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By Don Deardorff, Ke Yang, Yingcai Han, Ken Sorensen, Robert Kruger, Mark Petersen, Diane Fiorelli, Larry Goldfarb, Kathryn Petek, Kwabena Ofori-Awuah

Design of deep foundations for lateral loads requires an understanding of soil-foundation-structure response during loading. Lateral loads on a deep foundation (piles) could be due to earthquakes, winds, waves, and/or machine vibrations. Over the years, analysis of response of piles due to lateral loads evolved from closed-form solutions to p-y methods to strain wedge to finite element/finite difference modeling. Although analysis of lateral response of piles and shafts is routinely performed, there is no single guidance document and/or standard for design and testing. Several different analytical methods are available for the analysis, and the resulting design can result in significantly different responses which can create confusion. This is especially true for analyzing and designing piles in potentially liquefiable soils with lateral spread issues under seismic conditions.This guidance document is intended to assist geotechnical engineers, pile designers, and contractors in analysis, design, and testing of piles and drilled shafts for lateral loads. This document discusses the background of different analytical and testing procedures and presents the recommended methods for analysis, design and testing of piles for lateral loads.Chapter 1 defines the different kinds of lateral loads to which a single pile or pile group may be subjected. This first chapter also presents different types of piles used to resist lateral loads.Chapter 2 discusses geotechnical issues related to lateral pile design such as liquefaction and lateral spreading and other non-seismic issues. Also addressed in Chapter 2 is geotechnical site characterization (as related to lateral loads) in terms of site investigation, in-situ testing, geophysical testing, laboratory testing, and estimation of soil/rock properties.Chapter 3 discusses the background and available analytical methods and tools for the analysis and design of single piles and drilled shafts. Several methods of analyses from closed-form elastic solutions to the finite element/finite difference solutions and their applicability are discussed. Available commercial computer software packages for analyzing single piles and drilled shafts are also presented.Chapter 4 expands the discussion of single piles and drilled shafts into the analysis and design of pile groups. In addition, group effects, resistance of pile caps, results of previous experimental and analytical studies, and available analysis tools and software for pile groups are discussed.Chapter 5 presents the issue of lateral resistance of piles and drilled shafts as discussed in different national and international building and non-building codes. A summary of extensive research on several codes are presented to facilitate the compliance with different codes.Chapter 6 discusses structural design issues of individual piles and drilled shafts such as depth of fixity.Chapter 7 discusses soil structure interaction issues related to kinematic and inertial effects due to seismic loading and available methods of analyses.Chapter 8 discusses and presents the typical procedures for the lateral load testing of piles. This guideline was developed as an aid to the practicing engineer in providing information, direction and commentary on the lateral design of deep foundations. Although all reasonable effort has been made to accurately compile the material and information contained herein, no warranty is made with regard to any such material or information and the Deep Foundation Institute assumes no responsibility for any possible errors or any direct or indirect result of the use of any such material or information. It is not intended that this document address every factor affecting lateral design for every situation. Therefore it is the responsibility of the person utilizing information from this document to confirm that it is appropriate and correct for their situation as well as to understand and properly apply

Jan 1, 2012

By Lok M. Sharma

"Construction of a new bridge in a seismically sensitive area requires careful assessment of earthquake impact on the serviceability of the facility. Not only is the superstructure vulnerable, the foundations play a key role in the bridge’s survivability. A new bridge in eastern part of the state of Missouri in the U.S.A. is located in a seismically active area and hence subject to additional thrust on the foundations and superstructure and potential damage due to liquefaction. An eleven span bridge with foundation soils varying from shallow bedrock to over 30 m (100 feet) overburden soils were considered for the bridge support piers. Two of the bridge support bents located within the flood plain area through over 30m (100 feet) of alluvial deposits were considered most affected by an earthquake event due to the additional thrust and lateral ground spreading. This paper describes the determination of site specific seismic hazard, numerical modelling of the foundation system, and methodology of dynamic analyses, effects of lateral spreading and liquefaction potential on bridge support bents. From numerical modelling using FLAC, the increase in thrust on piers and deformations were computed to predict the behavior of the foundations.INTRODUCTIONA newly constructed bridge on route US 40 crosses the Missouri River west of St. Louis, Missouri and upstream of Mississippi River in mid-west USA. The west abutment area has near surface bedrock while the east abutment area has overburden deposits over 30m (100 feet) thick, mostly river sediments comprising of silts, lean clays and sands overlying bedrock. Softer layers of silts and sands in the east river bank area are assessed to be liquefiable during a high magnitude earthquake event. St Louis area has a potential for a high magnitude earthquake due to the New Madrid Fault some 160km (100 miles) south. The bridge foundations were designed as drilled piers, 2 m (8 feet) in diameter and socketed into the bedrock. Bents No. 10 and 11, located in the lower flood plain area of the river, are considered to be most affected by a seismic event.In order to perform dynamic analyses of the foundations, earthquake ground motion time history was developed for the specific site using a Probabilistic Seismic Hazard Analysis (PSHA) and selecting and scaling of a recorded time history. Relying on the U.S. Geological Survey (USGS) Earthquake Hazard Program for the PSHA and AASHTO Guide Specifications for LRFD Seismic Bridge Design, spectral acceleration values for the site were developed. The spectral acceleration values were for a 7 percent probability of exceedance in 75 years (1000 year return). Numerical modelling using FLAC computer program was performed. This paper presents the seismic design parameters, methodology used in the dynamic analyses, static and dynamic analyses, impact and mitigation of liquefaction on Bents 10 and 11 and the abutment fills, and effect of lateral spreading on the foundations in the lower flood plain area of the bridge. From the numerical modelling, increase in thrusts on pier foundations and estimated deformation were computed."

Jan 1, 2017

By Yiming Sun

The 5-mile long Bay Tunnel is a major water supply facility to be constructed under the San Francisco Bay and adjacent marshlands between the San Andreas Fault to the west and the Hayward Fault to the east. The tunnel will have a two-pass lining system consisting of a watertight precast concrete segmental initial lining and a welded steel pipe final lining. Considering the Bay Tunnel?s location between two major active faults, the design earthquake produces a significant peak ground acceleration estimated at approximately 0.6g. To develop a design that can achieve the seismic performance objectives, full dynamic seismic analyses were performed using site-specific earthquake time histories. The analyses considered soil-structure interaction and an evaluation of the transverse and longitudinal effects of the design earthquake. This paper describes the seismic analyses and the design measures recommended to minimize potential adverse effects of the design earthquake on the tunnel final lining.

Jan 1, 2008

By Bill Cain, David F. Tsztoo, R. John Caulfield, D. Scott Kieffer

In 1994, the East Bay Municipal Utility District (EBMUD) commenced a system-wide Seismic Improvement Program to protect their facilities from catastrophic damage. A primary focus of this program has been on retrofitting the 75-year old Claremont Tunnel, which crosses the active Hayward Fault zone. A large earthquake on the Hayward Fault could generate enough right-lateral fault slip to effectively sever this important lifeline. The retrofit project involves construction of a new bypass tunnel through the Hayward Fault zone, together with systematic contact grouting and localized structural repair of the existing concrete liner. Several innovative design measures have been incorporated into the seismic retrofit design, including an oversized tunnel cross section, backfill concrete side drifts, seismic isolation of an internal structural pipe, and shear fuses in the final lining.

Jan 1, 2005

By A. J. Hendron, J. E. Monsees

INTRODUCTION This paper is the outgrowth of work done by the authors to prepare the seismic design criteria for underground structures on the Southern California Rapid Transit District (SCRTD) Metro Rail Project. It is a follow-on to a similar paper presented at the October, 1984, ASCE National Convention (17). For design, the earthquake-induced distortions recommended herein are to be added to the normal static loading conditions for the underground structure. This design approach has been used by 18 section designers on the SCRTD Project. Preliminary results from two- and three-dimensional finite element solutions have partially verified the approach. Areas where additional research is needed for special cases are identified. EFFECTS OF EARTHQUAKE The effects of earthquakes on underground structures may be broadly grouped into two general classes -shaking and faulting. In response to earthquake motion of bedrock (shaking) , the soil transmits energy by waves. Seismologists identify various types of earthquake waves, but underground engineers are generally interested in the effects of transverse shear waves which produce a displacement of the ground transverse to the axis of wave propagation. The orientation of propagation is generally random with respect to any specific structure. Waves

Jan 1, 1985

By R. Fritschen

In order to investigate locations, source parameters, and source mechanisms of mining induced seismic events, a local network of seismic stations was installed at a coal mine in the eastern part of the Ruhr District (Germany). The recorded events were located with the help of an anisotropic velocity model, which accounts for the fine layering of the carboniferous strata. Most of the events took place about 50 m above the working Luise 76-10. Their locations correlated with the advancing working face, and the number of events increased when pillar edges were undercut. The source mechanism, i.e., the orientation of the fracture plane and the direction of displacement on this plane, could be determined for several seismic events. The majority of them was characterized by a fracture plane parallel to the working face and an almost vertical dislocation on this plane towards the goaf a mechanism resembling the breaking down of the hanging wall. The fracture plane had a dimension of about 100 m. Probably the fracturing of a sandstone layer, located approximately 40 m above seam Luise, was responsible for the observed seismicity

Jan 1, 1999

By Axel Preusse

Underground coal mining can cause seismic events. There is currently no way to predict such phenomena reliably, in particular stronger events. That is why, according to the current state of the art, empirical methods are employed in this field. Some assessment criteria, which relate to the geological and mining situation and either stimulate or rather help to avoid seismic events, are presented in this paper. These criteria are examined for a practical mining situation in Germany, with a view to estimate possible seismic events.

Jan 1, 2009

By R. W. Mossman, George E. Heim

Seismic exploration techniques offer the engineer and geologist a way of obtaining detailed information on the physical parameters and geometry of the rocks where extensive underground excavation or tunneling is proposed. Use of the seismic method can provide a greater amount of detailed information at relatively less cost than can be obtained by any other known subsurface exploration method. Boreholes are still required for calibration of the seismic data but at a much wider geographic spacing than otherwise would be needed for subsurface mapping. The seismic data can define with precision the actual location of zones of flexure or fracture of the rocks and reveal the configuration of the surface of the rock layers. ENGINEERING PROBLEMS One of the major requirements in the planning of subsurface installations is that of locating tunnels and other underground openings in favorable rock units. Such rock units should exhibit uniformity of composition, both vertically and horizontally, to minimize variation in excavation techniques. The depth and thickness of the unit must be known: a 30-foot diameter tunnel cannot be contained in a 25-foot thick limestone. The rock unit needs to be as free as possible from structural defects and should be suited to efficient excavation procedures. If liquid conduits are planned, the slope of the rock unit needs to be known so that maximum advantage can be taken of gravity flow with the tunnels wholly contained within the unit.

Jan 1, 1997

A Seismic Hazard Scale (SHS) has been developed to provide a practical seismic hazard assessment tool applicable to mine site personnel. It has been applied to seismic data sets from numerous Western Australian mines. The SHS is applicable when quantifying seismic hazard on a mine wide scale, on a mining block scale, and on a local cluster-by-cluster scale. Spatial mapping of variations in seismic hazard is a particularly powerful application of the scale. The SHS is sensitive to temporal increases in seismic hazard. It has also been shown that the SHS can be applied to estimate seismic hazard when seismic monitoring data are not available. The SHS is a simple derivation of the Gutenberg-Richter relation. There are assumptions and limitations to the SHS that need to be considered when applying it to mine seismicity data.

Jan 1, 2004

By Arash Khosravifar, Matt Steffan

An expansion of the City of Klamath Falls Wastewater Treatment plant required geotechnical seismic hazard evaluations and deep foundation design. The site is located on the shore of Lake Ewauna and is underlain by diatom rich lake deposits. Diatomaceous soils exhibit unique engineering properties that are not well understood. Cyclic Direct Simple Shear (CDSS) testing was performed on three undisturbed samples to evaluate cyclic and post-cyclic properties of the diatomaceous soils. Results from the CDSS testing indicated that the soils would not liquefy in the classical sense, though cyclic softening behavior was observed. The CDSS results were used to develop a Cyclic Resistance Ratio curve for the diatomaceous soil to compare with clean sand liquefaction curves. Seismic lateral pile capacities were developed using two approaches. One approach used conventional p-multipliers for liquefied soil and modified them to reflect expected excess pore pressure ratios. The other approach applied residual strength and fifty percent strain values from post-cyclic monotonic shear testing. A lateral spread hazard zone was identified along the Lake shoreline and reduced, seismic lateral pile capacities were recommended. The objective of this paper is to report the seismic design considerations for this project in a unique geologic and seismic setting. INTRODUCTION The engineering properties of diatomaceous soils have rarely been studied and the cyclic behavior under seismic loading is generally unknown. Some of the critical geotechnical uncertainties of diatomaceous behavior include potential for large consolidation settlement, influence of irrecoverable strains due to diatom particle crushing, shear strength (peak and residual), and cyclic properties. This paper presents results of cyclic shear testing, seismic evaluations and seismic lateral pile design in diatomaceous soils performed for the expansion of a waste water treatment plant in the city of Klamath Falls, Oregon, site of the largest recorded earthquake in Oregon’s history. The expansion consisted of adding six new facilities at the existing Plant including influent pump station (IPS) and headworks, aeration basin, tertiary treatment, and other buildings. The IPS/headworks and aeration basin will be founded approximately 15 feet below ground. The other buildings will be founded at grade. The existing facilities are supported by timber piles that penetrate the surficial diatomaceous soils and terminate on a hard underlying deposit. Figure 1 shows the site plan and proposed additions.

Jan 1, 2018

By Cadman S. J

( The central part of the Gippsland Basin is surrounded by existing major Petroleum accumulations and although six exploration wells have been drilled in the area, none are significant petroleum discoveries. Post drilling analyses indicate that the wells were drilled off structure due to the presence of high-velocity Miocene channels. These channels contain carbonates of significantly higher interval velocity than the surrounding sediments. Problems with seismic interpretation were thus encountered in the development of prospects in the central part of the Gippsland Basin as part of a BMR prospectivity study. The seismic interpretation problems associated with the Miocene channels are two-way time pull-ups at the underlying top of Latrobe Group and deeper levels on the seismic sections. Interpreted seismic sections passing through some of the exploration wells and the Miocene channels are presented to illustrate the configurations of these channels and the pullup effect associated with them. Two different methods of depth conversion were applied, one for the area below the high velocity channels and the other for the area away from the channel. The application of these two methods of depth conversion were found to be reasonably successful in correcting for the pull-ups caused by the high velocity Miocene channels. Mapping of the events near the top of Latrobe Group and near Base Lower L balmei seismic horizons has led to the identification of several potential structural closures. Further exploration efforts are necessary in this area to test these closures.

Jan 1, 1992

By Robert B. Johnson

The refraction seismic method has been used as an indirect means of exploring for fluorspar in southern Illinois by the Illinois State Geological Survey. Use of the method has been restricted to those areas where mineralization is associated with faults, a restriction necessitated by the operating principles of the refraction method. The seismic data enable the interpreter to locate fault zones in the subsurface and, under ideal circumstances, to make estimates of dip direction and magnitude and vertical displacement provided the local stratigraphic units are known and are geophysically recognizable. In this instance, refraction seismic exploration has been successful in the surface mapping of well-developed faults, both simple and complex with which fluorspar may or may not be associated. However, less clear results have been obtained where faulting has been less severe and where there are numerous accompanying mineralized joints.

Jan 1, 1964

By D Vrkljan, Z Ester

Excavating the building pit for the World Trade Center at Rijeka, it was necessary to blast over 160000 m3 of hard mass in fused condition. The building pit is located at a densely populated residential part of the main Croatian port Rijeka, close to the railway-track and traffic routes of the town. The permanent seismic monitoring points are foreseen on endangered housing and infrastructure facilities around the pit during designing and excavation of it. The seismic monitoring has been performed on 15 permanent points by occasion of over a hundred production and continuous blasting operations. The article considers the speeds of ground oscillations depending on applied maximum quantities of explosive charge according to fire degree, total quantities of explosives at the mine-field, structure of explosive charge, applied delay of mine boring and lines initiation mode and rock mass structure

Jan 1, 1999

By A. M. Milev

A simulated rockburst was conducted underground at Kopanang Mine, previously called Vaal Reefs No. 9 Shaft. The rockburst was simulated by means of a large blast detonated in solid rock close to a crosscut sidewall. The simulated rockburst involved the design of the seismic source, seismic observations in the near and far field, high-speed video filming, a study of rock mass conditions such as fractures, joints, rock strength etc. Knowledge of the site conditions before and after the simulated rockburst was also gained. Some of the important findings are listed below: ?Two areas of damage were identified on the blasting wall: (i) an area of high-intensity damage in which ground velocities of 3.3 m/s were recorded by an accelerometer, which was subsequently ejected in a block of rock, (ii) an area of low-intensity damage where ground velocities of 1.6 m/s were recorded by an accelerometer which remained on the tunnel wall. ?High-speed filming revealed rock fragments being ejected from the wall at velocities in the range of 0.6 m/s to 2.5 m/s. The measurements were taken in the area of low-intensity damage. As planned, no gas pressure was directly involved in damaging the wall of the tunnel. ?The attenuation of peak particle velocities for the main blast in the near field (6 m to 30 m), as a function of distance R, was found to be proportional to R-1.7. ?The simulated rockburst was recorded as a local magnitude ML= 1.3 by the Klerksdorp regional seismic network. ?Peak particle velocities from nearby blasting, recorded on the tunnel wall after the simulated rockburst, were about six times greater then peak particle velocities recorded from the same source area before the simulated rockburst.

Jan 1, 2001

Caving of the second lift of the E26 orebody at Northparkes Mines was monitored with a comprehensive package of instrumentation, including an ISS seismic monitoring system. Seismicity was collected by an array of 19 triaxial accelerometers and 9 uniaxial geophones, giving a high quality seismic data set. The seismic response to block caving at Northparkes has been divided into two papers. The first paper focuses on the seismicity during undercutting. The second paper deals primarily with the seismicity during cave propagation during initial cave production. In this paper, traditional seismic monitoring concepts are applied to seismicity during cave mining. More than 40 000 seismic events were recorded during cave undercutting between February and January 2004. Events up to local magnitude +1.3 were recorded near the mine during undercutting, with event rates of up to 500 per day. Analysis of frequency-magnitude distributions, S-wave to P-wave energy, and temporal variations in event magnitude all gave insight into the seismicity recorded. In addition, a new technique, called apparent stress time history, was shown to be sensitive to stress change from undercut blasting, and useful to identify significant periods during cave development. A significant difference was identified between the cave back location and the halo of seismic events above the cave. Throughout the undercutting, the a seismic zone of loosening was typically 50 to 70 metres in vertical thickness. Based on the seismicity, a stress driven rock mass failure model is proposed. Early in the undercutting, seismicity and movements in the seismogenic zone were directly triggered by stress change from undercutting. Towards the end of undercutting, seismicity was virtually uncorrelated with undercut blasting, and likely due to the onset of cave initiation.

Jan 1, 2008

By L. Trivino

Blast-induced damage criterion based on the peak particle velocity has worked reasonably well for estimating building damage. However, the same criterion cannot be used to estimate damage to rock and mine structures such as shaft and tunnel walls. It does not take into account the nature of seismic radiation pattern in the near-field, which is very different than what is obtained at far-off distances. To investigate this phenomenon, a systematic study has been carried out involving single-hole blasts and normal production blasts, with explosive source ranging from nearly point source charges to standard borehole sizes (6-7 m long explosive column), with charge weight varying from 0.5 kg to 30 kg. In the near-field, it is shown that, both P-wave and S-wave take a dominant position compared to the mainly surface waves measured in the far-field. These are shown to depend strongly not only on the length of the explosive column but also the way it is initiated in the borehole (i.e. direct vs. reverse initiation in the borehole) with respect to the target location. The seismic radiation patterns were recorded by high-frequency triaxial accelerometer stations grouted in the rock mass. This study describes the nature of seismic radiation in the near-field from long and short charges, the role of initiation direction and their effect on frequency with respect to sensor locations or target area of interest, and their implication in prediction of blast-induced damage in the near field.

Jan 1, 2009

The Winton Basin is one of three Southland sub-basins. The oldest known sediments are Early Oligocene terrestrial shales, sands and lignites deposited in half grabens formed as a result of oblique extension. A marine transgression in the Oligocene deposited mid-outer shelf to upper bathyal mudstones. Shallowing of the basin and tectonic quiessence lead to limestone deposition in the Early Miocene. Regional tilting led to uplift in the north and east and deposition of terrestrial lignites and gravels across the basin and the basement high to the south.

Jan 1, 1992

By John Dean Smith

"In many operations the two most overlooked aspects in the drilling and blasting process is theblast optimization and explosive selection. Often times we find a blast design that seems to work andproduce acceptable results and will use this cut afier cut, even years. When in reality one should never become complacent and should be constantly looking for ways to improve the drilling and blasting operation."

Jan 1, 1995

By J. Chai, H. H. Sedarat, Gary J. E. Kramer, A. Kozak

Precast concrete segmental lining systems have been gaining widespread use in seismically active areas and a single-pass version of such a system has been developed for use on the Silicon Valley Rapid Transit (SVRT) Project in San Jose, California. The response of tunnel linings to seismic shaking is often predicted using engineering judgment, elastic closed-form solutions and numerical modeling. Such analyses generally assume a continuous structural system and hence do not explicitly model the behavior of the jointed segmental lining. A number of analyses were performed to predict radial and circumferential joint behavior during seismic ovaling and wave propagation. These analyses included a complex, three-dimensional finite element based ground-structure interaction model that incorporates inelastic constitutive soil behavior, cracked concrete properties and no-tension, frictional segment joint surfaces. The paper discusses the results of the analyses and provides guidelines for the design of precast systems in zones of high seismicity.

Jan 1, 2007

By E Villaescusa, A Kusui

The depth of underground mines has been increasing due to several factors, such as material demand growth and improving technology. It is a challenge to understand severe failure mechanisms such as spalling, which is caused by induced high stress. To investigate this failure mechanism under high stress conditions, intact rock blocks with small size tunnel were tested at the Western Australian School of Mines (WASM). The range of rocks, such as sandstone and granite, were drilled (200 mm hole) and tested using a servo-controlled 450 t capacity INSTRON machine. The acoustic emission sensors were attached to the block mass during the experiment to investigate the seismic response prior to spalling failure. The effect of the ground support system towards the failure was also examined by comparing the seismic response of the various ground support schemes.CITATION:Kusui, A and Villaescusa, E, 2016. Seismic response prior to spalling failure in highly stressed underground tunnels, in Proceedings Seventh International Conference and Exhibition on Mass Mining (MassMin 2016), pp 689–694 (The Australasian Institute of Mining and Metallurgy: Melbourne).

May 9, 2016