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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. "1.2.4 Overview of Conclusions from Third Phase of Work." 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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7 · Slopes and Embankments. This topic was assigned a lower problems. Results of this work were summarized in the third priority for several reasons. First, many times the seismic Interim Report. design of slopes and embankments is ignored, as the cost of Specifications and commentaries were presented in three mitigating potential problems is often far more than the cost sections: of repairing damage after an earthquake. A second reason is the factor of safety (FS) used for the static design of slopes · Section X: Retaining Walls. This section provided proposed (for example, FS = 1.3 to 1.5 for permanent slopes) is often specifications and commentaries for six types of retaining observed to be sufficient to cover stability during small to walls: (1) rigid gravity and semi-gravity (conventional) medium seismic events (where liquefaction is not an issue). walls, (2) nongravity cantilever walls, (3) anchored walls, Finally, failure of a slope often involves minimal risk to the (4) mechanically stabilized earth (MSE) walls, (5) prefabri- highway users and the failed slope can usually be quickly cated modular walls, and (6) soil nail walls. With the excep- repaired. tion of soil nail walls, design methods for gravity loads for · Buried Structures. This topic is given a lower priority pri- each of these wall types were covered within the current marily because the consequences of failure are often limited. AASHTO LRFD Bridge Design Specifications. Nevertheless, the current AASHTO LRFD Bridge Design · Section Y: Slopes and Embankments. This section pro- Specifications is deficient in that no guidelines are provided, vided proposed specifications and commentaries for the even for those designers who might want to consider seismic seismic design of slopes and embankments. The specifica- loading. tions covered natural slopes and engineered fills. A method- ology for addressing sites with liquefaction potential was One of the other important considerations during the sec- included in the specifications. Current AASHTO LRFD ond phase of work was developments that were occurring in Bridge Design Specifications do not provide specific guid- the area of ground motions. At the time of the work, current ance on the methods used to evaluate the stability of slopes AASHTO LRFD Bridge Design Specifications (2006) provided under gravity and live loads. In this case the specifications guidance on the determination of ground motions required and commentaries used the standard of geotechnical prac- for design; however, the guidance was being modified as part tice as the starting point for design. of a separate NCHRP project to update the current LRFD · Section Z: Buried Structures. This section covered the seismic provisions. This work was being performed within seismic design of culverts and drainage pipes. The discus- NCHRP 20-07 Project being conducted by Imbsen & Associates sion focused on the design for transient ground displace- (Imbsen, 2006). Part of the recommended update involved ments (TGD) and included mention of the requirements changing from the then current 500-year earthquake (that is, for design for PGD. Generally, the ability of the culvert or 10 percent probability of occurrence in 50 years) to a 1,000 year drainage pipe to withstand PGD depends on the amount design basis (approximately 7 percent in 75 years). (Various of permanent ground movement that occurs during the probabilities of occurrence are associated with the nominal seismic event. Procedures given in Section Y provide a 1,000-year return period. For a 75-year exposure period, the means for estimating these displacements. Culverts and exceedance probability is approximately 7 percent. This ex- drainage pipes will generally move with the ground; there- ceedance probability is also approximately 5 percent for a fore, movement of more than a few inches to a foot will 50-year exposure period.) Included within the proposed up- often damage the pipe or culvert. date was a focus on using the spectral acceleration at 1 second (S1) as a basic proxy for ground motion. Realizing the plans Also included within the third Interim Report were (1) an within the NCHRP 20-07 Project, as well as a fundamental appendix presenting charts for estimating seismic active and need for velocity information for some of the methodologies passive earth pressure coefficients that included the contri- being proposed as part of the NCHRP 12-70 Project, a signif- butions from cohesion and (2) an appendix summarizing the icant focus was given to the development of a set of rational design of nongravity cantilever walls using a beam-column ground motion parameters to use during the seismic design displacement method. and analysis of retaining walls, slopes and embankments, and Contents of the third Interim Report were reviewed with the buried structures. NCHRP 12-70 Oversight Panel. The focus of the panel discus- sions was on the organization of the specifications and the ex- ample problems that needed to be completed to support the 1.2.4 Overview of Conclusions development of the specifications. This feedback was used to from Third Phase of Work modify the specifications and commentaries and to update the The third phase of work involved Tasks 9 and 10: the de- example problems. A fourth Interim Report was prepared to velopment of specifications, commentaries, and example document this information. The NCHRP Oversight Panel