Bull Earthquake Eng

DOI 10.1007/s10518-011-9261-7
ORIGINAL RESEARCH PAPER
A simplied 3D model for soil-structure interaction
with radiation damping and free eld input
V. Saouma F. Miura G. Lebon Y. Yagome
Received: 25 August 2010 / Accepted: 22 March 2011
Springer Science+Business Media B.V. 2011
Abstract This paper addresses the time history nite element analysis of rock-structure
interaction. Modeled is not only the lateral energy dissipation, but also the interaction between
the far eld and the numerical model itself. This is accomplished by a preliminary analysis
of the far eld as a shear beam (for lateral excitation), and then velocities and displacements
are transferred to the model as nodal forces through damping and stiffness matrices respec-
tively. Details of the nite element implementation are given, along with an extensive series
of simulations comparing this method, with the one of Lysmer for both 2D and 3D models.
The model is derived from the principle of virtual work, and its implementation does not
require any modication of existing nite element codes, only clever pre and postprocessing
of results are needed.
Keywords Soil-Structure interaction Radiation damping Dams Finite elements
List of symbols
Latin symbols
E Young modulus
F force vector
C Damping Matrix
V. Saouma (B)
University of Colorado, Boulder, Colorado, USA
e-mail: saouma@colorado.edu
F. Miura
Yamaguchi University, Yamaguchi, Japan
G. Lebon
LMT-Cachan, (ENS Cachan/CNRS/UPMC/PRES UniverSud), Paris, France
Y. Yagome
Tokyo Electric Power Service Company, Tokyo, Japan
123
Bull Earthquake Eng
C
L
i
Lysmer Damping matrix along axis i
F
C
Equivalent nodal forces due to free eld velocities
F
K
Equivalent nodal forces due to free eld displacements
F
R
Equivalent nodal forces due to free eld Rayleigh damping
K Stiffness matrix
M Mass matrix
N Shape functions
t Traction vector
t
i
Element size along axis i
u, u, u Nodal displacements, velocities and accelerations
U
i nt
Internal strain energy
V Wave velocity
W
ext
External work
Greek symbols
Poissons ratio
Lame parameter
Mass density
Shear modulus
Boundary of
Element volume
Stress tensor
1 Introduction
When modeling the wave motion in a spatial domain, it is essential to introduce articial
boundaries to limit the bounded domain to a reasonable size. The simple Dirichlet boundary
condition, in which displacements are xed, is unsuitable as substantial reection (through
Snells law) will occur at the boundary and reected waves will degrade the solution. A
solution to this nagging problem could be to enlarge the numerical mesh, thus delaying the
side reections. Obviously this solution considerably increases the expense of computation
and is not viable unless articial damping can be introduced in the material near the far eld,
(Hudson et al. 1994). Thus, a numerical model (nite element in our case) should absorb the
incoming waves just as they would be absorbed by the free eld physically.
The apparent complexity of modeling the dispersion of the incoming waves at the bound-
ary, has compelled most analyses of dams to simply ignore the mass of the foundation,
(Ghanaat 2004; Mills-Bria et al. 2006) and thus potentially overestimating peak accelera-
tions.
Lysmer and Kuhlemeyer (1969) were the rst to investigate this problem. Their solution
is simple, elegant and quite effective. It is based on the premises that one can surround the
rock boundary by viscous boundaries (through energy absorbent dashpots) with
t
n
= V
P
u; t
s1
= V
S
v; t
s2
= V
S
w; (1)
where t
n
and t
s
are the normal and shear tractions respectively; u, v and w the normal and
two tangential particle velocities at the boundary; is the mass density; V
S
and V
P
are the
shear and pressure waves velocities respectively given by
123
Bull Earthquake Eng
V
S
=
_

and V
P
=
1
s
V
S
where s
2
=
1 2
2(1 )
(2)
where and are the shear modulus and the Poisson ratio respectively.
Strictly speaking, one must thus enforce the so-called Sommerfeld boundary condition,
(Zienkiewicz et al. 1979) which is more casually referred to as LysmerKuhlemeyer bound-
ary condition. It is an exact solution if the P and S waves impinge at a right angle the
articial boundary. However they are only approximate solutions for inclined body waves
where the reected energy is only a small part of the total energy. In many cases, the farther
one chooses the articial boundary to be from a source which radiates waves, the more the
angle of incidence with respect to the articial boundary will approach 90

, and, thus, the

better the viscous dampers will perform, (Wolf 1988).
Amajor limitation of this approach is that the required damping coefcients are frequency
dependent and consequently they can (strictly speaking) only be used in frequency domain
calculations, though they are also often used in time domain analyses such as in (Zhang et al.
2003). This model has been implemented in the SHAKE program for the frequency-domain
analysis for shear-wave propagation in layered soils (Schnabel et al. 1972).
Whereas the viscous boundary model eliminated wave reections, it did not necessar-
ily account for the proper boundary conditions. This was addressed by Lysmer and Drake
(1972) in an energy transmitting boundary model. This model assumed a linear variation of
shear strain, and those in turn are transformed into equivalent nodal forces to be applied on
the numerical one. This model was implemented in (frequency domain) program FLUSH,
(Lysmer et al. 1975).
A Superimposing boundaries approach was later proposed by Smith (1974) who showed
that the reection from the boundary of a model can be completely eliminated by simply
adding the solutions of the Dirichlet and Neumann problems (corresponding to free and xed
boundaries respectively). Hence two separate analyses are performed with different bound-
ary conditions. The rst with xed in normal and free in the tangential, the second free in
normal and xed in tangential directions. Furthermore, if n boundary faces are required to
be nonreecting, than 2
n
solutions will be necessary for a full solution. Cundall et al. (1979)
rened this method by summing incrementally the Dirichlet and Neumann solutions at the
boundaries of the nite element (or nite difference). This had the advantage of eliminating
the reections as soon as they occur, and thus multiple reections (encountered by Smith)
are voided and only one solution must be performed. However, the xed-free boundary con-
ditions of Smith are replaced by constant velocity, constant stress ones. In a two dimensional
analysis, this corresponds to a) constant velocity in the x and constant stress in the y; and b)
constant stress in the x and constant velocity in the y. Again, rather than performing the same
calculation twice with different boundary conditions (as suggested by Smith), two overlap-
ping grids are employed (modeling the free eld) with each of the two boundary conditions
used separately for each grid. Boundary being represented by four elements, all variables
of the two grids are added every three or four time-steps. Hence, the LysmerKuhlemeyer
model with absorbing dashpots on the side and bottom is now enriched with a simultaneous
free-eld calculation that imposes stress conditions on the side boundaries. This model was
implemented in the time-history program NEESI, (Cundall et al. 1980). Analysis of a dam
using analogous boundary conditions was performed by Lemos (1999) (albeit with a discrete
element system) in which one-dimensional calculations representing the left and right free-
eld conditions are performed in parallel with the main model. The free eld is represented
by a one-dimensional nite-difference mesh.
123
Bull Earthquake Eng
Bielak and Christiano (1984) introduced an effective seismic input model model in which
the soil-structure interaction problem is transformed into one in which the source is exclu-
sively inside the computation domain, thus eliminating the need to explicitly transmit seismic
excitation through the boundary (which has to simply absorb the outgoing waves).
These two step approaches are analogous to the one of Bielak et al. (2001) where hetero-
geneity and scale are accounted for through a two tier approach. The rst at the macro scale
represents the far-eld in great details and simulates the earthquake source and propaga-
tion path effects with a detailed model. The second models local site effects and presumably
includes the structure of interest. Those two analyses are coupled through continuity of
displacements and transfer of forces from the rst subdomain to the other.
A most recent and noteworthy development, which alleviates the restriction placed on
the orientation of the incoming wave, is the Perfectly Matched Layer (PML) (originally
developed for electromagnetic wave propagation). When this layer is placed adjacent to a
truncated model of an unbounded domain, waves of all frequencies and all angles of inci-
dence are absorbed into without any reection from the interface: the PML is thus perfectly
matched to the truncated domain, (Basu and Chopra 2004 and Basu 2009).
It should be noted that the implementation of both the effective seismic input and the PML
require substantial modication of the computer code. This is not the case in the proposed
model.
Despite the numerous innovative models in SSI, even applications continue to use the
LysmerKuhlmeyer model as is the case in Zhang et al. (2003).
This paper is based on the original work of Miura and Toki (1987) who considered both
viscous boundary and energy transmitting boundaries. Those are divided into (a) absorption
of scattering wave energy on the sides and the bottom; and (b) energy inow from outer free
elds.
The model description by the second author, in both Miura and Toki (1987) and Japanese
Society of Civil Engineers (2000), is incomplete. There is no derivation of the matrices, how
the method is to be actually implemented in a nite element analysis, and is limited to 2D
homogeneous models. A closer examination of the Japanese version of the model, (Miura
and Okinaka 1989), indicates that the free eld is analysed in parallel with the main body, and
the principle of virtual work is invoked in the derivation. Regretfully, the derivation is again
limited to 2D problems, and many critical steps are omitted. Finally, a 2D implementation
of this model is reported to be in Kenkyusho (1995).
This paper will revisit the original model of Miura, systematically rederive all the equa-
tions, extend it to three dimensional and non-homogeneous problems and provide the reader
with all necessary analytical expressions for the nite element implementation. It will be
shown that implementation of this method does not require internal modication of a nite
element code, however extensive data transfer between separate analyses would have to be
performed. A separate paper, (Lebon et al. 2010) report on the results of a parametric inves-
tigation contrasting Lysmers model, Miuras model, and the lack of absorbing boundary
conditions in the context of transient analysis of a concrete dam.
2 Model
The model seeks to concurrently account for (1) absorption of the outgoing scattered wave
motion (or radiation damping); and (2) input of the free eld ground motion into the numerical
model.
123
Bull Earthquake Eng
The former will be addressed by the classical LysmerKuhlemeyer model. On the other
hand, the input from the free eld will be addressed through separate analysis, and resulting
displacements and velocities will be transferred as discrete forces to the model.
Akey advantage of this method, is the simplicity of the model, and the fact that it is purely
a pre or post processing operation which (contrarily to some prevailing methods) does not
require modication of the source code. All relevant equations (including 3D) are given, thus
greatly facilitating implementation of the model with existing nite element codes.
The interaction between the free eld and the foundation is examined rst, Fig. 1. We
identify four distinct parts: (1) The free eld itself (F) without its contact surface

; (2)
The contact surface of the free eld

; (3) the contact surface of the model

+
; and (4) the
model without its contact surface
+
. Hence, mass, damping, and stiffness matrices can
each be decomposed into four parts as

FF F

F
+
F

+
F
+

+

+

(3)
where each term XY infers the effect of Y on X. This is clearly a tightly coupled problem,
however if we neglect the inuence of the model on the free eld response, this reduces to

FF F

0 0

0 0
0 0
+

+

+

0 0
+

_
F 0
0

_
(4)
then

+
becomes zero we now have a loosely coupled system through
+

. Hence
we can consider the equation of motion for the free eld by itself, and will account for the
interaction in the equation of motion in by adding forces, stemming from
+

, on the
right hand side. We next write the rst equation of motion for the free eld:
M
F
u
F
+ C
F
u
F
+ K
F
u
F
= t
F
(5)
solving this equation, we determine the displacements and velocities along

, and then
solve for the equation of motion in the model:
M

+ C

+ K

= t

bot

_
C
R
lft
u

lft
+ K
lft
u

lft
_
. , .
Left Virtual Interface

_
C
R
rgt
u

rgt
+ K
rgt
u

rgt
_
. , .
Right Virtual Interface
(6)
where M, C, and K are the usual mass, damping and stiffness matrices respectively; the
subscripts lft, rgt, and bot correspond to left, right, and bottom; the superscript R corresponds to
Rayleigh damping.
So far, we have not accounted for one of the premises of the model, that is absorbtion of
the outgoing scattered wave, this is simply added through the inclusion of the dashpots in
accordance with the LysmerKuhlmeyer model. We note that the viscous forces should be
expressed in terms of the relative displacements between
+
and

.
M

+ C

+ K

+ C
dp
lft
_
u

+
lft
u

lft
_
+ C
dp
rgt
_
u

+
rgt
u

rgt
_
+ C
dp
bot
u

bot
= t

bot

_
C
R
lft
u

lft
+ K
lft
u

lft
_

_
C
R
rgt
u

rgt
+ K
rgt
u

rgt
_
(7)
123
Bull Earthquake Eng

Fig. 1 Conceptual model

This equation can be rewritten by separating known and unknown quantities, and : substi-
tuting the effects of the free eld displacements and velocities by their corresponding nodal
equivalent forces
_
M

+ C

+ K

_
+
_
C
dp
lft
u

lft
+ C
dp
rgt
u

rgt
+ C
dp
bot
u

B
_
= t

bot
+
_
F
C
lft
+ F
K
lft
+ F
R
lft
_
+
_
F
C
rgt
+ F
K
rgt
+ F
R
rgt
_
(8)
Where F
C
, F
K
, and F
R
are the vectors of nodal equivalent forces caused by the free eld
velocities, stiffness and damping respectively. They will be separately derived later. The
corresponding three dimensional equation would be
_
M

+ C

+ K

_
+
_
C
dp
lft
u

lft
+ C
dp
rgt
u

rgt
+ C
dp
bck
u

bck
+ C
dp
fro
u

fro
+ C
dp
bot
u

B
_
= t

bot
+
_
F
C
lft
+F
K
lft
+F
R
lft
_
+
_
F
C
rgt
+F
K
rgt
+F
R
rgt
_
+
_
F
C
bck
+F
K
bck
+F
R
bck
_
+
_
F
C
fro
+F
K
fro
+F
R
fro
_
(9)
where bck and fro correspond to the back and front sides respectively.
To derive the expressions of the forces in the right hand side of Eq. 9 we apply the principle
of virtual work to the system
_

u. [ u + u + F] d =
_

u.
_
t
bot
+ t

_
d (10)
where is the mass density, the viscosity parameter, Fthe internal force, u the displacement
vector, t
bot
and t

are the surface traction on the boundary (base and free eld). It can be
readily shown that the left and right hand sides of Eq. 10 corresponds to the integral form of
the left and right hand sides of Eq. 9 respectively.
2.1 Internal virtual work
Discretizing the continuum through shape function, (Zienkiewicz et al. 2005), it can be read-
ily shown that the left hand side and the rst right hand side term of Eq. 10 correspond to the
classical form of the equation of motion
123
Bull Earthquake Eng
M

+ C

+ Ku

In the context of the present analysis, this can be generalized to the right hand side of Eq. 9.
2.2 External virtual work
Focusing on the remaining term of the external virtual force can be expressed as
_

u.t

d =
t
y
_
0
t
z
_
0
[ut
n
+ vt
s1
+ wt
s2
] dzdy (11)
In the next sections we will separately determine the tractions caused by presence of dashpots
or the free eld displacements.
2.2.1 Forces caused by velocity
Due to the presence of the dashpots around the bounded model, we substitute Eq. 2 into
Eq. 11. It should be noted that in the model, the velocities will actually correspond to dif-
ference in velocities between the free eld and the bounded model: u

lft
u

lft
as in Eq. 7.
The nodal displacements along the surface boundary can be expressed in terms of the known
nodal ones through the shape functions (assuming a linear variation). Considering the x-plane
the nite element discretization yields

u = N
u
u; u = N
u
u; V
p
u = V
p
N
u

u
v = N
v
u; v = N
v
u; V
s
v = V
s
N
v

u
w = N
w
u; w = N
w
u; V
s
w = V
s
N
w

u
(12)
where the shape functions, for the bilinear element shown in Fig. 2, are given by
N
u
=
1
t
y
t
z
(t
y
y)(t
z
z) 0 0 (t
z
z)y 0 0 zy 0 0 z(t
y
y) 0 0
T
N
v
=
1
t
y
t
z
0 (t
y
y)(t
z
z) 0 0 (t
z
z)y 0 0 zy 0 0 z(t
y
y) 0
T
N
w
=
1
t
y
t
z
0 0 (t
y
y)(t
z
z) 0 0 (t
z
z)y 0 0 zy 0 0 z(t
y
y)
T
(13)
and
u = u
1
v
1
w
1
u
2
v
2
w
2
u
3
v
3
w
3
u
4
v
4
w
4

T
(14)
Substituting
1
in Eq. 11,
_

u.td =
t
z
_
0
t
y
_
0
V
p
N
u
.N
T
u
+ V
s
_
N
v
.N
T
v
+ N
w
.N
T
w
_
dydz (15)
or F
C
= C
dp
x
u where
1
All operations performed by Mathematica.
123
Bull Earthquake Eng
x
t
z
z
y
t
y
t
x
R
i
g
h
t
F
r
o
n
t
L
e
f
t
B
a
c
k
x
t
z
z
y
t
y
t
x
R
i
g
h
t
F
r
o
n
t
L
e
f
t
B
a
c
k
x
t
z
z
y
t
y
t
x t
y
t
x
R
i
g
h
t
F
r
o
n
t
L
e
f
t
B
a
c
k
x
y
z
t
z
t
y
1
2
3
4
t
n
t
s2
t
s1

1
2
3
4
z
y

t
n
t
s2
t
s1
x
-ve X (Left) +ve X (Right)
t
z
t
y
x
y
z
t
z
t
y
1
2
3
4
t
n
t
s2
t
s1

1
2
3
4
z
y

t
n
t
s2
t
s1
x
-ve X (Left) +ve X (Right)
t
z
t
y
Fig. 2 2D idealization and
x
plane
C
L
x
=
t
y
t
z
36

4V
p
0 0 2V
p
0 0 V
p
0 0 2V
p
0 0
0 4V
s
0 0 2V
s
0 0 V
s
0 0 2V
s
0
0 0 4V
s
0 0 2V
s
0 0 V
s
0 0 2V
s
2V
p
0 0 4V
p
0 0 2V
p
0 0 V
p
0 0
0 2V
s
0 0 4V
s
0 0 2V
s
0 0 V
s
0
0 0 2V
s
0 0 4V
s
0 0 2V
s
0 0 V
s
V
p
0 0 2V
p
0 0 4V
p
0 0 2V
p
0 0
0 V
s
0 0 2V
s
0 0 4V
s
0 0 2V
s
0
0 0 V
s
0 0 2V
s
0 0 4V
s
0 0 2V
s
2V
p
0 0 V
p
0 0 2V
p
0 0 4V
p
0 0
0 2V
s
0 0 V
s
0 0 2V
s
0 0 4V
s
0
0 0 2V
s
0 0 V
s
0 0 2V
s
0 0 4V
s

(16)
The corresponding expressions for the y axis is given by Eq. 28 in the appendix, and the
same expression applies on the positive and negative faces.
The two dimensional equivalent matrix is obtained by simply adding rows and columns
14, 36, 710, 912 (while dropping rows and columns 2, 5, 8 and 11) in Eq. 16. This
reduces to
F
C
=
t
z
6

2V
p
0 V
p
0
0 2V
s
0 V
s
V
p
0 2V
p
0
0 V
s
0 2V
s

u
1
v
1
u
2
v
2

(17)
It should be noted that both the left and right sides will be subjected to the same C
L
x
matrix.
2.2.2 Forces caused by displacements
The lateral forces exerted on the bounded domain by the free eld displacements are deter-
mined next. The free eld will be modeled as a shear beam (where
u
x
= 0) and in the
most general case, Fig. 2, there will be displacements along the three axis x, y and z. Hence,
unsymmetric and non-homogeneous boundaries could be accounted for. The traction terms
to be substituted in Eq. 11 are thus
123
Bull Earthquake Eng

t
n
=
xx
=
_

xx
+
yy
+
zz
_
+ 2
xx
=
_
v
y
+
w
z
_
t
s1
=
xy
=
xy
=
u
y
t
s2
=
xz
=
xz
=
u
z
(18)
where and are the classical Lames parameters,
=
E
(1 + )(1 2)
; =
E
2(1 + )
(19)
The internal displacements can be expressed in terms of the known nodal ones through
the shape functions, Eq. 13. Substituting into Eq. 11, we obtain:
W
ext
= u
t
z
_
0
t
y
_
0
_
N
u
.
_

_
N
v
y
+
N
w
z
__
+ N
v
.
_

N
u
y
_
+ N
w
.
_

N
u
z
__
dydzu
(20)
Or
F
K
= K
+
x
u (21)
where
F
K
= F
1,u
F
1,v
F
1,w
F
2,u
F
2,v
F
2,w
F
3,u
F
3,v
F
3,w
F
4,u
F
4,v
F
4,w

T
(22)
and the corresponding stiffness matrix is given by
K
+
x
=
1
12

0 2t
z
2t
y
0 2t
z
t
y
0 t
z
t
y
0 t
z
2t
y

2t
z
0 0 2t
z
0 0 t
z
0 0 t
z
0 0
2t
y
0 0 t
y
0 0 t
y
0 0 2t
y
0 0
0 2t
z
t
y
0 2t
z
2t
y
0 t
z
2t
y
0 t
z
t
y

2t
z
0 0 2t
z
0 0 t
z
0 0 t
z
0 0
t
y
0 0 2t
y
0 0 2t
y
0 0 t
y
0 0
0 t
z
t
y
0 t
z
2t
y
0 2t
z
2t
y
0 2t
z
t
y

t
z
0 0 t
z
0 0 2t
z
0 0 2t
z
0 0
t
y
0 0 2t
y
0 0 2t
y
0 0 t
y
0 0
0 t
z
2t
y
0 t
z
t
y
0 2t
z
t
y
0 2t
z
2t
y

t
z
0 0 t
z
0 0 2t
z
0 0 2t
z
0 0
2t
y
0 0 t
y
0 0 t
y
0 0 2t
y
0 0

(23)
The expression for K

x
, K
+
y
, and K

y
are given in the Appendix by Eqs. 26, 29 and 30
respectively.
Rayleigh damping is introduced
_
F
R
_
=

f
[K] (24)
where is the damping factor at frequency f . We note that this is stiffness proportional only
since we are dealing with a massless element.
Again, the two dimensional equivalent matrix is obtained by simply adding rows and
columns 14, 36, 710, 912 (while dropping rows and columns 2, 5, 8 and 11). This
reduces to
123
Bull Earthquake Eng
Free Field
Free Field
dp
bot
C
{ } { }
, ,
,
ff R ff R
u u
{ } { }
, ,
,
ff L ff L
u u
F
F
{ } { }
, ,
,
{ } { }
, ,
,
Fig. 3 2D nite element modeling
K
+
x
=
t
2

0 0
0 0
0 0
0 0

(25)
3 Modeling
All the components of Eq. 9 having been dened, the analysis could then proceed as follows
(for the 2D case), Fig. 3:
1. Discretize the free eld with an arbitrary mesh which is topologically consistent with
the adjacent one in the bounded domain (that is to each boundary node of the foundation
mesh corresponds a node in the free eld mesh). Place dashpots at the base of the mesh.
2. Constrain the vertical displacements of all the nodes (thus allowing only shear deforma-
tion), apply an horizontal excitation and analyze.
3. If the seismic record includes a vertical component, repeat the analysis by constraining
all the horizontal displacements (thus allowing only axial deformation), apply the vertical
component of the excitation and analyze.
4. Determine the nodal equivalent forces F
C
, F
K
and F
R
from Eqs. 17, 21, and 24 respec-
tively.
5. Apply these as external (time dependent) boundary forces to the bounded domain (as in
Eq. 8) and analyze.
In 3D, the model becomes more complex, Fig. 4. We would have to perform rst three
analyses (assuming that the earthquake record has x, y and z components) of each of the
corner blocks, transfer the nodal equivalent forces to the four side blocks using the procedure
outlined above. Those in turn will be analyzed three times each, and nally nodal equiva-
lent forces again transferred to the bounded domain. Thus, potentially twenty four analyses
would have to be performed before the foundation can be analyzed. It should be noted that
each one of those free eld analysis is not computationally intensive, the major difculty
is book-keeping to properly determine the nodal forces and transfer them, at each time
increment, to the correct corresponding node.
Amajor advantage of this method, is that there is no need to modify existing nite element
programs (as is the case in Bielak and Christiano 1984 and Basu 2009). The entire operation
is the result of clever post and preprocessing of analysis which can be performed on most
123
Bull Earthquake Eng
Fig. 4 3D nite element
modeling
2
2
2
2
1 1
1
1
2
2
2
2
1 11
11
11
Fig. 5 Vertical supports in the horizontal direction
existing nite element codes (only requirement: support dashpot elements). This requires:
(1) compatible meshes (identically positioned nodes in the main and free eld meshes) be
prepared; (2) selected output (displacements and velocities) be generated by the free eld
analysis; and (3) an external code which transforms free-eld displacements and velocities
into nodal forces for the main mesh. This procedure was fully automated in our computer
program, (Saouma et al. 2010). Undoubtedly, this effort would have to be contrasted with the
preparation of a very large mesh as previously specied with the code QUAD4M, (Hudson
et al. 1994) in which specially damped elements are placed in the far-eld.
Horizontal foundation modeling requires special attention as xed supports would also
reect elastic waves resulting in rocking and can not be used. Hence, the foundation must
simply be supported by vertical dashpots, Fig. 5. To account for gravity loads, rst a
static analysis is performed with vertical supports, then supports are removed, and reactions
replaced by nodal forces for the dynamic analysis along with dashpots.
4 Validation problems
To assess the effectiveness of the method in dissipating elastic waves an extensive paramet-
ric study is performed. We consider a soft foundation with E, and equal to 1.563
10
3
MN/m
2
, 2,500 kg/m
3
and 0.25 respectively. This corresponds to a shear wave velocity
(V
S
from Eq. 2) of 500m/s. Hence by exciting the base with a harmonic excitation with
period of 0.4s, a full wave length develops over 200m which is the height of the model.
Length is set to 800m, and the 3D model in turn is 200 by 800 by 800m. Since the base
excitation has a magnitude of 1 m/s
2
, ideally we should have a similar (though with a phase
lag) response at the top of the bounded domain. In both cases element size was 25m (except
for a ne 2D mesh with half this size). Results are assessed by examining the acceleration
123
Bull Earthquake Eng
0 1 2 3 4 5 6 7 8 9 10
4
3
2
1
0
1
2
3
4
2DNothing
Fig. 6 Selected results for 2D analyses with free boundaries; crest accelerations, deformed shapes with
contour lines of V
X
and V
Y
0 1 2 3 4 5 6 7 8 9 10
1
0.5
0
0.5
1
2DLysmer
Fig. 7 Selected results for 2D Lysmer analyses; crest accelerations, deformed shapes with contour lines of
V
X
and V
Y
at the top, distribution of accelerations at h/8 increments, deformed shapes and velocity or
acceleration contour lines. From this investigation we conclude that:
1. When the boundaries are left bare (for both 2D and 3D analyses), results are totally
unacceptable, Fig. 6.
2. 2D Lysmer yields nearly perfect (0.9) acceleration at h, nearly zero accelerations at the
knots (h/4 and 3h/4) barely acceptable displacements for horizontal excitation, and very
bad ones for a vertical excitation. Top accelerations due to vertical excitation were slightly
better than when a horizontal was applied, Fig. 7.
3. 2D Present model gave excellent top acceleration ( 1.0), nearly zero ones at the knots
(have as large as those predicted by Lysmer), and a deformation which indeed is con-
sistent with a shear beam. It should be noted that best results are achieved when both
terms where included (C and K). Similarly, excellent results were obtained for vertical
excitation (the importance of including both terms was more accentuated than for the
horizontal acceleration), Fig. 8.
4. The 3D analysis based on Lysmers model yields top acceleration slightly higher than
1.0 a good deformation, and not quite a homogeneous velocity distribution, Fig. 9.
5. the 3D analysis based on the present model yielded a nearly perfect acceleration distri-
bution from bottom to top, a very smooth deformation, and internal velocity distribution,
Fig. 10.
In summary, Lysmers model performs better in 3D than in 2D, whereas the present one
yields excellent results in all analyses.
5 Conclusions
Finite element modeling of the mass in the foundation of massive civil engineering structures
subjected to ground excitation may be critical. An implementation, and extension of a model
123
Bull Earthquake Eng
0 1 2 3 4 5 6 7 8 9 10
1
0.5
0
0.5
1
2DMiura
Fig. 8 Selected results for 2D Miura analyses; crest accelerations, deformed shapes with contour lines of V
X
and V
Y
0 1 2 3 4 5 6 7 8 9 10
1
0.5
0
0.5
1
3DLysmer
1.0
0.
1.0
h
1.0
0.
1.0
7h/8
1.0
0.
1.0
3h/4
1.0
0.
1.0
5h/8
1.0
0.
1.0
h/2
1.0
0.
1.0
3h/8
1.0
0.
1.0
h/4
1.0
0.
1.0
h/8
0 1 2 3 4 5 6 7 8 9 10
1.0
0.
1.0
Time [sec.]
0
Fig. 9 Selected results for 3D Lysmer analyses; crest accelerations, accelerations at h = 0, h/8, h/4, 3h/8,
h/2, 5h/8, 3h/4, 7h/8 and h; deformed shapes with contour lines of V
X
0 1 2 3 4 5 6 7 8 9 10
1
0.5
0
0.5
1
3DMiura
1.0
0.
1.0
h
1.0
0.
1.0
7h/8
1.0
0.
1.0
3h/4
1.0
0.
1.0
5h/8
1.0
0.
1.0
h/2
1.0
0.
1.0
3h/8
1.0
0.
1.0
h/4
1.0
0.
1.0
h/8
0 1 2 3 4 5 6 7 8 9 10
1.0
0.
1.0
Time [sec.]
0
Fig. 10 Selected results for 3D Miura analyses; Crest accelerations, accelerations at h = 0, h/8, h/4, 3h/8,
h/2, 5h/8, 3h/4, 7h/8 and h; deformed shapes with contour lines of V
X
originally proposed by Miura (itself an extension of work by Smith) was presented. Relevant
equations derived for both 2Dand 3Dcases for implementation in a nite element simulation.
Anoteworthy note of the model, is that it does not require modication of the source code (as
long as it supports dashpots), however extensive data-shufing is necessary. An extensive
parametric study was undertaken, and the advantages of the model, over some of the existing
ones, was highlighted.
Acknowledgments The rst author would like to acknowledge the nancial support of the Tokyo Electric
Power Company (TEPCO) and the Tokyo Electric Power Service Company (TEPSCO) for their nancial and
technical support. The invaluable help of Dr. Haussmann who programmed the model is also acknowledged.
The third author would like to acknowledge the encouragement and support of Prof. Ragueneau in pursuing
this study with the rst author at the University of Colorado.
123
Bull Earthquake Eng
Appendix equations for other planes
See Fig. 11.
K

x
=
1
12

0 2t
z
2t
y
0 2t
z
t
y
0 t
z
t
y
0 t
z
2t
y

2t
z
0 0 2t
z
0 0 t
z
0 0 t
z
0 0
2t
y
0 0 t
y
0 0 t
y
0 0 2t
y
0 0
0 2t
z
t
y
0 2t
z
2t
y
0 t
z
2t
y
0 t
z
t
y

2t
z
0 0 2t
z
0 0 t
z
0 0 t
z
0 0
t
y
0 0 2t
y
0 0 2t
y
0 0 t
y
0 0
0 t
z
t
y
0 t
z
2t
y
0 2t
z
2t
y
0 2t
z
t
y

t
z
0 0 t
z
0 0 2t
z
0 0 2t
z
0 0
t
y
0 0 2t
y
0 0 2t
y
0 0 t
y
0 0
0 t
z
2t
y
0 t
z
t
y
0 2t
z
t
y
0 2t
z
2t
y

t
z
0 0 t
z
0 0 2t
z
0 0 2t
z
0 0
2t
y
0 0 t
y
0 0 t
y
0 0 2t
y
0 0

(26)
(27)
C
L
y
=
t
x
t
y
36

4V
s
0 0 2V
s
0 0 V
s
0 0 2V
s
0 0
0 4V
p
0 0 2V
p
0 0 V
p
0 0 2V
p
0
0 0 4V
s
0 0 2V
s
0 0 V
s
0 0 2V
s
2V
s
0 0 4V
s
0 0 2V
s
0 0 V
s
0 0
0 2V
p
0 0 4V
p
0 0 2V
p
0 0 V
p
0
0 0 2V
s
0 0 4V
s
0 0 2V
s
0 0 V
s
V
s
0 0 2V
s
0 0 4V
s
0 0 2V
s
0 0
0 V
p
0 0 2V
p
0 0 4V
p
0 0 2V
p
0
0 0 V
s
0 0 2V
s
0 0 4V
s
0 0 2V
s
2V
s
0 0 V
s
0 0 2V
s
0 0 4V
s
0 0
0 2V
p
0 0 V
p
0 0 2V
p
0 0 4V
p
0
0 0 2V
s
0 0 V
s
0 0 2V
s
0 0 4V
s

(28)
x
t
y
R
i
g
h
t
F
r
o
n
t
L
e
f
t
B
a
c
k
R
i
g
h
t
F
r
o
n
t
L
e
f
t
B
a
c
k
t
z
z
y
t
x
R
i
g
h
t
F
r
o
n
t
L
e
f
t
B
a
c
k
+ve Y (Back)
t
n
-ve Y (Front)
z
y
x

1
2
3
4
t
z
t
x
t
s2
t
s1
t
n
z
y
x

1
2
3
4
t
z
t
x
t
s2
t
s1
Fig. 11 2D idealization and
y
Plane
123
Bull Earthquake Eng
K
+
y
=
1
12

0 2t
z
0 0 2t
z
0 0 t
z
0 0 t
z
0
2t
z
0 2t
x
2t
z
0 t
x
t
z
0 t
x
t
z
0 2t
x

0 2t
x
0 0 t
x
0 0 t
x
0 0 2t
x
0
0 2t
z
0 0 2t
z
0 0 t
z
0 0 t
z
0
2t
z
0 t
x
2t
z
0 2t
x
t
z
0 2t
x
t
z
0 t
x

0 t
x
0 0 2t
x
0 0 2t
x
0 0 t
x
0
0 t
z
0 0 t
z
0 0 2t
z
0 0 2t
z
0
t
z
0 t
x
t
z
0 2t
x
2t
z
0 2t
x
2t
z
0 t
x

0 t
x
0 0 2t
x
0 0 2t
x
0 0 t
x
0
0 t
z
0 0 t
z
0 0 2t
z
0 0 2t
z
0
t
z
0 2t
x
t
z
0 t
x
2t
z
0 t
x
2t
z
0 2t
x

0 2t
x
0 0 t
x
0 0 t
x
0 0 2t
x
0

(29)
K

y
=
1
12

0 2t
z
0 0 2t
z
0 0 t
z
0 0 t
z
0
2t
z
0 2t
x
2t
z
0 t
x
t
z
0 t
x
t
z
0 2t
x

0 2t
x
0 0 t
x
0 0 t
x
0 0 2t
x
0
0 2t
z
0 0 2t
z
0 0 t
z
0 0 t
z
0
2t
z
0 t
x
2t
z
0 2t
x
t
z
0 2t
x
t
z
0 t
x

0 t
x
0 0 2t
x
0 0 2t
x
0 0 t
x
0
0 t
z
0 0 t
z
0 0 2t
z
0 0 2t
z
0
t
z
0 t
x
t
z
0 2t
x
2t
z
0 2t
x
2t
z
0 t
x

0 t
x
0 0 2t
x
0 0 2t
x
0 0 t
x
0
0 t
z
0 0 t
z
0 0 2t
z
0 0 2t
z
0
t
z
0 2t
x
t
z
0 t
x
2t
z
0 t
x
2t
z
0 2t
x

0 2t
x
0 0 t
x
0 0 t
x
0 0 2t
x
0

(30)
References
Basu U, Chopra AK (2004) Perfectly matched layers for time-harmonic elastodynamics of unbounded
domains: theory and nite element implementation. Comput Methods Appl Mech Eng 192:13371375
Basu U (2009) Explicit nite element perfectly matched layer for transient three-dimensional elastic waves.
Int J Numer Methods Eng 77:151176
Bielak J, Christiano P (1984) On the effective seismic input for non-linear soil-structure interaction systems.
Earthq Eng Struct Dyn 12:107119
Bielak J, Loukakis K, Hisada Y, Yoshimura C (2001) Domain reduction method for three dimensional earth-
quake modeling in localized regions, part i: theory. Bull Seismol Soc Amer 93(2):817824
Cundall P, Hansteen H, Lacasse S, Selnes P (1980) NEESI soil structure interaction program for dynamic and
static problems. Tech. Rep. 51508-9, Norwegian Geotechnical Institute
Cundall PA, Kunar R, Marti J, Carpenter P (1979) Solution of innite dynamic problems by nite element
modelling in the time domain. In: Proceedings of the 2nd international conference on applied numerical
modelling, Pentech Press, pp 341351
Ghanaat Y (2004) Failure modes approach to safety evaluations of dams. In: Proceedings of 13th world
conference on earthquake engineering, Vancouver, B.C., paper No. 1115
Hudson M, Idriss I, Beikae M (1994) QUAD4M a computer program to evaluate the seismic response of soil
structures using nite element procedures and incorporating a compliant base. Tech. rep., Center for
Geotechnical Modeling, Department of Civil & Environmental Engineering, University of California,
Davis
123
Bull Earthquake Eng
Japanese Society of Civil Engineers (2000) Dynamic analysis and earthquake resistant design; volume 2
methods of dynamic analysis. Balkema, Section 4.2
Kenkyusho K (1995) Superush/3d. http://www.ush.co.jp
Lebon G, Saouma V, Uchita Y (2010) 3d rock-dam seismic interaction. Dam Engineering 21
Lemos J (1999) Discrete element analysis of damfoundations. In: Distinct element modelling in geomechanics.
Balkema, pp. 89115
Lysmer J, Drake L (1972) A nite element method for seismology. Methods Comput Phys 11:181216
Lysmer J, Kuhlemeyer R (1969) Finite element model for innite media. ASCE J Eng Mech 95(EM 4):
859877
Lysmer J, Udaka T, Seed H (1975) FLUSH a computer program for approximate 3d analysis of soil-structure
interaction problems. Tech. Rep. UCB/EERC-75/30, Earthquake Engineering Research Center, Univer-
sity of California, Berkeley, CA
Mills-Bria B, Nuss L, Dixon L, Powell C, Harris D, OConnell D (2006) State-of-practice for the nonlinear
structural analysis of dams at the bureau of reclamation. Tech. rep., US Dept. of the Interior, Bureau of
Reclamation
Miura F, Okinaka H(1989) Dynamic analysis method for 3d soil-structure interaction systems with the viscous
boundary based on the principle of virtual work. Jpn J Civ Eng, pp 395404
Miura F, Toki K (1987) Estimation of natural frequency and damping factor for dynamic soil structure inter-
action systems. In: Proceedings of the 3rd international conference on soil dynamics and earthquake
engineering, vol 4, 7387
Saouma V,

Cervenka J, Reich R(2010) Merlin nite element users manual. http://civil.colorado.edu/~saouma/
pdf/users.pdf
Schnabel PB, Lysmer J, Seed H (1972) SHAKE a computer program for earthquake response analysis of
horizontally layered sites. Tech. Rep. UCB/EERC-72/12, Earthquake Engineering Research Center,
University of California, Berkeley, CA
Smith W (1974) A nonreecting plane boundary for wave propagation problems. J Comput Phys 15:492503
Wolf J (1988) Soil-structure interaction analysis in time domain. Prentice-Hall Inc., New York
Zhang Y, Yang Z, Bielak J, Conte J, Elgamal A (2003) Treatment of seismic input and boundary conditions in
nonlinear seismic analysis of a bridge ground system. In: Proceedings 16th ASCEengineering mechanics
conference, University of Washington, Seattle
Zienkiewicz O, Kelly D, Bettess P, (1979) The sommerfeld (radiation) condition on innite domains and
its modelling in numerical procedures. In: Glowinski R, Lions J, Laboria I (eds) Computing methods
in applied sciences and engineering, 1977, I, Lecture notes in mathematics, vol 704. Springer, Berlin/
Heidelberg, pp 169203
Zienkiewicz OC, Taylor RL, Zhu J (2005) The nite element method for solid and structural mechanics, 6th
edn., Elsevier Butterworth-Heinemann, Oxford.
123