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NATIONAL
NCHRP REPORT 611
COOPERATIVE
HIGHWAY
RESEARCH
PROGRAM
Seismic Analysis and Design
of Retaining Walls,
Buried Structures, Slopes,
and Embankments
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TRANSPORTATION RESEARCH BOARD 2008 EXECUTIVE COMMITTEE*
OFFICERS
CHAIR: Debra L. Miller, Secretary, Kansas DOT, Topeka
VICE CHAIR: Adib K. Kanafani, Cahill Professor of Civil Engineering, University of California, Berkeley
EXECUTIVE DIRECTOR: Robert E. Skinner, Jr., Transportation Research Board
MEMBERS
J. Barry Barker, Executive Director, Transit Authority of River City, Louisville, KY
Allen D. Biehler, Secretary, Pennsylvania DOT, Harrisburg
John D. Bowe, President, Americas Region, APL Limited, Oakland, CA
Larry L. Brown, Sr., Executive Director, Mississippi DOT, Jackson
Deborah H. Butler, Executive Vice President, Planning, and CIO, Norfolk Southern Corporation, Norfolk, VA
William A.V. Clark, Professor, Department of Geography, University of California, Los Angeles
David S. Ekern, Commissioner, Virginia DOT, Richmond
Nicholas J. Garber, Henry L. Kinnier Professor, Department of Civil Engineering, University of Virginia, Charlottesville
Jeffrey W. Hamiel, Executive Director, Metropolitan Airports Commission, Minneapolis, MN
Edward A. (Ned) Helme, President, Center for Clean Air Policy, Washington, DC
Will Kempton, Director, California DOT, Sacramento
Susan Martinovich, Director, Nevada DOT, Carson City
Michael D. Meyer, Professor, School of Civil and Environmental Engineering, Georgia Institute of Technology, Atlanta
Michael R. Morris, Director of Transportation, North Central Texas Council of Governments, Arlington
Neil J. Pedersen, Administrator, Maryland State Highway Administration, Baltimore
Pete K. Rahn, Director, Missouri DOT, Jefferson City
Sandra Rosenbloom, Professor of Planning, University of Arizona, Tucson
Tracy L. Rosser, Vice President, Corporate Traffic, Wal-Mart Stores, Inc., Bentonville, AR
Rosa Clausell Rountree, Executive Director, Georgia State Road and Tollway Authority, Atlanta
Henry G. (Gerry) Schwartz, Jr., Chairman (retired), Jacobs/Sverdrup Civil, Inc., St. Louis, MO
C. Michael Walton, Ernest H. Cockrell Centennial Chair in Engineering, University of Texas, Austin
Linda S. Watson, CEO, LYNXCentral Florida Regional Transportation Authority, Orlando
Steve Williams, Chairman and CEO, Maverick Transportation, Inc., Little Rock, AR
EX OFFICIO MEMBERS
Thad Allen (Adm., U.S. Coast Guard), Commandant, U.S. Coast Guard, Washington, DC
Joseph H. Boardman, Federal Railroad Administrator, U.S.DOT
Rebecca M. Brewster, President and COO, American Transportation Research Institute, Smyrna, GA
Paul R. Brubaker, Research and Innovative Technology Administrator, U.S.DOT
George Bugliarello, President Emeritus and University Professor, Polytechnic Institute of New York University, Brooklyn; Foreign Secretary,
National Academy of Engineering, Washington, DC
Sean T. Connaughton, Maritime Administrator, U.S.DOT
LeRoy Gishi, Chief, Division of Transportation, Bureau of Indian Affairs, U.S. Department of the Interior, Washington, DC
Edward R. Hamberger, President and CEO, Association of American Railroads, Washington, DC
John H. Hill, Federal Motor Carrier Safety Administrator, U.S.DOT
John C. Horsley, Executive Director, American Association of State Highway and Transportation Officials, Washington, DC
Carl T. Johnson, Pipeline and Hazardous Materials Safety Administrator, U.S.DOT
J. Edward Johnson, Director, Applied Science Directorate, National Aeronautics and Space Administration, John C. Stennis Space Center, MS
David Kelly, Acting Administrator, National Highway Traffic Safety Administration, U.S.DOT
Thomas J. Madison, Jr., Administrator, Federal Highway Administration, U.S.DOT
William W. Millar, President, American Public Transportation Association, Washington, DC
James S. Simpson, Federal Transit Administrator, U.S.DOT
Robert A. Sturgell, Acting Administrator, Federal Aviation Administration, U.S.DOT
Robert L. Van Antwerp (Lt. Gen., U.S. Army), Chief of Engineers and Commanding General, U.S. Army Corps of Engineers, Washington, DC
*Membership as of November 2008.
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NATIONAL COOPERATIVE HIGHWAY RESEARCH PROGRAM
NCHRP REPORT 611
Seismic Analysis and Design
of Retaining Walls,
Buried Structures, Slopes,
and Embankments
Donald G. Anderson
CH2M HILL
Bellevue, WA
Geoffrey R. Martin
UNIVERSITY OF SOUTHERN CALIFORNIA
Los Angeles, CA
Ignatius (Po) Lam
EARTH MECHANICS, INC.
Fountain Valley, CA
J. N. (Joe) Wang
PARSONS BRINCKERHOFF INC.
New York, NY
Subject Areas
Bridges, Other Structures, and Hydraulics and Hydrology
Research sponsored by the American Association of State Highway and Transportation Officials
in cooperation with the Federal Highway Administration
TRANSPORTATION RESEARCH BOARD
WASHINGTON, D.C.
2008
www.TRB.org
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NATIONAL COOPERATIVE HIGHWAY NCHRP REPORT 611
RESEARCH PROGRAM
Systematic, well-designed research provides the most effective Project 12-70
approach to the solution of many problems facing highway ISSN 0077-5614
administrators and engineers. Often, highway problems are of local ISBN: 978-0-309-11765-4
interest and can best be studied by highway departments individually Library of Congress Control Number 2008911003
or in cooperation with their state universities and others. However, the © 2008 Transportation Research Board
accelerating growth of highway transportation develops increasingly
complex problems of wide interest to highway authorities. These
problems are best studied through a coordinated program of COPYRIGHT PERMISSION
cooperative research.
Authors herein are responsible for the authenticity of their materials and for obtaining
In recognition of these needs, the highway administrators of the written permissions from publishers or persons who own the copyright to any previously
American Association of State Highway and Transportation Officials published or copyrighted material used herein.
initiated in 1962 an objective national highway research program Cooperative Research Programs (CRP) grants permission to reproduce material in this
employing modern scientific techniques. This program is supported on publication for classroom and not-for-profit purposes. Permission is given with the
understanding that none of the material will be used to imply TRB, AASHTO, FAA, FHWA,
a continuing basis by funds from participating member states of the
FMCSA, FTA, or Transit Development Corporation endorsement of a particular product,
Association and it receives the full cooperation and support of the method, or practice. It is expected that those reproducing the material in this document for
Federal Highway Administration, United States Department of educational and not-for-profit uses will give appropriate acknowledgment of the source of
any reprinted or reproduced material. For other uses of the material, request permission
Transportation.
from CRP.
The Transportation Research Board of the National Academies was
requested by the Association to administer the research program
because of the Board's recognized objectivity and understanding of
NOTICE
modern research practices. The Board is uniquely suited for this
purpose as it maintains an extensive committee structure from which The project that is the subject of this report was a part of the National Cooperative Highway
Research Program conducted by the Transportation Research Board with the approval of
authorities on any highway transportation subject may be drawn; it the Governing Board of the National Research Council. Such approval reflects the
possesses avenues of communications and cooperation with federal, Governing Board's judgment that the program concerned is of national importance and
state and local governmental agencies, universities, and industry; its appropriate with respect to both the purposes and resources of the National Research
Council.
relationship to the National Research Council is an insurance of
The members of the technical committee selected to monitor this project and to review this
objectivity; it maintains a full-time research correlation staff of
report were chosen for recognized scholarly competence and with due consideration for the
specialists in highway transportation matters to bring the findings of balance of disciplines appropriate to the project. The opinions and conclusions expressed
research directly to those who are in a position to use them. or implied are those of the research agency that performed the research, and, while they have
been accepted as appropriate by the technical committee, they are not necessarily those of
The program is developed on the basis of research needs identified
the Transportation Research Board, the National Research Council, the American
by chief administrators of the highway and transportation departments Association of State Highway and Transportation Officials, or the Federal Highway
and by committees of AASHTO. Each year, specific areas of research Administration, U.S. Department of Transportation.
needs to be included in the program are proposed to the National Each report is reviewed and accepted for publication by the technical committee according
Research Council and the Board by the American Association of State to procedures established and monitored by the Transportation Research Board Executive
Committee and the Governing Board of the National Research Council.
Highway and Transportation Officials. Research projects to fulfill these
needs are defined by the Board, and qualified research agencies are The Transportation Research Board of the National Academies, the National Research
Council, the Federal Highway Administration, the American Association of State Highway
selected from those that have submitted proposals. Administration and and Transportation Officials, and the individual states participating in the National
surveillance of research contracts are the responsibilities of the National Cooperative Highway Research Program do not endorse products or manufacturers. Trade
Research Council and the Transportation Research Board. or manufacturers' names appear herein solely because they are considered essential to the
object of this report.
The needs for highway research are many, and the National
Cooperative Highway Research Program can make significant
contributions to the solution of highway transportation problems of
mutual concern to many responsible groups. The program, however, is
intended to complement rather than to substitute for or duplicate other
highway research programs.
Published reports of the
NATIONAL COOPERATIVE HIGHWAY RESEARCH PROGRAM
are available from:
Transportation Research Board
Business Office
500 Fifth Street, NW
Washington, DC 20001
and can be ordered through the Internet at:
http://www.national-academies.org/trb/bookstore
Printed in the United States of America
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COOPERATIVE RESEARCH PROGRAMS
CRP STAFF FOR NCHRP REPORT 611
Christopher W. Jenks, Director, Cooperative Research Programs
Crawford F. Jencks, Deputy Director, Cooperative Research Programs
David B. Beal, Senior Program Officer
Eileen P. Delaney, Director of Publications
Margaret B. Hagood, Editor
NCHRP PROJECT 12-70 PANEL
Field of Design--Area of Bridges
Harry A. Capers, Jr., Arora and Associates, P.C., Lawrenceville, NJ (Chair)
Darrin Beckett, Kentucky Transportation Cabinet, Frankfort, KY
Donald Dwyer, New York State DOT, Albany, NY
Ian M. Friedland, Federal Highway Administration, McLean, VA
Michael G. Katona, Gig Harbor, WA
Scott M. Olson, University of IllinoisUrbana-Champaign, Urbana, IL
M. "Saiid" Saiidi, University of NevadaReno, Reno, NV
Anoosh Shamsabadi, California DOT, Irvine, CA
Munindra Talukdar, Washington State DOT, Tumwater, WA
Jerry A. DiMaggio, FHWA Liaison
G. P. Jayaprakash, TRB Liaison
AUTHOR ACKNOWLEDGMENTS
Work for the NCHRP 12-70 Project was carried out by a Project Team led by CH2M HILL of Bellevue,
Washington, with major support from Earth Mechanics, Inc. of Fountain Valley, California and Parsons
Brinckerhoff Inc. of New York City, New York. Leadership for the Project Team was provided by the fol-
lowing individuals: Dr. Donald Anderson, P.E. from CH2M HILL in Bellevue, Washington, who was the
project manager for the work; Professor Geoffrey R. Martin, P.E. from the University of Southern Cali-
fornia, who served as a Principal Investigator; Mr. Ignatius (Po) Lam, P.E. from Earth Mechanics, who
served as another Principal Investigator; and Dr. J.N. (Joe) Wang, P.E. from Parsons Brinckerhoff, who
also served as a principal investigator.
The Project included a Technical Advisory Panel that provided technical input to the Project at various
points during the project duration. The panel members included: Professor Robert Holtz, P.E. from the
University of Washington; Dr. Lee Marsh, P.E. from Berger ABAM in Federal Way, Washington; Profes-
sor Edward Kavazanjian, P.E. from Arizona State University; and Professor Tom O'Rourke, P.E. from Cor-
nell University
A number of other individuals provided important input to the project, including Mr. Tony Allen, P.E.,
Chief Geotechnical Engineer with the Washington State Department of Transportation, and Dr. Anoosh
Shamsabadi, P.E, structural research engineer with the California Department of Transportation (Cal-
trans). The practical feedback from both individuals was particularly helpful. Mr. Amir Zand and Dr.
Hubert Law from Earth Mechanics also provided major support by conducting analyses and assisting with
the development of example problems.
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FOREWORD
By David B. Beal
Staff Officer
Transportation Research Board
This report provides analytical and design methods for the seismic design of retaining
walls, buried structures, slopes, and embankments. The report details the development of
the design procedures. Recommended LRFD specifications and design examples illustrat-
ing the application of the design methods and specifications are included in an Appendix.
The material in this report will be of immediate interest to roadway and bridge designers.
A comprehensive load and resistance factor design (LRFD) specification for the seismic
design of highway bridges has been developed by AASHTO. Those specifications reflect the
latest bridge design philosophies for achieving high levels of seismic performance. Because
these specifications are limited to highway bridges and components that are directly at-
tached to them, such as abutments and wing walls, they do not address new or improved
analytical methods or seismic design provisions for retaining walls, buried structures,
slopes, or embankments.
The objective of NCHRP Project 12-70 was to remove the limitations of the current spec-
ifications through the development of analytical and design methods for the seismic design
of retaining walls, buried structures, slopes, and embankments. This research was managed
by Donald Anderson, CH2M HILL, Bellevue, Washington, with the assistance of Geoffrey
Martin, University of Southern California; Po Lam, Earth Mechanics; and Joe Wang,
Parson Brinckerhoff, New York. The report fully documents the program used to develop
the design procedures.
The Final Report is organized into two volumes. Volume 1 is published here as NCHRP
Report 611. Volume 2 is available at the TRB website at http://trb.org/news/blurb_detail.
asp?id=9631.
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CONTENTS
VOLUME 1 Final Report
1 Chapter 1 Introduction
1 1.1 Overall Project Objectives, Approach, and Schedule
2 1.2 Project Background
2 1.2.1 Plans for Implementing the LRFD Design Methodology
4 1.2.2 Overview of Conclusions from Initial Phase of Work
5 1.2.3 Overview of Conclusions from Second Phase of Work
7 1.2.4 Overview of Conclusions from Third Phase of Work
8 1.3 Organization of Final Report
8 1.3.1 Volume 1--Final Project Report
9 1.3.2 Volume 2--Recommended Specifications, Commentaries,
and Example Problems
10 Chapter 2 Data Collection and Review
10 2.1 Earthquake Design Basis
11 2.2 Literature Search
12 2.2.1 Key References
14 2.2.2 General Observations
15 2.3 DOT, Vendor, and Consultant Contacts
17 2.4 Conclusions
18 Chapter 3 Problems and Knowledge Gaps
18 3.1 Retaining Walls
18 3.1.1 Gravity and Semi-Gravity Walls
21 3.1.2 MSE Retaining Walls
22 3.1.3 Soil Nail Walls
22 3.2 Slopes and Embankments
22 3.2.1 Seismic Considerations for Soil Slopes
23 3.2.2 Seismic Considerations for Rock Slopes
24 3.3 Buried Structures
25 3.4 Conclusions
26 Chapter 4 Work Plan: Analytical Methodologies
26 4.1 Developments for Seismic Ground Motions
28 4.2 Developments for Retaining Walls
28 4.2.1 Generalized Limit Equilibrium Analyses
29 4.2.2 Wall Height-Dependent Seismic Coefficient
30 4.2.3 Deformation Analyses
30 4.3 Developments for Slopes and Embankments
31 4.4 Developments for Buried Structures
31 4.4.1 Analysis Procedures for TGD
33 4.4.2 Analysis Procedures for Permanent Ground Deformations (PGD)
33 4.5 Summary
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35 Chapter 5 Seismic Ground Motions
35 5.1 Seismic Loading Criteria
35 5.1.1 Update to AASHTO Seismic Ground Motion Criteria
38 5.1.2 Range of Ground Shaking Levels in the United States
for Referenced Soft Rock
39 5.1.3 Variation in Spectral Shapes for Soil and Rock Sites
in WUS versus CEUS
41 5.2 Newmark Displacement Correlations
41 5.2.1 Approach for Updating Newmark Charts
41 5.2.2 Description of Ground Motion Database
42 5.2.3 Permanent Displacement Data
42 5.2.4 Microsoft Access Database
43 5.2.5 Spectral Acceleration Characteristics
43 5.2.6 Correlation between PGV and S1, PGA and M
43 5.2.7 Newmark Sliding Block Displacement Correlations
46 5.2.8 Comparison Between Correlations
48 5.2.9 Confidence Level
49 5.2.10 Design Recommendations
49 5.3 Correlation of PGV with S1
54 5.4 Conclusions
55 Chapter 6 Height-Dependent Seismic Coefficients
55 6.1 Wave Scattering Evaluations
55 6.1.1 Scattering Analyses for a Slope
63 6.1.2 Scattering Analyses for Retaining Walls
66 6.2 Conclusions
68 Chapter 7 Retaining Walls
68 7.1 Current Design Practice
71 7.2 The M-O Method and Limitations
71 7.2.1 Seismic Active Earth Pressures
73 7.2.2 Seismic Passive Earth Pressures
74 7.3 M-O Earth Pressures for Cohesive Soils
74 7.3.1 Evaluation of the Contribution from Cohesion
74 7.3.2 Results of M-O Analyses for Soils with Cohesion
75 7.3.3 Implication to Design
76 7.4 GLE Approach for Determining Seismic Active Pressures
76 7.5 Height-Dependent Seismic Design Coefficients
77 7.5.1 Evaluation of Impedance Contrasts and Soil Behavior
79 7.5.2 Results of Impedance Contrast and Nonlinearity Evaluations
81 7.6 Displacement-Based Design for Gravity, Semi Gravity, and MSE Walls
82 7.7 Conventional Gravity and Semi-Gravity Walls--Recommended
Design Method for External Stability
84 7.8 MSE Walls--Recommended Design Methods
84 7.8.1 Current Design Methodology
84 7.8.2 MSE Walls--Design Method for External Stability
87 7.8.3 MSE Walls--Design Method for Internal Stability
88 7.9 Other Wall Types
88 7.9.1 Nongravity Cantilevered Walls
91 7.9.2 Anchored Walls
93 7.9.3 Soil Nail Walls
94 7.10 Conclusions
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96 Chapter 8 Slopes and Embankments
96 8.1 Types and Performance of Slopes
96 8.1.1 Engineered Slopes and Embankments
97 8.1.2 Natural Slopes
97 8.2 Current Practice
97 8.2.1 Limit Equilibrium Approach
99 8.2.2 Displacement-Based Approach
100 8.3 Proposed Design Methodology
101 8.3.1 Limit Equilibrium Approach
101 8.3.2 Displacement-Based Approach
101 8.4 Example Application
101 8.4.1 Problem Description
102 8.4.2 Results
102 8.5 Other Considerations
102 8.5.1 Limit Equilibrium Design Methods
103 8.5.2 No Analysis Cut-off
103 8.5.3 Liquefaction Potential
104 8.6 Conclusions
105 Chapter 9 Buried Structures
105 9.1 Seismic Performance of Culverts and Pipelines
105 9.2 Culvert/Pipe Characteristics
106 9.2.1 Flexible Culverts and Pipes
106 9.2.2 Rigid Culverts and Pipes
106 9.3 General Effects of Earthquakes and Potential Failure Modes
107 9.3.1 Ground Shaking
108 9.3.2 Ground Failure
108 9.4 Current Seismic Design Practice for Culverts or Other Buried Structures
109 9.5 General Methodology and Recommended Procedures
109 9.5.1 Ovaling of Circular Conduits
113 9.5.2 Racking of Rectangular Conduits
115 9.6 Parametric and Verification Analysis
115 9.6.1 Types of Structures and Other Parameters Used in Evaluation
115 9.6.2 Model Assumptions and Results
129 9.7 Conclusions and Recommendations
131 Chapter 10 Recommendations for Future Work
131 10.1 Ground Motions and Displacements
131 10.2 Retaining Walls
132 10.3 Slopes and Embankments
133 10.4 Buried Structures
133 10.5 Need for Confirming Methods
134 References
137 Appendices
