Cyclic Loading of Soils:

from theory to design

Cyclic Loading of Soils:
from theory to design

Edited by

M. P. O'REILLY and S. F. BROWN

Department of Civil Engineering
University of Nottingham

Blackie
Glasgow and London

Van Nostrand Reinhold

New York
 u

Blackie and Son Ltd

Bishopbriggs, Glasgow G64 2NZ
and
7 Leicester Place, London WC2H 7BP
Preface
Published in the United States of America by
Van Nostrand Reinhold
115 Fifth Avenue
(1
New York, New York 10003

Distributed in Canada by ln the last fifteen years, significant advances have been made in
Nelson Canada understanding the behaviour of soils under cyclic loading and the
1120 Birchmount Road
Scarborough, Ontario MlK 5G4, Canada
influence of this behaviour on structures. This knowledge has not been
widely disseminated and as a consequence many geotechnical engineers
16 15 14 13 12 10 9 8 7 6 5 4 3 2 1 are still unfamiliar with the topic. It is our intention that this book
© 1991 Blackie and Son Ltd should provide a practical introduction to the subject which will be
First published 1991 principally of use to geotechnical design engineers concerned with
problems of earthquake, offshore and pavement engineering, and other
Ali rights reserved.
No part of this publication rnay be reproduced,
situations where an understanding of cyclic loading is important. It will
stored in a retrieval systern, or transrnitted, also be of use to lecturers and research workers with interests in these
in any forrn or by any rneans-graphic, subjects. The chapters have been written by a variety of authors who are
electronic or rnechanical, including photocopying,
recording, taping-without the
all well-known internationally and who have been involved in research
written perrnission of the Publishers into cyclic loading of soils and geotechnical structures as well as in
practical design and construction.
British Library Cataloguing in Publication Data
Chapter 1 sets the scene and provides an introduction to the chapters
Cyclic loading of soils: From theory to design. dealing with specific problems which follow. Chapter 2 then goes on to
I. O'Reilly, M. P. II. Brown, S. F. discuss the various approaches to modelling the stress-strain response of
624.101 soils under cyclic loading, and this is complemented by chapter 3 which
ISBN 0-216-92898-2 introduces the cyclic load testing of soils. The next four chapters deal
with the design of foundation systems for offshore structures, machines,
ln the USA and Canada
pavements, railtrack, and the design requirements for seismic loading.
ISBN: 0-442-30410-2 The last two chapters look at the effects of cyclic loading on the
Library of Congress CIP data available long"-term settlement of structures and the use of vibrational loading in
the construction industry.
We wish to express out gratitude to the authors for their co-operation
and hard work and to the publishers for their patience and attention to
detail.

M.P.O'R
S.F.B.

Phototypesetting by KEYTEC, Bridport, Dorset

Printed in Great Britain by Thomson Litho Limited, East Kilbride, Scotland

Contributors
Mr K. H. Andersen Norwegian Geotechnical Institute, Oslo, Norway
Knut Andersen received his M.Sc. from the Norwegian lnstitute of Technology in
Trondheim in 1968. Since 1974 he has been Head of the Section for Special Studies at the
Norwegian Geotechnical lnstitute. He has wide experience of foundation design for marine
structures (offshore gravity platforms, tension leg platforms, harbour structures, bridges,
sea flood protection barriers). His consulting work in this area has included foundation
design analyses, the planning and specification of laboratory soil testing programmes, the
interpretation of laboratory test results, and the determination of soil parameters for
foundation design. He has performed extensive research on the cyclic load behaviour of
soils, developing procedures for practical foundation design of marine structures, and has
been project manager for severa! joint-industry projects on these subjects. ln addition, he
has carried out research and consulting work in a wide range of other areas in geotechnical
engineering.
Professor S. F. Brown University of Nottingham, Nottingham, UK
Stephen Brown has been involved with university teaching and research in pavement
engineering and soil mechanics since 1963. He was appointed Head of the Civil Engineer-
ing Department, University of Nottingham in 1989 and continues to lead their Pavement
Research Group. His soil mechanics research has largely been in the field of cyclic loading
associated with pavements, off-shore structures and earthquakes. He was a member of the
ASTM Geotechnical Testing Journal editorial panei for over 10 years and has also served
on the Advisory Panei for Géotechnique. From 1987-1989 he was Chairman of the British
Geotechnical Society and also Joint Co-ordinator of the Science and Engineering Research
Council's programme in geotechnics.
Dr T. G. Davies University of Glasgow, Glasgow, UK
Trevor Davies is a lecturer in geotechnical engineering at Glasgow University. His major
area of research is the numerical analysis of nonlinear and dynamic problems in
geotechnical engineering and pavement engineering using boundary element methods.
Analysis and design of foundations for high-frequency turbines associated with power
generation plant is a current preoccupation. He has delivered post-experience courses on
machine foundations to practicing engineers both at Glasgow and in the USA.
Dr D. A. Greenwood Cementation Piling and Foundations Ltd., Rickmansworth,
Hertfordshire, UK
David Greenwood graduated in civil engineering at the University of Leeds, where he also
obtained his Ph.D. in the field of soil mechanics, and has spent his working life with
Cementation engaged in the development, design and application of geotechnical engineer-
ing processes. His principal practical experience has been in the fields of grouting and
ground improvement, including vibroflotation and dynamic compaction. As a Director of
severa! of Cementation's companies associated with mining, ground engineering and piling,
he has gained experience of projects world-wide and has contributed to teaching through
publications and lectures.
Dr R. J. Jardine Imperial College of Science, Technology and Medicine, London,
UK
Richard Jardine is a senior lecturer in soil mechanics at Imperial College and an associate
of the Geotechnical Engineering Consulting Group. He completed his B.Sc. at Imperial
College in 1974, spending six years in practice before returning to obtain an M.Sc. and a
Ph.D. in Soil Mechanics. His research has covered many aspects of soil properties and
foundation behaviour. A special interest has been offshore geotechnics, including the
analysis and field monitoring of real structures. ln 1989 he co-presented the first
Géotechnique Lecture, entitled 'Predicting the behaviour of driven offshore piles'.
CONTRIBUTORS vii
Professor_ D. Muir Wood University of Glasgow, Glasgow, UK
J:?av1d Mmr Wood has been Cormack Professor of Civil Engineering at Glasgow University
smce 1987, and be_fore that was a lectu!er in soil IT.1echanics at Cambridge University. He
has been an as~ociate of the Geotechmcal Consultmg Group since its formation in 1983,
concentratmg h1s research mterests on laboratory studies of behaviour of soil elements and
s01l models_ under monotonic, cyclic, triaxial, simple shear, true triaxial loading conditions.
The_se stud1es have led to development of constitutive relations and to numerical analyses.
He 1s ~~-author of ~ book on pressuremeter testmg and author of a book on soil behaviour
and cntical state s01l mechanics.
D~ M. ~- O'Reilly University of Nottingham, Nottingham, UK
M1ke O _Re11ly graduated ~1th the degre~. of Bac~elor of Engineering from the University
of Sheff!eld m 1981, _and 1s ais~ a quahfied barn~ter. Following a spell in industry with
John Lamg Construct10n he stud1ed the cychc loadmg response of granular materiais at the
Umversity of Nottmgham and wa~ awa:ded a Ph.D. in 1985. He commenced teaching at
Nott1~gham shortly after completmg his Ph.D. but returned to industry in 1987. After
spendmg tw? years_ as a geot~c~nical en~ineer with Ove Arup and Partners working on a
range of maJ?r _p_roJ~cts, he reJo!ned N~ttmg~am University in 1990 where he is currently a
lecturer speciahsmg m geotechmcal engmeermg and construction law.
Dr N. J. O'Riordan Ove Arup Partners, London UK
N!ck O'Riordan received his B.~c: and Ph.D. degre:s from the University of London at
~mgs College and subsequently JOmed. Ove AruJ? and Partners where he is now a project
d1_rector.. He has spe?t 1!1ost _of car_eer m the design and construction of foundations for a
w1de vanety of apphcat1ons mcludmg offshore structures, embankments and oil tanks on
very soft ground, deep excavations in urban areas and structures on contaminated land
This work has involved risk assessments for earthquake, storm and gas hazards and
collapses of underground excavations. He has devised and implemented many systems for
measurmg the performance of foundatJons and has a particular interest in the correlation
of measurements with predictions to enable appropriate and cost-effective foundation
systems to be adopted.
Dr J. W. Pappin Ove Arup and Partners, London UK
Jack Pappin received his. Ma~ter of Engine_ering de~ree at Adelaide University after
cor~pletmg a resea:ch proiect mto the behav1our of a sand subjected to hollow cylinder
testmg. After workmg for 3 years at CSIRO (Melbourne) on road pavement evaluation he
completed a Ph.D. at the University of Nottingham investigating the behaviour of crushed
rock as a pa~ement bas<? coarse material. He joined the geotechnics group of Ove Arup
and Partners m London m 1980 where he is now a project director. He has been involved
m fou?dation desig?, (imit state principies and software development. Since 1984 he has
co-?~~mated the se1sm1c hazard assessment and geotechnical dynamic analysis and design
act1V1tles of the Ove Arup Partnership.
Professor_E. T. Selig University of Massachusetts, Massachusetts, USA
Ernest Sehg received his engineering degrees from Cornell University and Illinois Institute
of Technolog~. His professional speciality is geotechnical engineering. After 11 years as
Rese~rch Engmeer and Manager of Soil Mechanics Research at the IIT Research Institute
m Ch1c~go he spent 10 years in the faculty of the Sta te University of New York at Buffalo,
before JO!nmg the faculty of the University of Massachusetts. Professor Selig has been
1~volved m the study of a wide variety of problems related to cyclic behaviour of soil, and
smce 1975 he has been conducting research on geotechnical aspects of railroad track
per~ormance. He_ is an active participant in professional societies including the American
Soc1et!' for ~estmg and Materiais, the US Transportation Research Board, and the
Amencan Ratlway Engineering Association.
 Contents

1 Cyclic loading in geotechnical engineering 1

M. P. O'REILLY and S. F. BROWN
1.1 Introduction 1
1.2 Definition of cyclic loading 1
1.3 Behaviour of soils under cyclic loading 2
1.3.1 General 2
1 1.3.2 Effect of stress reversais 3
1.3.3 Rate-dependent response of soil 9
1.3.4 Dynamic effects 10
1.3.5 Summary 11
1.4 Designing for cyclic loading 11
1.4.1 Identifying situations where cyclic loading should be accounted for
in design 11
1.4.2 Principal situations where cyclic loading is important 12
1.4.3 Other common situations in which cyclic loading plays an important
role 12
1.5 General arrangement of the book 17

2 Approaches to modelling the cyclic stress-strain response of soils 19

D. MUIR WOOD
Symbols
2.1 Introduction 21
2.1.1 Philosophy of soil modelling 21
2.1.2 Categorisation of models 22
2.1.3 Importance of effective stresses 24
2.2 Models for monotonic loading 25
2.2.1 Ingredients of a simple elastic-plastic model 25
2.2.2 Cam clay 28
2.2.3 Response of soil on unloading-reloading cycles 31
2.2.4 Elasticity 32
2.3 Models for cyclic loading 34
2.3.1 Viscoelasticity 34
2.3.2 Viscoplasticity 37
2.3.3 Damage models 41
2.3.4 Generalised stress reversai 46
2.3.5 Complete effective stress models 47
2.4 Concluding remarks 65
References 67

3 Cyclic load testing of soils 70

M. P. O'REILLY
3.1 Introduction 70
3.2 Laboratory element tests 70
3.2.1 Introduction 70
3.2.2 General principies applicable to ali element tests 71
3.2.3 Specific element test arrangements 86
3.2.4 Loading systems 98
X CYCLIC LOADING OF SOILS
CONTENTS xi

3.3 tests
In-situ 100 5.2.8 More advanced cyclic models 187
3.3.1
Introduction 100 5.2.9 Discussion 190
3.3.2
In-situ non-dynamic loading tests 100
5.3 Understanding static pile behaviour 190
3.3.3
Wave velocity testing 104
5.3.1 Introduction 190
Empirical tests considered to provide an indication of the mechanical
3.3.4
5.3.2 Initial ground conditions 190
characteristics of the ground 109
5.3.3 Constitutive relationships for the soils 191
3.4 Physical model testing 110
5.3.4 Effects of pile installation-cavity expansion analysis 192
3.4.1 Introduction 110
5.3.5 CEM analysis of post-installation equalisation 194
3.4.2 Centrifuge modelling 111
5.3.6 Strain path method 194
3.4.3 Earth gravity models 116
5.3.7 Experiments with instrumented piles 197
3.4.4 Dynamic characteristics testing 116
5.3.8 Summary for equalised stress conditions 200
3.4.5 Case histories 117
5.3.9 Pile loading-theory 201
References 117
5.3.10 Continuum analyses-elastic and elastoplastic 201
5.3.11 Simple shear analogies 202
4 Foundation design of offshore gravity structures 122 5.3.12 Residual fabric 203
5.3.13 Studying loading with instrumented piles-dilatant clays 204
K. H. ANDERSEN 5.3.14 Contractant clays 205
4.1 Introduction 122 5 .3 .15 Predicting full-scale foundation behaviour 206
4.2 Typical offshore gravity platforms and soil conditions 122 5 .4 Predicting field behaviour from soil element tests 209
4.3 Wave loads 129 5.4.1 Introduction 209
4.4 Soil stresses and relevant laboratory tests 130 5.4.2 Undrained cyclic behaviour of piles with a preformed residual
4.5 Bearing capacity 133 surface 210
4.5 .1 Cyclic shear strength 134 5.4.3 Cyclic soil behaviour 211
4.5.2 Calculation procedure 139 5.4.4 Interaction diagram 212
4.5.3 Verification by model tests 143 5.4.5 Permanent strains 215
4.6 Cyclic displacements and soil stiffness for dynamic analyses 146 5.4.6 Effects of varying soil properties 216
4.6.1 Stress-strain behaviour under cyclic loading 148 5.4.7 Effects of cyclic pile loading on non-sliding contractive soils 217
4.6.2 Cyclic shear modulus to calculate cyclic displacements 151 5.4.8 Permanent effects of slow cycling 218
4.6.3 Shear modulus to calculate soil spring stiffnesses 154 5.4.9 Effects of loading rate 221
4.6.4 Calculation procedure 157 5.4.10 Projecting full-scale behaviour 222
4.6.5 Verification by prototype observation and model tests 158 5.4.11 Applying the results 229
4.7 Settlements due to cyclic loading 158 5.5 Field studies of cyclic pile behaviour 230
4.7.1 Development of average shear strains during cycling 165 5.5.1 Introduction 230
4.7.2 Permanent pore pressure dueto cyclic loading 166 5.5.2 Tests at Cowden 230
4.7.3 Procedure to calculate settlements dueto shear strains under 5.5.3 Tests at Canons Park 232
undrained cyclic loading 166 5.5.4 The Haga programme 233
4.7.4 Calculation of settlements dueto dissipation of storm-induced 5.6 Summary 236
permanent pore pressure 169 Appendix 5 .1 Cyclic model for interface sliding study 239
References 171 5.1.1 Static loading curve 239
5.I.2 Cyclic test data-changes in mean effective stress 239
5.I.3 Additional assumptions for model 242
5 The cyclic behaviour of large piles with special reference to 5.I.4 Predictions for cyclic capacity 244
offshore structures 174 5.I.5 The development of permanent strain 244
5.I.6 Non-uniform cycles 245
R. J. JARDINE References 245
5 .1 Introduction 174
5.1.1 Nature of the loading 174
5.1.2 Special features of offshore foundations 175 6 The design of pavement and rail track foundations 249
5.1.3 Toe development of theory 176 S. F. BROWN and E. T. SELIG
5 .1.4 The contents of this chapter 177
6.1 Introduction 249
5.2 Existing empirical design methods 177
6.2 Principies of pavement design 253
5.2.1 Static capacity 177
6.2.1 Failure mechanisms 253
5.2.2 The alpha method 177
6.2.2 Toe traditional empirical approach 254
5.2.3 Toe American Petroleum lnstitute (API) codes 178
6.2.3 Toe two-layer system 256
5.2.4 The beta method 179
6.2.4 Summary of pavement design procedures 261
5.2.5 Prediction of static load-displacement behaviour 181
6.2.5 Basic analytical approach 267
5.2.6 Current methods of allowing for cyclic loading 184
6.3 Mechanical properties of soils 268
5.2.7 Cyclic T-Z analyses: Matlock and Foo type models 187 6.3.1 In-situ stress conditions 268
Xll CYCLIC LOADING OF SOILS CONTENTS xm

6.3.2 Critical-state framework 270 8 Machine foundations 367

6.3.3 Stress-strain and shear strength relationships 272 T. G. DAVIES
6.4 Mechanical properties of granular materiais 278
278 8.1 Introduction 367
6.4.1 lntroduction Basic theory of dynamics
278 8.2 368
6.4.2 Resilient strain 8.2.1 lntroduction
281 368
6.4.3 Plastic strain
282 8.2.2 Vibratory motion 368
6.4.4 Examples of elastic and plastic response of railroad ballast
284 8.2.3 Single degree of freedom systems 369
6.4.5 Influences of grading, compaction and mineral type
290 8.2.4 Continuum elastodynamics 373
6.4.6 Laboratory testing
8.2.5 Transient motion 374
6.4. 7 Field testing 294
295 8.3 Shallow foundations 375
6.5 Methods of analysis
295 8.3.1 Introduction 375
6.5.1 Finite element
8.3.2 Historical survey 375
6.5.2 Layered systems 296
297 8.3.3 Foundation response analysis 377
6.5.3 Permanent deformation
297 8.3.4 Foundation impedances 380
6.6 Applications to design
297 8.3.5 Experimental data 384
6.6.1 Pavements
300 8.4 Deep foundations 385
6.6.2 Rail track
302 8.4.1 Introduction 385
References 8.4.2 Historical survey 386
8.4.3 Single piles 386
7 Design of foundations and soil structures for seismic loading 306 8.4.4 Pile groups 389
8.4.5 Experimental data 391
J. W. PAPPIN 8.5 Design practice 392
7 .1 Introduction 306 8.5.1 Introduction 392
Part A - Seismic loading 307 8.5.2 Design loads 393
7.2 The nature of seismic loading 307 8.5.3 Serviceability 394
7.2.1 Earthquakes 307 8.5.4 Design practice 395
7.2.2 Quantifying earthquake size and seismic loading 308 8.5.5 Post-construction tuning 396
7.2.3 The nature of seismic loading experienced by structures 312 8.6 Geotechnical parameters 396
Part B-General principies in designing for earthquakes 313 8.6.1 Introduction 396
7.3 Input motions and structural response 313 8.6.2 Shear modulus 397
7.3.1 The complexities of input motion and structural response 314 8.6.3 Material damping ratio f3 400
7.3.2 Response spectra 318 8.6.4 Poisson's ratio 402
7.3.3 Choice of input motion 318 8.7 Design examples 403
7.4 Soil properties for seismic design 325 8.7.1 Shallow foundation design 403
7.4.1 Bulk density 325 8.7.2 Deep foundation design 405
7.4.2 Stiffness and material damping 325 Appendix 8.1 407
7.4.3 Strength 330 References 407
7.4.4 Degradation due to cyclic loading 330
7.4.5 Methods for assessing liquefaction potential 335
Part C-Specific design situations 338 9 Effects of cyclic loading on the long-term settlements of structures 411
7 .5 Slopes and earth dams 338 N. J. O'RIORDAN
7.5.1 Slope stability during seismic loading 338
9.1 Introduction 411
7.5.2 Earth dams 340
9.2 Structures founded on cohesionless soils 414
7.6 Building foundations 342
9.3 Structures founded on cohesive soils 420
7.6.1 Pad foundations 342
9.4 Cyclic loading of foundations piled through soft ground 428
7.6.2 Raft foundations 344
References 430
7.6.3 Piled foundations 345
7 .6.4 Liquefaction in the vicinity of building structures 347
7.6.5 Dynamic soil-structure interactions 349 10 Vibrational loading used in the construction process 434
7.6.6 Site variability 358
358 D. A. GREENWOOD
7. 7 Retaining structures
7. 7 .1 Introduction 358 10.1 Introduction 434
7. 7. 2 Earth pressures 359 10.1.1 Vibration as a means of installing subterranean structural elements 434
7.7.3 Fluid pressures 361 10.1.2 Soil compaction by vibration 434
7.8 Lifelines 361 10.2 Mechanisms 438
7.8.1 The requirement for lifeline integrity during seismic events 361 10.2.1 Vibrating machines 438
7.8.2 Damage to lifelines 362 10.2.2 Penetration by soil displacements 440
References 363 10.2.3 Deep compaction 442
xiv CYCLIC LOADING OF SOILS
10.2.4 Horizontal surface layer compaction
10.2.5 Effects of vibration frequency
10.3 Machine and process characteristics
10.3.1 Pile-casing and sheet-pile drivers
10.3.2 Pipe drivers
10.3.3 Compaction machines
10.3.4 Comparison of deep vibrators and casing drivers for compaction
10.3.5 Surface layer compaction
10.4 Toe influence of vibrating plant on structures and people
10.4.1 Threshold for soil settlement
10.4.2 Vibrations induced in structures
10.4.3 Soil stresses induced by vibrations
10.4.4 Nuisance to people
10.5 Instrumentation for process control
References
Index
448
452
456
456 1 Cyclic loading in geotechnical engineering
457
459 M. P. O'REILLY and S. F. BROWN
463
464
467
470
471 1.1 Introduction
472
472
473 This book is principally intended to provide a guide to the design of
474 geotechnical structures which experience cyclic, repeated, periodic or
477 transient loading. lt is not intended to be a detailed manual or code
setting out all those matters which ought reasonably to be considered in
each case. Rather, as the title suggests, the purpose has been to produce
a text which will enable engineers to understand the way in which soils
behave under cyclic loading, to appreciate the various soil models
available for characterising such behaviour, and to understand the
fundamental concepts which are used to cater for cyclic loading in
design. ln arder to do this within the confines of this book it is
obviously necessary to concentrate on the principal issues, those which
have the most profound effect and those which are relevant in the
greatest number of cases.
Before setting out upon a detailed study of the subject or dealing with
specific design arrangements it is appropriate to discuss and clarify a
number of fundamental points. First, the term 'cyclic loading' should be
defined. Second, it should be stated briefly in which respects cyclic
loading differs from static loading, and those phenomena which are
typically exhibited by or are characteristic of cyclic loading should be
outlined. Third, it is helpful to examine briefly which criteria are
available to enable the designer to decide whether or not it is appropri-
ate to take the cyclic nature of the imposed loading into account in any
given situation.
1.2 Definition of cyclic loading
The term 'cyclic loading' suggests a system of loading which exhibits a
degree of regularity both in its magnitude and in its frequency. Loading
systems which are approximately cyclic in this sense are indeed encoun-
tered in practice. Many machines and even offshore structures, for
example, transmit fairly rhythmic stress pulses to their foundations.
However, to confine this volume to such cases would not only unjustifi-
ably restrict the scope of the work but, more importantly, would also
2 CYCLIC LOADING OF SOILS t CYCLIC LOADING IN GEOTECHNICAL ENGINEERING 3

fail to identify many of those features of behaviour which differentiate
static from cyclic behaviour. While the occurrence of some phenomena,
such as foundation resonance, is dependent on the frequency and
regularity of the applied loading, the regularity of the loading is in many
cases of little consequence; in these cases it is often stress reversais,
strain rate effects and drainage patterns which principally distinguish the
cyclic loading behaviour of soils from that of static or monotonic
loading. It seems appropriate, therefore, to extend the scope of the term
'cyclic' to cover all situations which experience such phenomena. Ac-
cordingly, in this book the term includes multiple transient loading such
as imposed by earthquakes. It includes all repetitious loading as experi-
enced, for example, by highway and soil foundations, and even includes
vibration which is, in essence, merely high-frequency dynamic loading.
Before discussing these three topics it must be pointed out that the
exposition which follows is a mere sketch of the behaviour of soils under
cyclic loading, and the reader is encouraged to consult the specialist
research reports in order to gain a fuller appreciation of this subject.
The general review by Wood (1982), the papers on the small-strain
dynamic stiffness of soils by Hardin and Drnevich (1972a,b) and the
paper by Ishihara et al. (1975) on liquefaction are recommended. ln
addition, as has already been noted, a substantial amount of useful data
is presented in the design chapters.
1.3.2 The effect of stress reversais

i
'Stress reversai' in this context refers not to a change in the sign of a
It can be seen then that the feature which characterises 'cyclic loading'
stress but rather to a change in the sign of the rate of stress increase.
in this sense is not so much its cyclic as its non-static or non-monotonic
For example, an increase in stress magnitude followed by reduction
nature. The word 'cyclic' thus appears to be something of a misnomer.
would, in this sense, be a stress reversai despite the fact that all stresses
It is, however, the term commonly used by engineers to describe
continue to act in the sarne direction. Terms such as 'stress increase' are
non-static repetitive soil loading. This may simply be because of the lack
difficult to define when considering three-dimensional stress states,
of a more appropriate generic term to encompass such behaviour.
particularly with principal stress rotation, but it is hoped that for present
Whatever the reason, it is felt that by adopting the sarne shorthand this
purposes the reader will appreciate without further explanation the
book is unlikely to mislead. general distinction between loading and unloading for simple stress
paths such as those experienced during triaxial tests at constant confin-
ing pressure.
1.3 Behaviour of soils under cyclic loading Figure 1.1 indicates the idealised behaviour of elements of dry
granular soil subjected to regular drained cycling during m:ress-controlled
1.3.1 General loading between two general stress states, SI and S2. Each cycle is
accompanied by a change in shear strain, some of which is recoverable
A review of current models of soil behaviour under cyclic loading is and some of which is not. The magnitude of the recoverable strain
presented in Chapter 2 and a good deal of data on the response of soils
to cyclic loading will be found in the specialist design chapters. It is shear stress
necessary, however, to outline the fundamental features of soil response
at this stage in order to provide a framework within which to establish S2
those respects in which soil response under cyclic loading differs from
that under static conditions. One point that should be emphasised at the
outset is that the behaviour of soils under cyclic loading appears to be
highly complex, and to date even the most sophisticated models have
failed to provide accurate predictions under generalised cyclic stress
conditions. It is nonetheless possible to identify a number of strands of
behaviour which appear to be exhibited in varying degrees by all soils.
These can be categorised into three distinct classes:
resilient shear
strain,"'ír
(1) The effect of stress reversais.
(2) Rate-dependent response of the soil. Figure 1.1 The typical development of shear strain during a repeated load test and
(3) Dynamic effects where static analyses become inapplicable. definition of resilient shear strain.
4 CYCLIC LOADING OF SOILS CYCLIC LOADING IN GEOTECHNICAL ENGINEERING 5

remains fairly constant during each cycle. On the other hand, the
irrecoverable or plastic strain developed during each successive cycle ~ 1.51---~-l---.l.__-.j....,~:
tends to reduce with increasing numbers of cycles. Eventually, the soil ~
attains a form of equilibrium for this loading pattern, at which stage the a
~ 1.0 1----11---t---+--+-,,~+------,
magnitude of the recoverable strain experienced during any cycle greatly q=(o-; -a3J kPa e F
exceeds the plastic strain increment for that cycle and the behaviour can I ~ e
I ] 0.5 r-----i-+7!½-"':;;l~;....,,===iº
be described as quasi-elastic or 'resilient'. It is well established that the I
I
resilient stiffness of soils is stress level-dependent and is also dependent 500 I
I o L _ _ _ _ ~_ _j___ _j___.J....___J
on the magnitude of resilient shear strain. Figure 1.2 shows typical data I 1 10 10 2 10 3 10 4 10 5
$1 No. oi cycles
(from Iwasaki et al., 1978) which illustrate these points. 400 ,§1
-~/ 1i) Permanent shear strain
While experiencing cyclic loading, the permanent strain developed ~
during each individual cycle will usually be small but, over a large I
I
300 ·5 •ve strains are
number of load applications, the magnitude of accumulated permanent I
I
~ 1.0 compressive 1---+---+---1
strains may be significant. Figure 1.3 shows typical data indicating the u F
I ºE C
/ A
long-term accumulation of permanent shear and volumetric (predomi- 200 I ~ A
nantly compressive) strains during cyclic triaxial testing of a uniform / B i 05r---r---t:;;r--t=::::tijj~o
I ~ ::.J..e-:+-~E
crushed limestone with particle size of about 3 mm (after Shaw, 1980). I

lf the material in Figure 1.1 attains resilient conditions for stress path
100
I
I
I
J ºr--r:ã:;:;;r=====+==:t=:::::::1
Sl-S2 and is subsequently subjected to some different stress path which I
-0.5~-~-~-~-~~
might be called S3-S4, plastic strains will again be generated, the 100 200 300 400 1 10 10 2 10 3 10 4 10 5
magnitudes of which will be dependent not only on the independent p' =1131ir1' • 2ir3l kPa No. oi cycles
(ii) Permanent volumetric strain
characteristics of the new stress path, but also on the similarity between
lal Stress paths
Sl-S2 and S3-S4. This is because during cyclic loading the particle 1bl Permanent strains recorded relative to lhe strain
stale alter 10 cycles

Figure 1.3 The long-term accumulation of permanent shear and volumetric strains during
p'= 0.5kgf/cm 2 resilient cycling. (Adapted from Shaw, 1980.)
1.5

* contacts within the soil rearrange themselves into a 'fabric' resistant to

-
"'
"'
~
=>
that loading. Thus if S3-S4 is similar to Sl-S2 the soil will already have
a significant in-built immunity to further strain.
=>
= 1.0 G* = 700 12.17-e) 2
1!l _ p''2 lf the soil is saturated, changes in pore pressures will occur during
1+e
e,
~
..e
'fast cycling', that is where the rate of cycling is such that changes in
~

=~
pore pressures are not fully dissipated. Experimental evidence for
~

e, and G,G*aremeasured inkgf/cm 2 llkgf/cm 2"'100kPa) saturated soils subjected to undrained stress-controlled loading indicates
~ 0.5
:z
that, in some instances, failure will occur at stress states well below the
monotonic failure shear stress through the continued generation of
additional pore pressure during each successive cycle. A typical example
of such behaviour is illustrated in Figure 1.4 (after Ishihara et al., 1975),
10· 5 10· 4 10·3 10·2 which shows the behaviour of loose Niigata sand. At point 22 in the
Single amplitude shear strain, l stress history, the response of the soil undergoes a dramatic transforma-
tion with large pore pressure generation and loss of shear stiffness being
Figure 1.2 The influence of shear strain amplitude, mean normal effective stress and voids
ratio on the shear modulus of dry Toyoura sand. For resilient strain amplitudes less than
observed during subsequent cycling. ln other cases where the sample is
about 10- 4 , a resonant column device was used; for higher strain values a torsional shear cycled at fairly low stress leveis, an equilibrium condition is attained
(hollow cylinder) device was used. (Adapted from Iwasaki et ai., 1978.) similar to that experienced by the granular material in Figure 1.1. At
6 CYCLIC LOADING OF SOILS CYCLIC LOADING IN GEOTECHNICAL ENGINEERING 7

100 paragraph will depend on the permeability of the soil in question and on
the boundary conditions. The faster the rate of cycling, the more the
~ 26 20 16 12 8 4
situation approximates to undrained conditions; for very slow cycling the
"b' 50
-.,' situation is akin to fully drained conditions. Seed and ldriss (1982) have
"
cr drawn attention to the situation which arises when pare pressures are
~- simultaneously accumulating as a result of continued cyclic loading and
~ dissipating along gradients of excess pare pressure. O'Reilly et al. (1991)
~ have reported tests on a clay subject to alternate cyclic loading and
~ -50
drainage which may, for instance, simulate the response of soils to
earthquake loading and offshore storms followed by drainage periods.
-1000 The continued generation of plastic strain during stress-controlled
50 100 150 200 250
Mean effective principal stress, p' 1kPa l cycling and the accumulation of permanent pare water pressure in the
1a) Stress path follawed
case of undrained loading which have been discussed in the above
paragraphs are two of the principal features which distinguish cyclic
behaviour from that exhibited during monotonic loading. These phe-
nomena present themselves even when the soils are cycled at slow rates
1-0 1 - - - - - - < - - - - - - + - - - - - t - similar to those experienced during many monotonic situations. Thus it
q / p' 20
o
appears that the disparity is explicable only in terms of the stress
1. / 160 reversals experienced.
0-5 ..___ _ limit ai shear strai1/ _ 120
8
Why are these reversals important? The answer lies in the behaviour
befare liquefactian
of the soil at the particulate scale. This can be explored by considering
two closely interrelated phenomena exhibited during cycling: changes in
soil stiffness and the dissipation of energy within a soil. ln Figure 1.5 the
stiffnesses exhibited during a sequence of cyclic loading are illustrated.
numbers carrespond to
stress paints shown in Ia) It can clearly be seen that immediately after each stress reversa! the
stiffness increases dramatically and subsequently decreases. Further,
during the stress cycle the stress sustained at any strain level of the
22
unloading phase is lower than that at the corresponding strain during
0 18 loading. This phenomenon, which is clearly observed in Figure 1.1,
means in crude terms that the soil element is not pushing back as hard
-1-0 1------<------+-----t----,
as it was pushed. This is known as 'hysteresis' and indicates that the soil
-3 -2 -1 O
11'(º/,) has failed to return all the energy put into it during loading. Hysteresis
1bl Shear strain response

Figure 1.4 The response of a loose sand (voids ratio 0.737) to co~stant-amplitude cyclic
stress. Note the onset of instability at point 22, leading to a substantial loss of stiffness and Stress Stiffness
eventual liquefaction. (After lshihara et ai., 1975.)

this stage, both strain and pare pressures which occur during the loading
phase of a cycle are predominantly recoverable. ln a third category of
behaviour, the soil appears to have reached an equilibrium when,
suddenly, the strain rate accelerates with failure ensuing shortly there- Stroin Time
after.
The definition of 'fast cycling' in the sense used in the above Figure 1.5 The effect of stress reversais on soil stiffness.
8 CYCLIC LOADING OF SOILS
in dynamic analyses is termed 'damping' and indicates the capacity of
the material or system to suppress its own vibration by absorbing
energy.
The phenomenon of increasing stiffness at the point of stress reversai
and the hysteresis effect can be reproduced by the simple representative
soil model shown in Figure 1.6(a); consideration of the response of such
a model to cyclic loading indicates quite clearly why load reversais are
so important. ln this model sliding blocks represent interparticulate
sliding, and the springs represent the compliance between particles and
groups of particles. The changes in the internai geometry of the soil as
particle contacts are made, broken and, possibly, re-established are
represented by the variable direction and magnitudes of the normal
forces N. These variations in direction and magnitude are essentially
random about mean values which represent the inherent interparticle
geometry af the soil but are weighted to account for recent changes in
geometry, representing the anisotropic fabric induced by the stress
history of the material. The plane of sliding slopes gently, representing
the propensity of granular materiais to reduce their potential energy by
densification. The smoothed results of a typical series of load cycles are
shown in Figure 1. 6(b), which is similar to Figure 1. 1. The key to
understanding the increase in stiffness immediately after a stress reversai
is the 'locked-in forces' at interparticle contacts. The greater the
slope oi
plane
J[ t shear strength of a silty clay (from O'Reilly et al., 1989). From this it is
'- horizontal
1a l Conceptual
Mudei
Ibl Typical
Results
6 gradients set up within the system must be taken into account in
Figure 1.6 A simple spring and block model of soil behaviour under cyclic loading
illustrating stress-strain non-linearity, the stiffness increases accompanying a stress reversai
and long-term accumulation of permanent strains.
CYCLIC LOADING IN GEOTECHNICAL ENGINEERING 9
magnitude of cycling, the greater the force unlocked and, hence, the
more compliant will be the response. During the reloading phase,
further interparticle slippage can occur with the consequent development
of permanent strain.
1.3.3 Rate-dependent response of soil
Rate dependency is the influence of the rate of loading, or alternatively
of the rate of strain, on the strength and stiffness of a soil. This
phenomenon can be attributed to two sources: first, the viscous inter-
particle action of the soil and, second, the time-dependent dissipation of
excess pare pressures generated during loading in situations which
include the possibility of drainage.
1t is generally recognised that the stress-strain response of clay soils is
dependent upon the rate of strain, although there appears to be
considerable evidence which supports the view that rate dependency
plays very little role in the response of granular soils [see Bolton and
Wilson (1989) for recent confirmation of this]. Figure 1.7 illustrates the
rate dependency of both strength and stress-strain response for clay
soils. Figure l.7(a) shows the stress-strain response during a test on a
specimen of natural soil in which the strain rate is varied (from Graham
et al., 1983). The results indicate that a family of stress-strain curves
may be identified, each associated with a specific strain rate, such that a
stiffer and stronger response is predicted for higher strain rates. Figure
1. 7(b) illustrates the effect of strain rate on the maximum undrained
clear that the shear strength of clays increases when higher strain rates
are imposed. ln general, soils subject to cyclic loading typically experi-
ence higher rates of loading or strain than systems characterised as
monotonic. For example, traffic, machine, wave and earthquake loading
frequencies tend to be in the range 0.1-20 Hz and produce rates of
stress increase that are many orders of magnitude greater than is typical
for static loading situations; hence, the rate dependency phenomenon is
more significant when cyclic loading occurs. Consequently when design-
ing for cyclic loading conditions it is often appropriate to take the
viscous response of the soil into account.
The second source of rate dependency is the time-related response to
excess pare pressure generated during the cyclic loading of saturated
soils. Since rates of cycling can be high, permeability and the hydraulic
analyses, even for soils generally considered to be 'permeable'. As has
already been noted, the interaction between pare pressure dissipation
and its accumulation due to continuing cyclic loading may become very
10 CYCLIC LOADING OF SOILS CYCLIC LOADING IN GEOTECHNICAL ENGINEERING 11

(a) 60 Compression
systems subject to construction vibration or impact loading. ln addition,
the foundations of relatively flexible structures subject to wind and wave
loading must also be designed with the possibility of dynamic amplifica-
tion in mind. Such structures include tall buildings, long-span bridges
0-05 and offshore platforms. Phenomena such as resonance of foundations
Axial slroin : '/, and the amplification of dynamic stress pulses by deep sediments of
= 0l-l----!---!-----:1~2-~1~6-.2~0 low-stiffness soils (for example see Hough et al., 1990) are typical
problems involving dynamic considerations. Dynamics tend to compli-
-20 cate analyses significantly as factors such as damping, realistic modelling
of boundary conditions and the stiffness of geological materials at very
-~O Exlension small strain leveis take on an enhanced importance.

1.3.5 Summary

■ The preceding discussion has demonstrated that the important factors in

(b) - 110
~ cyclic loading which distinguish it from the more typical monotonic
conditions are:
~ 100
.e

t
-;;; 90
(1) Stress reversais.
(2) Rate effects.
i
-o 80
(3) Dynamic effects.
~
e
These aspects of behaviour are common to a wide range of loading
1 70 types, including those described as transient, dynamic and vibratory, and
hence indicate that foundation soils which experience such loading
0-001 0-01 0-1 1-0 belong, for purposes of analysis and design, to the sarne class. This class
Sheor slroin rote: '/,/min
may be identified by reference to the type of loading which may be
Figure 1.7 Some aspects of the rate-dependent response of clays. (a) The influence of called, for convenience, 'cyclic loading'.
strain rate on the stress-strain response of a natural clay. (After Graham et ai., 1983). (b)
Influence of rate of loading on the peak shear strength of a normally consolidated silty
clay. (After O'Reilly et ai., 1989.)

1.4 Designing for cyclic loading

important in some cases. The liquefaction of sands during earthquake is
a common example where the pore pressure builds up faster than it
dissipates.
1.3.4 Dynamic effects
Significant dynamic effects accompany many cyclic loading situations,
especially when the frequency of load is high. These add an extra degree
of complexity to the design. Dynamic phenomena are particularly
important in earthquake engineering, machine foundation design and
1.4.1 ldentifying situations where cyclic loading should be accounted for
in design
All structures experience cyclic loading. This can be because of small
fluctuations in loading intensity, as, for example, in the case of wind
loading upon, or live loading within, a building. ln such situations it is
often reasonable to ignore the cyclic or non-constant nature of the
loading. However, in other situations, such as wave loading on offshore
structures, seismic loading, traffic loading of pavements and heavy
machine foundations, the magnitude of the non-constant component of
loading is large. Here the cyclic nature of the loading can be of very
12 CYCLIC LOADING OF SOILS CYCLIC LOADING IN GEOTECHNICAL ENGINEERING 13

considerable importance and, hence, cannot reasonably be ignored.

Many cases fall between those two extremes, and the engineer must be
able to decide in each instance what the effect of cyclic loading will be
and, accordingly, whether or not it should be accounted for in the
design. This question must now be addressed.
Engineering is the application of scientific principies to the solution of
particular problems in a safe, efficient and economic manner. It follows
that cyclic loading should be accounted for whenever it is likely to
improve the safety, efficiency or cost-effectiveness of the design. Each
fg'
"g
situation will of course be to some extent unique, and it will be for the _g g
>-:.;:::::
""
e
engineer to decide whether, and to what degree, cyclic loading phe- ,;
1~
nomena should be accounted for. However, that decision should be "
.2 ~g
rationally based, which means the engineer must appreciate how soils .
>..,

oÍ)
behave under cyclic loading and the effect of this on the overall =

-
'Õ
structure. "'
.9
Static analyses or analyses based on soil models derived from behavi- u
~
our during monotonic loading situations will be most appropriate when >.
u
the non-static component of loading is small and where the rates of E
loading are low. When the stress cycles increase in magnitude or when "'u
(.:1
·a

t~
the frequency of loading increases, static analyses become less appropri- OI)
·:;;
ate, possibly leading to unsafe, inefficient and uneconomic designs. <l}
u

·e=
<l}

<l}
o.
""
e
,; ><
<l}
1.4.2 Principal situations where cyclic loading is important "..,
.2 .!!l
-~
·~
During the design of systems of the type shown in Figure 1.8, namely ~ --=u
:a
offshore structures, structures in seismic regions, foundations subject to ~

loading from moving machinery, roads, railways and situations in which .s

"'
vibration will occur, account should always be taken of the relevant =
.9
'i,j
principies of the cyclic load behaviour of soils and, in this volume, these B
·:;;
cases have been catered for by the inclusion of specific chapters.
=
o
a
ao
1.4.3 Other common situations in which cyclic loading plays an ,;
g' u
l! ~
important role ....
.
Many other situations involve significant cyclic loading. Before mention-
ing some of these it is necessary to dispel a common misconception. lt is
1. l
=

sometimes argued by geotechnical engineers that the situations in which

cyclic loading is of importance are very limited and that, apart from the
specialist fields listed above, cyclic loading phenomena are not impor-
tant. This is an uninformed view as many 'ordinary structures' experi-
ence significant cyclic loading. A number of common situations which
result in the cyclic loading of foundations will be briefly discussed,
14 CYCLIC LOADING OF SOILS CYCLIC LOADING IN GEOTECHNICAL ENGINEERING 15

namely wind loading, structures supporting travelling machinery, impact Westerly

storm
loading, storage facilities and groundwater levei changes.

1.4.3.1 Wind loading. Wind loading often causes cyclic loading of

foundations (as illustrated in Figure 1.9), which may well have an
amplitude in excess of 25% of the static load in the case of high-rise ~
Wind
l/V\
1···-~ r;m,

buildings. The cyclic effect may be particularly important in the case of

tall flexible structures, such as chimneys and masts or long-span bridges,
( S, -S I
l
Weight
-M Easterly
storm
which are subject to dynamic oscillations undcr wind loading which -M +M
amplify the static wind forces (see Cook, 1990). Ward (1986), for •S '7 IW~ -S

1tt
instance, cites a case where the piles supporting a chimney might be //\'\
subject to cyclic amplitudes in excess of the mean static load.
Most structures are designed to attract as little wind as possible, but
lately there has been a marked increase in the construction of wind
turbines specifically designed to attract wind loads and which include (ai Forces acting on a (b) Forces acting onthe
tall building foundation
high-frequency rotating elements that impart cyclic loads to the founda-.
tions. This is particularly important in the case of vertical-axis wind Figure 1.9 The cyclic loading of foundations due to wind loading.
turbines which transmit a significant fluctuating downwind component
onto the supporting foundations at a typical frequency of about 0.7 Hz
(Clare and May, 1989).

1.4.3.2 Structures supporting travelling machinery. Structures support-

ing travelling machinery such as cranes, large telescopes and radar
antennae, typically transmit significant cyclic loads to their foundations.
Viaducts may also be classified in this category and here the cyclic approx.
9m
loading component (in terms of the ratio of cyclic to static loading) is
'V
1.
largest in the case of viaducts supported on a single line of columns
where the overhead traffic is eccentrically supported. Figure 1.10 shows
a schematic view of one such viaduct, the elevated monorail at Disney
World in Florida (from Roth et al., 1982), which clearly shows the
' j_

non-uniform shallow foundation loads which will vary with time. A

Figure 1.10 The Disney World elevated monorail showing a single pier together with the
similar arrangement incorporting piled foundations was used for viaducts likely stress distribution beneath the shallow foundations for the train position indicated.
on the Singapore Mass Rapid Transit System (Copsey et al., 1989). (After Roth et ai. , 1982.)

1. 4.3.3 lmpact loading. Impacts also cause dynamic cyclic loading.

Such loading may originate from a wide variety of sources ranging from
blasting operations to the impact of a berthing ship onto a jetty (Fontijn,
1980), as illustrated in Figure 1.11. Here the jetty experiences a large
number of such impacts during its lifetime which may have to be
considered during foundation design.
1.4.3.4 Storage facilities. Many storage facilities such as grain silos and
oil tanks transmit very high foundation stresses when full and much
lower stresses when empty. Accordingly, as these stores are depleted
and replenished significant loading is transmitted to the foundations, as
shown in Figure 1.12. Such structures often experience substantial
settlements over many years because of the cyclic nature of the
foundation loading. This problem is discussed in Chapter 9.
1.4.3.5 Groundwater levei changes. Groundwater levei changes induce
changes in effective stress conditions in the soil even though the
externally imposed loading remains static. Groundwater levei changes
are often cyclical, varying seasonally or, in locations adjacent to bodies
16 CYCLIC LOADING OF SOILS CYCLIC LOADING IN GEOTECHNICAL ENGINEERING 17

Berthing
velocity
Lood at
Footing
A
r JL Winter
Element A

~ -=- woter
toble

Element B
1i l Single berthing event JL Summer
-=- water ~--'-----!-----'----L---'--_j__ Time
toble (Yeors)
Load ai
Footing
A Figure 1.13 The quasicyclic stress in soil elements adjacent to a footing with a seasonally
fluctuating water table.

(a) Vessel berthing ata jetty

1t. appears, then, that the common view that considerations of cyclic
~oadmg are .of no concern to the average geotechnical engineer is
1~correct. 1t is ~he purpose of this book not to speculate about why this
(ii l Berthing
events shown v1ew has prevaded but to provide guidance for the future. It is to be
as load peaks h_op~~ that through this endeavour engineers will come to appreciate the
s1gmficance of the cyclic nature of the loading which their structures
Figure 1.11 Loading of jetty foundations by berthing vessels.
e~per~ence and will develop the skills to enable them to recognise such
s1tuat10ns and to <leal successfully with them.
H(m) a-v (kPol
30 280 1.5 General arrangement of the book
' ' :: ~ 20 200
The book is divided into two principal sections: the first part deals with
·.... ·.
. . : ~ :..._~ 10 120 matters which may broadly be classified as 'soil mechanics' and is
..... , pri~arily concerned with soil models and testing relevant to cyclic
. :·.·... ·
Time loadmg; the second part deals with the practical aspects of design for a
range of situations.
ln the first part, Chapter 2 deals with modelling soil behaviour under
a-;
cyc~ic loading and Chapter 3 with soil testing. Chapter 2 describes the
(o) Sila contoining groin ( b) Vertical stresses acting on foundotions
os o function oi stored height va~10us ap_proaches and models which have been developed to predict
sml behav1our during cyclic loading. The wide range of models which
Figure 1.12 The fluctuation of foundation pressures beneath a silo. have been developed are presented and discussed in a critica! way and
general guidance is given on the choice of the most appropriate model
of water, in accordance with tidal changes or fluctuations in river levels. for any given design situation. Chapter 3 describes and assesses the
Cyclic variation in groundwater level causes effective cyclic loading of laboratory and in-situ techniques available for measuring or otherwise
the ground, as indicated in Figure 1.13, and hence may cause enhanced determining the cyclic load characteristics of soils.
long-term settlement of structures founded upon such ground. The second part of the book deals with design practice, and is divided
into seven chapters. Five of these <leal with the most obvious situations
1.4.3.6 Others. Many other examples may be cited in which heat, in which cyclic loading is important. These are the design of offshore
vibration, temporary material storage, excavation/filling sequences and foundations (Chapters 4 and 5), pavements, including roads and railways
other agents and processes can cause significant cyclic loading. (Chapter 6), design against seismic loading (Chapter 7) and those
18 CYCLIC LOADING OF SOILS

supporting mechanical devices and moving machinery (Chapter 8). The

sixth chapter in this second section (Chapter 9) deals with settlements
caused by cyclic loading in service. The final chapter (Chapter 10) is 2 Approaches to modelling the cyclic stress-strain
concerned with cyclic loading used in the construction process.
response of soils
D. MUIR WOOD
References

Bolton, M. D. and Wilson, J. M. R. (1989) An experimental and theoretical comparison

between static and dynamic torsional tests. Géatechnique, 39(4): 585-599.
Clare, R. and May, I. D. (1989) Development of vertical axis wind turbine. Prac. Instn
Civ. Engrs, Part 1 86: 857-878. Symbols
Cook, N. J. (1990) The Designer's Guide to Wind Laading af Building Structures.
Butterworths, London, and the BRE. See also BRE Digest 346 (1989), set out in full in area of stress-strain ellipse (2.3.1)
this publication as Appendix K.
A1
Copsey, J. P., Hulme, T. W., Kraft, B. and Sripathy, P. (1989) Singapore mass rapid A2 elastic stored energy (2.3.1)
transit system: design. Prac. Instn Civ. Engrs, Part 1 86: 667-717. A soil constant (2.3.3)
Fontijn, H. L. (1980) The berthing of a ship to a jetty. Prac. ASCE 106 (WW2): 239-259. 12
Graham J., Crooks J. H. A. and Bell A. L. (1983) Time effects on the stress-strain
behaviour of soft clays. Géatechnique 33(3): 327-340.
Hardin, B. O. and Drnevich V. P. (1972a) Shear modulus and damping in soils:
ªt (aª:i aª:J (2.3.5.1)

measurement and parameter effects. Prac. ASCE 98 (SM6): 603-624.

Hardin B. O. and Drnevich V. P. (1972b) Shear modulus and damping in soils: design
equations and curves. Prac. ASCE 98 (SM7): 667-692.
Hough, S. E., Friberg, F. A., Busby, R., Field, E. F., Jacob, K. H. and Borcherdt, R. A.
ag (:~j :~J/2 (2.3.5.1)

Aan1, Aan2 normalised cyclic effective stress amplitudes (2.3.3)

(1990) Sediment-induced amplification and the collapse of the Nimitz Freeway. Nature
344: 853-855. B soil constant (2.3.3)
lshihara K., Tatsuoka, F. and Yasuda S. (1975) Undrained deformation and liquefaction of b component of distance between yield surfaces (2.3.5.3)
sand under cyclic stresses. Sails and Faurtdatians 15(1): 29-44. bmax maximum value of b (2.3.5.3)
lwasaki, T., Tatsuoka, F. and Takagi, Y. (1978) Shear moduli of sands under cyclic C11,C12,C21,C22 elastic compliances (2.2.1)
torsional shear loading. Sails and Faundatians 18(1): 39-56. soil constants (2.3.3)
O'Reilly, M. P., Brown, S. F. and Overy, R. F. (1989) Viscous effects observed in tests on
C1, C2, C3, C4
an anisotropically normally consolidated silty clay. Géatechnique 39(1): 153-158. e soil constant (2.3.3)
O'Reilly, M. P., Brown, S. F. and Overy, R. F. (1991) Cyclic loading of silty clay with dt component of vector normal to loading surface (2.3.5.4)
drainage periods. Prac. ASCE, J. Geatech. Engnrg 117(2): 354-362 dg component of normal to plastic potential (2.3.5.4)
Roth, W. H., Swantko, T. D., Patil, U. K. and Berry, S. W. (1982) Monorail piers on one-dimensional unloading stiffness (2.3.3)
Eo
shallow foundations: settlement analysis based on Dutch cone data. Praceedings af the (2.3.1)
2nd Eurapean Canference an Pentratian Testing, Amsterdam. F force
Seed, H. B. and ldriss, I. M. (1982) On the importance of dissipation effects in evaluating Fo amplitude of sinusoidal force (2.3.1)
pore pressure changes due to cyclic loading. ln: Sai/ Mechanics- Transient and Cyclic f yield function (2.2.1)
Laad, eds. Pande, G. N. and Zienkiewicz, O. C. John Wiley & Sons Ltd, Chichester.
f bounding surface (2.3.5.1)
Shaw, P. (1980) Stress-strain relationships for granular materiais under repeated loading. inner yield surface (2.3.5.3)
PhD Thesis, University of Nottingham. Íi
Ward, W. H. (1986) Discussion on 'Settlement of foundations on sand and gravei' by J. B. G shear modulus (2.2.2)
Burland and M. C. Burbridge. Prac. Instn Civ. Engrs, Part 1 80: 1635-1639. g plastic potential (2.2.1)
Wood, D. M. (1982) Laboratory investigation of the behaviour of soils under cyclic H, Hb hardening moduli (2.3.5.1)
loading: A review. ln: Sai/ Mechanics-Transient and Cyclic Laads, eds. Pande, G. N. H hardening function (2.3.5.3)
and Zienkiewicz, O. C. John Wiley & Sons Ltd, Chichester. (2.3.5.4)
H, Ho, Hp, Hq hardening moduli
h1, h2 hardening functions (2.2.1)
ho material constant (2.3.5.1)
h, ho hardening function (2.3.5.3)
lo relative density (2.3.5.4)
Y-1 (2.3.1)
k spring stiffness (2.3.5.2)
20 CYCLIC LOADING OF SOILS MODELLING THE CYCLIC STRESS-STRAIN RESPONSE 21

M geometrical parameter for Cam clay yield (2.2.2) ll.Eqc cyclic triaxial shear strain (2.3.3)
surface E; strain variable (2.2.1)
M complex modulus (2.3.1) E;j strain tensor (2.3.2)
soil parameters (2.3.5.4) ç scaling variable (2.2.1)
M 1, Mg
m;i unit normal to plastic potential (2.3.5.1) T/ q/p' stress ratio (2.2.2)
mp, mq components of unit normal to plastic potential (2.3.5.4) T/ damping ratio (2.3.1)
N number of cycles (2.3.3) T/p peak value of stress ratio (2.3.5.1)
n number of stress and strain increment variables (2.2.1) T/t failure value of stress ratio (2.3.5.4)
na, nK soil parameters (2.3.3) T/U stress ratio at start of unloading (2.3.5.4)
n;i unit normal to bounding surface (2.3.5.1) 0 slope of unloading-reloading line in ln v:ln p'
n;i unit normal to loading surface (2.3.5.4) plane (2.2.2)
np, nq components of unit normal to loading surface (2.3.5.4) À* slope of normal compression line in ln v :ln p' (2.2.2)
p force (2.3.5.2) plane
Pa atmospheric pressure (2.3.3) À dashpot constant (2.3.1)
p' mean effective stress (2.2.1) ç internai variable (2.2.1)
PÓ size of yield surface (2.2.1) ç f ldt:ql (2.3.5.4)
p~, qa: centre of inner yield surface (2.3.5.3) a~, a; axial and radial effective stresses (2.2.1)
Pi, q; image point on outer yield surface (2.3.5.3) o', stress variable (2.2.1)
q deviator stress (2.2.1) a;f stress tensor (2.3.2)
R ratio of sizes of inner and outer yield loci (2.3.5.3) ã;j image stress (2.3.5.1)
S1, Sz spring stiffnesses (2.3.1) ai]· projection stress origin (2.3.5.1)
s scalar in translation mie (2.3.5.3) 01, 02, 03 principal stresses (2.3.4)
t time (2.3.1) aÍ, a2, a3 principal effective stresses (2.3.4)
u complementary energy (2.2.4) r shear stress (2.3.3)
u displacement (2.3.1) Ír shear stress at unloading point (2.3.3)
Uo amplitude of displacement (2.3.1) <P viscoplastic function of overstress (2.3.2)
u pore pressure (2.3.3) X scalar multiplier (2.2.1)
V specific volume (2.2.2) X size of bounding surface (2.3.5.1)
w strain energy (2.2.1) 1/J soil parameter (2.3.5.3)
y yield load for slider (2.3.2) O) angular frequency (2.3.1)
y yield load for slider (2.3.5.2)
Superscripts
lYc, lYK soil parameters (2.3.3) e elastic (2.2.1)
lY proportionality factor (2.3.5.1) L loading (2.3.5.4)
lYf, lYg soil parameters (2.3.5.4) p plastic (2.2.1)
/3 distance between current stress and image stress (2.3.5.1) u unloading (2.3.5.4)
/J vector linking corresponding points on vp viscoplastic (2.3.2)
successive yield loci (2.3.5.2)
f3o, /31 soil parameters (2.3.5.4)
y soil constant (2.3.2) 2.1 lntroduction
y shear strain (2.3.3)
Yr shear strain at unloading point (2.3.3) Philosophy of soil modelling
2.1.1
Yu soil constant (2.3.5.4)
ô phase angle (2.3.1)
(2.2.1) Modelling of soil behaviour, whether numerical modelling (usually using
Ea, Er axial and radial strains
volumetric strain (2.2.1) a computer) or physical modelling (using small volumes of real soils, or
fp
fpd damage volumetric strain (2.3.3) soil-like materiais, loaded in the laboratory at one gravity or, on a
Eq triaxial shear strain (2.2.1) centrifuge, at many times the earth's gravity), aims to reproduce the
22 CYCLIC LOADING OF SOILS
vital aspects of the response of the soil while ignoring other features
which are deemed to be less important. This chapter is concerned
exclusively with numerical modelling of soils: representation of the
response of homogeneous single elements of soil according to some clear
theoretical constitutive framework. ln developing numerical models the
choice of the aspects of soil response that will be deemed to be vital will
depend on the particular intended application of the model: the sarne
soil may be modelled in different ways depending on the application.
For example, the response of a soil to loading which applies only very
small changes in stress might reasonably be described as elastic. Another
application might load the soil so severely that many elements are
brought dose to failure. ln this case, neglect of the elastic response of
the soil and description as a perfectly plastic material may provide an
adequate model. The response of a soil to a rapid change of load is
often treated as an undrained problem. There may be no need to
include in the soil model elements of behaviour which would be
required if assessment of long-term deformations were required, for
example creep or secondary consolidation under essentially constant
effective stresses.
The art of soil modelling thus lies in being able to identify important
characteristics while leaving the model as simple as possible. lt is clear
that the more elaborate or sophisticated a model becomes, the more soil
parameters will be needed to describe it, the more elaborate will be the
site investigation operations needed to define these soil parameters, and
the more lengthy will be the analyses which make use of the model to
predict the performance of a geotechnical structure. A careful balance
has to be maintained then between cost of testing and analysis on the
one hand and accuracy of matching soil response on the other. There is
a law of diminishing returns as attempts are made to use progressively
more sophisticated-and hence potentially more realistic (?)-models
for design and analysis.
2 .1. 2 Categorisation of models
There are a number of ways in which numerical models for soils can be
classified; two will be mentioned here, because it is instructive to see
how the different models which will be discussed in later sections fit into
different categories.
A hierarchy of models can be proposed, similar to that suggested by
Palmer and Pearce (1973), related to the power and usefulness of
models, but also to the degree of difficulty and complexity involved in
the theoretical formulation (and hence probably in the use) of the
model:
MODELLING THE CYCLIC STRESS-STRAIN RESPONSE 23
(t:) Models which can only be used to describe a pattern observed in
one particular form of test (for example, undrained triaxial
compression tests, or constant-volume simple shear tests).
( b) Models which use the principle of effective stress to link un-
drained and drained response observed with a particular test
apparatus (for example, drained and undrained triaxial tests, or
all simple shear tests).
( y) Models which establish a link between tests performed in two
different testing apparatus so that, for example, response in
simple shear tests can be predicted from results of triaxial tests.
(/3) Models which can be used to predict response to tests in which
the three principal effective stresses or strains may all be different
but the principal axes do not rota te.
( a) Models which can be used to predict response to any general
changes in effective stresses and strains, including rotation of
principal axes.
It may be felt that models in category (t:) are of little value, but in
fact much of the work on generating models for cyclic loading of soils
has produced models which fall into this category, for example descrip-
tions of patterns of pare pressure generation in cyclic undrained triaxial
compression tests. lt should be noted too that the fact that a model falls
into category (a) and is capable of being used for completely general
stress and strain variations does not necessarily imply that the response
that is calculate d for such variations will be particularly accurate:
isotropic elasticity falls in category (a) but may not be particularly
successful in reproducing actual patterns of soil response. However,
numerical analyses using finite element programs will require models in
category (a) except in very simple situations, such as the one-dimen-
sional horizontal shaking of a column of soil which could be achieved
using a category ( ô) model, based only on a complete statement of the
behaviour of the soil under conditions of simple shear.
Category (a) models can be subdivided according to their complexity,
and the extent to which they are able to reproduce important features of
soil response. Wood (1990) has proposed a hierarchy developed from
one outlined by Vermeer and Borst (1984):
(al) Children's models, such as linear elasticity and perfect plasticity,
which are rather simple to use (and which underpin many
classical soil mechanics calculations) but which are not particu-
larly successful in reproducing key features of soil response,
particularly volume change characteristics and non-linearity un-
der working loads.
(a2) Student's models, such as elastic work-hardening plastic models
(for example, the Cam clay models), which are helpful in
24 CYCLIC LOADING OF SOILS
explaining and bringing together apparently disparate aspects of
soil response at a pedagogic level but do not necessarily match
any given set of data particularly successfully.
( a-3) Engineer's models, which go beyond the student's models,
introducing those extra features which the engineer, using his
judgement, reckons to be necessary for a particular application
(for example, non-linear elasticity, anisotropic elasticity, aniso-
tropic plasticity, viscous properties, etc.).
( a-4) Philosopher's models, which aim to describe all aspects of soil
response but which will usually be too elaborate and sophisti-
cated for their application to be contemplated in any but the
most sensitive projects-such as nuclear power stations or radio-
active or other hazardous waste disposal facilities-where un-
foreseen geotechnical response may have extremely serious
consequences.
There is an obvious need for pragmatism and expediency in selection
of models which should be governed by a sort of quality assurance
procedure: an engineer needs to assure himself that the model or
models he is using are appropriate for the design or analysis that he has
to achieve. A decision to use a model in category ( a-2) (or a:1) must be
made consciously on the basis that there are no special factors associ-
ated with the particular project that might require the use of a model in
category (a-3) (or a-4).
2.1.3 lmportance of effective stresses
So long as models are only being developed in category (E) then there
are restrictions associated with the testing and modelling processes
which remove the need for any fundamental understanding of the soil
response: the modelling involves nothing more than interpolation within
a tightly constrained test framework. As soon as any attempt is made to
extrapolate beyond the known region of a set of experimental data, or
to establish rational links between different sets of data, then some feel
for the underlying bases of soil response is required. The principle of
effective stress has been found to provide the most vital clue to
understanding of soil behaviour-whether in monotonic or cyclic load-
ing-and although some models have been produced which attempt to
associate soil response with total stress changes these are of extremely
limited applicability and it is only through knowledge of effective
stresses that a coherent picture can be produced. There is obviously still
a place for total stress analyses in some circumstances-equilibrium
equations lead readily to assessments of total stress distributions-but all
experimental evidence supports the assertion that soil behaviour is
MODELLING THE CYCLIC STRESS-STRAIN RESPONSE 25
controlled by effective stresses, and models which are intended for
general application must be described in terms of history and changes of
effective stresses.
2.2 Models for monotonic loading
2.2.1 lngredients of a simple elastic-plastic model
Before reviewing some of the models that might be adopted for
describing the behaviour of soils under cyclic loading, it is helpful briefly
to consider what can be achieved with relatively simple elastic-plastic
models, and the ways in which these models break down when used for
situations where cyclic loading is important. Several successful models
for behaviour of soils under cyclic loading have been proposed as
developments from such models for monotonic loading. A general class
of isotropic hardening elastic-plastic models will be described first.
There are a number of basic ingredients which are required for all
elastic-hardening plastic models.
(i) It is assumed that for some changes in effective stresses the
response of the soil is entirely recoverable and elastic. A description of
this elastic response is required-in its simplest isotropic form this will
require the specification of two elastic parameters.
(ii) It is assumed that there is a limit to the region of effective stress
space that can be reached with purely elastic response: this limit is a
yield surface and its location and size ( and perhaps shape) are expecte d
to depend on the history of changes in effective stress which the soil has
experienced. The nature of the yield surface and its link with stress
history need to be defined.
(iii) Whether a change in effective stresses takes the soil outside or
inside its current yield surface will control whether or not irrecoverable
plastic deformations will occur. If plastic deformations occur and the soil
yields, then the mechanism of plastic deformation -that is the relative
proportions of the several components of plastic deformation-is usually
assumed to depend on the state of effective stress at which the soil has
yielded (and not on the effective stress increment that causes yield).
Description of this mechanism of plastic deformation is contained in a
flow rule, but it may sometimes be conceptually helpful to define the
mechanism of plastic deformation with reference to a plastic potential
function. A plastic potential function can be thought of as defining a
family of surfaces in effective stress space. The normal to the plastic
potential surface that passes through the current effective stress state
then indicates the direction of the corresponding plastic strain increment
vector-in other words the mechanism of plastic deformation.
26 CYCLIC LOADING OF SOILS
lt is important to note that this idea of plastic potential surfaces
linking plastic strain increments with effective stress space is only useful
provided the variables used to define the strain increments and the
stresses are correctly work conjugate. The effective stress variables a;
( i = l ... n) and strain increment variables & ; ( i = l ... n) are associ-
ated in pairs such that the increment of work per unit volume ôW that
is dane when an element of soil supporting effective stresses a;
undergoes strain increments DE; is given by:
n
ôW = Ia;&; (2.1)
i=l
ln its most general form to describe the complete stress state in a
material n = 6, but in certain restricted situations a smaller number of
variables may suffice. For example, for the conditions of the axisymmet-
ric triaxial test there are only two degrees of freedom and n = 2.
(iv) The flow rule defines the mechanism of plastic deformation, but
the link between change in size (and/or position) of the yield surface
and the magnitude of the plastic strains requires the specification of a
hardening rule.
(v) For some models it may be necessary, in addition, to impose
some limit to the effective stresses that can be supported by the soil, in
the form of a failure surface. ln other models-such as Cam clay
described in section 2.2.2-the form of a failure surface may be implicit
in the other assumptions of the model.
Observations of yielding of many soils under axisymmetric stress
conditions that can be reached in a conventional triaxial apparatus can
be used to describe yield loci in the p':q effective stress plane (mean
effective stress p' =(a~+ 2a;)/3, deviator stress q = a~ - a;, where a~
and a; are effective axial and radial stresses respectively. The rationale
behind the choice of these effective stress variables is presented by
Wood (1984). The variables p' and q can be related to the first and
second invariants, respectively, of the effective stress tensor and can be
used to extend to more general stress conditions models which have
been developed with reference only to data from axisymmetric states of
stress and strain). If it is assumed that the shape of these yield loci is
independent of stress history, then a family of yield loci can be
established (solid lines in Figure 2.1) given an expression for the yield
loci of the form:
f(p'/pó, q/pó) =o (2.2)
where p 0 scales the size of any particular member of the family of yield
loci. This expression represents one basic assumption of this class of soil
model.
MODELLING THE CYCLIC STRESS-STRAIN RESPONSE 27
Figure2.1 Yield loci (-) and plastic potential curves(--).
Observations of the strains associated with yielding of the soil can be
used to establish a plastic potential function g such that plastic volumet-
ric strain increments & / ( = &/ + 2&/) and plastic triaxial shear
strain increments &/[ = 2 (&/ - &/)/3] (which are chosen to be
work conjugate with p' and q and the subscripts have been chosen to
emphasise this work conjugacy) are given by:
&/ = xag/op' (2.3)
&/ = xag/aq (2.4)
where x is a scalar multiplier whose value depends on the hardening
characteristics of the soil. The plastic potential function g may also be
assumed to have a shape that is independent of stress history so that a
family of plastic potential curves:
g(p' /C, qfC) =o (2.5)
(dashed lines in Figure 2.1) (where Cis a dummy scaling variable which
is similar to p 0 but, because g only enters the model through its
differential, has no direct role) form a second basic requirement for this
class of soil model. The normal to the plastic potential curve through
the current stress state indicates the ratio of components of plastic strain
increment that will be generated by a stress increment which causes
yield of the soil.
The third basic requirement of this class of model is some indication
of the link between expansion of yield loci (change in pó) and
development of plastic strains. ln general this will take some form such
as:
(2.6)
where h 1 and h 2 may be separate hardening functions which may be
dependent on current stress state and, through the internal variable g
(which might, for example, be the current specific volume v of the soil),
on stress history.
28 CYCLIC LOADING OF SOILS MODELLING THE CYCLIC STRESS-STRAIN RESPONSE 29

The fourth basic requirement of this class of model is a statement (Figure 2.2a):
about the elastic properties of the soil, in order to define the strains that
will be generated for changes in stress within the current yield locus. ln f = g = (q/pó) 2 - M 2[(p'/p' o)(l - p'/pó)] =O (2.10)
general this will take the form: where M is a soil parameter. The model presented by Roscoe and
&/ = C 11 ôp' + C12ôq (2.7) Burland (1968) is called by them 'modified' Cam clay to distinguish it
from the 'original' Cam clay model described by Roscoe and Schofield
ôt:qe = C 21 ôp' + C 22 ôq (2.8) (1963). This 'original' model has been much less used for numerical
where C 11 . . . C 22 may also be functions of stress state and stress analysis than the 'modified' model and the qualifier 'modified' will be
history. For any elastic material C 12 = C 21 , and for an isotropic elastic omitted here.
material C 12 = C 21 = O, but there is no requirement of isotropy in 1t is assumed that hardening of yield loci depends only on plastic
writing eqns (2.7) and (2.8). volumetric strain so that h 2 = O and an expression is assumed for h 1
Putting the information about yielding, plastic flow and hardening of which results in straight normal compression lines in a logarithmic
the soil together, a plastic compliance expression can be produced:
af ag ~~ q
ÔEPP
-1
----
ap' ap' aq op'
ôp' -- --
&/ ~
opó
[h1 ~+
op'
h2~]
aq
af ~ af
--
ag ôq
ap' aq aq aq

(2.9)
/
If the yield loci and plastic potentials are identical, f = g, then this
plastic compliance matrix is symmetric (and the soil obeys the postulate ....... - -- - ,,./
/

of normality or associated flow). There is no basic requirement for this a. b.

in setting up the model, but it may simplify the solution of the sets of
equations that arise in numerical analysis.
This isotropic hardening elastic-plastic model has been described in q
terms of triaxial stress components p' and q and strain increments ôE P,
ôt:q but general forms of these stress and strain quantities can be defined
so that such a model can be readily applied to completely general stress /

and strain conditions (and thus falls in category a, though as noted ,/ '
/
above the fact that it can be applied to all stress and strain conditions
places no guarantee of accuracy of predictions of response for all stress
and strain conditions). 1 p' Eq
\ /
\

2.2.2 Cam clay ''

-- -
/

-
ln the Cam clay model (Roscoe and Burland, 1968) particular assump-
tions are made for all the unknown functions introduced in section 2.2.1
so that a rather simple pedagogic isotropic volumeric hardening elastic e. d.
-plastic model can be produced. lt is assumed that yield loci and plastic Figure2.2 Cam clay model. (a, b) Constant-stress-amplitude undrained cyclic loading.
potentials are identical and elliptical in the p': q effective stress plane (e, d) Constant-strain-amplitude undrained cyclic loading.
30 CYCLIC LOADING OF SOILS
compression plane (ln v:ln p') (Butterfield, 1979) where v is specific
volume:
h1 = pó/().* - K*) (2.11)
(This is a slightly different assumption from that used by Roscoe and
Burland.) Because hardening of the soil is dependent only on plastic
volumetric strain, it emerges from the form of the plastic potential
curves (which are controlled by the parameter M) that plastic shear
deformation can occur at a stress ratio 17 = q/p' = M without further
change in effective stresses or specific volume. The soil is then said to
have reached a criticai state.
Finally, the elastic properties are assumed to be isotropic but non-
linear so that C 12 = C 21 = O and:
C11 = K*/p' (2.12)
C 12 = 1/3G' (2.13)
ln these expressions À* and K* are the slopes of normal compression and
unloading-reloading lines in the ln v: ln p' compression plane, and G' is
shear modulus. It will be assumed here that G' is a constant even
though experimental evidence suggests that elastic properties possibly
vary with mean stress levei. Care is, however, required in adopting
variable moduli for cyclic loading applications-there is a danger that
thermodynamic restrictions relating to generation of energy may be
violated (Zytynski et ai., 1978) (see section 2.2.4).
The Cam clay model also falls in category (a), but a study of the
behaviour of normally compressed Cam clay in cycles of undrained
loading illustrates some of its deficiencies. Under cycles of constant
amplitude of deviator stress (Figure 2.2a and b), the yield locus is
expanded on the first loading and then remains at constant size, so that
all further stress changes can be supported elastically. The predicted
strain response (Figure 2.2b) reflects this complete reversibility of
deformation after the first loading. If this undrained cycling is applied in
the standard way with constant cell pressure, then there will be implied
changes in total mean stress in every cycle, which will be directly
reflected in measured cyclic pore pressure changes: but these are a
consequence of the chosen applied total stress path and not of the
behaviour of the soil.
It is always important in interpreting the cyclic pore pressures that are
seen in soil tests to separate the pore pressure which results from total
stress change from the pore pressure which results from suppressed
dilatancy and the effective stress response of the soil. Once the Cam
clay model is behaving purely elastically in Figure 2.2 then the pore
pressures that are seen are entirely the result of the first of these
MODELLING THE CYCLIC STRESS-STRAIN RESPONSE 31
factors: the isotropic elastic soil has no further desire to change in
volume as it is sheared.
Under cycles of constant amplitude of triaxial shear strain (Figure 2.2c
and d) a hysteretic stress-strain relationship is observed (Figure 2.2d)
and the effective stress path moves progressively to the left, at a
decreasing rate, but would ultimately (after an infinite number of cycles)
stabilise between the criticai state points with q/p' = M in compression
and extension where shear strain can develop without change in effect-
ive stress.
2.2.3 Response of soil on unloading-reloading cycles
It is not necessary to look at the response to multiple cycles of loading
to discover an immediate deficiency of these simple elastic-plastic
models. Real soil shows the typical hysteretic response shown in Figure
2.3, and it is only in the smallest amplitude cycles that the unloading
and reloading responses could plausibly be described as elastic. Energy
is certainly dissipated on these cycles, but the simple models do not
include any mechanism for energy dissipation for states of stress lying
within the yield locus.
The remainder of this chapter, section 2.3, is devoted to describing
ways in which mechanisms for energy dissipation can be introduced, but
it is worth recognising that for monotonic loading situations the non-
linearity of the nominally elastic behaviour inside the yield locus will
only be important if the stress changes that are experienced by elements
150 kPa
q
Eq
Figure 2.3 Spestone kaolin: cycles of undrained loading. (After Roscoe and Burland,
1968.)
32 CYCLIC LOADING OF SOILS MODELLING THE CYCLIC STRESS-STRAIN RESPONSE 33

of soil dose to a geotechnical structure do not reach the current yield Differentiating further, the stiffness matrix in the expression linking
locus at those elements. If significant amounts of yielding occur in these stress increments and strain increments must have the form:
criticai elements then the associated drop in stiffness will be so great
that an assessment of the performance of the structure will depend little 02 w o 2W
ôp' ÔEP
on the details of the assumed description of the response within the OE p 2 OEµOEq
yield locus. (2.16)
02 w 02w
ôq ÔEq
OEµOEq OE q2
2.2.4 Elasticity
Alternatively, a complementary energy function V can be defined such
While the emphasis in this chapter is on ways of modelling the that:
dissipation of energy in cyclically loaded soils-by introduction of ôU = Epôp' + Eqôq (2.17)
viscous or plastic soil properties - there is no particular reason why, in
certain circumstances, soils should not be modelled as simple elastic, leading to a compliance relation:
non-dissipative materiais. The response of the soil to changes in stress is
0 2v 0 2v
then controlled by elastic stiffness or compliance relationships which ÔEP --- ôp'
lead to unique, path-independent relationships between change of stress op'2 op'oq
and change of strain. (2.18)
ô2V o 2U
The simplest relationships would be those of isotropic linear elasticity, ÔEq --- ôq
in which just two soil constants are required to define the link between op'oq oq2
stresses and strains-for example, Young's modulus and Poisson's ratio implying a number of interrelationships between the elastic compliances
or shear modulus and bulk modulus. However, assumptions of isotropy C 11 , C 12 , C 21 , C 22 introduced in section 2.2.1:
and linearity are convenient rather than necessary, and they çan
certainly be relaxed if experimental data exist to support alternative 0C11 0C12 0C12
assumptions.
C12 = C21; ¾ op' , ¾ op'
(2.19)
For example, Graham and Houlsby (1983) propose a simple three- Boyce implicitly assumes a complementary energy function:
parameter form of linear elastic cross-anisotropy and demonstrate its 1
application to a natural clay from Winnipeg. Such a form of anisotropy (n+l) [
V = _P_ __ 1 + _/3_ (q/p')2 ] (2.20)
may be appropriate to natural soils which have been deposited one- K1 l+n l-n
dimensionally over an area of large lateral extent. so that:
On the other hand, Boyce (1980) proposes an isotropic but non-linear
p'(n-1)
elastic model to reproduce the resilient strains observed in cyclic triaxial C 11 = ~ [n + (2 - n)f3(q/p') 2] (2.21)
tests on crushed rocks and other granular materiais. It is important to
note that the form of elastic non-linearity that may be introduced cannot p'(n-1)
be chosen arbitrarily. The assumption of elasticity implies that the C12 = C21 = - ~ 2f3(q/p)
1
(2.22)
elastic stored energy is a unique function of the current strain state.
p'(n-1) 2/3
For example, under the axially symmetric conditions of the triaxial C22 = --- ·--- (2.23)
apparatus, the increment of strain energy per unit volume: K1 1- n

(2.14) Boyce finds values of n between 0.2 and 0.6.

Non-linear elastic models are able to introduce many apparently
so that: curious effects, such as variation of mean effective stress in constant
volume tests, and in choosing the form of strain energy or complemen-
p' and q=-
ow (2.15) tary energy functions care should be taken to ensure that undesirable
OEq artefacts are not introduced into the stress-strain response.
 MODELLING THE CYCLIC STRESS-STRAIN RESPONSE 35
34 CYCLIC LOADING OF SOILS

2.3 Models for cyclic loading t = O, the displacement u(t) at any time t consists of an immediate
deformation:
2.3.1 Viscoelasticity u(O) = F/(s 1 + s2) (2.25)
followed by creep at an exponentially decreasing rate tending to an
Energy can be dissipated in cycles of loading by introducing extra
asymptotic displacement (Figure 2.5a):
plasticity, or by introducing viscosity (or both). Viscosity will be
examined first. Viscosity is introduced as a real element of time-depend- u(oo) = F/s 2 (2.26)
ent soil constitutive response which will be observed even in a test on an
An equivalent response is found when a constant deformation u is
ideal homogeneous single element of soil. Not all time-dependent
applied at time t = O: there is an immediate force:
stress-strain responses of real soil samples are necessarily of viscous
origin: a sample, of finite dimensions, of soil of non-infinite permeability F(O) = (s 1 + s 2 )u (2.27)
will show time-dependent characteristics which are associated with the
which relaxes at an exponentially decreasing rate to the asymptotic value
rate at which flow of water can occur within the sample in arder to
re-establish equilibrium of excess pare pressures. These effects are not (Figure 2.5b):
F(oo) = s 2 u (2.28)
viscous in origin and can be explained through an inviscid constitutive
model in which soil behaviour is controlled by effective stresses. Under a sinusoidally varying load of constant amplitude:
Viscoelasticity introduces a time-dependent contribution into the F(t) = F 0 eiú,t (2.29)
elastic response of the material and can be conveniently described with
reference to the one-dimensional systems of linear springs and dashpots (where i = v-Tand the complex form makes simpler the study of the
shown in Figure 2.4: the Voigt parallel model (Figure 2.4a), the phase differences between excitation and response) the deformatio~ ~~ t)
Maxwell series model (Figure 2.4b) and the combined standard linear will also vary sinusoidally with the sarne frequency (after any m1tial
solid (Figure 2.4c). The linear spring produces a deformation propor- transients have died down) but with a different phase from the applied
tional to the applied load; the dashpot produces a rate of deformation load. Hence, if the deformation is written:
proportional to the applied load. All of these models will produce u(t) = Uoeiwt (2.30)
effects of creep (deformation under constant applied load) and relaxa-
tion (change of load at constant deformation). The basic equation then the ratio F 0/u 0 is the complex modulus M given by:
linking variation of force F and displacement u with time t for the
standard linear solid (Figure 2.4c) is: M = s2[1 + iwÀ (s1 + s2)] fi[1 + iwÀ] (2.31)

F + ~
S1
dF
dt
= 52 [u + À(s1 + s2)
S1S2
~1
dt
(2.24) The magnitude of this complex modulus is:
2 51 2
S1S2

2 2
/.

12
S1

2
where s 1, s2 are spring constants and À represents the velocity-depend- IMI -_ 5 2{[1 + w 2}i, ( 2+ 2s ) ]/[ 1 + w }i,2 ]} /
S1 Sz S1
(2.32)
ent resistance of the dashpot.
The Voigt model can be obtained from this by setting s 1 = oo, the
Maxwell model by setting s 2 = O. For a constant load F applied at time F
u

o f (J a. b. e.
Figure2.4 Viscoelastic models: (a) Voigt parallel model; (b) Maxwell series model;
(e) standard linear solid.
creep
t
a.
relaxation

t
b.

Figure 2.5 Viscoelastic response: (a) creep under constant load; (b) relaxation under
constant deformation.
36 CYCLIC LOADING OF SOILS MODELLING THE CYCLIC STRESS-STRAIN RESPONSE 37

and the phase difference between the exciting load and the responding The damping ratio is very clearly frequency-dependent even for constant
deformation is ô where: values of the model parameters s 1 , s 2 , À (Figure 2.4c).
tanô = w}:_
s2/I
~[1 + w 2 À2 (si: s 2 )]
s1s2
(2.33)
The elliptical shape of the load-deformation relationship for this
viscoelastic system may not resemble the cyclic stress-strain relation-
ships that are typically seen for soils, for which the peak load usually
The vanat10ns of IM I and tan ô with the frequency of excitation are coincides with the peak deformation, but a viscoelastic approximation
shown in Figure 2.6(a). may not be unreasonable for low levels of damping (narrow ellipses, low
Since both the force and the deformation are varying sinusoidally, the angles ô of phase difference between excitement and response). As will
force-deformation relationship will be elliptical (Figure 2.6b ), with the be seen elsewhere in this book, in many situations where the amplitude
area A 1 of the ellipse representing the energy dissipated in the viscous of cyclic soil deformations is rather small, treatment of soil response in
dashpot in each cycle. The damping ratio 17 is defined as: terms of a simple model composed of springs and dashpots is standard.
1 A1 It is also straightforward, particularly in comparison with the complexi-
11 =- - (2.34) ties associated with models which describe the behaviour of soils in
41r A 2
response to larger deformations more realistically, because in many
where A 2 is the area of a triangle with base equal to the deformation cases analytical solutions can be obtained and the need for numerical
amplitude and of height equal to the amplitude of applied force (Figure analyses can be obviated. The need to determine the value of damping
2.6b) (so that for low levels of damping A 2 is approximately equal to ratio at the correct frequency for the intended application must also be
the maximum elastic energy stored in the system). For the simple recalled.
viscoelastic system being considered here the damping ratio is: The character of viscoelasticity has been presented in a purely
n., -- l2 sin ô (2.35) one-dimensional form here, but extension to general stress states does
not require the introduction of any new concepts: typically, separate
WÀ
11 (2.36) superimposed viscoelastic models might be used for the distortional and
= 2IMI the volumetric response of the soil (matching the choice of stress and
so that, for small levels of damping: strain quantitites used in presenting the elastic-plastic models in section
2.2). For many situations where cycles of loading are applied rapidly it
(2.37) is only the distortional viscoelasticity that will be significant-and,
besides, volumetric effects may be dominated by phenomena associated
(a) with pore water flow rather than soil viscosity.
(b)
2

2.3.2 Viscoplasticity
IM! tanõ
52
Viscoelasticity has the advantage of simplicity if not of realism-closed-
1-5 0-2 form solutions can be rather readily generated and the response of
1anõ foundation-soil systems calculated. Plasticity is, however, a feature of
most soil response, and the effect of associating a viscous element with
the plastic behaviour of the soil will be considered here.
A one-dimensional elastic-viscoplastic element is shown in Figure
2.7(a). The inviscid elastic response is governed by the spring s 1 . The
o parallel spring s 2 , slider Y, and dashpot À introduce plastic and viscous
0-1 10 responses. The slider Y is a one-dimensional yield surface with the
WÀ
s, load-deformation property shown in Figure 2. 7(b ). lt is rigid for loads
Figure 2.6 Viscoelastic standard linear solid. (a) Amplitude and phase of response. below the yield point Y and offers no resistance to sliding at this load.
(b) Elliptical load-deformation relationship. Once the yield point is exceeded then the overall stiffness is governed
38 CYCLIC LOADING OF SOILS MODELLING THE CYCLIC STRESS-STRAIN RESPONSE 39

(a) (b) F cyclic loading has to be handled in two parts, depending on whether or
+Y1------ not the slider is currently sliding. Immediately on reversa! of loading or
y
deformation direction the slider stops moving and deformation is con-
trolled only by spring s 1 • The load has to change by 2 Y in arder to
u make the slider move in the opposite direction. The resulting cyclic
relationship between force and displacement for quasistatic cycles
----1-Y (À= O) is shown by the dashed line in Figure 2.8(a). For À= O this
response is independent of the frequency of loading and of the details of
(e) the loading waveforms.
F With À non-zero, and with finite frequencies of loading, the response
for monotonic loading in Figure 2.7(c) provides a guide to what the
response will be to, for example, the triangular loading waveform shown
in Figure 2.8(b ). Now there is again an elastic response, over a load
range of 2 Y, every time the direction of loading is reversed; once
yielding of the slider occurs the load-deformation response tends
exponentially to the asymptotic relationship (eqn 2.40) shown in Figure
u
2.7(c). The resulting cycle is shown in Figure 2.8(a).
Figure2.7 (a) Viscoplastic model. (b) Response of slider element. (e) Response of The detailed shape of the viscous part of this cycle will now depend
viscoplastic model under monotonic loading.
both on the frequency of loading and on the details of the loading
waveform. Values of damping ratio could be calculated from eqn
(2.34)-and will depend on the details of the loading. Comparison of
by the parallel spring s 2 so that for an infinitely slow loading process a
the cycles in Figure 2.8( a) with the elliptical cycles for the viscoelastic
bilinear response is observed (Figure 2.7c), with the stiffness dropping
material in Figure 2.6(b) shows that the shape is rather different; in
from s 1 to s 1s 2/(s 1 + s 2). (With s 2 = O then this post-yield response is
particular, the peak load and displacement occur simultaneously and the
perfectly plastic.) For finite rates of loading, however, the dashpot
cycles have clear tips. (Though, in detail, the shape will be influenced
comes into play.
by the relative values of s 1 , s 2 , Y, À.)
The constitutive equations for this element are:
The one-dimensional elastic-viscoplastic model shown in Figure 2. 7 (a)
for F < Y: F = s 1u (2.38)
F(s 1 + s2)
À dF dF
for F > Y: - - - - + - - = Y + s2 u + À-dt (2.39)
S1 S1 dt
For a test in which a constant rate of deformation u = kt is imposed,
I
the force-deformation relationship after yield tends exponentially to the 'f
line (Figure 2.7c): ?..=O
2 I
S1S2 s1 Àk /
F = Y + -- u + - - -2 (2.40)
s1 + Sz (s1 + s2) u
and there is a viscous contribution to the 'strength' of the material. A
similar result is found for a test in which the load is increased at a
,
I
I
I

constant rate F = kt with the asymptote now: I

/
/.-'
u = (s1 + s2) F _ Y _ À~ (Z.4l) a. b.
S1S2 Sz Sz
Calculation of the response of such an elastic-viscoplastic element to Figure 2.8 (a) Response of viscoplastic model under cyclic sawtooth loading (b).
40 CYCLIC LOADING OF SOILS
can be readily generalised to a viscoplastic version of the elastic-plastic
soil models discussed in section 2.2. This leads to a general class of
'overstress' models in which the strain rate depends on the distance of
the current stress state beyond the current static yield surface. [ln the
model of Figure 2.7(a) the rate of deformation for a constant load F is
principally dependent on the overload F - Y.]
An attempt to detect the size of the current yield surface would
discover a direct link with the strain rate chosen for the detection
purpose-the current yield surface is not unique. However, the model
introduces the convenient numerical fiction of a static yield surface
which would be detected in infinitely slow (hence static) tests: the
current static yield surface is unique.
The strain rate is divided into elastic and viscoplastic parts:
(2.42)
where the superposed º indicates differentiation with respect to time. (It
is convenient here, and elsewhere in this chapter, to use the shorthand
notation E;j, a;j to indicate the full strain and stress tensors-each of
which will in general have six independent components.) The elastic part
i/ is calculated from an assumption of elasticity which may be isotropic
o: anisotropic, linear or non-linear. The viscoplastic part i/P is calcu-
lated from:
(2.43)
where g is a viscoplastic potential, y is a material constant, </J is a scalar,
monotonic function of overstress f, and the Macaulay brackets ( )
signify that the relationship (eqn 2.42) is only to be applied when f > O.
ln a non-viscous elastic-plastic model the stress state can lie in or on
but never outwith the current yield surface and the yield function f ( a;j)
is consequently defined in such a way that it can be negative (in the
elastic region) or zero (for stresses causing yield) but never positive. ln
this viscoplastic formulation positive values of the yield function f are
used to define the degree of overstress of the soil: f = O implies that the
current stress state is on the current static yield surface. For a general
state of stress producing viscoplastic strains, f > O and the current
viscoplastic strain rate Eij vp depends on the current value of f through
the function </J in eqn (2.43).
The character of the response predicted by such a viscoplastic
extension of a volumetric hardening model of the type described in
section 2.2.1 (with h 2 = O in eqn 2.5) can be described with reference to
Figure 2.9. The initial (static) yield locus is shown in a p':q effective
stress diagram by the solid line in each figure. A stress increment at low
stress ratio q/p' going beyond the static yield locus (Figure 2.9a) will
MODELLING THE CYCLIC STRESS-STRAIN RESPONSE 41
Figure 2.9 Response of viscoplastic soil model to stress increments causing yielding at
(a) low stress ratio and (b) high stress ratio (syl = static yield locus).
cause viscoplastic strains which are associated with volumetric compress-
ion and hence expansion of the static yield locus. The strain rate falls,
because the degree of overstress falls, and after infinite time the current
static yield locus would pass through the new effective stress state.
A stress increment at high stress ratio q/p' going beyond the static
yield locus (Figure 2. 9b) will cause viscoplastic strains which are
associated with volumetric expansion and hence shrinkage of the static
yield locus. The degree of overstress now becomes progressively larger
as the current yield locus retracts away from the stress state and
acceleration to failure is likely.
The framework for such viscoplastic models has been developed
particularly by Adachi and Okano (1974), Adachi et al. (1987) and by
Zienkiewicz et al. (1975) (who propose the use of an artificial viscoplas-
ticity as a solution technique in numerical analysis). This viscoplastic
approach is introduced here because there are many qualitative similari-
ties between experimentally observed effects of cyclic loading and effects
of creep, and obviously the sarne soil model should be relevant in all
situations. However, it is not clear whether the introduction of viscous
soil properties is actually the best way of describing the hysteretic
response of soils: plasticity also leads to hysteresis, energy dissipation
and material damping but in a way which is not dependent on
frequency. It is clear that some soils do have constitutive characteristics
with a truly viscous component, but it is also clear that many soils,
particularly cohesionless ones, do not, and for these soils the attempt to
select quasiviscoelastic or viscoplastic properties may lead to misleading
predictions of prototype phenomena.
2.3.3 Damage models
The term 'damage' is borrowed from the extensive literature on the
fatigue of engineering materials, where the remaining strength of a
material has been lowered as a result of repeated application of a load,
42 CYCLIC LOADING OF SOILS
or combination of loads, which would not on its own lead to failure of
the material. The material is cumulatively damaged by the repeated
loading. ln soil mechanics the most obviously damaging aspect of
repeated loading may be build-up of pore pressure leading to reduction
in effective stress and hence available strength. Such damage need not
necessarily be permanent-dissipation of the pore pressure may leave
the soil in a stronger condition than it was originally. Progressive
build-up of volumetric strain under repeated loading might also be used
as a 'damage' parameter, but progressive densification of a soil is likely
to be entirely beneficial to its subsequent response.
Experimental observations show that the behaviour of soil under
cyclic loading is controlled by effective stresses. Knowledge of effective
stresses requires knowledge of pore pressures which may have been
generated as a result of the cyclic loading. Models which are successful
for the prediction of the response of soils to static loading may not be
particularly satisfactory for predicting this pore pressure generation, but
if some other route can be found for estimating the current pore
pressure then the static model, with proper allowance made for the
current effective stress level, may be adequate for predicting incremental
response even under cyclic loading. The estimation of the pore pressure
is then taken out of the stress-strain relationship and the pore pressure
is treated as a 'damage' parameter whose variation has to be deduced
from some experimental programme.
A 'damage' model for the behaviour of saturated sand under repeated
undrained loading of possibly variable amplitude is described by Finn
(1988). The soil is treated as incrementally isotropic and elastic, but the
elasticity is non-linear. It is assumed that the distortional stress-strain
response on initial loading can be described by the hyperbolic relation-
ship:
MODELLING THE CYCLIC STRESS-STRAIN RESPONSE 43
Such an assumption readily introduces hysteresis into the cyclic re-
sponse, but always leads to closed cyclic stress-strain relationships
(Figure 2.10a).
Both the shear modulus G max in eqns (2.45) and (2.46) and the bulk
modulus depend on the current value of mean effective stress p 1 :
Gmax = <XcP.(p'/Pa)nc (2.47)
(2.48)
where P. is atmospheric pressure and cxc, cxK, nc (typically nc is found
experimentally to be approximately 0.5), and n K are experimentally
determined soil parameters.
The damage element enters into the determination of the current
value_ of p'. This is deduced indirectly from the hypothesis proposed by
Martm et al. (1975) that the changes in pore pressure Liu that develop in
a saturated sand under cyclic shear strains of amplitude Li y are related
to the volumetric strain increments Liepd that occur in the sarne sand
under drained conditions with the sarne history of shear strain. Data of
Liepd are obtained from simple shear tests, and the link between Lie
and Liu requires a one-dimensional unloading stiffness E 0 for the sandt
Liu/Liepd = E0 (2.49)
where Eo should be related to the values of shear modulus G and bulk
modulus K appropriate to the current effective stress levei through:
Eo = K + 4G/3 (2.50)
0-3 lo per cycle

T = f(y) = GmaxY/[1 + (Gmax/Tmax)IYI] (2.44) &pc1

where G max is the initial maximum shear modulus ( at infinitesimally

small strains) and Tmax is the maximum shear stress attained at infinite
shear strain. On unloading and reloading from a point ( Yn rr) (where
the subscript r indicates a reversa! point, associated with a change from
loading to unloading, or from unloading to reloading, etc.) the response
is assumed to be given by the Masing rule so that:
(r - Tr)/2 = f[(y - Yr)/2] (2.45) a.
or 02 0.3%
t,.y
b.
(2.46)
2 Gmax ~igure 2.10 Masing ruk for _shear stress-shear strain relationship. (b) Accumulation of
1 + - - Ir - Yrl lfrecoverable volumetnc stram '1Epct under cycles of shear strain amplitude t.y. (After
2Tmax Martin et al., 1975.)
44 CYCLIC LOADING OF SOILS MODELLING THE CYCLIC STRESS-STRAIN RESPONSE 45
Experimental observations are studied to produce an empirical ex- (a) t-.a 1
pression for Ll E pd:
= C1(Lly - C2Epct) + C3Ep//(Lly + C4Epct)
n,
08 .\--~:..-- --- -
... ~

LlEpd (2.51)
It was found by Martin et al. (1975) that the volumetric strain increment
LlE pd in the simple shear apparatus is controlled by the amplitude ~f
cyclic shear strain Ll y and the current level of accumulated volumetnc
strain E pct and is largely independent of the current stress level (Figure
2.10b). The derived soil constants C 1, C2, C 3 , C 4 depend on the type
and relative density of the sand. Strictly, then, the damage parameter in
this model is the volumetric strain, since it is the volumetric strain that
is directly linked with the cyclic loading. The pare pressure and hence
the effective stresses have to change in arder that elastic volumetric
strains develop to satisfy the overall constant-volume undrained con-
straint.
This model must be regarded as a pragmatic attempt to incorporate
various features of observed soil behaviour rather than as a rigorous
constitutive model. The approach of linking drained simple shear data to
prediction of undrained response is likely to be most successful where
the predictions are made for an essentially one-dimensional system, for
example the response of a column of soil sediments to underlying
bedrock shaking. It is less likely to be successful for a thoroughly
three-dimensional prototype.
A second example of a damage model is provided by the 'damage'
extension of Cam clay which is presented by van Eekelen and Potts
(1978), based on a general theory for such damage models described by
van Eekelen (1977). The Cam clay model that they use is slightly
different in detail from that originally developed by Roscoe and Burland
(1968), adapted to give a reasonable fit to the results of monotonic tests
on Drammen clay. ln stress-controlled cyclic loading, as seen in section
2.2.2, the effective stress path does not come into contact with the yield
locus after the initial loading and so the elastic-plastic model has little
role to play except under conditions of variable-amplitude cycling where
yielding may once again occur. The model then becomes a pair of
statements about the consequences of the cyclic loading, and the
'damage' concept enters because the amplitude of the cyclic loading is
defined in terms of effective stresses so that the current value of pare
pressure is crucial.
One of these statements links the increase in pare pressure per cycle
( du/dN) with the normalised cyclic effective stress amplitude Llan 1
(Figure 2.lla):
dujdN = A exp (Llan 1/B) for Llan 1 > C (2.52)
du/dN = O for Llanl < C (2.53)
., •----- ..
0-6
0-4
........ •
---.
.~--·---
~ -1 ••
0-2 ----------•-
s-~o---L-_-;:;8--'-_-:::5___JL__-4--':--'---_-±2-J__....lo___J_
ln(du/dN)
(b)
o
Figure 2.11 (a) Development of excess pore pressure (du/dN) with normalised cyclic stress
levei i\.anl· (b) Development of cyclic shear strain t-.Eqc with normalised cyclic stress levei
t-.an2· (After van Eekelen and Potts, 1978.)
where A, B, C are soil constants. The normalised stress amplitude Llan 1
is defined to take account of the nature of the stress path that is being
applied, and of the proximity to an appropriate undrained failure state
at each end of the cycle. This makes allowance for the experimental
observation that failure conditions in triaxial compression, plane strain,
and triaxial extension are governed by a Mohr-Coulomb criterion but
with-it is assumed by van Eekelen and Potts-a mean effective stress
at the critica! state independent of the nature of the test. The shape of
the Cam clay yield surface is adjusted in arder to achieve this general-
ised critical-state condition.
The second statement then describes the development of strains in
cyclic loading and links a current cyclic distortional strain amplitude
LlEqc with a different normalised cyclic effective stress amplitude Llan 2 .
The definition of Llan2 is rather elaborate and differs from Llan 1 partly in
that it depends on the failure states appropriate to the current mean
effective stress (rather than the current specific volume), but again takes
account of the nature of the actual stress states that are reached at the
extremes of a cycle, and through its definition brings together data from
triaxial compression, triaxial extension and simple shear tests into a
46 CYCLIC LOADING OF SOILS
single picture (Figure 2.11 b). Any given stress-controlled test will follow
outwards along the average relationship shown in Figure 2. ll(b) because
the pore pressure builds up steadily so that the normalised cyclic
effective stress amplitude increases. (Evidently, as presented, this model
contains a presumption that the stress changes are such that pore
pressures are expected to increase: this was an appropriate presumption
for the Drammen clay being modelled by van Eekelen and Potts but
might be less appropriate for a very heavily overconsolidated clay for
which negative pore pressures would be associated with undrained
shearing.)
These damage models must be regarded as at best rather ad hoc
attempts to improve the prediction of deformations under conditions of
cyclic loading. This second model, in which damage is tied to cycles of
loading, will be useful for situations-such as the foundation loading of
offshore platforms for which it was intended-where the cyclic loading
consists of very large numbers of cycles which, for much of the time,
can be regarded as having a rather steady amplitude so that treatment in
terms of batches of cycles is reasonably plausible. Treatment of cycles of
varying amplitude in terms of a single equivalent amplitude of cyclic
loading may sound attractive in principle, but the transformation to the
equivalent amplitude may in practice be without strong empirical
support.
2.3.4 Generalised stress reversai
The models that have been discussed so far have concentrated on the
effects of cyclic loading, and although some of them may be based on a
more or less rigorous underlying constitutive framework they have
contained the implicit assumption that there is something particular and
special about cyclic loading. ln fact, so far as any particular element of
soil is concerned, at any moment it can have no advance knowledge of
what the future holds-whether the loading will be fast or slow, whether
the stress changes that it is about to experience will be the sarne as
those it has just experienced. Logically, then, cyclic loading should be
treated no differently from any other form of loading and thus the
requirement is for a constitutive model based on effective stresses which
is able to describe the responses that are seen on a range of stress paths
which include those implied in a cyclic loading situation. Only by using
such a model to describe each element of soil in a numerical analysis
will it be possible to take account of the redistributions of stress that
occur constantly around a geotechnical structure as the local soil
stiffnesses change with the changing effective stress states. Whether it
will actually be feasible to step through time at a sufficiently slow
MODELLING THE CYCLIC STRESS-STRAIN RESPONSE 47
incremental rate in the numerical analysis for this constant updating of
properties to be economic, particularly where the loading involves large
numbers of cycles-as in traffic or offshore loading, compared with the
more _transient cyclic loading resulting from an earthquake-is a sep-
arate 1ssue.
The component that needs to be introduced into the constitutive
models, as evidenced by the experimental data of Figure 2.3, is a way
for the incremental stiffness of the soil to fall on any path after a comer
in stress space. The observation from cycles of undrained triaxial
compression in Figure 2.3 can be generalised to other paths with
comers. Figure 2.12 (a and c) shows sets of constant mean effective
stress deviatoric stress paths which have been applied to sets of identical
samples of kaolin (Wood, 1974) and of Leighton Buzzard sand (Alawaji
et al., 1990) respectively in true triaxial apparatus. The resulting
stress-strain responses (plotted in terms of generalised change in
distortional stress and distortional strain) are shown in Figure 2.12 (b
and d). On all paths the stiffness falls steadily, but where the comer is
slight the stiffness is already low. Sharp yield points are not seen on the
stress-strain curves. An ability to model the types of response illustrated
in Figure 2.12 will clearly prove useful in describing response to cyclic
loading as more conventionally understood: cyclic loading consists of a
stress path with many comers, each of which produces a complete
switch of direction of stress increment.
2.3.5 Complete effective stress models
The elastic-plastic models described in section 2.2 are of course
'complete': they fit into category (a) and can be used to make
statements about the response of soils to all imaginable changes of stress
and strain. They are not, however, particularly intended to be used for
describing the response of soils to cyclic loading. The damage models
that have been described in section 2.3.3 are designed to be used
precisely for describing cyclic soil response, but they hover rather
uneasily within the hierarchy of models presented in section 2.1.2. The
model described by Martin et al. (1975) is probably category (ó); the
model described by van Eekelen and Potts (1978) may, with appropriate
generalisation, be nearer category ( a) but, by deliberately setting out to
model soil behaviour under large numbers of cycles of similar am-
plitude, it avoids the need to consider the mechanism by which pore
pressures are steadily generated, and is not going to be appropriate for
describing the response to slow cycles of variable-amplitude drained
loading-which is also controlled by the effective stress changes in the
soil: perhaps it should be classified as a (quasi e)?
 MODELLING THE CYCLIC STRESS-STRAIN RESPONSE 49
CYCLIC LOADING OF SOILS
48

-4
change of stiffness associated with passage of the stress state through a
150 kPa 3
/ yield surface is eliminated by making the stiffness fall steadily from a
stres / high (elastic) value at a point in the deep interior of the yield surface to
the low (plastic) value when the stress state reaches the yield surface.
/ The response for stress changes inside the yield surface is no longer
2 100
/ elastic, and the yield surface is accordingly rechristened the bounding
/, ~ surface.
ln isotropic hardening models the yield surface expands to accommo-
__, date stress states that lie beyond the current yield surface, and the size
of the elastic region correspondingly grows. Stress states beyond the
,
,, /
current yield surface can alternatively be accommodated by translation
,, ,, /
of the yield surface without change in size: this is described as kinematic
,/
,'/ hardening. The particular form of kinematic hardening model described
3 4
ºo 5 10 15% in outline in section 2.3.5.2 introduces a series of yield surfaces of
a. b. strain different sizes which translate and jostle for position in stress space
according to a definite rule. The stiffness associated with any particular
change in stress then depends on how many of these nested yield
surfaces have to translate to accommodate the new state of stress.
The 'bubble' model introduced in section 2.3.5.3 combines features of
isotropic hardening, kinematic hardening, and bounding surface plasti-
3 city. A small kinematic yield locus moves around with the current stress
state-this bounds a small region of truly elastic response. However, the
stiffness associated with changes in effective stress which require this
kinematic yield surface to translate depends on the proximity to an
outer bounding surface. Both the bounding surface and the yield surface
change in size according to a hardening rule. For this particular model
---1
this aspect of isotropic hardening is linked only with volumetric defor-
mation and the model degenerates to Cam clay under monotonic
5 loading.
/

e. ct. 00 2% Finally, in section 2.3.5.4 a class of models within a framework called

strain
Figure 2.12 (a) Deviatoric stress paths (OX~, OX2, OX3, OX4) applied to samples of
spestone kaolin with response (b) from pomt X (01, 02, 03 = 193.3, 150, 106.7 kPa
respectively) (Data from Wood, 1974.) (c)_Deviatoric st~ess paths (ACDl, AC_D2, ACD3,
ACD4, ACD5) applied to samples of medmm-dense Le1ghton Buzzard sand w1th r_~sponse
(d) from point D (o1 , o 2 , o 3 = 53.8, 34.5, 15.2kP~ respectively). (From_ Ala~aJI et ai.,
1989.) Stress = Jength of deviatoric stress path; stram = length of devia tone stram path •
Four different but related models are described in this section. These
models-or classes of model-all try to encapsulate the experimentally
observed response of soil to changes in the direction of the stress ~ath,
irrespective of whether these stress paths are imposed slowly or rap1dly,
with or without drainage being allowed. These are models in the ( a:3) or
(a:4) category.
ln bounding surface plasticity models (section 2.3.5.1) the sudden
generalised plasticity is described. Plastic strains are assumed to occur
all the time but a loading surface is introduced in arder to distinguish
loading processes from unloading processes. Separate plastic potentials
(flow rules) and hardening rules (which now become generalised tangent
stiffnesses) are defined for loading and unloading. Clearly a lot of
mathematical freedom is being introduced in arder to enable as many
different aspects as possible of experimentally observed behaviour of
soils to be reproduced. This model may be regarded as teetering on the
boundary between categories ( a:3) and ( a:4)-mathematical freedom is
perhaps being obtained at the expense of physical feel for the nature of
the response.
2.3.5.1 Bounding surface plasticity. Bounding surface plasticity models
represent a natural extension from conventional elastic-plastic models in
50 CYCLIC LOADING OF SOILS
MODELLING THE CYCLIC STRESS-STRAIN RESPONSE 51
order both to smooth out the changes in stiffness that are associated The Macaulay brackets ( ) again signify that the quantity within the
with passage through an assumed yield point (experimental observations brackets is only to be evaluated if it is positive. The repeated subscript
rarely show sharply defined evidence of the occurrence of yielding) and in the tensor product nk1 da kt and elsewhere in this section indicates that
also to generate a hysteretic response on cycles of unloading and this product is to be summed for all possible values of the subscripts
reloading. The application of bounding surface plasticity to the genera- (each can take the values 1, 2, 3). The plastic hardening modulus H will
tion of constitutive models for soils is described by Dafalias and be defined subsequently.
Herrmann (1982) and by Bardet (1986) among others. A bounding ln eqn (2.55) m;J is the unit vector normal to the plastic potential
surface model will be described for general states of stress and strain; g( a;) at the image stress:
examples of the predictive capabilities of a bounding plasticity extension
of Cam clay will be shown for axially symmetric states of stress,
(2.56)
accessible in a conventional triaxial apparatus.
The soil is assumed to have elastic properties which can be defined with:
just as for Cam clay in terms of a shear modulus and bulk modulus if
isotropic elasticity is reckoned to suffice. The yield surface of a
(2.57)
conventional elastic-plastic model is now termed a bounding surface; it
is no longer the boundary between elastic and plastic deformations but
nk1 is similarly the unit vector normal to the bounding surface f ( a;J, x)
exercises a mathematical control over the response. For a stress state a;J
at the image stress:
and image point ã;J on the bounding surface f(ã;J, x) (where x indicates
the current size of the bounding surface) is defined by a radial mapping
rule from a projection origin ~ (Figure 2.13): (2.58)

f(ã;J, x) = O; (a;J - ct;;) = a(ã;J - ct;;) (2.54) with:

where a is a proportionality factor. lt may be convenient to take ~ at
the origin of stress (~=O), but this is not necessary. The plastic
component of strain occurring at the stress state a;J is then related to the
plastic component of strain that would occur at the image stress ã;J in an
elastic-plastic model, but modified by an amount which depends on the
distance between the stress state and the image stress. The plastic strain
can then be written:
(2.55)
o
a _ ( ~ 3f )1/2 (2.59)
f - ªªif ªªif
There is an implication that a stress change that is directed inwards,
from a surface through the current stress state geometrically similar to
the bounding surface (shown as a dashed line in Figure 2.13), will
produce only elastic deformations.
The calculation of the plastic strain is governed by the condition that,
if the stress state lies on the bounding surface, then the plastic strain is
the sarne as that obtained from a conventional elastic-plastic model with
the bounding surface as yield surface. The first step is to define an
increment of image stress dã;J which is related to the actual stress
increment da;J by:

(2.60)

H b describes the hardening that occurs when the current stress is on the
bounding surface.
The consistency condition requires that the image stress should
continue to lie on the bounding surface as it changes in size, that is:
Figure 2.13 Bounding surface f (solid), loading surface (dashed) and plastic potential 3f _ 3f
surface g (dotted) instress space.
- - da 1 +- dx = o (2.61)
ªªiJ ' 0x
52 CYCLIC LOADING OF SOILS MODELLING THE CYCLIC STRESS-STRAIN RESPONSE 53

or ratio 1J = q/p'. The size of the bounding surface is assumed to depend

only on plastic volumetric strains-as in Cam clay-so that x is a
(2.62) reference stress on the bounding surface. ln this case, eqn (2.36)
becomes;
The change in size of the bounding surface dx is linked to the amount of
plastic strain occurring through a hardening relationship (analogous to dx = -dx- de r (2.68)
de p P P
eqn 2.5):
and the form of eqn (2.68) follows the volumetric hardening relationship
dx =-
ax de/ (2.63) of Cam clay (eqn 2.10). lt remains only to specify the hardening
êle/ modulus H: its character can be discussed with reference to a form
Combination of eqns (2.63), (2.55), (2.56) and (2.62) then produces the which closely matches the expressions used in Cam clay (Bardet's actual
expression for H b: functions are a little more complex). Then:
(M 2 - 17 2 )M 2
Po__
_l_ -~- ~ - ~
H -----'-------'-.:_______
Hb =- (2.64)
b - [(M2 - 172)2 + 4172] (í\,* - K*)
(2.69)
ªtªg êlx êle/ Ôa;J
The actual hardening modulus H in eqn (2.55) is made dependent on and H b changes sign when the stress ratio 1J passes through the criticai
{3, the distance between the current stress and the image stress: state value M, implying a change from hardening to softening. The
proposed form for H is then:
{3 = [(ã;1 - a;1)(ã;1 - a;1)]112 (2.65)
1
as compared with the maximum value that {3 can take, /3max: H = Hb +---- (2.70)
í\,* - K*
/3max = [(ã;J - o1J)(ã;J - o1J)]l/2 (2.66) where h 0 is a material constant and 1Jp represents a peak value of stress
The function H({3/f3max) is required to satisfy the conditions: ratio 1J. The equation of the Cam clay ellipse can be used to generate an
expression for {3/(f3max - /3):
H = + 00 for /3 ~ f3max and H = H b for /3 = O (2.67)
{3 M2 Po
These conditions ensure predominantly elastic response when the cur- ----•--1 (2.71)
/3max - /3 M2 + 11 p'
2
rent stress is a long way from the boundary surface, and also ensure that
the consistency condition (eqn 2.61) is satisfied when the stress state Clearly as f3- f3max and p' - O, H - ao and the response becomes
reaches the bounding surface. The choice of function H is a matter of purely elastic. As f3- O, H - H b and the pure Cam clay plastic
personal preference, and this, together with the specification of the response is recovered. The term p' ( ( 1Jp - 17)/M) is introduced into eqn
bounding surface function f, plastic potential function g and hardening (2. 70) in order to allow for strain softening. The term H b < O for
relationship (eqn 2.63), and selection of the projection origin o1J, 1J > M, whereas ( 1Jp - 17)/ M > O but falls as 11- 1Jp· A peak stress state
constitute the basic ingredients of the bounding surface model. will occur when H = O, in other words when the positive contribution of
Some of the patterns of response that can be produced by a bounding the second term in eqn (2.70) just balances the negative contribution of
surface model can be described using a model with the particular choices H b. This will occur for stress states with 1Jp > 1J > M; hence the
of functions assumed by Bardet (1986). He assumes associated flow with high-stress-ratio section of the bounding surface with 1J > 1Jp can never
f = g, and with the bounding surface given by an elliptical shape in the be reached. Because H b < O for 1J > M, the bounding surface begins to
p' :q effective stress plane, closely similar to that of the Cam clay yield shrink in size for stress increments with 1J > M and eventually tests
locus (section 2.2.2) but with a modification to allow the model to take reach criticai state failure with stress states on the bounding surface with
account of different ratios q/p' mobilised at failure in compression and 1J = M and H = Hb = O.
extension (and for other non-axisymmetric combinations of principal The response of this bounding surface model in drained and un-
stresses) and also to allow the bounding surface not to pass through the drained cyclic triaxial tests, with parameters chosen to match the
origin if desired. The projection origin o1J is taken as the stress origin, so response of Fuji River sand (in tests reported by Tatsuoka and Ishihara,
that the current stress and the image stress always have the sarne stress 1974) is shown in Figure 2.14 adapted from Bardet (1986).
54 CYCLIC LOADING OF SOILS MODELLING THE CYCLIC STRESS-STRAIN RESPONSE 55

q q

p' Eq
-1
a. b. a. b.

Figure 2.15 Possible ratcheting: build-up of permanent deformation (b) in small cycles
dose to bounding surface (a).
q kPa kPa q

50 small changes in stress after a change in stress path direction: kinematic

hardening models allow this character of response to be reproduced.
The ideas of kinematic hardening were developed by lwan (1967) and
-4% -3 Eq
- Mróz (1967)-the latter being a seminal reference for this class of
model. Kinematic hardening models for soils, with multiple, nested,
translating yield surfaces, have been developed by, for example, Prévost
(1977), Prévost and Griffiths (1988) and Mróz et al. (1979) among
e. d.
others.
Figure 2.14 Response of bounding surface model to (a, b) drained cyclic loading and The idea of these nested yield surface kinematic hardening models can
(e, d) undrained cyclic loading. (After Bardet, 1986.) be introduced with the aid of a one-dimensional model consisting of a
series of parallel spring and slider elements (Figure 2.16a). Each of the
springs has the sarne stiffness k, but the sliders have a rigid, perfectly
ln the form described here some comments can be made about the plastic response (Figure 2. 7b) with sliding loads Y where Y 2 = y,
response of this type of bounding surface model. From eqn (2.55), stress
increments heading inwards from the bounding surface with n;j da;j < O
will produce purely elastic deformations. When plastic deformations do
occur at a particular stress state, their magnitude is not affected by the
route by which that stress state was reached. There is thus a tendency to
produce very open stress-strain relationships (Figure 2.15) and a
tendency to ratcheting-rapid generation of large irrecoverable strains in
small cycles of loading near the bounding surface. The reversa! of
direction of a stress path does not necessarily produce the increase in
stiffness that is a feature of most experimental observations. Other
ô
variants of bounding surface models can be generated which overcome
this general criticism, for example the 'bubble' model of section 2.3.5.3.

2.3.5.2 Kinematic hardening. ln an isotropic hardening model such as

Cam clay, the yield surface expands uniformly with plastic deformation, a.
so that the size of the elastic region, controlled by the maximum stresses
that have been applied, becomes very large. Experimental observations Figure 2.16 (a) Series of parallel spring and slider elements and (b) response in cycles of
show that truly elastic response is probably only associated with rather loading.
56 CYCLIC LOADING OF SOILS MODELLING THE CYCLIC STRESS-STRAIN RESPONSE 57

Y 3 = 2y, Y4 = 3y. As the load P is increased from zero, initially only

spring 1 is able to deform and the load-deformation response has
stiffness k (Figure 2.16b). When P = y, however, slider 2 slides and
spring 2 is able to deform: the incremental stiffness is now k/2 (Figure
2.16b). When P = 2y, slider 3 slides, spring 3 deforms and the stiffness
drops to k/3; similarly when P = 3 y, the stiffness drops to k/4 as slider
4 slides. If the load is reduced from P = 3 y, then all the sliders lock up
and only spring 1 is able to deform with total stiffness k until the load
has changed by 2y so that slider 2 is being pulled so much in the
opposite direction that it is no longer able to resist the locked-in spring
force of 2y. As the load is further reduced the other sliders come into
action successively. The unloading response is thus identical to the initial
loading response but at twice the scale (Figure 2.16b). [This is the sarne
as the Masing rule used to establish the relationship between initial
loading and unloading response for the damage model described by Finn
(1988) and summarised in section 2.3.3.] If, when the load has reached
- 3 y, the direction of loading is again reversed, then a similar reloading
response will be observed, rejoining the original loading response at
P = 2y. ln fact, whenever the direction of loading is changed all the
sliders lock up and only spring 1 is able to deform, so that a high
stiffness is obtained which falis with continued loading in the sarne
direction; some small cycles of loading are shown in Figure 2.16(b). The
general character of response in Figure 2.16(b) has similarities to the
observed response of soil samples under cycles of, for example, un-
drained loading and unloading.
The generalisation of a one-dimensional slider is a yield surface, and
in the kinematic hardening soil model the sliders of progressively higher
sliding loads are replaced by yield surfaces of progressively larger sizes.
A series of yield loci is shown in the p': q effective stress plane in Figure
2.17. A stress path will meet successive members of this series of yield
surfaces, and drag them with it as it traverses stress space, as shown in
Figure 2.17(a, b, and c). The decreasing incremental stiffnesses associ-
ated with increasing numbers of springs operating in series in the
one-dimensional model are replaced by steadily reducing incremental
stiffnesses associated with the regions of effective stress space between
the yield surfaces-fields of hardening moduli introduced by Mróz
(1967). Then, as more yield surfaces are being dragged along by the
stress path, so the incremental stiffness falis. The effect is shown
schematically in Figure 2.17( c and d) where the stress-strain responses
to triaxial compression CB and triaxial extension CD after a stress
history ABC are compared. Path CB retreats inside the smallest yield
locus and therefore is associated with a high initial stiffness. Path CD
continues in the sarne direction as the previous path BC, and is
associated with a low initial stiffness. Clearly, the stiffness increases
p'
a
q
p'
b.
q
p'
e. D d.
Figure 2.17 (a) Initial position of nested yield loci. (b) Position of yield loci after stress
path AB. (e) Position of yield loci after stress path ABC. (d) Anisotropic response
revealed on stress paths CB and CD.
whenever the stress path changes direction dramatically, and the current
distribution of yield surfaces is able to store quite elaborate information
concerning the history of loading of the soil.
Conversion of the qualitative model shown in Figure 2.17 to a
quantitative model requires assumptions about the way in which the
yield surfaces change in size and translate on any particular stress
increment. 1t is desirable that translation should allow yield surfaces to
touch but not to intersect. lt is convenient to assume that all the nesting
yield surfaces have the sarne shape: the non-intersection requirement
then becomes a translation rule that the yield surface must move in the
?irection of the vector fJ which joins the current stress state a;1 with the
1mage stress state ã;1 which has the sarne geometrical position on the
next yield surface (Figure 2.18). However, some care is necessary in
setting up the equations because in general the yield surfaces will change
in size at the sarne time as they translate (Hashiguchi, 1986)-isotropic
and kinematic hardening occur simultaneously.
 58 CYCLIC LOADING OF SOILS
o Other ingredients are also required: Prévost and Griffiths assume
Figure 2.18 Translation rule for nested yield loci.
A kinematic hardening model in which 10 nesting yield surfaces are
introduced is described by Prévost and Griffiths (1988). These authors
use yield surfaces which are cones in principal stress space with a
common apex (which may or may not coincide with the stress origin). ln
deviatoric (constant mean stress) planes the cones all project as non-con-
centric circles. The initial positions and sizes of the yield surfaces are
chosen by inspecting data from comparable triaxial compression and
extension tests (for example, undrained tests, or drained tests at
constant mean effective stress). Broadly, the stress-strain responses in
compression and extension are divided into segments, approximated by
lines of chosen stiffnesses, which decrease progressively from the initial
high stiffness at low deformation to zero stiffness at high deformation or
failure. Each successive yield surface then spans between stress states in
compression and extension at which the stiffness is the sarne (Figure
2.19). This initial distribution of yield surfaces neatly incorporates
statements about initial anisotropy (and implied stress history) which
will then control the changing stiffness along any subsequent stress path.
q
a. b.
Figure 2.19 (a) Stress-strain relationships for undrained triaxial compression and extension
of Drammen clay. (b) Deduced initial positions of nested deviatoric yield loci. (After
Prévost and Hughes, 1978.)
MODELLING THE CYCLIC STRESS-STRAIN RESPONSE 59
deviatoric normality of plastic strain increment vectors, but a non-associ-
ated flow is assumed to govern the link between volumetric and
distortional effects. ln order to allow volumetric strains to occur under
isotropic compression ( ôa 1 = ôa2 = ôaD an innermost yield surface of
zero dimension, located at the current stress state, is assumed-move-
ment of this yield surface is accompanied only by volumetric plastic
strains.
A great deal of initial anisotropic information can be included in the
choice of positions and sizes of 10 yield surfaces, and a lot of detail of
stress history can be memorised by the model. The penalty for these
advantages lies in the fact that, in a numerical analysis using the finite
element method, for example, all this information has to be stored for
every discretised point in the soil continuum.
2.3.5.3 'Bubble' model. An intermediate position between such a multi-
surface model, with its ability to retain much detail, and a bounding
surface model as described in section 2.3.5.1 is provided by a two-sur-
face model in which one inner yield surface is used to bound a region of
stress space of high stiffness, and hence to store some information
concerning past stress changes, and an interpolation function is used to
produce a steadily decreasing stiffness as the outer yield surface is
approached ( a replacement for the steady stepwise decrease in stiffness
implied in the multisurface model). Such a 'bubble' model has been
presented by Al-Tabbaa (1987) and Al-Tabbaa and Wood (1989) and
will be briefly described here.
This model was conceived as a kinematic extension to the Cam clay
model (section 2.2.2), and the behaviour of the model for states of
stress which are pushing out the outer yield surface-which is assumed
to be identical to the Cam clay elliptical yield surface-is just the sarne
as that predicted by Cam clay. For simplicity, the model is developed
only for the axially symmetric conditions of the triaxial test because it is
data from triaxial experiments that have been used to guide the choice
of model parameters.
The Cam clay model assumes that the soil has yield loci, of size
controlled by pó, which are elliptical in the p':q effective stress plane
(cf. eqn 2.9):
f = (p' - pó/2) 2 + (q/M) 2 - (pó/2) 2 = O (2.72)
An inner yield surface Íi = O which bounds the truly elastic region is
now introduced. This has the sarne shape as the Cam clay yield surface
f = O (which now becomes an outer yield surface, so that this model has
just two nested yield surfaces as opposed, for example, to the six nested
surfaces shown in Figure 2.19) with ratio of sizes R and centre at
60 CYCLIC LOADING OF SOILS MODELLING THE CYCLIC STRESS-STRAIN RESPONSE 61

(p~, q a:) (Figure 2.20): and the scalar S is found by substituting eqn (2.78) into eqn (2.74) (with
eqn 2.76):
Íi = (p' - p~) 2 + [(q - q a:)/M]2 - (Rpó/2) 2 = O (2.73)
S = (p' - p~)[c5p' - (c5pó/pó)p'] + [(q - qa:)/M 2 ][c5q - (c5pó/pó)q]
When the soil is yielding, a consistency condition can be generated from
(p' - p~)[(p' - p~)/R - (p' - pó/2)] + [(q - qa:)/M 2 ][(q - qa:)R - q]
differentiation of Íi, ensuring that the changes in q, p', q ,,, p ~' pó are
consistent with the stress state remaining on the shifting innner yield (2.79)
surface:
Clearly, then, for a given stress increment ( ôp', ôq) the translation
(q q) R 2 p'ôp' ( ôp ~, ôq a:) can be found once Dpó is fixed.
(p 1 - p ~) ( ô p 1 - ôp ~) + - 2 a: ( ôq - ôq a:) - o o =o
M 4 As in the Cam clay model of section 2.2.2 the hardening rule links
(2.74) ôp 0 with the plastic volumetric strain:

Because of the geometric similarity of the inner and outer yield (2.80)
surfaces, the coordinates (p[, qi) of the image point on the outer yield Plastic strain increments are assumed to be normal to the inner yield
surface, having the sarne geometric position as the current stress state surface at the current stress state, and this 'bubble' model degenerates
(p', q) on the inner yield surface, are given by the equations: to Cam clay when the yielding is occurring with the inner and outer
(p', q) - (p~, qa:) = R[(p[, qi) - (pó/2, O)] (2.75) yield surfaces in contact at the current stress state. After some manipu-
lation the expression for the plastic strain increments can be obtained:
The vector fJ which contrais the direction of translation of the inner
yield surface is then:
[&/]
&/
=
fJ = [(p' - p~)/R - (p' - pó/2), (q -qa:)/R - q] (2.76)
[(
Ji.*
-
K* h (
1
p - Pa:
1 )2
)/ ][ (p' - p~)(q - qa:)/M2
(p' - p~)(q - qa:)/M ][ôp']
[(q - qa:)/M 2 ]2
2

ln general, in this model, stress increments which cause translation of
the inner yield surface will also lead to some plastic hardening (or
softening) and hence incre ase (or decrease) in the size of the inner and
outer yield surfaces. When the two surfaces are in contact, fJ = O, then
this change in size causes the centre of the inner yield surface to move
and is the only movement that can occur:
(ôp~, ôqa:) = (Dpó/pó)(p~, qa:)
The complete translation rule then requires that
(ôp~, ôqa:) = (Dpó/pó)(p~, qa:) +
q unlimited plastic strains occur at four singularity points, where h = O,
p~
p'
Figure 2.20 'Bubble' extension of Cam clay: inner yield locus centre (p;,, qa:) size Rp;·
ôq
(2.81)
where h is a hardening function-somewhat analogous to Hb in eqn
(2.55). This hardening function is formed of two parts:
h = h + H = (p' - p~)[p'(p' - p~) + q(q - qa:)/M 2] + H
0
(2.77)
(2.82)
where H is a function of separation of the inner and outer yield surfaces
SfJ (2.78) which falls to zero when the two surfaces are in contact at the current
stress state. The first part h0 ensures Cam clay response on monotonic
loading, but it is not satisfactory merely to set H = O because then
illustrated in Figure 2.20. Two points, g 1 and g 2 in Figure 2.20, lie at
the top and bottom of the yield surface with p' = p~; the other two
points lie at points g 3 and g 4 where straight lines from the origin touch
the yield surface. The vector (p', q) is then perpendicular to the normal
to the yield surface which has the direction [(p' - p~), (q - qa:)/M 2 ].
With H = O the edge of the yield surface would be divided into four
regions as marked in Figure 2.20: two stable regions (g 1 g 4 and g 2 g 3 ) in
which increase of distortional strain ( &/ > O) is associated with in-
crease in distortional stress (ôq > O), and two unstable regions (g 1 g 3 and
62 CYCLIC LOADING OF SOILS MODELLING THE CYCLIC STRESS-STRAIN RESPONSE 63

g 4 g 2 ) in which increase of distortional strain ( &/ > O) is associated

with decrease in distortional stress ( ôq < O). Experimental results show
typically that behaviour is everywhere stable for q/p' < M-and the 05 05
addition of the extra term H helps to ensure this. q;p' q/p'
Hashiguchi (1985) suggests that H should be a monotonic function of
the degree of approach of the inner and outer surfaces, measured by the
resolved component of the vector fJ in the direction of the normal to the
inner yield surface at the current stress point (Figure 2.18). This
distance b is:

b = (p' - p~)[(p' - p~)/R - (p' - pó/2)] + [(q - q")/M 2 ][(q - q")/R - q] -0-5
{(p' _ p~)2 + [(q _ q")/M2]2}1/2
(a) {b)
(2.83)
The distance b has to be normalised with respect to its maximum Figure 2.21 Response of 'bubble' extension of Cam clay to drained cycles of loading at
constant mean effective stress. (After Al-Tabbaa, 1987.)
possible value bmax· lt is convenient to work in a (p', q/M) plane-
which then forces elliptical yield surfaces to be circular-because there is
then no ambiguity about the value of bmax:
Pastor and Zienkiewicz (1986). A slightly simplified exposition will be
bmax = PÓ(l - R) (2.84) given here.
The choice of a monotonic function H(b/bmax) is quite open subject Instead of a yield surface dividing stress space into elastic and plastic
to the constraint that it falls to zero when the inner and outer yield regions, a field of unit vectors n;1 is defined in order that unloading
surfaces are in contact at the current stress state: Al-Tabbaa (1987) uses processes (which are not necessarily elastic processes) and loading
processes can be distinguished. On a loading process:
(2.85)
3 n;1 da;jHL > O (2.86)
where 'ljJ is an additional soil parameter and the factor p 0 is introduced
to give dimensional consistency. and on an unloading process:
A typical example of the form of cyclic response computed using this
model is shown in Figure 2.21 taken from Al~ Tabbaa (1987). This is a
n;1 da;jHL < O (2.87)
computation for a series of drained cycles with increasing amplitude of The presence of the hardening modulus H L in these expressions allows
deviator stress !),,q applied at constant mean effective stress p' to a loading processes to be strain-softening ones (for which both HL and
sample of speswhite kaolin (with values of soil parameters chosen n;1 da;1 are negative).
accordingly). Instead of a plastic potential, two fields of unit vectors m/, m;t
are
defined, which specify the flow rules for loading and unloading proces-
2.3.5.4 Generalised plasticity. The term 'generalised plasticity' was in- ses respectively (but of course a plastic potential only enters into the
troduced by Zienkiewicz and Mróz (1984) in an attempt to provide a calculation of plastic strains through the direction of its normal). Then
basis for the formulation of general plastic models without the need to for loading:
think in terms of yield surfaces and plastic potentials-although the
models that emerge have ingredients of their own which are rather (2.88)
similar to these. Classical elastic-plastic models can be seen as special
cases of these generalised plasticity models, which in tum also have and for unloading:
close similarities with bounding surface plasticity models. Examples of
the application of generalised plasticity to the generation of models for (2.89)
the cyclic loading of sands are presented by Pastor et al. (1985) and
64 CYCLIC LOADING OF SOILS
where HL and Hu are plastic loading and unloading moduli. ln
addition some elastic properties may be specified.
Evidently, if Hu = oo and m/ = n;1, then the model reverts to
classical plasticity with associated flow. However, the framework allows
much more flexibility than such classical models are able to introduce.
For example, non-associated flow enables experimentally observed un-
drained effective stress paths for sands containing peaks to be repro-
duced; a non-infinite unloading modulus allows the possibility of plastic
deformations on unloading, and hence hysteresis on cycles of unloading
and reloading. The model described by Pastor et al. (1985) and Pastor
and Zienkiewicz (1986) is applied to computation of response of sand in
axisymmetric triaxial tests. For these tests stress states are defined in
terms of p' and q and strain increments in terms of ôEP and DEq. The
field of unit vectors n;1 distinguishing loading and unloading now just has
two components np, nq:
(np, nq) = (d1, 1)/(1 + d/) 1!2 (2.90)
where:
(2.91)
where o:1 and M1 are soil constants (M1 is made a function of relative
ratios of principal stresses so that, in particular, different responses in
compression and extension triaxial tests can be introduced).
The field of unit vectors defining the flow rule for loading processes is
defined similarly:
(2.92)
where:
(2.93)
and o:g, Mg are soil constants [which need not be identical to o:1 and M1
in eqn (2.91)]. This flow rule predicts zero rate of plastic volume change
whenever 17 = Mg, and this stress ratio will correspond to criticai state
(Roscoe et al., 1958), characteristic state (Luong, 1980), or phase
transformation (Ishihara et al., 1975).
(2.94)
The stress ratio:
(2.95)
defines a limiting condition at which the plastic modulus falis to zero.
The hardening parameter:
(2.96)
forces ultimate attainment of criticai state conditions with 17 = Mg
MODELLING THE CYCLIC STRESS-STRAIN RESPONSE 65
because the final component:
H q = f3o/3 1 exp ( - f3ol;) (2.97)
with:
(2.98)
becomes vanishingly small as the total length of the strain path í;
increases. H 0 , {30 , {3 1 are further soil constants.
For unloading, the flow rule is:
(mpu, mqu) = (-JdgJ, -1)/(1 + d/) 1/ 2 (2.99)
with dg defined as before (eqn 2.93). The plastic hardening modulus for
unloading processes is given by:
Hu = Hou(11u/Mg)-ru (2.100)
where 17u is the stress ratio from which unloading has taken place, and
H Ou and Yu are additional soil constants. The form of eqn (2.100)
acknowledges the experimental fact that the amount of plastic deforma-
tion that occurs on unloading depends on the proximity to failure
reached in the previous loading.
It is noted by Pastor et al. (1985) that the performance of the model is
strongly controlled by the ratio Mrf Mg, which affects the relative stress
ratios at peak failure and criticai state conditions-failure occurring at a
stress ratio greater than M1 according to eqn (2.95). Pastor et al. (1985)
suggest that a simple way of defining M1 is to set:
M1/Mg = /0 (2.101)
where I O is the relative density of the sand. It might, however, be more
appropriate - having established the link between model performance
and Mrf Mg-to allow this ratio to vary according to the current value of
state parameter of the sand, as defined by Been and Jefferies (1985).
An example of the complex form of undrained effective stress path
that can be predicted with this model for a cyclic triaxial compression
test on loose sand is shown in Figure 2.22(a), together with the
corresponding stress-strain relationship in Figure 2.22(b) (both taken
from Pastor et al., 1985). This detail of response has been obtained at
the expense of the introduction of a number of extra soil constants.
2.4 Concluding remarks
This survey of constitutive models for cyclic loading of soils has
inevitably been incomplete and partial: hardly an issue of a major
66 CYCLIC LOADING OF SOILS
q MPa
0-5
0-5MPa 10
Eq
a.
Figure 2.22 Response of generalised plasticity sand model to cycles of undrained loading.
(After Pastor et ai., 1985.)
geotechnical journal appears without some new model being launched-
either as a development from an existing model or as a completely new
venture. It has not been possible to mention all contenders for the ideal
model award here.
However, the basic message to be borne in mind is that it is only
expediency that separates category ( a-3), engineer's models, from categ-
ory (a-4), philosopher's models. A model to be chosen for a particular
application should be just sufficiently complex to perform well in that
application. Complexity all the time implies a larger number of soil
constants to characterise the material-and this has been evident in the
models that have been discussed. It is not possible to lay down precise
recommendations as to which model should be used in which situa-
tion - an engineer will need to consider all the details of the conse-
quences of failure, the nature of the loading, the life expectancy of the
structure in arder to reach an appropriate choice. Where large numbers
of cycles of low-intensity loading are expected then a viscoelastic model
may be adequate so long as the route to the selection of appropriate
viscoelastic parameters is considered carefully. For situations where the
return period of the loading is so long that it would be uneconomic to
insist that even rare events should be capable of consideration as
low-intensity loads, then it will be necessary to use one of the models
from section 2.3.5.
Judgement of adequacy of performance in any particular application is
not necessarily straightforward and will depend on the extent of the
database of soil element testing against which the model can be
compared before predictions for a prototype situation are made. The
fewer the available data the greater the extrapolation and the more
hazardous the exploration towards the unknown that the constitutive
modelling implies. These days, tests in which variation of all three
MODELLING THE CYCLIC STRESS-STRAIN RESPONSE 67
principal stresses, or controlled rotation of principal axes, is permitted
are moderately widely available. If predictions are to be made using a
complex model for a sensitive prototype- for which accurate prediction
of performance is essential because of the risk associated with any
error-then it would be foolish to rely on data from triaxial compression
tests alone. Such a statement is valid for monotonic loading, but
generalised stress reversai, of which cyclic loading is one form, in-
troduces extra experimentally observed phenomena which keep con-
°lo stitutive modellers in a state of permanent suspense and make this an
b. area in which further exciting developments can be expected in the
future.
References
Adachi, T., Oka, F. and Mimura, M. (1987) Mathematical structure of an overstress
elasto-viscoplastic model for clay. Soils and Foundations 27(3): 31-42.
Adachi, T. and Okano, M. (1974) A constitutive equation for normally consolidated clay.
Soils and Foundations 14(4): 55-73.
Alawaji, H., Alawi, M., Ko, H.-Y., Sture, S., Peters, J. F. and Wood, D. M. (1990)
Experimental observations of anisotropy in some stress controlled tests on dry sand. _In:
Yielding, Damage and Failure of Anisotropic Solids, ed. Boehler, J. P. Mechamcal
Engineering Publications, 251-264.
Al-Tabbaa, A. (1987) Permeability and stress-strain response of speswhite kaolin. PhD
thesis, Cambridge University.
Al-Tabbaa, A. and Wood, D. M. (1989) An experimentally based 'bubble' model for clay.
Numerical Models in Geomechanics NUMOG III, eds. Pietruszczak, S. and Pande,
G. N. Elsevier Applied Science, Amsterdam, 91-99.
Bardet, J. P. (1986) Modelling of sand behaviour with bounding surface plasticity.
Numerical Models in Geomechanics NUMOG II, eds. Pande, G. N. and Van Impe, W.
F. M. Jackson & Son, 79-90.
Been, K. and Jefferies, M. G. (1985) A state parameter for sands. Géotechnique 35(2):
99-112.
Boyce, J. R. (1980) A non-linear model for the elastic behaviour of granular materiais
under repeated loading. Proceedings of the International Symposium on Soils under
Cyclic and Transient Loading, Swansea, eds. Pande, G. N. and Zienkiewicz, O. C.,
A. A. Balkema, Rotterdam, 285-294.
Butterfield, R. (1979) A natural compression law for soils (an advance on e-log p').
Géotechnique 29( 4): 469-480.
Dafalias, Y. F. and Herrmann, L. R. (1982) Bounding surface formulation of soil
plasticity. Chapter 10 in: Soil Mechanics-Transient and Cyclic Loads, eds. Pande,
G. N. and Zienkiewicz, O. C. John Wiley & Sons, Chichester, 253-282.
van Eekelen, H. A. M. (1977) Single-parameter models for progressive weakening of soils
by cyclic loading. Géotechnique 27(3): 357-368.
van Eekelen, H. A. M. and Potts, D. M. (1978) The behaviour of Drammen clay under
cyclic loading. Géotechnique 28(2): 173-196. . .
Finn, W. D. L. (1988) Analysis of the response of soil-structure systems to cychc loadmg.
Proceedings on the Workshop of Constitutive Laws for the Analysis of Fill Retention
Structures, ed. Evgin, E. Department of Civil Engineering, University of Ottawa,
421-438.
Graham, J. and Houlsby, G. T. (1983) Elastic anisotropy of a natural clay. Géotechnique
33(2): 165-180.
68 CYCLIC LOADING OF SOILS MODELLING THE CYCLIC STRESS-STRAIN RESPONSE 69

Hashiguchi, K. (1985) Two- and three-surface models of plasticity. Proceedings of the 5th tions to geomechanics. Chapter 33 in: Mechanics of Engineering Materiais, eds. Desai,
/nternational Conference on Numerical Methods in Geomechanics, Nagoya, 285-292. C. S. and Gallagher, R. H. John Wiley & Sons, Chichester.
Hashiguchi, K. (1986) A mathematical description of elastoplastic deformation in normal- Zytynski, M., Randolph, M. F., Nova, R. and Wroth, C. P. (1978) On modelling the
yield and subyield states. Numerical Models in Geomechanics, NUMOG II, eds. Pande, unloading-reloading behaviour of soils. Int. J. Num. Anal. Methods Geomechanics 2:
G. N. and van Impe, W. F., M. Jackson & Son, 17-24. 87-94.
Ishihara, K., Tatsuoka, F. and Yasuda, S. (1975) Undrained deformation and liquefaction
of sand under cyclic stresses. Soils and Foundations 15(1): 29-44.
Iwan, W. D. (1967) On a class of models for the yielding behaviour of continuous and
composite systems. Trans. ASME, J. Appl. Mech. 34(E3): 612-617.
Luong, M. P. (1980) Stress-strain aspects of cohesionless soils under cyclic and transient
loading. Proceedings of the International Symposium on Soils under Cyclic and Transient
Loading, Swansea, eds. Pande, G. N. and Zienkiewicz, O. C., A. A. Balkema,
Rotterdam, 315-324.
Martin, G. R., Finn, W. D. L. and Seed, H. B. (1975) Fundamentais of liquefaction under
cyclic loading. Proc. ASCE 101(GT5): 423-438.
Mróz, Z. (1967) On the description of anisotropic workhardening. J. Mech. Phys. Solids
15: 163-175.
Mróz, Z., Norris, V. A. and Zienkiewicz, O. C. (1979) Application of an anisotropic
hardening model in the analysis of elasto-plastic deformation of soils. Géotechnique
29(1): 1-34.
Palmer, A. C. and Pearce, J. A. (1973) Plasticity theory without yield surfaces. Proceed-
ings of the Symposium on Role of Plasticity in Soil Mechanics, Cambridge, 188-200.
Pastor, M. and Zienkiewicz, O. C. (1986) A generalised plasticity, hierarchical model for
sand under monotonic and cyclic loading. Numerical Models in Geomechanics, NUMOG
II, eds. Pande, G. N. and van Impe, W. F., M. Jackson & Son, 131-150.
Pastor, M., Zienkiewicz, O. C. and Leung, K. H. (1985) Simple model for transient soil
loading in earthquake analysis. Part II. Non-associative models for sand. Int. J. Num.
Anal. Methods Geomechanics 9: 477-498.
Prévost, J.-H. (1977) Mathematical modelling of monotonic and cyclic undrained clay
behaviour. Int. J. Num. Anal. Methods Geomechanics 1(2): 195-216.
Prévost, J.-H. and Griffiths, D. V. (1988) Parameter identification and implementation of
a kinematic plasticity model for frictional soils. Proceedings of the Workshop on
Constitutive Laws for the Analysis of Fill Retention Structures, ed. Evgin, E. Department
of Civil Engineering, University of Ottawa, 285-358.
Prévost, J.-H. and Hughes, T. J. R. (1978) Analysis of gravity offshore structure
foundations subjected to cyclic wave loading. Proceedings of the 10th Annual OTC,
Houston.
Roscoe, K. H. and Bmland, J. B. (1968) On the generalised stress-strain behaviour of
'wet' clay. ln: Engineering Plasticity, eds. Heyman, J. and Leckie, F. A. Cambridge
University Press, 535-609.
Roscoe, K. H. and Schofield, A. N. (1963) Mechanical behaviour of an idealised 'wet'
clay. Proceedings of the 2nd European Conference on Soil M echanics, Wiesbaden 1:
47-54.
Roscoe, K. H., Schofield, A. N. and Wroth, C. P. (1958) On the yielding of soils.
Geotechnique 8(1): 22-52.
Tatsuoka, F. and Ishihara, K. (1974) Drained deformation of sand under cyclic stresses
reversing direction. Soils and Foundations 14(3): 51-65.
Vermeer, P. A. and de Borst, R. (1984) Non-associated plasticity for soils, concrete and
rock. HERON 29(3): 1-64.
Wood, D. M. (1974) Some aspects of the mechanical behaviour of kaolin under truly
triaxial conditions of stress and strain. PhD Thesis, Cambridge University.
Wood, D. M. (1984) On stress parameters. Géotechnique 34(2): 282-287.
Wood, D. M. (1990) Soil Behaviour and Criticai State Soil Mechanics. Cambridge
University Press.
Zienkiewicz, O. C., Humpheson, C. and Lewis, R. W. (1975) Associated and non-associ-
ated visco-plasticity and plasticity in soil mechanics. Géotechnique 25(4): 671-689.
Zienkiewicz, O. C. and Mróz, Z. (1984) Generalised plasticity formulation and applica-

3 Cyclic load testing of soils
M. P. O'REILLY
3.1 Introduction
This chapter describes and evaluates the types of test commonly carried
out on soils or soil structures in order to determine their mechanical
properties or response to cyclic loading. The contents are divided into
three main sections:
(1) Laboratory element tests.
(2) In-situ tests.
(3) Model tests.
The purpose of laboratory element tests and in-situ tests is to determine
the basic mechanical properties of soil (i.e. the relationships between
stress, strain and time) so that these properties can be used for design or
analysis. Model tests, on the other hand, focus not on the basic
properties of the soil but on the overall performance of the structure as
a whole.
ln the sections which follow, the main characteristics, capabilities, and
difficulties relating to each type of test will be discussed. The funda-
mental principles will be outlined so that an engineer who must specify a
soil testing programme will be able to:
(1) Assess the relative merits of the various tests available in the
context of the engineering problem to be solved or design to be
undertaken.
(2) Ensure that the procedures to be adopted by the testing contrac-
tor are adequate.
(3) Understand the likely shortcomings and uncertainties in the data
derived from various tests.
3.2 Laboratory element tests
3.2.1 Introduction
An 'element' soil test is one in which a sample of soil is subjected in
principle to a uniform change in loading or deformation in order to
determine the mechanical properties of the material without reference to
CYCLIC LOAD TESTING OF SOILS 71
any particular structure or set of boundary conditions. Element testing
may be distinguished from and contrasted with model tests; in the latter
the response of a structure as a structure is to be determined, and the
results of such tests are specific to the particular boundary conditions
which exist in the model.
A range of element tests for cyclic loading are currently available to
design engineers, whether through commercial laboratories or by special
arrangement with university and research laboratories. These include:
Axisymmetric triaxial tests (section 3.2.3.1).
Consolidometer cell (section 3.2.3.2).
Simple shear apparatus (section 3.2.3.3).
Shear box test (section 3.2.3.4).
Hollow cylinder apparatus (section 3.2.3.5).
Resonant column apparatus (section 3.2.3.6).
Each of these tests will be dealt with in detail in the sections noted
above in parentheses. First, however, a number of matters which
concern all element tests and which will affect the interpretation of the
results from such tests must be considered in advance so that the
relative merits and applicability of each apparatus and arrangement may
be assessed for each particular design situation.
3.2.2 General principies applicable to ali element tests
3.2.2.1 Stress conditions in the element and the prototype
(i) General. The purpose of an element test is to gain an understand-
ing of the soil behaviour in the prototype. The stress conditions in this
element should, therefore, be typical, or characteristic, of those in the
prototype.
(ii) The general limitations of currently used apparatus. The stress
acting on any small element within a material has six independent
components, which may be represented either as three normal and three
shear stresses as shown in Figure 3.l(a) or alternatively as three
principal stresses (i.e. stresses acting on planes tangential to which no
shear stresses act) acting in three specified orthogonal directions as
indicated in Figure 3.l(b). The stress history of any element of soil
during the construction and service of the structure in question is likely
to be complex, generally involving changes in all six components to a
greater or lesser extent. To date no apparatus has been devised in which
it is possible to have ready control over all six components; currently
used soil tests therefore apply a more limited range of conditions than
may be experienced in the field.
ln the triaxial apparatus, for instance, the vertical and horizontal
72 CYCLIC LOADING OF SOILS
(b)
Figure 3.1 Two alternative methods of describing the six independent components of stress
acting on an element of material: (a) three normal and three independent shear stresses
acting in a fixed coordinate system; (b) three principal stresses acting in three orthogonal
directions specified by three angles.
stresses are principal stresses and the two horizontal stresses are of
equal magnitude. ln the standard consolidometer (oedometer) test no
lateral strain is permitted; and in the simple shear apparatus only one
direction of shear is permitted. These constrained stress or strain
conditions may, of course, be appropriate in some cases in arder to
simulate the anticipated loading. For instance, an element of soil
directly below a vertically loaded circular footing may experience
conditions similar to those experienced in the triaxial test; an element
below a ground surface, the overall elevation of which varies with time,
may experience approximately one-dimensional (vertical) strains similar
to those in the one-dimensional consolidometer; and an element in the
shear zone of a footing may experience stress conditions similar to those
imposed in the simple shear test. However, even these highly specific
situations are imperfectly modelled by the pieces of apparatus men-
tioned, and in general the stress conditions imposed during testing often
bear little resemblance to those which occur in the structure being
considered.
(iii) Principal stress rotation. An important aspect of the imposed
loading is principal stress rotation. One of the most important recent
developments in soil mechanics has been the realisation that principal
stress rotation may, per se, cause shear strains and enhanced rates of
compressive volumetric strain (or positive pare pressures) during cyclic
loading (e.g. see Wong and Arthur, 1986; Sayao and Vaid, 1989;
Shibuya and Hight, 1989; Chan, 1990) relative to equivalent paths
without stress rotation. This recent research suggests that in choosing a
test apparatus one should have these matters in mind if the foundation
soils of the prototype will experience significant rotation of principal
CYCLIC LOAD TESTING OF SOILS 73
stresses. This will be the case whenever the cyclic component of load
imposes a change (increment) of stress state which is not 'co-axial' with
the stress state under the mean or static load. This is illustrated in
Figure 3.2 for the case of a road pavement structure. The static principal
stresses are aligned in the horizontal-vertical directions. The incremental
st~esses imposed by a wheel load are not co-axial with this system, and
th1s affects the overall stress state in the pavement, as shown, so that
the principal stresses rotate as the wheel load passes.
Of the test arrangements that will be discussed, the triaxial test and
consolidometer (which are the most commonly used <levices) do not
per~it principal stress rotation, although in each case a 'stress-flip' is
poss1ble wh_ere the major principal stress becomes a minar principal
stress and vice versa. The other tests described do allow principal stress
rotation, although in some instances (e.g. the simple shear apparatus)
the shear rotation may not be controlled independently.
3.2.2.2 Stress and strain uniformity. The principles of element testing
demand that uniform stress and strain conditions are imposed as far as
possible. If non-uniformities arise then interaction between different
parts of the so-called element will occur, hence requiring a degree of
analysis to investigate its effect and take such effect into account during
the evaluation of the test data.
No test is able to avoid stress and strain non-uniformity altogether.
The particular problems associated with each arrangement will be
discussed in detail in later sections. But in arder to understand the
nature of the problem it is instructive briefly to consider a number of
cases.
ln the triaxial apparatus, for example, stress uniformity requires that
horizontal planes have no shear stresses acting on them. ln fact it is
impossible to eliminate the shear stress acting between the ends of the
test. sample and the platens, although this may be reduced using
lubncated ends and in practice this and the use of long specimens
½
@
n ti t/ 1j
Figure 3.2 Example of principal stress rotation beneath a rolling wheel load. The broken
arrows indicate the original stress state. The full arrows indicate the stress state when the
wheel load is imposed.
74 CYCLIC LOADING OF SOILS
ameliorates the friction problem considerably. Hight (1982) shows the
result of a finite element prediction of the stress conditions within a
triaxial test specimen using an elastoplastic soil model. Figure 3.3 shows
contours of vertical stress expressed as a percentage of the axial load per
unit sample cross-sectional area for a specimen with fixed ends. As can
be seen, the stress non-uniformities are significant at the ends of the
sample. ln the simple shear apparatus, problems of stress non-unifor-
mity are more serious and have received considerable attention in the
Figure 3.3 Finite element prediction of contours of vertical stress (expressed as percentage
of axial load/sample area) in triaxial specimen loaded between fixed ends. (From Hight,
1982.)
CYCLIC LOAD TESTING OF SOILS 75
literature. The primary problem here stems from the inability of the
apparatus to impose the appropriate complementary shear stresses at the
sample ends (see section 3.2.3.3 below), but other problems such as
unwanted friction along the sample side boundaries may also cause
difficulty.
One further point that requires mention here is inhomogeneity within
the sample itself. Such variations in the test element may be due to
testing natural soils with a natural structure such as laminations and
pre-existing shear surfaces; or they may arise from processes occurring
within the element during the testing process, such as shear band
formation. When such conditions occur the test 'element' is not accur-
ately described as such. However, natural soil features and shear bands
are important aspects of soil behaviour and must be accounted for in
design. Accordingly, inhomogeneity must be accepted during testing,
and this affects the assumption of uniform response throughout the
specimen, hence creating some difficulty when evaluating the test data.
3.2.2.3 Instrumentation. The instrumentation employed should be able
to record the changes that occur during the test with accuracy and the
appropriate levei of precision. For the purposes of soil testing three
main categories of instrumentation are regularly used; stress (load)
measuring devices (often called load cells), pore pressure measuring
devices and strain ( deformation) measuring devices.
(i) Load measuring systems. Load measuring devices are widely used
in soil testing. Problems with such instruments include friction in the
system, the drift of electrical instruments and cross-sensitivity, examples
of which are shown in Figure 3.4. ln Figure 3.4(a)(i) the triaxial test
load cell (in this case a proving ring) is mounted outside the cell.
Friction between the loading ram and the bush at the top of the triaxial
cell is of unknown magnitude so that the load actually transmitted to the
specimen is uncertain. This problem may be overcome by installing the
load cell immediately above the sample, as shown in Figure 3.4(a)(ii).
Numerous small load cells which are suitable for this are commercially
available.
Figure 3 .4(b) shows a cell mounted into a simple shear box which
measures both normal and tangential loads. Cross-sensitivity is the effect
whereby the application of purely normal load causes a response in the
tangential circuitry or vice versa. If the extent of the cross-sensitivity can
be quantified it will be possible to amend the readings. This must be
done in 'real-time' if computer-controlled feedback loading systems are
in use.
(ii) Pare pressure measuring systems. A number of difficulties are
associated with pore pressure measuring systems. These problems are
 76 CYCLIC LOADING OF SOILS CYCLIC LOAD TESTING OF SOILS 77

stroin gougPd lood cells used to monitor

lood c•ll both normal ond sheor
forces Istresses)

triaxiol
somple

(bl
1o)( i ) poor design : lo)lii) good design:
friclion source between lood cell belw•en
lood cell ond somple friction source ond somple

Figure 3.4 Examples of difficulties with load measuring systems. (a) The development of
friction in the system requires the proximate measurement of loads, in this case in a
triaxial apparatus. (b) Possible problems with cross-sensitivity when a single load cell unit
is used to measure more than one load, in this case a cell in an SSA measures both normal
and tangential loads.

often significant in cyclic loading tests as fast response times are often
necessary. Some difficulties relate to the test arrangement itself and
some are due to problems with the pore pressure measuring transducer
and include the effect of stress non-uniformities (both in drained and
undrained tests), unwanted gas in the pore space and time lag in
transducer response.
Figure 3.5 shows a number of techniques for measuring pore pressures
in a test sample, in this example a triaxial specimen:
(a) A porous probe, for example a porous ceramic or sintered bronze
disc forming the end face or part of the face of the sample; this is
the simplest arrangement, but problems of establishing good .,
ã.
hydraulic continuity between the porous element and the sample
may be experienced. A porous insert pushed into the sample (or
E
. .,
5l
..e ..

inserted into a preformed hollow cut into the sample) may

., ...
::.!!
ê: ~
a, e
provide a more intimate hydraulic connection. ~~
:o
(b) Hight (1982) describes a small probe attached to the specimen at 2~
mid-height, the hydraulic connection between the specimen and E.!!!
.,.:
:; .,
.,., .,,
the measuring <levice being formed by the 5-mm-thick pad of
saturated kaolin. ... .
~-cn
e

(c) A miniature pore pressure probe is located at the centre of the .....
~~
c,C

specimen. This technique was used by Overy (1982), who con-

solidated the probe into the sample. Model-makers also make use
of this technique [e.g. Lee and Schofield (1988), discussed later].
78 CYCLIC LOADING OF SOILS CYCLIC LOAD TESTING OF SOILS 79

Such methods are appropriate only for reconstituted or heavily
reconsolidated samples, as the process of installing the device in a
recovered sample is likely to involve a high degree of disturbance.
Figure 3.6 gives an indication, in terms of Skempton's pore pressure
coefficient B, of the response times recorded for instruments consoli-
dated into the sample compared with those from a base-located porous
insert during tests on reconstituted Keuper mar!, a silty clay (Overy,
1982). This figure indicates that even for good installation using <levices
consolidated into the sample, one must have regard to the response
characteristics during cycling at fairly slow rate~ in the region of 0.05 Hz
for consolidated probes and 0.001 Hz for the base probe. Soils with a
higher permeability will give a more rapid response.
(iii) Deformation measuring devices. The vital importance of good
deformation measuring equipment has come to light in the last decade.
Traditional methods of soil deformation instrumentation, such as moni-
toring the displacement of the loading ram in a triaxial apparatus, were
previously considered adequate for stiffness measurement. When used in
analyses, however, the measured stiffnesses produced substantial over-
predictions of ground movement. By the early 1980s (e.g. Jardine et al.,
1984), it had become apparent that soils exhibited very high stiffnesses
at low strain levels. Previously this had not been accurately measured
because of the relatively high compliance of the loading system and high
Frequency ( Hz 1
0.001 0.002 0.005 0.01 0.01 0.05
compressibility in some regions of the sample, such as the interface
between the soil and the end platens. This compliance, researchers
observed, could be avoided by mounting lightweight instruments directly
on the specimen. Meanwhile, in the field of cyclic loading it had been
recognised that soils are very stiff under cyclic loading, and high-resolu-
tion on-sample instrumentation had been developed in the mid-1970s to
measure this (Boyce and Brown, 1976; Brown et al., 1980).
These various studies show that on-sample instrumentation is neces-
sary if one proposes to perform analyses in which the soil stiffness at
low strains is of importance. One instrumentation system developed for
small-strain measurements of granular materials, namely the LVDT and
strain hoop system devised by Boyce and Brown (1976) for triaxial
specimens, is illustrated in Figure 3. 7.
Many other systems have been developed, including the induction
radial deformation system devised by Brown et al. (1980), the inclin-
ometer system devised by Burland and Symes (1982) and Symes and
Burland (1984), the Hall effect axial deformation transducer (Clayton
lond cell
brnss studs in intimnte
contnct wilh lhe specimen
to which instruments ore
nllnched
0.1 0.2 0.5

100

90
' \ cosi epoxy resin
strnin gnuged
B Volues 80 '' rings
('/,) ''
''
........... _ (shown tilled
for clnrity)
LVDT to mensure
nxinl deformntion
70 '
60
. _.... __ _
D ........ .. _
50
Centre probe - -
---· ....., ..._........ _________
- ------_
Base probe

Figure 3.6 Comparison of the response time of two pore pressure measuring systems
(shown in Figure 3.5(a and e) during cycled confining pressure tests on Keuper mar! (a
silty clay) over a wide range of frequencies. The letters identify specimens, each of which Figure 3.7 A triaxial sample with on-sample axial and radial deformation instrumentation.
had both central and base probes. (Adapted from Boyce and Brown, 1976.)
80 CYCLIC LOADING OF SOILS CYCLIC LOAD TESTING OF SOILS 81

and Pukrash, 1986) and the induction strain coil prox1mtty transducer
system for radial strain measurements (O'Reilly, 1985).
The system which is best suited to any particular application will
depend on the soil type, the loading amplitude and frequency and so on.
For example, the inclinometer system devised by Burland and Symes
(1982) compensates for sample deformation when large strains are
anticipated. On the other hand, because it operates using a fluid levei
transducer it is not suitable for loading frequencies above about 0.01 Hz.
Many commercial testing laboratories as well as universities now offer
on-sample instrumentation, and this should always be insisted upon if
accurate stiffness measurements are required (pace Atkinson and Evans,
1985).
One of the prerequisites of on-sample instrumentation is that one has
direct access to the specimen. This is readily achievable in the triaxial
and hollow cylindrical devices. However, this requirement causes a
difficult problem for enclosed devices, such as the simple shear ap-
paratus. Radiographic and similar 'remate sensing' techniques, while in
theory providing the possibility of on-sample instrumentation, are only
applicable for strains in the millistrain range. The 'direct' devices are,
however, typically capable of resolving strains significantly less than
0.1 me, and often an arder of magnitude smaller again. A number of
examples of stress-strain plots obtained using on-sample instrumentation
are given in Figures 3.8 and 3.9, which display not only the high
resolution available but also the need to have it available.
lt is worthwhile mentioning, during this discussion on the measure-
ment of the small-strain stiffness of soils, a development suggested by
Bates (1989). This involves installing a system for generating pulses in
___J~
triaxial samples during routine testing and measuring the velocity of
compression and shear waves within the soil. These velocities can be
~
related to the stiffness properties of the soil under test as explained
-...
u

below in section 3.3.3. Bates's suggested technique involves very low "" '
strains within the soil and hence provides a measure of the very
small-strain stiffness of the soil which is appropriate for many design
situations.

3.2.2.4 The state of the element and the in-situ ground conditions. lt is
well established that the response of soils depends upon their state and
stress history, and so it is generally appropriate that the element to be
tested is in a similar state to the conditions which exist in the ground.
Two distinct types of test may, in principie, be identified:
(1) Testing recompacted or reconstituted soil, for instance soil taken .
........
from a dredged sample and recompacted into a test cell.
(2) Testing nominally undisturbed samples, for example large-dia-
meter piston-sampled cohesive soil.
82 CYCLIC LOADING OF SOILS CYCLIC LOAD TESTING OF SOILS 83

q lkPal ln the case of fine-grained soils, the disturbance occasioned during

Effective stress
,$?'v~path approaches CSL
150 . .,,.
.:;;.<>,._.,--s .----
T -F---- /Ko consolidation
lme
~ 1
-~
ó'
i
:
A •
: .,,.
7~---
1 /
(ai Stress conditions imposed. Point A refers to lhe total
and effective stress slate ai lhe end of consolidalion
1
200jíEs 1 technique, on the other hand, smaller shear strains may occur, but it
1650
(bl Stress-strain response. Numbers reler to lhe cycle number.
Figure 3.9 Test performed using the instrumentation described by Brown et al. (1980). ln
this case a normally K 0 - consolidated silty clay was subjected to the total stress path shown
at a frequency of 0.1 Hz. Little permanent shear strain occurred during the first 1600
cycles. After this, the strain began to accrue at an increasing rate as shown. (Data from
Overy, 1982.)
ln the case of coarse-grained materials it is virtually impossible to obtain
samples which may be described as 'undisturbed'. Even sophisticated
methods such as freezing (Yoshimi et al., 1978) cannot prevent substan-
tial fabric disturbance due to stress relief and the thermal strain of the
void ice. Even where large-diameter <levices appear to enable good
sampling, it is unlikely that measured parameters such as the small-
strain stiffness will fully represent those existing in situ. ln some
situations, particularly in the case of sands with a high liquefaction
potential, the sample may be destroyed simply by transporting it to the
laboratory (Ho et al., 1988). Many other soils have a weakly bonded
structure which is readily destroyed during the process of sampling and
setting up an element test (Bressani and Vaughan, 1989). ln some
situations it may, on occasion, even be preferable to reconstitute the
specimen reproducing its stress history as accurately as possible. This,
however, must not be regarded as a solution, for it entails the difficulty
of simulating certain aspects of history, e.g. wave-action densification,
particle orientation and soil ageing.
sampling is almost always less than for cohensionless soil, and so
nominally undisturbed samples of fine-grained soils are commonly
.,,. recovered for laboratory testing. However, recent research has shown
/
that even here there are considerable difficulties, which may generally
Total stress be divided into two categories: distortions imposed during sampling and
path
damage caused by stress relief. ln the case of tube sampling, for
instance, the in-situ stresses are to a first approximation trapped by the
stiff steel tube. However, significant shear strains may be imposed
during the sampling process even using so-called 'thin-walled tubes'.
This effect has to some degree been quantified by the strain path
method (Baligh, 1985; Hight and Burland, 1987). ln the block sampling
must also be recognised that during the process of removing the block of
soil from the ground the total stress conditions are reduced by a
1728 considerable degree. The effect of stress relief on the subsequent
performance of soils in tests has been studied by a number of research-
ers, including Kirkpatrick and Khan (1984) and Kirkpatrick et a!. (1986).
The technique generally used to overcome the problem of sample
damage during sampling and subsequent storage and handling is recon-
solidation. Kirkpatrick et al. (1984) suggested that the in-situ properties
of lightly overconsolidated soils with one-dimensional consolidation
history which had experienced stress relief could be regained by iso-
tropic consolidation in the first instance, followed by an increase in
deviator stress to the in-situ level. However, Hight et al. (1985) stated
their belief that such a procedure should not be adopted. They advo-
cated the use of an appropriate anisotropic reconsolidation path despite
the additional time and complexity involved. This is because the
stress-strain characteristics of soils are sensitive to their detailed stress
history. Hight et al. (1985) suggested that the effects of the sampling
cycle are not fully removed until the effective levels at the end of
reconsolidation are about 1.75 times as great as the in-situ values.
One effect of sampling which appears to have received little attention
is temperature change between the in-situ and laboratory values. Sherif
and Burrous (1965) show unequivocally that the undrained shear
strength and other parameters are affected by temperature. Richart
(1975) reports the effect of specimen temperature on the stiffness of
saturated soils measured in the resonant column apparatus and suggests
that an effect is observed because of the expansion/contraction of pare
fluid during temperature changes.
lt is not possible in the space available here to present a detailed
study of the sampling process and the techniques currently used to
ameliorate its effects. This is, however, an important, though much
neglected, area. Engineers wishing to obtain high-quality samples should
84 CYCLIC LOADING OF SOILS
study the results of recent research work, including the publications
referenced here. It is easy to be misled by the description 'undisturbed':
in reality there is no such thing. The real questions are: 'how disturbed
is the sample?' and 'what effect does that disturbance have on its
properties?'.
3.2.2.5 Pare pressures. Soil behaviour is primarily governed by effect-
ive stresses. Consequently it is vital to have good control and under-
standing of the pare pressure and pare fluid regimes which exist within
the sample. ln arder to have as great a certainty over the pare fluid
regime as possible, element tests are usually performed in one of two
reference conditions, either:
(1) Full dissipation of excess pore pressure allowed-fully 'drained'
condition.
(2) No flow allowed into or out of the sample-fully 'undrained'
condition.
While the stress paths experienced by soils in situ during any imposed
loading is likely, in general, to involve partial drainage rather than
either of the above reference cases, results from such tests enable
behaviour over the full range of potential drainage states to be esti-
mated.
ln the case of a fully drained test it is important to change stress
levels slowly enough to allow any excess pare pressure which develops
to dissipate. The rate of change in stress should therefore be related to
the permeability of the material and the boundary drainage conditions
provided in the test. A number of researchers have addressed the
problem of the proper rate of testing to ensure that pare pressures are
adequately dissipated (e.g. Gibson and Henkel, 1954; Carter, 1981).
It is very difficult, in practice, to maintain fully undrained conditions
in the case of a saturated soil but it is important to do so. Because of
the high ratio between the bulk modulus of the pore fluid and that of
the soil skeleton, any movement of pare fluid can cause a substantial
change in the pore pressure and an equivalent change in the effective
stress. Difficulties relating to pare pressure control may be classified
under a number of headings:
(i) Jnitial lack of saturation. The ma1onty of soils are saturated in
situ, and therefore procedures for re-establishing and maintaining satur-
ated conditions during testing have been developed. The standard
technique used for this is the application of a back-pressure to the pore
fluid system, the confining pressure being increased by an equal amount
to maintain the sarne effective stress state, although this procedure may
CYCLIC LOAD TESTING OF SOILS 85
damage some bonded soils (Bressani and Vaughan, 1989). The back-
pressure technique is readily applicable in devices where a fluid sur-
rounds the test element such as the triaxial and hollow cylindrical tests
configurations. A number of researchers have studied the problem of
the imposition of back-pressure and the time taken to establish satura-
tion (e.g. see Black and Lee, 1973). It should of course be noted that
some natural soils are partially saturated or contain gas bubbles in situ
(e.g. see Wheeler, 1988) and these in-situ characteristics must be
maintained, rather than destroyed, in a truly representative undrained
test.
(ii) Leakage. Testing devices, especially those which consist of a
mechanism (e.g. the simple shear apparatus), are prone to leakage and
the formation of trapped water at the location of moving parts and
hinges. Such problems are often difficult to detect but may have a
significant effect.
(iii) Sample non-uniformity. This arises either from non-uniformities
in the specimen when placed in the testing devices or from non-uniform
applied stress conditions. Figure 3.3 [Hight (1981), already discussed
above] shows an example of vertical stress non-uniformity during an
undrained test. A similar degree of non-uniform instantaneous pore
pressure change may be anticipated, hence causing hydraulic gradients
to be generated within the specimen. ln some situations hydraulic
gradients will be caused by inhomogeneities in the sample. For example,
where shear zones or other features exist in the sample, pore pressure
non-uniformity will be caused by local drainage in these zones (Atkinson
and Richardson, 1987).
(iv) Membrane penetration. When a flexible membrane is used to
stress the soil element, differential pressure changes across the flexible
boundary cause deformations of the membrane which, in tum, changes
the volume of pores within the sample. Again, because of the high bulk
modulus of pore fluid, this may lead to significant changes in pore
pressure which are not connected with the sample behaviour. The
problem of membrane penetration increases as the particle size increases
and as the effective stress state in the specimen decreases. These effects
are clearly shown in Figure 3.10. Pappin et al. (1991) carried out drained
saturated cyclic load resilient testing and found very substantial effects
even using well-graded crushed limestone with particles down to silt-
size, typical of the grading of granular material used in road sub-bases.
. The concern over the problem of membrane penetration, particularly
m the case of liquefaction of soils, has produced a number of develop-
ments designed either to mitigate the effects of membrane penetration
during the test or to account for it after the test. Seed et ai. (1989) have
attempted to eliminate the effect altogether by establishing the mem-
brane penetration susceptibility of the particular test specimens and then
86 CYCLIC LOADING OF SOILS CYCLIC LOAD TESTING OF SOILS 87

(a 1
apparatus, the cyclic loading system is fundamental to the operation of
0.02
the whole apparatus. The frequency attainable in the devices described
~ below depends principally on the electro-mechanical design of the
1
e
16 mm maximum
particle size
loading system employed. The loading systems available are briefly
o
described in section 3.2.4.
i. 0.01
3.2.3.1 Triaxial testing
~
~
E
(i) lntroduction. The triaxial test involves applying a three-dimen-
;g sional (hence triaxial) total stress state to a sample of soil. The triaxial
test may thus be distinguished from the unconfined compression test in
50 200 500 1000
Cell pmsure ( kPal which a uniaxial system of total stresses is imposed. Two types of
triaxial test may be distinguished: the axisymmetric triaxial test and the
true triaxial test. True triaxial devices apply three independently con-
~
( bI
trollable principal stresses. They have rarely been used except for
l. I
I
research. Most arrangements of the true triaxial device utilise complex

,
0.02
e
.. '4I (and often ingenious) mechanisms and are difficult to operate; hence
~ I ..
e
they are not suitable for commercial testing except in very special
~ I circumstances. During research, such devices have been used to illus-
~
E 0.01 ◊ / ~ Thearetical relationship trate important aspects of soil behaviour when each of the three
ll ♦ , proposed by Nova and
~ / Baldi (198' I principal stresses are independently controlled (e.g. Wood, 1974;
.._ ~•,"
I
~ Reades and Green, 1976).
:z

o
. . .......
.,
L..c.__~......,,.,,-c:::-=----------'---------::---
0.01 0.1
Mean grain size d50 ( mm 1
Figure 3.10 Membrane penetration effects. (a) The 'unit membrane _penetration' V:ith units
cm3 /cm2 for a variety of filter-grading materiais used at the 160 m-h1gh Gran_d Ma1son dam
in France. The data are fitted to straight lines of slope S, where S 1s termed the
'normalised membrane penetration'. (After Dendani et al. 1988.) (b) The nor?Ialised
membrane penetration versus mean grain size for a range of laboratory values obtamed by
a number of researchers and collected by Baldi and Nova (1984).
using a computer-controlled water injection system to maintain constant
specimen volume. This technique is not without its drawbacks: for
instance it assumes that the membrane penetration compliance of the
specimens remains constant throughout the test. It is not available for
commercial work as yet but may be adopted in the near future.
3.2.3 Specific element test arrangements
A number of laboratory testing devices used for testing soils under cyclic
loading are described below. These were almost ali developed, in t~e
first instance, for monotonic testing and have been adapted for cychc
loading, though in some instances, in particular the resonant column
The axisymmetric apparatus, commonly known simply as the triaxial
test, operates using a simple and convenient arrangement. A fluid is
10
used to provide an isotropic all-round stress and a vertical deviator
stress is applied through platens at the top and bottom of the sample.
Little friction is generated between the loading system and soil. The
stress state is fairly uniform and its magnitude is straightforward to
calculate. These advantages have made the triaxial test extremely
popular. ln the following sections, references to 'triaxial' tests refer to
the axisymmetric triaxial apparatus.
(ii) Description. The triaxial test involves applying axial and hori-
zontal stresses to a cylinder of soil. The stresses and strains are generally
assumed to be axisymmetric and homogeneous, although as has been
noted already this is not always the case in reality. Figure 3.11 shows a
typical triaxial cell illustrating the basic principies of operation.
(iii) Consolidation. Undisturbed samples recovered from the field will
be subject to sampling disturbance and stress relief during their remova!
from the ground and installation in the triaxial cell. ln arder to regain as
fully as possible the in-situ soil characteristics, it is prudent to recon-
solidate samples before testing. Two types of reconsolidation may be
available:
(1) lsotropic consolidation.
(2) One-dimensional consolidation.
88 CYCLIC LOADING OF SOILS CYCLIC LOAD TESTING OF SOILS 89

3.2.3.2 Consolidometer testing

ldf'liator load
(i) Introduction. The consolidometer subjects a specimen of soil to
consolidation (compression). A stiff ring generally confines the sample
to prevent lateral deformation. This apparatus is useful for determining
the consolidation-compression-creep characteristics of soils under mono-
cell pressure
transducer tonic and cyclic loading.
load
measuring (ii) Description. There are two basic types of consolidometer in
transducer
current use: the standard oedometer used by many laboratories (the
specimen
loads generally being imposed by a lever <levice), and the 'Rowe cell'
'o'ring ll...--t1!------- ~~b~~~m~brane
seals (Rowe and Barden, 1966) in which the vertical load is imposed by a
o - + + - - - - - cell fluid
pressurised fluid acting through a membrane above the sample.
under pressure ln both cases a cylinder of soil is subjected to a change in vertical
perspex
cell wnll total stress in a <levice in which overall lateral displacements are
-------++---- pore pressure
trnnsducer prevented. The soil is allowed to drain (usually by vertical drainage
only) and the deformations are recorded against time elapsed. The
cell base
standard oedometer uses specimens approximately 60 mm in diameter
drninage and 20 mm high. This is too small to enable any but the most
lines
homogeneous soils to be tested with confidence. The Rowe cell allows
large specimens (up to 250 mm or more in diameter) to be tested under
more controlled conditions, and is to be preferred over the standard
oedometer whenever samples of the appropriate size can be obtained.
Figure 3.11 Basic arrangement of the triaxial apparatus. A typical section through the Rowe cell is shown in Figure 3.12.
Drainage is effected through the porous top drain. The lower boundary
represents the plane of the sample furthest away from the drainage
Isotropic consolidation is, for many commercial laboratories, the only boundary and pare pressure measurements may be made here.
system available. Since soil response is significantly affected by its recent
stress history, it is most advisable to reconsolidate one-dimensionally, dial gauge or
displacement
since this is the stress history which would have been experienced in /
transducer
situ. A number of systems have been devised to allow such consolida-
tion, such as the Bishop and Wesley (1975) cell. Typically, however, the
design of such apparatus allows only small-diameter samples (e.g. settlement
rod
38 mm diameter) to be tested, and may not contain sufficient roam constant
pressure -----1--1-.-_
within the cell to mount on-sample instruments. Brown et al. (1980) supply tine
describe a consolidation system for larger samples (76 mm diameter) in
which inductive proximity transducers are used to activate the deviator
stress system so that zero radial deformation occurs during a steady
increase in confining pressure, hence imposing one-dimensional condi-
tions.
, 'o'•ri!l9
During the consolidation phase it is often tempting to use drainage to seal
all faces of the sample, as this tends to reduce consolidation times. For
this purpose filter paper side-drains are often provided between the
sample and the membrane. If possible, this should be avoided as radial porous ceramic
stone
drainage may cause non-uniformities within the sample (Carter, 1981;
Figure 3.12 The 'Rowe cell' consolidometer. (From Rowe and Barden, 1966).
Atkinson et al., 1985).
90 CYCLIC LOADING OF SOILS
(iii) Instrumentation. The magnitude of the vertical applied load is
generally straightforward to determine at the top of the sample (al-
though side wall friction may cause it to reduce at lower levels). To
determine the horizontal pressure a load cell may be installed in a
consolidometer flush with the confining ring. Results from such a load
cell can be of use when the value of K O during cyclic loading is required
[see for instance Dyvic et ai. (1985) and Al-Tabbaa (1987)].
Vertical settlements are measured using a dial gauge above the
specimen. This is not an on-sample instrumentation techniq~e, and ~ata
obtained using this method should generally be treated w1th cautton.
Often, however, large vertical strains are of interest, and when vertical
settlements in excess of 2 or 3 mm are recorded the externally measured
values can usually be used with greater confidence.
3.2.3.3 Simple shear devices
(i) Introduction. The most basic shear testing device is the 'dire~t
shear' or 'split-box shear' apparatus which is currently used in many sotl
mechanics laboratories. It is widely recognised, or at least assumed (see
Potts et ai., 1987), that the stress conditions in split-box shear tests are
very non-uniform, and in an attempt to provide a better system of plane
strain shear application the simple shear apparatus (SSA) was developed
(Kjellman, 1951; Roscoe, 1953). This latter device has come_ to be
widely used in commercial laboratory testing involving cyclic loadmg.
(ii) Description. Two principal configurations are used: the r~ctangu-
lar box apparatus and the circular apparatus. The former cons1sts of a
hinged box of rectangular plan shape. The circular device has a circular
plan shape and the horizontal confinement consists of a wir~-rein~orced
membrane. Figure 3.13 shows the arrangement of a typ1cal ctrcular
device.
(iii) Stress and strain conditions. One serious problem which besets
the simple shear apparatus is the inability of the device to apply proper
'complementary shear stresses' at the end boundary. The application of
a horizontal shear stress to the top surface of the specimen requires the
existence of complementary shear stress along vertical planes within the
specimen to maintain equilibrium. Such shear stresses ~re gene~ated
within the specimen but at, and dose to, the end boundanes there 1s no
mechanism for their generation. This is because each element of soil at
the boundary remains in contact with the sarne element of wall during
the test, and hence there is no opportunity for shear stresses to be
developed at this location. ln order to overcome this problem, and the
ensuing stress non-uniformity, a technique often used is the isolation of
a central 'sample core'. The core of such a specimen for the circular
SSA is shown in Figure 3.14(a), and the shear stresses measured by the
CYCLIC LOAD TESTING OF SOILS 91
~
~
J / LVDTs to ml!tlsur•
••rtical displac•m•nts
vertical
load cell
roller
b•arings
....... ,.____ wire - r•inforc•d
rubb•r membrane
7
horizontal
load cell
LVDT to measure
shl!tlr displacements
Figure3.13 Circular simple shear apparatus. (After Airey and Wood, 1987.)
array of load cells along the so-called princ\.,al third during monotonic
tests are shown in Figure 3.14(b) (after Airey and Wood, 1987). The
degree of non-uniformity is apparent, and illustrates the potential
difficulties that may arise if no steps are taken to account for it. Even
though the sample core may be said to be subject to reasonably uniform
stress conditions, that is not to say the the problems associated with this
device can be solved simply by quantifying those problems. This is so
particularly in undrained tests in which the non-uniformities in the
specimen will cause hydraulic gradients and hence water flow, thus
abrogating the general assumption of a fully undrained condition.
(iv) Deformation measurements. The deformation instrumentation sys-
tems currently used with the simple shear apparatus to measure the
shear displacements involve externa! deformation measurement. lndeed
interna! instrumentation for monitoring the small-strain response would
be most difficult because of the enclosed nature of the test. ln principle
it would be possible to attach instruments to the soil directly inside the
reinforced membrane of the circular SSA but, even so, the uniformly
stressed core would remain remote. To date the only attempts at
interna! instrumentation have involved radiographic means (e.g. Airey
and Wood, 1987) which must be considered as low-resolution techniques
inapplicable to the determination of the soil properties at low strain
levels.
92 CYCLIC LOADING OF SOILS CYCLIC LOAD TESTING OF SOILS 93

sample core currently available for commercial testing except through universities,
but in future it may come to be used more widely for the determination
of soil properties for design.
(ii) Description and instrumentation. The basic arrangement is de-
scribed in Figure 3.15. The sample is in the form of a hollow cylinder
with internal and outside radii ri and r 0 • Up to four independent
loads/pressures may be applied, namely the internai and outside pres-
sures, pi and p O , an axial load, W, and a torque, T. ln order to
(a) Arrangemenl of load colls in lhe circular simple
shear appamtus monitor the strain conditions in the specimen, four independent
measurements are required: the cross-wall strain Ew, the overall radial
strain t: 0 the axial strain t: 3 , and the torsional strain y.
Figure 3.16 shows the Nottingham University cyclic loading HCA.
The specimen is 500 mm high and has externai and interna! diameters of
280 and 224 mm respectively. Vertical and torque loads are supplied by
servo-controlled hydraulic actuators with feedback from the load cell
inside the test cell. The torque is supplied simply by the actuator B
operating through a lever arm with a slip coupling. The instrumentation
used was (with the exception of the strain coil system) developed for

w
(11) Conslanl volume test

pore
pressure ,u

r;
( b) Rocorded sheor stross distributions
internai
Figure 3.14 The arrangement of load cells along the 'principal third' and the resulting membmne 1
1
shear stress distributions reported by Airey and Wood (1987). 1
externai 1
membrane
1
1
,✓-
------ ~,,
<,_ '
3.2.3.4 The hollow cylinder apparatus
(i) lntroduction. To date the hollow cylinder apparatus (HCA) has
been used almost exclusively as a research device. It allows principal
stress rotation, which has been shown to be important in soil testing (see
w
section 3.2.2.1), and exhibits many advantages over devices such as the
commonly used SSA and triaxial arrangements. These are discussed Figure 3.15 Basic arrangement of the hollow cylinder apparatus showing the sample
below after the apparatus itself has been described. The HCA is not enclosed by internai and externai membranes and acted upon by various loads/pressures.
94 CYCLIC LOADING OF SOILS
CYCLIC LOAD TESTING OF SOILS 95

triaxial testing (see Figure 3. 7) and has simply been modified to suit the
new apparatus.
(iii) Stress conditions. The stress conditions in the sample may be
represented in Mohr circle form, as shown in Figure 3.17. The rubber
membranes enclosing the sample are incapable of transmitting a shear
stress to the internai or externai cell fluid, and hence the radial direction
corresponds to a principal direction. Generally it is found to be the
intermediate principal stress o 2 • Since one principal stress remains in the
radial direction, it is evident that to maintain mutual orthogonality of
principal stress axes, the direction of both o 1 and o 3 must rotate in a
direction perpendicular to the sample radial direction, tangential to the
sample wall, and by the sarne angle, denoted a. The stress conditions in
the hollow cylinder wall (including the sources of stress non-uniformity)
are discussed in detail and with clarity by Hight et al. (1983), to which
reference should be made.
As well as the ability to rotate the principal stresses, the intermediate
principal stress may take a value other than that of the major or minor
principal stress. A statement of the value of the intermediate principal
stress may be expressed in a number of ways, one being the use of the
parameter b = (o 2 - o 3) / ( o 1 - o 3 ). Under general loading conditions in
the HCA, the value of b will not be constant, but may vary in the range

t! 0-1 during a test. These values of b correspond respectively to

compression and extension tests in the triaxial apparatus.

a-,

-~ ..,
e:
.2-g-
- o
:2
Axes used
"'U Õ..c:
o"'
.,,
E :, ... o;,
r

E
O-r
lil
~ l
c::i E "(
ciii
......

1,.

e:
1i
...,., 1 li!
_g ~ l"' (ii)

(a) Stresses acting on an element of woll 1b) Mohr - Circle represl'fllotion of stress in lhe HCA wall

Figure 3.17 Stresses acting on elements of the wall of a hollow cylinder apparatus sample.
96 CYCLIC LOADING OF SOILS
Four main sources of stress and strain non-uniformity may be identi-
fied:
(1) Sample imperfection.
(2) End restraint from the platen. ln the standard triaxial apparatus,
various methods are used to reduce friction and restraint at the
platen. ln the HCA, however, some form of restraint is obliga-
tory, otherwise the torque cannot be transmitted across the
platen-sample interface. Hight et al. (1983) performed finite
element analyses to determine the degree of non-uniformity
caused by end restraint in a specimen with a height to overall
diameter ratio of 1.2. They concluded that little non-uniformity
extended to the central part of the specimen. ln an undrained test
this non-uniformity will of course still be important, causing
hydraulic gradients to be generated within the sample.
(3) Variation in shear strain across the sample wall. If the sample
remains as a hollow cylinder, the resulting shear strain in the
sample wall will be proportional to the distance from that element
to the shear centre (i.e. the vertical axis of symmetry). There will
thus be a linear strain gradient across the wall.
( 4) Non-uniformity due to differential interna! and externa! pressures.
Differential pressures across the sample wall may be applied for a
number of reasons. For example, if the interna! and outside
pressures are equal, the principal stress ratio and directions are
related by: b =sina. ln some instances it might be considered
appropriate to keep the ratio b constant, and this may be done
using differential interna! and outside pressures. The magnitude of
this differential will, in most cases, be small, at most about 15%
of absolute pressures but this will cause a degree of non-unifor-
mity across the sample wall.
(iv) Advantages and disadvantages of the HCA relative to other pieces
of apparatus. The advantages of the HCA include control over the
principal stress direction, the potential to apply intermediate principal
stresses which are independent of the major and minor stresses, and
simple shear tests with proper application of complementary shear.
Further, the specimen boundary conditions promote relatively good
stress uniformity and access for instruments similar to those which have
been developed for on-sample measurements using the triaxial ap-
paratus.
The principal disadvantages of the HCA test are the high cost of
developing the apparatus, the difficulty of sample preparation (particu-
larly if 'undisturbed' specimens are to be tested), and the large surface-
to-volume ratio, which is likely to introduce significant membrane
penetration effects.
CYCLIC LOAD TESTING OF SOILS 97
(v) Applications. The main areas of application for the HCA (apart
from its important role in fundamental research) are likely to be:
(1) Testing redeposited and reconsolidated coarse-grained soils.
(2) Testing of nominally undisturbed clay specimens. This will involve
obtaining larger diameter samples than has been common for
commercial testing hitherto (up to 500 mm in diameter) and/or
block samples, and trimming them internally and externally. The
potential for sample disturbance is obvious.
3.2.3.5 Resonant column apparatus (RCA). This apparatus consists of
a cylinder (hollow or solid) which is subject to a cyclic electromagnetic-
ally imposed torque at the cylinder head and which vibrates in a
fundamental torsional mode (although longitudinal vibration tests have
also been devised). Measurements of the resonant frequency and
amplitude are made. From these data and a knowledge of the polar
moments of the soil column and the top-cap assembly (which vibrates
with the soil) the shear stiffness of the soil can be computed. The
damping characteristics can be determined by the rate of decay of free
vibrations or from the power required to maintain torsional vibration.
Like the HCA, the RCA may impose a principal stress rotation on the
test specimen provided that axial loads are applied in addition to the
confining pressure. This rotation is not normally as controllable as in the
standard HCA.
A short historical bibliography of the RCA is given in Richart (1975),
and a number of publications <leal with the more recent developments of
resonant column testing apparatus, their use in practice, and with the
computation of material characteristics [see for instance Chung et al.
(1984), lsenhower et al. (1987) and Chen et al. (1988)]. Most apparatus
to date has been used for small samples (usually very much less than
150 mm in diameter). Heiniger and Studer (1985), however, give details
of a resonant solid cylinder for coarse-grained materials.
A typical cross-section through a resonant column <levice is shown in
Figure 3.18 (from lsenhower et al., 1987). ln this case the sample is
hollow, which produces more uniform strain conditions than a solid
specimen. A confining pressure is imposed by placing the apparatus in a
pressure cell, axial load is provided through the vertical tie running
along the central axis of the apparatus which is connected to a
pressure-controlled jack (not shown) below the base plate, and a
periodic torque is supplied at a known frequency by the magnetic drive
system. The vertical and torsional deformations are monitored by the
L VDT and accelerometer respectively.
lt should be noted that Bolton and Wilson (1989) have recently
questioned the need for a dynamic system. They argue that the
98 CYCLIC LOADING OF SOILS CYCLIC LOAD TESTING OF SOILS 99

granular materiais may also enable simple loading systems to be used

since the response of granular materiais tends not to be sensitive to
proximitor
target loading frequency. More sophisticated cyclic loading arrangements cur-
rently available utilise a variety of electro-mechanical systems. Two
top cap magnel arrangements commonly used in laboratories are the pneumatic system
and the servo-hydraulic feedback system. The latter is, at present, rarely
drive coil installed in commercial soils testing laboratories, but many universities
holder rely heavily on these systems in their experimental programmes.
support plote Pneumatic systems typically use a valve which cyclically applies a
pre-set air pressure to a loading ram and then releases the pressure to a
."!•-+-----++-- hollow second pre-set levei. This enables the load to be stepped between two
fluid balh spec,men
cylinder - - - - t - + - - . . i pre-determined leveis.
inner
cylinder
~C:+==#-- ~:!b:ane Servo-hydraulic feedback systems supply loads or pressures to the cell
axial containing the soil through actuators fed by a high pressure hydraulic (in
11+--t-'s-+---+---t-t---- loading
porous
stone rod fact, oil) supply. Through the use of high-speed servo-valves and
electronic feedback circuits which match the input load with a control
base plote base pedestal
program (through a computer or other signal generator), a pre-pro-
grammed loading pattern can be applied to the sample. High frequency
loading, up to 50 Hz or more, is possible and this is valuable for the
following reasons:
interior pressure specimen drain
port (1) ln the case of clay samples which have rate dependent properties,
!axial load it is important to apply testing frequencies similar to those
imposed in the field. For instance, in the case of traffic loading,
Figure 3.18 General sectional view through a resonant column apparatus. The magnetic
frequencies up to 20 Hz must be considered. Brown et ai. (1987)
drive system shown is one of four arranged at 90º intervals to produce an even torque. The have used servo-hydraulic loading to simulate high frequency
apparatus is installed in a cell which imposes a confining pressure. (After Isenhower et al., loading of cohesive subgrades.
1987.)
(2) Since the loading system operates using feedback with high-speed
response, the design of the overall mechanical linkage in the
mechanical properties of granular soils are rate-independent, and hence loading system can be relatively crude; the feedback system will
a slow loading system produces the sarne results as a dynamic loading maintain the control. For example, the Nottingham hollow
system. Their observations concerning the rate independency of granular cylinder apparatus utilises two servo-hydraulic systems to provide
materiais are consistent with the findings of most researchers who have axial and torque loads (see Figure 3.16). The loads are trans-
performed cyclic load tests on sands and graveis. mitted to the soil sample through a simple linkage and a smooth-
ing bush without hydraulic lubrication. Satisfactory operation is
3.2.4 Loading systems ensured since any friction or interference is almost instantaneously
smoothed out by the feedback and the rapid actuator response.
The descriptions of devices above focused on the soil sample, the cell (3) Since instrumentation outputs can be combined at electronic
immediately surrounding the sample and the techniques used for trans- speeds, compound parameters can be controlled. For instance,
mitting stresses to the soil. It is also, of course, important to use a tests with zero shear strain can readily be programmed in the
suitable loading system, with adequate loading frequency, cyclic load/s- cyclic triaxial test.
tress magnitude and control of applied stresses. ln some instances, a
very crude system of loading may be used. This is appropriate when Details of the servo-hydraulic systems described above can be obtained
slow cyclic loading is being simulated; in this case, hand or electric from suppliers of this equipment, which is widely employed in the
motor control of the applied loading is often adequate. Cyclic loading of manufacturing industry.
100 CYCLIC LOADING OF SOILS CYCLIC LOAD TESTING OF SOILS 101

3.3 In-situ tests contrai nnd

r,cording
equipment
3.3.1 lntroduction (
.----1--'---,

The difficulties inherent in laboratory element tests have been studied in

section 3.2 above. Soil disturbance and the use of small and possibly
unrepresentative samples are problems of great significance, which are ...:.-: '·...... .·. ·.,.
_

to a degree unavoidable in practice and, often, in principle also. Testing

prossur,
soils in situ may overcome some of these problems, but in-situ testing is lone bnr•hole
not without its own disadvantages. Primary among these are:
,: '~ ·.
(1) The lack of control which may be exercised over the stress and .,,
.·)
drainage conditions. J! 1
,.,
,'•
(2) The nature of the deformation pattern imposed during in-situ cylindricnt
membrnne enclnsing
testing is often very different from that expected in the prototype pr,ssurised fluid cnuses
the bor,hole to expnnd
structure.
(3) The difficulty of gaining access to the ground to monitor small
deformations within the soil mass. prmur,meter
gnuges Iin this cose
(4) The frequent need to assume an a-priori model of soil behaviour ·teeler gnuges'l tn
in order to determine fundamental soil properties from in-situ mensur, the incrense
in bor,hole diometer
tests.
The relative advantages and disadvantages of laboratory and in-situ
testing techniques must be borne in mind by a designer deciding upon
an appropriate test programme. Often it will be appropriate to specify Figure 3. 19 Basic principies of operation of the pressuremeter.
both in-situ and laboratory tests.
ln this section only those in-situ testing techniques which may be used
to determine the mechanical properties of the ground are described. The stiffness. One of the main uses of the pressuremeter has been in the
following techniques are considered in outline below: measurement of the stress-strain characteristics of soils.
(1) In-situ non-dynamic loading tests (pressuremeter testing and plate A number of types of pressuremeter may be identified (Mair, 1990):
loading tests).
(2) In-situ dynamic tests (wave velocity testing). (1) Predrilled pressuremeters which are installed in a preformed and
(3) Empirical tests considered to provide an indication of the mechan- slightly oversized borehole.
ical characteristics of the ground. (2) Displacement pressuremeters. These are jacked into the ground
and may consist of a hollow instrument, or alternatively may be
fitted behind a solid cone device. Although severe disturbance to
3.3.2 In-situ non-dynamic loading tests the ground is occasioned by this installation technique, the advan-
tage claimed for it is that it is robust, cheap and may be used in
3.3.2.1 Pressuremeter testing difficult and remote conditions such as during offshore testing.
Recent studies on clay (Houlsby and Withers, 1988) and on sand
(i) Introduction and description. The pressuremeter test involves in- (Withers et al., 1989) have provided data to compare displacement
serting into the ground a cylindrical device which may be expanded thus device results with those from more sophisticated means.
loading the soil radially outwards from the cylinder axis. Figure 3.19 (3) The self-boring pressuremeter (SBPM). This device attempts to
shows the basic arrangement. The device may be used in cyclic loading overcome the disturbance inevitably caused by the creation of a
mode, and often load-unload cycles are used to obtain small-strain borehole prior to installation of the predrilled pressuremeter or
102 CYCLIC LOADING OF SOILS CYCLIC LOAD TESTING OF SOILS 103

the displacement caused by the displacement pressuremeter. Ex- Yeung and Carter (1990) for a study of the errors likely to be caused by
amples of this type of <levice have been described by Baguelin et this assumption]. If a simple incompressible soil analysis is performed
al. (1972) and Wroth and Hughes (1973). (which may be appropriate for the quick undrained loading of a
saturated clay), it may readily be seen that the shear strains experienced
Deformation measurements are made using a number of techniques.
by the element of soil around the expanding membrane are inversely
ln the original predrilled pressuremeters the liquid inflow into the test
proportional to the distance from the soil element to the pressuremeter
cell was measured and equated with the cavity volume change. More
axis.
recently, mechanical gauges have been developed to measure radial
A soil model must be assumed to derive the stress-strain characterist-
displacements more accurately, but there is concern that the compliance
ics, and analyses have been developed using a variety of stress-strain
of the <levice is too great to give accurate results (Bellotti et al., 1990;
laws [see for instance Gibson and Anderson (1961), Baguelin (1972),
Fahey and Jewell, 1990), and it has been suggested that deformation
Ladanyi (1972), and Palmer (1972)). Mair and Wood (1987) give a
measurements using an integral contact with the soil body should be
useful description of the range of analytical techniques which have been
used to improve this (O'Reilly, 1990). Typical pressure-cavity strain
developed to date. A technique often used to determine the small-strain
plots from a SBPM in clay and sand are illustrated in Figure 3.20
stiffness of soils is to perform small unload-reload cycles. Severa! of
(Wroth, 1984).
these are illustrated in Figure 3.20. If the cavity pressure change during
(ii) Analysis of pressuremeter test data. The pressuremeter is not an
this unload-reload cycle is small and insufficient to cause 'yield', and it
element test, that is to say the stress and strain experienced by soils
is assumed that the response is perfectly elastic, then the secant shear
loaded during the test are not uniform, even in principie. The closer the
modulus G sec for the stress increment represented by the cycle is given
soil is to the pressuremeter body, the larger the shear strain it
by (Wroth, 1984):
experiences. Consequently, the raw data from the pressuremeter test
require analysis in order for fundamental stress-strain information to be 1 ~ (cavity pressure)
extracted. G,ec = 2 X ~ (diametral cavity strain)
Pressuremeter data are generally analysed using plane strain cavity
The comments made above concerning the compliance of the system
expansion theory; in other words it is assumed that the pressuremeter is
should be borne in mind when deriving small-strain moduli. Jamiolkow-
infinitely long so that all displacements are radial and axisymmetric [see
ski et al. (1985) and Mair and Wood (1987) provide additional informa-
tion on the determination of soil moduli from pressuremeter tests.
The pressuremeter test is generally used to measure horizontal rather
2000
600 than vertical properties which are, for many analyses, more important.
However, pressuremeter tests may be performed in any direction from a
500 shaft (Clarke and Allan, 1990), into an inclined slope or even using
1500
~ LOO
directional drilling from a horizontal surface into a horizontal position.
~
~
ln such arrangements the assumption of axisymmetry can, however, no
i_ 1000
~ 300 longer be maintained.
]::-
-~
200
3.3.2.2 Plate and other static loading tests. Plate loading tests involve
500
100
irho the application of load to the ground through a plate, often using cyclic
w loading. The settlement of the plate is measured, thus enabling soil
stiffnesses to be calculated. A number of variants on the standard plate
loading tests have been developed, such as the 'screw-in plate test' (Kay
L 6 10 12 -2 6 10 12 and Parry, 1982). Larger tests involving the use of a skip which when
cavily slrain ('!.) cavily slrnin ( '!.)
filled may apply loading over a substantial area (Charles and Driscoll,
(ai Tests an clay ai a depth oi LJ. L m ( bI Tesls on sand ai o deplh oi 10. 6 m 1981) may also be of assistance in determining the repeated load
Figure 3.20 Self-boring pressuremeter tests including unload-reload loops in a borehole in
behaviour of soil. The use of water in the skip which may be pumped in
Zeebrugge. (After Wroth, 1984.) and out is a convenient means of providing cyclic loading data.
104 CYCLIC LOADING OF SOILS
Plate loading tests may be used to determine the basic mechanical
properties of the ground, although in order to do this a soil model must
be assumed. A further difficulty with this is that the drainage conditions
are not well controlled and, for fine-grained soils, tests performed in the
usual hours-weeks timescale will be neither drained nor undrained, and
assumptions will be required concerning this. Often, an elastic analysis is
used to determine the soil stiffness properties, using the relationship:
f...q 1T
G sec = - p x - (1 - v)SB
8 disturbance. These detect the ground motions created by the passage of
where p is the plate settlement under a change in plate pressure of f...q,
v is Poisson's ratio, S is a factor dependent on the depth of the plate
and B is the plate diameter; S is 1 for a plate loaded on the ground
surface and approximately 0.85 for a plate at the base of a deep
borehole (e.g. see Marsland and Randolph, 1977).
ln addition to its use in determining stiffness values, plate loading
data are also used on a semi-empirical basis, the actual settlements
observed being scaled up to provide an indication of the anticipated
prototype settlement.
One important consideration when designing a plate loading test is the
need to minimise bedding errors due to an uneven fit between the plate
and the ground. Bedding problems will cause the initial stiffness to be
significantly underestimated, and considerations might be given to
designing tests with deformation instrumentation in intimate contact
with the ground.
3.3.3 Wave velocity testing
(i) Introduction. The wave velocity in any material is dependent upon
the mechanical properties of the material, and in particular upon its
stiffness. The stiffer a material, the faster the wave propagation. The
wave velocity test involves creating a wave by impact, for example by a
falling weight or explosion, and measuring the time taken for the wave
to travei over a known distance. From these data values of soil stiffness
and Poisson's ratio can be computed.
(ii) Elastic waves and wave velocities. A seismic disturbance creates
three principal types of 'elastic' waves: two body waves (compression
and shear waves) and one surface wave (the Rayleigh wave). The body
waves radiate in three dimensions, while the Rayleigh waves only have a
significant amplitude in the vicinity of the surface. The terms P, S and R
waves refer respectively to compression, shear and Rayleigh waves and
their respective velocities are denoted V P, V s and V R.
The radiation of waves from a point source disturbance D is illus-
CYCLIC LOAD TESTING OF SOILS 105
trated in Figure 3.21. This shows a half-space of an isotropic, homogen-
eous medi um with waves radiating from D. The P wave produces
ground motion in the direction of propagation, while the slower S wave
produces ground motion tangential to the direction of propagation. The
R waves produce ground motions which describe an elliptical trajectory
dose to the surface and which have a negligible amplitude at distances
greater than one wavelength from the surface.
Figure 3.21 also shows geophones (indicated by G 1 , G 2 and G 3 ),
placed into the ground at various distances ri, r 2 and r 3 from the
the waves resulting from the seismic disturbance. Typically geophones
contain a coil which has some freedom to oscillate in a particular
direction within a permanent magnet. Ground motions cause the coil to
displace relative to the magnet which induces a current into the coil,
which is then converted into a measure of ground velocity. Accordingly,
a time-velocity history may be recorded.
An idealised record of a surface geophone output is shown in Figure
3.22(a). As can be seen, the P wave arrives first, followed by the S and
the R waves. A series of geophone records plotted against geophone
distance from the seismic disturbance D is shown in figure 3.22(b ). The
wave velocities are related to the slopes on the graph as illustrated.
(Note that the actual geophone transducer output will depend both on
the directions in which it is allowed to oscillate relative to the ground
oscillation direction and also upon its internai damping mechanism.
These characteristics should be discussed with the testing contractor to
ensure that the correct device is being used for the particular applica-
tion.)
R wave
front
Figure 3.21 The propagation of waves from a point seismic disturbance at D indicating
geophones wh1ch may be used to detect the arrival of the waves.
106 CYCLIC LOADING OF SOILS CYCLIC LOAD TESTING OF SOILS 107

+
Ground
molion
Time

Y/Ys

lol

s
/ S Wnves
r3 R Wnves

~
!li 0.1 0.2 0.3 o.~ 0.5
Poisson's rntio, v
] rz
.,u
Figure3.23 The relationship between, P, S and R wave velocities in an elastic half-space .
!:;; (From Richart, 1962.)

lz
<:>
r1

Time
lbl
Figure 3.22 Ground motion-time records and the computation of wave velocities. (a)
Typical ground motion-time record indicating the arrival of the P, S, and R wavefronts.
(b) A series of ground motion-time records spaced in accordance with geophone distance
from the source of the disturbance. Three Jines are drawn showing the arrival times of the
P, S and R waves. The slopes of these lines give the wave velocity.
For a linear elastic, non-viscous soil the shear modulus G is related to
the S-wave velocity by:
G = pV/
where p is the bulk density. The relative velocity between S, P and R
waves is affected by the Poisson ratio of the soil, as shown in Figure
3.23 (Richart, 1962) for a semi-infinite elastic medium. By measuring
the velocity of any two waves the value of Poisson's ratio, v, may be
calculated. For instance if P and S waves are measured:
v = (½ R2 - l)/(R 2 - 1)
where R = V p/V s· See Abbiss (1981) for a practical application of this
technique.
(iii) Aspects of testing techniques. A wide range of testing techniques
have been developed, and the reader is advised to consult one of the
specialist texts on soil dynamics (e.g. Richart et al., 1970) and the
state-of-the-art report on dynamic stress-strain relationships for soils by
Richart (1977). Two important matters, the location of sources and
receivers and the enhancement of recorded wave signals, will, however,
be discussed briefly below.
(1) Location of sources and receivers. The simple surface layout
illustrated in Figure 3.21 is commonly used. However, a variety of
techniques are used in order to obtain additional information. For
instance, the cross-hole technique shown in Figure 3.24(a) enables
the velocity to be measured at a variety of depths. The up-hole
and down-hole techniques, shown in Figure 3.24(b), allow the
average velocity over the height of the borehole to be readily
determined with the formation of only one borehole.
(2) Enhancement of wave signals. Modem instrumentation arrange-
ments may allow time-velocity records to be stored and enhanced
by a variety of techniques so that a clearer determination of the
arrival times of the various waves can be made. For instance, the
arrival of the S wave may be masked by the wake of the
preceding P wave. ln order to emphasise the S-wave component,
a seismic disturbance source which is rich in these may be used;
Figure 3.25 shows an arrangement suitable for this. ln this case a
block in good ground contact is subject to an impact in direction
A. The relative amplitude of S to P waves is greatest along the
108 CYCLIC LOADING OF SOILS CYCLIC LOAD TESTING OF SOILS 109

/(• :. \ .,... .-·· . . ~ :· :.-·: ··. ·:·.--.;._... :'· :-:-·:<·:~~.: .'}_:·:~.-:;·-:· block in good
/ ground contoct
•.
:?: ...
,,.
: ~
,·.
-=\
.,·.. lmpoct ~ . , _ lmpoct
•,,'
:-:
.·:: A ~ B
""• ...
.,. o 1·:) ?
·.,
G::. :'.
• line perpendicular
~ - /todirectionsAondB
sou/ .)) receiver i
_.,.
~I :;
:,.;::.:-:·.
~ r: : :::

X
\·

·--~""
(-}.:: :::::-
!nl Cross-hole technique

receiver G D source ~~-

---
::·; • ::~: 7" .: /:,. ·1(-·_·•·:::...,:
{,:' .•. Figure 3.25 Surface layout suitable for emphasising the S wave arriving at geophones G 1 ,
,. ·- , ·.·' .'i
•,
G2 and G3.
·.•

-'. ,.· velocity tests. This involves measuring the damping characteristics of the
'· )'
::; G '.'•:
soil and equating the damping energy loss with the energy loss com-
source'.~ receiver · ·,. puted for the hysteresis area of a non-linear stress-strain load-unload
·_,·;:l ~.: {/,,,•. ;:) cycle. Abbiss, in bis paper, gives details of the test procedures used and
• · 1bI Up- hole nnd down-hole llchnique
makes good class A predictions of footing settlements using the damping
Figure 3.24 Location of sources and receivers using boreholes. method for correction of small-strain moduli.

line perpendicular to direction A. Geophones installed along this
line are able to detect the arrival of S waves with clarity. Further
enhancement of the S waves is also available with the set-up
shown in Figure 3.25 by storing the time history of the passing
wave and subtracting it from the time history of a wave system
produced by an impact in direction B. This cancels out the P
waves while reinforcing the S-wave pattern. Further discussion of
these and other techniques can be obtained from Abbiss (1981)
and Richart (1977).
(iv) Interpretation. Seismic wave velocity testing must be interpreted
by experienced engineers, geologists or geophysists, as the recorded
traces are likely to be contaminated with reflected waves and disturb-
ances from other sources. Even when the velocities have been accurately
determined the non-linear stress-strain response of the soil should be
accounted for when quoting soil moduli for design purposes. Since the
strain levels generated during seismic testing will be small (about 10- 5 ),
the values of stiffness will be higher than those applicable to many
design situations. Abbiss (1986) has suggested a method for computing
the relevant modulus at strains larger than those imposed by the wave
3.3.4 Empirical tests considered to provide an indication of the
mechanical characteristics of the ground
A large number of tests are currently used as index tests, that is to say
their results have been correlated with aspects of the mechanical
characteristics of the ground including its cyclic load response. For
example the N value of a standard penetration test (SPT) or the cone
resistance of a cone penetration test is often correlated with soil strength
and stiffness. ln this section two such correlations which have been
proposed are briefly outlined and discussed as illustrations of this
approach.
(i) Liquefaction potential correlated with penetration resistance. Soil
density is an important factor in determining liquefaction potential.
Since density also governs the penetration resistance of a probe, it is
natural that researchers should search for a link between penetration
resistance and liquefaction potential. A number of correlations have
been proposed and reference should be made to the expositions in Seed
(1979), Seed and ldriss (1981) and the useful discussions in Seed (1985).
This subject is covered in Chapter 7.
110 CYCLIC LOADING OF SOILS
(ii) California bearing ratio - clay stiffness correlation. For design
purposes, pavement subgrades are generally characterised by the Cali-
fornia bearing ratio (CBR). This is a penetration test developed for use
with empírica! pavement design methods and is not directly applicable to
the analytical approach to design. However, since the CBR test is in
widespread use, correlations with elastic stiffness have been proposed
(e.g. Powell et al., 1984) and are used in design computations in the
absence of more reliable data. The validity and the general philosophy
of correlating a penetration índex test with a resilient stiffness has been
criticised (e.g. Hight and Stevens, 1982). However, Brown et al. (1990)
performed a series of CBR and triaxial tests on recompacted specimens;
their results show that while the stress-resilient strain relationship is
very non-linear a correlation does indeed exist, but it depends on the
soil type. This matter is discussed in Chapter 6.
3.4 Physical model testing
3.4.1 Introduction
3.4.1.1 When is model testing appropriate? ln many cases the determi-
nation of the mechanical properties of the ground does not enable the
design problem to be solved with a sufficient degree of accuracy or
certainty. ln such situations it may be appropriate to perform physical
model tests to assist in the following cases:
(1) Where existing soil models are insufficiently developed to provide
good predictions.
(2) Where the boundary conditions make the analysis prone to error.
(3) Where the analysis requires the simultaneous solution of a
number of problems (e.g. where pore fluid flow and soil failure
mechanisms must be simultaneously considered in dynamic formu-
lations for seismic analyses).
A number of classes of physical model types may be identified.
(1) Those that attempt to model a specific and individual prototype,
such as a particular reservoir dam, attempting to reproduce the
individual soil layers and other geological features [e.g. the
Grimwith Reservoir dam (Rowe, 1972)].
(2) Those that seek to model a range of configurations with the
intention of gaining a wider insight into the influence of certain
parameters on the behaviour of a particular prototype [e.g. the
study of the mechanics involved in the collapse of levees along the
Mississippi River (Schofield, 1980)].
CYCLIC LOAD TESTING OF SOILS 111
(3) Those that use simple and well-defined geometry in order to gain
an insight into a class of problems [e.g. the behaviour of unlined
tunnels in homogeneous clay deposits (Mair, 1979)].
Useful discussions on the subject of physical modelling for geotechnical
design purposes may be found in Bassett et al. (1979).
3.4.1.2 Stress leveis in the model and in the prototype. Soils have
stress-dependent properties: their strength and stiffness and hence their
deformations and failure mechanisms are determined by the overall levei
of applied effective stress. Therefore, models which experience different
stress leveis from those which will be experienced in the prototype
cannot provide an accurate representation of prototype behaviour.
. Suction, and other factors which tend to produce a cohesive effect in
soils such as cementing, electrostatic forces in fine grained soils, ageing
and so on, have a disproportionately high levei of influence on models
at low stress leveis.
While these difficulties suggest that small models will be of little
assistance, larger models also have drawbacks, in terms not only of cost
and inconvenience, but also the time taken for excess pore pressure
dissipation to occur if long-term behaviour is of interest. ln order to
take advantage of small-scale models the centrifuge technique has been
developed. Models are accelerated and tested at prototype effective
stress leveis, hence eliminating some of the difficulties associated with
modelling which have been outlined. Centrifuge testing is not without its
own problems, and consequently models at normal gravity (1 g) are still
used often with corrections (Hettler and Gudehus, 1985). Modelling
may thus be conveniently divided into two, namely centrifuge techniques
and Earth gravity (1 g) techniques.
3.4.2 Centrifuge modelling
3.4.2.1 Principies of centrifuge modelling. The operating arrangement
of the centrifuge is shown in Figure 3.26. An Nth-scale model (i.e. all
dimensions are N times shorter but with all angles maintained) is
constructed and instrumented in the test package container which is
installed on the horizontal arm pivoted at the central axis. The arm is
then rotated around the centrifuge axis from stationary up to some
angular velocity w radians per second. The package swings up as the
horizontal component of the package weight increases. The inward
acceleration on the package due to the constant inward force which the
arm imposes on the package and the model cause an artificial field,
equivalent in all respects to a gravity field. The angular velocity is
increased until the acceleration field at the model is Ng.
112 CYCLIC LOADING OF SOILS
.- ' problems are briefly examined in Santamarina and Goodings (1989) and
.. ~
1---,--~---'-s-~~~~~-,...,-~,-,t"" · •. swings up into
~~:.::_=_t~!t~t~~t~~-"--'----'--'~~.______;a~~~~~
· P • : ... ~"'-.".;,. •~_.-:-:~..
contrnl /monitoring
cables
Figure 3.26 General section through a geotechnical centrifuge during testing.
The acceleration (a) of the model located at distance r from the
centrifuge axis rotating at frequency f (revolutions per second) is given
by:
a = roi = 41T 2 rf 2
For instance, a 100-g field may be produced by rotating a package at a
radius of 4 m at 2.5 revolutions per second. ln principle the stress
conditions existing at any location within a 1/100 scale model at 100 g
are identical to those in the geometrically equivalent location in the
prototype. Hence its deformations, etc. will be identical, and hence the
response of the model as a whole will be similar to that of the
prototype.
3.4.2.2 Experimental shortcomings of the centrifuge test
(i) Stress non-uniformity. The stress conditions within the model itself
are only approximately uniform. For instance, the gravity field increases
in intensity towards the base of the model (since the radius of rotation,
r, increases towards the base) and the 'horizontal plane' is curved in the
model. Substantial uniformity of stress condition can be achieved by
locating the model package at a large distance from the axis of rotation
rela tive to the model size.
(ii) Similarity. The appropriate scaling factors may be determined
from similarity considerations and have been published extensively in
the literature (see, for instance, Kutter and James, 1989). One problem
that arises is that timescales are dependent on the type of event
considered. For instance, the timescales for diffusion (excess pore
pressure dissipation) and dynamic events are 1/N 2 and 1/N respectively.
ln many cases, in which the model is subject to repeated loading, the
interaction between diffusion and dynamic phenomena is important. 1t is
clear that similarity cri teria for both may not be satisfied simultaneously.
CYCLIC LOAD TESTING OF SOILS 113
(iii) Effect of instrumentation. One major problem with centrifuge
testing is that the instrumentation used is large in proportion to the
models tested, and this may have a significant influence on the results.
For example, ao instrument cable 1 mm in diameter constitutes a strong
reinforcing element 100 mm in diameter in a model at 100 g. These
//
' .
-~ ;;_· test package which
the discussion on Bolton and Powrie (1987).
11 (iv) Slip plane characteristics. Slip planes are generated during the
-:--ª->~~--;~;_~.",..-'!:::'.. -:~-.4·;.
hori_zontal ~osition
durmg testmg deformation of soil structures constructed from granular materials and
overconsolidated clays. lt is believed that the principal determinant of
the thickness of the slip band is the particle size and that the overall
geometry is not of great influence (Malhaus and Vardoulakis, 1987).
Accordingly, if the sarne soil is used in the model and the prototype, the
slip bands will be N times oversized in the model. If, on the other hand,
the soil grading in the model is scaled down, then the properties
(especially the permeability characteristics) will be altered.
(v) Boundary effects. Since the centrifuge test is performed in a box
with rigid side walls, friction stresses will be developed along the
sample-wall interface which would not be present in the prototype
(Whitman and Lambe, 1987). Furthermore, in dynamic tests waves will
also be reflected back from the boundary which would, in the prototype,
be radiated away.
(vi) Instrument response times. One effect of using small-scale models
is that the time in which various processes occur is greatly reduced, and
this makes considerable demands on the instrument transducers and
their associated recording systems. Significant problems arise for pore
pressure measuring systems in particular. ln Figure 3.6, for instance, the
response of miniature pore pressure transducers consolidated into a silty
clay soil is shown to be less than complete even at moderate frequencies
of 0.1 Hz. Dynamic vibrations with a frequency of about 100 Hz may be
important for centrifuge model tests in some circumstances (e.g. earth-
quake simulations), and the response capability of the pore pressure
transducers at these high frequencies must be questionable, particularly
in low-permeability soils.
Ao important technique that can be used to assess and quantify the
effect of these problems on the model performance is to 'model models'
(Schofield, 1980). This involves testing two models representing the
sarne prototype at two different scales, say N = 40 and N = 100. This
assists greatly in extrapolating model results to the prototype (N = 1)
situation.
3.4.2.3 Examples of centrifuge use. The centrifuge has been widely
used for modelling cyclic loading situations. Ao example is the model-
ling of earthquakes.
114 CYCLIC LOADING OF SOILS CYCLIC LOAD TESTING OF SOILS 115

Lee and Schofield (1988), for example, tested sand embankments,
shown diagrammatically in Figure 3.27(a). Also shown is the disposition
of the pore pressure (PPT) and accelerometer (ACC) instrumentation.
-i.----------------120mm---------->l
ln) General nrrnngemenl of test embnnkment indicnting instrument locntions lcircles represent pore
pressure trnnsducers nnd nrrows represent nccelerometersl.
v-..--_J
150
(b) Selected instrument records during n pnrticulnr enrthqunke event
Accelerometer ACC 988 is used to measure the reference input motion.
The models were tested at 40 g and 80 g so that the equivalent model
scale N was 40 and 80 in each case, corresponding to prototype
embankment height of 3.6 and 7.2 m respectively. ln each case the pore
flui d use d was silicone oil with viscosity N centistokes ( cSt), the
viscosity of water being 1 cSt at 20 ºC. Some of the models were formed
by pluviating sand through silicone oil, others by pluviating it through
air and then saturating the dry model with oil. The 'bumpy road'
mechanism employed enabled earthquake-type accelerations to be ap-
plied to the package. Figure 3.27(b) shows the recorded response of
-re1erence various instruments for a particular earthquake event indicating liquefac-
nccelerometer
•cc 988 tion at the top of the embankment (e.g. note the rise in pore water
pressure and the change in frequency spectra during the event). The
effect of this liquefaction on the distribution of vibrations within the
PPT 2338
20.0
embankment is seen in Figure 3.27(c).
An example of model tests on clay embankments is given by Kutter
and James (1989), who instrumented their tests using threads of lead
particles suspended in water-soluble oil injected into the specimen to
provide deformation markers.
Tests performed by other researchers have often involved a 'soil
system' rather than an identifiable prototype structure. For instance
200 Hushmand et al. (1988) used an instrumented 'laminar box' to model the
performance of a column of soil during earthquake-induced liquefaction.

º·'°
036
rt 3.4.2.4 Use of the centrifuge as a design technique. While the cen-
trifuge may be used as a design tool in the broad sense that it provides
li I Fourier spectrn for first 75ms A lii) Fourier spectrn for lnst 70 ms an indication of phenomena and trends for which a designer must
,1
0.32 ,11
,,, account, it is not a design tool in the narrow sense of being an accurate
028 ~ 0.28
/1\
,11
means of determining individual prototype behaviour.
1~1~ !:! Schofield (1980) states that 'the limitations of centrifuge models
O 24
f: Hnrmonics ~024 li'
:1: remain serious', citing the examples of fine control of water content of

/,,\ j
- - - ACC 1225
N
:e 0.20
1l 0.20
li'
:1:111
-ACC 731.
low-plasticity soils, the limitation of the prototype size that may be
---Acc121s handled in existing centrifuge package arrangements, and the different
\
1
-ACC 734
:i.:
,,,
0.16
,: cn 0.16
'1'
:1:
timescales required to model different types of event. Ananderajah and
1
1 1 3rd Arulanandan (1984) state that 'we believe that the centrifuge model
11 l
1
0.12 1 4th
3rd : 1 : 2nd 1 1 5th technique is very powerful in verifying theories and studying various
1 1 11 1 1 1 1
1 o.os • 1 1 1 t, 1 1 phenomena associated with the behaviour of structures but cannot be
1 4th Sth '\ f \ ~ /1 ~ 1 ,,. I ,.
used at present for accurate prototype predictions'. Bolton (1979),
:
1
1
1
0.04 \ "./ I
i.f
t,11),~~\ 11 \
11 1.. r ~\
1 ,,\ ~-, ,,.
l ~ 11 'f\
1 1 -,
1
11
1 'J 'v 1 '~' 1
~f V ' \/ however, points out that the value of predictions of the 'most likely'
20Ó 300 400 500 600 behaviour of the prototype is sometimes of little practical importance,
Frequency: Hz
but that 'it is usually much more important to determine and thereby
1e) Fourier spectrn for two time segments during lhe enrthqunke illustrnting lhe chnnging response
with time control the 'relatively unlikely, but possible', behaviour'. lt is in this
region of investigation that the centrifuge arrangement may yield the
Figure 3.27 Centrifuge test on a model submerged island. (Adapted from Lee and
Schofield, 1988.)
most valuable insights.
116 CYCLIC LOADING OF SOILS
3.4.3 Earth gravity models
3.4.3.1 Introduction. Because of the limitations mentioned in section
3.4.1.2 above, it is important that the stresses in the model are similar
to those in the prototype. This means that for Earth gravity models to
behave in a similar way to the prototype small scaling ratios N must be
used. Sometimes, however, a model with a moderate scale (e.g. N = 3)
may usefully be constructed and tested in the Earth's gravity. Although
the stresses are, say, one-third of those in the prototype, and hence the
mechanisms may not truly represent those in the prototype, a good <leal
of useful data may be produced, particularly if the soil in the model is
placed at a higher void ratio than that anticipated in the prototype to
attempt to simulate the dilation suppression characteristics of the greater
stress levels in the prototype. Difficulties such as the disproportionate
effects of cementation, suction and so on will remain, as will the
different time factors regarding diffusion and dynamic events. And, of
course, the loading systems may be impracticably large and expensive.
But a one-third scale model contains only 4% of the volume of the
prototype and may be economic in many situations. lt may also be
possible to make a correction for the lower stress state in a 1- g model as
noted above (Hettler and Gudehus, 1985).
lt is impossible to say generally what significance should be given to
the results from Earth gravity models, but in some circumstances a
one-third scale Earth gravity model may have significant advantages
over a small scale centrifuge model. These advantages may include:
(1) Better control and simulation of soil placement techniques.
(2) Better control over complicated boundary conditions.
(3) Less influence from instrumentation.
(4) More realistic interna! slip planes
3.4.3.2 Model test facilities. A number of dedicated model test facilities
have been established. One example is the pavement test facility
installed at the University of Nottingham, in which half-scale pavement
structures are tested under ideal conditions. For studying earthquake
loading, a number of 'shake table' facilities have been constructed on
which a 1- g model typically weighing from 1 to 50 tonnes (depending on
the machine capacity) is subject to controlled shaking by hydraulic
actuators attached to the table.
3.4.4 Dynamic characteristics testing
ln some cases it is possible to test assumptions by non-destructive testing
of a full-scale structure. An example of this is dynamic characteristics
CYCLIC LOAD TESTING OF SOILS 117
testing. lf a structure is loaded at its natural frequency, even small input
loadings may be amplified to produce large oscillations which are likely
to damage the structure. ln instances where resonance is a possibility,
for example machine foundations and structures in seismically active
regions, engineers need to know the dynamic response of their designs
in order to ensure that the predominant frequencies which may be
imposed are not those at which the structure will resonate. A common
means of determining the resonance characteristics of an existing struc-
ture is to impose a pulsed excitation at one point and measure the
resulting displacements [e.g. Petrovski et ai. (1974), who performed
vibration tests on the 56-m-high Mavrovo dam in West Macedonia]. The
pulse frequency is altered so that an excitation plot ( displacement as a
function of frequency) may be determined, and hence various vibration
modes and damping characteristics for the structure can be determined.
3.4.5 Case histories
One source of 'model' test data which should briefly be mentioned is
published case histories, although the scale is N = 1 in such cases. These
provide a convenient way of establishing modes of behaviour, but the
quality of monitoring, the lack of detailed information typically provided
and other factors will affect the reliability of such data.
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Seed, H. B. (1979) Soil liquefaction and cyclic mobility evaluation for levei ground during
earthquakes. Proc. ASCE 105(GT2): 201-255.
Seed, H. B. (1985) Discussion on 'A note on earthquake induced liquefactions' by Morris,
D. V. (1983) Géotechnique 35(3): 369-370.
Seed, H. B. and ldriss, I. M. (1971) Simplified procedure for evaluating sai! liquefaction
potential. J. Div. Sai/ Mech. Found. Engng, ASCE 97(SM9): 1249-1273.
Seed, H. B. and ldriss, I. M. (1981) Evaluation of liquefaction potential of sand deposits
based on observations of performance in previous earthquakes. ln: ln situ testing to
evaluate liquefaction susceptibility. Proceedings of the ASCE National Convention, St
Louis, Missouri, October 1981.
Seed, R. B., Anwar, H. A. and Nicholson, P. G. (1989) Elimination of membrane
compliance effects in undrained testing. Proceedings of the 12th International Conference
on Sai/ Mechanics and Foundation Engineering, Rio de Janiero, 1: 111-114.
Sherif, M. A. and Burrous, C. M. (1965) Temperature effects on the unconfined shear
strength of saturated cohesive soil. Proceedings of the International Conference on
Effects of Temperature and Heat on Engineering Behaviour of Soils. HRB Special Report
103.

4 Foundation design of offshore gravity structures
K. H. ANDERSEN
4.1 Introduction
Offshore gravity structures include gravity platforms for offshore oil and
gas production, breakwaters, harbour structures, storm surge barriers,
anchor systems for floating structures, etc. Gravity structures have been
installed offshore in waters where severe storms may occur, subjecting
foundations to combinations of static and cyclic loads. Offshore gravity
structures can be founded on various soil types including soft clay, stiff
overconsolidated clay, calcareous sand, or very dense sand. Some of the
major foundation design aspects are:
(1) Bearing capacity.
(2) Cyclic displacements.
(3) Soil stiffness for dynamic analyses.
(4) Settlements dueto cyclic loading.
Each of these aspects will be dealt with in this chapter by defining the
problem, describing calculation procedures that are applied in practice,
and comparing calculations with measurements from prototype observa-
tions and model test results.
First, however, examples of typical gravity platforms and soil condi-
tions will be presented. Then typical wave loads and design storm
composition used for design of gravity platforms in the North Sea are
given. The stresses in the soil beneath offshore gravity platforms are
described, and the laboratory tests that should be conducted to simulate
the in-situ stresses as closely as possible and to provide the soil
parameters required for the foundation design analyses are discussed.
Emphasis will be put on offshore gravity platforms, but the founda-
tion design aspects are similar for the various types of gravity structures,
and the sarne design procedures can be applied. These design pro-
cedures are also applicable to structures subjected to cyclic loading in
general, and not only offshore.
4.2 Typical offshore gravity platforms and soil conditions
Offshore gravity platforms may serve several different purposes, e.g.
FOUNDATION DESIGN OF OFFSHORE GRAVITY STRUCTURES 123
drilling, production, treatment, living quarters, and sometimes also oil
storage. The offshore gravity platforms are constructed in a dry dock
and near land, towed to the site, and installed by ballasting with water
(Figure 4.1). During the past 16 years, 20 gravity platforms have been
installed in the northern North Sea in connection with the oil and gas
production in this area, and more platforms are being planned.
Three typical offshore gravity platforms will be used as examples.
These are the Ekofisk oil storage tank, the Brent B Condeep platform,
and a North Sea deep-water platform. These three platforms are
different in design, and they are designed for widely different soil
conditions.
(i) The Ekofisk oil storage tank was installed in 70 m water in the
North Sea in 1973 as the first of a number of gravity structures in this
area (Bjerrum, 1973a; Marion, 1974; Clausen et al., 1975). The tank
was meant for oil storage to maintain production in bad weather. The
tank also carries two decks with a total area of 11000 m 2 , providing
space for processing and pumping equipment.
The Ekofisk tank has a horizontal cross-section shaped like a square
with rounded corners (Figure 4.2). The diameter of an equivalent circle
would be 97 m. The oil is stored in nine interconnected compartments
surrounded by a perforated breakwater wall. Beneath the tank, 400-mm
concrete ribs extend beneath the periphery and across the underside of
the base (Figure 4.2). Scour protection, consisting of well-graded gravel
with a maximum grain size of 80 mm is placed on the seafloor around
the tank. The scour protection is about 10 m wide and 1-1.5 m thick.
(a) Construction of caisson
-lf --~•
base in dry dock (b) Slipforming of (e) Slipforming of
caisson walls shafts
1
_sraelde~
(d) Deck mating at deep (e) Tow out
water site
Figure 4.1 Construction sequence for concrete gravity structures (Mo, 1976).
124 CYCLIC LOADING OF SOILS FOUNDATION DESIGN OF OFFSHORE GRAVITY STRUCTURES 125

Section A-A Section B-B

80 cm 70 cm
f----------1 f------1

40cmK_f4oc~
H H
30 cm 20 cm

Undrained shear strength (kPa)

Sea floor - -?O m O 200 400 600

.e 10 Fine sand
rn~
m E
e~
20
Fine sand .
Stiff sandy cla,r·--:·7--2r"-f-l--+--+----+--I

15 o
o • o
30
Section !-! Section II-II Hard clay
-E 2 40
a} ro
Figure 4.2 Horizontal and vertical sections of the Ekofisk oi! storage tank (Clausen et ai., O ~ 50
1975)
60

The submerged weight of the Ekofisk tank was 1900 MN at the end of
installation. This weight is likely to have increased since then because of UU triaxial
the installation of more equipment. • Unconfined compression test
o Pocket penetrometer
The Ekofisk tank was designed for a characteristic wave height of
24 m. The corresponding characteristic wave forces are a cyclic hori- Figure 4.3 Soil profile, Ekofisk oi! storage tank (Clausen et ai., 1975).
zontal force of 786 MN anda cyclic moment of 28000 MNm. The waves
will also cause cyclic water pressure variations on the seafloor outside
the tank. First-order wave theory gives a characteristic cyclic water
pressure of 60 kPa for a 24-m wave.
The seabottom beneath the Ekofisk tank consists of fine sand to a Silt Sand Gravei
100
depth of 26 m. Interbedded in this sand layer at a depth of about
16-18 m is a layer of stiff clay with low plasticity. Below 26 m, hard
clays are interbedded with sand layers to great depth. A soil profile is
e
Cll
-5
ai
75 í
shown in Figure 4.3, and grain-size distributions and maximum and
minimum porosities of the upper sand are shown in Figure 4.4. Cone
e
.;::::
EQ) 50
/
penetration tests carried out before the tank was installed indicated that
I
(.)

the sand was very dense with a relative density of the upper metres of ai
Cl..
25
about 100%.
The Ekofisk tank was instrumented to measure oceanographic data,
pore pressures in the soil foundation, and the settlement and tilt of the o ./
V
0.002 0.06 2.0 60
tank (Clausen et al., 1975). The Ekofisk tank has been subjected to
several major storms since its installation. The most severe occurred on Grain size diameter (mm)
19 November 1973 and is believed to have caused a cyclic moment of
about 73% of the characteristic force. The most severe storm in which Maximum porosity, ílmax = 48 %
foundation performance was measured occurred on 6 November 1973. Minimum porosity, nmin = 34 %
The maximum wave height was about 16 m, and the cyclic horizontal Figure 4.4 Grain-size distribution for the upper 1-2 m of sand beneath the Ekofisk oi!
force was estimated to be about 48% of the characteristic force. storage tank (Clausen et ai., 1975).
126 CYCLIC LOADING OF SOILS FOUNDATION DESIGN OF OFFSHORE GRAVITY STRUCTURES 127
(ii) The Brent B Condeep platform was installed in 140 m water in the 1 1

British sector of the North Sea in 1975 (Eide et al., 1976). The upper M.W.L ., EI + 145.3 m
45 m of the foundation soil consists of stiff to hard clay with a few thin ,,
-
layers of dense sand (Figure 4.5). Geophysical investigations indicated
sand to great depth below 45 m.
The Brent B platform has a base composed of 19 cylindrical cells
penetrating 4 m into the soil (Figure 4.6). The equivalent diameter of
the platform base is 90 m.
The submerged weight of the platform is about 2000 MN. It is
designed for a characteristic wave height of 30 m. The corresponding
El+6 O.O m
----3 - 1
- -
characteristic wave forces are a cyclic horizontal force of 500 MN and a -
cyclic moment of 20 000 MN m.
EI+ 4.2m
d!
-
EI O.O m <, Dome
-= /' // u number
100 m

Undrained Figure 4.6 The Condeep Brent B platform.

Water shear
content (%) strength (kPa)
0204060 O 200 400 600
The Brent B Condeep platform is heavily instrumented (Andersen
and Aas, 1980). The geotechnical measurements include pare pressures,
base contact stresses, accelerations, settlements and lateral displace-
ments. The most severe storm in which foundation performance was
10

---·-
..
.
~
measured occurred in December 1975. The maximum wave height was
about 20 m. The cyclic horizontal force was about 34% and the cyclic
moment about 43% of the characteristic values.
20 . ____.
.,......_
(iii) The North Sea deep-water platform in Figure 4.7 is one of the
Depth
.
(m)

30 -,.__,

..
40
H

50

..
60

Figure4.7 Wave data, geometry, and Joads for a typical North Sea deep-water gravity
Figure 4.5 Soil profile, Brent B (Andersen and Aas, 1980). platform concept on soft clay.
128 CYCLIC LOADING OF SOILS FOUNDATION DESIGN OF OFFSHORE GRAVITY STRUCTURES 129

Condeep SP concepts that has been designed for the large water depths
and the soft clay in the Norwegian Trench. The water depth for the
concept in Figure 4. 7 is 330 m, and the soil consists of soft, normally
consolidated, clays to great depths (Figure 4.8).
The Condeep SP concept in Figure 4.7 has a base composed of a
number of cylindrical cells penetrating 30 m into the soil. The equivalent
diameter of the platform base is 150 m and its submerged weight is
2500 MN. The platform is designed for a characteristic wave height of
30 m. The corresponding characteristic wave forces are a cyclic hori-
zontal force of 600 MN and a cyclic moment of 100 000 MN m.
These examples show that gravity structures can be designed for
various soil conditions, even when they are subjected to severe cyclic
loading and situated in waters several hundred metres deep. From a
geotechnical point of view, gravity structures are thus feasible for most
situations in which offshore structures are currently planned, including,
for example, the soft soil conditions existing at sites offshore China,
UNDRAINED SHEAR
WATER CONTENT, % t: E STRENGTH, kPa
. - ..,..
20 40 60 80
·:,. ..
..
lndia and Japan and in the Gulf of Mexico, dense soils offshore Canada
and calcareous soils offshore Australia.
4.3 Wave loads
The soil beneath an offshore gravity platform is subjected to a static
load due to the submerged weight of the platform and cyclic loads as a
result of the wave action. The wave action causes a large number of
cyclic horizontal, vertical and moment loads and will in addition cause
cyclic water pressure variations on the seafloor outside the platform.
The North Sea platforms are generally designed for wave forces and
storms with a 100-year return period. Examples of characteristic (i.e.
maximum) wave loads for typical platforms were given in the previous
section.
A design storm composition recommended by the Norwegian Petro-
leum Directorate (NPD, 1987) for the North Sea consists of an 18-hour
I-
I
generation period with the significant wave height increasing from 0.5 to
1.0 times the characteristic significant wave height, and a 6-hour peak
º
w
s"" period with the significant wave height equal to the characteristic one,
and an 18-hour reduction period. Examples of wave load compositions
Zz for the 18-hour generation period and the 6-hour peak period are given
::::, ..>:'. O 50 100
in Table 4.1. ln the examples in Table 4.1, the wave loads have been
15.0

-~ -.
.... 16.0 \ divided into groups. ln reality, the wave loads will vary from one wave
to another in an irregular manner. The design storm composition is

\Vt -
10
:., -.
~
i ' 1 • .. (compression)
expressed in terms of loads, and it depends on the composition of wave
heights and wave periods in the storm. lt also depends on the load

.... . '.. -.·

ô [wp 1
1
WL 17.0 Direct simple she ar response characteristics of the platform, and is therefore platform-
~ 20 1

<(
w 17.3 dependent. Both the characteristic loads and the design storm composi-
1 >- --"--1 ~assive
(/)
i 19.6 (extension) tion must include dynamic amplification of the loads due to flexibility of

i+i
S 30 1 20.0
o the platform and the soil foundation. The determination of the soil
_j
w
co
I
l-
o..
40 ~ : i
1

20.5 \~ stiffness to be used in the dynamic analysis is discussed in section 4.6.

The wave period generally increases with increasing wave height. The
period for the characteristic wave is typically 15-20 seconds.
w ~ ln addition to the design storm, the platform will be subjected to
o
·,
1

- 1

50
1 1 20.7 cyclic wave loading throughout its lifetime, and the effect of storms over
i

60
1 J 1 1 20.8
periods longer than the design storm must be considered in foundation
design. For platforms on soft clay with no continuous high-permeability
layers, approximately undrained conditions may prevail during the
whole 30- to 50-year lifetime of a platform. However, if there are
1 .

i .. 21.0 continuous high-permeability layers within the clay, or if the clay is stiff
70 1 1

instead of soft, some pore pressure dissipation will occur, but cyclically
Figure 4.8 Borehole profile in the Norwegian trench (Eide and Andersen, 1984). induced pore pressures may still accumulate from one storm to another.
130 CYCLIC LOADING OF SOILS FOUNDATION DESIGN OF OFFSHORE GRAVITY STRUCTURES 131

Table 4.1 Example of design storm compositions. to formulate a soil model which properly accounts for these complicated
(a) Composition of 18 hours' storm generation.
stress conditions. This chapter therefore follows the stress path philo-
Load in % of Number of cycles sophy previously used for static loading situations (e.g. Lambe, 1967;
maximum load Bjerrum, 1973). The stress path philosophy is based on performing
0-10
laboratory tests which simulate the stress conditions in the foundation
2228
10-20 1450 soil. The soil parameters at locations between those simulated are
20-30 645 determined by interpolation. A simplified picture of the shear stresses in
30-40 324 a few typical elements along a potential failure surface is shown in
40-50 161
50-60 74 Figure 4.9. The elements follow various stress paths [which may be
60-70 34 approximated to triaxial or direct simple shear (DSS) types of loading],
70-80 11 and they are subjected to various combinations of average shear
80-90 4
90-92.5 1.4 stresses, Ta, and cyclic shear stresses, 'l'cy·
For element 2, the weight of the platform gives higher vertical than
Total number of cycles 4932 horizontal static normal stresses. (This corresponds to a positive Ta with
the definitions used in Figure 4.9.) Element 2 will therefore during
(b) Composition of 6 hours' peak duration. cyclic loading tend to compress vertically. Element 4 is in the passive
zone, and the weight of the platform causes higher horizontal than
Load in % of Number of cycles
maximum load
vertical static normal stresses. During cyclic loading, element 4 will
therefore tend to compress horizontally and extend vertically. Element 2
20 900 is therefore best represented by a triaxial compression test and element
37 500
49 200
4 by a triaxial extension test.
58 90 ln elements 1 and 3 the shear surface will be horizontal. These
64 50 elements are therefore best represented by DSS tests, and DSS tests
70 30 should be run to establish the shear strength on the horizontal plane,
77 15
83 8 i.e. the horizontal shear stress at failure.
89 4 Since both the shear strength and the deformation properties of soils
96 2
100 1
under cyclic loading are anisotropic, triaxial compression, triaxial exten-
sion and DSS tests should normally be included in the laboratory test
Total number of cycles 1800 programme for a gravity structure of some importance.

For platforms on sand, some drainage may occur during the design
storm, and it is unlikely that pore pressures will accumulate from one
storm to another.
The long-term load distribution over the entire lifetime of the
platform may be derived from a long-term cumulative load distribution
reflecting the average occurrence of sea states over a duration which is
at least 10 times as longas the platform lifetime (e.g. Inglis et al., 1985).

4.4 Soil stresses and relevant laboratory tests

The stress conditions in the soil beneath structures subjected to combi-

nation of static and cyclic loads are very complex, and it is very difficult Figure 4.9 Simplified stress conditions for some elements along a potential failure surface.
132 CYCLIC LOADING OF SOILS
ln this chapter, T denotes the shear stress on the 45º plane in the
triaxial test and the shear stress on the horizontal plane in the direct
simple shear test.
The average shear stress, Ta, is composed of:
(1) the initial shear stress in the soil prior to the installation of the
platform, To= 0.5(1- K 0)pó, and
(2) an additional shear stress, A Ta, which is induced by the sub-
merged weight of the platform,
where PÓ is the vertical effective overburden pressure, and K 0 is the
coefficient of earth pressure at rest.
The initial shear stress, To, is acting under drained conditions, and the
soil is consolidated under this stress. The shear stress due to the weight
of the platform, A Ta, will first act under undrained conditions, but as
the soil consolidates under the weight of the platform this shear stress
will also act under drained conditions.
ln the case of sand foundations, drainage will occur relatively rapidly,
and it is reasonable to assume that the soil consolidates under the
weight of the platform before the design storm arrives. As an example,
pare pressure measurements in the sand beneath the Ekofisk tank
during ballasting which increased the vertical pressure by 60 kPa in the
course of approximately 55 days did not show any excess pare pressure
in the sand as a result of this operation (Eide et al., 1979).
For clays, consolidation occurs much more slowly. For the Brent B
Condeep platform on silty, sandy, stiff to hard clay interbedded with
layers of fine, silty sand, pare pressure and settlement observations have
shown that consolidation was completed during approximately 10
months (Andersen and Aas, 1980). For the Statfjord A Condeep
platform on silty, sandy, very stiff to hard clay with only one sand layer
at a depth of 31-35 m, observations have shown that consolidation has
taken more than 3 years to complete (Lunne and Kvalstad, 1982). For
soft clays it is expected that consolidation may take much longer than 3
years to be completed.
The amount of consolidation and the corresponding increase in
effective stresses may be calculated by ordinary consolidation theory as
for structures on land. Experience from the North Sea is that consolida-
tion tends to occur faster than assumed in design (Lunne and Kvalstad,
1982).
The cyclic shear stress, Tcv, is caused by the cyclic wave loads. ln a
storm, the wave height and the period vary continuously from one wave
to another, and the cyclic shear stress will also vary from cycle to cycle.
The cyclic loading will cause a redistribution of the static stresses in
the ground, and Ta will thus also vary with time during the cyclic load
FOUNDATION DESIGN OF OFFSHORE GRAVITY STRUCTURES 133
history. This redistribution of Ta will occur under undrained conditions
in clays, but might be partly drained in sands.
The stress conditions described above are valid for an offshore gravity
platform, but similar stress conditions will exist for the other examples
of foundations subjected to combinations of static and cyclic loads
mentioned in the lntroduction. The main difference between cyclic
loading from waves and the other types of cyclic loading is the load
period and the number of cycles. The wave loads have a period of 5-20
seconds, and a sea storm contains thousands of cycles, whereas an
earthquake induces cyclic · stresses with a period of about 0.1-1.0
seconds and generally contains only 10-100 cycles. These differences
will not influence the fundamental behaviour of soils under cyclic
loading, but may influence the numerical values of the soil parameters.
To determine the soil properties needed in the foundation design
analyses, laboratory tests should be performed which are first consolid-
ated to the in-situ effective stresses and then subjected to shear stresses
that simulate the stress conditions of the various elements in-situ during
cyclic loading as closely as possible. With the existing types of labora-
tory equipment, it is not possible to reproduce all the different in-situ
stress conditions. However, triaxial and DSS tests simulate some impor-
tant stress conditions, and when run with appropriate combinations of
average and cyclic shear stresses the results from these tests can be used
to determine the soil properties required to analyse the behaviour of soil
foundations under combined static and cyclic loads.
4.5 Bearing capacity
An essential part of the foundation design of an offshore gravity
platform is to ensure that the foundation soil has sufficient capacity to
carry the large static and cyclic loads with an adequate safety margin
without excessive deformations. Failure during cyclic loading may be
associated with large horizontal or rotational cyclic displacements, large
cyclically induced average displacements (e.g. settlements), or a combi-
nation of large average and cyclic displacements.
Plate loading tests have shown that the bearing capacity under
combined static and cyclic loads may be significantly smaller than under
purely static loads (e.g. Stenhamar and Andersen, 1982; Dyvik et al.,
1989). One example is shown in Figure 4.10. It is therefore important
that the cyclic effects are properly accounted for in the evaluation of the
soil strength and in the stability analyses.
Previously, the foundation design has often been performed using a
static shear strength reduced for effects of cyclic loading. However,
analyses based on such a post-cyclic static shear strength may not always
134 CYCLIC LOADING OF SOILS FOUNDATION DESIGN OF OFFSHORE GRAVITY STRUCTURES 135

H shear stresses as shown in Figure 4.9 will respond as indicated in Figure

4.11. When the shear stress is increased by ô ia to ra, the soil will
experience an average shear strain ô y ª, and an average pore pressure,
ôuª. The cyclic shear stress will cause cyclic and average shear strains,
h
Ycy and Ya, which both increase with number of cycles. Toe cyclic shear
stress also causes cyclic and average pore pressures, Ucy and uª.
The pore pressure that is generated by the cyclic loading will cause
the effective stress path to move towards the failure envelopes (Figure
4.12). After a certain number of cycles, the failure envelope will be
reached and large shear strains develop. The cyclic shear strength, ít,cy,
will be:
Load, H _ _ _ _ Static capacity

'!a
'!01--1........i'---'......-l......- -

'!
a
Time !iya Ya Time Time

Figure 4.11 Development of shear stress, shear strain and pore pressure during cyclic
loading (general).

Figure 4.10 Comparison of results from model tests with static and cyclic loading (Dyvik
et al., 1989).
Failure
give a realistic measure of the safety margin against foundation failure envelope
under combined static and cyclic loading (Andersen et al., 1982). A
more realistic approach will be obtained by using a shear strength which
is determined under combined static and cyclic loading, similar to that
which the soil experiences in the field. A procedure where this 'cyclic
shear strength' is used to calculate the bearing capacity under combined
static and cyclic loads has been proposed by Andersen and Lauritzsen
(1988). The procedure can be used both for undrained and partly
drained cyclic loading conditions. o
The following sections define the cyclic shear strength, describe how
this strength can be determined from laboratory tests, and explain the
procedure to calculate bearing capacity under combined static and cyclic
loads. Comparison of calculated and measured bearing capacity for
model tests of gravity platforms on soft clay is also presented.
Failure
envelope
4.5.1 Cyclic shear strength

A soil element which is subjected to a combination of average and cyclic Figure 4.12 Effective stress path for a soil element brought to failure by cyclic loading.
136 CYCLIC LOADING OF SOILS FOUNDATION DESIGN OF OFFSHORE GRAVJTY STRUCTURES 137

The cyclic shear strength is not a material constant, but depends on Ta, (a) (b)
the cyclic load history (e.g. the number of cycles) and the stress path. 0.30
The failure may occur either as large cyclic shear strains, large
average shear strains, or as a combination of the two, depending on the
values of Ta and Tcy· If the values are such that the stress path during a
cycle is dose to the failure envelopes on both the compression and
extension sides, the failure mode will involve large-amplitude shear
strain ( y cy). If the stress path is closer to the failure envelope either on 0.10
the compression or on the extension side, the failure mode will involve 0.05
either large-compression or extension average shear strains (Ya)-
The number of cycles to failure and the failure mode can be o.ao
determined from a series of triaxial and DSS laboratory tests subjected
-0.1 O.O 0.1 0.2 0.3 o.o 0.1 0.2

to various combinations of Ta and Tcy· The results from such tests can be + 'tal cr'vc
t 'tal cr'vc t
plotted as functions of Ta and Tcy, as shown for DSS tests in Figure ~ -,-
SuC suDSS
4.13(a). Each point represents one test, and the numbers written beside cr'vc (J vc cr'vc
each point identify the number of cycles to failure and the failure mode, Figure 4.14 Number of cycles to failure, N 1, and shear strains at failure in tests on
i.e. the average and the cyclic shear strains at failure for that test. normally consolidated Drammen clay with OCR = 1: (a) triaxial; (b) DSS.
Failure is in this example defined as being when either Ycy or Ya reaches
15%. By interpolation and extrapolation of the test results, curves shear strain of 3-4.5% per hour. The results in Figure 4.13 and 4.14 are
defining the combinations of Ta and Tcy that cause failure after various from tests on Drammen clay, which is a marine clay with a plasticity
number of cycles can be drawn (Figure 4.13b). The failure mode can índex of 27%. The specimens were anisotropically consolidated with a
also be defined by symbols along the curves. The diagram in Figure ratio of horizontal to vertical effective normal stresses, K 0 , represent-
4.13b is transformed to normalised form in Figure 4.14(b). A diagram ative of one-dimensional consolidation to simulate in-situ consolidation
for triaxial tests is established in the sarne way (Figure 4.14a). The a~c is stresses. The specimens were consolidated above the in-situ preconsoli-
the vertical effective stress at end of consolidation. The su oss, sue and dation stresses to produce normally consolidated conditions. Further
Su E are the DSS, triaxial compression and triaxial extension undrained details on the testing conditions and the consolidation procedures are
static shear strengths, measured in strain-controlled tests with a rate of given in Andersen et al. (1988a), which also presents soil data for
overconsolidated clay.
The diagrams in Figure 4.14 show that, in DSS tests, the failure mode
a) will be large Ycy for small to moderate Ta values, and large Ya for Ta
values approaching the undrained static shear strength. ln the triaxial
80 80 tests, the failure mode will be large-compression Ya for Ta approaching
9 (20±3) =Nt (YaT'fcy ) the static compression shear strength, large-extension Ya for Ta ap-
'tcy 30 (0±15) •2s (16±6) 'tcy
(kPa) 150 1
proaching the static extension shear strength, and large Ycy for small and
> (o± ~J • 20 (23±1.5) (kPa) moderate values of Ta. The intersection of the curves with the Ta axis
105(19±1) lll.J-V-,,.__.
40 40 depends on the duration of Ta. ln Figure 4.14 the intersection is set
10000 5
> (0±~ ) • >15200 (2.9±0.1) equal to the undrained static shear strength in tests sheared with a rate
>10000 (0.9±0.1) Static (15±0) of shear strain of 3-4.5% per hour.
o _______.__________
o L--1..-__._ __._.....L,;...,_ The cyclic shear strength, defined previously as Tt,cy = (Ta + Tcy) 1, is
o 40 80 o 40 80 established by replotting the data in Figure 4.14. The result is shown in
'ta (kPa) 'ta (kPa) Figure 4.15, which shows that the cyclic shear strength and the failure
mode depend on Ta, the number of cycles, and the type of test. For
Figure4.13 Number of cycles to failure, Nt, and shear strains at failure, Ya ± Ycy, in cyclic triaxial tests, there is a difference between cyclic shear strengths in
DSS tests on normally consolidated Drammen clay: (a) individual test results; (b) curves
based on the individual test results. compression and extension. The compression failure occurs with Ya > O
138 CYCLIC LOADING OF SOILS FOUNDATION DESIGN OF OFFSHORE ORA VITY STRUCTURES 139

(a) (b) keep track of the pore pressure in the computations. Drainage will have
0.50 ,------,----,----,----,------,-, a positive effect in the sense that some of the permanent excess pore
15±0.25 pressures generated by cyclic loading may dissipate during the storm.
Cyclic loading accompanied by dissipation of permanent pore pressures
0.40 ('precycling') may also change the structure of the sand and increase the
resistance to excess pore pressure generation during subsequent cyclic
Extension loading. On the other hand, one needs to be cautious about relying
~ 0.30 upon the beneficial effect from reduced pore pressures which may
-t::)

--
()'
~ 0.20
0.10
N1=100
N1=1000
o.o
-0.1 o.o 0.1 0.2 0.3 o.o
♦ ♦
SuE 'tal a'vc sue
-,-
0 'vc CT vc
Figure 4.15 Cyclic shear strengths of normally consolidated Drammen clay with OCR
(a) triaxial; (b) DSS.
at failure, and the extension failure occurs with Ya < O. The cyclic
compression strength would be applicable for element 2 in Figure 4.9
and the cyclic extension strength for element 4.
Diagrams for Drammen clay with an overconsolidation ratio (OCR)
of 4 and some other soils are presented in Andersen (1988), which also
presents a plot for DSS tests which were allowed to drain under the
application of ~Ta·
The diagrams in Figure 4.15 give the cyclic shear strengths for
elements where the shear stresses are constant during the cyclic load
history. ln a storm, however, rcy will vary from cycle to cycle. The
equivalent number of cycles of the maximum shear stress, N eqv, that
gives the sarne effect as the actual cyclic load history must therefore be
determined. Procedures to determine N eqv are presented by Andersen
(1983). For clays (i.e. undrained conditions) N eqv may be computed by
keeping track of the cyclic shear strain during the cyclic load history.
This 'strain accumulation' procedure is described by Andersen (1983)
and by Andersen et al. (1978). For sands, Neqv may be computed by
accumulating the permanent pore pressure generated during the cyclic
load history (Andersen, 1981, 1983). The reason for using the accumu-
lated pore pressure for sands is that drainage is likely to occur during
the design storm in sands. To account for the drainage, it is necessary to
develop in dense dilating sand deposits during individual cycles, since
these cyclic pore pressures may also dissipate.
The irregular loading in a storm is taken into account by keeping
track of the development of the permanent pore pressure during the
cyclic load history. The pore pressure accumulation calculation is
performed using a pore pressure contour diagram established from cyclic
stress-controlled laboratory tests. The dissipation of the permanent pore
pressure, due to both drainage towards free drainage boundaries and
0.1 0.2 redistribution, may be determined by finite element analysis or, for
'tal a'vc s +DSS
_u__
idealised situations, by closed-form solutions.
ln addition to the drainage and redistribution of the permanent pore
a'vc pressure during the storm, the pore pressure variations within individual
= 1: cycles may also be influenced by drainage and redistribution. For dense
sands which tend to dilate during shear, this may mean that a part of
the pore pressure reduction that prevents the sand from developing
large shear strains may be lost. The cyclic shear strength may then be
less than with fully undrained conditions. The redistribution of the pore
pressure within individual cycles may be determined by finite element
analyses or from closed-form solutions.
ln principle, the cyclic shear strength could also be computed for clays
by accumulating the permanent pore pressure. ln practice, however,
laboratory pore pressure measurements are more difficult to perform
with good accuracy in clays than in sands. Since drainage will not take
place in clays, it is, therefore, preferable to use the shear strain to
determine the cyclic shear strength for clays. For situations where the
cyclic shear strength and the cyclic shear moduli under undrained
conditons are of primary interest, the shear strain will also be a more
direct parameter than the pore pressure.
4.5.2 Calculation procedure
The procedure for calculating the cyclic bearing capacity of a gravity
platform subjected to a combination of static and cyclic loads will be
explained by means of the simplified general example illustrated in
Figure 4.16. For simplicity, it is assumed that the normalised cyclic shear
140 CYCLIC LOADING OF SOILS FOUNDATION DESIGN OF OFFSHORE GRAVITY STRUCTURES 141

strength diagrams are valid for the whole soil profile. The cyclic load
history is expressed by an equivalent number of cycles, N eqv, with
constant cyclic loads.
With the •a
distribution that exists in the soil prior to cyclic loading,
the cyclic shear strengths of the four elements are indicated in the cyclic
shear strength diagrams as points 1 A, 2A, 3A and 4A in Figure 4.16. The
values of •a prior to cyclic loading could, for instance, be calculated by
finite element analyses. The cyclic shear strength diagrams indicate that
in the active zone with triaxial compression type of cyclic loading (point
2A) the soil will tend to develop a failure with large Ya and only very
small Ycy· ln zones with DSS type of cyclic loading (points 1A and 3A ),
the elements tend to develop failure with large Ycy· The Ya will be very
small in element 1, but in element 3 some Ya will tend to develop. ln
the passive zone (point 4A ), the soil tends to develop large Ycy· The
different elements along the potential failure surface will thus try to fail
in quite different ways. This will not satisfy strain compatibility along
the potential failure surface and cannot occur. The average stresses must
therefore redistribute such that the failure mode (i.e. the combination of
Ya and Ycy at failure) is approximately the sarne in all the elements along
the potential failure surface. An example of a stress redistribution which
fulfils strain compatibility is shown in Figure 4.16 by points 1B, 2B, 3B
and 4B_
To determine the stress redistribution and the values of •a at failure,
one can specify that:

(1) The combination of Ya and Ycy at failure is the sarne along the
whole potential failure surface.
(2) •a along the potential failure surface must be in equilibrium with
the platform weight.

0.3 With these two conditions the distribution of Ta, the cyclic shear
(.)
>
strength along the potential failure surface, and the safety factor can be
-1::) determined by iteration. The safety factor may be expressed by the
---- 0.2 Compression material coefficient, Ym, which is defined as the ratio of shear strength
[)' ~1
_r p to applied shear stress. The iteration includes the following steps:
0.1 0.1 DSS
N = Neqv (i) Assume a combination of Ya and Ycy at failure (e.g. points 1B, 2B,
3B and 4B with Ya ± Ycy = 15 ± 3% in Figure 4.16).
o.o '---..J._------1..-'---..J.__L_L.._..J.__L__._..J..__J o. o L.._..J.__L_L.._..J.__J
(ii) Read off the values of •a corresponding to the assumed Ya and Ycy
-0.2 -0.1 o.o 0.1 0.2 0.3 o.o 0.1 0.2
from the cyclic shear strength diagrams (Figure 4.16). The values of •a
tal cr'vc taf cr'vc should be determined for triaxial compression, DSS and triaxial exten-
'•
lf~c
1"t,cy
cr;. sion types of loading.
(Step (ii))* (Step (iv))* (iii) Determine the location of potential failure surfaces that give
For Ya ± Ycy = 15±3 %
Compr. 0.14 0.31 equilibrium with the weight of the platform. This can be dane by
DSS
Ext.
o.os
0.02
0.26
0.14
specifying the •avalues determined in step (ii) as strengths in limiting
equilibrium stability analyses with the weight of the platform as the
Figure 4.16 Simplified general calculation example. Cyclic shear strengths before and after driving force. The value of •a at each point can be determined by
redistribution of 'ª
due to cyclic loading, assuming a shear strain combination
Ya ± Ycy = 15 ± 3%. IA, zA, 3A and 4A indicate conditions for'ª values prior to cyclic
interpolation between •a for compression, DSS and extension condi-
tions, depending on the inclination of the potential failure surface at
loading. 1 8 , 2 8 , 3 8 and 4 8 indicate locations after redistribution of 'a as a result of cyclic
loading. *Refers to iteration steps described in the text. that point. (With the sign convention used in the laboratory tests and in
142 CYCLIC LOADING OF SOILS FOUNDATION DESIGN OF OFFSHORE GRA VITY STRUCTURES 143

the diagrams in this chapter, the sign of the extension value of from •a lnstitute (NGl) later extended to a family of programs which can
the diagrams should be changed when used in this analysis.) analyse a variety of different types of failure surfaces.
The location of surfaces that fulfil equilibrium with the platform ln addition to giving the partial safety factor, Ym, and the location of
weight (i.e. with a safety factor of 1.0) can be expressed by the location the critical failure surface, the calculations also indicate whether the
of the circle centre, as illustrated in Figure 4.17. critical failure mode will be large average platform displacements (e.g.
(iv) Determine the cyclic shear strengths, •t,cy, corresponding to the settlement), large cyclic platform displacements, or a combination of the
combination of Ya and Ycy in step (i) from the cyclic shear strength two. This can be deduced from the relative value of Ya and Ycy for the
diagrams (Figure 4.16). The values of •t,cy should be determined for critical condition.
triaxial compression, DSS and triaxial extension types of loading. The procedure assumes that all soil elements are subjected to the
(v) Perform stability analyses with the cydic shear strengths from step sarne shear stress history. The redistribution that occurs during cyclic
(iv) and with cyclic wave loads and weight of platform as driving forces. loading may cause the stress history for the most severely loaded
•t
The value of ,cy at each point can be determined by interpolation elements to differ from the shear stress history assumed when the cyclic
•t
between ,cy for compression, DSS and extension types of loading, shear strength curves were established. This could possibly lead to a
depending on the inclination of the potential failure surface at that progressive failure mechanism with greater cyclic degradation in the
point. The analyses should be made for the surfaces which were found most severely loaded zones. One reason why model tests have been
to fulfil equilibrium with weight of the platform in step (iii). The critical performed is to see whether this could have a significant effect. Based
surface is the one which gives the lowest material coefficient, Ym· This is on model tests in the laboratory (see section 4.5.3) and in the field, it is
illustrated in Figure 4.17. concluded that this effect generally is insignificant for clays, even in the
(vi) Return to step (i) and repeat the calculations for another case of soft clays with a sensitivity of about 10.
combination of Ya and Ycy· This iteration should be continued until the
combinaton of Ya and y cy which gives the lowest calculated material
coefficient in step (v) has been established. 4.5.3 Verification by model tests
The calculations are relatively simple and fast to perform. An
example of a convenient limiting equilibrium computer program is CAP The procedure for calculating the cyclic bearing capacity has been
(Lauritzsen and Schjetne, 1976) which the Norwegian Geotechnical checked against the results from model tests on clay. The model tests
include field tests, centrifuge tests and 1-g laboratory tests.
All the model test projects were aimed at checking the calculation
procedures and none of the projects was intended to provide results
which should be scaled directly to prototype conditions for design
7
purposes. With this aim it is believed that 1- g laboratory tests are as
/
/ valid as centrifuge tests for modelling the behaviour under undrained
/
/ cyclic loading. ln the case of direct modelling of a prototype, 1-g
/
laboratory model tests may have some limitations, such as the possibility
R
----
---- ', ......... __ .,,,..,. / /
/
of formation of an open crack along the outside of the skirts and the
Location oi circle 7
possibility of cavitation in the pore water in the case of large normal
centres which give 7 ·'S<'s
·'S<'o
stress reductions. When the purpose is to check the validity of a
equilibrium with the ,'.3$ calculation procedure, the tests can either be run such that these
platform weight l ~ ..
(from Step (iii))
·c10-m1nimum
1-:Js limitations are avoided, or the limitations can be accounted for in the
'-<to calculations.
'é weight
Material coefficient, Ym, for platform The different types of model tests all verified the validity of the
and cyclic wave forces calculation procedure. At present, most information has been released
(Step (v)) from the 1-g laboratory model tests, and it is therefore the results from
Figure 4.17 Determination of criticai failure surface and minimum material coefficient for these model tests that are used for documentation in this section.
one combination of Ya ± Ycy· The 1-g laboratory model tests simulated the conditions of an offshore
144 CYCLIC LOADING OF SOILS FOUNDATION DESIGN OF OFFSHORE GRA VITY STRUCTURES 145

gravity platform with long skirts situated on soft clay in deep water
(- 300 m), and were carried out at the NGI (Andersen et ai., 1989;
Dyvik et al., 1989). The project contained static, cyclic, and static after
cyclic model tests, and back-calculation by the procedure described in
section 4.5.2. Q)
"O
The model had a diameter of 400 mm and a skirt length beneath the o
clay surface of 95 mm. The clay bed was reconstituted and reconsolid- s
ated clay with a depth of 200 mm. The applied platform weight, W,
corresponded to W = 2.2Asu e, where A is the base area of the model,
and sue is the undrained static triaxial compression shear strength at
skirt tip level. The cyclic load was applied with successive load parcels
of varying amplitude and number of cycles under undrained conditions
(short test duration). The predominant order of cyclic amplitude for
+I +I +I
successive load parcels-increasing (largest load last) or decreasing o o o
(largest load first)-is specified in Table 4.2. The distance from the clay
surface to the point of horizontal load application on the model
(moment arm) was varied. The actual values are given in Table 4.2.
The results from the calculated and measured cyclic bearing capacities
for the three cyclic model tests are shown in Table 4.3. Two types of
-
o

failure surfaces (CARL and CARV) were used in the cyclic bearing
capacity calculations for each model test (Figure 4.18). For the CARL
type of failure surface, the soil beneath the structure moves in the sarne 8 8
o ó
direction as the applied horizontal load with the centre of rotation below 1

the lower boundary of the structure. For the CARV type of failure
surface, the underlying soil moves in the opposite direction with the
centre of rotation at or above the lower boundary of the structure.
The calculated failure loads agree well with the corresponding
measured values (second column of Table 4.3). The predicted failure
load is the lowest of the failure loads calculated with the two failure
surfaces (CARL and CARV).
As the third and fourth columns of Table 4.3 show, there is
agreement between the calculated most critical type of failure surface
and the measured behaviour (CARL, Zr < O; CARV, Zr > O) for model
tests NGI2 and NGI5. For model test NGI4, the CARL and CARV
types of failure surfaces are almost equally critical, and the measured
centre of rotation is dose to the skirt tip level.
"'~o°'I r--. . . . .\OI. . ,NO
.......+O'I . , \OI
.......+.......+
.....;~

Table 4.2 Moment arm and cyclic load order in the cyclic model test.

Model test Moment arm (mm) Cyclic load order

NGI2 400 Increasing

NGI4 300 Increasing N 'SI"

NGI5 400 Decreasing G G "'

G
z z z
146 CYCLIC LOADING OF SOILS
FOUNDATION DESIGN OF OFFSHORE GRAVITY STRUCTURES 147

CARL CARV

Figure 4.18 Illustrations of the CARL and CARV types of failure surfaces.

The calculations predict that the failure mode is large cydic displace- observed displacements
' 1

ments (i.e. cydic horizontal displacements or cydic rotations) for all the o ±2 ±4 ±6 ±8
mc;del tests. This is seen from the combination of average and cydic Horizontal displacement, max (cm)
shear strains which produce the most critical conditions in the calcula-
tions (Ya + Ycy, fifth column of Table 4.3). The last column of Table 4.3
shows the ratio of measured cydic vertical displacement at the platform E
z
base periphery (0.5D0cy) to the measured cydically induced settlement, ~
±1.5
Dv, at failure. Some settlements are observed in all the model tests, but à
~

the numbers in the last column dearly show that cydic displacements X
Cll ±1.0 f---.f--.---1,-,,,<..--Calcu lated-+-------1
were predominant in all the tests, in agreement with the calculations. E
ln summary, the comparison of measured and calculated results for E 1
Q)
the model tests show that the design procedure for stability analysis is E H--F-:-,....=+-~ Calibrated to
o
capable of predicting cydic failure load, type of failure surface and ~ observed displacements
failure mode.
o ±2 ±4 ±6 ±8
Rotalion, max (1 Q·4 rad)

4.6 Cyclic displacements and soil stiffness for dynamic analyses
Cydic deformations in the soil and cydic displacements of the platform
induce stresses in the oil wells, risers, and pipeline connections. Large
cydic platform displacements and high accelerations may also become
unpleasant for the crew and damage the equipment on board.
Soil spring stiffnesses are required in the dynamic analyses of the
platform. The dynamic analyses must ensure that the resonance periods
of the platform are sufficiently far away from the wave periods with
significant energy. However, even if the load period is not dose to any
of the resonance periods, dynamic amplification of the wave loads may
occur and must be considered in design.
The Condeep Brent B platform may be used as an illustration. A
combination of measurements and calculations gives an expected cydic
horizontal displacement of 90 mm at seafloor elevation and a cydic
rotation of 6.5 x 10- 4 radians for a design storm occurring during the
first winter after platform installation (Figure 4.19). Theoretical calcula-
tions have shown that yielding may occur in oil wells underneath the
Figure 4.19 Cyclic displacements at sea bed elevation during storms for the Brent B
Condeep platform. Design forces are a horizontal force of 500 MN and a moment of
2 x10 4 MNm. (From Andersen and Aas, 1980.)
platform if the cydic horizontal displacements at the seafloor elevation
reach approximately 150 mm.
The observed first resonance periods for the Condeep Brent B
platform were 1. 78, 1. 71 and 1.19 seconds (Figure 4.20) and are well
below the predominant wave periods. For platforms in deeper water,
however, the resonance period may increase to more than 4 seconds.
This is dose to the periods of the smaller waves and may lead to high
amplification of the wave loads, especially for the small waves. Since
there is a large number of the small waves, fatigue becomes an
important design consideration.
To calculate cydic displacements under storm loading and to deter-
mine the soil stiffness for use in the dynamic analyses, it is necessary to
determine the stress-strain behaviour (i.e. the shear modulus) under
cydic loading. The following sections will first present examples of shear
148 CYCLIC LOADING OF SOILS FOUNDATION DESIGN OF OFFSHORE GRA VITY STRUCTURES 149

a) Shear stress,
60 1: (kPa)
Load cycle No.:
1 40 1 700 884
1. Mode r- 2. Mode 3. Mode
1
1
1
•1
'1
1
-4 J,---t 1 2
Shear strain,
'1
,' 1,
~y
y(%)
1
-40
'

o 0.5
b) Shear stress,
Frequency (kPa)
1:
60 Load cycle No.:
Figure 4.20 Acceleration spectra for the Brent B condeep platform as calculated from 10 5000
measured accelerations (Hansteen, 1980). The two first modes of 1.78 and 1.72 seconds
40 Tcy
(0.56 and 0.58 Hz) represent bending in the two horizontal directions. The third mode of
1.19 seconds (0.84 Hz) is torsion about the vertical axis.
20
Ta Tcy
o
strains measured under different conditions in the laboratory. This will o.o 0.2 0.4 0.6
illustrate the importance of modelling various parameters correctly. It Axial strain,Ea (%)
will also be shown how laboratory tests can be used to determine cyclic
shear moduli for calculating cyclic displacements under the wave forces
e) Shear stress,
and for calculating soil stiffnesses for use in dynamic analyses, and how
the analyses can be performed. Numerical values of soil parameters to 1:(kPa)
40
be used for a 6-hour storm on Drammen clay are included. Comparisons
between calculated and measured cyclic displacements in prototypes and 20
model tests are also presented.
Axial strain,
-4 2 Ea (%)
4.6.1 Stress-strain behaviour under cyclic loading
Load cvcle No. 25 -40

The stress-strain behaviour of Drammen clay under different cyclic

loading conditions is illustrated by a few examples in Figure 4.21. Figure
4.21(a) shows that symmetrical cyclic loading in the DSS apparatus
causes relatively symmetrical cyclic shear strains. The cyclic strain
amplitude increases, and the secant shear modulus decreases with
number of cycles. Loading and unloading curves do not coincide.
During a cycle they thus circumscribe an area, meaning that there is
hysteretic damping in the clay.
Figure 4.21(b) shows that if the cyclic shear stress is not symmetrical
the predominant behaviour may be an increase in the average shear
strain with number of cycles and a relatively small increase in the cyclic
shear strain amplitude.
Figure 4.21 Stress-strain behaviour of Drammen clay under various cyclic loading condi-
tions (OCR = 4). (a) Symmetrical DSS loading. (b) Non-symmetrical triaxial loading. (e)
Symmetrical triaxial loading.
Figure 4.2l(c) shows that in the triaxial test there may be an average
shear strain development even if the shear stress is symmetrical around
zero. This is different from the simple shear test results which showed
an essentially symmetrical strain response. The reason for the average
strain in this triaxial specimen is that the undrained extension shear
strength is lower than the compression strength of the specimen. A
symmetrical stress will therefore lead to a higher degree of strength
150 CYCLIC LOADING OF SOILS
FOUNDATION DESIGN OF OFFSHORE GRAVITY STRUCTURES 151
mobilisation on the extension side than on the compression side (see 1 a I cr'vc
section 4.5.1, and Figure 4.12).
The three examples in Figure 4.21 show that it is important to model o.ao 0.10 0.20
1.4 0.30
the type of loading correctly when trying to determine the stress-strain (a)
behaviour or the shear modulus in situ from laboratory tests. The 0.25
examples also show that both the cyclic and average shear strains
1.0
depend on the combination of average and cyclic shear stresses. It has, 0.20
therefore, been found convenient to plot the average and cyclic shear 0.8
strains in diagrams like the one in Figure 4.22. The example in Figure
4.22 presents the shear strains after 10 cycles in DSS tests on Drammen 0.6
<? \
clay with OCR = 1. The individual test results are presented in Figure 0.4
lj, \
4.22(a). Each point represents one test, and the numbers written beside
\
each point give the measured average and cyclic shear strains, Ya ± Ycy, 0.2 \ \
(f)
\ \
after 10 cycles. By interpolation and extrapolation of the data in Figure (f)
o O.O ()
>
::::, 0.00 -t)
4.22(a), curves showing average and cyclic shear strains were drawn (f)
1.0
(Figure 4.22b ). The fully drawn curves represent the cyclic shear strains, --- >,
()
(b) 0.20 ---
p
>,
()
p
and the broken curves represent the average shear strains. The diagram 0.8
in Figure 4.22(b) is consistent with the diagram used to present number 0.15
of cycles to failure as function of Ta and Tcy in Figure 4.13(b), and the 0.6
curves for y cy and Ya of 15% in Figure 4.22(b) are identical to the curve 0.4
for Nf = 10 in Figure 4.13(b).
The diagram in Figure 4.22(b) was transformed to a more general 0.2
form by normalising the shear stresses on the axis, as was done in
o.o o.ao
Figure 4.13(b). The diagram with normalised axes is shown in Figure
4.23 together with diagrams showing shear strains after 1 and 100 cycles. (e) 0.15
Similar diagrams are presented for triaxial tests in Figure 4.24. Data for 0.6
Drammen clay with OCR of 4 are given in Andersen et al. (1988).
0.10
0.4

0.2 O.OS
a) b)
O.O o.ao
80 O.O
80
2.87±0.78 '!,, / s, ,oss
• •27±4=rcr+rcy
-0.06 1.07±0.38 Figure 4.23 Average and cyclic shear strains in DSS tests on Drammen clay with OCR = 1.
'!cy ±0.251-i-4±0.255. 76±0.58 (a) N = l (b) N = 10. (e) N = 100.
(kPa) 4 º
0.03±0.~52 • 0.64±0.08
0.35±0.10 Goulois et ai. (1985) presented similar plots for DSS tests which were
o .___...____._ ___.______.__ allowed to drain under the application of ~ Ta.
o o .......---~--................~ -
40 80 o 40 80
'!a (kPa) '!a (kPa) 4.6.2 Cyclic shear modulus to calculate cyclic displacements
Figure 4.22 Average and cyclic shear strains, Ya and Ycy, after 10 cycles in DSS tests on
Drammen clay with OCR = 1. (a) Individual test results. (b) Curves based on the To calculate the cyclic displacements and soil spring stiffnesses, the ratio
individual test results. between cyclic shear stresses and cyclic shear strains is required, i.e. the
152 CYCLIC LOADING OF SOILS FOUNDATION DESIGN OF OFFSHORE GRAVITY STRUCTURES 153

1 a I a'vc 0.20
-0.15 -0.1 O -0.05 0.00 0.05 0.1 O 0.15 0.20 0.25 0.30 0.8
0.8 0.15
0.25 0.6
rl
cn o
0.6 0.20 cn 0.10 '<

q---
ü
o ::::, 0.4
:::, (/)
rl
cn o<
...___ 0.15 .Q...___ ---p >-
ü o.os
p
o>- 0.4 o 0.2
0.1 O ci -
o.o o.o
0.2 1 10 100 1000 10000
0.05
No. of cycles
O.O
Figure 4.25 Contour diagram of cyclic shear strain for DSS tests with symmetrical cyclic
0.6 loading on Drammen clay with OCR = 1.

0.15
ü
For Drammen clay, the values of Ycy in the triaxial tests in the range
cn
:::,
o'"" around the initial shear stress, i.e. Ta = To, are relatively similar to the
...___ 0.10 ":___
>- o_ values of Ycy in the DSS tests. It has, therefore, in many cases been
o
p
ci found acceptable to assume that the Gcy from DSS tests with Ta= O can
0.05
be used to represent the entire soil foundation. For more accurate
0.00 calculations, the effect of Ta and type of test should be taken into
account. The effect of Ta may be more important for other soils.
0.15 The cyclic shear modulus from DSS tests with symmetrical cyclic
ü
:::,
loading on Drammen clay is shown in Figure 4.26. The curve for
cn OCR = 1 is established from the data in Figure 4.23. The figure
...___ ...___
p
~ 0.2 illustrates that the cyclic shear modulus depends strongly upon cyclic
shear stress, number of cycles and overconsolidation ratio.
Cyclic displacements and soil spring stiffnesses are the results of shear
strains integrated over the entire soil foundation, and it is essential to
know the cyclic moduli over the full shear stress range. At some
distance from the platform, the cyclic shear stresses and the cyclic shear
Figure 4.24 Average and cyclic shear strains in triaxial tests on Drammen clay with strains become small, and the accuracy of the ordinary laboratory tests
OCR = 1. (a) N = l. (b) N = 10. (e) N = 100.
may not be sufficient. This problem can be overcome by determining
the initial shear modulus Gmax and interpolating as shown by the dashed
cyclic shear modulus, Gcy = Tc/Ycy· The data in Figures 4.23 and 4.24 curves in Figure 4.26. G max can be determined in the laboratory by
show that in DSS tests Ycy is essentially a function of Tcy, with a resonant column tests (e.g. Richart et al., 1970) or by shear wave
relatively small influence of Ta. ln triaxial tests, Ycy is somewhat more velocity measurements (Dyvik and Madshus, 1985). Measured Gmax
influenced by Ta but is still mainly a function of Tcy· The variation of Ycy values for Drammen clay are given in Andersen et al. (1988).
with Tcy can be presented in contour diagrams of the type shown in The diagrams in Figure 4.26 are valid for cyclic loading with constant
Figure 4.25. The contour diagrams can be established from diagrams cyclic shear stress during a storm. However, the cyclic shear stress will
like those in Figures 4.23 and 4.24 or directly from the test results. The normally vary from one cycle to another in a storm (Table 4.1). The
contour diagrams are valid for one given Ta, and a series of such equivalent number of cycles at a constant cyclic shear stress, N eqv, that
diagrams are needed to fully define the shear strain response. gives the sarne effect as the actual cyclic load history must, therefore, be
154 CYCLIC L0ADING 0F S0ILS F0UNDATI0N DESIGN 0F 0FFSH0RE GRAVITY STRUCTURES 155

r Gmax / suDSS log Gcy,t

S DSS
LI
= log Gmax _
S DSS
u
e1 T-cy,max _ C
su DSS 2
. sin ( 21t
C3
T-cy,max )
Su
DSS
1000
---- -... oCP,_
300
'
' \ ' ',ºe
---

,' ºo~'0's,<t
', '-
-----1

11,:
S>7,
(/) Oo,
(/) '~7, li,:~ V
o ::, ' o

'-n
~7, ..__""'::::---.::-..

-- 100 ', Oo, \ ,~

Cf)

>,
(.)
(9

30
Ct,
10
o 0.2
1
0.4 0.6 0.8 1.0
0.4

0.3

0.2 • ------ -
T.cy / suDSS
0.1
Figure 4.26 Secant cyclic shear modulus in DSS tests on Drammen clay with symmetrical
cyclic loading. O.O j====::;===~===
0.8

determined. This can be done by the procedures described in section

4.5.1.
When calculating the maximum cyclic displacements in a storm, the
most severe cyclic degradation situation with the maximum wave arriv-
0.6

0.4

0.2
·----.-- -
ing at the end of the storm is normally assumed. o.o~======;:===~=======
For calculation purposes, the relationship between cyclic shear stresses
and strains may be expressed in terms of the tangent shear modulus, the
variation of which may be put into a mathematical form. One formula-
tion that has been used is shown in Figure 4.27. The numerical values of
the constants for Drammen clay subjected to the 6-hour storm in Table
0.6
0.4
0.2
·---- •
-- -- --
4. l(b) are presented as functions of the overconsolidation ratio. o.o 1~----~4----,J10_ _ _ ___.40

Overconsolidation ratio, OCR

4.6.3 Shear modulus to calculate soil spring stiffnesses
When calculating the soil spring stiffnesses for use in the structural
dynamic analysis, one should in principle apply and follow every cycle in
the load history. This will require non-linear elastic-plastic soil models
which account for the number of cycles. Computer programs able to
accomplish this exist, e.g. DYNAFLow (Prévost et al., 1981). However,
there are uncertainties in such computations and in the modelling of the
complex constitutive relationship that is required. Experience concerning
the reliability of such calculations is limited. Furthermore, large comput-
ing resources are required and it may be prohibitive to analyse more
Figure 4.27 Numerical values of the constants in the equation in the figure. Valid for
symmetrical cyclic DSS loading of Drammen clay and for the maximum wave occurring at
the end of the 6-hour storm in Table 4.l(b) (the 18-hour storm generation period is not
included). •f,cyoss is the cyclic shear strength for symmetrical cyclic DSS loading.
than a few load cycles. Testing and verification of the programs for
simple cases are recommended before starting to apply these programs
in design.
The stochastic analysis often used in the structural dynamic analyses
initially finds the standard deviation of the response, assuming linearity.
156 CYCLIC LOADING OF SOILS FOUNDATION DESIGN OF OFFSHORE GRAVITY STRUCTURES 157

Subsequently, the distribution of maxima, including the expected ex- assumed that the waves occur with shear stresses in ascending order.
treme value, are found from probabilistic considerations. One alterna- The shear strains at the end of each of the load pareeis are determined
tive to following every cycle in the load history is, therefore, to from the laboratory test data by using the strain accumulation procedure
determine equivalent linear soil spring stiffnesses. referred to in section 4.5.1.
These equivalent linear soil spring stiffnesses may be calculated as the The shear modulus, Gcy,so, can be determined for load histories
ratio between the standard deviation of the forces and the standard scaled to various values of •cy,max/su, and expressed as a function of
deviation of the corresponding displacements during the design storm Tcy,SD·
(O. E. Hansteen, personal communication). The aim is to arrive at the For calculation purposes, the relationship between standard deviations
most realistic results for the standard deviation of the response, i.e. the of cyclic shear stresses and strains may be expressed in terms of a
general levei. An underlying assumption is that the subsequent statistical tangent shear modulus, in analogy with the shear modulus for calculat-
computations are not invalidated by the non-linearity and non-station- ing the maximum cyclic displacements (section 4.6.2). The mathematical
arity of the actual foundation. form used in Figure 4.27 may also be applied for the standard deviation
The equivalent stiffness obtained in this way is higher than the values.
expected stiffness during the few most extreme load cycles. If a
sufficient number of such extreme load cycles should follow immediately
upon each other, such that resonance has time to develop, the standard 4. 6.4 Calculation procedure
deviation approach may underestimate the extreme response.
To calculate the equivalent linear soil spring stiffnesses, one may use The maximum cyclic displacements and the equivalent linear soil spring
a shear modulus of the soil defined as the ratio of the standard deviation stiffnesses can be calculated by the finite element method using the soil
(SD) of cyclic shear stresses in the cyclic load history to the correspond- properties described in the two previous sections.
ing standard deviation of the cyclic shear strains, G cy,so • Table 4.4 The finite element analysis accounts for stress distribution and may
shows how this modulus is calculated for the load history in Table 4.l(b) also account for soil layering and non-linear stress-strain properties.
with a maximum shear stress of •cy,max = 0.7su. ln the example, it is Proper modelling of these factors is essential. Closed-form solutions
(e.g. Gazetas, 1983) have a limited ability to account for soil layering
and non-linear stress-strain properties, and must be used with caution.
Table 4.4 Example showing calculation of cyclic shear moduli for the load history in Table
4.l(b) with a maximum cyclic shear stress of •cy,max = 0.70su.
The finite element analyses can be performed with a three-dimen-
sional model [e.g. INFIDEL (Hansteen, 1988)] or, more approximately,
•cy
No of cycles % of max. load Ycy (%) with a plane strain model.
Su
If using a plane strain model, the transformation from the actual
900 20 0.141 0.07
500 37 0.262 0.13
three-dimensional situation may be done by first constructing a rectangle
200 49 0.344 0.16 with the sarne area and the sarne moment of inertia as the real platform.
90 57 0.400 0.19 This rectangular base is then modelled in the plane strain finite element
50 64 0.447 0.22
30 70 0.493 0.25
analysis with the sarne width and the sarne forces per unit length as for
15 77 0.538 0.32 the rectangle.
8 83 0.580 0.39 Since the soil model assumes that the cyclic shear modulus is a
4 89 0.622 0.42
96 0.669 0.46
function of cyclic shear stress only, independent of Ta and stress path,
2
1 100 0.700 0.49 the initial soil stresses and the platform weight may be disregarded in
the analysis, and only the cyclic loads need to be applied.
SD = 0.181 0.091 For platforms with skirts that are long compared with the platform
diameter, it is important to model the flexibility of the skirts in the finite
(-SuG) SD
= (•cy)
-
Su SD
X -1-
Ycy,SD
= 0.181 100
X - -
0.091
= 199
element model. lt may also be important to model the flexibility of the
cantilever part of the caisson.
(G)
Su max.wave
= (.E9'..)
Su max
X _ l _ = 0.70
Ycy,max
X lOO = 143
0.49
The soil may be modelled by the mathematical expressions in the
previous section. To ensure that ali the elements lie on the curve that
158 CYCLIC LOADING OF SOJLS FOUNDATION DESIGN OF OFFSHORE GRAVITY STRUCTURES 159
they are supposed to follow, the loads may be applied in increments E 40 , - - - , - - - - , - - - , - - - - , •
with one iteration at each increment. Other procedures, e.g. secant
modulus iteration technique, may yield similar results, even if they are
.s
6'; 30
different in principle, and may be affected by convergence problems 'O •
'O • ...--- Measured
when part of the soil volume is yielding in shear. êi5 20
The cyclic displacements under the maximum wave are calculated by Q)
~
applying the maximum (characteristic) wave forces using the soil model .E 10
described in the previous section and in Figure 4.27. The results from cii
"E
o
the analysis are maximum cyclic horizontal and vertical displacements at .!::! o 0.25 0.5 0.75 1.0
various points in the soil and on the platform base. õ
:r: Horizontal displacement,
The equivalent linear soil spring stiffnesses for dynamic analyses are
Std. dev. (mm)
calculated by applying the standard deviation of the wave forces in the
design storm and using a soil model as described in the previous section.
The output from the analysis gives displacements in terms of standard E 2.5 ,---,---,---..,.....--,
z
deviations. For the spring stiffness calculations, it is important to be ~ 2O
aware that, in general, horizontal displacement is a function of both s·
horizontal load and moment. Likewise, rotation is a function of both -;-1.5
Q)
moment and horizontal load. One way of decoupling the two equations 'O
"'O 1.0
is to give the elevation where horizontal displacement is a function of u5
horizontal load only and rotation is a function of moment only, and to 0.5 '------ Calculated
"E
Q)
give the spring stiffness values at this elevation. E o
o
~ o 0.05 0.1 0.15 0.2

Rotation
4.6.5 Verification by prototype observation and model tests Std. dev. (1 o- 4 rad)

The procedure to calculate cyclic displacements described above has
been used to calculate the cyclic displacements measured in a prototype
(Figure 4.28) and in model tests (Figure 4.29), and the agreement is
encouraging. The prototype is the Brent B platform described in section
4.2, and the model test is test NGI2 described in section 4.5.3.
Model tests have in several cases shown that it is important to model
the shear modulus at small shear strain levels correctly. One example is
the plate loading tests on overconsolidated stiff clay at Haga (Andersen
and Stenhamar, 1982). The test results showed that, unless the shear
modulus at small shear strain levels is modelled correctly, calculations
may overestimate the displacements and underestimate the soil stiffness
by an order of magnitude.
4. 7 Settlements due to cyclic loading
The static weight and the cyclic loads will cause permanent deformations
in the soil beneath and outside the platform. The permanent displace-
Figure 4.28 Measured and calculated cyclic displacements of the Condeep Brent B
platform during six storms. (From Andersen and Aas, 1980.)
ments will cause stresses in oil wells, pipelines, etc. Overloading of these
elements may have serious consequences, and stresses induced in them
by the soil deformation must be evaluated. These stresses will depend
not only on the total displacements, but also on the distribution of
displacements with depth. The vertical settlement will also reduce the
free-board between the deck and the sea.
To provide the necessary information, the geotechnical design ana-
lyses have to include calculations of the settlements. Both total values
and variations with depth and time are of interest.
The settlement of a gravity platform may be separated into different
components. These components are not independent mechanisms. Sev-
era! of them occur simultaneously and influence each other. However,
separation into the components listed in Table 4.5 may be useful when
attempting to predict settlement.
The first three components will also occur in the case of a structure
on land without cyclic loading. Components 4 and 5, however, are
160 CYCLIC LOADING OF SOILS FOUNDATION DESIGN OF OFFSHORE GRAVITY STRUCTURES 161

1000

800
o o o
38 o
li A
600 õ;, t.:::
e
::, ;,
Hcy ..
(NI
400
'·';-•
<l
__ ,. [D-::,"~-~:
"
-,,,.-,,
.-;..t
'
-1~·:·,
~ '". ,
<l <l

[]]
,-,,
.· ,~! -~-1 ~
,•.
;-,; .·.,
r.:•.I,
\
--
'_.,,
200

o (l)
o 5 10 15 20 25 1..,
o
o.
Rotation 0cy (1 o- radians)
3
"'"'
1000 u
(1)

><
(l)

"Cl
(l)
800 14 17 u
::,
"Cl
38 38 .a
2226
29 b
600
Hcy 21
Neqv= 10
"'ü
.Sl
>.
INI Neqv= 10
Calcu1ated u
400 (l)

200
Measured
-
-5
o
e
.s
~
o.
·;;;
o L----'--------''------'----' "'
O 0.5 1.0 1.5 -1.0 -0.5 O.O 0.2 'Õ
2
8H,cy at clay surface (mm) 8 H,cy at skirt tip (mm) (1)
::,
"Cl

Figure 4.29 Calculated and measured cyclic displacements in a model test of a gravity ~
.cil
platform on clay (Andersen et ai., 1989; Dyvik et ai., 1989).
ºo
e
(l)
t:
"'u
·;::
so
u
ô,
a
::, ~
"'
(l)
1..,

caused by cyclic loading and seldom occur to the sarne extent on land as õ (1)"'
ºa > o. 1..,
(l)

offshore except during earthquakes and wind storm loading of tall

structures. The cyclic loading may lead to increased settlements com- ~
ô,
pared with a structure with only static loading. This is illustrated by the CI)
0:
settlement records in Figures 4.30 and 4.31. Both examples are for
structures on stiff, overconsolidated clays. For structures without cyclic
loading, the long-term settlement (after consolidation is completed)
>.
usually plots as a straight line on a semilogarithmic plot, as shown in "2
o
Figure 4.30. This means that the settlement rate decreases with time. "Cl "Cl

For structures with cyclic loading, however, the settlement often does _g"' _g"'
"Cl .Sl .Sl
not slow down, but continues at the sarne rate. This is illustrated in "'o ~ ü
>.
Figure 4.31 for a tower subject to cyclic wind loading, which shows that ,..J vi u
162 CYCLIC LOADING OF SOILS FOUNDATION DESIGN OF OFFSHORE GRAVITY STRUCTURES 163

q101 =480 kPa

qunload=21 OkPa
qnet =270 kPa 6.7m 8.2 ~ Mass concrete raft
~
I l

o
Lon on e ay: .1_

T
water content, w = 26-28% 12.2m 36m
31m
plastic limit, Wp = 25-27% -2 Fix point
liquid limit, wL =75-80% Plan
shear strength, Su = 100 - 200 kPa 38m

1
c~ffi~en.!_of ~l~e_ch~ng~ mv = 0.8 •1o-2 m2/kN 174m

18m Clay with sand and pebbles

38m
9m Sand q101 =220 kPa
• Observation point
qunload= 85 kPa
Rock qnet =135 kPa Plan

Section
4.5m+----L_
1 1.5m
Stiff fissured clay:
Time in years water content, w = 30-35%
36m
50 100 plastic limit, wp = 28%
2 5 10 20
liquid limit, WL = 75%
r' 6m _ _ Dense sand _ _ _ _ -
~ 400 6.5m _ _ Sandy clay . ___ _
-o· ..___,
1
ro
~ Section
_.:l 200
Time in years

o 0
o o2 o5 2 5 1O 20 50 100
t:::::=- t-- 1

"f'-.._.__ 1
40
-1\"'\\ 50 .,......__
E
E \ ~" r---.._
-,, Pier 1
E
E 100
1 ~ ....
~ 80
\ \' ~ 1 Ê ~
'<\ 1,-----Yearly
Í'\ settlement
Q)
E \ ' ~ ........_ 1

........_ t"----o Pi e r 2
Ql
E
Ql
150 1
Monument
\8mm--

"'
Q)

-- ~
:;::: i--...., Pier3 finished 1937
w
1
"- 200
120 l\
(f) r----,, Pier 4
(f)
i '.
250
1
160 1
1

300
Figure 4.30 Settlement record for the Waterloo Bridge, London. (After Cooling and
Gibson, 1955; reproduced from Bjerrum, 1966.) Figure 4.31 Settlement record for the San Jacinto Monument, Texas, which is subjected to
cyclic wind loading. (After Dawson, 1947; reproduced from Bjerrum, 1966.)

the settlement curve bends downwards in the semilogarithmic plot.
Similar observations have been made on other structures.
The components 1, 2 and 3 in Table 4.5 occur under constant static
load and can be evaluated by the sarne procedures as used for structures
on land. Even if there are uncertainties related to the calculation of
these components, the procedures are relatively well established for
calculating total settlement, distribution with depth and time sequence.
The vertical settlement due to cyclic loading (components 4 and 5) is
more difficult to calculate. This is a load situation which seldom occurs
to the sarne extent on land, and there are no generally accepted
calculation methods to predict these settlement components. ln the case
of the existing North Sea gravity platforms, the prediction of these
settlement components has often been made on an empirical basis by
assuming that the rate of vertical settlement after the end of consolida-
tion with be 10-15 mm/year. This number includes settlement compon-
ents 3, 4 and 5 (Table 4.5) and is in good agreement with the
164 CYCLIC LOADING OF SOILS
observations shown in Figure 4.32. However, this empirical design
practice cannot be uncritically used to predict settlement of gravity
platforms or other gravity structures in general. lt is limited to single-
base platforms on stiff clays and dense sands in water depths less than
150 m and is not necessarily vali d for conditions with soft clay, greater
water depths, other geometries, other static loads or other cyclic load
histories.
One way of calculating the settlement due to cyclic loading under
undrained conditions (components 4a and 4b) would be to perform
finite element analyses with elastic-plastic cyclic soil models where the
stress-strain curve depends upon the number of cycles. Every load cycle
should then be applied and followed in the analyses. Computer pro-
grams capable of doing this exist (e.g. Prévost et al., 1981). However, as
mentioned in section 4.6, there are uncertainties involved in such
computations, and the analyses may become very costly.
An alternative calculation approach is to perform simplied finite
element analyses along the sarne lines as the simplified finite element
analyses described to calculate cyclic displacements and soil spring
stiffnesses.
The volumetric strains due to dissipation of the cyclically induced pare
pressure (component 5) may be calculated in the sarne way as conven-
tional consolidation settlement, but with the reloading compressibility of
the soil. The stress change causing settlements is set equal to the
cyclically induced excess pare pressure.
The following sections describe the type of soil data needed to
perform the simplified analyses to determine components 4a, 4b and 5.
lt will be described how the data are evaluated from the laboratory
MONTHS AFTER PLATFORM INSTALLATION
5 1o 15 20 25 ~o 35 40 45 50 55 60
1 1
Beryl 'A'
300~~---------'---'-----'-------'-_j_-L_____j__ _j__-'----
Figure 4.32 Summary of measured settlement for five North Sea gravity platforms ( exclud-
ing initial settlement) (Lunne and Kvalstad, 1982). Data about the geometry and the soil
conditions for the various platforms are given in the references.
FOUNDATION DESIGN OF OFFSHORE GRAVITY STRUCTURES 165
tests, actual numerical values for Drammen clay will be given, and it
will be shown how the calculations can be performed.
4. 7.1 Development of average shear strains during cycling
The average shear strain, Ya, which develops during undrained cyclic
loading is a function of the initial static shear stress, To, the additional
average static shear stress, ~Ta, the cyclic shear stress, Tcy, and the
number of cycles, N. This is illustrated for a triaxial specimen in Figure
4.33. The static curve defines the shear strain, ~Ya, which occurs when
the additional average static shear stress, ~ Ta, is applied.
Cyclic loading will cause increased average shear strains. As an
example, if the triaxial specimen in Figure 4.33 is loaded to Ta = Ta,1' it
will experience an average shear strain ~ Ya,l during the static load
application. When it is afterwards subjected to N 1 cycles with a cyclic
shear stress, Tcy,i, it will suffer additional average shear strains and end
with an accumulated average shear strain of y a,l. The dotted curve
defines Ya as a function of Ta after N 1 cycles of Tcy,l· Since Ya is a
function of To, ~Ta, Tcy and N, there will be one Ta-Ya curve for each
set of Tcy and N. The data to construct Ta-Ya curves for different values
of Ta and N are contained in the diagrams in Figures 4.23 and 4.24.
The diagrams in Figures 4.23 and 4.24 are valid for cyclic loading with
a constant cyclic shear stress. ln a storm, the cyclic shear stress will, as
mentioned previously, vary from one cycle to another. The equivalent
number of cycles at a constant cyclic shear stress, N eqv, that gives the
Static strength
I
65
I
I Ya
N cycles ,'
,..•cy = 'tcy ,__
i' -i --- - -~
Figure 4.33 Relationships between average shear stress and average shear strain for static
and cyclic loading.
166 CYCLIC LOADING OF SOILS FOUNDATION DESIGN OF OFFSHORE GRAVITY STRUCTURES 167

sarne effect as the actual cyclic load history can be predicted from the 'Cal cr'vc
tests with constant cyclic shear stress by the procedures described in 0.00 0.05 0.10 0.15
section 4.5.1.

4. 7.2 Permanent pore pressure due to cyclic loading 0.20

Like the average and cyclic shear strains, the permanent pore pressure,
up, generated by undrained cyclic loading depends on the combination
of average and cyclic shear stresses, the number of cycles, and the type
of test. 1t is therefore convenient to plot the permanent pore pressure in
the sarne type of diagram as the shear strains. Pore pressure diagrams
for Drammen clay with OCR = 1 after 1, 10 and 100 cycles are shown in 0.00
Figures 4.34 and 4.35. The pore pressure diagrams were constructed 1.0 o
based on the individual test results in the sarne way as the shear strains
(f)
(f)
o ::::, -~--~eo, (b)
0.20
-t)
>

(Figure 4.22). The permanent pore pressure, up, includes the pore
pressure change, ~up, that occurred when the average shear stress was
cn
-- o>-
o.8
"'-19-·
o·<?o C?.z'~
-<'

, 1v
0.15 --t>
p
p 0 '\ 0
changed from -r0 to •a· For the triaxial test data, ~uP does not include \'?,t. 0.10
\%
the pore pressure due to the change in octahedral normal stress, ~aoct· \::,,0
When considering pore pressures, one should bear in mind that pore \ 0.05
\
\
pressure measurements are difficult to perform with a high degree of 0.00
accuracy on clay specimens in cyclic tests. There will be stress concen- 0.15
trations in the specimens, and the pore pressure needs time to reach
equilibrium within the specimen. The requirements regarding the com- 0.10
pliance of the pore pressure measuring system are also stringent. It is
believed, however, that reasonably accurate values of permanent pore 0.2 0.05
pressures may be obtained provided care is taken to obtain high-quality o.o L-....1...J.___.~...1....l......L.l...-UÜ,OO
measurements. o.o 0.2 0.4 0.6 0.8 1.0
'ta/ SuDSS
4. 7.3 Procedure to calculate settlements due to shear strains under Figure 4.34 Permanent pore pressure in DSS tests on Drammen clay with OCR = 1.
undrained cyclic loading (a) N = l. (b) N = 10. (e) N = 100.

The settlements due to undrained cyclic loading may be determined by

finite element analyses where the •a-Ya curves in Figure 4.33 are
approximated by bilinear stress-strain models. The bilinear stress-strain
model may be expressed by Ga, Gy and •y as shown in Figure 4.36. The
data to calculate Ga, Gy and •y are included in diagrams such as those
in Figures 4.23 and 4.24.
Ga is a function of •a, and iterative calculations have to be made. The
values of G ª and •y also depend on the cyclic shear stress, •cy · The
value of •cy in the various elements must therefore first be determined
by a separate finite element analysis like the one used to calculate the
maximum cyclic displacements. Since the cyclic shear modulus is not
greatly influenced by •a, this analysis need not be iterated.
ln more detail, the calculation involves the following steps:
(i) Calculate the initial vertical platform settlement, ôi, due to the
weight of the platform. The calculation also gives the distribution of •a
in the soil resulting from the initial shear stress, -r0 , and the weight of
the platform. The calculation is done by finite element analyses in which
the platform weight is applied as load. Since no cyclic load is applied in
this step, the parameters defining the bilinear stress-strain curve are
determined with •cy = O in Figures 4.23 and 4.24.
(ii) Calculate the distribution of cyclic shear stresses in the soil under
the action of the characteristic wave force. This is done by means of
 168 CYCLIC LOADING OF SOILS FOUNDATION DESIGN OF OFFSHORE GRAVITY STRUCTURES 169

1 a I 0 'vc - Static, '!cy = O

'Ya
-0.15 ·0.10 ·O.OS 0.00 0.05 0.10 0.15 0.20 0.25 0.30
0.8
(a) 0.25 1 Gy
S 1 cy = 1 cy, 1
0.6 0.20 ?N = N1
0.15 L'l'!a
0.4 Ga = - - =f ('!cy, N, '!a)
'Ya
0.10
G = '!a (5%) - '!a (1 %) = f ('! N)
0.2 Y 0.05 - 0.01 cy,
I o.os
I
o.o 0.00 o 5
0.6 e.,
'Ya (%)
o ::, >
Cf) -b
--..>, Figure 4.36 Bilinear approximation of the ra-Ya curve in figure 4.33.
u 0.15 --..>,
p 0.4 p
u

0.10
0.2 platform due to the combined effects of submerged weight and cyclic
o.os loading. The effect of cyclic loading on the Ta-Ya relationship may
influence the distribution of Ta. The new distribution of Ta will be given
O.O 0.00
by this analysis.
0.15 (iv) lf the calculated settlement and the distribution of Ta have
0.4 (e)
changed noticeably compared with the distribution used to determine
0.10 the moduli in step (iii), step (iii) should be repeated. This iteration
0.2 should be continued until convergence of both settlements and distribu-
o.os tion of Ta is achieved.
O.O 0.00 (v) The settlements due to the shear strains which are caused by
·0.4. ·0.2 o.o 0.2 0.4 0.6 0.8 1.0 cyclic loading under undrained conditions can now be determined as the
difference between the settlements calculated in step (iii) and the initial
-rafsl
settlements calculated in step (i).
Figure 4.35 Permanent pore pressure in triaxial tests on Drammen clay with OCR = 1.
(a) N = l. (b) N = 10. (e) N = 100.
4. 7.4 Calculation of settlements due to dissipation of storm-induced
permanent pare pressure
finite element analyses like the one used to calculate cyclic displace-
ments under the maximum wave in the storm. The analyses performed to give settlements due to shear strains under
(iii) Steps (i) and (ii) will give the values of Ta and Tcy for each soil undrained conditions in the storm also give the distribution of i1 Ta, Ta
element. The calculated stresses will also indicate whether triaxial and Tcy in the soil. They also show whether triaxial compression, triaxial
compression, triaxial extension or simple shear type of behaviour is most extension or simple shear type of behaviour is most representative for
representative for the various elements. From diagrams like the ones in the various elements. When this information is available, the permanent
Figure 4.23 and 4.24, it is then possible to determine new values of G pore pressure in each soil element can be read directly from diagrams of
G y and Ty for each element. A new finite element analysis in which the ª' the type presented in Figures 4.34 and 4.35.
submerged platform weight is applied again is then performed with these The pore pressure generated by the undrained cyclic loading will lead
new soil parameters. This analysis gives the vertical settlement of the to a reduction in effective normal stresses in the soil. This corresponds
170 CYCLIC LOADING OF SOILS FOUNDATION DESIGN OF OFFSHORE GRAVITY STRUCTURES 171

to going from point A to point B in the load settlement plot in Figure VERTICAL EFFECTIVE STRESS, cr'v (kPa)
4.37. As drainage occurs and the excess pare pressure dissipates, the 1 1O 102 1o3 10 102 103 1Q4
effective normal stresses increase again, and the soil element will follow 1 .4 r--,:::-----,----,---~.----=---r---..------,-
(a) (b)
a reloading curve from point B to point C. At point C the effective Q)

stress has reached the sarne value as before the start of cyclic loading.
Q 1.2 Virgin
From Figure 4.37 it can be seen that the vertical compression due to
the dissipation of cyclically induced excess pare pressure can be calcu-
lated as:
~
a:
o
ô 1.0
compression line
(1 ho"' l0ãd)
increments)
j
Startof
> cycling
e =- uP
= -Cr- log [ a~c ]
V Mr l+eo ª~e up 0.8 ..___....__ ___.._ _J__;__ _J End oi 5th
series
End of 1St
series
where uP is the permanent pare pressure generated by cyclic loading, \
'
M r is the secant value of the reloading constrained modulus in the range
from point B to point C, Cr is the recompression index in the range Figure 4.38 e-log a~ paths for tests with five series of unloading and reloading on
from point B to point C, e0 is the void ratio at the start of cyclic Drammen clay with OCR = 1. (a) Consolidation test. (b) Cyclic DSS test.
loading, and a~c is the vertical effective stress at the start of cyclic
loading. The settlement can be found by integrating Ev over the soil periods, the total recompression settlements are the sum of those for
depth beneath the platform base. each series. This is different from a conventional consolidation test with
ln a study on Drammen clay, Yasuhara and Andersen (1989) found several series of unloading and reloading, because swelling occurs during
that the recompression modulus (and the recompression índex) was unloadlng in a conventional consolidation test (Figure 4.38). Owing to
influenced by the cyclic loading, and that the settlements due to this swelling, the total settlement will be smaller in a conventional
dissipation of cyclically induced pare pressure could be calculated by consolidation test than the sum of the recompression settlements for the
using the recompression modulus from a conventional oedometer test various reloading series.
multiplied by 2/3. The compression index for consolidation past the initial consolidation
Yasuhara and Andersen (1987) also concluded that, if the clay is stresses was also found to be influenced by cyclic loading (Y asuhara and
subjected to several series of undrained cyclic loading and drainage Andersen, 1989). The compression índex decreases with increasing
values of the cyclically induced pare pressure and with increasing values
of the cyclic shear strain at the end of cyclic loading.
VERTICAL EFFECTIVE STRESS, cr'y (kPa)
~
~------------------------,
o > References
w + Vertical effective stress at start
z· oi cycling
o Pare pressure due Andersen, K. H. (1981) Discussion of R. Dyvik, T. F. Zimme and P. Schimelfenyg, Cyclic
u5
Cf)
w
a:
a..
::E
-----
to cycling, up

s-~---. Settlements due to dissi-

pation oi cyclically
simple shear behaviour of fine grained soils. International Conference on Recent
Advances in Geotechnical Earthquake Engineering and Soil Dynamics, St Louis, Mo 3:
920-921.
Andersen, K. H. (1983) Strength and deformation properties of clay subjected to cyclic
o induced pare pressure Joading. Norwegian Geotechnical Institute, Report 52412-8, 54 pp.
o Reloading curve Andersen, K. H. (1988) Properties of soft clay under static and cyclic loading. Invited
o lecture. Proceedings of the International Conference on Engineering Problems of Re-
õ: gional Soils, Beijing, China, 7-26, ed. Chinese Institution of Soil Mechanics and
1-
w Foundation Engineering. _
::E Andersen, K. H. and Aas, P. M. (1980) Foundation performance. Shell Brent B
::i
_J Instrumentation Project: Seminar, London 1979. Proceedings, London, Society for
~ Underwater Technology, 57-77. Also published in Norwegian Geotechnical Institute,
Publication 137.
Figure 4.37 Vertical effective stress and volumetric strain during undrained cyclic Joading Andersen, K. H. and Lauritzsen, R. (1988) Bearing capacity for foundations with cyclic
and subsequent drainage. Joads. J. Geotech. Engng, ASCE 114 (GT5): 540-555.
172 CYCLIC LOADING OF SOILS
Andersen, K. H. and Stenhamar, P. (1982) Static plate loading tests on overconsolidated
clay. Proc. Am. Soe. Civ. Engrs. 108 (GT7): 918-934.
Andersen, K. H., Hansteen, O. E., H!l)eg K. and Prévost, J. H. (1978) Soil deformations
due to cyclic loads on offshore structures. Numerical Methods in Offshore Engineering,
ed. Stagg, O. C. J. Wiley & Sons, Chichester, 413-452. Also published in Norwegian
Geotechnical Institute, Publication 120.
Andersen, K. H., Lacasse, S., Aas, P. M. and Andemes, E. (1982) Review of foundation
design principies for offshore gravity platforms. Proceedings of the International Confer-
ence on the Behaviour of Offshore Structures, 3 Cambridge, Ma Hemishpere Publ,,
Washington D.C./McGraw-Hill, London a.o.pi. 1: 243-261. Also published in Norwe-
gian Geotechnical Institute, Publication 143.
Andersen, K. H., Kleven, A. and Heien, D. (1988a) Cyclic soil data for design of gravity
structures. J. Geotech. Engng, ASCE 114(5).
Andersen, K. H., Lauritzsen, R. Dyvik, R. and Aas, P. M. (1988b) Cyclic bearing
capacity analysis for gravity platforms; calculation procedure, verification by model tests,
and application for the Gullfaks C platform. Proceedings of the International Conference
on Behaviour of Offshore Structures, BOSS'88, Trondheim I: 311-324.
Andersen, K. H., Dyvik, R., Lauritzsen, R., Heien, D., Hàrvik, L. and Amundsen, T.
(1989) Model tests of gravity platforms: lnterpretation. Proc. ASCE, J. Geotech. Engng
115 (GTll): 1550-1568.
Bjerrum, L. (1966) Secondary settlements of structures subjected to large variations in live
load. International Symposium on Rheology and Soil Mechanics, Grenoble 1964. Berlin,
Springer, 460-471. Also published in Norwegian Geotechnical Institute, Publication 73.
Bjerrum, L. (1973a) Geotechnical problems involved in foundations of structures in the
North Sea. Géotechnique 23(3): 319-358. Also published in Norwegian Geotechnical
Institute, Publication 100.
Bjerrum, L. (1973b) Problems of soil mechanics and construction on soft clays. State-of-
the-art report to Session IV. Proceedings of the International Conference on Soil
Mechanics and Foundation Engineering 3: 111-159.
Clausen, C. J. F., DiBiagio, E., Duncan, J. M. and Andersen, K. H. (1975) Observed
behaviour of the Ekofisk oi! storage tank foundation. Proceedings of the Offshore
Technology Conference, 7 Houston, TX, 3: 399-413. Also published in Norwegian
Geotechnical Institute, Publication 108, and in J. Petrol. Technol. 1976 (March):
329-336. · Stenhamar, P. and Andersen, K. H. (1982) Fundamenters brereevne p~ leire reduseres ved
Cooling, L. F. and Gibson, R. E. (1955) Settlement studies on structures in England.
Conference on the Correlation between Calculated and Observed Stresses and Displace-
ments in Structures, Papers, Institution of Civil Engineers, London, Vol. 1, 295-317.
Dawson, R. F. (1974) Settlement studies on the San Jacinto monument. Proceedings of the
Texas Conference on Soil Mechanics and Foundation Engineering, 7 Austin, TX.
Dyvik, R. and Madshus, C. (1985) Laboratory measurements of Gmax using bender
elements. Paper presented at: American Society of Civil Engineers National Convention,
Detroit, MI. Also published in Norwegian Geotechnical Institute, Publication No. 161.
Dyvik, R., Andersen, K. H., Madshus, C. and Amundsen, T. (1989) Model tests of
gravity platforms: Description. Proc. ASCE, J. Geotech. Engng 115 (GTll): 1532-1549.
Eide, O. and Andersen, K. H. (1984) Foundation engineering for gravity structures in the
northern North Sea. Proceedings of the International Conference on Case Histories in
Geotechnical Engineering, St Louis, MO, IV: 1627-1678.
Eide, O., Larsen, L. G. and Mo, O. (1976) Installation of the Shell/Esso Brent B
Condeep production platform. Proceedings of the Offshore Technology Conference, 8
Houston, TX 1: 101-114. Also published in Norwegian Geotechnical Institute, Publica-
tion 113, and in J. Petrol. Technol. 29: 231-238.
Eide, O., Andersen, K. H. and Lunne, T. (1979) Observed foundation behaviour of
concrete gravity platforms installed in the North Sea 1973-1978. Proceedings of the
International Conference on the Behaviour of Offshore Structures, 2 BOSS'79, London 2:
435-456. Also published in Norwegian Geotechnical Institute, Publication 127.
Gazetas, G. (1983) Analysis of machine foundation vibrations: State-of-the-art. Int. J. Soil
Dynam. Earthquake Engng 2(2): 2-42.
Goulois, A., Whitman, R. V. and H!l)eg, K. (1985) Effects of sustained shear stresses on
FOUNDATION DESIGN OF OFFSHORE GRAVITY STRUCTURES 173
the cyclic degradation of clay. Strength Testing of Marine Sediments: Laboratory and
in-Situ Measurements: a Symposium, Special Testing Publication 883, American Society
for Testing and Materiais, Philadelphia, PA, 336-351.
Hansteen, O. E. (1980) Dynamic performance. Proceedings of the Shell Brent B In-
strumentation Project, Seminar, London, 1979. Society for Underwater Technology,
London, 89-107. Also published in Norwegian Geotechnical Institute, Publication 137.
Hansteen, O. E. (1988) Description of INFIDEL-a non-linear 3-D finite element program.
Norwegian Geotechnical Institue, Report 514090-1, 13 Sept 1988.
Inglis, R. B., Pijfers, J. G. L. and Vugts, J. H. (1985) A unified probabilistic approach to
predict the response of offshore structures, including the extreme response. Proceedings
of the Conference on Behaviour of Offshore Structures, BOSS'85, Delft I: 95-109.
Lambe, T. W. (1967) Stress path method. J. Geotech. Engng, Proc. ASCE 93 (SM6):
309-331.
Lauritzsen, R. and Schjetne, K. (1976) Stability calculations for offshore gravity structures.
Proceedings of the Offshore Technology Conference, 8 Houston, TX 1: 75-82. Also
published in Norwegian Geotechnical Institute, Publication 113.
Lunne, T. and Kvalstad, T. J. (1982) Analysis of full scale measurements on gravity
platforms: Final report. Foundation Performance During Installation and Operation of
North Sea Concrete Gravity Platforms. Norwegian Geotechnical Institute and Det
Norske Veritas, Oslo, 92 pp.
Marion, H. A. (1974) Ekofisk oil storage tank. Proceedings of the Symposium on Ocean
Engineering, London. The Royal lnstitution of Naval Architects, London, 83-94.
Mo, O. (1976) Concrete drilling and production platforms, review of construction,
installation and commissioning. Proceedings of the Offhore North Sea Technology
Conference and Exhibition, Stavanger, technology volume, 14 pp.
Norwegian Petroleum Directorate (1987) Forskrifter for beregning og dimensjonering av
faste brerende konstruksjoner pa den norske kontinentalsokkel-Regulations for the
structural design of fixed structures on the Norwegian Continental Shelf. Var. pag.,
Stavanger, Text in Norwegian and English.
Prévost, J. H., Cuny, B., Hughes, T. J. R. and Scott, R. F. (1981) Offshore gravity
structures: Analysis. Proc. Am. Soe. Civ. Engrs. 107 (GT2): 143-165.
Richart Jr, F. E., Hall Jr, J. R. and Woods, R. D. (1970) Vibrations of soils and
foundations. Prentice-Hall, Englewood Cliffs, NJ, 414 pp.
syklisk belastning. Bygg 30(7): 26 pp. Also published in Norwegian Geotechnical
Institute, Publication 141.
Yasuhara, K. and Andersen, K. H. (1987) Clay behaviour under long term cyclic loading.
Proceedings of the 22nd Conference JSSMFE 2: 535-538.
Yasuhara, K. and Andersen, K. H. (1989) Post-cyclic recompression settlement of clay. 4th
International Conference on Soil Dynamics and Earthquake Engineering, Mexico, 1989.
 CYCLIC BEHA VIOUR OF LARGE PILES 175

L sustained , 140 MN
100 yr storm , 354 MN
T sustained, 35 MN

S The cyclic behaviour of Iarge piles with special l i

100 yr storm , 91 MN

reference to offshore structures ---31 MN

1OOyr storm
--12 to 15 MN
1OOyr storm
R. J. JARDINE

5.1 Introduction

5.1.1 Nature of the loading

It was explained in the preceding chapter that the loads experienced by
offshore structures invariably include important cyclic components. Most
of the world's offshore oil production platforms are founded on groups
of large (usually driven steel pipe) piles, and these foundations provide
perhaps the best example of piles used to resist non-seismic cyclic
loading. There are, of course, many other examples, such as the
foundations of pylon towers, storage silos and some bridges.
Two examples of major North Sea platforms that were designed to
sustain cyclic loading may be cited; both will be referred to at a number
of points in the chapter. The Magnus is a very large steel-jacket
structure which is founded on four groups of nine pipe piles, ali driven
to about 80 m depth. The Hutton Tension Leg Platform (TLP), in
contrast, has a floating hull that exerts tensile loads on its four
foundation templates, each of which consists of eight similar piles driven
to an average penetration of 58 m.
The simplified design forces are shown in Figure 5.1. Notice that the
axial loads anticipated during the 100-year storm are approximately 2.5
times the sustained dead loads. lt is also interesting that, even in the
most severe storms, the cyclic variations do not give rise to any two-way
foundation loading, that is no compressive loads for the TLP or
significant tensile loads for the Magnus groups.
The environmental forces comprise a number of components that act
at a range of frequencies. lt is generally necessary to perform simplified
dynamic interaction analyses of the combined response of structure and
foundation in order to predict the additional foundation loads developed
during storms.
With relatively short tower structures, the foundation loads will
oscillate at frequencies similar to those of the forcing ocean waves
(which have periods between 15 and 20 s for severe North Sea storms)
and the gusting winds. For deep-water structures the natural vibration
4 groups of 8 piles
1830 mm x 58 m
HUTTON TLP
4 groups of 9 piles
2134 mm x 80 m
MAGNUS
Figure 5.1 Design loads for the Magnus and Hutton TLP platforms.
periods of the structural and foundation characteristics may contrai the
pile group loading patterns.
The environmental loading can also include more slowly changing
forces-such as the action of tides, steady winds or ocean currents. For
a tension leg structure, changes in draught (due to offset sway or tidal
action) provide a significant source of cyclic loading (see Figure 5.2).
The significance of the cyclic components is that repeated loading
leads to at least three aspects of soil response that would not be
encountered under static conditions. Paulos (1989) lists these as:
(1) The degradation of (that is, reduction in) pile-soil resistances (and
possibly soil modulus).
(2) Loading rate effects.
(3) The accumulation of permanent displacements.
5.1.2 Special features of offshore foundations
Understanding how driven piles work under both static and cyclic loads
is particularly important to offshore engineers. Marine installations are
both expensive and vulnerable. The economic consequences of total
foundation failure are severe; the potential lasses of human life and
damage to the environment are of exceptional magnitude.
176 CYCLIC LOADING OF SOILS CYCLIC BEHA VIOUR OF LARGE PILES 177

~ incorporate a sound understanding of the basic soil mechanics (including

BUOYANCY (}.
FORCES U ! WÕ
>cr
º h: :-i<>"'
• e,
ff WAVE HEADING
the principle of effective stress) are likely to be unreliable.
ENVIRONMENTAL
FORCES N-....._
- - -1- - ~
83' 90-:-'v

=:>
HEADING go·wAVE HEAOING
5.1.4 The contents of this chapter
WAVE PROFILE 1
1
'
~----'<)--~--(>'
The aim of this chapter is to provide a rational explanation of how piles
:E
!: behave under cyclic loading and to set out an approach to cyclic design.
,-. 125 +--------1,~---+------ll'------+
TETHER
TENSION
n
V
:i:
e, To do this a sound fundamental understanding of static piles must first
~ 100-1----,-+-~~-+----!----+ be established. Many aspects of basic pile-soil mechanics remain con-
I
~ 75 +-----+--,--==---,<--+-~------t
troversial, so the contending theories and the available experimental
:, evidence must be reviewed before launching into a discussion on cyclic
cr
~ 50 +---1---H-+------'~---4---------t
response.
"ocr The remainder of the chapter is therefore divided into four parts. The
ffi 25-f--"--"'+--\-=-,'-+----+--------t first describes the present empirical design methods, including the
:i:
,-. routines used to compute cyclic response. The second part reviews
~ º+----,----+----~
10 15 20 recent research into fundamental (non-cyclic) pile behaviour and asses-
WAVE PERIOD (SECS)
ses what progress has been made. The third explores how these
Figure 5.2 Effects of environmental forces on TLP foundation loads. (After Bradshaw et improvements form the basis of a more rational approach to cyclic
ai., 1984.) analysis. The final part summarises the results obtained in three recent
cyclic-pile field testing programmes; the framework developed in the
earlier sections is used to interpret the data and draw some preliminary
With onshore projects it is usually possible to check design assump- conclusions.
tions by carrying out loading tests on piles and by monitoring the As the scope of the chapter is so broad, attention will be focused on
full-scale service performance of the foundations. If necessary, amend- the area where most progress has been made - axially loaded driven
ments can be made during construction or remedia! works carried out at piles in clay.
a later stage. This is generally not feasible with offshore structures.
The development of reliable design procedures is therefore vital if the
correct balance is to be struck between economical construction and 5.2 Existing empirical design methods
good performance in service.
5.2.1 Static capacity
5.1.3 The development of theory
It is usual to consider the overall pile capacity in compression, QtotaI, as
the combination of two components:
A range of computational tools and numerical models has been devel-
oped for the design of offshore piles. However, progress in understand- Q total = Q shaft + Q tip
ing the basic mechanisms of pile behaviour has been relatively slow, and
ln most offshore piles (in clay) the shaft resistance Qshaft far exceeds
the approved calculation procedures are based largely on empiricism.
Qtip and therefore concentration will focus on shaft capacity.
Relationships for global pile behaviour have been suggested on the basis
of simple (total stress) interpretations of a limited number of (mainly
onshore and relatively small-scale) pile tests. 5.2.2 The alpha method
Paulos noted (in the 1989 Rankine lecture) that 'A number of
significant aspects of pile behaviour lack a proper theoretical frame- The most widely used formula for shaft capacity is based on a simple
work'. Experience in other areas of ground engineering, including slope correlation proposed by Skempton (1959). This relates the peak shaft
stability and earth pressures, warns that design methods that do not shear stress •rz that can be developed at any point on the shaft (in a
178 CYCLIC LOADING OF SOILS
CYCLIC BEHA VIOUR OF LARGE PILES 179

static test) to the initial undisturbed undrained shear strength Cu0 so that Cu ' kPo

O 0.2 04 0.6 08 10 12
-10

Pile loading tests, carried out with different pile types in a range of -20
soils, have been used to estimate typical values of a by relating average
values of r,, to average shear strengths. A value of Qtip must be -30
assumed; the equation given below is used for compression piles, but for
tension tests Q1ip is usually taken as zero. -40

Qtip = (N cCurr D 2 )/4 -

e
-50

º
Strictly, the force F = rrD 2 (NcCu - YsaiZ)/4 should be calculated first. ~ -60
If F > O a positive contribution can be added to the tensile capacity "
w
Qtip = rrD 2 (YwZ + Pv)/4 (where Pv is the saturated vapour pressure of -70

water). If F < O, the earth pressures acting on the base may push the -80
pile upwards at failure with a force equal to F.
The practical limitations of the method include: -90'--'--~--'-----'--..L-~

(1) The sensitivity of the calculations to the interpretation of Cu test
data.
(2) The usual assumption that the bearing capacity coefficient N e is
about 9.0 can give considerable underestimates of Qtip, so leading
to errors in the calculation of a (Bond, 1989).
(3) The fact that shaft capacity can vary with time (e.g. set-up in soft
clays), rate of testing and loading patterns (e.g. tension/compres-
sion).
An appreciation of the first difficulty can be obtained by considering the
shear strength profiles presented by Morrison (1984). The profiles
shown in Figure 5 .3 all represent the sarne layer of Boston blue clay,
but each profile was determined using a different method of testing.
Undrained strength evidently depends on many factors including
sampling method, laboratory (or in-situ) test stress path, reconsolidation
procedure (if any) and loading rate to failure. Figure 5.4 shows the
impact of these variations in Cu on the a values assessed from full-scale
and model pile tests at the sarne site.
Figure 5.3 Undrained shear strength profiles for Boston blue clay at MIT campus site,
various test methods. Key: U, unconfined compression; UU, unconsolidated undrained
compression; CIU, isotropically consolidated undrained compression; CKoTC, Ko consolid-
ated undrained compression; CK0 UDSS, Ko consolidated undrained direct simple shear.
(After Morrison, 1984.)
Following further interpretation by Dennis (1982), Semple and Rigden
(1984) and others, the code was revised to allow for variations in the
apparent over consolidation ratio (OCR) by replotting a as a function of
Cu/a~, as shown in Figure 5.7 where a~ is the vertical effective stress. ln
this procedure an average ratio must be assigned to each pile test, which
can be difficult with overconsolidated soils where Cja~ can vary rapidly
with depth.
The latest API revisions (API RP2A) have an improved theoretical
basis (Randolph and Murphy, 1985). But, as noted by Windle and
Lawrence (1988), the procedures used to define soil strengths in the
database are not compatible with current práctice, and many of the tests
were carried out in soils quite different to those of typical North Sea
platforms.

5.2.3 The American Petroleum Institute (API) codes 5.2.4 The beta method

The API codes, which govern the design of many offshore structures,
specify a values that depend on soil strength. Tomlinson (1950, 1980)
had noted a trend for lower a in stronger soils, and the 1977 API codes
were based on a similar line drawn through a scatter plot derived from
42 test piles-'the API database'-as shown in Figure 5.5.
Following work by Chandler (1968), Burland (1973) proposed an
alternative formula for the local peak shaft friction. This assumes a
linear relationship between r,, at static failure and the initial effective
overburden pressure a~0 •
•rz = f3°~o
180 CYCLIC LOADING OF SOILS CYCLIC BEHA VIOUR OF LARGE PILES 181

a = 1rz / Cu 1.2 - - - - - - - - - ~ - - ~ - - ~ - - ~ - - - - - - .

0.2 0.4 0.6 0.8 1.0 12 1.4 •

•
• •• • ••
40 1.0

60

80

100
- •
• •
•
•
• 1
1
• 0.8

•
1977 API RecolMlendation

(
;::: •
g
-~w
120
.,
...______ >--+--<
0,4
• •
...
• •
•
"'
~
CJ
140 •
e-< 0.2
4.1
160
OL----J...,__ _.J...__ _.J...-_ _..,__ ___.__ _.....___ _
180
~

O 50 100 150 200 250 300 350

Undrained Shear Strength, kPa
200
Figure 5.5 Trend of a with Cu for API database.
220

240
Strength Profile Type of shear with PLS cell
com pression tens1on 1 ..
••
uu
Field strength
•
■
o
o
O. 7
'•
Shan se p ko plane
stroin compressIon
• 'v
Cl
Pile load tests in BBC (after Trnw 1984) ♦ O5 •
Figure5.4 Sensitivity of a to Cu test method. (After Morrison, 1984.)

0.5
Points to note are:
-,
(1) A constant /3 implies that •rz
is approximately proportional to Cuoiíl'vo

depth. This is only compatible with an a approach for soils where
Cu/z is approximately constant (i.e. clays at OCR = 1).
(2) Load tests show that f3 varies strongly with soil type, OCR and
other factors; Randolph and Murphy (1985) interpreted the vari-
ation between f3 and Cu/a~ and showed that f3 increases with
increase in Cu/a~.
(3) It is inconsistent mathematically to assign local f3 values (in
layered profiles) on the basis of average f3s deduced from pile
load tests.
The fundamental problem with the a and f3 approaches [and the
lambda method of Vijayvergiya and Focht (1972)] is that there are many
variables that could affect shaft capacity; the apparent trends of simple
scatter diagrams do not allow the basic governing relationships to be
Figure 5.6 Trend of a with Cu 0 /a~o for API database.
deduced. This may be illustrated by Figure 5.7, which presents a scatter
diagram of a against the duration (t) between driving and testing (the
'set-up time'). Set-up time appears to have as strong an influence as Cu
or Cja~. Without a fundamental understanding it is impossible to know
which factors are the controlling ones.
5.2.5 Prediction of static load-displacement behaviour
A range of methods has been developed to compute pile load-displace-
ment relationships. The simplest analytical methods are based on the
182 CYCLIC LOADING OF SOILS CYCLIC BEHA VIOUR OF LARGE PILES 183

1.2
OJ,
ri::
♦T1-Sheor stress transter
tunctions
10 ~J,♦T2

t Oúr3
~ 0.8
Sheor lli♦ri. i =N
iij ,,,..,,,. 7 I stresses Qi♦rs Oshaft = L T;
_,,... .,..,.,,.
> i =1
ti Compressible _u· ♦T
a, 0.6 •
y - elements n.:'. ·6

-- -
~ ... y _,,... ••
Q)
.,,,,.-•• ----- ~J,JT7
~ --- •
. -..!-- Dú
0.4
1♦ 01;p

0.2 (a) (b)

o .___ ___.___,_____...,___,..__ ___.__ _J__ _...,__ ____,

T Non-lineor
2 3 4 5 6 7 8

Set-up Time (weeks) Stroin

sottening
Figure 5.7 Trend of a with set-up time for API database.

theory of elasticity; computerised finite element and boundary element u

numerical methods allow a wide range of cases to be considered.
Solutions for incompressible single piles and groups have been presented
by Poulos and Davis (1974), whilst Butterfield and Ghosh (1979)
prepared charts for groups of compressible piles subjected to both
inclined and eccentric loads. Randolph and Wroth (1979) further simpli-
fied the problem by developing approximate closed-form elastic solu-
tions and have shown that the simplified method agrees well with the
more rigorous boundary element treatment, except for relatively short
piles (L/d < 10).
However, as noted by Meyerhof (1976) and Kezdi (1975), the main
difficulty with elastic methods is the choice of soil deformation modulus.
Although Poulos (1989) gives some useful guidelines, Esoil is more a
convenient analytical notion than a true property. Soil is in fact steeply
non-linear, and this has a strong influence on most problems in piling.
Coyle and Reese (1966) proposed a non-linear method for calculating
pile settlements. The pile is considered as an elastic column (divided
into N elements) on whose sides and base vertical forces and tractions
act. The soil stresses (r) are applied as functions, F(u), of the local
vertical displacement, u, as shown in Figure 5.8. The governing equa-
tion of vertical equilibrium for a pile element at depth z can then be
(e)
Figure 5.8 T-Z non-linear load-transfer method of analysis. (a) Continuous pile. (b)
Idealisation of N elements, each with a vertical shear force component T; and dis-
placement u;. (c) Hypothetical shear transfer functions relating T (= rr,, 1r.dL;) to displace-
ment u;.
written as:
r(z) = F(u)
2
EpileApile d u/dz 2 + F(u) = Ü
Curves of r against u are generally referred to as shear stress transfer
(or T-Z) functions. A numerical routine (usually finite elements) is
used to solve the differential equation throughout the pile 'column' for a
given applied head load or displacement. Repeating the calculation for a
number of case loads allows curves to be drawn for pile head settlement
against load (including failure). Profiles of shaft shear stress with depth
can also be obtained for selected load factors.
Coyle and Reese proposed ways of deducing suitable transfer func-
tions from instrumented pile tests. Others have used tests in which a
184 CYCLIC LOADING OF SOILS CYCLIC BEHA VIOUR OF LARGE PILES 185

model pile is enclosed within a stressed cylinder of soil to find transfer (2) Fast static loading tests were used to prove the effects of loading
functions. Bea (1975), Holmquist and Matlock (1976) and Grosch and rate. These tended to give higher ultimate capacities and stiffer
Reese (1980) give examples of tests of this type. More sophisticated cells load displacement curves than slow tests (see Figure 5 .10).
have also been used [see Steenfelt et al. (1981) or Chandler and Martins (3) A rough indication of the influence of cycling level on the rate of
(1982)]. General guidelines for T - Z curves were presented by Vijayver- permanent displacement accumulation was given by the scatter
giya (1977), and these have been used extensively in offshore pile plot shown on Figure 5 .11.
design.
Bea and Audibert (1979) also noted that, when combined with large
Theoretically, the T - Z approach represents a local approximation
horizontal cyclic loads, the pile and soil may separate at the ground
and not a true continuum analysis; the method does not consider the
surface, leading to further reductions in ultimate capacity (see Figure
stresses and strains developed in the soil mass. It therefore ignores any
5.12). This phenomonen is referred to as 'slotting' or 'post-holding'.
interaction between the horizontal soil layers and cannot be extended to
The cycles imposed by storm loading are relatively short; the implied
consider pile group action, without being coupled to some form of
displacement rates at failure (10 to 100 mm/s) far exceed those for static
(usually elastic) continuum analysis.
An alternative approximate method is the 'substructuring' procedure 2 . 2 - - - - - - - ~ - - - ~ - - - ~ - - - - - - ~ - - - ~ 2.2
described by Paulos (1989). ln this, the non-linear aspects of pile PileC
behaviour (i.e. yield, failure, etc.) are modelled as a series of special 2.0 2.0

conditions at the boundary between the pile(s) and a linear elastic

-
1.8 1.8
continuum.
Trendlor/\}ç~
\! 1.6
Pile A ------------ - 1.6

5.2.6 Current methods of allowing for cyclic loading t:t t::." 1.4
~---------- ~
, PileA ~-
', - --------- - 1.4

~
1

~-~ 1
It has been appreciated for some time that the response of piles tested
1
1.2 ~ 1 1 1.2
~~----------- f'ile8 • ~
under cyclic conditions may be quite different to that for static loading. --- .• [_ J

1.0 L _ . . . . d ~ ~ - - - = - - - - ~ - - - ~ - - - ~ - - ~ - - - ~ 1.0
The three main aspects listed by Paulos can be illustrated qualitatively
using data presented by Bea and Audibert (1979): conventional static tests
rate of loading
waves earthquake ------
(1) The reductions of pile capacity due to cycling (found in a limited Figure 5.10 Effects of loading rate on shaft capacity. (After Bea and Audibert, 1979.)
collection of tests) are indicated on Figure 5.9.
10 -------.--,--,---,--,---r,-.-----.----,---.-----,--,----,,---,--,
9 C'l'CLIC LOAO LEVEL
<)- 20 - 35%
* 35 - 50%
~ 6 S:, 50 - 65%
• 65 - 80%
~ 5 ◊ 80 - 90%
>,

.-.-:-----
♦ 90 - 100%
(.) 4

z - 0.9 ãl
~ ., ..9
u,.,
ü,.,
u u <
õ õ ~
j 2

1,1.1 SN = N0.12
1.4

1.2 .
o Q
'é<;
t • ,1 SN =No.019
1 t-===:;1:;;;,=b4db==rl===:=ii:=:!::Jc::::C:=:i.:~~
o. 7 '------'---'---'----'---'--'--'-.1..-L----'----'---'---'---'--'--'-'-' 1 4 5 6 7 8 9 10 20 30 50 K)Q

1 2 3 4 5 6 7 8 9 10 20 30 40 50 70 100
Number oi Load Cycles, (N)
NUMBER OF CYCLES !Nl
Figure 5.11 The accumulation of permanent strains due to cyclic loading. (After Bea and
Figure 5.9 Effects of cycling on shaft capacity (Tu)- (After Bea and Audibert, 1979.) Audibert, 1979.)
186 CYCLIC LOADING OF SOILS
P6_.
--~_. time
---
p
, A systematic reliability analysis reported by Hamilton and Murff
\ V / (1988) suggested 'a bias between actual and computed axial capacity of
\
,,
!\ 1
Figure 5.12 Cyclic degradation dueto slotting. (After Bea and Audibert, 1979.)
load tests. It might therefore be thought that a positive rate effect could
counteract, or even overcome, the negative features of cyclic loading.
It appears that designers often rely on this trade-off; it is common
practice to design piles to have sufficient static capacity to carry the
loads estimated from simplified dynamic analyses of the interacting
structure and foundation subjected to environmental loading. For exam-
ple, Rigden and Semple (1983) concluded (in their account of the
Magnus foundation design) that 'assessing the load capacity of offshore
piles on the basis of static capacity is conservative. However, the degree
to which this is so cannot be determined with great accuracy on the
basis of existing information'. The factors of safety adopted for Magnus
were 1.25 for the worst loaded pile in a group and 1.5 for the average
group load.
ln the case of the Hutton TLP, the use of piles as purely tension
anchors was novel. The unusual foundation arrangements led to special
emphasis being placed on the possible long-term effects of cyclic
loading.
Bradshaw et al. (1984) describe how cyclic laboratory tests (simple
shear and model pile experiments) were carried out to assess the
possible effects of cyclic degradation. These tests and analyses of
possible strain-softening, slotting and sustained tension loading were
used to define a worst possible (in storm) shaft resistance. The design
factors of safety (for the 100-year storm) applied to the worst possible
capacity were 1.5 for the most heavily loaded pile and 2.0 for the
average load. This amounted to a group factor of safety of about 2. 7 on
the unmodified static axial capacity. Foundation safety was also con-
firmed by centrifuge model tests studies and by monitoring the field
behaviour (see Jardine et al., 1988).
ln summary, the industry makes different allowances for cyclic load-
CYCLIC BEHAVIOUR OF LARGE PILES 187
ing, depending on the amount of experience that exists with the
particular foundation soils and type of structure. The wide~pre~d 1m-
pression that current (static) design methods are conservatlve 1s sup-
ported by the observation that there have been few failures.
1.5 to 3'. Alterna tive explanations for the unexpectedly low incidence of
in-service problems for offshore pile groups include (1) untoward
foundation movements may not have been detected and (2) environ-
mental forces may be overestimated systematically. Hamilton and Murff
(1988) therefore urged against incorporating the apparent bias into any
design procedure before the underlying reasons for the trend were
understood.
5.2. 7 Cyclic T-Z analyses: Matlock and Foo type models
Although cyclic loading analyses for offshore piles in clay are not often
carried out, extensions have been made to the existing numerical
procedures to allow cyclic T-Z analyses to be performed.
Matlock and Foo (1979) described a computer code in which simple
T-Z curves could be specified that were hysteretic and produced plastic
deformations once a local yield stress had been exceeded, as shown in
Figure 5.13.
The model also included a simple two-parameter cyclic degradation
law. The maximum skin friction value attainable gradually decreases
with the number of cycles from the initial peak value rmax to a
prespecified minimum value rmin. The effect of each additional cycle is
given by:
Ímax(N + 1) = [rmax(N) - Ímin] (1 - Ã) + Ímin
A cycle-by-cycle solution can be carried out for the whole pile, starting
with N = O. Depending on the combinations of input parameters, the
overall pile behaviour could either be completely stable (no degradation,
no hysteresis), stabilise after a certain number of cycles (showing no
further increases in pile head displacement) or cycle to failure (when the
degraded pile capacity can no longer support the applied loads).
5.2.8 More advanced cyclic models
More complex cyclic models have been suggested for offshore piles. St
John et al. (1983) proposed T-Z curves which could be hysteretic and
vary with the duration of loading. These are illustrated in Figure 5.14,
and it was recommended that the static curve should be formulated in
three parts.
188 CYCLIC LOADING OF SOILS CYCLIC BEHA VIOUR OF LARGE PILES 189

8___4 3
Complete curve

!a)

7 ........ ,...._. ___

(b)
4 o
1mposed motion
7
1!__4 3
Sub-element 1

(e) Absolute displacement

~
7', ____
u

Sub-element 2

(d)

Figure 5.14 T-Z curve allowing for strain softening, hysteresis and cyclic degradation.
Sub-element 3
8 4 Note 'Y = 1/Tpcak· (After St John et ai., 1983.)
(e)
5 7 ------ The degraded shear stress that could be mobilised after N cycles was
Figure 5.13 Cyclic T -Z analysis showing contributions to pile head load-displacement
related to the value developed (at the sarne displacement) in a static test
curve (a) under an imposed cycle of vertical displacement (b) of three subelements; the ( Ístatic) by:
deepest (c) responds almost elastically, whilst the shallower elements (d) and (e) show
large plastic displacements and hysteresis. (After Matlock and Foo, 1979.)

The parameter p is a function of cyclic shear strain, and Figure 5.15

(1) An initial portion derived from simple elastic solutions. shows the curve reported for model pile tests on Hurstville clay. This
(2) A yielding portion (starting at some proportion 17 of the local degradation law was first proposed by Idriss et al. (1978) for triaxial test
static shaft capacity r = rJTpeak) over which r and u are related by data.
a parabola up to failure. The peak displacement uc was thought to
be between 0.5 and 2.5% of the pile diameter. 0,15 .----r----,----,-------.
(3) A post-peak curve falling slowly towards r,es according to the
equation:
r = Ípeak - ( Ípeak - Íres)[l - exp ( -2.3( u/ures) ry)]
p
Dynamic loading rates could be considered by assuming that rctyn (for
a pile loaded to large displacements at a rate À) was larger than rs,atic
(carried out ata loading rate À) according to an empirical equation:
rctyn/rs,atic = 1 + F P log À/Às O 0-005 0-010 0-015 0-020
Poulos suggests taking 0.25 > F P > 0.1. + U cyclic /d
A five-parameter creep law was also proposed to cover movements
with time due to large sustained loads. Figure 5.15 Form of empírica! cyclic function P. (After Poulos, 1982.)
190 CYCLIC LOADING OF SOILS CYCLIC BEHA VIOUR OF LARGE PILES 191

Ciz
Cyclic models have also been incorporated into substructured bound-
ary element analyses, using both the rate and degradation laws de-
scribed above and the Matlock and Foo approach (Paulos, 1982, 1989).

5.2.9 Discussion

The empirical cyclic calculation routines can provide predictions of

full-scale behaviour. But to use the methods in design it is necessary to
guess a large number of parameters, which can neither be related to
basic soil properties nor found from well-developed laboratory tests. lt
is therefore unwise to place undue confidence in the predictions ob-
tained, unless they are substantiated by reliable experiments.
Physical models (laboratory piles and centrifuge tests) have been used
to help fill this gap. However, without a sound understanding of the
basic mechanics of the pile-soil system it is difficult to design good
experiments, interpret the data or scale-up the results.
Figure 5.16 Symbol definitions for axisymmetric system.

5.3 Understanding static pile behaviour other than their mechanical stress history. The nature of deposition (for
example marine sedimentation or till formation by grounded ice) and
5.3.1 Introduction the processes that follow deposition can be of equal importance. Thus a
high apparent OCR for a clay (indicated from oedometer curves or Cu
The starting point for investigating pile behaviour is the division of the values) might not signify that a deposit has been preloaded, that K O is
problem into seven principal areas: large, or that the clay will dilate when sheared.
(1) The initial ground conditions. The soil's genesis and stress history must be considered when asses-
(2) Constitutive relationships of the soils. sing K 0 • Direct in situ tests are not feasible at present at deep-water
(3) Pile installation. sites, and use is often made of Brooker and Ireland's (1965) charts or of
(4) Equalisation after installation. equations such as that given below (Mayne and Kulhawy, 1982):
(5) Pile loading. K 0 = (1 - sin cj))OCRsinq,
(6) Group behaviour.
(7) Cyclic and dynamic loading. Strictly, this approach is only valid for sediments with a simple history
of monotonic mechanical overconsolidation (see Jardine and Potts, 1988).
The symbols and coordinate system appropriate to this axisymmetric
problem are shown in Figure 5.16.
5.3.3 Constitutive relationships for the soils
5.3.2 Initial ground conditions Recent research on a range of sediments [see Gens (1982), Hight
(1983), Jardine (1985) and Tika (1989) for summaries of work at
The first vital task at any site is to establish the sequence of strata and Imperial College and Jamiolkowski et al. (1985) for a more wide-ranging
the nature of the principal layers. High-quality sampling and testing are review] has lead to a number of conclusions relevant to the present
required, but it is also important to recognise the limitations of current problem including:
site investigation procedures and to be aware of how research on similar
soils can be used to help interpret the collected data. (1) Soil behaviour is most easily understood if interpreted within the
The properties of offshore clays can be influenced by many factors framework of elastoplastic, critical-state soil mechanics.
192 CYCLIC LOADING OF SOILS CYCLIC BEHA VIOUR OF LARGE PILES 193

(2) This said, the simpler critical-state soil models (e.g. modified Cam
clay) do not predict many aspects of real soil behaviour.
1
(3) ln particular, K O consolidated sediments have properties that <l>cs Magnus
30
• Till
differ considerably from those of isotropically consolidated mater-
27.5
ial (i.e. anisotropy, brittleness at low OCR, etc.). 0.5 <1>'
(4) Most soils are strongly non-linear before yield, and clays can show 25 degrees
very high stiffness at small strains. • <l>~s London 22.5
(5) Plastic strains can be developed within much of the stress space O. 4 Clay
20
that is usually considered to be elastic. Soil is only truly elastic at
17.5
very small strains. O. 3 ~----Magnus Till

(6) Soil properties are rate- and time-dependent. 15

(7) Many clays form zones of reoriented, residual fabric when sheared 12.5
0.2
to large strains. Shearing soils against a hard interface (e. g. a steel 10
- - - - - - - - - - L o n d o n Clay
pile) can accelerate the development of such a weak zone-or 7.5
initiate one in soils that would not normally exhibit residual O.1
behaviour. alter Lemos 11986)
and Tika 11989)
(8) The frictional characteristics shown in interface tests depend on º,L--------'-,0------..,,10,..,.0--------,-10~0..,...o-
interface type and roughness and the shearing history of the test
Displacemenl (mm)
(i.e. displacements, rates, stress leveis, etc.).
Figure 5.17 Interface ring-shear tests to simulate pile failure; slow shear following fast
Figure 5 .17 illustrates the significance of conclusions 7 and 8 using data installation and equalisation.
from special ring shear apparatus tests of (1) remoulded [low plasticity
index (PI)] Magnus till and (2) London day. The tests simulated the Pile position
shearing history of soil dose to a pile shaft, with rapid initial shearing to
5
large displacement against a roughened steel interface ( driving) followed t \ \\~) \)\\.~
by consolidation to a higher normal stress (set-up) preceding either slow 1
or fast shearing stages (loading to failure). Under these conditions, the
frictional characteristics were brittle and gave </JresiduaI values far below
their corresponding critical-state <p values.
4

3
pH•{j.:-Tz
2
k,,, ;f." J ~ soil particle
5.3.4 Effects of pile installation-cavity expansion analysis t',
Pile driving (or jacking) involves complex stress paths, steep gradients in
~" "D'~ ~:t,
\a \b '- ~ Radial offset of field point
stresses, and strains with very high strain rates dose to the pile (Baligh, O \ 1\ 2' 3 4 5 6 r /r0
1984). o t \ \ '),. \ ~~~
~ . '"'t'. H
. . '
Laboratory X-ray experiments have been carried out to study the " • i=,<;
displacement fields around penetrating piles. As shown in Figure 5.18, -1
t F t: F,<;
soil is displaced vertically and radially as the tip advances. With such ',)\\\)\\~

large strains developing, there is no a-priori reason to suppose that the -2

G
resulting stress state resembles the original K O stress regime although
this is often assumed in 'effective stress' pile analyses.
k,,,,,,,~
-3
Wroth and bis co-workers (1979) analysed the installation process by z/r0
assuming that, for most of the pile shaft, the ground strains could be
taken as being equivalent to those resulting from the monotonic Figure 5.18 Soil trajectories during pile installation. (After Wroth et ai., 1979.)
 CYCLIC BERAVIOUR OF LARGE PILES 195
194 CYCLIC LOADING OF SOILS

expansion of a cyclindrical cavity. Undrained 'installation' of the cylin-

drical cavity and the subsequent dissipation of pore water pressures
-
Stress
Cu (o)

could then be modelled (using a variant of modified Cam clay) and

5
predictions obtained for the stress changes around the pile. __J c~ical state
- 1 region
The cavity expansion method (CEM) analysis is essentially a one- u/Cu (o)
4
dimensional approximation, and the predictions made for the stress
conditions immediately after installation can be summarised as:
3
(1) Soil within a radius Ry yields [where Ry = R\/(G/Cu0 ) , G being
the shear modulus and R being the pile radius].
(2) Critical-state conditions apply adjacent to the pile shaft. 0CR=8
K = 1.25
(3) The major principal effective stress acts radially. 0

(4) The stresses acting at radius R are given by:

a; = CuaCY3M + 1) r/R
o
ª0 = CuaCY3M - 1) 11-15 2 5 10 100

(a)
a;= Cu Y3M
0
Stress
where M = 6 sin </J/(3 - sin </J) for triaxial compression and Cu (o)
M = \/3 sin </J for plane strain.
(5) Large pore pressures (3-6Cu0 ) are set up at the pile face for a 6
wide range of soil types and OCRs.
5

5.3.5 CEM analysis of post-installation equalisation

4
ª0'/Cu (o)
Wroth and his co-workers (1979) performed coupled consolidation ªz'/Cu (o)
analyses to study how conditions might change with pore pressure 3

dissipation. Figure 5.19 illustrates the solutions obtained for London

clay at OCR = 8. Points to note are: 2 0CR=8
K =1.25
0
(1) The effective stresses at radius R increase with time, finally giving
a;c = 5.8Cuo·
(2) ~EM studies for low-OCR clays showed similar patterns; dissipa- o r/R
t10n led to large gains in a;. For Boston blue clay at 11-15 2 5 10 100

OCR = 1 a;c = 4.9Cuo· (b)

Figure 5.19 CEM predictions for stress changes due to pile installation in London clay. (a)
5.3.6 Strain path method Immediately after installation, (b) After full equalisation. (After Wroth et ai. 1979.)

~n alte~native two-dimensional approximate method for analysing pile

properties of the soil. Comparisons with the experimental results given
mstallation has been developed at Massachusetts Institute of Technology
(MIT), the strain path method (SPM), (Baligh, 1984, 1985, 1986). The in Figure 5.18 supported this hypothesis.
The strain path approximation essentially uncouples the analysis-the
central assumption here is that the strain fields developed around deep
strain fields are found from hydrodynamic solutions for stream flow past
pentrometers (cones, piles, samplers, etc.) are determined by the
pile-shaped boundaries. Figure 5.20 illustrates the method by showing
geometries of the penetrating object alone and do not depend on the
 196 CYCLIC LOADING OF SOILS CYCLIC BEHA VIOUR OF LARGE PILES 197

Cylindrical expansian strain , E2 'lo (3) The solutions were highly sensitive to the details of the adopted
;;! O 50 100 150 elastoplastic soil models.
As with the cavity expansion analyses, changes in the stress state during
dissipation were simulated by coupled consolidation analyses. These
were limited to considering the events at points distant (i.e. 100-200
radii above) to the pile tip in low-OCR clays.
SPM predictions [made with the MlT E3 model (Whittle et ai., 1988)]
for piles installed in Boston blue day show:
z
ii (1) Effective radial stresses dose to zero after undrained installation
2 (with large positive excess pore pressures).
-z (2) Gains in a; as a result of dissipation, but far lower final radial
o -v stresses than predicted by the CEM.
E2 '!.
100 150 (3) The principal stress acts radially, with, p~, the final value of mean
-x
effective stress, approximately equal to 0.8a;c at the end of
-2
consolidation.
A

4
5.3. 7 Experiments with instrumented piles

Deviatoric Strains
E1 = E ZZ
E2 =(Err-Eee)//j
E3=2·E,,l ✓l
1
f Morrison (1984) in Boston blue clay with the MlT piezo lateral stress
y
FigureS.20 Strain path method (SPM). (After Baligh, 1989.)
the deviatoric strains calculated for three points (G, F and A) in the
ground that are displaced by the installation of a 'simple' pile (Baligh,
1986). The resulting stress conditions at the end of installation are
assessed by using soil models to calculate the ground's response to the
imposed strains.
SPM parametric studies presented by Kavvadas and Baligh (1982),
Levadoux and Baligh (1982) and Whittle (1987) lead to three conclu-
sions:
(1) The strain components (E 1 and E 3 ) ignored in the CEM were
large and important.
(2) Phases of strain reversai (shown as the pile tip advances past
leveis X, Y and Z) lead to large reductions in the total stresses
after the pile tip has passed a given horizon.
5.3. 7.1 Tests in Boston blue clay. ln parallel with these theoretical
developments, experiments have been carried out by a number of
workers to measure the stresses developed at the pile-soil boundary.
Unfortunately, there are very few studies which include reliable
measurements of the effective stresses acting on the pile shaft, and
attention will be concentrated on just two recent sets of experiments.
The first case is the extensive programme of field tests carried out by
(PLS) probe. The Cu profile for one of these sites is shown in Figure
5.2. Figure 5.21 depicts the <levice and summarises the measurements
made at a number of depths of the radial effective stress recorded after
complete pore pressure dissipation ( a;c) after holding tests performed
after jacking to each levei. ln this particular profile the OCR decreases
from approximately 4 at 10 m to about 1.3 at 40 m; the day is both
sensitive and highly contractant.
The sarne diagram plots the SPM predictions by Whittle (1987), the
CEM predictions made by Randolph et ai. (1979) and the present
author's best estimate of the in-situ K 0 profile. For points located 100
radii above the 'pile' tip:
(1) a;c is dose to the K 0 profile.
(2) The SPM predictions are reasonable.
(3) The CEM analysis overpredicts a;c by = 400%.
5.3. 7.2 Tests in London clay. The second case described here is the
 198 CYCLIC LOADING OF SOILS CYCLIC BEHA VIOUR OF LARGE PILES 199

Canons Park series of field pile tests, which was carried out using
extensively instrumented (100 mm-diameter steel) piles in the strongly
E E e dilatant, medium to high plasticity, high-OCR London Clay [see Bond
<.O E E=

14
<.O
d
.,~1-"" ~~
·1
and Jardine (1989) for details of the site, instruments and test results].
The piles were equipped with the specially developed instruments
shown in Figure 5.22 mounted at at least three leveis on the shaft.
E
E Considering just the a; measurements, the most important features
= were:
"'
li
....
e
....
~

~ ~
e
V, V,
e (1) The soil showed strongly dilatant characteristics during penetra-
e.
3r::
tion. Large increases in ar were found, whilst u plunged to
õ e.
negative values.
~

oô (2) The ar values developed in any particular horizon were at a

00
°',...... maximum as the pile tip passed that depth and continued to relax
si as the tip advanced .
t (3) The measured radial total stresses measured were considerably
~ smaller (at most leveis) than predicted by the CEM.
:E
:?;:
-o

....
e;:, b"' °',.....00
°'
--
-u o
,:
b'"' "'
·e
....
o
~
....CI.)
,t::
E $
....o
;,'.,
"'e ü"'
~
.... CI.)
::,

C>
-:z:
\ ~ :õ
e: 1Axial lood cellJ Pore pressure unit Surfoce stress tronsducer
... b
", ,-!" E

. -
~ .....
V, "'
o Cambridge earth
:=e:,
CI •
• ÇQ
Thinned woll with Port-hole for pressure cell '\Oe,~
~ ,-
o
:a:
• " "'-
~ ·=
~
stroin gouges on it
C)~

' ' '- '- "'

' ____ ____·._

~=
E
::! cn
~ ...J
i:,...
-:;
'-............ _. ✓~ ....M
...e
~ ......... ...._

:o
--e
w,

•
-- -------- -~
~
.
trÍ
CI.)

::,
""
.:!!
.;
E
-~
:e
Rubber .. Nuiip .. rubber Pore- pressure '----Window
O-ring O-ring block pane
·-:::>
....
CI"
e;:,
e;:,
....
e;:,
(woter seol ) ( s oi I sea 1)
,- E Figure 5.22 Instrumentation used on Imperial College rnodel pile showing fast-acting pore
pressure units , surface stress transducers (for a, and ~rz measurement), axial load cell and
temperature sensor. (After Bond and Jardine , 1989.)
 200 CYCLIC LOADING OF SOILS CYCLIC BEHAVIOUR OF LARGE PILES 201

(4) The final profiles of a;c (shown in Figure 5.22) show a tendency
to swing from values dose to the K O profile at the top of the pile,
towards the CEM predictions at the pile tip.
(5) Independent measurements of the mean effective stresses dose to
the pile shaft suggest that aí acts radially and that p~ = 0.7a;c.
5.3.8 Summary for equalised stress conditions
~he two examples demonstrate the difficulty of making accurate predic-
tlons for the stresses around driven piles. The simplifying assumptions of
cr/c kPa Equilibrium effective radial stress
oº.----~2roo'-_-~40To'----"6~00~--~ªºº
the CEM lead to large non-conservative errors. It also appears that the
a;c profiles are not directly related to the K O stresses.
The strain path method gave reasonable predictions for the limited
PLS data. But before the method can be accepted as a design tool its
ability to predict the stress conditions over the entire shaft length (in a
range of soil types) must be demonstrated.
The Canons Park tests showed the important point that the stresses
developed at a particular horizon depend not only on the initial soil
properties, but also on the relative depth (Z/R) of the pile tip (the 'Z/R
effect'). This condusion can be used to try to extract more information
from the existing database of instrumented pile tests. Bond (1989) has
developed useful charts that allow the distributions of a;c acting on the
shafts of piles to be estimated from the piles' relative depth ratios and
the profiles of a~0 and initial OCR.

~
...
e.
Clay 5.3.9 Pile loading-theory
= and
Gravei The starting point for pile loading analyses is noting that the soil must
adhere to the pile until rupture occurs. Neglecting any straining in the
CEM Prediction o"r'c = 5. B Cu I Ol pile body, this means that there can be neither circumferential nor
i vertical strains at the pile interface, i.e.:

Head
Eg = E2 = 0
The radial strain E, can be found from the equation below:

Oisturbed
3 London
Clay
Thus E, = O for undrained loading, whilst for drained conditions
E, = Evol ·
The stresses ( a,, a 0 , 0 2 and r,2 ) developed dose to the shaft
when the pile is loaded depend on the soil's response to shearing under
these severe kinematic restraints. There is no a-priori reason to suppose
4 that a; will remain constant. Similarly at failure, the soil-pile friction
angle ô= tan- 1 (r,2 /a;) need not equal <P at failure.
lntact
London
Clay
5.3.10 Continuum analyses-elastic and elastoplastic

Theoretical models have been proposed that combine linear elastic

continuum analyses with the assumption of a Mohr-Coulomb failure
criterion [see, for example, Parry and Swain (1977) and Lopez (1979)].
These predict:
(1) That a; remains constant up to failure.
Figure 5.23 Equilibrium a; measurements at Canons Park-three tests. (After Bond and (2) Failure should start on indined surfaces within the soil mass.
Jardine, 1989.) (3) That ô should reduce systematically with the ratio K = a;ja;c.
202 CYCLIC LOADING OF SOILS
Potts and Martins (1982) analysed the problem from a critica! state
viewpoint and arrived at opposite condusions. They predicted that a;
could change considerably during loading, depending on drainage condi-
tions, K and OCR. They also showed that ô would be constant in all
cases (where there had been no fabric disturbance) and equal to:
ô = tan - 1 ( sin <t>~s)
Their findings were supported by laboratory model tests on special
bored piles (Chandler and Martins, 1982). The sarne test series showed
that displacement piles would most probably fail on residual surfaces
initiated during installation, and that this would alter considerably the
stress changes experienced as a pile was loaded to failure.
5.3.11 Simple shear analogies
Randolph and Wroth (1981) adopted an alternative continuum approach
by drawing an analogy between the soil circumferentially disposed
around a pile shaft during pile loading and the strain conditions in
undrained simple shear laboratory tests. Following from the CEM
analyses they anticipated that, dose to the pile shaft, all days-at all
initial OCRs-would become normally consolidated with:
These stress conditions are exactly those of an ideal simple shear test at
OCR = 1, but rotated through 90º.
When tested in simple shear, days often show quite different behavi-
our to that seen in conventional triaxial tests. Figure 5.24 shows a
typical normalised stress path from an undrained direct simple shear
(DSS) test on Boston blue day at OCR = 1; notice in particular that
failure, in terms of peak shear stress r, is attained long before the peak
stress ratio r/a~. De Josselin de Jong (1971) suggested that this might be
because of failure first developing on surfaces oriented at 90º to the
direction of shearing.
Randolph and Wroth (1981) considered that the sarne mechanism
would apply for undrained pile shaft failures in day. If so, a; and •rz
should follow paths similar to normally consolidated DSS tests, irre-
spective of the day's initial OCR.
As an alternative to carrying out DSS tests, an approximate equation
was proposed that leads to:
•rz/Cu
0
= cos q>(3 - sin q>)/2
Whittle et ai. (1988) analysed the loading process with the MIT E3 soil
model. The simple shear/pile loading strain conditions were applied to a
CYCLIC BEHA VIOUR OF LARGE PILES 203
'tHV 'trz
- ,- ~ MIT -E3 Predictions - OCR•s 1 to 4 !Boston Blue Cloy)
O~c a;c OSS Test, OCR =1 . O I Boston Blue Cloy l
Interface Sliding Model I Hutton Cloy 1
O. 6
~ ~max
0.4
,/~''
O.2
-
º~
□:__--~□~.2----□~.4---~□-~6----t,-----:-.---,12
Figure 5.24 Loading stress paths for low-plasticity clays; predictions of three pile loading
models.
soil element (dose to the shaft) that had undergone the full stress
history predicted by an SPM analysis of installation and equalisation (for
a level 200 R above the pile tip).
The fan of stress paths predicted for Boston blue day, at initial OCRs
between 1 and 4, undergoing undrained pile loading is reproduced in
Figure 5.25. The normalised paths all plot within a narrow band dose to
the curve followed by a DSS test on K O consolidated day at OCR = 1.2.
5.3.12 Residual fabric
The continuum theories assume that shaft failure involves the plastic
failure of the soil mass. However, as mentioned earlier, there is strong
evidence suggesting that interface sliding on residual surfaces (initiated
during installation) is the governing mechanism in certain types of day.
The effect of a thin surface on which the ratio of •rz/a; is limited by
highly ordered fabric was considered by Potts and Martins (1982). They
conduded that sliding would occur on the surface long before the soil
continuum reached failure. The stress paths predicted by the continuum
models would therefore be truncated with, probably, smaller changes in
a; and lower peak shaft shear stresses.
The stress path expected for a low-plasticity day (like Boston blue
day) which fails by interface sliding is illustrated on Figure 5.25 using an
interface sliding analysis of the (similar) Hutton till, which may be
compared with the pile loading stress paths predicted for Boston blue
 204 CYCLIC LOADING OF SOILS CYCLIC BEHA VIOUR OF LARGE PILES 205

•rz,kPa The tests were essentially undrained; both sets of stress paths rise
almost vertically-with a slight trend to the left for compression and vice
100
versa in tension. The unload-reload stages of the tension test (stages

-- -------- 7 --
µ .010 - - - -
__i::----

50 1

--~--
'A
-
300
---------
--
2

A
"'º
µe010 - - ~ : - ~ -

soo 600
A
'ºº 800
BCD) showed stable, 'elastic', behaviour. Notice also that the peak
values of c:5 fell far below <Pcs (22º) and that the fast-installed pile showed
higher values than the slow-installed one. There are also differences
between tests in compression and tension. But, in each case, the
a; , kPa measurements showed a gradual post-peak degradation of c:5 with dis-
placement giving an ultimate residual value of 8º.
These results, and the associated fabric studies, confirm that residual
1rz, kPa (interface) sliding controls the shaft capacity in this high-OCR clay.
200
Furthermore, the measured frictional characteristics are in excellent
agreement with the special ring-shear interface tests shown in Figure
5.18. Further field evidence is given by Coop (1987), who interpreted
100
residual sliding from instrumented pile tests in Gault clay, and by fabric
studies associated with the Cowden till test series (Ove Arup and
3
Partners, 1986).

200 A 300
600 700 800
5.3.14 Contractant clays
a-,', kPa
·50

(b)
Figure 5.25 Pile loading stress paths from two Canons Park tests (starting from point A)
for points 1, 2 and 3 located, respectively, 52, 28.2 and 8.4 radii behind the pile tip. (a)
Slow-installed pile-compression test. (b) Fast-installed pile-tension test, incorporating
unloading stage B to C. (After Bond and Jardine, 1989.)
clay by the above two continuum models. Notice that the continuum
models predict lower peak values of rr,/a;c, but higher values of true c:5.
5.3.13 Studying loading with instrumented piles-dilatant clays
The only sure way to prove how and when residual sliding operates is to
carry out a wide range of field tests. Although very few pile instrumen-
tation systems are capable of measuring effective stress changes accur-
ately during pile loading, some reliable data from the Canons Park
programme are available.
Results taken from two static (first-time) tests are reproduced in
Figure 5.25, using µ = tan c:5; the upper plot shows the stress paths for
three points on a (compression) pile previously installed by relatively
slow jacking (at about 100 mm/min), and the lower plot gives the sarne
data for a (tension) pile which had been installed at 500 mm/min.
The picture for contractant clays is less clear. ln cases where c:5 is
relatively high and the soil is strongly contractant, the rotation of the
principal stress axes that accompanies shaft loading may induce un-
drained instability (and peak rr,) at stress ratios ( rr,/a;) well below tan </>
(or even tan c:5). This may also lead to a brittle rr,-Yrz curve.
Morrison (1984) obtained data from rapid loading tests on the
contractant Boston blue clay with his PLS cell that appear to support
the simple shear analogy and the MIT loading model, but the measure-
ments may not be very reliable as the tests were stress-controlled and
were performed very quickly.
The Boston blue clay has a relatively low DSS undrained shear
strength. But interface shear experiments show relatively high c:5 at low
effective stresses (Hight, 1983; Whittle, 1987). These observations
suggest that a residual surface need not always be formed when piles are
installed in contractant low-PI clays.
Karlsrud and Haugen (1985) also found no physical evidence of
residual fabric surfaces in their test series on the low-plasticity, sensitive,
Haga clay. However, the effective stress measurements made with their
instrumented pile appeared to show some similarities with the stress
paths recorded at Canons Park. 'Typical' data from a first-time tension
loading test show that the stress path is practically vertical over most of
its length and moves to the right, i.e. the value of the effective radial
stress, a; increases, shortly before failure. The peak value of c:5 typically
 206 CYCLIC LOADING OF SOILS CYCLIC BEHAVIOUR OF LARGE PILES 207

observed is well below the triaxial criticai state </>, and dose to the 200 ...I_Ultimatecapacity
values of r/a~ found in soil-on-interface DSS and shear box experi- atter300mm displacement

ments.
160
However, there was scatter between pile tests, and undrained soil-soil
DSS tests showed similar peak ratios of r/a~ to the interface tests. ln
addition, other tests in the series showed reductions in a; after yield,
and it is difficult to judge whether residual interface friction had any
120
l 2.13m

I
significant effect on the shaft capacities of the Haga piles. Glacio-Marine
clays and so.nds
80
ln summary, the published database of reliable experiments remains Residual surface assumed

too sparse for definitive conclusions to be drawn concerning contractant

clays. It is to hoped that more tests will be carried out, and more data 40

released, to help to establish under which conditions the alternative ::,:

mechanisms control behaviour. li) 80 100 120 140

ó(mml

Figure 5.26 Effect of residual sliding surface on load-displacement behaviour of a large

5.3.15 Predicting full-scale foundation behaviour pile. (After Jardine, 1985.)

Attempts have been made to incorporate some of the recent improve-

ments in understanding pile behaviour in practical analyses of real
offshore structures. Predictions were made for the two platforms illus-
trated in Figure 5 .1, using a realistic effective stress approach (see
Jardine and Potts, 1988). Non-linear finite element loading analyses
were carried out that included:
(1) Best estimates of the effective stresses induced by pile installation
and pore pressure equalisation.
(2) Realistic constitutive models for the soils.
(3) Allowance for the effects of residual fabric at the soil-pile
interface.
The numerical models provided detailed predictions for single piles
loaded to failure. Overall pile group characteristics were extrapolated
from these results using an approximate superposition procedure.
These and other studies have shown that the stiffness characteristics of
the soils at small strains and the existence, or otherwise, of a residual
sliding surface at the pile interface have a very strong influence on:
(1) Single-pile load-displacement curves.
(2) The distributions of shaft friction 'rz with depth and the tendency
for shaft failure to develop progressively.
(3) The interaction of piles within a group.
The importance of a residual surface is demonstrated by the two
analyses illustrated in Figure 5.26. ldentical initial stress conditions and
non-linear elastoplastic soil models were used for the two studies. But
for one, the ratios of 'r,/a; were limited at the pile-soil interface
(according to the curves found in the interface ring-shear tests on
Magnus till shown in Figure 5.12). For the other, the soil failed as a
continuum, following the equations of the elastoplastic soil models.
The interface sliding analysis predicts a far lower capacity and a much
smaller (and more realistic) displacement to failure than the unmodified
continuum analysis.
Turning to stiffnesses, the characteristics of a typical North Sea till
tested in the triaxial apparatus are illustrated in Figure 5.27. Figure
5.27(a) shows the variations in undrained secant stiffness (Eu) with
strain for K O consolidated samples at a range of OCRs. The response is
strongly non-linear even at the earliest stages. Figure 5.27(b) shows that
the stiffness curves have similar shapes when normalised by a reference
value-Euo.m (taken at 0.01% strain). Analysis of these data shows that
(Eu/p') 0 _01 is approximately constant over a wide range of OCR with a
value of about 2000. ·
These characteristics can be simulated within linear elastoplastic soil
models, by replacing the constant shear modulus G ( = Eu/3 for an
isotropic elastic material) with a non-linear function of invariant shear
strain, G/p' = f(E), where:
2 2
E = 2Y{l/6[(c 1 - E 3) + (c2 - E3) + (E1 - Ez)2]}
The function chosen for the secant modulus G was:
G/p' = A + B cos [alog 10 (E/V3C)7]
where Giangent = (d/dE)(GE) (Jardine et al., 1984) and A, B, C, a and
y are material constants, with limiting tangent values applying above
208 CYCLIC LOADING OF SOILS CYCLIC BEHA VIOUR OF LARGE PILES 209

(a) and below specified strain limits. A similar function was used to relate
bulk modulus to volume strain.
OCR Further aspects of these analyses will be discussed in section 5.4. The
benefits of using the non-linear effective stress approach are clearly
1
14 indicated by Figure 5.28. Comparisons with field measurements show
\ Values 1OQ1) that the new method provides much better predictions of group behav-
iour than conventional T-Z and linear elastic analyses.

Eu,
kPa x 10 5
~~t"
5.4 Predicting field behaviour from soil element tests
a~ed~
5.4.1 lntroduction

Section 5.3 showed that it is becoming possible to quantify the effective

stresses in the ground around a driven pile and that a clearer picture is
21 emerging of the processes that govern static capacity and load-displace-
ment behaviour.
Finite element analyses of full-scale behaviour allow the interactions
0°001
of pile dimensions and compressibility, preloading stress conditions, soil
0.01 0.1 1.0
stiffness characteristics and shaft failure criteria to be examined and
Axial strain, EA 1'/,)
provide an improved basis for checking (or even replacing) the present

3500
(b)

3000
• Observed full sente
1. 5 behaviour
L{E}= Eu { E 1
Eu{ll01 I 2500
oeR's

1. O 2000

1500

0.5 .,e
~

--- ---
e 1000
o

ti.n~\~s\s - - - - -
"'
e,
t\\\ot\a.\ - - -

-- to~'----
0
500

0"-:--,-:-----~-----~------~--
0.001 0.01 1.0
~

]í

J -- -- -- -- --
Axial strain, E {º/, 1 ºo 0.2 0.4 0.6 0.8 1.0 1.2 U 1.6 1.8 2.0
6mm { Total group displacement)
Figure 5.27 Secant stiffness-strain curves from undrained compression tests on K 0 -con-
solidated Magnus till (a~c = 400 kPa). (a) Natural secant stiffness. (b) Normalised secant Figure 5.28 Comparison between predictions of non-linear FE analysis and field measure-
stiffness curves. ments; Hutton Tension Leg Platform foundations. (After Jardine and Potts, 1988.)
210 CYCLIC LOADING OF SOILS CYCLIC BERA VIOUR OF LARGE PILES 211

empirical rules for static design. This section of the chapter explores
how this new understanding may help the development of a more
rational approach to cyclic analysis.
First the probable undrained behaviour of piles subjected to slow
regular cycles will be considered. However, bear in mind that offshore
storm loads cover a far wider spectrum of frequencies and amplitudes.
element is shown on Figure 5.29. Also shown are the peak and ultimate
friction ratios that limit the continuum shear strain to 0.2% in static
tests. Failure occurs by (non-dilating) sliding, and a relative slip of about
50 mm is required to reduce ô to its residual value.
5.4.3 Cyclic soil behaviour

The principal features expected for cycling in the overconsolidated

5.4.2 Undrained cyclic behaviour of piles with a preformed residual
region are illustrated in Figure 5.30, which plots the effective stress
surface
paths followed by overconsolidated LCT during an undrained (stress-
controlled) cyclic triaxial test. The sample has an initial stress ratio
Section 5.3 of this chapter described how the initial parameters for a
realistic effective stress analysis of static pile behaviour can be
(a;/a~) greater than 1, and the cycles traverse both the compression and
extension regions of triaxial stress space. Notice that the first cycle leads
measured, calculated or estimated. To extend this approach to cover
to a positive increase in p', but that all subsequent cycles produce (at a
cyclic loading it is necessary (simply!) to incorporate into the numerical
diminishing rate) reductions in the mean effective stress. If the migrating
analysis a realistic effective stress model of soil cyclic behaviour. This
stress path approaches the outer yield surface, a dramatic change occurs
could be dane through non-linear finite element analysis, using one of
in the pare pressure response (phase transformation) and large strains
the cyclic soil models discussed in Chapter 2. Although a full-scale study
of this kind has not yet been reported, the problem can be examined will accumulate rapidly.
The stress conditions experienced by the pile element differ from
hypothetically by considering isolated elements of soil positioned dose
those in the triaxial sample; the pile element undergoes more or less
to the pile shaft. Static analyses of complete piles can then be used to
plane straining, and pile loading involves a continuous rotation of the a 1
anticipate the full-scale cyclic response.
direction in the vertical plane. However, setting these differences aside
Consider first a pile segment installed in low-plasticity clay, and make
triaxial data can be used to speculate on the ways in which pile
six main assumptions:
behaviour will be affected.
(1) The static and cyclic characteristics of the soil continuum match
the behaviour seen in triaxial tests run on the Lower Cromer till 0.6.----.--,--~---.----,------,--~
30
(LCT) and Magnus till. õº
(2) A threshold cyclic octahedral shear strain EcriticaI exists (0.02% in --- ---
--- --
Projected curve
this case) below which cycling has no effect; above this levei the 25
effects of cycling can be described by the simple model given in ,,,,,,.,,,...,,,,..
Appendix 5.1. 0.4 ,,,,,,,"'
Ôpeak 20
(3) A preformed residual surface exists at the pile-soil interface. _.L.--------___i_-
Frictional cut-ofts
( 4) As a result of this surface, the ratios of rr,/a; acting on the pile _y__Õr<Sidual
shaft are limited according to a curve similar to the Magnus 15
ring-shear data shown in Figure 5.18. ~Ymax:0.2%
1
0.2
(5) The soil continuum is non-linear elastic until sliding occurs. The 10
assumption of elasticity is justified by the soil's moderate OCR 1
and the fact that ô is considerably below </J. As a result a~ and a 0 1
5
play no role in the analysis and need not be specified.
1
(6) The soil dose to the pile has a moderate OCR after full pare O~-~--~-~---'----'-----'--__..
O 0.2 0.4 0.6
pressure equalisation with p' = O.Sa;c. Yrz ¼
(7) Prior to loading rr, = O.
Figure 5.29 Predicted shear stress-shear strain relationship for static pile loading; low-plas-
The static shear stress-shear strain relationship predicted for the ticity interface model.
 CYCLIC BEHA VIOUR OF LARGE PILES 213
212 CYCLIC LOADING OF SOILS

Compression
lo-a-crrl 12 0 _4 trz/CT;c Static loading curve
Peak 6
kPa
20 _ _ _ _ ÔULT

50 1 cycle N!!
100 10
vCA ,,,•.,:
/T 1!''x,,1-' •
1 . . . at·
"{V'----Direction oi cychc stra,n m,gr ,on
jl }!/ ,/
o li /1/ f 1

j/ ////! First unloading cycle

1

j/ ! 11(.!.
Yrz, % 1
0.5
!f I i!l ! / - 0.5 -0.4 -0.2 0.2
Yrz,%
0.4

11ií////
-20
-~~·
ii ~ ~ii i /

Exemple ot cycle -0.2

with Ycyclic<E criticai

-0.3
-40~-~--~--~-~--~--~-~~-~--~-~
o 50 100 "trzlC1)c
1t2lcrJ+cr}l lkPal Peak 6 -0.4 Tension

Figure 5.30 Undrained triaxial effective stress paths from cyclic test on Ko consolidated (a)
Lower Cromer til!. Test C-136, OCR = 7. (After Takahashi, 1981.)
Compression
'trz I a-;c
The first aspect to consider is the way that shaft capacity can be lost 0.4
Peak6
through the reductions in p' ( and hence a;) that are caused by cycling,
Stotic loading curve
in this case well within the outer state boundary surface. To do this, a -----ôuLT

simple model is set out in Appendix 5.I that relates changes in p' to the
shear strain developed during the first cycle (Ecyciic) and the number of
cycles experienced, N. Soil parameters are derived for this illustration
using the LCT cyclic triaxial tests described by Takahashi (1981).
The expected reductions in p' lead to proportionate changes in the
soil stiffness characteristics, which are simulated by an extended version
of the non-linear model described in section 5.3.15. Cycling therefore 0.2 0.4 0.5
Cycle with
leads to a gradual softening of the pile's load-displacement curve as well Ycyclic = E criticai
Yrz•¾

as reductions in capacity. -0.1 1

1

1
-02
5.4.4 lnteraction diagram r--Ycyclic=0.3%

Linking the simple cyclic soil model to the interface failure criterion
allows prediction of the effects of cycling on shaft capacity.
The calculation routine is set out in Appendix 5.I, where the full
~ Peak 6 ,/
-0.3

'trz la~c
-0.4 Tension
(bl
range of combinations is considered, including the one-way (i.e. entirely
compressive or entirely tensile) cycling and two-way (mixed) cycling Figure 5.31 Examples of cyclic load prediction for low-plasticity clay interface model,
illustrated in Figure 5.31. ln this context symmetrical cycling refers to N = 1: (a) One-way cycling. (b) Two-way cyclmg.
 214 CYCLIC LOADING OF SOILS
two-way cycling with the average shear stress ( Tav) equal to zero.
The results are illustrated in Figure 5.32 in an interaction diagram.
Curves are shown defining the limiting combinations of r cyc11c. and r av
that would cause cyclic failure within N cycles. Such diagrams are often
used in cyclic studies and points to note include:
(1) I~ the system (a soil sample, a pile element or even a complete
pile) behaves similarly in tension and compression (as with our
simple model) then the diagram is symmetrical.
(2) The two diagonal lines radiating from the origin represent the
boundaries between one-way and two-way cycling.
(3) The other, orthogonal, pair of diagonal lines represent the limit-
ing condition that cyclic capacity = static capacity.
(4) Contours for N show the combinations of r cyc11c- and r av at which
failure is predicted for the indicated number of cycles.
(5) The axes are normalised by dividing Tcyclic and rav by the max-
imum Static Capacity, Tpeakstatic·
For the particular example described, one-way loading does not lead to
failure provided the maximum load is kept below = 90% of the static
capacity and no sliding occurs. The 1000-cycle contour is assumed to
bou?d th~ 'failure' region of this diagram. Reductions in a; caused by
cychng wdl tend to recover with pore pressure dissipation. But this
process will be relatively slow in the field and it is assumed here that
pore pressure generation is more rapid than drainage until N = 1000.
Other results for this particular pile-soil element are:
(1) Two-way cycling degrades capacity more substantially than one-
way loading, but it is predicted that cycling to within 70% of the
Tension
0.5 0.8
'av /1: p•ak 'tav./'t peak static
Figure 5.32 Cyclic interaction diagram predicted by low-plasticity clay interface model.
CYCLIC BEHA VIOUR OF LARGE PILES 215
static capacity will not induce failure within 1000 cycles, provided
that displacements remain small.
(2) A further loss of capacity can take place if slip occurs at the
interface because of the overall pile movements becoming large;
the maximum additional reduction in this case (tan Dresictuai/
tan Dpeak) would amount to 0.83 after 50 mm of relative displace-
ment.
(3) The shaded area at the base of the diagram indicates the static
region, when cyclic loading leads to Ecyclic < EcriticaI and therefore
has no effect.
(4) Grading from the static to the failure region, the combinations of
Tcyclic and Tav lead to progressively larger permanent strains and
reductions in shaft capacity-but not failure. Paulos (1988) has
called this the 'metastable' region.
5.4.5 Permanent strains
Cyclic triaxial tests also indicate how permanent strains may develop
under repeated loading. The sign and rate of change of the permanent
strains depends on the relative magnitude of the average and cyclic
shear stresses. It is important to be able to model straining because the
losses in overall stiffness may allow ôpeak to fall towards ()residual as a
result of slippage. As will be shown later, local stiffness reductions and
the accumulation of permanent strains can also lead to more severe
cyclic stress conditions over the top parts of the pile and so encourage
any tendency for the pile to fail progressively.
Appendix 5.I also gives expressions linking N, Tcyciic and Tav to the
generation of permanent strains. The model is based on the scheme
shown in Figure 5.33, which differentiates between (1) strains induced
by loading and unloading and (2) strains developed when Tr, is positive
and negative. Quantitive use will not be made of the model's equations
here, but note that:
(1) Permanent strain development is linked to the difference between
the two strain components y 1 , y 2 (or E 1 , E 2 ) shown on the figure.
Compression (2) One-way loading gives y 2 = O, and the maximum value for
y 1 = 0.2% (from Figure 5.30). Permanent strains should therefore
be expected to develop in the one-way metastable region (see
Figure AS), but at a relatively slow rate.
(3) Provided that cyclic failure is not approached, the permanent
strains after 1000 cycles are projected to be less than four times
1.0
Ycyclic ·
(4) Only small ( < 10%) changes in cyclic stiffness are expected in the
one-way metastable region.
 216 CYCLIC LOADING OF SOILS CYCLIC BEHA VIOUR OF LARGE PILES 217

Low plasticity clay

Compression j
"Crzla;c ,,,,~- ------ -

1, 5-' g
0.3 /

,,T
/ London Clay
/
/ Ôpeak
/
/
0.2 /
/
I ÔULT
Lcyclic / CT~c I
I

L-f
Exemple ot a static cycle
Yrz,%
Ycyclic=Ycritical
- 0.4 -0.2 0.2 0.4
/ 1 Yrz %
/ LavlCTrc Ycritical = 0.08 %
6 6 ULT -0.1
Yrz

P•ak 6 -0.2
Tension
STAGES OF CYCLE 2 'trz I crie
-0.3
5- 6 Unloading (stitter by X)
7-8
________ ....,, //
/

6- 7 Loading ( stittness unmoditied)

8-9 Figure 5.34 Predicted shear stress-shear strain relationships for static pile loading; inter-
face model- London clay and low plasticity clay.
1
l'lYperm= (1-X Hy,-y:t

Figure 5.33 Accumulation of permanent strains; interface model, N = 2.

(5) Symmetrical two-way loading gives y 1 = y 2 . For this case the
model predicts no change in permanent strains after the first
cycle. However, considerable reductions in p' are predicted for
the larger strain cycles and these will give a gradual softening of
the cyclic stiffnesses.
(6) The most rapid rates of permanent strain development will be
expected from non-symmetric, large-strain, two-way cycling.
5.4.6 Effects of varying soil properties
Different results may be obtained with the sarne model for other soil
types. Figure 5.34 shows the static Trz - Yrz relationship calculated for
high-OCR London clay; notice that the peak capacity is lower than for
t~e low-PI clay ~nd also (from Figure 5.18) that ô falls far more rapidly
w1th post-peak d1splacement. A large pile installed in London clay (with
identical post-installation stresses) could carry less load. It would also
undergo brittle progessive failure if the overall pile movements became
large.
On the other hand, laboratory tests show that the London clay is
more resistant to cycling than the Lower Cromer till. The value of
E criticai is much larger (0.08%) and the material develops excess pore
water pressures and permanent strains at a slower rate in comparable
undrained tests (Takahashi, 1981). A pile element's susceptibility to
cyclic degradation (as a proportion of the static capacity) would there-
fore be smaller than that indicated in Figure 5 .17.
5.4. 7 Effects of cyclic pile loading on non-sliding contractive soils
Driven piles may not always fail by interface sliding. Section 5.3.11
discussed continuum analyses of shaft failure, and section 5.3.14 showed
that some weak evidence existed to suggest that undrained 'simple
shear' collapse mechanisms might apply to piles installed in contractant
low-PI clays.
Figure 5 .26 showed how the different failure mechanisms might affect
the stress paths followed during undrained static pile loading. The
stress-strain curve predicted by the MIT E3 continuum analysis (for
low-OCR Boston blue clay) is compared in Figure 5.35 with that
predicted earlier for the low-PI clay. Although the normalised small-
strain stiffnesses of the two soils are similar, the continuum analysis
predicts a far softer response; plastic straining starts from comparatively
low stress ratios.
Whittle (1988) has extended the MIT E3 approach to include predic-
tions for the undrained cyclic loading of a soil element located far above
 218 CYCLIC LOADING OF SOILS CYCLIC BEHA VIOUR OF LARGE PILES 219

0.3 , - - - - - - , , - - - - , - - - - , - - - - - , - - - - ,

0.6 0.2
{a)
--- -----
'rz ler/e _,,/
0.1 /' -------
Stress ;:,aths ter static
O.O 1-------',---"io,,,a""d"'-in=---t---t--t-++tt+H-Hlttttttttt+t--t---t---t----t
0.4
Low plasticity clay { Interface sliding model)
Cyclic stress _/·
path
Ôresidual - 0.1
--------::: /
-0. 2 'cyclic =D. 5 . ------- . ------._ . ____,- /
Boston Blue Clay
1MIT- E3 Mede\ ) 7:max slatic ---.._ · - ---- ·
alter Whittle {1987)
0.2 0.4 0.6 0.8 1.0
a/ I cr~c

O.ô Yrz, %
o.a 1.0 1.2 O. 3 .--r---.----,,------,-----,--,--,--,---,-7
{b)

Figure 5.35 Predicted shear stress-shear strain relationships for static pile loading; low-
plasticity clays-interface sliding and continuum shear (MIT E3) models.
0.2
7:rz/fJ"r'c .
/-·-·r-- Curve for
static loading
0.1
the pile tip. The soil model is complex and will not be reviewed here,
but it should be noted that it incorporates 'realistic' features such as
stress induced anisotropy, undrained brittleness and small-strain non-
linearity into a critical-state type framework. As a result, the model is -0.1

able to reproduce, with reasonable accuracy, the results of (slow) cyclic / ,: cyclic
DSS tests.
Whittle's predictions for the cyclic stress paths and stress-strain curves
-0.2

- O. 3L..___J_
·------------
__j__ __J__
'max sta1ic
= 0.6

_ l _ _ - 1 - _ . . L _ _ , _ _ _ 1 - _ _ . __ _ _

experienced by a pile-soil element (of low-OCR Boston blue clay) are -5 -4 -3 -2 -1 O 2 3 4 ~

illustrated in Figure 5.36. Symmetrical two-way pile loading (to ±60%
of Tmaxstatic) gives a relatively large cyclic shear strain (1.5% ), and the
system migrates towards failure in 14 cycles. Cyclic failure is initiated
when the stress path approaches the local bounding surface provided by
the static loading case.
The analysis predicts more severe degradation than the interface
sliding model. Figure 5.37 shows one half of the (symmetrical) interac-
tion diagram found from the MIT E3 studies. ln comparison with Figure
5.33, the failure region is far larger; one-way loading leads to a
maximum degradation of about 25%, but symmetrical two-way loading
can reduce the element's shaft capacity by more than 60%. lt also
appears that the cyclic characteristics should be similar to those of
low-OCR intact clay subjected to slow DSS cyclic loading.
5.4.8 Permanent effects of slow cycling
The varying cyclic responses expected for the continuum and interface
Yrz • %
FigureS.36 MIT E3 predictions for pile cyclic loading. (a) Effective stress path. (b)
Stress-strain behaviour. (After Whittle, 1987.)
sliding models point to associated differences in the permanent effects of
cycling. The assumption of elastic behaviour prior to failure in the
sliding model suggests that post-cycling excess pore pressure dissipation
will lead to no improvement in soil properties. Consolidation analyses
also indicate that a; may not recover its precycling value. ln the sarne
way, any reductions in ô due to (slow) sliding will be irreversible. Pile
capacity will therefore be permanently degraded by high-level cycling,
particularly if slippage has reduced the ô values over the upper sections
of the shaft length.
For a contractant clay which has developed large pore pressures
(without sliding), post-cycling dissipation will give marked changes in
local water content and an outward growth of the material's local state
boundary surface. This is shown in Figure 5.38, and it may be seen that,
220 CYCLIC LOADING OF SOILS CYCLIC BEHA VIOUR OF LARGE PILES 221

1. 2 r - - - - - , - - - - r - - - - r - - - - . - - - . - - - . . 5.4.9 Effects of loading rate

1:cyclic
Up to this point only slow loading has been considered, but there is
1:max.static 1. O 1: max cyclic = 1: max static
evidence to suggest how piles might behave when loaded more rapidly.
As before, care is needed to distinguish between piles that fail by
different mechanisms and to take account of the rate characteristics
shown by different soils.
Two-way
loading Note first that soils show rate-dependent pre-yield stress-strain
"it, characteristics; stiffness can increase by more than 10% per decade
,, :'one·way change in strain rate. This tendency will reduce the displacements
loading experienced by pile elements during fast cycling and probably retard the
trend for a; to reduce and permanent strains to develop.
0.2 Dealing next with the capacity of non-sliding piles, constant rate of
strain DSS tests on Haga clay indicate a positive gain of approximately
10% per decade change in rate, which is typical of many low-OCR clays
0.2 0.4 0.6 0.8 1.0 1.2 (Lacasse, 1979). The effects of loading rate on capacity (and stiffness)
1:av'1:max static for piles installed in the sarne soil are indicated in Figure 5.39; although
Figure 5.37 Interaction diagram predicted for Boston blue clay by MIT E3 analysis of pile
'time to failure' is an ambiguous measure for most pile testing pro-
segment. (After Whittle, 1987.) cedures, the field values assessed by the Norwegian Geotechnical (NGI)
indicate a similar trend to the DSS tests. Note, however, that the DSS
apparatus is poorly suited to studies of constant volume rate effects
(Hight, 1989).
0.5 ()>' The effect of rate on interface residual friction is more complicated.

80
Rapid Static
lf =10s
º· Q
70
(kN)
60
- --
50

40
a-; I a-/c
Figure 5.38 Permanent effects of undrained cycling for a (non-sliding) contractant soil. 30
Key: A, initial condition; B, end of cycling; C, after dissipation; D, peak capacity after
dissipation.

even if a; does not fully recover its original value, the peak static
capacity will increase and the element's susceptibility to further cycles
will be reduced. The figure shows that a local hardening of this kind will
increase the criticai value of r:r,/a;c for continuum failure. As o o. 5 1.0 1.5 2.0 2.5 3.0
(mm}
tan ô ( r:rz/a;) remains constant, the pile element could switch, when
reloaded, from the contractant continuum failure mode to a mechanism Figure 5.39 Effects of rate on static pile behaviour-Haga tests. (After Karlsrud and
that involved interface sliding. Haugen, 1983.)
222 CYCLIC LOADING OF SOILS CYCLIC BEHAVIOUR OF LARGE PILES 223

Comprehensive studies, using the ring-shear apparatus, have been (a)

described by Lemos (1986) and Tika (1989). These show that most soils ,: / CT~
exhibit a positive rate effect, but that some material types (notably silty 0.6

l
clays of low clay content) can show the opposite trend. This is illustrated
by the test data shown in Figure 5.40(a), on fast loading the Kalabagh
soil showed an initial peak that increased with velocity, but this fast
peak degraded rapidly with continuing displacement to reach a surpris- lnitial peak for
tast loading _.,,. _.,,.
.,,. .,,. _.,,.
0.4
ingly low residual value. This implies a particularly low resistance to pile
1--------------------
driving.
Figure 5.41(b) shows the more typical behaviour of London clay; the ---- Displacement sottening
rate effect is minimal at low speeds, but becomes very strong when the a t fast rates
slow residual
velocity exceeds about 50 mm/min. lt is possible to divide the phenome- 0.2 tast residual
non into two components:
(1) A viscous component that disappears when the sample is retested
-1-
drained undrained

slowly.
(2) A fabric component related to the shearing mode changing from
(slow) sliding to (fast) transitional shear as defined by Lupini et 10 10 2 10 3 10 4
ai. (1981). This gives a rougher textured shear surface and a Displacement rate mm/ minute
higher peak ô on slow retesting.
Field evidence of the sarne positive rate effects was found in the
Canons Park London clay pile tests. Friction was measured during the
installation of a number of piles jacked a range of rates. The data are
shown in Figure 5.41 as plots of mean a and /3 against absolute velocity. (b)
The characteristics mirrored the ring-shear tests; driven piles behaved
like fast-jacked ones.
ln arder for any kind of pile to experience a strong rate effect it must 0.4 Fast peak
be moving quickly. That is, the loads must have exceeded the slow resistance

capacity and the pile must have already undergone a considerable

displacement. A strong positive rate effect would slow this down; a
negative rate effect would allow an acceleration. Although increases in
peak capacity due to displacement rate could help the foundations to
resist a single extreme wave, an adequate safety margin would still be 0.2
required to prevent untoward displacements developing slowly during in subsequent slow
more uniform and extended storms. tests

5.4.10 Projecting full-scale behaviour

The full-scale static analysis of the Hutton TLP foundations provides a
basis from which the probable response of large offshore piles to cyclic
loading may be projected.
As already discussed, the TLP analysis was based on an effective
stress approach and incorporated similar assumptions to those made for
O '---'-----,-'-o------'-10~2-----'10~3~---1~04,.....
Displacement rate mm/ minute
Figure 5.40 Rate effects in fast ring-shear interface tests. (a) Negative effect for a very silty
clay; Kalabagh sample 2925. (After Lemos, 1986.) (b) Positive effect for London clay.
(After Bond and Jardine, 1989.)
224 CYCLIC LOADING OF SOILS CYCLIC BEHAVIOUR OF LARGE PILES 225

Cl = lrz iCuo 50

0.B

o.• --T--------+
5% increase in , 12 per log cycle

- - A P I design capac.ity
o.olL_ ___,_ ___,__ _L . __ __J__ _L __ _..L_ _ _.,___ __.__ ___,
30

3.0 ~ - - ~ - - - - - - - - - - - - - - - - - - - - - ~
~ ='t,z I êi.:O
20
2.0

""
:E
1.0 - 10 L; = sustainrzd tension load
---------+
o.o.LL_ ____,_ _...J,o',---2'=-o-------=so'=----:,~00:-------:2=00;:-----;:soto;:----;lCI00;:!;:;;;--~2000
Rate of lnstallation (mm/min) 12 16 20 24 28 32
6mm
Figure 5.41 Effect of displacement rate on shaft friction for Canons Park piles. (After
Bond and Jardine, 1989.) Figure 5.42 Predictions for load-unload curves of single Hutton TLP piles. (After Jardine,
1985.)
the interface sliding pile element model-more severe effects would be
head movements start to show significant irrecoverable components
predicted by the continuum model. . from L/ Lu1t = 0.3. This means that some tension loads remain locked
Figure 5.42 shows the static tension loading curve for a smgle Hutton
into the lower portions of the pile and that the sign of the shear stresses
pile; also shown are the sustained load Li, the API design capacity and
acting on the uppermost sections reverse during unloading, producing
a series of static unloading curves. The distributions of skin friction at the general scheme in Figure 5.46. The effect on the ground surface
three values of displacement (for first-time loading) are shown in Figure displacement profiles is indicated in Figure 5.47; there is an increasing
5.43. These show that the capacity of the uppermost layers is fully tendency for soil dose to the pile to be dragged down below its original
mobilised at a very early stage and that failure spreads down the pile level as the tension loads are released.
shaft progressively as the load factor increases. Extrapolating this trend to consider sustained one-way tension load-
Similar patterns may be seen in the contours of ground strains given ing, it can be seen that the pile can be divided into the four sections
in Figure 5.44. At both load levels, the strains in the soil mass remain
(1-IV) shown on Figure 5.46, the relative size of which depends on the
very low; at the sustained load level (LJ the strains ~nly exceed _Ec:i1ic~1 tension loads Qcyclic and Qav· The cyclic conditions in each zone can be
over the top few metres of the pile face, but when L 1s 0.5Lu1t th1s hm1t characterized as shown in Table 5 .1.
is exceeded along two-thirds of the pile shaft. The interaction diagram shown on Figure 5.32 can be used to gauge
Sliding between the pile and soil starts in the upper layers and is most the potential effects on the local capacities in each section. Other effects
clearly identified from the normalised ground surface displacement include:
profiles shown in Figure 5.45. The uppermost layer experiences 8 mm of
relative slip before the pile head has moved 10 mm-when the pile's (1) Increasing movements during individual cycles - due to changes in
load factor is only 0.5. This slip increases by another 30 mm before the p' over sections 1-111 and shifts in the rr2 -depth distribution.
pile reaches overall failure. (2) Further degradation of capacity through reductions in ô with slip
It is clear that one-way cycling to Li should have little effect, but displacement over the failed sections.
examination of the unloading stages from higher loads shows some (3) The steady growth of permanent shear strains over sections II - III
surprising results. The curves shown in Figure 5.42 indicate that the pile of the pile shaft.
226 CYCLIC LOADING OF SOILS CYCLIC BEHA VIOUR OF LARGE PILES 227

1:n (kPa)
É
s
Ê

40

50
e,
e,
e,

60

Figure 5.43 Predictions for shaft friction distributions at three pile head displacements ( ó)
for Hutton TLP piles. (After Jardine and Potts, 1988.)

(4) A gradual downward migration of the section boundaries.

E
e,

A full cyclic analysis would be required to produce an overall interaction "'

diagram of Qcyclic and Qav· However, limits to the maximum cyclic
capacities may be estimated as follows:

One-way loading of whole pile (worst case, with Qcyclic = Qav)

Upper limit = ( Ímaxcyclic/Tmaxstatic)e1ement,one-wayminimum
Lower limit = (tan <'>res/tan <'>peak)( Tmaxcyclic/Tmaxstatic)e1ement,two-wayminimum
For a composite low-PI clay this gives 0.9 > Qmaxcyclic/Qmaxstatic > 0.6.

Two-way loading of whole pile (worst case, with Qav = O)

Again Qmaxcyclic/Qmaxstatic = 0.6, but degradation would take place more
rapidly than calculated for the pile element.
Naturally, different results could be obtained with parameters derived
from other soil types.
228 CYCLIC LOADING OF SOILS CYCLIC BEHAVIOUR OF LARGE PILES 229

1.0 Radius from pile centre ( m)

4 6 10 20 40 60
7
0.9
E Lmax 1 L ULT
E 6
0.8 0.15 0
õlrl -e,
QJ 0.30 •
Õlr=0l .n 0.55 X
0.7 "
QJ
0.90 +
V,

~
0.6 e: 4
o
:;::

~
">
0.5 QJ 3
ãí
o:; 1
1
0.4 2

0.3
1

0.2
_+--
,, _x_

-- --
X....- -+-
0.1
-1 _- X +---
~ _-x __,,+---- ---
"-X_-
-+---- ---- ----
Radial distance fro m pile, metres -2 \.._
-- +-

Figure 5.47 Predictions for vertical ground surface movements caused by loading up to
Figure 5.45 Predictions for vertical ground surface movements at three pile head displace- four load factors before unloading to L;nitial· Single Hutton TLP piles. (After Jardine,
ments (b) for single Hutton TLP piles. (After Jardine and Potts, 1988.) 1985.)

TableS.1
1Upwards resistance positive)

I
-
---
--{
/
,
Stress distribution
Section

I
II
Cyclic stress conditions

Most severe two-way cycling (failure region)

Two-way cycling-grading from most severe at top,
through metastable two-way loading, to low-level
1 at L max metastable one-way cycling at the base
II Residual
stresses
J III Low-level one-way metastable cycling-grading to
static at base
1
when IV Static one-way cycling
_un l.o..od.e.d
1
III 1
1
5.4.11 Applying the results

IV The simple conclusions set out above suggest how cyclic loading effects
could be allowed for in design by specifying partial factors of safety.
These would be additional to those already estimated to allow for soil
variability, loading uncertainty and displacement limitation and should
Figure 5.46 Effect of load cycles on r,2 distributions for long piles. be applied to the static capacity deduced by a realistic effective stress
230 CYCLIC LOADING OF SOILS CYCLIC BEHAVIOUR OF LARGE PILES 231

method (which may differ from the 'API' capacity). For the two
example platforms a cyclic partial factor of about 1.33 might be
considered appropriate.
Such rules of thumb should, ideally, be substantiated by full-scale
cyclic pile analyses. 1t is possible that reasonable predictions could be
made for complete piles by using element studies of the type described
above to derive input parameters for the existing numerical methods
(cyclic T - Z or substructured boundary integral analysis).
An iterative procedure would be required. Preliminary estimates of
the local values of Tpeab TresictuaJ, the T-Z curves and degradation
parameters p or À (see sectons 5.2.6 and 5.2.7), could be made from the
element studies; these might be modified progressively to account for
the local variations in cycling conditions (i.e. one-way or two way,
Tav, Tcyciic) predicted by the analysis of the complete pile.
ln the longer term, however, most progress will be made by incorpor-
ating realistic cyclic soil models into non-linear effective stress finite
element analyses of full-scale piles.
efficiency of both displacement and grouted piles as tension anchors;
further details are given by Gallager and St John (1980), McAnoy et al.
(1983) and Ove Arup and Partners (1986). Attention here will be
concentrated on the results obtained in cyclic tests on steel piles
(approximately 10 m long and 305 mm diameter) driven in the firm to
stiff Cowden till. lt may be assumed that residual sliding was the
dominant failure mechanism, as polished shear surfaces were proven by
exploratory trenches dug dose to the piles.
Dealing first with the effect of cycling on the load-displacement
relationships, Figure 5.48 shows the closed loops observed for individual
cycles over a range of cyclic amplitudes (ali giving Qmaxcyc1;c/Qmaxs1a1ic of
about 0.9). The effects of stress-strain non-linearity are evident; the
shape of the loops is in good agreement with that assumed for the cyclic
pile element model.
Figure 5 .49 illustrates a typical testing sequence in which progressively
more severe cyclic loads were applied. One-way cycling caused perman-
ent displacements but gave little degradation of capacity. ln contrast,
symmetrical two-way loading could not be sustained with Qmaxcyclic/

5.5 Field studies of cyclic pile behaviour

500.--------------------,
_ Static reference capacity ____________ _
5.5.1 lntroduction

400
A brief summary of some results obtained in three field cyclic loading ! 75
test programmes is presented in the following paragraphs. The tests ali
involved piles approximately one-tenth the size of offshore prototypes,
300
but the programmes provide useful evidence that links the hypothetical z
behaviour of pile-soil elements to the probable behaviour of full-scale ºz
CI)

piles. LU
>--
200
The three programmes that will be considered are the Cowden tests
(on a low-plasticity till), the Canons Park tests on London clay and the
Haga clay test series. 1t is hoped that these provide a reasonable
z 100
cross-section of soil types and failure mechanisms. "'
o
The interpretation of the tests presents many difficulties. The ideal of «
g
testing a large number of fresh piles under many combinations of Qcyciic, o
Qav, N and frequency is not feasible economically, and most program-
z
mes include multiple load tests. ln the sarne way, drainage is much more
rapid at a reduced scale and fewer cycles can be applied undrained than º
CI)
CI)
1mm
~ -100
is the case offshore. Q_
:e
o(.)

5.5.2 Tests at Cowden -200

Figure 5.48 Effects of cycling on load-displacement characteristics; Cowden pile C. (After

The Cowden test series was intended to provide information about the Ove Arup and Partners, 1986.)
232 CYCLIC LOADING OF SOILS CYCLIC BEHA VIOUR OF LARGE PILES 233

600

C:Z:] Cychc load

400
z
o 0·8
iii
z 11
15 19 Qcyclic
....w
200 Qmox static

z 0·6
""
o<( o 6 22 8
o
...J

0·4
21
z
o 200
ir,
Cf)
w
a:
e.. 0-2
::;
o
u
400
9

600
60 40 20 o 20 40 60 80
Qav.,
Omax s1a1ic
DOWN DISPLACEMENT / mm UP

Figure 5.49 Typical cyclic loading sequence; Cowden pile D. (After Ove Arup and Figure 5.50 Cowden cyclic interaction diagram showing upper limit to failure region.
Partners, 1986.) (After Ove Arup and Partners, 1986.)

Qmaxstatic > 0.5 but gave only a slight tendency for upward permanent
movements.
The effects of cycling on overall capacity are summarised in Figure
5.50. The single line delineates failure after an (unspecified) moderate
number of cycles; points inside this envelope are 'safe'. Taking account
of changes in c5 due to the large slip displacements observed in the
two-way cycles, this diagram shows reasonable agreement with the
predictions of the low-plasticity sliding model.
Unfortunately, this behaviour cannot be quantified in terms of effect-
ive stresses as no reliable measurements were made of a; on the pile
shaft.
a;. The load-displacement patterns found when a pile was subjected to
more sustained one-way compression cycling are shown in Figure 5.51;
moderate numbers of cycles applied (over a range of Qav and Qcyclic)
caused no degradation of capacity or permanent straining. Extreme
two-way load reversals were found to give more marked reductions in
local radial effective stresses and shaft resistances. Reductions in capa-
city caused by testing to large displacements were not recoverable.
As mentioned in section 5.4.6, the London clay is more resistant to
cyclic loading than most low-plasticity soils. The most important source
of degradation with larger piles would be slip movements reducing the
interface c5 values.

5.5.3 Tests at Canons Park 5.5.4 The Haga programme

The Canons Park programme included very little cyclic testing, but
reliable measurements were made of the effective stresses at the pile
shaft.
The loading effective stress paths shown in Figure 5.25 were used
earlier to justify the principal assumptions of the interface sliding model.
They also show that one-way unload-reload cycles cause little change in
The NGI have carried out extensive field research into the cyclic
behaviour of offshore piles. The Haga tests are the first to be reported,
but other programmes have taken place at Onsoy and Lierstranda
(Norway) and at Pentre in the UK (Hansen et ai., 1989). The Haga
project involved 4 years' work with 5 m-long, 153 mm-diameter steel
piles and concentrated on the effects of cyclic tension loading. The piles
234 CYCLIC LOADING OF SOILS CYCLIC BEHAVIOUR OF LARGE PILES 235

98. 5 6 1 1 1 1
1 I
93 Q AV 1 QMOJ<. static = 0.47 I
I
I
BB (89%) s- 0cyclic 10Max.static = 0.42 I -
I
B3 (85%) (one - way tensian) I
81 I
I
E 4- I
E
E 1
::, I
70 E E
a, I
I

10 67 (68%) ~ E 3 I
a, I
E I
16 I
58 ã. ,I
e
o "'
i5 2 - ., /
a. //
L-
o o
----- ----
a. 1-
46 o
30
40 (41%)
L-
o..
o0
1 -
,/- --- ----- -

35 35 (36%) § oo
1 1
20 40 60 80 100 120
Number oi Cycles
23
z 19 (19%) < Figure 5.52 Typical Haga cyclic tension load test (B5/03). (After Karlsrud and Haugen,
=-
-o
1983.)
ro 12
2
ro
·;;
...:
o 2,98 5, 30 7,37 @- indicates number of
cycles
Displacement of pile head (mm)

Figure 5.51 Cyclic tests on a fast-installed pile in London clay. (After Bond, 1989.) ,:rz, kPo 1upworcls resistonce positive)
-20 20 40 60
were fully instrumented and the results have been presented in a series
of publications by Karlsrud and Haugen (1983, 1985; Karlsrud et al.,
1986).
The results will be illustrated with just one typical cyclic test-B5/03-
which was carried out on pile B5, 1 day after the static tension test
B5/02 described in section 5.3.14. This test involved one-way tension
loading with QmaxcycJic/Qmaxstatic = 0.89; Figure 5.52 shows how the pile
head displacement grew slowly with cycling until the pile started to pull
out after about 100 cycles. This result is not surprising, but the extensive
instrumentation mounted on the pile confirms many of the predictions
~ lnstrument levei
made earlier.
;...l'r> ot 3.45m
Figure 5.53 shows the distributions of Trz measured at two stages of
the cyclic test. The left-hand profiles are those for the troughs of the '
cycles; the right-hand ones were recorded at the peaks. Notice that -Cmax "
-Cmin
unloading induces two-way shear loading over the top two-thirds of the 5
pile-even with such a short stiff pile. Also notice that, as cycling "tm depth -o--N=23
continues, the top half of the pile degrades rapidly and causes the --ó--N =106
expected downward shift of the peak Trz profile. Figure 5.53 Distributions of maximum and minimum 'rz at two stages during Haga test
This process is examined further in the stress path diagram (for the B5/03. (After Karlsrud and Haugen, 1983.)
236 CYCLIC LOADING OF SOILS CYCLIC BEHAVIOUR OF LARGE PILES 237

3.45 m instrument level) given in Figure 5.54. Although the pile-head Onset ot tailure ),--
load cycles remained unchanged throughout the test, the local shear
stress cycles grew steadily because of downward load transfer-until
i /Tõ=38°
40
cyclic failure commenced. Up to that point the soil (at 3.45 m) showed
little a; migration and there were only small pile-head movements. 'trz,
These features are more akin to the predictions of the interface sliding kPa
model than the simple shear analogy/continuum failure models. lnitial
However, the Haga tests showed other failure characteristics that
match the continuum models more satisfactorily. The overall interaction 20
diagram (Figure 5.55) shows a similar susceptibility to symmetrical
two-way loading as the MIT E3 element model (with Qmaxcyc1ic/ lnitial
Lov
Qmaxstatic < 0.4). The piles also recovered their capacity quickly after
failure and showed gains in capacity after each test.
Both the static and the cyclic tests at Haga point towards a mixed 0 f----'----=2-'=-o----ltHilfU-"Lº-------'---__J50L___L.J.
response; it appears that the first-time failures involved a muted a-;, kPa
undrained continuum failure, but that the conditions in subsequent tests
tended towards an interface sliding mechanism. The observations that ô -10
is similar to <P at peak in the cyclic test and that the post-peak cycles Figure 5.54 Effective stress paths observed at 3.45 m depth during Haga test BS/03.
maintained the sarne value suggest that no reoriented residual zone (Interpreted from data of Karlsrud and Haugen, 1983.)
existed at the interface.

Q AV / Q Max static
5.6 Summary
0.4 0.6 0.8 1.0

The topic of pile cyclic behaviour is very broad and relatively poorly
understood. This chapter's emphasis on axial loading of driven piles in Conslanl maximum load

clay does not necessarily imply that other types of problems are less Tension & Compression '
important. A number of workers have noted that more severe degrada-
tion can be expected with piles in sand, that lateral loading can be just 0 cyclic '\,
Tension only
as important as vertical, and that cyclic effects can dominate the design
Q Max. static
of grouted piles in calcareous sands (St John et ai., 1983; Poulos, 1989). 0.6
Instead of trying to review the whole topic, this chapter has concen-
Nt = 10
trated on the area where most research has been carried out, and
attempted to develop a fundamental approach to design. Although many 0.4 t:---...:1!!!:00:..__ _
of the topics discussed remain controversial, research into offshore piling 1000
is very active, and it is probable that approaches of this type will be
soon incorporated into practical design procedures.
The most important points raised in the chapter can be summarised as 0.2
follows:
(1) Offshore piled foundations are often designed without consider-
ing the effects of cyclic loading, even though environmental
0.2 0.4 0.6 0.8
forces may contribute the major part of the extreme load set.
(2) The static design codes are based on empirical interpretations of Figure 5.55 Cyclic interaction diagram from Haga tension pile tests. (After Karlsrud and
a limited database of pile load tests. Haugen, 1983.)
238 CYCLIC LOADING OF SOILS
(3) Field experience suggests that the combination of the present
ways of estimating foundation loads and capacities is safe,
although the underlying reasons for this are uncertain.
(4) It is not clear, therefore, how design techniques may be optim-
ised.
(5) Methods for extending the present static methods to allow for
cyclic loading have been developed, but it is necessary to guess
many empirical parameters.
(6) Research into the fundamental behaviour of piles in clay is
identifying the effective stress processes that actually govern pile
behaviour. New approaches are being developed from this to
characterise:
(a) the effective stress conditions developed due to installation,
and
(b) the basic mechanics of shaft failure.
(7) This work shows that piles in different soils with the sarne Cu or
Cu/a~ values can give quite dissimilar behaviour.
(8) It is possible to anticipate how piles will behave from theory
combined with appropriate laboratory and field tests.
(9) Some of the most relevant tests (e.g. ring-shear interface experi-
ments and measurements of small-strain characteristics) are not
included in most offshore site investigation programmes.
(10) It is possible to carry out full-scale, effective stress, static
analyses of offshore piles that incorporate the results of the
recent research. Where this has been done, the predicted capaci-
ties and initial foundation stiffnesses tend to be greater than
those calculated by the standard methods.
(11) When comparisons are made with field measurements of initial
compliances, the new approach is found to be more realistic.
(12) Cyclic behaviour can be analysed within the sarne framework.
Models of soil behaviour under cycling can be combined with
either a continuous (simple shear) or interface sliding analysis of
shaft failure to make predictions for pile elements; finite element
analyses of full-scale behaviour are also feasible.
(13) Pile element studies indicate the interactions between sustained
and cyclic loads and the number of cycles at local points on the
shaft of piles.
(14) Two-way cycling gives the most severe effects; soils that fail at
the pile interface by residual sliding show less short-term degra-
dation than materials that fail by undrained (simple shear)
continuum collapse. Large-strain (asymmetric) two-way cycles
produce the most rapid changes in permanent shear strain.
(15) Projecting full-scale behaviour from the element models suggests
that complete piles will tend to show more pronounced cyclic
loading effects than the pile elements.
CYCLIC BEHA VIOUR OF LARGE PILES 239
(16) The compressibility of a long offshore pile can force the upper
part of the soil profile into two-way loading-even when the
pile-head loads are cycled in only one way. Progressive failure
through reductions in ô with pile-soil slip can also be important.
(17) The potential effects of cycling on capacity are seen to be
considerable, giving reductions in available shaft friction of up to
50% of the static maxima in extreme circumstances.
(18) Field research with displacement piles in clay demonstrates most
of the features expected from the analytical studies.
(19) The patterns of degradation are shown to depend on the type of
shaft failure mechanism, the pile compressibility, the cyclic
loading patterns and the basic stress-strain characteristics of the
foundation soils.
Appendix 5.1 Cyclic model for interface sliding study
5./.1 Static loading curve
During undrained loading a pile-soil interface element experiences
plane strains in the vertical direction and no volume change. The
relationship between shear stress and shear strain dose to the shaft is
given by:
Trz = GsecYrz
Assuming the Gsec!P' function described in section 5.3.15 gives:
Trz= (Gsec/p')p'yrz = f(E)p'Yrz = f(E)(p'/a;c)a;cYrz
The expression for E simplifies to E = Yrz for these conditions and,
substituting p~ = 0.8a;c, a relationship between shear strain and mobil-
ised stress ratio is obtained with:
(rrz/a;c)mob = 0.8f(Yrz)Yrz
This expression is evaluated for low-plasticity till in Figure 5.30.
5./.2 Cyclic test data-changes in mean effective stress
The changes in mean effective stress observed in a suite of tests on
overconsolidated LCT have been reinterpreted to produce the curves
given in Figures 5.A.1 and 5.A.2. The first plot shows the relationship
between the cumula tive change in p', the number of cycles and the
magnitude of the applied strain cycle E cyclic ( trough to peak invariant
shear strain developed during the first cycle). Note that E is related to
axial strain Ea by E = v'3t: 8 for undrained triaxial tests.
240 CYCLIC LOADING OF SOILS CYCLIC BEHA VIOUR OF LARGE PILES 241

Ecyclic
1.6

1.4
Failure _,,,,,- ---
1.2 ! -- -- --
1.0
---
0.8

0.6

0.4

/ 0.2

t
-;~
- - .-- Static cycle
1ôp / p') per cycle

Figure 5.A.2 Curves relating incremental changes in p' to N and Ecyclic· From cyclic
triaxial tests on LCT at OCR = 7. (Interpreted from data of Takahashi, 1981.)

0.1 0.4 1.0 2.0

Bc

160
N

140

Figure 5.A.1 Curves relating cumulative changes in p' to N and Ecyclic· From cyclic ,Bc=IINI
triaxial tests on LCT at OCR = 7. (Interpreted from data of Takahashi, 1981.) 120

100
The second plot shows the sarne data expressed in incremental form;
there appears to be a semilogarithmic relationship between ôp'/p' and
80
E cyciic for constant values of N, which is truncated at an upper levei by
cyclic failure and at a lower levei by E criticai. Between these limits the
60
incremental effect of each cycle on the current p' can be estimated
from: 40
ôp'/p' = Ace(2.303Ecyd;c/B,)
20
The terms Ac and Bc are functions of N, as shown in Figures 5.A.2 and
5.A.3, although B is approximately constant at 0.8.
?10-s Ac
The changes in mean effective stress were linked in these tests to the
steady development of permanent strains (Ep)- The relationships be- Figure 5.A.3 Coefficients for empirical equations relating incremental changes in p' to N
tween Ep, Ecyciic and N for a test series involving constant tav (but three and Ecyclic· From cyclic triaxial tests on LCT at OCR = 7. (Interpreted from data of
Takahashi, 1981.)
different leveis of tcyciic) are shown in Figure 5.A.4. Further assumptions
242 CYCLIC LOADING OF SOILS
CYCLIC BERAVIOUR OF LARGE PILES 243

(5) Considering the second cycle, the unmodified static r-y express-
fEpcrm
ion applies to the two loading sections (6-7 and 8-9 in Figure
% 5.45) but the stiffnesses on the unloading sections (5-6 and 7-8)
are larger by a factor X. Denoting the incremental strain for
section 5-6 as y 1 and that for 7-8 as y 2 , the permanent strain Yp
accumulated during the cycle is given by:
3 Yp = (Y1 - Y2)(l - 1/X)
(6) The triaxial data interpreted within this framework are applicable
generally. The relationships between X (or Ep), E 1 , E 2 and N
are shown in Figure 5.A.5; the amount of permanent strain
developed per cycle can be predicted (between similar limits to

- -- -
Ec= 0.5%
IE1-E2l =0.44 % the above equation for p') by substituting for X in the equation
given above.
(7) Between EeritieaI and failure, X can be written as:
X = 1 + Cce[(E,-E,)2.303/Dc]

ln this context Ce and De are cyclic loading material constants

(note Ce -=I= ~e/~ log 10 a~).
10 N 40 100 400 1,000
Note that E 1 and E 2 depend on the relative size of the average and
Figure 5.A.4 Curves relating cumulative changes in shear strain E to N and Ecyclic· From cyclic shear stresses, the G(E)/p' function and the current value of p'.
cyclic triaxial tests on LCT at OCR = 7. (Interpreted from data of Takahashi, 1981.) The variation of Cc with N deduced from the LCT tests is shown in
Figure 5.A.6. De is assumed to be constant at 2.2.
are required to find general expressions from these data that cover other
combinations of teyclie and tav, where t = q/2 = (a~ - a;)/2.
%
5./.3 Additional assumptions for model 0.7
Failure _..,...- /

ln order to apply the LCT cyclic data to the hypothetical pile segment
the following additional assumptions are necessary:
0.6

-- - L- ---

(1) Changes in p' dueto cyclic loading give equal changes in a;.
(2) The positive changes in p' noted in the first cycle of the triaxial
tests may be neglected.
(3) The stress-strain behaviour follows the scheme illustrated in
Figure 5.32 (a and b) (for one- and two-way stress-controlled
cycling respectively). The first cycle follows the static r-y express-
ion up to the maximum value of -c. The unloading curve follows
an identical incremental relationship projected downwards from
the top of the first cycle. If the cycling is two-way, the extension
loading curve follows a further projection of the unloading curve.
1 X -1 I
(4) Permanent strains are developed (in both triaxial and pile loading
cases) by a stiffening of the unloading stages of all cycles after the Figure 5.A.5 Curves relating unloading stiffness factor X, N and E 1 - E 2 . From cyclic
triaxial tests on LCT at OCR = 7. (Interpreted from data of Takahashi, 1981.)
first, as illustrated (for the pile element) in Figure 5.44.
244 CYCLIC LOADING OF SOILS CYCLIC BEHA VIOUR OF LARGE PILES 245

N 160 easily to give a cycle-by-cycle numerical solution for the permanent

strains developed by the pile-soil element through any combination of
140 non-failure loads ( T 3 v, Tcyciic) and number of cycles, N.

120
5.1.6 Non-uniform cycles
100
The model describes the response of soil subjected to uniform stress-
80
controlled cycles. More complex patterns of cyclic loading could be
examined with the sarne model if a curve-hopping technique was used
60 similar to that described by Andersen and Lauritzsen (1988) for the
cyclic analysis of gravity structures.
40

20
References

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Bea, R. G. and Audibert, J. M. F. (1979) Performance of dynamically loaded pile
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Tmaxdegradect/Tmaxstatic = [1 + (p~/a;cJ ôp/p')] Buriand, J. B. (1973) Shaft friction of piles in clay - a simple fundamental approach
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(4) Then calculate for each N the maximum possible value of Tav
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The results of these calculations are shown in Figure 5.3.3. stress Civ. Eng. Pub. Wks. Rev., 48-51.
Chandler, R. J. and Martins, J. P. (1982) An experimental study of skin friction around
piles clay. Géotechnique 32: 119-132.
Coop, M. R. (1987) The axial capacity of driven piles in clay. D. Phil Thesis, Univ. of
5.1.5 The development of permanent strains Oxford.
Coyle, H. M. and Reese, L. C. (1966) Load transfer for axially loaded piles in clay J. Soil
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246 CYCLIC LOADING OF SOILS
De Josselin de Jong, G. (1971) Discussion in Session II of Roscoe Memorial Symposium,
Stress strain behaviour in soils ed. Parry, R. H. Foulis, Cambridge, 258-261.
Dennis, N. D. (1982) Development of correlations to improve the prediction of axial pile
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Gallager, K. A. and St John, H. D. (1980) Field scale studies of piles as anchorages for
buoyant platforms. European Offshore Petroleum Conference, London, Paper EUR 135.
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Thesis, Imperial College, University of London.
Grosch, J. J. and Reese, L. C. (1980) Field tests of small-scale pile segments in a soft clay
deposit under repeated axial loading. Proc. 12th Offshore Technology Conf., Houston,
Texas, 4: Paper OTC 3869 143-151.
Hamilton, J. M. and Murff, J. D. (1988) Probabilistic assessment of the collapse strengths
of piled offshore structures. Proc. 5th Int Conf. on Behaviour of Offshore Structures,
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Hight, D. W. (1983a) Laboratory investigations of sea bed clays. PhD Thesis, Imperial
College, University of London.
Hight, D. W. (1983b) Personal communication.
Hight, D. W. (1989) Personal communication.
Holmquist, R. W. and Matlock, H. (1976) Resistance-displacement relationships for
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Idriss, I. M., Dobry, R. and Singh, R. D. (1978) Non-linear behaviour of soft clays during
cyclic loading ASCE J. Geot. Engng., 104: 1-19.
Jamiolkowski, M., Ladd, C. C., Germaine, J. T. and Lancellotta, R. (1985) New
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foundations of offshore structures. PhD Thesis, University of London.
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approach to the prediction of pile behaviour. Géotechnique 38: 231-252.
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in the triaxial apparatus. Géotechnique 34(3): 323-340.
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CYCLIC BEHA VIOUR OF LARGE PILES 247
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248 CYCLIC LOADING OF SOILS

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predicting the performance of TLP piles in clay, BOSS '88 - Proc. Int. Conf. on foundations
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6.1 Introduction

Pavements and rail track are civil engineering structures built for the
purpose of allowing wheeled vehicles to operate safely and economic-
ally. The vehicles include cars and trucks on highway pavements,
aircraft on airport runways and taxiways, mobile cranes on port and
container terminal pavements together with locomotives and rolling
stock on railways. ln ali cases, the system consists of one or more layers
of material placed over the soil with a surfacing added that is appropri-
ate to its function, as illustrated in Figure 6.1. The roles of the various
layers are as follows:
For a pavement:
Surfacing. To provide a smooth, waterproof running surface which
offers adequate resistance to skidding in wet weather.
Base. The main structural layer to distribute wheel loads.
Sub-base. The top of the foundation to provi de a platform for
construction operations above and long-term support to the base.
Subgrade. Natural soil, either cut or fill, which supports the pavement
system.

Moving Wheel
Load Load

UU
Surfacing
UU
Rails on sleepers ( ties)

Base Ballast

Sub-base
T
Foundation
Subballost

•
Subgrade Subgrade

(a) Povement (b) Rail track

Figure 6.1 Definitions of system layers.

250 CYCLIC LOADING OF SOILS PAVEMENT AND RAILTRACK FOUNDATIONS 251

For a rail track:

Bitumen seal
Rails on sleepers (ties). To guide the wheels in the vertical and
Granular Granular
transverse directions along a prescribed surface, and to distribute the
wheel loads. Sail Sail
Ballast. To restrain the track, provi de some resiliency to the system,
facilitate geometry maintenance and reduce stresses on the underlying (a) Gravei road (b) Sealed granular road
layers.
Sub-ballast. To provide a separation layer between the ballast and the
subgrade, to help protect the subgrade from the adverse effects of
water, to reduce stresses on the subgrade and to provide some resiliency As,haltic Concrete
to the system.
Granular Grooolar
Sub grade. Natural soil which is the main source of resiliency and
supports the rail track system. Sail Soil

Figure 6.2 illustrates the range of possibilities for the various generic (e) Asphalt pavement (d) Concrete pavement
types of pavements. These range from low-volume unsurfaced roads of
the type used in developing countries, through to heavy-duty asphalt or
concrete pavements for highways and airports, to railways. Asphaltic
Concrete
This chapter is concerned with the foundations of pavements as Cement treated or concrete
defined in Figure 6.1. This generally embraces that part of the construc- Cement treated
Granular
tion below the asphalt or cement-bound base and surfacing. For Grooolar
Soil
thin-surfaced and unsurfaced roads, it will effectively embrace the whole Sail
construction. There are some separate considerations peculiar to rail
track, and these are discussed at appropriate points in the chapter. (e) Composite pavement (f) Heavy duty concrete
All pavements are relatively thin constructions, in civil engineering
terms, in intimate contact with the ground. Their design, therefore,
requires proper application of soil mechanics principles. The importance Concrete or brick biodes on sand Rail on sleepers (ties)
of the soil characteristics depends on the pavement type. For a lightly ~
trafficked road involving a thin granular construction and a bituminous Asphaltic or cement treated
Balias! (graoolar J
surface seal (Figure 6.2b ), the influence will be very large, whereas for a Sub-Bailas! (gronular)
Granular
substantial reinforced concrete pavement with a thick sub-base (Figure Sail
Sail
6.2f) it will be much less so. Heavy-duty pavements, however, are
constructed in various stages and, while the above statement is true for (g) Block pavement (h) Railway
the completed job, operation of construction traffic on the partially
completed pavement produces a more severe loading condition on the Figure 6.2 Principal types of pavement.
soil and lower layers for which the soil characteristics are very impor-
tant. mechanics and concrete technology for bound layers when these are
Pavement design used to be considered as a minor and rather used. It also requires an understanding of the response to wheel loading
empirical aspect of soil mechanics. However, as the loading and and the influences of the environment, notably the effects of water and
performance requirements of pavements have increased and an under- temperature. Theoretical analysis should be combined with a knowledge
standing of the response of soils and pavement materials to repeated of relevant material properties within a proper design framework. This
loading has developed, the discipline of pavement engineering has should include an understanding of potential failure mechanisms and
emerged. This embraces a knowledge of soil mechanics for application how these develop with numbers of load applications. Although many of
to the soil subgrade and the granular layers together with asphalt the geotechnical aspects are the sarne for rail track as for pavements,
252 CYCLIC LOADING OF SOILS
design of rail track involving these aspects has not advanced nearly as
far for railway engineering.
ln current practice, most pavement design remains dominated by
empirical rules based on the results of full-scale triais and on equally
empirical tests. This situation has survived largely because of the
relatively complex engineering properties exhibited by soils and most
pavement materiais together with the dominance of national specifica-
tions for major networks allowing engineers little scope for introducing
new approaches. Rail track design is even more empirical, having
evolved largely through triai and error with gradual improvement in
the system parameters over the years. However, a wide variation in the
quality of design and construction can be accommodated by varying
the frequency of correcting geometry errors through adjustments in the
ballast layer. Thus the adequacy of rail track design is likely to be
reflected more in maintenance cost than in ride quality deterioration.
This chapter sets out to explain the current state of the art for
pavement design, drawing on the considerable research and develop-
ment work carried out worldwide in the last 20 years. The approach is
that of the pavement engineer as outlined above, while relevance to rail
track design is also accommodated.
Most books, papers and design guides for pavements based on this
approach deal quite well with the overall problem for relatively heavy-
duty pavements incorporating thick layers of high-quality asphaltic or
Portland cement concrete. However, the soil mechanics aspects are less
well documented, so this chapter concentrates on what has become
known as the pavement foundation.
Figure 6.2 illustrates the various layers in different classes of pave-
ments. The feature common to them all is one or more granular layers
placed on the soil. This combination forms the pavement foundation and
it embraces those materiais whose engineering properties are the most
complex and variable in the structure.
The pavement foundation has two roles. lt must, firstly, provide a
short-term pavement to carry construction traffic and provide an adequ-
ate platform for the placement and compaction of the expensive
high-quality manufactured asphalt or concrete placed above. Subse-
quently, the foundation must perform in the longer term as a support
system to the completed pavement for the required design life.
ln the construction phase, the pavement is subjected to high stresses,
often combined with the effects of rainfall and a drainage system still to
reach full effectiveness. ln the long term, stress leveis are much lower
and equilibrium water conditions will have been established, assuming
drainage systems operate correctly. The performance requirements are
much lower for the construction phase than in the long term.
Pavement engineering embraces both the design of new facilities and
PAVEMENT AND RAIL TRACK FOUNDATIONS 253
the maintenance of existing networks. ln most developed countries,
relatively little new pavement is being constructed but there are major
problems and expenditure associated with the evaluation and rehabilita-
tion of current systems. ln this chapter consideration is, therefore, given
to the design of new foundations and the evaluation of existing ones for
design of remediai work. Since the subject is one which is evolving
rapidly as a result of contemporary research, the chapter emphasises
principies rather than detailed procedures.
Of the various types of pavement identified in Figure 6.2, rail track is
clearly the one which differs most from the others. This is, principally,
through the techniques used to transmit the wheel loads to the support-
ing structure. Many of the fundamental characteristics of the ballast,
sub-ballast and subgrade soil below are, however, the sarne as those of
other pavements. For this reason, basic principies for all pavements are
considere d together in this chapter. However, important distinctions
between rail track and pavement applications are identified.
6.2 Principies of pavement design
6.2.1 Failure mechanisms
The traffic-associated mechanisms of failure in pavements are fatigue
cracking of the bound layers and development of differential, vertical
permanent deformation throughout the structure which causes wheel
track rutting. Only cement-treated materiais are completely resistant to
rutting. Cracking is associated with the resilient (recoverable) response
of the pavement to transient loading. Rutting is the result of plastic
(permanent) strains which accumulate within the constituent materiais.
For a pavement foundation, rutting is the only failure mechanism of
relevance as no bound layers are involved. However, because of its
influence on the construction above, the overall resilient response of the
foundation is an important param e ter.
ln general, the pavement engineer is interested in the response of
materiais to repeated loading at stress leveis often well below failure and
in both the resilient and plastic components of the strain which
develops, as defined in Chapter 1. The relationship between a transient
stress and the corresponding recoverable strain is defined as 'resilient
modulus'. This may be a shear, bulk or Young's modulus.
For rail track the equivalent to pavement rutting is differential
settlement of the rails. Progressive deterioration of ballast from traffic-
induced breakage and infiltration of fine materiais into the ballast voids
increase the rate of rail settlement. Thus ballast durability is an
important design consideration for rail track.
 CYCLIC LOADING OF SOILS PAVEMENT AND RAILTRACK FOUNDATIONS 255
254

6.2.2 The traditional empirical approach
ln most pavement design methods, the required thicknesses of the
various layers above the subgrade are dictated by a simple subgrade
characteristic known as the California bearing ratio (CBR). The empir-
ical test for this property is illustrated in Figure 6.3. It has the
characteristics of a miniature bearing capacity test, and the result which
emerges from it can be regarded as influenced by both the shear
strength and the stiffness of the soil. It is not, however, a fundamental
measure of either. It provides a ratio between the load that can be
sustained by the material under test, at a given surface deformation,
compared with a 'standard' material. The result is expressed as a
percentage. ln-situ plate loading tests, which are effectively a scaled-up
version of the CBR test, are often used to obtain a field value of CBR
through empirical correlation (Croney, 1977). ln the UK, for cohesive
soils at least, CBR values for pavement design are usually estimated
from the plasticity índex and the likely equilibrium position of the water
table (Black and Lister, 1979). The background to this procedure
Load at 2-5 mm/min
involved detailed studies of soil suction and its relation to CBR for
various soil types (Black, 1962).
The soil beneath a pavement is loaded transiently and repeatedly by
moving traffic. The stress leveis involved are well below failure as
understood in conventional soil mechanics. The CBR test, by contrast,
involves static loading to relatively high stresses, at least in the neigh-
bourhood of the loading plunger.
The use of CBR as a subgrade characteristic has become almost
universal. It was introduced in California in the 1940s when road
pavement construction consisted essentially of compacted unbound
granular material with a surface seal. Empirical charts were developed
to identify the necessary thickness of granular construction for a
particular CBR, as illustrated by the CBR design curve in Figure 6.4.
Use of higher quality material, such as asphaltic concrete, was incorpor-
ated through empirical rules allowing reduced overall construction
thicknesses. It is worth noting, en passant, that the state of California
ceased to use this test in the 1950s following the innovative work of
Francis Hveem, their distinguished materiais engineer at that time. They
adopted instead a form of triaxial test known as the stabilometer
(ASTM, 1982).

l Load plunger
(49-6mm c:'ia.) +
2 5
CBR ('/,)
10 15 20

Specimen
( 152 mm dia. Shear stress ( kPa)
x 127mm) o 50 100 150 200

E 100 Shear stress in uniform

E elastic medium
Load
(kN) illa,
u
e
.:,e

;s
e
o
:;,
u
200

300
Shear stress
with 50mm
surfacing

/
/
.1/·.,,/ - ~
---·-CBR Oesign Curve

2
iií
e
o
u
25 5-0 õ
Penetration of plunger .e
(mm) ã.
a,
o

Q
CBR = ~ x 100¾ or X 100¾
1 2 20
Whichever is greater
Figure 6.4 Variation of shear stress with depth and CBR with construction thickness.
Figure 6.3 The CBR test.
256 CYCLIC LOADING OF SOILS
The CBR method was further developed by the US Army Corps of
Engineers during World War II to accommodate heavier wheel loads
and was gradually adopted, with local variations, by highway authorities
all over the world.
Theoretical justification for the CBR method of pavement design can
be provided within the context of its original use. Figure 6.4 shows that
the variation of shear stress with depth in a uniform elastic medium,
taken to represent the soil and subjected to a circular, uniformly
distributed surface load, is similar to that of the CBR design curve. This
arises because the effective in-situ resilient modulus of the granular layer
is generally only slightly greater than the soil. For example, soil resilient
moduli are usually in the range 20-100 MPa, whilst corresponding
values for a granular layer may be 50-300 MPa. Under these circum-
stances, the variation of shear stress with depth is likely to be similar to
that in the uniform half-space. Provision of a thickness of granular
construction, therefore, effectively puts the soil surface lower in the
system and subject to correspondingly lower shear stresses. This ap-
proach implies a correlation between CBR and undrained shear
strength, a topic studied by Black (1979), leading to empirical equations
such as:
cu = 23 CBR (kPa) (6.1)
for remoulded soils.
The variation in shear stress with depth is significantly changed if an
asphalt surfacing, with a typical resilient modulus of 5000 MPa, and of
modest thickness (50 mm), is added (see Figure 6.4). This results from
the load-spreading ability of the bound material with its substantially
higher resilient modulus than that of the soil. The required thickness of
construction in this circumstance can be reduced. For example, in Figure
6.4 for 2% CBR and an allowable shear stress of 25 kPa, the reduction
is seen to be from 570 to 400 mm. This principie forms the basis for the
modem approach to pavement design.
ln a similar manner the shear stress beneath rail track sleeper (ties)
decreases with increasing depth. Furthermore, shear stress on the
subgrade decreases with increasing thickness and stiffness of the ballast
and sub-ballast layers.
6.2.3 The two-layer system
ln principie, a pavernent consists of a compacted layer of more or less
stiff and deformation-resistant material placed over a soil of lower
stiffness and greater susceptibility to permanent deformation. This sarne
model applies to rail track if the ballast and sub-ballast are represented
PAVEMENT AND RAIL TRACK FOUNDATIONS 257
as a single layer over the subgrade. ln this context the term 'stiffness'
means resilient modulus. ln asphalt technology, 'stiffness' is used more
broadly with respect to relationships between uniaxial stress and strain,
including those cases when the strains have viscous components, as in
long-term loading situations.
If it is assumed that both layers consist of linear elastic material, some
simple analysis can reveal how the stresses, which may be regarded as
criticai for design purposes, are influenced by the stiffness of the upper
layer. Protection of the subgrade may be effected, in general, by
ensuring that the vertical stress at its surface indicated by wheel loading
is kept to an acceptably low level. Figure 6.5 shows, diagrammatically,
how this may be achieved by increasing the upper layer stiffness, thus
improving its load-spreading ability. Figure 6.6, however, shows that as
the stiffness of the upper layer increases, the shear stress in the soil is
reduced but that tensile stresses are induced in the upper layer. This
leads to the possibility of cracking if the upper layer is of asphalt or
concrete. If it is a granular material or block pavement, no significant
tension can be sustained. This results in a redistribution of stresses and
an effective decrease in the layer stiffness or large plastic strain if the
granular layer is not adequately confined.
The key to pavement design is to provide an upper layer which
ensures that the soil shear stresses are reduced to a level which prevents
accumulation of significant plastic strains ( and hence rutting), while at
the sarne time preventing cracks or significant plastic strains from
forming in the layer itself. An appropriate combination of layer stiff-
ness, layer thickness and tensile strength or resistance to plastic shear
strains, as appropriate, is required. The tensile strength for bound
materiais is that applicable under repeated loading and is, hence, the
fatigue strength of the material. Under these circumstances, the max-
imum allowable tensile stress will be less than that applicable under
monotonic loading, as illustrated in Figure 6.7.
Wheel Wheel
load load
Low High
stiffness stiffness
Povement
Subgrade
Poor Good
load spreading
load spreading
Figure 6.5 Concept of load spreading.
 258 CYCLIC LOADING OF SOILS
PAVEMENT ANt> RAIL TRACK FOUNDATIONS 259

Wheel load
HH! HH½
HH
-
Upper layer Asphaltic Stress
( sliffnHs varies) layer

..,.&
650 Soil
( stiffnHs const.l
14
Stroin

Crack initiation
T
Crack propagation
êi; 600 Ul
>,
_g 12 ií
~ (a) Fatigue cracking
êi;
a. !!l.
a. ;;;
:::, 550 Tensile stress
õ in upper layer 10 81
E !:!. Tensile strain

~ õ ( rnicrostrain)
1J
.o 500
õ s a 100
~-
"'~"' Soil shear stress
iií 450
~
"iii
~
e I 80

4001
60
Stiffness of upper layer ( GPa)

Figure 6.6 Variation of criticai stresses in a two-layer system.

40

-
Monotonic
strength
201 3 5 7 9 11 13 15
Stiffness of asphalt layer ( GPa)

(b) Variation of tensile strain with stiffness

Figure 6.8 Cracking of bituminous layers and tensile strain variation with layer stiffness.

log ( No. of load applications to failure )
t
Cycle
No.1
Figure 6.7 Fatigue strength of bound materiais.
For asphaltic materials, the initiation of fatigue cracking is caused by
the level of tensile strain rather than stress (Pell, 1973). However, once
a microcrack has formed, its subsequent propagation is govemed by the
tensile stress at the crack tip. Figure 6.8 shows that increasing the
stiffness of the layer reduces the load-induced tensile strain and may be
regarded as compatible with the reduction in soil shear stress. While this
suggests the desirability of using a very high stiffness layer in an attempt
to prevent the initiation of cracks and protect the subgrade, in practice
the underside of an asphalt layer is full of stress raisers of various sorts
so that microcracks can easily form and, in the presence of a high tensile
stress, will rapidly propagate upwards under repeated loading. A com-
promise is, therefore, required.
It is also important to prevent the accumulation of plastic strains in
the upper layer. This often arises when inadequate asphalt mixtures are
used and shear strains develop as plastic flow occurs in the manner
illustrated by Figure 6.9. A similar phenomenon can occur in a granular
layer when directly trafficked.
An additional source of plastic strain accumulation occurs with rail
._: track. When the track is raised to correct for settlement the upper
1
___

\;''
260 CYCLIC LOADING OF SOILS PAVEMENT AND RAILTRACK FOUNDATIONS 261

Wheel load

UH! Deformable asphalt Skid resistant

surfacing surface

Stiff road base ----------- High stiffness

Main structural element
- - - - Crack resistant
(Durable)
----------- Deformation resistant
1Bound material J
Figure 6.9 Surface rutting in asphalt pavement.
Pavement Foundation _ _ _ _ Adequate platform to
( Well drained ) place layer above
ballast is retamped under the sleeper (tie) to fill the void. However, this
tamping loosens the ballast, which is then recompacted by traffic. The 1Granular material over soil J
recompaction results in vertical plastic strain which causes further
Figure 6.11 The 'ideal' pavement.
settlement, eventually again requiring tamping. Thus the process is
repetitious. This additional source of settlement is superimposed on that
contributed by the undisturbed sub-ballast and subgrade layers (Figure proceed satisfactorily, i.e. when the soil is dry and strong enough. ln
6.10). most circumstances, an enhanced platform is needed to support the
ln summary, the basic principies of pavement design are to provide a construction activity associated with the structural layer.
structural layer or layers with sufficient stiffness and thickness to protect
the subgrade, while ensuring that the layer itself does not crack or 6.2.4 Summary of pavement design procedures
deform plastically during the design life. Pavements are usually designed
for 20 years and, over this period, may be subjected to millions of load 6.2.4.1 Asphalt pavements. A number of organisations have developed
repetitions. procedures for the design of asphalt pavements (e.g. Shell lnternational
The ideal pavement is illustrated in Figure 6 .11. This is intended for Petroleum Co, 1978; Asphalt lnstitute, 1981; Mobil Oil Co, 1985).
heavy-duty applications and involves the concept of a pavement founda- These generally emphasise the role of the asphalt layer and contain little
tion. ln principie, however, the high-quality asphaltic or concrete layer or no consideration of the soil mechanics principies required for the
forming the maio structural element could be placed immediately over pavement foundation.
the soil. This is only possible when site conditions allow construction to The simplified design method developed by Brown and Brunton
(1986) illustrates the features which are common to most of the other
Cumulotive Traffic methods without going into tremendous detail. The procedure is based
on a three-layer representation of the pavement and is intended for
:C-----...... Su bg rode

~ Subballast
asphalt layers in excess of 100 mm. The background to the method has
been presented in various papers (Brown et al., 1977; Brown and
Brunton, 1984; Brown et al., 1985,). The procedure is briefly summar-
Tamping
ised here.
(i) Wheel loading. The spectrum of anticipated wheel loads over the
design life is converted into an equivalent number of standard 40-kN
• 1
· 1 wheel loads using well-established principies based on the American
Association of State Highway Officials (AASHO) road test (Liddle,
1962) and work at the Transport and Road Research Laboratory
Figure 6.10 Contributions to settlement in rail track. (TRRL) (Addis and Robinson, 1983).
262 CYCLIC LOADING OF SOILS PAVEMENT ANO RAIL TRACK FOUNDATIONS 263

(ii) The asphalt mixture. The design method treats the bituminous
40kN dual
layers as a single structural element. The properties of the road base are wheel load
then dominant, and these are used for the design computations. A
modification of the method does allow a separate asphalt wearing course e
HH UH
Asphaltic layer
g
to be used. Details of the proposed asphaltic mixture for the road base
are used to predict elastic stiffness (resilient Young's modulus) at the
e 500 ~+-'r'l.,------f'-..----+---~
t:::t Et
Sub-base

temperature and vehicle speed conditions for the site. The fatigue w
u
.,E 'E,
strength of the mixture is also estimated using similar information. e· Subgrude

(iii) Pavement foundation. A standard 200-mm sub-base with a resili- ~

ent modulus of 100 MPa is assumed, though variations on this are ~ 200
possible using a supplementary procedure. The subgrade is characterised .8'
by a single resilient modulus between 20 and 100 MPa. This may be .7l
3
estimated from the CBR or the plasticity index of the soil.
-ô
(iv) Allowable strains. The design process involves determination of ºa.
5 UI<!>
:::,~
the appropriate thickness of the chosen asphaltic layer to ensure that the :í~
7 'O~
magnitude of two criticai strains are below their maximum allowable ºº
E-
values, each of which depends on the number of standard wheel load 11 ~:B
·- o
applications expected in the design life. The two criticai strains are ::: .e
15 ~ @-
shown on the inset of Figure 6.12. The tensile strain at the bottom of ·"r,
19 a: o
,t
the asphalt layer controls fatigue cracking, while the vertical strain at l
;,
formation levei is used to limit the levei of permanent deformation in
200
the overall system. e
·e
1
(v) Design thickness. A chart such as that in Figure 6.12 is used to
"lií
determine the minimum safe thickness to satisfy each of the two strain eu
cri teria independently. The maximum allowable value of each strain is E 100
entered on the vertical axis of the corresponding part of Figure 6.12 and ,;,
an asphalt thickness value read off for the appropriate resilient modulus
of the asphalt layer. Hence, separate consideration is given to the 1
{
i -
õ
e·
õ
.:,
"'
possibilities of fatigue cracking in the asphalt and rutting. Since the .e
a.
50
considerations for rutting are semi-empirical, it is necessary to ensure t, "'
<{

that the asphaltic and granular layers are constructed from materiais
which offer good resistance to permanent deformation and that care is
taken to provide adequate compaction.

Asphal I thickness (mm)

6.2.4.2 Concrete pavements. The principal failure mechanism in con-
crete pavements is cracking. This can arise from wheel loading, from
thermal effects or from a combination of both.
Pavement-quality concrete (PQC) has a resilient Young's modulus of
30-50 GPa compared with 5-15 GPa for asphaltic materiais. Hence, the
concrete slab is even more structurally dominant that an asphalt base in
a heavy-duty pavement.
(i) Pavement foundation. Most design methods for concrete pave-
ments characterise the foundation in terms of a modulus of subgrade
Figure 6.12 Variation of criticai strains with asphalt layer thickness and stiffness.
reaction (k). This parameter can be measured directly in the field using
a plate loading test and is defined in this context as:
k = p_ (6.2)
y
where p is the contact pressure below the plate and y is the correspond-
ing deflection. The units of k are hence, typically, MN/m 3 .
264 CYCLIC LOADING OF SOILS PAVEMENT AND RAIL TRACK FOUNDATIONS 265

A further reason for using the modulus of subgrade reaction is that it
features in the classical W estergaard theoretical analysis for concrete
pavements, the equations for which have been conveniently summarised
by Ioannides (1991). This procedure characterises the subgrade as a 'bed
of springs' and uses the parameter 'k' for this purpose.
(ii) Tensile stress. Using Westergaard's equations, it is possible to
compute the maximum tensile stress in a concrete slab caused by three
wheel loading conditions. These involve the wheel located near the
comer, at the edge and near the centre of the slab. The resulting tensile
stresses are highest at the comer and smallest at the centre.
Thermally induced tensile stresses are very significant in concrete
pavements. They can arise from the tendency of a slab to warp when
there is a temperature difference between the surface and the underside
of the slab, and equations are available to do the necessary computa-
tions (Yoder and Witczak, 1978). Tensile stress can also be induced
towards the centre of a slab as a result of frictional forces generated on
the underside when the temperature is falling and the slab tending to
shorten. For design purposes, the worst combination of these tensile
stresses has to be identified.
The allowable tensile stress for PQC has to consider fatigue effects as
for asphalt. Figure 6.13 shows laboratory data for PQC and for the
weaker lean concrete used for flexible composite construction. An
endurance limit is apparent so that, provided the repeatedly applied
tensile stress remains below 60% of the static tensile strength, fatigue
cracking will not occur.
(iii) Joints and reinforcement. Two techniques are adopted in concrete
pavement design to <leal with tensile stress effects. One of these is the
provision of joints to limit the effective length of slabs and, hence, the
thermally induced stresses. The other is the use of steel reinforcement to
contain the tendency to crack. As a consequence, three types of
concrete pavement are used in practice. 'Continuously reinforced con-
crete pavement' has no joints but substantial reinforcement, 'reinforced
concrete pavement' has some joints and some reinforcement, while
'unreinforced concrete pavement' has closely spaced joints and no
reinforcement.
6.2.4.3 Surface-sealed pavements. This type of construction represents
the other extreme, in the structural sense, from PQC pavements (Figure
6.2). The granular layer is the dominant structural element. lt must be
of adequate thickness and stiffness to protect the subgrade from stress
leveis likely to cause serious plastic strains and must have characteristics
which provide good resistance to permanent deformation within its own
thickness. The surface seal consists of a bituminous spray and stone
chippings, often in more than one application. This serves two functions:
waterproofing and provision of skid resistance.
Analytical design methods for this type of pavement are still in their
infancy. The problem is exactly the sarne as that of designing a
pavement foundation. The non-linear elastic properties of the granular
layer and soil are dominant, and the need to limit rutting requires
careful consideration. These matters are considered in later sections of
this chapter.

lO 6.2.4.4 Rail track Rail track geometry deteriorates through the deve-
o lopment of differential permanent deformation which causes the quality
• ' 1. o of the vehicle 'ride' to be affected. The design principies involve
.e
0-8 &

•• D e
~
ij . protection of the subgrade by a sufficient depth of ballast and sub-bal-
last, and by adequate rail and sleeper (tie) stiffness. Development of
i
~
·;;;
0-6
D • o+' D
• permanent deformation in the ballast and sub-ballast must also be
•.
o+ minimised. lt arises from shear and volumetric strain accumulation,
~ 2 Pavement quality concretes o+
D lean concrete 1 including the effects of particle breakdown. An adequate levei of
~
1ii 0-4
o lean concrete 2
resilient response is necessary because of the large unsprung mass of rail
~ indicates some specimens
u
did not Yail vehicles.
i
u The simplest model for rail track design represents the rail as a beam,
0-2 --- with concentrated wheel loads, supported by an elastic foundation (Hay,
1982). The elastic foundation represents the net effect of the resilient
stiffnesses of the sleepers (ties), ballast, sub-ballast and subgrade.
o ,os Values of the spring stiffness are obtained by load tests on representat-
1 10 102 10' 10' 10 6 10 7 108
Mean number of cycles to failure (Nf) ive track.
Figure 6.13 Fatigue strength of Portland cement concretes. The stiffness is known as track modulus ( u) and has units of force per
266 CYCLIC LOADING OF SOILS
unit length per unit deflection. With this parameter, together with the
rail bending stiffness (E/) and the wheel load (W), the model may be
used to calculate maximum rail deflection, maximum rail bending
moment, and rail seat force. The rail bending moment is used for
fatigue design of the rails. The rail seat load is used to estimate the
vertical stresses at the various layer boundaries by assuming an appro-
priate sleeper (tie) contact area and estimating the stress attenuation
with depth. The combined thickness of the ballast and sub-ballast layers
should be selected to limit the shear stress at the top of the subgrade to
much less than the undrained strength of the soil in order to prevent
development of significant permanent deformation. The ballast should
also be durable enough to sustain the repeated pressures for a reason-
able number of years of trafficking.
The simplified model using track modulus is unable to distinguish
between the contribution of the sleeper (tie) and underlying layers. Thus
it does not permit these factors to be considered explicitly in design.
More precise models have thus been developed which represent the rails
and sleepers (ties) as beams resting on a multiple layer foundation
comprised of the ballast, sub-ballast and subgrade. Some currently used
models are GEOTRACK (Chang et al., 1980), ILLITRACK (Tayabji and
Thompson, 1976) and KENTRACK (Huang et al., 1986). Comparisons
between predictions using GEOTRACK and field measurements have been
presented by Stewart and Selig (1982a).
An alternative approach to use of limiting subgrade stress is to limit
track settlement by accounting for the strains produced by the repeated
wheel loading. Methods to do this reliably are still under development.
An approach patterned after methods developed for pavements has
been described by Stewart and Selig (1982b) and Selig and Alva-Hur-
tado (1982). ln essence, the GEOTRACK model is used to estimate
stresses in the layers produced by the train loads as a function of track
parameters and layer properties. Cumulative vertical strains are then
determined from laboratory repeated load tests on the layer materials
(ballast, sub-ballast and subgrade). The strains are multiplied by the
corresponding layer thicknesses and the results summed to get settle-
ment. Such an approach potentially provides the basis for evaluating the
influence of the system parameters on track settlement and hence
permits optimisation of track design.
6.2.4.5 Block pavements. Analytical methods are being introduced to
assist with the design and evaluation of block pavements. The combina-
tion of blocks and the sand support layer (Figure 6.2g) may be taken as
equivalent to a single layer. A typical elastic stiffness would be 800 MPa
and, therefore, much lower than a bound layer but significantly stiffer
than an unbound material. The principal design criterion relates to
PAVEMENT AND RAIL TRACK FOUNDATIONS 267
protection of the subgrade to prevent excessive permanent deformation.
This may be dealt with, through analogy with asphalt pavements, by
using the vertical elastic strain of the subgrade, but this is an approxi-
mate approach. Limiting the transient deviator stress to a value below
that likely to cause significant plastic strain at the appropriate effective
stress is a better approach and is discussed later (sections 6.3.3 and
6.6.1). The advantages of block pavements are essentially aesthetic and
practical. If local rutting develops, the blocks can be lifted and relaid.
6.2.4.6 Reinforced haul roads. The use of geosynthetics to reinforce
haul roads built of granular fill over soft ground has become quite
common. The original concept was that, by deforming vertically under
load, tension was developed in the geosynthetic placed at the soil-fill
interface. This 'membrane effect' created some vertical component of
load which reduced the stress on the subgrade. More recent and detailed
research (Milligan et al., 1989) has demonstrated a different mechanism
which applies to small deformations as well as the large ones necessary
for the tension-membrane effect to be mobilised. Application of a wheel
load induces large horizontal stresses at formation level. The provision
of a stiff geosynthetic interlocking with the granular layer above can
minimise the effect of these stresses by curtailing the deformation. This
prevents the reduction in bearing capacity of the soil which would
otherwise occur as a result of the action of the horizontal stresses. Since
relatively large rut depths can be tolerated on haul roads, the design
method concentrates on prevention of bearing capacity failure.
6.2.5 Basic analytical approach
Numerical analysis of the problem posed by a wheel load applied to a
layer of granular material over a soil subgrade must take into account
the non-linear elastic properties of the materials. This can be done, in
principle, using finite element analysis with values of stiffness which are
stress-dependent to reflect the non-linearity. The results of such an
analysis can reveal the stress conditions at critica! points within the
structure. If the relationship between applied stress and plastic strain at
a given number of load applications is known, then judgements can be
made concerning the possibility of serious rutting occurring. Alternat-
ively, further finite element computations can be performed to deter-
mine the permanent deformation at the surface and, hence, the rut
depth.
These principles are well established, but the detailed information
required to follow them through makes it an expensive and research-ori-
entated exercise. ln order to characterise the materials adequately,
268 CYCLIC LOADING OF SOILS PAVEMENT AND RAIL TRACK FOUNDATIONS 269

laboratory repeated load tests need to be carried out on the actual Total Pore Effective
Stress pressure Stress
materiais involved. From these, elastic and plastic stress-strain relation- +
ships can be determined. Pavement
There may be serious differences between the field conditions at the construction

time of construction and those assumed in the laboratory tests. These
can only be quantified if the range of conditions in the laboratory is
large and the testing time correspondingly long.
An important factor in pavement foundation analysis is the effective
overburden stress at various depths. While this may be reasonably well
estimated for the subgrade, the locked-in stresses in a granular layer
following compaction are still poorly understood. This is a crucial matter
as the load-induced stresses dose to the wheel are high and the
numerical analysis for this zone is difficult to converge as conditions
become dose to failure. The levei of 'locked-in stress' existing before
application of the wheel load has an important bearing on this problem.
Since the resilient and plastic strain characteristics of soils and
granular materiais depend on effective stress, the pore pressure and/or
suction regime in the structure must be defined. This requires assump-
tions to be made concerning the water table and its possible movement
and the ingress of rainfall into the granular layer. The various combina-
tions involved again lead to protracted numerical analysis.
The sections which follow provide a summary of current knowledge
relating to this approach to design. The chapter then condudes with a
pragmatic summary of procedures considered implementable at the time
of writing (1991).
6.3 Mechanical properties of soils
6.3.1 In-situ stress conditions
The stress conditions in a pavement foundation are of two types:
(1) Equilibrium effective stress.
(2) Load-induced transient stress.
As in all soil mechanics problems, it is necessary to define the effective
stress condition in order to assess the response to applied load. For a
pavement subgrade, the vertical effective stress will be dictated by the
water table position and the weight of material in the pavement
construction above. The horizontal effective stress will be related to the
vertical stress and depend on the overconsolidation ratio.
For situations in fine-grained soils with a relatively high water table,
saturated conditions will exist in the suction zone above the water table
and the pore pressure profile will be linear, as shown in Figure 6.14(a).
Subgrade
v Water table
(a) (b)
Figure 6.14 Variation of subgrade self-weight stresses with depth.
If this is subtracted from the total stress pro file, as in Figure 6. l 4(b), the
effective stress variation with depth is apparent.
At depth z below the subgrade surface or formation levei, therefore,
the vertical effective stress is given by:
a~= ªP + yz - (z - h)yw (6.3)
"1 where aP is the total stress due to pavement construction above
1
formation levei, y is the unit weight of the soil, h is the depth of the
water table below formation and Yw is the unit weight of water. The
stress conditions at formation levei (z = O) are of most interest. At this
levei:
(6.4)
The merits of good drainage resulting in a low water table are apparent
from this equation since a~ increases with h.
The horizontal effective stress is given by;
(6.5)
where K O = earth pressure coefficient at rest.
The value of K O depends on the consolidation stress history of the
soil. ln undisturbed ground, this can be determined from site investiga-
tion and laboratory testing data. For formation in fill, which has been
remoulded and compacted, the situation is less straightforward.
If the overconsolidation ratio (R) is known or can be estimated from,
for example, oedometer testing, then K O can be determined from:
K0 = (l - sin <f/)Rsin,f/ (6.6)
proposed by Mayne and Kulhawy (1982) in which <P' is the angle of
shearing resistance with respect to effective stresses.
270 CYCLIC LOADING OF SOILS

Oedometer tests on compacted fill are likely to indicate an apparent

overconsolidation ratio with typical values in the range 2-5. The
1
t
PAVEMENT ANO RAILTRACK FOUNDATIONS

Vield ;::;·t lnsitu

271

situation in fill may involve the soil being partially saturated. With deep m curve ~ compression
water tables in undisturbed formations, the soil will also be partially ~ \_- (Kol
~ / ~
saturated. ln these circumstances, the soil suction needs to be con- .8 / Elostic II'
-~ / zone _,,,,,,-/ /+<Swelling
sidered. The theory of effective stress for partially saturated soils is still
not properly understood, but the concept of soil suction has been used D / /~ JI/ 1 \

I ,,,,,,,, / \
extensively in pavement engineering. For practical design purposes in _.... /

soils with degrees of saturation exceeding 85%, the soil suction may be Ar p'
e
p"
treated as equivalent to effective stress. This may be deduced from the
relationship presented by Croney (1977): ~
CII
s = u - a:p (6.7) E
:::,

~
where a: is the compressibility factor, which is unity for saturated clays. _g
Ti
A
Hence: CII
a.
IJ)

s = -(p - u) (6.8)
Since s is a negative quantity, this is the sarne as: Meon normal effective stress (p")

Figure 6.15 Stress history of overconsolidated soil element.

Po = P - u, (6.9)
where p 0 is the mean normal effective stress due to overburden. (6.12)
a'
p' = v (1 + 2K 0 ) and (6.13)
6.3.2 Criticai state framework 3

The behaviour of saturated soils can be best explained within the

q = a~(l - K 0 ) (6.14)
framework of critica! state soil mechanics (CSSM). Although the stress The stress ratio at any point during compression or swelling is:
conditions associated with pavement foundation design differ from those q 3(1 - K 0 )
in most geotechnical engineering problems, this framework is still useful. 11 = (6.15)
The main characteristics of saturated pavement subgrades are low
p' = (1 + 2K 0 )

effective stresses and repeated loading pulses well below yield. Hence,
the response is essentially elastic but, as will be seen, non-linear elastic.
Figure 6.15 shows the consolidation stress history to which a typical
subgrade element may have been subjected. The stress path is based on
K O conditions during compression and subsequent swelling. The stress
parameters used are those of CSSM, namely mean normal effective
stress (p ') and deviator stress ( q). The swell-back line in p' -q space
will typically cross the p' axis at an overconsolidation ratio of about 4.
Typical subgrade conditions are, therefore, likely to produce equilibrium
stresses dose to this point.
ln terms of the in-situ effective stresses a~ and ah, the stress
parameters in Figure 6.15 may be defined as:
Mean normal effective stress: p' = ½(a~ + 2ati) (6.10)
Deviator stress: q = a~ - aí, (6.11)
The expression for K O in terms of overconsolidation ratio, R ( eqn. 6.6)
implies that, during compression, 17 = constant (OC in Figure 6.15),
while during swelling the curve CA is generated.
The concepts of CSSM imply an expansion of the yield surface during
compression (Figure 6.15) so that, following swell-back, the soil is well
within the elastic zone. Application of a stress pulse due to wheel
loading as shown in Figure 6.16 will, generally, produce elastic behavi-
our unless a very high deviator stress is involved. The effective stress
path AB resulting from the total stress pulse AT is vertical in Figure
6.16 since p' is constant under these undrained conditions within the
elastic zone. The point A is common to Figures 6.15 and 6.16.
Deviations from the vertical imply anisotropy (see Graham and
Houlsby, 1983) but this is likely to be a secondary effect with little real
consequence for routine design.
The lower part of Figure 6.15 traces the consolidation stress history in
272 CYCLIC LOADING OF SOILS PAVEMENT AND RAILTRACK FOUNDATIONS 273

for a wide range of soils and granular materials. Many of the experi-
q ESP = Effective stress path ments involved have not considered the results in terms of effective
TSP = Total stress path stress, though soil suction is a parameter often used in relation to
D = Excess pare pressure
partially saturated soils. Since the strains involved are very small,
accuracy of the experimental procedures is important, and many sets of
Wheel
..--------vield surface data are questionable in this respect. To obtain reliable strains,
toading measurements of sample deformation in repeated load triaxial testing
must be made directly on the test specimen remote from end effects and
extraneous distortions in the test frame.
p'
The better results quoted in the literature all show that the resilient
shear modulus is dependent on both the deviator stress pulse magnitude
Figure 6. 16 Effective and total stress paths due to traffic loading. and the effective stress or soil suction. High-quality data, reported by
Brown et al. (1987) on a silty clay ( wp = 18%, wL = 37%) resulted in
v- p' space, v being the specific volume of the soil, that is: the following relationships for resilient shear modulus ( G r):

v = l +e= l + wG, (6.16) Gr = qr ( PÓ )n (6.17)

e qr
where e is the void ratio, w is water content and G, is the specific
gravity of solids. where C and n are constants which, for this soil, had values,
Construction of a pavement will cause the state of the soil in cut to C = 3.3 x 10- 3 and n = 1.52, pó is the mean normal effective stress
move up the swell-back line as overburden is removed. If the water prior to cyclic loading and qr is the level of repeated deviator stress.
table is subsequently lowered by drainage provision (Figure 6.17), then An important feature of this model is that it is independent of wata
an increase in effective stress results, causing the soil to move back content (specific volume). This is in contrast to parameters relating to
down the swelling line. shear strength, such as CBR, for which water content is an important
Soil which is remoulded and compacted as fill will have been taken to variable.
failure undrained and then allowed to swell as equilibrium pore press- The value of resilient shear modulus is very sensitive to stress
ures are established. The net effect of this is likely to be a reduction in conditions, and this is illustrated by Figure 6.18 showing how, for this
the apparent overconsolidation ratio prior to its disturbance. soil, it can vary from less than 10 MPa at low effective stress to over
100 MPa at higher effective stress and low deviator stress. The implica-
tions of this are that the soil at formation levei may have a low stiffness
6.3.3 Stress-strain and shear strength relationships but that it rapidly increases with depth as the effective stress builds up
and the load-induced deviator stress decreases. Figure 6.19 illustrates
The non-linear relationship between shear stress and resilient strain for this point for a typical pavement construction based on finite element
repeated load situations has been examined extensively over the years computations (Brown et al., 1987). The softening effect of allowing the
water table to rise is also illustrated. The increase in stiffness with depth
has been a significant feature emerging from back-analysis techniques
used to match computed surface deflection profiles of pavements under
impulse loading with computed values. This technique is used in the
lnitial structural evaluation of pavements to deduce effective elastic stiffnesses
Base
~:1-,~--L=~~~~e--
.+"-~...:....:....:....:...::...::,,:Su::,:.::.b-..:;bo;::s;:.:e...o...;...;..~...:...:...,i _._,
of the various layers. Brown et al. (1986) noted that it was necessary to
use a non-linear resilient model for the subgrade in order to obtain a
good match between measured and computed surface deflections. A
:9.• typical back-analysed stiffness profile is shown in Figure 6.20.
Final
water table
For partially saturated soils with degrees of saturation in excess of
Figure 6.17 Lowering of water table in a cutting. 85%, Brown et al. (1987) demonstrated, for three clays, that the
274 CYCLIC LOADING OF SOILS PA VEMENT AND RAIL TRACK FOUNDA TIONS 275

Resilient Young's Modulus ( MPa)

100 O 200 400 600
~-----~-----~------~

90 Granular

Case A
-5l...._
80

Subgrade
70
cP
::[
Case B
'51 É _....5l...,_
60 .e 2 1 - - - - - - - + - - - - - - - - ~ - + - - - - - - - - + - - - - - - + - -
1/l
:::,
"3
"O
o
1
E 50
o
a,
.e
1/l

e 40
~
·;;;
a,
a:
30

20

10 Figure 6.19 Influence of water table position on resilient modulus of subgrade.

Wheel load =72 kN Contact pressure = 1023 kPa

o 40 60 80 100 120 140 160 <i. Radius = 150 mm
Repeated deviator stress - qr ( kPa)
1

Figure 6.18 Variation of resilient shear modulus with stress conditions for a silty clay.
Asphalt layer 3200MPa 200mm

resilient shear modulus may be obtained using eqn (6.14) with the Granular layer 100 MPa 200mm
effective stress term, pó, replaced by the soil suction. The values of
suction involved were quite low, not exceeding 100 kPa, but this 80 MPa 600mm
embraces most situations in wet climates. For drier soils, various -----------
105 MPa lm
investigations (e.g. Richards and Gordon, 1972; Fredlund et a!., 1977)
have demonstrated that suction is a dominant parameter, and it appears
Subgrade
-----------
128 MPa lm
likely that the non-linear model expressed by eqn (6.14) may have wide -----------159 MPa 2m
application.
The CBR test and its relevance to pavement design are reviewed in
-----------
193 MPa
section 6.2.1. Because of its universal use and the relative experimental Figure 6.20 Resilient moduli of layers back-analysed from surface deflection measure-
difficulty of determining resilient modulus, empirical correlations have ments.
276 CYCLIC LOADING OF SOILS PAVEMENT AND RAJLTRACK FOUNDATIONS 277

been sought between these two parameters as the mechanistic approach
to pavement design has been developed. The most recent attempt at this
by Powell et al. (1984) yielded the equation:
Er = 17.6 CBR 0·64 (MPa)
This is based on correlations between resilient Y oung's modulus ( E r),
deduced from in-situ wave propagation testing, and corresponding
values of CBR for the subgrades involved.
Brown et al. (1987) investigated this relationship independently by
laboratory testing three clays to determine E r and CBR at correspond-
ing values of soil suction. The non-linear model they developed (eqn
6.14) indicated that a unique value of E r cannot be quoted because of
its stress dependence. At a deviator stress of 40 kPa, judged to be
appropriate for formation levei beneath a completed pavement, the
relationships given in Figure 6.21 were obtained. Values of CBR were
determined at various leveis of soil suction (S) between 10 and 100 kPa,
and the corresponding values of Er were obtained from eqn (6.14) with
PÓ= S.
Although the general shape of the relationship in eqn (6.18) seems
appropriate, it does not accommodate the differences in soil type
represented in Figure 6.21 (plasticity índices between 19 and 48%).
Sweere (1990) has reported a similar lack of correlation between CBR
and resilient modulus for granular materiais.
The lack of correlation between CBR and resilient modulus can be
explained by the fact that CBR is essentially a measure of undrained
shear strength and, consequently, is very sensitive to water content or
void ratio. Resilient modulus, on the other hand, has been shown to be
independent of water content (Brown et al., 1975, 1987) and to be
influenced by the stress state (eqn 6.17).
The stress state of soil in a subgrade is dictated by the water table
position and by consolidation stress history which will have been
influenced by any changes in water table position. The current effective
stress or soil suction at a particular location (that at formation levei
(6.18)
being of most significance) will be dictated by the current water table
levei. Figure 6.22 shows that the water content will depend on whether
the soil has dried or wetted to the current equilibrium state. If it has
dried, the water content will be higher than if it has wetted. Conse-
quently, the strength or CBR will be lower when the soil has previously
been at a higher water content, but the resilient modulus will be the
sarne regardless of the previous water contents.
The significance of this for pavement design is that elastic analysis
only requires a knowledge of the current effective stress or suction.
However, if strength is being considered for the higher stress situations
associated with construction traffic, working directly on either the
formation or on a granular layer above, then the current water content
is required.
The tendency to develop plastic strains will depend on the size of the
elastic zone (Figures 6.15 and 6.16), which is dictated by the precom-
pression stress, being the highest effective stress, or suction previously
experienced by the soil. lt will also depend on where the sample is
within the zone when a transient deviator stress is applied.
Because of the viscous nature of clays (see O'Reilly et al., 1989), it is
possible for the stress pulse to probe above the static yield curve without
significant plastic strains being generated. Repeated loading at this levei
will, however, cause such strains to gradually accumulate. Results
reported by Brown et al. (1987) for a silty clay indicate a threshold value

120
o Keuper Mar!
Q.
(lp:19¼)
~ 100
w 1 e
1/1 o
:::, 80 :;::;
u
3 :::,
-o Cf)
o
::;: 60
J/1
o,
e
:::,
~ 40
e Gault Clay
-~
~ 20 (lp= 36¼)
a,
a:

o 2 3 4 5 6 7 8 9 10
CBR ('lo) Water Content

Figure 6.21 Relationships between resilient modulus and CBR for clays. Figure 6.22 Typical suction-water content relationship.
278 CYCLJC LOADING OF SOILS PAVEMENT AND RAILTRACK FOUNDATIONS 279

for the deviator stress pulse ( q,) in relation to the deviator stress at yield 1985). These include an inability accurately to determine stress condi-
(qy) at the sarne effective stress. For q,/qy below 1.3, significant plastic tions within the granular layer, although criticai stresses and strains for
strains did not develop. design in the asphalt and the subgrade can be determined with accept-
able accuracy.
Sweere (1990) has shown that the 'K-0' model is useful for demon-
strating the relative stiffness characteristics of a range of materiais but
6.4 Mechanical properties of granular materiais
has noted the importance of using a stress-dependent Poisson's ratio if
pavement computations are to be performed.
6.4.1 Introduction
The most satisfactory model developed to date is based on the work
of Pappin and Brown (1980) with various later modifications, of which
Since the unbound granular materiais used in pavement construction are
that by Mayhew (1983) is of most interest for design. This so-called
extracted from pits or quarries, brought to the site and compacted, an
'contour model' is derived from the positions of shear and volumetric
element of control over end-product properties is possible in a way
strain contours superimposed on p '-q stress space. This pattern of
which cannot be achieved with subgrade soils.
strains can be modelled by the following equations:
The in-situ state of a compacted layer of granular material should
involve a relatively low degree of saturation unless poor drainage Resilient volumetric strain ( Evr):
conditions apply. Consequently, in defining stress-strain relationships,
consideration must be given to both volume change and shear under (6.20)
moving-traffic loading conditions. Since granular materiais have
markedly non-linear stress-strain relationships, it is most convenient to Resilient shear strain (E,,):
consider bulk and shear moduli as functions of the stress state.
Considerable research has been conducted on granular materiais, most (6.21)
of it concentrating on resilient properties. Consequently, there are quite
well-defined resilient strain models available for design with differing where ô means 'change in', 17 = q/p' and A, B, C, D and E are
degrees of accuracy and complexity. Most of the data used to establish constants determined from experiments, values for typical materiais
these models have been obtained from repeated load triaxial testing. being shown in Table 6.1, from which the strains will be in microstrain
Detailed plastic strain models for repeated load conditions are less and the mean normal stress (p') must be in kPa.
well developed and research is proceeding on this topic. However, The stress-dependent values of resilient bulk and shear modulus, K
certain basic relationships are apparent and these are of use to design- and G, are then given by the equations:
ers. p'
K=- (6.22)
6.4.2 Resilient strain
G =-q- (6.23)
The simplest and most widely used non-linear relationship is the 3t:,,
so-called 'K-0' model, defined as: These should be regarded as secant moduli which can be plotted on the
p' -q stress space to give a pattern such as that shown in Figure 6.23( a),
E,= KW (6.19)
taken from Mayhew (1983).
where E, is the resilient modulus obtained from the quotient of deviator
stress pulse and corresponding resilient axial strain in a repeated load Table 6.1 Parameters for granular material resilient strain equations.
triaxial test with constant confining stress, 0 is the sum of the principal Material A B e D E
total stresses at peak stress and K and n are material constants. (kPa) (kPa)
This model has been used for pavement analysis, usually with a
Limestone 3.05 X 10- 7 0.35 0.124 1.59 X 10- 5 0.37
constant Poisson ratio. Comparisons with more accurate models have Granite 7.37 10- 5
X 0.49 0.091 9.88 X 10- 6 0.36
shown that it has important limitations (Brown and Pappin, 1985; Uzan,
280 CYCLIC LOADING OF SOILS
PAVEMENT AND RAILTRACK FOUNDATIONS 281

model developed for triaxial testing is sufficiently accurate for design

750,----------, 750,-----------,
purposes.
K=LOO
E=601Y
6.4.3 Plastic strain
:;; 500 0: 500
li) :li
e e Insufficient research has been done to define reliable relationships
iií iií
... ...
.s
between stress and the plastic strain accumulated under repeated load-
.so o ing. Pappin (1980) showed his plastic shear strain ( E 8p) data to fit a
-~ 250 -~ 250 model of the form:
o o
E8P = f(N)lr(~)1 (6.26)
where f( N) is a function of the number of load cycles and would be
determined experimentally and t is a material constant. The equation
o 250 500
emphasises the importance of stress ratio (TJ = q/p'), in this case the
Mean norr:nal effective stress, p'(kPo)
peak value (~) being the closest point to which the sample is brought
(a) K and G contours {b) E and 'V contours towards failure. It also shows that the length of the stress path (Ir),
which is controlled by the applied wheel load, is of significance.
Figure 6.23 Contours of elastic parameters in p' -q space. It is also apparent, from resilient strain testing of granular materiais,
that little plastic strain will develop if the peak stress ratio is kept below
a certain value. The actual value will depend on the material involved,
Should the resilient characteristics be required in terms of Young's but 70% of the stress ratio at failure ( rJt) appears appropriate in most
modulus (E) and Poisson's ratio (v), use of the generalised Hooke's law cases.
allows the following to be derived: Figure 6.24 illustrates these various points in p '-q space. It follows
9GK that granular materiais only accumulate large plastic strains when the
(6.24) peak stress ratio under wheel loading probes dose to failure, repre-
E= 3K + G
sented by peak strength in a monotonic test. Post-peak behaviour is not
3K - 2G of interest in pavement engineering.
(6.25)
v = 2(3K + G)
Peak monotonic failure
The variations in these parameters across p' -q stress space for a typical
q
tt
q = p'

crushed limestone are shown in Figure 6.23(b ), after Mayhew (1983).

q:07ti,p:
The key features of these stress-strain relationships are:
(1) Volumetric strain is non-linearly related to mean normal effective
stress and has a term reflecting dilation which depends on the
stress ratio rJ = q/p'.
(2) Shear strain depends principally on stress ratio.
While these models have been derived from tests on dry material, some
experiments involving saturated and partially saturated conditions by
Pappin (1980) and Thom (1988) have demonstrated their validity for
such cases provided the mean normal stress term is the effective stress
p'
(p').
Experiments by Chan (1990) with a repeated load hollow cylinder Figure 6.24 Plastic strain potential for granular material. Path A will develop large plastic
apparatus which allows more accurate representation of the stress strain, path B will develop Iittle plastic strain and path C will develop more plastic strain
regime under a moving wheel load have shown that the resilient strain than path A.
282 CYCLIC LOADING OF SOILS PAVEMENT AND RAILTRACK FOUNDATIONS 283

Volumetric plastic strain has not yet been satisfactorily modelled for q
Loading
design purposes. Data from repeated load hollow cylinder and simple to failure~,,.,.,,.,. ,,.,.,,.,.
shear testing have indicated that this parameter is strongly influenced by
the rotation of principal planes which occurs under rolling wheels .,,.,,
(Brown and Ansell, 1980; Chan, 1990). The hollow cylinder tests have .,,. .,,..,,. Er
;'
also shown that rotation of principal strains influences the rate of plastic
shear strain accumulation (Chan, 1990).
It is also evident from wheel tracking tests that bidirectional loading
causes faster rut development than unidirectional loading or repeated
plate loading. This has implications for pilot-scale or field testing of
compacted granular layers, since the realistic load regime involves
wheels all moving in the sarne direction (unidirectional) and, hence,
incorrect estimates of potential rutting will result from either of the l---€p---►
other two arrangements.
Figure 6.25 Stress-strain reponse of ballast in repeated load triaxial test.

6. 4.4 Examples of elastic and plastic response of railroad ballast

Figure 6.10 shows an example in which the majority of track settlement

is a result of plastic strain in the ballast layer. The main reasons for this
situation are that the ballast has the highest stress ratio (r,), and the
ballast is periodically loosened. The lower layers in roadbeds that have
been in service for many years have been subjected to enormous
numbers of cycles without disturbance. With low enough stress ratios in
these layers, the additional accumulation of plastic strain will, therefore,
be small.
These trends can be illustrated by triaxial tests on railroad ballast
(Alva-Hurtado, 1980). ln these tests the confining pressure was held
constant while the axial deviator stress was cycled between zero and a
selected value less than the strength of the specimen. With each
successive load cycle the resilient Young's modulus (E,) increased while
the incremental plastic strain decreased (Figure 6.25). The trends with
number of cycles ( N) on both a linear and a logarithmic scale are shown
in Figure 6.26. If the material characteristics do not change significantly
(for example from particle breakage) E, and Ep increase approximately
linearly with the logarithm of the number of cycles. E, and EP also
increase as the magnitude of deviator stress increases. These sarne
trends have been observed in the field and in layered system and box
tests in the laboratory with repeated surface loading (Norman and Selig,
1983; Selig et al., 1986).
Of particular importance is the influence of wheel load spectrum on
plastic strain accumulation. Both triaxial tests and laboratory box tests
on ballast have supported the approximate superposition method shown
in Figure 6.27. ln this example, three increasing cyclic stress leveis (A,
-------tq
º~-------
º N N
01 ~ - - - - - - - logN
-
Figure 6.26 Resilient modulus and plastic strain variations with stress levei and number of
load cycles.
B and C) are assumed to be applied the number of times corresponding
to N ª, N b and N e respectively. The strain Epa caused by Na cycles of
the lowest stress levei A is first applied. Then the number of cycles N ae
of stress levei B which would produce the sarne EPª is determined. To
this number of cycles is added N b and the Epb caused by the effect of
stress leveis A and B is determined. This process is repeated for stress
levei C. When N ª' N b and N e are large, as is usually the case for traffic
loading, then the actual order of application of the stress leveis does not
significantly affect the final plastic strain. Thus the sequence shown in
Figure 6.27 may be followed independent of the actual sequence
(Norman and Selig, 1983; Stewart, 1986).
284 CYCLIC LOADING OF SOILS PAVEMENT AND RAILTRACK FOUNDATIONS 285

sandstone, sands and gravels. Highest stiffnesses were obtained from

carboniferous limestone and steel slag, while sands and gravels generally
exhibited low values.
Resistance to the accumulation of plastic strain is greatly improved if
high compacted densities are achieved. The influence of grading is
relatively insignificant, although, in practice, the attainment of high
densities will be assisted by having a maximum density (Fuller) grading.
The inclusion of a high fines content is undesirable, as this can
precipitate sudden failure and causes hydraulic problems due to low
log N
permeability and the possibility of retaining water at a high degree of
saturation. ln the case of railroad ballast, a coarse, uniform particle size
is required. This provokes a large void space to prolong the time until
+-------Nc---•1 the ballast becomes plugged with finer particles and facilitates adjust-
ment of the ballast during tamping. The visible roughness of aggregate
Figure 6.27 Superposition of mix of stress leveis. particles correlates with resistance to plastic strain, as illustrated by
Figure 6.29. Although this is a subjective test and is concerned with a
different property from surface friction, which can be measured, the
6.4.5 lnfluences of grading, compaction and mineral type correlation is of practical use.
The shear strength of granular material is influenced by similar
The mechanical properties of a compacted layer of granular material are variables to plastic strain development, density being the most signifi-
influenced by the type of mineral, its shape and grading together with cant. The angularity of the particles is of importance as well as their
the state of compaction. The hydraulic properties (permeability) are also visible roughness. Figure 6.30 shows another useful, practical correla-
influenced by these variables. An understanding of the relative import- tion.
ance of these influences can be very useful for design purposes. Thom Of the materials investigated by Thom and Brown (1989), the
and Brown (1988, 1989) have reported results which are helpful in this limestones, crushed concrete and sandstone offered best resistance to
context. plastic strain while sands and gravels were least satisfactory.
Resilient properties are little affected by grading or density but are The correlations recorded in Figures 6.28-6.30 make sense in relation
influenced by the surface friction characteristics of the aggregate parti-
cles. This is illustrated in Figure 6.28 for 14 different materials,
including various limestones, a granite, steel slag, crushed concrete,
.§
õ
_g 6 oSlag
_,,,,,
íi,
a, -~ /;y
~
-ºu 5 oAsh /
~
"O
~ 40
OI
e
o
•• ...
.,.,,,,.✓•
/
li)
li)

~
.e
g>
e
4

3
•
•
/~A
/
/
•
,,,,,,._/

.,._._.,,... > •
e
o
:e:E
-· ----- .
30 ~ 2 ,....... •
• "iii •- -
a,
u
.g::,
~
• > 1 •
1./l 200 100 200 300 400 500 o 200 400 600 800 1000
Resilient Young's Modulus (MPa) No. of cycles per 1°/o plastic strain at 10 cycles

Figure 6.28 Relationship between resilient modulus and surface friction angle for granular Figure 6.29 Influence of visible roughness on plastic strain development in granular
materiais. materiais.
286 CYCLIC LOADING OF SOILS PAVEMENT AND RAILTRACK FOUNDATIONS 287

~-~
ou
·º
e 8
"O -
C; 10
e 12

•
.,........ -----. ---
,,<
58,------,--,----~--~--~----

56
Oº
\ +
+
x
Orientoted f loky
Rondem floky
-
_g 8 ~✓- • Angle of orientotion v Groding 1
5, ::l
C
o e
õ~
CII 6
. '- /
/
~
Ó>
a,

;.
54
o
o
"'
o
Groding 2
Groding 3
Groding 4

Eª
:::,
Vl CII
J5
·;;;
">
4

2 ,.
I ••
1 .,·u
e
_g
1/1
"iii
52
'v
X

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~
50
o 5 10 15 20 O>
e X
Ratio of vertical to horizontal stress at failure .§
a,
.e
Figure 6.30 Influence of angularity and roughness on shear strength of granular material. 1/1 48
õ
~
O>
e 46
<(
to the sizes of strains involved for each of the mechanical properties
considered. The small strains (less than 0.01 % ) involved in resilient
44 65° o
behaviour are influenced by friction between particles which may be +
described as their microtexture. The larger, plastic, strains depend on o
macrotexture which is reflected in the visible roughness classification. 42 'v

Even bigger strains are involved at failure when particle shape becomes
important as well as macrotexture, as the material mobilises interlock
and friction to resist externai load.
Some effects of particle shape and size on the strength of railway
ballast were reported by Selig and Roner (1987). Constant confining
pressure drained triaxial tests were performed on specimens of durable
railroad ballast with the gradation shown in Table 6.2. The particles
were essentially equidimensional. ln addition, specimens were con-
structed of flaky particles (thickness less than 0.6 of the width) oriented
randomly and with their flat surfaces at Oº, 45º and 65º from the
horizontal. The resulting strength, defined in terms of angle of shearing
resistance ( cp'), is shown in Figure 6.31 to be a function of initial void
ratio and independent of gradation for the equidimensional particles.
The strength parameter for the flaky specimens, to grading 1 (Table
6.2), varied significantly above and below that of the equidimensional
particles, depending on flaky particle orientation.
Table 6.2 Gradings used for triaxial tests on balias!.
40'-----'-----'-----'----'-----''---....L---'
0-6 0-65 0-7 0-75 0-8 0-85 0-9 0-95
lnitiol void rotio, e0
Figure 6.31 Effect of initial void ratio on angle of internai friction of balias!.
The required hydraulic characteristics depend on the climate in which
the pavement is to be constructed. Under wet conditions, it is desirable
to have high permeability to allow drainage should water enter the layer
and to reduce suction so as to minimise retention or attraction of water.
This prevents positive pore pressure and reduced effective stress from
developing and impairing mechanical properties. Conversely, in dry
climates, where saturated conditions are unlikely to occur, low permeab-
ility and high suction potential are desirable. This will lead to increased
effective stress and better mechanical properties. Figure 6.32 shows, for
a dolomitic limestone, that permeability and the retained degree of
saturation are strongly affected by aggregate grading. The permeability
measurements in Figure 6.32 were obtained by passing water through a
75-mm-diameter cylindrical specimen. The grading parameter ( n) is

r
Grading no. Parti ele size (mm) taken from the grading curve equation:
1 13-38
2 29-38 p = 100(~ (6.27)
3 19-29
4 13-19
in which P is the percentage passing a sieve of diameter d and D is the
288 CYCLIC LOADING OF SOILS PAVEMENT AND RAILTRACK FOUNDATIONS 289

degree of compaction of the fine particles in the coarse ballast voids.

These values are consistent with the values given in Figure 6.32. By
• Heavily compacted means of seepage analysis, Parsons estimated the steady-state rainfall
e " Lightly compacted rate w:iich could be drained by a 300-mm-thick ballast layer without
E o Uncompacted
e ao becomm~. saturated. T~~ values range from a high of 150 mm/h for a
.a permeab1hty of 50 x 10 m/s to a low of 1.5 mm/h for a permeability of
51
õ 60 3 x 10- 4 m/s and 0.03 mm/h for a permeability of 3 x 10- 6 m/s. This
~ matter i_s further d~scussed by Thom and Brown (1987) and Roy (1981),
• Heovily compacted i 40
who pomt to the madequate drainage capacities of some continuously
" Lightly compocted E
o Uncompacted
::,
graded materiais for road pavements.
~ 20
::, Figure 6.43, taken from Freeme and Servas (1985), shows the results
,o·7 OOfil [õillJ 3 0 illIBm of full-scale wheel tracking tests on various granular materiais of
-25 -35 .5 -7 1 2 5 -25 -35 .5 -7 1 2 5
Grading parameter n Grad ing parameter n
different qualities (Gl to G4) according to the South African standards
(NITRR, 1980) and the criticai influence of major water ingress. Failure
(a) Permeability (b) Equilibrium degree of saturation
conditions are precipitated when water is allowed to enter the granular
Figure 6.32 Influence of grading on permeability and equilibrium degree of saturation for a layer in quantity, but the better quality material (Gl, G2) is less
crushed limestone. • 1
influenced than the poorer (G3, G4). Subsequent drainage can stabilise
the situation. ln this context, good-quality material consists of dense
graded crushed rock compacted to a very high density and containing no
maximum particle size. A much more representative test is that prop-
plastic fines, while the poorest material (G4) is a natural gravei.
osed by Jones and Jones (1989) shown in Figure 6.33. This involves a
Another example of the dangerous influences of water ingress is
larger sample 300 mm thick contained in a rectangular box (1 x 0.3 m)
demonstrated in Figure 6.35, which relates to continuously graded
under a low hydraulic gradient simulative of that occurring in the
wet-mix macadam limestone used in the UK for a road base. The
pavement. They reported higher permeabilities than those shown in
material was placed on site wetter than the optimum water content and
Figure 6.32, but these data are indicative of the influence of grading.
subjected to a high compactive effort using a vibrating roller. The result
Parsons (1990) conducted falling head permeability tests on railroad
of this was that conditions very dose to saturation resulted. This
ballast ranging from clean (particle sizes between 10 and 64 mm) to
produced a layer with low resilient modulus and poor rut resistance. The
highly fouled (clean ballast with voids completely filled with finer
low stiffness made compaction of the asphalt surfacing difficult and
particles including as much as 17% by weight less than 0.074 mm). The
permitted excessive flexure under early trafficking, thus precipitating
corresponding permeabilities ranged from a high of about 5 x 10-2 m/s
to a low in the range 3 x 10- 4 to 3 X 10- 6 m/s depending upon the

ô ®
TI
ili measuring
cylinder
No. of load applications

Figure 6.34 Influence of water on permanent strain development in pavements with

Figure 6.33 Permeability test for granular materiais. granular bases of varying quality (Gl to G4).
290 CYCLIC LOADING OF SOILS PAVEMENT AND RAILTRACK FOUNDATIONS 291

Actuotor with
• lnsitu stote ot time of Servo-volve
2500 construction

Pressure Hydroulic
supply
cylinder
Actuotor with
Servo-volve Lood cell on
2400 looding rod
Hydroulic - .
supply .,._
Trioxial cell

Pressure
Electronic sensor
?: contrai
-~ 2300 system
"O

e':
o
Figure 6.36 Repeated load triaxial apparatus for granular materiais.

geotechnical design problems involving cyclic loading such as offshore

2200 structures, machine foundations and earthquake loading.
For the determination of resilient properties, small deformations must
be accurately measured, and this can best be done by use of instrumen-
tation attached directly to the sample so as to eliminate end-effects. An
appropriate technique for granular materiais is illustrated in Figure 6.37
2100•--I----------'-------'--------'------~~ (Boyce and Brown, 1976) and similar arrangements are described by
4 5 6 7 Brown et al. (1980) for clays. To evaluate plastic strain accumulation, it
Woter content (°lo)

Figure 6.35 Dry density-water content relationships for a crushed limestone base.

failure within a few months of the road being opened. This situation has
arisen on a number of UK sites and led to the banning of unbound
aggregate bases for heavily trafficked roads. However, the problem is
common to ali roads and emphasises the need for a proper understand-
ing of the interactions between compactive effort and water content. If
. -1 ...__ Epoxy resin
strain ring
site compactive effort is likely to exceed that in the laboratory, it is 300mm

essential that the material be placed dry of optimum so that an 1

1
lletoil oi locotion
increased density can be achieved without the danger of saturation. stucls

6.4.6 Laboratory testing Rod ottoched

to locatton stud

The repeated load triaxial test is likely to prove most useful for
characterising soils and granular materiais in a manner conducive to the
analytical treatment of pavement design. This apparatus, illustrated in
Figure 6.36, has long been used as a research tool but has also found its Figure 6.37 'On-sample' instrumentation to measure deformation in triaxial test on granu-
way into practice not only in pavement engineering but also for lar materiais.
292 CYCLIC LOADING OF SOILS PAVEMENT AND RAIL TRACK FOUNDATIONS 293

is adequate to measure axial deformations outside the triaxial cell in the
manner adopted conventionally for monotonic load testing.
The repeated loading facility requires some form of actuator. Expens-
ive servohydraulic systems are best but quite adequate results can be
obtained from use of pneumatics. Figure 6.38 shows a simple universal
load frame with a pneumatic actuator controlled by an electronic
computerised system that can also accommodate the acquisition of data
and present it in a 'user-friendly' way.
Sweere (1990) has demonstrated, for granular materiais, that adequate
resilient characteristics can be obtained by use of repeated static loading
in the triaxial test. This arises because resilient properties of granular
materiais are not frequency-dependent over the range of interest for
pavement design (up to 10 Hz). Consequently, use of a conventional
triaxial loading frame to load and unload a specimen repeatedly will
yield resilient strains which can adequately define the non-linear resilient
properties of granular materiais. Figure 6.39 from Sweere (1990) shows
Regulator
comparisons between results from such a test and that from a sophisti-
cated servohydraulic repeated load apparatus, indicating good agree-
ment.
Thom and Brown (1988) have proposed a programme for the routine
testing of granular materiais to determine resilient and plastic strain
characteristics. This allows the constants for the resilient model given by
eqns (6.20) and (6.21) to be determined. A set of 20 repeated stress
paths (Figure 6.40) is suggested. Nineteen of these deal with resilient
strain and have peak stresses below the threshold for plastic strain
development (see section 6.4.3). The twentieth stress path, which is
used last, investigates the accumulation of plastic strain under repeated
loading. Finally, unless premature failure has occurred, the specimen
can be brought to failure under monotonic loading conditions to
determine its shear strength.
The stress paths for resilient strain each involve between 10 and 20
load cycles, which usually proves adequate for gathering data. Plastic
strain tests are more open-ended. Useful data can be obtained by
applying 10 4 cycles, but a clearer picture will emerge if tests are
continued for 10 5 cycles. A loading frequency of 1 Hz is convenient for

- Air
pressure both forms of testing.
The specimen size for granular materiais should be at least 200 mm
diameter for maximum particle sizes of 50 mm or more as in railroad
ballast, 150 mm diameter for maximum particle sizes up to 40 mm, while
100 mm diameter is adequate for material up to 20 mm diameter. Clays

Load
cell Ers = -10-9 • 0-98 Er

ti 400
~

Sample ~
]; 300

~
~
200
Digital :gu
interface 1ií
E
e
D -1!! 100
w

100 200 300 400 500

/ Er from c.~lic load tests ( MPo)

Figure 6.39 Comparison of resilient modulus values from cyclic load and static repeated
Figure 6.38 Pneumatic test apparatus for repeated loading. Ioad triaxial tests.
294 CYCLIC LOADING OF SOILS PAVEMENT AND RAIL TRACK FOUNDATIONS 295

new pavements and the structural evaluation of existing ones. Various

/ stress paths for resilient strain testing
techniques are being developed for this with a view to the introduction
f Stress path for plastic strain testing of an end-product performance-related specification for the material in
~
situ. This would relate to the adequacy of the pavement foundation to
carry construction traffic and provide a satisfactory platform for paving
and compacting an asphalt or concrete base above. It would also relate
d!_ 200
-"
I
, to the potential long-term role of the layer when construction is
complete and traffic loading is applied. One of the maio problems to be
I
I
I considered in field testing is that granular materials occur in layers so
I
I that properties cannot always be measured without the influence of
...
_g I
I
adjacent layers.
o I
-~ 100 I
I Research to date indicates that some form of pulse loading applied to
o
a circular plate with measurement of the resulting displacement is most
suitable for evaluating resilient characteristics. Static loading may not be
adequate, since it allows drainage to take place when granular materials
are at or near saturation. Drainage results in reduced pore pressures and
o increased effective stresses, so that the measured properties under static
o 100 200 conditions will be superior to those under pulse or moving wheel loading
Meon normal effective stress (kPa)
which is too fast for drainage to occur. The static test is also time-con-
Figure 6.40 Proposed stress paths for characterisation of granular materiais. suming to perform.
The test envisaged will, in principle, be similar to that applied by a
should be tested in 75- or 100-mm-diameter specimens since smaller falling weight deflectometer (FWD) but less sophisticated and more like
ones make it more difficult to use 'on-sample' instrumentation and yield a 'dynamic' plate loading test. However, the FWD can be used to
less consistent results. evaluate resilient properties of granular layers (Thom and Brown, 1988)
Unconfined tests can be carried out on clays with adequate suction but continuing research is needed to improve the data interpretation.
levels and, for dry granular materials, an interna! vacuum may be used ln South Africa, reliable results have been obtained from use of the
in lieu of externa! confining stress. ln both these situations the triaxial dynamic cone penetrometer (DCP) for evaluation of pavements with
cell can be dispensed with and on-sample instrumentation becomes granular bases (Kleyn and Savage, 1982). While the dynamic plate
easier to operate. loading test essentially measures a resilient parameter, the DCP is
Adequate data can be obtained by cycling the deviator stress while concerned with shear strength and its results should correlate more
the confining stress remains constant. However, the stress paths pro- closely with rutting potential.
posed by Thom and Brown (1988) envisage a capability to cycle
confining stress too so that adequate data can be obtained for the
volumetric strain model (eqn 6.20). This may be done manually with the 6.5 Methods of analysis
aid of a triaxial cell. The stress path for plastic strain development
involves a constant confining stress of 50 kPa, considered to be a 6.5.1 Finite element
representative value, which could be applied by internal vacuum if
necessary. The detailed non-linear resilient models for soils and granular materials
outlined in sections 6.3 and 6.4 can best be applied to pavement
structural analysis using the finite element method. This has been done
6. 4. 7 Field testing by various research workers, of which the efforts by Duncan et al.
(1968), Raad and Figueroa (1980), Barksdale et al. (1982), Brown and
The ability to test a compacted layer of granular material in the field in Pappin (1981), Jouve et al. (1987) and Sweere et al. (1987) are of most
order to determine its mechanical properties is highly desirable for both significance.
296 CYCLIC LOADING OF SOILS
The 'contour model' can be used in a secant modulus approach such
as that described by Brown and Pappin (1981). The essential stages of
this method of analysis and those like it are:
(i) Determine the overburden stresses on each element. This involves
assuming a K O value to calculate the horizontal stress from the vertical
stress. ln the absence of better information, K O may be taken as unity
for granular materiais. However, Selig (1987) has indicated higher
values for railway ballast as a result of residual stresses produced by
load cycling, and this may be applicable to other granular materiais. For
soils, K 0 will depend on the stress history (see section 6.3.1).
(ii) Determine resilient shear and bulk moduli ( G and K) for the
overburden stress conditions and compute the resulting resilient strains.
(iii) Apply the wheel load in increments (typically 10) with appropri-
ate values of G and K at each stage based on the stress conditions.
(iv) Once the full load has been applied, an iterative technique may
be used to converge on a solution.
6.5.2 Layered systems
For routine design purposes, most pavement analysis relies on elastic
analysis. This approach is justified in part by the observation that under
any individual load cycle the plastic strain is usually very small com-
pared with the elastic strain. Since finite element analysis is expensive,
the structure is usually represented as a linear elastic layered system.
This approach may be modified to allow the non-linear properties of
soils and granular materiais to be catered for in an approximate way.
The procedure is as follows:
(i) Subdivide the granular layer(s) and the subgrade into fictitious
sublayers.
(ii) Calculate the overburden stresses at the centre of each layer as
for the finite element analysis.
(iii) Using stress-dependent resilient Young's modulus (E) and Pois-
son's ratio ( v), determine appropriate values for each layer based on the
overburden stresses.
(iv) Compute the load-induced stresses in an iterative manner updat-
ing E and v at each iteration based on the computed stresses.
Suitable layered system analysis programs have been produced by the
Shell and Chevron Oil Companies and are known as BISAR and ELSYM 5
respectively. These may be run on microcomputers (Whiteoak, 1990).
For analysis of rail track, the computer program GEOTRACK may be used
(Chang et al., 1980).
PAVEMENT ANO RAIL TRACK FOUNDATIONS 297
6.5.3 Permanent deformation
The methods of analysis outlined in sections 6.5.1 and 6.5.2 are only
concerned with resilient strains and displacements. The calculation of
plastic strains and their summation to determine permanent deforma-
tions at the surface and, hence, rut profiles is much more complex.
The first problem is the lack of appropriate constitutive equations in
the form of relationships between applied stress and the resulting plastic
strain for given numbers of load applications (see sections 6.3.3 and
6.4.3). However, if such data were available from detailed laboratory
testing, the computation of permanent deformations in situ can be
pursued using either finite element analysis or the approximate layered
systems approach. While finite element techniques offer the possibility
for comprehensive analysis in the manner often used in geotechnical
problems, an approximate approach is also of interest.
The problem for pavements is essentially one of plane strain, since the
strains causing rutting develop in the transverse direction, no net strains
accumulating longitudinally. For rail track the wheel loading is trans-
mitted vertically to the granular layers at discrete locations through
sleeper (tie) bearing areas. Thus, strain occurs in the transverse and
longitudinal directions as well as vertically. Stresses may be computed
for each element using the approach outlined in section 6.5.1. For a
given number of load applications, these stresses will cause certain
plastic shear and volumetric strains. The vertical component on each
element can be computed and, by summing vertically through the
structure, the surface deformation can be determined.
Using the layered system approach and the elastic analysis described
in section 6.5.2, it is possible to estimate plastic strains at layer centres
from the computed stresses using the results of laboratory testing.
Summation of the vertical plastic strains with depth at various radial
positions will determine the surface profile. This approach for rail track
has been illustrated by Selig and Alva-Hurtado (1982) and Stewart and
Selig (1982), who used it to estimate rail settlement caused by traio
loading.
6.6 Applications to design
6.6.1 Pavements
This section endeavours to summarise those techniques which may be
considered implementable for design of a pavement foundation.
The principal design criterion is wheel track rutting under construction
298 CYCLIC LOADING OF SOILS
traffic. Such rutting will result from the accumulation of plastic strains in
the structure to which both the granular layer and the soil may
contribute. A maximum value of 40 mm has been suggested (Powell et
al., 1984). Since each material has different mechanical properties, the
design approach should ensure that stress conditions are such that high
plastic strains will not result under the relatively limited number of load
applications involved (under 1000). This will also ensure that local shear
failure, involving higher stresses, is also prevented.
ln considering the long-term role of the foundation, resilient
characteristics are of most importance, since these will influence the
tensile stresses induced in the upper bound layers. The concept of a site
test, as discussed in section 6.4. 7, is attractive in this context.
The principal material information needed for design may be summar-
ised as follows:
(1) For the subgrade:
(a) Atterberg limits and soil dassification,
(b) Stress history, estimate of overconsolidation ratio,
(c) Water table levei at time of construction, at equilibrium, and
worst case during pavement life,
(d) Angle of shearing resistance with respect to effective stresses
( <P'),
(e) Resilient modulus and plastic strain characteristics from re-
peated load triaxial tests or estimated from published data.
(2) For the granular layers:
(a) Grading curve,
(b) Surface friction value,
(c) Roughness and shape dassification for partides,
(d) Permeability at anticipated site density,
(e) Resilient modulus and plastic strain characteristics at site
density,
(f) Peak angle of shearing resistance with respect to effective
stresses,
(g) Partide durability.
The design computations for short-term loading on the foundation
should involve structural analysis of various thicknesses of granular layer
over the soil to determine the stress distribution. Stresses at formation
levei in the soil dose to wheel loading should not exceed those likely to
cause significant permanent strains. Hence, the peak deviator stress at
the effective stress levei due to overburden should not exceed the
estimated yield stress. The review in section 6.3.3 indicated that stress
probing beyond yield may be safe, but for design purposes the current
yield stress should not be exceeded.
The stresses applied to the granular layer are dictated by the wheel
PA VEMENT AND RAIL TRACK FOUNDATIONS 299
load and tyre characteristics of the trucks and, hence, are outside the
control of the designer. Computation of stresses dose to the surface of a
granular layer near the wheel load is difficult. However, as techniques
evolve to achieve this more reliably, it will be possible to compare in
situ peak stresses with the threshold for development of plastic strains
based on laboratory testing. It is likely that dose to the wheel load
edges, where shear stresses are high and effective stresses low, large
stress ratios will develop, which probe dose to failure. It is important to
assess the extent of this zone since, if it is too large, then serious rutting
may develop.
Where a choice of granular materiais is available, then the partide
characteristics discussed in section 6.4.5 may be used to assist initial
selection. Rutting may be minimised by ensuring that the granular layer
is compacted to a high density and that excessive water is prevented
from accumulating in it. These points can be dealt with in the specifica-
tions and the drainage design.
Figure 6.41 shows a proposed pavement cross-section which incorpor-
ates the main design features that have emerged from research and
practice. Building the granular layer from two materiais with a lower,
open-graded aggregate and an upper dense material achieves good
drainage and maximum rutting resistance. It is important that both
layers are connected to the side drain so that water can escape. Equally,
it is vital that the drain operates effectively, since any back-up of water
could feed into the granular layers causing rapid deterioration. The
depth of the French drain will dictate the water table position in the
long term. This should be such as to ensure it does not rise doser than
1 m below formation levei. This will keep the soil at formation under
negative pore pressure, thus maximising the effective stress and the
associated mechanical properties.
The use of a lower granular layer of high permeability to facilitate
drainage of water both from the soil and from the dense layer above is
used in practice quite widely. Since elastic stiffness is not unduly
affected by aggregate grading, the load-spreading ability of the overall
granular platform will not be significantly affected. The drainage layer
will have less satisfactory plastic strain characteristics than the dense
layer but, since it is lower in the construction, this is unlikely to reduce
the overall rutting potential of the foundation.
Figure 6.41 indicates where geosynthetics may be most effectively
used. At formation levei, a geotextile can act as a separator preventing
mixing of the granular material and soil. While this can be achieved to
some degree with a non-woven geotextile, much better results are likely
from non-woven needle-punched materiais combined with a high-tensile
polymer grid. The grid, placed above the geotextile, will lock into the
granular material and prevent the aggregate movement under wheel
300 CYCLIC LOADING OF SOILS PAVEMENT AND RAILTRACK FOUNDATIONS 301

Kerb the coarse ballast and the fine subgrade. This type of material will
•a•.•.I"'\...,..
o C) ':--º rapidly stabilise under traffic loading if it is drained and placed on a
1 Aspholt or Concrete
Single' stable subgrade. Geotextiles are often considered as a substitute for a
1 gran. •~..__ _ _ _ _ _ _ _ _ _ __
sized proper sub-ballast layer, but this is generally an unsatisfactory altemat-
-Geogrid for
side •..,__
1 drain
~
- _
- _
- _
Dense
__ groded
_ _ sub-base
_ _ _-_-_ - reinforcement ive. They will not provide much benefit in terms of stress reduction to
<) • the subgrade, nor will they prevent clay and silt particles from pumping
1 o•o· ~ô Open graded drainage layer
into the ballast (Byme, 1989). The main benefit of geotextiles as a
• ~<Jô •01---------------
1 ,a• .o•" ' o r - - - - - - - - - -~ separator occurs when the layer beneath the geotextile contains substan-
10 0
·ô
•o
L
Clay subgrade
.
--.__Geogrid over
geotextile for tial fine sand or silty sand that would otherwise migrate up into the
-..;: - Geotext1le os seporotion
seporotor / filter ballast voids, particularly when saturated. When the layer serving as
French droin sub-ballast is an old roadbed layer with particles that continually
( depth d ictated by degrade under traffic, use of a geotextile between the ballast and the
woter toble)
sub-ballast can extend the ballast life, perhaps more economically than
Figure 6.41 Cross-section of idealised pavement foundation.
removing and replacing the old roadbed layer.
Ballast grading and particle characteristics are generally prescribed by
loading which causes pumping of fines up into the layer. The geotextile the railroad agency based on past experience. Generally, uniformly
acts as a separator and filter. It is not possible to prevent clay size graded, coarse, angular particles are used. The main variables are
particles from penetrating the geotextile but only to retard the pumping. durability under repeated load and environmental factors. The choice of
With good drainage the amount of clay infiltration may be small and the rock type is often determined by cost of transportation from the quarry
effect of such concentrations in an open-textured layer will not be to the track site. Another variable is depth of ballast below the sleeper
serious. Additional reinforcement of the layer can be obtained by ( tie). The main considerations here are to provide sufficient depth for
including a further layer of geogrid within the granular layer following maintenance tamping and adequate void space to accommodate fine
the recommendations of Chan et ai. (1989). particles, thus ensuring an adequate life for the ballast. ln practice, a
range of 200-300 mm is appropriate. The remaining required depth to
6.6.2 Rail track subgrade is more suitably provided by the sub-ballast.
The principal material information needed for design of track sub-
The principal design criterion for rail track is limiting the differential structure is similar to that summarised for pavements. lnformation on
settlement caused by repeated train loading. Allowable design values permanent strain under repeated load is useful for comparing the
vary widely with required train speed and individual railroad mainten- relative merits of altemative materiais even if a more comprehensive
ance policy. Because design life of track will involve many millions of analysis of track settlement is not attempted. Resilient modulus values
load cycles, even very small plastic increments per cycle can eventually of the layer materiais are needed for use in elastic layer models to
lead to a large settlement. The total settlement will result from strain in calculate track stiffness (termed track modulus, u) and to calculate layer
the ballast, sub-ballast and subgrade layers. stresses. The latter are used to estimate plastic strains and to determine
Because the subgrade is difficult to repair if it causes major mainten- the granular layer depth required to protect the subgrade.
ance problems, care should be taken, initially, to ensure proper drainage Generally, a higher track stiffness is considered better than a lower
and to provide sufficient depth of overlying granular layers to keep the stiffness. Among the benefits of a higher stiffness are reduced energy for
subgrade stress levei low enough to prevent accumulation of excessive pulling trains and reduced rate of ballast wear. Furthermore, a very low
subgrade deformation under traffic load. The altematives to proper stiffness is symptomatic of inferior track superstructure or substructure.
subgrade design are excessively repeated readjustment of track However, too high a stiffness may also be undesirable because it can
geometry, stabilisation of subgrade in place, or replacement of the increase the deterioration rate of track and vehicle components. Guide-
upper subgrade. Stabilisation is not always effective and replacement is lines for optimum track stiffness still need to be established.
very expensive. Figure 6.42 shows a desirable track cross-section providing the
The sub-ballast layer must be basically of sand and gravei composition characteristics discussed above. Although geotextiles are not shown
with durable particles and a gradation to serve as a separator between beneath the track, for reasons indicated, geogrid reinforcing elements in
302 CYCLIC LOADING OF SOILS
Sleeper ( tie)
Bollost
Subbollost
Subgrode
French
droin
Figure 6.42 Cross-section of idealised track foundation.
the sub-ballast may be beneficial in reducing subgrade deformation, as a
supplement to good drainage and adequate granular layer depth. The
French drain is sealed at the top if drainage of surface water is good, or
is filled with granular material if surface drainage is not adequate.
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PAVEMENT AND RAIL TRACK FOUNDATIONS 303
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Chan, F. W. K. (1990) Permanent deformation resistance of granular layers in pavements.
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Chang, C. S., Adegoke, C. W. and Selig, E. T. (1980) GEOTRACK model for railroad track
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Croney, D. (1977) The Design and Performance of Road Pavements. HMSO, London,
170-172.
Duncan, J. M., Monismith, C. L. and Wilson, E. L. (1968) Finite element analysis of
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Freeme, C. R. and Servas, V. (1985) Advances in pavement design and rehabilitation.
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Hay, W. W. (1982) Railroad Engineering, 2nd ed. John Wiley & Sons, Chichester.
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University of Kentucky, Lexington, KY, USA.
Ioannides, A. M. (1991) Analytical procedures for concrete pavements. ln: Precast
Concrete Raft Units, ed. Buli, J. W. Blackie, Glasgow, 18-36.
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304 CYCLIC LOADING OF SOILS PAVEMENT AND RAILTRACK FOUNDATIONS 305

Kleyn, E. G. and Savage, P. F. (1982) The application of the pavement DCP to determine Sweere, G. T. H. (1990) Unbound granular bases for roads. Doctoral dissertation, Delft
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to the design of unpaved roads. Ground Eng. Part 1 22(3): 25-29, and Part 2 22(9): Thom, N. H. and Brown, S. F. (1988) Toe effect of grading and density on the mechanical
37-42. properties of a crushed dolomitic limestone. Proc. Aust. Road. Res. Board 14(7):
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Bulletin 692, Vol. 84. American Railway Engineering Association, 207-239. Butterworths, London, 130-142.
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Pappin, J. W. (1980) Characteristics of a granular material for pavement analysis. PhD ers. Highways and Transp. 37(8): 31-35.
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Parsons, Brian K. (1990) Hydraulic conductivity of railroad balias! and track substructure
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Pell, P. S. (1973) Characterization of fatigue behaviour. Special Report 140, Transportation
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design of bituminous roads. TRRL Report LR 1132.
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Richards, B. G. and Gordon, R. (1972) Prediction and observation of the performance of
a flexible pavement on an expansive clay subgrade. Proceedings of the 3rd International
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crushed granular materiais. Transp. Res. Record 1131, Transportation Research Board,
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co 488-496.
 SEISMIC LOADING 307

which the term 'cyclic' is being used in this book, that is to say the
motions and the corresponding incremental forces repeatedly change in
7 Design of foundations and soil structures for direction. The earthquake loading experienced by a structure is not
imposed directly but is an inertial response to accelerations i~pos~d
seismic loading through the foundation. The event which creates an earthquake IS a shp
J. W. PAPPIN or series of slips between adjacent sections of the Earth's crust. The
repeated or cyclic nature of the loading arises from the dynamics of the
slipping elements of crust and the surrounding rock and soil deposits; a
single blow to any flexible system causes a series of waves in the
7 .1 Introduction material. Usually the loading pattern associated with an earthquake is
highly complex and unpredictable.
Earthquakes regularly cause engineering structures and communication The principal problems facing geotechnical earthquake engineers
links to fail or to become unserviceable. This often leads to substantial concern:
loss of life, severe economic damage and disruption as well as homeless-
(1) The analysis of records from past earthquakes and the predictions
ness, distress and the spread of disease. Engineers have therefore made
of the likely form of future events including the derivation of
significant efforts to understand the response of structures and other
design loading in the light of local ground conditions.
engineering systems to earthquake loading and to devise techniques for
(2) The performance of the structure under ~he design lo_ading i~clu~-
minimising the effect of seismic loading on structures.
ing an assessment of the effects of s01l structure mteract10n If
Geotechnical engineers have played an important role in this initiat-
appropriate.
ive. Some of the reasons for this are:
This chapter is divided into three parts: Part A presents a general
(i) The local soil conditions at the site under consideration may have
introduction to the nature and quantification of seismic loading. Part B
an important effect on the magnitude and form of the earthquake
deals with the general principles which must be considered when
loading. An example of this occurs at Mexico City which is built upon
designing for earthquake conditions. Part C examines a range of
high-plasticity, low-stiffness lake deposits which tend to amplify excita-
commonly encountered specific design situations in which the geotech-
tions with a frequency of about 0.5 Hz. ln the 1985 earthquake, for
nical engineer is required to account for seismic loading.
instance, significant damage was caused to buildings with a natural
frequency dose to this, even though the ground movements in the
surrounding region were quite small.
PART A-SEISMIC LOADING
(ii) Because of soil structure interaction effects, the soil immediately
below and adjacent to the foundation of any structure will contribute to
7 .2 The nature of seismic loading
the overall dynamic response of the structure. Accordingly the proper-
ties of the soil must be known in order to predict this overall response.
7.2.1 Earthquakes
The resonant frequency of a structure will, for instance, increase with an
increase in the stiffness of the soil below the foundation, or if the
7.2.1.1 The origin of earthquakes. Earthquakes originate from the
foundation depth is increased.
sudden readjustment of stress in the rocks underlying t~e Earth's sur~ace
(iii) Under certain conditions the soil may settle or liquefy during an
along some plane of weakness. The resulting change m the stress fiel_d
earthquake, causing significant foundation settlement or soil instability, and the direction of the movement along the plane of weakness IS
including the severing of drainage, water supplies and other services and
variable. The plane of weakness usually comprises a pre-existing fault
occasionally collapse of structures. An important recent example of this
system but inevitably very occasionally a new fault mu_st be cr~ated by
was the 1990 Philippines earthquake in which vast areas of land were
an earthquake. The actual location of the start of the shp zone_ IS known
observed to liquefy and many bridges failed as their foundations settled as the hypocentre and the plan location is referred to as the epicentre.
by large amounts because of liquefaction.
Earthquakes impart a cyclic motion to structures in the wider sense in 7.2.1.2 The location and magnitude distribution of earthquakes. 1t is
308 CYCLIC LOADING OF SOILS SEISMIC LOADING 309

now well understood that the Earth's crust is divided into large areas,
referred to as plates, which are moving relative to each other as shown
in Figure 7 .1. Records of earthquake locations show that earthquakes
are most frequent in regions where plates are colliding and noticeable
but less frequent in regions where plates are separating. There is also a
levei of background activity within the plates. These intraplate earth-
quakes are much less frequent and their cause is not well understood.
Maps showing the distributions and rates of earthquakes can be com-
piled in detail for any particular area. As expected it has been found
that there are many more small earthquakes than larger events and that
in various seismotectonic environments there is a maximum size of
earthquake that will occur.

,--._
i---
7.2.2 Quantifying earthquake size and seismic loading 00

°',.......,;
u
7.2.2.1 Earthquake magnitude. lt is useful to be able to compare ·ç
~
earthquake events and to have some quantitative scale of their 'size'. o
e,
However, it is difficult to ascribe a single number to an earthquake "O
-;:::
which uniquely defines its destructive capacity. Such capacity is princip- o
~
ally determined by the strain energy released during a seismic event, V

and scales of earthquake magnitude have been devised to quantify this.

Unfortunately, the energy release can only be measured indirectly. -"'
-B
o
o.
The first magnitude scale was defined by Richter in the mid-1930s in E
V
his own words as: 'The magnitude is taken as the logarithm of the 'õ,
maximum trace amplitude, expressed in microns, with which the -a
u
standard (Wood-Anderson) short period torsion seisometer would re- ·ao
üV
gister that shock at an epicentral distance of 100 kilometers.' (Richter, E--
1958). As the Wood-Anderson instrument cannot effectively measure ....
r-.:.,
earthquakes at distances greater than 1000 km (Dowrick, 1987) other
magnitude scales have developed, and a comprehensive discussion of
.
=
bll

them is given by Ambraseys (1990). lt is important to note that while 1 r.::

LLJ
the magnitude scales have different definitions and limitations they are 1-
in fact attempting to define a common scale. :5
o..
As mentioned above, the quantity which is at the heart of the
definition of earthquake magnitude is the strain energy release associ-
ated with it. The Richter scale provides at best a very crude estimate of
this quantity. One way which has recently been developed as a direct
measure of the energy released is the seismic moment ( M 0 ). This is
equal to:
M 0 = AôG (7.1)
where A is the area of the fault dislocation surface, ô is the average
displacement on that surface, and G is the shear modulus of the rock.
310 CYCLJC LOADING OF SOILS SEISMIC LOADING 311

Hanks and Kanamori (1968) have developed a moment magnitude relatively high-frequency loading, which may do little damage to build-
(Mm) scale defined as: ings or other structures. High velocities, on the other hand, often
(7.2) indicate high energy at fairly low frequencies in the range 0.5 to 10 Hz
which bounds the fundamental resonant frequencies of most engineered
This magnitude scale appears to correlate well with the original Richter structures.
scale and does not suffer the range limitations of most other scales. Figure 7 .2 shows acceleration, velocity and displacement time histories
Examination of eqn (7.2) shows that a unit increase in magnitude is for two recent earthquakes:
equivalent to about 30 times increase of the energy release, and two
units increase in magnitude is about 1000 times increase of the energy (a) The Mexico, 1985, earthquake recorded 107 km from the epicen-
release. tre.
(b) That at Nahanni, Canada recorded 7.5 km from the epicentre.
7.2.2.2 Quantifying ground motions. For engineers the motion an
earthquake causes in the ground adjacent to the structure is the most
important effect.
Analyses of instrument records from past earthquakes enable engine-
ers to predict the form of ground movement expected. Earthquakes
have very complex ground movement traces or time histories and
designers tend to abstract certain key pieces of information rather than
to try and understand the minute details of each record.
Although a time history trace appears to be fairly haphazard it can be
decomposed approximately into regular sine and cosine waveforms of
differing amplitudes and frequencies. Clearly a real earthquake trace
will contain a large range of frequencies, and by using a Fourier analysis
these may be identified. The frequency components of the loading are
important because all structures have frequencies, known as resonant
frequencies, at which they tend to resonate. If an earthquake wave-train
contains significant energy at a frequency dose to the resonant fre-
quency of a structure, large displacements and structural damage may
occur.
Further information which may be recovered from the time-displace-
ment records of the earthquake includes the ground velocity and
acceleration, which may be calculated from:

velocity (v) = ~ (= u') (7.3)

dt
d2u
acceleration (a) = - - ( = u ")
dt 2
Since seismic loading upon a structure is caused by the structure's
inertial response to the applied ground movement, it appears to follow
that it is the peak acceleration which is the most important parameter
(from Newton's second law, force= mu"). While this is true to some Time (secl
degree, the velocity is also an important quantity, perhaps more so than Figure7.2 Typical earthquake time histories. (From Muse, 1988). (a) Mexico, 1985,
the acceleration, since it gives a better indication of the energy transmis- magnitude 8.1 recorded at 107 km from the epicentre. (b) Nahanni, 1985, magnitude 6.9
sion to the structure. High accelerations are often associated with recorded at 7.5 km from the epicentre.
312 CYCLIC LOADING OF SOILS
The Nahanni earthquake was a magnitude (M,) 6.9 event, whereas the
Mexico earthquake was large, having a magnitude ( M ,) of 8.1. It can be
seen that the Mexico event continued for a much longer time and
contained many more cycles of load. It also had a much higher peak
velocity to peak acceleration ratio, which is an indication that the
frequency content was lower.
7.2.3 The nature of seismic loading experienced by structures.
Seismic loading differs from most other types of loading (static or cyclic)
in that the motion being applied to the structure or construction
originates, as far as the structure is concerned, from the structure's point
of support, normally the foundation. The seismic load is derived from
two principal sources, inertial and kinematic interactions, which are
discussed below. ln addition there is the long-term (static) load derived
from differential movements caused by the earthquakes. These static
loads are considered in section 7.6.
7.2.3.1 lnertial interaction. Consider a simple block founded on a soil
surface as shown in Figure 7.3(a) which experiences an earthquake in
which the surface moves in accordance with a time history as indicated.
If the block has no mass then the soil immediately under the block will
(a) horizontal
displacement
(b) free field
deformed shape
Figure 7 .3 Simplified foundation model illustrating ( a) inertial interaction and (b) kine-
matic interaction.
SEISMIC LOADING 313
experience no loading. If the block has mass m, however, then the
shear force exerted on the soil will equal ma 1 , where a1 is the
acceleration of the mass at time t. Therefore the cyclic stresses exerted
on the soil are directly related to the mass or inertia of the block. It can
readily be shown that the composition of the stresses, e.g. shear stress
and or normal stress, will also be a function of the height of the centre
of mass of the block which will affect the total moment force being
applied to the soil. This property of the mass and mass moment of
inertia of the block, to load the soil or foundation, is known as 'inertial
interaction'.
ln the situation described above it has been tacitly assumed that both
the block and the soil are infinitely stiff. ln a design situation these
assumptions are invalid and hence the stiffness of the soil and the
structure will affect the response because the motion of the block will
not be the sarne as that experienced by the soil at distance from the
block (the distant motion is referred to as the 'free field' motion). This
dynamic soil structure inertial interaction is discussed in section 7.6.5.
7.2.3.2 Kinematic interaction. The second form of dynamic interaction
between the ground and the structure it is supporting is 'kinematic
interaction'. This is illustrated in Figure 7 .3(b), which shows a 'free
field' earthquake motion which varies with distance along the surface. ln
this case the block, even if it has no mass, will induce stress on to the
soil as a result of the rigidity of the block.
PARTE-GENERAL PRINCIPLES IN DESIGNING FOR
EARTHQUAKES
7 .3 Input motions and structural response
7.3.1 The complexities of input motion and structural response
ln arder to render the design process tractable, the earthquake engineer
must simplify the system to be studied. The complex ground motions
observed in real earthquakes must be analysed, and a design loading
case which is at the sarne time realistic and simple enough to be solved
must be devised. Likewise, the very complicated dynamic response of
most real structures must be reduced to simple equations in arder to
enable the problem to be realistically assessed.
This section indicates how these two tasks may be undertaken.
lnitially it deals with how to characterise earthquake motion by the use
of response spectra and subsequently with how to choose a relevant
input motion for design.
314 CYCLIC LOADING OF SOILS
7.3.2 Response spectra
Most real structures have extremely complex dynamic responses. Des-
c_ribing their behaviour under a system of dynamic loading at a given
time would normally require an extremely large quantity of variables,
each representing the position of an element of that structure at the
time i? question. The number of individual quantities actually required
to defme the structure's mode of deformation under a general system of
loading is termed the degrees of freedom of that structure, and for real
structures there are usually an infinite number of degrees of freedom.
To explore how a structure will respond to an earthquake it is sensible
initially to consider the simplest dynamic structure, a system with only
one degree of freedom, shown in Figure 7.4. It consists of a mass ( m)
supported by a spring with a stiffness ( K) and a dashpot with a
coefficient ( C).
If the base of the spring is subjected to a series of harmonic motions
over a range of input frequencies, it will be noted that there is one
frequency which causes a very large movement of the mass. This
frequency is the resonant or natural frequency and corresponds to the
frequency at which the system would oscillate if displaced from its static
mass m.____ Um
stfffnessl-
k -
-
Single degree oi
freedom system
Ub
Excitation frequency
Naturol frequency
Figure 7 .4 Dynamic response of a single degree of freedom system to harmonic base
excitation.
SEISMIC LOADING 315
position and released without any externai loading. The natural fre-
quency w = ~ in radians per second and the corresponding
natural period is equal to 1/21rw seconds. Figure 7.4 shows the response
of the single degree of freedom system to an applied harmonic base
motion. It can be seen that when the input frequency equals the natural
frequency, the levei of res~e is very dependent on the damping ratio
(D= 0.5Cw/K = 0.5C/V Km). As can be seen, the greater the differ-
ence between the applied frequency and the natural frequency, the less
response the mass experiences.
It should be mentioned here that all structures have some 'damping'
so that if they are displaced and left to oscillate the amplitude of the
vibration will reduce with time. This damping is usually caused by
friction between elements of a structure.
Now consider how a single degree of freedom system will respond to
an earthquake. When the base of the system is subjected to an
earthquake motion the system mass will respond in some way. If the
system has a very high natural frequency (i.e. its mass is small compared
with its stiffness), the displacement of the system mass will follow the
imposed earthquake motion closely. ln such a case the peak acceleration
of the system mass will be very similar to the peak earthquake
acceleration. If the system has a very low natural frequency (i.e. its
mass is large compared with its stiffness), then the displacement of the
system mass will be very small and the accelerations it experiences will
also be very small. For systems in between these extremes, some
will cause amplification where the peak acceleration of the system mass will
be greater than the peak earthquake acceleration, while others will
cause attenuation.
Now consider an array of single degree of freedom systems (all with
the sarne damping ratio) arranged in order of their own natural period
(or frequency) subjected to an earthquake motion (see Figure 7.5). If
the peak acceleration of each system mass is recorded and then plotted
against its own natural period a response spectrum is created. A typical
example (for 5% damped system) is shown in Figure 7.6 and shows
amplification for periods less than 0.3 seconds and attenuation for
higher periods. An alternative method of plotting spectra is to record
the peak relative displacement (u, the displacement of the spring)
against natural frequency. By plotting this on a logarithmic scale, as
shown in Figure 7. 7, a tripartite plot showing relative displacement,
pseudo relative velocity and pseudo absolute acceleration can be
plotted, where pseudo relative velocity = wiui and pseudo absolute
acceleration = w/ ui. It can be demonstrated that for low leveis of
damping (less than 20%) pseudo absolute acceleration and absolute
acceleration are very similar. Consequently the low-period part of the
plot shows the peak acceleration of the input earthquake motion, and
316 CYCLIC LOADING OF SOILS SEISMIC LOADING 317

10 r,-----,.,----,------,,-~-----~~
."
u
e
0
1max 0amping 5'/,

:li-
~
0 2max
e
"
i .1,
1il Q4max
0 omox
d::: 1-0

Ti h T4
Structural period ~
(ai E

~,
,Ozmax
,
-).J
I
I
/
r,
>J
, -
0 3max

I
I
/
p
/-
Dt.max
.;!-
·o
..9
g!
"'
.?: 0-1
I
I I
1
1
I
º~1
e
"C
:::,
"'
"'
o...

lb 1

Figure 7 .5 Development of an absolute acceleration response spectrum. Note: similar

spectra can be drawn for peak velocity and displacement response, and for different leveis
of damping. (After Booth et ai., 1988.)

Fundamental period I secsl

- - - Nahanni 23/12/1985
- - - Mexico 19/9/1985

Figure 7.7 Tripartite plot of response spectra for Nahanni and Mexico earthquakes.

the high-period of the plot shows part the peak displacement of the
input earthquake motion.
Response spectra plots are very useful since, for a single degree of
freedom system, the peak forces experienced by that system, when
subjected to an earthquake, can be read off directly once the response
spectrum for the earthquake has been determined. For multiple degree
of freedom systems a modal analysis can be carried out in which the
whole system can be represented as a series of single degree of freedom
systems, each of which corresponds to a mode. Many reference works
have been written on this (e.g. Newmark and Hall, 1982) and, usually,
Period Isec) the first few longer period modes can be used to give a reasonable
Figure 7.6 Absolute acceleration response spectrum for Nahanni earthquake. estimate of the overall response; indeed sometimes only the principal
318 CYCLIC LOADING OF SOILS
mode need be considered. Because of this, response spectra contain
information on the dynamic forces that will be experienced by a
structure subjected to a particular earthquake motion. Response spectra
can therefore be considered as a signature of the earthquake, and in
many ways can be used to represent the earthquake motion because
they give an indication as to the earthquake frequency content and
amplitude. Response spectra of the Nahanni and Mexico earthquakes
shown in Figure 7.2 are reproduced in Figure 7.7. lt can be seen that
while the Nahanni record has a much higher peak acceleration, the
acceleration levels experienced by structures with fundamental periods
greater than 0.8 seconds are not significantly different.
A refinement to the response spectra is the generation of the
ductility-modified response spectrum. These procedures were developed
by Newmark and can be used to approximate the forces imposed on a
structure which can yield (yield enhances damping considerably) to some
extent during the earthquake motion. A comprehensive discussion of
ductility-modified response spectrum is given in Wakabayashi (1985).
7.3.3 Choice of input motion
7.3.3.1 Simplification of input motion. lt has already been seen that
the ground motion trace of a typical earthquake is extremely complex.
For design purposes, however, it is necessary to devise a simplified
pattern of earthquake motion in order both to study the dynamic
characteristics of the soil-structure system and to assess the performance
of the soil under the cyclic loading.
ln previous chapters on soil behaviour under cyclic loading in laborat-
ory tests it has been seen that the behaviour of soil subjected to
repeated cycles of the sarne load with a known frequency is reasonably
well understood. An earthquake, however, applies a very complex cyclic
loading. For assessing the effects of accumulation of permanent strain or
build-up in pore water pressure, however, it is generally convenient to
characterise the seismic loading as having an equivalent number of
cycles of load. Seed and ldriss (1982) have addressed this problem and
have produced an approximate relationship between earthquake mag-
nitude and equivalent number of cycles of load; this is reproduced in
Figure 7 .8. They have analysed the amplitude and equivalent number of
cycles and suggested that in general the stress amplitude may be taken
as 65% of the peak stress experienced during the earthquake. Clearly
this percentage will depend on many characteristics of both the earth-
quake and the applications and type of soil to which the equivalent
cycles are being applied. lt is, however, a useful framework in which to
consider the nature and effect of the earthquake motion.
SEISMIC LOADING 319
30
.
i
:z:
7
Magnitude
Figure 7.8 Number of significant cycles versus magnitude.
7.3.3.2 Design response spectra and input motion. The location of the
site plays a major part in the choice of input motion for design
purposes. As indicated in section 7.2.1, most earthquakes occur in the
vicinity of tectonic plate boundaries, and if a structure is to be designed
in these regions, much larger earthquake input motions are required
than if the structure is being designed for an area with low seismicity.
For any given location there are many more small earthquakes than
there are large earthquakes, and in various seismotectonic environments
there is a maximum magnitude ( M max) earthquake that is geotectonically
possible. To express activity rates of earthquakes it is conventional
practice to construct a Gutenburg-Richter type of recurrence plot as
shown in Figure 7. 9. This is a plot of the logarithm of the number of
earthquakes per year greater than any magnitude plotted against that
magnitude. This recurrence curve is generally a straight line at low
magnitudes and is asymptotic at the maximum magnitude (Mmax)-
Generally these plots are constructed using both historical and in-
strumentational records. Careful consideration of data completeness,
both temporal and spatial, is necessary during this process.
Earthquake magnitude may be expected to be greatest in the vicinity
of plate boundaries, reducing towards the central regions within plates.
Maximum values of magnitude, M max, of around 9 are usually assumed
for plate boundaries (Dowrick, 1987). ln intraplate regions M max values
are speculative, but recent work in the eastern United States has studied
large earthquakes around the world in intraplate areas this century and
has concluded that M max values of around 6-7 are reasonable (Copper-
smith et al., 1987).
From an understanding of rate and location of earthquake activity
320 CYCLIC LOADING OF SOILS SEISMIC LOADING 321

10
10000
'•._
:E
A . ....
..... ■ 1800 -198L
• 12L7 -198L
1000
~
.3
·;;;
f 01
'■

...•,
,
-
11 100
-<=
"i •.'a... i
t '
'• 1
.,
'•,.,
10
e,. l,l

~
g
=êlil 0-01 '\ \
\ -:(
o
\
\

.,
\
0-1

"' ...
\
À\
\
\
o.01 LJ._--"----'----'---'-...L.....l--'--'10,-------'-----'--'---'---'--'-~-::10=-o--~-~~~
0-001 1 Hypocontrol distance I km)
1
~
1 Figure 7.10 An attenuation law for peak ground acceleration (Toro and McGuire, 1987).
30 3-5 1,.0 L-5 5-0 5-5
Surfoce wove magnitude, Ms

Figure7.9 Magnitude recurrence plot. (After Menu et ai., 1985.)
near the site of interest, the next stage is to estimate earthquake ground
motion parameters that may result from these earthquakes. There are
many published attenuation relationships which relate ground motion
parameters to earthquake magnitude and epicentral distance. Some use
hypocentral distance which is the distance from the site to the source
including depth. Typical curves are shown in Figure 7.10 for peak
ground acceleration. There is always a large uncertainty associated with
these attenuation laws, but it has been observed that a lognormal
distribution for peak velocity or acceleration fits the data reasonably
well. Recently many researchers have published attenuation laws for
response spectral values at varying frequencies, e.g. Dahle et al. (1990)
for intraplate regions, Naumoski (1984) for eastern and southern
Europe, Boore and Atkinson (1987) and Toro and McGuire (1987) for
eastern USA, and Joyner and Boore (1982) for western USA. These
enable a response spectrum to be estimated at a site for any particular
earthquake of known distance and magnitude.
Probabilistic estimates of ground motions can be made by combining
the recurrence curve and source zone information with the attenuation
laws. Many computer programs have been developed for this purpose,
mostly based on the work published by Cornell in 1968. These enable
the calculation of response spectra which have a particular annual
frequency of being exceeded. Examples for a 500-year return period,
i.e. an annual frequency of 0.002, for the more seismic areas of eastern
and western USA and an average levei for the UK are shown in Figure
7.11. Uncertainty in the calculated ground motion can be estimated by
using the 'logic tree methodology'. This involves specifying discrete
values for each parameter (including source zones) and assigning weight-
ings to represent the likelihood that the value is correct (Coppersmith
and Youngs, 1986).
ln many countries, codes of practice exist which include a standard-
response spectral shape together with a zoning map which enables the
shape to be scaled. For example the US Building Code (UBC: 1988)
spectrum is shown in Figure 7 .11. The similarity between this and that
shown for the western US (also in Figure 7 .11) is clear. The N ational
Building Code of Canada (1985) is more elaborate than most codes in
that it also incorporates maps of both peak ground acceleration and
peak velocity. The code spectral shape is related to both peak accelera-
tion and peak velocity and has a different shape in areas dominated by
large (possibly distant) earthquakes to that for areas dominated by small
local earthquakes.
7.3.3.3 Site-specific effects. The response spectra considered above
have been derived for hard soil or rock sites. 1t is well establised
however (e.g. Seed and Idriss, 1969) that the local soil deposits can have
a significant effect on ground motion. The 1985 Mexico City earthquake
 SEISMIC LOADING 323
322 CYCLIC LOADING OF SOILS

1-0 . - - - - - - - , - - - - - - - - r - - - - - - 7

1-2 Oomping 5'/, Oomping 5'/,

1-0

Mexico City
0-8 Lake bed

e
" g
~ 0-6
~
~., 1 o.sl------+-------t-t-t---,
~
.
] O-~

0-2

1).1
Period 1sec)

Figure 7.11 Five-hundred-year return period response spectra.

0-1
Period Isec 1
was an extreme example of this effect with the deep, soft-clay, lake bed Figure 7 .12 Response spectra measured in the 1985 Mexico City earthquake. (From Booth
deposits under the city amplifying the input rock motion into almost a et al., 1986.)
pure sine wave within a period of about 2 seconds. The measured
response spectra for the lake bed compared with the surrounding rock
are shown in Figure 7 .12 and show the large energy concentrated at 2
seconds in the lake bed motion. Buildings which were sensitive to this

/
Soft to medium clays and sands
period, namely those between about 10 and 20 storeys high, were (soil type 31

...........
e:
generally very badly damaged, whereas buildings with lower or higher o
:;::, 3
natural periods experienced much less damage. oe: ~
(]) ,.,...__________
The US Building Code (UBC:1988) has a specific allowance for local ~
~
<ii
o
(]) o
soil deposits, and recommends the spectral shapes in Figure 7.13. ln -
~
<ti ", stiff clay soils
many instances of observed soil effects it has been possible to show that o -oe:
2 ',, (soil type 21
<ti ::, ', ,,
ca e
one-dimensional shear beam models representing the soil column overly- ~
Ol
t5 (])
,,
-.. ,,
ing the rock adequately predict the observed response. A variety of
computer programs are available for performing this analysis. SHAKE
8. -s
(j) o
1
Rock and stiff soi ls
------------
:ê
w (soil type 11
(Schnabel et al., 1982) is a frequency domain equivalent linear program
from Berkeley which uses the wave equation to reach a solution at each 0 L--Jo.---~,.~---1~.5:-----::-.2.o;;---;;2.~s--,.3.o
0
0 5
frequency being analysed and iterates until the soil properties match the Period, T ( secondsl
effective shear strain amplitude computed in each sublayer. SIREN,
Figure7.13 Normalised response spectra shapes. (From UBC, 1988.)
illustrated in Figure 7.14, a non-linear time domain program by the
324 CYCLIC LOADING OF SOILS SEISMIC LOADING 325

7 .4 Soil properties for seismic design

For a detailed and sophisticated design, a large range of soil properties

will need to be considered. ln this section, however, the situation in
which a fairly standard design is to be effected will be discussed. Five
main soil properties should be established, namely: bulk density; stiff-
ness; material damping; strength; and degradation (i.e. change in
strength, volume or pore pressure) due to cyclic loading.

7.4.1 Bulk density

Figure7.14 Diagrammatic illustration of SIREN.

The bulk density (p) affects the inertia of the soil under dynamic loading
and hence is an important quantity. ln practice it can usually be
determined with reasonable accuracy, varying from as low as 1250 kg/m 3
present author, enables the non-linear hysteretic stress-strain behaviour for Mexico City clay and up to about 2500 kg/m 3 for rock. Generally
of each sublayer to be explicitly modelled. This program uses finite clays are in the range of 1700-2100 kg/m 3 , and sands 1800-2100 kg/m 3 .
differences to solve the dynamic analyses. Both programs treat the soil
as a structure overlying the bedrock and calculate the dynamic response
7.4.2 Stiffness and material damping
of this soil-bedrock system.
Many studies have been carried out over the years to analyse the
Stiffness and damping are the properties which determine the dynamic
effects of soil deposits on design spectra (e.g. Heidebrecht et al., 1990,
responses of the soil-structure system under dynamic load. The stiffness
Henderson et al., 1990). The dominant soil amplification is at the
determines the natural frequency of the system and the response under
natural period ( T) of the soil deposits which can be computed from:
any given dynamic loading. Damping is a measure of the energy
H dissipation within the system during vibration. The higher the damping,
T=4I-' (7.4)
i vsi the higher the energy loss, and hence the lower the response of the
system to a given input motion. Stiffness and damping are treated
where H; is the thickness and V si the shear wave velocity of each layer i
together here because they are related as indicated below.
appropriate to the effective levei of strain experienced in that layer
The soil stiffness can basically be divided into two components, bulk
during the earthquake.
stiffness and shear stiffness. Bulk stiffness is primarily a function of
degree of saturation. For a saturated material the bulk stiffness is very
7.3.3.4 Choice of input time histories. The choice of input motion
high, approximately equal to the bulk modulus of water divided by the
suitable for the location and soil conditions relevant to the particular site
soil porosity. When there is any significant percentage of air in the soil,
will generally entail choosing a response spectrum from a code of
the bulk stiffness reduces rapidly.
practice which allows for local soil effects. Occasionally soil effects may
Typically shear modulus values have mainly been measured for cyclic
have to be considered explicitly if the site is very unusual or if the
stress paths which have uniform and constant shear stress amplitude ( r)
natural period of the structure is very high. ln certain circumstances a
and shear strain amplitude (y). The secant shear modulus, G" is then
time history analysis may be necessary for the design and then two
defined as the peak-to-peak shear modulus as illustrated in Figure 7.15.
choices are usually available depending on the country and actual code
The G s vs y relationship is usually represented graphically by a
of practice being used.
'backbone curve'. It must be noted that the secant shear modulus
(1) Choose a synthetic time history which has a response spectrum reduces as the shear strain amplitude increases. This is consistent with a
matching the code-required spectrum. material that exhibits a hysteretic type behaviour as illustrated in Figure
(2) Choose a range of real recorded time histories which, when 7.15. It is generally postulated (Pyke, 1979) that whenever there is stress
combined, envelope the response spectrum required by the code. reversai the stiffness reverts to the small-strain amplitude shear modulus
 326 CYCLJC LOADING OF SOILS SEISMIC LOADING 327

7.4.2.1 Sand. One of the few in-situ tests generally carried out in sand
is the standard penetration test (SPT), which gives a measure of the
blow count (N) for 300 mm penetration. Typical correlations between
Gs2_
1_ G 0 and blow count used in Japanese practice are G 0 = 7 N and
G 0 = 14.4 Nº· 68 (Imai and Tonouchi, 1982), but there is considerable
--;;;bOoe curve
scatter in the data. Seed and Idriss (1970) give an altemative method for
deriving G, (see Figure 7.16) with G, values related to a:U, the mean
effective stress and their K 2 value which is a function of relative density
B (Dr)- As can be seen the ratio G,/G 0 reduces from 1.0 at small strain
amplitudes to near O at large strain amplitudes.
Damping in sand has traditionally been considered as deriving from
both hysteretic and viscous sources. However, Bolton and Wilson (1989)
have shown that sands exhibit a purely hysteretic response when tested
Y2 "shear strain y in a resonant column apparatus. Their results indicate that the behavi-
our of sand to cyclic loading is frequency- or rate-independent and that
ali energy absorption can be demonstrated to originate from hysteretic
damping. This implies that the Gs/G 0 vs y relationship should be chosen
to be compatible with the observed damping.

80 ~ - - - - - - - - . - - - - - - , - - - - - - - - - - - , - - - - - - - - - ,

Figure 7.15 Stress-strain behaviour of soil in one-dimensional shear. G, is the secant shear
modulus. Hysteretic damping = energy absorbed/4ir strain energy; where the strain energy
= r:y/2; and the energy absorbed is given by the area of the hysteretic loop. Area A has
shear strain amplitude = y 1 ; area B has shear strain amplitude = y 2 .

G 0 • It follows that the shape of a reloading loop is completely specified

by the G, vs y relationship, with the reloading loop being the sarne
shape as, but twice the size of, the 'backbone curve'. These behaviour
characteristics are referred to as the Masing principles. Once the shape
of the loop is known then the hysteretic damping implied by the area of
the loop is also known.
Generally, the secant shear modulus is defined in terms of the
small-strain amplitude modulus G 0 and the variation of G,/G 0 with
shear strain amplitude. The G 0 value is very useful in that it is one of
the few soil stiffness parameters that can be measured directly in situ by
way of shear wave velocity (V,) testing which only involves very small DL _ _ _ _ __JL,__ _ _ _ ____!--:2------,~D--:-,--------::
10-4 ,0- 3 10-
shear amplitudes (G 0 = pV,2). Such tests are, however, often not Sheor stroin amplitude. Y ¼
performed and correlations for G 0 with other test results, Gs/G 0 vs y,
Figure7.16 Shear moduli for sands. The shear modulus, G,, i_s give':1 by G,_ = 220 K2
and damping ratios vs y are discussed in the following sections for a (a;,,)o.s kN/m2, a;,, being the mean effective stress. Dr 1s the sml relattve dens1ty. (After
variety of different materials. Seed and Idriss, 1970.)
328 CYCLIC LOADING OF SOILS SEISMIC LOADING 329

Seed et al. (1984) conclude that for sand the damping can be
represented purely as a function of shear strain amplitude, and Figure
7 .17 shows their recommended function and various results. Recent
work (Stokoe et al., 1986) has shown damping may be lower and the
lower envelope line may be more appropriate, as shown in Figure 7.17.
7.4.2.2 Clay. Clay materials exhibit stiffness and damping properties
similar to those of sand. Sun et al. (1988) have summarised recent
research in the shear stiffness properties of clays and have presented
various curves showing Gs/G 0 as a function of shear strain amplitude
and plasticity índex (PI). The results clearly show that at a given value
of shear strain amplitude the ratio Gs/G 0 is greater for soils with a high
PI.
lf Gs/G 0 vs y depends on PI, then it follows that the interna!
hysteretic damping vs y relationship should also be dependent on PI.
Results for damping in clays from various sources, however, indicate
that it not possible readily to distinguish the effect of changes in PI
between O and 50%, although the damping recorded for Mexico City
clay which has a PI of about 300% is very low, as expected (Booth et
al., 1986). As the PI value reduces to 0% it is likely that the material
damping will increase to the sarne as that for sand.
It is common to express clay stiffness parameters as a ratio of
undrained strength (cu)- Figure 7.18 shows relationships between Gs/cu
and shear strain amplitude for clays with a variety of values of PI and
overconsolidation ratio (OCR) values. It is evident that Gs/cu increases
with decreasing PI and to a lesser extent with decreasing OCR. Also
plotted in Figure 7 .18 is the limiting criterion for the shear stress not to
be greater than the undrained shear strength. This criterion appears to
represent a real bounding condition for clays with an OCR of greater
than 2, but there is ample evidence (e.g. Andersen et al., 1972) to
suggest that for clays with a low OCR the peak cyclic shear strength
may be significantly greater than the static undrained shear strength.
Weiler (1988) has summarised values of G 0/cu from various test
results on different types of clay. These tests were carried out using a
resonant column apparatus. He found significant dependence on the PI
value and, to a lesser extent, the OCR of the clay. Table 7.1 shows the
average value of G 0/cu he determined.
'
800 ' - - = - - - - - - l - - - - - - - - l < - - - - 1 - - - - - - - - - - j - - - - - - - + - - - - - l
PI = 40 '/, 0----0 Plastic clay} Koutsoflas & fischtr
PI= 20'/, x--x Silty clay 1980

28~------~------~------~-----~~

/
,,,,,,,,.. .... -
/

;! 16 1 - - - - - - - - - + - - Envtlopt oi oll rtsults

(afltr Sttd & ldriss -1970) ~ / /
'/
=
= /
1121----------
/
/

'' '
Mtxico City Cloy ',
PI:300'/, 0CR=l ',,

~
( Booth ti ai 1986 )
oL.==-=~_L_ _ ___l_,---_ _
~ ~
=t::::::===--=-=---=-:±____J
''-

w
10-' 10-2
Shtor stroin omplitudt, Y '/, Shtar stroin ampliludt, Y '/,

Figure 7.17 Damping ratio for sands. Figure 7.18 Measured variation of G,/cu for clays.
330 CYCLIC LOADING OF SOILS
Table 7.1 Go/cu values (Weiler, 1988).
OCR
Plasticity índex
(%) 2 5
15-20 1100 900 600
20-25 700 600 500
34-45 450 380 300
7.4.2.3 Silt. lt is often considered that silt should exhibit behaviour
intermediate between that of sands and low-plasticity clays. Khilnani et
al. (1982) have demonstrated this for the dynamic shear response of silts
and have also deduced a Seed and Idriss K 2 value (see Figure 7 .16) of
about 30, which is not unexpected.
7.4.3 Strength
Soil strength is most generally expressed in terms of effective stress
parameters. For granular materials (i.e. silts, sands and gravels) the
strength is frictional in nature and is usually expressed in terms of an
interna! angle of friction <//. This parameter which defines the maximum
ratio of shear stress to normal effective stress is also required for
earthquake design applications. It is possible that an earthquake may
cause an increase in pore water pressure in a saturated soil, therefore
reducing the failure shear stress, and this is discussed in the next
section.
For clay materials it is often convenient to express the short-term
strength in terms of undrained shear strength, cu, instead of using
effective stress parameters. Undrained shear strength is a widely used
parameter and can be derived in a variety of clays. lt has been found to
be dependent on both rate effects and the number of cycles of loading.
Dayal and Allan (1975) have carried out experiments on clays with a
static cone penetrometer pushed at various speeds into the clay samples.
They found that the cone resistance of soft clays was significantly
affected by the rate of penetration, that of medium clays to a lesser
extent and the resistance of stiff clays was virtually unaffected. An-
dersen et al. (1982) found that for normally consolidated clays the
undrained shear strength increases by about 30% when the loading time
was reduced from 2 hours to 5 seconds. The strength increase they
measured was approximately 20%, 10% and zero for OCR values of 4,
10 and 20 respectively (see Figure 7.19). Generally for soft to firm clays
a strength decrease of 6% for each factor of 10 in loading time is
observed. For stiff clays the decrease is less pronounced. Figure 7.19
SEISMIC LOADING 331
1000..----,-------,------------------~
----S?.!;IJ:::,.!.
--
10~---~----_._._---~~---~~---~
O O2 0.4 O6 O8 1O
CYCLIC SHEAR STRESS
UNDRAINEO SHEAR STRENGTH Cu
Figure 7.19 Variation of G,/cu with number of cycles for cla:ys (Andersen et al., 1982).
also gives an indication of the effect of number of load applications. For
example, it can be seen that the shear strength of the clay with an OCR
of 4 reduced from 1.1 times the static shear strength (cu) atone cycle to
about 0.8cu, 0.6cu and 0.4cu at 10, 100 and 1000 cycles respectively.
7.4.4 Degradation dueto cyclic loading
The term 'degradation' is used in a number of senses in the context of
cyclic loading. Here it refers to the propensity of the soil to reduce its
volume, which in the case of a dry or partially saturated soil will result
in an actual volume change, or in the case of a saturated soil will cause
a rise in pore pressure and hence a reduction in strength. For clay
materials discussed in the above section it has already been seen that the
undrained shear strength reduces with increasing numbers of cycles,
indicating a degradation of the material.
Silver and Seed (1971) discuss volume changes in sand due to cyclic
loading. They conducted experiments in a cyclic simple shear apparatus
and showed that the build-up of permanent volume strain is related to
the relative density, the number of cycles and the cyclic shear strain.
Figure 7 .20 shows the effect of relative density on sample settlement
after 10 cycles of load. Martin et al. (1975) extended this work to
include irregular cyclic loading and they produced cumulative damage
curves in terms of change in volumetric strain per cycle of load for
various leveis of accumulated volume strain. Tokimatsu and Seed
332 CYCLIC LOADING OF SOILS SEISMIC LOADING 333

2-0 N,::,o ,
Cycle 10 =30 ' 15 cycles
10-2 ==20 ''
~
., 1-5
~
:=15 ''
e ''
~ ·e-;;; o:10
''
;:;- ., 10-1
=5,, ''
~
1-0
E
~.,
'' ''
·= '' '' (a)
=E ~
> ''
''
''
'
=.
.!!
.,,
0-5 j ''
''
' ',......
o
0-01 0-1 1-0 10-0 10 ' - - - - - ~ - - - - ' - - - - ~
10-3 10- 2 10-1
Cyclic sheor stroin, -Y º/o
Cyclic shear strain, Y '/,
Figure 7 .20 Effect of rela tive density on the settlement of sand in 10 cycles (Silver and
Seed, 1971). Number oi cycles
oº.---r---1ro-~--=r20'----~-~30

.;,õ
(1987), on the other hand, have expressed the original data in terms of ) 0-5
SPT resistance (to express relative density), cyclic shear strain and a o
:;:;

number of cycles. Their computations are summarised in Figure 7.21 e

( b)
-~ 1-D
and enable an estimate of volume strain to be deduced for dry sands -;;;
u
with a range of relative density subjected to an earthquake provided the ·.:::

in-situ cyclic shear strain is known. The relative density is determined by 1 1-5
~
considering the SPT resistance ( N) corrected for effective overburden
pressure using a CN value shown in Figure 7.22. The corrected resist- 2-0'----'-------'------'-------'
8-75
ance is: Equivalent magnitude

(7.5) Figure 7.21 Relationships between cumulative volume strain and cyclic shear strain and
number of cycles for dry sands (Tokimatsu and Seed, 1981). (a) Cumulative volume strain
Generally a more important consideration in earthquakes is the against cyclic shear strain for 15 cycles. (b) Effect of number of cycles.
prediction of pore water pressure increase in saturated sands which may
CN
ultimately lead to liquefaction. Martin et al. (1975) discuss this phe-
oº~-~ll-_,_---,-o.a=--_ _,,.1.2=---c.,1.5
nomenon by combining their cumulative volume change model with the
compressibility of the soil matrix. Their method appears to replicate e
trends of observed pore pressure increase but it requires 'complete --
~ 100
Dr=,Oto 60¾
cycles of load' to be identified before the analysis can be accomplished.
ln a complex time history such as an earthquake this is not always i
; 200
straightforward. lshihara et al. (1975) have produced a more funda- "E
mental model for loose sands which is based on the premise that .iil
~
build-up in volume strain and hence pore pressure only occurs when the ~ 300
soil is undergoing plastic shear strain. By using an elastic plastic soil ~
model for shear behaviour with the yield surface defined as the peak
octahedral shear stress to mean normal stress ratio q/p' (for example in
~ 'ºº
a triaxial arrangement q = ªª -
ar and p' = (aa + 2ar)/3; subscripts a 500 '----~~--'-----'---~
and r represent axial and radial effective stresses) they show good
agreement between the model and the results from randomly loaded Figure 7.22 Chart for values of CN (Seed and Idriss, 1982).
334 CYCLIC LOADING OF SOILS
SEISMIC LOADING 335
triaxial test specimens. Their relationship between volume strain and vertical column of sand. Their experiments show these pore pressures
plastic shear strain shows contraction (including a pore pressure in- increasing very quickly to be equal to the overburden pressure near the
crease) below a critica! q/p' ratio and expansion (pore pressure de- surface and then this condition continuing downwards as the earthquake
crease) above this ratio. If the stress state exceeds this critical ratio then continues. After the earthquake the pressure is seen to dissipate
upon subsequent unloading a dramatic increase in pore pressure occurs, upwards as expected (see Figure 7.24).
leading to virtually zero effective stress and consequently to liquefaction.
Luong and Sidaner (1981) found a very similar behaviour and demon-
strated that even for dense sand this unstable condition could be 7.4.5 Methods for assessing liquefaction potential
induced as shown in Figure 7.23. It is important to note that very small
cyclic stress or strain levels are not likely to cause liquefaction. Figure The simplest and widest criterion to use for evaluating liquefaction
7.20 for example implies this; with 0.01 % cyclic shear strain virtually no potential is the grain size characteristics of the soil (National Research
volume change occurs and hence no significant increase in pore pres- Council, 1985). Figure 7.25 shows an example of grading limits derived
sure. Dobry et al. (1985) confirm that below this strain level significant from Japanese experience of liquefiable soils.
pore pressure generation is unlikely even for many thousands of load
cycles.
Most of the above results are for relatively simple cyclic stress paths.
- overoge excess
For complicated stress paths involving principal stress rotation the data pare pressure
should be viewed critically. Data from Chan (1990) for dry soils - - - excess pore press.
end oi earthquoke
indicates an increased rate of compressive volumetric strain when the
stress directions are rotated. ln the case of saturated soils this will
translate itself into an enhanced rate of pore pressure build-up (see
Shibuya and Hight, 1989) and hence more rapid liquefaction.
ln earthquake design it is necessary that the likelihood of liquefaction
can be assessed. The best understood and observed events of liquefac-
tion have been in the free field condition. Heidari and James (1982) Cycle 1 A
report on centrifuge experiments of liquefaction of a one-dimensional 50 100
Excess pore pressure ( kl'Q l
q(MPa)

SF sand
ld =16 kN/m 3
0-2

0-1

O ( b)

-0-1

A
50 100
0-1 0-2 -0-5 0-5 1-0 1-5
Excess pore pressure ( kPo l
p IMPa) E, l¼l
Figure 7.24 Excess pore pressure generation and dissipation in centrifuge model of a soil
Figure 7.23 Results of cyclic triaxial tests on an undrained dense sand (Luong and Sidaner,
deposit. (a) Generation vs depth with numbers of cycles. (b) Dissipation vs depth with
1981). time. Letters a-e indicate increasing time. (Heidari and James, 1982.)
336 CYCLIC LOADING OF SOILS SEISMIC LOADING 337

Si lt Sand

1:
OI
'i
>-
.a .
2

t
e

-
e:
4,
20 ----- ---
~ :R-- oN
o 0-01 0-1 1-0 10 x:
e
Grain size (mm) 1.:

~
Figure 7 .25 Relationship between grading and liquefaction potential (National Research
&-f-----+----+----'--'"-+.....rr::........_.:,.,...__ ___jº
te
Council, 1985). A indicates boundaries for most liquefiable soil and_B indicates boundaries
2
for potentially liquefiable soil.

,:
...
• q
\ o
\D "'l
From field observation Seed et al. (1985) have proposed an empirical d o d
1--~lf o d o o
method for assessing the likelihood of liquefaction of level sites. This
requires a knowledge of soil grading and relative density. Figure 7.26
shows their recommended values for assessing liquefaction potential for
sands with various fines content. Fines content is defined as the
percentage of material passing the 75-µm sieve. The plot is shown as the
average shear stress ratio ( rav/a~) against N 1 :

(7.6) . i-
~1 I ,. • ..

where r d is a stress reduction factor reducing from 1 at the surface to • ,!~ -o

about 0.9 at 10 m depth and is to account for out-of-phase responses o
lt ~i
J- ü 2
.o ••
q

which will occur at depth, amax is the maximum ground surface accelera- z - _,
tion and M r is a factor to account for the varying number of cycles
associated with different magnitude events and has values as shown in .---- --- --
o
o
~ ! ~- ... ...,o
u !: -

-- • ~]
z
.J
Table 7.2. The 0.65 factor is an attempt to define an equivalent average
! ~ o _.,,o
1D
• ;~q, ..,
maximum stress ratio which will repeatedly occur in accordance with the o C. 6õ
u 'Q õ
o
3
equivalent number of cycles shown in Figure 7.8. For any particular site, º• e • ..,
1: = o
if the data plots to the right of the appropriate line in Figure 7.26 then
liquefaction is unlikely.
•
•
• ••
..
"-
~ ~
,•;
.i: u
N

• bº
Other researchers have been investigating the use of a variety of
in-situ tests to derive an understanding of liquefaction potential. The •
. • .,.:' . .º•- . " 4 o
most common alternative to SPT resistance is static cone resistance, and •
4 • •
various methods are summarised in the National Research Council
report (1985). Many of these give similar results to that produced by \D q o
o "'
d o
N
d d o
using an average correlation between SPT blow count (N) and cone
338 CYCLIC LOADING OF SOILS SEISMIC LOADING 339

Table 7 .2 Variation of M f with earthquake mag- o

nitude.
-~ 1 1 1 1
Magnitude Mt ) o EI Centro 191.0 NS I T:Q.Ssecl
k • Koyna 1967 LI T:0-15secl
5.25 0.67 ~ x Pacolma 1971 Sl&E IT:0-4secl
6 0.76 □ Parkfield21966 N65EIT:Q.6sec)
6.75 0.88 ~
1 v Severo! nuclear blasts
7.5 1 ~ g
8.5 1.1
~
'

penetration resistance (qc in MN/m 2 = 0.4 N; Seed et al., 1983). Pre- ,,

liminary findings of correlations between peak ground acceleration and o.1 J .
in-situ shear wave velocity are also presented in the National Research )

Council report. '~ 1

The assessment of liquefaction in other circumstances, i.e. other than '~

the free field, will be discussed in subsequent sections.

0-01 * l

PART C-SPECIFIC DESIGN SITUATIONS '

1 ~

7 .5 Slopes and earth dams )

7.5.1 Slope stability during seismic loading

It is well known that earthquakes can trigger slope stability failures. The
performance of a slope during an earthquake can be explored by
considering the equilibrium of a block on a slope subjected to horizontal
accelerations. The acceleration of the block is limited by the available
shear resistance between the block and the soil. lf the acceleration force
( = mass x acceleration) exceeds the available capacity the block will
slide_ and this effect will accumulate as the length of the shaking
contmues.
Newmark (1965) has outlined a method for calculating the maximum
ground motions. This analysis indicates that little displacement occurs
unless the K e/Km ratio is less than about 0.5, where K e is the criticai
acceleration required to cause instability and Km is the peak earthquake
ground acceleration.
Sarma (1975) has produced a similar but more refined relationship,
and this takes account of the dominant periods of the earthquake
motion ( T), which is define d as the period corresponding to the peak on
the acceleration response spectrum of the input motion. Sarma's data
are plotted in Figure 7.27 and can be expressed as:
2
X CKmT
=- --- lQ(l.07-3,83 K,/Km)
m 4 (7.7)
0-001
~ ~ ~ " ~ H N " ~
K,/Km
Figure 7 .27 Variation of dimensionless soil displacements due to seismic loading (Sarma,
1975).
where X m is the maximum displacement, C = cos ( 0 + f3 - cp')/ cos </>',
T is the dominant period of earthquake, 0 is the angle of the
earthquake acceleration to horizontal, f3 is the slope angle and cf>' is the
angle of internai friction of the soil.
Both of the above methods require a knowledge of the criticai
acceleration required to cause the instability of the slope. This can be
calculated approximately using conventional slope stability methods by
rotating the slope geometry until instability occurs. The criticai hori-
zontal acceleration is then equal to the tangent of the angle of rotation
times gravity. Alternatively computer programs by Sarma (1979) or the
Oasys SLOPE program can be used to determine the criticai acceleration
directly. "
The above methods require a knowledge of two basic parameters, the
peak acceleration of the slope material and the strength (frictional
and/or cohesive) of the soil deposits through which the slip surface
passes. The peak acceleration is generally about equal to the peak
340 CYCLIC LOADING OF SOILS
ground acceleration measured in the free field, but it is possible that the
geometry of the slope and its suroundings will cause amplification
effects. A two-dimensional finite element program could be used to
establish this.
The appropriate soil strength to be used in the slope stability analysis
is a more complex problem. For sandy materiais the effect of pare
pressure generation can readily lead to a situation where the strength
reduces to below that required for static stability. This will lead to a
flow-type failure which may occur several minutes or even hours after
the earthquake (Whitman, 1987). ln clay soils the displacement induced
by the earthquake may be sufficient to cause the soil on a failure surface
to reach a residual strength which is less than that required by static
stability. Again this will lead to a flow-type failure. A discussion of
residual strengths for fast rates of loading is presented in Lemos et al.
(1985). Residual surfaces are often already present in slopes in clay soil,
and the presence of these must also be allowed for when assessing
seismic stability (Tika et al., 1990).
7.5.2 Earth dams
The considerations for earth dams subjected to earthquake loads are in
principie very similar to those required for slope stability. Two main
differences exist. First a dam will have different dynamic characteristics
because it has two slopes bounding a soil block. Second, dam failures
are generally of the highest significance in terms of loss of life and
property damage: hence their design warrants great care and considera-
tion of much less frequent ground motions. For example, a return
period motion of 10 000 years as generally used for nuclear facilities may
be appropriate.
There are various methods for assessing the amplification effects
within an earth dam. Two-dimensional finite element analyses can be
used. Prato and Delmastro (1987) have shown that sensible results are
achieved by considering the dam as a one-dimensional column. The
column is divided into layers with the density, stiffness, etc. being
calculated such that each layer represents the whole width of the dam at
that height. Programs such as SHAKE or srREN (see section 7.3.3.3) can
then be used to analyse the dynamic response of the dam. Prato and
Delmastro (1987) showed that only the first mode is well represented
using this method.
An alternative method for deriving peak acceleration response of a
triangular dam is presented by Sarma (1980). This method involves
calculating the natural period of the dam foundation system and is
limited to symmetrical dams that are at least four times longer than they
SEISMIC LOADING 341
are high and with side slopes of less than 1 in 1.5. Having established
the period of the dam the peak response of the top of the dam can be
estimated by using conventional response spectrum techniques (Sarma
states that a damping ratio of 20% is reasonable in the calculation but
the strain leveis should be studied to confirm this). The variation of
seismic response with depth has to be taken into account when deriving
the forces acting on a potential failure plane. Ambraseys and Sarma
(1967) give a method to enable the acceleration forces to be derived.
For a small amount of material slipping the earthquake acceleration can
be considered to be uniformly applied to the whole of the slipping
material at any point in time, but as the mass of slipping material
increases different accelerations will be experienced by various parts of
the slipping mass at any one time. They show how an average peak
acceleration can be derived. Makdisi and Seed (1979) show a typical
variation of how calculated average seismic accelerations reduce with
depth and this is reproduced in Figure 7 .28.
Having established the dynamic response of the dam the designer
must consider the performance of the dam. As in the consideration of
slope stability, the effects of pare pressure generation or residual
o.----.----,----,---,---~
y/h
0.2 r~ y
...,,...
Ug
0.6
0.8
1.0 ,___ _.,._....,,_._..___,_,.........__ __,.._ _ _,...,..__ _..,...
O 0.2 0.6 0.8 1.0
kmaxlÜmax
Figure 7 .28 Comparison between average seismic coefficients for shear strain and finite
element theories. (After Makdisi and Seed, 1979.)
342 CYCLIC LOADING OF SOILS
surfaces must be considered when assessing the soil strength. Several
dams have experienced flow slides during earthquakes, and these have
generally been ascribed to liquefaction-type problems. Arulanandan et
ai. (1987) show a flow slide modelled in a centrifuge model test where a
confined sand layer has suffered pore pressure generation leading to a
flow failure of the overlying clay-capping materiais. This was observed
in the 1984 Alaska earthquake where excess pore water pressures led to
failure between bands of clay rather than within the sand itself.
Once an estimate of the soil strength is made an estimate of the
movement of potential failure surfaces can be made using the methods
outlined in the previous section.
7.6 Building foundations
Foundation design to resist earthquake loading is similar to that for
static design in that the basic requirement is to ensure that the
foundation is capable of safely resisting the total applied load without
excessive settlement. The total applied load is the sum of the static load
plus the seismic (cyclic) load. As discussed in Chapter 1, the strength
and stiffness of the soil may be different under cyclic (or fast) loading
than under static load. Generally, however, provided the assessment of
the strength of soil incorporates cyclic loading effects, then the design
methods required for foundations resisting seismic loads are similar to
those used for static loads.
7.6.1 Pad foundations
For the purpose of this discussion a pad foundation is considered to be a
rigid block supporting a load which comprises a static and dynamic or
cyclic component. The pad may fail by sliding, bearing capacity or
overturning as shown in Figure 7.29.
Generally, for sliding, the capacity will be least when the vertical load
is a minimum, and consequently the designer must ensure that load
combinations are chosen such that the maximum horizontal load coin-
cides with minimum vertical load. Conventional frictional or cohesive
soil strengths, with due allowance for the effect of cyclic loading, are
used for the soil-pad interface.
For vertical capacity, conventional static formulae with appropriate
inclination factors can be used as an approximation, or methods such as
that proposed by Sarma et al. (1990) can be used. They suggest that the
methods for estimating movement of slopes can also be used for a pad
footing if some failure occurs during the earthquake. However, for most
SEISMIC LOADING 343
<\Q?X<:
o) Sliding
""'L. _____ J.,.. ....
' ',,_ _____
.-" .,,,. , / //
bI Beoring copocity
,. __
@
eI Overturning
Figure 7 .29 Soil failure modes for a pad footing.
structures it is likely that the designer should ensure that failure does
not occur. The factor of safety against failure, however, can be near
unity because of the very short duration of peak loading.
l Rotational failure is rarely considered for pad footings under static
loading, but there may be large overturning loads under seismic loading.
A failure mechanism as shown in Figure 7.29(c) is the most likely under
these circumstances. This type of failure is generally considered on a
1 much larger scale for offshore gravity platforms where rotational forces
are significant (Andersen et ai., 1982). The New Zealand Code of
Practice (1982) for concrete does allow for ductile behaviour of founda-
tions but states that the 'foundation should be so proportioned as to
protect the supporting soil against excessive plastic deformations that
might lead to misalignment of the entire structure'. lt comments that
pads local to shear walls may be allowed to experience limited yield
when applying the 'capacity design' method. This design method is
appropriate for relatively extreme loads where the structure (and
foundation) is designed to yield at planned locations, thereby allowing
the structure to absorb a significant amount of energy without endanger-
ing the occupants.
1t is generally considered to be good practice to ensure that pad
footings are effectively tied together at ground levei. This prevents one
344 CYCLIC LOADING OF SOILS SEISMIC LOADING 345

pad failing by sliding due to structural layout or a particular resonance 7.6.3 Piled foundations
occurring under a loaded area. The Uniform Building Code (UBC)
(1988) recommends this for buildings in moderate- to high-seismicity For vertical capacity of piles the design is similar to static methods with
areas and states that the structural ties or other equivalent restraints additional capacity being required to cater for additional loads arising
must be able to resist 10% of the applied static vertical load in any from earthquake vertical and overturning forces as shown in Figure
horizontal direction. The UBC code only states that this is necessary for 7.31.
piled foundations as it implicitly assumes pad footings will be capable of . ~alculating the horizontal loading, however, is considerably more
resisting this lateral force. d1fficult. This is because, in addition to the structure applying lateral
loading to the pile head, the soil is also defleçting, which loads the piles.
Generally the worst case for the pile is when the structural loading is in
7.6.2 Raft foundations the sarne direction as the soil deflection, as shown in Figure 7 .32. As
can be seen, the soil near the top of the pile is actually loading the pile
The failure modes for pad foundations also apply to raft foundations.
Failure by sliding is possible, but generally this would not cause great
Stalic
distress provided the raft is strong enough to remain intact. A bearing
capacity problem would be most unusual, but rotational failures are ~/Earthquake
possible and were recorded in the 1985 Mexico City earthquake.
The main criterion with a raft is that it is not structurally overstressed.
Rafts are required to redistribute gravity column and wall loads rela-
tively evenly over the soil, and they require structural strength to do
this. ln the event of seismic loading, dynamic inertial loads on the
structure will be applied to the raft in addition to the gravity loads.
Various methods for calculating the stresses in rafts exist, and they
range from simply assuming a uniform earth pressure such that equili- Reactions
brium is maintained, to soil-structure interaction analysis which may be t t t t- Static }
static or dynamic. Edge pressures must be carefully examined in any of $ $ $ $- Vertical Earlhquake
these processes. Using elastic analysis techniques the vertical pressures ♦ ♦ -
~.-.~~~ Overlurnmg
near the edge of the raft are often overpredicted as they fail to account
for local soil-bearing capacity limitations at the edge. Figure 7.30 Figure 7 .31 Vertical loads in piles subjected to earthquake loading.
illustrates this problem and shows how the raft may have to resist larger
bending moments and shear forces because of the soil yield at the edge
of the raft.

_1
sofl ',1ree field
-1 sail

J sail
--+I
/
/ displacement

Elas ti e pressure /
dislribulion /

stiff
sail

Figure 7 .30 Pressure distribution near the edge of a raft. Figure 7 .32 Lateral loads on piles subjected to earthquake loading.
346 CYCLIC LOADING OF SOILS SEISMIC LOADING 347

in the sarne direction as the structure load. Consequently this combina-
tion will give rise to the highest shear forces and bending moments
within the piles. For piles that are flexible relative to the soil, the effect
of the soil movement will be minimal. Provided the piles are designed to
resist the lateral loads using conventional static practice, adequate
performance should result. For stiff large-diameter piles or piers,
however, the loading from the soil may be significant, and allowance for
loading from the soil should be combined with the structural loading. A
conservative way of achieving this is to calculate the deflected shape of
the free field soil profile using the shear stresses given by Seed et al.
(1985) in eqn (7.6), deleting the Mf term. The shear stress within each
layer can be used to derive shear strain using the appropriate modulus
value for each soil layer. lntegrating the shear strain from an assumed
rigid base will give a reasonable deformed profile. A modulus of
subgrade reaction analysis can then be used to model this soil pile
system as shown in Figure 7.33. Yield of the soil springs can be
incorporated if required. This procedure is probably required even for
flexible piles if there is a significant change in stiffness of the soil profile
within the length of the pile which may cause large stresses in the pile at
the soil interface. For very stiff piles an extreme and probably overcon-
servative loading will be predicted if all the soil is assumed to be loading
the pile simultaneously with the structure. ln this case a dynamic
analysis of the soil pile structure system illustrated in Figure 7 .33 is
required.
Piles do not necessarily need to be designed to respond elastically to
earthquake loading. If it is acceptable for the performance of the
structure at the level of earthquake being considered, piles can be
designed to yield with the formation of plastic hinges. If this is to be
dane they must be constructed and detailed in such a way that brittle
failure does not occur. For reinforced concrete piles, for example, this
means sufficient confining steel must be used at all levels down the pile
where yield may occur. Special care must also be taken with the
pile-to-pile cap detailing. ln many instances this is where piles have been
observed to fail in a brittle manner during seismic loading. The New
Zealand Code of Practice for Concrete (1982) specifies that for concrete
piles the upper end of every pile shall be reinforced as a potential plastic
hinge region unless it can be demonstrated to be unnecessary.
Occasionally raking piles are used in conjunction with vertical piles to
resist horizontal loads. This is an acceptable practice, but because of the
fairly low lateral stiffness of vertical piles the raking piles will generally
take all the horizontal load and they must be designed for this. Raking
piles are difficult to design when the soil deflection is large relative to
the pile group, as shown in Figure 7.34. Large lateral soil forces will be
induced into the piles because the group will be relatively stiff compared
with the soil. For this reason raking piles are generally not rec-
ommended for pile groups to resist earthquake loading.
7.6.4 Liquefaction in the vicinity of building structures
The phenomenon of liquefaction has been discussed in section 7.4.4,
and in section 7.4.5 methods have been presented to enable the
likelihood of liquefaction occurring in the free field to be estimated. ln
the immediate vicinity of structural foundations it is likely that the

.....
dynomic lood from
superstructure

beom etements
to model pile
-A A A ----1 _ / - - f m field soil
- v v v--r ,.--- mohon
--vvv--f-1
--vvv--f-1
--vvv--f•/
~'1 Stiff soil
\springs

Figure 7.33 Diagramatic model of stiff pile soil system. The rotational spring shown at the
top models the restraint to rotation provided by the superstructure. The horizontal springs
model the resistance provided by the soil to the pile moving horizontally through the soil. Figure 7 .34 The effect of raking piles on pile group deformation.
348 CYCLIC LOADING OF SOILS
liquefaction potential will be modified from that of the free field.
Whitman (1987), for instance, reports a centrifuge model of a tank on a
loose sand and shows that the pressure of the tank reduces the
potential. No general rules can be derived from a limited number of
' SEISMIC LOADING
model tests and the liquefaction potential will depend on the geometry
of the structures, the duration of the earthquake and the density of the
sand. lt is likely that the liquefaction potential will be primarily
dependent on the ratio of cyclic shear stress to effective normal stress
(National Research Council, 1985). lt is, therefore, recommended that if
the local effects of a foundation are to be studied, some form of
dynamic finite element analysis will be required to enable the cyclic
stress ratio to be calculated at various points under and near the
structure foundation. The generation of pore pressure can then be
estimated at these points. Alternatively, it may be sufficient to assume
that the liquefaction potential is similar to the free field potential and
directly use the methods discussed previously.
If it is decided that liquefaction is a real possibility, two methods may
be used to solve this problem:
(1) Modify the soil so that liquefaction is unlikely.
(2) Modify the foundations to be insensitive to liquefaction.
The first approach can involve densifying the soil, for example by
vibrocompaction, by changing the particle size distribution by grouting
(probably chemical grout if in a fine sand) or by introducing short
drainage paths, for example by vertical gravei drains. lmproving the soil
drainage involves considerable calculation to match the rate of dissipa-
tion with the rate of generation. Ali these methods may prove to be
very expensive and their effectiveness may be difficult to demonstrate
conclusively in advance of a major earthquake. They are listed in some
detail in Table 7.3, which is extracted from the National Research
Council Report of 1985.
The second approach may involve piling or floating the structure by
incorporating basements. For squat structures the floating option could
well be adequate. The provision of a raft with a basement may enable
the structure to float in the liquefied soil without causing undue distress
to the structure. Clearly service connections, etc. would need to be
designed to suffer large differential movements or rupture, with the loss
of product (e.g. gas and water) being prevented by automatic cut-off
valves. ln some structures it may be sufficient to use a raft with
upstands that is designed to sink until equilibrium is regained. lt is
difficult, however, to ensure that uniform liquefaction under the struc-
ture can be guaranteed, and hence large differential settlements may
occur in this process. ln the case of tall buildings (especially narrow
buildings) the overturning forces during the earthquake may still cause
the building to rotate in the event of soil liquefaction even if a
349
well-balanced floating design is used. If the rotation is sufficient, P-ô
effects (i.e. the self-weight moment caused by the bodily rotation) may
cause the structure simply to roll over, in which case piles are probably
necessary. The piles would have to extend to a deeper stratum which
would not be susceptible to liquefaction. They would also have to be
able to survive the lateral forces imposed by the liquefied soil and, in
many cases, be able to withstand the lateral forces imposed by the soil
above the liquefied soil (Martin, 1989). Sophisticated analyses would be
required to demonstrate that the piles could withstand this loading
together with the dynamic horizontal loads imposed by the structure.
Alternatively, a conservative approach which assumes that the peak
dynamic soil and structural lateral loads are coincident in time and
direction could be taken and the piles designed to be able to withstand
this combined load. ln many instances it will be impossible to achieve
this, and other measures including changing the structural form will be
necessary.
7.6.5 Dynamic soil-structure interaction
The simplest design situation is to assume that the imposed ground
motion at the base of the structure is the sarne as that for the free field.
ln fact the existence of a structure will modify the form of the incident
ground motion. This interaction between the soil and the structure in
the context of dynamic loading such as that imposed by an earthquake is
known as dynamic soil-structure interaction (DSSI), and the method of
accounting for it in design will now be considered.
DSSI can often have a significant effect on the dynamic response of a
structure. However, rigorous techniques for incorporating DSSI require
elaborate computations and normally involve computer programs signifi-
cantly different to those used for a fixed base analyses (which does not
account for DSSI). However, hand calculation methods which enable
some of the more significant effects of DSSI to be accounted for are
available; these methods are briefly outlined here.
A useful starting point for understanding DSSI effects is to consider a
rigid circular foundation on an elastic half-space, a problem which has
been solved by several researchers (e.g. Veletsos and Wei, 1971). The
soil under the foundation is represented by a spring and dashpot, both
of which are frequency-dependent and can be described as:
K st k 1 = frequency-dependent spring constant (7.8a)
Ks1RC1
- - - = frequency-dependent dashpot constant (7.8b)
vs
 w
Vl
o
Table 7.3 Methods of reducing soil liquefaction (extracted from National Research Council Report, 1985).

Most suitable Maximum Expected

Method Principie soils depth result

Densifying the soil

Blasting Shock waves and vibration cause Saturated clean sands 40m Can increase relative densities to
limited liquefaction 70-80%
Vibrating Densification by vibration induces Saturated or dry clean sands 20 m (upper 4 m Can increase relative densities to in
probes liquefaction and settlement in dry not improved) excess of 60%; ineffective in n
sands some sands -<
Vibrocompaction Densification by vibration and Cohensionless soils with less 40 m Can obtain high relative densities
p
compaction and the introduction of than 20% fines with good uniiformity; can also n
r<
a sand or gravei backfill improve drainage simultaneously o
by the introduction of the ►
lj
backfill
z
o
Compaction piling Densification by displacment of pile Loose sandy soils 20 m Can obtain high relative densities
volume and by vibration during with good uniformity and it gives o
"Tl
driving soil additional strength due to r.r,
pile shear capacity o
F=
r.r,
Dynamic Repeated application of high intensity Cohensionless soils best 30 m Can obtain high relative densities
compaction impacts at surface of reasonable uniformity
Compaction Highly viscous grout acts as a radial Ali soils Any Can obtain high relative densities
grouting hydraulic jack when injected under
high pressure

Compression
Surcharge The soil in-situ stresses are increased Any soil Increases liquefaction resistance by
increasing the total to effective
stress ratio

"''"""""'-"" _,,•r 118"1,liliil

Table 7 .3 ( Cont.)

Most suitable Maximum Expected

Method Principie soils depth result

Drainage
Drains Relief of excess pore pressure by Silty sand Limited by Pore pressure relief will prevent
gravei shortening drainage path. May be capability of liquefaction if drainage rate
r.r,
sand enhanced by introducing installation exceeds generation rate
groundwater lowering by pumping method
t:lr.r,
wick
wells ~
n
r<
Change particle size o
Particulate Penetration grout to fill soil pores with Medium to coarse sands Unlimited Introduces areas of high strength ►
lj
and eliminates liquefaction
grouting sand, cement and/or clay and gravei
potential in those areas; zo
uniformity requires checking
Chemical grouting Solutions of two or more chemicals Fine to medium sands Unlimited Voids filled so that tendency to
react in soil pores to form a gel vibrate and compact is virtually
eliminated; generally low
strength and uniformity requires
confirmation; durability should
also be confirmed

w
Vl
>-'
352 CYCLIC LOADING OF SOILS t SEISMIC LOADING

radiating into the soil and never being reflected back to the foundation
353

where K st is the static spring constant, R is the radius of the footing, V s

is the shear wave velocity of the soil = -vcfp (where G is the shear system. Ripples on a pond are a simple example of this type of energy
modulus and p the soil density) and k 1 and c 1 are frequency-dependent absorption.
coefficients as shown in Figure 7.35. Similar expressions have been derived to take account of foundation
ln Figure 7.36 the frequency-dependent coefficients are plotted embedment and the effects of a single elastic layer of soil over a rigid
against the dimensionless frequency term a0 defined as: stratum. The static coefficients for this case are given in Table 7.4. The
frequency dependent coefficients for the horizontal spring and dashpots
a0 = QR/Vs
are shown in Figure 7.36. The spring coefficient is similar to that of a
where Q is the frequency of excitation in radians per second.
lt is important to note that the dashpot is included to represent only Table 7.4 Static stiffness for a circular foundation of radius R embedded (by depth E) in a
soil layer of finite depth H. (From Roesset, 1980).
the geometric or radiation damping associated with movement of the
foundation relative to the free field soil surface. Radiation damping is a
Vertical
measure of the energy being absorbed from the system by waves
k, e,
Horizontal 8GR ( R ) ( 2E) ( SE )
Knn = T-=-;;- 1 + 2H 1 + 3R 1 + 4H

kzz
0-5
Overturning Kff = 3;t~:) (1 + 6: ) (1 + : ) (1 + 0.7
2
!)
Coupled term Khf = (o.4! - 0.03) KhhR - 0.4KhhE
2 '1
1,1: 0-5
ºº
3
e, Torsion l6GR
K 00 = - -- (
1 E)
+ 2.67R.
3

khh
Where v is Poissons's ratio (generally equivalent to about 0.5 for a saturated soil and 0.2
0-5 to 0.3 for a dry soil).
The expressions given on this table are valid for E/R :5 2 and H/E 2: 2.

ºº k,
k, e,

kc;c;
0-5 0-5

. . ªº
k, e,
·,~ '

º't~,
kee
0-5 0-5

O 1 2 3 ª•
ªo Figure 7.36 Horizontal stiffness coefficients for embedded foundations on a soil layer of
Figure 7 .35 Stiffness coefficients for a circular foundation on an elastic half-space (Roesse!, finite thickness. Key: a, embedded foundation-finite layer; b, surface foundation-finite
1980). layer; c, surface foundation-half space (Roesset, 1980).
354 CYCLIC LOADING OF SOILS SEISMIC LOADING 355

half-space but it can be seen that the dashpot term is almost zero below 0-8
a certain frequency. This frequency is the natural frequency of the layer Horizontal
V=l/3
(= 4H/Vs Hz where H is the thickness of the layer; see also eqn 7.4). 0-6
Generally, a real soil deposit is similar to neither a half-space nor a
single finite layer but has a stiffness which progressively increases with o.,
depth. As this case is somewhere between the half-space and single-
layer problem it can be seen that the half-space solution will overesti-
mate the damping of the soil and is therefore generally not conservative. 0-2

Werkle and Waas (1986) have investigated the problems of stiffness

increasing with depth and have presented a simple way of allowing for o
o 0-5 1-0 1-5 2-0
this. They expressed the rate of shear stiffness increase with depth using o =!l.R ,/p / /q
the term a such that G at depth z is defined as:

G = Gsurf ( 1 + (1' ; ) (7.9)

o.,
Rocking
V=l/3
wqere R is the equivalent radius of the structure and Gsurf is the shear 0-3
stiffness at the surface. Their methods are valid up to a value of a of 2. D
Holfspoce
To calculate the static stiffness, the value of G at the depths indicated in 0-2 a:= o
Table 7.5 should be used for the various modes of displacement. The
dimensionless frequency term a0 is calculated using a shear wave
0-1
velocity appropriate to the depth shown in Table 7.5. These a 0 values
can then be used in Figure 7.35 to determine the coefficients k 1 and c 1 .
The principal effect of this procedure is to reduce the equivalent o
o 0-5 1-0 1-5 2-0
damping of the foundation system. Figure 7.37 shows the change in o =!l.R ,/pi ,ÍG
damping ratios for a varying between O and 2.
Dobry et al. (1984) have presented solutions for various shaped Figure 7.37 Damping ratios for soils with linearly increasing stiffness with depth. G is the
shear modulus required to give a half space with the sarne static stiffness as the linearly
footings on an elastic half-space. Roesset (1980) has presented the increasing shear modulus (Waas et ai., 1988).
solution for a single pile, and Table 7.6 gives the static coefficients. The
k 1 spring coefficient can be taken as being equal to 1, and c 1 varies
between 1 and 2 for horizontal motion and 1 and 1.5 for the coupled
horizontal overturning term and for vertical motion. For overturning c 1 Table 7.6 Static stiffness for a single pile. (From Roesset, 1980.)
increases gradually to 0.2-0.5. Dobry and Gazetas (1988) give a
Vertical

Table7.5 Equivalent depth for a soil (of density p) with linearly increas-
ing stiffness. (From Werkle and Waas, 1986.) Horizontal

Depth
Overturning
Mode Stiffness ( K 81 ) Frequency (ao)

Vertical R 1.5 x A:!> lSR Coupled term

Horizontal O.SR 0.75 x A :!> 7.SR
Rocking 0.4R 0.75 x A :!> 7.SR
Torsional 0.2R 0.75 X A :!> 7.SR
Where Ep is the Young's modulus of the pile, E, is the Young's
A = 2rry G,urt/P /Q modulus of the soil, / is pile moment of inertia of the pile, and R
is the radius of the pile.
356 CYCLIC LOADING OF SOILS j SEISMIC LOADING 357

simplified method of allowing for pile groups. For small groups of piles Figure 7.38). The overall stiffness for the combined system incorporating
(say less than 20) a conventional static method for determining group soil-structure interaction is then:
stiffness should be adequate. However, the damping term will become 1
progressively more inaccurate as the size of the group increases. K =----- (7.lla)
v 1 1
All the above methods assume an elastic soil material with the --+-
stiffness either constant or increasing with depth. The damping or K,v Kv
dashpot terms result purely from geometric or radiation damping only. 1
K -------- (7.llb)
Additional damping will be available from two other sources; the h - 1 1 h2
internai hysteretic soil damping discussed earlier and any non-linear soil --+-+-
K,h Kh Kr
failure behaviour. The internai hysteretic damping (D) will generally be
where K sv and K sh are the equivalent structural stiffnesses equal to
small but can be incorporated by modifying the k 1 and c 1 terms using
mw0 v 2 and mw0 h2 respectively and W 0 v and w 0 h are the structural
the following corrections (Werkle and Waas, 1986):
vertical and horizontal natural frequencies in rad/s. The natural fre-
k1 = k1 - Da 0 c 1 quency of the combined system can then be calculated as:
(7.10)
c 1 = c1 - 2Dk 1/a 0 Wv=~ (7.12)
Non-linear soil effects could be significant, especially for laterally loaded and
pile foundations, and additional damping may be incorporated to allow
Wh=~
for this.
The above methods are also limited to rigid foundations. If the and the equivalent damping ratio (D) of the first mode is:
foundations are relatively flexible then the soil structure interaction
Vertical:
becomes considerably more complex and some form of continuum or
finite elements method is necessary. Wolf (1985) describes many
(7.13a)
methods for elastic systems and expands this for non-linear soil behavi-
our adjacent to the foundation in Wolf (1987); the reader is advised to
Horizontal:
refer to these for further details.
2
Nevertheless the above methods give an indication as to how a Kh Kh - h
Dh = - - D, + - Dfh + Kh - Dfr (7.13b)
foundation system as a whole will react to dynamic loading. A simple K,h Kh Kr
method for incorporating the stiffness and damping terms into a
structural analysis is as follows. For both the vertical and horizontal where D, is the structural damping ratio and Dt; is the soil foundation
response consider the structure as a single degree of freedom system to damping ratio which is equal to C;wJ2K;, which can be alternatively
represent the fundamental mode response for the fixed base system (see expressed as Rw;cJ2V,k; (= a 0;c;/2k;) in terms of the frequency-
dependent springs and dashpots coefficient (where i = h or v).
Inspection of the equations shows that if the structural stiffness is
small relative to the soil system (i.e. K; is approximately equal to K ,;)
then the effects of soil-structure interaction are negligible and can be
Superstructure
ignored. Alternatively, if the structural stiffness is large then the soil
foundation response is dominant and the damping associated with the
soil foundation damping will also be dominant. It can be seen that for
higher frequencies the soil foundation damping ratio can become large,
Soil in fact well in excess of 1.
e, Having established an equivalent stiffness and damping that incorpor-
ates soil-structure interaction, an estimate of the structural forces can be
made using conventional response spectrum techniques outlined earlier
Figure 7.38 Simplified arrangements for dynamic soil-structure interaction. in the chapter. It should be emphasised that the method presented here
358 CYCLIC LOADING OF SOILS SEISMIC LOADING 359

is an oversimplification of the soil-structure interaction problem and can
only be used for indicative purposes. Biggs and Whitman (1970) give a
similar method for a more rigorous multimode analyses. Frequency
domain substructure analysis techniques can be used for exact solutions,
or alternatively finite element programs can be used (see Booth et al.,
1988).
7. 6. 6 Site variability
Leeds (1963), for example, report substantial damage to bridges due to
the movement of abutments. Similar effects were reported during the
1969 Alaska earthquake (Ross et al., 1969).
For walls which retain soil below the water table, the soil pressures
will increase further: but here backfill liquefaction may dramatically
increase the active forces behind the wall. The extensive and dramatic
failure of long stretches of quay walls during the Chilean (1960) and
Niigata (1969) earthquakes has been attributed to backfill liquefaction
(Seed and Whitman, 1970).

ln some structures the soil conditions can vary dramatically from one
7. 7.2 Earth pressures
point to another. ln such cases it is likely that the part of the foundation
which is in contact with the stiffer soil will be subjected to a larger part
ln arder to compute the force acting on a retaining structure during a
of the overall horizontal reaction from the earthquake load. The
seismic event with a peak acceleration, Mononobe and Okabe deve-
designer must allow for this explicitly when detailing the foundations
loped a revised version of the Coulomb analysis in 1929. This method
a.nd, perhaps more importantly, the connections between the founda-
assumes that no liquefaction occurs and that the soil behind the wall
tions, as elements adjacent to the more stiffly restrained foundations
behaves as a rigid body so that a single acceleration is applicable to the
may attract large loads.
soil mass. It is assumed that active conditions occur, and that the forces
Another feature which should be considered is the effect on the
acting on the system are as shown in Figure 7.39(a). These forces
response of the superstructure. If the foundation on one side or comer
include horizontal and vertical loads Wkh and Wkv where kh and kv are
of the structure is better restrained than the remainder, then significant
the horizontal and vertical components of ground acceleration experi-
torsional loading effects may be induced in the structure. This cannot be
enced by the block of retained soil expressed as fractions of the
dealt with directly by a fixed-base analysis.
gravitational acceleration. The analysis, which is not given here, leads to
Even in sites with uniform foundation soil conditions it may be
an expression for the active force per unit length of wall (P AE) during
possible for a fault break rupture to outcrop beneath the structures. If a
the earthquake of:
fault or potential fault is identified, the building should be separated
over the possible active fault or part or all of the foundation mounted (7.14)
on flexible or yielding material to enable relative movement between the
structure and the underlying rock.

kv=l3=i=O
lol
0-6 ó= 1/2 ~
7. 7 Retaining structures

7. 7.1 Introduction

The soil pressures behind retaining structures may increase significantly

during earthquake. The dynamic loading will often cause large move-
ments in the wall and may in some cases cause failure.
lb l
ln the case of retained soil which lies above the water table, very few O 0-1 0-2 0-3 0-4 0-5
examples of full collapse have been observed (Seed and Whitman, kh
1970). However, such walls may experience significant movements. ln Figure 7.39 The Mononobe-Okabe analysis. (a) the system of forces considered. (b)
the case of walls supporting bridges and other structures, this may have Example of dynamic lateral pressures determined by Monobe-Okabe. (After Seed and
a severe effect, for instance on the bridge-deck stability. Duke and Whitman, 1970.)
360 CYCLIC LOADING OF SOILS
and:
( <p - 8 - cos 2
/3)
K AE = -------------;;---~;==========;=ac::--
cos 8 cos 2 /3 cos ( c5 + /3 + 8) [ 1 +
sin ( <p + ô) sin ( cp - ô -
cos ( c5 + /3 + 8) cos ( i -
1
where 8 = tan- [kh/(1 - kv)], y is the unit weight of soil, H is the
height of soil and i, /3 and ô are as shown in Figure 7.39(a).
Figure 7 .39(b) shows the values of K AE resulting from a typical
analysis for a range of horizontal accelerations. For saturated soil, the
value of kh must be increased by the ratio y/(y - Yw) where Yw is the
unit weight of water. This is to allow for the fact that, in the
accelerating soil mass, the mass of water moves with the soil but the soil
resistance is reduced by the presence of the pore water pressure.
Several researchers have investigated the suitability of the Mono-
nobe-Okabe equation, for example, Steedman and Zeng (1990), used
centrifuge model tests to show that the overall force is quite reasonable
but that the point of application of it is notably higher than H /3.
Whitman (1990) reviews much of this work and concludes that, while
Mononobe-Okabe is reasonable for flexible walls, or walls that can
move, up to 10 m high, for higher walls or walls that are maintained
against outward movement higher forces may be appropriate. Dowrick
(1987) recommends that for a restrained wall the design earth pressure
should be the sum of the pressure existing behind the wall in the static
condition plus kh y H 2 • This additional force acts at a height of about
0.6 H.
All the above discussion is for soil whose failure during the earth-
quake can be represented using frictional methods. If it is considered
sensible to represent the soil by an undrained shear strength, the
Japanese Technical Standard for Port and Harbour Facilities (1980)
gives the expression:
frH 2 sin(ri + 8) Cu
PAE= . -----
cos 8 sm ri cos ri sin ri
where cu is the undrained shear strength and ri = tan - 1
V 1- (yH/2cu)tan 8. Richards and Elms (1979) have suggested, for
walls that can move a small amount during an earthquake, that a slope
stability approach similar to Newmark (1965) (see section 7.5.1) is
suitable for designing retaining walls. Whitman (1990) expresses con-
cern, however, that movements may be significantly underestimated by
this procedure.
ln the event that the soil body behind the wall liquefies, the active
force per unit length of wall P AL will be equal to that of a fluid with the
density of the soil-water suspension:
SEISMIC LOADING 361
P AL -_ 2lyH2 (7.16)
where y = 9.81[n + (1 - n)gs] kN/m , n is the porosity of the liquefied
3
i)] 2 soil and gs is the specific gravity of the soil particles.
/3)
7. 7.3 Fluid pressures
For walls retaining water it is common practice to use the Westergard
formulation approximate solution (Matsuzawa et ai., 1985). This approxi-
mate solution states that the dynamic water pressure ( P wct) at depth h
will be:
(7.17)
where Yw is the unit weight of water and H w is the total depth of water.
ln this case the resultant dynamic force per unit length of wall ( P wct) will
be:
(7.18)
ln this solution the resultant water force is at 0.4H w above the base of
the reservo ir.
7.8 Lifelines
7.8.1 The requirement for lifeline integrity during seismic events
Significant ground motion during seismic events may cause service or
communication lines to rupture or to become unserviceable, unless the
effect of these motions is accounted for during their design.
The service lines described may include water and gas supply lines,
(7.15) sewage systems, bridges, railways and highways and electric and data
communication lines. The need to keep such lines operational during
major earthquakes is very great. For example, the continued effective-
ness of water, sewage, electricity, telephone and computer lines will be
criticai to the success of post-earthquake rescue and rehabilitation
operations. Further, the integrity of gas lines and other lines containing
noxious substances will be important in reducing the risk of fires and
chemical contamination.
One of the most important aspects of earthquake engineering, as far
as the community is concerned, therefore, is the design of these services
(so-called 'lifelines') to operate effectively during even the most severe
earthquakes.
362 CYCLIC LOADING OF SOILS
7.8.2 Damage to lifelines
Lifeline services are found in a wide variety of structural forms, from
brittle pipes to highly extensible cables. It is impossible, therefore, to
provide any detailed design rules in the space available here. It should
be noted, however, that the principal causes of lifeline rupture are:
(1) The permanent differential displacement of lifelines which
traverse faults (e.g. Ariman et al., 1987).
(2) The differential displacement of lifelines which are laid in deposits
which undergo significant permanent ground displacements, par-
ticularly those associated with liquefaction, e.g. Hamada et al.
(1987) report that bridges in particular are susceptible to collapse
from liquefaction. This was also widespread in the 1990 Philip-
pines earthquake when many bridges failed because of the deck
falling off abutments which had moved excessively.
While permanent displacements are the most common cause of lifeline
damage, the transient displacements may also be important. Wang and
O'Rourke (1978) summarised the findings of many researchers in this
area and concluded that during earthquake loading buried pipelines and
tunnels experience very similar motions to the soil around them,
especially for longer period motions. The pipelines or tunnels therefore
experience both axial and flexural strain, the former being much larger
than the latter. lt has been found that pipelines with flexible couplings
behave significantly better than those with rigid joints. To estimate the
flexibility the designer needs to consider the displacement pattern and
speed of propagation of the anticipated earthquake motion. The two
records in Figure 7.2, for example, show peak-to-peak displacements of
about 0.15 m with a period of around 4 seconds. The maximum (aver-
age) strain can be calculated to be 21r X amplitude/wavelength, which in
this case, assuming a wave propagation speed of 1000 m/s, is about
0.01 % . Allowing for a strain concentration factor of, say, 2 implies a
joint flexibility of 0.02%, i.e. for 10 m-long pipes a flexibility of 2 mm.
If the wave propagation speed is slower, leading to a short wavelength,
the flexibility requirement may increase significantly. With the combined
effect of larger amplitudes of ground motion in soft soil together with a
shorter wavelength it is not surprising that damage is most frequent in
soils and infrequent in bedrock.
The requirement that buried facilities can deform with the surround-
ing soil is explicitly recognised in some codes of practice. The design
criteria for the Taipei Metro (American Transit Consultants lnc., 1988),
for example, requires that the rectangular tunnels and station structures
can deform with the soil. This is achieved by using structural details
such that this deformation can be absorbed as elastic deflection or in
SEISMIC LOADING 363
ductile plastic hinges at prescribed locations (see also Monsees and
Merritt, 1988).
A special case of damage from transient ground displacements is that
of long structures which are only intermittently connected to the ground.
A common example of this is the transient differential displacement
which may arise between bridge-deck supports (note that permanent
support displacements, e.g. due to liquefaction, are also of great
concern) and which may cause overstressing of the connecting member,
or collapse of bridge decks. O'Rourke et al. (1984), for instance, show
that ground waves which act on bridge pile-support systems may do so
out of phase between adjacent points of deck support, thus presenting
the possibility of overstressing or bridge-deck collapse.
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no. 2. New Zealand Geomechanics News No. 39, 42-77.
Martin, G. R., Finn, W. D. L. and Seed, H. B. (1975) Fundamentais of liquefaction under
cyclic loading. ASCE, J. Geotech. Engng Div. 101(GT5): 423-438.
Matsuzawa, H. lshibashi, I, and Kawamura, M. (1985) Dynamic soil and water pressures
of submerged soils. ASCE, J. Geotech. Engng 111(10): 1161-1176.
Menu, J. M., Ambraseys, N. N. and Melville, C. P. (1985) On the seismicity of the south
SEISMIC LOADING 365
west of the British Isles. Proceedings of the ICE Conference on Earthquake Engineering
in Britain, Norwich. Thomas Telford, London, 227-241.
Monsees, J.E. and Merritt, J. L. (1988) Seismic modelling and design of underground
structures. ln: Numerical Methods in Geomechanics, Balkema, Innsbruck, 1833-1842.
MUSE (1988) Computerized Data Base of Strong Seismic Ground Motion Records.
McMaster University, Engineering Research Group. Hamilton, Ontario, Canada.
National Building Code of Canada (1985) Associated Committee of the Building Code,
National Research Council of Canada, Ottawa.
National Research Council (1985) Liquefaction of Soil during Earthquakes. National
Academy Press, Washington, D.C.
Naumoski, N. (1984) Determining seismic design parameters for nuclear power plants.
PhD Thesis, University 'Kiril and Metodij' lnstitute of Earthquake Engineering and
Engineering Seismology, Skopje.
Newmark, N. M. (1965) Effects of earthquakes on dams and embankments. Géotechnique
15: 139-160.
Newmark, N. M. and Hall, W. (1982) Earthquake Spectra and Design. Earthquake
Engineering and Research lnstitute, E! Cessito, CA.
New Zealand Code of Practice for Concrete NZS 3101 (1982).
O'Rourke M. J., Castro, G. and Hossain, I. (1984) Horizontal soil strains due to seismic
waves. ASCE, J. Geotech. J. 110(9): 1173-1187.
Prato, C. A. and Delmastro, E. (1987) 1-D seismic analysis of embankment dams. ASCE,
J. Geotech. Engng 113(8): 904-909.
Pyke, R. M. (1979) Non-linear soil models for irregular cyclic loading. ASCE J. Geotech.
Engng Div. 105(GT6): 715-726.
Richards, R. J. and Elms, D. (1979) Seismic behaviour of gravity retaining walls, ASCE,
J. Geotech. Engng. Div. 105(GT4): 449-464.
Richter, C. F. (1958) Elementary Seismology. Freeman & Co, San Francisco.
Roesset, J. M. (1980) Stiffness and damping coefficients of foundations. ASCE Special
Publications Dynamic Response of Pile Foundations-Analytical Aspects, 1-30.
Ross, G.A., Seed, H. B. and Migliacco, R. (1969) Bridge foundation behaviour in Alaska
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Sarma, S. K. (1975) Seismic stability of earth dams and embankments. Géotechnique 24:
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Sarma, S. K. (1979) Stability analysis of embankments and slopes. ASCE J. Soil Mech.
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Sarma, S. K. (1980) A simplified method for the earthquake resistant design of earth
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Sarma, S. K. and Iossifellis, I. S. (1990) Seismic bearing capacity factors of shallow strip
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Schnabel, P. B., Lysmer, J. and Seed, H. B. (1972) SHAKE; a computer program for
earthquake response analysis of horizontally layered sites. Report No. EERC, 72-12.
Earthquake Engineering Research Centre, Berkeley, CA.
Seed, H. B. and ldriss, I. M. (1969) lnfluence of soil conditions on ground motions during
earthquakes. ASCE J. Soil Mech. Found. Div. 95(SM1): 99-137.
Seed, H. B. and ldriss, I. M. (1970) Soil moduli and damping factors for dynamic response
analysis. EERC Report No. 70-10, Berkeley, CA.
Seed, H. B. and ldriss, I. M. (1982) Ground Motions and Soil Liquefaction During
Earthquakes. Earthquake Engng Res. Inst., Monograph Series.
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Seed, H. B., ldriss, I. M. and Arango, I. (1983) Evaluation of liquefaction potential using
field performance data. ASCE J. Geotech. Engng 109(3): 458-482.
Seed, H. B., Wong, R.T., ldriss, I. M. and Tokimatsu, K. (1984) Moduli and damping
factors for dynamic analysis of cohesionless soils. Report No. UCB/EERC-84/14.
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Seed, H. B., Tokimatsu, K., Harder, L. F. and Chung, R. M. (1985) lnfluence of SPT
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Shibuya S. and Hight D.W. (1989) Predictions of pore pressure under undrained cyclic
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Silver, M. L. and Seed, H. B. (1971) Volume changes in sands during cyclic loading.
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pseudo-static earth pressure on a retaining wall. Géotechnique 40(1): 103-112.
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California at Berkeley.
Tika, T. E., Sarma, S. K. and Ambraseys, N. N., (1990) Earthquake induced displace-
ments on pre-existing shear surfaces in cohesive soils. Proceedings of the 9th European
Conference on Earthquake Engineering, Moscow 4A: 16-25.
Tokimatsu, K. and Seed, H. B. (1987) Evaluation of settlement in sands due to
earthquake shaking. ASCE J. Geotech. Engng 113(8): 861-878.
Toro, G.R. and McGuire, R. K. (1987) An investigation into earthquake ground motion
characteristics in eastern North America. Buli Seism. Soe. Am. 77(2): 468-489.
Uniform Building Code (UBC) (1988) International Conference of Building Officials,
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Veletsos, A. S. and Wei, Y. T. (1971) Lateral and rocking vibration of footings. ASCE J.
Soil. Mech. Found. Div. 97(SM9): 1227-1248.
Waas, G., Hartman, H. G. and Werkle, H. (1988) Damping and stiffness of foundations
of inhomogeneous media. Proceedings of the 9th World Conference on Earthquake
Engineering III: 343-348.
Wakabayashi, M. (1985) Design of Earthquake Resistant Buildings. McGraw-Hill, New
York.
Wang, L.R. and O'Rourke, M. J. (1978) Overview of buried pipelines under seismic
loading. ASCE J. Tech. Councils 104, (TCl): 121-130.
Weiler, W. A. (1988) Small strain shear modulus of clay. ln: Earthquake Engineering and
Sai/ Dynamics /1 - Recent Advances in Ground Motion Evaluation. ASCE, ASCE
Geotechnical Special Publication No. 20, 331-345.
Werkle, H. and Waas, G. (1986) Dynamic stiffness of foundations on inhomogenous soils.
Proceedings of the 8th European Conference on Earthquake Engineering, Lisbon 2
5.6/17-23.
Whitman, R. V. (1987) Liquefaction-the state of knowledge. Buli. New Zealand Nat.
Soe. Earthquake Engng 20(3): 145-158.
Whitman, R.V. (1990) Seismic design and behaviour of gravity retaining walls. Proceed-
ings of the Conference on Design and Performance of Earth Retaining Structures. ASCE
Geotechnical Special Publication No. 25, 817-842.
Wolf, J. P. (1985) Dynamic Soil Structure Interaction. Prentice-Hall, Englewood Cliffs,
New Jersey.
Wolf, J. P. (1987) Sai/ Structure Interaction Analysis in Time Domain. Prentice-Hall,
Englewood Cliffs, New Jersey.
8 Machine foundations
T. G. DAVIES
8.1 Introduction
Analysis and design of machine foundations has been the subject of
several well-known texts, e.g. Richart et al. (1970), Arya et al. (1979),
and in consequence this chapter can offer only a brief introduction to
the subject. ln the last decade, further progress has been made in
several areas, and some of these developments are discussed in detail.
However, the basic design philosophy has emerged unscathed, and for
completeness these principies are summarised here.
Satisfactory operation of many types of industrial plant as well as
sensitive technical installations depends on the provision of adequate
foundations capable of limiting dynamic displacement amplitudes to
extremely small values, typically 0.01 mm or less. Loading conditions
encountered in practice encompass such diverse sources as reciprocating/
centrifugai machines which generate periodic loads and impact machines
which generate transient loads. Determining the magnitudes of these
loads can be difficult. The allowable dynamic displacements assumed in
design are very small and therefore linear elastodynamic analysis of
foundation response is generally carried out. Theoretical results for a
wide range of foundation types ( shallow/deep) and foundation vibration
modes (e.g. sliding/rocking) have been published in the literature, and
design procedures based on these results are well established. Accurate
assessment of small-strain soil shear moduli is essential, and although
published empirical correlations are helpful, in-situ measurements are
normally needed for important installations. However, the behaviour of
real foundation soil systems can depart significantly from the predictions
of idealised models and caution is advisable. ln particular, some care is
necessary in order to avoid exciting foundation resonant frequencies,
especially in low-damping vibration modes, and, in difficult cases,
provision for post-installation foundation tuning may be necessary.
The basic principies of elastodynamic analyses of discrete and continu-
ous systems are described in the following section. ln the subsequent
two sections, theoretical results relating to shallow and deep foundations
are presented. Some experimental data, which disclose discrepancies
between predicted and observed foundation responses to dynamic loads,
serve to counter unwarranted faith in the infallibility of these theoretical
368 CYCLIC LOADING OF SOILS MACHINE FOUNDATIONS 369

models. A brief note on design criteria and practice is followed by a

discussion on the measurement of the pertinent soil properties. ln
conclusion, some simple calculations carried out in the course of a
foundation analysis are reproduced for illustrative purposes.

z
8.2 Basic theory of dynamics

8.2.1 lntroduction

The dynamic response of many types of foundation to vibratory loading

(often called harmonic or sinusoidal loading) can be conveniently
described by means of linear single degree of freedom models.
However, the rheological parameters used in these models (namely the
masses, spring stiffnesses and viscosity coefficients) must be obtained
from rigorous elastodynamic analyses of the interactions between found-
Figure 8.1 Definition of harmonic motion parameters.
ations and the surrounding soils-characterised by real soil properties
such as mass density and stiffness (shear modulus). The relationships
between these soil parameters and the rheological parameters of single z = wAcos(wt - <P)
degree of freedom (SDOF) models have been published for a wide
range of foundation types and soil conditions. ln consequence, machine
z = -w2 Asin(wt - <P) (8.4)
foundation design, based on the SDOF model, can be readily accompl- Clearly, velocities are 90º out of phase with respect to displacements and
ished. Both the SDOF model and the continuum elastodynamic model accelerations. The amplitudes of motion are as follows:
are described in this section.
lzl = A
lzl = wA (8.5)
8.2.2 Vibratory motion
lzl = w 2 A.
Sinusoidal motion can be described mathematically by the equation Hence, given the frequency of vibration and the amplitude of the
(refer to Figure 8.1): displacement, the peak velocities and accelerations are readily deter-
mined.
z = Asin(wt - <P) (8.1)
For single degree of freedom systems, both the loads and displace-
where z is the displacement at time t, w is the circular frequency of ments oscillate (under harmonic loading conditions) at the sarne fre-
motion ( rad/s), <P is the phase angle and A is the (single) amplitude of quency, although not usually in phase. The response of such systems can
the motion. The frequency of oscillation in hertz (Hz), i.e. cycles per then be fully described by two parameters: the amplitude and phase
second, is given by the equation: angle. ln general, displacement amplitudes and phase angles are plotted
as a function of the loading frequency: this provides a complete
f = w/2rr (8.2) description of the loading response in the so-called frequency domain.
and the period of vibration (cycle time) is:
T = 1/f (8.3) 8.2.3 Single degree of freedom systems

From equation (8.1), by differentiation, the velocities and accelerations Figure 8.2 depicts a single degree of freedom system cons1stmg of a
can be determined, viz: mass m supported by a spring of stiffness k and subjected to a vertical
370 CYCLIC LOADING OF SOILS MACHINE FOUNDATIONS 371

Q (8.13)
kA
and the (modal) damping ratio:

cwA
f3 = c/(4km) 1l2 (8.14)
m
eqns (8. 9) and (8.10) can be rewritten in the form:
M = 1/[(1 - wa2)2 + (2f3w 0 )2]112
tan <P = 2{3w0/(1 - wa2) (8.15)
Magnification factors and phase angles are plotted in Figures 8.3 and 8.4
in the frequency domain. The moderating effect of damping on the
Figure 8.2 The single degree of freedom system. response near resonance is evident. lt should also be noted that the
maximum displacement occurs at frequencies somewhat lower than the
harmonic load Q. The motion of the system is damped by a dashpot of natural frequency.
viscosity e. A similar model could be used to describe the rotation 0 of The results described so far are applicable to constant force excita-
the mass, now characterised by its mass moment of inertia 1. For tion, but in practice machine foundations are generally subjected to
harmonic loading: quadratic force excitation arising from the rotation of eccentrically
mounted masses. Thus, an eccentric mass me mounted at an eccentricity
Q = Q 0 sinwt (8.6) e induces a force which varies as the square of frequency, i. e.:
and from Newton's laws of motion is obtained the well-known equation: (8.16)
mz + ci + kz = Q0 sinwt (8.7) The magnification factor, as defined by eqn (8.12), has no meaning in
The displacement response is:
z = A sin ( wt - <P) (8.8) 4,--------,--------.------~------
1, 11
where II 11
II 11
(8.9) II 11
3 /3 = o
and:
tan <P = cw/(k - mw 2 ) (8.10) M
Now, if e= O (an undamped system), the displacement becomes infin-
itely large when: 2
w = (k/m)1/2 (8.11)
This condition is termed resonance and this frequency is termed the
natural frequency (or resonant frequency, denoted by wn), of the
undamped system. lf the force Q is independent of frequency, i.e.
constant amplitude force excitation, then it is useful to define a
magnification factor as follows:
M = A/zs (8.12)
2
where Zs is the displacement under static load (zs = Q 0/k). Introducing
two other dimensionless quantities, namely the frequency ratio: Figure 8.3 Magnification factors for SDOF systems subjected to constant force excitation.
372 CYCLIC LOADING OF SOILS MACHINE FOUNDATIONS 373

vibration, this is a fair first approximation for machine foundations but

not for rocking. ln general, foundation impedances are frequency-
dependent and, in consequence, the frequency responses illustrated by
p Figures (8.3 and 8.4) can provide only a qualitative picture of founda-
(deg.l tion behaviour. Computation of the frequency response in such cases is
greatly facilitated by using complex arithmetic as demonstrated in
section 8.7.

8.2.4 Continuum elastodynamics

The analysis of foundation response to vibratory loading is based on

Figure 8.4 Phase angles for SDOF systems subjected to constant force excitation.
this case since the static displacement is zero. Other definitions are
possible but it is usually simplest to plot displacements using eqn (8.9),
which remains valid. For quadratic force excitation, resonance occurs
when:
That is, the resonant frequency for quadratic force excitation is higher
than the natural frequency of the undamped system.
An alternative description of discrete systems in terms of complex-
valued spring impedances has certain advantages for multi-degree of
freedom ( coupled motion) analysis. Defining the spring impedance as
follows:
K = k + iwc
where i is the unit imaginary number (i = V-1), eqn (8.7) can be
rewritten as:
mz + Kz = Q 0 sinwt
Recalling eqn (8.4), the solution of eqn (8.19) is:
Q 0 sin wt
z =
(K - mw 2 )
which yields eqn (8.9) directly.
The imaginary (out-of-phase) component of the impedance, which
represents the damping of the system, increases linearly with frequency
if the viscosity coefficient is constant. For the translational modes of
elastodynamic continuum theory, that is the soil is idealised as a
coherent mass which is assumed to respond linearly elastically to
loading. This assumption is justified since the deformations are usually
very small. The governing differential equation of vibratory motion is
known as Helmholtz's equation, namely:
(À + G)u ~q.. + Guh"•· + pw 2 u-I =O (8.21)
where u; is the ith component of the displacement vector, p is the mass
density, and the comma indicates differentation with respect to the
space variable. Also, Lame's constant À and the shear modulus G are
(8.17) defined as follows:
À= Ev (8.22a)
(1 + v)(l - 2v)
E
G=---- (8.22b)
2(1 + v)
where E is Young's modulus and vis Poisson's ratio.
It is worth noting that 'damping' (or viscosity) appears to be absent
(8.18)
from this equation, although 'mass' and 'stiffness' can be readily
identified with mass density and the elastic constants respectively. These
comparisons are illusory since, in applications to machine vibrations, the
mass term (of the rheological model) is identified with the foundation
(8.19)
mass notwithstanding various 'added mass' theories. Because damping in
the continuum model arises naturally from radiation of energy by wave
motion away from the foundation to the far field, the equivalent
(8.20) rheological viscous coefficients are related to the mass density. ln
Lysmer's analogue solution for example, the viscous coefficient is
proportional to (pG) 1!2 . ln addition to radiation (geometric) damping,
damping in real soils may be augmented by material damping, although
this is generally of secondary importance. Viscoelastic material damping
can be introduced into Helmholtz's equation by the simple expedient of
374 CYCLIC LOADING OF SOILS
replacing the elastic moduli with their complex-valued viscoelastic coun-
terparts (refer to section 8.3).
Energy radiates away from foundations by means of compression and
shear body waves and surface (Rayleigh) waves. Miller and Pursey
(1955) have calculated that over 67% of the energy input into a
vertically oscillating circular foundation is radiated away by Rayleigh
waves, 26% by shear waves and the rest (7%) by compression waves.
Not only does the Rayleigh wave transmit the major part of the energy
but it also diminishes relatively slowly with distance and, consequently,
it is the major cause of disturbance to structures and personnel adjacent
to vibrating foundations. The Rayleigh wave propagates at a velocity
somewhat less than the shear wave velocity (V ln undrained condi-
5).
tions the difference is approximately 5%, but under drained conditions
the discrepancy may be as high as 15% at very small strains. As a first
approximation, shear and Rayleigh wave velocities are assumed to be
equal. lt can be readily shown that:
vs = (G/p) 112 (8.23)
The shear wave velocity is widely used as a normalising parameter to
form the dimensionless group known as the dimensionless frequency
(a 0). More importantly, the relationship between wave velocity and
shear modulus is exploited in most field and laboratory tests designed to
measure soil stiffness (refer to section 8. 6).
Solution of eqn (8.21) for ali but the simplest boundary conditions
defies analytical methods and, accordingly, numerical methods must be
resorted to. Because low-pass filtering is less evident in boundary
element discretisation schemes, this method has been far more widely
used than finite element methods. Results obtained from these studies
are described in section 8.3.
8.2.5 Transient motion
The transient response of foundations to impact loading from, for
example, punch presses can always be calculated by the well-known
methods of Fourier synthesis ( e.g. Sokolnikoff and Redheffer, 1966)
provided that the harmonic response is linear. However, special
methods such as the so-called phase-plane solution described by Richart
et al. (1970), which involves decomposition of the loading into rectangu-
lar load pulses, may be more convenient in practice. Alternatively,
direct analysis using an incremental time-marching scheme (e.g. Mad-
shus et al., 1985), in which the equations of motion are solved at
successive time steps, is always possible. ln this latter case, non-linear
soil impedances could in principle be specified, although such sophistica-
MACHINE FOUNDATIONS 375
tion is hardly ever warranted. As a special case, multiple periodic
loading, arising for example from unbalanced machinery loads, can
frequently be decomposed into its constituent sinusoidal parts (usually
termed primary and secondary components) which may differ in phase.
From the harmonic response of each component, the frequency response
of the foundation can be recovered by superposition-provided that care
is taken to sum the terms vectorially. This process is, of course,
equivalent to Fourier synthesis.
8.3 Shallow foundations
8.3.1 lntroduction
The purpose of this section is to describe the analysis of shallow
foundation response to harmonic loading in sufficient detail to enable
the geotechnical engineer to carry out realistic calculations for a wide
range of foundation types and loading conditions. This method of
analysis supersedes the so-called 'analogue' methods of analysis (briefly
described in the historical survey which follows) which, in general,
assume frequency-indepedent rheological parameters and treat coupled
motions in an unwieldly manner. The drawback of modem methods of
foundation response analysis is that they assume that the geotechnical
engineer has at least a rudimentary understanding of complex numbers
and the confidence to write elementary computer programs in complex
arithmetic. ln FORTRAN, this presents no problem since complex vari-
ables can be specified, but in BASIC a little ingenuity is called for to
develop procedures to manipulate complex numbers, perhaps in the
form of two-element real vectors as suggested by the subroutine
coMPLEx given in Appendix 8.1.
8.3.2 Historical survey
1 The evolution of foundation vibration analysis has been well docu-
mented elsewhere, notably by Richart et al. (1970) and more recently by
Gazetas (1983). Accordingly, only a brief overview of the general
themes of this development are given here.
Apart from purely empirical rules, the earliest methods of analysis
(which emanated from German experimental studies in the 1930s) were
based on the concept of an 'in-phase mass' of soil which supposedly
vibrated in phase with the foundation adjacent to it. ln fact, no such
mass can be identified but the concept has lingered on. For example,
the concept has found a niche in Barkan and Ilyichev's (1977) dynamic
376 CYCLIC LOADING OF SOILS
1 MACHINE FOUNDATIONS 377

Circular Foot,ng
assumed for the soil (normally enlisted to control numerical perturb-
ations rather than for modelling fidelity). Of greater concern to the
t practising engineer are the differences in nomenclature used by various
authors and the confusion which has arisen in consequence. More
recently, some authors (e.g. Pais and Kausel, 1988) have developed
algebraic expressions based on published numerical data to facilitate the
design process. This latter development has much to recommend it
provided that the risk of gross error is minimised by adopting simple
equations, consonant with engineering accuracy. This approach is ad-
opted here.
This engineering approach has its roots in the 'analogue' solutions of
Lysmer and Richart (1966) and others who sought to describe the
response of shallow foundations to harmonic loading in terms of single
degree of freedom system parameters, i.e. masses, springs and dashpots,
but whose values are deduced from the rigorous continuum elastody-
namic analysis. lf frequency-independent parameters are assumed, then
Per Cent of
the well-known results of the elementary SDOF model can be applied
Wave Type
Total Energy directly. For the translational modes of vibration, this approach works
Rayle1gh 67 extremely well and it has the added advantage for the practising
Shear 26
Compress,on 7 engineer of physical clarity-an aspect of analysis and design which may
be obscured by adopting the approach advocated here based on com-
plex-valued foundation impedances. lt is for these reasons that analogue
Figure 8.5 Propagation of elastic displacement waves from a circular foundation. (Redrawn
and adapted after Woods, 1968).
solutions have enjoyed wide popularity for the last two decades despite
the fact that the assumed frequency independence is patently in error in
many circumstances and, also, the important practical case of coupled
Winkler-Voigt model (the dynamic subgrade reaction model). ln prac-
motion (in rocking and sliding) admits of no elementary theoretical
tice, this semiempirical approach is reliant on field tests and empirical
solution.
correlations between soil properties and the rheological parameters.
Improvements in the reliability of design procedures awaited the
revolution in analysis which attended the description and solution of
8.3.3 Foundation response analysis
foundation problems as the interaction of rigid plates with soils mod-
elled as semi-infinite elastic continua. For the first time, the geometric
At the outset, the response of the circular massless foundation depicted
(radiation) damping property of the soil mass, as distinct from its
in Figure 8.6 to harmonic loading will be considered. Only oscillatory
intrinsic (material) damping, was properly accounted for. Following
vertical, sliding and rocking motions are considered here: torsional
Reissner's (1936) early work in this field, Sung (1953) and Quinlan
response of foundations has been extensively studied in the literature
(1953) developed solutions for vertically oscillating circular and rectan-
(e.g. Wong and Luco, 1976) but is of minar practical interest.
gular foundations, and Arnold et al. (1955) and Bycroft (1956) obtained
For pure translation or rocking, the foundation response to the
solutions for the sliding and rocking modes for circular disc foundations.
applied loading can be described, in general, by the equation:
A very wide range of solutions has since been obtained by means of
analytical, integral equation (boundary element) and finite element F = Ku (8.24)
methods largely associated with the names of Gazetas, Kausel, Lysmer,
where F is the harmonic force, u is the harmonic displacement response
Luco, Novak and their associates. Some discrepancies are evident
and K is the complex-valued foundation impedance determined by
between some of the solutions presented in the literature arising from
solving Helmholtz's equation.

1
the ~i!fering assumptions employed to simplify the contact boundary
ln this description, forces and displacements are presumed to be
cond1t10ns and also from the magnitude of the material damping
378 CYCLIC LOADING OF SOILS MACHINE FOUNDATIONS 379

DISPLACEMENTS : ln particular, sliding and rocking vibrations are normally coupled,

FORCES: X
resulting in a motion which bears little resemblance to its constituent
parts. Although vertical motion may sometimes be coupled with rocking
if the centre of gravity of the installation is eccentric, this unusual
z~ condition is normally avoided in practice by ensuring that the loading is
centred over the foundation centroid. Consequently, only coupled
sliding and rocking is considered here in detail; the treatment of other
coupled modes is similar.

l
Figure 8.7 depicts a massive embedded foundation subjected to a
SOIL(G, P, v,/3)
torque T and force Q acting at the combined centre of gravity of the
Figure 8.6 Harmonic loading of massless circular foundation. installation and resulting from the operation of the machine. The
equations of motion are:
generic terms encompassing torques and rotations. The sinusoidal nature
of the forces and displacements may be expressed by the equations:
mx + F, = Q (8.31a)

F = Foeiwt (8.25a) Io0 + Fe - zFx = T (8.31b)

u= u oei(wt-<j,) (8.25b) where m is the total (foundation plus machine) mass, I O is the mass
moment of inertia of the foundation ( and machine) about the horizontal
where F O and U O are the force and displacement amplitudes respect- axis passing through the centre of gravity and normal to the plane of
ively, w is the circular frequency of excitation, cp is the phase lag rocking, x and 0 are the lateral displacement and rotation of the centre
between the displacement and the force and i is the unit imaginary
number. Substitution of eqn (8.25) into eqn (8.24) yields:
1 of gravity respectively, F x and F 0 are the soil reactions, acting on the
centre of the foundation's base, and z is the height of the centre of
Fo .,,. gravity above the foundation base. Foundation base motion is related to
K=-e'"' (8.26) the foundation centroid motion by the continuity equation:
Uo
From Euler's formula, the system impedance can then be written as:
xb =x - z0 (8.32)
and hence, recalling eqn (8.24):
K =a+ ib (8.27)
where Fx = Kx(x - z0) + Kc0 (8.33a)
a= (F 0/U 0 )coscp and b = (F 0/U 0 )sincp. (8.28) Fe = Kr0 + Kc(x - z0) (8.33b)
The real and imaginary parts of the (frequency-dependent) imped- where K x, K e and K r are the sliding, coupling and rocking impedances
ances for severa! cases are presented in the following section. ln passing respectively.
it should be noted that the amplitude of the displacement response to
unit load is the reciprocai of the foundation impedance, namely the
foundation compliance, i.e. for unit loading the amplitude of the
dynamic displacement is:
---i-
IVI 1/IKI (8.29a)
I/(a2 + b2)1/2 (8.29b) z
___ ..:t
Also, the phase lag (angle) is readily obtained as follows:
cp = tan- 1 (b/a) (8.30)
While eqns (8.24-8.30) may be applied directly to uncoupled motions,
in practice machine foundations are often subjected to coupled motion. Figure 8.7 Coupled motion of a massive embedded foundation.
380 CYCLIC LOADING OF SOILS

The intrinsic coupling term K e is negligible for surface foundations

but becomes increasingly important for embedded foundations. Sub-
stituting eqn (8.33a and b) into (8.31) and recalling that:
' MACHINE FOUNDATIONS

of rectangular foundations are expressed in terms of equivalent circular

foundations. Referring to Figure 8.8, where it should be noted that the
plane of rocking is parallel to the side X, equivalent radii for founda-
381

mx = -mw2 x, etc. (8.34) tions of moderate aspect ratio (¼ < n < 4) are as follows:

leads to: r, = r, = 0.57Yn 112 (8.40a)

rr = 0.57Yn 314 (8.40b)
(8.35)
where the aspect ratio n is defined by the equation:
where K:= Kx - mw 2 , Kt= Kc - zKx and n = X/Y (8.41)
K': = Kr - / 0 w 2 - 2zKc + z 2 K,. (8.36) and eqns (8.40a and b) have been obtained by matching the first and
second moments of area of circular and rectangular foundation bases.
ln practice, the machine-induced torque and lateral force wlll norm- Clearly, except for square foundations (n = 1), the equivalent radius of
ally be in phase with each other, and hence Q and T may be assigned a foundation depends on the mode of vibration.
real values. Inverting eqn (8.35) yields the complex-valued centroidal The impedances for static loading of surface foundations are as
displacements and rotation respectively. Thus for example, if: follows:
(8.37a) s 4Gr
K =-- (8.42a)
(8.37b) z 1- V
the horizontal displacement amplitude at an elevation L above the K s = 8Gr (8.42b)
centre of gravity of the installation is: x 2- v

xL = [(x 1 + L8 1 )2 + (x 2 + L82 )2]If2 (8.38) 8Gr 3

K/ = 3(1 - v) (8.42c)
Note that only if the displacement and rotation are in phase with each
other would it be correct to write: where G and v are the soil shear modulus and Poisson ratio respect-
ively, and the appropriate equivalent radii are assumed. For large
XL = [xi + L[e[ (8.39) (small) aspect ratios, the equivalent circle approximation yields conserv-
Given the foundation impedances, described in the following section, ative stiffness values but the error is generally less than 10%.
computation of foundation response to harmonic loading can (with the Under dynamic loading conditions, the impedances assume complex
aid of no more than a programmable calculator) be readily accom- values (eqn 8.27) and these are most conveniently expressed as follows.
plished. For example, for sliding:
(8.43)

8.3.4 Foundation impedances

4*s
To implement the analysis described above, it is convenient to be able
to express the foundation impedances in terms of simple functions of
frequency, foundation embedment and foundation shape, etc. Such
expressions can facilitate understanding of the role of the important
parameters albeit at the cost of some loss in accuracy. Further, it is
useful to normalise the impedances with respect to their static values
and to express them as functions of dimensionless frequency as follows.
~
1
y y
7_,._I-~--T-1__,...,,.,-
m;,1-- X _..j m?

Considerable simplification is possible at the outset if the impedances Figure 8.8 Harmonic loading of a rectangular foundation.
382 CYCLIC LOADING OF SOILS t MACHINE FOUNDATIONS 383

where the (complex) frequency factor / x w is defined as follows: have been used as the basis for published 'empírica!' embedment
factors-not always correctly. For perfectly bonded foundations, the
//
1
= k + ia 0 c (8.44) embedment factors are principally dependent on the embedment ratio
where a 0 is the dimensionless frequency. This term is obtained by (e) where:
normalising the operating frequency of the machine with respect to e= D/r (8.48)
foundation size (radius) and the shear wave velocity (Vs) of the and D is the depth of embedment. Again, for rectangular foundations,
surrounding soil, i.e: the equivalent radius is dependent on the mode of vibration. The
wr embedment factors for realistic embedment ratios are approximately as
ao=- (8.45) follows:
Vs
For rectangular foundations, the dimensionless frequency is a function /k lc
of the vibration mode as a consequence of eqn (8.40). Vertical (z) 1 + O.Se 1 + l.le (8.49a)
The components of the frequency factors for each mode may be Sliding (x) 1 + l.3e 1 + 2.6e (8.49b)
approximated as follows [adapted from Luco and Westmann (1971) and Rocking (r) 1 + 2e 1 + 2e (8.49c)
Veletsos and Wei (1971)]: Since, in practice, foundation thicknesses are typically 20% of the
k e shortest foundation dimension, embedment ratios greater than 0.4 are
Vertical (z) 1 - O.la 0 0.8 (8.46a) uncommon. ln the rocking mode, even small embedment ratios have a
Sliding (x) 1 0.6 (8.46b) significant effect on foundation response provided that the shear stresses
Rocking (r) 1 - 0.2a 0 O. l3a 0 (8.46c) at the foundation extremities are effectively transmitted to the surround-
ing soil.
These approximations are valid up to dimensionless frequencies of 1.5 If the backfill is not in effective contact with the sides of the
and for the usual range of Poisson ratios encountered in soils. Clearly, foundation, then the beneficial effects of embedment are largely lost
the assumption of frequency-independent spring stiffnesses and viscous (Tassoulas, 1981). ln the extreme case, where the side-walls are entirely
damping coefficients employed in the analogue methods is tenable at ineffective, then the embedment factors are, approximately:
moderate operating frequencies, except for rocking motion. For this
case, Hall (1967) had to refine the analogue solution by introducing a /k
modified 'mass ratio', but such devices are unnecessary if the frequency Vertical (z) 1 + O.le (8.50a)
dependence of the impedances are recognised from the outset. Sliding (x) 1 + 0.3e (8.50b)
These results apply to surface footings but foundations are, of course, Rocking (r) 1 + 0.2e (8.50c)
normally embedded. Embedment generally improves the dynamic re- ln real soils, embedment confers greater advantages than these results
sponse characteristics of machine foundations, particularly if the founda- would indicate since the superficial soil layers are generally relatively
tion is perfectly bonded to the surrounding soil by careful backfilling weak. Embedded foundations also behave differently from surface
and compaction around the foundation. Since this is difficult to achieve foundations in so far as the lateral pressures and shear stresses acting on
in practice, the effect of poor backfilling on foundation performance foundation sides result in pronounced intrinsic coupling of the rocking
should be explored by calculation and the final design should reflect the and sliding modes of deformation, i.e. lateral movement of embedded
engineer's judgement. foundations results in a torque about the foundation base. This phe-
Embedment effects are most conveniently expressed in terms of nomenon is most conveniently characterised in terms of the height of
'embedment factors' (/ b / e) where, for example, for sliding: the centre of pressure (point of action of the resultant of the horizontal
(8.47) reactions) above the foundation base. For convenience, this may be
assumed to act at a height of D /3 above the foundation base (assuming
The real (stiffness) and imaginary (damping) parts of the impedance are, effective side contact with the backfill) and, hence, the coupling term is
*
in general, affected differently by embedment, i.e. /k Ic· Severa! simply:
authors (e.g. Beredugo and Novak, 1972; Gazetas and Tassoulas, 1987)
have obtained numerical solutions for embedded foundations and these (8.51)
384 CYCLIC LOADING OF SOILS
MACHINE FOUNDATIONS 385

If the foundation is not in effective contact with the backfill (or, as from the differing damping characteristics of elastic half-spaces and real
noted earlier, the foundation is at ground levei) then the intrinsic solls. ln the latter, layering, even in apparently homogeneous deposits,
coupling term may be assumed to be zero. appears to inhibit radiation damping. On the other hand, the observed
The results described so far are based on elastodynamic theory. But displacement amplitudes in the sliding mode (for surface foundations)
real soils exhibit hysteretic (material damping) behaviour which may were found to be severa! times smaller than those predicted by elastody-
have a significant effect on foundation vibration response near reson- namic theory. Much better agreement between theory and experimental
ance, particularly in those cases where geometric damping is relatively data was obtained if material damping (typically 5%) was assumed. For
low, viz. in the rocking mode and in strongly stratified soil deposits. embedded foundations, the differences between the predictions for
ln the latter case, none of the results described earlier is applicable (materially) damped and undamped foundations are less pronounced. ln
and recourse to the specialist literature (e.g. Gazetas, 1980) will be summary, the experimental data suggest that the behaviour of real
necessary. The simplest way of introducing material damping is to foundations may depart significantly from that of the idealised theoret-
invoke the correspondence principie of viscoelasticity, which in effect ical models currently available.
replaces the shear modulus in eqn (8.42a-c) by its complex counterpart
G* where:
8.4 Deep foundations
G* = G(l + 2i/3) (8.52)
and f3 is the material damping ratio, typically 3% for soils (Hardin and 8. 4.1 Introduction
Drnevich, 1972a). Limitations on the applicability of eqn (8.52) have
been discussed by Kausel (1974) and Lysmer (1980). The dynamic behaviour of deep (piled) foundations and, especially.
An illustration of the application of the results given here to a their interactions with each other in groups is far less amenable to
practical problem is given in section 8. 7. The prudent engineer will
naturally carry out a parametric study to explore the influence of the 5,-----r::--------.----~-----.~
often significant uncertainties in the design data notwithstanding the fact
that the serviceability criterion affords considerable latitude for error. ln
the following section, experimental data obtained by Novak (1985),
albeit at model scale, is reviewed in order to demonstrate that elastody-
4 ip
1
namic theory falis short of providing a complete description of real P=4
)&J IM
foundation vibrations.
3
LU
D
::::)
8.3.5 Experimental data !::::
_J
a.. 2
Novak (1985) describes a series of experiments carried out on model ~
<t:
foundations up to 1.23 m and weighing up to 35 kN. Figure 8.9 depicts
the frequency response to vertical loading of a surface foundation for a
range of load amplitudes. The response is clearly non-linear, the
decrease in resonant frequency and the increase in displacement am-
plitude being consistent with a decrease of soil stiffness (shear modulus)
by approximately 35% over the indicated load range. Novak's data, for
vertically loaded foundations, also suggest that the measured resonant
2000 2400 2000 3200
amplitudes are typically twice as great as those predicted by theory. Part
FREO.UENCY (R PM)
of the discrepancy was thought to be due to errors arising from the
assumption of foundation rigidity which gives rise to unrealistic stress Figure 8.9 Experimental frequency-response curves for vertical vibration of a shallow
foundation. (Redrawn and adapted after Novak, 1985.)
distributions beneath foundation edges. A further source of error arises
386 CYCLIC LOADING OF SOILS MACHINE FOUNDATIONS 387

analysis than the behaviour of shallow foundations. Not the least of the EA
practical difficulties is the assessment of the effects of the disturbances K, = _ P _ (k + ia 0 c) (8.53)
associated with the method of installation. Separation between piles and r
soil and the reduction of soil shear moduli at ground levei, in addition where E P is the Y oung modulus of the pile, A is the pile cross-sectional
to soil non-linearity, further complicates the problem. Much more area and r is the pile radius. Figure 8.10 shows the variation of the
research work needs to be done in order to quantify these effects. parameters k and e for end-bearing piles with respect to pile slenderness
Hence, engineers should be circumspect in their use of the highly ratio (L/r) and the relative stiffnesses of the piles with respect to the
idealised theoretical models which are discussed in the sequei. surrounding soil. The relative stiffness (V) is defined as the ratio of the
shear wave velocity of the soil ( V s) to the compression wave velocity
(V p) of the pile. That is:
8.4.2 Historical survey (8.54)
The dynamic response of single piles to forced vibration has been where:
analysed by many authors. Some representative publications are the
finite element analyses of Kuhlemeyer (1979a, b) and Blaney et al.
(1976), the boundary element analyses of Kaynia and Kausel (1982) and
vp = ( ;: r2 (8.55)

Sen et al. (1985) and the analytical methods of Novak (1974) and where p is the mass density of the pile. Figure 8.11 depicts the
P b .
Nogami and Novak (1977). The effects of soil inhomogeneity have been corresponding parameters for friction piles. Clearly, short end- earmg
examined, for example, by Gazetas and Dobry (1984) and non-lineari- piles are superior to friction piles of equal length but the differences are
ties by Angelides and Roesset (1981). small for slender piles. lt should be noted that within the quoted
Deep foundation responses can be described in terms of (complex)
foundation impedances analogous to those for shallow foundations. For
single piles, the impedances are generally smooth functions of forcing O 08 ~ - ~ - . - - - - - - - . - - - - - . - - - - , - - - - - - - ,
frequency, although soil layering may complica te matters by inducing
STIFFNESS ( K)
resonant conditions at one or more criticai frequencies. However, for
DAMPING (C)
pile groups the frequency response is far more complicated. Unlike
static loading conditions, where the interaction factors are monotonically
decreasing functions of pile separation, pile interactions under harmonic
u
O06 -- - ------
loading conditions may be positive or negative depending on the
--- ----
-:,,e,~
excitation frequency, soil properties and pile separation. ln conse-
quence, constructive and destructive interference occurs between the
piles in groups resulting in a very complicated frequency response. Pile
interactions in groups has been studied by Wolf et al. (1979), Nogami
V1
o::
w
f-
w
:E
oo
/
-- ---
~ /
(1979), Sheta and Novak (1982), Sen et al. (1985), Dobry and Gazetas o:: /
rf:. ~/
(1988) among many others. w
u
z
~
0·02
<:::;<:;:,7
~í/ 1/ <:;:,·"/
""' /
/ ,,,,,,r::/~_,,.,.,.
/
_,,.
-
---
8.4.3 Single piles
o
w
Cl...
:E
/
.,,,.,.,. / 1::i-~--- ----
----0-01 __ ----------- -- -
Novak (1974, 1977) and Novak and Aboul-Ella (1978), in a series of ºo
- 20--- 40 60 80 100
publications, have given impedances for a wide range of pile geometries
and stiffnesses, applicable to vibratory loading in the frequency range PILE SLENDERNESS RATIO: ( L /r l
0.05 < a 0 < 0.8. For concrete piles, the impedances for vertical vibration Figure 8.10 Impedance functions for concrete end-bearing piles. (Redrawn and adapted
are: after Novak, 1974.)
388 CYCLIC LOADING OF SOILS
j MACHINE FOUNDATIONS 389
0 ·08 r - - - - - - , , - - - - - , - - - - - - . - - - - - . - - - - - - , k = 3.3V1. 5 (8.57a)
- STIFFNESS ( K l
e = 8V1. 5
(8.57b)
/
----- ---- --
.... _
--- DAMPING ( C l
V= 0-05 The (negative) cross-coupling impedances are:
O 06
/
---------
u ,, ------ - --- ----- Kc =
-EP/P
-~~
,2 (k + ia 0 c) (8.58)
-:X.~

VJ
/
/
----
o::
LLJ
-------- --- --- where
1-
LLJ
L
<(
o::
0·04
--- k = l.9V and e= 2.8V (8.59)
cf.
LLJ
V=0·0S
------- and the rocking impedances are given by the equations:
u E I
z<( 0·02 Kr = ___!:___E_ ( k + iaoc) (8.60)
o r
LLJ
a..
~
---õo1 where

O01 k = 2.ovº- 5 and e = l.4Vº· 5 • (8.61)

ºo 20 40 60
PILE SLENDERNESS RATIO (L/r)
Figure 8.11 lmpedance functions for concrete friction (floating) piles. (Redrawn and
adapted after Novak, 1974.)
frequency range, these parameters are essentially frequency-independ-
ent. And as expected, piles embedded in stiffer soils have the largest
impedances.
Because piles are not very effective in resisting lateral loads, it is
usually preferable to use battered piles in practice. If vertical piles are
the only option available, then these should be of as large a diameter as
possible not only to increase their flexural rigidity but also in recognition
of the fact that the effective lengths of piles under lateral loading is only
of the arder of 5-10 diameters. ln consequence, only the weaker
near-surface layers are mobilised to resist the applied forces-a point
which is relevant to the selection of appropriate shear moduli for design
purposes.
Provided that the pile lengths are greater than their effective lengths
(flexible piles), the impedances of concrete piles under lateral loading
can be expressed in the following form (adapted from Novak, 1974):
EP/P .
Kx =- -3 - (k + taoc)
r uniform soil deposits, can change the interaction factors significantly.
where IP is the second moment of area of the pile cross-section (1rr 4 /4
for a circular section) and the parameters k and e can be approximated
by the following equations:
80 100 The effect of Poisson's ratio on single-pile response has been exa-
mined by Novak but, in the context of practical applications to design,
the influence of Poisson's ratio can be neglected.
It should be noted that the lateral impedance K x is that for a
fixed-head pile since by definition the rotation of the pile head is zero.
To determine the impedance for free-head piles it is necessary to invert
the impedance matrix:
{?} = [1: (8.62)
From, the corresponding compliances the following expression is ob-
tained for free-head piles:
(8.63)
8. 4.4 Pile groups
If the prediction of the dynamic response of single piles is difficult,
prediction of the response of pile groups is even more problematic.
Even if soil disturbance is minimised, the dynamic interactions between
the piles through the soil and directly via the pile cap cannot be
(8.56) accurately predicted. Variations in soil stiffness, even in apparently
Further, the interaction factors may be positive or negative depending
principally on pile separation in relation to the near-surface waves
generated by the harmonic loading. Theoretical results show that
390 CYCLIC LOADING OF SOILS
dynamically loaded pile groups can develop extremely high impedances
if the piles are optimally spaced, but these impedance peaks in the
frequency response are generally narrow. This implies that if the
excitation frequency is altered (or, equivalently, the soil stiffness is
changed) the impedance may fall dramatically. Clearly, such impedance
peaks cannot be relied upon in design. For that reason, the approach
advocated by a number of authors (namely the use of static interaction
factors) has some merit in practice, although this method of analysis
cannot reproduce the complicated response of pile groups described
above. ln a static analysis all the piles move in phase with each other. If
greater accuracy is desired then the dynamic interaction factor method
described by Dobry and Gazetas (1988) deserves attention.
lnteraction factors (Paulos and Davis, 1980) express the degree of
interaction between piles in a group; usually denoted by the symbol a.
Formally:
(8.64)
where u;j is the displacement of the ith pile due to unit load on the jth
pile.
Clearly, the interaction factors are less than unity and decrease with
increasing pile spacing. For vertical and lateral loading of piles in real
soils, theoretical and experimental data support the simple empirical
equation:
(8.65)
where S;j is the centre-to-centre spacing between the two piles and D is
the pile diameter.
By superposition, the vertical settlement (z;) of the ith pile in a group
can be obtained from the equation:
(8.66)
where
(8.67)
and, clearly, CY;; is equal to unity. For a rigid pile cap, the pile forces can
be computed for unit displacement and, hence, the group impedance.
For large pile groups this can be a laborious procedure. ln such cases, a
good estimate of the group impedance ( K ,g) can be obtained from the
equation:
K,g = NK,/A (8.68)
where A is the sum of the interaction factors between a 'typical' pile
(one neither at the edge of the group nor at its centre, if possible) and
all other piles (including itself), i.e.:
MACHINE FOUNDATIONS 391
(8.69)
Eqn (8.68) implies that damping is proportionally smaller for a pile
group than for a single pile. Because of interference between the piles,
this is a reasonable first approximation.
Calculation of the sliding impedances of pile groups can be dealt with
in precisely the sarne way as vertical loading. Because of the restraint
afforded by the pile cap, piles in groups behave very nearly like
fixed-head piles when subjected to lateral loading. The interaction
factors for lateral loading are, in reality, dependent on the orientation of
each pair of piles with respect to the lateral force but the semiempirical
relationship (eqn 8.65) is sufficiently accurate for determining the
cumulative interaction effect.
The cross-coupling impedances of individual piles can be simply
summed (i.e. neglecting any interactions) to determine the group
cross-coupling impedance. Hence;
Kcg = NKc (8.70)
lnteractions between rocking piles can also be neglected, but the rocking
impedances of pile groups are greatly augmented by the development of
axial forces in the piles outermost from the axis of rotation (which may
be assumed to pass through the group centroid). Hence, group rocking
impedances are given by the expression:
(8.71)
where h is the horizontal distance from the axis of rotation to each pile.
Ground-contacting pile caps may reduce machine vibrations, but
evaluating their effects is difficult. The effectiveness of the contact may
be difficult to ascertain and the superficial layers are often of indifferent
quality unless special care is taken during construction. Even if perfect
contact is obtained, theoretical analyses show that the load transfer from
piles to pile cap has little effect, for example on vertical response.
Damping and lateral loading response may be improved by such means
but the benefits are unlikely to be very significant in soil conditions
where piling is required. Judicious use of equivalent shallow foundation
data can provide some indication of the potential benefits of opting for
an effective ground-contacting pile cap provided that the disadvantages
inherent in the load transfer are also recognised.
8.4.5 Experimental data
Figure 8.12 depicts the lateral response (lateral displacement amplitude)
392 CYCLIC LOADING OF SOILS
10~--~---~--~---~---~---.
102 PILE GROUP
w
D
::::::,
t:::
_J
a..
L
<l:
o 20 40
FREQUENCY ( Hz l
Figure 8.12 Experimental and theoretical response curves for horizontal vibration of a pile
group. (Redrawn and adapted after Novak, 1985.)
of a 102-pile group to rotating mass excitation described by Novak
(1985). The steel piles (1.06 m long X 0.027 m diameter) were arranged
in a rectangular array and supported test footings weighing 11 kN. Also
shown in Figure 8.11 are three theoretical curves based on (a) theoret-
ical (elastic) static interaction factors, (b) empirical static interaction
factors, (c) no interaction. Clearly, neither ignoring pile interactions nor
assuming full elastic interaction factors (widely recognised as overesti-
mating the real interactions between piles) yields very useful results.
Empirical interaction factors such as those described earlier (eqn 8.65)
can provide much better results, although damping appears to be
underestimated by this approach. These data should serve as a reminder
that accurate prediction of pile group response is extremely difficult
even under well-controlled test conditions.
8.5 Design practice
8.5.1 Introduction
Design of machine foundations is generally based on the satisfaction of a
stringent peak velocity serviceability criterion. Linear analysis is there-
fore appropriate but the success of the method is dependent on the
accurate assessment of soil properties (principally shear modulus) at
very small strains. Estimating the dynamic loads generated by machines
can also be difficult, and in consequence it is common practice to allow
MACHINE FOUNDATIONS 393
a wide margin of error. ln extreme cases, it may be necessary to allow
for post-construction foundation tuning. Compaction of loose sands and
silts beneath machine foundations is normally circumvented by appropri-
ate ground treatment (possibly excavation) and problems associated with
foundation flexibility are avoided by the provision of massive reinforced
concrete bases.
8.5.2 Design loads
ln practice, it is often difficult to determine the magnitude of the loads
which machines impose on their foundations. Some machines are
inherently unbalanced, viz. reciprocating machinery, although it is
possible to design appropriate counterbalancing components to reduce
60 or eliminate the inertial forces. The problem is most acute for single
units since the phase differences in operation between multiple units
tend to cancel out the dynamic forces if not the couples. Richart et al.
(1970) describe methods for evaluating machine loads developed by
reciprocating machinery and the factors, such as misalignment, wear,
etc., which must be considered in design.
Forces developed by rotating machinery can, in principie, be obtained
from the simple equation:
(8.72)
where me is the eccentric mass, e is the eccentricity and w is the
operating frequency. However, where the eccentricities arise from
machine tolerances during manufacture, manufacturers are loathe to
admit that such 'faults' exist. Eccentricity due to wear is also difficult to
assess in practice, and it may be necessary to specify nominal values
based on the manufacturer's maintenance procedures which, if ex-
ceeded, would necessitate servicing of the machinery. Nevertheless,
Arya et al. (1979) have tabulated data from a variety of sources on the
design eccentricities of centrifugai machines. These data may be conve-
niently summarised as follows (eccentricities in units of mm). For
operating frequencies ( w) up to 300 rad/s their data support the empir-
ical equation:
e= 2500/w 2 (8.73)
This equation implies that the magnitude of the unbalanced forces is
independent of frequency. For high-speed gear units:
e= 15/w (8.74)
Eccentricities for large electric motors and high-speed compressors can
be estimated from the equations:
e= 0.35/Vw
394 CYCLIC LOADING OF SOILS
and:
e= 0.9/Vw (8.75)
respectively. These data imply that eccentricities are machine-specific
and caution should be exercised in extrapolation to other machine types.
Transient forces developed by machines such as punch presses may be
equally difficult to assess, and careful analysis of the energy release-
momentum characteristics of these installations is essential.
8.5.3 Serviceability
For most machine foundations, the serviceability criterion which limits
vibration amplitudes is a far more stringent constraint than the ultimate
load or the static (working load) criteria. Design methods for these
latter conditions are well established and are not considered further
here. Serviceability is related to two conditions, namely the perception
of vibrations by personnel adjacent to the installation, and, secondly,
the operational requirements of the installation itself. ln most cases, the
former condition is criticai but some exceptionally sensitive equipment
can be rendered inoperative by vibrations below the threshold of
feeling.
Except at higher frequencies (f > 50 Hz) when an acceleration
criterion may be more appropriate, serviceability criteria can best be
described in terms of the peak vibration velocity V A. A number of
studies reported by Richart et al. (1970) show that personnel become
distinctly conscious of vibrations when:
V A= 0.8 mm/s (8.76)
Since vibrations are generally attenuated with distance, this is an
appropriate admissible peak velocity for foundations. The threshold of
feeling is approximately at one-third of this value. Peak velocities three
times greater than the admissible velocity begin to become troublesome,
although there are differences in tolerance between individuais depend-
ing on severa! factors including their levei of activity.
ln terms of displacement amplitudes, the admissible displacement at,
for example, 10 Hz (recalling eqn 8.5) is only 13 µ,m, which illustrates
the extraordinarily high sensitivity of personnel to vibrations. Vibration
leveis two orders of magnitude higher than this would be necessary to
damage structures. Descriptive ratings of machine operations have been
correlated to peak velocities (measured at the machine bearings) by
severa! authors (reviewed by Richart et al., 1970). Peak velocities of
0.8 mm/s have been described as 'very good' and 'excellent'. Conse-
quently, except where extraordinary serviceability criteria apply, the
criterion described by eqn (8.76) may be assumed.
MACHINE FOUNDATIONS 395
8.5.4 Design practice
The Code of Practice for Foundations (British Standards lnstitution,
1986) is a convenient starting point for the study of design and
construction practice for machine foundations. Further useful informa-
tion can be found in the Code of Practice for Foundations for Ma-
chinery British Standards lnstitution (1974), although the analytical
procedures described there, based on Barkan's method for an undamped
system, would now be considered obsolescent.
Arya et al. (1979) list a number of rules which should be followed in
arder to obtain reasonable triai designs for further analysis. For shallow
foundations, these rules may be summarised as follows:
(1) The foundation mass should be at least twice the mass of
centrifugai machines (and at least three times the mass of reci-
procai machines).
(2) The thickness of the foundation should be sufficient to ensure
rigidity and, in any case, the thickness shall not be less than 0.6 m
or one-fifth of the width or one-tenth of the length.
(3) The foundation plan dimension (X) normal to the axis of rocking
should exceed the vertical distance from the foundation base to
the machine centre-line.
(4) The plan dimensions should be adjusted to elimina te vertical load
eccentricities with respect to the foundation's centre of resistance.
(5) The embedded depth should be estimated based on operational
requirements and construction costs.
For piled foundations, the pile caps should weigh three-quarters the
mass of the corresponding shallow foundations [calculated from (1)
above]. The sarne general principies of rigidity (pile head fixity) and
load centricity apply. Elevated foundations, e.g. where a machine is
located above ground levei, create special problems. Firstly, the struc-
tural dynamics of the superstructure must be considered and, secondly,
such installations are particularly prone to rocking. Arya et al. (1979)
give the following additional guidelines:
(6) The total mass of the structure should be at least 50% greater
than under rule (1).
(7) The mass of the top slab (supporting the machine) should not be
less than the machine.
(8) The column spacing should be less than 4 m.
Rigid symmetric structures loaded centrically can be analysed by the
methods described in this chapter, but otherwise more complex analyses
may be necessary. ln particular, if the structure is non-rigid then
significant soil-structure interactions may occur and recourse must be
396 CYCLIC LOADING OF SOILS
made to the methods of structural dynamics. The design rules listed
earlier cannot be other than a very approximate rule of thumb in view
of the very wide range of loading conditions, soil types, foundation
geometries and design specifications encountered in practice. Satisfac-
tion of all the geotechnical, operational, economic and construction
constraints may not be possible and radical alternatives may be neces-
sary and, sometimes, changes in design loads or uncertainties in the
analysis and the design data may create insurmountable design difficul-
ties. ln these cases provision for 'tuning' the foundation following
commissioning of the machine should be considered.
8.5.5 Post-construction tuning
Despite the recent advances in understanding of the behaviour of
machine foundations, considerable uncertainties remain as exemplified
by the comparisons between observed and predicted foundation re-
sponses in sections 8.3 and 8.4. ln many cases, parametric design studies
reveal a wide spectrum of possible foundation responses. ln such cases,
the prudent engineer will make provision for modifying (tuning) the
foundation response (if necessary) following commissioning of the ma-
chine. Tuning may involve addition or subtraction of mass from the
foundation or grouting of the underlying soil (through precast grout
boles) to increase its stiffness. lncreasing the bearing area of the
foundation or even attaching the foundation block to in-situ (but
formerly ineffective) piles might be considered in extreme cases (Arya et
al., 1979).
ln some cases, machine modification or simply repositioning may be
all that is required to ensure satisfactory operation. Although all
precautions should be taken to avoid degradation of foundation per-
formance due to soil compaction by eliminating or treating unsuitable
soils before construction begins, it may be possible to remedy such
defects by grouting. Foundations subjected to rocking are particularly
prone to performance degradation as a result of progressive soil failure
(of cohesionless soil} initiated at the foundation edges.
8.6 Geotechnical parameters
8.6.1 Introduction
The elastodynamic model of soil is based on four material properties,
namely shear modulus ( G), material damping ratio (/3), Poisson's ratio
( v) and mass density p. The shear modulus is the most important
MACHINE FOUNDATIONS 397
parameter of these four, and considerable effort has been expended to
devise apparatus to measure shear moduli in the field and in the
laboratory. A significant outcome of these studies is correlation between
other more easily measured soil properties and shear modulus. Experi-
mental and theoretical studies related to the first three parameters are
reviewed in the sequei. Estimation of mass density presents no special
problems but it is worth emphasising that it is the bulk mass density that
is of interest, i.e.:
p = y/g (8.77)
where y is the bulk unit weight of the soil and g is the acceleration due
to gravity.
Typically values of mass density range from 1400 kg/m 3 for a loose,
dry sand to 2200 kg/m 3 for a hard, saturated, glacial till.
8. 6.2 Shear modulus
Machine foundations which satisfy the stringent serviceability criteria
described in section 8.5 excite extremely small shear strains in the
surrounding soil, typically 10-50 microstrain (µ,t:), i.e. two orders of
magnitude smaller than those developed by static loading of typical
geotechnical structures. lt is well established that shear modulus de-
creases with increasing strain and, in consequence, it is convenient to
normalise shear modulus values to a hypothetical maximum value G 0 at
zero strain. ln practice, measurements obtained or extrapolated to strain
leveis of 1 µ,E are assumed to be equal to G 0 •
Woods (1978) in his state-of-the-art paper reviews apparatus and test
procedures for determing shear moduli over a wide range of shear strain
amplitudes. Resonant column, ultrasonic pulse and cyclic triaxial (and
cyclic shear) laboratory tests are described in considerable detail as well
as fiel d tests such as the seismic refraction survey, the seismic cross-hole
( down-hole) surveys, the Rayleigh wave survey and others. Correlation
between laboratory- and field-measured values of shear moduli depends
on not only matching strain leveis and perhaps frequency content but
also allowing for differences in the boundary conditions, ageing effects
and sampling disturbance. Anderson et al. (1978), Arango et al. (1978),
Murphy et al. (1978), Stokoe et al. (1978), Wilson et al. (1978), Wright
et al. (1978) and Vrymoed et al. (1980) address these and other issues.
These authors have measured shear moduli for soils as diverse as a hard
glacial till (960 MN/m 2 ) and a soft (San Francisco) bay mud
(10 MN/m 2 ). More recently, shear wave refraction tests and Rayleigh
wave tests, carried out on Boulder clay, London clay and Gault clay,
have been described by Abbiss (1981, 1983) and a new laboratory
technique for generating and measuring small dynamic strains in
398 CYCLIC LOADING OF SOJLS
standard triaxiál cells has been described by Bates (1989). This latter
development promises to offer significant economies. Clearly, measure-
ment of small-strain shear moduli demands specialist equipment and
expertise which may be difficult to assemble for all but the most critical
projects. For more routine purposes (and for interpreting data obtained
from field and laboratory tests) empirical correlations between shear
moduli, soil stress history, density and the anticipated stress-shear strain
levels can be useful.
Foremost among these correlations is that due to Hardin and Black
(1969) for angular-grained sands and insensitive cohesive soils, which
can be written in the dimensionless form (Hardin, 1978):
G 0 = 625Rk(PPA) 112 /(0.3 + 0.7e 2 ) (8.78)
where R is the overconsolidation ratio, p is the mean effective stress,
PA is atmospheric pressure, e is the void ratio and k is a coeffficient
related to plasticity index IP (expressed as a fraction-not a percentage)
by the empirical equation:
k = Ip/(1 + 31/) 112 (8.79)
ln computing shear moduli from eqn (8.78) it should be noted that
the mean effective stress is the sum of the in-situ stress and the stress
due to the static foundation load. Often, the resultant is sensibly
constant with depth, which facilitates selection of an 'equivalent' shear
modulus for design purposes. For overconsolidated soils, the overconso-
lidation ratio should be calculated based on the ratio of the past
maximum vertical effective stress to the current (in-situ plus foundation)
vertical effective stress. Atmospheric pressure must, of course, be
expressed in the sarne units as G 0 and p.
For uniform deposits of normally consolidated clays and sands, eqn
(8.78) predicts that the in-situ (i.e. unloaded ground) values of shear
modulus increases as z 1!2 , where z is the depth. For highly overconsolid-
ated plastic clays, for which R decreases as z- 1 and the parameter k
approaches one-half, shear moduli are predicted to be approximately
constant with depth. These conclusions may not be applicable to loaded
ground, i.e. beneath machine foundations.
Seed and ldriss (1970) have advanced a similar equation for sands
which can be written in the dimensionless form:
(8.80)
where e is an empirical constant correlated principally to soil density.
Back-calculation from geophysical tests showed that for loose sands the
parameter c is approximately 800, while for an extremely dense silty
sand its value was approximately 1900. For gravels, these values may be
increased by at least 50%. Since eqn (8.78) predicts equivalent values of
MACHJNE FOUNDATIONS 399
the parameter e for cohesionless soils of 700 and 1700 for a loose sand
(e= 0.9) and a very dense silty sand (e= 0.3) respectively, the consis-
tency of these equations for cohesionless soils is confirmed.
For clays, Seed and ldriss (1970) have proposed the simple correlation
between shear modulus and undrained shear strength (cu)-
(8.81)
where a is ao empirical constant which ranges from approximately 1000
to 3000. This correlation has been criticised on the grounds that shear
strengths and shear stiffnesses are not similar functions of effective
stress. Eqn (8.81) does however have value as a first approximation in
practical design.
The Hardin and Black equation (8.78) tends to underestimate the
in-situ shear moduli of cohesive soils, partly as a result of ageing effects
and sample disturbance (Anderson et al., 1978). ln competent soils (i.e.
where G 0 > 100 MN/m2 ) they found that field values of G 0 exceeded
the values obtained from this equation by a factor of 1.3-2.5. For
partially cemented soils, the discrepancy is greater. Analysis of field
data obtained from tests on a soft bay mud (Stokoe et al., 1978) and a
hard glacial till (Murphy et al., 1978) suggest that in both cases eqn
(8.78) would underestimate G 0 by a factor of 1.5. On the other hand,
while the shear moduli values predicted by this equation for the very
stiff London clay at Hendon are sensibly constant with depth
(G 0 = 400 MN/m 2 ), the values measured by Abbiss (1981) are consider-
ably smaller ( G 0 = 130 MN/m 2 at 10 m depth) and increase rapidly with
depth. For this clay, the Seed and ldriss equation (eqn 8.81) yields good
results. Clearly, some care should be exercised in applying these
empirical equations to soils which differ appreciably from the soils
examined in the original studies.
For machine foundation design purposes, the reduction in shear
modulus with increasing strain is relatively small. The experimental data
(e.g. Seed and ldriss, 1970; Hardin and Drnevich, 1972a) exhibit
considerable scatter around a mean trend which can be described
(within the strain range of interest here) by the empirical equation:
G = G 0/(1 + 6000y) (8.82)
where y is the shearing strain. There is some evidence that the stiffness
of clays degrades faster than sands with increasing strain. For strain
leveis of 50µE, eqn (8.82) predicts a reduction in shear modulus of 23%.
Conservative or optimistic values of G may be obtained by replacing the
empirical coefficient (6000) by 10000 and 4000 respectively. Thus.
conservative estimates of shear moduli at 50 µE are 33% less than Go:
optimistic estimates are 17% less than G 0 • Further research work needs
to be done to develop reliable methods for calculating appropriate
400 CYCLIC LOADING OF SOILS
values of shear modulus at larger strain amplitudes and to measure the
strains developed beneath machine foundations. Prediction of an appro-
priate mean strain levei is very difficult, but an order of magnitude
estimate may be obtained by calculating the ratio of the permissible
foundation vibration amplitude to the foundation (equivalent) radius.
For example, a foundation of diameter 4 m operating at 10 Hz (and
adopting the velocity criterion of eqn 8. 76) yields a shear strain of the
order of 6 f..lE.
Richart et al. (1970) cite Hardin and Richart (1968) as a source for
the commonly held view that the frequency of vibration has no
measurable effect on shear moduli. Anderson (1980), however, warns
that for some soft clays there may be a rate effect. ln consequence,
laboratory and in-situ tests which operate at foundation vibration
frequencies should be preferred.
8.6.3 Material damping ratio /3
Unlike shear modulus, the material damping ratio /3 increases with
increasing strain. ln some modes of vibration (particularly rocking) and
for some types of soil deposit (viz. strongly stratified soils), material
damping can have a significant effect on foundation response since in
these cases geometrical damping is inhibited by wave interference and
wave reflection respectively.
Material damping in soils is hysteretic (frequency-independent) as a
first approximation. Nevertheless, it is convenient to describe the
dynamic behaviour of soils in terms of the Kelvin-Voigt viscous model.
Thus:
r = Gy + µy (8.83)
where µ is the viscosity coefficient. Assuming harmonic motion, i.e:
y = Yo eiwt (8.84)
leads to:
r = G*y (8.85)
where:
G* = G(l + iµw/G) (8.86)
This one-dimensional model illustrates how the shear modulus can be
replaced by its complex-valued viscoelastic counterpart in order to
incorporate material damping (Bland, 1960; Veletsos and Verbic, 1973)
and, also, how the hysteretic model may be recovered if the 'viscosity' is
inversely proportional to frequency.
MACHINE FOUNDATIONS 401
ln terms of these parameters, the loss angle c5L (which describes the
phase lag between stress and strain) is defined as:
tan c5L = µw/G (8.87)
The material (modal) damping ratio /3, defined in terms of criticai
damping, can be shown (Lysmer, 1980) to be related to loss angle via
the equation:
/3 = sin ( c5d2) (8.88)
For small damping ratios:
/3 = cSd2 (8.89a)
= c5/2rr (8.89b)
where c5 is the logarithmic decrement (the natural logarithm of the ratio
of successive amplitudes). Alternatively, the material damping ratio can
be estimated from the coefficient of attenuation a- (which describes the
decrease in amplitude of vibrations with distance from a source) from
the equation:
/3 = a-L/2rr (8.90)
where L is the wavelength of the propagating wave.
Hardin (1965) has proposed an empirical equation for sands (for shear
strains less than 100 f..lE and 25 kPa < p < 150 kPa) which can be written
in the dimensionless form:
(8.91)
which indicates that damping increases with increasing strain but de-
creases with increasing mean effective stress. ln the specified mean
stress range, /3 varies between 0.7 and 1.7% at a shear strain of 50 µE.
Hardin and Drnevich (1972b) have published empirical equations for
damping ratio but these are more useful at large strain leveis since they
are cast in terms of 13mm the damping ratio at large strain amplitudes.
An interesting conclusion from their study is that the normalised
damping and shear moduli are empirically related by the equation:
(3=1-G (8.92)
where (3 = f3//3max and G = G/G 0 • Although this equation may be valid
at large strains, it implies that material damping becomes vanishingly
small at low strains. Moreover, eqns (8.92) and (8.82) taken together
imply that at small strains damping is proportional to strain, which is at
variance with eqn (8.91).
Stoll (1978) describes a mathematical model of damping based on the
Biot theory of wave propagation in porous saturated solids. His theoret-
ical results show that for shear waves in saturated sands (e= 0.67)
damping is independent of frequency up to about 50 Hz. At higher
402 CYCLIC LOADING OF SOILS
MACHINE FOUNDATIONS 403
frequencies (above 300 Hz) damping reaches maxima 3-5 times higher of this conclusion Hardin cites Krizek's (1977) work which shows that
than the low-frequency values. This result has clear implications for Poisson's ratio decreases with decreasing strain.
laboratory and in-situ testing. Theoretical values of damping ratio at low
frequency obtained by Stoll, for mean effective stress of 6.5 kPa and
65 kPa, were 2.6% and 0.8% respectively. Soil permeability has a 8. 7 Design examples
significant effect at frequencies greater than 10 Hz. This result is
supported by Hall and Richart (1963) who observed that the damping in The following sample hand calculations are illustrative of those carried
saturated sands at about 300 Hz was 1.5-4 times greater than for dry out in connection with the design of foundations for a paper mill. Data
sands. Stoll's data for low-frequency damping support an empirical for the figures, which depict the frequency responses of deep and
equation of the form: shallow foundations, were computed on a microcomputer.
(8.93) The operating speed of the machinery is 43.3 rad/s, at which speed it
where e is 0.0065 in this case. The form of this equation is similar to develops a lateral harmonic force of 30 kN at an elevation of 8.4 m
eqn (8.91). Proceeding a step further, if infinitesimal strain is taken to above ground levei. The soil is a deep deposit of silty clay
2
be 1 µe (the threshold strain for shear modulus) it is tempting to write ( G = 40 MN/m , v = 0.35, p = 1960 kg/m 3 , /3 = 0.05). The mass of the
eqn (8.93), by analogy with eqn (8.91), as: superstructure is 180 X 103 kg, and it has a moment of inertia about its
centroid (at elevation 4.0 m) of 2.8 x 10 6 kgm 2 • The corresponding data
(3 = 0.103yº.2(PA/p)l/2 (8.94) for the machine itself are m = 55 x 103 kg, z = 7.0 m and
l = 0.02 x 10 6 kgm 2 .
The agreement between the coefficients is remarkable but may be
coincidental.
From the energy attenuation values measured by Woods et al. (1985), 8. 7.1 Shallow foundation design (Table 8.1)
damping ratios of 0.5-3% for very hard soils to very weak soils can be
estimated. These data are relevant to Rayleigh wave propagation and, For illustrative purposes, we assume the foundation dimensions
consequently, relatively low stress leveis. (X, Y, t) to be 10 m, 6 m and 1.5 m respectively. Also assume
It is difficult to draw general conclusions from the published data but, D = 1.5 m and perfect bonding between the foundation and the sur-
conservatively, material damping values of 1% are appropriate for rounding soil. Also, Pc = 2500 kg/m 3 .
competent soils and 3% for weak soils. Higher values, perhaps by a
factor of two, may be assumed if foundation amplitudes and stress leveis 8.7.1.1 Sliding (impedance units are MN/m)
depart significantly from the norm. However, reflection of radiating
waves from layer interfaces and non-linearities, which cannot be ana- K/ = 856, ªº = 1.34, lx'" = 1.0 + i0.8.
lysed by any practical means, are likely to swamp any uncertainties in Kx = 856+ i685, e= 0.34, /k = 1.44, /e= 1.88.
evaluating material damping.
K/ = 1233 + i1288, G*/G = 1 + i0.1, Kx = 1104 + il4ll.
mw = 862,
2
Kt = 242 + i1411.
8.6.4 Poisson's ratio
Table8.1
Foundation response to dynamic loading in the drained and undrained
states can be significantly different. ln the 'total stress', elastodynamic Mass Elevation I lo
(x 10 3 kg) (m) (x 10 6 kg m 2 ) (x 10 6 kg m 2 )
analysis, the drained and undrained states are distinguished by the value
of the Poisson ratio since shear moduli are independent of pore water Foundation 225 -0.75 1.92 3.66
Superstructure 180 4 2.80
pressure. For undrained loading (applicable to foundations on clays), Machine
3.49
55 7 0.02 1.38
Poisson's ratio is equal to one-half. For drained loading (sands, etc.), Total 460 2.04 8.53
Hardin (1978) concludes from severa! sources that Poisson's ratio should
be taken to be 0.1 at small strains. This value is much smaller than that Load eccentricity, L = 6.36 m, Q = 30 kN, T = 191 kNm.
Base eccentricity, Z = 3.54 m
normally assumed for sands in routine geotechnical work, but in support n = l.67, rx = 4.41 m, V,= (G/p) 112 = 143 m/s.
404 CYCLIC LOADING OF SOILS MACHINE FOUNDATIONS 405

8. 7.1.2 Coupled (impedance units are MN) greater width, all other parameters being held constant. By an unfortun-
ate coincidence, foundation resonance occurs near to the operating
Kc = 552 + i705, Kt = -3360 - i4290. frequency.

8. 7.1.3 Rocking (impedance units are GNm)

I w r = 0.696 + i0.30. 8. 7.2 Deep foundation design (Table 8.2)
K/ = 20.8, rr = 5.02 m,
Kr = 14.5 + i6.25, e = 0.299, l k = 1.60, l e = 1.60. An embedded but ineffective pile cap O. 75 m thick and the sarne plan
dimensions as before is assumed. The piles, which are 0.75 m in
K/ = 23.2 + ilO.0, G*/G = 1 + i0.l, Kr = 22.2 + il2.3.
diameter and 7.5 m long, are spaced 3 m apart (centre to centre) in a
2
Jw = 16.0, K'( = 16.4 + i25.0. 3 x 2 rectangular array. Assume EP = 25 GN/m 2
Converting all quant1tJes to common units (N, m) and inverting the
impedance matrix yields the centroidal lateral displacement and rota- 8. 7.2.1 Single-pile impedances (units are MN, m)
tion: K, = 707 + i188, Kx = 231 + i64.0.
5
x = (-4.67 - i6.43)10- m,5
0 = (-0.62 - il.64) 10- rad Kc = -236 - i39.6, Kr = 438 + i35.0.
At the machine axis, at elevation 8.4 m, the lateral displacement
amplitude is 0.19 mm. This displacement falls into the 'troublesome to 8. 7.2.2 Interaction factors. For a comer pile, the sum of the interaction
persons' category. Figure 8.13 shows the frequency response of this factors (A) is 1.92; for a centre pile, A = 2.10. Assume A = 2.0. Hence:
foundation (quadratic forcing function) and two other foundations of Kxg = 693 + il92, Kcg = -1420 - i238.
Krg = 28100 + i6980.
0·3.------.-----.-----~---~ Note: h = 3 m for comer piles and O for centre piles.

8. 7.2.3 Impedance matrix

K:g = 41 + i192, Ktg = -4060 - i970.
Ktr = 37 500 + ill 600.
0·2
Solving as before, the centroidal lateral displacement and rotation are:
X x = (-11.1 - i3.02)10- 5 m, (J = (-0.81 - i0.37)10- 5 rad
(mm)

O1 Table8.2

Mass Elevation I lo
(x 10 3 kg) (m) (x 10 6 kgm 2 ) (x 10 6 kg m 2 )

Foundation 112 -0.37 0.94 2.27

Superstructure 180 4.0 2.80 2.96
Machine 55 7.0 0.02 0.87
80 Total 347 3.06 6.10
FREQUENCY (rad /sl Load eccentricity, L = 5.34 m, Q = 30 kN, T = 159 kNm.
Figure 8.13 Effect of foundation width (Y) on the theoretical frequency response of a Base eccentricity, Z = 3.81 m.
shallow foundation. V= 0.045, ao= 0.114, IP= 0.0155 m 4 .
406 CYCLIC LOADING OF SOILS MACHINE FOUNDATIONS 407

At the machine axis, x = 0.16 mm. This displacement falls into the Appendix 8.1 BASIC procedure
'troublesome to persons' category. Figure 8.14 shows the frequency
response of this foundation and two other foundations (with longer 10 DEF PROCCOMPLX (A,B,C,IP)
piles), all other parameters being held constant. Resonance occurs at a 20 DIM A(2),B(2),C(2)
frequency of approximately 30 rad/s. lt should be noted that at the 30 IQ=IP+3
operating frequency of 43.3 rad/s, pile length has little effect on the 40 ON IQ GOTO 50, 90, 120, 150, 180
response. The high resonant peaks would be moderated by incorporat- 50 D=B (l)A2 + B(2)A2
ing soil material damping into the single-pile impedances (by multiplying 60 C(l)=(A(l)*B(l) + A(2)*B(2))/D
them by the factor G*/G). 70 C(2)=(A(2)*B(l) - A(l)*B(2))/D
80 GOTO 200
90 C(l)=A(l)-B(l)
100 C(2) = A(2)- B(2)
Acknowledgement 110 GOTO 200
120 C(l)=SQR(A(l)A2 + A(2)A2)
130 C(2)=57.3*ATAN(A(2)/A(l))
The assistance of Mr. Suhol Bu (postgraduate student at Glasgow 140 GOTO 200
University) in compiling section 8.3 is gratefully acknowledged. 150 C(l)=A(l)+B(l)
160 C(2)=A(2)+B(2)
170 GOTO 200
180 C(l)=A(l)*B(l) - A(2)*B(2)
190 C(2)=A(2)*B(l) + A(l)*B(2)
200 REM RETURN
210 ENDPROC
0·4 L=7·5m
e
e IP=-2 C=A/B
e IP=-1 C=A-B
e IP=-0 C(l)=MODULUS (A)
0·3 e C(2)=PHASE (A) DEG.
X e IP= 1 C=A+B
(mm.) e IP= 2 C=A*B
e
0·2

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multilayered soils. Géotechnique 30: 159-177.
Gazetas, G. (1983) Analysis of machine foundation vibrations: state of the art. J. Soil
Dynamics Earthquake Engng. 2: 2-42.
Gazetas, G. & Dobry, R. (1984) Horizontal response of piles in layered soils. J. ASCE
110 (GTl): 20-40.
Gazetas, G. and Selig, E. T. (eds.) (1985) Vibration problems in geotechnical engineering.
Proceedings of the ASCE Symposium, Detroit, MI.
Gazetas, G. and Tassoulas, J. L. (1987) Horizontal stiffness of arbitrarily shaped
embedded foundations. J. ASCE 113 (GT5): 440-457.
Hall, J. R. (1967) Coupled rocking and sliding oscillations of rigid circular footings.
Proceedings of the International Symposium on Wave Propagation and Dynamic Proper-
ties of Earth Materiais, Albuquerque [reference Richart et ai. (1970)].
Hall, J. R. and Richart, F. E. (1963) Dissipation of elastic wave energy in granular soil. J.
ASCE 89 (SM6): 27-56.
Hardin, B. O. (1965) The nature of damping in sands. J. ASCE 91 (SMl): 63-97.
Hardin, B. O. (1978) The nature of stress strain behaviour for soils. Proeeedings of the
ASCE Conferenee on Earthquake Engineering and Sai/ Dynamics 1: 3-90.
Hardin, B. O. and Black, W. L. (1969) Vibration modulus of normally consolidated clay
(Closure). J. ASCE 95 (SM6): 1531-1537.
Hardin, B. O. and Drnevich, V. P. (1972a) Shear modulus and damping in soils:
measurement and parameter effects. J. ASCE 98 (SM6): 603-624.
Hardin, B. O. and Drnevich, V. P. (1972b) Shear modulus and damping in soils: design
equations and curves. I. ASCE 98 (SM7): 667-691.
Hardin, B. O. and Richart, F. E. (1963) Elastic wave velocities in granular soils. J. ASCE
89 (SMl): 33-65.
Kaynia, A. M. and Kausel, E. (1982) Dynamic behaviour of pile groups. Proeeedings of
the 2nd lnternational Conference on Numerieal Methods in Offshore Piling, Austin, TX
509-532.
Kausel, E. (1974) Forced vibrations of circular foundations on layered media. Researeh
Report R74-II, MIT.
Krizek, R. J. (1977) Fabric effects on strength and deformation of kaolin clay. Proceedings
MACHINE FOUNDA TIONS 409
of the 9th International Conferenee on Soil Meehanics and Foundation Engineering,
Tokyo 1: 169-176.
Kuhlemeyer, R. L. (1979a) Vertical vibration of piles. J. ASCE 105 (GT2): 273-287.
Kuhlemeyer, R. L. (1979b) Static and dynamic laterally loaded floating piles. J. ASCE
105 (GT2): 289-304.
Luco, J. & Westmann, R. A. (1971) Dynamic response of circular footings, J. ASCE 97
(EM5): 1381-1395.
Lysmer, J. (1980) Foundation vibration with soil damping. Proceedings of the Conference
Civil Engineering and Nuclear Power, 2, paper 10.4, Knoxville, Tennessee, 1-18.
Lysmer, J. and Richart, F. E. (1966) Dynamic response of footings to vertical loading. J.
ASCE 92 (SMl): 65-91.
Madshus. C., Nadim, F., Engen, A. and Lerstol, A. M. (1985) Low tuned compressor
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Geoteehnieal Engineering, Detroit, 117-137.
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semi-infinite soil. Proe. Roy. Soe. Lond. A 233: 55-69.
Murphy, D. J., Koutsoftas, D., Covey, J. N. and Fischer, J. A. (1978) Dynamic properties
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Nogami, T. (1979) Dynamic group effect of multiple piles under vertical vibration.
Proeeedings of the Engineering Meehanies Division, ASCE Speeialty Conference, Austin,
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Nogami, T and Novak, M. (1977) Resistance of soil to a horizontal vibrating pile. J.
Earthquake Engng Struet. Dynamies 4: 277-290.
Novak, M. (1974) Dynamic stiffness and damping of piles. Canad. Geoteeh. I. 11:
574-598.
Novak, M. (1977) Vertical vibration of piles. J. ASCE 103 (EMl): 271-285.
Novak, M. (1985) Experiments with shallow and deep foundations. Proeeedings of the
Symposium on Vibration Problems in Geoteehnical Engineering, ASCE, Detroit, 1-26.
Novak, M. and Aboul-Ella, F. (1978) Impedance functions of piles in layered media. I.
ASCE 104 (EM3): 643-661.
Pais, A. & Kausel, E. (1988) Approximate formulas for dynamic stiffnesses of rigid
foundations. J. Soil Dynamics Earthquake Engng 7: 213-226.
Paulos, H. G and Davis, E. H. (1980) Pile Foundation Analysis and Design. John Wiley &
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Schwingungen eines homogenen elastischen Halbraumes. Ing. Arch. 7: 381-396.
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Proeeedings of the ASCE Conferenee on Earthquake Engineering and Soil Dynamies,
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Stokoe, K. H. and Lodde, P. F. (1978) Dynamic response of San Francisco Bay mud.
Proeeedings of the ASCE Conference on Earthquake Engineering and Soil Dynamies,
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Stoll, R. D. (1978) Damping in saturated soil. Proeeedings of the ASCE Conferenee on
410 CYCLIC LOADING OF SOILS
Earthquake Engineering and Soil Dynamics, Pasadena 2: 960-975.
Sung. T. Y. (1953) Vibrations in semi-infinite solids due to periodic surface loadings.
Symposium on Dynamic Testing of Soils, ASTM-STP 156: 35-64.
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initial shear stress. lntemational Symposium on Soils Cyclic Transient Loading, Swansea
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Engng. Struct. Dynamics 2: 87-102.
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Proceedings of the ASCE Conference on Soil Dynamics and Earthquake Engineering,
Pasadena 2: 1024-1041.
Wong, H. L. and Luco, J. E. (1976) Dynamic response of rigid foundations of arbitrary
shape. J. Earthquake Eng. Struct. Dynamics 6: 3-16.
Woods, R. D. (1978) Measurement of dynamic soil properties. Proceedings of the ASCE
Conference on Earthquake Engineering and Soil Dynamics, Pasadena 1: 91-178.
Wright, D. K., Gilbert, P. A. and Saada, A. S. (1978) Shear devices for measuring
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ing and Soil Dynamics, Pasadena 2: 1056-1075.
1 constants and methods of analysis to enable the successful prediction of
9 Effects of cyclic loading on the long term
settlements of structures
N. J. O'RIORDAN
9.1 lntroduction
Over the past 30 years the settlement performance of a large number of
structures has been monitored and reported in the geotechnical
literature. Case histories are reported in numerous conference proceed-
ings, the most important of which are the American Society of Civil
Engineers Speciality Conference on Performance of Earth and Earth
Supported Structures, Purdue (1972); the International Conference on
Case Histories in Geotechnical Engineering, Missouri (1984); the Con-
ference on Settlements of Structures, Cambridge (1974); and the 7th
European Conference on Soil Mechanics and Foundation Engineering,
Brighton (1979).
The majority of the structures for which settlements are reported are
conventional buildings in which the domimmt loading is static or 'dead'.
Great attention has been paid to the derivation of equivalent material
the performance of similar structures founded on similar materials to
those contained in the database. As a result of the success of these
analyses, the initial and long-term settlement of structures under pre-
dominantly static loading can be estimated with acceptable accuracy.
Structures for which the long-term settlements can be difficult to
predict include those for which the dominant loading is 'live', that is
where a significant proportion of the total load experienced by a
foundation varies with time. For instance, Bjerrum (1964) reported a
variety of structures that experienced long-term settlement at virtually
constant rates of around 1-10 mm/year in response to large transient
loads. Lunne et al. (1982) report similar rates of long-term settlement
for offshore structures subjected to wind and wave loading. Records for
these structures do not display the significant reduction in settlement
rate predicted using conventional secondary consolidation theories (Tay-
lor, 1948; Gibson and Lo 1961; Barden, 1968) illustrated in Figure 9.1
(a and b).
ln those situations where the cyclic loading is rapid and is of
significant magnitude relative to the 'undrained' shear strength of the
soil, models of soil behaviour using fatigue theory have been used to
412 CYCLIC LOADING OF SOILS LONG-TERM SETTLEMENTS OF STRUCTURES 413

load criticai state Sheor stress

line ,:
log t
'\
primory '\
consolidation Mean effective
settlement stress IT~ '\
'\
'\
'\
secondory \
consolidation '-21,y '\
1oI stotic looding \
normal \
consolidation \
('t= 01 line \
\
\
\
projection of
load criticai state line

l
log t
primory
consolidotion

settlement

Figure 9.2 Stress path during drained cyclic loading.

1bI cyclic loading

Figure 9.1 Effect of cyclic loading on long term settlement.
establish operational strengths for stability analyses. These processes are
described in Chapter 4 and will not be dealt with here.
A cyclically loaded foundation system may be designed for stability by
the use of appropriate safety factors against overturning, sliding, etc.
Often, it is also necessary to establish the long-term settlement behavi-
our of the foundation, but this cannot usually be achieved with the sarne
degree of accuracy.
Long-term repeated loading produces variations in cyclic shear stress,
ry, about a mean normal effective stress, 0~0 , midway between the
unloaded and fully loaded condition. Figure 9.2 illustrates in a general
way the stress paths taken during long-term cyclic loading with full
drainage during each cycle of load. Long-term loading in this manner
results in overconsolidation, and it is clear that, having sustained safely
the first increment of load, failure is unlikely to be reached as a result of
long-term, drained cycling although substantial volumetric strains may
occur. The reduction in void ratio that accompanies drained cycling is
caused by particle realignment. Such realignment in sands is commonly
called 'shakedown'. The characteristic changes in soil behaviour are:
(1) Increasing stiffness within each cycle.
(2) Increasing coefficient of consolidation (e.g. Fujiwara et al., 1985).
Cycling of clay soils in which only partial drainage occurs will eventually
approach drained behaviour, as the coefficient of consolidation in-
creases.
Several authors, notably Ansal et al. (1979) and Chang and Whitman
(1989), provide a framework using conservation of energy principies to
describe how work dane during cyclic loading is dissipated in particle
j rearrangement, resulting in permanent volumetric and shear strains. The
development of theoretical models to describe these permanent strains is
a legitima te study, but is beyond the scope of this chapter. The case
histories of the performance of real structures and of materiais in
laboratory tests shall be examined to derive a straightforward approach
414 CYCLIC LOADING OF SOILS
LONG-TERM SETTLEMENTS OF STRUCTURES 415
that can be used to predict long-term settlements under cyclic loading
with acceptable accuracy for most situations.
The case histories of structures built on cohesionless soils are con- t
sidered before those on cohesive soils because the rate of consolidation
is sufficiently rapid to permit full dissipation of excess pare pressures.
This enables the way in which successive cycles of shear reversa! cause
permanent deformations to be studied without the added complication ~·n
of consolidation effects.

9.2 Structures founded on cohesionless soils

ln their review of settlements of foundations on sands and graveis,

Burland and Burbidge (1985) identified 11 structures out of 200 reported Figure9.3 Drained cyclic triaxial on Oosterschelde sand. (After Marr and Christian. 1981.)
cases which possessed long-term monitoring information. Of those 11,
just three chimneys and a telecommunications tower fall into the high
live load category. For these structures Burland and Burbidge suggest a
relationship of the form: ~
e
46
7:cllrn~ =0-18; lrn~ =25 l/m 2 ; t 0 / 11"0 ~ =0-20
-iJ o,
p
03
ôi/ôi =l + R3 + R 1 Iog(t/3) ;_ ••h.::-=;....;:~=-...:c+---'...,,,,,-..:-'+---=~ e
"'"' 02
where ôi/ôi is the ratio of the settlement ô 1 at time t to the settlement ôi
-~
r!f.
,21-----+-="'----+="------+- ~
~ ~ ~
on completion of construction. R 3 and R 1 are constants, R 3 being the ,o .?;- DR= 28¾: 11"0~= 25 t/m 2 : 7:0 /11"~0 = 0-20
0
settlement ratio at t = 3 years. For the examples reported by Burland 10 1 10 2 10 3 10° 10 1 10 2 103 10•
and Burbidge, R 3 varies between 0.35 and 1.00 and R 1 between 0.5 and Number oi cycles Number oi cycles
0.85. Applying the formula to a tank on loose sand described by
Bjerrum (1964), for instance, yields constants slightly outside this range • o
DR= 28¾; lr0 ~ = 25 l/m 2 ; Lc /!r0 ~ = 0-18
~
with R 3 of 0.26 and R 1 of 0.87. 'ô 04
For a cyclic loading duration of 30 years, the ratio of long-term to l-'
o·
~
initial settlement, ôi/ôi, can vary between 1.9 and 2.5. The use of time ~
"'
"'
as the basis for prediction may be convenient when the history of ~ 02
loading is unknown or unpredictable. However, the treatment of pub- j o., 1-------J'--+--,,___ _,___--,r-_--+--I
lished records in this way yields widely varying forward predictions, and e DR= 28¼; Lei 11" ~ = 0-18; 7: /11" ~ = 0-20
2 o.....__ _...__0_........__0_0........__ ___, E o....._.__a--~-......__.,_......_~___,
it is useful to look at the fundamental principles underlying this ::e: 10º 101 102 103 104 ::e: JOÜ 101 102 103 104
behaviour. Number oi cycles Number oi cycles

Marr and Christian (1981) and subsequent workers, Bouckovalas et Figure 9.4 Cyclic triaxial tests on loose Oosterschelde sand. (After Marr and Christian,
al. (1984) and Chang and Whitman (1988), have explored the behaviour 1981.)
of sand under drained cyclic loading in the laboratory. Stress paths in
the triaxial apparatus examined by Marr and Christian are shown in data presented by Marr and Christian indicates that the accumulation of
Figure 9.3, from which it may be seen that both full (isotropic) and cyclic volumetric strain Evc after the first application of cyclic shear stress
partial (anisotropic) shear reversals are considered. The resulting cumu- Tcy on a system at a given state of mean stress T 0 /a~ 0 can be expressed in
lative volumetric shear strain response of loose Oosterschelde sand, with the following manner:
relative densities of between O and 56% are presented in Figure 9.4.
From Figure 9.4(d) it may be seen that volumetric strains are relatively Evc = 3.6(Tcy/a~0 )32.5 10 gN
insensitive to To/ a~0 ( the mean shear stress ratio). Further analysis of the where N is the number of cycles of Tcy, a~ 0 is the mean consolidation
416 CYCLIC LOADING OF SOILS LONG-TERM SETTLEMENTS OF STRUCTURES 417

stress, and the cyclic volumetric strain, Evc, is expressed as a percentage. {a)
0-L N=1to 10 4 cycles
The correspondence between the published data and this simple predict-
ive equation is illustrated in Figure 9.5. 0-3
As the mobilisation of available shearing resistance increases, so axial 1'o
lrn~ 0-2 0R = 28 'I.
(shear) strains dominate behaviour. Thus, cumulative axial strains are lrn'o =250 kPo
very sensitive to mean stress ratio, and this is shown in Figures 9.6(a 0-1 Lcy/lJ"n~ = O18
and b). Figure 9.6(b), derived from the Marr and Christian data by the
present author, clearly shows the influence of the mean stress ratio on o
the relative development of axial and volumetric cumulative strains. oxiol
Cumulotive volumelric stroin %
When rcy/0~ 0 > 0.2, the axial cumulative strain exceeds the volumetric
cumulative strain. When r0/a~ 0 = 0.2 then Evc = Eac =
3.6( rcy/a~0 ) 3 2.5 1ºgN and so the cumulative effect of multiple shear {b)
reversais can be expressed as a constant raised to the power of log N.
The magnitude of the constant will vary with mean normal effective
stress, level grading, density, angularity and cementing.
For this loose sand, the data suggest that a peak cyclic shear stress
ratio less than about 0.32 will result primarily in volumetric strains. This 2
-5i 0-1 r--~-t-".-------"v-----'t:-t-~----i
corresponds to a mobilised angle of friction, q/, of around 19º, implying e,

il o
a partial factor of 1. 7 on maximum value of 30º for this material. Thus :E 10'-::o---10':-1--....
10-:-20 - -
the following form is suggested if peak cyclic stresses imply a partial Number oi cycles
factor of not less than 1. 7 on tan <1>:,,ax for estimation of cumulative Figure 9.6 Effect of means stress levei on cumulative strains. (a) Variation of the ratio of
long-term settlements, ô 1 , on granular materiais: axial to volumetric strain with mean stress levei. (b) Variation of cumulative axial strain
with mean stress levei. (After Marr and Christian, 1981.)
Ôr = ôiAlogN

where N > 1, A is a constant and ôi is the settlement calculated for the

1-0 (1; [, )3 log N :1-
Evc = J.6 cyl no ·2-5 first application of load.
~ 'l,l::, Yasuhara et al. (1983) report repeated load triaxial tests carried out at
e: ,§
·;;; ~e;
~q; a peak cyclic stress ratio of 0.33 on a medium-dense to dense decom-
vi 0-8
'-
u
·e
~
~~q;
'/-{'
• posed granite aggregate. The cumulative axial deformations can be
E
~<.,~
e.,<:>
adequately described using the above expression, with A = 1.2, as
i 0-6 shown in Figure 9.7. Likewise, the cumulative axial strains Eac sustained
..,
-e
by cohesionless materiais with a wide range of gradings reported by

. /:
§
==
u Diyaljee and Raymond (1982) can be described by the expression:
õu
0-L
~ KEV Lcy/lrn~
UJ
e 0-L
o 0-25 where N > 1 and E 80 is the axial strain sustained on first load applica-
0-2 + 0-18
tion in a drained triaxial test. The value of the constant A varies
X 0-11
J/!
)(
º"=26'/, a;,~ =250 kPo
L,,/lrn~ =0-20
between 1.06 and 1.4 depending on material type, and to a lesser extent
on stress level, as shown in Figures 9.8 and 9.9. Returning to Bjerrum's
o tank on loose sand, the measured settlement can be represented with
o 0-2 0-L 0-6 0-6 1-0
Evc meosured volumetric stroin sufficient accuracy with A = 1.23, as shown in Figure 9.10.
Chimneys and towers derive much of their repeated loading from
Figure 9.5 Comparison between measurements by Marr and Christian (1981) and predict-
ive equation. strong winds. Taking Burland and Burbidge's case records and assuming
418 CYCLIC LOADING OF SOILS LONG-TERM SETTLEMENTS OF STRUCTURES 419

Number of cycles ¾ stotic foilure sheor

Symbol stress opplied cyclicolly A
10 10 2 10 3 10 4 ,os
3 X 0-5 1-17
e
.§
•o 0-6
0-7
1-13
llO
2
... 0-8 1-08
/;, 0-9 1-06

')

\
Dry Dttowo Sond
1single size - 0-6mm 1
0"3 , 34-5 kPo
o
!í3 , 294 kPo
AIIT1 -0"3I =294 kPo -;!. 2
u
't,/O"n~' 0-33 UJ "
e:

Figure 9.7 Axial displacement of decomposed granite in cyclic triaxial test. (After Yasu-
hara et ai., 1983.)
~
cÍ
·;;.
e

~
:.;:::
E::,
Symbol rt,y !í3' 't,ylO"n'o A Coteou Bollost
E
::,
c..,

.~20LLJ
, .r~~
X 70 35 0-5 l40
•o 140
175
35
35
0-67
0}1
1-40
l35
... 210 35 0}5 l40

•
----.x----;x------,r----"5cx:'"---x
log N
Eac'A ,EoN,,
1 5 10 50 10 100 1000 10000 100 000
Pa~t1cle S1Ze, mm Number oi cycles

e Figure 9.9 Variation of cumulative axial strains from tests reported by Diyaljee and
·;;.
e Raymond (1982).
"'
.2:
:§
::,
E
::, one major settlement-producing event per year, the cumulative settle-
e..,

ments yield the range of A values given in Table 9.1. Note that in
practice there will be a number of major cycles of load in each storm,
but the manner of defining an 'event' is rather arbitrary providing that
the constants adopted correspond with the definition used.
From the comparatively few long-term case histories of the settlement
behaviour founded on sand, it is considered that long term-settlements,
o),(~===::1===I-__
x----x----x-
10 100 1000 10 000
X
.i..__ __ _ J ' - - - - _ _ , J
100 000
ô 1 , can be estimated to reasonable accuracy by the following formula:
Ô1 = ôJ.5logN
Number oi cycles
Figure 9.8 Variation of cumulative axial strains from tests reported by Diyaljee and
Where N is the number of load cycles and ôi is the settlement under the
Raymond (1982). first application of load.
420 CYCLIC LOADING OF SOILS LONG-TERM SETTLEMENTS OF STRUCTURES 421

m
/@.
e
E -
Frnes□nd (
~ 29-1. m-------

~' Rema,nsof ,,
= ,oc_.c..:wo-'--'od~L--,"c____ac---!
O 20 40 60
Porosity. '/,
,.\___,/~
• 0bservation point ~
@Boring
SECTION PLAN

Time in years Ê
.;:s '°º"""'
~ ~ ~ ;:S
0-2 0-5 2 5 10 20 50 100

7-10 fillings per year

• Point I
---1---+-----< º .. m
,, .. y

i 21.1-+:::::'$;:::::::;;t~r:..;;:_~~+----+----l------1
_§
i 321----+---1----1----+---l---___,_,F'--_1
predicted
N V) N Vi
OOociOtn
,-,,-,
/\ /\ /\

Figure 9.10 Settlement of oi! tank at Drammen. (After Bjerrum, 1964.)

Where shear stress concentrations are highest, normally around the 1 1;::
perimeter of shallow foundations, settlements may be dominated by the
development of high shear strains. It is suggested that, where the overall
factor of safety is less than about 1. 7, the drained, repeated load
behaviour of the material at high shear stress levels should be examined
using cyclic triaxial testing to reproduce the range of loading conditions
likely to be imposed under the foundations. -o
>. >. >.
<)) <)) <))

ai::: ae ea ~

9.3 Structures founded on cohesive soils ·-..e: ·-..e: o~

·-..e:UUUE-< <l.)

....
The analysis of repeated loading of structures on foundations on :E°':'A
= uroo ~a:!
cohesive soils is complex because it is difficult to establish the degree of E-4 = \0\00\('1')
....-!~.......-1\0
422 CYCLIC LOADING OF SOILS LONG-TERM SETTLEMENTS OF STRUCTURES 423

consolidation achieved during each load cycle. However, by examining

drained laboratory tests, it is possible to observe similar strain accumula-
0·167
tion behaviour to that observed for the cohesionless materiais discussed
above.
0·138
As with shakedown of sands, clays, when repeatedly sheared, tend to
'Cc
display the attributes of overconsolidation shown in Figure 9 .2. The (ího
012

results of an oedometer test on a glaciomarine clay subjected to 10

drained unloading cycles are shown in relation to the consolidation line 0.83
of fully remoulded soil in Figure 9 .11. The rate of accumulation of
strain, initially about 0.08% per cycle, is considerable. Fujiwara et al.
(1985) produced a comprehensive set of cyclic drained oedometer tests
on alluvial clay, and the results are shown graphically in Figure 9.12.
The cumulative cyclic volumetric strain can be expressed as:
E vc = lOO(re/a'no )1. 8 1 · 5logN
10 100 1000
This expression bears the sarne form as that derived above for cohesion- N, number oi cycles
less materiais. Fujiwara et al. (1985) found that the increase in stiffness
Note: Lc is derived, assuming lrh' = 0-6 ir; throughout
in each cycle generally caused the coefficient of consolidation to
increase. This means that during each successive cycle the rate of 0021 shear stress ratio Iram Fujiwara's tests
drainage. improves. ~ valumetric strain ( ¼) from Fujiwara's tests

Figure 9.12 Drained cyclic oedometer tests on alluvial clay. (After Fujiwara, 1985.)

Morin and Gervais (1987) report settlements of tower silos, subjected

to repeated loading, on Champlain clays. The records of two of their
case histories are reproduced in Figure 9 .13. The silos were used for
silage and thus were loaded annually. Substantial drainage of the ground
can therefore be assumed within each loading cycle. The settlement
behaviour over 10 years can be described by the following expression:
Ô1 = Ôj3logN
.!= 0·98t---------+--~-+----+--+--+--+--,~t-----i
E The settlement curve predicted by this expression is superimposed on
.,, Figure 9.13 .
~
., 0.95 t--------+------>,t------+------,--+---+---+-----,-t---i Vefling (1974) reported the settlement performance over 13 annual
cycles of two 20 m-diameter sugar silos founded on an overconsolidated
glacial clay. The settlement behaviour of these soils can be described by
the following expression:
Ô1 = ô).5logN
Vefling's records and also those of Morin and Gervais (1987) demon-
strated that differential movements reduce progressively as cyclic loading
0•90~------+----~-~-~--+---+-----,-~ proceeds. This is probably because of stress redistribution beneath the
100 1000
Effective vertical stress ( kPa 1 foundation as yielding takes place around the perimeter, where the
Figure 9.11 Cyclic oedometer test on a normally consolidated glacio-marine clay. cyclic stress ratios are highest, as illustrated in Figure 9.14.
424 CYCLIC LOADING OF SOILS LONG-TERM SETILEMENTS OF STRUCTURES 425

600 600 The classical shape of the settlement of a foundation on clay is

Legend: illustrated in Figure 9.l(a). However, for cyclic loading situations, the
CASE NO. 19 CASE NO. 5
o--0 lotai E
E
E 500
._. Differential
E 500 curve becomes convex, as illustrated in Figure 9.l(b). Bjerrum (1964)
e Silo height • 18-3m e
provides the settlement history of the San Jacinto Monument, Texas,
~
.!< 400 Silo dia. • 4-9m
Foundation dia. • 7-6 m
1:: 400
founded on stiff fissured clay, as shown in Figure 9 .15. The convex
t shape is apparent, and Figure 9.10 exhibits a similar pattern .
Ji ..õ 300
Legend: Probably the most extensive set of settlement records of tanks on
er---0Total
......... Differential
Silo heighl, 18-3m
Silo dia.• 6-lm
-
Foundation dia., 10-7m

1200 2400 3600

t, time (day} t, time (day}

Setllement vs. time I case no.19} Settlement vs. time I case no. 5}

Figure 9.13 Settlement of two silos on Champlain clay. (After Morin and Gervais, 1987.) 174m

q,0 ,
qunlood=

qnet
=22-0 t/m 2
8-5 l/m2
=lJ.5 tfm2
38m
o
15m\ 38m
4-5m,tt-7,=1..-,_ ,---Je----
• Observation point
STIFF FISSURED CLAV
36m watercontent,w = 30-35¼
plast1c limit , wp = 28 %
l1quid lim1t, WL= 75¼
PLAN
6-m+---- DENSE SANO - - -
65m SANOV CLAV _ _ __

SECTION

Time in years
0-5 2 51020 50 100

5R 1 - - - - - + - - - - - - + - - - - - - - + - - - + - - - - - + - - - - - - - +
Vearly settlement
O-Bem
é 10
6Rc__ __J__ ____j__ _ _c___ _-+-_ ____..__ _ ___J e

~ 15
E
1Ir, -11'3 } imposed .!!
note: contours of IIr, • Ir, } current ~ 20
initial stress conditions Ir, • 20z kPa
IJ'h • 6z kPa 25
1
imposed vertical stress Ir, • 100 kPa 1
30
Poisson's ratio • 0-3
Figure 9.14 Ratio of shear stress to mean normal stress beneath a flexible circular loaded Figure 9.15 Settlement of San Jacinto monument. (After Bjerrum, 1964.) (NB: see
are a on elas ti e half space. postscript at end of this chapter.)
426 CYCLIC LOADING OF SOILS LONG-TERM SETTLEMENTS OF STRUCTURES 427

Time (doys) produce some empirical generalisations which are of great assistance to
10
100 1000 10000 designers, and this is the approach adopted here.
~ Alai-Omid et al., for instance, conclude that the settlement after 50
Tonk 11
years is about twice the predicted primary consolidation settlement
E
although, of course, the settlement will, in other cases, be affected by
E
the magnitude of the cyclic loading, the duration of cycles and so on .
.: 100
~ lniliol setllemenl They found that after a period of about 30-40 days of rapid settlement,
j 620 mm
the long-term settlement ô1 of each tank followed the form:
3í ~

~ log b 1 = Cl + C2 1ºg 1
1

.... L~ng- lerm consolidotion tine

1000 where Cl and C2 are constants which vary with each tank.
2000
The stress imposed by each tank on the foundation appears to be
identical, at 165 kPa, although diameters range from 18 to 70 m. The
thickness of alluvial clays is around 23 m. Figure 9 .16 shows the
variation of settlement with time for all Alai-Omid's data, normalised
Time ( doys l with respect to diameter and influence factor, which account for the
100 1000 10000 thickness of the compressible layer. Significant consistency is found for
each range of diameters, the settlement rate being proportionally larger
Tonk 8
for the largest tanks. As with the San Jacinto Monument on stiff
fissured clay, so with these tanks on alluvium the settlement-log time
curve is convex.
10
The long-term settlement ô 1 for these tanks can be approximately
E
.§.
described as follows, assuming one unloading per year:
= ôil.6logN
1 Ô1

i 100 ln1t1ol selllemenl
510mm
long-term . laboratory tests.
1000 L----l====~co~ns;ol;1da;ti:on!li:ne_J
Effecl oi dewatering ___.,
2000L-------'------'--------'
Figure 9.16 Settlement of oi! tanks 8 and 11. (After Alai-Omid et ai., 1985.)
alluvial clays is that by Alai-Omid et al. (1985), who report the
settlement histories of 30 oil tanks measured over 30 years at Brunsbut-
tle, Germany. Typical settlement histories are given in Figure 9.16.
Unfortunately, most case histories of cyclic loading of clay (including
those presented by Alai-Omid et al.) do not identify the rate and
magnitude of loading to enable settlement to be related to the number
of shear reversais. Without this information it is impossible to relate
cyclic laboratory tests to field behaviour in a wholly satisfactory way. By
studying what is available in terms of settlement data it is possible to
If only partial drainage occurs during each cycle, the opportunity for
particle reorganisation is reduced and thus greater number of cycles are
required to achieve the change in void ratio observed in drained cyclic
The settlement data from measurements of structures on a wide range
of cohesive soils has led to a relationship of the form ô 1 = ôiA log N.
Setting aside the difficulties of estimating the amount of drainage per
cycle, and boldly assuming that these may be approximated to one
drained cycle per year, the value of A varies between 1.5 and 3.0. The
higher value is for the Champlain clays reported by Morin and Gervais
(1987) and the general range is 1.5-1.6. Thus, for most situations over a
25-year design life it can be assumed to a reasonable degree of accuracy
that the total settlements will be approximately double those estimated
or observed for the first application of load.
Unusual clays, such as those for the Champlain area, or other 'quick'
clays, will require special cyclic testing to establish long-term move-
ments. Settlements of up to four times the initial values may occur
within periods of between 20 and 50 years under structures founded on
such materiais.
428 CYCLIC LOADING OF SOILS LONG-TERM SETTLEMENTS OF STRUCTURES 429

t, days Since the piles are stiffer than the soil, soil tends to move downwards
10
o
100 1000 10000 50 year (projmionl relative to the pile shaft, inducing negative skin friction (NSF). Support
in positive skin friction is maintained in the underlying stiffer strata.
Poulos and Davies (1980) provide an introduction to the allowance for
NSF in static loading of piles. Fellenius (1972) provides an excellent case
history which can be used in cyclic load situations. He reports the
installation of a series of very long, hexagonal, reinforced concrete piles
having a cross-sectional area of 800 cm 2 . Each segment of the pile was
11.2 m long, and load cells were installed at seven of the segment
splices. The piles were driven into a normally consolidated clay overly-
ing rock.

PII
110~-----~-----~-----~~

LL tons 80 tons

D µ (after D'Orazio &

=i
i Duncan 1987 l
oe
1-5 0-7 10
1-1 H
3-1 O1

Figure 9.17 Comparison of tank settlements. (After Alai-Omid et ai., 1985.)

20

9.4 Cyclic loading of foundations piled through soft ground 30

M6
Chapter 5 deals with the situation where piles in fairly stiff ground are >-
<t
subjected to cyclic loading. ln this section, the situation where piles pass ......1
'-'
through soft deposits subject to negative skin friction is considered. LO
The previous sections of this chapter dealt with shallow foundations
located on cohesive soils. The effects on drainage and consolidation in ~ MS
those systems was difficult to establish, although the possibility that
=-
:z
~
partially drained cyclic loading could be characterised by one single
50
drainage loading per year was suggested. Duration of loading can
critically affect the performance of piled foundations.
ln order to limit total and differential movements of structures located
on soft ground, piled foundations are commonly used. Loads are Oepth Axial force
initially carried in skin friction in the soft ground and in a combination (m)

of skin friction and end bearing in underlying stiffer strata. As time Figure 9.18 Variation of force with time down a precast concrete pile driven into
progresses so consolidation and creep take place in the soft ground. consolidating layer. (After Fellenius, 1972.)
430 CYCLIC LOADING OF SOILS LONG-TERM SETILEMENTS OF STRUCTURES 431

Fellenius found that, in order to develop significant relative move- Force - -

ment between soil and pile such that NSF developed, hundreds of days
needed to pass. When NSF was developed, the effect was removed by
the application of compressive load at the pile head. Figure 9 .18, from
Fellenius (1972) , shows the variation of load down an H800 pile at
various times during a 4-year testing period.
It can be seen from Figure 9 .18 that, owing to partial reversa! of shear Depth
stress in the upper 42 m of the pile, a compressive load of 80 tonnes +
removed the effect of NSF. The lower part of the pile sustained a
marginal increase in positive skin friction. It follows that if the duration
of the application of live load is short in comparison with the time
required to mobilise NSF, the load effect is felt only by the shaft. This is
illustrated in Figure 9.19. This conclusion depends, of course, on the
stiffness of the soils and the length of the pile and so may be only
Force - -
indicative for other arrangements.
The rate at which downdrag forces develop can be obtained from
regional ground settlement data and from consolidation theory as
illustrated by Figure 9.20, which is based on Poulos and Davis (1980).
The effect of multiple, partia! (i.e. the shear stress is varied but
always acts in the sarne direction) on skin friction has been studied by Depth
Ove Arup and Partners (1987) and by Karlsrud et al. (1987). These +
studies have shown that skin friction degrades markedly if full shear
reversai (i.e. where the direction of shear stress changes) occurs during
undrained cyclic loading at frequencies of around 0.15-1 Hz. For
undrained one-way cyclic loading, however, the reduction is only likely
to be between O and 20%, depending on the number of load cycles. This
is illustrated in Figure 9.21. It follows that if live load is applied rapidly,
Figure 9.19 Effect of transient cyclic loading on the load carried by a pile subject to
there will be a degradation in skin friction and the lower part of the pile downdrag. (a) During short term cyclic loading, the transient load is carried in skin friction
will progressively carry more load. The loading of the majority of pile along the upper pari of the pile. (b) li the transient load is held in place, downdrag load
structures will be slowly applied with only partia! shear stress reversais. effect increases as shear reversai takes place along the upper part of the pile. ln this way,
If live load is applied sufficiently slowly that drainage can occur in the the transient load is transferred to the lower part of the pile.
shear zone around the shaft, then Karlsrud and Haugen (1985) suggest
that there is minimal loss in shaft adhesion. T, = l.c, t.
L2
,5 0-001 0-01 0-1 10
tf
.l,!
consolidating
! 0-2 layer
Postscript j pile rigid boundary
õ 0-1.
'E Approx. limiting cum
Since this chapter was written, new data on the settlement of the San [ if full slip occurs during k = [ ~) I.Ap2
0-6 development of downdrag Es rrd
~
Jacinto monument (see Figure 9.15) has become available. Movements i 1 d - pile diameter
of surrey benchmarks of the order of 1.5 m have occurred in the vicinity õ 0-8 L/d =50 K=1000 Ep, Ap - Young's modulus,
of the monument due to groundwater abstraction since 1941. It is
possible that the movements ascribed by Bjerrum to the effects of wind
! 1-0
Two - way drainage cross-sectional area of pile
Es- Young's modulus of soil
loading may in fact be due to differential regional settlement. Figure9.20 Development of negative skin friction . (After Paulos and Davis , 1980.)
 LONG-TERM SETTLEMENTS OF STRUCTURES 433
432 CYCLIC LOADING OF SOILS

Bjerrum, L. (1964) Secondary settlements of structures subjected to large variations in live

load, NGI Publication 73.
Bouckovalas, G., Whitman, R. V. and Marr, W. A. (1984) Permanent displacement of
sand with cyclic loading. ASCE I. Geotech. Engng 110(11): 1606-1623.
Burland, J. B. and Burbidge, M. C. (1985) Settlement of foundations of sand and gravei.
Proc. ICE, Part 1 78: 1325-1381.
1-0
----- Chang, C. S. and Whitman, R. V. (1988) Drained permanent deformation of sand due to
cyclic loading. ASCE I. Geotech. Engng 114(10): 1164-1180.
D'Orazio, T. B. and Duncan J. M. (1987) Differential settlements in steel tanks. ASCE I.
Geotech. Engng 113(9): 967-1036.
0-8 Diyaljee, V. A. and Raymond G. P. (1982) Repetitive load deformation of cohesionless
soil. ASCE I. Geotech. Engng 108(10):1215-1229.
Fellenius, B. H. (1972) Downdrag on piles in clay due to negative skin friction. Canad.
Geotech. I. 9: 323-337.
Fujiwara, H., Yamanouchi, T., Yasuhara, K. and Ue, S. (1985) Consolidation of alluvial
0-6
clay under repeated loading. Soils and Foundations 25(3): 19-30.
Gibson, R. E. and Lo, K. Y. (1961) A theory of consolidation for soils exhibiting
secondary compression. NGl Publication 41.
Karlsrud, H. and Haugen, T. (1985) Axial static capacity of steel model piles in
o., overconsolidated clay. Proceedings of the 11th International Conference on Soil Mechan-
ics and Foundation Engineering, San Francisco.
Karlsrud, K., Nadim, F. and Haugen, T. (1987) Piles in clay under cyclic axial loading
increasing shear ~ one -woy sheor field tests and computational modelling. NGl Publication 169.
reversai I Lunne, T., Myrvoll and Kjekstad, O. (1982) Observed settlements of five North Sea
0-2
1
gravity platforms. NGl Publication 139.
Marr, W. A. and Christian, J. T. (1981) Permanent displacements due to cyclic wave
1
loading, Proc. ASCE 107 (GT8): 1129-1149.
1 Morin, J. P. and Gervais, P. (1987) Settlement of tower silos built on Champlain clays.
oL_ __.i__ _____iL---~------:1-::----~----; Canad. Geotech I. 24: 490-498.
0-6 O-, 0-2 -O 2 -O-, -0-6
compression tension Ove Arup and Partners (1987) Comparison of British and Norwegian Research on the
Behaviour of Piles as Anchors for Buoyant Structures. Ove Arup and Partners for the
Department of Energy 0TH 86218. HMSO, London.
Poulos, H. A. and Davies, E. H. (1980) Pile Foundation Analysis and Design. John Wiley
& Sons, New York.
nototion: Ous is maximum static lood copocity Poulos, H. A., de Ambrosis, L. P. and Davies, E. H. (1976) Method of calculating long
N is number of cycles term creep settlements. ASCE I. Geotech Engng 102(GT7): 787-804.
a, is cyclicolly vorying lood =Ümax - Ümin Taylor, D. W. (1948) Fundamentais of Soil Mechanics. John Wiley & Sons, New York.
Vefling, G. (1974) Settlements of the sugar silos on Moraine Clay in Gorlev, Denmark.
compression Omax 20s Proceedings of the Conference on Settlement of Structures, Cambridge. Pentech Press.
Yasuhara, K., Yamanouchi, T. and Fujiwara, H. (1983) Approximate prediction of soil
deflection deformation under drained repeated loading. Soils and Foundations 23(2): 13-25.

tension Ümin

Figure 9.21 Effect of cyclic two-way and one-way loading on pile capacity.

References

Alai-Omid, M., Seifert, G. and Temmler, H. (1985) Ein Beitrag zur Verbesserung der
Setzungs Vorhersag f!achgegrundeter Oltanks auf _Marschenboden. (A_ contribution to
improving settlement predictions of oi! tanks w1th shallow foundat10ns on marshy
ground.) Bautechnik 11: 361-367. .
Ansa!, A. M., Bazant, Z. P. and Krizek (1979) Visco-plasticity of normally consohdated
clays. Proc. ASCE 105 (GT): 519-537. _ . , .
Barden, L. (1968) Primary and secondary consohdat10n of clay and peat. Geotechmque
18(1): 1-24.

10 Vibrational loading used in the construction
process
D. A. GREENWOOD
10.1 Introduction
Cyclic and vibrational stressing of soils is widely used in construction to
facilitate penetration of temporary hole casings, tools or piles; or to
achieve soil compaction.
ln this chapter the mechanisms by which vibrating machines affect the
soil are described and elaborated to explain the resulting form of the
machine for each process. Typical energies and cyclic frequencies of a
variety of machines, and the mechanical action they cause, are exa-
mined. Their range of application and the potential resonance they may
cause in soil and structures is also studied.
10.1.1 Vibration as a means of installing subterranean structural
elements
Vibration facilitates the penetration or extraction of thin-walled elong-
ated members at depths commonly required in practice. It is usual to
install open-ended pile casings of diameter 1-2 m to depths between 5
and 20 m in sandy soils. Casings for driven-cast in-situ piles are
extracted from greater depths, but these are usually of smaller diameter
ranging up to about 600 mm. Steel sheet piles are similarly driven and
extracted by vibratory methods.
The driving of tubular or lozenge-shaped casings is frequently assisted
by vibration into soft cohesive soils to allow the introduction of sand or
band drains, for speeding the consolidation of clays (Chalmers and
Harris, 1981; Elver et al., 1983; Finch et al., 1984; Flood and Eising,
1987). Typically these are about 100 mm wide and 15-20 m deep, with a
closed end.
Similar-sized tubular casings are installed by vibrodriving at a variety
of angles in sandy soils for construction of ground anchorages. With the
sand frequently waterlogged, the system benefits from driving a closed-
ended tube which excludes water and compacts the soil. Vibrodriving is
also well suited for installing soil nails: they work best in frictional soils,
as do vibratory drivers, which facilitate rapid installation.
VIBRATIONAL LOADING 435
Chemical grouting is most commonly used in cohesionless sands
because of natural physical constraints on injection. Vibratory driving of
35-mm-diameter injection pipes has sometimes been very cost-effective
in these soils.
A common feature of these applications is that they all involve
members of elongated shapes, usually tubular with comparatively small
cross-section relative to length. Further, they are all driven by vibrators
attached at the upper or proximal end. lnvariably, the vibrating motion
is imparted by the vibrator in the longitudinal direction of the member
being driven or extracted. These common elements are repeated in a
wide variety of applications and stem from physical features which
dictate the best form. The implication is that the method is viable only
where elongated pipes, tubes or similar rod-like shapes have to be
introduced into the ground.
10.1.2 Soil compaction by vibration
Soil compaction by vibrating machines is also well known and used. ln
the sense used here compaction means the instantaneous rearrangement
of soil particles into a denser state of packing. This results in a reduced
volume of voids, and requires rapid expulsion of fluids from pore space.
Since packing is immediate, the permeability of the soil to air or water
has to be sufficiently high, or drainage paths sufficiently short, to allow
the instantaneous passage of these fluids. It follows that fine-grained
soils are not easily compacted.
Compaction is not to be confused with soil consolidation, which is a
time-dependent process controlled by resistance to seepage. During
consolidation, pressures induced usually by externai static loading in
relatively incompressible pore water are gradually transferred to the soil
skeleton, which can compress only as water is expelled.
Compaction results from stressing of a soil to a degree at which
intergranular shear strength is overcome and there is relative movement
between the particles. Tighter packing derives from an externai stress
applied statically or dynamically or by gravity acting on soil.
The direction of the applied stress determines the direction of
packing. Generally this is vertically downwards, both because of gravity
and beca use compactors in construction also usually work vertically.
Dynamic forms most frequently seen are vibrating rollers and plate
compactors used for treatment of thin layers of soil of great lateral
extent-primarily for road and floor paving. These machines are aimed
at rapid compaction of surface layers 100 mm to 400 mm thick and the
response at depth is very limited. Soils at ground surface are almost
invariably only partly saturated with moisture and hence are more
readily compacted than deeper saturated materiais.
436 CYCLIC LOADING OF SOILS
Deep soil compaction can be effected only by introducing energy deep
into the soil. To compact at depth from the surface would generally
require an impractically large source of energy. A more efficient
alternative is to use a machine which penetrates into the soil. Soils at
depth are frequently saturated with water, and only those which are
permeable enough to allow its instant expulsion can be compacted:
consequently clean sands and graveis respond most readily to compac-
tion on stresses in this situation.
There is thus a difference in response between partly saturated soils
which occur at the surface and fully saturated soils below the water
table, and this affects the compaction process. This difference arises
because gas is more compressible than water, beca use soil permeability
to gas is higher than that of water, and also beca use the circums!ances
of rolling or tamping provide shorter flow paths for the expuls1on of
fluid than deep stressing: consequently soils subject to rolling may be
less permeable and more cohesive than those compactable at depth. ln
fact some cohesion may assist compaction by rolling, but it is invariably
detrimental to deep compaction.
Processes commonly known as vibrocompaction (in partly saturated
soils) and vibroflotation (in saturated and compactable soils) are the two
most effective means of producing deep compaction (Greenwood and
Kirsch, 1983). A tubular vibrator or vibrating member is introduced into
the ground from the surface and dynamically stresses . the soil deep
in-situ. The resulting compaction adjacent to the machme element 1s
built up in zones of treated ground throughout the depth of penetration,
and by multiple arrays of penetrations, usually along grids 1.5-3 m
apart. The vibrators or vibrating tubes are in this case typically
300-600 mm across. Maximum depths penetrated have been about 40 m.
Normally, depths of treatment beyond 5 or 6 m are rarely required in
granular soils because increasing overburden stress with increasing depth
naturally enhances stiffness and bearing capacity: therefore deep treat-
ments are usually confined to those required to reduce seismic settle-
ment risks, but even these diminish with depth.
Deep compactors either have an eccentrically mounted weight rotating
on a vertical axis near the lower tip of the machine, thereby directly
applying lateral vibrations to the soil, or use top-mounted vibrators,
such as those used for introducing casings, with longitudinal vibrations.
Obviously it is easier to impart large energy at the top than in the
confined space at the tip of the penetrating member, but variation at the
tip enhances the efficiency of energy transfer to t~e ground. Th_e
available machines have a variety of different forms wh1ch are appropn-
ate in different circumstances. Essentially they fall into the two cate-
gories of vibrating pokers with lateral vibrations or casing drivers with
longitudinal vibrations.
VIBRATIONAL LOADING 437
Large energies are required for deep penetration into granular mater-
iais, but penetration may be assisted by water flushing. Excessive water
flush, however, can be detrimental to compaction, although saturation
of the ground above the water table can be beneficial (vibroflotation
process). The reasons for this are discussed la ter.
The undoubted positive benefits of vibration in construction must be
weighed against the potential for damage. Since vibrations can induce
instantaneous soil settlement, there is a risk of disturbing nearby shallow
foundations resting on the soil. As vibrations radiate through the ground
from the source they attenuate in strength but may still induce sympa-
thetic vibrations in nearby structures, especially those which have such
mass, shape and freedom to respond resonantly. Caution must therefore
be exercised. Obviously the more powerful the source of energy and the
closer the building at hazard, the greater the risk. Sometimes accidents
of soil morphology create circumstances where, very rarely, resonance
can be experienced at exceptionally large distances.
The design of vibratory machines to effect the construction processes
discussed above must take into account the competing demands of
economy of energy, handleability of weight and size of machines as well
as the construction objectives in terms of effecting penetration or
compaction-either on extended surfaces or deep in the ground-
together with high speed performance. These factors naturally determine
the basic forms of machines commonly used. For unusual applications
machines may be specially built, but these costs must then be written off
against that application, and hence it is often more cost-effective to use
an inefficient machine.
It must be remembered that most machines and processes in construc-
tion have evolved in response to the need to solve a problem. The
unknown, and often unsuspected, influences on machine response at the
outset are too numerous to allow accurate theoretical prediction of
machine performance in advance of full-scale triais. Empirical develop-
ments which tend to account for the factors outlined above normally
follow without the designer even being conscious of the fact. Equip-
ment, once developed, may be applied in unsuitable circumstances, and
this may lead to a reappraisal of its design and so on to further
development. Performance data and environmental influences are not
always acquired systematically, and data which are obtained are often
guarded as commercial secrets. Whilst a well-developed theoretical
understanding of a process rarely precedes the initial practical develop-
ment, especially in relation to soils, further improvement of processes
and equipment often depends on successful theoretical explanations.
Those processes for which specific mechanical plant has been developed
may depend quite critically on improvements and understanding in other
spheres to trigger the next economical development in the construction
438 CYCLIC LOADING OF SOJLS
field. A variety of processes and machines evolves according to the
economic benefits perceived by their designers or promoters. These may
be at differing stages of evolution and thus may require further
refinement in arder to satisfy the original need.
1
10.2 Mechanisms
10.2.1 Vibrating machines
Almost invariably cyclic vibratory motion is produced in machines by
eccentrically mounted weights on rotating shafts. However, some small
plate compactors or tampers produce cyclic motions by a reciprocating
piston in a cylinder attached by springs to the plate.
The most common arrangement of rotating machinery consists of two
equal parallel shafts upon which synchronised weights revolve so that a
sinusoidally varying force is generated perpendicular to the plane of the
shafts. Usually, the shafts rotate in opposite sense so that components of
centrifugal forces in the plane of the shafts are neutralised (Figure
10.la).
For machines mounted on top of tubes, casings or rods, the cyclic
stresses are arranged co-axially with the member to be driven. To
achieve penetration a crowding or pushing force is usually provided, or
if extraction is required a pulling force is exerted. The weight of the
machine and casing also assists in promoting penetration.
The relationship between the crowding force and the cyclic force
during penetration can be significant. Soil type and system damping
determine whether optimum progress is made by maintaining positive
particle contact stress or by generating particle separation. The latter
corresponds to a hammering action, rather than a cyclically varying but
constantly applied stress, and is most frequently adopted.
Clearly both the crowding and the cyclic forces thus need to be
controlled. The former is readily controlled but the latter is most easily
varied by changing the speed of rotation of the eccentric weights, but
this also affects frequency of vibration, which may have a detrimental
effect on the overall performance. The centrifugal force generated
usually exceeds the combined dead weight force of the machine together
with that of any driven member, often by a factor of 10 or 15.
Accordingly, positive clamping or bolting arrangements are provided
between vibrator and driven members.
A fundamentally different approach is adopted by the vibrating
pokers used for deep compaction. ln these the rotating eccentric weight
and motor are mounted on a common short vertical shaft in the body of
VIBRATIONAL LOADING 439
f EXTERNAL GROUND
CROWDING SURFACE
J (OR PULLING)
♦ FORCE
MOTOR
ECCENTRIC
•---------- . -F
ROTATING
FORCE
VERTrCALLY EQUAL AND
OPPOSITE CYCLING
FORCES
a) TOP MOUNTED
CASING DRIVER b)DEEP VIBRATOR
Figure 10.1 Top drive and deep vibrators.
the machine (Figure 10 .1 b). Pokers are either directed vertically by
means of leaders on a base crane or are freely suspended. ln either case
they penetrate vertically. Here the cyclic force is applied directly to the
ground by impacting upon it in a horizontal direction as the machine
penetrates. The vibration is transmitted directly to the ground without
the_ intervention of a member which transmits and modifies the output,
as m the case of a top-mounted machine. Attempts have been made in
Japan to use long drive shafts from a surface motor to a deep eccentric,
so reducing machine cross-sectional area, but inertial effects led quickly
to torsional fatigue or massive drive shafts, and the system was not
mechanically effective.
Since the length of the vibrating part of the machine is only about
2-3 m in practice, it has a long follower tube which enables it to
penetrate to substantial depth and be recovered. A vibration isolator is
inserted between the machine and the follower (Figure 10.lb). As a
result the motion of the machine is gyratory, pivoting on the isolator.
The machine impacts and rebounds off the walls of the borehole
successively around the circumference of the hole during gyration
(Figure 10.2). These impacts are superimposed on the cyclic stresses. As
compaction proceeds the motion changes as the ground around the tip
of the machine increasingly constrains it. Thus the pivot point tends to
transfer from isolator to the tip.
Vibrating rollers usually work on the principle of a rotating eccentric
mounted concentrically with the axis of the roller drum (Figure 10.3).
Where the machine has two drums the eccentrics may be mounted in
440 CYCLIC LOADING OF SOILS VIBRATIONAL LOADING 441

LOCUS OF
GYRATION OF
ORIGIN OF
MACHINE
AXIS

ROTATING

a) SINGLE ROLLER b) DOUBLE DRUM ROLLER

k
ROCKING
~
F
~
TANGENTIAL MOTION
F

e) DOUBLE DRUM ROLLER d)DOUBLE DRUM ROLLER

\ (SINGLE DRUM ROTATING
MOTION MAY BE USED)
\ I

ROTATING Figure 10.3 Vibratory motion of rollers.

ECCENTRIC
\IMPACTS ON ___-
SIDE OF BORE
Figure 10.2 Complex motion of deep vibrator.
one or each of the drums. ln many double-drum rollers the synchronisa-
tion of twin shafts is maintained, but some rotate in the sarne sense to
give a fore and aft rocking motion superimposed on !he v~rtic~l
vibration (Figure 3b and c). ln a recent development. a cyc~1c ~ot10n _is
imparted tangentially to the roller drums and vertical v1bration d1s-
pensed with (Figure 3d).
The ratio of dynamic to dead weight forces is usually in the range
1-5, with low ratios being favoured in some recent designs. Lift-off (i.e.
loss of ground contact) due to the relatively high cyclic force compared
with weight, although a common feature, is not necessarily desirable.
Plate compactors usually employ contrarotat~ng ecce?trics to i~po~e
vertical motions with lift-off. They have dynam1c-to-static force ratios m
the range 10:1 to 20:1, and generally operate at higher frequencies and
lower amplitudes than rollers.
10.2.2 Penetration by soil displacements
When a solid object of any shape has to penetrate the ground surface, it
is essential is to create and maintain a bearing failure so that the object
may enter. The soil is sheared and eventually pushed aside from the
direction of penetration. Some bulging of the soil surface occurs in the
sheared zone to compensate for passive displacement. As penetration
increases, progress can be maintained only by further shearing to create
space by displacement, compression, compaction or removal of soil to
accommodate its volume.
If the object has limited length the ground can dose in behind, but in
most instances it is necessary to recover the item which penetrates or to
maintain some access to it, and so tubular penetration elements are
common. There is thus no volume recovery after passage of the tool and
it is beneficial to reduce or at least to maintain lateral dimensions along
its length relative to the penetrating tip. lt is easier to penetrate if
contact stress at the tip is high. The surface area beneath which bearing
failure must be induced is kept to the minimum practicable. Thus
elongated shapes prevail.
Cyclic stresses impose no net driving or pulling force: their function is
to destabilise the soil, thus enabling crowding or pulling forces to
operate more easily.
For machines which apply axial cycling forces, the effects of varying
free length, imperfections of shape, and increasing frictional damping on
442 CYCLIC LOADING OF SOILS
the sides modify the waveforms transmitted to the distal end. Whilst still
dominantly axial, the vibrations impose an element of lateral movement
also. The soil grains are subject to three-dimensional displacements with
contact stress leveis cycling through maximum to unloading. Cyclic
unloading eases displacement in frictional soils.
Deep compactors which vibra te laterally, however, are usually pro-
vided with a relatively long pointed nose cone which keeps the bearing
stress high, and as penetration occurs the cone allows lateral displace-
ments to be enforced on the soil. A similar mechanism continues to
operate as the machine penetrates beyond the cone and lateral impact-
ing creates space. The oscillatory motions alternately stress and unload
the particles three-dimensionally as a result of the gyratory action of the
machine.
Adjacent to the shaft the oscillations cause either overexcitation and
'bouncing' in the case of cohesionless particles or, in relatively impervi-
ous saturated soils, liquefaction due to rise in pore water pressure which
facilitates penetration. This is not possible where particles adhere in
genuinely cohesive soils despite excitation, and direct loading. For
instance, clays of high plasticity may tolerate relatively large displace-
ments before shear failure, and are not destabilised by small-amplitude
vibration. The creation of the volume necessary to accommodate a
vibrating machine in the ground is seen to be easier in loose, cohesion-
less, compactable soils than in those which are already dense or
cohesive.
ln granular soils in which strength increases rapidly with confining
stress, end-bearing resistance soon becomes a dominating factor limiting
penetration to a few metres, especially in dense deposits. And vibrators
with large cross-sections tend to compact below the tip and inhibit their
own further progress when there is sufficient overburden constraint.
Water jetting vertically along the axis of penetration from the tip of
the machine or member assists by displacing soil in advance of the tool
and removing displaced particles into an annular space surrounding it:
this reduces friction, and for laterally vibrating machines allows signifi-
cant impacting on the sides of the bole. Penetration is thereby consider-
ably improved, especially in dense soils. Where the soil is coarse-grained
and highly permeable, a significant quantity of the flow is lost through
the sides of the borehole and the removal of displaced particles up the
annulus is thus impossible.
10.2.3 Deep compaction
As the vibrating tool penetrates by bearing failure, elastoplastic dis-
placement tends to keep the soil in contact with the skin of the tool
VIBRA TIONAL LOADING 443
behind the penetrating tip (Figure 10.4). Vibrations are then transmitted
to the particles through friction in the case of predominantly longitu-
dinal vibrations, although diffusion of vibratory motion along the probe
also generates some lateral movement. Toe vibrations are transmitted
further into the soil through interparticle contacts. Since forces across
contacts are randomly orientated the effect soon becomes three-dimen-
sional in the soil.
Forced vibrations in the soil cause interparticle contact stresses to vary
cyclically. Those which lack cohesive bonds and are not already tightly
packed can then respond by compacting due to gravity if sufficient shear
resistance across particle contacts is lost on each cycle. Volume reduc-
tion 'ratchets' to a minimum corresponding with minimum potential
energy.
Deep vibrators imposing lateral vibrations also produce three-dimen-
sional motions in the soil. ln addition, forced displacements super-
imposed by gyratory impacts are much more substantial, increasing the
space created. These vibrators have a diameter about 6-8 times their
length to accommodate the motor and eccentric, but can also more
readily create the space to allow it to penetrate and compact. Displace-
ment remote from the machine is a prerequisite for these relatively large
machines to penetrate, and this implies compaction, rather than simple
local liquefaction.
CROWDING
(OR PULLING)
FORCE
l
VIBRATION ( NEUTRAL
FORCES)
TOP DRIVEN VIBRATING PROBE-
INFLUENCES ON GROUND PENETRATION
Figure 10.4 Plastic displacement of soil due to crowding.
444 CYCLIC LOADING OF SOILS VIBRATIONAL LOADING 445

The compaction effect is rapid since comparatively few cycles are

required for the small strains (cumulatively only about 5%) necessary to
achieve gravitiational compaction.
Compaction by gravity during small-strain cyclic shear requires that
soil strength is purely frictional. Shearing due to impact imposes
additional quasistatic stress and larger displacement and can overcome
light cohesive bonds. This benefit is therefore most marked with lateral
vibrations directly applied by deep compactors.
With increasing depth the intergranular frictional strength also in-
creases due to static overburden weight. Diverging vibrations from a
vibrator attenuate with increasing radius. At any point in the soil the
relationship between fluctuating intergranular stress induced by vibration
and the static weight stress will be almost unique, and dependent on
position relative to machine and soil surface. Close to the surface
vertical accelerations induced by vibration and impacts are substantial,
whilst weight is minimal: particles then become excited to such an extent
that they lose contact with one another and continually bounce without
ever compacting. This is known as 'overcompaction'. Particles of low
specific gravity, such as those of volcanically derived ignimbrites or
artificially derived pulverised fuel ash, are therefore not readily com- Figure 10.5 Liquefaction and radially attenuating compaction in sand around a vibroflot .
pacted at depths less than 2 m, whilst heavy particles of iron compounds
are virtually compacted to surface. Gravity compaction occurs only
when particles are barely separated or just retain intergranular contact
under fluctuating stresses, and successive deformations 'ratchet' in the plastic and compaction zones is an elastic zone in which settlements do
sarne direction. It is empirically established that this occurs when they not occur. This extends to the lirnit of significant vibrations which may
are subject to accelerations in the range 0.5-1.5 g measured at ground be considered as equivalent to the range at which people can sense the
surface (Rodger, 1979) motion . The radius of the zone which can be compacted effectively
Most soils are saturated below relatively shallow depths. The effect of depends on the machine and ground characteristics , but is typically less
cyclic shear strains imposed by vibration in saturated soils is generally to than 3 m for machines currently in use up to 150-200 kW. This effective
cause slight excess pare pressure, thereby reducing frictional intergranu- radius dirninishes with depth.
lar strength and extending the radial range of compaction from the Seismic studies (Finn et al. , 1970) show that very few cycles are
machine. Thus saturating soils compactable by gravity above the ground- required to cause liquefaction under high stress levels such as those
water table allows the sarne result with a more widely spaced array and around a vibroflot. Once the liquefied zone forms it is maintained by
fewer penetrations, but only if the water can rapidly drain as packing of successive vibrations. lt cannot transmit shear, so vibrations and impacts
particles occurs. Hence the value of permeability of saturated soils is are not transrnitted through it once it is fully formed. It remains
crucial to successful gravitational compaction. It is observed empirically therefore of lirnited annular width about 50-75 mm. Vibration and
that permeabilities greater than 10-5 m/s are required for effective plastic displacement at greater radii can then only be achieved by adding
vibratory compaction. more soil around the vibrator. This initially transmits shears to some
ln the case of the vibroflot (i .e . the penetrating vibrating element) degree, becoming a part of the partially fluidised zone, until in tum it
employing lateral vibration and impacts, the typical effects are illus- liquefies if it is of appropriate particle size distribution and sufficiently
trated in Figures 10.5 and 10.6. The fluidised (or liquefied) zone occurs unrestrained in the hole; or, if it is coarser and more free draining, it
dose to the machine in regions of imposed acceleration exceeding 3 g. transrnits vibrations and displacements without liquefaction. Confine-
Outside this is a partially fluidised zone surrounded by the compaction ment due to weight reduces the liquefied zone practically to zero at
zone, in both of which plastic displacement takes place. Beyond the 1-2 m depth , and vibrations are transrnitted by shear through the
446 CYCLIC LOADING OF SOILS VIBRATIONAL LOADING 447

GROUND LEVEL

I
>--
~
z
w
o:
>-
li)

o:
<C
w l·O
I
l/) ~----t----------t----,-=-=c--=:=-=~-
0-5 ACCELERATION(gs) MINIMUM
3-0 1 5-1 O
DISPLACEMENT
PROFILE
RADIUS FROM VIBRATOR INCREASING - - - -
E \
i::
Q_
2·0
>
w
>- o
vi PRE - TREATMENT
z
w / DENSITY
D
...J

Si
3·0
COMPACTION ELASTIC

FLUIDIZED MAXIMUM DEPTH 3·5m

4·0 5·0 6·0

Figure 10.6 Shear strength change during vibration and resulting static soil density.
partially fluidised zone. Thus minimum porosity cannot be obtained
dose to the machine; however, the difference is practically insignificant.
ln traditional deep compaction treatments it is usual to shovel sand
from the surface of the soil into the liquefied zone continually through-
out the process. The radially extending plastic 'wave' of compaction thus
depends on the addition of backfill and takes some time to achieve,
having regard to the volume to be packed at increasing radii. Simple
dipping of the machine to record momentarily enhanced energy con-
sumption is not a sufficient indicator of complete compaction.
Measurements of lateral amplitude by accelerometers within a vibro-
flot nose cone (Figure 10.7) show a decline from freely suspended
amplitudes to those during penetration, and a further decline during
compaction. This is a true indication that the maximum possible
compaction has been achieved with the machine concerned. The change
PEAK VIBRATION- DISPLACEMENT (mm)
Figure 10.7 Measured displacements of a vibroflot in the ground. (After Morgan and
Thompson, 1983.)
to constrained amplitude takes up to 30 seconds or more, representing
severa! hundred cycles, as impacting extends the plastic 'wave' to the
limit of capacity of the machine. On the contrary, measurements of
amplitudes from an array of surface geophones (Figure 10.8) show an
almost instantaneous decline as gravitational compaction occurs in
response to vibrations transmitted instantly throughout the compaction
zone. This indicates the difference between vibrational compaction and
that due to impact displacement. ln practice the two are superimposed,
and their relative influence depends on specific machine characteristics,
as well as on the susceptibility of the soil to compaction by gravity or to
impact alone. Gravity compaction results in normally consolidated
sands, but impacts introduce an element of overconsolidation.
448 CYCLIC LOADING OF SOILS VIBRATIONAL LOADING 449

0-8
~
z 70 1 SHARJAH FLYOVER UAE.
o
0-7 ~I ;=
u 60
2 JEBEL ALI HARBOUR UAE.
:::, J TRIAL AREA DONCASTER
+ 30 Hz 90 kW o
w 4 TRIAL AREA ARDESIER
a 30 Hz 45kW a: 50 5 MUHARRAQ SCHOOL BAHRAIN
1
0-6 I
X 50 Hz 90 kW >--
<.'.)
40 6 AJMAN CEMENT SILOS UAE
o 20Hz 90 kW z
w
o:: 30
------,------,
-
0-5 >--
tf)

LOOSE DENSE o::

<(
20
Ê w
5 0-4 I
tf) 10
w
o
:::,
,- o
:::;
a. 0-3 o 1 2 3 4
::E
<(
RADIUS OF INFLUENCE (METRES)

Figure 10.9 Site measurements correlating degree of fluidisation with radius of treatment.
0-2 (After Rodger, 1979.)

0-1 A dead-weight roller works by causing bearing failure until a sufficient

o When the roller moves it tends to climb from the embedment and
o 3 4. 5 6 8 9 10 11
~ DISTANCE FROM VIBROFLOT (METRES)
Figure 10.8 Measurements of vibration amplitudes at ground surface around vibroflots of
differing power.
Rodger (1979) was able to correlate radial extent of treatme?t
reflected by increased soil densities with minimum soil shear strength m
the partially fluidised zone (Figure 10.9). This w~s determined by
ground surface acceleration measurements around a ~1broflot. The ~ore
silty and fine-grained the sand, the smaller the radms of compactJon,
indicating in finer soils a higher degree of fluidisation around the
machine which applied the sarne accelerations in each soil.
10.2.4 Horizontal surface layer compaction
Surface compaction differs considerably frorn deep compaction. Inter-
particle stresses due to the soil weight are very low near the surface, and
the soil is rarely saturated, although suction pressures often act to
produce higher effective stresses than would be expected from c~n-
siderations of self-weight alone. Because of the generally low effectJve
stress which exists, the soil is relatively weak and susceptible to
compaction.
area is embedded to maintain equilibrium against the weight of roller.
reduce the contact area, so inducing further shear distortions. The
relative movement between particles under direct stress from the roll
then allows them to compact if they are initially loose. Shearing
continually changes direction and displacements are forced by quasistatic
stress. The stress intensity rapidly dissipates within the soil below the
contact area and the degree of compaction reduces with depth. The
effectively compacted thickness is typically limited to a few hundred
millimeters.
Vertical vibrations superimposed on the static stresses increase the
loading effect. Depths as great as 1 or 2 m can be compacted in
favourable ground conditions, although high degress of compaction are
achieved only within about 500 mm thickness with modem plant.
Vibration also reduces the number of rolling passes necessary. For both
static and vibratory rolling, the greater the number of passes, the
greater the density achieved, although with rapidly diminishing benefit
per pass.
D' Appolonia et ai. (1969) measured accelerations from a typical
vibrating roller working on clean sand (Figure 10.10). They inferred that
for about half the vibration cycle the drum was not in contact with the
ground surface. Thus there was an impact and a release of stress. This is
similar to the effect of deep vibratory compactors during gyratory
impacts. They concluded that the main factors determining densification
were the maximum and minimum dynamic stresses induced in the soil.
Except for dose to the surface, the most efficient compaction was
 450 CYCLIC LOADING OF SOILS VIBRA TIONAL LOADING 451

deformation imposed on the soil provides the best explanation of why

roller vibration causes compaction: imposed displacement rather than

,(~l'j
11g's
OPERATING 5700 kg VIBRATORY stress relief is important. This is effective in materials with an appreci-
FREQUENCY= z ~ ROLLER
able cohesion.
RADIA~
YNAMIC Relatively recently a Swedish idea has been exploited to cause roller
FORCE
o drums to vibrate only tangentially. They 'wriggle' towards greater
o2
V º.>< / r (J.o,......_ ' \ "'\ 'X' embedment with rapidly alternating shears on the contact surface with
/ /
{\ X /'li KV .t- /'J
o4 ,'
/
.,,.. 1/
./ \
\/
y ,)t-... '\, 'j / 1'-. ~ ·, the soil (Figure 10.3d). They are said to be equally effective in rolling
t{] o-6
a:
[;:j o 8 " ~--
. ......
,..
\ \..~
-·· v ,-
._, j. '/ )

.-
~

.,,,,,.. ~.,
compaction despite lack of direct vertical vibration, and to produce less
overcompaction.
·, r--. -·- \
........ '· '-.:
·- -
..... r-•..._ ·, .V
~1 ·,
r-- __ .,,.,.. 1,,-
D' Appolonia et ai. (1969) measured horizontal dynamic stresses in
io·
t---. 17 ./
I
l-
a..
12 "'· -............ ' ........,., " ~-~ /
their trials. These were found to be independent of the number of roller
-· ~-'
/
w ~- /
----
-, \ -
1

o 14 ........ ....._ ........ ,-a ,,./ v· passes, but the static residual stress after each roller coverage was found
2Ó
16 ~
to increase slightly, tending to a maximum. The coefficient of lateral
18
................... -· 1-U-
-- ---·
2
i
1 ' i 1
,,
1 1
1 ·,

·-
1·---. _,JJ.5
-· v· stress to vertical stress K O increased with the number of roller passes
(Figure 10.lla). They also noted an increase in K 0 with increasing
22
24
Z.8 26
:
4 Z.4
i 1
18 16 14 1.2
.
1

04 0-6 0-4 02 02 0406 0-8

1 r-
12 14 16 18
_.;
22 2 4
i operating frequency, the range of which probably spanned the natural
3
L
1 O 1 2 frequency of the fine sandy soil on which the experiment was conducted
HORIZONTAL DISTANCE (METRES) (Figure 10.llb). Significant overconsolidation was produced. This is
probably because higher accelerations are associated with greater stres-
- - MAXIMUM AMPLITUDE VERTICAL STRESS M N / m 2
-------- MINIMUM VERTICAL STRESS = O ses. Confirmation of the shearing mechanism associated with rolling is
- · - · - MAXIMUM VERTICAL ACCELERATION g's obtained from the fact that their results showed greater compaction in
Figure 10.10 Measured ground accelerations during vibratory rolling on sand. (After
the direction of rolling; if gravitational compaction had been the primary
D'Appolinia etal., 1969.) mechanism this would have been observed uniformly all around the
machine because of the radial diffusion of vibrations.
It would appear therefore that the prime mechanism for roller
achieved in a zone where the minimum stress in the soil dropped to zero compaction, vibratory or not, is shear distortion during quasistatic
and the partides were in free fall during some part of the cyde. They bearing failure. This is, of course, most efficacious dose to the surface
also observed overcompaction dose to the roller and were unable to where effective stresses are initially fairly low. ln dean cohesionless
compact the extreme surface as a result. Sand partides were thrown tens sands, rarely used for pavements, vibratory gravity compaction may
of millimeters into the air under accelerations exceeding 3 g, in a contribute marginally.
manner similar to those around a deep vibrator. Soils suitable for rolling may therefore be chosen with a wide partide
The idea that destressing is beneficial has been challenged by Selig size distribution and a proportion of fines may be beneficial. Partial
and Yoo (1977) working in slightly cohesive soils more commonly saturation is also helpful in lending a degree of apparent cohesion by
encountered in roadworks. They pointed out that field tests with capillarity and surface tensions.
sophisticated measurements have shown that the rollers only break Plate vibrators with vertical oscillations are only effective on cohesion-
contact with the ground surface when the ground is already well less soils because shears are purely vibratory and not induced by impact
compacted, having then developed a higher reaction modulus. Their or plastic displacements.
research also showed that soils with considerable cohesion also become By and large, clay soils of moderately high plasticity which might be
somewhat stronger during application of dynamic stress despite less used for the core of embankment dams have relatively low intrinsic
decoupling and vibratory-induced shear failure. Stress reduction to allow strengths and are frequently difficult to dry out. When subject to large
partide rearrangement is not therefore a sufficient explanation in these dynamic stresses at the surface they simply shear as pare water pressures
soils. are generated in the vicinity of the roller and will not compact
They suggest instead that simple particle rearrangement from cydic effectively. Hence sheepsfoot-type rollers which concentrate stresses on
452 CYCLIC LOADING OF SOILS VIBRATIONAL LOADING 453

HORIZONTAL STRESSES AT DEPTH = O 6m For a constant frequency above resonance, Selig and Yoo (1969)
ROLLER = 5700kgs
OPERATING FREQUENCY 275 Hz indicate the parameters influencing roller performance (Figure 10.12).
For deep vibratory compactors, displacement is horizontal and suspen-
PERPENDIC R TO ROL ER
sion stiffness might be substituted by that of the vibration isolator, drum
weight by that of the vibrating section, and frame weight by that of the
o l
~ 2i------r------i-----i-----,,,r-i-------cr---i-----------t----t-------t------1 follower. Since these details vary from machine to machine, perform-
~

ance is specific to the machine although dominated by the soil proper-

10 ,_PARA_L~L TO~'.:'.:L~~..1:_H_
a) ties, assuming the machine design is reasonably efficient.
!11--------,..-F--::7""'=----+---t:=.---t-'--";==--=--+----+---+-==-+----I The vibration frequency primarily affects the accelerations induced
é;
into the ground, and also the dynamic forces and stresses generated.
o"
"' The latter are proportional to the square of frequency so that the
o'------'----__,__---'----"~'-----'-------'-----'----------'
1 40
dynamic component of stress is significantly increased with increasing
4 8 10 20 60 80 100
NUMBER OF ROLLER PASSES frequency. Amplitudes of vibration, representing displacement of the
soil, vary significantly and disproportionately with frequency. When the
soil and machine work together sympathetically they are said to be in
resonance. This occurs at the natural response frequency of the soil and
often occurs in the range 18-25 Hz. The largest amplitudes are experi-
enced when machines operate dose to natural frequency, thereby using
the input energy most efficiently.

:_--~ ----
___,
- ----1"
1

-.
.
-
b) At frequencies lower than resonant, the dynamic forces are generally
relatively small and cannot induce sufficient ground response for power
to be effectively absorbed. ln such situations amplitudes tend to be low.
o"
"' -~ 4
1

8
i
10
1 1

20 40 60 80 100
At frequencies higher than resonant the rapidly increasing dynamic force
may compensate somewhat for a reduced efficiency of power absorption
NUMBER OF ROLLER PASSES

HORIZONTAL STRESSES PERPENDICULAR TO ROLLER PATH AT DEPTH O 6 m

ROLLER = 2850 kgs
OPERATING FREQUENCY • 29 5 Hz x 26 Hz o 19Hz
fH= HORIZONTAL STATIC STRESS Generoted
fv= VERTICAL STATIC STRESS
u = POISSONS RATIO
Force

Figure 10.11 Measured after vibratory rolling on sand. (After D'Appolinia et ai., 1969.) +-
Soil
e Stiffness
<I>
E
<I>
u Suspension
e Stiffness
small areas about 80-100 mm below the surface are used in these o.
V>
circumstances. Similarly, some fine uniform sands such as the residuals 0 ~§::====------- Frome Weighl
of Sherwood sandstone, or coarse silts with a small percentage of fines,
8 Suspension
often show ill-defined optimum moisture contents and are difficult to +- ~m~~
compact by vibration. ~ Soil
Domping
o
a:: Drum Weight
10.2.5 Effects of vibration frequency

The motion of the soil and the machine creating it are interdependent. Parameter
Machine details have a strong influence on compaction performance, as Figure 10.12 Effect of increasing various roller parameters on vertical displacement. (After
does the type and condition of the soil. Selig and Yoo, 1969.)
454 CYCLIC LOADING OF SOILS
1
'
\ VIBRATIONAL LOADING 455

by the ground. It is possible therefore that, at frequencies slightly above

resonant, the compaction effect may be less than at resonance, but at
still higher frequencies the increased dynamic forces may result in better
compaction than at resonance, but at the cost of much lower efficiency
SYMBOL
ROLLER
WEIGHT
-
3400 kgs 3400 kgs
-O-,--<>- ~

7730 kgs
~_,,_ -l>---4-

3900 kgs 2650 kgsl 1650 kgs

1 -+-+- 1

in terms of power absorbed by the ground.

Figure 10 .13 shows the relation of theoretical normalised amplitude
2,4-r--~-~· - . . - - - - - - , - - - - - , - - ~ - - - ~ - - - -
versus frequency for three deep vibrators of similar geometry but
differing frequencies operating in fine uniform sand. Note that the
2 3;--c-i:(1-H_ES_I_Vlt-'-SA~N~llrDY_G~R~lt+W=E~L--+---l,::,GR""A-"V-"!"-EL_:,:S,_,AN=-D__,Cc,,Le::,A~_ _j____j
resonant peak is almost wholly damped out as the ground is compacted V--: _1 J I ELLGI ADED

from a loose to adense state.

- ~, -
\ ---~"'.:~_,e=!- ~f:::::::=:t--_
n+--+=-+-~_J_..,~
,,,x - . ~ º ~i----::: K ~
1/SAN
For vibrating rollers Selig and Yoo (1977) show differing peak dry M y _ .),...- -~ r---::::::~s AG
densities for a variety of soils after compaction (Figure 10.14), presum- 2.1 +--+,c::~:::s,__t--f- 1
4 ,\a---f-~__,-----+-~•,.-,=--jr--~GRé!!A~E,,,:L-,,2,SA~~l~Dc_-"'CLAcc01'-' _ __j
ably representing results of well damped vibrations in densified soils. / 1 Â_'° o
GRAVE LV SAND _L--efVº i'---- GRAVELLY~ fl,ND
These values are for compaction of slightly cohesive soils by displace- 1: 20+---+---+--+----'=+=-..::.+---1-___j--1---,j___ _j__, _
ment, whereas Figure 10.13 represents vibratory-gravity compaction in ;::: SAI i,ovl CL v
cohesionless soil. The natural frequency indicated does not necessarily
correlate with the dry densities in Figure 10.14. z ,~-
~ 19-t-----t----t---++-_-_-*-++_-_-_+..L,-.._+,--+---+----+-~cc+---+-
' r--
SANDY SOIL
t
--

To maximise compaction in ali circumstances, a variety of frequencies UJ

0 ~
1,8,-t-----t---+--+----t--f--j--f=-=-+---c,d,..-<c~+--
i---
>
would be needed to match machine/soil responses, according to soil type
and mechanism of compaction.
>
Cl'.:
o
HEAV\ CLAY,

- 1/ r..
CLAVE SOIL
-
I~ J."'
-r
The higher the frequency, the greater the dynamic force and the 1•7t-t:a1-e==t::~=t==±=--:-t--f=.::.=r=t-----l
..,...a- o -.x.r---.- e;,-

potential for overcompaction, or in the case of saturated soils liquefac- l-----r" ,____. _,º·--~,-.,-....-.2.....º ..o 1 \ ~~
,--+--+---1
1,6-t--""f--tt-1--+-7":;_,.r-~\-+-=--'l.l.~--,_,..!.;,-,\-+--
tion. For surface compactors this is undesirable, but for machines UN FORM SAND HE/'.I.VY CU>.Y
HEAV, CLAY
1,5,-t---t---+--+--+---+---11---1---+--+---+-~
10 15 20 25 30 35 40 45 50 55 60 65
VIBRATION FREQUENCY Hz
NOMINAL GROUND
MACHINE FREQUENCY CONDITION SYMBOL
Figure 10.14 Vibration frequency and dry density after rolling. (After Selig and Yoo,
LOOSE o
STANDARO 30 Hz 1977.)
DENSE ◊
LOW
20 Hz
LOOSE 6
FREQUENCY DENSE D
HIGH
50 Hz DENSE 'v THEORETICAL CURVES
designed solely to speed penetration, such as casing and rod drivers,
FREQUENCY FOR NATURAL
FREQUENCY 21 Hz
rapid and deep fluidisation assists penetration. Fluidisation and overex-
citement inhibit compaction. Compaction, which depends on displace-
1,5 ment magnitudes, will be less efficient unless the imposed frequencies
o
;:: are closer to resonant. Compromise in design is required unless the
<(
a: machine allows frequency contrai.
w 10 DENSE GROUND
Cl
2
Damping effects from the soil depend very largely on its elastic
:::;
Q_
modulus and strength. Overconsolidated soils and those constrained by
~ 05 overburden weight at depth are stiffer and restrict the amplitude of the
ground vibration, but tend to transmit more energy than weaker or
00.!-=~---1~0--~15---2~0--~25---3~0--~35---4~0--~45--~50
looser soils to greater distances. Modulus-and energy transmission-in-
FREQUENCY (Hz) crease during compaction. Measured waveforms are much distorted
Figure 10.13 Measured relation of vibration frequency and amplitude for vibroflots in
from sinusoidal in transmission, but imposed machine frequencies im-
sand. parted to the ground are unaltered.
456 CYCLIC LOADING OF SOILS
10.3 Machine and process characteristics
The above discussion concerning the mechanisms involved in penetra-
tion and compaction indicates that cyclic stressing does not function
equally well in all types of ground in its two contrary modes-destabilis-
ing for penetration and compaction for stiffening the soil. Machines and
processes have been developed and adapted, usually empirically, to suit
their original purpose, and take particular forms dictated by physical
constraints. ln the following sections individual processes are described
in more detail to show how they are adapted to particular ground
conditions.
10.3.1 Pile-casing and sheet-pile drivers
Machines designed to assist penetration or extraction of pile casings or
sheet piles are in practice exclusively of the type remaining above
ground surface attached to the upper end, and employ eccentrically
mounted weights on contrarotating shafts synchronised to provide lon-
gitudinal vibrations.
A large variety of such vibrators exists. They install and extract
750-1750 mm diameter casings or standard, and sometimes double, steel
sheet piles. Depths achieved range usually from 10 to 15 m, but
occasionally up to 25 m or more in favourable conditions. Vibrator
power sizes range from about 35 to 500 kW to accommodate most
applications. With deep penetrations two machines may be mounted
synchronously, hence doubling the available power. Vibrators are
usually electrically or hydraulically driven, the latter being favoured in
UK. A powerpack or generator is usually sited on the ground or
mounted as a counterweight behind the crane, with an umbilical power
cable or hose to the machine. Some hydraulic machines can operate
submerged.
Centrifugai forces generated range typically from 200 to 2000 kN for
machines of static weights 1.5-15 tonnes. Permissible additional weight
of the member to be driven ranges from about 0.75 to 4 tonnes
according to size of machine. Line pull for extraction (exerted by the
supporting crane) ranges from 20 to 150 tonnes. Simple clamps are
provided to grip thin sheet piles or casings.
The vibrators operate at frequencies from 20 Hz to 30 Hz, the larger
machines at the lower end of this range. Higher speeds on large
machines impose significant problems for the bearing design and for the
reliability and consistency of operation, as cycling forces are propor-
tional to the square of frequency. Thus the large machines work dose to
natural ground frequencies and are likely to be efficient in use of power
VIBRA TIONAL LOADING 457
but less so at speeding penetration and extraction for which high
frequencies are desirable. The practical compromise is economically
effective. Some machines allow continuously variable adjustment of
frequency, and this can be useful for avoiding resonance in nearby
buildings. Most machines are well isolated by elastomeric mountings.
The resulting amplitudes when hanging unrestrained are 10-15 mm
from smaller to larger machines. Amplitude is here defined as the
maximum displacement from the mean of the range of displacement, i.e.
half the range of sinusoidal waves. ln the ground these amplitudes fall
to around 0.5 or 0.2 mm when working at the limits of process
capability.
Pile vibrators are ineffective in stiff clays. Likewise, they will not
function in heavy graveis except to shallow depths; nor in sandy soils
which are already dense or which have significant cohesion due to clay
content. They operate best in loose sands and silts, whether saturated or
not. ln soils which can be readily liquefied by vibration their perform-
ance is dramatic.
However, performance for driving large-diameter pile casings can be
improved in graveis and dense sands by the process known in piling as
'mudding in'. Bentonite drilling mud (or dry bentonite) is mixed in the
borehole with saturated natural soils using the piling auger. The
cohesion rendered by the mud allows the auger to extract otherwise
cohesionless sandy materiais from below the water table, thus clearing
the inside of the casing. This makes it easy to create an end-bearing
failure of the casing wall and allows it to penetrate under vibration for
severa} metres before the process must be repeated. This confirms the
expected result that the end-bearing resistance is the dominant obstruc-
tion to penetration.
10.3.2 Pipe drivers
A similar form of top-drive vibrator is used for installing smaller scale
tubes for the construction of ground anchorages or band drains. These
machines have an input power about 35 kW, and are used to install
closed-ended circular or rectangular cross-sections of area about
5000-6000 mm 2 , corresponding to maximum width or diameter up to
100 mm. Required depth of penetration may often be about 20 m.
The principies are the sarne as those for casing drivers, and these
tools are used in similar soils, i.e. cohesionless sands or sandy gravei in
which the sand dominates; or in the case of drains in soft silts and very
silty clays. All these can be fluidised, especially when saturated. Again
stiff clays preclude penetration, as do heavy graveis. Preboring is
sometimes necessary to facilitate penetration through surface layers of
458 CYCLIC LOADING OF SOILS
these obstructions. ln favourable circumstances penetration rates ex-
ceeding 5 m/min are obtained.
Accordingly, for non-vertical applications, this rapidity of installation
is exploited by providing the vibrodrivers with a hollow hydraulic clamp
through which the driven casing passes so that long continuous lengths
can be used , avoiding delay in coupling shorter lengths. The casings
must be flush-jointed externally and internally. Ideally it is preferable to
have a complete length mounted on the machine for maximum speed of
installation or extraction. Hence tractors for ground anchor installation
are provided with extensions to the mast to support the upper ends of
casings which are relatively light (Figure 10.15). A suitable tractor
provides hydraulic power to the vibrodriver and clamp without need for
a separate powerpack.
This arrangement is well suited to rapid installation of soil nails,
which are generally 6-8 m long and are employed principally in sandy
soils .
Band drains are installed vertically, and long leaders equal to the
depth of penetration are provided on a base crane so that a top-
mounted vibrator may traverse without adjustment relative to the
casing. The separate powerpack is mounted at the rear of the crane.
These vibrodrivers usually operate at a frequency of about 38 Hz.
This is a compromise speed between natural soil frequency and best
liquefaction potential.
Figure 10.15 Continuous casings for anchor installation with vibrodriver.
VIBRATION AL LOADING 459
10.3.3 Compaction machines
Casing drivers have also been adapted for compaction of sandy soils.
Anderson (1974) , Janes (1975) , and Brown and Glenn (1976) all refer to
use of a 760-mm-diameter casing 14 m long driven by a vibrator
operating at 15 Hz producing 9.5 mm vertical amplitude when hanging
free . The weight of vibrator was 8 tonnes and that of the casing 1.5
tonnes.
ln clean sandy soils the ultimate penetration achieved is limited unless
provision is made for water jetting by pipes passing to the toe of the
tube: otherwise a plug of compacted soil inhibits progress. Jetting can
also assist extraction of the casing, but compaction is achieved primarily
during penetration rather than withdrawal. The use of top-mounted
drivers generally precludes backfilling through the casing unless a side
opening is provided at the top . The use is thus restricted almost solely
to those non-cohesive sands susceptible to vibratory compaction by
gravity.
The Japanese proprietary compozer system is a more sophisticated
casing driver. lt is intended to construct sand compaction piles and
operates primarily as a rammer, displacing sand fill laterally into the
ground to be compacted , using vibrations to facilitate penetration and
extraction. The casing tube is usually 600 mm diameter, extended in
length as necessary up to 20 m or more. It '1.as been used primarily in
hydraulic fills, soft clays and silts of low to moderate strength. The
power of the standard machine is between 90 and 120 kW , giving a
vertical force of 40-60 tonnes and about 8 mm amplitude at 10 Hz.
when hanging free. This is an unusually low frequency for vibrating
machines and is below the natural frequency of most soils. lt is also well
below those frequencies which promote extensive liquefaction; but
liquefaction would be detrimental to the compaction pile process . The
equipment is provided with a lateral feed tube entering just below the
vibrator. An airlock allows introduction of sand backfill with application
of internai air pressure to assist expulsion of the fill whilst compacting.
A restriction inside the casing shoe or a form of cactus valve at the toe,
together with compressed air above the fill , keeps soil out of the casing
during penetration. At the intended depth the sand is forced out by
compressed air as the pipes are simultaneously withdrawn a short
distance by vibration, keeping a plug of sand always within the shoe.
The casing is then redriven with vibration into the sand, which is
thereby compacted and forced into the surrounding soil until an equili-
brium is reached , allowing the colurnn to be built upwards in a
succession of similar steps. This forms sand columns of about 0.8 m
diameter in soft soils to 0.6 m diameter in firmer and more frictional
materials.
460 CYCLIC LOADING OF SOILS VIBRATIONAL LOADING 461

Much larger versions of this equipment have been developed for characteristics transmitted to the ground.
special applications. Generated lateral amplitudes of these machines when unrestrained
Because of the convenience and availability of top-driven casing range from 4 to 8 mm, the larger being associated with lower frequency .
drivers and their potentially high power, a variety of small-diameter ln the ground these typically reduce by about 50%, but the stiffer the
tubular probes have been developed for compaction work. These are compacted ground , the greater the restraint.
fitted with various externai protuberances or fins to increase their The machines are usually suspended from a crane, with powerpack or
effective diameter without increasing penetration resistance. Typically a generator mounted as counterweight at the rear (Figure 10.16). Some
300-mm central pipe is used with fins extending to a metre or more in machines use leaders , allowing an additional crowding force to supple-
diameter. Such equipment rapidly fluidises uniform sands and silty sands ment weight for shallow treatments.
and penetrates very quickly. Vibrationary impact perpendicular to the Where diametral fins are employed to resist the tendency for the
fins is significant in inducing compaction. Generally these machines are machine to rotate when hanging free on ropes , it is found that there is
very efficient in favourable conditions (Massarsch and Broms , 1983). marginally greater densification perpendicular to the plane of the fins .
During the construction of the Oosterschelde Barrier, for instance, a Field experiments in sands show that high-frequency machines are of
massive purpose-made barge-mounted casing driver for compacting relatively low efficiency in terms of the proportion of power absorbed by
seabed sands was built. This had a dimension across radial fins of 2.1 m the ground. However they produce greater accelerations and therefore
and an overall length of 47.5 m, enabling 15 m of sand to be penetrated. have the potential to overexcite and produce rapid liquefaction. For a
The whole assembly weighed 40 tonnes. The vibrator at the top gener- given power the machines tend to have a smaller eccentric radius
ated a reciprocating force of 120 tonnes at 25 Hz. The resulting vertical
amplitude was about 4 mm when hanging freely (Davis et al. , 1981).
The alternative to compaction by casing drivers is the use of deeply
penetrating vibrators. These either penetrate dry by displacement of the
soil (vibrodisplacement) to 4-8 m typically , limited by ground resistance ,
or are assisted by water jetting (vibroflotation) to depths exceeding 30 m
if required.
Deep vibrators were designed primarily for compacting loose , sandy,
cohesionless soils, with or without a gravei content, and are most
efficient compactors in these soils. The technique has since been
adapted for the construction of vertical gravei colurans in weak clays to
reinforce and stiffen them by vibroreplacement. ln this context the
machines are effective large-diameter penetrating tools .
Deep vibrators are electrically or hydraulically driven . They use an
eccentric on a short shaft in common with the motor mounted axially in
the body of the machine. Machines , originally 35 kW , are now powered
up to about 200 kW . Frequencies are almost exclusively either 30 or
50 Hz, which originated from early machines which were all electrically
driven. They were operated at a factor on alternating current frequen-
cies of electric power supplies in United States (60 Hz) and Europe
(50 Hz) directly from the maio supply.
Other factors operate in the complex design compromise. Fast com-
paction rates require high centrifugai forces, higher capacity bearings
and a larger eccentric of smaller radius to suit the power available and
the static weight of machine and followers. The location and stiffness of
the isolator are affected by these requirements, which in tum influence
centre of gravity and impacts generated , affecting vibratory wave Figure 10.16 Deep vibratory compaction machine (vibroflot).
462 CYCLIC LOADING OF SOILS
because of their higher speed, and consequently the cross-sectional area
may be kept small. They therefore penetrate quickly, but because of
limited amplitude associated with higher frequency, they do not compact
as efficiently as slower machines except in perfectly cohensionless soils.
Low-speed experimental machines (25 Hz) generate much larger am-
plitudes and lower accelerations for the sarne power and enhanced
eccentric moment. They do not penetrate well but compact more
efficiently, and to a greater radius.
Machines with intermediate frequency (30 Hz) work insufficiently
dose to resonant frequencies to allow significant compaction benefits,
but their larger amplitudes achieve compaction to greater radius at cost
of penetrating less well than higher frequency machines. The balance
between speed of penetration, efficiency of use of power, and radius of
action (affecting number of penetrations) is often found to give fairly
equivalent performance in terms of economy for those machines work-
ing in the range 30-50 Hz.
There is a very significant increase in power requirement for a
machine operating at resonance, and much improved compaction would
be required to justify it. Some hydraulic machines operating above but
dose to resonant frequency tend to vibrate in sympathy with the
ground, and cannot supply sufficient power to maintain effective com-
paction. Design of such poker vibrators is very complex, and it should
be noted that economic benefits are not necessarily derived by maximis-
ing physical properties.
ln vibrodisplacement, end-bearing and lateral passive failure is in-
duced at shallow depths in the soil by fluidisation (overcompaction) or
liquefaction. The machine penetrates readily until fluidisation is no
longer possible and it becomes embedded. Much of the compaction
achieved occurs during penetration in this process. Depth of treatment
in compactable sands is limited to a few metres, as the machine
increases resistance to its own penetration.
Vibroflotation is essential for large depths of treatment in sands. ln
this case little work is done during penetration as water flushing largely
isolates the machine from the borehole sides. The ground is well
compacted during withdrawal, during which water circulation is reduced
to retain a balance at ground surface between input and seepage from
the bore, whilst backfilling to make up compacted volume.
Soft cohesive soils are also readily penetrated by vibrators. These
usually contain a major proportion of silt or interlaminations of silt. The
weight of the machine is sufficient, at about 2 tonnes, to allow penetra-
tion of cohesive materiais with moderately high plasticity providing
undrained strength does not exceed about 30-60 kN/m 2 - but they are
not compacted, only displaced. Some conditions allow displacement to
achieve a detectable, but usually insignificant, preconsolidation.
VIBRATIONAL LOADING 463
Compressed air may be used through the nose cone during penetra-
tion to negate suction when the machine is withdrawn from a tight-fit-
ting hole. lt follows that the hole must be stable, requiring soil
cohesion. The machine must be removed from the bore to allow
backfilling of stone for column construction. Some machines carry a pod
filled with gravei which is discharged, assisted by compressed air,
through the nose cone as the machine is withdrawn from maximum
depth. This latter technique is essential in soils which liquefy readily if
the gravei column stiffness is to be maintained, since the disturbed
material otherwise contaminates the backfill.
Alternatively, in very soft and unstable cohesive soils, vibroreplace-
ment must be used to form gravei columns. Water jets are used to
achieve very rapid penetration and to stabilise the bore. The machine
barely impinges, except on resistant strata, and the softer surrounding
soils are essentially undisturbed. During backfilling with coarse stone to
form column reinforcement, vibrations are transmitted to the soil, which
liquefies locally and is removed by the upflowing water. lt is continually
replaced with gravei tipped against the water flow, until a sufficiently
thick pad of gravei exists between the machine and soil to attenuate the
accelerations and predude liquifaction. Thus a column can be built in
relatively undisturbed material and is necessarily of larger diameter than
that of the machine.
10.3.4 Comparison of deep vibrators and casing drivers for compaction
The variety of casing drivers available allows the selection of very
powerful vibrators with relatively low frequency. They can penetrate
rapidly in any sandy soil which is worthwhile attempting to compact.
Their tendency to liquefy the soil can therefore be less than that of a
deep vibrator but enough to allow rapid penetration with the small
cross-section of the probe. These machines are especially suited to those
fine sands bordering on the coarse silt size. Shen et ai. (1977) have
shown that if fines content is insufficient to separate sand partides
liquefaction resistance is increased.
Lateral amplitudes generated are much less than those of deep
vibrators with vertically mounted eccentrics, so the compaction effect is
less marked. Brown and Glen (1976) compared a vibroflot and casing
vibrator operating in the sarne sandy hydraulic fill, and found that while
the casing was driven four times faster the number of probes required
for the sarne standard of compaction was four to five times as many as
required with the vibroflot. Furthermore, the casing driver was unable
to yield as high a compacted soil density regardless of probe spacing.
Saito (1977) found that the compozer compaction pile was 100%
464 CYCLIC LOADING OF SOILS VIBRATIONAL LOADING 465

better than a vibroflot in terms of measured SPT to depths of 8 m in a

hydraulic fill of silty sand. Vibrorods were also better. The ramming
effect of the former leads to some benefit from overconsolidation, and
in liquefiable silty soils is reasonably expected to perform best.
However , the vibrorod probably was superior because of the use of a
lower frequency in heavily silted sand. Quite the contrary result was
obtained in hydraulic sand fill by Schroeder and Bynington (1972) on a
different site, where the sand was possibly marginally cleaner.
It is important to assess the economic benefits of each potential
method in relation to specific site circumstances. Results can, as has
been seen, be critically dependent on equipment characteristics and
marginal details of soil type. Operator technique can also have signifi-
cant influence on results, although this is difficult to quantify.

10.3.5 Surface layer compaction

There is a very large variety of machines available for vibrating roller

compaction. Power inputs vary from about 2 to 120 kW. Static weights
range from 200 kgf to over 12 tonnes. The larger machines tend to have
two rolls or a roll and rubber tyres (Figure 10.17) , sometimes articu-
lated, but large tractor-towed single ralis are available for compacting
extended fills. Generally medium-size rollers for roadworks are self-
propelled.
Machines range from those for trench fills with a walking operator, to
the larger self-propelled types with complete operating equipment in the
driver's cab. Most machines are driven by diesel engine. The smaller
ones may have mechanical linkage, but the larger usually have a
hydraulic system giving greater flexibility.
Roll diameters and widths vary but are ali within practical ranges for
road construction, which is their major application. The range is from
under 0.5 m to over 2 m roll width and only slightly less in diameter.
Almost invariably cyclic stressing is imposed by an eccentrically
mounted weight on a concentric shaft within each roll. Occasionally
equal-weighted contrarotating shafts may be employed in the frame. ln Figure 10.17 Vibratory roller (Hamm DV6-top) and compactar (Hamm 2410S-bottom)
double-drum machines the eccentrics are synchronised, and usually (courtesy of D. Wickham & Co. Ltd , Ware , Herts).
rotate in the sarne direction, but may be in phase or at 180º out of
phase, so that a rocking motion is irnparted between the front and rear
rolls. Alternatively, one eccentric, usually at the front, may be used centrifugai force tend to be of lower frequency for mechanical reasons.
independently, with the other switched off. Centrifugai forces generated are usually marginally less than the static
Operating frequencies are usually 30-60 Hz. On some machines weights of rolls in which they operate. Hence amplitudes are low-
frequency can be varied whilst in use , and some are infinitely variable. usually 1.5-0.5 mm-with lesser values associated with higher frequen-
Many machines work at about 25-30 Hz and others at 40-50 Hz; the cies.
larger machines with greater eccentric moments and generally larger Vibrating drums are isolated by elastomeric or sprung bearings from
466 CYCLIC LOADING OF SOILS
the machine frame. The stiffness of the connection influences transmis-
sion of vibrations.
Waveforms change as vibrations are transmitted as the soil stiffness
increases considerably. Early machines were intended to lift off and
impact, but some modem designs aim to maintain contact with the
ground as much as possible. Commonly, however, a strong element of
vertical motion is induced whether or not accompanied by gyration as in
a single roll, or rocking in double rolls with eccentrics rotating in
concert, or in out-of-phase double-roll vibrators.
The vertical component of acceleration tends to produce overcompac-
tion dose to the surface in cohesionless sands. Accordingly, soil should
be damp or contain a small fraction of fines to lend effective cohesion to
limit this problem. Rollers are often provided with water sprinklers.
However, some overcompaction results in any soil from local shear very
dose to the unrestrained surface.
Rolling speed is another factor affecting compaction. This, together
with frequency, gives a measure of oscillations per unit distance
travelled, which is directly related to the number of stress reversais
experienced by the soil. Because of the relatively large lateral extent of
ground covered by rollers, it becomes an important factor in relating
density achieved to input of energy. Roller speeds vary from slow
walking pace to about 8 km/h according to application.
Plate vibrators are used for small-scale works and are manually
controlled by a walking operator. They are valuable for compacting
trench fills, pathway surfaces and similar situations. Their sizes are
usually about 0.5 m wide and less than 1 m long. Static weights are less
than 200 kgf, and they employ relatively high-frequency vibrators,
60-100 Hz, to generate centrifugai forces 10-20 times the static weights
at small amplitudes. Some machines generate complex waves in the
plate and have two amplitudes.
The smaller plate vibrators are driven by 3-kW petrol engines and
heavier plates by diesel engines rated at about 5 kW. A variety of
sprung suspension systems is used. Vibrations are produced by rotating
eccentrics, single or double.
Plate vibration machines are intended for compaction of layers of
about 100 mm thickness, under low effective stress states. The high-
frequency vibrators produce comparatively high leveis of fluctuating
stress (50-100 kN/m 2 ) fairly uniformly across the plate. They are thus
suitable for sandy soils at shallow depths.
With the advent of narrow trench pipe-laying technology there are
emerging new forms of fill compactor, using self-constrained bolt-on
fitments to small tractors. One arrangement used provides vibrations to
a large-diameter very narrow roller drum which reaches deep into the
trench.
VIBRATIONAL LOADING 467
For compaction of cohesive fills in small areas or trenches, vibrotamp-
ers are favoured. They cyde at speeds as low as 10 Hz and leap 50 mm
or more into the air on each cyde. These manually operated tools are
generally petrol-engined, and use a crankshaft-driven piston in a spring-
mounted cylinder to produce the vertical forces. The tamping plates are
a little over 300 mm 2 , and some incorporate a 'dolly' to modify the blow
and extend the time in which momentum is destroyed. Plates may be set
at a slight angle to horizontal to promote directional movement.
10.4 The influence of vibrating plant on structures and people
Continuously vibrating machinery in ground contact induces forced
vibrations at the source frequency in the ground, and in things con-
nected to it. If the vibrations are energetic enough there is potential for
creating nuisance to people and damage to structures. There is rarely a
health or safety risk to people unless the vibrations are prolonged
inordinately, as machines are designed and operated so as not to be
troublesome during normal work. However, the circumstances in which
vibrations can perturb persons or cause minor damage to buildings are
highly specific, and in the case of persons somewhat subjective. They
are difficult to define with accuracy in situations where machines must
work relatively dose to people and structures, as in urban areas.
It is convenient to define the thresholds for various degrees of
nuisance or damage potential in terms of peak partide velocity of the
vibrating ground or structure. Partide velocities correlate fairly well with
recorded data on damage and nuisance. Also, relatively simple instru-
ments such as geophones (velocity transducers), having very low natural
frequencies, can measure velocities directly. Alternatively, peak partide
velocity can be deduced readily from accelerations, so that accelero-
meters may be used for field measurements of velocities. Accelero-
meters have the advantage of being smaller, less easily damaged,
rugged, and more stable than geophones and can be conveniently
contained within vibrating machines if required. They have relatively
high natural frequencies. The source frequency predetermines the ap-
propriate frequency range of the instrument. These instruments are
usually disposed in biaxial arrays around the source of vibrations to
obtain attenuation measurements, or are used on specific buildings or
objects which are considered to be at risk. It is important to ensure
good coupling of the instrument with the ground or structure for reliable
measurements.
As the instruments are normally deployed on the ground surface to
receive energy from radially diverging waves, and since soil damping
468 CYCLIC LOADING OF SOILS VIBRATIONAL LOADING 469

increases with overburden weight, the peak partide velocity is linearly

proportional to the square root of the energy supplied. Figure 10.18
displays peak partide velocity versus the root of energy input normal-
ised by distance. Results shown, available to the author, are predomi-
o
nantly for deep vibrators and pile-casing vibrators of different types and ..,
power. Few if any measurements are made or published for the lower ~
powered machines such as vibrodrivers and for small rollers: these ". . ['\_
I'-.. ld
perhaps are too small to give trouble or otherwise normally operate "' UJ
u
remate from buildings or people. Nevertheless, this simple empirical 1,
~
:::,
relationship seems to hold for any machine generating constant vibrating 5l "'o
energy within the scatter band indicated. w
z
1- .... 1- 1-
~999 ~"X"' >
z
:::,
o
!f ~ ~~
o POOO C!lw
Some of this scatter is due to the fact that the plot should strictly be
!E f'\ a:u [;
~ ~ >f ~ ■ o ~ Wz :i
~~ o
p
based on the dynamic component of energy transmitted to the ground
rather than on total input energy employed. However, the latter is more
easily obtainable. It may be assumed that for those machines operating
].
~

~
8~§88
V r-,. 0 U)
N..- -

reg~~~
U")
.... M "' o
~
o

'
ºº
-
.~~

,_
,_
I'-.

'
52
1--!!l "'
ºº
o
a:
a:
~
UJ

~
'-. UI a:
~
remate from the natural frequency of the soil the dynamic energy will i ~~~gi ' ' "'
.
V

""'
UJ
> u
o u
represent only 40-50% of the input power. Closer to resonance this may
,,
UJ •Xt> ■ O
I>
" o
.!;;!Iº
rise to about 65-75%. This may account for the higher frequency
machines yielding results doser to the lower boundary of the scatter of
o
"
partide velocities recorded. "" " ['\_

" -
The measurements recorde d in Figure 10 .18( a) are all taken on
building foundations, or at least on parts of the buildings exposed at
o o
"' N

"" "
6
(S/ww) All'.l013A 31:>Ut:J'o'd ~'o'3d lN'o'llílS3t:J
- N
6
.,.
o

ground surface. Measurements made at higher levels in a structure a:

would normally show some amplification. ~a:
w
Building foundations introduce some damping of the motions. Those z §~9a:
r ~~~j
measurements taken directly on ground surface in contact with the soil ~
::f: ~~~!f '
are commonly a factor of four larger in terms of particle velocity. '
Figure 10.18(b) gives results for comparison with Figure 10.18(a). i §R§~
:::; ..-MM.,...
"' " 1

It should be noted that the velocities recorded are vector resultants of N 011'1011'1
. '"' " ' "-
.
:,: \l'I-MM X

measurements in vertical and two orthogonal horizontal directions.

Remate measurements must also account for the various wave compon-
~
~
OU100'I

o.
U")U")a')M

C>.
V

""' '
( 'I>

XO
~

~,
g~
• oo
ents of energy diffused, which travel at differing speeds.
ln general, measurements made dose to the source of vibrations
~;
ffih ...
'- n
-
=
u

UJ
z ~>>9
X X
-)!.
'.>
'
indicate dominant motions in the direction of vibration of the source, ru g~~~ " ,• • J ""
i.e. horizontal for deep vibrators, vertical for top-drive casing vibrators. a:v;~l!í
~ g/ 5 u;;
~ . '
....
cX X

Hence it may be expected that rollers with tangential oscillatory motions "~
'r-- .
.!!
~ ~~~~ + +
of drums would reflect this dominant forced vibration. It is daimed that :::; (7)MU>-

~
CDLnU")O
it enables rollers to work parallel to and dose to structures, causing a MNNM
-6
~ ~i~~ 6 "' "'
o
much lesser response than a machine which generates vibrations with a >
( S/ww) Ali:>Ol3A 37:lllt:l'o'd ~'o'3d lN'o'llílS3t:J
\li ◄ + • X
strong vertical component, since the latter disseminates energy equally
in all horizontal directions. As the wave motions become increasingly
distorted and more nearly three-dimensional with diffusion at the
greater radii normally associated with nuisance and damage, this daim
would need careful validation.
470 CYCLIC LOADING OF SOILS
10.4.1 Threshold for soil settlement
It was noted that soils with cohesion, whether due to moisture in tension
or to mineral type and fineness, do not respond well to compaction by
gravity. Only genuinely cohesionless materials, whether saturated or
dry, tend to be significantly affected by interna! compaction settlement,
and thus only these are potentially hazardous in creating foundation
settlement. Exceptions would be where open voids are visible in lumpy
clay fills or similar situations.
Empirical measurements suggest that peak particle velocities exceed-
ing 13 mm/s measured at ground surface are necessary to cause ground
to settle under the influence of vibrations. Buildings on shallow footings
or contained pipelines above the depth of compaction will settle with the
ground. For a vertical probe of 75-90 kW, for instance, the soil
experiencing such velocities would typically exist within the region 10 or
12 m from the vibration source.
By contrast, vibration-induced settlement of the soil does not cause
settlement of structures piled to greater depths than that of compaction.
When a vibrator penetrates parallel to a pile which is encompassed
within the compacting zone, the skin friction on the pile surface is
affected only over the depth of the penetration of the vibrator, and the
size of the pile may be such that there is a significant difference from
one side to the other. Tests carried out in uniform fine to medium sands
at Adeer, Scotland, in 1965 showed that compactions within 1 m of a
test pile specially driven induced significant vibrations within the pile,
but at the conclusion of the test it had not been permanently displaced.
The reduction in soil friction which promotes compaction also reduces
skin friction on the pile, relieving it of potential downdrag during
compaction. Vibration below the pile toe would cause it to settle.
Impact compaction may have a marginal effect because it is achieved by
lateral displacement. However, the risk is small at normal working
clearances between machine and building. It is also least with vibroflota-
tion techniques and with higher frequency machines. It may be con-
cluded that shallow vibratory treatment in the vicinity of piles is unlikely
to make them settle, but treatment beneath them may.
Continuous vibrations from cyclic machines can be more damaging
than isolated impacts in which resulting shocks are allowed to die away
between blows. Seismic studies show that settlement generated depends
on ratio of magnitude of cyclic to static stress, and on number of cycles
applied. More cycles may be required where fines are present (Shen et
al., 1977), but this is likely to represent only a few minutes' operation of
a vibratory machine.
Machines which operate above the natural frequency of the ground
have to pass through it on start-up and shut-down. This may momentar-
VIBRATIONAL LOADING 471
ily impose substantially greater amplitudes than when operating norm-
ally and can induce compactive action of greater strength and radius.
Effects are not usually important because of their short duration, so that
there is a restricted number of high-amplitude displacements.
10.4.2 Vibrations induced in structures
Whether a sympathetic vibration is significant in a building depends
uniquely on its form and construction. The factors which are important
include the building size, mass, shapes of constituent parts, form of
foundation and its connection with the ground, rigidity of fixing of
floors, ceilings, pipework and other fittings too numerous to assess. The
building will contain elements which have a variety of natural frequen-
cies, some of which may respond resonantly with the applied vibration.
Generally, natural frequencies of traditional buildings are low, but loose
or badly fixed objects may respond to higher frequency vibration.
As the vibrations radiate they attenuate, and the potential for damage
depends on the energy levels remaining in the vibrating wavefront when
they meet the structure. If resonance occurs in any part of a structure,
amplification of the imposed vibration occurs in that part.
It is obvious that assessments of damaging vibrations tend to be
subjective in these circumstances, and suggestions for safe limits of peak
particle velocity are numerous and various. Current ISO proposals
suggest that the resultant peak particle velocity measured on the
structure foundation or on a load-bearing element at ground level
should not exceed 3-5 mm/s as a threshold, 5-30 mm/s for minor
damage, and 100 mm/s for major damage. This leaves a wide range
between limits. The German DIN 4150 (1975), apparently arbitrarily,
calls for 8 mm/s as the limit for residential and commercial premises well
maintained and built, 30 mm/s for well-braced heavy structural frames in
good condition, and 4 mm/s for buildings in poor condition or subject to
preservation orders. These values may be judged m context against
Figure 10.20. ª'
Buried pipelines exposed to vibration but not at risk of ground
settlement are not specifically covered in these codes, but the author's
organisation limits particle velocity to a 3-5 mm/s threshold if the
pipeline is in poor condition and 15 mm/s if in good condition and in
good contact with the ground. The beneficial effects of good ground
contact may be noted from analogous observations on tunnels after
seismic shocks: those buried deeply vibrate with the ground and are
undamaged, whilst near the portals damage is experienced if the ground
connection is poor. The sarne phenomenon relating to the oscillation of
unfixed elements may be witnessed on flexible sheet-piled cantilever
retaining walls, which vibrate more readily near the top.
472 CYCLIC LOADING OF SOILS
10.4.3 Soil stresses induced by vibrations
When introducing vibrating machinery dose to structures such as buried
culverts, pipelines, retaining walls, etc., some consideration must be
given to the direct stresses applied and the area over which they act.
Data are scarce as little experimental work has been published. D'Ap-
polonia et ai. (Figure 10.10) inferred contours of equal dynamic stress
from buried accelerometers beneath a vibrating roller whose character-
istics are indicated in the figure.
Field experiments were made by the author's company in uniform fine
sands at Ardesier, Scotland, with accelerometers buried 3 m below the
surface adjacent to deep vibrators (vibroflots). The vibroflots were of
equal power input but of differing frequencies. All showed transmitted
accelerations substantially greater in dense ground than loose so that as
the ground compacted the stresses at any radial distance became higher.
At any distance the greater the frequency, the greater the accelerations
generated, ranging from about 8 to 15 g at 0.5 m radius and from 1 to
3 g at 4 m radius. These values were transient as the vibrator passed the
depth of measurement, so that they would not apply simultaneously
over the whole depth of compaction. The area on which stress is
imposed is that of any plane of interest intersecting the zone undergoing
vibration. On this basis the maximum accelerations would translate, in
saturated ground, to stresses in the range 150-30 kN/m 2 approximately
on a vertical plane at respective radii of 0.5 and 4 m.
The effect on a structure would be transient and localised. Stress
levels would be proportional to accelerations generated, which diminish
with depth and also with structure damping (Figure 10.18). Friction
effects would be similar to those described for piles above.
If special sensitivity is envisaged, field measurements to establish facts
would be essential.
10.4.4 Nuisance to people
This is a much more subjective topic. People's reactions vary according
to circumstances of the moment, health and sensitivity, etc. Continuous
vibrations which give rise to resonance in fittings, fixtures and loose
objects can be particularly annoying even if not accompanied by much
noise. The linking effect with noise can also be a factor.
It is generally accepted that peak particle velocities less than
0.15 mm/s are imperceptible. They become readily perceptible and
annoying at velocities a little above 2 mm/s and are considered unplea-
sant above 10 mm/s. The German DIN 4150: Part 2 (1975) quotes a
range of guide values for assessment of vibrations in dwellings or
VIBRATIONAL LOADING 473
c~mparable rooms. These range up to about 1.3 mm/s. They are less by
mght than by day and are modified slightly by a formula determined by
frequency.
The issue of human susceptibility to vibrations is not one which lends
itself to well-defined threshold values.
10.5 Instrumentation for process control
The small size and reliability of accelerometers and the advent of
microcomputers capable of working in a field environment have pre-
sente? an opportunity for monitoring the performance of vibrating
machmes used for compaction. Since compaction yields a higher elastic
soil modulus, machines involved exhibit changed amplitude of motion
for the sarne frequencies and eccentric moments employed. Thus a
declining amplitude or changing waveform can be used directly to
indicate attainment of the maximum possible compaction with the
specific machines. These fundamental measurements are possible using
new technology but, to date, in-built monitoring instrumentation is in its
infancy.
This instrumentation promises, however, to offer an improved means
of monitoring performance than does the uptake of power currently
used by probe drivers and deep vibrators, which is reflected by rising
input pressure to hydraulic motors (gear pumps) or amperage to electric
motors: the effect in the ground is masked by machine inefficiencies.
Amplitude measurement on the other hand is a direct measure of
ground response for deep vibrators.
Oscillatory rollers often have amplitude monitoring because they
remain upon the ground until compaction is achieved, after which they
bounce. As a result the machine operator can observe this change on a
cab display indicating that no further improvement can be achieved, so
unnecessary rolling passes can be eliminated. Furthermore, should there
be small variations in the quality of soil being rolled from place to place,
this is reflected by the instruments and can be dealt with by localised
additional treatments. Thus the consistency of the product is improved
as well as achieving greater efficiency.
A system has also been developed for controlling deep vibratory
compactors by accelerometers fitted within the nose cone where initial
amplitudes are greatest (Morgan and Thompson, 1983). These indicate
immediately when amplitude cannot be reduced further in any given
situation. A comparison of compaction attainable with a specific type of
machine in differing soils can be made from the magnitude of the final
amplitude. ln the early stages of compaction and backfilling there is
some decoupling reflected in the high amplitudes recorded. During the
474 CYCLIC LOADING OF SOILS VIBRATIONAL LOADING 475

compaction phase good coupling is inherent in the process so that the
system works consistently as a measure of achievement.
To date the author is not aware of developments already in practice
which use monitored information for automatic contrai of vibraflots
rather than for impraving operator perception, although such contrai
should be a readily achieved step. It should be practicable to use
pracessed accelerometer signals to vary the frequency of a machine to
give optimum efficiency of compaction. Since this will vary with depth
of penetration (affecting overcompaction) it should be possible to
change the frequency, and possibly the eccentric moment, to maintain a
relatively high amplitude for compaction at all depths within the power
limits of the machine. Furthermore, continuous monitoring and real-
time interpretation by computer may facilitate the use of other data
potentially available from the signals to reflect ground conditions
encountered, since the responses of clays and sands are quite different.
There is potential for significant practical development in the field of
instrumentation both for monitoring performance and for the contrai of
operations.
Morgan, J. G. D. and Thomson, G. H. (1983) Instrumentation methods for control of
ground density in deep vibrocompaction. Proceedings of the 8th European Canference on
Soil Mechanics and Foundatian Engineering, Helsinki.
Rodger, A. A. (1979) Vibrocampaction of cohensionless soils. Cementation Research Ltd,
Internai Report, R. 7/79.
Saito, A. (1977) Characteristics of penetration resistance of a reclaimed sandy deposit and
their change through vibratory compaction. Soil and Foundations 17(4):
Schroeder, W. L. and Bynington, M. (1972) Experiences with compaction of hydraulic
fills. Proceedings of the 10th Annual Engineering Geology and Soils Engineering
Symposium, Moscow ID.
Selig, E. T. and Yoo, T. S. (1977) Fundamentais of vibratory roller behaviour. Proceed-
ings of the 9th lnternational Conference on Sai/ Mechanics and Foundations Engineering,
Tokya: 375-380.
Shen, C. K., Vrymoed, J. L. and Uyeno, C. K. (1977) The effect of fines on liquefaction
of sands. Proceedings of the 9th European Conference on Soil Mechanics and Foundatian
Engineering, Tokyo 2: 381-385.

References

Anderson, R. D. (1974) New Method for deep sand vibratory compaction, J. Canstruction
Div., ASCE 100: 79-95.
Brown, R. E. and Glen, A. J. (1974) Vibroflotation and terra-probe comparison. J. Sai/
Mech. Found. Div., ASCE 102 (GTlO): 1059-1072.
Chalmers, A. and Barris, A. B. (1981) Six storey building on soils improved by sand
drains, Praceedings af the 10th lnternational Conference an Sai/ Mechanics and Faunda-
tian Engineering, Stackhalm.
D'Appolonia, D. J., Whitman, R. V. and D'Appolonia, E. (1969) Sand Compaction with
vibratory rollers, Proc. ASCE 95 (SMI): 263-284.
Davis, P. (1981) Mylitus, a soil compaction vessel. Praceedings of the 10th Canference an
Soil Mechanics and Foundation Engineering, Stockhalm 3: 641-644.
Elver, J., Bennet, N. and Chalmers, A. (1983) Embankment constructed within time
constraints on soft soils in tida! water. Proceedings af the 8th European Canference an
Soil Mechanics and Faundation Engineering, Helsinki.
Finch, M. T. N., Hughes, F. H. and Kilner, R. A. (1984) Vertical drains used to facilitate
road construction for a Medway riverside industrial area, Q. J. Eng. Geai. 17: 327-374.
Finn, W. D. L., Bransby, P. L. and Pickering, D. J. (1970) Effect of strain history on
liquifaction of sand. Proc. ASCE (SM6): 1917-1934.
Flood, P., and Eising, J. (1989) The use of vertical band drains in the construction of the
Galway Eastern Approach Road Proceedings af the 9th Eurapean Conference on Soil
Mechanics and Foundation Engineering, Dublin.
German DIN 4150 (1975) Deutsches Institut fur Normung, E.V., Berlin, Germany.
Greenwood, D. A. and Kirsch, K. (1983) State of art-specialist ground treatment by
vibratory and dynamic methods. ln: Piling and Graund Treatment. Thomas Telford Ltd,
London, 17-45.
Janes, H. W. (1975) Densification of sand for drydock by terra-probe. J. Sai/ Mech.
Found. Div., ASCE (SM6): 451-470.
Massarsch, K. R. and Broms, B. B. (1983) Soil compaction by vibrowing method.
Proceedings af the 8th European Canference an Sai/ Mechanics and Faundation
Engineering, Helsinki.
lndex

band drains 457 magnitude 308

bearing capacity 133 Mexico (1985) 311, 323
Brent B Condeep platform 126, 132, Nahanni (1985) 311
146, 147, 158 site-specific effects during 321
effective stresses 24
California bearing ratio (CBR) 110, 254, Ekofisk oi! storage tank 123
276 elasticity 23, 32
case histories 117
cavity expansion method 192 field studies 230
centrifuge model tests studies 186 finite element analyses 206, 295
chimneys, settlement of 417 flow rule 26
clay properties 328 foundation dynamic response
cohesionless soils 414 analysis 377
cohesive soils 420 foundation impedance 380
compaction by vibration 435 foundation vibration anaylsis 375
compaction machines 459 foundations
consolidation 87 pavement 249
consolidometer testing 89 piled through soft ground 428
constitutive relationships 191 rail track 249
continuum elastodynamics 373
criticai state soil mechanics (CSSM) 270 geosynthetics 299
cyclic displacements 158 granular materiais 278
cyclic loading 1 grading of 284
damage models for 41 ground anchorages 457
degradation dueto 331 groundwater levei changes 15
energy dissipation during 31
pore pressure due to 166 hardening functions 27
settlements due to 164, 166 hollow cylinder apparatus 92
cyclic shear horizontal pressure cell 90
modulus 151, 152 Hutton TLP 186, 222
strength 134 hysteresis 7

deep compaction 442, 463 impact loading 14

deformation initial ground conditions 190
measurements 91 instrumentation 75, 79, 473
measuring <levices 78 interaction diagram 212
permanent 297
densification 449 lifeline integrity during seismic
design calculations 139 events 361
dynamic analyses 146 linear elastodynamics analysis 367
dynamic effects 10 liquefaction 6, 334, 335, 347, 445, 461
dynamic loading liquefaction potential 109
deep foundations subjected to 385 load measuring systems 75
design practice for 392 loading rate effects 175, 185, 221
experimental data for 384, 391 loading systems for laboratory tests 98
dynamic soil-structure interaction 349 long term settlements of structures 411
dynamics, basic theory of 368
machine foundations 367
Earth gravity models 116 design examples for 403
earthquake 306 magnitude recurrcnce plot for
ground motions during 310 earthquakcs 320
478
material damping 400
membrane penetration 85
model
'bubble' 59
Cam clay model 26, 28, 59
cyclic, for interface sliding 239
elastic-plastic 25
generalised plasticity 62
modelling the cyclic stress-strain response
of soils 19
models
bounding surface plasticity 49
categorisation of 22
constitutive 19
hierachy of 22
kinematic-hardening 54
non-linear elastic 32
monitoring field behaviour 186
non-associated flow roles 64
North Sea deep-water platform
offshore gravity structures 122
offshore structures 174
on-sample instrumentation 79
partially saturated soils 273
pavement design
empírica! approach to 254
pavement foundation 262
pavements 250
asphalt 261
block 266
concrete 262
cracking of 253
generic types of 250
mechanisms of failure in 253
rutting of 253
stress conditions in 268
surface-sealed 265
permanent deformation 297
permanent displacements 185
accumulation of 175
permanent effects of slow cycling 218
permanent strain 4, 215
permeability 287
pile capacity due to cycling, reductions
of 184
pile casing drivers 456
pile-soil resistances, degradation of 175
piles 174
driven 175
instrumented 197, 204
static capacity of 177
undrained cyclic behaviour of 210
plastic strain 281
plasticity 23
platforms 174
INDEX INDEX
479
Hutton Tension Leg Platform settlement 470 to verify calculations 143
(TLP) 174 stiffness 325 plate loading 103
Magnus 174 strength 330 soil element 209
pore pressure Statfjord A Condeep platform 132 standard penetration (SPI) 109, 327
accumulation 139 storage facilities 14 towers, settlement of 417, 423
measuring systems 75 'strain accumulation' procedure 138 transient motion 374
probe 76 strain path method 194 triaxial testing 87
storm-induced permanent, dissipation stress and strain uniformity 73 axisymmetric 87
of 169 stress reversais 3, 46 true 87
pore pressures 5, 84, 332 structures supporting travelling true triaxial apparatus 47
post-construction tuning of foundations machinery 14 T - Z curves 187
subject to vibratory loading 396 suction 274
pressuremeter testing 100 surface compaction 448, 464 undisturbed samples 80
principal stress rotation 72, 95
tanks, settlement of 425 vibrating
'quick' clays 427 temporary hole casings 434 machines 438, 456
testing plant, influence on structures and
rail track 265 centrifuge model 111 people 467
differential settlement of 300 dynamic characteristics 116 pokers 438, 439
railroad ballast 282 field 294 rollers 439
127 rate dependent response of soil 9 laboratory 290 vibration frequency 452
recompacted or reconstructed soil 80 physical model 110 vibrational loading 435
reconsolidation 83 wave velocity 104 vibratory
reinforced haul roads 267 tests motion 368
residual surfaces 203 Canons Park 230 penetration 440
resilient shear modulus 273 cone penetration 109 vibrodisplacement 460
resilient stiffness 4 Cowden 230 vibroflotation 460, 462
resilient strain 278 element 70, 71 viscoelasticity 34
resonance 453, 462 field 204 viscoplasticity 37
resonance periods 147 Haga clay series 230
resonant column apparatus (RCA) 97 in situ 70, 100 wave
response spectra 314, 324 in situ plate loading 254 loads 129
'Rowe cell' 89 laboratory 130, 150 period 129
model 70, 158 wind loading 14
sample non-uniformity 85
sand properties 327
saturation 84
seismic loading 306
building foundations during 342
inertial interaction during 312
kinematic interaction during 313
retaining structures during 358
slope stability during 338
servo-hydraulic loading systems 99
settlement performance 411
settlements 158
long-term 160, 419
pile 182
shallow foundations subjected to dynamic
loading 375
shear modulus 326, 397
sheet-pile drivers 456
silt properties 330
simple shear apparatus 90
single degree of freedom systems 315,
369
soil
compaction 434