Developments in Geotechnical Engineering

Forensic Geotechnical Engineering

V.V.S. RaoG.L. Sivakumar Babu Editors

Developments in Geotechnical Engineering

Series editors

Braja M. Das, Henderson, USANagaratnam Sivakugan, Townsville, Australia

More information about this series at http://www.springer.com/series/13410

V.V.S. Rao • G.L. Sivakumar BabuEditors

Forensic GeotechnicalEngineering

123

EditorsV.V.S. RaoNagadi Consultants Pvt LimitedChennai, Tamil NaduIndia

G.L. Sivakumar BabuDepartment of Civil EngineeringIndian Institute of ScienceBangalore, KarnatakaIndia

ISSN 2364-5156 ISSN 2364-5164 (electronic)Developments in Geotechnical EngineeringISBN 978-81-322-2376-4 ISBN 978-81-322-2377-1 (eBook)DOI 10.1007/978-81-322-2377-1

Library of Congress Control Number: 2015938088

Springer New Delhi Heidelberg New York Dordrecht London© Springer India 2016This work is subject to copyright. All rights are reserved by the Publisher, whether the whole or partof the material is concerned, specifically the rights of translation, reprinting, reuse of illustrations,recitation, broadcasting, reproduction on microfilms or in any other physical way, and transmissionor information storage and retrieval, electronic adaptation, computer software, or by similar or dissimilarmethodology now known or hereafter developed.The use of general descriptive names, registered names, trademarks, service marks, etc. in thispublication does not imply, even in the absence of a specific statement, that such names are exempt fromthe relevant protective laws and regulations and therefore free for general use.The publisher, the authors and the editors are safe to assume that the advice and information in thisbook are believed to be true and accurate at the date of publication. Neither the publisher nor theauthors or the editors give a warranty, express or implied, with respect to the material contained herein orfor any errors or omissions that may have been made.

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Foreword

In my programme of candidature for ISSMGE President, in 2005, I have empha-sized “that it is my profound desire to bring a better balance and harmonisation ofgeotechnical activities for the different regions and more visibility for ISSMGE.

The diversity of all 81 ISSMGE Member Societies, is our great richness and asource of inspiration. It is our great challenge, but also a unique opportunity, torethink ISSMGE, due to the changes in basic societal needs, to reach a new model.We need to recognize the importance of dialogue to work together and pursueperfection to reach optimum solutions for the problems facing us.

It is important to explore a new format of the Technical Committees (TCs) inorder to turn them more attractive not only for academicians, but also for practi-tioners. The universality of the knowledge and the need for a recurring demand onthe TCs to explore the best ways for research, design, construction and assessmentof safe geotechnical structures, in order to reach the expectations and targets of ourSociety during the third millennium”.

Within this framework I have Dr. V.V.S. Rao’s proposal to create TC 40“Forensic Geotechnical Engineering”.

During our discussions to prepare the Terms of Reference I have emphasizedthat TCs are the spine of ISSMGE, a forum of discussion contributing towards theadvancement of knowledge in geotechnical engineering and an opportunity tointeract with the Society. It was important to communicate, to share experiences, tocompare methodologies and to monitor results. The benefits of an open dialoguebetween academicians, researchers, practitioners, contractors and owners are huge.

The TCs should disseminate their work, through ISSMGE conferences, orworkshops and satellite conferences.

At the end of the tenure of 4 years, each TC should produce an ISSMGE bulletinor book.

Engineering is an ambiguous word, in some languages an engineer is a personmastering engines, in Latin, an engineer is a person with genius, something like art,that is, skill plus intelligence. If the Earth is viewed as a big engine, a set of parts

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linked into intricate mechanisms, the first acceptance is right, but a bit of genius isrequired to master its complexity.

Bacon (1620) quoted that nature to be mastered, must be obeyed.A good geotechnical engineer is one who knows the limits of his experience on

problems and soil conditions comparable with his current assignment and makesappropriate extrapolations. He knows what he knows and uses it confidently. Moreimportantly, he knows what he does not know, seeks available knowledge, and thenproceeds, fully acknowledging his limitations and uncertainties.

Forensic geotechnical engineering is the investigation of geotechnical materials,products or components that fail (ultimate limit state) or do not operate or functionas intended (serviceability limit state), causing personal injury or property loss. Theconsequences of failure are dealt with by the law of structure reliability. Generally,the purpose of a forensic engineering investigation is to identify the cause or causesof failure with a view to improve performance or life of a structure, or to assist acourt of law in determining the facts of an incident or accident.

This book integrates 35 contributions from experts of all round the world,namely from the 6 Regions that compose ISSMGE: Africa, Asia, Australasia,Europe, North America and South America.

In a geotechnical world that is transforming and advancing everyday, we facenew challenges. This book explores new ways, discusses our boundaries ofresponsibility, our ethical and legal environment, enhances the appeal of theISSMGE to the practitioner engineers, promotes our Society to other professionals,to decision-makers and will be a continuous source of inspiration for today andtomorrow.

The lessons learned from the case studies addressed in this book remind us thatthe arrogance of our convictions should be subordinated to the study of alternativesolutions, to the effort to render compatible divergent interests and opinions and theneed to not forget past lessons. Forensic Geotechnical Engineering is simulta-neously complex and a great challenge, but we need to humbly recognize theexistence of uncertainties, the importance of dialogue and pursue the perfection toreach the optimum solution.

The purpose of this book to promote a cross-fertilization between academiciansand practitioners was totally achieved. It is my hope that the spirit of cooperationfostered by this book will encourage additional projects and will contribute to theadvancement of the knowledge in forensic geotechnical engineering, quotingGoldsmith’s memorable lines:

“Hope, like the glimmering taper’s lightAdorns and cheers the wayAnd still, as darker grows the nightEmits a brighter ray”.I would like to express on behalf of the ISSMGE, our deep gratitude to the

Indian Geotechnical Society for the support and cooperation to host this TechnicalCommittee, since 2005.

vi Foreword

Last but not least, I would like to address to the Chairman of TC 302, Dr. V.V.S.Rao and to all members of this TC a word of praise and gratitude for their devotionand skill to overcome the difficulties and to organise very successfully all theactivities, and also a message of hope that TC 302 will allow us to develop a feelingof universal responsibility and with the joint cooperation of decision-makers,general public, researchers, professors, designers and contractors to create theambition to serve better our Society, quoting Julia Carney’s memorable lines:

“Little drops of water, little grains ofSand,Make the mighty ocean and the pleasantLand.So the little minutes, humble thoughThey be,Make the mighty ages of eternity”.This journey was an unforgettable experience for us. We learned that we have an

enormous amount of choice to create the beautiful lives of our dreams.We are very grateful. You help us in so many ways that words cannot express.

Prof. Pedro Seco e PintoPresident, ISSMGE (2009–2013)

Foreword vii

Preface

Forensic geotechnical engineering is about analysing the causes of failure, under-standing what went wrong, why and when from the geotechnical point of view. Therole of a forensic geotechnical engineer is often complex and needs to be com-prehensive to satisfy technical and legal perspectives. Often, the geotechnicalengineer is required either as a technical expert to understand the failure or as expertwitness in the Court of Law. To develop guidelines in Forensic GeotechnicalEngineering, learning from failures is an essential step and is the hallmark of goodengineering practice. In this edited volume on advances in Forensic Engineering, anumber of technical contributions from experts and professionals in this area areincluded. The work is the outcome of deliberations at various conferences in thearea by Technical Committee on Forensic Geotechnical Engineering (TC 302) ofInternational Society for Soil Mechanics and Foundation Engineering (ISSMGE).The edited volume contains a few selected contributions on the topics relevant toforensic Geotechnical Engineering viz, (a) Evidence/data collection, (b) Distresscharacterization, (c) Use of diagnostic tests (laboratory and field tests), (d) Backanalysis, (e) Failure hypothesis formulation, (f) Role of instrumentation and sensorbased technologies, (g) Risk analysis and (h) Technical shortcomings.

The first two chapters are general and cover Framework for Forensic FoundationEngineering, by Prof. H.G. Poulos, Forensic Geotechnical Engineering—Theoryand Practice by Dr. Suzanne Lacasse- Høeg and Dr. V.V.S. Rao presents generalguidelines for Forensic Investigation of Geotechnical Failures. Caisson FailureInduced by Wave Action is addressed by Prof. Alonso and his co-workers.

Data Collection in Forensic Geotechnical Engineering Investigation is addressedby Dr. Peter Day, Diagnosis of Geotechnical Failure Causes Using BayesianNetworks is presented by Yao Xu and his colleagues. The role of Back Analyses inGeotechnical Engineering is addressed by G.L. Sivakumar Babu, Prof. Popescu andDr. Richard Hwang. The role of instrumentation and monitoring for ForensicGeotechnical Engineering is presented by Prof. Yoshi Iwasaki.

Analysis of failures such as causes of undue movements of a retaining wallforming a deep basement in sandstone and consequent damage to an adjacent canal,failure of anchored retaining wall are studied by Jessep, Kazuya and their

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co-workers. The role of backwards problems in geotechnical earthquake engi-neering is examined by Dr. S. Iai and reanalysis of failure of underground con-struction is presented by Dr. B. Hsiung. Failure Analysis of slope slide as well ascharacterisation of failure at a large landslide are studied by Prof. Lee and Starr andothers. Dr. Md. Mizanur Rahman presents a case study of Post-liquefaction DataCollection and Analyses for Earthquakes in New Zealand Prof. Leung presentedsome case studies in Forensics from Singapore.

A case study of failure due to Piping in Sand under a Dam and its Back Analysisand another failure in Construction of an Underground Station are presented byP. Sembenelli and Dr. Hwang. Dr. N. Santhosh Rao discussed the Influence ofVibrations on Installation of Bored Piles.

A case study of floor heaving of a condominium RC-Building with seven storiesby Prof. Yoshi Iwasaki and his co-workers and failure Case Study of Tieback Wallin Urban Area, Korea by Prof. Jeong and Y.H. Kim are included.

Forensics of pile foundations subjected to earthquake-induced liquefaction andlateral spreading by Prof. Gopal Madabhushi and his co-workers, piping failure of ametro tunnel construction by Prof. Lee and his co-workers, forensic analysis offailure of retaining wall by Sivakumar Babu provide useful information.

Prof. K.K. Phoon and his co-workers discuss the role of reliability in forensicgeotechnical engineering and Prof. Gilbert highlights role using case studies.Dhirendra Saxena discusses the technical, ethical and legal Issues in forensicgeotechnical engineering using case studies. R.A. Jessep and his co-authorspresented details of technical shortcomings causing geotechnical failures. Theannexure contains the composition of the Technical Committee 302 during2005–2013.

We wish to place on record our sincere thanks and appreciation to all themembers of TC committee on Forensic Geotechnical Engineering and experts whohave contributed to the activities of the Committee and only a select contributionswere included in this volume. We wish to thank Prof. Pedro Seco e Pinto, Presidentof ISSMFE during 2009–2013 for his encouragement and for writing the forewordfor this contribution. We also wish to thank Mr. M. Pradeep, Editor in Chief ofMaster Builder for his help in organizing the programs and Springer for printingthis important contribution in the area of Forensic Geotechnical Engineering.

Dr. V.V.S. RaoG.L. Sivakumar Babu

x Preface

Contents

1 A Framework for Forensic Foundation Engineering . . . . . . . . . . . 1H.G. Poulos

2 Forensic Geotechnical Engineering Theory and Practice . . . . . . . . 17Suzanne Lacasse

3 Guidelines for Forensic Investigation of Geotechnical Failures . . . 39V.V.S. Rao

4 Caisson Failure Induced by Wave Action. . . . . . . . . . . . . . . . . . . 45E.E. Alonso, N.P. Pinyol and P. Fernández

5 Forensic Geotechnical Engineering Investigations:Data Collection . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 95Peter Day

6 Diagnosis of Geotechnical Failure Causes Using BayesianNetworks . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 103Y. Xu and L. Zhang

7 Back Analyses in Geotechnical Engineering . . . . . . . . . . . . . . . . . 113G.L. Sivakumar Babu and Vikas Pratap Singh

8 Back Analysis of Slope Failures to Design LandslideStabilizing Piles . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 119M.E. Popescu and V.R. Schaefer

9 Back Analyses in Forensic Geotechnical Engineering . . . . . . . . . . 131Richard N. Hwang

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10 Instrumentation and Monitoring for ForensicGeotechnical Engineering . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 145Y. Iwasaki

11 Analysis of the Causes of Undue Movements of a RetainingWall Used to Form a Deep Basement in Sandstoneand Consequent Damage to an Adjacent Canal . . . . . . . . . . . . . . 165R.A. Jessep

12 Failure Mechanism of Anchored Retaining Wall Dueto the Breakage of Anchor Head . . . . . . . . . . . . . . . . . . . . . . . . . 175Kazuya Itoh, Naotaka Kikkawa, Yasuo Toyosawa,Naoaki Suemasa and Toshiyuki Katada

13 Backwards Problem in Geotechnical Earthquake Engineering . . . 187S. Iai

14 Failure Analysis of Underground Construction—LessonsLearned from Taiwan . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 197B. Hsiung and T. Sakai

15 Failure Analysis of a Highway Dip Slope Slide . . . . . . . . . . . . . . . 209Wei F. Lee, H.J. Liao and C.H. Wang

16 Characterisation of Failure at a Large Landslide in SEQueensland by Geological Mapping, Laboratory Testing,Instrumentation and Monitoring . . . . . . . . . . . . . . . . . . . . . . . . . 227D.C. Starr, J. Woodsford and D.F. Marks

17 Post-liquefaction Data Collection and Analysesfor Earthquakes in New Zealand . . . . . . . . . . . . . . . . . . . . . . . . . 241Md. Mizanur Rahman and T.G. Sitharam

18 Forensic Geotechnics—Some Case Studies from Singapore . . . . . . 255C.F. Leung

19 Technical Shortcomings Causing Geotechnical Failures:Report of Task Force 10, TC 302 . . . . . . . . . . . . . . . . . . . . . . . . 267R.A. Jessep, L.G. de Mello and V.V.S. Rao

20 Effects of Vibration by Demolition on Nearby MachineShop Floor—Wave Measurement for Dynamic Propertyof Ground . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 297Y. Iwasaki and K. Nakagawa

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21 A Case of Piping in Sand Under a Dam and Its Back Analysis . . . 311P. Sembenelli

22 Influence of Vibrations on Installation of Bored Piles . . . . . . . . . . 337N. Santosh Rao

23 Aspects Regarding Management of Soil Risk . . . . . . . . . . . . . . . . 343Rolf Katzenbach, Steffen Leppla, Alexandra Weidleand Deepankar Choudhury

24 Forensic Studies for Failure in Constructionof an Underground Station of the Kaohsiung MRT System . . . . . 357Richard N. Hwang, Kenji Ishihara and Wei F. Lee

25 Damage to a Metro Tunnel Due to Adjacent Excavation . . . . . . . 369R.N. Hwang, B.S. Chen, T.E. Wu and S.W. Duann

26 A Case Study of Floor Heaving of a CondominiumRC Building with Seven Stories . . . . . . . . . . . . . . . . . . . . . . . . . . 379Yoshi Iwasaki and Junsuke Haruna

27 Failure Case Study of Tieback Wall in Urban Area, Korea . . . . . 391S.S. Jeong, Y.H. Kim and M.M. Kim

28 Forensics of Pile Foundations Subjected to EarthquakeInduced Liquefaction and Lateral Spreading . . . . . . . . . . . . . . . . 403Gopal SP. Madabhushi

29 Piping Failure of a Metro Tunnel Construction . . . . . . . . . . . . . . 433Wei F. Lee and Kenji Ishihara

30 Forensic Analysis of Failure of Retaining Wall. . . . . . . . . . . . . . . 451G.L. Sivakumar Babu, J. Raja, B. Munwar Bashaand Amit Srivastava

31 Role of Reliability in Forensic Geotechnical Engineering . . . . . . . 467K.K. Phoon, G.L. Sivakumar Babu and M. Uzielli

32 Important Role of Uncertainty in Forensic GeotechnicalEngineering . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 493R.B. Gilbert

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33 Technical, Ethical, and Legal Issues with ForensicGeotechnical Engineering––A Case History . . . . . . . . . . . . . . . . . 505D.S. Saxena

34 Forensic Engineering, Legal Considerations, and PropertyDamage Assessment from Construction Vibrations . . . . . . . . . . . . 521D.S. Saxena, Prashanth Vaddu and Anu Saxena

35 A Case Study of Observational Method for a FailedGeotechnical Excavation in Singapore . . . . . . . . . . . . . . . . . . . . . 535Y. Iwasaki

Appendix . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 549

Author Index . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . 551

xiv Contents

About the Editors

V.V.S. Rao is an internationally acclaimed Geotechnical Consulting Engineer andis the founder of M/S Nagadi Consultants Pvt. Ltd. a leading GeotechnicalConsultancy firm in India. His major field of specialization is soil dynamicsincluding machine foundations and earthquake geotechnical engineering. Hegraduated in 1958 from University of Mysore and obtained Masters Degree fromUniversity of Roorkee in 1960, After conducting research at University of Rookeeand at Technical University West Berlin, obtained the Ph.D. degree from theInstitute of Technology, Delhi in 1968. He joined the faculty of Civil Engineeringof Indian Institute of Technology Delhi in 1966. During 1966–1971 he headed theSoil Engineering Section of the Indian Institute of Technology Delhi and guided anumber of research projects, in addition to conducting postgraduate programmesunder USAID, and consultancy jobs. Since 1971 he has been practicing as aGeotechnical Consultant in his firm and has been involved in over 20,000 major tomedium-sized projects. He was an advisor to NTPC and also to UNDP. He has beenan active member for over 40 years in the Geotechnical Committees of the Bureauof Indian Standards.

During 1993–1997 he was the secretary and during 1997–2001 the Chair ofISSMGE Technical Committee, TC20 on Professional Practice. In 2001 he intro-duced the subject of Forensic Geotechnical Engineering at Indian Institute ofTechnology, Kanpur, India. His first paper on the same subject was presented in theInternational Workshop on Foundation Design Codes held at Kamakura in Japan inApril 2002. He became the Chair of TC on Forensic Geotechnical Engineering, TC40 during 2005–2009. This committee was designated as TC 302 in 2009. Hecontinued to chair this TC until 2013.

He is a fellow member of a number of professional societies in India. He hasbeen the national President of the Association of Consulting Civil Engineers (India)during 1989–2003. He is the Founder Chairman of IGS Chennai Chapter. As JointSecretary of Association of Consulting Engineers (India), he has been involved inthe initial drafting of the Engineers Bill.

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