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Paper 18
2019 Pacific Conference on Earthquake Engineering and Annual NZSEE Conference 1
A compendium of soil liquefaction
potential assessment methods
A. Bolarinwa, R. Kalatehjari, M. Poshdar & J. Tookey
Auckland University of Technology, Auckland, New Zealand.
S. Al-Dewani
Tabarik Holdings Ltd., 32 Lansell Drive, East Tamaki Height, Auckland, New Zealand.
ABSTRACT
Since soil improvement techniques are not always economically feasible in large extents, accurate
assessment of soil liquefaction is necessary for safe design of foundation engineering as well as
post-earthquake emergency evacuation in liquefaction prone areas. Prediction of soil liquefaction
potential is a very complex engineering problem because of the heterogeneous nature of soils and
involvement of many varieties of factors. This problem has prompted researchers to carry out
extensive research on reliable prediction of soil liquefaction. The outcomes have been discovered to
be scattered in many journals, conference proceedings, and reports. This paper aims to collate the
scattered information, provide a framework for the identification of suitable methods of assessment
of liquefaction potential based on technical aspects, and produce a multicriteria reference table.
1 BACKGROUND
Significant collateral damages, loss of lives, and loss of lifelines have been reported in several earthquake-
induced soil liquefaction events, including the Canterbury Earthquake Sequence (CES) which occurred on
September 4, 2010 (Mw 7.1) and February 17, 2011 (Mw 6.2), (Cubrinovski et al., 2018; NASEM, 2016;
MBIE, 2016). A review of current literature shows that material characterization, in-situ state
characterization, and system response studies are required to produce comprehensive assessment of soil
liquefaction potential.
Generally, “soil liquefaction occurs due to rapid cyclic loading during seismic events where sufficient time is
not available for dissipating the excess pore-water pressures generated through natural drainage” (Dixit et al,
2012, p. 2759). Consequently, the soil loses its shear strength which usually causes damage to the built
environment. Loose cohesionless saturated soils that are subjected to strong shakings from earthquakes are
most likely to liquefy (Towhata et al., 2016). The major factors determining extent or severity of soil
Paper 18 – A compendium of soil liquefaction potential assessment methods
2019 Pacific Conference on Earthquake Engineering and Annual NZSEE Conference 2
liquefaction are soil density, nearness to groundwater table, magnitude of earthquake vibrations, distance
from source of the earthquake, duration of ground motion, site conditions, ground acceleration, thickness and
type of soil deposits, fines content, grain size distribution, plasticity of fines, degree of saturation, confining
pressure, permeability, shear modulus degradation, and reduction of effective stress (Dixit et al., 2012; Seed
et al., 2003; Youd and Idriss, 2001).
The applicability and limitations of field tests (SPT, CPT, Vs and BPT) are well summarized by Youd and
Idriss (2001). Assessment of liquefaction potential based on soil classification characteristics may include
soil gradation (particle size analysis), fine contents (FC), plasticity index (, and soil index. The in-
situ state parameters include several correlations such as in CPT, in SPT, in shear vane test,
relative density which is suitable for only clean sands, void ratio versus and
versus . The system response effects include studies of soil layer interactions, seismic
history, soil-structure interactions and mechanisms that intensify or mitigate liquefaction effects and
manifestations (Cubrinovski et al., 2018). Several studies over the years have indicated that assessment of
soil liquefaction potential can be inferred often from empirical correlations of soil properties obtained from
both field and laboratory tests such as cyclic resistance ratio , ,
, void ratio fine content , , , and N-value
versus (Cubrinovski and Ishihara, 1999).
In this paper, the authors attempt to produce a compendium of assessment techniques for soil liquefaction
potential as well as a framework for identification of relevant assessment techniques for liquefaction
potential based on the literature database.
The first step required to design program for mitigating soil liquefaction is to nearly and accurately predict
its potential in in-situ soils prior to occurrence of major earthquake event. Over the years, several approaches
have been proposed to evaluate soil liquefaction potentials which are generally categorized by the NASEM
(2016) as “simplified stress-based, cyclic strain-based, energy-based methods, laboratory tests, physical
models, computational mechanics-based techniques, performance-based evaluation, and design methods”.
The above is currently the most comprehensive study carried out on soil liquefaction assessment, yet
deficient in some recent advancements on discovered empirical correlations, system response analysis, and
numerical methods. This paper offers a multi-criteria reference table and a summarized compendium of
assessment techniques in liquefaction potential which are mostly applied in current practice.
2 LIQUEFACTION POTENTIAL ASSESSMENT METHODS
2.1 The simplified stress-based method
The simplified stress-based approach which is often referred to as the “simplified method” (or the “Seed-
Idriss simplified method”) is the most common applied method to evaluate liquefaction triggering in
geotechnical engineering practice (MBIE, 2016; NASEM, 2016). This method uses the factor of safety
(FOS) defined as ratio of the “cyclic resistance ratio” (CRR) to “cyclic stress ratio” (CSR), where CRR is a
measure of the soil resistance (i.e. cyclic stress ratio required to allow liquefaction take place) and CSR
quantifies earthquake loading (i.e. cyclic shear stress) (Seed and Idriss, 1971; Seed et al., 2003). Equation 1
expresses the as:
(1)
Other relevant equations in the simplified stress-based approach are listed as Equation (2) to (6) where,
= peak ground acceleration (horizontal component); = acceleration due to gravity; = shear stress
reduction factor = total overburden stress at depth ;
= effective overburden stress depth ; =
magnitude scaling factor (obtainable in an earthquake magnitude chart) (e.g.: Seed and Idriss, 1971; Seed et
Paper 18 – A compendium of soil liquefaction potential assessment methods
2019 Pacific Conference on Earthquake Engineering and Annual NZSEE Conference 3
al., 2003; Youd and Idriss, 2001); = magnitude of earthquake moment; where is stress corrected
shear wave velocity;
= limiting upper value of required for cyclic liquefaction to happen and is
usually varies between 200 and 215m/s; = reference stress (i.e.100kPa). Seed et al. (2003) provided an
updated liquefaction triggering curves based on SPT - values as shown in Figure 1. These curves
were produced from case-history test points (more than 1971 version) and are therefore, more comprehensive
for soil samples containing either “clean sand” and with adjustment for (FC). Similar correlation have been
developed and modified over the years for in CPTs’, Vs1 in shear vane tests, and BPT (e.g. Youd and
Idriss, 2001).
(2)
, for (3a)
for (3b)
(4)
(5)
(6)
In summary, this method states that, liquefaction will occur when and will not when .
Figure 1: SPT -based Liquefaction triggering charts for Mw=7.5 & σ’v =0.65atm (Seed et al., 2003).
(a) for clean sands
(b) with adjustment for fine content shown
Paper 18 – A compendium of soil liquefaction potential assessment methods
2019 Pacific Conference on Earthquake Engineering and Annual NZSEE Conference 4
The simplified stress method is suitable for clean sands, has capacity to account for concerned soil layer
depth, water table depth, magnitude of seismic shaking, (Seed et al., 1983). However, notable limitations of
this approach are can be expensive because of required in-situ tests and obtaining undisturbed samples from
sites can be difficult. Although, adoption of field performance correlations can make up for the above
deficiency.
2.2 The strain-based method
The strain-based approach which was originally proposed by Dobry et al. (1982) has been reviewed by
several authors (for instance: Baziar et al., 2011; Dobry and Addoun, 2015; NASEM, 2016). Figure 2 shows
the observed correlation between pore pressure and cyclic shear strain by Dobry and Addoun (2015). This
approach uses a small cyclic shear strains () (in the order of 1%) to replace the normally used in the
simplified stress approach. The strain-based approach as summarized by Dobry et al. (1982) p. 23 are as
follows:
Step1: Determine and where is cyclic shear strain, magnitude of earthquake is related to , is
number of cycles of uniform cyclic stress (e.g.: Youd & Idriss, 2001). is obtained from Equation 7:
(7)
Where is peak ground acceleration (horizontal component), is acceleration due to gravity, is shear
stress reduction factor already defined in Equation 3, is total overburden pressure at depth , is
shear modulus of the soil at very small cyclic strain (percent),
is effective modulus
reduction factor of soil relating to cyclic strain, .
Step 2: Compare and threshold strain (): When , Both pore pressure build-up and liquefaction
will not occur.
Step 3: “When , the values of and should be applied together with experimental curves to
estimate the value of the pore pressure build-up at the end of the earthquake,
where is the change in
pore water pressure, and
is initial effective overburden stress at depth ” (Dobry et al., 1982, p. 23)
Step 4:
calculated in step (3) above is used to analyse when initial liquefaction will be experienced i.e.
or not
.
Figure 2: Correlation of pore pressure versus cyclic shear strain (after Dobry and Addoun, 2015)
Paper 18 – A compendium of soil liquefaction potential assessment methods
2019 Pacific Conference on Earthquake Engineering and Annual NZSEE Conference 5
The strain-based approach is suitable for clean sands with , theoretically reasonable, estimates
initial pore pressure, can estimate complicated stress-strain history on build-up of pore pressure. The
limitation of this method is greater difficulty of estimating the cyclic strain compared with the cyclic shear
stress-approach (Seed et al., 1983).
2.3 Energy-based methods
Davis and Berrill (1982) introduced an energy-based approach for liquefaction potential evaluation in which
the energy content of an earthquake is compared with the amount of dissipated energy required for soil
liquefaction, known as “capacity energy” and this proposed model was further updated in Berrill and Davis
(1985). Energy based approaches of assessing liquefaction triggering are numerous and have been well
reviewed and studied by several authors, (for instance: Baziar et al., 2011; Figueroa et al., 1994; Green and
Mitchell, 2004; Lasley et al., 2017). The systemic strain energy based method of liquefaction evaluation is
well outlined in (Baziar et al., 2011). Both the energy demand and capacity were estimated from the stress-
strain hysteresis loop. The applicability of energy-based evaluation techniques is suitable for cohesionless
sand under cyclic loading. The observed limitation in this method is shared from those involved in both
stress and strain methods of liquefaction assessment.
2.4 Laboratory and in-situ testing method
Previous studies (for instance: Bray et al., 2004; Cubrinovski & Ishihara, 1999; MBIE, 2016; Seed et al.,
2003; Youd and Idriss, 2001) have shown that index properties (liquid limit, plasticity index); maximum and
minimum density (or unit weight); stress-strain studies from consolidated undrained cyclic triaxial tests and
void ratio can be used to determine the liquefaction susceptibility of soils. A summary of liquefaction
assessment based on plasticity chart as found in Seed et al. (2003) is shown in Figure 3. In this plasticity
chart, soils within zone A and B should be considered liquefiable while soils outside zones A and B (i.e.
zone C) are considered non-liquefiable soils (although they should be checked for sensitivity). Also, the
modified Chinese criteria have been used to assess liquefaction potential of clayey soils in past decades and
is summarized under section 4(c) in Table 1. The graphical representation of modified Chinese criteria as
found in Bray et al. (2004) is shown in Figure 4. The applicability of the Chinese criteria is limited to clayey
soils and not suitable for sands.
Figure 3: Proposed plasticity chart for assessment liquefaction-prone soils (after Seed et al., 2003)
Paper 18 – A compendium of soil liquefaction potential assessment methods
2019 Pacific Conference on Earthquake Engineering and Annual NZSEE Conference 6
The -approach of liquefaction assessment is only suitable for clean sands; index properties are useful for
clayey soils; the void ratio approach provides insights on sands-FC (silty sand); undrained triaxial test has
capabilities to simulate liquefaction on small scale. Generally, limitations of laboratory tests include failure
to account for void redistribution during “undrained” in field; sample reconsolidation which is always higher
than in-situ state; and requires large correction to account for sampling and densification before shearing
takes place in the field situations. The above issues can be solved by executing soil laboratory tests at
fields’/in-situ effective stress level (Seed et al., 2003).
Figure 4: The modified Chinese criteria graphical representation (after Bray et al., 2004)
The most common in-situ soil assessment method for soil liquefaction in current practice are SPT, CPT, Vs1,
and BPT. The soil behaviour index originally proposed by Robertson and Wride (1998) which has some
modified versions was recommended by Youd and Idriss (2001) to evaluate liquefaction susceptibility of
soils. is evaluated by Equation 8, where is normalized cone tip resistance, and is normalized friction
ratio.
(8)
The detailed -criteria for liquefaction evaluation as found in MBIE (2016) are summarized in Section 5 0f
Table 1. The applicability and advantage of the SPT approach over CPT is that soil samples can be retrieved
for evaluation of FC, soil gradation, and index properties while the soil properties can only be inferred by the
cone tip and sleeve frictional resistance. CPT offers cost efficiency and result consistency over the SPT
method (Seed et al., 2003).
2.5 Physical modelling testing method
The use of physical model testing for liquefaction assessment usually involve either a “1-g” shake table
testing or a dynamic centrifuge model testing and is well outlined in NASEM (2016). The application of
shake tables and geotechnical centrifuge in evaluating liquefaction potential have been extensively studied
(e.g. Elgamal et al., 1996; Iwasaki et al., 1984; Yasuda et al., 1992). Physical modelling tests are normally
used to obtain soil parameters required for coupling constitutive numerical models in the validation and
verification process of liquefaction potential assessment. However, associated limitations of this approach
are like those described above for soil laboratory testing.
Paper 18 – A compendium of soil liquefaction potential assessment methods
2019 Pacific Conference on Earthquake Engineering and Annual NZSEE Conference 7
2.6 Computational mechanics-based method
Beaty and Perlea (2011) reported that two different techniques were available for predicting earthquake-
induced pore-water-pressures, including (1) a loose coupled approach based on strains, and (2) a fully
coupled approach based on plasticity-encoded constitutive model for predicting both pore pressure response
of soil and stress-strain. Models that apply the loose couple approach are not very robust for predicting
liquefaction triggering but fully coupled approach is more robust and popular within plasticity concepts to
predict the pore-pressure response and stress-strain inside soil fabric (NASEM, 2016).
For instance, constitutive nonlinear models commonly used to simulate liquefaction currently include
uncoupled models e.g.: Moore, Dames model (Dawson et al., 2001) to the relatively fully coupled models
like UBCSand model (Beaty and Byrne, 2011); DM04 model (Dafalias and Manzari, 2004); PM4Sand
model (Boulanger and Ziotopoulou, 2015). Current state-of-the-art in liquefaction computational
geomechanics already have been well reviewed by Boulanger and Ziotopoulou (2015). Although, results
obtained from software can be too generic especially if adequate data are not fully coupled in the computer
code, but they currently offer the verification means for most liquefaction studies.
2.7 Performance-based and system response method
The performance-based techniques of liquefaction assessment is mainly based on probabilistic analysis,
Bayesian analysis (Kayen et al., 2013), deterministic procedures, reliability-based assessments (Kayen et al.,
2013). This topic is also well documented by NASEM (2016). System response-based liquefaction
assessment is well documented by Cubrinovski et al. (2018) where the CPT data were used to characterize
liquefied (YY) and non-liquefied (NN) soil layers based on existing semi empirical approach. Critical layers
were determined for simplified profile of the study site with -values from the 2010-2011
CES. Important correlations for analysis includes the normalized cone tip resistance , versus
number of cycles and the effective pore water (EPWP) ratio
, maximum shear strain .
Notable advantages of the above approach is its capability to evaluate uncertainties, damages, and possible
risks of liquefaction. However, the usually required large amount of data for precison evaluation is its major
limitation.
3 DISCUSSION
The simplified stress-based procedure originally implemented by Seed and Idriss (1971) was observed to be
more commonly applied in recent geotechnical engineering assessment of liquefaction triggering, while the
strain-based approach introduced by Dobry et al. (1982) is less popular than the former due to
cumbersomeness of evaluating the strain amplitude. All the energy-based approaches quantify seismic
demand and liquefaction resistance in form of energy. Energy-based methods have potentials of using both
strengths of stress and strain concepts and does not require magnitude scaling factor. Laboratory test can be
very useful to understand the mechanics and physics of soil liquefaction especially when applied in
conjunction with in-situ field tests such as CPT, SPT, Shear vane, and BPT. Several correlations between
soil properties and these in-situ tests have been well documented in relevant references. Computational
geomechanics is relatively a new concept gaining fast progress in research and development by the
implementation of popular liquefaction models in software such as FLAC, OpenSees, PLAXIS, etc. The
performance-based methods of evaluating liquefaction mostly applies the probabilistic, deterministic or
Bayesian updating methods not only for liquefaction predictions but also to assess the physical damage,
severity, uncertainties, and associated risks.
Paper 18 – A compendium of soil liquefaction potential assessment methods
2019 Pacific Conference on Earthquake Engineering and Annual NZSEE Conference 8
Table 1: Some Merits and Limitations of Liquefaction Assessment Methods
Section.
Liquefaction
Assessment Methods
Evaluation Criteria
References
1.
Simplified stress
Liquefaction occurs if
No liquefaction if
(Seed & Idriss, 1971;
Youd & Idriss, 2001)
2.
Strain-based
No liquefaction if
Initial liquefaction if
(Andrus & Stokoe, 2000;
Baziar et al., 2011; Dobry
& Abdoun, 2015; Dobry
et al., 1982)
3.
Energy-based
Effective confining stress is proportional
to energy per unit volume
Stress-strain hysteresis loop (area) is
equivalent to dissipated energy
(Davis & Berrill, 1982;
Figueroa et al., 1994;
Green & Mitchell, 2004;
Lasley et al., 2017)
4.
Laboratory tests
(a) Plasticity
index (
: Susceptible to liquefaction
: Potentially susceptible
: Not susceptible to liquefac.
(MBIE, 2016; Seed et al.,,
1983)
(b) Atterberg
limits
& : Susceptible to
liquefaction
& : More
resistance to liquefaction but prone to
cyclic mobility
(Bray et al., 2004)
(c) Modified
Chinese
criteria
Cohesive soils plotting above A-line can
liquefy if
1. % finer than 0.005mm ≤ 15%
2.
3. Water content
(Seed et al., 2003)
(d) Relative
density (
Correlations
Correlation
Correlations
(Cubrinovski & Ishihara,
1999)
(e) Void ratio
versus correlation
versus correlation
(Cubrinovski & Ishihara,
1999, 2002)
5.
In-situ methods
CPT, SPT, Vs, BPT,
PGA-CSR
correlations
: too clay-rich to liquefy
: test soil to confirm or
assume liquefiable
& , soil should be
tested or assumed liquefiable
Updated liquefaction triggering charts are
available for estimating and .
(MBIE, 2016; Seed et al.,
1983; Seed et al., 2003;
Youd & Idriss, 2001)
Note: means increases
Paper 18 – A compendium of soil liquefaction potential assessment methods
2019 Pacific Conference on Earthquake Engineering and Annual NZSEE Conference 9
A multicriteria reference table for the frequently applied liquefaction potential assessment methods in current
practice is presented in Table 1. The modified SPT-chart shown in Figure 1, according to Seed et al. (2003)
have been improved on all correction factors, more points than previous versions have been used to develop
the charts, and have been improved by Bayesian updating to reduce possible associated uncertainties. Also,
past studies have derived several empirical correlations between relevant soil properties in order to fully
understand the mechanisms and physics of soil liquefaction. In recent years, useful relationships have been
developed for plasticity index, Atterberg limits, relative density, void ratios and the Chinese criteria have
equally been modified to enable a more accurate liquefaction evaluation for clayey soils. Also, some fair
correlation was reported between PGA and CSR at shallow deposits in Christchurch which agrees with the
simplified liquefaction evaluation method in Youd and Idriss (2001). Furthermore, it is worthwhile to
consider further studies on the proposed “system response analysis of liquefiable deposits” Cubrinovski et al.
(2018). The applied effective stress analyses used in the above study demonstrated some significant related
mechanisms of the studied layers.
4 CONCLUSION/RECOMENDATIONS
This paper summarizes the current state-of-the-art of liquefaction assessment methods in earthquake
engineering practice. Details of previous studies have been scattered in several publications and no
straightforward collation of liquefaction triggering assessment methods is available in the literature database.
Hence, the significance and justification for this paper. Although, the space constraint of this conference
paper has not allowed a comprehensive discussion on all liquefaction triggering evaluation methods, more
technical details of relevant approach can be obtained from the cited resources in each technique.
Most of the discussed assessment methods require further research to increase their accuracy of predictions
for both liquefactions triggering and consequences/severity. Furthermore, it was observed that most studies
on liquefaction assessments focused either on “pure sand” or “clay soil” but in real life scenarios, soils may
also consist mixture of both soil types. Therefore, it is recommended that studies on mixed soil properties
should be carried out for liquefaction triggering assessments. Interdisciplinary research based on sound
science and engineering mechanics is encouraged between the geotechnical engineers, engineering
geologists, seismologists and physicists to improve the current research trend.
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