DYNAMIC EXPERIMENTS ON T W O P I L E GROUPS

By H. El-Marsafawi, 1 Y. C. Han, 2 and M. Novak, 3 Fellow, ASCE

ABSTRACT: Field experiments are conducted on two groups of piles supporting

rigid foundations and subjected to harmonic loading. The objective is to investigate
the ability of linear elastic theories of pile-group modeling to predict the response
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curve characteristics including the resonant frequency and amplitude. The first pile
group consists of six steel pipes of length 3.05 m and outside diameter of 0.102 m
driven in a layer of cohesionless soil. The second group consists of six cast-in-place
concrete piles 7 m in length and 0.32 m in diameter constructed in a clay site. The
response is measured at different levels of excitation force amplitudes. Moderate
nonlinear behavior is observed. The group stiffness and damping required to gen-
erate the theoretical response curves are established using an approximate method
based on combining the plane strain soil reactions solution of the single pile with
dynamic pile-soil-pile interaction factors. The theoretical results are also verified
using the more rigorous direct analysis approach. Comparison with experiments
shows that the linear theory gives a good estimate of the group stiffness but over-
estimates the group damping. •

INTRODUCTION

The determination of pile-group stiffness and damping is an important

step in the analysis of pile-supported structures subject to dynamic loading
due to earthquakes, machinery, waves, etc. In recent years, a considerable
body of theoretical research has been accumulated in the area of dynamic
behavior of pile groups, especially under linear elastic assumptions. On the
other hand, the available literature on experiments with pile groups subject
to dynamic loading is limited, despite the fact that the theory suggests very
significant pile-soil-pile interaction effects manifesting themselves by a re-
duction in stiffness, amplification of damping, and a strong dependence on
frequency. The experimental studies on small-scale pile groups include the
tests of four piles by Novak and Grigg (1976) and Sheta and Novak (1982),
102 small piles by El-Sharnouby and Novak (1984), and Hassini and Woods'
(1989) experiments on groups of two and four small-scale piles. Tests of
small groups of full-scale piles were reported by Blaney et al. (1987), Crouse
and Cheang (1987), and Hijikata et al. (1990). A large group of 56 full-
scale piles was tested by Masuda et al. (1986), while Kobori et al. (1991)
examined a full-scale pile group interacting with an embedded cap and Gohl
(1990) conducted comprehensive shaking-table tests. Kobayashi et al. (1991)
considered nonlinearity of pile-group behavior. References on further pile
tests are given by Novak (1991). Comparison of all these experiments and
some others with theoretical predictions, where available, are on the whole
encouraging but sometimes inconclusive and thus, further tests appear use-
ful.
'Res. Asst., Fac. of Engrg. Sci., Univ. of Western Ontario, London, Ontario,
Canada N6A 5B9.
2
Res. A s s o c , Dept of Civ. Engrg., Tech. Univ. of Nova Scotia, P.O. Box 1000,
Halifax, Nova Scotia, B3J 2X4 Canada.
3
Prof., Fac. of Engrg. Sci., Univ. of Western Ontario, London, Ontario, Canada
N6A 5B9.
Note. Discussion open until September 1, 1992. To extend the closing date one
month, a written request must be filed with the A S C E Manager of Journals. The
manuscript for this paper was submitted for review and possible publication on
September 6, 1990. This paper is part of the Journal of Geotechnical Engineering,
Vol. 118, No. 4, April, 1992. © A S C E , ISSN 0733-9410/92/0004-0576/$1.00 + $.15
per page. Paper No. 451.

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J. Geotech. Engrg. 1992.118:576-592.

 This paper describes two sets of tests: one on model steel piles of inter-
mediate size in noncohesive soil and the other on full-scale concrete piles
in clay. The experimental results are compared to the theoretical predictions.
The next section describes the method used to establish the theoretical
results. The description of tests and comparison with the theory follow.
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METHOD OF THEORETICAL ANALYSIS

Several approaches are available for establishing the dynamic stiffness

and damping of a pile group. The approaches differ in the assumptions used
to calculate the interaction forces at the pile-soil interface, in the way the
far field is accounted for and in the method by which the group stiffness
matrix at the pile heads is formulated. Pile-soil interaction forces at different
levels may be assumed to act independently or, more rigorously, coupling
between the nodes through soil may be accounted for. The pile group
stiffness matrix may be established either through direct analysis or by means
of the superposition method. In direct analysis, all piles of the group are
considered to interact at the same time. In the superposition method, the
interaction between each two piles is considered separately and used to
formulate the flexibility matrix of the entire group. The superposition method,
which is used to establish theoretical results in this study is computationally
advantageous and was shown by Kaynia and Kausel (1982) to be in good
agreement with the direct analysis for the case of floating piles in a ho-
mogeneous soil. However, considerable differences may occur between the
two approaches where they are applied to stiff end-bearing piles in the
vertical direction (El-Sharnouby and Novak 1985) or to horizontal response
in a nonhomogeneous medium (Kaynia 1988).
The application of the superposition method is facilitated through the use
of pile-soil-pile interaction factors that were introduced for static loading
by Poulos (1968). The interaction factor between two identical, equally
loaded piles i and /', a,y, is defined as the pile head displacement of pile i
due to a load on pile / normalized by the displacement of pile j under its
own load. For dynamic loading, dynamic interaction factors are defined in
an analogous way, but they are complex and frequency dependent. The
dynamic interaction factors are usually normalized by the static displacement
of the loaded pile. Then, the group flexibility matrix, f, relating the forces
and displacements at the pile heads, P and v, respectively, may be calculated
as
v = /„ «P = fP (1)
where fsl = the single pile flexibility; and a = the« x n matrix of interaction
factors, where n is the number of piles. Eq. (1) is directly applicable to
vertical translation or pure horizontal translation of the pile cap. (For lateral
translation coupled with rocking, the moments and rotations are included
in P and v, respectively, with the appropriate interaction factors included
in a, resulting in a In x 2« system of equations.) Inversion of the flexibility
matrix results in the group stiffness matrix.
For rigid foundations, the foundation complex stiffness in the vertical,
horizontal, rocking, and torsional modes of vibration, respectively, is cal-
culated by applying the pertinent boundary conditions and transforming the
stiffness terms to a reference point (usually theioundation center of gravity).
For example, the boundary condition for vertical stiffness calculation is: v,
= 1 for i = 1, 2, . . . , n. The foundation stiffness is then given by
577

J. Geotech. Engrg. 1992.118:576-592.

 K? = ksl^2^j (2)
1=1y=i

where ksl = the static pile stiffness; and e,y = the elements of a - 1 . The
procedure is described for all modes in detail in Novak and Mitwally (1990).
In general, the foundation complex stiffness (impedance function) can be
written for any vibration mode as
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K = Kt + iK2 = k + mc (3)
where Kx and k2 = the real and imaginary parts of the stiffness, respectively,
/ = V 3 ! and w = circular frequency; k = Kx = the real stiffness; and
c = K2lu> is the coefficient of equivalent viscous damping.
The application of the superposition method requires the calculation
of the single pile stiffness and the interaction factors. In this study, the
single pile stiffness is based on the approach developed by Novak (1974)
and implemented for layered soil by Novak and Aboul-Ella (1978). In
this approach, the dynamic soil reactions to the displacement of a pile
element are calculated assuming that the soil consists of infinitely thin,
independent layers. The real and imaginary parts of soil reactions are
expressed as a function of the dimensionless frequency, a0 = <aR/Vs,
where R is pile radius and V, is soil shear wave velocity. This approach
is very versatile and works quite well, particularly for high frequencies.
For very low frequencies, empirical modifications are required since the
plane strain soil stiffness in the vertical and horizontal directions ap-
roaches zero as the frequency tends to zero. Thus, the theory is adjusted
E y choosing a minimum cutoff frequency below which the soil stiffness
is taken as constant and the variation with frequency of the soil damping,
represented by the imaginary part of stiffness, is taken as linear. For
the vertical direction, the chosen dimensionless cutoff frequency, a0, is
0.05 for stiffness and 0.1 for damping. For the horizontal direction, the
cutoff frequency is 0.3 for both stiffness and damping. With these ad-
justments, even the static stiffness can be obtained with adequate ac-
curacy as can be seen from Fig. 1. In this figure, the vertical static pile
stiffness calculated using the adjusted plane strain soil reaction (denoted
as "Present Method" in Fig. 1) is compared with that obtained by a
static procedure due to El-Sharnouby and Novak (1985) for different
slenderness ratios, Lid, and two pile-to-soil stiffness ratios, EPIES (L =
pile length, d = pile diameter, and Ep and Es = Young's moduli of
pile and soil, respectively).
One of the advantages of this approximate method is that in addition
to allowing for arbitrary soil layering, it makes it possible to approxi-
mately account for the effects of high strain and imperfect bond between
the pile and the soil using a weakened zone around the pile as described
in Novak and Sheta (1980). Within the weakened zone, the soil shear
modulus may be reduced and its material damping increased. [More on
the concept of the weak boundary zone can be found in Dotson and
Veletsos (1990), and Novak and Han (1990).]
The dynamic interaction factors to be used in the analysis are complex,
i.e.
a = <*! + ia2 = | a | e!s (4)
with both ax and a 2 displaying oscillatory character in frequency and pile
spacing, a direct consequence of wave propagation in soil. Dynamic inter-
578

J. Geotech. Engrg. 1992.118:576-592.

 Present method
- o - E l - S h o r n o u b y & Novak ( 1 9 8 5 )

<
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*> } 100

20 40 80 100 120
L/d
(a) Floating

Present m e t h o d
- e - - E l - S h a r n o u b y & Novak ( 1 9 8 5 )

E
A*

1 --F. ) 100
«

L/d
(b) Endbearing

FIG. 1. Normalized Vertical Static Stiffness of Single Pile (Poisson's Ratio: vv =

0.5,fc„= Vertical Pile Stiffness. Ap = Pile Cross-Sectional Area)

action factors were produced by Kaynia and Kausel (1982) for all vibration
modes and a limited set of parameters. While it is common to represent the
interaction factors by their real and imaginary parts a 1; a 2 , it is more con-
venient to present them in terms of amplitude, | a | , and phase, 8. Fig. 2
shows an example of the vertical interaction factor using the two methods
of presentation for different pile spacing to diameter ratios, s/d. The latter
presentation facilitates curve fitting along frequency and interpolation be-
tween spacings.
Although dynamic interaction factors are available for specific pile and
soil properties, approximate corrections for different parameters may be
made using the more widely available static interaction factors. If the pile-
length-to-diameter ratio and the pile-to-soil stiffness ratio are assumed to
have relatively little effect on the frequency variation in the low-frequency
range the dynamic interaction factor may be expressed as

s_ L Ef'£ a = 0
« \a0, d' d' E
s
-
° '^'l X F | a0, - (5)

where <xst = static interaction factor; and F represents the frequency vari-
ation. This approach may be expected to yield good results outside the
frequency regions of abrupt variation in group impedance. The vertical static
579

J. Geotech. Engrg. 1992.118:576-592.

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a =uR/V
(=)

(b) a„= U R/V. (c) ° 0 =«R/V,

FIG. 2. Dynamic Interaction Factors for Floating Pile in Homogeneous Soil (Lid
= 15, EJE, = 1,000, Soil's Material Damping Ratio p, = 0.05, Poisson's Ratio vs
= 0.4): (a) Real and Imaginary Parts; (b) Amplitude; and (c) Phase

interaction factors used in this study are those presented in Poulos and Davis
(1980). The horizontal static interaction factors are based on El-Sharnouby
and Novak (1986). Approximate corrections for the effect of soil nonhom-
ogeneity, similar to those proposed by Randolph (1981), are applied to the
static interaction factors. The frequency variation of the dynamic interaction
factors is available for a homogeneous soil medium. When using these factors
as approximate for nonhomogeneous soils, an equivalent soil shear wave
velocity, V's, may be used in calculating a0. In this study, V's is established
using a weighted average of the shear wave velocity. Averaging is performed
over the pile length for the vertical interaction factors and over the effective
pile length for the lateral interaction factors. The effective pile length is
calculated using the approximate formulas presented by Randolph (1981).
Different results are obtained if nonhomogeneity is not accounted for in
static and dynamic interaction factors. The effect of the weak zone is not
considered in the interaction factors, only in single pile properties. The
interaction factors can be affected by the deficiencies of the contact between
the pile and soil, which dulls the sharp peaks in the group stiffness and
damping (Sheta and Novak 1982).
The simplified method outlined previously is incorporated in the computer
program DYNA3 (Novak et al. 1990), which is used in this study to generate
the theoretical foundation response curves for comparison with the exper-
imental data. In addition, theoretical response curves based on the rigorous,
but computationally much more demanding direct analysis developed by
Kaynia and Kausel (1982) are also presented. The comparison with exper-
iments is valuable in evaluating the performance of the proposed method
in particular and the elastic continuum theories in general. In the following
sections, the results of the tests conducted on two different pile groups are
presented separately.
580

J. Geotech. Engrg. 1992.118:576-592.

 TESTS ON MODEL STEEL PILES IN NONCOHESIVE SOIL

Test Pile Foundation and Site

The first set of experiments was conducted on a group of six steel piles.
The piles were made of hollow pipes 101.6 mm in outside diameter with
6.35 mm wall thickness. Pile-material damping ratio was assumed to be (3
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= 0.25%. The piles were provided with conical plugs and driven hydraul-
ically to a depth of 2.75 m below the ground surface with a free length of
0.3 m. For pile-group tests, a reinforced concrete cap of 0.2 m thickness
was poured on top of the piles with its bottom face 0.15 m above the ground
surface. Fig. 3 shows the pile layout and the concrete cap. The same pile
group without the cap was used previously by Janes and Novak (1989) in
their static experiments to examine lateral pile-soil-pile interaction in the
nonlinear range. A period of two years separated the two tests, thus allowing
for possible previously induced gaps to close.
The site chosen is on the campus of The University of Western Ontario.
The soil consisted of a layered noncohesive stratum of silty fine sand with
a gravel seam, resting on dense silty till at a depth of 2.9 m from the ground
surface. Measurements of shear wave velocity at the site were previously
conducted using the cross-hole technique and the steady state vibration
technique. The results of the shear wave velocity measurements are shown
in Fig. 4 together with the step variation used in the theoretical analysis.
The bulk densities of the noncohesive soil and the underlying till were 1,780

R.C. CAP Plan View

IX
1°

z^

Elevation

(ALL DIMENSIONS IN mm )

FIG. 3. Layout of Model Steel Piles and Concrete Cap

581

J. Geotech. Engrg. 1992.118:576-592.

 SHEAR WAVE VELOCITY (m/s)
0
O 50 100 150 200
^AV/^V/
^' "" 1 ' 1
TOP SOIL

SILTY FINE
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SAND
1.0 -

1.4 -IK

GRAVEL
1.75 -§
SANDY UJ 2.0
SILT
2.5 -

2.9 Janes S Novak (1989)

3.0 -
SILTY El-Sharnouby (1984)
TILL • Present Analysis
•* K

FIG. 4. Shear Wave Velocity Profile at Test Site of Model Steel Piles

kg/m3 and 1,860 kg/m3, respectively. Poisson's ratio is taken as 0.3 for all
layers. The soil-material damping ratio is assumed to be 2.5%.

Test Description
Harmonic vibration tests were conducted on the pile group in the vertical
and horizontal directions. In addition, a single pile was tested under har-
monic loading in the vertical direction and in free vibration in the horizontal
direction. These tests were conducted on pile No. 1 of the group (see Fig.
3) prior to pouring the concrete cap. The mass of the system was controlled
using steel plates rigidly attached to the pile cap or, in the case of a single
pile, to a steel mounting flange. The system was harmonically excited using
a mechanical oscillator that produces quadratic forces proportional to the
square of the excitation frequency. The oscillator was driven by means of
a flexible shaft and a 3 HP, 200V motor equipped with a Kopp variator
yielding stable operating speeds between 6 Hz and 62 Hz.
Fig. 5 shows an example of the setup for a horizontal vibration test. The
vibration-measuring equipment consisted of electrodynamic pickups (ve-
locity transducers) and the associated vibration meter. The setup is capable
of measuring single displacement amplitude with sensitivity of about 1.3 X
10~4 mm (0.005 mils). A dual-beam oscilloscope was used to monitor the
phase shifts between different pickups in order to ensure that the correct
resonance mode was observed. For vertical vibration measurements (Figs.
6 and 7), four pickups were used with each pair mounted vertically at
equidistant positions from the foundation center on the two axes of sym-
metry. The displacement was averaged in order to eliminate the rocking
mode component. For horizontal and rocking vibration measurements, two
setups were used. For the results shown in Fig. 8, the horizontal vibration
was measured using two pickups, one on either side of the foundation at
the level of the center of gravity (CG), while the rotation amplitudes were
measured using two pickups mounted vertically on either side of the test
582

J. Geotech. Engrg. 1992.118:576-592.

 *1
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FIG. 5. Setup of Horizontal Vibration Test on Steel Pile Group

1 ' 1 I ' 1 ' 1 • 1

Experiment
o 2.45 kg.mm
• 4.92 kg.mm &tr
A 9.84 kg.mm A •
A • "
Theory
No Weak Zone
" £o «o
(
E - - Weak Zone I
< 4.0 Weak Zone JT

•' „'°K1$>
/
- / *•• n/
^ ^ s

/ * """"".
.''1- jzJ&*^
1
i .-^j-r"" . 1 . 1 , 1
20
i
30 40 50
,
Frequency (Hertz)

FIG. 6. Vertical Response of Steel Single Pile under Vertical Excitation (m = 941
kg)

I ' I ' I ' I I ' 1 '

Experiment
o 19.7 kg.mm
0) • 39.2 kg.mm
3 A 78.3 kg.mm
Q- 1.0
E
Theory • -
Present (no weak zone) !
< Direct Analysis 9 °
Dimen sfonless

•
s
I
o

8
a^—~~

-
c—i-tfSyu™ I . I . I I . I
0 10 20 30 40 50 60 70
Frequency (Hertz)

FIG. 7. Vertical Response of Steel Pile Group under Vertical Excitation (m = 1,874
kg)

583

J. Geotech. Engrg. 1992.118:576-592.

 Experiment
o 9,84 kg.mm
« 19.7 kg.mm
a 39.2 kg.mm
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«44£8XiilIilI
0 10 20 30 40 50 60 70
Frequency (Hertz)

1
i i i
Experiment
o 9.84 kg. mm
• 19.7 kg. mm
A 39.2 kg.mm

Theory no weak zone)

S
o *
* o°«
V o a

° • A jT
*A O
°;A ^S

- -
a g i * "

0
7 *!
10 20 30
, . , . , .
40 50 60 70
Frequency (Hertz)
(b)

FIG. 8. Response Curves of Steel Pile Group under Horizontal Excitation at Low
Displacement Amplitudes: (a) Horizontal Displacement; and (b) Rocking (m = 1,890
kg, / = 164 kg m2, Ze = 0.41 m, Height of CG above Pile Head = 0.3 m)

body. For the results shown in Fig. 9, three pickups mounted horizontally
were used, with one of them on either side and the third one at a higher
level in the vibration plane. The horizontal vibration at the CG was cal-
culated by extrapolation, and the rotation amplitude was calculated using
the displacement difference and the separating distance. Such a setup is not
accurate outside the mode resonance region due to superposition of modes
but is reliable at resonance where all three pickups are in phase.
First, tests with small amplitudes were conducted in which the maximum
vertical displacement amplitude was 0.07 mm for the single pile (Fig. 6) and
0.028 mm for the group (Fig. 7) corresponding to 0.00069d and 0.00028d,
respectively, where d is outside diameter. The group vertical vibration tests
were preceded by tests in the horizontal direction where the maximum
displacement reached was 0.18 mm (or 0.00177d) (Fig. 8). The vertical tests
were then followed by another set of horizontal vibration tests with maxi-
mum amplitude of 0.5 mm (0.0049d) (Fig. 9).

Results and Comparison with Theory

Figs. 6 and 7 show the normalized response curves of the single pile and
the pile group, respectively, under vertical excitation. Figs. 8 and 9 show
the normalized response curves of the pile group subjected to horizontal
584

J. Geotech. Engrg. 1992.118:576-592.

 1 1
Experiment
o 19.7 kg.mm
<5> • 39.4 kg.mm
oo c 78.7 kg.mm
61° » 157 kg.mm
D 209 kg.mm
- 44,.° Theory
"
Present (no weak zone)
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Weak Zone
o Direct onalysis

-
/7
I I I I

Frequency (Hertz)
(a)

i
Theory
Present (no weak zone) o
riment
19.7 kg.rr
/
Weak Zone 39.4 kg.rr
- - Direct onalysis » 78.7 kg.rr • ,'
157 kg.m :
a 209 kg.m
O /

6
" * / -
E
a 04 . # • -' _
6
-_ ^ _ J l _ - — •
2
;T
«.8-' -

Frequency (Hertz)
(b)

FIG. 9. Response Curves of Steel Pile Group under Horizontal Excitation at High
Displacement Amplitudes: (a) Horizontal Displacement; and (b) Rocking (m = 1,130
kg, / = 107 kg m2, Ze = 0.3 m, Height of CG above Pile Head = 0.19 m)

excitation in the direction X (see Fig. 3). The experimental results, given
as discrete points, are shown for different excitation intensities (mee) where
the excitation force is given by
F(t) = (mee)w2cos u>t (6)
Normalized response amplitudes are defined as

A = m
u (7)
\tnee)
for translations and

A' =
(mee-Ze)^ <»
l (8)

for rotations. In the aforementioned equations, u = the measured horizontal

or vertical translation, respectively; \\i = the measured rotation; m = the
mass; / = the mass moment of inertia; and Ze - the height of the horizontal
excitation above the CG. The mass properties of the foundation used in the
585

J. Geotech. Engrg. 1992.118:576-592.

 normalization by (6)-(8) are given in the captions for each figure so that,
if required, the measured response amplitudes may be recovered. For a
system possessing linear stiffness and damping, the vibration amplitudes are
independent of the level of excitation and all the measured normalized
curves should collapse onto one curve. This is very nearly so in the case of
the vertical vibration of the pile group (Fig. 7), where the displacements
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were extremely small; in all the other tests, moderate nonlinear effects are
observed. Such effects are evidenced by the reduction of the resonant fre-
quency that decreases with excitation intensity and the scatter of individual
data points at the same frequency. Nevertheless, the nonlinear effects are
not extremely pronounced, and therefore no attempt is made to account
for them here. [For single piles, nonlinearity was considered in some detail
by Han and Novak (1988).]
Using the approach outlined previously, theoretical response was calcu-
lated and is shown in continuous curves in Figs. 6-9. The stepwise variation
of the shear wave velocity used in the theoretical analysis follows the linear
trend observed for depths below 0.5 m, while a parabolic variation of the
shear modulus is assumed for the top 0.5 m to account for the loss of
confining pressure toward the surface. Three theoretical curves are shown
in Fig. 6, one corresponding to the soil profile described previously, and
two additional curves in which a weak zone of thickness equal to one pile
radius is introduced around the pile. For the curve indicated as weak zone
I, the ratio of weak-zone shear modulus to that of the surrounding soil GJ
Gs varies from 0.2 at the top to 0.9 at the tip while the weak zone material
damping ratio, $w, is changed from 7.5% at the top to 2.5% at the tip. For
the curve referred to as weak zone II, the weak-one properties are constant
with depth with GJGS = 0.2 and $w = 5%. For both curves, a pile-soil
separation of 0.1 m is assumed at the topmost layer. The mass of the weak
zone, neglected in the zone stiffness and damping evaluation in order to
avoid wave reflections from the fictitious interface between the two media,
can be added in full or in part to the mass of the pile. For all results presented
in this study, one-half of the weak-zone mass is added to that of the pile.
For low dimensionless frequencies, the effect of the weak-zone mass was
found to be insignificant.
Table 1 gives the theoretical and experimental natural frequencies and
damping ratios of the single pile in the vertical direction. The experimental
TABLE 1. Experimental and Theoretical Natural Frequencies and Damping Ratios
of Single Steel Pile in Vertical Direction
Frequency Damping
Experiment versus theory co0 (rad/s) ratio (%)
(1) (2) (3)
(a) Experiment
me-e — 2.45 kg mm 314 9.2
me-e = 4.92 kg mm 298 7.5
me'e = 9.84 kg mm 286 7.8
(b) Theory
Kaynia and Kausel 332 20.5
Novak 331 20.1
Weak zone I 308 15.1
Weak zone II 268 11.7

586

J. Geotech. Engrg. 1992.118:576-592.

 results are shown for three different excitation intensities. The theoretical
results are given for the three soil profiles described previously. The results
from the present method (denoted Novak) for the soil without a weak zone
are verified using the more rigorous approach of Kaynia and Kausel (1982).
The results from both methods are in very good agreement.
Examination of single-pile results indicates that the theory gives a very
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good estimate of the stiffness but the damping is overestimated by a factor

of about 2.2. Inclusion of the weak zone and separation improves the agree-
ment but the experimental results for stiffness and damping are not matched
simultaneously. The same observations apply when analyzing the results
derived from the free vibration test on the single pile in the horizontal
direction (not shown). The theoretically calculated values for the natural
frequency and the damping ratio of the first-vibration mode are 51.6 rad/s
and 4.2%, respectively. The corresponding experimental results were 50.5
rad/s for frequency and 1.8% for damping.
The results for the vertical vibration of the pile group (Fig. 7) indicate
that both experimental and theoretical response curves are highly damped.
Within the frequency range of the experiment, the results from the proposed
simplified method (denoted as "Present") are in good agreement with those
obtained using the rigorous direct analysis developed by Kaynia and Kausel
(1982). Although accurate comparisons are difficult due to the absence of
a well-defined resonance peak, it appears that the group damping is over-
estimated. The response to horizontal load is compared with the theoretical
predictions in Figs. 8 and 9 for two different sets of experiments. The sharper
peak displayed in Fig. 8 is due to the higher mass of the system. Theoretical
curves using the approximate present method are shown as solid lines. The
comparison with experimental results shows that the theory gives a good
estimate of the resonant frequency of the first-vibration mode. The theo-
retical amplitude at resonance is much less than observed in the experiments,
indicating an overestimation of the damping. The theoretical response curves
using direct analysis verify the same conclusions. Fig. 9 also shows the
response curve obtained using a weak zone with the thickness equal to one
pile radius. The weak-zone shear-modulus ratio is GJGS = 0.1 and the
weak-zone material-damping ratio p„, = 5%. The weak zone improves the
agreement of the resonant amplitude, but a match along the entire frequency
range is not possible. This may be due in part to the differences in displace-
ment amplitudes at each frequency.

TESTS ON FULL-SCALE REINFORCED CONCRETE PILES IN CLAY

Full-scale tests on piles are valuable since the nature of pile-soil interaction
depends on the actual confining pressure and the method of installation.
This section describes the tests conducted on a group of reinforced concrete
piles subject to small amplitude horizontal vibration as well as tests on a
single pile undergoing large amplitude vibrations.

Description of Tests
The tests were conduced at the pile research site at the Institute of En-
gineering Mechanics, Harbin, China. The group of piles consisted of six
cast-in-place reinforced concrete piles with a diameter of 0.32 m and 7.5 m
in length, connected by a 0.5-m-deep rigid reinforced concrete cap. The
bottom surface of the cap was 0.25 m above the ground surface. The concrete
was poured continuously and integrally for the pile and cap and then cured
587

J. Geotech. Engrg. 1992.118:576-592.

 for 28 days. The mass of the pile-group cap was 5,000 kg. A single pile
identical to those in the group was tested at the same site. The single pile
cap had a mass of 740 kg with its bottom surface situated 0.1 m above the
ground surface. Fig. 10 shows the layout of the piles and cap for the group
and the single pile. The fundamental pile-spacing-to-diameter ratio, sld,
was 2.81. For the analysis, the pile properties were evaluated assuming
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Young's modulus = 1.96 x 1010 N/m2, Poisson's ratio = 0.20, damping

ration = 1%, and specific weight = 2.45 x 104 N/m3.
The soil at the site was a relatively homogeneous sandy clay with yellow
and brown coloring. The soil profile was established from the ground surface
to a depth of 30 m. The in situ shear wave velocity was measured employing
the seismic cross-hole technique at 1-m-depth increments. In addition, un-
disturbed samples were taken from each meter of depth for laboratory
determination of the specific gravity, density, and water content. The mea-
sured in situ shear wave velocity and mass density profiles are shown in Fig.
11. The water table was 20 m below the ground surface. Poisson's ratio is
taken as 0.3 and soil material damping ratio as 3.5%.
An exciter with two counterrotating eccentric masses was fixed in the cap
and used to produce horizontal harmonic excitation, quadratic in nature by
(6). The mass of the exciter was 120 kg. The center of gravity of the cap-
exciter system was 0.24 m below the cap surface for the pile group and 0.1
m below the cap surface for the single pile. The exciting force acted 0.2 m
above the cap surface in the Y-direction (Fig. 10).
The horizontal displacements were measured using two pickups mounted
horizontally at the foundation surface. All experimental and theoretical

J-?
»,&/# *5KT
T 2^W

320 320

:> 1* *' f-

,900

^-O rf)
IIOO

T
&~<} (b)

(a) (DIMENSIONS IN m m )

FIG. 10. Layout of Pile Group and Single Pile for Concrete Pile Tests: (a) Group
of Six Piles; (b) Single Pile

588

J. Geotech. Engrg. 1992.118:576-592.

 SHEAR WAVE VELOCITY ( m / s ) DENSITY P
0 100 200 300 (kg/ir)3)

130 2060
I-
193 2060
2-
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200 1890
_ 3-
E 180 1890
I 4-
H
0. 2010
.UJ

o 5- 2010

6- 2010

7- 2040

8-

FIG. 11. Soil Profile at Test Site of Concrete Piles

results shown correspond to displacements at this level. Rotations about

the .Y-axis were measured using two pickups mounted vertically on the axis
of symmetry, Y. The steady state dynamic response of the pile foundations
was measured with increasing excitation intensity for different frequencies
in order to establish the response curves.

Results and Comparison with Theory

The experimental horizontal and rocking responses of the pile group are
shown as discrete points in Fig. 12. The normalized amplitudes shown are
given for three excitation intensities, i.e., (mee) = 96 kg mm, 171 kg mm,
and 259 kg mm, where (mee) is given by (6). The maximum horizontal
displacement is 0.10 mm. At such small displacement (3.1 x 10~4 of pile
diameter), no appreciable change in the resonant frequency or the damping
ratio at resonance with increasing excitation intensity is observed.
The theoretical results obtained using the present approximate method
and the direct analysis are shown as continuous curves in Fig. 12. Both
approaches overestimate the stiffness and damping, with the direct analysis
giving slightly better agreement with experiments. Fig. 12 also shows the
results obtained using a weak zone. The parameters selected for the weak
zone were as follows: weak zone thickness = 0.5 R; shear-modulus ratio
GJGS = 0.1; and weak-zone material damping ratio = 7%. A better pre-
diction of the resonant amplitude and resonant frequency of the first mode
is achieved, particularly for the ascending branch, but the entire response
curves could not be duplicated.
The normalized horizontal response of the single pile is shown in Fig. 13,
again for the three excitation intensities used in the pile-group tests. The
maximum displacement amplitude is 2.5 mm, relatively large, and a reduc-
tion of the resonant frequency with increasing excitation intensity is ob-
served. The theoretical response without the weak zone grossly overesti-
mates the stiffness and damping. A weak zone with the thickness of one
pile diameter, GJGS = 0.1 and $w = 7%, is introduced in order to match
the experimental results. In addition, complete pile-soil separation is as-
589

J. Geotech. Engrg. 1992.118:576-592.

 i I ' I

i» . --- _ The ory

- Prese t (no weak Zone)
Weok Zone
Experiment
o
•
96 kg.mm
171 kg.mm
-
! 2 — Di ect Analysis A 259 kg.mm
w -° ' -^
c
- •
/ ••§<>
-"Jo
•pii&$wt°^'~
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°
I 1.0
- <"> . ' / -
D).UOZUO|-(

A8 V

- -
in

2»
c:

Frequency (Hertz)
(a)

I ' i
Theory Experiment /
Present (no weak zone ) o 96 kg.mm
Weak Zone • 171 kg.mm A - z^^*" /
Direct Analysis * 259 kg.mm * V ? ,*-
' s^w.'

-
"7 S2
i A -
f ,/ _
• '/
£/ -
_»«***i i 1 1 1
10 20 30 40 50 60
Frequency (Hertz)
(b)

FIG. 12. Response Curves of Group of Six Concrete Piles under Horizontal Ex-
citation: (a) Horizontal Displacement; and (b) Rocking (in = 5,120 kg, / = 1,200 kg
m2, Ze = 0.44, Height of CG above Pile Head = 0.26 m; Response Shown at 0.24
m above CG)

I ' I I ' I
Experiment
o 96 kg.mm
• 171 kg.mm
- V A 259 kg.mm -
' *- Theory
No Weak Zone
"
:»
, d • ° Weak Zone
; 8. •
m
_.
U\
?• V'°"
, o $ . _
4. > » ./ O >v

ft /
- • ** / Z

'
I . I
20 30
Frequency (Hertz)

FIG. 13. Horizontal Response of Concrete Single Pile (m = 860 kg, J = 95 kg m2,
Z, = 0.3, Height of CG above Pile Head = 0.2 m, Response Shown at 0.1 m above
CG)

590

J. Geotech. Engrg. 1992.118:576-592.

 sumed at the top 0.15 m. Applying such reductions to the soil stiffness
produces a relatively good agreement with the experiments.

CONCLUSIONS

This study describes field experiments conducted on two different pile

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groups subjected to harmonic loading. The results are compared to those

obtained from theoretical analysis. The following conclusions emerge:

1. The vibration of the pile groups displays moderate nonlinearity even for
rather small amplitudes such as 0.001 of pile diameter.
2. The linear theory, combined with soil properties derived from shear wave
velocity measurements, gives a reasonable estimate of single-pile and pile-group
stiffnesses for small displacement amplitudes. The damping may be grossly
overestimated unless some corrections are made for pile separation, deficiencies
at the pile-soil interface and possibly other factors, such as pile-installation
effects. The group response is somewhat better predicted than the single pile
since it is less dependent on the soil properties of the topmost layer.
3. More theoretical and experimental research is required to correlate the
weak-zone properties with the vibration amplitude and confining pressure and
to formulate a nonlinear theory for pile vibration.

ACKNOWLEDGMENTS

We wish to acknowledge the financial support of the Natural Science and

Engineering Council of Canada. A. Kaynia made his computer program
available to the writers, which is appreciated.

APPENDIX. REFERENCES

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