1st Ishihara Lecture: An overview of the behavior of pile foundations in liquefiable and non-liquefiable soils during earthquake excitation

The seismic response of a pile foundation is usually analyzed by approximate methods in practice. These methods typically neglect one or more of the important factors that affect seismic response such as inertial interaction, kinematic interaction, seismic pore water pressures, soil nonlinearity, cross stiffness coupling and dynamic pile to pile interaction. A nonlinear 3-D analysis is used to show how all these factors affect pile response, to demonstrate some of the consequences of using various approximate methods and to provide a comprehensive overview of how pile foundations behave during earthquakes in liquefiable and non-liquefiable soils.     

Dynamic stiffness and kinematic response of single piles in inhomogeneous soil

The effect of soil inhomogeneity on dynamic stiffness and kinematic response of single flexural elastic piles to vertically-propagating seismic SH waves is explored. A generalized parabolic function is employed to describe the variable shear wave propagation velocity in the inhomogeneous stratum. A layered soil with piece-wise homogeneous properties is introduced to approximate the continuous inhomogeneity in the realm of a Beam-on-Dynamic-Winkler-Foundation model. The problem is treated numerically by means of a layer transfer-matrix (Haskell–Thompson) formulation, and validated using available theoretical solutions and finite-element analyses. The role of salient model parameters such as pile-head fixity conditions, pile-to-soil stiffness ratio, surface-to-base shear wave velocity ratio and rate of inhomogeneity is elucidated. A new normalization scheme for inertial and kinematic response of such systems is presented based on an average Winkler wavenumber. With reference to long piles in moderately inhomogeneous soils, results indicate that: (a) kinematic pile response is essentially governed by a single dimensionless frequency parameter accounting for pile-to-soil stiffness ratio, pile slenderness and soil inhomogeneity and (b) definition of a characteristic pile wavelength allows an approximate estimation of pile elastodynamic response for preliminary design or analysis. Issues related to domain discretization and Winkler moduli are discussed.     

A model for the 3D kinematic interaction analysis of pile groups in layered soils

The paper presents a numerical model for the analysis of the soil–structure kinematic interaction of single piles and pile groups embedded in layered soil deposits during seismic actions. A finite element model is considered for the pile group and the soil is assumed to be a Winkler‐type medium. The pile–soil–pile interaction and the radiation problem are accounted for by means of elastodynamic Green's functions. Condensation of the problem permits a consistent and straightforward derivation of both the impedance functions and the foundation input motion, which are necessary to perform the inertial soil–structure interaction analyses. The model proposed allows calculating the internal forces induced by soil–pile and pile‐to‐pile interactions. Comparisons with data available in literature are made to study the convergence and validate the model. An application to a realistic pile foundation is given to demonstrate the potential of the model to catch the dynamic behaviour of the soil–foundation system and the stress resultants in each pile. Copyright © 2009 John Wiley & Sons, Ltd.     

A method for assessing kinematic bending moments at the pile head

The conventional design methods for seismically loaded piles still concentrate in providing adequate resistance from the pile to withstand only the inertial bending moments generated from the oscillation of the superstructure, thus neglecting the effect of kinematic interaction between pile and soil. By contrast there has been extensive research on kinematic effects induced by earthquakes and a number of simplified methods are available for a preliminary evaluation of kinematic bending moments at the interface between two soil layers. Less attention has been paid to the effects of kinematic interaction at the pile‐head. The paper summarizes recent research work on kinematic response analysis of fixed‐head piles aimed at the performance evaluation of a piled foundation. Results from an extensive parametric study, undertaken by means of three‐dimensional FE analyses, suggest a new criterion to predict kinematic bending effects at the pile head, where the combination of kinematic and inertial effect may be critical. Copyright © 2010 John Wiley & Sons, Ltd.     

Investigation of a cyclic laterally loaded model pile group

In certain regions of the world, designing deep foundations to withstand seismic loading is a reality. Seismic loading of structures and foundations reaches its most critical state as a cyclic lateral force. The response of soils and foundations to repetitive lateral forces is highly complex, relegating most design methods to be based upon overly conservative rules-of-thumb. The primary objective of this research was to analyze the mechanics of seismic loading on pile groups in clay soils. To achieve this a model testing facility was constructed to house a fully instrumented 1×5 model pile group that was subjected to cyclic lateral loading. An empirically based method for pile group design is suggested based upon the results generated from model pile group testing.     

Winkler model for dynamic response of composite caisson–piles foundations: Seismic response

A simplified method with a dynamic Winkler model to study the seismic response of composite caisson–piles foundations (CCPF¹) is developed. Firstly, with the dynamic Winkler model, the kinematic response of the CCPF subjected to vertically propagating seismic S-wave is analyzed by coupling the responses of caisson part and pile part. Secondly, a simplified model for the foundation–structure system is created with the structure simplified as a lumped mass connected to the foundation with an elastic column, and through the Fast Fourier Transformation (FFT) this model is enabled to solve transient seismic problems. Thirdly, the proposed method for the seismic response of CCPF-structure systems is verified by comparison against 3D dynamic finite element simulation, in which the Domain Reduction Method (DRM²) is utilized. Lastly, the mechanism and significance of adding piles in improving the earthquake resistance of the foundation and structure is analyzed through an example with different soil conditions. Discovered in this study is that adding piles under the caisson is an efficient way to increase seismic resistant capability of the soil–foundation–structure system, and the main mechanism of that is the elimination of the pseudo-resonance.     

Bending–buckling interaction as a failure mechanism of piles in liquefiable soils

This paper investigates the importance of bending–buckling interaction in seismic design of piles in liquefiable soils using numerical techniques. A pseudo-static analysis has been performed using a well documented case history, where the pile–soil interaction is modelled as a beam on nonlinear winkler foundation (BNWF). Six possible analytical methods, three force based and three displacement based, are performed in which the pile is subjected to both lateral and axial load. Three out of six analysis cases did not predict the failure of the piles when analysed only for bending (i.e., lateral loads only). The buckling analysis showed that the pile was also safe against pure buckling during full liquefaction. Further, two out of those three cases which did not predict failure in bending were reanalysed for bending–buckling interaction (i.e., lateral and axial loads acting simultaneously). These combined analyses showed a more realistic behaviour of pile response and did predict the pile failure. Hence, it can be concluded that if a pile is designed for bending and buckling criteria separately and safe for these individual design criteria, it may fail due to their combined effect.     

地震作用下预应力混凝土管桩运动响应三维数值分析

基于黏弹性人工边界,建立上部结构-桩-土的共同作用三维有限元模型,分析地震作用下预应力混凝土管桩的运动响应特性。分别针对预应力混凝土管桩的桩径、双层软硬土剪切波速比值、上覆土层厚度、上部结构荷载等影响因素进行数值计算。参数分析表明:在地震作用下,桩径的增大会导致桩身整体弯矩相应增加,特别是桩身土层分界面处增大明显;软硬土层剪切波速比及上覆土层厚度的增加,引起土层分界面处桩身峰值弯矩增加;固定桩头条件下,桩头与桩身软硬土层分界面处均会产生较大的运动弯矩;上部结构的惯性荷载对固定桩头的内力有着较大影响,对桩身深处段弯矩影响较小。本文研究结论可为预应力混凝土管桩抗震设计提供有益的理论参考。     

Three-dimensional nonlinear analysis for seismic soil–pile-structure interaction

A three-dimensional method of analysis is presented for the seismic response of structures constructed on pile foundations. An analysis is formulated in the time domain and the effects of material nonlinearity of soil on the seismic response are investigated. A subsystem model consisting of a structure subsystem and a pile-foundation subsystem is used. Seismic response of the system is found using a successive-coupling incremental solution scheme. Both subsystems are assumed to be coupled at each time step. Material nonlinearity is accounted for by incorporating an advanced plasticity-based soil model, HiSS, in the finite element formulation. Both single piles and pile groups are considered and the effects of kinematic and inertial interaction on seismic response are investigated while considering harmonic and transient excitations. It is seen that nonlinearity significantly affects seismic response of pile foundations as well as that of structures. Effects of nonlinearity on response are dependent on the frequency of excitation with nonlinearity causing an increase in response at low frequencies of excitation.     

Kinematic interaction factors of deep foundations with inclined piles

The beneficial or detrimental role of battered piles on the dynamic response of piled foundations has not been yet fully elucidated. In order to shed more light on this aspect, kinematic interaction factors of deep foundations with inclined piles, are provided for single‐battered piles, as well as for 2 × 2 and 3 × 3 groups of piles subjected to vertically incident plane shear S waves. Piles are modelled as linear‐elastic Bernoulli beams, whereas soil is assumed to be a linear, isotropic, homogeneous viscoelastic half‐space. Different pile group configurations, pile‐soil stiffness ratios, and rake angles are considered. The relevance and main trends observed in the influence of the rake angle on the kinematic interaction factors of the analysed foundations are inferred from the presented results. An important dependence of the kinematic interaction factors on the rake angle is observed together with the existence of an inclination angle at which cap rotation and excitation become out of phase in the low‐to‐mid frequency range. The existence of a small batter angle that provides minimum cap rotation is also shown. Copyright © 2014 John Wiley & Sons, Ltd.     

多桩型复合地基作用机理与动力特性研究

对由碎石桩和CFG桩构成的多桩型复合地基的作用机理进行分析,通过数值模拟,对多桩型复合地基的动力特性进行研究,探讨桩型配比、桩径、桩长、CFG桩桩体刚度和碎石桩桩体渗透性等设计参数对多桩型复合地基动力特性的影响。研究结果表明:相同条件下地震期多桩型复合地基的动变形小于碎石桩复合地基而大于CFG桩复合地基,震后沉降量相对较小,在工程设计时碎石桩与CFG桩的桩型配比宜为4∶5;随桩体长度、桩体直径和CFG桩刚度的增加,多桩型复合地基地震期的竖向动变形逐渐减小;随碎石桩桩体渗透性的增加,多桩型复合地基中的超动孔隙水压力减小,震后沉降量降低。     

Response of a RC pile group in liquefiable soil: A shake-table investigation

Soil liquefaction induced by earthquakes frequently cause costly damage to pile foundations. However, various aspects of the dynamic behavior and failure mechanisms of piles in liquefiable soils still remain unclear. This paper presents a shake-table experiment conducted to investigate the dynamic behavior of a reinforced-concrete (RC) elevated cap pile foundation during (and prior to) soil liquefaction. Particular attention was paid to the failure mechanism of the piles during a strong shaking event. The experimental results indicate that decreasing the frequency and increasing the amplitude of earthquake excitation increased the pile bending moment as well as the speed of the excess pore pressure buildup in the free-field. The critical pile failure mode in the conducted testing configuration was found to be of the bending type, which was also confirmed by a representative nonlinear numerical model of the RC pile. The experimental results of this study can be used to calibrate numerical models and provide insights on seismic pile analysis and design.     

A numerical model for the dynamic analysis of inclined pile groups

The paper presents a numerical model for the dynamic analysis of pile groups with inclined piles in horizontally layered soil deposits. Piles are modelled with Euler–Bernoulli beams, while the soil is supposed to be constituted by independent infinite viscoelastic horizontal layers. The pile–soil–pile interaction as well as the hysteretic and geometric damping is taken into account by means of two‐dimensional elastodynamic Green's functions. Piles cap is considered by introducing a rigid constraint; the condensation of the problem permits a consistent derivation of both the dynamic impedance matrix of the soil–foundation system and the foundation input motion. These quantities are those used to perform inertial soil–structure interaction analyses in the framework of the substructure approach. Furthermore, the model allows evaluating the kinematic stress resultants in piles resulting from waves propagating in the soil deposit, taking into account the pile–soil–pile interactions. The model validation is carried out by performing accuracy analyses and comparing results in terms of dynamic impedance functions, kinematic response parameters and pile stress resultants, with those furnished by 3D refined finite element models. To this purpose, classical elastodynamic solutions are adopted to define the soil–pile interaction problem. The model results in low computational demands without significant loss of precision, compared with more rigorous approaches or refined finite element models. Copyright © 2015 John Wiley & Sons, Ltd.     

Nonlinear seismic behaviour of wall-frame dual systems accounting for soil–structure interaction

The aim of this paper is to study the effects of soil–structure interaction on the seismic response of coupled wall-frame structures on pile foundations designed according to modern seismic provisions. The analysis methodology based on the substructure method is recalled focusing on the modelling of pile group foundations. The nonlinear inertial interaction analysis is performed in the time domain by using a finite element model of the superstructure. Suitable lumped parameter models are implemented to reproduce the frequency-dependent compliance of the soil-foundation systems. The effects of soil–structure interaction are evaluated by considering a realistic case study consisting of a 6-storey 4-bay wall-frame structure founded on piles. Different two-layered soil deposits are investigated by varying the layer thicknesses and properties. Artificial earthquakes are employed to simulate the earthquake input. Comparisons of the results obtained considering compliant base and fixed base models are presented by addressing the effects of soil–structure interaction on displacements, base shears, and ductility demand. The evolution of dissipative mechanisms and the relevant redistribution of shear between the wall and the frame are investigated by considering earthquakes with increasing intensity. Effects on the foundations are also shown by pointing out the importance of both kinematic and inertial interaction. Finally, the response of the structure to some real near-fault records is studied. Copyright © 2012 John Wiley & Sons, Ltd.     

柔性承台板与群桩的竖向动力作用

采用动力文克尔地基模型模拟均质粘弹性土层,推导出了均质土中单桩动阻抗;引用桩-桩动力相互作用因子,得到了刚性承台下群桩的动阻抗;而且建立了柔性承台与桩基础的竖向振动模型,该模型考虑了筏板自身的变形,并导出了其共同作用的运动方程。最后对柔性承台与刚性承台的计算结果作了对比分析。     

A critical review of methods for pile design in seismically liquefiable soils

Collapse and/or severe damage to pile-supported structures are still observed in liquefiable soils after most major earthquakes. Poor performance of pile foundations remains a great concern to the earthquake engineering community. This review paper compares and contrasts the two plausible theories on pile failure in liquefiable soils. The well established theory of pile failure is based on a flexural mechanism; where the lateral loads on the pile (due to inertia and/or lateral spreading) induce bending failure. This theory is well researched in the recent past and assumes that piles are laterally loaded beams. A more recent theory based on buckling instability treats the piles as laterally unsupported slender columns in liquefiable soils and investigates the buckling instability (bifurcation). The objective of this paper is to investigate the implications to practical pile foundation design that flow from both these theories. Provisions for design made by major international codes of practice for pile design including the Japanese Highway Code (JRA) will be considered. The necessity for such codes to consider alternative forms of failure mechanisms such as the buckling instability of piles in liquefied ground will be discussed. S. Bhattacharya–Previously Departmental Lecturer in Engineering Science, University of Oxford, UK and Fellow of Somerville College, Oxford. S. P. G. Madabhushi–Fellow of Girton College, Cambridge.     

Kinematic internal forces in deep foundations with inclined piles

This paper presents a parametric study that looks into the influence of pile rake angle on the kinematic internal forces of deep foundations with inclined piles. Envelopes of maximum kinematic bending moments, shear forces and axial loads are presented along single inclined piles and 2 × 2 symmetrical square pile groups with inclined elements subjected to an earthquake generated by vertically incident shear waves. Inclination angles from 0° to 30° are considered, and three different pile–soil stiffness ratios are studied. These results are obtained through a frequency–domain analysis using a boundary element–finite element code in which the soil is modelled by the boundary element method as a homogeneous, viscoelastic, unbounded region, and the piles are modelled by finite elements as Euler–Bernoulli beams. The rotational kinematic response of the pile foundations is shown to be a key factor on the evolution of the kinematic internal forces along the foundations. Copyright © 2015 John Wiley & Sons, Ltd.     

Kinematic response of single piles to vertically incident P‐waves

Dynamic response of single piles to seismic waves is fundamentally different from the free‐field motion because of the interaction between the pile and the surrounding soil. Considering soil–pile interaction, this paper presents a new displacement model for the steady‐state kinematic response of single piles to vertically incident P‐waves on the basis of a continuum model. The governing equations and boundary conditions of the two undetermined functions in the model are obtained to be coupled by using Hamilton's principle. Then, the two unknown functions are decoupled and solved by an iterative algorithm numerically. A parametric study is performed to investigate the effects of the properties of the soil–pile system on the kinematic response of single piles. It is shown that the effects of the pile–soil modulus ratio, the slenderness ratio of the pile, and the frequency of the incident excitations are very significant. By contrast, the influence of soil damping on the kinematics of the system is slight and can be neglected. Copyright © 2013 John Wiley & Sons, Ltd.     

Centrifuge modelling of raked piles

Inclined piles are prohibited by many codes in seismic areas. Nevertheless the battered effect has not yet been clarified because very few data are available. The present work is a comparison, at reduced scale in the centrifuge, of the response of two simplified pile groups: a 1 × 2 vertical piles and 1 × 2 pile group with one inclined pile. Two configurations are considered: end-bearing and floating pile group, both with pile heads rigidly fixed with a massive cap. First, repeatability tests under horizontal cyclic loading were performed on both floating pile groups. Secondly, repeated horizontal impact tests were performed on both end-bearing pile groups. These impact tests, which highlight the influence of inclined piles on the inertial response of a group, are a first step for the more complex analysis of the performance of such groups under seismic loads where inertial and kinematic interactions are combined. The first part of this work revealed the influence of sand structure around the inclined pile tip on the repeatability of the tests performed on floating pile groups. The second part highlighted differences in the dynamic response between the two end-bearing pile groups through measurements of the pile cap acceleration, the bending moment profile and the axial load in the piles.     

Seismic soil–structure interaction in multi‐span bridges: Application to a railway bridge

The effects of soil‐structure interaction on the seismic response of multi‐span bridges are investigated by means of a modelling strategy based on the domain decomposition technique. First, the analysis methodology is presented: kinematic interaction analysis is performed in the frequency domain by means of a procedure accounting for radiation damping, soil–pile and pile‐to‐pile interaction; the seismic response of the superstructure is evaluated in the time domain by means of user‐friendly finite element programs introducing suitable lumped parameter models take into account the frequency‐dependent impedances of the soil–foundation system. Second, a real multi‐span railway bridge longitudinally restrained at one abutment is analyzed. The input motion is represented by two sets of real accelerograms: one consistent with the Italian seismic code and the other constituted by five records characterized by different frequency contents. The seismic response of the compliant‐base model is compared with that obtained from a fixed‐base model. Pile stress resultants due to kinematic and inertial interactions are also evaluated. The application demonstrates the importance of performing a comprehensive analysis of the soil–foundation–structure system in the design process, in order to capture the effects of soil‐structure interaction in each structural element that may be beneficial or detrimental. Copyright © 2011 John Wiley & Sons, Ltd.