Seismic design methodology for buried structures

M.W. Free, J.W. Pappin, J.W.C. Sze & M.J. McGowan

Ove Arup & Partners Hong Kong Limited, Hong Kong

ABSTRACT: Buried structures and foundations experience dynamic earth pressures and inertia forces during
earthquake ground shaking through a complex soil-structure interaction process. While guidelines exist in
Hong Kong for determining the seismic forces for the design of conventional buildings and in part for their
foundations, there are no similar guidelines for the determination of seismic forces on buried structures. This
paper presents seismic design guidelines for buried structures. Three case studies are presented where these
guidelines have been applied on major infrastructure projects in Hong Kong. The guidelines include: the de-
termination of the likely deformation of the soil mass during earthquake shaking; the modeling of the buried
structure within the soil mass; determination of the seismic base shear; the combination of these forces; and
the effect of these forces on the structure. The case studies demonstrate the application of these guidelines to a
number of buried structures (a piled foundation, a cut and cover tunnel and a deep basement) for a range of
soil conditions in Hong Kong.

1 INTRODUCTION chart showing the basic steps in the proposed

methodology is shown in Figure 1.
The structural response of a buried structure to a
seismic event is dependent upon the shear defor- DESIGN CONDITIONS
GROUND PROFILE
mation transferred from the soil mass surrounding GROUND MOTION
the structure, the seismic loading transferred from SUB-STRUCTURES

any connected structure above the ground, and the SUPER-STRUCTURE

interaction between the soil and the structure.

SURROUNDING GROUND
In this paper, a methodology for assessing the LIQUEFACTION ?
response of buried structures during a seismic SLOPE STABILITY ?
event is presented. The methodology involves four SITE RESPONSE

main stages:
1. Development of a model of the ground cond i- CHECK
tions; Is ground improvement needed?
OK
2. Estimation of the free-field ground distortion
by a site response analysis; SUB-STRUCTURE LOADS SUPER-STRUCTURE LOADS

3. Application of the seismic loads to the struc- DEFORMATION BASE SHEAR

HYDRO-DYNAMIC LOAD COMBINATIONS
tural elements, sub-structure and super-
structure, separately as a first check; and
4. Incorporating the structural form into the
model and applying the seismic loads and de-
formation in combination. ANALYSIS OF OVERALL STRUCTURE
COMBINATION OF FORCES
The response of the structure to the event is
then quantified in terms of displacements and
CHECK
forces generated within each structural element.
Three case studies are used to illustrate key issues OK
Is modification needed?

and to place the methodology into the context of

conditions in Hong Kong. The methodology de- END

scribed is based on the recommendations by the

Earthquake Engineering Committee of the Japan Figure 1. Flow chart for seismic design of below ground
Society of Civil Engineers (JSCE 1992). A flow- structures (based on JSCE 1992).
 Case studies, illustrating the evaluation of the
seismic response of piles using the methodology
described in this paper, are presented by Pappin et
al. (1998) and Raison (1999).
2 DESIGN CONDITIONS
The first stage in the seismic design methodology
is to determine the design conditions. The ground
conditions, an appropriate geological model and
appropriate soil and rock design parameters must
be established. Field and laboratory methods to
determine dynamic soil and rock properties are de-
scribed by Kramer (1996) and specifically for
Hong Kong by GEO (1997).
The aim of the structural seismic design is to
provide sufficient ductility to absorb the imposed
seismic forces without losing the capacity to carry
the static loads. The scheme design to support the
static loads is undertaken followed by appropriate
design details to provide the appropriate perform-
ance under earthquake loading.
3 SURROUNDING GROUND
The second stage in the seismic design methodol-
ogy is to investigate the surrounding ground con-
ditions to establish the expected ground behavior.
Design checks should be taken at this stage to de-
termine liquefaction susceptibility and investiga-
tion of the potential for slope instability under
seismic loading conditions. These assessments
may include consideration of areas outside the site
boundary. It should be noted that probabilistic
methods indicate that liquefaction may be a design
issue for loose, marine sand fill sites in Hong Kong
when long return period design events (greater
than 1000 years) are considered. A discussion of
liquefaction analysis and assessment of slope sta-
bility under seismic loading is not within the scope
of this paper. Pun (1992), Pappin & Bowden
(1998) and Wong & Ho (2000) discuss these issues
in the context of Hong Kong.
4 GROUND MOTION
4.1 Site Response Analysis
Ground motion measurements taken during earth-
quakes, as well as theoretical evidence, confirm
that local site conditions profoundly affect the
ground motion characteristics in terms of ampli-
tude, frequency content and duration. These char-
acteristics are an essential component of earth-
quake resistant design and must be properly
accounted for.
The site response analysis predicts the defo r-
mation of the soil strata due to the passage of
seismic waves through the soil column. 1-D, 2-D
or even 3-D calculation methods have been used
for this purpose. The propagation of seismic waves
through the ground is complex, depending on the
rock and soil conditions, the surface and subsur-
face topography and other factors. For most de-
sign situations a 1-D site response analysis investi-
gating the response of the local ground conditions
to vertically propagating, horizontally polarized
shear waves is considered adequate. More complex
2-D and 3-D analyses are used for critical struc-
tures or where the characteristics of the seismic
source, path and site characteristics are well de-
fined.
For the case studies presented in this paper, 1-D
site response analyses have been undertaken using
the computer program Oasys SIREN (Oasys 1993).
The program analyses the response of a 1-D soil
column to an earthquake motion time-history at its
base. The soil column is modeled assuming infi-
nitely wide horizontal layers with vertically propa-
gating, horizontally polarized shear waves.
In SIREN, four properties are used to define
each soil layer: thickness, bulk density, shear
modulus and shear modulus degradation. The
small strain shear modulus, Go can be obtained
through field tests but is often determined using
empirical relationships (Atkinson 2000). The small
strain stiffness of Hong Kong decomposed granite
is reported by Ng et al. (2000) and decomposed
volcanic tuff by Ng & Leung (2001).
4.2 Design earthquake return period
For engineering projects in Hong Kong, if seismic
loading has been considered, it has been common
practice to use a single design ground motion with
a 5% or 10% probability of being exceeded in 50
years (Pappin et al., 1999). These are equivalent to
ground motion with a return period of 975 years
and 475 years respectively. More recently, the use
of defined seismic performance objectives has be-
come the state-of-the-practice in the USA (FEMA,
1998). These criteria define two or more hazard
levels and state how the structure is to perform
when subject to these levels. The Basic Safety
Objective for an ordinary building is as follows:
Life Safety must be assured during earthquake
ground motion having a 475 year return period
(10% chance of being exceeded in 50 years) and
Collapse Prevention must be assured during earth-
quake ground motion having a 2,475 year return
period (2% chance of being exceeded in 50 years).
Pappin et al. (1999) and Chandler (2000) discuss
seismic design requirements and performance lev-
els in the Hong Kong context.
4.3 Design earthquake time-history long structures the response of the structure in the
longitudinal direction should also be checked.
Determination of the design ground motion time-
JSCE (1992) recommends the response in the lo n-
history for a site response analysis is typically
gitudinal direction be assessed using a seismic de-
achieved using either of two approaches:
formation profile as for the transverse direction
Selection and scaling of actual earthquake time
and emphasize that the change in ground profile,
histories with magnitude, distance and perhaps
and hence ground response, along the alignment be
other parameters that are consistent with the
taken into consideration. Such an approach does
target ground motion; or
not take into consideration the effects associated
Creation of a synthetic time-history using theo-
with the passage of waves from one point on a
retical or empirical equations.
structure to another. These effects may become
Even in areas of the world where there are a
important when a structure is long (greater than
large number of strong motion records it is still
100 m) such as a tunnel. In this case the ground de-
often difficult to identify records with appropriate
formation may be different at two points along the
magnitude, distance and perhaps travel path char-
structure and relative movements must be consid-
acteristics. There are no existing strong motion re-
ered. The structural arrangement of the joints will
cords for Hong Kong or Southeast China and use
require consideration of the allowable displace-
of strong motion records from other similar geo-
ment and shear strength induced by the deforma-
logic regions is a topic of debate in the earthquake
tion of the ground in the longitudinal direction.
engineering community (Lam et al. 2001). Crea-
To assess the forces associated with the passage
tion of a synthetic time-history using an actual
of seismic waves in the longitudinal direction, the
time-history as a seed motion is therefore recom-
structure can be modeled as a beam on soil springs.
mended. The time-history for use in a site response
The soil displacements in the X, Y and Z planes
analysis should be representative of rock cond i-
can be estimated using a design displacement time-
tions and therefore the seed time-history used
history and the shear wave propagation velocity for
should have been recorded at a rock site. The seed
the underlying bedrock (say 1000 m/s). Combina-
time-history is modified until the response spec-
tion of this information will provide an estimate of
trum of the modified time-history is compatible
the potential longitudinal ground displacement
with a design spectrum. The design spectrum may
over relatively large distances.
be a standard code shape, a uniform hazard re-
Inertia seismic loads are also transferred from
sponse spectrum or composite scenario spectra
components inside the below ground structure and
obtained through de-aggregation of a uniform ha z-
these should be considered.
ard response spectrum (McGuire 1995). It is our
experience that using a uniform hazard response Ground
Basement Tunnel Pile
spectrum provides the appropriate level of accu- Displacement
racy for the majority of engineering projects.

5 SUB-STRUCTURE SEISMIC LOADS

Seismic loads are transferred from the surrounding

ground to below ground structures from the de-
forming soil and in some cases by hydrodynamic
pressure. In the majority of cases the pore water
will move with the surrounding soil particles and
experience the same acceleration. The soil bulk
unit weight is therefore used in the analysis. Where
soil permeability is very high (k 10-3 m/s), the
porewater may move separately and in this case
the forces from the soil and the water are deter-
mined separately and the buoyant unit weight of
the soil and the hydrodynamic pressure are used.
The seismic ground displacement profile de-
termined in a site response analysis can be used to
represent the soil deformation imposed on the be-
low ground structures during a seismic event (Fig-
ure 2).
For the majority of structures only the cross
section of the structure is checked. However, for
Figure 2. Schematic section showing seismic ground dis-
placement profile imposed on below ground structures (solid
arrows) and inertia forces (open arrows).
6 SUPER-STRUCTURE SEISMIC LOAD
The relative motion of a structure above ground
during a seismic event causes a lateral force to be
imparted to its foundations or any buried structure
to which it is structurally connected. The earth-
quake resistant design of above ground structures
is made using established methods and is not de-
scribed here. In this study, the horizontal base
shear at the super-structure to sub-structure inter-
face was calculated in accordance with the meth-
odology described in Scott et al. (1994).
7 ANALYSIS OF OVERALL STRUCTURE
The analysis is divided into checks on the sub-
structure and super-structure separately and then in
combination. The loads transferred from the sur-
rounding soil and those transferred from the super-
structure will not be at their maximum on the sub-
structure at the same time. The loads are therefore
combined using the 100% and 30% combination
rule. For exa mple;
100% soil deformation 30% base shear
30% soil deformation 100% base shear
The same philosophy is applied to the comb i-
nation of both horizontal and vertical loads.
8 CASE STUDY 1 PILE FOUNDATION
8.1 Site Description and Ground Conditions
This case study considered the seismic design of
large diameter bored piles (1.5m to 2.8m dia) for a
project to be constructed on a recent reclamation.
The project comprised a large number of bored
piles supporting a large low-rise structure and
overlying high-rise developments. The foundations
comprised individual piles or pile groups of two,
three or four beneath each column. The columns
are connected at ground level by tie beams. The
piles were designed to be end bearing on rock at
typically 30m to 80m depth.
The ground conditions at the site comprise 15m
level (mPD)
to 17m of reclamation fill (SPTN 5 to 35), un-
derlain by a layer of very soft to firm (10< cu < 50
kPa) marine deposits up to 12m thick. These de-
posits are underlain by a layer of alluvium up to
28m thick (SPTN 10 to 80). Below the alluvium
layer was a zone of completely to highly decom-
posed volcanic tuff up to 17m thick, overlying bed-
rock of moderately decomposed to fresh volcanic
tuff. The groundwater level at the site was around
2m below ground level. A schematic section for
the site is shown in Figure 3.
+5.0
FILL
-12.0
PILES MARINE
-24.0
ALLUVIUM
-52.0
CDV/HDV
-60.0 MDV/SDV
Figure 3. Schematic section for Case Study 1.
8.2 Site Response Analysis
In accordance with the design requirements for the
project, bedrock earthquake motion equivalent to a
peak horizontal acceleration of 0.15g and a peak
vertical acceleration of 0.075g were adopted. This
level of motion was taken to represent approxi-
mately a 1 in 1000 year return period earthquake.
The seismic displacement profile determined from
the site response analysis is shown in Figure 4.
8.3 Structural Analysis
The forces expected on a pile foundation during
the design earthquake were investigated using the
computer program Oasys ALP (Oasys, 1997a).
The program represents the pile as a series of ela s-
tic beam elements and the soil as a series of
springs. The deflection of the pile, together with
the bending moments and shear forces within the
pile, are calculated in response to loads and mo-
ments imposed at any location down the pile and to
displacements imposed at any location by the soil
mass surrounding the pile.
The seismic displacement profile determined in
the site response analysis was used and the result-
ing pile displacement, bending moments and shear
forces determined. The results for a typical analy-
sis are shown in Figure 4.
displacement (mm) shear force (kN) moment (kNm)
0 5 10 15 20 -100 -50 0 50 100 -600 -300 0 300 600
5 5 5
-5 -5 -5
level (mPD)
-15
level (mPD)
-15
-15
-25 -25 -25
-35 -35 -35
-45 -45 -45
-55 -55 -55
Figure 4. Seismic displacement profile (solid line) and resul-
tant pile displacement (dashed line), bending moments and
shear forces.
9 CASE STUDY 2 TUNNEL
9.1 Site Description and Ground Conditions
This case study considered a 220m long cut and
cover tunnel constructed within reclaimed land.
The tunnel was constructed within an excavation
supported by propped diaphragm walls, which ex-
tended down to rock. Vertical and horizontal loads,
including those from a development above ground
were transmitted by a combination of the dia-
phragm walls and bored piles. The tunnel structure
was generally formed within and below the recla-
mation fill, with the base level at between 16m and The output from the analysis is in the form of
23m below the ground level of +5mPD. A typical displacements, bending moments and shear forces
section through the tunnel is shown in Figure 5. of the diaphragm wall and internal members of the
+5.0 Ground Level
tunnel structure. A maximum structural movement
of about 12mm was predicted with the sub-
structure closely following the soil displacement
Diaphragm Walls
profile. The additional lateral pressures, moments,
and shears induced on the structure, due the seis-
Tunnel Boxes FILL mic event, were found to be relatively small. The
induced shear forces and bending moments on the
sub-structure wall are shown in Figure 6.
-11.0
displacement (mm) shear force (kN/m) moment (kNm/m)
0 5 10 15 20 -100 -50 0 50 100 -100 -50 0 50 100
MARINE 5 5
Bored Piles 5
MUD
-5 -5 -5

-15 -15 -15

level (mPD)
Figure 5. Typical section of tunnel (superstructure not l l

shown). -25 -25 -25

-35 -35 -35

The ground conditions at the site are very simi-
lar to those in Case Study 1 but with the alluvium -45
layer being up to 23m thick and the volcanic tuff
-55
being up to 21m thick.
9.2 Site Response Analysis
A site response analysis was carried out using a
scaled strong-motion record and the procedure de-
scribed in Section 8.2. A summary of the analysis
results showing the maximum predicted soil mass
displacement profile is shown in Figure 6.
9.3 Structural Analysis
The analysis of the structural response of the tun-
nels to the seismic event was carried out using the
finite element software, Oasys SAFE, and con-
sisted of a soil profile model and a sub-structure
model. In the model, the structure and surrounding
soil mass were modelled in a plane strain, finite
element mesh. The soil was treated as a Mohr-
Coulomb material, the structure as an isotropic
elastic material.
The soil modelling consisted of developing the
finite element soil mesh and checking for static
equilibrium. Before the sub-structure was incorpo-
rated into the model the appropriate shear modulus
for each soil strata was estimated. The seismic soil
displacement is then generated by imposing the re-
quired boundary displacement together with a
horizontal acceleration to the soil mesh. A trial
and error procedure was undertaken to establish
the appropriate shear modulus value for each soil
layer such that the entire soil mass distorted uni-
formly under the applied acceleration.
The sub-structure was then incorporated into the
undeformed model. The soil deformation and base
shear load cases from the super structure were then
applied to the soil-structure model.
-45 -45
-55 -55
Figure 6. Seismic displacement profile and resultant dia-
phragm wall shear forces and bending mo ments.
10 CASE STUDY 3 BASEMENT
10.1 Site Description and Ground Conditions
This case study considered a proposed basement
located on a cut platform situated on a hillside ad-
jacent to the sea. The excavation will extend 15m
below the existing formation level. A typical sec-
tion across the structure is shown in Figure 7.
+5.0
+4.0 FILL
CDG
-8.0
HDG
-12.0 ROCK
HEAD
Figure 7: Schematic cross section of basement sub-structure.
The ground conditions at the site comprised a
thin layer of dense fill over 10 to 12 m of com-
pletely decomposed granite (CDG) and 3 to 5 m of
highly decomposed granite (HDG) over rockhead
(moderately decomposed or better granite).
10.2 Site Response Analysis
A site response analysis was carried out using a
scaled strong-motion record. A summary of the
 analysis results showing the maximum predicted
soil displacement profile is shown in Figure 8.
displacement (mm) shear force (kN/m)
0 2 4 6 8 10 0 20 40 60 80 100
5 5
5 merged tunnels in Japan. In Earthquake resistant design
0 0
level (mPD)
level (mPD)
l -5
-5
-10
-10 -10
-15
-15
-20 -20
Figure 8. Seismic displacement profile and resultant bas e-
ment wall shear forces and bending mo ments.
10.3 Structural Analysis
The analysis of the structural response of the
basement to the seismic event was carried out us-
ing the finite element program SAFE and the pro-
cedure followed was as for Case Study 2. In this
example there is no superstructure and therefore
the seismic load case analysed is 100% soil dis-
placement.
The induced shear force and bending moments
on the basement wall are shown in Figure 8. For
the seismic design level considered, the magni-
tudes of the seismic loads did not constitute the
worst load case and were therefore not critical.
11 CONCLUSIONS
The methodology and the case studies presented
demonstrate a procedure for assessing the effect of
seismic loading on buried structures. The purpose
of this paper is to present a simple methodology
that provides the basic level of guidance to investi-
gate the problem of seismic loading on buried
structures. The methodology presented is appropri-
ate for most engineering projects.
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