6-206

Chapter 6
MAY 2009
disarily in lhe veighls and foundalion condilions belveen lhe lvo slruclures. If bolh slruclures
are conslrucled over reIaliveIy so maleriaIs lhe inlake slruclure viII lend lo seIe much more
lhanlheconduilIflheinlakeslruclureisconslrucledoverengineeredIIofIovcomressibiIily
or on dee foundalion eIemenls lhe conduil may lend lo seIe more lhan lhe inlake slruclure
Iilher silualion can Iead lo excessive deformalion of lhe conduil |oinls in lhe vicinily of lhe inlake
slruclure. Under such circumslances, rovisions lo aIIov for reIalive movemenl may need lo be
incororaled inlo lhe design.
6.6.7 Blasting Impacts
Iasling musl be conducled in such a manner as lo revenl in|ury lo sile ersonneI and unaccel-
abIe imacls lo slruclures associaled vilh a coaI refuse disosaI faciIily, incIuding refuse or earlhen
embankmenldamsandlheirimoundmenlsImaclsloosileslrucluresandroerliesmuslaIso
be Iimiled in accordance vilh aIicabIe guideIines. TyicaIIy, embankmenl dams have very Iov nalu-
raI frequencies (on lhe order of 1 hz) and lhus are nol arlicuIarIy suscelibIe lo damage due lo bIasl
vibralionsvhichhaveamuchhigherfrequencyrangeIfilisbeIievedlhalbIasleeclscouIdhavea
deIeleriouseeclonsileslrucluressuchasforembankmenlsdeveIoedbylheuslreamconslruc-
lion melhod), lhe imacl of ground molion for lhe anlicialed magnilude and frequency range of bIasl
vibralions can be considered using lhe rocedures for seismic slabiIily described in Chaler 7. Some
slruclures associaled vilh fresh valer dams, such as Iarge concrele siIIvay channeIs, laII riser inlake
slrucluresorieIinesunderIovconnemenlcouIdossessnaluraIfrequenciessimiIarlobIaslfre-
quencies and lhus be imacled by bIasling. Hovever, lyicaI concrele slruclures and ieIines used al
coaI refuse faciIilies are normaIIy nol very suscelibIe lo damage from bIasling vibralions.
SlrucluresareaecledbybIaslinginreIalionlolheeakarlicIeveIocilyandfrequencyconlenlof
lhe ground molion induced by a bIasl SimIied reIalionshis are commonIy used lo delermine
INTAKE STRUCTURE
MAXIMUM WATER
SURFACE ELEV.
NORMAL WATER
SURFACE ELEV.
NON-PRESSURIZED
(FREE FLOW) CONDUIT
TERMINAL
STRUCTURE
ESTIMATED SETTLEMENT PROFILE
ACTUAL SETTLEMENT PROFILE BASED
ON MEASURED DISPLACEMENT OF
CONDUIT JOINTS)
DISTANCE (FEET)
S
E
T
T
L
E
M
E
N
T

(
I
N
C
H
E
S
)
(FEMA, 2005a)
FIGURE 6.65 COMPARISON OF PREDICTED AND OBSERVED CONDUIT SETTLEMENTS
< PREVIOUS VIEW
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Geotechnical Engineering, Material Testing, Engineering Analysis and Design
MAY 2009
lhe charge size reIalive lo lhe horizonlaI dislance lo lhe moniloring oinl in order lo meel accel-
abIe molion (veIocily) crileria. One such reIalionshi for lhe eak arlicIe veIocily V resuIling from
abIaslisISII
VK(D/W

vhere:
K silesecicconslanldelerminedfromcaIibralionlesl
D dislance lo bIasl (Ienglh)
W veighl of charge (force)
Toograhic and geoIogic varialions belveen lhe bIasl Iocalion and observalion oinl and lhe osi-
lionoflhebIaslhorizonreIalivelolhefoundalionoflheslruclurecansignicanlIyaecllheaenu-
alionoramIicalionofbIaslinducedgroundmolions
AccelabIe vibralion crileria are ubIished in a number of sources: slale reguIalory rograms lyi-
caIIy rovide guidance for eak arlicIe veIocily for common slruclure lyes, and generaI guidance
can be found in NichoIs el aI. (1971), SiskindelaIISIIandHarlmanIasling
forexcavalionofrockmaleriaIsisgeneraIIyconlroIIedloaeakarlicIeveIocilyIIVofincheser
second for mass concrele slruclures (Harlman, 1992) and lo 2 inches er second for lyicaI sleeI and
concrelesuerslrucluresNolabIylheseIIVlhreshoIdsaregeneraIIyveryconservaliveandcorreIale
lo lhe ossibIe onsel of visibIe cosmelic damage. The noled slruclure lyes can lyicaIIy loIerale much
higherIIVsbeforeslrucluraIdamageoccursTabIerovidesaddilionaIinformaliononIeveIsof
damagelohousesforsecicarlicIeveIociliesandIigure shovs accelabIe Iimils of vibralion
forhousesasrecommendedinSiskind
WhenbIaslingisIannedvilhinfeelofanacliveundergroundminelheSurfaceMiningConlroI
and RecIamalion Acl of 1977 requires arovaI of an oeralors bIasling Ian by OSM, or lhe aro-
rialeslaleagencyandMSHAIaslingreguIalionsarerovidedinCIRandCIR
TABLE 6.57 COMMON RESIDENTIAL VELOCITY CRITERIA AND EFFECTS
Velocity Damage Level
0.5 in/sec
Recommended limit to prevent threshold damage in plaster-on-lath construction near surface
mines due to long-term, large-scale blasting operations (USBM, 1980).
0.75 in/sec
Recommended limit to prevent threshold damage in sheetrock construction near surface
mines (USBM, 1980).
1.0 in/sec
2IFHRI6XUIDFH0LQLQJ260UHJXODWRU\OLPLWIRUUHVLGHQFHVQHDUVXUIDFHPLQHRSHUDWLRQVDW
distances of 300 to 5,000 ft (long-term, large-scale blasting).
2.0 in/sec
Widely accepted limit for residences near construction blasting and quarry blasting. Also
allowed by OSM for frequencies above 30 hz (USBM; 1971, 1980).
5.4 in/sec 0LQRUGDPDJHWRWKHDYHUDJHKRXVHVXEMHFWHGWRTXDUU\EODVWLQJYLEUDWLRQV86%0
9.0 in/sec
About 90 percent probability of minor damage from quarry blasting. Structural damage to some
houses, depending on vibration source, characteristics and house construction.
20.0 in/sec
For close-in construction blasting, minor damage to nearly all houses, structural damage to
some. For low-frequency vibrations, structural damage to most houses.
(ADAPTED FROM ISEE, 1998)
< PREVIOUS VIEW
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Chapter 6
MAY 2009
FREQUENCY (HZ)
P
A
R
T
I
C
L
E

V
E
L
O
C
I
T
Y

(
I
N
/
S
E
C
)
(ADAPTED FROM SISKIND ET AL., 1980)
100 10 1
0.1
1.0
10.0
4 15 40
DRYWALL
2.0 IN/SEC
PLASTER
0.50 IN/SEC
0.75 IN/SEC
lhroughandSlalecrileriamayaIsobeaIicabIeThebIaslingIanshouIdbe
rearedbyarofessionaIIicensedinlheslalevherelhebIaslingislobeerformedIolenliaIcon-
cerns vhen an imoundmenl is resenl incIude fracluring of abulmenls, imacls lo ies and olher
rigid slruclures, and ossibIy imacls lo uslream conslruclion. The olenliaI imacls shouId be
evaIualed, and moniloring of arlicIe veIocily vilh a seismograh may be aroriale. Moniloring
of secic slruclures and fealures may be varranled and couId incIude inseclion of imounding
embankmenl cresls and sIoes for evidence of cracks or disIacemenls, reviev of iezomeler dala for
evidenceofvalerIeveIuclualionsandobservalionofconcrele|oinlsorcrackaerluresloverifylhe
generaI inlegrily and lo nole any movemenls.
FIGURE 6.66 ACCEPTABLE LIMITS OF VIBRATION FOR HOUSES
< PREVIOUS VIEW
Chapter 7
SEISMIC DESIGN: STABILITY
AND DEFORMATION ANALYSES
7-1 MAY 2009
7.1 GENERAL
7.1.1 Design Approach
Under cerlain condilions, seismic Ioadings from an earlhquake or olher source can cause embank-
menl or foundalion maleriaIs lo Iose slrenglh, olenliaIIy causing a slruclure lo become unslabIe.
CoaI refuse embankmenls conslrucled using lhe uslream conslruclion melhod may be arlicuIarIy
suscelibIeloinslabiIilyfromanearlhquakebecauseaorlionoflhedamisconslrucledonsoor
Ioose saluraled, hydrauIicaIIy-Iaced maleriaI. Designers shouId erform an evaIualion (commensu-
ralevilhlhehazardolenliaIoflheslruclureloconrmlhaldamandembankmenldesignsrovide
an adequale margin of safely againsl seismicaIIy-induced inslabiIily.
The melhods of exIoralion, lesling, and anaIysis resenled in lhis chaler are based on research
and raclice, ubIicalions, and exerience on a variely of ro|ecls. They rovide a variely of olions
for design. These melhods, ranging from basic lo sohislicaled, have generaIIy been aIied on coaI
refuse disosaI siles. Commenlary is rovided in lhe lexl lo heI exIain lhe basis for lhe melhods
and lhe aIicabiIily of lhe melhods lo secic silualions Il is recognized lhal renemenls in lhe
melhods, as veII as nev melhods, may be deveIoed in lhe fulure. Designers are encouraged lo evaI-
ualesuchrenemenlsnevmelhodsandolheraroacheslhalarelechnicaIIysoundarlicuIarIyif
lheybeeraddresssilesecicmaleriaIsorcondilionsDesignersareaIsocaulionedlhallhissub|ecl
iscomIexandlhalrenemenlsofexislingmelhodsanddeveIomenlofnevmelhodscanrequire
subslanliaI research and invesligalion, as veII as inul from geoIogisls, seismoIogisls, geolechnicaI
engineers, and olher rofessionaIs.
This chaler refers lo dams and embankmenls inlerchangeabIy. AIso, references lo soiI or male-
riaIencomasssoiIsandcoaIrefusemaleriaIsegnecoaIrefuseorlaiIingsIlercakecombined
coaI refuse, mixed refuse, coarse coaI refuse, and amended refuse). As lhere have been no reorled
faiIures of coaI refuse embankmenls due lo seismic Ioading vilhin lhe US coaIeIds lhe various
sludies of slrenglh Ioss due lo seismic Ioading are redominanlIy from siles lhal conlain naluraI soiIs
or olher mine laiIings. Thus, lhe hysicaI behavior of coaI refuse maleriaIs musl be inferred from cor-
reIalions, suorled by Iaboralory lesling.
The foIIoving ubIished aers, sludies and ongoing research on coaI refuse maleriaIs and seismic
design of disosaI siles rovide an overviev of informalion secic lo sIurry imoundmenls and
olenliaI informalion on lesling and aramelers lhal may be avaiIabIe:
< PREVIOUS VIEW
7-2
Chapter 7
MAY 2009
GardnerandWu resenl an overviev of chaIIenges in evaIualing slrenglh Ioss
al coaI refuse disosaI faciIilies from MSHAs erseclive. They summarize lhe avaiI-
abIeoreressurebasedemiricaImelhodseIdslandardenelralionleslingand
cone enelralion lesling) and slrain-based Iaboralory melhods (undrained sleady-
slale shear slrenglh aroach based on lriaxiaI comression lesls) for evaIualion of
olenliaI slrenglh Ioss al coaI refuse disosaI imoundmenls.
Caslroresenlslheundrainedeakslrenglhsandundrainedsleadyslale
slrenglhsderivedfromconeenelralionleslingeIdvaneshearleslsIaboralory
lesls on undislurbed samIes and Iaboralory-consoIidaled sIurry samIes. These
slrenglhdalashovlhalslrenglhIossofnelaiIingsisnoliceabIeandlheundrained
sleady-slale slrenglh vaIues are lyicaIIy belveen one-haIf and one-fourlh of lhe
eak undrained slrenglh. The aer aIso rovides cycIic-lriaxiaI lesl dala for undis-
lurbedsamIesofnaluraIcIayeysiIlofIovIaslicilysimiIarlonelaiIingsloshov
lhe degradalion of eak undrained slrenglh vilh slrain during cycIic Ioading.
GeneselaI resenl lhe undrained sleady-slale shear slrenglh aroach for
evaIualionofslrenglhIossalvecoaIrefusedisosaIfaciIiliesinWeslVirginia
IsolroicaIIy-consoIidaled, undrained lriaxiaI comression lesls of undislurbed and
remoIdedsamIesofnecoaIrefusefromvedierenldisosaIsilesareresenled
loshovundrainedsleadyslaleshearslrenglhvarialionvilhvoidralioandeeclive
verlicaI slress.
UIrichelaIresenlaoreressurebasedevaIualionusingcycIiclriaxiaIlesls
onsamIesofnecoaIrefusefromsilesinKenluckyOhioandTennessee
CovherdandCorda discuss ore-ressure-based emiricaI melhods for lrig-
gering of slrenglh Ioss al coaI refuse dams and rovide slandard enelralion lesls
dalaaIongvilhlhemeasuredseismicshearvaveveIociliesfornecoaIrefusevilh
a summary of cycIic-lriaxiaI lesl resuIls from four disosaI siles.
HegazyelaI resenls engineering roerlies for norlhern AaIachian coaI
refuseincIudingasummaryofresuIlsofseismiciezoconeleslingandeIdvane
shear lesling used for delermining undrained shear slrenglh.
KaIinskiandIhiIIisresenlarogressreorlonresearchbeingconducled
al lhe Universily of Kenlucky concerning deveIomenl of dynamic roerlies of coaI
refuseWhencomIeledilviIIincIudeeIdandIaboraloryleslingonlhedynamic
behaviorofcoaIrefusemaleriaIsIieIdslandardenelralionleslingconeenelra-
lionleslingeIdvaneshearleslingseismicsurfacevaveleslinganddovnhoIe
seismic lesling are lo be erformed. ComIemenlary Iaboralory cycIic-lriaxiaI lesling
and resonanl-coIumn lesling are aIso roosed for delermining dynamic roerlies
of coaI refuse maleriaIs.
ZengandGobIeresenllheresuIlsofIaboraloryleslingresonanlcoIumnand
cycIic-lriaxiaI lesls) for delermining dynamic roerlies (daming ralio and shear
moduIus) erformed on AaIachian coaI refuse al Case Weslern Reserve Universily.
Seismic design of dams and embankmenls invoIves lvo searale requiremenls:
1. IrevenlionofseismicinslabiIilysIides
2. IrevenlionofexcessivedeformalionslransIalionseIemenlandcracking
7.1.1.1 Seismic Instability
The ground molion from an earlhquake can resuIl in a reduclion in lhe shear slrenglh of Ioose, salu-
raled maleriaIs. Seismic inslabiIily may occur vhen osl-earlhquake shear slrenglh is Iess lhan lhe
< PREVIOUS VIEW
7-3
Seismic Design: Stability and Deformation Analyses
MAY 2009
reearlhquake shear slrenglh in one or more signicanl zones of an embankmenl or foundalion
The driving force of lhe seismic inslabiIily is lhe slalic (gravily) veighl of lhe embankmenl. Seismic
inslabiIily is a arlicuIar concern for dams vilh subslanliaI uslream conslruclion because a orlion
oflhedamisconslrucledonhydrauIicaIIyIacednemaleriaIIorseismicinslabiIilylooccurlhree
condilions musl deveIo:
1. The earlhquake shaking musl be slrong enough lo lrigger undrained slrenglh Ioss in
one or more zones of maleriaI.
2. TheslrenglhIossmuslbesignicanlenoughlhallheoslearlhquakeshear
slrenglhs are Iess lhan lhe slalic driving shear slresses.
The Iocalion and amounl of lhe maleriaI lhal exeriences slrenglh Ioss musl be suf-
cienllogeneraleinslabiIily
SeismicslabiIilyisgeneraIIyanaIyzedasaslalicienoseismiccoecienlIimilequiIibriumsIoe
slabiIily robIem, using osl-earlhquake shear slrenglhs for lhe maleriaIs in lhe embankmenl and
foundalion. The earlhquake shaking causes lhe maleriaI in lhe embankmenl or foundalion lo Iose
slrenglh, bul lhe slalic gravily shear slresses drive lhe faiIure. Some inslabiIily faiIures have been
observedlooccuraerlheearlhquakeshakinghassloedSeedelaISeedandHarder
MarcusonHynesandIrankIin
Ixerience has shovn lhal vhen signicanl slrenglh Ioss occurs in crilicaI seclions of a slruclure
faiIuresareoenraidlheyoccurvilhIiIevarningandlheresuIlingdeformalionsare
oenveryIargeIxeriencehasaIsoshovnlhallhelriggerevenlscanbequilesmaIIHenceseismic
designforsignicanllohighhazardolenliaIdamsandembankmenlsshouIdbecarriedoulvilh
caulion and care.
7.1.1.2 Excessive Deformations
If seismic slabiIily anaIyses indicale lhal an embankmenl is unslabIe, lhen deformalions shouId be
considered lo be unaccelabIy Iarge. Hovever, if seismic slabiIily anaIyses indicale lhal an embank-
menl is slabIe, lhen olenliaI seismic deformalions shouId be assessed. Seismic deformalions occur
rimariIy during earlhquake shaking. The cycIic-shear slresses induced by lhe earlhquake conlrib-
ule direclIy lo lhe deformalions. This conlrasls vilh lhe rimary mechanisms of inslabiIily. In seis-
mic inslabiIily, lhe earlhquake shaking causes undrained slrenglh Ioss, bul lhe slalic gravily slresses
drive lhe inslabiIily faiIure.
The maleriaI making u lhe dam or embankmenl lhe ne coaI refuse or laiIings relained behind
and somelimes underIying lhe embankmenl, and lhe naluraI soiI beIov lhe embankmenl musl aII be
evaIualed as arl of slabiIily and deformalion anaIyses.
The basic eIemenls for seismic design and anaIysis require evaIualion of:
SuscelibiIilyofmaleriaIsloslrenglhIossandoslearlhquakeslrenglhs
SeismicslabiIilyusingoslearlhquakeslrenglhs
WhelherlhedesignearlhquakeviIIlriggerslrenglhIoss
Deformalions
7.1.2 Seismic Design Considerations and Flow Chart
The foIIoving oinls vere considered in deveIoing lhe guidance and recommendalions resenled
in lhis chaler:
< PREVIOUS VIEW
7-4
Chapter 7
MAY 2009
TheIeveIsofanaIysislhalshouIdbeerformedvarydeendingonlhelyeoffaciI-
ily and lhe consequences of faiIure. So, for examIe, no seismic anaIysis is required
forIovhazardolenliaIdamsrovidedslalicslabiIilyissalisedvhiIeseismic
slabiIily and deformalion anaIyses are required for high-hazard-olenliaI dams.
MelhodsforevaIualinglhesuscelibiIilyofamaleriaIloslrenglhIossduringan
earlhquake and for evaIualing lhe degree of slrenglh Ioss deend arlIy on vhelher
lhemaleriaIissandIikeorcIayIikeIinecoaIrefusevilhinaslruclureandnaluraI
soiI deosils in lhe foundalion, mighl incIude zones of bolh sand-Iike and cIay-Iike
maleriaI. Therefore, melhods for evaIualing bolh sand-Iike and cIay-Iike maleriaI are
rovided. These melhods aIy lo bolh coaI refuse maleriaIs and soiI.
SlraighlforvardscreeningmelhodsshouIdbeavaiIabIefordierenlialingzoneslhal
are olenliaIIy suscelibIe lo seismicaIIy-induced slrenglh Ioss from zones lhal are
nolsuscelibIeIurlherdelaiIedinvesligalionandevaIualioncanlhenbefocusedon
lhe olenliaIIy-suscelibIe zones. This chaler resenls screening melhods for bolh
cIay-Iike and sand-Iike maleriaI lhal require onIy lhe basic informalion rovided by
SlandardIenelralionTeslSITorConeIenelralionTeslCITdalagrainsizelesl
resuIlsandAerbergIimildala
ReIaliveIyslraighlforvardmelhodsofanaIysisshouIdbeavaiIabIelodesignersas
veII as melhods lhal are more sohislicaled. The more sohislicaled melhods may
aIIov for Iess conservalism in lhe design and mighl be vorlhvhiIe for achieving a
more economicaI design. Hovever, lhe more sohislicaled melhods are olionaI, nol
requiredIorexamIereIaliveIyslraighlforvardeIdleslingmelhodscanbeused
lo eslimale osl-earlhquake slrenglh, as veII as more sohislicaled, olionaI, Iabora-
lory melhods. Anolher examIe is lhal seismic-slabiIily anaIyses can be erformed by
simIy assuming lhal lhe design earlhquake lriggers slrenglh Ioss in maleriaIs lhal are
olenliaIIy suscelibIe lo slrenglh Ioss, or an olionaI lriggering anaIysis can be er-
formed lo evaIuale vhelher lhe design earlhquake is in facl slrong enough lo lrigger
slrenglh Ioss. The aulhors of lhis chaler nole lhal lriggering anaIyses are nol con-
sidered lo be aroriale for sand-Iike maleriaIs for design earlhquakes lhal exceed
cerlaincrileriaandlhereforeimosesignicanlseismicslressesonlhemaleriaIsIn
designingnevslrucluresilisoenrudenllodesignbasedonlhereIaliveIyslraighl-
forvard melhods ralher lhan using more sohislicaled melhods lo |uslify a design.
TheIeveIofdelaiIrequiredforevaIualionoflheseismicilyofasileshouIddeend
on lhe IeveI of seismic hazard al lhe sile. Many coaI mining regions in lhe U.S. are in
areas of Iov seismic hazard. Minimum aramelers for lhe design earlhquake in lhese
areasarerovidedandasilesecicevaIualionisnolrecommendedIorsilesin
areasofhigherseismichazardasilesecicseismicilyevaIualionisrecommended
ThevariouscredibIemelhodsemIoyedbygeolechnicaIengineersexerienced
in lhe seismic design of dams shouId be avaiIabIe for use. Therefore, lhis chaler
resenls lhree melhods for anaIyzing lhe lriggering of slrenglh Ioss in Ioose, sand-
Iike maleriaI: (1) lhe ore-ressure-based aroach deveIoed by Seed and udaled
byYoudelaIlheslrainbasedaroachdeveIoedbyCaslroand
lheslressbasedaroachdeveIoedbyOIsonandSlarkSeveraIeId
and Iaboralory melhods and correIalions for eslimaling osl-earlhquake slrenglh of
maleriaIs lhal are suscelibIe lo slrenglh Ioss and severaI melhods for erforming
deformalion anaIyses are aIso resenled.
SlrucluresshouIdgeneraIIyhaveasafelyfaclorofalIeaslforseismicslabiIily
based on a slalic slabiIily anaIysis using osl-earlhquake maleriaI slrenglhs. This
safely faclor is inlended lo accounl for uncerlainlies in lhe geomelry of lhe slruclure,
< PREVIOUS VIEW
7-5
Seismic Design: Stability and Deformation Analyses
MAY 2009
in lhe shear slrenglh, and in lhe deIinealion of zones lhal are olenliaIIy suscelibIe
lo slrenglh Ioss, and il aIso heIs achieve designs for vhich redicled seismic defor-
malions are vilhin accelabIe Iimils.
TheremaybeseciaIcasesinvoIvingexislingfaciIiliesforvhichlherecommended
design crileria can be reIaxed. IxamIes of lhese seciaI cases incIude minor modi-
calionsmadeasarlofcIosureacliviliesinvhichlherogresslovardcIosure
viII evenluaIIy imrove seismic slabiIily, and inlerim imrovemenls for addressing
asecicexislingdeciencyegaddinganinlerimslagelorovideneededfree-
board).
TherecommendedslesforaseismicevaIualionordesignareiIIuslraledinlheovcharlresenled
in Iiguresa, 7.1b and 7.1c. These sles are described in delaiI in Seclion 7.4.4. A reIaliveIy slraighl-
forvard alh lhrough lhe seismic slabiIily orlion of lhe ov charl in vhich lriggering anaIyses
sohislicaled Iaboralory lesling, and seismicily evaIualions are avoided) is described in Seclion 7.1.5.
TheslesinlheovcharlinIigurea can be summarized as foIIovs:
1. CIassify lhe slruclure and foundalion based on lye, size, dovnslream hazard o-
lenliaI, and anlicialed erformance under seismic Ioading, er lhe crileria indicaled
inoxesandoflheovcharl
2. ConsideringlhecIassicalioninSleandaconservaliveevaIualionofosl
earlhquakeslabiIilyolionaIoxesandcalegorizelheslruclureandfounda-
lion as eilher (1) furlher seismic evaIualion is nol needed (go lo ox 4) or (2) olen-
liaIIy suscelibIe lo seismic inslabiIily such lhal addilionaI anaIysis is required (go
lo ox 7).
IorlhoseslruclureslhalareolenliaIIysuscelibIeloseismicinslabiIilylhoroughIy
characlerizelhesoiIsandrefuseinlheslruclureandfoundalionoxofovcharl
and SeclionoflexlThisslegeneraIIyrequiresasignicanleorlbecauselhe
saliaI dislribulion of lhe refuse maleriaIs can be variabIe. Idenlify zones in lhe
slruclure and foundalion lhal may be suscelibIe lo slrenglh Ioss due lo earlhquake
shaking (Seclion 7.4.4.2).
4. AnaIyze lhe slabiIily of lhe embankmenl using osl-earlhquake slrenglhs (Sec-
lionIoslearlhquakeslrenglhsviIIbeIoverlhanreearlhquakeslalic
slrenglhs for zones lhal are suscelibIe lo slrenglh Ioss. This anaIysis may be reIa-
liveIyslraighlforvardbasedoneIdleslingdalaandIaboraloryindexleslingoxes
AandAlcoaIrefusedisosaIsilesvherelheralioofcoarselonerefuseis
Iarge enough lo aIIov design of massive (vide) embankmenls vilh broad cresls,
emIoying lhe basic and more slraighlforvard melhods are recommended because
of lheir reIalive simIicily in design and reguIalory reviev and lheir conservalism.
AIlernaliveIysohislicaledIaboraloryleslingcanbeusedlorovidebeeresli-
males of osl-earlhquake slrenglh, and reIaliveIy comIex lriggering anaIyses can be
erformed lo evaIuale vhelher lhe earlhquake shaking is acluaIIy slrong enough lo
lrigger slrenglh Ioss in lhe maleriaIs lhal are olenliaIIy suscelibIe lo slrenglh Ioss
oxeslhroughandSeclions 7.4.2 and ). A seismic hazard evaIualion (Sec-
lion 7.7 and Iigure) may be needed as arl of lhese more sohislicaled lesling
andanaIysismelhodslodenelhemagniludeandeakgroundacceIeralionoflhe
design earlhquake and lo oblain reresenlalive lime hislories of acceIeralion. These
moresohislicaledleslingandanaIysismelhodsareoenIessconservalivelhanlhe
basic and more slraighlforvard melhods. The added cosls of lhe more sohislicaled
leslingandanaIysismaybe|usliedbydesignslhalaremoreeconomicaIormore
ecienlfromanoeralionaIslandoinl
< PREVIOUS VIEW
7-6
Chapter 7
MAY 2009
Classify structure
and foundation
Initial Exploration and Site Characterization
For existing structures this will include review of construction records, some subsurface exploration and some lab-
oratory testing. Generally more exploration and testing will be required for structures in Box 3 than in Boxes 1 and 2.
For new structures, properties of proposed materials must be estimated. See 30 CFR 77.216 for structures requiring a
design plan approved by MSHA.
Non-Impounding Embank-
ments That Clearly Have No
Loose Zones of Significance
with Respect to Seismic
Stability.
Coarse Coal Refuse
Embankments
Combined Refuse
Embankments
Isolated Slurry Cells/
Filter Cake Cells
Low-Hazard-Potential Dams
Non-Impounding Embankments That May Have or Clearly Have Significant
Loose Zones
Segregated Refuse Embankments
Stacked, Overlapping or High Slurry Cell/Filter Cake Cell Embankments
Embankments with potentially Sensitive Foundations
Upstream-Constructed Embankments or Embankment Stages
Small, Significant-Hazard-Potential Dams
Dams less than 40 feet high or impoundments with less than 1,000 acre-feet
capacity that are well constructed and are unlikely to have issues with respect to
seismic stability.
Evaluate Post-Earthquake Stability
For sand-like material, use conservative estimates of S
us
for any suspect zones. For
sand-like material with N
(1,60)
> 15, use the drained strength. For soft clay-like
material (N < 6) use S
us
. For stiff clay-like material use S
up
. Differentiate clay-like
material from sand-like material based on gradation, Atterberg limits, and (if
available) CPT.
For existing embankments and dams, it may be necessary to obtain field data
related to the level of the phreatic surface, piezometric levels within the dam or
embankment, the geometry of fine and coarse refuse within the dam or embank-
ment, and material properties, particularly the degree to which fine refuse may have
consolidated due to the weight of overlying material. Only limited data are required
at this point, as the evaluation is intended as a conservative screening analysis.
The purpose of this step is to decide whether analysis of the structure should start at
Box 1 or Box 3. This step may be skipped, in which case the analysis of the
structure starts at Box 3.
High-Hazard-Potential
Dams
Large, Significant-Hazard-
Potential Dams
Definition of Problem Geometry and Material Characterization
If necessary, perform additional subsurface investigations to define the geometry of
embankment zones, obtain SPT and/or CPT data, identify the phreatic surface and
piezometric levels within the refuse to estimate the degree of fine refuse consolid-
ation, and obtain samples for index testing. Classify materials as clay-like or sand-
like. For zones of clay-like refuse, it may be desirable to obtain undisturbed tube
samples for laboratory tests to measure S
up
and to perform field vane shear testing
for estimating S
up
and S
us
.
Initial Seismic Stability Analysis
Evaluate static stability using post earthquake strengths. For loose sand-like
material, use S
us
values based on SPT and/or CPT data. For sand-like material with
N
(1,60)
> 15, use the drained strength. For soft clay-like material (N < 6) use S
us
. For
stiff clay-like material use S
u
equal to 80 to 100 percent of S
up
(Section 7.4.4.3).
Reconfigure cross section to
obtain FS > 1.2, or perform
triggering and seismic stability
analysis (Figure 7.1b)
Stability is acceptable. Perform
Deformation Screening and
Analysis (Figure 7.1c).
Confirm that Static
Stability is Adequate
Triggering and Seismic
Stability Analysis and
Deformation Screening
steps and Deformation
Analysis are not required.
MSHA (2007) cites that
an impounding structure
should normally have a
minimum seismic stability
factor of safety of 1.2 and
allows for pseudo-static
analysis where embank-
ment or foundation
materials are not subject
to significant strength loss
as a result of seismic
loading.
Is FS > 1.2?
Is FS > 1.5?
YES
YES NO
NO
1 2 3
4
5
6
7
7A
8
FIGURE 7.1a SEISMIC STABILITY SCREENING
< PREVIOUS VIEW
7-7
Seismic Design: Stability and Deformation Analyses
MAY 2009
Steady-State Laboratory Testing Program
For loose, sand-like materials and N
(1,60)
< 15 or q
t1
< 75, consider performing a steady-state laboratory testing program
on undisturbed and reconstituted samples to refine values of S
us
.
This step and Box 10 may be deferred or skipped entirely, especially if loose, sand-like zones are not significant with
respect to stability. OK to skip to Box 11.
Perform cyclic tests followed by static
tests to obtain better estimates of
strength reduction due to earthquake.
Requires Design Earthquake number
of cycles and seismic shear stresses.
(Correlations of earthquake-induced
strain to post-EQ strength may be
developed in the future.)
Alternatively, use S
us
.
Perform Triggering Analyses
Perform analyses to evaluate if earthquake will trigger strength loss. A seismic hazard assessment will be required for
evaluating the Magnitude and PGA for the Design Earthquake and possibly for obtaining ground motion records.
Alternatively, assume that the post-earthquake strength for loose sand-like zones and soft clay-like zones is S
us
and skip
to Box 16.
If PGA < 0.2g or CSR in loose zone
< 0.15
Use Youd et al. (2001) to determine if
earthquake will trigger strength loss.
FS > 1.4 - No strength loss
FS < 1.0 - Strength loss to S
us
1.0 < FS <1.4 - Assume strength loss
to S
us
unless strain-based or stress-
based method indicates no strength
loss.
Perform strain-based triggering analysis
(possibly including laboratory testing) or
stress-based triggering analysis to
determine whether the earthquake is
large enough to trigger strength loss.
Alternatively, assume that triggering
occurs and skip to Box 16.
Structures in Area of Low Seismic Hazard (Section 7.7.3.7)
Modify design to provide stability and confidence that deformations or the consequences thereof would be appropriately
limited and therefore deformation screening is adequate as per Figure 7.1c. Alternatively, perform additional field and
laboratory testing and/or use alternatives presented in Boxes 9 through 15 to obtain less conservative estimates of
material properties.
Structures in Area of Moderate to High Seismic Hazard (Section 7.7.3.7)
Same as structures in area of low seismic hazard, except that a deformation analysis will be required.
In Certain Cases, Consider Relaxing Design Criteria
1. If making interim improvements to address a specific deficiency (e.g., adding an interim stage to improve freeboard).
2. For modifications as part of closure activities in cases where the closure activities will improve the seismic stability.
3. For relatively minor modifications to existing structures in areas of low seismic hazard.
9
11
Re-analyze post-EQ
stability considering both
SPT and CPT data and
results of Box 9.
Is FS > 1.2?
Re-analyze post-EQ
stability with new
information from Boxes 11
through 15.
Is FS > 1.2?
Evaluate PGA and
EQ magnitude and
compute CSR
If PGA > 0.2g and CSR in loose zone
> than 0.15
Assume that earthquake will trigger
strength loss.
Stability is Acceptable
Perform Deformation
Screening and
Analysis (Figure 7.1c)
For Loose Sand-Like Zones
For Soft Clay-Like Zones
NO
NO
YES
YES
10
17
16
18
12 15 14
13
FIGURE 7.1b TRIGGERING AND SEISMIC-STABILITY ANALYSIS
< PREVIOUS VIEW
7-8
Chapter 7
MAY 2009
Requires seismic hazard assess-
ment (SHA) for evaluation of
Magnitude and PGA for Design
Earthquake and possibly obtaining
ground motion records.
Is the site in an area of low
seismic hazard
(Section 7.7.3.7)?
Is the predicted pore-
pressure buildup in sand-
like materials small (CRR/
CSR > 1.0)?
Is the safety factor for post-
earthquake stability > 1.2
for failure surface through
clay-like material?
SIMPLIFIED
DEFORMATION
ANALYSIS
Are criteria for use of the
pseudo-static procedure for
preliminary screening met?
Does the pseudo-static FS
meet required criteria?
Deformations are considered
acceptably small. No further
analysis is required.
DETAILED
DEFORMATION
ANALYSIS
Are the computed
deformations acceptable?
New and Existing Structures
Modify design to reduce deformations and/or to increase available freeboard. Re-evaluate modified design as
necessary.
In Certain Cases, Consider Relaxing Design Criteria
1. If making interim improvements to address a specific deficiency (e.g., adding an interim stage to improve freeboard).
2. For modifications as part of closure activities in cases where the closure activities will improve the seismic stability.
3. For relatively minor modifications to existing structures in areas of low seismic hazard,
DEFORMATION ANALYSIS
DEFORMATION SCREENING
Perform either:
1. Newmark Analysis if
CRR/CSR > 1.0, or
2. Numerical Analysis without
Cyclic Mobility if
CRR/CSR > 1.0, or
3. Numerical Analysis with
Cyclic Mobility if
CRR/CSR < 1.0.
NO
YES
YES
YES
NO
NO
NO
NO
YES
YES
YES
NO
D1
D2
D3
D4
D5
D6
D7
D8
D9
5. If slabiIily is accelabIe (safely faclor of 1.2 or higher), evaIuale olenliaI deforma-
lions (Sle 7).
If slabiIily is nol accelabIe, redesign or modify lhe embankmenl unliI slabiIily is ac-
celabIe (ox 17).
7. IvaIuale olenliaI deformalions of lhe embankmenl caused by lhe earlhquake shak-
ingoxesDlhroughDandSeclion 7.5). The deformalion anaIysis may invoIve a
FIGURE 7.1c DEFORMATION SCREENING AND ANALYSIS
< PREVIOUS VIEW
7-9
Seismic Design: Stability and Deformation Analyses
MAY 2009
reIaliveIy simIe screening anaIysis or may require sohislicaled comuler modeI-
ing. If nol erformed as arl of Sle 4, a seismic-hazard evaIualion (Seclion 7.7 and
Iigure) viII be needed as arl of lhe deformalion anaIysis.
If lhe eslimaled deformalions are vilhin an accelabIe range, accel lhe design. Olh-
ervise, redesign or modify lhe embankmenl (ox D9).
7.1.3 Sand-Like Versus Clay-Like Material
IormanyoflheanaIysesdescribedinlhischalernecoaIrefuseandnaluraIsoiIsarereferredlo
as sand-Iike or cIay-Iike deending on vhelher lhey exhibil monolonic and cycIic undrained shear
Ioading behavior lhal is fundamenlaIIy more simiIar lo lhal of eilher sand or cIay. The melhods for
evaIualingsuscelibiIilyloslrenglhIosslriggeringandoslearlhquakeslrenglharedierenlfor
sandIikeandcIayIikemaleriaIsThisdierenlialionissignicanlrimariIyiflhemaleriaIisIoose
enoughsandsorsoorsensiliveenoughcIayslhalilisolenliaIIysuscelibIeloslrenglhIoss
ThekeyfaclorsindierenlialingIoosesandIikemaleriaIfromsoormediumcIayIikemaleriaIfor
lhe uroses of seismic slabiIily and deformalion anaIyses, are lhe slrain al eak undrained slrenglh
and lhe abrulness of lhe droo in shearing resislance as slrains increase beyond lhe slrain al
eak. Loose sands and highIy sensilive cIays can reach eak undrained slrenglh S
up
al smaII slrains,
andexerienceabruldrooinresislancealhigherslrainsMoslcIayslendloreachS
up
al higher
slrains and lend lo exerience more graduaI and Iimiled droo in shearing resislance al higher
slrainsIinecoaIrefusedeosilsoenincIudemaleriaIsfaIIingvilhinbolhcIassicalionsandnear
lhe boundary of lhese lvo lyes of behavior.
Loose maleriaI vilh shear slrain al eak slrenglh of Iess lhan 2 ercenl in an undrained monolonic
noncycIicleslandaraiddrooinresislanceaerreachingeakslrenglhisgeneraIIyconsid-
eredsandIikeaIlhoughhighIysensilivecIaysmayexhibilsimiIarbehaviorLooseorsomaleriaI
vilhshearslrainaleakslrenglhofmorelhanaboulercenlandagraduaIdrooinresislance
aerreachingeakslrenglhisconsideredcIayIikeIigure iIIuslrales lhe associaled slress-slrain
curves for lhese maleriaIs. MaleriaI vilh slrain behavior belveen lhese descrilions is considered
borderIine. Il shouId be noled lhal shear slrain in an undrained lriaxiaI lesl is 1.5 limes axiaI slrain.
IeakslrenglhrefersloeakrinciaIslressdierence
1

3
).
IorlheanaIysesinlhischalerilisgeneraIIymoreconservaliveloassumelhalaborderIinemaleriaI
issandIikelhanloassumeiliscIayIikeIlisverydicuIllooblainorrearesamIesofinsilu
IovIaslicilymaleriaIforslrenglhleslingalilsinsiluvoidralioThereforeAerbergIimilslesls
gradalionleslsandreferabIyCITdalashouIdbeusedrslasanindexofslressslrainbehaviorlo
calegorize maleriaIs as sand-Iike or cIay-Iike. Laboralory slress-slrain lesling shouId be used lo heI
calegorize borderIine maleriaIs.
The foIIoving crileria are recommended:
AerbergIimilsandgradalionMaleriaIshouIdbelrealedassandIikeiflheIas-
licilyindexoflhemaleriaImeasuredfromlheorlionassinglheNosieveis
7 or Iess.
MaleriaI shouId be considered cIay-Iike if aII of lhe foIIoving crileria are mel:
ThemaleriaIhasercenlormorebydryveighlassinglheNosieve
ThemaleriaIhasercenlormorebydryveighlassinglheNosieve
TheIaslicilyindexoflhemaleriaIasmeasuredbylheorlionassinglhe
Nosieveisorhigher
< PREVIOUS VIEW