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1 Introduction
Foundations are quite frequently required to transmit dynamic loads, some of which
are transient like wind loads, earthquake, and blast loads, and some others are sus-
tained for a long duration like dynamic loads from machines. When a foundation is
subjected to dynamic loads, the dynamic interaction between the foundation and soil
affects the response of the foundation, leading to soil–structure interaction (SSI).
Piles act as major vibration transmission paths in machine foundations.
Complexity of an SSI analysis can depend on how accurately nonlinear behavior of
pile and soil, as well as interfaces, is modeled. The stiffness of the pile in the lateral
direction is very low in comparison with its vertical stiffness; hence, the lateral
capacity/stiffness of the pile governs the design in most cases, where the lateral loads
are dominant (Boominathan et al. 2015). Dynamic response of pile in lateral direction
due to dynamic load at pile head would be influenced mostly by the top few meters of
soil below ground. The primary objective of an equipment foundation design would
be to meet the stipulated performance criteria. However, most often, intensity of the
equipment excitation is not generally large enough to develop inelasticity in soil, and
analysis methods which are easily applied to elastic media can be and have been
employed with a fair degree of accuracy.
Seismic response of piles has received large attention in recent years. Analytical
methods for Seismic Soil–Pile–Superstructure Interaction (SSPSI) are available at
various levels of sophistication. A wide range of field and laboratory experiments
has been reported in the literature and has been used to validate analytical methods.
El-Marsafawi et al. (1992) evaluated theoretical analysis methods using compar-
isons with dynamic tests on pile groups. The conclusion that was arrived at was that
linear theory gave reasonable estimate for stiffness of single and group piles.
However, damping was overestimated by most analytical techniques. Static inter-
action factors in the analyses were observed to produce an approximate estimate of
dynamic group stiffness in the low frequency range, for small pile groups. The
stiffness may be underestimated in other cases.
The use of finite element and finite difference techniques for soil–structure
interaction effects on seismic response of structures began in the 1970s. The ‘new
age’ in SSI began with pioneering works by Dyatlovitsky (1966), Lysmer et al.
(1981), Kausel et al. (1975), Luco (1974), Wolf (1985), and several others. Finite
element modeling of an infinite soil medium requires special boundary conditions
that would mimic an infinite medium. Several techniques have been used to sim-
ulate the semi-infinite halfspace in FE models. Kelvin elements that contain springs
and dashpots connected in parallel can be attached to a boundary in order to
simulate an infinite medium. These elements basically absorb energy that reaches
the boundaries and account for radiation damping in the soil–foundation system.
Dashpot and spring coefficients for transmitting boundary were developed by
Novak and Mitwally (1988). Viscous elements proposed originally by Lysmer and
Kuhlemeyer (1969) for shallow foundations are used when the loads in the problem
Soil–Structure Interaction Analysis of Pile Foundations … 47
are purely dynamic in nature. Infinite elements can also be employed in FE analysis
(Zienkiewicz et al. 1985; Chadwick et al. 1999; Kim and Yun 2000).
Recent studies on dynamic and seismic response of pile foundations using
physical modeling and numerical methods are presented in this paper.
SSI analysis techniques with varying degree of sophistication have been proposed
by researchers over the past decades. Simple analogs and empirical relations form
the most basic analysis methods. For instance, shallow foundations can be
approximated with lumped springs with an assumption that the foundation is
supported by a homogeneous elastic, semi-infinite medium. Pile foundations can be
approximated as beams with Winkler-type springs and dampers in which the
configurations of the springs and dampers widely vary depending on researchers.
The most comprehensive approach to solve the nonlinear SSI problem, however,
will be finite element analysis or other discretization schemes like the finite dif-
ference method, boundary element method, or hybrid methods that involve a mix of
these. The advantage of such methods is that complex structural configurations and
soil layers can be explicitly modeled. Broadly, most numerical SSI methods fall
under categories of direct and substructure methods.
The direct method SSI analysis accounts for the inertial and kinematic interac-
tion simultaneously with the entire soil–structure system modeled as finite element
model. The direct method can incorporate advanced nonlinear material and inter-
face models for both soil and structure. Solution of equations of motion can be in
frequency domain or time domain. However, nonlinear analysis involving
step-by-step integration of the equation of motion is carried out only in time
domain, and the method involves introduction of artificial boundaries at the sides of
the soil, so as to minimize effect of wave reflections.
Substructure method divides the problem into substructures that can be conve-
niently analyzed using appropriate methods and then superposed to obtain the final
response. The method assumes linear soil and structural behavior, and it can be
solved in frequency domain. The fundamental idea is to perform the analysis of the
interaction problem in several steps and to use the most amenable solution in each
step, requiring as a result less computer time and storage than in the case of a
complete analysis in a single step (Villaverde 2009). Substructure-based methods
are in some cases over 100 times faster than direct methods. For example in
programs such as SASSI, impedances of the substructure are evaluated first, con-
sidering layered soil. The complex impedances are then used in the dynamic
analysis of structure–foundation model. However, linear analysis is the drawback of
this technique. Current developments in computer programs include iterative
nonlinear interpolation procedures, to enhance the linear substructure-based anal-
ysis (Ghiocel 2015).
48 A. Boominathan et al.
The SASSI program has often been used for three-dimensional seismic soil–
structure interaction (SSI) analysis of nuclear reactor buildings. The program can
address wave propagation effects in unbounded soil media and account for non-
linear soil using strain-compatible soil modulus and damping properties. Soil layers
are formulated as horizontal viscoelastic layers in the program. Strain-compatible
dynamic soil properties can be included in the analysis by employing computer
codes such as SHAKE (Schnabel 1972).
250
Tank Wall
Fig. 1 Elastic halfspace simulation minimizing wave reflection (after Boominathan and
Ayothiraman 2007)
Soil–Structure Interaction Analysis of Pile Foundations … 49
bending moment was found to be in good agreement with experimental result for
short pile of length to diameter (l/d) ratio of 20. Although the model fairly predicts
the location of maximum bending moment, a large difference in magnitude was
observed for long piles with l/d ratio of 40.
Experimental study on the effect of cyclic lateral load on three different model
pile groups was carried out by Chandrasekaran et al. (2010). A photograph of the
cyclic testing experimental setup is presented in Fig. 2. The study concluded that
cyclic loading reduces lateral capacity of pile groups significantly. A plot of average
load per pile versus pile head deflection for a 3 3 pile group obtained from the
experiment is presented in Fig. 3. A p–y curve method-based numerical simulation
was performed using the program GROUP, for the pile groups. It was observed that
load-deflection curves obtained by using inbuilt p-multipliers based on static tests
could not match experimental curves. However, dynamic p-multipliers obtained
from experimental results when plugged into the program gave close match with
experimental curves.
Boominathan et al. (2013) discussed case studies on dynamic response of piles
in India. Full-scale steady state forced vibration test stipulated in IS 9716 was
followed in the tests. A simulation of the forced vibration test was performed using
FEA using ABAQUS. The finite element discretization of the pile–soil system is
presented in Fig. 4. The lateral stiffness was then estimated using FEA with good
agreement. The DYNA 5 program was used to estimate dynamic vertical and lateral
stiffness of piles, which in turn were used in a FEA to determine natural frequencies
of the fan foundation system.
50 A. Boominathan et al.
Fig. 5 Experimental setup for lateral dynamic load test (Chandrasekaran et al. 2013)
clay changes from soft to medium stiff state. An empirical equation (Eq. 1) was
proposed to estimate the ratio of effective pile length under dynamic and static
lateral loads.
0:12
Lfd Ep
5:91 ð1Þ
Lfs Gs
Seismic response of pile foundations has been receiving attention after observed pile
damage and failure during major earthquakes including Alaska (March 27, 1964),
Nigaata (June 16, 1964), San Fernando (February 9, 1971), Mexico City (September
19, 1985), Kobe (January 17, 1995). Pile foundations are known to filter out low
period components of ground motion, induce a rotational component at the head, and
develop internal kinematic bending moment and shear forces, during earthquakes
(Mylonakis et al. 1997). In addition to numerical methods, there exist simplified
methods to estimate kinematic pile bending moments in layered soils (Dobry and
O’Rourke 1983; Nikolaou et al. 2001; Mylonakis 2001). Importance of kinematic
bending moments has been identified and stipulated by design codes such as
EUROCODE 8 and NEHRP 2000. Analysis of composite foundations like the piled
raft requires three-dimensional numerical models to account for various interactions
(Katzenbach and Choudhury 2013). Seismic response of piled rafts has been studied
by researchers, using direct- and substructure-based numerical methods (Kumar
et al. 2016; Mayoral et al. 2009; Nakaia et al. 2004).
Substructure-based seismic SSI analysis of pile foundations, using the program
SASSI, is discussed for three different cases. The substructuring method is simple
for cases in which the structure and the foundation interface boundary are on the
surface of the foundation medium. Based on how rigorously the interaction at the
soil and structure interface degrees of freedom is considered, substructuring
methods can be classified into four types, namely rigid boundary method, the
flexible boundary method, the flexible volume substructuring method (FVSM), and
the substructure subtraction method.
In the FVSM technique, the soil–foundation system is partitioned into three
substructures as presented in Fig. 6. The partitioning in SASSI program (Lysmer
et al. 1981) is done in such a way that interaction occurs in all nodes of the
embedded parts of the foundation, and the mass, damping, and stiffness matrices of
the foundation are reduced by the corresponding properties of the excavated mass
of soil. The substructuring in the SASSI code is formulated using the complex
Foundation-soil system s
e
b
response method and finite element technique. Soil model consists of viscoelastic
horizontal layers resting on a viscoelastic halfspace. Horizontal layering and linear
material model are inherent limitations of the SASSI methodology.
Css Csb us 0
¼ ð2Þ
Cbb ðCbb Cee þ Xee Þ ue Xee u0e
The governing equation that is solved for seismic response problem is presented
as Eq. 2, in which Xff represents the impedance matrix of free field substructure, C
represents complex frequency-dependent stiffness matrix, and subscripts s, b, and e
refer to degrees of freedom for nodes at the superstructure, basement, and excavated
soil, respectively.
The kinematic interaction, in general, refers to the wave passage problem, the
scattering of seismic rays by a rigid inclusion. In the present study, kinematic
response of a free-headed single pile embedded in homogeneous elastic halfspace
was carried out using SASSI 2010 program. The length to diameter ratio of pile was
20. Two cases of soil profiles, one with ratio of pile modulus to soil Young’s
modulus (Ep/Es) of 1000 and another one with 10,000, were considered. A 3D
model of the pile was developed using eight noded brick elements in SASSI 2010
as illustrated in Fig. 7. Near-field soil elements were not explicitly modeled. The
G.L
30m
1.5m
control point was kept at the ground level, and the impedance calculation was done
for 85 frequencies. The kinematic response factor for horizontal displacement, Iu
along the direction of motion, defined as the ratio of pile head displacement (Up), to
free field displacement (Uff), is then extracted from the program. The factor Iu is
plotted against dimensionless frequency defined as in Eq. (4).
Up
Iu ¼ ð3Þ
Uff
ao ¼ xd=Vs ð4Þ
The kinematic response factors for the single proposed by Fan et al. (1991)
based on the solution to three-dimensional boundary value problems by Kaynia and
Kausel (1982) is also presented in Fig. 8. It can be easily noticed from Fig. 8 that
the SASSI-based kinematic response factor matches well with that proposed by Fan
et al. (1991) for soft soil site conditions (Ep/Es = 10,000) but is slightly higher than
Fan et al. (1991) factors for stiff soil site conditions (Ep/Es = 1000).
Another study was done for fixed head pile group embedded in homogeneous
soil and subjected to vertically propagating waves. A 2 2 pile group (Fig. 9) was
analyzed in SASSI using FVSM technique, and results are compared with those
reported by Fan et al. (1991). The soil profile with the ratio of elastic pile modulus
to soil elastic modulus (Ep/Es) as 10,000 and ratio of pile spacing to diameter as 5
was selected. The pile group as well as near-field soil is modeled using 3D eight
noded brick elements as shown in Fig. 10. Near-field soil elements were modeled to
simulate pile–soil–pile interactions. In this case, pile head fixity was modeled by
applying rotational restraint and rigid links connections at the top surface of piles.
Control point was set at the ground level. Analysis was performed for a set of 40
frequencies.
Output was obtained as ratio of translation at the pile cap to the free field
displacement which is the kinematic response factor Iu. Figure 11 shows the
comparison of results obtained from SASSI analysis with Fan et al. (1991). It can be
observed from Fig. 9 that the shape of kinematic factor curve obtained from SASSI
2010 is similar to that of obtained from Fan et al. (1991) but the values are matching
only at low frequencies.
Seismic response of piled raft (PR) clay system was studied by Banerjee (2009) by
conducting centrifuge shake table tests. In the present study, a three-dimensional
SASSI model is developed for a piled raft with the intention of simulating the
centrifuge experiment. Prototype dimensions of the raft are 12.5 m 7.5 m
0.5 m, with four piles of diameter 0.9 m and length of 13 m as shown in Fig. 12a.
Flexural rigidity of the piles in prototype scale is 10308351 kNm2. Vertical load of
56 A. Boominathan et al.
Fig. 11 Variation of
kinematic response factor
with dimensionless frequency
for pile group
605 tonnes was applied on the top of raft using steel plates to simulate load from
steel plates placed over the raft in the experiment. Soil used in the experiment was
homogeneous soft kaolin clay that had a bulk unit weight of 16 kN/m3, liquid limit
of 80%, plastic limit of 35%, and water content of 66% (Banerjee et al. 2014).
Increase in low strain shear modulus, Gmax, was assumed to follow Eq. (5), pro-
posed by Banerjee (2009).
There are several methods of modeling piles using finite elements for SASSI.
Volume elements like brick elements can be used to model the entire volume of
pile. Other techniques include beam elements, central beam and rigid links, and
Soil–Structure Interaction Analysis of Pile Foundations … 57
Fig. 12 a Details of the piled raft system and b finite element mesh showing raft and inter-pile
elements
special inter-pile elements (Ostadan and Deng 2012). In this present study, piles are
modeled as inter-pile elements in SASSI 2010. This pile model consists of a beam
element that is assigned flexural rigidity of the pile and volume elements around the
beam that models its volume. The finite element mesh of the model is presented in
Fig. 12b.
The input motion applied to the soil layer below the foundation was the same as
that used in the experiment. The time history with peak acceleration of 0.053g, used
in the experiment, was applied as input motion. Time history and Fourier spectra of
the input motion are presented in Fig. 13. To compensate for the linear soil model,
equivalent linear ground response analysis was performed using the program
SHAKE 2010 using modulus reduction and damping curves reported by Banerjee
(2009). The strain-compatible modulus and damping obtained from SHAKE 2010
are then used as input for the SSI analysis.
Response spectrum and Fourier spectrum obtained from the simulation and
experiments are presented in Fig. 14a, b, respectively. The simulation was found to
reproduce all dominating peaks in the spectra. The highest spectral ordinate was
observed at 1.46 s, in the experiment, and the simulation results follow the peak
very closely. Low period response is found to be amplified by the simulation at
around 0.5 s. The peak acceleration value recorded at the top of raft was 0.57 m/s2
in the simulation, compared to a peak acceleration of 0.69 m/s2 observed from
experiment. Amplification in Fourier amplitude of 24% and a de-amplification of
47% were observed at 4.5 and 2.1 s, respectively.
58 A. Boominathan et al.
0.6
0.4
Acceleration (m/s2 )
0.2
0.0
0 5 10 15 20 25
-0.2
-0.4
Time (s)
-0.6
1.8
1.6
Fourier Amplpitude
1.4
1.2
1
0.8
0.6
0.4
0.2
0
0.01 0.1 1 10
Frequency (Hz)
5 Conclusions
(a) 2.5
2 Centrifuge test
SASSI simulation
1.5
Sa
0.5
0
0 1 2 3 4 5
Period (s)
(b) 2
1.5
Fourier Amplitude
1 SASSI simulation
Centrifuge test
0.5
0
0.1 1 10 100
Period (s)
Acknowledgements The authors are thankful to Dr. Subhadeep Banerjee, Indian Institute of
Technology Madras, for providing centrifuge shake table data on piled raft foundations and
valuable comments.
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