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NCHRP Report 611: Seismic Analysis and Design of Retaining Walls, Buried Structures, Slopes, and Embankments (2009)
National Cooperative Highway Research Program (NCHRP)

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Lam, Ignatius Po, Martin, Geoffrey R, Anderson, Donald G, Wang, Joseph N, Transportation Research Board. "2.2.1 Key References." NCHRP Report 611: Seismic Analysis and Design of Retaining Walls, Buried Structures, Slopes, and Embankments. Washington, DC: The National Academies Press, 2009.

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Front Matter (R1-R10)
1.1 Overall Project Objectives, Approach, and Schedule (1-1)
1.2.1 Plans for Implementing the LRFD Design Methodology (2-3)
1.2.2 Overview of Conclusions from Initial Phase of Work (4-4)
1.2.3 Overview of Conclusions from Second Phase of Work (5-6)
1.2.4 Overview of Conclusions from Third Phase of Work (7-7)
1.3.1 Volume 1 - Final Project Report (8-8)
1.3.2 Volume 2 - Recommended Specifications, Commentaries, and Example Problems (9-9)
2.1 Earthquake Design Basis (10-10)
2.2 Literature Search (11-11)
2.2.1 Key References (12-13)
2.2.2 General Observations (14-14)
2.3 DOT, Vendor, and Consultant Contacts (15-16)
2.4 Conclusions (17-17)
3.1.1 Gravity and Semi-Gravity Walls (18-20)
3.1.2 MSE Retaining Walls (21-21)
3.2.1 Seismic Considerations for Soil Slopes (22-22)
3.2.2 Seismic Considerations for Rock Slopes (23-23)
3.3 Buried Structures (24-24)
3.4 Conclusions (25-25)
4.1 Developments for Seismic Ground Motions (26-27)
4.2.1 Generalized Limit Equilibrium Analyses (28-28)
4.2.2 Wall Height-Dependent Seismic Coefficient (29-29)
4.3 Developments for Slopes and Embankments (30-30)
4.4.1 Analysis Procedures for TGD (31-32)
4.5 Summary (33-34)
5.1.1 Update to AASHTO Seismic Ground Motion Criteria (35-37)
5.1.2 Range of Ground Shaking Levels in the United States for Referenced Soft Rock (38-38)
5.1.3 Variation in Spectral Shapes for Soil and Rock Sites in WUS versus CEUS (39-40)
5.2.2 Description of Ground Motion Database (41-41)
5.2.4 Microsoft Access Database (42-42)
5.2.7 Newmark Sliding Block Displacement Correlations (43-45)
5.2.8 Comparison Between Correlations (46-47)
5.2.9 Confidence Level (48-48)
5.3 Correlation of PGV with S1 (49-53)
5.4 Conclusions (54-54)
6.1.1 Scattering Analyses for a Slope (55-62)
6.1.2 Scattering Analyses for Retaining Walls (63-65)
6.2 Conclusions (66-67)
7.1 Current Design Practice (68-70)
7.2.1 Seismic Active Earth Pressures (71-72)
7.2.2 Seismic Passive Earth Pressures (73-73)
7.3.2 Results of M-O Analyses for Soils with Cohesion (74-74)
7.3.3 Implication to Design (75-75)
7.5 Height-Dependent Seismic Design Coefficients (76-76)
7.5.1 Evaluation of Impedance Contrasts and Soil Behavior (77-78)
7.5.2 Results of Impedance Contrast and Nonlinearity Evaluations (79-80)
7.6 Displacement-Based Design for Gravity, Semi Gravity, and MSE Walls (81-81)
7.7 Conventional Gravity and Semi-Gravity Walls - Recommended Design Method for External Stability (82-83)
7.8.2 MSE Walls - Design Method for External Stability (84-86)
7.8.3 MSE Walls - Design Method for Internal Stability (87-87)
7.9.1 Nongravity Cantilever Walls (88-90)
7.9.2 Anchored Walls (91-92)
7.9.3 Soil Nail Walls (93-93)
7.10 Conclusions (94-95)
8.1.1 Engineered Slopes and Embankments (96-96)
8.2.1 Limit Equilibrium Approach (97-98)
8.2.2 Displacement-Based Approach (99-99)
8.3 Proposed Design Methodology (100-100)
8.4.1 Problem Description (101-101)
8.5.1 Limit Equilibrium Design Methods (102-102)
8.5.3 Liquefaction Potential (103-103)
8.6 Conclusions (104-104)
9.2 Culvert/Pipe Characteristics (105-105)
9.3 General Effects of Earthquakes and Potential Failure Modes (106-106)
9.3.1 Ground Shaking (107-107)
9.4 Current Seismic Design Practice for Culverts or Other Buried Structures (108-108)
9.5.1 Ovaling of Circular Conduits (109-112)
9.5.2 Racking of Rectangular Conduits (113-114)
9.6.2 Model Assumptions and Results (115-128)
9.7 Conclusions and Recommendations (129-130)
10.2 Retaining Walls (131-131)
10.3 Slopes and Embankments (132-132)
10.5 Need for Confirming Methods (133-133)
References (134-136)
Appendices (137-137)
Abbreviations used without definitions in TRB publications (138-138)

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12 · Develop a list of potential example problems that could be ­ Caltabiano, S., E. Cascone, and M. Maugeri. "Sliding used during validation studies and preparation of design Response of Rigid Retaining Walls." In Earthquake examples. Geotechnical Engineering: Proceedings of the Second Inter- national Conference on Earthquake Geotechnical Engi- neering; Lisbon, Portugal, 21­25 June 1999, Rotterdam: 2.2.1 Key References A. A. Balkema, 1999. The literature review consisted of collecting and evaluating ­ Cardosa, A. S., M. Matos Fernandes, and J. A. Mateus information already available to the Project Team, as well as de Brito. "Application of Structural Eurocodes to Grav- electronic literature searches. One of the most effective search ity Retaining Wall Seismic Design Conditioned by Base mechanisms was through use of Quakeline®, the search Sliding." In Earthquake Geotechnical Engineering: Pro- mechanism identified in the Multidisciplinary Center for ceedings of the Second International Conference on Earth- Earthquake Engineering Research (MCEER) Center's website quake Geotechnical Engineering; Lisbon, Portugal, 21­25 (http://mceer.buffalo.edu/utilities/quakeline.asp). June 1999, Rotterdam: A. A. Balkema, 1999. More than 140 abstracts have been downloaded and ­ Cascone, E. and M. Maugeri. "On the Seismic Behav- reviewed in the area of retaining walls dating from the past ior of Cantilever Retaining Walls." In Proceedings of 10 years, more than 130 for seismic response of slopes and the 10th European Conference on Earthquake Engi- embankments, and more than 50 references for seismic neering; Vienna, Austria, 28 August-2 September 1994, response of pipelines and culverts. Copies of papers and Rotterdam: A. A. Balkema, 1995. reports were obtained for those references that appeared to ­ Choukeir, M., I. Juran, and S. Hanna. "Seismic Design of contain unique information or results that are particularly Reinforced-Earth and Soil Nailed Structures." Ground relevant to the Project objectives. As noted in the intro- Improvement, Vol. 1, pp. 223­238, 1997. ductory paragraph to this chapter, this phase of the Project ­ Chugh, A. K. "A Unified Procedure for Earth Pressure focused on references that could be used directly or indi- Calculations." In Proceedings of the 3rd International rectly to develop methodologies that could be implemented Conference on Recent Advances in Geotechnical Earth- by practicing engineers. quake Engineering and Soil Dynamics, St. Louis, 1995. Some of the representative relevant articles and reports ­ FHWA. "Manual for Design & Construction Monitor- identified are summarized below. ing of Soil Nail Walls." U.S. Department of Trans- portation, Federal Highway Administration, Publica- · Retaining Walls tion No. FHWA-SA-96-069R, Revised October, 1998. ­ "Analysis and Design of Retaining Structures Against ­ FHWA. "Mechanically Stabilized Earth Walls and Earthquakes." Geotechnical Special Publication No. 80, Reinforced Soil Slopes Design & Construction Guide- ASCE, November, 1996. ­ Ausilio, E., E. Conte, and G. Dente. "Seismic Stability lines." U.S. Department of Transportation Federal High- Analysis of Reinforced Slopes." Soil Dynamics and Earth- way Administration, National Highway Institute, Office quake Engineering, Vol. 19, No. 3, pp. 159­172, April 2000. of Bridge Technology, Publication No. FHWA-NHI-00- ­ Bathurst, R. J., M. C. Alfaro, and K. Hatami. "Pseudo- 043, March 2001. Static Seismic Design of Geosynthetic Reinforced Soil ­ Green, R. A., C. G. Olgun, R. M. Ebeling, and W. I. Retaining Structures." Asia Conference on Earthquake Cameron. "Seismically Induced Lateral Earthquake Engineering, Manila, Philippines, Vol. 2, pp. 149­160, Pressures on a Cantilever Retaining Wall." In Advancing March 2004. Mitigation Technologies and Disaster Response for Life- ­ Bathurst, R. J. and Z. Cai. "Pseudo-Static Seismic line Systems: Proceedings of the Sixth U.S. Conference and Analysis of Geosynthetic-Reinforced Segmental Retain- Workshop on Lifeline Earthquake Engineering (TCLEE ing Walls." Geosynthetics International, Vol. 2, No. 5, 2003), ASCE, Reston, VA, 2003. pp. 787­830, 1995. ­ Lazarte, C. A., V. Elias, D. Espinoza, and P. Sabatini. "Soil ­ Bathurst, R. J. and K. Hatami. "Seismic Response Nail Walls." Geotechnical Engineering, Circular No. 7, Analysis of a Geosynthetic Reinforced Soil Retaining March 2003. Wall." Geosynthetics International, Vol. 5, Nos. 1&2, ­ Ling, H. I. "Recent Applications of Sliding Block The- pp. 127­166, 1998. ory to Geotechnical Design." Soil Dynamics and Earth- ­ Bathurst, R. J., K. Harami, and M. C. Alfaro. "Geosyn- quake Engineering, Vol. 21, No. 3, pp. 189­197, April thetic Reinforced Soil Walls and Slopes: Seismic Aspects." 2001. (S. K. Shukla Ed.): Geosynthetics and Their Applications, ­ Ling, H. I., D. Leschinsky, and N. S. C. Nelson. "Post- (2002) Thomas Telford Ltd., London, UK, pp. 327­392, Earthquake Investigation on Several Geosynthetic- November 2004. Reinforced Soil Retaining Walls and Slopes during the

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13 Ji-Ji Earthquake of Taiwan." Soil Dynamics and Earth- · Slopes and Embankments quake Engineering, Vol. 21, pp. 297­313, 2001. ­ ASCE/SCEC. "Recommended Procedures for Imple- ­ Ling, H. I., D. Leschinsky, and E. B. Perry. "Seismic mentation of DMG Special Publication 117 Guidelines Design and Performance of Geosynthetic-Reinforced Soil for Analyzing Landslide Hazards in California." February Structures." Geotechnique, Vol. 47, No. 5, pp. 933­952, 2002. 1997, Earthquake Engineering and Soil Dynamics, ­ Ashford, S. A. and N. Sitar. "Seismic Coefficients for St. Louis, 1997. Steep Slopes." Proceedings of the 7th International Con- ­ Michalowski, R. L. and L. You. "Displacements of ference on Soil Dynamics and Earthquake Engineering, Reinforced Slopes Subjected to Seismic Loads." Journal pp. 441­448, 1995. of Geotechnical and Geoenvironmental Engineering, ­ Dickenson, S. E., N. J. McCullough, M. G. Barkau, and ASCE, Vol. 126, No. 8, pp. 685­694, August 2000. B. J. Wavra. "Assessment and Mitigation of Lique- ­ Nova-Roessig, L. and N. Sitar. "Centrifuge Studies of faction Hazards to Bridge Approach Embankments in the Seismic Response of Reinforced Soil Slopes." Pro- Oregon." Prepared for the Oregon Department of ceedings of the 3rd Geotechnical Earthquake Engineer- Transportation and Federal Highways Administration, ing and Soil Dynamics Conference, Special Publication November 2002. No. 75, ASCE, Vol. 1, pp. 458­468, 1998. ­ Leshchinsky, D. and K. San. "Pseudo-Static Seismic ­ Peng, J. "Seismic Sliding and Tilting of Retaining Walls Stability of Slopes: Design Charts." Journal of Geotechni- in Kobe Earthquake." M.S. Thesis, State University of cal Engineering, ASCE, Vol. 120, No. 9, pp. 1514­1532, New York at Buffalo, August 1998. September 1994. ­ Prakash, S. and Y. M. Wei. "On Seismic Displacement of ­ Ling, H. I. "Recent Applications of Sliding Block Theory Rigid Retaining Walls." Proceedings of the 3rd Interna- to Geotechnical Design." Soil Dynamics and Earth- tional Conference on Recent Advances in Geotechnical quake Engineering, Vol. 21, No. 3, pp. 189­197, April Earthquake Engineering and Soil Dynamics, St. Louis, 2001. 1995. ­ Loukidis, D., P. Bandini, and R. Salgado. "Stability of ­ Sakaguchi, M. "A Study of the Seismic Behavior of Seismically Loaded Slopes Using Limit Analysis." Geo- Geosynthetic Walls in Japan." Geosynthetic International, technique, Vol. 53, No. 5, pp. 463­479, June 2003. Vol. 3, No. 1, pp. 13­30, 1996. ­ Martin, G. "Evaluation of Soil Properties for Seismic ­ Sarma, S. K. "Seismic Slope Stability--The Critical Stability Analyses of Slopes." Stability and Performance Acceleration." Proceedings of the 2nd International of Slopes and Embankments II: Proceedings of a Spe- Conference on Earthquake Geotechnical Engineering, cialty Conference Sponsored by the Geotechnical Divi- Lisbon, Vol. 3, pp. 1077­1082, 1999. sion of the American Society of Civil Engineers, Vol. 1, ­ Seco e Pinto, P. S. "Seismic Behavior of Gravity Retain- pp. 116­142, 1992. ing Structures." In Earthquake Geotechnical Engineer- ­ Munfakh, G. and E. Kavazanjian. "Geotechnical Earth- ing: Proceedings of IS-Tokyo `95, The First International quake Engineering, Reference Manual." Federal High- Conference on Earthquake Geotechnical Engineer- way Administration, National Highway Institute, 1998. ing; Tokyo, 14­16 November 1995, Rotterdam: A. A. ­ Rogers, J. D. "Seismic Response of Highway Embank- Balkema, 1995. ments." In Transportation Research Record 1343, TRB, ­ Simonelli, A. L. "Earth Retaining Wall Displacement National Research Council, Washington, D.C., 1992, Analysis under Seismic Conditions." Proceedings of pp. 52­62. the 10th European Conference on Earthquake Engi- ­ Sarma, S. K. "Seismic Slope Stability--The Critical neering; Vienna, Austria, 28 August-2 September 1994, Acceleration." Proceedings of the 2nd International Rotterdam: A. A. Balkema, 1995. Conference on Earthquake Geotechnical Engineering, ­ Tatsuoka, F., M. Tateyama, and J. Koseki. "Behavior of Lisbon, Vol. 3, pp. 1077­1082, 1999. Geogrid-Reinforced Soil Retaining Walls During the ­ Simonelli, A. "Displacement Analysis in Earth Slope Great Hanshin-Awaji Earthquake." Proceedings of the Design Under Seismic Conditions." Soil Dynamics and 1st International Symposium on Earthquake Geotech- Earthquake Engineering VI, pp. 493­505, 1993. nical Engineering, K. Ishihara, ed., Tokyo, pp. 55­60, ­ Simonelli, A. and E. Fortunato. "Effects of Earth Slope 1995. Characteristics on Displacement Based Seismic Design." ­ Tufenkjian, M. R. and M. Vucetic. "Seismic Stability of Proceedings of the 11th World Conference on Earthquake Soil Nailed Excavations." Civil Engineering Depart- Engineering, CD-ROM-1017, 1996. ment, UCLA School of Engineering and Applied Sci- ­ Simonelli, A. and C. Viggiano. "Effects of Seismic Motion ence, June 1993. Characteristics on Earth Slope Behavior." 1st Inter-