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Abstract: Liquefaction resistance of a sand under cyclic loading is assessed and the effects of the levels of confining
pressure and static shear on resistance to liquefaction are investigated. Site-specific values of the resistance under speci-
fied levels of confining and static shear stresses are measured in the laboratory. The measured values are compared
with those which would be predicted by the application of empirical multiplying factors Kσ and Kα to the reference re-
sistance at 100 kPa effective confining stress with no static shear. It is shown that Kσ and Kα are not independent, as
assumed in current practice. The combined factor Kσ × Kα resulting from the empirical method is shown to underesti-
mate the cyclic resistance ratio regardless of the initial density and confining and static shear levels. The degree of
conservatism is most dramatic at looser density states.
Key words: sand, liquefaction, static, cyclic, static shear, confining stress.
Résumé : On évalue la résistance à la liquéfaction d’un sable sous un chargement cyclique et on étudie les effets des
niveaux de la pression de confinement et du cisaillement statique sur la résistance à la liquéfaction. On mesure en la-
boratoire des valeurs de résistance spécifiques au site à des niveaux spécifiés de contraintes de confinement et de cisail-
lement statique. Les valeurs mesurées sont comparées à celles qui seraient prédites par l’application des facteurs
multiplicatifs empiriques Kσ et Kα à la résistance de référence sous une contrainte de confinement de 100 kPa et sans
cisaillement statique. On montre que Kσ et Kα ne sont pas indépendants, comme on le suppose dans la pratique cou-
rante. On montre que le facteur combiné Kσ × Kα découlant de la méthode empirique sous-estime le rapport de résis-
tance cyclique, quels que soient la densité initiale et les niveaux de confinement et de cisaillement statique. Le degré
de conservatisme est des plus dramatiques à des états de densité plus meubles.
Mots clés : sable, liquéfaction, statique et cyclique, cisaillement statique, contrainte de confinement.
Received October 1, 1999. Accepted November 6, 2000. Published on the NRC Research Press Web site on May 17, 2001.
Y.P. Vaid, J.D. Stedman,1 and S. Sivathayalan.2 Department of Civil Engineering, University of British Columbia, 2324 Main
Mall, Vancouver, BC V6T 1Z4, Canada.
1
Present address: Department of Agricultural and Environmental Engineering, Kobe University, 1-1 Rokkodai-cho, Nada-ku, Kobe,
657-8501, Japan.
2
Corresponding author (e-mail: siva_sivathayalan@carleton.ca). Present address: Department of Civil and Environmental Engineering,
Carleton University, 1125 Colonel By Drive, Ottawa, ON K1S 5B6, Canada.
Can. Geotech. J. 38: 580–591 (2001) DOI: 10.1139/cgj-38-3-580 © 2001 NRC Canada
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The cyclic resistance of the sand at an arbitrary effective Vaid and Chern (1985) have clearly demonstrated that the
confining stress σ ′ and static shear τ st, (CRR)σ ′, α , is then cyclic resistance can either increase or decrease depending
obtained by on the confining stress level and density. They further
showed that at a given density the cyclic resistance depends
[1] (CRR)σ′,α = (CRR)100,0KσKα on the confining and static shear stress levels. Seed and
where α is a measure of the level of initial static shear stress Harder (1990) reported similar findings in 1990, confirming
and is defined by normalizing the maximum shear stress by that the CRR can either increase or decrease with increasing
the normal effective stress acting on the plane of maximum static shear depending on relative density and static shear
shear stress. Thus, stress level. However, Seed and Harder did not consider the
effects of confining stress level at a given level of static
τst shear stress ratio and the mechanism that was responsible for
α= in simple shear
σ vc
′ strain development, which may influence CRR.
[2] In current practice, the influence of confining stress and
σ1c′ − σ 3c
′ static shear on liquefaction resistance is accounted for by se-
α= in triaxial shear
σ1c′ + σ 3c
′ quentially applying the correction factors Kσ and Kα from
Seed and Harder (1990) to the known cyclic resistance at
Seed and Harder (1990) summarized laboratory test results 100 kPa confining stress with no static shear, as noted in
on reconstituted moist tamped and pluviated specimens and eq. [1]. Even though it is not explicitly stated, such sequential
undisturbed fixed piston samples performed by various re- application of these correction factors implies that the influ-
searchers. Based on the measured cyclic resistance over a ence of confining stress and static shear stress levels are inde-
range of confining stresses, they suggested an empirical cor- pendent of each other. The undrained behaviour of sands,
rection factor Kσ, which was dependent only on the level of however, depends collectively on all initial state variables
confining stress. However, the data compiled by Seed and such as relative density after consolidation Drc, effective con-
Harder show a very large scatter in the cyclic resistance of a fining stress σ nc′ , and static shear stress τst (Vaid and Chern
sand at a given confining stress. This scatter apparently indi- 1985). Such a collective dependency implies that any attempts
cates the dependency of Kσ on factors other than confining to characterize the response using only one of these variables
stress alone. are not rational. Current practical methods that specify Kσ de-
The dependence of Kσ on the relative density of sand in pendent only on the confining stress level or Kα dependent
addition to the confining stress has been identified by Vaid only on the relative density amount to oversimplification. This
and Thomas (1995) from cyclic triaxial tests. Cyclic simple is because relative density is not an independent state vari-
shear tests also have revealed similar dependency of Kσ on able; but rather it is intimately linked to the applied confining
relative density (Vaid et al. 1985). These studies indicate that and static shear stresses (Vaid and Sivathayalan 1998).
Kσ is close to 1 for the most liquefaction prone loose sand This paper is an attempt to investigate whether Kσ and Kα
but can be significantly smaller than 1 for dense states. Both can be sequentially superimposed as is done in the current
cyclic simple shear and cyclic triaxial tests yield similar val- practice. A comprehensive study of static and cyclic triaxial
ues of Kσ for loose sands. However, cyclic triaxial test con- behaviour of a deltaic sand was undertaken to accomplish
ditions appear to overestimate Kσ at higher density states this objective. The effect of each initial state variable (Drc,
compared with the Kσ measured under cyclic simple shear ′ , and α) is assessed independently by varying only one of
σ nc
stress conditions (Vaid and Sivathayalan 1996a). these parameters while the others are held constant. Thus
Studies by Lee and Seed (1967), Lee et al. (1975), Seed et CRR values under site-specific Drc, σ nc ′ , and α conditions are
al. (1975), and Seed (1983) conclude that the presence of directly determined. These measured CRR values are then
static shear increases the cyclic resistance to liquefaction. compared with those suggested by the current empirical
Castro (1969, 1975), Casagrande (1975), Castro and Poulos practice, using the Kσ and Kα multiplying factors sequen-
(1977), and Castro et al. (1982), however, arrived at the con- tially, and the situations where such extrapolations should
clusion that an increase in static shear stress may decrease not be used are pointed out. Considering that the sand be-
the cyclic resistance of sand to liquefaction. haviour at a given density state is profoundly affected by the
Vaid and Finn (1978) and Vaid and Chern (1983, 1985) level of confining stress and for a given confining stress by
showed that without reference to the initial density and con- the level of static shear, the use of Kσ and Kα as independent
fining stress level, the dependence of cyclic resistance on factors may not be completely sound.
static shear stress alone was not rational. Contradictions in The simulation of initial static shear stress in the triaxial
conclusions derived from the past studies were explained by test is achieved by consolidation under nonhydrostatic
systematic laboratory investigation programs, in which ini- stresses σ1c′ σ 3c ′ , in contrast to the hydrostatic σ1c′ = σ 3c′.
tial confining stress, static shear stress, cyclic shear stress, The measure of initial confining stress under this condition
and density were controlled. These studies demonstrate that must, somehow, consider the influence of both σ1c′ and σ 3c ′.
the influence of static shear on the cyclic resistance of a The magnitude of the normal effective stress on the 45°
given sand depends on the density, confining and static shear plane (the plane of maximum shear stress) would be taken as
stress levels, and the mechanism of strain development that an appropriate measure of initial confinement, σ nc ′ . This is
causes liquefaction. The cyclic resistance increased with an consistent with conditions under simple shear, where the
increase in static shear if liquefaction was induced by cyclic measure of initial confinement, the vertical effective stress
mobility, but it decreased with an increase in static shear if σ vc
′ acts on the plane of maximum shear stress at failure
strain softening was the cause behind liquefaction. (Roscoe 1970).
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Fig. 2. Effective stress states at (a) triggering of strain-softening in a strain-softening manner over a range of deposition void
deformation in compression and extension, and (b) minimum un- ratios denser than the loosest state.
drained strength (QSS/SS) of strain-softening sand in compres- These contrasting differences between compression and
sion and extension. extension undrained response of sands have been reported
by several researchers (e.g., Bishop 1971; Vaid et al. 1990,
1995; Riemer and Seed 1997). They have been attributed to
the presence of inherent anisotropy in water-deposited sands
(Arthur and Menzies 1972; Oda et al. 1978).
The locus of the effective stress states at peaks of the
strain-softening response may be noted to lie on straight
lines passing through the origin for each loading mode (Fig. 2).
This implies that strain softening, in a given loading mode,
is triggered at a constant value of effective stress ratio,
termed herein the critical stress ratio (CSR), corresponding
to a mobilized friction angle φCSR. The critical stress ratio,
however, is dependent on the loading mode. In compression,
φCSR is about 26°, independent of the initial state, but is sub-
stantially smaller at about 17° in extension. Unlike compres-
sion, in extension it further depends on the deposition void
ratio (17° for the loosest state and increasing to about 23°
for Dri ≈ 50%). There are important implications of these
different φCSR values in the two loading modes which will be
discussed later in the paper.
Figure 2b illustrates the effective stress states corresponding
to steady state, quasi steady state (in strain-softening speci-
mens), and to phase transformation (PT) in dilative specimens,
both in compression and extension tests. The locus of these
states is a unique straight line passing through the origin, re-
gardless of the loading mode or the type of deformation. Such
uniqueness of the friction angle at SS, QSS, or PT has been reported
by several researchers (Vaid and Chern 1985; Vaid et al. 1990).
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Fig. 3. Liquefaction due to (a) contractive deformation in compression during cyclic loading, (b) contractive deformation in extension
during cyclic loading, (c) cyclic mobility with transient states of zero effective stress during cyclic loading, and (d) cyclic mobility
without transient states of zero effective stress during cyclic loading.
Features common to both static and cyclic deformation in a given loading mode, the stress ratio at
response which strain-softening deformation is triggered in cyclic
loading is essentially identical to that observed under static
Several features of the undrained response are common to loading. This equality applies to both compression and
both static and cyclic behaviour. At a given density and for extension modes of loading. Even though the mobilized
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Cyclic resistance
Figure 5 shows typical cyclic resistance data at σ nc ′ =
100 kPa and Kc = 1.25 in the form of ec versus the number
of cycles to liquefaction, N. Each contour in Fig. 5 was gen-
erated by running a series of tests on samples with different
relative densities but maintaining a constant cyclic stress
amplitude, σd,cyc /(2σ 3c
′ ). The mechanism of strain develop-
ment leading to liquefaction in each test is also identified. If
strain softening was responsible for causing liquefaction, it
is labelled CC for compression and CE for extension. Ab-
sence of such a label implies strain development due only to
cyclic mobility with or without transient states of σ 3′ = 0
during each loading cycle. Whether there were excursions
through transient states of zero effective stress can be in-
ferred from the relative values of cyclic shear stress and the
initial static shear stress.
Contours similar to those in Fig. 5 at σ nc
′ = 100 kPa, but
at other Kc values of 1.00, 1.50, and 2.00, were also deter-
mined. Tests similar to those at σ nc′ = 100 kPa were then
performed at the higher values of σ nc′ = 200 and 400 kPa at
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Fig. 5. Cyclic resistance curves: ec versus N for Fraser River Fig. 6. Cyclic resistance ratio CRR versus relative density Drc
sand at σ nc
′ = 100 kPa and Kc = 1.25. for Fraser River sand at σ nc
′ = 100 kPa.
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Fig. 8. Cyclic resistance CRR versus relative density Drc for Fra- Fig. 9. Dependence of cyclic resistance on (a) confining stress
ser River sand at σ nc
′ = 400 kPa. and empirical Kσ values, and (b) relative density at a given con-
fining stress.
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Fig. 10. Kα versus α for Fraser River sand at different density Fig. 12. Kασ versus α for Fraser River sand at different density
states at σ nc
′ = 100 kPa. states at σ nc
′ = 400 kPa.
Fig. 11. Kασ versus α for Fraser River sand at different density Fig. 13. Measured versus predicted cyclic resistance ratio at a
states at σ nc
′ = 200 kPa. fixed α = 0.11 level.
the earlier findings of Vaid et al. (1985), Vaid and Thomas tionships from the data compiled by Seed and Harder
(1995), and Vaid and Sivathayalan (1996a). (1990). The Seed and Harder data in Figs. 11 and 12 have
The results in Figs. 6–8 are now cross-plotted in Figs. 10– been suitably adjusted by the appropriate Kσ factors relevant
12 to obtain a single site-specific correction factor, termed to the confining stress levels in question to yield the com-
Kασ herein, that would empirically relate the reference bined empirical correction factors.
(CRR)σ ′ = 100, α = 0 to (CRR)σ ′,α for the effects of the levels of For the sand tested, the combined correction for confining
static shear and confining pressure. The results are plotted as stress and static shear levels, using sequential application of
Kασ versus α at selected constant values of relative densities, Seed and Harder (1990) empirical correction factors, grossly
loose to dense. Since σ nc ′ = 100 kPa (i.e., Kσ = 1) in Fig. 10, underestimates the actual cyclic resistance at all relative den-
the combined correction factor Kασ degenerates to merely sity states. The degree of conservatism increases as the
Kα. Also superimposed in Figs. 10–12 are the derived rela- initial density gets looser. For example, for the loose sand
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Fig. 14. Measured versus predicted cyclic resistance ratio at a Fig. 15. Measured versus predicted cyclic resistance ratio at a
fixed α = 0.20 level. fixed α = 0.33 level.
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of relative density was much higher for the higher levels of Roscoe, K.H. 1970. The influence of strains in soil mechanics.
static shear stresses. 10th Rankine Lecture. Géotechnique, 20(2): 129–170.
The combined correction factor Kασ implied by the di- Seed, H.B. 1983. Earthquake resistant design of earth dams. In
rectly measured site-specific cyclic resistance is grossly un- Proceedings of the Symposium on Seismic Design of Embank-
derestimated for the sand tested, if computed using the Seed ments and Caverns, American Society of Civil Engineers, Phila-
and Harder (1990) empirical correction factors Kα and Kσ. delphia, Pa., pp. 41–64.
This occurs at all relative density states, regardless of the Seed, R.B., and Harder, L.F. 1990. SPT-based analysis of cyclic
confining stress and static shear stress levels. The degree of pore pressure generation and undrained residual strength. In
Proceedings of the Seed Memorial Symposium. Edited by J.M.
conservatism implied by the current empirical methods of
Duncan. BiTech Publishers, Vancouver, B.C. pp. 351–376.
accounting for the effects of confining and static shear stresses
Seed, H.B., Mori, K., and Chan, C.K. 1975. Influences of seismic
on cyclic resistance seems too high, and is most pronounced
history on the liquefaction characteristics of sands. Report
for loose density states that are most prone to liquefaction. EERC 75-25, Earthquake Engineering Research Center, Univer-
sity of California, Berkeley, Calif.
Acknowledgements Stedman, J.D. 1997. Effects of confining pressure and static shear
on liquefaction resistance of Fraser River sand. M.A.Sc. thesis,
This research was supported by a grant from the Natural University of British Columbia, Vancouver, B.C.
Sciences and Engineering Research Council of Canada. Vaid, Y.P., and Chern, J.C. 1983. Effect of static shear on resis-
Technical assistance of Harald Schremp, Scott Jackson, and tance to liquefaction. Soils and Foundations, 23(1): 47–60.
John Wong of the Department of Civil Engineering work- Vaid, Y.P., and Chern, J.C. 1985. Cyclic and monotonic undrained
shop, University of British Columbia, is gratefully acknowl- response of sands. In Advances in the Art of Testing Soils Un-
edged. Kelly Lamb prepared the manuscript. der Cyclic Loading Conditions, Proceedings of the ASCE Con-
vention, Detroit, pp. 171–176.
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© 2001 NRC Canada
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(CRR)σ′,α cyclic resistance ratio at effective confining stress σ ′ φ CSR Friction angle at critical stress ratio
and static shear ratio α φ QSS/SS steady state or quasi steady state friction angle
CSR critical stress ratio (i.e., effective stress ratio at the trig- σd,cyc cyclic deviator stress
gering of strain softening) σh horizontal stress
Cu uniformity coefficient D60 /D10 σv vertical stress
D50 mean grain size σ1 major principal stress
Dr relative density σ3 minor principal stress
Drc relative density at the end of consolidation σ′ effective confining stress
Dri initial relative density σ 1′ effective major principal stress
ec void ratio at the end of consolidation σ1c′ effective major principal stress at the end of consolida-
emin minimum index void ratio tion
emax maximum index void ratio σ 3′ effective minor principal stress
Kc effective stress ratio ( σ1c′ / σ 3c
′ ) at the end of consolidation σ3c′ effective minor principal stress at the end of consolida-
Kα correction factor for the effect of static shear on cyclic tion
resistance σ ′h horizontal effective stress
Kσ correction factor for the effect of confining stress level σ hc
′ horizontal effective stress at the end of consolidation
on cyclic resistance σ nc
′ normal effective stress on the plane of maximum shear
Kασ correction factor for the combined effect of static shear stress
and confining stress level on cyclic resistance σ v′ vertical effective stress
N number of cycles σ vc
′ vertical effective stress at the end of consolidation
SQSS/SS steady state or quasi steady state strength in strain- τ cyc cyclic shear stress amplitude
softening sand τ st static shear stress
α normalized initial static shear εa axial strain
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