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Kavvadas,

M. & Gazetas,

G. (1993). GPotechnique

43, No. 2, 207-222

Kinematic

seismic

response

and

bending

of free-head

piles in

 

layered

soil

of free-head piles in   layered soil M. KAVVADAS and G. GAZETASt The paper studies the

M.

KAVVADAS

and

G.

GAZETASt

in   layered soil M. KAVVADAS and G. GAZETASt The paper studies the kinematic response of

The paper studies the kinematic response of free- head piles. Such pile deformation has triggered structural damage in many strong earthquakes. In this Paper dimensionless parametric graphs for pile bending moments are presented which pertain to characteristic two-layer soil profiles. The results are derived by using an existing rigorous dynamic finite-element code, and by implementing a realistic beam-on-dynamic-Winkler-foundation formulation specifically developed for the kinematic response of piles in layered soil. The Winkler model is shown to reproduce quantitatively even detailed trends observed in the finite-element results; a simple analytical expression is thereby developed for esti- mating the Winkler stiffhess in terms of the local soil Young’s modulus and key dimensionless pile/ soil parameters. The study concludes that even relatively flexible piles may not exactly experience the wavy and abruptly changing ground deforma- tion of the free field. The critical region of pile dis- tress due to such kinematic loading is shown to he at or near the interface between alternating soft and stiff soil layers. The magnitude of the bending moment at such critical interface locations depends mainly on the stiffness contrast of the two layers through which the pile penetrates, the excitation frequency and the relative rigidity of the pile. A constraining cap may exert an important effect on such kinematic deformations.

KEYWORDS: dynamics; earthquakes; numerical mod- elling and analysis; piles; soil-structure interaction.

L’article Ctudie la r+onse

cinbmatique de pieux $

tCte-lihre. La deformation de ces pieux a en effet occasionni des endommagements structuraux lors de nomhreux tremhlements de terre de forte ampli- tude. L’article propose des graphiques $ para- mi?tres adimensionnels permettant de calculer le moment flM&sant des pieux et de caracteriser des sols bicouches. Les rbultats sont calculis P I’aide

d’un code dynamique d’&!ments finis, prkxistant et rigoureux, et d’une formulation rCaliste de “Beam-on-Dynamic-Winkler-Foundation” sp&ia-

lement mise en oeuvre pour la rkponse cinkmatique des pieux dans des sols stratifib. Le modele de Winkler permet de reproduire les tendances, mdme trb dBtaillCes, des r&.ultats obtenus par klements finis. Une expression analytique simple est alors d&elop$e. Elle permet d’estimer la raideur de Winkler en terme de module de Young local du sol et de param&tres clb adimensionnel pieu/sol. L’btude montre que m&me les pieux relativement flexihles ne supportent pas totalement une d&for- mation rapide et odulante du terrain. La zone cri- tique des pieux sinistr6s rbultant d’un tel chargement cinkmatique se trouve au niveau ou I proximitC de I’interface sol souple/sol rigide. L’amplitude du moment flbhissant au niveau de ces interfaces critiques dCpend principalement du

contraste de raideur existant

couches traver&s par le pieu, de la frCquence d’excitation et de la rigiditi! relative du pieu. Un capuchon de mise sous contrainte pourrait avoir un

effet important sur de telles deformations cinCma- tiques.

entre les deux

sur de telles deformations cinCma- tiques. entre les deux INTRODUCTION   CNEL-ENEL (1976) has

INTRODUCTION

 

CNEL-ENEL

(1976)

has

documented

pile

rup-

Pile

distress

and

failure

during

seismic

shaking,

tures

under

two

bridges

in the

Friuli

(Italy)

1976

although

difficult

to

observe

in

post-earthquake

 

earthquake

and

Ross,

Seed

&

Migliaccio

(1969)

site

investigations,

have

been

well

documented.

have

described

numerous

 

failures

of

piles

sup-

For

example,

Mizuno

(1987)

has

reported

on

28

porting

bridge

and

harbour

facilities

in

the

1964

cases

involving

seismic

pile

failures

in

Japan,

Alaska

earthquake.

 

EEFIT (1986) has described

cases

of pile

extru-

Mizuno

(1987),

in

summarizing

the

Japanese

sion in Mexico City during the 1985 earthquake,

 

experience

with

regard

to

the

likely

causes

and

 

different

types

of pile

failure,

has

concluded

that

Discussion

on

this

Paper

closes

1 October

1993;

for

many

of the

failures

arose

from

the

transmission

further

details

see

p.

ii.

onto

the

foundation

 

of

large

inertia

forces/

* National

Technical

University

of Athens.

 

moments

developing

in

the

superstructure:

such

t

National

Technical

University

of

Athens

and

State

failures

take

the

form

of

either

shear/bending

University

of New

York

at Buffalo.

 

cracking

and

rupturing

beneath

the

head

of the

207

University of New York at Buffalo.   cracking and rupturing beneath the head of the 207

208

KAVVADAS AND GAZETAS

pile

or

of

the

ultimate

tension

capacity

of

the

mations

and

bending

moments

from

the

kine-

soil-pile-cap

system

being

exceeded.

Lique-

matic

loading

(type

(b)). Moreover,

a search

of the

faction-induced

and

spectacular.

failures

have

However,

in

also

been

several

frequent

cases

literature

mation

cited

on

above

kinematic

shows

that

bending

published

moments

infor-

(rather

location

of pile

failure

was

too

deep

the to be caused

than

pile-head

deflexions)

is

so

limited,

even

for

by

inertia),

have

with

and

loading

while

occurred;

the

stiffness

from

the

top

was

(due

could

in

to

structural

possibly

associated

strength

liquefaction

damage

of

not

fact

in

most

presence

the

of

discontinuities

soil

profile.

The

likely

the

that

order

methods

sary

simplest

the

case

of a homogeneous

cannot

readily

Recourse

widely

available

alternative.

This

soil profile,

their

engineer

assess

to

even

of

but

magnitude.

that

are

not

unattractive

sophisticated

is a neces-

Paper

is

cause

is

the

relatively

large

curvatures

imposed

intended

to

bridge

the

apparent

gap

in

both

by

the

surrounding

soil

as

it

deforms

while

theory

and

practice

of the

seismic

analysis/design

excited

by

up

and

down

(after

reflection)

propa-

in

two

ways.

gating

seismic

waves.

 

First,

an

extensive

parametric

study

is presen-

This

mode

of deformation

and

potential

failure

ted

on

the

kinematic

response

of

a

single

free-

has

not

received

proper

attention:

in

fact,

engi-

head

pile

to

vertically-incident

harmonic

shear

neers

usually

ignore

the

problem

altogether

and

waves

(S-waves).

The

study,

conducted

using

an

design

the

piled

foundation

merely

against

head

expanded

version

of

the

dynamic

finite

element

loading.

However,

some

theoretical

work

has

formulation

developed

by

Blaney,

Kausel

&

been

published

on the

kinematic

response

of piles

Roesset

(1976),

concentrates

on

a

two-layer

(Penzien,

1970;

Tajimi,

1969,

1977;

Kagawa

&

profile

which

represent

two

characteristic

Kraft,

1981; Takemiya

& Yamada,

1981; Kobori,

cases:

can a stiff crust

underlain

by a softer

layer,

and

Minai

&

Baba,

1981;

Wolf

&

Von

Arx,

1982;

a

soft

surficial

layer

underlain

by

a

stiff

soil

Flores-Berrones

&

Whitman,

1982;

Kaynia

&

stratum

 

into

which

the

pile

is

embedded.

The

Kausel,

1982;

Gazetas,

1984;

Barghouthi,

1984;

results

of the study

are presented

in dimensionless

Dennehy

&

Gazetas,

1985;

Tazoh,

Wakahara,

graphs,

which

are useful

not

only for development

Shimizu

&

Matsuzaki

(1988);

Nogami,

Jones

&

of

an

improved

understanding

of

the

mechanics

Mosher,

1991; Ahmad

& Mamoon,

1991; Masay-

of

the

problem

and

checking

of the

accuracy

of

uki

& Shoichi,

1991). A comprehensive

survey

of

less

rigorous

solutions,

but

also for preliminary

the

dynamic

and

seismic

response

of

piles

has

design

estimates.

 

been

presented

by

Novak

(1991).

Moreover,

 

Second,

a

beam-on-dynamic-Winkler-founda-

 

recent

seismic

codes

and

seismic

guidelines

have

tion

(BDWF)

formulation

 

is developed

that

can

recognized

the

importance

of this

type

of loading

be

readily

used

in practical

seismic

design

of piles

(AASHTO,

 

1983;

JSCE,

1988;

AFPS,

1990;

in

layered

profiles.

Described

through rationally-

Eurocode

EC8,

1990). For

example,

the first

draft

derived

‘springs’

and

frequency-dependent

‘dash-

of Part

5

of

the

Eurocode

states

that:

‘Piles

shall

pots’,

this

BDWF

model

is shown

to accord

with

be designed

for

the

following

two

loading

condi-

the

rigorous

finite

element

(FE)

predictions

of

tions:

both

deflexions

and

bending

moments:

maximum

(4

inertia

forces

on

the

superstructure

transmit-

deviation

tions

of

of geometry,

15%

under

soil

the

most

parameters

adverse

condi-

and excitation

ted

onto

the

heads

of the

piles

in the

form

of

     

an

axial

force,

a

horizontal

force

and

a

frequency.

The

BDWF

spring

stiffness

is evalu-

moment

in determining

displacements

and

ated

sion

using

in

a

terms

proposed

of

key

simple

analytical

dimensionless

of

the

proposed

expres-

problem

model

rotations

resulting

from

these

forces,

the

soil

parameters.

The

merits

is

considered

as

deforming

only

due

to

the

     

transmitted

actions

.

.

include

the

familiarity

of

geotechnical

engineers

(4

soil

deformations

arising

from

the

passage

of

with

(linear

and

non-linear)

beam-on-winkler-

 

seismic

waves

which

impose

curvatures

and

foundation-type

models

and

its

clear

computa-

 

thereby

lateral

strain

 

on

the

piles

along

their

tional

advantage

(a difference

of

at

least

a factor

whole

length

 

such

kinematic

loading

may

of

tions.

100) over

the

rigorous

continuum-type

solu-

be particularly

large

at interfaces

of soil

layers

   

with

sharply

differing

shear

moduli.

The

 

design

must

ensure

 

that

no

‘plastic

hinge’

develops

at such

locations

.’

PROBLEM

DEFINITION

AND

PARAMETRIC

 

While

there

is ample

geotechnical

experience

of

RESULTS

 

carrying

out

the

equivalent

static

analysis

for

the

The

system

studied

refers

to

an

end-bearing

 

inertial

loading

(type

(a)), no

specific

method

is

pile embedded

in a two-layer

soil deposit

(Fig.

l),

proposed

(let alone

required)

in EC8

or the

other

underlain

by rigid

bedrock

and

subjected

to verti-

codes

referred

to

in

this

Paper

to

predict

defor-

cally

propagating

S-waves.

Such

waves

produce

 

FREE-HEAD

PILES

IN LAYERED

SOIL

209

 

Pile:

 

S-wavevelocity

 
 

.

 

V,

 

Case:

A

B

C

DIE.

G

 

Fig. 1. Two-layer soil profiles under study

 

horizontal

harmonic

motion

 

normalized

bending

moments

and

shear

forces

 
 

u,(r) =

U, egot

 

(1)

M

at the bottom

of the lower

layer.

 

$j=

Ppd”ii8

 

(24

 

The

soil

is assumed

to

be

a linearly-hysteretic

 

solid

with

Young’s

modulus

E,

or

E,,

damping

&L ppd3ii,

 

ratio

j?. =

&

=

10%

(appropriate

 

for

moderately

strong

shaking),

mass

 

density

pa =

pb,

and

Poisson’s

ratio

v,

=

v,, = 0.40.

 

The

pile

is

a

while

deflexions

are

normalized

by

U,.

The

pre-

linearly-hysteretic

beam

 

with

Young’s

modulus

vious

normalized

quantities

 

were

obtained

by

a

E,,

bending

moment

of inertia

I,,

damping

ratio

formal

dimensional

analysis

of the

governing

dif-

/?,

=

5% and

mass

density

pp =

1.60 pa. The

Ber-

ferential

equations.

 

noulli

assumption

 

for

a

beam

 

(plane

sections

The

fundamental

characteristics

of the

soil and

remain

plane

and

perpendicular

to

its

neutral

pile

response

to

harmonic

base

excitation

are

axis)

results

in

the

horizontal

pile

displacement

investigated

by analysis

of two

series

of systems:

u&z, t) being

the

only

independent

variable

of pile

series

1 (Table

1) is used

to study

the

effect

of the

deformation.

To

reduce

the

required

number

of

soil

S-wave

velocity

ratio

V,/V,,

series

2 (Table

1)

analyses

(without

loss

of insight),

only

the

follow-

is used

to

study

the

effect

of the

pile

slenderness

ing

crucial

dimensionless

parameters

are

varied:

ratio

L/d.

The

selected

cases,

which

cover

a wide

the

pile-to-soil

stiffness

ratio

E,/E,,

the

ratio

of

range

of possible

two-layer

profiles,

help

to inves-

the

S-wave

velocities

VJV,

of the

two

soil

layers,

tigate

the

effect

of

the

layer

interface

on

pile

the

pile

slenderness

ratio

L/d,

the

ratio

of

the

bending

moments

and

shear

forces

for highly

con-

thicknesses

of the

soil layers

Ha/H,,

and

the

ratio

trasting

soil

properties

and

various

pile slender-

w/w1

of

the

excitation

frequency

to

the

funda-

ness ratios.

mental

natural

frequency

of the

‘free’ (i.e. without

Figure

2(a) shows

the

distribution

with

depth

piles) soil deposit

in vertical

S-waves.

 

The

sensitivity

of

bending

moments

 

to

varia-

tion

in the

values

of Poisson’s

ratios

v,

and

v,, is

also

explored.

As anticipated

in

a linear

analysis,

all computed

deformation

and

stress

quantities

are

proportional

to

the

excitation

 

intensity,

of

field)

common

level)

Only

are

the

displacement

and

the

amplitudes

U,

in

the

soil

with

(free

the

Ur,,

at

the

studied:

pile,

soil

(normalized

pile

the

two

and

case

displacement

at

bedrock

frequency

of

the

deposit.

S-wave

upper

velocity

crust)

ratio

cases

and

case

D

natural

extreme

A (stiff

expressed

by

the

amplitude

of

bedrock

dis-

(very

soft

upper

layer).

As expected,

amplification

placement

U,

or

the

amplitude

of bedrock

accel-

of

the

motion

occurs

almost

exclusively

in

the

eration

Ui, = w2U,.

Results

are

presented

for

softer

layer,

while

the

pile

follows

the

free-field

210

KAVVADAS

AND

GAZETAS

 

Table

1.

Series

1 (A-D)

and series 2 (E and G) of studied profiles

 

Case

&Iv,

Ed&

H.&b

W

Computed

o1 d/V,

 
 

A

0.58

5000

1

20

0.048

B

1

5000

1

20

0.079

C

1-73

5000

1

20

0.116

 

D

3

5000

1

20

0.141

E

3

5000

1

10

0.282

G

3

5000

1

40

0.071

soil displacement

profile

only

in an average

sense.

that

exhibits

only

small

differences

in relative

 

soil

As

a result,

 

curvatures

sustained

by

the

pile

are

stiffness

(case

C).

The

deflexion

profiles

in

Fig.

considerably

smaller

than

those

 

induced

on

a ver-

2(b) should

not

lead

to

the

conclusion

that

peak

tical

line

in

the

unperturbed

soil.

Deviations

 

are

pile displacements

near

the

surface

are insensitive

evident

near

 

the

ground

 

surface

 

and

at

the

inter-

to

the

soil

profile

 

characteristics,

 

since

 

the

face

between

the

upper

and

lower

soil

layers.

bedrock

displacement

(used

as

a

normalization

Such

deviations

merely

reflect

different

pile

and

factor)

corresponds

 

to

the

natural

frequency

of

soil boundary

 

conditions

 

at these

two locations.

 

the

deposit.

If,

instead,

bedrock

acceleration

is

Figure

 

2(b)

shows

only

pile

deflexion

profiles

used

in the normalization

 

(perhaps

a more

logical

(normalized

 

with

the

bedrock

displacement

choice

for

seismic

excitation),

top

deflexions

at

amplitude)

 

at

the

natural

frequency

of

each

the

natural

frequency

of the

deposit

decrease

pro-

deposit,

 

for

all

series

 

1

profiles.

The

top-to-

gressively

from

case

A

to

case

D;

this

is

a direct

bottom

displacement

ratio

(amplification)

does

result

of the

corresponding

increase

in

the funda-

not

change

significantly

from

case

to case;

differ-

mental

frequency

(see Table

1).

ences

are limited

to the shape

of the displacement

The

effect

of variation

of the

S-wave

velocity

profile.

With

highly

contrasting

 

stiffness

(cases

A

ratio

and

pile

slenderness

 

on

bending

moment

and

D)

most

of

the

amplification

occurs

in

the

and

shear

force

distributions

along

the

piles

is

soft

layer

 

(i.e.

in

the

lower

and

upper

layers

shown

in

Figs

3-5.

Fig.

3 plots

the

normalized

respectively),

 

while

the

 

displacement

profile

amplitudes

of bending

 

moment

and

shear

force

at

achieves a fairly uniform

 

slope

in both

the

homo-

the

fundamental

natural

frequency

 

w

=

oi

for

geneous

profile

(case

B) and

the

layered

profile

various

S-wave

velocity

ratios

(series

1 cases).

-

Soil

 

r Pile deflexions

 
 

-

Pile

 
 

,“,‘.

/ /”

 
 

,’

/’

 

1.01 r

 

w

=

w,

 

I

I

I

L

I

0

2

4

6

0

0

2

4

6

 

hdJg

(soil), Up/U, (pile)

 

UJU,

(pile)

 

(a)

(W

Fig. 2. Comparison of distributions with depth of: (a) free-field (soil) and pile deflexions for profiles A and D; (b) pile deflexions for profiles A, B, C and D

FREE-HEAD

PILES

IN

LAYERED

SOIL

211

FREE-HEAD PILES IN LAYERED SOIL 211 9 JO{ Fig. 3. Distribution with depth of the amplitudes
FREE-HEAD PILES IN LAYERED SOIL 211 9 JO{ Fig. 3. Distribution with depth of the amplitudes
FREE-HEAD PILES IN LAYERED SOIL 211 9 JO{ Fig. 3. Distribution with depth of the amplitudes
FREE-HEAD PILES IN LAYERED SOIL 211 9 JO{ Fig. 3. Distribution with depth of the amplitudes
FREE-HEAD PILES IN LAYERED SOIL 211 9 JO{ Fig. 3. Distribution with depth of the amplitudes
FREE-HEAD PILES IN LAYERED SOIL 211 9 JO{ Fig. 3. Distribution with depth of the amplitudes

9

JO{

Fig. 3. Distribution with depth of the amplitudes of: (a) bending moment; (b) shear force, at the fundamental natural frequency of the deposit (cases A, B, C and D)

natural frequency of the deposit (cases A, B, C and D) Bending moments are invariably maximal

Bending

moments

are

invariably

maximal

at,

or

diagrams

reveals

that

the

peak

of the

M(z) curve

very

close

to, the interface

between

the

upper

and

near

the

layer

interface

becomes

sharper

with

lower

soil

layers,

and

zero

at

the

surface

and

at

increasing

difference

in stiffness

between

 

the

two

bedrock

level

(free-head

pile

hinged

on

the

layers;

the

peak

is flattest

with

the

homogeneous

bedrock).

Moreover,

the

shape

of these

moment

stratum

(profile

B). The

same

characteristics

are

 

w

=

0,

same characteristics are   w = 0, I 3000 6 I 500 M/Q P d4ii (4
same characteristics are   w = 0, I 3000 6 I 500 M/Q P d4ii (4
same characteristics are   w = 0, I 3000 6 I 500 M/Q P d4ii (4
same characteristics are   w = 0, I 3000 6 I 500 M/Q P d4ii (4
same characteristics are   w = 0, I 3000 6 I 500 M/Q P d4ii (4

I

3000 6

I

500

M/Q

P d4ii

(4

9

Qlepd&

(b)

Fig. 4. Distribution with depth of the amplitudes of: (a) bending moment; (b) shear force, at the fundamental natural frequency of the deposit (cases D, E and G)

KAVVADAS

AND

GAZETAS

KAVVADAS AND GAZETAS 0 4000 Mle d4ii 9 P 8000 0 2000 MiQ,ff ii, Case D
KAVVADAS AND GAZETAS 0 4000 Mle d4ii 9 P 8000 0 2000 MiQ,ff ii, Case D
KAVVADAS AND GAZETAS 0 4000 Mle d4ii 9 P 8000 0 2000 MiQ,ff ii, Case D
KAVVADAS AND GAZETAS 0 4000 Mle d4ii 9 P 8000 0 2000 MiQ,ff ii, Case D
KAVVADAS AND GAZETAS 0 4000 Mle d4ii 9 P 8000 0 2000 MiQ,ff ii, Case D

0 4000

Mle d4ii 9

P

8000

0

2000

MiQ,ff ii,

Case D

4000

Fig. 5. Distribution of bending moment amplitude at the natural frequency of the deposit: solid lines sbow values com- puted from the ‘exact’ pile deflexions; broken lines show values computed from the free-field soil displacements, i.e. on the assumption that piles follow the soil motion exactly

shown

in

Fig.

4(a),

which

contrasts

bending

associated

with

a

sharp

amplification

of

motion

moment

distribution

for

various

pile

slenderness

despite

the

hysteretic

damping

of the

soil

(10%).

ratios

(series

2 cases).

The

very

short

and

hence

The maximum

bending

moment

decreases

rapidly

rigid

pile

(case

E)

does

not

follow

the

soil

dis-

for frequencies

higher

than

oi

due

to

the

rapidly

placement

curvatures

closely;

normalized

bending

increasing

radiation

damping

and

the

increasing

moments

are

smaller

than

in

more

flexible

piles

waviness

of soil

which

cannot

be followed

by the

(cases

D

and

G)

while

in

absolute

terms

M

pile. At excitation

frequencies

lower

than

the

fun-

increases

approximately

in

proportion

to

pile

damental

frequency

of

the

deposit

there

is little

length

and

to d3.

radiation

damping,

since

laterally-spreading

The importance

of the soil-pile

kinematic

 

inter-

waves

(which

are

carriers

of radiated

energy)

are

action

is better

elucidated

with

reference

to Fig.

5.

not

generated,

e.g.

Kausel,

 

Roesset

&

Waas

The

‘exact’ bending

moment

distributions

at

w

=

(1975),

Dobry,

Vicente,

O’Rourke

 

&

Roesset

wi

are

plotted

in solid

lines

for

the

two

extreme

(1982),

Gazetas

(1983)

Krishnan,

Gazetas

&

cases

studied

(A and

D, corresponding

to

a stiff

Velez (1983).

 

crust

and

a

soft

upper

layer

respectively).

The

However,

max. M,(w)

does

not

always

occur

dashed

lines

show

the

corresponding

bending

at

the

fundamental

frequency

of the

deposit:

for

moment

distributions

if interaction

is neglected,

certain

combinations

of

pile/soil

parameters

the

i.e. if pile

displacements

are

assumed

to

be equal

largest

peak

can

be shown

to occur

at

the

second

to

free-field

soil

displacements-an

assumption

 

natural

frequency.

This

could

have

been

antici-

often

invoked

in

seismic

design

practice

(see

for

pated,

since

bending

moments

in the

pile are con-

example

Margason

&

Holloway

(1977)).

Signifi-

trolled

by two

counteracting

factors

cant errors

evidently

could

occur

in

the

estima-

 

tion

of bending

moments

under

this

assumption.

 

(a)

the

value

of the

normalized

curvature

of the

Consequently,

 

soil-to-pile

kinematic

interplay

pile

displacement

shape-larger

values

occur

should

not

be neglected.

 

in the higher

modes

as they

are more

‘wavy’

Figure

6

plots

the

spectrum

of

maximum-

(b)

the

overall

amplitude

of the

pile displacement

along-the-pile

bending

moment

amplitude

as

a

profile-larger

values

occur

in

the

lower

function

of the frequency

ratio

w/w1

for the

series

modes.

The

peaks

of soil

displacement

ampli-

1

profiles.

In

most

cases

studied,

the

largest

fication

(ratio

of top

to

bottom

free-field soil

maximum

value

max. M,(w)

has

indeed

been

displacements)

are

in

first

approximation

 

found

to

occur

at

the

fundamental

frequency

of

inversely

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