Yang et al.

Dynamic p-y Backbone Curves from 1g Shaking Table Tests

Eui Kyu Yang
Ph. D. Student, Department of Civil Engineering, Seoul National University, San 56-1, ShinlimDong, Kwanak-Ku, Seoul, 151-742, Korea, Tel: (82)-2-880-8732, Fax (82)-2-875-6933, E-mail:
sky12907@snu.ac.kr
Sang Seom Jeong
Professor, Department of Civil & Environmental Engineering, College of Engineering, Yonsei
University, Seoul, 120-749, Korea, Tel: (82)-2-2123-2807, Fax (82)-2-364-5300, E-mail:
soj9081@yonsei.ac.kr
Jeong Hwan Kim
Deputy General Manager/Ph.D, Department of Overseas Civil Eng Project, Civil Division,
Samsung C&T Corporation, Seoul, 137-857, Korea, Tel: (82)-2-2145-6024, Fax (82)-2-21456060, E-mail: jnghwan@samsung.com
Myoung Mo Kim
Professor, Department of Civil Engineering, Seoul National University, San 56-1, Shinlim-Dong,
Kwanak-Ku, Seoul, 151-742, Korea, Tel: (82)-2-880-7348, Fax (82)-2-875-6933, E-mail:
geotech@snu.ac.kr (corresponding author)
Length of Manuscript
Number of words (2654) + Figure 11(2750) + Table 4(1000) = 6404 < 7500
Submission date
August 1, 2008

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ABSTRACT
The p-y curve method, which can account for the non linear behavior of soil, is used for
modeling dynamically loaded pile foundations in pseudo-static analysis. The p-y curves for static
loading conditions are frequently applied even for seismic loading conditions with slight
modifications without further verification, because dynamic p-y curves for seismic loading
conditions have not been well established. In this study a series of 1g shaking table tests were
carried out at various conditions of acceleration frequency, acceleration amplitude for an input
load, flexural stiffness of a pile shaft and mass at the pile head. The experimental p-y curves for
each test condition were evaluated, from which dynamic p-y backbone curves were produced. As
a result, two limit backbone curves, due to the large scattering of the test data, were specified as
lines connecting the boundary peak points of the experimental p-y curves. In order to represent
the upper and lower limit backbone curves numerically, empirical equations were developed for
the initial stiffness kini and the ultimate capacity pu of soils as a function of the friction angle and
confining stress. The applicability of the dynamic p-y backbone curves suggested in this study
was evaluated based on the test results of other researchers cited in literature. Also, the backbone
curves were compared with the p-y curves that are currently used in practice.

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INTRODUCTION
In seismic design of a pile foundation, pseudo-static analysis is widely used to convert
dynamic loads to equivalent static loads. Among the diverse methods of modeling foundations
for pseudo-static analysis, the p-y curve method considering non linear soil behavior is most
frequently used in practice. For static loading conditions, ONeil and Reeses p-y curves
(1,2,3) ,obtained from various full scale pile load tests, are commonly used, and they are applied
even for seismic loading conditions with slight modifications without strict verification due to
the lack of well-established dynamic p-y curves for seismic conditions. Research has shown that
p-y curves for static loading conditions are not applicable to dynamic loading conditions (4, 5).
Various p-y curves applied in pseudo-static analysis for seismic design are summarized in
TABLE 1.
TABLE 1 Existing P-y Curve Methods
Reference

Equation of p-y curves

p = Apu tanh(
API(1),
ONeill(2)

Remarks

kz
y)
Apu

where pu = minimum value of (C1 z + C2 D ) z and C3 D z ;

C1 , C2 , C3 = constants; A = constants according to loading type

z
B
and pb = pu
D
A
pu = minimum value between pus and pud ;
pa = k h y a

Reese(3)

A, B = empirical factors; ya = D ( pb / zkh ) n / m 1 ( D / yb )1/ m 1 ;

yb = D / 60 ; yu = 3D / 80

NCHRP(6)

y
pd = ps + 02 + a0
, pd pu
d

where ps = static soil reaction; , , , n = constants;

= frequency of loading; a0 = dimensionless frequency

Developed from back

analysis of full scale
instrumented static and
cyclic pile load tests on
sand

Developed from the

results of full scale
static and cyclic
loading tests

The equation was

established from
computational model.

Modulus of subgrade reaction k HE = nk ak k H

JRA(7)

ultimate soil resistance pHU = n p a p pu

N/A

where nk , ak , n p , a p = constants
Note) N/A: Not available

In this study a series of 1g shaking table tests were carried out for various conditions of
acceleration frequency, acceleration amplitude for input load, flexural stiffness of a pile shaft and
mass at the pile head. P-y curves for each test conditions were evaluated and dynamic p-y
backbone curves for pseudo static analysis were obtained, and compared with p-y curves used in
practice. The applicability of the dynamic p-y backbone curves suggested in this study was
evaluated based on the test results of other researchers cited in literature.

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DESCRIPTION OF EXPERIMENTAL TESTING PROGRAM

A biaxial shaking table was used to perform a dynamic model pile test under 1g condition. The
biaxial table of 2000mm width and 2000 mm length had a maximum capacity of sample weight,
acceleration and frequency of 5 tons, 1 g and 50Hz, respectively.
A soil box made of transparent acrylic plates of 1800 mm length, 600 mm width, and
1200 mm height was placed on the shaking table. Sponges of 50 mm thickness were attached
inside the short side walls of the soil box to reduce the reflection waves developed by the rigid
wall in the shaking direction.
A model pile with a hollow circular section was made of aluminum alloy. The properties
of the model pile and pile cap, including the embedded depth and flexural rigidity, are listed in
TABLE 2. The thickness of the hollow cylindrical pile and the mass at the pile head were varied
for each test for parametric study.
TABLE 2 Properties of Model Piles
Properties

Values

Material
Embedded depth (cm)
Outer diameter (cm)
Thickness (cm)
Elastic modulus (Gpa)
Flexural rigidity (kgf-cm2)
Mass (kg)

Aluminum alloy pipe

110
3.2
0.5, 0.3, 0.2
67.82
2764424 (EI), 2008342 (0.72EI),1473056 (0.53EI)
0, 64, 96, 192

Jumoonjin sand, characterized as clean and uniform sand, was used in these tests. The
properties of Jumoonjin sand are listed in TABLE 3. The sand layer was prepared by pouring dry
sand into the soil box in 5 steps, and then, in each step, the poured sand was compacted carefully
by shaking the table with 0.4g sine wave vibration at 10 Hz to obtain the relative density of 80%.
TABLE 3 Properties of Jumoonjin Sand
USCS
SP

D10
(mm)
0.38

D50 (mm)

Cu

Gs

0.58

1.68

2.65

d,max
(t/m3)
1.66

d,min
(t/m3)
1.33

FIGURE 1 shows the test set-up with the schematic of the layout for instrumentation. A
model pile was fixed to the bottom of the soil box to reproduce an actual pile in weathered rock.
The pile was positioned first and then soil was poured to make the soil-pile system. The pile cap
was located 11cm above the subsurface, and its mass was changed to generate different inertial
forces. The pile was instrumented by bonding miniature strain gauges in pairs at seven locations
along the pile to measure the bending moment. At the same depths as the gauges, accelerometers
were set up to monitor the free field displacement of the soil. LVDT and another accelerometer
were set up at the pile cap to monitor the displacement and inertial force of the superstructure.
An input sine wave of 0.09g ~ 0.4g amplitude and 3Hz ~ 15Hz frequency was applied at the base
of the soil box for about 4 seconds.

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Accelerometer
Strain Gauge
LVDT

11
4
8
12 unit : cm
16
20

32

24

26

Shaking of Soil Container : Sine Wave

(a) Test box with full instrumentations

(b) Schematic drawing for instrumentation

FIGURE 1 Test set-up

Test programs are summarized in TABLE 4.
TABLE 4 Test Programs
Test
number
Case 1
Case 2
Case 3
Case 4

Loading
frequency (Hz)
6, 12
6
3,6,9,12,15
6

Loading
amplitude (g)
0.09, 0.154, 0.3, 0.4
0.154, 0.4
0.154, 0.4
0.154, 0.4

Pile
stiffness (ratio)
1
1
1
1, 0.72, 0.53

Surcharge
load (kg)
96
0, 64, 96, 192
96
96

DETERMINATION OF EXPERIMENTAL DYNAMIC P-Y CURVES

P-y curves are derived from bending moments measured along a pile based on the simple beam
theory (8). Lateral soil resistance ( p ) and pile displacement ( y pile ) are obtained by double
differentiation and double integration of bending moments, respectively:
d2
p = 2 M ( z)
(1)
dz
M ( z)
y pile =
dz
(2)
EI
where, p is the lateral resistance of soil; y pile is the lateral displacement of the pile; M ( z ) are
the measured bending moments along the pile; EI is the flexural rigidity of the pile; z is the
depth below ground surface.
The experimental bending moments are only calculated at certain discrete locations along
the pile so a curve-fitting technique is necessary to obtain the soil resistance and displacement
along the pile length continuously. The cubic spline method was used as the curve-fitting

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technique. To remove noise data in calculating the time history of p-y values, band pass filtering
was performed by Fast Fourier Transform (FFT) analysis.
To obtain the relative displacement ( y ) for the dynamic p-y curve, the soil movement
( ysoil ), obtained from the free field accelerometers, was subtracted from the pile displacement
( y pile ) at each time step. FIGURE 2 shows the horizontal displacements of the pile and soil at the
loading amplitude of 0.4g for the loading frequency of 6Hz.
-0.30

-0.20

-0.10

0.00

0.10

0.20

0.30

0
Displacement (cm)
20
40
60
80
100
Depth (cm) 120

Pile
Soil

FIGURE 2 Displacement distributions of soil and pile (0.4g, 6Hz)

TEST RESULTS
Experimental P-y Curve
As mentioned, a series of 1g shaking table tests were performed for different flexural rigidities of
the piles and for various masses at various amplitudes and frequencies of input accelerations. As
the test results, experimental p-y curves were obtained. FIGURES 3(a), (b), (c) and (d) show
some experimental curves. For case (a) of the figure, it is noticed that the experimental curves
are influenced little by the change of the flexural rigidity of the pile. When the pile head load is
varied (case (b)), the slope of the p-y curves maintains almost constant, but the dynamic soil
reactive force increases as the head load decreases, which may be attributed to the fact that pile
head movement increases at a steeper rate than the decrease rate of the pile head load. For
different amplitudes of the input acceleration (case (c)), the reactive soil force changes little, but
the slope of the curve decreases as the amplitude increases. When the frequency of the input
acceleration is varied (case (d)), the shape of experimental curve changes abruptly at a certain
frequency, which may be interrelated with the magnitude of the natural frequency of the pile soil
system and that of the input frequency.

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p(N/cm) 30

p-y (3.75D)

p(N/cm) 40

p-y (3.75D)
EI

96kg
30

20

10

0.72EI

20

0.53EI

10

0
-0.30

-0.20

-0.10

64kg

192kg

0.00

0.10

0.20

0.30

-0.30

-0.20

-0.10

y(cm)

-10

0.00
-10

0.10

0.20

0.30
y(cm)

-20
-20
-30
-30

-40

(a) For different flexural rigidities of piles, EI

(0.4g, 6Hz, 96kg)
p(N/cm) 30

p-y (3.75D)

(b) For different masses of pile head

(0.4g, 6Hz)
p(N/cm) 30

p-y (3.75D)

0.3g

6Hz, 0.4g

0.4g

0.154g

20

20

10

10

6Hz, 0.154g
9Hz, 0.4g

0.09g

12Hz, 0.4g
15Hz, 0.4g

0
-0.30

-0.20

-0.10

0.00
-10

0.10

0.20

0.30

-0.30

-0.20

-0.10

0.00

0.10

0.20

0.30
y(cm)

y(cm)

-10

-20

-20

-30

-30

(c) For different amplitudes of input acceleration (d) For different frequencies of input
acceleration (6Hz, 96kg)
(0.4g, 6Hz)

FIGURE 3 Experimental dynamic p-y curves

DEFINITION OF DYNAMIC P-Y BACKBONE CURVE
Based on the experimental p-y curve data, the dynamic p-y backbone curves, which are used for
pseudo-static analysis of dynamically loaded pile systems, can be constructed. First, the peak
points of the experimental p-y curves, which correspond to the maximum soil resistance, were
taken at several points (coincide with the locations of the strain gages), and plotted on a p-y
plane for each location as shown in FIGURE 4. And then, a best-fit curve was pursued for each
depth by regression analysis. The basic equation of the best-fit curve was chosen to be the
hyperbolic function of Kondner (9),,
y
(3)
p=
1
y
+
kini pu
where, kini is the initial subgrade modulus; pu is the ultimate soil resistance; y is the
horizontal deflection of the pile.

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12

3Hz

6Hz

12Hz

Lower limit

Upper limit

50
45

p(N/cm)

3Hz

6Hz

12Hz

Lower limit

Upper limit

p(N/cm)

40

10

35
30

25

20
15

10

2
y(cm)
0
0.00

y(cm)

0.10

0.20

0.30

0.40

0.50

(a) At the depth of 1.25 diameters

0.00

0.10

0.20

0.30

0.40

0.50

(b) At the depth of 3.75 diameters

FIGURE 4 Lower limit and Upper limit p-y Backbone curves

PROPOSED DYNAMIC P-Y BACKBONE CURVES
As are seen in FIGURES 4(a) and 4(b), the points plotted on the p-y planes are widely scattered.
Thus to embrace all the data points, two limit backbone curves were established for each depth,
i.e., upper limit and lower limit curves. To express these curves as a hyperbolic function, the
initial slope of the curve ( kini ) and the asymptotic value of the soil reaction ( pu ) should be
expressed as an equation.
Determination of Ultimate Soil Resistance ( pu )
FIGURE 5(a) shows the lower limit p-y backbone curves at several depths. The ultimate soil
resistance was best-fitted using Equation 4(10).
pu
= AK p ' z n
(4)
D
where, K p is the Rankines passive pressure coefficient; ' is the effective unit weight; D is
the pile diameter; and A, n are curve-fitting constants. Through regression analysis (FIGURE
5(b)), A, n were found to be 6.32 and 1.22 for the lower limit backbone curve, and 11.83 and
1.11 for the upper limit backbone curve, respectively. Thus, pu can be obtained by the
following equations.
pu
= 6.32 K p ' z1.22 ( N / cm 2 )
D
p
Upper Limit p-y Backbone curve: u = 11.83K p ' z1.11 ( N / cm 2 )
D

Lower Limit p-y Backbone curve:

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(6)

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Yang et al.

70
60

1.25D

3.75D

7.5D

1.25D Backbone curve

3.75D Backbone curve

7.5D Backbone curve

pu/ D (N/ cm 2 )
10
15

20

25

p(N/cm)

Best- fit

50

40

3
z/ D

30

20

10

6
7

y(cm)

0
0.00

0.05

0.10

0.15

0.20

0.25

0.30

0.35

0.40

0.45

0.50

(a) Lower limit p-y backbone curve along depths

(b) Regression analysis results

FIGURE 5 Determination of ultimate soil resistance

Determination of Initial Slope ( kini )
A function K is defined as the subgrade reaction modulus at the deflection of 1% pile diameter.
Combining this K with Equation 3,
p
1
=
= K ( N / cm 2 )
1
0.01
D
0.01D
+
kini
pu

(7)

Since the K values are correlated with the confining stress ( ' ) (11), Equation 8 was
used as the basic equation for finding the best-fit curve on the K - ' plane.
'
K = APa
Pa

0.5

(8)

where, A is a curve-fitting constant. Through regression analysis, A values were determined as

208.31 (FIGURE 6) and 333.48 for the lower and upper limit curves, respectively.
K (N/ cm 2 )
0

100

200

300

400

500

confining stress (N/ cm 2 )

0
0.05

Best- fit

0.1
0.15
0.2
0.25
0.3
0.35
0.4

FIGURE 6 Subgrade reaction modulus for 0.01D deflection vs. confining stress (For lower
limit p-y backbone curve)

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10

Thus, K values were obtained by the following equations.

0.5

'
Lower Limit p-y Backbone curve: K = 208.31Pa ( N / cm 2 )
Pa

(9)

0.5

'
Upper Limit p-y Backbone curve: K = 333.48 Pa ( N / cm 2 )
Pa
Now, the initial slope ( kini ) can be calculated by the following equation.
Kpu
kini =
D
pu K
100

(10)

(11)

COMPARISON OF DYNAMIC P-Y BACKBONE CURVES WITH EXISTING P-Y

CURVES
In FIGURE 7, the proposed dynamic p-y backbone curves are shown with the p-y curves that are
currently used in practice. The ultimate soil resistances predicted by the existing p-y curves are
smaller than one half of the measured values for shallow depths. The pile behavior at a shallow
depth is of utmost importance for laterally loaded piles.

14
12

3Hz

6Hz

12Hz

p ( N /c m )

S ug g e st(M i n)

S ug g e st (M a x )

1 .2 5 D
U p p er lim it

10
8

L ow er lim it

N C H R P 6H z

4
J a p an

0 .0 0

y(c m )

A P I C y clic

0
0 .1 0

0 .2 0

0 .3 0

0 .4 0

0 .5 0

(a) At the depth of 1.25 diameters

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45
40

3Hz

6Hz

12Hz

Sug g e st (M in)

Sug g e st (M a x )

3 .75 D

p (N /c m )

35
30
U pp er lim it

25
20

L ow er lim it

15
10
A P I C yclic, N C H R P 6H z

Jap an

y(c m )
0
0 .0 0

0 .1 0

0 .2 0

0 .3 0

0 .4 0

0 .5 0

(b) At the depth of 3.75 diameters

80

3Hz

6Hz

Su g g e st (M i n)

70

S u g g e st (M a x )

7 .5 D

p ( N /c m )
60
50

A P I C yclic, N C H R P 6H z
U pp er lim it
L ow er lim it

40
30
20

Japan

10
y(c m )
0
0 .0 0

0 .1 0

0 .2 0

0 .3 0

0 .4 0

0 .5 0

(c) At the depth of 7.5 diameters

FIGURE 7 Comparison of p-y curves

In FIGURE 8, measured bending moments and lateral deflections of piles are compared
with the predicted values obtained from various methods. For the bending moments, all the
existing methods overpredict by up to 50%. For the lateral deflection, upper limit backbone
curve predicts most closely to the measured values.

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12

Measured and Calculated Bending Moment

Moment(Ncm)
-1000

1000

2000

3000

4000

5000

6000

7000

0
Measured

20

40
API Cyclic

Depth(cm)

Upper Limit

60

Lower Limit

Japan

NCHRP

80

100

120

(a) Bending moment profiles

Measured and Calculated Displacement
Displacement(cm)
-0.05

0.05

0.1

0.15

0.2

0
Measured

20
Upper Limit

API Cyclic

40
Depth(cm)

Japan, NCHRP

Lower Limit

60

80

100

120

(b) Lateral deflections

FIGURE 8 Measured and predicted results based on pseudo-static analysis

APPLICABILITY OF SUGGESTED DYNAMIC P-Y BACKBONE CURVES
The applicability of dynamic p-y backbone curves suggested in this study was evaluated based
on the test results obtained by various researchers (5, 12, 13). FIGURE 9 shows the results of the
dynamic pile load tests performed by Chenaf et al. (12) using an electromagnetic gun on
Fontainebleau dry sand. The thick lines of FIGURES 9(a), (b) and (c) represent the experimental
dynamic p-y curves at different depths. The upper limit p-y backbone curve and the lower limit
p-y backbone curve are represented in the same figure for direct comparison. It is clear that the
peak points of the dynamic p-y curves at depths of 0.6m and 1.2m are located in between the
upper and lower limit p-y backbone curves, while the peak points of the dynamic p-y curve at a
depth of 1.8m lie on the upper limit p-y backbone curve. Therefore, it is concluded that the
suggested p-y backbone curves compare well with the test results.

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13

300

250

upper limit

200

z=1.8m

150

z=1.2m
z=0.6m

lower limit

100
z=0m

50
0

10

20

30

40

Displacement y (mm)

Soil reaction p (kN/m)

Soil reaction p (kN/m)

300

upper limit

250
200
z=1.8m

lower limit

150

z=1.2m
z=0.6m

100

z=0m

50
0

10

20

30

40

Displacement y (mm)

(a) At the depth of 0.6m

(b) At the depth of 1.2m

Soil reaction p (kN/m)

300

upper limit

250
200
z=1.8m

150

lower limit
z=1.2m
z=0.6m

100

z=0m

50
0

10

20

30

40

Displacement y (mm)

(c) At the depth of 1.8m

FIGURE 9 Comparison of the suggested dynamic p-y backbone curves with test results of
Chenaf et al. (12)
FIGURES 10(a), (b), (c) and (d) show the results of the dynamic pile load tests
performed by Ting et al. (5) using a pneumatic shaking machine on Seal Beack silty fine sand
under saturated condition. In the figures, regression lines for their data points are shown with the
upper and lower limit backbone curves. The comparison of the regression lines with the
backbone curves show that the regression line for a depth of 1D (D: Diameter of pile) is located
between the two curves (FIGURE 10(a)), while the line for a depth of 2D is approximately in
accord with the upper limit p-y backbone curve (FIGURE 10(b)). The lines obtained for depths
below 2D (FIGURE 10(c) and (d)) fail to fall in between the upper and lower limit backbone
curves but were located close to the upper limit p-y backbone curve. In these comparisons, the
suggested upper and lower limit p-y backbone curves are thought to have given meaningful
results.

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14

(a) At the depth of 1 diameter

(c) At the depth of 3 diameters

(b) At the depth of 2 diameters

(d) At the depth of 4 diameters

FIGURE 10 Comparison of the suggested dynamic p-y backbone curves with test results of
Ting et al. (5)
Pseudo-static analysis was conducted using the p-y backbone curves to predict the results
of the dynamic pile load tests performed in the centrifuge. FIGURE 11 shows the bending
moment curve obtained from the centrifuge (13) together with the curves obtained by the
pseudo-static analysis. The comparison of the three curves indicates that the pseudo-static
analysis provides a good estimate of the bending moment against depth.

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15

Measured and Calculated Bending Moment

Moment(kNm)
-1000

1000

2000

3000

4000

5000

6000

0
Experiment

Depth(m)

10
15
20

Lower Limit

Upper Limit

25
30
35

FIGURE 11 Comparison of test results of Kotthaus et al. (13) with pseudo-static analysis
CONCLUSIONS
A series of 1g shaking table tests were performed to obtain dynamic p-y curves for use in
pseudo-static analysis of earthquake-loaded pile foundations. Based on the test results, the
following conclusions are drawn.
1. Dynamic p-y backbone curves were produced as two limit lines (upper and lower limits)
connecting the boundary peak points of experimental p-y curves.
2. To represent the backbone curves numerically, empirical equations were developed for
the initial stiffness ( kini ) and the ultimate capacity of soil ( pu ) as a function of the
friction angle of the soil and the confining stress.
3. The existing p-y curves used for dynamically loaded piles predicted soil resistances that
were much smaller than the measured values (smaller than one half of the measured
ones) at shallow depths of the piles. The lateral behavior of piles at shallow depths is of
utmost importance.
4. The applicability of the proposed dynamic backbone curves was confirmed based on the
comparisons with the test results of various researchers.
ACKNOWLEDGMENTS
This research is supported by National Research Laboratory Program (ROA-2007-000-1004-0),
which is supervised by Ministry of Education Science and Technology, MEST.
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1. American Petroleum Institute. Recommended practice for planning, designing and
constructing fixed offshore platforms. API Recommended Practice 2A (RP-2A), 17th edition.,
1987.
2. ONeill. M. W., and Murchinson, J.M. An evaluation of p-y relationships in sand. Rep.
Prepared for American Petroleum Institute,Washington,D.C.,1983.
3. Reese, L.C., Cox, W.R. and Koop, F.D. Analysis of laterally loaded piles in sand.
Proceedings of the VI Annual Offshore Technology Conference, Houston, 1974, pp.473-485.

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16

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TRB 2009 Annual Meeting CD-ROM

Paper revised from original submittal.