2.

2 Geomechanics: a multi-disciplinary science

Geomechanics is an interdisciplinary area that involves the study of natural and man-made
systems with emphasis on the mechanics of various interacting phenomena. It comprises
aspects of various engineering and scientific disciplines such as civil, mechanical, hydraulic,
materials, and geological engineering and geophysics, with appropriate scientific foundations
in mechanics and physics. Some of the specific subjects involved are: soil and rock mechanics,
statics and dynamics of interacting structures and foundations, oil and fluid flow through
porous media, environmental geotechnology, offshore and marine technology, geothermal
energy and ice mechanics.
2.3 Geomechanics: an integration of old and innovative technologies
Geomechanics covers both fundamental and practical aspects, and recognizes the need for a
rational process of simplification through integration of theory, experiments and verification for
the development of procedures for solution of practical industrial problems. Geomechanics,
with emphasis on both basic and applied aspects, and its interdisciplinary nature, is capable of
participation in and integration of emerging scientific and technological developments so as to
contribute in a wide range of areas. These include: development and usage of new materials;
constitutive modeling of materials including deformation, damage and failure; verification of
existing and new constitutive models ; micro-macro correlation of material response including
non-destructive testing; new techniques for material and site characterization; computer aided
engineering and expert system; innovative construction using new materials and computer
methods; design and rehabilitation of infrastructure; use of system and optimization
procedures; and remote sensing. Thus geomechanics has potential for developing innovative
technologies, and providing challenging careers to outstanding people.

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1.0 EVALUATION OF LIQUEFACTION EARTHQUAKE HAZARD
3.1 Introduction to Liquefaction

Liquefaction is a process by which sediments below the water table temporarily lose strength
and behave as a viscous liquid rather than a solid. The types of sediments most susceptible are
clay-free deposits of sand and silts; occasionally, gravel liquefies. Seismic waves, primarily shear
waves, passing through saturated granular layers, distort the granular structure, and cause
loosely packed groups of particles to collapse. These collapses increase the pore-water pressure
between the grains if drainage cannot occur. If the pore-water pressure rises to a level
approaching the weight of the overlying soil, the granular layer temporarily behaves as a
viscous liquid rather than a solid. This phenomenon is called Liquefaction.

In the liquefied condition, soil may deform with little shear resistance; deformations large
enough to cause damage to buildings and other structures are called ground failures. The ease
with which a soil can be liquefied depends primarily on the looseness of the soil, the amount of
cementing or clay between particles, and the amount of drainage restriction.

Liquefaction does not occur at random, but is restricted to certain geologic and hydrologic
environments, primarily recently deposited sands and silts in areas with high ground water
levels. Generally, the younger and looser the sediment, and the higher the water table, the
more susceptible the soil is to Liquefaction. Liquefaction has been most abundant in areas
where ground water lies within 10 m of the ground surface; few instances of Liquefaction have
occurred in areas with ground water deeper than 20 m. Dense soils, including well-compacted
fills, have low susceptibility to Liquefaction.

Types of Liquefaction-

1. Flow Liquefaction: Can occur when the static shear stress (required for stability) is
greater than the shear strength of the liquefied soil. In this case, Liquefaction leads to a
strength loss, which causes static stresses to cause the flow failure.

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 2. Cyclic Mobility: Occurs when the static shear stress is smaller than the shear strength of
the liquefied soil. In this case, incremental deformations are caused by both cyclic and
static shear stresses. Cyclic mobility is always triggered by earthquakes

3.2 Effects of Liquefaction

It is not the occurrence of Liquefaction that is of prime importance, but its severity or its
capability to cause damage. Adverse effects of Liquefaction can take many forms. Flow failures,
Lateral spreads, Ground oscillation, Loss of bearing strength & settlement, Increased lateral
pressure on retaining walls.

Flow failures are the most catastrophic ground failures caused by Liquefaction. These failures
commonly displace large masses of soil laterally tens of meters and in a few instances, large
masses of soil have traveled tens of kilometers down long slopes at velocities ranging up to tens
of kilo-meters per hour. Flows may be comprised of completely liquefied soil or blocks of intact
material riding on a layer of liquefied soil.

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When the soil supporting a building or other structure liquefies and loses strength, large de-
formations can occur within the soil which may allow the structure to settle and tilt. Buried
tanks and piles may rise buoyantly through the liquefied soil.

3.3 Liquefaction Susceptibility

The term “Liquefaction” is typically used to describe a variety of phenomena that causes soil
deformations resulting from monotonic, transient, or repeated disturbance of saturated,
cohesionless soils under undrained conditions. The generation of excess pore pressures under
undrained loading is a key aspect of Liquefaction and the formation of sand boils.

The evaluation of Liquefaction hazards requires that the susceptibility of soil deposits be
evaluated. However, not all soils deposits are susceptible to Liquefaction. Therefore, several
criteria are used by which Liquefaction susceptibility can be assessed. These criteria include
historical, geologic, compositional, and state criteria.

3.3.1 Historical Criterion

Liquefaction often recurs at the same location when soil and groundwater conditions remain
relatively unchanged. Therefore, field case histories where Liquefaction evidence has been
observed can be used to identify the general site conditions under which susceptibility can be
evaluated.

Prehistoric evidence has been used to identify the sites and conditions under which
Liquefaction has occurred. The study of these prehistoric features, termed paleoLiquefaction,
examines exposed soil stratigraphy in the field to identify Liquefaction features that have been
subsequently buried by sedimentation. Researchers have begun to use paleoLiquefaction
evidence to estimate magnitudes and accelerations (peak) associated with prehistoric
earthquakes

3.3.2Geological Criterion

Soils that are susceptible to Liquefaction are deposited in a narrow range of sedimentary
environments. Sedimentary facies that consist of uniform grain size distributions deposited in

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loose states produce soils highly susceptible to Liquefaction. These facies primarily consist of
fluvial (river), alluvial (seasonal), colluvial (slope instability), and aeolian (wind). Soil aging can
also affect Liquefaction susceptibility; older sediments are less susceptible to Liquefaction.
Liquefaction only occurs in saturated soil deposits. Therefore, the depth to groundwater, either
static or perched, is an important factor in susceptibility.

3.3.3Compositional Criterion

Compositional characteristics influence volume change behavior in soils during Liquefaction,

and hence, how excess pore pressures develop. These characteristics primarily consist of
particle shape and size, and gradation. The bounds on size criteria are broad and range from
nonplastic silts to gravel, however most Liquefaction is observed in clean sands. Well-graded
soils are generally less susceptible to Liquefaction than poorly graded soils. Most Liquefaction
failures in the field have involved uniformly graded soils. Rounded soil particle shapes are
generally more susceptible to Liquefaction than angular-grained soils. Grain size ranges for
most liquefiable soils are-

Fraction finer than 0.005 mm <15% , Liquid Limit, LL <35%

“Liquid limit” - water content above which material acts as a liquid
Natural water content > 90%, LL Liquidity Index <0.75
3.3.4 State Criterion
Liquefaction susceptibility also depends on the initial state of the soil. State criteria define the
stress and density state characteristics at the time of the earthquake required to evaluate
Liquefaction susceptibility.

3.4 Concept of Liquefaction

3.4.1 Critical Void Ratio

Casagrande (1936) performed a series of drained, strain-controlled, triaxial tests on sand

specimens that were initially loose and initially dense. The results of the tests showed that
specimens tested at the same effective confining pressure approached the same density when

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sheared to large strains. The void ratio corresponding to this density was termed the critical
void ratio, ec.

Testing at different confining stresses showed that the critical void ratio was uniquely related to
the effective confining pressure. The CVR line is used to indicate the boundary between loose
(contractive) and dilative (dense) states by redefining the state of soil in terms of density (void
ratio) and effective confining pressure (effective overburden stress). CVR line marks the
boundary between contractive and dilative behaviour and separates the states in which a
particular soil is susceptible or not susceptible to flow Liquefaction.

3.4.2 Steady-state Concept

In 1969, Castro performed a series of stress-controlled undrained static triaxial tests on

anisotropically consolidated sand specimens at very loose, dense and intermediate dense
conditions to replicate the phenomena that define Liquefaction susceptibility. For the very
loose specimens, peak undrained shear strengths and high positive pore pressures were
reached at small shear strains. After which, the soil collapsed and flowed rapidly to large strains
at low effective confining pressure and low shearing resistance. Castro termed this behavior
Liquefaction and it is known today as a particular type of Liquefaction called flow Liquefaction.

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Dense specimens initially contracted, producing positive pore pressures. The tendency to
contract was followed by dilation until a high constant effective confining pressure and large-
strain strength was reached to produce a high negative pore pressure.

At intermediate densities, the exceedance of a peak strength at low strain was followed by a
period of strain softening (contractive behavior). Continued straining resulted in a reversal of
the stress path and a period of dilation at intermediate strains. Castro termed this type of
behavior limited Liquefaction.

The point of reversal from contractive to dilative behavior for the intermediate dense sand
specimen was later termed the phase transformation point by Ishihara et al. (1975)

Castro and Poulos introduced the concept of the steady-state line into the engineering
community in 1977.

They identified the steady-state line (SSL) as the 3-D graphical representation of the locus of
states in which a soil will flow at the constant shear stress, volume, effective stress, and velocity
conditions.

They noted that the axes of the plot would include shear stress (τ), void ratio (e), and minor
effective principle stress (σ3’) in 3-D space, but could also be plotted in a pair of 2-D plots with
one common axes.

The steady-state line concept can be used to evaluate the soil response during undrained
monotonic and cyclic shear by considering the position of the in-situ soil relative to the SSL.

Soils that plot above the line would tend to contract and develop positive pore pressures when
exposed to undrained monotonic and cyclic shear, resulting in a reduction in the effective stress
and possible large strains.

If the initial soil conditions plot below the SSL, the sample will tend to dilate during monotonic
undrained shear, resulting in a decrease in the pore water pressure and a subsequent increase
in effective stress in the soil.

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3.5 Evaluation of Liquefaction Potential

Evaluation of Liquefaction hazards involves three primary steps.

1. The susceptibility of the soil to Liquefaction must be evaluated. If the soil is determined
to be not susceptible to Liquefaction, Liquefaction hazards do not exist and the
Liquefaction hazard evaluation is complete. If the soil is susceptible to Liquefaction, the
evaluation moves to the second step.

2. Evaluation of the potential for initiation of Liquefaction. This step involves comparison
of the level of loading produced by the earthquake with the Liquefaction resistance of
the soil. If the resistance is greater than the loading, Liquefaction will not be initiated
and the Liquefaction hazard evaluation can be considered complete. If the level of
loading is greater than the Liquefaction resistance, however, Liquefaction will be
initiated. If Liquefaction is initiated, the evaluation moves to the third stage

3. Evaluation of the effects of Liquefaction. If the effects are sufficiently severe, the
engineer and owner may consider improvement of the site, or alternative sites for the
proposed development.

3.5.1Factors that govern Liquefaction in field

1. Earthquake intensity and duration

In order to have Liquefaction of soil, there must be ground shaking. The ground motion
parameters (acceleration, frequency content an and duration of shaking) determines the
shear strains that cause the contraction of the soil particles and the development of excess
pore water pressures leading to Liquefaction. The potential for Liquefaction increases as the
earthquake intensity and duration of shaking increase. The shaking threshold that is needed
to produce Liquefaction are a peak ground acceleration amax of about 0.10g and local
magnitude ML of about 5 (National Research Council 1985, Ishihara 1985). Thus, a
Liquefaction analysis would typically not be needed for those sites having a peak ground
acceleration amax less than 0.10g or a local magnitude ML less than 5.

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2. Ground water table

Liquefaction only occurs for soils that are located below the groundwater table.
Unsaturated soil located above the groundwater table will not liquefy. At sites where the
groundwater table significantly fluctuates, the Liquefaction potential will also fluctuate.
Generally, the historic high groundwater level should be used in the Liquefaction analysis. If
it can be demonstrated that the soils are currently above the groundwater table and are
highly unlikely to become saturated for given foreseeable changes in the hydrologic regime,
then such soils generally do not need to be evaluated for Liquefaction potential.

3. Soil Type

The soil types susceptible to Liquefaction are mostly nonplastic (cohesionless) soils.

In order for a cohesive soil to liquefy, it must meet all the following three criteria:

a) The soil must have less than 15 percent of the particles, based on dry weight, that are
finer than 0.005 mm (i.e., % finer at 0.005 mm <15 %).
b) The soil must have a liquid limit (LL) that is less than 35 (that is, LL < 35).
c) The water content w of the soil must be greater than 0.9 of the liquid limit [that is, w >
0.9 (LL)].

If the cohesive soil does not meet all three criteria, then it is generally considered to be not
susceptible to Liquefaction

4. Relative density of soil

Based on field studies, loose cohesionless soils will contract during the seismic shaking
which will cause the development of excess pore water pressures leading to Liquefaction.
Upon reaching initial Liquefaction, there will be a sudden and dramatic increase in shear
displacement for loose sands. For dense sands, the state of initial Liquefaction does not
produce large deformations because of the dilation tendency of the sand upon reversal of
the cyclic shear stress. Dilative soils are not susceptible to Liquefaction because their
undrained shear strength is greater than their drained shear strength.

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 5. Grain size distribution and particle shape

Uniformly graded nonplastic soils tend to form more unstable particle arrangements and
are more susceptible to Liquefaction than well-graded soils. Well-graded soils will also have
small particles that fill in the void spaces between the large particles. This tends to reduce
the potential contraction of the soil, resulting in less excess pore water pressures being
generated during the earthquake. Field evidence indicates that most Liquefaction failures
have involved uniformly graded granular soils.Soils having rounded particles tend to densify
more easily than angular-shape soil particles. Hence a soil containing rounded soil particles
is more susceptible to Liquefaction than a soil containing angular soil particles.

6. Placement condition/ Depositional environment

Hydraulic fills (fill placed under water) tend to be more susceptible to Liquefaction because of
the loose and segregated soil structure created by the soil particles falling through water.
Natural soil deposits formed in lakes, rivers, or the ocean also tend to form a loose and
segregated soil structure and are more susceptible to Liquefaction.

7. Drainage conditions

If the excess pore water pressure can quickly dissipate, the soil may not liquefy. Thus highly
permeable sand/gravel drains or gravel layers can reduce the Liquefaction potential of adjacent
soil.

8. Confining pressures

The greater the confining pressure, the less susceptible the soil is to Liquefaction. Conditions
that can create a higher confining pressure are a deeper groundwater table, soil that is located
at a deeper depth below ground surface, and a surcharge pressure applied at ground surface.
Case studies have shown that the possible zone of Liquefaction usually extends from the
ground surface to a maximum depth of 15 m. Deeper soils generally do not liquefy because of
the higher confining pressures.

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 9. Ageing of the deposit

Newly deposited soils tend to be more susceptible to Liquefaction than older deposits of soil. It
has been shown that the longer a soil is subjected to a confining pressure, the greater will be
the Liquefaction resistance .The increase in Liquefaction resistance with time could be due to
the deformation or compression of soil particles into more stable arrangements. With time,
there may also be the development of bonds due to cementation at particle contacts.

10. Previous earthquake history

Older soil deposits that have already been subjected to seismic shaking have an increased
Liquefaction resistance compared to a newly formed specimen of the same soil having an
identical density. Liquefaction resistance also increases with an increase in the
overconsolidation ratio (OCR) and the coefficient of lateral earth pressure at rest k 0. An
example would be the removal of an upper layer of soil due to erosion. Because the underlying
soil has been preloaded, it will have a higher overconsolidation ratio and it will have a higher
coefficient of lateral earth pressure at rest k0. Such a soil that has been preloaded will be more
resistant to Liquefaction than the same soil that has not been preloaded.

11. Loads from superstructure

The construction of a heavy building on top of a sand deposit can decrease the Liquefaction
resistance of the soil. The reason for this is the soil underlying the building will already be
subjected to certain amount of shear stresses caused by the building load. A smaller additional
shear stress will be required from the earthquake in order to cause contraction and hence
Liquefaction of the soil.

3.6 Liquefaction Hazards

Liquefaction can affect buildings and bridges in a number of different ways. Liquefaction
phenomena can alter ground motions in terms of amplitude, frequency content and duration.
Liquefaction can also lead to ground failure, either through flow Liquefaction or lateral

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spreading. Liquefaction causes excessive ground surface settlements. Lateral spreading,
Landslides, Sand boils and Foundation failures are common effects of Liquefaction.

3.6.1 Alteration of ground motion

The development of positive excess pore pressures causes soil stiffness to decrease during an
earthquake. A deposit of liquefiable soil that is relatively stiff at the beginning of the
earthquake may be much softer by the end of the motion. As a result, the amplitude and
frequency content of the surface motion may change considerably throughout the earthquake.

The decrease in surface acceleration amplitudes when pore pressures become large does not
mean that damage potential is necessarily reduced because low acceleration amplitudes at low
frequencies can still produce large displacements. These displacements may be of particular
concern for buried structures, utilities, and structures supported on pile foundations that
extend through liquefied soils.

3.6.2 Lateral Spreading

Lateral spreading occurs when earthquake-induced shear stresses temporarily exceed the yield
strength of a liquefiable soil that is not susceptible to flow Liquefaction. Lateral spreading is
characterized by lateral deformations that occur during earthquake shaking (and end when
earthquake shaking has ended). The displacements may be small or large, depending on the
slope of the ground, the density of the soil, and the characteristics of the ground motion.
Lateral spreading can occur in gently sloping areas or in flat areas adjacent to free surfaces.
Because the residual strength exceeds the static shear stress, large flow deformations that
could continue after the end of earthquake shaking do not develop. Lateral spreading can have
a severe impact on structures. Because it occurs so frequently in waterfront areas, it has
historically had a profound effect on structures such as bridges and wharves and consequently
a strong economic impact on transportation systems and ports.The lateral spreading
phenomenon is a complex one, and it has proven to be extremely difficult to make accurate a
priori predictions of permanent deformations using analytical/numerical procedures alone. As
a result, currently available procedures to estimate the lateral deformations are empirical.

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3.6.3 Large ground oscillations

The occurrence of Liquefaction at depth beneath a flat ground surface can decouple the
liquefied soils from the surficial soils and produce large, transient ground oscillations. The
surficial soils are often broken into blocks separated by fissures that can open and close during
the earthquake. Ground waves with amplitudes of up to several feet have been observed
during ground oscillation, but permanent displacements are usually small.

3.6.4 Development of sand boils

Liquefaction is often accompanied by the development of sand boils. Seismically induced

excess pore pressures are dissipated predominantly by the upward flow of pore water. If the
hydraulic gradient driving the flow reaches a critical value, the vertical effective stress will drop
to zero and the soil will be in a quick condition. In such cases, the water velocities may be
sufficient to carry soil particles to the surface.

In the field, soil conditions are rarely uniform so the escaping pore water tends to flow at high
velocity through localized cracks or channels. Sand particles can be carried through these
channels and ejected at the ground surface to form sand boils.

3.6.5 Liquefaction induced Settlements

The tendency for densification due to applied shear stresses, produces Liquefaction in
saturated soils. The generation of excess porewater pressure, however, is a transient event.
Following strong earthquake shaking, the presence of excess porewater pressure implies the
presence of hydraulic gradients that will cause the porewater to flow until hydrostatic
porewater pressure conditions are once again reached. This dissipation of excess porewater
pressure occurs through the process of consolidation and is accompanied by a reduction in the
volume of the soil, which is typically manifested in the form of settlement of the ground
surface. Ground surface settlement following Liquefaction has been observed in numerous
earthquakes. Large areas of settlement can produce regional subsidence, which can lead to
submergence of low-lying coastal areas While regional subsidence can produce relatively
uniform settlements of the area occupied by an individual structure, more localized settlement

13
can produce significant differential settlement. Differential settlement can impose high
demands on structures and lead to significant damage of structures supported on shallow
foundations.

3.6.6 Flow Slides

Flow slides can be triggered during or after strong ground shaking. If the ground motion
produces high porewater pressure in an area of a slope that is critical to the maintenance of
stability, flow Liquefaction may be triggered during the earthquake. In some cases, however,
the highest porewater pressures are generated in zones that are not critical for stability – for
example, under the central portion of an earth dam. Following earthquake shaking,
redistribution of excess porewater pressure will cause porewater pressure to decrease in some
areas but to temporarily increase in others. If excess porewater pressures migrate into areas
that are critical for stability, a flow slide may be triggered at some period of time after
earthquake shaking has ended. The occurrence of delayed flow slides depends on hydraulic as
well as dynamic soil properties, and is likely to be strongly influenced by the presence and
distribution of layers and seams of fine-grained soils.

3.6.7 Foundation Failures

Liquefaction can cause the failure of foundation systems by a variety of mechanisms. Both
shallow and deep foundations can be damaged by soil Liquefaction. Shallow foundation failure
mechanisms is through the loss of bearing capacity associated with loose, saturated soils with
low residual strength. By this mechanism, the earthquake shaking can trigger flow Liquefaction
and dramatic bearing failures Local failure of shallow foundations can occur through the
mechanism of cyclic mobility. The static stresses imposed in the soil beneath a shallow
foundation can cause the accumulation of permanent strain in a particular direction, leading to
excessive settlement of the shallow foundation. Liquefaction can also have a significant impact
on pile foundations as observed in many earthquakes.

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3.7 PaleoLiquefaction Studies

During the past two decades, prehistoric evidence has been used to identify the sites and
conditions under which Liquefaction has occurred. The study of these prehistoric features,
termed PaleoLiquefaction, examines exposed soil stratigraphy in the field to identify
Liquefaction features that have been subsequently buried by sedimentation. Mapping
paleoLiquefaction features, coupled with back analysis, is becoming an increasingly utilized
technique for determining the strength of prehistoric ground motions. The method takes the
interpreted soil conditions at the time the paleoLiquefaction was produced, and back calculates
the maximum peak acceleration and magnitude that would be required to produce
Liquefaction.

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