parameters and pertinent seismological characteristics of the seismic displacement of Chiquita Canyon D Landfill is underes-
corresponding earthquakes can be found in Travasarou 共2003兲. timated by all simplified methods. For this case, the liner interface
The comparison of the proposed model estimates of seismic was subjected to significant strain prior to the earthquake, which
displacement 共Columns 8–10兲 with the maximum observed seis- may have caused high residual stresses, which induced more dis-
mic permanent displacement 共Column 3兲 is shown in Table 1. For placement during the earthquake episode 共Augello et al. 1995兲.
this comparison, only the best estimate of the slope’s yield coef- Lastly, there are two cases of moderate seismic displacement
ficient, its initial fundamental period, and the spectral acceleration of earth dams shaken by the 1989 Loma Prieta Earthquake. Lex-
at 1.5 times the initial fundamental period of the slope as repre- ington Dam and Austrian Dam underwent approximately 15 and
sented by their mean values for the first two slope parameters and 50 cm of seismic displacement, respectively, due to deviatoric
the median value for the last earthquake parameter are consid- straining from this event. For both cases the proposed method
ered. Hence, the computed displacement range is due to the vari- estimates essentially no chance of zero displacement occurring
ability in the seismic displacement given the value of the slope and ranges of expected seismic displacement that include the ob-
properties and the seismic load 关i.e., ln D = 0.66 from Eq. 共5兲兴. served seismic displacement. In one case the observed seismic
The displacement range shown in Column 9 is the range for displacement is slightly above the median estimate from the pro-
which the probability of exceeding the given displacement is 84 posed model, and in the other case it is at the median minus 1s . d.
to 16%, which is computed using Eq. 共7兲 by solving for d for estimate level. Thus, the estimated seismic performance from the
P共D ⬎ d兲 = 0.84 and 0.16, respectively. Estimates from the pro- proposed model is consistent with the observed performance of
posed method are compared with those from two state-of-practice these earth dams, which provides confidence in its use to evaluate
methods for seismic displacement prediction, i.e., Makdisi and the seismic performance of these critical earth structures.
Seed 共1978兲 and Bray et al. 共1998兲 in Columns 11 and 12. For the The tenth column in Table 1 provides the probability of ex-
sake of consistency, the same yield coefficient computed using ceeding the maximum observed displacement computed using the
the best estimate of the soil strength is used in all cases. Addi- model proposed in this paper 关i.e., using Eqs. 共7兲 and 共8兲 as de-
tional details of the application of these two simplified procedures scribed previously兴. The proposed model offers satisfactory pre-
are provided in Travasarou 共2003兲. dictions for most of the case histories. The predicted probability
There are seven cases in which the observed seismic displace- of exceedance of the maximum observed displacements is low
ment was noted as being “None” or “Minor.” In all of these cases 共⬍20% 兲 for 8 cases where the observed seismic displacement
except for Lopez Canyon C-A Landfill, the proposed method es- was low or negligible, which is consistent with it being unlikely
timates relatively high probabilities of “zero” displacement 共i.e., to have significant seismic displacements for these cases, or on
D 艋 1 cm兲, low estimates of nonzero displacements, and low the order of 30–70% for 6 cases, suggesting that these case
probabilities of having seismic displacements exceed a low histories represent median model estimates. Exceptions to this
threshold value. For Lopez Canyon C-A Landfill, the estimates of generally reliable estimate of the probability of exceeding the
40% chance of “zero” displacement and a seismic displacement maximum observed displacement are Chiquita Canyon D Landfill
range of “0”–5 cm is still consistent with the observed good per- and Lexington Dam. As discussed previously, the proposed model
formance of this landfill. Hence, the proposed method’s estimates 共as do other simplified models兲 estimates a low probability of
of seismic performance are consistent with the good seismic per- exceeding the maximum observed displacement for Chiquita Can-
formance observed of these earth/waste structures. yon D Landfill 共i.e., 10%兲, which indicates it is slightly unconser-
Good seismic performance was also observed for the La Villita vative for this case. For Lexington Dam, the proposed model
Dam in Mexico 共Elgamal et al. 1990兲. Its performance to three estimates a high probability of exceeding the maximum observed
earthquake events is well-documented with increasing levels of displacement 共i.e., 90%兲, which indicates that it is slightly con-
observed seismic displacement from Events S3, S4, and S5. The servative for this case. Overall, however, the proposed model is
proposed model develops estimates of seismic displacement with judged to provide a reasonable estimate of the observed seismic
the same trends. There is a high probability of zero displacements performance for these 16 case histories.
共95%兲 for Event S3 where the maximum observed displacement In judging the proposed method, it is also important to com-
was 1 cm, which is considered a negligible level of displacement. pare its robustness relative to the other prevailing simplified pro-
There is a relatively low probability of zero displacement 共25%兲 cedures. For the cases in which None or Minor displacement was
with a range of estimated seismic displacement from 0–10 cm, observed, each method provides consistent estimates of negligible
which encompasses the observed value of 4 cm for Event S5. The to low seismic displacements. When small displacements
proposed model’s estimates are intermediate for Event S4, which 共艋5 cm兲 were observed, the proposed method captures the ob-
is consistent with the dam’s intermediate level of observed seis- served performance well, whereas the other methods’ estimates of
mic performance for this event. Thus, the proposed method is seismic displacement were low as they typically estimated no
judged to offer a reliable means for evaluating the observed seis- displacement. For cases with moderate observed displacements
mic performance of La Villita Dam for these earthquake events. 共5 cm艋 D 艋 50 cm兲, the proposed procedure generally predicted
Downloaded 03 Apr 2009 to 128.193.15.52. Redistribution subject to ASCE license or copyright; see http://pubs.asce.org/copyright
performance within the range observed, whereas the other pre-
vailing methods were more variable and often unconservative.
Overall, the proposed method is not significantly inconsistent
with existing methods, but it can capture the observed perfor-
mance better than existing procedures. Moreover, it is superior to
the prevalent simplified seismic displacement methods, because it
Fig. 10. Maximum cross section of dam with downstream slope
characterizes the uncertainty involved in the seismic displacement
potential sliding mass evaluated in illustrative example 共based on
estimate and can be used in a probabilistic seismic hazard
dam cross section in Harder et al. 1998兲
assessment.
rock, is shown in Fig. 10. The dam has been placed in San Lean-
Illustrative Seismic Evaluation Examples dro, Calif. at a rupture-distance of 1.1 km from the Hayward
fault. A deterministic analysis is performed first to evaluate a deep
To illustrate the use of the proposed relationships for estimating slide through the dam, which is followed by a pseudoprobabilistic
seismically induced permanent displacements, the Chabot earth analysis wherein the spectral acceleration is computed from a
dam is reanalyzed, and the likely seismic performance of a probabilistic seismic hazard assessment 共PSHA兲 at two levels of
representative earth dam situated in a highly seismic region is hazard.
evaluated. The compacted soil’s shear modulus was computed using the
pressure-dependent Seed and Idriss 共1970兲 relationship with a
mean value of k2,max ⬃ 100, which resulted in an average shear
Reanalysis of the Performance of the Chabot Dam
wave velocity of 450 m / s for the full height of the dam. For the
during the 1906 San Francisco Earthquake
case of base sliding at the maximum height of this triangular-
Chabot Dam is a 41 m high dam constructed of sandy clay which shaped potential sliding mass, the best estimate of its initial fun-
is located about 32 km away from the San Andreas fault. The dam damental period is
performance during the 1906 San Francisco earthquake is reana-
2.6H 2.6共57兲 m
lyzed with the proposed procedure. The initial fundamental period Ts = = ⬇ 0.33 s 共9兲
of the dam was estimated based on Makdisi and Seed 共1978兲 to be V̄s 450 m/s
0.55 s. Additionally, they used the average results from consoli-
dated static undrained tests for a deep failure surface to estimate The yield coefficient for a deep failure surface was estimated to
ky = 0.14. In the absence of a strong motion recording at the site, be 0.14 from pseudostatic slope stability analyses performed with
the median spectral acceleration at 1.5Ts was calculated using the the total stress strength properties of c = 14 kPa and = 21° based
relationship proposed by Abrahamson and Silva 共1997兲 for a on undrained triaxial compression tests.
M w = 7.9 event as Sa共T = 1.5共0.55 s兲兲 = 0.26 g. The deterministic design earthquake scenario is represented by
First, the probability of zero displacements is computed the mean maximum magnitude for the South Hayward fault,
using Eq. 共3兲 with the values of ky = 0.14, Ts = 0.55 s, and which is M w = 6.9, at the closest rupture-distance of R = 1.1 km.
Sa共1.5 s兲 = 0.26 g as: P共D = 0兲 = 1 − ⌽共0.35兲 ⬇ 0.36. Hence, there is The best estimate of the spectral acceleration at the degraded
about a 35% probability of negligible displacements 共D 艋 1 cm兲 period of the dam, i.e., 1.5Ts = 1.5共0.33 s兲 = 0.5 s, can be com-
occurring. This is consistent with observations that found no sig- puted as the average of the median predictions from multiple
nificant deformations. There is still a finite probability 共⬃65% 兲 attenuation relationships. Using Abrahamson and Silva 共1997兲
of nonzero displacements 共i.e., D ⬎ 1 cm兲. The 16 and 84% ex- and Sadigh et al. 共1997兲 for the “rock” site condition for a strike-
ceedance levels of expected seismic displacements are calculated slip fault with M w = 6.9 and R = 1.1 km, Sa共0.5 s兲 = 1.09 and
using Eq. 共7兲 by computing the value of the seismic displacement 1.04 g, respectively. Thus, the design value of Sa at the degraded
共d兲 for which P共D ⬎ d兲 = 0.16 and 0.84, respectively 共e.g., by per- period of sliding mass is 1.07 g, its initial period is 0.33 s, and ky
forming GOAL SEEK in Excel兲. The respective values are 0 and is 0.14.
5 cm. These values are slightly different than the minus 1 and The probability of zero displacement occurring is
plus 1 s.d. values estimated using only Eq. 共5兲, because there is a computed using Eq. 共3兲 as P共D = 0兲 = 1 − ⌽共−1.76− 3.22 ln共0.14兲
finite probability of negligible displacements. This range of esti- − 0.484共0.33兲 ln共0.14兲 + 3.52 ln共1.07兲兲 = 0, so there is zero prob-
mated displacements 共i.e., 0 – 5 cm兲 represents the variability of ability of negligible displacements occurring for this event, or a
the seismic displacement given the values of ky, Ts, and Sa共1.5Ts兲 100% probability for displacements greater than 1 cm occurring.
and does not include the variability of these predictive variables Because the probability of negligible displacements is zero, the
in the calculations. As discussed in Travasarou et al. 共2004兲, the median estimate, and 16 and 84% exceedance values may be
variability in these parameters can be included in the calculations computed directly from Eq. 共5兲 using a standard deviation for the
to compute seismic displacement hazard. natural logarithm of the displacement of 0.66. Seismic displace-
ment is estimated from Eq. 共5兲 using the same design parameters
with M w = 6.9 as
Evaluation of the Seismic Performance of a
Representative Earth Dam ln共D兲 = − 1.10 − 2.83 ln共0.14兲 − 0.333共ln共0.14兲兲2
The anticipated performance of a representative earth dam in + 0.566 ln共0.14兲ln共1.07兲 + 3.04 ln共1.07兲
terms of seismically induced permanent displacements is evalu- − 0.244共ln共1.07兲兲2 + 1.50共0.33兲 + 0.278共6.9 − 7兲 ±
ated herein to provide an example of a forward analysis. The
共10兲
geometry and properties of the dam are similar to those for a dam
described in Harder et al. 共1998兲. The maximum cross section of Thus, the estimated displacements are, respectively,
the 57 m high rolled earth-fill dam, which is founded on fractured D = exp共ln共D兲兲 = exp共3.77兲 ⬇ 40 cm, D = exp共ln共D兲 − 兲 = exp共3.77
Downloaded 03 Apr 2009 to 128.193.15.52. Redistribution subject to ASCE license or copyright; see http://pubs.asce.org/copyright
− 0.66兲 ⬇ 20 cm, and D = exp共ln共D兲 + 兲 = exp共4.43兲 ⬇ 80 cm. motion records that have recently become available. The spectral
Because the standard deviation for the natural logarithm of dis- acceleration at a degraded period of the potential sliding mass
placement is 0.66, the 16% exceedance displacement value is 共Sa共1.5Ts兲兲 is the most efficient and sufficient single ground mo-
approximately half of the median estimate and the 84% exceed- tion intensity measure. Hence, the seismic displacement model
ance displacement value is approximately twice the median esti- depends significantly on this intensity measure, which optimally
mate. Hence, one could simply use Eq. 共5兲 to estimate the median characterizes the seismic loading. The system’s seismic resistance
seismic displacement and use a range from half this value to twice is best captured by its yield coefficient 共ky兲, but the dynamic
this value as the seismic displacement estimate range from ap- response characteristics of the potential sliding mass are also an
proximately 16 to 84% exceedance. The seismic displacement important influence, which can be captured by its initial funda-
due to deviatoric deformation is estimated to be between 20 and mental period 共Ts兲. This model attempts to capture the mecha-
80 cm for the design earthquake scenario. The direction of this nisms that are consistent with the Newmark method, i.e.,
displacement should be oriented parallel to the direction of slope deviatoric-induced displacement due to sliding on a distinct plane
movement, which will be largely horizontal. For the total crest and distributed deviatoric shearing within the slide mass.
displacement of the dam, a procedure such as Tokimatsu and Seed The proposed mixed random variable model separates the
共1987兲 would be required to estimate the vertical settlement due probability of zero displacement 共i.e., 艋1 cm兲 occurring from the
to cyclic volumetric compression of the compacted earth fill. distribution of nonzero displacement, so that very low values of
The same predictive equations can be used in a pseudoproba- calculated displacement that are not of engineering interest do not
bilistic approach where the properties of the dam are treated as bias the results. In this procedure, the probability of negligible
deterministic constants with values equal to their best estimates displacement occurring is first calculated using Eq. 共3兲. Then, the
and the spectral acceleration at the degraded period of the dam is amount of nonzero displacement is estimated from Eq. 共5兲. The
computed from a PSHA for specified levels of hazard. A project- 16 and 84% exceedance seismic displacement values may be
specific PSHA or the U.S. Geological Survey 共USGS兲 general computed using Eqs. 共7兲 and 共8兲 by solving for the displacement
PSHA 共http://eqhazmaps.usgs.gov/兲 may be used. The estimated value d that gives P共D ⬎ d兲 = 0.16 and 0.84, respectively. The 16–
seismic displacements may be viewed as being consistent with the 84% exceedance seismic displacement range can be estimated
level of hazard at which the ground motions have been estimated. approximately as half to twice the median estimate from Eq. 共5兲.
Two levels of hazard are considered for this case, which are In cases where the controlling magnitude cannot be discerned, Eq.
defined by a ground motion return period of 475 years 共i.e., 10% 共4兲 can be used to estimate seismic displacement. The first term of
probability of exceedance in 50 years兲 and of 975 years 共i.e., 5% Eqs. 共4兲 and 共5兲 changes for the special case of a nearly rigid
probability of exceedance in 50 years兲. The spectral acceleration Newmark sliding block 共i.e., Ts ⬃ 0 s兲 to obtain Eq. 共6兲 for
at the degraded fundamental period of the sliding mass is given example.
by the USGS at the hypothetical dam location of N37.733- The proposed seismic displacement model provides estimates
W122.117 as Sa共0.5 s兲 = 1.2 g and 1.6 g for the 474 and 975 year of seismic displacements that are generally consistent with docu-
return periods, respectively. mented cases of earth dam and solid-waste landfill performance.
Using Eq. 共3兲 with the same slope parameters as in the deter- It also provides assessments that are not inconsistent with other
ministic case with Sa = 1.2 g, the probability of zero displacement simplified methods, but does so with an improved characteriza-
is computed to be 0. The estimated displacement can be computed tion of the uncertainty involved in the estimate of seismic dis-
from Eq. 共5兲 using the modal magnitude from the deaggregation placement. The proposed model can be implemented rigorously
of the hazard, which is dominated by one fault for this case, as within a fully probabilistic framework for the evaluation of the
M w = 6.85. The median seismic displacement for the 475 year re- seismic displacement hazard, or it may be used in a pseudodeter-
turn period ground motion level is estimated to be 50 cm and the ministic analysis. In all cases, however, the estimated range of
16–84% range of displacements is 25– 100 cm 共i.e., about half seismic displacement should be considered merely an index of the
and double, respectively, of the median estimate兲. Similarly, for expected seismic performance of the earth/waste structure.
the 975 year return period ground motion, Eq. 共3兲 estimates a zero
probability of zero displacements. The model magnitude is still
6.85 at this hazard level and period, but with the higher level of Acknowledgments
spectral acceleration of 1.6 g, large seismic displacements are es-
timated using Eq. 共5兲 with a median estimate of 85 cm and Support for this work was provided by the Earthquake Engineer-
45– 165 cm at the 16 to 84% exceedance levels. ing Research Centers Program of the National Science Founda-
tion under Award No. EEC-2162000 through the Pacific
Earthquake Engineering Research Center 共PEER兲 under Award
Conclusions Nos. NC5216 and NC7236. Additional support was provided by
the David and Lucile Packard Foundation. Discussions with Pro-
A simplified semiempirical predictive model for estimating seis- fessor Armen Der Kiureghian of the University of California at
mic deviatoric-induced displacements has been developed. The Berkeley, Professor Ross Boulanger of the University of Califor-
Newmark-type model for evaluating the seismic performance of nia at Davis, and Jacob Chacko of Fugro-West Inc. were
an earth dam, natural slope, compacted earth fill, or municipal invaluable.
solid-waste landfill is an advancement, because it is based on the
results of nonlinear fully coupled stick-slip sliding block analyses
using a comprehensive database of 688 pairs of horizontal com- References
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