i ARODLEMS IN WAVE PROPAGATION IN SOIL AUD ROCK : by Nathan M. Newmark, Head EERO LIBRARY Department of Civil Engineering sor Shae University of Ilinois Richmond Caliornie Suene for SYMPOSIUM ON WAVE PROPAGATION AND OYNAMIC PROPERTIES ‘OF EARTH MATERIALS 23 august 1967 1. INTRODUCTION The transmission of waves in soil and rock is important in connection with the propagation of disturbances arising from machinery vibration, blasting, and earthquakes. ty interest as an engineer is primarily in the effects trans- mitted to relatively short distances from the source of the disturbance, in contrast to the interest of the seismologist in disturbances transmitted to very large distances fron the source. | shall further limit the discussion of this paper to only those disturbances that are transmitted through the “—~ ground, eliminating fron the discussion the air shock effects from blasts. Whatever the source of the disturbance, i-e,, vibration, high explosive or nuclear contained detonation, or earthauake, waves of several different types are generated and propagated through the aediun and along the surface. Such waves generally are attenuated as they travel, and change in shape and in duration with distance. High intensities of stress, either near the source or at sone distances from the source, may cause failures In the soil or rock, particularly when these high intensities of stress encounter pockets or strata of material with low resistance. Qur knowledge of the characteristics of wave propagation in actual garth moterials depends primarily on measurements, Such measurements areinfluenced by the characteristics of the instruments used to make the meosure- ments. For most engineering purposes, particularly in the design of structures or of cavities in the ground, we are interested in the maximum intensities of motion as measured by the maximum particle displacements in the ground, the maximum particle velocities, and the maximum particle accelerations. We are interested in these maximum values primarily in the free field, although our concern is also with alterations or modifications in the free field phenomena caused by the placement of a structure on or in the soil, or the placement of 2 cavity or tunnel in the soil. Consideration must be given to the effect of layering or stratifi- cation of the soil or rock, and of possible channeling of the transmitted energy in particular strata. Dams and embankments have particular susceptibility to dynamic motions transmitted through their foundation; failures of embankments can be caused by the velocities and accelerations transmitted to the material composing them. In the course of the discussion, | shal! have occasion to discuss certain bounds and limits on the relative values of maximum acceleration, velocity, and displacement For ground motions, and | should like to present some views on so-called "scaling! of the relations for these motions in terms of the energy of the source, the properties of the material, and the distance. Finally, | will consider some of the aspects of numerical calculations of wave propaga n, with particular attention to problems having to do with the effects of boundaries, either natural or artificially implied in the process of calculation.2, NATURE OF PHENOMENA The various types of disturbance produce somewhat different wave propagation effects. The nearly steady state vibration from machinery, for @ particular maximum intensity of motion, may be more serious in its effects itself than the on adjacent structures or on the possible failure of the s same maximum intensity of disturbance froma transient source such as blast or earthquake. In general, blast generated waves arise from e relatively compact source, as contrasted with earthquake generated waves, which arise fron a relatively diffuse source. Hence the phenomena at relatively close distances for these two effects may be very much different, but for relatively large distances they may be almost indistinguishable in their nature. In either case, waves of dilatation (compression and tension), shear, or surface waves are generated by all of the sources mentioned. i late- tional waves intersecting @ boundary, particularly a free boundary, generate shear waves upon reflection, and surface waves or waves similar to surface waves are generated at boundaries between strata of different properties. These various types of waves travel with different velocities; hence the combined motions change markedly with distance from the source, even where there is no effect of attenuation or energy absorption because of the properties of the material. If the shearing stress transmitted through the medium reaches 2 point where the shearing strength is lower than the stress, failure by slip can occur, nfluence lar to fault motions. Such failures, of course, causing motions the propagation of stress beyond the point considered and in general absorb energy much more effectively than do other types of deformation of the soil or rock.as Tensile stresses are propagated through sol! or rock, perhaps arising from the nature of the disturbance, but also arising from reflection of compressive stresses at a free boundary. Tensile stresses exceeding the h also tensile strength of the soil or rock cause fractures or failures wi absorb energy and change the pattern of distribution beyond the point considered. Shear failures can occur on any plane on which the ghearing stress exceeds the shearing resistance. An illustration of 2 possible type of shear failure corresponding to a vertical faulting is indicated in Fig. 1. Such motions may also be accompanied by failures along horizontal planes at the sane tine. Tensile failures in soil or rock can arise in various ways. Tensile stresses can be propagated in regions where the gravity stress produces initial Conpressions which, when combined with the natural strength of the medium, exceed the magnitude of the tensile stress that is propagated. tiowever, where such tensile stresses are propagated into a region where the combined strength and gravity stress is less than the propagated stress, @ fracture or a parting can occur with consequent absorption of energy and sudden attenuation of the stress, Tensile stresses also occur owing to the reflection of compression waves from a free surface. Compression waves of stress can be propagated toward @ horizontal or inclined surface either directly from the source, or because of reflections from deep stiff layers. When such compressive stresses approach the surface, as in Fig. 2(a), they are reflected virtually completely, as indicated in Figs. 2(b) and 2(c). The reflection introduces a tensile stress equal and opposite to the compressive stress wave. Where the combined stress isoe tension, and if the combined tension exceeds the strength of the material plus the gravity compressive stress, parting occurs, as indicated schematically in Fig. 2(c). Another type of failure may arise because of liquefaction of soil under either transient or sustained vibration. Foundation failures under buildings or dams, and slides in earth or rock-Fill dams ond enbanknents, may be caused by liquefaction of soils or of sand lenses. (Refs. 1, 2, 3) An illustration of a possible slide mechanism due to liquefaction of a sand layer in an earthquake is indicated schematically in Fig. 3. TYPICAL WAVE FORMS FOR EARTHQUAKE HoT! ONS Our knowledge of the wave Forms of motion in earth and rock cones From measurements of various kinds with instruments having a range of charac- teristics. Unfortunately, a measuring instrument reports its response to the excitation Tt undergoes, which may be somewhat different from the actual motion towhich it is subjected. However, in spite of the difficulties, fairly accurate instrumentation has been developed and a qumber of records have been obtained of mation in earthquakes, in blasts of various types, and of motions transmitted by machinery vibration. The most intense sustained earthquake motion that has been recorded jn the United States is that for the £) Centro California earthquake of Hay 18, 1980. A record of the motions for the North-South horizontal component in this earthquake is shown in Fig. 4. The upper part of the figure shows the measured ground acceleration-time record, which reached a maximun value of 0.329, where g is the acceleration of gravity. It can be noted that the largest accelera- tions occurred in the first six seconds of the earthquake, although substantial accelerations occurred during the entire motion which lasted nearly 39 seconds.See An integration of these accelerations to give the ground velocity variation with time is shown also in the figure. The number of oscillations appear to be less. The maximum ground velocity determined from the integrated record is 13.7 in/sec, and so far as we are aware it is the maximum that has been determined for a major sustained earthquake. The Parkfield earthquake ‘of June 28, 1966 had somewhat larger accelerations (approaching 0.59) and velocities, but apparently corresponded only to a single displacement pulse out a long duration vibration. The Integration of acceleration records to obtain ground velocity theoretically should be reasonably accurate, but because of the large nunber of oscillations involved, and because of the uncertainty of the location of the base line, slight errors are introduced in the integration. These are generally not of serious consequence in the determination of ground velocity. The errors are cumulative, however, in their effect on further integrations, and the determination of the ground displacement by integration can be seriously in error. An integration of the velocity record in Fig. 4 to obtain the groung n with time is shown also in the lower part of that Figure. displacement varia ct to some question but the general The exact values of displacement are ub shape of the curve |s yeasonablé, The integration gaye e maximm ¢/splacenent of 8.3 in. Certainly, some points nearer the fault sustained greater displace- ments, but possibly no greater accelerations or velocities. It appears that there were only four or five major oscillations in displacement, as compared with a substantially greater number of oscillations in velocity or in acceleration. The response of a simple oscillator with viscous damping, of the type shown in Fig. 5, when subjected to a motion of its base corresponding to a nt transient disturbance such as that in Fig. 4, produces relative disploa of the mass compared with the ground, or strain In the spring and consequent force in the spring of the oscillator. Other quantities of interest in the response are the ma wm energy stored in the spring, which can be measured by the maximum pseudo relative velocity of the mass, and the maximum force in the spring, which can be measured in terms of the maximum pseudo acceleration of the mass. The relations between these quantities are as follows: v= wd (ly Ag =u In Ec. (1) the quantity u_ is the maximum relative displacement in the spring. The quantity V is the maximum pseudo relative velocity, and the quantity Ag is the maximum pseudo acceleration. The symbol w is the circular frequency of vibration of the system. A response spectrum, showing the three responses, D, V, and A, plotted as functions of frequency, can be computed for any excitation. A typical response spectrum, for a moderate amount of damping, for an earthquake excitation similar to that of El Centro, is shown in Fig. 6. In this figure, the nunbered points indicate for specific oscillators, representing particular structures, simultaneous values of D, V, and A, which give a simple approxi- mation of the maximum response of the structure represented by the osci} lator. The typical trapezoidal form of the response spectrum shown in Fig. 6 is obtained for other types of dynamic excitation, ranging from more complex earthquake motions to motions corresponding to blast excitation, or to other jotion is often types of transient disturbance. The response to a steady state similar in shape except for the fact that for low amounts of damping, @ much morees peaked response spectrum at the frequency of the steady state motion is obtained. A response spectrum for the El centro earthquake motions of Fig. 4 is shown in Fig. 7, plotted in a slightly different way to show the amplifi- cations of the respanse for each leg of the trapezoid. These amplifications are due to the partially sustained oscillatory components of the motion. Longer durations of shaking would give higher amplifications. However, the amplifications in the El Centro earthquake are typically fairly high, especially for low values of the relative damping factor, 3. The form of Fig. 7 has sone implications regarding the response of simple instruments to transient motions. For example, for very low frequency oscillators, the maximum displacement is quite accurately determined from the instrument, for small or even moderate anounts of damping, as shown by the tendency for the left-hand side of the response spectrum in Fig. 7 to approach asymptotically the ground displacement line. On the other hand, for very high Frequencies, the maximum acceleration indicated by the oscillator approaches asymptotically the maximum acceleration of the graund. However, the flatness of the response over a wide range of frequencies is greater for high degrees of damping. Hence a highly damped high-frequency instrunent gives a reasonable measure of maximum acceleration or of acceleration in general. On the other hand, a moderately damped velocity gage is required to avoid large amp ons in the response to maximum ground velocity. In any ease, sone difference in phasing and shape of curves can be expected because of the response of the oscillator, which can aot completely correspond with the motions it is intended to measure. A means of overcoming this is available, by using 2 simple oscillatory system to make the measurements, and computing From the response the input that produced such a response. This can be doneee by use of 2 computer (and determinations can be made more precisely of the input motions under these conditions than can be determined by direct measurement). As an indication of the nature of the ground motions measured in explosions, Fig. 8 is an example of the surface motion in Gnome, taken from Ref. 4. It is readily apparent that the number of oscillations in acceleration is considerably less than for the El Centro earthquake motion. However, at greater distances, the characteristics of the motions from explosions become more nearly like those from earthquakes, The high intensity motions near the source are attenuated quite rapidly, and the high frequency components of the transient oscillations are damped more rapidly than the low frequency components. Moreover, because of multiple reflections fran deep layers or from discontinuities in the soil, further oscillations are introduced and the entire duration of the motion is increased. Hence, the ground motions at very large distances from the source of an explosion become quite similar to those for an earthquaxe. Similarly, the ground motions very close to a fault for an earthquake may be much more like those for an explosion, end probably last for a much shorter time than the earthquake motions at larger distances. The rates of attenuation of intensity of motion, and the distances at which large intensities are felt, are dependent on the amount of eneray involved at the source, whether the source be an earthquake or an explosive blast. Later in this paper there are considered some of the relations which govern the attenuation mechanisris and rates, as indicated by a crude dimensional analysis. It is sufficient to state here that these attenuation effects are dependent not only on the energy involved but also on the properties of the material, and especially the density and seismic velocity or the stiffness ofthe material. In addition, attenuation is caused by energy losses corresponding to both inelastic or viscous characteristics of the material. And finally, major energy losses occur because of such mechanisms as slip or tensile frac tures, as discussed in foregoing sections of this paper. Either for the purpose of interpreting empirical results, or for the Purpose of making theoratical and numerical calculations of wave propagation in earthlike materials, the physical properties of the material must be known or must be stated in a relatively simple form. The stress-strain-time relations for soil and rock are complex, and these "constitutive relations" are inade- quately determined at present, although a great deal of effort is being spent in studies of the properties of soil and rock under both static and dynamic loading. The difficulties in determining the constitutive relations arise because of various factors including especially the following: the large variation in properties from point to point even in a relatively homogeneous deposit of material; the change in properties of the materials when removed From the site for the purpose of testing in a laboratory; the effect of water, either partially or completely saturating the material; the effect of the complex stress and constrained deformation states which govern the actual behavior as compared with the relatively simple stress states which it is possible to intro- duce in experiments; and possibly, of most importance, the change in properties of the material with change in intensity and duration of stress as well as stress or motion history. for example, relatively intense transient motions can be transmitted through a sand lens, whereas a much less intense sustained vibration may cause liquefaction of the lens with change in its properties by orders of magnitude. (One of the most proaising means of determining soil and rock properties, that could be most useful in theoretical studies of wave transmission, is use of }ae measurements in situ. However, practical difficulties exist in such measurements especially at even moderate depths, in maintaining the degree of constraint and the ambient pressures associated with the undisturbed material. Nevertheless, appropriate measurements in situ, combined with laboratory studies of various kinds, can lead to a better understanding of the constitutive relations for use in wave propagation studies. It must be emphasized that our interest extends beyond the elastic range to the conditions corresponding to failure, in order that we can have fan appropriate understanding of the energy absorbing mechanisms that govern the attenuation of intensity of the motions and stresses transmitted. Moreover, the small energy absorbing mechanisms that govern the phenomena of viscous behavior and slight degrees of plastic behavior have an important influence on the attenuation mechanisms that are effective at relatively large distances from the source. Even slight energy absorption can affect the results of theoretical calculations to a major extent. At present, agreement between measurements and calculations can only be regarded as a fortuitous matter and should not be interpreted as a confirmation of particular constitutive relations. CONSISTENT BOUNDS ON HAXIMUM MOTIONS When a point in a medium moves in a certain direction with time, the maximum values of its acceleration, velocity, and displacement must be consistent. A derivation is given here of upper and lower bounds on the maximum velocity relative to the maximum acceleration and displacenent. These relations are useful in verifying the accuracy of measured quantities, and in defining the form of equations relating these maximum values to the various parameters describing the mediun and the released encroy. The discussion herein is taken from atia The notation used in the derivation is defined Fig. -9, which is a plot of consistent acceleration~, velocity-, and displacement-time relations for a given point in the medium. The maximum values of displacement y, velocity ¥, or acceleration ¥ are denoted by u,, & respectively. The ne Ee minimum values are correspondingly denoted by u, U_, andi. The minimum Weluby pees note neenaddi ky ban epani Walle ue EUeLE sire lap lacananta jth minimum velocity must be either zero or negative. For initial conditions of rest, the minimum displacement must be zero (or negative). We shall designate the greater numerical value of u, or u_ by U, 12x and the lesser value by U.,., and corresponding designations will be used for Gey irs It is noted that U.., etc., may designate the value Vain? Umin® of u_ (aa s larger numerically than u,, ete. We shall designate the maximum increments in y, J, and ¥ by the synbol: d,, 4. and G,, and the manioun decroncnts by @_, 4, aod d, the fs greater numerical value of d, and d_ is denoted by 0. and the lesser by qr and sinilarly for B and B. The time between successive zeros, in the loop where the maximum numerical value occurs of displacement, velocity, or acceleration, is denated by H, A, or y respectively. + The following relations are obvious, based on the relations defined in the foregoing: i D, min? = max For the further derivations, we require the sketch in Fig. 19 of the loop having the largest value of G, plotted as if U... were positive. Lines of slope +U,., and -U_,, fron the maximum point will intersect theSee time axis conpletely within the loop, because no slope of the curve of U is greater than U,,,. On one side of the triangle formed by these two stones, a line with slope Inin Will also Tie completely within the loop, since one of the sloping sides has no slope greater than U.. The quantities t, and t) In Fig. 10 are given by the relations: (3) It follows immediately that (4) Because U. SU, it is also true that min = “nox or age 20d A (5) Similarly one can derive the relation Soe et (6) from a diagram similar to Fig. 10, applicable to the maximum displacement ordinate, Equations (5) and (6) give upper and lower bounds for the maximum yelocity, but these bounds involve a time interval. Another bound on velocity can be derived from the fact that the entire area of the loop in Fig. 19 must be greater than the area of thetriangle within the loop, and must be less than the maximum value of the displacement increment, since successive zeros on the velocity-time curve correspond to successive maxima and minima on the displacement curve 7) since U SU Inin = Umax By combining Eqs. (2) and (7) a series of inequal ies Is obtained. where Un. and Unjq are nearly equal, the middle term in Eq. (7) can be considered to be so nearly equal to the right-hand term that it is omitted from the summary expression following Zu) (8) From the end expressions in Eq- (8) one finds final de <2u : (2) Imax = ? Ymax Ynax This expression holds for all cases, and in independent of time interval, etc. The upper limit in Eq, (9) can actually be reached, but only under somewhat unusual conditions. Consider, for example, the situation portrayed in Fig. 11, where constant rectangular pulses of acceleration are indefinitely Cones (te pate 2 ons ieera co bare as slow) th an arrropr (ate negative velocity, the maximum and minimum quantities are all numerically equal. As indicated in the figure, if for o tine Interval of h, infinitely repeatedones For repeated sinusoidal motions, the coefficient becomes unity. For use in blast motion problems, it is suggested that the factor ranges from about 1/2 to about 1/5 for close-in and for intermediate distances, and for very large distances, Eq. (11) might be used. 5. RELATIVE MOTI ONS It is often of importance to have information about the relative motions of two points either close together or some moderate distance apart, in connection with the design of structures supported on or in soil or rock. Information concerning relative motions, as determined from measurements, is Often difficult to interpret or to assess. However, where it is fairly clear that 9 wave motion is propagated in one direction without interference with other waves in other directions, and where the change in shape of the wave fron point to point is relatively small, one can make inferences about the relative motions between nearby points in a fairly simple manner, as outlined here. For example, consider two points, point | and point 2, at a distance bM apart, as shown in Fis. 12. Consider a displacement P at point | and P plus an increment at point 2, as indicated, where the second term of the increment involving the second derivative of ® with respect to x is important only if b is relatively large. Now let us consider a situation where a wave is propagated from point | towards point 2, with a displacement in the form given by: p= F(x-ct) (2) in which ¢ is the velocity of this particular wave propagation and t is the time. Then the various derivatives of the displacement P with respect to x and t are given by the fallawing relations48 « These relations, in Eqs- (18) and (19), are often of use in deter- mining the maximum strain that must be experienced by an element extending over sone distance, or the maximum curvature in an element, as for example a tunnel, pipeline, or other structure. Where the distance b is relatively long, the change in length Sb of the origins] distance b between points | and Z is given by substituting the appropriate expressions fron Eos. (17) into the increment in displacement in Fig. 12. When ® is in the direction of x, one derives: 2 toe (20) In most instances, only the first term on the right-hand side of Eq. (20) is important, but this is not necessarily true in general. Other relationships are of importance in the case where the mations are caused by more general disturbances than a wave of nearly constant shane transmitted in one direction. for example, it 15 apparent that the maximum change in the distance between paints 1 and 2, Bb,,, is related to the maximum displacements at points 2 and } in the following way: Peat = mak 2” ‘nex 1 te in many instances, this relation may be trivial because the maximum displacements may be nearly equal, but since they do not occur at the same time, it is obvious that the maximum transient change in length must be greater than the difference in the maximum displacements. It is, however, true that the maximum change in length is less than the: difference between the maximum displacement at either point | or point 2, less the minimum displacement, or the displacement in the | opposite direction, at the othe? point. The minimum displacement would of course