Lateral Dynamic Response and Effect of Weakzone

Indian Geotech J (JanuaryMarch 2015) 45(1):4350
DOI 10.1007/s40098-014-0106-6
ORIGINAL PAPER
Lateral Dynamic Response and Effect of Weakzone

on the Stiffness of Full Scale Single Piles
A. Boominathan S. Krishna Kumar
RM. Subramanian
Received: 4 July 2012 / Accepted: 29 January 2014 / Published online: 13 February 2014
Indian Geotechnical Society 2014
Abstract The determination of dynamic characteristics

of soil-pile system by full-scale lateral dynamic pile load
testing is an important aspect in the design of pile foundations subjected to dynamic/seismic loads. Field test
results are very useful for validating existing linear/nonlinear models, which are used to predict the dynamic
stiffness and damping of the soil-pile system. This paper
presents the results of field lateral dynamic load tests
conducted at two different petrochemical complex sites in
India and the measured dynamic constants of the soil-pile
system. A 3D finite element analysis is performed using
ABAQUS to predict the non-linear response of soil-pile
system under dynamic lateral loads. The lateral stiffness
estimated from the FE analysis shows good agreement with
stiffness measured in the field tests. Dynamic analyses of
single piles using improved Novaks method were performed to study the effect of weak zone around the pile
shaft on the lateral stiffness of the piles.
Keywords Dynamic load Stiffness Weak zone
Shear modulus
Introduction
There are many sources of ground-borne vibration such as
earthquakes, construction, machine-foundation design,
offshore structures, nuclear energy, and road and rail
development. These sources produce ground-borne vibrations that can be transmitted into buildings via structural
foundations, resulting in disturbances and structural
A. Boominathan (&) S. Krishna Kumar RM. Subramanian
Department of Civil Engineering, IIT Madras, Chennai 36, India
e-mail: boomi@iitm.ac.in
damage. Pile foundations act as the major vibration transmission paths, and as such understanding their dynamic
behavior is required. Analysis and design of piles subjected
to dynamic lateral loads is complex due to the non-linear
behaviour of soil and the soil-pile separation that happens
near the ground surface. Although, certain theoretical
models consider soil non-linearity, the effects of pile
installation procedure and the formation of soil-pile gaps
are not rigorously modelled. The stiffness of the pile in the
lateral direction is very low in comparison to its vertical
stiffness; hence, the lateral capacity/stiffness of the pile
governs the design in most cases, where the lateral loads
are dominant. The lateral stiffness and the bending
behaviour of piles depend mainly on the characteristics of
the top few meters of soil below the ground. The topsoil
layers mainly consist of weak deposits such as soft clay or
loose sand, resulting in high degree of nonlinearity on piles
subjected to lateral loading. Hence, the strong nonlinearity
and soil gapping becomes a crucial step in the satisfactory
design and performance of pile-supported foundations
subjected to dynamic loads. The lateral stiffness constant of
a pile is the most important parameter in the sub-structure
approach, which is used to analyse pile-supported structures subjected to seismic loading [27].
In the recent past, many sophisticated linear and nonlinear models were proposed to study the lateral response
of piles under dynamic loads [2, 4, 8, 10, 11, 14, 19, 2123,
25], but there are only a few full scale experimental data
available to confirm the reliability of these models. The
major full-scale field testing carried out on piles embedded
in clay and sandy clay sites by various authors [1, 57, 9,
12, 24, 28, 31] clearly demonstrate that the performance of
existing linear and nonlinear models are highly dependent
on in situ soil nonlinearity and dynamic loading characteristics. Hence, it is important to perform in situ full-scale
123
44
dynamic tests on piles in order to accurately assess the nonlinear dynamic characteristics of the soil-pile system. This
paper presents the results of two full-scale field dynamic
lateral pile load tests carried out at two different sites in
India (Chennai and Hazira) and the results of a nonlinear
three-dimensional finite element analysis of piles under
dynamic lateral loads using ABAQUS. Although the finite
element analysis used in this study includes important
features such as soil nonlinearity and gapping at the pile
soil interface, it does not account for the buildup of pore
pressure due to cyclic loading. Thus, neither the potential
for liquefaction nor the dilatational effect of clays and the
compaction of loose sands in the vicinity of piles is
accounted for, in the current analysis.
Dynamic Testing of Piles

Steady state forced lateral vibration tests were conducted
on driven cast-in-situ piles installed, as per the procedure
recommended by the Indian Standard code of practice IS:
9716, at two different sites in India (Site-I: Chennai, Tamil
Nadu and Site-II: Hazira, Gujarat).
Multichannel Analysis of Surface Waves (MASW) is a

non-destructive technique that evaluates the elastic condition (i.e. stiffness) of the subsurface. The shear wave
velocity structure is typically derived from the fundamental
mode Rayleigh wavefield generated by an active and/or a
passive source. The frequency-dependent properties of the
Rayleigh-type surface waves can be utilised for imaging
and characterising the shallow subsurface [29]. MASW
surveys are typically used for geotechnical engineering
purposessuch as V30
profiling, bedrock mapping and
s
finite element modeling.
The MASW test was used to determine the shear wave
velocities of different layers up to a depth of 12.5 m below
the ground level. The shear wave velocity of soil layers
below 12.5 m depth was estimated using Eq. 1 based on
the average SPT-N value [17]. The maximum dynamic
shear modulus required for the finite element analysis is
determined based on the shear wave velocity using Eq. 2
[30] and the values are reported in Table 1.
Vs 91 N0:337
Gmax
V2s q:
Site-II: Hazira, Gujarat

Soil and Pile Properties
The soil characteristics, pile dimensions, and properties for
both sites are described below.
Site-I: Chennai, Tamil Nadu
The test pile is 450 mm in diameter and it extends to a depth
of 20.15 m below the ground level. The length of the pile
below the cut off level is 18.25 m. The pile is a M30 grade
concrete pile, which corresponds to a dynamic Youngs
modulus (Ep) of 37,000 MPa. The soil profile and characteristics of Site-I obtained from the borehole data are presented in Table 1. It can be observed from the table that four
distinct layers characterise Site-I. A 5 m thick very soft siltyclay layer characterises the top 1/3rd length of the pile.
The pile is 500 mm in diameter and is 15.41 m in length

below the cut off level. Pile is made of M30 grade concrete
and the corresponding dynamic Youngs modulus (Ep) is
37,000 MPa. The typical soil profile of Site-II obtained
from the borehole record is presented in Table 2. It can be
observed from the table that Site-II is characterised by six
layers, wherein the top three layers are characterised by a
medium stiff silty-clay/stiff marine clay to a depth of 8.5 m
and is followed by a 1.5 m thick loose sandy layer. Since
direct measurement of shear wave velocity were not carried
out at this site, shear wave velocity of layers was estimated
using Eq. 1 based on the average SPT-N value. The maximum dynamic shear modulus was determined based on the
shear wave velocity. The values of shear wave velocity and
the shear modulus of the site are summarized in Table 2.
Table 1 Properties of soil at Site-I

Depth (m)
Thickness (m)
Soil type
2.07.0
Soft silty clay
7.012.5
5.5
Fine sand
12.518.0
5.5
Silty clay
18.020.2
2.2
Yellow silty clay
based on SPT [20]
based on MASW test
based on SPT N value
123
Vs (m/s)
Density (kg/m3)
75b (91c)
1,800
10.1
40
170b (315c)
1,900
54.9
38
60
362c
2,000
262.1
180
[100
430c
2,100
388.3
250
Avg. SPT (Navg)

0
Gmax (MPa)
Cua (kPa)/friction angle

2.0
45
Table 2 Properties of soil at Site-II

Vs (m/s)
Density (kg/m3)
157
1,800
44.4
25.0
183
1,700
56.9
45.0
17
236
1,900
105.8
33
Dense silty sand
25
269
2,000
144.7
35
Stiff silty clay
21
254
2,100
135.5
150.0
Silty coarse sand
32
293
2,100
180.3
40
Depth (m)
Thickness (m)
Description
0.05.5
5.5
High plastic silty clay
5.58.5
3.0
Marine clay
8.510.0
1.5
Loose silty sand
10.015.5
5.5
15.518.0
2.5
18.020.5
2.5
Avg. SPT (Navg)
Gmax (MPa)
Cu (kPa)/Friction angle
Test Setup and Procedure
Test Results
Typical layout of a forced vibration test is shown in Fig. 1.

A steady state sinusoidal force was generated with a
5-tonne capacity mechanical oscillator. The speed of the
oscillator was controlled by a DC motor and a speed
control unit. The forced vibration response of the piles
were measured using two acceleration transducers fixed at
the mid height of the pile cap, and at the pile cut off level
as shown in Figure 1. A data acquisition system consisting
of a multi-channel carrier-frequency amplifier system and a
digital storage oscilloscope was used to monitor and record
the time history of response of the pile measured by
accelerometers. Each acceleration transducer was calibrated before and after conducting the tests. After every
steady state lateral vibration test, the eccentricity of the
oscillator was increased to raise the dynamic force and the
test was repeated to cover a wide range of lateral displacements expected during a typical dynamic loading of
the pile. The tests were repeated with five different
eccentricities in the machine load. More information about
interpretation of test data is presented in [6].
The displacement amplitude of vibration (Ax) was computed from the measured acceleration using Eq. 3.
ax
Ax 2 2
3
4p f
where, ax = measured horizontal acceleration of vibration
(mm/s2) at a particular frequency, f (Hz).
The computed values of the amplitude of displacement
corresponding to the pile cut-off level at each frequency for
different eccentricities of the oscillator were plotted as
frequency response curves. A typical frequency response
curve obtained for Site-I and Site-II are presented in Figs. 2
and 3, respectively.
It can be noticed from Fig. 2 that the resonant frequency
of soil-pile system at Site-I ranges from 10.5 to 14 Hz. The
resonant frequency reduces from 14 Hz to 10.5 Hz as the
magnitude of the dynamic force increases, indicating a
non-linear response of the soil-pile system due to the
degradation of soil stiffness. This observation is consistent
for almost all the test piles at Site-I. The observed nonlinearity could be due to the presence of a 5 m thick very
soft silty-clay layer at the top with a SPT-N value of zero.
It can be observed from Fig. 3 that the resonant frequency
of soil-pile system at Site-II ranges from 13 Hz to 15 Hz,
Displacement Amplitude (mm)
0.8
e=Eccentricity
e=24 deg. (Experiment)
e=24 deg. (Numerical)
0.6

0.4

0.2
0.0
10
20
30
40
50
Frequency (Hz)
Fig. 1 Typical forced vibration test layout (After [6])
Fig. 2 Dynamic amplitude vs. frequency for Site-I
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46
Displacement Amplitude (mm)
0.3
e=Eccentricity
0.2

0.1
0.0
10
20
30
40
50
Frequency (Hz)
Fig. 3 Dynamic amplitude vs. frequency for Site-II
i.e., the resonant frequency remains practically same irrespective of varying magnitudes of the dynamic force. This
indicates that the degree of nonlinearity for Site-II is less,
which is due to presence of relatively medium-stiff to stiffclay layers in the top 8.5 m depth below the ground
surface.
Non-Linear Finite Element Analysis

Finite-element models are extremely versatile, allowing for
the introduction of nonlinear behavior in the soilpile
system and contact surfaces. Full 3D geometric models
were used in ABAQUS to represent the pilesoil system
[16]. The non-linearity in the lateral response of piles is
because of the geometric and material non-linearity of the
pile and the soil surrounding the top 1/3rd length of the
pile. In the present study, the pile is idealised as an elastic
linear isotropic material without any damping. The solid
circular pile is modelled to the same scale as in the field
conditions. The pile is discretized using solid tetrahedral
elements. The pile is assumed to be pinned at its base and is
free at the top simulating a free head condition similar to
the large-scale field test. The soil profile in the FE analysis
is modelled identical to the field conditions. The non-linear
stressstrain behavior of soil is modelled using an elastoplastic Drucker-Prager criterion. The input parameters,
such as the Youngs modulus that is determined from the
shear modulus, are presented in Tables 1 and 2. Soil is
essentially a Tresca material, if the un-drained behaviour is
being considered. The un-drained strength of the clays is
used to model it as a Tresca material. Sand was modelled
using the friction angle calculated (See Tables 1, 2) based
on the correlations with SPT N value [20]. The soil
matrix of size 20D is adopted, where D is the diameter of
the pile. Kelvin-Voigt elements are used at the soil mesh
boundary to prevent reflection of stress waves on the
123
boundaries and to eliminate the box effect (i.e., the

reflection of waves back into the model at the boundaries)
during dynamic loading, and they are assumed to be frequency independent given the low frequencies considered
(020 Hz). The boundaries are restrained in the vertical
direction. The base of the FE model is fixed in all directions and the top of the soil mass is not restrained. The
discretized soilpile model is presented in Fig. 4.
The modelling of the pilesoil interface is crucial
because of its significant effect on the response of piles to
lateral loading. The interface between the pile and the soil
was modelled using surface-to-surface contact elements.
The pile is considered as the contact surface and the soil as
the target surface, to allow for the interpenetration of pile
nodes into the soil surface. Penalty contact method with
small sliding was utilised to simulate the normal and tangential contact behavior. The separation of contact under
reversal of loading (tension) was also simulated.
The verification process followed incremental steps to
ensure that pile, soil, and boundary conditions were separately accounted for to minimise error accumulation. The
size of the mesh was mainly dependent on the loading
conditions and geometry of the piles. The mesh was refined
near the pile to account for the severe stress gradients and
plasticity encountered in the soil, with a gradual transition
to a coarser mesh away from the pile in the horizontal X
and Y directions. The vertical Z direction subdivisions
were kept constant to allow for an even distribution of
vertically propagating SH waves. The maximum element
size was less than one-fifth to one-eighth the shortest
wavelength to ensure accuracy.
A cyclic ramped load similar to that in the field test was
applied at the top of the pile at 0.75 m above the ground
Fig. 4 The discretized FE model
level. The acceleration, stresses, and displacements were

recorded throughout the soil-pile system. The typical displacement contour obtained from finite element analysis is
shown in Fig. 5.
The dynamic amplitude versus frequency response
curves obtained from the finite element model for Site-I
and Site-II are presented in Figs. 2 and 3, respectively. It
can be observed from the figures that the lateral dynamic
response of piles predicted by the FE simulation matches
the field measurements. For the given soil conditions the
FE simulations over-predict the amplitude by about
510 %. The amplitude predicted by the FE simulations for
the given soil conditions increases at higher eccentricities
and near the resonant frequency. The inhomogeneity that
presents in the soil means that experimental results will
invariably differ from the idealized conditions. Another
peak, but smaller in amplitude, is observed at a frequency
of about 5 Hz, which is due to the resonant frequency of
the pile in its 4th mode (see [3]). It can be noticed that the
shear-wave velocity estimated from the SPT N values are
much higher than the direct measurements (see Table 1).
Use of estimated shear-modulus instead of direct measurements of dynamic properties of the soil would have
resulted in an estimation of a much stiffer response by FE.
The dynamic stiffness of the soil-pile system is typically
obtained from a plot of dynamic force versus the equivalent
static amplitude using the procedure described in [6] and as
per IS 9716 [18]. The variation of the static amplitude with
the dynamic force measured from the field tests and those
predicted from the FE simulations for both the sites are
47
presented in Figs. 6 and 7, respectively. It can be observed

from Figs. 6 and 7 that the simulated response matches
with the response observed in Site-I. In Site-II, although
the simulated response matches with the measured
response at low to moderate force levels, the simulated
response at higher force level is about 30 % more than
what is measured in the field-test. This might be due to the
estimation of dynamic properties, especially for the soil in
the top 1/3rd length of the pile, from SPT N values,
instead of a direct measurement of the dynamic properties
of the soil. This signifies the importance of measurement of
dynamic soil properties.
The lateral stiffness of soil-pile system predicted by the
finite element model and those measured from field tests
are presented in Table 3. It can be observed from Table 3
that the FE simulation matches with the results obtained
from the field tests. Site-I characterised by soft clay
deposits at the top with a low shear wave velocity (Vs) of
75 m/s has lower stiffness in contrast to Site-II. Hence, it is
evident that the site conditions, especially the top 1/3rd
length of the pile, play an important role on the lateral
stiffness of the pile, although the resonant frequency
remains practically unchanged for piles of approximately
same dimensions located in different strata. Comparison of
FE simulations and large-scale field tests signifies the
importance of measurements of dynamic characteristics of
the sites.
Effect of Weak Zone on Lateral Stiffness

It is found that the site conditions, and in particular, the
properties of the top soil layers greatly govern the degree of
non-linearity and the dynamic lateral stiffness of the soilpile system. Dynamic analysis were performed using
Improved Novaks method, where a non-reflective
12
10
Dynamic Force (kN)



Stiffness (Experiment) (BestFit)
Stiffness (Numerical) (BestFit)
2
0
0.0
0.5
1.0
1.5
2.0
Static Displacement (mm)

Fig. 5 A typical displacement contour obtained in FE simulation
Fig. 6 Force vs. static amplitude plot for Site-I
123
48

10
Dynamic Force (kN)


e=64d eg. (Numerical)
Stiffness (Experiment) (BestFit)

Stiffness (Numerical) (BestFit)
0
0.0
0.1
0.2
0.3
0.4
Static Displacement (mm)

Fig. 7 Force vs. static amplitude plot for Site-II
Table 3 Measured and simulated lateral stiffness
SITE
Lateral Stiffness (MN/m)

Field test
ABAQUS
Site-I
10.75
10.28
Site-II
56.98
52.85
(Fig. 8) on the lateral stiffness of the piles. DynaN [13] is

used to study the effect of weak zone on the dynamic
response of piles. DynaN employs well-established analytical solutions based on the improved Novaks approach
to describe the soil-structure interaction under dynamic
loading conditions. A non-reflective boundary is used
between the near field and the far field to account for the
mass of soil in the boundary.
Both theoretical and experimental studies have shown
that the dynamic response of the piles is very sensitive to
the properties of the soil in the vicinity of the pile shaft
[15]. A rigorous approach to the nonlinearity of soil-pile
system is extremely difficult and therefore approximate
theories have to be used. Novak and Sheta [26] proposed
including a cylindrical annulus of softer soil (an inner weak
zone or so called boundary zone) around the pile in a plane
strain analysis. The ideal model of boundary zone should
have properties smoothly approaching those of the outer
zone to alleviates wave reflections from the interface. The
model of non-reflective interface assumed that the
Fig. 8 Weak zone around pile
boundary is formed between the near field and the far field
to account for the mass of soil in the boundary, to understand the effect of presence of weak zone in the top layers
123
Fig. 9 Dynamic amplitude vs. frequencyeffect of weak zone
49
boundary zone has a non-zero mass and a smooth variation

into the outer zone by introducing a parabolic variation
function, which may be best fit with use of experimental
data. In the present analysis, DynaN is used to determine
the stiffness of the soil-pile system considering the mass in
the boundary zone.
The top soil layers were assumed to have developed
weak zones due to pile driving. The weak zone effect is
considered by reducing the shear modulus ratio by 0.5 %
and increasing the material damping of the soil layer by
0.5 % (or reduced by 10 % of the original damping) for
every subsequent increase in eccentricities. Weak zone
shear modulus ratio is the ratio of shear modulus in the
disturbed zone around the pile to the shear modulus of soil
present outside the disturbance zone. Weak zone thickness
ratio is the distance of the disturbed zone from the outer
diameter of the pile to the radius of the pile. A zone of 1.25
times the radius was assumed to be weak zone in the top
layers. The soil and pile properties were similar to the nonlinear Finite Element Analysis. The pile is assumed to have
a fixed connection with the pile-cap. The dynamic amplitude versus the frequency plots for Site-I and Site-II are
presented in Fig. 9.
It can be observed from Fig. 9 that the presence of weak
zone shifts the predominant frequency to higher frequency
range by about 5 Hz, but cannot be precisely attributed to
the weak zone because of approximations involved in
Novaks approach. However, the lateral extent of the weak
zone around the pile shaft has negligible effect on the
frequency. The force versus the static amplitude plots is
presented in Fig. 10. It can be observed from Fig. 10 that
the stiffness of the soil-pile systems for both the sites
decreases due to presence of weak zone. The stiffness of
the soil-pile system obtained using improved Novaks
approach is 7 and 20 MN/m for Site-I and II, respectively.
The decrease in the stiffness, due to the presence of the
weak zone in the topsoil layers is significant for the very
stiff soil site (Site-II).
Summary and Conclusions

Based on the lateral dynamic pile loads tests carried out on
full scale single piles at two different sites in India, it is
found that the site conditions, and in particular, the properties of the top soil layers greatly governs degree of nonlinearity and the dynamic lateral stiffness of the soil-pile
system. It is found that the piles installed in medium-stiff to
stiff clay have higher lateral stiffness compared to the piles
in very soft clays, however the resonant frequency of the
pile-soil system is found to be unaffected by the stiffness of
the soil strata. The finite element analysis is able to predict
the dynamic lateral response of pile for soft as well as stiff
Fig. 10 Force vs. static amplitudeeffect of weak zone
soil sites, thus signifying the efficiency of non-linear FE

models in simulating the different degrees of nonlinearity
of soil and pile separation. The inhomogeneity that presents
in the soil means that field-test results will invariably differ
from, say, the idealised conditions, making it more difficult
to identify shortcomings in the models. Despite this,
123
50
experimental investigations remain a key aspect of model

validation; a comparison to experimental results is essential
for gauging prediction accuracy. The presence of weak
zone around the pile shaft significantly decreases the
stiffness of the soil-pile system, especially in the case of
stiff-soil sites. The variation in the lateral extent of the
weak zone around the pile shaft has negligible effect on the
stiffness degradation.
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Indian Geotech J (JanuaryMarch 2015) 45(1):4350