1. HAZARD ASSESSMENTLl Liquefaction and Seismicity: Potential at Specific U.S. Areas1993 NATIONAL EARTHQUAKE CONFERENCE Earthquake Hazard Reduction in the Central and Eastern United States: A Time for Examination and Action EARTHQUAKE INDUCED SETTLEMENTS FOR NEW ENGLAND SEISMICITY ©. Soydemir! ABSTRACT Based on the simplified approximate methodologies proposed by Tokimatsu and Seed (1984, 1987) and Ishihara and Yoshimine (1992), charts were developed to estimate earthquake induced settlements in saturated as well as dry sands relative to New England seismicity. The charts are directly usable requiring only adequate SPT (blow count) data and the position of the groundwater table for a project site. A magnitude 6.5 earthquake with a peak ground acceleration of 0.12 g was adopted to characterize a "design earthquake" for the New England region. INTRODUCTION Since the 1964 Niigata, Japan and Alaska earthquakes potential instability of saturated, loose sand deposits and fills under ground shaking has been identified as a major design issue for geotechnical-earthquake engineers. Such instability may manifest itself in the form of sliding of slopes, flow slides of near horizontal ground, lateral spreading, loss of bearing capacity and/or settlements. A previous study was undertaken by the author (Soydemir, 1986) to develop practical "design tools" for direct use of the engineer to make an estimate of seismically induced settlements in New England within the scope of a conventional geotechnical investigation. This study is an extension of the previous work and considers dry sand, saturated sand and composite profiles. The "tools" presented herein may be applicable for any region of moderate seismicity such as several segments of the eastern United States. ' Vice President, Haley & Aldrich, Inc., Cambridge, MA 02141FACTORS AFFECTING SEISMICALLY INDUCED SETTLEMENTS Saturated Sands For saturated sands effective stress principle explains that if dr: occur, constant volume conditions are maintained during ground shaking and excess porewater pressures are generated. Subsequently reconsolidation settlement occurs as excess porewater pressures dissipate. Lee and Albaisa (1974) observed that besides with decreasing relative density the excess porewater pressures increase with increasing Ds, size of the sand up to the initial liquefaction stage (i.e., pore pressure ratio of 100%). At the Eight World Conference Tatsuoka et al., (1984) reported that relatively large reconsolidation volumetric strains can occur due to the cyclic loading beyond initial liquefaction, and magnitude of such volumetric strains could be related to the maximum shear strain induced during the post-liquefaction phase. Tokimatsu and Seed (1984, 1987) amplified the significance of post-liquefaction shear strains, and compiling the laboratory test data reported by Tatsuoka et al., (1984), Lee and Albaisa (1974), and ‘Yoshimi et al., (1975) established empirical correlations between reconsolidation volumetric strain and initial relative density for different levels of maximum shear strain (Figure 1). Based on these correlations Tokimatsu and Seed (1984, 1987) further proposed a simplified approximate procedure for the evaluation of seismically induced settlements Nagase and Ishihara (1988) and Ishihara and Yoshimine (1992) investigated the volume change behavior of saturated clean sands due to cyclic loading and also established relationships between reconsolidation volumetric strain and initial relative density for different levels of post-liquefaction maximum shear strains (Figure 1). Similarly, Ishihara and Yoshimine (1992), using these relationships, proposed a methodology to estimate earthquake induced settlements in saturated clean sands. Tokimatsu-Seed and Ishihara-Yoshimine procedures were utilized in the study. Dry Sands Silver and Seed (1971) based on laboratory cyclic load test results established that in dry sands volumetric strain is controlled by initial relative density, magnitude of the induced cyclic shear strain and the number of strain cycles. Extending this observation Seed and Silver (1972) proposed a procedure for estimating seismically induced settlements in dry sand, which requires a response analysis to determine the induced maximum shear strain profile for the soil stratum. Subsequently the procedure was modified by Pyke et al, (1975) to take into account the important effect of multidirectional shaking, Tokimatsu and Seed (1984, 1987) proposed an approximate simplified procedure for evaluation of seismically induced settlements in dry sands without the need of a response analysis. This procedure was utilized in the study.06 7 r r \ VOLUMETRIC STRAIN: z os ‘fy 2 doe 2 z & 04 0s 2? : oss 2 : 2os a 5 N SN] fos = 2th ~ “43 a 3 P — rowmarsu ano 1) ae . ‘SEED, 1967 ~ 02 ~~ Sihaas ano ~— 2 YeSHiMINe Toe 1 1 on on ° 2a ait RELATIVE DENSITY, 0, 6) bet o 10 20 30 0 ° 5 a a ay a) re FIGURE 1. Data on relative density- FIGURE 2. Cyclic stress ratio-(N,)aor maximum cyclic shear volumetric strain for saturated strain-volumetrie strain for clean sands (Tokimatsu and saturated clean sands. Seed, 1987). SPT - BLOW COUNT (DONUT HAMMER) SPT - BLOW COUNT (OONUT HAMMER) ° 10 20 ° 10 20 LAE GRE ory + SAND e . toh : ‘Saturated i SES 5 ae 2k og g & SATURATED. g # ‘SAND = =f ne 4 i 2 aah 3 f 4 : so | | 20 a 3 “0 1s SPT - BLOW COUNT (SAFETY HAMMER) SPT - BLOW COUNT (SAFETY HAMMEA) FIGURE 3. FIGURE 4. Depth-SPT-volumetrie strain Depth-SPT-volumetric strain for saturated clean sands: M=6.5, ajq¢=0.12 g earthquake. for saturated clean sands; M=6.5, aga=0-12 g earthquake.DESIGN EARTHQUAKE FOR NEW ENGLAND New England represents an intraplate region with moderate seismicity. Historical seismicity, possible earthquake source mechanisms and selection of a “design earthquake" for New England were reviewed by Soydemir (1987). Based on the recommendations of the Massachusetts Seismic Advisory Committee, a magnitude 6.5 earthquake with an associated peak ground acceleration of 0.12 g has been adopted as a representative "design earthquake" in preparation of the initial as well as the subsequent modifications of the earthquake resistant design requirements in the Massachusetts State Building Code for the past two decades, including criteria on evaluation of initial liquefaction. ‘The same "design earthquake" has been generally considered representative for the other New England states and used in geotechnical-earthquake engineering practice in the region. Accordingly, a magnitude 6.5 earthquake and a peak ground acceleration of 0.12 g was adopted as the relevant seismic input in this study. EARTHQUAKE INDUCED SETTLEMENTS IN SATURATED SAND Tokimatsu-Seed Procedure Tokimatsu and Seed (1984, 1987) compiled laboratory cyclic shear test data reported by other researchers on pre-liquefaction and post-liquefaction volumetric strain behavior of saturated clean sands as represented by best-fit curves in Figure 1 for the maximum shear strain levels at 2, 5, 10 and 15 percent. These data were integrated with the relationship between maximum (limiting) shear strain, cyclic shear stress ratio and normalized SPT N-value, (N,)ay developed by Seed et al., (1984, 1987) for a magnitude 7.5 earthquake. The result is presented as Figure 2. Tokimatsu and Seed (1984, 1987) indicated that in Figure 2 the initial liquefaction curve (M=7.5) approximately corresponds to the 0.5% volumetric strain curve, and for loose to medium sands post- liquefaction volumetric strains may be as high as 2 to 3% and even higher for very loose sands. Figure 2 which was developed for a 7.5 magnitude earthquake may be directly utilized for a magnitude 6.5 earthquake, adopted for the study, by rescaling the cyclic shear stress ordinate as proposed by Seed et al.. (1983). This modification is shown on the right hand side in Figure 2. The modified Figure 2 was used in developing Figures 3, 4 and 5, which correspond to conditions of groundwater level at the ground surface, and 15 ft. and 30 ft. below ground surface, respectively. In developing Figures 3, 4 and 5, cyclic shear stress ratios. r,,/o,', were computed at S ft. depth intervals using the Seed and Idriss (1971) formulation: CalOQ') = 0 65 (AaB )(O/0' Ita Q) where o, and o,’ are the total and effective vertical stresses, respectively; r, is the flexibility coefficient for the ground mass, and a,,, Was taken as 0.12 g. Unit weights ofthe saturated and dry sand were selected as 116 and 110 pef, respectively, and no capillarity effect was considered. From the modified Figure 2, for each computed (1,/0,") value volumetric strains were determined for incrementally increasing (N,)so values. Each volumetric strain value was plotted as a data point, and volumetric strain contours for 5, 4, 3, 2, 1 and 0.1% were established by linear interpolation. Horizontal axes in Figures 3, 4 and 5 are provided for both safety and donut hammer, considering the respective hammer energies transmitted to the sampling spoon (Soydemir, 1987). The donut hammer is still widely used in New England practice. In using Figures 3, 4 and 5, the engineer simply selects the appropriate figure determined by the position of the groundwater table, and directly reads the volumetric strain for each blow count value, usually obtained at 5 ft. intervals in test borings. Subsequently, individual volumetric strain values are multiplied with the corresponding depth intervals to obtain corresponding settlement increments which are then added to compute the anticipated total settlement at a particular boring location. An average total settlement for the site may be estimated by considering all test borings or settlements obtained at individual test boring locations may be compared to assess potential differential settlements across the site. The procedure is applicable only to level sites Ishihara- Yoshimine Procedure Ishihara and Yoshimine (1992) conducted a series of cyclic simple shear tests on samples of Fuji River sand prepared at initial relative densities of 47, 73 and 93 percent, and measured the reconsolidation volumetric strains associated with maximum shear strains induced over the entire range of pre-liquefaction, initial liquefaction and post- liquefaction, Volumetric strains corresponding to maximum shear strain levels of 2, 5 and 10-15% are included in Figure 1 for comparison with the base data used by Tokimatsu and Seed (1984, 1987). In order to determine the magnitude of potential maximum shear strain corresponding to a particular initial relative density, or N, value, [shihara and Yoshimine (1992) introduced the concept of factor of safety relative to the resistance to initial liquefaction defined as: F, = (04/20,')nol(Gal205')-0 2) where o, indicates the amplitude of the axial stress required to cause 5% double- amplitude axial strain in 20 cycles in the cyclic triaxial test, which is widely accepted Japan as the state of initial liquefaction, , denotes the amplitude of the axial stress corresponding to the shear stress induced by an earthquake. Consequently, a condition of F, = 1.0 implies a state of cyclic softening producing 5% double-amplitude axial strain, and a factor of safety less than unity represents a condition in which more than 5% double-amplitude axial strain is produced. Axial strain, ¢,, in the triaxial test may betransformed to shear strain, +, in the simple shear test by (Ishihara and Yoshimine, 1992) yelse @) Compiling extensive laboratory test data on the Fuji River sand, Ishihara and Yoshimine (1992) established a family of relationships between factor of safety, F,, maximum shear strain, y,,, and initial relative density or (N,)yp value. These relationships are reproduced in Figure 6, which was utilized in developing Figure 7, similar to Figure 3, to estimate earthquake induced settlements for clean saturated sands relative to New England seismicity. In developing Figure 7, it was considered that Figure 6 is directly applicable to a “large” earthquake characterized by 20 cycles (i.., at 0.657, level) of ground shaking, and would correspond to an earthquake magnitude slightly above 7.5 (Seed et al., 1983) However a magnitude 6.5 earthquake adopted for New England would be characterized by 8 to 9 cycles of shear stress application at 0.65 Ta, Accordingly, o and thus F, in Equation 2 would have relatively greater values for a magnitude 6.5 earthquake than a magnitude 7.5 earthquake. The respective adjustments in oy and F, values were made by applying scale factors proposed by Seed et al., (1983). In addition, in Figure 6 the N, values are specified for the Japanese SPT practice. Tokimatsu and Seed (1984, 1987) proposed correction factors to convert Japanese N, values to (N;)ip values (i.e., average safety hammer practice in USA). This correction factor was also used in developing Figure 7, EARTHQUAKE INDUCED SETTLEMENTS IN DRY SAND Tokimatsu-Seed Procedure The procedure proposed by Tokimatsu and Seed (1984, 1987) to estimate earthquake mduced settlements in dry sand does not involve a response analysis and thus it is approximate in this respect. It is a simplified version of the more rigorous Seed and Silver (1972) method of analysis. The procedure uses an empirical correlation to evaluate shear modulus at low strain level for a given (N,)io value. Based on the laboratory test data by Silver and Seed (1971) on dry sand, Tokimatsu and Seed (1984, 1987) developed a relationship between volumetric strain, shear strain and (N,)q for a magnitude 7.5 earthquake In addition. correction factors were provided to estimate volumetric strains for earthquakes with magnitudes other than 7.5. Tokimatsu and Seed (1984, 1987) also recommended that the settlements estimated by the procedure be doubled to take into account multidirectional shaking effects established by Pyke, et al. (1974). This procedure was utilized in developing Figure 8 to estimate earthquake induced settlements in dry sand deposits or fills relative to New England seismicity. Figure 8 is also applicable for the dry upper zone of a profile with groundwater level at some depth, and st is to be used in conjunction with Figures 4 and 5 10SPT - BLOW COUNT (QONUT HAMMER) 0 10 © 4 : | i a 20 | En E CAL ap £4 8 8 a cae 50 : ois oad we ‘SPT - BLOW COUNT (SAFETY HAMMER) FIGURE 5. Depth-SPT-volumetric strain for saturated clean sands; M=6.5, Aga=0-12 & earthquake. SPT - BLOW COUNT (DONUT HAMMER) ° 10 20. *Y saturates ‘SAND i Le 4 1 : DEPTH (FEET) & T sot 2 FIGURE 6. Volumetric strain as function of factor of safety (Ishihara and Yoshiming"1992). SPT - BLOW COUNT (DONUT HAMMER} ° 10 20 30 40 mT T TT 0.008% T oor DEPTH (FEET) 60 10 20 SPT - BLOW COUNT (SAFETY HANMER) FIGURE 7. Depth-SPT-volumetric strain for saturated clean sands; M=6.5, @j¢=0.12 g earthquake. 20 30 T . BLOW COUNT (SAFETY HAMMER) FIGURE 8. Depth-SPT-volumetric strain for dry sands; M=6.5, =0.12 g earthquake. AnasFrom Figure 8 it may be noted that volumetric strains in dry sand are about an order of magnitude smaller than those in saturated sands (Figures 3 and 7) at equal relative densities and under the same intensity of ground shaking. CONCLUSIONS Methodologies proposed by Tokimatsu and Seed (1984, 1987) and Ishihara and ‘Yoshimine (1992) provide a base to develop directly usable design "tools" to estimate earthquake induced settlements in saturated clean sands as well as dry (unsaturated) sands and composite profiles for a region of particular seismicity. Such an exercise was undertaken for New England, a region of moderate seismicity characterized by a magnitude 6.5 earthquake and a peak ground acceleration of 0.12 g for this study. The use of Figures 3, 4, 5, 7 and 8 in assessing a project site requires only adequate SPT data and position of the groundwater table. The figures (charts) provided are applicable only for clean sands, that is material passing the No. 200 sieve being not more than 5%. Increase in resistance to initial liquefaction with increasing silt content is well established and incorporated in liquefaction analysis by Seed et al., (1985), and with specific application to New England by Soydemir (1987). Lee and Albaisa (1974) established that volumetric strains decrease with decreasing D.y size up to the initial liquefaction stage. O'Rourke et al., (1991) used the Tokimatsu-Sced procedure and obtained results which agreed well with observed settlements in the saturated clean sand fills in the Marina District, San Francisco, during the 1989 Loma Prieta earthquake, however, the procedure overestimated the settlements which occurred in the silty sand fills by about 100 percent, Accordingly, estimation of seismically induced settlements in silty sands requires special attention and is the subject of an on-going study by the author. A comparison of Figure 3 with Figure 7 reveals that the Tokimatsu-Seed and Ishihara-Yoshimine methods agree well in the medium dense to dense range, that is in the 0.1 to about 2% volumetric strain range. however, Ishihara-Yoshimine method would estimate relatively greater volumetric strains in the loose to very loose range for saturated clean sands. An explanation for this difference may be found in Figure 1, which exhibits relatively larger volumetric strains by Ishihara and Yoshimine (1992) in the low relative density-high shear strain zone. Differences in grain size distributions of sand deposits. even though they may be all clean sands, and modes of laboratory induced shear strains (e.g., triaxial, simple shear and torsinal shear) may possibly affect the volumetric strains especially for loose to very loose sands subjected to relatively large shear strains.ACKNOWLEDGEMENTS Haley & Aldrich, Inc. Professional Development Program contributed to the preparation of the paper. Ms. A. Welch drafted the figures, and Mr. J. Wolbrink typed the manuscript. These contributions are greatly appreciated, 3. REFERENCES K. Ishihara and M. Yoshimine. "Evaluation of Settlements in Sand Deposits Following Liquefaction During Earthquakes’. Soils and Foundations 32, 1 (March 1992): 173-188. K. L. Lee and A. Albaisa. "Earthquake Induced Settlements in Saturated Sands", J. Geotechnical Eng. ASCE 100, GT4 (April 1974): 387-406. H. Nagase and K. Ishihara. "Liquefaction Induced Compaction and Settlement of Sand During Earthquakes’. Soils and Foundations 28, 1 (March 1988): 66-76. T.D. O'Rourke, T.E. Gowdy, H.E. Stewart and J W. Pease. "Lifeline Performance and Ground Deformation in the Marina During the 1989 Loma Prieta Earthquake”. Report No. NCEER-91-0001, National Center for Earthquake Eng. Research, Buffalo, Feb. 1991. R. Pyke, H.B. Seed and C.K. Chan. "Settlement of Sands under Multidirectional Shaking". J. Geotechnical Eng., ASCE 101, GT4 (April 1975): 379-398. H. B. Seed and LM, Idriss. "Simplified Procedure for Evaluating Soil Liquefaction Potential’, J. Soil Mechanics and Foundations, ASCE 97.SM9 (Sept. 1971): 1249-1273. H. B. Seed and M. L. Silver. "Settlement of Dry Sands During Earthquakes" Soil Mechanics and Foundations, ASCE 98, SM4 (April 1972): 381-397. H. B. Seed, I. M. Idriss and I. Arango. “Evaluation of Liquefaction Potential Using Field Performance Data’. J. Geotechnical Eng., ASCE 109.GT3 (March 1983): 458-482. H. B. Seed, K. Tokimatsu, L. F. Harder and R. M. Chung. "The Influence of SPT Procedures in Soil Liquefaction Resistance Evaluations". J. Geotechnical Eng., ASCE 111, GT12 (Dec. 1985): 1425-1445 M. L. Silver and H. B, Seed. "Volume Changes in Sands During Cyclic Loading’. J. Soil Mechanics and Foundations, ASCE 97,SM9 (Sept. 1971)" 1171-1182.u iW C. Soydemir. "Seismically Induced Settlements: Two Models for New England.” Proceedings, Third U.S. National Conf. on Earthquake Eng., Charleston, 1 (Aug 1986): 565-576, C. Soydemir. "Liquefaction Criteria for New England Considering Local SPT Practice and Fines Content’. Proceedings, Fifth Canadian Conf. on Earthquake Eng., Ottawa July 1987): 519-525. F. Tatsuoka, T. Sasaki and S. Yamada. "Settlement in Saturated Sand Induced by Cyclic Undrained Simple Shear". Proceedings, Eight World Conf. on Earthquake Eng,, San Francisco, 3 (July 1984): 95-102. K. Tokimatsu and H_ B. Seed. "Simplified Procedures for the Evaluation of Settlements in Clean Sands." Report No. UCB/EERC-84/16. University of California, Berkeley, Oct. 1984. K. Tokimatsu and H. B. Seed. "Evaluation of Settlements in Sands due to Earthquake Shaking’. J_Geotechnical Eng. ASCE 113,GT8 (Aug. 1987): 861- 878. 4