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Mauricio Herrera, Civil Engineer1, Sebastián Arango, Ph.D. Student2, Alejandro Cruz,
Assistance Professor3, Eimar Sandoval, Assistance Professor4, and
Peter Thomson, Professor5
1
Civil and Geomatic Engineering School; Research Group on Seismic, Wind, Geotechnical and
Structural Engineering, Universidad del Valle, Colombia; herrera.mauricio@correounivalle.edu.co
2
Civil and Geomatic Engineering School; Research Group on Seismic, Wind, Geotechnical and
Structural Engineering, Universidad del Valle, Colombia; arango.sebastian@correounivalle.edu.co
3
Civil and Geomatic Engineering School; Research Group on Seismic, Wind, Geotechnical and
Structural Engineering, Universidad del Valle, Colombia; alejandro.cruz@correounivalle.edu.co
4
Civil and Geomatic Engineering School; Research Group on Seismic, Wind, Geotechnical and
Structural Engineering Universidad del Valle, Colombia; eimar.sandoval@correounivalle.edu.co
5
Civil and Geomatic Engineering School; Research Group on Seismic, Wind, Geotechnical and
Structural Engineering, Universidad del Valle, Colombia; peter.thomson@correounivalle.edu.co
ABSTRACT
Cyclic liquefaction is a phenomenon in which soil deposits formed by loose and saturated sands,
lose their shear resistance due to dynamic loads, as earthquakes, sometimes causing the collapse
of structures. This phenomenon is a hazard in different cities of the world, as is the case of Santiago
de Cali (Colombia), a city that has large alluvial deposits due to its seven rivers. Currently, the
liquefaction potential is evaluated by field tests that can be expensive and difficult to perform in
densely urbanized areas. Due to this drawbacks, this paper proposes a simple and versatile
methodology to evaluate the liquefaction potential in large areas based on the Vulnerability Index
(𝐾𝑔 ) proposed by Nakamura in 1997 (hereinafter Nakamura Methodology). This methodology
consists of calculating the vulnerability index using the fundamental frequency (𝐹𝑔 ) and
amplification factor (𝐴𝑔 ) determined using HVSR method. The 𝐾𝑔 index quantifies the probable
damage in the soil produced by earthquakes, and for sand deposits, 𝐾𝑔 can be correlated with
liquefaction potential. For this research, the liquefaction potential was evaluated using Nakamura
methodology in 34 points of Santiago de Cali, within an approximate area of 12 km2. The results
were compared with those of SPT and CPT tests performed in the same area. The methodology
showed a match of up to 82% compared to conventional methods. In conclusion, Nakamura
methodology is a viable alternative for liquefaction hazard mapping of large areas and could be
very useful in places where there are limited funds or the conditions for more robust testing are
not available.
1
INTRODUCTION
Currently, the evaluation of liquefaction potential is done by field tests (Youd et al., 2001) as the
standard penetration test - SPT (Seed & Idriss, 1971; Seed, Idriss, & Arango, 1983), the piezocone
penetration test - CPTu (Robertson & Wride, 1998), and geophysical tests (Andrus & Stokoe,
2000). Through laboratory tests, such as the cyclic triaxial test (Seed & Lee, 1966) and the cyclic
simple shear test (Finn, Pickering, & Bransby, 1971; de Alba, Seed, & Chan, 1976), liquefaction
susceptibility is also evaluated. These tests may be logistically inconvenient to evaluate
liquefaction potential in large areas, due to the setting of the field tests, costs, time and others.
In order to counteract these drawbacks, this paper proposes a simple and versatile
methodology based on the Vulnerability Index (𝐾𝑔 ) proposed by Nakamura (1997) to evaluate the
liquefaction potential in large areas This methodology allows to establish which areas are more
exposed to liquefaction. Therefore, this methodology is a good alternative to generate hazard maps
for this phenomenon. To validate this methodology the liquefaction potential was evaluated in a
deposit of loose and saturated sands. Then, the results were compared with those obtained in the
same area using standard penetration tests - SPT, piezocone penetration tests - CPTu.
The experimental program was carried out in a strip of 12 km2 in the area known as the
Aguablanca District in Santiago de Cali (Colombia). This zone is located to the west margin of the
Cauca River. According to several studies, this area is potentially liquefiable, which puts more
than 600.000 people and a considerable number of public and private structures of importance to
the city at risk (Ingeominas & Dagma, 2005; Sandoval, Campaña, & Cruz, 2013; Alcaldía de
Santiago de Cali, 2016).
Aguablanca District soils are formed by deposits of the Cauca River left along the evolution
and rambling of its riverbed. Its stratigraphic profile is characterized by the presence of
overconsolidated silty clayey materials with a thickness between 3 m and 8 m overlying thin sand
deposits of low relative density with thickness between 4 m and 10 m. As the depth of the soil
deposit increases the grain size increases to medium-compact gravel (Ingeominas & Dagma,
2005).
The proposed methodology allows to establish which zones are more likely to present liquefaction
in large areas. For its application, there must be previous reports of occurrence of liquefaction in
the area to be evaluated. The steps proposed for this methodology are set out below:
2
5. Microtremor recording.
6. Signal processing using the HVSR method. Obtaining ground fundamental frequency (𝐹𝑔 )
and amplification factor (𝐴𝑔 ).
7. Calculation of ground vulnerability index (𝐾𝑔 ).
8. Calculation of expected seismic shear strain of the soil (𝛾).
9. Liquefaction evaluation by shear strain (𝛾 𝑣𝑠. 𝛾𝑓 ) and failure vulnerability index selection
(𝐾𝑔𝑓 ).
10. Mapping of liquefaction-exposed areas.
3. Maximum expected acceleration (𝒂𝒃 ) and shear wave velocity (𝒗𝒃 ) in basement
The maximum expected acceleration in basement during an earthquake should be chosen for the
study area (𝑎𝑏 ). This data can be taken from local earthquake-resistant construction standards,
seismic microzonation studies, among others. Likewise, shear wave velocity of the seismic
basement (𝑣𝑏 ) must be set, which can be established through tests that provide the shear wave
velocity profiles. Nakamura methodology assumes that the shear wave velocity of the seismic
basement (𝑣𝑏 ) is equal or greater than 600 m/s (Nakamura, 2000).
3
4. Microtremor sampling points
In order to obtain a representative information density, it is recommended to distribute the
sampling points in the interceptions of a grid that covers the study area, with a maximum of 500
m between axes. These points must be away from trees, buildings and underground structures that
could interfere with the microtremors propagation. Constant sources of vibrations such as traffic,
factories and heavy machinery must also be avoided. Their operational frequencies could change
the amplitude and frequency content of the microtremors. (Bard & SESAME-Team, 2004).
5. Microtremor recording
It is recommended to use a weak motion sensor configured at maximum gain. The sensor must be
leveled according to the manufacturer recommendations and be installed directly on the ground.
Measurements under heavy rainfall or when the sensor is in a clear area with wind speeds above 5
m/s must be avoided. The sensor cannot be covered with flexible materials, as its vibration can
affect the recorded information. The microtremors recording duration is related to the minimum
expected natural frequency of the ground (Table 2). If this value is unknown, a minimum duration
of 30 min is recommended (Bard & SESAME-Team, 2004).
Minimum expected frequency [Hz] 0.2 0.5 1.0 2.0 5.0 10.0
Minimum recording duration [min] 30 20 10 5 3 2
𝑇 = 𝐻𝑓 ⁄𝑉𝑓 (1)
𝐾𝑔 = 𝐴𝑔 2 ⁄𝐹𝑔 (2)
4
Figure 1. Combined horizontal spectrum (𝑯𝒇 ), vertical spectrum (𝑽𝒇 )
and transfer function (𝑻).
The maximum basement acceleration during an earthquake (𝑎𝑏 ) is equal to the maximum
basement acceleration of design earthquakes for the region.
(𝑎𝑏 ) is expressed as the maximum acceleration of a sinusoidal wave whose amplitude is
the maximum basement displacement during an earthquake (𝑑𝑏 ) (Eq. 3).
The ground fundamental frequency (𝐹𝑔 ) is function of the shear wave velocity (𝑣𝑠 ) and
height (𝐻) of the ground deposit (Eq. 4).
The basement shear wave velocity (𝑣𝑏 ) is equal to the ground shear wave velocity (𝑣𝑠 )
multiplied by the ground amplification factor (𝐴𝑔 ) (Eq. 5).
The maximum surface displacement due to earthquake (𝑑𝑠 ) is equal to the basement
displacement (𝑑𝑏 ) plus a lineal increase with the ground amplification factor (𝐴𝑔 ) (Eq. 6).
5
The expected shear strain on surface (𝛾) results from the ratio between the surface
displacement increase (∆𝑑) and the ground deposit height (𝐻), as shown in Figure 2 and
Eq. 7. After a simple mathematical procedure, 𝛾 is expressed as function of 𝐾𝑔 , 𝑣𝑏 and 𝑎𝑏 .
Figure 2. Model of surface shear strain due to earthquakes proposed by Nakamura &
Takizawa (1990).
𝑎𝑏
𝑎𝑏 = 𝜔2 𝑑𝑏 = (2𝜋𝐹𝑔 )2 𝑑𝑏 → 𝑑𝑏 = (3)
(2𝜋𝐹𝑔 )2
𝑣𝑠 𝑣𝑠
𝐹𝑔 = →𝐻= (4)
4𝐻 4𝐹𝑔
𝑣𝑏 𝑣𝑏
𝑣𝑏 = 𝐴𝑔 𝑣𝑠 → 𝑣𝑠 = →𝐻= (5)
𝐴𝑔 4𝐴𝑔 𝐹𝑔
𝑑𝑠 = 𝑑𝑏 + ∆𝑑𝑏 = 𝑑𝑏 + 𝐴𝑔 𝑑𝑏 (6)
∆𝑑𝑏 𝐴𝑔 𝑑𝑏 𝐴𝑔 2 1 𝐾𝑔 𝑎𝑏
𝛾= = = 2
𝑎𝑏 = 2 (7)
𝐻 𝐻 𝐹𝑔 𝜋 𝑣𝑏 𝜋 𝑣𝑏
6
10. Mapping of liquefaction-prone areas
With the information obtained from the zone a liquefaction hazard map through interpolation
methods can be made, where the areas potentially liquefiable (𝛾 ≥ 𝛾𝑓 o 𝐾𝑔 ≥ 𝐾𝑔𝑓 ) and non-
liquefiable (𝛾 < 𝛾𝑓 o 𝐾𝑔 < 𝐾𝑔𝑓 ) will be indicated.
Estimation of liquefaction failure shear strain (𝜸𝒇 ) through cyclic triaxial tests
The tests were conducted using Aguablanca sand extracted from the study area. The soil
characteristics are summarized in Table 3. Isotropically consolidated undrained cyclic triaxial tests
were performed, using a Geocomp Triaxial Testing System. Sand specimens were prepared using
undercompaction with moist tamping method (Ladd, 1978), with a moisture content ranging
between 7% and 9%. Specimens’ diameter and height were approximately 7.1 cm and 14.5 cm
(2.8 in and 5.7 in) respectively. Relative densities (𝐷𝑟 ) of prepared specimens ranged from 35% to
62%. After preparation, the specimens were saturated to B-values greater than 0.95, and
isotropically consolidated at effective stresses of 50 kPa and 100 kPa. Isotropic consolidation
increased relative densities to values between 44% and 72%. The cyclic stress ration (𝐶𝑆𝑅) ranged
between 0.10 and 0.22 with a deviatoric stress applied at 1 Hz in frequency. Axial deformation,
axial load, chamber pressure and pore pressure were controlled during the tests with a data
acquisition rate of 100 Hz.
The cyclic resistance curves for the different conditions tested are shown in Figure 3, where
𝑁𝐿𝑖𝑞 is the number of cycles in which the effective stress is equal to zero, i. e., the pore pressure
(𝑢) is equal to the consolidation effective stress (𝜎3′ ) of the sample. Other results of these tests
were published by Sandoval et al. (Sandoval, Campaña, & Cruz, 2013).
The results show that Aguablanca sand fails by liquefaction in a shear strain range 𝛾
between 0.68% and 2.47% (Table 4). This shear strain range during liquefaction is within that
reported by Ishihara (1996) (Table 1). As liquefaction failure shear strain (𝛾𝑓 ), the minimum
reported value will be taken for this study, which corresponds to 𝛾𝑓 = 0.67%.
7
Figure 3. CSR versus number of cycles to liquefaction (Sandoval, Campaña, & Cruz, 2013).
8
Each 10 minutes record was divided into 30 second windows overlapped in 50%. Each
window was then converted to the frequency domain using the Fast Fourier Transform (FFT). The
horizontal components (𝐻𝑁𝑆 y 𝐻𝐸𝑊 ) were combined using the quadratic mean (Eq. 8) as
recommended by the SESAME project (Bard & SESAME-Team, 2004; Albarello & Lunedei,
2013; Rezaei & Choobbasti, 2014). The spectral ratio between the combined horizontal component
(𝐻𝑓 ) and the vertical component (𝑉𝑓 ) was then performed to obtain an approximate transfer
function (𝑇) (Eq. 1). This process was repeated for all the record windows, creating a transfer
functions family that was averaged to obtain a single function that represents the soil dynamic
properties. From the average transfer function for each sampling point, the fundamental frequency
(𝐹𝑔 ) and the amplification factor (𝐴𝑔 ) were determined, from which the vulnerability index (𝐾𝑔 )
was calculated using Eq. 2 (Table 5).
1/2
𝐻𝑓 = [(𝐻𝑁𝑆 2 + 𝐻𝐸𝑊 2 )⁄2] (8)
Using the simplified deformation model proposed by Nakamura, the maximum expected
surface shear strain (𝛾) due to earthquake occurrence is calculated (Eq. 7, Table 5). For this
purpose, the basement shear wave velocity was considered as 𝑣𝑏 = 600 m/s (Nakamura, 2000)
and a maximum expected basement acceleration of 𝑎𝑏 = 0.25 g (Ingeominas & Dagma, 2005;
Asociación Colombiana de Ingeniería Sísmica, 2010). The calculated shear strains were evaluated
according to the shear strain for liquefaction failure (𝛾𝑓 ) reported in the cyclic triaxial tests results.
The application results of this criterion are shown in Table 5, where "NO" means that the
calculated shear strains are less than 𝛾𝑓 and the soil is non-liquefiable, and "YES" means that the
calculated shear strains are equal to or exceed 𝛾𝑓, and soil is potentially liquefiable. The results
show that vulnerability index for liquefaction failure is 𝐾𝑔𝑓 ≈ 16.5. Above 𝐾𝑔𝑓 the soil could
present liquefaction. In accordance with the mentioned above and based on the information shown
in Table 5, a soil liquefaction hazard microzoning map was constructed by using linear
interpolation in ArcGis® (Figure 4).
9
Table 5. Liquefaction potential evaluation through Nakamura Methodology.
𝜸 ≥ 𝜸𝒇 Conventional
Id. Point 𝑨𝒈 𝑭𝒈 [Hz] 𝑻𝒈 [s] 𝑲𝒈 𝜸 [%]
Yes/No Method
AB001 3.56 0.71 1.41 17.90 0.741 Yes Liquefiable
AB002 2.16 0.79 1.26 5.87 0.243 No Non-liquefiable
AB003 4.18 0.66 1.53 26.70 1.106 Yes Liquefiable
AB004 4.19 0.73 1.37 24.14 1.000 Yes Non-liquefiable
AB005 3.81 0.76 1.32 19.07 0.790 Yes Non-liquefiable
AB006 6.48 0.75 1.34 56.26 2.330 Yes Liquefiable
AB007 4.16 0.66 1.51 26.14 1.083 Yes Liquefiable
AB008 5.30 0.67 1.49 41.70 1.727 Yes Non-liquefiable
AB009 2.67 0.72 1.39 9.93 0.411 No Non-liquefiable
AB010 4.89 0.62 1.60 38.24 1.584 Yes Liquefiable
AB011 3.84 0.68 1.48 21.86 0.905 Yes No data*
AB012 4.08 0.67 1.49 24.73 1.024 Yes No data*
AB013 4.37 0.66 1.52 29.01 1.202 Yes No data*
AB014 4.81 0.70 1.42 32.80 1.358 Yes No data*
AB015 2.82 0.77 1.30 10.39 0.430 No Inconclusive
AB016 3.91 0.53 1.87 28.55 1.182 Yes Non-liquefiable
AB017 2.97 0.63 1.60 14.15 0.586 No Non-liquefiable
AB018 3.14 0.62 1.60 15.83 0.656 No Liquefiable
AB019 1.90 0.79 1.26 4.54 0.188 No Liquefiable
AB020 3.31 0.62 1.60 17.54 0.727 Yes No data*
AB021 2.84 0.71 1.42 11.46 0.474 No Non-liquefiable
AB022 3.29 0.74 1.36 14.66 0.607 No No data*
AB023 2.87 0.70 1.42 11.71 0.485 No No data*
AB024 3.05 0.69 1.44 13.39 0.554 No Non-liquefiable
AB025 2.10 0.67 1.49 6.53 0.270 No Inconclusive
AB027 1.57 0.89 1.13 2.79 0.115 No No data*
AB028 2.98 0.78 1.28 11.35 0.470 No No data*
AB029 3.54 0.83 1.20 15.05 0.623 No No data*
AB030 4.35 0.55 1.83 34.69 1.437 Yes Liquefiable
AB031 3.81 0.69 1.46 21.13 0.875 Yes Non-liquefiable
AB032 4.85 0.69 1.45 33.98 1.407 Yes No data*
AB033 4.44 0.77 1.30 25.68 1.064 Yes No data*
AB034 3.06 0.78 1.29 12.10 0.501 No No data*
AB035 3.70 0.56 1.80 24.58 1.018 Yes Inconclusive
*Means that there are not conventional test data within a radius of 100 m.
10
Table 6. Geotechnical characterization of the study zone.
A semi-empirical method based on the CPTu field test was used to estimate liquefaction
potential. This method is deterministic and requires the estimation of cyclic stress ratio (𝐶𝑆𝑅) and
cyclic resistance ratio (𝐶𝑅𝑅) of the soil. The 𝐶𝑆𝑅 and 𝐶𝑅𝑅 values were calculated according to
correlations proposed by Seed & Idriss (1971), Youd et al. (2001) y Robertson & Cabal (2015).
The results showed liquefaction at points AB001 (2 boreholes), AB007, AB018 and AB030, at
depths between 3 m and 11.5 m. Points AB016 (2 boreholes) and AB021 (2 boreholes) were non-
liquefiable (Figure 4).
Complementary information
As part of the seismic microzonation study of Santiago de Cali (Ingeominas & Dagma, 2005),
4860 geotechnical boreholes (SPT and CPTu) were collected from 8 local engineering companies.
For this research, 262 SPT and 10 CPTu tests were located within the study area, from which the
liquefaction potential was evaluated following the semi-empirical methods described above (Seed
& Idriss, 1971; Seed, Idriss, & Arango, 1983; Youd et al., 2001). The information analysis resulted
in 79 points being potentially liquefiable and 193 points that not.
Figure 4 shows with red dots the liquefiable points according to the analysis carried out,
and with green dots the non-liquefiable points within the study area. A main conclusion of this
study was that alluvial plain is susceptible to liquefaction. The depth at what it occurs depend
mainly of relative density 𝐷𝑟 and the clay layer thickness above (Ingeominas & Dagma, 2005).
COMPARATIVE ANALYSIS
A comparative analysis was carried out by overlapping the liquefiable and non-liquefiable points
obtained from SPT and CPTu tests on the liquefaction hazard map obtained using the Nakamura
methodology (Figure 4). To determine a match percentage four scenarios were analyzed, the
results are shown in Table 7:
a) Complete area. Number of liquefiable SPT and CPTu points in liquefiable areas on the
map, plus number of non-liquefied points in non-liquefied areas on the map.
b) Liquefiable area. Number of liquefiable SPT and CPTu points in liquefiable areas.
11
c) Non-liquefiable area. Number of non-liquefiable SPT and CPTu points in non-
liquefiable areas on the map
d) Analysis by point. Results comparison obtained at each microtremor recording point,
with the nearest SPT or CPTu result (until to 100 m).
13
Also, it is recommended for future research to evaluate the methodology applicability in
areas where there is not clay layer over potentially liquefiable sands.
ACKNOWLEDGMENTS
This investigation was carried out within the framework of the research project "Evaluation of
Non-Conventional Methods for Determination and Mitigation of Soil Liquefaction Potential" code
11067-710-51485, financed by COLCIENCIAS according to contract FP44842-022-2016. With
the support of the Research Group in Seismic, Wind, Geotechnical and Structural Engineering (G-
7) from Universidad del Valle.
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