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Winkler model for lateral response of rigid


caisson foundations in linear soil

Article in Soil Dynamics and Earthquake Engineering May 2006


DOI: 10.1016/j.soildyn.2005.12.003

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Soil Dynamics and Earthquake Engineering 26 (2006) 347361
www.elsevier.com/locate/soildyn

Winkler model for lateral response of rigid caisson foundations in linear soil
Nikos Gerolymos, George Gazetas *
National Technical University, Athens, Greece
Accepted 3 December 2005

Abstract
A generalized spring multi-Winkler model is developed for the static and dynamic response of rigid caisson foundations of circular, square, or
rectangular plan, embedded in a homogeneous elastic. The model, referred to as a four-spring Winkler model, uses four types of springs to model
the interaction between soil and caisson: lateral translational springs distributed along the length of the caisson relating horizontal displacement at
a particular depth to lateral soil resistance (resultant of normal and shear tractions on the caisson periphery); similarly distributed rotational springs
relating rotation of the caisson to the moment increment developed by the vertical shear tractions on the caisson periphery; and concentrated
translational and rotational springs relating, respectively, resultant horizontal shear force with displacement, and overturning moment with
rotation, at the base of the caisson. For the dynamic problem each spring is accompanied by an associated dashpot in parallel. Utilising
elastodynamic theoretical available in the literature results for rigid embedded foundations, closed-form expressions are derived for the various
springs and dashpots of caissons with rectangular and circular plan shape. The response of a caisson to lateral static and dynamic loading at its top,
and to kinematically-induced loading arising from vertical seismic shear wave propagation, is then studied parametrically. Comparisons with
results from 3D finite element analysis and other available theoretical methods demonstrate the reliability of the model, the need for which arises
from its easy extension to multi-layered and nonlinear inelastic soil. Such an extension is presented in the companion papers by the authors
[Gerolymos N, Gazetas G. Development of Winkler model for lateral static and dynamic response of caisson foundations with soil and interface
nonlinearities. Soil Dyn Earthq Eng. Submitted companion paper; Gerolymos N, Gazetas G. Static and dynamic response of massive caisson
foundations with soil and interface nonlinearitiesvalidation and results. Soil Dyn Earthq Eng. Submitted companion paper.].
q 2006 Elsevier Ltd. All rights reserved.

Keywords: Caisson; Winkler model; Elasticity; Lateral loading; Kinematic loading; Seismic loading

1. Introduction caused many structures founded on caissons to suffer severe


damage.
Caisson foundations deeply embedded in soft soil have been The lateral and seismic response of deep foundations has been
widely used to support major structures, especially bridges. of considerable interest for many years. A number of methods of
Monumental examples are the Tagus bridge in Portugal, varying degrees of accuracy, efficiency and sophistication have
supported on perhaps the tallest (88 m high) caisson in the been developed. However, only few of them are devoted to
world; the San-Francisco-Oakland bay bridge whose major caissons. Instead, the methods of solution developed for (rigid)
pier is founded on a 75 m high caisson; the Williamsburg and embedded foundation and for (flexible) piles have been
Verrazano Narrows bridges in New York; the Port island and frequently adapted to deal with the caisson problem. A partial
Nishinomiya-ko bridges in Japan, the massive caissons of list of such methods would include (in crudely-chronological
which played a major role in the survival of these bridges order): the analytical solution of Tajimi [4] for a cylindrical
during the Kobe 1995 earthquake [3]. Despite their large foundation embedded in a stratum and bearing on bedrock; the
dimensions, caisson foundations have been shown not to be versatile approximate analytical solutions of Novak and
immune to seismic loading as it was believed for many years. Beredugo [5]; the consistent-boundary finite element formu-
This was confirmed in the Kobe (1995) earthquake, which lations of Kausel and Roesset [6] for circular foundations in
layered deposits over bedrock; the boundary element solution for
rectangular foundations in a halfspace by Dominguez [7]; the
* Corresponding author. semi-numerical formulation of Tassoulas [8] applied to
E-mail address: gazetas@ath.forthnet.gr (G. Gazetas). embedded cylindrical foundations with variable sidewall heights;
0267-7261/$ - see front matter q 2006 Elsevier Ltd. All rights reserved. the time-domain boundary element method of Karabalis and
doi:10.1016/j.soildyn.2005.12.003 Beskos [9]; the hybrid boundary-element and finite element
348 N. Gerolymos, G. Gazetas / Soil Dynamics and Earthquake Engineering 26 (2006) 347361

solution of Mita and Luco [10] for square foundations embedded (d) it treats both material (soil) inelasticity and geometric
in a halfspace; and the flexible-volume substructuring technique (interface) nonlinearities in an approximate but realistic
of Tajirian and Tabatabaie [11]. Harada [12] developed an fashion.
approximate analytical solution for cylindrical foundations
combining Tajimis and Novaks concepts. One of the most The present paper, the first in the sequence, develops an
comprehensive studies on the seismic response of flexible and elastic four-spring Winkler model and calibrates it with the
rigid caissons was conducted by Saitoh [13], who extended aforementioned elastodynamic solutions (in the form of
Tajimis 1969 approximation to account for caisson flexibility analytical expressions) of Ref. [18] for foundations embedded
and for soil and interface nonlinearities (separation and gapping in a homogeneous elastic halfspace. The prediction of the
of the caisson from the soil). He showed that Novaks plane strain model is satisfactorily compared with results from 3D-finite
approximation, logical as it may be, leads to inaccurate results. element analysis.
Most of the above methods refer to cylindrical foundations. The subsequent companion paper [1] addresses the issue of
A comprehensive series of studies on the static and dynamic soil and interface nonlinearities, and develops a versatile inelastic
response of embedded rigid foundations having various plan Winkler model in which each type of spring is described
shapes (ranging from rectangular of any aspect ratio to through a nonlinear differential equation of the Bouc-Wen type.
triangular) have been published by Gazetas, and co-workers The model is validated in the third companion paper [3]
[1417]. Utilizing an efficient boundary-element method, and against results from (a) load tests, and (b) 3D finite element
numerous results from the published literature, they developed analysis, and is then utilised in a parameter study that sheds
closed-form semi-analytical expressions and charts for light on the role of material and geometric nonlinearities.
stiffnesses and damping of horizontally and rotationally loaded It is noted that in addition to the previously mentioned
arbitrarily-shaped rigid foundations embedded in homo- research, Davidson et al. [20] had also developed a four-spring
geneous soil [18]. Incomplete contact between the foundation Winkler model for rigid caissons, and calibrated it with 3D-
vertical walls and the surrounding soil were taken into account finite element analysis, and static load tests. Also of related
in a crude way. Ample confirmation of the basic validity of interest is the work of Mylonakis [23] who introduced the
some of the main concepts and results in these publications Vlasov-Leontiev Winkler-with-shear-layer idealization to
were recently provided by Gadre and Dobry [19] through model: (a) the dynamic soil reaction against caissons, (b) the
centrifuge modeling. dynamic impedance of the caisson, and (c) the dynamic
However, the above-mentioned analytical expressions and interaction between two neighboring caissons. He derived
charts cannot directly apply to multi-layered soils. Further- explicit closed-form solutions for a flexible large-diameter
more, it would be impossible to even crudely extend them for cylindrical shaft embedded in a homogeneous soil resting on a
use with nonlinearly behaving soils, or to model realistically rigid base, for various boundary conditions.
phenomena such as separation (gapping) and uplifting that may
take place under strong static and seismic excitation. On the
other hand, the widely available commercial finite-element and 2. The physics of the problem and a Winkler model
finite-difference computer codes, while in principle capable of
treating soil nonlinearities, are not yet an easy solution when Our study deals with rigid caisson foundations. Their depth
rectangular caissons are studied (requiring a 3D mesh), to width ratio is in the range of 0.53, depending on soil
embedded in deep soil deposits and subjected to seismic deformability. By contrast to piles, which are slender
shaking (both requiring special and very distant boundaries), structures, with caisson foundations the lateral soil reaction is
and undergoing strong oscillations with the aforementioned not the sole resisting mechanism. The shear tractions at the
interface nonlinearities (requiring special interface elements). circumference of the caisson are also of considerable
In an effort to bridge this apparent gap in the available importance and must not be ignored in foundation response
methods and tools for analysis of lateral loaded caisson analysis. On the other hand, caissons differ from the usual
foundations, this paper along with the two companion papers embedded foundations (characterized by a depth to width ratio
by the present authors [1,2] develops a generalized Winkler smaller than 1), the base of which provides most of, or even the
type method described by four types of springs (and associated only resistance to loading. Fig. 1 shows a crude classification
dashpots). Our aim is to provide, a sound engineering solution according only to their geometry, ignoring the influence of soil
to the problem, with a method that has the following attributes: stiffness, which is an equally important parameter.
Caissonsoil interaction is strongly related to the complex
(a) it provides the response to static, cyclic, and dynamic stress distribution along the caisson shaft. Fig. 2 shows the
loading applied at the top of a caisson, as well as to stress pattern for a caisson with (a) circular and (b) rectangular
seismic ground deformations (kinematic excitation); cross-section.
(b) it models the full variety of caisson plan shapes that are A dynamic Winkler four-spring model is developed in this
usually encountered in practice (circular, square, paper incorporating distributed translational (lateral) and
rectangular, elliptical); rotational (rocking) springs and dashpots, as well as
(c) it readily handles any horizontally layered soil profile concentrated shear translational (shear) and rotational
(as well as continuously inhomogeneous soils); (moment) springs and dashpots at the base of the caisson.
N. Gerolymos, G. Gazetas / Soil Dynamics and Earthquake Engineering 26 (2006) 347361 349

Fig. 1. A possible crude classification of foundations according to the slenderness or depth of embedment of their individual elements. (The flexibility of a caisson
depends on whether it is massive or cellular; on the stiffness of the soil; and on the material of the caisson.)

These four types of springs and dashpots are related to the The distributed rotational springs kq and dashpots cq are
resisting forces acting on the caisson shaft and base, as follows: associated with the moment produced by the vertical shear
tractions on the circumference (shaft) of the caisson.
The distributed lateral springs kx and dashpots cx are The resultant base shear translational spring Kh and dashpot
associated with the horizontal soil reaction on the Ch associated with the horizontal shearing force on the base
circumference (shaft) of the caisson. of the caisson.

Fig. 2. Stresses at caissonsoil interface with circular, or square plan shape.


350 N. Gerolymos, G. Gazetas / Soil Dynamics and Earthquake Engineering 26 (2006) 347361

The dashpot coefficients express the soil viscous resistance


that stems from both radiation of wave energy away from the
caisson wall and hysteretic dissipation of energy in the soil.
The proposed Winkler spring model is illustrated schematically
in Fig. 3.

3. Lateral response of caisson: equations and parameters

The problem studied herein is that of circular, square, or


rectangular in plan caisson embedded in homogeneous elastic
soil over a deformable bedrock, and subjected to lateral
dynamic excitation at its top: Q0(t) and M0(t) (Fig. 4).
According to this figure the positive rotation and overturning
moment are clockwise. The caisson is a rigid block of mass m,
and mass moment of inertia about the center of gravity Jc. The
depth of embedment of the caisson is D while the height of
the sidewall that is in contact with the surrounding soil is d. The
Winkler four-spring model described in the previous section is
used for simulating the soilcaisson interaction. Dynamic
equilibrium of the shear forces with respect to the base of the
caisson gives
Fig. 3. The four-types of springs and dashpots for the analysis of inertially and Q0 Kmu c KPx KQb Z 0 (1)
kinematically loaded caissons.
where ucZuc(t) is the displacement of the caisson at its center
The resultant base rotational spring Kr and dashpot Cr of gravity, given by
associated with the moment produced by normal pressures D
uc Z ub C q c (2)
on the base of the caisson. 2

Fig. 4. (a) Elastic response of a caisson subjected to lateral dynamic loading M0, Q0 at its top. (b) Schematic definition of the global stiffnesses (i.e. at the top of the
caisson) in lateral translation (SHH), rotation (SMM) and cross-coupling of the translation and rotation (SHM). The associated dashpot terms are not shown for the sake
of clarity of the figure.
N. Gerolymos, G. Gazetas / Soil Dynamics and Earthquake Engineering 26 (2006) 347361 351

where ubZub(t) is the displacement of the caisson base, and the stiffness matrix
qcZqc(t) the rotation angle of the caisson. PxZPx(t) is the " #
resultant sidewall horizontal resistance due to the lateral soil Khh Khr
Kb Z
reaction (Fig. 2), Khr Krr
2 3
d d d d
Px Z px z;tdz Z kx zuz;t C cx zuz;tdz
_ (3) 6 K C k zdz kx zz dz 7
6 h x 7
6 7
0 0 6 7
Z6 d 0 0
7 (12)
6 d d 7
6 2 7
where z is the spatial coordinate starting from the base of the 4 kx zz dz Kr C kx zz dz C kq zdz 5
caisson, u is the displacement of the caisson at the location z 0 0 0
determined as
" #
u Z ub C qc z (4) Chh Chr
Cb Z
Chr Crr
and Qb the shear resistance at the base of the caisson given by 2 3
d d
Qb Z Kh ub C Ch u_b (5) 6 C C c zdz cx zz dz 7
6 h x 7
6 7
6 0 0 7
Dynamic moment equilibrium with respect to the base of the Z6 d 7 (13)
6 d d 7
caisson gives 6 2 7
4 cx zz dz Cr C cx zz dz C cq zdz 5
D 0 0 0
M0 C Q0 DKJc q c Km u c KMx KMq KMb Z 0 (6)
2 and the damping matrix (due to both radiation and hysteretic
dissipation in the soil). The external force vector Pb is
where MxZMx(z,t) and MqZMq (z,t) are the sidewall resisting ( )
moments arising from the horizontal soil reaction px and the Q0
vertical shear stresses txz or trz, respectively, on the caisson Pb Z (14)
M0 C Q0 D
periphery. Mx is expressed as
In the frequency domain, the complex stiffness matrix of the
d d caisson is calculated as
Mx Z px z;tz dz Z kx zuz;t C cx zuz;tz
_ dz (7)
~ b Z Kb C iuCb
K (15)
0 0

which using Eqs. (12), (13), and (15), reduces to


and Mq as
2 2 3
~ h C k~x D
K k~x D
d d 6 2 7
6 7
Mq Z mq z;tdz Z kq zqc t C cq zq_c tdz (8) ~
Kb Z 66 7 (16)
2 7
4 ~ D 1 5
0 0 kx K~ r C k~q D C k~x D 3
2 3
Mb is the resultant resisting moment at the base of the caisson
The dynamic impedance matrix, S,  referred to the top of the
Mb Z Kr qc C Cr q_c (9) caisson is readily obtained by a coordinate transformation of
Eq. (15)
Eqs. (1) and (6) can be rewritten in a matrix form as " #
S~ S~ MH
~S Z HH
( ) ( ) ( )
u b u_ b ub S~MH S~ MM
Mb C Cb C Kb Z Pb (10) " #
q b q_b qb K~ hh K~ hr KDK~ hh
Z (17)
where the mass matrix K~ hr KDK~ hh K~ rr K2DK~ hr C D2 K~ hh

2 3 The meaning of the impedances Sij is sketched in the insert of


D
Fig. 3. The reliability of the proposed Winkler-type model
6 m m72
6 7 depends on the proper choice of the dynamic spring and
Mb Z 6
6 D
7
27 (11) dashpot coefficients. These coefficients are frequency dependent
4m D 5
Jc C m and are functions of both caisson geometry and soil stiffness.
2 4
In the following, a simple methodology for the calibration of
352 N. Gerolymos, G. Gazetas / Soil Dynamics and Earthquake Engineering 26 (2006) 347361

the parameters of the four-spring model is developed, utilising of the soil. Of course, only(any) two of them are enough to
published results for embedded foundation. determine all other.
B, L, D and d: width, length, depth of embedment, and
height of the sidewall that is in contact with the surrounding
4. Calibration of the spring and dashpot coefficients soil.
Ab, Ib and h: area, moment of inertia, and distance of the
Gazetas and Tassoulas [15,16] and Fotopoulou et al. [17] centroid of the effective sidewall from the ground surface.
studied the problem of the lateral oscillation of arbitrarily Aw: total area of the actual sidewallsoil contact surface
shaped rigid foundations embedded in a homogeneous elastic (perimeter times D).
halfspace, as depicted in Fig. 5. Based on some simple physical Aw,s and Aw,ce: refer to horizontal oscillations and represent
models calibrated with results of rigorous boundary-element the sum of the projections of all the sidewall areas in
and finite-element elastodynamic formulations, as well as data direction parallel (Aw,s) and perpendicular (Aw,ce) to
from the literature, they developed closed-form expressions for loading, subjected to shear (s) and compressionextension
the dynamic impedances of such foundations [18,21]. For an (ce) type of soil reaction, respectively.
arbitrarily shaped foundation in plan view, circumscribed by a Jws and Iwce: the sum of the polar moments of inertia about
rectangle of width B and length L (LOB), they express the the off-plane axis of rotation of all surfaces actually
dynamic impedances, with respect to the center of the base mat, shearing the soil, and the sum of moments of inertia of all
in the form surfaces actually compressing the soil about their base axes
K~ emb Z Kemb cemb u C iuCu (18) parallel to the axis of rotation.
Di: The distance of surface Awce,i from the x axis.
where Kemb is the static stiffness, and cemb(u) the dynamic
stiffness coefficient. C(u) is the frequency-dependent Gazetas and workers developed the following formulae for
(radiation and material) damping coefficient. The parameters stiffness and damping in the longitudinal x-axis of a orthogonal
that enter in the computation of stiffness and damping in or cylindrical caisson
Eq. (18), are
KHH u
Gs, Es, Vs, Va, n: shear modulus, modulus of elasticity, shear
wave velocity, apparent analog velocity, and Poissons ratio r!   
2D 8hAw 0:4
zKH 1 C 0:15 1 C 0:52 cemb u
B BL2
(19)

where KH is the static horizontal stiffness of the caisson base


[15], and cemb is a dynamic stiffness coefficient presented in
chart form [15,18] in terms of D/B and d/B as a function of the
dimensionless parameter a0 (ZuB/2Vs). In the case of a fully
embedded caisson, curve fitting gives cemb in the form

cemb z1
   
D D
C a0 0:08K0:0074 a20
B B (20)
     
D D
K 0:31K0:0416 a0 K0:0442 C 0:14
B B

The horizontal dashpot coefficient is

CHH u Z CH u C rVs Aws C rVa Awce (21)

where

CH u Z rVs Ab csur u (22)

where CH(u) is the damping coefficient of the caisson base


[16], taken as that of a surface foundation on halfspace. The
coupled swaying-rocking complex impedance is approximated
by
1
Fig. 5. Geometry of a rigid foundation arbitrarily-shaped in plan embedded in a K~ HM z d K~ HH (23)
homogeneous elastic halfspace. 3
N. Gerolymos, G. Gazetas / Soil Dynamics and Earthquake Engineering 26 (2006) 347361 353

The dynamic rocking stiffness is equal to 3

  0:6 Square caisson Novak


2d equivalent square
KMM u Z KM u 1 C 0:92 1:5
L

Statickx / Es
2
 1:9  K0:6 
2d d
C 1K0:30a0 24
L D
Novak
1 circular caisson
cylinder
where KM is the static rocking stiffness of the caisson base [18],
taken as that of a surface foundation on halfspace.
The radiation dashpot constant in rocking oscillation is
0
expressed as 0 1 2 3 4
Slenderness ratio : D / B
CMM u Z CM u C rVLa Iwce c1 u
" # 6
X
2
C rVs Jws C Awcei Di c1 u (25)
5
i

Statick / Es D2
4
where CM(u) is the dashpot of the caisson base [17]. The
dynamic dashpot coefficient c1 is given by 3

   
p d Ka0 =2 2D K0:25 2
c1 z0:25 C 0:65 a0 (26)
D B 1

Thus, the complex dynamic impedance matrix of the caisson 0


0 1 2 3 4
referring to the base has been calculated as
Slenderness ratio : D / B
" #
K~ HH K~ HM Fig. 6. Comparison of the translational (top) and rotational (bottom) static
~ emb Z
K (27) spring stiffnesses, calculated with the simplified Eqs. (30) and (31) (solid lines)
K~ HM K~ MM and the exact Eqs. (28) and (29) (circles). Novaks [24] solution is plotted with
dotted lines.
There is a number of ways to determine the complex spring
stiffnesses functions k~k and k~q of the equivalent Winkler Square caisson
model. The simplest way that we follow here is to equate
the diagonal terms in the matrices of Eqs. (16) and (27). A  K0:13  K1:31
D D
check is then necessary to ensure that the resulting kx z2:18 Es and kq z2:17 Es D 2 (30)
B B
off-diagonal cross-term KHM in Eq. (33) is at least
reasonably similar with the respective term in Eq. (17).
Circular caisson
We thus derive
 K0:13  K1:71
1 D D
k~x Z kx C iuCx Z K~ HH KK~ h (28) kx z1:75 Es and kq z0:85 Es D 2 (31)
D B B

and Fig. 6 compares the static spring stiffnesses derived from the
approximated relations of Eqs. (30) and (31), with their exact
values calculated from Eqs. (28) and (29). It is interesting to
k~q Z kq C iuCq
note that for a slenderness ratio D/Bz10, Eq. (31) for the
  cylindrical caisson simplify to
1 ~ 1 1
Z K MM KK~ r C D2 K~ h K K~ HH D2 (29)
D 3 3 kx z1:2Es and kq z0 (32)

These are the general expressions from which the which are reminiscent of the spring moduli used for laterally
distributed springs and dashpots of the model can be loaded piles, e.g. Ref. [22]. Novaks spring stiffnesses [24] for
derived (easily, even if not always in closed form) for any a0Z0.3 are also plotted in Fig. 6. Novaks solution under-
shape in plan of the caisson. For instance, for the particular estimates slightly the horizontal spring stiffness at small D/B
cases of greatest interest, the square and circular plan values, but quite severely the rotational one. This was
shapes, and static lateral loading the above equations yield anticipated since Novaks springs are derived for a 2D
the following distributed springs horizontal slice of the caisson and surrounding soil
354 N. Gerolymos, G. Gazetas / Soil Dynamics and Earthquake Engineering 26 (2006) 347361

Fig. 7. Comparison of the translational static spring stiffness, calculated with the simplified Eqs. (30) and (31) (dotted black lines) and Mylonakis (2005) solution
(grey solid line) for a flexible fixed-head and infinitely-long circular caisson, and for Poissons ratio of the soil nsZ0.3.

(plane strain condition) and do not account for the 3D geometry Mylonakis solution is a function of the caissonsoil stiffness
of caisson foundations. contrast, Ep/Es, while Eqs. (30) and (31) are valid only for rigid
Fig. 7 compares the static spring stiffness derived from the caissons and depend only on the slenderness ratio D/B. The
approximate relations of Eq. (30) for a square caisson and Eq. comparisons are quite satisfactory, especially if one considers
(31) for a circular caisson, with the Mylonakis [23] solution the different assumptions adopted in the two solutions.
for a flexible fixed-head and infinitely-long circular caisson.
The comparison, however, is not straightforward given that
3

3 3
3 D =1
kx () / Es

2 2 B
L
Statickx / Es, ky / Es

=1
2 B
2
Novak
1 D/B=1
3
1

0
0 0.5 1 1.5 2
0 Dimensionless frequency : 0 = B / 2Vs
0 1 2 3 4
Slenderness ratio : D / B
10
30 3
8
25 D =1
B
Static k / Es D2

6
Cx () / Es

20
2
15 4
3
10 2
2

5 L
=1 0
B
0 0.5 1 1.5 2
0
0 1 2 3 4 Dimensionless frequency : 0 = B / 2Vs
Slenderness ratio : D / B
Fig. 9. Normalized dynamic translational spring stiffness (top), and dashpot
Fig. 8. Static spring stiffnesses, translational (top) and rotational (bottom), for a coefficients (bottom) for a square caisson with slenderness ratio D/BZ1, 2 and
rectangular caisson for length to width ratio L/BZ1, 2 and 3. The stiffnesses in 3, computed with Eq. (28). Novaks [24] spring and dashpot coefficient for a
the longitudinal direction (x) are plotted with solid lines, and those in the lateral cylindrical caisson with slenderness ratio D/BZ1 are plotted with dotted lines
direction (y) with dotted lines. for comparison.
N. Gerolymos, G. Gazetas / Soil Dynamics and Earthquake Engineering 26 (2006) 347361 355

Fig. 8 illustrates the dependence on the slenderness ratio SHH


D/B of the static spring stiffnesses derived from Eqs. (28) and
SMM
(29), for aspect (length to width) ratios L/BZ1, 2, and 3.
SHM
While the translational stiffness is practically insensitive to
variations in either the slenderness or the aspect ratios, the
4
rotational stiffness is strongly affected. Results for elliptical
foundation plan could be derived using the expression D
presented recently by Mylonakis et al. [21]. =1
3 B
Novak D / B = 1

Re(SHH)/EsD
5. Parametric study of the inertial caisson response 2 2

This chapter presents the results of a parametric study aimed 3


1
at investigating the influence of several key parameters on the
lateral dynamic response of fully-embedded square-shaped
caisson foundations. 0
Figs. 9 and 10 compare the normalized translational and the 0 0.5 1 1.5 2
rotational stiffnesses of the distributed (local) soil springs as Dimensionless frequency : 0 = B / 2Vs
functions of the dimensionless frequency a0. Three different
slenderness ratios (D/BZ1, 2, and 3) are examined. Note that 10
as the slenderness ratio increases, the dynamic stiffnesses 1

(translational, normalized by Es and rotational normalized by 2


8 3
EsD2) decrease. This reveals that in the limit of extremely high
slenderness the vertical shear resistance mechanism along the
Im(SHH)/EsD

6
(a) 2 Novak D / B = 1
4
D =1
k () / EsD2

1.5 B
2

1
0
2 0 0.5 1 1.5 2
Dimensionless frequency : 0 = B / 2Vs
0.5 3

Novak D / B = 1 Fig. 11. Normalized real and imaginary part of the resultant swaying stiffness
atop a square caisson, for slenderness ratios D/BZ1, 2 and 3. Solution for
0 D/BZ1 using Novaks method gives the dotted curves.
0 0.5 1 1.5 2
Dimensionless frequency : 0 = B / 2Vs
circumference vanishes and the caisson behavior approaches
(b) 1.5 that of a pile. Novaks springs [24] for D/BZ1 are also plotted
in Figs. 9 and 10. It is interesting to note that the static
translational stiffness derived from Novaks plane strain
1 solution is equal to zero.
C () / EsD2

Figs. 1113 illustrate the normalized real and imaginary


0.5
parts of the complex global stiffnesses (namely the swaying,
Novak D / B = 1
rocking, and cross swayingrocking components) atop of the
caisson utilizing the distributed springs from Eqs. (28) to (29),
0 2 and those proposed by Novak. Notice that the dynamic
3 stiffnesses are decreasing functions of the dimensionless
-0.5
frequency a0. But the normalized imaginary parts increase
0 0.5 1 1.5 2 almost linearly with frequency, which would lead to the
Dimensionless frequency : 0 = B / 2Vs filtering-off of the high-frequency components of a seismic
motion.
Fig. 10. Normalized coefficients (a) kq and (b) cq of dynamic rotational spring Fig. 14 shows the magnitude of the dynamic to static
and dashpot (distributed along the depth) for square caissons with slenderness
ratios D/BZ1, 2 and 3, computed with Eq. (29). The spring and dashpot curves
displacement and rotation ratio, respectively, atop the caisson,
computed using the Novak et al. [24] approximation for a cylindrical caisson for unit shear force (Q0Z1) and zero bending moment (M0Z0).
with slenderness ratio D/BZ1 are plotted with dotted lines. The ratios are plotted as functions of the dimensionless
356 N. Gerolymos, G. Gazetas / Soil Dynamics and Earthquake Engineering 26 (2006) 347361

SHH SHH

SMM SMM
SHM SHM
6 0

2
Re(SMM)/EsD3

Re(SMH)/EsD2
4 1
D
=1
B
Novak D / B = 1
Novak D / B = 1
2 2 D
2 =1
B
3

0 3
0 0.5 1 1.5 2 0 0.5 1 1.5 2
Dimensionless frequency : 0 = B / 2Vs Dimensionless frequency : 0 = B / 2Vs

6 0
1
Im(SMM)/EsD3

Im(SMH)/EsD2
4 2 Novak D / B = 1
Novak D / B = 1 2
3

2 4 1

3
0 6
0 0.5 1 1.5 2 0 0.5 1 1.5 2
Dimensionless frequency : 0 = B / 2Vs Dimensionless frequency : 0 = B / 2Vs

Fig. 12. Normalized real and imaginary part of the resultant rocking stiffness Fig. 13. Normalized real and imaginary part of the resultant cross swaying
atop a square caisson, for slenderness ratios D/BZ1, 2 and 3. Solution for rocking stiffness atop a square caisson, for slenderness ratios D/BZ1, 2 and 3.
D/BZ1 using Novaks method gives the dotted curves. Solution for D/BZ1 using Novaks method gives the dotted curves.

frequency a0 for three values of slenderness ratio D/B. The


hysteretic damping ratio x is equal to zero. Observe that due to representative of a foundation response when the fundamental
the huge radiation damping the system exhibits no resonance period of its supported superstructure is larger than the first
phenomena. For frequencies above the first fundamental natural period of the soil. The two eigenfrequencies of the
frequency of the caisson the motion vanishes exponentially. caissonsoil system can be easily observed in this figure. The
Fig. 15 illustrates the normalized dynamic displacement and first one (a0z1.30) corresponds to the translational mode, and
rotation atop the caisson, as a function of the dimensionless the second (a0z2.25) to the rotational mode. For a loading
frequency a0 for selected values of normalized loading ratio ratio M0/Q0DZ0, the maximum normalized displacement
M0/Q0D. The curves correspond to a slenderness ratio of D/BZ occurs at the first eigenfrequency of the caissonsoil system.
2. Small values of the loading ratio M0/Q0D correspond to short Increasing the loading ratio the contribution of the second
superstructure systems (such as short bridge piers), while larger eigenfrequency grows up, and finally dominates the response
values are representative of tall systems. We conclude that for loading ratios greater than five. On the other hand, the peak
while the normalized displacement is an increasing function of normalized rotation is controlled by the second eigenfre-
the loading ratio, the normalized rotation remains, surprisingly, quency; the contribution of the first eigenfrequency to the
insensitive. rotational oscillation is negligible and decreases with increasing
To interpret this paradox, we investigate the influence of the loading ratio. But the second fundamental frequency of the
existence of a cut-off frequency for radiation damping on the caissonsoil system corresponds to high frequencies where the
response of the caisson. Fig. 16 plots the same results with radiation damping in a homogeneous halfspace is huge, leading
those of Fig. 15 except that the radiation damping is spuriously eventually to normalized rotation being less affected by
reduced to merely 10% of its actual value. This is variations in the loading ratio.
N. Gerolymos, G. Gazetas / Soil Dynamics and Earthquake Engineering 26 (2006) 347361 357

1.5 1.5
100

5
1 1
U0() / U0(0)

U0() / U0(0)
1

M0
=0
Q0D
0.5 M0 0.5
=0
Q0D

0 0
0 1 2 3 4 0 1 2 3 4
Dimensionless frequency : 0 = B / 2Vs Dimensionless frequency : 0 = B / 2Vs

1.5 1.5

D
=1
1 B 1
0() / 0(0)

0() / 0(0)
2

3
0.5 0.5

0 0
0 1 2 3 4 0 1 2 3 4
Dimensionless frequency : 0 = B / 2Vs Dimensionless frequency : 0 = B / 2Vs

Fig. 14. Magnitude of the dynamic to static ratios of displacement (top) and Fig. 15. Magnitude of the dynamic to static ratios of displacement (top) and
rotation (bottom) atop a square caisson. Slenderness ratios D/BZ1, 2 and 3. rotation (bottom) atop a square caisson. Loading ratios M0/Q0DZ0, 1, 5, 100,
Loading ratio M0/Q0DZ0. and slenderness ratio D/BZ2.

Fig. 17 investigates the influence of hysteretic damping on


the normalized displacements of a caisson (xZ0 and 10%, 10 m deeper than the caisson base, thus having a negligible
respectively). Plots are given for a slenderness ratio D/BZ2, influence on its response.
and for three values of the loading ratio. The full radiation Steady-state analyses were performed to compute the
damping of the caisson has been taken into account. Observe magnitude of the dynamic to static ratios of displacement (a)
that the influence of the hysteretic damping on the response of and rotation (b) atop the caisson. The normalized loading ratios
the caisson is small and could be ignored in design without any M0/Q0D are 0 and 1.67. The results of the finite element and the
remarkable loss. Winkler method are compared in Fig. 19. The agreement is
quite good, with the proposed method predicting slightly larger
values than those of the finite element model.
6. Comparison with results of 3D-finite element analysis

As an attempt to evaluate the accuracy of the model, a 7. Kinematic response of caisson


comparison is performed with results from finite element
analysis. The problem studied is a rigid circular caisson of While long-pile foundations could simply follow more-or-
height DZ6 m and diameter BZ3 m (D/BZ2), embedded in less the seismic motion of the ground, in many cases, caissons
homogeneous elastic soil stratum. Youngs modulus, Poissons (characterized by considerable rigidity) modify the soil
ratio, mass density, and hysteretic damping of the soil are deformation and generate additional soil strains in their
constant with depth: EsZ100 MPa, nsZ0.3, rsZ2 mg/m3, and vicinity. As a result, the incident seismic waves are scattered
xZ0%. A detailed numerical model of the caisson and the and the seismic excitation to which the caisson-foundation is
surrounding soil is developed with the code ABAQUS. The effectively subjected to differs from that of the free field
finite element mesh used in the analysis is depicted in Fig. 18. motion. This kinematic filtering effect is more pronounced at
Both the caisson and the soil are modeled with 3D elements. small slenderness ratios and high bending rigidity. Increasing
The far field is represented with infinite elements ensuring that frequency of the excitation, tends to increase the waviness of
the displacements vanish at infinity. The soil stratum reaches the soil response and thereby increases the filtering effect.
358 N. Gerolymos, G. Gazetas / Soil Dynamics and Earthquake Engineering 26 (2006) 347361

3
5
U0() / U0(0)

2 1

1
M0
=0
Q0D
0
0 1 2 3 4
Dimensionless frequency : 0 = B / 2Vs

Fig. 18. The finite element mesh used in the analysis. The caisson elements are
5
shown with deep grey colour, the surrounding soil elements with soft grey, and
the infinite elements with mid grey colour.
4
0() / 0(0)

3
motion is then imposed at the supports of the caisson springs
2
and dashpots. The method of analysis is schematically
1
illustrated in Fig. 20.
Equations of motion with respect to the base of the caisson
0 are derived from Eq. (10) by replacing the vector of effective
0 1 2 3 4
Dimensionless frequency : 0 = B / 2Vs

Fig. 16. Magnitude of the dynamic to static displacement (top) and rotation 1.5
(bottom) ratio atop a square caisson for loading ratios M0/Q0DZ0, 1, 5, and for
slenderness ratio D/BZ2. The radiation damping of the caisson is reduced to
10% of its actual value.
U0() / U0(0)

The problem studied herein is that of a rectangular or


0.5
circular in-plan caisson embedded in a single layered elastic
soil over a flexible bedrock, and subjected to kinematic loading
due to vertical shear wave propagation. Solution is carried out
0
in two steps: (a) the free-field soil response (without the 0 0.5 1 1.5 2
presence of the caisson) is first calculated, and (b) this free-field Dimensionless frequency : 0 = B / 2Vs

2
1.5 = 0%
= 10%
1.5
0() / 0(0)

5
1
U0() / U0(0)

1
D =2
B
0.5
0.5
M0
=0
Q0D 0
0 0.5 1 1.5 2
0 Dimensionless frequency : 0 = B / 2Vs
0 1 2 3 4
Dimensionless frequency : 0 = B / 2Vs Fig. 19. Magnitude of the dynamic to static ratios of displacement (top) and
rotation (bottom) atop the cylindrical caisson (DZ6 m, BZ3 m) of Fig. 18 for
Fig. 17. Comparison of the normalized dynamic displacement atop a square- loading ratios M0/Q0DZ0 (black lines and circles) and 1.67 (grey lines and
shaped caisson for hysteretic damping ratios equal to xZ0 and 10%, triangles), computed with the proposed Winkler model (solid lines) and the
respectively. finite element model (triangles and circles).
N. Gerolymos, G. Gazetas / Soil Dynamics and Earthquake Engineering 26 (2006) 347361 359

Fig. 20. Schematic illustration of the method of analysis of the response of a kinematically loaded caisson: The free-field motion due to vertical shear waves (left)
imposes horizontal displacement and rotation at the supports (i) of the distributed springs and dashpots (kx, cx; kq, cq) along the caisson height, and (ii) of the resultant
springs and dashpots (Kh, Ch; Kr, Cr) of the base.

loading, Pb, given in Eq. (14) with parameters are defined:


8 9
>
> d >
> u0 u
>
> >
> heff u Z (37)
>
> ~
k zU zdz C K ~ U 0 >
> Uff D;u
>
<
x ff h ff >
=
0 the effective displacement ratio at the top of the caisson,
Pb Z d (33)
>
> d >
>
>
> ~ ~ 0 ~ 0 >
> q0 uD
>
> k zU zz dz k zU zdz K U 0 >
>
>
:
x ff C q ff C r ff >
; qeff u Z (38)
0 0
Uff D;u

where Uff and Uff0 are the free-field displacement and its the effective rotation ratio at the top of the caisson,
derivative with respect to z. Details on the derivation of Eq. Aff u Z Uff D;u=Uff 0;u (39)
(33) is given in Appendix A. For an elastic soil layer supported
on a flexible bedrock, Uff is equal to [25] the amplification ratio at the top of the caisson
expikDKz C expKikDKz Ac u Z u0 u=Uff 0;u (40)
Uff z Z Ug (34)
1 C aexpikD C 1KaexpKikD the amplification ratio at the surface of the soil profile, and
where Ug is the displacement amplitude at the base of the soil uD
layer, k is the complex wave number given by b0 Z (41)
Vs
u
k Z p (35) the dimensionless frequency with respect to the caisson height.
Vs 1 C 2ixs
Fig. 21 compares the effective top displacement and
where a is the complex impedance ratio given by rotation ratios of a square-shaped caisson for three typical
p slenderness ratios (D/BZ1, 2, and 3), as functions of the
r V 1 C 2ix
a Z s s ps (36) dimensionless frequency b0. The solution developed by the
rr Vr 1 C 2ixr
authors utilizing Novaks springs for D/BZ1, is also shown in
where subscript s refers to soil and r to rock. this figure. The hysteretic damping in the surrounding soil is
Solution of Eqs. (10) and (33) can be solved in closed form equal to xZ20%; in the free-field soil equal to xsZ5%. The
for this case of homogeneous stratum. This solution is explored mass density of the caisson has been ignored. It is noted that
herein in the form of parametric study. To present the results of both top displacement and rotation of the caisson attain
our analysis in a convenient form, the following dimensionless negligibly small (or even zero) values at a discretely infinite
360 N. Gerolymos, G. Gazetas / Soil Dynamics and Earthquake Engineering 26 (2006) 347361

0 6 0 9 8 c b
Ac = Ub / U a

6 a Aff = Uc / Ua
D s D 1.5 s

A ()
4

Aff Ac (D / B = 1, 2, 3)
1.5 Novak 2
D/B=1

0
1 3 D 0 2 4 6 8 10 12 14 16 18
=1
B Dimensionless frequency : 0 = D / Vs
eff

Fig. 22. Comparison of the transfer functions (amplification ratios) between top
0.5 2 (zZ0) and base (zZD) displacement amplitudes for the free-field (Aff ) and the
caisson (Ac ). Square caisson with slenderness ratios D/BZ1, 2 and 3. Solution
for D/BZ1 using Novaks method gives the spring and dashpot curves (dotted
lines).
0
0 2 4 6 8 10 12 14 16 18
Dimensionless frequency : 0 = D / Vs at b0z3, 9 and 15. These values correspond to wave lengths of
about 0.5, 1.5 and 2.5D, respectively, at which, as the insert
2.5 illustrates, the free-field displacements impose a large
unbalanced moment on the caisson supports, inducing
2 eventually its peak response.

1.5
1.5
eff

1
3
1
0.5
eff

2
0
0 2 4 6 8 10 12 14 16 18 0.5
Dimensionless frequency : 0 = D / Vs L
=1
B
Fig. 21. Effective displacement (top) and rotation (bottom) ratios atop a square
caisson for slenderness ratios D/BZ1, 2 and 3. The caisson is fully embedded 0
in a homogeneous halfspace. The kinematic loading has been derived from the 0 2 4 6 8 10 12 14 16 18
free-field response analysis of a soil column supported by a deformable bedrock Dimensionless frequency : 0 = D / Vs
of impedance ratio aZ0.07. Solution for D/BZ1 derived by the authors using
Novaks distributed springs and dashpots is plotted with dotted lines. 2.5

number of values of b0Zb0,n which are multiple of about 6 (or


2
slightly higher). This is understandable if we realize that a
value
1.5
eff

uD D
b0 Z z2p z6
Vs ls 1

implies that the wavelength ls of the free-field shear wave is 0.5


about equal to the length D of the caisson. Then, as the insert in
Fig. 21 illustrates, the imposed free-field displacements on the 0
spring supports produce a zero external force and a zero 0 2 4 6 8 10 12 14 16 18
external moment! Dimensionless frequency : 0 = D / Vs
Notice also that for b0!6, the response (heff,qeff) of the
Fig. 23. Effect of the caisson shape (L/BZ1, 2, 3) on the effective displacement
caisson plotted versus b0 is independent of the caisson
(top) and rotation (bottom) ratios atop a rectangular caisson with slenderness
slenderness. At higher frequencies this is not exactly the ratio D/BZ2. The caisson is fully embedded in a homogeneous halfspace. The
case, although the undulations of the three curves follow a kinematic loading has been derived from the free-field response analysis of a
similar pattern, with peak values in the studied range occurring soil column supported by a deformable bedrock of impedance ratio aZ0.07.
N. Gerolymos, G. Gazetas / Soil Dynamics and Earthquake Engineering 26 (2006) 347361 361

Finally notice that whereas in general heff!1, at low References


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