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Editors

GeorgeGazetas
YozoGoto
TakashiTazoh
Hellenic Society for Earthquake Engineering & Laboratory of Soil Mechanics NTUA
Earthquake Engineering Committee of the J apanese Society of Civil Engineers
Proceedingsofthe
3
rd
GreeceJapanWorkshop
Santorini2223September2009
Seismic
Design, Observation, Retrofit
of Foundations
Special Theme :
Seismic Protection of Cultural Heritage













3
rd
GreeceJ apan Workshop : Seismic Design, Observation, and Retrofit of
Foundations.
Special Theme : Seismic Protection of Cultural Heritage

Proceedings

Organized by:

the Hellenic Society for Earthquake Engineering and
the Laboratory of Soil Mechanics of the National Technical University of Athens

with the
Earthquake Engineering Committee of the J apanese Society of Civil Engineering

Sponsored by :
ATTIKO METRO, NEOTEK





















2009 Laboratory of Soil Mechanics, National Technical University of Athens
All rights reserved. This book, or parts thereof, may not be reproduced in any form or by any means
electronic or mechanical, including photocopying, recording or any information storages and retrieval
system now known or to be invented, without written permission from the publisher.



Scientific & Organizing Committee


Co-Chairmen :

G. Gazetas (NTUA, Greece)
Y. Goto (ERI, J apan)
T. Tazoh (Shimizu Co., J apan)























Members :
N. Yoshida
M. Saitoh
K. Ohtomo
F. Miura
M. Sato
H. Kimata
K. Pitilakis
G. Boukovalas
P. Dakoulas
N. Gerolymos
I. Anastasopoulos


Local Organizing Team

M. Georgiopoulou
Th. Zafeirakos
D. Fyselia

Preface

The 3
rd
GreeceJapan Workshop on Seismic Design of Foundations follows the very successful
previousWorkshops(WS):inAthens(October2005)andTokyo(April2007).Acommonfeature
of these WS was the active participation of leading researcherspractitioners (mostly from
Japan) and academics (mostly from Greece). The topics of these WS covered a wide range of
foundation problems, as well as a few topics of more general interest in earthquake
geotechnics.TheGreekauthorshadmostlyemphasizednumericalandanalyticalsolutions;the
Japanese researchers utilised largescale experimental testing along with numerical
simulations, mainly in support of innovative design concepts. As a result, valuable cross
fertilisation of methods, topics, and ideas has been developing between our two engineering
communities.

WhilemanyofthecharacteristicsofthefirsttwoWShavebeenpreserved,this3
rd
WSinitiates
adoubledeparture:

Thetopicsbroadentoencompassearthquakeandgeotechnicalproblemsnotstrictlyrelated
to foundations, including seismic retrofitting and analysis of bridges, as well analysis of
dams,slopes,retainingsystems.
A Special Theme Session on the Seismic protection of cultural heritage is established as a
significantpartoftheWS.Thetopicsofthissessionrangefromseismicanalysisofancient
monuments,protectionofartifacts,restorationofearthquakedamagedhistoricstructures,
to policy aspects of restoration and prioritisation. Seven of the related lectures have been
submittedinwritingtoappearintheseProceedings.

As always, in addition to Japanese and Greek authors, there are articles and/or oral
presentationsfromleadingengineersfromFrance,USA,U.K.,India,China,Algeria,Austria.

WehopethatthereadersoftheProceedingswillbesatisfiedwith(ordespiteof)suchabroad
varietyofsubjects.

G.Gazetas
1
,Y.Goto
2
,T.Tazoh
3

September2009


1
NationalTechnicalUniversityofAthens(NTUA),Greece
2
EarthquakeResearchInstitute,TheUniversityofTokyo,Japan
3
InstituteofTechnology,ShimizuCorporation,Japan






Proceedings:ListofPapers

1.PileFoundations,Liquefaction
Astudyonthebehaviorofrakedpilesinseismicallyliquefiablesoils
S.Bhattacharya,T.Tazoh,J.Jang,M.Sato........................................................................................1
KinematicResponseofBatterPileFoundation:CentrifugeTests
T.Tazoh,M.Sato,J.Jang,Y.Taji,G.Gazetas.....................................................................................20
KinematicandInertialBehaviorofBatterPiles
A.Giannakou,N.Gerolymos,G.Gazetas...........................................................................................36
SeismicResponseofBridgePileColumns
V.A.Drosos,N.Gerolymos,G.Gazetas........................................................................................51
EfficiencyofEqualEnergyAssumptionforEvaluatingDuctilityFactorsofaPile
S.Mori..............................................................................................................................................71
SinkageofaPileFoundationduringtheNiigatakenChuetsuokiEarthquakein2007
Y.Goto.................................................................................................................................................82
LargescaleShakeTableTestsonLateralSpreadingofSheetpileQuayWallandPileFoundation
M.Sato,K.Tabata...............................................................................................................................89
EDefenseShakingTableTestonLiquefactionInducedLateralSpreadingofLargeScaleModelGround
withQuayWallandPileSupportedStructure
K.Tabata,M.Sato...............................................................................................................................96
Designchartsforsinglepilesunderlateralspreadingofliquefiedsoil
A.Valsamis,G.Bouckovalas,E.Drakopoulos....................................................................................104
PilesinLiquefactionInducedSoilFlowbehindQuayWall:ASimplePhysicalMethodVersusCentrifuge
Experiments
P.Tasiopoulou,N.Gerolymos,T.Tazoh,G.Gazetas.........................................................................114
FiniteElementAnalysisofPileSoilInteractionSystembyOverlayingMeshMethod
A.Ohta,F.Miura,Y.Ono,J.Kiyono....................................................................................................128
UniquedescriptionofliquefactionbehaviorofToyourasandswithdifferentdensities
F.Zhang,Y.Jin.....................................................................................................................................140

2.EarthquakeObservations,GroundMotions
ImpactofModerateEarthquakesinPostBhujEra:CaseStudyofSikkim2006andDurgapur2008
Earthquakes,India
S.C.Dutta,P.Mukhopadhyay,S.Bhattacharya.........................................................................154
StatisticalEvaluationofEmbedmentEffectonDamagetoRCBuildingStructuresduringthe1995
HyogokenNanbuEarthquake
A.Mikami,Y.Nariyuki,T.Matsuda...............................................................................................171
GlobalIncreaseofNaturalDisastersandInternationalCooperationforDisasterMitigation
MasanoriHamada,XuWu..............................................................................................................177
TsunamiDamageStudiesandConstructionoftheMemorialPolesinBandaAceh
H.Iemura,M.H.Pradono,M.Sugimoto.......................................................................................186
TheAlgerianExperienceofCoveringEarthquakeDamagesandAppliedTechniquesof
Reinforcement
A.Moulay..........................................................................................................................................193
NumericalAnalysisofNearFieldAsymmetricVerticalMotion
T.Tobita,S.Iai,T.Iwata..................................................................................................................206
EffectofPreYieldingElasticityonSlidingTriggeredbyNearFaultMotionsModeledasIdealized
Wavelets
E.Garini,G.Gazetas,N.Gerolymos..............................................................................................219
TheIrrationalityofCurrentSeismicCodeSpectraforSoftSoils:ProposedRemedy
A.Ziotopoulou,G.Gazetas.............................................................................................................229

3.SoilStructureInteraction
CalculationofseismicresponseofbuildingbasedonpushoveranalysisofSSImodel
M.Iiba,Y.Umemura,O.Kurimoto,T.Akita,M.Teshigawara,K.Watanabe..238
AftershockEffectsonDamageEvaluationsforSoilStructureInteractionSystem
K.Kawano,Y.Kimura.258
SoilStructureInteractionProblemofaSchoolBuildingBasedonEarthquakeRecordsand
DynamicSubstructureMethod
M.Nakamura,Y.Kitamura,J.Suzumura,K.Hanada...........................267
EffectofFoundationSoilInterventionstotheSeismicResponseofMdofStructures
K.Pitilakis,E.Kirtas,E.Rovithis.....276
Shakingtabletestonseismicbehaviorofgravestomesimilartostonepillarswithandwithout
reinforcement
S.Miwa,A.Furukawa,J.Kiyono...............................287
MechanicalRepresentationofDynamicStiffnessofSoilFoundationSystems
M.Saitoh.....................................................................................................296
NonlinearDynamicAnalysisofPartiallySupportedBeamColumnsonNonlinearElastic
FoundationIncludingShearDeformationEffect
E.J.Sapountzakis,A.E.Kampitsis............................302
Seismicriskoftheundergroundstructureconsideringtheuncertaintyofseismicaction
S.Nakamura,S.Nishiyama,T.Matsumoto,Y.Miyagawa..........................................330
Topographicirregularitiesandsoilfoundationstructureinteraction
D.Pitilakis.............................................335
Numericalmodellingofshallowfoundationundercyclicoverturningmomentandvalidation
throughcentrifugeexperiments
M.Apostolou.............................................344

4.Bridges:Analysis,Design,andRetrofit
RetrofittechnologiesoflongspanbridgesinHanshinExpressway
Y.Adachi,H.Kanaji,T.Nishioka......................................................................................355
PileFoundationsinImprovedSoilforHighwayBridgefacingLiquefactionInducedSoilFlow
N.Gerolymos,G.Gazetas.................................................................................................362
MethodologyforDesignAnalysisofBridgesagainstanEmergingFaultRupture
I.Anastasopoulos,R.Kourkoulis,V.Drosos,T.Georgarakos,G.Gazetas..375
TowardsaReversalofSeismicCapacityDesign.PartA:AnalysisofBridgePierFoundation
System
I.Anastasopoulos,M.Loli,N.Gerolymos,M.Apostolou,G.Gazetas...............................393
TowardsaReversalofSeismicCapacityDesign:PartB.ShakingTableTestingofBridgePier
FoundationSystem
I.Anastasopoulos,T.Georgarakos,V.Drosos,S.Giannakos,G.Gazetas...407
SimplifiedMethodfortheDesignofRaftFoundationsagainstaDirectHitbyThrustFaulting
I.Anastasopoulos....419
PreliminarySFSIStudiesfortheMessinaBridgeFoundations
E.Stavropoulou,I.Anastasopoulos,G.Gazetas.....438

5.Dams,Slopes,RetainingWalls
FieldObservationsofWenchuanEarthquakeofMay122008
H.Wang..449
LateralandLongitudinalSeismicVibrationsofConcreteFaceRockfillDams
P.Dakoulas....470
DynamicCrackPropagationAnalysisofConcreteGravityDamswithJointedRockFoundation
H.Kimata,Y.Fujita,H.Horii,M.Yazdani.................................486
EngineeringaspectsofsiteandtopographyeffectsatAegion,Greece
O.J.Ktenidou,D.Raptakis,K.Pitilakis,F.J.ChvezGarca.....495
PilesforStabilisingSeismicallyPrecariousSlopes.PartA:DevelopmentandValidation
R.Kourkoulis,F.Gelagoti,I.Anastasopoulos,G.Gazetas......506
PilesforStabilisingSeismicallyPrecariousSlopes.PartB:ParametricAnalysisandDesignCharts
R.Kourkoulis,F.Gelagoti,I.Anastasopoulos,G.Gazetas......520
Onseismicresponseofretainingstructures
N.Sitar,L.AlAtik.........................................................................534
TheNikawa(1995)andHigashiTakezawa(2004):ModellingandNumericalAnalysis
N.Gerolymos......545
EffectofhystereticdampingandstiffnessatunloadingonresponseofgroundduringEarthquake
N.Yoshida......573

6.Monuments
Structuralrestorationprocesstoprotectaworldheritagemonumentafteranearthquake
disaster:thecaseoftheKatholikonofDafniMonasteryinAtticaGreece
A.MiltiadouFezans...584
OntheDynamicBehaviorofaLightweightIsolatorforMuseumArtifacts
V.Koumousis......605
LessonslearntfromtheImpactofSikkim2006EarthquakeonHeritageStructures
P.Mukhopadhyay,S.C.Dutta,S.Bhattacharya.....615
SeismicResponseAnalysisofUndergroundMonumentalStructures.TheCatacombsofKom
ElShoqafa,Alexandria,Egypt.
K.Pitilakis,S.Hemeda.....629
Estimationoftheseismicresponseofhistoricalstructuresandevaluationofinterventions
I.N.Psycharis,H.P.Mouzakis,A.Miltiadou,P.Pavlopoulou,I.M.Taflampas644
InPlaneResponseofoldMasonryunderSeismicLoads
T.Zimmermann,A.Strauss....658
ThereconstructionofthenortheastcornerofthetempleofZeusatNemea,Greece
N.Makris..665
DynamicAnalysisofRuptureProcessofMasonryBuildingsusingNewSimulationMethod
FurukawaA.,KiyonoJ.,TokiK....678

1.
PileFoundations,Liquefaction

A study on the behavior of raked piles in seismically liquefiable


soils


S. Bhattacharya
University of Bristol (U.K)
T. Tazoh & J.Jang
Institute of Technology, Shimizu Corporation, Japan
M. Sato
National Research Institute for Earth Science & Disaster Prevention, Japan

1 INTRODUCTION
ABSTRACT: Raked piles are often used in seismic areas to support structures, see for example
ports, wharfs or bridges. However, there is confusion on the performance of raked pile i.e.
whether or not it is beneficial. This paper focuses on two aspects: (a) Critically analyzing the
pattern of observed failures during the past earthquakes; (b) Reporting a series of well-planned
centrifuge tests to understand the behavior of raked piles. Broad conclusions on the behavior of
raked piles will be drawn.


Pile foundations are invariably used in seismic areas particularly in soft soil zones (liquefiable
zones or soft clay) to support structures such as medium to tall buildings or medium to large
span bridges. These foundations continue to collapse or get severely damaged following most
major earthquakes causing great concern to the earthquake geotechnical engineering commu-
nity, see for example the collapse of structures in the aftermath of 1995 Kobe earthquake, 1999
Taiwan and Koceli earthquake or the 2001 Bhuj earthquake. While vertical piles are common,
there are cases where raked (inclined) piles have been used to support structures. Typically,
raked piles are used to support marine (port/wharfs/offshore platforms) structures or bridge
foundations where large lateral loads are expected.
While broad aspects of the various failure mechanisms of vertical pile foundations are un-
derstood, there is little consensus on the predominant/dominant mechanism of failure. The main
failure mechanisms for vertical pile foundations are:
(a) Bending of piles due to inertial loads at the pile head or kinematic loads from soil flow
and/or wave propagation. Details of calculating inertial loading can be found in most codes such
EC8. On the other hand, methods for calculating kinematic loads on piles can be found in JRA
(2002). Mylonakis (2001) discusses simplified methods to calculate kinematic bending mo-
ments in piles in layered soils due to wave propagation effects.
(b) Buckling of piles due to loss of restraint owing to soil liquefaction. Details can be found
in Bhattacharya et al (2004, 2005).
(c) Shear loading on the pile. This can be problematic in hollow piles.
(d) Dynamic failure due to the frequency effects of the earthquake due to the change in natu-
ral frequency of the structure-pile-soil system, see Bhattacharya et al (2009).
On the other hand, there is a confusion regarding the use of raked or inclined piles in seismic
areas mainly due to the mixed performances during the past earthquakes. Many codes of prac-
tice prohibit the use of raked piles in seismic areas; see commentary on the codes by Giannakou
et al (2007), Gerolymos et al (2008), Escoffier et al (2008), AFPS (1990). This paper has there-
fore two aims:
(a) Collating and critically analyzing the performance of raked piles during the past earth-
quakes.
(b) Report a series of centrifuge tests in order to understand some aspects of the behavior.
Proceedings, 3rd Greece-Japan Workshop: Seismic Design, Observation, and Retrofit of Foundations. Santorini 2009
1
2 REPORTED CASE STUDIES ON RAKED PILES

Study of damages of structures supported on raked piles during the past earthquakes showed
mixed observations i.e. some foundations performed superbly while others collapsed. For ex-
ample, raked piles remained undamaged in Landing Bridge in the aftermath of 1987 Edgecumbe
earthquake and also in the port structures in Kandla Port (India) following the 2001 Bhuj earth-
quake. Severe damages to raked piles were observed in Rio Banano Bridge during the 1991
Costa Rica earthquake, Wharf structure in the Port of Oakland during the 1989 Loma Prieta
earthquake). Table 1 lists some of the performances.

Table 1: Case studies of raked pile
Case history and reference Details Remarks
Performance of landing bridge
during 1987 Edgecumbe earth-
quake , Berrill et al (2001)
The piles are 406mm square PSC piles at 1:6 rake (an-
gle of batter is

). The pile passes through 4m of liq-
uefied soil. Both piers and abutments are supported by
raked piles.
5 . 9
Good per-
formance
Port of Oakland after the 1989
Loma Prieta earthquake, see
Seed et al (1991).
Raked piles were used in conjunction with vertical
piles. The piles passed through bay mud and then were
founded on dense sand. In the 7
th
street terminal (pile
dimension is 406.4mm square PSC section). At Piers
27 and 29, the section is 508 mm square PSC section.
Poor per-
formance
Rio-Banano bridge during the
1991 Costa Rica earthquake, see
EERI (1991) see Figure 1 for
the section of the Bridge.
Abutments were supported on two rows of 360mm
square driven precast piles. The front row had a 1:5
rake (angle of batter is

) and the abutment rotated. 3 . 11
Poor per-
formance
Rio-Bananito bridge during the
1991 Costa Rica earthquake,
EERI (1991)
Piles were installed in rake of 1:5 and 1:10, see Figure
2.
Poor per-
formance
Inclined pile supported quay
wall following the 1995 Kobe
earthquake, see Kastranta et al
(1998)
Inclined piles supported Maya wharf . Good per-
formance
Berths of Kandla Port during the
2001 Bhuj earthquake (India)
Hollow RC pile of 0.51m and average length of 17.7m Good per-
formance





Figure 1(a): Example of raked piles (Rio-Banano Bridge), following EERI (1991)

Proceedings, 3rd Greece-Japan Workshop: Seismic Design, Observation, and Retrofit of Foundations. Santorini 2009
2



Figure 1(b): Example of Rio-Bananito Bridge using raked piles, following EERI (1991)
3 ANALYTICAL METHOD TO COMPARE STIFFNESS OF VERTICAL PILES AND
RAKED PILES

One of the reasons in using raked piles is the enhanced lateral stiffness. This section aims to ob-
tain a comparative study of vertical and lateral stiffness. Figure 3 shows two pile foundations
one having a group of 4 vertical piles and the other a group of 4 raked piles. In both the cases,
the length of the pile is L having bending rigidity of EI. The raked piles are defined by an angle
of batter (| ) which is the angle that the pile forms with the vertical. It is assumed that the pile is
fixed at some level below the liquefiable zone. This point of fixity depends on the relative pile-
soil stiffness. Typical values of fixity lies between 5 and 10 times the diameter of the pile. In
this section, simple analytical expression is computed for finding the lateral stiffness of piled
foundations for these two cases.

3.1 Lateral stiffness of a group of vertical piles
The boundary condition is assumed as free to translate at the pile head and free to rotate. The
lateral stiffness of a group of 4 piles is given by:
3
12
4
L
EI
K = (1) where
EI = Bending Rigidity of the pile
L = Length of the pile
The expression (1) can be found in most standard text books.
Proceedings, 3rd Greece-Japan Workshop: Seismic Design, Observation, and Retrofit of Foundations. Santorini 2009
3
|
u
Plane of fixity in non-
liquefiable hard layer
VERTICAL PILE RAKED PILE

Figure 2: Vertical and raked piles
3.2 Lateral stiffness of the group of raked piles
The lateral stiffness of a raked pile is given by Equation 2.
(

+ =
(

+ = u u u u
2 2
2
3
2
3
2
sin cos
12
12
4 sin
12
cos 4
I
AL
L
EI
L
EI
L
EA
K
raked
(2) where
EA = Axial stiffness of the pile where A = Cross sectional area of the pile
u = Angle made by the pile with the horizontal as shown in the Figure 3

If it is noted that the second moment of area I is given by:
2
min
Ar I = (3) where
r
min
= Minimum radius of gyration

Combining equations 2 and 3 we get:
(

+
|
|
.
|

\
|
=
(

+ = 1 cos 1
12
12
4 sin cos
12
12
4
2
2
3
2 2
2
min
2
3
u

u u
L
EI
Ar
AL
L
EI
K
raked
(4) where
min
r
L
= known as Slenderness ratio of the pile in the likely unsupported zone.
Bhattacharya et al (2004) analyzed 14 case studies of pile performance in seismic zones. The
analysis showed that piles that survived the earthquake has slenderness ratio less than 50. Com-
paring equation 1 and 4 we define an improvement factor Z
i
as:
1 cos 1
12
2
2
+
|
|
.
|

\
|
= = u

K
K
Z
raked
i
(5)
Proceedings, 3rd Greece-Japan Workshop: Seismic Design, Observation, and Retrofit of Foundations. Santorini 2009
4
Equation 5 suggests that raked piles are always stiffer that vertical piles. Equation 5 can be re-
casted using angle of batter (| ) as Equation 6.
1 sin 1
12
2
2
+
|
|
.
|

\
|
= = |

K
K
Z
raked
i
(6)
Equation 6 is plotted in Figure 3. The factor Z
i
represents the ratio of the stiffness of a raked
pile with respect to the vertical piles and can be coined as Improvement Factor. In the Figure
Z
i
is plotted against the angle of batter for various slenderness ra io ( t ).

0 2 4 6 8 10 12 14 16 18 20
1
10
20
30
40
50
60
70
80
90
100
Angle of Batter (|)
I
m
p
r
o
v
e
m
e
n
t

F
a
c
t
o
r

(
Z

i
)


=40
=60
=80
=100


Figure 3: Normalized stiffness ratio of a raked pile plotted against the angle of batter

The next section describes a series of centrifuge tests that were carried out at Institute of Tech-
nology (Shimizu Corporation) to investigate various aspects of raked piles and vertical piles.
4 CENTRIFUGE TESTS
4.1 Description of the test
A series of centrifuge tests has been carried out in Institute of Technology (Shimizu Corpora-
tion) to study the various aspects of raked piles. Two types of pile group were tested as shown
in Figure 4. Table 2 summarizes the different centrifuge tests carried out. However, this paper
concentrates on one particular test (Case 32). In some of the tests, a small scaled superstructure
was used: see Figure 5 for the photograph of the superstructure and Figures 6 and 7 for sche-
matic diagram of the pile-supported structures. The input motion applied at the base of the
model is given by Figure 8 and the FFT of the signal is given by Figure 9.

Proceedings, 3rd Greece-Japan Workshop: Seismic Design, Observation, and Retrofit of Foundations. Santorini 2009
5
Table 2: Schedule of the tests

ID of the test Details of the test Remarks
SERIES -1
Case 11
Two vertical pile groups near a quay wall were tested.
In one case the quay wall collapsed and in the other the
wall did not collapse. The piled foundations are placed
200mm from quay wall.
SERIES -1
Case 12
Two vertical pile groups near a quay wall were tested.
In one case the quay wall collapsed and in the other the
wall did not collapse. The piled foundations are placed
100mm from quay wall.
SERIES-1
Case 13
Two vertical pile groups near a quay wall were tested.
In one case the quay wall collapsed and in the other the
wall did not collapse. The piled foundations are placed
50mm from quay wall.
In the three tests of SERIES -1, the
main aim was to study the effect of
quay wall collapse on the piled
foundations. The distance between
the quay wall and the piled founda-
tions were varied. All the piled
foundations had a superstructure.
SERIES-2
Case 21
Two vertical pile groups were tested. In one case, there
was a superstructure and in the other there is no super-
structure.
SERIES-2
Case 21
Two vertical pile groups were tested. In one case, the
foundation was 50mm from the quay wall and in the
other the foundation was 100mm from quay wall.
In SERIES -2 tests, the effect of in-
ertia on the superstructure was in-
vestigated
SERIES-3
Case 31
Two pile groups were tested. One had a vertical pile
and the other had a raked pile. The angle of batter is
. The distance from the quay wall is 200mm.

10
SERIES-3
Case 32
Two pile groups were tested. One had a vertical pile
and the other had a raked pile. The angle of batter is
. The distance from the quay wall is 100mm.

10
SERIES-3
Case 33
Two pile groups were tested. One had a vertical pile
and the other had a raked pile. The angle of batter is
. The distance from the quay wall is 50mm.

10
SERIES-3
Case 34
Two pile groups were tested. One had a vertical pile
and the other had a raked pile. The angle of batter is
. The distance from the quay wall is 100mm.

5
In SERIES -3 tests, comparison is
made between vertical piles and
raked piled.



Figure 4: Photograph of the vertical pile and raked piles used in the centrifuge tests

Proceedings, 3rd Greece-Japan Workshop: Seismic Design, Observation, and Retrofit of Foundations. Santorini 2009
6


Figure 5: Centrifuge setup of the raked piles

Liquefiable
soil
ACC-Footing
ACC-Base AG(0)
ACC-Structure
A-PP2
A-PP1
100mm
130mm
30mm
588.75gm
392.5gm
80mm
60mm
Quay wall
Columns consists of 4
nos of 6mmx2mmx60
mm steel section
A-4
A-2
A-1
A-5
A-6
A-7
A-9
A-10


Figure 6: Schematic diagram of the vertical pile showing the instrumentation. [{A-i denotes Strain
Gauges where i varies from 1 to 10 except 3 and 8}, {ACC is accelerometer}, {PP denotes Pore Pres-
sure}].

Proceedings, 3rd Greece-Japan Workshop: Seismic Design, Observation, and Retrofit of Foundations. Santorini 2009
7
Liquefiable
soil
ACC-Footing
ACC-Base AG(0)
ACC-Structure
B-PP2
A-PP1
100mm
130mm
30mm
588.75gm
392.5gm
80mm
60mm
Quay wall
Columns consists of 4
nos of 6mmx2mmx60
mm steel section
B-4
B-6
B-7
B-9
B-10


Figure 7: Schematic diagram of the vertical pile showing the instrumentation [{A-i denotes Strain Gauges
where i varies from 1 to 10 except 3 and 8}, {ACC is accelerometer}, {PP denotes Pore Pressure}].


0 0.05 0.1 0.15 0.2 0.25 0.3 0.35 0.4 0.45 0.5
-10
-8
-6
-4
-2
0
2
4
6
8
10
Time(s)
B
e
d
r
o
c
k

a
c
c
e
l
e
r
a
t
i
o
n

(
g
)


AG(0)

Figure 8: Input motion used in Test Case 32
Proceedings, 3rd Greece-Japan Workshop: Seismic Design, Observation, and Retrofit of Foundations. Santorini 2009
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0 30 60 90 120 150 180 210 240
-20
0
20
40
60
80
100
Frequency (Hz)
L
o
g

a
m
p
l
i
t
u
d
e

(
d
B
)

o
f

i
n
p
u
t

Figure 9: Input motion used in the tests
4.2 Measured responses from the tests
Figure 10 shows the time history of the measured responses for the vertical pile. The input ac-
celeration, the pore pressure responses and the acceleration of the footing and structure are plot-
ted. The responses indicate that as the soil liquefies i.e. at about 0.15sec and after the responses
of the footing and structures alter. The instrumentation layout can be found in Figure 6. Figure
11 shows the similar data for the raked piles and the corresponding instrumentation. Figure 12
compares the acceleration of structure for two types of foundations. Figure 13 shows the corre-
sponding acceleration for footing for two types of foundations.
0.05 0.1 0.15 0.2 0.25 0.3 0.35 0.4
-10
0
10
A
c
c
e
l
e
r
a
t
i
o
n

(
g
)


Vertical pile-Structure-AS1
0.05 0.1 0.15 0.2 0.25 0.3 0.35 0.4
-10
0
10
A
c
c
e
l
e
r
a
t
i
o
n

(
g
)


Vertical pile-Footing-AS1
0.05 0.1 0.15 0.2 0.25 0.3 0.35 0.4
0
20
40
45
P
o
r
e

p
r
e
s
s
u
r
e

(
k
P
a
)


A-PP1
A-PP2
0.05 0.1 0.15 0.2 0.25 0.3 0.35 0.4
-10
0
10
Time(s)
B
a
s
e

a
c
c
e
l
e
r
a
t
i
o
n

(
g
)


AG(0)

Figure 10: Time history of results for vertical piles

Proceedings, 3rd Greece-Japan Workshop: Seismic Design, Observation, and Retrofit of Foundations. Santorini 2009
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0.05 0.1 0.15 0.2 0.25 0.3 0.35 0.4
-20
0
20
A
c
c
e
l
e
r
a
t
i
o
n

(
g
)


Raked pile-Structure-AS1
0.05 0.1 0.15 0.2 0.25 0.3 0.35 0.4
-20
0
20
A
c
c
e
l
e
r
a
t
i
o
n

(
g
)


Raked pile-Footing-AS1
0.05 0.1 0.15 0.2 0.25 0.3 0.35 0.4
0
20
40
P
o
r
e

p
r
e
s
s
u
r
e

(
k
P
a
)


B-PP1
B-PP2
0.05 0.1 0.15 0.2 0.25 0.3 0.35 0.4
-20
0
20
Time(s)
B
a
s
e

a
c
c
e
l
e
r
a
t
i
o
n

(
g
)


AG(0)

Figure 11: Time history of results for raked piles

0.05 0.1 0.15 0.2 0.25 0.3 0.35 0.4 0.45 0.5 0.55
-30
-20
-10
0
10
20
30
Time (s)
A
c
c
e
l
e
r
a
t
i
o
n

(
g
)


Input
Structure-vertical piles
Structure-raked piles

Figure 12: Time history of acceleration for structures for two types of foundations

Proceedings, 3rd Greece-Japan Workshop: Seismic Design, Observation, and Retrofit of Foundations. Santorini 2009
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0.05 0.1 0.15 0.2 0.25 0.3 0.35 0.4 0.45 0.5 0.55
-10
-8
-6
-4
-2
0
2
4
6
8
10
Time (s)
A
c
c
e
l
e
r
a
t
i
o
n

(
g
)


Input
Footing-vertical piles
Footing-raked piles


Figure 13: Time history of acceleration of footing for two types of foundations


4.3 Frequency response analysis of the foundations
Before we analyse the experimental data, it is necessary to estimate various parameters. Table 3
characteristics of the pile.

Table 3: Characteristics of the pile
Material Steel
Pile outside diameter (d
o
) 10mm
Wall thickness (t) 0.2mm
Second Moment of Area (I) 73.95mm
4

Radius of gyration ( mm
A
I
r 46 . 3
min
= = )
3.46mm
Pile length (L) 270mm
Youngs Modulus (E) 210GPa
EI (Bending rigidity of the pile) 15.5310
6
Nmm
2


4.3.1 Stiffness of vertical piles

Based on Figure 6, the boundary condition of the vertical pile is assumed as free to translate at
the pile head and free to rotate. The length of unsupported length is given by the summation of
top non-liquefiable zone (as the zone moves and 60mm), the liquefiable zone (130mm) and
50mm (depth of fixity). Therefore L is about 240mm. The lateral stiffness of a group of 4 piles
is given by equation 1 is given by equation 7.
mm
N
mm
Nmm
L
EI
K 92 . 53
240
10 53 . 15 48 12
4
3 3
2 6
3
=

= = (7)
The section of the column is (2mm x 6mm) and 60mm high. This can be considered to be
very rigid compared to the pile. As a first approximation, the time period of the structure can be
Proceedings, 3rd Greece-Japan Workshop: Seismic Design, Observation, and Retrofit of Foundations. Santorini 2009
11
computed by considering the stiffness of the pile and the mass of the footing, columns and
structure. The total mass of the structure is given by equation 8.

kg gm gm gm gm M 1 85 . 10003 6 . 22 75 . 588 5 . 392
I
= = + + = (

8)
he frequency is given by: T
Hz
m kg
N
f
n
9 . 36
10 1
92 . 53
2
1
3
=

=

t
(9)
Figures 14 and 15 shows the frequency domain analysis of the acceleration data of the foot-
ing and structure. This is essentially, plotting the acceleration time history of the footing data
and structure in the normalized frequency domain. The analysis indicates that there is a peak at
about 36 Hz which indicates that this is natural frequency of the system.

0 10 20 30 40 50 60 70 80 90 100
0
0.5
1
1.5
2
2.5
3
3.5
4
Frequency (Hz)
D
y
n
a
m
i
c

a
m
p
l
i
f
i
c
a
t
i
o
n

f
a
c
t
o
r

(
F
o
o
t
i
n
g
)


Figure 14: Frequency response function of e footing for the vertical pile foundation. th
Proceedings, 3rd Greece-Japan Workshop: Seismic Design, Observation, and Retrofit of Foundations. Santorini 2009
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0 10 20 30 40 50 60 70 80 90 100
0
0.5
1
1.5
2
2.5
3
3.5
4
Frequency (Hz)
D
y
n
a
m
i
c

a
m
p
l
i
f
i
c
a
t
i
o
n

f
a
c
t
o
r

(
S
t
r
u
c
t
u
r
e
)

Figure 15: Frequency response function of the structure for the vertical pile foundation

4.3.2 Stiffness of raked piles

The angle of batter of the raked pile is . Based on Figure 7, and equation 6 we may obtain
the stiffness of the raked pile. The slenderness ratio of the pile required is given by equation 10

10
36 . 69
46 . 3
240
min
= = =
r
L
(10)
The improvement factor is given by equation 11.
13 1 ) 10 sin 400 ( 1 sin 1
12
2 2
2
~ + = +
|
|
.
|

\
|
= = |

K
K
Z
raked
i
(11)
The stiffness of the raked pile foundation is given by equation 12.


mm
N
mm
N
K
raked
710 92 . 53 13 = = (12)
As a first approximation, the frequency of the raked pile foundation supported structure is
given by:
Hz
m kg
N
f
n
134
10 1
710
2
1
3
=

=

t

Figures 16 and 17 plots the frequency response function of the acceleration data of the foot-
ing and structure. The results indicate that there is a peak at about 82Hz (Figure 17).
Proceedings, 3rd Greece-Japan Workshop: Seismic Design, Observation, and Retrofit of Foundations. Santorini 2009
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0 20 40 60 80 100 120 140 160 180 200
0
0.2
0.4
0.6
0.8
1
1.2
1.4
Frequency (Hz)
D
y
n
a
m
i
c

a
m
p
l
i
f
i
c
a
t
i
o
n

f
a
c
t
o
r

(
F
o
o
t
i
n
g
)

Raked pile

Figure 16: Dynamic amplification factor measured from the structure for the raked piles (Figure 7).

0 20 40 60 80 100 120 140 160 180 200
0
0.5
1
1.5
Frequency (Hz)
D
y
n
a
m
i
c

a
m
p
l
i
f
i
c
a
t
i
o
n

f
a
c
t
o
r

(
S
t
r
u
c
t
u
r
e
)

Raked pile

Figure 17: Dynamic amplification factor measured from the structure for the raked piles (Figure 7).


Proceedings, 3rd Greece-Japan Workshop: Seismic Design, Observation, and Retrofit of Foundations. Santorini 2009
14
4.4 Bending moment at the front and back side of the vertical pile
Strain measurements were taken at various locations of the vertical pile (see Figure 6 for the in-
strumentation layout). Figure 18 shows the bending strain at various locations of the pile near to
the quay wall. Figure 19 shows the bending strain at various locations in the back side. The tests
indicate that there are large moments at the interface possible due to kinematic interactions.
0.05 0.1 0.15 0.2 0.25 0.3 0.35 0.4 0.45 0.5
-2000
-1500
-1000
-500
0
500
1000
Time (s)
B
e
n
d
i
n
g

s
t
r
a
i
n
-
v
e
r
t
i
c
a
l

p
i
l
e

(



)

A1(1d)
A2(6d)
A4(19d)
A5(27d)

Figure 18: Bending strain along the vertical pile in the front of the quay wall

0.05 0.1 0.15 0.2 0.25 0.3 0.35 0.4 0.45 0.5
-2000
-1500
-1000
-500
0
500
1000
1500
Time (s)
B
e
n
d
i
n
g

s
t
r
a
i
n
-
v
e
r
t
i
c
a
l

p
i
l
e

(



)

A6(1d)
A7(6d)
A9(19d)
A10(27d)


Figure 19: Bending strain along the vertical pile in the back pile

Figures 20 and 21 shows the bending strain for the raked piles (see Figure 7 for instrumenta-
tion layout). Figure 22 compares the bending strain for the raked pile and the vertical pile which
is possible due to inertia. Figure 23 shows the kinematic bending moment at the interface for
vertical pile and raked pile.

Proceedings, 3rd Greece-Japan Workshop: Seismic Design, Observation, and Retrofit of Foundations. Santorini 2009
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0.05 0.1 0.15 0.2 0.25 0.3 0.35 0.4 0.45 0.5
-1500
-1000
-500
0
500
1000
1500
Time (s)
B
e
n
d
i
n
g

s
t
r
a
i
n
-
r
a
k
e
d

p
i
l
e

(



)

B1(1d)
B2(6d)
B4(19d)
B5(27d)


Figure 20: Bending strain along the raked pile in the front of the quay wall

0.05 0.1 0.15 0.2 0.25 0.3 0.35 0.4 0.45 0.5
-1600
-1200
-800
-400
0
400
800
1200
1600
Time (s)
B
e
n
d
i
n
g

s
t
r
a
i
n
-
r
a
k
e
d

p
i
l
e

(



)


B6(1d)
B7(6d)
B9(19d)
B10(27d)

Figure 21: Bending strain along the vertical pile in the back pile

Proceedings, 3rd Greece-Japan Workshop: Seismic Design, Observation, and Retrofit of Foundations. Santorini 2009
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0.05 0.1 0.15 0.2 0.25 0.3 0.35 0.4 0.45 0.5
-600
-400
-200
0
200
400
600
800
1000
1200
Time (s)
I
n
e
r
t
i
a
l

b
e
n
d
i
n
g

s
t
r
a
i
n

(


)

Vertical Pile (A1)
Raked Pile (B1)


Figure 22: Comparison with vertical pile and raked pile

0.05 0.1 0.15 0.2 0.25 0.3 0.35 0.4 0.45 0.5
-600
-400
-200
0
200
400
600
800
1000
1200
Time (s)
K
i
n
e
m
a
t
i
c

b
e
n
d
i
n
g

s
t
r
a
i
n

a
t

t
h
e

i
n
t
e
r
f
a
c
e

(


)

Vertical Pile (A4)
Raked Pile (B4)


Figure 23: Vertical pile and raked pile

4.5 Bending strain in the front and back pile
Figures 24 and 25 shows the bending strain for the front pile and the back pile.
Proceedings, 3rd Greece-Japan Workshop: Seismic Design, Observation, and Retrofit of Foundations. Santorini 2009
17
0.05 0.1 0.15 0.2 0.25 0.3 0.35 0.4 0.45 0.5
-500
-400
-300
-200
-100
0
100
200
300
400
Time (s)
B
e
n
d
i
n
g

s
t
r
a
i
n
-
v
e
r
t
i
c
a
l

p
i
l
e

(



)

(Front pile A4)
(Back pile A9)

Figure 24: Strain measurements taken at the interface (A4 and A9) of the raked pile configuration.

0.05 0.1 0.15 0.2 0.25 0.3 0.35 0.4 0.45 0.5
-600
-400
-200
0
200
400
600
800
1000
1200
Time (s)
B
e
n
d
i
n
g

s
t
r
a
i
n
-
r
a
k
e
d

p
i
l
e

(



)

(Front pile B4)
(Back pile B9)

Figure 25: Strain measurements taken at the interface (B4 and B9) of the raked pile configuration.

5 CONCLUSIONS
Raked piles are often used in seismic areas to support structures. However, confusion still exists
on their performance i.e. whether or not they are beneficial. This paper presents a study in this
regard. Following conclusions are drawn:
1. Raked piles are always stiffer than the vertical piles. The stiffness increase depends
on the angle of batter and also on the slenderness ratio of the pile. An expression of
this increase i.e. the ratio of lateral stiffness of raked piles to the lateral stiffness of
the vertical pile denoted by Improvement factor is derived. This enhanced stiffness
affects the performance in various ways and is explained in the next two points.
2. As the stiffness of a raked pile system is comparatively high, the frequency of the
structure-foundation system is also high. Therefore, the raked pile foundation is dy-
namically sensitive and the performance depends on the type of earthquake.
3. Due to relatively high horizontal stiffness of the raked pile foundation, the horizontal
displacement of the pile cap or the structure is comparatively less making its per-
Proceedings, 3rd Greece-Japan Workshop: Seismic Design, Observation, and Retrofit of Foundations. Santorini 2009
18
formance satisfactory from serviceability point of view. This further reduces the P-
delta effect of the superstructure.
4. Due to this high stiffness, raked piles attract significant bending moments near the
pile head. As a result, proper connection details are necessary.
5. Raked pile requires careful design consideration and can prove beneficial to most en-
gineering structures.
6 REFERENCES
AFPS (1990), Recommendations AFPS 90, 3 Volumes, Association franaise de gnie parasismique,
France
Bhattacharya, S., S.Adhikari and N.A.Alexander (2009): A simplified method for unified buckling and
free vibration analysis of pile-supported structures in liquefiable soils, Journal of Soil Dynamics and
Earthquake Engineering, August 2009 Issue
Bhattacharya, S., Bolton, M.D. and Madabhushi, S.P.G. (2005): A reconsideration of the safety of the
piled bridge foundations in liquefiable soils, Soils and Foundations, Volume 45, August 2005 issue,
No 4, pp 13-26
Bhattacharya, S., Madabhushi, S.P.G., and Bolton, M.D. (2004): An alternative mechanism of pile fail
ure in liquefiable deposits during earthquakes, Geotechnique 54, April issue, No.3, pp 203-213.
Berril J. B., Christensen S.A., Keenan R. P., Okada W. and Pettinga J. R. (2001), Case study of lateral
spreading forces on a piled foundation, Geotechnique, Vol. 51, No 6, pp. 501-517
EERI (1991), Costa Rica Earthquake of April 22, 1991, Reconnaissance Report, Earthquake Spectra,
Vol. 7, Supplement B.
Giannakou, A., Gerolymos,N. and Gazetas,G. (2007): Influence of Batter Piles on the Seismic Response
of Pile Groups, 2
nd
Japan Greece workshop on seismic design, observation and retrofit of foundations,
3
rd
-4
th
April 2007, Tokyo.
Gerelymos, N., Giannakou, A., Anastasopoulos, I., and Gazetas, G. (2008): Evidence of beneficial role of
inclined piles: Observation and summary of numerical analysis, Bulletin of Earthquake Engineering,
Vol 6, pp 705-722.
Escoffer,S., Chazelas, J-L., and Garnier, J. (2008): Centrifuge modeling of raked piles, Bulletin of Earth-
quake Engineering, Vol 6, pp 689-704.
Kastranta G. & Gazetas G, Tazoh T. (1998), Performance of three quay walls in Maya Wharf: Kobe
1995, Proceedings of the 11th European Conference on Earthquake Engineering
JRA (1996,1980,1972): Japanese Road Association, Specification for Highway Bridges, Part V, Seismic
Design.
Mylonakis G., 2001, Simplified model for seismic pile bending at soil layer interfaces, Soils and
Foundations, 41, 47-58.





Proceedings, 3rd Greece-Japan Workshop: Seismic Design, Observation, and Retrofit of Foundations. Santorini 2009
19
Kinematic Response of Batter Pile Foundation: Centrifuge
Tests


T. Tazoh
Institute of Technology, Shimizu Corporation, Japan
M. Sato
National Research Institute for Earth Science & Disaster Prevention, Japan
J. Jang & Y. Taji
Institute of Technology, Shimizu Corporation, Japan
G. Gazetas
National Technical University of Athens, Greece



ABSTRACT: We carried out centrifuge tests to clarify the seismic behavior of batter-pile
foundations. A vertical-pile foundation and a batter-pile foundation without the presence of a
superstructure were installed parallel to each other in a soil container filled with dry sand, and
were excited simultaneously. Through a comparison of the acceleration and displacement
response of the footing, as well as the axial and bending strain of the piles for the two pile
foundations, the kinematic response of the seismic behavior of the batter-pile foundation was
experimentally investigated.



1 INTRODUCTION

The lateral stiffness of a pile foundation can be increased by adopting batter piles, which is why
they are commonly used in landing piers that are subject to large lateral forces. However, batter
piles are seldom used for buildings or civil engineering structures even in the case of large
lateral forces. The reasons are as follows:
1) When soil settlement occurs, not only the safety of the pile foundation but also that of the
structure as a whole system may be threatened by settlement-induced vertical loads acting
on the batter piles.
2) During an earthquake, the piles in a batter-pile foundation may be subject to excessive
axial compression and pullout forces, which are not generated in a vertical-pile foundation.
3) The strength of concrete piles is reduced by decreasing the compressive force acting on the
piles due to rocking motions induced by the adopted batter piles.
4) Since infinite lateral ground planes cannot be assumed for batter piles, they cannot be
expected to have the same horizontal subgrade reaction as that of vertical piles.
5) In urban areas, the use of batter piles is constrained by the boundary lines of adjacent land.

The 1995 Great Hanshin Earthquake in Japan has increased the demand for pile foundations
with high seismic performance, as well as lower cost and easier construction. Batter piles can be
used with little additional expense, no special design, and hardly any difficulty in construction.
Therefore, the seismic behavior of batter piles has recently attracted much research interest, as
has research and development related to easy and accurate methods of installing batter piles
(Gerolymos, N., et. al., 2008, Giannakou, A., et. al., 2007, Poulos., N., 2006).

In this study, we carried out centrifuge shaking table tests to clarify the seismic behavior of
batter-pile foundations. A vertical-pile foundation and a batter-pile foundation were installed
Proceedings, 3rd Greece-Japan Workshop: Seismic Design, Observation, and Retrofit of Foundations. Santorini 2009
20
parallel to each other in a soil container filled with dry sand, and were excited simultaneously
(Tazoh, T., et. al., 2005, Tazoh, T., et. al., 2007). As our objective was to investigate the
fundamental characteristics of the seismic behavior of batter piles, none of the pile-foundation
models had a superstructure. This study focused on the kinematic interaction of batter piles
(Fan, K., et. al., 1991, Mylonakis, G., et. al., 1997, Mylonakis, G., 2001, Nikolaou, S., et. al.,
2001, Sica, S., et., al., 2007, Tazoh, T., et. al., 1987). Through a comparison of the acceleration
and displacement response of the footing, as well as the axial and bending strain of the piles for
the two pile foundations, the kinematic nature of the seismic behavior of the batter-pile
foundation was experimentally studied.

2 CENTRIFUGE TESTS

The most direct and effective way to quantitatively and qualitatively investigate the seismic
behavior of batter piles is to compare the seismic behavior between a vertical-pile foundation
and a batter-pile foundation under the same input motions. Each test for each model must be
carried out under nearly identical conditions with respect to input motions, soil conditions, and
soil behavior. Note, however, that it is impossible to achieve complete similarity between
shaking table tests due to the difficulty of reproducing the input motion and nonlinear behavior
of the soil.
Therefore, a vertical-pile foundation and a batter-pile foundation without the presence of a
superstructure were installed parallel to each other in a soil container, as shown in Figure 1, and
were excited simultaneously.
A laminar box was used as the soil container to allow shear deformation of the soil deposit as
in the free field. Actually, installing two models that behave differently in a laminar box is not
an appropriate testing method because the behavior of the models might influence each other.
However, considering the inconsistency of the input motion and the difficulty of reproducing
the soil conditions and nonlinearity, we believe that this method is more reasonable than
individually testing the vertical-pile foundation and batter-pile foundation separately.
The interior of the soil container is 805 mm in length, 474 mm in width, and 324 mm in
height. All tests were conducted at centrifugal acceleration of 30 g on a 1/30-scale model.
Table 1 shows the scaling ratios of the models.
The vertical-pile foundation and the batter-pile foundation each have four piles, and the pile
heads and pile tips are rigidly connected to the footing and the base of the soil container,
respectively. The batter piles are identically inclined at a 10 angle. The soil deposit is a
uniform layer consisting of dry silica sand No. 7 (Mean particle diameter D
50
= 0.15 mm; Soil
density
s
= 2.635 g/cm
3
; Maximum dry density
max
= 1.539 g/cm
3
; Minimum dry density

min
= 1.206 g/cm
3
). Thickness and relative density of the soil deposit is 300 mm (prototype:
9 m) and Dr = 60%, respectively.
Figure 2 shows the grain size accumulation curve of silica sand No. 7. Table 2 shows the
materials and size of the experimental model used in the tests and Photograph 1 shows the test
model. Sixty-two monitoring channels in total were installed, with the sensors comprising
seventeen accelerometers, five non-contact displacement meters, and forty strain gauges
(Table 3). The test was conducted a total of nine times, varying the input motion and maximum
acceleration as shown in Table 4.
While the purpose of this study was to clarify the kinematic interaction of the batter piles,
consideration must also be given to effects from the mass of the footing (made of steel, size:
355 cm). The inertial interaction caused by the inertial force of the footing might be included
in the results, which consequently may not represent the perfect kinematic interaction.

3 KINEMATIC NATURE OF SEISMIC BEHAVIOR OF BATTER PILE

Figure 3 shows the frequency transfer function calculated by the acceleration records between
the soil surface and the input motion of the sweep test. The predominant frequency of the
Proceedings, 3rd Greece-Japan Workshop: Seismic Design, Observation, and Retrofit of Foundations. Santorini 2009
21
ground is 3.5 Hz in the case of maximum acceleration of input motion at 5 Gal. The
predominant frequencies are 3.23.3 Hz and 3.03.1 Hz, and also the peak acceleration
amplification factors decrease corresponding to the increase in maximum acceleration of the
input motion to 15 Gal and 30 Gal.
Figure 4 shows the frequency transfer function between the ground surface and input motion
obtained from El Centro record excitation. The predominant frequency of the ground is 3.4 Hz
in the case of maximum acceleration of input motion at 50 Gal. The predominant frequencies
are 2.82.9 Hz and 2.42.5 Hz, and also the peak acceleration amplification factors decrease
according to the increase in maximum acceleration of the input motion to 100 Gal and 200 Gal.
These phenomena were obviously produced by the nonlinearity of the soil.

Figure 5 shows the relationship between horizontal displacement and rotational angle of the
footing based on the data from sinusoidal excitation of 3.5 Hz, in order to investigate the
rotational characteristics of the footing of the vertical-pile foundation and the batter-pile
foundation. The rotational angle is calculated by dividing the difference in the vertical
displacement based on the data of the accelerometers installed at both sides of the footing by the
distance between the two accelerometers.
The fact that there is no phase difference between the sway and the rocking motion indicates
that the response of the footing to motion to the right is counterclockwise rotation, as shown in
Figure 7. There is no phase difference between the sway and the rocking motion of the
vertical-pile foundation; on the other hand, anti-phase behavior can be seen in the data for the
batter-pile foundation.
Figure 6 shows the data obtained from El Centro record excitation at the maximum
acceleration of 200 Gal. The same trend as seen in the case of sinusoidal excitation can also be
found in Figure 6. The phenomena of the opposite phase between the sway and the rocking
motions of the vertical-pile foundation and the batter-pile foundation can be found in all of the
other test data. From Figures 5 and 6, it can also be seen that the rotation angles of the
batter-pile foundation are almost two times larger than those of the vertical-pile foundation.

Figure 8 shows the maximum-value distribution of the bending and axial strains of the piles
in the vertical-pile foundation (pile-VA1) and the batter-pile foundation (pile-BA1) obtained
from sinusoidal excitation of 3.5 Hz. The frequency of 3.5 Hz closely corresponds to that of the
predominant frequency of the ground as shown in Figure 3. The largest values were obtained at
the pile heads, and the bending and axial strains of the batter-pile foundation are larger than
those of the vertical-pile foundation in all cases, as shown in Figure 8.
Figure 9 shows the maximum-value distribution of the bending and axial strains of the piles
in the vertical-pile foundation (pile-VA1) and the batter-pile foundation (pile-BA1) obtained
from El Centro record excitation. The largest values were obtained at the pile heads, and the
bending and axial strains of the batter-pile foundation are larger than those of the vertical-pile
foundation, likely due to the sinusoidal excitation.

Figures 10 and 11 show the maximum values for acceleration of the footings and the ground
surface, and the bending and axial strains at the pile heads corresponding to the increments in
maximum acceleration of the input motion. From the figures, it can be seen that the maximum
acceleration of the footing of the vertical-pile foundation is larger than that of the batter-pile
foundation and that both the bending and axial pile strain of the batter-pile foundation are larger
than those of the vertical-pile foundation in both the sinusoidal and El Centro record excitation.

4 ASEISMICITY OF BATTER PILE

Figures 12 and 13 compare the frequency transfer functions of the horizontal acceleration of the
footing and input motion between the vertical-pile foundation and the batter-pile foundation
obtained from sweep test and El Centro record excitation. The difference between the frequency
transfer functions of the two pile foundations represents the aseismicity of the batter-pile
Proceedings, 3rd Greece-Japan Workshop: Seismic Design, Observation, and Retrofit of Foundations. Santorini 2009
22
foundation. From these figures, it can be elucidated that the batter-pile foundation has a certain
level of aseismicity in all of the frequency ranges.
Figures 14 and 15 compare the frequency transfer functions of the bending and axial strains
of the piles and input motion between the vertical-pile foundation and the batter-pile foundation
calculated using the data from the sweep test and El Centro record excitation. From these
figures, it can be seen that the strain of the batter piles is larger than that of the vertical piles.
Therefore, it is considered that the compensation for the aseismicity of batter piles seeks large
cross-sectional efficiency for the batter piles.

5 CONCLUSIONS
The main conclusions of the study are as follows:

1) The response of the footing of the vertical-pile foundation to motion to the right is
counterclockwise rotation. On the other hand, that of the batter-pile foundation is rotation
in the opposite direction to that of the vertical-pile foundation.
2) Bending and axial strains attain the largest values at the pile heads in both the vertical-pile
foundation and batter-pile foundation.
3) Improved aseismicity by adopting batter piles can be gained in almost all frequency ranges.
4) Bending and axial strains of the batter-pile foundation are larger than those of the
vertical-pile foundation. In other words, the compensation for the aseismicity of batter piles
seeks large cross-sectional efficiency for the batter piles.

6 ACNOLEDGEMENT
We would like to express our sincerest gratitude to Mr. Katsumi Yoshinari for his invaluable
help to carry out the centrifuge tests.

7 REFERENCES
Fan, K., Gazetas, G., Kaynia, A., Kausel, E., & Ahmad, S. 1991. Kinematic seismic response of single
piles and pile groups, Journal of Geotechnical Engineering, 117, 18601879.
Gerolymos, N., Giannakou, A., Anastasopoulos, I. & Gazetas, G. 2008. Evidence of beneficial role of
inclined piles: observations and summary of numerical analyses, Bulletin of Earthquake Engineering:
Vol. 6, No. 4, 705722: Springer.
Giannakou, A., Gerolymos, N., & Gazetas, G. 2007. Kinematic response of groups with inclined piles,
Proceedings of the 4
th
International Conference on Earthquake and Geotechnical Engineering
(ICEGE), Thessaloniki, Greece, on CD-Rom.
Mylonakis, G., Nikolau, S., & Gazetas, G. 1997. Soil-pile bridge seismic interaction: kinematic and
inertial effects. Part I: Soft soil, Earthquake Engineering and Structural Dynamics, 26, 337359.
Mylonakis, G. 2001. Simplified model for seismic pile bending at soil layer interfaces, Soils and
Foundations, 41, 4, 4758.
Nikolaou, S., Mylonakis, G., Gazetas, G., & Tazoh, T. 2001. Kinematic pile bending during earthquakes:
analysis and field measurements, Geotechnique, 51, 5, 425440.
Poulos, N. 2006. Raked piles---virtues and drawbacks, Journal of Geotech Geoenviron Engineering,
132(6), 795803. Doi:10.1061/(ASCE) 10900241(2006)132:6(795).
Sica, S., Mylonakis, G., & Simonelli, A. L., 2007. Kinematic bending of piles: Analysis vs. code
provisions, Proceedings of the 4
th
International Conference on Earthquake and Geotechnical
Engineering (ICEGE), Thessaloniki, Greece, on CD-Rom.
Tazoh, T., Shimizu, K., & Wakahara, T. 1987. Seismic observations and analysis of grouped piles.
Proceedings, 3rd Greece-Japan Workshop: Seismic Design, Observation, and Retrofit of Foundations. Santorini 2009
23
Geotechnical Special Publication No. 11, Dynamic Response of Pile Foundations, ASCE, 120.
Tazoh, T., Sato, M., & Gazetas, G. 2005. Centrifuge tests on pile-foundation structure systems affected
by liquefaction-induced flow due to quay-wall collapse, Proceedings of the 1
st
Greece-Japan
Workshop on Seismic Design, Observation and Retrofit of Foundations, Athens, Greece, 79106.
Tazoh, T., Sato, M., Jang, J., & Gazetas, G. 2007. Centrifuge tests on remedial measure using batter piles
against liquefaction-induced soil flow after quay wall failure, Proceedings of the 2
nd
Greece-Japan
Workshop on Seismic Design, Observation and Retrofit of Foundations, Tokyo, Japan, 431-439.
Proceedings, 3rd Greece-Japan Workshop: Seismic Design, Observation, and Retrofit of Foundations. Santorini 2009
24






















Figure 1 Longitudinal sections and plan of the 1/30-scale centrifuge model
(scale unit: mm, for the prototype dimensions: multiply by 30. A vertical-pile foundation and a
batter-pile foundation without the presence of a superstructure were set parallel to each other in a soil
container which was filled with dry sand, and were excited simultaneously.)









Photograph 1 Testing Model
(The pile foundations have four piles.)
807
4
7
5
3
2
0
2
3
7
.
5
3
0
0
2
0
3
2
0
3
0
0
2
0
2
3
7
.
5
330
D-VF-X
D-BF-X
A-G-X1
10 10
A-G-X55
A-G-Z1

A-VF-Z
330
D-T-X1
A-G-X2
A-G-X3
A-G-X4
A-VF+Z
A-VF-X
A-BF-X
A-BF+Z A-BF-Z
A-G-X6 A-G-X7
A-G-X8 A-G-X9
S-VA130 S-VA230
S-VA2260
S-VA2190
S-VA2130
S-VA270
S-VA1260
S-VA1190
S-VA1130
S-VA170
S-BA230 S-BA130
S-BA1260
S-BA1190
S-BA1130
S-BA170
S-BA2260
S-BA2190
S-BA2130
S-BA270
D-G-X
A-G-X1
A-G-X55 A-G-Z1
D-G-Z
D-VF-X
D-BF-X
A-G-X6
A-G-X7
A-VF+Z A-VF-X
A-BS-X
A-BF-Z A-BF+Z
D-T-X1
D-G-Z
D-G-X
A-G-X4
X
Z
X
Z
X
Y
25 50 125 130
3
0
0
1
1
8

EV-P
EP-B
Accelerometer
Strain gauge
Noncontact displacement meter

Earth pressure meter


Vertical-pile f. model
Batter-pile f. model
Vertical-pile f. model
Batter- pile f. model
Proceedings, 3rd Greece-Japan Workshop: Seismic Design, Observation, and Retrofit of Foundations. Santorini 2009
25

Table 1 Scaling ratios of the testing model
Item Symbol Unit
Centrifuge
model
Prototype Scale
Sand
stratum
Depth H m 0.3 9 1/N
Density
t
KN/m
3
19.8 19.8 1
Structure
Width W m 0.05 1.5 1/N
Height H m 0.04 1.2 1/N
Mass M kg 0.785 21,195 1/N
3

Footing
Width W m 0.05 1.5 1/N
Height H m 0.03 0.9 1/N
Mass M kg 0.58875 15,896 1/N
3

Column
Width L m 0.006 0.18 1/N
Width
(shaking direction)
W m 0.004 0.12 1/N
Moment
of inertia of area
I m
4
3.20E-11 2.59E-05 1/N
4

Length L m 0.06 1.8 1/N
Pile
Diameter D m 0.01 0.3 1/N
Thickness t m 0.0002 0.006 1/N
Young's modulus E MN/m
2
2.06E+05 2.06E+05 1
Area A m
2
6.16E-06 5.54E-03 1/N
2

Moment
of inertia of area
I m
4
7.40E-11 5.99E-05 1/N
4

Normal stiffness EA MN 1.27E+00 1.14E+03 1/N
2

Bending stiffness EI MN-cm
2
1.52E-09 1.23E-03 1/N
4

Acceleration
Centrifuge g g 30 1 N
Earthquake Gal 6000 200 N
Other
parameters
Displacement m 1 30 1/N
Force F N 1 900 1/N
2

Stress kPa 1 1 1
Strain 1x10
-6
1x10
-6
1
Time t s 1 30 1/N
Frequency f Hz 30 1 N










Figure 2 Grain size accumulation curve of silica sand No. 7
(Mean particle diameter D
50
= 0.15 mm, Soil density
s
= 2.635 g/cm
3
,
Maximum dry density
max
= 1.539 g/cm
3
, Minimum dray density
min
= 1.206 g/cm
3
)
0
20
40
60
80
100
0.01 0.1 1
P
e
r
c
e
n
t

f
i
n
e
r

b
y

w
e
i
g
h
t

(
%
)
Grain size (mm)
D
50
=0.147mm
U
c
=1.63
G
s
=2.635
F
c
=5.2%

dmax
=1.539

dmin
=1.206

Proceedings, 3rd Greece-Japan Workshop: Seismic Design, Observation, and Retrofit of Foundations. Santorini 2009
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Table 2 Materials and dimensions of the test model
Parts Material & size
Laminar box 805mm, 475mm, 324mmInner size: length, width, depth
Soil deposit Dry sand: Silica No.7Dr 60Thickness: 300 mm
Vertical pile
Stainless steel
No. of piles422, Inclination angle: 0
Length: 270 mmDiameter:10 mmThickness: 0.2 mm
Batter pile
Stainless steel
No. of piles422, Inclination angle: 10
Length: 274 mmDiameter: 10 mmThickness: 0.2 mm
Footing
Steel
Thickness: 30 mmPlan size: 50 mm50 mm




Table 3 Installed sensors
(62 monitoring channels were installed, with the sensors comprising 17 accelerometers,
5 non-contact displacement meters, and 40 strain gauges.)
Transducer Location Direction Number Subtotal Total
Accelerometer
Batter pile
X 2
17
62
Z 2
Vertical pile
X 2
Z 2
Ground X 6
Base X 1
Table control X 1
Centrifugal acc. Z 1
Non-contact
displacement
meter
Batter pile X 1
5
Vertical pile X 1
Ground
X 1
Z 1
Base X 1
Strain gauge
Batter pile
Pile-BA1 10
40
Pile-BA2 10
Vertical pile
Pile-VA1 10
Pile-VA2 10

Proceedings, 3rd Greece-Japan Workshop: Seismic Design, Observation, and Retrofit of Foundations. Santorini 2009
27

Table 4 Test cases
Input Motion
Freq. of input
motion (Hz)
Max. acc. of input
motion (Gal)
Test case No.
Sweep test motion 1.7-10 Hz
5 1-1
15 1-2
30 1-3
Sinusoidal
excitation
3.5 Hz
50 2-1
100 2-2
200 2-3
El Centro record
El Centro record
N-S component
50 3-1
100 3-2
200 3-3





















Figure 3 Frequency transfer function of the ground surface obtained from sweep test
(5 Gal, 15 Gal, 30 Gal)

0
5
10
15
0 2 4 6 8 10
Sweep 5 Gal
Sweep 15 Gal
Sweep 30 Gal
A
m
p
l
i
f
i
c
a
t
i
o
n
Frequency (Hz)
Ground surface

-180
-90
0
90
180
0 2 4 6 8 10
Sweep 5 Gal
Sweep 15 Gal
Sweep 30 Gal
P
h
a
s
e

(
d
e
g
r
e
e
)
Frequency (Hz)
Ground surface
Proceedings, 3rd Greece-Japan Workshop: Seismic Design, Observation, and Retrofit of Foundations. Santorini 2009
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Figure 4 Frequency transfer function of the ground surface obtained from the El Centro record excitations
(50 Gal, 100 Gal, 200 Gal)












Figure 5 Comparisons of horizontal displacement and rotational angle of the footings between the
vertical-pile foundation and the batter-pile foundation (Sinusoidal excitation: 3.5 Hz, 200 Gal)


-180
-90
0
90
180
0 2 4 6 8 10
El Centro 50 Gal
El Centro 100 Gal
El Centro 200 Gal
P
h
a
s
e

(
d
e
g
r
e
e
)
Frequency (Hz)
Ground surface

-15
0
15
-0.8
0
0.8
Footing displacement
Footing rotation
D
i
s
p
.

(
m
m
)
R
o
t
a
t
i
o
n

(
d
e
g
.
)
Vertical pile
-10
0
10
-1.5
0
1.5
0 2 4 6 8 10
Footing displacement
Footing rotation
D
i
s
p
.

(
m
m
)
R
o
t
a
t
i
o
n

(
d
e
g
.
)
Time(sec)
Batter pile

0
10
20
30
0 2 4 6 8 10
El Centro 50 Gal
El Centro 100 Gal
El Centro 200 Gal
A
m
p
l
i
f
i
c
a
t
i
o
n
Frequency (Hz)
Ground surface

Proceedings, 3rd Greece-Japan Workshop: Seismic Design, Observation, and Retrofit of Foundations. Santorini 2009
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Figure 6 Comparisons of horizontal displacement and rotational angle of the footings between the
vertical-pile foundation and the batter-pile foundation (El Centro record: 200 Gal)










Figure 7 Kinematic responses of footings











(a) 50 Gal (b) 100 Gal (c) 200 Gal

Figure 8.1 Bending strain distributions of the vertical-pile foundation (pile-VA1) and the batter-pile
foundation (pile-BA1) obtained from the sinusoidal excitation of 3.5 Hz (50 Gal, 100 Gal, 200 Gal)

-30
0
30
-1
0
1
Footing displacement Footing rotation
D
i
s
p
.

(
m
m
)
R
o
t
a
t
i
o
n

(
d
e
g
.
)
Vertical pile
-30
0
30
-2
0
2
0 2 4 6 8 10
Footing displacement Footing rotation
D
i
s
p
.

(
m
m
)
R
o
t
a
t
i
o
n

(
d
e
g
.
)
Time(sec)
Batter pile
()
()
A-V_F-Z() A-V_F-Z()
A-V_F-X
()
A-B_F-Z () A-B_F-Z()
A-B_F-X
()

0 50 100
-9
-6
-3
0
Vertical pile
Batter pile
Bending strain (x10
-6
)
D
e
p
t
h

o
f

p
i
l
e

h
e
a
d

(
m
)
0 100 200
-9
-6
-3
0
Vertical pile
Batter pile
Bending strain (x10
-6
)
D
e
p
t
h

o
f

p
i
l
e

h
e
a
d

(
m
)
0 200 400
-9
-6
-3
0
Vertical pile
Batter pile
Bending strain (x10
-6
)
D
e
p
t
h

o
f

p
i
l
e

h
e
a
d

(
m
)
Proceedings, 3rd Greece-Japan Workshop: Seismic Design, Observation, and Retrofit of Foundations. Santorini 2009
30












(a) 50 Gal (b) 100 Gal (c) 200 Gal

Figure 8.2 Axial strain distributions of the vertical-pile foundation (pile-VA1) and the batter-pile
foundation (pile-BA1) obtained from the sinusoidal excitation of 3.5 Hz (50 Gal, 100 Gal, 200 Gal)















(a) 50 Gal (b) 100 Gal (c) 200 Gal

Figure 9.1 Bending strain distributions of the vertical-pile foundation (pile-VA1) and the batter-pile
foundation (pile-BA1) obtained from El Centro record (50 Gal, 100 Gal, 200 Gal)




0 25 50
-9
-6
-3
0
Vertical pile
Batter pile
Bending strain (x10
-6
)
D
e
p
t
h

o
f

p
i
l
e

h
e
a
d

(
m
)
0 50 100
-9
-6
-3
0
Vertical pile
Batter pile
Bending strain (x10
-6
)
D
e
p
t
h

o
f

p
i
l
e

h
e
a
d

(
m
)
0 75 150
-9
-6
-3
0
Vertical pile
Batter pile
Bending strain (x10
-6
)
D
e
p
t
h

o
f

p
i
l
e

h
e
a
d

(
m
)

0 50 100
-9
-6
-3
0
Vertical pile
Batter pile
Bending strain (x10
-6
)
D
e
p
t
h

o
f

p
i
l
e

h
e
a
d

(
m
)
0 150 300
-9
-6
-3
0
Vertical pile
Batter pile
Bending strain (x10
-6
)
D
e
p
t
h

o
f

p
i
l
e

h
e
a
d

(
m
)
0 200 400
-9
-6
-3
0
Vertical pile
Batter pile
Bending strain (x10
-6
)
D
e
p
t
h

o
f

p
i
l
e

h
e
a
d

(
m
)
Proceedings, 3rd Greece-Japan Workshop: Seismic Design, Observation, and Retrofit of Foundations. Santorini 2009
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(a) 50 Gal (b) 100 Gal (c) 200 Gal

Figure 9.2 Axial strains distributions of the vertical-pile foundation (pile-VA1) and the batter-pile
foundation (pile-BA1) obtained from El Centro record (50 Gal, 100 Gal, 200 Gal)



















Figure 10 Maximum values of the accelerations of the footings and the ground surfaces, and the
bending and axial strains at the pile-heads (Sinusoidal excitation: 3.5 Hz)

0 25 50
-9
-6
-3
0
Vertical pile
Batter pile
Bending strain (x10
-6
)
D
e
p
t
h

o
f

p
i
l
e

h
e
a
d

(
m
)
0 50 100
-9
-6
-3
0
Vertical pile
Batter pile
Bending strain (x10
-6
)
D
e
p
t
h

o
f

p
i
l
e

h
e
a
d

(
m
)
0 75 150
-9
-6
-3
0
Vertical pile
Batter pile
Bending strain (x10
-6
)
D
e
p
t
h

o
f

p
i
l
e

h
e
a
d

(
m
)


Proceedings, 3rd Greece-Japan Workshop: Seismic Design, Observation, and Retrofit of Foundations. Santorini 2009
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Figure 11 Maximum values of the accelerations of the footings and the ground surfaces, and the
bending and axial strains at the pile-heads (El Centro record)










(a) 5 Gal (b) 15 Gal (c) 30 Gal

Figure 12 Aseismicity of the batter-pile foundation: Comparison of the frequency transfer function
between the horizontal acceleration and input motion of the footing in the vertical-pile foundation and the
batter-pile foundation obtained from sweep tests (5 Gal, 15 Gal, 30 Gal)




0
2.5
5
7.5
10
0 2 4 6 8 10
Vertical pile
Batter pile
A
m
p
l
i
f
i
c
a
t
i
o
n
Frequency (Hz)
Footing
(Sweep 5 Gal)
0
2.5
5
7.5
10
0 2 4 6 8 10
Vertical pile
Batter pile
A
m
p
l
i
f
i
c
a
t
i
o
n
Frequency (Hz)
Footing
(Sweep 15 Gal)
0
2.5
5
7.5
10
0 2 4 6 8 10
Vertical-pile
Batter-pile
A
m
p
l
i
f
i
c
a
t
i
o
n
Frequency (Hz)
Footing
(Sweep 30 Gal)
Proceedings, 3rd Greece-Japan Workshop: Seismic Design, Observation, and Retrofit of Foundations. Santorini 2009
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(a) 50 Gal (b) 100 Gal (c) 200 Gal

Figure 13 Aseismicity of the batter-pile foundation: Comparison of the frequency transfer function
between the horizontal acceleration and input motion of the footing in the vertical-pile foundation and the
batter-pile foundation obtained from El Centro record (50 Gal, 100 Gal, 200 Gal)










(a) Bending strains







(b) Axial strains

Figure 14 Comparisons of the frequency transfer functions of the bending and axial strains of the piles
and input motion between the vertical-pile foundation and the batter-pile foundation (sweep tests)

0
2
4
6
8
10
0 2 4 6 8 10
Vertical pile
Batter pile
A
m
p
l
i
f
i
c
a
t
i
o
n
Frequency (Hz)
Footing
(El Centro 50 Gal)
0
2
4
6
8
10
0 2 4 6 8 10
Vertical pile
Batter pile
A
m
p
l
i
f
i
c
a
t
i
o
n
Frequency (Hz)
Footing
(El Centro 100 Gal)
0
2
4
6
8
10
0 2 4 6 8 10
Vertical pile
Batter pile
A
m
p
l
i
f
i
c
a
t
i
o
n
Frequency (Hz)
Footing
(El Centro 200 Gal)

0
1
2
3
4
5
0 2 4 6 8 10
Vertical pile
Batter pile
A
m
p
l
i
f
i
c
a
t
i
o
n

(
m
i
c
r
o
/
G
a
l
)
Frequency (Hz)
Sweep 5 Gal
Pile-A1 head
(Bending strain)
0
1
2
3
4
5
0 2 4 6 8 10
Vertical pile
Batter pile
A
m
p
l
i
f
i
c
a
t
i
o
n

(
m
i
c
r
o
/
G
a
l
)
Frequency (Hz)
Sweep 15 Gal
Pile-A1 head
(Bending strain)
0
1
2
3
4
5
0 2 4 6 8 10
Vertical pile
Batter pile
A
m
p
l
i
f
i
c
a
t
i
o
n

(
m
i
c
r
o
/
G
a
l
)
Frequency (Hz)
Sweep 30 Gal
Pile-A1 head
(Bending strain)

0
0.5
1
1.5
0 2 4 6 8 10
Vertical pile
Batter pile
A
m
p
l
i
f
i
c
a
t
i
o
n

(
m
i
c
r
o
/
G
a
l
)
Frequency (Hz)
Sweep 5 Gal
Pile-A1 head
(Axial strain)
0
0.5
1
1.5
0 2 4 6 8 10
Vertical pile
Batter pile
A
m
p
l
i
f
i
c
a
t
i
o
n

(
m
i
c
r
o
/
G
a
l
)
Frequency (Hz)
Sweep 15 Gal
Pile-A1 head
(Axial strain)
0
0.5
1
1.5
0 2 4 6 8 10
Vertical pile
Batter pile
A
m
p
l
i
f
i
c
a
t
i
o
n

(
m
i
c
r
o
/
G
a
l
)
Frequency (Hz)
Sweep 30 Gal
Pile-A1 head
(Axial strain)
Proceedings, 3rd Greece-Japan Workshop: Seismic Design, Observation, and Retrofit of Foundations. Santorini 2009
34







(a) Bending strains







(b) Axial strains

Figure 15 Comparisons of the frequency transfer functions of the bending and axial strains of the piles
and input motion between the vertical-pile foundation and the batter-pile foundation (El Centro record)












0
1
2
3
4
5
0 2 4 6 8 10
Vertical pile
Batter pile
A
m
p
l
i
f
i
c
a
t
i
o
n

(
m
i
c
r
o
/
G
a
l
)
Frequency (Hz)
El Centro 50 Gal
Pile-A1 head
(Bending strain)
0
1
2
3
4
5
0 2 4 6 8 10
Vertical pile
Batter pile
A
m
p
l
i
f
i
c
a
t
i
o
n

(
m
i
c
r
o
/
G
a
l
)
Frequency (Hz)
El Centro 100 Gal
Pile-A1 head
(Bending strain)
0
1
2
3
4
5
0 2 4 6 8 10
Vertical pile
Batter pile
A
m
p
l
i
f
i
c
a
t
i
o
n

(
m
i
c
r
o
/
G
a
l
)
Frequency (Hz)
El Centro 200 Gal
Pile-A1 head
(Bending strain)

0
0.5
1
1.5
0 2 4 6 8 10
Vertical pile
Batter pile
A
m
p
l
i
f
i
c
a
t
i
o
n

(
m
i
c
r
o
/
G
a
l
)
Frequency (Hz)
El Centro 50 Gal
Pile-A1 head
(Axial strain)
0
0.5
1
1.5
0 2 4 6 8 10
Vertical pile
Batter pile
A
m
p
l
i
f
i
c
a
t
i
o
n

(
m
i
c
r
o
/
G
a
l
)
Frequency (Hz)
El Centro 100 Gal
Pile-A1 head
(Axial strain)
0
0.5
1
1.5
0 2 4 6 8 10
Vertical pile
Batter pile
A
m
p
l
i
f
i
c
a
t
i
o
n

(
m
i
c
r
o
/
G
a
l
)
Frequency (Hz)
El Centro 200 Gal
Pile-A1 head
(Axial strain)
Proceedings, 3rd Greece-Japan Workshop: Seismic Design, Observation, and Retrofit of Foundations. Santorini 2009
35

1 INTRODUCTION
Batter piles have been used for a long time to resist large lateral loads from winds, water waves,
soil pressures, and impacts. Their distinct advantage over vertical piles is that they transmit the
applied loads partly in axial compression, rather than only through shear and bending. Thus,
batter piles offer larger stiffness and bearing capacity than same-diameter-and-depth vertical
piles a superiority of particular importance when the near-surface soils are soft and/or the
lateral load is large.
Despite these advantages, they do not enjoy a good reputation for seismic resistance.
Following the poor performance of batter piles in a series of earthquakes, the seismic behaviour
of inclined piles has been considered detrimental, and many codes require that such piles be
avoided. For instance, the French Seismic Code (AFPS 90) states flatly that Inclined piles
should not be used to resist seismic loads. The seismic Eurocode EC8 / Part 5, dealing with
geotechnics and foundations, is a little less restrictive, stating: It is recommended that no in-
clined piles be used for transmitting lateral loads to the soil. If, in any case, such piles are used,
they must be designed to carry safely axial as well as bending loading.
Case histories that have recently confirmed the potential for unsatisfactory performance of
improperlydesigned batter piles include the wharf in the Port of Oakland in the 1989 Loma
Kinematic and Inertial Behavior of Raked Piles
A. Giannakou
1
, N. Gerolymos
2
, G. Gazetas
2

1
Fugro West, Oakland, California, USA
2
National Technical University of Athens, Greece
ABSTRACT: Several aspects of the seismic response of groups containing non-vertical piles are
studied, including the lateral pile head stiffnesses, the kinematic pile deformation, and the
inertial soil-pile-structure response. A key goal is to explore the conditions under which the
presence of batter piles is beneficial, indifferent, or detrimental. Parametric analyses are carried
out using 3D finite element modeling, assuming elastic behavior of soil, piles, and superstruc-
ture. The model is first utilized to obtain the lateral stiffnesses of single batter piles and to show
that its results converge to the available solutions from the literature. Then, real accelerograms
covering a broad range of frequency characteristics are employed as base excitation of simple
fixed-head 2-pile group configurations, embedded in homogeneous, inhomogeneous, and
layered soil profiles, while supporting very tall or very short structures. Five pile inclinations are
considered while the corresponding verticalpile group results serve as reference. It is found
that in purely kinematic seismic loading, batter piles tend to confirm their negative reputation,
as had also been found recently for a group subjected to static horizontal ground deformation.
However, the total (kinematic plus inertial) response of structural systems founded on groups
of batter piles offers many reasons for optimism. Batter piles may indeed be beneficial (or
detrimental) depending on, among other parameters, the relative size of the overturming
moment versus the shear force transmitted onto them from the superstructure.
Proceedings, 3rd Greece-Japan Workshop: Seismic Design, Observation, and Retrofit of Foundations. Santorini 2009
36
Prieta earthquake (M
s
= 7.1), the Port of Los Angeles in the 1994 Northridge earthquake (M
s
=
6.8), and the Rio Banano and the Rio Vizcaya Bridges in the 1991 Costa Rica earthquake (M
s
=
7.5). The bad reputation of batter piles has been reinforced by these incidents. The culmination
was the following statement in the ASCE monograph on Seismic Design of Port and Harbor
Facilities : The use of batter piles in ports is typically not encouraged because of their poor
seismic performance during past earthquakes. [Technical Council on Lifeline Earthquake En-
gineering 2001, Kavazanjian, 2006].
However, a more thorough investigation on the causes of these failures, showed that the in-
adequate reinforcement in the top of the piles and also the improper connection of piles to their
caps were the culprits of the observed damage (Mitchell et al, 1991; Priestley et al, 1991) a
result of the early isostatic method of analysis which assumed that batter piles transmit only
axial load.
But what if batter piles were properly designed to resist the developed moment and shear
loads at their head ? And if, furthermore, they were designed to posses sufficient ductility at the
head and the connection to the cap ? Would their seismic behavior still remain poor ?
A goal of this paper is to give at least a partial answer to these questions. Indeed, in recent
years, evidence has been accumulating that well-designed batter piles may not only have a satis-
factory performance themselves, but may also be beneficial for the structure they support. Re-
cent research on the seismic response of batter piles and micropiles (Guin, 1997; Lam and Mar-
tin, 1987; Sadek and Shahrour, 2004 and 2006) has shown that the seismic response of a
structure may improve in many respects when supported by inclined piles. Moreover, case his-
tories referring to the Maya Warf in the Kobe 1995 earthquake and the Landing Road Bridge in
the Edgecumbe New Zealand 1987 earthquake have highlighted the potential help provided by
inclined piles (Berril et al 2001, Gazetas & Mylonakis 1998).
As a result of the improved understanding of the source of the observed poor performance,
batter piles in recent years seem to have been re-established in their traditional role of with-
standing large horizontal loads applied to deep foundations (as pointed out in an enlightening
professional article by Kavazanjian, 2006). The piers for the new San Francisco Bay Bridge
East Span present a characteristic example of this trust in batter piles to carry huge lateral seis-
mic loads in very soft soil.
Presently, research on the seismic response of batter piles has been rather limited (Juran et al,
2001; Sadek and Shahrour, 2004 and 2006; Okawa et al, 2005; Poulos, 2006 ; Deng et al, 2007 ;
and Ravazi et al, 2007). Aiming at filling part of this gap, we study several aspects of the
seismic response of batter piles through parametric 3D analyses employing the FE method. Only
the idealized case of linear viscoelastic soil response is treated here the shortcomings of line-
arity will be explored in a forthcoming companion paper, but the conclusions drawn in this
study remain qualitatively valid even in the presence of soil nonlinearities.
The first part of the paper outlines the numerical model and shows its consistency with avail-
able analytical results.
2 PROBLEM DEFINITION AND FINITE ELEMENT MODELING
The seismic behavior of symmetric 2 x 1 group configurations with piles battered at various
angles is investigated using ABAQUS. Batter angles commonly encountered in practice are
considered, such as 5
o
15
o
, in addition to the less usual cases of 20
o
and 25
o
. The vertical fixed-
head pile group is used as a reference for delineating the role of pile inclination. Figure 1 depicts
the finite element meshes of the six configurations. All piles are of Youngs modulus E
P
= 30
GPa, diameter d = 1 m, and the depth to their tip is L = 15 m. The center-to-center distance, s,
between the piles at pilehead elevation is three pile diameters (S = 3d). The piles are rigidly
connected to a perfectlyrigid pile cap. The massandcolumn superstructure is modeled as a
single degree of freedom oscillator. The concentrated superstructure mass M
str
is such that the
load per pile in each configuration is 1.0 MN typical of actual pile designs. In all cases
studied, the fundamental period of the superstructure is 0.44 sec and of the soil 0.29 sec.

Proceedings, 3rd Greece-Japan Workshop: Seismic Design, Observation, and Retrofit of Foundations. Santorini 2009
37
= 15

= 20

= 25

= 0

= 5

= 10

= 15

= 20

= 25

= 0

= 5

= 10

s1

s2

s1

s2
3.5 d
I II III IV

s
z / d
T
s
= 0.29 s
Soil Profiles
11.5 d

3d
L

=

1
5

m
d = 1 m

s
z

s1

s2

s1

s2
3.5 d
I II III IV

s
z / d
T
s
= 0.29 s
Soil Profiles
11.5 d

3d
L

=

1
5

m
d = 1 m

s

Figure 1.The six studied pile group configurations and the corresponding 3-D finite element models.


Four idealized soil profiles are considered : (a) a homogenous, (b) a nonhomogenous Gib-
son soil, (c) a two-layer profile with a bottom stiffer layer, and (d) a two-layer profile with a
top stiffer layer [crust] (Figure 2).
Both pile and soil are linear visco-elastic. Soil is modeled with eight-noded brick elements
while the piles are represented with a series of beam elements rigidly linked to the peripheral
nodes in order to properly model the pile geometry. The performed mesh sensitivity study
revealed that an element dimension of 0.5 m (i.e., one pile radius) leads to nearly accurate
results. Appropriate kinematic constraints are imposed to the lateral edges of the model, allow-
ing it to move as the free field, while elementary transmitting boundaries (V dashpots) ab-
sorb much of the wave energy emitted from the oscillating piles.
Three real acceleration time histories, covering a wide range of frequencies, are used as base
excitation: (i) The record of the 2003 Lefkada M
s
6.4 earthquake: PGA = 0.42 g, dominant pe-
riod range T
p
0.20.65 sec, [Gazetas et al., 2005]; (ii) the rock outcrop motion of the 1995 Ae-
gion M
s
6.2 earthquake : PGA = 0.39 g, dominant period range T
p
0.140.6 sec [Gazetas,
1996]; and (iii) the JMA record of the 1995 M
JMA
= 7.2 Kobe earthquake PGA = 0.83 g, T
p

0.251.0 sec [Architectural Institute of Japan, 1995].



Figure 2.Problem geometry and the four soil profiles.
Proceedings, 3rd Greece-Japan Workshop: Seismic Design, Observation, and Retrofit of Foundations. Santorini 2009
38
3 STATIC STIFFNESSES, CONVERGENCE TO PUBLISHED SOLUTIONS
As a starting point, the static stiffnesses of a single batter pile are computed and contrasted with
available solutions for vertical (Poulos & Davis 1980, Gazetas 1991) and batter (Poulos 1980)
piles in Figures 3 and 4. For a homogeneous soil stratum of thickness H, which exceeds the
depth L to the pile tip (Soil Model I), our numerical (FE) results are compared with those com-
puted : (a) on the basis of Poulos (1980) and Poulos & Daviss (1980) approximation for angles
of batter = 0

and 25
o
, and (b) the approximate closed-form expressions of Gazetas (1991) for
a vertical pile. The latter were developed using the Blaney & Roesset (1976) innovative
dynamic finite-element which incorporates perfect transmitting boundaries. Figure 3 depicts the
variation of the normalized lateral static stiffnesses, K
HH
, K
RR
, K
HR
, as functions of the ratio
E
p
/E
s
of the pile and soil Youngs moduli, and the angle of batter as a parameter. We draw the
following conclusions :
The rocking K
RR
and, especially, the cross-coupled horizontalrocking K
HR
stiffnesses are
essentially independent of : vertical and battered piles have nearly identical response, as
expected by Poulos 1980 simplification (Poulos & Madhav 1971, Poulos & Davis 1980).
Therefore the closed-form expressions developed for vertical piles (Gazetas 1991),
( )
0 75
3
0 15
RR s p s
K E d E E
.
. (1)
( )
0 50
2
0 22
HR s p s
K E d E E
.
. (2)

are in excellent accord with both the FE results of this study and Poulos approximation.
The above expressions can therefore be used even with batter piles.
The horizontal stiffness K
HH
exhibits a small dependence on . Both the FE analysis and
Poulos approximation show that stiffness increases by about 30% on average when
increases from 0
o
to 25
o
. In percentage, the difference declines with increasing E
P
/E
s
ratio.
The results of the Poulos (1980) and Gazetas (1991) approximations only slightly underes-
timate the finite results. The following simple expression :
( ) ( )
2
0.21 tan
2
1.08 1 4 tan +
HH s p s
K E d E E

(3)
has been developed by fitting the FE results for batter piles. It will suffice in practical
applications for any angle .
For the linearly-inhomogeneous stratum (Gibson Soil) with Youngs modulus of the form :
( ) ( ) =
s
E z E z d (4)
in which apparently E
S
= is the modulus at one-diameter depth, similar conclusions can be
drawn from Figure 4 :
The rocking and cross swaying-rocking stiffnesses, K
RR
and K
HR
, are again practically
unaffected by the inclination of the pile, while they are sensitive to the E
P
/E
S
ratio. The
Poulos (1980) and Gazetas (1991) approximations are again in excellent accord with the
present FE results. Thus the expressions developed for vertical piles
( )
0 80
3
0 15
RR s p s
K E d E E
.
. (5)
( )
0 60
2
0 17
HR s p s
K E d E E
.
. (6)


provide very good estimates for all values of . (he reader should notice that E
S
, the
modulus at depth z = d, in the above Eqns has a different meaning from the constant E
S

modulus of Eqns 13.)


Proceedings, 3rd Greece-Japan Workshop: Seismic Design, Observation, and Retrofit of Foundations. Santorini 2009
39
0
0
0
0
0
0
E
d
L

L
(z)
E
s
100 1000 10000 100000
E
p
/ E
s
= 0 [Poulos, 1980]
= 25
o
[Poulos, 1980]
= 0 [Gazetas, 1991]
= 0 [FE Analysis]
= 25
o
[FE Analysis]
12
10
8
6
4
5
0
200
160
120
80
40
0
30
25
20
15
10
5
0
K
H
H

/

E
s
d
K
R
R

/

E
s
d
3
K
H
R

/

E
s
d
2
=25
o
=0
o
all
0
0
0
0
0
0
E
d
L

L
(z)
E
s
E
d
L

L
(z)
E
s
100 1000 10000 100000
E
p
/ E
s
= 0 [Poulos, 1980]
= 25
o
[Poulos, 1980]
= 0 [Gazetas, 1991]
= 0 [FE Analysis]
= 25
o
[FE Analysis]
12
10
8
6
4
5
0
200
160
120
80
40
0
30
25
20
15
10
5
0
K
H
H

/

E
s
d
K
R
R

/

E
s
d
3
K
H
R

/

E
s
d
2
=25
o
=0
o
all


Figure 3. Normalized static stiffnesses of single pile : (a) swaying, (b) rocking, and (c) cross swaying
rocking for batter angle = 0
o
and 25
o
as a function of pile-soil stiffness ratio E
p
/ E
s
(L/d = 15, homoge-
nous soil). Comparison with solution for vertical and inclined piles from the literature.


Proceedings, 3rd Greece-Japan Workshop: Seismic Design, Observation, and Retrofit of Foundations. Santorini 2009
40
100 1000 10000 100000
E
p
/ E
s
= 0 [Poulos, 1980]
= 25
o
[Poulos, 1980]
= 0 [Gazetas, 1991]
= 0 [FE Analysis]
= 25
o
[FE Analysis]
E
d
L

L
(z)
E
s
z/d
60
50
40
30
20
10
0
300
250
200
150
100
50
0
54
45
36
27
18
9
0
=25
o
=0
o
all
K
H
H

/

E
s
d
K
R
R

/

E
s
d
3
K
H
R

/

E
s
d
2
100 1000 10000 100000
E
p
/ E
s
= 0 [Poulos, 1980]
= 25
o
[Poulos, 1980]
= 0 [Gazetas, 1991]
= 0 [FE Analysis]
= 25
o
[FE Analysis]
E
d
L

L
(z)
E
s
z/d
E
d
L

L
(z)
E
s
z/d
60
50
40
30
20
10
0
300
250
200
150
100
50
0
54
45
36
27
18
9
0
=25
o
=0
o
all
K
H
H

/

E
s
d
K
R
R

/

E
s
d
3
K
H
R

/

E
s
d
2


Figure 4. Normalized static stiffnesses of single pile : (a) swaying, (b) rocking, and (c) cross swaying
rocking for batter angles = 0
o
and 25
o
as a function of pile-soil stiffness ratio E
p
/ E
s
(L/d = 15, inho-
mogenous Gibson soil). Comparison with solution for vertical and inclined piles from the literature.



Proceedings, 3rd Greece-Japan Workshop: Seismic Design, Observation, and Retrofit of Foundations. Santorini 2009
41
On the contrary, the horizontal stiffness K
HH
is very sensitive to the batter angle . ncreasing
25

approximately doubles the stiffnesses according to our FE results, or triples them


according to Poulos approximation for all values of the E
P
/E
S
ratio. We note that Poulos
(1980) solution is based on an (additional) approximation, necessary to handle the soil
inhomogeneity while still utilizing Midlins solution for a homogeneous halfspace (Poulos
1979) . This may be the cause of some inaccuracy which shows up with large pile
inclinations. The FE results for batter piles have been fitted with the expression :
( ) ( )
( )
2
0.35 1 0.5tan
0.60 1 tan
+
+
HH s p s
K E d E E

(7)
It applies to flexible piles (L/d >10) ; for = 0 it reduces to the expression of Gazetas (1991).
Note that all the above expressions (Eqns 13 , 57 ) apply only for floating piles. If the pile
bears on a rigid base, the effect of becomes more prominent, noticeable even for K
RR
and K
HR
.
It is also worth noting that the pile slenderness ratio, L/d, plays a more significant role with
batter piles of large inclination than with vertical piles, because the axial stiffness which affects
K
HH
of batter piles is more sensitive to pile length ; while by contrast the stiffness K
HH
of a
vertical pile is essentially unaffected by L (at least for flexible pile ; e.g., Randolph, 1979).
4 KINEMATIC RESPONSE OF INCLINED PILE GROUPS
The kinematic response of vertical piles has been thoroughly studied by several researchers
including Flores-Barrones & Whitman (1982), Kaynia & Kausel (1982), Dobry & O Rourke
(1983), Harada et al (1981), Gazetas (1984), Fan et al (1991), Kavvadas & Gazetas (1993),
Bentley and El Naggar (2000), Nikolaou et al (2001), Takewaki & Kishida (2005). However,
little attention has been paid to the kinematic response of groups containing inclined piles.
Among the few exceptions: Sadek & Shahrour (2006) studied the seismic response of inclined
micropiles subjected to a sinusoidal motion at the eigenfrequency of the soil profile, and showed
that for kinematic loading a group of four symmetrically inclined micropiles exhibits lower
values of lateral acceleration at the cap level and larger values of internal forces in the piles
compared to a group of vertical micropiles. Deng et al (2007) performed kinematic analysis for
a large pile group containing inclined piles and found that kinematic loading can have a major
impact on the magnitude of the maximum axial force that develops in the batter piles. In their
study, such piles developed 5 to 8 times greater axial forces than the vertical piles.
The maximum values of the bending moments that develop for all motions and all soil pro-
files is summarized in Figure 5. Several trends are worthy of note :
One advantage of groups with batter piles is the reduction of the lateral displacement at the
pile cap. Evidently, the incompatibility between freefield and inclinedpile displacement
profiles becomes more pronounced as the inclination increases. A profound effect of in-
creased angle of batter is the increase and, more importantly, the change in direction of the
pilehead rotation. In other words, for the soil and pile group moving to the right, the cap
rotates counter-clockwise.
It is interesting to note that the above conclusions are similar to those recently presented by
Poulos (2006). Applying to a group of 6 rigidly-capped piles a triangular horizontal
ground displacement (with the maximum at the surface) he also found that the group
rotation is profoundly affected by the rake angle, and that for 15
o
angle of batter the
group rotation is more than four times greater than, and in the opposite direction to that
for vertical piles. (Poulos 2006, p. 799).
The bending moments and axial forces that develop in fixed-head pile groups containing
batter piles are larger than in the vertical group, in the case of the Gibson soil. Kinematic
interaction has a major effect on the maximum seismic load of batter piles. While the hori-
zontal motion of the soil during the passage of seismic waves tends to cause mainly lateral
motion of vertical piles (and thus they develop mainly shear and moment), inclined piles
experience significant axial forces as well.
These effects are largest in the homogeneous soil profile. However, in profiles where a stiff
soil layer is present (i.e., III and IV) the maximum bending moment that develops does not
vary significantly with pile inclination (Figures 5c and 5d).
Proceedings, 3rd Greece-Japan Workshop: Seismic Design, Observation, and Retrofit of Foundations. Santorini 2009
42
0
o
5
o
10
o
15
o
20
o
25
o
0
o
5
o
10
o
15
o
20
o
25
o
m
a
x

M
k

/


m
a
x

M
k


v
e
r
t
i
c
a
l

g
r
o
u
p
3.5
3
2.5
2
1.5
1
0.5
0
3.5
3
2.5
2
1.5
1
0.5
0
3.5
3
2.5
2
1.5
1
0.5
0
3.5
3
2.5
2
1.5
1
0.5
0
(a) (b)
(c) (d)
0
o
5
o
10
o
15
o
20
o
25
o
0
o
5
o
10
o
15
o
20
o
25
o
m
a
x

M
k

/


m
a
x

M
k


v
e
r
t
i
c
a
l

g
r
o
u
p
3.5
3
2.5
2
1.5
1
0.5
0
3.5
3
2.5
2
1.5
1
0.5
0
3.5
3
2.5
2
1.5
1
0.5
0
3.5
3
2.5
2
1.5
1
0.5
0
0
o
5
o
10
o
15
o
20
o
25
o
0
o
5
o
10
o
15
o
20
o
25
o
0
o
5
o
10
o
15
o
20
o
25
o
0
o
5
o
10
o
15
o
20
o
25
o
m
a
x

M
k

/


m
a
x

M
k


v
e
r
t
i
c
a
l

g
r
o
u
p
3.5
3
2.5
2
1.5
1
0.5
0
3.5
3
2.5
2
1.5
1
0.5
0
3.5
3
2.5
2
1.5
1
0.5
0
3.5
3
2.5
2
1.5
1
0.5
0
(a) (b)
(c) (d)


Figure 5. Kinematic response of rigidlycapped 2pile group: normalized peak maximum bending mo-
ment along the pile. Normalization with respect to the response of the group of vertical piles (maximum,
minimum, and average values from the three accelerograms [Lefkada, Aegion, JMA]). The results refer to
the configuration and piles shown in grey at the bottom of the figure. (T
soil
= 0.29 s)


In order to understand these differences among the developing moments in the four soil pro-
files, we need to consider the two sources of kinematic straining of batter piles. First and most
obvious cause is the existence of an abrupt change in stiffness between two successive soil
layers (profiles III and IV). In this case the largest bending moment is generated at or near the
interface of the two layers as is well known from the studies on vertical piles (Dobry and
ORourke, 1983; Nikolaou and Gazetas, 1997), and hence it is practically independent of pile
inclination. (Note that this source of kinematic straining of deep foundations is recognized in
some recent codes [e.g., EC8].
The second, and perhaps more important, source of kinematic straining is the constraint im-
posed by the rigid pile cap. In this case the maximum kinematic bending moment develops at or
near the pile head (and will be later added to the inertial bending moment generated by the
oscillation of the superstructure), in contrast to the aforementioned case where the maximum
bending moment is generally developed at greater depths. In the case of the homogenous soil,
the E
P
/E
S
ratio near the soil surface is relatively small ; therefore the increase of batter angle
leads to significantly larger values of bending moment due to the increase in lateral stiffness. In
case of Gibson soil, however, the E
P
/E
S
ratio near the soil surface is very large, and the
additional stiffness provided by the pile inclination leads to smaller increase in bending
moments (in the order of 1.5 times the bending moment in the vertical pile compared to 3 in the
case of the homogenous soil).
5 SOILPILESTRUCTURE INTERACTION
The influence of the (super)structure on the seismic response of groups with batter piles is con-
sidered in this section. Specifically, to illustrate the effect of structural height, two one-degree-
of-freedom oscillators are studied, modelling: (i) a tall slender structure (H
st
= 12 m) whose cru-
Proceedings, 3rd Greece-Japan Workshop: Seismic Design, Observation, and Retrofit of Foundations. Santorini 2009
43
H
str
= 12 m
H
str
= 1 m
0
o
5
o
10
o
15
o
20
o
25
o
3
2.5
2
1.5
1
0.5
0
m
a
x
M
k
+
i
m
a
x
M
k
+
i
,

f
o
r
v
e
r
t
i
c
a
l

g
r
o
u
p
H
str
= 12 m
H
str
= 1 m
0
o
5
o
10
o
15
o
20
o
25
o
3
2.5
2
1.5
1
0.5
0
m
a
x
M
k
+
i
m
a
x
M
k
+
i
,

f
o
r
v
e
r
t
i
c
a
l

g
r
o
u
p
H
str
= 12 m
H
str
= 1 m
H
str
= 12 m
H
str
= 1 m
0
o
5
o
10
o
15
o
20
o
25
o
0
o
5
o
10
o
15
o
20
o
25
o
3
2.5
2
1.5
1
0.5
0
m
a
x
M
k
+
i
m
a
x
M
k
+
i
,

f
o
r
v
e
r
t
i
c
a
l

g
r
o
u
p
cial loading is the overturning moment, an example being a tall bridge pier, and (ii) a short
structure (H
str
= 1 m) whose crucial loading is the shear force. The fundamental fixed-base pe-
riod of the two structures is kept constant, 0.44 sec. The groups are embedded in the non-
homogenous Gibson-type profile (II).
Pile distress and the role of batter are highly dependent on the type of crucial loading (mo-
ment versus shear). Figures 6 and 7 summarize in dimensionless form of the maximum bending
moment and axial force that develop in the piles of the two structures, for all earthquake excita-
tions. Note that groups with batter piles lead to small lateral displacement in earthquake
shaking. Horizontal displacements decrease invariably for both structures as the inclination
increases. However, groups with inclined piles develop larger cap rotations regardless of the
type of structure they support !
The bending moment experienced by batter piles supporting a tall structure is larger than by
vertical piles (Figure 6). The bending moment increases monotonically with pile rake. This
conclusion is valid even for large fixed-base fundamental structural periods where the inertial
effect is limited. Proper reinforcement of the pile-cap connection is necessary for undertaking
safely this bending moment and for securing adequate inelastic deformation in an unpredictably
large earthquake motion. On the contrary, groups with inclined piles supporting a short structure
develop smaller bending moments than the vertical group. This observation is in agreement with
other published numerical and experimental studies (Sadek and Shahrour, 2004; Okawa et al.,
2005; Sadek and Shahrour, 2006), and is also compatible with the prevailing engineering
perception about the role of batter piles, as will be explained in the sequel. However, when the
contribution to bending moment from inertial loading of the structure is small (i.e. flexible
structures with very large fundamental periods), the contribution to bending moment from the
kinematic deformation of the pile prevails and batter piles may suffer larger bending moments
than vertical piles.




Figure 6. Total (kinematic + inertial) response: normalized peak maximum bending moment along the
pile supporting a short (H
str
= 1 m) and a tall (H
str
= 12 m) structure. Normalization with respect to the re-
sponse of the group of vertical piles (maximum, minimum, and average values from the three accelero-
grams [Lefkada, Aegion, JMA]). The results refer to the configuration and piles shown (in grey) at the
bottom of the figure. (Gibson soil, T
s
= 0.29 s, E
p
/ E
s
= 1000, T
str
= 0.44 s)



Proceedings, 3rd Greece-Japan Workshop: Seismic Design, Observation, and Retrofit of Foundations. Santorini 2009
44
0
o
5
o
10
o
15
o
20
o
25
o
2.5
2
1.5
1
0.5
0
H
str
= 1 m
H
str
= 12 m
m
a
x
N
k
+
i
m
a
x
N
k
+
i
,

f
o
r
v
e
r
t
i
c
a
l

g
r
o
u
p
0
o
5
o
10
o
15
o
20
o
25
o
0
o
5
o
10
o
15
o
20
o
25
o
2.5
2
1.5
1
0.5
0
H
str
= 1 m
H
str
= 12 m
H
str
= 1 m
H
str
= 12 m
m
a
x
N
k
+
i
m
a
x
N
k
+
i
,

f
o
r
v
e
r
t
i
c
a
l

g
r
o
u
p


Figure 7. Total (kinematic + inertial) response: normalized peak maximum axial force along the pile sup-
porting a short (H
str
= 1 m) and a tall (H
str
= 12 m) structure. Normalization with respect to the response of
the group of vertical piles (maximum, minimum, and average values from the three accelerograms [Le-
fkada, Aegion, JMA]). The results refer to the configuration and piles shown (in grey) at the bottom of the
figure. (Gibson soil, T
s
= 0.29 s, E
p
/ E
s
= 1000, T
str
= 0.44 s).


Perhaps surprisingly, groups of inclined piles supporting a tall structure attract smaller axial
forces than those of the group with vertical piles (Figure 7) ! This must be attributed to the
disproportionately large overturning moment resisted mainly by axial reactions of the vertical
piles. However, batter piles embedded in relatively stiff soils (small E
P
/E
S
ratio) and supporting
structures with large (fixed-base) fundamental periods may develop larger axial forces than the
vertical piles owing to the larger contribution of the kinematic soil-pile interplay to their seismic
response. In stark contrast, in the case of a short structure, inclined piles develop larger axial
forces than the vertical piles. This maximum, however, occurs at great depths (in the order of 10
pile diameters) and is mainly due to the kinematic interaction of the pile with the soil.
To better understand the differences in the distress of batter piles supporting a tall and a short
structure, we compare the snapshots of displacement of a vertical and a 25
o
batter pile group,
supporting either a short (H
ostr
= 1 m) and a tall (H
ostr
= 12 m) structure. Figure 8 portrays the
comparison. Notice that in the case of the batter group supporting a short structure (Figure 8a)
the displacementrotation of the pile cap is out-of-phase with the displacement of the structure.
This is not the case with the tall structure : cap rotation and structure are nearly in-phase.
Figures 9 and 10 attempt to illustrate schematically the mechanisms through which the iner-
tial forces of the superstructure are undertaken. Our goal is to convince that the presented re-
sults are explainable (hence reasonable), and at the same time to develop a deeper understanding
of the problem mechanics.
With the short structure, where the inertial shear force dominates, the vertical group develops
primarily a pair of shear forces, and only secondarily bending moments due to the rotation fixity
at the cap (Figure 9a). Axial forces at the vertical piles are negligible.
By contrast, a horizontal shear force on the cap of a batter pile group results in the develop-
ment of both shear and axial forces in each pile. In fact, since the lateral pile deformation far ex-
ceeds the deformation due to the axial forces, the arrows of the shearforce vectors define quali-
tatively the rotation of the cap (Figure 9b).



Proceedings, 3rd Greece-Japan Workshop: Seismic Design, Observation, and Retrofit of Foundations. Santorini 2009
45
(a)
(b)
(a)
(b)
Q
Q / 2
N 0

1
Q
1

2
Q
2
Q
(a)
(b)

Q
Q / 2
N 0

1
Q
1

2
Q
2
Q
(a)
(b)



Figure 8. Exaggerated snapshots of the deformed shapes of groups with vertical piles (left-hand side) and
inclined (right-hand side) supporting: (a) short (H
str
= 1 m) and (b) tall (H
str
= 12 m) superstructures in
Gibson soil




Figure 9. Mechanisms for undertaking the inertial forces of a short superstructure for : (a) vertical, and
(b) inclined pile groups. The vectors indicate the forces imposed from the on the piles. The dashed lines
correspond to the location of the cap if the axial displacements of the piles are completely ignored.
Proceedings, 3rd Greece-Japan Workshop: Seismic Design, Observation, and Retrofit of Foundations. Santorini 2009
46
M
q
f
M
q
f
M
q
f
With the tall structure, where the overturning moment dominates, the vertical piles are sub-
jected to a pair of axial forces that undertake most of this load (Figure 10a). Secondarily, head
moments develop due to pile fixity to the cap. In stark contrast, batter piles may undertake this
large moment mainly largely by flexure [bending] (Figure 10b). As a result, substantial cap
rotations take place. Indeed, the capped batter piles are now rotationally more flexible than the
capped vertical piles! To elucidate why, imagine two piles inclined at very large (certainly un-
realistic) angles (Figure 11) with a large overturning moment applied on the cap : replacing
conceptually the soil with Winkler springs, one can realize that the piles will unavoidably bend,
activating these springs alternately in tension and compression, near the cap, q. The (remaining)
portion of the load, undertaken by the framing action of the piles activates the friction, f, at the
pile-soil interface, would be very small (equal to zero in the extreme [unrealistic, of course] case
of two piles inclined at 90
o
).



Figure 11. Mechanisms for undertaking the inertial forces of a short superstructure for : (a) vertical, and
(b) inclined pile groups. The vectors indicate the forces imposed from the on the piles. The dashed lines
correspond to the location of the cap if the axial displacements of the piles are completely ignored.


Having analysed the mechanics of the pile distress, let us examine the structural distress. Di-
mensionless diagrams for the drift of the superstructure are presented in Figure 12. The
horizontal drift when the structure is supported on a group of batter piles is generally smaller
than with the exclusivelyvertical pilegroup . This reduction of structural distress is
appreciable only with the tall structure, and is attributed to the observed simultaneous
occurrence of smaller horizontal cap displacement, and larger cap rotation with the group of
batter piles. Increased pile batter relates to smaller structural distress and smaller horizontal
displacement of the mass, at the cost of larger cap rotation.
6 CONCLUSIONS
This paper has tried to contribute towards a better understanding of the seismic behavior of bat-
ter piles, which may under certain circumstances be beneficial rather than detrimental, for both
the structure they support and the piles themselves. Admittedly, the linear approximation of the
SSI phenomena is not without shortcomings. Phenomena created by strong nonlinearities of the
soil, such as permanent soil deformations due to extensive soil plastification, residual bending
moments on the piles etc, cannot be captured by linear (or equivalent linear) FE analyses. None-
theless, valuable insight is gained into the description, understanding, and explanation of the be-
havior of batter piles. The main conclusions are as follows :
1) The purely kinematic response of batter piles tends to confirm their negative reputation :
the parametric analyses show that they experience larger bending moments than vertical
piles. Moreover, batter piles exhibit significantly larger axial forces than vertical piles for
all four idealized profiles, due to exclusively horizontal shaking of the soil. In fact both of
these internal forces increase as the angle increases. This conclusion is in full accord with
the conclusion of a recent study by Poulos (2006) who imposed on the piles a lateral static
ground displacement linearly decreasing with depth, and thus not very different in shape
from the first mode free-field displacements that is the main source of kinematic pile
straining in our study.
Proceedings, 3rd Greece-Japan Workshop: Seismic Design, Observation, and Retrofit of Foundations. Santorini 2009
47
0
o
5
o
10
o
15
o
20
o
25
o
1.4
1.2
1
0.8
0.6
0.4
0.2
0
H
str
= 1 m
H
str
= 12 m m
a
x

U
s
t
r
m
a
x

U
s
t
r
,

f
o
r
v
e
r
t
i
c
a
l

g
r
o
u
p
0
o
5
o
10
o
15
o
20
o
25
o
1.4
1.2
1
0.8
0.6
0.4
0.2
0
H
str
= 1 m
H
str
= 12 m m
a
x

U
s
t
r
m
a
x

U
s
t
r
,

f
o
r
v
e
r
t
i
c
a
l

g
r
o
u
p
0
o
5
o
10
o
15
o
20
o
25
o
1.4
1.2
1
0.8
0.6
0.4
0.2
0
H
str
= 1 m
H
str
= 12 m m
a
x

U
s
t
r
m
a
x

U
s
t
r
,

f
o
r
v
e
r
t
i
c
a
l

g
r
o
u
p
m
a
x

U
s
t
r
m
a
x

U
s
t
r
,

f
o
r
v
e
r
t
i
c
a
l

g
r
o
u
p



Figure 12. Total (kinematic + inertial) response: normalized peak maximum horizontal drift of a short
(H
str
= 1 m) and a tall (H
str
= 12 m) structure. Normalization with respect to the response of the group of
vertical piles (maximum, minimum, and average values from the three accelerograms [Lefkada, Aegion,
JMA]). (Gibson soil, T
soil
= 0.29 s, E
p
/ E
s
= 1000, T
str
= 0.44 s).


2) However, the total (kinematic plus inertial) response of structural systems founded on
groups of batter piles offers many reasons for optimism. It has been shown that the role of
batter may be quite beneficial or detrimental depending on the relation between shear force
and overturning moment. Specifically, a tall (slender) structure and a short (squatty) struc-
ture have been selected, as two extreme cases : large moment and small shear charac-
terizes the tall structure; large shear and small moment the short one.
3) For the batter piles supporting a tall slender structure we conclude that :
(a) Configurations with batter piles undergo smaller horizontal displacements than the
vertical group, but at the same time they develop larger cap rotations, often outof
phase with lateral displacements.
(b) The bending moment in batter piles is larger than in vertical piles. In fact, the bending
moment increases as the pile rake increases. Proper reinforcement of the pile-cap
connection is necessary for undertaking safely this bending moment and securing
adequate inelastic deformation in case of an unpredictably large (exceeding the
design) earthquake motion.
(c) Perhaps surprisingly, the symmetric group of batter piles attracts smaller axial forces
than a group of exclusively vertical piles! This is attributed to the disproportionately
large share of the overturning moment resisted by axial reactions in the vertical piles --
- not the case with batter piles which undertake this moment partially with flexure
(bending).
(d) The lateral distortion (and drift) of the structure on batter piles is significantly smaller
than of on vertical piles.
4) For batter piles supporting a short squatty structure :
(a) Embedded in Gibson soil they develop smaller bending moments than vertical piles,
within the range of the considered excitations.
(b) Now batter piles sustain larger axial forces than the vertical group, for two reasons : (i)
kinematic loading, which constitutes an important component of the total loading,
produces larger head moment in the batter piles ; (ii) the inertial loading induces
mostly a dynamic shear force which, while being resisted by lateral loads in vertical
piles, it loads axially (and laterally) the batter piles.
(c) The horizontal drift of the superstructure is less sensitive to pile batter.
Proceedings, 3rd Greece-Japan Workshop: Seismic Design, Observation, and Retrofit of Foundations. Santorini 2009
48
ACKNOWLEDGEMENT
This work formed part of the EU research project QUAKER which is funded through the EU
Fifth Framework Programme: Environment, Energy, and Sustainable Development, Research
and Technological Development Activity of Generic Nature: the Fight against Natural and
Technological Hazards, under contract number : EVG1-CT-2002-00064. We also thank Evan-
gelia Garini for her kind contribution in the preparation of the figures.
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Proceedings, 3rd Greece-Japan Workshop: Seismic Design, Observation, and Retrofit of Foundations. Santorini 2009
50

1 INTRODUCTION
Current seismic design of bridge structures is based on a presumed ductile response. A capacity
design methodology ensures that regions of inelastic deformation are carefully detailed to pro-
vide adequate structural ductility, without transforming the structure into a mechanism. Brittle
failure modes are suppressed by providing a higher level of strength compared to the corre-
sponding to ductile failure modes. For most bridges, the foundation system may be strategically
designed to remain structurally elastic while the pier is detailed for inelastic deformation and
energy dissipation. Essentially-elastic response of the foundation is usually ensured by increas-
ing the strength of the foundation above that of the bridge pier base so that plastic hinging oc-
curs in the pier instead of the foundation.
The concept of ductility design for foundation elements is still new in earthquake engineering
practice. The potential development of a plastic hinge in the pile is forbidden in existing regula-
tions, codes and specifications. The main reasons are: (i) the location of plastic hinges is not ap-
proachable for post-seismic inspection and repair, (ii) the high cost associated with repair of a
severely damaged foundation, and (iii) failure due to yielding in the pile prior to exceeding soil
capacity is an undesirable failure mechanism, by contrast to that in which soil capacity is mobi-
lized first.
However, several case-histories (especially from the Kobe 1995 earthquake) have shown that:
(a) pile yielding under strong shaking cannot be avoided, especially for piles embedded in soft
soils; and (b) pile integrity checking after an earthquake is a cumbersome, yet feasible task. Fur-
thermore, there are structures where plastic hinging cannot be avoided in members of the foun-
dation during a severe earthquake. A good example of such structure is the pile-column (also
Seismic Response of Bridge Pile-Columns
V.A. Drosos, N. Gerolymos & G. Gazetas
National Technical University of Athens, Greece
ABSTRACT: While seismic codes do not allow plastic deformation of piles, the Kobe earth-
quake has shown that limited structural yielding and cracking of piles may not be always detri-
mental. As a first attempt to investigate the consequences of pile yielding in the response of a
pilecolumn supported bridge structure, this paper explores the soilpilebridge pier interaction
to seismic loading, with emphasis on structural nonlinearity. The pile-soil interaction is modeled
through distributed nonlinear Winkler-type springs and dashpots. Numerical analysis is per-
formed with a constitutive model (Gerolymos and Gazetas, 2005a; 2005b; 2006a) materialized
in the OpenSees finite element code (Mazzoni et al. 2005) which can simulate: the nonlinear
behaviour of both pile and soil ; the possible separation and gapping between pile and soil; ra-
diation damping ; loss of stiffness and strength in pile and soil. The model is applied to the
analysis of pile-column supported bridge structures, focusing on the influence of soil compli-
ance, intensity of seismic excitation, pile diameter, aboveground height of the pile, and above
or below ground development of plastic hinge, on key performance measures of the pier as is:
the displacement (global) and curvature (local) ductility demands and the maximum drift ratio.
It is shown that kinematic expressions for performance measure parameters may lead to errone-
ous results when soilstructure interaction is considered.
Proceedings, 3rd Greece-Japan Workshop: Seismic Design, Observation, and Retrofit of Foundations. Santorini 2009
51
known in the American practice as extended pile-shaft), where the column is continued below
the ground level as a pile of the same or somewhat larger diameter. Obviously, the design of
such foundation requires careful consideration of the flexural strength and ductility capacity of
the pile.
An advantage of supporting a column bent on drilled pile is the cost savings associated with the
construction of large cast-in-drilled-hole (CIDH) piles instead of multiple piles of smaller di-
ameter, which must later be integrated into a structural unit using a pile cap. Another advantage
of such a design is that localized damage that could otherwise develop at the columnpile cap
joint is avoided by the pile-column combination, since there is no structural distinction between
the pile and the column other than the presence of a construction joint at the pilecolumn inter-
face.
While the design of piled footings favors forcing plastic hinging into the superstructure, with
the piles remaining elastic, pile-columns can be designed with overall ductile performance in
mind. In case of a single pile-column, formation of a plastic hinge in the pile shaft is the only
mechanism by which ductile performance can be attained. A pile-column bent may first tend to
plastify at the column-beam joint, but the full flexural capacity of the system can only be ob-
tained through the formation of a secondary plastic hinge, below ground surface (at least
slightly below). Bending moment distribution varies with height, but diminishes after attaining a
maximum bending moment below the ground level. A typical depth for maximum bending
moment, and possibly the location of the plastic hinge, ranges from one to three or four pile di-
ameters below ground surface, depending on the above-ground height and soil stiffness.
Damage below ground in the form of cracking or spalling of concrete, fracture of transverse re-
inforcement, or buckling of longitudinal reinforcement is generally difficult to assess after an
earthquake. This, coupled with the potential high cost of repair, resulted in the current use of a
design displacement ductility factor that is smaller than that of columns in order to limit the
amount of yielding in the pile below the ground level. For example, in the United States, ATC-
32 (ATC 1996) prescribes a displacement ductility factor of 3 for pile-columns compared to a
displacement ductility factor of 4 for well-confined fixed-base reinforced concrete columns. A
similar approach of prescribing higher lateral strength for piles has been adopted for seismic de-
sign of highway bridges in New Zealand. For plastic hinging that may develop at a depth less
than 2 m below the ground level, but not below the mean water level, the design displacement
ductility factor is limited to no more than 4. For plastic hinging at a depth greater than 2 m be-
low the ground level or below the mean water level, the design displacement ductility factor is
reduced to no more than 3 (Chapman 1995, Park 1998).
In this paper, a parametric investigation of the nonlinear inelastic response of pile-column
bridge systems is conducted, and the influence of pile inelastic behavior and soilstructure in-
teraction on structure ductility demand is identified. The role of various key parameters are ex-
amined, such as: (a) soil compliance, (b) above-ground height of the column shaft, (c) pile di-
ameter, (d) intensity of the input seismic motion, and (e) location of the plastic hinge, on
characteristic performance measures of the soil-structure system response, such as: the dis-
placement (global),

, and curvature (local),

, ductility demands and the maximum drift ra-


tio max. It is shown that: (a) neglecting the consideration of the soil-structure interaction ef-
fects may lead to unconservative estimates of the actual seismic demand, and (b) the
development of a plastic hinge along the pile (for instance for cases that the pile is designed
with inferior or equal strength compared to that of the pier) is beneficial for the pier response.
2 THE PROBLEM EQUATIONS AND PARAMETERS
2.1 Definition of the problem
The studied problem is sketched in Figure 1: a pile-column embedded in clay or sand deposit,
monolithically connected to the bridge deck is excited by a seismic motion. It is assumed that
the transverse response of the bridge structure may be characterized by the response of a single
bent, as would be the case for a regular bridge with coherent ground shaking applied to all
bents.
The height of the pier H is given parametrically the values of 5 and 10 m, so that a typical urban
bridge and a rather short viaduct, in respect, are examined. The diameter b of the pile-column
Proceedings, 3rd Greece-Japan Workshop: Seismic Design, Observation, and Retrofit of Foundations. Santorini 2009
52
above-ground takes values of 1.5 and 3.0 m. However, to investigate the influence of the plastic
hinge position on the system response, two more cases are examined: the below-ground pile-
column diameter d is increased by 33 % relatively to the above-ground diameter b. So, for pile
diameters d = 1.5, 2.0, 3.0, and 4.0 m, pier diameter equals to b = 1.5, 1.5, 3.0, and 3.0 m, re-
spectively. For sake of simplicity, the term diameter will refer from this point on, to the below-
ground diameter d. The embedment length of the pile L is considered in every case equal to 30
m. In total, a set of four structural configurations are analyzed.
The mass of the deck is calculated so that the fundamental period of the fixed-base pier would
be T = 0.3 sec for all cases studied. This restriction for the fixed-base period leads to a mass of
45 Mg for the pile diameter of d = 1.5 m, and 720 Mg for that of d = 3.0 m. The nonlinear be-
havior of the pile-column is characterized through the predefined momentcurvature relations
illustrated in Figure 2. These curves have been obtained with the BWGG model (Gerolymos &
Gazetas 2005b), discussed in the sequel, for n = 1, initial stiffness equal to the uncracked flex-
ural stiffness EI of the pile-column, and ultimate strength equal to the conventionally calculated
moment at the ground surface considering that a critical acceleration of 0.2 g is applied on the
deck mass. In the case of the variable-diameter piers, the bending moment capacity of the pile
cross-sections is calculated to be proportional to the square power of the cross-section diameter
d2, which is a reasonable assumption for a given detailing of reinforcement. In that way, the po-
tential development of a plastic is forced to occur in the above-ground portion of the pile-
column.
It is noted that the objective of the parametric study described herein is to investigate the seis-
mic response of the system in the inelastic regime and not to design the structure. Therefore, (a)
we are mainly concerned about achieving equivalence of the studied systems in the framework
of nonlinear response analysis without considering soil-structure interaction effects, rather than
about reinforcement details that correspond to the utilized momentcurvature curves. And (b)
the critical acceleration was scaled to 0.2 g, to ensure that the system will enter the inelastic re-
gime under the used seismic excitation.



Figure 1. The problem investigated and the two types of presumed soil deposits
2.2 Constitutive equations and numerical modeling
The developed BWGG model is a versatile one-dimensional actionreaction relationship, capa-
ble of reproducing an almost endless variety of stressstrain or forcedisplacement or moment
rotation relations, monotonic as well as cyclic. It is being applied here to model the monotonic
and cyclic response of piles, expressing both the py and momentcurvature relationships. A
simple version of the model is outlined below. More details can be found in Gerolymos & Ga-
zetas (2005a, 2005b, 2006a, 2006b), although the model utilized here is a slightly im-
proved/simplified version of the model in the latter reference.
Proceedings, 3rd Greece-Japan Workshop: Seismic Design, Observation, and Retrofit of Foundations. Santorini 2009
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Figure 2. Predefined momentcurvature relations used in the analyses


The lateral soil reaction against a deflecting pile is expressed as the sum of an elastic and an ine-
lastic component according to:
( ) 1
x s s s y s
p k y p = + (1)
where s is a dimensionless inelastic soil parameter expressed in the following differential
form:
( )
{ }
0
1
x
n
s s s
s s s s
d h
b g sign dy
dy y

= +

(2)
where p
x
is the resultant (in the direction of loading) of the normal and shear stresses along the
perimeter of a pile segment of unit length and it includes both in-phase and out-of-phase
components ; the latter reflects radiation and hysteretic damping in the soil. y is the pile deflec-
tion at the location of the spring; k
s
is a reference spring stiffness ; s is a parameter governing
the post yielding stiffness ; p
y
is a characteristic value of the soil reaction related to the initiation
of significant inelasticity (yielding) ; y
0
is a characteristic value of pile deflection related to the
initiation of yielding in soil reaction. n
s
, b
s
and g
s
, are dimensionless quantities that control the
shape of the hysteretic soil reaction pile deflection loop, and
s
, r
s
and h
s
are strain hardening
parameters for stiffness decay, strength degradation, and pinching behavior, respectively ; where
c
s
is the damping coefficient at small amplitude motions, and c
sd
is a viscoplastic parameter
which controls the coupling of soil and soilpile interface nonlinearity with radiation damping
The reader is referred to Gerolymos and Gazetas (2005 a,b) for more details.
The inelastic behavior of the pile is similarly expressed in terms of a strength-of-materials-type
bending momentpile curvature relation, which includes an elastic and an inelastic component:

p y p p p p
M a
z
y
I E M ) 1 (
2
2
+

=
(3)
where E
p
I
p
is the initial (elastic) bending stiffness (also called flexural rigidity),
p
is a parame-
ter controlling the post yielding bending stiffness, My is the value of bending moment that initi-
ates structural yielding in the pile, and
p
is the hysteretic dimensionless parameter which con-
trols the nonlinear structural response of the pile. The latter is governed by
Proceedings, 3rd Greece-Japan Workshop: Seismic Design, Observation, and Retrofit of Foundations. Santorini 2009
54
( )
{ }
0
1
p
n
p p p
p p p p
d h
b g sign d
d




= +

(4)
where is the pile curvature, and b
p
, g
p
, n
p
,
p
, r
p
, and h
p
, are dimensionless quantities that con-
trol the shape of the hysteretic bending momentcurvature loop in the same manner as n
s
, b
s
, g
s
,

p
, r
p
, and h
p
, control the shape of the lateral soil reactiondeflection loop.
0
is the value of pile
curvature at initiation of yielding in the pile.
Evidently, Equations 3 4 are of the same form as Equations 1 2, except that no viscous term
(radiation damping) is included in the structural pile response.
The seismic response of the soilpilestructure system is investigated herein via a beam-on-
nonlinear-Winkler-foundation (BNWF) finite element model developed in OpenSees (Fig. 3).
The pile-column is discretized into nonlinear beam elements with length 0.5 to 1.0 m, whose
bending behavior is governed by the macroscopic constitutive BWGG model. The mass of the
deck is simulated as a concentrated mass at the top node of the pile-column, whereas the dis-
tributed mass of the extended pile is simulated by lumped masses on beam-element nodes.
The near-field soilpile interface is simulated with nonlinear py spring elements, the behavior
of which is described also by the BWGG model. Model parameters were appropriately cali-
brated to match the py curves of Reese et al. (1974) and Matlock (1970). The free extremities
of the soil springs were excited by the acceleration time histories obtained at each depth from
the free-field seismic response analysis (Banerjee et al. 1987).
Although the developed finite element model has the capability to reproduce higher order phe-
nomena (e.g. P effects), such phenomena were ignored, considering that their strong depend-
ence on the mass of the structure and the geometry would obscure the role of other parameters
(e.g. structural inelasticity and soil compliance).


Figure 3. Schematic illustration of the model used for the analyses
2.3 Soil parameters
The influence of near-field soil compliance on the seismic response of the soilpilestructure
system is investigated parametrically considering four different homogeneous soil profiles (Fig.
1): (a) sand with friction angle = 30
o
, (b) sand with friction angle = 40
o
, (c) clay with
undrained shear strength S
u
= 40 kPa, and (d) clay with undrained shear strength S
u
= 200 kPa.
The small-amplitude stiffness k (= p
y
/ y
0
) was obtained from the available beam-on-dynamic-
Winkler-Foundation solutions (e.g. Gazetas & Dobry 1984, Makris & Gazetas 1992) in terms of
the Youngs modulus of the soil.
For piles in cohesive soils the ultimate soil reaction per unit length of pile can be approximated
by the well known expression
d S P
u y 1
=
(5)
where S
u
is the soil undrained shear strength, and
1
varies from 9 to 12, depending on the fric-
tion ratio f
s
/ S
u
at the pilesoil interface. A value of
1
= 9 is often used for a soft clay, while
1

Proceedings, 3rd Greece-Japan Workshop: Seismic Design, Observation, and Retrofit of Foundations. Santorini 2009
55
= 11 is more appropriate for a stiff clay. At shallow depths, the plane strain assumption of Equa-
tion 8 is inappropriate because of the nonzero vertical deformation of the soil during lateral
motion of the pile. The following formulation has been proposed for P
y
near the surface
(Matlock 1970)
( )
J
S
d
d
z d S
d
z
J
S
P
u
s
u
u
v
y
+

<

+ + =
,
2 1
,
2
,

(6)
where
'
v
is the vertical effective stress, and
s
the effective specific weight of the soil, and
2

and J are a dimensionless quantities. Broms (1964) proposed a value of
2
= 2, whereas Matlock
(1970) used
2
=3. Matlock (1970) stated that the value of J was determined experimentally to
be 0.5 for a soft clay and about 0.25 for a medium clay, whereas Reese (1975) suggested a value
of J = 2.83 for every type of clay. For piles embedded in cohesionless soils, Broms (1964) pro-
posed an analytical expression for the ultimate soil reaction :
z d P
s y

+ =

2
45 tan 3
2 ,

(7)
where is the angle of friction. Equation 7 is very often preferred in practice among other more
rigorous expressions for its simplicity and compatibility with experimental results.
For the description of the nonlinear behavior of the near-field soil the well-known py relations
of Reese et al. (1974) and Matlock (1970) are used for sand and clay, respectively.
2.4 Soil Profiles, Seismic Excitations, and Site Response Analysis
The influence of soil amplification on the seismic response of the soilpilestructure system is
not examined, mainly for two reasons: (a) a thorough investigation of seismic ground response
is out of scope of this paper, and (b) the unavoidable differences in free-field motions from the
soil response analysis of the four different soil profiles, would complicate the comprehension of
the related phenomena. Therefore, a single soil profile was selected for ground response analy-
sis (Fig. 4): a category C profile, according to NEHRP (1994). Bedrock was assumed to be at 50
m depth.

Figure 4. Shear wave velocity distribution of the adopted soil deposit used for the wave propagation
analysis


The influence of shaking on the seismic response is investigated by selecting three real accelera-
tion records as seismic excitations:
the record from Aegion earthquake (1995),
the record from Lefkada earthquake (2003), and
the JMA record from Kobe earthquake (1995).
Proceedings, 3rd Greece-Japan Workshop: Seismic Design, Observation, and Retrofit of Foundations. Santorini 2009
56
The first two records are representative strong motions of the seismic environment of Greece,
with one and many cycles, respectively. JMA record is used to investigate the dynamic response
of the soilpilestructure system to a quite unfavorable incident. The dominant periods of the
acceleration time histories for the aforementioned three earthquake records range from 0.2 to
0.8 s, resulting in a fixed base fundamental period ratio (designated as the fixed base fundamen-
tal period of the superstructure divided by the predominant period of the free-field surface ac-
celeration time history) which ranges from 0.66 to 2.67. This is a wide range of values which
ensures generalization of the results presented herein. Near-fault effects such as rupture
directivity and fling (Gerolymos et al. 2007) are also captured by the utilized accelerograms.
All the records were first scaled to a PGA of 0.5 g and 0.8 g at the ground surface; then through
deconvolution analyses conducted with SHAKE (Schnabel et al. 1972), the bedrock motion as
well as the motion at various depths along the pile, were estimated. The ground motion profiles
obtained from SHAKE analyses are then used as input motion in the developed BNWF model.
The acceleration time histories at the surface and the corresponding elastic response spectra
scaled to a SA = 0.8 g (T = 0 s) for 5 % damping, are presented in Figure 5.
It should be stated here in that from a seismological point of view, simply scaling an accelera-
tion time history to a large PGA value for representing the severity of an earthquake might not
be always correct. It is well known from the literature that high peak ground accelerations are
usually accompanied by a large number of predominant cycles. Obviously, this is not the case
for Aegion record which can be satisfactorily approximated by a single sinusoidal pulse.


Figure 5. Real acceleration time histories used as seismic excitation, after scaling to a peak ground accel-
eration of a
g
= 0.5 and 0.8 g, and corresponding ( = 5 %) response spectra scaled to S
a
(T = 0 s) = 0.8 g.
2.5 Analysis Methodology and Performance Measure Parameters
Besides the fundamental response amounts (acceleration, displacement, moments, etc.) that de-
scribe the behavior of a structure under dynamic loading, other important seismic performance
measures are the local and global ductility demand

and

, and the maximum drift ratio


max
.
The local (curvature) ductility demand

is defined as the maximum curvature


max
imposed on
the structure by an earthquake, divided by the yield curvature
y
, which is a property of the pile-
column cross-section.
y

max
=
(8)
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For bridge structures supported on extended piles, the local ductility demand imposed on the
pile shaft might govern the design of the system, because damage to the pile (such as spalling of
cover concrete, crack widths, potential for buckling or fracture of longitudinal reinforcement) is
related to the local curvature ductility.
The following procedure is followed for the assessment of local curvature ductility demand in
the analyses conducted. The momentcurvature curve of each pile-column cross-section is ap-
proximated by a bilinear elasticperfectly plastic relation, in which the first (linear) section is
defined as the secant stiffness through the first-yield point
f y
(yielding of first longitudinal rein-
forcement bar) and the second section by the tangent line on the post-yielding section of the ac-
tual momentcurvature curve. The intersection of these two lines defines the cross-section yield
curvature
y
(Fig. 6).


Figure 6. Definition of yield curvature of the soil-pile-structure system

Similarly, the global (displacement) ductility demand

is the ratio of the maximum displace-


ment of the system u
max
, imposed by an earthquake, to the yield displacement u
y
, which is a
soilpilestructure system property.
y
u
u
max
=

(9)
The yield displacement u
y
is assessed through static nonlinear analyses (push-over analyses) ac-
cording to the following procedure:
At the center of mass of the superstructure, a horizontal force is gradually applied. The maxi-
mum displacement and the curvature along the pile-column are continuously monitored. The
displacement measured, when the pile curvature reaches the first-yield point
f y
, is defined as
the first-yield displacement u
f y
. Then, similarly to the procedure followed for the determination
of yield curvature, the loaddisplacement curve is approximated by an equivalent bilinear elas-
ticperfectly plastic curve, in which the first (linear) section is defined as the secant stiffness
through the first-yield point u
f y
and the second section by the tangent line on the post-yielding
section of the loaddisplacement curve. The intersection of these two lines defines the yield dis-
placement u
y
(Fig. 7).


Figure 7. Definition of yield displacement of the soil-pile-structure system
Proceedings, 3rd Greece-Japan Workshop: Seismic Design, Observation, and Retrofit of Foundations. Santorini 2009
58
It has to be noticed, that for the estimation of pile curvature, we did not use the FEM original
curvature results as these showed mesh sensitivity. Instead, plastic rotation results which are
mesh insensitive, were used and divided by the plastic hinge length L
p
to derive pile curvature.
The length of plastic hinge L
p
for the pile-columns was estimated according to Budek et al.
(2000) approximation:
H d L
p
+ = 06 . 0
(10)
where d is the pile diameter and H the above-ground height. Similar expressions, based however
on different assumptions, have also been provided in Caltrans (1986,1990), Dowrick (1987),
Priestley et al. (1996), Chai (2002), and Chai & Hutchinson (2002).
The drift ratio is defined as the maximum displacement of the deck imposed by an earthquake
relative to pier base displacement divided by the height of the pier:

H
u u
base pier deck

=
max max

(11)
3 ANALYSIS RESULTS AND DISCUSSION
In this paragraph, typical results of the nonlinear analyses are presented in terms of acceleration
time-histories; peak bending moment, curvature and displacement distributions.
Results of the seismic response of the examined structural systems are presented in Figures 8
26. The acceleration time histories calculated for a pile-column of diameter d = 3 m and height
H = 5 m are presented in Figure 8a for every soil profile examined. The response of the deck is
quite smaller in case of soft clay. On the contrary, stiff foundation soils lead to increased re-
sponse of deck. An exception to this is the increased structural (deck) response for the case of
loose sand. A possible explanation is that the lateral confinement providing by the soil might be
considerable even for small values of internal friction angles of the soil, thus stiffening the re-
sponse of the pile.


Figure 8. Acceleration time histories of the deck for free-head pile-columns with above-ground height H
= 5 m. Left diagram: pile with diameter b = d = 3.0 m. Right diagram: pile founded in soft clay (excitation
at ground surface: JMA, Kobe 1995 a
g
= 0.5 g)
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59
Similarly, differences are observed in Figure 8b, where the acceleration time histories of a 5 m
high pier embedded in soft clay are illustrated for different pile diameters. Smaller pile-column
diameter leads to higher deck acceleration. The small pile-column diameters (d = 1.5, 2.0 m)
correspond to a deck mass which is 16 times smaller than that for the larger pile-column diame-
ters (d = 3.0, 4.0 m). This substantial difference in deck masses is responsible for an also large
discrepancy in the fundamental natural periods of the pierfoundationsoil system (effective pe-
riods). Indeed, as can be hardly seen in the response acceleration time histories after the input
motion has subsided, at t = 15 s (free response), the effective period of the small-diameter
bridge columns is approximately 1.0 s while that of the large-diameter bridge columns is about
2.0 s. It is therefore shown that the effective period of the pier systems increases with increasing
mass of deck, despite that the fixed-base period is held constant. A similar trend in the response
of bridge-piers supported either by a single pile or by a group of piles has been also shown in
Gerolymos et al. (1998).
Furthermore, a small decrease in peak acceleration values is observed in constant-diameter ex-
tended pile (d = 1.5, 3.0 m) compared to the response of variable-diameter systems (d = 2.0, 4.0
m). The response of the constant-diameter systems is associated with more intense pile and soil
inelasticity compared to the response of variable-diameter systems. The ample mobilization of
soil plastification and structural yielding mechanisms in the case of constant-diameter piers re-
sults in an increase of both hysteretic and radiation damping, which in turn slows down the deck
response.
The distributions of maximum displacements with depth for several cases are presented in Fig-
ure 9 for the JMA record as seismic excitation at ground surface. The influence of soil in this
distribution is depicted in Figure 9a: the softer the soil, the larger the maximum displacement
within the soil. The increased compliance of the soft soils implies significant deflection of the
pile. In Figure 9b, the role of pile diameter on the system response is illustrated. Larger pile-
diameter piers (d = 3.0 and 4.0 m) are associated with larger effective periods compared to those
of smaller pile-diameter (d = 1.5 and 2.0 m). Given the response spectra of the JMA accelera-
tion time history, this means that the larger pile-diameter systems exhibit larger displacements
and smaller response accelerations compared to the piers with smaller pile diameters (see also
Fig. 8).

Figure 9. Maximum displacement distributions for pile-columns with above-ground height H = 10 m. Left
diagram: pile with diameter b = d = 3.0 m. Right diagram: pile founded in soft clay (excitation at ground
surface: JMA, Kobe 1995 a
g
= 0.5 g)

The distributions of maximum bending moments with depth for several cases are presented in
Figures 1011. The influence of soil type in this distribution is depicted in Figure 10. Like in
displacement distributions, soft soils result to increased pile effective lengths. With a maximum
Proceedings, 3rd Greece-Japan Workshop: Seismic Design, Observation, and Retrofit of Foundations. Santorini 2009
60
moment of 1200 kNm (yield moment), the depth where this value becomes half increases from
4 m, in case of stiff clay and dense sand, to 6 m for loose sand, and to 10 m in case of soft clay.
It is interesting to observe in Figure 12 that the maximum bending moments among the four
cases are almost equal, indirectly revealing the formation of plastic hinges at certain locations of
the piles. Given the severity of the ground motion (the JMA record scaled to a peak ground ac-
celeration of 0.8g), mobilization of the full bending moment resistance of the piles is unavoid-
able irrespectively of the type of foundation soil.
As shown in Figure 11, the increase of pile diameter results to shifting of the maximum-moment
depth to greater depths. It is noticed, that the maximum-moment depth does not always coincide
with plastic hinge position, due to difference in pile and pier diameters.



Figure 10. Maximum bending moment distributions for free-head pile-columns with above-ground height
H = 10 m and diameters b = d = 1.5 m (excitation at ground surface: JMA, Kobe 1995 a
g
= 0.8 g)


Figure 11. Maximum bending moments distributions for free-head pile-columns with above-ground
height H = 10 m founded in stiff clay (excitation at ground surface: JMA, Kobe 1995 a
g
= 0.8 g)
Proceedings, 3rd Greece-Japan Workshop: Seismic Design, Observation, and Retrofit of Foundations. Santorini 2009
61
The position of plastic hinge is easily assessed via distributions of pile curvature with depth. In
Figure 12a, the distributions of curvature are presented for a 3-m diameter pile-column with
above-ground height H = 10 m, embedded in different soils. It is observed that the plastic hinge
is developed within 2 diameters below ground surface. The amplitude of curvature increases
significantly in stiffer soils. The effect of pile diameter is shown in Figure 12b. In case of pile-
columns with pier of smaller diameter than that of the pile (d = 2.0, 4.0 m), the pier is highly
stressed and the plastic hinge is formed at its base. Below the ground surface, curvature values
decrease rapidly. On the other hand, constant-diameter pile-columns (d = 1.5, 3.0 m) may de-
velop plastic hinge below surface. In every case, however, plastic rotations are distributed in
greater length with consequent decrease of the maximum curvature.


Figure 12. Maximum curvature distributions for free-head pile-columns with above-ground height H = 10
m. Left diagram: pile with diameter d = 3.0 m (excitation at ground surface: JMA, Kobe 1995 a
g
= 0.5
g). Right diagram: pile founded in soft clay (excitation at ground surface: JMA, Kobe 1995 a
g
= 0.8 g)

In Figure 13, the correlation of the local curvature ductility demand to the global displacement
ductility demand is presented. All the analyses resulted to nonlinear behavior of the extended
pile shaft (

> 1) are depicted categorized according to the foundation soil. The mean ratio (


1) / (

1) equals to 5.4 for soft clay, 3.4 for loose sand, 2.6 for dense sand, and 2.7 for stiff
clay. Similar results have been also obtained by Hutchinson et al. (2004). At first sight, it seems
that founding pile-columns in soft soils is unfavorable: for a given earthquake imposed global
displacement ductility, the local curvature ductility demand is higher than the one corresponds
to stiffer soils. This impression, as will be revealed later on, may be deceptive.

Figure 13. Correlation of local and global ductility demands for different soil types
Proceedings, 3rd Greece-Japan Workshop: Seismic Design, Observation, and Retrofit of Foundations. Santorini 2009
62
A similar trend appears in Figure 14 where analyses results have been categorized according to
the potential location of plastic hinge. For constant-diameter pile-columns the plastic hinge is
likely developed below the ground surface (on pile) whereas for variable-diameter pile
columns, plastic hinges are developed at the base of pier. The average ratio (

1) / (

1)
takes a value of 3.5 for plastic hinge on the pile, and 2.7 for plastic hinge on the pier. The results
discourage the inelastic design of pile, however, the picture is yet to be cleared.
In the next figures (Figs. 15 16), analyses results have been grouped according to pier diame-
ter and shaking intensity, in respect. A slight predominance of the larger pier (d = 3.0 m) is ob-
served as the average value of (

1) / (

1) ratio is 3.3 instead of 3.7 in case of smaller pier


(d = 1.5 m). As expected, the shaking amplitude does not affect the value of ductility demand
ratio.


Figure 14. Correlation of local and global ductility demands for different plastic hinge locations


Figure 15. Correlation of local and global ductility demands for different diameters


Figure 16. Correlation of local and global ductility demands for different seismic motion amplitudes
Proceedings, 3rd Greece-Japan Workshop: Seismic Design, Observation, and Retrofit of Foundations. Santorini 2009
63
The influence of above-ground height H on the correlation between local and global ductility
demand is illustrated in Figure 17. Shorter piers exhibit greater local curvature ductility demand
for a given displacement ductility level.



Figure 17. Correlation of local and global ductility demands for different above-ground heights

In Figure 18, the correlation of local curvature ductility demand to the maximum drift ratio is
presented for all the soil profiles examined. For a given maximum drift ratio, the required curva-
ture ductility is greater for stiffer soils. The depth of the plastic hinge location increases with
decreasing soil stiffness resulting in larger rigid body displacement, which however is not asso-
ciated with strain in the pier. An inversion in the trend observed earlier is evident.
The same trend is observed in Figure 19, where the effect of plastic hinge location is examined:
for a given maximum drift ratio, the required curvature ductility is greater when the pier is plas-
ticized. Indeed, the rigid body motion component of the displacement, which increases with in-
creasing depth of plastic hinge location, does not produce any structural damage and hence does
not affect the ductility demand on the pier.
The pile-column diameter and the amplitude of ground motion only slightly affect the

/
max

ratio (Figs. 20 and 21). The influence of above-ground height H on the correlation between local
ductility demand and maximum drift ratio is illustrated in Figure 22. Taller piers exhibit greater
local curvature ductility demand for a given drift ratio. Indeed, for a given drift ratio the differ-
ential horizontal displacement between deck and pier base decreases with decreasing above-
ground height of the pier, leading to smaller pier distress and thus to smaller ductility demand.



Figure 18. Correlation of local ductility demand and maximum drift ratio for different soil types
Proceedings, 3rd Greece-Japan Workshop: Seismic Design, Observation, and Retrofit of Foundations. Santorini 2009
64


Figure 19. Correlation of local ductility demand and maximum drift ratio for different plastic hinge loca-
tions



Figure 20. Correlation of local ductility demand and maximum drift ratio for different diameters



Figure 21. Correlation of local ductility demand and maximum drift ratio for different seismic motion
amplitudes
Proceedings, 3rd Greece-Japan Workshop: Seismic Design, Observation, and Retrofit of Foundations. Santorini 2009
65

Figure 22. Correlation of local ductility demand and maximum drift ratio for different above-ground
heights

In Figures 2326, the mean and peak values of the factors

, and
max
are illustrated for vari-
ous parameters examined. It is clearly observed that the mean and maximum values of both


and

factors are lower for soft soils and plasticized piles. This phenomenon discredits the trend
appeared in Figures 13 14 and reveals the beneficial influence of soil compliance and pile ine-
lasticity on the response of the structure examined. The apparent paradox stems from the fact
that kinematic expressions do not distinguish between capacity and demand, as also stated in
Mylonakis et al. (2000). For example, according to Figure 13, for a given displacement ductility
demand the curvature ductility capacity of a pile-column embedded in soft soil needs to be lar-
ger than that of a pile-column embedded in stiff soil. However, this does not mean that for a
given seismic excitation both pile-columns would exhibit the same displacement ductility.


Figure 23. Variation of local curvature ductility (

) demand for different parameters examined


Proceedings, 3rd Greece-Japan Workshop: Seismic Design, Observation, and Retrofit of Foundations. Santorini 2009
66

Figure 24. Variation of global curvature ductility (

) demand for different parameters examined




Although the ratio (

1) / (

1) may take higher values for soft soils, the absolute values of

are small and so are the values of

. The maximum drift ratio


max
seems to stay insensitive
to parameters like soil stiffness and location of plastic hinges (Fig. 25). On the contrary, it de-
pends strongly on the intensity of the seismic excitation. Increase of the above-ground height, as
shown in Figure 26, causes increase in the mean values of

and decrease in the mean value of

max
, whereas mean

value slightly increases, if not remain constant.
4 CONJECTURES
From the analysis of the results of the exploratory parametric analyses conducted herein, the fol-
lowing conclusions could be drawn:
For a given global (displacement) ductility demand

(Mu),
the local (curvature) ductility demand

increases for increased soil compliance.


the potential formation of plastic hinge below ground surface also increases the local (curva-
ture) ductility demand

(M).
the curvature ductility demand slightly decreases with increasing pile diameter.
the curvature ductility demand increases in case of column-piles with smaller above-ground
height ratios (d / H).
The opposite trends for the local ductility demand

are observed, when the maximum drift ra-


tio
max
is kept constant.
However, the conclusions above do not reveal the true nature of the problem and the following
remarks should be considered:
Proceedings, 3rd Greece-Japan Workshop: Seismic Design, Observation, and Retrofit of Foundations. Santorini 2009
67


Figure 25. Variation of maximum drift ratio (max : %) for different parameters examined



Figure 26. Variation of performance measures for different above-ground heights
Proceedings, 3rd Greece-Japan Workshop: Seismic Design, Observation, and Retrofit of Foundations. Santorini 2009
68

For a given earthquake, the global displacement ductility demand

decreases as the soil


compliance increases. Thus, while (

1) / (

1) ratio has a higher value for a soft soil,


the small

demand may refrain the local ductility demand

at levels lower than what cor-


responds to a stiffer soil.
The same comment holds for the location of plastic hinge. The potential of plastic hinge de-
velopment on the pile (i.e. below ground surface) reduces

demand, with consequent reduc-


tion of local ductility demand.
Most of the available relations for the performance measures in literature are functions of struc-
ture geometry and reinforcement details only. However, from the results presented in this paper,
the need for modification of these expressions in order to include soil-compliance and pile-
plastification effects on structure dynamic response is demonstrated. Some very early, improved

correlations are proposed herein.


Nevertheless, it has to be noted that ductility capacity required in a structure does not always co-
incides with ductility demand which depends on the characteristics of the seismic loading and
inelasticity of soil-pile-structure system. Thus, a structure with higher required ductility capacity
may experience lower developed ductility than another structure with lower ductility capacity
requirements. The actual ductility demands of a structure can be assessed accurately exclu-
sively within the framework of a nonlinear dynamic analysis, in which the influence of soil
properties and excitation characteristics are parametrically investigated.
REFERENCES
ATC-32 Applied Technology Council 1996. Improved seismic design criteria for California bridges:
provisional recommendations, Redwood City, California
Banerjee, S., Stanton, J. F., and Hawkins, N. M. 1987. Seismic performance of precast concrete bridge
piles, Journal of Structural Engineering, 113(2): 381396
Broms, B. 1964a. Lateral resistance of piles in cohesive soils, Journal of Soil Mechanics and Foundation
Division, ASCE, 90(3): 27-63
Broms, B. 1964b. Lateral resistance of piles in cohesionless soils, Journal of Soil Mechanics and Founda-
tion Division, ASCE, 90(3): 123-156
Budek, A.M., Priestley, M. J. N., and Benzoni, G. 2000. Inelastic seismic response of bridge drilled-shaft
RC pile/columns, Journal of Geotechnical and Geoenvironmental Engineering, 126(4): 510517
Caltrans 1986. Bridge Design Specifications manual, Caltrans, Sacramento, California
Caltrans 1990. Bridge Design Specifications / Seismic Design References, Caltrans, Sacramento, Califor-
nia
Chai, Y.H. 2002. Flexural strength and ductility of extended pile-shafts. I: Analytical model, Journal of
Structural Engineering, 128(5): 586594
Chai, Y.H., and Hutchinson, T.C. 2002. Flexural strength and ductility of extended pileshafts. II: ex-
perimental study, Journal of Geotechnical and Geoenvironmental Engineering, 128(5): 595602
Chapman, H. E. 1995. Earthquake resistant bridges and associated highway structures: current New Zea-
land practice, Proc., National Seismic Conference on Bridges and Highways, San Diego, California
Dowrick, D. J. 1987. Earthquake resistant design, 2nd edition, Wiley-Interscience, New York
Gerolymos N., Gazetas G., Mylonakis G. 1998. Fundamental Period and Effective Damping of Pile
Supported Bridge Piers, Eleventh European Conference on Earthquake Engineering, Paris, in CD
Rom.
Gerolymos N., Apostolou M., Gazetas G. 2005. Neural network analysis of the overturning response un-
der nearfault type excitation, Earthquake Engineering and Engineering Vibration, 4(2): 213-228.
Gerolymos N., Gazetas G. 2005a. Constitutive model for 1D cyclic soil behavior applied to seismic
analysis of layered deposits, Soils and Foundations, 45(3): 147-159.
Gerolymos N., Gazetas G. 2005b. Phenomenological model applied to inelastic response of soilpile in-
teraction systems, Soils and Foundations, Vol 45(4): 119-132.
Gerolymos N., Gazetas G. 2006a. Development of Winkler Model for Static and Dynamic Response of
Caisson Foundations with Soil and Interface Nonlinearities, Soil Dynamics and Earthquake Engineer-
ing, 26(5): 363-376.
Gerolymos N., Gazetas G. 2006b. Static and Dynamic Response of Massive Caisson Foundations with
Soil and Interface NonlinearitiesValidation and Results, Soil Dynamics and Earthquake Engineering,
26(5): 377-394.
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Hutchinson, T.C., Boulanger, R.W., Chai, Y.H., and Idriss, I. M. 2004. Inelastic seismic response of ex-
tended pile shaft supported bridge structures, Report PEER 2002/14, Pacific Earthquake Engineering
Research Center, University of California, Berkeley
Mazzoni, S., McKenna, F., and Fenves, G.L. 2005. OpenSees command language manual, The Regents
of the University of California, 375 p.
Matlock, H. 1970. Correlations for design of laterally loaded piles in soft clay, Proc., 2nd Annual Off-
shore Technology Conference, Houston, Texas. 577-594.
Mylonakis G., Gazetas G., Gerolymos N., and Anastasopoulos I. 2000. Detrimental Role of Soil-Structure
Interaction and the Collapse of the 18-Pier Fukae Bridge in Kobe, Recent Advances in Applied Me-
chanics, Honorary Volume for Professor A.N.Kounadis, N.T.U.A., 2000, 145-159.
NEHRP 1994. Recommended provisions for seismic regulations of new buildings: Part 1, provisions.
FEMA 222A, National Earthquake Hazard Reduction Program, Federal Emergency Management
Agency, Washington, D.C.
Park, R. 1998. New Zealand practice on the design of bridges for earthquake resistance, Proc., 1st Struc-
tural Engineers World Congress, San Francisco, Elsevier Science
Priestley, M. J. N., Seible, F., and Calvi, G. M. 1996. Seismic design and retrofit of bridges, Wiley-
Interscience, New York
Reese, L.C., Cox, W.R., and Koop, F.D. 1974. Analysis of laterally loaded piles in sand. Proc., 6th An-
nual Offshore Technology Conference, Houston, Texas, 473485
Schnabel, P. B., J. Lysmer and H. B. Seed 1972. SHAKE- A Computer Program for Earthquake Response
Analysis of Horizontally Layered Sites, EERC 72-12, Univ. of Calif., Berkeley.














Proceedings, 3rd Greece-Japan Workshop: Seismic Design, Observation, and Retrofit of Foundations. Santorini 2009
70
1 INTRODUCTION
Performance-based design approach has been promoted for design codes for a structure to be
newly constructed. Seismic evaluation for existing structures is expected to adopt performance-
based approach as well. Considering that the amount of existing structures is much greater than
that of newly constructed ones, it needs easier and more cost-effective measures, for an exam-
ple, like an evaluation chart.
Seismic actions on a pile foundation are classified to inertial forces on a structure and to a lat-
eral soil displacement acting on piles. In particular, the soil displacement has been newly intro-
duced into some of revised design codes as a seismic action for designing a pile foundation. It is
considered not to have been taken into account in the design of existing structures. Thus, the
seismic evaluation considering the effect of lateral soil displacements on existing pile founda-
tions is anticipated to be conducted early.
Aiming at development of a simplified method for the seismic evaluation of existing pile
foundations (Mori, Suga & Akaishi, 2009), validity of equal energy assumption (EEA) for esti-
mation of ductility factor response of a pile is studied and discussed in this paper through com-
parison between results of fully nonlinear dynamic response analyses and evaluation results
based on EEA.
2 EQUAL ENERGY ASSUMPTION
2.1 Concept of equal energy assumption
Equal energy assumption was originally proposed for the estimation of nonlinear dynamic re-
sponse of a single-degree-of-freedom (SDOF) system by Newmark & Rosenblueth (1971). On
the basis of this concept, it is assumed that the maximum response of strain energy of a nonlin-
ear inelastic pile of a structural system is about equal to the maximum response of strain energy
Efficiency of Equal Energy Assumption for Evaluating Ductility
Factors of a Pile


S. Mori
Ehime University, Matsuyama, Japan


ABSTRACT: This paper discusses the applicability of a concept of equal energy assumption
(EEA) to the estimation of plastic deformation of a pile subjected to seismic displacements of
soils on the basis of an earthquake response analysis using an elastic pile model in place of a
nonlinear pile model. The earthquake response analyses in this study adopt a lumped mass and
nonlinear element model for a structure-pile-soil coupled system. It is concluded that the EEA is
fairly applicable to and efficient for rough evaluation of ductility factors of a pile on the basis of
results showing that the average ratios of the predominant pile curvatures estimated by the EEA
application to that by nonlinear analysis vary from 50 to 120 % in the applied cases.


Proceedings, 3rd Greece-Japan Workshop: Seismic Design, Observation, and Retrofit of Foundations. Santorini 2009
71
of a linear elastic pile the system. The maximum ductility factor as an index of plastic response
characteristics can be estimated through an elastic analysis based on the equal energy assump-
tion (EEA). In this assumption, rearrangement of stresses in the system due to the plastic behav-
ior of the pile is neglected. This neglect must produce a certain degree of discrepancy against
true response of the nonlinear pile of the system (Mori & Hirata, 2002a). This paper discusses
the discrepancy through comparison between pile responses estimated based on EEA and ana-
lyzed by nonlinear response analyses, from the engineering point of view.
2.2 EEA application to a RC pile with tri-linear model
Figure 1 shows a schematic diagram of EEA application to a relation between bending moment
M and curvature of a reinforced concrete (RC) pile in the case of a tri-linear model. The tri-
linear model in the M- relation has three line segments and two folding points and an ultimate
point. M
c
and
c
are the moment and curvature at first cracking, respectively. M
y
and
y
are
those at first yielding. M
u
and
c
are those at ultimate resisting. Flexural rigidity EI that is the
slope of a line or a line segment in the M- plane is herein donated K with a suffix. K
1
is M
c
/
c
,
K
2
is the slope of the line segment between the points (M
c
,
c
) and (M
y
,
y
), and K
3
is the slope
of the line segment between the points (M
y
,
y
) and (M
u
,
u
). If you obtain an elastic response of
pile curvature
e
by an elastic earthquake response analysis, you calculate an elastic strain en-
ergy response E
e
. Comparing E
e
with the energies consumed up to the cracking, yielding and ul-
timate states that are E
c
, E
y
, and E
u
, respectively, you select one of the equations as shown be-
low. E
e
, E
c
, E
y
, and E
u
are calculated according to the equations shown below. Thus, based on
the EEA, you can calculate the response of curvature
eq
that is approximately equivalent to the
maximum response by a nonlinear analysis according to Equations 1 to 3. (Mori & Hirata,
2002a)
e eq
= (
c e
E E < ) (1)

+ + =
e
c
c c c eq
E
K
M
K M M
K
4
1
1
2
2
2
2
(
y e c
E E E < < )(2)

+ + + =
e
c y
c
y y y eq
E
K
M M
K
M
K M M
K
4
1
2
2 2
1
2
3
2
3
(
u e y
E E E < < )(3)
Figure 1. Equal energy assumption in a bending moment curvature relation in the case of tri-linear model

M
(
e
,M
e
)
(
p
,M
p
)
K
1
K
2
K
3

M
u

u
M
y
(
eq
,M
eq
)

M
(
e
,M
e
)
(
p
,M
p
)
K
1
K
2
K
3

M
u

u
M
y
(
eq
,M
eq
)
Curvature,
M
o
m
e
n
t
,

M
Proceedings, 3rd Greece-Japan Workshop: Seismic Design, Observation, and Retrofit of Foundations. Santorini 2009
72
where
2 /
e e e
M E = ,
2 /
c c c
M E = ,
2 / ) )( (
c y c y c y
M M E E + + = , and
2 / ) )( (
y u y u y u
M M E E + + =
3 METHOD AND MODEL OF ANALYSIS
3.1 Description of object for study
The object of this study is an actual bridge pier recently constructed at a soft soil site shown in
Figure 2a. The pier is T-shaped and its column has a rectangular section having 3.0 m width and
3.5 m length. The mass of the pier is 336 ton and the design horizontally inertial force according
to the JRA (Japan Road Association) design specification (JRA,1996) is 11.76MN (1200 tf).
The footing of the pier was constructed 4 m below the ground surface and is supported by 12
cast-in-place reinforced concrete end-bearing piles of lengths of 30 m. The pile arrangement is
in a form of 4 rows of 3 piles, and Figure 2a shows the elevation view in a longitudinal direc-
tion. The piles were placed through a 10 m thick soft clayey soil layer characterized by the av-
eraged SPT N-value of 2 underlain by a 14 m thick medium-hard clayey soil layer characterized
by that of 8 in the bearing stratum of sandy soil with SPT N-values of more than 50 with 2 m
embedded lengths. Therefore, stress concentrations along the depth of the piles raised by seis-
mic soil displacements are anticipated to be generated at or around boundaries of certain two
soil layers in between which ratios of rigidity show high contrast. Such boundaries would be lo-
cated at relative depths of 10 m and 24 to 28 m to pile heads. Additionally, the depth of pile
heads is also another point of stress concentration due mainly to horizontal inertial forces from
the superstructure, the pier and the footing and to the seismic soil displacements.

Figure 2. Object of study and its schematic model of analysis

Fill
N=4
Clayey soil
N=2
Clayey soil
N=8
Sandy soil
N=16
Sandy soil N=50
10 m
3.5 m
RC piles
Bridge pier
Fill
N=4
Clayey soil
N=2
Clayey soil
N=8
Sandy soil
N=16
Sandy soil N=50
10 m
3.5 m
RC piles
Bridge pier
1
2
.
5

m
3
0

m
3
0

m
1
0

m
4

m
2

m
4

mFill
N=4
Clayey soil
N=2
Clayey soil
N=8
Sandy soil
N=16
Sandy soil N=50
10 m
3.5 m
RC piles
Bridge pier
Fill
N=4
Clayey soil
N=2
Clayey soil
N=8
Sandy soil
N=16
Sandy soil N=50
10 m
3.5 m
RC piles
Bridge pier
1
2
.
5

m
3
0

m
3
0

m
1
0

m
4

m
2

m
4

m
Pile-structure system
Free field soil
system
Pairs of spring and dashpot
for interaction
Superstructure mass
Input earthquake motion
Pile-structure system
Free field soil
system
Pairs of spring and dashpot
for interaction
Superstructure mass
Input earthquake motion
(a) Soil-pile-structure for study (b) Schematic model of analysis
Proceedings, 3rd Greece-Japan Workshop: Seismic Design, Observation, and Retrofit of Foundations. Santorini 2009
73
3.2 Method of analysis
The earthquake response analyses in this study is carried out in time domain adopting a lumped
mass and nonlinear element model for a structure-pile-soil coupled system proposed by Penzien
et al. (1964). The schematic diagram of the model shown in Figure 2b illustrates that the model
consists of both a structure-pile system and a soil system representing a free field, and that the
springs and dashpots between the two systems transmit the displacements of the free field to the
structure-pile system. Such springs and dashpots, therefore, is hereafter called interaction
springs. The method proposed by Penzien et al. has two features for considering a pile-soil in-
teraction; firstly, a set of vertically distributed interaction springs realizes a spatial or kine-
matic interaction effect, and secondly, newly introduced effective masses realize an inertial in-
teraction effect and a dissipation damping effect at the same time. The effective mass at a node
corresponding to a unit thickness of a soil layer is evaluated to be equivalent with regard to an
integral of kinematic energy over soil elements surrounding a pile in the soil layer. The inertial
interaction is incorporated into the equation of motion as a product of the effective mass and the
relative displacement of a pile element to a soil element in the free field. It is here necessary to
be noticed that the rigidity of a vertical column of the effective masses is not taken into account.
(Mori, 2000)
Eventually in this study, earthquake response analyses are carried out by two kinds of mod-
els; one model has a nonlinear pile, and the other has an elastic linear pile. In the two models,
shear springs connecting lumped masses in the column of the soil system are fully nonlinear, but
the interaction springs are elastic linear. The condition that the interaction springs are elastic is
expected to be conservative for evaluating the response of pile moment and curvature in deeper
portions according to the previous research results obtained by Mori & Hirata (2002b).
3.3 Models of analyses
The structure-pile system is modeled to have 43 nodes with lumped masses that are basically ar-
ranged in an equal interval of 1 m. The soil system is also modeled to be arranged in an equal
interval of 1 m, accordingly it has 34 nodes with lumped masses. The boundary conditions of
the model are as follows; the end of the deepest pile element is pined to the base for the model,
and a rotation spring, which represents the resistance of a spatially-distributed-pile group, is
fixed to the base. The rotation spring has a constant calculated by only considering axial rigidity
of piles and neglecting resistance of surrounding soils. Further, it is modeled as an elastic spring
fixed to the base, because that the axial force in the most outer pile is expected not to reach its
ultimate bearing capacity. The interaction springs are evaluated according to Sugimura (1972).
The input earthquake motions for the model are defined as a total motion in the base. The
damping for the model is numerically Rayleigh damping, whose parameters and are deter-
mined for making damping ratios at the 1st and 2nd eigenfrequencies of the soil system be 2 %.
3.4 Constitutive model of soils and its parameters
The nonlinear model of shear springs for soil elements in the column for the free field adopts
the model proposed by Ramberg-Osgood (abbreviated as R-O model.) Determination of pa-
rameters of the R-O model is basically using soil properties adopted for the design of the bridge
is shown in Table 1. Shear wave velocity, Vs for each layer is determined by Equations 4 and
5 empirically based on SPT N-value, N according to JRA design specification (JRA, 1996). Ri-
gidity of soil at a strain of 10
-4
%, G
0
is determined by the Equation 6 using density of soil,
theoretically.

3 / 1
100N V
s
= for fine-grained soils (4)
3 / 1
80N V
s
= for sandy soils (5)
2
0 s
V G = (6)

Proceedings, 3rd Greece-Japan Workshop: Seismic Design, Observation, and Retrofit of Foundations. Santorini 2009
74
Table 1. Soil properties for design and this study
Rigidity of soil, G and damping constant, h are dependant on a shear strain in soil element, .
For specifying such dependency as a target, Equations 7 and 8 proposed by Imazu & Fukutake
(1986) through compilation of related literatures. These equations can be applied up to a strain
of 0.5 %. Parameters a, b, c, and d in these equations are provided in cases of sand, clay, and
gravel for the average.
( )
b
a G G + = 1 1
0
(7)
d
c h = (8)
In order to fit the target dependency curves, G/G
0
- and h-, the two parameters of R-O
model. One of the two parameters is reference strain,
0.5
, which is strain of an element when the
rigidity of the element decreased to half of rigidity at a strain of 10
-4
%, and the other is damp-
ing ratio when the strain of element is infinity, h
max
. Eventually, the parameters adopted in this
study are shown in Table 2, and G/G
0
degradation curves of the model and target for sands, as
an example, is shown in Figure 3. Using the two parameters, the loading curve, or skeleton
curve in the plane of shear stress, and shear strain is expressed in Equation 9, where sub-
parameters and (These and are along the same notations as the two parameters for
Rayleigh damping, but these have different meanings and different values.) shown in Equations
10 and 11.
( )

+ = 1
0
G
(9)
max
max
2
2
h
h

= (10)

=
0 5 . 0
2
G
(11)

Table 2. Parameters of Ramberg-Osgood model for analysis


No. Soil type
Thickness
of layer
Averaged
SPT N-
Unit mass Cohesion
Shear wave
velocity
Rigidity
(m) (ton/m
3
) (kN/m
2
) (m/s) (kN/m
2
)
1 Fill 4 4 1.8 0 127 29028
2 Clayey soil 10 2 1.7 19.6 126 26989
3 Clayey soil 14 8 1.8 78.4 200 72001
4 Sandy soil 4 16 1.9 0 202 77528
5 Sandy soil >= 2 50 2.0 0 295 174048
Note
Sandy soil layer of No.5 was adopted as the bearing stratum for the design.
Reference strain
*1
Maximum damping ratio
*2

0.5
(%) h
max
(%)
Sand 0.0607 24.9
Clay 0.1406 14.5
Gravel 0.0348 14.4
Soil type
*1 Strain of an element when the rigidity of the element
*2 Damping ratio when the strain of element is infinity
decreased to half of that at a strain of 10
-4
%
Proceedings, 3rd Greece-Japan Workshop: Seismic Design, Observation, and Retrofit of Foundations. Santorini 2009
75

Figure 3. G/G0 degradation curves of the model and target for sands
3.5 Constitutive model of RC piles
Properties of the RC pile are shown in Table 3. A tri-linear model is adopted as a nonlinear
model for the moment and curvature relationship. The tri-linear model adopted in this study fol-
lows Takeda model defining a loading path along a curve consisting of three line segments with
two bents, an unloading path directing a past maximum response point, and a reloading along
the unloading path toward the unloading point. Characteristic points of the tri-linear model for
RC piles are shown in Table 4. Using the points in this table, the skeleton curves of the RC piles
are shown in Figure 4. On the other hand, an elastic linear model with an initial flexural stiff-
ness is adopted in the model to be applied EEA to.


Table 3. Properties of pile

Table 4. Characteristic points of tri-linear model for RC piles



Depth (m)

c
M
c

y
M
y

u
M
u
Condition
(m
-1
)
(kNm)
(m
-1
)
(kNm)
(m
-1
)
(kNm)
Cracking 2.3*10
-4
675 2.3*10
-4
675 2.3*10
-4
648
Yielding 2.4*10
-3
2199 2.4*10
-3
2225 2.2*10
-3
1556
Ultimate 2.1*10
-2
3190 1.2*10
-2
3190 1.4*10
-2
2105
0 - 2.4 m 2.4 - 10 m 10 - 30 m

0
0.2
0.4
0.6
0.8
1
1.2
0.0001 0.001 0.01 0.1 1

)
G
/
G
0

R-O
Imazu-Fukutake (Target)
Ramberg-Osgood model
Shear strain, (%)

0
0.2
0.4
0.6
0.8
1
1.2
0.0001 0.001 0.01 0.1 1

)
G
/
G
0

R-O
Imazu-Fukutake (Target)
Ramberg-Osgood model
Shear strain, (%)
Item
Type
Diameter
Length
Strength of concrete
Young's modulous
Specification of Re-bar
Depth from pile head major bar stirrup
0 to 2.4 m 28D29 D16 ctc150
2.4 to 10 m 28D29 D16 ctc300
10 to 30 m 14D29 D16 ctc300
24 N/mm
2
2.5*104 N/mm
2
SD295A
Specification
Cast-in-place reinforced concrete pile
1.2 m
30.0 m
Proceedings, 3rd Greece-Japan Workshop: Seismic Design, Observation, and Retrofit of Foundations. Santorini 2009
76
Figure 4. Skeleton curves of the RC piles by tri-linear model
3.6 Input earthquake motions
Two types of design earthquake motion waves are defined by and provided by JRA specifica-
tions. Type I is classified as a typical strong ground motion recorded at site a large distance
away during a large earthquake occurred in a subduction zone. On the other hand, Type II is
classified to a typical severely strong ground motions recorded at a site within a small distance
during a moderate-sized earthquake occurred in an inland seismic region. Input earthquake mo-
tion waves adopted in this study are show in Table 5. KPI wave, which is the NS component of
accelerogram of earthquake motion recorded at a depth of 83 m of Kobe Port Island (KPI) site
during Hyogoken-Nambu earthquake, is shown in Figure 5 as an example.

Table 5. Input earthquake motions

Figure 5. Acceleration time history of KPI wave for an input earthquake motion



0
500
1000
1500
2000
2500
3000
3500
0 0.005 0.01 0.015 0.02 0.025
Curvature (m
-1
)
M
o
m
e
n
t

(
k
N
m
)
0 - 2.4 m
2.4 - 10 m
10 - 30 m
Depth (m)
Cracking
Ultimate
Yielding
No. Type Earthquake motion wave Earthquake PGA (cm/s
2
)
1 I Kaihoku Bridge (Longi.) 1978 Miyagiken-Oki 319
2 I Itajima Bridge (Longt.) 1968 Tokachi-Oki 363
3 II Kobe Port Island (NS) 1995 Hyogoken-Nambu 679
4 II JR Takatori Station (NS) 1995 Hyogoken-Nambu 687
5 II Osaka Gas Fukiai (N27W) 1995 Hyogoken-Nambu 736
6 II JMA Kobe Obs. (NS) 1995 Hyogoken-Nambu 812
Note
Type I: Typical strong ground motion recorded at site a large distance away during a large
earthquake occurred in a subduction zone
Type II: Typical strong ground motions recorded at a site within a small distance during a
moderate-sized earthquake occurred in an inland seismic region
Types of design earthquake motion waves are defined by and provided by JRA.

-800
-400
0
400
800
0 5 10 15 20 25 30
Time (s)
A
c
c
.

(
c
m
/
s
2
)
KPI-83 m, NS
Abs.Max 679cm/s
2
, 8.06
Proceedings, 3rd Greece-Japan Workshop: Seismic Design, Observation, and Retrofit of Foundations. Santorini 2009
77
4 RESULTS AND DISCUSSIONS
4.1 Effects of nonlinearity of interaction springs
In this study, the interaction springs are, for simplicity, elastic linear in both models with the lin-
ear pile and with the nonlinear pile. However, effects of nonlinearity of the interaction springs
on the response of pile need to be discussed, for an example, on the basis of the results of a pre-
vious research by Mori & Hirata (2002b), prior to discussion on effectiveness of EEA for esti-
mation of nonlinear pile curvature. In their research, the object and basic model of theirs are the
same of this research, but the difference is additional adoption of a nonlinear model of interac-
tion springs, which used R-O model adjusted to characteristics of interaction springs. Due to
space limitation, the detail of determination of parameters for this R-O model is omitted here.
Input earthquake motion wave is only KPI wave, which has a severe intensity. Therefore, actual
inputs, however, are four differently scaled waves; 0.1, 0.2 and 0.5 times and no scaled or origi-
nal for studying the progress of degree of nonlinear response.
The observations on difference of responses of reactions and deformations of the interaction
springs under different magnitudes of input motions in terms of comparison between the linear
and nonlinear interaction springs will be basis for coming discussion. As the magnitude of input
motion from 0.1 times to 1.0 times scale, nonlinear responses of the interaction springs appear
firstly at and around the pile head, secondly at depths of 28 m and 32 m corresponding to
boundaries of high contrast of impedance, and finally appear at a depth of 14 m corresponding
to boundaries between soft and hard clayey soil layers. This suggests that an inertial force from
superstructure is most influential to the pile head, and that soil displacements are more influen-
tial to deep portions having higher contrast of impedance of soils at a boundary.
Distributions of maximum moment of pile in cases of differently scaled input motions are
shown in Figure 6a to Figure 6d for comparing linear elastic and nonlinear models of interaction
springs. We cannot find any obvious difference in the case of 0.1 times scaling in spite of ap-
pearance of clearly nonlinear responses of the interaction springs and the piles at and around
pile head. Even in the case of 0.2 times scaling, differences are very slight except depths of 28
m and 32 m showing clear predominance of the linear spring case. Taking into account the re-
sponse of the nonlinear spring case under cracking moment while the response of the linear case
go beyond it, we can understand a mechanism that nonlinear behavior of the interaction spring
reduce flexural responses of pile at deeper layer boundaries with relatively high impedance.
Quantifying the effect of such mechanism, a new index, nonlinear effect ratio (NER) with re-
gard to interaction spring is defined as the ratio of response of nonlinear case to that of linear
case. Inverse of this index means degree of overestimating flexural response of pile by elastic
interaction springs.

Figure 6. Distributions of maximum moment of pile in cases of differently scaled input motions for com-
paring linear elastic and nonlinear models of interaction springs

0
5
10
15
20
25
30
35

(
m
)
N
4
2
8
16
50
0
5
10
15
20
25
30
35

(
m
)
N
4
2
8
16
50
Interaction springs
Nonlinear
Linear

(c)

0.5

0 2000 4000

(kNm)
M
c
M
y
M
u
(d)

1.0

0 2000 4000

(kNm)
M
c
M
y
M
u
(b)

0.2

0 1000 2000 3000

(kNm)
M
c
M
y
(a)

0.1

0 500 1000 1500

(kNm)
M
c
Moment (kNm) Moment (kNm) Moment (kNm) Moment (kNm)
(a) 0.1 times scaling (b) 0.2 times scaling (c) 0.5 times scaling (d) No scaling
Soil profile
and SPT N
value
0
D
e
p
t
h

(
m
)
0
5
10
15
20
25
30
35

(
m
)
N
4
2
8
16
50
0
5
10
15
20
25
30
35

(
m
)
N
4
2
8
16
50
Interaction springs
Nonlinear
Linear

(c)

0.5

0 2000 4000

(kNm)
M
c
M
y
M
u
(d)

1.0

0 2000 4000

(kNm)
M
c
M
y
M
u
(b)

0.2

0 1000 2000 3000

(kNm)
M
c
M
y
(a)

0.1

0 500 1000 1500

(kNm)
M
c
Moment (kNm) Moment (kNm) Moment (kNm) Moment (kNm)
(a) 0.1 times scaling (b) 0.2 times scaling (c) 0.5 times scaling (d) No scaling
Soil profile
and SPT N
value
0
D
e
p
t
h

(
m
)
Proceedings, 3rd Greece-Japan Workshop: Seismic Design, Observation, and Retrofit of Foundations. Santorini 2009
78
In the case of 0.2 times scaled input, NERs of moment varies from 0.9 to 0.95 at most of pre-
dominantly responding portions except a depth of 32 m showing a NER of 0.6. In the case of
0.5 times scaled input, NERs of moment varies from 0.85 to 1.03 at predominantly responding
portions except a depth of 32 m showing a NER of 0.45. This indicates that a model with linear
elastic interaction springs overestimate flexural responses of pile at deeper layer boundaries
with relatively high impedance, especially a boundary of the upper end of a bearing layer.
Furthermore, in the case of no scaled input, a NER of moment is 1.25 at pile head but it is
0.95, 0.75 and 0.3 at depths of 15, 28 and 32 m, respectively. Observing the tendency in change
of NER distributions, we can understand that the increase of NER at pile head is induced from
deepening a point of resultant reaction of the interaction springs. On the other hand, the de-
crease of NERs at deeper potions can be understood that the deformation of nonlinear pile due
to larger shear strain of soil becomes more and more plastic and that the growth of moment of it
is reduced as well.
4.2 Influences of nonlinearity in flexural rigidity of pile and effects of EEA application
In the previous section, we understand about modeling of interaction springs that the linear elas-
tic model tends to overestimate the moment of pile at deeper portions rather than the nonlinear
(or tri-linear) model when the entire model has a nonlinear soil system and nonlinear pile ele-
ments. This means linear elastic modeling of interaction springs leads us conservative or safer
judgment. The results to be discussed hereafter are according to the analyses described in Chap-
ters 2 and 3 of this paper.
For discussing applicability of EEA to estimation of nonlinear flexural responses of a pile,
distributions of the responses are studied. The distributions of maximum moment of pile along
the depth in the case of Kaihoku wave input is shown in Figure 7a as an example. We can find
that there is much difference in the distributions between nonlinear and linear elastic models in
terms of magnitude and shape. Further discussions focus the depths of 4 m, 15 m, and 32 m. The
depth of 4 m corresponds to pile heads and that of 32 m to the upper end of the bearing stratum.
We should reconsider the tendencies that a lateral force on a pile head produces concentration of
moment there, and on the other hand, lateral soil displacements acting on the pile along the
depth produces concentrations of moment at boundaries with high contrast of impedance such
as the upper end of a bearing stratum. In addition, previously defined new index, nonlinearity
effect ratio (NER) is also applied with regard to a pile element as the ratio of response of
nonlinear case to that of linear case. On the basis of Figure 7a, NERs of moment at depths of 4
m, 15 m and 32 m are 3.6, 3.6 and 6.1, respectively. On the other hand, NERs of moment with
EEA application at the same depths are 0.60, 0.80 and 0.63, respectively. Therefore, EEA appli-
cation remarkably can revise estimation of moment response because of NER becoming closer
to one.
(a) Moment for Kaihoku (b) Curvature for Kaihoku (c) Curvature for KPI
Figure 7. Distributions of maximum flexural response of pile in cases of Kaihoku & KPI waves


100 1000 10000 100000

(kNm)

Mc My Mu

0.0001 0.001 0.01 0.1

(m
-1
)

u

0.0001 0.001 0.01 0.1

(m
-1
)

u
0
5
10
15
20
25
30
35

(
m
)
N
4
2
8
16
50
0
5
10
15
20
25
30
35

(
m
)
N
4
2
8
16
50
Linear
Nonlinear
EEA estimation
Moment (kNm) Curvature (m
-1
) Curvature (m
-1
)
D
e
p
t
h

(
m
)
SPT N

100 1000 10000 100000

(kNm)

Mc My Mu

0.0001 0.001 0.01 0.1

(m
-1
)

u

0.0001 0.001 0.01 0.1

(m
-1
)

u
0
5
10
15
20
25
30
35

(
m
)
N
4
2
8
16
50
0
5
10
15
20
25
30
35

(
m
)
N
4
2
8
16
50
Linear
Nonlinear
EEA estimation
Moment (kNm) Curvature (m
-1
) Curvature (m
-1
)
D
e
p
t
h

(
m
)
SPT N
Proceedings, 3rd Greece-Japan Workshop: Seismic Design, Observation, and Retrofit of Foundations. Santorini 2009
79
Hereafter, the curvature of pile, which is of importance in performance-based approach, is
discussed. The distributions of maximum curvature of pile along the depth in the case of Kai-
hoku wave input is shown in Figure 7b. We find that there is also much difference in the distri-
butions between nonlinear and linear elastic models in terms of magnitude and shape, while
EEA application revise a distribution shape of linear elastic response much better than moment.
NERs of curvature at depths of 4 m, 15 m and 32 m are 0.16, 0.39 and 0.11, respectively. On the
other hand, NERs of curvature with EEA application at the same depths are 0.56, 1.02 and 0.66,
respectively. Moreover the situation in the depth of 28 m is very similar to that in the depth of
32 m. Therefore, EEA application considerably can revise estimation of curvature response in
this case. In particular, it is understood that EEA is practically very effective to estimation of
plastic response of pile curvature in deeper portions. For confirming this understanding, let us
see other example. The distributions of maximum curvature of pile along the depth in the case
of KPI wave input is shown in Figure 7c. The shape of each models and the tendencies of
nonlinear effects that can be evaluated by NER are almost the same as described previously.
Thus, the understanding can be confirmed.
4.3 Influences of nonlinearity in flexural rigidity of pile and effects of EEA application
In the previous section, influences of nonlinearity in flexural rigidity of pile was discussed on
the basis of distribution of flexural responses of pile, and accordingly effects of EEA application
for estimation of nonlinear curvature of pile were confirmed, especially in its deeper portions.
Then, the applicability of EEA is discussed through comparison among predominant curvature
responses at three specific depths in cases of various types of input waves. Figure 8 shows
variation of NERs of curvature at depths of 4 m, 15 m and 32 m subjected to all six input mo-
tions. For linear models of pile, NERs vary approximately from 0.1 to 0.4. On the other hand,
NERs vary approximately from 0.5 to 1.2 for EEA application. In particular, the average of
NERs in deeper portions is roughly 0.8. Considering the degree of the effect of overestimate by
using linear interaction springs, which was discussed in 4.1, I can conclude that EEA applica-
tion to an entire model with linear elastic pile elements and linear elastic interaction springs is
practically very efficient for evaluating plastic curvature of pile subjected to severe earthquake
motions.

Figure 8. Variation of nonlinearity effect ratio (NER) of curvature at depths of 4 m, 15 m and 32 m sub-
jected to six input motions
5 CONCLUSIONS
The applicability of equal energy assumption (EEA) to linear elastic pile response for estimation
of ductility factor response of a nonlinear pile was studied on the basis of fully nonlinear dy-
namic response analyses on an actual bridge pier. It is concluded as follows;

0.01
0.1
1
10

/

4 m

15 m

32 m
/

4 m

15 m

32 m
1 2 3 4 5 6

EEA application/Nonlinear
4 m
15 m
32 m
Linear/Nonliner
4 m
15 m
32 m
Number of input motion
R
a
t
i
o

o
f

c
u
r
v
a
t
u
r
e
s

0.01
0.1
1
10

/

4 m

15 m

32 m
/

4 m

15 m

32 m
1 2 3 4 5 6

EEA application/Nonlinear
4 m
15 m
32 m
Linear/Nonliner
4 m
15 m
32 m
Number of input motion
R
a
t
i
o

o
f

c
u
r
v
a
t
u
r
e
s
Proceedings, 3rd Greece-Japan Workshop: Seismic Design, Observation, and Retrofit of Foundations. Santorini 2009
80

(1) On the basis of fully nonlinear response analyses of soil-pile structure system subjected to
four differently scaled input waves for studying the progress of degree of nonlinear behavior in
each element of the system, the nonlinear behavior of the interaction spring reduces flexural re-
sponses of pile at deeper layer boundaries with relatively high contrast of soil impedance. De-
fining a nonlinear effect ratio (NER) as the ratio of response of nonlinear case to that of linear
case with regard to interaction spring for quantifying the effect of such mechanism, it was found
that NERs at pile head and deeper potions become lesser than one as the input wave increases.
This means elastic modeling of interaction spring overestimates flexural response of pile rather
than nonlinear modeling of it.

(2) EEA application to linear elastic pile modeling considerably can revise the estimation of
nonlinear flexural responses of pile such as moment and especially curvature in terms of pre-
dominant response in their distribution along the depth. In particular, it is understood that EEA
is practically very effective to estimation of plastic response of pile curvature in deeper portions.
NERs of curvature of pile subjected to all six input motions vary approximately from 0.1 to 0.4
for a linear elastic pile, on the other hand, vary approximately from 0.5 to 1.2 for EEA applica-
tion. In particular, the average of NERs in deeper portions for EEA application is roughly 0.8.

(3) EEA application to an entire model with linear elastic pile elements and linear elastic inter-
action springs is practically very efficient for evaluating plastic curvature of pile subjected to
severe earthquake motions.
REFERENCES
Imazu, M. & Fukutake, K. 1986. Dynamic deformation properties of gravels. Proc. 21st Ann. Conf. Jap.
Soc. Soil Mech. Found. Eng., JSSMFE: 509-512. (in Japanese)
Japan Road Association (JRA) 1996. Design Specification of Highway Bridge, Part V Seismic Design:
Maruzen. (in Japanese)
Mori, S. 2000. Proposal of spring-mass model for pile-foundation structure and its application to really
damaged structures, Journal of Applied Mechanics, JSCE, 3: 609-620. (in Japanese with English ab-
stract)
Mori, S. & Hirata, A. 2002a. Evaluation of nonlinear seismic response of pile by constant energy rule.
Proc. 37th Ann. Conf. Jap. Geotech. Soc., JGS, 1495-1496. (in Japanese).
Mori, S. & Hirata, A. 2002b. Effects of nonlinearity of members on seismic response of pile-foundation
structure. Journal of Structural Engineering, JSCE 48A: 469-478. (in Japanese with English abstracts)
Mori, S, Suga, K. & Akaishi, T. 2009. Evaluation chart of existing pile foundation against seismic soil
displacements. Performance-Based Design in Earthquake Geotechnical Engineering, Proc. Intern.
Works. Kokusho, Tsukamoto & Yoshimine (eds) , London: Taylor & Francis Group: 667-674.
Newmark, N.M. & Rosenblueth, E. 1971. Fundamentals of Earthquake Engineering, Prentice-Hall Inc.
Penzien, J., Scheffey, C.F. & Parmelee, R.A. 1964. Seismic Analysis of Bridges on Long Piles, Journal
of the Eng. Mech. Div., Proc. of ASCE 90(EM3): 223-254.
Sugimura Y. 1972. Research on Seismic Vibration Characteristics of Foundations Supported by Long
Piles in Soft Soils, Dissertation to Waseda University. (in Japanese)

Proceedings, 3rd Greece-Japan Workshop: Seismic Design, Observation, and Retrofit of Foundations. Santorini 2009
81
Sinkage of a Pile Foundation during the Niigata-ken Chuetsu-oki
Earthquake in 2007


Y. Goto
Earthquake Research Institute, the University of Tokyo, Bunkyo-ku, Tokyo, Japan
1 INSTRUCTION
ABSTRACT: A new building supported by pile foundation in the Kashiwazaki sewage treat-
ment plant sank by a hundred and several tens millimeter during the strong shaking (more than
X of EMS98) of the Niigataken Chuetsu-oki Earthquake in 2007. The building was designed
according to the new seismic design code revised after the 1995 Kobe Earthquake but sank
more than the adjacent old building of mat foundation did. This paper reports an overview of the
damage, analyses the mechanism of the sinking and discusses some issues about the earthquake
proof design of foundations against high level of seismic load.



1.1 General overview of the earthquake
Kashiwazaki-city, one of the middle scale cities on
the northern-central shore of Japan main island, hav-
ing ninety thousand population, was hit by a very
strong shaking more than X in EMS98 scale due to
the earthquake of July 16, 2007 having Magnitude
6.8. The world largest scale nuclear power plant is
located in Kashiwazaki-city. Very many professionals
focused on the effect of so strong shaking to the nu-
clear power plant and considerable lessons have been
extracted. However, there are some useful lessons ex-
tracted from damages of ordinary structures.
Epicenter
Aftershock
Area
Nuclear
Power Plant
The author made damage reconnaissance of a sew-
age-treatment plant of Kashiwazaki-city focusing his
interest on a pile foundation. Sewage-treatment plant
is often located on a shore or a river side, where
ground condition is commonly poor. So it is unavoid-
ably easy to suffer earthquake damages.
1.2 Kashiwazaki-city sewage-treatment plant
The Kashiwazaki sewage-treatment plant (purifica-
tion capacity is 40,700 kiloliter a day) is located on
the mouth of Sabaisi River also (Fig. 1). It is about
15 km south-southwest of the epicenter.
Kashiwazaki
City Office
Railway
Station
Sewage
Treatment
Plant
2km
200km
Figure 1. Location of Epicenter and
Kashiwazaki-city
(detached to Google
)
Proceedings, 3rd Greece-Japan Workshop: Seismic Design, Observation, and Retrofit of Foundations. Santorini 2009
82

Although there was not any seismometer in the plant, the shaking intensity is estimated to have
exceeded X (EMS98) from an interpolation of seismometer records around the site, namely,
JMA Intensity 6-upper (about EMS98 X) at the city office of Kashiwazaki and Kashiwazaki
railway station and JMA Intensity 7 in the nuclear power plant site (maximum among the many
seismometers in that site).
Main building
Purification facilities
Digester tanks
Sabaisi River
50 m
Main sludge-treatment building
Sludge Inspecttion
Building
Dense sand dune
Gas facility
Figure 3. Total layout of Kashi-
wazaki sewage treatment plant
Figure 2. Typical boring logs
Figure 2 is a typical borehole exploration data of the site. The surface layer is loose buried
sandy soil of 3 meters depth overlying on loose sand sediment layer of 4 meters. These layers
are followed by dense sand dune layer. The depth of bedrock of this area is supposed to be sev-
eral hundred meters.
1.3 Damage overview of the sewage-treatment plant
Figure 3 shows total layout of the plant. Although some sections of the sewage line in Kashi-
wazaki-city were heavily damaged (mainly by liquefaction), influent wastewater to the plant
was increased 1.3 times because of inflow of underground water, and drift sand increased con-
siderably.
The function to flow the sewage through the plant and to run it out was not damaged. Main fa-
cilities for sewage-treatment were not damaged too, because they were series of massive rein-
forced concrete pools based on improved sand layer, where sand compaction pile method was
used for the improvement. Power outage was only one minute and purification function of the
plant was recovered soon after the earthquake.
While, the sludge treatment function of the plant went down because of some damages on the
treatment facilities, such as digester tanks, sludge squeeze transportation line, and gas facilities
for heating sludge. These damages did not affect the purification function of sewage directly. A
temporary sludge transportation line was equipped within 5 days, and the sludge was stored un-
digested, then dewatered and carried out from the plant.
Proceedings, 3rd Greece-Japan Workshop: Seismic Design, Observation, and Retrofit of Foundations. Santorini 2009
83
2 DAMAGE OF SLUDGE INSPECTION BUILDING
2.1 Profile of the Sludge Inspection Building
As mentioned above, main facilities for purification were not damaged, but a large vibrational
and residual displacement of an attached building, which had been designed according to the
new seismic design code revised after the 1995 Kobe Earthquake, made trouble. The building,
called as Sludge Inspection Building, had pile foundation and was constructed on a side of main
sludge-treatment building which had deep mat foundation based on dense sand layer. Figure 4 is
a side view of the main building and the Sludge Inspection Building. The latter is reinforced
concrete building having three stories and had been supported by fifty-one PHC piles (shear-
strength-improved type) as shown in Figure 5. The pile was eight meters in length and 700mm
in diameter and supported 900kN static load.




Sludge Inspection
Building
Main Sludge
Treatment Building
Figure 4. Side view of Main Sludge Treatment Building (left) and Sludge Inspection Building (right)





Future
extension
Figure 5. Profile of pile and plan of pile layout
Pile top
reinforcement
Footing
Concrete
filled in
4
5
0
0

4
5
0
0

5
6
0
0

5
4
0
0

6000 6000
5
4
0
0

PHC pile
shear strength improved type
Proceedings, 3rd Greece-Japan Workshop: Seismic Design, Observation, and Retrofit of Foundations. Santorini 2009
84
2.2 Sinking and relative displacement
Due to the earthquake, the Sludge Inspection Building settled down 90mm and displaced later-
ally 200mm relative to the main building (Fig. 6 & 7). As the large interrrspaces, more than one
hundred millimeter, were left between the sides of the base slab and the ground, relative instan-
taneous displacement between the two buildings during the earthquake was supposed to be lar-
ger than 200 mm. This large gap was one of the causes of the breakage of the sludge squeeze
transportation line (Fig. 8). The main sludge-treatment building, itself, was estimated to have
sunken down several tens millimeter by a leveling after the earthquake. Accordingly, the Sludge
Inspection Building sank down one hundred and several ten millimeter absolutely.
2.3 Damage of the piles
Figures 9 & 10 show the upper ends of the piles, which were cracked by bending clearly. How-
ever, this type of failure is unexplainable for the
sinking more than several ten millimeters unless
the extent of the failure causes detaching of
concrete from the pile. The used piles were
typical shear-strength-improved type which was
developed after the 1995 Kobe earthquake. Al-
though there were many evidences of liquefac-
tion of the surface layer around the building,
large scale lateral spreading or flowing were not
observed in the site. So shear failure of the piles
seemed hard to occur at underground. Finally, it
is concluded that the piles sank down from their
tips.
Figure 6. Right side is pile foundation

Figure 8. Breakage of sludge transportation line
(Kume 2007)
Figure 7. Left side is pile foundation

Figure 10. Crack at a pile top Figure 9. Crack at a pile top
Proceedings, 3rd Greece-Japan Workshop: Seismic Design, Observation, and Retrofit of Foundations. Santorini 2009
85
2.4 Design and construction method of the piles
The applied design formula for estimating bearing capacity of the piles was commonly used
one;

(1)

here, RaL ; long term allowable bearing
capacity (kN)
R l =
3
1
( N A 1.5 L ) a
_
p + f
; end bearing capacity factor

10
D
L
90 ; = 25 (L 5m)
90 <
D
L
110 ; = 25
4
1
(
D
L
- 90)




L ; length of pile
D ; external diameter of pile
; average standard penetration number value of ground between pile tip - 4D depth
and pile tip +1D depth.
Ap ; cross section area of pile defined by outer diameter
Lf ; length (in meter) of pile where surface friction can be countable.
N
_

; perimeter length (in meter) of pile



Allowable bearing capacity for short period load such as earthquake shall be double of
long term bearing capacity.

According to the formula, the allowable long term bearing capacity of one pile was calculated as
1040 kN, and 2080 kN for the short term bearing capacity. So, the cause of the sinking seemed
not to be in design calculation as far as the formula (1) is reliable.
2.5 Piling method
The piling method of the piles was one of the typical inner-boring, foot-protection and tip-
broadening methods. The process is shown in Figure 11. Diameter of the tip-broadening part
was 900mm, while that of the piles was 700mm. The broadening was elongated one meter from
the tip of the piles. The void of the elongated part was filled by cement milk (w/c; 60%).

Drilling
and pile
insert
Broadening Pile insert Drill clawback Cement milk filling
Figure 11. Piling method
Proceedings, 3rd Greece-Japan Workshop: Seismic Design, Observation, and Retrofit of Foundations. Santorini 2009
86
2.6 Scenario of the sinking
Fine sand
Middle sand
Sandy silt
Silty clay
50
Broaden part level
SPT number
Figure 12. Boring log and pile tip level
Dese dune sand layer
Pile
Pile tip level
Figure 12 shows the boring log and the setting depth of
the piles comparatively. The tip of the broadening part
almost reaches the bottom boundary of the dense dune
sand layer. So the authors scenario is;
(1) Surface sandy soil was liquefied due to the strong
earthquake, and the skin friction between the piles and
the soil disappeared.
(2) The piles became supported by the broadening parts
only.
(3) Pore water pressure in the dense dune sand layer and
the soft sandy soil layer just below the dune sand rose
up, and the bearing capacity of these layers decreased.
(4) The tips of the broadening part punched the dense
dune sand through and sank.
3 CONSIDERATION FROM A VIEW POINT OF
DESIGN PHILOSOPHY
3.1 Structural safety was reserved but performance was lowered
The sinking was uniform and the superstructure of the Sludge Inspection Building did not suffer
any significant structural damage. As the structural safety was reserved against such strong
shaking, the seismic design applied to the building was judged to be adequate. However there
remains one problem, that is, the sludge transportation line was broken due to the large relative
displacement against adjacent building.
It is a common knowledge of geotechnical engineers that same type of foundation should be ap-
plied to buildings which need to minimize relative displacement each other. But, in this plant,
pile foundation was applied to a new building even if it would be in contact with a previous
building which had been built on deep mat foundation.
The following circumstances were supposed to be to this issue;
(1) As the new building needed no underground floor, a deep mat foundation was not good
choice because of its high cost.
(2) While, a shallow mat foundation, even if a soil improvement was combined, was not appli-
cable because the sliding and the over-turning stabilities could not be satisfied against the
high design seismic force (0.6G of level 2) which had been adapted after the Kobe Earth-
quake.
(3) Consequently, a pile foundation was adopted. There seems to have been no other ways, even
if the design engineer noticed the large displacement of pile foundation might occur during
strong earthquake,
3.2 Discrepancy between high design earthquake force and design calculation method
The discrepancy between the high design earthquake force (0.6G) and the design calculation
method concerning sliding and over-turning stabilities should be considered much more. The
stabilities are usually evaluated by the classic plastic-equilibriums theory of inertia force to fric-
tion, bearing capacity of sub-soil and geometric stability. But, the classic theory is adequate to
inertia force around 0.2G and loses its balance when applied to so high inertia force as 0.6G.
Low possibility but extremely high earthquake load such as 0.5-1.0G has become accepted to be
rational from the experiences of recent destructive earthquakes and researches.
Allowable residual displacement concept based on the deformation estimation must be im-
proved and the effort to apply it in the earthquake proof design for foundations is expected.
Proceedings, 3rd Greece-Japan Workshop: Seismic Design, Observation, and Retrofit of Foundations. Santorini 2009
87
4 RESTORATION WORK

A series of careful inspection and back-analyses revealed that all heads of the piles had been
cracked, but at the same time, revealed that most of the pile cap footings and the under floor
beams had not been damaged. Then, small holes were drilled through the base floor, and ce-
ment-mixed soil columns were created under the whole area of the footings using a high pres-
sured jet mixed method.
5 CONCLUSION

(1) A new building supported by pile foundation sank by a hundred and several tens millimeter
due to a strong shaking of X or more in EMS98 scale during the 2007 Niigata-ken Chuetsu-
oki Earthquake.
(2) The cause of sinking was supposed to be the pile tips' punching through a supporting layer.
(3) Structural safety of the new building was reserved but its performance was lost due to the
sinking and the large lateral displacement relative to an adjacent building which was based
on deep mat foundation.
(4) The choice of pile as the foundation was rational as far as the new design code, which had
been innovated after the 1995 Kobe Earthquake, was concerned.
(5) Problem is in the discrepancy between the high design earthquake force (0.6G) and the de-
sign calculation method, which automatically excludes use of shallow mat foundation.
(6) Challenge we are facing is to improve an allowable residual displacement concept based on
deformation estimation and to apply it in earthquake proof design for foundations.


ACKNOWLEDGEMENT

The author would like to express sincere thanks to Mr. Atsushi Nagaoka, Head of Kashiwazaki
Sewage Treatment Plant, for his limitless cooperation to this survey.


REFERENCES

JSCE, JGS, JAEE, AIJ and SSJ 2007. Disaster Reconnaissance on the 2007 Niigata-ken Chuetsu-oki
Earthquake; Handout for Debrief Session (in Japanese)
Kume E. 2007. Quick Report on Sewage Treatment Plants and Facilities due to the 2007 Niigata-ken
Chuetsu-oki Earthquake, Quarterly journal Mizusumasi 2007 summer, 20-24 Japan Sewage Works
Agency Japan Sewage Works Agency (in Japanese)









Proceedings, 3rd Greece-Japan Workshop: Seismic Design, Observation, and Retrofit of Foundations. Santorini 2009
88
1 INTRODUCTIONS
Soil liquefaction brought severe damage to pile foundations of road bridges and buildings dur-
ing the 1995 Kobe Earthquake, liquefaction and lateral spreading of the liquefied sand in Kobe
port area caused extensive damage to port facilities. Seaward displacements of the sheet pile
quay walls due to lateral spreading of the liquefied soil extended over several meters, as a result,
translation and inclination occurred to neighboring pile foundations.
Sheet pile quay walls have been widely used in metropolitan areas where many structures and
bridges have been constructed using pile foundations. In order to mitigate the damage to these
structures resulting from probable future large earthquakes, it is therefore necessary to develop
appropriate countermeasures. Consequently, it is important to understand the mechanisms re-
garding seismically induced ground deformation behind sheet pile quay walls and to evaluate
their effects on neighboring pile foundations.
Recently, at National Research Institute for Earth Science and Disaster Prevention in Japan
(NIED), a series of large scale shake table tests were conducted to study the seismic response of
sheet pile wall system and the liquefaction and deformation characteristics of the saturated sand
backfill, as well as the response of the neighboring pile foundations. In these experiments, both
the liquefaction and post liquefaction stages were modeled and studied. The largest laminar box
in the world was employed in order to obtain nearly full-scale testing results to ascertain the
mechanisms of lateral ground flow of the liquefied soil behind sheet pile quay walls and to eva-
luate the effects of the liquefied earth pressure acting on pile foundations both during the ground
shaking and post liquefaction stage.
2 LARGE-SCALE TESTS
2.1 Apparatus
A large-scale laminar box (6.0m x12.0m x 3.5m) which is the largest in the world to this date,
and a large shake table (15m x 14.5m) in National Research Institute for Earth Science and Dis-
Large-scale Shake Table Tests on Lateral Spreading of Sheet-pile
Quay Wall and Pile Foundation


M. Sato & K. Tabata
National Research Institute for Earth Science and Disaster Prevention, Tsukuba, Japan
ABSTRACT: Shaking table tests of two large-scale models with liquefiable deposit on lateral
spreading under earthquake motions were performed to reveal the failure mechanism of sheet-
pile-type quay wall and pile foundation behind the wall. These tests simulated the lateral
spreading behavior of the deposit with slow rate of ground deformation, which is assumed to
occur even after earthquake shaking. The test results also indicated that deposits residual de-
formation induced by cyclic motions due to an earthquake and structures inertial force influ-
ence largely the deformations of the quay wall and pile foundation.

Proceedings, 3rd Greece-Japan Workshop: Seismic Design, Observation, and Retrofit of Foundations. Santorini 2009
89
aster Prevention (NIED) were used to perform the experiments. Photo 1 shows the shake table
and the assembled laminar box. The laminar box is designed to slide to maximum one meter in
horizontal direction. The each layer of the box can move independently regarding its upper and
lower layers. A rubber membrane is placed to provide a waterproof inside the box. External
frames with horizontal rollers ensure safe and accurate movement of the layers, while the inter-
nal stoppers are used as limiting measures to stop excessive movement of the individual layers.
2.2 Test cases and input motions
Two tests were executed. The depth of the deposit in CASE-1 was 4.5m, while that in CASE-2
was 5.0m. The experimental conditions of two tests are almost same except these depths and
pile materials. Reinforced concrete piles were used in CASE-1, while steel piles in CASE-2.
Figure 1 shows the test model in a large-scale laminar box and locations of transducer in CASE-
2. The model and the transducer locations were almost same in CASE-1.

Five cycles of sinusoidal wave were used as the input motion. Figure 2 shows the time histories
of the input accelerations and velocities in CASE-1 and CASE-2. The maximum acceleration
450 gal and the maximum velocity 17 cm/s with the frequency 4 Hz were used in CASE-1,


Photo 1 Large-scale laminar container fixed on the shake table in NIED
Section
East
Acc.West1
Acc.Structure
PWP-West1
Disp.Structure
Disp.Sheet-pile
Accelerometer
Pore Pressure meter
Displacement
Bending Strain
Acc.Input
11, 600mm
5, 000mm
500mm
800mm
3, 700mm
West
PWP-West2 Acc.West2
Acc.East1
Acc.East2
Acc.East3
PWP-East1

PWP-East2
PWP-East3
Pile-A

Figure 1 Schematic illustration of the shake table test model (CASE-2)
Proceedings, 3rd Greece-Japan Workshop: Seismic Design, Observation, and Retrofit of Foundations. Santorini 2009
90
while 350 gal and 37 cm/s with 1.5 Hz were used in CASE-2. The maximum velocity in
CASE-2 was about twice of CASE-1. In consequence, the table input energy of Case-2 was
about four times of CASE-1.
2.3 Soil material
Clean sand from Kasumigaura area in Ibaraki prefecture in Japan was sampled and used in this
experiment. Index tests were performed on this sample, and Figure 3 shows the grain size distri-
bution and physical properties of the material.
2.4 Sample preparation method
Four reinforced concrete piles in CASE-1 were installed in the center of the laminar box by pin
connection to the base. Diameter of the piles was 15 cm and their length was 4.5 m. Center to
center space between the piles was 0.9 m and a steel top cap provided a rigid connection on top
of the piles. Similarly, four steel piles in CASE-2 were installed. A sheet pile in CASE-1 and
CASE-2 was installed in the east side of the piles with 30 cm space from the laminar box wall.
This sheet pile was used to provide lateral soil pressure on the liquefied soil to keep it moving
toward the water side. The box was partially filled with water, and dry sand was pluviated in the
water. As the hydraulic sediment was filled in the box, the water level was also increased. Based
on the past experience, it was proved that this method gives a uniform and relatively loose satu-
rated sample (Dr= 45%). In the next step, the sheet pile installed, and the filling procedure con-
tinued until the soil level in east and west side of the sheet pile reached to 4.0 and 3.2 m in
CASE-1, respectively. The water level at this stage was 0.5 m from ground surface. Then, in the
east side, a layer of unsaturated soil was placed to raise the ground level to 4.5 m. Soil, piles and
sheet piles were heavily instrumented with pore water pressure and displacement transducers, as
well as accelerometers and strain gauges. Instruments were fixed on a thin net and installed in
the box, before sand pluviation. Total number of 256 channels was used for data acquisition of
-500
0
500
A
c
c
.

(
g
a
l
)
(a)Input Acc.
-50
0
50
0 1 2 3 4 5 6 7 8
V
e
l
.

(
c
m
/
s
)
Time (s)
(b)Input Velocity
-500
0
500
A
c
c
.

(
g
a
l
)
(a)Input Acc.
-50
0
50
0 2 4 6 8 10 12 14
V
e
l
.

(
c
m
/
s
)
Time (s)
(b)Input Velocity

(CASE-1Sine 4.0Hz, a
max
=450Gal) (CASE-2Sine 1.5Hz, a
max
=350Gal)
Figure 2 Measured input motion time histories on shake table


0
20
40
60
80
100
0.01 0.1 1 10
P
e
r
c
e
n
t

f
i
n
e
r

b
y

w
e
i
g
h
t

(
%
)
Grain size (mm)
Kasumigaura Sand
D50 (mm) 0.31
Uc 3.0
Gs 2.718
Fc (%) 5.4
emax 0.961
emin 0.570

Figure 3 Grain size distribution curve and physical
properties of Kasumigaura sand


Photo 2 Structure and sheet-pile model on large-scale
test
Proceedings, 3rd Greece-Japan Workshop: Seismic Design, Observation, and Retrofit of Foundations. Santorini 2009
91
outputs of the instruments. Then, heavy plates were mounted and fixed on top cap until its
weight reached to about 10 tons, as a model for a massive super structure.
3 TEST RESULTS
3.1 Acceleration responses and excess pore water pressures of sand deposits
Figure 4 shows the time histories of response accelerations observed at the backyard of the pile
foundation and sea-side in front of the quay wall. Similarly, Figure 5 shows the time histories of
excess pore water pressures. The comparison of these time histories of the accelerations and
excess pore water pressures in Figures 4 and 5 indicates that soil liquefaction occurred after 2 or
3 cycles and then vibrations did not transfer to upper layers due to soil liquefaction. The test re-
sults reveal that after a few pulses of shaking, excess pore water pressure in loose backyard in-
creased.
3.2 Displacements of sheet-piles and structures
The large displacement caused by soil liquefaction was measured on the top of the pile-group
structure and sheet pile. The displacement time histories in CASE-1 and CASE-2 are shown in
Figure 6. The lateral displacements of the sheet pile in these cases cyclically accumulated dur-
ing the shaking and slowly grew up after the shaking. On the other hand, the lateral displace-
ments of the structure accumulated during the shaking, while these did not grow up remarkably
after the shaking.
The displacement of the top of the sheet pile at the end of the shaking (about t=5 second) was
about 25 mm in CASE-1. The figure indicates that at t=50 second the lateral displacement in-
creased only about 5 mm, and after this moment a rapid change in rate of lateral displacement
was observed. The flow continued until t=200 second and the maximum displacement reached
to about 100 mm at the top of the sheet pile. In CASE-2, the displacement of the top of the sheet
-500
-250
0
250
500
East-1(GL-1140mm)
East-2(GL-2400mm)
A
c
c
.

(
G
a
l
)
(a) Acc. Ground East (backyard)
-500
-250
0
250
500
West-1(GL-1100mm)
West-2(GL-2360mm)
0 1 2 3 4 5 6 7 8
A
c
c
.
(
G
a
l
)
(b) Acc. Ground West (seaside)
Time (s)
-500
-250
0
250
500
East-1(GL-1220mm)
East-2(GL-2480mm)
A
c
c
.

(
G
a
l
)
(a) Acc. Ground East (backyard)
-500
-250
0
250
500
West-1(GL-1180mm)
West-2(GL-2440mm)
0 2 4 6 8 10 12 14
A
c
c
.

(
G
a
l
)
(b) Acc. Ground West (seaside)
Time (s)

(CASE-1Sine 4.0Hz, a
max
=450Gal) (CASE-2Sine 1.5Hz, a
max
=350Gal)
Figure 4 Acceleration time history measured in ground of backyard and seaside

-10
0
10
20
30
East-1(GL-1140mm)
East-2(GL-2400mm) P
W
P

(
k
P
a
)
(a) PWP-East
(backyard)
-10
0
10
20
30
West-1(GL-1100mm)
West-2(GL-2360mm)
0 1 2 3 4 5 6 7 8
P
W
P
(
k
P
a
)
(b) PWP_West
(seaside)
Time (s)
-10
0
10
20
30
East-1(GL-1220mm)
East-2(GL-2480mm)
P
W
P

(
k
P
a
)
(a) PWP-East
(backyard)
-10
0
10
20
30
West-1(GL-1180mm)
West-2(GL-2440mm)
0 2 4 6 8 10 12 14
P
W
P

(
k
P
a
)(b) PWP-West
(seaside)
Time (s)

(CASE-1Sine 4.0Hz, a
max
=450Gal) (CASE-2Sine 1.5Hz, a
max
=350Gal)
Figure 5 Excess pore water pressure generation and dissipation time histories in ground of backyard and seaside
Proceedings, 3rd Greece-Japan Workshop: Seismic Design, Observation, and Retrofit of Foundations. Santorini 2009
92
pile at the end of the shaking (about t=9 second) was about 300 mm. The flow continued until
t=180 second and the maximum displacement reached to about 440 mm.
Based on the results, it can be clearly said that these tests were able to reproduce the phenome-
non of post-liquefaction behavior of the liquefied backfill sand that slowly flew toward seaside.
The displacements of the sheet pile and structure dividing with during and after the shaking
show in Table 1. The displacements of the sheet pile and structure in CASE-1 and CASE-2 were
almost same after the shaking, but these were large different during the shaking. The reason is
that these displacements depended on the input motion energy and the liquefaction response of
the sand deposit.
The influence on the displacement of the structure during the shaking was larger than that after
the shaking because the ratio of the displacement of the structure and sheet pile quay wall was
0.80 during the shaking and 0.20 after the shaking in CASE-1, and 0.47 during the shaking and
0.19 after the shaking in CASE-2.
These facts indicate that, when predicting displacement, it is not sufficient to take into account
the liquefaction-induced large ground deformation only after the shaking.
3.3 Bending Strains of piles
Strain gauges were attached on ten different height levels of the piles to measure the bending
strain time history during and after the shaking. Figure 7 shows bending strain time histories on
each depth of the sheet pile in CASE-1 and CASE-2. The distributions of bending strain about
the altitude shows in Figure 8.
The bending strain of pile top in CASE-1 was too small to release bending moment by the struc-
ture rocking. In addition, the large bending strain concentrated at the local point of GL-3000
mm to break out cracks of the concrete pile. A local point of concentration of the bending strain
of the steel pile in CASE-2 could not be found, but the value at around GL-3000 mm was large.
This depth was near the bottom of the sheet pile because the stress of the pile became large in
the depth to cause ground deformation due to lateral spreading.
In CASE-1, the distributions of bending strain at t=2.39 and t=2.58 seconds during the shaking
was small due to rotation of the pile top. The distribution at t=3.33 second during the shaking
showed peak at GL-3,000 mm, and that bending strain caused by ground deformation due to lat-
eral spreading. When the test model ground was demolished after the test, the damage of piles
-50
0
50
100
150
Sheet-pile
Structure
1 10 100 1000
D
i
s
p
.
(
m
m
)
Time (s)
-250
0
250
500
/ /
Sheet-pile
Structure
1 10 100 1000
D
i
s
p
.

(
m
m
)
Time (s)

(CASE-1Sine 4.0Hz, a
max
=450Gal) (CASE-2Sine 1.5Hz, a
max
=350Gal)
Figure 6 Displacement time histories on top of the sheet pile and structure

Table 1 Displacements of sheet-pile and structure for during shaking and after shaking
During shaking
(CASE-1:25sec)
(CASE-2:29sec)
After shaking
(CASE-1:5650sec)
(CASE-2:91000sec)
CASE-1
Sine4.0Hz,
a
max
=450Gal
Sheet-pile 25mm 75mm
Structure 20mm 15mm
Structure/Sheet-pile 0.80 0.20
CASE-2
Sine 1.5Hz,
a
max
=350Gal
Sheet-pile 300mm 85mm
Structure 140mm 15mm
Structure/Sheet-pile 0.47 0.19
Proceedings, 3rd Greece-Japan Workshop: Seismic Design, Observation, and Retrofit of Foundations. Santorini 2009
93
was investigated. As the results, several large cracks on the reinforced concrete pile caused near
GL-3000 mm and remained large bend.
The distribution shape of bending strain in CASE-2 is smooth because of the steel pile. The dis-
tributions at t=3.11 and t=4.49 seconds during the shaking are small similarly CASE-1, but
show large value near bottom of the sheet pile. The distributions at t=50 and t=665 seconds after
the shaking show a steady shape except near the pile tip.
4 CONCLUDINS
Two large-scale shake table tests were conducted to study the seismic response of sheet pile
wall system and the liquefaction and deformation characteristics of saturated sand backfill, as
well as the response of its neighboring pile foundations.
The test results revealed that after a few pulses of shake, excess pore water pressure in saturated
and relatively loose backfill increased, and the consequent loss of effective stress resulted in lat-
eral spread of the liquefied sand.
Post-liquefaction behavior of the liquefied sand was quite remarkable. The results clearly dem-
onstrate that the tests can reproduce the phenomenon of the post-liquefaction behavior of the li-
quefied backfill sand that slowly flows toward seaside.
-200
0
200
400
S
t
r
a
i
n

(
x
1
0
-
6
)
(a) Bending strain (Pile-A)
GL-250mm
-200
0
200
400
S
t
r
a
i
n

(
x
1
0
-
6
)
(b) Bending strain (Pile-A)
GL-500mm
-300
0
300
600
S
t
r
a
i
n

(
x
1
0
-
6
)
(c) Bending strain (Pile-A)
GL-1250mm
-400
0
400
800
S
t
r
a
i
n

(
x
1
0
-
6
)
(d) Bending strain (Pile-A)
GL-2000mm
1200
600
0
-600 S
t
r
a
i
n

(
x
1
0
-
6
)
(a) Bending Strain (Pile-A)
GL-380mm
1200
600
0
-600
S
t
r
a
i
n

(
x
1
0
-
6
)
(b) Bending Strain (Pile-A)
GL-1220mm
1200
600
0
-600
S
t
r
a
i
n

(
x
1
0
-
6
)
(c) Bending Strain (Pile-A)
GL-2060mm
1200
600
0
-600 S
t
r
a
i
n

(
x
1
0
-
6
)
(d) Bending Strain (Pile-A)
GL-2900mm
-800
0
800
1600
1 10 100 1000
S
t
r
a
i
n

(
x
1
0
-
6
)
(e) Bending strain (Pile-A)
GL-3000mm
Time (s)
1600
800
0
-800
1 10 100 1000
S
t
r
a
i
n

(
x
1
0
-
6
)
(e) Bending Strain (Pile-A)
GL-3320mm
Time (s)

(CASE-1Sine 4.0Hz, a
max
=450Gal) (CASE-2Sine 1.5Hz, a
max
=350Gal)
Figure 7 Bending strain time histories on pile-A


-1000 0 1000 2000
-5000
-4000
-3000
-2000
-1000
0
t=2.39(s)
t=2.58(s)
t=3.33(s)
t=5.00(s)
t=50. 0(s)
t=665(s)
Bending strain (x10
-6
)
D
e
p
t
h

(
m
m
)

-2000 -1000 0 1000
-5000
-4000
-3000
-2000
-1000
0
t=3.13(s)
t=3.50(s)
t=3.85(s)
t=4.94(s)
t=50. 0(s)
t=665(s)
Bending strain (x10
-6
)
D
e
p
t
h

(
m
m
)

(CASE-1Sine 4.0Hz, a
max
=450Gal) (CASE-2Sine 1.5Hz, a
max
=350Gal)
Figure 8 Bending strain distributions on pile-A
Proceedings, 3rd Greece-Japan Workshop: Seismic Design, Observation, and Retrofit of Foundations. Santorini 2009
94
The influence of during the shaking on the displacement of structure is larger than that after the
shaking. The displacements of the sheet pile and structure is dominated in the input motion
energy and the liquefaction response of sand deposit.
It is important to note that this study is an on-going research process and more data analyses,
shake table tests, centrifuge tests and numerical analyses are being conducted and the results
will be published.
5 REFERENCES
Editorial Committee for the Report on the Hanshin-Awaji Earthquake Disaster, 1997, Report on the Han-
shin-Awaji Earthquake Disaster, Damage to Civil Engineering Structure, Port and Coastal Facilities,
River Management Facilities and Sediment and Slope Movement Control Facilities, JSCE
Inatomi, T., et al., 1997, Technical Note of Damage to Port and Port-related Facilities by the 1995 Hyo-
goken- nanbu Earthquake, The Port and Harbor Research Institute, Ministry of Transport, Japan
Hanshin Expressway Public Corporation, 1996, Investigation on the Seismic Damages of Bridge Founda-
tion in the Reclaimed Land
Sato, M., Ogasawara, M., Tazoh, T., 2001, Reproduction of lateral ground displacements and lateral-flow
earth pressures acting on pile foundations using centrifuge modeling, Fourth International Conference
on Recent Advance in Geotechnical Earthquake Engineering and Sail Dynamics, San Diego, USA,
6pp.(CD-Rom), Paper No.9.33.
Tazoh, T., Sato, M., Gazetas, G., 2005, Centrifuge tests on pile-foundation-structure systems affected by
liquefaction-induced flow due to quay-wall collapse, Proceedings of the 1
st
Greece-Japan Workshop
on Seismic Design, Observation and Retrofit of Foundations, pp.79-106.
Tokimatsu, K.., Mizuno H., Kakurai M., 1996, Building Damage Associated with Geotechnical Prob-
lems, Special Issue on the 1995 Hyogoken-nanbu Earthquake, Soils and Foundations, p.p. 219-234.
Yasuda, S., Ishihara, K., Morimoto, I., Orense, R, Ikeda, M., and Tamura, S., 2000, Large-scale shakingt-
able tests on pile foundations in liquefied ground, Proceedings, 12th World Conference on Earth-
quake Engineering, Auckland, New Zealand, Paper No. 1474, 8pp.

Proceedings, 3rd Greece-Japan Workshop: Seismic Design, Observation, and Retrofit of Foundations. Santorini 2009
95
1 INTRODUCTION
Many large earthquakes have caused severe damage to various structures. Especially in the
1995 Hyogoken-Nambu earthquake, a lot of pile-supported structures behind quay walls in port
areas collapsed due to widespread liquefaction and its resulting lateral spreading of ground.
Such structures are necessary as facilities for rescue supplies to disaster areas as well as eco-
nomical distribution systems during rehabilitation process after the disaster. Therefore, under-
standing the lateral spreading behavior of liquefied ground and its influence so as to mitigate
earthquake disaster for port structures is one of the very important problems in geotechnical
earthquake engineering discipline. In spite of its importance, reproduction of a lateral spread-
ing phenomenon in the model ground on a centrifuge apparatus or shaking table is almost im-
possible because mainly of the small model size, so that the influences of lateral spreading on
structures still have not been completely revealed. In other words, it is necessary to conduct
shaking tests of a large-scale model ground with a structure subjected to actual magnitude
earthquake motions to understand the behavior and influences of lateral spreading.
For this reason, the authors carried out a series of tests of a large-scale model ground with a
quay wall and group-pile-supported structure on lateral spreading due to liquefaction by the E-
Defense shaking table (MEXT 2007). The objective of the testing series is reproduction of li-
quefaction-induced lateral spreading to observe the phenomena of the model ground and struc-
tures in detail. This experimental study involves revealing the failure mechanism of a quay
wall and pile-supported structure behind the wall. The paper here describes the results of one
of the tests of the model ground with a caisson-type quay wall and pile-supported structure, and
explains their behaviors.
E-Defense Shaking Table Test on Liquefaction-Induced Lateral
Spreading of Large-Scale Model Ground with Quay Wall and
Pile-Supported Structure
K. Tabata & M. Sato
National Research Institute for Earth Science and Disaster Prevention, Tsukuba, Japan
ABSTRACT: A shaking table test of a large-scale model was performed at the E-Defense
three-dimensional shaking table facility in order to observe the behavior of lateral spreading of
liquefiable ground and to evaluate the mechanism of its influence on the failure of structures.
The model ground was prepared in a large rectangular container with a caisson-type quay wall,
pile-supported structure and about nine hundred sensors. To this model, horizontal and vertic-
al input motions based on one of the 1995 Hyogoken-Nambu earthquake records were applied.
The motions induced liquefaction of the ground and horizontal displacement of the caisson to
waterside, causing deformation of the structure due to the piles bent and collapsed. Observa-
tion of the test explains contributions of structural inertia and ground deformation to the beha-
vior of the caisson and structure.
Proceedings, 3rd Greece-Japan Workshop: Seismic Design, Observation, and Retrofit of Foundations. Santorini 2009
96
2 OUTLINE OF THE TEST
2.1 E-Defense shaking table
The test was carried out by the E-Defense shaking table. E-Defense is the name of a full-scale
three-dimensional earthquake testing facility operated by the National Research Institute for
Earth Science and Disaster Prevention (Ohtani et al. 2003). After the start of its operation in
2005, a lot of shaking tests on soil-structure interaction and collapse behavior of various struc-
tures have been successfully performed (Kajiwara et al. 2007, Tabata & Kajiwara 2009). The
key of the E-Defense is a shaking table, which is the worlds largest three-dimensional table 20
m long and 15 m wide as shown in Figure 1. The remarkable feature of the table presented in
Table 1 is the capability to reproduce ground motions recorded in the 1995 Kobe earthquake for
a 12-MN structure by 10 horizontal and 14 vertical actuators.

Table
14 vertical
actuators
10 horizontal
actuators
2
0
m
lo
n
g
15m
w
ide

Figure 1. Illustration and photo of the E-Defense shaking table.

Table 1. Specifications of the E-Defense shaking table.
Horizontal (x and y) Vertical (z)
acceleration 900gal 1500gal
velocity 2m/s 0.7m/s
displacement 1m 0.5m
allowable moment 150MNm 40MNm
* at the maximum load
Table size
Loading capacity
Maximum performance*
20m x 15m
12MN

2.2 Specimen of the model ground
Figure 2 and Photo 1 show the specimen of the model prepared in a rectangular container 16 m
long, 4 m wide and 5 m high. The specimen was a liquefiable ground with a caisson-type quay
wall and structure supported by a 3-by-2 pile group. The liquefiable ground was made of Al-
bany silica sand compacted to 60-percent relative density and saturated by de-aired water before
testing. The properties and indices of the sand are presented in Table 2, and its deformation
characteristics are described by Yasuda et al. (2006). The grain size distribution of the sand is
also shown in Figure 3, indicating that the distribution is similar to that of Toyoura sand. The
deposit was divided by the caisson into 2.5-meter-thick waterside and 4.5-meter-thick land-
side deposits. The water table was 0.5 m below the landside ground surface, i.e. 1.5 m above
the waterside ground surface. In the landside deposit, the pile-supported structure was in-
stalled behind the caisson, consisting of six hollow steel piles, footing and the weight modeling
a superstructure. The six piles were aligned with three parallel to the caisson in two rows and
fixed to the footing and pinned at the containers bottom. The 10-ton footing penetrated into
the landside deposit to a depth of 0.5 m. The weight was placed on the footing, inducing iner-
tial force by a 12-ton weight.

Proceedings, 3rd Greece-Japan Workshop: Seismic Design, Observation, and Retrofit of Foundations. Santorini 2009
97
1
6
0
0
WATER TABLE
4
0
0
0
5
0
0
2
0
0
0
7
5
0
16000
4
5
0
0
4
0
0
0
1300 4400 9300
1
7
5
0
CAISSON
MOUND
4
0
0
1600
PILE
LAYOUT
1000
2
0
0
0
9
6
0
9
6
0
CAISSON
1600
3550
600 250 800 600
Dr = 60%
Dr = 90%
SUPER-
STRUCTURE
D F
D F
PILE
FOOTING
UNIT: mm
(a) Plan view
(b) Section view
PILE A2
PILE B2
WATERSIDE
WATERSIDE
LANDSIDE
LANDSIDE
y
z
y z

Figure 2. Illustrations of the specimen and the locations of the measurement points D and F: (a) Plan
and (b) section views.


Photo 1. Specimen on the table before shaking.

Table 2. Properties and indices of Albany silica sand.



Figure 3. Grain size distributions of Albany silica sand and Toyoura sand.
Proceedings, 3rd Greece-Japan Workshop: Seismic Design, Observation, and Retrofit of Foundations. Santorini 2009
98
2.3 Measurement installation
To achieve the objective , measurement sensors listed in Table 3 were installed with the speci-
men. The table presents a total of 836 sensors that were mounted to observe the behavior in
detail. Additionally, a unique three-dimensional displacement measuring system was em-
ployed to investigate the motions of ground surface and structures (Tokuyama et al. 2007). In
this system, displacement is determined by digital video cameras that observed reflective, spher-
ical markers attached to an object.

Table 3. Sensors installed with the specimen.
Type of sensor




G
r
o
u
n
d




C
a
i
s
s
o
n




P
i
l
e
s




S
u
p
e
r
s
t
r
u
c
t
u
r
e




a
n
d

f
o
o
t
i
n
g




C
o
n
t
a
i
n
e
r




T
o
t
a
l
Strain gauge 234 40 274
Accelerometer 89 8 22 24 24 167
Veolcity transducer 3 3 6
Displacement transducer 11 14 11 36
Earth pressure transducer 17 104 16 137
Water pressure transducer 119 7 72 198
Load cell 18 18

2.4 Testing program
The specimen set on the table was shaken under two-dimensional, horizontal and vertical mo-
tions based on the north-south and up-down motions recorded at the JR Takatori station during
the 1995 Kobe earthquake. In the test, the north-south component was applied to the speci-
mens long direction, and the up-down component to the vertical direction. The peak table ac-
celerations were approximately 6.0 and 1.7 m/s
2
in the horizontal and vertical directions respec-
tively, and the shaking duration was about 42 seconds. Figure 4a shows the acceleration time
histories of the target input motion and actual, observed table motion from zero (data acquisition
start time) to 30 seconds. Because the nature of the specimen was significantly changed due to
liquefaction caused by strong motions, the tables control system could hardly follow such
changes and reproduce table motions that were identical to the target. However, as shown in
Figure 4b, both shapes of Fourier spectrum are very similar, especially in the domain of lower
frequency.


Figure 4. Comparison between the target input motion signaled to the table and actual, observed table
motion: (a) Acceleration time histories and (b) acceleration Fourier amplitude spectra.
Proceedings, 3rd Greece-Japan Workshop: Seismic Design, Observation, and Retrofit of Foundations. Santorini 2009
99
3 TEST RESULTS
3.1 Observation of the specimen after test completion
Photo 2 shows the specimen before and after the test, and Figure 5 illustrates the section of the
specimen that demonstrates its change due to shaking. The caisson overturned toward the wa-
terside (left of the specimen in the photo) with the horizontal displacement at the top of about 2
m and 25-degree decline, accompanying its mound with horizontal deformation and small set-
tlement. Three waterside piles bent at almost the same level of the mound. This, in turn,
caused horizontal deformation of the pile-supported structure toward the caisson with 47-degree
decline of the weight and footing.
As shown in Figure 5, horizontal displacement of the landside ground surface ranged up to 2
m and decreased with the distance from the caisson. Such trend is similar to some cases ob-
served in the 1995 Kobe earthquake (Ishihara et al. 1996). The liquefaction and resulting lat-
eral spreading also caused settlement of the landside deposit of about 20 cm, while relatively
small settlement was observed at the waterside deposit.


Photo 2. Caisson, pile-supported structure and their surroundings (a) before shaking and (b) after test
completion.

Dr = 60%
Dr = 90%
WATERSIDE LANDSIDE
y
z

Figure 5. Section of the change of the specimen due to shaking. Gray and black colors indicate the
structures and measurement points before and after the test respectively.
3.2 Excess pore water pressure change during and after shaking
Figure 6 shows the changes of excess pore water pressure, u, at four different levels (0.6, 1.7,
2.9 and 3.7 m from the landside surface) under the measurement point F. As shown in the fig-
ure, u build-up occurred at all levels when the excitation started, and then reached their over-
burden pressure in 7 to 10 seconds after the start. In consequence, it can be said that all layers
of the deposit were liquefied due to the applied input motions. Following this u increasing
process, u dissipation started from the bottom layer to the surface. This observation implies
that liquefied deposit became dense from the bottom to the surface during the dissipation
process of u. In addition, u began to dissipate when its pressure level reached that of the
lower layer.
(a) (b)
Proceedings, 3rd Greece-Japan Workshop: Seismic Design, Observation, and Retrofit of Foundations. Santorini 2009
100


Figure 6. Excess pore water pressure changes at different levels under the point F.
3.3 Behavior of the caisson during shaking
Just after start of the shaking, the caisson moved to the waterside and landside alternately a few
times, and finally overturned toward the waterside at 10.6 seconds after the test start. To eva-
luate the effects of its inertial force and backfill earth pressure change on the caissons behavior,
the time histories of the displacements and effective earth pressure changes are introduced as
following. Figure 7 shows the vertical displacements, z, of the waterside and landside tops of
the caisson, presenting decline of the caisson began at 6 seconds. Figure 8 shows the horizon-
tal displacements, y, of the caisson, the measurement point D on its backfill, and the shaking ta-
ble. In the figure, a positive y value means the displacement to the waterside. As shown in
the figure, the horizontal displacement of the caisson is always larger than that of the point D
with almost opposite phase of the table. Additionally, the effective earth pressure change on
the caissons landside, p', at different levels from the surface shown in Figure 9 is constantly
negative from 5 seconds to 10.6 seconds at which the caisson overturned toward the waterside.
These facts suggest that the behavior of the caisson during shaking was principally dominated
by its inertial force rather than the p' change of the backfill. Indeed, many cracks on the
ground surface and gaps between the caisson and its backfill are observed in Photo 3, which is
the close view of the caisson and its surroundings including the footing and the point D around
at 8 seconds. Therefore, it can be said that the influence of caissons inertial forces is more
dominant to the stability of the caisson under earthquake motions than that of the p' change of
its backfill.


Figure 7. Vertical displacements determined at the waterside and landside tops of the caisson.


Figure 8. Horizontal displacements of the caisson, point D and shaking table.
Proceedings, 3rd Greece-Japan Workshop: Seismic Design, Observation, and Retrofit of Foundations. Santorini 2009
101


Figure 9. Effective earth pressure changes on the backfill side of the caisson.

Waterside Landside
Caisson
Point D Footing

Photo 3. Close view of the caisson, backfill surface and footing during shaking.
3.4 Behavior of the pile-supported structure during shaking
Figure 10 shows horizontal displacements of the caisson, weight of the pile-supported structure
and their surroundings including the measurement points D and F. As already explained, the
caisson overturned toward the waterside at 10.6 seconds after the test started. Until the caisson
overturned, the horizontal displacement of the point D on the backfill of the caisson was always
smaller than that of the caisson, while the displacement of the weight was smaller than those of
the caisson and point D and almost same behavior of the point F on the ground behind the pile-
supported structure. It is also observed that these displacements change with nearly same
phase. Just after the caisson overturned at 10.6 seconds, the displacement of the weight
reached the exactly same of the point D and increased, and finally declined to the waterside.
In this process, the displacement of the point F was smaller than those of the weight and point
D. This observation implies that one of the triggers to decline the pile-supported structure can
be the large deformation of the ground between its footing and the caisson due to the caisson
overturned.


Figure 10. Horizontal displacements of the caisson, weight, and points D and F.
Proceedings, 3rd Greece-Japan Workshop: Seismic Design, Observation, and Retrofit of Foundations. Santorini 2009
102
4 CONCLUSIONS
In order to investigate the behavior of liquefaction-induced lateral spreading and the mechanism
of its influence on structures, a shaking table test of a large-scale model ground with a caisson-
type quay wall and group-pile-supported structure assumed as a situation of port areas was con-
ducted at the E-Defense shaking table facility. In the test, about nine hundred sensors moni-
tored the behavior in detail and the three-dimensional displacement measuring system was em-
ployed to observe large displacements.
The specimen of the model ground was shaken under two dimensional, horizontal and vertic-
al motions based on one of the 1995 Kobe earthquake records. Such motions induced lique-
faction in all layers of the deposit, causing overturn of the caisson toward the waterside and ho-
rizontal deformation of the landside ground. According to the displacement and effective earth
pressure change of the caisson, the overturn was mainly caused by its inertial force, not the in-
fluence of its backfill ground deformation. After the caisson overturned and the following de-
formation of its backfill ground caused, the pile-supported structure declined to the waterside.
It can be considered that this phenomenon was triggered by large deformation of the ground be-
hind the caisson. Note that these observations and considerations are based on the model test-
ing results, meaning that the observed area is still limited compared to the actual field. Hence,
to apply the knowledge from this study to practice, other research procedures, such as parame-
tric testing of small models, field investigations and computational analyses, as well as more
large-scale model testing are needed.
ACKNOWLEDGEMENT
The testing program described here is a part of the Special project for mitigation of earthquake
disaster in urban areas funded by the Japanese Ministry of Education, Culture, Sports, Science
and Technology. The motions applied to the shaking table were based on the record obtained
at the JR Takatori station during the 1995 Kobe earthquake that is originally from the Railway
Technical Research Institute in Japan. These supports and contributions are gratefully ac-
knowledged.
REFERENCES
Ishihara, K., Yasuda, S. & Nagase, H. 1996. Soil characteristics and ground damage. Special issue, Soils
and Foundations: 109-118.
Kajiwara, K., Sato, M. & Nakashima, M. 2006. Shaking table and activities at E-Defense. Proc. 1st Eu-
ropean Conference on Earthquake Engineering and Seismology: Paper no.733.
Ministry of Education, Culture, Sports, Science and Technology (MEXT). 2007. Summary Report, Spe-
cial project for mitigation of earthquake disaster in urban areas: 66-75 (in Japanese).
Ohtani, K., Kagawa, N., Katayama, T. & Shibata, H. 2003. Construction of E-Defense (3-D full-scale
earthquake testing facility). Proc. 2nd Intern. Symp. New Technologies for Urban Safety of Mega Ci-
ties in Asia: 69-76.
Tabata, K. & Kajiwara, K. 2009. Experimental research on behavior of various structures under earth-
quake motions at E-Defense. Proc. 2nd China-Japan Science Forum, Beijing, China: 205-206.
Tokuyama, H., Tabata, K., Nakazawa, H. & Sato, M. 2007. Applicability of three-dimensional displace-
ment measurement to model ground in large-scale shaking table testing at E-Defense. Proc. 42nd An-
nual Symp. Japanese Geotechnical Society: 1643-1644 (in Japanese).
Yasuda, S., Saito, S. & Suzuki, S. 2006. Effect of confining pressure on liquefaction behavior of sand.
Proc. 61st Annual Symp. Japanese Society of Civil Engr.: 547-548 (in Japanese).
Proceedings, 3rd Greece-Japan Workshop: Seismic Design, Observation, and Retrofit of Foundations. Santorini 2009
103
Design charts for single piles under lateral spreading of liquefied
soil


A. Valsamis
Dr Civil Engineer, Civil Engineering School, National Technical University of Athens, Greece
G. Bouckovalas
Professor, Civil Engineering School, National Technical University of Athens, Greece
E. Drakopoulos
Civil Engineer Msc, National Technical University of Athens, Greece
1 INTRODUCTION
ABSTRACT: Multi-variable design charts and relationships are presented for the preliminary
computation of maximum pile displacement and bending moment in the case of earthquake-
induced liquefaction and lateral spreading of the natural ground. The charts were initially devel-
oped on the basis of results from a large number of parametric analyses which were performed
with the pseudo static (P-y) method, and consequently calibrated with the aid of 2-D and 3-D
dynamic analyses of the liquefied soil and the pile. Three different combinations of pile and
soil conditions were considered, which are commonly encountered in practice.


One of the most damaging effects of earthquake-induced soil liquefaction is the lateral spread-
ing of soils, where large areas of ground move laterally to lengths ranging from some centime-
ters to a few meters. This phenomenon may occur in the case of even small surface inclination
(e.g. 24%) or small topographic irregularities (e.g. 23m) such as those near river and lake
banks.
In such cases, the kinematic interaction of single piles and pile groups with the lateral
spreading ground may induce significant additional residual horizontal loads and bending mo-
ments to the pile, which cannot be predicted by common design methods for superstructure
loading.

2 PSEUDO-STATIC PREDICTION METHODS
The detailed analysis of piles against lateral spreading is a rather complicated soilstructure in-
teraction problem which, strictly speaking, requires a sophisticated numerical simulation, well
beyond the limits of common applications. Thus, for simplified computations, a number of
pseudo-static methodologies have been developed, where the loads or displacements applied by
the laterally spreading ground are being estimated independently and subsequently applied as
external loads to the pile. Existing pseudo-static methodologies may be divided in two catego-
ries:
a) The P-y method, which relies upon the substitution of the ground with Winkler
type springs that are governed by a non-linear load-displacement (P-y) law. Ac-
cording to this methodology an independent estimation of the ground displacement
is made and the resulting displacements are applied to the base of the springs in or-
der to evaluate the pile deflection and the corresponding shear forces and moments
(e.g. Tokimatsu 1999, Boulanger et al 2003).
b) The limit equilibrium method, which is based on a pseudo-static estimation of the ul-
timate pressure that the laterally spreading ground applies to the pile. Pile displace-
ments and bending moments can be consequently evaluated (e.g. JRA 1996, Dobry
et al 2003) from beam theory.
Proceedings, 3rd Greece-Japan Workshop: Seismic Design, Observation, and Retrofit of Foundations. Santorini 2009
104
Recently, Ashford & Juirnarongrit (2004) concluded that the P-y method is the most reliable
method of the two, after comparing the two most commonly used limit equilibrium methods
(JRA, 1996 and Dobry et al., 2003) with a simple P-y method that used the curves proposed
from Reese et al. (1974) for sands, degraded with a factor = 0.1 in order to take into account
the soil liquefaction. Bhattacharya et al. (2003) also concluded that the limit equilibrium method
of JRA (1996) is systematically non-conservative. Thus, on the ground of these independent
findings, the P-y method has been chosen to derive the design charts in this paper.
More specifically, the method proposed by Branderberg (2002) has been selected, according
to which the P-y curves of (1995) for the non-liquefied sands should be used, after being
degraded with a loading factor . This factor represents the effect of liquefaction on the me-
chanical characteristics (soil strength and deformation) of the natural soil and can be computed
according to Table 1, in terms of the corrected blow count of the Standard Penetration Test
(N
1
)
60-CS
.
The aforementioned methodology has been chosen among seven (7) compatible methodolo-
gies (Ishihara & Cubrinovski, 1998, Cubrinovski et al., 2006, Rollins et al., 2005 & 2007, To-
kimatsu, 1999, High Pressure Gas Safety Institute of Japan, 2000, Railway Technical Research
Institute of Japan, 1999, and Matlock, 1970) following an extensive evaluation through com-
parison to three centrifuge experiments (Abdoun 1998) and one large shaking table experiment
(Cubrinovski et al. 2004).

Table 1. Proposed degradation factors after Branderberg (2000)

(N
1
)
60-CS

<8 0 to 0.1
8-16 0.1 to 0.2
16-24 0.2 to 0.3
>24 0.3 to 0.5



3 PARAMETRIC ANALYSES
The numerical analyses have been performed with the help of the finite elements program
NASTRAN (MacNeal-Schwendler Corp. 1994). Simulation of the liquefied soil layers was
based on the P-y methodology outlined in the previous paragraph. The non-liquefied soil layers
have been simulated with the P-y curves proposed by API (1995, 2002) without the use of a
degradation factor. It should be mentioned that, as long as the non-liquefiable base layer does
not fail, the exact P-y curve used for its simulation does not affect significantly the results, as its
stiffness is almost 100 times larger than that of the liquefied soil above it.
Based on a previous study of the lateral spreading phenomenon (Valsamis et al., 2007), the
variation with depth of the lateral displacements of the liquefied soil was assumed as a quarter
sine, with the maximum displacement developing near the top of the layer and zero displace-
ment at the bottom of the layer. On the other hand, the displacement of the non-liquefied soil
layers was assumed to remain constant with the depth.
In total, one hundred sixty two (162) parametric analyses have been performed, concerning
three different combinations of piles and ground layer profile (Figure 1):
o A 2-layered soil profile, where there is a surface liquefied soil layer which spreads lat-
erally, while the pile rests inside a non-liquefiable bottom layer. This is a common case
near river or lake banks, where there are loose surface alluvial deposits.
o A 2-layered soil profile, same as above, where the pile head is fixed in position, due to
superstructure constraints. This case is often encountered in piles supporting bridges or
other large structures, where the superstructure restrains the pile head from moving.
o A 3-layered soil profile, similar with the 2-layered profile with the addition of a non-
liquefiable soil crust. This is the most common case in small distances from water
fronts, where the water table is some meters below the soil surface, leaving a non-
liquefiable surface soil crust.

Proceedings, 3rd Greece-Japan Workshop: Seismic Design, Observation, and Retrofit of Foundations. Santorini 2009
105
This categorization is justified on the grounds that any possible constraints on the free pile
head displacement and rotation, either due to the non-liquefiable soil crust or a superstructure,
proved to be among the the most important factors controlling the pile response. Note that, Ishi-
hara & Cubrinovski (1998), Brandenberg (2002), Rollins et al. (2005) have also reached similar
conclusions for the effect of the pile head constraint enforced by a non-liquefiable soil crust.
Sixty six (66) parametric analyses have been performed for the 2-layerd case and the follow-
ing pile & soil input parameters:
o Relative Density Dr=35 90 % (degradation factor = 0.05 0.4 and friction angle
= 32
o
42

)
o Thickness of liquefied soil layer
liq
= 6 to 10m
o Elasticity Modulus for the pile ( = 30 to 210 GPa)
o Pile diameter (D = 0.15m to 0.6m),
o Pile stiffness = 16 to 1336 Mm2, and
o Ground surface displaments D
h
= 0.125m to 1.20m.


For the 2-layered geometry with fixed pile head, forty-six (46) analyses have been performed
with the same range of parameters. For the 3-layer geometry fifty (50) numerical analyses have
been performed. These analyses cover the above mentioned range of parameters in combination
with soil crust thickness crust = 1 to 4m.


Figure 1. Static models for the (a) 2-layered, (b) 3-layered and (c) fixed pile head cases


4 DESIGN CHARTS
Pile design against lateral spreading must assure that, following the seismic excitation:
a) no structural failure of the pile has occurred (no development of plastic hinges at any
depth), and
b) no performance failure of the superstructure should be encountered due to excessive
superstructure displacements.
To check against these criteria, both the maximum developing moment and the maximum dis-
placement of the pile head are needed.
The depth of the maximum bending moment is in general variable. For the cases considered
in this article (Figure 1), it is known before-hand that maximum moments develop at the inter-
face between the liquefied soil layer and the non-liquefied base layer. Similarly, it is known be-
fore hand that the maximum pile displacement develop at the pile head, for the 2- and the 3-
layered cases, and near the mid-depth of the liquefiable soil layer for the fixed pile head case.
For these reasons, the statistical analysis of the parametric analyses results has been focused
upon the magnitude of those two design parameters and not upon the respective location along
the pile.
It should also be mentioned that the statistical processing was not blind, e.g. based only on
some algorithm that minimizes the error of the empirical predictions. On the contrary, a general
form of the prediction relations was initially obtained based on analytical solutions of the static
q
q
()
( )
P
()
(a) (b) (c)
Proceedings, 3rd Greece-Japan Workshop: Seismic Design, Observation, and Retrofit of Foundations. Santorini 2009
106
models presented in Figures 1a, 1b and 1c and subsequently the statistical processing was used
to calibrate the general relations against the results of the parametric analyses.
Figures 2a and 2b present the proposed design charts for the maximum pile displacement and
the associated bending moment for the 2-layered soil profile. Alternatively, the pile head dis-
placement D
pile
(m) may be computed from Figure 2a and the respective maximum bending
moment
max
(kN/m) may be subsequently estimated as:
2
max
2 . 2
liq
pile
H
EID
M = (1)
where Hliq(m) is the liquefied soil layer thickness and EI(kN/m2) is the pile stiffness.
Observe that the relation in Figure 2a is strongly non-linear. This is due to the fact that the
Winkler springs representing the soil are elasto-plastic and thus, after a certain soil displace-
ment, the loads due to the lateral movement of the soil remain constant. This elastoplastic re-
sponse of the soil springs is the main reason why the derivation of a simple analytical expres-
sion for the pile displacement was not possible. Moreover, note that the correlations of Figure
2a are not dimensionless and thus they should always be used in conjunction with the interna-
tional system unit SI (kN, m).

0.01 0.1 1 10 100
(D
h*
EI)/(H
l i q
6
D
2
)
0.01
0.1
1
10
100
(
D
p
i
l
e
*
E
I
)
/
(
H
l
i
q
6
D
2
)
b=0,4 +D=0,3m
b=0,4 +D=0,15m
b=0,2 +D=0,3m
b=0,2 +D=0,15m
b=0,1 +D=0,6m
b=0,1 +D=0,3m
b=0,05 +D=0,6m
b=0,05 +D=0,3m
(a)
200 400 600 800 1000
(D
pi l e*
EI)/H
l i q
2
0
500
1000
1500
2000
M
m
a
x
b=0.05 & D=0.3m
b=0.1 & D=0.3m
b=0.2 & D=0.3m
b=0.,4 & D=0.3m
b=0.4 & D=0.15m
b=0.2 & D=0.15m
b=0.1 & D=0.6m
b=0.05 & D=0.6m
(b)
Dr
= 50%
Dr
= 65%
D
r
= 85%
Dr
= 40%

Figure 2. Design charts (a) for the maximum pile displacement and (b) for the maximum developing
bending moment of the pile, for the 2-layered soil profile


The design charts for the 3-layered soil profiles are shown in Figures 3a and 3b. Observe that
the pile head displacement follows systematically the non-liquefied soil crust displacement. This
observation has been also confirmed from centrifuge experiments (Abdoun, 1999) which show
that pile head displacements are only slightly larger than soil surface displacements. In this case,
it was possible to develop simplified analytical relations, both for the pile head displacement
and the developing bending moments, namely:
h pile
D D = 22 . 1 (2)
65 . 0
2
max
18
|
|
.
|

\
|
=
liq
pile
H
EID
M (3)
Proceedings, 3rd Greece-Japan Workshop: Seismic Design, Observation, and Retrofit of Foundations. Santorini 2009
107
0.01 0.1 1 10
D
h
0.01
0.1
1
10
D
p
i
l
e
b=0,4 +D=0,3m
b=0,4 +D=0,15m
b=0,2 +D=0,3m
b=0,2 +D=0,15m
b=0,1 +D=0,6m
b=0,1 +D=0,3m
b=0,05 +D=0,6m
b=0,05 +D=0,3m
(a)
1000 2000 3000 4000
(D
pi l e*
EI)/H
l i q
2
0
1000
2000
3000
4000
M
m
a
x
b=0,05 +D=0,3m
b=0,1 +D=0,3m
b=0,2 +D=0,3m
b=0,4 +D=0,3m
b=0,4 +D=0,15m
b=0,2 +D=0,15m
b=0,1 +D=0,6m
b=0,05 +D=0,6m
(b)

Figure 3. Design charts (a) for the maximum pile displacement and (b) for the maximum developing
bending moment on the pile, for the 3-layered soil profile


Finally, for the fixed pile head case, the design chart for the maximum pile displacement and
bending moment, are being presented in Figures 4a and 4b respectively.
In this case also, it was possible to phrase analytical relations for the estimation of the above
mentioned design parameters:
( )
2
2 2
3 . 0 12
EI
D
D H D
h liq pile
|
= (4)
2
max
18
liq
pile
H
EID
M = (5)
where is the degradation factor for the soil strength due to the liquefaction which can be taken
from Table 1.

0.0001 0.001 0.01 0.1 1 10
(D
h
)
0.3
H
liq
12
(D/EI)
2
0.001
0.01
0.1
1
D
p
i
l
e

(
m
)
b=0,4 +D=0,15m
b=0,3 +D=0,3m
b=0,2 +D=0,3m
b=0,2 +D=0,15m
b=0,1 +D=0,6m
b=0,1 +D=0,3m
b=0,05 +D=0,6m
b=0,05 +D=0,3m
(a)
20 40 60 80 100
EID
p
/H
liq
2
400
800
1200
1600
2000
M

(
k
N
m
)
b=0,4 +D=0,15m
b=0,3 +D=0,3m
b=0,2 +D=0,3m
b=0,2 +D=0,15m
b=0,1 +D=0,6m
b=0,1 +D=0,3m
b=0,05 +D=0,6m
b=0,05 +D=0,3m
(b)

Figure 4. Design charts for the (a) maximum developed pile displacement and (b) the maximum develop-
ing bending moment on the pile, for the fixed pile head case


Proceedings, 3rd Greece-Japan Workshop: Seismic Design, Observation, and Retrofit of Foundations. Santorini 2009
108
5 COMPARISON WITH DYNAMIC NUMERICAL ANALYSES RESULTS
The proposed design charts have been evaluated with the help of 2-Dimension and 3-Dimension
dynamic numerical analyses. The numerical analyses were performed with the aid of the non-
linear Finite Difference method combined with an effective stress constitutive model which can
simulate the static and the dynamic response of cohesionless soils, including liquefaction. In
brief, this is a bounding surface model, with a vanished elastic region, which was built based
upon the Critical State Theory framework (Papadimitriou et al., 2001, Andrianopoulos et al.
2006a, 2006b and 2007). One of its main characteristics is that the monotonic and cyclic re-
sponse of soils is described using a single set parameters which is soil-specific, but does not de-
pend on the initial stress and density conditions.
The 2-Dimension simulation of a clearly 3-Dimensioned problem with the help of a plane-
strain algorithm, has been achieved with the help of the special pile elements, incorporated in
the finite difference program FLAC-2D (Itasca, 2005). Those elements, are in fact beam ele-
ments which have the ability to connect to the FLAC grid that simulates the surrounding soil
with the help of special Winkler springs, whose maximum strength depends on the mean effec-
tive stress of the surrounding soil. Those elements can simulate in a simple way the liquefac-
tion-induced degradation of the soil characteristic, since their strength depend on the effective
strength and thus can be used for the simulation of piles inside laterally spreading soil (Valsamis
2008). Figure 5a shows a typical 2-Dimension grid used for the simulation of the problem. Sixty
seven (67) such numerical analyses have been performed with the following range of parame-
ters:
o Relative Density of liquefiable soil layer Dr = 35 to 85%
o Thickness of liquefiable soil layer liq = 2 to 8m
o Thickness of non-liquefiable soil crust Hcrust = 0 to 6 m
o Pile stiffness EI = 500 to 80000 kPam4
o Pile diameter = 0.3 to 1.0m
o Ground surface displacement Dh = 0.2 to 1.4m.
o 2-layered and 3-layered soil profiles have been simulated, both with free and fixed
pile head.
Moreover, thirty (30) 3-dimension numerical analyses have been performed, in which the
ground has been simulated with the same constitutive model. The pile in this case was simulated
with a simple elastic model. Between the soil grid and the pile, contact elements have been used
with friction angle equal to 2/3 x (Itasca 1997), which allows the relative movement of the
liquefied ground around the pile. Figure 5b shows a typical grid used for the 3-D simulation of
the problem. 3D numerical analysis has the advantage of simulating directly the problem and
thus not having any predefined parameters such as the coupling springs parameters as with the
case of the 2D numerical analysis. This increases our confidence that the 3D numerical simula-
tion will be able to simulate accurately a large range of parametric lateral spreading problems.
The 3-D analyses cover the following range of parameters:
o Relative Density of liquefiable soil layer Dr = 40 to 85%
o Thickness of liquefiable soil layer liq = 6 to 8m
o Pile stiffness EI = 4 to 16500 GPam4
o Pile diameter = 0.3 to 2.0m
o Ground surface displacement Dh = 0.1 to 0.3m.
Those analyses concern exclusively 2-layered soil profiles, which is the geometry that has the
biggest difficulties in the simulation, since the developed moments and displacements are exclu-
sively due to the forces of the liquefied soil.








Proceedings, 3rd Greece-Japan Workshop: Seismic Design, Observation, and Retrofit of Foundations. Santorini 2009
109



















P
ult
= f (p')
P
y
K
Constitutive
model based
on CS Theory
Pile simulated
as a beam
following an
elastic law
(a)




Constitutive
model based
on CS Theory
Pile simulated
with a simple
elastic model

Figure 5. Typical grids (a) 2-dimension and (b) 3-dimension numerical simulation of single pile under
lateral spreading
(b)


The results of both 2-D and 3-D dynamic numerical analyses, agree in general with the design
charts which were developed by the P-y methodology and have already been presented (Figures
2, 3 and 4). Differences were only encountered concerning the design chart for the evaluation of
the pile displacement in the case of the 2-layered soil geometry with free pile head (Figure 2a).
For this case, Figure 6a presents the results of the 2-D and 3-D numerical analyses together with
the previously presented design chart. As it can be seen, the numerical analyses gave systemati-
cally smaller displacements and thus the design chart presented in Figure 6b should be pre-
ferred.

Proceedings, 3rd Greece-Japan Workshop: Seismic Design, Observation, and Retrofit of Foundations. Santorini 2009
110
0.01 0.1 1 10 100
(D
h*
EI)/(H
l i q
6
D
2
)
0.01
0.1
1
10
100
(
D
p
i
l
e
*
E
I
)
/
(
H
l
i
q
6
D
2
)
FLAC 2D Dr=45%
FLAC 3D Dr=45%
FLAC 3D Dr=65%
FLAC 3D Dr=85%
0.01 0.1 1 10 100
(D
h*
EI)/(H
l i q
6
D
2
)
0.01
0.1
1
10
100
(
D
p
i
l
e
*
E
I
)
/
(
H
l
i
q
6
D
2
)
FLAC 2D Dr=45%
FLAC 3D Dr=45%
FLAC 3D Dr=65%
FLAC 3D Dr=85%
D
r
= 50%
Dr
= 65%
D
r
= 85%
D
r
= 40%
D
r

=

4
0
%
D
r

=

6
5
%
D
r

=

8
5
%

(a) (b)
Figure 6. (a) Comparison between the 2-D and 3-D predictions for the 2-layered soil profile and the design
chart from the P-y analyses (b) Final design chart for the ground surface displacement in 2-layered soil pro-
files
6 CONCLUSIONS
In the previous paragraphs, diagrams and relations were presented for the approximate evalua-
tion of the maximum displacement and bending moment of the pile due to liquefaction-induced
lateral spreading. The charts concern three different combinations of pile and ground conditions,
often encountered in practice. The proposed design charts and relations should be used with the
following limitations:
(a) They were derived pseudo-statically, taking only into account the final displacement of
the ground, at the end of shaking. Any effects of the superstructure inertia are ignored.
(b) The expected free-field maximum ground surface displacement should be computed in-
dependently, based on the (many) available empirical relations which are published in the litera-
ture (e.g. Hamada, 1999, Youd et al, 2002, Valsamis, 2009).
(c) All the above mentioned charts and relations, and more specifically those concerning
the 2-layered soil profile case, should be applied only when the soil has the capability to flow
freely around the pile under investigation. In all other cases (e.g. small distance between the
piles, sheet-pile wall, etc) they may lead to non-conservative predictions of the pile displace-
ment and bending moment.
(d) It has been assumed that the pile has been adequately embedded to the non-liquefiable
base soil layer so as to guarantee fixed bottom conditions during lateral ground spreading. When
the pile has not been driven adequately to the bottom (non-liquefiable) soil layer, there is the
possibility of pile extortion or significant pile base rotation which results to larger displacements
for the pile head and smaller developing moments.
7 REFERENCES
Abdoun T. H. (1999) Modeling of seismically induced lateral spreading of multi-layered soil and its ef-
fect on pile foundations, PHD Thesis, Rensselaer Polytechnic Institute, Troy, New York
Andrianopoulos, K.I. (2006), Numerical modeling of static and dynamic behavior of elastoplastic soils,
Doctorate Thesis, Department of Geotechnical Engineering, School of Civil Engineering, National
Technical University of Athens (in Greek).
Andrianopoulos, K.I., Papadimitriou, A.G. and Bouckovalas, G.D. (2006), Implementation of a bound-
ing surface model for seismic response of sands, Proceedings of the 4th International FLAC Sympo-
sium on Numerical Modeling in Geomechanics, Madrid, Spain
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Andrianopoulos, K.I., Papadimitriou, A.G. and Bouckovalas, G.D. (2007), Use of a new bounding sur-
face model for the analysis of earthquake-induced liquefaction phenomena, paper no 1443, Proceed-
ings of 4th International Conference on Earthquake Geotechnical Engineering.
API (1995), Recommended practice for planning, designing and constructing fixed offshore platform,
Washington, DC: American Petroleum Institute.
API (2002), Recommended practice for planning, designing and constructing fixed offshore platform,
Washington, DC: American Petroleum Institute.
Ashford S. A. & Juirnarongrit T. (2004), Evaluation of force based and displacement based analyses for
responses of single piles to lateral spreading, 11
th
International conference on Soil dynamics &
earthquake engineering, 3
rd
International conference on earthquake geotechnical engineering, 7-9
January 2004, Berkeley
Bhattacharya S. (2003), Pile instability during earthquake liquefaction, PHD Thesis, University of
Cambridge, UK.
Boulanger R.W., Kutter B.L., Brandenberg S.J., Singh P. and Chang D. (2003), Pile foundations in liq-
uefied and lateral spreading ground during earthquakes: Centrifuge experiments and analyses Report
No. UCD/CGM-03/01, Univ. of California at Davis.
Boulanger R.W., Wilson D.W., Kutter B.L. and Abghari, A. (1997), "Soil-pile-superstructure interaction
in liquefiable sand", Transportation Research Record No. 1569, TRB, NRC, National Academy Press,
55-64
Brandenberg S.J. (2002), Behavior of Pile Foundations in Liquefied and Laterally Spreading Ground,
PHD Thesis, University of California, Davis
Cubrinovski M, Kokusho T. & Ishihara K. (2004), Interpretation from Large-Scale Shake Table Tests
on Piles subjected to Spreading of Liquefied Soils, 11
th
International conference on Soil dynamics &
earthquake engineering, 3
rd
International conference on earthquake geotechnical engineering, 7-9
January 2004, Berkeley
Cubrinovsky M. , T. Kokusho and K. Ishihara (2006), Interpretation from large scale shake table tests
on piles undergoing lateral spreading in liquefied soils Soil Dynamics and Earthquake engineering,
vol.26
Dobry, R., Abdoun, T., O Rourke T.D., Goh S.H. (2003), Single piles in lateral spreads: Field Bending
Moment Evaluation, ASCE Journal of Geotechnical and Geoenvironmental Engineering, Vol. 129,
No. 10, October, pp. 879889
Hamada M. (1999), Similitude law for liquefied-ground flow, Proceedings of the 7th U.S.-Japan
Workshop on Earthquake Resistant design of lifeline facilities and countermeasures against soil lique-
faction, pp. 191-205.
High Pressure Gas Safety Institute of Japan (2000), Design method of foundation for Level 2 earthquake
motion, (In Japanese)
Ishihara K. & Cubrinovski M. (1998), Soil-pile interaction in liquefied deposits undergoing lateral
spreading, XI Danube-European Conference, Croatia, May 1998
Itasca (2005), FLAC version 5.0: Fast Langrangian Analysis of Continua, Itasca Consulting Group,
Minneapolis, Minnesota.
Itasca (1997), FLAC3D version 2.0: Fast Langrangian Analysis of Continua in 3 Dimentions, Itasca
Consulting Group, Minneapolis, Minnesota.
Japan Road Association (1996), "Specifications for highway bridges", Part V Seismic Design
Karamitros, D.K. (2009), Development of a numerical algorithm for the dynamic elastoplastic analysis
of geotechnical structures in two (2) and three (3) dimensions, PHD thesis , N.T.U.A.
The MacNeal-Schwendler Corporation (1994), MSC/NASTRAN for Windows: Reference Manual
Matlock, H. (1970). Correlations of design of laterally loaded piles in soft clay. Proc. Offshore Tech-
nology Conference, Houston, TX, Vol 1, No.1204, pp. 577-594.
Papadimitriou A., Bouckovalas G. and Dafalias Y. (2001), A plasticity model for sand under small and
large cyclic strains, Journal of Geotechnical and Geoenviromental Engineering, Vol.127, No. 11
Railway Technical Research Institute (1999), Earthquake resistant design code for railway structures,
Maruzen Co. (in Japanese)
Reese L.C. and Van Impe W. F. (2001), "Single piles and pile groups under lateral loading", A.A.
Balkema/Rotterdam/Brookfield, Book p.p.463.
Rollins K.M, Gerber T.M., Lane J.D. and Ashford S.A. (2005), "Lateral resistance of a full-scale pile
group in liquefied sand", ASCE Journal of Geotechnical and Geoenviromental Engineering, Vol 131,
No. 1, January, pp. 115-125.
Rollins K.M., Bowles S., Brown D. & Ashford S. (2007), Lateral load testing of large drilled shafts af-
ter blast-induced liquefaction, 4
th
International Conference on Earthquake Geotechnical Engineering,
Paper no 1141, June 25-28, Thessaloniki, Greece
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Valsamis A., Bouckovalas G. & Dimitriadi V., (2007), Numerical evaluation of lateral spreading dis-
placements in layered soils, 4
th
International Conference on Earthquake Geotechnical Engineering,
Thessaloniki, Greece, June 25-28
Valsamis (2008), Numerical simulation of single pile response under liquefaction-induced lateral
spreading, Doctorate Thesis, Department of Geotechnical Engineering, School of Civil Engineering,
National Technical University of Athens.
Youd L. T., Hansen M. C. and Bartlett F. S. (2002), "Revised multilinear regression equations for predic-
tion of lateral spread displacement", Journal of Geotechnical and Geoenvironmental Engineering, Vol.
128, No. 12, December 1, pp 1007-1017.
Youd L. T., Idriss I. M., Andrus R.D., Arango I., Castro G., Christian J.T., Dobry R., Finn W.D.L.,
Harder L. F. jr, Hynes M. E., Ishihara K., Koester J. P., Liao S.S.C., Marcuson W.F. III, Martin G.R.,
Mitchell J. K., Moriwaki Y., Power M.S., Robertson P.K., Seed R. B. and Stokoe K.H. II (2001),
Liquefaction resistance of soils: summary report from the 1996 NCEER and 1998 NCEER/NSF
Workshops on evaluation of liquefaction resistance of soils, Journal of Geotechnical and Geoenvi-
ronmental Engineering, Vol. 127, No. 10, October, pp 817-833.




Proceedings, 3rd Greece-Japan Workshop: Seismic Design, Observation, and Retrofit of Foundations. Santorini 2009
113
1 INTRODUCTION
Pile foundations may sustain significant damage due to soil liquefaction, especially when soil
flow occurs. The problem became intensely apparent during the 1995 Great Kobe Earthquake.
Extensive soil flow was triggered along river and sea sides, causing seaward displacements to
sheet pile quay-walls in the Kobe port area accompanied by considerable translation of the
neighboring pile foundations (Ishihara, 1997, Tokimatsu et al., 1997, Yasuda et al., 1996), illus-
trated in Figure 1.


soilflow soilflow

Figure 1. Soil liquefaction along sea sides may cause significant seaward displacement to quay walls af-
fecting the neighboring pile foundations.

Numerous numerical and experimental researches has been performed during the last decade
in order to figure out the mechanism of soil-pile interaction under soil flow conditions. The
moving soil mass provides the driving force to the pile and displaces the pile a certain amount
Piles in LiquefactionInduced Soil Flow behind QuayWall: A
Simple Physical Method versus Centrifuge Experiments


P. Tasiopoulou
Research Ast., University of California, Davis, USA
N. Gerolymos
Lecturer, National Technical University, Athens, Greece
T. Tazoh
Director, Institute of Technology, Shimizu Corporation, Tokyo, Japan
G. Gazetas
Professor, National Technical University, Athens, Greece
ABSTRACT: The paper presents a new physically simplified methodology for computing dis-
placements and internal forces on piles under conditions of lateral spreading. The results com-
pare well with results from centrifuge tests. To this end, 2D effective stress dynamic analysis of
a cross-section of the wall-soil system without the presence of the piles is combined with an also
2D quasi-static analysis of a horizontal slice of the system with the group of piles.
Proceedings, 3rd Greece-Japan Workshop: Seismic Design, Observation, and Retrofit of Foundations. Santorini 2009
114
depending on the relative stiffnesses between the pile and the liquefied soil (Boulanger et al.,
2003), as depicted in Figure 2. Thus, the magnitude of the soil movement, the lateral load of the
surficial non-liquefiable soil layer and the stiffness degradation in the liquefied zone are the key
parameters that need to be taken into account when evaluating the pile response due to soil flow
(Cubrinovsky et al., 2004).


Beforeliquefaction Afterliquefaction
flow
Beforeliquefaction Afterliquefaction
flow
K


Figure 2. The moving soil mass provides the driving force to the pile and displaces the pile a certain
amount depending on the relative stiffnesses between the pile, K, and the liquefied soil.

In engineering practice, several methods have been formulated based on these understand-
ings, either for designing purposes or prediction of field performance. In general, the methods
can be classified into three categories: (a) the force methods, including the Japanese Road Asso-
ciate Method (JRA, 1996), the limit equilibrium method (Dobry and Abdoun, 2000) and the vis-
cous fluid method (Hamada 2002, Yasuda 2002), (b) the displacement methods, or else known
as pseudo-static beam on nonlinear Winkler foundation method according to which the free
field soil displacement is imposed to the pile through p-y springs (Boulanger et al., 2003), (c)
the hybrid forcedisplacement methods, which are a combination of the first two (Cubrinovsky
and Ishihara, 2004).
The aforementioned methods are mainly single pile analyses dependent on the soil profile and
the geometry of the problem. Moreover, lots of assumptions are required regarding the stiffness
degradation in the liquefied layer and soil-pile interaction issues, such as the direction of the
load exerted on the pile by the upper non-liquefiable layer. Inevitably, considerable uncertainty
is hidden behind all methods of post liquefaction analysis (Finn and Thavaraj, 2001).
In this study, we present a new physically simplified methodology, appropriate for every soil
profile and type of pile configuration (single piles, pile groups). This methodology, described
below, falls into the displacementmethod category, but avoids the associated empirical selec-
tion of stiffnessreduction factors and does not involve the use of p-y curves. Continuously, the
method is applied to two different centrifuge experiments (Tazoh et al., 2005, Sato et al., 2001),
reproducing the test results with satisfying accuracy for engineering purposes.
2 CENTRIFUGE EXPERIMENTS
Several series of dynamic centrifuge experiments were conducted at the Institute of Technol-
ogy, Shimizu Corporation, in Japan, in order to evaluate the damage of pilefoundation systems
triggered by liquefactioninduced soil flow after quay-wall collapse. One of these, Test Case
CD, presented by Tazoh et al. (2005), explores the effect of the superstructure on the response
Proceedings, 3rd Greece-Japan Workshop: Seismic Design, Observation, and Retrofit of Foundations. Santorini 2009
115
of a 2x2 pile group under soil flow conditions, portrayed in Figure 3. A partition was placed at
the center of the laminar box behind the sheet pile quay-wall in order to separate the two pile
foundation models: the one with a superstructure (C side) and the other without a superstructure
(D side), as depicted in Figure 3.

0 m
1.8 m
6.0 m
8.1 m
9 m
0.6 m
Dry SilicaSandNo8
Dr=50%
Liquefiable SilicaSandNo8
Dr=50%
Toyoura Sand
Dr=90%
SilicasandNo3
Sheetpile
Quaywall
24m
3.6 m
6m 3m Superstructure
Side D
with superstructure
Side C
no superstructure
Partition
Floating
Quaywall
0 m
1.8 m
6.0 m
8.1 m
9 m
0.6 m
Dry SilicaSandNo8
Dr=50%
Liquefiable SilicaSandNo8
Dr=50%
Toyoura Sand
Dr=90%
SilicasandNo3
Sheetpile
Quaywall
24m
3.6 m
6m 3m Superstructure
Side D
with superstructure
Side C
no superstructure
Partition
Floating
Quaywall


Figure 3. Geometry and soil properties of the centrifuge model of test Case CD, side D into the laminar
box, in prototype scale (Tazoh et al., 2005). A partition behind the quay-wall separates the two pile-
foundation models: the one with a superstructure (C side) and the other without a superstructure (D side).

The input motion at the base of the laminar box is shown in Figure 4 along with the recorded
time histories of excess pore water pressure in the liquefied layer at the almost free field. Liq-
uefaction starts at around 4 sec and 5 sec at the depths of z = 3 m and z = 5 m, respectively. Fig-
ure 5 depicts the horizontal displacements of the footings and the quay-wall of the Case CD.
Evidently, the horizontal displacement of the C-side footing (with no superstructure) is larger
than that of the D-side footing, (with a superstructure), but the difference is not significant. The
effect of the inertial force of the superstructure can be identified during the excitation period;
however it can not be recognized during the liquefaction-induced soil flow some time after the
end of excitation. Figure 6 illustrates the distribution of the maximum bending strains along the
pile at the end of the shaking with and without the influence of the superstructure. It is evident
that the effect of the inertial force of the superstructure on the final pile strains is not significant.
Thus, the main load on the pile is the kinematic one coming from the soil-flow.


Proceedings, 3rd Greece-Japan Workshop: Seismic Design, Observation, and Retrofit of Foundations. Santorini 2009
116
0.6
0.4
0.2
0
0.2
0.4
0.6
0 5 10 15
0.6
0.4
0.2
0
0.2
0.4
0.6
0 5 10 15
A:g
A:g
time(sec)
Tazohetal.(2005)
Satoetal.(2001)
0.6
0.4
0.2
0
0.2
0.4
0.6
0 5 10 15
0.6
0.4
0.2
0
0.2
0.4
0.6
0 5 10 15
A:g
A:g
time(sec)
0.6
0.4
0.2
0
0.2
0.4
0.6
0 5 10 15
0.6
0.4
0.2
0
0.2
0.4
0.6
0 5 10 15
A:g
A:g
time(sec)
Tazohetal.(2005)
Satoetal.(2001)
40
20
0
40
z=3m

0 5 400 15 10 800 1200


20
0
40
60
20

t(sec)
z=5m
E
x
c
e
s
s

P
o
r
e

P
r
e
s
s
u
r
e

(
k
P
a
)
(a) (b)
0.6
0.4
0.2
0
0.2
0.4
0.6
0 5 10 15
0.6
0.4
0.2
0
0.2
0.4
0.6
0 5 10 15
A:g
A:g
time(sec)
Tazohetal.(2005)
Satoetal.(2001)
0.6
0.4
0.2
0
0.2
0.4
0.6
0 5 10 15
0.6
0.4
0.2
0
0.2
0.4
0.6
0 5 10 15
A:g
A:g
time(sec)
0.6
0.4
0.2
0
0.2
0.4
0.6
0 5 10 15
0.6
0.4
0.2
0
0.2
0.4
0.6
0 5 10 15
A:g
A:g
time(sec)
Tazohetal.(2005)
Satoetal.(2001)
40
20
0
40
z=3m

0 5 400 15 10 800 1200


20
0
40
60
20

t(sec)
z=5m
E
x
c
e
s
s

P
o
r
e

P
r
e
s
s
u
r
e

(
k
P
a
)
0.6
0.4
0.2
0
0.2
0.4
0.6
0 5 10 15
0.6
0.4
0.2
0
0.2
0.4
0.6
0 5 10 15
A:g
A:g
time(sec)
Tazohetal.(2005)
Satoetal.(2001)
0.6
0.4
0.2
0
0.2
0.4
0.6
0 5 10 15
0.6
0.4
0.2
0
0.2
0.4
0.6
0 5 10 15
A:g
A:g
time(sec)
0.6
0.4
0.2
0
0.2
0.4
0.6
0 5 10 15
0.6
0.4
0.2
0
0.2
0.4
0.6
0 5 10 15
A:g
A:g
time(sec)
Tazohetal.(2005)
Satoetal.(2001)
40
20
0
40
z=3m

0 5 400 15 10 800 1200


20
0
40
60
20

t(sec)
z=5m
E
x
c
e
s
s

P
o
r
e

P
r
e
s
s
u
r
e

(
k
P
a
)
(a) (b)


Figure 4. (a) Input accelerograms recorded at the base of the centrifuge models of the two experiments
(Tazoh et al., 2005 and Sato et al., 2001) in prototype scale, and (b) Indicative time histories of excess
pore water pressures recorded in the free field (away from the pile foundation) at the depths 3 m and 5
m below the ground surface

0 5 10 15 400 800
0.8m
0.1 m
0.15 m
Quaywall
With superstructure
No supersructure
t(sec)
D
i
s
p
l
a
c
e
m
e
n
t

Figure 5. Time histories of displacements of the quay wall and the footing with and without the super-
structure (Tazoh et al., 2005).

Similar centrifuge results with the same soil profile were described by Sato et al. (2001) indi-
cating the seismic performance of a 2x8 pile group, situated 3 m behind the floating sheet pile
quay-wall. Two different centrifuge models were designed: one with (Case 2) and one without
the pile group (Case 1). Figure 4 shows the input wave recorded at the base of the model of
Case 1, which caused excessive pore water pressure generation in the loose saturated sand layer
and maximum seaward displacement of the quay-wall of 0.8 m during the shaking. In Case 2,
the existence of the pile group limited the quay-wall movement to 0.45 m approximately. The
footing of the pile foundation sustained even smaller displacement, about 6 cm. Long after the
end of shaking, when considerable dissipation of pore water pressure has occurred the quay-
wall reached a displacement of 1.15 m, while the footing displacement increased by a mere 2
cm. The trend of the time-dependent results is practically identical with that of the results of
Test Case CD.
3 A NEW PHYSICALLY SIMPLIFIED METHODOLOGY
To begin with, the soil response without the piles needs to be identified. On these grounds, a
2D effective stress numerical analysis of the soil profile including the quay-wall hereafter
Proceedings, 3rd Greece-Japan Workshop: Seismic Design, Observation, and Retrofit of Foundations. Santorini 2009
117
called free field is performed using the code FLAC, as depicted in Figure 7. Thus, the free
field soil response behind the quay-wall is obtained in terms of:
the distribution of the horizontal soil movement with depth,
the depth and the thickness of the liquefied zone,
the strength degradation in the liquefied layer and
the shear strain distribution with depth.


0
1
2
3
4
5
6
7
8
9
0.7 0.5 0.3 0.1 0.1 0.3 0.5
bendingstrains
(10
3
)
d
e
p
t
h

(
m
)
Cside(NOsuperstructure)
Dside(WITHsuperstructure)


Figure 6. Distributions of the maximum bending strains along the piles at the end of shaking with and
without a superstructure. The influence of the superstructure in terms of bending distress of the piles is
not as significant.

Although the dynamic numerical analysis provides the required results as a function of time,
we are primarily interested in the final values after the end of the shaking, which are also the
maximum ones due to the accumulative nature of the liquefactioninduced soil flow. Obviously
our methodology is not restricted to this code.
In the next step, a horizontal slice in the middle of the liquefied zone is isolated, including the
piles and the quay-wall, as demonstrated in Figure 8. Our purpose is to perform an elastic plane
strain analysis of this horizontal slice by imposing pseudo-statically a unit uniform displacement
at the quay-wall boundary, illustrated in Figure 9, so as to estimate the ratio of the pile dis-
placement to the soil displacement in the free-field (away enough of the piles), named ratio
and depicted in the same figure. This ratio of displacements represents the soil-pile interaction
due to soil flow, in quantitative terms.
The numerical model of the horizontal slice consists of the liquefied soil with uniform prop-
erties (shear modulus, G
l
) surrounding the pile sections, as shown in Figure 9. So far, the pile
sections are simulated as rigid bodies into the liquefied soil, G
l
. In order to provide the required
horizontal resistance to the pile sections against the moving soil mass, an out of plane horizontal
spring, K, is connected to each pile section.
Proceedings, 3rd Greece-Japan Workshop: Seismic Design, Observation, and Retrofit of Foundations. Santorini 2009
118
Sheetpile
Quaywall
A: g
Sheetpile
Quaywall
Sheetpile
Quaywall
A: g
Sheetpile
Quaywall

Figure 7. 2D Finite-difference mesh of a numerical model of the free field without the piles, in FLAC,
before and after shaking.


G
l
G
l
HorizontalSlice
Largedisplacement
androtation
ofquaywall

G
l
G
l
HorizontalSlice
Largedisplacement
androtation
ofquaywall


Figure 8. A horizontal slice in the middle of the liquefied zone, G
l
, is isolated, including the pile and the
quay-wall sections.

In retrospect, a realistic numerical simulation of the horizontal slice at the middle of the liq-
uefied zone requires the appropriate calibration of the horizontal stiffness of each pile section,
K, and of the shear modulus of the liquefied soil, G
l
.

Horizontal stiffness of each pile section, K

Every single pile of the pile group is simulated as a vertical beam element with suitable
boundary conditions. The rotation at the top depends on the pile cap (Mokwa and Duncan,
Proceedings, 3rd Greece-Japan Workshop: Seismic Design, Observation, and Retrofit of Foundations. Santorini 2009
119
2003), the number of piles of the foundation and the stiffness of the surrounding surficial non-
liquefiable soil. All these features tend to restrain the rotation at the pile-head.

G
l
Unit
displacement
Pilecapconstraint
pilesection
Q
u
a
y

w
a
l
l
liquefiedsoil
G
l
Unit
displacement
Pilecapconstraint
pilesection
Q
u
a
y

w
a
l
l
liquefiedsoil
Freefielddisplacement
Disp.1
Pilegroupdisplacement
Disp.2
liquefiedsoil
Ratio =
Disp.2
Disp.1
G
l
Unit
displacement
Pilecapconstraint
pilesection
Q
u
a
y

w
a
l
l
liquefiedsoil
G
l
Unit
displacement
Pilecapconstraint
pilesection
Q
u
a
y

w
a
l
l
liquefiedsoil
Freefielddisplacement
Disp.1
Pilegroupdisplacement
Disp.2
liquefiedsoil
Ratio =
Disp.2
Disp.1
Ratio =
Disp.2
Disp.1
Ratio =
Disp.2
Disp.1
G
l
Unit
displacement
Pilecapconstraint
pilesection
Q
u
a
y

w
a
l
l
liquefiedsoil
G
l
Unit
displacement
Pilecapconstraint
pilesection
Q
u
a
y

w
a
l
l
liquefiedsoil
Freefielddisplacement
Disp.1
Pilegroupdisplacement
Disp.2
liquefiedsoil
Ratio =
Disp.2
Disp.1
G
l
Unit
displacement
Pilecapconstraint
pilesection
Q
u
a
y

w
a
l
l
liquefiedsoil
G
l
Unit
displacement
Pilecapconstraint
pilesection
Q
u
a
y

w
a
l
l
liquefiedsoil
Freefielddisplacement
Disp.1
Pilegroupdisplacement
Disp.2
liquefiedsoil
Ratio =
Disp.2
Disp.1
Ratio =
Disp.2
Disp.1
Ratio =
Disp.2
Disp.1


Figure 9. (Top) Numerical model of the horizontal slice. The pile sections sustain the same horizontal
displacement due to the pilecap constraint. (Bottom) Definition of the ratio .

The active length of the beam element depends on the depth to fixity, below the liquefied
layer. Therefore, every single pile is simulated as a vertical beam fixed at the bottom with a cer-
tain degree of rotational freedom at the top depending on the aforementioned kinematic con-
straints.
Based on this simulation, the pile section of the numerical model is just a section of the beam
element at a characteristic depth at the middle of the liquefied zone. Thus, the horizontal stiff-
ness, K, of each pile section, is defined as the point load exerted on the beam, in order to cause a
unit displacement of the beam at the characteristic depth, as depicted in Figure 10.



Proceedings, 3rd Greece-Japan Workshop: Seismic Design, Observation, and Retrofit of Foundations. Santorini 2009
120

0.0
0.2
0.4
0.6
0.8
1.0
0.001 0.01 0.1 1 10 100 1000
K/EI
z
/
L
0.0
0.2
0.4
0.6
0.8
1.0
0.001 0.01 0.1 1 10 100 1000
K/EI
z
/
L
0.0
0.2
0.4
0.6
0.8
1.0
0.001 0.01 0.1 1 10 100 1000
K/EI
z
/
L
0.0
0.2
0.4
0.6
0.8
1.0
0.001 0.01 0.1 1 10 100 1000
K/EI
z
/
L

Figure 10. Dimensionless horizontal stiffness along the pile for free to fixed boundary conditions at the
pile head.


0.0
0.2
0.4
0.6
0.8
1.0
0.1 1 10 100
K/ G
l
r
a
t
i
o

"

"
1
0.8
0.6
0.4
0.2
0
0.1 1 10 100
singlepile
2x2pilegroup
2x8pilegroup
0.0
0.2
0.4
0.6
0.8
1.0
0.1 1 10 100
K/ G
l
r
a
t
i
o

"

"
1
0.8
0.6
0.4
0.2
0
0.1 1 10 100
singlepile
2x2pilegroup
2x8pilegroup

Figure 11. The ratio as a function of the relative stiffnesses between the pile and the liquefied soil for
three different pile configurations: single pile, 2x2 and 2x8 pile group, obtained from several parametric
numerical analyses of the horizontal slice.

Shear modulus of the liquefied soil, G
l

In the framework of an elastic analysis of the horizontal slice, an equivalent linear shear
modulus of the liquefied soil can be determined as:
0
1
liq
H
res
l liq
res
G dz
H


(1)
H
liq
is the thickness of the liquefied zone, is the residual shear stress and is the maximum
shear strain after the end of shaking, obtained from the numerical analysis of the free field. That
is how the stiffness degradation of the liquefied soil is taking into account.
The elastic pseudo-static analysis of the horizontal is conducted for two different pile con-
figurations: (a) a 2x2 pile group (Tazoh et al., 2005) and (b) a 2x8 pile group (Sato et al., 2003).

Proceedings, 3rd Greece-Japan Workshop: Seismic Design, Observation, and Retrofit of Foundations. Santorini 2009
121
0
0.2
0.4
0.6
0.8
1
0 0.5 1
w/ ( pL EI w
max
)
z
/
L
uniformload
invertedtriangleload
invertedtrapezoidload
0
0.2
0.4
0.6
0.8
1
0 0.5 1
w/ ( pL EI w
max
)
z
/
L
uniformload
invertedtriangleload
invertedtrapezoidload

Figure 12. Deformation shape of a pile with no rotation at the top and the bottom, determined for three
different load distributions: uniform, inverted triangle shaped and inverted trapezoid one.

The ratio , is obtained as function of the relative stiffness between the pile and the lique-
fied soil, K/G
l
, shown in Figure 11.
When the relative stiffness tends to zero (K/G
l
0), the ratio tends to unity, which
means that the pile sections move just like the soil, as a rigid body. On the contrary, when the
relative stiffness tends to infinity (K/G
l
), the ratio tends to zero. This is due to the fact
that the soil has practically zero shear strength (G
l
0) and flows around the pile without exert-
ing any significant load on them. Moreover, Figure 11 indicates that increasing the number of
piles, the resistance of the foundation to the moving soil mass becomes stronger. It is worth
mentioned at this point that the numerical modeling of the pile-group section into the liquefied
soil is based on the assumption that the piles sustain the same horizontal displacement due to the
pile-cap constraint.
In conclusion, as long as the relative stiffness, K/G
l
, is determined, the ratio can be esti-
mated. Eventually, multiplying the ratio with the free-field soil displacement in the middle
of the liquefied zone, at the position where the piles would be present behind the quay-wall, we
can calculate the pile displacement at the same characteristic depth.
In the last step of the methodology, the whole pile deformation and mainly the pile displace-
ment at the top, remains to be evaluated. The deformation shape of each pile, simulated as a
beam element, is defined primarily by its boundary conditions and secondarily by the load dis-
tribution along it, as depicted in Figure 12. A potential load distribution, is imposed on the pile,
so as to obtain its deformation shape as a function of the unknown load value, p.
Until now, we have just estimated the pile displacement in the middle of the liquefied zone.
Using this known displacement, we can calibrate the shape function of the pile with depth and
finally, estimate the unknown load value, p. Continuously, the distribution of the pile dis-
placements with depth, as long as the bending moments along the pile, can be determined by
imposing the already fully known load distribution on the beam-pile.

Proceedings, 3rd Greece-Japan Workshop: Seismic Design, Observation, and Retrofit of Foundations. Santorini 2009
122
0
1
2
3
4
5
6
7
8
9
15 10 5 0 5 10 15 20
shearstress(kPa)
d
e
p
t
h

(
m
)
Tazohetal.(2005)
Satoetal.(2001)
0
1
2
3
4
5
6
7
8
9
0 2 4 6 8 10 12 14 16
shearstrain(10
2
)
d
e
p
t
h

(
m
)
Tazohetal.(2005)
Satoetal.(2001)
0
1
2
3
4
5
6
7
8
9
15 10 5 0 5 10 15 20
shearstress(kPa)
d
e
p
t
h

(
m
)
Tazohetal.(2005)
Satoetal.(2001)
0
1
2
3
4
5
6
7
8
9
0 2 4 6 8 10 12 14 16
shearstrain(10
2
)
d
e
p
t
h

(
m
)
Tazohetal.(2005)
Satoetal.(2001)
0
1
2
3
4
5
6
7
8
9
0 0.1 0.2 0.3 0.4 0.5 0.6 0.7
freefielddisplacement(m)
d
e
p
t
h

(
m
)
Tazohetal.(2005)
Satoetal.(2001)
0
1
2
3
4
5
6
7
8
9
15 10 5 0 5 10 15 20
shearstress(kPa)
d
e
p
t
h

(
m
)
Tazohetal.(2005)
Satoetal.(2001)
0
1
2
3
4
5
6
7
8
9
0 2 4 6 8 10 12 14 16
shearstrain(10
2
)
d
e
p
t
h

(
m
)
Tazohetal.(2005)
Satoetal.(2001)
0
1
2
3
4
5
6
7
8
9
15 10 5 0 5 10 15 20
shearstress(kPa)
d
e
p
t
h

(
m
)
Tazohetal.(2005)
Satoetal.(2001)
0
1
2
3
4
5
6
7
8
9
0 2 4 6 8 10 12 14 16
shearstrain(10
2
)
d
e
p
t
h

(
m
)
Tazohetal.(2005)
Satoetal.(2001)
0
1
2
3
4
5
6
7
8
9
0 0.1 0.2 0.3 0.4 0.5 0.6 0.7
freefielddisplacement(m)
d
e
p
t
h

(
m
)
Tazohetal.(2005)
Satoetal.(2001)
(i)
(ii)
0
1
2
3
4
5
6
7
8
9
15 10 5 0 5 10 15 20
shearstress(kPa)
d
e
p
t
h

(
m
)
Tazohetal.(2005)
Satoetal.(2001)
0
1
2
3
4
5
6
7
8
9
0 2 4 6 8 10 12 14 16
shearstrain(10
2
)
d
e
p
t
h

(
m
)
Tazohetal.(2005)
Satoetal.(2001)
0
1
2
3
4
5
6
7
8
9
15 10 5 0 5 10 15 20
shearstress(kPa)
d
e
p
t
h

(
m
)
Tazohetal.(2005)
Satoetal.(2001)
0
1
2
3
4
5
6
7
8
9
0 2 4 6 8 10 12 14 16
shearstrain(10
2
)
d
e
p
t
h

(
m
)
Tazohetal.(2005)
Satoetal.(2001)
0
1
2
3
4
5
6
7
8
9
0 0.1 0.2 0.3 0.4 0.5 0.6 0.7
freefielddisplacement(m)
d
e
p
t
h

(
m
)
Tazohetal.(2005)
Satoetal.(2001)
0
1
2
3
4
5
6
7
8
9
15 10 5 0 5 10 15 20
shearstress(kPa)
d
e
p
t
h

(
m
)
Tazohetal.(2005)
Satoetal.(2001)
0
1
2
3
4
5
6
7
8
9
0 2 4 6 8 10 12 14 16
shearstrain(10
2
)
d
e
p
t
h

(
m
)
Tazohetal.(2005)
Satoetal.(2001)
0
1
2
3
4
5
6
7
8
9
15 10 5 0 5 10 15 20
shearstress(kPa)
d
e
p
t
h

(
m
)
Tazohetal.(2005)
Satoetal.(2001)
0
1
2
3
4
5
6
7
8
9
0 2 4 6 8 10 12 14 16
shearstrain(10
2
)
d
e
p
t
h

(
m
)
Tazohetal.(2005)
Satoetal.(2001)
0
1
2
3
4
5
6
7
8
9
0 0.1 0.2 0.3 0.4 0.5 0.6 0.7
freefielddisplacement(m)
d
e
p
t
h

(
m
)
Tazohetal.(2005)
Satoetal.(2001)
(i)
(ii)

Figure 13. Distributions of horizontal soil displacements, shear strains and stresses, obtained from the
numerical analysis of the two models: (i) Tazoh et al., 2005 (Case CD) and (ii) Sato et al. (2001) without
the piles.

0.0
0.2
0.4
0.6
0.8
1.0
1.2
1.4
0 2 4 6 8 10 12
time(sec)
Q
u
a
y

w
a
l
l

d
i
p
l
a
c
e
m
e
n
t

a
t

t
o
p

(
m
)
Tazohetal.(2005)
Satoetal.(2005)
(i)
(ii)

0.0
0.2
0.4
0.6
0.8
1.0
1.2
1.4
0 2 4 6 8 10 12
time(sec)
Q
u
a
y

w
a
l
l

d
i
p
l
a
c
e
m
e
n
t

a
t

t
o
p

(
m
)
Tazohetal.(2005)
Satoetal.(2005)
(i)
(ii)

Figure 14. Horizontal quay wall displacements, obtained from the numerical analysis of the two models:
Tazoh et al., 2005 (Case CD) and Sato et al. (2001) without the piles.
4 COMPARISON WITH RESULTS FROM CENTRIFUGE TESTS
The results obtained from the numerical analysis of the free field including the quay-wall in
the first step for the two centrifuge experiments (Tazoh et al., 2005 and Sato et al., 2001) are il-
lustrated in Figures 13 to 16. The only differences between the two models, both the centrifuge
and the numerical ones are the input wave motions, shown in Figure 4 and the distance of the
quay wall from the boundaries parallel to it, depicted in Figure 3. According to the excess pore
pressure time histories, demonstrated in Figures 15 and 16, the liquefaction seems more exten-
sive in case of Tazoh et al. model. This is one of the reasons why the quay-wall displacement of
this model is larger than the one of the Sato et al. model, as portrayed in Figure 14.
In the second step, every single pile of the pile groups is simulated as a beam fixed both at
the top and the bottom, following the assumption that the pile cap does not allow any rotation at
the pile heads. The horizontal stiffnesses, K, are calculated at the characteristic depths depicted
in Figure 17 which coincide with the middle of the liquefied layer. The values required to esti-
Proceedings, 3rd Greece-Japan Workshop: Seismic Design, Observation, and Retrofit of Foundations. Santorini 2009
123
mate the pile displacement at the characteristic depth are given in table 1. Once the relative
stiffness is estimated for each model, the ratio is determined, choosing the 2x2 pile-group
curve in case of the Tazoh et al. model and the 2x8 pile-group curve for the Sato et al. model.


0.0
0.2
0.4
0.6
0.8
1.0
0 2 4 6 8 10 12
time(sec)
E
x
c
e
s
s

p
o
r
e

p
r
e
s
s
u
r
e

r
a
t
i
o
z=4m
z=3.5m
z=5.5m
z=6m
0.0
0.2
0.4
0.6
0.8
1.0
0 2 4 6 8 10 12
time(sec)
E
x
c
e
s
s

p
o
r
e

p
r
e
s
s
u
r
e

r
a
t
i
o
z=4m
z=3.5m
z=5.5m
z=6m

Figure 15. Time histories of excess pore pressure ratio at depths of 4, 3.5, 5.5, 6 m below the ground sur-
face, obtained from the numerical analysis of the Sato et al. model (2001) without the piles.


0.0
0.2
0.4
0.6
0.8
1.0
0 2 4 6 8 10 12 14
time(sec)
E
x
c
e
s
s

p
o
r
e

p
r
e
s
s
u
r
e

r
a
t
i
o
z=4m
z=3.5m
z=5.5m
z=6m
0.0
0.2
0.4
0.6
0.8
1.0
0 2 4 6 8 10 12 14
time(sec)
E
x
c
e
s
s

p
o
r
e

p
r
e
s
s
u
r
e

r
a
t
i
o
z=4m
z=3.5m
z=5.5m
z=6m

Figure 16. Time histories of excess pore pressure ratio at depths of 4, 3.5, 5.5, 6 m below the ground sur-
face, obtained from the numerical analysis of the Tazoh et al. model (2005) without the piles.

In the last step, five different potential load distributions are imposed on the pile-beam. A
range of estimated values regarding the displacements and the bending moments along each pile
of the pile group are illustrated in Figure 18 for the two models. The range of pile displacements
is not very sensitive to the shape of the load distribution whereas the bending moments vary
significantly, especially on the top. However, the maximum bending moment for both of the
two models was recorded at the pile tip, during the centrifuge experiments.
5 CONCLUDING REMARKS
In this paper, a new simple physically-motivated methodology is proposed for the evaluation
of pile response due to liquefactioninduced soil flow. The main characteristics of this method-
ology verified above are:
It avoids the associated empirical selection of stiffnessreduction factors and does not in-
volve the use of p-y curves.
Proceedings, 3rd Greece-Japan Workshop: Seismic Design, Observation, and Retrofit of Foundations. Santorini 2009
124
1.3 m
L=7.5m 9 m
Liquefiedlayer
2 m
6 m
3 m
P
1.3 m
L=7.5m L=7.5m 9 m
Liquefiedlayer
2 m
6 m
3 m
P
EI=17000kNm
2
0.6 m
L=8.0m 9 m
Liquefiedlayer
2 m
6 m
3.5 m
P
0.6 m
L=8.0m L=8.0m 9 m
Liquefiedlayer
2 m
6 m
3.5 m
P
EI=6480kNm
2
1.3 m
L=7.5m 9 m
Liquefiedlayer
2 m
6 m
3 m
P
1.3 m
L=7.5m L=7.5m 9 m
Liquefiedlayer
2 m
6 m
3 m
P
EI=17000kNm
2
0.6 m
L=8.0m 9 m
Liquefiedlayer
2 m
6 m
3.5 m
P
0.6 m
L=8.0m L=8.0m 9 m
Liquefiedlayer
2 m
6 m
3.5 m
P
EI=6480kNm
2
1.3 m
L=7.5m 9 m
Liquefiedlayer
2 m
6 m
3 m
P
1.3 m
L=7.5m L=7.5m 9 m
Liquefiedlayer
2 m
6 m
3 m
P
EI=17000kNm
2
0.6 m
L=8.0m 9 m
Liquefiedlayer
2 m
6 m
3.5 m
P
0.6 m
L=8.0m L=8.0m 9 m
Liquefiedlayer
2 m
6 m
3.5 m
P
EI=6480kNm
2
1.3 m
L=7.5m 9 m
Liquefiedlayer
2 m
6 m
3 m
P
1.3 m
L=7.5m L=7.5m 9 m
Liquefiedlayer
2 m
6 m
3 m
P
EI=17000kNm
2
0.6 m
L=8.0m 9 m
Liquefiedlayer
2 m
6 m
3.5 m
P
0.6 m
L=8.0m L=8.0m 9 m
Liquefiedlayer
2 m
6 m
3.5 m
P
EI=6480kNm
2


Figure 17. Each pile of the 2x8 pile group of the Sato et al. (2001)model (Top) and of the 2x2 pile group
of the Tazoh et al. (2005) model (Case CD -- Bottom), is simulated as a vertical beam element with no ro-
tation at the top and the bottom. The horizontal stiffness, of the pile is estimated at a characteristic depth
of 3 m (3.5 m for the Tazoh et al model) from its top, which coincides with the middle of the liquefied
layer.


Table 1. Table of the values needed to determine the ratio and the pile displacements at the middle of
the liquefied layer for the two models:

depth
(m)
G
l
(kPa)
K
(kN/m)
K /G
l
ffdisp
(m)
ratio
""
piledisp.
(m)
3.50 90 370 4.1 0.5 0.152 0.076
depth
(m)
G
l
(kPa)
K
(kN/m)
K /G
l
ffdisp
(m)
ratio
""
piledisp.
(m)
3.00 200 1020 5.1 0.42 0.105 0.044
Tazohetal.
(2005)
Satoetal.
(2001)


It introduces an elastic pseudo static numerical analysis of a horizontal slice into the lique-
fied layer including the piles, in order to estimate the soil-pile interaction under soil flow
conditions in quantitative terms. This interaction is determined as a function of the relative
stiffness between the pile and the liquefied soil. The pile stiffness is assumed to remain lin-
ear-elastic throughout the analysis.
It can be applied to any type of soil profile and pile configuration (single pile or pile
group).
Proceedings, 3rd Greece-Japan Workshop: Seismic Design, Observation, and Retrofit of Foundations. Santorini 2009
125
The effectiveness of the new methodology in combination with suitable engineering judg-
ment and reasonable assumptions can provide sufficient accuracy for designing and evalu-
ating purposes.

0
1
2
3
4
5
6
7
0 0.02 0.04 0.06 0.08
pilediplacement(m)
d
e
p
t
h

(
m
)
Centrifugeexperiment
Rangeofpredictedvalues
0
1
2
3
4
5
6
7
0 0.02 0.04 0.06 0.08
pilediplacement(m)
d
e
p
t
h

(
m
)
0
1
2
3
4
5
6
7
0 0.02 0.04 0.06 0.08
pilediplacement(m)
d
e
p
t
h

(
m
)
Centrifugeexperiment
Rangeofpredictedvalues
Centrifugeexperiment
Rangeofpredictedvalues
0
1
2
3
4
5
6
7
600 400 200 0 200 400 600
bendingstrains()
d
e
p
t
h

(
m
)
Centrifugeexperiment
Rangeofpredictedvalues
0
1
2
3
4
5
6
7
600 400 200 0 200 400 600
bendingstrains()
d
e
p
t
h

(
m
)
Centrifugeexperiment
Rangeofpredictedvalues
Centrifugeexperiment
Rangeofpredictedvalues
0
1
2
3
4
5
6
7
8
0 0.05 0.1 0.15
pilediplacement(m)
d
e
p
t
h

(
m
)
Centrifugeexperiment
Rangeofpredictedvalues
0
1
2
3
4
5
6
7
8
0 0.05 0.1 0.15
pilediplacement(m)
d
e
p
t
h

(
m
)
0
1
2
3
4
5
6
7
8
0 0.05 0.1 0.15
pilediplacement(m)
d
e
p
t
h

(
m
)
Centrifugeexperiment
Rangeofpredictedvalues
Centrifugeexperiment
Rangeofpredictedvalues
0
1
2
3
4
5
6
7
8
1500 1000 500 0 500 1000 1500
bendingstrains()
d
e
p
t
h

(
m
)
Centrifugeexperiment
Rangeofpredictedvalues
Centrifugeexperiment
Rangeofpredictedvalues
0
1
2
3
4
5
6
7
0 0.02 0.04 0.06 0.08
pilediplacement(m)
d
e
p
t
h

(
m
)
Centrifugeexperiment
Rangeofpredictedvalues
0
1
2
3
4
5
6
7
0 0.02 0.04 0.06 0.08
pilediplacement(m)
d
e
p
t
h

(
m
)
0
1
2
3
4
5
6
7
0 0.02 0.04 0.06 0.08
pilediplacement(m)
d
e
p
t
h

(
m
)
Centrifugeexperiment
Rangeofpredictedvalues
Centrifugeexperiment
Rangeofpredictedvalues
0
1
2
3
4
5
6
7
600 400 200 0 200 400 600
bendingstrains()
d
e
p
t
h

(
m
)
Centrifugeexperiment
Rangeofpredictedvalues
0
1
2
3
4
5
6
7
600 400 200 0 200 400 600
bendingstrains()
d
e
p
t
h

(
m
)
Centrifugeexperiment
Rangeofpredictedvalues
Centrifugeexperiment
Rangeofpredictedvalues
0
1
2
3
4
5
6
7
8
0 0.05 0.1 0.15
pilediplacement(m)
d
e
p
t
h

(
m
)
Centrifugeexperiment
Rangeofpredictedvalues
0
1
2
3
4
5
6
7
8
0 0.05 0.1 0.15
pilediplacement(m)
d
e
p
t
h

(
m
)
0
1
2
3
4
5
6
7
8
0 0.05 0.1 0.15
pilediplacement(m)
d
e
p
t
h

(
m
)
Centrifugeexperiment
Rangeofpredictedvalues
Centrifugeexperiment
Rangeofpredictedvalues
0
1
2
3
4
5
6
7
8
1500 1000 500 0 500 1000 1500
bendingstrains()
d
e
p
t
h

(
m
)
Centrifugeexperiment
Rangeofpredictedvalues
Centrifugeexperiment
Rangeofpredictedvalues

Figure 18. Calculated range of distributions of (a) the horizontal displacement, and (b) the bending strain,
in comparison with the centrifuge test results by Sato et al., 2001 (Top), and Tazoh et al., 2005 (Bottom).
ACKNOWLEDGMENTS
This work forms part of an EU 7
th
Framework research project funded through the European
Research Council (ERC) Programme Ideas, Support for Frontier Research Advanced Grant,
under Contract number ERC-2008-AdG 228254-DARE.

Proceedings, 3rd Greece-Japan Workshop: Seismic Design, Observation, and Retrofit of Foundations. Santorini 2009
126
REFERENCES
Boulanger R. W., Kutter B. L., Brandenberg S. J., Singh P., and Chang P., (2003), Pile Foundations in
Liquefied and Laterally Spreading Ground during Earthquakes: Centrifuge Experiments and Analyses,
Report No. UCD/CGM-03/01, Department of Civil and Environmental Engineering, University of
California at Davis.
Cubrinovsky M., and Ishihara K., (2004), Simplified Method for Analysis of Piles undergoing Lateral
Spreading of Liquefied Soils, Soils and Foundations, Vol. 44, No. 5, pp. 119-133.
Cubrinovsky M., Kokusho T., and Ishihara K., (2004), Interpretation from large-scale shake table tests
on piles subjected to spreading of liquefied soils, Proceedings of 11
th
Int. Conf. Soil Dynamics and
Earthq. Engrg. / 3
rd
Int. Conf. Earthq. Geotech. Engrg., Berkeley, USA, Vol. 2, pp. 463-470.
Dobry R., and Abdoun T. H., (1998), Post-Triggering Response of Liquefied Soil in The Free Field and
Near Foundations, State-of-the-art paper, Proc. ASCE 1998 Specialty Conference on Geotechnical
Earthquake Engineering and Soil Dynamics (P. Dakoulas, M. Yegian and R. D. Holtz, eds.), Univer-
sity of Washington, Seattle, Washington, August 3-6, Vol. 1, pp. 270-300.
Dobry R., and Abdoun T. H., (2000), Recent studies on seismic centrifuge modeling of liquefaction and
its effect on deep foundations, Proceedings of the fourth International Conference on Recent Ad-
vances in Geotechnical Earthquake Engineering and Soil Dynamics , San Diego.
Finn Liam W. D., and Thavaraj T., (2001), Deep Foundations in liquefiable soils: Case Histories , cen-
trifuge tests and methods of analysis , Proceedings of the fourth International Conference on Recent
Advances in Geotechnical Earthquake Engineering and Soil Dynamics, San Diego.
Ishihara K., (1997), Geotechnical aspects of the 1995 Kobe Earthquake, Proceedings of 14
th
Int. Conf.
SMFE, Terzaghi Oration, Hamburg.
Mokwa R. L., Duncan J. M (2003), Rotational restraint of pile caps during lateral loading, Journal of
Geotechnical and Geoenvironmental Engineering, ASCE, 129(9), pp. 829-837.
Ramos R., Abdoun T. H., and Dobry, R., (2000), Effect of Lateral Stiffness of Superstructure on Bend-
ing Moments of Pile Foundation Due to Liquefaction-induced Lateral Spreading, Proc. 12th World
Conf. on Earthquake Engineering, Auckland, New Zealand, Jan. 30 - Feb. 4, 8 pages.
Sato M., Tazoh T. and Ogasawara M. (2001), Reproduction of Lateral Ground Displacement and Lateral
Flow Earth Pressure Acting on Pile Foundations using Centrifuge Modeling, Proceedings of the
Fourth International Conference on Recent Advances in Geotechnical Earthquake Engineering and
Soil Dynamics, San Diego.
Tazoh T., Gazetas G. (1996), Pile Foundations Subjected to Large Ground Deformations: Lessons from
Kobe and Research Needs, Proceedings of the Eleventh World Conference on Earthquake Engineer-
ing, Acapulco, Mexico, paper 2081.
Tazoh T., Sato M., and Gazetas G., (2005), Centrifuge Tests on PileFoundationStructure Systems Af-
fected by LiquefactionInduced Soil Flow after Quay Wall Failure, Proceedings of the 1
st
Greece
Japan Workshop: Seismic Design, Observation, and Retrofit of Foundations, Athens, Oct. 11-12 pp.
79-106.
Tokimatsu K., Oh-oka H., Samoto Y., Nakazawa A., and Asaka Y., (1997), Failure and Deformation
Modes of Piles Caused by Liquefaction-Induced Lateral Spreading in 1995 Hyogo-ken Nambu Earth-
quake, Proceedings of the Third Kansai International Forum on Comparative Geotechnical Engi-
neering, (KIG-Forum 97), pp. 239-248.
Yasuda S., Ishihara K., Harada K., and Namura H., (1996), Area of Ground Flow Occurred behind
Quaywalls due to Liquefaction, Proceedings of the Third Kansai International Forum on Compara-
tive Geotechnical Engineering, (KIG-Forum 97), pp. 85-93.
Proceedings, 3rd Greece-Japan Workshop: Seismic Design, Observation, and Retrofit of Foundations. Santorini 2009
127
FINITE ELEMENT ANALYSIS OF PILE-SOIL INTERACTION
SYSTEM BY OVERLAYING MESH METHOD

A. Ohta & F. Miura
The graduate school of science and engineering, Yamaguchi University

Y. Ono & J. Kiyono
The graduate school of engineering, Kyoto University



1 INTRODUCTION
The Overlaying mesh method (OMM) is an analytical approach that overlaps two or more
independent different-size-mesh models. In the OMM, detailed mesh model is used in elected area
under consideration, with coarser mesh model else where, in order to optimize calculation effort. In
the previous study, different-size-models are used to express a complex area with different material
constants, but same type elements, such as plane strain two dimensional elements are used. In this
research, we propose a new application method of the overlaying mesh method using different
elements such as beam elements and solid elements. We analyzed two types of pile foundation
models using OMM, and proved that the proposed method is valid.
2 THEORY OF THE PROPOSED METHOD
2.1 Derivation of the fundamental equations for the OMM
In the OMM, two or more different-sized-mesh models are used, one is for modeling the wide area,
which we call Global area, the other/others is/are used to model detailed area(s), which we call Local
area, where we want to know the detailed behavior. In the soil-structure interaction problem, for
example, the former is used to model the ground which widely extends, and the latter is used to
model the structure of which shape is complex.
Let designate the Global area as
G
, the Local area as
L
and the boundary between these areas as

GL
. The image of the relationship of them is illustrated in Figure1.












Figure 1. Superimposition of global and local areas


Displacement fields are independently defined in each
G
and
L
, i.e., u
i
G
and u
i
L
, respectively.
The actual displacement u
i
in
L
is defined as the sum of u
i
G
and u
i
L
, while u
i
is equal to u
i
G
outside the

L
. Namely, the displacement u
i
is defined as the following equations.

Proceedings, 3rd Greece-Japan Workshop: Seismic Design, Observation, and Retrofit of Foundations. Santorini 2009
128
L L
i
G
i i
u u u + = in
(1)

L G G
i i
u u = in
(2)
To satisfy the continuity of the displacement at the boundary
GL
, the following condition is
needed.
on 0
GL
=
L
i
u
(3)
Displacements u
i
G
and u
i
L
in
G
and
L
are expressed by using shape function matrices N
G
and N
L

and nodal displacement vectors u
i
G
and u
i
L
as follows.
G
j
G
ij
G
i
u N u =
(4)
L
j
L
ij
L
i
u N u =
(5)
By partially differentiating Eq.(1) and using above equations, we obtain strain
ij
as,
L
ij
G
ij ij
+ = (6)
In which
G
k
G
ijk
G
ij
u B =
(7)
L
k
L
ijk
L
ij
u B =
(8)
By using the principle of virtual work, we can obtain the next equation.


+ = d t u d b u d D
i i i i kl ijkl ij
(9)
Where,
ij
,

ij
,
i
u , b
i
, t
i
, D
ijkl
are virtual strain, strain, virtual displacement, body force, surface
traction and constitutive tensor, respectively. The left side of the equation stands for the virtual
work due to the internal strains and the right side represents the virtual work done by the external
forces. By substituting Eq.s (1), (6), (7) and (8) into Eq. (9), we can obtain the following equations.

+ + + =
+ +
d t u u d b u u
d D
i
L
i
G
i i
L
i
G
i
L
ij
G
ij ijkl
L
ij
G
ij
) ( ) (
) ( ) (


(10)



+ + + =
+ +
d t u N u N d b u N u N
d u B u B D u B u B
i
L
i
L
ij
G
i
G
ij i
L
i
L
ij
G
i
G
ij
L
m
L
ijm
G
m
G
ijm ijkl
L
m
L
ijm
G
m
G
ijm
) ( ) (
) ( ) (


(11)
Proceedings, 3rd Greece-Japan Workshop: Seismic Design, Observation, and Retrofit of Foundations. Santorini 2009
129
By rewriting the above equations in the matrix form, we obtain the following equation.

L
G
L
G
L LG
GL G
f
f
u
u
K K
K K
(12)
Where :

+ =
+ =
=
=
=
=
d t N d b N f
d t N d b N f
d B D B K
d B D B K
d B D B K
d B D B K
i
L
i i
L
i
L
i
G
i i
G
i
G
L L
kl ijkl
L
ij
L
L G
kl ijkl
L
ij
LG
L L
kl ijkl
G
ij
GL
G G
kl ijkl
G
ij
G
L
L
L
G
(13)

In which K
G
and f
G
are stiffness matrix and external force vector for the global area
G
, and K
L
and f
L

are stiffness matrix and external force vector for the local area
L
, respectively.
2.2 Linking the beam element and the plane strain solid element
According to the previous work
1)
, linkage matrices between global and local plane strain elements,
K
GL
and K
LG
, are obtained from Eq.(13). Linkage matrices between plane strain elements and beam
elements, however, cannot be obtained in the same manner, because the strains are different between
the beam element and the solid element. It is, therefore, necessary to develop a new method to link
them.
The global nodal displacement at the same position as that of the local node, u
G
can be obtained
by using the global shape function N
G
and global nodal displacements
G
k u as Eq. (14).
G
k
G
kl
G
l
u N u = (14)
Global strain at arbitrary point,
G
, can be obtained from Eq.(7), and also obtained using other
element if the point is included inside the element and the coordinate of the nodal points of the
element. Therefore, global strain can be obtained by using u
G
and local shape function B
L
.
G
l
L
ijl
G
k
G
ijk
G
ij
u B
u B
=
=
(15)
Using Eq. (14), we can obtain the following relationships.
G
kl
L
ijl
G
ijk
G
k
G
ijk
G
l
L
ijl
G
k
G
kl
L
ijl
N B B
u B
u B u N B
=
=
=
(16)
Proceedings, 3rd Greece-Japan Workshop: Seismic Design, Observation, and Retrofit of Foundations. Santorini 2009
130

Therefore, K
LG
can be obtained as follows.
[ ]
[ ][ ]
G L
G
mn
L L
klm ijkl
L
ij
L G
mn
L
klm ijkl
L
ij
L G
kl ijkl
L
ij
LG
N K
N d B D B
d N B D B
d B D B K
L
L
L
=
=
=
=

(17)

In the same manner, K
GL
is expressed in the following way.
[ ] [ ] [ ]
L
T
G LG
K N K =
(18)

2.3 Constitution of the local mesh
Figure 2 shows the total system which includes global model and local model. The local model
contains beam elements of which area is designated by
C
. The local area modeled by solid elements
is expressed by
B
and the global area by
A
. It is assumed that the areas
A
and
C
are not in
contact. The constants of elasticity in the areas
A
and
B
are the same and expressed as D
1
ijkl
and in
the area
C
, D
1
ijkl
in the global model and D
L
ijkl
in the local model.

















As for the boundaries, the boundary between
A
and
B
is designated by
AB
, in the same
manner, the boundary between
B
and
C
is designated by
BC
. The boundary is divided into
A
,
B

and
C
according to the division of the areas
A
,
B
and
C
, respectively.
With the definitions above, K
G
, K
L
and K
GL
are obtained as follows.
[ ] [ ] [ ][ ]

+ +
=
C B A
d B D B K
G
kl ijkl
T
G
ij
G 1
(19)
[ ] [ ] [ ][ ] [ ] [ ][ ]


+ =
C B
d B D B d B D B K
L
kl
L
ijkl
T
L
ij
L
kl ijkl
T
L
ij
L 1
(20)
Proceedings, 3rd Greece-Japan Workshop: Seismic Design, Observation, and Retrofit of Foundations. Santorini 2009
131
[ ] [ ] [ ][ ] [ ] [ ][ ]


+ =
C B
d B D B d B D B K
L
kl
L
ijkl
T
G
ij
L
kl ijkl
T
G
ij
GL 1
(21)
Eq. (11) can be written in the tensor form as;






+ + + =
+ +
+
d t u d t u d b u d b u
d D d D
d D d D
i
L
i i
G
i i
L
i i
G
i
L L
kl ijkl
L
ij
L G
kl ijkl
L
ij
L L
kl ijkl
G
ij
G
kl ijkl
G
ij
L
L L
L



(22)
The displacements can be written in the following equation, in which symbols G, L, A, B and C stand
for Global, Local and areas A, B and C.

+ = +
+ = +
=
=
in
in
in
C LC
i
GC
i
L
i
G
i
B LB
i
GB
i
L
i
G
i
A GA
i
G
i
i
u u u u
u u u u
u u
u
(23)
As for the global displacement concerning the virtual displacement
G
i
u , and strain
G
ij
, we can
obtain the following equation.








+ + +
+ + =
+ +
+ +
d t u d t u d t u
d b u d b u d b u
d D d D
d D d D d D
i
GC
i i
GB
i i
GA
i
i
GC
i i
GB
i i
GA
i
LC
kl
L GC
ij
LB
kl
GB
ij
GC
kl
GC
ij
GB
kl
GB
ij
GA
kl
GA
ij
C B A
C
ijkl
B
ijkl
A
ijkl
B
ijkl
A
ijkl




1
1 1 1
(24)
By partially integrating the left part of Eq.(24) using the Greens formula, the following equation is
obtained.
{ } { }
{ }
{ } { }
{ }
{ } 0 ) ( ) (
) (
) ( ) (
) (
) (
1 1
1 1
1 1
1
, ,
1
, ,
1
,
1
= + + +
+ +
+ + + +
+ + +
+ + +




d u n D D D
d u n D D
d u t n D D d u t n D
d u t n D d u b D D
d u b D d u b D
GBC
i
C
j
LC
kl
L
ijkl
GC
kl ijkl
LB
kl
GB
kl ijkl
GAB
i
B
j
LB
kl
GB
kl ijkl
GA
kl ijkl
GC
i i
C
j
LC
kl
L
ijkl
GC
kl ijkl
GB
i i
B
j
LB
kl
GB
kl ijkl
GA
i i
A
j
GA
kl ijkl
GC
i i
LC
l kl
L
ijkl
GC
l kl ijkl
GB
i i
LB
l kl
GB
l kl ijkl
GA
i i
GA
l kl ijkl
BC
AB
C B
A C
B A





(25)
As the global displacements u
i
G
is continuous in area , the following relations can exist.
AB GAB
i
GB
i
GA
i
u u u = = on
(26)
BC GBC
i
GC
i
GB
i
u u u = = on
(27)
Proceedings, 3rd Greece-Japan Workshop: Seismic Design, Observation, and Retrofit of Foundations. Santorini 2009
132
On the other hand, as for the local displacement concerning the virtual displacement
L
i
u , and
strain
L
ij
, we can obtain the following equation.






+ + + =
+ +
+
C B C B
C B
C B
d t u d t u d b u d b u
d D d D
d D d D
i
LC
i i
LB
i i
LC
i i
LB
i
LC
kl
L
ijkl
LC
ij
LB
kl ijkl
LB
ij
GC
kl
L
ijkl
LC
ij
GB
kl ijkl
LB
ij



1
1
(28)
In the same manner as in the global area, Eq. (28) can be written as,
{ }
{ }
{ } { }
{ }
{ } 0 ) ( ) (
) (
) ( ) (
) (
1 1
1 1
1 1
, ,
1
, ,
1
= + + +
+ +
+ + + +
+ +
+ +

d u n D D D
d u n D D
d u t n D D d u t n D
d u b D D
d u b D
GBC
i
C
j
LC
kl
L
ijkl
GC
kl ijkl
LB
kl
GB
kl ijkl
GAB
i
B
j
LB
kl
GB
kl ijkl
GA
kl ijkl
GC
i i
C
j
LC
kl
L
ijkl
GC
kl ijkl
GB
i i
B
j
LB
kl
GB
kl ijkl
GC
i i
LC
l kl
L
ijkl
GC
l kl ijkl
GB
i i
LB
l kl
GB
l kl ijkl
BC
AB
C B
C
B





(29)
And,
AB
on 0 =
LB
i
u
(30)
In the Eq.s (25) and (29), as the virtual displacements are arbitrary, we obtain the following
equations.
A
i
GA
l kl ijkl
b D = + in 0
,
1

(31)
B
i
LB
l kl
GB
l kl ijkl
b D = + + in 0 ) (
, ,
1

(32)
C
i
LC
l kl
L
ijkl
GC
l kl ijkl
b D D = + + in 0
, ,
1

(33)
C
i
LC
l kl
L
ijkl
GC
l kl
L
ijkl
b D D = + + in 0
, ,

(34)
A
i
A
j
GA
kl ijkl
t n D = on 0
1

(35)
B
i
B
j
LB
kl
GB
kl ijkl
t n D = + on 0 ) (
1

(36)
C
i
C
j
LC
kl
L
ijkl
GC
kl ijkl
t n D D = + on 0 ) (
1

(37)
Proceedings, 3rd Greece-Japan Workshop: Seismic Design, Observation, and Retrofit of Foundations. Santorini 2009
133
C
i
C
j
LC
kl
L
ijkl
GC
kl
L
ijkl
t n D D = + on 0 ) (
(38)
{ }
AB B
j
LB
kl
GB
kl ijkl
GA
kl ijkl
n D D = + on 0 ) (
1 1

(39)
{ }
BC C
j
LC
kl
L
ijkl
GC
kl ijkl
LB
kl
GB
kl ijkl
n D D D = + + on 0 ) ( ) (
1 1

(40)
{ }
BC C
j
LC
kl
L
ijkl
GC
kl
L
ijkl
LB
kl
GB
kl ijkl
n D D D = + + on 0 ) ( ) (
1

(41)
By subtracting Eq. (34) from Eq. (33), Eq. (38) from Eq. (37), Eq. (41) from Eq. (40), we obtain
Eq.s (42), (43), (44), respectively.
C GC
l kl
L
ijkl ijkl
D D = in 0 ) (
,
1

(42)
C C
j
GC
kl
L
ijkl ijkl
n D D = on 0 ) (
1

(43)
BC C
j
GC
kl
L
ijkl ijkl
n D D = on 0 ) (
1

(44)
From Eq.s (43) and (44), equilibrium of stress is independently satisfied within the global model
on the boundaries
BC
and
C
, and normal stress outward direction is 0. From Eq.s (42), (43), (44) we
can get the next relationship.
C GC
kl
L
ijkl ijkl
D D = in 0 ) (
1

(45)
This means that the stress of beam elements due to global model is 0 on the boundary of area
C
.
And from Eq. (45)
C GC
kl
= in 0
(46)
Eq.s (33) and (34) become
C
i
LC
l kl
L
ijkl
b D = + in 0
,

(47)
In the same way, Eq. (40) and (41) become
{ }
BC B
j
LC
kl
L
ijkl
LB
kl
GB
kl ijkl
n D D = + on 0 ) (
1

(48)
This means that the stresses due to displacements in local model within area
C
on the
boundary
BC
, equilibrium to those within area
B
. Stresses in the beam elements, therefore, can be
expressed only by the local model and obtained only by the stiffness of the beam elements.





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134

























































Figure 5 Finite element mesh using the OMM
Figure 3 Vertical pile model
Figure 4 Ordinal finite element mesh of vertical
Proceedings, 3rd Greece-Japan Workshop: Seismic Design, Observation, and Retrofit of Foundations. Santorini 2009
135
3 ANALITICAL EXAMPLES
3.1 Vertical pile model
The vertical pile-footing-ground model used in this analysis is illustrated in Figure 3. Ground and
piles and footing are assumed to be elastic materials and material constants of ground and footing are
the same for the simplicity. Youngs modulus, sectional area, and moment inertia of the section of
the pile are 206GPa, 0.009628m
2
, and 7.86x10
-5
m
4
, respectively. Shear wave velocity, unit weight
and Poissons ratio are 300m/s, 16.67kN/m
3
, 0.3, respectively. Finite element models of the model
are shown in Figures 4 and 5. Figure 4 is the ordinal finite element model and Figure 5 is overlaying
mesh model.
Numerical analysis results are compared in Figures 6, 7 and 8. Horizontal placements of the
beam elements are illustrated in Figure 6, vertical displacements in Figure 7 and rotational angles in
Figure 8. In these figures, normal means the results from the ordinal element model, and OMM
from the overlaying mesh model.



































The difference of the horizontal response displacements is about 0.1mm, and this is very small
compared with the maximum response of the system of 2.9mm, in the vertical direction, the
difference is about 0.03mm, while the maximum response is about 13.5mm. The distributions of the
response displacements in the total system are shown in Figures 9, 10, 11 and 12. From these figures
the results are almost same in two models. This means the validity of the proposed method.
Figure 6. Comparison of horizontal displacements Figure 7. Comparison of vertical displacements
Figure 8. Comparison of rotational angle pile
Proceedings, 3rd Greece-Japan Workshop: Seismic Design, Observation, and Retrofit of Foundations. Santorini 2009
136























Figure 9. Distribution of horizontal displacement
from normal finite element mesh.
Figure 10. Distribution of horizontal displacement
from finite element mesh with OMM.
Figure 12. Distribution of vertical displacement
from finite element mesh with OMM.
Figure 11. Distribution of vertical displacement
from normal finite element mesh
Figure 13. Battered pile model.
Figure 14. Normal finite element mesh of battered
piles.

Figure 15. Finite element mesh of battered piles with OMM

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137



















3.2 Battered pile model
Figure 13 shows the battered pile-ground-footing model. The material constants are the same as
those of the vertical pile models. Figures 14 and 15 are ordinal mesh model and OMM, respectively.
The mesh of the former model is very complicated to express the battered piles, on the other hand, the
mesh is very simple for the latter model as shown in Figure 15. Same global mesh as in the vertical
pile is used for the OMM.
The comparisons of horizontal and vertical displacements and rotational angle are made in Figures
16, 17 and 18. The differences between these two models are little larger than those from the vertical
piles model, especially for rotational angle. One of the possible reasons is the irregularity of the
ordinal mesh model. To generate the mesh shown in Figure 14, we employed automatic mesh
generation software, thats why the mesh is not symmetry about the centerline. We need to seek and
examine other cause of the difference of the results.
The comparisons of the distributions of horizontal and vertical displacements in the global system
are shown in Figures 19 and 20. As can be seen in Figures 16 and 17, the difference of the responses
can be observed at the top and the tip of the piles.
The CPU time to analyze models shown in Figures 14 and 15 are almost same in both cases. To
generate the OMM is very easy, because we just put the battered piles models on the global model
(ground model). This is a typical advantage of using OMM.





Figure 16. Comparison of horizontal displacements Figure 17. Comparison of vertical displacements

Figure 18. Comparison of rotational angle of pile

Proceedings, 3rd Greece-Japan Workshop: Seismic Design, Observation, and Retrofit of Foundations. Santorini 2009
138


































4 CONCLISIONS
We derived the OMM in application of the soil-structure interaction system. Then we examine the
validity of the method. For vertical pile model, we could get good agreement between the ordinal
model and the OMM, but in the analysis of battered pile model, the difference is little larger than
those for vertical pile models. We need to examine the reason and establish the analysis method for
the soil-structure interaction problem, and more we need to extend the method to three dimensional
problem in which the advantage of the method will be remarkable.
REFERENCES
T. Belytchko, J. Fish and A. Bayliss (1990), The spectral overlay on finite elements for problems with high
gradients, Computer methods in applied mechanics and engineering, Vol.81 pp.71-89.
Figure 19. Distribution of horizontal displacement from ordinal finite element mesh.
Figure 20. Distribution of horizontal displacement from finite element mesh with OMM.
Proceedings, 3rd Greece-Japan Workshop: Seismic Design, Observation, and Retrofit of Foundations. Santorini 2009
139
1 INTRODUCTION
Many researches have been done on the liquefaction of sand experimentally, empirically, and
mathematically. Cyclic mobility due to soil skeleton dilation at large shear strain excursions is
one of typical mechanical behaviors of sand during liquefaction. A large number of computa-
tional models have been, and continue to be developed for simulation of nonlinear soil re-
sponse, and the dilatancy effects. Research related to testing methods and modeling of the cy-
clic mobility of sand can be found in many publications, e.g., the work by Oka et al. (1992);
LIQCA program by Yashima et al. (1991). In recent years, research on constitutive model for
soils has been developing very quickly. For instance, the concept of subloading proposed by
Hashiguchi and Ueno (1977), and the concept of superloading proposed by Asaoka et al.
(1998), make it possible not only to describe remolded soils (Roscoe et al., 1963 and Schofield
and Wroth 1968), but also naturally deposited soils in which overconsolidation, structure and
anisotropy of soils play a very important rule in determining the mechanical behaviors of soil.
Asaoka et al. (2002) proposed an elasto-plastic constitutive model based on the evolution rules
which describe the collapse of the soil skeleton structure (the concept of superloading), the loss
in overconsolidation (the concept of subloading), and the development of anisotropy during
shearing. In their paper, the importance of stress-induced anisotropy is introduced.
In liquefaction analysis, a constitutive model that can properly describe stress-strain relations of
sand during liquefaction is most important. Liquefaction analysis is a solution of boundary
value problem (BVP). If the stress and strain path of sand cannot be expressed rightly in ele-
mental level, the solution of a BVP is impossible or has no meaning. However, almost constitu-
tive models can describe the stress-strain relations obtained from different values of material
parameters for sands with variant densities. This is unreasonable in a liquefaction process be-
cause the density of ground is not constant and will increase due to flow out of the pore water
from ground.
Zhang et al. (2007) proposed a new constitutive model for soils that can describe liquefaction
behaviors of sands with different densities. The model provides an approach for describing the
Unique description of liquefaction behavior of Toyoura sands
with different densities


F. Zhang & Y. Jin
Nagoya Institute of Technology, Nagoya, Japan
ABSTRACT: In this paper, based on the model proposed by Zhang et al.(2007), a minor modi-
fication for the evolution equation of overconsolidation is carried out at first and then a unique
description of the overall mechanical behaviors of Toyoura Standard Sand (TSS), a typical
clean sand, is conducted, in which the eight parameters for describing TSS is kept constant no
matter what kind of loadings or drainage conditions may be. In the theoretical simulation, based
on conventional drained triaxial compression tests and undrained triaxial cyclic loading tests,
the material parameters of TSS are determined. The capability of the model to describe
uniquely the overall behaviors of the sand under different drainage conditions and different
loadings with one set of fixed parameters is verified.
Proceedings, 3rd Greece-Japan Workshop: Seismic Design, Observation, and Retrofit of Foundations. Santorini 2009
140
stress-induced anisotropy with a new evolution rule for changes in overconsolidation, by which
the mechanical behavior of soils subjected to cyclic loading under undrained conditions, includ-
ing the cyclic mobility of medium dense sand, can be uniquely described. Moreover, different
soils can be explained efficiently with the concepts of overconsolidation, structure and stress-
induced anisotropy. In his paper, the proposed constitutive model is used to describe the overall
behaviors of Toyoura Standard Sand with different densities subjected to various kinds of load-
ing under different drainage conditions with a unique set of parameters. The material parame-
ters of the sand are determined based on conventional triaxial tests. By comparing the test re-
sults with predicted ones, it is possible to confirm the performance of the constitutive model.
In this study, based on conventional drained triaxial compression tests and undrained triaxial
cyclic loading tests, material parameters of Toyoura Standard sand is determined at first and
then other tests under different loadings and drainage conditions are simulated by the constitu-
tive model. The purpose of the research is to verify if the model can describe uniquely the over-
all behaviors of the sand under different drainage conditions and different loadings with one set
of fixed parameters.
2 MODIFICATION OF ORIGINAL CONSTITUTIVE MODEL
In the original model (Zhang et al. 2007), apart from the concepts of subloading (Hashiguchi
and Ueno, 1977) and superloading (Asaoka et al., 1998), a new evolution rule for the develop-
ment of overconsolidation was proposed. Here we use the word of development instead of
loss just want to emphasize that during plastic loading the degree of overconsolidation some-
time may even increase, not always the case in which overconsolidation only develops in elastic
unloading process. In the original model, the changing rate of overconsolidation is assumed to
be controlled by two factors, namely, the plastic component of stretching that was employed as
the only factor in the work by Asaoka et al. (2002), and the increment in anisotropy, in other
words,

MD M
p
R f
R JU

= +

o
&
D


(1)
in which,
o

is proportional to the norm of the plastic component of stretching


p
s
D
, and U is
given by the following relation as:

'
2
'
0
( ) ln
D
m p
U R
p
=
(
'
0
p =98.0kPa, reference stress) (2)
The problem arisen in Eq.(2), however, is that when a confining stress becomes very high, then
the value of (p/p
0
)
2
will be even much larger, which may result in a very quick development of
overconsolidation in large confining stress. Obviously this is not a true behavior in reality. To
solve this problem, a new function is proposed in the paper as shown in the following relation:

' ' 2
0
' ' 2
0
( / )
( ) ln
D ( / ) 1
p p m
U R
p p
=
+
(
'
0
p
=98.0kPa, reference stress) (3)
in which, the function (y=x
2
/(x
2
+1)) satisfying the requirement that when x is very small, y=x
2

while if x is very large, y will be equal to 1. This modification can then solve the problem per-
fectly without affecting the performance of the model in describing the cyclic mobility. A brief
description of the model can be found in Appendix.
3 SIMULATION OF TOYOURA SAND WITH DIFFERENT CONDITIONS
3.1 Undrained triaxial cyclic loading tests and its simulation
In this section, evolution parameter a which controls the degradation of structure when soil is
subjected to shearing or compression is reconsidered from the results of undrained cyclic triax-
ial test. The material used in experiment is standard Toyoura sand, whose particle size is ex-
tremely uniform and widely used in geotechnical experiments in Japan. Three different ampli-
tudes of shear stress ratio (q/2
0
) of 0.15, 0.20 and 0.25 are tested. The experimental conditions
Proceedings, 3rd Greece-Japan Workshop: Seismic Design, Observation, and Retrofit of Foundations. Santorini 2009
141
are listed as Table 1. Cyclic loading with sine wave is applied with 0.01Hz under confining
stress 98kPa.
Figure 1 shows experiment results of cyclic triaxial test under undrained condition with differ-
ent amplitude of cyclic loading in which p (=
1
+2
3
) is mean effective stress, q is stress dif-
ference (=
1

3
,
1
and
3
are the maximum and minimum principal effective stresses). In
the case of small amplitude of cyclic loading, it is seen that it needs more cyclic loading num-
bers before cyclic mobility take places than those of large amplitude of cyclic loading. To de-
termine the evolution parameter, element simulations are conducted under the same condition
with experiment.
Figure 2 shows theoretical results with different amplitude of cyclic loading. The tendency of
predicted effective stress paths and stress-strain relations are well coincident with test ones,
while the cyclic number necessary for causing cyclic mobility is less than test results.
A unique set of material parameters of Toyoura sand are listed in Table 2. Eight parameters are
involved in the constitutive model, among which five parameters, M, N,
%
, % , and are the
same as in the Cam-clay model obtained from laboratory tests. The values of the parameters ex-
cept a and m are the same as the those in the works by Ye et al. (2007).
From the parametric study shown in Figure 2, the evolution parameter a which controls the deg-
radation of structure is decided to be 0.5. Degradation parameter of overconsolidation state m
has already been determined by the works of Sago et al. (2008). The value of parameter b
r
is
determined by Ye et al. (2007) that is based on the performance of the soil influenced by the
development of the stress-induced anisotropy when the soil is subjected to shearing or com-
pression. On the other hand, it is difficult to determine the initial conditions of the state parame-
ters for soils because the values are not only dependent on present stress state but also on its
history. The initial conditions of the state parameters for the sand are listed in Table 3. Initial
anisotropy
0
is determined to be `zero` , which means the soil is assumed as isotropic at the
beginning if the specimen is not disturbed. Structure R
*
which influenced by the process of the
soils in its deposition, is quickly collapse during shearing and never recover. Therefore initial
degree of structure R
0
*
is assumed to be a relatively large value R
0
*
=0.75 for the medium dense
sand. While the initial degree of overconsolidation 1/R
0
is determined to be 70 after considering
the experiment results.


Table 1. Experiment conditions of sand with different amplitude of cyclic loading
Amplitude of shear stress ratio (q/2
0
) 0.15 0.2 0.25
Initial void ratio e
0
0.748 (Dr=0.62) 0.753 (Dr=0.61) 0.77 (Dr=0.56)
Initial mean effective stress p (kPa) 98 98 98
Cyclic loading frequency (Hz) 0.01 0.01 0.01

Note: e
max
=0.97; e
min
=0.61

-60
-30
0
30
60
-5 -2.5 0 2.5 5
Axial strain a()
D
e
v
i
a
to
r

s
t
r
e
s
s

q

(
k
P
a
)
-60
-30
0
30
60
0 50 100 150
Mean effective stress p`(kPa)
D
e
v
i
a
t
o
r
s
tr
e
s
s


q

(
k
P
a
)

-60
-30
0
30
60
-5 -2.5 0 2.5 5
Axial strain a()
D
e
v
i
a
to
r

s
t
r
e
s
s

q

(
k
P
a
)
-60
-30
0
30
60
0 50 100 150
Mean effective stress p`(kPa)
D
e
v
ia
t
o
r

s
t
r
e
s
s


q

(
k
P
a
)

-60
-30
0
30
60
-5 -2.5 0 2.5 5
Axial strain a()
D
e
v
i
a
t
o
r

s
t
r
e
s
s

q

(
k
P
a
)
-60
-30
0
30
60
0 50 100 150
Mean effective stress p`(kPa)
D
e
v
ia
t
o
r

s
t
r
e
s
s


q

(
k
P
a
)

(a) q/2
0
=0.15 (b) q/2
0
=0.20 (c) q/2
0
=0.25
Figure 1. Experiment results of cyclic triaxial test under undrained condition with different
amplitude of cyclic loading
Proceedings, 3rd Greece-Japan Workshop: Seismic Design, Observation, and Retrofit of Foundations. Santorini 2009
142
Table 2. Material parameters of Toyoura Sand
Compression index 0.05
Swelling index 0.0064
Critical state parameter 1.30
Reference void ratio N (p=98 kPa on N.C.L.) 0.87
Poissons ratio 0.30
Degradation parameter of overconsolidation state m 0.01
Degradation parameter of structure a 0.5
Evolution parameter of anisotropy b
r
1.5


-60
-30
0
30
60
0 50 100 150
Mean effective stress p`(kPa)
D
e
v
ia
to
r
s
tr
e
s
s
q
(
k
P
a
)
-60
-30
0
30
60
-5 -2.5 0 2.5 5
Axial strain a()
D
e
v
ia
to
r
s
tr
e
s
s
q
(
k
P
a
)

-60
-30
0
30
60
0 50 100 150
Mean effective stress p`(kPa)
D
e
v
ia
to
r
s
tr
e
s
s
q
(
k
P
a
)
-60
-30
0
30
60
-5 -2.5 0 2.5 5
Axial strain a()
D
e
v
ia
to
r
s
tr
e
s
s
q
(
k
P
a
)

-60
-30
0
30
60
0 50 100 150
Mean effective stress p`(kPa)
D
e
v
ia
to
r
s
tr
e
s
s
q
(
k
P
a
)
-60
-30
0
30
60
-5 -2.5 0 2.5 5
Axial strain a()
D
e
v
ia
to
r
s
tr
e
s
s
q
(
k
P
a
)

(a) q/2
0
=0.15 (b) q/2
0
=0.20 (c) q/2
0
=0.25
Figure 2. Analysis results with different amplitude of cyclic loading

Table 3. Initial conditions of sand with different amplitude of cyclic loading
Amplitude of shear stress ratio(q/2
0
) 0.15 0.2 0.25
Initial void ratio e
0
0.81 0.81 0.81
Initial mean effective stress p (kPa) 98 98 98
Initial degree of structure R
0
*
0.75 0.75 0.75
Initial degree of overconsolidation 1/R
0
70 70 70
Initial anisotropy
0
0.0 0.0 0.0


3.2 Drained triaxial compression test and its simulation
Triaxial compression test and element simulation under constant mean principal stress are con-
ducted to confirm the performance of the constitutive model. The test results on Toyoura sand
are reported from the works by Nakai et al. (2004). Loose specimen was prepared by depositing
the saturated sand slowly in de-aired water using a funnel with an opening of 3mm. Dense
specimen was prepared by pouring the saturated sand into the mold in several layers and com-
pacting each layer with a rod whose diameter was 6mm. The initial void ratio of the loose sand
is e
0
=0.851, and the dense sand is e
0
=0.666.
It is, however, very different to identify the reference void ratio N in a small confining stress
condition. Therefore, by extension of e-ln p relation to the small stress range, the reference void
ratio N of Toyoura sand is determined to be 0.87. Material parameters used in the analysis are
the same as the Table 2, and the initial values of the state parameters determined from the ele-
ment simulation are listed in Table 4. Initial degree of structure is determined from the fact that
well remolded sand has extremely low structure. Figure 3 shows comparison between experi-
ment and analysis results obtained from triaxial compression test sands with different densities.
The dots and the lines in the figures represent the relations between principal stress ratio q/p,
deviator strain
d
and volumetric strain
v
. In the Figure 3(a), theoretical result of loose sand
represents well the test result. The theoretical result for dense sand as shown in Figure 3(b) is
reproduced relatively well before peak strength while the residual stress and strain relations are
Proceedings, 3rd Greece-Japan Workshop: Seismic Design, Observation, and Retrofit of Foundations. Santorini 2009
143
discrepancy slight from test results. On the whole, however, the constitutive model can describe
the test results qualitatively and quantitatively.


Table 4. Initial conditions of sand with different densities
Loose sand Dense sand
Initial void ratio e
0
0.78 0.69
Initial mean effective stress p (kPa) 196 196
Initial degree of structure R
0
*
0.99 0.99
Initial degree of overconsolidation 1/R
0
4.0 30.0
Initial anisotropy
0
0.0 0.0


-1
-0.5
0
0.5
1
1.5
2
0 5 10 15
Axial strain
a
(%)
P
r
i
n
c
i
p
a
l

s
t
r
e
s
s

r
a
t
i
o

q
/
p
0
-10
-5
0
5
V
o
l
u
m
e
t
r
i
c

s
t
r
a
i
n

v


(
%
)

0
Experimental result
Analysis result

-1
-0.5
0
0.5
1
1.5
2
0 5 10 15
Axial strain a (%)
P
r
i
n
c
i
p
a
l

s
t
r
e
s
s

r
a
t
i
o

q
/
p
0
-10
-5
0
5
V
o
l
u
m
e
t
r
i
c

s
t
r
a
i
n

v


(
%
)

0
Experimental result
Analysis result

(a) Loose sand (b) Dense sand
Figure 3. Experiment and analysis results obtained from triaxial compression test

3.3 Numerical prediction of sands with different densities
The behavior of sand is known as being dependent on its density. In order to verify the influ-
ence of the initial density on the behavior of sand, a series of calculations with different initial
densities are conducted at the same confining pressure.
It is known that loose sand will undergo large volume change and get denser under repeated
perturbation. Firstly, loose sand subjected to repeated triaxial compaction under constant lateral
pressure is simulated under drained condition to explain the phenomenon of densification of
loose sand. Similar to the work by Nakai K. (2005), in the simulation, the density of specimen
is adjusted with a small vibrating compact with amplitude of 2.3kPa on the sand under a small
confining pressure 10kPa. After the compaction, these sands with different densities are isot-
ropically consolidated to the prescribed confining pressure of 294kPa. The set of sands with
eight different densities are prepared by different numbers of vibration compaction, as shown in
Figure 4. All these sands have the same five parameters which are listed in Tables 2 and 5. It
means that these eight sands are made from the same sand material. The initial sand is supposed
to be extremely loose condition with a very large void ratio which is normally consolidated and
highly structured without stress-induced anisotropy. Table 6 presents initial conditions of sands
obtained from compaction procedure. By using these material parameters, the sands with dif-
ferent densities in the laboratory tests under both drained and undrained conditions subjected to
monotones and cyclic loading, are calculated systematically.


Table 5. Reference conditions of sand before vibrating compaction
Initial void ratio e
0
1.19
Initial mean effective stress p (kPa) 10.0
Initial degree of structure R
0
*
0.1
Initial degree of overconsolidation 1/R
0
1.0
Initial anisotropy
0
0.0



Proceedings, 3rd Greece-Japan Workshop: Seismic Design, Observation, and Retrofit of Foundations. Santorini 2009
144
0.5
0.6
0.7
0.8
0.9
1
1.1
1 10 100 1000
Mean effective stress (kPa)
V
o
i
d

r
a
t
i
o

e
294
[1]
[2]
[3]
[4]
[5]
[6]
[7]
[8]

Figure 4. Set of sands with different densities prepared from loose sand by vibration compaction and iso-
tropic compression

Table 6. Initial conditions of sands obtained from compression procedure
No.
Vibration
number
n
Initial
void ratio
e
0
Initial degree of
overconsolidation
OCR
Initial degree of
structure
R
0
*
Initial
anisotropy

0
[1] 2 0.903 1.30 0.103 6.44E-06
[2] 15 0.842 4.77 0.113 5.28E-06
[3] 30 0.785 15.99 0.124 7.30E-06
[4] 35 0.771 21.70 0.128 1.01E-05
[5] 40 0.758 28.14 0.132 1.70E-05
[6] 50 0.737 42.96 0.139 8.13E-05
[7] 70 0.707 78.88 0.152 1.75E-03
[8] 120 0.660 208.47 0.168 2.64E-02


3.3.1 Mechanical behaviors of sand subjected to undrained/drained cyclic loading
In the simulation, confining stress of the specimen is 294kPa and amplitude of the cyclic load-
ing in shear stress ratio (q/
m
) is 0.12.
Figure 5 shows the stress paths, stress-strain relations with different densities subjected to cy-
clic triaxial test under undrained condition. It is clear from the figures that very loose sands pro-
ducing a large failure strain along the way towards the zero effective stress state before cyclic
mobility has a chance to occur, as shown in Figures 5 (a) to (d). For medium dense sand, how-
ever, cyclic mobility occurs and the strain which results in limited deformation gradually gets
larger, as shown in Figures 5 (e) to (g). On the other hand, dense sand having a small strain
never shows cyclic mobility, as depicted in Figure 5 (h). The above results mean that the me-
chanical behavior of sand subjected to cyclic loading without drainage, can be uniquely and
properly described by the constitutive model no matter what density it may have.
Figure 6 displays the result of representative loose sand (No.2) subjected to cyclic loading un-
der drained condition. Other simulate conditions are the same as aforementioned undrained test.
As the cyclic loading goes on, the loose sand is compacted and undergoes a large volumetric
stain, which is the same as the results reported by Nakai K.et al. (2004), in which the phenom-
ena of consolidation and liquefaction of sand were just dependent on drainage condition. That
is, if the compaction conducted under drained condition, then the consolidation of sand will oc-
cur; while under undrained condition, the liquefaction will occur.


Proceedings, 3rd Greece-Japan Workshop: Seismic Design, Observation, and Retrofit of Foundations. Santorini 2009
145
-100
-50
0
50
100
0 50 100 150 200 250 300
Mean effective stress p`(kPa)
D
e
v
ia
to
r
s
tr
e
s
s
q
(
k
P
a
)
[1]
-100
-50
0
50
100
-8 -4 0 4 8
Shear strain a()
D
e
v
ia
to
r s
tre
s
s
q
(
k
P
a
)
[1]
-100
-50
0
50
100
0 50 100 150 200 250 300
Mean effective stress p`(kPa)
D
e
v
ia
to
r
s
tr
e
s
s
q
(
k
P
a
)
[2]
-100
-50
0
50
100
-8 -4 0 4 8
Shear strain a()
D
e
v
ia
to
r s
tre
s
s
q
(
k
P
a
)
[2]
-100
-50
0
50
100
0 50 100 150 200 250 300
Mean effective stress p`(kPa)
D
e
v
ia
to
r
s
tr
e
s
s
q
(
k
P
a
)
[3]
-100
-50
0
50
100
-8 -4 0 4 8
Shear strain a()
D
e
v
ia
to
r s
tre
s
s
q
(
k
P
a
)
[3]
-100
-50
0
50
100
0 50 100 150 200 250 300
Mean effective stress p`(kPa)
D
e
v
ia
to
r
s
tre
s
s
q
(
k
P
a
)
[4]
-100
-50
0
50
100
-8 -4 0 4 8
Shear strain a()
D
e
v
ia
to
r s
tre
s
s
q
(
k
P
a
)
[4]

(a) No.1 (b)No.2 (c)No.3 (d) No.4

-100
-50
0
50
100
0 50 100 150 200 250 300
Mean effective stress p`(kPa)
D
e
v
ia
to
r
s
tr
e
s
s
q
(
k
P
a
)
[5]
-100
-50
0
50
100
-8 -4 0 4 8
Shear strain a()
D
e
v
ia
to
r s
tre
s
s
q
(
k
P
a
)
[5]
-100
-50
0
50
100
0 50 100 150 200 250 300
Mean effective stress p`(kPa)
D
e
v
ia
to
r
s
tr
e
s
s
q
(
k
P
a
)
[6]
-100
-50
0
50
100
-8 -4 0 4 8
Shear strain a()
D
e
v
ia
to
r s
tre
s
s
q
(
k
P
a
)
[6]
-100
-50
0
50
100
0 50 100 150 200 250 300
Mean effective stress p`(kPa)
D
e
v
ia
to
r
s
tr
e
s
s
q
(
k
P
a
)
[7]
-100
-50
0
50
100
-8 -4 0 4 8
Shear strain a()
D
e
v
ia
to
r s
tre
s
s
q
(
k
P
a
)
[7]
-100
-50
0
50
100
0 50 100 150 200 250 300
Mean effective stress p`(kPa)
D
e
v
ia
to
r
s
tr
e
s
s
q
(
k
P
a
)
[8]
-100
-50
0
50
100
-8 -4 0 4 8
Shear strain a()
D
e
v
ia
to
r
s
tr
e
s
s
q
(
k
P
a
)
[8]

(e) No.5 (f) No.6 (g) No.7 (h) No.8
Figure 5. Stress paths, stress-strain relations of the sand specimens with different densities subjected to
cyclic triaxial test under undrained condition

-100
-50
0
50
100
0 100 200 300 400
Mean effective stress p`(kPa)
D
e
v
i
a
t
o
r

s
t
r
e
s
s

q

(
k
P
a
)

0.6
0.7
0.8
0.9
0 100 200 300 400
Mean effective stress p`(kPa)
V
o
i
d

r
a
t
i
o

e
e=0.189

(a) (b)
Figure 6. Stress paths, stress-strain relations of the loose sand specimen
(No.2) subjected to cyclic triaxial test under drained condition

3.3.2 Mechanical behaviors of sand under undrained/drained compression
The relationships between stress, strain and void ratio under undrained/drained triaxial com-
pression tests on different densities of sand are discussed in this section. The parameters of the
sand used in the calculation are the same as in Table 2 and Table 6.
Under undrained conditions, three different types of typical stress-strain relations can be ob-
served in the simulation, as shown in Figure 7. For loose sands marked with [1] to [2], the sands
exhibit peak strength at first in small strain level, then collapse and flow rapidly to the original,
showing a typical strain hardening and strain softening behavior. For medium dense sands
marked with [3] to [7], stiffness of the sands decrease abruptly in small strain but strain harden-
ing continues within an intermediate range of shear strains and finally followed by a limited
strain softening, in which a relative higher strength can be approached in spite of a limited
strain softening. Dense sand marked with [8], however, only shows strain hardening and large
shear strength can be reached. Figure 7(c) depicts the traces of the states of all sands during
Proceedings, 3rd Greece-Japan Workshop: Seismic Design, Observation, and Retrofit of Foundations. Santorini 2009
146
shearing in e-ln p curves, showing that all sands change towards the C.S.L. horizontally at criti-
cal states.
Figure 8 displays the simulated results of stress, strain and dilation of the sands under drained
condition. It is observed that all sands approached to the same values of ultimate shear stress
and the same void ratio, irrespective of different initial densities at the beginning of shearing. It
is also known that initial dense sands show typical strain hardening - strain softening and dila-
tion while initial loose soils only show strain hardening along with monotonic compression.
The simulated facts that the behaviors of sands subjected to shearing under drained/undrained
condition are largely dependent on their initial densities, are already well-known in laboratory
tests of sands and it is not necessary to give any comparison between test and simulation.


0
150
300
450
600
0 150 300 450 600
Mean effective stress p`(kPa)
D
e
v
i
a
to
r
s
t
r
e
s
s

q

(
k
P
a
)
[1]
[2]
[3]
[4]
[5]
[6]
[7]
[8]

0
150
300
450
600
0 2 4 6 8 10
Shear strain a()
D
e
v
i
a
to
r
s
t
r
e
s
s

q
(
k
P
a
)
[1]
[2]
[3]
[4]
[5]
[6]
[7]
[8]

0.6
0.7
0.8
0.9
1
1 10 100 1000 10000
Mean effective stress p`(kPa)
V
o
id

r
a
ti
o
e
[1]
[2]
[3]
[4]
[5]
[6]
[7]
[8]
294

start point
end point

(a) (b) (c)
Figure 7. Stress paths, stress-strain relations of the sand specimens with different densities subjected to
triaxial compression test under undrained condition

0
300
600
900
1200
1500
0 2 4 6 8 10
Shear strain a()
D
e
v
i
a
to
r

s
t
r
e
s
s

q
(
k
P
a
)
[1]
[2]
[3]
[4]
[5]
[6]
[7]
[8]

-6
-4
-2
0
2
4
6
8
10
0 2 4 6 8 10
Shear strain a()
V
o
lu
m
e
tr
i
c
s
t
r
a
i
n
v
(

)
[1]
[2]
[3]
[4]
[5]
[6]
[7]
[8]

0.5
0.6
0.7
0.8
0.9
1
1.1
0 300 600 900 1200 1500
Mean effective stress p`(kPa)
V
o
i
d
r
a
t
io

e
[1]
[2]
[3]
[4]
[5]
[6]
[7]
[8]
start point
end point

(a) (b) (c)
Figure 8. Stress-strain-dilatancy relations of the sand specimens with different densities subjected to triax-
ial compression test under drained condition

3.4 Confining-stress dependency of sand in undrained monotonic loading tests
Verdugo and Ishihara (1996) reported their experimental results of TSS, in which undrained
triaxial compression tests on sands with the same void ratio but different confining pressures
were conducted under very high confining pressures (up to 3MPa). The test results given in
Figure 9 show that under the same void ratio, if a confining stress is large, the sand behaves like
a loose sand, while if the confining stress is small, the sand behaves like a dense sand. Such a
phenomenon is called as confining-stress dependency of sand, originally defined in the re-
search by Ishihara (1993). Nakai (2005) also reported the same phenomenon in his tests on sil-
ica sands.
The parameters of the sand used in the simulation are the same as Table 2. The initial values of
the void ratios are set to be equal to 0.78, 0.70 and 0.65 respectively and are listed in Table 7
with other initial conditions of the sands. Figure 10 shows that the simulated results on the
whole, coincide well with the test results quantitatively and qualitatively. It is also known that
the mechanical behavior of sands with the same density but different confining stresses can also
be reproduced uniquely with one set of the same material parameters in all different conditions.
Proceedings, 3rd Greece-Japan Workshop: Seismic Design, Observation, and Retrofit of Foundations. Santorini 2009
147
0
1
2
3
4
0 5 10 15 20 25
Axial strain a (%)
D
e
v
i
a
t
o
r

s
t
r
e
s
s

q

(
M
P
a
)
'0=2.0 MPa, e=0.908
'0=1.0 MPa, e=0.906
'0=0.1 MPa, e=0.908
Toyoura sand
( e=0.907, Dr=18.5% )
0
1
2
3
4
0 1 2 3 4
Effective mean stress p' (MPa)
D
e
v
i
a
t
o
r

s
t
r
e
s
s

q

(
M
P
a
)
Toyoura sand
( e=0.907, Dr=18.5% )

0
1
2
3
4
0 5 10 15 20 25
Axial strain
a
()
D
e
v
i
a
t
o
r

s
t
r
e
s
s

q

(
M
P
a
)

0
1
2
3
4
0 1 2 3 4
Mean effective stress p'(MPa)
D
e
v
i
a
t
o
r

s
t
r
e
s
s

q

(
M
P
a
)

[3]

(a) Loose sand (e=0.907, Dr=18.5%) (a) Loose sand (e=0.78)
0
1
2
3
4
0 1 2 3 4
Effective mean stress p' (MPa)
D
e
v
i
a
t
o
r

s
t
r
e
s
s

q

(
M
P
a
)
Toyoura sand
( e=0.833, Dr=37.9%)
0
1
2
3
4
0 5 10 15 20 25
Axial strain a (%)
D
e
v
i
a
t
o
r

s
t
r
e
s
s

q

(
M
P
a
)
Toyoura sand
( e=0.833, Dr=37.9% )
'0=3.0 MPa
'0=2.0 MPa
'0=1.0 MPa
'0=0.1 MPa

0
1
2
3
4
0 5 10 15 20 25
Axial strain a (%)
D
e
v
i
a
t
o
r

s
t
r
e
s
s

q

(
M
P
a
)

0
1
2
3
4
0 1 2 3 4
Effective mean stress p' (MPa)
D
e
v
i
a
t
o
r

s
t
r
e
s
s

q

(
M
P
a
)


(b) Medium dense sand (e=0.833, Dr=37.9%) (b) Medium dense sand (e=0.70)
0
1
2
3
4
0 1 2 3 4
Effective mean stress p' (MPa)
D
e
v
i
a
t
o
r

s
t
r
e
s
s

q

(
M
P
a
)
Toyoura sand
( e=0.735, Dr=63.7%)
0
1
2
3
4
0 5 10 15 20 25
Axial strain a (%)
D
e
v
i
a
t
o
r

s
t
r
e
s
s

q

(
M
P
a
)
Toyoura sand
( e=0.735, Dr=63.7% )
'0=3.0 MPa
'0=2.0 MPa
'0=1.0 MPa
'0=0.1 MPa

0
1
2
3
4
0 5 10 15 20 25
Axial strain a (%)
D
e
v
i
a
t
o
r

s
t
r
e
s
s

q

(
M
P
a
)

0
1
2
3
4
0 1 2 3 4
Effective mean stress p' (MPa)
D
e
v
i
a
t
o
r

s
t
r
e
s
s

q

(
M
P
a
)


(c) Dense sand (e=0.735, Dr=63.7%) (c) Dense sand (e=0.65)
Figure 9. Test results of TSS Figure 10. Simulation of the test results in Fig.9
(Verdugo and Ishihara, 1996)

Table 7 Initial conditions of TSS samples before undrained triaxial compression
No.
Confining
stress
p' (MPa)
Initial
void ratio
e
0
Initial degree of
overconsolidation
OCR
Initial degree of
structure
R
0
*
Initial
anisotropy

0
0.1 0.776 40.0 0.21 0.0
1.0 0.781 3.0 0.20 0.0
2.0 0.781 1.6 0.15 0.0
0.1 0.698 111.0 0.45 0.0
1.0 0.698 12.0 0.30 0.0
2.0 0.703 9.0 0.16 0.0
3.0 0.709 5.3 0.15 0.0
0.1 0.651 270.0 0.55 0.0
1.0 0.651 35.0 0.30 0.0
2.0 0.651 16.0 0.30 0.0
3.0 0.651 12.0 0.25 0.0


3.5 Dense sand subjected to drained cyclic loading
Finally, behaviors of dense sand subjected to drained cyclic loading under constant-mean-
effective-stress constant mean effective stress are simulated. The confining pressure of the sand
is 196 kPa and cyclic loading condition is that the mean effective stress is kept constant and a
maximum principal stress ratio (
1
/
3
) is loaded to 4. Figure 11 shows the test results by Hi-
nokio (2000), in which the stress-strain curves are plotted in terms of effective stress ratio

1
/
3
, a dimensionless normalized stress. The volumetric strain shows dilatancy at the very be-
Proceedings, 3rd Greece-Japan Workshop: Seismic Design, Observation, and Retrofit of Foundations. Santorini 2009
148
ginning under cyclic loading and then turns to compression until it reaches a steady state at
which the compression almost stops, as shown in Figure 11 (b). For deviatory stress-strain rela-
tion, at the beginning, it shows a relatively large loop, as the cyclic loading number increases,
however, the stiffness of the sand grows up and the stress-strain relation comes into an almost
fixed loop as shown Figure 11(c). In the simulation, the parameters of the sand are the same as
those listed in Table 2 and initial conditions of dense sand are shown in Table 8. In determining
the initial conditions of the sand, it is assumed that the sand is well-remolded one with ex-
tremely low structure and relatively high OCR. As can be seen in Figure 12, the overall charac-
teristics of the sand predicted by the theory, for instance, the changes in dilatancy and stress-
strain relations, agree qualitatively well with the test results, but showing a slight over-
estimation of volume strain. It should be emphasized here that in the simulation, volumetric
compression also stopped automatically after certain cycles of loadings, which is completely
coincides with the reality. The reason why the model can describe this behavior is quite simple.
Taking a look at Figures 12(d) and (e), in which the changes of overconsolidation and stress-
induced anisotropy are plotted, it is easy to find out that during plastic loading the degree of
overconsolidation sometime may even increase, not always the case in which overconsolidation
only develops in elastic unloading process. One of the most important features of the model is
that the changing rate of overconsolidation is assumed to be controlled by two factors, namely,
the plastic component of stretching and the increment in anisotropy. The physical meaning of
the assumption is clear because stress-induced anisotropy is usually dependent on the roundness
of soil particles and their orientation of deposition. Therefore a sand with strong anisotropy will
have a stronger resistance against volumetric change than those of weak one in which soil parti-
ciples deposit rather randomly. It is clear from the figures that during cyclic shearing, overcon-
solidation gets higher and higher, in other words, the density is getting higher, resulting in the
difficulty to further compression.



(a) (b) (c)
Figure 11. Test results of dense sand in drained cyclic loading (after Hinokio, 2000)

Table 8. Initial conditions of sand before drained cyclic loading
Initial void ratio e
0
0.661
Confining stress p (kPa) 196.0
Initial degree of structure R
0
*
0.99
Initial degree of overconsolidation 1/R
0
55.0
Initial anisotropy
0
0.0


Proceedings, 3rd Greece-Japan Workshop: Seismic Design, Observation, and Retrofit of Foundations. Santorini 2009
149
-4
-1.5
1
3.5
6
0 150 300
Mean effective stress p`(kPa)
S
t
r
e
s
s

r
a
t
i
o

1
/

3
comp.
ext.
196
a/r=5.4
r/a=5.4
3.5
6

-2
0
2
4
6
8
-4 -1.5 1 3.5 6
Stress ratio
1
/
3
V
o
l
u
m
e
t
r
i
c

s
t
r
a
i
n

v

(
%
)

0
comp. ext.
6 3.5

-4
-1.5
1
3.5
6
-0.5 0 0.5 1 1.5 2
Deviator strain
d
(%)
S
t
r
e
s
s

r
a
t
i
o

1
/

3
comp.
ext.
3.5
6

(a) (b) (c)
0
300
600
900
1200
-4 -1.5 1 3.5 6
Stress ratio
1
/
3
O
C
R
comp. ext.
6 3.5

0
0.25
0.5
0.75
1
-4 -1.5 1 3.5 6
Stress ratio
1
/
3
D
e
g
r
e
e

o
f

a
n
i
s
o
t
r
o
p
y

comp. ext.
6 3.5

(d) (e)
Figure 12. Simulated stress paths, stress ratio-strain relations of dense sand in drained cyclic loading under
constant mean effective stress
4 SUMMARY
In this study, based on conventional drained triaxial compression tests and undrained triaxial
cyclic loading tests, material parameters of Toyoura Standard sand is determined and other tests
under different loadings and drainage conditions are simulated by the constitutive model. The
capability of the model to describe uniquely the overall behaviors of the sand under different
drainage conditions and different loadings with one set of fixed parameters, is verified and the
following conclusions can be given.
1) The evolution parameter a, the parameter controlled the degradation of structure, is deter-
mined to be 0.5 from the parametric study based on the undrained cyclic triaxial test. Mean-
while, from the parametric study based on the drained triaxial compression test, reference
void ratio N is determined to be 0.87.
From the comparison between experiment and theoretical results obtained from undrained
triaxial cyclic loading tests and drained triaxial compression tests, it is known that the con-
stitutive model can describe the test results relatively well.
2) The behavior of sand is known to be largely dependent on its density. For this reason, a se-
ries of simulations on sands with different densities originally compacted from the same
sand are conducted with one set of material parameters. The results reveal the fact that the
mechanical behaviors of sand subjected to cyclic loading under drained/undrained condition
can be uniquely and properly described by the constitutive model no matter what density it
may have. Furthermore, it is concluded theoretically that if the compaction conducted under
drained condition, then the consolidation of sand will occur; while under undrained condi-
tion, the liquefaction will occur.
3) Under undrained triaxial compression test, loose sands exhibit peak strength at first in
small strain level, then collapse and flow rapidly to the original, showing a typical strain
hardening and strain softening behavior. For medium dense sands, stiffness of the sands de-
crease abruptly in small strain but strain hardening continues within an intermediate range of
shear strains and finally followed by a limited strain softening, in which a relative higher
strength can be approached in spite of a limited strain softening. Dense sand, however, only
Proceedings, 3rd Greece-Japan Workshop: Seismic Design, Observation, and Retrofit of Foundations. Santorini 2009
150
shows strain hardening and large shear strength can be reached. In the drained condition, it is
observed that all sands approached to the same values of ultimate shear stress and the same
void ratio, irrespective of different initial densities at the beginning of shearing.
4) Confining-stress dependency of sand, a typical behavior of sands with the same density but
different confining stresses, can also be reproduced with the set of fixed material parameters.
5) Dense sand subjected to drained cyclic loading under constant mean effective stress is also
simulated. The overall characteristics of the sand is predicted well by the theory, for in-
stance, the changes in dilatancy and stress-strain relations are qualitatively the same as the
test results with a slight over-estimation of volume strain.
It cannot say that the model can perfectly describe the colorful behaviors of TSS, but that the
model can give a unified description of TSS to a rather satisfactory level if considering the fact
that only eight material parameters are employed in the model. Meanwhile, if the influence of
intermediate principal stress can be properly taken into consideration like the t
ij
concept (Nakai
and Mihara, 1984), the model would be much better.
REFERENCES
Asaoka, A., Nakano, M. and Noda. T. (1998): Super loading yield surface concept for the saturated struc-
tured soils, Proc. of the Fourth European Conference on Numerical Methods in Geotechnical Engi-
neering-NUMGE98, 232-242.
Asaoka, A., Noda, T., Yamada, E., Kaneda, K. and Nakano, M. (2002): An elasto-plastic description of
two distinct volume change mechanisms of soils, Soils and Foundations, Vol.42, No.5, 47-57.
Hashiguchi, K. and Ueno, M. (1977): Elastoplastic constitutive laws of granular material, Constitutive
Equations of Soils, Pro. 9th Int. Conf. Soil Mech. Found. Engrg., Spec. Ses. 9, Murayama, S. and
Schofield, A. N. (eds.), Tokyo, JSSMFE, 73-82.
Hinokio, M. (2000): Deformation characteristic of sand subjected to monotonic and cyclic loadings and
its application to bearing capacity problem, Doctoral Dissertation, Nagoya Institute of Technology,
33-38 (in Japanese).
Ishihara, K. (1993): Liquefaction and flow failure during earthquake, The 33
rd
Rankine Lecture, Geotech-
nique.
Nakai, K. (2005): An elasto-plastic constitutive modeling of soils based on the evolution laws describing
decay of soil skeleton structure, loss of overconsolidation and development of anisotropy , Doctoral
Dissertation, Nagoya University, 115-118 (in Japanese).
Nakai, K., Nakano, M., Noda, T. and Asaoka, A. (2004): Description of Compaction and Liquefac-
tion behavior of sand based on evolution of soil skeleton structure, Proc. 2
nd
International Workshop
on New Frontiers in Computational Geotechnics, Fortaleza, Brazil, Zhang et al. (eds), 135-144.
Nakai, T. and Mihara, Y. (1984): A new mechanical quantity for soils and its application to elastoplastic
constitutive models, Soils and Foundations, Vol.24, No.2, 82-94.
Nakai T. and Hinokio M. (2004): A simple elastoplastic model for normally and over consolidated soils
with unified material parameters, Soils and Foundations, Vol.44, No.2, 53-70.
Oka, F., Yashima, A., Kato, M. and Sekiguchi, K. (1992): A constitutive model for sand based on the non-
linear kinematic hardening rule and its application, Proc. 10th World Conf. Earthquake Engineering,
Madrid, Vol.5, Balkema, 2529-2534.
Roscoe, K. H., Schofield, A. N. and Thurairajah, A. (1963): Yielding of clays in states wetter than critical,
Geotechnique, Vol.13, No.3, 250-255.
Sago, H. (2008). The evaluation of earthquake resistant capability on self-standing steel sheet pile, Master
Dissertation, Nagoya Institute University (in Japanese)
Schofield, A. N. and Wroth, C. P. (1968): Critical State Soil Mechanics, McGraw-Hill.
Verdugo, R. and Ishihara, K. (1996): The steady state of sandy soils, Soils and Foundations, Vol.36, No.2,
81-91.
Yashima, A., Oka, F., Shibata, T., and Uzuoka, R. (1991): Liquefaction analysis by LIQCA, Proceedings
of JGS Conference on Liquefaction of Ground and its Counter measure, 165-174 (in Japanese).
Ye, B., Ye, G., Zhang, F. and Yashima, A. (2007): Experiment and numerical simulation of repeated liq-
uefaction-consolidation of sand, Soils and Foundations, Vol.47, No.3, 547-558.
Zhang, F., Ye, B., Noda, T., Nakano, M. and Nakai, K. (2007): Explanation of Cyclic Mobility of Soils:
Approach by Stress-Induced Anisotropy, Soils and Foundations, Vol.47, No.4, 635-648.


Proceedings, 3rd Greece-Japan Workshop: Seismic Design, Observation, and Retrofit of Foundations. Santorini 2009
151
APPENDIX: BRIEF DESCRIPTION OF CONSTITUTIVE MODEL
The model (Zhang et al., 2007) is proposed based on the concepts of subloading (Hashiguchi and
Ueno, 1977) and superloading (Asaoka et al., 1998). Here a brief description of the model is given.
The similarity ratio of the superloading surface to normal yield surface R
*
and the similarity ratio of the
superloading surface to subloading surface R are given as,
'
* *
' ' '
, 0 1
p q q q
R R and
q p p p
= = < =
% % %
%
A-(1)
'
' ' ' '
, 0 1,
p q q q q
R R and
q p p p p
= = < = =
%
%
A-(2)
where,
' ' '
( , ), ( , ) and ( , ) p q p q p q % % represent the present stress state, the corresponding normally con-
solidated stress state and the structured stress state at p-q plane, respectively. The normally yield surface is
given in the following form as:
' 2 2 2
'
' 2 2
0 0
0
M
( , , ) tr MDln MDln tr 0
M
t t
p p
p
f p J d J d
p

+
+ = + + =


% %
% %
%
D D A-(3)
where,
* *
= % , and the other variables involved in Equations, (1), (2) and (3) are defined as:
' ' '

3 / 2, , tr / 3
' '
p p , p

= = + = S/ S T I T = , = = , = = , = = , = A-(4)
2/ 3 = , 2/ 3 = A-(5)
where, S SS S is the deviatory stress tensor; is the anisotropic stress tensor, and
'
T is the Cauchy effec-
tive stress tensor and is assumed to be positive in tension. In Equation A-(3), J is the Jacobean determina-
tion of deformation gradient tensor F and can be expressed as:
0 0
1
det
1
v e
J
v e
+
= = =
+
F A-(6)
where v and v
0
are the specific volume at the current time (t) and the specific value at the reference
time (t=0). D is the dilatancy parameter which can be expressed by ,
%
% the compression and the swell-
ing index, respectively, as follows:
0 0
D
M(1 ) Mv e

= =
+
% %
% %
A-(7)
D
p
denotes the plastic component of stretching D which is assumed to be positive in tension, and is re-
lated to the plastic volumetric strain rate in the following form under the condition that the compressive of
the volumetric strain is supposed to be positive:
0
tr
t
p p
v
J d =

D
A-(8)
By substituting Equations A-(1) and A-(2) into Equations A-(3), subloading yield surface can also be
written as:
' *
0
' 2 2 2
' 2 2
0
0
( , , ) MDln MDln tr
M
MDln MDln MDln MDln tr 0
M
t
p
t
p
f p R R J d
p
R R J d
p


+ +
+
= + + + =

D
D
A-(9)
An associated flow rule is employed in the present model, namely,
'
/
p
f = D T A-(10)
The consistency equation for the subloading yield surface can then be given as:
'
MD MD tr 0
p
f f R R
J
R R


+ + + =

o
o & &
T D
T
'
A-(11)
where,
o
T
'
and
o
are the Green-Naghdi rates of stress tensor T
'
and anisotropic stress tensor , re-
spectively. is material spin tensor. It is easy to obtain the following relation:
Proceedings, 3rd Greece-Japan Workshop: Seismic Design, Observation, and Retrofit of Foundations. Santorini 2009
152
2 2 2
2 2 2
' ' ' 2 2 2 '
1 ( ) M
MD( /(M )) MD
(M )
f
p p p p



= + + =
+
A-(12)
From Equation A-(12), it is clear that the C.S.L., defined by the condition in which
'
/ 0 f p = , always
satisfies the relation =M, implying that the C.S.L., as the threshold between plastic compression and
plastic expansion, does not move with the changes in the anisotropy.
Evolution rule for the anisotropic stress tensor is defined as:

(M ) 2 / 3

D
p
r s
J
b =
o

D

A-(13)
where, <M provides a natural physical limitation on the development of anisotropy automatically., it is
known from the evolution Equation A-(13) that development of anisotropy will stop at the state
when = .
Evolution rule for degree of structure R*, which is the same as in the work by Asaoka et al. (2002), is
adopted:
2 / 3
p
s
R JU

=
&
D , (1 ) / D U aR R

= , ( 0 1 R

< ) A-(14)
The changing rate of overconsolidation is assumed to be controlled by two factors, namely, the plastic
component of stretching and the incremental anisotropy as,
MD M
p
R f
R JU

= +

o
&
D

A-(15)
In which,
o
is proportional to the norm of the plastic component of stretching
p
s
D and U is given
by the following relation as:
' ' 2
0
' ' 2
0
( / )
( ) ln
D ( / ) 1
p p m
U R
p p
=
+
A-(16)
where
'
0
p =98.0 kPa is reference stress.
If the stretching is divided into elastic and plastic components, and the elastic components follow
' '
'
, ,
e e p
f
= = + =

o o
T ED D D D T ED E
T
A-(17)
The positive valuable ( =) can be rewritten as :
'
2 2
s ' ' 2 2 *2 '
MD
(M )
(M )
f
f f
J
p

=

+
+
ED
E
T T
T A-(18)
where

' ' 2
2 2 *2 2 2 2 0
s ' ' 2
0
*2 2
* *
2 2 *2 2 2
( / ) Mln 1
M M { } 6 (M )
( / ) 1 3
6M (M ) (2M 3 )
2 M(1 ) (1 )
M (M )(M )
r
p p m R
R p p
b
a R


= +
+

+
+

A-(19)
The loading criteria are given below:

0
0
0
loading
neutral
unloading
>

<

A-(20)
In most cases, the denominator is positive, therefore, 0 > is equivalent to the following relation:

'
0
f
>

ED
T
A-(21)
Proceedings, 3rd Greece-Japan Workshop: Seismic Design, Observation, and Retrofit of Foundations. Santorini 2009
153

2.
EarthquakeObservations,GroundMotions

Impact of Moderate Earthquakes in Post-Bhuj Era: Case Study of


Sikkim 2006 and Durgapur 2008 Earthquakes, India


S. C. Dutta
Professor of Civil Engineering, School of Infrastructure, Indian Institute of Technology, Bhubaneswar,
Orissa, India (formerly Professor, Department of Civil Engineering, Bengal Engineering and Science
University, Shibpur, Howrah, West Bengal, India)
P. Mukhopadhyay
Assistant Professor, Department of Architecture, Town & Regional Planning, Bengal Engineering and
Science University, Shibpur, Howrah, West Bengal, India
S. Bhattacharya
Lecturer in Dynamics Engineering, Department of Civil Engineering, University of Bristol, Queens
Building, Bristol, United Kingdom
ABSTRACT: The 2001 Bhuj Earthquake was an eye opener to the Indian earthquake research-
ers as it established the fact that devastation of earthquakes was not necessarily restricted to in-
ter-tectonic regions, but may occur in intra-tectonic regions as well. All these motivated the au-
thors to study and compare the impact of moderate earthquakes in hilly areas as well as in plain
lands and to closely scrutinize the local building and construction practices from the view point
of their adequacy in seismic resistance. The present paper reports one such endeavour where the
impact of two moderate earthquakes of magnitudes 5.7 and 4.0, occurring respectively at Sik-
kim in 2006 and Durgapur in 2008, are compared. Though the earthquakes were of modest na-
ture, yet their impacts were extensive. Reconnaissance based damage surveys show that the ef-
fect was more pronounced because of the presence of a number of non-engineered or semi-
engineered, one or two-storied dwellings, whose walls were mostly made of brick masonry and
mud, sometimes using wood or bamboo as framing elements. Development of vertical and in-
clined shear cracks at the corner of wall junctions, and that of horizontal shear cracks above the
plinth and near the roofs, were common features of damages at both the hilly areas of Sikkim
and plain lands of Durgapur. In addition to these, inclined slopes, inadequate foundations and
possibility of pounding between adjacent buildings are additional factors of vulnerability ob-
served during the damage survey at Sikkim. The analysis of the damage profiles and suggested
remedial measures indicate that simple guidelines, adequately worked out in the socio-economic
context of a locality and country, if strictly implemented, may be the best viable solution with-
out changing the nature of habitats.
1 INTRODUCTION
It was generally conceived by Indian earthquake researchers before 2001 that earthquakes are
restricted only to inter-tectonic zones. Accordingly vast territories of India were considered as
free from seismicity and were depicted as Zone I in the Map of India showing seismic zones of
India by the Bureau of Indian Standards (BIS). But the experience of the 2001 Bhuj Earthquake
was an eye opener as it established the fact that devastation of earthquakes may occur in intra-
tectonic regions as well. This led to a major change of the BIS map of India (IS 1893: 1984 up-
dated to IS 1893 Part 1: 2002) showing four instead of previous five seismic zones, where the
entire Zone I was abolished.
India has been visited by low to moderate magnitude earthquakes with almost regular interval
of about two to three years. On the other hand, earthquake of very severe magnitude is relatively
rare. Data from Table 1, showing list of earthquakes occurring in India, confirms this. Again
though the impact of such medium to low magnitude earthquakes may not be severe on the
framed buildings, one cannot ignore their impact on the so called non-engineered or semi-
engineered structures of India and other developing economies. In fact, the people affected by
the damage or collapse of such structures are generally from the economically weaker sections
of the society who cannot pay for consulting structural engineers and architects! All these con-
Proceedings, 3rd Greece-Japan Workshop: Seismic Design, Observation, and Retrofit of Foundations. Santorini 2009
154
texts motivated the authors to study and compare the impact of frequent yet moderate earth-
quakes. The present paper reports such endeavours where the impact of two moderate earth-
quakes of magnitudes 5.7 and 4.0, occurring respectively at Sikkim in 2006 and Durgapur in
2008, are compared. The experience of damage survey of these two earthquakes show that how
by implementing very simple measures, specific to local nature of habitat, the damage could
have been reduced. These two earthquakes are really a revelation to find that building con-
sciousness and attitude towards implementation of adequate socio-economy friendly technology
can play a major role in minimizing the severity of damage, casualties and economic loss during
such low to medium magnitude earthquakes.


Table 1. Major Indian earthquakes.
_____________________________________________________________________________________________________
Date Location Magnitude Date Location Magnitud
_____________________________________________________________________________________________________
e
16 Jun. 1819 Kutch, Gujarat 8.0 21 Jul. 1965 Anjar, Gujarat 7.0
10 Jan. 1869 Cachar, Assam 7.5 10 Dec. 1967 Koyna, Maharashtra 6.5
30 May 1885 Sopor, Jammu & Kashmir 7.0 19 Jan. 1975 Kinnaur, Himachal Pradesh 6.2
14 Jul. 1885 North-West of Dhaka 7.0 06 Aug. 1988 Manipur-Myanmar border 6.6
12 Jun. 1897 Shillong plateau 8.7 21 Aug. 1988 Bihar-Nepal border 6.4
04 Apr. 1905 Kangra, Himachal Pradesh 8.0 20 Oct. 1991 Uttarkashi, Uttar Pradesh 6.6
08 Jul. 1918 Srimangal, Assam 7.6 30 Sep. 1993 Latur, Maharashtra 6.3
02 Jul. 1930 Dhubri, Assam 7.1 22 May 1997 Jabalpur, Madhya Pradesh 6.0
15 Jan. 1934 Bihar-Nepal border 8.3 29 Mar. 1999 Chamoli, Uttar Pradesh 6.8
31 May 1935 Quetta 7.6 26 Jan. 2001 Bhuj, Gujarat 6.9
26 Jun. 1941 Andaman Islands 8.1 14 Sep. 2002 North Andaman Islands 6.5
23 Oct. 1943 Assam 7.2 08 Oct. 2005 North Kashmir 7.6
15 Aug. 1950 Arunachal Pradesh 8.5 14 Feb. 2006 Sikkim 5
_____________________________________________________________________________________________________
.7
2 DESCRIPTION OF EARTHQUAKES
2.1 Sikkim Earthquake
An earthquake of magnitude 5.7 in the Richter scale violently rocked Sikkim on 14th February
2006, which though did not cause major casualties, but had resulted in considerable structural
damage. Sikkim, one of the hilly states of India, situated in the Eastern Himalayas, is wedged
between Nepal in the west, Bhutan in the east and China in the north and northeast. The inten-
sity of the earthquake as experienced by various parts of Gangtok city, capital of Sikkim, as
well as its surrounding region in East and South Sikkim, was in the range of V to VI as per the
MSK scale. On the other hand, this area comes under the earthquake Zone IV where a severe
seismic intensity is generally expected. In this context, the present earthquake can be treated as
a warning only, in view of the widespread building construction undertaken in different hilly
centres of Sikkim, many of which are not properly designed. As per the Indian Metrological
Department (IMD), the earthquake, which had its epicentre at Chungthang, 75 km north of
Gangtok, lasted 22 seconds and caused extensive damage to property. However, United Nations
Development Programme, Bhubaneswar reports the same earthquake to have the epicentre at 25
km west-north of Gangtok. Such an earthquake has also another specialty of being followed by
a large number of aftershocks, and in this particular case, tremors from about 10 such earth-
quake aftershocks were reported by the IMD.
Two Indian Army soldiers were killed when the vehicle they were travelling in was struck by
a rock fall at Sherathang near the border outpost at Nathu La in Sikkim. Two people were in-
jured in east Sikkim by this earthquake. A child received minor scratches when a flower pot fell
on him during the earthquake at Ranipool while a man suffered minor head injuries after being
hit by a boulder along the Indira Bypass. In addition, 8 people were discharged after being ad-
ministered first aid at the Tashi Namgyal Memorial Hospital in Gangtok. The people in Gangtok
felt very severe shaking. The furniture was displaced from their positions. Books and other
loose objects were thrown from shelves. Hanging lights and fans started swinging. On the other
hand, New Jalpaiguri which was about 120 km away from Gangtok seems to have experienced
almost an intensity of V as understood from the awakening of sleeping persons and displace-
Proceedings, 3rd Greece-Japan Workshop: Seismic Design, Observation, and Retrofit of Foundations. Santorini 2009
155
ments of small unstable objects. So, less change in intensity over a large distance indicates geo-
logical strata has a better transmissibility of the seismic waves and increases the concern about
the seismic vulnerability of not only Sikkim, but also the surrounding plane land.
The Department of Land Revenue and Disaster Management, Government of Sikkim, in its
Revised Memorandum for Restoration Works of Earthquake Damages of 14.02.2006, Sikkim,
has claimed that more than 500 buildings have been damaged by the earthquake. In view of the
same, the Government of Sikkim has sought to the Government of India a Central Assistance of
Rs. 301.62 million.
2.2 Durgapur Earthquake
A mild earthquake was felt in the Gangajalghati-Raniganj-Mejia region of the state of West
Bengal, India, as well as in the adjacent districts of the state of Jharkhand, India, in the morning
of 6th February, 2008. As per IMD, the tremor was felt at around 11:39 hrs. IST, and had a
magnitude of 4.3 in the Richter scale, lasting for 10-15 seconds. The epicentre of the quake was
reported to be near Andal in Bardhaman district of West Bengal. The main earthquake was fol-
lowed by three mild aftershocks. Another aftershock was felt at Bankura, Barjora, Gangajal-
ghati, Indpur, Mejia, Raniganj and Onda as well as in other parts of the districts of Bankura,
Burdwan and West Midnapore in the evening at 17:12 hrs. IST, which was reported to last for 3
seconds.
Panic-stricken people rushed out of their houses towards open fields as doors and windows of
buildings rattled. School authorities at many places declared holiday fearing any eventuality. An
elderly woman was killed at Raniganj and at least 50 people injured in this earthquake, includ-
ing two persons who were struck by falling debris, one each in Bishnupur and Gangajalghati in
Bankura district. 12 students at the Durvalpur High School at Mejia and 12 students at Patrahat
Girl's School in Onda fell unconscious as a result of the tremor. Reports from other districts said
that the quake was severe as several buildings developed cracks, including eight railway signal-
ling cabins on the Delhi-Howrah mainline. Over two dozen mud houses were collapsed at Gan-
gajalghati as did a few abandoned buildings at Searsole near Raniganj. A few mobile telecom
towers collapsed and production at the Mejia Thermal Power Station stopped.
3 OBSERVATION OF DAMAGES
3.1 Sikkim Earthquake
The damage survey of the Sikkim Earthquake was conducted from 26th March to 1st April,
2006. A large number of government and private buildings in the Gangtok city and in the sur-
rounding regions have undergone both structural as well as non-structural damages. Damages
suffered by purely framed structures were limited primarily to non-structural ones. However, the
infill walls of some framed structures, which were constructed with poor masonry, suffered
badly due to the seismic shocks; these included government buildings as well. In the midst of
the different engineered structures, some traditional buildings, built with combination of wood
and bamboo, were observed to have suffered less. Damage profiles of some of the significant
buildings are described below.
3.1.1 Legislative Assembly, Gangtok:
The assembly house is a reinforced concrete frame-building in hexagonal shape, whose main
hall consists of eight large sized columns arranged in circular pattern. The columns are having
overhanging beams at the top supporting the domical roof. The building is situated on a hill
slope with perimeter-columns having isolated foundations at different levels. The building ex-
perienced damage earlier and was repaired. However, such cracks are observed to be aggravated
in this occasion. These cracks are generally in the vicinity of the perimeter and confined in the
infill wall. The floor of the building on the rear side has experienced a settlement by about a few
inches. Views of some cracks in roof supporting beams due to such settlements are presented in
the photographs of Figure 1. The observation shows that intensity of the earthquake was not
adequate to cause damage to the framed building.

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(a) Horizontal cracks (b) Vertical cracks

Figure 1. Shear cracks in the beams supporting the roof of the Legislative Assembly at Gangtok, Sikkim.


3.1.2 Tashling Secretarial building, Gangtok:
This building is a five-storey reinforced concrete framed structure. The infill walls are made of
chisel dressed stone masonry at ground floor. The infill walls at the upper floors consist of ma-
sonry made with mortar blocks. These masonry walls have two layers with a hollow portion in
between, probably for the purpose of insulation. The primary nature of the damage is of non-
structural type. The infill wall has been separated from the actual frame of the building. In addi-
tion to that, the infill walls have undergone considerable shear cracking (Fig. 2a) accompanied
by local failure at places as shown in Figure 2b.

(a) Shear crack on the walls (b) Failure of hollow walls

Figure 2. Damaged walls of the Tashling secretariat building at Gangtok, Sikkim.


Again, considerable pounding observed at the separation joint indicates that the relative
movement of one side of the building is higher than the other. The damage of the infill wall
should be retrofitted by providing reinforcements to the extent possible apart from the patch re-
pairing through mortar grouting. On the other hand, separation joint should be made clear
enough by removing any mortar or stiff structural material.
3.1.3 Police headquarter building, Gangtok:
This three-storied reinforced concrete framed building has partly open ground storey provided
for parking (Fig. 3a), while the other portion is having basement. The portion adjacent to the
basement has undergone considerable damage. Primarily, the infill walls on one side have been
damaged perhaps due to excess deformation on that side resulting from lack of symmetry. The
nature and reasons of the damages are very similar to those observed in earlier cases as may be
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understood from Figure 3b. Partly open ground storey has not only made this storey weaker
than the other storeys, it has also introduced asymmetry endangering the structure in the event
of an earthquake.

(a) Partially open ground storey of the police head (b) Horizontal cracks in infill walls adjacent to
quarter building the basement

Figure 3. Police headuarter building at Gangtok, Sikkim.


3.1.4 Office Building of the Geological Survey of India (GSI), Deorali:
The GSI office is housed in a four-storied building at Deorali. The building has a regular beam-
column grid at the front side; whereas, some of these frames are not continuous at the backside.
This has introduced irregularity in plan as well as in elevation of the building, which causes se-
vere damage at the backside. Figure 4 illustrates one such damage, which comprises of damage
of beam-column joints leading to distortion of the frame, which in turn, has caused crushing of
the brick walls at many places. Attempts have been made to repair the cracks by mortar. How-
ever, such repairing did not involve any attempt for structural strengthening. The partially open
ground storey behaving as soft storey further acts as reasons of vulnerability of the building.


Figure 4. Damaged infill walls at the backside of
the office building of the GSI at Deorali, Sikkim.


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3.1.5 Government Secondary School, Sichey:
The out-of-plane rotation suffered by the walls of the Government Secondary School building at
Sichey, East Sikkim, has caused the separation of the wall from the main structural frames and
the shear cracking has caused further damage to them. Figure 5 illustrates the case where a view
is taken from inside of one of the devastated class rooms. The provision of vertical reinforce-
ments and horizontal reinforced concrete bands could have solved the problems. The nature as
well as reason of the non-structural damages in this school building is similar to all other struc-
tures.


Figure 5. Damaged infill wall showing out-of-plane
rotation of the school building at Sichey, Sikkim.


3.1.6 A private building at Deorali, National Highway 31A (NH-31A):
Generally, the private buildings are designed with less financial investment and that is why the
damages in the private buildings are found to be much more than government ones. While the
damage in most of the government buildings were limited to the non-structural elements, both
structural and non-structural elements are found to be considerably damaged in private or semi-
private buildings.
The severely damaged private building, under discussion, is situated beside the NH-31A. It
has four storeys at its rear side, while three storeys are at the front; thus one storey of the build-
ing is along the hill slope (Fig. 6a). The overall asymmetry as well as irregular placement of
columns, which are alike features of many buildings at hilly regions, are the prime structural de-
ficiencies. In fact, Figure 6a further shows that the damage is primarily concentrated at the rear
side of the building, which seems to lack from adequate framing action. The fact that the col-
umns are severely damaged, especially at the rear portion along with the infill walls, is clear
from Figure 6b. The figure further points out that the columns are found to be devoid of ade-
quate lateral ties; this has caused the concrete to easily bulge out from the core.
In some places, the infill walls have been very severely damaged exposing the mortar blocks
(Fig. 7). This points out to the fact that infill walls are not only made by mortar blocks of inade-
quate strength; there is also a lack of adequate cementing material due to adoption of poor con-
struction practices. Figure 7 further shows clear gaps between the mortar blocks. Such inade-
quate quality has been one of the major reasons of failure of many such infill walls.
Furthermore, early failure of these walls might have lead to transfer of more lateral load to the
columns leading to severe damage of the same.

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(a) Side view of the damaged private building (b) Damaged rear columns and infill walls

Figure 6. Damaged RC framed private building of Mr. Sharma at Deorali, Sikkim beside NH-31A.



Figure 7. Poor construction practice of use of
very less mortar is exposed in infill walls of the
damaged building at Deorali, Sikkim.


3.1.7 Better performance of few non-engineered buildings:
It was observed at Gangtok that many-a-times buildings constructed with wood, bamboo and
other traditional non-engineered materials, sustained the aftermath of earthquakes rather better
than those built with so called engineered materials. The point is best demonstrated through
Figures 6a and 8, in which one can find an undamaged private residence built with wood and
bamboo, plastered with mud, situated at the rear side of the damaged private building at Deorali,
NH-31A. The light weight of these materials may explain the reason of the survival. However,
this warrants further investigation.

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Figure 8. Close-up of the undamaged residence
built with traditional materials, viewed from
within the damaged building at Deorali, Sikkim.


3.2 Durgapur Earthquake
The damage survey was conducted from 29th February to 2nd March, 2008. As per the recom-
mendations of Census of India - 2001, the buildings covered during the damage survey can be
broadly classified into three categories, viz. Permanent houses, Semi-permanent houses, and,
Temporary houses. This classification is based on the type of material used in the construction
of roof and wall. Here, permanent houses are defined as such houses, the walls and roof of
which are made of permanent materials; whereas, houses in which both walls and roofs are
made of materials, which have to be replaced frequently are defined as temporary houses. On
the other hand, houses, in which either the wall or the roof is made of permanent material, and
the other is made of temporary material are called as Semi-permanent houses. It may be men-
tioned that the houses surveyed in the urban and suburban areas were either of the permanent
or semi-permanent category; but those surveyed in the villages belonged to either of the semi-
permanent or temporary types. Damage profiles of buildings belonging to each category are
described below.
3.2.1 Permanent houses:
The permanent houses surveyed are mostly single or double storied structures, whose rein-
forced concrete floor / roof slabs are supported by reinforced concrete beams, which in turn rest
on load bearing brick masonry. The moderate 2008 Durgapur Earthquake produced cracks pre-
dominantly along the junctions of different structural components, like those between beams
and walls, between walls and roof slabs, between walls and walls etc. Figure 9 shows one such
example where one can see development of vertical shear cracks at the corner of the room from
roof to floor. Horizontal shear cracks have also developed at the junction of ceiling with walls.
In some other earthquake affected buildings, shear cracks occurred at the window sills, and at
the junctions between door-window frames and walls. However, these cracks were minor in na-
ture. Further, it was observed that the wall and roof junctions of some of the earthquake affected
buildings was clamped with wood or iron angles; and eventually those roofs were protected
from possible sliding and overturning.










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Figure 9. Minor vertical and horizontal shear cracks
produced at the junctions of ceiling with walls in a
single-storied building at DPL colony, West Bengal.


3.2.2 Semi-permanent houses:
The walls of all the semi-permanent houses were made of load bearing brick masonry, one of
the most popular permanent building construction materials in the tropics. The temporary roofs,
however, varied between burnt clay tiles and asbestos cement sheets supported on bamboo
and/or wooden roof structures. The cracks occurring in these buildings were, obviously, more
severe than those surveyed in the permanent ones. Figure 10 depicts a typical semi-permanent
house surveyed at Village Mejia in West Bengal, India.


Figure 10. A typical semi-permanent house at
Village Mejia, West Bengal.


The photographs at Figure 11 illustrate the different types of failures that had occurred in
these semi-permanent houses due to the 2008 Durgapur Earthquake. Whereas Figure 11a dem-
onstrates failure of part of a wall, which has suffered out-of-plane rotation, Figure 11b demon-
strates the failure of two mutually perpendicular walls forming a T-junction. Absence of proper
toothing between two mutually perpendicular walls has been the main reason behind the second
failure. Vertical cracks appear in the external brick masonry of another single-storied building
shown at Figure 11c, which has occurred probably due to absence of reinforced concrete beam
at the door-lintel level. The photograph at Figure 11d shows the example of a horizontal crack,
which has further resulted into failure of mortar and brick masonry.
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(a) Part of a wall failing due to out-of-plane rotation (b) Failure at the T-junction between two walls
nry walls probably due to (d) Failure of brick and mortar masonry
houses damaged during the 2008 Durgapur Earth-
uake, surveyed at Village Mejia in West Bengal.

o perform
etter by offering more resistance to earthquake forces in the form of framing action.



(c) Separation of maso
absence of RC frame

igure 11. Failure profiles of different semi-permanent F
q


3.2.3 Temporary houses:
The temporary houses, which were analysed during the damage survey used mud as the princi-
pal walling material, and thatched roof or burnt clay tiles on bamboo roof-structure as the major
roofing material. The photographs at Figure 12 show complete failure of one of the gable-end
walls of a two-pitched damaged mud house at Village Birvanpur of West Bengal due to the
2008 Durgapur Earthquake. Figure 12b depicts the overturning of the wall due to out-of-plane
rotation, illustrating the separation of two mutually perpendicular walls due to absence of any
significant tying in between them.
The photograph of the temporary house shown in Figure 13, surveyed in the same village, il-
lustrates the fact that though it suffered from out-of-plane rotation, it did not collapse like the
one observed in Figure 12. This is probably due to the fact that the gable-end wall of this house
was not constructed with only mud; rather it was made of brick in combination with mud. The
superior strength of this gable-end wall prevented the adjacent damaged mud wall from collaps-
ing.
The photograph at Figure 14 shows the failure of the walls of another temporary house in the
same village probably due to absence of proper framing. Such walls can be made t
b

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(a) Front view of the collapsing wall, put at rest by (b) Side view of the collapsing wall, showing
a number of supports separation of adjacent walls from corner

Figure 12. Overturning of the gable-end of a mud house due to out-of-plane rotation during the 2008
Durgapur Earthquake at Village Birvanpur, West Bengal.



Figure 13. Brick wall in combination with mud
preventing adjacent wall from collapse during
2008 Durgapur Earthquake at Village Birvanpur,
West Bengal.



Figure 14. Failure of a mud wall during the 2008
Durgapur Earthquake due to absence of proper
raming, surveyed at Village Birvanpur, West Bengal. f


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4 ANALYSIS OF DAMAGES AND REMEDIAL MEASURES
Observation of the nature of vulnerability of building structures, suffered during the two moder-
ate earthquakes, reveals some common features and understanding. The similarity in the range
of intensity of the two earthquakes in the suffered localities and in the nature of the construction
materials are reasons behind the likeness of the damage profiles, which therefore warrant com-
mon remedial measures. On the other hand, gross difference in the terrain category of the two
places demands separate particular approach in the remedial measures for the hilly region.
These two aspects are discussed separately in the following paragraphs.
4.1 General analysis and recommendations
The general nature of vulnerability of the buildings in both Sikkim and Gangajalghati-Raniganj-
Mejia regions can be attributed to poor quality of in-fill walls. In most of the buildings, the ma-
sonry made by mortar block is used. The material used as cementing mortar seems to be of very
poor quality and at the same time the mortar blocks seem not to have adequate strength. Infill
panel made by this kind of masonry is performing very poorly, undergoing diagonal shear
cracks and overturning. Furthermore, the strength may be poorer due to use of hollow mortar
blocks. These different inadequacies may be avoided by undertaking the following methodolo-
gies.
4.1.1 Out-of-plane collapse
The infill walls are very frequently found to get separated from the rest of the frames because of
out-of-plane rotations. These tendencies may be checked by providing adequate horizontal rein-
forced concrete bands and vertical reinforcements in places as shown in Figure 15, including the
boundary of the openings. Out-of-plane collapse in masonry system may further be arrested if
the walls in mutually orthogonal directions are properly bonded with each other. To this end, in
addition to vertical reinforcements, alternating toothed joint in walls at corners and T-junctions
as shown typically in Figure 16 may be adopted.


Figure 15. Vertical and horizontal reinforced Figure 16. Detail at corners and joints of structures
concrete bands in masonry building structures. with masonry walls.
(Source: Murty, 2005a) (Sources: IS 4326: 1993, IAEE & NICEE: 2004)


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4.1.2 Arresting shear cracks
It has been observed that the horizontal, vertical and diagonal shear cracks of the earthquake af-
fected structures are generally originating either from the corners of openings or from junctions
of different structural elements viz. those between walls and walls, walls and floor slabs etc.
Shear cracks originating from junction of structural elements may be taken care by the horizon-
tal reinforced concrete bands and vertical reinforcements in masonry, as suggested above. The
possibility of generation of shear cracks from the corner of openings in the walls may be re-
duced significantly by adopting appropriate structural configuration around them. Some impor-
tant guidelines suggested by the Indian standards (IS 4326: 1993) and literature jointly pub-
lished by the International Association for Earthquake Engineering, Tokyo and National
Information Center of Earthquake Engineering, India (IAEE & NICEE: 2004) are pictorially
presented in Figure 17.

(a) Opening in major walls (b) Masonry strengthening around openings

Figure 17. Recommendations for arresting shear cracks in and around openings of masonry structures
((Sources: IS 4326: 1993, IAEE & NICEE: 2004)


4.1.3 Steel reinforcement details
The effect of moderate earthquakes were though less damaging for framed structures, yet few
simple guidelines regarding detailing of steel reinforcement needs to be followed to minimise
the possibility of damage during earthquakes of higher intensity. It was observed during the
damage surveys that the steel detailing of the reinforced concrete beams and columns were not
adequate. The photograph at Figure 18 was taken on-site at Gangtok, illustrating one aspect of
the issue, where not even the stirrup detailing was properly done. It is understood that stirrups
help in three ways; namely, they
(a) carry the shear force and thereby resist diagonal shear cracks;
(b) protect the concrete from bulging outwards due to flexure; and,
(c) prevent the buckling of the compressed longitudinal bars owing to flexure.
In moderate to severe seismic zones, the Indian code for ductile detailing of reinforced con-
crete structures subjected to seismic forces (IS 13920:1993) demands among other requirements
related to stirrups that their both ends should be bent into a 135 hook and extended at least 10
times its diameter beyond the hook to ensure that they do not open out during an earthquake
(Figure 19). Adherence to this simple prescription can be made without any difficulty through
appropriate understanding of the issue and proper supervision.
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Figure 18. Inadequate stirrup detailing practice Figure 19. Illustration of one of the provisions of
observed at Gangtok, Sikkim. IS 13920-1993 for stirrups (Source: Murty, 2005b).


4.2 Suggestions for Hilly Regions
4.2.1 Inadequate gripping of foundations
The foundations of many buildings are just resting on hard rock as shown in Figure 20. No fur-
ther excavation within the rock bed is made because the surface of the hard rock layer usually
has sufficient bearing capacity. Generally, filling up by soil is observed up to about 1.0-1.5 m
above the rock level. This soil layer is generally retained by constructing masonry wall at the
edge of the hill bed. These masonry walls are made of stone masonry using local stones with
adequate chiselling. The slope of such retaining wall is maintained as one horizontal: four
vertical. Such kind of foundations may not be adequate to provide resistance against sliding
and overturning. To stop sliding, shear keys may be provided. Overturning may be avoided by
provision of friction piles, as shown in Figure 21.


Figure 20. Columns with inadequate Figure 21. Suggestions for provision of friction piles for
foundations simply resting on rock bed, buildings on rock bed at hilly regions to avoid sliding and
at Darjeeling, Eastern Himalayas. overturning.


4.2.2 Vulnerable rear side columns on sloped site
Most of the buildings of hilly regions are situated on sloped site. The road-facing sides of such
buildings have lesser number of storeys involving stiffer frames, while the frames at the back-
sides are longer and are comparatively more flexible. These frames have higher number of sto-
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reys. Mostly the lower panels of the backside frames do not have infill walls (refer Figure 22);
thus they become flexible and weak in nature due to less strength and stiffness. These backside
frames may be strengthened by provision of bracings or strong lintel beams. In this context, it is
worthwhile to mention that hill side slopes, liable to slide during earthquake, are suggested to be
avoided and only stable slopes should be chosen as site for building construction. Also it would
be preferable to build separate blocks of a building on separate terraces than to build one large
building block with different footings at different terraces of varying elevations. Further, a site
subject to the danger of rock falls has to be avoided.


Figure 22. Buildings with vulnerable backside
frames without infill having exposed foundation
without any gripping at Lohapul near Rangpo,
Sikkim.


4.2.3 Pounding of buildings
Pressure of urbanisation, lack of new land within existing cities, coupled with inadequate im-
plementation of the provisions of the Municipal Building Rules for side open spaces of build-
ings have created such a situation in hilly regions of the developing countries that many-a-time
two buildings are constructed on two adjacent plots, keeping practically no space in between
them. The situation is illustrated through the photographs at Figure 23. Oscillations during the
2006 Sikkim Earthquake did cause such adjacent structures to pound against each other causing
damage to each of them. Strict adherence of municipal building rules can be the only solution to
such problems.

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Figure 23. Pounding of adjacent building structures at Gangtok, Sikkim.


5 CONCLUDING REMARKS
The damage survey and analysis presented in this paper leads to the following important lessons
to be learnt by the engineering community.
1. A moderate or low magnitude earthquake, which may occur with a greater frequency, can
cause severe damage to so-called non-engineered or semi-engineered structures which are very
large in numbers and provide shelter to most of the people in the world.
2. The damage survey shows that inadequate corner joints between walls, absence of lintel
band and vertical reinforcements, and asymmetry and irregularity in configurations are some of
the very predominant causes of failure. The vulnerability in hilly regions further increases due
to inclined slopes and inadequate foundations. The measures for strengthening such buildings
are available and highlighted in the present paper.
3. The earthquake-resistant techniques for attributing better protection during seismic actions
for such structures are available but may be needed to be tuned a little bit in the particular con-
text of a locality and socio-economic background. However, due to lack of adequate attention
towards such structures, any stringent design, supervision and construction guidelines are either
not made or not implemented.
4. The lightweight structures with wooden or bamboo frame can be viable alternative to ma-
sonry structures depending on local, social, cultural, economic and other backgrounds of a par-
ticular place as they are found to perform safely. Hence, careful attempt for implementing such
structures as common peoples building should be made.
5. In the context of availability of technical know-how, the major task is to build up adequate
consciousness in the level of municipal framework and individual householders. In fact, the
biggest challenge is to make the common people understand about the vulnerability of the shel-
ter they are leaving, even during frequent low magnitude earthquake and make them aware to
take adequate technical consultancy for design, construction and/or retrofitting of the same. The
technical community and governmental organization may take the help of the public media in an
adequate manner for the same; and should immediately take up this task to avoid recurrence of
such damage frequently.
At the end, the authors feel that such recurrence of damages in moderate to low magnitude
earthquake occur in many places of the world including the recent earthquake in Italy at
LAquila, which has clearly pointed out the general negligence of civilizations in terms of re-
search and its implementation towards the popular traditional masonry and other non-
engineered structures. Scientific and technical community has to shift their focus more towards
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the need of human civilization than carrying utopian research for satisfying their quest only.
REFERENCES
Bureau of Indian Standards. 1986. Indian Standard 1893: 1984 (reaffirmed 1998), Criteria for earth-
quake resistant design of structures (fourth revision). New Delhi: BIS.
Bureau of Indian Standards. 2002. Indian Standard 1893 (Part 1): 2002, Criteria for earthquake resis-
tant design of structures, Part 1 General provisions and buildings (fifth revision). New Delhi: BIS.
Bureau of Indian Standards. 2002. Indian Standard 4326: 1993 (reaffirmed 1998), Earthquake resistant
design and construction of buildings Code of practice (second revision). New Delhi: BIS.
Bureau of Indian Standards. 2002. Indian Standard 13920: 1993 (reaffirmed 1998), Ductile detailing of
reinforced concrete structures subjected to seismic forces. New Delhi: BIS.
International Association for Earthquake Engineering & National Information Center of Earthquake En-
gineering. 2004. Guidelines for Earthquake Resistant non-engineered construction (English Edition).
Tokyo: IAEE & Kanpur: NICEE.
Murty, C.V.R. 2005a. Why is vertical reinforcement required in masonry buildings? In Earthquake Tips
Learning Earthquake Design and Construction: 29-30. Kanpur: NICEE.
Murty, C.V.R. 2005b. How do columns in RC buildings resist earthquakes? In Earthquake Tips Learn-
ing Earthquake Design and Construction: 37-38. Kanpur: NICEE.
Registrar General & Census Commissioner, India. 2001. Census of India, 2001. New Delhi: Government
of India.
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Statistical Evaluation of Embedment Effect on Damage to RC
Building Structures during the 1995 Hyogoken-Nanbu Earth-
quake


A. Mikami & Y. Nariyuki
The University of Tokushima, Tokushima, Japan
T. Matsuda
Oriental Consultants Co., Ltd., Tokyo, Japan
1 INTRODUCTION
ABSTRACT: This study statistically evaluates the effect of embedment due to presence of
basements on damage mitigation of reinforced concrete (RC) building structures based on the
building damage database during the 1995 Hyogoken-Nanbu Earthquake. A multivariate analy-
sis (Hayashis quantification II) is used to investigate factors (items) that have a strong effect on
the degree of damage to RC buildings. The results indicate that embedment has a remarkable ef-
fect on reducing damage; degree of which is similar to the construction year effect (due to major
revision of Japanese building standard law in 1981). This finding may support more positive
adoption of embedment effect in seismic design practice.


Variation of earthquake motions from the free-field to the foundation is caused by differences of
stiffness and mass of the foundation from the soil. Soil-structure interaction (SSI) associated
with the difference in stiffness is regarded as kinematic soil-structure interaction, which is con-
veniently represented by the transfer function in the frequency domain as the ratio of massless
foundation motion to free-field surface ground motion.
Transfer functions for an embedded cylinder were theoretically calculated by Elsabee et al.
(Elsabee & Morray, 1977) for soil resting on rock, and by Day (Day, 1977) for halfspace soil.
Their theoretical works indicate that embedment has a marked influence on kinematic soil-
structure interaction.
However, it was not until quite recently that the effect was incorporated into the building de-
sign guideline of the Architectural Institute of Japan (AIJ, 2004). Hence, buildings constructed
before the 1995 Hyogoken-Nanbu Earthquake might have some amount of extra strength, as-
suming that kinematic SSI effect was not taken into account in their design, and this fact may
have resulted in reducing damage to such buildings.
As a consequence, in this study, effect of embedment due to the presence of basement on
damage reduction of building structures is statistically investigated by using a multivariate
analysis based on the damage database of RC public building structures during the 1995
Hyogoken-Nanbu Earthquake.


2 DATABASE
2.1 Database of damage to RC buildings
The AIJ carried out investigation into damage to RC/SRC building structures during the 1995
Hyogoken-Nanbu Earthquake, and the data was compiled into a report published in 1997 (AIJ,
1997). The dataset includes construction year, number of stories (story stands for number of floors
above the ground) and number of basement levels, for both damaged and undamaged buildings.
Proceedings, 3rd Greece-Japan Workshop: Seismic Design, Observation, and Retrofit of Foundations. Santorini 2009
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Table 1. Database used for the analysis
No. Damage level Const. year
No. of
Stories
Basement
Levels
PGV(cm/s)
1 4 1992 8 1 120-140
2 2 1980 9 2 -50
3 4 1980 10 1 -50
4 3 1993 10 2 50-80
5 5 1964 7 2 120-140
6 6 1957 8 1 120-140
7 4 1977 8 1 140-
8 3 1993 7 2 140-
9 2 1991 8 1 140-
10 1 1975 3 2 -50
11 5 1975 12 0 140-
12 2 1987 3 1 120-140
13 2 1991 8 0 50-80
14 1 1979 8 1 -50
15 3 1966 9 2 -50
16 1 1988 6 1 -50
17 5 1971 8 3 120-140
18 2 1972 7 2 -50
19 1 1990 4 3 120-140
20 3 1972 4 1 120-140
21 2 1985 3 1 -50
22 2 1992 10 1 -50
23 3 1964 13 2 -50
24 3 1970 3 2 -50
25 3 1958 5 2 -50
26 4 1965 5 1 120-140
27 3 1977 11 0 90-110
28 3 1973 9 2 50-80
29 2 1970 13 2 90-110
30 2 1990 14 4 90-110
31 3 1966 13 2 90-110
32 4 1981 9 3 -50
33 3 1972 8 3 50-80
34 3 1981 5 2 90-110
35 4 1965 6 1 120-140
68 4 1921 2 1 50-80
69 4 1964 3 0 50-80
70 4 1969 5 0 90-110
71 4 1992 2 1 140-
72 4 1987 2 0 140-

This study utilizes the data of public building structures that have an adequate number of both em-
bedded and non-embedded structures to investigate the effect of embedment. As a representative
index of expressing strong ground motion, peak ground velocity (PGV) distribution in the Kobe
area estimated by Hayashi et al. (Hayashi, 1997) was added by the authors to the database. Dis-
carding some data collected from obviously liquefied area (such as Port Island), 72 sets of building
Proceedings, 3rd Greece-Japan Workshop: Seismic Design, Observation, and Retrofit of Foundations. Santorini 2009
172
Table 2 Damage levels
Damage level Description
Level 1 No damage
Level 2 Slight damage
Level 3 Minor damage
Level 4 Medium damage
Level 5 Serious damage
Level 6 Collapse

5
6
4
3
2
Level 1
Level 2
Level 3
Level 4
Level 5
Level 6


Before 1981
1

After 1982
5 & 6
4
3
2
1
Level 1
Level 2
Level 3
Level 4
Level 5
Level 6


Figure 1. Effect of construction year on damage ratio of buildings
data were extracted from the original database as shown in Table 1. Damage to building structures
is classified into 6 levels (from level 1 to level 6) as shown in Table 2. Missing data from the
original database was gathered by our telephone inquiry.
2.2 Effect of different construction years
Major revision was made to the Japanese Building standard law in 1981, thus, it is recognized
Proceedings, 3rd Greece-Japan Workshop: Seismic Design, Observation, and Retrofit of Foundations. Santorini 2009
173
that construction year is the key factor that influences the degree of damage to building struc-
tures. Figure 1 compares the ratio of each damage level of buildings constructed before 1981
and after 1982. It is obvious that buildings constructed after 1982 show less degree of damage
level compared with those constructed before 1981.


3 STATISTICAL EVALUATION OF EMBEDMENT EFFECT BY A MULTIVARIATE
ANALYSIS
3.1 Method
Effect of embedment on damage reduction of buildings is examined using a multivariate analy-
sis. The problem to be solved in this study is to ascertain factors (items) that have strong influ-
ence on the degree of damage to buildings. Hayashis Quantification II (Hayashi, 1952) is util-
ized in this study. This method is basically a multivariate discrimination analysis, however, it
can deal with a discrimination problem even when variables are given as qualitative data by in-
corporating 0-1 dummy variables. The method is so well known in Japan that some computer
program packages include Hayashis quantification.
Suppose that there are K outside criteria (response variables), R items (each item has c
R
cate-
gories). To deal with qualitative data, 0-1 dummy variables are introduced.

i
becomes 1 only
when a sample ( -th sample of i-th group) fall into a sub-category of each item (k category of j
item).

=
0
1
) ( jk
i
(1)

To discriminate individuals into several groups, sample scores are computed by the following
linear equation.

= =
=
R
j
c
k
i jk i
j
jk a Y
1 1
) (

(2)
where
jk
is unknown coefficients. As already known in the analysis of variance, total sum of
squared differences between scores on
i
and the grand mean is partitioned into sum of
squared differences between group means and the grand mean (between groups variability), and
sum of squared difference between individual scores and their respective groups means (within-
group variability).
a
Y


= = = = =
+ =
K
i
n
i i
K
i
i i
K
i
n
i
i i
Y Y Y Y n Y Y
1 1
2
1
2
1 1
2
) ( ) ( ) (


(3)

where Y and
i
Y are mean values of total sample scores (grand mean) and samples scores
within subgroups. Correlation ratio is calculated using the following equation as the ratio the
sum of squared differences between group means and the grand mean to total sum of squared
differences between groups means and the grand mean. Unknown coefficients are deter-
mined so that the correlation ratio becomes the maximum.
jk
a

max
) (
) (
1 1
2
1
2
2

= =
=
K
i
n
i
K
i
i i
i
Y Y
Y Y n


(4)

Proceedings, 3rd Greece-Japan Workshop: Seismic Design, Observation, and Retrofit of Foundations. Santorini 2009
174
Table 3 Item categories
Item Description Category
before 1971 1
1972-1981 2 Construction years
after 1982 3
1 5 1 Stories above
ground 6 or more 2
0 1
B1 2
Basement
levels
B2 or more 3
less than 80 1
PGV(cm/s)
90 or more 2
Level 1 3 1
Damage level
Level 4 6 2

Implementing some mathematical manipulation, the problem attributes to generalized
eigenvalue proble
Table 4 Results
Item Category
Number
of items
Category score Range
Partial Cor-
relation Co-
efficient
before 1971 29 -0.6630
1972-1981 23 0.0725
Construction
years
after 1982 20 0.8779
1.5409 0.3426
1 5 28 -0.0293 Stories above
ground 6 44 0.0186
0.0479 0.0130
0 16 -0.5180
B1 32 -0.4176
Basement
levels
B2 or more 24 0.9021
1.4201 0.3359
less than 80 31 0.3918
PGV(cm/s)
90 or more 41 -0.2963
0.6881 0.1911
Level 1-3 39 0.4629
Damage level
Level 4-6 33 -0.5470
Partial correlation coefficient = 0.2568

m.
3.2 Categories for the Quantification II
The original datasets were re-categorized for the analysis by quantification II as shown in Table
3. Dummy variables were, then, introduced based on the new category to quantify the qualita-
tive data.
3.3 Results
Results calculated by the quantification II are shown in Table 4. Looking at the category scores
of the outside variable (damage level), it is recognized that higher damage level has a lower
category score. Hence, category scores of each item have an inverse relationship (i.e. larger
score contributes to reduce damage). From the values of the range and the partial correlation co-
efficient, it is apparent that items of construction year and presence of adequate basements have
about the same value as also shown in Figure 2. This indicates that these items have an influ-
ence on damage to the same degree. Paying attention to the category scores of each item, we can
understand that buildings that have two or more basement levels show less damage degree in
Proceedings, 3rd Greece-Japan Workshop: Seismic Design, Observation, and Retrofit of Foundations. Santorini 2009
175
0.0 0.5 1.0 1.5 2.0
PGV
basement levels
stories above ground
construction years
Item Range

Figure 2 Item range
addition to buildings constructed after 1982. Thus, these categories contribute to lessen damage
to building structures.


4 CONCLUDING REMARKS
This study statistically investigated the effect of embedment due to presence of basement on
damage mitigation of reinforced concrete building structures during the 1995 Hyogoken-Nanbu
Earthquake. The results indicate that the effect of embedment has a remarkable influence on re-
ducing damage to buildings when there exists sufficient embedment (two or more basement lev-
els). The degree of reducing damage by embedment is similar to the effect of construction year
due to the major revision of the Japanese building standard law in 1981. Although this result
may support more positive adoption of embedment effect in design practice in Japan, the fol-
lowing two points should be noted: (1) The number of data used in the analysis was only 72
which may not be adequate. (2) The result reflects only a single earthquake event (1995
Hyogoken-Nanbu Earthquake). Therefore, verification of our findings using some other earth-
quakes and their damage data is needed in the future.


ACKNOWLEDGMENTS
The authors would like to express their gratitude to Kansai Geo-informatics Network (KG-NET)
for providing soil information in Kobe area. The authors would also like to thank Mr. Tsutomu
Seo, Ms. Rie Yoshioka and Ms. Sakiko Tsujino for their support to establish the database.


REFERENCES
Architectural Institute of Japan. 2004. Recommendations for Loads on Buildings: Architectural Institute
of Japan (in Japanese).
Architectural Institute of Japan. 1997. Report of damage to reinforced-concrete building structures dur-
ing the 1995 Hyogoken-Nanbu Earthquake: Architectural Institute of Japan (in Japanese).
Day, S.M. 1977. Finite element analysis of seismic scattering problems, Ph.D. Dissertation, University of
California, San Diego.
Elsabee, F. & Morray, J.P. 1977. Dynamic behavior of embedded foundations, MIT report, R77-3.
Hayashi, Y., Miyakoshi, J. & Tamura, K. 1997. Study on the distribution of peak ground velocity based
on building damage during the 1995 Hyogoken-Nanbu Earthquake, J. Struct. Constr. Eng., 502: 61-
68. (in Japanese)
Hayashi, C. 1952. On the prediction of phenomena from qualitative data on the quantification of qualita-
tive data from the mathematico-statistical point of view, Ann. Inst. Statist. Math. 3, 69-98.
Proceedings, 3rd Greece-Japan Workshop: Seismic Design, Observation, and Retrofit of Foundations. Santorini 2009
176
Global Increase of Natural Disasters and
International Cooperation for Disaster Mitigation



Masanori Hamada
Professor, Dept. of Civil and Environment Engineering, Waseda University, Tokyo, Japan
Xu Wu
Dr. Eng., Technical Center, OYO Corporation, Saitama, Japan
1 INTRODUCTION
ABSTRACT: This paper describes the current situation of global increase of natural disasters
such as earthquake, tsunami, flood and storm. The change of natural environments is increasing
disasters, and the vulnerability of the society proves serious menace to safe and secure life of
mankind. This paper touches upon the basic concept of the policy against natural disasters under
change of natural and social environments. This document also introduces the international co-
operation by Japan Society of Civil Engineering and a non-profit organization, Engineers with-
out Borders, Japan for reduction of natural disasters in the world.



Natural disasters such as earthquake, tsunami, storm and flood have been increasing in the re-
cent years in the world. There are two main factors underlying the increase of natural disasters.
Those are the natural environmental change and the social vulnerability.
The natural environmental change such as global warming, heat island phenomena in mega
cities, the decrease of the forest, desertification and erosion of rivers, are resulting in extremely
heavy rains and snows, huge typhoons and hurricanes, abnormally high temperature, and high
tidal waves. The social environment is also changing and it is becoming fragile against natural
disasters. Those are highly congested urban areas, depopulation of rural areas, human habitation
on disaster-prone lands, lack of cooperation and communication among recent urban societies,
and insufficient infrastructures for the disaster mitigation.
This paper briefly reviews the recent natural disasters in the world and the associated sub-
jects, and describes the basic concept of the policy for the reduction of future natural disasters in
future. Furthermore, the authors introduce internationally cooperative activities for the disaster
mitigation and the restoration of affected societies.
2 NATURAL DESASTERS AND CLIMATE CHANGE IN THE WORLD
2.1 Recent Natural Disasters in the World
During recent few years, the disastrous earthquakes and tsunamis have attacked the Asian coun-
tries. The 2008 Wenchuan earthquake caused an unprecedented damage to the vast and
mountainous areas of the Sichuan Province of China. The 2004 Sumatra earthquake and conse-
quent tsunami killed more than 200,000 people in the areas around the Indian Ocean (JSCE 2005).
In 2005, about 70,000 people were killed in Pakistan (JSCE and AIJ 2005), and in 2006, a
disastrous earthquake attacked the Java Island, Indonesia.


Proceedings, 3rd Greece-Japan Workshop: Seismic Design, Observation, and Retrofit of Foundations. Santorini 2009
177

N
U
M
B
E
R

O
F

E
V
E
N
T
S
Asia America
Europe Others
7
6
5
4
3
2
1
0
8
7
6
5
4
3
2
1
0
8
1946 51 56 61 66 71 76 81 86 91 96 2001

50 55 60 65 70 75 80 85 90 95 2000 05
Figure 1 Damaging Earthquakes and Tsunamis in
the World in the Last 60 Years (Events
with more than 1000 casualties)

















Figure 1 shows the number of earthquakes and tsunamis with more than 1,000 deaths in each
five years period during the last 60 years (1946~2005) in the world. The number of events has
drastically increased in the last two decades.
The number of earthquakes with magnitudes more than 7.0 and 6.0 in the world during the
last 60 years is shown in Figure 2. On the contrary of the increase of the earthquake and tsunami
disasters, the number of occurrences of earthquakes with magnitudes more than 7.0 has been
decreasing during the last 60 years. The number of the earthquakes with more than 6.0 slightly
increased during the last decade, but was not consistent with the rapid increase of the number of
the earthquake and tsunami disasters. This suggests that the reason of the increase of the earth-
quake and tsunami disasters is the increase of the vulnerability of our human societies.



0
20
40
60
80
100
120
140
160
180
0
100
200
300
400
500
600
700
800
900
1946
50

51
55

56
60

61
65

66
70

71
75

76
80

81
85

86
90

91
95

96
2000

01
05

N
u
m
b
e
r

o
f

E
v
e
n
t
s

M
o
r
e

t
h
a
n

M
7
.
0

N
u
m
b
e
r

o
f

E
v
e
n
t
s

M
o
r
e

t
h
a
n

M
6
.
0

More than M7.0


More than M6.0
0
20
40
60
80
100
120
140
160
180
0
20
40
60
80
100
120
140
160
180
0
100
200
300
400
500
600
700
800
900
0
100
200
300
400
500
600
700
800
900
1946
50

51
55

56
60

61
65

66
70

71
75

76
80

81
85

86
90

91
95

96
2000

01
05

1946
50

1946
50

51
55

51
55

56
60

56
60

61
65

61
65

66
70

66
70

71
75

71
75

76
80

76
80

81
85

81
85

86
90

86
90

91
95

91
95

96
2000

96
2000

01
05

01
05

N
u
m
b
e
r

o
f

E
v
e
n
t
s

M
o
r
e

t
h
a
n

M
7
.
0

N
u
m
b
e
r

o
f

E
v
e
n
t
s

M
o
r
e

t
h
a
n

M
6
.
0

More than M7.0


More than M6.0
More than M7.0
More than M6.0











Figure 2 Number of Earthquakes with
Magnitudes More than 7 and
More than 6
Figure 2 Number of Earthquakes with Magnitudes
More Than 7 and 6 in the Last 60 Years.

Storm and flood disasters also have suffered the people in the world in recent years. Most of
the storm and flood disasters were concentrated in the Asian region and Central America. In
2008, more than one hundred and thirty thousand people were killed by a huge cyclone in
Myanmar, and another large cyclone caused an extensive damage to Bangladesh in 2007. Hurri-
cane Katrina attacked Louisiana in United States and killed more than 5,000 people around the
Caribbean Sea in 2005.
Figure 3 shows the number of storm and flood disasters with more than one thousands deaths
in each five years period during the last 60 years (1946~2005). The storm and flood disasters in
the world have also increased during the last two decades, and the disasters in Asia are domi-
nant.



Proceedings, 3rd Greece-Japan Workshop: Seismic Design, Observation, and Retrofit of Foundations. Santorini 2009
178


N
u
m
b
e
r

o
f

E
v
e
n
t
s
1946 51 56 61 66 71 76 81 86 91 96 2001

50 55 60 65 70 75 80 85 90 95 2000 05
14
12
10
8
6
4
2
0
14
12
10
8
6
4
2
0
Asia America
Europe Others













Figure 4 Damaging Storms and Floods in the
World during the Last Half Century
(E

vents with more than 1000 casualties)
Figure 3 Number of Storm and Flood Disasters in the
World during the Last 60 Years (Events with more than
1000 deaths)

There may be two main reasons for the increase of the flood and storm disasters. One is the
increase of the vulnerability of the human societies against disasters, which is particularly re-
markable in the Asian countries. Another reason may be the global climate change. Figure 4 il-
lustrates the change of air temperature in the world during the last century. The air temperature
has drastically risen in the northern hemisphere, and this trend is predicted to continue during
the 21 century. The seawater temperature is also rising due to the rise of air temperature. The
rise of seawater temperature can be considered to be one of causes of the occurrence of huge ty-
phoons and hurricanes, and high tidal waves.


-2.5 -1.5 -0.5 0.5 1.5 2.5 -2.5 -1.5 -0.5 0.5 1.5 2.5 -2.5 -1.5 -0.5 0.5 1.5 2.5













Figure 4 Change of Air Temperature during Last Cen-
tury in the World (JMA 2005).


NumberofEvents:59 NumberofDeath:1,027,011
Asia
71
42
America
20
11
Europe
5
3
Others 5
3
Asia
89
915,453
America
6
62,392
4 42,300 Europe
Others
1
6,866











Figure 5 Regional Ratio of Natural Disasters and
Death (1986~2007)


Proceedings, 3rd Greece-Japan Workshop: Seismic Design, Observation, and Retrofit of Foundations. Santorini 2009
179
Figure 5 shows the regional ratio of the number of natural disasters and deaths in the world
(1986~2007). Including earthquake, tsunami, storm and flood, the natural disasters which killed
more than 1000 people occurred 59 times during last two decades, and 42 events were in the
Asian region. About one million people lost their lives due to the natural disasters since 1986,
and the 89% of them, about 9 hundred thousands were in the Asian region. This statistics shows
that the natural disaster mitigation in the Asian region is one of urgent and major subjects to
create safe and secure world.
2.2 Recent Natural Disasters in Japan
The epicenters of main earthquake disasters occurred in Japan after the 1995 Hygoken Nanbu
(Kobe) earthquake are shown in Figure 6. The total 6,547 lives were lost, including the Kobe
earthquake.

2003.9.26 Tokachi-oki EQ
(Death: 1, Missing: 1, Injured: 849
2008.7.24 Miyagiken Enan-hokubuEQ
(Death:1, Injured: 211
2005.3.20 Fukuokaken Seiho-oki EQ
Death:1, Injured:1087
1995.1.17 Hygoken NanbuEQ
Death: 6,434, Missing: 3, Injured: 43,792
2001.3.24 Geiyo EQ
Death: 2, Injured: 288
1997.5.13 KagoshimakenSatsuma-chihoEQ
Injured: 74
2008.6.14 Iwate-Miyagi Nairiku EQ
(Death: 13, Missing: 10, Injured: 451
2004.10.23 Niigata Chuetsu EQ
(Death: 65, Injured: 4805)
2007.7.16 Niigata Chuetsu-oki EQ
(Death:15, Injured:2345 )
2007.3.25 Noto Hanto EQ
(Death: 1, Injured: 356)














Figure 6 Recent Earthquake Disasters in Japan
(1995~2008, the Number of Death and Missing: 6,547)








A large number of infrastructures was destroyed.
(a) The 1995 Hygoken Nanbu earthquake
Shinkansen was derailed (JSCE 2004).
(b) The 2004 Niigata Chuetsu earthquake







A huge landslide was triggered.
(d) The 2008 Iwate-Miyagi Nairiku earthquake
A nuclear power plant was fired.
(c) The 2007 Niigata Chuetsu-oki earthquake

Figure 7 Typical Disasters in the Recent Earthquakes in Japan.

Some typical disasters occurred in the resent earthquakes in Japan are shown in Figure 7. We
have learned new lessons whenever earthquakes occurred.
From the 1995 Kobe earthquake, we learned lack of earthquake resistance of concrete
bridges, subway structures and buildings against the strong earthquake ground motions in the
near field of the earthquake fault. A large man-made island reclaimed from the sea extensively
was liquefied resulting in severe damage to structures such as storage tanks, and quay walls.
The 2004 Niigata Chuetsu earthquake taught us new lessons, one of which was the derailment
of the high speed train, Shinkansen. This event raised serious discussions on the safety of the
high speed train against earthquakes in the vicinity of railway line. Another lesson from this
Proceedings, 3rd Greece-Japan Workshop: Seismic Design, Observation, and Retrofit of Foundations. Santorini 2009
180
earthquake was an overlap of different natural disasters. Three days before the earthquake a
huge typhoon attacked the same area with heavy rains. The slopes in the mountainous area and
embankments were saturated. The earthquake ground motion caused huge landslides and em-
bankment failures.
The 2007 Niigata Chuetsu-oki earthquake severely damaged a nuclear power station. This
was the first occurrence of earthquake damage to nuclear facility in the world. The 2008 Iwate-
Miyagi Nairiku earthquake hit the mountainous areas in the northern part of Japan. A huge
landslide was triggered and resulted in serious damages to infrastructures.
Besides the earthquake disasters the flood and storm disasters also frequently occur in Japan.
Flood and storm disasters with casualties meaningfully occurred twice a year, and about 500
lives were lost during the last decade. The recent ones are shown in Figure 8.
In 2006, a huge mudflow, which was caused by a heavy rain, attacked residential area in Na-
gano Prefecture, and killed 12 people. In 2004, Itsukushima shrine, one of national treasures
was severely damaged by high tidal wave and strong wind by a large-scale typhoon. In 2005, a
downpour with 100 mm rain per hour flooded a wide area of the downtown of Tokyo. This was
considered to be caused by the heat island phenomena in highly urbanized mega cities.

The number of death
and missing12
The number of deat





h and missing45
The number of death and missing31
(a) 2006 Mud Flow by
Heavy Rain (Nagano)
(b) 2004 Itsuku
which was
Typhoon N
(c) 1999 Tidal Wave by
Typhoon No.18
(Kumamoto)
(d) 2005 Fl
Rain (T
















Figure 10 Recent Flood and Storm Disaster in Japan
shima-shrine
Destroyed by
o.18 (Hiroshima)
ood by Heavy
okyo)
Figure 8 Recent Flood and Storm Disasters in Japan.


3 BASIC STRATEGY OF THE POLICY AGAINST FUTURE DISASTERS UNDER THE
CHANGE OF NATURAL AND SOCIAL ENBIRONMENTS
In the following the authors introduce basic strategy of the policy against future disasters under
the change of natural and social environments.
As shown in Figure 9 the change of natural environments such as global warning, heat Island
phenomena in urbanized area, deforestation, desertification and erosion of river and seashore is
increasing natural disasters. Those are extremely heavy rains and snows, huge typhoons, hurri-
canes and cyclones, drought, abnormally high temperature and high tidal waves.
In addition to the change of natural environments, our social environments are also changing,
becoming fragile against natural disasters. Those are too congested urban areas, depopulation of
rural area, human habitations on fragile ground, lack of cooperation and communication among
the recent urban societies, budget deficit of central and rural governments, and finally poverty.
The poverty is the most important factor for the increase of the natural disasters in the Asian de-
Proceedings, 3rd Greece-Japan Workshop: Seismic Design, Observation, and Retrofit of Foundations. Santorini 2009
181
veloping countries. The poverty is expanding the disaster, and the disaster is worsening the pov-
erty.
The characteristics of natural disaster are changing due to the change of natural and social
environments. The key point for the measures against future disasters is how to prepare unex-
pected natural phenomena and against external forces largely exceeding the design level, in an-
other word, how to prepare against natural disasters with a huge scale, but comparatively low
probability of occurrence.

ChangeofNatural Environment
GlobalWarming
HeatIslandofUrbanizedArea
Deforestation
Desertification
ErosionbyRiverandSeashore
ChangeofSocialEnvironment
HeavyRainandSnow
HugeTyphoon,Hurricaneand
Cyclone
Drought
HighTemperature
HighWaveandStormSurge
ChangeofCharacteristics
ofNaturalDisasters
Measuresagainstunexpected
naturalphenomenaandexternal
forceslargelyexceedingdesignlevel
Implementationofbothsoftware
andhardwaremeasures
CongestionofUrbanArea
DepopulationofRuralArea
HumanHabitationonFragileGround
LackofCooperationand
CommunicationamongSocieties
BudgetDeficitofCentralandRural
Governments
Poverty andLowGovernance
1













Figure 9 Change of Natural and Social Environments
and Increase of Natural Disasters.

















Figure 10 illustrates a basic strategy for the measures against huge natural disasters with low
probability of occurrence and moderate-sized disasters with medium probability. That is a com-
bination of hardware measures and software measures. Hardware measures mean, for an exam-
ple, reinforcement of dikes against floods, and the soft ware measures are evacuation systems
during flood and the education of people. Moderate-sized disasters with medium probability are
prevented mainly by hardware measures. However, against huge disasters with low probability,
the disasters are reduced by both hardware and software measures.
The problem is how to determine the rational level of the investment for disaster mitigation.
One of methods to judge the rational level of the investment is the comparison of the risk with
the cost of the measures. The risk is estimated as the product of the total loss with the probabil-
ity. For the estimation of the total loss, we have to take into consideration, various factors, not
only loss of human lives and properties, but also probable national power decline resulting from
the disaster, ruining of national landscape and furthermore, psychological damage to the people.
And the consensus among the people is essential to determine the rational level of disaster miti-
gation measures.
Figure 11 shows the disaster management cycle. The disaster management should cover these
three stages of management cycle.
NaturalDisasterMitigationbyCombination
ofHardwareandSoftwareMeasures
H
a
r
d
w
a
r
e

M
e
a
s
u
r
e
s
E
x
t
e
r
n
a
l

F
o
r
c
e
s
ModeratesDisasterswith
MediumProbability
HugeDisasterswith
LowProbability

Reinforcement
of Hardware
Measures
Software
Measures
2
Figure 10 Basic Strategy of the Policy against Future
Disasters under the Changes of Natural and Social Envi-
ronments.
Proceedings, 3rd Greece-Japan Workshop: Seismic Design, Observation, and Retrofit of Foundations. Santorini 2009
182
First stage is the preparedness before disaster, which involves planning of national land-use,
development of social systems, reinforcement of residential houses, building and infrastructures,
stock of goods and materials and education of people. The second stage is emergency response
immediately after disasters such as rescue operation, fire fighting, care of refugees and medical
treatment. The third stage is re-development of damaged areas, reconstruction of infrastructures,
house and buildings and industrial facilities, transfer of experience of disaster.
The disaster management on these three stages is carried out by various organizations such as
the central government, prefectural and municipal governments, non-government organizations
regional communities, private companies and residents.

Disaster
National Land-
use Plan
Development of
Social Systems
Reinforcement
of Structures and
Facilities
Stock of Goods
and Materials
Education
Rescue Operation
Fire Fighting
Relief of Refugees
Medical Treatment
Redevelopment of the Damaged Areas
Reconstruction of infrastructures,
Houses and Buildings, and Industrial
Facilities
Transfer of Disaster Experiences
P
r
e
p
a
r
e
d
n
e
s
s

b
e
f
o
r
e

D
i
s
a
s
t
e
r
s
E
m
e
r
g
e
n
c
y

R
e
s
p
o
n
s
e
RestorationandReconstruction














Figure 11 Cycle of Disaster Management (Cabinet Of-
fice, Government of Japan 2006).
4 INTERNATIONAL COOPERATION FOR NATURAL DISASTER MITIGATION BY
JAPAN SOCIETY OF CIVIL ENGINEERS AND ENGINEERS WITHOUT BORDERS,
JAPAN

As mentioned previously, most of the natural disasters concentrated in the Asian region in the
recent years. Therefore, reduction of natural disasters in this area is one of our primary subjects.
The Japan Society of Civil Engineers (JSCE), which was established in 1914 with a mission that
it should contribute to the advancement of scientific culture and the creation of a safe and secure
society by developing technology and knowledge in civil engineering field. Therefore, the
members of JSCE have been continuously promoting the transfer of technologies and experi-
ences for natural disaster mitigation, technical assistance for restoration works for the damaged
infrastructures and societies, and education and training of people for future disaster mitigation
in the world, particularly in the Asian countries.
The Engineering without Borders, Japan (EWBJ), a non-profit organization was organized by
members of JSCE and the Architectural Institute of Japan (AIJ) with purposes to promote inter-
national activities for natural disaster mitigation, with supports governmental institutions and
construction industries of Japan. JSCE and EWBJ have promoted various kind activities for
natural disaster mitigation in the Asian region, which are introduced below.

4.1 Technical Assistances for Restoration and Reconstruction
After the 2004 and 2005 Sumatra earthquakes, JSCE and EWBJ jointly dispatched their teams
to the counties around the Indian Ocean for technical assistances for restoration of the affected
areas and reconstruction of damaged infrastructures. In northern Sumatra, they proposed a strat-
egy for reconstruction of the road along the west coast of Sumatra, which was washed away and
many bridges were destroyed by the tsunami.
Proceedings, 3rd Greece-Japan Workshop: Seismic Design, Observation, and Retrofit of Foundations. Santorini 2009
183


Steeltrussbridgeswerewashedaway 2004 Sumatra Tsunami 2005 Sumatra Earthquake













Seminar and Workshop after the 2008 Wenchuan Earthquake

Figure 12 Technical Assistances for Restoration and
Reconstruction by JSCE and EWBJ.

In Nias island, where located in the off coast of the west of Sumatra was attacked by the sec-
ond earthquake in 2005. The dispatched members by JSCE and EWBJ proposed a plan of re-
construction of bridges and buildings damaged by soil liquefaction.
After the 2008 Wenchuan earthquake, JSCE and its associated other engineering and science
societies of Japan dispatched their members for the discussions on the restoration methods of
damaged buildings, bridges, tunnels and slopes with the Chinese counterparts. They introduced
some examples of restoration of structures damaged by Japanese earthquakes including the 1995
Kobe earthquake.

4.2 Educational Activities
Student members of JSCE and EWBJ have continued educational program for pupils of primary
and middle schools in Indonesia after the tsunami tragedy. They are teaching children the
mechanism of the occurrence of earthquake and tsunami, and how to save lives from future nat-
ural disasters.
Members of JSCE constructed one hundred monuments in Banda Ache, the tops of which
show the height of the tsunami at each location. The epitaph of the monuments describes the
tragedy and the mourning for the dead. These monuments have been used for the education of
the children.
In Chengdu, Sichuan of China, JSCE and its associated other engineering and science socie-
ties started a series of lectures on seismology and earthquake engineering for the students and
young engineers. They are lecturing the system of the earthquake prediction, estimation of
ground motion, earthquake resistant design of structures, and strategies of mid-and long term
restoration of the affected areas



Series of Lecture on Seismology and Earthquake Engineering
Education Program in Indonesia Monuments of Tsunami














Figure 13 Educational Actives by JSCE and EWBJ.
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184
4.3 Transfer of Technology
Figure 14 shows the tsunami warning system which was proposed by JSCE and EWBJ members
to respond the request from the North Sumatra provincial government.
EWBJ members are also installing seismographs in Padang area of West Sumatra to develop
the earthquake and tsunami warning system, and to survey the characteristics of the earthquake
ground motion in the areas, under cooperation with the researchers in Indonesia.
In Bangladesh EWBJ made a manual for the construction of shelters against future cyclones,
and has been training regional engineers by using this manual under financial aid of Ministry of
Foreign Affairs, Japan. It is planned that 10 thousand shelters will be constructed in the coastal
areas of Bangladesh.


Satellit e
Seismic st at ion
Cent ral disaster
miti gati on center
Broadcast
center
Televi sion Radio
Sat ell ite
Mosque














Figure 14 Proposal of Regional Tsunami Warning Sys-
tem for North Sumatra Provincial Government.
5 CONCLUSIONS
In recent years, global societies especially in the Asian region have experienced many nature
disasters such as earthquake, tsunami, flood and storm. These nature disasters produced great
human suffering and economic loss.
Due to the natural environmental change and the social vulnerability, the increasing risk asso-
ciated with such disasters seems continue to grow, unless effective measures are developed and
implemented to mitigate the disasters.
Over the last few decades Japan has gathered many invaluable experiences and knowledge in
both the technological and societal fields which can be shared in the natural disasters mitigation.
REFERENCES
[1] Japan Society of Civil Engineer (2005), The Damage Induced by Sumatra Earthquake and Associ-
ated Tsunami of December 26, 2004.
[2] Japan Society of Civil Engineers and Architectural Institute of Japan (2005), A quick Report on
Kashmir Earthquake.
[3] Japan Meteorological Agency (2005), A Report on Abnormal Weather 2005.
[4] Japan Society of Civil Engineers (2004), General Investigation about the Damage of Social Infra-
structure Systems due to the 2004 Niigata Earthquake / Result of Investigation and Urgent Proposals.
[5] Cabinet Office, Government of Japan (2006), White Paper on Disaster Prevention 2006.

Proceedings, 3rd Greece-Japan Workshop: Seismic Design, Observation, and Retrofit of Foundations. Santorini 2009
185
Tsunami Damage Studies and Construction of the Memorial
Poles in Banda Aceh


Hirokazu Iemura
Kinki Politchnic College, Kishiwada, Osaka,Japan
Mulyo Harris Pradono
Agency for the Assessment and Application of Technology, Jakarta, Indonesia
Megumi Sugimoto
Graduate School of Global Environmental Studies, Kyoto University, Kyoto, Japan

ABSTRACT: During a survey led by the first author in Banda Aceh in Indonesia and surround-
ing area after the great Sumatra Earthquake, questionnaires have been distributed to the people
affected by the earthquake and tsunami. One important result of the questionnaires shows that
even if people had started running away just after the big earthquake, the percentage of ex-
pected survivors would have been less s than 100%. The practical implication from this result is
that education, socialization, escape structures, warning systems, and wave resisting structures
are among important factors for people to be safer against future tsunami attacks. Moreover, for
learning and educational purposes, the memorial poles showing the height of the tsunami attack
were constructed.
1 INTRODUCTION
Huge earthquake and tsunami on December 26th, 2004 has caused a great number of casualties
around Indian Ocean rim countries especially in Banda Aceh city and Aceh Besar Sub-province,
in Sumatra Island, Indonesia. Lessons from this huge disaster shall be learnt by locals and peo-
ple all around the world.
In a quick response to the disaster, a Japanese group of researchers led by the first author de-
parted to Banda Aceh and surrounding areas in attempt to study the lessons by the huge earth-
quake and tsunami. The authors also conducted tsunami questionnaires during their first visit to
Banda Aceh and surroundings area (Iemura, et al, 2006).
2 IMPORTANT RESULTS FROM THE QUESTIONNAIRES
The important results from the questionnaires are that the local peoples knowledge on tsunami
was very low. The question was Did you know that tsunami would come after a big earth-
quake? Figure 1 shows the result.









Figure 1. Respondents Knowledge on Tsunami

Kne w if tsunami would c ome ?
No
97%
Yes
3%
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186
Other important result is that, according to the respondents, even if people had started running
away just after the big earthquake, the percentage of expected survivors would have been less
than 100% (Figure 2). The practical implication is that education, socialization, escape routes,
escape structures, warning system, wave resisting structures are among important factors for
people to be safer against future earthquake and tsunami attacks.























Figure 2. Percentage of Survivors in Banda Aceh City (Number in Parenthesis Shows Percentage of Sur-
vivors if People Would Have Escaped Immediately after the Earthquake)
3 TSUNAMI HEIGHT MEMORIAL POLES AND DISASTER EDUCATION
Since tsunami is a rare event, the future generations may forget the disaster easily. People need
encouraging and reminding words that would be written on lasting memorial structures. One of
the ideas prompted by the first author to local people is to build poles with the height of tsunami
run up throughout the affected areas in the city.
The poles have many important purposes: (1) to encourage people to be prepared for the next
one, (2) to keep the memory of tsunami attack, (3) to educate next generation the important les-
sons from the tsunami, (4) to mourn the passed away people and to restore and reconstruct
Banda Aceh from the disaster, (5) to keep accurate data of tsunami height for future planning,
(6) to be escaping sign with the tsunami height, (7) to encourage local people to live with hope
and ease under tsunami risk, and (8) to be a symbol of Banda Aceh as the tsunami-attacked city.
The idea was supported by local people and the Embassy of Japan in the Republic of Indone-
sia. The Embassy made available a grant up to US $ 91,411 (US $ Ninety one thousand, four
hundred-eleven) by March 31, 2006. It contributes to the execution of the construction by the
Yayasan Umi Abasiah. The project entitled The Project for Supporting Education of Tsunami
Disaster Prevention in Nanggroe Aceh Darussalam.
The first author also provides technical assistance. The pole structure should be strong and
yet reasonably economical and feasible in the material availability point of view. Hybrid struc-
ture consisting of masonry and reinforced concrete was finally adopted as the material. The first
drawing for designing the poles is shown in Figure 3.


Proceedings, 3rd Greece-Japan Workshop: Seismic Design, Observation, and Retrofit of Foundations. Santorini 2009
187











Figure 3 First Drawing of the Pole for Design Purpose





Figure 3. First Drawing of the Pole for Design Purpose

The poles would be built along the evacuation routes. The purpose is for providing evacuees
with escaping sign with height, so that the evacuees escape toward the lower poles. After con-
sidering many aspects, including limitation of the land for construction, the realized location of
the poles is as shown in Figure 4. The height of the poles is the inundation of tsunami water,
when the tsunami wave was relatively flat and around ten minutes later, the tsunami water re-
turned back to the sea.
























Figure 4. Locations of 85 Tsunami Height Memorial Poles in Banda Aceh and Aceh Besar


3
1
17
7
50
51
52
63 61
59
46
13
14
12
11
15
5
4
2
10
68
8
9
18
19
21
44
23
25
1.5 km
North
T TS SU UN NA AM MI I H HE EI IG GH HT T M ME EM MO OR RI IA AL L P PO OL LE ES S
B Ba an nd da a A Ac ce eh h a an nd d A Ac ce eh h B Be es sa ar r, , I In nd do on ne es si i a a
Malaka Strait

Yayasan Umi Abasiah
Banda Aceh,
Indonesia
in collaboration with
Embassy of Japan
in Indonesia
and
Kyoto University
Japan
B BA AN ND DA A A AC CE EH H C CI IT TY Y
41
48
47
49
54
56
57
58
60
45
40
62
16 28
29
6
31
30
37
65
27
26
20
66
22
24
39

Indian
Ocean Jakarta
Singapore
Malaysia
Sumatera
Indonesia
Epicenter, 26 Dec. 2004
Simelue Is.
Nias Is.
Padang
Medan
Banda Aceh
A AC CE EH H B BE ES SA AR R
D DI IS ST TR RI IC CT T
B BA AN ND DA A
A AC CE EH H C CI IT TY Y
8 85 5
8 84 4
8 83 3
8 81 1
8 82 2
8 80 0
7 79 9
7 78 8
7 77 7
7 76 6
7 75 5
7 73 3
7 72 2
7 71 1
6 69 9
7 70 0
6 68 8
7 74 4
32
36
35
33
3
4
67 38
42
43
53 55
64
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188

Figure 5. The Firstly
Built Tsunami Pole
(February 2006)



















Pole No.: 01,
Height: 3.15 m, Dis-
tance from Shore:
2.80 km, Location:
Gampong Lamdin-
gin, Kecamatan
Kuta Alam, Banda
Aceh.
The placard in front of
the pole shows the in-
undation height, dis-
tance from shore, time
of tsunami arrival,
time of earthquake, lo-
cation name, words of
wisdom, developer,
and donor
Figure 6. The Lowest Tsu-
nami Pole
Pole No.: 28, Height: 0.90 m,
Distance from Shore: 4.30 km,
Location: Dinas Pertanian dan
Tanaman Pangan, Banda Aceh.















Figure 7. Tsunami Pole at a School



Pole No.: 15, Height: 1.52 m, Distance from Shore:
3.90 km, Location: SD Negeri 28, Kp. Keuramat,
Banda Aceh











Figure 8. The Tallest Tsunami Pole
Pole No.: 69, Height: 9.00 m (w),
Distance from Shore: 0.50 km, Lo-
cation: Masjid Lam Tengoh, Peukan
Bada, Banda Aceh.
The wave height was justified from
witnesses, because there was no in-
undation mark left by the tsunami.

Figure 9. Tsunami Pole at a School


Pole No.: 49, Height: 3.80 m, Distance from Shore: 3.10 km,
Location: SDN 2, Punge Jurong, Banda Aceh



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189
Table 1. List of 85 Tsunami Height Memorial Poles in Banda Aceh and Aceh Besar
1. 3.15 m 2.80 km GPG.
LAMDINGIN KEC.
KUTA ALAM
23. 1.75 m 3.50 km Asrama
Mahasiswa Unsyiah,
Darussalam
45. 2.30 m 3.20 km
Kantor Pengadilan
Negeri Banda Aceh
67. 1.30 m 3.30 km RUMAH
BP. ALAMSYAH UMAR
JALAN SYIAH KUALA
2. 2.90 m 3.00 km GPG.
LAMBARO SKEP
KEC. KUTA ALAM
24. 1.45 m 3.60 km Kantor
Rektorat Iain Ar-Raniry,
Darussalam
46. 2.00 m 3.50 km
Taman Kanak2
YKA Taman Sari
68. 5.70 m 1.50 km MASJID
BAITUL MAGHFIRAH
PEUKAN BADA
3. 1.40 m 3.75 km MAN 1
25. 2.00 m 3.40 km MAN 3,
RUKOH
47. 3.40 m 3.20 km
SMA NEGERI 1
BLANG PADANG
69. 9.00 m (w) 0.50 km
MASJID LAM TENGOH
PEUKAN BADA
4. 1.95 m 3.40 km SMP
NEGERI 2
26. 1.00 m 4.00 km SMP
NEGERI 18
48. 1.80 m 3.40 km
SMPN 17 BLANG
PADANG
70. 7.00 m 0.40 km MASJID
INDRA PURWA
LAMGURON
5. 1.39 m 3.55 km SD
NEGERI 25
27. 1.80 m 3.85 km SMP
NEGERI 6
49. 3.80 m 3.10 km SDN
2 PUNGE JURONG
71. 2.50 m 2.50 km
MEUNASAH TANJONG
KEC.LHOKNGA
6. 1.84 m 3.70 km Masjid
Agung Al Makmur
Bandar Baru
28. 0.90 m 4.30 km DINAS
PERTANIAN
TANAMAN PANGAN
50. 4.50 m 2.00 km
Rumah Ny. Zulkifli
Narukaya Blang Oi
72. 5.50 m 2.50 km SDN
KAJHU
KEC.BAITUSSALAM
7. 2.60 m 3.60 km SMK
NEGERI 2/STM
NEGERI
29. 1.60 m 3.80 km SMK
NEGERI 3
51. 5.80 m 1.90 km
Masjid Syech Abdul
Rauf Blang Oi
73. 7.00 m 2.20 km Tanah
Widari Dawam Dawood
Sp, Cot Paya
8. 2.60 m 3.40 km SD
NEGERI 80, PRADA
30. 2.45 m 3.50 km Kantor
Dekranas Taman Ratu
Safiatuddin
52. 7.00 m 0.50 km
Rumah Bp. Bachtiar
Zakaria Deah Baro
74. 3.50 m 2.70 km SMAN-1
BAITUSSALAM
9. 2.60 m 3.50 km Kanwil
Kehakiman Dan
HAM
31. 2.65 m 3.40 km KAN-
TOR BAWASDA
53. 3.90 m 1.80 km
SMPN 11
LAMJABAT
75. 5.10 m 1.50 km MASJID
LAMBADA LHOK
BAITUSSALAM
10. 1.55 m 4.10 km
DINAS KOPERASI
DAN UKM
32. 1.00 m 3.85 km
Direktorat Politeknik
Kesehatan
54. 3.70 m 2.10 km SDN
95 GAMPONG
BARO
76. 4.60 m 2.00 km
GAMPONG LABUI
BAITUSSALAM
11. 3.20 m 3.50 km SMA
NEGERI 2
33. 1.80 m 3.75 km
Politekkes NAD Jurusan
Keperawatan
55. 2.20 m 2.90 km Mas-
jid Baitul Muqarra-
bin Punge Blang Cut
77. 4.00 m 1.50 km
GAMPONG LAMNGA
JALAN KRUENG RAYA
12. 2.70 m 3.70 km SD
NEGERI 20, POCUT
BAREN
34. 2.00 m 3.40 km SD 35
LAMPRIET
56. 2.20 m 2.90 km SDN
18 PUNGE BLANG
CUT
78. 3.40 m 1.30 km
MEUNASAH NEUHEUN
MASJID RAYA
13. 3.50 m 3.60 km SMP
NEGERI 9,
PEUNAYONG
35. 1.80 m 3.35 km MASJID
JAMIK SILANG
RUKOH
57. 3.40 m 2.70 km
Universitas Iskandar
Muda, Surien
79. 2.20 m 0.40 km
MEUNASAH DURONG
MASJID RAYA
14. 2.57 m 3.90 km
KANTOR BKPMD
36. 1.20 m 3.80 km SMP
NEGERI 8
DARUSSALAM
58. 2.30 m 3.00 km SDN
97 LAMTEUMEN
TIMUR
80. 3.30 m 1.00 km Meunasah
Paya Kameng Masjid Raya
15. 1.52 m 3.90 km SD
NEGERI 28, KP.
KEURAMAT
37. 3.40 m 3.40 km SDN 27
GAMPONG MULIA
59. 2.00 m 3.10 km SDN
93 LAMTEUMEN
TIMUR
81. 3.40 m 0.50 km MASJID
KRUENG RAYA
16. 0.89 m 3.90 km
DARUL ULUM,
YPUI
38. 3.50 m 3.35 km MIN
Merduati Jalan
Malahayati, GP.MULIA
60. 1.40 m 3.30 km
PGSD FKIP
Unsyiah Goheng
82. 3.20 m 0.80 km
GAMPONG MEUNASAH
KULAM
17. 1.52 m 3.70 km SD
KARTIKA XIX-I,
LAMPRIET
39. 4.60 m 3.00 km MASJID
AL MUKARRAMAH
GP. MULIA
61. 2.00 m 3.30 km MIN
TELADAN
LAMTEUMEN
83. 3.20 m 0.80 km
GAMPONG MEUNASAH
MON
18. 1.91 m 3.40 km Badan
Perpustakaan
Wilayah
40. 4.50 m 2.50 km Masjid
Tgk. Dianjong
PEULANGGAHAN
62. 1.00 m 3.50 km
Rumah Zakaria
Ismail Lamteumen
84. 2.50 m 0.30 km MASJID
LAMREH KRUENG
RAYA
19. 1.80 m 3.80 km 41. 7.00 m 1.80 km SMPN 63. 2.35 m 3.30 km Biro 85. 3.10 m 0.50 km
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190
MASJID
LAMGUGOB
12 GAMPONG JAWA Logistik Polda NAD
Lamteumen
Pasantren/Dayah Al
Mahfuzhah Krueng Raya
20. 1.40 m 3.80 km MIS
LAMGUGOB
42. 6.00 m 2.00 km SDN 6
KEUDAH
64. 3.80 m 2.30 km
SMPN 15 LAMPOH
DAYA
21. 1.00 m 3.90 km
STIES/AMBA
43. 8.00 m (w) 1.80 km SDN
8/38 MERDUATI
65. 3.70 m 2.70 km SDN
61 JEULINGKE
22. 1.30 m 3.70 km SD
NEGERI 69,
DARUSSALAM
44. 2.70 m 2.70 km SD
MUHAMMADIYAH
LAMPASEH
66. 3.20 m 2.70 km SDN
106 RUKOH
Notes:
- Data in [m] is height and
data in [km] is distance from
shore
- Poles 43 & 69 show wave
height. Others show inundation
height
- red in Banda Aceh, blue in
Aceh Besar



















Figure 10. Tsunami Height Memorial Poles as part of Education Tools on Hazard Mitigation


In May 2007, all of the 85 poles were constructed throughout Banda Aceh city and surround-
ing areas. Some photos are shown in Figures 6 to 10 and the list of the poles is shown in Table
1.
The tsunami height memorial poles are also education tools for hazard preparedness. One ex-
ample is by showing the students the record of the data mentioned in the poles and why they
were built. The on going survey now is to map the three dimension coordinate of the poles. This
data is invaluable for future tsunami disaster mitigation.
The tsunami height memorial poles will not only provide hazard data dissemination but also
education for the present and next generations. The poles are expected to last long and convey
the messages to every generation.
4 RECOMMENDATION FOR THE RECONSTRUCTION
Other than the tsunami poles and disaster education above (Not forget but understand) above,
institute or center for earthquake and tsunami research, tsunami and earthquake museum
(monuments, facts, data, education materials, and so on), international collaborations among re-
search institution, and tsunami and earthquake safe structural design (technologies and codes),
shall be realized.
Proceedings, 3rd Greece-Japan Workshop: Seismic Design, Observation, and Retrofit of Foundations. Santorini 2009
191
5 CONCLUSION
1) From the questionnaires about the tsunami damage in Banda Aceh, it was found that local
people did not know the tsunami behavior, even by words.
2) Even if people had started to escape just after the earthquake ground motion, some people
could not have survived because of long evacuation distance.
3) The tsunami memorial poles were constructed with many purposes for future safety of
Banda Aceh city, with financial aid from Japanese people and understanding and support of
local people.
ACKNOWLEDGEMENT
The authors would like to express their sincere gratitude to the Embassy of Japan in the Re-
public of Indonesia, to the Japan Society for the Promotion of Science, to the Ministry of Edu-
cation, Culture, Sports, Science, and Technology, and to the people of Nanggroe Aceh Darussa-
lam, Indonesia, for their strong interest and support.
REFERENCES
Iemura, H., Takahashi, Y., Pradono, M. H., Sukamdo, P., and Kurniawan, R. (2006) Earthquake and
Tsunami Questionnaires in Banda Aceh and Surrounding Areas, Disaster Prevention and Manage-
ment, Emerald, Vol. 15, No. 1, pp. 21-30.
Agusssalim bin Husen, Thantawi Jauhari, Hirokazu Iemura, Muryo Harris Pradono, Megumi Sugimoto
and Takashi Furuwatari (2007) Tsunami Height Memorial Poles in Banda Aceh for disaster Mitiga-
tion and Education Proc. APRU/AEARU Research Symposium, Jakarta, Indonesia, June, 2007.



Proceedings, 3rd Greece-Japan Workshop: Seismic Design, Observation, and Retrofit of Foundations. Santorini 2009
192
The Algerian Experience of Covering Earthquake Damages and
Applied Techniques of Reinforcement


Moulay Ali
President General Manager CTC OUEST
Civil Engineer, DEA INSA LYON, PGD IISEE-BRI TOKYO




ABSTRACT: Algeria is located on the northern edge of the African plate, which is converging
with the European plate, with a shortening rate of about 48 mm/yr. Northern Algeria is a
highly seismic area, as evidenced by the historical (13651992) seismicity. During the last two
decades, northern Algeria experienced several destructive moderate-to-strong earth-quakes.
Since 1980, El Asnam earthquake (M
s
7.3), which claimed over 2700 lives and destroyed about
60,000 housings, many moderate, but destructive, earthquakes occurred, such as the Constantine
October 27, 1985 (M
s
5.7), Chenoua October 29, 1989 (M
s
6.0), Mascara August18, 1994
(M
s
5.6), Algiers September 4, 1996 (M
s
5.6), Ain Temouchent December 22, 1999 (M
s
5.6), and
Beni Ourtilane November 10, 2000 (M
s
5.5) earthquakes. On May 21, 2003, the Algiers
Boumerdes region was struck by a magnitude 6.8 (M
w
) earthquake, which caused considerable
damages and claimed over 2300 lives.
The paradox is that this region was trough all ages a convergence point of migration of
populations and a Carrefour of cultural exchange and commercial established currents
especially along the Mediterranean coast.
The historical heritage of many types of ancient constructions and significant cultural
monuments and archaeological sites is remaining as a witness of the melting common history of
generations of populations.
This heritage is in danger. Its exposure to strong earthquake events beside the weight of time
and the carelessness of users are worsening the situation, the assessment is traduced in
catastrophic results. The reserved potential for restoration of existing patrimony is remaining
weak and insignificant. Many cases of collapse occurred and many valorous monuments and
sites did extinguish or disappeared embedded under inappropriate extension works and
anarchical use.
Because of a rather high growth of the population, important developing construction
programs are engaged mainly in this northern part of the country where the climate is mild and
the whole part of populations is concentrated. Huge construction programs are planned to face
the continuously increasing needs for all purposes of use (housing, education, sanitary,
administrations...)
The challenge is to protect both of existing historical sites and representative classified
monuments and buildings and new construction programs from potential natural risks and to
promote a policy of maintenance and restoration of old buildings and specially to keep alive the
historical symbols of the past civilisation and the stamps of historical occupancies (ROMAN
EMPIRE ,OTOMAN EMPIRE, SPANISH, etc)

Proceedings, 3rd Greece-Japan Workshop: Seismic Design, Observation, and Retrofit of Foundations. Santorini 2009
193
1 CHARACTERISTICS OF THE ALGERIAN SEISMICITY

The characteristics of the Algerian seismicity are based upon the information recorded in the
historical seismicity, the seismo-tectonic studies, the seismology, the paleo-seismology, seismic
hazard. Today we possess important indications on the seismic activity in Northern Algeria. The
Earthquake monitoring is conduced trough a seismological network implemented with a
countrywide accelerometer reseal.
This activity is essentially focused in the Northern area of the country, although with much
sporadic way, some micro quakes are recorded in the sub-Saharan side in the Saharan party. In
the Northern area, the Tellian region is the most active one.























The established zoning shows that the regions of El Chelif, Oran and Algiers are the most
threatened areas since in those zones the most important earthquakes occurred.
This seismicity is linked to the complex tectonic movements of the convergence of the
African plate in the south towards the Eurasian plate in the north.
The seismic zoning of the Algerian territory shows that the Tellian strip, notably in its coastal
fringe, is subject to the highest degree of seismic hazard.
The lack of strong ground motion data was significantly experienced when elaborating the
first Algerian aseismic building code in 1976. Revisions were gradually introduced after mean
earthquakes in 1981, 1983, 1988, 1990, 1999 and 2003.
Actually it becomes urgent to set a new policy of urban planning and occupancy of this
important area considering its exposure to the earthquake risks.
The developing construction programs should concern more and more the middle region of
the high plateaux and the large Sahara in the south to fix more and more population
considering the total inexistence of earthquake risk there and the rare presence of consistant
monuments. ( projects of the two main new cities of Hassi Messaoud and Bouzeghoul)
However, the existing constructions of the most important cities and urban areas mainly
concentrated in the northern part of Algeria requires a continuous effort of maintenance and
protection of the established historical patrimony, beside the cumulated economic
infrastructures.





Figure 1. Algeria Erthquaque Hazard Map

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Figure 2. Algiers, Casbah in XVII Century
2 STATUS OF THE EXISTING FRAME IN ALGERIA

The evolution of the housing sector in Algeria remains obviously marked by the history of
the country. The actual stock of houses is consisting of more than 6.5 million units. More than
25 % of existing constructions are threatened by an advanced decomposition process.
The identified construction typologies are closely related to the construction periods.
In such a way the main cities of the northern part are still keeping particular styles of
construction as a heritage of all the historical development of construction technologies.
Thus, the frame heritage is presented as a stratification of construction techniques.


















TYPOLOGY OF EXISTANT CONSTRUCTIONS

Figure 3. Typical street and houses arrangement in Medina
2.1 Category A:

Encloses the remaining rural and urban structures of houses and districts built before 1920
(old medina), including chiefly constructions made of adobe, clay, random rocks, with wooden
stiffener: (Casbah of Algiers, Oran, Constantine, Dellys, Cherchel etc)
On the urban scale they are organized in:
BLOCKS: varying number of houses, individualized by communication streets which
surround them. This makes each block reacts independently from the others during the shakings.
THE HOUSES: are semi-detached, overlapping and leaning against each other forming a
compact homogeneous unit.

















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Figure 4. Covered built Circulation Figure 5. Masonry wood reinforced walls

THE SABATS: Number of streets are covered by galleries on top of which the houses extend
and thus creating roofed passageways.
They can be flat with wooden logs incorporated or vaults built out of stones or bricks.
Bearing stone walls are linked one to another by alternate crossing of wood logs
(consolidating the angles) every 50 cm in height, wood logs of about 2 m long.
Partition brick walls are connected to main walls by wood logs.
On a structural scale, floors are built by superposition of two layers of wood logs inserted in
all width of bearing walls (rigid diaphragm).












Corbellings for frontal balcony are set overhanging and supported by wood logs forming an
angle with bearing-walls.
Wooden framing is found around the openings.

2.2 Category B:

Buildings with load-bearing walls: carved rocks, stone and vaulted metallic flours.
This type of construction represents 90% of old urban construction frames (colonial texture)
which constitute the main central heart of the towns in major important cities like Algiers, Oran,
Constantine, Annaba. Generally, the predominant type of building is raised on 01 to 05 floors.
This class is in a rather altered state, with an average of age reaching the century.

2.3 Category C:

Early in the sixties, new constructions were set on the existing urban occupancy mainly made
of column-beam reinforced concrete frames which represent the major part of individual private
houses and public buildings in the new urbanized areas around old centers of the cities. A
massive exude of population from rural areas to the urban sites chiefly for economical trend and
employment The main reason

A great part of this class of constructions suffered hardly under destructive earthquakes
occurred in main old towns ( El Asnam OCTOBER 10,1980 (M
s
7.3), Constantine October 27,
1985 (M
s
5.7), Mascara August18, 1994 (M
s
5.6), Ain Temouchent December 22, 1999 (M
s
5.6),
ALGIERSBoumerdes May 21, 2003(M
s
6.8).
Although many of them seem moderate, the poor quality of construction and bad soil
conditions were the main reasons of massive destructions and wide collapse.
The cases of Ain Temouchent city extended in a river bed or the surrounding districts of
Algiers built in an anarchical way with a very poor quality of materials remain typically
representative of the fragility and the extreme vulnerability of this urban texture category.
The behavior of this class of construction under earthquake has been traducing the lack of
the seismic code and the inexistence of quality control procedures.

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2.4 Category D:

This category consists of rigid panels concrete construction systems. This technology has
been applied intensively after El Asnam earthquake in 1980 and the standard revision
recommendations consequently introduced.

2.5 Category E:

New designed important structures are nowadays more and more engineered with regards to
advanced earthquake resisting methods and various construction processes.
From these categories, those of A & B are usually called old constructions
This heritage is in danger. Both of the weight of time and the carelessness of users are
worsening the situation, the assessment gave catastrophic results.
The requalification of this old heritage should inevitably goes through a multi dimensional
scientific step (Urban, technical, social and economical). The urban fabric includes a certain
number of buildings that represents a culture and the marks of countrys History.
The in-depth study of the old constructions as an architectural & urban creation holds the
marks of a particular civilization and a specific transformation; the old districts are
sentimentally more attractive than the new or modern ones, and more pleasant in appearance.
This leads back to sociological and cultural referents.
The consciousness of the critical status of the old constructions showed up the importance of
saving it. This requires a global strategy of intervention and specific means given the extreme
fragility of the traditional urban fabrics.
The status of these constructions and the high density of population give a particular
vulnerability to the Algerian great metropolis.
Indeed, 30% of the population lived in urban areas in 1966, 62% in 1998 and according to
the latest RGPH results; more than 80% in 2008. The towns of more than 100 000 inhabitants
jump from 3 in 1962 to 32 in 1987 and more than 60 nowadays.
10 have more than 200 000 inhabitants. The urban areas which are the result of conurbations
and the densification of the urban networks become larger and larger, while the general
population of Algeria had tripled during that period. The urban population from its side was
multiplied by 10.
The public authorities are interested by the old constructions; this interest is materialized
today by lots of rehabilitations conducted over buildings and notably over historical sites and
monuments, we cite some instances regarding that in what follows:

3 EXPERTS RENOVATION EXPERIENCES CASES

3.1 Rais Palace (Bastion 23) ALGIERS
Figure 6. Bastion 23 General plan distribution

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Figure 7. General view before intervention
Summary sheet of building revamping:
Country : Algeria Written by: BERDJANI Mustapha
Monument : Ras Palace (Bastion 23)
Identification:Description of the original building
Revamping goals: To restore Ras Palace (Bastion23) and to create the centre of arts and
culture in order to promote arts & culture for a large public.
Address: 23, AMARA Rachid Boulevard - Bab El Oued Algiers.
Location of the Building: Included in the saved perimeter of Algiers Casbah (World
classification in 1992)
Built environment: Weak density
Protection for Building: Yes, since 1909 (carried on by the
Law n67-281 of 20/12/1967)
Owner: National agency of archeology (Ministry of Culture)
Contractor: SCI-MBM Contractors (Italy)
Main companies: SCI-MBM Contractors (Italy), Company of creation of cultural heritage
(ERPC)/ Algerian architects.
Date of renovation: Novembre1987- End 1994
Overall cost of the operation (Taxes included): Twelve million of dollars (12.000.000 $)























Financing: Equipment budget financed by the government.
Documentation source: Study performed by (Yapi-Merkezi) Turkish engineering office.
Archeological research (Algerian team) written data, photographic and iconographic.
Bastion 23 is an architectural set composed of palaces and houses of Moorish type. It was
part of the urban fabric of the ancient town, which was surrounding a set of districts that
constituted El-Djazair town at the Ottoman time between the XVI XIX century.
Walls: Mixed bearing walls, made of bricks and stone masonry.
Floor: Traditional floor made of thuyas log with marble and baked clay covering.
Waterproof quality: Sand covering, lime and baked clay mortar.
Outer covering: Coating used: sand, traditional lime.
Openings and front elements: Faades with discrete elements toward outside.
Water supply: Rain water collecting system by canalization made of baked clay as well as the
presence of three wells.
Purification system: Peripheral gutter system.

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Figure 8. Site works view
Figure 10. Architectural improvement of the main side Figure 9. Internal decoration of
Diagnosis conducted on constructive elements:
Walls and columns: Analysis of the structure and materials.
Floors: Analysis of the structure and materials.
Roofing: Analysis of the impairment status of the traditional waterproof quality.
Coverings: Analysis and localization of the altered areas.

Renovation works








Walls:Reinforcement of the existent walls
in order to consolidate and stabilize the structure and the rebuilt of the collapsed walls.

Floor:
Reconstruction of floors at 100%, with the re-use of bearing elements that was in good
conditions.

Waterproof quality:
New layers have been applied Pose (sand, cement, baked clay)
Coverings:
General cleaning of the impaired coatings. A Treatment of all deep and superficial cracks has
been conducted. Marble, baked clay and schist have been used.
Paving:
Lying of paving on outside areas.
Equipments:
Renovation of different networks (electricity, gas, AEP, phone network, purification system)
Outer arrangement:
The outer area was arranged as a parking with a covering made of cobblestone Based on the
overall analysis of all main characteristics of the various components, a multidisciplinary

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Figure 11. Protection retaining wall
Figure 12. General view after completion
Turkish engineering team (Yapi Merkezi), has elaborated a synthesis and an assessment of the
building.
Restoration, renovation and arrangement of Monuments surrounding areas. Excavation
works had been conducted in order to determine the exact plan of the Monument, the
reinforcement of walls, reconstruction of collapsed parts (faade walls etc), the treatment of
faades and architectural corrections after restoration and consolidation of the entire original
structure, renovation of different networks (electricity, gas, telephone network, purification
system), mending the pavement of the soil surface.




















Evaluation of the results
Integration of the building: after nearly seven years of restoration, Bastion 23 became the
urban or scenery environment: it was the first experience of retrieving a historical and presented
to the public.
Compliance with the initial program: The program that has been applied in this project is
regarded as a public one. Its conversion to a museum and to an Arts & culture centre contributes
to the promotion of culture and to keeps alive the memory of Algiers.
Compliance of usage: Air conditioning, fire security and all the necessary comfort.
Social balance: Employment source, a place for meetings and cultural exchange.
Bastion 23 plays a socio-cultural & economic role.
Maintenance of the building: The Arts & Culture center is permanently kept under a
continuous and global maintenance program.















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Figures 13, 14. Walls cracks repairing and reinforcement
Figure 15. Reinforcement of poof dome support and stone walls
3.2 Abdellah Ibn Salem Mosque restoration

The construction of Abdellah Ibn Salem mosque goes back to the colonial period and its
inauguration dates from the year 1908.
Abdellah Ibn Salem Mosque is one of the historical sites in Oran city thanks to its arab-
moorish architectural style.
The mosque was subject to time vagary and the lack of maintenance, it showed important
degradations and this lead the public authority to decide its rehabilitation.
The bearing structure is composed of bearing stone walls with vaulted veined bricks by IPN
steel profiles. The prayer room which occupies the central part is protected by a false ceiling in
half circle made of lathing reeds with plaster covering surmounted by a double side tiles roofing
which lays over mixed steel-wood framework.
The two minarets are placed over the two angles of the main faade are made by rock blocks
of large seize linked by a hydraulic lime mortar.
The restoration works consist of:



























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- The preparation of cracked and broken walls.
- The rehabilitation of damaged vaulted roof.
- The rehabilitation of impaired wooden framework elements.
Figure 16. Internal view of the buildings Figure 17. Waterproofing coating
protection
Figure 18. Original view of Arenas Figure 19. Before renovation




3.3 Orans Arenas rehabilitation

The arenas have been built between 1910 and 1911.In the 40s, Oran was still more Spanish
than Arab. The city was founded by the Andalousians in the year 903; the second




Spanish occupation does back to 1774 and after the French conquest, the city kept without
doubt the Spanish urban stamp.
In the 50s, a big majority of the inhabitants of ORAN were from Spanish origin. Some are
political refugees, but most of them were staying there since many generations
The best world toreadors came to perform in these large arenas which could contains
thousands of persons. They confronted the Toros of the most famous Spanish Cowboy boots
or herd of bulls.
This is not surprising at all, especially with the presence of the Eckmhl site arenas found in
the Southern working class area in ORAN, the tradition of bullfighting is still felt there
This imposing architecture which was abandoned and wrongly used had to wait for the
heritage to retrieve its place in the cultural priorities, and then Orans arenas were

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programmed for the rehabilitation of the heritage sites of the local council program, while
waiting to be indexed in the list of classified sites.
Since then, local concerned authority started to look over this site and planed reinforcement
and renovating operation

STRUCTURAL DESCRIPTION OF THE ARENAS

The arenas have a circular form, composed of a hybrid structure made of stones, which are in
staggered rows, and reinforced concrete for the extension added part.
It is founded on a channeled linear feet. The link between the different stones is ensured by a
lime link mortar.
The brace of the external and internal surrounding walls of the arenas in the radial
direction is ensured by thick masonry shear walls in form of a multi span stone arc that lies over
stone poles.
Discharging arches built out of stones or bricks are set in a circular arrangement of a thick
framework, to allow transfer of horizontal loads to the ground.
Construction is erected as a compact dynamic block.
IPN steel profile tie beams are arranged at different highs to ensure the rigidity of stone poles.
The hollow block roofing lies directly over a rack which at its turn lies directly over the brace
rock walls. Circular openings are laid out at the level of the surrounding walls of the arenas in
order to ventilate the place and avoid the condensation of the air saturated by water on the walls
(humidity). The access to the terraces for the public is ensured by stairs of stone masonry.
The hollow block roofing lies directly over a rack which at its turn lies directly over the brace
rock walls.














Figure 20. Supporting walls and arch distribution















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Figure 21.22.23 Repairing works (concrete Jacketing)




4 CONCLUSIONS
Two main reasons has been developed as an explanation of omitting to maintain the heritage
patrimony and monuments in acceptable environmental conditions and stable configuration.
The first is the great demand of housing and construction programs concentrated in the
existing metropolis in the north putting all the potential on this aim.
The second cause of deterioration is due to age effect and the weight of time added to
destructive sporadic earthquakes increasing the secular collapse process.
A new appearing reason is an economical tendency, thus the price of land inside urban areas
has grown to incredible values in main cities due to the high density of occupation of the soil.
This is actually encouraging the squatting of the latest free area of land after total collapse of
existing constructions and ancient monuments.

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REFERENCES
Architectural project of renovation of BASTION-23 from Ministry of Culture by Turkish engineering
office : Yapi-Merkezi
Project undertaken with the help of The European Union, Euromed HERITAGE and The International
Cooperation Agency of Spain (AECI).
Architectural design of Ibn Salem Mosque by IBDAA Architects Oran 2007
Design architectural group of BARCO Architects Oran for Arenas Project 2008
CTC OUEST diagnostic and expertise works on the three Exposed cases 2003 2006 2008
CTC reinforcement methods and applicable renovation techniques 2006
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1
1 INTRODUCTION

Nonlinear dynamic response is one of the distinguished characteristics of the ground under
strong shaking. The nonlinearity has been reported and investigated by many researchers for
more than 40 years. The investigation has been mainly concerned with the following two sub-
jects;
(1) Shift of predominant frequency of acceleration towards lower frequency [e.g., Idriss and
Seed (1968), Idriss (1990)].
(2) High spikes on horizontal acceleration time histories due to cyclic mobility in relatively
dense sand deposit [e.g., 1987 Superstition Hills earthquake (Holzer, et al. 1989), 1993 Ku-
shiroki, Japan, earthquake (Iai, et al. 1995), 1994 Northridge earthquake (Bardet and Davis
1996), 1995 Hyogoken Nanbu, Japan, earthquake (Iwasaki and Tai 1996), 2001 Nisqually
earthquake (Frankel, et al. 2002), 2004 Niigataken Chuetsu, Japan, earthquake, 2007 Niiga-
taken Chutsu-oki, Japan, earthquake].
The phase-shift of predominant frequency (1) is caused by inelastic response of the ground
material against large ground strains. This nonlinearity can be indirectly observed by comparing
the frequency transfer functions between small and large earthquakes as a shift of the peak fre-
quency of large earthquakes towards lower frequency. In recent studies, to derive such a transfer
functions, time histories obtained from seismometers forming the vertical array have been inten-
sively employed, with which simultaneous recordings of the base at certain depth and surface
motions are achieved. Mechanism of the nonlinearity has been investigated through laboratory
experiments for soils under cyclic loadings, and it has been understood that large cyclic shear
strain amplitude causes degradation of soil stiffness. Because of this type of stiffness degrada-
tion predominant frequency of the ground is shifted toward lower ones.
High-spikes on horizontal acceleration records (2) are typically found in locations where the
ground material constitutes dense saturated sand. Results of stress controlled undrained cyclic
Numerical Analysis of Near-Field Asymmetric Vertical Motion


T. Tobita, S. Iai & T. Iwata
Disaster Prevention Research Institute, Kyoto University, Kyoto, Japan
ABSTRACT: An unprecedented vertical surface acceleration of nearly four times of gravity was
recorded during the 2008 Iwate-Miyagi Inland, Japan, earthquake (Mw 6.9). The motion was
recorded at the KiK-net, IWTH25 station, located 3 km southwest of the epicenter. The station
is equipped with three-component accelerometers, installed at both the free-surface and the bot-
tom of a 260-m borehole. Wave form of the vertical acceleration shows clear asymmetric form
with large amplitude in upward direction. To study this recently discovered nonlinear behavior
of the surface ground motion, numerical analysis with the finite element method has been con-
ducted with parameters derived from the borehole data at the station. The analysis successfully
simulates the asymmetric vertical motion. The analysis indicates that the asymmetric motion
may be characterized by the existence of lower bound of negative acceleration and high positive
pulses caused by the compression stress of the disturbed surface ground material.


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2
triaxial tests for dense sands show increase of volumetric strain due to stress dilatancy at large
strains. This increase of volumetric strain causes rapid reduction of the excess pore water pres-
sure, and results in the rapid recovery of shear strength. When this phenomenon occurs in real,
the rapid increase of shear stress may be observed as spiky response on acceleration records
(Ishihara 1993). When the spikes appear, other frequency components are attenuated due to
build up of excess pore water pressure reaching to liquefaction state. These spikes may give
overestimation of the maximum acceleration amplitude and duration of shaking (Bonilla, et al.
2005).
In addition to the above mentioned two types of nonlinear response of the ground, the 3rd
nonlinearity under strong ground motion has been recently discovered as,
(3) Asymmetric from of the surface vertical acceleration amplitude (Aoi, et al. 2008).
In the 2008 Iwate-Miyagi Inland, Japan, earthquake, very large acceleration amplitude which
exceeded 40 m/s
2
(3 component combined) was recorded at the KiK-net, IWTH25 station (Fig.
1 and 2). The site is located about 3 km southwest of the epicenter on the hanging wall of the
seismic fault. The earthquake was caused by the inland reverse fault with 30 km strike and 20
km in depth. At IWTH25 station, 3 components seismometers are installed at the surface and
G.L. -260 m. The site is located in volcanic region and locally it is on the river sediments under-
lain by igneous rocks, such as tuff. The recorded wave form of the surface vertical acceleration
has large amplitude only in positive direction. The maximum amplitude of vertical acceleration
is 4 times larger than acceleration of gravity and 2 times larger than its horizontal components.
Aoi, et al. (2008) reported and qualitatively explained the mechanism of this phenomenon by
the analogy of bouncing a matter on a trampoline and called the Trampoline effect.
The asymmetric form may be attributed to physical characteristics of granular media, which
shows asymmetric response against normal compression and extension force. That is, granular
media, such as dry sands, has less resistance against tension force. Objective of the present
study is to simulate this asymmetric response of the surface vertical acceleration and give physi-
cal background to explain this phenomenon.



Figure 1 Location of the epicenter of the 2008 Iwate-Miyagi Inland, Japan, earthquake and IWTH25,
KiK-net station.

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3

Figure 2 Measured time histories and Fourier amplitudes of surface acceleration at IWTH25 after the
2008 Iwate-Miyagi Inland, Japan, earthquake. Asymmetric amplitude appears on the UD record.
2 ANALYTICAL MODEL

Numerous analytical models which simulates the nonlinear dynamic ground motion have
been proposed. Equivalent-linear method [SHAKE (Schnabel, et al. 1972)EERA (Bardet, et
al. 2000)] has been widely used for its simple configuration and precise results for low to inter-
mediate levels of ground shaking. To directly simulate nonlinear stress-strain response of soils,
the H-D model (Hardin and Drnevich 1972) and the R-O model (Ramberg and Osgood 1943)
have been widely used. By combining these nonlinear constitutive models with Masings law
(Masing 1926), hysteresis response of soils can be simulated [e.g., NERA (Bardet and Tobita
2001)]. Iwan (1967) and Mroz (1967) proposed a model for soil nonlinearlity and hysteretic be-
havior by using multiple springs and sliders.
By taking advantage of plasticity theory started in the field of metal engineering, constitutive
models based on the theory of plasticity have been formulated and widely used in the frame
work of finite element analysis (Roscoe, et al. 1963, Roscoe and Burland 1968, Matsuoka 1974,
Dafalias and Popov 1975, Sekiguchi and Ohta 1977, Mroz, et al. 1978, Hashiguchi 1980,
Towhata and Ishihara 1985, Nakai 1986). These models generally require many parameters,
which are more or less derived from experimental results, to simulate more realistic and compli-
cated behavior of soils.
To simulate soil liquefaction, dynamic solid and fluid coupling behavior has to be incorpo-
rated into constitutive modeling. Constitutive models based on the effective stress concept have
been proposed for such a material (Martin, et al. 1975, Prevost 1985, Iai, et al. 1992, Oka, et al.
1999). In these models, by applying dependency on the effective mean stress to shear behavior
of soils, liquefaction as well as dilatant behavior can be successfully simulated.
In this study, the multiple simple shear mechanism proposed by Towhata and Ishihara (1985)
and Iai, et al. (1992) is implemented.

2.1 Multiple simple shear mechanism
The finite element code called FLIP (Iai, et al. 1992) is implemented for nonlinear site re-
sponse analysis. Total stress analysis is conducted, i.e., no excess pore water pressure buildup
during shaking is assumed. The code utilizes the multiple simple shear mechanism as nonlinear
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4
constitutive relation (Towhata and Ishihara 1985). In this model, contact forces between sand
particles are idealized by evenly distributed multiple springs whose property is characterized by
the hyperbolic type (Fig. 3). The model automatically accommodates the principal stress rota-
tion which plays an important roll in the cyclic behavior of anisotropically consolidated sands.
In what follows, core of the modeling is briefly introduced. Details are found in Ozutsumi
(2003). Let us consider the following vectors of stresses and strains,
{ } { } ' ' ' '
T
x y xy o o o t = (1)
{ } { }
T
x y xy c c c = (2)
where ' x o and ' y o are the normal stress, x c and y c are normal strain, 'xy t and xy
are shear stress and shear strain, respectively. Incremental form of constitutive relationship can
be written as follows,
{ } { }{ } { }
/ /
'
T
L U L U
d R n n d o c = (3)
where the vector { }
/ L U
n specifies direction of stress increment, the scalar
/ L U
R defines mag-
nitude of stress increment per unit strain increment along the direction { } n , vector { } n gives
the direction of strains. The subscripts L/U indicate the components are different in the direction
of loading L and unloading U. Iai et al. (1992) postulated that the incremental constitutive
relation, Eq. (3), is given by I+1 separate mechanisms for i=0 to I in associated form, i.e.,
{ } { }
/ L U
n n = , as
{ } { }{ } { }
( ) ( ) ( )
/
0
'
I
T
i i i
L U
i
d R n n d o c
=
=

(4)
To specify the volumetric behavior, the first term of Eq. (4), i=0, is independently defined so
that Eq. (4) becomes,
{ } { }{ } { } { }{ } { }
(0) (0) ( ) ( ) ( )
/
1
'
I
T T
i i i
p L U
i
d K n n d d R n n d o c c c
=
= +

(5)
where K is rebound modulus and
{ }
p
dc is an additional volumetric strain increment due to di-
latancy given by
{ } { }
/ 2 / 2 0
p p p
d d d c c c = (6)
Direction vectors are given as
{ } { }
(0)
1 1 0
T
n = (7)
{ } { }
( )
cos -cos sin
T
i
i i i
n u u u = (for i = 1 to I) (8)
where i u is the angle of the ith spring from the horizontal axis, and given as,
( 1) i i u u = A (for i = 1 to I) in which / I u t A = .
Rewriting Eq. (5) yields,
{ } { }{ } { }{ } { } { }{ } { }
{ } { }{ } { }
(0) (0) ( ) ( ) ( ) (0) (0)
/
1
(0) (0)
'
=[D]
I
T T T
i i i
L U p
i
T
p
d K n n R n n d K n n d
d K n n d
o c c
c c
=
(
= +
(

(9)
in which matrix [D] is,
{ }{ } { }{ }
(0) (0) ( ) ( ) ( )
/
1
[ ]
I
T T
i i i
L U
i
D K n n R n n
=
= +

(for i = 1 to I) (10)
Rebound modulus K is expressed as
0
0
'
'
m
K K
o
o
| |
=
|
\ .
(11)
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5
where K
0
is the rebound modulus at a reference confining stress
0
' o , ' o is an effective stress,
and m is a parameter which correlates K and stress ratio
0
'/ ' o o . In the frame work of the mod-
eling, tangent shear modulus is given as,
( )
/
( )
i i
L U i i
dF
R d
d

u

= A (12)
in which the function ( ) i F is a hyperbolic function which is equivalent to the spring force
due to the displacement of a multi-spring in one radian. By assuming Masings law for cyclic
response and defining damping of spring, the shape of function ( ) i F is determined (see
Ozutsumi (2003) for detail).
In each shear mechanism, loading and unloading conditions can be defined by the sign of,
{ } { } ( )
( )
cos sin
T
i
i x y i xy i
d n d d d d c c c u u = = + (13)
where
{ } { } ( )
( )
cos sin
T
i
i x y i xy i
n c c c u u = = + is the virtual shear strain of the mechanism
i= 1 to I. Each tangent modulus depends on the current state and history of each virtual simple
shear strain
i
.
In matrix form, Eq. (10) can be written as,
| | 1 2 3
1 1 0 1 1 0 0 0 1 0 0 0
1 1 0 1 1 0 0 0 1 0 0 0
0 0 0 0 0 0 1 1 0 0 0 1
D K G G G
| | | | | | | |
| | | |
= + + +
| | | |
| | | |

\ . \ . \ . \ .
(14)
where
2
1
1
( )
cos
I
i
i
i
dF
G
d

u u

=
= A

(15)
2
1
( )
cos sin
I
i
i i
i
dF
G
d

u u u

=
= A

(16)
2
3
1
( )
sin
I
i
i
dF
G
d

u u

=
= A

(17)
In the finite element code, FLIP, if the volumetric strain is positive, judged by the following
relation,
( ) 0
x y p
c c c + > (Tension) (18)
then, all the stress components are set to be zero, i.e., ' ' ' 0
x y xy
o o t = = = . As it will be shown
in the next section, this is the property that simulates asymmetric behavior of granular media
with no cohesion.



Figure 3 Schematic view of the multiple simple shear mechanism
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6
2.2 Model behavior under normal compression and tension stress
Behavior of the multiple simple shear model is investigated by applying vertical compression
and tension forces to a single element (Fig. 4). Model parameters for this particular study are,
shear modulus=3.210
5
(kPa), Poissons ratio=0.33, density=1.8 (t/m
3
), and friction an-
gle=35. Computation was carried out under drained condition. Firstly the element is isotropi-
cally consolidated with stress o
0
= 49 (kPa) with nodal constraints shown in Fig. 4(a). Then, it is
stretched and compressed vertically by enforcing cyclic normal force to nodes 1 and 4 (Fig. 4b).
Here, the horizontal displacement of nodes 1 and 4 are constrained (Fig. 4b). Analytical time
step of At=10
-4
was employed. Figure 5(a) depicts time histories of mean stress,
o
m
=(o
xx
+o
yy
)/2, and volumetric strain, c
v
=c
xx
+c
yy
, on the left and right vertical axes, respec-
tively. For both strains and stresses, tension is taken as positive. As shown in Fig. 5(a), when the
mean stress is zero, tensile strain abruptly increases, that is, the element is vertically stretched.
Stress strain curve in Fig. 5(b) gives another view of this property. Namely, the curve starts at
the point indicated as 1 in Fig. 5 where mean stress is -49 kPa, then gradually stretched and
once the mean stress reached to zero at 2, volumetric strain abruptly increases up to about
0.3%. In the compression side, in the given range of enforced vertical stress, the stress-strain re-
lationship is within an elastic range following the line whose slope is defined by the rebound
modulus of K=605 MPa.



Figure 4 Illustration for application of isotropic confining pressure (a) and cyclic axial stress (b) to a sin-
gle element.



Figure 5 Time histories of (a) mean stress and volumetric strain, and (b) mean stress versus volumetric
strain curve.

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7
2.3 Model behavior against vertical input acceleration

To simulate the asymmetric vertical ground motion with simple model, 1D column of 10 m
deep with 20 elements are implemented. Each mesh is a square with 0.5 m at the side. Dis-
placement degree of freedom of nodes at the bottom mesh is fixed in both horizontal and verti-
cal directions. A pair of nodes at the same height was given the same displacement degree of
freedom to simulate half-space ground motion. Analysis is carried out by assuming dry condi-
tion. Sinusoidal input acceleration with 10 Hz and the amplitude of 19.6 m/s
2
(=2 g) is given at
the base of the model. In this study, only the vertical motion is given. Computational time step
of At=0.001 (s) was employed.
Figure 6(a) is a section of the time histories from 0.5 to 0.8 (s) of volumetric strain (c
v
=c
x
+c
y
),
input and surface accelerations. In the same manner, Fig. 6(b) shows mean stress
[o
m
=(o
x
+o
y
)/2] of the surface element, in which vertical scale of input and surface accelerations
is magnified 8 times for clarity. Here, tension is taken as positive. In Fig. 6(a), tensile strain can
be observed while tensile stress is not generated [Fig. 6(b)] as it was shown in the previous sec-
tion. As shown in Fig. 6(b), surface acceleration start to abruptly increase when the input verti-
cal motion becomes lower than 9.8 m/s
2
. This is because, at this moment, the surface element is
free falling and compression force is generated in an element, and reaction to this compression
force may create acceleration pulse in the vertical upward direction. Again from Fig. 6(b), lower
bound of surface acceleration is limited by the minimum amplitude of vertical input accelera-
tion. Thus, the asymmetric motion of the vertical acceleration can be characterized by the exis-
tence of lower bound of negative acceleration and positive pulse in the vertical acceleration due
to compression of soils.
Figure 7 compares mean stress and volumetric relationship of the surface element for various
amplitudes of sinusoidal vertical input accelerations. As shown in Fig. 7(a), when the vertical
input acceleration is small, response is in the compression side and follows the line whose slope
is defined by the initial elastic rebound modulus. As amplitude of input acceleration increases,
the curve starts to show nonlinearity. If the amplitude of input vertical acceleration exceeded 9.8
m/s
2
, tensile strain appears while mean stress is kept to be zero.



Figure 6 Time histories of (a) volumetric strain, vertical input and vertical surface acceleration, (b) mean
stress, vertical input and vertical surface acceleration of the surface element. Scale of acceleration in (b)
is magnified 8 times of that of (a).

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Figure 7 Mean stress versus volumetric strain relationship of the surface element for sinusoidal input ac-
celeration with various amplitudes: (a) 4.9 m/s
2
, (b) 9.8 m/s
2
and (c) 19.6 m/s
2
.
3 NUMERICAL ANALAYSIS
3.1 Model parameters for site response analysis of KiK-net, IWTH25 station
Physical model parameters, such as, shear modulus, poissons ratios, and densities, are esti-
mated from the PS velocity profile obtained at the KiK-net, IWTH25 station. Table 1 summa-
rizes model parameter implemented in the following analysis. Based on the velocity profile,
model ground is divided into 7 layers from the surface to G.L. -242 m (Fig. 8). From P and S
wave velocities, shear modulus and poissons ratios of each layer can be estimated. Borehole
profile deeper than 120 m shows that the tuff whose S wave velocity exceeds 1,300 m/s is pre-
dominant. Above it, mud stones and terrace deposit constitute the layers. Densities of material
are given as follows; 2.2 t/m
3
for surface cover soil, 2.3 t/m
3
for sediments, and tuff and mud
stones are set uniformly 2.6 t/m
3
(Toyota 2009).
In the analysis, the ground is modeled with single column elements (133 elements) whose
width is 1 m, and height varies from 0.2 m (layer 1) to 5.43 m (layer 7). With this model
ground, frequency component of the maximum 50 Hz can be properly simulated unless being
attenuated.

Table 1 Model parameter of the ground profile at the KiK-net, IWTH25 station



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213

9
0
80
160
240
0 4500
Velocity (m/s)
D
e
p
t
h

(
m
)
P
S
Layer 1
Layer 2
Layer 3
Layer 4
Layer 5
Layer 6
Layer 7


Figure 8 P and S wave velocity profile at IWTH25 station (NIED 2009) and assumed layering system for
numerical analysis.
3.2 Site response analysis with small input motion
Site response analysis with small input motion is conducted to examine the model parameter
defined above (Table 1). The small input motion used in the analysis (M
w
=6.8, Depth 108 km
on 24/7/2008) was recorded at the same site, IWTH25, where large acceleration was measured
during the 2008 Iwate-Miyagi Inland, Japan, earthquake. In the analysis, both the horizontal
(NS) and vertical motion (UD) were simultaneously input at the base of the model. The meas-
ured maximum accelerations of NS and UD components at the base are, respectively, 1.2 m/s
2

and 0.83 m/s
2
and at the surface, 1.1 m/s
2
and 0.71 m/s
2
, respectively. Time step of the analysis
was At=0.005 (s).
Computed time history of the horizontal motion (NS) in Fig. 9 is in good agreement with the
recorded motion in terms of both maximum amplitude and the shape of envelope, while the
maximum amplitude of vertical motion is over estimated about 40%. As shown in Fig. 9, in the
case of small input motion, amplitude of both measured and computed vertical motions are
symmetric.
Transfer functions of both horizontal and vertical motions in Fig. 10 show significant agree-
ment below 10 Hz. However, for response above 10 Hz is under estimated. This may be because
high frequency components in the input acceleration were too small to be transmitted to the sur-
face without attenuation. In reality, there are many sources of high frequencies in the ground,
such as inclined boundaries between soil stratum and/or heterogeneity, which may be properly
included in two-dimensional analysis.


Figure 9 Measured and computed surface acceleration (NS and UD components) for small input motion.
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Figure 10 Transfer functions of measured and computed acceleration for small input motion.
3.3 Site response analysis for the 2008 Iwate-Miyagi Inland, Japan, earthquake
Site response analysis is conducted to simulate asymmetric vertical motion observed in the
2008 Iwate-Miyagi Inland, Japan, earthquake. Recorded input motion of both horizontal (NS)
and vertical (UD) components at the base of the KiK-net array at IWTH25 was input at the base
of the model ground with time step of 0.01 s which was the same time step as measured accel-
eration. As shown in Fig. 11, computed surface acceleration has similar asymmetric shape in the
vertical component as measured one, i.e., positive spikes and bounded negative amplitude. The
maximum amplitude of measured vertical acceleration was 33 m/s
2
, while the one computed
overestimates about double to be 62 m/s
2
. Negative amplitudes of surface vertical acceleration
show, on average, significant agreements between observation and analysis, and it is close to the
acceleration due to gravity. This might indicate the temporal free-fall of the ground.
Transfer function of computed vertical acceleration [Fig. 12(b)] shows a peak at 5 Hz which
is not seen in the observation. Cause of this is under investigation. Except the peak, transfer
function is over all in good agreement. Higher frequency components are properly simulated
because input acceleration might be large enough for higher frequency components to be trans-
mitted to the surface. Transfer functions of horizontal motions also show in good agreement
[Fig. 12(a)]. However, there are no clear peaks in the transfer function of computed horizontal
motion.

Figure 11 Measured and computed surface acceleration (NS and UD components) for the 2008 Iwate-
Miyagi Inland earthquake.
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Figure 12 Transfer functions of measured and computed acceleration for the 2008 Iwate-Miyagi Inland
earthquake. (a) NS and (b) UD components.

Figure 13 compares measured and computed horizontal and vertical acceleration. Computed ho-
rizontal acceleration [Fig. 13(a)] shows no clear peaks when vertical acceleration is negative.
When the vertical acceleration is negative, elements near the surface is free-falling, and at this
state confining pressure may be very small, and shear waves cannot be transmitted in such a soft
material. While as shown in Fig. 13(b), this is not clear in the measured acceleration. One possi-
ble reason may be that in reality there are sources of higher frequencies as mentioned earlier.
Computed time histories from 4.5 to 5 s of volumetric strain [Fig. 14(a)], mean stress [Fig.
14(b)] with computed vertical surface acceleration, and mean stress and volumetric strain rela-
tionship [Fig. 14(c)] are plotted to see the model behavior of the surface element. When the sur-
face acceleration is negative, tensile volumetric strain indicated by number 3 to 5 in Fig. 14(a)
appears at zero mean stress. When the surface element is under compression indicated by num-
ber 6 and 7 in Figure 14, positive spikes appear on the surface vertical acceleration. In the same
manner as Chapter 2, mean stress and volumetric strain relation [Fig. 14(c)] follows a quadratic
curve which is a volumetric stress and strain relationship indicated by Eq. (11).


Figure 13 Computed (a) and measured (b) time histories of NS and UD components of surface accelera-
tion with magnified time scale for 3 to 8 seconds of Fig. 9.
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Figure 14 Computed time histories from 4.5 to 5.0 (s); (a) volumetric strain, (b) mean stress. In (a) and
(b), computed UD components of surface acceleration is plotted as a reference. (c) Mean stress versus
volumetric strain relationship.
4 CONCLUSIONS
During the 2008 Iwate-Miyagi Inland, Japan, earthquake, very large acceleration record
which exceeded 40 m/s
2
(3 components combined) was observed at the vertical array site, KiK-
net, IWTH25 station. The surface vertical acceleration record had asymmetric amplitude. In the
present study, analytical studies were carried out for this newly discovered nonlinear site re-
sponse associated with the vertical strong ground motion.
Firstly, model behavior against normal compression and tension was examined by using sin-
gle element. Then response against vertical motion was investigated by using a simple 1D col-
umn mesh with 10 m depth and sinusoidal input motion. The analysis indicated that the mecha-
nism of the asymmetry on vertical surface acceleration might be characterized by the existence
of lower bound of negative acceleration and positive pulse due to compression of soils.
Then, observed ground motion was simulated with model ground of 1D column whose model
parameters were derived from the borehole data at the vertical array, KiK-net, IWTH25 site.
The ground model constituted with 7 layers from the surface to G.L. -246 m which was assumed
to be the base of IWTH25 station. With the base records of NS and UD components as input
motions, 1D site response analysis was conducted. Vertical acceleration at the surface clearly
showed asymmetric form as can be seen in the observed acceleration.

ACKNOWLEDGEMENT
Strong motion data used in this study was provided by the digital strong-motion seismograph
network, KiK-net, National Research Institute for Earth Science and Disaster Prevention
(NIED), Japan.

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Proceedings, 3rd Greece-Japan Workshop: Seismic Design, Observation, and Retrofit of Foundations. Santorini 2009
218
Effect of Pre-Yielding Elasticity on Sliding Triggered by
Near-Fault Motions Modeled as Idealized Wavelets
E. Garini, G. Gazetas, N. Gerolymos
Soil Mechanics Laboratory, National Technical University of Athens, Greece

ABSTRACT: The influence of elastic pre-yielding on the response of a mass resting on an
inclined plane is investigated in this paper. The ultimate shearing capacity of the interface
obeys Coulombs friction law. The slope is subjected to near-fault triggering by two types of
idealized wavelets: (i) a Ricker wavelet, representative of forward directivity affected motions,
containing strong long-period acceleration pulses, and (ii) an one-cycle sinusoidal wavelet,
representative of fling-affected motions, containing an one-sided velocity pulse with an ensuing
permanent displacement. The asymmetric sliding response is analyzed and the effect of a
number of parameters is explored. They include: the critical acceleration ratio, a
C
/a
H
, the
excitation frequency, f
o
, the changing polarity of excitation, and the magnitude of elastic
pre-yielding displacement, dy.
1 INTRODUCTION
Several applications in geotechnical earthquake engineering require an understanding of the
dynamic sliding response of a block of mass m supported on seismically vibrating base through
an asymmetric frictional contact. n his 1965 seminal Rankine Lecture, Newmark proposed that
the seismic performance of earth dams and embankments be evaluated in terms of permanent
deformations which occur whenever the inertia forces on a potential slide mass are large enough
to overcome the frictional resistance at the failure surface. He proposed the analog of a rigid
block on inclined plane for a simple way of analytically obtaining approximate estimates of
these deformations. Newmarks analog has seen numerous applications and extensions: seismic
deformation analysis of earth dams and embankments, displacements associated with landslides,
seismic deformation of landfills with geosynthetic liners, seismic settlement of surface
foundations, movements of wedges in rock slopes, and even potential sliding of concrete gravity
dams. The extension of the analog by Richards & Elms (1979)

to gravity retaining walls has
met worldwide acceptance, and has found its way into seismic codes of practice. Several other
generalized applications have also appeared.
A numerical study has been recently presented by the authors (Garini et al 2007, Gazetas et
al 2009) for a rigid block supported through a rigid-plastic frictional contact surface on an
inclined plane, and subjected to slope-parallel excitation. The latter was described with near-
fault seismic records strongly influenced by forward-directivity or fling-step effects. Our
study had consistently and repeatedly revealed a profound sensitivity of both maximum and
residual slippage: (i) on the sequence and even the details of the pulses contained in the
excitation, and (ii) on the polarity of shaking. A few of the findings contradicted some of the
prevailing beliefs that have emanated from statistical correlation studies in literature.
However, all these finding were based on the extreme assumption of a perfectly rigid-plastic
interface. Since in most realistic systems some pre-sliding elasticity is unavoidable, this paper
investigates an elastic-plastic support interface. Fig.1 illustrates the problem studied herein.


Proceedings, 3rd Greece-Japan Workshop: Seismic Design, Observation, and Retrofit of Foundations. Santorini 2009
219

(a)
A
(t)
D
(t)
m

=
f(D
)
T(t)
D(t)
mg(cos sin)
mg(cos+sin)
T(t)
D(t)
mg(cos sin)
mg(cos+sin)
dy

b) (c)
(a)

=
f(D
)

=
f(D
)
D
(t)
D
(t)























Figure 1. (a) The problem studied in the paper sliding on inclined plane undergoing excitation parallel
to the slope, (b) ideally rigid-plastic behavior of the interface as studied by Garini et al (2007), and (c)
elastic-perfectly plastic sliding response studied here.
2 DIRECTIVITY AND FLING IN NEAR-FAULT MOTIONS

Earlier studies of Newmark-sliding were based on records available in the late 1970s and
1980s. Very few of those motions were near-fault records from largemagnitude (M > 6.5)
events. Today, however, such near-fault records are known to often contain either long-period
high-amplitude acceleration pulses, or large residual displacements the outcome,
respectively, either of the coherent arrival of seismic waves when the fault rupture propagates
towards the site, or of tectonic permanent displacement (offset) of the earth in the proximity of
the seismogenic fault rupture. The terms forward-rupture directivity and fling step have
been given to the two phenomena (Singh, 1988; Somerville et al, 1996; Abrahamson, 2000; and
Bolt, 2004).
Fig. 2 illustrates in idealized form some fundamental characteristics of these two types of
near-fault motions. For strikeslip earthquakes, the signature of forward rupture directivity
appears in direction normal to the fault; whereas, the fling step is significant in the parallel
component of motion in close proximity to the fault, especially if the latter emerges on the
surface with a large static offset. The two phenomena (and directivity in particular) have been
the subject of seismological (theoretical and instrumental) as well as earthquake engineering
research.
Two idealized motions (wavelets) are used as excitation in this paper to represent in a
simple way typical directivity and fling affected ground motions. They are the one-cycle
sinusoidal and the Ricker wavelets: the former modeling a typical fling affected motion, and the
latter a directivity affected motion. Four characteristic frequencies are utilized for each of these
motions as follows:
Richer: f
o
= 0.35 Hz, 0.75 Hz, 1.5 Hz, and 3,5 Hz
Sinusoidal: f
o
= 0.57 Hz, 1.25 Hz, 2.5 Hz, 6.67 Hz
(
A
(t)
m

A
(t)
m

T(t)
D(t)
mg(cos sin)
mg(cos+sin)
T(t)
D(t)
mg(cos sin)
mg(cos+sin)
T(t)
D(t)
mg(cos sin)
mg(cos+sin)
dy
T(t)
D(t)
mg(cos sin)
mg(cos+sin)
dy
b) (c) (
Proceedings, 3rd Greece-Japan Workshop: Seismic Design, Observation, and Retrofit of Foundations. Santorini 2009
220
The response spectra of corresponding pairs of these motions are approximately matched to give
almost the same maximum spectral acceleration at nearly the same dominant period. For
instance, Fig.3 illustrates the spectral matching of two of the pairs.







































0
2
4
6
3 5 7 9 11
0
2
4
6
3 5 7 9 11
-0.7
0
0.7
1.4
3 5 7 9 11
-3
0
3
3 5 7 9 11
-10
-5
0
5
10
3 5 7 9 11
D
residual
= 0
Fault
strike
Directivity pulse (Normal component
of Displacement)
Fling step (Parallel component
of Displacement)
Site
(t) :
m/s
2
V(t) :
Fault
strike
Directivity pulse (Normal component
of Displacement)
Site


Figure 2. Explanatory sketch of the forward-directivity and fling-step phenomena as reflected in the
displacement records; and examples of simple wavelets bearing the signature of the two effects.
3 RESULTS: THE EFFECT OF PRE-YIELDING ELASTICITY ON SLIDING
Fig.4 depicts the asymmetric sliding response in terms of acceleration, velocity, and
displacement time-histories for a mass of m = 1 Mgr on a slope of inclination = 25
o
. The
system is subjected to a Ricker wavelet of peak acceleration 1 g and central frequency 1.5 Hz.
The right hand-side portrays the time-histories corresponding to a rigid-plastic interface with
critical ratio of a
C
/a
H
= 0.1. Notice that the mass is moving in unison with the base as long as
the critical acceleration a
C
is not exceeded. Whenever base acceleration exceeds the critical
m/s
D(t) :
Fling Step
General Example:
(One-cycle Sinus pulse )
t : s
m
Forward Directivity
General Example:
(Ricker wavelet)
t : s
V 5.6
-10
-5
0
5
10
3 5 7 9 11
V 5.3 m/s
D
maxl
= 1.31 m
D
residual
= 4.9 m
0
2
4
6
3 5 7 9 11
0
2
4
6
3 5 7 9 11
-0.7
0
0.7
1.4
3 5 7 9 11
-3
0
3
3 5 7 9 11
-10
-5
0
5
10
3 5 7 9 11
D
residual
= 0
Fling step (Parallel component
of Displacement)
Fault
strike
Directivity pulse (Normal component
of Displacement)
Site
Fling step (Parallel component
of Displacement)
(t) :
m/s
2
V(t) :
s m/
D(t) :
Fling Step
General Example:
(One-cycle Sinus pulse )
Fling Step
General Example:
(One-cycle Sinus pulse )
t : s
m
Forward Directivity
General Example:
(Ricker wavelet)
Forward Directivity
General Example:
(Ricker wavelet)
t : s
V 5.6
-10
-5
0
5
10
3 5 7 9 11
V 5.3 m/s
D
maxl
= 1.31 m
D
residual
= 4.9 m
Proceedings, 3rd Greece-Japan Workshop: Seismic Design, Observation, and Retrofit of Foundations. Santorini 2009
221
acceleration, the block slides either downward (usually) or upward (rarely). As a result, a
residual yielding displacement of 0.36 m occurs.
The left hand-side of Fig.4 illustrates the elastic-plastic response of the same mass-base
system. Here, the block can displace elastically up to 0.1 m before yielding. As a consequence,
a phase difference between input excitation and induced mass response occurs. Notice this
phase shift in Fig.4 in the acceleration and velocity time-histories (see arrows). It is emphasized
that pre-yielding displacement exists in both the upward and downward direction. Thus, even
though no uphill sliding happens after 1 sec in Fig.4, an elastic upward displacement does take
place reversal of accumulated slippage. In addition, the block does not rest after the last
sliding period but continues uphill and downhill elastic oscillations after the end of triggering.
The force-displacement hysteresis loop in Fig.5 shows the two yielding events and the
accompanying elastic branches.















0
1
2
3
0 1 2 3 4
Ricker, f
o
= 0.35 Hz, 1.50 Hz
One-cycle Sinus, f
o
= 0.57 Hz, 1.25 Hz
T : s
S
A
: g
One-cycle Sinus
Ricker
1 g
1 g
1 g
0.6 g
0
1
2
3
0 1 2 3 4
Ricker, f
o
= 0.35 Hz, 1.50 Hz
One-cycle Sinus, f
o
= 0.57 Hz, 1.25 Hz
T : s
S
A
: g
One-cycle Sinus
Ricker
One-cycle Sinus
Ricker
1 g
1 g
1 g
0.6 g
1 g
0.6 g















Figure 3. The two idealized time histories used as base excitation, with their response acceleration spectra
S
A
:g T. (Peak ground acceleration: 1 g).
4 COMPILATION OF RESULTS
All our numerical results with Ricker wavelets as base excitations are compiled in Figs 6 and 7.
Fig.6 depicts the permanent slippage with respect to the critical acceleration ratio, a
C
/a
H
, for
four values of pre-yielding deformation, dy, and four excitation frequencies, f
o
. As expected,
when the acceleration ratio, a
C
/a
H
, increases the induced slippage decreases. This general trend
is independent of the existence or not of the pre-yielding displacement. Notice that the
existence of pre-yielding elasticity may lead to larger or smaller permanent displacements,
depending on f
o
and a
C
/a
H
.
Furthermore, in Fig.7 observe the influence of frequency on sliding displacement. For
frequency, f
o
= 0.35 Hz, as the elastic region dy increases the slippage D also increases. The
Proceedings, 3rd Greece-Japan Workshop: Seismic Design, Observation, and Retrofit of Foundations. Santorini 2009
222
same is valid for f
o
= 0.75 Hz. However, when the frequency, f
o
, increases up to 1.50 Hz the
response changes. Observe that while slippage becomes greater for pre-yielding region between
0 and 0.01, for larger values of dy the sliding response decreases, in the case of 1.50 Hz. The
behavior is more complicated when the frequency takes the value of 3.50 Hz.







































Figure 4. Acceleration, velocity, and displacement time histories for a maximum elastic deformation of
dy = 0.1 m are presented at the left, and for dy = 0 are presented at the right (excitation: Ricker wavelet of
frequency f
o
= 1.5 Hz).
5 EFFECT OF CHANGING POLARITY
The next two Figures (Figs 8 and 9) address a most astonishing effect: that of the reversal in
polarity (i.e., change from + to direction in which the excitation is applied). [This is the same
as having two identical slopes, one opposite to the other (across the street so to speak),
subjected to the same excitation, as sketched at the top of Figs. 8 and 9.]
A few researchers and only in recent years (Kramer & Lindwall, 2004; Fardis et al, 2003)
appear to have published on the importance of the polarity of shaking. This has much to do

0
0.1
0.2
0.3
0.4
0 1 2 3
-10
-5
0
5
10
0 1 2 3
0.14 m
2
nd
slide 0.29 m
1
st
slide
t : s
:
s
2
s
m/
V :
m/
D :
m
Ground
Sliding block
25
o

C
/

= 0.1
dy = 0.1 m
t : s
dy = 0 m
-10
-5
0
5
10
0 1 2 3
-0.8
-0.4
0
0.4
0.8
0 1 2 3
0.36 m
-0.8
-0.4
0
0.4
0.8
0 1 2 3
0
0.1
0.2
0.3
0.4
0 1 2 3
0
0.1
0.2
0.3
0.4
0 1 2 3
-10
-5
0
5
10
0 1 2 3
0.14 m 0.14 m
2
nd
slide 0.29 m
1
st
slide
t : s
:
s
2
s

m/
V :
m/
D :
m
Ground
Sliding block
25
o
25
o

C
/

= 0.1
C
/

= 0.1
dy = 0.1 m dy = 0.1 m
t : s
dy = 0 m dy = 0 m
-10
-5
0
5
10
0 1 2 3
-0.8
-0.4
0
0.4
0.8
0 1 2 3
-0.8
-0.4
0
0.4
0.8
0 1 2 3
0
0.1
0.2
0.3
0.4
0 1 2 3
0.36 m
Proceedings, 3rd Greece-Japan Workshop: Seismic Design, Observation, and Retrofit of Foundations. Santorini 2009
223

T : kN
-4
-3
-2
-1
0
1
2
0 0.1 0.2 0.3 0.4 0.5
1
st
slide 2
nd
slide
0.08
Initial elastic deformation induced
by the m g sin component
D : m
T : kN
-4
-3
-2
-1
0
1
2
0 0.1 0.2 0.3 0.4 0.5
1
st
slide 2
nd
slide
0.08
Initial elastic deformation induced
by the m g sin component
D : m













Figure 5. Force-displacement response for the case of an elasto-plastic sliding system with dy = 0.1 m,
= 25
o
, a
C
/a
H
= 0.1 and a Ricker excitation of 1.5 Hz frequency. Notice that yielding occurs only in one
direction, as it was expected.




0
0.5
1
1.5
2
2.5
3
3.5
4
4.5
5
dy = 0
dy = 0.01 m
dy = 0.05 m
dy = 0.1 m
0
3
6
9
12
15
18
21
0
0.2
0.4
0.6
0.8
1
1.2
1.4
0 0.1 0.2 0.3 0.4 0.5 0.6 0.7 0.8
0
0.02
0.04
0.06
0.08
0.1
0.12
0.14
0 0.1 0.2 0.3 0.4 0.5 0.6 0.7 0.8

C
/
H
S
l
i
p
p
a
g
e

:

m
1 g
0.6 g
S
l
i
p
p
a
g
e

:

m

C
/
H
25
o
dy = 0
dy = 0.01 m
dy = 0.05 m
dy = 0.1 m
dy = 0
dy = 0.01 m
dy = 0.05 m
dy = 0.1 m
dy = 0
dy = 0.01 m
dy = 0.05 m
dy = 0.1 m
Ricker 0.35 Hz Ricker 0.75 Hz
Ricker 1.50 Hz Ricker 3.50 Hz
m
=
1
M
g
r
0
0.5
1
1.5
2
2.5
3
3.5
4
4.5
5
dy = 0
dy = 0.01 m
dy = 0.05 m
dy = 0.1 m
0
3
6
9
12
15
18
21
0
0.2
0.4
0.6
0.8
1
1.2
1.4
0 0.1 0.2 0.3 0.4 0.5 0.6 0.7 0.8
0
0.02
0.04
0.06
0.08
0.1
0.12
0.14
0 0.1 0.2 0.3 0.4 0.5 0.6 0.7 0.8

C
/
H
S
l
i
p
p
a
g
e

:

m
1 g
0.6 g
1 g
0.6 g
S
l
i
p
p
a
g
e

:

m

C
/
H
25
o
25
o
25
o
dy = 0
dy = 0.01 m
dy = 0.05 m
dy = 0.1 m
dy = 0
dy = 0.01 m
dy = 0.05 m
dy = 0.1 m
dy = 0
dy = 0.01 m
dy = 0.05 m
dy = 0.1 m
Ricker 0.35 Hz Ricker 0.35 Hz Ricker 0.75 Hz Ricker 0.75 Hz
Ricker 1.50 Hz Ricker 1.50 Hz Ricker 3.50 Hz Ricker 3.50 Hz
m
=
1
M
g
r


































Figure 6. Influence of maximum elastic deformation, dy, on asymmetric sliding response triggered by
Ricker wavelets of maximum acceleration 1 g and of different frequencies.

Proceedings, 3rd Greece-Japan Workshop: Seismic Design, Observation, and Retrofit of Foundations. Santorini 2009
224
































S
l
i
p
p
a
g
e

:

m
S
l
i
p
p
a
g
e

:

m
dy : m dy : m
0
3
6
9
12
15
18
21
0 0.01 0.02 0.03 0.04 0.05 0.06 0.07 0.08 0.09 0.1 0.05
0
1
2
3
4
5
0 0.01 0.02 0.03 0.04 0.05 0.06 0.07 0.08 0.09 0.1 0.05
0
0.2
0.4
0.6
0.8
1
1.2
1.4
0 0.01 0.02 0.03 0.04 0.05 0.06 0.07 0.08 0.09 0.1 0.05
0
0.03
0.06
0.09
0.12
0.15
0 0.01 0.02 0.03 0.04 0.05 0.06 0.07 0.08 0.09 0.1 0.05

C
/
H
0.05
0.1
0.02
1 g
0.6 g
25
o
Ricker 0.35 Hz Ricker 0.75 Hz
Ricker 1.50 Hz Ricker 3.50 Hz
S
l
i
p
p
a
g
e

:

m
S
l
i
p
p
a
g
e

:

m
dy : m dy : m
0
3
6
9
12
15
18
21
0 0.01 0.02 0.03 0.04 0.05 0.06 0.07 0.08 0.09 0.1 0.05 0.05
0
1
2
3
4
5
0 0.01 0.02 0.03 0.04 0.05 0.06 0.07 0.08 0.09 0.1 0.05
0
1
2
3
4
5
0 0.01 0.02 0.03 0.04 0.05 0.06 0.07 0.08 0.09 0.1 0.05
0
0.2
0.4
0.6
0.8
1
1.2
1.4
0 0.01 0.02 0.03 0.04 0.05 0.06 0.07 0.08 0.09 0.1 0.05
0
0.2
0.4
0.6
0.8
1
1.2
1.4
0 0.01 0.02 0.03 0.04 0.05 0.06 0.07 0.08 0.09 0.1 0.05
0
0.03
0.06
0.09
0.12
0.15
0 0.01 0.02 0.03 0.04 0.05 0.06 0.07 0.08 0.09 0.1 0.05
0
0.03
0.06
0.09
0.12
0.15
0 0.01 0.02 0.03 0.04 0.05 0.06 0.07 0.08 0.09 0.1 0.05

C
/
H
0.05
0.1
0.02

C
/
H
0.05
0.1
0.02
1 g
0.6 g
1 g
0.6 g
25
o
25
o
25
o
Ricker 0.35 Hz Ricker 0.35 Hz Ricker 0.75 Hz Ricker 0.75 Hz
Ricker 1.50 Hz Ricker 1.50 Hz Ricker 3.50 Hz Ricker 3.50 Hz
Figure 7. Effect of characteristic frequency, f
o
, and of
C
/

ratio on maximum slippage with respect to


elastic deformation, dy (Excitation: single Ricker wavelet).


with the asymmetry of recorded motions, which is what accentuates the importance of polarity.
It is mainly the nearfault strong motions which are highly asymmetric due to the contained
directivity and fling pulses. But few such motions had been recorded worldwide twenty
years ago. Now a large number has become available.
The sliding analysis of Fig. 8 is simple but most revealing. For a steep slope ( = 25

) and a
yield acceleration ratio a
C
/a
H
= 0.2, we notice the following : When the first sinusoidal
acceleration half-pulse is downward [as in Fig. 8(a) on the right] the block remains almost
attached to the base. Only a mere 0.18 m uphill displacement takes place (see the upward
slippage region enclosed by the dotted lines, starting at 1 sec and ending at 1.8 sec). Even in
this small 0.18 m deformation, the yielding part is particularly smaller than the elastic. The
subsequent, second (and last), upward half-pulse acceleration of the base initiates an uninhibited
downslope slippage of the block, which lasts for a long time after the excitation has terminated
t 2.4 sec on t 5.2 sec. The result is a huge 7.70 m.
In stark contrast, when the first sinusoidal acceleration half-pulse of the base is upward [as in
Fig. 8(b) at the left] the block starts sliding downslope almost immediately. But it soon comes
to a stop after about 1.4 seconds, as the upward base motion decelerates and then reverses. The
resulting residual slip is only 3.14 m, almost 2.5 times smaller than the 7.70 m produced with
the reverse motion!
This effect of reversing the polarity of shaking is of profound importance, especially with
fling type motions (as the sinus pulse studied above). It may not however be as dramatic with
Proceedings, 3rd Greece-Japan Workshop: Seismic Design, Observation, and Retrofit of Foundations. Santorini 2009
225
directivity affected motions if they contain several competing cycles of pulses, as seen in
Fig. 9 with the Ricker wavelet.










































-12
-10
-8
-6
-4
-2
0
2
4
-1 0 1 2 3 4 5 6 7 8
0
1
2
3
4
5
6
7
8
0 1 2 3 4 5 6
-12
-10
-8
-6
-4
-2
0
2
4
-1 0 1 2 3 4 5 6 7 8
A
(
t
)

:

m
/
s
2
t : s
-15
-10
-5
0
5
10
15
0 1 2 3 4 5 6
D
(
t
)

:

m
T

:

k
N
D : m
25
o
25
o
+

-15
-10
-5
0
5
10
15
0 1 2 3 4 5 6
-1
0
1
2
3
4
5
6
7
8
0 1 2 3 4 5 6
t : s
D : m
Ground
Sliding block

C
/

= 0.2
3.14 m
7.70 m
(b) (a)
-12
-10
-8
-6
-4
-2
0
2
4
-1 0 1 2 3 4 5 6 7 8
0
1
2
3
4
5
6
7
8
0 1 2 3 4 5 6
-12
-10
-8
-6
-4
-2
0
2
4
-1 0 1 2 3 4 5 6 7 8
A
(
t
)

:

m
/
s
2
t : s
-15
-10
-5
0
5
10
15
0 1 2 3 4 5 6
D
(
t
)

:

m
T

:

k
N
D : m
25
o
25
o
+

25
o
25
o
+

-15
-10
-5
0
5
10
15
0 1 2 3 4 5 6
-1
0
1
2
3
4
5
6
7
8
0 1 2 3 4 5 6
t : s
D : m
Ground
Sliding block

C
/

= 0.2
C
/

= 0.2
3.14 m
7.70 m
(b) (a)

Figure 8. Acceleration and displacement time histories for a stiff elasto-plastic system with yield
displacement dy = 0.05 m. The third row of figures illustrates the forcedisplacement response.
(Excitation: one-cycle Sinus of 0.57 Hz frequency).
6 CONCLUSIONS
The solutions portrayed graphically in the paper (through the acceleration and velocity time
histories of the base and mass) are easy to understand, offering considerable insight into the
dynamics of asymmetric sliding when elastic pre-yielding is taken into account. The effects
of elastoplastic yielding on the final accumulated displacement are: (a) the time shift in the
Proceedings, 3rd Greece-Japan Workshop: Seismic Design, Observation, and Retrofit of Foundations. Santorini 2009
226
sliding time-histories of the mass, and (b) the increase of uphill deformation for accelerations
smaller than the critical because of elasticity.
Forwarddirectivity and flingstep affected motions, containing severe acceleration pulses
and/or large velocity steps, may have an unpredictably-detrimental effect on residual slip,
especially for small values of the critical acceleration. The unpredictability of asymmetric
response arises from the sensitivity of the sliding on the sequence, duration, and details of
motion.
Changing the polarity of excitation (i.e., applying it in the + and then in the direction) has a
significant effect on the accumulated slippage.



25
o
25
o
+

0
9
18
27
36
45
0 0.2 0.4 0.6 0.8 0 0.2 0.4 0.6 0.8 0 0.2 0.4 0.6 0.8

C
/
H
+



















Figure 9. The impact of alternating excitation polarity on the induced yielding for both the Ricker and
one-cycle sinus pulses. Three different values of elastic deformation, dy, are presented.
7 ACKNOWLEDGEMENT
The research presented in this paper was financially supported by the Secretariat for Research
and Technology of Greece, under the auspices of PENED Programme with Contract number
03ED278. We thank Dr. Ioannis Anastasopoulos for his thoughtful help in programming
aspects of this study.
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S
l
i
p
p
a
g
e

:

m

C
/
H

C
/
H
f
o
= 0.57 Hz,
f
o
= 0.57 Hz,
f
o
= 0.35 Hz,
f
o
= 0.35 Hz,
One-Cycle Sinus
Ricker
}
}
+
+

dy = 0.01 m dy = 0.05 m
dy = 0.1 m
25
o
25
o

+
25
o
25
o
+

0
9
18
27
36
45
0 0.2 0.4 0.6 0.8 0 0.2 0.4 0.6 0.8 0 0.2 0.4 0.6 0.8

C
/
H

C
/
H

C
/
H
S
l
i
p
p
a
g
e

:

m
0
9
18
27
36
45
0 0.2 0.4 0.6 0.8 0 0.2 0.4 0.6 0.8 0 0.2 0.4 0.6 0.8

C
/
H

C
/
H

C
/
H
f
o
= 0.57 Hz,
f
o
= 0.57 Hz,
f
o
= 0.35 Hz,
f
o
= 0.35 Hz,
One-Cycle Sinus
Ricker
}
}
+
S
l
i
p
p
a
g
e

:

m
+

f
o
= 0.57 Hz,
f
o
= 0.57 Hz,
f
o
= 0.35 Hz,
f
o
= 0.35 Hz,
One-Cycle Sinus
Ricker
}
}
++

++

dy = 0.05 m dy = 0.05 m dy = 0.01 m dy = 0.01 m


dy = 0.1 m dy = 0.1 m
Proceedings, 3rd Greece-Japan Workshop: Seismic Design, Observation, and Retrofit of Foundations. Santorini 2009
227
Fardis, N., Georgarakos, P., Gazetas, G., and Anastasopoulos, I. (2003), Sliding Isolation of Structures:
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Proceedings, 3rd Greece-Japan Workshop: Seismic Design, Observation, and Retrofit of Foundations. Santorini 2009
228
1. THE PROBLEM: CODE SPECTRA CONTRADICT REALITY
It is well known how important soil effects are on the intensity and frequency content of ground
motions. In civil engineering practice these effects are often computed theoretically (wave
propagation analysis assuming equivalent-linear or nonlinear soil behavior). Yet, the seismic
codes have universally faced the problem of soil amplification in a purely empirical and (un-
avoidably) oversimplified way :
The soil deposits were classified in a few broad categories, each of which encompasses a
wide range of soil layer stiffnesses and thickness down to bedrock.
The response spectra S
a
(T) from numerous world wide accelerograms recorded on top of
soils belonging to each category, were statistically processed. The shape of the design
spectrum for the particular soil category was based on the average of the normalized
spectrum, S
a
(T)/A, for each period T, after some conservative smoothening.
The design spectra that have thus resulted share a crucial characteristic : the more flexible a
soil deposit (i.e. the smaller its stiffness and/or the larger its thickness), the flatter the design
spectrum.
Yet, reality has repeatedly shown the opposite trend ! Numerous records in soft soils have
produced response spectra of a sharp rather than flat shape, with well defined peaks around the
site fundamental period. Fig. 1 highlights the discrepancy between seismic codes and reality.
The Irrationality of Current Seismic Code Spectra for Soft Soils :
Proposed Remedy


A. Ziotopoulou
#
, G. Gazetas
Soil Mechanics Laboratory, National Technical University of Athens, Greece

#
presently, University of California at Davis
ABSTRACT: Seismic codes have universally adopted smooth design acceleration spectra, on
the basis of averaging of a large number of elastic response spectra of actual recordings. Such
spectra have, for each soil category, an essentially constant acceleration plateau, S
a
, usually
equal to 2.5A, followed by a descending acceleration branch. The period range of the constant-
acceleration plateau is larger for softer soils. However, such a flat shape of spectra has little re-
semblance to an actual soil-amplified spectrum. The unrealistic shape stems basically from the
fact that the spectra of motions recorded on soft soils belonging to one soil category attain their
maxima at different well-separated periods ; thereby, averaging them eliminates their peaks and
leads to a (spurious) flat spectrum. Through an extensive analytical parametric study we demon-
strate that by normalizing the period of the Spectra by the predominant period of motion, and
then averaging, results in a bi-normalized spectrum (S
a
/A : T/T
p
)which has a sharp peak at T/T
p

= 1. It is found out that this spectrum has a peak of S
a
/A 3.75 (rather than 2.5), for a narrow
range of normalized periods. The effect of such a spectrum especially on SSI studies may be
drastically different from the effect of a (conventional) code spectrum


Proceedings, 3rd Greece-Japan Workshop: Seismic Design, Observation, and Retrofit of Foundations. Santorini 2009
229
The consequences of such a disparity,, especially on SSI systems may be significantly detrimen-
tal.

2. WHY THIS DISCREPANCY ?
As illustrated in the sketch of Fig. 2, the culprit is the averaging of dissimilar response spectra ;
its accomplish : the very broad range of stiffness and thickness of each soil category. A range
of natural periods in the ratio of 1 to 4 is quite possible within one single category, say category
D (according to NEHRP). The actual seismic motions in a number of (soft) soil profiles be-
longing to category D but with so vastly different fundamental periods are likely to have re-
sponse spectra with sharp peaks at well-separated periods. Thus, at the period for which one
spectrum has a peak the spectra on sites with different periods are likely to have very small val-
ues. Hence, by averaging all these different values we simply annihilate the real sharp peaks.
In other words, spuriously and against safety, we disregard (or rather depress) the reso-
nance between soil deposit and excitation!
The topic has already been brought to light by Mylonakis & Gazetas (2000) and Gazetas
(2006), in an attempt to reevaluate the importance of soil-structure interaction (SSI). More re-
cently, Xu & Xie (2004) along similar lines developed a unique average bi-normalized spectrum
for 206 strong-motion records of the Chi-Chi (1999) earthquake. Each and every individual ac-
celeration response spectrum was doubly normalized : the ordinate, S
a
, with respect to the peak
ground acceleration, A; the abscissa, T, with respect to the predominant period T
p
of the spec-
trum. The average of the individual S
a
/A : T/T
p
spectra exhibited indeed a sharp peak, at T/T
p
= 1, with a maximum value of the order of 4, rather than the 2.5 of the code spectra. The practi-
cal indirect conclusion from the above studies was that the increase of the period of a structure-
soil system with decreasing soil stiffness would not necessarily lead to reduced intensity of
shaking, as presently implied by the code spectra.

3. SUMMARY OF THE ANALYTICAL (REMEDIAL) STUDY
In contrast with the purely empirical method with which the Code Spectra have been developed,
we follow an analytical methodology which comprises the following steps :
For a particular soil category (for example C according to EC8, or D according to NEHRP)
we construct a number of idealized generic soil profiles having the following characteris-
tic parameters:
velocity :
30 , S
V = 180 m/s, 260 m/s, 360 m/s
30 , S
V = average shear wave velocity from the
ground surface down to a depth of 30 m
distribution of V
s
with depth : uniform, trapezoidal, with-crust (see Fig. 3)
depth to rock : H = 30 m and 60 m.
rock to soil wave velocity ratio : V
S, ROCK
/ V
S,30
= 1.5 and 5
Seven accelerograms recorded on rock are utilized as (rock-outcrop) excitation after be-
ing scaled (up or down) to achieve peak ground acceleration : A = 0.20 g, 0.40 g, 0.60 g.
The names and earthquakes of these records are :
Stone Canyon Reservoir, Northridge 1994
Aegion-Rock, Aegion 1995
Sakarya, Izmit 1999
Dayhook, Tabas 1978
Gilroy-1, Loma Prieta 1989
Lucerne, Landers 1992
Superstition Mountain, Imperial Valley 1979.
Exciting all the aforesaid soil profiles with each record in all possible combinations results
in 1009 cases. They are analysed, first, with the well-known equivalent-linear method of
Schnabel et al, 1972(SHAKE) and, second, with the inelastic method (NL-DYAS) introduced
by Gerolymos & Gazetas, 2005.
Proceedings, 3rd Greece-Japan Workshop: Seismic Design, Observation, and Retrofit of Foundations. Santorini 2009
230


















Fig. 1: The discrepancy between a Code Design Spectrum typical for soft soils and the response
spectra of two actual soil amplified motions.















Fig. 2: Sketch illustrating the derivation of code spectra from the average (for each specific period)
of the S
a
/A values of all recorded spectra. The three individual idealized spectra are from possible
motions in three soft soil profiles, all belonging to the same Soil Class (Category), and all bearing the
effects of resonance but at different periods. The resulting spectrum spuriously suppresses the
soilexcitation resonance.
T ( sec )
0
1
4
5
6
0 0.5 1.5 2.5 1 2
Mexico (1985)
SCT
Kobe (1995)
Takatori
CODE
Spectrum
S
a
/ A
2
3
Damping= 5%
T ( sec )
0
1
4
5
6
0 0.5 1.5 2.5 1 2
Mexico (1985)
SCT
Kobe (1995)
Takatori
CODE
Spectrum
S
a
/ A
2
3
Damping= 5%
T
1
2
3
4
Response Spectra of Possible
Motions on 3 Soil Profiles
2.5
S
a
/ A
T
1
2
3
4
Response Spectra of Possible
Motions on 3 Soil Profiles
2.5
S
a
/ A
Proceedings, 3rd Greece-Japan Workshop: Seismic Design, Observation, and Retrofit of Foundations. Santorini 2009
231


The response spectra of the ground surface motions resulting from each of the 2x1009
analyses are utilized in two different ways :

(a) We normalize only the spectral accelerations by dividing with the corresponding peak
ground acceleration, S
a
/A --- the established conventional normalization used for deriv-
ing the current design spectra (S
a
/A :T).
(b) We normalize both the spectral acceleration, S
a
/A, and the period, T, by dividing it with
the predominant period T
p
of the ground surface motion. We call the plot S
a
/A : T/T
p
Bi-
Normalized Spectrum (BNS).

The average for each period T of the 1009 simply normalized spectral values (type (a)) give
a mean response spectrum (S
a
/A : T) which is expected to be quite similar with the current
code spectrum for this soil category.
The average for each period ratio T/T
p
of the 1009 doubly normalized spectra (type (b))
give a mean response spectrum (S
a
/A : T/T
p
) which is expected to differ both in shape and in
amplitude from the conventional spectrum.
4. RESULTS: TOWARDS A MORE RATIONAL SPECTRUM
All the 1009 response spectra obtained with the equivalent-linear soil response analyses and
simply or doubly normalized as afore-explained, are portrayed in Fig. 5(a) and 5(b) respec-
tively. Their average response spectra, after some conservative smoothening could serve as
the design spectra. The following conclusions emerge from the two figures :
(a) Regarding the conventionally derived spectrum as anticipated, its shape is indeed quite
similar with the smooth shape of the code spectrum for this soil category : a nearly constant
ordinate, approaching (from below) S
a
/A 2.5, for the range of periods from 0.15 sec to
0.60 sec, approximately. (Of course, if more excitations had been employed , and additional
and more realistic soil profiles had been considered, the period range of nearly constant S
a

would have likely increased, and the spectrum would have been even smoother.)
(b) Regarding the Bi-Normalized Spectrum its shape is vastly different from the conven-
tional spectrum : a sharp peak at T/T
p
1 dominates. Its maximum value, max (S
a
/A),
reaches 3.75, i.e. it is 50% greater than the peak value of the conventional spectrum.
Evidently, the (true or pseudo) resonance between soil and excitation is well preserved only in
the bi-normalized spectrum. The conventional Spectrum does not reflect the physics of the
problem, while being unsafe for many structures (with T T
p
) and leading to erroneous conclu-
sions on the possible effects of soil-structure interaction.

5. THE UNIQUENESS OF THE BI-NORMALIZED SPECTRUM
Several interesting attributes of the Bi-Normalized Spectrum (BNS) have been demonstrated
analytically by Ziotopoulou and Gazetas (2009). Specifically,:
The BNS is hardly influenced by soil category, i.e., it is practically the same for all soil
categories! The same conclusion was drawn by Xu & Xie (2004) for the strong records of
the Chi-Chi (1999) earthquake. (Of course, T
p
may change significantly from soil to soil,
decreasing with soil stiffness ; and moreover, it is often affected by the nature of seismic
excitation. Its estimation is a totally different ball game.)
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232
The BNS is only marginally influenced by the nature of the performed wave propagation
analysis : equivalent-linear and truly nonlinear analyses differ appreciably only in the
low-period range (T/T
p
< 0.5), not in the basic shape of the spectrum.
The BNS is only marginally influenced by the nature of seismic excitation. (Of course,
again, the above argument does not extend to T
p
which is partially controlled by the
dominant excitation periods.)
Indicative of the uniqueness of this BNS is Fig. 6, which reveals the practical independence of
BNS from the soil category contrary to the behavior of the conventional spectrum.



















Fig. 3: The three types of generic soil profiles used in our parametric investigation

























Fig. 4 Historic rock accelerograms used as excitation in our analyses (shown here scaled to
0.40 g).

z


(

m

)
V
s
V
S,30
V
S,30

V
S,30 V
s
V
s
V
S ( z = H )
V
R
V
R
V
R
z


(

m

)
V
s
V
S,30
V
S,30

V
S,30 V
s
V
s
V
S ( z = H )
V
R
V
R
V
R
Aegion Sakarya
Dayhook
Superstition Mtn.
Gilroy Stone Canyon
Lucerne
0.4
0.4
0
(g)
Aegion Sakarya
Dayhook
Superstition Mtn.
Gilroy Stone Canyon
Lucerne
0.4
0.4
0
(g)
Proceedings, 3rd Greece-Japan Workshop: Seismic Design, Observation, and Retrofit of Foundations. Santorini 2009
233































Fig. 5: Compilation of response spectra of ground surface motions from all the equivalent-linear
analyses. (a) Conventionally normalized spectra ; (b) Bi-Normalized spectra. The thick curves are
the mean response spectra.


7. CONCLUSION
One unique Bi-Normalized Spectrum (BNS), for all soil categories and most likely seismic exci-
tations, emerged from the comprehensive set of wave-propagation analyses reported in this arti-
cle. This unique spectrum is sketched in Fig. 7 and is approximated with the following algebraic
expressions :

S
a
/A = exp (1.35 [T / T
p
]

) for T/T
p
< 1

S
a
/A = 3.75 ( T/T
p
)
1.2
for T/T
p
1

The potential benefits from adopting this simple spectrum have been highlighted in the article.
However, the imprecise definition of T
p
and the difficulty in predicting it in reality remain the
main obstacles in adopting it at present.

T (sec)
H=60m
BiNormalizedSpectra
1
S
a
/A
T / T
P
Bi-Normalized Spectra
S
a
/A
3.75
T (sec)
H=60m
BiNormalizedSpectra
1
S
a
/A
T / T
P
Bi-Normalized Spectra
S
a
/A
3.75
Proceedings, 3rd Greece-Japan Workshop: Seismic Design, Observation, and Retrofit of Foundations. Santorini 2009
234























Fig. 6: Comparison of the mean spectra of Figure 5 (Soil: V
S,30
= 180 360 m/s) , with the mean
spectra for a much softer soil (V
S,30
= 100 m/s). The differences of the conventionally normalized
spectrum (top) almost disappear in the normalized spectra (bottom)












T ( sec )
C
C
C
S
a
/ A
S
a
/ A
T / T
p
T ( sec )
C
C
C
S
a
/ A
S
a
/ A
T / T
p
S
a
/ A
T /

S
a
/ A
T /

Proceedings, 3rd Greece-Japan Workshop: Seismic Design, Observation, and Retrofit of Foundations. Santorini 2009
235
Fig. 7: Mean Bi-Normalized Spectra (BNS) from the equivalent linear wave propagation (SHAKE)
and from the inelastic wave propagation (NL-DYAS) studies, and the idealized smooth spectrum
proposed for design. The algebraic expressions for two branches of this spectrum are given in the text.

ACKNOWLEDGMENTS
This work forms part of an EU 7
th
Framework research project funded through the European
Research Councils (ERC) Programme Ideas, Support for Frontier Research Advanced
Grant, under Contract number ERC-2008-AdG 228254-DARE.
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Earthquake Engineering and Engineering Vibration , 3 (2), 47-155



Proceedings, 3rd Greece-Japan Workshop: Seismic Design, Observation, and Retrofit of Foundations. Santorini 2009
237

3.
SoilStructureInteraction

1 INTRODUCTION
The Building Standard Law in Japan and its related enforcement and notices were revised for
the direction to the performance-based design in 1998. The calculation method of response and
limit strength was provided for checking structural serviceability and safety of buildings (Mido-
rikawa et al. 2000, Kuramoto et al. 2000, Kuramoto et al. 2002). The soil structure interaction
(SSI) effects should be considered when the effect will be not negligible. The appropriate me-
thod for the structural safety of buildings during severe earthquake needs to be proposed.
A method for incorporating SSI and calculating the equivalent period and damping effect is
presented. To obtain relationships between force and displacement of the building with a pile
foundation and surrounding soil, a pushover analysis is conducted (Watanabe et al. 2004). To
get the damping effect of the building with SSI, a radiation damping through piles is considered
(AIJ 2006). Based on these results, the building, pile foundation and surrounding soil are re-
placed with an equivalent single degree of freedom (ESDOF) model. The spectrum-based
method is applied to earthquake responses of a residence building with a span in short direction.
The results by the spectrum-based method are compared with those by the time history analy-
sis of the SSI model. Through comparison, the applicability of the method is discussed.
Calculation of seismic response of building based on pushover
analysis of SSI model


M. Iiba
Building Research Institute, Tsukuba, Japan
Y. Umemura
Ando Corporation, Minato-ku, Tokyo, Japan
O. Kurimoto
Obayashi Corporation, Kiyose, Tokyo, Japan
T. Akita
Chiba University, Inage-ku, Chiba, Japan
M. Teshigawara
Nagoya University, Chikusa-ku, Nagoya, Japan
K. Watanabe
Urban Renaissance Agency, Shinjyuku-ku, Tokyo, Japan

ABSTRACT: The soil structure interaction (SSI) effect should be considered when the SSI ef-
fect would be not negligible. The appropriate method for incorporating the SSI effect to res-
ponses of structure to evaluate structural safety needs to be proposed. To obtain relationships
between force and displacement of a building with a pile foundation and surrounding soil, a pu-
shover analysis is conducted. To evaluate a damping effect of the building with SSI, a radiation
damping through piles is considered. The building, pile foundation and soil system are replaced
with an equivalent single degree of freedom system and responses of the system are calculated
based on the acceleration spectrum-based method. The responses of the building are compared
with those by the time history analysis. The responses almost agree with those by time history
analysis and the proposed method is demonstrated to have enough accuracy for a practical use.
Proceedings, 3rd Greece-Japan Workshop: Seismic Design, Observation, and Retrofit of Foundations. Santorini 2009
238
2 EVALUATION PROCEDURE
The evaluation procedure involves the application of the equivalent linearization technique us-
ing the ESDOF system and the response spectrum analysis (Kuramoto et al. 2000), as shown in
Figure 1. The building is replaced with the ESDOF system with equivalent period and damping
factor. This is based on the result of the nonlinear pushover analysis with the distribution in
proportion to the first mode of the building vibration (Kuramoto et al. 2002).


Transition Curve
Demand Spectra
Capacity Spectrum
for Inelastic (h
eq
=7%, 10%,15%)
for Elastic (h
eq
=5%)
T
5%
T
15%
S
d
S
a
h
eq
15%
Performance Point (Response)
h
eq
at Performance Point
5%
T
7%
T
10%
7%
10%
Limit Value


Figure 1. Illustration of seismic response evaluation procedure based on response spectrum.

The flow for response evaluation of buildings during earthquake is shown in Figure 2. The
procedure consists of several steps as follows;
a) The ARS at ground surface is set. The acceleration (S
a
) and displacement response spectra
(S
d
) are drawn up (Demand Spectrum in Fig. 1).
b) The nonlinear pushover analysis for the model with a building, a foundation and a surround-
ing soil as shown in Figure 3. (Watanabe et al. 2004)
c) The force-displacement relationship of the ESDOF system (Capacity Spectrum in Fig. 1). is
established based on the results by the nonlinear pushover analysis.
d) Equivalent damping coefficient based on dissipation energy is calculated.
e) Based on the equivalent period and equivalent damping factor, the response of the ESDOF
system is obtained (Performance Point in Fig. 1).

The earthquake motion is given as the ARS at the outcropped engineering bedrock whose
shear wave velocity is about 400 m/s. The time histories of earthquake are fitted to the ARS
with random phases. By using equivalent linear analysis (Program SHAKE), the time history
responses on the ground surface whose average ARSs are calculated. A distribution of external
horizontal force to the superstructure is obtained through the time history analysis of the SSI
model. In the transverse direction, the distribution of horizontal force is the combination of a
uniform and a triangular distribution through height (Umemura et al. 2004).
The building is replaced with an ESDOF system as shown in Figure 4 (Kuramoto et al. 2002).
The force-displacement relationship of the ESDOF system is given by equations (1) and (2),
when the force corresponds to the base shear (
B 1
Q ), and its displacement (
1
) corresponds to
the displacement at an equivalent height (
e
H ) where the modal participation function is equal to
1.0 ( { } 0 . 1
1 1
= u )
Proceedings, 3rd Greece-Japan Workshop: Seismic Design, Observation, and Retrofit of Foundations. Santorini 2009
239
a 1
1
B 1
S M Q = (1)
d 1 1
S = (2)
where, M 1 = equivalent mass corresponding to the 1st mode, and
a 1
S and
d 1
S = accelera-
tion response and displacement response for the 1st mode, respectively.



START
Building, ground and earthquake motion, etc. conditions
Response acceleration spectrum
(considering amplification
properties of surface ground)
Response of each story
Pushover analysis of building,
foundation and soil model
ESDOF system (force
vs. displacement,
equivalent period
Damping coefficient and equivalent
damping factor of ESDOF
Response of ESDOF (shear force and displacement)
END


Figure 2. Flow for response evaluation.

Column
Girder
Footing
girder
Shear wall
Horizontal
Soil spring
Seismic
horizontal
force
Pile end bearing spring
Pile
Pile
peripheral
friction
spring



Figure 3. Overall model for pushover analysis.

Proceedings, 3rd Greece-Japan Workshop: Seismic Design, Observation, and Retrofit of Foundations. Santorini 2009
240

K
inel
1

SDOF System
Q
B
Structure Model
1

Q
B
H
e
Force Vector and
Displaced Mode
h
e
: equivalent height, Q
B
: base shear force
1
: horizontal Displacement at equivalent height

Figure 4. Multi-story model and ESDOF system of building
3 RELATIONSHIP BETWEEN LOAD AND DEFLECTION FOR PUSHOVER ANALYSIS
3.1 Modeling of members of superstructure
Column members are modeled as a rigid beam element with a rotational spring at the column
capital and column base. Beam members are also modeled as the rigid beam element with the
rotational spring in both ends, as shown in Figure 5. In these cases, the bending moment (M)
and rotating angle () make the model with a tri-linear type curve.
As far as the shear walls are concerned, as shown in Figure 6, beams and columns are able to
bear only axial tension only (beam ends, column capitals and bases are supported by hinges).
Wall member has axial and shear springs with the rotational springs at top and base. In other
words, wall member is modeled as virtual columns where the wall members can bear bending
and shearing forces.

McCracking moment
MyYielding moment
K0Elastic stiffness
KcStiffness after cracking
KyStiffness after yielding
Mc
M
My
Kc
K0
Ky



Figure 5. Model of beams.

Proceedings, 3rd Greece-Japan Workshop: Seismic Design, Observation, and Retrofit of Foundations. Santorini 2009
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Nonlinear shear
spring
Nonlinear rotary spring
Rigid beam
Nonlinear axial spring


Figure 6. Model of shear walls.

3.2 Model of piles
Pile members are modeled, as shown in Figure 7. The relationship between the bending moment
(M) and curvature () (M - curve) is set to a model as a tri-linear type skeleton curve. In the
modeling, the pile head axis force of superstructure required horizontal yield strength (at equiv-
alent to required Ds) was used. Then based on the M- curve calculated from the cross-section
equilibrium, the member characteristics of body structure was set up so as to obtain the expres-
sion: (Area -1) = (Area -2). Moreover, the relationship of the concrete stress-strain is specified
by using the bi-linear type skeleton curve, where the material strength of reinforcement is speci-
fied 1.1 times larger than the design standard strength, according to e function method. More-
over, the dissecting length of pile members is standardized as 1/2 of the pile diameter. In addi-
tion, the curvature distribution in the dissecting zone is specified constant. It was assumed that
the pile and pile cap is jointed rigidly.

M

Mc
MyMu
c y u
McCracking moment
cCurvature of cracking
MyYielding moment
yCurvature of yielding
MuUltimate moment
uCurvature of ultimate
Muu
E1I1
E2I2
Mcc
Cross-section Analysis
Area-2
Area-1



Figure 7. Model of piles (M- relation).

3.3 Model of sugrade reactions
The superstructure is modeled to a three-dimensional frame, and columns and girders are re-
placed with beam elements and bearing walls are replaced with the column beam. Spring mod-
els for horizontal subgrade reaction, skin friction and end bearing are set based on the recom-
Proceedings, 3rd Greece-Japan Workshop: Seismic Design, Observation, and Retrofit of Foundations. Santorini 2009
242
mendation by Architectural Institute of Japan (AIJ 2001, Watanabe et al. 2004). The models of
subgrade reactions are drawn in Figure 8. The pile group effect is not included in the analysis.



a) Horizontal subgrade reaction
b) End bearing reaction
c) Skin friction
R
F

10mm(c)20(s)
0.8R
F
3mm(c)5(s)
cClayersSandy
R
u

1/2R
u

0.1D

0.6mm 10mm
P
max

A (=2)BC (=1/3)k
ho

y
P
A (=2)BC (=1)k
ho

A (=2)BC (=4)k
ho

k
h
= y
-1/2
k
ho



Figure 8. Springs of soil reactions to piles.

Each spring is expressed as follows;

a) Horizontal subgrade reaction
Horizontal subgrade reaction is expressed as follows;
k
h
=ABCk
ho
(3)
where, k
h
= horizontal subgrade reaction per unit area; A, B and C = factors for dependency of
creep at static loading test, of strain at soil response and of soil nonlinearity, respectively; k
ho
=
horizontal subgrade reaction at displacement of 10mm (= 80E
o
d
-3/4
); where E
o
= modulus of
deformation of ground; and d = diameter of piles.
The value of P
max
is a plastic subgrade reaction and is expressed as follows;
P
max
= 3.0 K
p
z d for sandy soil
= 9c (z 2.5d) for clayer soil (4)
=2(1+1.4z/d) cz < 2.5d
where K
p
= coefficient of passive earth pressure; = unit weight; z = depth; and c = value of co-
hesion.

b) End bearing reaction
The relationship between force and displacement at pile tip is expressed as follows;
Proceedings, 3rd Greece-Japan Workshop: Seismic Design, Observation, and Retrofit of Foundations. Santorini 2009
243
n
p pu
p p
p pu
p p p
A R
A R
A R
A R d S

+ =
/
/
) 1 (
/
/
1 . 0
/
(5)
where, = 0.23 (sandy soil) and 0.12 (gravel); and n = 2.70 (sandy soil) and 3.31 (gravel). And
S
p
= displacement at pile tip; Rp = vertical load; Ap = cross sectional area of pile; and R
pu
= ulti-
mate end bearing capacity. The value of R
pu
is expressed as follows;
R
pu
100N
ave
A
p
(6)
where N
ave
= average N value obtained from the standard penetration test.

c) Skin friction along pile
The ultimate skin friction of pile (R
F
) is as follows;
R
F
= 10/3NsLs for sandy soil (7a)
R
F
= 0.5q
u
Lc for clayer soil (7b)
where Ns = N value for sandy soil layers ( 30); Ls = thickness of sandy soil; q
u
= unconfined
compressive strength ( 200kN/m
2
); Lc = thickness of clayer soil; and = perimeter of pile.
4 EVALUATION OF EQUIVALENT DAMPING FACTOR
4.1 Evaluation of equivalent damping coefficient
As the contribution of damping effects by SSI, following items are mentioned;
i) Hysteretic damping due to soil nonlinearity at contact points between piles or embedment and
soil
ii) Material damping of soil due to nonlinearity with shear strain dependency during S-wave
propagation in the ground
iii) Radiation damping through pile or embedment to ground
In the study, only radiation damping is considered (AIJ 2006). A horizontal dashpot (viscous
damper) is set in parallel to the springs, as shown in Figure 9.

BWidth of Pile
D
u0Horizontal Displacement at Pile
Pile Tip
Ground Surface
C i
K i
uiHorizontal Displacement at Pile



Figure 9. Soil spring and dashpot in horizontal motion.

Proceedings, 3rd Greece-Japan Workshop: Seismic Design, Observation, and Retrofit of Foundations. Santorini 2009
244
The damping force in the perpendicular direction to pile axis is evaluated as follows (Iiba et
al. 2007);
i Hij Hij
u C F & = (8)
ij j Li i Hij
D d V C = (9)
where C
Hij
= viscous damping coefficient; u
i
= response displacement of all piles at i-th layer in
horizontal direction;
i
= density of soils at i-th layer; V
Li
= Lysmers velocity of soils at i-th
layer; d
j
= diameter of j-th pile; and D
ij
= length of division along j-th pile. When the dis-
placement at all pile head is set to be u
0
and the equivalent viscous damping coefficient at pile
head for j-th pile is to be C
H0j
, the damping force at j-th pile head is obtained as follows;
( )

= =
j i
i Hij j H j H
u C u C F & &
0 0 0

(10)
The total equivalent viscous damping coefficient of all piles (C
sw
) is shown.
) (
0 0 0
u C u C
j H sw
& & = (11)
The C
sw
is expressed by the damping coefficient of each dashpots (C
H0i
) as follows;
0
/ ) ( u u C C
i Hij
j i
sw
=

(12)
In case of rotational motion, the radiation damping model is illustrated in Figure 10. The ver-
tical displacement at i-th layer and j-th pile is set to be v
ij
. The equivalent viscous damping coef-
ficient at pile head is expressed as follows;

=
j i
j ij Vij ro
L v C C
0
/ ) (
(13)
ij j i S i Vij
D d V C = (14)
where
0
= average rotational angle at pile head; L
j
= distance from center of rotation; C
Vij
=
equivalent viscous damping coefficient at pile; and Vs
i
= S-wave velocity at i-th layer.


LjDistance to Pile
Center of Rotation
0Average Rotational Angle at Pile Head
iAverage Rotational Angle at Pile
vijVertical Displacement at Pile


Figure 10. Soil spring and dashpot in rocking motion.
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245
4.2 Equivalent damping factor of buildings with SSI system
The equivalent viscous damping factor (he) of the total system is expressed as follows;
3 3 3

=
eq
b
b
eq
ro
ro
eq
sw
sw e
T
T
h
T
T
h
T
T
h h (15)
where T
b
, T
sw
, T
ro
and T
eq
= predominant periods for superstructure, sway, rocking and whole
system in the ESDOF; and the h
b
, h
sw
and h
ro
= equivalent viscous damping factors of super-
structure, sway and rocking system corresponding to predominant period of each mode.
The damping factors are obtained using following equations;
03 . 0
1
1
1
+

b
h
(16)
M
C
h
sw
sw
sw
1
2
= ,
2
1
2
e ro
ro
ro
MH
C
h

= (17)
where
1
= value dependent on structural system of superstructure (0.25 for general RC struc-
ture); = the plastic ratio (ratio of story drift to yield drift) of superstructure; and
sw
and
ro
=
predominant circular frequencies for sway and rocking motions.
4.3 Reduction factor for Acceleration response spectrum
To get the acceleration and displacement responses according to the damping factor of system, a
following reduction factor (F
h
) for the ARS is used;
e
h
h
F
10 1
5 . 1
+
=
(18)
5 BUILDING-PILE-SOIL MODEL FOR RESPONSE CALCULATION
5.1 Outline of Models
Three buildings with 5, 8 and 14-story and one soil ground are selected. Elevations of 8 stories
building are drawn in Figure 11. The short span (transverse) direction of the residential building
is analyzed, which consists of continuous bearing walls through the height in the direction. The
response of building in transverse direction is much influenced by sway and rocking motions of
the foundation. The height, mass distribution and other properties of the buildings are presented
in Tables 1, 2. The soil properties of ground are summarized in Table 3 and Figure 12. The soil
deposits have 0.73 s in predominant period at small shear strain region.


a) Longitudinal direction b) Transverse direction

Figure 11. Elevations of 8 stories building.
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246

Table 1. Dimensions and properties of buildings.
_______________________________________________________________________
Structure Floor 5-story Floor 8-story 14-story
Height Mass Height Mass Height Mass
________________________________________________
m t m t m t
_______________________________________________________________________
Superstructure R 42.7 764
14 39.9 674
13 37.2 682
12 34.4 687
11 31.7 703
10 28.9 711
9 23.7 765 26.1 728
8 20.9 667 23.3 737
7 18.2 680 20.5 748
6 15.3 900 15.4 683 17.7 755
5 12.6 686 12.7 696 14.9 775
4 9.80 681 9.90 706 12.1 787
3 7.05 680 7.15 708 9.20 795
2 4.30 700 4.40 715 6.35 799
Foundation 1 1.10 805 1.00 1038 2.00 1405
Total 4452 6658 11749
Effective Value 9.32 4314 14.1 6094 27.5 9690
at first mode*
Embedment 1.30 1.40 3.20
______________________________________________________________________
* To include the depth of embedment

Table 2. Dimension of piles.
________________________
Story Diameter Tip depth
m m
_______________________
5 1.3-1.5 32
8 1.6-1.8 32
14 2.2 32
________________________

Table 3. Soil properties of ground model.
_________________________________________
Depth Soil type Density Vp Vs
_________________________________________
m t/m
3
m/s m/s
_________________________________________
14 clay 1.6 500 130
20 Fine sand with silt 1.8 450 150
28 Fine sand 1.8 575 200
>28 Gravel 2.0 1000 400
_________________________________________

0.00
0.05
0.10
0.15
0.20
0.25
0.30
0.00
0.20
0.40
0.60
0.80
1.00
1.0E-05 1.0E-04 1.0E-03 1.0E-02 1.0E-01
h
G
/
G
0
Shear Strain
Clayey Soil
Sandy Soil


Figure 12. Nonlinear characteristic of soil.
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5.2 Earthquake motion
The earthquake motion is given as the ARS at the outcropped engineering bedrock as drawn in
Figure 13. The time history responses on the ground surface whose average ARS is drawn in the
same Figure, are calculated. Table 4 summarized the equivalent S-wave velocities and damping
factors which are obtained by the equivalent linear analysis.

0
5
10
0.1 1.0 10.0
A
c
c
e
l
e
r
a
t
i
o
n

(
m
/
s
/
s
)
Period (s)
Ground Surface
Outcropped Engineering Bedrock


Figure 13. ARS of engineering bedrock and ground surface.

Table 4. Equivalent S-wave velocity and damping factor.
___________________________________________________
Depth Initial Values Values during earthquake
Vs h Vs h
___________________________________________________
m m/s m/s
___________________________________________________
2.33 130 0.02 123 0.023
4.66 130 0.02 106 0.071
6.99 130 0.02 92.2 0.104
9.32 130 0.02 83.9 0.122
11.7 130 0.02 77.7 0.134
14.0 130 0.02 73.0 0.143
17.0 150 0.02 58.8 0.193
20.0 150 0.02 55.6 0.196
24.0 200 0.02 97.8 0.173
28.0 200 0.02 89.3 0.182
>28.0 400 0.02 400 0.02
___________________________________________________

5.3 Load and deflection relationship of buildings
Figure 14 presents the relationships between shear force and drift at each story of 8-story build-
ing through the nonlinear pushover analysis. The acceleration-displacement relationship of the
ESDOF system is obtained as shown in Figure 15. In the figure, the displacements of super-
structure, sway motion, rocking motion and total at the equivalent height of building are drawn.
The equivalent period of the system at any horizontal displacement, as shown in Figure 16, is
calculated using a following equation.
) / (
2
1 1
1

B
eq
Q
M
T = (19)
The equivalent period gradually increases with displacement due to the nonlinear characteris-
tics of structural members and soil reaction.

Proceedings, 3rd Greece-Japan Workshop: Seismic Design, Observation, and Retrofit of Foundations. Santorini 2009
248
0
10000
20000
30000
40000
50000
0 5 10 15
S
t
o
r
y

S
h
e
a
r

F
o
r
c
e

(
k
N
)
Story Drift (cm)
1F
2F
3F
4F
5F
6F
7F
8F
Pile Head


Figure 14. Shear force vs. drift at each story (8F building).


0
200
400
600
800
1000
0 5 10 15 20 25
S
p
e
c
t
r
a
l

A
c
c
e
l
e
r
a
t
i
o
n


(
c
m
/
s
e
c
2
)
Spectral Displacement (cm)
Building Rocking
Sway
1
S
a
-
1
S
d


Figure 15. Relationship between
1
S
a
and
1
S
d
(8F building).

0.0
0.5
1.0
1.5
0 5 10 15 20
E
q
u
i
v
a
l
e
n
t

P
e
r
i
o
d

(
s
)
Spectral Displacement (cm)


Figure 16. Equivalent period with displacement (8F building).

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249
5.4 Equivalent damping coefficient
Based on horizontal and vertical displacements of piles based on pushover analysis and the
equivalent s-wave velocities of soil deposits (Table 4), the equivalent viscous damping coeffi-
cients at pile head are obtained as three lines drawn in Figure 17. The dependency of displace-
ment or rotational angle at pile head on the damping coefficients is not so remarkable. The
damping coefficients tend to increase with horizontal displacement or rotational angle.

a) Sway motion
0.0E+00
1.0E+04
2.0E+04
3.0E+04
4.0E+04
5.0E+04
6.0E+04
0 1 2 3 4 5 6 7 8 9 10
V
i
s
c
o
u
s

C
o
e
f
f
i
c
i
e
n
t

(
k
N
s
/
m
)
Displacement (cm)
5F2c
8F2c
14F2c
5F2c(TLE,h=2%)
8F2c(TLE,h=2%)
14F2c(TLE,h=2%)

b) Rocking motion
0.0E+00
2.0E+06
4.0E+06
6.0E+06
8.0E+06
1.0E+07
1.2E+07
1.4E+07
1.6E+07
0.000 0.002 0.004 0.006 0.008 0.010
V
i
s
c
o
u
s

C
o
e
f
f
i
c
i
e
n
t

(
K
N
m
s
/
r
a
d
)
Rotation Angle (rad)
5F2c
8F2c
14F2c
5F2c(TLE, h=2%)
8F2c(TLE, h=2%)
14F2c(TLE, h=2%)


Figure17. Equivalent viscous damping coefficients.
5.5 Bending moment and curvature relationship of piles
The pile arrangement of 8-story building is shown in Figure 18. Three different diameters of
piles are used in the building. The relationships between bending moment and curvature for two
piles are drawn in Figure 19. The characteristics of pile at position (X4, Y1) are calculated on
condition that the pile has an additional pulling force due to an overturning moment during
earthquake. On the other hand, the characteristics of pile at position (X4, Y2) are calculated un-
der the additional compressive force due to the overturning moment.

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250
Y2
Y1
X1 X2 X3 X4 X5 X6 X7
Diameter of pile
: 1600 : 1700 : 1800

Figure18. Pile arrangement of the foundation (8F building).

0
2000
4000
6000
8000
0 0.001 0.002 0.003 0.004 0.005 0.006
B
e
n
d
i
n
g

M
o
m
e
n
t

(
k
N

m
)
Curvature (1/m)
PilepositionX4,Y1

0
2000
4000
6000
8000
10000
12000
14000
0 0.001 0.002 0.003 0.004 0.005 0.006
B
e
n
d
i
n
g

M
o
m
e
n
t

(
k
N

m
)
Curvature (1/m)
PilepositionX4,Y2


Figure19. Pile arrangement of the foundation (8F building).
6 RESPONSE OF BUILDINGS
Based on the equivalent period and equivalent damping factor, the response of the ESDOF sys-
tem is obtained through Figure 1. The cross points between demand and capacity spectra give
the maximum acceleration and displacement of the system. Figure 20 shows the responses of 8-
and 14-story buildings under the acceleration responses at ground surface and the force-
displacement relationship of the system with SSI.
Table 5 summarizes the maximum acceleration at equivalent height, the maximum shear
force at both 1
st
story and pile head and the maximum displacement of sway, rocking and build-
ing at building top. The maximum response accelerations of buildings are about 4 m/s. The
shear forces at pile head is 10-20% larger than those at 1
st
story. For 5-story building, the ratio
of sway to total is 59% and the effect of sway on the total displacement is remarkable. For 14-
story building, the effect of rocking is remarkable. In case of 8-story building, the effects of
sway and rocking are similar.
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251

a) 8-story building
0
200
400
600
800
1000
0 5 10 15 20 25 30
Spectral Displacement (cm)
S
p
e
c
t
r
a
l

A
c
c
e
l
a
r
a
t
i
o
n

(
c
m
/
s
e
c 2
)
Sa-Sd Spectrum (h=5%)
Sa-Sd Spectrum (h=14.7%)
Capacity Specturm
Te=0.675s
Response

b) 14- story building
0
200
400
600
800
1000
0 5 10 15 20 25 30 35 40
S
p
e
c
t
r
a
l

A
c
c
e
l
a
r
a
t
i
o
n

(
c
m
/
s
e
c
2
)
Spectral Displacement (cm)
Sa-Sd Spectrum (h=5%)
Sa-Sd Spectrum (h=12.3%)
Capacity Specturm
Te=1.49s
Response

Figure 20. Response of ESDOF system.

Table 5. Maximum response of buildings.
a) Acceleration and shear force
_______________________________________________
Story Acceleration shear force
Pile head 1
st
story
_______________________________________________
m/s
2
kN kN
_______________________________________________
5 3.94 1.70E+04 1.37E+04
8 3.87 2.36E+04 2.07E+04
14 4.77 4.65E+04 4.22E+04
_______________________________________________
b) Displacement (sway, rocking and building)
_____________________________________________
Story Displacement
Total Sway Rocking Building
_____________________________________________
cm cm cm cm
_____________________________________________
5 2.62 1.54 0.87 0.21
8 5.85 2.18 2.90 0.77
14 36.0 5.94 25.6 14.45
_____________________________________________

The equivalent periods and damping factors of buildings are summarized in Table 6. The
equivalent period is calculated as follows;
Proceedings, 3rd Greece-Japan Workshop: Seismic Design, Observation, and Retrofit of Foundations. Santorini 2009
252
2 2 2 2
b ro sw e
T T T T + + = (20)
a total e
S u T
1
/ 2 = (21)
where u
total
= the displacement at equivalent height. The mode whose period is the largest
among the periods is predominant in the SSI system. For 5-story building, the sway mode is
predominant. For 14-story building, the mode of rocking is remarkable.

Table 6. Equivalent periods and damping factors of buildings.
a) Equivalent periods
_________________________________________
Story T
b
T
sw
T
ro
SSI(T
e
)
_________________________________________
s s s s
__________________________________________
5 0.12 0.39 0.23 0.47
8 0.24 0.47 0.42 0.68
14 0.61 0.70 1.17 1.49
__________________________________________
b) Equivalent damping factors
_______________________________________________________
Story Building(h
b
) Sway(h
sw
) Rocking(h
ro
) SSI(h
e
)
_______________________________________________________
% % % %
_______________________________________________________
5 3.46 23.5 30.6 17.3
8 4.32 25.6 24.0 14.7
14 4.07 31.0 18.5 12.3
_______________________________________________________

The maximum responses of bending moment of piles at positions (X4, Y1) and (X4, Y2) are
plotted in Figure 19. The distributions of bending moment at these piles are drawn in Figure 21.

0
5
10
15
20
25
30
-4000 -2000 0 2000 4000
D
e
p
t
h

(
m
)
Bending moment (kNm)
(X4,Y1)

0
5
10
15
20
25
30
-6000 -3000 0 3000 6000
D
e
p
t
h

(
m
)
Bending moment (kNm)
(X4,Y2)


Figure 21. responses of bending moment of piles.

7 DISCUSSION ON PILE STIFFNESS, DAMPING COEFFICIENT AND EARTHQUAKE
RESPONSE
7.1 Equivalent stiffness of pile head and viscous damping coefficient
The equivalent stiffness of pile and viscous damping coefficients during earthquake by pushov-
er analysis are compared with those by the thin layer element (TLE) analysis. In the TLE analy-
sis, the damping factor of soil deposits is set to be 2%. Because that the material damping of soil
Proceedings, 3rd Greece-Japan Workshop: Seismic Design, Observation, and Retrofit of Foundations. Santorini 2009
253
deposit due to nonlinearity is not considered in this study. The dynamic impedance of the pile
foundation for horizontal and rocking motions are obtained, based on the linear approximation.
The dynamic impedances of pile foundation of 8-story building are drawn in Figure 22. As the
impedance functions have a frequency dependency. Because the spring and dashpot values are
assumed to be constant in the following time history analysis, the real parts of impedances at
frequency of 0.1Hz are adopted as the spring constant, and the minimum values of the damping
coefficients are selected.

a) Sway motion
0.0E+00
2.0E+06
4.0E+06
6.0E+06
8.0E+06
1.0E+07
1.2E+07
0 1 2 3 4 5
I
m
p
e
d
a
n
c
e

(
k
N
/
m
)
Frequency (Hz)
Real Part
Imaginary Part
Spring Constant at f=0.1 Hz
Damping Coefficient(3.11*E+04 kNs/m)

b) Rocking motion
0.0E+00
2.0E+08
4.0E+08
6.0E+08
8.0E+08
1.0E+09
1.2E+09
0 1 2 3 4 5
I
m
p
e
d
a
n
c
e

(
k
N
m
/
r
a
d
)
Frequency (Hz)
Real Part
Imaginary Part
Spring Constant at f=0.1 Hz
Damping Coefficient(3.09*E+06 kNms/rad)


Figure 22. Impedance functions of foundation of 8F building.

The equivalent spring constants and viscous damping coefficients are compared with the re-
sults by the TLE analysis in Table 7. And the equivalent viscous damping coefficients by the
TLE analysis are plotted in Figure 17. The sway spring values by the pushover analysis are a
good agreement to those by the TLE analysis. The difference is increased with height of build-
ing. The rocking spring values by pushover analysis are lower than the TLE results. The reason
is the difference of the characteristics of spring models for end bearing and skin friction of piles.
The spring values by the pushover analysis decrease with the relative displacement between pile
and soil. On the other hand, the properties of soil are treated to be equivalent linear in the TLE
method. While the horizontal damping coefficients by the radiation effect have a good agree-
ment to those by TLE results, the rotational damping coefficients are overestimated and about
three times those by TLE results.
In order to investigate the effect of spring values for end bearing, the springs which are al-
most the same as those in the TLE analysis are set at the pile tip. The equivalent viscous damp-
Proceedings, 3rd Greece-Japan Workshop: Seismic Design, Observation, and Retrofit of Foundations. Santorini 2009
254
ing coefficients at pile head are drawn in Figure 23. By using the same amount of spring at the
pile tip, the rotational damping coefficients are about two times those by TLE results.

Table 7. Comparison of spring values and viscous damping coefficients.
a) Sway motion
_____________________________________________________
Story Pushover analysis Thin layer element
Spring Damping Spring Damping
_____________________________________________________
kN/m kNs/m kN/m kNs/m
_____________________________________________________
5 1.12E+06 3.24E+04 1.51E+06 2.81E+04
8 1.11E+06 4.16E+04 1.65E+06 3.11E+04
14 7.83E+05 5.41E+04 1.91E+06 3.68E+04
_____________________________________________________
b) Rocking motion
__________________________________________________________
Story Pushover analysis Thin layer element
Spring Damping Spring Damping
__________________________________________________________
kNm/rad kNms/rad kNm/rad kNms/rad
__________________________________________________________
5 2.82E+08 7.78E+06 5.37E+08 2.31E+06
8 2.80E+08 1.04E+07 6.97E+08 3.09E+06
14 2.11E+08 1.45E+07 1.04E+09 4.70E+06
__________________________________________________________

0.0E+00
2.0E+06
4.0E+06
6.0E+06
8.0E+06
1.0E+07
1.2E+07
0.000 0.001 0.002 0.003 0.004
V
i
s
c
o
u
s

C
o
e
f
f
i
c
i
e
n
t

(
K
N
m
s
/
r
a
d
)
Rotation Angle (rad)
5F2c
8F2c
14F2c
5F2c(TLE, h=2%)
8F2c(TLE, h=2%)
14F2c(TLE, h=2%)

Figure 23. Equivalent viscous damping coefficients for rocking motion as to another model.

7.2 Earthquake response of building
In order to investigate the amount of the responses by spectrum-based method, the time his-
tory analysis on multi degree of freedom model of 5, 8 and 14-story buildings is conducted. The
relationship between shear force and story drift of superstructures is a tri-linear skeleton curve
based on the results by pushover analysis with base fixed condition. A standard rule under
unloading and reloading processes is used as the hysteretic characteristics. The damping factor
of superstructure is 3% in proportional to the initial stiffness of the story. In order to analyze the
SSI model, the spring and dashpot are added to the superstructure (SR model). The spring and
dashpot values are assumed to be constant in the time history analysis, as before mentioned. As
the spring constant, the real parts of impedances at frequency of 0.1Hz are adopted and the min-
imum values of the damping coefficients are selected (Fig. 22).
The distributions of maximum shear force and maximum displacement for 8-story building
by the spectrum-based method are compared with those by the time history analysis, as drawn in
Figure 24. While the maximum shear force by the spectrum-based method is a little smaller than
those by the time history analysis, the displacement is larger. The reason why the displacement
is larger is that the rocking (vertical) spring values by pushover analysis are lower than the TLE
Proceedings, 3rd Greece-Japan Workshop: Seismic Design, Observation, and Retrofit of Foundations. Santorini 2009
255
results (Table 7). Since the sway and rocking spring value of 8-story building by pushover anal-
ysis is two third and one forth times those by TLE method respectively, the displacement of
sway and rocking motions is remarkable in whole displacement.
The reason why the story shear force is smaller is that the response of building does not in-
clude the effect of higher vibration modes than 1
st
mode. From Table 1, the effective mass of
building for 1
st
mode is 0.92 times total mass. The effect of higher modes on the response needs
to be considered.

0
1
2
3
4
5
6
7
8
9
0 10000 20000 30000
S
t
o
r
y
Story Shear Force (kN)
Proposed
Method
Time
History
0
1
2
3
4
5
6
7
8
9
0 5 10
S
t
o
r
y
Displacement (cm)
Proposed
Method
Time
History

Figure 24. Story shear force and displacement distribution with height.
8 CONCLUDING REMARKS
Concluding remarks in the responses of buildings with SSI through the spectrum-based method
are summarized as follows.
1) The equivalent period of SSI system is estimated based on the pushover analysis of the build-
ing, foundation and surrounding soil model.
2) The equivalent viscous damping factor is estimated based on the radiation damping effect
through piles.
3) The sway spring values by the pushover analysis are a good agreement to those by the TLE
analysis. The difference is a little increased with height of building. The rocking spring values
by pushover analysis are lower than those by the TLE analysis.
4) The horizontal damping coefficients by radiation effect based on the pushover analysis have
a good agreement to those by TLE analysis. The rotational damping coefficients are about three
times those by TLE analysis. In case where the springs of pile tip are set to be almost the same
as those used in the TLE analysis, the difference of equivalent viscous damping coefficients be-
comes small.
5) The maximum shear forces by the spectrum-based method are a little smaller than those by
the time history analysis, while the displacements are larger. Because of low spring values,
sway and rocking displacements are more remarkable in the results by pushover analysis. As to
the smaller story shear force, the effect of higher vibration modes on the response of building
needs to be considered.
ACKNOWLEDGEMENTS
The authors express their sincere thanks to members of the committee Response evaluation
method and its example using spectrum-based method based on pushover analysis of building,
Proceedings, 3rd Greece-Japan Workshop: Seismic Design, Observation, and Retrofit of Foundations. Santorini 2009
256
foundation and soil model, for their suggestion related to the model of pushover analysis and
the method of spectrum-based method.
REFERENCESS
Architectural Institute of Japan, 2001. Recommendation for the design of building Foundations (in Japa-
nese)
Architectural Institute of Japan, 2006. Seismic response analysis and design of buildings considering dy-
namic soil-structure interaction (in Japanese)
Iiba, M., Umemura, Y., Kurimoto, O. & Inoue, Y. 2007. A study on seismic response of building based
on response spectrum using pushover analysis of combined super- and sub-structures, Structural field,
Summaries of technical papers of annual meeting, Architectural Institute of Japan, 99-106 (in Japa-
nese)
Kuramoto, H., Teshigawara, M., Okuzono, T., Koshika, N., Takayama, M. & Hori, T. 2000. Predicting
the earthquake response of buildings using equivalent single degree of freedom system, Proceedings
of 12th World Conference on Earthquake Engineering, Paper No. 1039
Kuramoto, H., Midorikawa, M. Teshigawara, M., Ueda, T. & Yoshimura, M. 2002. An overview of per-
formance-based seismic code of buildings in Japan, Advances in Mechanics of Structures and Mate-
rials, 333-338, A.A. Balkema Publishers
Midorikawa, M., Hiraishi, H., Ohkawa, I., Iiba, M., Teshigawara, M. & Isoda, H. 2000. Development of
seismic performance evaluation procedures in building code of Japan, Proceedings of 12th World
Conference on Earthquake Engineering, Paper No. 2215
Umemura, Y., Kurimoto, O., Iiba, M., Watanabe, K., Kuramoto, H. & Tamura, M. 2004. A study on the
seismic load distribution along vertical direction considering soil-building interaction, Structural field,
Summaries of technical papers of annual meeting, Architectural Institute of Japan, 217-220 (in Japa-
nese)
Watanabe, K., Umemura, Y., Teshigawara, M., iiba, M. & Tamura M. 2004. A study on seismic response
evaluation by monotonic analysis of building and its foundation, Proceedings of 13th World Confe-
rence on Earthquake Engineering, Paper No. 1939
Proceedings, 3rd Greece-Japan Workshop: Seismic Design, Observation, and Retrofit of Foundations. Santorini 2009
257
1 INTRODUCTION
For more available method on the seismic designs, it is very important to develop application of
the performance based design method. The strength demand spectrum based on the ductility fac-
tor is one of the most useful methods, which can be treated with nonlinear effects on the struc-
ture subjected to seismic forces (Iemura et al., 1998). However, on the performance evaluation
due to the strength demand spectrum, it is not always clear how to evaluate the damage on the
structures with respect to the hysteretic energy and input seismic motion energy. The strength
demand spectrum based on the damage evaluation of the structure has also been examined (Mi-
kami et al., 1998; Kimura et al., 2007). It has been indicated that one of the important factors on
the damage evaluations could be given by the total energy of the seismic motion on the structure
(Park et al., 1995). However, these researches have been carried out in the point of view on the
influence of the main shock.
It is presumed that the earthquake with severe intensity is so considerable effect due to after-
shocks that it is important to examine effects on the damage evaluation. Since the damage of
structure may be closely related to the earthquake input energy, it is essential to evaluate accu-
mulated energy on the structure due to aftershocks. For the evaluation of the damage of struc-
ture by the aftershock, it is important to clarify the accumulated damage on the performance
based design due to earthquake. The appropriate estimation of the deterioration due to after-
shock plays the important roles on evaluation of accumulated damages on the nonlinear re-
sponse situation due to aftershocks.
In this present study, effects on the aftershocks are examined with the damage index for the
soil structure interaction system (SSI), which is modeled with the sway rocking model. It is in-
dicated that the damage index is closely related with accumulated damage estimation of the
structure due to aftershocks. It is suggested that an increase of seismic intensity ratio of after-
shock to main shock leads to an increase of accumulated damage of the structure. Therefore, it
Aftershock Effects on Damage Evaluations for Soil Structure
Interaction System


K. Kawano & Y. Kimura
Kagohisma University, Japan
ABSTRACT: An available evaluation on aftershocks plays important roles on the performance
based design method to seismic motions. In this present study, it is examined about the uncer-
tainty effects on the damage index, which is evaluated with combining the ductility factor with
the hysteretic energy for the severe damage level of the structure for the soil-structure interac-
tion system. While there are a little bit influences of the damage index due to after shocks, it is
shown that the uncertainty on the maximum seismic motion plays important roles on the dam-
age index evaluation. For the performance based design to the seismic motion, the evaluation of
the uncertainty to the damage situation becomes so important that it can be carried out with the
fragility on the assigned damage level.


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258
is shown that the fragility on the assigned damage index leads to the available estimation on
damages due to aftershocks.
2 FORMULATION
Many researchers have examined for the dynamic SSI and supposed that the SSI plays impor-
tant roles on the seismic response evaluations. Taking into account the dynamic response repre-
sented with a few dominate vibration mode, the superstructure can be expressed with a single-
degree-of-freedom (SDOF) system. The nonlinear characteristics on the structure can be ex-
pressed with the trilinear model. The response evaluation of the total system may be represented
with a simplified model as shown in Figure 1. The governing equation of motion for the nonlin-
ear SSI system is expressed with

[ ]{ } { } [ ( )]{ } { } M x C x K t x F + + = (1)

in which [M] and [C] denote the mass and damping matrix, and [K(t)] denotes the stiffness ma-
trix on each time step including the soil foundation system with linear properties. {F} denotes
vector for the input seismic motion. { } x , { } x and { } x denote the acceleration responses, the ve-
locity responses and the displacement responses, respectively. If the dynamic response is carried
out within linear region, the governing equation of motion can be solved with modal analysis
and spectral analysis. On the other hand, if the response of the structure causes to be nonlinear,
it is hard to solve the equation in the frequency domain.

Figure 1. An idealized structure-soil-foundation model.

Thus, applying the incremental method for the equation (1), this equation can be solved with
the increment method because of the nonlinearity due to the structure. The equation (1) can be
expressed with the incremental method as follows :

[ ]{ } { } [ ( )]{ } { } M x C x K t x F + + = (2)
in which


[ ( )]{ } { } K t x F = (3)

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259

2
4 2
[ ( )] [ ( )] ( )[ ] [ ]

K t K t M C
t t
= + + (4)


2
4
{ } { } { }{( ){ } 2{ }} [ ](2{ })

F F M x x C x
t
= + + + (5)

Therefore, the increment of the responses can be determined by solving the equation (3).The
iterative procedure can be carried out using the Newton Raphson method. The damage evalua-
tion is conveniently conducted using the drift displacement and the energy ratio of the hysteretic
energy to the total input seismic energy. The drift displacement is depended upon the seismic
motion properties, the hysteretic characteristics and structural properties. For the damage
evaluations by means of combining the ductility ratio with the seismic response energy, the
damage index to the RC structure by Park et al is applicable to assess the damage situation by
means of the maximum displacement and the hysteretic energy as follows:

1
1 1
M
u y u
x
D dE
x Q x

= +

(6)
in which x
1M
and x
1u
stand for the maximum displacement and ultimate displacement, respec-
tively. The ultimate displacement can be determined by the corresponding allowable ductility
ratio. The allowable ductility ratio is 5.0 in this present study. Q
y
denotes the yield force of the
structure and denotes the coefficient depending on the characteristics of the structural member
(Fajfar, 1992). The damage index is practically related to the damage situations by means of the
damage assessment of real structures experienced to seismic forces as shown in Table 1. In this
present study, the strength demand spectra based on the damage index from 0.1 to 1.0 are exam-
ined.


Table 1. Relationship between Damage Index and Damage level.

3 RESULTS AND DISCUSSIONS
The accumulated damage estimation due to aftershocks is examined using typical seismic mo-
tions in Japan. In the present study, the damage evaluation is carried out with the three seismic
motions of near field type, Kobe-ns component, Taka-ns component and Port-ns component as
shown in Figure 2, which are obtained by Kobe earthquake (1995). All the seismic motions
Proceedings, 3rd Greece-Japan Workshop: Seismic Design, Observation, and Retrofit of Foundations. Santorini 2009
260
have a dominant frequency of relatively narrow range, for example, for Kobe ns from 0.3 sec to
0.8 sec.
In order to clarify the damage evaluation of the SSI system as shown in Figure 1, the seismic
response analysis of the SSI system is carried out using typical seismic motions corresponding
to the design spectra as shown in Figure 2. The soil foundation is supported by ground condition
with two layers, and the sway and rocking spring constant of soil foundation can be determined
by the each ground condition. Figure 3 shows the relation between the natural period and
ground condition of each seismic motion site. The natural period of SSI system is supposed to
be mainly depended on the superstructure.


Figure 2. Acceleration response.


Figure 3. Natural period due to each ground condition.

4 SEISMIC RESPONSES WITH AFTERSHOCK
For the evaluation on the influence of aftershock, it is necessary to simulate earthquake ground
motions including the aftershock. In this present study, it is assumed that substantial aftershock
would be occurred after the main shock. Assumption is made by the maximum acceleration of
aftershock, which yields the intensity of seismic motion from 10% to 70 % of main shock and
the same characteristic of motion.


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261
Figure 4 shows the time history of displacement response due to simulated earthquake ground
motions of the input intensity of 50% to Kobe-ns. The two lines denotes the displacement re-
sponse due to the damage index D=0.1 and 0.6, respectively. The natural period of the structure
is 0.5 sec. If the damage index is 0.6, the response leads to severe nonlinear response and to drift
of the displacement. Figure 5 similarly shows the time history of the displacement due to the
same seismic motion including aftershock. The natural period is 1.0 sec. The two responses are
denoted to the damage index D=0.1 and 0.6, respectively. The displacement response becomes
larger responses than the natural period 0.5 sec because of the dominant frequency of the input
motion. It is understood that the dynamic response due to aftershocks is affected for the damage
index 0.6 and the natural period of the structure.


Figure 4. Time history of displacement responses due to aftershock.



Figure 5. Time history of displacement responses due to aftershock.


Figure 6 shows the relation between restoring force and displacement to Kobe-ns. Each line
denotes responses due to the main shocks and aftershock. The abscissa denotes the ratio of the
displacement to the yield one and the ordinate does the ratio of the restoring force to yield one.
The natural period of the superstructure is 0.5 sec and the damage index 0.6. It is understood
that the maximum nonlinear response is caused by the main shock of input seismic motion and
aftershock plays important roles on increase of the hysteretic energy.



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262

Figure 6. Response of restoring force.
5 DAMAGE INDEX DUE TO AFTERSHOCK
In order to evaluate the influence of aftershock, the seismic response analysis is carried out with
the simulated earthquake ground motion. Figures 7 and 8 show the damage index with respect to
the influence of the aftershock, which is assumed to be the input intensity of 50%, to Taka-ns,
and Kobe-ns, respectively.
The effects on the aftershock are estimated with the difference from the corresponding target
damage index. When the damage level of the structure is slight such as 0.2, a constant damage
index is obtained in spite of the natural period of the structure. It is understood that there are a
little bit influences on the damage index due to aftershock. However, if the severe damage level
is allowed in structure, it is indicated that the influence of aftershock leads to somewhat increase
of the damage index in comparison with the damage index due to only the main shock. More-
over, it is understood that the damage index is considerably influenced by the natural period of
the structure. Therefore, the aftershock plays the important roles on the damage evaluation for
the performance based evaluation of the structure.


Figure 7. Damage index with aftershock (Taka ns).

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263

Figure 8. Damage index with aftershock (Kobe ns).

6 ENERGY RESPONSE DUE TO AFTERSHOCK
As previous mentioned, it is indicated that the hysteretic energy plays important roles on the
damage index evaluation. The damage index due to the aftershock is essentially influenced by
the hysteretic energy. The damage evaluation is so important roles that it could be demonstrated
by combining the ductility factor with the energy ratio of the hysteretic energy to the total input
energy. Figure 9 shows the energy responses to Taka-ns with the influence of the aftershock.
The natural period of the structure is 1.0 sec and the target damage index is 0.6. Each line corre-
sponds to the damping energy, the hysteretic energy, and the input seismic energy, respectively.
It is noted that the hysteretic energy of main shock comes out suddenly sharp increment be-
tween 5.0 sec and 10.0 sec in accordance with increase of energy of the input seismic motion. It
is known that increase of the hysteretic energy after about 60.0 sec is brought about the influ-
ence of the aftershock. Moreover, the increment of hysteretic energy aftershock indicates rela-
tively smaller than the main shock. However, the hysteretic energy due to the aftershock is sup-
posed to extend as input intensity of the seismic motion increases. Therefore, in order to
evaluate the influence of aftershock, it is very important to clarify the increment of hysteretic
energy due to the aftershock.
7 FRAGILITY ON ASSIGNED DAMAGE INDEX
A few of uncertainty are inherently involved in the input seismic motion and the strength
characteristics of the structure. For the available estimation of the damage index, it is so signifi-
cant roles that it is essential to clarify the effects on the uncertainty for the damage index
evaluation. Moreover, it is suggested that the uncertainty effects with respect to the damage
evaluation play important contributions on the damage evaluations for the performance based
design of the structure (Kimura et al, 2007). The damage index is evaluated with the yield dis-
placement, the maximum displacement response, the expected ultimate displacement and hys-
teretic energy. Taking into accounts the random property of the input seismic motion, the effects
of the uncertainty are so important that it should be involved with the damage evaluation of the
structure. In the present study, it is examined about the effect on the damage index due to the
uncertainty of the input maximum acceleration with the Monte Carlo simulation. The maximum
input acceleration of seismic motion is assumed to have a lognormal distribution. The coeffi-
cient of variation is 10%.
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264

Figure 9. Time history of energy response (Taka ns).


The target design damage index is assumed to be 0.6 for the simulation. The probability of
excess is evaluated for the assigned damage index such as 0.2, and 0.4. The damage index 0.2
corresponds to the slight damage situation and 0.4 to the moderate damage situation as shown in
Table 1.
Figure 10 shows the fragility on the assigned damage index of the SSI system. The input
seismic motion is Kobe-ns and the natural period 0.5sec. The abscissa denotes the mean value of
the maximum acceleration of the input seismic motion. When the assigned damage index is 0.2,
the excess is occurred from about 3.2m/s
2
, and the damage index simulated becomes above
the 0.2 for the maximum acceleration above about 5.0m/
s2
. For the damage index assigned
0.4, the excess is similarly appeared above the maximum acceleration 5.0m/s
2

and the prob-
ability of excess above 0.4 becomes almost 100% for the maximum acceleration about
7.5m/s
2
. The differences between the damage index 0.2 and 0.4 are so considerable that it is
important to figure out the probability of excess for the target design damage index.
8 CONCLUSIONS
The effects on damage evaluation due to aftershocks of SSI system are examined. The main re-
sults are summarized as follows:
(1) The damage index combined the maximum displacement with the hysteretic energy is
useful to evaluate the damage situation for the SSI system. The ground condition and the dy-
namic characteristics of input seismic motion play significant roles on evaluations of the dam-
age index.
(2) While the performance based design of the light level of damage can be evaluated by the
maximum ductility factor of the structure, it is available for the damage evaluations of the SSI
system to carry out combining the ductility factor with the hysteretic energy to the severe dam-
age level of the structure.
(3) For the performance based design to the seismic motion, it is significant to clarify the un-
certainty to the damage situation as demonstrated the fragility on the damage level assigned to
SSI system.

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265

Figure 10. Fragility on assigned damage index (Kobe ns).
REFERENCES
Iemura,H., Igarashi,A. & Takahashi,Y.(1998) Ductility and Strength demand for near field earthquake
ground motion: Comparative study on the Hyogo-ken Nanbu and the Northridge earthquakes, Struc-
tural safety and Probability, pp.1705-1708
Kawashima,K., Macrae,G.A., Hoshikuma,J. & Nagaya,K.(1994.), Residual displacement response spec-
trum and its application, Journal of structural mechanics and earthquake engineering, JSCE, No.501/
-29, pp.183-192 (in Japanese)
Kimura,Y. Kawano,K. & Nakamura,Y( 2007), Damage evaluation on nonlinear SSI systems due to
forces, Applications of statistics and probability in civil engineeringKanda,Takada&Furuta (eds), pp
1-8
Mikami,T., Hirao,K., Sasada,S., Sawada,T. & Nariyuki,Y.( 1998), A study on design spectra of seismic
intensity for level 2 earthquake, The 10
th
Earthquake Engineering Symposium, pp.3061-3066 (in
Japanese)
Park,Y.-J. & Ang,A.H.-S.(1995), Mechanistic seismic damage model for reinforced concrete, Journal
of Structural Engineering, Vol.111, No.4, pp.722-739

Proceedings, 3rd Greece-Japan Workshop: Seismic Design, Observation, and Retrofit of Foundations. Santorini 2009
266
Soil-Structure Interaction Problem of a School Building Based on
Earthquake Records and Dynamic Substructure Method


M. Nakamura, Y. Kitamura, J. Suzumura & K. Hanada
Department of civil engineering, College of science and technology, Nihon university, Tokyo, Japan


1 INTRODUCTION
ABSTRACT: The importance of dynamic interaction has been often pointed out for common
low- and medium-rise buildings however effects of dynamic interaction have not been actively
discussed at the stage of structural design. One of the reasons is that observation records for dis-
cussing soil-building interaction have not been accumulated sufficiently. College of science and
technology, Nihon university, has established the earthquake observation network for the
ground and school buildings in Funabashi Campus. The authors discuss inertial and kinematic
interaction effects for a SRC school building that has five stories above the ground and one
story under the ground for which earthquake observations are performed. Inertial interaction ef-
fects on the subject building's behaviors during an earthquake, which was recorded over 100gal
on the surface ground, are small, and such behaviors almost greatly depends on conditions of
the ground around the embedment of the building.


Earthquake resistance of socially important structures such as nuclear facilities has been evalu-
ated by earthquake observation, vibration tests and theoretical analyses with dynamic interac-
tion considered conventionally (Hanada 1987). On the other hand, the importance of dynamic
interaction has been often pointed out for common low- and medium-rise buildings however ef-
fects of dynamic interaction have not been actively discussed at the stage of structural design
(Tobita et al. 2009). One of the reasons is that observation records for discussing soil-building
interaction have not been accumulated sufficiently (Tobita et al. 2009).
College of science and technology, Nihon university, has established the earthquake observation
network for the ground and school buildings in Funabashi Campus as major subjects for under-
standing input earthquake motions to structures and their behaviors during earthquakes (Naka-
mura et al. 2006). Therefore, in this paper, the authors focus on a school building, which is a
typical low- and medium-rise building, and discuss inertial and kinematic interactions. The soil
and building is modeled with lumped mass system, respectively. The dynamic substructure
method is applied to connect the soil and building with interaction springs. For the interaction
springs, solutions of the circular foundation by the theory of elastic half-space are applied.
Moreover, inputs in the case of with and without excavation forces are discussed.
2 TARGET SITE AND OBSERVATION RECORDS
2.1 Subject structure
The subject structure is Building 14 of a steel framed reinforced concrete (SRC) structure lo-
cated around the center of the campus shown in Figure 1. Figures 2 and Photo 1 show outlines
and an overview of the building, respectively. The north and east wings of Building 14 are in L-
Proceedings, 3rd Greece-Japan Workshop: Seismic Design, Observation, and Retrofit of Foundations. Santorini 2009
267
type form and neighbor each other. In the foundation of both wings, cast-in-situ concrete piles
are placed at 52 spots (27 for the north wing and 25 for the east wing) with a bearing stratum of
GL-26m. Superstructures of both buildings are connected through expansion joints. The subject
for this study is the north wing, which has five stories above the ground (steel framed structure)
and one story under the ground (reinforced concrete structure). We focus only on the records
obtained in the lengthwise direction (X-direction) of X5-Y8 in RFL. The X-direction almost
corresponds to the EW-direction. The east wings behaviors are excluded because observation
has been just started therefore both quantities and quality of the data are not sufficient. More-
over, the behavior of north wings Y-direction is also excluded because it is presumed to be
greatly affected by the east wing. Some in-situ soil investigation results indicated the building
region is almost on horizontally layered soil locally (Adachi et al 1995).





















Building 14
(The north wing)
Point-D
N
0m 50m 100m
Blg.8
Blg.4
Blg.13
Blg.9
Blg.12
Blg.11
Blg.10
Blg.6
Blg.5
Blg.3
Blg.2
Blg.1
Blg.7
Sports
hall
Library

Figure 1. Campus layout.


unit:mm






RFL
B1FL
5FL
4FL
3FL
2FL
1FL GL
X1 X2 X3 X4 X5 X6 X7 X8 X9
2
2
,
4
0
0
6
,
4
5
0

(1) Vertical section view.










(2) Horizontal section view.
60,600
X1 X2 X3 X4 X5 X6 X7 X8 X9
Y9
Y8
Y7A
Y7
Y6
Y5
1
9
,
6
5
0

Proceedings, 3rd Greece-Japan Workshop: Seismic Design, Observation, and Retrofit of Foundations. Santorini 2009
268









(3) Pile location.
X1 X2 X3 X4 X5 X6 X7 X8 X9
Y9
Y8
Y7A
Y7
Y6
Y5
Y5A
Figure 2. Subject building.

The north wing

The east wing








Photo 1. A view of subject building.
2.2 Free field
Figure 3 shows in-situ soil investigation results conducted at Point-D shown in Figure 1. Inves-
tigation depth was from GL-46.5m to GL0m. From GL-46.5m to GL-20m, the S-wave velocity
(Vs) propagation varies in the range of 300-450m/s and it suddenly falls from GL-15m to the
ground surface. As for soil properties, the ground surface is Kanto loam, the soil down to GL-
20m is clay and loose sand, and those deeper are dense sand layers containing silt at intervals.
N-value exceeds 50 in the region of GL-26m, which is a bearing stratum of Building 14. The
vertical array observations are carried out at Point-D. In this study, ground surface behaviors of
Point-D are assumed free field behaviors.




0
10
20
30
40
Vs (m/s) Damping
Density (t/m
3
)
Soil investigation
Lumped mass model
Multiple reflection model




seismograph











Figure 3. The results of in-situ soil investigation at Point-D.

Proceedings, 3rd Greece-Japan Workshop: Seismic Design, Observation, and Retrofit of Foundations. Santorini 2009
269
2.3 Observation result
The transfer functions estimated by observed records to be referred as an index of numerical
model creation are described. Transfer functions are estimated by Hv estimation (Bendat et al.
2000) for ten records of small earthquakes. Figure 4 shows epicenter distributions of those small
earthquakes. Epicenters of those small earthquakes are seen around Kanto and their epicentral
distances are below 60km. Figure 5 shows acceleration response spectrum at GL0m of Point-D.
Dominant frequencies are seen around 5.5Hz in each record. Figure 6 shows transfer functions
of the free field system (GL0/GL-46.5m) and soil-building system (RFL/GL-46.5m).











M5
M4



Figure 4. Epicenter distributions.


0.01
0.1
1
10
100
1000
1 1

0
Frequency (Hz)
0.2









Figure 5. Acceleration response spectrum.


0
10
20
30
40
50
60
0 2 4 6 8 10
Frequency (Hz)
0
5
10
15
20
25
30
35
0 2 4 6 8 1



0
Frequency (Hz)







(1)GL0/GL-46.5m. (2)RFL/GL-46.5m.
Figure 6. Transfer functions.
Proceedings, 3rd Greece-Japan Workshop: Seismic Design, Observation, and Retrofit of Foundations. Santorini 2009
270
3 NUMERICAL MODEL
3.1 Interaction model
Figure 7 shows numerical interaction models. The soil and building were modeled with lumped
mass system. The dynamic substructure method is applied to connect the soil and building with
interaction springs for the purpose of examining inertial interaction effects. Rocking behavior is
ignored because the number of pile foundations placed in the subject building is large and only
the lengthwise behavior is focused on.
Model-A is the case without excavation force and, Model-B is that with excavation force. Re-
sponses and excavation force is calculated from the earthquake responses obtained from a one-
dimensional multiple reflection model. They are inputted to multiple points at the same time as
shown in Figure 8.























(1) Model-A. (2) Model-B.
Figure 7. Interaction model.

















Figure 8. Considering excavation force.
Proceedings, 3rd Greece-Japan Workshop: Seismic Design, Observation, and Retrofit of Foundations. Santorini 2009
271
3.2 Ground model
First, a lumped mass model of the soil is examined. A depth range of the modeling is from
GL0m to GL-46.5m. Vs distributions were obtained by revising the in-situ soil investigation re-
sults. The values used for this model are shown in Figure 3. Moreover, in order to assure that
the soil behaves as a free soil without being affected by building's behaviors, a total mass of the
soil was determined 1,000 times as large as the total mass of the subject building.
Next, a one-dimensional multiple reflection model is examined to evaluate excavation forces.
The soil specifications used for Figure 3 are already shown. Same as the lumped mass modeling,
we revised the Vs distribution so that the dominant frequency of observed values can corre-
spond to the model.
Transfer functions of GL0/GL-46.5m obtained from the lumped mass model and multiple re-
flection model are shown in Figure 9 together with observed values.
Over 7Hz for the multiple reflection model, differences occur from observed value however we
focus on effects of excavation forces here therefore we presume that these differences do not af-
fect the following discussions.


0
5
10
15
20
25
0 2 4 6 8 10
Observed
Lumped mass model
Multiple reflection model
Frequency(Hz)










Figure 9. Transfer functions (GL0/GL-46.5m).
3.3 Interaction springs
A foundation part of the subject building is rectangle. However, the authors predicted that there
would be no significant differences between the spring value, which is a detailed explanation for
the subject building, and approximate solutions. Therefore, in this study, we used a simple equa-
tion to substitute the embedded rectangular foundation for a circular foundation with a radius of
r
0
whose area is equivalent to the rectangular foundation as shown in Figure 10 (1).
For the interaction springs between the bottom face of the building's embedment and the soil,
we applied equations derived from Tajimi's vibration admittance theory (Tajimi 1968). As
shown in Figure 10 (3), the authors discuss the case that rigid distribution (RD) is assumed as
reaction distribution of the soil in the case that a circular rigid plate on an anti-infinite soil is ex-
cited horizontally on the interaction spring at the bottom face, and in the case of flat distribution
(FD). Novak's interaction springs are used as the interaction springs between the side face of the
structure's embedment and the soil. For Model-B with excavation force considered, dynamic
soil spring is approximated to a static spring with an assumption that Novaks interaction spring
on the building side are assumed uniform.









(1) Substitution of foundation. (2)Side, bottom, soil. (3)Circular rigid plate horizontally excited.
Figure 10. Substitution of foundation and circular rigid plate horizontally excited.
Proceedings, 3rd Greece-Japan Workshop: Seismic Design, Observation, and Retrofit of Foundations. Santorini 2009
272
3.3.1 Effects of structures stiffness
Effects of the buildings stiffness on the dynamic characteristics are discussed by comparing
transfer functions of the numerical model with observed values. Table 1 shows values of mass
and stiffness in the case that the subject building is substituted to lumped mass system. The
mass was calculated from design drawings. For the stiffness, the values calculated from the de-
sign drawings were multiplied by 1.6 times so as to correspond it to the first dominant fre-
quency of transfer functions obtained from the observed values. Figure 11 shows transfer func-
tions of RFL/GL-46.5m obtained with the parameters shown in Table 1. It was reported that
stiffness often do not correspond with small earthquake and/or microtremor observation results
when the specifications in the design drawings were used. A similar tendency was confirmed in
this study. This is because of the effects of so-called secondary members such as window
glasses, window frames and the walls between rooms, the authors presume.
Figure 11 also shows results estimated with RD and FD for reaction distribution of the bottom
face. As mentioned later, the behaviors do not greatly vary in either case. In other words, dy-
namic characteristics of the transfer function expressing roofs / foundations of the building de-
pend only on the buildings stiffness. We assume that the buildings stiffness behavior was
properly evaluated hence proceed to the following discussion.


Table 1. Parameters of the subject building.

Mass (t) Stiffness (kN/m)
m
SR
950.9
m
S5
824.9 k
S5
461744
m
S4
830.9 k
S4
669680
m
S3
840.7 k
S3
949616
m
S2
1020.0 k
S2
1031408
m
s1
2266.8 k
S1
1182112
m
s0
3456.2 k
S0
61573400



0
10
20
30
40
50
60
0 2 4 6 8 10
Observed
RD
FD
Frequency (Hz)










Figure 11. Transfer functions (RFL/GL-46.5m)

3.3.2 Effects of interaction spring
Comparing the transfer functions of the numerical model with the observed values, we focus on
the effects of differences in reaction distributions of the bottom face spring given to dynamic
characteristics. We have discussed the case of RD for a bottom face spring of the building and
that of FD, same as the transfer functions in Figure11. There are no significant differences be-
tween those two cases. The subject soil is comparatively soft and has a rigid foundation on it
therefore we use RD for the following study.
Moreover, great variations are not seen even after changing the spring on the bottom face of the
building therefore we cannot expect dramatic changes from a discussion on pile models.
Proceedings, 3rd Greece-Japan Workshop: Seismic Design, Observation, and Retrofit of Foundations. Santorini 2009
273
4 EARTHQUAKE RESPONSE ANALYSIS
4.1 Input earthquake motion
An earthquake response analysis is performed and interaction effects are duscussed. EW-
direction record observed at GL-46.5m of Point-D shown in Figure 12 is used as an input earth-
quake motion which was recorded over 100gal on the ground surface. The earthquake wave in
Figure 12 is inputted into the bottom of the each model and was performed an earthquake re-
sponse analysis in time domain.


-50
-25
0
25
50
0 10 20 30 40 50 60 70 80
Time (s)






Figure 12. Input earthquake motion.
4.2 Comparison of acceleration response spectrum
Figure 13 shows absolute acceleration response spectrum obtained from the top of the models as
a result of the earthquake response analysis. The figure also shows observed values in the build-
ing RFL. The peak frequencies almost agreed with the observed values in Model-A however the
response amplitudes were much lower than the observed values. On the other hand, both the
peak frequencies and the response amplitude agreed with observed values in Model-B.













(1) Observed value. (2) Without excavation force. (3) With excavation force.
(Model-A) (Model-B)
Figure 13. Absolute acceleration response spectrum at RFL.
5 CONCLUSION
In this study, the authors have discussed inertial and kinematic interaction effects for a SRC
school building that has five stories above the ground and one story under the ground for which
earthquake observations are performed. In conclusion, it has been revealed that inertial interac-
tion effect on the building's behavior during an earthquake is small and only those of input
should be considered. The followings are the conclusion obtained from this study.
1) Effects of interaction springs on the subject building's behavior during small earthquake is
small and such behavior almost depends on the buildings stiffness.
2) The subject building's behavior during an earthquake which was recorded over 100gal on
the surface ground is greatly affected by conditions of the soil around the embedment of the
building and we simulated building responses almost successfully by considering excavation
force.
0
200
400
600
800
1000
1200
1 10
h=0.05
h=0.20
h=0.40
A
c
c
e
l
e
r
a
t
i
o
n

r
e
s
p
o
n
s
e
(
g
a
l
)
Frequency(Hz)
0
200
400
600
800
1000
1200
1 10
h=0.05
h=0.20
h=0.40
A
c
c
e
l
e
r
a
t
i
o
n

r
e
s
p
o
n
s
e
(
g
a
l
)
Frequency(Hz)
0
200
400
600
800
1000
1200
1 10
h=0.05
h=0.20
h=0.40
A
c
c
e
l
e
r
a
t
i
o
n

r
e
s
p
o
n
s
e
(
g
a
l
)
Frequency(Hz)
Proceedings, 3rd Greece-Japan Workshop: Seismic Design, Observation, and Retrofit of Foundations. Santorini 2009
274
REFERENCES
Hanada, Kazufumi 1987. The modal Identification and System Identification for the Soil-Structure Sys-
tem. The report of Central Research Institute of Electric Power Industry UO5: (in Japanese)
Tobita, J., Fukuwa, N., Kojima, H. & Hamada, E. 2009. Development of Soil-Structure Earthquake Re-
sponse Observation for Evaluation of Dynamic Characteristics of Buildings, Journal of JAEE 9(3):
37-56. (in Japanese)
Nakamura, Masataka (The earthquake motion and earthquake-resistant structure research group of CST
Nihon university) 2006. Earthquake observation system in Funabashi area, the state of the data man-
agement: Journal of the research institute of science and technology Nihon university 112: (in Japa-
nese)
Adachi, H. (The earthquake motion and earthquake-resistant structure research group of CST Nihon uni-
versity) 1995. Study on earthquake motion characteristics based on earthquake observation system in
Narashino campus, Special report of the research institute of science and technology Nihon university
19: (in Japanese)
Bendat, J.S. & Piersol, A.G. 2000. Random data analysis and measurement procedure. New York: Wiley
Interscience.
Tajimi, H., Soil-structure interaction. 1968. Earthquake engineering. Tokyo: Shokoku-sha. (in Japanese)


Proceedings, 3rd Greece-Japan Workshop: Seismic Design, Observation, and Retrofit of Foundations. Santorini 2009
275

ABSTRACT: Soil interventions applied locally at the foundation level of structures result inevi-
tably in the modification of the foundation soil properties. The modified stiffness of the soil be-
low the structures affects in some extent both seismic wave propagation and soil-structure inter-
action mechanisms that may finally lead to a substantially different structural seismic response.
Such interventions may include either conventional soil mitigation techniques, oriented for up-
grading soil strength, or innovative solut